{"text": "Preface About OpenStax OpenStax is part of Rice University, which is a 501(c)(3) nonprofit charitable corporation. Our mission is to make an amazing education accessible for all. Through our partnerships with philanthropic organizations and our alliance with other educational resource companies, we’re breaking down the most common barriers to learning. Because we believe that everyone should and can have access to knowledge. About OpenStax Resources Customization Introduction to Anthropology is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 (CC BY-NC-SA) license, which means that you can non-commercially distribute, remix, and build upon the content, as long as you provide attribution to OpenStax and its content contributors, and distribute all derivatives under the same license. Because our books are openly licensed, you are free to use the entire book or select only the sections that are most relevant to the needs of your course. Feel free to remix the content by assigning your students certain chapters and sections in your syllabus, in the order that you prefer. You can even provide a direct link in your syllabus to the sections in the web view of your book. Instructors also have the option of creating a customized version of their OpenStax book. The custom version can be made available to students in low-cost print or digital form through their campus bookstore. Visit the Instructor Resources section of your book page on OpenStax.org for more information. Art attribution In Introduction to Anthropology , art contains attribution to its title, creator or rights holder, host platform, and license within the caption. For any art that is openly licensed, non-commercial users or organizations may reuse the art as long as they provide the same attribution to its original source. (Commercial entities should contact OpenStax to discuss reuse rights and permissions.) To maximize readability and content flow, some art does not include attribution in the text. If you reuse art from this text that does not have attribution provided, use the following attribution: Copyright Rice University, OpenStax, under CC BY-NC-SA 4.0 license. Errata All OpenStax textbooks undergo a rigorous review process. However, like any professional-grade textbook, errors sometimes occur, and new perspectives highlight areas that require revision. Writing style guides and other contextual frameworks also change frequently. Since our books are web-based, we can make updates periodically when deemed pedagogically necessary. If you have a correction to suggest, submit it through the link on your book page on OpenStax.org. Subject matter experts review all errata suggestions. OpenStax is committed to remaining transparent about all updates, so you will also find a list of past errata changes on your book page on OpenStax.org. Format You can access this textbook for free in web view or PDF through OpenStax.org, and for a low cost in print. About Introduction to Anthropology Introduction to Anthropology is a four-field text, grounded in foundational content in cultural anthropology, archaeology, biological anthropology, and linguistic anthropology. This approach makes the text useful for both general and cultural introductory courses as well as for introductory courses in some of the anthropology subfields. Upon this strong foundation, two contemporary themes are highlighted: social inequality and the natural world. Ethnographies and examples throughout the text address the impacts of these two themes on human societies throughout history and around the globe. Coverage and Scope Introduction to Anthropology contains all of the foundational material necessary for introductory courses in anthropology. Methods and theories from all four fields are introduced in the first two chapters and woven throughout later discussions. The central concept of culture likewise is both explored in detail in its own chapter and referenced repeatedly in examples throughout the text. The evolution and diversification of the human species is centrally featured in two chapters, “Biological Evolution and Early Human Evidence” and “Physical and Cultural Evolution in the Genus Homo .” The breadth of the discipline is apparent in the variety of examples and ethnographies as well as specific chapters dedicated to developing areas of anthropology, such as “Medical Anthropology” and “Human-Animal Relationships.” An engaging and inviting narrative will hold students’ interest. Addressing Societal Issues The central themes of Introduction to Anthropology —social inequality and the natural world—connect the text’s foundational material to two of the most pressing contemporary issues facing societies around the world. In addressing social inequality, the text drives readers to consider the rise and impact of social inequalities based on forms of identity and difference (such as gender, ethnicity, race, and class) as well as oppression and discrimination. The contributors to and dangers of socioeconomic inequality are fully addressed, and the role of inequality in social dysfunction, disruption, and change is noted. Introduction to Anthropology centers on the lived experiences of a wide range of people and provides ample opportunities for instructors and students to discuss and address preconceived notions, misconceptions, and potential solutions and outcomes. To illustrate the fundamental relationship between humans and their environments, the natural world is treated as both a setting for human existence and a key influence on human culture, economics, and politics. This focus makes the text uniquely suited to the contemporary era as climate change and environmental degradation play an increasing role in humanity’s governance, intercultural relationships, and daily lives. Illuminating an Evolving and Relevant Field The text showcases the historical context of the discipline, with a strong focus on anthropology as a living and evolving field. A deep and reflective exploration of the origins of anthropology’s methods and goals is featured in several chapters, including “Methods: Cultural and Archaeological Research Methods” and “Indigenous Anthropology.” There is significant discussion of recent efforts to make the field more diverse—in its practitioners, in the questions it asks, and in the applications of anthropological research to address contemporary challenges. The authors who contributed to this text come from diverse backgrounds and geographic regions, providing balance and richness to the narrative, examples, and theoretical foundations of the text. The researchers highlighted in the Profiles in Anthropology sections, many still living and working, are likewise representative of the growing diversity of the field. Unique chapters: Five of the text’s 20 chapters introduce students to current and developing specializations within the discipline. These chapters offer an engaging and in-depth look at research fields rarely covered in introductory texts, fields that are particularly interdisciplinary in their aims and practices. They further stress that anthropology is an evolving and relevant field, offering insights into humanity’s deepest questions and directions forward in addressing the toughest challenges. These chapters are: “Anthropology of Food,” including material on food artifacts, ancient foodways and food reconstructions, food as cultural heritage, food prescriptions and proscriptions, and the globalization of food. “Anthropology of Media,” addressing topics such as visual anthropology and ethnographic film, photography and representation, news media and the public sphere, the role of media in the development of national identity, and digital media. “Medical Anthropology,” with material on the history of medical anthropology, the social construction of health, common medical anthropology methods and theoretical approaches, and applied medical anthropology. “Human-Animal Relationships,” including discussions of multispecies ethnography, human-animal empathy, human-animal relationships among people practicing varying subsistence strategies, animal symbolism in oral tradition and religion, and pet keeping. “Indigenous Anthropology,” which, through the lens of the experiences of the Indigenous peoples of North America, addresses the historical and contemporary challenges facing Indigenous people, including issues of agency, rights, and identity, as well as exploring Indigenous material cultures, perspectives, and worldviews. Enriching and Engaging Features Several feature boxes highlight the vibrant and applied nature of anthropology and give students practice using the methods discussed throughout the text. Profiles in Anthropology. Each chapter contains a profile of one or more anthropologists, many contemporary and some historical, who have made significant contributions to the discipline. These featured anthropologists represent a diversity of racial and ethnic backgrounds as well as a broad sampling of research interests and perspectives. Ethnographic Sketches. Ethnographic sketches taken from the authors’ own fieldwork are spaced throughout the book. These engaging vignettes provide a window into the actual work of doing anthropology, providing readers with a sense of the pleasures and challenges of doing research in the field. Mini-Fieldwork/Applied Activities. Each chapter concludes with a simple fieldwork activity to give students practice thinking and researching like an anthropologist. These exercises provide them with hands-on experience applying the methods and theories discussed in the chapter to actual research conducted in their own communities. Pedagogical Framework An effective pedagogical framework helps students structure their learning and retain information. Chapter Outlines. Each chapter opens with an outline and introduction, familiarizing students with the material that will follow. Throughout the chapter, material is chunked into manageable sections of content within each of the larger main heads. Learning Objectives. Every main section begins with a set of clear and concise learning objectives. These objectives are designed to help the instructor decide what content to include or assign and to guide student expectations. After completing the section and relevant end-of-chapter exercises, students should be able to demonstrate mastery of the learning objectives. Chapter Summaries. Chapter summaries distill the information presented in each chapter to key, concise points. Key Terms. Key terms are bolded and followed by a definition within the text. Definitions of key terms are also listed in a glossary at the end of each chapter. Critical Thinking Questions. Each chapter ends with 8 to 10 critical thinking questions designed to help students assess their learning and apply it to their daily lives. Suggested Readings. This feature helps students further explore the chapter content by providing curated links to other information sources. About the Authors Senior Contributing Authors Jennifer Hasty is an adjunct professor of African studies at the University of Pennsylvania. She studies media and politics in West Africa and the United States. Her book The Press and Political Culture in Ghana explores the cultural and historical forces shaping the practice of journalism in the recent period of democratization. In addition to working as a journalist for several Ghanaian media organizations, she has worked as a wedding videographer in the Philadelphia metro area and a community radio DJ in northern New Mexico. She is currently writing a book on corruption in Ghana. Chapters authored or coauthored in this text include the following: Chapter 1: What Is Anthropology? Chapter 2: Methods: Cultural and Archaeological Chapter 3: Culture Concept Theory: Theories of Cultural Change Chapter 6: Anthropological Thought Chapter 7: Work, Life, and Value: Economic Anthropology Chapter 8: Authority, Decisions, and Power: Political Anthropology Chapter 12: Gender and Sexuality David G. Lewis is a member of the Confederated Tribes of Grand Ronde of Oregon. He has a PhD from the University of Oregon (2009) and is an assistant professor of anthropology and ethnic studies at Oregon State University. David has conducted research on Oregon tribal history for some 25 years and has published numerous journal articles and book chapters. Additionally, he has researched and written over 470 essays for his blog, the Quartux Journal , documenting tribal adjustments to colonization in the West. David conducts numerous presentations annually with community groups, at conferences, and at universities, educating about tribes in the region; consults with local governments and organizations on diversity, place naming, and land acknowledgments; and curates museum exhibits at local historical societies and museums. Chapters authored or coauthored in this text include the following: Chapter 2: Methods: Cultural and Archaeological Chapter 3: Culture Concept Theory: Theories of Cultural Change Chapter 19: Indigenous Anthropology Dr. Marjorie M. Snipes earned a PhD in cultural anthropology from the University of Wisconsin–Madison (1996) and is currently a professor of anthropology at the University of West Georgia, where she teaches anthropological theory, ethnographic field methods, anthropology of religion, and animals and culture. Her doctoral fieldwork in the northwestern Andes of Argentina focused on religion and identity in an agropastoral society, in particular on understanding the relationships that herders forge with their animals and with each other. Among her recent publications are Inside Anthropology (2021, Kendall Hunt) and The Intellectual Legacy of Victor and Edith Turner (2018, Lexington). Chapters authored or coauthored in this text include the following: Chapter 10: The Global Impact of Human Migration Chapter 11: Forming Family through Kinship Chapter 13: Religion and Culture Chapter 14: Anthropology of Food Chapter 18: Human-Animal Relationships Chapter 20: Anthropology on the Ground Contributing Authors Dr. Todd A. Barnhardt, PhD Dr. M. Anne Basham, Gateway Community College and Executive Director, Biodiversity Outreach Network Sharon Gursky, Texas A&M University Laura Jarvis-Seibert Saira A. Mehmood Dr. Sydney Yeager, Rollins College Reviewers Janet Altamirano, Texas A&M University–Kingsville Dr. M. Anne Basham, Gateway Community College Jack Bish, University of Wisconsin–Madison Heidi Bludau, Monmouth University Ryan Collins, Dartmouth College Alejandra Dashe, Paradise Valley Community College Bridget Fitzpatrick, Normandale Community College Leslie Fitzpatrick, Mercyhurst University Tony Fitzpatrick, University of Wyoming Paul Hanson, Case Western Reserve University David Hicks, Stony Brook University Michael Hollis, St. Edward’s University Stewart Jobrack, The Ohio State University at Mansfield Barry Kass, Orange County Community College Phineas Kelly, University of Wyoming Elizabeth Kickham, Idaho State University Jonathan Marion, University of Arkansas Annie Melzer, Northern Kentucky University Kerith Miller, University of Arizona Mackie O’Hara, The Ohio State University Jenell Paris, Messiah University Caroline Rivera, Florida Gulf Coast University Megan Schmidt-Sane, Case Western Reserve University Max Stein, Florida Gulf Coast University Fay Stevens, University of Notre Dame Antoaneta Tileva, American University Kristen Verostick, Rowan University Additional Resources Answers to Questions in the Book The end-of-chapter Critical Thinking Questions are intended to stimulate student reflection or to be used in classroom discussion; thus, student-facing answers or solutions are not provided. Sample responses and techniques for using the questions are provided in the Instructor Manual for select Critical Thinking Questions. Instructors may share these with students at their discretion. These same Critical Thinking Questions are also included in the Lecture Slides. Student and Instructor Resources We’ve compiled additional resources for both students and instructors, including an instructor’s manual, test bank, and lecture slides. Instructor resources require a verified instructor account, which you can apply for when you log in or create your account on OpenStax.org. Take advantage of these resources to supplement your OpenStax book. Comprehensive Instructor’s Manual. Each component of the instructor’s manual is designed to provide maximum guidance for delivering the content in an interesting and dynamic manner. The instructor’s manual includes a chapter outline containing the learning outcomes for each section, section outlines, and section summaries. Chapter key terms are listed as well. Also included for each chapter are strategies for using the Mini-Fieldwork/Applied Activity and the Profiles in Anthropology. There are sample answers and strategies for using select critical thinking questions in the chapter. Each chapter also includes links to websites and organizations relevant to the content in the chapter as well as to content that extends examples in the chapter. Test Bank. With nearly 1,100 multiple-choice, fill-in-the-blank, and short-answer questions in the test bank, instructors can customize tests to support a variety of course objectives. The test bank is available in Word format. PowerPoint Lecture Slides. The comprehensive PowerPoint lecture slides provide a structure for course lectures. Chapter images, lesson learning outcomes, and bulleted content provide a starting place for instructors to build their lectures. Community Hubs OpenStax partners with the Institute for the Study of Knowledge Management in Education (ISKME) to offer Community Hubs on OER Commons—a platform for instructors to share community-created resources that support OpenStax books, free of charge. Through our Community Hubs, instructors can upload their own materials or download resources to use in their own courses, including additional ancillaries, teaching material, multimedia, and relevant course content. We encourage instructors to join the hubs for the subjects most relevant to your teaching and research as an opportunity both to enrich your courses and to engage with other faculty. To reach the Community Hubs, visit www.oercommons.org/hubs/openstax. Technology Partners As allies in making high-quality learning materials accessible, our technology partners offer optional low-cost tools that are integrated with OpenStax books. To access the technology options for your text, visit your book page on OpenStax.org.", "section": "Preface", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Artist’s depiction of a woman hunting, created in 1565. Contrary to some long held beliefs, women have always played a role in hunting game. (credit: “Illustration of activities of Lapps and Finns: Men and women hunting with bows and arrows on snowshoes; “women hunt...as nimbly...or more than men” by Illustration of activities of Lapps and Finns/Library of Congress Prints and Photographs Division) Imagine a research project that contains these three members: Randy Haas discovered the 9,000-year-old grave of a teenager buried with a hunting tool kit in the Andes mountains of Peru. Haas found that this hunter from long ago was a young woman. This discovery has upset the notion that hunting was the exclusive activity of men throughout human evolutionary history. Daniel Miller is part of a global team researching how people use smartphones in various parts of the world, including Brazil, Cameroon, Chile, China, Ireland, Italy, Japan, East Jerusalem, and Uganda. The team is exploring how smartphones take on different functions in different cultural contexts. Focusing on Ireland, Miller theorizes that smartphones become a kind of personal avatar, expressing and enacting the specific social identity of the user. Red-tailed monkeys, the subject of anthropologist Michelle Brown’s study, are primates that are found in Central and East Africa. This red-tailed monkey lives in Uganda. They are social animals and live in groups of 8-30 individuals. (credit: “Schmidt's Red-tailed Monkey” by Mehgan Murphy/Smithsonian’s National Zoo, CC0 1.0) Michelle Brown spends long days observing blue monkeys, red-tailed monkeys, and baboons in a conservation park in Uganda. She records the behavior of these primates as they find food, communicate, and fight with one another. She collects urine and feces to analyze hormone levels, intestinal parasites, and DNA. She wants to understand how primates compete as individuals and groups for access to various foods in their environment. What kind of research project could encompass such a diversity of topics and methods? Since this is the first chapter of an anthropology textbook, you can probably guess. Though they conduct research on vastly different topics, all three are anthropologists. How could the work of these researchers be united in one academic discipline? The reason, as we will see, is that anthropology is vast. Anthropology, the study of humanity, is guided by a central narrative and set of research commitments. Anthropology aims to overcome bias by examining cultures as complex, integrated products of specific environmental and historical conditions. Anthropologists use many different research strategies in their efforts to represent people from cultures very different from their own. Anthropology explores controversial topics that may challenge individual assumptions and values. The goal is to understand the full experience of humanity, including elements that may seem unfamiliar or uncomfortable. Anthropology teaches a set of skills for setting aside personal perspectives and keeping an open mind while learning about the diversity of human practices and ideas. As discussed further at the end of this chapter, this does not mean abandoning individual personal values, but rather suspending judgment temporarily while learning to understand the perspectives of others. anthropology the study of humanity across time and space.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Study of Humanity, or \"Anthropology Is Vast\" Learning Outcomes By the end of this section, you will be able to: Define the study of anthropology in the broadest sense. Summarize the guiding narrative of anthropology. Restate and explain the central commitments of anthropology. Anthropology is a vast field of study—so vast, in fact, that anthropology is interested in everything. Anthropology is unique in its enormous breadth and its distinctive focus. Consider other disciplines. In the arts and sciences, each discipline focuses on a discrete field of social life or physical phenomena. Economists study economics. Religious scholars study religion. Environmental scientists study the environment. Biologists study living organisms. And so on. Anthropologists study all of these things. Put simply, anthropology is the study of humanity across time and space. Anthropologists study every possible realm of human experience, thought, activity, and organization. Human as we are, we can only engage in social and natural worlds through our human minds and human bodies. Even engagement with nonhuman realms such as astronomy and botany is conditioned by our human senses and human cognition and thus varies across different societies and different time periods. You may be thinking, If anthropology is the human aspect of absolutely everything, then does anthropology encompass the other social disciplines, such as political science, religious studies, and economics? This is not the case. Certainly, anthropologists are frequently multidisciplinary, meaning that while their research and teaching are focused within the discipline of anthropology, they also engage with other disciplines and work with researchers and teachers in other fields. But the way that scholars in the other social disciplines approach their subject matter is different from the way anthropologists approach those same subjects. The distinctive approach of anthropology relies on a central narrative , or story, about humanity as well as a set of scholarly commitments. This central story and these common commitments hold the discipline together, enabling anthropologists to combine insights from diverse fields into one complex portrait of what it means to be human. Anthropology is everything, but it’s not just anything . Anthropology is the study of humanity guided by a distinctive narrative and set of commitments. The Heart of Anthropology: Central Narrative and Commitments Anthropologists are great storytellers. They tell many, many stories about all aspects of human life. At the heart of all of these stories is one fundamental story: the “story of humanity,” a rich and complex narrative. A narrative is a story that describes a connected set of features and events. Narratives can be fictional or nonfictional. The narrative of anthropology is a true story, a factual narrative about the origins and development of humanity as well as our contemporary ways of life. The central narrative of anthropology can be summarized this way. Human beings have developed flexible biological and social features that have worked together in a wide variety of environmental and historical conditions to produce a diversity of cultures. Three features of this narrative are especially important to anthropologists. These features form three central commitments of anthropology. In academic study, a commitment is a common goal recognized by the scholars in a discipline. Central Commitment #1: Exploring Sociocultural Diversity As the narrative suggests, humans in a diversity of conditions create a diversity of cultures. Rather than trying to find out which way of life is better, morally superior, more efficient, or happier or to make any other sort of judgment call, anthropologists are committed to describing and understanding the diversity of human ways of life. Setting aside judgments, we can see that humans everywhere create culture to meet their needs. Anthropologists discover how different cultures devise different solutions to the challenges of human survival, social integration, and the search for meaning. What are you wearing today? Perhaps a T-shirt and jeans with sneakers, or a tunic and leggings with flip-flops. What about your professor? Are they wearing a bathrobe and slippers, or perhaps a cocktail dress with stilettos? You can be (almost) certain that will never happen. But why not? You might assume that what Americans wear for class is completely normal, but this assumption ignores the question of what makes something “normal.” Ghanaian professionals wearing local fashions to promote the national textile industry. (credit: “Ghanaian Ladies” by Erik (HASH) Hersman/flickr, CC BY 2.0) In many countries, for instance, university students typically wear dress shirts with slacks or skirts to class. Many Ghanaian students would not dream of wearing ripped jeans or tight leggings to class, considering such casual dress disrespectful. American students put much more emphasis on comfort than on presentation, an overall trend in American dress. Even in office settings, it is now acceptable for Americans to wear casual clothing on Fridays. In the West African country of Ghana, “casual Friday” never caught on, but office workers have developed their own distinctive Friday dress code. As the local textile industry became threatened by Chinese imports, Ghanaian office workers began wearing outfits sewn from locally manufactured cloth on Fridays, creating a practice of “National Friday Wear.” So which way is better, the American way or the Ghanaian way? Anthropologists understand that neither way is better and that each addresses a need within a particular culture. Casual Friday is great for Americans who crave comfy leisurewear, while National Friday Wear is great for Ghanaians who want to boost their local economy and show their cultural pride. Anthropologists recognize not only diversity across different cultures but also the diverse experiences and perspectives within a culture. Do you ever buy used clothing at thrift shops, or do you know people who do? An old green men’s trench coat bought at a vintage clothing store may be a favorite of a college student. The mother of that student may not feel the same way and offer to buy their child a new coat much to the distress of the owner of the coat! To people who have grown up in the 1930’s and 1940’s, used clothing was associated with the hard times of the Great Depression . For the newer generations, used clothing is a way to find unique, affordable clothing that can stretch the boundaries of mainstream style. Although people in a culture share a general set of rules, they interpret them differently according to their social roles and experiences, sometimes stretching the rules in ways that ultimately change them over time. Ghanaian trader in her secondhand clothing shop (credit: “Market Woman - Kejetia Market - Kumasi - Ghana - 03” by Adam Jones/flickr, CC BY 2.0) In Ghana, most used clothing is imported from the United States and Europe in large bales that local vendors purchase and sell in market stalls. A person from the United States or Europe is locally referred to as an obruni . Used clothing is called obruni wawu , or “a foreign person has died,” reflecting the assumption that no living person would give away such wearable clothing. Many Ghanaians love to pick through the piles of obruni wawu in the market, thrilled to find recognizable brands and unusual styles. Some, however, associate obruni wawu with poverty. The stalls that sell obruni wawu are often called “bend-over boutiques,” referring to the subservient posture adopted by customers rifling through the piles of clothing on the ground. Obruni wawu is suitable in some situations but certainly not in others. A particular Ghanaian movie included a scene where a man tries to woo a much younger woman. When the man gave his would be girlfriend a bag full of obruni wawu as a gift, it caused the audience to burst out laughing. The gift was humorous and inappropriate to the audience. As with clothing, different cultures come up with different solutions to common challenges such as housing, food, family structure, the organization of work, and finding meaning in life. And people in every society discuss and argue about their own cultural norms. Anthropology seeks to document and understand the diverse range of solutions to common human challenges as well as the diversity of conflicting perspectives within each culture. Central Commitment #2: Understanding How Societies Hold Together Just as the various parts of our bodies all work together (the brain, the heart, the liver, the skeleton, and so forth), the various parts of a society all work together as well (the economy, the political system, religion, families, etc.). Frequently, anthropologists discover that changes in one realm of society are related to changes in another realm in unexpected ways. When farmers in Ghana began growing cocoa for export during the colonial period, the agricultural shift dramatically altered gender relations as men monopolized cash crops and women were relegated to vegetable farming for their families’ consumption and local trade. As men benefited from the profits of the cocoa trade, relations between men and women became more unequal. Anthropologists have a favorite word for the way that all elements of human life interrelate to form distinctive cultures: holism . Sometimes those parts reinforce one another, encouraging stability; sometimes they contradict one another, promoting change. Consider the caste system in India. Cultural anthropologist Susan Bayly describes how the beliefs and practices associated with caste in India have provided cultural integration and stability while also demonstrating a great deal of local variability and working as a force of social change (1999). Most Indians are familiar with two forms of belonging assigned by birth, the jati (birth group) and the varna (order, class, or kind). There are thousands of birth groups in the various regions of India, many specific to a single region. By contrast, there are four varnas known across India: Brahmins (associated with priests), Kshatriyas (associated with rulers and warriors), Vaishyas (associated with traders), and Shudras (associated with servile laborers). Another group, called “untouchables” or dalits , are outside the scheme of varnas. As described in the Vedas, the four varnas are ordered in an interdependent hierarchy reminiscent of human anatomy. The Rig Veda describes how the gods sacrificed the first man, Purusa, dividing his body to create four groups of humanity: When they divided the Purusa, into how many parts did they arrange him? What was his mouth? What his two arms? What are his thighs [loins] and feet called? The brahmin was his mouth, his two arms were made the rajanya [ kshatriya , king and warrior], his two thighs [loins] the vaisya , from his feet the sudra [servile class] was born. (Bayle, 1999) Ancient texts envision caste as a means of social order as people in each caste perform different functions and occupations, all working together in harmony. Note, however, that such texts were written down by members of upper-caste groups, often Brahmin scholars. Anthropologists and historians who study the practices of caste argue that the caste system was never such a unitary and dominant force across the country but rather a flexible, regional, and constantly changing set of identities. In the colonial period, the British made the caste system more rigid and antagonistic, offering education and jobs to select caste groups. In the 20th century, many lower-caste groups have resisted their oppression by converting to Christianity or Islam and forming political parties to pressure the government for more opportunities for social advancement. Anthropologists are curious about how different cultures create different categories of people and use those categories to organize the activities of social life. In many farming societies, for instance, men do certain kinds of agricultural work and women do others. In societies where land must be cleared in order to sow crops, men often chop down trees and clear the brush while women do the planting. In societies that utilize large-scale industrial farming, migrants or people of a specific ethnicity or assigned racial category are often recruited (or forced) to perform the manual labor required to grow and harvest crops. In industrial capitalist societies, one group of people owns the factories and another group works the machines that produce the industrial products. Relations between groups can be cooperative, competitive, or combative. Some cultures promote the equality of social groups, while many others reinforce inequality among groups. Holism is not the same as harmony. Anthropologists are interested in how society holds together but also in the conditions that can cause conflict, change, and disintegration. You may have heard the word polarized used to describe the sense that two different groups in American society are moving farther and farther apart in their values, opinions, and desires. Some suggest that the contradictory perspectives of these two groups threaten to tear American society apart. Others suggest that Americans are united by deeper values such as freedom, equal opportunity, and democracy. Using holism to understand this issue, an anthropologist might consider how the perspectives of each group relate to that group’s economic experiences, political convictions, and/or religious or moral values. A comprehensive use of holism would explore all of these aspects of society, looking at how they interact to produce the polarization we see today and suggesting what might be done to bring the two groups into productive dialogue. Central Commitment #3: Examining the Interdependence of Humans and Nature As our narrative suggests, anthropologists are interested in the natural environment, the way humans have related to the natural world over time, and how this relationship shapes various cultures. Anthropologists consider how people in different cultures understand and use the various elements of nature, including land, water, plants, animals, climate, and space. They show how people interact with these elements of nature in complex ways. Archaeologists working in prehistoric sites all over the world have documented how prehistoric people understood celestial objects and used them to navigate their waterways, create calendars and clocks, regulate farming activities, schedule religious ceremonies, and inform political leaders. This area of study is called archaeoastronomy . In Chaco Canyon in the American Southwest, archaeologists have discovered that buildings in the major settlement areas were aligned so that certain windows would provide perfect vantage points to view the sun and moon at pivotal times of the year, such as solstice and equinox. The Sun Dagger , consisting of two whorl-shaped petroglyphs (stone etchings) on Fajada Butte , is precisely positioned under a rock crevice so as to indicate the solstices and equinoxes when the sun shines through the crevice. Unfortunately, tourist foot traffic at the site has altered the width and direction of the crevice so that the Sun Dagger no longer marks these celestial events accurately. The Sun Dagger at Fajada Butte (credit: National Park Service/Wikimedia Commons, Public Domain) The people of Chaco Canyon may have been particularly attuned to the features of their environment as they constructed their complex civilization in the challenging environment of the high desert. With scarce rainfall and brief growing seasons, their survival depended on accurate identification of opportune planting and harvesting times. With the onset of a 50-year drought, farming became more and more precarious. Eventually, the ancient peoples of Chaco were forced to abandon the area. Some anthropologists study how people interact with the plants in their area. The field of ethnobotany examines how people in different cultures categorize and use plants for food, shelter, tools, transportation, art, and religion. Ethnobotanists also conduct research on plants used in healing to discover the relationship between cultural practices and the pharmaceutical properties of these plants. Some examine the cultural use of psychoactive plants such as mushrooms and peyote in religious ritual. For instance, anthropologist Jamon Halvaksz studied the controversial use of marijuana among youth in New Guinea (2006). Young people told Halvaksz that marijuana helped them work harder, overcome shame, and understand ancestral stories. Critics of the practice told Halvaksz that marijuana dried the blood of people who used it, making their offspring weak and feeble. Marijuana use has generated similar controversies in other countries, including the United States, with some arguing that the drug provides relaxation and pain relief while others claim it interferes with cognitive abilities and motivation. Our relationship with nature is reciprocal. Nature shapes humanity, and humanity shapes nature. Exploring how nature shapes humanity, anthropologists speculate about how aspects of the environment have shaped the emergence and development of human biology, such as our ability to walk, the shape of our teeth, and the size of our brains. Dramatic climactic shifts over the past several million years have forced periods of rapid biological and cultural adaptation, resulting in new hominin species and new skill sets such as language and toolmaking. In more recent archaeological time periods, environmental characteristics have shaped religious beliefs, gender relations, food-getting strategies, and political systems. Environmental forces can trigger the beginning or the end of a society. Some archaeologists study how natural events such as volcanic eruptions and droughts have led to mass migrations and the collapse of empires. Our reciprocal relationship with nature also works the other way around; that is, humans shape nature. Our environments are shaped by the food-getting methods of our societies as well as the way we acquire and trade resources such as oil, natural gas, diamonds, and gold. Many anthropologists explore how contemporary ways of life change the natural world at local, regional, and global levels. Farming dramatically impacts ecosystems with the clearing of prairies, wetlands, and forests. Fishing can deplete certain species, changing the whole ecosystem of rivers and coastal waters. Responding to population pressures, people construct dams to channel water to emergent cities. The redirection of water transforms regional ecosystems, turning wetlands into deserts and deserts into resource-hungry cities. Scholars use the term Anthropocene to describe the contemporary period of increasing human impact on the ecosystems of our planet. Large-scale pollution, mining, deforestation, ranching, and agriculture are causing dramatic environmental disruptions such as climate change and mass extinction of plant and animal species. Many anthropologists are studying these problems, focusing on how people are working locally, regionally, and globally to promote more sustainable ways of living in our natural world. Anthropocene the contemporary period of increasing human impact on the ecosystems of our planet. archaeoastronomy the study of how people in the past understood and used celestial objects for navigation, calendars, politics, and the timing of ritual events. ethnobotany the study of how people in different cultures categorize and use plants for food, shelter, tools, transportation, art, and religion.", "section": "The Study of Humanity, or \"Anthropology Is Vast\"", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Four-Field Approach: Four Approaches within the Guiding Narrative Learning Outcomes By the end of this section, you will be able to: Identify and define the four fields of anthropology. Describe the work of professional anthropologists in each field. Provide an example of how the four fields work together to explore common issues. Let’s recall the central narrative of anthropology: Human beings have developed flexible biological and social features that have worked together in a wide variety of environmental and historical conditions to produce a diversity of cultures. Researching this argument is a vast endeavor requiring many complementary approaches and techniques. Anthropology comprises four main approaches, the four subfields of our discipline. Each subfield specializes in exploring a different aspect of the common narrative. Combining insights from the four fields gives us a rich and complex understanding of specific issues such as gender, inequality, race, and the environment. Let’s take a look at each subfield and then examine how the subfields combine in the study of racial categories and relations. Biological Anthropology Biological anthropology focuses on the earliest processes in the biological and sociocultural development of human beings as well as the biological diversity of contemporary humans. In other words, biological anthropologists study the origins, evolution, and diversity of our species. Some biological anthropologists use genetic data to explore the global distribution of human traits such as blood type or the ability to digest dairy products. Some study fossils to learn how humans have evolved and migrated. Some study our closest animal relatives, the primates , in order to understand what biological and social traits humans share with primates and explore what makes humans unique in the animal world. The Dutch primatologist Carel van Schaik spent six years observing orangutans in Sumatra , discovering that these reclusive animals are actually much more social than previously thought (2004). Moreover, van Schaik observed that orangutans use a wide variety of tools and pass down skills to their young. By studying these primates, van Schaik and other biological anthropologists gain insight into the origins of human intelligence, technology, and culture. These researchers also warn that habitat loss, illegal hunting, and the exotic pet trade threaten the survival of our fascinating primate cousins. Biological anthropologists frequently combine research among primates with evidence from the human fossil record, genetics, neuroscience, and geography to answer questions about human evolution. Sometimes their insights are startling and unexpected. Anthropologist Lynne Isbell argues that snakes have played a key role in the evolution of human biology, particularly our keen sense of sight and our ability to communicate through language (Isabell, 2009). Isbell’s “snake detection theory” posits that primates developed specialized visual perception as well as the ability to communicate what they were seeing in order to alert others to the threat of venomous snakes in their environment. She points to the near-universal fear of snakes shared by both humans and primates and has documented the prevalence of snake phobia in human myth and folklore. Isbell’s research highlights how human-animal relations are central to humanity, shaping both biology and culture. Not all biological anthropologists study primates. Many biological anthropologists study fossilized remains in order to chart the evolution of early hominins , the evolutionary ancestors of modern humans. In this field of study, anthropologists consider the emergence and migration of the various species in the hominin family tree as well as the conditions that promoted certain biological and cultural traits. Some biological anthropologists examine the genetic makeup of contemporary humans in order to learn how certain genes and traits are distributed in human populations across different environments. Others examine human genetics looking for clues about the relationships between early modern humans and other hominins, such as Neanderthals . Forensic anthropology uses the techniques of biological anthropology to solve crimes. By analyzing human remains such as decomposed bodies or skeletons, or tissue samples such as skin or hair, forensic anthropologists discern what they can about the nature of a crime and the people involved. Key questions are who died, how they died, and how long ago they died. Often, forensic anthropologists can discover the age, sex, and other distinctive features of perpetrators and victims. Looking closely at forms of bodily trauma and patterns of blood or bullets, they piece together the story of the crime. They work on investigative teams with law enforcement officers and medical experts in ballistics, toxicology, and other specialties. Forensic anthropologists often present their findings as witnesses in murder trials. Not all of these crimes are contemporary. Sometimes, forensic anthropology is used to understand historical events. Excavating the historic Jamestown colony of early English settlers in North America, archaeologist William Kelso found a human skull in the midst of food remains. Noticing strange cut marks on the skull, he called upon Douglas Owsley , a forensic anthropologist working for the Smithsonian Institution, to help him figure out what the markings meant. Owsley determined that the markings were evidence of intentional chopping to the skull with a sharp blade. He concluded that the skeleton belonged to a 14-year-old girl who had been cannibalized by other settlers after she died. This interpretation corroborates historical evidence of severe starvation in the colony during the harsh winter of 1609–1610. Archaeology Archaeologists use artifacts and fossils to explore how environmental and historical conditions have produced a diversity of human cultures – the study of archaeology . Artifacts are objects made by human beings, such as tools or pottery. Fossils are the remains of organisms preserved in the environment. Archaeologists have developed careful methods of excavation , or removing fossils and artifacts from the ground, in order to learn as much as possible about how people lived in times before and after the development of writing. They are interested in how people met basic needs such as clothing and shelter, as well how they organized their societies in family groups, trade networks, and systems of leadership. Many archaeologists seek to understand how humans lived in relation to the natural world around them, altering the environment at the same time that the environment was shaping their evolution and social development. A group of archaeologists led by Tom Dillehay spent seven years excavating a set of sites in northern Peru, charting the development of human society in this area over a period of 14,000 years (2017). They traced the society from the early ways of life to the emergence of cities and early states, discovering how people there developed fishing, farming, and herding strategies that led to increased sociocultural complexity. The team collected data on the plants and animals of the area as well as the buildings, tools, cloth, and baskets made by the people. They concluded that the people who lived in this area placed a high value on cooperation and living in harmony with nature. Some archaeologists focus on more specific topics in more recent time periods. Archaeologist Eric Tourigny examined the graves at pet cemeteries in the United Kingdom from 1881 to 1981(2020). Looking at the epitaphs on the gravestones of the pets, Tourigny noted a change from earlier Victorian ways of thinking of pets as friends to later, more modern ways of conceptualizing pets as members of the family. He noted, too, that epitaphs expressed an increasingly common belief that pet owners would be reunited with their pets in the afterlife. Cultural Anthropology Cultural anthropology is devoted to describing and understanding the wide variety of cultures referred to in anthropology’s central narrative. Cultural anthropologists explore the everyday thoughts, feelings, and actions of people in different cultures as well as the cultural and historical events that they consider important. Examining social discourse and action, cultural anthropologists seek to understand unspoken norms and values as well as larger forces such as economic change and political domination. Cultural anthropologists also study how different societies are structured, including the roles and institutions that organize social life. Cultural anthropologists often live for many months or years in the societies they study, adopting local ways of living, eating, dressing, and speaking as accurately as possible. This practice is called fieldwork . Anthropologists who undertake fieldwork might write an ethnography , an in-depth study of the culture they have been studying. Classic ethnographies of the early 20th century often portrayed the cultures of non-Western peoples as harmonious and unchanging over time. Bronislaw Malinowski , a pioneer of the long-term fieldwork method, spent nearly two years studying trade and magic among the Trobriand peoples living in what is now the Kiriwina island chain northeast of New Guinea. His ethnography, Argonauts of the Western Pacific (1922) , describes how Trobrianders undertook canoe voyages from island to island for the ceremonial exchange of white shell bracelets and red shell necklaces among different island groups, an exchange system known as the kula ring. Curiously, these highly valued objects had no use whatsoever, as no one ever wore them. Rather, the exchange of bracelets and necklaces functioned as a means of enhancing social status (for the givers) and reinforcing trade relationships. Malinowski argues that this form of exchange took the place of warfare. Exploring the kula ring in great detail, Malinowski also learned about many other aspects of Trobriand culture, such as the making of tools and canoes, farming practices, gender roles, sexuality, and magical beliefs and practices. Nowadays, cultural anthropologists tend to focus more on issues involving conflict and change, such as suicide bombing in Afghanistan (Edwards 2017), a creationist theme park in Kentucky (Bielo 2018), sperm donation in Denmark (Mohr 2018), and garbage pickers in Rio de Janeiro (Millar 2018). Often, anthropologists explore overlooked and marginalized perspectives on controversial issues, shedding light on the cultural complexities and power dynamics involved. Anthropologist Tracey Heatherington was interested in why some people were resisting the creation of a conservation park on the Italian island of Sardinia (2010). The central highlands of Sardinia are home to many endangered species and old growth forests, as well as local herding peoples who fiercely resisted the appropriation of their homeland. Heatherington’s research identified three competing perspectives: those of global environmentalists, the national government of Italy, and the local people of Sardinia. The global environmentalists view the Sardinian highlands as a delicate ecosystem that should be protected and controlled by environmental experts. The Italian government sees in the same land an opportunity to develop ecotourism and demonstrate the Italian commitment to environmentalism. The local peoples of Sardinia treasure their homeland as the foundation of their way of life, an intimate landscape imbued with history and cultural value. As the controversy drew these three perspectives together, Western-led global environmentalism combined with national government to undermine the legitimacy of local knowledge and authority. Heatherington describes how stereotypes of Sardinians as ignorant and culturally backward were used to delegitimize their resistance to the conservation park, drawing our attention to forms of ecological racism that lurk in the global environmental movement. Linguistic Anthropology As you might guess, linguistic anthropology focuses on language. Linguistic anthropologists view language as a primary means by which humans create their diverse cultures. Language combines biological and social elements. Some linguistic anthropologists study the origins of language, asking how language emerged in our biological evolution and sociocultural development and what aspects of language might have given early hominins an evolutionary advantage. Other linguistic anthropologists are interested in how language shapes our thinking processes and our views of the world. In addition to its cognitive aspects, language is a powerful tool for getting things done. Linguistic anthropologists also study how people use language to form communities and identities, assert power, and resist authority. Linguistic anthropologists frequently conduct the same kinds of long-term, immersive research that cultural anthropologists do. Christopher Ball spent a year living and traveling with the Wauja, an indigenous group in Brazil (2018). He describes the many routine and ritualized ways of speaking in this community and how each kind of talk generates specific types of social action. “Chief speech” is used by leaders, while “bringing the spirits” is used for healing the sick. Ceremonial language is used for giving people names and for conducting exchanges between different indigenous groups. Ball, like many linguistic anthropologists, also examined public speeches, such as the ones delivered by Wauja leaders to protest a dam on a nearby river. Ball also analyzed the forms of language used by state officials and development workers to marginalize and subordinate indigenous groups such as the Wauja. Language is central to the way we conceptualize ourselves and our lives. Have you ever been asked to write an essay about yourself, perhaps as part of a school assignment or college application? If so, you might have used different phrases and concepts than if you’d been chatting with a new acquaintance. The purpose and intended audience of our language use shapes the way we represent ourselves and our actions. Anthropologist Summerson Carr examined an addiction treatment program for homeless women in the midwestern United States, looking at the role of language in the therapeutic process (2011). After observing therapy sessions and self-help meetings, she describes how addiction counselors promote a certain kind of “ healthy talk ” that conveys deep cultural notions about personhood and responsibility. As patients master this “healthy talk,” they learn to demonstrate progress by performing very scripted ways of speaking about themselves and their addiction. How the Four Fields Work Together: The Example of Race With their unique methods and emphases, the four fields of anthropology may seem like completely different disciplines. It’s true that anthropologists from the four fields don’t always agree on the best approach to sociocultural enquiry. Biological anthropologists often see themselves as “hard” scientists committed to studying humanity through the scientific method. Cultural anthropologists rely on the “softer” methods of observation, participation, and interviews. Someone who studies the genetic distribution of blood types and someone who studies an addiction treatment program may have a difficult time finding common ground. Increasingly, however, urgent concerns such as inequality and climate change have highlighted the importance of an integrated approach to the study of humanity. The issue of racial inequality is an excellent example. Beginning with an approach from the cultural side of our discipline, many anthropologists explore what we think we know about the concept of race. How many racial categories do you think there are in the world? How can you tell a person’s racial identity? What do you know about your own racial category? Biological anthropologist Jada Benn Torres and cultural anthropologist Gabriel Torres Colón teamed up to explore how people use genetic ancestry testing to construct notions of collective history and racial belonging (2020). For instance, if you learn through genetic testing that your ancestors most likely came from Nigeria, you might begin to feel a certain identification with that country and with the continent of Africa as a whole. You might begin to feel that you have less in common with the people of your country of citizenship and more in common with the people of your country of ancestry, a racial connection perhaps felt as more fundamental than the sociocultural connection to your home culture. While concerned about the potential for spreading misconceptions about racial categories, Torres and Colon also note that racialized solidarity across national boundaries can foster transnational movements for social justice. Such research shows how we actively construct our concepts about race using biological information about ourselves, all the time believing that those concepts are embedded in nature. This map shows the predicted skin colors of people based on the levels of ultraviolet radiation in the areas where they live. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Importantly, biological anthropology demonstrates that our common notions of race are inaccurate. Biological anthropologists such as Agustín Fuentes (2012) and Nina Jablonski (2006) have looked carefully at the global distribution of human traits such as skin color, facial features, hair texture, and blood type, among other markers, in order to determine if humans are indeed grouped into discrete categories based on race. Short answer: biologically speaking, there are no real racial categories. Each human trait varies along a spectrum, and the various traits are mixed and matched among people in ways that make racial distinctions impossibly inaccurate. As an example, take the issue of skin color, which is the most common way people assign race. Jablonski demonstrates that skin color varies along a spectrum, from pinkish beige to dark brown, with people throughout the world having skin of every possible shade between those two. Originally, humans evolving on the African continent had dark skin to protect them from the direct ultraviolet light of the sun. As some early humans migrated north into environments with less direct sunlight, their skin lightened to allow the absorption of vitamin D from the much weaker sunlight. Today, if we look at people with deep historical connections to particular geographical areas, we find that skin color shifts gradually with location. Imagine setting out on a road trip from Kinshasa, the capital of the Democratic Republic of the Congo, just a few degrees south of the equator in central Africa, and traveling all the way up to the city of Tromsø in Norway, north of the Arctic Circle. This 157-hour trip would take you through Nigeria, Niger, Algeria, Spain, France, Germany, Denmark, and Sweden. If you were paying attention to the skin color of the indigenous peoples in each location, you would notice a gradual shift from deep brown in Kinshasa to lighter brown in Algeria to dark beige in southern Spain to lighter beige in Sweden. You might also notice other changes, such as more green and blue eyes and more red and blond hair, as you head into northern Europe. At no point in your trip could you identify a boundary between groups. Rather, you would see a gradual spectrum of change. Whether looking at visible characteristics such as skin color or invisible genetic markers such as blood type, biological anthropologists have demonstrated time and time again that there is no scientifically justifiable way to divide the human population into racial categories. Any way you draw the lines, there will be more variation within categories than between categories. Does this mean that race does not exist? In terms of biology, that is exactly what it means. But in terms of social reality, unfortunately not. Race does not exist in nature, but race does exist in our minds, our practices, and our institutions. Archaeological excavations of the material lives of various groups in the United States, including people from China and Ireland as well as enslaved peoples from Africa, show how notions of race shaped their whole ways of life: the buildings in which they lived, the clothing they wore, the property they owned, and the structure of their families (Orser 2007; Singleton [1985] 2016). In contemporary societies, cultural anthropologists studying forms of racial inequality in societies all over the world—including the United States, the Dominican Republic, Brazil, Japan, Kenya, and Zimbabwe—have uncovered the different ways that each of these societies constructs racial categories and uses various criteria to assign (and often reassign) race to a particular person. Moreover, in-depth ethnographies illuminate the severity of racism in the everyday lives of people of color in the United States and elsewhere. After three years of fieldwork on the West Side of Chicago, anthropologist Laurence Ralph documented the suffering of people in this Black neighborhood as they contend with discrimination, economic deprivation, gang violence, and political marginalization (2014). Ralph emphasizes that the people he observed dream of a better life for themselves and their children, in spite of these struggles, and describes how many turn to social and political activism in an attempt to make their neighborhood a better place for everyone who lives there. Linguistic anthropologists are interested in how race is constructed and expressed through language. Marcyliena Morgan studied the underground hip-hop scene in Los Angeles, exploring how Black emcees and musicians craft linguistic codes that reference their experiences of police violence, urban unrest, gang activity, and gentrification (2009). Like Ralph, Morgan highlights the creativity and resilience of Black American communities in the face of enduring racism in American society. Taken together, these various anthropological approaches to race provide more insight and understanding than any one approach ever could. Overturning the biological myth of race is essential to understanding the complex reality of human diversity, but it is not enough. It would be a mistake to pretend that racial categories do not matter just because the concept of race has no basis in biology. The combined work of archaeologists, cultural anthropologists, and linguistic anthropologists demonstrates how the mythic notion of race has been used to exploit and marginalize certain people throughout history and into the present. We also see how people respond to racial subjugation with creativity and resilience, inventing cultural forms of resistance and mobilizing their communities through social activism. archaeology the field of anthropology that relies on the excavation of artifacts and fossils to explore how environmental and historical conditions have produced a diversity of human cultures. artifacts objects made by humans, such as pottery or tools. biological anthropology the field of anthropology that focuses on the earliest processes in the biological and sociocultural development of human beings as well as the biological diversity of contemporary humans. Biological anthropologists study the origins, evolution, and diversity of our species. cultural anthropology the field of anthropology devoted to describing and understanding the wide variety of human cultures. Cultural anthropologists focus on such things as social thought, action, ritual, values, and institutions. ethnography a written book or article about a particular culture. excavation the removal of fossils and artifacts from the ground in order to learn as much as possible about how people lived in times before and after the development of writing. fieldwork a research method that requires cultural anthropologists to live for many months or years in the societies they study, adopting local ways of living, eating, dressing, and speaking as closely as possible. forensic anthropology the application of the techniques of biological anthropology to solve crimes. fossils the remains of organism preserved in the environment. hominins the evolutionary ancestors of modern humans. linguistic anthropology the field of anthropology that explores the central role of language in human cultural life. Linguistic anthropologists study the origins of language, how language shapes thought, and how language operates as a tool of power.", "section": "The Four-Field Approach: Four Approaches within the Guiding Narrative", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Overcoming Ethnocentrism Learning Outcomes By the end of this section, you will be able to: Define the concept of ethnocentrism and explain the ubiquity of ethnocentrism as a consequence of enculturation. Distinguish certain forms of ethnocentrism in terms of their historical relationship to forms of empire and domination. Identify primitivism in European and American representations of African peoples. Identify orientalism in European and American representations of Asian and Middle Eastern peoples. Have you ever known somebody who seems to think the world revolves around them? The kind of friend who is always talking about themselves and never asks any questions about you and your life? The kind of person who thinks their own ideas are cool and special and their own way of doing things is absolutely the best? You may know the word used to describe that kind of person: egocentric. An egocentric person is entirely caught up in their own perspective and does not seem to care much about the perspectives of others. It is good to feel proud of your personal qualities and accomplishments, of course, but it is equally important to appreciate the personal qualities and accomplishments of others as well. The same sort of “centric” complex operates at the level of culture. Some people in some cultures are convinced that their own ways of understanding the world and of doing things are absolutely the best and no other ways are worth consideration. They imagine that the world would be a much better place if the superior beliefs, values, and practices of their own culture were spread or imposed on everyone else in the world. This is what we call ethnocentrism . Enculturation and Ethnocentrism We are all brought up in a particular culture with particular norms and values and ways of doing things. Our parents or guardians teach us how to behave in social situations, how to take care of our bodies, how to lead a good life, and what we should value and think about. Our teachers, religious leaders, and bosses give us instruction about our roles, responsibilities, and relationships in life. By the time we are in our late teens or early twenties, we know a great deal about how our society works and our role in that society. Anthropologists call this process of acquiring our particular culture enculturation . All humans go through this process. It is natural to value the particular knowledge gained through our own process of enculturation because we could not survive without it. It is natural to respect the instruction of our parents and teachers who want us to do well in life. It is good to be proud of who we are and where we came from. However, just as egocentrism is tiresome, it can be harmful for people to consider their own culture so superior that they cannot appreciate the unique qualities and accomplishments of other cultures. When people are so convinced that their own culture is more advanced, morally superior, efficient, or just plain better than any other culture, we call that ethnocentrism. When people are ethnocentric, they do not value the perspectives of people from other cultures, and they do not bother to learn about or consider other ways of doing things. Beyond the sheer rudeness of ethnocentrism, the real problem emerges when the ethnocentrism of one group causes them to harm, exploit, and dominate other groups. Historically, the ethnocentrism of Europeans and Euro-Americans has been used to justify subjugation and violence against peoples from Africa, the Middle East, Asia, and the Americas. In the quest to colonize territories in these geographical areas, Europeans developed two main styles of ethnocentrism, styles that have dominated popular imagination over the past two centuries. These styles each identify a cultural “self” as European and a cultural other as a stereotypical member of a culture from a specific region of the world. Using both of these styles of ethnocentrism, Europeans strategically crafted their own coherent self-identity in contrast to these distorted images of other cultures. Primitivism and Orientalism Since the 18th century, views of Africans and Native Americans have been shaped by the obscuring lens of primitivism . Identifying themselves as enlightened and civilized, Europeans came to define Africans as ignorant savages, intellectually inferior and culturally backward. Nineteenth-century explorers such as Henry M. Stanley described Africa as “the dark continent,” a place of wildness and depravity (Stanley 1878). Similarly, European missionaries viewed Africans as simple heathens, steeped in sin and needing Christian redemption. Elaborated in the writings of travelers and traders, primitivism depicts Africans and Native Americans as exotic, simple, highly sexual, potentially violent, and closer to nature. Though both African and Native American societies of the time were highly organized and well-structured, Europeans often viewed them as chaotic and violent. An alternative version of primitivism depicts Africans and Native Americans as “noble savages,” innocent and simple, living in peaceful communities in harmony with nature. While less overtly insulting, the “noble savage” version of primitivism is still a racist stereotype, reinforcing the notion that non-Western peoples are ignorant, backward, and isolated. Europeans developed a somewhat different style of ethnocentrism toward people from the Middle East and Asia, a style known as orientalism . As detailed by literary critic Edward Said (1979), orientalism portrays peoples of Asia and the Middle East as irrational, fanatical, and out of control. The “oriental” cultures of East Asia and Middle East are depicted as mystical and alluring. The emphasis here is less on biology and nature and more on sensual and emotional excess. Middle Eastern societies are viewed not as lawless but as tyrannical. Relations between men and women are deemed not just sexual but patriarchal and exploitative. Said argues that this view of Asian and Middle Eastern societies was strategically crafted to demonstrate the rationality, morality, and democracy of European societies by contrast. In his critique of orientalism, Said points to the very common representation of Muslim and Middle Eastern peoples in mainstream American movies as irrational and violent. In the very first minute of the 1992 Disney film Aladdin , the theme song declares that Aladdin comes from “a faraway place / where the caravan camels roam / where they cut off your ear if they don’t like your face / it’s barbaric, but hey, it’s home.” Facing criticism by antidiscrimination groups, Disney was forced to change the lyrics for the home video release of the film (Nittle 2021). Many thrillers such as the 1994 film True Lies , starring Arnold Schwarzenegger, cast Arabs as America-hating villains scheming to plant bombs and take hostages. Arab women are frequently portrayed as sexualized belly dancers or silent, oppressed victims shrouded in veils. These forms of representation draw from and reproduce orientalist stereotypes. Both primitivism and orientalism were developed when Europeans were colonizing these parts of the world. Primitivist views of Native Americans justified their subjugation and forced migration. In the next section, we’ll explore how current versions of primitivism and orientalism persist in American culture, tracing the harmful effects of these misrepresentations and the efforts of anthropologists to dismantle them. cultural other a stereotype of a person from a different culture, used to create a cultural distinction between “us” and “them.” enculturation the process of learning and acquiring a particular culture, often intensified in childhood. ethnocentrism the notion that one’s own culture is so superior that no other culture is worth consideration. Ethnocentric people often imagine that the world would be a much better place if the beliefs, values, and practices of their own culture were spread to or imposed on everyone else in the world. orientalism the depiction of some cultural groups, particularly people from the Middle East and Asia, as exotic, irrational, fanatical, and sensuous. primitivism the depiction of some cultural groups, particularly Africans and Native Americans, as exotic, simple, highly sexual, potentially violent, and closer to nature.", "section": "Overcoming Ethnocentrism", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Western Bias in Our Assumptions about Humanity Learning Outcomes By the end of this section, you will be able to: Define and recognize cultural bias. Analyze forms of cultural bias in our own interactions and institutions. Describe how the four fields of anthropology can work together to expose and overturn the misconceptions of cultural bias. Euro-American ethnocentrism is everywhere in American culture—in our movies, advertising, museums, amusement parks, and news media. Though the styles have shifted somewhat in the past century, both primitivism and orientalism still persist as two discernible styles of bias. Primitivism and Orientalism in Popular Culture Think for a minute about the last time you saw an image of an African person. Was it, perhaps, an image of wide-eyed girl in tattered clothing in an advertisement from a development agency requesting a charitable donation? Or maybe it was a news media photograph of a child soldier wielding an AK-47 in a conflict zone in the Democratic Republic of the Congo or another African country. Africa is still popularly represented as a dark place full of deprivation and crisis. Africans are frequently infantilized as simple children who need the support and tutelage of White Western helpers. But isn’t it true, you may say, that poverty and violent conflicts are widespread in Africa? Isn’t the representation accurate to some degree? The most troubled places on the African continent are the places where European colonialism was most brutal and violent. In what is now the Democratic Republic of the Congo, the Belgian king Leopold II oversaw a reign of terror against the local peoples, encouraging their enslavement for the lucrative rubber trade. Elsewhere in Africa, European colonial governments stole land from local peoples and confined them to reservations, forcing them to work on European plantations in order to pay taxes to the colonial government. Colonial officials fomented conflict by privileging some ethnic groups and repressing others. Where you see violence and conflict in Africa today, the roots can often be traced to the colonial period. Is this painful history included in American representations of Africa? Moreover, there are many bright spots in Africa, places such as Ghana and Botswana, with growing economies and stable democracies. Would it surprise you to learn that Ghana has a space program? That there are more mobile phones than people in Kenya? That several electric cars are manufactured in Africa? Similar distortions are applied to Native Americans, frequently represented as victims of history, poor and helpless, in need of outside help. The primitivist gaze shapes the representation of Native Americans in museums, which often feature dioramas of humble people with stone tools, buckskin clothes, and tepees, either living a simple life close to nature or engaged in tribal warfare, their bodies painted with vibrant colors. Of course, Native Americans do not live this way now, but these are the images that come to mind in the popular imagination. It is of course important for non-Native Americans to learn about the cultures of Native peoples before and during their contact with European settlers, but it is equally important to understand the legacies of history in the contemporary living conditions and activities of Native communities. Rather than seeing Native peoples as passive victims, popular culture should also depict the dynamic and creative responses of Native Americans to the forms of cultural violence enacted against them. One example of a healthy Native American dish is Navajo mutton stew with blue corn and dry bread. (credit: “Mutton Stew with Blue Corn and Dry Bread” by Neeta Lind/flickr, CC BY 2.0) For instance, did you know that a Native food movement is surging across the United States, both on Native reservations and in American cities? Native food activists such as Karlos Baca and Sean Sherman are reviving and reinventing the balanced, healthy cuisines of their ancestors, featuring dishes such as braised elk leg and maple red corn pudding. Sherman and his partner, Dana Thompson , have founded the nonprofit group North American Traditional Indigenous Food Systems (NATIFS) , devoted to preserving Native foodways. The group offers opportunities for tribes to set up Native cuisine restaurants, providing jobs and profits to communities with high unemployment. Watch this video to learn more about Sean Sherman and the Native Food movement. Like primitivism, orientalism has endured in American and European cultures. In the two decades following the al-Qaeda attacks on American targets on September 11, 2001, the most prominent example of orientalism in American culture has been the stereotype that all Islamic peoples are fanatical and violent. The indiscriminate application of this stereotype to Islamic peoples across the Middle East was a major contributor to the 2003 American invasion of Iraq, a country that had nothing at all to do with the September 11 attacks. To promote the invasion, politicians used the orientalist notion that Iraq was a violent and irrational country stockpiling weapons of mass destruction (which turned out to be false). As the war raged on, the Iraqi people came to be categorized as either “unlawful combatants” or helpless victims of a cruel dictator. American officials argued that Iraqis needed the help of American troops to save them from their subjugation and teach them democracy. For many Europeans and Americans, these forms of ethnocentric bias distort views of peoples living in large geographical regions of the globe. Misunderstanding other cultures this way can result in policies and military actions that do not achieve desired results. Moreover, ethnocentric bias promotes and reinforces inequality among social groups within multicultural societies. When people with certain ethnic or racial identities are seen as helpless or violent, they face discrimination in their pursuit of education, employment, and justice. The Bias of Backwardness Common to both primitivism and orientalism is the notion that European and Euro-American cultures are more advanced and civilized than other cultures. Since at least the 19th century, Euro-American thinking has been dominated by the idea that the various cultures of the world can be evaluated on a scale of sociocultural sophistication from least advanced to most advanced. Typically, Native American and African cultures were considered the most primitive, while those of Asia and the Middle East were thought of as slightly more developed but certainly not as civilized as the societies of Europe, which were ranked at the top as the epitome of human progress. Early anthropology played a role in promoting this ethnocentric way of thinking. Nineteenth-century anthropologists detailed various hypothetical schemes charting the developmental stages that each culture would go through in its pursuit of the European ideal of civilization. One very prominent scheme was proposed by the British anthropologist Edward Tylor . Tylor suggested that each culture progressed from “savagery” to “barbarism” to “civilization.” Since the change from one stage to another could not be witnessed by the researcher, such “evolutionary” schemes were largely based on hypothetical conjecture, sometimes called “theorizing from the armchair.” While some anthropologists played a role in popularizing this way of thinking, others worked to expose it as misguided and inaccurate. The writings of American anthropologist Franz Boas highlighted the fact that no culture is isolated in its process of developmental change. Instead, each culture develops through interactions with other cultures, as new ideas and inventions diffuse from one culture to the next. Moreover, cultural change is not structured by an overall trajectory of progress as defined by the European example; rather, cultures change in many ways, sometimes adopting new ways of doing things and other times reviving and reclaiming older ways. Through these varied patterns of change, each culture forges its own unique history. While the evolutionary schemes of 19th-century anthropology have been disproven, the underlying notion of sociocultural progress toward a Euro-American ideal is still a widespread form of ethnocentric bias outside of anthropology. Many people still refer to some countries as “developed” and “modern” and others as “undeveloped” and “backward.” Think for a minute: Which countries are generally thought of as modern? Which ones are frequently referred to as undeveloped? What is really meant by these labels? These labels are rooted in Euro-American values. Championing capitalism and technology, many Europeans and Americans view the generation of material wealth as the primary measure of the success of any society. The divide between the more and less “advanced” countries of the world is largely a distinction between the richer and poorer countries. European and American societies, which have become wealthy through the development of global trade and industrial capitalism, are considered the most successful. Societies that have not achieved the levels of wealth and technology associated with Euro-American industrial capitalism are sometimes labeled “undeveloped.” Societies that have not industrialized at all are sometimes called “premodern” or simply “traditional.” As with older evolutionary schemes, this way of thinking relies on the notion that each society pursues economic development in isolation. The poorer countries of the world are told: if you work hard and apply the correct economic policies, then you too can become rich like the United States, the United Kingdom, and Germany. But how did those countries become rich in the first place? Certainly not in isolation. The Boasian emphasis on cultural interaction also applies to economic change. To a large degree, European and American societies became wealthy by dominating other societies and keeping them poor. European countries constructed a system of global capitalism designed to make them very rich by extracting raw materials and human labor from their colonies. In fact, that was the whole impetus for colonialism . The cultural anthropologist Sidney Mintz is one of many who have studied how this happened. Mintz explored how European merchants designed a very lucrative system of production and consumption based on sugar (1985). As European consumers began developing a taste for sugar in the 17th century, European merchants developed sugar plantations in the New World using the labor of enslaved people transported from West Africa. Sugar produced on these plantations was exported to Europe and the rest of the world, earning a hefty profit for the European merchants who designed the system. Local people living in the places where sugar was produced did not benefit much from this trade, and enslaved people suffered and died for it. Similar systems were developed for the production of other global commodities such as cocoa, coffee, tea, and cotton. Some commodities required enslaved labor and others involved small farmers, but the basic structure of the trade was the same. The economies of many South Asian and African countries were designed entirely around the export of primary commodities, the production of which was controlled by European merchants who reaped the profits from this global trade. Many postcolonial countries still rely on the export of these primary commodities. What do these historical processes mean for understanding the world today? European merchants and governments crafted strategic ways of thinking about the parts of the world they wanted to invade and colonize. To justify the development of the slave trade, the plantation system, and colonial rule, Europeans labeled many non-Europeans as backward peoples needing the civilizing influence of European domination. This form of bias persists in contemporary notions of backwardness applied to the poorer peoples and parts of the world. In reality, the colonial system was a global mechanism for European merchants and governments to extract wealth from other parts of the world. European merchants took great care to maintain control over these forms of highly profitable trade, edging out local merchants and forbidding local competition. Even today, we see the remnants of this system in Euro-American domination of global trade. If the world seems divided between rich and poor, it is not because some countries work hard and others are “backward.” It is because the global system was founded on forms of inequality that endure into the present. Franz Boas 1858–1942 Franz Boas (credit: “FranzBoas” by Canadian Museum of History/Wikimedia Commons, Public Domain) Personal History: Franz Uri Boas was born in Germany to a middle-class Jewish family (Peregrine 2018). After completing a PhD in physics and mathematics, he worked as a geographer on an expedition to the Canadian Arctic, living and working with the Native Inuit peoples on Baffin Island. With his newfound passion for Native American culture, Boas returned to Germany to work at a museum and began conducting ethnographic and linguistic research among Native groups. In 1887, he came to the United States and established the first anthropology department at Clark University in Massachusetts. He spent most of his career as an anthropology professor at Columbia University and curator at the American Museum of Natural History in New York City. Areas of Anthropology: Though he promoted a holistic approach integrating the four fields of anthropology, Boas was primarily a cultural anthropologist specializing in the Native peoples of the Northwest coast of North America. Between 1886 and 1900, he conducted 29 months of fieldwork in the region, focusing on the Kwakiutl peoples of Vancouver Island. He recorded myths, songs, and folklore in Native languages and described cultural activities such as food collection and artistic styles. Focusing on the linguistic and psychological aspects of this rich ethnographic data, Boas sought to understand Native perspectives and values. As the leading anthropologist of his time, he established an American tradition of recording ethnographic observations in meticulous detail and promoted the goal of reaching for an insider’s point of view. Accomplishments in the Field: Boas profoundly disagreed with ethnocentric and racist theories circulating in the social sciences in the late 19th and early 20th centuries. Some anthropologists of the day identified some cultures as “primitive” or “savage,” arguing that each culture developed in isolation along a common trajectory toward “civilization.” Rejecting this model, Boas used his ethnographic data to show that cultures do not develop in isolation toward a common goal. Rather, each culture has its own unique historical trajectory, and cultures are constantly changing by sharing new ideas and practices. Importance of His Work: Boas was horrified by the use of anthropological methods to support the theories and practices of White supremacy. In the 19th century, some American researchers measured the skulls of various ethnic groups, arguing that people who had immigrated to the United States from northern Europe had larger skulls and were therefore intellectually superior. In 1907, Boas conducted a survey for the U.S. Immigration Commission measuring the skulls of 17,821 American immigrants and their children. Comparing the head shapes of parents and children, Boas discovered that the children had larger skulls due to environmental factors in their new homeland, such as diet and medical care. His findings dealt a strong blow to race theory. Throughout his career, Boas spoke out against racism, arguing that biological differences have nothing to do with culture, language, or achievement.", "section": "Western Bias in Our Assumptions about Humanity", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Holism, Anthropology’s Distinctive Approach Learning Outcomes By the end of this section, you will be able to: Define and give examples of holism. Analyze how different elements of society cohere with and reinforce one another. Identify how different elements of society can contradict one another, motivating social change. In 2020, the COVID-19 pandemic swept across the globe. Nearly 210 million people had fallen sick with the coronavirus and more than 4 million had died as of August 2021. Medical researchers are still studying the long-term effects of this illness on the lungs and brains of people who have recovered. Some have discovered psychological effects as well, such as increased risks for depression, anxiety, and schizophrenia. Beyond the medical realm, the effects of the pandemic reached into every aspect of our societies and our everyday lives. In societies all over the world, people were forced to remain at home, “ sheltering in place ” from the dangers of the disease. Businesses closed their doors to the public, and many shut down permanently, unable to pay their bills. By May 2020, nearly 50 million Americans had reported losing their jobs due to the pandemic. The epidemic of disease ballooned into an epidemic of grief as people mourned the loss of the those who had died and worried about those who had fallen sick. Stressed out by so many disruptions, some adults turned to alcohol and drugs, and addiction rates soared. Incidents of domestic violence escalated. Racial violence against Asian Americans increased as some Americans blamed China for the emergence and global spread of the disease. People everywhere reported feeling lonelier and more cut off from their friends and family members. And yet there were also some positive consequences. Because people were not driving as much, air quality improved in many urban areas, giving relief to many people who suffer from asthma. Looking up into the night sky, some people were able to see stars for the very first time. Some people reported valuing their friends and family members even more now that they could not spend time with them in person. New social media technologies spread, such as Zoom, and many people learned to use existing technologies such as FaceTime and Skype. People also became aware of the valuable contributions made by “essential workers” in drugstores, hardware stores, and grocery stores as well as hospitals and nursing homes. How did a virus cause so many changes? The various elements of society are entwined in a complex whole. Dramatic changes in one area, such as epidemic disease in the realm of public health, can trigger a chain of effects throughout other social realms, such as the family, the economy, religion, and the political system. You’ll recall the word holism from our earlier discussion about anthropology’s commitment to understanding how the many parts of society work together. Holism is a distinctive method of analysis that foregrounds the ever-changing relationships among different realms of culture. Society as an Integrated Whole Throughout the 2010s, infant death rates in certain rural areas in Africa decreased dramatically. While thrilled with this positive trend, researchers did not initially know how to explain it. Were mothers and fathers doing something different to promote the health of their babies? Were African governments providing better health services for infants? Were aid agencies providing more resources? None of these things seemed to be true in any significant way. The one thing that had changed in the areas with lower infant mortality was the spread of mobile phones. Could that have something to do with lower infant mortality? And if so, how? Researchers hypothesize that it wasn’t just the possession or use of mobile phones that was making the difference—it was the capability to use mobile money transfers and other fintech. If a baby had a fever in the middle of the night, the mother could now immediately text members of her extended family to organize the necessary funds to take the baby to a hospital for treatment. Quicker treatment meant a better chance for recovery. Something that does not appear to be directly related to infant health may in fact have a great impact on it. Recall from the beginning of this chapter our discussion of the very broad scope of anthropology. While other disciplines focus on one realm of society, such as medicine or technology, anthropology ranges across all realms of human thought and activity. Using the technique of holism, anthropologists ask how seemingly disparate elements of social life might be related in unexpected ways. In American and European cultures, the most common form of marriage is a union of two people. In the United States, many marriages end in divorce and most people then remarry, resulting in a cycle of marriage-divorce-remarriage called serial monogamy . In other cultures, however, a man may have more than one wife. It might be tempting to think that the dominant form of marriage in a culture is related to morality or gender relations. It turns out, however, that one very significant influence on marriage patterns is the food-getting strategy of a particular culture. In small-scale farming cultures, the marriage of one man to two or more women provides an abundance of children to help out with the work of weeding, watering, fertilizing, and guarding the crops (Boserup [1970] 2007; Goody 1976). In cultures where children contribute to food production, the marriage of one man to multiple women is more prevalent. This isn’t always the case, of course, as there are other factors that influence the form of marriage practiced in a culture, but the useful work of children does contribute to the popularity of this form of marriage. In the contemporary United States, by contrast, most people work not on farms but in offices, shops, and factories. Children are not valued as sources of household labor, and they are not legally permitted to work for wages. In fact, children can be viewed as a drain on the household, each one requiring a massive investment of resources in the form of health care, childcare, special equipment, educational opportunities, and expensive toys. In this context, the increased fertility of multiple wives might impoverish the household. Moreover, our fast-paced, capitalist economy requires a flexible and highly mobile work force. American workers can lose their jobs, and they must be prepared to move and retrain in order to find further work. Many Americans experience periods of uncertainty and precarity in their work lives, conditions that affect the livelihood of their households as well as their relationships with their marriage partners and children. Such a context contributes to smaller family size and fragile marriage bonds. The cycles of stability and disruption in American work life are mirrored in the cycles of marriage and divorce involved in serial monogamy. These are just two examples of why anthropologists are committed to taking such a broad view of the cultures they study. Often, the various realms of society are related in ways that are not at first apparent to the researcher. By specializing too narrowly on only one realm, the researcher might miss the wider forces that shape the object of study. Sources of Contradiction, Conflict, and Change Holistic analysis considers not only how the various features of culture hold together but also how change in one feature can generate cascading changes among others. Often, anthropologists begin their analysis by focusing on one significant change in the lives of a particular cultural group and then chart the ramifications of that change through various other realms of culture. Attiya Ahmad conducted research among South Asian women who migrate to the Middle East for jobs as housekeepers (2017). She writes about how these women adapt to a new culture and living situation in Kuwait and the disruptions they face when they return to their families and home cultures. On the job in Kuwait, these domestic workers must learn to speak Arabic, operate household gadgets, prepare an entirely different cuisine, respect Islamic norms and practices, and perform their appropriate gender role as female members of a Kuwaiti household. They face the cultural requirement that women should be naram , or soft and malleable, as they develop emotionally charged relationships with the various members of the household. These requirements bring about profound personal transformations for these women as they deal with the contradictions of being both successful wage earners and subordinated cultural others. The motivation to migrate is primarily financial: the need to pay for schooling, marriages, medical care, and other family expenses. While the women are working in Kuwait, their families become economically dependent on the money they send back home even as their emotional relationships with their family members become weaker and more difficult. When they return home, profoundly changed by their experiences in Kuwait, their natal families nonetheless expect them to behave exactly as they did before they left, observing the same gender and age-related norms that govern the household. This creates a sense of internal conflict for these women. Unable to truly reintegrate with their natal families, many either seek out new connections in their home communities or migrate back to Kuwait. Some begin learning more about Islam by attending special da’wa classes, where they meet other women in the same situation. Finding ethical inspiration in Islamic teachings, many do convert, against the objections of their natal families and their Kuwaiti employers. All cultures are constantly changing, with small changes in one realm snowballing into larger and larger changes within and beyond that culture. The Me Too movement is another good example. What began in 2006 as a call by American activist Tarana Burke for solidarity and empathy with victims of sexual harassment has now spread into many sectors of American society and across the globe. Initially focused on high-profile celebrities and the movie industry, the Me Too movement has raised awareness of widespread sexual harassment and assault in the fashion industry, churches, the finance industry, sports, medicine, politics, and the military. Activists press for legal changes to protect workers, especially whistleblowers who come forward with allegations of inappropriate sexual behavior. Evaluations of patriarchal and chauvinistic behavior in these institutional realms have sparked scrutiny of the more informal cultural norms of American romance and dating. The Me Too movement challenges the way Americans think about the gender roles of men and women, appropriate speech and gestures, and the distinction between public life and private life. The movement has prompted processes of dialogue and change in at least 28 other countries, including Afghanistan, China, Nigeria, and the Philippines. The global campaign has been interpreted differently in each of these cultural contexts as the transcultural intentions of American activists intersect with local norms of gender and sexuality. Indeed, some critique the Me Too movement as ethnocentric. Though the calls for reform resonated with French feminists, Me Too activism sparked a backlash among many other French people, with some men and even women arguing that French men should have the right to make sexually provocative comments and rub against women in public places. While many anthropologists actively support the Me Too movement, our methods of cross-cultural comparison call on us to set aside our personal values (at least temporarily) in order to understand how people in various cultural contexts interpret and act on the cross-cultural campaign against gender-based harassment and assault. This method of suspending personal values is key to understanding how all the elements of a particular culture interact with one another, including pressures from the outside. holism how the elements of human life are bound together to form distinctive cultures.", "section": "Holism, Anthropology’s Distinctive Approach", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Cross-Cultural Comparison and Cultural Relativism Learning Outcomes By the end of this section, you will be able to: Define the concept of relativism and explain why this term is so important to the study of anthropology. Distinguish relativism from the “anything goes” approach to culture. Describe how relativism can enlighten our approach to social problems. Recall our earlier discussion of cultural styles of clothing. American clothing style is related to American values. Ghanaian clothing style is related to Ghanaian values. We have seen how different realms of culture are interrelated, fitting together to form distinctive wholes. Anthropologists use the term cultural relativism to describe how every element of culture must be understood within the broader whole of that culture. Relativism highlights how each belief or practice is related to all of the other beliefs and practices in a culture. The anthropological commitment to relativism means that anthropologists do not judge the merits of particular beliefs and practices but rather seek to understand the wider contexts that produce and reinforce those elements of culture. Even when studying controversial topics such as piracy and guerilla warfare, anthropologists set aside their personal convictions in order to explore the complex web of cultural forces that determine why we do the things we do. Relativism Is Not “Anything Goes” Critics of the notion of relativism believe so strongly in their own cultural norms that they cannot set them aside, even temporarily. They argue that relativism is amoral, a refusal to condemn aspects of culture considered to be wrong and harmful. For them, relativism means “anything goes.” For anthropologists, cultural relativism is a rigorous mode of holistic analysis requiring the temporary suspension of judgment for the purposes of exploration and analysis. Anthropologists do not think that violent or exploitative cultural practices are just fine, but they do think that the reasons for those practices are a lot more complex than we might imagine. And frequently, we find that the judgmental interventions of ethnocentric outsiders can do more harm than good. Morality, Activism, and Cultural Relativism A striking example of the application of cultural relativism in anthropology is the controversy surrounding female genital cutting (FGC) , sometimes called female genital mutilation. FGC is a cultural practice in which an elder cuts a younger woman’s genitalia, removing all or part of the clitoris and labia. The practice is common in parts of Africa and the Middle East. FGC is not only extremely painful; it can also lead to infection, urination problems, infertility, and complications in childbirth. The World Health Organization and the United Nations condemn the practice as a form of violence against children, a danger to women’s health, and a violation of basic human rights. These organizations view FGC as a form of discrimination against women, enforcing extreme inequality among the sexes. Efforts to ban FGC have focused on educating parents and children about the medical harms associated with the practice. Local governments are encouraged to enact laws banning FGC and impose criminal penalties against the elders who perform it. Rendille Kenyan women attending a church dedication ceremony. (credit: “180818_TSCOKenya_EstherHavens_0997” by Ann/flickr, CC BY 2.0) Despite decades of campaigning against FGC, however, the practice remains widespread. If condemning FGC has not been effective in reducing it, then what can be done? Anthropologist Bettina Shell-Duncan has taken a more relativist approach, attempting to understand the larger cultural norms and values that make FGC such an enduring practice. Setting aside her personal opinions, Shell-Duncan spent long periods in African communities where FGC is practiced, talking to people about why FGC is important to them. She learned that FGC has different functions in different sociocultural contexts. Among the Rendille people of northern Kenya, many people believe that men’s and women’s bodies are naturally androgynous, a mix of masculine and feminine parts. In order for a girl to become a woman, it is necessary to remove the parts of female genitalia that resemble a man’s penis. Likewise, in order for a boy to become a man, the foreskin must be removed because it resembles the folds of female genitalia. Other societies value FGC for different reasons. Some Muslim societies consider FGC a form of hygiene, making a girl clean so that she can pray to Allah. Some communities see FGC as a way of limiting premarital sex and discouraging extramarital affairs. In the colonial period, when FGC was banned by the colonial government, some Kenyan girls practiced FGC on themselves as a form of resistance to colonial authority. As FGC is promoted and carried out by senior women in most contexts, the practice becomes a way for senior women to solidify power and exert influence in the community. People in communities practicing FGC are often aware of the efforts of outside groups to ban the practice. They know about medical complications such as the risk of infection. But the denunciations of outsiders often seem unconvincing to them, as those denunciations tend to ignore the cultural reasons for the endurance of FGC. People who practice FGC do not do it because they despise women or want to harm children. Shell-Duncan argues that parents weigh the risks and benefits of FGC, often deciding that the procedure is in the best interest of their child’s future. Personally, Shell-Duncan remains critical of FGC and works on a project with the Population Council designed to dramatically reduce the practice. Cultural relativism does not mean permanently abandoning our own value systems. Instead, it asks us to set aside the norms and values of our own culture for a while in order to fully understand controversial practices in other cultures. By suspending judgment, Shell-Duncan was able to learn two important things. First, while campaigns to eradicate FGC frequently target mothers, providing them with educational material about the medical risks involved, Shell-Duncan learned that the decision to go ahead with the procedure is not made by parents alone. A large network of relatives and friends may pressure a girl’s parents to arrange for the cutting in order to ensure the girl’s chastity, marriageability, and fertility. Secondly, Shell-Duncan learned that people who practice FGC do it because they want the best for their girls. They want their girls to be respected and admired, considered clean and beautiful, fit for marriage and childbearing. Shell-Duncan argues that outside organizations should reconsider their efforts, focusing more on communities than on individual parents. Awareness campaigns will be more effective if they resonate with local norms and values rather than dismissively condemning them as part of the whole culture of FGC. Some researchers urge anti-FGC activists to connect with local feminists and women’s groups in an effort to empower local women and localize the movement against FCG. Some alternative approaches press for more incremental forms of change, such as moving the practice to more sanitary conditions in clinics and hospitals and reducing the severity of the procedure to smaller cuts or more symbolic nicks. As this example illustrates, cultural relativism is not an amoral “anything goes” approach but rather a strategy for forming cross-cultural relationships and gaining deeper understanding. Once this foundation has been established, anthropologists are often able to revise their activist goals and more effectively work together with people from another culture in pursuit of common interests. cultural relativism understanding every element of culture within the broader whole of that culture. Cultural relativism highlights how each belief or practice is related to all of the other beliefs and practices in a culture.", "section": "Cross-Cultural Comparison and Cultural Relativism", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Reaching for an Insider’s Point of View Learning Outcomes By the end of this section, you will be able to: Define the notion of insider’s point of view . Critique the notion of insider’s point of view , explaining how it is never perfectly achievable. List and describe the distinctive methods anthropologists deploy in their attempts to represent an insider’s point of view Bettina Shell-Duncan’s work on FGC demonstrates the importance of setting aside your own values and opinions in order to see an issue from the point of view of those directly involved. This often means working across contexts, whether studying another group or another culture. Anthropologists across the four fields apply this technique. Cultural anthropologists talk to people and participate in social activities in order to understand cultural life. Archaeologists rely on artifacts and fossils to reconstruct the sociocultural life of peoples in earlier times and different places. Through these different methods, anthropologists all aim for the same thing: they want to understand the perspectives of the people who practice a particular culture, sometimes called an insider’s point of view . The Challenge of Representing Others The anthropological goal of representing an insider’s point of view is controversial. Is it truly possible to step outside your own identity to really understand a different perspective? How can a researcher from a particular culture possibly understand exactly how it feels to be a member of another culture? Even anthropologists who study their own cultures may find themselves researching people from different classes, ethnicities, or gender categories. Is it possible to accurately represent the perspectives of people whose lives are so different from your own? Is it ethical? Is it valuable? For decades, White European and American anthropologists conducted research and wrote ethnographies as if the challenge of representing cultures very different from their own was really no problem at all. Empowered by White privilege and ethnocentrism, many earlier anthropologists believed that long-term intensive fieldwork was enough to give them cross-cultural insight into the perspectives of the people they studied. Too frequently, those anthropologists reduced the complexity of the non-Western cultures they studied to just one point of view, as if the people in that society all interpreted their cultural rules the same way and never disagreed or changed the rules over time. In her book about Japanese culture, The Chrysanthemum and the Sword (1946), anthropologist Ruth Benedict describes Japanese people in terms of common personality traits, such as reverence for the emperor and a moral sense guided by shame. Critics have argued that her conclusions are skewed by her overreliance on very few informants, all of them Japanese people confined to internment camps during World War II. As we have explored in this chapter, every culture comprises multiple perspectives that often contradict one another, generating sociocultural conflict and change. Recognizing this situation, contemporary anthropologists often conduct research among several different subgroups and geographical locations, integrating insights from these various arenas into a comprehensive and dynamic view of cultural complexity. Then there is the question of deep-seated bias, often operating unconsciously among researchers and the people they study. Consider the situation above in which a White American anthropologist conducts research in an African country previously colonized by Europeans. European colonialism left behind a legacy of White privilege in postcolonial African countries. Earlier anthropologists did not often recognize how racialized power dynamics might shape their research and writing, distorting their representations of the peoples they studied. In the 1960s, anthropologists began to think more carefully about these issues, realizing that an insider’s point of view is never perfectly achievable. As human beings, our own perspectives are conditioned by our own enculturation, our own ways of seeing and thinking about the world around us. If an insider’s point of view is never really possible, should we give up on this aspirational goal of the discipline? In such a scenario, researchers would only study and write about people from the same sociocultural categories as themselves. So, for example, Americans would only research and write about other Americans. But are all Americans really members of the same sociocultural category? Could an upper-class Asian American from Manhattan research and write about a poor Black community in the Deep South? Could a Latino man write about a group of Latinx/Latina/Latino people consisting of all genders? American culture is not unique in its complex array of identities. In all cultures, people have multiple identities as members of multiple sociocultural categories. While you may be an insider within your culture in some respect, you may be an outsider by some other measure. The ethical question of who can represent who is riddled with difficulties. Moreover, resigning ourselves to studying “our own people,” whoever they might be, is tantamount to giving up on cross-cultural research and the insight, empathy, dialogue, and transformation that frequently result from it. Anthropological insights have been key to rethinking American notions of sexuality, family, and race, among so many other pressing issues. We need the skills of cross-cultural research now more than ever. While perfect representations of different communities and cultures may be impossible, many anthropologists now deploy innovative methods designed to address the problems of history and power at the heart of the discipline. The aim is not to achieve perfect ethnography but to work ethically and collaboratively to produce what contemporary cultural anthropologist Nancy Scheper-Hughes has termed “good enough ethnography.” Collaborative Methods of Representation Faced with the challenges of representation, many anthropologists practice methods of collaboration with the individuals and groups that they study. Collaborative ethnography has a very long history in cultural anthropology, traceable all the way back to early Euro-American ethnographies of Native Americans. Often, anthropologists began their research by employing a local person as a translator or field assistant, a role that usually evolved into something much more cooperative. Francis La Flesche (credit: “Francis laflesche” by National Anthropological Archives, Smithsonian Institution/Wikimedia Commons, Public Domain) Researching the Omaha peoples in the early 20th century, anthropologist Alice Cunningham Fletcher began working with a young Omaha man, Francis La Flesche . Through their collaboration, La Flesche became an ethnographer himself. While most anthropologists of the day merely acknowledged their local collaborators (if they did even that), La Flesche became a full coauthor of their joint ethnography, The Omaha Tribe (1911). Today, anthropologists collaborate with the people they study in a number of ways. Some involve local people as readers and editors of their work, sometimes including community responses in the published ethnography. Some conduct focus groups to generate local feedback on particular chapters. Some anthropologists hold community meetings or forums to talk about the major themes and implications of their work. And some, like Fletcher, collaborate with members of the local community as equal coauthors on books and articles. Such methods strengthen ethnography by ensuring accuracy, promoting multiple perspectives, and striving to make anthropological work more relevant to the communities being studied. Collaboration also draws attention to the personal side of ethnography. Instead of extracting ethnographic “facts” from the process of fieldwork, many contemporary anthropologists focus on describing particular people, insightful conversations, and cooperative practices encountered in their research. Through this kind of representation, culture is represented as a constellation of personal perspectives, each one shaped by the position of each person in that community. Anthropologists also now acknowledge that ethnography is shaped by the personal background and identity of the researcher as well as the motivations and intended audience of the research. Collaborative anthropologists frequently describe their research in the first person, openly acknowledging how their personal and cultural biases influence their research. Anthropologist Luke E. Lassiter takes a collaborative approach in his study of the song and dance of contemporary Kiowa communities of southern Oklahoma (1998). Lassiter describes how he became interested in Kiowa song as a boy through his involvement in the Order of the Arrow, an affiliate of the Boy Scouts. Moving beyond the superficial representations of Native American culture in Boy Scout teachings, Lassiter went on to attend powwows, where he met singers and learned more about Kiowa culture. He developed a close friendship with renowned Kiowa singer Billy Evans Horse , who taught Lassiter how to sing Kiowa songs and encouraged him to pursue his interest in Kiowa culture in graduate school. Instead of foregrounding his own description of Kiowa song and dance, Lassiter highlights the individual experiences and opinions of his local collaborators as they describe how songs are created, passed down, and interpreted in the community. Collaborative anthropology is not only more ethical and accurate; it is also more socially conscious and political. When anthropologists collaborate as equals, they often become socially involved and politically committed to the welfare of the communities they study. There are various terms for this, among them engaged anthropology , public anthropology , anthropological advocacy , and applied anthropology . When those communities face struggles over land, food security, medical care, or human rights abuses, many anthropologists support their interests in a number of ways. Anthropologists often speak out publicly, write sympathetic ethnographies, testify in court, participate in protests, and coordinate with organizations that can provide material aid. Anthropologist Stuart Kirsch was researching magic and sorcery in a Yonggom village in Papua New Guinea when he became concerned about pollution from local copper and gold mines nearby (2018). As the community he was studying mobilized to protect their environment, Kirsch became involved in their lawsuit against the Australian owners of the mine. He contributed to a social and environmental impact study and advised lawyers representing the affected communities. He spoke out to local media and scholarly publications, explaining the environmental problems caused by pollution from the mine. Working across Cultures toward Common Goals Stepping back for a moment, consider the problems facing us as humans on our shared planet. Climate change threatens the survival of humanity and the biodiversity of plants and animals. Forms of deeply entrenched inequality fuel racial, ethnic, and class conflicts within and between nations. These are global problems, transnational problems, cross-cultural problems. Human beings need to find a way to communicate and cooperate across the sociocultural boundaries that divide us, always recognizing the power dynamics involved in that process. How can we do this? Anthropology teaches us that we may never understand exactly how it feels to be a member of a different culture or group within our own culture. But if we want to work together with people of different sociocultural backgrounds to solve these pressing global issues, we have to try. Long-term fieldwork and cross-cultural collaboration are not perfect solutions to the challenges of cross-cultural understanding, but these methods give us a place to begin. And anthropological methods and insights can be transformative, making possible the kinds of empathy and dialogue necessary to solve our global problems. The goal of this anthropology textbook is to guide you in this process of transformation as you learn about the cultural lives of the various peoples with whom you share this planet. Representation and Otherness List three characters from fictional movies or television shows who represent people from cultures different from your own. What adjectives would you use to describe these characters? How are they made to appear? How do they act? Are they central or marginal characters? What role does each play in the plot or theme? What might be the consequences of representing cultural groups in this way? Do you see evidence of ethnocentrism, primitivism, and/or orientalism as described in this chapter? Summary Anthropology is an incredibly broad discipline, covering the entire scope of human experience, but its enormity is controlled by a common narrative and set of three central commitments. The common narrative states that human beings have developed flexible biological and social features that have worked together in a wide variety of environmental and historical conditions to produce a diversity of cultures. The three central commitments are exploring sociocultural diversity, examining how societies hold together, and studying the interdependence of humans and nature. Anthropologists have developed four main approaches to pursuing anthropology’s common narrative, comprising the discipline’s four fields: biological anthropology, archaeology, cultural anthropology, and linguistic anthropology. Each of these fields generates a particular type of knowledge about the human experience that can be integrated with knowledge from the other three fields into a deeper, richer understanding of humanity’s central challenges, such as racial injustice and climate change. Getting at that deeper understanding, anthropologists learn to recognize their own biases as forms of ethnocentrism such as primitivism and orientalism. Rather than categorizing societies according to levels of sophistication (as European scholars did in the 19th century), contemporary anthropologists use holistic techniques of examination and analysis, seeking to understand how the various elements within a culture fit together and how these elements can contradict one another, provoking change. Effective holistic analysis requires a commitment to the method of cultural relativism, which requires a researcher to set aside their own personal values in order to appreciate another culture on its own terms. An important contribution to a rich appreciation of another culture is the input and participation of cultural insiders. The ethical challenges of understanding and representing another culture have led anthropologists to develop collaborative ways of working with cultural insiders, aimed at addressing the power asymmetries of fieldwork and ethnography. Critical Thinking Questions Suggested Readings Engelke, Matthew. 2018. How to Think Like an Anthropologist . Princeton: Princeton University Press. Hastrup, Kirsten, ed. 2014. Anthropology and Nature . Routledge Studies in Anthropology 14. New York: Routledge. Otto, Ton, and Nils Bubandt, eds. 2010. Experiments in Holism: Theory and Practice in Contemporary Anthropology . Malden, MA: Wiley-Blackwell. References Ahmad, Attiya. 2017. Everyday Conversions: Islam, Domestic Work, and South Asian Migrant Women in Kuwait . Durham, NC: Duke University Press. Ball, Christopher. 2018. Exchanging Words: Language, Ritual, and Relationality in Brazil’s Xingu Indigenous Park . Albuquerque: University of New Mexico Press. Bayly, Susan. 1999. Caste, Society, and Politics in India from the Eighteenth Century to the Modern Age . The New Cambridge History of India, vol. 4, no. 3. Cambridge: Cambridge University Press. Bielo, James S. 2018. Ark Encounter: The Making of a Creationist Theme Park . New York: New York University Press. Boserup, Esther. (1970) 2007. Woman’s Role in Economic Development . London: Earthscan. Carr, E. Summerson. 2011. Scripting Addiction: The Politics of Therapeutic Talk and American Sobriety . Princeton, NJ: Princeton University Press. Dillehay, Tom D., ed. 2017. Where the Land Meets the Sea: Fourteen Millennia of Human History at Huaca Prieta, Peru . Austin: University of Texas Press. Edwards, David B. 2017. Caravan of Martyrs: Sacrifice and Suicide Bombing in Afghanistan . Oakland: University of California Press. Fredericks, Rosalind. 2018. Garbage Citizenship: Vital Infrastructures of Labor in Dakar, Senegal . Durham, NC: Duke University Press. Fuentes, Agustín. 2012. Race, Monogamy, and Other Lies They Told You: Busting Myths about Human Nature . Berkeley: University of California Press. Goody, Jack. 1976. Production and Reproduction: A Comparative Study of the Domestic Domain . Cambridge: Cambridge University Press. Haas, Randall, James Watson, Tammy Buonasera, John Southon, Jennifer C. Chen, Sarah Noe, Kevin Smith, Carlos Viviano Llave, Jelmer Eerkens, and Glendon Parker. 2020. “Female Hunters of the Early Americas.” Science Advances 6 (45): eabd0310. https://doi.org/10.1126/sciadv.abd0310. Halvaksz, Jamon. 2006. “Drug Bodies: Relations with Substance in the Wau Bulolo Valley.” Oceania 76 (3): 235–244. Heatherington, Tracey. 2010. Wild Sardinia: Indigeneity and the Global Dreamtimes of Environmentalism . Seattle: University of Washington Press. Isbell, Lynne A. 2009. The Fruit, the Tree, and the Serpent: Why We See So Well . Cambridge, MA: Harvard University Press. Jablonski, Nina G. 2006. Skin: A Natural History . Berkeley: University of California Press. Keim, Curtis, and Carolyn Somerville. 2018. Mistaking Africa: Curiosities and Inventions of the American Mind . 4th ed. New York: Routledge. Kirsch, Stuart. 2018. Engaged Anthropology: Politics beyond the Text . Oakland: University of California Press. Lassiter, Luke E. 1998. The Power of Kiowa Song: A Collaborative Ethnography . Tucson: University of Arizona Press. Lassiter, Luke E. 2005. “Collaborative Ethnography and Public Anthropology.” Current Anthropology 46 (1): 83–106. Malinowski, Bronislaw. 1922. Argonauts of the Western Pacific: An Account of Native Enterprise and Adventure in the Archipelagoes of Melanesian New Guinea . London: Routledge. Millar, Kathleen M. 2018. Reclaiming the Discarded: Life and Labor on Rio’s Garbage Dump . Durham, NC: Duke University Press. Miller, Daniel. 2019. “Smartphones: The Cultural, Individual and Technical Processes That Make Them Smart.” The Conversation. January 8, 2019. https://theconversation.com/smartphones-the-cultural-individual-and-technical-processes-that-make-them-smart-106560. Mintz, Sidney W. 1985. Sweetness and Power: The Place of Sugar in Modern History . New York: Viking. Mohr, Sebastian. 2018. Being a Sperm Donor: Masculinity, Sexuality, and Biosociality in Denmark . New York: Berghahn Books. Morgan, Marcyliena. 2009. The Real Hiphop: Battling for Knowledge, Power, and Respect in the LA Underground . Durham, NC: Duke University Press. Nittle, Nadra Kareem. 2021. “Common Arab Stereotypes in TV and Film.” ThoughtCo. March 18, 2021. https://www.thoughtco.com/tv-film-stereotypes-arabs-middle-easterners-2834648. Orser, Charles E., Jr. 2007. The Archaeology of Race and Racialization in Historic America . Gainesville: University Press of Florida. Peregrine, Peter Neal. 2018. “Boas, Franz (1858–1942).” In The International Encyclopedia of Anthropology , edited by Hilary Callan. Wiley Online Library. https://doi.org/10.1002/9781118924396.wbiea1299. Ralph, Laurence. 2014. Renegade Dreams: Living through Injury in Gangland Chicago . Chicago: University of Chicago Press. Said, Edward. 1979. Orientalism . New York: Vintage Books. Schaik, Carel van. 2004. Among Orangutans: Red Apes and the Rise of Human Culture . Cambridge, MA: Belknap Press of Harvard University Press. Singleton, Theresa A, ed. (1985) 2016. The Archaeology of Slavery and Plantation Life . New York: Routledge. Stanley, Henry Morton. 1878. Through the Dark Continent; or, The Sources of the Nile around the Great Lakes of Equatorial Africa and down the Livingstone River to the Atlantic Ocean . London. Torres, Jada Benn, and Gabriel A. Torres Colón. 2021. Genetic Ancestry: Our Stories, Our Pasts . New York: Routledge. Tourigny, Eric. 2020. “Do All Dogs Go to Heaven? Tracking Human-Animal Relationships through the Archaeological Survey of Pet Cemeteries.” Antiquity 94 (378): 1614–1629. https://doi.org/10.15184/aqy.2020.191. insider’s point of view a goal of anthropological research, representing the perspectives of people who practice a particular culture.", "section": "Reaching for an Insider’s Point of View", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction These archaeologists are working to uncover a fresco on a building in Pompeii, Italy. Pompeii was famously covered in ash when nearby Mount Vesuvius erupted in 79 CE. The ash has preserved many structures and artifacts from the time. (credit: “Pompeii Restoration Work” by Justin Ennis/flickr, CC BY 2.0) Fieldwork is one of the most important practices of anthropology. While all of the subfields of anthropology conduct fieldwork in some form to gather information, each subfield may use different methods of conducting research. The concept of working in “the field” was traditionally based on the practice of traveling to distant regions to study other cultures within their native environmental contexts. In recent decades, “the field” has broadened to include diverse settings such as one’s hometown (as in urban anthropology), the Internet (visual or virtual anthropology), or collections in university archives and museums (ethnohistory or museum anthropology).", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Archaeological Research Methods Learning Outcomes By the end of this section, you will be able to: Describe archaeological techniques for uncovering artifacts. Explain the importance of context in making sense of artifacts and describe how researchers record content while working in the field. Describe the law of superposition as used in the field of archaeology. Describe the different types of relative dating methods used by archaeologists. Identify and briefly define four absolute or chronometric dating methods. Many people have an inherent fascination with the human past. Perhaps this fascination stems from the fact that people recognize themselves in the objects left behind by those who have lived before. Relics of past civilizations, in the form of human-made cultural artifacts , temples, and burial remains, are the means by which we can begin to understand the thoughts and worldviews of ancient peoples. In the quest to understand these ancient societies, human curiosity has sometimes led to fantastical myths about races of giant humans, dragons, and even extraterrestrial beings. In the realm of archaeology, less speculative methods are used to study the human past. Scientific approaches and techniques are the foundation of archaeology today. Archaeological Techniques In archaeology, the first step in conducting field research is to do a survey of an area that has the potential to reveal surface artifacts or cultural debris. Surveys can be done by simply walking across a field, or they may involve using various technologies, such as drones or Google Earth, to search for unusual topography and potential structures that would be difficult to see from the ground. Cultural artifacts that are found may become the basis for an archaeological excavation of the site. A random sampling of excavation units or test pits can determine a site’s potential based on the quantity of cultural materials found. GPS coordinates are often collected for each piece of cultural debris, along with notes on specific plants and animal found at the site, which can be indicators of potential natural resources. Features such as trails, roads, and house pits are documented and included in a full set of field notes. Government agencies have different protocols about what constitutes an archaeological site; the standard in many areas is six cultural objects found in close proximity to one another. When preparing a site for excavation, archaeologists will divide the entire site into square sections using a grid system, which involves roping off measured squares over the surface of the site. This grid system enables archaeologists to document and map all artifacts and features as they are found in situ (in the original location). All objects and features uncovered are assigned catalog or accession numbers, which are written on labels and attached to the artifacts. These labels are especially important if artifacts are removed from the site. Excavation is a slow process. Archaeologists work with trowels and even toothbrushes to carefully remove earth from around fragile bone and other artifacts. Soil samples may be collected to conduct pollen studies. Ecofacts —objects of natural origins, such as seeds, shells, or animal bones—found at a site may be examined by other specialists, such as zooarchaeologists , who study animal remains, or archaeobotanists , who specialize in the analysis of floral (plant) remains with an interest in the historical relationships between plants and people over time. Every cultural and natural object and feature is fully documented in the field notes, with its exact placement and coordinates recorded on a map using the grid system as a guide. These coordinates represent an object’s primary context . If uncovered objects are moved before documentation takes place, the archaeologist will lose the archaeological context of that object and its associated data. Archaeological context is the key foundation of archaeological principles and practice. In order to understand the significance and even age of artifacts, features, and ecofacts, one needs to know their context and association with other objects as they were found in situ. Objects that have been removed from their primary context are said to be in a secondary context . Careful and proper documentation is vitally important. This information becomes part of the archaeological record and guides and contributes to future research and analysis. This dig site in Vindolanda, England has yielded thousands of artifacts left behind by Roman occupiers in the years 85 – 370 CE. (credit: “Digging Archaeology 4” by Son of Groucho/flickr, CC BY 2.0) Archaeological Dating Methods Establishing the age of cultural objects is an important element of archaeological research. Determining the age of both a site and the artifacts found within is key to understanding how human cultures developed and changed over time. Other areas of science, such as paleontology and geology, also use dating techniques to understand animal and plant species in the ancient past and how the earth and animal species evolved over time. Relative Dating The earliest dating methods utilized the principles of relative dating , developed in geology. Observing exposed cliffsides in canyons, geologists noted layers of different types of stone that they called strata ( stratum in the singular). They hypothesized that the strata at the bottom were older than the strata higher up; this became known as the law of superposition . According to the law of superposition, not just geological layers but also the objects found within them can be assigned relative ages based on the assumption that objects in deeper layers are older than objects in layers above. The application of the law of superposition to archaeological fieldwork is sometimes called stratigraphic superposition . This method assumes that any cultural or natural artifact that is found within a stratum, or that cuts across two or more strata in a cross-cutting relationship , is younger than the stratum itself, as each layer would have taken a long time to form and, unless disturbed, would have remained stable for a very long time. Examples of forces that might cause disturbances in strata include natural forces such as volcanos or floods and the intervention of humans, animals, or plants. The law of superposition was first proposed in 1669 by the Danish scientist Nicolas Steno . Some of the first applications of this law by scholars provided ages for megafauna (large animals, most commonly mammals) and dinosaur bones based on their positions in the earth. It was determined that the mammalian megafauna and the dinosaur bones had been deposited tens of thousands of years apart, with the dinosaur remains being much older. These first indications of the true age of fossil remains suggested a revolutionary new understanding of the scale of geological time. It was eventually determined that if a specific set and sequence of strata is noted in several sites and over a large enough area, it can be assumed that the ages will be the same for the same strata at different locations in the area. This insight enabled geologists and archaeologists to use the structures of soils and rocks to date phenomena noted throughout a region based on their relative positions. Archaeologists call this method archaeological stratification , and they look for stratified layers of artifacts to determine human cultural contexts. Stratigraphic layers found below cultural layers provide a basis for determining age, with layers above assumed to be more recent than those below. According to the principle of superposition objects found at deeper layers (called stratum) are older than those found above. In this illustration, the pottery fragments in Stratum E can be assumed to be older than the shell buttons found in Stratum C. The objects nearest the surface (aluminum can, plastic bottle) are obviously most recent. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Another method of dating utilized by archaeologists relies on typological sequences . This method compares created objects to other objects of similar appearance with the goal of determining how they are related. This method is employed by many subdisciplines of archaeology to understand the relationships between common objects. For example, typological sequencing is often conducted on spearpoints created by Indigenous peoples by comparing the types of points found at different locations and analyzing how they changed over time based on their relative positions in an archaeological site. Another form of typological sequencing involves the process of seriation . Seriation is a relative dating method in which artifacts are placed in chronological order once they are determined to be of the same culture. English Egyptologist, Flinders Petrie introduced seriation in the 19th century. He developed the method to date burials he was uncovering that contained no evidence of their dates and could not be sequenced through stratigraphy . To address the problem, he developed a system of dating layers based on pottery (see Figure 2.4). Petrie’s Egyptian pottery seriation method is built upon the observation that styles change with time. Petrie arranged pottery artifacts into similar groups based on stylistic features and placed them along a relative timeline based on these features. (credit: “Evolution of Egyptian prehistoric pottery styles, from Naqada I to Naqada II and Naqada III” by W. M. Flinders Petrie and A. C. Mace/Wikimedia Commons, Public Domain) Typological sequences of pottery, stone tools, and other objects that survive in archaeological sites are not only used to provide dating estimates. They can also reveal much about changes in culture, social structure, and worldviews over time. For example, there are significant changes in stratigraphy during the agricultural age, or Neolithic period, at around 12,000 BCE. These changes include the appearance of tended soils, pollens that indicate the cultivation of specific plants, evidence of more sedentary living patterns, and the increased use of pottery as the storage of food and grain became increasingly important. Archaeological evidence also shows a growing population and the development of a more complex cultural and economic system, which involved ownership of cattle and land and the beginning of trade. Trade activities can be determined when pottery types associated with one site appear in other nearby or distant locations. Recognizing the connections between objects used in trade can shed light on possible economic and political interrelationships between neighboring communities and settlements. Chronometric Dating Methods Chronometric dating methods , also known as absolute dating methods , are methods of dating that rely on chemical or physical analysis of the properties of archaeological objects. Using chronometric methods, archaeologists can date objects to a range that is more precise than can be achieved via relative dating methods. Radiocarbon dating , which uses the radioactive isotope carbon-14 ( 14 C), is the most common method used to date organic materials. Once a living organism dies, the carbon within it begins to decay at a known rate. The amount of the remaining residual carbon can be measured to determine, within a margin of error of 50 years, when the organism died. The method is only valid for samples of organic tissue between 300 and 50,000 years old. To ensure accuracy, objects collected for testing are promptly sealed in nonporous containers so that no atmospheric organic substances, such as dust, pollen, or bacteria, can impact the results. Dating systems that measure the atomic decay of uranium or the decay of potassium into argon are used to date nonorganic materials such as rocks. The rates of decay of radioactive materials are known and can be measured. The radioactive decay clock begins when the elements are first created, and this decay can be measured to determine when the objects were created and/or used in the past. Volcanic materials are particularly useful for dating sites because volcanoes deposit lava and ash over wide areas, and all the material from an eruption will have a similar chemical signature. Once the ash is dated, cultural materials can also be dated based on their position relative to the ash deposit. The technique of dendrochronology relies on measuring tree rings to determine the age of ancient structures or dwellings that are made of wood. Tree rings develop annually and vary in width depending on the quantity of nutrients and water available in a specific year. Cross dating is accomplished by matching patterns of wide and narrow rings between core samples taken from similar trees in different locations. This information can then be applied to date archaeological remains that contain wood, such as posts and beams. Dendrochronology has been used at the Pueblo Bonita archaeological site in Chaco Canyon, New Mexico, to help date house structures that were occupied by the Pueblo people between 800 and 1150 CE. The Laboratory of Tree-Ring Research, based in Tucson, is the world’s oldest dendrochronology lab. Go on a tree-ring expedition! The most effective approach for dating archaeological objects is to apply a variety of dating techniques, which allows the archaeologist to triangulate or correlate data. Correlating multiple methods of dating provides strong evidence for the specific time period of an archaeological site. Strategy What It Is How It Is Seen How It Is Read Assumptions Dendrochronology Tree ring width pattern Growth in life, ring Count rings and measure 1 ring = 1 year; no duplication or missed rings; regional comparability 14 C Radioactive decay and atom counting Decay after death Count beta decay or 14 C per unit volume Half-life of 14 C- 12 C decay known; exchange with atmosphere and productions rates constant Chronometric Dating Techniques absolute dating methods (see also chronometric dating methods) dating methods that use physical and chemical properties of artifacts and structures modified by humans to establish their age without reference to other artifacts. For example, radiocarbon dating is used to date organic materials generally up to 50,000 years old. archaeobotanist a specialist who studies plants and seeds appearing in an archaeology site. archaeological context the place where an object was originally found, along with other associations, such as the stratum it was found in, specific features, and other objects associated with it. archaeological excavation the scientific process of uncovering artifacts and other biological and cultural remains in the historic and prehistoric past of human-inhabited sites. artifacts objects that are portable and show evidence of human cultural activity; for example, bones that show evidence of drawings sketched on them, stone tools, pottery, etc. chronometric dating methods dating methods used to analyze various physical or chemical characteristics of an artifact in order to assign a date or range of dates for its production. cross-cutting relationship a principle in geology and archaeology that suggests that a geologic or cultural feature that cuts across another feature is the more recently deposited of the two. dendrochronology an absolute dating technique that uses patterns of growth of tree rings and cross-dating to determine the approximate age of wood. ecofacts natural objects found at an archaeological site, such as seeds, bone, shells, etc., that show no sign of human craftsmanship. features cultural structures found at an archaeological site that are not movable or portable, such as parts of a temple, altars, tombs, etc. law of superposition the geological principle of stratigraphy that assumes that materials, normally rock layers, found beneath other materials are older that the materials on top. primary context the context of an artifact, feature, or site that has not been disturbed since its original deposition. radiocarbon dating a dating technique for organic substances that measures the decay of radioactive carbon in the sample; also called carbon-14 ( 14 C or C 14 ) dating. This is the most widely used technique for dating organic artifacts between 50 and 60,000 years old. relative dating describes methods of determining the relative order of past events through comparisons of two or more artifacts without determining their absolute age; e.g., sample 1 is older than sample 2 because sample 1 was found beneath sample 2. secondary context the context of a cultural or natural objects that has been moved or disturbed from its original location and is thus no longer associated with its place of origin; for example, a burial that has been moved from its original location due to geological shifts or natural disaster. seriation a relative dating method that places similar artifacts from the same area in a chronological sequence. strata plural of stratum ; in geology and archaeology, distinct layers of deposited natural or archaeological material. stratigraphic superposition a relative dating method that assumes that any cultural or natural artifact that is found within a stratum, or that cuts across two or more strata in a cross-cutting relationship, is younger than the stratum itself. stratigraphy the process of identifying the order and relative positions of strata. stratum singular of strata ; one specific layer of deposited natural or archaeological material. typological sequence a set or group of objects ordered according to their types. zooarchaeologist an archaeologist who specializes in the identification of animal remains at an archaeological site.", "section": "Archaeological Research Methods", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Conservation and Naturalism Learning Outcomes By the end of this section, you will be able to: Describe conservation efforts undertaken in the United States in the 19th century. Define salvage anthropology and describe its origins and methods. Provide an example of an anthropologist who used their research to help the people they were studying. Explain why museums can be said to have created exhibits reflecting limited interpretations and describe efforts to correct this limitation. Early Efforts The conservation movement began in the 19th century as people in Europe and America began to realize that human settlement and the exploitation of the world’s natural resources had led to the destruction or endangerment of numerous animals, plants, and significant environments. Efforts began in the 1860s to understand and protect the remaining natural landscapes and habitats. These efforts were partly motivated by concern for wildlife and natural areas. However, also significant were the concerns of sporting organizations and recreationists. The primary aim of early conservation efforts was to preserve significant natural ecosystems for parks or wilderness areas so that sportspeople and outdoor enthusiasts would have places to hunt, fish, and explore. Many areas preserved by these early efforts are still protected today, such as Yellowstone and Yosemite National Parks in the United States. An element of this early period of conservation was the effort to collect specimens for display in natural history museums. This collection effort was part of a movement known as naturalism , which seeks to understand the world and the laws that govern it by direct observation of nature. The late 19th and early 20th centuries saw a marked growth in naturalist collections worldwide as many cities and nations sought to establish and fill their own natural history museums. These collections have been particularly useful to zooarchaeologists and archaeobotanists, who use specimen collections of mammals, birds, fish, and plants to identify natural objects and animal remains found at human burial sites. Many archaeology labs have collections of animal skeletons for comparative anatomy, analysis, and identification (see Figure 2.5). Collections of bones, such as this collection of specimens from various animal species housed at the Wildlife Forensics Lab in Ashland, Oregon, serve as a useful resource for zooarchaeologists. (credit: “Wildlife Forensics Lab” by US Fish and Wildlife Service Headquarters/flickr, Public Domain) In addition to animal specimens, Native American baskets and other Indigenous art objects were collected and placed in natural history museums . When visiting the Auckland Museum in Auckland, New Zealand, visitors today encounter two large totem poles in the foyer. Northwest Coast totem poles are common in most older museums throughout the world. These totem poles were gathered from America’s Northwest Coast in the late 19th and early 20th centuries as part of the worldwide conservation and naturalism movement. Most museums sought to purchase such artifacts, but in some cases, artifacts were stolen when Indigenous owners were unwilling to sell them. Many natural history museums also established dioramas depicting both Indigenous peoples and animals in their “natural” world. The practice of installing dioramas of Indigenous people is now heavily criticized because of the implication that Indigenous peoples are akin to animals and plants. Many museums have stopped this practice and have even dropped the phrase natural history from their names. However, the Smithsonian Institution’s National Museum of Natural History in Washington, DC, and the American Museum of Natural History in New York both maintain the designation and still display dioramas of Indigenous peoples. This diorama of Native Americans is on display in the Indiana State Museum in Indianapolis, Indiana. Such dioramas have come under criticism for the way that they depict Indigenous peoples and cultures. (credit: “Native Americans – Indiana State Museum – DSC00394” by Daderot/Wikimedia Commons, Public Domain) Salvage Anthropology Connected to the collecting of Indigenous artifacts is a practice known as salvage anthropology . Salvage anthropology was an effort to collect the material culture of Indigenous peoples in the United States and other parts of the world who were believed to be going extinct in the later 19th century. During this period, many anthropologists dedicated themselves to collecting material objects, stories, language lists, and ethnographies from tribal peoples worldwide. Many collections were made through legitimate means, such as purchasing objects or sitting down with collaborators (called informants in older anthropological vernacular) to record traditional stories, but some collecting involved the theft of tribal cultural items or purchases from intermediary traders. Many of these anthropologists were hired by the Bureau of American Ethnology (BAE) , a division of the Smithsonian Institution, and spent considerable time living with Native peoples on the reservations that were by then home to most Native Americans. Language was a special research focus for linguists and anthropologists, as many Native languages were rapidly going extinct. Through analysis of language, an anthropologist can understand the meaning of words and their context as well as gain a sense of a culture’s philosophy and worldviews. Anthropologists were not paid well to do this work for the BAE. Some began supplementing their income by buying cultural objects at a low cost from the people they studied and selling those objects at a much higher rate to museums. This practice is now acknowledged as unethical and exploitative. The anthropological research of this period has also been criticized for focusing solely on cultural knowledge while ignoring the hardships faced by the culture. For example, few anthropologists chose to help their subjects address the circumstances of living in poverty on the reservations. Leonard J. Frachtenberg was an anthropologist working during the salvage anthropology period who did take action to help the people he was studying. Around the turn of the 20th century, Frachtenberg was conducting research to collect the languages of the people living on the Siletz Reservation , in Lincoln County, on Oregon’s coast. He worked extensively with collaborators from the Coos, Coquille, Lower Umpqua, and Alsea tribes—some of whom were living at the Siletz Reservation and some who had returned to their native lands—and published a series of oral histories based on his research. He also helped the tribes locate lost unratified treaties from the 1850s and use those treaties to successfully sue the federal government. In the treaties, the government had promised to pay the Indigenous peoples of Oregon’s coast for their ancestral land if they peacefully relocated to the Siletz Reservation. The people upheld their part of the bargain, but they never received any payment. Frachtenberg helped a Coquille man named George Wasson travel to Washington, DC, and locate copies of the treaties in the National Archives. In 1908, the tribes began the process of successfully suing the federal government for payment for their lands. This process took some 40 years to complete for many tribes, and not all tribes have been fairly paid to this day. Museum Collections Most of the materials collected by anthropologists during the period of salvage anthropology ended up in museums and university archives. Many natural history museums now display large dioramas featuring the material objects of numerous tribes. Museum research libraries house extensive collections of manuscripts and ethnographies. Archaeologists have contributed to these collections as well; many museums contain large collections of human remains. Indigenous peoples have criticized these collections, especially the gathering of human remains, which is seen as sacrilegious. Today, there are millions of sets of human remains (some full skeletons, but most single bones) in museum repositories that have never been studied and perhaps never will be. Anthropologists spent so much of their time in the early period collecting that they had little time to study or analyze what they found. Many collections were put in storage after the anthropologists who had gathered them moved on to a new project or passed away. There are currently millions of material artifacts and ethnographic manuscripts that have never been fully studied. These archived materials offer research opportunities for anthropologists as well as for Indigenous peoples, who are making use of these collections to help recover parts of their cultures that were lost due to the assimilation policies of the past 200 years. One person who has taken advantage of these archives is linguistic anthropologist Henry Zenk . Zenk has spent years studying the languages and cultures of the tribes of western Oregon, specifically the Chinook, Kalapuya, and Molalla tribes. He conducted research with the Grand Ronde tribe in the 1970s and 1980s and became a proficient speaker of Chinuk Wawa , a trade language spoken by tribes from southern Alaska to northern California and as far east as Montana. He has taught the language at the Grand Ronde Reservation for nearly 30 years. He is also one of the experts on the Kalapuya languages , spoken by the Kalapuya tribes of the Willamette and Umpqua Valleys, and in 2013, he began a project to translate the Melville Jacobs Kalapuya notebooks. Melville Jacobs was an anthropologist from the University of Washington who studied the languages of the Northwest Coast from 1928 until his death in 1971. He filled more than 100 field notebooks with information on the languages of the peoples of western Oregon, with a special focus on Kalapuya. Jacobs published a book of Kalapuya oral histories in 1945, Kalapuya Texts . He also worked with Kalapuya speaker John Hudson to translate numerous texts prepared by earlier anthropologists Leonard Frachtenberg and Albert Gatschet . Jacobs and Hudson were able to translate several of these previously gathered texts, but many remained untranslated when Hudson died in 1953. Zenk, along with colleague Jedd Schrock, spent many years first learning Kalapuya and then translating a set of the Jacobs notebooks that recorded the knowledge and history of a Kalapuya man named Louis Kenoyer . In 2017, Zenk and Schrock published My Life, by Louis Kenoyer: Reminiscences of a Grand Ronde Reservation Childhood . Zenk and Schrock’s work is a fine example of the research possibilities offered by the existing work of previous anthropologists. Zenk worked closely with the Grand Ronde tribe on this project and endeavored to make sure that the translation of Kenoyer’s story would benefit the people of the tribe to help them to better understand their own history. His research and work with members of the Grand Ronde tribe spanned 50 years, beginning with his PhD project, which involved extensive work with Grand Ronde members, who at the time were not a federally recognized tribe. In the 1990s, Zenk began working with the tribe to teach Chinuk Wawa to tribal members. The tribe today has an extensive language immersion project to teach the language to young people. Zenk has been a consistent influence, serving as advisor, teacher, master-apprentice instructor, and researcher. Zenk’s work has helped the tribe recover parts of its culture and history that had been lost for many decades. This page of an anthropologist’s field notebook from 1949 contains a travel itinerary for several months. Contemporary anthropologists are likely to have such information in digital format. (credit: “Field Notes – Mexico, 1949 (Page 180) BHL46264382” by James Arthur Peters/Biodiversity Heritage Library/Wikimedia Commons) Albert Gatschet 1832–1907 Albert Gatschet was a Swiss-American ethnologist who pioneered the scientific study of Native American languages. Here he is at age 61. (credit: “PSM V41 D306 Albert S Gatschet” by Popular Science Monthly /Wikimedia Commons, Public Domain) Personal History: Albert Gatschet was a Swiss philologist and ethnologist who emigrated to the United States in 1868. He had a great interest in linguistics and Native American languages, and he gained attention in 1872 for his comparative analysis of 16 southeastern tribal vocabularies, which opened up new areas of research in linguistics. In 1877, he was hired to work on the Geographical and Geological Survey of the Rocky Mountain Region as an ethnologist. He also collected many notebooks of languages from Native peoples in California and Oregon. He is most noted for his studies of the languages of the southeastern tribes and his ethnography of the Klamath Tribes of Oregon. Gatschet was fluent in numerous languages and published in English, French, and German in the United States and Europe during his career. He also became quite fluent in numerous Native languages. His first large work was Orts-etymologische Forschungen aus der Schweiz (Etymological research on place names from Switzerland, 1865–1867), a study of Swiss place names that is still the standard authority today. Area of Anthropology: Philology, ethnology, linguistics Accomplishments in the Field : One of Gatschet’s most significant analyses was of the southeastern tribal languages, principally the Timucua language of northern Florida. Based on analysis of the notes of the Catholic priest Father Pareja, who had collected language texts from the Timucua people in 1612–1614, Gatschet determined that Timucua was a distinct language group that had gone extinct. Gatschet also examined the Catawba language of South Carolina, concluding that it was related to the Siouan languages of the western Great Plains. From 1881 to 1885, Gatschet worked in Louisiana, discovering two new languages and completing ethnographic descriptions of the southern tribes. In 1886, he found the last speakers of the Biloxi and Tunica languages and related them to the Siouan languages as well. He published his studies of the Gulf tribes in the two-volume work A Migration Legend of the Creek Indians (1884, 1888). In 1877 and 1878, Gatschet spent time among the tribes of the Grand Ronde Reservation in Oregon. He collected some of the first professional field notes on the Kalapuya, Molala, and Shasta languages from some of the last speakers, and he published and made notes about the Kalapuya mounds. Upon leaving the reservation, he spent time researching the traditions of the Tualatin Kalapuya people in their traditional lands in the Tualatin Valley. He then went to the Klamath Reservation, where he collected field notes on the Klamath language. He worked his field notes into a two-part work, The Klamath Indians of Southwestern Oregon (1890), volume 2 of the US Department of the Interior’s Contributions to North American Ethnology . Gatschet was commissioned by the Bureau of American Ethnology (BAE) in 1891 to investigate the Algonquian people of the United States and Canada, a study he never fully completed. Illness forced him to retire, but near his death, he remained engaged in studies of Chinese languages. After his death, his wife, Louise Horner Gatschet, sold his field notes to the BAE. She was also hired by the BAE to help translate much of his work. Gatschet’s letters mention his wife being with him throughout his travels; she likely contributed in numerous ways to his field studies. Importance of His Work : Gatschet was one of the first professional anthropologists to visit many tribes and was able to collect ethnographies and narratives from peoples who were gone within the next decade. He analyzed language families in the field and provided early frameworks of connected languages. Gatschet’s work is fundamental to the study of the languages of western Oregon and the southeast Gulf area of the United States. His professional work, which applied rigorous methods to collect Native languages, predates much of the work of Franz Boas, who is credited with implementing scientific methods in the study of human societies. Interpretation and Voice There is increasing acknowledgement of the role of interpretation in the study of the human past. Although ideally grounded in well-conducted research and the best evidence available at the time, all conclusions about what might have been are based on the interpretations proposed by the authors of history. The backgrounds and viewpoints of those conducting research and publicizing findings play a significant role in the conclusions they reach and share with other scholars. Interpretation and perspective are affected by many factors, including racial category, nationality, religious beliefs, social status, political affiliation, ambitions, and education. For many years, anthropological studies were almost always conducted by White, male scholars who grew up in the Northern Hemisphere and were educated in the same system. These common backgrounds represent a significant interpretive bias. After being accessioned into museums, many collections of cultural artifacts have not been altered in more than 100 years. When these material objects were initially placed on display, choices about their arrangement and the written descriptions that accompanied them were made by museum curators. Most of these curators did not reach out to the originators of the artifacts or their descendants for input, and many exhibits do not accurately depict or describe the objects on display. Museum exhibits have been found to contain inaccurate information about objects’ material composition, makers, tribal cultures, collection sites, and proper use. Many other display objects are lacking this information altogether. Several museums are now seeking the help of Native people to better understand and more accurately tell the story of their collections. These Native perspectives are correcting misconceptions about the meaning and context of cultural artifacts and providing correct information about basic things such as the materials and processes used in the objects’ production. Native input is also guiding museums in making choices about how objects are arranged and displayed. This input has been invaluable in helping museums more accurately tell the stories and display the context of the peoples who originally created the objects on display. naturalism an approach that seeks to understand the world and the laws that govern it by direct observation of nature. oral histories histories of previous events, moral or ethical lessons, or stories of creation that are passed down by memorization. Many oral histories are also called mythologies, legends, texts, or folklore. salvage anthropology a particular period in early anthropological practices (1870s–1930s) during which tribal cultures were subject to extreme collecting from researchers. The practice occurred because of fears that Native cultures would go extinct and there would be nothing further to study.", "section": "Conservation and Naturalism", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Ethnography and Ethnology Learning Outcomes By the end of this chapter, you will be able to: Identify early anthropological practices pertaining to ethnography. Define ethnology and provide examples of how it is used in anthropology. Describe efforts to achieve multiple perspectives in anthropological research. Define feminist anthropology and describe its aims. The Development of Ethnography and Ethnology As discussed in What is Anthropology? ethnography is a method used by cultural anthropologists to create a description of a culture or society. Ethnographers gather and utilize information from many sources, such as fieldwork, museum collections, government records, and archaeological data. In the 19th century, a form of ethnography developed that was called armchair anthropology , in which theories about human societies and human behaviors were proposed solely based on secondhand information. Lewis Henry Morgan is a well-known practitioner of this type of research. The content of his most famous publication, League of the Ho-dé-no-sau-nee, or Iroquois (1851), was gathered primarily from other books he read. Morgan did meet with Native peoples at various times in his career, but he did not conduct ethnographic research among the Iroquois before writing League of the Ho-dé-no-sau-nee, or Iroquois . In the later 19th century, numerous anthropologists and other scholars undertook research projects with hundreds of tribes throughout the Americas, many of them by then living solely on federal reservations. Many of these researchers were influenced by Columbia University professor Franz Boas , a German scientist who was originally trained as a physicist but became most famous as an anthropologist. Boas insisted that scholars obtain ethnographical information directly from the peoples they aimed to write about, rather than collecting information from other published sources. Boas quickly established himself as a leader in the field of anthropology and eventually took an associate role at the federal Bureau of American Ethnology. Franz Boas is credited with establishing the standards of field research that became the foundation of contemporary anthropological practices. Here he is in 1915, 57 years old. (credit: “Franz Boas” by Canadian Museum of History/Wikimedia Commons, Public Domain) Boas advocated for and published in all four fields of anthropology and asked many key questions in his scholarship. In his 1907 essay “ Anthropology ,” Boas identified two basic questions for anthropologists: “Why are the tribes and nations of the world different, and how have the present differences developed?” (Boas [1974] 1982, 269). Boas was responsible for hiring scholars and sending them out into the field to collect information about various Indigenous peoples. His standards of field research became the foundation of the contemporary science of anthropology. One area of interest for early anthropologists was the similarities and differences between various Indigenous societies. This interest in comparison led to a branch of anthropology called ethnology , which is a cross-cultural comparison of different groups. In early anthropology, ethnology’s aim was to understand how various Indigenous societies were related to one another. This included the relations among language dialects, dress, and appearance and to what degree and in what direction various tribes had migrated from one location to another. Early anthropologists explored these questions with the hope of tracking changes in tribal cultures. Another leading concern was how Native peoples initially got to the Americas. Anthropologists have used the practices of ethnology to establish relationships and shared cultural elements that help illuminate migration patterns of peoples from the “old” to the “new” world. Ethnology is still a common practice in linguistics, archaeology, and biological anthropology. Some additional uses of ethnology are fused with archaeological methods and analysis. Ethnoarchaeology is a form of archaeology in which, following methods largely created by American archaeologist Lewis Binford , archaeologists access ethnographic information about recent or existing human cultures to draw conclusions about human cultures in the archaeological past. In Binford’s 1978 study Nunamiut Ethnoarchaeology , he draws comparisons between the ways in which contemporary Indigenous peoples disposed of animal remains and the evidence observed in Nunamiut refuse sites. These comparisons inform a model that is used to understand more about how Indigenous peoples’ ancestors may have disposed of remains in the past. Such models are not perfect, but many Indigenous cultures have maintained aspects of their culture to the present day. Perspective and Interpretation in Ethnography Ethnography is still commonly used by cultural anthropologists. Practitioners today consult multiple informants during their research in order to gather a variety of perspectives on a culture or society. No one person has a full or authoritative view of their own culture; multiple viewpoints are essential to a full description. Many early anthropological studies only invited male perspectives, introducing a male bias into the resulting ethnographies. Now, anthropologists deliberately seek varied perspectives, consulting people of different genders and ages and who occupy different roles. Anthropologists can introduce significant bias into an ethnography. The most challenging aspect of fieldwork in cultural anthropology is to observe and study another culture without bias. Having an ethnocentric or etic perspective means someone is judging a culture according to the standards of their own culture and belief system. To observe a culture from the perspective of the people being researched is to have an emic perspective . For anthropologists to be effective researchers, they must be able to observe and gather data from unbiased and emic perspectives. In addition, an anthropologist’s interpretation of the information gathered can significantly alter their research findings. Earlier anthropologists were primarily male and White, so their findings were based on interpretations made through these lenses. Feminist anthropology attempts to address this male bias. Feminist anthropology is recognized as having begun as early as the 1850s, with attempts made (by male anthropologist) to include more information on women in their ethnographic research. In the 1920s, female anthropologists such as Zora Neale Hurston and Ruth Benedict began publishing in the field, but not until the 1928 publication of Margaret Mead ’s Coming of Age in Samoa did a female anthropologist gain prominence. This U.S. postage stamp honors anthropologist Margaret Mead. Mead was one of the first female anthropologists to be acknowledged for her work and insights. (credit: “Margaret Mead Stamp” by John Curran/flickr, CC BY 2.0) Women’s contributions and perspectives became much more pronounced in the later parts of the 20th century. Feminist anthropologists seek not only to claim a role for themselves in the field equal to that offered to men but also to expand the focal points of anthropological inquiry to include areas of life such as family, marriage, and child-rearing, as well as the economic and social roles played by women. The dominance of male anthropologists had biased analysis of human societies toward male-dominated roles and activities. Many early archaeological research, for example, assigned no role to women in early societies or assumed that women’s roles were limited to maintaining households and raising children. Evidence of women’s subsistence and economic activities was either not looked for or ignored. It was also assumed that women in early societies had subservient roles to men, when in fact most early societies have now been found to be very egalitarian, with equal status accorded to women and men. Feminist anthropology has both expanded research to include women’s roles and aimed to understand the gender roles in other societies on their own terms, rather than according to the gender roles of the researcher’s own society. Other perspectives emerged in anthropology in the 1970s as more members of minority groups began entering the field. One category of minority voices that has been a significant asset to anthropology is that of people with Indigenous ancestors. Practitioners with this type of background are part of a subfield called Indigenous anthropology . Indigenous anthropology is discussed in detail in Indigenous Anthropology . armchair anthropology a method of conducting anthropological research without doing fieldwork, relying instead on materials and documents previously collected by others. emic perspective viewing and attempting to evaluate other peoples and cultures according to the standards of those cultures; an “insider’s” point of view. ethnology the study of differences and relationships between various peoples, societies, and cultures. etic (or ethnocentric) perspective viewing a culture from the perspective of an outsider looking in. feminist anthropology an approach to anthropology that seeks to transform research methods and findings by engaging with more diverse perspectives and using insights from feminist theory. Indigenous anthropology the study of one’s own culture or society using anthropological methods. The term has come to mean any application of Indigenous knowledge, perspectives, and scholarship in anthropology. interpretation the act of explaining the meaning of something.", "section": "Ethnography and Ethnology", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Participant Observation and Interviewing Learning Outcomes By the end of this section, you will be able to: Define participant observation and identify best practices associated with it. Describe what makes a good informant for anthropological research. Describe best practices for conducting an interview from an unbiased and emic perspective. Explain the concept of ownership of cultural information. Identify the rights of study informants. List practices required by institutional review boards before research can begin. Describe the aim of long-term research projects in anthropology. Participant Observation Working in the field often places anthropologists in settings very different from what they are familiar with. Upon first arriving at an unfamiliar field location, it is common for anthropologists to feel out of place and uncomfortable as they adjust to a new culture and environment. Many anthropologists keep a daily log of their feeling and impressions in their new environment. Researchers studying other cultures practice a method called participant observation , which entails directly participating in the activities and events of a host culture and keeping records of observations about these activities. Researchers may create various types of records of their interactions as participants and their observations about the host culture and environment. These might take the form of field notebooks, computer files, digital recordings, photographs, or film. Researchers working in the field may also collect objects that will remind them of the culture they are studying, often memorabilia such as maps, tourism brochures, books, or crafts made by the people they are observing. Some researchers regularly record impressions of activities while they are occurring so that they do not forget to make note of important aspects of the culture. But many researchers will wait to take photos, draw images, or write in their notebooks until after an activity is over so that they do not disturb the culture through their efforts at documentation. In either case, it is important that researchers be respectful and responsible and always ask for permission from subjects before taking photos or recordings. Many researchers will have gathered signed permission from their subjects before beginning their research and will work with a documented plan that has been approved by their institution before going into the field. Interviewing Informants An important source of information about a culture is interviews with various people who grew up in that culture. Interviews can be uncomfortable for people, and it is important that researchers do all they can to help subjects feel at ease. Researchers will normally conduct an interview in a familiar space for the informant, such as the informant’s home. They will help the subject ease into the interview by participating in introductory and hosting protocols followed in that culture when a visitor comes to someone’s home. The researcher will start off the interview with the exchange of pleasant comments and will introduce themselves by explaining who they are, where they come from, and why they are doing this research. Then the interview may commence. Interviews can be short or long, and there may be follow-up meetings and further interviews based on how knowledgeable the informant is. Many informants are chosen because they are deeply conscious of multiple aspects of their culture. This type of insider information is vitally important to an anthropological research project. In addition to interview questions, survey questions may also be asked during these meetings. The use of recording equipment, for both audio and video recordings, is common during interviews. However, such equipment may be considered intrusive by some, and their use is always at the discretion of the informant. Express permissions must always be obtained both to create a recording and to use a recording in future projects. Ethnographic researchers engage with the cultures they are studying by spending time with their people. Here Josphat Mako, a Maasai man, greets Stuart Butler. Butler spent two months with Mako, walking between Maasai villages and visiting with residents to learn about both traditional customs and contemporary practices and challenges. (credit: “2015 06 24 Walking with the Maasai JPEG RESIZED 0025” by Make It Kenya Photo/Stuart Price/flickr, Public Domain) Ethical Considerations Contemporary sociocultural researchers and anthropologists must follow protocols established by an institutional review board (IRB) as well as any research protocols specific to the culture being researched. For social science research, IRBs are committees housed within a university that must review and approve research plans before any research begins. There may also be a parallel review process within the host culture. The proposed research is normally fully planned out before the review process can begin, with specific information about the type of research that will be conducted, including examples of questions to be asked, potential risk factors to subjects, plans for emotional support for subjects, means of protecting the identity of subjects, language used to fully disclose the intent of the project to subjects, and the final plan for archiving the research data. Many Indigenous nations have their own research protocols , and foreign countries will have their own research protocols and processes for securing permission to conduct research as well. Researchers conducting sociocultural, medical, or clinical studies must gain written consent for all interviews from their informants, and they must be transparent as to why they are conducting research and how it will be used in the future. There are normally various levels of protocols pertaining to research, based on the potential to cause stress or harm to the subjects. At the highest level, full disclosure and signed permission as well as complete anonymity of the subjects involved in the project are required. A research plan should also specify whether recordings, notes, and data will be archived for future use or destroyed at the end of the project. Content gathered from research may make its way into articles or books or become part of a vast body of anonymous data available to other researchers. These possibilities should be discussed with collaborators. Collaborators are usually anonymous unless they choose to allow their names to be used. Many researchers now assign to their subject culture significant rights to review reports and edit and correct erroneous information and interpretations as well as ownership rights of the final product and the research data. Alternately, researchers may destroy research data once the project is over so that it cannot be used in ways other than what was originally intended. Long-term research projects are becoming the norm for many professional researchers, who establish trusting relationships with collaborators over the length of their careers. During the early years of anthropology, it was almost unheard of for researchers to establish long-term relationships with the subjects of their research, but many scholars began to view short-term relationships as exploitative. Long-term relationships involve a regular return to the subject culture, on an annual or semiannual basis, to follow up on projects and programs. Researchers often include their subjects in the planning and administration of their projects and will at times seek a research objective based on the needs of their subjects. This type of research is more open-ended and often has an applied focus, seeking to solve problems and issues identified as significant by the collaborating culture. Those who engage in this type of research make it a primary aim to help the collaborating culture rather than to seek information pertinent to their personal projects. This type of open-ended research has been developed in response to the criticisms of Indigenous scholars such as Vine Deloria Jr. , who questioned whether early anthropologists did anything beneficial for the people they studied. A researcher working in this fashion will listen closely to the concerns expressed by those they are studying and aim to identify a project that will ultimately help the collaborating culture address issues identified as important, either by directly working toward a solution or by offering significant insights into the causes and subtleties of the issue. The researcher will include members of the culture in their team, and the results of the research will be given to the people for their use. Researchers working in this manner may still publish their findings, but the subject community will be part of the decision-making regarding what is important and what should and should not be published. The subject community will also have control over any projects that develop based on the findings. In some cases, the researcher is required to submit all manuscripts intended for publication to a committee formed by the collaborating culture for review, correction, and approval. Many Indigenous anthropologists who are tribal members are required to submit their publications to their tribal council for approval before they publish. Contemporary anthropological researchers often assign ultimate ownership of the material they collect to the culture-bearers who provided the information. In fact, there are scholars today who, when publishing findings, assign authorship to the community they worked with and assign themselves the role of editor or compiler. An example is the text Chinuk Wawa: Kakwa nsayka ulman-tilixam laska munk-kemteks nsayka / As Our Elders Teach Us to Speak It , which is authored by the Chinuk Wawa Dictionary Project and published by the Confederated Tribes of the Grand Ronde Community of Oregon, with the scholar Henry Zenk acknowledged as the compiler of the information. Intellectual property protocols in many countries now assume that ownership of ethnographic content is assigned to the informants. Informants have rights, both legally and per IRB policies, to both participate and not participate in a study and to have their data removed from a study if they choose. Ethical researchers will listen to their informants, and if they are at all worried about the effect their findings will have on their informants or other people, they will either pull the data out of the study or find a way to make it completely anonymous. No researcher wants to have their informants adversely affected by their involvement in a research project. The IRB-informed consent paperwork, which must be signed by all informants, should address these concerns and allow the informants to freely choose their level of participation. institutional review board a university research committee that reviews biomedical or social science research proposals to determine if they appropriately protect human participants, informants, and subjects. interview a method of research in which the researcher asks questions of an informant to gain information about a person, society, or culture. open-ended in the context of anthropological research, describes a research method whereby the researcher allows informants to answer questions without a limit in time or subject. participant observation an anthropological research method in which the researcher enters a cultural community and collects information through observation of and participation in the culture.", "section": "Participant Observation and Interviewing", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Quantitative and Qualitative Analysis Learning Outcomes By the end of this section, you will be able to: Identify differences between quantitative and qualitative information. Provide an example of how an anthropologist might model research findings. Describe the steps of the scientific method. Differences between Quantitative and Qualitative Information Quantitative information is measurable or countable data that can provide insight into research questions. Quantitative information is one of the most direct ways to understand limited, specific questions, such as how often people in a culture perform a certain action or how many times an art form or motif appears in a cultural artifact. Statistics created from quantitative data help researchers understand trends and changes over time. Counts of cultural remains, such as the number and distribution of animal remains found at a campsite, can show how much the campsite was used and what type of animal was being hunted. Statistical comparisons may be made of several different sites that Indigenous peoples used to process food in order to determine the primary purpose of each site. In cultural research, qualitative data allows anthropologists to understand culture based on more subjective analyses of language, behavior, ritual, symbolism, and interrelationships of people. Qualitative data has the potential for more in-depth responses via open-ended questions, which can be coded and categorized in order to better identify common themes. Qualitative analysis is less about frequency and the number of things and more about a researcher’s subjective insights and understandings. Anthropology and other fields in the social sciences frequently integrate both types of data by using mixed methods. Through the triangulation of data, anthropologists can use both objective and frequency data (for example, survey results) and subjective data (such as observations) to provide a more holistic understanding. Modeling Many anthropologists create models to help others visualize and understand their research findings. Models help people understand the relationships between various points of data and can include qualitative elements as well. One very familiar model is a map. Maps are constructed from many thousands of data points projected onto a flat surface to help people understand distances and relationships. Maps are typically two-dimensional, but we are of course all familiar with the three-dimensional version of a world map known as a globe. Maps and globes are built on data points, but they also include qualitative information, such as the colors used to represent various features and the human-assigned names of various geographical features. Other familiar types of models include graphs, calendars, timelines, and charts. GPS is also a significant modeling tool today. GPS , or the Global Position System , is increasingly used in archaeology. A model of a research site can be created using computer programs and a series of GPS coordinates. Any artifacts found or important features identified within the site can mapped to their exact locations within this model. This type of mapping is incredibly helpful if further work is warranted, making it possible for the researcher to return to the exact site where the original artifacts were found. These types of models also provide construction companies with an understanding of where the most sensitive cultural sites are located so that they may avoid destroying them. Government agencies and tribal governments are now constructing GPS maps of important cultural sites that include a variety of layers. Layering types of data within a landscape allows researchers to easily sort the available data and focus on what is most relevant to a particular question or task. Wild food plants, water sources, roads and trails, and even individual trees can be documented and mapped with precision. Archaeologists can create complex layered maps of traditional Native landscapes, with original habitations, trails, and resource locations marked. GPS has significant applications in the re-creation of historic periods. By comparing the placements of buildings at various points in the past, GPS models can be created showing how neighborhoods or even whole cities have changed over time. In addition, layers can be created that contain cultural and historic information. These types of models are an important part of efforts to preserve remaining cultural and historic sites and features. The Science of Anthropology Anthropology is a science, and as such, anthropologists follow the scientific method . First, an anthropologist forms a research question based on some phenomenon they have encountered. They then construct a testable hypothesis based on their question. To test their hypothesis, they gather data and information. Information can come from one or many sources and can be either quantitative or qualitative in nature. Part of the evaluation might include statistical analyses of the data. The anthropologist then draws a conclusion. Conclusions are rarely 100 percent positive or 100 percent negative; generally, the results are somewhere on a continuum. Most conclusions to the positive will be stated as “likely” to be true. Scholars may also develop methods of testing and retesting their conclusions to make sure that what they think is true is proven true through various means. When a hypothesis is rigorously tested and the results conform with empirical observations of the world, then a theory is considered “likely to be accurate.” Hypotheses are always subject to being disproven or modified as more information is collected. hypothesis a supposition that is subjected to research in order to be proven or disproven through data collection. qualitative data nonnumerical data, such as language, feelings, or impressions, that is normally collected when the researcher is at the research site. research question a question that can be proved or disproved through research and observation. retesting the scientific practice of conducting experiments or research more than once in order to determine if the findings are accurate. Retesting helps eliminate human and other errors in testing and create a range of accuracy. scientific method a method of expanding knowledge by asking questions, creating a hypothesis, collecting data, and presenting well-reasoned findings based on evidence. statistics the science of collecting and analyzing numerical data in large quantities and inferring proportions in a whole from those in a representative sample, or the numerical data collected and analyzed in this manner. theory a supposition or a system of ideas intended to explain something.", "section": "Quantitative and Qualitative Analysis", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Collections Learning Outcomes By the end of this section, you will be able to: Identify and explain the issues and needs of archival collections. Identify and explain the issues and needs of three-dimensional collections. Describe current controversies regarding ownership of anthropological artifacts and human remains. Recall two pieces of legislature pertaining to questions of ownership. Define provenance and describe its importance in anthropology. Not all anthropological research is done in the field. There is much to be learned from the collections of manuscripts and artifacts housed in universities and museums. These collections make it possible for anthropologists to study human cultures within the setting of special research laboratories that have been designed to preserve and organize materials collected and perhaps interpreted by scholars of the past. Archives Archival collections contain published, re-created, or original manuscripts that are deemed significant enough to be placed in conditions designed to preserve them against damage or loss. Such collections may contain correspondence, maps, drawings, original drafts of books, rare books, or other papers and media that need special care. Photographs are a major resource in many archives, and they need special handling. Preservation policies of archival collections include practices such as keeping resources out of direct sunlight and away from moisture. While archives offer researchers a great range of valuable resources, they typically impose rather strict policies on those wishing to access these resources. Researchers typically must wear gloves when handling materials to prevent damage from the oils and acidity of human skin. Normally, archival collections do not circulate (i.e., cannot be removed from the host site), and researchers may have to apply for permission to enter the site or use any information. Archives may charge varying rates to make copies of material or to use images of the resources in their collection for publication. To access some archives, researchers must plan ahead by scheduling a time to visit and making previous arrangements to access specific collections. Some sites do not allow researchers to scan materials using flatbed scanners, instead stipulating the use of non-flash photography or overhead scanning. Some archives do not allow the patron to scan, photograph, or copy a manuscript in any way, with all arrangements for copies and reproductions having to go through the archive’s staff. The first step in archival research is typically to review a list or similar finding aid that indexes and describes the resources available in a collection. These descriptive aids can help researchers determine whether a collection contains resources that fit their needs and can make a visit to a selected archive more efficient and worthwhile. Finding aids have become so well constructed that they may provide researchers with enough information to enable the researcher to request copies of specific materials and avoid the effort and expense of traveling to the archive in person. Most archives offer downloadable finding aids of their most important collections on their websites, and there may be additional printed finding aids available on request. Most archives will make requested copies for a moderate fee and will mail or email researchers a packet of the reproduced materials. The cost of procuring such copies is almost always much less than the cost of traveling to an archive site and paying for housing and meals. However, if a collection is potentially full of material important to a research project, it may be better to visit in person. Three-Dimensional Collections Three-dimensional collections of objects such as basketry and pottery are normally housed separately from manuscript collections. Such collections may host tens of thousands of individual cultural objects. These collections typically require much more care and management than manuscript materials. Extensive planning goes into determining the best way to contain and store each type of object in order to slow deterioration over time, with special attention paid to both the temperature and the moisture levels in storage areas. Handwoven baskets will be supported so that their fibers are not under stress, and all organic objects will have been previously frozen, perhaps several times, to destroy any insects that may live in the fibers. Collections of animal and human remains utilized by biological anthropologists or archaeologists must be properly stored and controlled against further degradation by reducing temperatures and maintaining moisture controls. Some very ancient organic collections may need to be chemically stabilized so they do not degrade. Objects made from organic materials—such as wooden canoes, basketry, reed sandals, or human remains—are particularly prone to degradation. Organic artifacts that have been sealed away from contact with the air for centuries, such as boats found on the bottom of a river or lake, will degrade fast once exposed to the air, so they may be kept permanently frozen or preserved with an ammonium glycol solution to stabilize decay. This pair of yucca sandals, collected in 1875, is an example of an organic artifact of the Southern Paiute people. Yucca is a perennial plant with large tough leaves that can be used for various purposes. (credit: “Sandals, Southern Paiute, yucca, collected in 1875 – Native American collection –Peabody Museum, Harvard University – DSC05570” by Daderot/Wikimedia Commons, CC0) All objects in collections storage must be well organized to make them accessible for further research opportunities. Collection materials that have been used to make claims about human experience or evolution must remain accessible to future researchers in case there are challenges or additional questions about their findings. In addition, if an anthropologist who donated and is responsible for overseeing a collection at one institution should die or move to another research institute, there needs to be a plan for the period of retention for the collection, or the time that the collection will remain in the archive. Many biological and cultural collections have been preserved in repositories since the day they were collected, with no plans to ever remove them from an archive. There are collections in the Smithsonian Institution that have been there since the institution was built in the 1850s. These collections continue to grow at museums and universities around the world. In the early 20th century, many museums adopted the practices of painting objects with lacquer and spraying organic collections with pesticides such as DDT to prevent insect damage. These solutions were proven to ultimately be harmful. Lacquer tends to alter the color and chemical structure of objects and is thus not a good preservation material, and DDT and other pesticides pose health threats to humans. Both museum staff and tribal members who receive repatriated objects and human remains are very concerned about the hazards these chemicals pose to humans—and to the environment, if they should be reburied. Efforts to clean many collections are underway. Ownership A question being asked by both anthropologists and subjects of research today is who owns the objects housed in material collections. In the past, anthropologists or their host institutions assumed ownership of anything they collected, along with the right to publish images of materials and sign over ownership of the objects to collections repositories. In recent decades, tribal peoples and other subjects of research have begun asking questions about whether such objects really should be considered the property of these repositories. Many of these artifacts were not even collected by scientists but rather donated or sold by collectors, some of whom removed the artifacts from burial sites. Artifact hunting is a common cultural practice in some countries, such as Peru, where many people dig in Inca sites to locate artifacts to sell. Questions of ownership become particularly pressing when the objects in question are human remains. Until the 1960s, tribal peoples in the United States had little or no power to repatriate their ancestors. Repatriation is the process of restoring human remains and/or objects of religious or cultural importance to the peoples from whom they originated. In the United States, repatriation is executed under the Native American Graves Protection and Repatriation Act ( NAGPRA ), passed into law in 1990. Prior to 1990, Indigenous peoples in the United States had no legal means to claim return of any of the millions of human remains that had been collected and placed in museums and archaeological collections since the 19th century. Another important piece of legislature is the National Historic Preservation Act (NHPA) , passed in 1966. The act was passed to ensure that federal agencies would identify and take actions to protect and preserve the nation’s historic sites and locations. It especially impacted Indigenous communities and their cultural and historical resources. Section 106 of the NHPA requires that federal agencies follow a formal review process before undertaking any type of development project (36 CFR 800). This process includes identifying what the actual undertaking is, such as the development of a road or other major capital project. Once this is established, the agency must make a good-faith effort to identify any historic resources (50+ years of age) in the area and determine if they are eligible for protection under the NHPA. After this identification measure is completed, the agency must initiate consultation with the state historic preservation officer (SHPO) or tribal historic preservation officer (THPO) and other interested groups and individuals. This step can include a variety of meetings or activities and a period of notification that a project is going to commence, during which feedback is requested by the lead federal agency. Public meetings might be held, with speakers selected to introduce and describe the project. During the consultation period, correspondence and feedback is welcomed from concerned tribes, institutions, or individuals. Tribes and other community groups with an interest in any cultural objects likely to be found on the site are required to be consulted. Successful consultation often takes place during the earliest planning stages of a project. Lack of early consultation can lead to a failure to identify historic resources of cultural and religious importance. The process places the burden of determining the potential effects of the project on the federal agency, according to three established categories: no potential to effect, no adverse effect, and adverse effect. The agency must then seek concurrence from appropriate SHPOs and THPOs and potentially other consulting parties. If there is an adverse effect, the agency, the SHPO and/or THPO, and other consulting parties will negotiate mitigation terms and solidify them into a memorandum of agreement to ensure completion of the agreed-upon mitigation measures. In most cases, Native groups do not believe that archaeological excavations alone are an appropriate mitigation measure, but each community has its own interpretation of what is appropriate. Generally, anytime a road is built or a building is constructed, there needs to be a section 106 review of the project because of the likelihood of encountering Native American cultural sites in almost all locations in the United States. Through the consultation process and cooperation between SHPOs and THPOs, decisions are made as to the status and disposition of any cultural objects recovered from cultural sites. Tribes typically advocate for the non-disturbance of human remains and the return of cultural objects to the concerned tribes. The NHPA is not perfect, as it does not completely halt construction that will destroy a cultural site and does not apply to collections placed in repositories before 1966. In the early 20th century, the United States made it illegal for nonscientists to remove artifacts from archaeological sites on federal lands under a law called the American Antiquities Act (1906). More recently, NAGPRA made it possible for tribes to repatriate objects covered under the act, such as human remains and funerary objects. Under this law, more than 20,000 sets of remains had been repatriated as of 2010, but millions of artifacts and sets of additional remains are still in repositories. In addition, there are human remains and funerary objects of US origin in collections worldwide that are not subject to NAGPRA repatriation. One problem surrounding repatriation is that many artifacts and remains lack clear provenance , or detailed information about where they were found. Lack of clear provenance also limits an object’s usefulness to researchers. In many cases, wide regions are provided as the origin of an artifact, making it unclear which specific tribal culture it relates to. Objects that, for example, are labeled as coming from “New York” may have been created by members of dozens of tribes or bands of tribes. In general, the more specific a provenance is, the better. Narrowing an object down to Buffalo, New York, reduces its possible tribal sources to just a few. Objects that have too broad of a context are nearly impossible to repatriate because repatriation is supposed to return an object or human remains to the original tribe. In 2010, NAGPRA was expanded to allow for groups of tribes to repatriate objects of wide regional association back to a previously agreed-upon reburial or repatriation location. Under this expanded version of the law, a greater number of objects and human remains will be able to be returned to their communities. Concerns about ownership have also been raised regarding the ethnological and ethnographic research collected in millions of documents in hundreds of research collections around the world. Some tribal peoples have raised concerns that this material represents their ancestral intellectual knowledge and that it was taken from them without full disclosure of how it would be used. Many anthropologists published books and/or made tenure at their universities based on such research. Meanwhile, little was done with the information to help the tribal peoples it described, who were struggling under political and legal pressures to assimilate. In some cases, tribal peoples have implemented research projects utilizing these manuscript collections that have the explicit goal of helping their people with cultural recovery efforts. One example of Indigenous peoples utilizing archive materials to their advantage is offered by Oregon’s Coquille Indian Tribe , which made use of archival documents to successfully restore their tribe to federal recognition in 1989 after the tribe was declared “terminated” by the federal government in 1954. Their restoration bid was made difficult by the fact that the records of their tribal culture were collected in faraway archives. Essential to the tribe’s success was George Wasson Jr. , son of the aforementioned George Wasson who was aided by Leonard Frachtenberg. Wasson Jr. designed and implemented an effort to collect copies of anthropological manuscripts pertinent to the Coquille tribe from the Smithsonian Institution. In 1995, 1997, and 2006, the Southwest Oregon Research Project —a project initiated by the Coquille Indian Tribe, University of Oregon anthropologists, and students from western Oregon tribes—collected 150,000 pages of documents about the tribes of western Oregon from the Smithsonian Institution and the National Archives. These materials have since become a major collection at the University of Oregon’s Knight Library Archives, special collections division, and additional copies have been given to 17 regional tribes. These projects are examples of the repatriation of intellectual knowledge to the tribes that the information was collected from. Many libraries now have policies that allow concerned tribes to repatriate their intellectual knowledge in the form of copies of collection materials for little or no cost. Recordings of songs represent a particularly sensitive and special type of cultural artifact to many tribal people. Archives have historically not been very attentive to the concerns of tribes regarding their collections. For more information, consult the Protocols for Native American Archival Materials. Summers Collection and the Grand Ronde Tribe by author David Lewis The Summers Collection is a collection of more than 600 Native objects from the West Coast of the United States, collected by the Reverend Robert Summers, an Episcopalian minister. A large portion of the collection, some 300 objects, was collected from the Grand Ronde Indian Reservation, which is close to where Summers lived in McMinnville, Oregon. In the 1870s, Summers would regularly visit the people of Grand Ronde and purchase objects they had in their homes or were using. Most of these objects are woven baskets and trays made in a traditional manner, many predating the formation of the reservation in 1856. Sometime in the 1890s, Summers passed his collection on to his associate Reverend Freer, who donated the collection to the British Museum in 1900. The collection has remained part of the British Museum collections since then. The value of this collection lies not only in the objects and their unusually good preservation but also in the care Summers took to document the people he purchased them from, their use, and their cultural background. It was unusual in early anthropology for a collector to be so comprehensive in documenting material collections. Summers was likely aided by his wife, who was a professional botanist and would have been meticulous in her work documenting botanical collections. In the 1990s, the Grand Ronde tribe became aware of the Summers Collection at the British Museum . In 1999, representatives of the tribe visited the museum, viewed the collection, took photos of all objects related to the tribes, and copied all the notes they could. Since then, the tribe has worked through a series of museum curators to see if it would be possible to repatriate the collection to the Grand Ronde. The British Museum is one of the largest repositories in the world, holding sacred and cultural objects from numerous nations, many once part of Britain’s extensive colonial empire. The British Museum rarely allows repatriations, fearful that allowing one to occur would set a precedent resulting in multiple other cultures submitting claims. Still, curators of the North American collections have suggested that something could be worked out if there were a book deal to help publicize their collections and significant enough publicity. In 2018, the Grand Ronde tribe was able to negotiate the loan of some 16 objects from the collection. The objects were placed on display in the new Chachalu Museum and Cultural Center in Grand Ronde. While there, the objects were studied by cultural experts who focused on understanding how they were made and how they might be able to replicate the techniques. There are no protocols for international repatriation . The Grand Ronde tribe had to work diplomatically to form negotiated agreements and establish a beneficial relationship with the British Museum. After more than 100 years of assimilation, many traditional skills had been lost to the Grand Ronde people. The opportunity to regain some of this lost ancestral knowledge by studying these cultural goods is a rare gift. Participant Observation When practicing participant observation, researchers immerse themselves in a cultural context and make observations and notes about what occurs. This activity is structured to take place in a few hours and can be accomplished in your community. Spend about an hour in a public place, such as a mall or store, coffeeshop, park, bus, train, or library, and observe what people around you are doing. Take notes about their actions, interactions, clothing, foods, mannerisms, and anything else that might seem interesting. Note characteristics and mannerisms pertaining to culture, language, ethnicity, masculine and feminine roles, and age-related roles. Try not to be conspicuous, and do not record conversations unless they are spoken quite loudly so as not to be intrusive. If anyone asks what you are doing, just explain that you have an assignment in a college course to make an anonymous report on local culture. Return home and write a two-page reflective report on your research. In the report, give specifics of what you witnessed, and analyze how you personally responded to different cultures or mannerisms. About two-thirds of the report should be ethnographic reporting, and one-third should be analysis. Try to eliminate your personal bias or admit when you have one, and identify when you are basing your analysis on personal opinions. Pay attention to the need to maintain the anonymity of your subjects as if this were an actual anthropology fieldwork assignment. Do not identify people by name; instead, use pseudonyms. As a final step, give a five-minute presentation about your experience that summarizes the high points of your participant observation. Summary Chapter 2 discusses how anthropologists gather information. All of the subfields of anthropology conduct fieldwork in some form to gather information, each subfield may use different methods of conducting research. The concept of working in “the field” was traditionally based on the practice of traveling to distant regions to study other cultures within their native environmental contexts. In recent decades, “the field” has broadened to include diverse settings such as one’s hometown (as in urban anthropology), the Internet (visual or virtual anthropology), or collections in university archives and museums (ethnohistory or museum anthropology). Research methods for cultural anthropology and archaeology are covered in detail. the chapter explores the issues that need to be considered when analyzing information gathered during research. This includes the biases of the anthropological researcher. Also covered is some of the history of the research methods used in anthropological study and how fieldwork and methods have changed over time. Critical Thinking Questions Suggested Readings Boas, Franz. (1974) 1982. A Franz Boas Reader: The Shaping of American Anthropology, 1883–1911 . Edited by George W. Stocking Jr. Chicago: University of Chicago Press. Boyd, Robert T., Kenneth M. Ames, and Tony A. Johnson, eds. 2013. Chinookan Peoples of the Lower Columbia . Seattle: University of Washington Press. Gross, Joan, ed. 2007. Teaching Oregon Native Languages . Corvallis: Oregon State University Press. Kenoyer, Louis. 2017. My Life, by Louis Kenoyer: Reminiscences of a Grand Ronde Reservation Childhood . Translated by Jedd Schrock and Henry Zenk. Corvallis: Oregon State University Press. Konopinski, Natalie, ed. 2014. Doing Anthropological Research: A Practical Guide . New York: Routledge. Lewis, David G. 2009. “Termination of the Confederated Tribes of the Grand Ronde Community of Oregon: Politics, Community, Identity.” PhD diss., University of Oregon. http://hdl.handle.net/1794/10067. Lewis, David G. 2015. “Natives in the Nation’s Archives: The Southwest Oregon Research Project.” Journal of Western Archives 6 (1). https://doi.org/10.26077/e5e5-e0b1. Sapir, Edward. (1949) 2021. Selected Writings of Edward Sapir in Language, Culture, and Personality . Edited by David G. Mandelbaum. Berkeley: University of California Press. Spradley, James P. (1980) 2016. Participant Observation . Long Grove, IL: Waveland Press. Thwaites, Reuben Gold, ed. (1905) 2003. Original Journals of the Lewis and Clark Expedition, 1804–1806 . Vol. 7. Madison: Wisconsin Historical Society. https://content.wisconsinhistory.org/digital/collection/aj/id/16212/rec/7. Bibliography Adams, William Mark. 2004. Against Extinction: The Story of Conservation . London: Earthscan. Boas, Franz. (1974) 1982. A Franz Boas Reader: The Shaping of American Anthropology, 1883–1911 . Edited by George W. Stocking Jr. Chicago: University of Chicago Press. Cole, Douglas. (1985) 1995. Captured Heritage: The Scramble for Northwest Coast Artifacts . Norman: University of Oklahoma Press. Hale, Horatio. 1846. Ethnography and Philology . Vol. 6, United States Exploring Expedition during the Years 1838, 1839, 1840, 1841, 1842, under the Command of Charles Wilkes, USN . Philadelphia: C. Sherman, 1844–1874. Hodgen, Margaret T. (1964) 1971. Early Anthropology in the Sixteenth and Seventeenth Centuries . Philadelphia: University of Pennsylvania Press. Hymes, Dell. 1980. “What Is Ethnography?” In Language in Education: Ethnolinguistic Essays , 88–103. Washington, DC: Center for Applied Linguistics. Morgan, Lewis Henry. 1851. League of the Ho-dé-no-sau-nee, or Iroquois . Rochester, NY: Sage & Brother. https://hdl.handle.net/2027/nyp.33433081750949. Stocking, George W., Jr. 1966. “Franz Boas and the Culture Concept in Historical Perspective.” American Anthropologist 68 (4): 867–882. NAGPRA the Native American Graves Protection and Repatriation Act (1990), a US law that protects human remains and cultural and ceremonial objects and artifacts from collection and requires the return of such items already collected to the originating tribes. NAGPRA also allows for the repatriation of the same materials from museums and other repositories. provenance the location of an artifact when it is first found. The provenance is normally recorded when the artifact is in situ, or before it has been removed. repatriation the process of returning human remains, associated funerary objects, and ceremonial items to the originating culture. three-dimensional collection a collection of objects or artifacts.", "section": "Collections", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Now and in the past, people have called many different types of dwelling home. Top left, tent on K Street in Washington DC; top right, Puye cliff dwellings near Espanola, New Mexico; bottom left, a water village, Brunei, Indonesia; bottom right the International Space Station (credit: top left “K Street” by Daniel Lobo/flickr, Public Domain; top right “Puye Cliff Dwellings” by BFS Man/flickr, CC BY 2.0; bottom left “The water village. Burnei” by Bernard Spragg. NZ/flickr, Public Domain; bottom right “The International Space Station after arrival of ISS Roll Out Solar Arrays” by NASA/NASA.gov, Public Domain) Though all humans have a set of basic needs, we meet those needs in very different ways in response to environmental conditions and social circumstances. For example, consider the basic human need for shelter. In places prone to flooding, people often build their houses on stilts, constructing patios and walkways to connect their houses together. In mountainous areas, people sometimes carve their houses into cliffsides. In societies with extreme inequality, some people live in luxury highrise apartments side-by-side with people who pitch their tents on the sidewalk. Humans have even constructed a complex dwelling adapted to the conditions of space, the International Space Center. Similarly, humans have a wide range of solutions to human needs for clothing, food, family life, health, and social order. In each society, the various solutions combine in a complex totality called culture. In this chapter, we explore the concept of culture, what it is and how to study it. Taking the need for shelter as a central example, we will see how culture is created and how it changes. We will learn about how different elements of culture interact with one another. As culture is a central concept in anthropology, our understanding of culture will guide our exploration of human lifeways throughout this textbook.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Homeyness of Culture Learning Outcomes By the end of this section, you will be able to: Explain the importance of culture to the concept of home. Identify the centrality of culture in the discipline of anthropology. Describe how each of the four fields deploys the concept of culture. Explain why culture feels familiar and “homey.” The floor plan of a typical 21st-century middle-class American house consists of many individual rooms, including three to four bedrooms, a large kitchen, a family room, and an attached garage. This floor plan depicts such a home. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) What place do you call home? For some people, home is a large, angular structure made of wood or brick, fixed on a permanent foundation of concrete, and rigged with systems to provide running water, electricity, and temperature control. Such houses have separate rooms for distinct activities, such as sleeping, bathing, eating, and socializing. Often, one bedroom is larger than the others and connected to its own bathroom. This is the “primary bedroom,” designed to accommodate a married couple while their children sleep in smaller bedrooms. The room for cooking (the kitchen) used to be separated from the room where people socialized (the living room or great room), as it was assumed that one person (the wife) would cook in the kitchen while another person (the husband) relaxed alone or with company in the living room. More recently, open-concept architecture has eliminated the wall separating the kitchen from the living room, as adults often cook together or socialize as one cooks and the other relaxes. In the 1960s, French scholar Pierre Bourdieu (1970) analyzed a typical house of a Kabyle family in northern Algeria. Traditional Kabyle houses were rectangular buildings made of stone and clay with tiled roofs. Inside, a waist-high dividing wall marked off one-third of the house. This marked-off section, set lower than the rest of the house and paved with flagstones, was the stable, where animals were kept at night. A farming people, the Kabyle kept oxen, cows, donkeys, and mules. Above the stable was a loft where women and children often slept, though arrangements for sleeping and marital sex tended to vary. These houses in Northern Algeria, built by the Kabyle people, are constructed of stone, and include open space for both animals and human inhabitants under a shared roof. (credit: PhR610/flickr, CC BY 2.0) The floor of the larger section of the house was higher and paved with a layer of black clay and cow dung that women polished with a stone. This part was reserved for human use. In this larger, elevated section, a large weaving loom sat against the wall opposite the door. Facing east, this wall with the loom received the most light in the house. Guests and brides were seated here, as it was considered the nicest part of the house. Opposite the dividing wall in the larger section was the hearth, surrounded by cooking tools, lamps, and jars of edible grain. With the loom and the hearth, the main area of human activity in the house was associated with the work of women. Bourdieu explained that men were expected to remain outside the house from dawn to evening, working in the fields and associating with other men in public spaces. Women were supposed to remain in the home. In Bourdieu’s analysis, the Kabyle house was divided into two realms: a dark, low realm associated with animals and natural activities (sleeping, sex, childbirth, and death) and a lighter, higher realm associated with humans and cultural activities (weaving, cooking, brides, and guests). Humans all over the world require a place to gather, work, socialize, and sleep. Some have Western-style houses, while others have compounds. Some live in tents made of wooden beams and covered with animal skins or cloth, in caves hollowed out of sandstone or volcanic rock, or in wooden structures built on stilts or in trees to avoid floods and predators. While these different forms of home are all designed to perform a common function as human living spaces, they are distinctively shaped by local environments and lifeways. Houses are most commonly built with locally available materials and designed to protect against local climatic conditions and predators. Over generations, people develop distinctive technologies to transform available materials into durable and functional homes. Different forms of family, different gender roles and relations, and different everyday activities determine the organization of space in these different homes. Dominant ideas about work, gender, marriage, parenting, hospitality, and status all shape the places we call home. Home, then, involves a combination of materials, technologies, social relationships, everyday practices, deeply held values, and shared ideas. In every culture, these features are uniquely combined to produce distinctive versions of home. Other combinations of features produce distinctive versions of clothing, food, work, and health. Growing up in a particular social group, a person learns these ways of living, eating, working, and so on and comes to consider them normal and natural. Anthropologists have a word for such integrated combinations of social and environmental features, and that word is culture . The ways of your culture are familiar to you, often so deeply ingrained that they come naturally. Culture itself feels like home. All four fields of anthropology are devoted to understanding human culture. Biological anthropologists are often interested in the emergence of culture in the course of human biological evolution. Archaeologists use material artifacts as keys to understanding the technologies, social practices, and ideas of ancient peoples. Cultural anthropologists often use participant observation to understand how the various features of culture fit together in contemporary societies. Linguistic anthropologists are interested in how language shapes and is shaped by other features in the constellation of culture. This chapter explores culture as a central concept in anthropology. We examine what distinguishes culture from other aspects of human experience and activity. In an effort to organize the vast array of things included in culture, we divide culture into three levels and consider how those levels fit together holistically—and what happens when they don’t. Finally, we identify a set of contradictions built into the concept of culture and see how those contradictions illuminate the nature of human social life. culture the whole way of life of a society, combining material objects, technologies, social relationships, everyday practices, deeply held values, and shared ideas.", "section": "The Homeyness of Culture", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Winkiness of Culture Learning Outcomes By the end of this section, you will be able to: Provide E. B. Tylor’s definition of culture. Distinguish natural behavior from cultural behavior. Describe deliberate and nondeliberate ways that people acquire culture. Explain how biological processes can be shaped by culture. In the last section, we referred to culture as a combination of materials, technologies, social relationships, everyday practices, deeply held values, and shared ideas. Nineteenth-century British anthropologist Edward Burnett Tylor defined culture as “that complex whole which includes knowledge, belief, art, morals, law, custom, and any other capabilities and habits acquired by man as a member of society” (1873, 1:1). That’s a lot to include in one concept! If all of that is culture, then what about human experience and activity is not culture? Consider this scenario. A student comes to class one day, and the instructor says, “I’ve decided that you’re all a bunch of failures and I’m flunking the entire class.” Imagine then that the instructor simply stands there after that announcement, blinking calmly as the class erupts in protest. Now imagine that same scenario with one very slight difference. The instructor announces, “I’ve decided that you’re all a bunch of failures and I’m flunking the entire class.” Then, as the class erupts in protest, the instructor calmly blinks one eye, leaving the other eye open. Would you take this woman seriously? In American culture, winking, related to the normal biological function of blinking, takes on special meaning in social interactions. (credit: Motion Picture News/Wikimedia Commons, Public Domain) What just happened there? Blinking is a biological compulsion common to humans everywhere. Humans blink to keep eyes hydrated and clear of debris. Humans are born knowing how to blink; nobody has to teach us. On average, humans blink 15 to 20 times every minute. Without realizing it, people are necessarily blinking throughout every conversation, every social interaction, every activity during the day. The people we talk to and interact with are also blinking constantly, so often that everyone is accustomed to ignoring it. Blinking does not affect the perceived meaning of speech or actions. But if someone deliberately blinks one eye, leaving the other one open, that’s a completely different matter. In fact, leaving one eye open makes a blink a wink. Winking is not a biological necessity. Humans are not born knowing how to wink, and it takes some practice to learn how to do it. Because it requires deliberate effort and people are not constantly doing it, winking can acquire special meaning in social interactions. In American culture (and many others), a wink often indicates that someone is joking around and that whatever they’ve just said or done should not be taken seriously. Of course, a wink can mean different things in different societies. Moreover, a wink can mean different things in the same society. If someone on a date takes their companion’s hand and gives a cute little wink, the person may have reason to hope the winker is not just joking around. American cultural anthropologist Clifford Geertz (1973) used the example of winking to illustrate two important aspects of culture. First, culture is learned. Innate human behaviors—that is, behaviors that people are born with—are biological, not cultural. Blinking is biological. Acquired human behaviors—that is, behaviors that people are taught—are cultural. Winking is cultural. This means that cultural behaviors are not genetically inherited from generation to generation but must be passed down from older members of a society to younger members. This process, as you’ll recall from What is Anthropology? is called enculturation . Some aspects of enculturation are deliberate and systematic, such as learning the rules of written punctuation in a language. At some point in an English speaker’s childhood, someone explicitly told them the difference between a question mark and an exclamation point. Most likely, they learned this distinction in school, a fundamental institution of enculturation in many societies. Religious institutions are another common force of enculturation, providing explicit instruction in cultural rules of morality and social interaction. Extracurricular activities such as sports, dance, and music lessons also teach children cultural rules and norms. While a great deal of very important cultural content is deliberately conveyed in these systematic contexts, the greater part of culture is acquired unconsciously by happenstance—that is, nobody planned to teach it, and no one made an effort to consciously try to learn it. By virtue of growing up in a culture, children learn what certain actions and objects mean, how their society operates, and what the rules are for appropriate behavior. Going back to the cultural notion of home, did anyone ever explain to you why your childhood home was structured in a certain way? Did anyone ever point out the cultural assumptions about gender and family built into your house? Probably not. Now, imagine that you were taken away from your parents as a baby and adopted by a family far away, with a very different way of life situated in a very different environment. With your adoptive family, you might have been raised in a very different kind of home. Growing up, your everyday habits, activities, and expectations would have been shaped by the setup of that home. Living in that house, you would have wordlessly absorbed a set of assumptions about family, gender, work, leisure, hospitality, and property. And all of it would seem quite natural to you. Many forms of culture are passed down through a combination of deliberate and unconscious processes. Perhaps when you were a child, someone told you what a wink was and showed you how to accomplish one; or perhaps you just witnessed a few winks, figured out what they meant from their contexts, and then learned how to accomplish one through trial and error. Geertz pointed out that there are two important aspects to winking: the meaning and the action. As both are learned, both are cultural. But perhaps more importantly, both the standardized action of winking and the assumed meaning of this action are commonly known among members of a group. That is, culture is shared. Consider another aspect of human biology: dreaming. People in all societies dream, and no one has to teach them how to do it. Dreaming is biologically innate and spontaneously performed. Biological researchers hypothesize that dreaming helps the human brain process daily stimuli and convert recent experiences into long-term memories. As a biological necessity for brain health, dreaming is natural, not cultural. But why do people dream in stories? And why are those stories so often confusing, even troubling? In many cultures, people are perplexed by their dreams, never really knowing what the objects and situations they dream about are meant to indicate—or if they have any meaning at all. In other cultures, however, dreams are recognized as arenas of spiritual communication with supernatural beings. In Ojibwa culture , young people are encouraged to fast for up to a week in order to bring on special visionary dreams (Hallowell 1992; Peters-Golden 2002, 188–189). In such dreams, a young person may be approached by a guardian spirit who imparts knowledge for successful hunting, warfare, or medicine. People are discouraged from discussing the meaning of these dreams, but young people are taught to expect and anticipate this kind of dream, and they know how to interpret the content of such dreams without discussion. The widely shared ability to dream such dreams and the shared knowledge to understand their content makes dreaming profoundly cultural among the Ojibwa. Summing up, when an element of human experience or behavior is learned and shared, we know it is an aspect of culture. That delineates the concept of culture to some degree. However, the variety of things that are learned and shared by humans in groups is still quite enormous, as indicated by Tylor’s rambling list (knowledge, belief, art, morals, law, custom, etc.). Instead of thinking of culture as one vast hodgepodge of things, it’s helpful to break that hodgepodge into three basic elements. These basic elements of culture are understood to come together in larger combinations, or aggregates.", "section": "The Winkiness of Culture", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Elements of Culture Learning Outcomes By the end of this section, you will be able to: Define the concept of material culture and provide examples of material culture. Provide a detailed example of cultural practices. Explain how cultural frames orient our experiences and actions. Describe how norms and values are threaded through culture. Explain how ideologies and worldviews shape our perception of the world around us. The complex whole of culture can be broken down into three categories: what we make, what we do, and what we think. The boundaries separating these categories are somewhat artificial because so much of cultural life involves all of these things at once. However, it’s useful to start with the basic building blocks of culture, then see how those blocks can be put together to produce more complex structures. Culture Is What We Make Museums are buildings where objects of historical, artistic, scientific, or cultural interest are displayed. The Smithsonian’s National Museum of the American Indian has one of the world’s largest collections of Native artifacts, including many two- and three-dimensional objects such as baskets, pottery, and preserved specimens representative of the lives of Native populations from all areas of the country. This basket, woven by Kucadikadi (Mono Lake Paiute) artist Lucy Telles, is an excellent example of the art of basket weaving. Telles, whose work was done in the early part of the twentieth century, is widely admired for her use of color and innovative designs. (credit: “Mono Lake Paiute Basket” by Ernest Amoroso, National Museum of the American Indian/Wikimedia Commons, Public Domain) People living in groups learn to craft the things they need in order to make a living in their environment. Early human ancestors learned how to make sharp blades useful for processing meat. They shared their knowledge of toolmaking in groups, passing those skills down to younger generations. Objects that are made and used by humans in group contexts are called material culture . All of the tools developed by early hominins (blades, arrows, axes, etc.) are examples of material culture. All of the artifacts discovered by archaeologists (buildings, pottery, beads, etc.) are examples of material culture. The specialized knowledge and skills used for making material culture are called technology . Today, the word technology is often used to refer to electronic devices such as smartphones and computers. For anthropologists, both smartphones and obsidian blades are forms of material culture produced through specialized technologies. That is, technology refers to the knowledge and skills required to make blades, phones, and other objects of material culture. Material culture is not just found in museums, of course. Material culture is all around. All of the furniture, appliances, books, dishes, and pictures on the walls in a typical American home are elements of material culture, and they reveal a great deal about the whole way of life of a society. Consider the toothbrush. It would be possible for people to clean their teeth with a found object such as a twig or leaf, or even with a finger. Ancient peoples often used a special chew stick, a twig with a frayed end. The bristled toothbrush was invented in 15th-century China and spread across Europe and into the United States, where it began to be mass produced in the late 19th century. Drugstores now feature many styles of toothbrush with an array of special features. Specialized teams design, manufacture, and market this wide variety of toothbrushes to consumers. Parents buy toothbrushes for their children and teach them the conventional techniques for brushing their teeth (little circles, two minutes, etc.). As adults, people often isolate themselves in a special room to brush their teeth in privacy. Even so, toothbrushing is a profoundly social act, relying on shared knowledge and observance of social norms for hygiene and health. Trees, rocks, microbes, and planets are all material objects, but they are not material culture unless they are made and used by humans in group contexts. For instance, a tree growing in a natural forest is not an object of material culture. However, an apple tree can be material culture if it is planted by a farmer in an orchard designed to produce fruit for human consumption. A microbe can be material culture if it is manufactured to improve human digestion or genetically engineered to fight cancer. This rock is on display in the British Museum. While a rock is not in and of itself material culture, this rock, which carries special meaning for those who view it, is. (credit: Archaeomoonwalker/Wikimedia Commons, CC BY 3.0) On display in the Cleveland Museum of Natural History is a gray rock. This rock was simply found by humans and never shaped for any particular use. Sitting there in the museum, it has no specific purpose other than to serve as an object of popular contemplation. Though it is a fairly unremarkable lump of basalt, thousands of people stop to gaze at this rock, reading the sign that describes how it was obtained, marveling at its presence there in the museum. Why? What’s so interesting about a rock? This particular rock was collected by astronauts on the Apollo 12 mission to the moon. The rock serves as evidence of this magnificent feat of scientific engineering and a source of great pride to the culture that accomplished such a mission. We go to museums to view the items on display there, but clearly, the human activities surrounding those objects are what make them interesting to us. That is, culture is not just material objects—it’s also what we do and what we think. Culture Is What We Do Ahmed is a carpet seller in the Istanbul Grand Bazaar . Every day, people from all over the world come into his stall to examine, and sometimes buy, the carpets in his inventory. Anthropologist Patricia Scalco (2019) met Ahmed while she was conducting research on market exchange in Istanbul. She carefully observed the set of sales strategies he had crafted to respond to customer desires and knowledge. When anyone pauses at the entrance, Ahmed greets the potential customer and ushers the person into his stall. Bringing out a silver platter, Ahmed offers the customer a cup of tea, a welcoming gesture. As the customer browses, Ahmed initiates a carefully constructed conversation designed to determine what sort of person this customer is, what they are looking for, and what they really know (and do not know) about carpets. He pulls out various carpets from the stacks, unfurling them as he describes their distinctive qualities. Ahmed identifies this interaction as a sort of game he must play with his customers. European tourists in this Turkish marketplace are often inspired by the desire for handmade traditional crafts made by local rural ethnic groups such as the Kurds. These days, however, most carpets sold in the Istanbul market are industrially produced in Pakistan, India, and China. However, in his many years of selling carpets, Ahmed has learned that he must play to Western orientalist fantasies, weaving a distinctive story around the origins and manufacture of a carpet, in order to win a sale. Like other merchants in this market, Ahmed has a family to support, and he cannot afford to openly contradict the knowledge and desires of his customers. Centered on the material culture of carpets, Ahmed’s work illustrates the importance of what people do and what they think in the making of cultural life. What people do and what they think are nonmaterial elements of culture. In his everyday interactions with customers, Ahmed has developed a set of habitual practices involving gesture and speech. Anthropologists use the term cultural practices to refer to this form of culture. Routine speech communicates meanings and values (such as the “authenticity” of a carpet), while routine action organizes social events (such as, hopefully, a sale). People from all walks of life develop similar combinations of habitual action and speech that constitute the everyday culture of people in those circumstances. What do you do in the morning to get ready for the day? That is cultural practice. What do you do when someone comes over to your house? That is cultural practice. What do you do when you’re hungry? That is cultural practice. Some cultural anthropologists focus on these everyday practices as keys to understanding culture, while others are more interested in special events such as ceremonies and festivals. For instance, Carnival in Brazil is an annual festival of music and dance held every year to mark the beginning of the Catholic season of Lent. Parades of costumed dancers throng the streets of many cities, interacting with the audience and attracting crowds of followers. Cultural anthropologist Kenneth Williamson (2012) studied Carnival in Salvador, Bahia, in the north of Brazil. While Brazilian Carnival is framed as a national celebration, Williamson found that Carnival in the poorer and largely Black city of Salvador is distinctively animated by the politics of race. Local Carnival dance groups incorporate Black forms of movement such as capoeira, a combination of dance and martial art techniques created by Brazilian enslaved peoples. Forms of music and religion originating in Africa also contribute to the distinctiveness of Salvadoran Carnival. Carnival has become increasingly commercialized as a tourist attraction in Salvador, bringing in Black and White tourists alike. Black Brazilian activists complain that forms of Black culture are being appropriated and exploited as forms of cultural leisure with little understanding of their deep cultural meanings as expressions of resistance and survival. Meanwhile, most Black Salvadorans enjoy little benefit from the burgeoning tourist economy. The practices of Turkish carpet merchants and Brazilian Carnival participants are both ways of doing culture, every day and on special occasions. As we see in both examples, the materials and actions of culture are infused with patterns of thought, some shared and some controversial. These ways of thinking constitute a third element of culture. Culture Is What We Think Imagine that you are walking down the street and you see a building. You notice a mailbox next to a driveway. You follow a little walkway lined with flowers to a front door. Below your feet, you find a mat that says, “Welcome!” Peering through a window, you see a central room where two people are sitting on a couch, eating chips, and watching television. Off to the side, there’s a hallway. You can barely see the stockinged feet of a small person resting on a bed. A dog barks. What kind of place is this? Are you sure? How do you know? Now imagine you are walking down the street and see another building. There are neon lights in the front window and a large paved area to the side. As you enter the front door, a little bell jingles and young woman in a white blouse greets you from behind a long table. To one side of that table is a large black machine with buttons and numbers on it. The young woman carries a small leather folder in her hand and gives you an expectant smile. You look around to find a room full of people seated at tables of various sizes. Young people in white tops and black pants are scurrying here and there, some carrying giant platters. You hear music in the background. You smell something delicious. What kind of place is this? How do you know? In both scenarios, elements of material culture are combined with patterns of action and speech. In order to make sense of these two scenarios, we must use shared ways of thinking about them. What we know about the way of life in our society leads us to identify the first scenario as somebody’s home. What we know about the circumstances of eating in public leads us to identify the second scenario as a restaurant. These patterned, shared ways of making sense of situations are called cultural frames . Cultural frames tell people where they are, what role they they play in that context, and what forms of behavior and speech are expected and appropriate. There are cultural frames for places, times, events, and relationships. If a couple have been dating for over a year, they probably use a cultural frame for romantic relationships to structure their actions and expectations in that relationship. And if one of the romantic partners invites the other to spend a holiday with their family, the invited person will probably summon a cultural frame for that holiday to tell them what to expect and how to behave. Cultural frames are complex cognitive models that incorporate various roles and actions patterned in space and time. A cultural role is a conventionalized position held by a person or persons in a particular context or situation. Sociocultural roles are associated with certain behaviors and actions. For example, “mother” is a sociocultural role in the cultural frame of “family.” “Waiter” is a sociocultural role in the cultural frame of “restaurant.” While these roles are found in many cultures, the actions and behaviors associated with them vary significantly across cultural contexts. In cultures that celebrate Mother’s Day, it is conventional to send one’s mother a card along with flowers and/or a gift. Anyone who has ever been shopping for a Mother’s Day card has been bombarded with images and text that convey the stereotypical behaviors and preferences associated with motherhood. Many Mother’s Day cards feature pastel flower arrangements with birds, butterflies, and delicate calligraphy. The text lionizes the emotional and material work of motherhood, praising the constant care and sacrifice of the good mother. In return, the card promises eternal gratitude. This American Mother’s Day card from 1916 would still be considered appropriate today. The norm for a Mother’s Day card in the United States has not changed much in over a century. (credit: Northern Pacific Railway/Wikimedia Commons, Public Domain) The behaviors and actions associated with a sociocultural role are collectively called a norm . Norms are not necessarily “normal” in the sense that they represent the most common features and behaviors exhibited by people in a certain role. Do all mothers prefer pastel flower motifs over, say, images of books or sports? Rather, norms tend to be idealized, a fantasy about how people in a role behave—or how they should behave. Why do we associate flowers, pastels, cursive, and self-sacrifice with motherhood? The answer lies in another thinking element of culture: values . Cultural values are notions about what is good, true, correct, appropriate, or beautiful. A certain mainstream way of thinking about motherhood indicates that mothers should be delicate and feminine, concerned with beauty and decorum. Moreover, mothers should nurture and sustain growth. What better way of conveying these notions than through the imagery of pastel flower arrangements? Messages of gratitude describe the sort of behavior considered appropriate to mothers. A “good” mother is a mother who puts her children at the center of her life at all times, neglecting her own interests for the benefit of her family. In any culture, norms indicate how people should behave, and values explain why they should behave that way. For example, the norm for women in the 1950s was to get married and work in the home rather than have a job in the public workforce. Not that all women did this, or even most. Many mothers, particularly women of color, were obliged to work outside the home just to make a living for their families. Nonetheless, normative depictions of women as housewives dominated media and public discourse in mid-20th-century America, establishing this idealistic norm. Why were mothers supposed to stay at home? A set of “ family values ” appointed fathers as the breadwinning heads of household, while mothers were relegated to serving men by keeping house and caring for children. Thus, the values that came to be associated with motherhood were subservience, self-sacrifice, gentleness, and nurture—the very values we see celebrated on Mother’s Day cards. Norms and values can combine in larger models that depict how various social realms operate, such as the family, the economy, the supernatural, and the political sphere. These models are known as ideologies . An ideology identifies the entities, roles, behaviors, relationships, and processes in a particular realm as well as the rationale behind the whole system. Take democracy, for instance. The political ideology of democracy envisions a society of equal individual citizens who each cast a vote on proposals for government action. The majority vote wins. The essential roles in this ideology are citizen voters and government. The essential actions are voting and government action. The rationale is that government should obey the wishes of the citizenry. Is this how democracy really works, though? What about the influence of powerful organizations such as the media and large corporations? Moreover, in most democracies, people do not vote directly on government policies but rather elect representatives, who craft laws and then vote on those laws themselves. Those representatives are accountable to citizens through the process of voting, but they are also strongly influenced by lobbyists representing business interests and the campaign donations of wealthy individuals and groups. Obviously, this ideology is a simplification of the way any democratic system really works. Ideologies are always partial, foregrounding the perspectives of some people in society while obscuring the perspectives of others. A worldview is a very broad ideology that shapes how the members of a culture generally view the world and their place in it. Worldviews tend to span several realms, including religion, economics, and politics. A worldview provides an overarching model for the purpose and process of social life, depicting “how the world works.” Many West African cultures, for instance, are shaped by a worldview that identifies the rationale of society in the accumulation and distribution of material goods in extended families, communities, and the nation as a whole. People rise to leadership through their ability to accumulate wealth, but they are strongly obligated to distribute that wealth through their extended families and communities by funding the education and business ventures of family members and helping those in need. Beyond the family, the actions of political and business leaders are shaped by this worldview as well. A political leader is expected to support the generation of wealth while also making sure that the benefits are spread through the community. Moreover, leaders are expected to maintain relationships with departed ancestors who watch over their descendants. Through periodic rituals and offerings, leaders petition ancestors to bless their families and communities with prosperity and good fortune. cultural frames patterned, shared ways of interpreting situations. cultural practices routine or habitual forms of behavior. cultural role a conventionalized position in a particular context or situation. ideology a model that depicts how a social realm operates or should operate. An ideology identifies the entities, roles, behaviors, relationships, and processes in a particular realm as well as the rationality behind the whole system. material culture objects made or used by humans, such as buildings, tools, clothing, household items, and art. norm the cultural expectations, including behaviors and attributes, that are associated with a cultural role. technology specialized knowledge or skills required to produce objects of material culture. values cultural notions about what is good, true, correct, appropriate, or beautiful. worldview a very broad ideology that shapes how the members of a culture generally view the world and their place in it. Worldviews tend to span several realms, including religion, economics, and politics.", "section": "The Elements of Culture", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Aggregates of Culture Learning Outcomes By the end of this section, you will be able to: Explain how elements of culture combine in aggregates. Give three detailed examples of cultural symbols. Explain how symbols are embedded in rituals. Describe how social structures organize important cultural processes. An aggregate is a combination of elements. What we make, what we do, and what we think all combine in larger aggregates of culture. For instance, it’s pretty clear that toothbrushes, moon rocks, restaurants, and Mother’s Day cards must be understood as aggregates of material objects, practices, and ideas. In order to fully understand the toothbrush as a cultural object , we must examine not only its design and production but also how people use toothbrushes and why they use them. A set of routine practices surround our cultural objects (brushing), and those practices are supported by cultural ideas (hygiene). Symbols A symbol is an object, image, gesture, vocalization, or event conventionally associated with a particular meaning. Anthropologist Jennifer Hasty was conducting fieldwork in Ghana during an election year. She noticed that the posters and pamphlets of one politician featured a broom. Confused, she asked a friend why a male politician would choose a humble domestic tool associated with women’s work as his political motif. Making a sweeping motion with her hands, she explained, “Because he is promising to sweep away all the corruption.” Turns out, he was the not the first to use this symbol. Over time, the broom has come to acquire political meaning as a symbolic anti-corruption tool in Ghana. Featured in political posters and pamphlets, brooms like these have taken on special meaning in Ghanian politics, where they are understood as a symbol of a politician’s intent to sweep away corruption. (credit: “Handmade Brooms at Granville Island Broom Co.” by Ruth Hartnup/flickr, CC BY 2.0) Colors, shapes, gestures, animals, plants—all of these commonly acquire specific cultural meaning. For a Hindu wedding, a bride typically wears a bright red sari, as red is an auspicious color associated with change, passion, and prosperity. White, on the other hand, is typically worn to Indian funerals. Symbols are useful cultural aggregates because they provide a kind of shorthand for expressing complex ideas. Consider the American bumper sticker shown in Figure 3.9. This popular American bumper sticker incorporates a variety of religious and social symbols. (credit: “Coexistence” by Rusty Clark/flickr, CC BY 2.0) Combining symbols from Islam, Judaism, Taoism, Christianity, paganism, women, men, and the peace movement, this sticker aims to promote multicultural diversity. Rather than listing the various religions, identities, and ideologies and describing the conflicts among them, the message simply incorporates their symbols into a word urging mutual tolerance. Although symbols have conventional meanings, they can mean different things in different contexts or to different people. Although the intended meaning of the above bumper sticker is diversity, some people interpret it as an emblem of radical atheism. In the wake of the 2016 presidential election, some Americans started wearing safety pins to show their solidarity with LGBTQIA+ people, people of color, and others who had become targets of post-election harassment. For some, however, the safety pin symbolized pretentiousness and hypocrisy. Ritual Combining objects, actions, and meanings, ritual is a special kind of repeated, patterned action conventionally associated with a particular meaning. Rituals incorporate symbols and roles along with routinized activities such as gestures, music, and movement. Many rituals are performed by specialists in group settings to accomplish specific group or individual goals. Rituals bring together symbols, practices, and worldviews. Consider this popular American ritual. On the first Sunday in February, many Americans gather in each other’s homes to watch the annual championship game of the National Football League (NFL) on television. So widespread is this practice that stores are nearly empty and many Christian churches cancel afternoon and evening activities. As a whole, the ritual consists of many roles and relationships as well as patterned actions and conventional meanings. At the heart of the action are the two teams competing against one another in a chaotic game featuring an oddly shaped ball carried forward in campaigns of full-frontal assault across a carefully marked field. The players are surrounded by referees, coaches, camera people, and cheerleaders, each group having a strategic role in the action. Surrounding the field are commentators who interpret and contextualize, giving meaning to the actions of the game. At home, some people watch the game closely, exclaiming with joy or disappointment and commenting on the comments of the commentators. Other people socialize with one another, watching the game intermittently. Vast amounts of food and drink are consumed by Americans on Super Bowl Sunday. Typical foods include potato chips, dips, barbecued chicken wings, and pizza. Beer is the beverage of choice for this occasion. An event celebrating competition, spectatorship, and consumption, Super Bowl Sunday is an effective ritual for reinforcing dominant values in a society structured by corporate capitalism. Notions of gender, race, and class are threaded through the various levels of play and consumption as well. In the Akan communities of central and southern Ghana, in West Africa, leaders perform a ritual called Adae that uses important cultural symbols and reinforces cultural commitments to authority, ancestors, and shared prosperity. In the Akan society, people are given special wooden stools to mark certain stages in life, such as puberty and marriage. A person’s stool is said to contain the personal power of the owner, symbolizing the life essence of that person. This stool is more than just a place to sit down. In the Akan society which created it, it is understood to represent the personal power and life essence of the person it was given to. (credit: “Stool (Dwa)” by Museum Expedition 1922, Robert B. Woodward Memorial Fund/Wikimedia Commons, CC BY 3.0) When an eminent person dies, that person’s stool is enshrined in a special shed called a stool house, or nkonuafieso . Twice every 42 days (once on a Wednesday and once on a Sunday), a community leader makes a procession to the stool house of the ancestral leaders of the community. Entering the stool house, the leader must remove their sandals and lower the cloth worn draped around their shoulders, symbolizing their humility and respect for the ancestors. Then the leader greets the ancestral leaders one by one, making offerings of drink and food and asking for blessings and prosperity for the community. Special rituals called rites of passage are used to mark the movement of a person from one social status to another. Naming ceremonies, puberty rites, weddings, and funerals are all common rites of passage. Anthropologist Arnold van Gennep (1960) identified three stages in rites of passage: separation, transition, and incorporation. In the first phase, separation, individuals, or groups are taken out of their everyday social context, leaving their original social status. In the second phase, transition, people exist in an in-between state outside of conventional norms of dress and action. In this phase, people are often dressed in special costume, made to engage in unusual behaviors, and taught special forms of secret knowledge. In the third phase, people are brought back into society in a formal ceremony and introduced as subjects in a new social category. Initiation rituals are a common rite of passage in many societies. In many African societies that practice initiation, young people are gathered together in a group and taken to a special camp outside the town or village. This constitutes the separation phase. In the next phase, transition, members of the group are often dressed alike and made to follow a common set of rules and schedule of activities. They may be required to perform unusual feats, such as eating strange foods. Their bodies may be scarified or tattooed. Elders give them special knowledge essential to performing their future roles as women or men. For instance, girls may learn explicit lessons about conception and childbirth. Finally, when the transition is complete, initiates are returned to the town or village and presented as women or men. Often, the completion of initiation marks a young woman as formally eligible for courtship and marriage. Social Structure The way a society is formally organized is called social structure . Typically, a society organizes a set of routine activities and objects in space and time to accomplish a particular function, such as community decision-making, the production and circulation of goods, or religious observance. Social structure is the framework for those realms, designating when, where, how, and by whom these functions are accomplished. Social structures combine material culture (such as buildings) with practices (such as meetings) and ideas (such as the rules and procedures of those meetings). Consider the social structure of community decision-making, or the political realm. In some societies, community decisions are routinely made under the authority of a person inhabiting an inherited political office, called a chief or king (such as the Akans, discussed in the last section). Chiefs often have a council of community elders, the heads of local extended families. A chief is expected to consult with this council in all community matters. Other groups in society may represent the interests of youth, women, farmers, or traders. Each group will have its own leader who communicates directly with the local chief. Regular procedures govern how issues are raised and discussed and how decisions are taken. Together, the groups, roles, relationships, and procedures all constitute the social structure of the political system. Rather than seeing social structure as fixed and immobile, some anthropologists emphasize that people continually make and alter their social structures through everyday forms of interpretation, participation, and resistance. These processes mean that social structures are always subject to a variety of forces in a constant state of change. rite of passage a ritual that moves a person or group of people from one social category to another, often more highly valued one. Examples of rites of passage include naming ceremonies, initiations, weddings, and funerals. ritual repeated, patterned action conventionally associated with a particular meaning, often incorporating symbolic objects and actions. social structure the organizational framework for a particular realm of culture, such as the family, the economy, or the political system. Social structures combine material culture with practices and ideas. symbol an object, image, or gesture conventionally associated with a particular meaning.", "section": "The Aggregates of Culture", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Modes of Cultural Analysis Learning Outcomes By the end of this section, you will be able to: Explain how evolutionary theories have been applied to the study of human culture. Identify two critiques of evolutionary approaches. Describe how anthropologists have studied the functionality of culture. Distinguish Malinowski’s functionalism from Radcliffe-Brown’s structural functionalism. Explain how ontological anthropology defines the study of reality. Anthropologists have a number of ways of studying the elements and aggregates of culture. Some approaches emphasize the development of a particular aspect of culture over time, while other approaches examine how the different parts of culture fit together. Evolution, Adaptation, and Historical Particularism Some anthropologists are interested in the origins of human cultural forms and how these forms have changed over long periods of time. Just as Charles Darwin applied the notion of evolution to explain how biological species change over time, many 19th-century anthropologists used evolution to explain how cultures changed over time. This approach is called cultural evolutionism . Like Darwin, these anthropologists believed that simple forms evolved into more complex forms. Comparing different cultures of the world, they assigned the ones they considered more rudimentary to earlier evolutionary stages, while the ones they considered more complex were assigned to the more advanced stages. For example, British anthropologist Edward Tylor argued that human culture evolved from savagery through barbarism to civilization. He identified savagery with people who used gathering and hunting to meet their basic needs. The domestication of animals and plants was associated with barbarism. Civilization resulted from more advanced forms of farming, trade, and manufacturing as well as the development of the alphabet. Not surprisingly, British scholars identified their own culture as highly civilized. Elaborating on Tylor’s scheme, American anthropologist Lewis Henry Morgan subdivided each of these three stages into an even more elaborate model and proposed a mechanism for moving from stage to stage. Morgan focused on technology as the primary driver of cultural evolution. New and better ways of making things, according to Morgan, resulted in new patterns of social practice and thought. Advanced technology was associated with advanced civilization. But is technology the only measure of cultural accomplishment, or even the best one? Members of societies in which people gather and hunt for a living have vast stores of knowledge about their environments. Typically, they can name hundreds of plant species and tell when and where to find each of them. Many hunters can examine animal tracks to discern the species, sex, age, and condition of the animal as well as how long ago the tracks were laid. People in these societies also actively sustain and nurture diversity in their environments, careful to avoid depleting important resources. Is it really accurate to think of such cultures as simple? All cultures are complex, though in different ways. Technology is highly valued in American culture, while environmental knowledge and sustainability have historically been less valued. Is it any wonder that early American anthropologists ranked other cultures according to one of their own most cherished values? Perhaps people in more environmentally sustainable cultures might consider the United States to be an example of environmental savagery. Both Tylor and Morgan , like most anthropologists of their day, thought that all cultures passed through this single set of stages in the march toward civilization. This kind of theory is called unilineal evolution . Disagreeing with this way of thinking, anthropologists such as Franz Boas argued that there is no single line of cultural evolution but that each culture changes according to its own unique historical trajectory. Moreover, cultures evolve not in isolation but in constant interaction with one another. Rather than focusing on technological changes within a culture, Boas highlighted the diffusion of material objects, practices, and ideas among cultures in complex relations of trade, migration, and conquest. Though theories of unilineal cultural evolution have been largely abandoned, some anthropologists are still interested in discovering regular patterns that might govern how human cultures change over long periods of time. In the 1950s, American anthropologist Julian Steward developed an approach called cultural ecology , recognizing the importance of environmental factors by focusing on how humans adapt to various environments. Steward’s approach showed how humans in each environmental zone develop a set of core cultural features that enable them to make a living. Central to each cultural core are ways of getting or making all the resources necessary for human survival—in particular, food, clothing, and shelter. Similarly, anthropologist Marvin Harris developed a theory called cultural materialism , arguing that technology and economic factors are fundamental to culture, molding other features such as family life, religion, and politics. Though recognizing the importance of cultural change, many anthropologists reject the notion that all cultures change according to a general universal model, such as cultural materialism. Drawing from the Boasian notion that each culture follows its own historical path; many cultural anthropologists analyze change in terms of historical particularism . In this approach, contemporary processes are understood as products of the unique combination of internal and external forces unfolding over time in a particular culture. Functionalism Rejecting the comparative unilineal models that assigned each culture to an evolutionary stage, a number of cultural anthropologists developed a radically different approach that attempts to understand each contemporary culture in its own terms. Functionalism seeks to understand the purpose of the elements and aggregates of culture in the here and now. Bronislaw Malinowski , an early proponent of this approach, argued that the function of culture is to meet human needs. All humans need to satisfy the need for food, clothing, and shelter. The fundamental purpose of culture is to provide a means of satisfying those needs. In the course of meeting those basic needs , humans in all cultures develop a set of derived needs—that is, needs derived from the basic ones. Derived needs include the need to organize work and distribute resources. Family structures and gender roles are examples of cultural elements addressing these derived needs. Finally, cultures also address a set of integrative needs, providing people with guiding values and purpose in life. Religion, law, and ideologies fulfill these integrative needs. Malinowski sought to understand both the biological and psychological functions of culture. At first glance, this approach may not seem all that different from evolutionary approaches that identify the core set of cultural features devoted to human survival. What was so different in Malinowski’s approach was his attempt to show that even so-called primitive societies had functionally complex cultural systems for meeting the full array of human needs. Malinowski’s three-volume ethnography of the economics, religion, and kinship of the Trobriand people of Papua New Guinea demonstrated this fact in striking and elaborate detail. A second version of functionalism, advocated by British anthropologist Alfred R. Radcliffe-Brown , identified the functions of various elements of culture in a slightly different way. Rather than looking for the way culture satisfies biological or psychological needs, structural functionalism focused more on how the various structures in society reinforce one another. Culture is not a random assortment of structural features but a set of structures that fit together into a coherent whole. Common norms and values are threaded through the family structure, the economy, the political system, and the religion of a culture. Structural functionalists conceptualized culture as a kind of machine with many small parts all working in tandem to keep the machine operating properly. While recognizing the value of this approach, contemporary anthropologists have complicated the mechanistic model of culture by pointing out that the various elements of culture come into conflict just as often as they reinforce one another. Although few anthropologists would now identify themselves as structural functionalists, the holistic approach to culture as an integrated system is derived from this important theoretical foundation. Structuralism In the previous paragraph, you learned about structural functionalism, an approach that marries functionalism with social structure. In a different sense, the term structure can refer to patterns of thought embedded in the culture of a people—that is, conceptual structure. French anthropologist Claude Lévi-Strauss pioneered this approach, sometimes called French structuralism . Lévi-Strauss considered culture to be a system of symbols that could be analyzed in the various realms of culture, including myths, religion, and kinship. In these realms of culture, objects and people are organized into symbolic systems of classification, often structured around binary oppositions. Binary oppositions are pairs of terms that are opposite in meaning, such as light/dark, female/male, and good/evil. For example, kinship systems are varied and complex, but they are fundamentally structured by oppositions such as male versus female, older versus younger, and relation by blood versus relation by marriage. Lévi-Strauss examined myths as well, showing how the characters and plots emphasize binary oppositions. Consider the many European folktales featuring an evil stepmother (Cinderella, Sleeping Beauty), a character that combines the opposition of good versus evil with the opposition of blood relation versus relation by marriage. Lévi-Strauss argued that myths operate as public arenas for conceptually pondering and processing the fundamental categories and relations of a culture. Ontology In recent decades, some cultural anthropologists have come to focus on the nature of reality, including but not limited to human perspectives and experiences. Ontology is the study of the true nature of existence. In some cultures, for instance, the social world consists not only of embodied persons but also of spirit beings, such as ancestors and witches, who interact with people in mysterious ways. And in some cultures, people are not just bodies but assemblages that include souls, spirits, characters, or fates. Ontological anthropology explores how culture constructs our social and natural realities, what we consider real, and how we act on those assumptions. Reaching beyond human realities, ontological anthropology also attempts to include nonhuman perspectives, relationships, and forms of communication. For instance, in his provocative ethnography How Forests Think (2013), anthropologist Eduardo Kohn describes how the web of life in the Amazon rainforest consists of continual communication among plants, animals, and humans. He examines how Amazonian peoples engage with dogs, spirits, the dead, pumas, rivers, and even sounds. Humans and these nonhuman beings are both antagonistic and interdependent in this interactive web. Predators and prey read one another’s behavior, interpreting intentions and motivations. Kohn’s effort is to get beyond conventional modes of human thought and language to understand how humans are embedded in nonhuman ecological realities. Dame Mary Douglas 1921–2007 Dame Mary Douglas . Personal History: Mary Douglas was born in San Remo, Italy; her British parents had stopped off on their way home from Burma, where her father had been working as a colonial civil servant. As children, Mary and her younger sister lived with their mother’s parents in England until they were old enough to be sent to Catholic boarding school—a fairly common practice for the children of colonial officers. After the death of her mother and her dearly loved maternal grandfather, young Mary found security in the order and routine of the convent school (Lyons 2011). This respect for rules and order combined with a reverence for the Catholic Church to shape her lifelong commitment to studying the sacred aspects of the social order. Area of Anthropology: At Oxford, Douglas studied with the prominent structural functionalist E. E. Evans-Pritchard. From him, she learned that African belief systems such as witchcraft were structured by an underlying logic. In this approach, the goal of fieldwork is to examine oral forms of culture as well as ritual and social practice in order to discern the underlying logic that governs culture as a whole. Douglass went to the Kasai region of what was then the Belgian Congo, where she studied how the Lele people used animals in practical and symbolic ways. She was particularly interested in a strange animal called the pangolin. Though a mammal, the pangolin has scales and no teeth. This pangolin is classified as a mammal but has scales like a reptile or fish. Pangolin were considered sacred to the Lele people, who did not classify them as a food animal. (credit: Official photographer of the U.S. Embassy in Ghana/Wikimedia Commons, Public Domain) Douglas described how the Lele observed a fundamental distinction between edible and inedible animals. Animals who lived among humans, such as rats and domesticated chickens, were considered part of society and therefore inedible (most of the time). Only wild animals were considered food. Pangolins are wild animals, but the Lele did not eat them (usually). Why? Douglas argued that the weirdness of the pangolin made people single it out for special consideration. Pangolins have scales like fish, but they live on land and climb trees. They look vaguely reptilian, but they do not lay eggs, instead giving birth to live young. Rather than teeth, they have long snouts that they use to vacuum up small insects. Thus, the pangolin defied the conventional categories the Lele used for dividing up the animal world. This breach of categories made the pangolin both repellent and sacred to the Lele. Members of a special fertility cult engaged in rituals in which they ate pangolins to ingest the power of this anomalous animal. As this examination of cultural categories and anomalies suggests, Douglas was also influenced by Claude Lévi-Strauss and the approach of French structuralism. Like Lévi-Strauss, Douglas viewed culture as a coherent system of categories that were expressed in oral culture and social practice. Accomplishments in the Field: Following her work on the Lele people, Douglas went on to conduct a broadly comparative study of objects, practices, and people that were considered ritually dangerous, subject to rules of prohibition called taboos. She showed how the subjects of taboos are often “matter out of place” (Douglas 1966, 44), things that defy conventional categories for dividing up the social and natural world. In her most famous work, Purity and Danger (1966), Douglas examines a wide range of taboos, such as rules against eating certain foods or engaging in sex at certain times or with certain persons. She examines the set of social and dietary rules established by ancient Hebrews, detailed in the book of Leviticus in the Old Testament. According to these rules, the Jewish people were forbidden from eating pigs, shellfish, and certain wild animals. They were not allowed to wear garments made of cloth that combined different fibers—such as, for example, a linen-cotton blend. Men were prohibited from having sex with menstruating women. In fact, women were considered so unclean during menstruation that anyone or anything that touched a menstruating woman became contaminated for the rest of that day. What do all of these prohibitions have in common? Douglas shows how each forbidden object or condition produced discomfort because it transgressed conventional categories. Shellfish, for instance, are sea animals, but they don’t have fins or scales, and many of them do not swim. Menstruation is blood loss, but it does not indicate injury. Moreover, menstruation is hidden and connected to the dangerous states of pregnancy and childbirth. In Hebrew law, menstruation itself was considered a dangerous and contaminating exception to the purity of persons and objects. In her later work, Douglas applied this style of analysis to a variety of other social phenomena, including humor and trickster figures. She argued that humor functions as a release for thoughts and actions that might threaten the social order. Whereas taboos regulate and prohibit interaction with dangerous objects, animals, and people, humor seeks to sap them of their dangerous power by making light of them. Importance of Her Work: After more than 25 years of teaching at the University of London, Douglas moved to the United States, where she held positions at the Russell Sage Foundation and Northwestern University. She continued to publish widely on such topics as consumerism, environmental risk, and decision-making in bureaucracies. When she retired, she moved back to England. In 2006, she was made Dame Commander of the Order of the British Empire. She died in 2007 at the age of 86. cultural ecology how humans develop culture as an adaptation to various environments. cultural materialism an evolutionary approach that identifies technology and economic factors as fundamental aspects of culture, molding other features of culture such as family life, religion, and politics. cultural evolutionism the study of the origins of human cultural forms and how those forms have changed over long periods of time. diffusion in an anthropological context, the spread of material objects, practices, and ideas among cultures in complex relations of trade, migration, and conquest. functionalism a form of analysis that focuses on the contemporary purposes of culture. historical particularism an approach to cultural change that describes the combination of internal and external factors that shapes the unique historical trajectory of each culture. ontological anthropology an approach that explores how culture constructs our social and natural realities, what we consider real, and how we act on those assumptions. Reaching beyond human realities, ontological anthropology also attempts to include nonhuman perspectives, relationships, and forms of communication. ontology the study of the nature of existence. structural functionalism a form of analysis that describes how various aspects of culture fit together and contribute to the integrated whole of culture. structuralism the study of culture as a system of symbolic categories embedded in the myths, religion, kinship, and other realms of a culture. unilineal evolution the idea that all cultures pass through a single set of developmental stages.", "section": "Modes of Cultural Analysis", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Paradoxes of Culture Learning Outcomes By the end of this section, you will be able to: Identify four paradoxes in the concept of culture. Define four mechanisms of cultural change. Provide a detailed example of the mobility of culture. Describe culture as an arena of argument and contest. Explain how members of a culture can have different versions of their shared culture. As European immigrants settled in the western frontier of the United States, they faced the challenge of reinventing the elements of culture familiar to them in very different environmental and social conditions. Used to living in houses made of wooden planks or logs, they found themselves on vast plains with very few trees. A common adaptation to this environmental limitation was to dig into a slope of earth to create a dugout home with turf walls and roof. This Nebraska home, photographed with cow on its roof in 1870, was constructed in the side of the hill directly behind it. While such dugout homes were practical and functional, those who lived in them typically strove to replace them with wood-frame houses, as symbols of wealth and achievement. (credit: Solomon D. Butcher/Library of Congress, Public Domain) While these homes were perfectly functional, many Euro-American settlers considered them dirty and backward. When their farming ventures became prosperous, they often undertook the great expense of importing wood from forested areas to build the kind of house familiar to them from life back east, either on the East Coast of the United States or in the European countries they originally came from. While conducting fieldwork in Lesotho in the 1980s, cultural anthropologist Jim Ferguson observed that people who became prosperous often replaced their round homes made of mud and stone and thatched roofs with rectangular ones featuring cement floors and galvanized steel roofs. While the round buildings were functionally adapted to local conditions, made of local materials, cool on hot days, and warm in cool nights, the rectangular ones heated up like ovens under the hot sun and were noisy in the rain. The materials were imported and expensive. Talking to one man who was planning to replace his round house with a rectangular one made of cement and steel, Ferguson suggested that local building methods and materials might be superior to foreign ones. Looking me carefully in the eye, he asked, “What kind of house does your father have, there in America? ... Is it round?” No, I confessed; it was rectangular. “Does it have a grass roof?” No, it did not. “Does it have cattle dung for a floor?” No. And then: “How many rooms does your father’s house have?” ... I mumbled, “About ten, I think.” After pausing to let this sink in, he said only: “That is the direction we would like to move in.” (Ferguson 2006, 18) In both cases, for Euro-American settlers and Lesotho villagers, the idea of home is not a settled matter but subject to the forces of environmental adaptation, functionality, social status, and ideological debate. Both examples illustrate a set of tensions at the heart of the concept of culture. Originally, anthropologists studied culture as a fairly stable and consensual set of features commonly embraced by the people of a certain geographical area. In the course of the 20th century, however, anthropologists began to realize that this notion of culture was misleading and incomplete. In the early 20th century, American anthropologist Franz Boas argued that the elements of culture are highly mobile, diffusing through the cultural contacts of trade and migration. Since the 1960s, cultural anthropologists have come to emphasize the controversial aspects of culture: how people disagree and argue over the dominant values and practices of their societies. Much of this controversy stems from the unevenness of culture within a society—how people in different social categories and subgroups participate differently in their common culture, with different versions or perspectives on the same cultural norms and practices. Despite these forces of change and controversy, there is something durable and shared about culture, some set of common elements that distinguishes the whole way of life of each society. Even as cultures change through innovation and contact, they often hold on to some of their distinctive features. In the 1980s, some scholars thought that increases in global trade, migration, and technology were transforming all the diverse societies of the world into one uniform global monoculture. In the 2020s, we see that the opposite has happened. In many parts of the world, we have seen a resurgence of cultural identities and explicit efforts to maintain, rehabilitate, and reinvent forms of cultural heritage. So riddled with contradictions is the concept of culture that some anthropologists have suggested ditching the whole notion altogether and finding some other concept to bind together the four fields in their pursuit of knowledge about humanity. Perhaps such an integrated understanding of humanity isn’t even possible. Or maybe the contradictions of culture are the most illuminating aspects of the culture concept. Maybe those contradictions are anthropology’s most important contribution to our understanding of humanity. This textbook takes the latter approach. Culture is the whole way of life of a people subject to a set of contradictory forces. These forces constitute four central paradoxes of culture. Paradox 1: Culture Is Continuous, but It Changes Cultural materials, practices, and ideas are handed down from older to younger members of a culture, giving some degree of continuity to culture over time. However, many factors can intervene in this process of cultural reproduction to subtly alter or dramatically change the elements and aggregates of culture. In some contexts, younger people either fail to precisely learn the culture of their elders or deliberately reject those cultural lessons. Through travel and trade, people learn about other ways of doing things, and they take these ideas back to their own cultures, trying them out to see how they might improve their own ways of life. Accidents and deliberate experimentation introduce new possibilities. People may simply get tired of doing things one way over and over and thrill at some refreshing style or craze. We can identify four main mechanisms of cultural change. These four mechanisms overlap and interact as the history of a culture unfolds over time. Diffusion is the movement of an element of culture from one society to another, often through migration or trade. Friction occurs when two or more elements of culture come into conflict, resulting in alteration or replacement of those elements. Innovation is the slight alteration of an existing element of culture, such as a new style of dress or dance. Invention is the independent creation of a new element of culture, such as a new technology, religion, or political form. In the examples at the beginning of this section, building techniques and ideals move along with human migration to new settings, where they must be altered to fit the materials and challenges of the new environment. In colonial and neocolonial contexts, dominant groups may introduce the techniques and ideals of their own homelands as “superior” even if they don’t work very well in the environments of colonial conquest. Some cultural inventions are so successful that they transform the whole way of life of a people. Consider the information technologies that have reshaped American life since the 1970s, such as computers, the Internet, and cell phones. These tools have changed the ways Americans communicate, work, learn, shop, navigate, and entertain themselves. Diffusing through trade, these inventions have transformed cultures all over the world in diverse ways. In many societies, modes of interacting through communication technologies come into conflict with norms for interacting face-to-face, creating friction between the two realms. Where the movements, behavior, and social relationships of young women are tightly controlled, for instance, mobile phones allow women to secretly make new friends, explore new topics of conversation, and engage in behavior their elders might not sanction. Sometimes the forces of innovation and invention catch on, and sometimes they don’t. In the 1970s, Ralph Hasty, a disc jockey from southwest Missouri, moved to Northern California, where he lived and worked for many years. There, he learned about a new technology for building houses in the form of geodesic domes, structures comprising intersecting polygons assembled from prefabricated kits. In late 1980s, he returned to live in southwest Missouri, bringing with him this enthusiasm for geodesic construction. He ordered a kit and built a geodesic dome house on a piece of rural land, intending to sell the house and use the profits to build more of these geodesic wonders. Well, things did not exactly go to plan. The locals apparently found the house far too weird to suit their notion of home. From the outside, the dome looked like some sort of futuristic greenhouse or zoo habitat. On the inside, conventional furniture did not fit in the oddly shaped rooms of the dome. Once finished, the geodesic home sat on the market for a number of months, and eventually, he had to sell it at a loss. It must be mentioned that Ralph Hasty, geodesic innovator, continued to live in a conventional rectangular house for the rest of his life. Ralph Hasty stands in front of the geodesic dome he built. Although providing all of the needs of a secure and warm dwelling space, it was hard to find a buyer for this unconventional home. (credit: Jennifer Hasty, Public Domain) Paradox 2: Culture Is Bounded but Mobile Because many elements of culture are shaped by environmental forces, trading opportunities, and local histories of settlement, culture becomes associated with territory. But because of the mobility of people, objects, and ideas, culture rarely stays within the boundaries of any society; rather, it wanders restlessly along lines of travel, communication, conquest, and trade. People move around a lot, and this is nothing new. On the popular British television series Time Team , archaeological excavations all over the United Kingdom uncover artifacts from ancient times that were produced in far-flung places such as Rome, Scandinavia, and the Middle East. In episode 4 of season 16 (2015), the team excavated a town in Wales that was constructed by Romans during the time of Roman conquest. There, archaeologists unearthed the foundations of Roman buildings along with a variety of Roman objects, including a third-century Roman coin, a Roman tool for removing earwax, a twisted-wire bracelet, and a knife handle decorated with gladiators. Other Time Team investigations have uncovered artifacts from travelers and pilgrims to sacred religious sites. These objects have diffused to British cultures through conquest, trade, and migration. As people move around, so do objects, technologies, practices, and ideas. This fabric shop displays a number of colorful wax print patterns. Although wax print fabrics are now associated with Africa, the wax print technique actually originated in Indonesia. (credit: “National Colors” by Miranda Harple for Yenkassa.com/flickr, CC BY 2.0) However, certain integrated sets of things, practices, and ideas do cluster in certain places. Take a look at the cloth in Figure 3.15. This kind of cloth is quintessentially African. It’s called wax print , and indeed, clothing made of wax-print cloth is very popular in many parts of Africa. Wax-print cloth is industrially produced cotton cloth with intricate designs and bold colors. In most African countries, a vast selection of designs and brands of wax prints can be found in any market. Rather than buying ready-made clothes in clothing shops, people more often purchase cloth in the market and take it to a seamstress or tailor to be made into the garment of their own choosing. Many wax-print designs are symbolic, serving as a means of nonverbal communication for the people who wear them. Some cloths are associated with proverbs, occasions, monuments, and famous people. In the West African country of Ghana , many cloth designs are named using the vivid proverbs of the large Akan cultural group. One popular design features a bird in flight, associated with the Akan proverb Sika wo antaban , meaning “money takes flight.” Another elaborate motif is called Akyekyde? Akyi , or “the back of the tortoise,” worn by wise people who move through life with slow intention. One design with long, corrugated stripes is called sugarcane, which is said to mean “I love you like sugar.” The various designs on these fabrics are understood to each have a special meaning. In the upper left, is an example of the Sika wo antiban design, meaning “money takes flight.” (credit: Ninara/flickr, CC BY 2.0) Though iconically associated with African dress, wax print actually originated in Indonesia, derived from local techniques for making batik cloth. Batik is made using wax to draw designs on plain cotton cloth that is then immersed in a dye bath. When the wax is melted off, the design remains against the background of color. When the Dutch colonized Indonesia in the 1700s, Dutch merchants were impressed with the beauty of local batik and sought to use their own methods of mass-produced block printing to imitate the vibrant colors and elaborate designs of Indonesian cloth. In the 1880s, Dutch and British merchants introduced their own mass-produced wax prints to people in their African colonies, particularly along the west coast of Africa. Dutch wax cloth was enthusiastically embraced by Africans, who began to infuse certain patterns with social meanings. With independence in the mid-20th century, many African countries developed their own wax-print textile industries using designs developed by local artists. Exemplifying the cultural paradox of locality and mobility, wax-print cloth is culturally embedded in African culture while carrying a complex history of global trade, appropriation, and colonial domination. In the context of global power relations, the mobility of culture poses questions about who has the right to claim or use elements of culture diffused from elsewhere. As part of the process of cultural immersion and participant observation, many cultural anthropologists adopt the dress, diet, gestures, and language of the peoples they study while they are conducting fieldwork. Often, anthropologists bring their love of these cultural elements back to their home societies and continue to use and practice them to show their appreciation for the cultures they have studied. However, some people may find it unsettling to see a white Euro-American anthropologist wearing an African wax-print dress—or a silk sari from India, or an ornately woven lliclla cape from Peru. In your travels, have you ever purchased an item of clothing or jewelry worn by local peoples? Is it appropriate to wear such items in your home society? If someone is using cultural items as a way of honoring that culture, many people would think it’s perfectly fine. If someone is wearing items from another culture as a form of humorous costume, such as a sports mascot or Halloween costume, most people would find that offensive. An even more serious problem emerges when a person uses or claims cultural elements from another society in order to make a profit. What if, for instance, someone from the American fashion industry copied a wax print motif such as Sika wo antaban , using the design for American clothing, housewares, or art? The elements of culture, both material and nonmaterial, constitute the intellectual property of the people of that culture. Claiming or using the elements of another culture inappropriately is called cultural appropriation . Paradox 3: Culture Is Consensual but Contested In any society, people interact using a set of assumptions about the sorts of behavior and speech considered appropriate to certain people in certain situations. That is to say, culture is consensual; through their words and actions, people agree to a certain way of doing things. As discussed earlier in this chapter, culture includes conventionalized roles, behavioral norms, and shared ideas for framing situations. For example, imagine that someone in the United States has just graduated from college and is looking for a job. What should that person do? In the United States, it is common to spend time crafting an impressive résumé, using a specific form of technical language that accentuates the quality of a person’s skills and experiences while demonstrating their educational background. Instead of listing “worked as a camp counselor,” someone might indicate that they “developed systems of cooperative leadership among youth in an environmental awareness program.” A recent graduate would likely post this linguistic masterpiece to a job search website such as Indeed.com. For many people in China, such a strategy would seem very rudimentary and even grossly inadequate. Seeking opportunities for education, employment, and business, people in China frequently rely on a cultural system known as guanxi . Informed by Confucianism, guanxi refers to gifts and favors exchanged among people in wide social networks based on mutual benefit. Guanxi is based on family ties but also includes relationships formed in schools, in workplaces, and even among strangers who meet at parties or through mutual friends (Yin 2017). While still in school, a student may be on the lookout for people who might be able provide access to employment opportunities in the future. Using the practices of guanxi , the student would seek to establish personalized links with such people in the hope that these links might prove advantageous in the future. Say, for instance, a student hopes to get a job in solar technology after graduation. That student might seek out professors whose teaching and research suggest connections in that industry. To establish relations of guanxi , the student would not only take courses from that professor but also attempt to establish some sort of personal rapport. This is typically done through strategic gift giving. In a particularly brutal winter, a student might knit a sweater for the professor. An artistically inclined student might sketch a portrait of the professor and frame it as a gift. Importantly, the gift must go slightly beyond the bounds of their professional relationship as professor and student. Over time, the student might find ways to meet with the professor, further cementing the social bond. After carefully cultivating this personalized relationship over months or years, the student might then ask the professor to use industry connections to help them find a job. What this means is that personal connections can be just as important as, if not more important than, the language or qualifications of a person’s résumé. While Americans emphasize the importance of job-search techniques, personal connections also play a role in securing employment in the American context, particularly in highly paid, competitive industries such as software development and finance. In many societies, people prefer to work with people they trust. Rather than hiring a random stranger, many prefer to hire someone recommended by a trusted friend or business partner. In guanxi relationships, relations of trust are established through the exchange of gifts and favors over time. But what if the people who are hired in competitive industries are the ones who deployed their strategic social connections and not necessarily the ones who are most skilled, talented, or otherwise best suited to the work? What if the companies who are hired to complete infrastructure projects such as roads and bridges are not necessarily the most competent or experienced ones but those who have given strategic gifts to government officials? What if people use their guanxi networks to obtain special privileges, such as government licenses or social services? Legal scholar Ling Li (2011) argues that some people use the cultural system of guanxi to facilitate and rationalize bribery and other acts of corruption. In 2012, the Chinese government launched an ambitious campaign against corruption among government officials. More than 100,000 people have been investigated and charged with corruption, including many high-ranking government officials, military officers, and senior executives of state-owned companies. Investigations have revealed how powerful people use their extensive guanxi networks to secure deals, exert influence, and extract goods and services. The campaign against corruption in China raises questions about the morality and legality of guanxi practices. Although guanxi is a widely accepted system for gaining access to goods, services, and opportunities, people who don’t have elite connections may feel that this informal cultural system is unfair. For personal or ethical reasons, some people may challenge or resist the practices of guanxi . Chinese journalist Lijia Zhang (2013) describes how she was denied a promotion in her first job because she refused to give the expected guanxi gifts to her boss. Zhang reports that most Chinese people complain about the widespread practices of corruption but are forced to use their guanxi networks to get ahead in life. Guanxi illustrates how culture can be generally taken for granted but also highly controversial. Many other cultural norms are also widely accepted but challenged and resisted by certain groups who are disadvantaged or limited by those norms. Gender roles are a good example, as are norms of sexuality and marriage. Paradox 4: Culture Is Shared, but It Varies The examples of guanxi and the geodesic dome both illustrate another paradox: how culture is widely yet unevenly shared among members of a group. Different members of and groups in a society have different perspectives on their shared culture—and different versions of that culture. Among elites, the use of Chinese guanxi (or American “networking”) might seem to be a more personal and trustworthy process for making things happen. But for people who lack access to elite networks, these cultural norms may seem to be an exclusive and unfair tool of class oppression. Returning to the notion of home, consider the many, many versions of home in your society. People in different subgroups and regions live in structures of different shapes and sizes that are made of different materials. And yet, the members of a culture do share a common set of assumptions about home. Home is where we live, where we sleep, and most often where our family lives as well. Even with such diversity, people in a society have a common image or ideal of home. On the West Coast of the United States, geodesic innovators sought to expand the notion of home with a new shape and a new way of building. But in southwest Missouri, that variation of home did not take root. Alas. The four paradoxes all illustrate how culture operates as a force of stability in a society while also generating forms of constant alteration, adaptation, and change. As culture is mobile, controversial, and variable, some elements are always in the process of transformation even as other elements are maintained and reinforced. Over time, people reinterpret their cultural norms and practices and sometimes even reject them altogether in favor of some other way of thinking or doing things. This paradoxical view of culture points to the dynamic tensions of people living in groups. Societies are collectivities of individuals, families, regional groups, ethnic groups, socioeconomic classes, political groups, and so on. Culture provides a way for people to live and work together while also allowing for the expression and performance of distinctive differences. Rather than breaking down, culture responds to pressures for change with adaptation to new conditions. The paradoxes that make culture seem impossible also make culture flexible and durable. In an era that combines increasing polarization with an urgent need for cooperative change, perhaps we need culture now more than ever. Summary The discipline of anthropology is centered on the concept of culture. What we make, what we do, and what we think constitute the basic elements of culture. These elements combine in aggregates such as symbols, rituals, and social structures. Since the 19th century, anthropologists have developed various modes of analysis for understanding culture, some examining change over time and others considering the functions of culture at one particular point in time. While it is an incredibly useful tool for understanding human social life, the concept of culture is riddled with paradox. Though durable and integrated, culture is subject to constant change, mobility, contest, and variability. Critical Thinking Questions Romance over Time Write down the answers to the following questions. What does a person in your culture do when they want to become romantically involved with a particular someone? Are there common practices for this? What rules guide this behavior, explicit or implied? What are the different roles involved? Are there symbols and rituals? Is there some amount of disagreement in your culture about any of these activities? Now, find a person in your culture who is much older than you, perhaps a person over 70 years old. Ask that person to describe how people did the same things when they were your age. Ask the same set of questions, and write down the answers. How have romantic relations changed over time? What forces have shaped this change? What aspects have remained the same? What explains the durability of some practices? Based on this trajectory of change, can you predict how romantic relations will change in the future? Suggested Readings “Anthropological Theories: A Guide Prepared by Students for Students.” 2012. Department of Anthropology, University of Alabama College of Arts & Sciences. https://anthropology.ua.edu/anthropological-theories/. Bachmann-Medick, Doris, Jens Kugele, and Ansgar Nünning, eds. 2020. Futures of the Study of Culture: Interdisciplinary Perspectives, Global Challenges . Boston: De Gruyter. Geertz, Clifford. 1973. The Interpretation of Cultures: Selected Essays . New York: Basic Books. Neumann, Birgit, and Ansgar Nünning, eds. 2012. Travelling Concepts for the Study of Culture . Boston: De Gruyter. Bibliography Bourdieu, Pierre. 1970. “The Berber House or the World Reversed.” Social Science Information 9 (2): 151–170. Douglas, Mary. 1966. Purity and Danger: An Analysis of Concepts of Pollution and Taboo . London: Routledge & Kegan Paul. Ferguson, James. 2006. Global Shadows: Africa in the Neoliberal World Order . Durham, NC: Duke University Press. Geertz, Clifford. 1973. The Interpretation of Cultures: Selected Essays . New York: Basic Books. Gennep, Arnold van. 1960. The Rites of Passage . Translated by Monika B. Vizedom and Gabrielle L. Caffe. Chicago: University of Chicago Press. Hallowell, A. Irving. 1992. The Ojibwa of Berens River, Manitoba: Ethnography into History . Edited by Jennifer S. H. Brown. Fort Worth, TX: Harcourt Brace Jovanovich. Kohn, Eduardo. 2013. How Forests Think: Toward an Anthropology beyond the Human . Berkeley: University of California Press. Li, Ling. 2011. “‘Performing’ Bribery in China: Guanxi-Practice, Corruption with a Human Face.” Journal of Contemporary China 20 (68): 1–20. https://ssrn.com/abstract=1712390. Lyons, Harriet D. 2011. “Dame Mary Douglas.” In Fifty Key Anthropologists , edited by Robert J. Gordon, Andrew P. Lyons, and Harriet D. Lyons, 46–51. New York: Routledge. Peters-Golden, Holly. 2002. Culture Sketches: Case Studies in Anthropology . 3rd ed. Boston: McGraw-Hill. Scalco, Patricia. 2019. “Weaving Value: Selling Carpets in the Liminal Space of Istanbul’s Grand Bazaar.” Anthropology Today 35 (5): 7–10. Tylor, Edward Burnett. 1873. Primitive Culture: Researches into the Development of Mythology, Philosophy, Religion, Language, Art, and Custom . 2nd ed. 2 vols. London: John Murray. Williamson, Kenneth. 2012. “Night Becomes Day: Carnival, Contested Spaces, and the Black Movement in Bahia.” The Journal of Latin American and Caribbean Anthropology 17 (2): 257–278. Yin, Xiangru. 2017. “An Analysis of Corruption in China: The Guanxi Network of Chinese High Level Officials and Governors.” Master’s thesis, Clark University. International Development, Community, and Environment (IDCE) (140). https://commons.clarku.edu/idce_masters_papers/140. Zhang, Lijia. 2013. “Author: In China, ‘Everyone Is Guilty of Corruption.’” CNN. October 24, 2013. http://edition.cnn.com/2013/10/23/opinion/china-corrution-lijia-zhang/. cultural appropriation claiming or using elements of another culture in an inappropriate way. friction occurs when two or more elements of culture come into conflict, resulting in alteration or replacement of those elements. innovation the slight alteration of an existing element of culture, such as a new style of dress or dance. invention the independent creation of a new element of culture, such as a new technology, religion, or political form. intellectual property material and nonmaterial products of an individual or group that are protected by national and international laws and cannot be used for profit by others without attribution or compensation.", "section": "The Paradoxes of Culture", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction The Grand Gallery of Evolution in the National Museum of Natural History in Paris, France displays 9,500 specimens of the estimated millions of species that currently live or once lived on the Earth in its collections. In addition to educating the public about the mechanisms of evolution, the exhibitions in the museum honor the scientists who helped contribute to our current understanding of the history of life on Earth. (credit: “Great Gallery of Evolution” by Mustang Joe/flickr, Public Domain) This chapter applies evolutionary concepts to the understanding of human origins and explains the biological variation seen in our ancestors across time. Chapters 4, Biological Evolution and Early Human Evidence and Chapter 5, The Genus Homo and the Emergence of Us, represent a field of study that is probably the most dynamic, controversial and highly debated subfield of anthropology. Perspectives and opinions vary not only within the mindset of the general public but also amongst scientists and anthropologists alike. As the human fossil puzzle begins to fill in with new discoveries, we find ourselves gaining valuable insights into what makes us human and the ways in which we are a part of, not separate from, the natural world. Despite our advances in the field, we also have to be prepared for the possibility we may end up with more questions than answers! It is these very reasons that explain why so many of us find this such a fascinating field and why so many of us take it so personally. It is after all a journey into the discovery of who we are and where we came from; and that should be of interest to all of us as members of the Homo genus.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "What Is Biological Anthropology? Learning Outcomes: By the end of this section, you will be able to: Identify the five subfields of biological anthropology. Explain how each of the subfields contributes to our understanding of human origins and evolution. Understand the historical context of the field of biological anthropology. Looking to the Deep Past Biological anthropology , also referred to as physical anthropology or evolutionary anthropology , is one of the four major subfields of anthropology. While the other subfields focus on current and relatively recent human cultures, biological anthropology looks to the deeper past, asking questions about what it means to be human by exploring where humans came from as a species. Biological anthropology comprises numerous areas of study: human biological variation, paleoanthropology (human and primate evolution), primatology (the study of nonhuman primates), bioarchaeology (the study of bones found at archaeological sites), and genetic anthropology (the application of molecular science to archaeological, historical, and linguistic evidence to reveal the history of ancient human origins and migration). Each of these areas of study contributes something to anthropologists’ understanding of current human physical characteristics and behaviors. Exploring What It Means to Be Human Studies of human biological variation evaluate the physical similarities and differences between human populations across both time and space. Differences in morphology include features such as height, jawline, eye sockets, and ear and nose shape and size. Biochemical differences account for variations in the sense of smell, mutations in the CCR5 gene that offer resistance to HIV, and variations in skin pigmentation in response to levels of exposure to ultraviolet rays from the sun. These variations in modern human skin pigmentation are the result of evolutionary adaptations to different levels of exposure to ultraviolet rays from the sun. (credit: “School Diversity Many Hands Held Together” by Wonder woman0731/flickr, CC BY 2.0) The study of human biological variation is closely linked to the original conception of biological anthropology, which was formalized in 1930 with the establishment of the American Association of Physical Anthropologists , recently renamed the American Association of Biological Anthropologists . The change in name is an effort to move away from the term physical anthropology , which has come to be associated with views promoting scientific racism that no longer represent or align with views held by anthropologists today. In 1951, American anthropologist Sherwood Washburn introduced a “new physical anthropology,” changing the focus from racial typology and classification to the study of human evolution and the evolutionary process. This new focus expanded anthropology as a field to include paleoanthropology and primatology Paleoanthropology looks at the fossil evidence of humanity’s ancestors along with ancient material culture such as tools and other human artifacts. The physical morphology (shape and size) of skulls and other postcranial material (skeletal remains other than the skull) allow paleoanthropologists to form hypotheses about important milestones in human evolution over time. Primatology examines the behavioral and physical attributes of both living and fossil primates as well as their relationships with their environments. Humans are primates who share a common ancestry with nonhuman primates. By studying nonhuman primates, anthropologists can gain a better understanding of what it means to be a primate and what it means to be human. Genetic anthropology is used within several areas of biological anthropology. In this specialized area, DNA testing is combined with archaeological, historical, and linguistic evidence to reveal the history of ancient human migration or to track human disease. Forensic anthropology is a subfield of biological anthropology that applies scientific methods to the analysis of human remains for the purposes of identifying a victim and determining the possible cause of death. A major difference between forensic anthropology and other types of biological anthropology is that forensic anthropology is usually focused on crime scenes involving the death of an individual, whereas other types primarily focus on understanding patterns and features that may appear in a group or an entire population. Beginning in World War II, forensic anthropologists have been instrumental in helping identify victims of war and disasters. They have played critical roles in identifying victims of the Thailand tsunami in 2004 and the destruction of the World Trade Center on September 11, 2001. Today, most forensic anthropologists work in a medical examiner’s office, assisting with autopsies and examinations of skeletal remains. Bioarchaeology studies human remains in archaeological settings with a focus on what skeletal material can reveal about the culture, diet, and presence of disease in a population. Bioarchaeologists are also interested in the socioecological system of a population, which helps anthropologists better understand the roles of environmental and ecological pressures and influences in shaping cultural identity, social inequity, sustainability, and access to and use of resources. Based on the biological remains found at archaeological sites, bioarchaeologists explore questions pertaining to social and funerary behavior, diet and nutrition, health, and disease. Bioarchaeology offers a window into the connections among biology, society, and culture. An example of what a bioarchaeologist might study is skeletal evidence of infant cranial boarding , which was practiced by many cultures, including the ancient Maya, the Inca, and some Native North American groups. The process involved binding a child’s head to a flat board in order to artificially deform the skull, possibly to meet an aesthetic ideal or to signify social status. Bioarcheologists have found that variations in how the board was attached to the skull provide important information about an individual’s social identity. This elongated skull is from a member of the Nazca culture, which flourished in what is now Peru in the years 100 BCE to 800 CE. It’s long, oval shape is the result of infant cranial bonding, the practice of deliberately shaping the development of an infant’s skull by bonding it to stiff boards. (credit: “Nasca Peru Deformed Skull” by VasenkaPhotography/flickr, CC BY 2.0) Ann Rosalie David 1946- Professor Ann Rosalie David , Egyptologist and forensic and biological anthropologist at the University of Manchester, UK. (credit: Professor David, Public Domain) Personal History: Professor Ann Rosalie David was born in Cardiff, UK and earned a bachelor of arts degree in ancient history from University College London in 1967 and a doctorate from the University of Liverpool in 1971. Her thesis was on ancient Egyptian temple rituals. Area of Anthropology : The focus of Professor’s David’s work has been biological anthropology and Egyptology. Accomplishments In the Field: Professor David is a Director of the KNH Centre for Biological and Forensic Studies in Egyptology at the University of Manchester. In this role, she established the Ancient Egyptian Mummy Tissue Bank, one of the only such tissue banks in the world. She served as the keeper of Egyptology at the Manchester Museum and has often worked in collaboration with Egypt’s Ministry of Health and Population on public health projects. One such project involved the identification of antibodies against schistosomiasis, a parasite spread by freshwater snails, in Egyptian mummies. David was made an Officer of the Order of the British Empire (OBE) in 2003 for her work in Egyptology. David has appeared in or consulted on several documentaries, including the television miniseries Private Lives of the Pharaohs (2000) and Secrets of the Pharaohs (2001) and the documentary short Mummies: Secrets of the Pharaohs (2007). Importance of Her Work: Ann Rosalie David was the first woman in Britain to hold a professorship in Egyptology. She was a pioneer in biomedical research, conducting research on disease, diet, and lifestyles in ancient Egypt. In 2010, her work on ancient Egyptian mummies found evidence to suggest that cancer may be a human-created disease, attributable in part to modern pollution and changes in lifestyle and diet (David and Zimmerman 2010). In this podcast , Professor Rosalie discusses her work with ancient Egyptian mummies. bioarchaeology the study of bones and other biological materials found in archaeological remains. forensic anthropology a branch of biological anthropology in which scientific techniques are used to determine the sex, age, genetic population, or other relevant characteristics of skeletal or biological materials related to matters of civil or criminal law. genetic anthropology a branch of biological anthropology that uses molecular science to explore questions concerning human origins, early human migrations, and the appearance of disease across time. morphology the physical shape and structural form of an organism or species. paleoanthropology the study of the origins and predecessors of the present human species based fossils and other remains. primatology the branch of biological anthropology dealing with the primates. socioecological system the interrelationship between the diversity of plants and animals, humans’ environments, and the diversity of human culture and language.", "section": "What Is Biological Anthropology?", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "What’s in a Name? The Science of Taxonomy Learning Outcomes: By the end of this section, you will be able to: Describe the historical context of binomial nomenclature and scientific classification. Distinguish between the different categories of groups found in Linnaean classification. Explain the different definitions of species and how they are applied to different populations. Defining the Science of Taxonomy Taxonomy is defined as the classification and naming of things. Taxonomy organizes things into groups based on predefined criteria. The criteria can be as simple as color or height or as complex as the presence or absence of a trait, gene, or behavior. Taxonomy is a critical component of biological anthropology because it helps anthropologists organize humans and their evolutionary ancestors both spatially (by location) and temporally (through time). Taxon refers to a specific subgroup, such as the genus. Taxa is the plural form of taxon, used to refer to all groups. The classification system used for organizing living organisms was originally developed in the 18th century by Swedish botanist Carolus Linnaeus . His system, which he called the Systema Naturae , uses a structure known as binomial nomenclature . Binomial nomenclature assigns two Latin names to each organism. The first is termed the genus name . The second is the specific or the trivial name , commonly called the species name . In print, genus and species names are italicized. The first letter of the genus is capitalized, while the species or trivial name is lowercase. For example, the scientific name for the house cat is Felis catus , and the name for modern human beings is Homo sapiens . Linnaeus’s binomial nomenclature established a shared scientific language that would become universal across countries and cultures, avoiding the confusion caused by regional and colloquial names. In addition to establishing a shared language, Linnaeus’s naming system groups organisms that share common traits. For example, he grouped together animals with mammary glands into the category mammals. Mammals were further broken down according to other traits. For example, mammals that have opposable thumbs were grouped together as primates, and those without opposable thumbs were grouped as non-primates. This is a hierarchical classification scheme, meaning that organisms are grouped into successive levels from the broadest category of domain to the more specific level of species. When Linnaeus first created his Systema Naturae , he built five hierarchical levels into his taxonomy: kingdom , class , order , genus , and species . Humans are in the kingdom Animalia, the class Mammalia, the order Primates, the genus Homo , and the species sapiens . Over time, many levels have been added to the Linnaean system of classification, including domain, phylum, subclass, superorder, family, and tribe. The addition of these taxon groups has enabled biological anthropologists to better understand the variations present in various groups of organisms. However, biological anthropologists spend the majority of their time trying to understand the species level. This chart details the Linnaean hierarchical classification for the monarch butterfly. The broadest category, “Life”, appears at the top of the chart, with classifications of increasing specificity at each level that follows. “Species” is the most granular level. (attribution: Copyright Rice University/OpenStax, under CC By 4.0 license) Defining a Species While species is a word that most people are familiar with and comfortable using, just what determines a species is incredibly difficult to define. At the most basic level, a species comprises a group of organisms with shared characteristics that distinguish them from other groups. Most scientists distinguish a species based on behavior, genetics, and/or morphology. Species definitions are the basis for scientific names. The common name of a species, on the other hand, is usually based on general physical characteristics noted by a culture or local population. Common names are also referred to as folk taxonomy or ethnotaxonomy (classifications influenced by culture, etc.). There is a growing interest among anthropologists and the scientific community in preserving Indigenous classifications of the natural world and connecting them with scientific classifications. Decisions related to classification often involve tremendous taxonomical controversy, especially within the field of biological anthropology. There are more than 20 distinct species definitions , or ways of categorizing or distinguishing one type of organism from another. Below are the four most common definitions of a species. Biological Species The biological species definition states that a species is a group of interbreeding organisms that are reproductively isolated from other groups of organisms. Reproductive isolation means that members of a species are not able to mate successfully with members outside their species. Gorillas, for example, cannot successfully breed with Pan paniscus , the bonobo. The biological species definition uses the ability to interbreed as its foundation because successful mating leads to gene flow, or the movement of genetic material from one population to another. Ecological Species The ecological species definition emphasizes the role of natural selection in maintaining species boundaries. This concept is based on the idea that gene flow is neither necessary nor sufficient to maintain species boundaries. Instead, natural selection plays an important role in maintaining the boundaries between species. In nature, species boundaries are often maintained even though there is a substantial amount of gene flow between species. Gene flow between species generally occurs at places called hybrid zones , areas of overlap where two species are known to successfully breed. A classic example of a hybrid zone occurs on the island of Sulawesi in Southeast Asia, where Macaca maura (the moor macaque) and Macaca tonkeana (the Tonkean macaque) are known to have successfully interbred for more than 150 years. Despite this, the integrity of the two distinct species has been maintained. Phylogenetic Species The biological species definition is based on breeding behavior, specifically whether species are capable of mating with one another. This foundation is problematic when trying to identify species over time. It is hard to know whether two fossil specimens were capable of interbreeding. It is also difficult in the fossil record to distinguish between interspecific variation (differences between members of two different species) and intraspecific variation (variation within a species). Imagine finding the bones of two individuals, one five feet tall and the other six feet four inches. Identifying whether these individuals were members of two different species (interspecific variation) or representative of the normal variation within a given species would be extremely challenging. These problems are addressed by the phylogenetic species definition . The phylogenetic species definition states that a species can be determined by shared possession of one unique characteristic. For example, imagine you found a group of fossil leg bones. In order to decide if they were from the same species, you would need to determine if they had a trait in common that only these fossil leg bones possessed. If the bones all possessed trait A and this trait was not found in any other species already identified, then you would have a new species, and all of the fossil leg bones could be placed in that species. Mate Recognition Species The mate recognition species definition states that a species is a set of organisms that recognize one another as potential mates. A classic example of a group of species that can be distinguished using this definition is American crickets. Within a single habitat in the United States, there might be over 30 different species of crickets. Each species of cricket is known to produce a distinct song. Despite all these different species living side by side, the female cricket of each species will only mate with a male after hearing the male sing her species-specific song. The song, and the female recognition of it, constitutes a mate recognition system. This is analogous to the biological species definition in that the song acts as a reproductive isolating mechanism. binomial nomenclature the scientific naming system developed by Carolus Linnaeus that represents two parts of a taxonomic name. The name is italicized, the genus is always capitalized, and the species is always lowercased. For example: Homo sapiens . biological species definition a definition of species as members of populations that actually or potentially interbreed in nature. ecological species definition a definition of species that explains differences in form and behavior as the result of adaptations to the environment and natural selection. ethnotaxonomy the study of organism classifications and taxonomies developed and used largely by Indigenous peoples and other cultural groups. hybrid zones areas where two distinct species mate and produce offspring intraspecific variation the genetic variation seen within a species. interspecific variation the genetic variation seen between two species. phylogenetic species definition a definition of species based on individuals all possessing specific derived traits. reproductive isolation conditions that prevent potentially interbreeding populations from breeding. species a class of individuals that have some common characteristics or qualities. taxa the plural form of taxon, used to signify all taxonomic groups. taxon a specific group or subgroup of organisms. taxonomy the science or technique of naming and classifying life.", "section": "What’s in a Name? The Science of Taxonomy", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "It’s All in the Genes! The Foundation of Evolution Learning Outcomes: By the end of this section, you will be able to: Define alleles, genes, phenotypes, and genotypes. Distinguish the process of mitosis from the process of meiosis. Explain how Mendel’s laws of heredity affect human variation. Explain how the multitude of evolutionary forces contribute to variation in the human condition. The Units of Life Cells are the basic units of life in all organisms. They are the smallest entities that are capable of self-reproduction. There are two main types of cells: prokaryotic and eukaryotic cells , named for the types of organisms in which they occur. Prokaryotes are single-celled organisms, such as bacteria and archaea. Eukaryotes are more complex, multicellular organisms, such as plants and animals (including humans). One of the most important components of eukaryotic cells is the enclosed nucleus at the center of the cell; prokaryotic cells do not have this nucleus. The nucleus of a eukaryotic cell houses all of the genetic material, or DNA (deoxyribonucleic acid), that controls cellular function. Normally, the DNA forms a long string within the nucleus. There are two main types of eukaryotic cells: somatic cells and sex cells (also known as gametes). The somatic cells make up the structural components of a body, such as the tissues, muscles, and organs. The sex cells are specifically involved in reproduction. The function of the sex cells is to unite with a sex cell from another individual to form a fertilized egg, also known as a zygote. In animals, there are two types of sex cells: ova, or eggs, and sperm. Cell division is the process that results in the production of new cells. However, sex and somatic cells divide differently. The cellular division of somatic cells is known as mitosis , while the cellular division of sex cells is known as meiosis . Mitosis of somatic cells is sometimes referred to as simple cell division because the parent cell divides once to produce two daughter cells that are genetically identical to each other and identical to the original parent cell. During mitosis, the DNA genetic material forms structures known as chromosomes. Each daughter cell inherits an exact copy of all 46 chromosomes found within the parent cell. In somatic cell division, also known as mitosis, the parent cell divides to produce two daughter cells that are genetically identical to each other and to the parent cell. (credit: “Major events in mitosis”by Mysid/Wikimedia Commons, Public Domain) Meiosis, or sex cell division, is more complicated. This type of cellular division only occurs in the testes of males and the ovaries of females. Instead of just one division, meiosis results from two cellular divisions that produce four daughter cells. In meiosis, the four daughter cells each receive half of the original genetic material from the parental cell. Thus, each daughter cell only has 23 chromosomes. It is on the chromosomes that genes are housed. Genes are the fundamental unit of heredity. They are best understood as the sequence or ordering of the DNA material that is housed in the nucleus. The genotype is the genetic material found within an organism's cells and it is the expression of these genes that will produce the phenotype or observable trait. Sometimes, the sequencing of the DNA material produces a variation of a gene, known as an allele . An allele is defined as a similar but slightly different form of the same gene that can activate the expression of a specific trait. Gregor Mendel and the Laws of Heredity The true nature of inheritance was not really understood until the beginning of the 20th century, when the 19th-century work of Gregor Mendel , a Catholic priest from Slovakia, was rediscovered. While in college, Gregor Mendel was introduced to cell theory , which states that all organisms are composed of cells and that cells are the fundamental unit of all living things. Cell theory raised many questions in Mendel’s mind, including whether both parents contribute equally to the cells in their offspring. In 1854, Mendel began a series of experiments with pea plants to help resolve this question and better understand how traits are inherited from generation to generation. Gregor Mendel was a Catholic priest whose experiments with selective breeding of pea plants established many of the rules of heredity. (credit: “Gregor Mendel Monk” by William Bateson, Mendel’s Principles of Heredity: A Defence /Wikimedia Commons, Public Domain) The first stage of Mendel’s experiments was identifying plants that breed true, meaning that each parent only produces one kind of offspring when self-crossed. A self-cross is essentially a self-mating; some plants, such as peas, have both male and female parts and can self-fertilize. Not all self-crosses are the same as the parent plant, however. For example, self-crossed pea plants that have yellow pods sometimes produce offspring with yellow pods and sometimes produce offspring with green pods. Mendel continued to selectively breed only those pea plants that produced offspring that were the same as the parents. He called them purebreds and referred to them as the P1 generation. It took him more than two years to establish plants that always bred true. Then Mendel selected seven traits of his pea plants that each had two distinct phenotypes, or observable expressions of the trait. For example, seed shape can be either round or wrinkled, while pod color can be either yellow or green. Over the next eight years, Mendel studied the mating and resulting traits of more than 28,000 plants. Mendel’s first round of experiments used his purebred pea plants to create what is known as a monohybrid cross . A monohybrid cross is a mating between two purebred individuals who differ in a single characteristic. In Mendel’s monohybrid crosses, the parent pea plants differed from one another in terms of whether the pods of the parental pea plants were yellow or green or whether the seeds of the parental pea plant were wrinkled or round. Mendel identified a number of distinct characteristics observable in the seeds, flowers, pods, and stems of pea plants. He used these observable traits as the basis for his breeding experiments, taking note of which traits were dominant and which unexpressed (or recessive) in offspring. (credit: “Mendel Genetics” by LadyofHats/Wikimedia Commons, Public Domain) In his first monohybrid crosses, Mendel mated a purebred yellow pea plant with a purebred green pea plant. He found that all the offspring resulting from this monohybrid cross were yellow, even though when the green peas self-crossed, all their offspring were green. In other words, all the hybrid offspring were yellow in color. A hybrid plant is one in whose parents differ in a term of a specific characteristic, such as pod color or seed shape. The trait that was expressed (yellow) Mendel referred to as dominant , and the trait that disappeared (green) he referred to as recessive . Mendel’s next set of experiments involved mating two hybrid plants—in other words, those that resulted from the monohybrid cross. In these experiments, he found that the recessive traits reappeared in a ratio of three dominant to one recessive. These diagrams are examples of Punnett squares, a simple method for predicting the observable results of breeding experiments. In the top square, a purebred green plant (yy) is crossed with a hybrid yellow plant (Yy). The four possibilities for offspring appear in the four interior squares of the diagram. In this case, half of the offspring will be hybrid yellow and half will be purebred green. The bottom diagram shows the results of a cross between a purebred green and a purebred yellow plant – in this case, all offspring are hybrid yellow. (credit: Copyright Rice University/OpenStax, under CC BY 4.0 license) Mendel’s experiments suggested two very important facts. First, Mendel noted that various expressions of a trait (such as pea color) were controlled by discrete units that occur in pairs and that offspring inherited one unit of each pair from each parent. This observation became Mendel’s first law of inheritance , the law of segregation , which states that the two alleles for each trait segregate, or separate, during the formation of gametes (eggs and sperm) and that during the reproductive process, the alleles combine at random with other alleles. Today, we know that the process of meiosis—division of sex cells—explains Mendel’s law of segregation. Each of the seven traits identified by Mendel is controlled by a pair of genes in the plant, one on each chromosome. During the reproductive cycle, the chromosomes separate from one another so that each gamete has only one allele for each trait. During fertilization, the alleles combine, and the two-gene state is restored. After Mendel established his first law of inheritance, he extended his studies to more complex situations. He began performing experiments with two set of traits, using dihybrid crosses . A dihybrid cross is a cross between individuals who differ with respect to two gene pairs—for example, a cross between a plant with a round yellow pea and a plant with a wrinkled green pea. Because yellow and round are both dominant traits and wrinkled and green are both recessive, all the offspring resulting from the first-generation mating were 100% yellow and round. The green color and the wrinkled pea shape had disappeared. However, these recessive traits reappeared in a ratio of three dominant to one recessive when two round yellow individuals from the first-generation dihybrid cross were mated. The green color and the wrinkled pea shape had not truly disappeared. In the second generation of the dihybrid cross, Mendel found that 9/16 of the offspring were round and yellow, 3/16 were wrinkled and yellow, 3/16 were round and green, and 1/16 were wrinkled and green. The results of these dihybrid crosses indicate that the two characteristics—pea color and pea shape—segregate independently. The expression of one trait is not influenced by the expression of the other trait. This is known as the law of independent assortment , which is Mendel’s second law of inheritance . There is nothing to dictate that round peas will be yellow or that wrinkled peas will be green. The alleles that code for different traits sort independently of one another during sex cell division (meiosis). Mendelian Inheritance in Humans Mendel’s laws of inheritance also apply to humans. Indeed, the principles of segregation and independent assortment account for the transmission of certain human traits. Human blood type is one of the most familiar Mendelian traits . Blood type has three phenotypes—A, B, and O—based on three alleles of a single gene. If only the A allele or both the A and O alleles are present, the phenotype is A. If only the B allele or both the B and O alleles are present, the phenotype is B. If both A and B are present, the phenotype is AB. If neither A nor B is present, the phenotype is O. Note that O is recessive to both A and B, while A and B are codominant. Codominance means that instead of one allele masking the other, the products of both alleles are observed. Additional examples of Mendelian traits, or those controlled by a single gene, include Huntington’s disease, widow’s peak, cystic fibrosis, sickle cell anemia, Tay-Sachs disease, hemophilia, and red-green color blindness. OMIM, or Online Mendelian Inheritance in Man , hosts an online database of almost 5,000 Mendelian human traits. It is important to note that the majority of human traits are not controlled by a single pair of genes. More often, a single gene can have multiple effects. Even more commonly, multiple genes are needed to produce a single effect. These are referred to as polygenic traits . Most human traits are polygenic, not Mendelian. A good way of determining if a trait is polygenic is to assess whether the trait can be measured. Traits that can be measured, such as height or weight, are polygenic. Also, traits that have a wide range or lots of variability and can be affected by environmental factors are probably polygenic. The survival of a species depends on genetic diversity and variation. If there is a reduction of a gene pool due to geographic isolation or other environmental factors than a species is at risk of extinction. allele an alternative form of a gene that arises by mutation and is found in the same place on a chromosome, directly impacting the expression of a genetic trait or phenotype. genotype a complete set of genetic material found in an organism. law of independent assortment a law of inheritance stating that different genes and their alleles are inherited independently. law of segregation a law of inheritance stating that when two alleles for a trait separate during the formation of new zygotes, these alleles will combine at random with other alleles. phenotype the set of observable characteristics or traits of an organism, such as color and structural morphology. polygenic traits traits that are controlled by multiple genes instead of just one.", "section": "It’s All in the Genes! The Foundation of Evolution", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Evolution in Action: Past and Present Learning Outcomes: By the end of this section, you will be able to: Identify the major contributors to evolutionary theory and their specific theoretical contributions and historical context. Explain the theory of evolution and how it applies to the understanding of human origins. Identify the key differences between Linnaean classification and phylogenetics. Define key evolutionary processes such as genetic drift, allopatric speciation, etc. Contemporary biological anthropologists utilize an evolutionary perspective . This means that the principles of evolution are used to understand how and why living organisms, including people, thrive in almost every environment on Earth. More specifically, natural selection is accepted as the guiding force that shapes why living things are the way they are. Out of all the possible variations of beings competing for the same resources on Earth, those that prospered were the ones better suited to their environments than all other competitors. The principles of evolution and natural selection will be discussed in some detail in the next few sections, but it is important to establish at this early point that this chapter relies on the foundational assumption that natural forces are the only forces directing the development of life on Earth. Early Evolutionists and the Fixity of Species Evolution is defined as change in the allele frequency within a gene pool that can lead to changes in an organism’s morphology (form and structure) over time. Evolution involves the processes of mutation , natural selection , and speciation , which will be introduced in upcoming sections. Prior to the 19th century, the prevailing idea in Western thought was that nature was fixed and static; it was made by a supreme being in the form it currently appeared, and it did not change. Within this fixed natural system, living creatures were arranged within a set order that was considered to have been decreed by God, known as the great chain of being . This order featured God at the top, angels beneath God, and then humans. Below humans were various types of animals, followed by plants and minerals. This hierarchy was significant both because it placed some creatures above others and because it distinctly separated humans from the rest of the animal world. During a period stretching from the 14th through the 18th centuries, some people began to question whether the natural world was as static as it was traditionally perceived to be. The British scientist and architect Robert Hooke is remembered as the first person in the Western world to claim not only that nature has changed over time but also that evidence of these changes remain. He hypothesized that fossils are the remains of actual plants and animals that were once alive. This conclusion was contrary to the previously accepted conclusion that fossils were nothing more than stone images. Hooke also noted that many marine fossils were located far away from any existing ocean, and he came to the then radical conclusion that Earth’s geography and physical features had experienced dramatic changes. The first person to propose a mechanism by which species could change was French naturalist Jean-Baptiste Lamarck , best known for having developed the first theory of macroevolution , a hypothesis about how the actual transformation from one species into another species could occur. Lamarck’s theory relied on the now defunct idea of the inheritance of acquired characteristics . Lamarck argued that the usefulness of a trait or organ could be ascertained based on its complexity or size. In particular, he believed that the usefulness of an organ could be judged by its size and the usefulness of a trait by its complexity. He speculated that organs and traits that help a creature to survive will become bigger and more complex over time, while those that are of little use will become smaller and simpler and eventually disappear. His classic example of this theory in action is the long neck of a giraffe. Lamarck speculated that as giraffes stretched their necks to reach the leaves at the tops of trees, their necks would grow longer, and furthermore, these longer necks would be inherited by the subsequent generations. This theory of the inheritance of acquired characteristics is also known as Lamarckian inheritance . One of the interesting things about Lamarck’s theory is that he believed that wishes, desires, wills, and needs were all sufficient to motivate change. That is, wishing for or desiring a change in one’s physical characteristics could make that change happen. There are two primary problems with Lamarckian inheritance. First, desires, wishes, and needs do not change physical characteristics without a deliberate change in behavior. Someone may wish for blue hair, but their hair color will not change without dye. The second problem is that the inheritance of acquired traits is not possible. If someone dyed their hair blue, their children would not inherit blue hair. Traits that are acquired during a lifespan are not passed on to subsequent generations. Just because Lamarck’s theory of macroevolution is not correct does not mean that it is insignificant. Lamarck recognized the importance of interactions between organisms and their environments in the evolutionary process and was the first to propose a mechanism by which evolutionary change from one species into another could actually occur. Georges Cuvier , another Frenchman and a leading scientist in the early 19th century, made numerous contributions to evolutionary thinking. He is best known for his theory of catastrophism , which he developed to explain the increasing number of fossils that were being found, some displaying impressions of creatures no longer found anywhere on Earth. Catastrophism proposes that floods, earthquakes, and other natural disasters—understood within the theory as acts of God—have been responsible for killing all the animals alive in certain places at certain times. According to Cuvier, either new animals have been created or the areas had been repopulated by animals from neighboring areas. To be consistent with emerging fossil evidence indicating that organisms had become more complex over time, Cuvier proposed that new organisms with a more modern appearance were the result of a more recent creation event. While scientists no longer adhere to catastrophism as a viable theory, Cuvier’s idea of extinction continues to be an important component of evolutionary thinking today. Another major contributor to evolutionary thinking was Scottish geologist Charles Lyell , known as the father of modern geology. He wrote a three-volume treatise, Principles of Geology (1830–1833), in which he argued that contemporary geological processes were the same as those that occurred in the past. These processes, such as wind and rain, produced the contemporary geological landscape. Mountains, lakes, and rivers were all created by these geological processes, many of them slow moving. This theory has come to be known as the principle of uniformitarianism . Lyell suggested that in order for such slow-acting forces to produce momentous change, Earth must be much older than previously suspected. Prior to Lyell’s publication, the majority of natural historians believed that the earth was less than 6,000 years old, a number arrived at through calculations made based on the Old Testament. By altering the suspected age of the earth from several thousand years to millions of years, Lyell changed the framework within which scientists viewed the geological past. Charles Darwin’s Role in Changing Views of the Natural World Charles Darwin introduced a new way of seeing the world that was both highly criticized and acclaimed in the scientific community of his time. In spite of resistance by various segments of society, his theories of natural selection became the foundation of biological science. New knowledge pertaining to genetics and molecular science has strengthened Darwin’s theories rather than weakened them. Darwin the Apprentice When he was 17 years old, well before he gained a reputation as a naturalist, scholar, and scientist, Darwin was studying to be a medical doctor at the University of Edinburgh. Like many young people, he began to question his original choice of studies, and he decided to instead learn taxidermy under John Edmonstone . John Edmonstone was born enslaved and grew up on a plantation owned by a Scottish politician in what is now Guyana in South America. Charles Waterton, the son-in-law of the plantation owner and a renowned naturalist, would visit the plantation often. He started inviting Edmonstone to accompany him on his frequent travels into the rainforest. On his travels, Edmonstone gained considerable knowledge about the flora and fauna of South America along with impressive taxidermy skills. After gaining his freedom in 1817, John Edmonstone taught taxidermy at the University of Edinburgh, where he served as a mentor to Darwin over a period of several months. It is believed that Darwin’s relationship with Edmonstone may have influenced his abolitionist views, which were later strengthened by firsthand accounts of slavery while Darwin was on his infamous voyage to the Galápagos Islands off the coast of Ecuador. At the University of Edenborough, John Edmonstone taught Darwin how to preserve birds. This is an example of Embernagra platensis , the great Pampa-finch, collected by Charles Darwin in Uruguay in May of 1833. (credit: “ Embernagra platensis platensis , Great Pampa-finch, skin. Syntype. [B 19600]” by Michelle McFarlane/Museums Victoria, CC BY 4.0) Darwin the Explorer and Scholar Charles Darwin left the University of Edinburgh and decided to pursue theology at Christ’s College, Cambridge. His studies there led to his appointment in 1831 as a naturalist on the HMS Beagle for a five-year scientific expedition around the world. During this voyage, Darwin collected, dissected, and organized various specimens, especially in the Galápagos Islands , a chain of islands off the western coast of South America. His observations in the Galápagos marked a crucial point in his thinking on evolution. He noted that the fauna and flora of the western coast of South America were similar to those he observed in the Galápagos, but still distinct enough to be considered different species. More surprisingly, the animals of each of the various islands in the Galápagos chain differed slightly from one another. Darwin observed 13 different types of finches throughout 13 different small islands. The birds on each island differed in the structure of their beaks, their body form, and the color of their feathers. Each species was specifically adapted to the specific habitats on each of the islands. Darwin used the techniques that Edmonstone taught him to preserve the Galápagos finches, which became key pieces of evidence supporting Darwin’s theory of natural selection. Charles Darwin is acknowledged as the father of the theory of natural selection. His work built upon the ideas of many other thinkers. His great contribution was in synthesizing these ideas into a coherent theory explaining the diversity of life on earth and the great changes in life over geological time. (credit: A. C. Seward, Cambridge Philosophical Society, Cambridge University Press/Wikimedia Commons, Public Domain) During his travels on the Beagle , Darwin had been thinking about artificial selection —the selective breeding of animals to produce traits that humans find useful, commonly associated with the process of domestication. Darwin understood that artificial selection provided important clues about the natural evolution of species. While on board the HMS Beagle , Darwin read a book by English economist Thomas Robert Malthus titled An Essay on the Principle of Population (1798). Darwin obtained two important points from this book. The first was that human populations, if unrestrained, will grow exponentially. This means that they will double each generation. The second point was that food resources increase much more slowly than population does. Malthus noted that the growth of human populations is kept in check by a limit of food resources, which creates a struggle for existence. The struggle for existence is not just about getting enough food but also about survival. In other words, it is about an individual’s ability to both find enough food and not become another organism’s food. This simple concept, the struggle for existence, provided Darwin with a mechanism for how evolution could occur. Darwin realized that individuals with favorable characteristics for living in an environment are the ones that will survive to the age at which they reproduce, while those with less favorable variations will not. This mechanism for “selecting for” certain traits and features is known as the theory of natural selection . Darwin concluded from his observations that when a group of animals of the same species are geologically separated, they develop into separate species. This evolutionary process is commonly referred to as allopatric speciation (or geographic speciation) and is based on the principles that related species share a common ancestor and that species change over time. Darwin did not originate the idea of evolution. Many of the ideas used by Darwin in his theory of natural selection were developed by other thinkers. Darwin was also not the only person thinking about natural selection. Another British natural historian, Alfred Russel Wallace , developed the same idea at roughly the same time, entirely independently of Darwin. Whereas Darwin developed his ideas based on his travels to the Galápagos, Wallace’s thinking was influenced by his own travels through the Malay Archipelago between Indochina and Australia. Wallace outlined his theory of evolution by natural selection in a letter written to Darwin while he was in Malaysia. As Darwin had not yet published his own work, Wallace and Darwin jointly presented papers introducing the theory of natural selection. In 1859, Darwin finally published his book On the Origin of Species , some 20 years after his voyage on the HMS Beagle . Understanding Darwin’s Theory of Natural Selection The theory of natural selection has five main components: All organisms are capable of producing offspring faster than the food supply increases. All organisms show variation. There is a fierce struggle for existence, and those with the most suitable variations are most likely to survive and reproduce. Variations, or traits, are passed on to offspring (inherited). Small changes in every generation lead to major changes over long periods of time. A popular but often-misunderstood concept related to natural selection is the term survival of the fittest . Survival of the fittest does not necessarily mean that the biggest and fastest survive; instead, it refers to those who are most evolutionarily fit. This means that an organism has traits that are sufficient for survival and will be passed on to future generations. The term survival of the fittest was not even introduced by Darwin; rather, it was first used by English philosopher, anthropologist, and sociologist Herbert Spencer , who promoted the now discredited ideology of social Darwinism . Social Darwinism applied the concept of Darwin’s biological evolution to human societies, proposing that human culture was progressing toward the “perfect human.” Spencer’s writings became integrally related to the 19th-century rise of scientific racism and European colonialism. This peppered moth is well camouflaged on the trunk of this tree. A darker colored moth would more easily be seen and eaten and would thus be less likely to pass on its genes to offspring. Natural selection relies upon the ability of natural variations to increase an individual’s chances of reproduction. (credit: Ben Sale/Wikimedia Commons, CC BY 2.0) Examples of Darwin’s theory of natural selection can be found throughout the natural world. Perhaps one of the best known is the color change observed in peppered moths in England during the 19th century. Before the Industrial Revolution, peppered moths in England were a light grey color, well camouflaged on tree branches and less likely to be eaten by birds. Occasionally, through the process of mutation, black moths would appear in the population, but these were usually quickly eaten because they were more visible against light-colored bark. When soot from coal factories began to cover the bark of the trees, the black moths became better camouflaged and the white moths were now more visible. Consequently, the black moths were the ones to survive to reproduce, while the white ones were eaten. In a few decades, all the peppered moths in the cities were black. The process was termed industrial melanism . As coal usage decreased and the bark of the trees once again became lighter in color, white moths again dominated the urban areas. Examples of natural selection in modern times are numerous. Pesticide resistance in insects is a classic example. Pesticide resistance refers to the decreasing susceptibility of a pest population to a pesticide that previously was effective at controlling it. Pest species evolve pesticide resistance via natural selection, with the most resistant individuals surviving to pass on their ability to resist the pesticide to their offspring. Another good example is the rise of “superbugs,” bacteria that have become increasingly resistant to antibiotics. The Processes of Evolution Mutation is the creative force of evolution and represents the first stage of the evolutionary process. Mutation is defined as an alteration in a genetic sequence that results in a variant form. For a mutation to have evolutionary significance, it must occur in the sex cells (sperm and ova). This is because only genetic information that is in the sex cells is passed on from generation to generation. Mutations in non-sex chromosomes will not be passed on from one generation to the next. Whereas other evolutionary forces can modify existing genetic material, only mutation can produce new genetic material. One of the most interesting things about mutations is the fact that they are random. There is no way of predicting when a specific mutation will occur; all scientists can do is estimate the probability of a mutation occurring. Mutations do not necessarily appear when they are needed. The conventional view is that mutations are harmful, but this is not always true. Some mutations are harmful, some are advantageous, and some are neutral. Advantageous mutations lead to changes that improve an individual’s survival and/or chances of reproduction. The mutation that confers resistance to insecticide in mosquitos led to changes that improved their survival. Likewise, the mutation for black coloration in peppered moths led to increased survival during the Industrial Revolution. Neutral mutations have no effect on survival or reproduction. And some mutations are in fact quite harmful and do negatively affect certain individuals’ survival and reproduction. Mutations generally occur spontaneously in response to conditions in the body or in the environment. The exact cause of a mutation cannot usually be determined, and the rate of mutation is very difficult to determine. This is because mutations that are neutral or do not lead to obvious changes often go unnoticed. The probability of a mutation at any given gene is between 1 in 10,000 and 1 in 100,000. While the probability that a specific point in an individual’s genetic material will have a mutation is clearly very low, the probability that the totality of an individual’s genetic material will have at least one mutation is much higher. The point is that while rare, mutation is also common. For example, although many mosquitoes have adapted to insecticides through a mutation that confers some resistance to the chemicals, if the mutation had not already been present in the population, the mosquitoes would have died out. The need for a specific mutation had no effect on whether the mutation appeared or not. There is currently a controversial pilot program in Florida aimed at dealing with mosquitoes against which insecticide sprays have increasingly become ineffective. The first genetically modified mosquitoes were released in the Florida Keys in May of 2021. The genetically altered mosquitoes produce female offspring that die in the larval stage, preventing them from growing to adulthood, in which they can then bite and spread disease. Genetic science currently has the power to use mutations to control or even wipe out an entire species. Genetic engineering has the potential to benefit humanity, but it will undoubtedly also raise ethical questions and controversy. Genetically modified mosquitoes are currently being bred that will die in the larval stage, thus greatly reducing the mosquito population. (attribution: Rice University, OpenStax, under CC BY 4.0 license) Genetic Drift Genetic drift is defined as the effect of random chance on a population, notably the way in which it determines whether an individual survives and reproduces or dies. Imagine that you stick your hand into a bucket filled with Halloween candy. What is the probability you will withdraw a Snickers bar? The composition of Halloween candy in your bucket will be affected by the proportion of people handing out Snickers bars compared to other candy. If each bucket of Halloween candy were a population, then one could say that genetic drift—random chance—was affecting the composition of the candy in your Halloween bucket. An important point about genetic drift is that it is directly and inversely related to population size. The smaller the population, the larger the influence of genetic drift; the larger the population, the smaller the influence of genetic drift. In a large population, say 100,000, removing a couple of individuals will have a truly miniscule effect on the population. Note that in early human evolution, however, population sizes were small, so the effect of genetic drift may have been substantial. Gene Flow Gene flow is another important evolutionary force, involving the exchange of genetic material between populations and geographic regions. Without gene flow, there would be no diversity—and without diversity, a species is at higher risk of extinction. Gene flow can be seen in the process of pollination, in which bees or butterflies carry and transfer pollen from one area to another. Anytime a gene is introduced to a new population where it did not exist before, that is gene flow. The process of pollination is a good example of gene flow. In this case, bees and butterflies transfer genetic material, in the form of pollen, from one flower to another. (credit: “Honey Bee on a Dandelion, Sandy, Bedfordshire” by Orangeaurochs/flickr, CC BY 2.0) Speciation Speciation is the rise of a new species in response to an environmental change or pressure. Allopatric speciation, mentioned previously, is the most common form of speciation event. During allopatric speciation, a species diverges when two populations become isolated from one another and continue to evolve. This isolation is created by geographic barriers such as mountains, rivers, or oceans. A good example of allopatric speciation is the different species of squirrel found on the two sides of the Grand Canyon. Descended from a common ancestor, the squirrels became reproductively isolated from one another by the Grand Canyon, eventually resulting in different species. An example of allopatric speciation is the different species of squirrels that inhabit the Grand Canyon. The squirrel on the left is a Harris antelope squirrel and the one on the right is a white-tailed antelope squirrel. They look similar but are different species. (credit: left, “Harris Antelope Squirrel” by Saguaro National Park/flickr, CC BY 2.0; right, “White-Tailed Antelope Squirrel” by Renee Grayson/flickr, CC BY 2.0) Sympatric speciation involves species that are descended from a common ancestor and remain in one location without a geographic barrier. A good example is the East African cichlid fish, which experience reproduction isolation due not to a physical barrier but to females’ selection of mates with certain coloration. The amount of light that reaches different levels and depths of the lake impacts how colors in the males appear to the females. The East African cichlid fish are also a good example of adaptive radiation . Adaptive radiation is seen when one or more species give rise to many new species in a relatively short time. Research shows that an explosion of about 250 very diverse species of cichlids in Lake Tanganyika occurred in less than 10 million years (Takahashi and Koblmüller 2011). Other research suggests that the common ancestor was the result of a hybrid swarm from two different locations, as seen in . (Meier et al. 2017). There are more than 250 different species of East African cichlid fish, all traceable to two common ancestors. The process through which a great number of species arises from a common ancestor within a relatively short period of time is known as adaptive radiation. (credit: “1471-2148-5-17-3” by Phylogeny Figures/flickr, CC BY 2.0) In peripatric speciation , members of the same population are separated and over time evolve as separate species. Ring speciation is considered by some to be a type of peripatric speciation. Ring speciation occurs when several species coexist for a time in a region near one end of a geographic barrier. When part of the population migrates away from the original population (or gene pool) to the other side of the barrier, reproductive isolation results. Reproductive isolation is strongest for that part of the population that is farthest away from the original population. When too much variation has occurred between two groups, they will no longer interbreed, and as a result, speciation—the development of two separate species—can occur. While fairly rare, ring speciation is believed to explain the different species of the California salamander genus Ensatina . This map shows the range of different species of the California salamander genus Ensatina , believed to have developed through the process of ring speciation. In ring speciation, reproductive isolation leads to the development of new species from a common ancestor, due to separation caused by distance and/or a physical barrier. (credit: Thomas J. Devitt, Stuart J. E. Baird, and Craig Moritz/Wikimedia Commons, CC BY 2.0) Gradualism vs. Punctuated Evolution Biological anthropologists are interested not only in how a species is best defined but also in how often and by what means new species are developed. The traditional view of evolution assumes that morphological, behavioral, and genetic changes occur gradually and accumulate in a single unbroken and unbranching line; this view of evolution is known as gradualism . If this perspective is correct, scientists would expect to find numerous fossils exhibiting evidence that they are slowly and gradually transitioning into new and distinct species. However, while fossils are rare, fossils showing evidence of transitional forms are even rarer. While the dearth of transitional fossils is often attributed to the incompleteness of the fossil record, it has caused some biological anthropologists to question if evolution is truly gradual. What can be observed in the fossil record are static populations that are interrupted by sudden bursts of change. This phenomenon of long periods of stasis, or no change, followed by quick periods of change is known as punctuated equilibrium . Instead of a gradual accumulation of small changes, punctuated equilibrium suggests that rapid changes due to a variety of environmental factors, including climate change, are characteristic of the formation of new species. The fossil data for a large number of organisms show just this—long periods of stasis followed by rapid and massive change. The scarcity of intermediary forms in the fossil record has led some to conclude that punctuated equilibrium is the dominant theory. However, the fact that intermediary forms do exist suggests that gradualism is also an important factor in the evolution process. One research study found that 30 to 35 percent of speciation events occurred as the result of a sudden event or change, while the remainder showed evidence of gradualism (Phillips 2006). In both the gradual and punctuated models, speciation takes the form of branches through time rather than a linear progression. Evolution is neither linear nor progressive, but rather a branching process—a tree of life containing both areas of divergence and points of a shared common ancestry. The Tree of Life: Showing Evolutionary Relationships This sketch made by Charles Darwin illustrates his attempts to think through the branches of evolutionary relationships. (credit: Charles Darwin/Wikimedia Commons, Public Domain) During Darwin’s time, evolutionary relationships had to be determined largely by structural morphologies and physical characteristics. Molecular science had not yet been developed. The binomial nomenclature discussed earlier not only allowed distinction between species but also provided clues to evolutionary relationships. For example, which of the below species of butterfly would be the most distantly related? Danaus gilippus Danaus genutia Limenitis archippus Danaus plexippus Danaus petilia The answer, of course, would be Limenitis archippus , the viceroy butterfly, which is a mimic of the monarch butterfly ( Danaus plexippus ). The first part of the viceroy’s name, Limenitis , is the genus. The fact that it is different from the others shows that it is more distantly related. Species can sometimes be difficult to identify by physical characteristics alone. The two butterflies in this image are examples of two different species, one a monarch and the other a viceroy butterfly. What differences can you see? (credit: left, “ Today’s Mass Extinction and Holocene-Anthropocene Thermal Maximum” by khteWisconsin/flickr, Public Domain; right, “A Viceroy Butterfly” by Benny Mazur/flickr, CC BY 2.0) It is important to note that the Linnaean classification system has limits. Sometimes, species can be difficult to identify by physical characteristics alone. Species that exhibit mimicry and larval forms in different stages of development can take on the appearance of other organisms, resulting in errors in classification. Can you tell which of the butterflies in is the monarch? Close examination reveals that the markings on the wings are a bit different. The monarch is on the left, and the monarch mimic, the viceroy, is on the right. Likewise, in , you can see how it might be difficult to correctly classify barnacles, crabs, and limpets based on physical appearances. One may be tempted to classify the barnacle and the limpet as being closely related due to the conical shells that they share, when in actuality, the barnacle is more closely related to the crab, as they are both crustaceans. The conical shells of the barnacle and the limpet are similar adaptations in response to similar environmental pressures, not evidence that they are closely related or share a common ancestor. Classifying species based on physical similarities alone can lead to false conclusions. Although barnacles and limpets look much more like one another than they do the crab on the left, barnacles are actually more closely related to the crab. (credit: left, “DSC_5206” by Sally Wyatt/flickr, CC BY 2.0; top right, “Barnacles” by Mo Riza/flickr, CC BY 2.0; bottom right, “Limpet Family at Sunny Cove” by Tim Green/flickr, CC BY 2.0) Structural Morphologies as Evidence of Relationship Structural similarities may be derived traits ( homologous structures ), inherited from a common ancestor, or they may have developed independently ( analogous structures ). An example of a homologous structure is the grasping hand found in both humans and chimpanzees, which suggests that humans and chimpanzees share a common ancestor that also had a grasping hand. Analogous structures are seen in the wing of a butterfly and the wing of a bat. While both wings serve a similar function, these two organisms likely developed their wings independently and do not necessarily share a common ancestor. Identifying homologies is essential for creating hierarchies of phylogenetic relationships because homology indicates that shared features are due to common descent. However, homologies can be difficult to identify in nature, and they are easy to confuse with analogous traits. The structural similarities visible in these various species are homologous, meaning that the similarities are the result of these animals sharing a common ancestor. (attribution: Rice University, OpenStax, under CC BY 4.0 license) Cladistics , or the use of cladograms , is a method of visually distinguishing between homologous ancestral and derived characteristics. Ancestral characteristics are found in the common ancestor of the species being classified, whereas derived characteristics are only found in the groups in question. An ancestral characteristic that humans share with common ancestors is opposable thumbs. In contrast, a derived trait that is only found in modern humans is the chin. By exclusively looking at derived characteristics, biological anthropologists can develop a clearer understanding of the relationships between the groups being studied. The Molecular Tree of Life and Phylogenetics The emergence of genetic and molecular science has provided additional tools and lines of evidence to verify evolutionary relationships. The phylogenetic tree is a model used by modern taxonomists to reveal the complexity and diversity of life and its many branches. Phylogenetic trees show how species and other taxon groups evolved from a series of common ancestors. They are based on both physical and genetic evidence. Phylogenetic trees illustrate how old species are believed to be and their degree of relatedness to one another. This particular tree pertains to primate species. (credit: Kosigrim/Wikimedia Commons, Public Domain) allopatric speciation speciation that occurs when two populations of the same species become isolated from each other due to a change in the environment, such as geographic isolation. analogous structures anatomical similarities between two species that suggest not a common ancestor but rather similar environmental adaptations. ancestral characteristics homologous structures or traits that may also be found in the common ancestor of the species being classified. artificial selection the process of deliberately breeding certain specimens of plants or animals to encourage desired traits. catastrophism the theory that changes in Earth’s fauna and flora were caused by supernatural catastrophic forces rather than evolution. cladistics the classification of organisms based on branchings of descendent lineages from a common ancestor derived characteristics physical traits that are present in related organisms but absent from their last common ancestor. They are often associated with a speciation event. evolution changes that appear in a species over time. Evolution is dependent on genetic variation and natural selection to pass on beneficial traits that will increase survival of the species. gene flow alteration of the frequencies of alleles in a population that results from interbreeding with organisms from another population. genetic drift random changes in the frequencies of alleles in a gene pool. gradualism the idea that species evolve slowly and continuously over long periods of time. great chain of being a concept detailing a hierarchical structure of all matter and life. homologous structures similar anatomical structures that appear in different species and suggest a common ancestor. industrial melanism the prevalence of dark-colored varieties of animals (for example, peppered moths) in industrial areas where they are better camouflaged against predators than paler forms. inheritance of acquired characteristics the disproved idea that an organism can pass on to its offspring physical characteristics that it has acquired during its lifetime. mutation a change in the structure of a gene that results in a variant form that may be transmitted to subsequent generations. natural selection the process by which a species that is able to adapt and to pass on beneficial traits to its offspring ensures survival of the species; first formally introduced by Charles Darwin. punctuated equilibrium a hypothesis holding that the evolution of species proceeds in a characteristic pattern of relative stability for long periods of time interspersed with much shorter periods during which many species become extinct and new species emerge. survival of the fittest the theory that the most evolutionarily fit members of a species will pass on their traits to later generations. sympatric speciation speciation without a geographic barrier. uniformitarianism the concept that Earth’s surface was shaped in the past by slow-moving geological processes.", "section": "Evolution in Action: Past and Present", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "What Is a Primate? Learning Outcomes: By the end of this section, you will be able to: Define primate. Describe the relationship between primate behavior and environment. Identify and classify the key taxonomic groups of primates. What Is a Primate? Orangutans, the only great ape from Asia, are one of many living primate species. Others include lemurs, monkeys, gibbons, and human beings. (credit: Dawn Armfield/Wikimedia Commons, Public Domain) Primates —including human beings—are characterized by a number of distinct physical features that distinguish them from other mammals. These include opposable thumbs and (in nonhuman primates) opposable big toes; the presence of five digits (fingers or toes) on the appendages; flat nails instead of curved claws; pads at the tips of the fingers made up of deposits of fat and nerves; reduced reliance on sense of smell and a relatively small snout; depth perception; binocular vision (being able to see one image with both eyes); a relatively slow reproductive rate; relatively large brain size; and postorbital bars (bony rings that completely surround the eyes). The hands of this bonobo, including its opposable thumbs, look very similar to human hands. Opposable thumbs or toes are a primate trait shared by no other group of mammals. (credit: “Bonobo Plankendaal” by Marie van Dieren/flickr, CC BY 2.0) The first four traits enhance dexterity and enable primates to use their hands and feet differently from other mammals. Other traits on this list represent a shift in emphasis among the sense organs between primates and other mammals. Primates are characterized by a greater emphasis on vision and a reduced reliance on smell relative to other mammals. Primate Behavioral Variation Anthropologists regularly ask, “What makes us human?” Comparative studies of humans with nonhuman primates help answer this question. Comparing the behavior of nonhuman primates and the behavior of human beings helps anthropologists identify what culture is and develop operational definitions for it. Without the comparative perspective provided by primatology, anthropologists would be missing an important piece of the puzzle of what makes humans human. Without primatology, anthropologists would not be able to fully understand humankind. Studying nonhuman primates in their environment is key to understanding variations in behavior and can shed light on humanity’s ancient past. Primatologists are studying the chimpanzees at Gombe National Park in Tanzania, where they live in the rainforest. The behavior of chimpanzees that live in the tropical regions of Africa is quite different from the behavior of chimpanzees that live in the savanna at Fongoli in Senegal, in West Africa. Gombe chimps hunt red colobus monkeys without the use of tools, just catching them with their hands, while the Fongoli chimpanzees hunt galagos (also known as bush babies) using sticks that they adapt and used as spears (Pruetz, J.D, et al, 2015). The two environments also show differences in gender roles with both males and females in the Fongoli savannah group involved in hunting while only male chimpanzees hunt in the rainforests. Studying how these nonhuman primates both make and use tools is critical for understanding how humans’ fossil ancestors may have used and constructed tools. An important question that primatologists and biological anthropologists seek to answer is the question, do nonhuman primates have culture? Whenever we see an exchange of ideas where one individual is involved in teaching another and when that knowledge is passed on to others in a group is according to anthropologists, a form of culture. We see this happen in chimpanzee groups where older chimpanzees teach the young how to use sticks to termite-fish, the process of extracting termites from a termite mound using a stick. This chimpanzee lives in the Gombe National Park in Tanzania. Chimps living in Gombe’s rainforest environment have developed a very different set of hunting techniques and tool use from their relatives living in the grassy savannah. (credit: “Chimp Eden Sanctuary – Mimi” by Afrika Force/flickr, CC BY 2.0) Explaining Primate Success Why primates evolved as they did and how they filled and exploited the range of ecological niches they now fill are questions that have not yet been adequately addressed. Over the last century, various hypotheses have been raised to account for the evolution of primates and their unusual anatomical characteristics. These theories include the arboreal theory, the visual predation hypothesis, and the angiosperm theory. The arboreal theory proposes that primates evolved the traits they did as an adaptation to life in the trees. Specifically, primates evolved thumbs and big toes that are perpendicular to the other digits to help them grasp onto branches. Matt Cartmill , a professor of anthropology at Boston University who spent his career trying to understand why primates evolved the way they did, has complicated this theory. Cartmill recognized that forward-facing eyes are characteristic not only of primates but also of predators such as cats and owls that prey on small animals. Thus, forward-facing eyes, grasping hands and feet, and the presence of nails instead of claws may not have arisen as adaptations to an arboreal environment. Rather, they may be adaptations that helped early primates succeed as predators. According to the visual predation hypothesis , primate features are adaptations for hunting insects and other small prey in the shrubby forest undergrowth and the lowest tiers of the forest canopy. The angiosperm theory states that the basic primate traits developed in coevolution with the rise of flowering plants, also known as angiosperms. Flowering plants provide numerous resources, including nectar, seeds, and fruits, and their appearance and diversification were accompanied by the appearance of ancestral forms of major groups of modern birds and mammals. Some argue that visual predation is not common among modern primates and that forward-facing eyes and grasping extremities may have arisen in response to the need for fine visual and tactile discrimination in order to feed on small food items, such as fruits, berries, and seeds, found among the branches and stems of flowering plants. Primate Classification and Taxonomy Scientists generally classify the order Primates into two suborders: Strepsirrhini (prosimians) and Haplorrhini (tarsiers and anthropoids). The Strepsirrhini or Prosimians The Strepsirrhini are considered to be primitive primates that evolved much earlier than other primates. This suborder includes lemurs and lorises . All the Strepsirrhini primates, or strepsirrhines, possess numerous anatomical traits that distinguish them from the Haplorrhini primates, or haplorrhines. These include a clawlike nail on the second toe, referred to as a grooming claw, and incisors in the lower jaw that are tightly packed together and protrude from the mouth, forming what is called a toothcomb. There are seven families of living strepsirrhines, and all of them are found in what anthropologists refer to as the Old World, which consists of the continents of Africa, Asia, and Europe. Five groups of living strepsirrhines are found only on the island of Madagascar off the coast of Africa. Two additional families are found in Africa and Asia. The pygmy slow loris ( Nycticebus pygmaeus ) is an example of a Strepsirrhini primate. Pygmy slow lorises be found in Vietnam, Laos, and a province of China. (credit: Lionel Mauritson/Wikimedia Commons, Public Domain) The Haplorrhini or Anthropoids The Haplorrhini are broken down into two further infraorders, Simiiformes and Tarsiiformes, and the Simiiformes are further divided into Platyrrhini and Catarrhini. The Platyrrhini , or platyrrhines, are exclusively found in the New World (specifically Central and South America) and are colloquially referred to as New World monkeys. Their name is derived from the rounded shape of their external nostrils, which open off to the sides. New World monkeys are also distinguishable by their prehensile tails that serves as an extra limb for extra support when moving in the trees. The Catarrhini , or catarrhines, are found throughout Africa and Asia. They differ from the New World primates in that they possess narrow nostrils that face downward. The Catarrhini contain two superfamilies, Cercopithecoidea and Hominoidea , and are exclusively Old World. The Cercopithecoidea contain two main groups: cheek pouch monkeys ( Cercopithecinae ) and leaf-eating monkeys ( Colobinae ). The most distinctive feature of the cercopithecoid primates is their molars, which exhibit two parallel ridges. The most distinguishing feature of the hominoids is that they do not have tails and are largely terrestrial, or ground-dwelling. Examples of Hominoidea include gibbons, chimpanzees, gorillas, orangutans, and humans. The Tarsier Puzzle The tarsier , which belongs to the family Tarsiidae, has both prosimian and anthropoid characteristics, which has made it difficult for scientists to classify. Tarsiers are currently classified within their own classification under the haplorrhines. One of the characteristics that tarsiers share with other haplorrhines, (including humans) is the inability to manufacture their own Vitamin C. They are the smallest known primate and are nocturnal, with extremely large eyes that take up much of the space in their skull. Due to their size of the eyes, the tarsier cannot rotate them; instead, it can rotate its head 360 degrees like an owl. Tarsiers are also the only primate carnivore, eating largely flying insects and sometimes small animals like bats and lizards. Tarsiers do not do well in captivity. They are extremely sensitive to noise and can become easily stressed. In fact, they can become so stressed that they die by suicide by banging their heads against tree trunks. The Philippine tarsier ( Carlito syrichta ) is found only in the southern portion of the Philippine islands. The tarsier has been challenging for scientists to classify, exhibiting both prosimian and anthropoid characteristics. (credit: “8thApril2007 – ‘Tarsier’ Monkey” by Jacky W./flickr, CC BY 2.0) angiosperm theory a hypothesis that suggests that primate origins and typical primate characteristics developed in response to the emergence of flowering plants. arboreal theory a hypothesis that proposes that primates evolved the traits they did as an adaptation to life in the trees. Catarrhini a subcategory of the primate infraorder Simiiformes that includes any primate considered an Old World monkey, an ape, or in the lineage of humans. This classification features downward-facing nostrils and a 2.1.2.3 dental formula. Cercopithecoidea a superfamily of the primate infraorder Simiiformes, subcategory Catarrhini, that consists of Old World monkeys. Haplorrhini a suborder of primates that contains tarsiers, New World monkeys, Old World monkeys, apes, and humans. Hominoidea a superfamily of the primate infraorder Simiiformes, subcategory Catarrhini, that consists of gibbons, great apes, and humanlike primates, including Homo and related fossil forms. Platyrrhini a subcategory of the primate infraorder Simiiformes that comprises New World monkeys Strepsirrhini a suborder of primates that includes lemurs, lorises, and galagos (bush babies). visual predation hypothesis a hypothesis that explains the origins of unique primate traits as adaptations for preying on insects and small animals.", "section": "What Is a Primate?", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Origin of and Classification of Primates Learning Outcomes: By the end of this section, you will be able to: Explain the concept of deep time. Define fossils and explain some dating methods used on fossils. Identify some of the key characteristics of early primate fossils, including their respective time periods. Understanding Concepts of Time Geologists divide deep history into time periods known as eras. Eras are generally based on the fossil life forms observed. The oldest of the geological eras is the Eoarchean , which began approximately four billion years ago. The majority of the fossil evidence that we have for primate evolution comes from the Cenozoic era —the current geological era, dating from 65 million year ago (MYA) to the present. The Cenozoic era is divided into a series of epochs. Each epoch is associated with specific forms of primates that evolved during that time period. Fossils and Dating Methods Biological anthropologists primarily, although not exclusively, study fossil artifacts. A fossil is any remainder of a plant or animal that has been preserved in the earth. Upon the death of an organism, its body slowly decomposes until all that remains are the teeth and the bones or a mere impression of the organism’s original form. Under most conditions, teeth and bones and impressions eventually deteriorate, too. However, occasionally conditions are favorable for preservation. Examples of favorable materials for fossil formation include volcanic ash, limestone, and mineralized groundwater. Scientists do not have fossils of everything that lived in the past, and in some cases, remains from only a few individuals of a species have been found. The fossil record is very incomplete. Robert Martin, a curator at the Field Museum of Natural History in Chicago, estimates that there have been more than 6,000 primate species, while the remains of only 3 percent have been found. Fossils are very rare, but they are extremely informative about human biological evolution. Making Sense of Fossils An important part of understanding fossils is determining how old they might be and putting them in chronological order. In order to use a primate fossil to reconstruct the evolutionary history of primates, anthropologists must first be able to estimate approximately how old that specific fossil is. For some time, relative dating methods were the only methods available for dating fossils. Relative dating calculates the approximate age of a fossil in comparison to other fossil specimens. The last half century has seen important advances in absolute dating, including techniques that have made possible the dating of the earliest phases of primate evolution. Absolute dating calculates the actual biological age of a fossil in years within a range of years. Relative Dating Techniques Stratigraphy is the best-known and most commonly used method of relative dating. Stratigraphy is based on the observation that soil is deposited in successive layers, or strata. The oldest layers of soil (and any artifacts or fossils within them) will appear beneath more recent layers of soil (and any artifacts or fossils within them). In addition to using the location of layers of soil to date fossils deposited within these layers, biological anthropologists also sometimes make use of other items consistently found in a specific layer of the soil. These items are referred to as indicator artifacts because they help indicate the relative age of fossils and other artifacts. The best indicator artifacts are those that have a wide geographic distribution, are presence for a short period of geological time, and/or are from a species that underwent rapid evolutionary change. Different indicator artifacts have been used to ascertain relative age in different areas of the world. In Africa, elephants, pigs, and horses have been used to establish relative dates of different geological strata. The stratigraphy at Olduvai Gorge in East Africa, for example, was established based on fossil pigs. The various species of pig in successive strata are different and distinct, allowing paleoanthropologists to distinguish the strata based on the pig species found within them. Once the stratigraphy of an area is established, the relative ages of two different fossils in different sites can be determined by the associated indicator artifacts. If a site has been disturbed, stratigraphy will not be a satisfactory way to determine relative age. In such a situation, it may be possible to use absolute dating methods to estimate the age of fossils found together in a disturbed site. Absolute Dating Techniques Many absolute dating methods are based on the rate of decay of a radioactive isotope. A radioactive isotope is a chemical element that dissipates excess energy by spontaneously emitting radiation. These emissions happen at known and stable rates. Once the rate of decay of a radioactive isotope is established, the age of a specimen containing that isotope can be estimated within a range of possible error. C-14 The best-known method for determining the absolute age of fossils is carbon-14 or 14 C (pronounced “C-14”) dating. All plants and animals contain the isotope carbon-14 ( 14 C). Plants absorb 14 C from the air, and animals ingest plants containing the isotope. Because plants only absorb 14 C when they are alive and animals only consume plants when they are alive, scientists can determine how long ago an animal or plant died based on the amount of 14 C that remains in their cells. Carbon-14 has a known half-life of 5,730 years. This means that approximately half of the original 14 C in an organism will be eliminated in 5,730 years after its death. For example, if an organism had an original 14 C value of 100, then after 5,730 years, only 50 units of 14 C would be present. Thermoluminescence Another absolute dating technique that is frequently used by paleoanthropologists is thermoluminescence dating . Thermoluminescence dating requires that either the fossils to be dated or the sediments that the fossils are within have been exposed to a high-temperature event, such as a volcanic explosion. During such a high-temperature event, all the radioactive elements within the material are released. Consequently, the amount of radioactive elements that have accumulated in the artifact since the time of the high-temperature event can be used to calculate the artifact’s age. Primates of the Paleocene Epoch The Paleocene epoch began approximately 65 MYA and ended about 54 MYA. It is the most poorly understood epoch of the Cenozoic era, as it is the time period with the fewest fossils to represent it. However, this epoch is considered important to primate evolution because it offers the first unequivocal record of the earliest primates. Evidence of the most primitive primate yet identified was found in the U.S. state of Montana, in a geological deposit that was dated to the earliest part of the Paleocene. This creature is known as Purgatorius . Purgatorius is similar to extinct and living primates – and distinct from other mammals – in the presence of an elongated last lower molar and an enlarged upper central incisor (resulting in what one could think of as “Bugs Bunny teeth”). These two characteristics, which are shared by all living primates today, suggest that Purgatorius may be the common ancestor of later primates. Purgatorius unio may be the common ancestor of all later primate. Remains of Purgatorius unio have been found in deposits dated to be about 63 million years old. (attribution: Rice University, OpenStax, under CC BY 4.0 license) Primates of the Eocene Epoch The Eocene epoch , which began approximately 54 MYA and ended about 34 MYA, is marked by the disappearance of Purgatorius and the first appearance of primates that more closely resemble modern-day primates, especially in the fact that they possess postorbital bars composed entirely of bone. A postorbital bar is a bony ring surrounding the entirety of the eye orbit. This contrasts with other mammals whose postorbital bars are part bone and part cartilage. Some fossil specimens also possess a toothcomb and/or a grooming claw, characteristics that are exclusively found in strepsirrhine primates today. Other anatomical characteristics that are significant would be the ankle bones which researchers believe played a key role in the evolutionary success of primates. The evolution of primates during the Eocene was tremendous. It has been hypothesized that there were four times as many strepsirrhine primates during the Eocene than there are living primates today. Fossil primates in Eocene deposits are common in North America and Europe and are becoming known in Asia and Africa. However, there are currently no known fossil primates from the Eocene in South America or Antarctica. Primates of the Oligocene Epoch The Oligocene epoch , which began approximately 34 MYA and ended about 22 MYA, marks the appearance of the first fossil monkeys. The earliest unambiguous haplorrhine fossils were found at the Fayum , an archaeological site about 60 miles from Cairo, Egypt, that today represents part of the Sahara. The Fayum primates are divided into two main groups: Parapithecoidea and Propliopithecoidea . Based on their teeth, these primates are believed to be the earliest New World and Old World monkeys, respectively. Teeth are generally described according to a dental formula that indicates the number of each type of teeth in each quadrant of the jaw. An organism with a 2.1.2.3 dental formula has two incisors, one canine, two premolars, and three molars in each quadrant of their upper and lower jaws. Based on the presence of a third premolar, a trait found in all New World monkeys, it is probable that Propliopithecus represents the earliest New World monkeys, even though they first evolved in Africa. Likewise, it is probable the propliopithecoids represent the earliest catarrhine primate, as they are the first fossil monkeys that possess a dental formula of 2.1.2.3 found in catarrhine primates. Miocene Apes The Miocene epoch contains fossil evidence of some of the earliest apes such as Proconsul africanus africanus which lived in Africa from 23 to 14 mya. The earliest Miocene ape, found in Africa, is Proconsul . Unlike modern-day apes, the Proconsul lacked long, curved digits, suggesting that they were able to hang from branches but more often moved about on all four of their limbs. Proconsul also lacked a tail, which is why they are considered apes and not monkeys. Like all Old World monkeys and apes, including humans, their teeth show a pattern of 2.1.2.3. Another well-known ape from the Miocene is Sivapithecus . Sivapithecus fossils are very common throughout Asia, with a particularly large number having been found in Turkey. Like modern-day humans, they exhibit very thick dental enamel, suggesting that these apes regularly ate very hard foods. The most intriguing aspect of Sivapithecus morphology is that the skulls show a tremendous resemblance to the living orangutan in features such as its tall nasal openings and high eye sockets. Sivapithecus is one the earliest known ape species. Fossil remains exhibit the tall nasal openings and high eye sockets currently visible in orangutans. (credit: “ Sivapithecus indicus (Fossil Ape) (Dhok Pathan Formation, Upper Miocene; Potwar Plateau, Pakistan)” by James St. John/flickr, CC BY 2.0) While it is known that orangutans probably evolved from a Sivapithecus -type ape, there are no clear candidates for the ancestors of modern African great apes. There have only been two fossils found that clearly and unequivocally belong to the ancestors of modern African apes. Samburupithecus is a large late Miocene ape found in northern Kenya. It is known to resemble modern African apes. It differs from other Miocene fossils in having molar teeth that are elongated in a direction from the front of the mouth toward the back, instead of from cheek to tongue. Another fossil from the late Miocene (9–10 MYA) that is sometimes identified as an ancestor of modern African apes is Ouranopithecus , found in Greece, which has facial morphology that links it to both African apes and humans. fossils any remains, impression, or traces of living things from a former geologic age. Parapithecoidea a superfamily of primates from the early Oligocene that is believed to represent the earliest New World monkeys, though they first evolved in Africa. Proconsul a genus of ape from the early Miocene. Propliopithecoidea a superfamily of primates from the early Oligocene that is related to Old World monkeys and is believed to represent the earliest catarrhine primate. Purgatorius genus of the earliest primate or proto-primate. stratigraphy a branch of geology dealing with the classification, nomenclature, correlation, and interpretation of stratified rocks.", "section": "Origin of and Classification of Primates", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Our Ancient Past: The Earliest Hominins Learning Outcomes: By the end of this section, you will be able to: Compare and contrast some early hominin species. Identify some key adaptations and characteristics found in early hominins. Identify key adaptations and derived traits that emerged in changing environments. Walking on Two Feet The term hominin refers to all species considered to be in direct lineage to humans, which include the genera Homo, Australopithecus , Paranthropus , and Ardipithecus . Hominids refers to all modern and extinct great apes, which include humans, gorillas, chimpanzees, and orangutans and their ancestors. These terms have been understood to represent different things over the years, but the definitions provided here are the most current. While all hominins may differ in varying ways from one another, they all share one anatomical behavioral complex: bipedal locomotion. Scientists can hypothesize about how a creature moved by analyzing several aspects of its morphology. Brachiators , animals that move by swinging from branch to branch, generally have long arms, while leapers , animals that propel their bodies through the force of their lower limbs, have relatively long legs. Arboreal primates have arms and legs of equal length. In bipedal locomotion , one leg is called the stance leg, and the other is called the step leg. While the stance leg is on the ground, the step leg is off the ground and striding forward. During normal walking, both feet are on the ground only about 25 percent of the time. As speed of locomotion increases, the percentage of time that both feet are on the ground decreases. As a result, for most of the time that bipedal organisms are moving, their body is balanced on only one of their legs (the stance leg). To ensure that bipedal organisms do not fall over while balanced on their stance leg, they have undergone many anatomical changes since the earliest hominin ancestors. One of the most important anatomical changes that facilitate successful bipedalism is the angling of the femur (upper leg bone) inward at what is referred to as a valgus angle , which positions the knees and feet under the center of the pelvis. Bipedal hominins have also evolved spinal curves that make it possible for the hips to balance the weight of the upper body. The evolution of the arch in the foot as well as the realignment of the big toe so that it is parallel to the other toes is also instrumental in transmitting weight during the step phase of bipedal locomotion. In humans, the femur bones angle inward. This adaptation, known as the valgus angle, makes bipedal locomotion (walking upright) more comfortable and more efficient. (attribution: Rice University, OpenStax, under CC BY 4.0 license) The most important evidence of early hominin bipedalism is provided by the work of English paleoanthropologist Mary Leakey . In the 1980s, Mary Leakey discovered a 75-foot trail of footprints made by three bipedal individuals who had crossed a thick bed of wet volcanic ash about 3.5 MYA. These footprints were found in East Africa at the site of Laetoli . Based on the date and the location, it is probable that these footprints were made by Australopithecus afarensis . Analysis of the Laetoli footprints indicates a modern striding gait. These replicas of the 3.6-million-year-old hominin footprints found in Tanzania by Mary Leakey are on display at the National Museum of Nature and Science in Tokyo, Japan. (credit: “ Australopithecus afarensis Fossil Hominid Footprints (Pliocene, 3.6–3.7 Ma; Laetoli Area, Northern Tanzania, Eastern Africa)” by James St. John/flickr, CC BY 2.0) The evolution of hominin bipedalism required complex anatomical reorganization. For natural selection to produce such a tremendous amount of change, the benefits of these changes must have been great. There have been dozens of hypotheses for these changes, ranging from freeing hands to carry tools, food, or offspring to increasing energy efficiency or thermoregulation (the ability to maintain the body’s temperature) by exposing more of the body’s surface. None of the hypotheses are testable, making it truly challenging to understand why humanity’s ancestors made such a huge behavioral shift. The next sections explore some of the key discoveries of early hominin fossils in which anthropologists see some of the earliest indications of the adaptation of bipedalism in the human story. Miocene Hominids The first hominid fossils appear in the late Miocene , 10 to 5 MYA. Sometime between 7 MYA and 4 MYA, hominids moved out of the trees and began to adapt more fully to a ground-based living niche. Unfortunately, the fossil evidence from this time period is extremely sparse, but new finds continue to be discovered. A complete cranium of Sahelanthropus tchadensis was found in 2002 by French paleoanthropologist Michel Brunet and his team in Chad in West Africa. Sahelanthropus is a fossil ape that lived approximately 7 MYA and is claimed by some researchers to be the last common ancestor of humans and chimpanzees. Genetic studies indicate that humans and chimpanzees diverged from one another sometime between 5 MYA and 7 MYA, so this species lived right at the time of the divergence. The cranial capacity is a mere 350 cubic centimeters (cc), which is equivalent to a chimpanzee; the modern human cranial capacity is approximately 1,400 cc. Sahelanthropus also has a very large brow ridge (the large bone above the eyes), and the location of the foramen magnum , the opening at the base of the skull where the spinal column enters the skull, suggests that its head was not held over its spine and thus it was not bipedal. Orrorin tugenensis was found in Kenya in 2001 by geologist Martin Pickford of the Collège de France and paleontologist Brigitte Senut of France’s National Museum of Natural History. Orrorin tugenensis was dated to approximately 6 MYA. Orrorin was proposed to be a hominin due to anatomical traits that suggest bipedalism. For example, the femoral head (the big, rounded ball at the top of the leg bone that connects the leg to the hip) is much larger than in quadrupedal apes, suggesting the femur was being used to support the weight of the upper body. The muscles attached to the femur also suggest bipedal movement. Another feature that suggests that Orrorin is truly a hominin is the teeth, which exhibit thick dental enamel and small, square molars, much like modern humans. Pliocene Hominins The Pliocene epoch extended from 5 MYA to 1.8 MYA. Fossils from the Pliocene show evidence of the evolution of hominins that are clearly bipedal. They also show evidence of clear, albeit primitive, cultural behavior. Climatically, the Pliocene was colder than the preceding Miocene, which resulted in changing sea levels and an increase in ice at the poles, opening up some previously inaccessible areas. During this period, North and South America became connected through the Isthmus of Panama, and a land bridge across the Bering Strait appeared between Alaska and Siberia. Ardipithecus ramidus Ardipithecus ramidus was found in Ethiopia in 1992 by American paleoanthropologist Tim White and was dated to about 4.4 MYA. This is the first discovered hominin species to be dated to the Pliocene era. Based on the forward position of the foramen magnum, it can be concluded that Ardipithecus was bipedal. Also, the upper arm bones are very small, suggesting that the arms were not used to support weight during locomotion. Ardipithecus possesses numerous traits, such as thin dental enamel, evidence of a reduced canine, and an opposable big toe. As a result of the latter trait, many believe that Ardipithecus was bipedal on the ground and quadrupedal in the trees. This hypothesis is supported by the fact that the fossil bones were found in relatively heavily forested environments. The reduced canine is a derived trait appearing even earlier than A. ramidus and is not what we would typically see in African ape males who have large intimidating canines. Current hypotheses suggest that over time smaller canines became dominant when there became less need to show aggression along with a female preference for males with milder temperaments (Suwa, G., et al. 2021). These skeletal remains have been identified as Ardipithecus , the first hominin species discovered that has been dated to the Pliocene Era. (credit: Sailko/Wikimedia Commons, CC BY 3.0) The Robust and Gracile Australopithecines The next few sections will examine various australopithecine species that had diverse physical characteristics related to morphology of the teeth and skull. Based on these characteristics, paleoanthropologists classified these species into gracile and robust forms, as illustrated in . Gracile species had a more pronounced projection of the jaw ( prognathism ), less flared cheeks with no sagittal crest, and smaller teeth and jaws. The sagittal crest in the robust australopithecines accommodated large temporalis jaw muscles for chewing tough plant materials. Australopithecine species are classified as either robust or gracile. A defining feature of the robust species is the sagittal crest visible on the Paranthropus boisei skull on the left. Gracile species, such as A. afarensis , on the right, display more pronounced projection of the face (prognathism). (credit: left, Rama/Wikimedia Commons, Public Domain; right, “ Australopithecus afarensis Fossil Hominid (Pliocene, Eastern Africa) 1” by James St. John/flickr, CC BY 2.0) Species considered to be the gracile include Australopithecus anamensis , A. afarensis , A. africanus , A . garhi , and A. sediba . The robust australopithecines (classified under the genus Paranthropus ) include Paranthropus robustus , P. boisei , and P. aethiopicus . The gracile species emerged around 4 MYA and disappeared 2 MYA, while robust species continued to exist for another million years. The next sections will first take a look at some of the gracile forms of australopithecine, followed by the robust forms. Australopithecus africanus Australopithecus africanus was the first australopithecine discovered, in 1924, and was described by Australian anatomist and anthropologist Raymond Dart , who found the fossil in a box of fossils sent to him by lime quarry workers at a site called Taung in South Africa. The most notable specimen in the box was a skull from a child, which Dart had to chip away from the stone it was embedded in. It took Dart four years to separate the teeth. The skull is now known as the Taung skull or Taung child. Dart argued that the Taung child represents “an extinct race of apes intermediate between living anthropoids and man” (Wayman 2011). He noted that the skull was long and narrow, not rounded as in modern humans, and its brain averaged a mere 422 cc, equivalent to a chimpanzee. However, the Taung child did not possess brow ridges, had circular orbits, and had minimal prognathism as well as small canines and no diastema (space in the jaw for large canines to be positioned when the mouth closes). These latter traits are all analogous to modern humans. Most importantly, Dart noted that the forward position of the foramen magnum indicated that the skull was poised on top of the vertebral column, suggesting bipedalism and an upright posture. This partial skull is from a specimen known as the Taung child. The species, Australopithecus africanus , displays traits that resemble modern humans in some ways but not others. (credit: Daderot/Wikimedia Commons, Public Domain) Australopithecus afarensis In 1973, a good portion of a skeleton (about 40 percent) was found in the Afar region of Ethiopia by American paleoanthropologist Donald Johanson . He called the skeleton Lucy , after a Beatles song. It was dated to around 3.75–2.8 MYA and was determined to be a member of the species Australopithecus afarensis . Like all fossils recently discovered, Lucy was given an identification or accession number, KNM-AL-288. The KNM acronym stands for the Kenya National Museum, where the fossil is housed, and AL stands for the Afar locality where the fossil was found. Since then, more specimens of this species have been found in Kenya, Tanzania, and Ethiopia, all in East Africa. This child stands next to a recreated skeleton of A. afarensis . The long arms and long, curved fingers and toes of A. afarensis are apparent. (credit: “ Australopithecus afarensis Fossil Hominid (Lucy Skeleton) (Hadar Formation, Pliocene, 3.2 Ma; Hadar Area, Afar Triangle, Northern Ethiopia, Eastern Africa) 2” by James St. John/flickr, CC BY 2.0) Australopithecus afarensis is dated from 3.9 to 2.9 MYA with an endocranial capacity of around 400 cc, which is approximately the same as a common chimpanzee. There are two morphological features that provide evidence that A. afarenis moved more like a great ape than a human. First, it had arms that were substantially longer than modern humans’. Long arms are generally found in animals that hang from branches, suggesting that A. afarensis also exhibited this behavior. Also, A. afarensis possesses finger and toe bones that are long and curved, another characteristic of animals that hang from branches. However, there is one important morphological feature of A. afarensis that suggests that this species may have moved somewhat like modern humans. The shape of A. afarensis ’s pelvis (hip bones) looks substantially more like a modern human’s than it does an ape’s. Instead of the hip bones being long and narrow, they are short and wide. Most paleoanthropologists believe that this change in pelvic shape indicates that A. afarensis moved like modern humans do, on two legs. While A. afarensis may have locomoted bipedally, the morphological differences between A. afarensis and modern humans suggest they did not move in exactly the same way. Current consensus is that A. afarensis was both tree dwelling and bipedal. Other anatomical evidence of bipedalism includes a more anterior position of the foramen magnum and the angle of the femoral head and neck. Australopithecus garhi Also found in Ethiopia, Australopithecus garhi is dated to approximately 2.5 MYA. Its cranial capacity is slightly greater than A. afarensis , at 450 cc. Australopithecus garhi has incisors that are larger than those of any of the known australopithecines or Homo . The function of the large incisors is not yet known. The most exciting aspect of A. garhi is that it provides evidence of the earliest use of stone tools by a hominin. Specifically, A. garhi fossils were found with fossil bones of ruminants, such as antelopes, that displayed numerous cut marks. Cut marks are made on bones by the process of removing meat from the bones with stone or metal tools. Based on this finding, biological anthropologists have hypothesized that A. garhi used some type of stone tool for butchering. Australopithecus sediba In 2008, the clavicle bone of Australopithecus sediba was discovered by Matthew Berger , the nine-year-old son of American paleontologist Lee Berger, in Malapa, South Africa. Further excavation in a cave feature uncovered two partial skeletons, one of an adult female and the other a younger juvenile. A. sediba is considered an important species because it appears in the fossil record around the time of the first emergence of the genus Homo around 2 mya. The classification of A. sediba was initially difficult to determine, due to its complex overlapping features, which include humanlike spine, pelvis, hands, and teeth and a chimpanzee-like foot. This combination of traits suggests both tree climbing and bipedal adaptations. After studying the characteristics collectively, anthropologists classified A. sediba as a species of Australopithecus . It is considered a direct ancestor of Homo erectus and Homo ergaster , which are discussed in Chapter 5, The Genus Homo and the Emergence of Us . It is believed that A. sediba could be a descendent of A. africanus , which suggests the species may be a dead end within the lineage to humans. Its classification and relationship with the genus Homo will likely remain highly debated. These bones are from Australopithecus sediba , which displays a humanlike spine and pelvis but a chimpanzee-like foot. (credit: Phiston/Wikimedia Commons, CC BY 3.0) Paranthropus robustus Thirteen years after Raymond Dart’s discovery, South African paleontologist and medical doctor Robert Broom discovered Paranthropus robustus at a site called Kromdraai in South Africa . The most obvious difference between Dart’s and Broom’s respective fossils, A. africanus and P. robustus , is that the morphology of Broom’s fossil is much larger. Its features include a sagittal crest and a flared zygomatic arch for the attachment of a large temporalis muscle for chewing a diet reliant on hard nuts and seeds. This interpretation was further supported by scanning electron microscopy (SEM), which was used to evaluate the markings etched into the teeth. As the teeth increased in size the incisors and canines shrank, giving Paranthropus a flatter face with less projection of the jaw. There are some who argue that depending on the environment and locale, some Paranthropus may have been omnivores, with varied diets similar to those of H. ergaster . (Lee-Thorp, Thackeray, and van der Merwe 2000). Paranthropus boisei Following in Broom’s footsteps, other scientists began searching for fossils in East Africa. Beginning in 1931, Kenyan and British paleoanthropologist Louis Leakey and his wife, Mary Leakey , worked in what is known as the Eastern Rift Valley , which is a 1,200-mile trough extending through Ethiopia, Kenya, and Tanzania. They searched for almost 30 years before they found their first hominin fossil, Paranthropus boisei (OH-5)—originally classified as Zinjanthropus boisei —in 1959. It is often referred to as the hyper-robust hominin because of its mohawk of bone on the top of the skull. Other features include a low or absent forehead, a flat face, large jaws, and large attachment sites over the entire skull for chewing muscles. Paranthropus aethiopicus We have little knowledge about Paranthropus aethiopicus (shown in ), which has been dated to about 2.5 MYA and is referred to as the “black skull.” It is believed that this species falls somewhere between the robust and gracile australopithecines, having characteristics of both. The species was discovered in Ethiopia in 1967 by a French expedition team headed by Camille Arambourg and Yves Coppens. Much remains to be learned about Paranthropus aethiopicus , which has characteristics of both the robust and gracile australopithecines. (credit: “ Paranthropus aethiopicus (Fossil Hominid) (Nachukui Formation, Upper Pliocene, 2.5 Ma; Lomekwi, Lake Turkana Area, Kenya) 3” by James St. John/flickr, CC BY 2.0) Landmarks and Questions While the fossils discovered up to this point have provided a small window into the story of humanity’s past, they have also simultaneously raised numerous questions. Questions related to phylogenetic relationships and points of divergence are challenges for paleoanthropologists, who have only fragmentary fossil evidence to build hypotheses around. Nevertheless, the discoveries that have been made represent important landmarks in anthropologists’ understanding, providing clues that will lead to the next steps in the human journey. Pedestrian Survey Conduct a pedestrian survey to try to locate fossils near where you live (trilobites in New York, ammonites in Texas, shark teeth near riverbeds, arrowheads). Think about where you would most likely find a fossil and why. Try to extract one without destroying the environment around it, which provides important context. Try to figure out what kind of fossil it is by doing some Internet research. Why do you think that this fossil was preserved? What information would make the search for fossils easier? Summary Biological anthropology strives to understand how humans interact and behave in the present, how humans evolved biologically, and how humanity’s ancient ancestors lived in diverse climates and environments. The anthropological approach to exploring these questions is grounded in evolutionary theory. Charles Darwin was one of the first to propose a mechanism by which evolution occurred, which he called natural selection. Natural selection is based on the premise that those with more favorable characteristics survive and reproduce at greater rates than those without them. Natural selection depends on the evolutionary processes of mutation, speciation, gene flow, and genetic drift. Darwin’s theory did not address how these favorable characteristics could be inherited. Gregor Mendel’s experiments on peas addressed this very question. Mendel’s work resulted in two very important observations. He observed that the two alleles for each trait separate during the formation of the sex cells and that the probability of having one trait does not affect the probability that an individual will have another trait. Carolus Linnaeus is best known for creating the classification system that taxonomists use today, which is based on physical similarities and differences. Phylogenetics is a hypothesis about how species are related to one another and to a common ancestor. Today, biological anthropologists apply taxonomies and phylogenies to the current nonhuman primate and hominin fossil record. It is in the Miocene that the first fossil apes, such as Proconsul , are seen. The first evidence of hominin-like fossils appears by the end of the Miocene. A large number of morphological changes observed in early hominins suggest considerable environmental and climatic change. During the Pliocene epoch, extending from 5 to 1.8 MYA, the evolution of hominins that were clearly bipedal is evident in the fossil record, as is evidence of cultures that used stone tools. The path is now ready for the next group in humanity’s evolutionary history to enter the scene. Critical Thinking Questions Bibliography Aiello, Leslie C. 1986. “The Relationships of the Tarsiiformes: A Review of the Case for the Haplorhini.” In Major Topics in Primate and Human Evolution , edited by Bernard Wood, Lawrence Martin, and Peter Andrews, 47–65. Cambridge: Cambridge University Press. Blaxland, Beth. 2020. “Hominid and Hominin—What’s the Difference?” Australian Museum. February 10, 2020. https://australian.museum/learn/science/human-evolution/hominid-and-hominin-whats-the-difference/. Crompton, Robin. 1989. “Mechanisms for Speciation in Galago and Tarsius .” Human Evolution 4 (2): 105–116. Dasgupta, Shreya. 2019. “Super Variable California Salamander Is ‘an Evolutionist’s Dream.’” Mongabay. March 18, 2019. https://news.mongabay.com/2019/03/super-variable-california-salamander-is-an-evolutionists-dream/. David, A. Rosalie, and Michael R. Zimmerman. 2010. “Cancer: An Old Disease, a New Disease or Something in Between?” Nature Reviews Cancer 10:728–733. https://doi.org/10.1038/nrc2914. Dunbar, Robin I. M. 1988. Primate Social Systems . Ithaca, NY: Cornell University Press. Fleagle, John G. 1999. Primate Adaptation and Evolution . 2nd ed. San Diego: Academic Press. Fuentes, Agustín. 2019. Biological Anthropology: Concepts and Connections . 3rd ed. New York: McGraw-Hill Education. Groves, Colin. 2001. Primate Taxonomy . Washington, DC: Smithsonian Institution Press. Hill, W. C. Osman. 1955. Primates: Comparative Anatomy and Taxonomy . Vol. 2, Haplorhini: Tarsioidea . New York: Interscience. Lee-Thorp, Julia, J. Francis Thackerary, and Nikolaas van der Merwe. 2000. “The Hunters and the Hunted Revisited.” Journal of Human Evolution 39 (6): 565–576. https://doi.org/10.1006/jhev.2000.0436. McKee, Jeffrey K., Frank E. Poirier, and W. Scott McGraw. 2005. Understanding Human Evolution . 5th ed. Upper Saddle River, NJ: Pearson Prentice Hall. Meier, Joana I., David A. Marques, Salome Mwaiko, Catherine E. Wagner, Laurent Excoffier, and Ole Seehausen. 2017. “Ancient Hybridization Fuels Rapid Cichlid Fish Adaptive Radiations.” Nature Communications 8. https://doi.org/10.1038/ncomms14363. Phillips, Melissa Lee. 2006. “Genetic evidence for punctuated equilibrium.” The Scientist , October 5, 2006. https://www.the-scientist.com/daily-news/genetic-evidence-for-punctuated-equilibrium-47144. Pruetz, J.D., et. al, P. (2015). New evidence on the tool-assisted hunting exhibited by chimpanzees (Pan troglodytes verus) in a savannah habitat at Fongoli. R. Soc. open sci.2140507140507http://doi.org/10.1098/rsos.140507 Stringer, Chris, and Peter Andrews. 2011. The Complete World of Human Evolution . 2nd ed. London: Thames & Hudson. Canine sexual dimorphism in Ardipithecus ramidus was nearly human-like. Proceedings of the National Academy of Sciences , 118 (49) e2116630118; DOI: 10.1073/pnas.2116630118 Takahashi, Tetsumi, and Stephan Koblmüller. 2011. “The Adaptive Radiation of Cichlid Fish in Lake Tanganyika: A Morphological Perspective.” International Journal of Evolutionary Biology 2011. https://doi.org/10.4061/2011/620754. Wayman, Erin. 2011. “How Africa Became the Cradle of Humankind.” Smithsonian , October 17, 2011. https://www.smithsonianmag.com/science-nature/how-africa-became-the-cradle-of-humankind-108875040/. diastema a space or gap between the canines and the other teeth that allows for the upper and lower teeth to bite together. foramen magnum the opening at the base of the skull where the spinal column and nerves enter to reach the brain. The position of the foramen magnum can be used to determine if a species was bipedal. hominin the group representing modern humans, extinct human species, and all of humanity’s immediate ancestors, including the genera Homo , Australopithecus , Paranthropus , and Ardipithecus . hominid the group representing all modern and extinct great apes, including humans, chimpanzees, gorillas, orangutans, and all their immediate ancestors. prognathism projection of the face, as seen in many nonhuman primates and early hominins.", "section": "Our Ancient Past: The Earliest Hominins", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Liang Bua Cave on the island of Flores in Indonesia. A potentially new species of the genus Homo, Homo floresiensis was discovered in this cave in 2003. (credit: “Flores: Ruteng to Bajawa” by Bryn Pinzgauer/flickr, CC BY 2.0) (credit: “Flores” by Ryan Somma/flickr, CC BY 2.0) Our human story continues with the rise of the genus Homo which at one time represented at least 8 different species in our human lineage – with only H. sapiens surviving. The genus Homo displays some of the most diverse and complex examples of both australopithecine and Homo characteristics, which has made the classification of species in this genus challenging. In this chapter we take a look at how paleoanthropologists have defined Homo and at attempts to answer the question, “What does a species of the genus Homo look like?”", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Defining the Genus Homo Learning Objectives By the end of this section, you will be able to: Describe the time periods and geological context of the genus Homo . Identify some key differences between the genus Homo and Australopithecus. Define some of the limitations of and challenges in the classification of hominin species in the genus Homo . Explain the concept of encephalization as it relates to early hominin evolutionary development and as a tool for hominin classification. Putting Homo into Context Before learning about the hominin species that make up the category genus Homo , it will be helpful to become familiar with the key archaeological time periods with which Homo is associated. The species and cultural developments mentioned below will be explored in greater detail in the sections that follow. Lower Paleolithic (from roughly 3 million years ago to approximately 300,000 BCE): This period includes H. habilis and the Oldowan tool industry, followed by H. ergaster and the Acheulean tool industry. Middle Paleolithic (approximately 300,000–40,000 BCE): This period includes continued use of Acheulean tools by H. heidelbergensis, followed by H. neanderthalensis and the Mousterian tool industry. Upper Paleolithic (approximately 43,000–26,000 BCE): The Upper Paleolithic saw the emergence of cave art like that found in the famous Chauvet Cave in France ( ), Venus figurines ( ), and an increased use of bone and antler in tools and jewelry. The most recent ice age occurred during this time, with glaciers covering huge parts of the planet. The emergence of Paleoindians and the use of Clovis points, which were used to kill large game such as mastodons and mammoths, occurred near the end of this time period. Epipaleolithic/Mesolithic (approximately 13,000--8,000 BCE, depending on the location): Corresponding with the ending of the last ice age and the extinction of species such as mastodons, this period saw a further transition toward the hunter-gatherer cultures. It is characterized by the development of certain ceramics and especially of microliths, which are smaller, more precise stone tools. The mesolithic is not a defined period in all parts of the world, and its time boundaries vary significantly by geographic region. Neolithic (Agricultural Age) (8,000–3,000 BCE): New innovations appear during the agricultural age, or “Neolithic revolution,” as H. sapiens set up permanent settlements. Humans begin to transition from being hunters and gatherers to growing grow crops, owning land, and domesticating animals. The Challenge of Defining the Genus Homo The previous chapter introduced the australopithecines, who were diverse in their physical characteristics (gracile and robust), with large jaws and teeth and small brain size. A key characteristic shared by both the australopithecines and the genus Homo is bipedalism. The transition to bipedalism is linked with various anatomical changes, including longer legs, changes in spinal curvature, and the development of arches in the feet to conserve energy and increase balance when walking. What criteria other than bipedalism might be used to classify a species under the genus Homo ? Many anthropologists have attempted to establish specific criteria to use in determining a classification of Homo. Paleoanthropologists Mary Leakey , Louis Leakey , and John Napier , as well as primatologist Phillip Tobias , were among the first to extensively study the fossils of Homo habilis , considered to be one of the earliest species in the genus Homo . H. habilis had a brain size of around 661–700 cc, which was larger than the australopithecines’, with hands that were capable of the dexterity needed for making tools, due to bone structure changes and a repositioning of the thumb, which allowed for better grip. The type specimen OH 7 of H. habilis dated between 2 and 1.7 MYA and was found in 1960 at Olduvai Gorge by Jonathan and Mary Leakey. It was described by Louis Leakey in 1964. Type specimen refers to a specimen that serves as the standard for the taxon or classification group for that species. OH 7 is the identification or accession number of this specific specimen and stands for “Olduvai Hominid #7.” The specimen consisted of a partial juvenile skull, hand, and foot bones. It possessed teeth that were much smaller than those of any australopithecine and was possibly in coexistence with the robust australopithecines ( Paranthropus ). Based on an endocranial cast (an imprint of the interior of the brain case), it was determined that H. habilis may have possessed what is called a Broca’s area in the brain. Broca’s area , which includes two Brodmann areas (referred to as 44 and 45), is located in the middle of the left cerebral cortex of the brain and is especially important for speech development ( ). Some scientists have suggested that H. habilis started to develop the neural networks necessary for human speech, while others argue that H. habilis probably already had speech. Position of the Broca’s area in the brain, consisting of Brodmann areas 44 (yellow) and 45 (blue). Broca’s area is associated with speech development and may have been present in the brain of H. habilis . (credit: Fatemeh Geranmayeh, Sonia L. E. Brownsett, Richard J. S. Wise/Wikimedia Commons, CC BY 3.0) The postcranial features (skeletal structures in the body other than the skull) of Homo habilis are not as well established, as is the case for many other early hominin fossils. This can be problematic, as many hominin species coexisted with overlapping traits. Likewise, it can be problematic to have postcranial material and not the cranium or skull. The skull often serves as a diagnostic tool when postcranial materials do not provide enough evidence or provide confusing evidence. Based on their research on H. habilis , Mary Leakey, Louis Leakey, and John Napier proposed the following criteria for classifying Homo : a brain size over 600 cc; a round, globular skull; tool use; reduced prognathism (protrusion of the jaw) and smaller jaws and mandibles; humanlike postcranial features; and feet that are fully adapted for walking (Leakey, Tobias, and Napier 1964). While this list established specific and fairly comprehensive guidance, the diversity of traits and the ways in which they overlapped didn’t always line up with the criteria. H. habilis has been at the center of several debates regarding their taxonomic position and relationship with other early archaic Homo species. For example, H. habilis was initially believed to have been a direct human ancestor through the lineage of Homo erectus and then modern humans . This viewpoint is now debated and has resulted in a scientific divide between those supporting H. habilis and those suggesting another Homo species, H. rudolfensis , as being the ancestor of H. erectus. H. rudolfensis is an archaic Homo dated to about 2 MYA, which coexisted with other Homo species during that time period. A cranium was discovered in 1972 along Lake Turkana in Kenya by Bernard Ngeneo, a local Kenyan. The specimen was later described by paleoanthropologist Richard Leakey. There is a lot that is not known about this species; scientists are missing postcranial materials, and as of yet no tools have been found. There are hypotheses that propose that H. rudolfensis might be a H. habilis male, exhibiting a larger cranium than that seen in a female H. habilis . Others suggest it is a completely different species. Another controversy centers on tool use. While Homo habilis was long regarded as the earliest hominin to use stone tools, it has been determined, based on evidence of cutmarks, that at least one australopithecine ( A. garhi ) used stone tools before H. habilis , at around 2.6 MYA (Semaw et al. 1997). The specimen of H. rudolfensis on the left is noticeably different from that of H. habilis on the right. (credit: Conty/Wikimedia Commons, CC BY 3.0) While there are still questions as to the phylogenetic relationship of H. habilis and H. rudolfensis , there is general agreement that Homo did evolve from Australopithecus . The timing and placement of the split between Australopithecus and Homo , however, is still debated. H. habilis was determined to not be an Australopithecus due to its smaller teeth, a humanlike foot, and hand bones that suggested an ability to manipulate objects with precision. One of the main considerations in classifying H. habilis as a Homo and not an Australopithecus was its cranial capacity , which is a measurement that indicates brain size. With some exceptions, cranial capacity can serve as an indicator of where a hominin fossil might belong in the hominin phylogenetic tree. Encephalization refers to a progressive increase in brain size over time. In human evolution, we can observe encephalization beginning with Homo habilis and progressing more rapidly through H. erectus . Encephalization correlates with an increase in behavioral, cognitive, and cultural complexity. Cognitive developments correspond with our ability to construct and form ideas, including the ability think in and communicate via symbolic and abstract language, such as that used in storytelling, ritual, and art. There are always exceptions, however, such as the island-dwelling, small-brained H. floresiensis , who will be introduced later in this chapter. In spite of having a very small brain, H. floresiensis made and used tools and built fires. This discovery has challenged what we thought we knew about the correlation of brain size and cognitive development in human evolution. The encephalization quotient (EQ) can serve as a good indicator (with some exceptions) of classification within the genus Homo . The encephalization quotient is a calculation arrived at by comparing the ratio between actual brain size (determined with either a mass or volume calculation) and expected brain size. Body size is a factor in these measurements as expected brain size reflects the relationship between brain and body size for a given taxonomic group (Jerison 1973). The larger the brain weight relative to the overall body weight, the more likely that the brain was used for more complex cognitive tasks. Harry J. Jerison (1973) was the first to develop EQ measurements. The formula he used for calculating EQ in birds and mammals is brain mass/0.12 × (body mass) 0.66 . Other formulas have also been proposed, such as EQ = brain mass (11.22 × body mass 0.76) (Martin 1981). While EQ is a strong tool for studying brain size in early hominins, there are always potential margins of error when dealing with fragmentary fossils, and increasingly alternative forms of measurements are being proposed. One study proposes that EQ should no longer be used as a tool in calculating brain size in primates and other vertebrate species, based on the premise that cognitive performance does not depend on body size and so body size should not be included in the formula (Schaik et al. 2021). Other theories consider the number of cortical neurons and neural connections as most important when considering cognitive ability (Roth and Dicke 2012). According to this approach, the density of the cortex is more associated with intelligence than is brain size. These alternate approaches would perhaps better explain those exceptions in the fossil records, such as H. floresiensis . Other interesting research is looking at potential levels of cognition and memory as it relates to levels of tool complexity (Read and van der Leeuw 2008). In spite of these criticisms, many see EQ measurements as providing fairly consistent results. Modern humans ( Homo sapiens ) have an EQ of roughly 6.0–7.0 (meaning that their brain mass is six to seven times greater than what one would expect to find in a comparable mammal of the same body size). H. erectus has an EQ of 4.0, while for an australopithecine EQ is around 2.5 to 3.0 (Fuente 2012, 227). shows increases in average brain sizes for various species over time. After remaining steady for millennia, average brain size increases noticeably in the last two million years. (Xiujie, Wu, and Norton 2007). (credit: Gisselle Garcia, artist (brain images), CC BY 4.0) Broca’s area a region in the frontal lobe of the brain (which includes two Brodmann areas) first found in H. habilis and connected with the production of speech. cranial capacity the volume of the interior of the cranium or skull, providing an approximate size of the brain. encephalization increased brain size over time. encephalization quotient a measurement defined as the ratio between brain and body size. endocranial cast an impression taken from the inside of the cranium (braincase), frequently used by paleoanthropologists to determine the shape and approximate size of the brain in hominids and other primates. postcranial features skeletal material found in the body that is not related to the skull (cranial bones).", "section": "Defining the Genus Homo", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Tools and Brains: Homo habilis, Homo ergaster, and Homo erectus Learning Objectives By the end of this section, you will be able to: Compare and contrast the anatomy and material culture of H. habilis, H. erectus , and H. ergaster. Define the term “tool industry” and describe the tools typified by the Oldowan and Acheulean industries. Identify possible correlations between the environment, diet, new behaviors, and brain growth. The Toolmakers Archeologists use the word industry to describe a classification or assemblage of stone tools. The Oldowan tool industry is the oldest known stone tool industry. It dates from around 2.5 to 1.5 MYA. Because there were several hominins in Africa during this time, it is unclear whether these tools were created and used by H. habilis or by Paranthropus boisei , or by both (Susman 1991). Oldowan tools are fairly crude and primitive in appearance, which can make it difficult to find and identify them in the field. An Oldowan tool. This chopper is made of quartzite and dated to the lower Paleolithic period. (credit: Locutus Borg/Wikimedia Commons, Public Domain) Mary Leakey was the first to create a system to classify Oldowan assemblages, basing her classification on utility, or how the tools were used. Later efforts were made to classify tools based on how the tools were made. All Oldowan tools were created by using hard hammer percussion , in which flakes are chipped away from a stone, resulting in a “core”. These cores served as basic tool that could have been used for killing game, cutting meat and plants, and possibly woodworking. Oldowan toolmaking is the earliest evidence of “ flint knapping ,” a technique that became more complex over time, resulting in more sophisticated tools ( ). Demonstration of flint knapping, an ancient technique for shaping stones into useful tools. (credit: “Flint-knapping Demonstration” Tonto National Monument/NPS photo/flickr, CC BY 2.0) Handedness , or brain lateralization (i.e., whether one is right-handed or left-handed), is a cognitive development that can be inferred through evidence of the use of a dominant hand in creating and using tools. The use of a dominant hand suggests a possible reorganization of the brain. It is believed that about 90 percent of humans are right-handed, which differs from apes, which are closer to 50 percent. David Frayer (2016), an anthropologist from the University of Kansas, has concluded that the brain lateralization of Homo habilis was more like that of modern human than that of apes. Frayer found striations on the teeth of a 1.8-million-year-old Homo habilis fossil that indicate right-handedness. He concluded that meat was pinched between the teeth and held in place with the left hand, while the right hand cut the meat with a tool. Brain lateralization, increasing brain size, and tool use are just some of the key developments we see in the genus Homo. Homo ergaster Homo ergaster is the first Homo that looks much like H. sapiens . A key difference between H. ergaster and earlier hominins is that H. ergaster exhibits substantially less sexual dimorphism in body size. H. ergaster males were only 20 percent larger than females. Likewise, modern human males are only 15 percent larger than females. This contrasts sharply with all other previous hominins, such as the australopithecines, in which males were 50 percent larger than females. It is well established that in mammals, significant dimorphism is associated with polygyny, and a lack of dimorphism is associated with a monogamous mating system. It has been suggested that the reduction in dimorphism seen in H. ergaster may indicate less male-male competition for access to females and perhaps a shift toward a monogamous mating system, with substantial parental investment in offspring. Other similarities between H. ergaster and modern humans are seen in the teeth and postcranial features. The average cranial capacity of H. ergaster is 1,100 cc, which is just a bit smaller than that of modern humans, who average 1,400 cc. There is a very important specimen of H. ergaster that bears mentioning, the Nariokotome Boy . This specimen was discovered in 1984 by Kenyan paleontologist Kamoya Kimeu near Lake Turkana in Kenya. It is dated to approximately 1.6 MYA. The specimen is believed to represent a boy of about 12 years old, determined by various dental and cranial features. He was about 5 feet 4 inches tall, roughly the same height as a modern boy of the same age ( ). It has been estimated that his adult height would be around 5 feet 10 inches, with an estimated cranial capacity of 900 cc. The Nariokotome Boy looks tremendously modern in appearance despite being 1.6 million years old. This specimen of Homo ergaster is known as the Nariokotome Boy. It is believed to be the remains of a boy who was about 12 years old at the time of death. (credit: “Homo ergaster (fossil hominid) (Lower Pleistocene, 1.5 to 1.6 Ma; Nariokotome, Lake Turkana area, Kenya) 4” by James St. John/flickr, CC BY 2.0) Homo ergaster Technology Homo ergaster continued to use Oldowan stone tools, but they also began to construct much more complex tools, referred to as the Acheulean industry ( ). These tools have been found throughout Africa, Europe, and the Middle East and are first noted as appearing approximately 1.6 MYA to 200,000 years ago. These types of tools are rarely found in Asia. It is currently unclear whether this is because the Acheulean industry had not yet been developed when H. erectus migrated to Asia or because bamboo (a plant found in abundance in Asia) was found to be a more versatile resource than stone. As wood and bamboo are biodegradable, no remains of tools constructed from these materials would exist today. This hand axe, found in the Zamora province, Spain, displays the form and construction techniques typical of the Acheulean industry. (credit: Jose-Manuel Benito/Locutus Borg/Wikimedia Commons, Public Domain) Unlike Oldowan tools, Acheulean tools actually look like tools. Acheulean tools are distinct from Oldowan tools in that they were modified on both sides, resulting in a symmetrical tool with two faces, also known as biface . One end of the tool was tapered, while the other end was rounded. The creation of symmetrical objects from stone materials is believed to represent an increase in cognitive ability as well as motor skills in the tool maker. These bifaces were struck from large flakes, which had themselves been struck from boulder cores. This required a more delicate technique than banging one rock into another. Acheulean tools were typically created used the soft hammer technique . In this technique, hard rock such as flint is chipped by striking it with a softer material such as bone or wood. The gentler blows detach small flakes that leave smooth, shallow scars, creating a straighter and more uniform cutting edge. The main advantage of Acheulean technology is that it allowed hominins to get a better grip on their tools, as they were shaped to fit the hand. This tool type was used primarily as a hunter’s knife but also for chopping, scraping, and even piercing. The most common type of biface tool is a hand axe . Note that even though these tools are called axes, they are held in the palm of the hand. Another type of Acheulean biface used by Homo ergaster is called a cleaver ( ). The cleaver had a wide cutting edge across the end instead of a point and was best suited for hunting or hacking wood. Another Acheulean tool is the side scraper , used to scrape hides that could then be turned into simple clothing. Map of Acheulean cleaver finds dated to the Lower Paleolithic (1.76–0.13 MYA). Note the concentration of artifacts found in certain areas of Africa and in Spain. (attribution: Copyright Rice University, OpenStax,under CC BY 4.0 license) Evidence of an Increase in Meat Eating In 1973, a specimen of H. ergaster known as KNM ER 1808 was found in Koobi Fora, Kenya. Dated to about 1.7 MYA, this is the most complete H. ergaster specimen ever found. Analysis of KNM ER 1808 suggests that H. ergaster may have been eating carnivore liver, which is high in Vitamin A. This may indicate a dietary shift toward increased meat eating by H. ergaster . Homo erectus : A Success Story Homo erectus is the longest-surviving species in the genus Homo . For almost two million years, H. erectus existed and evolved. Also known as the “Upright Man” or Java Man, H. erectus was first found in Indonesia in 1891 by Eugene Dubois , a professor of anatomy at the University of Amsterdam. At a site called Trinil, he found a skull cap and a femur. He named the specimen Pithecanthropus erectus . The most current dates for Homo erectus are 1.2–1.6 million years ago. H. erectus exhibits a cranial capacity averaging 900 cc and several distinguishing characteristics. These characteristics include a slightly projecting nasal spine, shovel-shaped incisors, a nuchal crest (a ridge in the back of the skull that supported strong neck muscles), very thick skull bones, and pronounced brow ridges. They also had longer legs, evidence that they were utilizing energy much more efficiently when walking and becoming effective hunters. We also see a diminishing of the protruding jaw (or prognathism) that was so prominent in the australopithecines. This Homo erectus cranium exhibits a number of defining features, including a projecting nasal spine, thick skull bones, and pronounced brow ridges. (credit: Daderot/Wikimedia Commons, Public Domain) There is evidence that H. erectus was using fire around 1.7–2.0 MYA, which would make it the first or one of the first hominins to do so. Ancient hearths, charcoal, and charred animal bones have been found in Zhoukoudian , China. This evidence suggests that H. erectus was hunting, cooking, and eating meat. Also found at Zhoukoudian are a number of fossil skulls that were once thought to display evidence of cannibalism. However, recent research evidence suggests that the remains of these H. erectus were prey to animal scavengers such as hyenas (Boaz et al. 2004). The Smithsonian Institution has created an interactive tool that visually illustrates the interrelationships between an increasingly variable and colder climate, encephalization, bipedalism, and new technologies and tool use. These correlations align with fossil evidence indicating changes in diet and caloric requirements in response to a colder and changing climate, which ultimately fueled a growing brain. The “ expensive tissue hypothesis ” proposes that maintaining a brain is metabolically expensive and that, in order to meet the energy requirements of a larger brain, our digestive system became smaller and shorter, making it more suited for higher-quality, nutrient-dense food such as meat (Aiello and Wheeler 1995). The list below summarizes some of the key evolutionary changes seen in H. erectus from 2 MYA to possibly as recent as 50,000 years ago, which provide further support for these correlations (Dorey 2020). There is a progressive increase in brain size in H. erectus , from about 550 cc to 1,250 cc. There is evidence of increased use of fire and of eating cooked meat at H. erectus sites. H. erectus would have needed as much as 35 percent more calories than previous hominins (Fuentes 2012). The eating of softer foods as a result of cooking meat and plants alleviated the need for large chewing teeth and jaws. Over time teeth became smaller, which resulted in thicker enamel. There is a gradual decrease in prognathism, and as in H. habilis, skulls provide evidence of smaller teeth and jaws, which would have made room for larger brains. H. erectus is taller than any other previous hominin, with longer legs that provided the ability to run great distances and chase prey. New research is shedding some additional light on the possible benefits of running in early hominins The fossil evidence suggests that endurance running is a derived adaptation of the genus Homo , originating about two million years ago, and may have been instrumental in our evolution (Bramble and Lieberman 2004). The Homo ergaster and Homo erectus Debate There is great debate as to whether Homo ergaster and Homo erectus are one species or two. Some refer to H. ergaster as the “early” H. erectus. Their differences are largely geographical: H. ergaster is associated with Africa and H. erectus with Asia. Yet some researchers have concluded that H. ergaster and even H. habilis should be referred to as H. erectus . Whether to lump or split the diverse species in the genus Homo is an ongoing challenge in the scientific community. While there are some anatomical differences between H. erectus and H. ergaster , they are fairly minimal. Homo erectus (left) has a sagittal keel (ridge on top of head), a shorter forehead, and a different-shaped skull than Homo ergaster, seen on the right. (credit: (left) kevinzim/Wikimedia Commons, CC BY 2.0; (right) Reptonix free Creative Commons licensed photos/Wikimedia Commons, CC BY 3.0) The diversity and number of evolutionary changes seen in H. erectus indicate that H. erectus set the stage for the arrival of the archaic Homo , which we will cover in the next section. biface tools a type of tool characteristic of the Acheulean tool industry, with both sides worked. handedness the use of a dominant hand, suggests lateralization of the brain and cognitive development. Oldowan tool Industry the oldest and most primitive tool industry; production and use are largely in association with H. habilis. sexual dimorphism differences in physical characteristics other than reproductive organs that appear between males and females of the same species.", "section": "Tools and Brains: Homo habilis, Homo ergaster, and Homo erectus", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Emergence of Us: The Archaic Homo Learning Objectives By the end of this section, you will be able to: Describe the context, time frame, and key anatomical characteristics of archaic Homo. Explain the potential environmental conditions that led to evolutionary change in anatomy and material culture seen in archaic Homo . Compare and contrast the current hypotheses regarding the extinction of the Neanderthal. Defining the Archaic Homo There is no universal consensus on what is included within the term “archaic Homo .” The term is used as an umbrella category encompassing all the diverse Homo species after H. erectus . Hominin species classified as archaic Homo typically have a brain size averaging 1,200 to 1,400 cc, which overlaps with the range of modern humans. Archaic Homo are distinguished from anatomically modern humans by the characteristics of a thick skull, prominent supraorbital ridges (brow ridges), and lack of a prominent chin. Archaic Homo are viewed as transitional between H. erectus and H. sapiens and display many overlapping and varied traits. It has been proposed that archaic Homo may have been the first species to use language, based on the size of their brains and the fairly large social groups they lived in. Archaic Homo species as presented here will be divided into two groups: the Early Archaic (800–250 KYA) and the Late Archaic (300–30 KYA). Early Archaic Homo Homo antecessor Homo antecessor has been found in Spain, France, and England and dates to around 1.2 MYA to 800 KYA. These specimens represent the oldest fossil evidence for the presence of the genus Homo in Europe. Some scientists have suggested that this species is the ancestor of Homo heidelbergensis , while others suggest that H. antecessor is the descendent of H. ergaster . Homo antecessor was first found at the Sima de los Huesos site of the Sierra de Atapuerca region in Spain. Within this site is a cave known as the Pit of Bones , where more than 1,600 fossils of 28 individuals have been found that date at or before 780,000 years ago. The site is an important one that stretches over a long period of time and displays the emergence and divergence of various Homo physical characteristics that later appear in the Neanderthal. Evidence from nuclear DNA suggests that early hominins at this site were related to the Neanderthal and not the Denisovans , indicating divergence earlier than 430,000 years ago (Meyer et al. 2016). The section on the Neanderthal will explore further the interbreeding and divergences of the Neanderthal, Denisovans, and modern Homo sapiens . Homo antecessor was almost six feet tall and males weighed about 200 pounds, well within the range of variation for modern humans. Other anatomical features of this species include a protruding occipital bun (a bulge found in the occipital area of the skull), a low forehead, no strong chin, and a cranial capacity of about 1,000 cc. It has been suggested that the purpose of the occipital bun is to balance the weight of the anterior portion of the skull and face. One very modern trait exhibited by this species is the presence of a facial depression above the canine tooth called the canine fossa , which is also found in modern humans. The best-preserved fossil is a maxilla (upper jawbone) of a 10-year-old individual. In addition to the fossil bones, 200 stone tools and 300 animal bones were also found at Gran Dolina , another location at the Atapuerca site, along with a carved stone knife. Stone tools at this site were predominantly Oldowan style and constructed from local raw materials. Tools included cutting flakes and hand-held cores. It has been suggested that the absence of retouched tools at this site indicates that these tools were created primarily for processing and eating meat. Cutmarks are present on the majority of animal remains. One of the most intriguing observations about this site is that there are numerous large animal carcasses (mostly deer) that are believed to have been transported to the site rather than consumed where they were killed. Some scientists have suggested that the practice of bringing food back to the site is evidence of social cooperation, suggesting both a division of labor and a custom of food sharing. Many of the bones of Homo antecessor show the same evidence of cutmarks as the animal bones, indicating that flesh was removed from the bones with the goal of dismemberment. Some scientists have taken this to mean that H. antecessor practiced cannibalism. However, humans have also been known to remove the flesh from bones during funerary rites. Whether the cutmarks made by H. antecessor represent cannibalism, a funerary rite, or another yet unknown practice is still being debated. Homo heidelbergensis Homo heidelbergensis is an incredibly variable group. Many archaic Homo species are included in this group because they possess features that can best be described as a mosaic between H. ergaster, H. erectus , and anatomically modern humans (AMH). This section looks at just a few of the specimens that are regularly attributed to Homo heidelbergensis. One of the most important Homo heidelbergensis specimens is known as Mauer . It was found in 1907 in Germany and is represented by a mandible (lower jaw) that is dated to approximately 600,000 years ago. It has a robust mandible and a receding chin like earlier Homo ergaster but has very small molars like anatomically modern H. sapiens . The jaw is so big and the teeth are so small that there is plenty of space for additional teeth to develop behind the wisdom teeth. Given that the third molar (the wisdom tooth) has already erupted, it has been suggested that this individual was between 20 and 30 years at death. This jawbone from a Homo heidelbergensis specimen was found in Germany in 1907 and is dated to approximately 600,000 years ago. (credit: Gerbil/Wikimedia Commons, CC BY 3.0) Another important specimen of Homo heidelbergensis is known as the Petralona cranium. It was found in 1960 in Greece. Dates are uncertain but believed to be in the range of 100,000 to 700,000 years. Animal fossils found with the specimen indicate Petralona is between 350,000 and 200,000 years old. It combines Homo ergaster –like traits, such as massive brow ridges and thick cranial bones, with a cranial capacity of 1,200 cc, which is similar to anatomically modern H. sapiens . A third specimen of Homo heidelbergensis is known as Bodo . It is very possibly the oldest archaic human specimen from Africa and was found in Ethiopia in 1976. It is dated to approximately 600,000 years and has a relatively large cranial capacity of 1,250 cc, which is again within the range of variation for modern humans. It is a robust cranium with very thick bones and two separate brow ridges. Homo heidelbergensis Technology and Culture Bodo is associated with Acheulean bifacial hand axes. Some scientists have suggested that Bodo butchered animals because Acheulean hand axes have been found with animal bones. There are cutmarks on the Bodo cranium that resemble those made by cutting fresh bone with stone tools. It has been suggested that the Bodo cranium is the earliest evidence of the removal of flesh immediately after death using a stone tool. The cutmarks were made symmetrically and with specific patterns on the cranium, which is interpreted as strong evidence that the defleshing was done purposefully for funerary practices. Once again, others have suggested that the cutmarks indicate that Bodo may have been practicing cannibalism. In addition to their use of stone tools from the Acheulean tool industry, Homo heidelbergensis is also believed to have used spears . The earliest known spears have been found in Schöningen, Germany, and are dated to about 400,000 years ago. The spears were made either from spruce or pine wood and are believed to have had a range of about 35 meters. Probably the most important technological achievement evident in these spears is the use of hafting technology. Hafting involves attaching stone points to a handle made of another substance, such as wood, metal, or bone. The spears found at Schöningen represent one of the first known instances in which hominins united separate elements into a single tool. Hafting gives stone tools more utility, as they can now be thrown (as with a spear), shot (as with an arrow), or used with more leverage (like an axe). These hafted stone points are able to be used with increased force and effectiveness, allowing people to hunt and kill animals more efficiently. This increased efficiency in hunting and killing animals is believed to have created a situation in which H. heidelbergensis had regular access to meat and other high-quality foods. Some have suggested that the presence of spears represent evidence that H. heidelbergensis could hunt herd animals that can run faster than a human, and that they had sophisticated hunting strategies requiring cognitive skills like anticipatory planning. Like Homo ergaster and Homo erectus, Homo heidelbergensis occupied both caves and open-air sites. However, they did not just use the sites as is, they modified them. One of the most interesting aspects of the cultural behavior of Homo heidelbergensis is that they are associated with clear archeological evidence for modified dwellings. For example, in the Czech Republic there is a modified dwelling that consists of a stone foundation that is approximately 700,000 years old. Most likely, this dwelling had a roof constructed of thick branches. Other modified dwellings have been found in Germany and France. Evidence of controlled fire has been found at most reasonably preserved Homo heidelbergensis sites. The oldest established continuous fire site for Homo heidelbergensis is from Israel and is dated to around 780,000 years old. Phylogenetic tree and proposed migration routes of genus Homo heidelbergensis and later Denisovans and Neanderthals. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Late Archaic Homo Homo naledi : A Rising Star The most recently described archaic Homo is known as Homo naledi . They were found in the Rising Star cave system in South Africa in 2013 and 2014 (Figures 5.14–5.15) and are dated to approximately 235,000–335,000 years old. Over 1,500 bones from as many as 15 individuals were recovered from the cave, which is possibly the largest assemblage of a single hominin species yet discovered. Despite their relatively recent date, they have exceptionally small cranial capacities, comparable to the robust and gracile australopithecines, which are around 560 cc. The encephalization quotient of H. naledi is estimated at 4.5, which is the same as H. floresiensis but notably smaller than all other Homo (contemporary Homo are all above 6). The presence of this small-brained hominin at the same time that Neanderthals and Homo heidelbergensis were around is further evidence that multiple hominin lineages were coexisting and evolving at the same time. The classification of H. naledi proved to be a challenge, as the specimens presented a mosaic of traits and characteristics associated with an array of other hominin species. Maps showing the location of the Cradle of Humankind World Heritage Site in South Africa, where Homo naledi fossils were found in the Rising Star cave system. (credit: Hawks et al. (2017), eLife , CC BY 4.0) The Rising Star cave system, showing geological features and the location of the excavation area where numerous Homo naledi specimens have been found. (credit: Paul H. G. M. Dirks et al. (2015), eLife /Wikimedia Commons, CC BY 4.0) H. naledi skulls. It is apparent in these images that this species had rather pronounced prognathism (Credit: John Hawks, Marina Elliott, Peter Schmid et al. (2017), eLife/Wikimedia Commons, CC BY 4.0) H. naledi feet were much like those of modern humans. (credit: W. E. H. Harcourt-Smith, Z. Throckmorton, K. A. Congdon, B. Zipfel, A. S. Deane, M. S. M. Drapeau, S. E. Churchill, L. R. Berger & J. M. DeSilva (2015)/Nature Communications/Wikimedia Commons, CC BY 4.0) The hands of H. naledi display curved finger bones and large thumbs, indicating that it still had an adaptation for climbing trees. (credit: Lee R. Berger et al. (2015), eLife/Wikimedia Commons, CC BY 4.0) Comparison of some of the most commonly known Homo species (credit: Chris Stringer, Natural History Museum, United Kingdom (2015), eLife/Wikimedia Commons, CC BY 4.0) Homo naledi : Did They Bury Their Dead? Homo naledi has not yet been found in association with any stone tools. Despite a lack of established tool use, there is fairly convincing evidence that H. naledi may have used the cave system as a place to bury their dead. The hypothesis that H. naledi had a ritualistic mortuary practice is based on several observations, such as the bones appearing to lack evidence of gnawing marks from predators and the lack of evidence of layers of sediment that would suggest the bones were deposited by flooding (Dirks et al. 2015). In 2017 additional fossil remains were found in a second chamber in the Rising Star cave system (Hawks et al. 2017), but these remains don’t as yet appear to offer additional evidence to support the hypothesis of an intentional burial. Some scientists believe that there is insufficient evidence to conclude that H. naledi were involved in funerary ritual practices. They have noted that the preservation of H. naledi specimens are similar to that of cave-dwelling baboons that have died natural deaths. At Sima de los Huesos , remains of about 28 Neanderthal and H. heidelbergensis fossils were found in a cave dated to about 430,000 years ago. Researchers who examined the scattering patterns of the remains at both the Rising Star cave system in Africa and the Sima de los Huesos site in Spain (Egeland et al. 2018) concluded that the sites showed evidence of having been scavenged but that this doesn’t disprove the possibility that they may also be deliberate burials. The verdict is still out on this. Lee Berger and other scientists are conducting further investigations of the H. naledi skeletal deposits to further explore the possibility they might be evidence of something more deliberate than the actions of predators. Rethinking the Neanderthal Homo neanderthalensis The word “Neanderthal” might conjure up stereotypical images of a brutish caveman-like creature holding a club in one hand and dragging supper with the other. No one said entertainment had to be scientifically accurate, but media can create false perceptions and stereotypes about the past. This section takes a closer look at who the Neanderthal people were and the role they played in the human story. Distribution map of Neanderthal sites. The red squares mark locations of Neanderthal remains and the shaded area represents the supposed territory of Neanderthal people in Europe and Asia. (credit: modification of work Neanderthal distribution by Berria/Wikimedia Commons, CC BY-SA 4.0) Neanderthals have been found only in regions of Europe and the Middle East and are dated to between about 400,000 and 40,000 years ago. The first fossils, which were found in the Neander Valley, were believed to be the remains of an extinct kind of human. The Germans called them the Neanderthals, the people of the Neander Valley. The Neanderthal skull on the left is noticeably different from the H. sapiens skull on the right. (credit: (left) Jose-Manuel Benito/Locutus Borg/Wikimedia Commons, Public Domain; (right) “Image from page 27 of “Human physiology” (1907)” by Furneaux, William S/Internet Archive Book Images/flickr, Public Domain) Neanderthals possess several distinctive anatomical characteristics: the skull and brain is larger than that of humans, with an average size in Neanderthals of 1,520 cc compared to modern humans’ 1200–1400 cc. Does the Neanderthal’s larger brain size mean that it was more intelligent than modern humans? As mentioned earlier in this chapter, while there does seem to be a correlation between brain size and complex cognitive skills, the brain in some hominins may have been organized differently than that of modern humans, with different anatomical areas of the brain emphasized. It is believed that in the Neanderthal brain, the frontal region, which is the center of speech and language, was less developed, while the back of the brain, which deals with the senses, was more developed. This greater development in the back area of the brain could be a survival adaptation found in Neanderthals who had to hunt in often harsh and difficult conditions. Philip Lieberman , a cognitive scientist at Brown University, argues that Neanderthals lacked the anatomy necessary for humanlike speech. He drew this conclusion based on a reconstruction of a Neanderthal throat, which indicated that the neck could not accommodate the vocal apparatus of modern humans (Lieberman,P. 2007). While there is evidence of a hyoid bone, a small horseshoe-shaped bone in the front of the neck, that would have been able to anchor the tongue muscles, other anatomical evidence suggests that the larynx in Neanderthals was placed high in the throat. A highly placed larynx limits an animal’s ability to produce many sounds, such as vowels. In humans, the larynx is positioned further down into the throat. The Neanderthal has been determined to have possessed the gene FOXP2 , which is linked to the ability to understand complex language, but the verdict is still out as to whether they were able to produce complex language. It is believed by some researchers that the ability to produce complex speech gave H. sapiens a significant edge over the Neanderthal. Other skull characteristics of the Neanderthal include an occipital bun at the back of the skull (as also seen in H. antecessor and H. erectus ), large brow ridges (which are not solid bone and create an air cavity), a large nasal cavity, and incisors that show a rounded pattern of wear, especially in older individuals. Their large front teeth typically show excessive wear. Chipping and pitting on the incisors are believed to have been caused by chewing on leather. The postcranial bones show that they had a broad scapula, which indicates that their rotator cuff muscles were well developed. They possessed a robust humerus with a massive head and the ability to rotate their arms, which suggests they were capable of throwing projectiles and using spears. Some of the best-known Neanderthal specimens come from a place called Shanidar Cave in Iraq. Within this cave, various skeletal remains of eight individual Neanderthals were found. These remains are identified as Shanidar 1–9 , which were discovered between 1957 and 1961, and Shanidar 10 , which was discovered in 2006. Nearly all the skeletal remains show some evidence of trauma, suggesting that hunting was risky business. At various Neanderthal sites it has been observed that men and women exhibit similar cranial injuries, suggesting that women might have also engaged in hunting activities. However, the number of injuries in women were significantly fewer than those found in men (Beier et al. 2008). In a comparative study, it was established that during the Upper Paleolithic, modern H. sapiens sustained similar injuries as the Neanderthal, but interestingly, these injuries were less likely to result in death (Beier et al. 2008). Shanidar 3 features a 40-to-50-year-old Neanderthal man who suffered a rib injury, potentially as the result of an encounter with an animal, and suggests healing as a result of care from others. Shanidar 1, called the “Old Man” (30–45 years old was old in Neanderthal terms), had multiple traumas to his body, one of which resulted in blindness in one eye. He was also missing the lower part of his right arm and hand, which suggests the earliest amputation on record. Although he did heal from this amputation, it may have left him paralyzed on the right side of his body. He also had no teeth. It is believed he was kept alive by taking food that had been chewed by others for him. There is evidence of many of these individuals healing from their injuries, which suggests that compassion and a sense of social responsibility for disabled members of the community existed. This cave is the site of the Shanidar 4 Neanderthal flower burial site. Evidence found here and at other sites indicates that the Neanderthal practiced intentional burials of their dead. (credit: “Shanidar Cave, Iraqi Kurdistan” by Sammy Six/flickr, CC BY 2.0) The Flower Burial Hypothesis The remains found at Shanidar 4 in Iraq suggest that the Neanderthal practiced intentional burials , or deliberate placing of the dead in a ritualistic manner. At Shanidar 4, the individual is placed on his left side with his legs drawn up in a flexed position. Pollen analysis of the soil surrounding the corpse suggests that spring flowers had been placed in the grave, possibly indicating that the Neanderthal had a belief in an afterlife and established mortuary practices. However, there has been a lot of debate as to whether there is sufficient evidence to conclude that the pollen found at some of the Neanderthal sites was a result of ritualistic placement of flowers. Opposing hypotheses propose that the pollen was brought into the cave and deposited by burrowing rodents (Sommer 1999). In spite of these counterclaims, the consensus supports the theory that the Neanderthal did practice intentional burials. This is largely based on evidence such as the careful placement of bodies in specially dug shallow pits. Recent research at both Shanidar Cave and other sites now support the claim that the Neanderthal did practice ritual and intentional burial. This reconstruction of a Neanderthal grave is housed in the Israel Museum in Jerusalem. (credit: “Neanderthal Burial, Cast” by Gary Todd/flickr, Public Domain) Neanderthal Creativity and Material Culture Neanderthals have been labeled, perhaps unjustly, as a species with a limited ability to communicate in symbolic or abstract forms. Until recently, the Neanderthal had been assumed to lack the cognitive skills associated with the practice of ritual and art. However, cave paintings discovered in Spain in 2012 by Alistair Pike, an archaeologist at the University of Southampton, UK, challenge that assumption. These paintings, which have been dated to around 65,000 years ago, before the arrival of H. sapiens in the region, have been determined to be the creative works of the Neanderthal and are currently considered the oldest cave art ever found. This discovery may change what people have previously thought about Neanderthal cognition and their ability to express symbolic thought. It should be acknowledged that the ability to depict the world evident in these paintings does not compare with that in the artwork from H. sapiens sites like Chauvet and Lascaux in France (to be discussed later in this chapter). Neanderthals created more technologically advanced tools than those produced by H. erectus and seen in the Acheulian tool industry. The tool industry associated with the Neanderthal hominins is called the Mousterian tool industry or the Middle Paleolithic tool industry. Archeological sites that date to the Neanderthal period are dominated by flake tools . This means that the Neanderthal struck flakes from cores and then used the flakes as their tools instead of the core. This resulted in smaller and sharper tools with increased utility. What Happened to the Neanderthal? What Gave Modern Humans the Edge? The Neanderthal went extinct around 35,000 to 50,000 years ago. There have been various hypotheses as to what caused this, many connected to the fact that Neanderthal coexisted with H. sapiens in regions of Europe and Asia for an estimated 2,600–5,400 years. These hypotheses include an inability to adapt to a changing climate and colder temperatures, the spread of disease, competition for food with H. sapiens , and even aggressive takeover by the H. sapiens , who may have been better able to adapt to environmental changes due to more complex technology and language skills. Another theory points to evidence that the Neanderthal tended to live in small, scattered groups with limited genetic diversity and low birth rates, which potentially impacted the ability of the Neanderthal to be competitive. A low gene pool can result from reduced birth rates and low survival rates of young children. New genetic evidence shows that the Neanderthal were genetically less diverse and more isolated than H. sapiens. And then some argue that the Neanderthal didn’t go extinct at all because some people still have Neanderthal genes in them. Are You a Neanderthal? Recent genetic evidence indicates that human-Neanderthal interbreeding was happening as far back as 125,000 years ago. From one Neanderthal toe bone found in the Denisova cave in Siberia Russia, the Max Planck institute has been able to produce a whole genome which revealed evidence of inbreeding amongst the Neanderthal, along with interbreeding with their cousins the Denisovans (discussed further in next section), as well as a mystery yet to be identified species, as well as Homo sapiens (Pennisi, E., 2013). The genetic evidence is most prominent in people of East Asian descent, accounting for between 2.3 percent and 2.6 percent of their DNA. Various mutations and diseases are linked to this Neanderthal DNA , including diabetes, addictions, depression, allergies, and Crohn’s disease. One study suggests that Neanderthal genes gave people some level of protection from getting a severe case of COVID-19 (Huber, J., 2018), although a later study (Zeberg and Pääbo 2020) proposes that Neanderthal genes may have increased the risk of respiratory failure as a result of the COVID-19 virus. Such differences may have to do with different genetic clusters in Neanderthal populations in different geographical regions (Mortazavi et al. 2021). Neanderthal genes are believed to have provided immunity to some viruses that H. sapiens, arriving from Africa, would not have had time to build up an immunity against. On the reverse side, H. sapiens may have brought diseases from Africa that the Neanderthal did not have resistance to, possibly playing a role in their extinction. As Janet Kelso , a computational biologist at the Max Plank Institute for Evolutionary Anthropology, states, “Viral challenges, bacterial challenges are among the strongest selective forces out there” (Akst, 2019). The Denisovans The Denisovans, like Homo naledi , are archaic Homo . There are not a lot of specimens—just one finger bone, three teeth, some long bone fragments, a partial jawbone, and a parietal bone skull fragment. Because of this lack of evidence, very little is known of their anatomical features. Some of the specimens come from Denisova Cave in Siberia, Russia, and are dated to between 500,000 and 30,000 years ago. These dates are arrived at based on the few fossils that exist, inferences made from genetic studies, and sediment analysis. More recently another specimen was found on the Tibetan plateau. In 1980 a jaw and two teeth were uncovered in the Baishiya Karst Cave by a monk, but it wasn’t until 2010 that scientists were able to study the jaw. Dating placed the specimen at approximately 160,000 years ago. Protein analysis determined the jaw to be of Denisovan origin and from a member of a population who were most likely well adapted to living in high altitudes (Chen et al. 2019). Because so few bones have been found, most understanding of this species comes from genetic analyses. According to nuclear DNA studies, Denisovans and Neanderthals were more closely related to each other than they were to modern humans. DNA evidence suggests that the Denisovans interbred with modern humans and with local Neanderthal populations over multiple time periods. Tracing the male Y chromosome, one study indicated that interbreeding between early humans and Neanderthals actually replaced the ancient Denisovan Y chromosome once found in Neanderthals. The time of divergence of the Denisovan is estimated to be around 700,000 years ago, with modern humans diverging from the Neanderthal around 370,000 years ago (Petr et al. 2020). H. heidelbergensis is typically considered to have been the direct ancestor of both Denisovans and Neanderthals, and sometimes also of modern humans. One specimen is a first-generation hybrid, Denisova 11 —nicknamed “ Denny ”—that had a Denisovan father and a Neanderthal mother (Slon et al . 2018). Denisova 11 was found in Denisova Cave in Russia and provides evidence that Late Pleistocene Homo species interbred when the groups met. Comparison of the DNA of these three groups suggest that most modern-day Europeans and Asians inherited about 1–4 percent of their DNA from Neanderthals, with no Denisovan ancestry in Europe and 0.1 percent in China. The genetics found in Tibetans, Melanesians, and Indigenous Australian are currently being challenged; originally, they were thought to be about 3–5 percent Denisovan and 2.74 percent Neanderthal. Statistical geneticist Ryan Bohlender and his team have investigated the percentages of extinct hominin DNA in modern humans. They concluded that Neanderthals and Denisovans are not the whole story and that there could be a third group yet unknown contributing to the Pacific Islander genome (Rogers, Bohlender, and Huff 2017). Statistical and genetic evidence can serve as indicators of the existence of a group for which no fossils have yet been found. These are referred to as ghost populations . For example, there are indications that 2–19 percent of the DNA of four West African populations may have come from an unknown archaic hominin that split from the ancestor of humans and Neanderthals between 360 KYA and 1.02 MYA (Durvasula and Sankararaman 2020). The hypothesis of a third lineage in the genus Homo appears to have received further confirmation with a discovery in China. New Homo Genus Discovery Homo longi, or Dragon Man Recently a new archaic Homo fossil surfaced in Harbin, China, dated to about 146,000 years ago (Ji et al. 2021). Given the name H. longi , it has also been called “ Dragon man ” as its origins were determined to be in the province of the Black Dragon River. The fossil (referred to as the Harbin cranium) was donated to the Hebei GEO University museum after being hidden away in a well in the 1930s during the construction of a railway bridge. The verdict is still out as to whether H. longi represents a lineage of the Denisovans or a new species, but it is clear it was robust and able to adapt to one of the coldest regions of China. It had a large brain, thick brow ridges, and fairly large teeth, similar to what is found in the Denisovans. Regional Evolutionary Adaptations: Homo floresiensis The Hobbit of Flores Homo floresiensis , also known as “the Hobbit” or “Flores Man,” was discovered on the island of Flores in Indonesia in 2003. The species has been dated to approximately 100,000–60,000 years ago. What was surprising about this species is its size. An adult individual stood about 3 feet 7 inches tall. Liang Bua, the cave where H. floresiensis was found, shows evidence of the use of fire for cooking and contains bones with cutmarks. Since the initial discovery, partial skeletons of nine individuals have been found. H. floresiensis , like the earlier hominins, did not possess a chin, and its leg bones are thicker than those of modern humans. They had flat feet that were relatively long in comparison to the rest of their bodies. As a result of these anatomical differences, it is believed that their bipedalism was quite different from that of modern humans, with a high stepping gait and slower walking speed. H. floresiensis also had substantially more mobility in the elbow joint, which suggests that they were tree climbers. Their small brain size is not believed to have affected their intelligence. This challenges the view that larger cranial capacity equals higher cognitive skills. Although H. floresiensis has a brain size of just 380 cc, equal to the size of an orange, evidence indicates that they made tools, used fire, and hunted very much like H. erectus. The brain of H. floresiensis does contain a Brodmann area, which is associated with cognitive abilities, that is the same size as that found in modern humans. Some have suggested that H. floresiensis is a sister species of Homo habilis that branched off before or shortly after the evolution of Homo habilis. Other hypotheses suggest that they were the descendants of H. erectus who became stranded on the island after arriving via water, possibly on bamboo rafts. Another Homo species similar in size to H. floresiensis was H. luzonensis , found on the island of Luzon in the Philippines and dated to at least 50,000–67,000 years ago. H. luzonensis displays a hybrid of australopithecine traits (including curved hands and feet) and Homo characteristics, yet lived alongside modern H. sapiens . Clearly the genus Homo is more diverse and complex than was originally thought, especially within the special evolutionary pressures of island environments. This H. floresiensis skull is on display at the Naturmuseum Senckenberg, a Natural History Museum in Germany. (credit: Daderot/Wikimedia Commons, Public Domain) Island Dwarfism as an Evolutionary Explanation Numerous hypotheses have been proposed to account for the small brain size found in both H. floresiensis and H. luzonensis. One initial theory was that H. floresiensis had microcephaly, which is a genetic condition creating an abnormally small head. This was discounted as an explanation once additional specimens were found exhibiting the same size. Perhaps the most convincing explanation is an evolutionary theory called island dwarfism , which notes that the evolutionary pressures on islands can be very different from those found on the mainland. Island dwarfism posits that mainland small animal species that colonize islands might evolve larger bodies if the island does not contain key predators. On the other hand, larger species may become smaller due to more limited resources in an island environment. According to the island dwarfism hypothesis, H. erectus made its way to Flores, where its descendants became isolated and grew progressively smaller to make the most of limited resources in the island environment. This theory is supported by the fact that there are unique sizes displayed by other animals found with H. floresiensis , including a dwarf species of primitive elephant called a Stegodon . As H. floresiensis ’s body shrank, its brain may have undergone “neurological reorganization” to fit a smaller cranial space while maintaining its brain-to-body ratio. The only potential large predator that may have been a threat to H. floresiensis was the Komodo dragon, which ate most of the large mammals on the island. Nevertheless, predation pressures for the little people were likely quite low—that is, until H. sapiens arrived. The Emergence of Us: Homo sapiens Modern H. sapiens first appeared about 200,000 years ago in Africa. Anthropologists generally classify these people as “anatomically modern H. sapiens ,” which is a way of noting that while their bodies are the same as modern humans, they had not yet developed the cultural traditions, symbolic behaviors, and technologies that are seen among later H. sapiens, including people of today. Probably the most defining feature of anatomically modern H. sapiens is their chin. Modern H. sapiens is the first hominin to exhibit a projecting chin. One of the most common explanations for this anatomical feature is that the chin evolved in response to human speech and protects the jaw against stresses produced by the contraction of certain tongue muscles. Sometime around 40,000 years ago there was an abrupt change in tool technology, subsistence patterns, and symbolic expression among H. sapiens. These changes seem to have occurred almost simultaneously in Africa, Asia, Europe, and Australia. While there is evidence of some creative artistic activity in earlier groups like the Neanderthal, they were not on the same scale as that seen during the Upper Paleolithic, which is also referred to as “ the human revolution .” The level of cultural changes associated with this period has been compared to the level of change that occurred during the Industrial Revolution of the 19th century. Among these changes, H. sapiens began assembling a much more elaborate tool kit by constructing tools from a wider variety of materials including antler, ivory, and bone. During the Upper Paleolithic, humans shifted from the manufacture of round flakes to the manufacture of blade tools . This construction method is known as the blade tool industry . Blades are stone flakes that look like a modern knife blades—they are long, thin, and flat, and they have a sharp edge. They have a much longer cutting edge than flakes do and are thus more efficient than older technologies. The prepared-core technique of the Mousterian that provided pre-shaped flakes was refined and extended to create pre-shaped blades. This Upper Paleolithic burin tool has a much longer cutting edge than anything that came before it and was much more efficient than previous technologies. (credit: “Large Knife Upper Paleolithic or later 35000-3900 BCE Africa” by Mary Harrsch/flickr, CC BY 2.0) Over the 23,000 years of the Upper Paleolithic, there were many distinctive tool industries within the larger category of the blade tool industry, including the Aurignacian, Gravettian, Solutrean, and Magdalenian. The most significant tool during the Upper Paleolithic was the burin . The burin is a narrow-bladed flint capable of scraping narrow grooves in bone. Scraping two parallel grooves would allow a sliver of bone to be detached as stock for a needle, pin, or awl. The Gravettian tool industry lasted from approximately 33,000 to 22,000 years ago. During this tool industry, there are many instances of animal remains being used for both decorative and traditional tool purposes. For example, the teeth of arctic foxes were used for decoration, while their arm bones were used as awls and barbs. Some animal bones such as mammoth tusks and bones were used to not only create tools, but also to make art, as seen in the Lion figurine in . This figurine could be the earliest example of a figure having both human and animal characteristics, a form often associated with shamans or priests. Some have proposed that the “lion man” is actually a woman due to the lack of a lion mane. An ancient figurine of a lion sculpted from a mammoth’s tusk. This figure was discovered in a German cave in 1939 and dated to around 40,000 years ago, making it one of the oldest figurative sculptures yet discovered and the earliest example of an animal-shaped figurine. (credit: JDuckeck/Wikimedia Commons, Public Domain) The Solutrean tool industry utilized tool-making techniques not seen before. It produced finely worked bifacial points made with lithic reduction percussion rather than flint knapping. Lithic reduction is the process of fashioning stones or rocks into tools or weapons by removing some parts. The lithic core, such as a partially formed tool or naturally formed rock, is held in one hand and struck with a hammer or percussor with the other hand. As flakes are detached, the original mass of stone or lithic core is reduced. In addition to stone tool innovations, the Solutrean is characterized by the appearance of the atlatl , or spear thrower. An atlatl is a long stick used to propel a spear or dart. Functioning as an extension of the arm, this stick of wood or antler added kinetic energy, and therefore range, to a short spear tipped with flint or bone. The earliest archeological evidence for this tool innovation comes from France, where a 17,500-year-old atlatl was found constructed out of reindeer antler. It is believed that the atlatl was used by humans to hunt large fauna. Contemporary man using an atlatl, a tool for launching a spear or a dart that is at least 17,500 years old. (credit: “Atlatl throwing demonstration” by Hannah Schwalbe/NPS/flickr, Public Domain) By 17,000 years ago, the Solutrean tool industry was replaced by a new tool industry known as the Magdalenian tool industry . During this period, bone and ivory continue to be used, as well as stone. Unlike Mousterian tools, Solutrean tools are made not only from nearby rocks, but also from rocks that have been transported over relatively long distances. Keep in mind that this required not only transporting the selected rocks, but also finding and extracting them. The Gravettian tool industry is best known for carved Venus figurines portraying a woman, typically made from ivory or limestone. Most figurines have small heads, wide hips, and large breasts. Most researchers believe that they served a ritual or symbolic function. Some have suggested that they represent an expression of health and fertility. Venus of Hohle Fels figurine. This figurine is considered to be the earliest known depiction of a human being in prehistoric art. (credit: Anagoria/Wikimedia Commons, CC BY 3.0) During the Upper Paleolithic, H. sapiens created a great deal of cave art. More than 350 cave painting sites have been discovered, the majority located in France and Spain. Cave art seems to have been created continually from 40,000 to 10,000 years ago and then disappeared around 10,000 years ago, likely due to climate change. As temperatures increased, underground shelters were gradually replaced by surface settlements. The most well-known cave sites in France are the Chauvet (32,400 years ago) ( ) and Lascaux Caves (17,000 years ago). The art in both caves features common subjects, such as bison, horses, and deer, as well as tracings of human hands. Most of the animals depicted were commonly hunted but were not always found with associated deposits of bones. The cave art produced during the Upper Paleolithic show a level of sophistication and even sacredness not seen previously in human history. These drawings of lions from the Chauvet Cave in France are dated to 32,400 years ago. (credit: HTO/Wikimedia Commons, Public Domain) Handprints found in the Cuevas de las Manos upon Río Pinturas, near the town of Perito Argentina. Hand stencils on cave walls have been found in many locations around the world. (credit: “SantaCruz-CuevaManos-P2210651b” by Golan Levin/flickr, CC BY 2.0) Cave paintings were made with natural pigments created by mixing ground-up elements, such as dirt, red ochre, hematite, manganese oxide, and animal blood, with animal fat and saliva. Paint was applied using twigs formed into brushes and blow pipes made from bird bones, through which paint was sprayed onto the cave wall. Hand stencils on cave walls can be found in many locations around the world including Africa, Argentina, Europe, and Australia. Anthropologist Dean Snow (2013) conducted research at eight cave sites in France and Spain to determine who the artists might be. Based on calculated measurements of the handprints, he concluded that 75 percent of the ochre stenciled handprints in the Paleolithic caves were made by women. Acheulean tool industry the production of more complex tools, including hand axes, by H. erectus from 1.6 million to 200,000 years ago. archaic Homo the period of time that precedes the emergence of the earliest early modern humans ( Homo sapiens ) around 300,000 years ago. canine fossa a facial depression above the canine tooth found in modern humans. ghost population proposed group for which no fossil evidence has yet been found. hafting the process of attaching stone points to a handle, which increases a tool’s effectiveness for hunting. intentional burials evidence of placing the dead in a specific manner, suggesting ritualistic practice. island dwarfism mainland small animal species that colonize islands might evolve larger bodies if the island does not contain key predators. On the other hand, larger species may become smaller due to more limited resources in an island environment. lithic reduction the process of fashioning stones or rocks into tools or weapons by removing some parts. Mousterian tool industry a complex stone tool technology largely associated with the Neanderthal. occipital bun an anatomical feature seen in the Neanderthal skull that appears in the rear of the skull.", "section": "The Emergence of Us: The Archaic Homo", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Tracking Genomes: Our Human Story Unfolds Learning Objectives By the end of this section, you will be able to: Describe how mtDNA sheds light on early human migrations and explain the Out of Africa model. Explain how studying the genomes and coevolution of lice can fill current gaps in the human fossil record. Describe the origin of human variation from an evolutionary perspective. Mitochondrial Eve Begun in 1990 and concluding in 2003, the Human Genome Project was an ambitious international effort that sequenced about 99 percent of the human genome with an accuracy of 99.99 percent. Genetics has thus far largely confirmed the Out of Africa theory , which proposes that early humans left Africa around 100,000 years ago and migrated to diverse areas of the world. When early humans left Africa and moved into Europe, they not only lived alongside but also interbred with non-African species such as the Neanderthal, who were already inhabiting the region. Molecular anthropologists have an interest in determining when living human populations began diverging from one another. This has been difficult to do using nuclear DNA because it mutates much too slowly for measurable accumulations to occur in 200,000 years. Many of the genetic studies that have been conducted are thus based on genetic material carried in the mitochondria (mtDNA) , which are passed on maternally. There is no recombination in mtDNA, so unless the mitochondria carries a novel mutation, a child has exactly the same mitochondrial genes as its female genetic contributor (which may be its mother, egg donor, or someone in a similar genetic relationship). The mitochondria of every living person is a copy, modified only by rare mutations, of the mitochondria passed down via matrilineal descent from a population in our ancient past. This population is referred to as Mitochondrial Eve or mtMRCA (mitochondrial most recent common ancestor), believed to have lived in southern Africa 100,000–200,000 years ago. As discussed in Chapter 4, the longer ago two populations share a common ancestor, the more time there is for mutations to occur and for adaptations and change to take place. Although genetic variation is small among the world’s human populations, it is greatest in Africa. This indicates that the human populations in Africa have the longest established genetic lineage. While multiple hypotheses exist as to human origins and new evidence could change the current views, the consensus is an Out of Africa model traced back to the matrilineal descent of a population living in Africa about 200,000 years ago. How the Genome of Lice Can Fill in the Gaps While perhaps not a pleasant thought, lice have long been a part of human history. Studying the coevolution relationship between humans and lice has shed much light on human story. Dr. David Reed , the Curator of Mammals and Associate Director of Research and Collections at the University of Florida Museum, has been studying the coevolution of humans and lice, an area of research that has developed only within the last 20 years. Reed’s groundbreaking research has the potential to fill in some big gaps in humans’ rather sketchy fossil record and provides important data that might have applications in medicine and biology. Two questions that this research has already begun to ask are when did we become less hairy and when did we start wearing clothes. There are three types of lice associated with humans: (a) crab or pubic louse; (b) body louse; (c)) head louse. The coevolution of humans and lice is a developing area of research. (credit: (a) Noizyboy1961/Wikimedia Commons, CC BY 4.0; (b) Janice Harney Carr, Centers for Disease Control and Prevention/Wikimedia Commons, Public Domain; (c) Dr. Dennis D. Juranek, Centers for Disease Control and Prevention/Wikimedia Commons, Public Domain) shows three types of lice associated with humans: the head louse ( Pediculus humanus capitis ), the body louse ( Pediculus humanus corporis ), and the crab louse or pubic louse ( Pthirus pubis ). Body lice infest clothing and lay their eggs on fibers in the fabric. Head and pubic lice infest hair, laying their eggs at the base of hair fibers. The human head and body lice (genus Pediculus ) share a common ancestor with chimpanzee lice, while crab lice (genus Pthirus ) share a common ancestor with gorilla lice. By tracking louse variations, scientists have been able to determine when the head louse and pubic louse diverged, enabling estimates as to when we lost our extra hair and when we started to wear clothes. It is interesting to note that the divergence of the genus Pediculus (head and body lice) correlates with the divergence of the human lineage from chimpanzees about six million years ago. Research on lice also provides further support for the Out of Africa model of human migration. Reed has observed that the genome of African lice shows a higher degree of genetic diversity than that of lice found elsewhere in the world, supporting the hypothesis that both humans and lice existed in Africa first. Many hypotheses about what may have triggered the loss of hair in humans point to thermoregulation , the need to control body temperature in extreme conditions. Living in the heat of the savanna, humans needed a cooling mechanism to enable them to be better hunters. Other evidence of adaptation to the heat includes the appearance of sweat glands, which are more numerous in humans than in other primates. Another theory about the cause of the loss of hair among humans suggests that it was an adaptation to control parasites on the body. Did people immediately throw on clothes after losing all of that extra body hair? Reed’s research suggests that the wearing of clothes was not something that happened quickly. Humans lost body hair about a million years ago and didn’t start wearing clothes until around 170,000 to 190,000 years ago. That’s about 830,000 years living in their birthday suits! When humans began to wear clothes, the body louse adapted structures that enabled them to attach to clothes instead of hair. Humans lost most of their body hair about a million years ago. (credit: “Neanderthal” by Eden, Janine and Jim/flickr, CC BY 2.0) Molly Selba Molly Selba (holding skull) leading a study session. (credit: Molly Selba, Public Domain) Personal History: From the time Molly was young, she knew she wanted to be an anthropologist. She took an archaeology class at the local community college when she was a high school student and went to field school over the summer. In college, she completed a double major in archaeology and anthropology, with a minor in Museums and Society. She later gained experience working with different museum collections and held internships at the Baltimore City Medical Examiner’s Office and the Smithsonian Museum of Natural History. After completing her undergraduate degrees, she knew that she wanted to pursue anthropology as a full-time career and began working towards her master’s and doctorate in biological anthropology. Area of Anthropology: For Molly the most interesting thing about biological anthropology is the information that bones can tell us. Initially she was interested in what the history of disease could tell us about the lives of people in the past, but as she worked with biological anthropologists, her focus shifted to understanding how evolution can impact the shape of different bones. She received her undergraduate degree from Johns Hopkins University in Baltimore, Maryland, and her Master’s degree from the University of Florida, where she is currently a PhD candidate. Her research interests include comparative anatomy, cranial morphology, and anatomical sciences education. She is most interested in how cranial morphology varies within and between species and how it is impacted by factors such as evolution and selective breeding practices. Her earlier research focused on the differences in cranial morphology in dogs created by artificial selection for facial reduction. Her dissertation research currently focuses on a comparative study of facial reduction across bats, primates, and dogs. Accomplishments in the Field: For Molly her most important accomplishment in the field of anthropology has been in education and outreach. Throughout her time in graduate school, she was involved in school visits, working with teachers to facilitate the inclusion of human evolution into existing science curricula. She has specifically focused on helping educators find teaching materials that are culturally inclusive and responsive. She has led multiple professional development workshops for teachers on the same topic and has visited over two dozen classrooms and interacted with over 1,200 students in the last four years. Making science accessible to K-12 educators is an extremely important part of being a researcher, and she believes everyone in academia should strive to be effective science communicators. “Studying biological anthropology helps us better understand our origin story as a species. It helps us recognize why our anatomy is the way that it is, how morphological changes over time can take place, and why we have such a diversity of life on earth. Just being able to recognize and identify our anatomy is only half the challenge—more important is our understanding why various traits are adaptive, how structure relates to function, or why leftover anatomical traits still persist in our body to this day.” Natural Selection and Human Variation: Are Humans Still Evolving? Human variability is attributed to a combination of environmental and genetic factors, including social status, ethnicity, age, nutrition, quality of life, access to healthcare, work and occupation, etc. As mentioned in Chapter 1, anthropology contributes many insights into both the social construct of race and the impacts racial categories have on people’s lives. The focus in this chapter is the role of natural selection in human variation. A number of changes are associated with the Neolithic era and the rise of agriculture around 10,000 to 8,000 years ago. Many have noted that changes during this time period did not have positive effects on human and environmental health. The evolutionary mismatch hypothesis proposes that our bodies are best suited to the environments we have spent much of our evolutionary history in, which are very different from the environments we inhabit today (Li, van Vugt, and Colarelli 2018). Humans evolved for one million years as hunter-gatherers. Today, human bodies are still trying to adapt to the largely grain-based diet brought about by agriculture, a diet characterized by less diversity and lower levels of nutrition than that of a typical hunter-gatherer. Incomplete adaptation to this change has made people susceptible to a number of diseases and nutritional deficiencies. Lactose intolerance is a prime example. The domestication of cattle and the drinking of cow’s milk began during the agricultural age, not very long ago in evolutionary history. Currently 65 percent of humans are unable to digest cow’s milk. Dental caries (cavities) are another problem linked to the change in diet associated with agriculture. The grain-based and high-sugar diets associated with agriculture are very different from the diet of hunter-gatherers. Neither our bodies nor the bacteria in our mouths have had time to fully adapt to this change. Another adaptation that took place during the Neolithic era is related to variation in skin pigmentation. Humans who left Africa and settled in Europe about 40,000 years most likely had dark skin with high levels of melanin , which provides protection against ultraviolet radiation New data confirms that about 8,500 years ago, early hunter-gatherers in Spain, Luxembourg, and Hungary also had darker skin. Skin pigmentation is an adaptation to ultraviolet radiation, with different tones offering different advantages, depending on one’s distance from the equator. As humans migrated to the Northern Hemisphere, they were exposed to less ultraviolet radiation, which also meant less absorption of the Vitamin D needed for strong bones and other important immune functions. In order to compensate for this loss and to allow for greater exposure to ultraviolet radiation, skin pigmentation became lighter. Another example of human variation as a result of adaptation to the environment can be seen in Indigenous populations in the Andes, Tibet, and the Ethiopian highlands. Each of these three groups faces the same environmental challenge, living in a low-oxygen environment, and they have responded with unique adaptations. Tibetans compensate for low oxygen levels by taking more breaths per minute than people who live at sea level. Those living at high altitudes in the Andes have been found to have higher concentrations of hemoglobin in their blood than other people. Ethiopians living at altitudes of 9,800 to 11,580 feet have neither of these adaptations. The explanation as to how the Ethiopian highlanders thrive in their environment is still a mystery. A valley in the Andes near Ollantaytambo, Peru. Indigenous peoples living at high altitudes in the Andes have been found to have higher concentrations of hemoglobin in their blood than other people. (credit: “Snows of the Andes” by David Stanley/flickr, CC BY 2.0) This chapter has explored just some of the immense biological and cultural diversity of the genus Homo . This diversity has emerged in response to highly complex and variable environments connected to factors such as exposure to UV radiation, low oxygen levels at high altitude, changes in diet as a result of hunting or agricultural practices, geographic isolation in island populations, and climate variability and temperature. The genus Homo has proven to be resilient and adaptive in response to whatever environment or challenge it has faced. Variation is the key to survival. While scientists recognize that biological and cultural variation has greatly contributed to our human evolution, the human species is now facing a moment in which we must contemplate a difficult question: To what extent has our success as a species jeopardized the survival of other species and the health of the planet we all call home? Summary In this chapter we have explored our human journey as a member of the genus Homo , following a trail of adaptations and change that ultimately led to us . First on the scene were the australopithecines, who were already walking on two feet and paved the way for the evolutionary changes and cultural achievements that were to follow. A colder climate with drastic changes in climate were associated with an increased reliance on cooked meat, which may have contributed to a growing brain. A brain with highly developed cognitive skills gave humans the capacity to solve problems and create tools that enabled better hunting and survival skills. Adaptations provided H. ergaster and H. erectus the ability to walk and run longer distances, to more effectively track and follow game, and to explore nearby continents. Genetic information provided by mtDNA indicates that all humans shared common ancestors who lived in Africa 200,000 years ago. Studies of genetics shows examples of coevolution and how even small organisms such as lice can shed light on the human story. The rise of agriculture created new challenges for humanity, with evolutionary mismatch still impacting people today. From the earliest toolmakers to the cave art of the Upper Paleolithic to the modern computer age, the predominant theme of human history has always been about change. The ability to adapt to this change is why humans are still here. Humans’ evolutionary story, however, does not end with the emergence of the species. Today humans are faced with numerous challenges as they adapt to an increasingly changing environment as a result of climate change, loss of habitat, and decreasing biodiversity. In 2020, Darwin’s theory of natural selection played out in real time as people began an arms race with a mutating and evolving COVID virus. Evolutionary change is not something that happened to people just in the past—it is very much still happening today, and it will continue to be part of the future. Identify the Fossil Imagine that you have just discovered a hominin fossil with some of the characteristics listed below. Write each of the characteristics on a card and shuffle them together. Then, working in a group, decide which characteristics belong in the Homo group and which belong in the Australopithecus group. What scientific name (genus/species) would you give it, and what criteria did you use? (Note: This is an actual hominin fossil!) Brain similar in shape and structure to modern human brains Hands suited for tool use Small jaws and teeth Third molar larger than other molars (found in australopithecines and some early Homo species) Skull shaped more like H. erectus or H. habilis A sagittal keel (as seen in H. erectus )—a small raised ridge on top of the skull Bipedal and walked with a human gait Humanlike feet with arches and ankles Flaring blades of the pelvis (primitive) Broad rib cage Lower part of pelvis like modern humans’ Small braincase (EQ 4.5) Skull shows prognathism (protruding face) Primitive shoulder position suggests suitability for climbing and swinging Curved fingers (What would that suggest?) Critical Thinking Questions References Ahern, Jim. 2015. “Archaic Homo.” In Basics in Human Evolution, edited by Michael P. Muehlenbein, 163–76. Cambridge, MA: Academic Press. doi:10.1016/B978-0-12-802652-6.00012-8. Aiello, L., and P. 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Additional Resources Visual timelines and maps The Atlas of Human Evolution has put together a user friendly interactive map on the development of Homo sapiens. The Smithsonian Institute's Human Evolution Interactive Timeline provides an interactive overview of major milestones and species ranges. Coevolution of lice and humans David Reed, associate curator of mammals at the Florida Museum of Natural History, offers an explanation of his research for a general audience. The Smithsonian Magazine explores possible causes and benefits of the human loss of hair. coevolution an interaction between different species that influences each species’ evolution; the simplest case of this is predator-prey relationships. evolutionary mismatch a hypothesis that disease and nutritional deficiencies result when people’s bodies are unable to adapt to an environment that they have not spent most of their evolutionary history in. genome the complete set of genes or genetic material present in a cell or organism. melanin substance that determines the color of skin pigmentation and protects people from ultraviolet radiation. Skin will have higher levels of melanin the closer to the equator one lives. mtDNA the DNA located in the mitochondria that can be passed down unchanged from female genetic contributor to child. mtMRCA “mitochondrial most recent common ancestor,” or Mitochondrial Eve, representing the common ancestor of H. sapiens around 200,000 years ago. Mitochondrial Eve genes traced through mitochondrial DNA that represent the female genetic originator of all humans who lived 200,000 years ago in Africa. Out of Africa theory theory that proposes that Homo sapiens developed first in Africa and then spread around the world between 100,000 and 200,000 years ago. thermoregulation an adaptation that allows the body to control and regulate body temperature.", "section": "Tracking Genomes: Our Human Story Unfolds", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Family members gather at a sweet potato festival in Gushegu in northern Ghana. This highly social event brought together families, farmers, chiefs, and community members to celebrate the harvest of sweet potatoes. (credit: Official photographer of the US Embassy in Ghana/USAID in Ghana/Wikimedia Commons, Public Domain) Talk, talk, talk. As human beings, that is what we do all day (and sometimes all night). Even when we are alone, we might be listening to the radio, watching a video, reading, or texting—all activities that incorporate language. Language is often considered to be one of the quintessential elements of humanity, key to our social interactions and cultural development. No other animal does it the way we do. A few apes have been taught words in sign language, mainly using simple word combinations to ask for particular treats or desired activities. Is that anything compared to what we do with language? Consider a situation from the author, Jennifer Hasty’s own fieldwork. While conducting research in Ghana, I once attended a large family gathering to honor the birth of a child, an event called an “outdooring.” After everyone had arrived and socialized a bit, a middle-aged man stood up and took the microphone in his hand to pour libation. Libation is the ritual offering of drink to the ancestors, welcoming them to the ceremony and asking for their blessings. As he took the cup in his hand, he surveyed his audience, then stopped short, appearing extremely embarrassed. Looking down at his feet, he sputtered, “Oh! When the tongue is present, the teeth do not make noise.” Everyone laughed. It was a proverb I’d heard before, but I had no idea what it meant in this context. The speaker stepped aside as an even older man rose from a table at the edge of the gathering and slowly made his way to the microphone. The first speaker had assumed he was the eldest member of the family present at the gathering, but in fact, his older brother was there. By the rules of seniority, it was the older brother who should present the libation. What did the proverb mean in that situation? In most cultures, people do not usually explain proverbs, so the listener has to piece together the meaning. In this case, the proverb was used metaphorically to compare the production of words in the mouth and the roles of the people involved in this particular performance of libation. The nimble tongue is central to human speech, while the teeth play a more fixed and supportive role, providing surfaces used by the tongue to make certain sounds. Alone, the teeth can only clash against each other meaninglessly. A tongue is needed to produce speech. Using the proverb, the first speaker was comparing his elder brother to the tongue—he was more central to the gathering and more proficient in the production of ceremonial speech such as libation. The younger man assigned himself the role of a tooth, only able to make noise rather than ceremonial speech. In humans, language has developed into an extremely complex feature of sociocultural life. Just as the tongue is central to the production of human speech, language is central to the production of human culture. The subfield of linguistic anthropology examines the role of language in sociocultural life. Linguistic anthropologists are interested in how language affects our thinking and our experience of the world around us. Some explore the different categories of formal and informal speech that people have developed to organize rituals and ceremonies as well as everyday activities. Others listen carefully to various kinds of conversation, looking for patterns in the way people interpret and build on one another’s speech acts. The discipline linguistics is devoted to the study of language. Linguistics is the science of language, including subfields devoted to speech sounds, word forms, word arrangement, meanings, and practical language use. One subfield of linguistics, sociolinguistics, examines the social context of language use, such as how language varies according to age, gender, class, and race. While sociolinguistics and linguistic anthropology share an interest in the social side of language, linguistic anthropologists tend to focus on language as an aspect of larger cultural processes. Rather than looking at language as a sole object of study, linguistic anthropology studies language as one cultural element among many, all interwoven into the sociocultural life of a people. language a complex, systematized form of communication involving the use of vocal or gestural units (words or signs) that can be combined and recombined in larger structures (sentences) that can convey an infinite array of complex meanings.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Emergence and Development of Language Learning Outcomes By the end of this section, you will be able to do the following: Describe the communicative abilities of wild animals such as birds and primates. Distinguish primate communication from human language. Identify the biological features of early hominins that were central to the emergence of language. Identify the archaeological evidence for the emergence of language. There are some seven thousand languages spoken in the world today. Most people are proficient in at least one of them, possibly more. But people are biologically capable of mastering any of them, and have been since birth. Humans are born language ready. For a human baby, any language will do. With passive exposure to language (simply hearing it without any formal instruction), human toddlers learn the complex rules and vast vocabularies of the language spoken (or signed) around them. This astounding feat is made possible by specific biological features in the brains and bodies of human babies, features designed to help them understand and produce language. The learning of language then triggers further changes in our brains, making possible certain kinds of reasoning and thought as well as communication with others. When teaching language to their children, some parents teach signs (such as those of American Sign Language) as well as spoken words for objects. The theory is that sign language and spoken language are processed in different parts of the brain. Teaching these two forms of language together may provide deeper cognitive reinforcement and greater chance of recall. This baby is making the sign for “bird.” (credit: “Bri signs ‘Bird’” by Bev Sykes/flickr, CC BY 2.0) Drawing on biological and archaeological evidence, researchers seek to understand how, why, and when humans developed the biological features associated with language and, once language emerged, how the practice of language changed the way of life of early humans. Language became a building block for human culture of increasing complexity. Innovations such as stone tools, hunting, and using fire for heat and cooking were made possible by language. In turn, these new skills enhanced the survival of those who practiced them, increasing the likelihood that those people would live to pass on their genetic makeup to their offspring. This means that certain biological features were key to the invention of human culture and that human culture was key to the biological development of humans. We think of this as a reciprocal system of biocultural coevolution. Put another way, biology and culture developed in tandem, with language as the link between the two. No one really knows when or how humans invented language. The problem is that language, whether spoken or gestural, leaves no direct trace in the archaeological record. Lacking direct evidence, researchers must be creative, combining various indirect forms of evidence to suggest theories about how language may have begun in humans. Based on such methods, researchers think that language may have emerged between 50,000 and 200,000 years ago. The largeness of this window of possibility is due to the indirect nature of the evidence and a great deal of controversy about which elements may have been most important in the process of language development. In this section, we look at these forms of indirect evidence, starting with communication in the animal kingdom. Animal Communication All animals communicate with each other and even with other species (Tallerman and Gibson 2011). Many use vocalizations like calls, growls, howls, and songs. Many also use gestures such as dances, postures, and facial expressions. Some change the color of their scales, skin, or fur. Some produce strong-smelling body fluids sprayed in their environment or rubbed on their own bodies. All of these activities are used to tell other animals about territory, food sources, predators, and mating opportunities. Canada geese fly in a V formation to conserve energy and to keep track of all the birds in the formation. Coordination and communication are essential for the group. (credit: “Canada Geese” by Alex Galt, US Fish and Wildlife Service/flickr, CC BY 2.0) Many people might be tempted to think that animals speak to each other just as we do, that their various forms of communication are roughly equivalent to language. Does your dog bark and jump excitedly whenever you pick up the leash? Isn’t that a way of saying, “C’mon! Let’s go for a walk!” Some forms of animal communication are fairly simple, such as this canine leash mania. Others are far more complex, such as the way an octopus can change the color of and patterns on its skin for hunting, courtship, and camouflage. Fireflies use bioluminescence to attract mates and as a defense mechanism. Some fish generate electric fields to advertise their species and sex. Many animals use a vast lexicon of postures and gestures to communicate messages to one another and even to other species. When a bird issues a predator-alert call, squirrels respond as well. Many mammals pay attention to the predator warnings of birds. Are these complex forms of communication equivalent to language? Take a closer look at one famous example of complex animal communication and compare it to human language. A Waggle is Not a Word: The Complexity of Language Consider the famous “waggle dance” of the honeybee. Upon finding a good source of nectar such as a grove of wildflowers, a worker bee returns to the hive and performs a special flight pattern consisting of a figure-eight waggle followed by a return loop alternating right and left. The direction and duration of the waggle communicate the direction and distance to the location of the desirable food source (Seeley 2010; Frisch 1993). Diagram of the waggle dance of the honeybee. The movements performed by the bee during this dance communicate the direction of and distance to a food source to its fellow hive members. (credit: “20180622-FS-WashingtonDC-KTC-024” by Kelly Chang, US Forest Service/flickr, Public Domain) The waggle dance is certainly a complex and effective form of communication, but does it qualify as language? Communication refers to the transfer of information from a sender to a receiver. Communication can be voluntary or involuntary, simple or complex. Language is a specific, complex, systematized form of communication involving the use of vocal or gestural units (words or signs) that can be combined and recombined in larger structures (sentences) that can convey an infinite array of complex meanings. Language is a form of communication. Not all communication is language. Central to the infinite possibilities of language is a set of rules that govern just how sounds, signs, words, and phrases may be combined. These rules structure the order of words, dictating, for example, where to put subjects and actions in an utterance so that listeners will be able to find them. Rules also tell us whether words indicate a single thing or multiple things and whether actions occur in the past, present, or future. Complex forms of animal communication such as the waggle dance do contain some systematic rules governing the sequence, duration, and intensity of certain segments of the communication, but they are highly constrained to very limited contexts. For example, the waggle dance can be used to signal nectar sources near and far, but it cannot be used to discuss the weather or comment on the laziness of the queen. Unlike the relatively “closed” systems of communication common among animals, human language is open-ended. Our languages have the distinctive quality of allowing actors to combine units in an infinite number of ways to produce new meanings. Simple Signs and Pant-Hoots: Language in Primates Biological anthropologists posit that we share a common ancestor with the other great apes (gorillas, chimpanzees, bonobos, and orangutans) about five to eight million years ago. As nonhuman primates do not produce language in the wild, the biological and cultural features that promoted language must have emerged after that. However, studies aimed at teaching human language to nonhuman primates have revealed that individuals of these species are able to master basic vocabulary and use simple words and word combinations to obtain the things they want. So the great apes must have some biological features that enable them to learn human language in a partial and limited way. You may have heard of Koko , the gorilla famous for learning to use sign language. Sign language is used in such studies because nonhuman primates lack the distinctive vocal tract required to make the sounds of human language. Researcher Penny Patterson taught Koko to use about a thousand signs, roughly the vocabulary of a three-year-old child (Patterson and Linden 1981). Patterson reported that Koko could comment on things that were not currently present in her environment, such as personal memories. According to Patterson, Koko could joke and lie and teach other gorillas to sign. She could even invent new signs. Many of these claims are disputed by other researchers. Some point out that the evidence is largely anecdotal and relies on the interpretation of Patterson herself, hardly an objective observer. Though controversial, Patterson’s path-breaking work with Koko provided a wealth of data and opened up new possibilities for understanding the language abilities of nonhuman primates. Koko learning to play the guitar. Koko became famous for learning to communicate with humans using roughly 1,000 signs taught to her by researcher Penny Patterson. (credit: “ODCnewBegin9” by FolsomNatural/flickr, CC BY 2.0) Human-reared chimps, gorillas, bonobos, and orangutans have all been taught to use gestures or tokens to refer to things in the world around them, often combining those signs in a rule-based way to make comments and requests. Even though many linguists are skeptical of these studies, the use of symbolic systems in cooperative interactions to achieve goals does seem to indicate that great apes have the basic capacity to generate some sort of protolanguage. Protolanguage refers to a very simple set of gestures or utterances that may have preceded the development of human language. But do apes display these abilities due to some innate capacity or because we have taught them symbolic systems? Perhaps learning a symbolic system has changed the brains of these individual animals in distinctive ways. Chimpanzees use gestures and facial expressions as well as vocalizations to communicate with one another. (credit: “Chimpanzees” by foshie/flickr, CC BY 2.0) Many primatologists conduct research on the vocal and gestural forms of communication used by primates in the wild, looking for those biological features that might underpin the human capacity for language. Wild chimpanzees, for instance, produce a wide range of calls, including hoots, pant-hoots, pant-grunts, pant-barks, rough-grunts, nest-grunts, alarm barks, waa-barks, wraas, screams, and soft panting play sounds (Acoustical Society of America 2018). Primatologists have listened closely to these calls. Some argue that chimp vocalizations are not much like human language, as calls are fairly fixed and limited in their meanings. Chimps may use a rough grunt to indicate a food source, but they do not seem to have specific grunts for specific food types. Monogamous pairs of gibbons, a smaller species of ape, are known to perform elaborate morning duets. Gibbons have an array of predator calls as well. Research comparing duets with predator calls suggests that gibbons compose their songs to convey specific information, each note carrying a certain meaning (Clark et al. 2006). While impressive, the ability to manipulate notes to convey a limited range of meanings is still a far cry from the infinite productivity of human language. The limitless recombination of signs that produces the flexible, open-ended quality of language is missing in the communication systems of wild primates. Human Biology and the Emergence of Language There must be something special about us to make possible the distinctively flexible and open-ended communication system of language. Research has focused on our throats, our brains, and our genes, looking for the biological features that allowed for the emergence of language. The Vocal Tract Humans have evolved a very unusual vocal tract with a descended larynx (otherwise known as the “voice box”) and a large and rounded tongue positioned in the mouth to enable a remarkable array of sounds (Lim and Snyder 2015). Some researchers suggest that our throats may have evolved in response to walking upright or changes in diet or a combination of those two factors. Humans also have more deliberate control over breathing than nonhuman primates. In order to better understand when hominins developed this distinct vocal apparatus, researchers examine the hyoid bones of hominins to see if they resemble those of modern humans. The hyoid is a U-shaped bone in the human throat that helps us swallow and move our tongues. The few hyoids that have been found in the fossil record suggest that our distinctive vocal tract may have been developed around 500,000 years ago. This means that Neanderthals likely had the same vocal abilities as modern humans. Evolutionary changes in the vocal tract enabled the development of spoken language in humans. The image on the left shows the vocal structures an early ancestor to humans. The image on the right shows the vocal tract of modern humans. The position of the vocal structures in the early ancestor allows for eating and breathing at the same time. The position of these structures in modern humans allows more sounds to be produced and more words to be spoken in sequence. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Brain Structure Several features of the human brain are considered prerequisites to language, including the overall (large) size, the division into specialized hemispheres, and certain structures like Broca’s and Wernicke’s areas. Broca’s area is a region of the brain associated with the production of speech. Wernicke’s area is essential to the comprehension of language. Both are most often located in the left hemisphere of the human brain (for left-handed people, both can be located on the right side). How did we acquire these brain features so essential to language? A great deal of controversy surrounds this question, as researchers debate when and how these structures evolved. The locations of Broca’s area and Wernicke’s area in the human brain. Broca’s area, responsible for the articulation of speech, is next to the motor area, where the movements of the body are controlled. Wernicke’s area, associated with language comprehension, is situated beside the primary auditory area, where sounds are processed. (credit: “1605 Brocas and Wernickes Areas-02” by OpenStax College/Wikimedia Commons, CC BY 3.0) Most recently, research has focused on “ mirror neurons ,” special brain cells that seem to enable mimicry (Lim and Snyder 2015). Many researchers think that the ability to understand the actions of others and recreate those actions ourselves is a fundamental prerequisite for language. That is, in order to be able to talk to each other, early hominins must have been able to evaluate and interpret each other’s actions and reproduce them in similar contexts. In primates like monkeys, scientists have discovered a system of specialized neurons called the “mirror neuron system” that enables primates to recognize and imitate actions. Monkeys and apes cannot talk, but they can recognize, interpret, and imitate actions performed by other primates. The neurological studies that revealed mirror neurons are too invasive to perform on humans, but neuroimaging studies suggest that a similar mirror neuron system does exist in humans. Mirror neurons are most likely involved in the spread of contagious yawning. Mirror yawning happens between humans and can even happen across species. You can make your dog yawn! (credit: “Sleepy” by Toshimasa Ishibashi/flickr, CC BY 2.0) Brain imaging studies on humans have located evidence for the mirror neuron system in a region of the brain close to Broca’s area. So it is possible that the mirror neuron system inherited from primates provided a foundation for the later emergence of a brain structure devoted to language production in hominins. If imitation and language are in fact connected in this way, then a system of gestures may have paved the way for the development of language. Some researchers now hypothesize exactly this: that hominin language evolved from a system of gestures to a system of vocalizations. The “Language Gene” In the late 1980s, medical researchers became aware of a particular speech disorder common among members of one family in West London. Many members of this family could not pronounce words. Many stuttered. Many had very limited vocabularies. Geneticists traced the disorder to a genetic mutation on chromosome number 7 of the human genome. (See Biological Evolution and Early Human Evidence for more on chromosomes and genes.) The mutation was located on a gene named FOXP2 , prompting some researchers to dub this “the language gene.” Some hypothesize that FOXP2 may have played a role in the development of language in humans (Lim and Snyder 2015). At first, researchers thought that only humans had the FOXP2 gene, but subsequently a form of this same gene has been identified in many vertebrates, including mice, bats, fish, and songbirds. In mice, the gene appears to be related to vocalizations. In birds, it seems to be linked to birdsong. All primates have FOXP2, but the human copy is slightly different than that of nonhuman primates. Some researchers think this mutation occurred around 260,000 years ago and may have enabled the development of spoken language in Neanderthals and Homo sapiens . Other researchers are skeptical of the notion that one gene could be responsible for the emergence of spoken language (Tallerman and Gibson 2011). Many anatomical developments and cognitive processes—connected to different parts of the human genome—are involved in human language. These developments and changes would have required mutations in other parts of the genome of early Homo. While the mutation of FOXP2 in Homo may have played a role in language development, other mutations would have been important as well. Hominin Material Culture Evidence from the material culture of hominins such as Homo habilis and Homo erectus is also used to speculate about the emergence of human language. Early hominins developed stone tool technologies and created stunning works of art. The production and use of such tools and artwork must have required a complex set of social and cognitive abilities. Those same types of social and cognitive skills are important to human language. It is possible that language emerged as part of a whole complex of material culture. Archaeological evidence and linguistic theory come together in a model suggesting that the invention of tools by early hominins was linked to the invention of language. Some linguistic theorists suggest that the evolutionary changes in brain structure that allowed for the development of tool use also support the emergence of language. Furthermore, the innovations of tools and language are entwined in a reciprocal relationship; evolutionary pressure to develop tools stimulated the development of language, and the development of language facilitated increasingly complex tool making and tool use. There are two theories to explain the connections between advances in tool use and language. The first rests on the assumption that tool making requires a considerable degree of cognitive planning. You cannot make a useful tool by just picking up a rock and randomly chipping away at it. Hominins like Homo habilis and Homo erectus must have known just what kind of rocks would work as base and chipper and how to execute a set of precise chips in a certain sequence to achieve a sharp blade without breaking the core. The mental processes important to this sort of planning are hypothesized to have also enabled hominins to do the sort of quick planning involved in the production of complex speech (Tallerman and Gibson 2011). A second theory linking tool use and language emphasizes the importance of imitation in passing along the complex set of skills involved in tool making. Neuroscientist Michael Arbib suggests that the ability to imitate may have generated the first gestural language among hominins (2011). And he has developed a model to describe how imitation and tool making may have evolved together over time. About 2.5 million years ago, Homo habilis began making basic stone choppers, cores with flakes removed, used for butchering carcasses. Such choppers are called Oldowan tools, named after the site in Olduvai Gorge in Tanzania where they were first found. Arbib has theorized that the production of Oldowan tools required the ability for hominins to imitate each other’s actions. Simple imitation would make it possible for a learner to reproduce the actions of an accomplished tool maker through observation and mimicry. This ability to imitate is biologically rooted in the system of mirror neurons discussed earlier. As hominin brains acquired the ability of simple imitation involved in tool production, they might also become capable of the kind of gestural communication we see in apes today—not language, but a precursor to it. Investigate this diagram for more about the evolution of language . The array of action-oriented mirror neurons, tool innovation, and language all progressed together in hominin evolution. As tool technology developed, Homo erectus began making distinctive pear-shaped hand axes about 1.6 million years ago. A more intricate form of imitation would have been necessary to teach this sort of tool making to others, corresponding to the emergence of protolanguage. This protolanguage might have been a set of simple one-word utterances corresponding to concepts such as “yes,” “no,” “here,” or “there.” We don’t have any hominin brains to examine, but remember that in the human brain, the system of mirror neurons is assumed to be situated near Broca’s area, which is associated with human speech. So very likely, protolanguage emerged in the same part of the brain as the ability to imitate. The explosion of innovations in tool making over the past 100,000 years is linked to the emergence of complex human language. While the development of mirror neurons and the ability to learn tool making required biological changes to the brain, Arbib argues that the last step, the emergence of language, was purely cultural. communication the transfer of information from a sender to a receiver; can be voluntary or involuntary, simple or complex. FOXP2 a gene on chromosome number seven that is found in many vertebrates; sometimes called “the language gene” because the human mutation seems to be associated with language. mirror neurons special brain cells that seem to enable mimicry. protolanguage a very simple set of gestures or utterances that may have preceded the development of human language.", "section": "The Emergence and Development of Language", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Language and the Mind Learning Outcomes By the end of this section, you will be able to: Describe the role of language in categorizing items in the natural world. Explain the Sapir-Whorf hypothesis. Provide at least two examples of linguistic universals. Describe how metaphor shapes how we talk about abstract concepts. As discussed in the previous section, certain cognitive abilities were crucial to the development of language in humans. And reciprocally, once language emerged, it shaped our thoughts and actions in ways that helped our species cooperate, invent, learn, and adapt to the environment. Language must have been a fundamental element in the creation of human culture (singular) and the eventual development into human cultures (plural) as different groups of humans moved into different geographical areas and began adapting to different conditions. One key advantage of language is that it provides a way of encoding specific information about the environment and sharing that information with others so that it endures over time. If, say, there are snakes in an area, it would certainly be important to distinguish the venomous ones from the harmless ones, so probably there would be separate words for those two categories of snake or at least words for each specific snake so that people could alert each other to the presence of a dangerous one. This means that early language must have been developed relative to environmental conditions. Linguistic anthropologists are interested in the way that language varies across cultures, reflecting different environmental, historical, and sociocultural conditions. This is called linguistic relativity . On the other hand, languages are also constrained by human anatomy and cognitive abilities. Say there were two species of snake in an area, one poisonous and the other harmless, but you could not tell them apart by looking at them. (This is actually an adaptive strategy deployed by harmless animals called adaptive mimicry.) In this case, early humans probably would have had just one word for snake, indicating that sometimes a snake’s bite made you sick and sometimes it didn’t. As this example shows, the human visual apparatus shapes our understanding of the world, which, in turn, shapes our language. Consider another example from the natural world—the beetle. There are over 300,000 types of beetles in the world. How many can you name? All of them? Ten of them? Two of them? Outside of written scientific taxonomy, there is no language in the world that contains separate terms for each kind of beetle. This is not only because there are only a few thousand of each type of beetle living in any one environment but also because of limits to the number of terms any person can learn and remember. Our vocabulary is constrained by the limits of human memory. So many beetles. How many can you name? There are over 300,000 types of beetles in the world. Outside of written scientific taxonomy, no language in the world contains separate terms for each kind of beetle. (credit: “display drawer 3” by Joana Cristovao, Natural History Museum/flickr, CC BY 2.0) So language is shaped not only by environmental conditions but also by how humans interact with their environments. Our common human anatomy influences our comprehension of the world, and that comprehension is expressed in language. This insight suggests that all languages must have some things in common by virtue of the fact that all humans have the same anatomy and cognitive abilities. Some linguistic anthropologists are interested in discovering these linguistic universals . In the next section, we take a look at some intriguing research on both linguistic relativity and linguistic universals, seeking to better understand how language interacts with our human minds. Linguistic Relativism and the Sapir-Whorf Hypothesis As seen in previous chapters, it was lamentably common for scholars in the early 20th century to think of non-Western societies as backward and primitive, incapable of complex, abstract thought. Franz Boas worked hard to disprove these racist notions, seeking to demonstrate the equal sophistication of all peoples and cultures. Boas trained a student named Edward Sapir who was particularly interested in how non-Western languages conveyed forms of complex, abstract thought that were different from the Euro-American habits of thought. Sapir, in turn, trained a student named Benjamin Whorf who further elaborated on this theme in his own research (Ahearn 2017). The result is what we have come to call the “Sapir-Whorf” hypothesis. The Sapir-Whorf hypothesis argues that the particular language you speak influences how you think about reality (Lucy 2001). Thus, different languages encourage different habits of thought. This is an essential tenet of linguistic relativity. Whorf based his argument on a comparison between the Native American language of Hopi and what he called “Standard Average European” (SAE), a broad category of European languages including English. Whorf was interested in how speakers of each language might think differently about time. In English vocabulary, time is divided into units that can be counted. English speakers talk about the number of seconds, minutes, or days before an event or consider the number of months or years since something occurred. In Hopi, according to Whorf, time is conceived as indivisible and enduring, a whole process unfolding. The Hopi talk about the flow of events in a completely different way, a processual way Whorf termed “eventing.” Whorf argued that these linguistic features profoundly influenced sociocultural life in each of these two contexts. Holding with the understanding of time as process, Hopi culture emphasized preparation, endurance, and intensity. Coordinating with the SAE expression of time as countable units, Euro-American culture emphasized schedules, accounting, and record keeping. Many people use a calendar to keep track of meetings, appointments, and assignments. Whorf would argue that the English language encourages us to think of time and events in this way, as a spatialized set of boxes to be filled up with discrete objects. In connection with the Sapir-Whorf hypothesis, it is sometimes said that the “Eskimos” have 400 words for snow. This notion is both problematic and untrue. The first problem is that “Eskimo” is considered a derogatory term by the Inuit and Aleutian peoples to whom it has been applied. And, secondly, the claim turns out to be wrong. Anthropologist Laura Martin (1986, also described in Ahearn 2017) has debunked the myth by documenting that Arctic peoples really have just two root words for talking about snow, one for snow that is falling and the other for snow that is on the ground. They use these roots much as English-speakers would, to talk about snowstorms, snowflakes, snow drifts, and snow melt. The Sapir-Whorf hypothesis is not typically applied to the vocabularies of different cultures anymore. Recall the earlier example about snakes. We hypothesized that a culture might not distinguish between two species of snakes if those snakes looked identical. But if people gradually came to notice that the poisonous snakes were always found in trees while the harmless snakes were always found on the ground, it is likely that a different term would come to be used for the tree-dwelling kind of snake, the one with the harmful bite. That is to say, even if a culture previously had only one term for snake, the people in that culture could easily understand that there were, in fact, two kinds and would be able to change their language to mark that difference in their vocabulary for future reference. Their vocabulary would not limit their thinking to such a degree that they could not conceive of two different kinds of snake. Rather than specific vocabulary words, researchers who study linguistic relativity have come to focus on larger abstract topics like space. In languages such as English, when people want to tell someone where a particular object is, they most frequently use language focused on their own bodies. English-speakers say, “You have a bit of arugula on the left side of your mouth” or “Grab the pink top hat on the shelf above you.” This way of talking relies on the human body as a point of reference and therefore is relative to the bodies of the speaker and/or hearer. This creates confusion when the speaker is facing the person they are talking to, sometimes prompting someone to say, “No, my left, not your left!” Steven Levinson has conducted research on languages that do not use the human body to talk about direction at all (2003). Instead, they use the cardinal directions (north, south, east, west) and specific features of their environments (mountains, oceans) to talk about where things are. A speaker of the Australian indigenous language of Guugu Yimithirr might say, “Watch out for the snake just north of your foot!” This way of talking about space is absolute, not relative. Such speakers never have to say “No, my north, not your north,” as there’s only one absolute north. Research suggests that these different ways of reckoning give us different kinds of mental maps, such that a Guugu Yimithirr speaker might be better at absolute navigation than an English speaker, and perhaps more adept at finding her way back home if she lost her way. Linguistic Universals and Folk Taxonomies While linguistic relativists explore how different linguistic patterns shape different thought patterns (and vice versa), other linguists are interested in how all languages are constrained by our common human biology and in finding universal linguistic patterns. There are specific domains of language that lend themselves particularly well to this kind of inquiry. One of them is color. The reason for this is that color relies directly on our human visual system, invariant across cultures. And yet there is enormous diversity in the ways that different cultures divide up the spectrum of possible color. Some cultures have hundreds of color terms, while others have only two or three. Researchers Brent Berlin and Paul Kay analyzed the color term systems of 98 languages and found that the diversity of color term systems is governed by one set of rules. All of these color term systems are comprised of a few basic colors with specific colors added to the scheme over time (Kay 2015, Berlin and Kay 1969). The color schemes of all cultures are based on the distinction between black and white (or light and dark). If a culture has only two terms, those two terms will always be black and white. The next most important color is red. If a culture has three color terms, those terms will be black, white, and red. Next comes green and yellow, then blue, then brown, then purple, pink, orange, and gray, always in that order. Berlin and Kay suggested that these rules form a pattern for the way all languages develop over long periods of time. Although the scheme proposed by Berlin and Kay has been revised a little in the past 50 years, the basic tenets have held up pretty well (Haynie and Bowern 2016). Berlin and Kay’s developmental scheme for the elaboration of color terms. Some cultures only distinguish black from white. When another term emerges, that color is red. After that, green and yellow are added, either one first. Then blue and brown are added, in that order, and then one of these four: purple, pink, orange, or gray. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Vox: The Surprising Pattern behind Color Names around the World The surprising pattern behind color names around the world Oddly, though this finding lends very strong support to the notion of linguistic universals, the very same research has also been used to argue for linguistic relativity. Paul Kay later teamed up with another linguist, Willet Kempton , to consider how different color schemes might affect how people “see” color in the environment around them (1984). They presented people with color chips on the spectrum between true blue and true green. They asked subjects how they would group all the colors into two categories. People who spoke languages that had terms for both blue and green drew a more distinct boundary between the two colors than people who had just one word for both blue and green. Clearly, relativity and universalism are both aspects of human language. Our common biology plays a role in how humans interact with the world, providing regularity to the way all languages categorize not only color but also plants, animals, weather, and other natural phenomena. Researchers who study the systems of categories people use to organize their knowledge of the world have a term for those cultural systems: folk taxonomies . The folk taxonomy for any area of human knowledge reflects both human biology and the surrounding environment and sociocultural practices. There are folk taxonomies for plants, animals, clouds, foods, and the cries of babies. Folk taxonomies are not just vocabulary terms; they frequently structure any kind of distinction that is meaningful within a culture, even those that rely on simple qualifiers like “good” and “bad.” One example is death, surely invariant across cultures. Societies all over the world distinguish between a “good” death and a “bad” death. These notions reflect cultural beliefs and values—such as the American notion that a good death is a painless one. Among the Akan peoples of Ghana, a good death is the death of someone who has led a very long life, achieving all of the culturally valued accomplishments in life, such as getting married, having children, accumulating property, and providing support to friends and family members (Adinkra 2020). Imagine a very old great-grandmother surrounded by her many descendants as she lies in her bed, heaving one final breath as she drifts away peacefully into death. That is a good death. A bad death is tragic and violent, the sudden death of a person who has not had the chance to really live a full life. Think of a young person drowning or dying in a traffic accident. That is a very bad death. If someone has had a good death, that person is eligible to become an ancestor if the correct rituals are performed. The body must be washed, publicly mourned, and buried in a beautiful casket in a public cemetery, often with grave goods like tools and money to help the person in the afterlife. Ancestors are important, as they watch over their living relatives, possibly helping them out if called upon through libation or other ritual means. If someone has had a bad death, however, they may become an angry ghost, haunting family members with bad luck. The funeral rites of bad deaths are rushed, minimal, and private in order to avoid commemorating or communicating with the agitated spirit. Categorization is central to our perceptions, thoughts, actions, and speech. The way humans categorize objects and experiences is limited by the way our brains and bodies work, resulting in linguistic universals like the developmental scheme of color terms. However, the complex meanings associated with cultural categories vary widely, resulting in a great deal of linguistic relativity. Linguistic relativism and universalism are often described as opposite positions, but in fact, they are both essential and complementary features of human language. Meaning and Metaphor How are you feeling today? Are you feeling up or feeling down ? If you’re feeling low , try doing something fun to lift your spirits . Take care of yourself so you don’t fall into a depression . An old theory suggested that languages are primarily referential; that is, each language contains a set of vocabulary terms that correspond to elements in the natural world. According to this theory, language functions as a mirror of reality. We have seen in the last section, however, that different languages divide up the natural world in different ways, from the natural domains of color and plants to the human domains of life and death. Moreover, humans use language to talk about abstract issues like mood, social relationships, and communication itself. It is fairly easy to use our terms for spatial organization to talk about the location of concrete objects like arugula on somebody’s face. But what about more abstract issues? How do we talk about becoming friends with someone? How do we discuss an argument we’re making in a term paper? How do we talk about how we’re feeling today? Mood is like color insofar as the human physiology of mood structures a set of near-universal basic categories including happiness, sadness, anger, fear, disgust, and surprise. And yet, because mood occurs on a spectrum, it is divided up in different ways by different cultures. Consider “schadenfreude,” a German word combining the roots for “damage” and “joy.” Schadenfreude refers to taking pleasure in another’s misfortune. There is no equivalent word in English. We don’t just use language to identify the emotions we’re feeling. We also talk about the process of developing an emotion, how one mood leads to another, and how we can prevent ourselves from feeling a certain way. These are mysterious and abstract processes. How do we do this? We use metaphor. A metaphor is a linguistic idiom where we use what we know about something concrete to think and talk about something abstract . Cognitive linguists George Lakoff and Mark Johnson argue that metaphor is the primary way we create complex meaning in language (1980). In terms of mood, we use our concrete language of direction to talk about our abstract experience of mood. A positive mood is understood as up , while a negative mood is considered down. If you’re feeling really happy, you might say you’re on top of the world . If you’re really sad, you might say you’re down in the dumps . In fact, the word for prolonged sadness, depression , literally refers to a sunken place or the act of lowering something. Metaphor is one of those things that you don’t notice until you start paying attention to it. And then you realize that it’s everywhere: in the way you think about time, number, life, love, physical fitness, work, leisure, sleep, and thought itself, just to name a few highly metaphorical topics. Just about any abstract area of experience is structured by metaphorical thinking. Here are three common metaphors in English, with examples. LIFE IS A JOURNEY He took the wrong path in life. As you move ahead , you should follow your dreams. When I left home, I came to a crossroads in life. If you work hard, you’ll arrive at a sense of accomplishment later in life. LOVE IS SWEET She’s my sweetheart . The newlyweds went on a honeymoon . Sugar , would you pass the salt? Our love was sweet , but then it went sour . ARGUMENT IS COMBAT The candidate launched a personal attack against her opponent. His position on taxes is indefensible. Armed with facts, she won the argument. His criticism really hit the mark . There are thousands and thousands of metaphors in English. Many abstract domains rely on a combination of various metaphors used to describe different aspects of the experience. You can think of love as sweet (as above) but also as a journey (as in “Will the couple go forward together, or will they go their separate ways ?”) or as combat (as in “He slew me with his come-hither glance”). Metaphor is found in all human languages. Some specific metaphors, like the directional metaphors used to describe mood, are found in many, many cultures. A study by Esther Afreh (2018) found that the king of Asante (in Ghana) frequently uses metaphorical language in his public speeches, including such familiar ones as “life is a journey,” “life is a battle,” “ideas are food,” “knowing is seeing,” and “death is sleep.” Though the speeches were delivered in English, Afreh notes that these metaphors also exist in Akan, the local language of the Asante people. Alongside her analysis of the English-language speeches, she notes many proverbs and phrases in Akan that use the same metaphors. As with our discussion of categorization in the last section, metaphor is both relative and universal. Lakoff and Johnson argue that our common human biology structures our experiences of things like emotion and life. When you’re feeling really sad, you might literally feel like lying down, and when you’re really happy, you might jump with joy. We may use the notion of a journey to structure our understanding of life, social relationships, and time in general because in our everyday life, we move forward in space to pursue objects and activities. Sometimes the reasons for cross-cultural similarities are not so directly linked to human biology. English and Chinese have similar metaphorical systems for talking about moral issues. In both languages, the adjective meaning “high” is associated with things that are lofty, noble, or good, while the adjective “low” is used to describe things that are mean, contemptible, or evil (Yu 2016). Alternatively, it is also possible in both languages to describe moral behavior as “straight,” while immoral behavior can be termed “crooked.” On the other hand (to deploy a useful metaphor), different cultures do rely on different metaphors to talk about some domains of experience, metaphors that emphasize certain aspects of those abstract topics. Consider the English notion that “time is money.” This is a metaphor, pure and simple, but many English speakers believe it to be absolutely true. You can spend time, waste time, save time, and invest time. So time does seem like money in capitalist cultures. But time is not literally money. Nor is time a journey or a horizontal line in space, though these are common ways of thinking about time in the English language. Time is just time, an abstract idea. Certainly Whorf did not find the Hopi talking about time as money. English speakers think of time in terms of money because they live in a society in which time is treated as money, a society that tends to monetize nearly everything, from land and labor to advice, attention, and even body parts like human sperm. folk taxonomies systems of categories that people use to organize their knowledge of the world. linguistic relativity the way that language varies across cultures, reflecting different environmental, historical, and sociocultural conditions. linguistic universals common elements found in all human languages, attributable to human anatomy, perception, and cognition. metaphor a linguistic idiom using something concrete to think and talk about something more abstract . Sapir-Whorf hypothesis the theory that the particular language you speak influences how you think about reality.", "section": "Language and the Mind", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Language, Community, and Culture Learning Outcomes By the end of this section, you will be able to: Explain the role of culture in the acquisition of language. Describe how language can form the foundation of sociocultural groups in speech communities. Describe how people code-switch among speech communities. While language is critical to individual human thought, its basic function is to communicate messages in human communities. That is, language is fundamentally social. Through social interaction, humans learn the language of their community. And through language, humans express community identity and coordinate their activities. Language Acquisition and Language Socialization Imagine that someone handed you a babbling baby and said to you, “Teach this baby the basic rules and values of our culture.” What would you do? Likely, you’d start by teaching the baby your language. Without language, it’s pretty hard to teach rules and values (unless you are a really good mime). Luckily, babies come into the world with special cognitive abilities that make them ready to learn language. Most babies undergo a rapid process of language learning between the ages of nine months and three years. Babies proceed through a set of stages that allow them to learn language just by being exposed to surrounding talk. Many scholars study the problem of language acquisition , examining precisely how humans manage to learn language in a diversity of sociocultural contexts. So your babbling baby would probably learn language just by being exposed to it. But what if someone wanted to hasten the process or make sure their baby was particularly excellent with language? An American would probably interact with the baby in a particular way, sitting the baby on their lap facing them, pointing to objects and asking basic questions in a quiz-like fashion. “See the cookie? Where did the cookie go? In my tummy!” The person might say these types of things while talking in a high-pitched, sing-song voice. Linguists call this type of talk “motherese.” In many other cultures, caregivers do not interact with babies in this way. In some cultures, oversimplified “baby talk” is considered detrimental to language learning. The context of language learning might involve a whole host of characters beyond the baby and the caregiver, encompassing all household relatives, neighbors, visitors, and even strangers. Language is not always “taught” to babies, but is often witnessed and overheard. Rather than quizzing her baby American style, a mother in Kaluli society in Papua New Guinea is more likely to sit her baby on her lap facing outward, talking “for” the baby in conversations with siblings (Ochs and Schieffelin [1984] 2001). In West Africa, babies spend large parts of the day wrapped on the backs of their mothers where face-to-face interaction with her is impossible. But they overhear the talk around them all day long, and people frequently engage their attention in brief interactions. In the field of language socialization , researchers go beyond the various stages of language learning to focus on the social contexts in which language is acquired. As social contexts shape the way children learn language, language itself becomes a means of learning about sociocultural life. Whether facing their caregivers or facing out to the social world around them, babies in all cultures learn to be proficient in their languages. And yet, in American culture, the notion persists that language proficiency relies on very precise forms of interaction between caregiver and baby, the American model of motherese. Every culture has specific ideas about language, how it is acquired, how it varies across social groups, how it changes over time, etc. These ideas are termed language ideologies . Some of these ideas, like the notion that babies have a special “window” of opportunity for learning language, are supported by linguistic research. Others, however, are challenged by ethnographic and cross-cultural research. Speech Communities and Code Switching A ten-year-old girl described one of her stuffed animals as “derpy.” Here is a snippet of her conversation with her mother: Thisbe: Look at his face. He’s so derpy. Jennifer: Derpy? I don’t know that word. What does it mean? Thisbe: Like, kind of stupid. Kind of dumb. Jennifer: Oh, ok. Like Clover [our dog], when she fell off the couch. Was that derpy? Thisbe: No, that’s not derpy! It’s like ... Mom, I just can’t explain it to you. You just have to know. All speakers of a particular language form a hypothetical community, sharing a common grammar and vocabulary, as well as a set of understandings about how language is used in different situations. Within this large group are smaller groups of speakers who use the common language in special ways unique to that group. Anthropologists use the term speech community to describe such a group (Muehlmann 2014). Speech communities often have distinctive vocabularies, grammatical forms, and intonation patterns. Using these features appropriately, members of the speech community demonstrate their membership in the group. The concept of speech community was originally used to describe the distribution of dialects in a language. A dialect is a form of language specific to a particular region. For instance, in the Philadelphia metropolitan area, it’s common for local people to pronounce the word “water” as “woohder,” as if it nearly rhymes with the word “order.” It’s also common to use the phrase “yooz” for the second-person plural (as in, “Yooz better drink some woohder!”). Linguists William Labov , Sharon Ash , and Charles Boberg famously mapped out these dialectical differences in different regions of the United States (2006). Over time, a dialect can accumulate such unique linguistic features that it develops into a separate language. Indeed, the distinction between a well-developed dialect and a language is largely political. Nation-states may downplay regional differences as mere dialects in order to maintain linguistic unity, while separatist political movements may champion their way of speaking as an entirely different language in order to justify their demands for independence. Map of American dialects. While English is one of the most commonly used languages in the United States, the particular way it is spoken varies from region to region. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Other researchers have focused on the speech communities of ethnic groups and immigrants. Researchers use the term vernacular to describe dialects that are not necessarily regional but associated with specific social categories, such as groups based on ethnicity, age, or gender. Anthropological research on African American Vernacular English (AAE), Chicano English, and Native American English have all shown how these vernaculars shape distinctive forms of storytelling, arguing, and criticism (Chun and Lo 2015). Rather than seeing ethnic vernaculars as “incorrect” forms of English, researchers demonstrate how vernaculars like AAE are highly structured linguistic systems with regular grammatical patterns and innovative vocabularies (Labov 1972a). In formal settings like American classrooms and courtrooms, these alternative ways of using English are too often stigmatized as lazy, unintelligent, or just plain wrong. Believing their own English to be the “correct” form, authority figures often forbid the use of alternative vernaculars of English and refuse to engage in any effort to understand those forms. More recent research on vernaculars has explored how speakers maneuver among the styles of language they encounter in their daily lives, engaging in various languages, dialects, vernaculars, and other elements of style. We all use a variety of linguistic styles, and many speak more than one language. Addressing different audiences, U.S. President Barack Obama used linguistic strategies to “Whiten,” “Blacken,” “Americanize,” and “Christianize” his public identity, thus subverting racial stereotypes and indicating his membership in a diversity of communities (Alim and Smitherman 2012). In parts of the world that were previously colonized by Europeans, European languages have been maintained as the formal language of government and education even as most people speak local languages in their everyday interactions with kin, neighbors, merchants, and other community members. In these postcolonial contexts, people tack back and forth between various styles of their local languages as well as shifting between the local language and the European one. Such strategic maneuvering among linguistic styles, called code-switching , is done by people in many difference contexts. For many people, the style of language spoken in elite settings such as schools and government institutions has the effect of disempowering and marginalizing them. Linguistic anthropologists examine how vernaculars associated with elite and professional groups become a means of in-group solidarity and out-group exclusion. Anthropologist and lawyer Elizabeth Mertz (2007) conducted participant observation in first-year classes at several American law schools, looking at how law students are taught to “think like a lawyer.” Using a version of the Socratic method, law professors teach their students to set aside the moral and emotional elements of cases to view them purely as texts subject to abstract, professional analysis. The ability to master the linguistic maneuvering and arcane vocabulary of this form of analysis becomes a prerequisite for becoming a lawyer. The American justice system is thus dominated by people who are trained to set aside humanistic concerns in favor of textual authority and manipulation. Mertz’s study shows how people are socialized by language throughout their lives, not just in childhood. And it alerts us to the way that language can be used to elevate the learned perspectives of elites, dismissing the moral and emotional perspectives of others. code-switching the practice of tacking back and forth between various linguistic styles depending on contexts and interlocutors. dialect a form of language specific to a particular region. language acquisition the process of learning a language. language ideologies specific ideas about language that are widespread in a culture, including how language is acquired, how it varies across social groups, how it changes over time, etc. language socialization the social contexts in which language is learned as well as the role of language in social learning. speech community a community of speakers sharing a common grammar and vocabulary, as well as a set of understandings about how language is used in different situations. vernacular dialects that are not necessarily regional but associated with specific social categories such as groups based on ethnicity, age, or gender.", "section": "Language, Community, and Culture", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Performativity and Ritual Learning Outcomes By the end of this section, you will be able to: Provide examples of the performative function of speech acts. Describe how ritual language can be performative. Identify the informal ways that people “talk back” to formal speech. The Performativity of Language: Speaking as Action Consider the following pairs of sentences. What are the differences between the two sentences in each case? Boris and Natasha are married. Boris and Natasha, I now pronounce you husband and wife. Natasha: Boris lost his job. Natasha: Boris, you’re fired! Boris: Natasha, I ate the last pickle. Boris: Natasha, I apologize for eating the last pickle. In all the above pairs, the first sentence is a report about an event. The second sentence makes an event happen. In the sentences about the pickle, the second sentence does not make the pickle disappear, but it does create an apology for that action, hopefully altering the consequences of the pickle-eating. In the previous section, we explored how we use language to think and reason about the world around us. This is an essential function of language, but it is not the only one. We also use language to do things—that is, to perform actions in the world. Way back in the 1930s, Bronislaw Malinowski explored how people use language in culturally specific ways to play an active part in their societies (Duranti 2012). Malinowski described how the people of the Trobriand Islands used magical language to compel the growth of yams, bananas, taro, and palms in their carefully cultivated gardens. Magical spells, like all ritual language, aim at making something happen through the special manipulation of public speech. We see the same use of language in other ritual settings like marriages and naming ceremonies. The plot of many a Hollywood romantic comedy hinges on the moment the partners say “I do” and the officiant pronounces them married. In American marriage ceremonies, it is clear that ritual language is the tool that marries people—not the rings, or the pageantry, or the blessings of family and friends, or any other aspect of the ritual. In his influential book How to Do Things with Words (1962), philosopher of language J.L. Austin coined a term for action-oriented language: performatives. The most obvious performatives use phrases like “I pronounce,” “I order,” “I promise,” “I warn,” or “I appoint.” Sentences that begin with these phrases are explicitly uttered with the intention of doing something through the act of speaking. As he dug deeper into the performative function of language, however, Austin realized that performatives are not so much a separate category of utterances but an aspect of most of the things we say. Even when people are making a simple descriptive statement, they are saying it for a reason. The power of speech to make things happen is called performativity . Consider the following sentences: The exam is next week. The dog is pawing on the door. The above sentences are statements about an event or situation. However, if a professor announces to the class, “The exam is next week,” this is not merely an observation, but a warning—a cue to students to study in preparation for the upcoming exam. And if someone tells their roommate, “The dog is pawing on the door,” they are essentially telling that person to let the dog out. Like metaphor, performativity is one of those aspects of language that permeates everyday speech. Once you learn about it, you recognize performativity in just about everything you say. Spend a few hours paying attention to each utterance as you go about your activities. You’ll find that you rarely use language to merely describe what’s going on. You speak in order to generate a response or result, even when you just say “Hi.” The Performativity of Ritual Language Just as Malinowski studied the special language used in garden magic among the Trobrianders, many contemporary linguistic anthropologists study the role of performative language in various ritual settings. In a recent article, Patience Epps and Danilo Paiva Ramos examine the performance of incantations among the Indigenous Hup community of the northwest Amazon (Epps and Ramos 2020). An incantation is a patterned set of phrases or sentences used to compel a magical result. Among the Hup, incantations are used by elders for protection, healing, and causing harm. While Epps and Ramos were conducting fieldwork in the area, Hup elders expressed concerns that the young men in the village were not learning the repertoire of important incantations properly, thus endangering the health and safety of the community. The elders invited Epps and Ramos to write down their incantations for healing and protection in order to preserve them for future generations. Epps and Ramos documented and analyzed these incantations in consultation with Hup elders. In the article, Epps and Ramos analyze an incantation used by the Hup to protect travelers on paths through the rain forest. This incantation is recited by an elder before a group of Hup people embark on a journey. After providing the original text and its English translation, Epps and Ramos describe the incantation’s structure and poetic features, including the use of metaphor and repetition of phrases. As a whole, the incantation lists various dangers and helpful entities and enacts certain magical practices through the speech itself. At the beginning of the incantation, the elder states that he is enclosing the entire path in a protective “canoe,” much as a traveler on a river would ride in a canoe. This canoe is named after a particular snake, the mussurana snake ( Clelia clelia ), a constrictor snake that eats other snakes and is immune to their venom. Thus, the incantation is creating a metaphorical shield of protection around the travelers, making them safe from venomous snakebites. In the second section of the incantation, the elder lists all classes and subtypes of snakes that might be encountered in the rain forest, asserting a kind of taxonomic mastery over the snakes. Summoning the snakes one by one, he tells of lining them up, sitting them down, and feeding them sticky coca and tobacco. The snakes then sit quietly, their jaws stuck together by the sticky substance so that they are unable to bite anyone. The incantation goes on to deal with several other malevolent entities and engage with beneficial entities to help the travelers in their journey. Informal Back-Talk: Teasing, Grumbling, and Gossip Linguistic anthropologists most frequently rely on long periods of fieldwork, living in the communities they study and witnessing and even participating in ritual events where performative language is deployed. Such events include protection and healing magic, but also naming ceremonies, puberty rites, weddings, funerals, and other rituals that mark the passage of persons from one social status to another. Anthropologists term such rituals “rites of passage” (discussed in detail in Anthropology of Food ). At such ritual events, elders or religious specialists are called upon to perform the ritual language necessary to publicly move persons from the previous category to the new one. Naming ceremonies are a great example of the power of performative language in rites of passage. In many West African societies, a baby is not considered a true person until they have been publicly named by an elder or religious official in a naming ceremony performed a certain number of days after the baby is born. Extended family and friends attend the ceremony as markers of their relationship to the baby. Guests bring gifts such as rice and cloth for the baby, and they are rewarded for their attendance with prepared food and kola nuts. During his fieldwork in southeastern Senegal, linguistic anthropologist Nicholas Sweet witnessed the naming ceremony for a baby in a Pular-speaking village (2019). When the family were gathered in the compound of the baby’s father, the imam rose, faced east, gave the blessings of the prophet, and then performed the naming of the baby girl (in Arabic, English translation below): In the name of God, the gracious and the compassionate O Allah, send blessings on our master Muhammad O Allah, send blessings on our master Muhammad O Allah, send blessings on our master Muhammad The name of the child has come here, her mother and her father have named her Aissatou The name of the child has come here, her mother and her father have named her Aissatou This is what was written on the tablet of Allah May God grant her blessings While carefully recording the formal performative language so important to this naming ceremony, Sweet was also attuned to the more informal kinds of language that surrounded the main action. For instance, just before the imam’s performance, some friends of the family were gathered around the baby, remarking on her beauty. As a way of showing their admiration, some of the men joked and teased one another about the prospect of marrying her someday. Other relatives teased the baby’s parents with demands for kola nuts and other food. As dramatically performative as the official naming was, this informal language was also performative, providing a way for guests to socially configure their various relationships to the new person in their community. Someone important had been left out of the ceremony—the great-aunt of the baby, also named Aissatou. As the baby was her namesake, Auntie Aissatou had been invited and should have been a featured guest at the ceremony. But when the time came to perform the ceremony, she had not arrived yet, and so they went on without her. Afterward, as guests were making their way home, they crossed paths with Auntie Aissatou, who was just then on her way to the event. Realizing that the naming had already been performed, she complained that she had been waiting for someone to fetch her and bring her to the ceremony. Auntie Aissatou was angry that she had missed the ceremony as well as the gifts distributed afterward. Wrapping a scarf around her head in imitation of an imam, Auntie Aissatou continued on to the compound of the baby’s father. Striding ceremoniously into the compound, she addressed a number of elders still gathered there. In a parody of the official naming performance, she faced east, delivered the blessings of the prophet, and then announced: The name of the child has come here. It is Buubu Nooge (Trash Owl). The audience of relatives erupted in laughter but also protest, interrupting Auntie Aissatou to correct her with the baby’s true given name. But Auntie Aissatou persisted, saying over and over again that the baby’s name had come and it was “Trash Owl.” Why Trash Owl? In this community, it is believed that witches turn themselves into owls when they fly through the night. “Trash” seemed to refer to the joke gifts of garbage (broken flip-flops, an old sock) in a small gourd that Auntie Aissatou presented in lieu of the usual baby gifts of food, cloth, and soap. In the days following the naming ceremony, the teasing name for the baby became a running joke in the community, especially among people who had not been invited to the ceremony but felt that they should have been. In order to quash the teasing nickname, the baby’s family was compelled to make a number of visits around the community with appeasing gifts of kola in an effort to get everyone to recognize the baby’s proper name. Once Auntie Aissatou and the others had received their visits and kola, they abandoned the name Trash Owl, recognizing the baby as Aissatou, the namesake of Auntie Aissatou. This incident illustrates the power of parody and gossip to steal performative power from the authoritative realm of formal speech, giving excluded and marginalized people a way to “talk back” to authority. There are many ways of doing this. Often, audiences to formal speech will deliberately misunderstand or creatively interpret the proclamations of authority figures. incantation a patterned set of phrases or sentences used to compel a magical result. naming ceremony a public ritual that officially grants personhood by bestowing a name. performativity the functional power of language to make things happen.", "section": "Performativity and Ritual", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Language and Power Learning Outcomes By the end of this section, you will be able to: Explain how language can operate as a gendered form of power. Identify how racial categories and bias are expressed through linguistic practices. Describe strategies used by communities to revive their dormant languages. Gender and Language In 2018, the word “mansplaining” was added to the Merriam-Webster dictionary. The word is defined as “what occurs when a man talks condescendingly to someone (especially a woman) about something he has incomplete knowledge of, with the mistaken assumption that he knows more about it than the person he's talking to does” (“Words We’re Watching” 2018). The word was inspired by an article written in 2008 by the feminist blogger Rebecca Solnit . In the article “Men Explain Things to Me,” Solnit described an incident at a party in which she mentioned to a man that she had recently written a book about a particular photographer. Immediately, the man interrupted to inform her about a very important book that just came out about that same photographer, a book he had read about in The New York Times. After the man had described the book in great detail, Solnit’s friend finally intervened to say that the book he was talking about was, in fact, written by Solnit. In the wake of Solnit’s article, other women writers described similar experiences in their workplaces, schools, and relationships, and the whole phenomenon came to be called “mansplaining.” Rebecca Solnit, the author of the article “Men Explain Things to Me”. The term “mansplaining” has become a well discussed topic in the years since she introduced the term. (credit: “Rebecca Solnit” by Charles Kremenak/Wikimedia Commons, CC BY 2.5) Have you ever witnessed mansplaining? Have you ever mansplained to someone? Embedded in the very term is a notion about gender and language. The idea is that men and women have different styles of speech, styles that reflect and reinforce inequality between genders. In recent years, many writers have pushed back against the term “mansplaining,” arguing that all men do not always speak this way to all women. Some argue that many men are much more respectful and sensitive to the dynamics of power in their conversations with women. Some argue that privileged White women tend to speak in a mansplaining way to male waiters and salespersons or to people of color more generally. Others suggest that older people speak in a condescending way to younger people, or vice versa. Have you ever become annoyed with a friend or relative who repeatedly interrupts you? Have you ever noticed how some people tend to end their sentences with rising intonation, making everything they say sound like a question? How about a person who ignores what you say but then rephrases your idea and takes credit for it? Many people associate these ways of speaking with gender, the way men speak or the way women speak. As noted in the discussion of language acquisition, every culture has ideas about how language operates, called language ideologies. The idea that American men and American women have distinctive styles of speech is a language ideology. Whether it is true or not is a question for linguistic research, but this idea has become a widespread way of thinking about gender, power, and language in American culture. In the 1970s, linguists inspired by the women’s movement turned their attention to the way gender shapes different patterns of speech. In her influential book Language and Woman’s Place (1975), Robin Lakoff argues that women and men are socialized to speak in distinctive ways that empower men and subordinate women. Lakoff describes women’s speech as uncertain, excessively polite, and full of hedges, emotional language, euphemism, and tag questions (“Don’t you think?”). Other linguistic researchers have found that men tend to interrupt women far more than vice versa, even when the women speaking are doctors and the men are their patients (Zimmerman and West 1975, West 1998). Building on this research, Deborah Tannen generalized beyond speech patterns to describe two entirely different communicative subcultures for American men and American women (1990). When men and women speak to one another, Tannen argues, they are speaking cross-culturally, deploying different motivations and expectations for talk. Men engage in conversation to assert their status in a social hierarchy, while women are more interested in building solidarity through social connection. Men authoritatively report information to their interlocutors, while women engage in conversational rapport with their interlocutors. In popular media, differences in the speech styles of men and women are frequently linked to purported differences in specific parts of male and female brains, such the corpus callosum, the amygdala, and the hippocampus. In this way, gendered patterns of speaking are naturalized as biological. Like the pushback against the term “mansplaining,” researchers have begun to challenge the view that women and men are embedded in different linguistic subcultures with different patterns of speech, motivation, and interpretation. Psychologist Janet Hyde conducted a meta-analysis of hundreds of quantitative studies to see if widespread notions about gender and language were actually borne out by linguistic data (2005). Along with notions of power, Hyde was interested in testing the idea that women are chattier and more deferential than men. Focusing on studies of children, Hyde found that boys and girls exhibited no differences at all in reading comprehension, verbal reasoning, and vocabulary. The tendency for boys to interrupt or speak assertively was only very slightly higher than for girls. The girls’ tendency toward self-disclosure and cooperation with their conversation partners was only slightly higher than for boys. The only significant differences Hyde found were in smiling and correct spelling (girls did more of both). How do we reconcile research demonstrating differences in the way men and women talk with data that suggests very little difference in the speech patterns of girls and boys? One could argue that children have not been entirely socialized into their assigned gender category. Perhaps the discrepancy suggests that gendered ways of speaking are cultural, not biological, and that, for children, the most intense period of socialization is yet to come in adolescence. Moreover, ethnographic research by linguistic anthropologists shows that patterns of speech associated with men and women are culturally relative. Reversing the American stereotypes, anthropologists working in Madagascar and New Guinea have found that women are expected to speak in a more confrontational and argumentative style, while men are associated with more cooperative, euphemistic, and ceremonial speech (Keenan [Ochs] 1974, Kulick 1992, both cited in Ahearn 2017). So both quantitative and ethnographic research overturn the notion that women and men are biologically engineered to use language in different ways. That leaves us with the conclusion that any differences in the ways men and women talk are entirely cultural. Literary scholar Judith Butler argues that gender identities are not biological but are performed through language and other cultural practices, particularly those centered on the body (1988). So when men and women speak in certain ways, they are socially performing their gender identities, whether consciously or unconsciously. Moreover, through their linguistic performances, people enact their own versions of gender in complicated ways that transcend the neat dichotomy of male and female. You probably have a language ideology that tells you how men and women speak in your culture, but do you always speak in the style associated with your assigned gender category? Nobody does. And some people rarely do. As these contradictory performances build up over time, the very notion of gender can change. Kira Hall 1962- Area of Anthropology: Kira Hall ’s work is situated at the intersection of sociolinguistics and linguistic anthropology. In graduate school, she studied with Robin Lakoff in the linguistics department at the University of California–Berkeley, earning her PhD there in 1995. For her dissertation, she examined the linguistic strategies of Hindi-speaking hijras in Banaras, India. Hijras are members of a third-gender group in many Indian communities. Most hijras were raised as boys and later adopted the intersex behaviors and language of the hijra identity. Hall analyzed how hijras navigated aspects of gender embedded in Hindi, such as certain verbs and adjectives that are marked as feminine or masculine. She showed how hijras alternate between these gendered forms, code-switching as a reflection of their own ambiguous identities. She explored how hijras use obscene forms of language to shame people into giving them money. She showed how they had developed their own secret language as a way of communicating with one another, signaling their identity to others, and excluding non-hijras from understanding their conversations. Accomplishments in the Field: Reflecting her work at the boundaries of linguistics and anthropology, Hall has held academic positions in the anthropology department at Yale University and the linguistics department of Stanford University. Currently, she is professor of linguistics at the University of Colorado at Boulder, with a joint appointment in the anthropology department. She is also director of the Program in Culture, Language, and Social Practice at UC-Boulder. Since 2019, she has served as the president of the Society for Linguistic Anthropology of the American Anthropological Association. Importance of Their Work: Hall’s work highlights how language operates within hierarchies of gender, sexuality, and socioeconomic class. In addition to her work on hijras, she has published articles on language and sociality in autism, female mass hysteria in upstate New York, and Donald Trump’s use of gesture and derisive humor in the 2016 Republican Party primaries. Race and Ethnicity On many government forms, people are asked to identify their “race.” Forms in the United States often include five categories: Black, White, Asian, American Indian/Alaska Native, and Native Hawaiian/Other Pacific Islander. The category “Hispanic or Latino” is often listed as an ethnicity rather than a race. On the 2020 U.S. Census, people were presented with 14 racial categories to choose from: White, Black or African American, American Indian or Alaska Native, Chinese, Filipino, Asian Indian, Vietnamese, Korean, Japanese, Other Asian, Native Hawai’ian, Samoan, Chamorro, and Other Pacific Islander. Again, “Hispanic, Latino, or Spanish” was listed as a question of “origin.” Even with so many options, many Americans still could not find a category that represented their racial or ethnic identity. As you’ll remember from earlier chapters in this text, race is not biological. There is no accurate way to divide up the gradual spectrum of human biological variation, meaning that biological categories of race are entirely imaginary. However, we also know that social categories of race are very powerful tools of discrimination, subordination, solidarity, and affirmative action. Earlier in this chapter, we studied how sets of categories, “folk taxonomies,” are embedded in language. We saw how different cultures divide up the natural world differently. Likewise, race and ethnicity are folk taxonomies, embedded in language and organizing the social world into a neat set of groups. These categories are real insofar as they have shaped the structure of our society, advantaging some groups and disadvantaging others. And they are real insofar as they shape our thoughts and actions and even our subconscious habits and tendencies. Like gender, race and ethnicity are performed in language. We use language in conscious and unconscious ways to express racial and ethnic belonging as well as exclusion. Take the use of Spanish catchphrases by Americans who do not speak Spanish. Many Americans intend to be jokey and fun by using Spanish phrases such as “hasta la vista!” and “no problemo” as well as deliberately incorrect ones such as “buenos nachos” and “hasta la bye bye!” Anthropologist Jane Hill found that middle-class, college-educated White Americans were most likely (among other Americans) to use this “mock Spanish” (2008). People who use these phrases consider them harmless and even respectful, while Spanish speakers are often insulted by the association of Spanish with silliness. Hill argues that such phrases are only funny because they covertly draw from stereotypes of Spanish speakers as foolish, lazy, and inept. Similar arguments about cultural appropriation and stereotyping can be made about the use of Black vernacular speech by White Americans. In the United States, a variety of English called African American English (AAE), or African American Vernacular English, is spoken by many people in predominantly Black communities. With the widespread popularity of Black culture, many White Americans have picked up phrases and grammatical features of AAE while knowing very little about the vernacular and the people who speak it as their primary language. To many Americans, AAE is just imperfect English (it is not, as we’ll see in a moment). So what are White people signaling when they say things like “chillin’,” “lit,” “on fleek,” “aa’ight” (for “alright”), “ima” (for “I’m going to”) and “Yasss, Queen!” Does the use of this language convey respect for the communities associated with Black vernacular English? Or does it demean and subordinate Black Americans who speak AAE? People who use mock Spanish and mock AAE typically do not mean to insult anyone. The problem is not one of intent, but of context. In American culture, most middle-class White people speak forms of English considered standard or mainstream (Lippi-Green 2012). In fact, Standard American English (SAE) is historically based on the language of Anglo American immigrants. The adoption of White Anglo-English has always been considered critical to successful assimilation by minority and immigrant groups. Success at complete assimilation is often measured by the ability to speak SAE without an accent. But SAE is not speaking “without an accent.” SAE is an accent—the accent of White people whose ancestors emigrated from the British Isles. SAE is the dominant language of American public spaces, including schools, workplaces, government, and media. People who speak SAE without effort or accent can speak freely in these spaces, knowing that their language will be understood and respected. Americans whose primary language is Spanish or AAE often struggle to be understood and taken seriously in American public life. Given this context, it can seem disrespectful for White Americans to appropriate Spanish and AAE as tools of humor while denigrating and marginalizing the actual speakers of these languages. The issue is further complicated by the widespread and persistent notion among White Americans (and many Black Americans too) that AAE is not a language at all, but merely a hodgepodge of slang and bad grammar. This view is simply wrong, another language ideology that has no basis in fact. AAE is a rule-governed form of English with its own regular system of sounds, grammar, and vocabulary (Labov 1972b). For historical reasons, AAE shares many features with the English spoken by White southerners in the United States as well as working-class Cockney English from London (Ahearn 2017). Rooted in historical experiences of slavery and segregation, Black Americans have developed their own distinctive set of innovative linguistic features to supplement the more basic structure of American English. Consider the following three sentences: He is angry. He angry. He be angry. The first sentence is SAE, and the second and third are AAE alternatives. In SAE, this conjugation of the verb “to be” describes a situation happening in the present. But the SAE present tense of “to be” is a bit vague, as it can mean “right now, this very minute” or a more ongoing situation, perhaps describing a person who is frequently or enduringly angry. AAE helpfully distinguishes between these two possibilities. “He angry” means angry “right now,” whereas “He be angry” indicates a more ongoing situation. In linguistic terminology, the second example is called “copula deletion” and the third is called “the habitual be.” Both are used in regular ways to indicate the difference between momentary and enduring conditions. AAE is governed by many more rules and features that provide its speakers with expressive possibilities not available to speakers of SAE. In other words, AAE is not only a rule-bound vernacular; it’s a more developed and complex form of English. Linguists have been trying to convey this message to the American public since the 1970s (Labov 1972a). Read more about AAE at the Anti-Racism Daily website . Rather than recognizing the innovative contributions of vernaculars like AAE, language policy in the United States stigmatizes non-SAE vernaculars as “bad English” spoken by uneducated and unintelligent people. Linguist John Baugh calls this “linguistic profiling” (2003). With colleagues Thomas Purnell and William Idsardi , Baugh (1999) compared the response of California landlords to apartment inquiries spoken in SAE, AAE, and Chicano-American English (CAE). In Woodside, California, landlords responded to SAE inquiries 70.1 percent of the time. Inquiries in AAE received responses only 21.8 percent of the time and CAE inquiries only 28.7 percent of the time. Research in American schools and courtrooms corroborates the discriminatory effects of linguistic profiling on access to housing, education, and justice. The use of language to discriminate and marginalize is certainly not limited to American English. Elites in many cultures define their own way of speaking as “correct” and “official,” using linguistic practices in public spaces to disempower other groups based on class, race, ethnicity, gender, and sexuality. How can people respond to these forms of linguistic marginalization? For many upwardly mobile speakers of “nonstandard” vernaculars and languages, the process of becoming successful has involved the abandonment of their primary way of speaking in favor of standard, elite forms of language privileged in public discourses. But there is another alternative. As speakers of nonstandard vernaculars and languages move into public discourses, they can hold on to their primary languages, code-switching from context to context. Some language activists celebrate the genius of their “home” languages and work to nurture and revive them, as we will see in the next section. Can speakers of dominant languages contribute to the process of celebrating and revitalizing marginalized languages? Is it always insulting or racist for speakers of a dominant language to use phrases from another vernacular or language? Some people think so. Certainly it is harmful to use phrases that reference negative stereotypes (even indirectly). But what if your limited use of a few phrases can help you communicate with someone from a different background? What if SAE speakers started quoting Spanish or AAE in ways that highlight positive aspects of those speech communities? What if White people started learning AAE in order to publicize the genius and complexity of this American vernacular? What if you learn another language or vernacular in order to subvert the forces of cultural segregation in your own society? There are no easy answers to such questions. Endangered Languages: Repression and Revival In 1993, a Wampanoag woman living on a reservation in Cape Cod, Massachusetts, had a mysterious dream, recurring on three consecutive nights (Feldman 2001). In the dream, a circle of Wampanoag were singing in a language she did not understand. When she woke, words of the language stuck with her, and she longed to find out what they meant. Were these words of Wôpanâak, the language of her ancestors? Wôpanâak had died out in the mid-1800s. The woman was Jessie Little Doe Baird , a social worker and mother of five. Haunted by those words, she began reading through documents from the 1600s written in Wôpanâak, including letters, deeds to property, and the earliest translation of the Bible printed in the Western hemisphere (Sukiennik 2001). Though frustrated in her efforts to find the meaning of her dream words, she developed a passion for the language of her ancestors and began working with local Wampanoag communities to reclaim their common language of Wôpanâak. Community response was enthusiastic. Committed to the project, Baird went to MIT to study linguistics, earning a master’s degree. Based on her survey of Wôpanâak documents, she wrote a dictionary and began teaching Wampanoag students to speak the language . By learning their ancestral language, Baird and her students found themselves reconnecting with Wampanoag culture in unexpected ways. The grammar of Wôpanâak, for instance, puts the speaker at the end of the sentence rather than the beginning. Whereas English speakers would say “I see you,” Wôpanâak speakers would say something like “You are seen by me.” Baird suggests that this word order highlights the value of the community over the individual, putting awareness of the other ahead of the self. Wôpanâak displays alternative logic in the formulation of nouns as well. For instance, in English, animal names reveal little or nothing at all about the animal. The words “cat,” “mouse,” and “ant” are based on arbitrary sounds that convey no information about their referents. In Wôpanâak, however, animal names frequently contain syllables that refer to the animal’s size, movement, and behavior. The word for “ant,” for instance, incorporates syllables communicating that the animal moves about, does not walk on two legs, and puts things away. By now, you know that forms of cognition and culture are embedded in language. The languages of the world encode diverse experiences of time, space, life, death, color, emotions, and more. A language serves as a form of oral documentation of the surrounding environment, a survey of the flora, fauna, topography, and climate of an area. Forms of cultural wisdom are preserved in the stories and proverbs of a language. History is recorded in epic tales and legends. Language can be essential to maintaining cultural identity, affirming the common history and values of a people while providing them with a distinctive way of communicating with one another. Among the seven thousand languages spoken in the world today, roughly 40 percent of them are in danger of dying out in the next hundred years. A language is considered dead when it is no longer spoken by any living person. Wôpanâak was once considered a dead language. Some linguists argue that no language should ever really be considered “dead,” however, and prefer the terms “dormant” or “sleeping.” So long as there are written or audio records of a language, it can come to life again, a process called language revitalization . Returning to a language that has become dormant or endangered, community members can develop strategic programs to spread, nurture, and modernize the language, ensuring it has a future for generations to come. Languages generally become endangered or dormant through processes of colonialism and imperialism. In North America, as Native Americans were forcibly removed from their lands and confined to reservations in the 1800s, they were compelled to send their children to boarding schools where they were forbidden to speak their Native languages or practice their Native cultures. As foreign settlers seized lands in Australia, New Zealand, and Hawaii, they established similar schools, aimed at assimilating Indigenous children by stamping out their language and culture. Elsewhere, more gradual processes of endangerment can occur when a new language offers opportunities for employment and trade only available to speakers of that language. Parents may encourage their children to learn the new language in order to take advantage of these opportunities, and children may come to reject their own language as a backward language of old people. Many, many languages have risen from dead or comatose states, among them Cornish, Hawaiian, Hebrew, Scots-Gaelic, the Ainu language of Japan, the Indigenous Australian language of Barngarla, the Indigenous New Zealand language of the Māori people, and the Native American languages of the Navaho and Blackfoot peoples. Often, as with Wôpanâak, the impetus for language revival comes from energetic community members who feel the loss of their language as a threat to their cultural survival. These concerned people create programs to document the language and teach it to children and adults. They establish contexts where the language is spoken routinely and exclusively. Sometimes they work with linguists to develop these programs. The most successful of these revitalization strategies are immersion schools and master-apprentice programs. In the early 1980s, Māori language activists developed full-immersion preschools, called Te Kōhanga Reo , or “language nests” (King 2018). In these nests, very young children are taught language and culture by Māori elders—grandmothers and grandfathers in the community. Native Hawaiians have developed a similar program of language nests, called Pūnana Leo . Early on, some parents worried that children in immersion schools would not learn the dominant national language well enough to be successful in later life, but research has shown that such children do just as well or better in later classroom performance and standardized testing. Many language revitalization projects combine early immersion with later bilingual education (Hinton 2011, 2018). The Navaho Immersion School in Arizona provides immersion education for the first three years of schooling and then introduces English as the medium of instruction through grade seven. From grades eight to twelve, children are taught in Navaho half the time and English the other half. Sign in front of a full-immersion school in Seatoun, New Zealand. All classes are held in the Māori language. (credit: “Te Kura Kaupapa Maori O Nga Mokopuna” by Tom Law/flickr, CC BY 2.0) One of the challenges of school-based revitalization programs is finding enough adults sufficiently proficient in the language to teach it to children. Among the strategies of language revitalization that target adult learners is the master-apprentice approach. The original Master-Apprentice Language Learning Program was founded in California by the Advocates for Indigenous California Language Survival (Hinton 2018). The strategy has since spread all over the world. In these programs, a proficient speaker and a motivated learner spend 20 hours a week together, using the target language plus gestures and other nonverbal communication to engage in various activities. When successful, language revitalization can empower individuals and energize communities. Learning their heritage language, people come to understand the distinctive genius and complexity of their culture while preserving a crucial means of transmitting that culture across generations. Dispute Analysis Choose a friend, relative, or acquaintance with whom you might disagree on a particular issue. Suggested issues might include musical taste, what makes a good restaurant, how to behave on a date, the best form of physical exercise, or anything else you feel comfortable talking about but might disagree on. Ask the person if they would consent to being recorded for an anonymous fieldwork exercise. If so, record a 5-to-10-minute conversation with that person in which you discuss the issue. Then, review the conversation. What seem to be the goals of the two interlocutors? What is the pattern of turn taking? What truth or knowledge claims are made by each speaker, and what are the bases of those claims? How is authority constructed and challenged? How does each one respond to the assertions of the other? How does the conversation turn out in the end? Summary Language and culture are closely entwined in the evolutionary development and contemporary diversity of human societies. Human language differs from animal communication in its complexity and flexibility, aspects of human communication made possible by unique human biological and genetic features. The complexity of language makes it a powerful tool in shaping human thought, providing categories and metaphors for organizing our information about the world. Though language shapes thought and action in universal ways, many aspects of language vary widely relative to local cultures. The social aspects of language are particularly relative, influencing how children learn languages in various sociocultural contexts as well as how people use language to create speech communities. In ritual contexts, language is used performatively to accomplish social action as well as challenging those actions. As a tool of power, language structures gender, race, and ethnic dynamics. Recognizing the fundamental importance of language to the preservation of culture, many Indigenous communities have developed strategies to revive their heritage languages using immersion schools and master-apprentice programs. Critical Thinking Questions Suggested Readings Ahearn, Laura. 2017. Living Language: An Introduction to Linguistic Anthropology . 2nd ed. Chichester, West Sussex, UK; Malden, MA: Wiley-Blackwell. Duranti, Alessandro. 1997. Linguistic Anthropology. Cambridge, UK: Cambridge University Press. Bibliography Acoustical Society of America. 2018. “Can Chimpanzee Vocalizations Reveal the Origins of Human Language? While Closely Related to Humans, Researchers Discover that Chimpanzees' Vocalizations Resemble Human Language Less than You'd Expect.” ScienceDaily . May 8, 2018. www.sciencedaily.com/releases/2018/05/180508081505.htm. Afreh, Esther Serwaah. 2018. “Metaphors Otumfo? Lives By: A Cognitive Linguistic Study of Metaphors in Some Addresses by Otumfo? Osei Tutu II, Asantehene.” Cognitive Semantics 4 (1): 76–103. Ahearn, Laura. 2017. Living Language: An Introduction to Linguistic Anthropology. 2nd ed. Chichester, West Sussex, UK; Malden, MA: Wiley-Blackwell. Alim, H. Samy, and Geneva Smitherman. 2012. Articulate While Black: Barack Obama, Language, and Race in the U.S . New York: Oxford University Press. Arbib, Michael. 2011. “From Mirror Neurons to Complex Imitation in the Evolution of Language and Tool Use.” Annual Review of Anthropology 40:257–73. Austin, J. L. 1962. How to Do Things with Words: The William James Lectures Delivered at Harvard University in 1955 . London: Oxford University Press. Baugh, John. 2003. “Linguistic Profiling.” In Black Linguistics: Language, Society and Politics in Africa and the Americas , edited by S. Makoni, G. Smitherman, A. F. Ball, and A. K. Spears, 155–68 . New York: Routledge. Berlin, Brent, and Paul Kay. 1969. Basic Color Terms: Their Universality and Evolution. Berkeley, CA: University of California Press. Butler, Judith. 1988. “Performative Acts and Gender Constitution: An Essay in Phenomenology and Feminist Theory.” Theatre Journal 40 (4): 519–31. Chun, Elaine W., and Adrienne Lo. 2015. “Language and Racialization.” In The Routledge Handbook of Linguistic Anthropology , edited by Nancy Bonvillain. Abingdon, UK: Routledge. Clarke, Esther, Ulrich H. Reichard, and Klaus Zuberbühler. 2006. “The Syntax and Meaning of Wild Gibbon Songs.” PLoS ONE 1 (1): e73. https://doi.org/10.1371/journal.pone.0000073. Duranti, Alessandro. 1997. Linguistic Anthropology. Cambridge, UK: Cambridge University Press. Epps, Patience, and Danilo Paiva Ramos. 2020. “Enactive Esthetics: The Poetics of Hup Incantation.” Journal of Linguistic Anthropology 30 (2): 233–257. Feldman, Orna. 2001. “Inspired by a Dream: Jessie ‘Little Doe’ Fermino, a Mashpee Indian, Is Working to Revive the Wampanoag Language.” Spectrum . http://spectrum.mit.edu/spring-2001/inspired-by-a-dream/ Frisch, Karl von. 1993. The Dance Language and Orientation of Bees . Cambridge, MA: Harvard University Press. Gibson, Kathleen, and Maggie Tallerman. 2011. “Introduction.” In The Oxford Handbook of Language Evolution , edited by Kathleen Gibson and Maggie Tallerman. Oxford, UK: Oxford University Press. Hall, Kira. 1995. “Hijra/hijrin: Language and Gender Identity.” PhD diss. University of California, Berkeley. ProQuest Dissertations Publishing. Haynie, Hannah, and Claire Bowern. 2016. “Phylogenetic Approach to the Evolution of Color Term Systems.” Proceedings of the National Academy of Sciences 113 (48): 13666–71. Herrick, J. W. 1995. Iroquois Medical Botany. Syracuse, NY: Syracuse University Press. Hill, Jane H. 2008. The Everyday Language of White Racism . Malden, MA: Wiley-Blackwell. Hinton, Leanne. 2011. “Revitalization of Endangered Languages.” In The Cambridge Handbook of Endangered Languages , edited by P. K. Austin and J. Sallabank, 291–311. Cambridge, UK: Cambridge University Press. Hinton, Leanne. 2018. “Approaches to and Strategies for Language Revitalization.” In The Oxford Handbook of Endangered Languages , edited by Kenneth L. Rehg and Lyle Campbell. New York: Oxford University Press. Hyde, Janet. 2005. “The Gender Similarities Hypothesis.” American Psychologist 60 (6): 581–92. Kay, Paul, and Willett Kempton. 1984. “What Is the Sapir-Whorf Hypothesis?” American Anthropologist, 86 (1): 65–79. Kay, Paul. 2015. “Linguistics of Color Terms.” In International Encyclopedia of the Social & Behavioral Sciences , edited by James D. Wright, 231–4 . Amsterdam, NY: Elsevier. Keenan [Ochs], Elinor. 1974. “Norm-Makers, Norm-Breakers: Uses of Speech by Men and Women in a Malagasy Community.” In Ethnography of Communication , edited by R. Bauman and J. Sherzer, 125–43 . Cambridge, UK: Cambridge University Press. King, Jeanette. 2018. “Māori: Revitalization of an Endangered Language.” In The Oxford Handbook of Endangered Languages , edited by Kenneth L. Rehg and Lyle Campbell. New York: Oxford University Press. Kulick, Don. 1992. Language Shift and Cultural Reproduction: Socialization, Self, and Syncretism in a Papua New Guinean Village. Cambridge, UK: Cambridge University Press. Labov, William. 1972a. “Academic Ignorance and Black Intelligence.” June 1972. https://www.ling.upenn.edu/courses/ling001/Labov1972.pdf. Labov, William. 1972b. “The Logic of Nonstandard English.” In Language in the Inner City: Studies in the Black English Vernacular , 201–40 . Philadelphia, PA: University of Pennsylvania Press. Labov, William, Ash, Sharon, Boberg, Charles. 2006. Atlas of American English: Phonetics, Phonology and Sound Change. New York. Mouton de Gruyter. Lakoff, George, and Mark Johnson. 1980. Metaphors We Live By . Chicago: University of Chicago Press. Lakoff, Robin. 1975. Language and Woman’s Place. New York: Harper and Row. Levinson, Steven. 2003. Space in Language and Cognition: Explorations in Cognitive Diversity. Cambridge, UK: Cambridge University Press. Lim, Yen Ying, and Peter Snyder. 2015. “Human Language: Evolutionary Precursors.” In International Encyclopedia of the Social & Behavioral Sciences , edited by James D. Wright, 329–34. Amsterdam, NY: Elsevier. Lippi-Green, Rosina. 2012. English with an Accent: Language, Ideology, and Discrimination in the United States. London and New York: Routledge. Lucy, John. 2015. “Sapir-Whorf Hypothesis.” In International Encyclopedia of the Social & Behavioral Sciences , edited by James D. Wright, 903–6 . Amsterdam, NY: Elsevier. Martin, Laura. 1986. “‘Eskimo Words for Snow’: A Case Study in the Genesis and Decay of an Anthropological Example.” American Anthropologist , 88 (2): 418–23. Massachusetts Institute of Technology. “Did Humans Speak through Cave Art? Ancient Drawings and Language's Origins.” ScienceDaily. February 21, 2018. https://www.sciencedaily.com/releases/2018/02/180221122923.htm. Mensah, Adinkrah. 2020. “'If You Die a Bad Death, We Give You a Bad Burial’: Mortuary Practices and 'Bad Death’ among the Akan in Ghana.” Death Studies . doi: 10.1080/07481187.2020.1762264. Mertz, Elizabeth. 2007. The Language of Law School: Learning to “ Think Like a Lawyer .” Oxford, UK: Oxford University Press. Miyagawa, Shigeru, Cora Lesure, and Vitor A. Nóbrega. 2018. “Cross-Modality Information Transfer: A Hypothesis about the Relationship among Prehistoric Cave Paintings, Symbolic Thinking, and the Emergence of Language.” Frontiers in Psychology. February 20, 2018 https://doi.org/10.3389/fpsyg.2018.00115. Muehlmann, S. 2014. “The Speech Community and Beyond: Language and the Nature of the Social Aggregate.” In The Cambridge Handbook of Linguistic Anthropology , edited by N. Enfield, P. Kockelman, and J. Sidnell, 577–98. Cambridge, UK: Cambridge University Press. Ochs, Elinor, and Schieffelin, Bambi. (1984) 2001. “Language Acquisition and Socialization: Three Developmental Stories and Their Implications.” In Linguistic Anthropology: A Reader , edited by A. Duranti, 263–301 . Oxford, UK: Blackwell. Patterson, Francine, and Eugene Linden. 1981. The Education of Koko . New York: Holt, Rinehart, and Winston. Purnell, Thomas, William Idsardi, and John Baugh. 1999. “Perceptual and Phonetic Experiments on American English Dialect Identification.” Journal of Language and Social Psychology 18 (1): 10–30. Seeley, Thomas D. 2010. Honeybee Democracy . Princeton, NJ: Princeton University Press. Shatwell, Justin. 2012. “The Long-Dead Native Language Wopânâak Is Revived.” Yankee Magazine. October 9, 2012. https://newengland.com/yankee-magazine/living/profiles/wampanoag-language. Solnit, Rebecca. 2008. “Men Explain Things to Me; Facts Didn't Get in Their Way.” Common Dreams . April 13, 2008. https://www.commondreams.org/views/2008/04/13/men-explain-things-me-facts-didnt-get-their-way. Sukiennik, Greg. 2001. “Woman Brings Tribe’s Dead Language Back to Life.” Los Angeles Times . March 24, 2001. https://www.latimes.com/archives/la-xpm-2001-mar-24-mn-42039-story.html Sweet, Nicholas. 2019. “Ritual Contingency: Teasing and the Politics of Participation.” Journal of Linguistic Anthropology 30 (1): 86–102. Tannen, Deborah. 1990. You Just Don’t Understand: Women and Men in Conversation. New York: Ballantine Books. West, C. 1998. “When the Doctor Is a Lady: Power, Status, and Gender in Physician-Patient Encounters.” In Language and Gender: A Reader , edited by J. Coates, 396–412 . Oxford, UK: Blackwell. “Words We’re Watching: Mansplaining.” 2018. Merriam-Webster.com Dictionary . Merriam-Webster. https://www.merriam-webster.com/words-at-play/mansplaining-definition-history. Yu, Ning. 2016. “Spatial Metaphors for Morality: A Perspective from Chinese.” Metaphor and Symbol 31 (2): 108–25. Zimmerman, D., and C. West. 1975. “Sex-Roles, Interruptions, and Silences in Conversation.” In Language, Gender and Society , edited by B. Thorne, C. Kramarae, and N. Henley, 89–101 . Rowley, MA: Newbury House. language revitalization the process of reviving an endangered or dormant language using strategies such as immersion schools and master-apprentice programs.", "section": "Language and Power", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Four entertainment professionals indicate their job satisfaction (credit: “De los Carnavales de Valdemoro” by manuel m. v./flickr, CC BY 2.0) If you are in college, someone has probably asked you the question, “So, what you want to do after you graduate?” Are they asking about the hobbies you would like to pursue? Are they asking about the vacation spots you would like to visit, the sporting events you would like to attend? No, of course not. When people ask about your plans postgraduation, they are asking about work. After you graduate, you will be faced with a similar question: “What do you do in life?” or “What do you do for a living?” It is one of the first things people ask when they meet someone new. What do people mean when they ask what someone does for a living? Certainly, they are wondering what kind of work that person does in order to meet basic needs for food, clothing, and shelter. But they are wondering more than just that. If someone answers, “I’m a circus clown,” or “I’m a tax accountant,” what does that reveal? Only where their paycheck comes from? Or does it also give some idea about where they live, what they eat, how they spend their days? Does it hint at what is important to that person? Of course, it can be misleading to generalize. But the way a person makes a living does often say something about that person’s way of life. In some cases, the question of what a person does for a living is not just an individual matter but one for the whole society. In some societies, most people meet their basic needs by doing roughly the same thing. And even in societies where different people play different roles, there is a fundamental process for making and distributing things that people need and want. Economists and anthropologists agree that this is the most basic definition of an economy: the central way in which societies meet basic material needs and wants. More specifically, an economy is a system for making, circulating, and using things, including material goods, services, and information. Economic systems are shaped by ideas about the meaning and value of objects, actions, and people. In many economic systems, some groups gain control over the work and leisure of others, structuring relations of inequality that operate through techniques of discipline (in the realm of work) and persuasion (in the realm of consumption). Like nosy strangers at a cocktail party, anthropologists always want to know what people do for a living. Archaeologists are curious about how people in the past developed strategies for making a living in response to different environmental conditions and sociocultural pressures. Physical anthropologists are interested in how human biology evolved alongside ways of using the environment to meet basic needs. Cultural anthropologists study the social and cultural implications of different ways of making a living. And linguistic anthropologists focus on the roles of language, classification, and metaphor in shaping different strategies for making a living. This chapter takes a close look at the primary ways in which humans interact and have interacted with the environment to meet their basic needs, in the past and in the present day. This area of study is called economic anthropology.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Economies: Two Ways to Study Them Learning Outcomes By the end of this section, you will be able to: Distinguish between economic anthropology and the discipline of economics. Describe the universalist and normative approaches to studying economic issues. Understand the importance of diversity, holism, environmentalism, and cultural relativism to economic anthropology. Explain how economic anthropology foregrounds social groups and power relations. Maybe you’ve had a course on economics or read a book by an economist. There are many good ones. A favorite of the author of this chapter, Jennifer Hasty , is Capital in the Twenty-First Century , by the French economist Thomas Piketty. It is an unusual book for a contemporary economist to have written. In fact, it’s almost anthropological. Most economics research is not very anthropological. Recall the three commitments of anthropology—in short, diversity, holism, and environmentalism. Across the four fields, anthropologists also value cultural relativism and reaching for an insider’s point of view. When an anthropologist considers how societies, groups, and individuals make a living, they incorporate these commitments and values. Take a look at a few of the articles featured in the January 2021 issue of Economic Anthropology : “Religious Networks and Small Businesses in Senegal” “Honesty and Economy on a Highway: Entanglements of Gifts, Money, and Affection in the Narratives of Ukrainian Sex Workers” “Gendering Human Capital Development in Western Alaska” “‘No trabajaré pa’ ellos’: Entrepreneurship as a Form of State Resistance in Havana, Cuba” Note the diversity of cultural contexts (the West African country of Senegal, the eastern European country of Ukraine, the North American state of Alaska, and the Central American island country of Cuba). Other articles in this same issue focus on economic issues in Kentucky, Spain, Italy, China, and Colombia. The titles also demonstrate an interest in linking ways of making a living to other aspects of society, such as religion, gender, and political resistance. All are based on long-term fieldwork aimed at understanding the multiple perspectives of local peoples and groups. Note also terms such as gendering and resistance , indicating an anthropological interest in social groups and power relations. Perhaps most importantly, the point of these articles is not to evaluate economic practices as better or worse compared to an ideal. Rather, economic anthropologists analyze the cultural and historical features that shape economic practices in different cultural contexts. As for environmentalism, this issue also features a discussion by five anthropologists on the topic of what economic anthropology contributes to the understanding of climate change. In this one issue, all of the central elements of anthropology are on full display. How is this approach different from the one taken by the discipline of economics? Compare Economic Anthropology with a premier economics journal, the American Economic Review (AER). The January 2021 issue of AER features such articles as the following: “Going Negative at the Zero Lower Bound: The Effects of Negative Nominal Interest Rates” “The Distributional Consequences of Public School Choice” “Politically Feasible Reforms of Nonlinear Tax Systems” “Lack of Selection and Limits to Delegation: Firm Dynamics in Developing Countries” “Job Seekers’ Perceptions and Employment Prospects: Heterogeneity, Duration Dependence, and Bias” The first thing you might notice in this list is the lack of any cultural context, with the one exception being the vague reference to “developing countries.” School choice where? Whose tax systems? Which job seekers? Although some of these articles do specify the context in the article text, that detail is not considered a sufficiently important part of the analysis to warrant inclusion in the title. This suggests that mainstream economic analysis assumes that history and culture do not play a very strong role in economic issues such as school choice, tax systems, and job seeking. Economists tend toward universalism , which assumes that economic processes operate in much the same way all over the world. In fact, a central concern of economics is to discover the universal principles that govern economies anywhere and everywhere. Implicit in most economic analysis is the idea that most realms of society work like markets, responding to universal forces of supply and demand. Moreover, economists view people as self-interested, rational actors situated within the various market-driven realms of society. Economists use statistics rather than fieldwork to evaluate these market-driven activities, sometimes searching for best policies to encourage economic growth or discourage inequality. Most of the articles in the January 2021 issue of the AER focus squarely on the economic realm, tracing relationships between factors within this realm rather than reaching beyond it, as anthropologists tend to do. And finally, in the January 2021 issue of the AER, there is no mention of environmental issues. This comparison is not intended to denigrate the discipline of economics but rather to show the difference in how anthropology frames economic issues. Anthropologists take a human-centered approach to economic issues, describing what people think and do as they make a living and how their practices change over time. Economists take a market-centered approach, describing how market mechanisms shape different areas of human life and how those processes change over time. universalism the belief that social systems have operated roughly the same way all over the world at all times past and present.", "section": "Economies: Two Ways to Study Them", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Modes of Subsistence Learning Outcomes By the end of this section, you will be able to: Define modes of subsistence. Describe the general elements of all modes of subsistence. List the four main modes of subsistence humans have used to make a living. Understand how each society has a predominant mode of subsistence but may also practice strategies from other modes. Anthropologists have a term for the way that people interact with their environments in order to make a living: mode of subsistence . There are four main modes of subsistence that have been used throughout human history: gathering-hunting, pastoralism, plant cultivation, and industrialism/post-industrialism. Each of these modes incorporates distinctive strategies for producing, exchanging, and consuming the things that people need to survive. At the most fundamental level are the basic necessities of food, clothing, shelter, and health. Modes of subsistence provide solutions to meet these needs by generating materials from the environment and developing techniques of labor and forms of technology to process those materials. Beyond these very important functions, modes of subsistence also organize society to get the necessary work done. Societies develop roles, groups, and institutions to divide up the workload of producing things. Modes of subsistence also entail specific ways of trading and circulating things within and beyond local groups. And finally, modes of subsistence emphasize certain ideals and values. This chapter will examine the four basic modes of subsistence one by one, including their development and a detailed ethnographic example of each. While each mode of subsistence is explored separately, it is important to recognize that most societies have a predominant mode of subsistence that incorporates various practices from other modes. The chapter also discusses the contemporary predicaments faced by many peoples practicing the first three strategies and why one might want to protect and support those economic lifeways. mode of subsistence a way in which people interact with the environment to meet their needs. Each mode of subsistence involves its own forms of knowledge, techniques, technologies, and social organization.", "section": "Modes of Subsistence", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Gathering and Hunting Learning Outcomes By the end of this section, you will be able to: Define the subsistence strategy of hunting and gathering, also known as gathering-hunting. Identify and distinguish gathering-hunting groups in prehistory and contemporary societies. Articulate how gathering-hunting promotes certain other cultural forms. Overturn assumptions about the supposed “hard life” of gathering-hunting groups. Recognize the challenges facing most gathering-hunting groups today. Imagine that you were stripped of all possessions and transported to a grassland environment along with 30 or so other people. How would you begin to make a living? How would you find food and shelter? How would you keep your body comfortable and healthy? Throughout the millions of years of hominin evolution, those living in such environments practiced a strategy known as gathering-hunting . Some peoples still practice this flexible and congenial way of life. In gathering and hunting societies, people rely on the natural resources readily available in their environment. They gather fruits, nuts, berries, and roots and collect honey from wild bees. They hunt and trap wild animals, and they fish in rivers and lakes. Many gathering-hunting groups also engage in limited ways in other modes of subsistence, which will be examined later in the chapter, but their main way of making a living is through gathering and hunting. You might be surprised to see the word gathering appear before hunting in describing this subsistence strategy. The word order reflects a key debate about this subsistence strategy. Some researchers object to hunting and gathering because it privileges hunting as the most important activity of such groups. Early interest in these groups focused on the hunting activities of men as the most prestigious and valuable subsistence practices. In fact, gathering—done by both women and men—provides the vast majority of calories in the diets of such groups. This chapter will refer to this subsistence strategy as gathering-hunting and the people who practice it as gatherer-hunters . The Hadza: Gathering-Hunting as a Subsistence Strategy The Hadza of northern Tanzania are a resilient example of the way of life of gathering-hunting peoples as well as the contemporary challenges facing such groups. Like most gathering-hunting peoples, the Hadza traditionally lived in seminomadic groups of 20 to 30 people, called bands . About one-third of contemporary Hadza still practice this way of life. Hadza bands settle temporarily to gather and hunt the resources of a particular area, then move on to other areas in seasonal migrations. Sometimes, groups agglomerate into camps of several hundred to take advantage of seasonal foods such as berries. On most days, both men and women venture out into the savanna to gather food. Men seek out meat, honey, and baobab fruit, while women gather tubers, berries, and greens. When work is assigned based on a person’s sex, anthropologists call this a sexual division of labor . In Hadza society, men and women do specialize in obtaining different foods, but the division is not hard and fast; sometimes men pick berries, and sometimes women gather honey. Women of the Hazda cooking and socializing. The Hazda practice a traditional gathering-hunting lifestyle. (credit: “Day 5 - Time with the Hadza tribe” by sueomstead/flickr, CC BY 2.0) Women go out gathering in small groups, picking fruits by hand and using digging sticks to bring up edible roots. They carry foods in grass baskets and leather pouches. People feed themselves throughout the day and bring home foods to share with the whole band in the evenings. Hadza men often hunt in pairs at dawn and dusk, using bows and arrows coupled with expert tracking skills. They use animal ligaments for bowstrings and craft their arrows from wood and guinea fowl feathers. They use the sap of the desert rose plant to poison their arrow tips. Back when the area was teeming with large animals, hunters brought down zebras, giraffes, and buffalo. As the big game have diminished, they more often target antelope, monkeys, and warthogs. The Hadza have forged a mutually beneficial human-animal relationship to obtain honey, a highly valued food that contributes 10 to 20 percent of the calories they consume. Hadza men whistle or strike trees to summon a honeyguide, a gray-brown bird that eats beeswax. Hearing this summons, the bird calls back to the honey hunter in a chattering response. Using this call-and-response, the honeyguide leads the hunter to a beehive. Hunters use smoke to calm the bees while they cut into the hive to harvest the honeycomb. After eating some of the honey on the spot, hunters then leave wax for the birds. Some honey is also brought back to camp to share with other members of the band. Hadza men have forged a mutually beneficial relationship with this bird, known as a honeyguide. The bird helps the men locate beehives and, after harvesting the honey from the hives, the men leave wax from the honeycomb for the bird. (credit: “Lesser Honeyguide, Indicator minor, at Pilanesberg National Park, South Africa” by Derek Keats/flickr, CC BY 2.0) Like most gathering-hunting peoples, the Hadza are highly egalitarian , meaning that all people are considered equal and all resources are shared equally. Gathered foods brought back to the camp, including meat, are shared among all members of the band. Gathering-hunting groups deplore stinginess as the worst human fault, and people who refuse to share are met with gossip, ridicule, and even ostracism. Decisions are made through public discussions leading to group consensus. No person has any sort of leadership role. Rather, people with experience in certain areas of social knowledge provide their expertise as needed. In-group fighting is not common, but it does occur, sometimes leading to personal violence and even a split in the band if the conflict cannot be resolved. Violent conflict between groups is very rare among gatherer-hunters. The Sociocultural Complex of Gathering and Hunting Anthropologists have identified features of Hadza society as distinctive to gathering-hunting groups found all over the world. Groups such as the Martu and Pintupi in Australia, the Cuiva and Pumé in South America, the Paliyan and Kattunayakan in Asia, and the Inuit and Shoshone in North America have all constructed similar lifeways based on gathering and hunting (Lee 2018). The social features of this way of life include mobility, sexual division of labor, egalitarianism, and vast knowledge of their environments. The most common feature of gatherer-hunters is mobility. Such groups typically move in seasonal cycles over broad territories, regularly meeting up with other groups at specific spots such as water sources and patches of ripe vegetation. Bands tend to confine their subsistence activities to their own territories, but if faced with a scarcity of resources, they will commonly ask other groups for permission to gather and hunt in neighboring territories. These requests are facilitated by cross-band friendships and marriages that develop when bands camp together at certain times of the year. As a result, such requests are nearly always approved. The second feature common to gatherer-hunter societies is the sexual division of labor. Often, men do most or all of the hunting, though recent archaeological evidence suggests that some women also hunted in the past. Both women and men gather, but they often gather different things, and women bring home the majority of gathered foods. The relative equality of women in gatherer-hunter societies is linked to their primary role in supplying calories to the gatherer-hunter diet. Hunting is a prestige activity, however, giving prominence to men who are particularly successful hunters. A Hadza man returns from a successful hunt. Like other gatherer-hunter societies, the Hadza utilize a sexual division of labor, with women doing the bulk of the gathering and men doing most of the hunting. (credit: “Success” by Anja Pietsch/flickr, CC BY 2.0) The third feature of gatherer-hunters is a strong tendency toward egalitarianism. As they are so often on the move, gatherer-hunters do not typically own many material possessions, and those they have are circulated through the band on the basis of need. All gathered and hunted foods are shared among all members of the band. Generosity is praised and admired. People are considered equal and are actively discouraged from valuing themselves above others. Greed and excessive pride are stigmatized and punished with gossip and criticism. People who fight or refuse to share can be ostracized from the band. These are broad generalities. The gatherer-hunter mode of subsistence commonly coordinates with these sociocultural features, but some groups do provide exceptions. In particularly productive environments, gatherer-hunters can settle down in one place for periods of time. The year-round availability of fish allows gatherer-hunter groups in coastal or riverine areas to form permanent or semipermanent settlements. Diet and labor patterns also vary. Closer to the equator, gatherer-hunter groups rely more on gathering because plants are plentiful year-round. Farther from the equator, in cooler climates, vegetation is scarce in winter, and gatherer-hunters rely more on hunting. Degrees of inequality and conflict also vary somewhat, often in association with the availability of resources. Situations of scarcity often generate social conflict. While one can describe a general mode of subsistence, it is important to acknowledge the diversity of strategies and features within this mode. All gatherer-hunters, however, absolutely must possess deep knowledge of the plants, animals, and sources of water in their environments. Many gatherer-hunters can identify over a hundred sources of plant and animal foods in their environments, along with detailed information about where and when they can find each type. Often, they rely on a few staple foods that are readily available year-round. When the Dobe Ju/’hoansi of the Kalahari Desert cannot find other foods, they count on mongongo nuts, a highly nutritious, drought-resistant food. Eating 300 mongongo nuts (a hefty serving) supplies 1,200 calories and 56 grams of protein. At certain times of the year, mongongo nuts constitute nearly half of the diet of the Dobe Ju/’hoansi. Contemporary Challenges to Gathering and Hunting Societies Originally, all Hadza lived as foragers. In the early 20th century, the British colonial government attempted to convert them to farming and Christianity, but the Hadza successfully resisted. Since the 1950s, however, farmers and herders have claimed their territory, making the Hadza squatters on land they have occupied for millennia. The plants they rely on for food have been clear-cut to make way for the onion and sweet potato crops planted by farming groups. Hadza watering holes have been appropriated for irrigation. The Tanzanian government has responded with yet another attempt to settle the Hadza, building villages on their lands and attempting to convert them to farming. About two-thirds of all Hadza people now live part-time in these villages, where they receive donations of food from the government. They live in poverty on the land stolen from them by their farming and herding neighbors, who discriminate against them as troublesome primitives. Many Hadza now farm for part of the year and then leave their villages to engage in gathering-hunting for several months. Over the past few years, however, the Hadza have won several victories in their struggle to regain control over their lands. In 2007, the local government leased 6,500 square kilometers of Hadza land to the royal family of the United Arab Emirates for use as a “personal safari playground.” Removed from the land and confined to a government reservation, the Hadza protested, and some resisters were imprisoned. Their campaign against the deal was supported by a coalition of local and international groups. The controversy garnered attention in the global news media, and the government eventually rescinded the deal. In 2011, the Hadza asserted a claim to 57,000 hectares of land, and the Tanzanian government consented, granting them title to this land. It was the first time the Tanzanian government had ever recognized the land rights of gathering-hunting peoples. Like the Hadza, all contemporary gathering and hunting groups face economic and political pressures that threaten their way of life. Herders and farmers encroach on their territories, leasing or purchasing their lands and then forcibly evicting the original inhabitants. Local and national governments attempt to settle such groups in permanent villages in order to establish their own rule of law, collect taxes, provide education and medical care, and assimilate them as citizens. Often, gathering-hunting groups agree to settle and then, after a while, abandon the villages established for them and escape to their lands to resume a gathering-hunting lifestyle. Many Hadza say they love living close to nature, making their own material culture, and working and resting at will, always on the move. The Original Affluent Society: Comparing Ancient and Contemporary Foragers In agricultural and industrial societies, people often assume that gathering-hunting peoples must live a hard life, oppressed by the struggle to find enough food and plagued by malnutrition and poor health. Archaeologists and cultural anthropologists who have studied gathering and hunting groups have found otherwise. Researchers have discovered that gatherer-hunters have stronger bones, lower blood pressure, and less heart disease than neighboring farmers, likely due to the amount of walking they do and the abundance of fruits, nuts, and vegetables in their diets (American Heart Association 2012; University of Cambridge 2014). In his ethnographic work among the Dobe Ju/’hoansi, anthropologist Richard Lee found that they worked on average three to four days a week obtaining food and spent the rest of their time socializing and enjoying life. He described the Dobe Ju/’hoansi as fit, healthy, and free of nutritional deficits (1993). Indeed, some Hadza have remarked that the notion of famine is unknown to their culture. While Harvard economist John Kenneth Galbraith has referred to the wealthy industrial economy of the United States as “the affluent society,” anthropologist Marshall Sahlins describes the gathering and hunting lifestyle as “the original affluent society.” For some 95 percent of evolutionary history, humans and human ancestors relied on gathering and hunting to make a living. In evolutionary terms, it is only very recently that humans have established other modes of subsistence. Farming was invented around 12,000 years ago, far too recently to have shaped humans’ biological evolution very much. By contrast, hominins were practicing gathering and hunting for more than two million years. If humans have evolved to practice any lifestyle, it would be gathering-hunting. This suggests that humans’ brains and bodies might be best suited to the lifestyle described by ethnographers who study gathering-hunting groups: long walks in nature; a diet of mostly fruits, nuts, and vegetables; and plenty of leisure time to relax and talk. Maybe humanity’s ancestors were as robust and happy in their way of life as many contemporary foragers. Maybe. The problem with this sort of thinking is that people today really don’t know what life was like for humanity’s gathering-hunting ancestors. The archaeological record of fossils and artifacts can reveal much about the diet and diseases of early hominins, but they tell very little about early social structures and cultural values. Some anthropologists have looked to contemporary gathering and hunting groups to understand the way of life of humanity’s ancestors. Maybe they, like contemporary gatherer-hunter peoples, lived in egalitarian bands with group decision-making and a flexible division of labor based on gender, valuing sharing and deploring stinginess. Certainly, they must have had impressive knowledge of the resources and dangers in their environments. And yet it is a mistake to view the way of life of contemporary gathering-hunting societies as examples of the way of life of humans’ evolutionary ancestors. Groups such as the Hadza are not frozen in time, practicing a static lifeway of the deep past, but rather constantly changing and innovating, blending new ideas and practices with older ones just as farmers, herders, and industrialists do. Most contemporary gathering-hunting groups have lived side by side with farming and herding groups for centuries, often trading with those groups and even experimenting with their subsistence methods from time to time. Most gatherer-hunters have been forced to relocate to less advantageous lands due to the encroachment of these herders and farmers. The culture of many gatherer-hunter groups has been shaped by their incorporation as marginalized minorities in larger nation-states such as Tanzania . As the way of life of contemporary gatherer-hunters has changed so dramatically just in the past century, it’s difficult to draw firm conclusions about human evolutionary history based on their example. band a form of social organization associated with gatherer-hunter societies. Bands are relatively small, often around 50 people, ideal for a nomadic or seminomadic lifestyle. egalitarian emphasizing equality and sharing. gathering-hunting the mode of subsistence in which people rely on resources readily available in their environment. Gathering-hunting peoples collect fruits, nuts, berries, and roots and harvest honey. They also hunt and trap wild animals. seminomadic the practice of settling in one place for a period of time, usually a few weeks, then moving to a new site to find fresh resources. sexual division of labor the assignment of work based on a person’s sex.", "section": "Gathering and Hunting", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Pastoralism Learning Outcomes By the end of this section, you will be able to: Describe the process of animal domestication. List the array of practices associated with the subsistence strategy of pastoralism. Identify the cultural features associated with the herding way of life. Provide a detailed example of a pastoralist society. Discuss the challenges facing contemporary pastoralist societies. In many gathering and hunting societies, bands follow herds of wild game as they move in seasonal migrations. Researchers speculate that such hunting practices may have led to the development of a new subsistence pattern around 10,000 to 12,000 years ago. Relying on their expert knowledge of the behavior and biology of game animals, hunters might have begun to control the movement of wild herds, steering the animals to territories that might be especially rich in grazing resources or conducive to certain hunting strategies. These new practices may have been a response to the diminishing of key game species due to overhunting, prompting hunters to devise strategies to enhance the animals’ diet and reproduction. This human-animal relationship may have deepened over time as people discovered the nutritional resources available from live animals, such as milk and blood. Rather than killing an animal for meat, early herders figured out how to benefit from live animals and guide their reproduction to enlarge the herds. They began to selectively breed the healthiest and heartiest animals in their herds. They learned how to process animal products such as milk, hides, and hooves for use as food, textiles, and tools, and some used dung to fuel their fires. This process is called animal domestication . Humans in different environments domesticated a wide range of prey animals, including sheep, goats, cattle, water buffalo, yaks, pigs, reindeer, llamas, and alpacas. Pastoralism is the mode of subsistence associated with the care and use of domesticated herd animals. Pastoralism shares many features with gathering-hunting, in particular the practice of ranging over a broad territory in seasonal cycles. Indeed, as they move with their herds to optimal grazing lands, many pastoral peoples gather fruits and nuts or occasionally hunt small game. Unlike gathering and hunting, however, herding promotes a sense of ownership over resources, as families develop close relationships with specific herds. Rather than sharing resources as foragers do, pastoralists consider their herds to be family property. Herds associated with a family are passed down to subsequent generations, most frequently from fathers to sons. Archaeologists believe that pastoralism was developed around the same time as farming. In many regions, the two subsistence strategies are practiced by neighboring groups in symbiotic relations of trade. Often, a group will combine pastoralism with farming. Where rain is plentiful and soils are rich for cultivation, farming is used to take advantage of these resources. Pastoralism is utilized in areas with more marginal soils or unpredictable rainfall, conditions not optimal for farming but able to support herd animals if they are moved regularly to newly grown pastures and freshwater sources. Pastoralists who don’t farm usually trade meat, milk, and other animal products for the grains and vegetables grown by neighboring farmers. Most contemporary pastoralists find it necessary to supplement their diet of animal products with the vitamins and carbohydrates in cultivated plant foods and are able to do so through small farming and trade. The Bedouin: Flexible Pastoralism Across the dry grasslands of Arabia and northern Africa live about three million Arab peoples collectively known as the Bedouin . Before the 20th century, Bedouin peoples made their living primarily by herding camels, sheep, goats, and cattle. Many still do, although they often cultivate crops or work as wage laborers as well. Among those Bedouin still devoted to herding, most specialize in one or two herd animals particularly suited to the climate and available pastures in their environment. In areas around Jordan, Syria, and Iraq, sheep and goats are preferred, while cattle are kept by Bedouin groups in southern Arabia and Sudan. In very dry regions such as the Sahara and the Arabian Deserts, Bedouin groups herd camels, hardy animals with scant need for water. Camels are valued as transport but also for their high-quality milk and tasty meat. Camel herding, though a prized tradition, is becoming increasingly rare among Bedouin. Bedouin supplement their camels’ diet with feed, and many have been forced to sell off their camels as the price of feed rises. Since the 1960s, trucks and cars have replaced camels as a means of transportation for the Bedouin, sometimes used to bring food and water to herds in arid regions. A herd of goats relaxes at a Bedouin camp near Jericho, in what is now the West Bank. Bedouin peoples rely on herding animals – such as camels, sheep, cattle, and goats – for meat, milk, and fiber. (credit: “Bedouin Goats 1557” by James Emery/flickr, CC BY 2.0) Bedouin pastoralists have traditionally lived in small camps that are moved as frequently as needed to find fresh pastures for their herds, sometimes as often as every few days. This form of herding is called nomadism . Each camp consists of several tents, each one housing an extended family. Typically, a tent might house a married couple with their children and one or two siblings of the husband. Within the camp, several tents might house people who are related to each other, as sons marry and establish their own tents. For instance, a camp could comprise 70 to 100 people, including the families of several brothers, each tent housing the family of a brother, a son, or an elder. Often, the families of the camp move together during the summer months, then converge with other groups in larger camps during the winter months. Camps usually consist of 3 to 15 tents. A Bedouin tent in Jordan. Tents can be quickly constructed and easily transported, making them the perfect home for those practicing a lifestyle that requires frequent movement. (credit: “Bedouin Camp” by young shanahan/flickr, CC BY 2.0) Instead of ranging freely, other Bedouin have traditionally moved their herds between two permanent settlements, one for the summer months and the other for winter. This pattern of pastoralism is known as transhumance . In societies that practice this form of subsistence today, young children and the elderly often remain in permanent camps year-round, benefiting from government health care and schools. Some Bedouin use transhumance to combine herding with small farming. For instance, some Egyptian Bedouin plant barley in the fall and then move with their herds into the desert, leaving behind a few people to tend to the crops. In the summer, the mobile group returns to harvest the crops, and the entire group spends the summer together. Stone houses have replaced tents in many permanent camps. Both tents and houses are rectangular, divided into two or three rooms. One area is for women, with a kitchen and storeroom. One area is primarily for men, where guests and relatives are entertained. Sometimes, a third area is devoted to the care of sick or young animals. Like gatherer-hunters, pastoralists divide work according to a sexual division of labor. For the Bedouin, that division is determined by the types of animals herded by the group. When both large and small animals are kept, men take responsibility for larger animals, such as camels and cattle. Women herd, feed, and milk smaller animals, such as goats and sheep. But when only small animals are herded by a group, men usually do the herding, while women do the feeding and milking. Where sheep are kept, women spin the wool into yarn, then weave it into strips used to make tents. A Bedouin woman working at a loom. Spinning and weaving are tasks typically assigned to women in Bedouin societies. (credit: “Weaving Demonstration” by Alan Kotok/flickr, CC BY 2.0) Unlike foragers , pastoralists strongly value private property, primarily in the form of their herds. The wealth of a family is judged by the size of their herds. Bedouin sons and daughters both inherit herd animals from their fathers, though sons receive more than daughters. Because women are barred from caring for large animals, if a woman inherits camels, she usually entrusts them to a brother or cousin. All property is shared among members of the family. Bedouin who live in desert regions have extensive knowledge of their challenging environment. They have a large vocabulary for describing different kinds of sand and analyzing dune shapes and other changes in their surroundings (Eastep). Men often go on long drives through the desert, scouting out good grazing spots or looking for rabbits to hunt. Arabian Bedouin are expert trackers, able to judge the age and physical condition of a camel from its tracks as well as when the track was laid and the weight of the animal’s burden. The Sociocultural Complex of Pastoralism As with gathering-hunting, the subsistence mode of pastoralism is coordinated with particular sociocultural features. First and foremost, these are cultures that revolve around herd animals. All aspects of culture are shaped by a preoccupation with herds. The size of a family’s herds is a measure of wealth and social status. Animals are used for meat, milk, blood, cloth, and leather. Animals are gifted to cement social relationships such as marriage and slaughtered to commemorate special occasions or the visit of an honored guest. Animals are passed down from fathers to children, establishing the social position and durability of families. Many pastoralist societies have vibrant traditions of music and oral poetry celebrating their animals and their herding lifestyle. A second feature of pastoral societies is mobility. When herding is the primary livelihood, the group must constantly be on the move. Many agricultural societies also keep domestic animals, but in these cases, the people and their animals stay put on the farm, as crops are the fundamental means of survival. Therefore, farmers tend to have many fewer animals than herders. With larger herds feeding from what are often marginal lands, pastoralists must drive their animals to fresh pastures on a regular basis, often in seasonal cycles over large rangelands. The mobile life of herding groups is structured by various strategies of nomadism and transhumance, as with Bedouin groups. Mobility discourages the accumulation of private property other than herd animals, further enhancing the value of animals to herding groups. Third, pastoralists rely on a division of labor based on gender and age. And the workload is heavy. Those living in pastoralist societies must herd animals to good pasture, provide them with water, search for new pastures, protect animals from predators, care for sick and weak animals, process animal products such as meat and milk, and produce or obtain all the other elements of material culture necessary for daily life (Bollig 2018). Day-to-day herding is often carried out by boys, while older men take on more complex tasks such as providing water from hard-to-access wells and hunting down predators (Homewood 2018). Older men also manage herds, buying and selling animals to optimize ratios of male to female, old to young. And men settle arguments and make family decisions about resources and security. Women are frequently responsible for milking animals, processing milk products such as cheese and yogurt, and selling those products in local markets. Women and girls make tents and mats, set up and break down camps, gather firewood and wild foods, and do the cooking. Women also care for sick animals and people, maintaining the store of knowledge about available plant medicines. The fourth feature of herding societies is a vast store of knowledge about animals and the environment. Pastoralists have developed an intimate understanding of the vegetation and water sources necessary for their herds as well as medicinal and edible plants available in different zones of their rangelands. They have deep insight into the anatomy and behavior of their herd animals. They know the qualities associated with different species and how to mix species by gender and age to maintain the availability of animal products such as milk, meat, and wool. Previously, scholars thought that pastoralism was destructive to the environment because of overgrazing. In recent decades, however, studies have demonstrated that herding groups strategically rotate their herds across their rangelands to control the impact on the environment, creating a sustainable way of life. Contemporary Challenges to Pastoralism Like many pastoralists, the Bedouin require large tracts of land to continually provide fresh grazing for their herds. Families are associated with defined territories and rarely go beyond them. The nation-states that encompass Bedouin territories do not recognize their right to ownership, however, and consider those lands state-owned. Eager to control this land, governments have asserted various policies to settle the Bedouin, providing schools and health clinics in order to lure them away from their nomadic pastoral lifestyle. In Egypt, for instance, the government has seized desirable coastal areas from Bedouin groups and sold the land to investors who want to build hotels for the tourism industry. In 1999, the Egyptian army bulldozed a tourist campground run by local Bedouin in order to clear the way for a hotel. The Tourism Development Authority claimed that the Bedouin had only recently lived on the coastal lands and so did not have any right to remain there. In Israel, the government often destroys Bedouin camps and villages in order to make way for settlements and military zones. In November 2020, Israeli soldiers demolished Bedouin structures in the occupied West Bank. Tens of thousands of Bedouin have been displaced by such demolitions and banished from their grazing territories. Pressured by government regulations and military interventions, many Bedouin now live settled lives in villages and cities across North Africa and the Middle East . Many combine sedentary herding with small farming. Some work as taxi drivers or managers of cafés or campgrounds. Some have become wealthy by investing in the tourist economy and other ventures. Many speak nostalgically of their nomadic way of life and sometimes venture out into the desert again to pasture their herds. A Bedouin Palestinian woman in front of the remains of her home, which was destroyed by Israeli law enforcement. Tens of thousands of Bedouin have been displaced by the nation-states that now encompass Bedouin territory. (credit: Eman/Wikimedia Commons, Public Domain) The predicament of the Bedouin is shared by many contemporary pastoralists. Climate change has made rainfall increasingly unpredictable, threatening the sustainability of grazing herds on marginal lands. Governments and global investors are eager to gain control over land in order to cultivate crops or create tourist attractions and conservation zones (Homewood 2018). Some governments have sought to formalize land ownership among pastoralist groups, creating a competition among groups and individuals to gain title to collective rangelands (Galaty 2015). In some places, such as Botswana, elite groups of herders have seized control over land, making life difficult for small herders. Some nomadic pastoral groups, such as the Wodaabe of West Africa, have cultivated their distinctive cultural practices as forms of heritage to be protected by human rights organizations or otherwise marketed to tourists. Welcoming researchers and filmmakers to study their unique dances, the Wodaabe have been the subject of over 17 documentary films. Spectacular images of the elaborate dress, costume, and face paint of Wodaabe dancers have been featured on the cover of National Geographic , Elle magazine, a World Bank brochure, and several CD and album covers (Kratz 2018). Some Wodaabe groups perform their ceremonies for audiences of European tourists. In their geerewol and yaake dances, groups of young men compete to be selected as the most beautiful dancers by the young women judges. While such involvement in tourism can provide income to impoverished pastoral groups, many anthropologists worry about the commodification of culture and the exploitation of marginal groups for privileged Western audiences. Some question the future viability of pastoralism as a way of life, suggesting that it might give way to more sedentary forms of ranching. But the transition to ranching would require huge investments of labor and money in necessities such as fencing, feed supplements, veterinary care, permanent wells, trucks, mobile phones, and even airplanes. If herding is practiced in harmony with the environment without these costly inputs, pastoralism may continue to provide a sustainable way of life. animal domestication the processing of animal products for use as food, textiles, and tools. nomadism the practice of moving frequently in search of resources. pastoralism the mode of subsistence associated with the care and use of herd animals. transhumance a technique practiced by many pastoralist groups that combines a settled lifestyle with routine movement. Societies that practice transhumance may move between two permanent settlements in an annual cycle. Another transhumance strategy involves most people residing in a settlement and sending a smaller group out to pasture the animals at certain times of the year.", "section": "Pastoralism", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Plant Cultivation: Horticulture and Agriculture Learning Outcomes By the end of this section, you will be able to: Identify and distinguish horticulture and agriculture as distinct subsistence strategies of plant cultivation. Describe the cultural forms associated with horticulture and agriculture. Trace the connection between the development of agriculture and the development of villages, towns, and cities. Many thousands of years ago, one of humanity’s ancestors might have spied a sprout emerging from a refuse pile of pits, nuts, and seeds. Perhaps it was a lightbulb moment: “Hmm, I wonder if I could do that on purpose....” Or maybe it was somebody who dug up a plant and moved it closer to camp: “Genius! Now I don’t have to walk so far!” Somehow, people discovered that they need not rely on the whims of nature to provide them with plants; rather, they could grow the plants they wanted in places more convenient to them. This basic manipulation of nature is called cultivation , and gather-hunters were experimenting with it for thousands of years before the development of farming. The real revolution happened when people began to design their whole way of life around the sowing, tending, and harvesting of plant crops, depending primarily on those crops as sources of food. By planting the seeds of the most desirable plants, humans began to alter the features of those plants over generations of sowing and harvesting. This process of plant domestication first took hold around 10,000 to 12,000 years ago, possibly spurred by the warming climate after the last ice age. As plants became bigger, tastier, more nutritious, and easier to grow, larger groups of people could be supported by permanent gardens with no need to migrate. Eventually, some people didn’t have to farm at all and could specialize in crafts such as pottery, metalwork, basketry, and textiles. Markets emerged as farmers, herders, and craftspeople became entwined in symbiotic relations of trade. Villages grew into towns and cities and, eventually, regional empires. This might all seems like a great leap forward in human development, and indeed it was a big transformation, but farming came with its share of drawbacks as well. Archaeologists used to believe that agriculture was separately invented in three primary regions of the world: the Fertile Crescent of the Middle East (11,000 years ago), northern China (9,000 years ago), and Mesoamerica (8,000 years ago). Each of these regions featured the domestication of grains as carbohydrate sources. These grains were combined with lentils and beans as sources of protein, along with meat obtained through trade with neighboring pastoral groups. In the Middle East, wheat, barley, peas, and lentils were cultivated. In China, millet, rice, and beans were grown. It is now known that farming was independently invented in many other regions as well (Bellwood 2019). In addition to the three already mentioned, plants were domesticated in sub-Saharan Africa, India, New Guinea, South America, and the eastern woodlands of North America. Two Methods of Cultivation: Extensive Horticulture and Intensive Agriculture The first form of farming that humans developed is known as extensive horticulture . Before a plot of land can be cultivated for the first time, the trees and vegetation must be cleared away, an arduous task usually done by men. Sometimes, a strategy called slash and burn is used, which involves cutting down the trees and shrubs and burning the rest to the ground, then tilling the ash into the soil as fertilizer. Using digging sticks and hoes, horticultural farmers cultivate the top layer of soil before they sow. As seedlings sprout, they water them and feed them with natural fertilizers such as animal dung, and they weed the gardens regularly. Horticultural societies plant not just one crop but many. They have learned that certain plants are “friends”—that is, they enhance one another’s growth—and so they plant these crops side by side. This is practice is known as intercropping . For instance, in Mesoamerica, squash, corn, and beans were planted closely together in flat-topped mounds, a combination known as the “three sisters.” Several corn plants were planted first, in the center of the mound. Once the corn seedlings were well established, squash and beans were planted at their base. As they grew, the corn plants provided stalks for the vining bean plants to climb. The bean plants contributed nitrogen to the soil, fertilizing the other two plants. The squash plants spread across the ground, blocking weeds and protecting the root systems of all three. Typically, societies practicing extensive horticulture have vast knowledge of such sustainable farming methods. These techniques are natural ways to optimize the health and yield of each plant while providing a variable and balanced diet throughout the year. In a “three sisters” plot, corn, squash and beans are grown together. Each plant benefits the other. (credit: “Three Sisters” by GreenHouse17/flickr, CC BY 2.0) Incorporating organic methods of fertilization and pest control, horticulture is a sustainable form of farming. Over time, however, this method does deplete the nutrients in the top layer of soil. After a certain number of seasons growing crops on a particular plot, it becomes necessary to let that plot lie fallow . When horticultural farmers let a plot lie fallow, they stop cultivating it and let the grasses and brush grow in naturally, which promotes the accumulation of fresh nutrients in the soil. Plots can be left to lie fallow for as little as one season or as many as 20. While one plot regenerates, the farmer moves on to clear, till, and sow another plot for cultivation. Horticulturalists often have several plots of land in various stages of fallow and cultivation. This method of rotating crops over various plots of land is called extensive or shifting cultivation , as it involves multiple plots over large areas. Horticulture farmers usually have a variety of plots with distinctive soils and climate features, and they tailor specific farming strategies, including crop species, fertilizers, watering methods, and farming-fallow cycles, for each one. Often in horticultural societies, land is not owned as private property but held in trust by family heads or village leaders who allocate plots of land to individuals. People have the right to use the land assigned to them but not to own or sell it, a practice known as usufruct rights . These rights to use certain plots are passed down through families, via either the father or the mother. When newcomers move into an area, they may approach the leader to ask for plots of land to farm. In many African societies, it is also common for people to loan out their plots to one another in gestures of friendship and mutual aid. Extensive horticulture typically provides enough resources to support extended-family households, perhaps with a bit left over to sell in local markets. This amount left over after the needs of the family are met is called surplus . The modest surplus of horticulturalists is sometimes accumulated by families or village leaders in silos or other structures, held in safekeeping for community use in the lean months before the next crops can be harvested. Horticulture does not usually generate enough surplus to support groups of people who do not farm. Craftspeople, religious specialists, and group leaders must all carry on farming alongside these other important activities. Extensive horticulture provides a good way to cultivate crops on land that is not particularly rich with nutrients. Tropical climates tend to have such soils due to the lack of winter dormancy. In temperate zones (23 to 66 degrees latitude), vegetation dies off in the autumn, depositing dead matter into the soil, which then decomposes into a rich substance called humus (hyoo-mus). Humus is essentially built-in fertilizer, feeding new plants as they grow in spring and summer. Because vegetation does not ever die off in tropical areas, tropical soils do not accumulate humus to the extent that temperate soils do. With less humus, it is more advantageous to use a plot of land a few times, then let the natural vegetation grow back. Slashing and burning regrowth is a way for tropical farmers to mimic the natural die-off of vegetation in temperate climates. In climates with warm and cold seasons, the layer of humus-rich soil is much denser and thicker than in tropical regions. In these areas, it is advantageous to dig deeper to prepare soils for sowing, distributing the layer of humus into a thicker layer of soil to serve as a reservoir of nutrients for the new plants. The seasonal deposit of nutrients in the soil also happens in areas surrounding large rivers that flood and recede in a yearly cycle. Along the Nile in North Africa and between the Tigris and Euphrates in the Middle East , ancient farmers were able to use the same soils over and over again as the rivers helpfully dumped organic matter onto their farmlands every year. Riverine farmers learned to control flows of water, creating systems of irrigation to continually water their crops. Sumerian farmers in the Mesopotamian crescent between the Tigris and Euphrates were the first to use the plow, using oxen to pull large blades through their garden plots. Plowing makes the soil even richer for planting. A Sumerian plow. Sumerian farmers were the first to use the plow, making possible greater yields. (credit: “John Deere Plow” by Public.Resource.Org/flickr, CC BY 2.0) The use of a plow, the development of irrigation systems, and the continuous cultivation of the same plots are part of a way of farming called intensive agriculture . A good way to remember the difference between extensive and intensive cultivation is to think about how extensive farming involves farming multiple plots over extensive territory, while intensive farming involves applying intensive methods to the same plots over and over again. Intensive agriculture generates much greater yields than horticulture, supporting far larger populations. Greater yields mean greater surplus, which means that societies practicing intensive agriculture generate groups of people who don’t need to farm, such as specialists in craft production, trade, religion, and government. Farmers who practice intensive agriculture focus on a small number of crops, frequently grains or legumes. They use the surplus generated from intensive methods to trade for other foods, tools, and material goods to meet the needs of their households. Most people use the word agriculture to mean plant cultivation of any kind. For anthropologists, however, agriculture is just one form of plant cultivation—the kind involving intensive methods such as plows, draft animals, irrigation systems, and repeated use of plots. This chapter uses the term plant cultivation to refer to both extensive horticulture and intensive agriculture. References to specific types of cultivation use the terms extensive horticulture and intensive agriculture . The Kayapó: Flexible Horticulture In the eastern Amazonian rainforest, beside the Xingu River, live a group of people known by their neighbors as the Kayapó . Mixing slash-and-burn horticulture with gathering and hunting and some animal domestication, the Kayapó have created an ingenious and flexible way of life that carefully cultivates the resources of the rainforest, savanna, and intermediate zones (Posey 2002). Like most farming societies, the Kayapó rely on a small set of staple carbohydrate crops, including sweet potato, manioc, maize, and taro. Every three to five years, they clear new plots for their gardens, leaving the old plots fallow. Rather than passively letting the old plots regenerate, however, the Kayapó plant fruit trees, medicinal plants, and other desirable vegetation that keep the plots productive throughout the fallow period. They also transplant edible and medicinal plants alongside the paths that serve as transit routes throughout their territory. The Kayapó venture out on these paths in gathering-and-hunting expeditions that supplement their farming endeavors during part of the year. Women gather fruits, nuts, and berries, and men hunt armadillos, deer, anteaters, and wild pigs. Like the Hadza , the Kayapó regularly harvest honey, the sweet treat of the forest. Another delicacy is the tortoise, slaughtered in large numbers for special festivals. The Kayapó also fish with bows and arrows as well as nets and plant-based poison. Sometimes, women stay in the village while men go hunting or fishing. Because they farm, the Kayapó live in villages for most of the year. Extended-family houses are situated in a circle surrounding a central public space with a men’s house in the center. Social activities are coordinated by groups based on gender, age, and extended family. Most villages have two men’s societies, each one associated with a women’s society. When a boy becomes a man, he chooses which society he wants to join, usually that of his intended father-in-law. After he marries, his wife joins the women’s society associated with her husband’s group. Each society has its own leader and meeting place. A multiethnic celebration attended by the Kayapo and eight other ethnic groups. The celebration promotes the interaction of indigenous groups with each other and the public. (credit: “VI Aldeia Multiétnica no XV Meeting of Encontro de Culturas Tradicionais da Chapada dos Veadeiros” by Oliver Kornblihtt/Secretaria Especial da Cultura do Ministério da Cidadania/flickr, CC BY 2.0) Kayapó life is organized according to seasons. Planting is done in the “low water” season, and farming continues until harvest. After this, wild fruits ripen, attracting game for the hunting season, the “high water” time. This is followed by a period of leisure, family activities, and increased fishing. Then, a new year begins. Kayapó culture marks these seasons with a calendar of ceremonies. Festivals celebrate the farming and hunting seasons, and specific rituals are performed to promote the success of these subsistence methods. The Kayapó are deeply knowledgeable about their environment and work diligently to cultivate the diversity of flora and fauna in the various ecological zones of their territory. In addition to an impressive store of general knowledge, each village has individuals with expertise in soils, plants, animals, and medicines. The Kayapó identify many different micro-zones within the continuum between forest and savanna, associating each zone with a distinct set of interrelated plants, animals, and soil types. They attract certain species of game for hunting by sowing specific plants in specific areas. For farming, they use ground cover such as plants, logs, leaves, straw, and bark to adjust the moisture, shade, and temperature of soils. They fertilize certain crops with the ash of specific plants, making use of the vegetation cleared and weeded in farming. They meticulously design their gardens in concentric circles to provide optimal light and water to each species of plant, and they practice complex forms of intercropping of plants that benefit one another. For instance, several plants are considered “banana neighbors,” good to plant next to bananas. Among these is a plant called “child-want-not,” a plant used by Kayapó women to regulate fertility. In open areas, the Kayapó create small areas of special diversity called apêtê , or “forest islands.” To create an apêtê , they first spread a layer of organic matter, such as termite nests, then sow seeds and transplants of useful trees and plants in the mound of nutrient-rich soil. As the plants grow, the Kayapó cut down the highest trees in the center to provide more light throughout the apêtê . The result is a store of medicinal and edible plants as well as a nice, shady place to rest in the middle of an open field. Sometimes, apêtê include vines that produce potable water, providing a sort of drinking fountain for people as they travel about the territory. The nurturing of plant biodiversity is important to the practice of medicine among the Kayapó. They identify and cultivate hundreds of plants used to treat specific ailments such as diarrhea, scorpion stings, and snakebites. They organize their knowledge of both illnesses and plants in complex classificatory schemes. The Kayapó identify 50 separate types of diarrhea and treat each one with a specific plant medicine. The Kayapó are also masters of zoology. They study the anatomy and behavior of the animals in their environment and use that knowledge for hunting and farming. For instance, when a garden is infested with leaf-cutting ants, Kayapó farmers deliberately plant nests of smelly ants around the plot. The pheromones of the smelly ants scare away the destructive leaf-cutting ants. Smelly ants can also be crushed and inhaled as a medicine to clear the sinuses. The Kayapó keep many pets, including birds, snakes, spiders, and various mammals. One survey found more than 60 species of animal kept as pets in one village alone! Children are encouraged to observe the behavior of their pets to learn as much as possible. An aerial view of the land of the Kayapó. The Kayapo are deeply knowledgeable about the ecology of their environment and have developed a number of horticultural practices designed to preserve and enhance the natural abundance around them. (credit: NASA/Wikimedia Commons, Public Domain) The Kayapó have developed a vast store of knowledge about their surroundings, and they use that knowledge to promote plant and animal biodiversity and nurture their environment. Some anthropologists suggest that industrialized societies could learn much about environmental management and ecological sustainability from horticultural groups such as the Kayapó. The Sociocultural Complex of Plant Cultivation As with the Kayapó, horticulture is often combined with gathering and hunting and even pastoralism to form a flexible, sustainable, and highly successful subsistence strategy. Many societies practicing intensive agriculture also forage and keep animals on the side, although they spend much less time gathering and hunting. As they come to rely more and more on their crops, farming peoples settle down to form permanent villages. Frequently, as with the Kayapó, those villages consist of extended-family houses with a central area for public meetings. Most villages consist of several extended families, each with its own family leader or set of elders. As agricultural methods intensify, it becomes necessary for families to cooperate in the development of irrigation schemes, trade networks, and the allocation and protection of land. Forms of community leadership and group decision-making emerge to organize these activities. Those political forms will be discussed in the next chapter. Plant cultivation requires a lot of work, substantially more than gathering-hunting. Clearing small trees and brush for new garden plots is backbreaking work, followed by the physical challenges of tilling, sowing, watering, weeding, controlling pests, and (hopefully) harvesting. Throughout the year, crops must be either processed for market or household meals or made into something useful. Tools such as hoes, scythes, and plows must be bought or made and constantly maintained. Where used, plows and draft animals require daily care. In order to get all of this work done, agricultural societies rely on the labor of extended families, with chores divvied up by gender and age. Often, men are responsible for clearing land, while women do the sowing as well as the daily work of weeding and watering. Children help with garden chores, often charged with carrying water or scaring away the birds and small mammals that scavenge crops. Men make and maintain tools and also tend to draft animals, while women process materials for home consumption, such as food and craft items. Women make pottery, baskets, clothing, and shoes (until this work is taken over by craftspeople). Girls are put to work as babysitters, taking care of younger children while their parents work at other tasks. Typically, men assume positions of power in the public realm as leaders of extended families and villages, but women often represent their interests in their own groups with their own leadership, as in Kayapó society. The gendered arrangement of work and power is highly variable. In some societies, men take charge of marketing crops, while in others, women take on this role. Frequently, as cultivation intensifies with the growing of large cash crops such as wheat and rice, men market the cash crops while women sell the vegetables from their gardens. The work of plant cultivation is structured by the yearly cycle of the changing seasons. Frequently, the social life of plant-cultivating societies is organized into a similar annual calendar, with festivals, ceremonies, and rituals marking various stages in the process of cultivation. For instance, “garden magic,” such as the recitation of spells, is often an integral part of preparing garden plots for the growing season. Magical spells and blessings provide a means of encouraging good weather and healthy plants and help manage the anxieties of communities that are heavily dependent on the success of their crops. Harvest time is frequently marked by a large festival, with feasting, the performance of special songs and dances, and the commemoration of gods and ancestors. Successful plant cultivation requires a great deal of knowledge about plant and animal biology, soil composition, geology, and weather patterns (see Edington 2017 for a wonderful overview). Many cultivators have a deep understanding of the relationship between soil and seed. Sukuma farmers in Tanzania identify six types of soil, five good for planting a specific crop—rice, corn, sorghum, two kinds of groundnut—and a sixth soil type only good for grazing cattle. Peruvian potato farmers have knowledge of 35 different potato varieties and are able to match each one to the soil type and environmental conditions most conducive to a healthy harvest. Cultivators rely on environmental indicators to let them know optimal times for planting and harvesting. They watch for the flowering and fruiting of wild plants, migratory movements of birds, and changing patterns of stars in the night sky. Many farmers in India look for the blossoming of yellow flowers on the laburnum trees to indicate the imminent arrival of the monsoons. Others rely on the pied crested cuckoo, which arrives just ahead of the monsoon rains. Farming societies have various techniques for managing weeds and garden pests. Some weeds are welcome as sources of food and materials for crafts such as baskets. Animals attracted to growing crops are frequently hunted as supplementary sources of protein. Grasshoppers and locusts can be fried into crispy treats, and larger animals such as rodents can be trapped and eaten as meat. Many cultivators use specific plants to repel weeds and pests. Traditional Chinese farmers used the root bark of the thunder god vine to keep caterpillars and aphids away from their crops. Other plants, such as neem and mint, are used to protect harvested produce from being eaten by insects. This vast knowledge of the natural world is undergirded by a value system that emphasizes environmental conservation and protection. Often, environmental knowledge is entwined with supernatural beliefs and cultural values and preserved in songs, stories, legends, and ritual practices. Ancient religious texts often function as records of environmental knowledge and values as well as supernatural beliefs and practices. In ancient India, for example, Hindu texts such as the Vedas commanded that humans should live in harmony with nature rather than exploiting it (Jain 2019). Certain trees and plants with particular value to humans were revered and associated with supernatural beings. The Vedas called for the protection of those trees and plants and assigned penalties for cutting them down. Typically, the cultures of plant cultivators promote reverence for nature and compel people to practice sustainable forms of farming that protect the soil and preserve biodiversity. As mentioned earlier, intensive agriculture produces a much larger surplus than horticultural methods. As agricultural surpluses and human populations both grew, villages expanded into towns, which evolved into cities. Emerging about 7,000 ago, the city of Uruk , located in what is now Iraq, was the first large urban center in Mesopotamia and possibly the world (Nardo 2007; Wallenfels and Sasson 2000). At its peak population, it housed 50,000 to 80,000 people, with more living in the surrounding metropolitan area. Surrounding peoples practiced agriculture and herding and traded their surplus in the city markets. Within the city, a class of craftspeople supported themselves without doing any farming, prominent among them cloth makers and metalworkers. Uruk peoples traded widely with groups throughout Mesopotamia and what is now western Iran. The accumulation of wealth in the city supported the building of great temples and city walls by a class of construction workers (Pittman 2019). Such public buildings are called monumental architecture . Cuneiform writing was invented as a method of accounting, used to keep track of trade and inventory. Coordinating this complex economy was a centralized government headed by a king. Like Uruk in Mesopotamia, the early cities of Abydos in Egypt, Harappa in the Indus Valley, and Anyang in China all emerged close to waterways, locations where intensive agriculture stimulated increases in population (Rizvi 2007). Cities provided sites for craft specialization, the organization of regional trade, the building of monumental architecture, the development of writing, and the centralization of power. With its large stone plaza, pyramids, and ball courts, the Zapotec city of Monte Albán emerged as an administrative capital in Mesoamerica around 4,000 years ago. With its own plaza and pyramids, the site of Caral in present-day Peru developed into a city around the same time as Monte Albán . Built on a base of agricultural surplus, all of these cities demonstrate urban planning, heterogeneous populations, regional trade, and monumental architecture. Contemporary Challenges of Farming Societies Communities relying primarily on extensive horticulture or intensive agriculture are generally able to meet their own subsistence needs. However, with the development of cities into regional empires, many cultivators became incorporated into larger structures of trade and government. Under pressure from these structures, farmers past and present were and are obliged to sell their surplus for cash in order to pay taxes and purchase agricultural inputs such as seed and fertilizer. As cities and states grow, they exert pressure on cultivators to produce ever higher yields to support greater populations and more elaborate state projects. As cultivators become incorporated into demanding states, they become a class of peasants . A peasant is a farmer with a small plot of land incorporated into a larger regional economy. Nearly all contemporary cultivators are part of a peasant class in their nation-states (Sillitoe 2018). Peasants are often marginalized and disadvantaged, reliant on economic and political structures they cannot control, and exploited by urban elites. Many farmers now make up a rural underclass. Extensive horticulturalists such as the Kayapó require large areas of land in order to allow their fallow plots to regenerate before reusing them. Over the past 30 years, cattle ranchers, loggers, and miners have moved into Kayapó territory. Unlike the Kayapó, ranchers and loggers practice ecologically damaging methods, leaving large areas of barren wasteland in their wake. Early on, some Kayapó communities accommodated iron and gold mining operations, signing contracts that granted mining companies permission to operate in exchange for a small percentage of profits. However, mining practices polluted the rivers that the Kayapó rely on for drinking, bathing, and fishing. With the emergence of gold rush towns and the flood of foreigners into the area, the Kayapó began to see unwelcome changes in their communities, such as increases in disease and problematic alcohol use. Many Kayapó turned against outsiders, attacking loggers and miners to force them off of Kayapó land. As a further problem, the Brazilian government has proposed a series of large hydroelectric dams on Kayapó rivers to generate power in the Amazonian hinterlands. These dams would flood Kayapó territory, displacing more than 20,000 people. Recognizing these projects as threats to their culture and way of life, the Kayapó have joined with other Amazonian Indigenous groups in dramatic protests attracting global attention and support (Turner and Fajans-Turner 2006). The rock star Sting attended one such protest and later founded the Rainforest Foundation Fund to support the efforts of the Kayapó to protect their land. Kayapo representatives are shown a map of mining concessions within their lands. Mining is just one of the threats to the Kayapo way of life and to the ecological health of their territory that has emerged in the recent decades. (credit: Beto Ricardo/Instituto Socio-Ambiental/Wikimedia Commons, Public Domain) You may have heard this story before—the story of Indigenous peoples who come to be surrounded and dominated by extractive capitalists and state officials. In their relations with Indigenous peoples practicing gathering-hunting, pastoralism, and horticulture, states often argue that such people are resisting inevitable progress. Indeed, American world history textbooks often represent the emergence of cities, the expansion of trade, and the creation of bureaucratic states as steps in the triumphal march of progress, key achievements in the development of civilization. But progress for whom? The more that is learned about life in nonindustrial, noncapitalist societies, the more questions are raised about these notions of progress. cultivation basic manipulation of nature, such as the intentional growing of plants. extensive horticulture a form of plant cultivation in which new plots are regularly cleared, prepared with digging sticks or hoes, and fertilized with animal dung, ash, or other natural products. extensive or shifting cultivation a horticultural practice in which plots of land are farmed for a period of time, then left to lie fallow as farmers move on to cultivate other plots. fallow describes a plot of land that is not cultivated for a period of time so that wild vegetation may grow in naturally. humus organic matter in soil formed by the decomposition of plants. intensive agriculture a form of plant cultivation in which one plot is farmed over and over again using labor-intensive methods such as plowing, terracing, and irrigation. intercropping planting certain species of plants side by side to enhance their health and growth. monumental architecture large structures built for public viewing or use, such as pyramids, temples, sports arenas, and coliseums. peasants small-plot farmers incorporated into larger regional economies, often states. plant domestication the process of adapting wild plants for human use. slash and burn the technique of preparing a new plot by cutting down the trees and shrubs, burning the vegetation to the ground, then tilling the ash into the soil as fertilizer. surplus amount of harvest left over after supplying the needs of the household. usufruct rights rights to use a resource but not to own or sell it.", "section": "Plant Cultivation: Horticulture and Agriculture", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Exchange, Value, and Consumption Learning Outcomes By the end of this section, you will be able to: Outline four types of exchange. Define the concept of reciprocity. Define the concepts of money and market exchange. Describe how money expresses conflicted notions of morality. Before moving ahead to discuss the last of the four major subsistence methods, it’s worth reviewing the ways in which goods circulate in societies in accordance with each mode of subsistence. The four subsistence strategies are defined primarily by their techniques of production—that is, the way people use materials from their environments to make the things they need, such as food, clothing, shelter, and medicines. Previous sections have described how each production strategy entails its own distinctive methods of allocating those needful things to individuals and groups within the community. This section details the various methods of circulating things through social groups. Most societies rely on one primary strategy for making a living, though they very often combine it with one or more others in flexible ways over time. If key foods become impossible to find, gatherer-hunters may take up farming for a few seasons. Many herding groups regularly hunt and sometimes plant crops along their nomadic routes, returning the next season to harvest the crops. Many farmers also keep domesticated animals. So it is with modes of exchange. Most societies practice not just one strategy but a combination of many, dominated by the form of exchange that dovetails with the main subsistence strategy. Forms of Exchange Recall the importance of egalitarian sharing in gatherer-hunter societies. When hunters return to camp bearing large game, they divide it equally among members of the band. When gatherers bring back loads of nuts or fruit, they hand them out freely to anyone who is hungry. Everyone is expected and required to share with everyone else. Generalized reciprocity is the anthropological term to describe how people share things with no regard for their value or interest in compensation. This form of exchange doesn’t look like exchange at all; it looks much more like altruism. But when rigorously practiced by a group, with social sanctions used to punish laziness and stinginess, the result of generalized reciprocity over time is more or less the equal exchange of goods among all members of the group. Outside of gathering-hunting societies, generalized reciprocity is also common in many close relationships, such as family relationships and friendships. When you’re staying in your parents’ house, does it occur to you to pay them when you grab a soft drink from the fridge? If a friend wants to borrow a pair of boots, do you charge them a rental fee? Probably not. However, the logic of exchange changes as the intensity of the relationship decreases and value of the object increases. Your parents might give you a car if you needed one, but you would not expect a friend to do so without some sort of compensation. In gathering-hunting and horticultural societies, another form of reciprocal exchange is common among individuals. Among the Dobe Ju/’hoansi and other San groups in southern Africa, people develop relationships with one another based on a gift-giving practice called hxaro (Barnard 2018). The relationship begins when one person asks another person, often someone in another band, to give them a particular item, such as a digging stick or a cooking pot. This request may be rejected or accepted. If accepted, the two enter into an ongoing relationship of exchange, which may last forever or be broken off at some future point. After an unspecified period of time, the receiver makes a return gift, often of somewhat of equal or slightly greater value. The value of the items is never discussed; nor is the time between episodes of gift giving. All is made to seem natural and spontaneous. This form of exchange is known as balanced reciprocity . These relationships come with many advantages—for instance, the right to hunt and gather in the band of your hxaro partner. For this reason, many people maintain as many as 10 to 12 ongoing hxaro relationships. The main point of balanced reciprocity is not to gain resources and opportunities. Rather, the whole point of these serial exchanges of things is to establish and affirm relationships among people. Some degree of unspoken calculation is involved in choosing gifts that affirm and intensify the relationship over time, with givers slowly raising the value of gifts to deepen the relationship. These special relationships based on reciprocal gift giving are found in many other horticultural and agricultural societies as well. While such gift-giving relationships seem to be governed by a sense of mutual goodwill, a more fierce and competitive form of balanced reciprocity developed among the Indigenous peoples of the Pacific Northwest coast of Canada and the United States (High 2018). Among groups such as the Haida , Kwakiutl , and Tlingit , chiefs sponsored great feasts called potlatches to commemorate births, weddings, deaths, and other important events. At these potlatch feasts, the chief of the host community would present an abundance of gifts to the chief of an invited community. Such gifts included blankets, animal skins, copper plaques, and preserved food. Sometimes, these items were deliberately burned in spectacles of extravagant waste. By foisting this abundance of gifts upon a guest chief, the host chief demonstrated their wealth and power and levied a challenge to the guest chief to counter with an even more lavish feast and greater trove of gifts. Power among neighboring communities was established and reinforced through this competitive feasting, not by acquiring wealth but by giving it away. More recent interpretations of potlatch suggest that such ceremonies not only operated as forms of reciprocity but also helped distribute specific goods found in one community to surrounding areas where those goods might be impossible to find. A potlatch in British Columbia in the 1890s. In potlach ceremonies, the power and wealth of a group was demonstrated not by what they acquired but by what they gave away. (credit: Edward S. Curtis/Wikimedia Commons, Public Domain) The role of extended-family leaders in the practice of potlatch is an example of the tendency for leaders to gain control of community wealth and use it for distribution as well as prestige. This practice is particularly pronounced in agricultural societies that have chiefs, such as the peoples of the Hawaiian Islands in the precolonial era. Before contact with Europeans, the Hawaiian Islands were ruled by a multilevel system of chiefs who controlled land, natural resources, and trade. Commoners were required to pay tribute to their chiefs in the form of labor, food, and other products. For farmers, this meant that a portion of their agricultural surplus was relayed to local chiefs. These local chiefs then relayed a portion of the tribute they received to regional chiefs, and so on up the pyramid to the great chief. This tribute supported government at each level, including royal courts, political advisers, priests, military strategists, guards, and entertainers. In this way, political leaders became centers of the concentration of wealth, which was then used to provide communities with the benefits of government, such as social order, conflict resolution, military protection, trade coordination, and the construction of public works such as fishponds, water channels, and temples. In this hierarchical system, tribute flowed up to elites, while government goods and services flowed down to commoners. This two-way flow is called redistribution , and it’s a very common feature of chiefdoms, as will be discussed in the next chapter. Tribute was used by leaders to finance monument building, warfare, trade, and ceremonial feasting as well as the chief’s own lavish regalia and large retinue of assistants, bureaucrats, and servants. Redistribution is practiced in all state societies. Consider the roads in your neighborhood, the postal service, the public schools, the libraries, government-funded scientific research, the courts, the prisons, the police—all are paid for by taxation, the form of redistribution conducted by states. While some see taxation as a predatory fee extracted by unproductive elites, taxation makes possible the social order, the economy, and the well-being of state citizens. It’s important to recognize that redistribution is not a way for individuals to purchase goods and services from the state but rather a system of allocating resources for the well-being of society as a whole. Read this first-hand experience of the author of this chapter, Jennifer Hasty, Imagine that you go to take a shower and discover that you’re out of soap. How can you solve this problem? Gift exchange? A government program? Surely not. In contemporary Western society, forms of reciprocity and redistribution have become increasingly sidelined by the other main form of economic exchange: markets . A market is an institution that makes it possible for buyers and sellers of goods to meet for the purposes of exchange. In the most concrete sense, a market is an actual place. If you need a bar of soap (or shampoo, or a towel, or a bathtub), you go the market and buy one. In fact, I never pack soap when I travel to Ghana, as one of the first thing I do when I get there is head for the nearest market. West African markets are noisy, vibrant places full of shrewd women traders with their neat stacks and haphazard heaps of colorful goods. At big markets such as Makola and Kaneshie, you can find almost anything you might want, from large appliances to clothes, school supplies, fresh spices, and produce. The air is infused with the shifting aromas of fried plantain, “stinky” fish, and freshly baked bofrot, a kind of Ghanaian doughnut. Music blasts from radios posted at kiosks here and there. Mobile vendors ply the crowded paths, their goods carefully draped on their bodies or stacked on their heads. Customers from all walks of life browse the rows upon rows of seated vendors, everyone chatting and socializing, buyers and sellers haggling the price of goods. Early on, I learned that the value of a product is not fixed but contingent on many factors, such as time of day, amount of stock, and the perceived identity of the buyer. Just buying a few bars of soap can be a complex social interaction combined with a rich sensory experience . Makola Market in downtown Accra, Ghana. West African markets are noisy, vibrant places, very different from Western grocery stores. (credit: “Clothes Market” by Francisco Anzola/flickr, CC BY 2.0) More recently, Western-style grocery stores have opened up in Ghana. In contrast to the intense sensory experience of markets, these stores are quiet and, to me, a bit underwhelming. A small number of shoppers silently push their carts up and down the aisles, avoiding eye contact with one another. At checkout, a bored clerk rings up your items and informs you of the total. It does not matter who you are—rich or poor, the total is the same. This is a routinized, predictable experience. In the United States, automatic checkout is becoming increasingly common in stores, eliminating the off chance that you might have any sort of meaningful human contact in the course of your market transaction. With online purchasing, the market is no longer a place at all but a virtual site on a computer screen that absolutely precludes any possibility of direct human interaction. Consumers have responded to the desocialization of online market relations by embracing the highly expressive and interactive realm of consumer reviews. And even in the brick-and-mortar shops, people resist the boring antisocial regimen of modern shopping by talking on their cell phones, enjoying food samples, and looking for romantic partners. All of these forms of exchange can be found in contemporary capitalist societies. Generalized reciprocity is practiced among family members and very, very close friends. Balanced reciprocity is the unspoken logic guiding most exchanges among friends and acquaintances. If you ask your neighbor to collect your mail while you’re out of town, you might expect your neighbor to ask you for a similar favor in the future. Recently, while I was out of town for a week, I asked the parents of my daughter’s school friend if they could take her to and from school. They kindly obliged. A month later, I had to leave town again for a week. In that intervening month, I had been unable to reciprocate for the favor of shuttling my child around, so I hesitated to ask those same parents to do it again. Instead, I hired someone, the friend of a friend but a stranger to me. Among strangers, market exchange is the most common form of transaction. In capitalist societies, market exchange is the default setting; if all else fails, pay for it. Market transactions are quick and easy, and the participants walk away relatively unencumbered by future obligation. If this is the advantage of market exchange, it can also be a big disadvantage. Without the relations of mutuality and trust established by forms of reciprocity, the participants in market exchange are motivated by the desire to get more than they give. A society dominated by market exchange is therefore dominated by the logic of self-interest and greed rather than cooperation and social well-being. Money In the midst of the COVID-19 pandemic, many shops witnessed a scarcity of hard currency, prompting them to put up signs requesting people to use credit or debit cards or mobile payment apps to make purchases. This episode is part of a larger shift over the past several decades away from coins and bills and toward more abstract forms of payment such as chip cards and “fintech,” the mobile debit apps accessed through smartphones. And even more abstractly, now there are even virtual currencies such as bitcoin and other cryptocurrencies. Bitcoin is a currency generated by a computer dedicated to solving complex mathematical problems. How is that even money? What is money ? In the formulation of classical philosophy, money is defined by three functions: it serves as a medium of exchange, a unit of account, and a store of value. Imagine that two friends from neighboring groups, one a pastoralist group and the other a horticultural group, meet in town. The pastoralist has a freshly slaughtered goat slung over their shoulder. The horticulturalist is carrying a small sack of vegetables. They decide they’d like to trade. The farmer wants all of the meat, but the herder wants only a small portion of the vegetables. Each person wants the trade to be equal; that is, they both want to give and receive the same value. How can they conduct this transaction? How do they know the value of the things they want to trade? It seems natural to imagine these two trader friends attempting to negotiate some sort of barter. The swapping of goods on the spot, however, was never a dominant form of exchange in any culture in the past. Instead, many anthropologists argue that precapitalist peoples relied more on gift exchange, redistribution, and debt to circulate goods through society. So it’s more likely that the pastoralist would make a good-faith gift of the whole goat to their gardening friend, knowing that both would remember the gardener’s obligation to return the favor with more vegetables (or something else of fairly equal value) in the future. If this seems complicated, it probably was. Individuals would have been involved in many such relationships simultaneously – whole communities of people all mutually entwined in relations of credit and debt. The other possible solution is money. If these two traders live in a society that uses some arbitrary other thing to enumerate value, they would know that all of the meat has the value of 50 units (or shekels, cowrie shells, tally sticks, bones, animal skins, brass rods, gold coins, bank notes, or any one of the myriad other objects used as money in the past). A small portion of vegetables might have the value of only 10 units. If these two have come with their wallets, they can use money to make two separate transactions for items of different value rather than trying to negotiate one swap. They can make the exchanges and walk away without entanglement. Examples of local currencies. Local currencies are designed to be used only within designated geographic areas, with the goal of enhancing the economy of the community. (credit: Mune/Wikimedia Commons, Public Domain) There are two kinds of money, general purpose and special purpose. The transaction described above is an example of general-purpose money —that is, money that can be exchanged for a wide variety of goods and services. Dollars, euros, pesos, yen, and bitcoin are all forms of general-purpose money. General-purpose money is portable, divisible, and easily available. Special-purpose money is currency that is used to purchase one particular kind of thing. In some pastoral societies of West African, cattle have been used as forms of bridewealth, or the payment made by a groom to the family of his prospective bride. The Tinputz people of Papua New Guinea had two forms of special-purpose money, strings of flying fox teeth and strings of shell disks. These were used for marriages and other socially important occasions. Special-purpose money is generally more difficult to obtain, transport, and/or measure precisely. In American society, many grocery stores now offer special-use “points” for loyal shoppers that can be used to buy gas at particular gas stations. Credit card companies, airlines, and other businesses offer similar forms of special-purpose points. Such special-use currency illustrates the arbitrary nature of money. balanced reciprocity the practice building social relationships through the exchange of gifts of roughly equal value. generalized reciprocity the practice of sharing without regard for the value of objects or interest in compensation. general-purpose money money that can be exchanged for a wide variety of goods and services. hxaro a friendship developed through gift exchange, practiced among the Dobe Ju/’hoansi and other San groups of the Kalahari. markets institutions that allow for buyers and sellers to meet for the purposes of economic exchange. money a medium of exchange, unit of account, and store of value. potlatch a feast in which a trove of gifts is presented by the host chief to the guest chief in order to demonstrate wealth and gain prestige. redistribution a system whereby goods are collected and stored by a leader and later given out or used for public benefit. special-purpose money money that is exchanged for specific items or services.", "section": "Exchange, Value, and Consumption", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Industrialism and Postmodernity Learning Outcomes By the end of this section, you will be able to: Define industrialism and describe how it developed. Articulate the cultural forms associated with industrialism. Describe how the development of industrialism instigated the establishment of colonial empires and the global economic system. Evaluate the long-term effects of colonial subjugation on postcolonial economies and societies. Define the concepts of modernity and alternative modernity. All of the modes of subsistence previously discussed rely on human labor applied directly to environmental resources to produce relatively small batches of food, tools, and other goods. In the past 10,000 years, gathering-hunting, pastoralism, and agriculture all existed side by side, and most groups dabbled in more than one of these modes. In these systems, most work is conducted by extended-family groups in the context of the household, whether settled or mobile. These family groups regulate their own work cycles and determine how goods are produced and distributed based on their own needs and strategies. In the 1700s in Britain, a new way of producing goods began to develop, slowly at first and then growing exponentially to sweep the globe. That mode of subsistence is industrialism : the use of wage labor, machines, and chemical processes to mass-produce commodities. Taking hold first in Europe, this mode of subsistence drew sets of people away from their households into factories where they performed repetitive forms of labor in return for regular wages. In the factory setting, workers have very little control over their own work cycles and no claim whatsoever on the goods they produce. As a mode of subsistence, industrialism drew from and transformed other modes of production, such as pastoralism and agriculture. Industrialism did not supersede other modes but rather used them as sources of raw materials and labor. Gatherer-hunters, with no surplus to supply industry, are deemed useless to industrialism. Gatherer-hunter groups are thus marginalized by contemporary states, often being confined to reservations where their way of life is difficult or impossible to practice. Cloth, Factories, and Slavery: The Rise of Industrialism In the early 1700s, small-scale sheepherders were producing raw wool throughout the British countryside. As large-scale cloth manufacturing was limited in England at the time, traders exported much of that raw wool to European countries such as the Netherlands, where it was processed into cloth. A general rule in economics is that selling raw materials is not nearly as profitable as processing them into commodities to sell to consumers. Envious of European textile processing, British manufacturers sought to greatly expand local processing of British wool into cloth for export. As British manufacturers bought more and more wool, the price of wool skyrocketed. Large British landholders began to evict small-scale peasants from their land so that they could expand their own sheep herds to take advantage of the rising price of wool. Industrial weaving was often done by young women. Working long hours in a textile factory was a very difference experience from the weaving that these women’s mothers and grandmothers may have done at home. (credit: “The Bobbin Girl” by National Park Service/Wikimedia Commons, Public Domain) Landless people flooded into British cities looking for work around the same time that manufacturers were looking for a cheap source of wage labor to process wool into cloth in the new factories. The drive to increase productivity while lowering production costs prompted several key technological innovations, such as the large-scale use of water mills and, later, the steam engine to power these factories. Moreover, new techniques for managing the labor force emerged, such as the clock-regulated workday and sets of work rules known as shop-floor discipline. The twin forces of technological innovation and labor management (some would call it exploitation) stimulated similar shifts toward mass production of cotton cloth, pottery, and metals. By the mid-1800s, the entire economy of England was completely transformed, now dominated by the mass production of commodities in factories for export all over the world. This model of industrial manufacturing of mass commodities spread across western Europe, reshaping urban national economies in the Netherlands, Germany, France, and beyond. Soon, these burgeoning industries had outgrown local supplies of raw materials for their factories and started looking for additional sources of cotton, sugar, tea, tobacco, and other materials that could be processed into commodities. One solution was found in the expansion of the African slave trade in the 1700s and the use of enslaved persons on plantations in the New World to produce raw materials to supply the factories in England. That is a lot of history, and this is an anthropology textbook, but it is important to know why European societies shifted to industrial production in the 1700s. It was not because it provided a better way of life for the majority of people but because it generated stupendous profits for classes of large landowners, factory owners, and transnational traders. For peasants kicked off their land and forced to live in squalor in urban slums, working 14-hour days under the harsh discipline of the shop steward, this was not progress. For enslaved persons abducted from their homes and shipped to a foreign land, worked to death under threat of the lash, this was not progress. For a class of European consumers eager for fancy new clothes and tasty new foods, perhaps it seemed like progress. In fact, the modern industry of advertising was invented during this time to tell people that it was progress. Advertising was necessary to stimulate the consumption of all the mass-produced commodities created by European manufacturers. From a holistic perspective, the notions of progress and development that emerged in 19th-century Europe went hand in hand with the demands of the industrial economy, providing rationales for the new forms of conflict and domination. Colonialism and Global Capitalism A second reason for providing the brief history lesson in the last section is to show how the development of the industrial economy in Europe generated the global system of capitalism that exists today. After the European slave trade was abolished in the early 19th century, Europeans expanded their control over African, Asian, and New World territories, cultivating new sources of such raw materials as peanuts, cocoa, and palm oil to develop even more lucrative European industries. This expansion of control took the form of colonialism , the political domination of another country in the interest of economic exploitation. From the 1500s to the 1900s, European countries strove to dominate much of Africa, Asia, and the Middle East as well as North, Central and South America. Different techniques of rule were practiced at different times and places, but all colonialism involved a set of key features, including violent rule by a European government, the extraction of raw materials, forced labor, taxation, the spread of Christian missions, the denigration of local cultures, the introduction of diseases, and increased local conflict. While their motivations were primarily economic, European colonizers claimed to be inspired by a “civilizing mission”—the idea that European domination was necessary to bring the benefits of progress, such as hospitals and schools. For colonized peoples, the hardships and injustices of colonial rule far outweighed the meager benefits offered to some groups. Postcolonial countries of the world. Note the pervasive influence that European nations have had around the globe, with just a few isolated areas that have remained free of European influence or control. (attribution: Copyright Rice University, OpenStax, CC BY 4.0 license) Economically, the whole purpose of colonialism was to design a system for extracting raw materials to support the industrial economies of Europe. Therefore, European countries such as Britain, France, and Germany sought out sources of valuable minerals for the mining industry as well as good land for growing crops that European manufacturers could process into commodities. In Africa, many fertile regions were seized and sold to White settlers to establish plantations for growing tea, cotton, and other cash crops. The African peoples who lived there were relocated to less fertile lands and forced to work on the White plantations in order to survive. In places where White people found it hard to live (e.g., places with widespread tropical diseases such as malaria), colonial governments recruited African farmers to grow cash crops such as coffee and cocoa. Colonial subjects were taxed by colonial governments in order to force them to work in mines and on plantations or grow cash crops for export. African businesspeople were edged out of international trade, and industrial development was curtailed in the colonies to protect European industry. Most colonized countries became independent in the mid-20th century. Economically speaking, however, colonial domination never quite ended for the vast majority of postcolonial countries. The economies of most African countries are still dominated by a few mining and cash crop exports. As the global prices of such raw materials fluctuate widely from year to year, postcolonial governments find it hard to budget and plan ahead. Moreover, the actual value of raw material exports erodes over time, forcing countries to export more and more just to maintain their economies, making real economic growth and development almost impossible. In response to this dilemma, many postcolonial countries, including India, have adopted ambitious schemes to industrialize their economies in order to get out of the colonial economic trap. Currently, the government of Ghana is pursuing a renewed effort at industrialization, hoping to add value to cash crops such as pineapples and groundnuts and provide jobs to Ghanaians by manufacturing commodities of higher value for local use and export. The One District, One Factory initiative aims to establish a new factory in each of Ghana’s 216 government districts. Modernity, the Sociocultural Complex of Industrial Societies What happens when a country industrializes? Anthropologists have been interested in how processes of industrialism have unfolded in non-European contexts such as India, China, Brazil, and Mexico. Wherever this transformation occurs, certain other sociocultural conditions tend to follow. Social scientists refer to the complex of features that accompanies industrialization as modernity . While anchored by a set of commonalities, modernity takes different forms in different contexts. There is no one modernity but rather a whole spectrum of modernities that develop as societies industrialize in different ways. Some, such as China and Mexico, focus on strategic industrial zones. Some, such as Ghana, seek to establish factories evenly throughout the country. Moreover, societies accommodate the changes of industrialism using their own cultural institutions, practices, and belief systems, informed by their own historical experiences. Some versions of modernity emphasize individualism and allow for vast amounts of inequality among people in different social categories. Other versions of modernity emphasize community well-being and equality. Some scholars use the term alternative modernity to describe versions of modernity that have developed outside of Europe. Nevertheless, industrialism does entail a set of sociocultural forces that interact with local cultural features to produce these distinctive versions of modernity. The first of these forces is urbanization. As with the evicted peasants in 18th-century Britain, people are pushed or pulled into urban centers to find jobs when factories are established. Rural farmers must rely on unpredictable factors such as weather and volatile market prices for their goods. And those who grow cash crops usually find they have to sell more and more just to maintain their standard of living. These challenges have made farming unattractive to many young people, prompting them to seek better lives in urban areas. As societies industrialize, the pull toward urban areas becomes greater, and trading towns grow into industrial cities, which grow into metropolitan regions. The second notable feature of industrial society is regimented wage labor. In the other modes of subsistence, people are obligated to work to survive, but they maintain control over the conditions of their work, such as when they start and end their workday, when they take breaks, what tasks they perform that day, how they perform those tasks, and how much they produce in a given day. In the factory setting, the nature of work changes profoundly. Punching the time clock. Regimented wage labor is a defining feature of industrial societies. (credit: “Detroit, Michigan (Vicinity). Chrysler Corporation Dodge Truck Plant. War Workers ‘Punching In’ for Their Job of Helping to ‘Punch’ the Axis” by Arthur S. Siegel/Library of Congress) Factory workers are required to begin work at a certain time and continue until the official end of the workday. Many are made to “clock in” and “clock out” by inserting a card into a machine that records their starting and ending times. The work performed in factories often involves repetitive motions and procedures rather than the varied work of other subsistence modes. Regimented labor is supervised by managers, who determine work conditions and procedures and enforce predetermined levels of productivity. If a worker does not conform to these expectations, they can be fired. Even as many industrialized societies have shifted to services as the basis of their economies, they have retained the fundamental structure of regimented wage labor for the vast majority of shop and office workers. It is remarkable that societies purporting to value personal “freedom” require most people to work under such authoritarian conditions. A third feature of industrialism is the grouping of people into social classes. In other modes of subsistence, society is structured primarily by family groups, gender groups, age sets, and regional associations. In industrial societies, extended-family systems tend to be increasingly challenged and sometimes replaced by much more mobile nuclear families. Social identity is increasingly reckoned according to occupation. In non-Western contexts, class often combines with ethnic and religious identities to create complex cultural forms of inequality and conflict. Inequality among social classes is discussed in Social Inequalities . A fourth feature of industrial societies is an increase in commodity consumption. People of all classes in industrial societies buy, consume, and own an extraordinary amount of stuff. This is necessary, of course, because industrialized capitalist economies produce so much stuff. Food retailers throw away more than 45 billion tons of unsold food products every year. Many clothing companies shred or burn the clothes they cannot sell. Marketing and advertising have evolved to stimulate increased consumption by attaching specific meanings to commodities. Often, ads portray commodities such as perfumes or cars as powerful objects that possess the ability to transform their users. This association of commodities with magical powers is called commodity fetishism . People are encouraged to think that owning or consuming certain commodities makes them beautiful or enviable or gives them membership in a more powerful social class. In fact, commodities do not really have the power to transform people. Commodities are inert. Rather, it is people who have power—the power to transform materials into commodities. Moreover, there is a difference between consuming the same things that powerful people consume and actually being a powerful person. Nevertheless, people in industrial and postindustrial societies often experience a sense of power and control through shopping, perhaps because those experiences are denied to them in the workplace. Rather than thinking about the consequences of industrialism, such as work discipline, inequality, and environmental damage, people in societies dominated by consumerism are invited to view the world as an endless array of exotic and empowering commodities on offer to the modern citizen. Finally, as suggested by their patterns of commodity consumption, people in industrial societies often place a high value on individualism. Increasingly in industrial and postindustrial societies, people develop identities based on their personal tastes, attributes, experiences, and goals rather than those of their surrounding families or other social groups to which they belong. Rather than living with family, many people in US society live alone for years or even decades. On the one hand, this development provides people with opportunities to choose their own paths in life, to explore new identities and ways of living. On the other hand, individuals are increasingly expected to rely on themselves rather than cultivating relations of mutuality and reciprocity with others. In societies that emphasize self-reliance, people often face material and emotional hardship alone. Feeling isolated and cut off from social relationships, many experience a sense of alienation. Postindustrialism and Postmodernity In the 1970s, the economies of the United States, Japan, and many western European countries began to shift from a base of manufacturing to a base of services and information. Seeking to maximize profits, large manufacturers moved their factories to poorer countries with cheaper labor, weaker environmental regulations, and lower overall operation costs. Therefore, industrialization increased in places such as China and Brazil just as the United States and other countries became postindustrial. As production is moved to other parts of the globe, consumption also becomes increasingly global, with large companies seeking to sell their goods to ever larger markets. Increasingly global processes of production and consumption are referred to by the term globalization , a key feature of national economies since the late 1970s. Social theorists such as David Harvey and Frederic Jameson have suggested that this economic shift has generated a cultural shift from modernity to postmodernity . The essential structures of work, consumption, leisure, and social life are not radically reshaped but rather intensified in the shift from industrial to postindustrial society. Work discipline becomes more rigorous, trade becomes more global, and technology becomes more pervasive and intrusive. In postindustrial societies, professional, educated elites work in the services and information industries, such as health care, data processing, finance, and technology. These are typically secure jobs with benefits such as health insurance, paid sick leave, and retirement funds—but the market for such jobs is increasingly competitive, making them increasingly demanding. Easier to find are working-class jobs in retail, transportation, customer service, and other lower-paying service industries. The class of workers previously employed in manufacturing now competes for these less attractive jobs, which offer few or no benefits. Many turn to the “gig economy,” working as drivers, house cleaners, and handypeople—jobs that provide freedom from regimented work discipline in exchange for unstable compensation and no benefits. Inequality increases between those with secure, elite jobs and the vast majority of workers with more insecure employment. Theorists of postmodernity argue that these changes in the conditions of work create a pervasive sense of anxiety and precarity among all classes of postindustrial workers. Precarity is physical and psychological harm caused by lack of secure income. Increasing precarity and inequality are linked to rising sociocultural polarization and the resurgence of ethnic, religious, and nationalist identities. In both work and leisure, technologies penetrate deeper into the everyday lives of people living in postmodern societies. New media forms shape their social identities and relationships. Through these new forms of technology and media, people in postmodern societies are constantly bombarded with new information, new products, and new demands, giving people the sense of time speeding up. Moreover, flows of information, goods, and people across the globe create a sense of a shrinking world. David Harvey refers to these changes in our sense of time and space as time-space compression . David Graeber 1961–2020 David Graeber (credit: Guido van Nispen/Wikimedia Commons, CC BY 2.0) Personal History: David Rolfe Graeber was born in New York and grew up in a working-class family steeped in radical politics. While in junior high school, he became fascinated by Mayan hieroglyphics and translated many glyphs that had only partially been translated before (Cain 2020). He sent his translations to a Mayan scholar, who was so impressed that he helped Graeber get a scholarship to a prestigious prep school in Massachusetts. Area of Anthropology: Graeber studied anthropology as an undergraduate at SUNY Purchase and then earned his PhD in anthropology at the University of Chicago. For his dissertation fieldwork, he lived in Betafo, a rural community in Madagascar. He observed that people in Betafo lived beyond the reach of official government, without police or taxation. They had developed their own methods of governing themselves through community consensus. This experience profoundly shaped Graeber’s sense of political possibility. Throughout his life, he advocated for direct democracy as the most fair and logical way to organize society. In 1998, Graeber became an anthropology professor at Yale University and began engaging in political activism, which included protesting the World Economic Forum and the International Monetary Fund. Despite his impressive academic accomplishments, Yale decided not to renew Graeber’s contract in 2005. He believed the decision was largely due to his radical politics. He subsequently landed a job at Goldsmiths’ College, University of London, and then at the London School of Economics. Accomplishments in the Field: In his widely acclaimed book Debt: the First 5,000 Years , Graeber (2014) describes debt as a central mechanism for creating and maintaining inequality in ancient and modern societies. Examining the first recorded debt systems, in the Sumerian civilization of 3500 BCE, he found that large numbers of farmers became indebted, forcing them to pawn their children to work off their debt. The increasing enslavement of people in this system led to widespread social unrest. Sumerian kings responded by periodically canceling all debts. Also practiced in ancient Israel, this periodic cancellation of debt came to be called the Law of Jubilee. Widespread indebtedness in American society has also led to increasing precarity and social unrest, resulting in protest movements such as Occupy Wall Street. Graeber called for the reintroduction of the Jubilee, in particular a cancellation of student loan debt and predatory mortgages. Examining the world of modern work, Graeber argued that most white-collar jobs are pointless and meaningless, calling them “bullshit jobs.” In his book Bullshit Jobs: A Theory , published in 2018, he describes how technological advances and increased bureaucracy have led people to work longer hours in pursuit of greater productivity in order to generate profits for shareholders. Much of what white-collar workers produce, however, is useless, bureaucratic make-work that makes the lives of other people more difficult. Such workers include telemarketers, insurance analysts, corporate lawyers, lobbyists, and investment CEOs. Knowing their work to be unnecessary, even damaging, people in these jobs suffer moral and spiritual damage from the regimented futility of their daily lives. Importance of His Work: David Graeber was one of the most innovative economic thinkers of modern times. He forged new ways of thinking about the basic elements of modern economic life, such as work, bureaucracy, debt, and exchange. As a political activist, he participated in social movements working for greater equality, better working conditions, and environmental sustainability. He was a founding member of Occupy Wall Street, the 2011 protest movement against economic inequality. While on holiday in Venice with his new wife, David Graeber died suddenly (Hart 2020). He was 59. Environmental Impacts of Industrial and Postindustrial Societies Industrialism has taken a heavy toll on the environments where it has become a primary mode of subsistence. The burning of fossil fuels to power factories causes air pollution, particularly the buildup of carbon dioxide and other greenhouse gases in the atmosphere. This has triggered global climate change. Where factories are built next to water sources, local water supplies can become contaminated with dangerous chemicals. Toxic chemicals such as lead can leach into soils, contaminating crops. The clearing of land for mining, logging, ranching, and cash crops leads to habitat loss, causing dramatic reductions in plant and animal biodiversity. Much of this environmental degradation occurs in poorer countries and poor regions of postindustri al countries. As discussed in this chapter, anthropologists in all of the four fields are interested in how people make a living by engaging with their environments, creating systems of production and exchange. Anthropologists also study how such systems create forms of meaning and value as people study, classify, and experiment with the plants, animals, soils, and climate features of their surroundings. With its deep-seated interest in the interdependence of humans and nature, anthropology has been quick to respond to the environmental threats generated by unsustainable modes of subsistence, such as fossil-fuel-driven industrialism and postindustrial hyperconsumption. Practicing “climate ethnography,” many cultural anthropologists have described how previous modes of subsistence have become impossible due to climate change, particularly in “climate sensitive” parts of the world such as deserts and areas at or near sea level (Crate 2011). Contributions to a 2016 book, Anthropology and Climate Change , detail the profound sociocultural effects of climate change in places such as Siberia, Bangladesh, Ethiopia, Papua New Guinea, the Amazon, Peru, Australia, and Alaska (Crate and Nuttall 2016). Anthropologist Jerry Jacka (2016) reports how extreme climate fluctuations are causing droughts, floods, and frosts that threaten local subsistence strategies in Papua New Guinea. In heavily affected areas, horticulture becomes impossible, and people are forced to migrate, sometimes leaving the sick and the elderly behind to die. In areas where people continue to farm, invasive weeds and insects have taken over, destroying crops and firewood. Unpredictable rainfall and flooding cause frequent food shortages when crops fail. Local peoples have responded with a set of strategies to mitigate these changes, such as switching crop species, but horticulture remains a threatened way of life in New Guinea. Similarly, anthropologist Susan Crate ’s (2016) work in Siberia shows how cattle keeping is becoming increasingly difficult due to flooded rangelands, unpredictable rainfall, and other unstable climate factors. More and more Siberian young people are abandoning their parents’ way of life and moving to cities in search of wage work. In this chapter, we have surveyed the four main ways of making a living that people have used throughout human history. These four modes of subsistence did not occur in a neat evolutionary sequence, each new one outmoding and replacing the one before. Rather, new strategies were adopted as primary modes of subsistence by some groups and supplementary methods by others. Many groups have experimented with different modes of subsistence, combining them in various ways over time. People change their subsistence strategies in response to population pressures, forced migrations, the spread of new technologies, trade opportunities, and, most recently, global climate change. There is a notable difference between the first three strategies discussed in this chapter and the very last one. Industrialism and postindustrialism are strategies that encompass the world, drawing all other modes of subsistence into the pressures and opportunities of the global capitalist market. As states and corporations seek to gain control over land and natural resources, the modes of subsistence that rely on these resources are threatened. Many people are forced to abandon gathering-hunting, pastoralism, and plant cultivation and the whole ways of life associated with those ways of making a living. There is one more important difference between all previous modes of subsistence and the mode of industrialism/postindustrialism. Gathering-hunting, pastoralism, and plant cultivation are very often (though not always) practiced in ways that sustain and protect the environment. Despite efforts at environmental reform, industrialism and postindustrialism are still practiced in ways that harm and deplete the environment. Perhaps people who practice ecologically smart ways of making a living have lessons to teach those who don’t. Losing these smart ways of making a living would be a cultural tragedy as well as an environmental disaster. Summary Anthropologists take a human-centered approach to studying economic issues, examining how social and cultural features relate to economic production, markets, and consumption. Humans use four main modes of subsistence to meet their needs: gathering-hunting, pastoralism, plant cultivation, and industrialism. Gathering-hunting societies such as the Hadza are highly mobile and egalitarian. Pastoral societies such as the Bedouin are also mobile but allow for the accumulation of wealth in the form of herd animals. Plant cultivators are settled peoples who practice either extensive horticulture or intensive agriculture. Cities and craft specialization are developed from the surplus generated by intensive agriculture. In the first three modes of subsistence, forms of reciprocity structure the circulation of goods in society. In intensive agriculture and industrialism, the market economy based on money forms the dominant mode of exchange. Industrialism was first developed in Europe and motivated the colonization of many other parts of the world. Industrial societies are associated with wage labor, work discipline, social classes, commodity consumption, and high degrees of inequality. Some industrialized societies have become postindustrial by shifting production to poorer parts of the world with cheaper labor costs. In postindustrial societies, more people work in the service industries than in manufacturing. The intensive extraction, pollution, and waste associated with industrial and postindustrial societies are increasingly harmful to the environment. Critical Thinking Questions Unstructured Interview Unstructured interviews are a qualitative research method used for research in social sciences and sometimes for interviews for jobs and college entrance. Unstructured interviews are free flowing and are more spontaneous than a planned interview. The goal of this less structured type of interview is to have the interviewee relate information in a more open and neutral environment. Use an unstructured interview method to interview a person about their job. While the interview will be unstructured some light preparation should be done. Think about these questions as you plan your interview. How did the person acquire that job? By choice, convenience, or necessity? Is the job temporary or permanent, and why? What are the challenges of the job? Are there risks or dangers? What are the rewarding features? Does the person get bored? How would the person describe the people they work among? How would they describe their relations with the boss? Are there aspects of unfairness or inequality in the workplace? Does the job allow the person to express creativity? Is the job personally satisfying? Does the person feel free or unfree on the job? What might your interview indicate about work in your society? Reflect on the interview. Was the conversation more relaxed? Did you feel you were able to get sufficient information from your subject? What differences were there in this style of interview from a more formal interview process? How might the information you got be different? Bibliography Akcigit, Ufuk, Harun Alp, and Michael Peters. 2021. “Lack of Selection and Limits to Delegation: Firm Dynamics in Developing Countries.” American Economic Review 111 (1): 231–275. https://doi.org/10.1257/aer.20180555. American Heart Association. 2012. “Hunter-Gatherers and Horticulturalist Lifestyle Linked to Lower Blood Pressure Increases, Atherosclerosis Risks.” ScienceDaily. 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Rachok, Dafna. 2021. “Honesty and Economy on a Highway: Entanglements of Gift, Money, and Affection in the Narratives of Ukrainian Sex Workers.” Economic Anthropology 8 (1): 34–45. https://doi.org/10.1002/sea2.12187. Rizvi, Uzma Z. 2007. “City, History Of.” Encyclopedia of Anthropology , edited by H. James Birx, vol. 1, 509–511. Thousand Oaks, CA: Sage Publications. Rogall, Thorsten. 2021. “Mobilizing the Masses for Genocide.” American Economic Review 111 (1): 41–72. https://doi.org/10.1257/aer.20160999. Rössler, Martin. 2018. “Redistribution.” In The International Encyclopedia of Anthropology , edited by Hillary Callan. Hoboken, NJ: John Wiley & Sons. https://doi.org/10.1002/9781118924396.wbiea1595. Sillitoe, Paul. 2018. “Subsistence.” In The International Encyclopedia of Anthropology , edited by Hilary Callan. Hoboken, NJ: John Wiley & Sons. https://doi.org/10.1002/9781118924396.wbiea1406. Turner, Terence, and Vanessa Fajans-Turner. 2006. “Political Innovation and Inter-ethnic Alliance: Kayapo Resistance to the Developmentalist State.” Anthropology Today 22 (5): 3–10. https://doi.org/10.1111/j.1467-8322.2006.00458.x. Vertovec, John. 2021. “‘No trabajaré pa’ ellos’: Entrepreneurship as a Form of State Resistance in Havana, Cuba.” Economic Anthropology 8 (1): 148–160. https://doi.org/10.1002/sea2.12191. Wallenfels, Ronald, and Jack M. Sasson, eds. 2000. “Uruk.” In The Ancient Near East: An Encyclopedia for Students , vol. 4, 141–143. New York: Charles Scribner’s Sons. Wood, Brian M., Herman Pontzer, David A. Raichlen, and Frank W. Marlowe. 2014. “Mutualism and Manipulation in Hadza–Honeyguide Interactions.” Evolution and Human Behavior 35 (6): 540–546. https://doi.org/10.1016/j.evolhumbehav.2014.07.007. Ulate, Mauricio. 2021. “Going Negative at the Zero Lower Bound: The Effects of Negative Nominal Interest Rates.” American Economic Review 111 (1): 1–40. https://doi.org/10.1257/aer.20190848. University of Cambridge. 2014. “Hunter-Gatherer Past Shows Our Fragile Bones Result from Inactivity since Invention Of Farming.” ScienceDaily. December 22, 2014. https://www.sciencedaily.com/releases/2014/12/141222165033.htm. alternative modernity versions of modernity shaped by local social and cultural forms. colonialism the political domination of another country in the interest of economic exploitation. commodity fetishism the association of commodities with magical powers of personal transformation. globalization the dramatic increase in global processes of production and consumption since the 1970s. industrialism the mode of subsistence that uses wage labor, machines, and chemical processes to mass-produce commodities. modernity the complex of sociocultural features associated with industrial society. postmodernity the cultural shift associated with postindustrialism. precarity physical and psychological harm caused by lack of secure and stable income. time-space compression the postmodern feeling that time is speeding up and global space is shrinking.", "section": "Industrialism and Postmodernity", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction For people all over the world, newspapers provide daily information about political actors and events. (credit, clockwise from top left: “Tourist Couple” by Pedro Ribeiro Simões/flickr, CC BY 2.0; “Intensely Reading the Newspaper in Addis Ababa” by Terje Skjerdal/flickr, CC BY 2.0; “Reading the Newspaper” by kuhnmi/flickr, CC BY 2.0; “Reading Is Fundamental” by Ernie/flickr, CC BY 2.0) What’s going on in the world? In your country? In your community? Visit any news site or pick up any newspaper, and look at the top stories. The most prominent news of the day usually involves one or more of the following: the actions of leaders, social decision-making, legal issues, social protest, and forms of social violence. These are all elements of the sociocultural dynamics of power—more commonly referred to as politics . The actors in this global drama are most often nation-states, or more specifically, the people and groups representing nation-states. Britain is leaving the European Union. Russia is wracked with protests again Putin. Myanmar has been taken over by a military coup. When people think about what’s going on in the world, they often think about actions of or within nation-states. Our very notion of the world is primarily structured by the nation-state form. Just look at any globe. Because of this state-centric focus, it is tempting to think that politics essentially refers to the internal and external dynamics of nation-states. Anthropologists, with their attention to human history and sociocultural diversity, recognize that the nation-state is one system among many used by humans to make collective decisions and maintain social order. Over the past 200,000 years, modern humans have developed a wide variety of political systems for managing power in coordination with the other elements of society. The nation-state is a relative newcomer among political forms, dating back only a few hundred years. Much more common in human history are decision-making systems based on extended families and positions of formal leadership associated with those family systems. The field of political anthropology was originally established with the goal of categorizing the diversity of political systems found all over the world. Initially, anthropologists identified one fundamental difference among political systems—whether or not they have a centralized leader or leaders. Building on this distinction, anthropologists have explored how certain subsistence patterns coordinate with specific political systems. Anthropologists studying colonialism have described the global spread of the nation-state form as it dominated, incorporated, and sometimes eliminated other political systems. Though the nation-state political form now governs most societies, alternative forms of leadership and decision-making still exert a great deal of influence, either directly or indirectly. In some places, these alternative forms continue to exist, although they are marginalized by the power of the state. In other places, the alternative political structures have been destroyed, but the values associated with them persevere in the hearts and minds of contemporary peoples. politics all elements of the sociocultural dynamics of power", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Colonialism and the Categorization of Political Systems Learning Outcomes By the end of this section, you will be able to: Trace the colonial origins of political anthropology. Identify European misconceptions about non-Western political organization. Discuss the importance of the book African Political Systems . Distinguish between acephalous and centralized political organization. Describe the association between modes of subsistence and political organization. Identify and briefly define Max Weber’s three types of authority. As discussed in Work, Life, Value: Economic Anthropology , many European countries began developing formal colonial rule over other parts of the world in the late 1800s. Their main motivation was to secure the raw materials they needed to fuel their own growing industrial economies. As they began to establish their own governments in colonized societies, European administrators were highly influenced by ethnocentric stereotypes of non-Western peoples. Typically, they assumed that non-Western societies either were ruled by overbearing tyrants or were chaotic anarchies with no political organization whatsoever. The establishment of colonial rule provided the administrative context for anthropologists to study non-Western societies in countries under European domination. As cultural anthropologists conducted research in African colonies during the early part of the 20th century, they made the surprising discovery that European assumptions about African political organization were completely misguided. In 1940, British anthropologists Meyer Fortes and E. E. Evans-Pritchard published a particularly important collection of essays written by a variety of anthropologists with ethnographic experience in societies all over Africa. This book, African Political Systems , completely invalidated the idea that Indigenous African politics were either oppressive or chaotic. The eight chapters all demonstrated that African societies were meticulously organized systems with well-defined institutions for political representation and collaborative decision-making. In their overview of the chapters, Fortes and Evans-Pritchard make a primary distinction between centralized political systems, which feature rulers such as chiefs, and acephalous (meaning “headless”) societies, where power is exerted through families or village meetings rather than formal political office. Africa featured a broad array of both centralized and acephalous forms of political organization, each one an effective means of maintaining social order. In an effort to demonstrate the cohesion and stability of precolonial political forms, Fortes and Evans-Pritchard applied a structural-functionalist perspective to show how the various elements of each society fit together in a durable whole, reproduced through social action over time. With the resurgence of evolutionary social theory in the 1960s and 1970s, anthropologist Elman Service drew from previous typologies to propose four main forms of social organization, each with its own political system. His four main categories of social organization are band, tribe, chiefdom, and state, and they are linked to the subsistence patterns discussed in Work, Life, Value: Economic Anthropology (Service 1962). Gathering and hunting is associated with bands. Horticulture gives rise to tribal societies. Chiefdoms are developed on the basis of agricultural surplus. And states rely on multiple modes of subsistence as well as military conquest and extensive regional trade, leading to the development of multiethnic territories. Critical of the timeless representations of structural functionalism, neo-evolutionists such as Service were interested in understanding how societies moved from one category to the next in an evolutionary sequence. Contemporary political anthropologists are much more interested in history than evolution; that is, they emphasize the importance of the past while rejecting the notion that all societies can be classified according to stages in an evolutionary scheme of development from simple to complex. Anthropologists are similarly critical of the structural-functional approach that represents non-Western societies as timeless and unchanging. More often, political anthropologists explore the particular histories of political practices and institutions in the societies they study, emphasizing the equivalent political sophistication and unique historical trajectory of each society. While based on fieldwork, political anthropology is also informed by models of political structure devised by sociologists. Sociologist Max Weber defined politics as the exercise of power (or at least the attempt to exercise power). Power is the ability to influence people and/or shape social processes and social structures. In many acephalous societies, power is spread widely among members of a society, while in centralized societies , power is concentrated in one or more sociocultural roles. These roles are called positions of authority . Weber defined three types of authority: traditional, charismatic, and rational-legal (Weber 1946). Priests and family elders exercise traditional authority, based on religious expertise or position in family structures. Charismatic authority is power exercised through personal qualities such as skilled oratory, extraordinary abilities, or social charm. Such power is persuasive, meaning it is based on the ability to convince others rather than force them to obey. Rational-legal authority is power that is defined by a legal role in society, such as prime minister or president. Once elected or assigned to a rational-legal position, a person exercises the authority vested in that position. Such power is coercive—that is, based on the legal ability to force people to obey. In the next two sections, we’ll take a look at the four main types of social organization described by Service, along with the political forms associated with each. The first two, bands and tribes , correspond with the category of acephalous societies noted by Fortes and Evans-Pritchard . The last two, chiefdoms and states, are forms of social organization featuring centralized leadership. Throughout this chapter, we will consider the features of each idealized category, mindful that the diversity of political organization in the world is more of a spectrum than a set of discrete categories. At one end of the spectrum, power is more widely shared among all members of a community, while at the other end, power is more centralized and formalized in bureaucratic institutions. Moreover, while each society is fundamentally structured by a particular model of political organization, most societies feature a variety of forms of authority, representation, and decision-making that intersect and interact with the dominant form—and sometimes contradict and undermine it. While archaeologists often consider how one form of sociopolitical order might develop into another, cultural anthropologists are typically careful to avoid simplistic typologies of cultural evolution. In this chapter, we’ll take a modified approach between those two positions by detailing the categories of political organization and discussing common paths of social change from one system to another. However, it’s important to emphasize that societies develop not along one single evolutionary path but through complex and often unpredictable processes of historical change. authority the exercise of power based on expertise, charisma, or roles of leadership. centralized societies communities in which power is concentrated in formal positions of authority, such as chiefs or kings. power the ability to influence people and/or shape social processes and social structures.", "section": "Colonialism and the Categorization of Political Systems", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Acephalous Societies: Bands and Tribes Learning Outcomes By the end of this section, you will be able to: Define the category of acephalous societies. Identify three types of acephalous political organization. Describe leadership in band societies. Outline the organization of lineage orders. Explain why many anthropologists avoid the use of the word tribe . Define the roles of leopard-skin chiefs and big men. Explain how age-grade systems complement lineage organization. Describe the village democracy of precolonial Igbo society. Any group without an official leader is acephalous. When you go out with a group of friends, how do you make decisions about where to go, how to get there, and who will pay for what? Probably someone makes a suggestion, people chime in with their own ideas, and you discuss things as a group and reach an informal consensus. This is what many small groups do. Until the early 20th century, many Europeans believed that all humans were essentially selfish and would relentlessly pursue their own personal interests without the moralizing forces of civilization to force them to be more cooperative. They assumed that any non-Western society without formal leadership and codified laws would necessarily be a chaotic free-for-all of greed, coercion, and violence. Anthropologists discovered otherwise. Just as you and your friends easily make decisions without electing a leader or writing down rules, people who live in small communities do just fine without formal leadership and law. In such communities, power is not concentrated in any formal position of leadership but rather diffused throughout society. Elders or people with experience in certain areas may give valuable advice, but they do not have the power to enforce their judgments. Their authority is based on persuasive power —that is, their ability to convince others and build group consensus. Certainly in any group there will be some people who want to exert power or force their own ideas on others, but without a formal mechanism allowing such people to enforce their will, others can generally ignore or evade them. The result is a mostly cooperative social order rather than chaos and strife. Fortes and Evans-Pritchard described three types of acephalous societies . The first corresponds to what we have called band societies , or gatherer-hunters living in small groups of 20 to 30 people. As we learned when we discussed the Hadza in Chapter 7, Work. Life, Value: Economic Anthropology, such groups are strongly egalitarian, stressing equality, cooperation, and sharing. People make decisions through discussion and consensus. Those with knowledge and experience in particular areas may exert influence in those areas, but there are no formal positions of leadership. Social groups often face decisions regarding their mode of subsistence. As just one example, nomadic gatherer-hunter groups must decide where to camp and how long to stay there before moving on. Frank Marlowe , an anthropologist who studies the Hadza , describes how men sometimes suggest that it’s time to move on, but the group won’t move “until the women are good and ready” (Marlowe 2010, 40). As the primary gatherers, women are best able to gauge whether food resources have been depleted in the area. When they have to walk too far to gather food, they agree that it’s time to move camp. On a daily basis, women going out in gathering groups must decide where to go and which resources to target, making such decisions through a quick conversation. Most people known someone in their family or group of friends who likes to tell others the best way to do things, and perhaps even wants to get their own way all of the time. This is the case in many small groups. Among the Hadza , if someone tries to tell other people what to do, the others just ignore that person. If the problem persists, people might just move to another camp to get away from the bossy person. Government officials and missionaries who try to tell the Hadza what to do are often met with the same general tendency to ignore or avoid potential authority figures. While band societies have no political structure whatsoever, a second type of acephalous society relies on extended family structures and/or councils to organize leadership, decision-making, and conflict resolution. Elman Service (1962) referred to these as tribal societies . Service’s “tribal” form of social organization is associated with modes of subsistence such as pastoralism and horticulture, in which extended families control certain resources such as animals or land. Such communities are typically larger than bands, living in groups ranging from a few hundred to several thousand people. A cautionary note about the words tribe and tribal. Too often, the adjective tribal is used to describe seemingly irrational group loyalties and conflicts, particularly in non-Western societies. Western journalists sometimes attempt to explain civil wars and guerrilla resistance in non-Western parts of the world in terms of “ancient tribal hatred” among various groups. The word tribe carries connotations of primitive lifeways and collective groupthink. In fact, many contemporary conflicts that are attributed to “tribal” animosity occur between groups that got along just fine before the colonial period of European domination. In Rwanda, for instance, the horticultural Hutu and pastoral Tutsi were engaged in cooperative relations and symbiotic forms of trade in precolonial times. Under a divide-and-rule strategy of colonial domination, the Belgians privileged the Tutsi with educational opportunities and jobs in colonial administration, which created resentment among the mostly agrarian Hutu . In this competitive context, group identities became fixed and rigid. The 1994 genocide in Rwanda is largely a result of these colonial processes fostering division, bias, and competition among these two groups. Because the word has been so often misused, some anthropologists have replaced the term tribe with the term ethnic group to describe large collectivities based on a sense of common ancestry and shared culture. Many anthropology texts do continue to use the term tribal to refer to a specific form of sociopolitical organization based on extended family groups. Many Indigenous groups also use the term to refer to their social groups. It’s one thing for people in a group to use the term tribe to refer to their own social group and quite another to use the word to describe a whole category of social organization. Service’s term tribal was never a unified category anyway, as it refers to communities with a great diversity of forms of political organization. Some rely primarily on extended family structures to provide authority and processes of decision-making, while others rely on special groups or councils and still others use both. As you will learn in Chapter 11, Forming Family through Kinship, a lineage is a group of people related by a common ancestor through either the maternal or the paternal line. In lineage orders , communities consist of two or more lineage groups, each one with an elder or group of elders that plays a prominent role in establishing consensus and settling disputes within the lineage. Such leaders do not occupy formal positions of leadership, but rather exercise informal authority through their accumulated knowledge and their ability to persuade members of the lineage to follow their instructions. Like band societies, lineage orders tend to be fairly egalitarian. Some lineage societies, such as the Nuer of South Sudan, are segmentary lineages . These consist of family units called minimal lineages, which are encompassed by larger groups called maximal lineages, which are subsumed by even larger groups called clans . Minimal lineages are groups that trace descent from a common great-grandfather. In disputes between minimal lineages, people can recruit allies from the larger groups of kin, though there are no leaders in these larger groups. In this way, the Nuer mobilize their interlocking kin networks to maintain group cohesion and settle conflicts. In his ethnographic work, E. E. Evans-Pritchard (1940) describes the Nuer as both fiercely independent and strongly egalitarian. Rather than accumulating wealth, people shared with others in their kin groups. However, fighting was very common. Since there were no formal methods of settling conflicts, people responded to offenses and disputes by fighting with clubs or spears. When someone was killed (which was not uncommon), the perpetrator would seek out the assistance of a special mediator called a leopard-skin chief , so named because they wore leopard skins to indicate their role. These mediators were not really chiefs at all, as their positions were informal and they had no power to coerce anyone or enforce their judgments. Leopard-skin chiefs were outside the lineages of the disputing parties and therefore respected as neutral parties. Their role was to negotiate a settlement between the perpetrator and the victim’s family in order to avoid retaliation and an escalation of violence. Typically, compensation took the form of cattle paid out to the victim’s family over a period of several years. Nuer people in 1906. Nuer culture has been described as both fiercely independent and strongly egalitarian. When conflicts grew intense, people consulted a “leopard-skin chief” to mediate between fighting parties. (credit: “Nuer People, 1906” by National Geographic/Wikimedia Commons, Public Domain) Another informal position of leadership, common to lineage-order societies in Melanesia and New Guinea, is the role of the big man . Although lineage orders are generally egalitarian, a man can distinguish himself through the accumulation of wealth, public acts of generosity, and the performance of verbal skills. Like leopard-skin chiefs, big men do not hold formal office and have no official power to enforce their will. Their power is persuasive, not coercive. By sponsoring feasts and helping young men pay bride wealth, big men attract loyal followers who respect their authority and follow their commands. Big men settle disputes within communities and represent local peoples in their dealings with outsiders. Though the accumulation of wealth and prestige is necessary to become a big man, far more important is the equitable distribution of wealth and service to the community. Greed and selfishness are abhorred. Anthropologist Leopold Pospisil (1963) described an incident among the Kapauku of New Guinea in which a man who refused to share resources with the less fortunate in his community was punished by death. In some acephalous societies, communities are fundamentally organized through a system of age-related groups called age sets . An age set is a group of similarly aged people in a community who share a common social status with permitted roles, activities, and responsibilities. An array of age sets may be organized into a hierarchical age grade system, dividing members of the community into children, youths, adults, and elders (the term age set refers to the group, while the term age grade refers to the level in the hierarchy). Most often, age sets are gendered, with female and male versions of the same grade. In adolescence, males and females of similar ages are summoned at different times for initiation into the age set of their teenage years, either young men or young women. Strong lifelong bonds are formed through age sets, creating solidarities that cross lineage and clan boundaries in a community. The Shavante (or Xavante) of central Brazil have eight age sets, spaced approximately five years apart (Flowers 1994; Maybury-Lewis 1967). Children are not formally in an age set but constitute an undifferentiated group of socially immature beings. Boys between the ages of 7 and 12 leave their family household and go to live in a bachelor’s hut. After about five years, the set of boys is initiated into the age set of young warriors through a complex set of rituals that takes about a year to complete. In the lower age sets, senior men teach young men the important skills of hunting, singing, and performing public ceremonies. Initiated men of all age sets attend councils every evening where community matters are discussed and debated. Girls have their own age sets and initiation rituals. When a woman has her first child, for instance, she is awarded her formal adult name in a public ceremony and thereby enters the adult women’s age set. In addition to bands and lineage orders, a third and more atypical form of acephalous political organization is village democracy . Western students are often taught that democracy was invented in the ancient Greek city-state of Athens. Considering themselves heirs to the classical political tradition, Europeans who established colonial rule over African territories typically thought that they were bringing more enlightened ways of governing to African societies. But the Igbo of eastern Nigeria were already practicing a highly effective form of homegrown democracy before the arrival of the British. Indeed, many anthropologists reject the notion that democracy was invented by the Greeks. Lacking formal rulers, most acephalous societies practice forms of discussion and consensus-building that resemble democratic systems. In fact, the egalitarian and highly participatory form of democracy in such societies might be considered far more democratic than the form of representational democracy in large, Western societies, dominated by wealthy campaign donors and powerful lobbyists. In precolonial Igbo villages, an array of social groups provided arenas for public discussion and the representation of different interests and perspectives (Isichei 1978, 71–75). Each group met frequently for discussion of current issues. A nuclear family formed a group headed by the father, and each lineage formed a larger group headed by a lineage elder. Women and men each had their own groups, and people were further divided into gendered age grades of people of roughly the same age. In some villages, there was even a group of very old women who inspected the town to maintain sanitation. At the highest level was a group of town elders comprising the leaders of other groups. After consulting on a particular issue, the elders would summon a general town meeting attended by everyone in the community. At this meeting, anyone could stand up and voice their opinion. Good contributions were cheered and applauded, while frivolous ones were jeered and dismissed by the audience of townspeople. The goal of group discussion at all levels was to reach consensus. With no formal positions, leaders had no coercive power. The role of group leaders was to chair discussion and facilitate the process of reaching consensus. Anthropologists have described similar systems of decision-making through public councils in many societies all over the world, even in communities within chiefdoms or states. Anthropologists Audrey Richards and Adam Kuper formed a research group to compare and contrast forms of decision-making in councils, resulting in their book Councils in Action (1971). While in acephalous societies, councils are the main arena of public decision-making, councils play a more advisory role in societies with centralized authority. acephalous societies communities with no formal positions of leadership. age sets gendered groups of people of roughly the same age who play a distinctive role in society with important social obligations and abilities. Age-grade systems tend to be associated with acephalous societies. band societies communities of gatherer-hunters in which leadership is temporary, situational, and informal. big man an informal leader who has gained power by accumulating wealth, sponsoring feasts, and helping young men pay bride wealth. clans large kin groups that trace their descent from a common ancestor who is either not remembered or possibly mythological. leopard-skin chief an informal mediator in Nuer society who negotiated settlement in the case of homicide. lineage orders societies in which extended family groups provide the primary means of social integration. Leadership in these societies is provided by elders and other temporary or situational figures. persuasive power the ability to influence others without any formal means of enforcement. segmentary lineage a kind of lineage order in which family units called minimal lineages are encompassed by larger groups called maximal lineages, which are subsumed by even larger groups called clans. tribal societies an older term used by anthropologists to refer to pastoralist and horticulturalist societies in which extended family structures provide the primary means of social integration. tribe an old-fashioned term used to describe ethnic groups or groups organized by lineage. Avoided by many anthropologists now because of connotations of primitivism and groupthink. village democracies acephalous societies in which an array of social groups provide arenas for discussion and consensus.", "section": "Acephalous Societies: Bands and Tribes", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Centralized Societies: Chiefdoms and States Learning Outcomes By the end of this section, you will be able to: Describe how lineage orders may develop into chiefdoms. Evaluate the economic, religious, and militaristic aspects of chiefdoms. Identify practices of popular representation in chiefdoms. Provide two detailed examples of chiefdoms. Explain integrative and conflict pressures of state formation. Enumerate the features of state societies. Describe social inequality in state societies. Define ideology and hegemony and explain their importance in state societies. As mentioned in the last section, lineage orders are commonly associated with horticultural and pastoral societies, as well as societies that practice some combination of the two. Recall from Work, Life, Value: Economic Anthropology that such societies produce little beyond what they consume locally; they don’t produce substantial surplus. If conditions are favorable, some such societies may intensify their farming methods with the development of irrigation systems, terracing, or use of the plow. The organization of labor and resources necessary to develop terracing and systems of irrigation fosters stronger forms of community authority. These intensive methods generate agricultural surplus, which allows some members of the community to specialize in craft production as well as in forms of religious and political leadership. Agricultural surplus can also be traded with other communities in regional networks. These factors promote the local accumulation of wealth. The process of agricultural intensification often results in the centralization of power. Big men or lineage elders acquire the authority to command the labor of others and control the storage and distribution of agricultural surplus. They take on the role of organizing regional trade. They oversee the construction of infrastructure such as roads and irrigation systems. They organize groups of local young people to protect the community. They perform important community rituals to ensure agricultural productivity and community prosperity. Over time, such leaders may seek to hand down their leadership roles to their own kin in subsequent generations. As leadership becomes inherited, one lineage in a community may emerge as a royal lineage. Chiefdoms Anthropologists refer to those with formal, inherited positions of community leadership as chiefs . Over time, a chief can expand their dominion to incorporate several towns and villages into a small chiefdom . Chiefs may form political alliances with other regional chiefs in large pyramidal systems consisting of various levels of village chiefs and regional chiefs, with one very powerful chief at the top. When a chiefdom expands to encompass multiple ethnic groups in a regional empire, the leader is referred to as a king . Chiefdoms are a very common form of political organization, found in historical and contemporary societies all over the world. Archaeologists and cultural anthropologists have discovered chiefdoms in Africa, Oceania, the Middle East, Europe, East and Southeast Asia, and North, Central, and South America. While there is considerable diversity in the way these various systems of chieftaincy operate, anthropologists have identified a set of elements common to many of them. The fusing of multiple forms of power is the defining feature of chiefdoms, common to all of them. Economic, political, religious, and military power are all concentrated in the position of the chief. In Mesopotamia , the cities of Sumer were initially ruled by religious priests who represented local gods and oversaw work on common lands. Over time, priests began to share their power with secular governors who maintained law and order, managed the economy, and led military campaigns. Eventually, religious and civil power became fused in the office of the lugal . As lugals solidified their power, they began passing down their office to their sons, establishing dynasties. Central to the power of a chief is control over economic resources such as land, agricultural surplus, and trade. Chiefs often hold land in public trust, determining who may farm where and also allocating farmland to newcomers. They have their own farming plots, commanding regular public labor to work on them. Farmers are obliged to channel a portion of their surplus to the chief, who holds it in storage facilities for public feasts or distribution to those in need. Chiefs regulate local trade and negotiate regional trade networks to benefit their own communities. They control the production and distribution of certain prestige goods, such as royal textiles and ornaments made of jade, gold, copper, or shell. Imperial Chiefdoms: Hawaii and Asante Statue of Chief Kamehameha, the founder and first ruler of the Kingdom of Hawaii, in Emancipation Hall in the U.S. Capitol Building. Hawaiian chiefs used the wealth they accumulated to build public works and military fortifications. (credit: Tyfferz Y/flickr, CC BY 2.0) Chiefdoms developed throughout the Polynesian Pacific, including the peoples of Hawaii, Tahiti, Samoa, and Tonga and the Maori of New Zealand. In Hawaii, chieftaincy developed from the intensive cultivation of taro using systems of irrigation and terracing (Earle 2011). Hawaiian chiefs controlled the distribution of land, giving out subsistence plots in return for labor in their own gardens. They used accumulated wealth and communal labor to build roads, garden terraces, fish ponds, and military fortifications. Their power was reinforced by a belief system that identified chiefs as god figures responsible for agricultural prosperity and social welfare. Chiefs conducted important annual religious rituals to ensure the success of crops. They commanded public labor to build and refurbish shrines for the worship of local gods, personal gods, and high gods such as Lono. Military forces were recruited and commanded by chiefs who used them to defend their chiefdoms and expand their territories. Militarism is another common feature of chiefdoms throughout the world. While the power of leaders in acephalous societies depends on their ability to persuade others to do what they say, chiefs have coercive power to force people to carry out their commands. The powerful West African chiefdom of Asante was originally founded in 1700 as a military confederation of chiefs who united to defeat the neighboring Denkyira. Under the Asantehene (the king), the top chiefs commanded different divisions of the military, including the scouts, the advance guard, the main body, the right and left wings, and the rear guard. As commander in chief, the Asantehene coordinated these divisions into a highly effective military machine that conquered a region larger than present-day Ghana. Subduing neighboring groups enabled the Asantehene to collect tribute in the form of agricultural surplus, trade goods, and slaves. Also common to many chiefdoms is the promotion of moral and religious ideology that supports the legitimacy of their rule. Like Hawaiian chiefs, Asante chiefs were considered to be embodied links to the realm of the supernatural, and they conducted rituals and ceremonies for the benefit of the community. Every 40 days, Asante chiefs led processions to present ritual gifts of food and drink to the ancestors and ask for their blessings to ensure the fertility of the land and the well-being of the people. Although they wielded great power, Asante chiefs were bound by a morality that compelled them to use resources such as land and gold for the good of the people rather than for private benefit. Otumfuo Nana Osei Tutu II, the current Asantehene, the title for the monarch of the Asante people. The Asantehene traditionally held the role of commander in chief of the Asante military. (credit: “Asantehene Otumfuo Nana Osei Tutu II, Kumasi, Ghana” by Alfred Weidinger/flickr, CC BY 2.0) Europeans who colonized African societies often assumed that African chiefs were cruel despots who used violence and exploitation to enrich themselves and oppress their subjects. On the contrary, research by historians and anthropologists has revealed that many African chiefdoms were highly moralized political systems that incorporated checks and balances on the rule of the chief. Among the Akans (the larger cultural group that includes the Asante), there were several avenues for popular representation and critique as well as a procedure for getting rid of inept and corrupt chiefs. At the advisory level, the chief was guided by a council of elders as well as the queen mother, often his aunt, mother, or sister. The young men of the community formed a group called asafo that had as one of its many purposes the responsibility to represent popular opinion to the chief and his advisors. If the people wished to depose their chief, they could communicate their wishes to the young men, who then conveyed the message to the queen mother, who would then advise the chief to mend his ways. If he didn’t, the young men could seize him, touch his feet to the ground (thus ritually defiling him), shoot off a gun, and declare him deposed. At that point, the queen mother would meet with the elders to nominate a new chief. In Akan societies, it was far easier to depose a bad chief than it is to impeach a bad president in the US political system. States Starting around 5,000 years ago, a new form of political organization emerged independently in many parts of the world, including Mesopotamia, China, Egypt, India, Mesoamerica, and South America. As some societies in these areas became more populous and hierarchical, their leaders developed modes of governance that combined forms of economic extraction such as taxation and tribute with mechanisms of social control such as law and policing. These governments used public revenues to build infrastructure and monuments. They developed extensive bureaucracies to interpret and enforce laws and maintain social order. Large military forces defended and expanded control over territory, resulting in multiethnic empires. The government asserted a monopoly on the use of violence, meaning that only the government was allowed to use extreme forms of violence to control or punish anyone. Societies with this form of political organization are called state societies (Brumfiel 2001). Many of the features of states mentioned above are common to the political organization of chiefdoms , and indeed states have generally emerged from the increasing centralization of political power in large chiefdoms . This concentration of power happens gradually over time, stimulated by a variety of pressures, some very general and universal and others more particular to the context of specific societies. Population growth and increasing social stratification are among the more general pressures, while the militaristic threats of specific neighboring societies and the particular opportunities of regional trade affect societies in different ways. Attempting to explain the rise of the state, theorists emphasize two sets of forces that propel the process: integrative pressures and conflict pressures. Integrative pressures arise from the need for greater coordination in order to satisfy the needs of a growing population. As the population increases, agricultural production must also be increased to meet subsistence needs and for trade. Leaders are compelled to organize more complex irrigation systems and forms of landscape management, such as terracing and raised fields. These complex systems are built and maintained using public resources and labor. Increasing trade also exerts an integrative force, as leaders strive to maximize the wealth of their societies by stimulating production of agricultural and craft goods and establishing local markets and regional trade opportunities. As agriculture and trade become more complex, power becomes more centralized in order to manage the necessary conditions and infrastructure for economic growth. Conflict pressures arise from the need to manage both internal and external threats to the power of leaders and the integrity of their societies. Some theorists argue that political power becomes increasingly centralized as a leader builds a large military force and wages long-term warfare to defend and expand territory. Conquering neighboring societies allows leaders to command regular tribute. In addition to conquest, military forces provide leaders with large cadres of loyal, well-armed supporters. Other theorists argue that internal tensions are just as pivotal to the centralization of power. State societies are built upon a system of social stratification; that is, they feature class and caste systems with unequal access to wealth and power. With the emergence of a class of privileged elites governing over urban craft workers and rural peasantry, leaders face new forms of inequality and potential conflict. Systems of law and ideology are developed to command the cooperation of disadvantaged groups. Archaic States: The Aztecs In the 14th century, the Aztec state of Mesoamerica arose from a combination of integrative and conflict pressures. Migrants to the area, the Mexica (as they called themselves) first worked as mercenaries for other regional powers, then established their own city of Tenochtitlan on an island in the middle of Lake Texcoco (Peters-Golden 2002). As newcomers, the Mexica were keen to build up the military might necessary to defend their new settlement. They joined forces with two neighboring states to defeat the regional superpower and establish a “Triple Alliance” of three city-states, which they came to dominate. To strengthen their position, they also sought to generate wealth through agricultural surplus, craft manufacture, and trade. At the height of its power in the 15th century, the Aztec state comprised some 50 individual city-states, each with its own ruler who served the Aztec king. The Aztec empire spanned most of present-day central and southern Mexico. A rendering of Tenochtitlan, the capital of the Aztec empire, by artist Diego Rivera. Tenochtitlan was a complex and professionally planned city, constructed on an island, and housing temples, pyramids, and palaces. (credit: “Diego Rivera Mural of Mexican History: Ceremonial Center at Tenochtitlan” by Gary Todd/flickr, Public Domain) The Aztec state was constructed on a foundation of intensive agriculture, particularly the cultivation of maize. Beans, squash, chiles, cotton, cacao, and other produce also contributed to subsistence and trade. Farmers used a variety of cultivation methods, the most intensive being chinampas agriculture. Chinampas are rectangular plots constructed out of layers of mud and vegetation piled up in a shallow part of a lake and secured with anchoring poles. Using this cultivation method, farmers produced a hefty surplus, which was heavily taxed by the state. This surplus fed urban classes of craftspeople, warriors, bureaucrats, and nobles. Farmers formed the class of commoners who lived outside the urban centers of government and trade. They lived in mud houses roofed with thatch and wore simple clothes with cloaks that were required by law to end above the knee. The agricultural base was diversified by urban classes of craft manufacturers, including weavers, sculptors, goldsmiths, and feather workers. Many of these products were not for general use but reserved for rulers and nobles, giving these craftspeople a class distinction above agricultural commoners. These craftspeople were organized into guilds and lived in exclusive neighborhoods near the nobles they served. Also included in the urban classes were merchants who traveled throughout central Mexico, trading Aztec goods within and beyond the empire. The Aztecs were a highly militant society, valuing perpetual warfare as a political and religious necessity. All young men were expected to serve in the military, waging wars of conquest to collect tribute and captives. A class of warrior elites enjoyed high social status, living among other elite classes in major urban centers. This class was divided into two groups, the Eagle and Jaguar cults. At the top level of this highly stratified society were nobles who could trace their ancestry back to the first Aztec rulers . Only nobles could live in two-story stone houses and wear headbands, gold armbands, and jewels in their lips, ears, and noses. Nobles owned land and monopolized positions in government and religion. Each city-state was governed by a noble ruler, considered a representative of the gods, who collected tribute from commoners, organized military campaigns, sponsored public feasts, and settled disputes. Government consisted of the city-state ruler and their advisors, a bureaucracy for collecting tribute, a justice system of high and lesser courts, and the lesser rulers of provinces and towns. At the very bottom of the class system were serfs and enslaved people, who were commoners who had gotten into debt and/or been sold into slavery. People who fell on hard times economically could sell themselves or their kin into servitude. Through the coordinated labor of these classes, the Aztecs built a sprawling empire of tributary provinces all channeling wealth to the core of three city-states, headed by Tenochtitlan. The largest city in the Americas at the time, Tenochtitlan was a professionally planned symmetrical city with well-maintained roads, canals, gardens, and markets. The center of the city was dominated by around 45 large stone buildings, including temples, pyramids, and palaces. The ruler’s palace had 100 rooms, each with its own bathroom. The city had a zoo, an aquarium, and botanical gardens. Life was congenial and luxurious for nobles who lived in such a beautiful and culturally stimulating environment. Life was not so great for the vast majority of commoners, serfs, and slaves who toiled long hours on the land, struggling to pay the tribute and taxes that supported the very luxuries that were denied to them. Why did they do it? Every state has a set of institutions for maintaining social order, such as law, courts, police, and military forces. The Aztecs had a complex legal system that banned drunkenness, adultery, and homicide, among other crimes. Even more important for the cohesion of social classes were laws that banned any behavior above one’s own social class. Commoners who wore elite forms of dress, built elaborate houses, or tried to obtain private property could be punished by death. Under these conditions, people tended to accept the social class they were born into rather than struggle to change their class status or the hierarchical system of classes as a whole. Even more powerful than state law was a set of ideas and practices threaded throughout the daily lives of Aztec peoples at all levels of society. The official religion of the Aztecs emphasized the importance of continual sacrifice in order to keep the world functioning. In the Aztec origin myth, the gods sacrificed themselves to generate the world, offering up their own blood to put the sun in motion. This act of sacrifice put humans forever in debt to the gods, with continual rituals of human sacrifice required to appease them. Without blood sacrifice, the world would end. Priests conducted ritual sacrifices of men, women, and children throughout the year. Many victims were warriors captured in constant battles with neighboring states. Conquered provinces were required to provide a continuous supply of victims to fuel the ritual calendar. Ideology and Hegemony People are often shocked to learn about the prevalence of human sacrifice in Aztec society. We might wonder, how could people go along with such routine public violence conducted by representatives of the state? How did they not protest? Every society develops a set of dominant ideas that frame the existing social order as the way things should be. These ideas form a narrative about the way the world works and the roles of different groups in promoting social harmony and collective prosperity. Typically, a society has many competing ideas about the way the world works, each one reflecting the perspectives and experiences of a particular group. The worldview of a particular group or class in society is called an ideology . Literary theorist Terry Eagleton (1991) describes ideology as an intertwined set of ideas, values, and symbols that can be either conscious or unconscious. When an ideology transcends one group to become the dominant way nearly all people in a society think about social reality, it becomes hegemony . Hegemony is a strategic set of “common sense” ideas that support the social order. As a form of sociopolitical organization, the state requires the vast majority of citizens to lead lives of hard labor and sacrifice in order to support classes of artisans and nobles who live in great cities full of bustling trade, luxurious goods, and monumental architecture. Tearing the heart from a victim on a public altar may seem shocking, but the logic of sacrifice serves as a metaphor for the bodily sacrifice of commoners required to endure lives of hardship to support the well-being of the state. To manage the inequality of classes and ensure the cooperation of all groups, the Aztecs came to embrace the hegemonic notion that sacrifice was necessary to ensure the very existence of the world. The wealth of all state societies, past and present, rests on the hardship of manual laborers at the bottom of the social hierarchy. The dominant ideas of any state are ways of justifying the inequality inherent to all states. These ideas are highly variable. Some societies emphasize religious ideologies of self-sacrifice or the dangers of eternal damnation. Others celebrate economic ideologies of economic growth and consumerism. In American society, for instance, some believe it is necessary to keep the minimum wage of workers very low in order to protect economic growth, an idea not so far removed from notions of bodily sacrifice. In recent decades, the American system has offset these low wages by supplying working-class people with a vast array of cheap consumer goods. The relentless stream of advertising pervading social life continuously reiterates the consumerist mantras of affordability and satisfaction. Ironically, however, those goods are cheap because American manufacturers have relocated their factories to parts of the world where they can pay workers even less than they would pay Americans. The dominant ideology of consumerism draws attention away from the conditions of work and production and toward the ideals of choice and leisure. As both Aztec and American societies demonstrate, the economic and political systems of state societies are deeply entwined, and this relationship is often reflected in the dominant ideas of a society. Political economy is the study of the way political and economic realms frequently reinforce and sometimes contradict one another over time. asafo in Akan societies, the group of young men charged with protecting the town, performing public works, and representing public opinion. Asafo could depose corrupt and unpopular chiefs. chief the inherited office of leadership in a chiefdom, combining coercive forms of economic, political, judicial, military, and religious authority. chiefdoms societies in which political leadership is regionally organized through an affiliation or hierarchy of chiefs. Chiefdoms are associated with intensive agriculture, militarism, and religious ideologies. chinampas agricultural plots created from layers of mud and vegetation in the shallow part of a lake. coercive power the ability to enforce judgments and commands using socially sanctioned violence. hegemony a powerful ideology that has become generally accepted by most groups in society as common sense. Hegemony emphasizes the norms and values that support the existing social order. ideology an organized set of ideas associated with a particular group or class in society. Ideologies are used to explain how various realms of nature and society work, including such realms as economics, politics, religion, kinship, gender, and sexuality. king hereditary ruler of a multiethnic empire based on a chiefdom. political economy study of the ways in which political and economic realms continually reinforce and sometimes contradict one another over time. social stratification the division of society into groups that are ranked according to wealth, power, or prestige. state societies large, stratified, multiethnic societies with highly centralized leadership, bureaucracies, systems of social control, and military forces exerting exclusive control over a defined territory.", "section": "Centralized Societies: Chiefdoms and States", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Modern Nation-States Learning Outcomes By the end of this section, you will be able to: Distinguish nation from state and describe how the two are linked in modern nation-states. Define the concept of imagined communities. Identify the importance of colonialism in shaping postcolonial nation-states. Describe the field of postcolonial studies. Explain the fragility of postcolonial states. Provide two examples of the consequences of globalization for national identities and politics. Before 1400 or so, the world was a variegated array of empires, kingdoms, and chiefdoms with their tributary societies, loosely linked by trade with acephalous societies at the peripheries. The contemporary globe is an economically integrated order fundamentally organized into nation-states. How did this happen? The nation-state is a hyphenated concept joining two entities, the state and the nation. As discussed earlier, the state is an institution exercising centralized rule over a territory. States have bureaucracies that make, interpret, and enforce law. States collect taxes and use them to build infrastructure and public works. States organize and regulate the economy. States maintain monopoly on the use of force through the military and the police. Because states tend to be militant and expansionist, they also tend to form multiethnic empires, dominated by one ruling group. Ancient empires did not attempt to absorb their tributary societies into one common ethnicity or peoplehood. Ancient states were defined by territory and bureaucracy alone, with no effort to achieve cultural uniformity. The nation is a much more idealistic and cultural notion. A nation is a sense of cultural belonging or “peoplehood.” A cousin of the word native , the term nation refers to the original inhabitants of a territory, those who were born there. Nations often claim a common language as a sign of group membership. Nations tell a common origin story about where they came from, and they ritually commemorate that story in a ritual calendar of feasts and holidays. Nations claim a common destiny, a special future or sacred duty assigned to them by God. And finally, nations promote certain social norms and values, evaluating individuals and groups according to those ideals. The concept of nation is close to the old-fashioned notion of culture as communal and unchanging. A nation-state is a state with a common culture, in some cases a dominant ethnicity. Political scientist Benedict Anderson (1983) argues that all modern states deliberately cultivate this sense of peoplehood for those living in the state. They draw from a large repertoire of methods to summon the loyalty of their citizens and reinforce the legitimacy of the state system. Through practices both within and beyond the government, state societies encourage their citizens to imagine themselves as part of a larger community of like-minded people in a harmonious society bound by a common history and common destiny. Government promotes national identity through practices such as elections, censuses, taxes, schools, and the dramas of law making, interpretation, and enforcement. Modern states rely on meaningful public rituals and symbols, such as flags, anthems, pledges of allegiance, national holidays, historical monuments, and national museums. Outside of government, the mass news media highlights the importance of the daily actions of the state, providing continual coverage that fixes the attention of citizens on the state as the central power in society. As a citizen of a nation-state, you will never know all of the members of your national community. Such communities are far too large to generate organic social groups based on face-to-face interaction. Without all of the practices and rituals listed above, you might not even consider yourself a member of the larger political community at all. Because of this, Benedict Anderson refers to nations as imagined communities . By imagined , Anderson is not arguing that such communities are simply imaginary or not real, but rather that national identity is a powerful sense of unity that is strategically constructed by the state and mass media. The nation-states of western Europe grew out of an assemblage of kingdoms and territories, some of them once incorporated into the Holy Roman Empire. From the 15th to the 19th century, the states of Europe slowly emerged, one by one, as the various European powers entered into peace agreements that established international borders and sovereignty over territories. In general, the wars and treaties of political elites meant very little to the common farmers and traders living in these territories. Among English commoners, for instance, their sense of community was not much affected by the continually changing map of territories that constituted the state of England. What did make a difference for European commoners was the development of the printing press around 1440. The printing press targeted a growing population of literate commoners. Driven by the capitalist profit motive, printers sought to reach the widest possible audience. Thus, they printed their books, pamphlets, and newspapers in local languages rather than in Latin, which was the pan-European language of elites and the Catholic Church. For each emerging nation-state, mass media helped standardize a diversity of dialects into one common language that could be used to spread common messages and carry out common practices such as schooling, law, political campaigns, and government bureaucracy. Depiction of the printing process using an early press. The printing press made available ideas and news to common people in their own language, helping to cement nation-state identities. (credit: Daniel Nikolaus Chodowiecki/Wikimedia Commons, Public Domain) Of course, the printing press did not singlehandedly create the modern nation-states of Europe. Around the same time that the press began churning out mass discourse, a rising class of capitalist merchants was gaining economic power, hoping to displace forms of political leadership associated with the church and the feudal monarchies. The felicitous coincidence of class motivation and printing technology combined to propel the development of European nation-states. For Max Weber, the nation-state is associated with the complete formalization of rational-bureaucratic power—that is, power concentrated in bureaucratic institutions with legal authorities. The legal and political systems of nation-state bureaucracies often purport to be based on rules and procedures rather than social status or identities. For instance, in the American system, the ability to vote is based on legal citizenship, not social class, gender, or ethnic identity. However, legal and political bureaucracies reserve the power to determine who is and who is not a citizen as well as procedures for voter registration and voting in elections. Through these procedures, certain categories of people can be barred or discouraged from voting, resulting in racial or ethnic bias. If people of color are less likely to have state-sponsored photo identification (such as a driver’s license), then laws requiring such ID to vote may constitute forms of racial discrimination. French philosopher Michel Foucault (1978, 2007) describes such power to define and control populations of citizens as biopower. A special form of power exercised in modern states, biopower includes ways of regulating the bodies of citizens, such as practices associated with birth, death, sexuality, wellness, illness, work, and leisure. The ability to count and categorize the inhabitants of a state is a form of biopower. The ability to confine people who have certain illnesses or bodily conditions or have engaged in certain behaviors is a form of biopower. When you walk through a body scanner in an airport security station, you are experiencing a form of biopower. While Weber focused on specific institutions in which power is concentrated, Foucault describes biopower as a diffuse form of social control, widely practiced by citizens both within and outside state bureaucracies. In American society, people routinely carry state-sponsored identification on their bodies (in a pocket or purse) wherever they go. The information on this identity card links to bureaucratic files associated with a person’s citizenship status, criminal history, voter registration, and many other data sets. Bureaucratic power is thereby melded to bodies of modern citizens. Colonial and Postcolonial States Outside of Europe, a similar array of kingdoms, chiefdoms, lineage orders, and village democracies patterned much of the rest of the world. Recall that ancient state societies had emerged at various times in Mesopotamia, Egypt, China, India, and Central and South America. Kingdoms were prevalent forms of centralized rule on most continents as well. All around these highly centralized societies were smaller chiefdoms and acephalous communities. The continent of Africa, for instance, featured large, centralized states and kingdoms such as Egypt in the north; Aksum, Zimbabwe, and Swahili in the east; Luba and Kongo in central Africa; and a multitude of kingdoms across West Africa, including the great trade-based empires of Ghana, Mali, and Songhai (Monroe 2013). As noted in the discussion of acephalous societies, communities outside of these great kingdoms and states were politically organized, with forms of leadership, decision-making, and dispute settlement that maintained social order. British historian Basil Davidson (1992) has argued that African societies such as the Asante and Zulu were proto-states , or states in formation, at the time of European colonization. Between 1400 and 1900—the time frame during which European nation-states were emerging—many African societies were undergoing similar developments as militant kingdoms consolidated large territories of empire. Based on intensive agriculture and extensive trade networks across the continent (and beyond), such highly centralized societies had state bureaucracies, multiethnic populations, systems of law, and monumental architecture. They also had dominant ideologies that emphasized the accumulation and appropriate distribution of wealth. In other words, many African societies were state societies well on their way to becoming modern nation-states. Precolonial states and empires in Africa. Note how different these are from the way Africa is divided into nations today. (credit: “African civilizations map pre-colonial,” by Jeff Israel/Wikimedia Commons, GNU Free Documentation License) Instead, colonialism happened. As we learned in Work, Life, Value: Economic Anthropology , the growth of industrial capitalism prompted the major European powers to seek access to raw materials and markets for their finished goods. Many set their sights on the mineral wealth and agricultural potential of Africa. European representatives met in Berlin in 1884–1885 to negotiate their territorial interests on the African continent. Laying out a map of the continent, they drew boundaries around the areas they hoped to control, though they knew very little about the land or peoples in much of those areas. They agreed that they could maintain exclusive claim on those areas only if they established government administrations to rule over the people who lived there. By the early 20th century, Europeans had established colonial government over nearly all societies in Africa, subordinating local African political systems under European rule. As the whole point of colonialism was to secure resources to fuel European colonies, the colonial states established by Europeans were authoritarian, militaristic, and extractive. They invaded African territories and slaughtered Africans who would not submit to European rule. They forced Africans to work on colonial projects such as mines and roads. They made Africans pay taxes to fund the colonial enterprise. And they designed and controlled African economies to channel profits to European merchants and manufacturers. Oddly, as European nation-states pulled away from direct control over their own economies, European colonial states exerted complete control over colonial economies. Moreover, as European nation-states became increasingly participatory and democratic, European colonial states were managed in ways that were repressive, authoritarian, and openly violent. Because of colonial rule, the two forces that contributed to the rise of the modern nation-state in Europe—a wealthy capitalist class and the printing press—were prevented from playing the same role in African societies. Africans were deliberately sidelined from the import-export trade and were not allowed to start factories, preventing a class of wealthy capitalists from developing under colonial rule. Instead, colonial rule established a two-tiered system of governance in the colonies consisting of a militant authoritarian state apparatus governing over local African political systems, including proto-states, chiefdoms, lineage orders, and a few scattered band societies. In places where there were chiefs, colonial officials used those chiefs to carry out colonial policies, often against the wishes and interests of the chiefs’ own people. In places where there were no chiefs, colonial authorities often forced Africans to pick one to perform those duties. In some colonies, African political institutions were banned altogether. Anthropologists working on political issues in previously colonized states (such as most African ones) often combine historical and contemporary research to understand the intersection of local and foreign influences that make up this complex picture. In one form or another, colonial processes shaped the development of political systems in Africa, the Middle East, South and Southeast Asia, the Caribbean, the Americas, and eastern Europe. The interdisciplinary field of postcolonial studies emerged in the 1970s, combining history, anthropology, political science, and area studies in an effort to understand the diversity, complexity, and legacy of colonialism throughout the world. “Fragile” States and “Failed” States: The Legacies of Colonialism The study of African politics provides an excellent example of the weaving of local culture and colonial history in the making of contemporary postcolonial societies. Journalists and political scientists frequently lament the political instability of African states and their susceptibility to popular unrest, ethnic conflicts, coups, and corrupt leadership. Some refer to African states as fragile states or failed states. A fragile state is a government that cannot adequately perform the essential functions of a state, such as maintaining law and order, building basic infrastructure such as roads and bridges, guaranteeing basic amenities such as electricity and clean water, and defending its citizens against violence. Such a state is fragile because it is susceptible to popular uprising, coups, civil war, and foreign invasion. A failed state is a state that can no longer perform any state functions at all . Many anthropologists are critical of this simplistic and ahistorical way of stigmatizing non-Western governments. Rather than viewing the world as a set of discrete states in isolation, anthropologists pay attention to historical processes of interaction among states that have shaped global patterns of inequality. Examining the notions of state fragility and state failure through a critical lens, anthropologist note how some states have become more powerful while others have struggled to meet the needs of their peoples. At various times over the past 30 years, many African states have qualified as fragile or failed, including Somalia, Liberia, Sierra Leone, Côte d’Ivoire, Mali, Zimbabwe, and the Democratic Republic of the Congo. Since 2005, the Fragile States Index has ranked all states in the United Nations according to a set of key political, economic, and social indicators. Among the top 50 “most fragile” states in the 2020 index, all but two have experienced some form of colonial rule, and 35 of the top 50 most fragile states are African states. For more information on fragile states see Fragile States Index . Why do so many African states face such deep-seated problems? How did colonialism contribute to the current fragility of postcolonial states? As an example, take the postcolonial West African state of Ghana. What can an anthropological approach tell us about contemporary politics in Ghana? Most African countries won independence in the middle of the 20th century. Once free from colonial domination, new classes of African political elites won control over the colonial apparatus of the state, including its colonial institutions and boundaries and its bureaucratic rule over African chiefdoms and acephalous societies. In other words, at independence, the structure of the state as it had existed under colonialism remained essentially unchanged. The new leaders of these African states faced the near-impossible challenge of politically and economically restructuring their states while holding together the diverse groups existing within colonial boundaries, groups frequently pitted against one another under colonial rule. As an additional stress, finances were limited and unpredictable. Leaders such as Kwame Nkrumah, the first prime minister and, later, the first president of Ghana, sought to reform the state to make it serve the interests of Africans. He started schools and hospitals and built roads, bridges, and dams in an effort to do all the things a state should do to command the loyalty of its citizens. He used symbols of chiefdom to promote his own political power, even though he was not a chief or even from a royal lineage. His administration reduced the regional power of chiefs in an effort to enhance the centralized power of the state. Nkrumah was wildly popular at first, but over time, economic and regional factors challenged his rule. Some cocoa farmers felt they were being exploited to fund grand projects benefiting urban elites. Facing widespread criticism, Nkrumah became increasingly autocratic, throwing political opponents in prison. Dr. Kwame Nkrumah, the first prime minister and later the first president of Ghana, is shown on the right in traditional kente cloth clothing. On the left, he is seated (center in the front row) with the Gold Coast Cabinet. Nkrumah’s leadership was characterized by successful reform efforts at first, but he eventually developed autocratic tendencies and was overthrown by a military coup. (credit: (L) “CO 1069-43-65” by The National Archives UK/flickr, Public Domain; (R) “f9577” by Tullio Saba/flickr) In 1966, nine years after declaring Ghanaian independence from the British, Kwame Nkrumah was overthrown by a military coup that accused him of corruption and political repression. Over the next 15 years, Ghana endured four more military coups and two (brief) elected governments, an exceptionally long string of political instability. Each military coup justified its takeover by claiming the previous regime had been massively corrupt—and each one eventually became the target of the same accusations of corruption. Political instability, popular unrest, military coups, corruption—a similar narrative describes the political development of many other African states. The commonality of political crisis in Africa has prompted many journalists and policy experts to wonder what is wrong with African states. What is the underlying problem? Postcolonial studies suggest that we must think both culturally and historically to understand how postcolonial societies function. Postcolonial states are very often fragile states not because they are doing something wrong but largely because of the legacies of colonialism. In many African societies, colonialism tainted precolonial political systems while also constructing a repressive, authoritarian state. Recall our earlier discussion of checks and balances in the system of chieftaincy practiced by the Akans. Akan chiefs were expected to act in the interests of their people or else face the consequences. If a community became unhappy with their chief, the asafo could eventually depose the chief by force. Though asafo had many civic duties, the term itself literally means “war people,” referring to their role in defense and in deposing bad chiefs. British colonial rule put Akan chiefs in a contradictory position. Forced to act as agents of colonial rule, chiefs were ordered to collect colonial taxes, supply teams of forced labor, and enforce unpopular colonial laws. At the same time, chiefs were presented with new economic opportunities in the colonial system—such as selling off land and pocketing the money—that further undermined their commitment to the welfare of their own people. As their positions became increasingly conflicted, some chiefs succumbed to the temptations of embezzlement, extortion, and authoritarianism. Fed up with these corrupt chiefs, many asafo groups took action. In the 1920s, a spate of asafo uprisings deposed unpopular chiefs throughout the southern part of the colony. Fearing the consequences of African popular protest, British colonial officials quickly suppressed the asafo uprisings and forbid the asafo from any further action against their chiefs. So, to be clear, British colonialism corrupted the institution of African chieftaincy and then forbade the exercise of African protest against that corruption. Now jump ahead to that long period of political instability in Ghana in the latter half of the 20th century. Ghanaian anthropologist Maxwell Owusu (1989) argues that this colonial history of corruption and protest has shaped postcolonial politics in Ghana. Just as the pressures of colonialism undermined and tainted the Akan chieftaincy, the near-impossible mission of the postcolonial state undermined and tainted the Ghanaian presidency. Just as asafo groups were motivated by allegations of corruption to rise up and depose their chiefs, the Ghanaian military rose up time and time again to depose Ghanaian leaders accused of corruption. Nation-States and Globalization In the latter part of the 20th century, increasing global flows of trade, people, technologies, communication, and ideas all coalesced in a strong but uneven wave of globalization rippling across the globe. To be clear, the world has always been integrated by such flows, but advanced technologies combined with the profit drive of corporate capitalism forced a sudden acceleration of these processes roughly from the late 1970s into the 2000s. As people, objects, and messages began to travel across national boundaries with increasing frequency and speed, many scholars argued that nation-states would lose their relevance as structures of economic and political order for their populations. Some scholars thought that globalization would result in the erasure of cultural and national differences, replacing global diversity with a uniform culture based on American corporate capitalism and consumerism. Would globalization result in the “McDonaldization” of the world? As global researchers with a powerful toolkit of cross-cultural methods, anthropologists were uniquely poised to address this question. In short, the answer was an emphatic “No!” Rather than diminishing the importance of local structures and identities, globalization has transformed and enhanced them. Consider the increasing popularity of global travel. Why would anyone go anywhere if things were the same wherever you went? Many nation-states invest heavily in their distinctive cultures, monuments, and environmental features in order to attract global travelers keen to experience something new and different. Consider another strong force of globalization , the increasing tendency for large corporate manufacturers based in the United States to relocate their factories to poorer countries where labor is cheaper and environmental regulation may be weaker. Initially, this technique undermined the power of nation-states and local communities to challenge corporate practices. Over time, however, the resulting loss of well-paid working-class jobs in the United States has generated a great deal of political controversy. This loss of working-class jobs has resulted in rising levels of inequality in American society. Some politicians call for the American government to create incentives and regulations to keep American jobs within American borders. Ironically, then, globalization may provoke citizens to enhance the power of their nation-states. In poorer countries, globalization has resulted in increased environmental damage as globalized industries take advantage of looser regulations. Industrial pollution and the dumping of hazardous waste by global corporations pose serious threats to the health of local communities in many non-Western countries. Responding to these threats, local peoples turn to their governments to enact environmental protections. Moreover, the forces of globalization have created a strong network of transnational resistance to environmentally destructive practices with organizations such as the Global Alliance on Health and Pollution (GAHP) and the United Nations Environment Program (UNEP). In the wake of Benedict Anderson ’s (1983) formulation of nation-states as imagined communities, many anthropologists have considered how globalization creates transnational forms of imagined community alongside the nation. Cultural anthropologist Arjun Appadurai (1996) argues that globalization freed popular imagination from the constraints of the nation, creating multiple realms of imagined community cross-cutting national borders. Appadurai postulates five dimensions of global flows, constructing realms of activity and imagination: ethnicity, technology, finance, media, and ideology. The global environmental movement, for instance, constitutes a transnational imagined community based on ideas of environmental sustainability. Through media and communication technologies, people all over the world join in the discussions and activities of this imagined community. Appadurai has also pointed to the darker consequences of globalization for national and transnational politics. While globalization might seem to be associated with free flows and flexibility, the forces of transnationalism have also resulted in a proliferation of forms of political violence, especially violence against ethnic, racial, and religious minority groups (2006). With increasing global flows, many communities are subject to increased cultural mixing and pressures for change. With rising immigration, for instance, national communities may be forced to reformulate notions of common language, practices, and values. While some citizens of a national community may embrace a more cosmopolitan and multicultural identity, others may experience a sense of insecurity and threat to their way of life. This insecurity is particularly keen among those working-class and poor groups that suffer from the increased inequality brought about by globalization. Appadurai describes how cultural and economic insecurity can provoke majority ethnic and racial groups to acts of violence against minority groups in their national communities. Seeking an elusive and imaginary national “purity,” dominant groups seek to reassert their power over political, economic, and cultural institutions. Anti-immigrant politics in the United States and anti-American politics in some non-Western countries are both dangerous and sometimes violent responses to the common forces of globalization. Laura Nader 1930- Laura Nader (right) engaged in conversation. (credit: “Moët Hennessy • Financial Times Club Dinner” by Financial Times/flickr, CC BY 2.0) “What was proven in the last election is that the United States is not an electoral democracy, by which I mean the two parties’ stranglehold on power has made it impossible for other voices to be heard.” —Laura Nader (in Nkrumah 2005) Personal History: Born and raised in Winsted, Connecticut, Laura Nader grew up in a family with strong commitments to community and public service. Her mother, Rose, was a politically minded schoolteacher who frequently wrote letters to the editor of the local newspaper. Her father, Nathra, owned a restaurant where local people met to talk about community and political issues. Laura’s parents challenged her and her siblings to debate political issues and develop their own opinions. Area of Anthropology: Nader earned a BA in Latin American studies from Wells College (Aurora, New York) and then went on to study anthropology at Harvard, earning a PhD from Radcliffe College in 1961. Nader’s areas of interest include politics and law, in particular how the legal-political system operates as a form of social control. Accomplishments in the Field: For her dissertation, Nader studied local courts in the Zapotec village of Talea in southwestern Mexico (1990). She discovered that the legal system in Talea was shaped by a strong emphasis on harmony rather than conviction and punishment. When conflicts arose, the courts brought people together face to face to engage in discussions aimed at reaching reconciliation and balanced solutions. Rather than focusing on blame and criminality, the legal process sought to restore community solidarity and consensus in the wake of the rift. Nader traced this “harmony ideology” to the context of colonial conquest by the Spanish, showing how missionaries and colonial administrators emphasized the moral value of harmony in order to dominate and pacify Indigenous peoples. She argued that local peoples in villages such as Talea have appropriated harmony ideology to their own ends, adopting methods of conflict resolution in order to prevent outside authorities from interfering in their affairs. Bringing the lessons of her research back home to the American legal system, Nader argued that harmony ideology operates as a strong force against Americans seeking justice against large corporations. Though the American system is focused much more on blame and conviction, large corporations are able to evade the consequences of wrongful actions by using sophisticated legal procedures and forcing monetary settlements. Many such settlements include stipulations preventing people from publicly talking about the controversy, essentially purchasing the silence of complainants. Though governed by harmony ideology, the goal of such legal processes is not the restoration of good relations among community members but rather the forcing of capitulation and silence on complainants. Nader’s comparative work on the law in Talea and the United States is vividly portrayed in the ethnographic film Little Injustices (1981). Importance of Their Work: In 1960, Nader was the first woman hired for a tenure-track anthropology position at the University of California, Berkeley. From 1984 to 2010, she taught an innovative and popular course called Controlling Processes, exploring dominant ideologies and techniques of power in complex industrialized societies such as the United States (the author of this chapter took this course at Berkeley in 1990). Nader’s own research identifies controlling processes that shape law and justice in many societies, exploring how citizens participate and challenge these hegemonic legal processes. Throughout her career, she has worked to make legal anthropology a force for justice reaching beyond the scholarly arena into public life. She has been a visiting professor in law schools at Yale, Stanford, and Harvard. colonial states state governments imposed by foreigners to rule over local peoples. failed state a state that cannot perform any of the essential functions of a state. fragile state a state government that cannot adequately perform the essential functions of a state, such as maintaining law and order, building basic infrastructure, guaranteeing basic amenities, and defending its citizens against violence. imagined communities citizens of a nation-state joined together by rituals and practices that give them a collective, imagined sense of community. nation a sense of cultural belonging or peoplehood based on a common language, common origin story, common destiny, and common norms and values. National identities are actively constructed by states. nation-state a political institution joining the apparatus of the state with the notion of cultural belonging or peoplehood. postcolonial studies an interdisciplinary field that combines history, anthropology, political science, and area studies in an effort to understand the diversity, complexity, and legacy of colonialism throughout the world. proto-states societies that exhibit some but not all of the features of state societies.", "section": "Modern Nation-States", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Resistance, Revolution, and Social Movements Learning Outcomes By the end of this section, you will be able to: Define the concept of social movement. Distinguish between political parties and social movements. Identify the goals of the Arab Spring. Describe how democratic institutions may fail to represent majority and minority groups. Give an example of how anthropologists study social movements. Explain how Indigenous groups have formed social movements to protect Native lands and cultures. Politics includes all activities associated with governing a society. Thus far, we’ve focused on the institutions and practices of government. But politics happens both inside and outside the realm of government. In fact, what happens outside of government may be even more important to understanding how a society is ruled. Outside of government, people respond to social and political conditions with commentary, critique, and social action. They form groups to express their views and demand social change. These groups are called social movements . Arab Spring protest in Tunisia. This widespread social movement spread throughout the Arab world in the early 2010s, voicing popular demands for greater participation in government and a more equitable distribution of wealth. (credit: “Tunisian Revolution -Jan20 DSC_5305” by Chris Belsten/flickr, CC BY 2.0) In the early 2010s, a series of protests spread across the Arab world from Tunisia to Libya, Egypt, Yemen, Syria, Iraq, and many other countries (Blakemore 2019). Through marches, demonstrations, and armed rebellions, people called for an end to oppressive governments and poor living conditions in their countries. Fueled by the expansion of social media, this large and diverse pro-democracy social movement came to be called the Arab Spring . At the heart of the movement were demands for more participation in government (a political demand) and a more equitable distribution of wealth (an economic demand). There are many different kinds of social movements. Some social movements express resistance to current social conditions. When groups gather to protest the outcome of an election or the passing of a law, they show their disagreement with government actions without necessarily suggesting specific action or redress. Other social movements campaign for specific reforms . In response to police shootings, for instance, protesters might call for changes in the training and routine practices of police in their communities. More ambitious still are social movements calling for revolution. A revolution occurs when a social movement successfully changes the structure of the political system—whether through peaceful actions or violence. Many social movements are rooted in political economy; that is, they work to change political and economic conditions and the relationship between those two realms. In democratic societies, political parties are social movements that have transformed into formalized political institutions. Political parties play a routine, conventional role in democratic societies. For instance, in American society, the Democratic Party consistently argues that the government should play a role in organizing and regulating the economy, while the Republican Party consistently argues that government should avoid economic interference. Political parties are fully integrated into the political system of democratic societies, structuring elections, lawmaking, government policy, and even the judicial process. Political parties may fail to represent the views of some groups—or even majority opinion. In the U.S. Congress, the views of a very wealthy minority of Americans exert a strong influence over the laws that are passed. Political scientist Martin Gilens (2012) conducted public opinion research among groups of poor, middle-class, and wealthy Americans and then compared the views of these three groups to the policy actions of government. Gilens found that when poor people and rich people disagree on an issue, government policy nearly always supports the views of the wealthy. This effect is largely due to the role of money in American politics, with the wealthy actively seeking to influence government policy through lobbying and campaign contributions. So what can people do when the formal mechanisms of democracy fail to represent their views? The vast majority of social movements are less like political parties and more like the Arab Spring; that is, most social movements are informal groups engaging in activities outside of the formal realm of political activity. Social movements often originate in a particular incident or string of incidents, such as mass shootings, sexual assaults, police violence, or environmental disasters. When people feel that the truth of such incidents is hidden, obscured, or misrepresented by government officials and media, they may find dramatic ways to publicize the truth and demand remediating action. French philosopher Michel Foucault (2001) used the term parrhesia to describe how people are morally inspired to engage in risky public speech in order to speak truth to power. In the wake of the global financial crisis of 2008–2009, many Americans became worried about the role of the financial sector in creating economic inequality and instability. In September 2011, a group of protesters met in Zuccotti Park in Manhattan to protest rising inequality and corporate influence over American politics. Over time, this movement, known as Occupy Wall Street , spread to cities throughout the United States and then the world, and members of the movement articulated a platform of sociopolitical goals that included a more balanced distribution of wealth, better jobs and working conditions, regulation of banks, bankruptcy protection for student loan debt, and a freeze on home foreclosures. Protesters set up a participatory community in the park, organizing a form of self-governance through working groups and democratic consensus. Some protesters camped on-site in tents, while others visited the park each day. In November 2011, police in riot gear forcibly removed protesters from Zuccotti Park, arresting some 200 people in a single day. In many countries, extractive industries such as mining and logging produce forms of environmental damage that threaten the health and livelihoods of local peoples. When governments fail to intervene, farmers often join with urban activists to form coalitions aimed at environmental reform. Anthropologist Fabiana Li (2015) has explored the emergence of protest against multinational mining corporations in Peru. In 2004, 10,000 peasants gathered to protest a mining operation that would have leveled the mountain of Cerro Quilish. While company officials viewed the mountain as an obstacle to the extraction of minerals, urban activists and peasant leaders described it in sentient and supernatural terms, as a sacred place of spirits. Li also studies the response of mining officials to popular demands for accountability. When local people protest against the degradation and pollution of their lands, corporations often respond with technical fixes that are presented as fair solutions. For instance, when blood tests revealed high levels of lead in children living near a Peruvian mining operation, the mining company responded with a program to bus those children to a distant kindergarten, thus reducing the number of hours of daily exposure to mining pollution. Many Indigenous peoples encompassed by contemporary nation-states engage in social movements to gain formal political recognition and to protect their lands and cultures. Work, Life, Value: Economic Anthropology discussed efforts by the Hadza , the Bedouin , and the Kayapo to protect their lifeways by forming coalitions with global allies and engaging in sustained public protest. As discussed in Chapter 6, Language and Communication, Indigenous groups such as the Wampanoag and the Maori have formed social movements around the revitalization of language and culture. In 2016, a group of Standing Rock Sioux and other Native Americans began campaigning to protect Native lands and cultures from the damaging effects of a proposed oil pipeline, the Dakota Access Pipeline. Running under waterways and across Native territories, the pipeline threatened the water supply of Native peoples as well as many sites, archaeological and otherwise, considered sacred by Native groups. Thousands of Native Americans and environmentalists gathered in multiple camps to protest the building of the pipeline over several months. Despite the protests, the Trump administration allowed the construction of the pipeline to begin in 2017. In January 2021, however, a US Appeals court vacated the Army Corps of Engineers’ construction permit and called for extensive environmental review of the project. A coalition of Native American groups protesting the Dakota Access Pipeline. Thousands of Native Americans, joined by environmentalists, spent months protesting the pipeline’s construction, many living in makeshift camps near the proposed construction site. (credit: “Rally against the Dakota Access Pipeline” by Fibonacci Blue/flickr, CC BY 2.0) As the examples above illustrate, most social movements combine protests against specific conditions with more general agendas involving justice, equality, democracy, and political economy. When the power of money overwhelms the formal political institutions of a democratic society, social movements provide an alternative means of political expression and potential influence. Summary All societies have ways of exercising authority, making decisions, and settling disputes. In the 1940s, anthropologists distinguished between those societies with informal means of accomplishing these functions and those with formal roles and systems for doing so. In acephalous societies such as bands and lineage orders, leadership is situational and temporary, and people make decisions using discussion and consensus. Leaders in such societies have persuasive power but no formal means of enforcing their will. In centralized societies such as chiefdoms and states, various forms of power are condensed in the formal hereditary role of the leader. As military leaders, chiefs and kings have coercive power to collect taxes and tribute, enforce their commands, settle conflicts, and wage war to enlarge their territories. As societies become more centralized, they also become more stratified, with social groups ranked according to wealth and power. With social stratification and centralized rule, systems of ideology and hegemony develop to support the social order. Modern nation-states combine the state apparatus with a strategically cultivated sense of peoplehood based on common culture. European colonialism imposed an authoritarian state form to rule over local forms of political organization such as chiefdoms and lineage orders, often malforming those original political forms. The structural and social problems of many postcolonial states are rooted in the destructive processes of colonialism. Outside of the formal realm of government, people seek to influence social and political conditions through social movements. Some social movements provide a means of expressing dissatisfaction, while others press for specific forms of social change or complete reorganization of the political order. Critical Thinking Questions Courtroom Observation Visit your local county courthouse to observe the legal process in action. Sketch a map of the courtroom, indicating various areas of activity. Note how the structure of the room shapes and guides the activities. What categories of persons (roles) are assigned/confined to certain areas? How does the organization of the room indicate the relationships of these categories of people to one another? What are the main roles in the court proceedings? What bodily postures and behaviors are associated with each role? What forms of voice? How is authority enacted? How do other participants respond to these forms of authority? Pay close attention to the proceedings. How might your knowledge of linguistic anthropology inform your understanding of the pronouncements and conversational exchanges in this setting? Do you see notions of race and ethnicity played out in the courtroom? Bibliography Anderson, Benedict. 1983. Imagined Communities: Reflections on the Origin and Spread of Nationalism . London: Verso. Appadurai, Arjun. 1996. Modernity at Large: Cultural Dimensions of Globalization . Minneapolis: University of Minnesota Press. Appadurai, Arjun. 2006. Fear of Small Numbers: An Essay on the Geography of Anger . Durham, NC: Duke University Press. Blakemore, Erin. 2019. “What Was the Arab Spring and How Did It Spread?” National Geographic , March 29, 2019. https://www.nationalgeographic.com/culture/article/arab-spring-cause. Brumfiel, E. M. 2001. “States and Civilizations, Archaeology Of.” In International Encyclopedia of the Social and Behavioral Sciences , edited by James D. Wright, 2nd ed., 371–375. https://dx.doi.org/10.1016/B978-0-08-097086-8.13012-0. Davidson, Basil. 1992. The Black Man’s Burden: Africa and the Curse of the Nation-State . New York: Times Books. Eagleton, Terry. 1991. Ideology: An Introduction . London: Verso. Earle, Timothy. 2011. “Chiefs, Chieftaincies, Chiefdoms, and Chiefly Confederacies: Power in the Evolution of Political Systems.” Social Evolution & History 10 (1): 27–54. Evans-Pritchard, E. E. 1940. The Nuer: A Description of the Modes of Livelihood and Political Institutions of a Nilotic People . Oxford: Clarendon Press. Flowers, Nancy M. 1994. “Shavante.” In South America , edited by Johannes Wilbert, 300–302. Vol. 7 of Encyclopedia of World Cultures , edited by David Levinson. New York: G. K. Hall. Fortes, Meyer, and E. E. Evans-Pritchard, eds. 1940. African Political Systems . London: Oxford University Press. Foucault, Michel. 1978. The History of Sexuality . Vol. 1, An Introduction , translated by Robert Hurley. New York: Pantheon Books. Foucault, Michel. 2001. Fearless Speech . Edited by Joseph Pearson. Los Angeles: Semiotext(e). Foucault, Michel. 2007. Security, Territory, Population: Lectures at the Collège de France, 1977–78 . Edited by Michel Senellart. Translated by Graham Burchell. New York: Palgrave Macmillan. Gilens, Martin. 2012. Affluence and Influence: Economic Inequality and Political Power in America . Princeton, NJ: Princeton University Press. Heim, Joe. 2016. “Showdown over Oil Pipeline Becomes a National Movement for Native Americans.” Washington Post , September 7, 2016. https://www.washingtonpost.com/national/showdown-over-oil-pipeline-becomes-a-national-movement-for-native-americans/2016/09/06/ea0cb042-7167-11e6-8533-6b0b0ded0253_story.html. Isichei, Elizabeth, comp. 1978. Igbo Worlds: An Anthology of Oral Histories and Historical Descriptions . Philadelphia: Institute for the Study of Human Issues. Junker, Laura L. 2015. “Chiefdoms, Archaeology Of.” In International Encyclopedia of the Social and Behavioral Sciences , edited by James D. Wright, 2nd ed., 376–382. https://dx.doi.org/10.1016/B978-0-08-097086-8.13025-9. “Laura Nader.” 2001. Gale Literature: Contemporary Authors , Gale Literature Resource Center. Updated April 23, 2001. https://link.gale.com/apps/doc/H1000071872/LitRC?u=mlin_oweb&sid=bookmark-LitRC&xid=784e09d7. Li, Fabiana. 2015. Unearthing Conflict: Corporate Mining, Activism, and Expertise in Peru . Durham, NC: Duke University Press. Marlowe, Frank W. 2010. The Hadza: Hunter-Gatherers of Tanzania . Berkeley: University of California Press. Maybury-Lewis, David. 1967. Akwe-Shavante Society . Oxford: Clarendon Press. Monroe, J. Cameron. 2013. “Power and Agency in Precolonial African States.” Annual Review of Anthropology 42:17–35. Nader, Laura. 1990. Harmony Ideology: Justice and Control in a Zapotec Mountain Village . Stanford, CA: Stanford University Press. Nkrumah, Gamal. 2005. “Laura Nader: Speaking Out.” Al-Ahram Weekly On-line , January 20–26, 2005. https://web.archive.org/web/20071011182529/http://weekly.ahram.org.eg/2005/726/profile.htm. Owusu, Maxwell. 1989. “Rebellion, Revolution, and Tradition: Reinterpreting Coups in Ghana.” Comparative Studies in Society and History 31 (2): 372–397. Peters-Golden, Holly. 2002. Culture Sketches: Case Studies in Anthropology . 3rd ed. Boston: McGraw-Hill. Pospisil, Leopold. (1963) 1972. Kapauku Papuan Economy . New Haven, CT: Human Relations Area Files Press. Richards, Audrey, and Adam Kuper, eds. 1971. Councils in Action . Cambridge Papers in Social Anthropology 6. Cambridge: Cambridge University Press. Service, Elman. 1962. Primitive Social Organization: An Evolutionary Perspective . New York: Random House. Weber, Max. 1946. “Politics as a Vocation.” In From Max Weber: Essays in Sociology , edited and translated by H. H. Gerth and C. Wright Mills, 77–128. New York: Oxford University Press. Arab Spring a series of protests that spread throughout the Arab world in the early 2010s, demanding an end to oppressive government and poor living conditions. parrhesia courageous public speech inspired by a moral desire to reveal the truth and demand social change. reform the call for systemic changes to address social problems. resistance the expression of disagreement or dissatisfaction with the social order; may be explicit or implicit. revolution the replacement of one social order with a different one, often to create enhanced justice, equality, stability, or freedom. social movement an organized set of actions by a group outside of government aiming at achieving social change.", "section": "Resistance, Revolution, and Social Movements", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction These images illustrate some examples of national and international movements against social inequalities. There have been movements in response to inequalities of race, class, and gender, among other characteristics. This chapter will discuss important concepts for the critical examination of inequalities. (credit: top left, “Million Women Rise 2019 - 04” by Garry Knight/flickr, Public Domain; top right, “March4Women 2018 - 08” by Garry Knight/flickr, Public Domain; bottom left, “Los Angeles March for Immigrant Rights” by Molly Adams/flickr, CC BY 2.0; bottom right, “Black Lives Matter Protest in South Minneapolis” by Fibonacci Blue/flickr, CC BY 2.0) As a student, have you ever experienced social inequalities, whether based around your race, gender, sexuality, class, or abilities? In this chapter you’ll see definitions and examples of the ways social inequalities affect individuals and societies. Over the history of anthropology, the ways we identify and define social inequalities has constantly evolved. The ways social inequalities are experienced has also evolved. This chapter will provide an overview of the important concepts and levels of social inequalities, and then an examination of the experiences of individuals within groups and societies. From this, you can develop a framework for understanding the inequality in your own communities.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Theories of Inequity and Inequality Learning Outcomes By the end of this section, you will be able to: Differentiate between systematic and systemic inequities. Discuss theories of social inequality and anthropology’s past of upholding social inequalities. Describe the connections between power, agency, and resistance. Social Stratification Division of labor , in and of itself, is not hierarchical, but when different values are assigned to different types of labor and some positions or people have power over others, this creates a hierarchy. A hierarchy is a type of social organization in which certain people or roles are given more power and prestige than others. As discussed in Economic Anthropology, there are various possible divisions of labor depending on a group’s mode of production . Many gatherer-hunter groups experience a social structure described as egalitarian , in which the diverse roles in a system of production are all given the same decision-making power and accorded the same respect among the group. In such societies, power is usually afforded by age grades, with the elders holding the most power. Conversely, when there are differences in status or power between various roles, social stratification results. Social stratification is the hierarchical organization of different groups of people, whether based on racial category, socioeconomic status, kinship, religion, birth order, or gender. In horticultural societies, this stratification can be linked to charismatic leaders or leaders whose power is culturally imbued at birth. State societies, and specifically market economies, are considered the most stratified, meaning they have the highest resource inequities. Whether in the Inca Empire of the 1300s or the contemporary United States, a complex system of social hierarchy and social inequality accompanies state-level societies. Levels of Inequality This graphic depicts various levels of social inequalities. Social inequalities are often seen as separate phenomena, but they are frequently interconnected, existing in many different interactions between people and institutions. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Although it is important to understand the ways in which societies control resource accumulation, it is also important to study the phenomena and experiences of inequality in one’s own culture. This section will examine how individuals experience different levels of social inequalities. In contemporary societies, experiences of social inequalities often have roots in systems of capitalism, colonialism, racism, and sexism, which all include a perceived superiority of one group over another. Interpersonal inequalities , which are power imbalances that are rooted in personal biases, occur every day, reifying and naturalizing inequalities that exist at institutional and systemic levels. Institutional inequalities stem from the policies and practices of organizations (educational institutions, government, companies) that perpetuate oppression. Institutional inequalities exist outside of the day-to-day interactions that people experience, are often unseen, and feel like the status quo. Structural inequalities exist at a level above personal interactions and institutions because they are based on the accumulated effects of institutional decisions across society and history. This type of inequality is pervasive, global, and especially difficult to disrupt. Structural inequalities can reaffirm individual biases, creating a self-reinforcing cycle. Finally, systemic inequalities are the confluence of interpersonal, institutional, and structural inequalities; these are often portrayed by “isms” such as racism, classism, and sexism. Inequality refers to the unequal distribution of resources. Most people learn about inequality at a young age when they are exposed to people from different socioeconomic classes in places such as schools, places of worship, or social organizations. They recognize that some people have more resources at their disposal, whether through inborn talents or social connections. Such people may wear more expensive clothing, drive more expensive cars, and even have more opportunities than others. Social inequalities are based on individual people’s backgrounds and how their opportunities in life have been affected by racism, sexism, classism, and other forms of oppression . In this context, oppression is defined as unjust exercises of power that may be overt or covert and are often used to control or inflict harm on entire groups of people. Inequity , on the other hand, refers to the unequal distribution of resources due to an unjust power imbalance. It is a type of inequality caused by this unequal distribution, often as a result of injustices against historically excluded groups of people. In the United States, inequity is seen today in areas such as the banking industry, access to voting, and the housing market, where minority groups continue to face challenges related to fairness and equitable distribution of resources. Social inequalities lead to inequity when the groups in charge of distribution allocate resources in ways that further oppress marginalized groups. This visual representation shows the difference between equality, or providing the same resources to everyone even when needs differ, and equity, or providing resources according to people’s needs. In a truly just society (the third panel), all individuals can be treated equally with no additional accommodations. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) You may have seen images on social media trying to explain the difference between inequality and inequity—or, on the flip side, equality and equity. One problem with such images, as Sarah Willen, Colleen Walsh, and Abigail Fisher Williamson (2021) point out, is that because they depict individuals, audiences may interpret these images as calling for localized or individual solutions rather than systemic changes. Oppression and inequity most often are not interpersonal but exist on a structural level of economics, politics, and socialization that normalizes their presence. In order to understand the differences between inequality and inequity, systematic oppression and systemic oppression, it is important to know that the word system has two different definitions. A system can refer to a formula for methodically attaining a goal, such as a system someone creates to study vocabulary before a foreign language exam. The term systematic oppression derives from this meaning; it is the intentional mistreatment of certain groups. On the other hand, the term system can also mean a combination of parts to form a complex whole, such as the organs in an organism. This definition is the root of the term systemic oppression , which describes how political, economic, and social inequalities are normalized and perpetuated. Many scholars have determined that systemic oppression is permanently ingrained in US laws, government, and society, with the result that it is both unseen and subconsciously upheld daily. When discussing inequality and inequity, it is also important to understand power , which, in its simplest sense, is the ability to exert control, authority, or influence over others. Individuals with more power have more agency , or capability to act and make decisions. Agency should not be confused with free will because an individual’s agency is often heavily shaped by social characteristics such as race, gender, and class. Along with social inequalities, this chapter will discuss power, agency, and how the two are conceptualized by anthropologists through various perspectives and theoretical frameworks. Classic Theories of Social Inequality The remainder of this chapter will examine social inequalities in detail. It will cover racism, classism, and sexism along with some common paradigms and theoretical frameworks that explain systems of inequality and power. According to philosopher Thomas Kuhn, paradigms are worldviews that often define a scientific discipline during a specific time period. In The Structure of Scientific Revolutions (1962), Kuhn argues that paradigms can shift when a dominant paradigm cannot explain newly discovered phenomena under which normal science operates. Each of the theories that follow was based on a paradigm shift in the social sciences of its time period. The frameworks that anthropologists use to understand power imbalances have been built on the critiques of many of the initial anthropological explanations for power imbalances and social inequalities. Social Darwinism and Unilinear Cultural Evolution Social Darwinism played an important role in the colonialist attitudes of the 19th and 20th centuries. Charles Darwin ’s theory of evolution, discussed in detail in Biological Evolution and Early Human Evidence , speaks of how traits beneficial to the procreation of a species are passed down, creating changes over time that lead to the evolution of species on Earth. In his Principles of Biology (1864–1867), social scientist Herbert Spencer applies the principles of evolution to human societies, combining his concept of the “survival of the fittest” with French naturalist Jean-Baptiste Lamarck’s views that acquired characteristics can be passed down. Spencer argues that characteristics such as a tendency to work hard and achieve success are passed down from generation to generation, as are traits such as weaknesses and laziness, thus attributing ongoing social inequalities to biological differences. Social Darwinists of the 19th and 20th centuries utilized Spencer’s survival theory (under Darwin’s name) to argue that competition for resources meant that “weak” human individuals should die out so that “stronger” traits could be passed down to the next generation. Social Darwinists claimed that any group that conquered another was better fit to survive and that those who were conquered would benefit from the civilizing influence of more powerful nations. Although popular among certain social scientists, social Darwinism was not a term often used in anthropology. Anthropologists instead turned to the theory of unilinear cultural evolution (UCE) , made famous by anthropologists E. B. Tylor and Lewis H. Morgan in the 19th century. UCE, which was based on comparing and contrasting different cultures, theorized that societies progressed in a linear fashion, from the lowest level of savagery through barbarism to civilization . Social Darwinism and UCE upheld social inequalities because these theories argued that the defining features of civilization were social hierarchy and inequality. They were the basis for White Europeans’ claims that their culture held more power, had more value, and allowed them to exert military power over lands that were not their own. Functionalism Functionalism is a theory attributed to French sociologist Emile Durkheim in the early 20th century. In anthropology, the best-known of the functionalists are Bronislaw Malinowski and A. R. Radcliffe Brown , who examined the purpose that certain cultural characteristics serve in the order of society. For functionalists, egalitarian societies have certain rituals or beliefs that maintain equality, while in stratified societies, the hierarchy of roles maintains order when conflict arises. The function of social stratification, then, is to give power to those who are most equipped to lead, or to motivate those with talents to achieve positions of power and create wealth for the larger society. A functionalist view understands social inequalities as a reflection of people’s varying levels of benefit to the group. Later theorists criticized functionalism for its use of research that was ahistorical , meaning that it did not acknowledge the specific historical experiences of a group and thus attempted to understand societies without taking into consideration their connections to other cultures. For instance, functionalists largely ignored the impacts of colonialism on small, seemingly isolated populations, arguing instead that social stratification—and, consequently, global political inequalities—was an unyielding and inevitable part of the process of becoming a “complex society.” Conflict Theory Conflict theory , created by the late 19th-century political philosopher Karl Marx , offers a more pessimistic view. Marx argued that hierarchy is not a means of keeping society balanced but rather the main source of conflict among humans. He and Friedrich Engels originally conceptualized two classes of capitalism in terms of ownership. The bourgeoisie , descended from powerful families, were the owners of the means of production, while the proletariat were those who sold their labor and lived off a wage. The powerless majority, the proletariat, were far removed from the decision makers and power holders, who had separated the proletariat from their own skills through industrialization and mechanization. In this view, the conflict between those with wealth and the means of production and those without is the basis of all social conflict. As more social scientists grappled with differences in class and wage, they began to critique conflict theory more. W. E. B. Du Bois ([1940] 1984), an American sociologist working in the early 20th century, added wage and race theories to the classic examination of class conflict. He questioned whether there was a relationship between one’s knowledge in a trade and one’s wages and subsequently concluded that the worth of labor was determined solely by capitalists (the bourgeoisie). Du Bois further observed that class distinctions were forming among Black groups in Philadelphia, mostly unnoticed by White people, who continued to generalize them as one monolithic group. His critique was that conflict theory did not take race into account as both an area wherein class differences occur and another area that can cause conflict (and detract from issues of class and wage). Du Bois’s pioneering ethnographic studies at the turn of the 20th century were among the earliest scientific research on Black Americans’ lived experience of race and racism in the United States. His influence on and relationship with anthropologist Franz Boas were significant factors in Boas’s own disavowal of race as a determinant of the value and worth of diverse cultures. Du Bois’s work remains relevant in the present day as anthropology continues to address its own historical roots in colonialism. W. E. B. Du Bois’s pioneering ethnographic research was among the earliest scientific studies of race and racism in the United States. (credit: “W. E. B. (William Edward Burghardt) Du Bois, 1868–1963” by Cornelius Marion Battey/Library of Congress, Prints & Photographs Division, Public Domain) Critical Race Theory Critical race theory (CRT) , developed by legal scholars in the 1980s, asserts that much of the inequity experienced by oppressed people in the United States can be understood through the critical lens of race. CRT states that racism is endemic, or regularly found in the laws, policies, and institutions of the United States. Thus, people who are socialized in American institutions often do not see the ways in which racism plays out in their daily lives. Notions of color blindness and meritocracy uphold the idea that racism either does not exist or is actually related to class, socioeconomics, or other factors. Color blindness is the idea that people “don’t see color,” meaning that they are unaware of the ways in which someone may experience the world because of the color of their skin. A meritocracy is a system in which people succeed entirely through their own hard work; thus, someone who believes in the notion of meritocracy overlooks any structural or racial inequities that may keep individuals from accessing the resources necessary for success (Delgado and Stefancic 2013). In the United States, these two concepts are often used together to blame poor (especially poor Black) individuals and families for their own misfortunes instead of looking to structural causes of poverty and income inequality. The term welfare queen is often used by politicians and the media to refer to a specific (Black or minority) demographic, even though statistically, White women are the most common recipients of government benefits. One way to challenge everyday endemic racism is to utilize counter-storytelling . These stories counteract the socialized assumptions that keep people of color marginalized. For instance, counter-stories are important in challenging the power of stereotypes such as the “welfare queen.” Critical race theory has become a hotly debated topic among politicians in the United States. CRT is often misunderstood by critics, who see it as a one-sided examination of (particularly American) history and society because CRT examines society through the lens of power and oppression. It often focuses on which groups benefit from cultural changes, including such things as civil rights legislation, essential to a democracy’s guarantee of equal opportunity and protection under the law. In anthropology, CRT is an important tool for examining both modern institutions and the experiences of individuals in the United States, especially in regard to social inequalities. As just one example, CRT can shed light on the decisions made by those in power when redrawing the boundaries of voting districts. These decisions are often made with the goal of cementing a majority for a particular political party while diluting the voting power of citizens who don’t typically belong that party, a practice known as gerrymandering . It is important for social scientists to consider the potential role of race and racism in making these decisions. If race and/or racism were found to be a factor, then these political decisions would be considered an example of systemic oppression . Power More contemporary frameworks of social inequalities include an understanding of power. This section dives into the concepts and frameworks used in studying power. To recap, power is the ability to exert control, authority, or influence over others; agency , which comes from power, is the capability to act and make decisions. Power can be conceptualized as both subtle and coercive; in some contexts, it’s obvious who has power and how it’s utilized, but in other contexts, there are power imbalances that are allowed in everyday life. The point of this section is to contemplate why people allow certain power imbalances to exist while challenging others. Often, people allow power imbalances that they benefit from and resist imbalances that they do not benefit from. To better understand this, it is useful to discuss various concepts related to power, including hegemony , the state apparatus , biopolitics , and necropolitics . Hegemony Antonio Gramsci , famous for his writings on philosophy, political theory, sociology, linguistics, and history, came up with the concept of hegemony while imprisoned by the Fascist Italian government. A founding member of the Communist Party of Italy, he was arrested by Benito Mussolini’s Fascist regime for provoking class hatred and civil war and was sentenced to 20 years of imprisonment. In The Prison Notebooks , composed of 33 notebooks written during his imprisonment, Gramsci writes about power using the notion of hegemony. Hegemony describes how people with power keep their power through the subtle dissemination of certain values and beliefs. Hegemony relies on the maintenance of a “groups’’ authority and various mechanisms through which those in marginalized groups accept the leadership of another group’s authority. These mechanisms include cultural institutions such as education, religion, family, and common practices of everyday life. When a paradigm is so dominant that no one questions it, it becomes hegemonic. For instance, the idea that the United States is a democracy, even though many Americans are disenfranchised from voting and several presidential candidates have won the popular vote but lost the election, could be considered a hegemonic paradigm. The State Apparatus French Marxist philosopher Louis Pierre Althusser is known for his writings about ideologies of exploitation. Asking how those who are exploited continue to remain exploited, Althusser developed the concept of the state apparatus . The state apparatus consists of two intertwined but distinct sets of institutions, the repressive state apparatus and the ideological state apparatus, which function together to maintain state order and control. Repressive state apparatuses include institutions through which the ruling class enforces its control, such as the government, administrators, the army, the police, the courts, and prisons. These institutions are repressive because they function by violence or force. Althusser argues that the state also consists of ideological state apparatuses , which include distinct and specialized institutions such as religious institutions, public and private education systems, legal systems, political parties, communication systems (radio, newspapers, television), family, and culture (literature, arts, and sports). Ideological state apparatuses, although they include different institutions that are dominated by ruling class ideologies, are also sites where the ideologies of exploited classes can grow. Therefore, ideological state apparatuses can be places of class struggle and social change. Biopolitics French philosopher Michel Foucault conceptualized power through biopolitics , which refers to the ways populations are divided and categorized as a means of control, often by the state. This categorization and division—in terms of race, religion, or citizenship status, for instance—seeks to further marginalize certain groups and increase the power of the state. Biopolitics can be understood as the use of power to control a population through surveillance, which Foucault refers to as biopower in his book The History of Sexuality ([1978] 1990). An example of biopower in action is government control of immigrants, especially undocumented migrants. In his ethnography Pathogenic Policing: Immigration Enforcement and Health in the US South (2019), medical and legal anthropologist Nolan Kline describes immigrant policing as a form of biopower that attempts to control and govern immigrants through tactics based on fear, making undocumented immigrants fearful as they go about the normal activities of their daily lives, with many afraid to even seek health services when necessary. Necropolitics Cameroonian philosopher and political theorist Joseph-Achille Mbembe , known as Achille Mbembe, writes about power through the idea of necropolitics (the power of death). Necropolitics , an extension of Foucault’s biopolitics, explores the government’s power to decide how certain categories of people live and whose deaths are more acceptable. Mbembe describes this as a power to decide “who matters and who does not, who is disposable and who is not” (2003, 27). The power to determine a life’s worth resides within both political systems and the decisions that policy makers are tasked with. It has, quite literally, life-or-death consequences, from who has access to life-saving medical technology to who is most policed and most likely to end up in jail. The Black Lives Matter social justice movement is a response to an understanding that modern necropolitics in the United States treats Black people as disposable. The Black Lives Matter movement has grown beyond the United States in response to other nations’ state policies that are seen as treating people of color as not worthy of protection or care. Agency Agency, or the ability to act and make decisions, has become an important concept in anthropology because it helps make sense of how powerful institutions interact with individuals. With the theory of agency and structuration, British sociologist Anthony Giddens paved the way for the growth of theories on how humans interact with systems. Systems are the powerful, overarching beliefs through which the world is organized, which influence the ways in which individuals interact with their world. Although they most often go unnoticed and unquestioned, systems influence the decisions humans make. In terms of social inequality, in systems with unequal access to resources, the ability to decide or the options that one can choose between differ depending on diverse variables. The more power people have, the more choices they may be presented with, and the more they can mold and shape the systems in which they live through their decisions. French sociologist Pierre Bourdieu attempted to explain how societal structures are upheld and changed by processes generated by individuals. The idea of habitus , or the ingrained habits and dispositions that are socialized into people from birth depending on their status in society, is used to explain how individuals uphold cultural systems such as capitalism, class, racism, or patriarchal values. Habitus is understood both to imbue people with certain skill sets and perspectives according to their life experiences and to make possible social change because it understands systems as generative instead of static. For instance, the modern capitalist system has not always existed as know it is today. Many smaller decisions, practices, and consequences have formed and reformed capitalism, reflecting diverse interests over time. Resistance In their attempts to better understand power and agency, Marxist and feminist anthropologists in the 1980s and 1990s wrote a number of ethnographies about the relationship between resistance and the systems that create social inequalities and oppression. Resistance , at the basic level, refers to the act of challenging power and domination. Power is nearly always resisted in both overt and subtle ways, but the difference is often reflected in how much agency individuals have in resisting systems of domination and oppression. This section uses the example of Palestine to explore ways in which Palestinians are resisting power. The creation of the state of Israel in 1948 dispossessed the Palestinians who were indigenous to the land. Between 400 and 600 Palestinian villages were destroyed, and between 700,000 and 750,000 Palestinians were exiled from the portion of Palestine that became Israel. Zionist colonization and the erasure of Palestinian land and people (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) While Israelis celebrate achieving independence in 1948, Palestinians refer to this period of displacement of hundreds of thousands from their homes as the Nakba , which translates from Arabic as “disaster” or “catastrophe.” The Nakba is ongoing in the Occupied Palestinian Territory (OPT) , which includes the West Bank , East Jerusalem , and Gaza , where the occupation by Israel is illegal according to international laws. The Nakba is also ongoing for members of the Palestinian diaspora (the dispersion of a people from their original home) around the world who do not have the right to return. Palestinians living in the West Bank and East Jerusalem live under a system of checkpoints, military occupation, and segregation from Jewish settlers. Palestinians in Gaza are living in an open-air prison with extremely limited access to clean water, inconsistent electricity, and no freedom of movement (Erakat and Azzeh 2016). Despite this level of oppression, Palestinians in different parts of the OPT and the Palestinian diaspora still have agency, and they use this agency in different ways to resist Israeli oppression and the devaluation of the Palestinian experience. While political and social movements are critically important for combating injustice and oppression, there are also Palestinians and Israelis working together to create cultural bridges between the communities. One example of this is the West-Eastern Divan Orchestra . Founded in 1999 by pianist and conductor Daniel Barenboim , who was born in Argentina and moved to Israel as a child, and Palestinian scholar and activist Edward Said , the West-Eastern Divan Orchestra is a group of Israeli, Arab, and Palestinian musicians who work to promote equality and understanding across sociopolitical divides. The orchestra travels and performs internationally as an “orchestra against ignorance,” founded on the idea that when musicians come together to create music, they must work in harmony and respect each other. Not only intended to forge strong bonds among the musicians, the orchestra also serves to highlight the importance of respecting cultural differences and of recognizing a common humanity within the Middle East as a whole. Barenboim states emphatically that the orchestra’s purpose is not to make peace but to create the conditions for peace. Ethnocentrism underlies oppression, and model initiatives such as the West-Eastern Divan Orchestra serve as reminders of the importance of tolerance and respect as deterrents against oppression. The West-Eastern Divan Orchestra brings together musicians from throughout the Middle East with the goal of promoting understanding across cultural divides. (credit: “Barenboim WEDO Salzburg 2013” by WolfD59/Wikimedia Commons, Public Domain) agency the capability to act and make decisions. ahistorical not acknowledging the specific historical experiences of a group, and thus attempting to understand societies without taking into consideration their connections to other cultures. biopolitics the ways in which populations are divided and categorized as a means of control, often by the state. bourgeoisie the class of people who own the means of production. Historically, the bourgeoisie were descendants of powerful feudal families. color blindness the idea that people “don’t see color,” meaning that they are unaware of the ways in which someone may experience the world because of the color of their skin. diaspora the dispersion of a people from their original home. egalitarian describes a society or other group in which diverse roles are all given the same decision-making power and accorded the same respect among the group. habitus the ingrained habits and dispositions that are socialized into people from birth depending on their status in society; used to explain how individuals uphold cultural systems. hegemony the ways in which people with power keep their power through the subtle dissemination of certain values and beliefs. hierarchy a type of social organization in which certain people or roles are given more power and prestige than others. ideological state apparatuses distinct and specialized institutions such as religious institutions, public and private education systems, legal systems, political parties, communication systems (radio, newspapers, television), family, and culture (literature, arts, and sports). inequality the unequal distribution of resources. inequity the unequal distribution of resources due to an unjust power imbalance. interpersonal inequalities power imbalances that are rooted in personal biases and occur every day, reifying and naturalizing inequalities that exist at institutional and systemic levels. institutional inequalities power imbalances that stem from the policies and practices of organizations (education, government, companies, etc.) that perpetuate oppression. meritocracy a system in which people succeed entirely through hard work and natural abilities. Someone who believes that they live in a meritocracy consequently overlooks any structural or racial inequities that may keep individuals from accessing the resources necessary for success. Nakba the 1948 displacement of hundreds of thousands of Palestinians from their homes; translates from Arabic as “disaster” or “catastrophe.” necropolitics an extension of Foucault’s biopolitics that explores the government’s power to decide how certain categories of people live and whose deaths are more acceptable. oppression the unjust exercise of power, either overt or covert, that is often used to control or inflict harm on entire groups of people. paradigms worldviews that often define a scientific discipline during a specific time period. proletariat the class of people who sell their labor and live off a wage, a.k.a. the powerless majority. repressive state apparatuses institutions through which the ruling class enforces its control, including the government, administrators, the army, the police, courts, and prisons. resistance the act of challenging power and domination. social stratification the hierarchical organization of different groups of people, whether based on racial category, socioeconomic status, kinship, religion, birth order, or gender. state apparatus a system consisting of two intertwined but distinct sets of institutions, the repressive state apparatus and the ideological state apparatus, which function together to maintain state order and control. structural inequalities power imbalances that exist at a level above personal interactions and institutions and are based on the accumulated effects of institutional decisions across society and history. systemic inequalities power imbalances created by the confluence of interpersonal, institutional, and structural inequalities. systemic oppression the ways in which political, economic, and social inequalities are normalized and perpetuated.", "section": "Theories of Inequity and Inequality", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Systems of Inequality Learning Outcomes By the end of this section, you will be able to: Explain the meanings of the terms racism, Whiteness, and White supremacy. Differentiate between economic, social, and cultural capital in relation to class or social mobility. Explain the relationship between capitalism and social inequalities. Describe gender relations, patriarchy, and oppression. Many introductory anthropological texts will examine how types of social stratification align with modes of production. This text has something of a different focus, critically considering what it means for some lives to matter more or less than others. This section looks at how modern modes of production create systems of social inequalities such as racism , classism , and sexism . Race and Racism Racism is best understood as power intertwined with racial prejudice. Racism can be perpetuated through interpersonal, institutional, and systemic practices. Anthropologists Alan Goodman , Yolanda Moses , and Joseph Jones define racism in Race: Are We So Different? (2020) as the use of race to establish and justify a social hierarchy and system of power that privileges and advances certain individuals or groups of people, usually at the expense of others. Many individuals understand interpersonal examples of racism, but what are institutional or systemic forms of racism? To explore this question, this section will discuss the history of race and its social construction. What Is Anthropology? discussed the fact that race is a social construct. Where did the social construct of race originate? Johann Blumenbach , a German physician and anthropologist, was influential in establishing existing racial categories. Working in the field of craniometry , a now debunked pseudoscience that studied human head shape and brain size, Blumenbach proposed five racial categories to divide humans in the late 1700s: “Caucasian” for White people, “Mongolian” for Asians, “Malayan” for Brown people, “Ethiopian” for Black people, and “American” for Indigenous people of the Americas (Goodman, Moses, and Jones 2020, 30). Blumenbach intentionally made these categories hierarchical and put White people at the top of this hierarchy. In many ways, the remnants of this hierarchy still exist today. For instance, have you ever seen the term Caucasian on a form asking about race? Why does this term still exist? Many other labels from the classifications Blumenbach created have been challenged, but Caucasian is still used in both scientific and popular usage. Anthropologist Carol Mukhopadhyay (2008) argues that this term’s continued usage conveys a false scientific authority of Whiteness . Black anthropologists, including Williams S. Willis Jr. (1972) and others, have pointed out many racist undertones throughout anthropology’s history of studying the “other.” Anthropology began as the practice of White anthropologists studying the non-White other, which was rooted in an inherently unequal perspective. The White anthropologists’ beliefs were considered the “norm,” and people they studied were considered outside of the norm. In contrast, many of the first Black anthropologists trained in the United States were involved in activism, advocacy, public service, and social justice. These Black pioneers in anthropology were committed to fighting racism and instigating social change, focuses that were reflected in their scholarship and how they approached anthropology (Harrison and Harrison 1999). In “Reflections on Anthropology and the Black Experience,” St. Clair Drake , discussing why some Black scholars became anthropologists, said, “A few of us chose careers in anthropology forty to forty-five years ago because we believed the discipline had relevance to the liberation of black people from the devastating consequences of over four centuries of white racism” (1978, 86). In 1941, anthropologists Allison Davis , Burleigh Gardner , and Mary Gardner argued that the United States had a racial caste system. Caste is a system of social inequality based on an individual’s circumstances of birth, wherein people are not allowed to move out of the social group into which they are born. Davis, Gardner, and Gardner observe that racism is a powerful force in American society that produces inequitable social relations that seem permanent but vary regionally and are subject to change over time. They argue that political, social, and economic structures all maintain that caste system, often in violent and coercive ways (Davis, Gardner, and Gardner 1941). A number of scholars have also examined White racial identity; these “ Whiteness studies ” show that the racial category of White has been defined in different ways throughout US history. For instance, certain ethnicities in American history were not originally considered White but became included in the White identity over time. Whiteness is usually based on the maintenance or pursuit of power and proximity to power. Historian Nell Irvin Painter ’s book The History of White People (2010) provides a detailed history of European civilization, race, and the frequent worshipping of Whiteness and explains that the concept of one White race is a recent invention. White privilege is conceptualized as the ways in which White people have been given advantages at the expense of other populations. In Peggy McIntosh ’s classic article “White Privilege: Unpacking the Invisible Knapsack” (1989), she compares White privilege to an invisible weightless knapsack that comes with special provisions or advantages. According to McIntosh (who identifies as White), these advantages—or even just lack of obstacles—include not having to think about one’s race all the time, knowing that one will probably be represented wherever they go, and not worrying about having to speak for all the people of one’s racial group, among many other examples. Thus, White privilege is the experience of one’s Whiteness as the standard. White privilege is often linked to the cultural concept of White supremacy , which is the idea that White people are a superior race and should dominate society at the expense of other, historically oppressed groups. People often think of White supremacy as extremist behavior, but White supremacy can actually be seen in many examples of systemic social inequalities. Ideologies of the Ku Klux Klan and neo-Nazis are examples of overt White supremacy that many people acknowledge as being racist. However, there are many covert examples of White supremacy that are problematic and racist but are overlooked. The “White supremacy iceberg” lists examples of overt, and covert racism. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The concept of White supremacy is a contentious one in modern media and politics. You may have come across an image like the one in explaining different types of White supremacy. Although the examples in the diagram labeled “Overt” can be agreed on as socially unacceptable by most people in American society, the examples in the “Covert” section are often explained on an individual level instead of as a symptom of racism. For instance, the school-to-prison pipeline can often be explained as the consequence of individuals who do not obey the rules instead of a consequence of underfunded schools and racist policies. The avoidance of talking about race, or racial refusal , can be understood as a silent form of racism. Anthropologist Dána-Ain Davis , in her ethnography Reproductive Injustice: Racism, Pregnancy, and Premature Birth (2019), writes that not acknowledging race in certain contexts can perpetuate inequalities. For her study of Black women who give birth to premature infants, Davis interviewed Black mothers and their partners; NICU (neonatal intensive care unit) staff, including nurses and doctors; birth workers; and March of Dimes administrators. In her research, Davis found that many doctors refused to discuss race and consequently ignored how racism is connected to disparities in health, premature birth, and medical treatment. Instead, discussions of premature birth disparities centered on class, despite the fact that Davis interviewed professional Black women who were college educated. Davis argues that racial disparities and medical racism perpetuated by systemic and structural racism cannot be addressed in healthcare settings if healthcare workers do not discuss race. This racial refusal has a historical precedence in the United States, where history and how that history has affected people’s lives is routinely omitted (Davis 2019, 88). Finally, microaggressions are everyday instances of racism, homophobia, sexism, ableism, and other isms that are observed in the world as thinly veiled insults directed toward individuals from historically excluded groups. People who commit microaggressions might not even be aware they are committing them. Microaggressions include verbal and nonverbal snubs and insults that communicate hostile, derogatory, or negative messages to individuals based solely on their identification with a marginalized group. For example, one of the coauthors of this chapter, Saira Mehmood, identifies as a Muslim woman of South Asian descent, born in New Orleans. Saira is often asked, “Where are you from?” When she answers, “New Orleans,” the next question is often “Where are you really from?” This type of microaggression denies Saira’s agency as an American. Class Class refers to a group of people with the same socioeconomic status and proximity to power. In a class-based system, status stems from wealth and one’s proximity to the power that wealth builds. Economically, class systems are most often associated with the capitalist mode of production. People in the United States often think of the term middle class when considering class systems. Capitalism — the economic mode of production based around markets, ownership of land and resources, and wage labor—has produced classes that are grounded in the acceptance of the idea that earned wealth or status is the basis for social hierarchy within a nation. In capitalist nations, a person’s status in society directly relates to the amount of money they have acquired or the position they have achieved in their career. Class-based systems often emphasize social inequalities because of the hegemonic idea that relation to capital determines a person’s value in society. For instance, Bill Gates is looked up to for his status as a billionaire, while those who work in fast food are often seen as not deserving of a living wage. This system of inequality, especially in the United States, is tied to the idea of meritocracy, with those at the top of the class system assumed to have worked hardest or to be most deserving of high-level positions and those at the bottom assumed to be personally at fault for their lack of wealth. Capitalism includes the concept of social mobility , or the ability of an individual to move up into higher and thus more powerful classes merely by working hard. Social mobility is the basis for the “American Dream,” the idea that poor Americans can attain a higher class. On the other hand, anthropologist Katherine S. Newman has done decades of research on downward social mobility , or the ongoing loss of capital and ensuing loss of social status. Newman (1999) found that in the last decades of the 20th century, divorce, emigration, company downsizing, and technological advancement left many middle-class individuals struggling to maintain their class (also see Gans 2009). Furthermore, the 2008 recession and the economic crash experienced due to the COVID-19 pandemic led to downward social mobility for millions. In addition to class, the United States also uses the concept of “collar.” White-collar jobs are assumed to require higher education, involve less manual labor, and pay more, while blue-collar jobs are considered less skilled, more manual, and lower paying. However, Forbes magazine found that there are many “blue collar” jobs (e.g., plumbers and electricians) that have higher earnings than many “white collar” jobs (such as entry- or mid-level finance), yet they carry lower status within US social hierarchy. What distinguishes white-collar from blue-collar jobs if it isn’t just about how much money they make? German social scientist Max Weber argued that there were considerably more than two classes that determined the social inequalities and conflicts among people in capitalist societies. In his seminal essay “The Distribution of Power with the Community: Classes, Stände, Parties” (2010), originally published in German in 1921, Weber argues that there are multiple, overlapping systems from which to gain power and links social stratification to three components: socioeconomic status, prestige, and political party connections. Power , in capitalist and class societies , often stems from capital, which is wealth in the form of money or other assets. Economic capital is monetary but is not the only form of capital. French sociologist Pierre Bourdieu distinguished between various forms of capital: economic, social, cultural, and symbolic. Bourdieu defined social capital as the nonmonetary resources people use to gain social status, such as mutual acquaintances, shared cultural knowledge, or shared experiences. Social capital can also determine one’s power. Cultural capital refers to the competencies, skills, and qualifications that people acquire that create cultural authority; in an institutionalized form, this takes the form of educational attainment. Symbolic capital , or the resources available to an individual because of honor, prestige, or recognition, is tied to economic, social, and cultural capital. For instance, successful athletes often have symbolic capital, and this type of capital can increase their social capital and economic capital with endorsements from corporations and other opportunities. However, athletes can also lose their symbolic capital when a scandal or controversy involving them is uncovered, resulting in them losing their endorsements and contracts, which in turn affects their economic and social capital. A good example of how individuals utilize social capital in the United States is the networking that exists in top-tier schools. In Pedigree: How Elite Students Get Elite Jobs (2016), sociologist Lauren Rivera utilizes participant observation to show how top-tier investment banks, consulting firms, and law firms decide who gets hired and who doesn’t, drawing on analysis of social and cultural capital in the American class system. Often, interviewers from elite firms use the phrase “not a good fit” when deciding not to hire someone in order to skirt around potential accusations of discriminatory intent. Riviera concludes that if a candidate is not from a top-tier school, the only way for them to get hired by such a firm is to have some other social capital connection vouch for their abilities. When those with symbolic capital use their power against those with less power in order to change their actions, they are exercising symbolic violence. Symbolic violence is a type of nonphysical violence manifested in power differentials between social groups (e.g., upper class and lower class). For Bourdieu , symbolic violence reinforces ideologies that legitimize and naturalize the status quo. In many instances, symbolic violence reinforces social inequalities. This is perhaps most evident in the language used when referring to other groups. During the long history of migrations toward the US-Mexico border, symbolic violence has been used linguistically by English speakers to refer to migrants in terms that alienate them and set them outside of a common human identity. Labels such as “illegals,” “illegal aliens,” and “undocumented workers” are applied across cultures, defining families and individuals by a single dimension. Linguistic slurs are especially associated with symbolic violence. When human beings are represented in such simple and stark terms, it can become more socially acceptable to oppress them and see them as undeserving of empathy and respect. Capitalism and class systems can also be analyzed in terms of race . Initially popularized by political science and Black studies scholar Cedric J. Robinson in Black Marxism: The Making of the Black Radical Tradition (1983), racial capitalism is the process through which the key aspects of capitalism (credit/debit, production/surplus, capitalist/worker, developed/underdeveloped, etc.) become articulated through existing relations of racial inequalities . In Robinson’s framework, capitalism is racial not because of some conspiracy to divide workers or to justify slavery but because racialism had already spread through Western feudal society when capitalism developed. Racial capitalism can clearly be seen in the slave trade and colonialism. Scholar Saidiya Hartman states that slavery still “persists as an issue in the political life of black America . . . because black lives are still imperiled and devalued by a racial calculus and a political arithmetic that were entrenched centuries ago.” Hartman describes this as “the afterlife of slavery —skewed life chances, limited access to health and education, premature death, incarceration, and impoverishment” (2007, 6). Slavery was a racialized system of capitalism, one that continues to exploit others to the present day. Class systems emphasize social inequalities because for some people to have money and power, those individuals must exploit and oppress other groups. Capitalism and class societies are often supported by the ideas that those with power earned that power and those without it have individual moral failings instead of acknowledging that the structure of capitalism, which necessitates a working class, generates inequalities. Gender and Patriarchy Although there is a detailed exploration of gender , patriarchy , and power in Gender and Sexuality , this chapter will discuss how gender is tied to social inequalities. Anthropologists have studied how gender relations play a big part in experiences of inequality. Gender relations can interact with various other powerful cultural institutions to further oppress individuals. An important concept to grasp when seeking to understand gender and power is patriarchy , a system of social inequality based on gender in which power is assumed to be in the hands of men and characteristics associated with femininity are less valued. Patriarchy is related to male lineages and contexts in which men hold more political, social, and economic power or prestige. Recently, the claim that patriarchy remains a powerful force has been challenged by some social commentators, who argue that this system of oppression does not exist in modern society and that women and men experience equal opportunities in terms of employment, rights, and salary. Many anthropologists and other social scientists challenge this claim, pointing out ways in which patriarchy still impacts women’s lives. Many anthropologists have made connections between gender and patriarchy, poverty, and race. In her fieldwork in the poor, mostly Black midwestern suburb of “Meadow View,” sociologist Sharon Hicks-Bartlett (2000) observed a particular type of oppression experienced by local women. Women living in poverty were relied upon and expected to keep their families together. Hicks-Bartlett described women tasked with managing low-wage, part-time work in a place where public systems of care and assistance, or even buses, were largely unavailable. The interpersonal and even internalized forces of patriarchy and power can also make women “compete to lose,” meaning they will deliberately not succeed at some things in order to gain social capital among their peers. For instance, anthropologist Signithia Fordham , (2013) who spent two years studying the interactions of Black teenage girls in a predominantly White high school (which she aptly named “Underground Railroad High School”), found that the girls in this middle-class high school downplayed their achievements in order to fit in with peer groups and friends. Academic success was sometimes experienced as a social hindrance for those whose goals were family and children. Dr. William S. Willis Jr. 1921–1983 Personal History: Dr. William S. Willis Jr. was a Black intellectual, anthropologist, historian, and anti-racist scholar of the 20th century. He was born in Waco, Texas, but his family moved to Dallas because of threats from the Waco Ku Klux Klan. After graduating from Howard University as a history major, Willis volunteered for service with the US Coast Guard. Eventually, he began his graduate studies in anthropology at Columbia University, drawn to the program by the scientific anti-racism of the Boasian tradition. Area of Anthropology: As a graduate student, Willis wanted to study Black culture and Black relations at home and abroad, but he was not able to do so because of the dominance of the study of Native Americans in American anthropology at the time. Nevertheless, Willis remained convinced of the importance of the historical approach in anthropology and of studying cultural change through time, considerations that were largely ignored by other theoretical frameworks popular in anthropology at the time. Importance of His Work: Willis became the first Black faculty member at Southern Methodist University (SMU). While he was popular as a professor in the Department of Sociology and Anthropology at SMU, he faced numerous hurdles. He received the least pay and has said that he felt like he was the “workhorse of the department” (quoted in Harrison and Harrison 1999, 253), teaching the greatest number of new courses. Despite being promoted to associate professor with tenure, Willis resigned from SMU in 1972, citing the covert and overt racism he experienced in the anthropology department. His 1972 article “Skeletons in the Anthropological Closet,” published in Reinventing Anthropology , declared that anthropology’s claim of being the “science of man” was delusional and asserted that anthropology’s virtual silence on the domination and exploitation of people of color at home and abroad, living outside the boundaries of White societies, was not consistent with the field’s tradition of scientific anti-racism. Willis argued that anthropology was organized around the needs of White people and that most White anthropologists did not see people of color as real human beings. caste a system of social inequality based on an individual’s circumstances of birth, wherein people are not allowed to move out of their social group. class a group of people with the same socioeconomic status and proximity to power. cultural capital competencies, skills, and qualifications people acquire that allow them cultural authority. An institutionalized form of cultural capital is educational attainment. downward social mobility an ongoing loss of capital and the ensuing loss of social status. economic capital monetary assets, including material assets that can be converted to money. microaggressions everyday instances of racism, homophobia, sexism, etc. that are observed in the world as thinly veiled insults directed toward historically excluded groups. patriarchy a system of social inequality based on gender, in which power is assumed to be in the hands of men and characteristics associated with femininity are less valued. power the ability to exert control, authority, or influence over others. racial capitalism the accumulation of capital through existing relations of racial inequality. racial refusal the refusal to mention or talk about race. Racial refusal is a silent form of racism. racism power intertwined with racial prejudice. social capital the nonmonetary resources that people use to gain social status, such as mutual acquaintances, shared cultural knowledge, or shared experiences. social mobility the ability of an individual to move up into higher and thus more powerful classes merely by working hard. symbolic capital the resources available to an individual because of honor, prestige, or recognition. symbolic violence a type of nonphysical violence that is manifested in the power differential between social groups and reinforces ideologies that legitimize and naturalize the status quo. systematic oppression the intentional mistreatment of certain groups. Whiteness an identity based on the maintenance or pursuit of power and proximity to power. White privilege the ways in which White people receive advantages at the expense of other populations. White supremacy the idea that White people are a superior race and should dominate society at the expense of other, historically excluded groups.", "section": "Systems of Inequality", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Intersections of Inequality Learning Outcomes By the end of this section, you will be able to: Explain and give examples of intersectionality. Discuss how accumulated wealth creates systems of social inequality. Give examples of the ways that governing bodies can negatively impact the lived experiences of individuals. Explain caste systems as a type of intersection of political, economic, and racial inequalities. Explain implicit mentalities around poverty, wealth, and equity disparities. Intersectionality When thinking about social inequalities, it is useful to conceptualize race alongside other characteristics. Intersectionality is the observation that one’s class, race, sexuality, age, and ability can all define and complicate experiences. The concept of intersectionality can be traced back to pre–Civil War America, when Sojourner Truth made her “Ain’t I a Woman” speech in 1851 at the Ohio Women’s Convention in Akron, Ohio, addressing the exclusion of Black women from the fight for women’s rights. However, the term intersectionality was officially coined by critical race theorist and legal scholar Kimberlé Crenshaw (1989) in the context of discussing Black feminism . Crenshaw argued that the experience of being a Black woman could not be understood in independent terms of either being Black or being a woman; instead, it needed to include interactions between the identities, which often reinforce one another. Intersectionality discredits the notion that one single aspect of identity—race, for example—can capture the multidimensional nature of people’s experiences of oppression. In other words, intersectionality emphasizes the ways in which identities pertaining to features such as race, gender, and class interact to impact people’s lives. Anthropologist Faye Harrison , coeditor of African-American Pioneers in Anthropology (1999), has done extensive work on intersectionality. She argues that “race is always lived in class- and gender-specific ways” (Harrison 1995, 63). For instance, the lived experience of a woman of color will be different from that of a White woman. Even though they both experience oppression from patriarchal systems, a woman of color has the added intersection of race, impacted by her identity as a woman. Much of the work on intersectionality has come out of a critique of the original feminist movement, which sometimes generalized women’s experiences as monolithic (Hill Collins 2000; A. Y. Davis 1981; McCall 2005; Sacks 1989). Feminist and women’s studies scholar Chandra Mohanty (1984) criticized the White-middle-class-based approach of previous feminist authors, arguing not only that women of color don’t need White women to save them but that their experiences are vastly different. By incorporating race with gender and class, feminist scholars have illustrated how experiences of race are dynamic. In the collection of studies of race, class, and gender that occurred around the turn of the 21st century, anthropologist Leith Mullings (2002) developed the concept of the Sojourner syndrome to capture the interlocking ways in which race, class, gender, and resistance to oppression shape Black women’s bodies and biology. The Sojourner syndrome emphasizes that race, class, and gender are not necessarily multiplied to mean more oppression, but they change the ways people experience oppression. In the Harlem Birthright Project , funded by the Centers for Disease Control and Prevention (CDC) to study racial disparities in health, Mullings uses the Sojourner syndrome to argue that Black women, because of intersecting structural inequalities, are forced to do more work than either their White female or Black male counterparts, which increases their stress levels and negatively impacts their health. Another way intersectional identities can compound oppression is captured by the term misogynoir . Misogyny is the socialized prejudice against women and feminine characteristics. Misogynoir , a term coined by queer Black feminist Moya Bailey , describes the anti-Black racist misogyny that Black women specifically experience. Misogynoir is the intersection of the systems of sexism and racism experienced by Black women. More recently, Bailey has written about Black women’s digital resistance to misogynoir on YouTube, Facebook, and other online platforms (2021). In addition to creating challenges to the status quo, intersectionality can also inspire creative opportunities for new perspectives and new role models. On January 20, 2021, former senator Kamala Harris was inaugurated as the 49th vice president of the United States. Not only is she the first female vice president and the highest-ranking female official in US history, but her ethnic and racial background makes her the first Black American and the first Asian American person to hold this office. When she broke these “ glass ceilings ” (barriers to promotion that often affect women and members of minority groups), she was celebrated as a role model for many. There is even an unofficial Twitter fan group that calls itself “ The #Khive Movement ” as well as other pro-Harris groups inspired by her example (e.g., Mamas for Momala). Her supporters frequently cite her background as an inspiring triumph that allows for new voices representing diverse groups in our society. Overall, the Biden administration has pledged to have “the most diverse cabinet in American history” (see the “ Biden Diversity Tracker ”). On October 28, 2021, President Joe Biden appointed Sara Minkara as the US special advisor on international disability rights. In this foreign policy role, Minkara, who lost her eyesight at the age of seven, will promote and protect the rights of people with disabilities, again representing diverse voices of historically underrepresented groups. Kamala Harris participates in a meeting on voting rights with Black women leaders on July 16, 2021. Harris is the first woman to hold the position of vice president of the United States as well as the first Black American and the first Asian American to hold this office. (credit: “V20210716LJ-0291-2-1” by Lawrence Jackson/The White House/flickr, Public Domain) Dr. Yolanda T. Moses 1946– Yolanda T. Moses (credit: “HBCUs as Sites of Global Citizenship” by Olivia Crum/Bart Everson/flickr, CC BY 2.0) Personal History: Yolanda Moses was born in Washington, DC, but spent most of her childhood in Southern California. An active participant in the civil rights movement in the 1960s, she was inspired to pursue a doctoral program in anthropology after meeting Margaret Mead. Area of Anthropology: Dr. Moses is currently professor of anthropology and associate vice chancellor for diversity, excellence, and equity at the University of California, Riverside. Her research focuses on the origins of social inequalities, relying on both comparative ethnographic and survey methods. She has examined gender and class disparities in the Caribbean, East Africa, and the United States. Dr. Moses’s most recent research has focused on issues of diversity and change in universities and colleges in the United States, India, Europe, and South Africa. Accomplishments in the Field: Dr. Moses has served as president of the American Anthropological Association (1995–1997), the City University of New York’s City College of New York (1993–1999), and the American Association for Higher Education (2000–2003). She received the Donna Shavlik Award for leadership and mentoring of women from the American Council on Education in 2007 and the Franz Boas Award for Exemplary Service to Anthropology from the American Anthropological Association in 2015. Importance of Her Work: Dr. Moses has received numerous grants from the Ford Foundation, the National Science Foundation, and the National Endowment of the Humanities. These grants have been awarded for projects examining the experiences of faculty who are women of color, questions of leadership and diversity in higher education, and, more broadly, race and human variation. She is a coauthor of Race: Are We So Different? and was influential in the RACE Project, a national public education project on race and human variation sponsored by the American Anthropological Association. Global Inequalities Anthropologists, along with other social scientists, recognize that all social systems and structures have developed through a multitude of decisions made by people with social, political, and economic power as well as through the daily interactions and imaginations of individuals. The current world system is the result of an amalgamation of events and historical forces that led humanity, step by step, to the world as it is today. Social systems and social structures are constructed and governed by the people who live within them; they are not ahistorical, and they are not unchanging. Capitalism is an economic system, but it is also the result of the ways in which people and groups interact with each other and with the natural world. Presidents elected by slim margins, compromises that benefited one political party over the other, and responses to natural disasters and other events, some of which may have seemed inconsequential at the time, all played a role in creating the current reality. Structures exist and order the world, but they do not exist outside of it. When talking about the effect of capitalism , it is important to recognize the ways in which these systems of inequality can intersect to both benefit the powerful and exploit the poor. Wealth inequalities and capital accumulation have deeply impacted and continued to impact cultures around the world, leaving almost none untouched. There are two broad forces that shape this movement of economic capital. One of those forces, which encourages further and further accumulation of wealth within a single family, is intergenerational wealth . Intergenerational wealth is wealth that is passed down through generations, accumulating interest over many years. This money is typically invested to increase its value rather than circulated in the economy, further impacting wealth inequalities. The other force that has affected global wealth inequalities is colonialism. Colonialism is a system through which European (and eventually American) countries exerted power over areas of the world in order to exploit their natural and human resources. Capitalism relies on the extraction of resources, laborers to process those resources, and consumers to purchase the finished products. Colonialism provided all three in the form of a global proletariat (worker) class: a group of people whose labor is the foundational resource for production. Contemporary scholars recognize colonialism as one of the most important forces in the current global system of inequality. Map of Africa before and after the Berlin Conference. These maps show the diversity of African cultures before colonization and the arbitrary colonial borders established by European nations. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In the middle of the 20th century, many previously colonized countries gained independence. Due to worldwide economic downturns and ongoing colonial relationships with powerful Western countries, most did not have the means to develop their infrastructure, political organization, or economic sectors. These countries were also at a disadvantage as a result of decisions made by European powers at the Berlin Conference , which split Africa according to the wants of Western colonial powers rather than established Indigenous territories and spheres of political influence. Part of the ongoing turmoil within Africa stems from the fact that national boundaries were created with resources in mind, instead of the people who lived there. What exactly does this have to do with social inequalities, poverty, or wealth? And how do international trade and development policies affect people without power at local levels? In the simplest terms, international structures of power affect every part of daily life for those living in poverty, especially people of color, women, and people living with disabilities. The intersections of political, economic, and social institutions reduce the number of resources available, leading to profound levels of inequity. Recognizing the long-standing effects of colonialism is vital to understanding the continuing inequities and poverty that are characteristic of so many territories that were once colonized. To understand international structures of poverty and wealth, it is useful to also examine neocolonialism. Neocolonialism refers to the indirect ways in which modern capitalist interests continue to put pressure on poor nations through economic, political, or military means in order to further exploit wealth for multinational corporations and their allies. Rosemary Hollis , professor of Middle Eastern studies, once argued that Britain “went out the door and came back in through the window” (H.C. Foreign Affairs Committee 2013, Ev 20), meaning that it gave up its colonial holdings only to influence these nations through other means. The main way in which neocolonialism plays out is through economic relief programs. The Global North , a term that represents powerful nations along with corporations and intergovernmental groups run by individuals from these countries, exerts power through targeted economic relief. The best-known agencies for economic relief are the World Bank Group and the International Monetary Fund (IMF) . These groups, which have a lot of money, loan that money to Global South nations, which are exploited and “underdeveloped” countries that are experiencing economic or political crises. However, these loans come with many stipulations, most of which are called austerity practices . Austerity practices force governments to reduce public funding for health and education sectors, thus privatizing health care and education. For countries whose citizens are poor, introducing private health and education sectors results in a severe lack of access because many individuals cannot pay for these services. Structural Violence Privatization is also part of global neoliberal economics. Neoliberalism is an economic model that prioritizes privatization of public services in order to decrease government spending, based on the idea that free markets and supply and demand will lead to economic progress and development. Neoliberal policies have historically led to power structures that increase inequity for those who are already marginalized: the poor, women, and people of color. When individuals cannot fulfill their basic needs, they experience ongoing harm. Norwegian sociologist Johan Galtung calls this experience of intersecting, overlapping structures of discrimination (racism, sexism, classism, ageism, etc.) structural violence . Structural violence occurs when social institutions or practices reinforce inequalities, preventing certain social groups from obtaining basic needs. This can be an intentional or unintentional consequence. Anthropologist and physician Paul Farmer ’s (2003) work in Haiti addresses the connections between neoliberal practices and structural violence. Farmer notes that the intersection of gender, race, class, and health disparities in Haiti result in specific health challenges for which the political, economic, and social systems take little responsibility. In the township of Cange, Haiti, where residents were predominantly farmers, a dam funded by the IMF flooded a fertile valley and displaced residents from their fields, forcing them to move to the less fertile hillsides or to cities. They were provided with no subsequent public support networks, such as schools or hospitals. The amalgamation of these factors—loss of economic resources from farming, forced wage labor in the cities, and privatized education and health—resulted in what Farmer described as an inherently oppressive way of life. Many of the villagers who moved to Port-au-Prince, the capital of Haiti , were forced to rely on wage labor, with some resorting to the sex tourism industry to survive. In the 1980s, some of these villagers became infected with HIV. For these Haitians, the displacement from their villages, caused by the dam funded by the IMF, was the root cause of their later inability to fulfill basic needs and their experience of further suffering. This is a prime example of structural violence . By understanding how class systems, poverty, wealth, and economic inequities intersect around the world, anthropologists can hope to change international programs that are based on presupposed hierarchies between the “ first world ” and “ third world ” and between the powerful and exploited classes. Anthropologist William S. Willis Jr. firmly states that “anthropologists must give no credence to the vicious theory that poor people are responsible for their poverty” (1972, 149). Theories of inequity show that poverty and success are most often the result not of individual actions but of the identities that individuals have, the diverse obstacles they have experienced, and, in large part, the lottery of their birth. Anthropological examinations of inequity must take careful consideration of institutional and structural inequalities while still upholding the ability of the individual to be an instigator of broader change. According to Willis, anthropology’s goal is to end the “poverty and powerlessness” (1972, 149) experienced globally by people of color. capitalism an economic mode of production based around markets, ownership of land and resources, and wage labor. Capitalism has produced classes that are grounded in acceptance of the idea that earned wealth or status is the basis for social hierarchy within a nation. colonialism a system through which European (and eventually American) countries exerted power over areas of the world in order to exploit their natural and human resources. intergenerational wealth wealth that is passed down through generations of descendants, accumulating interest over many years. intersectionality the notion that characteristics such as class, race, gender sexuality, age, and ability can all define and complicate one’s experiences, and a single aspect of identity—race, for example—is insufficient to capture the multidimensional nature of people’s experiences of oppression. misogynoir the anti-Black racist misogyny that Black women experience. misogyny the socialized prejudice against women and feminine characteristics. neocolonialism the indirect ways in which modern capitalist interests continue to put pressure on poor nations through economic, political, or military means in order to further exploit wealth for multinational corporations and their allies. neoliberalism an economic model that prioritizes privatization of public services in order to decrease government spending. Sojourner syndrome the interlocking ways in which race, class, gender, and resistance to oppression shape Black women’s bodies and biology. The Sojourner syndrome emphasizes that race, class, and gender are not necessarily multiplied to mean more oppression, but they change the ways people experience oppression. structural violence the experience of intersecting, overlapping structures of discrimination (racism, sexism, classism, ageism, etc.). systems the powerful, overarching beliefs according to which the world is organized that influence the ways in which individuals interact with their world.", "section": "Intersections of Inequality", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Studying In: Addressing Inequities within Anthropology Learning Outcomes By the end of this section, you will be able to: Examine the effects of White supremacy in anthropology. Give examples of how anthropologists in other subfields are working against White supremacy and colonialism. Explain what decolonizing anthropology entails. This section explores how anthropologists have looked within their own discipline to address ways in which they may be reproducing inequities through their practices and approach. Anthropologist Laura Nader uses the phrase “ studying up ” (1972) to call for more research on people and institutions with power. Following anthropologist Pamela Runestad (2017), this chapter uses the phrase “ studying in ” to address how anthropologists have looked at their own practices, training, methodologies, and assumptions and how anthropology as a discipline may in fact be contributing to inequities for students, practitioners, and the communities with which anthropologists engage. Even though the construct of race has roots in anthropology, anthropologist Leith Mullings (2005) argues that critical studies of race and racism did not originally develop in anthropology. Mullings attributes this to the fact that anthropologists still do not agree about the role of race and racism within the discipline or how the categories of race have emerged and persisted in society. In addition, Mullings argues that many cultural anthropologists have focused on ethnicity, becoming “ race avoidant ” by not even mentioning race in ethnographies. Mullings warns that “race avoidant” anthropologists consequently ignore racism (Mullings 2005, 670). In recent years, anthropologists have looked at the ways in which knowledge production and anthropological methods are rooted in White supremacy . Within the subfield of archaeology, anthropologists Maria Franklin and colleagues discuss how “archaeology has been used to justify imperialism, the displacement of Native Americans and Indigenous peoples from their lands, scientific racism, ethnocentrism, and xenophobic nationalism” throughout the world (Franklin et al. 2020, 754). However, archaeology does not exist in a vacuum, and these anthropologists also discuss ways to reimagine archaeology to do anti-racism work, especially in light of the Black Lives Matter movement. These efforts include encouraging growing numbers of members of minority groups as academic colleagues and seeking research sites that represent the lived experiences of minority populations. In 2020, Meredith Poole , a researcher for the Colonial Williamsburg Foundation in Williamsburg, Virginia, began a project identifying previously unrecognized Black archaeologists and excavators who had worked for Colonial Williamsburg in the 1930s. Additionally, Colonial Williamsburg archaeologists are currently working to excavate the First Baptist Church , one of the earliest Black churches in the United States. Projects such as these are critically important to the academic search for truth. Not only does this knowledge correct inaccuracies in the historical record, but it also serves to correct the course of future academic work. In recent years, Colonial Williamsburg has undertaken various projects aimed at highlighting the contributions of Black archeologists and the lived experiences of people of color in the American colonial period. Additionally, they have added interpreters representing the lives of both free and enslaved Black individuals. (credit: “Colonial Williamsburg Virginia Duke of Gloucester St.” by C Watts/flickr, CC BY 2.0) Archaeologists Kylie Quave and colleagues (2020) have written about the ways in which introductory archaeology classes taught in the United States have often been problematic and how those teaching these courses are currently using anti-colonial and decolonial theories to revise curricula to promote equity within the discipline. Quave and her colleagues found that students taking revised curricula developed more complex understandings of the benefits and harms of archeological knowledge production and were better able to articulate the inequities in the discipline. In April 2021, the Association of Black Anthropologists (ABA) , the Society of Black Archaeologists (SBA) , and the Black in Bioanthropology Collective (BiBA) released a collective statement regarding the possession and unethical use of the remains of the children of MOVE and the Africa family. In May 1985, the city of Philadelphia dropped two bombs onto the MOVE compound, home of “a revolutionary group of Black people opposed to capitalist growth and committed to environmental justice and interspecies harmony” (ABA, SBA, and BiBA 2021). The bombs killed 11 MOVE members inside the compound, including five children, and destroyed the neighborhood, incinerating at least 61 homes. Two forensic anthropologists, Alan Mann and Janet Monge, were hired by Philadelphia officials to identify the remains. In April 2021, various news outlets revealed that either Mann or Monge kept the remains two child victims, Tree Africa and Delisha Africa, in their personal possession after the investigation, moving them between the University of Pennsylvania and Princeton University. In addition, the family of the deceased were never notified of the remains, nor were the remains returned to the family. In response, the ABA, SBA, and BiBA supported and republished the demands of Mike Africa Jr., who was six years old when the Philadelphia police dropped the bomb on MOVE. The collective statement acknowledged the long history of White supremacy and anti-Blackness within the discipline and called on White anthropologists to actively work to undo the violence committed against non-White communities. In Decolonizing Anthropology: Moving Further toward an Anthropology for Liberation (2010), edited by anthropologist Faye V. Harrison , the term decolonizing anthropology is used to emphasize the responsibility of anthropologists to work for the enhancement and empowerment of those most alienated and dispossessed. While decolonization refers to different ideas in different disciplines, the principal goal of the Decolonizing Anthropology volume is “to encourage more anthropologists to accept the challenge of working to free the study of humankind from the prevailing forces of global inequality and dehumanization and to locate it firmly in the complex struggle for genuine transformation” (Harrison 2010, 10). This work to decolonize, transform, and liberate anthropology is still happening, and the discipline still has a long way to go in decolonizing each of the subfields of anthropology and decolonizing methods and pedagogy to make classroom spaces more equitable. Suggested Resources Documentaries: Adelman, Larry, prod. 2003. Race: The Power of an Illusion . https://www.racepowerofanillusion.org/. Davidson, Kief, and Pedro Kos, dirs. 2017. Bending the Arc . https://bendingthearcfilm.com/. Books/Articles: Cargle, Rachel Elizabeth. 2018. “When Feminism Is White Supremacy in Heels.” Harper’s Bazaar , August 16, 2018. https://www.harpersbazaar.com/culture/politics/a22717725/what-is-toxic-white-feminism/. Crenshaw, Kimberlé, Neil Gotanda, Gary Peller, and Kendall Thomas, eds. 1995. Critical Race Theory: The Key Writings That Formed the Movement . New York: New Press. Jenkins, Destin, and Justin Leroy, eds. 2021. Histories of Racial Capitalism . New York: Columbia University Press. Williams, Bianca C., Dian D. Squire, and Frank A. Tuitt, eds. 2021. Plantation Politics and Campus Rebellions: Power, Diversity, and the Emancipatory Struggle in Higher Education . Albany: State University of New York Press. Websites/Podcasts: James, Alyssa A. L., and Brendane A. Tynes. 2020–. Zora’s Daughters . Podcast. https://zorasdaughters.com/. Smithsonian Institution. 2020. “Talking about Race.” National Museum of African American History and Culture. Last updated June 2, 2020. https://nmaahc.si.edu/learn/talking-about-race. American Census Archive Research Browse through the US Census Bureau website ( data.census.gov ). Look at the categories from 1790, when the first US census was taken. Compare them to the 2020 census. How are these categories different? Who is being counted and how? Who is excluded? Go one step further and search through two different zip codes. Look at the demographic makeup of each area. Can you see differences in household income? Education attainment? What if you go to Google Maps? Can you correlate this information with other causes of inequities? Are there grocery stores in these areas? Bus and subway stops? What is the population density of the area? Do you know anything of the history of the zip code? Construct a visual that best explains the differences between the historical and contemporary censuses. Then, do the same with the two zip codes. Draw conclusions about social inequalities throughout history and in contemporary times. Critical Thinking Questions References Abu-Lughod, Lila. 1986. Veiled Sentiments: Honor and Poetry in a Bedouin Society . Oakland: University of California Press. Alper, Loretta, and Jeremy Earp, dirs. 2016. The Occupation of the American Mind: Israel’s Public Relations War in the United States . Northampton, MA: Media Education Foundation. DVD. Association of Black Anthropologists, Society of Black Archaeologists, and Black in Bioanthropology Collective. 2021. “Collective Statement Concerning the Possession and Unethical Use of Remains.” Association of Black Anthropologists. April 28, 2021. https://aba.americananthro.org/collective-statement-concerning-the-possession-and-unethical-use-of-remains/. Bailey, Moya. 2021. Misogynoir Transformed: Black Women’s Digital Resistance . New York: New York University Press. Bonilla-Silva, Eduardo. 2017. Racism without Racists: Color-Blind Racism and the Persistence of Racial Inequality in America . 5th ed. Lanham, MD: Rowman & Littlefield. Crenshaw, Kimberlé. 1989. “Demarginalizing the Intersection of Race and Sex: A Black Feminist Critique of Antidiscrimination Doctrine, Feminist Theory and Antiracist Politics.” University of Chicago Legal Forum 1989 (1): 139–167. https://chicagounbound.uchicago.edu/uclf/vol1989/iss1/8/. Davis, Allison, Burleigh B. Gardner, and Mary R. Gardner. 1941. Deep South: A Social Anthropological Study of Caste and Class . Chicago: University of Chicago Press. Davis, Angela Y. 1981. Women, Race, and Class . New York: Random House. Davis, Angela Y. 2016. Freedom Is a Constant Struggle: Ferguson, Palestine, and the Foundations of a Movement . Edited by Frank Barat. Chicago: Haymarket Books. Davis, Dána-Ain. 2019. Reproductive Injustice: Racism, Pregnancy, and Premature Birth . New York: New York University Press. Davis, Uri. 2003. Apartheid Israel: Possibilities for the Struggle Within . London: Zed Books. Delgado, Richard, and Jean Stefancic, eds. 2013. Critical Race Theory: The Cutting Edge . 3rd ed. Philadelphia: Temple University Press. Drake, St. Clair. 1978. “Reflections on Anthropology and the Black Experience.” Anthropology & Educational Quarterly 9 (2): 85–109. https://www.jstor.org/stable/3216192. Du Bois, W. E. B. (1940) 1984. Dusk of Dawn: An Essay toward an Autobiography of a Race Concept . New Brunswick, NJ: Transaction Books. Erakat, Noura. 2019. Justice for Some: Law and the Question of Palestine . Stanford, CA: Stanford University Press. Erakat, Noura, and Dia’ Azzeh, dirs. 2016. Gaza in Context . Washington, DC: Quilting Point Productions. Video, 20:24. https://www.youtube.com/watch?v=bmRPkfAN2EU. Farmer, Paul. 2003. Pathologies of Power: Health, Human Rights, and the New War on the Poor . Berkeley: University of California Press. Fordham, Signithia. 2013. “Competing to Lose? (Black) Female School Success as Pyrrhic Victory.” In The Social Life of Achievement , edited by Nicholas J. Long and Henrietta L. Moore, 206–228. New York: Berghahn Books. Franklin, Maria, Justin P. Dunnavant, Ayana Omilade Flewellen, and Alicia Odewale. 2020. “The Future Is Now: Archaeology and the Eradication of Anti-Blackness.” International Journal of Historical Archaeology 24:753–766. https://doi.org/10.1007/s10761-020-00577-1. Foucault, Michel. (1978) 1990. The History of Sexuality . Translated by Robert Hurley. Vol. 1, An Introduction . New York: Vintage Books. Gans, Herbert J. 2009. “First Generation Decline: Downward Mobility among Refugees and Immigrants.” Ethnic and Racial Studies 32 (9): 1658–1670. https://doi.org/10.1080/01419870903204625. Goodman, Alan H., Yolanda T. Moses, and Joseph L. Jones. 2020. Race: Are We So Different? 2nd ed. Hoboken, NJ: Wiley-Blackwell. Green, Dan S., and Earl Smith. 1983. “W. E. B. DuBois and the Concepts of Race and Class.” Phylon 44 (4): 262–272. https://www.jstor.org/stable/274576. Harrison, Faye V. 1995. “The Persistent Power of ‘Race’ in the Cultural and Political Economy of Racism.” Annual Review of Anthropology 24:47–74. https://doi.org/10.1146/annurev.an.24.100195.000403. Harrison, Faye V., ed. 2010. Decolonizing Anthropology: Moving Further toward an Anthropology for Liberation . 3rd ed. Arlington, VA: American Anthropological Association. Harrison, Ira E., and Faye V. Harrison, eds. 1999. African-American Pioneers in Anthropology . Urbana: University of Illinois Press. Hartman, Saidiya. 2007. Lose Your Mother: A Journey along the Atlantic Slave Route . New York: Farrar, Straus and Giroux. Hicks-Bartlett, Sharon. 2000. “Between a Rock and a Hard Place: The Labyrinth of Working and Parenting in a Poor Community.” In Coping with Poverty: The Social Contexts of Neighborhood, Work, and Family in the African American Community , edited by Sheldon Danziger and Ann Chih Lin, 27–53. Ann Arbor: University of Michigan Press. Hill Collins, Patricia. 2000. Black Feminist Thought: Knowledge, Consciousness, and the Politics of Empowerment . Rev. 10th anniversary ed. New York: Routledge. House of Commons Foreign Affairs Committee. 2013. The UK’s Relations with Saudi Arabia and Bahrain . Vol. 1, Report, Together with Formal Minutes, Oral and Written Evidence . 5th Report of Session 2013–14. London: Stationery Office Limited. https://publications.parliament.uk/pa/cm201314/cmselect/cmfaff/88/88.pdf. Isacowitz, Roy. 2015. “Apartheid Policies Put Israel on Path to Becoming Failed State.” Haaretz , September 3, 2015. https://www.haaretz.com/opinion/.premium-apartheid-policies-put-israel-on-path-to-failed-state-1.5394664. Kline, Nolan. 2019. Pathogenic Policing: Immigration Enforcement and Health in the US South . New Brunswick, NJ: Rutgers University Press. Kuhn, Thomas. 1962. The Structure of Scientific Revolutions . Chicago: University of Chicago Press. Mbembe, Achille. 2003. “Necropolitics.” Translated by Libby Meintjes. Public Culture 15 (1): 11–40. https://doi.org/10.1215/08992363-15-1-11. McCall, Leslie. 2005. “The Complexity of Intersectionality.” Signs 30 (3): 1771–1800. https://doi.org/10.1086/426800. McIntosh, Peggy. 1989. “White Privilege: Unpacking the Invisible Knapsack.” Peace and Freedom , July/August 1989, 10–12. Mohanty, Chandra Talpade. 1984. “Under Western Eyes: Feminist Scholarship and Colonial Discourses.” boundary 2 12 (3): 333–358. https://www.jstor.org/stable/302821. Mukhopadhyay, Carol C. 2008. “Getting Rid of the Word ‘Caucasian.’” In Everyday Antiracism: Getting Real about Race in School , edited by Mica Pollock, 12–16. New York: New Press. Mullings, Leith. 2002. “The Sojourner Syndrome: Race, Class, and Gender in Health and Illness.” Voices 6 (1): 32–36. https://doi.org/10.1525/vo.2002.6.1.32. Mullings, Leith. 2005. “Interrogating Racism: Toward an Antiracist Anthropology.” Annual Review of Anthropology 34:667–693. https://doi.org/10.1146/annurev.anthro.32.061002.093435. Nader, Laura. 1972. “Up the Anthropologist—Perspectives Gained from Studying Up.” In Reinventing Anthropology , edited by Dell Hymes, 284–311. New York: Pantheon Books. Nairn, Charlie, dir. (1974) 2003. Ongka’s Big Moka: The Kawelka of Papua New Guinea . Newton, NJ: Shanachie Entertainment. DVD. Newman, Katherine S. 1999. Falling from Grace: Downward Mobility in the Age of Affluence . Berkeley: University of California Press. Ortner, Sherry B. 1974. “Is Female to Male as Nature Is to Culture?” In Woman, Culture, and Society , edited by Michelle Zimablist Rosaldo and Louise Lamphere, 67–88. Stanford, CA: Stanford University Press. Painter, Nell Irvin. 2010. The History of White People . New York: W. W. Norton. Pappé, Ilan, ed. 2015. Israel and South Africa: The Many Faces of Apartheid . London: Zed Books. Quave, Kylie E., Shannon M. Fie, AmySue Qing Qing Greiff, and Drew Alis Agnew. 2020. “Centering the Margins: Knowledge Production in the Introductory Archaeology Course.” Advances in Archaeological Practice 9 (2): 87–100. https://doi.org/10.1017/aap.2020.43. Rivera, Lauren A. 2015. Pedigree: How Elite Students Get Elite Jobs . Princeton, NJ: Princeton University Press. Robinson, Cedric J. 1983. Black Marxism: The Making of the Black Radical Tradition . London: Zed Press. Rosaldo, Michelle Zimbalist, and Louise Lamphere, eds. 1974. Woman, Culture, and Society . Stanford, CA: Stanford University Press. Runestad, Pamela. 2017. “Time to ‘Study In.’” Anthropology News 58 (1): e299–e302. https://doi.org/10.1111/AN.319. Sacks, Karen Brodkin. 1989. “Toward a Unified Theory of Class, Race, and Gender.” American Ethnologist 16 (3): 534–550. https://www.jstor.org/stable/645273. Spencer, Herbert. 1864–1867. The Principles of Biology . 2 vols. London: William and Norgate. Weber, Max. 2010. “The Distribution of Power within the Community: Classes, Stände, Parties.” Translated by Dagmar Waters, Tony Waters, Elisabeth Hahnke, Maren Lippke, Eva Ludwig-Glück, Daniel Mai, Nina Ritzi-Messner, Christina Veldhoen, and Lucas Fassnacht. Journal of Classical Sociology 10 (2): 137–152. https://doi.org/10.1177/1468795X10361546. Willen, Sarah S., Colleen C. Walsh, and Abigail Fisher Williamson. 2021. “Visualizing Health Equity: Qualitative Perspectives on the Value and Limits of Equity Images.” Health Education & Behavior 48 (5): 595–603. https://doi.org/10.1177/1090198121994520 Willis, William S., Jr. 1972. “Skeletons in the Anthropological Closet.” In Reinventing Anthropology , edited by Dell Hymes, 121–152. New York: Pantheon Books. decolonizing anthropology an approach to anthropology that emphasizes the responsibility of anthropologists to work for the enhancement and empowerment of those most alienated and dispossessed.", "section": "Studying In: Addressing Inequities within Anthropology", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Refugees are people who have been forced out of their homelands for various reasons. This is a camp in Haiti that arose after the 2010 earthquake. An estimated 1.5 million people were displaced after this catastrophic event. (credit: “Military Relief Efforts in Haiti After Devastating” by Fred W. Baker III/Wikimedia Commons, Public Domain) The word migration is likely to bring to mind a stereotype familiar to American culture: people voluntarily coming into another country in search of work and other opportunities. Yet this is only one aspect of the meaning of migration as understood by anthropologists. Migration , put simply, is movement from one place to another that reestablishes a household, either permanently or temporarily. Examples of migration include seasonal movements in search of work, temporary movements due to a crisis or local challenges, transnational movements from one nation to another, and even occasional moves from one household to another over a lifetime (sometimes referred to as internal versus external migration ). Migrants , by extension, are simply people who move. Other than those relatively few people who are living in the same house they were born into, we are all migrants of one sort or another. Within this larger category of migrants, immigrants are individuals who move permanently from one country (where they are referred to as emigrants ) to another country (where they are called immigrants ). The human species, along with our ancestors, has practiced migration from our earliest origins. It is part of who we are. Most living species migrate in some way, but humans move more widely than other species and modify the landscape the most through their movements. Human migration impacts the world in innumerable ways. immigrant an individual who moves permanently from one country to another. migrant a person who moves from their place of origin to reestablish a household. migration movement from one place to another that reestablishes a household, whether temporarily or permanently.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Peopling of the World Learning Outcomes By the end of this section, you will be able to: Describe the early migration patterns of the genus Homo . Distinguish the primary controversies in the peopling of America theories. Identify major pre-Clovis sites in the United States. Early Hominin Migrations Human species were migratory from the beginning, moving as small populations of gatherers and hunters within eastern and southern Africa. By following game and the availability of seasonal vegetation from place to place, these small groups of nomads learned about their landscape, interacted with each other, and met their subsistence needs. Their daily needs came through interaction with a changing environment. With the emergence of Homo erectus around 1.89 million years BP (before the present), hominins expanded their territories and began to exhibit increasing control over their environment and an ability to adapt, evidenced by the development of new subsistence systems, including cultivation, pastoralism, and agriculture, and an upsurge in migration within Africa and, eventually, into Asia and Europe. This expansion into new geographical regions was a hallmark of the later human species. There are several theories on possible migratory sequences within and beyond the African continent. One possibility is that by 1.75 million years ago, Homo ergaster had begun migrating out of Africa, moving northward into Eurasia. Another theory argues that an earlier hominin species, either australopithecine or an early as-yet-unknown species of the genus Homo , migrated out of Africa around 2 million years ago, eventually evolving into the population of Dmanisi hominins who were settled in eastern Europe by 1.85 million years ago, possibly representing another link between H. erectus and H. ergaster . Although settlement dates are currently being retested and reexamined for precision (Matsu’ura et al. 2020), it is known that between 1.3 and 1.6 million years ago, H. erectus settled on Java, an island that is now part of Indonesia. They likely traveled there by a land route, as seas were lower during the Pleistocene Ice Age (approximately 2.588 million–11,700 years ago), allowing for more passage through interior coastal routes. (For more on early human migrations, see The Genus Homo Homo and the Emergence of Us .) Regardless of the specific time frame and migration pattern, it is well established that there was gene flow between various hominin populations, which indicates that there were migration and exchange. With the migration of these early hominin populations, cultural practices and improvements in toolmaking spread as well. Wherever humans traveled, they carried with them their traditions, intermingling and reproducing both physically and culturally. Controversies Surrounding the Peopling of the Americas Current evidence points to the emergence of the genus Homo in Africa. From these beginnings, human populations began moving toward the global north, east, and south in migratory waves. Motivations for these migrations included animal movements, overcrowding and resource scarcity, and, likely, curiosity and adventure. The movement into the Western Hemisphere, into North and South America, occurred significantly later than migrations into Europe and Asia; how much later is a question of enormous controversy today. How did the first peoples make their way to the Americas? When did they first arrive, and how did they migrate within these vast continents? The available evidence is inconclusive, leaving us with one of the biggest enigmas in human evolution. While there is some debate on whether earlier human species migrated into the Americas, the evidence we have today points to members of the species Homo sapiens being the earliest humans to do so. At this point, there is no evidence of any earlier hominin species in either North or South America. The Western Hemisphere was wholly settled by migrants coming from other continents. There are many theories regarding the first human migration into the Western Hemisphere. Because of changing global climate conditions and the retreat of glaciers toward the end of the Pleistocene epoch, new lands opened to migrating animals and the humans who were likely hunting them (Wooller et al. 2018). As always, because of limited and ambiguous artifact and fossil findings, the primary pieces of evidence are open to multiple interpretations. Upon examining the range of theories, two primary arguments are apparent. Both of these arguments are backed by supporting evidence, and both rely on migratory patterns of H. sapiens in the Americas that have been definitively established. While both migration theories are valid, the question that remains open to argument is which came first, coastal or interior migration? The interior route , also called the Bering Strait theory , is the best-known and most accepted theory for the first human migration into the Americas. The foundation of this theory is the Beringia “land bridge,” which connected northeast Siberia and what is now Alaska when sea levels were lower due to glacial ice formation on the continents. This theory proposes that the earliest human habitants of the Americas crossed this marshy land on foot, most likely beginning around 15,000 years ago based on artifacts and dating sequences. The Beringia land bridge was alternately exposed and submerged multiple times over the earth’s history. According to the interior route theory, the earliest humans crossed this marshy land in pursuit of migratory herds of mammals and then proceeded to filter southward, splitting into multiple groups, some of which penetrated into the interior of North America as they continued to move east and south. The interior route theory argues that a northeastern Siberian population of hunters first entered the Americas on foot from Beringia following migrating herds, while the coastal route theory argues that the earliest migrants followed fish and sea animals by boat along the Pacific coast of the Western Hemisphere. Although the precise date for the earliest migrations is debated, it is estimated to be between 15,000 and 18,000 years ago. (credit: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The coastal route is also based on the migration of a northeastern Siberian population into the Western Hemisphere, but by boat rather than on foot. This theory, sometimes called the kelp highway hypothesis , proposes that the earliest migratory populations followed the continental coastline southward, subsisting on kelp, fish, shellfish, birds, and sea mammals. Research by archaeologist Jon Erlandson (Erlandson et al. 2007; Ocean Wise 2017) suggests that migrants may have followed these food sources all along the continental shelf, a shallow sea area near the shore. Some believe that they eventually reached as far south as Chile, in South America, before breaking into groups and penetrating the interior lands. Each theory presents its own probabilities and problems in relation to dating sequences and artifacts, and there were possibly multiple early routes for the peopling the Americas. Scientific research does agree on some known facts, however. Genetic sequencing shows continuity between the earliest Americans and populations in northeastern Siberia that indicates the earliest inhabitants of the Americas arrived no more than 25,000 years ago, making the Americas the most recent continental habitation (outside of Antarctica). Humans were already inhabiting Australia by the time other humans first arrived in the Americas. Archaeological sites in the Americas present fascinating evidence of early human migrations, with the dating sequences continually being retested and revised. Based on some of the early archaeological evidence, scientists had believed that the first American inhabitants were part of what is known as the Clovis culture , identified with a leaf-shaped projectile point used in hunting. As excavations have continued, though, there is growing indication of an extensive pre-Clovis culture , evidenced by a pre-Clovis technology based on gathering, hunting, and fishing, with dates extending back further than 13,200 years before present. Pre-Clovis projectile points are smaller, less standardized, and less worked (flaked), indicating a less advanced tool production. Many pre-Clovis sites are located below the Clovis period occupation. As archaeologists have continued excavations, the dates for earliest occupation continue to be pushed backward. Clovis points from the Virginia Aquarium and Marine Science Center. Clovis points are long, leaf-shaped points that are bifacial, or flaked on both sides. (credit: “Virginia Aquarium & Marine Science Center Arrowheads Clovis Point Stone Tools” by C Watts/flickr, CC BY 2.0) Why so much debate about the settling of the Americas? There are various reasons for the difficulties in establishing settlement dates. The Bering land bridge was periodically exposed and submerged under water during periods of glacial growth and retreat. Using core samples obtained by drilling down into the shallow sea floor, archaeologists have found evidence of large mammals and even fluted points (hunting tools) in and around the Aleutian Islands, through which the land bridge would have crossed. Establishing and cross-checking dates, though, has been difficult because most evidence is now submerged. This is a challenge also for the coastal route theory, as coastlines have receded since the end of the Pleistocene, and encampments would have likely been small, possibly temporary sites. Many sites are likely now submerged offshore (Gruhn 2020). Among the best-known pre-Clovis sites are the following: Monte Verde Site , Chile. This is one of the most studied pre-Clovis sites. An extensive array of artifacts has been found at Monte Verde, including hearths, wooden and stone tools, animal bones, and even human footprints. The dates assigned to these artifacts, as early as 16,000 BP, put this site within the range of pre-Clovis dates seen in North America. Debra L. Friedkin Site , Texas. This pre-Clovis site has a dating sequence of 13,500 to 15,500 BP. A wide range of pre-Clovis tools have been found here, including partially flaked tools, blades, and scrapers. Cactus Hill Site , Virginia. A well-document Clovis site has been identified at Cactus Hill, but below this level of artifacts, there is evidence of pre-Clovis projectile points. Although controversial, these points have possible dating sequences of 18,000–22,000 BP. A pre-Clovis archaeological site in Sussex County, Virginia, in the United States (credit: “Nottoway Archaeological Site Entrance” by Nyttend/Wikimedia Commons, Public Domain) Based on this new evidence, scientists now agree that the Americas were first settled by a pre-Clovis population. How they arrived, when they arrived, what movements they made, and in what order they made them are major archaeological questions today. What we can conclude is that human populations continued to migrate after peopling the Americas.", "section": "Peopling of the World", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Early Global Movements and Cultural Hybridity Learning Outcomes By the end of this section, you will be able to: Explain the ways that globalization connects local populations through the phenomena of flows. Describe the roles that colonialism played in shifting populations between colonizing and colonized nations. Distinguish between diaspora, transnationalism, and cultural hybridity. Explain the contemporary forces of postcolonialism and forced migration. Colonialism and Migration as Global Forces The global movement that characterizes our current period in history is not preordained. The volatile and powerful nature of multinational cultural change and economic exploitation associated with this global movement is connected with specific historical forces. One of the most consequential early global forces was colonialism , an exploitative relationship between state societies in which one has political dominance over the other, primarily for economic advantage. Colonialism did not only affect the countries enmeshed in colonial relationships; it also established world alliances and enduring social, political, and economic changes. Some scholars date the earliest emergence of colonialism to the city-states of Mesopotamia in western Asia, an area occupied today by parts of Iran , Iraq , Turkey , Kuwait , and Syria . Evidence indicates that by around 3500 BCE, the northern and southern regions were connected by exploitative trade relationships and intense and prolonged warfare. US archaeologists Guillermo Algaze and Clemens Reichel (Algaze 2013; Wilford 2007), in excavations at Uruk in ancient Mesopotamia, have unearthed trade goods that indicate a vast exchange network involving items such as pottery, jewelry, metalwork, and even wine. There is also a pattern of destruction and warfare at Uruk and, more recently, at Tell Hamoukar in modern-day Syria, which indicates the movement of populations as well as trade goods. Tell Hamoukar was a major site of obsidian tool and blade manufacture as early as 4500 BCE, with raw materials coming from as far away as modern-day Turkey, some 100 miles to the north. At Tell Hamoukar, collapsed walls and a large number of penetrating clay bullets, likely delivered by slingshots, are some of the oldest known artifacts of organized warfare. The archaeological sites indicate that there was armed conflict and that groups of people were moving between locations. The patterns of destruction across these various sites suggest that populations were most likely vying for control over resources and production sites, similar to conflicts associated with more modern colonialism, which also were primarily characterized by a drive for political control based on access to raw materials and resources. After these early beginnings, colonialism spread, including the development of European and Mediterranean settlements in northern Africa. The Phoenicians , from what is now modern-day Lebanon, established the city of Carthage in what is now Tunisia to facilitate and control trade throughout the Mediterranean area. Carthage remained an important hub for trade from its founding in the 9th century BCE until it was destroyed by the Roman Empire in 146 BCE. In what is now modern-day Egypt, the Macedonian king Alexander the Great founded the city of Alexandria in 331 BCE. Alexandria rapidly grew in economic and political influence because of its control over Mediterranean trade routes; in the Greek confederation of city-states, only Rome was more powerful. As colonizing nations consolidated their political and economic influence, they increasingly sought to expand their access to the natural resources and human labor of other societies. Colonial occupations were repeatedly marked by violence. By the end of the 15th century, when Christopher Columbus began the first of what would be four voyages (1492–1504) to the New World, many of the nations of Europe were aggressively seeking new territories, establishing what is now called the Age of Discovery (1500s–1700s). During this period, Spain, Portugal, the Netherlands, Belgium, France, Germany, and Great Britain all funded sea and land voyages to seek out new territories in order to expand their global influence. The modern-day European world order of developed and developing nations emerged from the colonialism begun during of the Age of Discovery. Across the globe, generations of Indigenous peoples contested European colonizers. Often fighting with less effective weaponry; having little or no immunity to Old World diseases such as smallpox, measles, typhus, and cholera, which decimated their populations; and balancing efforts to defend their homelands and families with the desperate need to maintain agricultural production to fend off famines, Indigenous people frequently migrated from one area to another, leaving behind land and crops. In the Andean area, forasteros , a group of Indigenous peoples, became nomadic to flee oppression. Declaring ownership and control over lands and people who had few effective means to challenge them, European nations quickly established colonies throughout North and South America, the Caribbean, Africa, and Asia. Politically, most colonies were beset with conflict and periodic uprisings, such as the Great Rebellion of Tupac Amaru II from 1780 to 1783 in Cuzco, Peru, during which Andean peoples came very close to toppling the Spanish government after almost 250 years of oppression. During this period, there also emerged new sociocultural institutions and rituals blending colonizing and Indigenous cultures as aspects such as food and religious beliefs became entangled (Carballo 2020). This blending is referred to as creolization . Culturally, the dismantling of Indigenous languages, religions, and other institutions continues to be devastating. Late European colonialism of the 18th to the 20th century, sometimes called classic colonialism , was a period in which the institutions of control and extraction were standardized, especially in Africa. This period of colonialism is characterized by very specific goals, policies, and attitudes. The colonial relationship was symbolically depicted as one of benevolence between the “mother country” and the colony, with people such as missionaries, colonial advisors, settlers, businesspeople, and teachers all working together to promote economic development and Europeanization in the colony. The official justification for these practices was that European Christians had a “White man’s burden” to spread their civilization worldwide. Beneath this rhetoric, however, the goals were power and control. Colonialism was an extractive and exploitative economic venture with a social structure designed to dehumanize Indigenous peoples. Raw materials were extracted from the colonies using low-paid Indigenous labor and sent to European nations, where they were transformed into goods that were then sold back to the colony and its Indigenous peoples at an enormous profit for the Europeans. Indigenous cultures were severely damaged or destroyed. Frequently, Indigenous peoples were removed from their homelands and settled on reservations or within territories that were of less use to the Europeans, freeing up large swaths of land for European immigrants. Many young Indigenous people, handpicked for their skills and aptitude, were sent to European countries to be educated and acculturated as future leaders in the colonies. The intention of this preparatory system was to disrupt the influence of Indigenous cultures and create enduring pro-European institutions within the colonies. It also served to divide the Indigenous populations, further weakening them. In other cases, Indigenous peoples were bought, sold, and traded as commodities, moving them away from their languages, cultures, and families. From the 16th to the 19th century, it is estimated that between 10 and 12 million Africans were enslaved and transported from Africa to the Americas in the transatlantic slave trade . The massive scale of this forced migration changed the world ethnically, culturally, linguistically, and economically. Untold millions of Africans died in the enslavement process, fracturing families, communities, and societies. While the movement and mixing of so many different peoples resulted in expansive cultural innovation in areas such as languages, foods, religions, and rituals, the cost of this massive displacement in human lives and human potential was incalculably high, leaving scars and challenges that continue today. These policies, of removing peoples from their homelands and of sending young people far from home for schooling and enculturation, are just two examples of the ways in which colonialism forced people onto new lands and into new cultures. As colonies grew into empires, with many different nations under the control of a single European nation—such as Great Britain, which had colonies in places as far apart as Kenya, Australia, and Canada—there was a global movement of people and cultures across continents. Colonization also affected those living in European countries, influencing contemporary identities in many ways. The area of modern-day Poland was partitioned several times by neighboring nation-states and was colonized by both Germany and Russia during World War II and its aftermath. In this eastern European nation, the impacts of migration and change continue to affect the way Poland sees itself today. The various movements of peoples and cultures have left Poland uneasy with its own history and national identity. In her research on culture-focused museums in Poland, sociocultural anthropologist and curator Erica Lehrer (2020) studies the contested narratives within the legacies of collecting, categorizing, and displaying objects in postcolonial countries where prior migrations have changed the nature of national identity. The Museum of the History of Polish Jews opened in Warsaw, Poland, in 2005. It focuses on Jewish history in Poland, with a mission of promoting openness, tolerance, and truth. (credit: “Warszawa - Muzeum Historii Żydów Polskich POLIN” by Fred Romero/flickr, CC BY 2.0) In its history, Poland has been both the colonizing nation (in regard to neighboring states in eastern Europe) and the colonized (in regard to its long history as a colony of Russia and its later occupation during World War II). Depleted by wars, out-migration, territorial shifts, and genocide, Poland’s contemporary population is far more homogeneous by race, class, and religion than it was prior to World War II. Museum depictions of Poland’s culture and national identity have created a host of what Lehrer calls “awkward objects” (2020, 290) that hark back to earlier, and sometimes darker, historical periods. These include museums objects made by non-Jewish Poles representing their memory and imagination of Jews in the pre–World War II era, some depicting ambiguous racial stereotypes , as well as hybrid objects that could have been artifacts of either Jewish or Catholic communities but are depicted by object origin and associated with only one of those communities. One example is a collection of children’s noisemakers, which were depicted in the museum as artifacts from a Catholic Polish community without noting that Jewish Polish children would have played with similar toys at that time. And how should a Polish cultural museum handle darker awkward artifacts, such as carvings of a gas chamber at Auschwitz? The roles and responsibilities that contemporary societies have in telling these parts of their history are relevant to museums and cultural institutions around the globe. Museums often house artifacts of colonialism. Think about cultural and historical museums that you have visited. How did they tell the story of the darker parts of history? Are certain historical periods overlooked or underdeveloped? Lehrer calls for pluralist contextualization , meaning that museums should not just include the cultural origins of the object but also indicate how they were obtained and how they connect with other cultural communities. Citing a need for ethical curatorial principles, she says: Strategic curatorial approaches can frame objects to function as a source of ethical inspiration and empathy, spurring people to acknowledge and address those histories that are un chosen by national or communal authorities. . . . Decolonising the museum here is not about restitution. These “awkward objects” are most valuable to us curated in ongoing, caring conversation wherever historical injuries still resonate, reminding us that we are tied together by our wounds. (307, 311) Postcolonialism, Indigenous Identities, and Forced Migration Although colonialism as a direct politico-economic policy is usually associated with earlier historical periods, it continues to have effects on the world today. The enduring politico-economic relationships established by colonialism have left behind concentrations of capital and technology, wealth and privilege in the former colonizing countries, mainly in Europe, as well as inequality, racism, and violence in the relationships between these nations and their colonies. These aftereffects of colonial relationships are referred to as postcolonialism . As independence movements began to take hold in the early 20th century, former colonies found themselves depleted of resources and competing against European countries whose growth came from their own demise. Today, postcolonialism is a significant topic for anthropologists whose research focuses on the effects of colonialism, marginalization , and intersectionality , where race, gender, and class identities come together. One of the most prominent consequences of colonialism is the inequality between the so-called developed countries and the developing or underdeveloped ones. Following World War II and the rise of a new world order, many political and economic theories began to distinguish between “first world” countries, which had the highest GDPs (gross domestic products) based on the total value of all goods and services produced in a country, and those with the lowest GDPs, referred to as “third world” countries. The “second world” tier was typically reserved for those countries with a socialist or communist government. In this tiered and hierarchical system, the former colonizers were always within the top tier and their former colonies in the lowest ranks. Much of this inequality was due to the exploitation of resources and the brain drain migration of Indigenous peoples, in which the wealthiest and most educated members of Indigenous societies relocated to the former colonizing nation for education and employment, many leaving their homelands permanently. This out-migration devastated many Indigenous families and enhanced the productive capacities of richer nations. Many former colonizing countries thus continued to exert influence over their former dependencies even after independence. This relationship of unequal influence is referred to as neocolonialism . Many Indigenous societies are involved in neocolonial relationships (meaning relationships that are structured to make one country dependent on another) with the nation-states in which they live, a situation sometimes referred to as second colonialism (Gandhi 2001). Indigenous groups continue to be uprooted, and sometimes forcibly removed, from their homelands and moved onto reservations, into “model villages,” or simply into urban areas. This type of forced migration , an involuntary or coerced removal from a people’s homeland, can result in poverty, alienation, and loss of cultural identity . Native peoples in the United States have been subjected to repeated waves of forced migration since the arrival of Europeans. Many societies were forced to move multiple times as White settlers pushed them onto more western and less fertile lands. All of this forced dislocation has had significant cultural and economic consequences. As Native Americans Richard Meyers (Oglala Lakota) and Ernest Weston Jr. (Oglala Sioux) write: Tragedies of many kinds are often all too common for many people who reside on our reservation. Endemic poverty creates endless problems for community members, from violent dog packs to pervasive alcoholism and diabetes. Dismal statistics paint our reservation as the “Third World” right here in the United States. The numbers are hard to pin down but always dreary: Unemployment is sometimes listed as being as high as 85–95 percent, and more than 90 percent of the population lives below the federal poverty line. (Meyers and Weston 2020) While many Indigenous peoples in Western nations face unique problems of Western historical paralysis , in which the nation-state extols the virtues of Indigenous people at a specific time in its history with little or no regard for contemporary Indigenous identities, some Indigenous peoples are adapting their cultural traditions to urban areas where they have been forced to migrate. In her study of Indigenous Manchineri youth in the Brazilian state of Acre, Finnish anthropologist Pirjo Virtanen (2006) found a cultural revival of traditional puberty rituals for young Manchineri adults. The Manchineri are a lowland Amazonian people who traditionally practiced slash-and-burn cultivation. Over the past century, their access to farmland has become increasingly limited, leaving them unable to make a living in the forest. Many young Manchineri have migrated from their traditional homelands to live in urban areas among other lowland Amazonian Indigenous peoples. These Manchineri sought to strengthen their cultural identity by reviving and adapting certain traditional rituals, such as the ayahuasca ceremony , in which pubescent boys ingest a hallucinogenic substance as a spiritual experience, and a menstruation ceremony in which girls are instructed by their elders on their new status as adults. Few Manchineri remain on their ancestral homelands, and many of these cultural traditions were in danger of dying out. In Acre, the urban Manchineri found that being an “Indigenous person” had social value with Westerners who appreciated traditional Indigenous cultures. Much of this growth in appreciation came as a result of the rapid decline of Indigenous cultures and populations and the increasing urbanization and alienation of people from rural environments. The younger generation of Manchineri began to appreciate their traditional cultural roots and see the value of maintaining their specific cultural identity, rather than being “lumped” into a broad category of Indigenous persons, while living in an urban environment. By marking themselves as Manchineri, they were able to leverage a higher social standing. This process of using identity as a way to gain status is an example of symbolic capital , or the use of nonmonetary resources to gain social prestige. Maintaining a specific Indigenous identity within Western nation-states is challenging, as the numbers of Indigenous peoples continue to decline and migration into urban areas creates a mixture of cultures that frequently results in the loss of traditional identities. Indigenous identity is complex and not monolithic, as specific cultural groups have distinct identities; no single spokesperson can realistically represent all Indigenous people. Recently, pan-Indigenous activist movements have developed worldwide to increase the visibility and strengthen the voices of Indigenous peoples. These global movements of people and ideas make it possible for Indigenous people to form alliances for change. Globalization in Motion As the connections and interactions between communities, states, countries, and continents have intensified, a global network of linked forces and institutions known as globalization has emerged. Unlike earlier worldwide movements, globalization tends to be decentered, meaning it is not controlled by any particular nation-state or cultural group. Emerging from earlier worldwide historical movements pertaining to exploration, colonialism, and capitalism, globalization has exceeded them with its reach and has created a worldwide interdependence far more intense and transformative on a global scale than anything ever before seen in human history. It involves all aspects of our lives (e.g., political, economic, social, and religious), and it has no center or origin point. Changes and interactions occur within a dynamic and seemingly arbitrary field of connections among people, ideas, countries, and technologies. Globalization causes the movement of people, resources, and ideas in various ways. Not only do people migrate for work and travel, but they also share ideas and technology, resulting in cultures and populations that are no longer restricted and contained by geographical boundaries. These globalized cultures and networks have changed the way that anthropologists think about culture. Culture is no longer solely attached to a local place and community; rather, it is diffuse and possibly widespread, due to the complicating forces of globalization. One of the early scholars of globalization is Indian American anthropologist Arjun Appadurai . His research is grounded in the idea of a new global cultural economy that traffics in multiple simultaneous flows of material goods, ideas, images, and people, reminding us that global movements and transformations affect every one, whether or not we actually change the nation or community in which we live. Within globalization, local and global communities are deeply intertwined in fluid and dynamic relationships of mutual influence. These interconnections sometimes lead to unpredictable outcomes. Appadurai (1990) identifies five different global cultural flows, tagging each with the suffix - scapes to call attention to the fluidity and multiple ways of viewing these flows: Ethnoscapes : the flow of new ideas and new ways of living created by the ongoing migration of people—whether tourists, immigrants, refugees, exiles, guest workers, or other groups—across cultures and borders. As just one example, the descendants of the Zainichi Koreans who immigrated to Japan following World War II have established Korean schools and a Korean university in Japan. Technoscapes : the worldwide movement of technology, both equipment and information, as well as the multinational origins and manufacturing process of technology along a global assembly line. One example is an iPhone, which has component parts and a manufacturing process that involves many different places. Financescapes : the movement of money and capital through currency markets, national stock exchanges, and commodity speculations. The funds of even the most local investors are intermingled and invested on the global market. Mediascapes : the various types of media representations that influence the way we experience our world. These are “image-centered, narrative-based . . . strips of reality” (Appadurai 1990, 299) diffused through digital media, magazines, television, and film, introducing characters and plots across cultural settings and meanings. Ideoscapes : the flow and interaction of ideas and ideologies. Appadurai describes ideoscapes as “terminological kaleidoscopes” (1990, 301) in which words and ideas carrying political and ideological meanings are trafficked across cultures. In this process, their meanings become increasingly amorphous and obscured. One example is the political change that resulted from a reawakening of democratic movements in the Middle East in the 2010s, inspiring the Arab Spring, a series of anti-government protests and rebellions. Anti-government protests in Tunisia spilled over into Egypt, Libya, Yemen, Syria, and Bahrain, toppling government leaders and triggering social violence. Appadurai speaks of these -scapes as primary agencies and intersections within the global cultural economy; in other words, each of these -scapes creates change through interactions with others. In this fluid exchange of ideas, material goods, and persons, the -scapes interact, overlap, and contradict one another as cultures themselves come to be commodities produced and consumed by the global community. Semiconductor chips are currently made in only a few countries. The United States imports these chips for use in automobiles, medical technology, and computers. In 2021, facing a worldwide shortage of computer chips, President Joe Biden pledged funding to support the creation of chip manufacturers in the United States. (credit: “EPROM-EPLD ALTERA EP910” by yellowcloud/flickr, CC BY 2.0) There are multiple perspectives for understanding globalization. It can be interpreted as an imperial force in which certain countries and cultures have dominance over others, with their images, capital, and ideas predominating in the global marketplace. Indian anthropologist Sekh Mondal aptly says, “The people earlier had been the creators and creatures of culture, but today the corporate bodies and media have emerged as the creators and carriers of cultural attributes” (2007, 94). Globalization can also be viewed as an open-access community in which governments and corporations have lost the ability to control and isolate populations, ultimately allowing for more cultural diversity and equality. Globalization today transforms virtually everything about anthropology—its subject matter, the locales for research, its understanding of the concept of culture, and the goals that anthropologists bring to their work. Within this context of great change, anthropology is uniquely capable of making sense of this new global community and its rapidly shifting beliefs and behaviors. Diaspora, Transnationalism, and Cultural Hybridity Migration impacts individuals and cultures in diverse ways. It prompts the dissemination and diffusion of cultural ideas and artifacts from one cultural context to another, the development of new cultural forms and practices, and hybridity, in which cultures intermingle in unpredictable ways. Cultural hybridity refers to the exchange and innovation of ideas and artifacts between cultures as a product of migration and globalization. It is a commingling of different cultural elements resulting from the interactions of people and their ideas. While individuals and small groups convey their cultures as they migrate, the movement and dispersal of large ethnic groups can bring about far more rapid structural changes. This large-scale movement, which might be caused by warfare, institutionalized violence, or opportunities (most commonly education and employment), is called diaspora . Related to diaspora is transnationalism , the construction of social, economic, and political networks that originate in one country and then cross or transcend nation-state boundaries. While diaspora and transnationalism can both be related to large-scale migration, transnationalism also refers to the cultural and political projects of a nation-state as it spreads globally (Kearney 1995). One example of this is transnational corporations, which are anchored in one country with satellites and subsidiaries in others. Diasporic communities typically have a sense of identity that has been shaped or transformed by the migration experience. They are characterized by cultural hybridity and often take these new cultural forms with them into their new homelands, generating cultural revival. The African diaspora resulting from the transatlantic slave trade brought a wide array of cultural elements to the United States, including new foods (such as okra and yams), new instruments and musical forms (such as the drums, the banjo, and the development of African slave spirituals), and new language (words such as jazz , gumbo , and tilapia ). Besides the common experience of being formed through migration, diasporic communities share other characteristics. These include a collective memory about the ancestral homeland; a social connection to the country of origin, typically through family still living there; a strong identity as a distinct group; and fictive kinship with diasporic members in other countries (“Migration Data Relevant” 2021). Diasporic communities are inherently political (Werbner 2001), as their movements connect nation-states in a variety of ways—economically, socially, religiously, and politically. Some of the best-known diasporas are the African diaspora that was driven by the transatlantic slave trade from the 15th to the 19th century, the Irish diaspora during Ireland’s Great Famine of the mid-1800s, and the Jewish diaspora , which began under the Roman Empire and continued through the establishment of Israel as a Jewish homeland in 1948. Today, India is the source of the largest diaspora in history, with some 18 million Indians living outside of their country of origin. These mass movements, which are becoming more common as a result of globalization, affect cultures worldwide. An immigrant solidarity rally in Minneapolis, Minnesota, in 2017. About 3,000 people gathered to protest against President Trump’s immigration ban and the increasing militarization of the U.S-Mexico border. (credit: “Solidarity March with Immigrants & Refugees” by Fibonacci Blue/Wikimedia Commons, CC BY 2.0) American anthropologist and South Asian scholar Ritty Lukose has done fieldwork in India and in U.S. immigrant communities exploring diaspora and postcolonial identities. In her research with Indian diasporic communities in the United States (2007), she focused on ways in which education could better connect with immigrant families, thus strengthening both. The percentage of children in the United States population who are immigrant children, defined as those who have at least one foreign-born parent, increased by 51 percent between 1994 and 2017 (Child Trends 2018). Immigrant families constitute a significant portion of the population within American schools today. Based on her research, Lukose argues that there needs to be a realignment in American education that better acknowledges immigrant identities. As an example of the urgency of this need, she cites the 2005–2006 California textbook controversy , in which the Hindu American Foundation (HAF) sued the California State Board of Education for using sixth-grade social studies textbooks that contained what the HAF and many Indian parents deemed to be biased and discriminatory views of Hinduism. Lukose advises that instead of presenting the migrant experience as fractured between voluntary and involuntary immigrants or focusing on conflict between immigrants and other minorities (such as racial minorities), American educational pedagogy, curricula, and practices should present identity formation itself as one of the richest experiences of being a citizen. An educational approach that emphasizes immigrant identity, not as a hybrid of pieces and parts, but as a legitimate and practical way of functioning within a globalized world could better prepare all students in the United States for a future in which we focus on what links us together rather than what divides us. cultural hybridity the exchange and innovation within cultures that is a product of migration and globalization. diaspora the movement and dispersal of large ethnic groups from their homelands because of warfare, institutionalized violence, or opportunity (usually education or employment). postcolonialism enduring politico-economic relationships between former colonizers and their former colonies that continue to have negative effects on the former colonies after independence. transnationalism the construction of social, economic, and political networks that originate in one country and then cross or transcend nation-state boundaries.", "section": "Early Global Movements and Cultural Hybridity", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Peasantry and Urbanization Learning Outcomes By the end of this section, you will be able to: Explain how industrialization and internal migration are connected to the creation of a peasant class. Articulate the characteristics of peasantry from an anthropological perspective. Describe cultural changes associated with internal migration. Peasantry in Anthropology Peasants , a rural, subsistence-based agricultural class with limited landholdings, are the product of both urban development and rural–urban migration. Prior to the emergence of capitalism and the industrial state, agriculturalists were the most populous class within state societies. The development of the industrial economy prompted an ongoing process of internal migration , the domestic movement of people from rural to urban areas for economic opportunities, education, and employment. For many peasants, internal migration was used to meet immediate family needs, whether taking agricultural goods to urban markets—which may be weekly, monthly, or seasonal—or temporarily moving to work for cash at agricultural tasks for larger farms and companies. The coffee, sugar, and fruit industries, for example, absorbed many small, rural agriculturalists whose families needed money. Cultural anthropologist Robert Redfield (1956) was one of the first anthropologists to identify peasants as a distinct social group, referring to their local identity and culture as a “little tradition” (70), meaning a culture that is less unified and involves a changing mixture of customs based on oral traditions. He identified the primary characteristics of peasant cultures as attachment to the land from which they make a living, dependence on urban areas that control the value of their small surplus, and traditionalism in regard to social practices. Later studies built on these earlier ideas about peasantry. Eric Wolf (1966) referred to peasant groups as “ closed corporate communities ” (86), meaning communities that are more detached from urban centers and less prone to cultural changes as a result of migration. He also saw them as distinct from farmers in that they produce a more limited surplus and are involved in more asymmetrical (i.e., exploitative) market transactions. Instead of being simple subsistence farmers, peasants are aware of the wider capital markets and are directly affected by the fluctuating value of their products, even though they have no power over these forces or control over the profit they earn. Sometimes, frustration over this sense of powerlessness leads to attempts to affect political change. In 1994, on the same day that the North American Free Trade Agreement, or NAFTA , came into effect between the United States, Mexico, and Canada, the Zapatista rebellion broke out in Chiapas, Mexico. This movement was led by Indigenous peasants who implicitly understood that the treaty, which made it possible for agricultural products to move among the United States, Mexico, and Canada without tariffs, meant that they could no longer sell their small agricultural surpluses for a living wage. Now, they would be competing with giant corporations that were able to flood local markets with cheaper products. As the reach of globalization continues to expand, connecting local communities ever more tightly with global forces, some scholars now speak of a post-peasant class. This term is used to refer to rural cultivators who migrate to urban areas but retain many of the cultural attributes of their ancestral traditions. These might include a patriarchal family structure, a tendency to favor local traditions over global innovations, or a more conservative political outlook (see Buzalka 2008). Internal Migration: Rural-Urban Continuum Indian anthropologist Tame Ramya (2017) studied the push and pull factors—a phrase used to describe circumstances and forces that push migrants away from their homeland and pull them toward a new location—affecting the internal migration of different hill tribes of Kurung Kumey, a district in the state of Arunachal Pradesh, India, to the foothills region of the neighboring district of Papum Pare. Although there were several ethnic groups involved in this study, the majority of migrants to Papum Pare are ethnically Nyishi . The Nyishi, the largest ethnic group in their district, are rural cultivators who raise paddy rice, supplemented with cucumbers and maize. Traditionally, they practiced polygyny and had large families with many children. Ramya’s study shows that the primary motivation for voluntary internal migration in this region is to access new economic opportunities, prompting people to move from more peripheral geographical areas to urban centers. Although the motivation for migration is primarily economic, these relocations result in a series of cultural changes. On tribal lands in the hill country of Kurung Kumey, the most common form of subsistence is jhum . This is a form of slash-and-burn cultivation that requires families to practice a semi-sedentary settlement pattern, moving occasionally when land resources are depleted. Ramya argues that this experience with periodic movement makes voluntary migration somewhat less disruptive to their lives. These are people who are accustomed to occasional relocations. Recent internal migration to the urban area of Papum Pare is motivated by various factors. A rise in local political instability, increasing intra-ethnic conflicts, and a lack of employment opportunities for those seeking hard cash “push” many people, particularly young people, to migrate to the nearby urban area of Papum Pare. People are also “pulled” by a range of employment opportunities in urban industries that are unavailable in Kurung Kumey, by relatives who have already migrated, and by increased access to educational and health facilities in the city. A Nyishi man in Arunachal Pradesh, India. The Nyishi are one of many people whose society has been deeply affected by migration from rural areas into urban centers. (credit: “Nishi Tribal Man Arunachal Pradesh – India” by Diganta Talukdar/flickr, CC BY 2.0) As with any form of migration, culture change and adaptation have been a part of the migrant experience of the people of Kurung Kumey. Among the migrants, Ramya found a set of specific cultural shifts that are common in rural–urban migration across cultures. One is an imbalance of generations, with older family members remaining in the rural hills while younger family members migrate to the city. Also evident is a change in family structure. Migrants establish urban households consisting of just the nuclear family instead of the larger extended family common in rural households, as larger families are now considered too costly to house and feed. Also typical of urban–rural migration are myriad changes in regard to food, dress, language, and alcohol consumption. Traditional curry is cooked in bamboo tubes in the hills region, but migrants in the city no longer use bamboo and do not consume as much boiled food as their rural relatives. Instead, the urban diet is marked by fast food and the use of larger quantities of cooking oil. In addition, Ramya found higher alcohol consumption and addiction among the migrants. Migrants have also begun to abandon the traditional dress that marks them as a tribal and non-urban people and to use their own tribal languages less frequently, preferring the more commonly spoken Hindi and official language of English. All of these changes are typical as individuals and groups move from rural to urban areas. Internal migration is the primary cause of the diminishment of cultural and linguistic diversity worldwide. internal migration the domestic movement of people from rural to urban areas. peasants a rural, subsistence-based agricultural class with limited landholdings.", "section": "Peasantry and Urbanization", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Inequality along the Margins Learning Outcomes By the end of this section, you will be able to: Identify contemporary types of migration. Describe the major migrant routes and some of the risks migrants face. Identify and give an example of circular migration. Describe the global impact of refugees. Give an example of a pandemic. Contemporary Types of Migration Because of emerging global forces of all kinds—social, economic, environmental, and political—there has been a recent rise in migration within geographical regions and across countries. Four of the most common types of contemporary migration are listed below. Each derives from different causes and is associated with different push and pull factors (Woldeab 2019). In some situations, these types of migration may overlap, such as in the aftermath of a natural disaster. Labor migration is the movement of people for the purpose of employment and/or economic stability. It may be an internal migration from one town to another within the same country of origin, or it may involve travel across countries in search of opportunities. In 2017, the United Nations International Labour Organization estimated that there were 164 million labor migrants worldwide (Global Migration Data Analysis Centre 2021). Forced migration or displacement , also called involuntary migration , is migration due to persecution, conflict, or violence and involves refugees and those seeking asylum. The UN Refugee Agency (UNHCR) estimated that as of the end of 2019, there were some 79.5 million forced migrants or displaced persons worldwide. More than two-thirds (68 percent) of those displaced persons came from just five countries: Syria, Venezuela, Afghanistan, South Sudan, and Myanmar (UNHCR 2020). One out of every 108 people was displaced in 2018 (UNHCR 2019). Forced labor , human trafficking , and modern slavery are a set of linked terms defined as the recruitment, transportation, transfer, and/or harboring of persons by means of threat or use of force or coercion for the purpose of exploitation (UN 2020). This includes sexual slavery and forced labor. As of 2016, some 25 million people were involved in forced labor and some 40.3 million in modern slavery worldwide, while an estimated 15.4 million were in forced marriages (https://www.ilo.org/global/topics/forced-labour/lang--en/index.htm). While a large proportion of the victims are women, human trafficking involves men and children as well. The Counter Trafficking Data Collaborative (https://www.ctdatacollaborative.org/) estimates that nearly 80 percent of international human trafficking journeys pass through airports and other official border control points. Environmental migration is displacement caused by natural disasters, such as earthquakes, hurricanes, or droughts. It can be permanent or temporary and is a rapidly growing area of migration due to global climate change. In 2018, 17.2 million people were displaced due to environmental conditions; by 2019, the number had risen to 24.9 million (https://www.internal-displacement.org/global-report/grid2019/). Anthropologists who study migration are often involved in multi-sited ethnographic research , exploring not only migrant populations but their communities of origin as well. Understanding the social and cultural attributes of communities of origin helps researchers gauge the level and types of adaptation caused by migration. Also, communities of origin typically remain part of migrants’ wider social networks and are vital to their well-being and success. It is not uncommon for relatives and other members of the migrants’ home communities to follow them to their new settlements and reestablish a sense of community and a set of self-help networks there. This process of serial migration from the same community of origin is known as chain migration . Labor Migration and Migrant Routes While migration, in its widest sense, is any movement that reestablishes a household, many migratory patterns are specifically associated with socioeconomic need, mainly shifting employment opportunities. Labor migration can be permanent or circular. Circular migration is a repeated pattern of movement between locations, usually mapped to the availability of work. One type of circular migration is seasonal migration , which is migratory movement that coincides with seasonal labor needs, such as planting, harvesting, service, and construction work. Some seasonal workers migrate, with or without their families, for temporary, often low-paid work. Other seasonal workers have long-term relationships with their employers and legal work permits (also called Employment Authorization Documents, or EADs, in the United States) and will return to the same work sites year after year, sometimes maintaining a joint household with other families at the work site. These individuals will often maintain a family household in their country of origin and send home remittances , or transfers of money from workers to their home countries, usually for their families. Today, one in nine people worldwide depends on remittances from migrants (Global Migration Data Analysis Centre 2021). Many people migrate in search of work and a better life without legal permits or assurance of employment. The migration journey made in search of opportunities can be filled with dangers, hardships, and even death. Some regions of the world have well-established migrant trails , which are the routes of most worldwide migration. The most congested migration routes are: the eastern Mediterranean route, with a flow of migrants from the Middle East and North Africa to Europe, crossing through Turkey; the Mediterranean Sea route, with migration from the Middle East and North Africa to Europe, across the Mediterranean Sea; the Southeast Asian route, with migrants primarily moving southward from the Asian mainland into Indonesia and Malaysia; and the Central American route, which brings migrants from South and Central America into North America. These migrant trails have a huge impact on the social, political, and economic life of all of the countries that are a part of the route, bringing both benefits and challenges. Those in the United States are most familiar with the Central American route, which begins as far south as South America and extends as far north as Canada. The most contested part of the “trail,” however, is the portion along the Rio Grande, the river that separates Mexico and the United States. In his remarkable four-field study of undocumented migrants entering the United States across the border with Mexico, The Land of Open Graves (2015), Chicano anthropologist Jason De León reveals a less visible side of undocumented migration. He describes a type of cat-and-mouse game between migrants and those attempting to stop them, resulting in widespread suffering and high human and financial costs. De León conducted a multi-sited ethnography, doing research in various locations in both Mexico and the United States and consulting various groups along the migration route, including illegal migrants and border patrol agents as well as smuggling groups and drug traffickers. Jason De León 1977- Anthropologist Dr. Jason De León (credit: Michael Wells, Undocumented Migration Project) Personal History: Jason De León is a U.S. anthropologist and Mexican-Filipino American who grew up in several cities in the United States, including McAllen, Texas, near the U.S.-Mexico border; and Long Beach, California, where he graduated from Wilson High School. He earned his bachelor’s degree in anthropology from the University of California, Los Angeles and his master’s and doctoral degrees from Pennsylvania State University. His doctoral work focused on ancient tool production and trade in the Valley of Mexico. Area of Anthropology: Although De León’s training includes a specialization in archaeology, his holistic research approach is four-field, combining archaeology with ethnographic research, physical anthropology analyses, and linguistic anthropology. His work is multi-disciplinary in nature and multi-sited, involving not just Mexico and the United States but also numerous other countries of migrant origin. His interests include undocumented migration, photo-ethnography, and human smuggling. He seeks out the stories not only of people, such as migrants and their families, smugglers, and border guards, but also of their material artifacts—the items they bring, wear, and use to survive their dangerous journeys. Accomplishments in the Field: De León is the executive director of the Undocumented Migration Project (UMP), a nonprofit organization founded in 2009 that focuses on the long-term anthropological study of clandestine movements between Latin America and the United States. UMP sponsors an educational exhibit called Hostile Terrain 94 (HT94), a pop-up participatory art project that displays the handwritten toe tags of some 3,200 migrants who have died while trying to cross the Sonoran Desert in the southwestern United States since the mid-1990s, showing the locations where each of the individuals died along their journey. It is a poignant reminder of the many dangers of migration, both human and environmental. De León received the prestigious five-year MacArthur Foundation Fellowship (2017–2022) for his work on undocumented migrants. This award, given for talent, creativity, contribution to one’s field, and potential, allows scholars to focus on future research in an area of great importance. In addition, De León’s 2015 book, The Land of the Open Graves: Living and Dying on the Migrant Trail , has received various awards and commendations. Art on the Mexican side of the wall that divides the city of Heroica Nogales in Mexico from the United States. (credit: “Wall Art in Nogales” by Jonathan McIntosh/flickr, CC BY 2.0) Importance of Their Work: Anthropologists often work in specific places and more geographically bounded settings. The research of Jason De León expands our understanding of the lives of those who migrate and the various ways that movement ties together people, places, and cultures. In his article “On Not Looking Away,” digital and multimedia advisor Arran Skinner (2019) reports on the tragic deaths of Mexican migrants Óscar Martínez Ramírez and Angie Valeria, his 23-month-old daughter, both of whom drowned and washed up on the shores of the Rio Grande. “We are choosing to ignore this evidence [of atrocity], to actively look away,” Skinner writes. But De León is not looking away. Through his research, he is bringing to light the stories of those who migrate in search of hope and better lives. As global movements become more common because of political, economic, and environmental challenges, studies such as De León’s illustrate the growing importance of migration for our species. Since 1994, the US Border Patrol has had a policy of “prevention through deterrence” that attempts to prevent undocumented migrants from reaching the U.S. border. Legal international entryways in cities such as Tucson, Arizona, and El Paso, Texas, were heavily fortified with fencing and additional patrol agents to make undocumented crossing exceptionally difficult. As a result, migrant entry points shifted away from urban areas and into more hostile terrain, such as the Sonoran Desert region of Arizona. While this has not significantly lowered the frequency of these crossings, it has made the journey much more dangerous and far less visible to residential populations and humanitarian groups. In addition to the threat of harsh and rugged landscapes, there are the dangers of extreme weather, dehydration, bandits, and even wild animals. De León concludes, “The Border Patrol has intentionally set the stage so that other actants [agents of deterrence] can do most of the brutal work” (61). During his study, De León and his team located the body of Maricela Zhagüi Puyas , a woman originally from Cuenca, Ecuador. She had left her family, including her children, in Ecuador in order to seek employment in the United States, hoping to send money home to them. She was in debt for more than $10,000, most of it to the trail guide (called a coyote ) who was supposed to guide her on her journey. Such trail guides often extort large sums of money from vulnerable migrants and then leave them to make their way alone. Maricela had made a journey of more than 5,000 miles from Cuenca, Ecuador, all the way to the Sonoran Desert in Arizona, when she died of exhaustion and exposure, technically having reached the United States. In the 14-year period between 2000 and 2014, 2,721 migrants were found dead in Arizona’s Sonoran Desert, approximately 800 of whom remain unidentified today. In 2020, there were an estimated 227 migrant deaths in the Sonoran graveyard, making it the deadliest year on record for that corridor trail (Snow 2021). De León’s work continues today through a series of pop-up exhibitions and workshops entitled Hostile Terrain 94 . Migrant routes: (left) the U.S.-Mexico border wall at Nogales, Arizona, in February 2019; and (right) an immigrant camp of asylum seekers in Matamoros, Mexico, near Brownsville, Texas, in January 2020. (credit: (left) “Nogales Border Wall and Concertina Wire” by US Customs and Border Protection/Wikimedia Commons, Public Domain; (right) “Congressional Hispanic Caucus Visit to Matamoros, Mexico 05” by Jimmy Panetta/Wikimedia Commons, Public Domain) This humanitarian crisis is far from being resolved. In 2020, 400,651 undocumented migrants were apprehended and expelled by the U.S. Border Patrol (U.S. Customs and Border Protection 2020). Immigrants, both documented and undocumented, make up a majority of the farmworkers and meatpacking workforce in the United States today. Once employed, these immigrants, who are frequently separated from their families, face hazardous working conditions, language barriers, long hours, low pay, and substandard housing. Because of their legal status, many also struggle with inadequate access to health care and rising discrimination. Biocultural anthropologist Shedra Snipes and her team (Snipes et al. 2007) conducted focus group interviews among 69 male and female Mexican immigrant farmworkers in the Yakima Valley of Washington State. They were particularly interested in the ways the farmworkers defined and experienced stress. Their interviewees distinguished between physical and mental stressors and cited the most common causes of stress as work, personal illness, lack of work, family illness, and family stress. Snipes et al. noted that many stressors were linked by a common theme of inconsistent work and the injusticia (injustice and unfairness) of low pay and poor working conditions. One farmworker noted, “Sometimes there are many people wanting to work in the field. You complain about something like not having water, or the bathrooms being dirty, [and] they tell you right away, ‘If you don’t like it go find a job somewhere else’” (366). Another common theme was the stress of living in a different culture. Several farmworkers commented that cultural differences, such as language barriers, communication from schools regarding their children, or complaints from neighbors when they had rowdy family get-togethers, contributed to their experience of stress. As this example shows, at the intersection of culture and migration, many factors affect an individual’s ability to adapt to new living conditions. Refugees Beyond the Nation-State Refugees are persons who are forced to cross international boundaries to seek residence. Pushed out of their countries, most commonly because of war, famine, or persecution, they typically arrive under extreme circumstances with little food, clothing, or material possessions. They are frequently separated from their relatives and have little chance of finding employment or reestablishing their household. Because of their status as stateless persons (persons forced to leave their countries) and their inability to procure proper travel documentation, refugees are protected under the 1951 United Nations Refugee Convention, which derives from Article 14 of the Universal Declaration of Human Rights, passed in1948. The Universal Declaration of Human Rights establishes an international legal right for people to seek asylum , which is legal protection extended by one country to citizens of another. The United Nations High Commissioner for Refugees heads the UN Refugee Agency, a global organization that directs troops and aid workers to set up refugee camps and organizes international efforts to ease the suffering of refugees. (left) An aerial view of the Za’atari refugee camp in Jordan, a camp settlement for Syrian refugees, in 2013; (right) a Syrian refugee family waiting for asylum. (credit: (left) “An Aerial View of the Za’atri Refugee Camp” by US Department of State/Wikimedia Commons, Public Domain; (right) “Idlib Bekaa Refugees” by Russell Watkins/Department for International Development/Wikimedia Commons, CC BY 2.0) In her ethnographic study of Congolese refugees in the Ugandan capital city of Kampala, cultural anthropologist Georgina Ramsay (2016) focuses on the ways in which refugees protect themselves, both physically and psychologically, by what they call “avoiding poison.” In 2012, there were approximately 50,000 refugees living in Kampala as a result of ongoing political instability, warfare, and corruption in the Democratic Republic of the Congo. Housed initially in a refugee settlement away from urban areas, the group of refugees interviewed by Ramsay opted to move to Kampala for greater opportunities and more security, as the refugee settlements were troubled by crime and violence. As one informant told Ramsay, “There are bad people everywhere in the camp” (115). The government of the Democratic Republic of the Congo allowed resettlement in Kampala if the refugees procured a legal permit and a way to make a living independent of government funding or humanitarian aid. Given their displacement from their own ethnic communities and social networks, refugees faced unreliable social communities, in which their relationships were recently formed, as well as fear and the looming threat of having to return to the settlements if they lost their jobs or housing arrangements. Many either relied on or supplemented their wages with remittances from relatives living elsewhere in an effort to create greater security in the urban environment. The “poison” feared by this group of refugees is a symbolic agent administered by “unknown assailants” (113), most often sprinkled into the food they prepare, and capable of making them sick both physically and psychologically. The administering of this poison is not always intended as a personal attack; rather, the refugees believe that their day-to-day life outside of their cultural homelands makes them vulnerable. They believe that they are most vulnerable during cooking and eating. In their home communities, cooking and eating were normally times of social interaction and sharing, but cooking and eating are now highly privatized acts for them. Families eat only with each other, within their own homes, and do not accept any shared food, even when they are hungry. The result is an intentional physical distancing from each other and a strengthening of family-only social bonds. While this approach clearly weakens the refugees’ ability to build a large and sustainable self-help community in Kampala, it does afford them a sense of positive control (agency) over their day-to-day lives. This sense of social agency over the threat of “poison,” giving the refugees an ability to control some aspects of their day-to-day lives, is an example of the adaptive nature of culture under very challenging circumstances. Pandemic as a Global Migration People and goods are not the only things that migrate. Along with human migration, there is a host of secondary movements that can affect the human population globally. Diseases are a prime example. Diseases that may have once been contained in a single region can move, along with their human and animal hosts, into new geographic areas, where they can become even more virulent. When diseases spread more than expected among a given group of people, they are referred to as epidemics . An outbreak of a disease over a very broad area, typically crossing international boundaries, is called a pandemic . Some early pandemics in Europe were the plague of Athens in 430 BCE (possibly typhus or typhoid fever or Ebola), the Antonine plague from 165 to 180 CE (possibly smallpox), and the Black Death from 1347 to 1351 (caused by a bacterium carried by fleas and infected rodents). In the Americas, Mexico and Central America suffered from various documented pandemics, starting with the arrival of the Spanish in Mexico in 1519, which set off a widespread smallpox outbreak that extended into South America. There have been other pandemics, including the cocoliztli epidemic from 1545 to 1548, likely a form of enteric fever, and the so-called Spanish flu, first detected in the United States in 1918 (Alchon 2003; Vågene et al. 2018). The most serious recent pandemic in the United Stated had been the swine flu pandemic of 2009–2010 ... until 2019–2020. In the last few months of 2019, the viral coronavirus SARS-CoV-2, known as COVID-19 , began a global migration from Wuhan, Hubei Province, China, to every continent of the world. Carried between geographically distant locations by human hosts traveling for all sorts of reasons—including work, study, tourism, visitation, and displacement—as well as within towns and communities by people shopping, attending religious services and schools, or even visiting friends and families, COVID-19 quickly became a global emergency. First reported to the World Health Organization (WHO) on December 31, 2019, COVID-19 was officially declared a global pandemic on March 11, 2020. Throughout 2020, the disease continued to spread rapidly, overwhelming medical facilities, ravaging countries’ economies, and forcing people to alter the structures of most social institutions, including schools, churches, weddings, and even funerals. By October 2021, some 248 million people had been infected, including several world leaders, and more than 5 million people had died from the disease. United States vice president Kamala Harris receives a COVID-19 vaccine in January 2021. (credit: “Kamala Harris Getting Her Second COVID-19 Vaccination” by Lawrence Jackson/Wikimedia Commons, Public Domain) The COVID-19 virus spreads through airborne transmission when someone inhales droplets expelled by an infected person coughing, sneezing, or even exhaling. As with measles and tuberculosis, the only fully effective form of containment outside of a vaccine and the development of antibodies is quarantine. When the WHO declared COVID-19 a global pandemic, the most important advice was to limit all unnecessary movements and gatherings, wear masks, and practice physical distancing. But given the global nature of our lives today, it was very difficult to halt either the movement of people or the spread of the disease. On January 20, 2020, the first reported case in the United States was diagnosed in Washington State, in a man in his thirties who had just returned from Wuhan. By that point, the virus had already spread to Taiwan, Japan, Thailand, and South Korea. On January 24, the first European cases were reported in France. The disease continued to quickly spread all over the world, including on international transport, such as cruise and cargo ships. In December 2020, there were several cases reported in Antarctica. Only 14 countries reported no COVID-19 cases as of April 2021, all except two of them island nations or territories in the Pacific and Atlantic Oceans with strict travel policies: Tuvalu, Tonga, Tokelau, St. Helena, the Pitcairn Islands, Palau, Niue, Nauru, Kiribati, the Federated States of Micronesia, the Cook Islands, and American Samoa. (The two non-island nations, North Korea and Turkmenistan, are believed to have unreliable data.) As a result of migration, the disease transformed peoples’ lives everywhere. But migration can also bring relief from pandemics. The same conveyances that led to the initial spread of the disease have also brought relief workers, food, medical supplies, and life-saving vaccines to communities worldwide. In addition, scientists and researchers worked tirelessly in multinational efforts to sequence the COVID-19 genome so that vaccine development could proceed rapidly. Globally, several countries developed lifesaving vaccines and began working together to disperse them to communities in need. As our world becomes increasingly interdependent, it is critical that we understand the important role of migration in so many aspects of our survival. Migration in El Angosto Experience of Marjorie Snipes, chapter author We often think of rural communities as being separate from global forces, but this is not always true. In El Angosto, a small Indigenous community in the northwestern Andes of Argentina, diverse forms of migration, dependent on internal and external factors, are part of people’s day-to-day lives. I conducted fieldwork in El Angosto, Argentina, during the 1990s and early 2000s (Snipes 1996). This small highland community is located at about 11,000 feet above sea level and nestled in a rugged river valley along the Río Grande de San Juan, the international boundary between Argentina and Bolivia. At that time, the community had a population of about 200 people, most practicing agropastoralism, with each family raising corn, wheat, alfalfa, and broad beans and tending herds of goats and sheep. In order to provide ample pastureland and keep animals away from their gardens, they were transhumant, moving their herds to higher altitudes during the spring and summer seasons, away from the primary households with their gardens and accompanied by seasonal shepherds. After the herds moved from their winter corrals, families cleaned them out and used the manure to fertilize the gardens. Through transhumance, families benefit from this dual subsistence system, producing most of their daily food needs. Although not dependent on money for their daily food, Angosteños participate in the global economy in various ways. Historically, the community is part of a vast Andean trade network that connects small highland communities of northern Argentina and southern Bolivia through itinerant trade. Extensive long-distance trade networks have been an integral part of Andean life for centuries (see Alberti and Mayer 1974; Murra 1975). Annually, traders come through El Angosto from the altiplano of Bolivia, a high plains region at an average altitude of 12,000 feet above sea level. Because of the harsh climate at that altitude, the Bolivian communities rely almost exclusively on herding camelids (llamas and alpacas), having little to no ability to raise needed crops. In the springtime each year, Bolivian traders pass through El Angosto with pack animals (usually llamas) loaded with wool ropes, bags, and dried camelid meat that they produce during the winter months, seeking fresh vegetables for trade. Although traders negotiate each transaction based on their particular family’s needs, all parties are well aware of the current market value of their animal and vegetable products, as families listen daily to radio broadcasts on trade. I tried my hand at negotiating with Gumercindo, a young trader from San Antonio de Lipes, Bolivia, for a small, handwoven rope. When I asked him the cost of the rope, he looked at me with kind amusement and asked me what I offered to exchange. “Pesos!” I said (Bolivian money). He told me the rope was worth 10 pesos (approximately $10 at that time) but that he needed corn and wheat and that one arroba (approximately 25 pounds) of grain was worth around $12. In other words, I would have to pay the higher cost because he would need to take the money and try to buy an arroba of grain. Most highlanders are more aware of current trade values than even those living in cities. Other forms of migration affect life in El Angosto. In order to earn cash for manufactured items, many highland families periodically send a family member to work away from the community. The zafra , the annual lowland sugarcane harvest, can usually temporarily absorb anyone willing to work, and young people occasionally seek out urban employment opportunities, such as domestic service in private households. Migration is an enduring part of the fabric of Andean life, binding communities to each other and, ultimately, to each of us. Summary Migration is an important characteristic of human behavior. People migrate for all sorts of reasons, moving from place to place in search of economic opportunities, refuge from political or social oppression, educational opportunities, health resources, fulfillment of family needs, or simply the pleasure of travel itself. From our earliest ancestral beginnings, humans have moved from place to place, sometimes on a seasonal basis and sometimes permanently. The earliest hominins migrated within and out of Africa, settling parts of Europe, Asia, and eventually Australia, adapting to their new environments and diversifying biologically as a species. The last major continental settlement was North and South America. Archaeological evidence shows early human occupations in the Americas as early as 20,000 years before present. These humans may have arrived by several possible routes, including across the Bering land bridge and along the Pacific coastline of North and South America. Historically, global forces have also contributed to migration, including seafaring explorations, colonialism, and the transatlantic slave trade that led to a diaspora (dispersal) of millions of African peoples into the Western Hemisphere. Today, many of these historical forces continue to impact our lives as migrants seek opportunities and better, safer lives. Finance, media, and ideologies increasingly entangle the global world today. Anthropological research has shown the reach of globalization into small communities where peasants and Indigenous peoples, once mistakenly thought to be simple rural farmers or subsistence producers, negotiate the market value of their labor and products, sometimes against large countries or corporations and often facing unfairness and injustice. This disparity typically leads to internal migration from rural areas into urban zones. As with any form of migration, culture change and adaptation have always been a part of the migrant experience. Because of emerging global forces of all kinds, there has been a rise in voluntary and involuntary migration within geographical regions and across countries, leading to inequality along the margins. Contemporary migrations include labor migration, forced migration or displacement, forced labor, human trafficking or modern slavery, and environmental migration, typically caused by global climate change. There are numerous well-trod migrant routes worldwide connecting countries in both formal and informal ways. One of the most violent routes is the Central American route, which connects South America, Central America, and Mexico to the United States. Refugees are among those in greatest need of humanitarian aid today. People and goods are not the only things that migrate. Along with human migration, there are secondary movements that can affect the human population globally. Diseases move along with people. Historically, there have been many epidemics within populations and pandemics across regions and countries. In 2019, COVID-19 began migrating globally, eventually affecting every country and causing deaths, chronic illnesses, and economic devastation. As our world becomes increasingly interdependent, it is critical that we understand the important role of migration in so many aspects of our survival. Critical Thinking Questions Migration Interviews For this fieldwork activity, you will compile three ethnographic accounts of migration. Choose three diverse research participants/key informants to interview about their personal histories of moving, as a child and/or an adult, from one home location to another. Some may have moved from one country to another, from one city to another, or even from one house or family to another. Log each of their movements separately, giving the years and duration of the period spent living there, why they moved, how things shifted in their lives as a result of the migration, and their feelings and/or emotions about moving. You may choose to add your own account to this study as well. Once you compile each of the accounts, summarize your findings and compare the accounts to each other, making conclusions about the impact of migration on your participants’ lives. Bibliography Alberti, Giorgio, and Enrique Mayer, eds. 1974. Reciprocidad e intercambio en los Andes peruanos . Lima: Instituto de Estudios Peruanos. Alchon, Suzanne Austin. 2003. A Pest in the Land: New World Epidemics in a Global Perspective . Albuquerque: University of New Mexico Press. Algaze, Guillermo. 2005. The Uruk World System: The Dynamics of Expansion of Early Mesopotamian Civilization . 2nd ed. Chicago: University of Chicago Press. 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Snipes, Shedra A., Beti Thompson, Kathleen O’Connor, Ruby Godina, and Genoveva Ibarra. 2007. “Anthropological and Psychological Merge: Design of a Stress Measure for Mexican Farmworkers.” Culture, Medicine, and Psychiatry 31 (3): 359–388. Snow, Anita. 2021. “Arizona Border Deaths Hit 10-Year High after Record Heat.” AP News. January 6, 2021. https://apnews.com/article/arizona-phoenix-mexico-immigration-tucson-50b462c927f2824e2cb10bc53f3f08af. Tarlach, Gemma. 2018. “The Peopling of the Americas: Evidence for Multiple Models.” Discover , August 8, 2018. https://www.discovermagazine.com/planet-earth/the-peopling-of-the-americas-evidence-for-multiple-models. Taylor, Derrick Bryson. 2021. “A Timeline of the Coronavirus Pandemic.” New York Times , January 10, 2021. https://www.nytimes.com/article/coronavirus-timeline.html. US Customs and Border Protection. 2020. “Southwest Border Migration FY 2020.” November 19, 2020. https://www.cbp.gov/newsroom/stats/sw-border-migration-fy2020. UNHCR. 2019. “UNHCR Global Trends: Forced Displacement in 2018.” ReliefWeb. June 19, 2019. https://reliefweb.int/report/world/unhcr-global-trends-forced-displacement-2018-0. UNHCR. 2020. “Global Trends: Forced Displacement in 2019.” June 2020. https://www.unhcr.org/flagship-reports/globaltrends/globaltrends2019/. Vågene, Åshild J., Alexander Herbig, Michael G. Campana, Nelly M. Robles García, Christina Warinner, Susanna Sabin, Maria A. Spyrou, Aida Andrades Valtueña, Daniel Huson, Noreen Tuross, Kirsten I. Bos, and Johannes Krause. 2018. “ Salmonella enterica Genomes from Victims of a Major Sixteenth-Century Epidemic in Mexico.” Nature Ecology and Evolution 2 (3): 520–528. Virtanen, Pirjo Kristiina. 2006. “The Urban Manchinery Youth and Social Capital in Western Amazonian Contemporary Rituals.” Anthropos 101 (1): 159–167. Werbner, Pnina. 2001. “The Limits of Cultural Hybridity: On Ritual Monsters, Poetic Licence and Contested Postcolonial Purifications.” Journal of the Royal Anthropological Institute 7 (1): 133–152. Wilford, John Noble. 2007. “Ruins in Northern Syria Bear the Scars of a City’s Final Battle.” New York Times , January 16, 2007. https://www.nytimes.com/2007/01/16/science/16batt.html. Woldeab, Rafael. 2019. “Why Do People Migrate? The 4 Most Common Types of Migration.” PopEd Blog , Population Education. October 30, 2019. https://populationeducation.org/why-do-people-migrate-the-4-most-common-types-of-migration/. Wolf, Eric. 1966. Peasants . Englewood Cliffs, NJ: Prentice-Hall. Wooller Matthew J., Émilie Saulnier-Talbot, Ben A. Potter, Soumaya Belmecheri, Nancy Bigelow, Kyungcheol Choy, Les C. Cwynar, Kimberley Davies, Russell W. Graham, Joshua Kurek, Peter Langdon, Andrew Medeiros, Ruth Rawcliffe, Yue Wang, and Williams John W. 2018. “A New Terrestrial Palaeoenvironmental Record from the Bering Land Bridge and Context for Human Dispersal.” Royal Society Open Science 5 (6). https://doi.org/10.1098/rsos.180145. asylum legal protection extended by one country to citizens of another. chain migration the process of sequential migration from the same community of origin. circular migration repeated pattern of movement between locations, usually associated with work. displacement migration due to persecution, conflict, or violence; involves refugees and those seeking asylum. environmental migration displacement caused by natural disasters, such as earthquakes, hurricanes, or droughts. epidemic a disease that spreads more than expected among a given group of people. forced labor the recruitment, transportation, transfer, and/or harboring of persons by means of threat or use of force or coercion for the purpose of financial exploitation. forced migration migration due to persecution, conflict, or violence; involves refugees and those seeking asylum. human trafficking the recruitment, transportation, transfer, and/or harboring of persons by means of threat or use of force or coercion for the purpose of exploitation. A form of modern slavery. labor migration the movement of people for the purpose of employment and/or economic stability. modern slavery the recruitment, transportation, transfer, and/or harboring of persons by means of threat or use of force or coercion for the purpose of exploitation. pandemic an outbreak of a disease over a broad area. remittances transfers of money from workers back to their home countries, usually for their families.", "section": "Inequality along the Margins", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Anthropologists study kinship to understand the various ways that societies are structured. Here, Ben Schmidt poses with his family in Cordell, Oklahoma. (credit: “Ben Schmidt family, Cordell, Oklahoma” by Mennonite Church USA Archives/flickr, Public Domain) Whom do you consider part of your family? How many mothers do you have? Could you or would you marry your cousin? Each of these questions asks us to consider how our societies structure kinship. Families reflect the social and cultural contexts in which they are formed. Through the study of kinship within our own and other societies, we better understand such things as the connections that individuals have across generations; how a cultural group manages procreation and childcare; the ways that material assets, power, and influence are inherited; and the choices an individual has for marriage.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "What Is Kinship? Learning Outcomes By the end of this section, you will be able to: Identify kinship and explain how it is a sociocultural construction. Identify the importance of kinship in anthropology. Restate the important early works in the anthropological study of kinship. Distinguish between terms of reference and terms of address. Social scientists commonly refer to social norms and behaviors—for example, as explored in Chapter 1, the ways that individuals are assigned to racial categories and what these categories mean about an individual’s place within that society—as sociocultural constructions . Such norms and behaviors create categories and rules according to social criteria (not biological truths) and thus vary across cultures. Kinship is also a sociocultural construction, one that creates a network of social and biological relationships between individuals. Through kinship systems, humans create meaning by interpreting social and biological relationships. Although kinship, like gender and age, is a universal concept in human societies (meaning that all societies have some means of defining kinship), the specific “rules” about who is related, and how closely, vary widely. Depending on the way kinship is determined, two individuals who would call each other cousins in one cultural group may not even consider themselves to be related in another group. The common assumptions that kinship is static and created by biological relationships reveal the strength of sociocultural constructs in our lives. It is culture—not biology—that defines for us whom our closest relatives are. Biology relies on genetics, but kinship is determined by culture. One interesting and very familiar example of the sociocultural dimension of kinship is the practice of adoption, through which those who have no necessary genetic relationship to one another are considered both legally and culturally to be family. Biological relatedness is determined at the genetic level. This form of knowledge is detected through specialized DNA testing and typically has little meaning in our day-to-day lives except within legal and economic contexts where paternity or maternity may be in question. Otherwise, across history and cultures, including within our own society today, family are those we live with, rely on, and love. These individuals, whether or not they have a specific genetic relationship to us, are those we refer to using family terms of reference—my mother, my son, my aunt. The study of kinship is central to anthropology. It provides deep insights into human relationships and alliances, including those who can and cannot marry, mechanisms that are used to create families, and even the ways social and economic resources are dispersed within a group. One of the earliest studies of kinship was completed by Lewis Henry Morgan (1818–1881), an amateur American anthropologist, in the mid-nineteenth century. Intrigued by the cultural diversity of the Haudenosaunee living in upstate New York, Morgan began to document differences in kinship terminology between cultural groups, based on historical accounts and surveys from missionaries working in other geographic locations. In Systems of Consanguinity and Affinity of the Human Family (1871), he defined three of the primary kinship systems that we still recognize today, identifying each with either descriptive kinship terms, such as “mother’s sister’s son,” or classificatory terms, which group diverse relationships under a single term, such as “cousin.” Although Morgan used different names, today we know these three systems as lineal kinship, bifurcate merging kinship, and generational kinship. The publication of his book marked the beginning of kinship studies in anthropology. (left) Lewis Henry Morgan described the diversity of kinship structures and terms across cultures. (right) Bronislaw Malinowski researched the ways that kinship functions as a social institution. (credit: (left) “Lewis Henry Morgan” by Kelson/Rochester Historical Society/Wikimedia Commons, CC-PD-Mark (right) credit: “Bronislaw Malinowski” by Library of the London School of Economics and Political Science/Wikimedia Commons, Public Domain) After Morgan’s research, anthropologists began a more methodical examination of kinship. W.H.R. Rivers (1864–1922) introduced the genealogical method in fieldwork in a 1910 article, “The Genealogical Method in Anthropological Query.” Using a series of basic questions about parents, grandparents, and siblings, Rivers approached the study of kinship as a systematic inquiry into the social structure of societies, seeking to understand how different cultures define family and family roles. Although he focused on small-scale societies, he argued that investigating kinship was a good way of establishing rapport with people and opening them up to sharing more detailed information about their lives regardless of the size of the society. Today, ethnographers continue to use a form of the genealogical method, through either face-to-face interviews or surveys, especially when doing fieldwork in small-scale societies. In this way, the ethnographer seeks to understand the sociocultural relationships in society and the ways that family affects those relationships. In the 1920s, British anthropologists Bronislaw Malinowski (1884–1942) and A.R. Radcliffe-Brown (1881–1955) expanded the understanding of kinship as a social institution by studying the ways that kinship intersected with other institutions in society, such as inheritance, education, politics, and subsistence. Malinowski did fieldwork in the Trobriand Islands of Papua New Guinea, a matrilineal society where descent and inheritance were traced solely through mothers and grandmothers. In his work Argonauts of the Western Pacific (1922), he examined the functional role of kinship in Trobriand society, exploring how it works with other social institutions to address basic needs. Expanding kinship exploration beyond its early beginnings as a study of linguistic terminology only, Malinowski (1930, 19-20) says, “Kinship terminologies . . . are the most active and the most effective expressions of human relationship, expressions which start in early childhood, which accompany human intercourse throughout life, which embody all the most personal, passionate, and intimate sentiments of a man or woman.” He saw kinship as a driving force connecting individuals to each other by means of enduring bonds. A. R. Radcliffe-Brown also focused on kinship as a social institution in his study The Andaman Islanders (1922), but instead of looking at the function of kinship, Radcliffe-Brown examined the roles and statuses created for an individual by the practice of kinship. Through these early studies in kinship, anthropologists began to better understand the diverse ways that cultural groups think about things like family and community. Kinship relationships determine both rights and obligations to other people. These connections contribute to the way a society functions and resolve problems associated with everyday life. In small-scale societies with low population density, kinship identity plays a significant role in most of the life choices an individual will have, while in larger-scale societies, kinship plays a smaller and more limited role. In all societies, however, kinship provides guidelines on how to interact with certain other individuals and the expectations that are associated with these relationships. Cultures call attention to kinship relationships through the way people speak to and refer to one another. Anthropologists sort this kinship terminology into two categories: terms of reference and terms of address . Terms of reference are the words that are used to describe the relationship between individuals, such as “mother,” “grandfather,” or “father’s brother.” Terms of address are the terms people use to speak directly to their kin, such as “Mom,” “Uncle,” and “Grandpa.” Sometimes the same word is used as reference and address: “This is my father” and “Hello, Father.” These terms are important because they designate relationships between individuals that carry responsibilities and privileges that structure human societies. consanguineal tie a biological (bloodline) connection between individuals that is indicated by a single line on a kinship chart; it is considered to be a permanent tie that cannot be broken. kindred the sum of kinship relationships that is defined through EGO. kinship a web of relationships in which people consider themselves related to each other in a social and biological way. sociocultural construction a concept that is defined according to social criteria (not biological) and varies across cultures. terms of address the terms (words) we use to speak directly to our kin. terms of reference the terms (words) that are used to refer to our kin.", "section": "What Is Kinship?", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Defining Family and Household Learning Outcomes By the end of this section, you will be able to: Define and contrast family and household. Describe how families differ across cultures. Differentiate between consanguineal and affinal ties. Distinguish between different family types. Understand the roles of fictive kin. A family can be defined as two or more people in an adaptable social and economic alliance that involves kinship, whether perceived through blood, marriage, or other permanent or semipermanent arrangement. It frequently, but not always, involves reproduction and the care of offspring and coresidence within the same locale. Families vary greatly across cultures and also adapt to changing social and economic needs. Sometimes families aggregate into larger units for short periods to meet challenging needs, such as eldercare, illness, job loss, transition between college and career, etc. A household is a group of individuals who live within the same residence and share socioeconomic needs associated with production and consumption. A family and a household may be the same unit, but they do not have to be. Sometimes families live within larger households, where there may be two or more families residing; at other times a family may be physically separated as family members migrate to work or study temporarily in other locations. Like the concept of kinship, family is a sociocultural construct. Family is defined and recognized differently across cultures according to differing social norms. Some cultures consider families to be only those people believed to be related to each other, living together, and sharing similar goals, while other cultures define family as a disperse set of individuals with an ancestral history. The definition of family that a cultural group endorses reflects such things as kinship and the social interpretation of biology, cultural traditions and norms, and socioemotional ties. It is commonly scaled from the intimate unit in which children are raised to a larger, more amorphous web of relatives. Many Western societies perceive family to be a nuclear family of parents and their immediate offspring living together in a household. The extended family, on the other hand, is a loose collection of relatives with varying degrees of perceived kinship, from those referred to as blood relatives ( consanguine ) to those who have married into the family ( affine ). Among the Mundurucú in the lowland Amazonia of Brazil, the resident family includes only the mother and her preadolescent offspring, while the father resides in the tribal men’s house. Among the Mosuo of China (also called the Na), women form sexual alliances with men from outside of their families to produce offspring, and then remain with their brothers in their own households to raise their children. The children are considered to be part of the women’s lineage unit and family. The Mosuo of China do not formally recognize a separate fatherhood role. Mosuo girls (left) and Mosuo boys (right) remain with their mother and her extended family, and fathers have no social or economic obligations for their biological offspring, though they often have significant responsibility for their nieces and nephews. (credit: “P8310032” and “P8310036” by Sherry Zhang/flickr, CC BY 2.0) Reading and Using Kinship Charts Anthropologists graphically illustrate relationships between family members with kinship charts (also called kinship diagrams). Anyone who has ever used an online genealogy program like Ancestry.com is already familiar with the ways that family relationships can be depicted. Anthropological charts use EGO as their starting point. The term EGO identifies the person whose chart is depicted. EGO marks the starting point for the kinship chart, and relationships are read as alignments between EGO and other individuals. The sum of kinship relationships identified through EGO is referred to as EGO’s kindred . Serving as a map and model, the kinship chart can be “read” like a text, with its own syntax and grammar identifying each individual within a society by means of their relatedness to each other. Kinship charts depict two types of relationships, consanguineal and affinal. A consanguineal tie between individuals indicates a perceived biological connection (a connection “by blood”) and is indicated by a single line, regardless of whether it is drawn vertically or horizontally. A consanguineal tie is most often considered to be permanent. An affinal tie depicts a contractual relationship by marriage or mutual agreement and is drawn as a double line. Such ties usually can be broken, and if they are, a forward slash will be struck through the double line. There is also a hashed line (----) used for relationships that do not conform completely to type (e.g., to indicate adoption or an honorary family member). Hashed double lines are used to distinguish between a formal marriage and a relationship of cohabitation. The following is the most basic legend of the kinship chart: An anthropological kinship legend. The iconography of kinship denotes such things as gender, relationships of marriage and descent, and individual terms of reference. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Kinship charts can be read both vertically and horizontally. Individuals who share the same horizontal line are considered to be in the same cohort or generation, and individuals above and below EGO are in relationships of descent , meaning they are believed to be connected by blood or enduring kinship bond across generations. Anthropologists use common abbreviations to depict kinship relations across cultures, allowing us to compare families: father (FA), mother (MO), brother (BR), sister (SI or Z), aunt (AU), uncle (UN), son (SO), daughter (DA), and then compound terms, such as mother’s or father’s brother (MoBr, FaBr) or mother’s or father’s sister (MoSi, FaSi). Grandparents are usually designated as GrFa and GrMo. depicts a kinship chart utilizing standard icons and abbreviations. Within this chart, EGO is depicted as a part of two different families: the family of orientation , which is the nuclear family unit in which EGO was reared and nurtured as a child and adolescent, and the family of procreation , which is the family that EGO creates, usually as a result of marriage. Test yourself and see if you can read it. This generic kinship chart shows three generations, with a family of orientation. (credit: “Eskimo Kinship Chart” by Fred the Oyster/Wikimedia Commons, CC0) As you can see in , EGO has multiple ties and embeddedness within the kinship network, leading to a complex web of rights and obligations. These concurrent ties with more than one family involve descent rules (how an individual traces relatedness across generations), residence rules (where an individual will live following marriage), and in some societies, even remarriage rules (how marriage will be reinstated following the death of a spouse). Each of these will be discussed later in the chapter. Family Types across Cultures Although family is difficult to categorize because of its diversity, anthropologists have defined four basic family types that are duplicated across cultures with minor variations. Each of these types is adapted to the social and economic needs of the family unit and is normally associated with particular subsistence strategies. Some families change to address immediate needs, such as when elderly parents can no longer live on their own independently. Regardless of its type, the family unit is a remarkably adaptive cultural mechanism. Nuclear families : Also known as a single-couple family, a nuclear family is composed of one or two parents and their immediate offspring. It is the smallest family structure and is often found in societies where geographic mobility is valued. The nuclear family is common in small-scale foraging societies (bands) and industrial/postindustrial and market societies (states), both settings in which subsistence activities require families to relocate with some regularity. Although the model of the American nuclear family consisting of a two-parent household with one or more children has become less typical over the last several generations, it continues to be a norm. As of the 2016 census, 69 percent of US children under the age of 18 were living in a two-parent household, a decrease from 88 percent in 1960. There are, however, other kinds of nuclear families. In the 2016 US census, 23 percent of children under 18 were living in a female single-headed household (mother), almost triple the number living in female single households in 1960 (8 percent). There was also an increase in children under 18 living in male single households (father), from 1 percent in 1960 to 4 percent in 2016 (United States Census Bureau 2016; Kramer 2019). Another growing nuclear family type is same-sex families. These may or may not include children. In the 2020 census, 14.7 percent of the 1.1 million same-sex couples in the United States had at least one child under 18 in their household ( United States Census Bureau 2020 ). In cases where the alliance between adults is temporary or informal, these families may be nonconjugal nuclear families or cohabitation families. (Note: The above terminology related to sex, gender, and family relationships is consistent with US Census data collection and reporting terminology, and may not reflect the terminology used by readers.) Extended families: The extended family can be very complex. It includes two or more family units functioning as a single integrated family. It may involve three or more generations (e.g., grandparents, parents, and children), polygamous families with multiple spouses and their offspring, or married siblings living together with their children, a type of extended family known as joint families . The extended family can be an effective social and economic unit because it involves multiple adults able to contribute to the household. Extended families have been most commonly associated with agricultural societies, where a high value is typically placed on labor and self-subsistence. In the United States today, we commonly see the emergence of the extended family during times of transition, such as when family members are changing jobs, returning to school, or recovering from economic hardship. Worldwide, the extended family is the most common type of family. An extended family in Pretoria, South Africa, including several generations. A family functions as a combined socioeconomic unit, where family members cooperate and support each other within the same household. (credit: Henry M. Trotter/Wikimedia Commons, Public Domain) Blended families : Blended families are families in which there is more than one origin point for the members. This typically occurs when one or more divorced and/or widowed adults with children remarry, combining two formerly independent units into a new blended family. Blended families are common in the United States and in societies in which we find serial monogamy. Although the US census does not collect data specifically on stepfamilies, in 2009 Pew Research estimated that 16 percent of all American children lived in blended families. Fictive Kinship Some families also include fictive kin , a kinship tie in which individuals are defined as family regardless of biology. Fictive kinship is based on intentional relationships such as godparenthood or other close social ties. One form of voluntary fictional kinship is a type of godparent relationship called compadrazgo . Originally developed as a social institution within the Catholic Church, the godparents of a Catholic child are named during the ritual of baptism when the child is an infant. These godparents are selected by the child’s parents as role models to encourage their child in religious instruction and living a “godly” life. Godparents are most frequently chosen from among the child’s relatives, thus reinforcing kinship ties . Although godparenthood is not formally practiced in every society, families in all societies do cultivate non-blood relationships and close friendships. The Spanish and Portuguese empires introduced godparenthood into Latin America following the 16th-century conquest. The institution was adapted to meet the particular needs of populations suffering from disease, warfare, and mass casualties. These social disruptions often left children without parents who were able to adequately take care of them. In such a setting, children’s godparents shifted from being chosen from among relatives to being selected from friends and acquaintances. This use of fictive kin relationships served as an extension of family for a child and created new kinship ties between families not previously related. It created a contract (Foster 1961) between the godparents (who referred to the child as ahijado / a ), the child (who referred to their godparents as padrino and madrina ), and the parents (who, along with the godparents, referred to each other as compadre and comadre ), which provided an ever-widening social network. Godparenthood (called compadrazgo in Spanish-speaking societies) is a formal designation and acknowledgement of fictive kin. It is commonly associated with Catholic Church rituals such as baptism. Here, an infant is photographed with baptismal godparents. (credit: “Godparents and Chris” by Brian Smith/flickr, CC BY 2.0) Over time, the practice of compadrazgo adapted to the specific needs of this new cultural setting. A symmetrical form developed in which parents choose friends and coworkers of their same socioeconomic status to serve as godparents for their children. An asymmetrical form also developed, in which parents contract with individuals or couples who are in a higher class or status group to provide opportunities for their child. This form functions very similarly to a social security system. Many members of the upper classes see it as their Christian duty to sponsor a large number of godchildren within their communities or workplaces. In addition, compadrazgo extends beyond religious rituals into secular society, including the practice of naming compadres for such things as a child’s first haircut or the purchase of a new house. In smaller communities, compadrazgo is even practiced as the ritual sponsorship of community buildings or initiatives. In 1980 in Ica, Peru, the installation of a new water tower included the designation of compadres. Those serving as compadres enjoy an enhancement of social status in Latin America. Over a lifetime, individuals typically have a series of new and expanding compadrazgo relationships. People gain new compadres through life changes such as marriage, the birth of children, and sometimes even the acquisition of expensive material items. While these relationships may change over time—for example, when a child has become an adult, the birth compadres may no longer send gifts or offer advice—the relationships themselves endure as (fictive) family connections. The respect and acknowledgement of these relationships remains important to all the individuals involved in the compadrazgo family. Adoption Adoption of children is widespread across cultures, sometimes constituted legally, but more often through informal structures of support and sponsorship. There were an estimated 1.5 million adopted children under 18 in the United States in 2019, about 1 out of every 50 children, and adoption is increasing, especially among same-sex couples. In 2019, 43.3 percent of children of same-sex couples were adopted or stepchildren. Across cultures, informal adoption and foster care have long been practiced to strengthen families and provide opportunities for young people. Anthropological studies in West Africa, Oceania, Latin America, and in minority communities in North America document the prevalence of these practices, as well as their benefits and risks. In general, cultures that see social relationships as open and fluid are able to provide a greater range of opportunities to children. One common form of informal adoption relocates children from rural birth families to relatives living in urban areas, where they have more opportunities for education, employment, and career training. Sometimes informal fostering helps to provide caretaking for shorter periods of time. A family may send an older child to temporarily live with a relative or even a friend who has a new infant or is facing a family crisis. These relationships may be mutually beneficial, allowing older children to meet new people and develop a wider network of friends and relatives. Historically, adoptive ties have played a major role in family security and in creating stronger social ties between families, some of which may provide future educational, work, and career opportunities. affinal tie a contractual relationship by marriage or mutual agreement that is depicted as a double line on the kinship chart. blended families a family in which there is more than one origin family for the members. compadrazgo a form of godparent relationship introduced originally as a social institution within the Catholic Church and later adapted as popular Catholicism in Latin America in which godparents are named for a Catholic child or young person during rituals such as baptism, confirmation, and marriage. descent individuals who are believed to be connected by blood or who have an enduring kinship bond across generations. EGO the starting point for the kinship chart; used to read relationships as alignments between EGO and other individuals. extended family two or more family units functioning as a single integrated family; may involve two or more generations. family two or more people in an adaptable social and economic alliance that involves kinship, whether perceived through blood, marriage, or other permanent or semipermanent arrangement. family of orientation the family unit in which EGO was raised and nurtured as a child and adolescent. family of procreation the family that EGO produces, usually as a result of marriage. fictive kin a kinship tie that is socially interpreted to be by blood or marriage and that is based on intentional relationships, such as adoption, godparenthood, or intimate personal ties. household a group of individuals who live within the same residence and share socioeconomic needs associated with production and consumption. nuclear family a family composed of two parents and their immediate offspring.", "section": "Defining Family and Household", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Reckoning Kinship across Cultures Learning Outcomes By the end of this section, you will be able to: Describe the importance of kinship in social structure. Distinguish between different kinship systems. Illustrate three forms of kinship. By defining relationships between individuals, cultural understandings of kinship create kinship systems or structures within society. This is the institutional aspect of kinship, and it is bigger than the family itself. In smaller societies with lower populations, kinship plays a major role in all social institutions. In larger societies with higher populations, kinship places the local and familiar in opposition to a wider, more amorphous society, where relationships have less and less significance. In effect, kinship frames the way the individual and family are viewed in relation to the larger society and embodies social values. Types of Kinship Systems In his early research, Lewis Henry Morgan distinguished three basic forms of kinship structure commonly found across cultures. Today, we refer to these kinship forms as lineal, bifurcate merging, and generational kinship. Each one defines family and relatives a bit differently and so highlights different roles, rights, and responsibilities for these individuals. This means that depending on the kinship structure used by a society, EGO will refer to a different set of individuals as kindred and will have a different relationship with those individuals. Lineal kinship: Lineal kinship (initially referred to as Eskimo kinship ) is a form of kinship reckoning (a way of mapping EGO to other individuals) that highlights the nuclear family. While kindred in a lineal system is traced through both EGO’s mother and father (a practice called bilateral descent), the kinship terminology clearly shows that the rights and responsibilities of the nuclear family far exceed those of other kindred. In effect, lineal kinship, associated frequently with North American and European societies, suggests a very small and nominal family with little power and influence across other social institutions. A lineal kinship diagram. Note the distinction of the nuclear family. (credit: “Eskimo Kinship Chart” by Fred the Oyster/Wikimedia Commons, CC0) On the lineal diagram ( ), note the following: each of the members of the nuclear family have specific kinship terms, but bilateral kin (through both EGO’s mother and father) and collateral kin (EGO’s siblings and their offspring) are lumped together with similar terms. These relationships are not highlighted by individualized terms because there are minimal rights and responsibilities between EGO and kin outside of the nuclear family of orientation and procreation. Bifurcate merging kinship: Bifurcate merging kinship (initially referred to as Iroquois kinship ) highlights a larger family of orientation for EGO by merging EGO’s parents’ same-sex siblings and their offspring into the immediate family (creating parallel cousins) and bifurcating, or cutting off, EGO’s parents’ opposite-sex siblings and their offspring (creating cross cousins). depicts bifurcate merging kinship with unilineal descent (either patrilineal or matrilineal). This means that once descent is introduced into the diagram, EGO’s relationships, with associated rights and responsibilities, will shift toward either the mother’s or father’s side. This form of kinship reckoning, quite common to tribal societies, is found extensively, and it creates a distinction between the family of orientation, which is merged together from various lines, and other relatives, who are bifurcated, or cut away. A bifurcate merging kinship diagram. Note the distinction between parallel and cross cousins. (credit: “Iroquois Kinship Chart” by Fred the Oyster/Wikimedia Commons, CC0) On the bifurcate merging diagram ( ), note that the members of the family of orientation share kinship terms that indicate a close intimacy with EGO. As an example, while EGO knows who his biological mother is (the woman who gave birth to him), his relationship with his biological mother has the same rights and responsibilities as his relationship with his mother’s sister(s), etc. Notice also that the category of individuals lumped together as “cousins” under the lineal diagram are here distinguished depending on EGO’s relationship with their parent. EGO’s mother’s sisters are called “mother” and his father’s brothers are called “father,” which means that any of their offspring would be EGO’s brothers or sisters. Notice, though, that the mothers and fathers highlighted outside of EGO’s biological parents are married to non-kin members; EGO does not refer to his mother’s sister’s husband as father—he is referred to as “mother’s husband.” Mother’s brothers and father’s sisters produce offspring who are bifurcated and lumped as “cousin.” Anthropologists distinguish between parallel cousins (EGO’s brothers and sisters through his parents’ same-sex siblings) and cross cousins (EGO’s cousins through his parents’ opposite-sex siblings). In many tribal societies, EGO would choose his (or her) marriage partner from among his (or her) cross cousins, thereby merging their children back into a primary kinship line. In this way, the family unit (the kindred) maintains a stable and significant presence across generations. Generational kinship: Generational kinship (initially referred to as Hawaiian kinship ) presents a very different case. Widespread in Polynesia, especially during the times of chiefdom societies, generational kinship provides a distinction in kinship terms only along gender and generational lines. Generational kinship has the least complicated kinship terminology of all kinship systems, but the impact of creating a family of orientation this large and powerful is immediately apparent. In reading this chart, it is obvious that the intimate family was as large as could be configured and it would have significant sociopolitical impact within the society. A generational kinship chart. Note the family of orientation, which is now at its maximal size. This graphically indicates the important role family has in all aspects of EGO’s life. (credit: “Hawaiian Kinship Chart” by Fred the Oyster/Wikimedia Commons, CC0) Descent Kinship structure is highly diverse, and there are many different ways to think about it. Descent is the way that families trace their kinship connections and social obligations to each other between generations of ancestors and generations to come. It is a primary factor in the delineation of kinship structures. Through descent, the individual highlights certain particular relationships with kindred and drops or leaves off other possible relationships. Descent ultimately determines such things as inheritance, alliance, and marriage rules. There are two common ways that a cultural group can trace descent across generations: Unilineal descent: Unilineal descent traces an individual’s kinship through a single gendered line, either male or female, as a collective social rule for all families within a society. The patrilineal or matrilineal relatives that connect to and from EGO form EGO’s lineage . This lineage is believed to be a continuous line of descent from an original ancestor. Lineages believed to be close in relationship are gathered into clans , a tribal social division denoting a group of lineages that have a presumed and symbolic kinship, and eventually into moieties (the social division of a tribe into two halves). In patrilineal (or agnatic) descent , the descent of both males and females is traced solely through male ancestors. Females hold the patrilineal descent of their fathers, and males pass on the descent through their children. A chart illustrating patrilineal descent across several generations. Note that all offspring individuals marked in blue are part of their father’s descent, but descent only passes through males. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In matrilineal (or uterine) descent , the descent of both males and females is traced solely through female ancestors. Males hold the matrilineal descent of their mothers, and females pass on the descent through their children. Cognatic descent: Cognatic descent is a kinship structure that follows descent through both men and women, although it may vary by family. In ambilineal descent , an individual’s kinship is traced through a single gendered line, with each family choosing either the mother’s or the father’s descent line; in societies practicing this type of cognatic descent, some families will trace descent through the mother and others through the father. Usually families will choose their descent type at marriage based on the different opportunities presented by either the mother’s or father’s family, and they will use this for each of their children. While societies practicing ambilineal descent might initially look like those of unilineal descent, they are different. Within these societies, families are diverse and do not follow a single type of descent reckoning. In bilateral descent (also referred to as bilineal descent), an individual’s kinship is traced through both mother’s and father’s lines. This is the most common form of descent practiced in the United States today. A chart illustrating bilateral descent across several generations. Note that all offspring trace their lineage through both mother and father. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Why does descent matter? It structures the way the family will be formed (who counts most in decision-making). It determines the choices individuals have in forming their own families. And it directs how material and symbolic resources (such as power and influence) will be dispersed across a group of people. As the example in the next section shows, descent affects the whole structure of society. A Matrilineal Society in the United States The Navajo are among the most populous of the Indigenous peoples in the United States, exceeding 325,000 members. Roughly half live in the Navajo Nation. Covering some 27,000 square miles, the Navajo Nation is an autonomous jurisdiction that crosses New Mexico, Arizona, and Utah. Traditionally a matrilineal society, the Navajo trace descent and inheritance through their mothers and grandmothers. Such a descent pattern would normally lead to the establishment of matrilocal households, with daughters bringing their husbands to live with or near their matrilineal kin following marriage. In his study of the contemporary Shonto Navajo, however, William Yewdale Adams (1983), an anthropologist who spent part of his childhood living on the Navajo reservation, found that this wasn’t always the case. While matrilocal residence remained the ideal for Navajo families, it was not followed any more frequently than patrilocal residence (living with or near the groom’s father). Neolocal residence (a separate, independent household) was also practiced across the Navajo Nation. While the ideal Navajo family type endured as part of their identity, the actual everyday practices of families depended on their particular circumstances and might change over the course of their lives. When job opportunities and economic choices necessitated that families live in different areas, they adapted. When families became large and less manageable as a socioeconomic unit, they might splinter into smaller units, some into nuclear families living alone. However, during major life events, such as marriage and childbirth, it is the matrilineal family that will most support the couple by providing resources and any needed labor and help. Matrilineal descent also elevates the role of women in society, not by excluding men, but by recognizing the vital roles that women play in the establishment of both family and society. A contemporary Navajo family (credit: “IMG_1123” by Neeta Lind/flickr, CC BY 2.0) Traditionally, the Navajo constructed houses (called hogans) of timber or stone frames covered with earth (Haile 1942). There are multiple types of hogans, including a male hogan, which is conically shaped and used for more private rituals, and a female hogan , which is circular and large enough to accommodate the whole family. Although today most Navajo live in Western-style homes with electricity and running water, many families still construct one or more hogans for ritual and ceremony. For families that continue traditional Navajo ceremonies, the most common hogan form today is the female hogan. As Adams aptly argues, the Navajo are very much like other societies in regard to kinship—while it defines an ideal within Navajo society, its primary function is to provide “possibilities and boundaries” around which individuals will construct kinship (1983, 412). It adapts to the changing environment and the needs of family. Louise Lamphere 1940- Personal History : Louise Lamphere is a professor emerita of the University of New Mexico, where she held the honorary post of Distinguished Professor of Anthropology. Her scholarly career in anthropology began with bachelor’s and master’s degrees from Stanford University and a PhD in anthropology from Harvard University. Area of Anthropology : Lamphere’s research in cultural anthropology extends over many areas of the discipline, including gender and feminist anthropology, kinship, social inequality, and medical practices and reform in the United States and across cultures. She has worked extensively with indigenous peoples, including the Navajo, and in urban contexts. She seeks to understand the intersections between sociocultural institutions and individuals. A recent focus is social and economic changes emerging from the deindustrialization of nation-states. Her work has had wide-ranging impact on generations of anthropology students and scholars. Accomplishments in the Field : Lamphere’s research contributions are extensive (and continue). She served as the president of the American Anthropological Association from 1999 to 2001, leading the organization toward public support of policies focused on current themes such as poverty and welfare reform in the United States (see this letter from Lamphere ). She has received numerous awards and commendations for her research and service. In 2013 she was awarded the Franz Boas Award for Exemplary Service to Anthropology from the American Anthropological Association. This award, which is presented annually, recognizes extraordinary achievements that have served the anthropological profession and the greater community by applying anthropological knowledge to improve lives. In 2017 Lamphere was awarded the Bronislaw Malinowski Award by the Society for Applied Anthropology in recognition of her use of social science to solve the problems of human communities today. Lamphere’s research interests have been important in addressing current needs of human societies, including gender inequalities, socioeconomic challenges, and issues of migration and adaptation. She has also worked to address inequalities and discrimination in her own life. In 1968 she was hired as an assistant professor at Brown University, where she was the only woman on the anthropology faculty. She was denied tenure in 1974, with the university claiming that her scholarship was “weak.” Together with other two other female faculty, Lamphere put forth a case accusing the university of widespread sexual discrimination. In September 1977, then Brown University president Howard Swearer entered into a historic consent decree to ensure that women were more fully represented at the institution and agreed to an affirmative action monitoring committee. This was a landmark settlement for female anthropologists everywhere. For more on the case, see “ Louise Lamphere v. Brown University .” On May 24, 2015, Brown University awarded Dr. Louise Lamphere an honorary doctorate for her courage in standing up for equity and fairness for all. ambilineal descent tracing an individual’s kinship through a single gendered line, with each family choosing either the mother’s or father’s descent line. bifurcate merging kinship a broader chart of EGO family relation that connects kinships by merging EGO’s parents’ same-sex siblings and their offspring into the immediate family (creating parallel cousins) and bifurcating, or cutting off, EGO’s parents’ opposite-sex siblings and their offspring (creating cross cousins); also called Iroquois kinship . bilateral descent tracing an individual’s kinship through both the mother’s and father’s lines. clans a tribal social division in which a group of lineages have a presumed and symbolic kinship. cognatic descent a kinship structure that follows descent through both men and women, although it may vary by family. collateral kin EGO’s siblings and their offspring. cross cousin EGO’s cousins through their parents’ opposite-sex siblings. generational kinship a kinship system in which the terms of reference are for gender and generation only, creating large units of immediate family; also called Hawaiian kinship . lineage a continuous line of descent from an original ancestor. lineal kinship a form of kinship reckoning that highlights the creation of a nuclear family; also called Eskimo kinship . matrilineal (uterine) descent the descent of both males and females traced solely through the female ancestors. moieties the social division of a tribe into two halves. parallel cousin EGO’s brothers and sisters through their parents’ same-sex siblings. patrilineal (agnatic) descent the descent of both males and females traced solely through male ancestors. unilineal descent tracing an individual’s kinship through a single gendered line, either male or female, as a collective social rule for all families within a society.", "section": "Reckoning Kinship across Cultures", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Marriage and Families across Cultures Learning Outcomes By the end of this section, you will be able to: State the anthropological definition of marriage. Provide examples of different forms of marriage across cultures. Summarize economic and symbolic dimensions of marriage (marriage compensations). Describe how marriage intersects with residence rules. Explain the social importance of remarriage obligations. Anthropological Definition of Marriage Customers peruse goods in a market in downtown Lima, Peru. Some Indigenous people in Peru begin marriage with a practice known as servinakuy . In servinakuy , a couple establish an independent household and live together until the birth of their first child, after which they are formally considered to be a fully married couple. (credit: “Lima, Peru” by YoTuT/flickr, CC BY 2.0) Marriage is the formation of a socially recognized union. Depending on the society, it may be a union between a man and a woman, between any two adults (regardless of their gender), or between multiple spouses in polygamous societies. Marriages are most commonly established to provide a formal structure in which to raise and nurture offspring (whether biological or adopted/fostered), but not all marriages involve reproduction, and marriage can serve multiple functions. One function is to create alliances between individuals, families, and sometimes larger social networks. These alliances may provide political and economic advantages. While there are variations of marriage, the institution itself, with a few notable exceptions, is universal across cultures. Marriage is an effective means of addressing several common challenges within families. It provides a structure in which to produce, raise, and nurture offspring. It reduces competition among and between males and females. And it creates a stable, long-term socioeconomic household in which the family unit can more adequately subsist with shared labor and resources. All societies practice rules of marriage that determine what groups an individual should marry into (called endogamy rules ) and which groups are considered off limits and not appropriate for marriage partners (called exogamy rules ). These rules are behavioral norms in a society. For example, in the United States, individuals tend to marry within the same generation (endogamy) and usually the same linguistic group, but they marry outside of very close kin (exogamy). Those considered to be too closely related to marry are prohibited by rules of incest , a relationship defined as too close for sexual relations. Across all cultures, there is an incest taboo , a cultural norm that prohibits sexual relations between parents and their offspring. This taboo sometimes extends to other relations considered too close for sexual relationship. In some societies, this taboo may extend to first cousins. In the United States, first-cousin marriage laws vary across states (see “Cousin Marriage Law in the United States” for current state laws). French anthropologist Claude Lévi-Strauss argued that incest is the original social structure because it naturally separates groups of people into two types—those with whom an individual has family ties (so-called biological ties ) and those with whom an individual can have sexual relations and establish ties. Defining marriage can be complex. In the southern Andes of Peru and Bolivia, Indigenous people begin marriage with a practice known as servinakuy (with spelling variations). In servinakuy , a man and woman establish their own independent household with very little formal social acknowledgement and live together until the birth of their first child, after which they are formally considered to be a fully married couple. Not a trial marriage and not considered informal cohabitation, servinakuy is, instead, a prolonged marriage process during which family is created over time. Andean legal scholars argue that these unions should carry with them the legal rights and protections associated with a formal marriage from the time the couple begins living together (Ingar 2015). Like all social institutions, ideas about marriage can adapt and change. Within urban Western societies, the concept of marriage is undergoing a great deal of change as socioeconomic opportunities shift and new opportunities open up for women. In Iceland, in 2016, almost 70 percent of children were born outside of a marriage, usually to committed unmarried couples (Peng 2018). This trend is supported by national social policies that provide generous parental leave for both married individuals and those within a consensual union, but the change is also due to the more fluid nature of family today. As norms change in Iceland across generations, it will be interesting to see if the practiced form of consensual union we see today eventually comes to be considered a sanctioned form of marriage. Forms of Marriage Anthropologists group marriage customs into two primary types: a union of two spouses only ( monogamy ) or a union involving more than two spouses ( polygamy ). Monogamy is the socially sanctioned union of two adults. In some societies this union is restricted to a man and a woman, and in other societies it can be two adults of any gender. Monogamy, because it produces an overall smaller family unit, is especially well adapted to postindustrial societies and cultures where family units are highly mobile (such as nomadic foragers). Monogamy also includes same-sex marriage. In June 2015, in Obergefell v. Hodges , the US Supreme Court legalized same-sex marriage in the United States, following earlier legal recognitions in many other Western countries. Today, same-sex marriage is legal in 30 countries. While the movement to legalize same-sex marriage has been long and tumultuous in many of these countries, same-sex marriages and unions have historically played significant roles in both Indigenous and Western societies. Serial monogamy: Serial monogamy is a form of monogamy in which adults have a series of two-person monogamous marriages over a lifetime. It is increasingly common in Western societies, but it is also practiced in some small-scale societies, such as bands. In serial monogamy, divorce and remarriage are common. Polygamy : Polygamy is the socially sanctioned union of more than two adults at the same time. In polygamous societies, families usually begin with a two-person marriage between a man and a woman. In some cases, the marriage will remain as a single couple for a long period of time or for the duration of their lives because of lack of resources or availability of partners. Adding partners is frequently a sign of status and is considered an ideal for families in polygamous societies. In some cases, too, polygamy is practiced to address extreme social stress due to things such as warfare or skewed population distributions caused by famine and high mortality rates. In her cross-cultural study of polygamy, cultural anthropologist Miriam Zeitzen (2008) noted a great deal of diversity within polygamy, from de jure unions that are formal, legal contracts (such as is found in Gambia) to de facto polygamy, which may be just as enduring, stable, and acceptable within a society (such as is found in Ivory Coast). In a polygynous marriage, there is one husband and more than one wife. This is the cast of Sister Wives , a television series about a polygamous household in the United States. (credit: “Sister Wives Cast on Valder Beebe” by Valder Beebe Show/Wikimedia Commons, CC BY 3.0) There are two principle kinds of polygamy, depending on the partners involved, as multiple men and multiple women in a single marriage (called group marriage ) is not common. Polygyny , which is the more common form of polygamy, is the marriage of one man to more than one woman. There is often marked age asymmetry in these relationships, with husbands much older than their wives. In polygynous households, each wife commonly lives in her own house with her own biological children, but the family unit cooperates together to share resources and provide childcare. The husband usually “visits” his wives in succession and lives in each of their homes at various times (or lives apart in his own). It is common, also, for there to be a hierarchy of wives based on seniority. Polygyny is found worldwide and offers many benefits. It maximizes the family labor force and the shared resources and opportunities available for family members and creates wide kinship connections within society. Commonly in polygynous societies, larger families are afforded higher social status and they have stronger political and economic alliances. Polygyny is prevalent in Thailand today, with as many as one in four Thai men between the ages of 30 and 50 having a second wife, called a mia noi (minor wife). In her research in Thailand, cultural anthropologist Jiemin Bao (2008) studied polygyny among a group of lukchin Thai (Thai of Chinese descent). She found that the lukchin practiced polygynous marriages as a joint husband-and-wives economic enterprise, many times sending remittances back to family members still living in China. Bao found that husbands frequently seek their wives’ consent before adding another wife and that the family overall considers polygyny to create greater economic opportunities for all family members because multiple wives create a pool of stable laborers with individual skill sets. Even so, Bao observed turmoil and conflict even within economically successful polygynous families and observed that many marriages were conducted as if they were “cutting a business deal” (151). Gender politics of polygynous marriage among the lukchin often left women with few choices except to work for her husband’s family. Economic success for the family was culturally attributed to the male head of household and not his wives. A second form of polygamy is polyandry. In polyandry , which is comparatively rare, there is one wife and more than one husband. Polyandrous marriages minimize population growth and may occur in societies where there is a temporary surfeit of males and scarcity of females or scarcity of resources. In fraternal polyandry , brothers marry a single wife. This is the most common in Nepal, where it is practiced by a minority of mainly rural families. Fraternal polyandry offers several benefits for societies like Nepal with scarce resources and dense population. Where there is extreme scarcity of land acreage, it allows brothers to share an inheritance of land instead of dividing it up. It reduces inequality within the household, as the family can thus collectively subsist on the land as a family unit. Also, in areas where land is scattered over large distances, it allows brothers to take turns living away from home to tend herds of animals or fields and then spending time at home with their shared wife. It also minimizes reproduction and population growth in a society where there is a very dense population (Goldstein 1987), as the wife can carry only one pregnancy at a time. Postmarital Residence Rules Following marriage, a couple begins a new family and establishes a shared residence, whether as a separate family unit or as part of an already established family group. The social rules that determine where a newly married couple will reside are called postmarital residence rules and are directly related to the descent rules that operate in the society. These rules may be adapted due to extenuating circumstances such as economic need or lack of housing. In the United States today, for example, it is increasingly common for newly married couples to postpone the establishment of a separate household when work, schooling, or children create a need for familial support. There are five postmarital residence patterns: Under neolocal residence , a newly married couple establishes an independent household not connected to either spouse’s family. This pattern of residence is mostly associated with bilateral descent. While this is a norm in our own society, during times of economic stress or familial need, couples in the United States do occasionally live in the household of one spouse’s parents. More common worldwide is patrilocal residence , associated with societies practicing patrilineal descent. In patrilocal residence, the newly married couple establishes their new household with or near the groom’s father or the groom’s father’s relatives. What this means is that at marriage the groom remains within his household and/or family group, while the bride leaves her parents. Their future children will belong to the groom’s lineage. Matrilocal residence is associated with societies practicing matrilineal descent. In matrilocal residence, the newly married couple establishes their new household with or near the bride’s mother or the bride’s mother’s relatives. At marriage the bride remains within her household and/or family group, while the groom leaves his parents. Their future children will belong to the bride’s lineage. Less frequent but also associated with matrilineal descent is avunculocal residence , in which the newly married couple resides with or near the groom’s mother’s brother. In societies that practice avunculocal residence, the groom has commonly had a long-term relationship with his maternal uncle, who is part of his own mother’s matriline. By joining with household of the groom’s maternal uncle, the couple is able to benefit from both the husband’s and the wife’s matrilines. Under ambilocal residence , the couple decides which spouse’s family to live with or near. Ambilocal residence is associated with ambilineal descent. In ambilocal residence, the newly married couple will usually have made their decision about which spouse’s family to join with prior to their marriage. Their future children will then trace descent through that particular line. Marriage Compensation In all cultures, marriage is a consequential matter not only to the adults immediately involved, but also to their families and to the broader community. In societies that practice unilineal descent, the newly married couple moves away from one family and toward another. This creates a disadvantage for the family that has “lost” a son or daughter. For example, in a patrilineal society, while the wife will remain a member of her birth lineage (that of her father), her children and her labor will now be invested mostly in her husband’s lineage. As a result, in societies practicing unilineal descent, there is a marriage compensation from one family to the other for this perceived loss. Marriage compensation is the transfer of some form of wealth (in money, material goods, or labor) from one family to another to legitimize the marriage as a creation of a new social and economic household. It is not seen as payment for a spouse, but as recognition that the marriage and future children are part of one lineage rather than another (Stone 1998, 77). There are several forms of marriage compensation, each symbolically marked by specific cultural practices. Bride wealth: Bride wealth (also called bride price ) is the transfer of material and symbolic value from the groom’s to the bride’s family. Depending on the cultural group, this may involve transfer of money, cattle, house goods, jewelry, or even symbolic ritual artifacts. Bride wealth is the most common form of marriage compensation across cultures. In her study of the Thadou Kukis of northeast India, Burma, and Bangladesh, Indian sociologist Hoineilhing Sitlhou (2018) explores how bride wealth has changed over time. Historically, the items exchanged included cows, copper gongs, silver earrings, and ceremonial clothing for the bride’s parents. Today, more contemporary items are offered, such as gold jewelry, cars, furniture, appliances, and land. One practice that has not changed is paying a portion of the bride wealth prior to the marriage ceremony and the remainder at some later point so that the groom remains in respectful debt to the bride’s family. In other societies, bride wealth must be paid in full before the marriage is considered legitimate. If marriages conducted using bride wealth end in divorce, normally the bride wealth (or equivalent value) is returned to the groom’s family to signify the dissolution of the contract. Bride service : Similar to bride wealth, bride service involves a transfer of something of value from the groom’s to the bride’s family, but in this case the arrangement involves the contracted labor of the groom, whether before or after the marriage. Future grooms may work for months or years for the bride’s family (usually her father’s household) prior to the marriage, or husbands may work for months or years with the bride’s family after the marriage. In the first case, the groom completes his service prior to the marriage and then moves with the bride back to his family after the marriage. In the second case, the newly married couple remains in residence with the bride’s family until the service is concluded. The advantage of the second type of service is that frequently the wife is living with her mother when her first child (or children) is born. While her children are aligned with her husband’s family as far as descent (and inheritance), her parents are able to support the couple and their first child or children for a period of time. The contractual obligations of bride wealth and bride service are not without conflict. In many unilineal societies, these obligations create a great deal of strife and conflict that can go on for years. What if the marriage is temperamentally difficult? What if the wife is barren or a child dies? What if the husband’s family suffers economic challenges that create a disparity between what he can offer their family of procreation and what the wife’s lineage could offer the children? Each of these situations creates conflict. Sometimes these conflicts between lineages (because marriage is seen as a contract with the larger family) spill over into the larger society and create larger social divisions. Dowry : Dowry , a third form of marriage compensation, functions differently than bride wealth and bride price. Dowry is a form of material value, such as money, jewelry, house goods, or family heirlooms, that the bride brings into her own marriage to provide her with wealth within her husband’s lineage. In some societies women turn their dowry over to their husbands, but in other societies they retain rights to this wealth as married women. Among Nepalese Brahmans , sons inherit land and property equally at the death of the father, while women receive a dowry of clothing, jewelry, and household utensils from their own patriline at marriage (Stone 1998). They will use this wealth for status within the marriage. In other societies, women create a dual inheritance for their own daughters from their dowry, passing their dowry down through their daughters. Regardless of how the wealth is used, a woman’s most stable route to higher status within a patrilineal society is through the birth of her sons. It is sons within the patriline who will bring wives into their father’s household and increase the size and prominence of the patriline through the birth of their children. In patrilineal societies, women with many sons typically carry a higher social status. A display of a woman’s dowry in Turkmenistan, in Central Asia. These goods have been laid in preparation for the woman’s marriage. (credit: “wedding gifts 2” Salvatore D’Alia/flickr, CC BY 2.0) While marriage compensation is most commonly associated with patrilineal societies, it is important to note that almost all marriages represent shared investments of one kind or another. Since marriage is the creation of a new family, spouses most often bring with them into their marriage their skills, traditions, and social networks, all of which carry symbolic weight within societies. Remarriage Obligations The many rules and corresponding obligations specific to marriage in unilineal societies (such as residence rules and marriage compensation) are evidence that families and communities invest a great deal in marriages and the formation of new families. So what happens if a young and newly married spouse dies? What about the marriage compensation and the new household? In many unilineal societies (most especially in patrilineal societies), remarriage obligations ensure that in these cases the marriage contract endures. Remarriage obligations require the widowed spouse to remarry someone from the same lineage in order to maintain the stability of the family unit. There are numerous issues that affect when and how remarriage obligations are enacted. The factors that most affect remarriage obligations are the ages of the spouses and amount of time that has passed since the marriage occurred, the ages of the offspring and whether there are young children within the family unit, and the particular marriage contract and value of the marriage compensation. Cultures (and families) determine how best to enact these rules within their own value systems and based on current need. But the primary underlying purpose of remarriage obligations is to maintain the alliance that was made between the two lineages at the time of the marriage. These are intended to be enduring ties that benefit all members of each lineage. If the husband dies and there is a surviving wife (now widow), under the levirate remarriage rule she will marry one of her husband’s surviving brothers. While levirate will not be invoked in every case, it is quite common when there are young children remaining within the immediate family unit. Because levirate is usually practiced in societies with polygynous families, a married brother taking an additional wife will not disrupt his existing family, and the new wife and her children will remain within the lineage where the children were born. The sororate applies to situations in which the wife dies and there is a surviving widower. Under this remarriage rule, the deceased wife’s lineage must provide a replacement female, preferably the former wife’s sister. If her sisters are already married or there are no sisters available, another female from the same lineage can be sent as a replacement. Sororate allows young children from the first marriage to remain with their father in his lineage and also maintain a symbolic and emotional bond with their biological mother’s kindred. Finally, there is also the highly variable practice of ghost marriage , where a marriage is performed between one or two deceased individuals in order to create an alliance between lineages. Among the Dinka and Nuer of South Sudan, a ghost marriage is similar to the levirate, with the deceased husband’s brother standing in for him in a ghost marriage. Unlike the levirate itself, any children from this second (ghost) marriage will be attributed to the deceased husband and not to the brother or the wider lineage itself. Among Chinese immigrants to Singapore, there are ghost marriage claims in which both spouses may be deceased (Schwartze 2010), continuing a tradition that began generations earlier (Topley 1955). Arranged Marriages While all marriages are planned, some are arranged, whether between the spouses involved and/or their families or through a third party. Today, an interesting adaptation of arranged marriages has developed involving online websites and hired marriage brokers to help individuals living in different countries find a suitable spouse from their birth culture. As transnational corporations spread worldwide and individuals become more highly mobile (even nomadic) for work, finding a spouse who shares the same cultural values can be difficult. Although there are marriage brokers for many different cultural groups, there is a proliferation of matchmakers for individuals of Indian nationality or descent. While not all of these sites are reputable, the explosion of marriage brokering businesses reminds us that marriage is, first and foremost, a cultural institution. Kinship is an adaptive mechanism across cultures. While kinship systems vary, they each address critical elements for a social group. Through families of orientation and procreation and within kinship networks, households are created, offspring are produced, and alliances are established. Summary Kinship is an adaptive mechanism. As a sociocultural construction, it is defined differently across cultures to adapt to the specific needs of a society. While most of us think of kinship as a biological relationship, it is, in fact, a relationship defined by culture. Historically, anthropology approached the study of kinship as a collection of terms and relationships. Lewis Henry Morgan did early research on the diversity of kinship across societies. Bronislaw Malinowski and A. R. Radcliffe-Brown revealed kinship’s institutional nature and how it connects to other aspects of social life, such as politics, economics, and subsistence. Today, anthropologists view kinship as one of the foundational social structures and institutions within a society. It defines the way an individual (EGO) fits within a larger kindred (depicted by terms of reference) and the rights and obligations that EGO has to these individuals (depicted by terms of address). Embedded within the larger kinship structure is the family, those believed to be related to each other and who have distinct rights and responsibilities to the family unit. Some families live together with mutual goals while others are disperse, claiming ancestral kinship ties. Families also include individuals who share ties of descent (consanguineal ties) and ties of marriage (affinal ties). A household is a group of individuals who live within the same residence and share socioeconomic needs. This may or may not include more than one family. There are various types of families across cultures, including the nuclear family, extended family, and blended family. Many families also include fictive kin, individuals who are included within the intimate family and perceived to have relationships as close as those of blood or marriage. Godparenthood, called compadrazgo in Latin American, is an example of fictive kin. Kinship is graphically depicted by means of a kinship chart, which shows the kindred connected by consanguineal and affinal ties. All kinship charts use a point of reference referred to as EGO, the individual whose relationships are traced on the chart. There are three major types of kinship structure: lineal kinship, which highlights the nuclear family; bifurcate merging kinship, which distinguishes between parallel and cross cousins; and generational kinship, which greatly expands the family of orientation to include all kindred within the same generation. Ties of descent, whether unilineal, ambilineal, or bilateral, drive connections within a kinship chart. In some families, descent (and inheritance) is traced through only one of EGO’s parents (unilineal or ambilineal), and in others descent is traced through both parental lines (bilateral). EGO’s family of orientation is ideally created through a marriage (affinal tie), but what constitutes marriage varies greatly across cultures. In short, marriage is best defined as the formation of a new, socially sanctioned family. Some societies practice monogamy, the marriage of only two adults at a time. Where individuals can and do change partners during their lifetimes, they may practice serial monogamy. In other societies, polygamy is the marriage ideal. While polygamous unions usually begin as two adults, polygamy sanctions a marriage of more than two adults. When there is an ideal of one man with multiple wives, it is known as polygyny, and where there is one woman with more than one husband, it is called polyandry. How and who one marries is also regulated by rules of postmarital residence, including neolocal, patrilocal, matrilocal, avunculocal, and ambilocal types. Each of these is adapted to the descent rule utilized by the society in reckoning kinship. Unilineal descent, with the creation of lineages distinguishing the husband from the wife, also involves marriage compensations, such as bride wealth, bride service, and dowry. Marriage compensation formalizes the alliance between the two lineages involved in the marriage and compensates one lineage for the loss of a young person and their offspring (as residence rules will require them to live with the lineage of their spouse). Remarriage obligations are also common in unilineal societies where the marriage is structured to endure even beyond death. Critical Thinking Questions Kinship Interview Do a kinship interview with a friend or peer. Collect information about their immediate family and relatives, including information about marriage and descent, being sure to note deceased relatives and any prior marriages. Draw a kinship chart that graphically depicts the information that you collected through the interview. Ask your participant informer to critique your chart, and then make any needed adjustments. Present the results of your project along with a reflection on the highlights of this work. What most challenged you, and how did this work help you better understand your friend/peer? What interesting things did you learn about their life? Bibliography Adams, William Y. 1983. “Once More to the Fray: Further Reflections on Navajo Kinship and Residence.” Journal of Anthropological Research 39 (4): 393–414. Adoption Network. “US Adoption Statistics.” https://adoptionnetwork.com/adoption-statistics#:~:text=There%20are%20about%201.5%20million,one%20out%20of%2050%20children. 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Haile, Berard. 1942. “Why the Navajo Hogan?” Primitive Man 15 (3–4): 39–56. Hua, Cai. 2008. A Society without Fathers or Husbands: The Na of China . Translated by Asti Hustvedt. New York: Zone Books. Ingar, Carmen Mez. 2015. “Necesidad de desarrollar el derecho consuetudinario.” Revista Jurídica “Docentia et Investigatio” 17 (1): 21–30. Jacobi, Jeffrey S. 2006. “Two Spirits, Two Eras, Same Sex: For a Traditionalist Perspective on Native American Tribal Same-Sex Marriage Policy.” University of Michigan Journal of Law Reform 39 (4): 823–50. Keesing, Felix. 1958. Cultural Anthropology . New York: Holt, Rinehart and Winston, Inc. Kramer, Stephanie. 2019. “U.S. Has World’s Highest Rate of Children Living in Single-Parent Households.” Pew Research Center. December 12, 2019. https://www.pewresearch.org/fact-tank/2019/12/12/u-s-children-more-likely-than-children-in-other-countries-to-live-with-just-one-parent/. Lamphere, Louise. 2005. “Replacing Heteronormative Views of Kinship and Marriage.” American Ethnologist 32 (1): 34–36. Leinaweaver, Jessaca. 2014. “Informal Kinship-Based Fostering Around the World: Anthropological Findings.” Child Development Perspectives 8 (3): 131–35. Malinowski, Bronislaw. 1922. Argonauts of the Western Pacific . London: Routledge & Kegan Paul Ltd. Malinowski, Bronislaw. 1930. “Kinship.” Man , 30:19–20. Mintz, Sidney W., and Eric R. Wolf. 1950. “An Analysis of Ritual Co-Parenthood (Compadrazgo).” Southwestern Journal of Anthropology 6 (4): 341–68. Mattison, Siobhán M. “Paternal Investment and the Positive Effects of Fathers among the Matrilineal Mosuo of Southwest China.” American Anthropologist . 116 (3): 591–610. Morgan, Lewis Henry. 1871. Systems of Consanguinity and Affinity of the Human Family . Washington, DC: Smithsonian Institution. Murphy, Yolanda, and Robert Murphy. 1985. Women of the Forest . 2nd ed. New York: Columbia University Press. Peng, Jessica. 2018. “To Marry or Not to Marry? Consensual Union Is Popular in Iceland.” Reykjavik Grapevine. June 4, 2018. https://grapevine.is/mag/articles/2018/06/04/to-marry-or-not-to-marry-consensual-union-is-popular-in-iceland/. Radcliffe-Brown, A. R. 1922. The Andaman Islanders . Cambridge, UK: Cambridge University Press. Radcliffe-Brown, A. R. 1952. Structure and Function in Primitive Society . London: Cohen and West Ltd. Rivers, W. H. R. 1910. “The Genealogical Method of Anthropological Inquiry.” The Sociological Review 3 (1): 1–12. Schulte, Ernest L. 1965. Manual for Kinship Analysis . New York: Holt, Rinehart and Winston, Inc. Shapiro, Warren. 2015. “Not ‘From the Natives’ Point of View’: Why the New Kinship Studies Need the Old Kinship Terminologies.” Anthropos 110 (1): 1–13. Sitlhou, Hoineilhing. 2018. “Symbolism of Bride Wealth and Gift-Giving in Marriage System of the Kukis.” Indian Anthropologist 48 (1): 31–46. Stone, Linda. 1998. Kinship and Gender: An Introduction . Boulder, CO: Westview Press. Schwartze, Lucas J. 2010. “Grave Vows: A Cross-Cultural Examination of the Varying Forms of Ghost Marriage among Five Societies.” Nebraska Anthropologist 25:82–95. Topley, Marjorie. 1955. “Ghost Marriage among the Singapore Chinese.” Man 55:29–30. United States Census Bureau. 2016. “The Majority of Children Live with Two Parents, Census Bureau Reports.” November 17, 2016. https://www.census.gov/newsroom/press-releases/2016/cb16-192.html. Van Vleet, Krista E. 2008. Performing Kinship: Narrative, Gender, and the Intimacies of Power in the Andes . Austin: University of Texas Press. Zeitzen, Miriam Koktvedgaard. 2008. Polygamy: A Cross-Cultural Analysis . Oxford, UK: Berg. ambilocal residence a postmarital residence pattern in which the couple chooses one lineage for their offspring, either the mother’s or the father’s; associated with ambilineal descent. avunculocal residence a postmarital residence pattern where a newly married couple resides with the groom’s mother’s brother; associated with patrilineal descent. bride service a transfer of wealth from the groom’s to the bride’s family through labor, usually the contracted labor of the groom, either before or after the marriage. bride wealth the transfer of material and symbolic value from the groom’s to the bride’s family in order to legitimize the marriage contract. dowry material value carried by the bride into her own marriage to provide her with symbolic leverage within her husband’s lineage. fraternal polyandry a form of marriage in which biological brothers marry a single wife. ghost marriage a marriage between one or two deceased individuals in order to create an alliance between lineages. incest taboo a prohibition against sexual relations that is universal between parents and their offspring and sometimes extends to other relations considered too close for sexual relationships. levirate a remarriage obligation in which the surviving widow (wife) must marry her deceased husband’s brother; the levirate occurred within polygynous societies. marriage the formation of a new, socially sanctioned family as it is defined across cultures and societies. marriage compensation the transfer of some form of wealth from one family to another to legitimize the marriage as a creation of a new social and economic household. matrilocal residence a postmarital residence pattern in which the newly married couple establishes their new household with or near the bride’s mother or the bride’s mother’s relatives; also called uxorilocal residence . monogamy the formally sanctioned union of two adults. neolocal residence a postmarital residence pattern in which the newly married couple establishes an independent household not connected to either spouse’s family. patrilocal residence a postmarital residence pattern in which a newly married couple establishes their new household with or near the groom’s father or the groom’s father’s relatives; also called virilocal residence . polygamy the formally sanctioned union of more than two adults at the same time. polyandry is the marriage of one wife and more than one husband. polygyny the marriage of one man to more than one woman. postmarital residence rules the social rules that determine where a newly married couple will reside following marriage. remarriage obligations responsibilities to replace a deceased spouse with a new spouse from the same lineage in order to maintain the stability of the family unit. serial monogamy a form of monogamy in which two adults have a series of marriages over a lifetime. sororate a remarriage obligation in which the surviving widower (husband) must marry his deceased wife’s sister or another female relative from her family.", "section": "Marriage and Families across Cultures", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction “It’s a _____!”: When someone announces the birth of a new baby, a first question is often whether the infant is a boy or girl. (credit: “It’s a Boy!” by George Ruiz/flickr, CC BY 2.0) A friend announces, “My sister just had a baby last night!” Many people will immediately ask, “Is it a boy or a girl?” Gender is central to the way people think about and interact with others. Anthropologists are curious about the many ways in which gender shapes impressions and assumptions about people and why gender is such a primary concern. Gender influences how people think about their own identities, how they present themselves to others, and how they plan to lead their lives. People’s sexual identities and desires are shaped by gendered notions of themselves and others. Since the beginning of the discipline, anthropologists have described how cultures construct gender roles and sexual practices in many different cultural contexts. This chapter will explore the origins of gender and consider various forms of biological evidence for gender differences. And it will consider how power operates in cultural constructions of gender and sexuality. Anthropologists have discovered great diversity in human systems of gender and expressions of sexuality.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Sex, Gender, and Sexuality in Anthropology Learning Outcomes By the end of this section, you will be able to: Define the concepts of sex and gender and explain the difference between the two concepts. Describe various cultural expressions of sexuality. Identify the difficulties in applying primate research to human gender and sexuality. Critique the “man the hunter” thesis of human evolution. For many people, male and female refer to natural categories that neatly divide up the human population. Often, people associate these two categories with different abilities and personality traits. Setting aside these ideas and assumptions, anthropologists explore aspects of human biology and culture to understand where notions of gender come from while documenting the diversity of gender and sexuality in cultures all over the world, past and present. The Terms: Sex, Gender, and Sexuality In the social sciences, the term sex refers to the biological categories of male and female (and potentially other categories, as discussed later in this chapter). The sex of a person is determined by an examination of biological and anatomical features, including (but not limited to): visible genitalia (e.g., penis, testes, vagina), internal sex organs (e.g., ovaries, uterus), secondary sex characteristics (e.g., breasts, facial hair), chromosomes (XX for females, XY for males, and other possibilities), reproductive capabilities (including menstruation), and the activities of growth hormones, particularly testosterone and estrogen. It may seem as though nature divides humans neatly into females and males, but such a long list of distinguishing factors results in a great deal of ambiguity and diversity within categories. For instance, hormonal influences can produce results different from the ways that people typically develop. Hormonal influences shape the development of sex organs over time and can stimulate the emergence of secondary sex characteristics associated with the other sex. Clothes on or clothes off, people can have body features associated with one sex category and chromosomes associated with another. While sex is based on biology, the term gender was developed by social scientists to refer to cultural roles based on these biological categories. The cultural roles of gender assign certain behaviors, relationships, responsibilities, and rights differently to people of different genders. As elements of culture, gender categories are learned rather than inherited or inborn, making childhood an important time for gender enculturation. As opposed to the seeming universality of sex categories, the specific content of gender categories is highly variable across cultures and subject to change over time. The two terms, biological sex and cultural gender, are often distinguished from one another to clarify the differences embedded in “nature” versus the differences constructed by “culture.” But are biological sex categories based on an objective appraisal of nature? Are sex categories universal and durable? Some scholars question the biological objectivity of sex and its opposition to the more flexible notion of gender. Transgender activist Aurora Claire Borin at a women’s march in Calgary, Canada. (credit: “Women’s March in Calgary” by JMacPherson/flickr, CC BY 2.0) Associated with sex and gender, the concept of sexuality refers to erotic thoughts, desires, and practices and the sociocultural identities associated with them. The complex ways in which people experience their own bodies and perceive their own gender contribute to the physical behaviors they engage in to achieve pleasure, intimacy, and/or reproduction. This complex of thoughts, desires, and behaviors constitutes a person’s sexuality. Some cultures have very strict cultural norms regarding sexual practices, while others are more flexible. Some cultures confer a distinctive identity on people who practice a particular form of sexuality, while others allow a person to engage in an array of sexual practices without adopting a distinctive identity associated with those practices (Nanda 2000). Sexual orientation refers to sociocultural identities associated with specific forms of sexuality. For instance, in American culture, sex between a woman and a man is conventionalized into the normative identity of heterosexual . If you are a person who practices that kind of sex (and only that kind), then most Americans would consider you to be a heterosexual person. If you are a person who engages in sex with someone of the same sex/gender category, then in American culture, you would be considered a gay person (if you identify as male) or a lesbian (if you identify as female). So anxious are Americans about these categorical identities that many young people who have erotic dreams or passing erotic thoughts about a same-sex friend may worry that they are “really” not heterosexual. As American norms have changed over the past several decades, some people who have romantic, emotional, or erotic feelings toward people of their own gender and another gender have adopted the identity of bisexual . People who may have erotic desires about and relations with others without regard to their biological sex, gender identity, or sexual orientation may consider themselves to be pansexual . Even more recently, some people who do not engage in sexual thoughts, desires, or practices of any kind have embraced the identity of asexual . While there are many aspects and manifestations of sexual orientation, sexual orientation is considered to be a central and durable aspect of a person’s sociocultural identity. In some cultures, heterosexuality was previously thought to be the most “natural” form of sexuality, a notion called heteronormativity . This notion has been challenged by research and the growth of the global LGBTQIA+ movement. In many other cultures, people are allowed or even expected to engage in more than one form of sexuality without necessarily adopting any specific sexual identity. This is not to say that these other cultures are consistently more liberal and tolerant of sexual diversity. In many societies, it is acceptable for people to engage in same-sex practices in certain contexts, but they are still expected to marry someone of the opposite sex and have children. Scholars who have studied sexuality in many cultures have also pointed out that a person’s gender identity, sexual orientation, and sexuality tend to change significantly over the life span, responding to different contexts and relationships. The term queer , originally a pejorative term in American culture for a person who did not conform to the rigid norms of heterosexuality, has been appropriated by people who do not abide by those norms, particularly people who take a more situational and fluid approach to the expression of gender and sexuality. Rather than a set of fixed and durable identities, queer gender and sexuality are more fluid, constantly emerging, and contingent on multiple factors. As complex as sex, gender, and sexuality can be, it is helpful to have a diagram illustrating the possible relationships among these factors. Activist Sam Killermann has developed a useful diagram known as “ The Genderbread Person ,” depicting the various aspects of identity, attraction, expression, and physical characteristics that combine in the gender/sexuality of whole persons. Sam Killermann’s “Genderbread Person” illustrates how identity, attraction, expression, and physical characteristics all contribute to gender and sexuality. (credit: “Genderbread Person v4” by Sam Killermann/Wikimedia Commons, Public Domain) Evidence from Biological Anthropology Given humans’ close biological relationship to primates, one might expect to see similar dynamics of sex and gender between human and nonhuman primate social groups. Biologists and primatologists have examined sex differences in the biology and behavior of both nonhuman and human primates, looking for commonalities that might suggest a common biological genesis for sex/gender categories. Primate Sex Differences: Biology and Behavior In the 1950s, a time when American men were supposed to be breadwinners and American women were urged to be housewives and mothers, most primatologists believed that males were the public actors in primate social life, while females were passive, marginal figures. Primatologists of the time believed that males constantly competed against one another for dominance in a rigid group hierarchy, while females were more narrowly interested in raising young (Fedigan and Fedigan 1989). In fact, primatologists described the total social organization of primates in terms of male competition. This view went along with Charles Darwin ’s notion that males are forced to compete for the opportunity to mate with females and so, therefore, must be assertive and dominant. Females, in Darwin’s theory, were shaped by evolution to choose the strongest male to mate with and then concern themselves exclusively with nurturing their offspring to adulthood. By the 1980s, however, a number of strong studies were showing some very surprising things about primate social organization. First, most primate groups are essentially composed of related females, with males as temporary members who often move between groups. The heart of primate society, then, is not a set of competitive males but a set of closely bonded mothers and their young. Females are not marginal figures but central actors in most social life. The glue that holds most primate groups together is not male competition but female kinship and solidarity. Second, social organization in primates turned out to be incredibly complex, with both males and females actively strategizing for desirable resources, roles, and relationships. Research on a number of primate species has demonstrated that females are often sexually assertive and highly competitive. Female primates actively exercise their preference to mate with certain male “friends” rather than aggressive or dominant males. For males, friendliness with females may be a much better reproductive strategy than fighting with other males. Moreover, many primatologists have begun to identify cooperation rather than competition as the central feature of primate social life while still recognizing competition for resources by both males and females in their pursuit of survival and reproduction (Fedigan and Fedigan 1989). What this means, in a nutshell, is that (1) both females and males are competitive, (2) both females and males are cooperative, and (3) both females and males are central actors in primate social life. While evidence suggests that in primate groups males and females are equally important to social life, this still leaves open the question of biological differences and their link to behavioral differences. The anatomy of primate males and females differs in two main respects. First, of course, adult females can and often do experience pregnancy and bear offspring. The females of most primate species are often pregnant or nursing for most of their adult lives and devote more time and resources to care of young than males do (although there are some notable exceptions, such as certain species of New World monkeys). And some researchers have noted the tendency of juvenile females to pay more attention to primate babies in the group than do juvenile males. Second, male primates tend to be slightly bigger than females, although this difference itself is quite variable. The size difference between males and females of any species is referred to as sexual dimorphism . Male and female gibbons are nearly the same size, while male gorillas are nearly twice the size of females. Female chimpanzees are about 75 percent the size of males. Human females are about 90 percent the size of males, making human sexual dimorphism closer to gibbons than chimpanzees. Some researchers suggest that a high level of sexual dimorphism is associated with strong male dominance, rigid hierarchy, and male competition for mating with females. Certainly these features reinforce one another in gorilla society. A low level of sexual dimorphism may be associated with long-term monogamy, as with gibbons. However, anthropologist Adrienne Zihlman cautions against making any firm judgments about the relationship between biological features such as size and behavioral features such as sexual relations. She remarks, “There is no simple correlation between anatomy and behavioral expression, within or between species” (1997, 100). Reviewing research on sex differences in gibbons, chimpanzees, gorillas, and orangutans, she concludes that each species features a unique “mosaic” of sex differences involving anatomy and behavior, with no clear commonality that might predict what is “natural” for humans. Bonobo group hug. Bonobos, which share 99% of their DNA with humans, live in female-dominant groups that are mostly egalitarian and peaceful. (credit: “JaxZoo_1-5-17-7140” by Rob Bixby/flickr, CC BY 2.0) Humans’ closest primate relatives are chimpanzees and bonobos, both sharing 99 percent of their DNA with humans, and yet each species exhibits very different gender-related behaviors. Bonobos are female-dominant, while chimpanzees are male-dominant. Bonobo groups are mostly egalitarian and peaceful, while chimpanzee groups are intensely hierarchical, with frequent male aggression between groups. Sexual behavior among bonobos is remarkably frequent and extraordinarily variable, with a wide range of same-sex and opposite-sex pairings involving various forms of genital contact. Some researchers believe that sexual contact helps build social bonds and ease conflicts in bonobo groups. Bonobos have been called the “make love, not war” primate. Sexual behavior among chimpanzees is also variable but much more limited to opposite-sex pairings. A female in estrus may mate with several males, a pattern called opportunistic mating. Short-term exclusive relationships may form, in which a male guards a female to prevent other males from mating with her. Consortships also happen, in which a female and a male leave the group for a week or more. With such variability between humanity’s two closest DNA relatives, it is impossible to use nonhuman primate behavior to make assumptions about what is “natural” for human males and females. In fact, with regard to gender, the lessons of primatology may be that apes (like humans) are biologically quite flexible and capable of many social expressions of gender and sexuality. Human Sex Differences: Biology and Behavior Just as with primate research, research on human biological sex/gender differences has been considerably slanted by the gender bias of the (often male) researchers. Within the Euro-American intellectual tradition, scholars in the past have argued that women’s biological constitution makes them unfit to vote, go to college, compete in the job market, or hold political office. More recently, beliefs about the different cognitive abilities of men and women have become widespread. Males are supposedly better at math and spatial relationships, while females are better at language skills. Hormonal activities supposedly make males more aggressive and females more emotional. In her book Myths of Gender , biologist Anne Fausto-Sterling (1992) conducts a massive review of research on cognitive and behavioral sex/gender differences in humans. Looking very closely at the data, she finds that the vast number of studies show no statistically significant difference whatsoever between the cognitive abilities of boys and girls. A minority of studies found very small differences. For instance, among four studies of abstract reasoning abilities, one study indicated that females were superior in this skill, one study indicated that males were superior, and two studies showed no difference at all. Overall, when differences are found in verbal abilities, girls usually come out ahead, but the difference is so small as to be irrelevant to questions of education and employment. Likewise, more than half of all studies on spatial abilities find no difference between girls and boys. When differences are found, boys come out ahead, but the difference is again very small. Looking at the overall variation of skill levels in this area, only about 5 percent of it can be attributed to gender. This means that 95 percent of the differences are due to other factors, such as educational opportunities. A girl solving math problems in school. Research has found no statistically significant difference between the cognitive abilities of boys and girls. (credit: “Uganda_13” by mattlucht/flickr, CC BY 2.0) Even these tiny differences that may exist in the cognitive talents of different genders are not necessarily rooted in biological sex differences. Several studies of spatial abilities have shown that boys may initially perform better on spatial ability tests, but when given time to practice, girls increase their skill levels to become equal to boys, while boys remain the same. Some researchers reason that styles of play such as sports, often encouraged more by parents of boys, may build children’s spatial skills. Parenting styles, forms of play, and gender roles—all elements of culture—may shape the data more than biology. Cross-cultural studies also indicate that culture plays an important role in shaping abilities. A study of the Inuit found no differences at all in the spatial abilities of boys and girls, while in a study of the Temne of Sierra Leone, boys outperformed the girls. Inuit girls are generally allowed more freedom and autonomy, while Temne girls are more restricted in their activities. The relative freedom of Inuit girls may enhance their spatial abilities. (credit: “Children in Greenland” by Greenland Travel/flickr, CC BY 2.0) Similar complexities emerge in the analysis of studies on aggression. Fausto-Sterling found that most studies revealed no clear relationship between testosterone levels and levels of aggression in males. Moreover, testosterone aggression studies have been riddled with problems such as poor methodology, questionable definitions of aggression, and an inability to prove whether testosterone provokes aggression or the other way around. Where differences in aggression between girls and boys are documented, some researchers have concluded that cultural factors may play a strong role in producing those differences. Anthropologist Carol Ember studied levels of aggression among boys and girls in a village in Kenya. Overall, the boys exhibited more aggressive behavior, but there were exceptions. In families lacking girl children, boys were made to perform more “feminine” work such as childcare, housework, and fetching water. Boys who regularly performed those tasks exhibited less aggression than other boys—up to 60 percent less for boys who performed a lot of this work. As with the primate research on sex differences, research on the brains, bodies, and behaviors of male and female humans does not seem to suggest that significant behavioral differences are biologically hardwired. While researchers have discovered differences in the cognitive talents and social behaviors of males and females, those differences are very small and could very well be due to social and cultural factors rather than biology. As with bonobos and chimpanzees, humans are biologically quite flexible, allowing for a diverse array of forms of gender and sexuality. Evidence from Archaeology Seeking to understand the origins of human sociocultural formations of gender and sexuality, some researchers have turned to the archaeological record. Archaeologists use temporal sequencing, fossil evidence, comparison with living communities, and knowledge of the evolutionary process to piece together an understanding of the development of gendered and sexual behaviors in the context of human evolution. Early theories of gender in human evolutionary history were shaped by the “man the hunter” hypothesis. In the 1950s and ’60s, many anthropologists believed that hunting constituted the primary means of subsistence throughout humans’ evolutionary past, up until the domestication of plants and animals around 10,000 years ago. As hunting was mainly done by men in contemporary gathering-hunting societies, researchers assumed that hunting was naturally and exclusively a male activity throughout prehistory. Women could not hunt, it was thought, due to the burdens of pregnancy, nursing, and childcare. It seemed likely that adult women stayed together with their children at the home base while men went out in small groups in search of game. In this view, tools were invented for hunting and processing meat and were mostly made by men. Dependence on meat gave men power and prestige, leading to male dominance over females. Hunting also spurred the development of language because communication was necessary to coordinate hunting expeditions. Tools and language, in turn, stimulated the development of larger brains. Hunting by men was therefore thought to be the central driving force in the evolution of humans’ hominid ancestors. A Kali’na man and woman in the Venezuelan savanna on a gathering and hunting trip. The gathering typically done by women contributes far more to the diets of contemporary gathering-hunting societies than the hunting typically done by men does. In most contemporary gathering-hunting societies, men and women are fairly equal. (credit: Pierre Barrère/Wikimedia Commons, Public Domain) In the 1970s, researchers from the emerging field of sociobiology drew from the “man the hunter” hypothesis to claim that certain gender roles and sexual relations evolved to be natural among humans. Sociobiology is a subfield of biology that attempts to explain human behavior by considering evolutionary processes. In regard to gender roles, for instance, sociobiologists sought to understand how evolution may have shaped men and women differently, encouraging gender-specific strategies for survival and reproduction. Many sociobiologists have argued that men, as hunters, evolved to be strong and aggressive, able to strategize in groups but in fierce competition to achieve the status of dominant male; in contrast, women were primarily engaged in childcare and food preparation and therefore evolved to be more nurturing and submissive, focused on attracting the attentions of men. Dependent on men to supply meat for themselves and their children, women would have been motivated to ensnare men in long-term monogamous relationships to ensure a constant food supply as well as protection from other aggressive males. Largely free from the responsibilities of childcare, men would have been motivated to mate with as many females as possible to ensure the greatest number of descendants. This view of the natural order of gender relations became very popular and widespread in American society. Less well-known in American society is the thorough critique of the “man the hunter” hypothesis within archaeology and throughout the other subfields of anthropology. Around the same time that sociobiologists were elaborating on their theories of gender, many anthropologists were pushing back against the notion that hunting was the primary subsistence activity of gathering-hunting societies. As you’ll recall from the discussion of such societies in, Work, Life, and Value: Economic Anthropology , gathering contributes far more to the diets of contemporary gathering-hunting societies than hunting does. Rather than staying at the home base, women and children go out gathering in groups several times a week, largely meeting their own nutritional needs as well as sharing with others. Pregnancy and nursing do not significantly limit the subsistence activities of women, as they remain active throughout pregnancy and carry infants in slings or on their hips until the children are able to keep up. While meat is highly valued, it does not make women dependent on men, and the ability to hunt does not make men dominant over women. In most contemporary gathering-hunting societies, men and women are fairly equal. In archaeology, some feminist researchers have countered the “man the hunter” hypothesis with a “woman the gatherer” hypothesis. These researchers point to fossil evidence suggesting that women’s activities were equally important to survival and development in humans’ evolutionary past. These archaeologists note that the teeth of early hominids indicate that they were omnivorous, eating a wide variety of foods. The very large, well-worn molars of early hominid skulls indicate an adaptation to a diet of gritty foods such as nuts, seeds, and fruits with tough peels. Given the centrality of plant foods to the diets of contemporary gathering-hunting peoples, it seems likely that gathering was also the primary means of food-getting for humans’ ancestors (though, of course, one must be cautious in making such generalizations). If gathering was so crucial, then quite possibly the ingenuity of early hominids might have been focused not only on making hunting gear but also on developing tools for gathering, such as digging sticks and stones for breaking open hard shells. As hominid babies lacked the grasping toes of other apes, it would have been more difficult for them to grasp hold of their mothers as they were carried out on gathering expeditions. Perhaps, then, an important invention might have been a baby sling made of animal skins, an object known as a kaross among the San peoples of the Kalahari in southern Africa. Unfortunately, as digging sticks and baby slings would have been made of organic materials, the fossil record contains no trace of them. While the stone tools used in hunting are prevalent in the fossil record, the organic tools used in gathering would have decomposed long ago. If gathering was the crucial food-getting strategy of hominins or was at least equal in importance to hunting, then women likely enjoyed considerable social power alongside men. If women were gathering, they probably contributed to the development of the tools associated with gathering. On the move throughout the local environment, women likely knew where to find high-quality foods and when such foods were in season. If women could provide for themselves, they would have been free to become involved in romantic and sexual relationships on their own terms and to leave such relationships when they wanted. What is known about gathering in gathering-hunting societies completely overturns assumptions of male dominance embedded in the “man the hunter” hypothesis. Beyond “man the hunter” and “woman the gatherer” hypotheses, cultural anthropologists who study gathering-hunting groups point out that the gendered division of labor in gathering-hunting societies is more flexible than these essentialist theories might suggest. In such societies, men also gather plant foods, and women sometimes hunt for honey or kill small game such as lizards and insects. As mentioned in the introduction to this textbook, a team of archaeologists led by Randy Haas recently discovered the 9,000-year-old bones of a woman buried with projectile points and other hunting implements in the Andes of South America (Gibbons 2020). Having reexamined archaeological reports on the burials of 10 other women buried with hunting tools, Haas and his team believe they may also have been female hunters. A statue of Diana, Roman goddess of the hunt. Recent archaeological finds of females buried with hunting tools suggest that in early human societies, hunting was not an activity solely performed by males. (credit: “Diana of the Tower” by ego technique./flickr, CC BY 2.0) As with evidence from primates and human biology, the archaeological evidence for the origins of human gender roles and sexual relations is not definitive. Rather, the main lesson seems to be that humans are biologically flexible and culturally variable in their expressions of gender and sexuality. asexual not engaging in sexual thoughts or activities. bisexual engaging in sexual thoughts or activities involving persons of one’s own sex/gender category as well as a different sex/gender category (or multiple other such categories). heteronormativity the notion that heterosexuality is the most natural and normal form of sexuality. heterosexual engaging in sexual thoughts or activities involving persons of a different sex/gender category. gay people whose enduring physical, romantic, and/ or emotional attractions are to people of the same sex or gender; usually refers to men who are attracted to other men, but may include women who are attracted to other women. gender a set of cultural identities, expressions and roles that are assigned to people, often based upon the interpretation of their bodies, and in some cases, their sexual and reproductive anatomy. lesbian a woman whose enduring physical, romantic, and/or emotional attraction is to other women. pansexual engaging in sexual thoughts or activities with others without regard to biological sex, gender identity, or sexual orientation. Pansexual people may refer to themselves as gender-blind, meaning that sex and gender are not determining factors in their erotic relations. queer originally a pejorative term in American culture for people who did not conform to the rigid norms of heterosexuality; now used as a term of pride among many members of the LGBTQIA+ community to highlight the fluid, constantly changing, and contextual nature of gender and sexuality. sex biological categories of male, female, and intersex. sexual dimorphism a size difference between males and females of a species. sexual orientation sociocultural identities associated with specific forms of sexuality. sexuality erotic thoughts, desires, and practices and the sociocultural identities associated with them. sociobiology a subfield of biology that attempts to explain human behavior by considering evolutionary processes.", "section": "Sex, Gender, and Sexuality in Anthropology", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Performing Gender Categories Learning Outcomes By the end of this section, you will be able to: Explain how essentialism triggers circular thinking about gender. Describe the performative aspects of gender. Distinguish between public and private social realms and identify the consequences of this distinction for gender categories. Give an example of the sociocultural construction of masculinity. Define the concept of intersex. Give a detailed example of a culture with multiple genders. So if gender is not a “natural” expression of sex differences, then what is it? Cultural anthropologists explore how people’s ideas of gender are formed in their minds, bodies, social institutions, and everyday practices. Nature, Culture, and the Performance of Gender The “natural history” of gender, according to this English nursery rhyme, is based on little boys being composed of “frogs and snails and puppy dog’s tails,” while little girls consist of “sugar and spice and all that’s nice.” (credit: Walter Crane/Wikimedia Commons, Public Domain) Gender not only influences how people think about themselves and others; it also influences how they feel about themselves and others—and how others make them feel. Romantic or sexual passion draws from gendered identities and reinforces them. In the words sung by Aretha Franklin , “You make me feel like a natural woman.” There is something about gendered identity that can feel deep and real. The sense that some trait is so profoundly deep and consequential that it creates a common identity for everyone who has that trait is called essentialism . Gender essentialism is the basis of a lot of circular thinking. When a boy kicks a ball through the neighbor’s window and someone says, “Boys will be boys!”—that’s essentialist . You may be familiar with this little essentialist ditty from Euro-American culture: Sugar and spice and everything nice, that’s what little girls are made of. Snips and snails and puppy dog tails, that’s what little boys are made of. In this view, gender is what you’re “made of”—that is, your biological essence. And yet, biology and archaeology have shown that gender differences are complicated and illusory. What is a natural woman . . . or a natural man? Cultural anthropologists find that some cultures consider men and women to be quite similar, while other cultures emphasize differences between genders. All cultures promote a distinctive set of ideal norms, values, and behaviors, considering those ideals to be natural and good. In cultures that consider men and women to be similar, those ideals apply equally to all people. In cultures that consider men and women to be quite different, one set of ideals applies to men and another set applies to women. In all cases, the content of those ideals varies enormously across cultures. Cultural anthropologist Margaret Mead conducted research on gender in several societies in New Guinea. She confessed that she had initially assumed that gendered behaviors were grounded in biological differences and would vary only slightly across cultures. In her 1935 book, Sex and Temperament , she describes her surprise at discovering three cultural groups with vastly different interpretations of gender. Among the Arapesh and Mundugumor , men and women were considered temperamentally quite similar, with little acknowledgment of emotional or behavioral differences between them. The Arapesh valued cooperation and gentleness, expecting everyone to show tolerance and support for younger and weaker members of the group. In contrast, among the Mundugumor, both men and women were expected to be competitive, aggressive, and violent. Among the Tchambuli (or Chambri ), however, men and women were assumed to be temperamentally different: men were seen to be neurotic and superficial, while women were thought of as relaxed, happy, and powerful. While Mead’s dramatic findings have been subject to criticism, subsequent analysis and fieldwork by other anthropologists have largely substantiated her main conclusions (Lipset 2003). Like race, gender involves the cultural interpretation of biological differences. To make things even more complicated, the very process of cultural interpretation alters the way those biological differences are perceived and experienced. In other words, gender is based on a complex dynamic of culture and nature. Gender identities feel more natural than, say, class or religious identities because they involve direct reference to one’s body. Most people’s bodies feel “natural” to them even with the knowledge that culture shapes the way individuals experience their bodies. In this way, gender is not so much natural as it is naturalized , or made to seem natural. In the past three decades, many gender scholars have argued that gender is not so much a set of naturalized categories to which people are assigned as it is a set of cultural identities that people perform in their daily lives. In her influential book Gender Trouble (1990), philosopher Judith Butler describes gender as a kind of relation between categorical norms and individual performances of those norms. In childhood, people are presented with the idealized categories of male and female and taught how to enact the category to which they have been assigned. For Butler, gender is “an impersonation” because “becoming gendered involves impersonating an ideal that nobody actually inhabits” (1992). If gender involves both established categories and everyday performances, then it’s necessary to pay close attention to the idealized norms of gender constructed in a particular cultural context and the various ways in which people enact those norms in practice. In Gender and Sexuality in Muslim Cultures (Ozyegin 2015), researchers studying Muslim communities in Turkey, Egypt, Pakistan, Syria, and Iran examine the ideals of Muslim masculinity and femininity in those contexts, as well as how those ideals are enacted and resisted in everyday life. Salih Can Açıksôz describes how the Turkish government provides disabled veterans with access to assisted reproductive technologies so that they can father children. The aim of this program is to make them feel like “real men” again, renormalizing their masculinity in the context of heterosexual family life. Maria Frederika Malmstroöm shows how Muslim women in Cairo strive to achieve the purity and cleanliness associated with femininity through such practices as cooking, skin care, and becoming circumcised. The idea is that gender is not at all “natural”; you have to work at it every day and make sure you’re doing it right. If you cannot seem to approximate your gender norm for some reason, then your family members, friends, and even the government may step in to help you perform it. Women and Feminist Theories of Gender Inspired by the women’s movement of the 1960s, many female anthropologists in the early 1970s began taking a critical look at mainstream American anthropology, noticing how the discipline focused almost exclusively on the activities of men—both as researchers and objects of study. In most early and mid-20th-century ethnographies, men were represented as the major social actors, and men’s activities were assumed to be the most important ones. Where were the women, and what were they doing? Calling for an “anthropology of women,” many feminist anthropologists set out to correct the ethnographic record by focusing more on the voices, perspectives, and practices of women in cultures all over the world. Examining the roles of women in many cultures, feminist anthropologists began to see some patterns. In contexts where women made strong and direct contributions to subsistence, they seemed to enjoy greater social status and equality with men. Among gatherer-hunters , for instance, where women’s gathering activities provided the majority of calories in the overall diet, women held positions of equality. In contexts where women were relegated to the home as housekeepers and mothers, they were more subordinate to men and were not considered equal actors in sociocultural activities. Agricultural and industrial societies both created “public” spheres of work separate from the “private” sphere of the household. Women in these societies were more often assigned to work in the private sphere and sometimes even prohibited from entering public areas. In the mid-20th century, a cult of domesticity assigned American women to uncompensated work in the home. (credit: US National Archives and Records Administration/Wikimedia Commons, Public Domain) In capitalist market systems, the domestic work of housewives is uncompensated and virtually invisible. Cultural anthropologist Michelle Rosaldo (1974) argued that the division of sociocultural life into public and private spheres resulted in the marginalization of women. While this early wave of feminist anthropology focused on women, more recently researchers have questioned the essentialism of this approach. Is gender always the most important factor in determining the status of women in all cultures? Gender intersects with race, class, ethnicity, age, sexuality, and physical ability to make the experiences of women diverse and complex, a position called intersectionality . Due to economic necessity, women of color in American society have more often been forced to work outside the home. In fact, many privileged White women have been able to hire domestic workers to relieve them of their household chores—and often those domestic workers have been women of color. For cooks, nannies, and housekeepers, the private domestic sphere of privileged women constitutes their own public sphere of work, supervised by the woman of the house. The experiences of people of color complicate the idea that women are subordinated through their confinement to the private domestic sphere. Men and Masculinities While men had been the primary focus of anthropological research up to the 1970s, they had always been studied as general representatives of their cultures. The establishment of gender studies in anthropology prompted both male and female anthropologists to view all persons in a culture through the lens of gender. That is, men began to be seen as not just “people” but people who are socialized and culturally constructed as men in their societies (Gutmann 1997). In the 1990s, a wave of scholarship emerged probing the identities of men and the features of masculinity across cultures. Cultural anthropologist Stanley Brandes (1980) studied how men in Monteros, an Andalusian town in southern Spain, used folklore to express their ambivalent feelings of desire and hostility toward women. Through their jokes, pranks, riddles, wordplay, nicknames, and dramas, men in Monteros built camaraderie and constructed a male-centered ideology of dominance. A good part of each man’s day in Monteros was devoted to telling jokes and playing pranks among other men. Many jokes expressed fears about the sexual power of women, in particular the ability of women to seduce and destroy their male victims. Brandes provides a revealing example of one such symbolic joke: A woman was walking along the streets of Madrid holding a dog in her arms so that it wouldn’t get run over. She was beautiful, the woman, and a man walking alongside her said, “If only I were that dog, there in your arms!” Responded the woman, “I’m taking him to have him castrated. Want to come along?” (1980, 105) Research on masculinity demonstrates that “male” is not a stand-alone category but is always held in opposition to “female,” even when women are not present. Other studies of masculinity have focused on the construction of masculinity through initiation rites, friendships, marriage, and fatherhood. Studying fatherhood among the Aka of central Africa, Barry Hewlett (1991) discovered that fathers in these communities are remarkably affectionate, attentive, and involved in the care of their children. Among families with young children, fathers spend 47 percent of their day within arm’s length of their children and frequently hold and care for them, especially in the evenings. Ethnographic research suggests that men are not “naturally” awkward or inept at childcare, nor are they less able to forge intimate and emotional bonds with their children. Rather, men are socialized to perform specific versions of fatherhood as proof of their masculine identities. A child expresses appreciation for his fathers at the National Equality March in 2009. For many men, devoted fatherhood plays an important role in shaping masculinity. (credit: “IMG_0789” by MYD Photos/flickr, CC BY 2.0) With the inclusion of masculinity, the anthropological study of gender came to be dominated by the opposed categories of male and female. Many studies take it as given that people are assigned at birth to one of these two categories and remain in their assigned category for a lifetime. A significant number of people in every culture, however, are not obviously male or female at birth, and some people do change their gender identities from one category to another—or even to an entirely different gender category that is neither male nor female. Intersex and the Ambiguities of Identity A friend tells you, “My sister just had a baby last night!” You respond, “Is it a boy or a girl?” Your friend replies, “Well, they don’t know. Maybe neither, maybe both.” Based on a detailed analysis of extensive data, Anne Fausto-Sterling (2000) concluded that in about 1.7 percent of births, a baby’s sex cannot be completely determined just by glancing at the baby’s genitalia. (Note that due to different or changing considerations of sex determination, you may see different percentages or other differences in information; this text is using the most widely accepted and adopted research.) Intersex is an umbrella term for people who have one or more of a range of variations in sex characteristics or chromosomal patterns that do not fit the typical conceptions of male or female; the prefix inter - means “between” and refers here to an apparent biological state “between” male and female. There are many causal factors that can make a person intersex. Genetically, the baby may have a different number of sex chromosomes. Rather than two X chromosomes (associated with females) or one X and one Y chromosome (associated with males), babies are sometimes born with an alternative number of sex chromosomes, such as XO (only one chromosome) or XXY (three chromosomes). In other cases, hormonal activity or even chance occurrences in the womb can affect the baby’s anatomy. Chromosomal compositions associated with sex categories. On the far left, the combination of two X chromosomes is associated with female sex. On the far right, the combination of one X and one Y chromosome is associated with male sex. In the center, the most common intersex chromosomal combinations are listed. An embryo lacking an X chromosome is not viable. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) While it is true that the majority of humans display biological characteristics associated with either one sex or another, 1.7 percent is not insignificant. If that percentage were applied to the global total of about 140 million babies born every year, it would mean that more than two million of these babies could be intersex. On a more local level, if that percentage were applied to any town of 300,000 people, there could be more than 5,000 intersex people. Beyond biology, the category of intersex reveals a great deal about the cultural mechanisms of gender. Intersexuality can be recognized at any point in a person’s life, from infancy to well into adulthood. Parents often discover their child is intersex in a medical context, such as at birth or during a subsequent visit to the pediatrician. When a doctor explains that a child is intersex, parents may be confused and concerned. Some doctors who are uncomfortable with biological sex ambiguity may order tests to determine the child’s chromosomal count and hormone levels and take measurements of the child’s genitals. They may urge parents to assign a specific gender to the baby and commit to plans for hormonal treatments and surgical interventions to affix that assigned gender to the growing child. Doctors are often taught to present the chosen gender as the “real” underlying sex of the baby, making medical treatment a process of allowing the baby’s “natural” (meaning unambiguous) sex to emerge. This conceptualization of intersex babies as “really” either male or female contradicts the complex mix of male and female traits presented by most intersex bodies (Fausto-Sterling 2000). Fausto-Sterling disagrees with the practice of immediately affixing a sex to intersex babies through medical interventions. She argues that gender identity emerges in a complex interplay between biology and culture that cannot be assigned or controlled by doctors or parents. In an interview with the New York Times , she explained her position: The doctors often guess wrong. They might say, “We think this infant should be a female because the sexual organ it has is small.” Then, they go and remove the penis and the testes. Years later, the kid says, “I’m a boy, and that’s what I want to be, and I don’t want to take estrogen, and by the way, give me back my penis.” I feel we should let the kids tell us what they think is right once they are old enough to know. Till then, parents can talk to the kids in a way that gives them permission to be different, they can give the child a gender-neutral name, they can do a provisional gender assignment. (Fausto-Sterling 2001) Many intersex people support a ban on what they call intersex genital mutilation, or IGM. In an article for HuffPost , Latinx intersex author and activist Hida Viloria (2017) calls attention to the hundreds of intersex people who have come forward to say that IGM has harmed them. The underlying goal of sexual assignment surgery, Viloria points out, is to create bodies capable of heterosexual sex. Medical ethicist Kevin Behrens (2020) argues that surgical interventions should only be carried out when surgery serves the best medical interests of the child and, in most cases, medical intervention should be delayed until the intersex person is old enough to give informed consent. Behrens also emphasizes that parents and children have the right to know the truth about an intersex child’s diagnosis and the possible consequences of any suggested treatment. Intersex ambiguity and the rush to hide or eliminate it reveal important lessons about biology and culture. The process of determining what an intersex person was “meant to be” often involves a large set of biological variables, many of them subject to change over time. Those factors vary not only for intersex people but for everyone. Chromosomes alone do not make females and males. Rather, the interactions of genetic factors with hormones and environmental forces produce a complex continuum of gender. Instead of a binary of male and female separated by a hard boundary, many gender scholars recognize gender as a multidimensional spectrum of differences. There is far more biological variation within the cultural categories of male and female than between the two. This is not to deny the existence of biological differences but rather to complicate the concepts of sex and gender, allowing for the normalcy of ambiguity and the tolerance of variation. Multiple Gender and Variant Gender Many societies construct additional categories between male and female to accommodate people who do not fit into a binary gender system. The term multiple gender indicates a gender system that goes beyond male and female, adding one or more categories of variant gender to accommodate more sex/gender diversity. A variant gender is an added version of male or female that accommodates those who were not assigned to that category at birth but adopt that identity during the course of their lives. A person whose biology, identity, or sexual orientation contradicts their assigned sex/gender role can adopt a variant-gender identity. For instance, a person might be considered female at birth but later transition to a masculine version of female—what anthropologists term female variant . Cultural anthropologist Serena Nanda (2000) has studied variant-gender categories in many societies, including Native North American societies and peoples in Brazil, India, Polynesia, Thailand, and the Philippines. The widespread practice of multiple gender indicates a common cultural need to accommodate the complexities of human sex/gender and sexuality. In contrast, European and Euro-American societies have inherited a rigid two-gender system that stigmatizes people who do not conform to the gender identity assigned to them at birth. Activists pressing for more gender flexibility can be inspired by examples of alternative gender in many non-European cultures. When Spanish explorers first came to North America, they were astonished to find men in Native American societies who dressed as women, did the work of women, and had sexual relationships with men. Later, anthropologists who studied Native American groups discovered that some groups, including the Crow and the Navajo, had categories of variant male (assigned a male identity at birth but adopting a feminine identity later on) and variant female (assigned female at birth but adopting a masculine identity later on). Note that people in variant categories did not fully transition to the opposite gender but rather took on a masculine or feminine variant of the sex assigned at birth. Ignoring the Native American terms for variant gender, early European explorers referred to variant males as berdache , a Portuguese term that indicated a male prostitute—though that is not what they were at all. In 1990, as Native American LGBTQ people sought to resurrect their heritage of variant gender, they coined the pan-Indian term two-spirit people , meaning people with both male and female spirits. Two-spirit people were highly valued and esteemed in Native cultures. Rather than facing stigma or rejection, their alternate gender identity was thought to give them special talents and spiritual powers. In many Native American societies, two-spirit people often became healers and spiritual leaders. They were typically very successful at performing the work of the opposite gender. Male-variant people were known for their excellent cooking and needlework, and many female-variant people were great hunters and warriors. Two-spirit people were also called upon to act as intermediaries between genders, such as in marriage arrangements. Like gender-nonconforming people in many societies, two-spirit people began to realize their variant identities in childhood, rejecting the activities associated with their assigned gender. A boy might want to cook or weave, or a girl might prefer to hunt and play with the boys. If there were not enough boys to hunt, a family might even encourage a girl to develop a variant identity so that she could help provide meat to the family. Sometimes, children would experience visions or dreams guiding them to the tools associated with the opposite gender. Generally speaking, people of variant gender had sexual relationships with people of the gender opposite their lived identity. So if a person took on the clothing and work of a woman, they would be expected to have intimate relationships with men, and people who lived as men would have relationships with women. Neither two-spirit people nor their opposite-gender partners were considered lesbian or gay. With European colonization of North America came a much more restrictive system of gender categories and sexualities. As Euro-Americans expanded into Native American territories, Native Americans were pressured to assimilate to Euro-American norms. From 1860 to 1978, children were removed from their families and sent to assimilationist schools, where they were taught that Native cultures were backward and variant genders were sinful and deviant. By the 1930s, variant-gender practices had largely disappeared. However, with the rise of the American LGBTQ movement, many Native Americans have rediscovered the more flexible and tolerant gender system of their ancestors. essentialism a sense that some trait is so profoundly deep and consequential that it creates a common identity for everyone who has that trait. intersectionality the recognition that gender, race, class, ethnicity, age, sexuality, and physical ability all intersect to make the experiences of a person in any category diverse and complex intersex born with differences in sex characteristics or chromosomes that do not fall within typical conceptions of male or female. multiple gender a gender system that goes beyond male and female, adding one or more other categories. variant female a category of persons who are ascribed female at birth but adopt a masculine identity later on. variant gender a category of gender other than male or female. variant male a category of persons who are ascribed male at birth but adopt a feminine identity later on.", "section": "Performing Gender Categories", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Power of Gender: Patriarchy and Matriarchy Learning Outcomes By the end of this section, you will be able to: Explain the concept of gender ideology and identify two such ideologies. Discuss how patriarchy is embedded in practices and institutions. Suggest reasons for the absence of matriarchy. Give two examples that complicate views of patriarchal dominance. In cultural constructions of gender, two or more genders are defined in an overall system that assigns various forms of behavior and activity to different categories or gendered realms of society. Some of those activities are considered more important than others, and some of those behaviors are more authoritative and dominant. Gender is not only a system of differences between the realms of female and male but also a system of power between those two realms. Patriarchy: Ideology and Practice The author of this chapter, Jennifer Hasty, reflects on what she learned about gender ideology while working as wedding videographer: As a side gig to my anthropology job, I ran my own business as a wedding videographer in the Philadelphia metropolitan area from 2010 to 2017. While the whole venture was driven by economic necessity (I was teaching part-time), the wedding industry turned out to be a fascinating vantage point from which to view gender relations in American society. Most weddings were meticulously planned by the bride, with the groom deferring to her wishes or staying out of the whole process. Brides who were attracted to my artsy, minimalist film aesthetic tended to be middle-class professionals, college graduates heading into careers in education, finance, law, or medicine. Many of these weddings were grand potlatches of middle-class style and markers of identity. Though my brides were well-educated women with professional jobs, when it came to planning their “special day,” nearly all of them reverted to traditions infused with old-fashioned gender roles. Nearly all of them wore a long, white wedding dress, a symbol of virginal purity, although many of them had been cohabiting with their grooms (and some already had children with them). A bride being escorted by her father to her wedding ceremony. Weddings reveal a lot about a culture’s gender ideology. (credit: “Father of the Bride” by stevebrownd50/flickr, CC BY 2.0) Nearly all of them insisted on being “given away” by their fathers, even when those fathers had been largely absent for some part of their childhood due to divorce. This notion of being a gift, given away to the groom, was so powerful that one bride, whose father was not there, declared in her personal vows, “I give myself in marriage to you.” Grooms and their families did not use this language of human gift giving. The notion that a woman is passed from the paternalistic domain of her father into the care and supervision of her groom reflects a larger gender ideology about the relations between men and women in family life. A gender ideology is a coordinated set of ideas about gender categories, relations, behaviors, norms, and ideals. These ideas are embedded in the institutions of the family, the economy, politics, religion, and other sociocultural spheres. As with racial and class ideologies, people often challenge the explicit terms of a gender ideology while actively participating in the institutionalized forms associated with it. Though women have made great strides in American public life in past decades, in their weddings, they still enact a gender ideology that positions them as dependent objects passed between men in the transaction of marriage. The power of gender ideology is that it most frequently operates below the level of consciousness. As you will recall from previous discussions of the term, an ideology that becomes naturalized as “common sense” becomes hegemonic. Patriarchy is a widespread gender ideology that positions men as rulers of private and public life. Within the household, the eldest male is recognized as head of the family, organizing the activities of dependent women and children and governing their behavior. Family resources such as money and land are controlled by senior men. Men make decisions; women acquiesce. Beyond the family, men are accorded positions of leadership throughout society, and women are summoned to play a supportive and enabling role as marginalized subordinates. Contemporary forms of patriarchy in American and European contexts are linked to the European development of capitalism in the 1600s. As economic activities moved out of households and into factories and offices, the household came to be defined as a private sphere, while the world of economic and political activities came to be called the public sphere. Women were assigned to the private sphere of family life, where they were expected to carry out nurturing roles as wives and mothers. Men not only governed the private sphere but also participated in the competitive and sometimes dangerous public sphere. Different forms of patriarchy have emerged throughout the world. In India, the development of agriculture and the rise of the state resulted in the increasing subordination of women in patriarchal social institutions (Bonvillain 1995). Patriarchal ideology and social structure date back to the Vedic period (1500–800 BCE). In the Vedic communities of ancient India, men dominated economic and political life, and women were mostly excluded from these spheres. However, women could exercise some forms of authority as mothers in their households. Girl children, though not preferred, were generally treated well. Girls and boys both were educated and participated in religious activities. Female chastity and fidelity were highly valued, but women could engage in premarital sex without being shunned, and wives could divorce their husbands. Legally, however, daughters and wives were dependent on the men in their lives, who could make decisions on their behalf. A woman was not permitted to inherit property unless she was the only child. In the post-Vedic period, patriarchy was strengthened with the systematic codification of Hindu law. Patriarchy grew even more domineering, with the cultural spread of child marriage, wife-beating, female infanticide, and the disfigurement and ritual death of widows. When India came under Muslim rule in the 12th century, Islamic customs for veiling and secluding women further marginalized women in Hindu and Muslim communities alike. Though contemporary India is a country of ethnic and religious diversity, patriarchy has become a dominant organizational force throughout Indian society. In rural areas, people often live in large extended family households structured by patrilineal descent. These families consist of a married couple, their sons and sons’ families, and their unmarried daughters. Men are recognized as heads of their households, exercising authority over their wives and children. The division of labor assigns men to work as farmers and traders, providing food to the family. Women mainly work in the home but sometimes also help out with agricultural chores such as weeding and harvesting. In the 19th century, a reform movement called for the elimination of many patriarchal customs such as child marriage and sati (the ritual death of widows). Reformers, most of them elite men and women, encouraged the education of girl children and the legalization of inheritance for women. In response, sati became outlawed, widows were allowed to remarry, the marriage age was fixed at 12, and women were permitted to divorce, inherit, and own property. In the latter part of the 20th century, the Indian state passed laws to enhance women’s equality in many areas, including education, inheritance, and employment. Urban women in middle- and upper-class families have benefited from these reforms. However, in rural areas, many of the patriarchal customs outlawed by the state continue to be practiced. Matriarchy: Ideology and (Not) Practice As the term suggests, matriarchy means rule by senior women. In a matriarchal society, women would exercise authority throughout social life and control power and wealth. Like patriarchy, matriarchy is a gender ideology. Unlike patriarchy, however, matriarchy is not embedded in structures and institutions in any culture in the contemporary world. That is to say, it’s just an ideology—not a dominant one, and certainly not hegemonic. While societies with patrilineal kinship systems are strongly patriarchal, societies with matrilineal kinship systems are not matriarchal. This is a common source of confusion. In matrilineal kinship systems, children primarily belong to their mother’s kin group, and inheritance passes through the maternal line. However, even in matrilineal societies, leadership is exercised by the senior men of the family. Instead of a woman’s husband, it is often her brother or mother’s brother (her maternal uncle) who makes decisions about family resources and disciplines the behavior of family members. Scholars who theorize the existence of ancient matriarchies suggest that those societies were not only matrilineal but also dominated by the leadership of women as well as the values of fertility and motherhood. Nineteenth-century social evolutionists such as Friedrich Engels and J.J. Bachofen postulated that matriarchy was the original form of human social organization, later replaced by patriarchy in societies all over the world. This notion was revived by feminist scholars in the 1970s, such as archaeologist Marija Gimbutas (1991), who postulated that the original matriarchal societies of the European Neolithic were overthrown in the Bronze Age by patriarchal invaders on horseback. Gimbutas argued that the Neolithic communities of Europe were peaceful, egalitarian, and gynocentric , or woman-centered. They worshipped a mother goddess associated with the fertility of women and the earth. High priestesses of this fertility cult were the primary leaders, supported by their brothers and a council of women. Warfare was unknown. Then, waves of Indo-European pastoralists swept across Europe on horseback, conquering the original matriarchal Europeans and establishing their violent, patriarchal order with its worship of male gods and veneration of warfare. The Venus of Willendorf statue, found in southern Austria, is presumed to be about 25,000 years old. Some archaeologists speculate that this statue and the many others like it from Paleolithic Europe are symbols of a fertility cult or mother goddess. (credit: “A Female Paleolithic Figurine, Venus of Willendorf” by Wellcome Collection, CC BY 4.0) Many archaeologists disagree with Gimbutas’s interpretations of the archaeological record and her refusal to consider alternative and more mainstream interpretations of the same evidence by other archaeologists. Feminist archaeologist Ruth Tringham remarked that Gimbutas had “mystified the process of interpretation and presented her own conclusions as objective fact” (1993, 197). While Gimbutas’s work on European matriarchy is criticized by scholarly archaeology, her ideas have been embraced and popularized by New Age feminists. Where are the matriarchies? Why is patriarchy so prevalent while matriarchy is nonexistent? Nobody really knows the answers to these questions. Some anthropologists think that pregnancy and childcare marginalized women, while men were freer to participate in cultural practices, technologies, and institutions. Others suggest that women’s reproductive power posed a threat to men. Patriarchy may have been developed as a system of subordination and control over the acknowledged power of women. In the search for matriarchy, it could be that feminists are looking for the wrong thing. While anthropologists have not found societies in which women dominate and control men, there are plenty of cultural examples in which women and men enjoy relative equality and freedom from sexual oppression and control. Gender and Power in Everyday Life Contemporary anthropologists who study gender pay little attention to hypothetical debates about the origins of patriarchy or the possible existence of ancient matriarchy. Rather, cultural anthropologists are interested in how people interact with the cultural norms and systematized practices of gender in their societies. Gender is diffused throughout culture, embedded in systems of kinship, modes of subsistence, political leadership and participation, law, religion, and medicine. Anthropologists study how people move through these gendered realms in their everyday lives. They explore how identities and possibilities are shaped by the structures of gender as well as how people struggle against and sometimes transform gendered expectations. Cultural anthropologists who study women in patriarchal cultures highlight the diversity of women’s experiences and their various techniques of asserting their interests in difficult circumstances. In her study of the problem of fistula among women in Niger, Allison Heller (2019) explores how women navigate gendered realms as they cope with a debilitating reproductive problem. Obstetric fistula is a complication of childbirth in which tissues separating the bladder from the vagina are ruptured, often resulting in chronic incontinence (uncontrolled urination). Often the result of prolonged or obstructed labor, fistula disproportionately affects women in rural and poor communities, who frequently give birth without professional medical assistance. The incontinence, pain, and reproductive complications of fistula stigmatize many of the women who have this condition. A host of global aid and relief agencies depict such women as victims of fistula, rejected by their husbands and ostracized by their communities. Heller’s ethnography complicates this simplistic picture. In her interviews with women affected by fistula, Heller discovered that family structures and relationships profoundly shape women’s experiences of fistula and the treatments available to them. In social and medical crisis, these women turn to their mothers for support and advocacy. Mothers may insist that their daughters be brought to the hospital in cases of complicated labor, thereby preventing or mitigating the severity of fistula. Mothers may also act as intermediaries between women and their relatives and neighbors, working to reduce the stigma of fistula and promote sympathy and acceptance. Heller also found that marriage conditioned a woman’s experience of fistula. Whether her marriage was arranged or a marriage “for love,” a woman whose family supported her marriage was more likely to receive extended family support. Women who had strong relationships with their husbands were far less likely to be rejected by them after developing fistula. Heller also followed women into the specialized clinics devoted to fistula care and surgical remediation. In what seems like a very unfair process, women with mild fistula are often the first to receive surgery, due to the increased likelihood of positive outcomes. Women with severe fistula may wait for months for their first surgery and then undergo several often-unsuccessful surgeries. The longer the women waited, the more likely their support networks were to wear thin or break down. Contemporary anthropologists of gender study women’s experiences of migration, genocide, religious practice, and media, among many other topics. As mentioned earlier, a growing number of studies also focus on the social construction of masculinity, exploring how men interact with the gendered expectations of their sociocultural contexts. It is tempting to assume that men uniformly benefit from systems of male privilege, with particular benefits accruing to elite men. Researchers who study masculinity in cross-cultural settings have complicated this view. Cultural anthropologist Daniel Jordan Smith studied the challenges of enacting masculinity in Igbo communities of southeast Nigeria. In his book, provocatively titled To Be a Man Is Not a One-Day Job (2017), Smith demonstrates how gender is not simply ascribed at birth but presented as a lifelong project that men must constantly work to achieve. The struggle for masculine identity begins in childhood and intensifies in secondary school as boys learn “to love women and money” (2017, 30). As rural boys are often sent to towns and cities for schooling, the transition from boyhood to manhood frequently involves mastering strategies of urban survival, such as finding ways of making money to pay for consumer items that boost their prestige among peers and enable their romantic relationships. After schooling, a young man is expected to marry and become a father as well as fulfill his role in larger extended family structures. In his senior years, a man is expected to bury his own father with a spectacular funeral. Men learn these roles largely through their relationships with other men who counsel them as friends and mentors. Central to the achievement of Nigerian manhood is money. The central markers of adult manhood all require substantial resources. Without money, a man cannot pay bride wealth to marry or provide for his children. In adulthood, men are expected to accumulate wealth through successful careers and business activities and then use their resources to support their families as well as expanding networks of dependents. Elite men who achieve these milestones later struggle to build and maintain impressive family houses, send their dependents to expensive schools, clothe their wives in fine fashions, and sponsor lavish weddings and funerals. As these examples illustrate, the cultural anthropology of gender considers the situations people face as gendered persons and how they draw from available resources and relationships to fulfill their roles and sometimes challenge gendered expectations. gender ideology a coordinated set of ideas about gender categories, relations, behaviors, norms, and ideals. gynocentric woman-centered. matriarchy a hypothetical gender ideology that positions women as rulers of private and public life. patriarchy a widespread gender ideology that positions men as rulers of private and public life.", "section": "The Power of Gender: Patriarchy and Matriarchy", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Sexuality and Queer Anthropology Learning Outcomes By the end of this section, you will be able to: Explain how sexuality is threaded through the life cycle and various realms of culture. Describe the prevalence of same-sex relationships in heteronormative societies. Define the concept and practices related to ritualized sexuality. Give two examples of transgender roles in heteronormative contexts. Intersecting with gender, the anthropological study of sexuality explores the diversity of meanings, practices, relationships, and experiences associated with erotic interactions. Since the 1980s, the study of sexuality in anthropology has burgeoned into the dynamic subfield of queer anthropology . Anthropologists working in this subfield focus on areas of sociocultural activity distinguished from the presumed norms of heterosexuality and binary gender identities (Howe 2015). Early Anthropological Studies of Sexuality Cultural anthropologists have long been fascinated with sexuality. In his ethnography of sexual practices among the Trobrianders , Bronislaw Malinowski (1929) identifies sexuality as a central concern threaded throughout the sociocultural realms of everyday life. Of central importance to marriage, kinship, and gender relations, sexuality also pervades art, religion, medicine, economics, and even politics in Trobriand culture. Malinowski charts the sexual life stages of Trobrianders, starting with sexualized games in childhood and continuing with adolescent crushes and expeditions by groups of teenage boys or girls to nearby villages in search of amorous adventures. He describes the selection of marriage partners and the frequency of extramarital sexual relations among men. Throughout his analysis, Malinowski emphasizes that all societies must regulate the primal sexual impulse. In this functional view, sexual norms and rules function to maintain order and protect the institutions of marriage and kinship. Like Malinowski (and writing in the same time period), Margaret Mead plots the sexual life stages of women and men in Samoan culture in her most famous book, Coming of Age in Samoa (1928) . Unlike Malinowski, however, she emphasizes differences between the processes of sexual socialization in Samoa and the United States. Focusing on girls and women, Mead argues that Samoan culture had a more relaxed and open attitude toward sexuality. Throughout childhood, girls often witnessed the bodily realities of childbirth, menstruation, copulation, and death. In adolescence, both boys and girls were expected to experiment with romantic and sexual relationships. Free from the repression and strict sexual discipline of Euro-American culture, Samoans experienced adolescence as not a time of crisis but rather a golden era of freedom and adventure. Three young Samoan women, circa 1890. In her most famous book, Coming of Age in Samoa , Margaret Mead explored the sexual life stages of women and men in Samoan culture. She found that adolescence was experienced as a golden age of romantic and sexual freedom. (credit: “My Trip to Samoa (1911) - 3 Samoan Girls Making Ava 1909” by Bartlett Tripp/Wikimedia Commons, Public Domain) Shaped by the feminist movement, more contemporary approaches to gender roles and sexuality highlight structures of power in erotic relations between women and men. Over the past few decades, many Americans have become increasingly concerned about the prevalence of sexual assault on college campuses. Forms of sexual intimidation and violence can happen in many campus contexts, including offices and classrooms as well as student events and parties. An online survey conducted by researchers at the University of Oregon found that students in Greek life (fraternities and sororities) experience nonconsensual sexual contact more than three times as often as other students (Barnes et al. 2021). Anthropologist Peggy Reeves Sanday (1990) conducted ethnographic research on fraternity culture, focusing on how some young men in American fraternities engage in violent assault and criminal coercion against young women. Sanday describes how fraternity men used their privileged access to alcohol and party venues to lure insecure young women to parties where they were plied with alcohol, sometimes drugged, and then sexually assaulted by one or more fraternity members. Sanday argues that fraternity culture is often permeated with forms of verbal and physical aggression against women. Not confined to fraternities, the problem of sexual assault on campuses across the United States has prompted many universities to develop consent awareness training sessions, sexual assault response teams, and survivor support programs. Same-Sex and Queer Studies Though they may be provocative and enlightening, anthropological studies of heterosexuality are still focused on mainstream gender categories and norms. Even more challenging to traditional Western sensibilities are studies, first emerging in the 1970s and 1980s, that demonstrate the prevalence of same-sex erotic interactions in cultures all over the world. A contemporary of Malinowski and Mead, renowned British anthropologist E. E. Evans-Pritchard spent his early career studying social organization and witchcraft among two different African groups, the Azande and the Nuer. Later in his career, Evans-Pritchard began thinking about the many stories he had heard in the course of his years studying African societies, particularly stories describing the prevalence of same-sex erotic practices in Zande society in precolonial times. In an article on the topic, he describes how unmarried adult warrior men, unable to marry due to the scarcity of marriageable women and forbidden to engage in adultery with other men’s wives, often took younger men as sexual partners or “wives” (1970). The warrior paid bride wealth to the parents of the younger man and performed services to the young man’s family just as he would have to the natal family of a female wife. The partners took on the roles of husband and wife, and the younger men referred to themselves as women. As the Azande did not approve of anal sex, male partners had sex “between the thighs”—that is, the older man penetrating between the thigh gap of the younger one. Like the men, Zande women also commonly engaged in same-sex practices and relationships. In Zande culture, men were permitted to have more than one wife (a form of marriage called polygyny, as you will recall from Forming Family through Kinship ). A husband took turns sleeping with each of his wives. In a family of several wives, then, a woman would wind up sleeping alone many nights. If she had married a royal husband with several hundred wives, she might have sex with her husband only a few times in her entire married life. Zande men and women told Evans-Pritchard that lonely wives would often get together at night, cut a sweet potato or manioc root into the shape of a penis, and tie it around the waist of one of the women. With this vegetable phallus, they took turns penetrating each other. Women could also formalize a “love-friend” relationship in public, widely considered by Zande men to be a cover for same-sex relations. Unlike male-male relationships, however, women’s same-sex erotic practices were discouraged. Sexual practices between senior and junior men have been found in many cultures, sparking controversies over questions of consent and child abuse. Studying a New Guinea group he called the “Sambia” (a pseudonym), anthropologist Gilbert Herdt (1984) described initiation rituals in which teenage boys were expected to fellate older male mentors in order to absorb the male essence that would make them into fully socialized men. Herdt termed this practice \" ritualized homosexuality ,\" though some have argued with the application of Western categories of sexuality to describe such symbolically complex ritual practices. While some same-sex practices are ritualized, others are more informal and less public. Some cultures construct same-sex practices as a phase associated with adolescent experimentation and tutelage. As in many parts of contemporary Africa, girls in boarding schools in Ghana are known to experiment with same-sex relationships. In Ghana, it’s called supi (possibly short for supervisor or superintendent ). In boarding high schools, a senior girl might take a junior girl as a special friend (Dankwa 2009; Gyasi-Gyamera and Søgaard 2020). Some of these bonds are fairly casual. The junior girl runs errands for the senior girl, such as fetching water or food. The senior girl provides protection and help to the junior girl (such schools could be full of difficulties, including supply shortages and bullying). Some supi relationships can become emotionally and physically intense. The two girls often exchange gifts, write each other love letters, and fondle and caress one another. They might shower together or share a bed. Supi is not limited to a special category of girls (i.e., identified lesbians) but has been widespread among schoolgirls, nearly all of whom eventually marry men and fulfill their conventional roles as wives and mothers. In the past two decades, evangelical Christianity in Ghana has branded same-sex relationships as evils to be rooted out through ceremonies resembling exorcism. While supi is an ambiguous practice, sometimes involving sexuality and sometimes not, it has been stigmatized by evangelicals in Ghana. Christian journalists have written stories about wealthy women who snatch away young wives, referring to lesbian relationships as supi-supi . Lurid popular films such as Women in Love (1996) and Supi: The Real Woman to Woman (1996) both sensationalize and condemn women’s same-sex practices, associating them with a secret cult of mermaid worship called Mami Wata. Many anthropological studies describe same-sex practices in societies that otherwise strongly value heterosexual marriage and fertility. In such contexts, sexuality is not so much an identity as it is a ritual, life stage, coping technique, or form of pleasure. Though sometimes shielded from public view, same-sex relations are seen as complementary to heterosexual relations in some cultural contexts, fully compatible with conventional demands for heterosexual marriage and family life. In his research on gender and sexuality in Nicaragua, for instance, Roger Lancaster (1992) found that conventionally masculine men could maintain their essentially heterosexual identities if they took the “active,” penetrative role in same-sex encounters. With the progress of the LGBTQIA+ movement originating in the United States and western Europe, people around the world who engage in same-sex and transgender practices have formed public identities and communities, calling for the acceptance and legal recognition of their relationships. Rather than indulging in same-sex pleasures as a substitute for “the real thing” or as something done “on the side,” American gay and lesbian communities recast their own practices as “the real thing,” a set of practices and relationships central to their whole way of life. This assertion has profound implications for notions of family and community. If heterosexual marriage and reproduction form the foundation of kinship systems based on the idea of biological descent, then same-sex relationships suggest new forms of kinship based on networks and shared values. In Families We Choose (1991), anthropologist Kath Weston explores how lesbian and gay families in the San Francisco Bay Area constructed family networks that both reflected and challenged mainstream notions of family. Boston Pride Parade, 2007. LGBTQIA+ people around the world have publicly advocated for the acceptance and legal recognition of their relationships. (credit: “Children in Wagon (Part 2)” by greenmelinda/flickr, CC BY 2.0) Esther Newton, 1940– Personal History: Esther Newton was born the child of an unmarried Protestant mother and an absent Jewish father. After she was born, she and her mother were ostracized from her mother’s genteel upper-class family. Her mother later remarried. Growing up in the gender-rigid, heteronormative 1940s and 1950s, Esther flouted gender norms at an early age, becoming “an anti-girl, a girl refusenik” (Newton 2018, 60). She was bullied for her unconventional dress and behavior. As a young woman, she wore men’s clothes, smoked Lucky Strike cigarettes, and dated hyperfeminine lesbian women. Thus, before she even came out as a lesbian, Newton self-consciously constructed her “butch” identity—“the first identity that had ever made sense out of my body’s situation, the first rendition of gender that ever rang true, the first look I could ever pull together” (92). For her undergraduate studies, Newton attended the University of Michigan, where she earned her BA with distinction in history. In Margaret Mead Made Me Gay (2000), Newton describes her reaction to reading the work of anthropologist Margaret Mead as a college student. Mead’s relativistic portrayal of the flexibility of gender categories gave Newton consolation and ignited her interest in anthropology. She went to the University of Chicago to study anthropology at the graduate level with kinship scholar David Schneider. Area of Anthropology: For her dissertation, Newton conducted fieldwork among men who dressed as women in the American Midwest. Entitled “The ‘Drag Queens’: A Study in Urban Anthropology” (1968), this pathbreaking work described the experiences, challenges, and culture of gender-nonconforming American men in a variety of theatrical and everyday settings. Her research on this topic was later published in her book Mother Camp: Female Impersonators in America (1972), the first major anthropological study of a gay or lesbian community in the United States. In spite of its initially lukewarm reception, the book has since become a classic in LGBTQIA+ studies. Accomplishments in the Field: Hired in 1971, Newton was a founding faculty member of the State University of New York at Purchase, also known as Purchase College. She helped establish the disciplines of anthropology, women’s studies, and gay/lesbian studies there. Newton taught at Purchase until 2006 and is now a professor emerita. Importance of Her Work : In her memoir, My Butch Career (2018), Newton tells the story of the first half of her life, highlighting the challenges facing her generation of middle-class lesbians. She describes the difficulties of pursuing higher education and building a professional career, including the impossibility of coming out even as she studied and wrote about lesbian, gay, and gender-nonconforming communities in American society in the 1960s. Esther Newton’s work has been translated into French, Spanish, Hebrew, Polish, and Slovak. She is the subject of the documentary film Esther Newton Made Me Gay , currently in production, which has a trailer available to view . In an interview, Newton commented, “It’s been fun being a film star” (2019). Transgender Studies Evans-Pritchard’s research on male-male marriage among the precolonial Azande provided an example of young men who were socially constructed as women through their wifely role in these marriages. Across the continent, in West Africa, women in precolonial Igbo society could be ritually transformed into men and then engage in female-female marriages as husbands. In Male Daughters and Female Husbands (1987), Ifi Amadiume describes how a father with no sons could make his eldest daughter into an honorary “son” who could inherit and carry on the patrilineage. This woman became a “male daughter.” If she were married, she would return to her natal compound to undergo a ceremony that transferred her into the social category of male. She would then wear men’s clothes, live in the male section of the compound, perform men’s work rather than women’s, and participate in community life as a man. She could marry women who then became her wives (thus becoming a “female husband”). Those wives would have discreet liaisons with men in the area in order to bear children, who would belong to the lineage of the female husband. It was also possible for Igbo women who became wealthy and powerful in their communities to take a title through ritual means that allowed them to take wives of their own, just as male daughters could. Even if she were married herself, a powerful woman could have wives to do most or all of her domestic work. Did these powerful women have sexual relations with their wives? Anthropologists just don’t know. Amadiume describes women joking about sex between women in such marriages, but nobody knows how common it might have been. Building on this earlier research, a fresh area of inquiry has developed in anthropology centered on the experiences, identities, and practices of transgender and gender-nonbinary persons and communities. Transgender describes a person who transitions from a gender category ascribed at birth to a chosen gender identity. Gender nonbinary describes a person who rejects strict male and female gender categories in favor of a more flexible and contextual expression of gender. Cultural anthropologists have described a great diversity in the expression of trans identities, pointing to the prevalence of transgender practices the world over. Taking an innovative approach, anthropologist Marcia Ochoa (2014) devised a research project on “spectacular femininity” in Venezuela by examining two communities: female beauty pageant contestants and transgender sex workers who also hold beauty pageants. Ochoa traces the emergence of the beauty pageant in Venezuela and identifies this ritual competition as a carrier of notions of modernity and nationhood. She explores the competition of young women, or misses , in the Miss Venezuela pageant as well as the local and regional beauty pageants for transformistas , gay Venezuelans who identify as women. The stylized performances of transformistas carry over into their displays on Avenida Libertador in central Caracas, the neighborhood where they conduct their trade as sex workers. In order to compete in these realms of spectacular femininity, both misses and transformistas undergo painful surgical procedures to make their bodies conform to an exaggerated ideal of Eurocentric femininity. Hellen Madok, a.k.a. Pamela Soares, Miss Brasil Transex winner, 2007 (left); transgender women at Trans Pride 2007 in Washington, DC (right). A fresh area of anthropological inquiry explores the experiences, identities, and practices of transgender and gender-nonbinary persons and communities. (credit: left, Silvio Tanaka/Wikimedia Commons, CC BY 2.0; right, “DC Transgender Pride 2007” by FightHIVinDC/flickr, CC BY 2.0) Ochoa’s work is pathbreaking in its ability to bring together concepts often explored separately or held in opposition: heterosexuality and non-heterosexuality, gender and sexuality, and cis and trans identities ( cisgender describes gender identity constructed on the sex assigned at birth). By juxtaposing misses and transformistas , she shows how these seemingly disparate concepts are threaded together in the complex web of Venezuelan culture. The End of Gender? In cultures that are strongly heteronormative with rigid two-gender systems, some people feel restricted in their gender identities and sexual practices. In many countries, efforts to create more flexibility in the expression of gender and sexuality have focused on gaining equal rights for and combating discrimination against women and LGBTQIA+ persons. In the past 50 years, this social movement has achieved great strides at national and global levels. In 2011, the United Nations Human Rights Council passed a resolution recognizing LGBTQIA+ rights. The United Nations subsequently urged all countries to pass laws to protect LGBTQIA+ persons from discrimination, hate crimes, and the criminalization of non-heterosexuality. Same-sex marriage has now been legalized in 29 countries, including the United States, Canada, Mexico, Taiwan, and most of western Europe. In many countries, however, same-sex acts and gender nonconformity are still criminalized, sometimes punishable by death. Where progress has been made on human rights for LGBTQIA+ persons, these changes have made life much easier for many people, allowing them to feel secure in their families, their jobs, and their public lives. Some activists are concerned that such legal reforms do not go far enough, however. Gender and sexuality are not just legal issues; they are cultural issues as well. The strict heterosexual two-gender scheme common to European and American cultures is a system infused with patriarchal values, expressed in patriarchal practices and institutions. That is to say, inequality is built into the heteronormative system of gender. In order to achieve true freedom and full equality, is it necessary to get rid of categories of gender and sexuality altogether? Are gender categories inherently oppressive? Some people think so, arguing that society should transition to more gender-blind forms of language and social relations. In the United States, a movement is underway to neutralize gender in everyday language. Whereas masculine pronouns (he/him) were previously the default way of referring to hypothetical persons or situations where gender is not specified, followed by a movement toward specifying both masculine and feminine pronouns (he or she/him or her), new conventions call for the use of third-person plural forms (they/them) as singular pronouns instead, particularly to include people who identify as neither man nor woman. For example, instead of saying, “Every person should wash his hands” or “Every person should wash his or her hands,” one might say, “Every person should wash their hands.” (Notably, this is already an accepted feature of everyday English that people commonly use without thinking about; if a housemate tells you, “Someone left a message for you,” you’re more likely to respond with “What did they want?” than with “What did he want?” or “What did he or she want?”) Moreover, a convention is evolving that allows people to specify the pronouns they would prefer, either gendered (she/her, he/him) or neutral (they/them, other). Will changes in pronoun usage bring about greater freedom and equality in patriarchal societies? Maybe. Many languages have gender-free pronouns, such as Twi, a West African language of the Akan peoples in central Ghana. However, though matrilineal, the Akans are also patriarchal. And gender is a very fundamental aspect of identity in Akan societies, structuring norms of dress, language, behavior, and relationships throughout a person’s life. In other words, pronouns do not bear much relationship to the organization of gender in culture and social institutions. In the United States, the English language pronoun system might change to be gender neutral, but women and LGBTQIA+ people will still inhabit those cultural categories. Those categories will not just disappear. Previous discussions of racial categories have addressed the fact that race is not a set of biological categories objectively found in nature. Rather, race, like gender, is socioculturally constructed. Even so, it is naive to pretend that race does not exist as a social reality that structures inequality in many societies. As discussed in, Social Inequalities , when people try to be “color blind,” they ignore the sociocultural reality of race and make it more difficult to recognize and remediate racial inequalities. Similarly, the fact that gender is a social construct does not mean that people can easily transition to a gender-blind society. Scholars of gender and sexuality argue that American society still grants forms of authority and privilege to heterosexual men through the cultural norms pervading public and private life. Asserting a “gender blind” perspective may obscure forms of inequality and violence that operate through gender and sexuality. Race and gender are both powerful sociocultural categories embedded in social practices and institutions. Anthropology encourages recognition of the diversity and complexity of those constructed categories alongside acknowledgment of the real histories of marginalization and struggle. Perhaps changes in pronoun use are just the beginning of more far-reaching changes to come. Summary Gender and sexuality are complex and highly variable aspects of culture. Examining evidence from primates and humans as well as the archaeological record, anthropologists have concluded that humans are highly variable, capable of many expressions of gender and sexuality. Cultural anthropologists describe how notions of femininity and masculinity are embedded in institutions and performed by people in their everyday practices. A growing area of research considers the experiences of intersex persons as well as efforts by parents and doctors to assign gender in ambiguous situations. Many cultures allow for greater flexibility beyond the dichotomy of male and female, providing alternative forms of masculinity and femininity for people who wish to transition out of their assigned categories. The study of gender and sexuality also shows how power operates among the categories of gender, particularly through forms of gender ideology such as patriarchy. Like gender, human sexuality is a highly flexible aspect of culture, expressed in a broad range of practices and institutions. Anthropologists have discovered that same-sex practices are quite common even in heteronormative contexts. Recent anthropological research illustrates how gender ideologies shape the identities and experiences of people in communities practicing different forms of sexuality. Self-Reflection Consider your own body. What do you do to your body on a daily or weekly basis? Why? For two nonconsecutive days, make careful note of all of the routine practices devoted to your body (including hygiene, dress, exercise, etc.). Are these practices shaped by notions of gender? Of sex or sexuality? Do these practices shape the way you think of your body as gendered? Do they influence the way you present yourself in social situations? Do you think they influence the way others interact with you? Consider how other people respond to and interact with your body (or refuse to interact with it). How are these interactions shaped by cultural notions of gender and sexuality? Are there notions of power embedded in these bodily practices? Patriarchy? Feminism? Heteronormativity? Critical Thinking Questions Suggested Readings di Leonardo, Micaela, ed. 1991. Gender at the Crossroads of Knowledge: Feminist Anthropology in the Postmodern Era . Berkeley: University of California Press. Newton, Esther. 2000. Margaret Mead Made Me Gay: Personal Essays, Public Ideas . Durham, NC: Duke University Press. Stryker, Susan, and Stephen Whittle, ed. 2006. The Transgender Studies Reader . New York: Routledge. Bibliography Amadiume, Ifi. 1987. Male Daughters, Female Husbands: Gender and Sex in an African Society . London: Zed Books. Barnes, Melissa L., Alexis Adams-Clark, Marina N. Rosenthal, and Carly P. Smith. 2021. “Pledged into Harm: Sorority and Fraternity Members Face Increased Risk of Sexual Assault and Sexual Violence.” Dignity: A Journal of Analysis of Exploitation and Violence 6 (1). https://doi.org/10.23860/dignity.2021.06.01.09. Behrens, Kevin G. 2020. “A Principled Ethical Approach to Intersex Paediatric Surgeries.” BMC Medical Ethics 21:108. https://doi.org/10.1186/s12910-020-00550-x. Bonvillain, Nancy. 1995. Women and Men: Cultural Constructs of Gender . Englewood Cliffs, NJ: Prentice Hall. Brandes, Stanley. 1980. Metaphors of Masculinity: Sex and Status in Andalusian Folklore . Philadelphia: University of Pennsylvania Press. Butler, Judith. 1992. “The Body You Want: An Interview with Judith Butler.” By Liz Kotz. Artforum , November 1992. https://www.artforum.com/print/199209/the-body-you-want-an-inteview-with-judith-butler-33505. Dankwa, Serena Owusua. 2009. “‘It’s a Silent Trade’: Female Same-Sex Intimacies in Post-Colonial Ghana.” NORA: Nordic Journal of Feminist and Gender Research 17 (3): 192–205. https://doi.org/10.1080/08038740903117208. Evans-Pritchard, E. E. 1970. “Sexual Inversion among the Azande.” American Anthropologist 72 (6): 1428–1434. https://doi.org/10.1525/aa.1970.72.6.02a00170. Fausto-Sterling, Anne. 1992. Myths of Gender: Biological Theories about Women and Men . 2nd ed. New York: Basic Books. Fausto-Sterling, Anne. 2000. Sexing the Body: Gender Politics and the Construction of Sexuality . New York: Basic Books. Fausto-Sterling, Anne. 2001. “A Conversation with Anne Fausto-Sterling: Exploring What Makes Us Male or Female.” Interview by Claudia Dreifus. New York Times , January 2, 2001. https://www.nytimes.com/2001/01/02/science/a-conversation-with-anne-fausto-sterling-exploring-what-makes-us-male-or-female.html. Fedigan, Linda Marie, and Laurence Fedigan. 1989. “Gender and the Study of Primates.” In Gender and Anthropology: Critical Reviews for Research and Teaching , edited by Sandra Morgen, 41–64. Arlington, VA: American Anthropological Association. Gibbons, Ann. 2012. “Bonobos Join Chimps as Closest Human Relatives.” Science , June 13, 2012. https://www.sciencemag.org/news/2012/06/bonobos-join-chimps-closest-human-relatives. Gibbons, Ann. 2020. “Woman the Hunter: Ancient Andean Remains Challenge Old Ideas of Who Speared Big Game.” Science , November 4, 2020. https://www.sciencemag.org/news/2020/11/woman-hunter-ancient-andean-remains-challenge-old-ideas-who-speared-big-game. Gimbutas, Marija. 1991. The Civilization of the Goddess: The World of Old Europe . Edited by Joan Marler. San Francisco: HarperSanFrancisco. Gutmann, Matthew C. 1997. “Trafficking in Men: The Anthropology of Masculinity.” Annual Review of Anthropology 26:385–409. Gyasi-Gyamerah, Angela Anarfi, and Mathias Søgaard. 2020. “Caught between Worlds: Ghanaian Youth’s Views of Hybrid Sexuality.” In Routledge Handbook of Queer African Studies , edited by S. N. Nyeck, 254–265. New York: Routledge. Heller, Alison. 2019. Fistula Politics: Birthing Injuries and the Quest for Continence in Niger . New Brunswick, NJ: Rutgers University Press. Herdt, Gilbert H., ed. 1984. Ritualized Homosexuality in Melanesia . Berkeley: University of California Press. Hewlett, Barry S. 1991. Intimate Fathers: The Nature and Context of Aka Pygmy Paternal Infant Care . Ann Arbor: University of Michigan Press. Howe, Cymene. 2015. “Queer Anthropology.” In International Encyclopedia of the Social and Behavioral Sciences , edited by James D. Wright, 2nd ed., 752–758. New York: Elsevier. https://doi.org/10.1016/B978-0-08-097086-8.12219-6. Lancaster, Roger N. 1992. Life Is Hard: Machismo, Danger, and the Intimacy of Power in Nicaragua . Berkeley: University of California Press. Lipset, David. 2003. “Rereading Sex and Temperament: Margaret Mead’s Sepik Triptych and Its Ethnographic Critics.” Anthropological Quarterly 76 (4): 693–713. Malinowski, Bronislaw. 1929. The Sexual Life of Savages in North-Western Melanesia: An Ethnographic Account of Courtship, Marriage, and Family Life among the Natives of the Trobriand Islands, British New Guinea . London: George Routledge & Sons. Mascia-Lees, Frances E., and Nancy Johnson Black. 2000. Gender and Anthropology . Prospect Heights, IL: Waveland Press. Mead, Margaret. 1928. Coming of Age in Samoa: A Psychological Study of Primitive Youth for Western Civilisation . New York: W. Morrow. Mead, Margaret. 1935. Sex and Temperament in Three Primitive Societies. New York: W. Morrow. Nanda, Serena. 2000. Gender Diversity: Crosscultural Variations . Prospect Heights, IL: Waveland Press. Newton, Esther. 1972. Mother Camp: Female Impersonators in America . Englewood Cliffs, NJ: Prentice-Hall. Newton, Esther. 2000. Margaret Mead Made Me Gay: Personal Essays, Public Ideas . Durham, NC: Duke University Press. Newton, Esther. 2018. My Butch Career: A Memoir . Durham, NC: Duke University Press. Newton, Esther. 2019. “Esther Newton Talks My Butch Career: A Memoir .” October 3, 2019, in Outtake Voices , hosted by Charlotte Robinson. Podcast. https://voices.outtakeonline.com/2019/10/esther-newton-talks-my-butch-career.html. Ochoa, Marcia. 2014. Queen for a Day: Transformistas, Beauty Queens, and the Performance of Femininity in Venezuela . Durham, NC: Duke University Press. Ozyegin, Gul, ed. 2015. Gender and Sexuality in Muslim Cultures . Burlington, VT: Ashgate. Rosaldo, Michelle Zimbalist. 1974. “Woman, Culture, and Society: A Theoretical Overview.” In Woman, Culture, and Society , edited by Michelle Zimbalist Rosaldo and Louise Lamphere, 17–42. Stanford, CA: Stanford University Press. Sanday, Peggy Reeves. 1990. Fraternity Gang Rape: Sex, Brotherhood, and Privilege on Campus . New York: New York University Press. Smith, Daniel Jordan. 2017. To Be a Man Is Not a One-Day Job: Masculinity, Money, and Intimacy in Nigeria . Chicago: University of Chicago Press. Tringham, Ruth. 1993. Review of The Civilization of the Goddess: The World of Old Europe , by Marija Gimbutas, edited by Joan Marler. American Anthropologist 95 (1): 196–197. Viloria, Hida. 2017. “Doctors Resort to Nonsensical Reasoning to Justify Surgeries on Intersex Children.” HuffPost , July 29, 2017. https://www.huffpost.com/entry/doctors-resort-to-nonsensical-arguments-to-justify_b_597b9b19e4b09982b7376474. Weston, Kath. 1991. Families We Choose: Lesbians, Gays, Kinship . New York: Columbia University Press. Zihlman, Adrienne L. 1997. “Natural History of Apes: Life-History Features in Females and Males.” In The Evolving Female: A Life History Perspective , edited by Mary Ellen Morbeck, Alison Galloway, and Adrienne L. Zihlman, 86–104. Princeton, NJ: Princeton University Press. gender nonbinary rejecting strict male and female gender categories in favor of a more flexible and contextual expression of gender. queer anthropology a subfield of anthropology that focuses on areas of sociocultural activity distinguished from the presumed norms of heterosexuality and gender identities.", "section": "Sexuality and Queer Anthropology", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction A man carries a Tibetan Buddhist prayer wheel, rotating it as a way of sending out prayers as blessings. (credit: “Person in face mask holding Tibetan Buddhist Prayer Wheel” by Grisha Grishkoff/Pexels, CC0) Religion is one of the most complex and pervasive of all sociocultural institutions. It is also universal. All cultures and societies across time have had beliefs and worldviews that can be classified as religious in nature, even within political institutions that are areligious or avow atheism. Innovative research also indicates that primates, most especially the human species, have evolved physically, socially, and emotionally toward a sense of spirituality and religiosity (see King 2007).", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "What Is Religion? Learning Outcomes By the end of this section, you will be able to: Distinguish between religion, spirituality, and worldview. Describe the connections between witchcraft, sorcery, and magic. Identify differences between deities and spirits. Identify shamanism. Describe the institutionalization of religion in state societies. Defining Religion, Spirituality, and Worldview An anthropological inquiry into religion can easily become muddled and hazy because religion encompasses intangible things such as values, ideas, beliefs, and norms. It can be helpful to establish some shared signposts. Two researchers whose work has focused on religion offer definitions that point to diverse poles of thought about the subject. Frequently, anthropologists bookend their understanding of religion by citing these well-known definitions. French sociologist Émile Durkheim (1858–1917) utilized an anthropological approach to religion in his study of totemism among Indigenous Australian peoples in the early 20th century. In his work The Elementary Forms of the Religious Life (1915), he argues that social scientists should begin with what he calls “simple religions” in their attempts to understand the structure and function of belief systems in general. His definition of religion takes an empirical approach and identifies key elements of a religion: “A religion is a unified system of beliefs and practices relative to sacred things, that is to say, things set apart and forbidden—beliefs and practices which unite into one single moral community called a Church, all those who adhere to them” (47). This definition breaks down religion into the components of beliefs, practices, and a social organization—what a shared group of people believe and do. An outdoor Christian worship service timed to coincide with the sunrise on Easter morning. Religion includes a great variety of human constructs and experiences. (credit: “Easter Sunrise Service 2017” by James S. Laughlin/Presidio of Monterey Public Affairs/flickr, Public Domain) The other signpost used within anthropology to make sense of religion was crafted by American anthropologist Clifford Geertz (1926–2006) in his work The Interpretation of Cultures (1973). Geertz’s definition takes a very different approach: “A religion is: (1) a system of symbols which acts to (2) establish powerful, pervasive, and long-lasting moods and motivations in men by (3) formulating conceptions of a general order of existence and (4) clothing these conceptions with such an aura of factuality that (5) the moods and motivations seem uniquely realistic” (90). Geertz’s definition, which is complex and holistic and addresses intangibles such as emotions and feelings, presents religion as a different paradigm , or overall model, for how we see systems of belief. Geertz views religion as an impetus to view and act upon the world in a certain manner. While still acknowledging that religion is a shared endeavor, Geertz focuses on religion’s role as a potent cultural symbol. Elusive, ambiguous, and hard to define, religion in Geertz’s conception is primarily a feeling that motivates and unites groups of people with shared beliefs. In the next section, we will examine the meanings of symbols and how they function within cultures, which will deepen your understanding of Geertz’s definition. For Geertz, religion is intensely symbolic. When anthropologists study religion, it can be helpful to consider both of these definitions because religion includes such varied human constructs and experiences as social structures, sets of beliefs, a feeling of awe, and an aura of mystery. While different religious groups and practices sometimes extend beyond what can be covered by a simple definition, we can broadly define religion as a shared system of beliefs and practices regarding the interaction of natural and supernatural phenomena. And yet as soon as we ascribe a meaning to religion, we must distinguish some related concepts, such as spirituality and worldview. Over the last few years, a growing number of Americans have been choosing to define themselves as spiritual rather than religious. A 2017 Pew Research Center study found that 27 percent of Americans identify as “spiritual but not religious,” which is 8 percentage points higher than it was in 2012 (Lipka and Gecewicz 2017). There are different factors that can distinguish religion and spirituality, and individuals will define and use these terms in specific ways; however, in general, while religion usually refers to shared affiliation with a particular structure or organization, spirituality normally refers to loosely structured beliefs and feelings about relationships between the natural and supernatural worlds. Spirituality can be very adaptable to changing circumstances and is often built upon an individual’s perception of the surrounding environment. Many Americans with religious affiliation also use the term spirituality and distinguish it from their religion. Pew found in 2017 that 48 percent of respondents said they were both religious and spiritual. Pew also found that 27 percent of people say religion is very important to them (Lipka and Gecewicz 2017). Another trend pertaining to religion in the United States is the growth of those defining themselves as nones , or people with no religious affiliation. In a 2014 survey of 35,000 Americans from 50 states, Pew found that nearly a quarter of Americans assigned themselves to this category (Pew Research Center 2015). The percentage of adults assigning themselves to the “none” category had grown substantially, from 16 percent in 2007 to 23 percent in 2014; among millennials, the percentage of nones was even higher, at 35 percent (Lipka 2015). In a follow-up survey, participants were asked to identity their major reasons for choosing to be nonaffiliated; the most common responses pointed to the growing politicization of American churches and a more critical and questioning stance toward the institutional structure of all religions (Pew Research Center 2018). It is important, however, to point out that nones are not the same as agnostics or atheists. Nones may hold traditional and/or nontraditional religious beliefs outside of membership in a religious institution. Agnosticism is the belief that God or the divine is unknowable and therefore skepticism of belief is appropriate, and atheism is a stance that denies the existence of a god or collection of gods. Nones, agnostics, and atheists can hold spiritual beliefs, however. When anthropologists study religion, it is very important for them to define the terms they are using because these terms can have different meanings when used outside of academic studies. In addition, the meaning of terms may change. As the social and political landscape in a society changes, it affects all social institutions, including religion. Religious Affiliation Percentage Christian 70.6% Jewish 1.9% Muslim 0.9% Buddhist 0.7% Hindu 0.7% *Unaffiliated/Nones 22.8% American religious affiliations and “nones,” based on the Pew Research Center’s Religious Landscape Study, 2014. Even those who consider themselves neither spiritual nor religious hold secular, or nonreligious, beliefs that structure how they view themselves and the world they live in. The term worldview refers to a person’s outlook or orientation; it is a learned perspective, which has both individual and collective components, on the nature of life itself. Individuals frequently conflate and intermingle their religious and spiritual beliefs and their worldviews as they experience change within their lives. When studying religion, anthropologists need to remain aware of these various dimensions of belief. The word religion is not always adequate to identify an individual’s belief systems. Like all social institutions, religion evolves within and across time and cultures—even across early human species! Adapting to changes in population size and the reality of people’s daily lives, religions and religious/spiritual practices reflect life on the ground . Interestingly, though, while some institutions (such as economics) tend to change radically from one era to another, often because of technological changes, religion tends to be more viscous , meaning it tends to change at a much slower pace and mix together various beliefs and practices. While religion can be a factor in promoting rapid social change, it more commonly changes slowly and retains older features while adding new ones. In effect, religion contains within it many of its earlier iterations and can thus be quite complex. Witchcraft, Sorcery, and Magic People in Western cultures too often think of religion as a belief system associated with a church, temple, or mosque, but religion is much more diverse. In the 1960s, anthropologists typically used an evolutionary model for religion that associated less structured religious systems with simple societies and more complex forms of religion with more complex political systems. Anthropologists noticed that as populations grew, all forms of organization—political, economic, social, and religious—became more complex as well. For example, with the emergence of tribal societies, religion expanded to become not only a system of healing and connection with both animate and inanimate things in the environment but also a mechanism for addressing desire and conflict. Witchcraft and sorcery, both forms of magic, are more visible in larger-scale, more complex societies. The terms witchcraft and sorcery are variously defined across disciplines and from one researcher to another, yet there is some agreement about common elements associated with each. Witchcraft involves the use of intangible (not material) means to cause a change in circumstances to another person. It is normally associated with practices such as incantations, spells, blessings, and other types of formulaic language that, when pronounced, causes a transformation. Sorcery is similar to witchcraft but involves the use of material elements to cause a change in circumstances to another person. It is normally associated with such practices as magical bundles, love potions, and any specific action that uses another person’s personal leavings (such as their hair, nails, or even excreta). While some scholars argue that witchcraft and sorcery are “dark,” negative, antisocial actions that seek to punish others, ethnographic research is filled with examples of more ambiguous or even positive uses as well. Cultural anthropologist Alma Gottlieb , who did fieldwork among the Beng people of Côte d’Ivoire in Africa, describes how the king that the Beng choose as their leader must always be a witch himself, not because of his ability to harm others but because his mystical powers allow him to protect the Beng people that he rules (2008). His knowledge and abilities allow him to be a capable ruler. Some scholars argue that witchcraft and sorcery may be later developments in religion and not part of the earliest rituals because they can be used to express social conflict. What is the relationship between conflict, religion, and political organization? Consider what you learned in Social Inequalities . As a society’s population rises, individuals within that society have less familiarity and personal experience with each other and must instead rely on family reputation or rank as the basis for establishing trust. Also, as social diversity increases, people find themselves interacting with those who have different behaviors and beliefs from their own. Frequently, we trust those who are most like ourselves, and diversity can create a sense of mistrust. This sense of not knowing or understanding the people one lives, works, and trades with creates social stress and forces people to put themselves into what can feel like risky situations when interacting with one another. In such a setting, witchcraft and sorcery provide a feeling of security and control over other people. Historically, as populations increased and sociocultural institutions became larger and more complex, religion evolved to provide mechanisms such as witchcraft and sorcery that helped individuals establish a sense of social control over their lives. Magic is essential to both witchcraft and sorcery, and the principles of magic are part of every religion. The anthropological study of magic is considered to have begun in the late 19th century with the 1890 publication of The Golden Bough , by Scottish social anthropologist Sir James G. Frazer . This work, published in several volumes, details the rituals and beliefs of a diverse range of societies, all collected by Frazer from the accounts of missionaries and travelers. Frazer was an armchair anthropologist, meaning that he did not practice fieldwork. In his work, he provided one of the earliest definitions of magic, describing it as “a spurious system of natural law as well as a fallacious guide of conduct” (Frazer [1922] 1925, 11). A more precise and neutral definition depicts magic as a supposed system of natural law whose practice causes a transformation to occur. In the natural world—the world of our senses and the things we hear, see, smell, taste, and touch—we operate with evidence of observable cause and effect. Magic is a system in which the actions or causes are not always empirical. Speaking a spell or other magical formula does not provide observable (empirical) effects. For practitioners of magic, however, this abstract cause and effect is just as consequential and just as true. Frazer refers to magic as “sympathetic magic” because it is based on the idea of sympathy, or common feeling, and he argued that there are two principles of sympathetic magic: the law of similarity and the law of contagion. The law of similarity is the belief that a magician can create a desired change by imitating that change. This is associated with actions or charms that mimic or look like the effects one desires, such as the use of an effigy that looks like another person or even the Venus figurine associated with the Upper Paleolithic period, whose voluptuous female body parts may have been used as part of a fertility ritual. By taking actions on the stand-in figure, the magician is able to cause an effect on the person believed to be represented by this figure. The law of contagion is the belief that things that have once been in contact with each other remain connected always, such as a piece of jewelry owned by someone you love, a locket of hair or baby tooth kept as a keepsake, or personal leavings to be used in acts of sorcery. The Venus figurine was a genre of art most frequently associated with the late Upper Paleolithic period, 25,000–12,000 BCE. It is considered a form of magic because the exaggerated female body parts are believed to be related to ideas of female fertility and reproduction. (credit: “Venus von Willendorf” by Anagoria/Wikimedia Commons, CC BY 3.0) This classification of magic broadens our understanding of how magic can be used and how common it is across all religions. Prayers and special mortuary artifacts ( grave goods ) indicate that the concept of magic is an innately human practice and not associated solely with tribal societies. In most cultures and across religious traditions, people bury or cremate loved ones with meaningful clothing, jewelry, or even a photo. These practices and sentimental acts are magical bonds and connections among acts, artifacts, and people. Even prayers and shamanic journeying (a form of metaphysical travel) to spirits and deities, practiced in almost all religious traditions, are magical contracts within people’s belief systems that strengthen practitioners’ faith. Instead of seeing magic as something outside of religion that diminishes seriousness, anthropologists see magic as a profound human act of faith. Supernatural Forces and Beings As stated earlier, religion typically regards the interaction of natural and supernatural phenomena. Put simply, a supernatural force is a figure or energy that does not follow natural law. In other words, it is nonempirical and cannot be measured or observed by normal means. Religious practices rely on contact and interaction with a wide range of supernatural forces of varying degrees of complexity and specificity. In many religious traditions, there are both supernatural deities, or gods who are named and have the ability to change human fortunes, and spirits, who are less powerful and not always identified by name. Spirit or spirits can be diffuse and perceived as a field of energy or an unnamed force. Practitioners of witchcraft and sorcery manipulate a supposed supernatural force that is often referred to by the term mana , first identified in Polynesia among the Maori of New Zealand ( mana is a Maori word). Anthropologists see a similar supposed sacred energy field in many different religious traditions and now use this word to refer to that energy force. Mana is an impersonal (unnamed and unidentified) force that can adhere for varying periods of time to people or animate and inanimate objects to make them sacred. One example is in the biblical story that appears in Mark 5:25–30, in which a woman suffering an illness simply touches Jesus’s cloak and is healed. Jesus asks, “Who touched my clothes?” because he recognizes that some of this force has passed from him to the woman who was ill in order to heal her. Many Christians see the person of Jesus as sacred and holy from the time of his baptism by the Holy Spirit. Christian baptism in many traditions is meant as a duplication or repetition of Christ’s baptism. There are also named and known supernatural deities. A deity is a god or goddess. Most often conceived as humanlike, gods (male) and goddesses (female) are typically named beings with individual personalities and interests. Monotheistic religions focus on a single named god or goddess, and polytheistic religions are built around a pantheon, or group, of gods and/or goddesses, each usually specializing in a specific sort of behavior or action. And there are spirits , which tend to be associated with very specific (and narrower) activities, such as earth spirits or guardian spirits (or angels). Some spirits emanate from or are connected directly to humans, such as ghosts and ancestor spirits , which may be attached to specific individuals, families, or places. In some patrilineal societies, ancestor spirits require a great deal of sacrifice from the living. This veneration of the dead can consume large quantities of resources. In the Philippines, the practice of venerating the ancestor spirits involves elaborate house shrines, altars, and food offerings. In central Madagascar, the Merino people practice a regular “turning of the bones,” called famidihana . Every five to seven years, a family will disinter some of their deceased family members and replace their burial clothing with new, expensive silk garments as a form of remembrance and to honor all of their ancestors. In both of these cases, ancestor spirits are believed to continue to have an effect on their living relatives, and failure to carry out these rituals is believed to put the living at risk of harm from the dead. Religious Specialists Religious groups typically have some type of leadership, whether formal or informal. Some religious leaders occupy a specific role or status within a larger organization, representing the rules and regulations of the institution, including norms of behavior. In anthropology, these individuals are called priests , even though they may have other titles within their religious groups. Anthropology defines priests as full-time practitioners, meaning they occupy a religious rank at all times, whether or not they are officiating at rituals or ceremonies, and they have leadership over groups of people. They serve as mediators or guides between individuals or groups of people and the deity or deities. In religion-specific terms, anthropological priests may be called by various names, including titles such as priest, pastor, preacher, teacher, imam (Islam), and rabbi (Judaism). Another category of specialists is prophets . These individuals are associated with religious change and transformation, calling for a renewal of beliefs or a restructuring of the status quo. Their leadership is usually temporary or indirect, and sometimes the prophet is on the margins of a larger religious organization. German sociologist Max Weber (1947) identified prophets as having charisma , a personality trait that conveys authority: Charisma is a certain quality of an individual personality by virtue of which he is set apart from ordinary men and treated as endowed with supernatural, superhuman, or at least specifically exceptional powers or qualities. These as such are not accessible to the ordinary person, but are regarded as of divine origin or as exemplary, and on the basis of them the individual concerned is treated as a leader. (358–359) A third type of specialist is shamans . Shamans are part-time religious specialists who work with clients to address very specific and individual needs by making direct contact with deities or supernatural forces. While priests will officiate at recurring ritual events, a shaman, much like a medical psychologist, addresses each individual need. One exception to this is the shaman’s role in subsistence, usually hunting. In societies where the shaman is responsible for “calling up the animals” so that hunters will have success, the ritual may be calendrical , or occurring on a cyclical basis. While shamans are medical and religious specialists within shamanic societies, there are other religions that practice forms of shamanism as part of their own belief systems. Sometimes, these shamanic practitioners will be known by terms such as pastor or preacher , or even layperson . And some religious specialists serve as both part-time priests and part-time shamans, occupying more than one role as needed within a group of practitioners. You will read more about shamanism in the next section. Shamanism One early form of religion is shamanism , a practice of divination and healing that involves soul travel, also called shamanic journeying, to connect natural and supernatural realms in nonlinear time. Associated initially with small-scale societies, shamanic practices are now known to be embedded in many of the world’s religions. In some cultures, shamans are part-time specialists, usually drawn into the practice by a “calling” and trained in the necessary skills and rituals though an apprenticeship. In other cultures, all individuals are believed to be capable of shamanic journeying if properly trained. By journeying—an act frequently initiated by dance, trance, drumbeat, song, or hallucinogenic substances—the shaman is able to consult with a spiritual world populated by supernatural figures and deceased ancestors. The term itself, šamán , meaning “one who knows,” is an Evenki word, originating among the Evenk people of northern Siberia. Shamanism, found all over the world, was first studied by anthropologists in Siberia. While shamanism is a healing practice, it conforms to the anthropological definition of religion as a shared set of beliefs and practices pertaining to the natural and supernatural. Cultures and societies that publicly affirm shamanism as a predominant and generally accepted practice often are referred to as shamanic cultures . Shamanism and shamanic activity, however, are found within most religions. The world’s two dominant mainstream religions both contain a type of shamanistic practice: the laying on of hands in Christianity, in which a mystical healing and blessing is passed from one person to another, and the mystical Islamic practice of Sufism, in which the practitioner, called a dervish, dances by whirling faster and faster in order to reach a trance state of communing with the divine. There are numerous other shared religious beliefs and practices among different religions besides shamanism. Given the physical and social evolution of our species, it is likely that we all share aspects of a fundamental religious orientation and that religious changes are added on to, rather than used to replace, earlier practices such as shamanism. Whirling dervishes enter a trance state during a ceremony in Turkey by practicing a rhythmic, spinning dance. In this state, they are able to commune with the deity. (credit: “Whirling Dervishes 2” by Richard Ha/flickr, CC BY 2.0) Indigenous shamanism continues to be a significant force for healing and prophecy today and is the predominant religious mode in small-scale, subsistence-based societies, such as bands of gatherers and hunters. Shamanism is valued by hunters as an intuitive way to locate wild animals, often depicted as “getting into the mind of the animal.” Shamanism is also valued as a means of healing, allowing individuals to discern and address sources of physical and social illness that may be affecting their health. One of the best-studied shamanic healing practices is that of the !Kung San in Central Africa. When individuals in that society suffer physical or socioemotional distress, they practice n/um tchai , a medicine dance, to draw up spiritual forces within themselves that can be used for shamanic self-healing (Marshall [1969] 2009). Shamanism is an early form of religion. It is based on perceived contact between natural and supernatural realms. Here, a Kwakiutl shaman from the Pacific Northwest coast of the United States makes contact with supernatural forces. (credit: “Hamatsa emerging from the woods—Koskimo” by Edward S. Curtis/Library of Congress Prints & Photographs Online Catalog, Public Domain) Shamanistic practices remain an important part of the culture of modern Inuit people in the Canadian Arctic, particularly their practices pertaining to whale hunting. Although these traditional hunts were prohibited for a time, Inuit people were able to legally resume them in 1994. In a recent study of Inuit whaling communities in the Canadian territory of Nunavut, cultural anthropologists Frédéric Laugrand and Jarich Oosten (2013) found that although hunting technology has changed—whaling spears now include a grenade that, when aimed properly, allows for a quick and more humane death—many shamanistic beliefs and social practices pertaining to the hunt endure. The sharing of maktak or muktuk (whale skin and blubber) with elders is believed to lift their spirits and prolong their lives by connecting them to their ancestors and memories of their youth, the communal sharing of whale meat connects families to each other, and the relationship between hunter and hunted mystically sustains the populations of both. Inuit hunters believe that the whale “gives itself” to the hunter in order to establish this relationship, and when the hunter and community gratefully and humbly consume the catch, this ties the whales to the people and preserves them both. While Laugrand and Oosten found that most Inuit communities practice modern-day Christianity, the shamanistic values of their ancestors continue to play a major role in their understanding of both the whale hunt and what it means to be Inuit today. Their practice and understanding of religion incorporate both the church and their ancestral beliefs. Contemporary Inuit still use shamanistic practices when they hunt and fish. Here, an Inuit fisherman in Greenland goes out seeking fish. (credit: Renate Haase/Pixabay, CC0) Above all, shamanism reflects the principles and practice of mutuality and balance, the belief that all living things are connected to each other and can have an effect on each other. This is a value that reverberates through almost all other religious systems as well. Concepts such as stewardship (caring for and nurturing resources), charity (providing for the needs of others), and justice (concern and respect for others and their rights) are all valued in shamanism. The Institutionalization of Religion Shamanism is classified as animism , a worldview in which spiritual agency is assigned to all things, including natural elements such as rocks and trees. Sometimes associated with the idea of dual souls—a day soul and a night soul, the latter of which can wander in dreams—and sometimes with unnamed and disembodied spirits believed to be associated with living and nonliving things, animism was at first understood by anthropologists as a primitive step toward more complex religions. In his work Primitive Culture (1871), British anthropologist Sir Edward Tylor , considered the first academic anthropologist, identified animism as a proto-religion, an evolutionary beginning point for all religions. As population densities increased and societies developed more complex forms of social organization, religion mirrored many of these changes. With the advent of state societies, religion became institutionalized. As population densities increased and urban areas emerged, the structure and function of religion shifted into a bureaucracy, known as a state religion . State religions are formal institutions with full-time administrators (e.g., priests, pastors, rabbis, imams), a set doctrine of beliefs and regulations, and a policy of growth by seeking new practitioners through conversion. While state religions continued to exhibit characteristics of earlier forms, they were now structured as organizations with a hierarchy, including functionaries at different levels with different specializations. Religion was now administered as well as practiced. Similar to the use of mercenaries as paid soldiers in a state army, bureaucratic religions include paid positions that may not require subscribing to the belief system itself. Examples of early state religions include the pantheons of Egypt and Greece. Today, the most common state religions are Christianity, Islam, Buddhism, and Hinduism. Rather than part-time shamans, tribal and state religions are often headed by full-time religious leaders who administer higher levels within the religious bureaucracy. With institutionalization, religion began to develop formalized doctrines , or sets of specific and usually rigid principles or teachings, that would be applied through the codification of a formal system of laws. And, unlike earlier religious forms, state religions are usually defined not by birthright but by conversion. Using proselytization , a recruitment practice in which members actively seek converts to the group, state religions are powerful institutions in society. They bring diverse groups of people together and establish common value systems. There are two common arrangements between political states and state religions. In some instances, such as contemporary Iran, the religious institution and the state are one, and religious leaders head the political structure. In other societies, there is an explicit separation between religion and state. The separation has been handled differently across nation-states. In some states, the political government supports a state religion (or several) as the official religion(s). In some of these cases, the religious institution will play a role in political decision-making from local to national levels. In other state societies with a separation between religion and state, religious institutions will receive favors, such as subsidies, from state governments. This may include tax or military exemptions and privileged access to resources. It is this latter arrangement that we see in the United States, where institutions such as the Department of Defense and the IRS keep lists of officially recognized religions with political and tax-exempt status. Among the approximately 200 sovereign nation-states worldwide, there are many variations in the relationship between state and religion, including societies that have political religions, where the state or state rulers are considered divine and holy. In North Korea today, people practice an official policy of juche , which means self-reliance and independence. A highly nationalist policy, it has religious overtones, including reverence and obeisance to the state leader (Kim Jong Un) and unquestioning allegiance to the North Korean state. An extreme form of nationalism, juche functions as a political religion with the government and leader seen as deity and divine. Unlike in a theocracy, where the religious structure has political power, in North Korea, the political structure is the practiced religion. Historically, relationships between religious institution and state have been extremely complex, with power arrangements shifting and changing over time. Today, Christian fundamentalism is playing an increasingly political role in U.S. society. Since its bureaucratization, religion has had a political role in almost every nation-state. In many state societies, religious institutions serve as charity organizations to meet the basic needs of many citizens, as educational institutions offering both mainstream and alternative pedagogies, and as community organizations to help mobilize groups of people for specific actions. Although some states—such as Cuba, China, Cambodia, North Korea, and the former Soviet Union—have declared atheism as their official policy during certain historical periods, religion has never fully disappeared in any of them. Religious groups, however, may face varying levels of oppression within state societies. The Uighurs are a mostly Muslim ethnic group of some 10 million people in northwestern China. Since 2017, when Chinese president Xi Jinping issued an order that all religions in China should be Chinese in their orientation, the Uighurs have faced mounting levels of oppression, including discrimination in state services. There have been recent accusations of mass sterilizations and genocide by the Chinese government against this ethnic minority (see BBC News 2021). During periods of state oppression, religion tends to break up into smaller units practiced at a local or even household level. agnosticism the belief that God or the divine is unknowable and therefore skepticism is appropriate. animism a worldview in which there is believed to be spiritual agency in all things, including natural elements such as rocks and trees. atheism the lack of belief in a god or gods. deity a god, usually named, with individual personalities and interests. doctrine a set of formal and usually rigid principles or teachings of a religious organization. goddesses female deities. gods deities; often, specifically male deities. law of contagion the belief that things that have once been in contact with each other remain connected always; a theory of magic. law of similarity the belief that things that are alike exert a force on each other; a theory of magic. magic a supposed system of natural law, the practice of which causes a transformation to occur. mana an impersonal force that can adhere to people or animate and inanimate objects to make them sacred . monotheistic religion a religion that centers on a single named god or goddess. none a person with no religious affiliation. polytheistic religion a religion that centers on a group of gods and/or goddesses, each devoted to a specific action or behavior. priests full-time religious leaders who manage and administer at a high level within the religious bureaucracy. prophet an individual associated with religious change who calls for a renewal of beliefs or a restructuring of the status quo. A prophet’s leadership is usually temporary or indirect. proselytization a recruitment practice in which members actively seek converts to the group. religion a shared system of beliefs and practices that are highly regarded in society. Most often, religion is focused on the interaction of natural and supernatural phenomena. shamanism a practice of healing and divination that involves soul travel to connect natural and supernatural realms in nonlinear time. shaman a part-time religious figure who works to connect with deities on behalf of others. sorcery a practice involving the use of material elements to cause a change in circumstances to another person. spirit supernatural being associated with specific activities, such as an earth spirit or guardian spirit (or angel). spirituality a loose structure of beliefs and feelings about relationships between the natural and supernatural worlds. state religion a formal religious institution with full-time administrators, a set doctrine of beliefs and regulations, and a policy of seeking growth by conversion of new practitioners. witchcraft a practice involving the use of intangible means to cause a change in circumstances to another person. worldview a specific outlook or orientation that an individual or group of individuals holds on the nature of the world.", "section": "What Is Religion?", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Symbolic and Sacred Space Learning Outcomes By the end of this section, you will be able to: Distinguish between a symbol and sign. Explain the architectural dimensions of sacred space. Understand the meaning of sacred place. Symbolism in Religion Symbolism plays a vital role in religion. A symbol stands for something else, is arbitrary, and has no natural connection to its reference. There are two main types of symbols. A symbol can be a metaphor , meaning that it is completely disconnected from what it represents, such as the Islamic symbol of the crescent and star, which represents enlightenment brought about through God. Or a symbol might be a metonym , in which the part stands for the whole, such as the cross, which is an artifact of a specific portion of Christian history that is now used to stand for Christianity as a whole. Symbols are multivocal by nature, which means they can have more than one meaning. Their meaning derives from both how the symbol is used and how the audience views it. The more common and widespread a symbol, the more conflicting references and meanings may coexist. As an example, think of the U.S. flag; when draped over a veteran’s casket, the flag has a different meaning from when it is waved at a rally or burned in protest. One symbol, multiple meanings. (left) In the first image, fog represents the collision of warm and cold air over San Francisco Bay; it is a natural effect. (right) In the second image, the fog/smoke is artificially created onstage at a Rolling Stones concert to establish a particular mood and association. It is symbolic. (credit: (left) “Above the fog” by CucombreLibre/flickr, CC BY 2.0, credit : (right) “StonesLondon220518-82” by Raph_PH/Wikimedia Commons, CC BY 2.0) The prevalence of symbolism in religion indicates that religions are learned and shared systems of belief. While there are empirical aspects to religion, especially in regard to religious practices such as dance, trance, and prayer, the meaning behind the practices is entirely learned. Symbolism is attached not only to supernatural deities and spirits but also to religious places, myths, and rituals. In the Ethnographic Sketch at the end of the chapter, you will read more about symbols and religion. The tools used for working magic displayed on this traditional Wiccan altar include an athame, a ritual knife that is used in many rituals, among them the ritual of casting a circle (creating a sacred place). Also shown are a boline, sword, wand, pentacle, chalice, and censer. (credit: “Wiccan Altar” by Fer Doirich/Wikimedia Commons, CC0) Religious Places Anthropologists distinguish between space , an unmarked physical field on which imagination or action can occur, and place , a location that has sociocultural meaning(s) attached. Many religions and religious practices are defined by sacred places that serve as settings for hierophany , the manifestation of the sacred or divine. Commonly, the sense of the sacred derives from the prior history and the use of a place. In most religions, sacred places are marked by other symbols. A Jewish home is identified as a special religious place. One way of marking this sacred place is by attaching mezuzahs, small casings containing a tiny parchment with a verse from the Torah to external and internal doorposts. Placings these mezuzahs at the points of entry marks the place inside as holy, sacred, and set apart. Like most religious places, the Jewish home is a densely symbolic place. Religious places are part of the built environment, or places that people create as representations of their beliefs. Religious scholar Mircea Eliade focuses on religious places in his work The Sacred and Profane (1959), arguing that one “becomes aware of the sacred because it manifests itself, shows itself, as something wholly different from the profane” (11). He identifies three characteristics associated with sacred places: Every sacred place is marked by a threshold , which separates the two spaces, the sacred inside and the profane outside. It marks a passageway and a new mode of being: “The threshold is the limit, the boundary, the frontier.” It is guarded in various ways and it is an “object of great importance” (25). Every sacred place memorializes a hierophany , or sacred event, by including an area within the sacred place that is most holy—usually where something sacred has occurred in the past. This is like an umbilical cord (Eliade calls it an axis mundi) that connects practitioner with deity and/or spirit, memorializing the occurrence of something special that happened (or happens) here. In many religious places, there will be an altar or some sort of commemoration in this spot. Every sacred place represents an imago mundi , an image or microcosm of the world as seen from the religious perspective. In some religious traditions, sacred places will be decorated with reminders of what is most valued by that tradition, using various types of artworks. In Catholic churches, for example, paintings of the events associated with the crucifixion of Christ, known as the stations of the cross, remind believers of Christ’s sacrifice. Eliade’s characteristics of sacred places can be useful tools for beginning to understand the role of a place in a religion or a religious practice that is unfamiliar to us. They prompt us to look at the place through a believer’s eyes: What happens here? What are the meanings associated with the different parts of this place? What are the proper ways to enter and exit and show respect? Because religion is heavily symbolic, we must strive to understand these places from inside the religious belief system. The practice of casting the Wiccan circle is a good example of creating religious place. Wicca is a relatively new religious movement based on ancient pagan beliefs and rituals. It is sometimes referred to as a neo-pagan movement because it is a modern polytheistic movement focused on belief in nature spirits. Although it has historical roots, the movement itself began in the mid-1900s in England. Wicca is focused on the dual energies of the male and the female and typically involves the worship of a goddess and a god (sometimes along with other deities), celebrating the natural world and the idea that this dual spirit resides in nature. The pentagram, a five-pointed star, is the primary Wiccan symbol, representing the five classical elements: air, water, fire, earth, and aether (spirit). When Wiccans—also called witches, regardless of gender—gather to worship, they establish a religious place outdoors. This is done through a ritual called casting a circle. Using a ritual knife or sword that represents fire, the witch casting the circle will symbolically “cut” the circle in three dimensions by walking out the circumference on the ground to symbolically mark the boundaries and establish the threshold. Then the caster will call on the guardians of the watchtowers of the four directions—north, south, east, and west—and above to mark the spherical shape as the caster marks the space using salt water (earth and water) and incense (fire and air). Once the guardians are invoked, the circle is cast and the practitioners can enter for the sacred ritual. When the ritual ends, the circle is dismantled by reversing each of these actions and returning the ground to its profane (not holy) status. The circle is sacred as soon as it is cast and remains sacred until the meeting ends and it is ritually deactivated. The circle is fluid, portable, and only cast for a single use each time. It serves as the entrance to the sacred portal in which the practitioners will encounter and interact with the spirits. Knowing how to properly cast the circle is critical, so a skilled witch is always in charge of this phase. Notre-Dame Cathedral in Paris is a sacred place marked by numerous symbols. Note that elaborate stained glass, Gothic arches, candles, and incredibly high ceiling. It is shown here before a 2019 fire that caused considerable damage. (credit: “Inside Notre Dame” by Kosala Bandara/Wikimedia Commons, CC BY 2.0) While Eliade’s approach to sacred architecture remains useful, anthropology increasingly uses a phenomenological, or experience-based, approach when studying place. The phenomenological approach is based on the belief that the meaning of a place emerges as it is used. Within this approach, a church building is understood to become sacred when practitioners bring their beliefs and meanings regarding the sacred with them into the sanctuary. It is the meaning assigned to the place by the people entering it that establishes its sacredness. The phenomenological approach argues that the nature of a place emerges from its use and denomination as a sacred place. This a new perspective in anthropology that opens up exciting new fields in the study of religious place. hierophany the manifestation of the sacred or divine. metaphor a symbol that is not naturally connected to what it represents. metonym a symbol in which a part stands for the whole. multivocal describes symbols that have more than one meaning. place a location that has sociocultural meaning attached to it. space an unmarked physical field; a place with no specific cultural meaning. symbol something that stands arbitrarily for something else and has no natural connection to its referent.", "section": "Symbolic and Sacred Space", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Myth and Religious Doctrine Learning Outcomes By the end of this section, you will be able to: Define myth. Explain the social importance of myth. Analyze mythic meaning using a structural approach. Explain the importance of oral tradition in religion. The Role of Myth in Religion Sometimes, our everyday usage of a word is the same as its scholarly use; when it comes to the word myth , however, this is not the case. Myth is used often in popular culture to mean something that is false or deceptive, a made-up story that is not true, as in the TV series MythBusters . In anthropology, however, myth is defined as a well-known story that explains primary principles, beliefs, and values outside of chronological time. Pieces of a myth may or may not be true. Its veracity is not what matters; it is most important for what it teaches. Many times, the characters within myths are culture heroes , semidivine persons whose experiences and lives serve as a teaching tool, allowing those within the culture to identify with them and learn from their challenges. Myths shape a society’s worldview, explain its origins, and also teach and affirm social norms (Moro 2012). There are various types of myths, including creation/origin myths, culture hero myths, and animal myths. The study of myth overlaps with many different scholarly disciplines, including anthropology, folklore, mythology studies, and psychology. Anthropology approaches the study of myth by examining each story for its primary messages about the society and culture it comes from. Creation/origin myths are among the best-known and most universal myths. Among these, a common type of creation story is the earth-diver myth, famously studied by folklorist and anthropologist Alan Dundes (1962). In earth-diver myths , a creator deity sends an agent, usually an animal, into deep waters to find a bit of mud that the deity will use to create dry land and, later, humans. Through this single act, the deity begins a creative cycle that will eventually result in life as it is known today. Although there are cultural differences in the way this myth is told, Dundes argues that the key elements of the myth are universal: a creator deity, an intermediary agent, and humans created from earth elements. A Brief Structural Analysis of a Myth Anthropologist Claude Lévi-Strauss (1908–2009) collected and analyzed myths as a way of studying culture. (credit: Michel Ravassard, UNESCO/Wikimedia Commons, CC BY 3.0) Anthropologist Claude Lévi-Strauss saw myths as containing both universal messages about shared human experiences and concerns and particular messages about the cultures with which they are associated. His approach to understanding myth is part of the theory of structuralism , and it separates myth into its component parts in order to understand the underlying form—the structure. Lévi-Strauss believed that mythic structure was the same across all cultures. He argued that the concerns of all cultures, expressed within their myths, are very similar. Structural analysis can be very complicated. At each step, as the myth is gradually “stripped down,” the information it reveals is more enlightening. There are approaches to structuralism that can be applied more quickly, however, allowing a more penetrating look at the “real story” within the myth. A brief version of a structural analysis will have at least three major components: binary oppositions , which are two contrasting concepts; mythemes , which are the stripped-down minimal units, or story components, that form the structure of the myth; and the primary messages of the myth, which are universal. Let’s look at a version of structuralism in action by analyzing a myth from the Tsimshian people of the Pacific Northwest coast of North America, collected by Franz Boas in 1916. The Myth “The Bear Who Married a Woman,” collected by anthropologist Franz Boas (1916, 192): Once upon a time there lived a widow of the tribe of the G·i-spa-x-lâ′°ts. Many men tried to marry her daughter, but she declined them all. The mother said, “When a man comes to marry you, feel of the palms of his hands. If they are soft, decline him; if they are rough, accept him.” She meant that she wanted to have for a son-in-law a man skillful in building canoes. Her daughter obeyed her commands, and refused the wooings of all young men. One night a youth came to her bed. The palms of his hands were very rough, and therefore she accepted his suit. Early in the morning, however, he had suddenly disappeared, even before she had seen him. When her mother arose early in the morning and went out, she found a halibut on the beach in front of the house, although it was midwinter. The following evening the young man came back, but disappeared again before the dawn of the day. In the morning the widow found a seal in front of the house. Thus they lived for some time. The young woman never saw the face of her husband; but every morning she found an animal on the beach, every day a larger one. Thus the widow came to be very rich. She was anxious to see her son-in-law, and one day she waited until he arrived. Suddenly she saw a red bear . . . emerge from the water. He carried a whale on each side, and put them down on the beach. As soon as he noticed that he was observed, he was transformed into a rock, which may be seen up to this day. He was a supernatural being of the sea. The Binary Oppositions In order to find binary oppositions, one must identity the important points within the myth—what exactly is asserted in the story. The opposite of each of these points, which may or may not be openly expressed in the myth, is the primary term’s opposition. The oppositions form the structure of the myth because they identify what is important. Below are the binary oppositions in the first paragraph of the myth (1). Note that the specific words are not always critical, and sometimes there is more than one version of the quality that can be expressed. Once upon a time there lived a widow of the tribe of the G·i-spa-x-lâ′ts. (then vs. now, live vs. die, male vs. female, married vs. widowed, together vs. alone, member of the tribe v. nonmember or belong vs. not belong) Many men tried to marry her daughter, but she declined them all. (many vs. few, men vs. women, marry vs. not marry, daughter vs. son, child vs. childless, accept vs. decline, all vs. none) The mother said, “When a man comes to marry you, feel the palms of his hands.” (female vs. male, mother vs. father, say vs. not say, man vs. woman, come vs. not come, marry vs. not marry, feel vs. not feel or test vs. not test or do vs. not do, palms of his hands vs. another body part) “If they are soft, decline him; if they are rough, accept him.” (soft vs. rough, decline vs. accept, rough vs. soft, accept vs. decline) She meant that she wanted to have for a son-in-law a man skillful in building canoes. (female vs. male, want vs. not want, have a son-in-law vs. not have a son-in-law, man vs. woman, skillful vs. inept) Even this cursory analysis reveals certain qualities that come up again and again: male versus female, married versus unmarried, belonging versus not belonging (expressed also as accepted versus declined). The emphases seem to be on sex, family, and legitimacy. The Mythemes In the “light” version of structuralism, the mythemes are best revealed by retelling the story in shorter and shorter versions, each time with fewer particular details. Using the first paragraph, again: (original) Once upon a time there lived a widow of the tribe of the G·i-spa-x-lâ′°ts. Many men tried to marry her daughter, but she declined them all. The mother said, “When a man comes to marry you, feel of the palms of his hands. If they are soft, decline him; if they are rough, accept him.” She meant that she wanted to have for a son-in-law a man skillful in building canoes. (first retelling) Once upon a time there was a widow. Many men tried to marry her daughter, but she declined them all. The mother said, “Feel the palms of his hands, and if they are rough, accept him.” She wanted a son-in-law who was skillful in building canoes. (second retelling) A widowed mother told her daughter to get a husband with rough hands. She wanted a hardworking son-in-law. Note how the second version of the story has only mythemes of action and consequence. The information left in the mythemes is the critical information, the major points, of the myth. Lévi-Strauss argued that mythemes reveal universal cross-cultural concerns. All specific “local” information is removed. Considering the myth as a whole, the tribe and the characteristics to avoid can be omitted. The Primary Messages In this version of structuralism, the specific ways in which the messages are written are less important than what they are generally saying. The general messages are extracted from the emphasis within the binary oppositions. How much emphasis is put on something such as kinship? Sharing? There are several possible ways to say each of the following, but the central messages in this myth seem to be the following: Be careful what you wish for. (There may be unforeseen consequences to what you think you want.) Don’t look a gift horse in the mouth. (Don’t find fault with things that are good.) Family matters. (Kinship is important.) Oral and Written Religious Traditions Religion scholars often separate religions into oral traditions, or local or indigenous religions passed down across generations through storytelling, and written traditions, or world religions that are primarily associated with sacred, written texts. While each may use components of the other tradition—oral storytelling is still occasionally used in a religion that is primarily a written tradition, for example—the emphasis on either oral or written worship affects the nature of the religious system in various ways. Religions that remain primarily oral, such as most tribal and non-state religions, rely on religious performance as a way of bringing history to life instead of storing this cultural knowledge in written form. Most oral traditions have a cyclical connection to time, interpreting the past as repeating in cycles over and over, and see themselves and their ancestors as connected by enduring relationships over time. One of the clearest contemporary examples of this is a concept in the belief systems of various Indigenous Australian peoples commonly known as Dreamtime . In her study of women’s rituals and song lines among the Warlpiri people , Diane Bell (1993) became very interested in the yawulyu tradition, the women’s Dreamtime rituals. Through rituals of song, dance, and ceremony, Warlpiri women bring their ancestors to life. In one specific ritual, they walk paths near their communities where various historic and mythic events are believed to have occurred. These ritualized walks are called storylines because the women believe they are actually reliving the events that occurred in those locations and bringing their ancestors to life by remembering what happened in these meaningful and sacred places. Men have their own storylines and Dreamtime. Among indigenous Australian peoples, as among many small-scale societies, religion is not separate from everyday life. Instead, it infuses what they do and how they think about themselves. Theirs are oral and performative traditions in which they walk alongside their ancestors as they walk the same trails that their ancestors walked and remember them by remembering their stories. In this way, they turn myth into ritual itself, one intermingling with the other. Myths, for the Warlpiri, are alive and relived when they are performed. Dreamtime connects the Warlpiri people to their ancestors and their history and strengthens their cultural identity. Even in religious faiths that rely primarily on doctrine, storytelling remains critical. The phrase “people of the book,” an Islamic reference to the Abrahamic religions—Islam, Christianity, and Judaism—is used to describe religious traditions that primarily, although not exclusively, rely on text and textual study. Each of these traditions has a primary sacred book used as the foundation of the religion—the Bible in Christianity , the Qur’an in Islam , and the Torah in Judaism . Yet while these traditions are based on scripture (writings), there are also significant oral components in the practice of these faiths. Many of the writings are based on earlier oral traditions and retain characteristics of oral performance, such as repetition for emphasis and to encourage remembering and story units that are self-contained and can be moved around. And each tradition utilizes oral performance in worship, reading aloud from their sacred texts during religious services. Manuel Zapata Olivella 1920–2004 Personal History: Zapata Olivella was born in Lorica, Colombia, in 1920 and studied medicine in the capital at the Universidad de Bogotá, eventually working as a physician and psychiatrist. He traveled throughout Latin America, Europe, and the United States, lecturing in the United States at Howard University and the University of Kansas. When introducing himself at the Library of Congress, he stated, “Soy Manuel Zapata Olivella, colombiano, novelista, médico, y antropólogo” (I am Manuel Zapata Olivella, Colombian, novelist, medical doctor, and anthropologist). His work— academic, literary, and medical—extends across all areas of what it means to be human. Area of Anthropology: Born into a family of mixed ethnic and racial heritage—his father was of European and African ancestry, and his mother was of Indigenous and Spanish descent—Zapata Olivella was interested in identity and cultural diversity in Colombia. While traveling in the United States in the 1940s, he witnessed segregation and racial discrimination against Black Americans; he returned to Colombia and dedicated himself to studying the culture of afrocolombianos (Colombians of African descent), even as he continued his medical practice. Accomplishments in the Field: For his ethnographic-literary works, Zapata Olivella received many awards throughout the Americas and Europe. Afro-Hispanic and Americanist scholars today value Zapata Olivella’s work for its cultural detail and focus on an understudied and too often overlooked population. Importance of His Work: His ethnographic work provided the material for him to write a series of historical novels, the best known of which is Changó, el gran putas (Changó, the badass, 1983), an epic novel tracing the African diaspora from its origins in the slave trade across generations. His work incorporated many of the syncretic religious and mythic elements of contemporary afrocolombianos . Speaking at a national literary event on the importance of studying Afro-Colombian identity and culture today, he said, “For young countries such as ours, to assert our traditions, our evolutionary reality, our creative force is to take possession of ourselves, to come of age” (Zapata Olivella 2010, 185). On the afrocolombiano experience in the Americas, Zapata Olivella published more than a dozen novels and numerous short stories and essays (Selected Correspondence). binary opposition two opposing concepts, commonly found in institutions such as kinship and in myth. earth-diver myths creation myths in which a creator deity sends an agent, usually an animal, into deep waters to find mud that the deity will use to create dry land and humans. mythemes the stripped-down minimal and portable units that form the structure of a myth. myth a well-known story that teaches primary principles, beliefs, and values outside of chronological time. primary messages the meaning of a myth, which can be applied universally. structuralism a theory and method focused on identifying patterns in culture; also includes mythic analysis.", "section": "Myth and Religious Doctrine", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Rituals of Transition and Conformity Learning Outcomes By the end of this section, you will be able to: Identify the characteristics of ritual. Describe how ritual reinforces social solidarity. Distinguish between the different types of ritual. Explain the social forces of liminality and communitas. Identify the stages of rites of passage. The Varieties of Ritual Experience in Religion Rituals , also called rites , are performative acts by which we carry out our religious beliefs, public and private. As sociologist Émile Durkheim noted, they follow a formal order or sequence, called a liturgical order ; are performed in a place that is set apart and sacred during the time of the performance; and are inherently social. Unlike idiosyncratic behaviors that an individual may practice on their own, rituals are learned and shared. They foster social solidarity and identity within a community of believers (this a focus of Durkheim’s). Even when performing a religious ritual alone, such as walking a labyrinth during meditation, the ritual itself, because it is learned as part of a larger body of religious practices, connects the individual to the larger community. Walking a labyrinth, such as this one in Grace Cathedral in San Francisco, California, is experienced by many people as a meditative or prayerful ritual. (credit: “Grace Cathedral Labyrinth” by Jay Galvin/flickr, CC BY 2.0) Rituals tend to have a common structure even though ritual and ritual performance can be quite variable. In his work Ritual (1993), West African writer and ritual scholar Malidoma Somé ([1993] 1997, 68) outlines the major stages of most ritual acts: Opening: “setting the stage” by designating the purpose of the ritual and gathering the human participants Invocation: calling upon the spirit world to join the group Dialogue: establishing an open connection/communication between participants and the spirit world Repetition: fixed sequences, prayers, and/or acts that are required to legitimize the ritual’s purpose Closure: a blessing or other form of official dismissal for both human and spirit participants Even when rituals are scripted and parts are carefully read and followed, individual participation and collaboration will subtly change a ritual each time it is enacted or performed. Rituals are never exactly duplicated, and not all rituals serve the same purpose. Some are primarily performed to affirm, strengthen, and maintain solidarity within the group; some are social markers of life transformations for individuals, families, or groups; and others address healing and the need for renewal. There are many categories of ritual: commemoration feasts or rituals (e.g., Christmas or Hannukah), which are usually held over a calendrical cycle, usually a year; divinatory rites to find the causes of illness, ask for healing, or prophesy about the future, which usually occur on an as-needed basis; and rites of rebellion, in which social rules and norms may be inverted to emphasize their value within a society. Incwala, a ritual found among the Swazi , a group in southern Africa, is a national holiday during which many social rules are suspended or inverted, allowing women to take on men’s public roles and men to take on women’s household duties in a public farce. Among the Swazi, this ritual is understood to illustrate the value of different gender roles in society as well as the importance of social norms in reducing social disorder. In the United States, Halloween is also a rite of rebellion, one in which children go out at night to beg for candy from neighbors. Among the most common broad types of religious ritual, though, are rites of intensification, rites of passage, and rites of affliction. Rites of Intensification Called by various names, such as rites of affirmation and calendrical rites, rites of intensification are performed to affirm, strengthen, and maintain bonds of solidarity. Most of the repetitive religious services that are offered through churches, synagogues, and mosques are rites of intensification. These rituals tend to have a rather stable and repetitive structure that allows practitioners to follow along easily. If you attend or participant in any kind of repetitive daily, weekly, or monthly religious ritual, it is likely a rite of intensification. These rites define and indoctrinate individuals so that they identify as a religious community, even though there may be other ritual acts accompanying it. It is not unusual in state religions for these rites to create unity among believers across cultures and nation-states. A good example is the daily practice of Islamic prayer, or salat . Salat involves praying in the direction of the holy city of Mecca at dawn, noon, midafternoon, sunset, and evening every day, regardless of where the believer is located or even what they are doing. Salat establishes a direct relationship between the believer and God and affirms one’s membership in a global community of Muslims. An Islamic congregation practices a rite of intensification called salat , or ritual prayer. (credit: “Istanbul” by FaceMePLS/Wikimedia Commons, CC BY 2.0) Rites of Passage First identified by anthropologist Arnold van Gennep in 1909, rites of passage mark social transformations in people’s lives and establish a change in social status within their communities. Associated most commonly with birth, puberty, marriage, and death, these rituals can be prolonged ceremonies during which the individual receives instruction and preparation for this change in their lives. Gennep noted that there are three stages in a rite of passage—separation, transition, and incorporation—and that during the transition stage, the individual must traverse a threshold ( limen in Latin) from their old social position or status to a new one. Separation (pre-limen). The separation phase is marked by detachment from one’s previous status. While the person or people involved may be physically separated and held in a special place, the separation normally occurs within daily life over a period of time and is always marked symbolically. Some examples of separation are the formal engagement of a couple with rings and a period of preparation for the upcoming marriage; the process of catechesis, or formal religious instruction, for young people planning to be baptized or confirmed in a Christian church; and wearing special clothing or colors while mourning the death of a family member. Transition (liminality). The transition phase is marked by an ambiguity of status and associated with instruction and teaching. This phase is usually restricted to the period in which an active and public ritual transformation is taking place. The person or people involved, already separated from their previous status and identity, are now transformed into a new status. This is the most active phase of a rite of passage. It is highly scripted and almost always involves teachers, guides, or mentors who usher the individuals through the proper steps to a new social status. Some examples of transition are the marriage ceremony itself, the actual baptism or confirmation ritual in the church, and the funeral service for a loved one. Incorporation (post-limen). The incorporation phase is marked by a formal public presentation of the person or people who have gone through the ritual. During incorporation, different symbols are used to express a new social status and identity. In this last stage, those going through the transformation begin to assume the rights, privileges, and responsibilities of their new social status. This might include changing their names, moving to a new location, or wearing different clothing. In many rites of passage, this is an extended period that can last from months to years. Anthropologist Victor Turner (1969) discusses in detail the significance of liminality in rites of passage. During liminality, an individual is what Turner calls “betwixt and between” (95), without social status or standing, outside of the structure, and in transition from one social stage to another. It is a form of social death. Often, the individual will be dressed in uniform, unmarked clothing and follow behaviors associated with humility and anonymity in their culture. There is also an expectation of total obedience during the change of status, as the individual depends on ritual leaders (gatekeepers) to teach, coach, and mentor them through the passage. If there is a cohort of individuals participating in the rite of passage, such as an age grade going through puberty rites, the participants will share a strong sense of equality and social bonding among themselves, referred to as communitas . Through Turner’s research on the Ndembu of Zambia, anthropologists were better able to understand these common mechanisms of social change. One example of a rite of passage among the Navajo of the southwestern United States is the Kinaaldá. The Kinaaldá is a traditional coming-of-age ceremony (a puberty rite) for young Navajo women that occurs shortly after a girl’s first menstrual cycle and involves her extended family and community (Carey 2010; Meza 2019). Typically, the ceremony lasts four days and occurs both inside a traditional Navajo house, called a hogan , and in the surrounding area, where the girl will periodically run to ensure that she has a strong and healthy life. At the beginning of the ceremony, as separation begins, the girl lies down and her family straightens her limbs and helps dress her and prepare her for the transition. During the days of seclusion, there are many different tasks as the girl is initiated into womanhood. On the third day, she and her mother will bake a corn cake called an alkaan , and then, led by a Navajo medicine man or woman, they will sing prayer songs all night until the sunrise. During the final stage of the Kinaaldá, in the morning of the fourth day, the mother washes her daughter’s hair and dries it with cornmeal (corn is a Navajo deity). The young woman will then take her last run toward the east, now followed by many young children, so that she might eventually become a loving mother whom her children will always follow. After the ceremony, she is reintroduced to her community as a woman and not a child; she is now considered a young adult. Not all rites of passage are religious. There are also secular rites of passage, such as graduation or quinceañera, a celebratory birthday for 15-year-old girls in many Latin American communities. And sometimes the religious and the secular are intermingled, as in a marriage ceremony that is both civil and religious. Societies use both secular and religious rites of passage to mark changes in the life cycle of their members. Rites of Affliction Unlike rites of intensification and many rites of passage, rites of affliction are usually non-calendrical and unplanned. Normally classified as healing rituals or petitions for supernatural intervention, these rites seek remedy or compensation for the affliction. Whether directly through a shamanic journey or through the mediation of a religious leader, communities petition the spirits or deity for healing or a blessing. While illness and health in most Western societies are understood to be biomedical phenomena based on empirical evidence, in non-Western societies and in localized religious traditions across cultures, well-being is viewed as a relationship between body and soul and thus is believed to have a religious component. While nonbelievers might refer to rites of affliction as superstition , a belief or practice that has no credible evidence for its efficacy, for believers, these religious rites allow them to plead for help and sometimes control the outcome of threatening life events. Rites of affliction, first described by vary greatly depending on the need. People may perform witchcraft and sorcery to determine the source of affliction, exorcism to remove the presence of an adverse spirit, or divination to identify the source of harm. Divination is a practice or test intended to gain understanding, guidance, or advice about an event or situation. There are literally hundreds of different methods of divination. Some examples include scapulimancy (burning the shoulder blade of a cow or antelope and reading a message in the burn pattern), tasseomancy (reading tea leaves at the bottom of a cup), oomancy (rubbing an egg over an area of illness or pain and then breaking it open to read a pattern), bibliomancy (randomly opening the Bible or another book and seeking a message in whatever passage is on that page), reading tarot cards, and checking astrological signs. One common rite of affliction in the Christian tradition is the laying on of hands. This ritual appears in the Bible, used both as a means of conveying the Holy Spirit (Num. 27:15-23; Acts 8:14–19) and as an act of healing by Christ (Luke 4:40). Today, in many Pentecostal and Evangelical churches, congregations practice the ritual of laying on of hands. Believers place their hands on the shoulders or head of the congregant who seeks healing—whether from social, mental, or physical distress—in the belief that with fervent prayer and physical contact, the Holy Spirit can move from one individual to another to strengthen, heal, and anoint them with God’s grace. Sometimes the “helpers” stand face-to-face or bend over the individual seeking help. Sometimes believers walk behind the individual in need, who sits in a chair, and then lay hands on their shoulders and pray, either silently or aloud so that the afflicted individual can hear the prayer being offered. In these acts, the religious community pools its spiritual and social resources and encourages the afflicted member—a powerful antidote to illness no matter the faith tradition. Although they are not exclusively associated with rites of affliction and are sometimes performed as acts of obedience, celebration, spiritual merit, enlightenment, or even penance, pilgrimage is often practiced as a rite to seek redress and healing. A sacred journey to a shrine or holy place, pilgrimage is practiced in many religions. Some of the most famous pilgrimages are the hajj, an Islamic pilgrimage to Saudi Arabia; the Christian pilgrimage to the Sanctuary of Our Lady of Lourdes, a site in France where Mary is believed to have appeared; and the Hindu pilgrimage to the River Ganges in India. The hajj is a Muslim pilgrimage to Mecca, pictured here, which is the birthplace of the prophet Mohammed. At the center of the photo, note the Ka’aba, the symbolic dwelling place of Allah. (credit: “Holy Ka’ba” by Camera Eye/flickr, CC BY 2.0) The hajj is one of the five pillars, or primary tenets, of Islam. For believers with the physical ability and financial means, completing the hajj to Mecca, Saudi Arabia, is essential to their faith. While the pilgrimage itself may occur at any time during the last three months of the Islamic calendar, the last five to six days of the 12th month are those on which the most significant rituals occur. Based on the lunar calendar, the hajj is a movable feast, meaning it is a celebration whose dates vary each year and will occur in different seasons over a cycle of years. Because the Islamic calendar is a lunar calendar, it does not coincide annually with the Gregorian calendar followed by most of the Western world today. Historically, pilgrims arrived by walking, using the travel time and its accompanying struggles to focus on growing in their faith. Some individuals continue this traditional means of completing the hajj, but other devotees arrive by boat, bus, or plane, dedicating themselves to contemplation once they arrive. Mecca is an important symbolic place for Muslims because it was the birthplace of the Prophet Muhammad. During the hajj ritual, the pilgrims will perform many faith acts, including circling the Ka’aba , a building at the center of the mosque representing the most sacred place, seven times clockwise to open the ritual; praying; running between the nearby hills of Safa and Marwah; clipping their hair; going east of Mecca to confess their sins and seek atonement; gathering pebbles to perform a symbolic stoning of the devil; buying sacrifice vouchers so that an animal will be sacrificed on their behalf; and then again circling the Ka’aba seven times, this time counterclockwise, to close the hajj. communitas a cohort of individuals participating in a rite of passage who share a strong sense of equality and social bonding among themselves. divination a practice or test to discern knowledge about a certain event or situation. exorcism the removal of an adverse supernatural spirit from a person. liminality a state in which an individual is viewed as being in a transition from one social stage to another. pilgrimage a sacred journey to a shrine or other holy place. rite of affliction a ritual invoked to seek some sort of redress, remedy, or compensation for an individual by means of supernatural intervention. rite of intensification a ritual performed by a religious group to affirm, strengthen, and maintain bonds of solidarity. rite of passage a ritual in which an individual or group marks a social transformation. rituals performative acts by which people carry out religious beliefs, both public and private; also called rites. superstition a belief or practice that is believed to have no credible evidence for its efficacy. syncretism an integration or use of more than one religious system.", "section": "Rituals of Transition and Conformity", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Other Forms of Religious Practice Learning Outcomes By the end of this section, you will be able to: Identify utopian religious communities. Explain the historical and social importance of the Shakers. Identify secular religion. Give an example of secular religion. Utopian Religious Communities While the most typical form of religious community today is a group of people who share a common faith and set of beliefs and meet periodically to worship, there are other ways of creating religious community. One example, widespread in the United States during the 19th century, is utopian religious communities. A utopian community is a community intentionally established by a group of people seeking to live out their ideas of an ideal society. Utopian communities may be secular or religious. The utopian communities that are most successful share certain characteristics: they are physically separate from the larger society; establish a degree of economic self-sufficiency, through either agriculture or industry; and have a clear authority structure and ideology, or shared set of beliefs. There have been dozens of utopian religious communities in American history. In the 19th century, many people in Europe viewed the United States as a blank slate, a country unburdened by history or tradition. The forced removal of Indigenous peoples opened up vast areas of land and natural resources to White settlers and new religious groups seeking autonomy. While many of these societies were short-lived, impractical, and troubled by discord, they were home to thousands of Americans during the 19th and 20th centuries. Today, we still find small utopian communities throughout the United States, some based primarily on religion (such as the Bruderhof) and others on sustainable economics (e.g., Serenbe in Fulton County, Georgia). Religious utopian communities make particular religious beliefs the center of the community. Some such communities separate themselves completely from secular society, while others establish an enclave, a so-called heaven on Earth within the larger society, that members hope will spread outward and attract more converts. Although utopian religious communities are relatively rare today, they do exist. The Amish , found throughout the United States but primarily in Pennsylvania, Ohio, and Indiana, live in small, self-contained farming communities built around very traditional Swiss German and Protestant roots. The Amish have what they call a plain lifestyle based on simple technology, and they tend to separate themselves from the non-Amish communities around them. The Hutterites , now located primarily in Canada, are also from German Protestant roots and are much like the Amish, except they typically are more interactive with their non-Hutterite neighbors and do not prohibit more modern technology. The Bruderhof are more recent utopian religious communities, originating in the 1920s, also with German Protestant roots but now found in many different places, including South America, Africa, Europe, Australia, and the United States. The Bruderhof have a communal lifestyle based on biblical ideals, though they interact with communities around them. While they do have Bruderhof industries, such as a furniture industry for special-needs children, they also work and study in secular society. Among the most successful of the 19th-century American religious utopian communities was the United Society of Believers in Christ’s Second Appearing, commonly known as the Shakers . Although they first formed near the city of Manchester in England in the mid-1700s, the group did not become a self-sustaining utopian community until after members immigrated to the United States in 1774. Their first settlement was established at Watervliet, New York, in 1776 under the leadership of an Englishwoman, Ann Lee. Mother Ann, as Shakers called her, and her original eight English followers traveled throughout New England seeking converts to join the community at Watervliet. Following Mother Ann’s death in 1784, caused by beatings she received during her period of itinerant evangelism, the Shaker society began to develop a more formal structure that codified beliefs, social expectations, and a strict work ethic. By 1790, new members were required to sign covenants in which they pledged to consecrate all of their property to the society, work for the communal good of the group, follow a celibate life (with those who were already married ending their marriages prior to formally becoming a Shaker), and adhere to Shaker principles and beliefs. From a single, small settlement at Watervliet, Shaker societies grew and spread over 10 U.S. states—New York, Connecticut, Maine, Massachusetts, New Hampshire, Ohio, Indiana, Kentucky, Florida, and Georgia—with a membership at its height in excess of 6,000 individuals. Today, the Shakers survive as a single remaining society at Sabbathday Lake, Maine. There are now two remaining covenanted Shakers. The Shakers are a millennialist Christian faith, meaning that they believe that Christ has already returned and is present now on Earth as the Holy Spirit within believers. With Christ within them, Shakers believe that it is their duty to establish a heaven on Earth. The Shaker principles of faith historically encompass a range of social and religious tenets. They believe that God is dual, both male and female, and they practice gender equality, vesting leadership in both men and women since their beginnings in the late 18th century. They also embrace a commitment to racial equality. Even during the 19th century, as the Civil War raged throughout the United States, this included the practice of housing Black people and White people within the same community with equal access to resources. Shakers are dedicated pacifists, refusing to engage in warfare, and they commit to hard physical labor and self-improvement, taking as their motto a phrase attributed to Mother Ann: “Hands to work and hearts to God.” The Shakers contributed a great deal to the material culture of the United States. Examples of products developed and successfully marketed by the group include paper seed packets (now used throughout the seed industry worldwide), their simple and graceful furniture, an improved washing machine, waterproof clothing, the circular saw, and medicinal herbs. Their artifacts, architecture, and music continue to be widely recognized and highly regarded. The Shaker song “Simple Gifts” (1848), borrowed and used by Aaron Copland in his ballet score Appalachian Spring (1944), has been performed at three U.S. presidential inaugurations. While there are few Shakers left today, they remind us of the importance of religion as an enduring institution, the power of religion to bind people together into common cause, and the rich diversities embedded in the heart of faith traditions. Shaker Ricardo Beldin, seated in a workshop at the Hancock Shaker Village in Massachusettes, makes oval wooden boxes to sell in 1935. The Shakers, who took as their motto “Hands to work and hearts to God,” earned a reputation for producing elegant and well-made objects for everyday use. (credit: “Brother Ricardo Belden, box maker” by Samuel Kravitt/Library of Congress Prints & Photographs Online Catalog, Public Domain) Secular Religion Secular religion is a system of beliefs held by a society that elevates social ideas, qualities, or commodities to a metaphysical, semidivine status. Often, the group sees itself in terms of a divine image, creating a situation in which, as Émile Durkheim famously said, “society = God.” Various types and degrees of nationalism are a form of secular religion in which a group shows honor, respect, and allegiance to the nation itself as a sacred entity. For large and diverse societies, secular religion can create a powerful and enduring bond among otherwise very different groups of people. Often, philosophical ideas and materialism itself have been at the center of secular religion. One of the most prominent examples of secular religion is nationalism, the belief that the nation-state and its interests are more important than those of local groups. U.S. sociologist Robert Bellah (1967) studied secular religion in the United States and documented the many ways that American society uses religious practices, such as myth, ritual, and sacred space, to elevate the idea of the nation-state. During occasions such as presidential inaugurations and the convocation of Congress, for example, it is routine to use sacred language and prayer, elevating the nation-state to a privileged, sacred status, blessed, ordained, and legitimized by religious imagery. Rituals such as raising the national flag while saying a pledge to the nation-state, flying flags at full versus half-mast, and draping flags over the coffins of deceased service members are practices of secular religion. Burials at nation-state cemeteries such as Arlington National Cemetery may be filled with imagery of secular religion, including a caisson, a bugler, a drummer, and gun salutes. Día de los Muertos Experience of Marjorie Snipes, chapter author In the Andean highlands of Argentina, most communities celebrate All Souls’ Day, or Día de los Muertos (Day of the Dead), on November 1 and 2 every year. While this Catholic ritual commemorates the recently departed, usually those who have died in the past three years, it also includes elements of Indigenous religious practices and beliefs centered on Pachamama (Mother Earth). This integration of beliefs from more than one religious system is common across cultures and is called syncretism . The practice of Día de los Muertos is a solemn occasion. Families prepare a favorite meal or food items that they associate with the recently departed and set a place setting for their soul ( alma ). Candles and flowers adorn the elaborately decorated family table. The meal remains available for the soul of the departed from the evening of November 1 until the evening of November 2. During that time, family members meet periodically around the table to offer prayers and to share remembrances of the deceased, and souls are invited to eat and prepare themselves for the journey to the spirit world. Souls of the departed are believed to remain strongly attached to their families and unwilling to leave the living world for three years following death. They must be coaxed by surviving family members to make a peaceful transition to the spirit world, where they can rest. In the southern Andes, many people believe that moths are visual symbols of the soul’s presence. With candles lit throughout the night of November 1, families in rural Andean households often encounter moths. This serves as ritual affirmation. On the evening of November 2, after a last prayer of departure, Andean families in El Angosto will gather the favorite foods of their departed and offer them to Pachamama by piling or burying the food into an altar of rocks. Each household has a family altar near their house, called a mojon , dedicated to Pachamama. It is a cairn predominantly consisting of white rocks, each believed to symbolize the goddess. The rocks may be naturally white, consisting of milky quartz, a common rock in the area, or they may be calcified or even painted white. During fieldwork, I asked people about the importance of the color white, but their answers were similar to the types of answers many of us would give to questions about our traditions: “This is her special color,” “It’s just this way,” or “This is our custom.” These truthful responses represent enculturation. As a scientist, though, I seek connections between the color white, stones, and Pachamama. I suspect there are several reasons that this color first began to be associated with Mother Earth: milky quartz is a common rock in the region and readily available; since the earth is considered to be Pachamama’s body, the white rocks mimic the color of bone; and perhaps most significantly, the color white is associated with breast milk, a characteristic associated specifically with mothers. Understanding symbolism is important because it gives anthropologists a window into what matters most to those we are studying. A cairn, or stack of rocks, built alongside the road to Mount Misti in Peru. These stacks of rocks are similar to those created as family altars by Andean families in El Angosto. (credit: “Mount Misti,” by RichardJames1990/flickr, CC-BY-2.0) Summary Religion is found across all cultures, and yet it can be difficult to define. French sociologist Émile Durkheim used an empirical definition, identifying religion as an institution related to “sacred things,” with beliefs, practices, and a social organization. This definition provides a checklist for studying religion. Anthropologist Clifford Geertz, on the other hand, defines it as a system of symbols connected to moods, motivations, and a “general order of existence.” While more abstract, this definition addresses the meaning and sense of identity that religion conveys to practitioners. In the United States today, people identify themselves religiously in a number of ways, including as “nones,” people with no religious affiliation. Nones, agnostics, and atheists do have worldviews particular to their cultures, and they sometimes also have spiritual beliefs. Religion has several common characteristics. Witchcraft and sorcery became part of religion as it evolved to adapt to world populations. In these cases, religion expresses social conflict within the society. Magic is also part of every religion, as religious belief systems are based on cause and effect, and anthropologists see magic as a profound human act of faith. Most religions also involve supernatural forces, such as gods and goddesses. Monotheistic religions focus on a single named god, while polytheistic religions involve a group of deities. Most religions have some type of leadership, either priests or shamans. Shamanism is an early form of religion, found throughout human history, and possibly the explanation for mortuary artifacts and even cave painting. While shamanism is a healing practice, it is also a set of beliefs and practices regarding a supernatural world. As populations became larger, some shamanic cults developed into more organized and institutional forms of religion, leading to large state religions such as Christianity, Islam, and Buddhism. Shamanic practices can still be found within these larger religions. Symbolism is common to all religions, regardless of whether they are small indigenous cults or state religious systems. Geographical space marked by symbolism can become a sacred place with specific meaning to religious practitioners. Religious myths, the stories behind the beliefs, are heavily marked with symbolic meaning. Religions can convey their beliefs through both oral and written traditions, with certain groups focused specifically on one or the other. Religious practice is known as ritual, and there are a variety of types of ritual, including rites of intensification, rites of passage, and rites of affliction. Historically, there has been a great diversity in religious groups, including utopian religious communities that live separate from secular society and focus almost entirely on living a religious life. The Shakers are an example of this type of religious society. There are also examples of secular religion, in which the state or society itself is elevated as if it had a divine status. Critical Thinking Questions Participant Observation: Analysis of a Religious Service Do fieldwork and an analysis of a religious service of your choice. With permission from the religious leader(s), attend the service and practice participant observation. Using what you have learned about sacred place and ritual, analyze the physical environment where the service is occurring. Where is/are the threshold(s)? Where is the axis mundi? How does the built environment contribute to the practice of religion and spiritual exercises? In the service itself, what are the primary themes, and how do different participant constituencies respond to these? Does the service conform to any of the rituals that you studied in this chapter? If so, how? After analyzing the service, reflect on your experience of doing this mini-fieldwork activity. 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Gennep, Arnold van. 1960. The Rites of Passage: A Classic Study of Cultural Celebrations . Translated by Monika B. Vizedom and Gabrielle L. Caffee. Chicago: University of Chicago Press. Gottlieb, Alma. 2008. “How Are Anthropological Studies of Witchcraft Relevant Today?” Interview by Diana Yates. News Bureau. October 27, 2008. https://news.illinois.edu/view/6367/198785. Harner, Michael. 1980. The Way of the Shaman: A Guide to Power and Healing . San Francisco: Harper & Row. Harvey, Graham, ed. 2003. Shamanism: A Reader . New York: Routledge. Ingold, Tim. 2018. Anthropology: Why It Matters . Medford, MA: Polity Press. Ingold, Tim. 2019. “169: Tim Ingold.” Cultures of Energy: The Energy Humanities Podcast . Hosted by Dominic Boyer and Cymene Howe. March 21, 2019. Podcast, 1:05:42. http://culturesofenergy.com/169-tim-ingold/. Istomin, Kirill Vladimirovich, and Mark James Dwyer. 2010. “Dynamic Mutual Adaptation: Human-Animal Interaction in Reindeer Herding Pastoralism.” Human Ecology 38 (5): 613–623. Kanter, Rosabeth Moss. 1968. “Commitment and Social Organization: A Study of Commitment Mechanisms in Utopian Communities.” American Sociological Review 33 (4): 499–517. King, Barbara J. 2007. Evolving God: A Provocative View of the Origins of Religion . New York: Doubleday. Kroeber, Karl. 1996. “Unaesthetic Imaginings: Native American Myth as Speech Genre.” Boundary 2 23 (2): 171–197. https://doi.org/10.2307/303811. Laugrand, Frédéric B., and Jarich G. Oosten. 2013. “‘We’re Back with Our Ancestors’: Inuit Bowhead Whaling in the Canadian Eastern Arctic.” Anthropos 108 (2): 431–443. Lévi-Strauss, Claude. 1964–1971. Mythologiques . 4 vols. Paris: Plon. Lipka, Michael. 2015. “A Closer Look at America’s Rapidly Growing Religious ‘Nones.’” Pew Research Center. 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Por los senderos de sus ancestros: Textos escogidos, 1940–2000 , compiled and presented by Alfonso Múnera. Bogotá: Ministerio de Cultura. Zapata Olivella, Manuel. Selected Correspondence. Jean and Alexander Heard Library, Vanderbilt University. https://mzo.library.vanderbilt.edu/correspondence/index.php. secular religion a system of beliefs held by a society that elevates social ideas, qualities, or commodities to a metaphysical, semidivine status.", "section": "Other Forms of Religious Practice", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction A fruit and vegetable vendor in Saigon, Vietnam. How many of these foods do you recognize? (credit: “Vietnam Sept 2012 3432 Market, Sa Dec, Viet Nam” by Lynda/flickr, CC BY 2.0) The study of food has a long history in anthropology and weaves together various subfields of the discipline. Among other things, food connects to nutrition and health, rituals and behaviors regarding production and consumption, and worldwide trade networks and the related diffusion of plants, animals, and artifacts. Distinguishing between what is and what is not food is a major concern within and across most human cultures. Food varies not only from one society to another but also across genders, classes, family groups, and seasons. As both a source of sustenance for the body and a means of establishing or advertising one’s social status, food plays a major role in personal and cultural identity. In globalized Western culture, people regularly eat foods that originated in other cultures—such as sushi, gyros, tacos, spaghetti, and crepes, to name just a few—but practices such as avoiding certain foods (food prohibitions) and even eating one’s family members or enemies (forms of cannibalism) are cross-cultural food traditions that are likely less familiar. Culturally appropriate preparation and consumption of food requires a vast array of knowledge, artifacts, and rituals. In , an Indigenous woman in Mexico is making tortillas, using a grinder and grindstone to transform corn into flour, which she then mixes with water to create a batter. Preparing flour in this traditional manner typically requires the cook to navigate various stages of food preparation, including choosing the best dried grains, nuts, spices, or herbs; assessing when a flour has reached the desired consistency; and physically being able to use the grindstone. The food utensils that the woman is using are not only tools but also symbols associated with the women who own and use them. Within families, these utensils may be passed down through generations. In some cultures, it is common for Indigenous women to inherit the grindstones of their mothers and grandmothers. A woman in Puerto Vallarta, Mexico, makes tortillas. In the foreground are the metate (the large, flat stone) and the mano (the smaller, oblong stone) she used to grind dried corn into flour to create the batter for this traditional food. (credit: “Grinding Corn for Tortillas” by Terri Bateman/flickr, CC BY 2.0) food a substance eaten for the purpose of nutrition and/or social status.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Food as a Material Artifact Learning Outcomes By the end of this section, you will be able to: Describe archaeological evidence of food. Identify some of the earliest stone tools associated with food preparation. Explain ways that archaeologists identify early human foods. Explain the relationship between archaeology and foodways research. Discuss the relationship between food and cultural heritage. Food Artifacts The study of early human diets is important in understanding the evolution of the human species. The size and shape of our skulls and teeth are directly linked with culture and diet. As foods became softer over time (primarily due to the use of fire and cooking) and meat became more common in the human diet, the size of human dentition decreased. Along with this reduction in the size of teeth, cooked foods, especially meats, made increased calories and nutrition available and also prompted brain growth. The most direct evidence of meat eating among early humans is butcher marks found on bone, estimated to be from as early as 3.4–2.6 million years ago (Wild 2019; Pobiner 2013). The earliest evidence of humans cooking a carbohydrate source is charred tubers recently identified by archaeologist Cynthia Larbey (Wild 2019) at Blombos Cave , in the Klasies River site in South Africa, and dated to 120,000 BP. Excavations at the archaeological site Shubayqa 1 in Jordan have uncovered the earliest evidence of charred breadcrumbs, indicating that humans were baking bread as early as 14,500 BP (Richter and Arranz-Otaegui 2018). From meat to potatoes to bread, humans and their diets have adapted to changing ways of life. In the archaeological record, food evidence takes many forms. It may be a hearth or pottery container with food or drink residue, butchered animal bones, coprolites (fossilized fecal material), tools used in food processing, baskets or pottery used for storing food, or even garbage dumps or shell middens (large collections of discarded shells.) In historical sites, there may even be preserved food remains, such as corn kernels or alcoholic beverages still enclosed in containers. Studying food helps anthropologists better understand many aspects of human existence and culture, including the rhythms and activities of daily life, food exchange and preparation, feasting, ritual activities, population density, length of settlement at a site, division of labor, seasonal activities, diet and health, cultural traditions and preferences, and even social status within a group. Food is connected with almost all human activities. Early Archaeological Sites and Food Utensils By the emergence of Homo habilis around 2.6 million years ago, early human settlements were typically littered with the debris of stone tools that were most likely used in food production. There is evidence of tools that were used for hunting, skinning, crushing, slicing, and grinding. These earliest tools were chipped and flaked from pieces of stone to create objects that had both an edge and a point. As tools evolved and became more specialized, they became increasingly focused on specific aspects of food procurement and production. Unfortunately, relatively little study has been done on tool production and its relationship to food preparation. Historically, utensils and food preparation have received little attention in scholarly research, likely because daily food preparation is part of domestic work, frequently associated with women, and often occurring as a private household activity. As archaeologists have somewhat recently turned their attention to the evolution of food production tools, they have begun to note interesting regional cultural patterns. Recent studies of grinding tools in the Near East, where cereal production first emerged, have called attention to “untapped potential in the understanding of food production” (Ebeling and Rowan 2004, 115). Archaeologist Jennie Ebeling and her colleague Yorke Rowan have studied the evolution of grinding stones in the Near East from the Upper Paleolithic period (38,000–8000 BCE) into the Iron Age (1200–1000 BCE). Using a diverse collection of evidence, including excavated artifacts and archaeological sites, tomb paintings, written sources, and even ethnographic studies, they have formed a better understanding of the role of stone grinding tools in ancient Near Eastern food production. The earliest stone grinding tools were of two basic types: an earlier form consisting of mortars , deep concave bowl-like surfaces, paired with pestles , small oblong-shaped hand grinders (see ); and a later form that featured hand stones and grinding slabs (see ). Using residue studies , the chemical analysis of small amounts of materials left intact on surfaces, Ebeling and Rowan’determined that both types of grinding tools were used for not only nuts and cereals but also meat, bark, minerals, salt, and herbs. In some cases, they have been able to determine the origins of the grinding materials, which include locally sourced stone and much-sought-after basalt , a rugged igneous rock that resists the type of degradation that would leave small flakes of debris in the meal. Ebeling and Rowan's study of grinding tools revealed a great deal about life in the Near East. By the emergence of the Neolithic Period around 10,000 BCE, some stone tools were beginning to be decorated with distinct geometric patterns and fashioned with pedestaled feet, developments in art and adornment that likely indicate emerging differences in social status between families. Dental and skeletal studies shed further light on the use of these tools. Dental decay accelerated during the Neolithic Period, suggesting increased consumption of carbohydrates such as cereal grains, which convert to sugar during the digestive process. Additionally, skeletal wear patterns (specifically compressed toes, which distort the alignment of the foot) are evident on the remains of women and young girls, most likely indicating that females were doing extensive daily work grinding cereals. Mortars and pestles were some of the earliest stone grinding tools. (credit: Bugil/Wikimedia Commons, Public Domain) Ancient Foodways and Food Reconstructions Anthropologists are interested in foodways , a term used to describe a society’s collection, production, and consumption of food. There is a particular interest in understanding how culinary traditions shape identity. It is not uncommon for archaeologists and cultural anthropologists to attempt to reconstruct food practices of the cultures they are studying, utilizing different types of clues. While written accounts, artwork, and visible food remnants help tell the story of a culture’s foodways, anthropologists also use residue studies of traces of food and drink in pottery, baskets, and gourds and stable isotope analysis of human bones and teeth, in which they measure isotopes (radioactive elements found naturally in food) to determine the diet of an individual and the environment in which they lived. These clues to ancient foodways can reveal a great deal about daily life. Archaeologist Lisa Duffy has studied ancient Maya cuisine using residue from pottery and grinding stones. Residues include many kinds of trace materials left behind on the artifacts, such as charred remains on the sides of a cooking pot or microscopic plant or animal remains on the surface of a vessel. So far, residues have been successfully recovered from seven ancient Maya sites across Guatemala and Belize, some dating from as early as 600 BCE. Some of the chemicals that have been identified indicate use of chili pepper, cacao, chocolate, and tobacco, among other herbs and spices. While chocolate compounds have been found on culinary artifacts from many different social strata, most other residues are specifically associated with certain social classes. Through studies such as this, foodways help scientists better understand the social differences and lifestyles of early cultures. The Maya used chocolate as an important ingredient in their diets and grew cacao as a domesticated crop. To make chocolate, seeds from cacao trees are fermented, dried, roasted, and ground into a paste. The grinding slab pictured here was traditionally used for the grinding stage in chocolate production. (credit: (left) “Making Chocolate Mayan Style Ixcacao Maya Belizean Chocolate Farm San Felipe Belize 2653” by bobistraveling/flickr, CC BY 2.0; (right) “History of Chocolate, 1150 BC to 1550 AD, Olmec & Maya” by Gary Lee Todd/flickr, CC BY 2.0) Foodways can also be explored by reconstituting foods in order to better understand their chemical and sensual characteristics. In one experiment, physicist Seamus Blackley and his colleagues, archaeologist Serena Love and microbiologist Richard Bowman , developed a technique to extract hibernating yeast microbes left behind on porous Egyptian ceramics. These yeast microbes were dated to 4,500 years ago. The first step in their experiment was to sequence the yeast’s genome (i.e., map each of its genetic markers), through which they determined that it was not genetically the same as modern yeast and that it was as old as they had originally thought. The researchers then fed the yeast einkorn flour, made from a kind of wheat that would have existed at the time the yeast was originally active. As Blackley reported, “The yeast woke up right away.... It was kind of remarkable” (Blackley, Love, and Bowman 2019). The resulting bread was fine grained and well risen, with a pungent odor of brown sugar. Using experimental techniques such as these, archaeologists are able to tap into smells, tastes, and textures that were part of ancient foodways and may no longer exist in our cuisine today. Food as Cultural Heritage Sometimes, anthropologists find it useful to distinguish between the terms culture —which, as discussed in Chapter 3, The Concept of Culture, can be defined as beliefs, behaviors, and artifacts that a group uses to adapt to its environment—and cultural heritage , which comprises traditions passed down for generations and used as a way of identifying a group of people. In state societies peopled by diverse cultural groups, it is common for food to be used to distinguish one group from another. “Those people” eat “those things,” and “my people” eat “these things.” Later in this chapter, we will examine how national identities are shaped by food, but ethnic groups also define themselves by differences in food choices and food preparation. Within American culture, there are a number of familiar connections between certain groups and certain foods: the Pacific Northwest Coast Indigenous peoples and salmon; Jewish residents of New York City and bagels; people of German ancestry in Milwaukee, Wisconsin, and brats; residents of San Francisco’s Chinatown and steamed pork buns—to name just a few. While archaeologists are at work using various techniques to better understand the foodways of ancient cultures, some contemporary peoples are focused on reviving their own culinary heritages. Reviving and restoring seeds, recipes, and even early cooking techniques are part of learning more about earlier populations, diverse foodways, and traditional and perhaps once-lost flavors. For some people, this rediscovery is also a way of asserting or reclaiming their cultural identity. Cherokee Ramps Early studies of the foodways of the Eastern Band of Cherokee mention the prevalence of ramps , wild leeks that are similar to wild onions and grow in the Appalachian region of the United States. Ramps ( Allium tricoccum ) are eaten from the time they begin to sprout in March almost until they bloom in April or May. The bulb is eaten raw or is chopped up and fried with eggs. Some parboil the entire plant, and in recent years, ramps have been canned or deep-frozen by some Cherokee families. (White 1975, 324–325) Used as a supplementary food by the Cherokee for generations and eventually adopted by European settlers in the Appalachians, ramps today continue to serve as a link to cultural identity. In his ethnographic research on the Eastern Band of the Cherokee Nation, anthropologist Max White (1975) explained that the Cherokee view plants as having agency , the ability to make choices about where to grow and whether to intervene to help people. The Cherokee cultivate relationships of respect with the native flora around them as part of an enduring relationship with their environment. Ramps, wild leeks that are similar to wild onions, have long been an important part of Cherokee foodways. They are now increasingly in demand for urban cuisine as well. (credit: “Patch of Ramps” by Wendell Smith/flickr, CC BY 2.0) Ramps, long valued as one of the first edible green plants to ripen in the spring, are prized by many people for their flavor and reported medicinal value for treating common colds, earaches, and circulatory disease (Rivers, Oliver, and Resler 2014, 7). Cherokee citizen and anthropologist Courtney Lewis (2012) has studied the recent legal and ethical issues surrounding the collection of ramps in the Qualla Boundary, U.S.-designated Cherokee land in North Carolina. Because the Great Smoky Mountains National Park (GSMNP) borders the western part of the Qualla Boundary, there had been a long-standing informal agreement allowing Cherokee citizens to collect traditional foods within the park as long as their collection did not endanger any species. Up until 2009, the relationship between the National Park Service (NPS) and the Eastern Band of Cherokee had been primarily amicable. However, in 2007, the NPS had decided to prohibit all harvesting of ramps within the GSMNP, based on an earlier study by an NPS botanist that warned that unregulated foraging could endanger some plant species. They began issuing citations in 2009, and on March 22 of that year, the NPS arrested a Cherokee family that was harvesting ramps, supposedly within park boundaries. During the trial, there were many inconsistencies in the testimony and misunderstandings between the various parties, with the court often privileging Western scientific knowledge over Indigenous knowledge (Lewis 2012, 110). Cherokee scholars and elders pointed out that ramp production is cyclical, consisting of high production years followed by recovery cycles; that Indigenous harvesting techniques, which take just the stems and leaves instead of the roots, are different from those of non-Indigenous harvesters and allow for sustainable growth; and that many of the less productive ramp areas were not within traditional Cherokee foraging zones. Many of the zones in which ramps were deemed most threatened were outside of the traditional foraging areas and were most likely being harvested by non-Indigenous people meeting the demand for ramps in nearby upscale restaurants. In addition, given the increasing levels of air pollution and ongoing climate change, many wild plants in the Great Smoky Mountains are facing threats from sources other than local foraging. Although the trial ended with the Cherokee family charged for trespassing on federal lands, the legalities of ramp collection continue to be debated today. While the controversies surrounding ramp collection have not completely subsided, there is increasing recognition of the importance of Indigenous foodways and cultural identity. Today, around 50 percent of U.S. national parks, including the Great Smoky Mountains National Park, allow some form of foraging within their boundaries (Linnekin 2019), regulated by all sorts of rules, guidelines, and informal agreements with local and Indigenous populations. The Eastern Band of the Cherokee Nation monitors ramps as part of its natural resource management in the Qualla Boundary and continues to negotiate for foraging rights on ancestral lands that the Cherokee deem to have belonged to them for thousands of years, now cut off by the national park. For many Cherokee families, foraging sites and trails are family secrets that have been passed down for many generations. In 2019, the GSMNP entered into a new agreement with the Eastern Band of Cherokee to allow its citizens to gather sochan , a kale-like plant located within park boundaries (Chávez 2019). Today, Cherokee still gather ramps within park boundaries in designated areas, but those gathering for non-subsistence needs are required to have a gathering permit issued by the GSMNP. There are many examples of foods and dishes that are considered important to preserving ancestral identities. In 2006, UNESCO , the educational and cultural group of the United Nations, convened a working group to establish lists of intangible cultural heritage and a register of good safeguarding practices as a way to recognize and preserve the cultural traditions of humanity. Several special foods and cooking traditions are included on the lists as examples of endangered cultural heritage, such as flattened sourdough bread from Malta, oshi palav (a pilaf made with vegetables, rice, and meat) from Tajikistan, and the cultivation of the date palm in Bahrain, Jordan, Kuwait, and other areas of the Middle East. It is not uncommon for a family to have special recipes and meals that they serve on holiday occasions as a way of remembering their past and of passing on traditions to new generations. Does your family follow any food traditions as a way of remembering your ancestors? Take a moment to consider the different roles that food plays in your own family. basalt an igneous rock frequently used for early grinding tools in the Near East. cultural heritage traditions passed down through generations that serve as primary characteristics of how a group defines and identifies itself to other cultural groups. foodways the collection, production, and consumption of food; how culinary traditions shape cultural identity. residue studies chemical analyses of small amounts of material left intact on surfaces in order to identify the substance. shell midden a large collection of discarded shells, either food remains or waste piles from other activities.", "section": "Food as a Material Artifact", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "A Biocultural Approach to Food Learning Outcomes By the end of this section, you will be able to: Identify a biocultural approach. Describe Three Sisters cropping as an Indigenous adaptation. Identify the various types of evidence that anthropologists use to reconstruct ancient foodways. Describe how contemporary dietary approaches connect with ancient foodways. Food and the Biocultural Approach Many anthropologists take a biocultural approach to their study of food, looking at how food plays both a cultural and a biological role in human lives. Food provides physical nourishment of our bodies and also a means of understanding who we are. How people procure and prepare foods and which foods are deemed appropriate for which occasions are important parts of cultural identity. Food is thus an area that weaves together the biological and cognitive aspects of our lives—an observation captured by the familiar phrase “you are what you eat.” Although the biocultural approach continues to focus on food and identity, it also includes an emphasis on the nutritional science of food. The biocultural approach can be applied to the study of food in many ways, from research into subsistence practices and traditional ways of raising crops to analysis of how groups assign meaning to the food of other cultures. As popular cultural artifacts, food-related knowledge and practices are shared from culture to culture as groups seek additional health benefits and food variety. Subsistence and Biocultural Adaptation Cereals (including corn, wheat, barley, and rice) and legumes (various types of beans) are the most common crops grown by subsistence farmers because they are versatile and economical and have a wide range of health benefits. In addition to carbohydrates, protein, vitamins, minerals, and fiber, they provide a substantial number of calories. In other words, cereals are a good investment of labor and have long-term health benefits. Indigenous peoples around the world have long been aware of the potential in these foods. By the time Europeans arrived in the Americas, Indigenous peoples of North and Central America had been selectively breeding domesticated plants for thousands of years. Over many generations, the Indigenous peoples of the Americas had developed a detailed understanding of the health benefits and the risks associated with certain plants and the ways in which plants could be grown together to sustain higher yields. The “Three Sisters” is one traditional cropping system that grows specific plants near one another—usually some combination of corn, beans, and squash—so that each aids and supports the others’ growth. This approach of placing plants of different types together in such a way as to benefit the growth of each is known as intercropping . While variations on the Three Sisters are found throughout Indigenous groups in North and Central America, the Haudenosaunee’s use of the practice has been particularly well studied. The Haudenosaunee people (also known as the Iroquois or Six Nations) of what is now the northern part of New York State practiced Three Sisters cultivation with maize, beans, and pumpkins, which are a form of squash. Seeds from each of these crops were planted together in small mounds in an unplowed field. Each mound contained several maize seeds in the middle, with bean and pumpkin seeds placed around the perimeter. (Note the difference from the row-based agriculture practiced on conventional American farms today.) Each of the plants in the mound offers a benefit to the others. The vigorous pumpkin vines, with their large leaves, quickly form a canopy that shades out weeds, preserves moisture in the soil, and prevents erosion. The bean plants, with the help of bacteria, are able to fix nitrogen in the soil, making it available as a fertilizer to the plants growing around them. And the fast-growing maize plants, which require lots of nitrogen for healthy growth, provide trellises for the climbing beans (Gish Hill 2020). In a 1910 study of Haudenosaunee culture, Arthur Parker , archaeologist and Iroquois historian, noted that these crops were planted together in part because the Haudenosaunee people believed they were “guarded by three inseparable spirits and would not thrive apart” (quoted in Mt. Pleasant 2016, 88). In the Haudenosaunee belief system, these three crops were believed to have been given to the people as gifts from the deities. The physical and spiritual sustenance provided by each food reminded the people of their cultural heritage each time they were consumed (Carnegie Museum of Natural History 2018). Although these foods were foundational to their diets, the Haudenosaunee added to the diversity of their cuisine through seasonal foraging of wild plants and animals. Jane Mt. Pleasant (2016), a horticulturist and specialist in Indigenous cropping systems, has studied the caloric yield (the total calories provided by the harvest) of crops planted using the Three Sisters technique. She has found that when planted together, the three crops yield as much as two to four times the amount of total calories and protein than they would if the plants were cultivated alone. Corn plants in particular show a significant increase in protein when combined with the other sisters (92). A Three Sisters garden usually includes corn, beans, and squash planted together in a small mound. The plants nourish and protect each other as they grow. Here, gardeners display a bountiful harvest from their Three Sisters garden. (credit: “IMG_4326” by Sterling College/flickr, CC BY 2.0) Today, sustainable farming techniques are increasingly valued by people concerned about the ecological costs of conventional farming. Sustainable farming techniques, many of them grounded in traditional practices, offer ways to produce higher food yields, reduce fertilizer costs, build healthier soils, and avoid genetically modified plants , which have had their DNA deliberately altered in a laboratory setting. Iowa State University currently sponsors a Three Sisters gardening project , which works collaboratively with Native American communities to raise awareness of the techniques, nutritional benefits, and cultural values of traditional intercropping methods. The project makes a point of working with heirloom seed varieties, which are seeds that are not genetically modified, are open pollinated (meaning that the seeds can be saved for generations and will continue to breed true), and have been in existence for at least 50 years. One of their goals is to return the seeds to their home communities (Gish Hill 2020). There are many benefits to using heirloom seeds, including better flavors, better adaptation to local environmental conditions, the ability to save seeds to be grown in subsequent years, and increased genetic diversity, which contributes to long-term sustainability. Increasingly, there is increased interest in new foods and cuisine worldwide. Many of these re discovered foods originate in the histories of Indigenous cultures. Using oral tradition, historical documents, and even genetic analyses, both Western and non-Western peoples are increasingly seeking to revive culinary heritage: Many Indigenous people are now on a path of rediscovery, preservation, and reinvention of these staple foods. The Three Sisters are experiencing a culinary resurgence after decades of lost knowledge due to forced relocation, cultural oppression, and genocide. Numerous tribes have found renewed health and spiritual bonds through efforts to sustain, cultivate, and cook with the Three Sisters. (Murphy 2018) Food, Fads, Diets, and Health In the fifth century BCE, the Greek historian Herodotus wrote about the Macrobians, a cultural group living in what is now southern Ethiopia who were supposed to have found a mythical “fountain of youth” in which people could bathe and become young again. Herodotus had heard that the Macrobians lived to be 120 years old and consumed only boiled fish and milk. Trying to explain the myths he had heard, he surmised that diet and special waters must have been the cause of their longevity. While this was not likely the first time that someone claimed a secret elixir or remedy for physical aging and illness, it is one of the earliest recorded dietary myths. Many more would follow. In 1558, Venetian patron of the arts Alvise Cornaro authored a best seller titled Discorsi della vita sobria , variously translated into English as Sure and Certain Methods of Attaining a Long and Healthful Life and Discourses on a Sober and Temperate Life , among other titles. In this text, he makes the following claims about human health: This sobriety is reduced to two things, quality, and quantity. The first, namely quality, consists in nothing, but not eating food, or drinking wines, prejudicial to the stomach. The second, which is quantity, consists in not eating or drinking more than the stomach can easily digest; which quantity and quality every man should be a perfect judge of by the time he is forty, or fifty, or sixty; and, whoever observes these two rules, may be said to live a regular and sober life. This is of so much virtue and efficacy, that the humours of such a man’s body become most homogeneous, harmonious, and perfect; and, when thus improved, are no longer liable to be corrupted or disturbed by any other disorders whatsoever. (Cornaro 1779, under “A Compendium of a Sober Life”) History offers a long line of pseudoscientists, tonic peddlers, tinkerers, and even some thoughtful people hawking medicinal potions and diets reputed to solve every imaginable health problem. Many contained ingredients that are now widely recognized as harmful. In the late 19th century, a concerned consumer could try Mrs. Winslow’s Soothing Syrup for teething children, which contained morphine and alcohol; Cocaine Toothache Drops; or a cocaine-infused wine called Vin Mariani, which was used in Europe for depression, malaria, and loss of appetite (Mitchell 2019). New religious or philosophical movements were often associated with new diets intended to improve both physical and moral health. In the United States, the Graham diet enjoyed a period of popularity in the 19th century. The diet revolved around the consumption of graham , a flour made of the whole-wheat berry, including the bran covering. It was developed in the 1830s by Sylvester Graham, an evangelical minister touted by Ralph Waldo Emerson as the “prophet of bran bread” (Lobel 2012). Advertised as a remedy for sexual desire and gluttony, Graham’s diet included various elements that constitute sound dietary advice even today: eat only two meals a day, and eat in moderation; use no spices, meat, alcohol, or tobacco; and consume lots of fruits, vegetables, and whole grains, including lots of graham . This diet became wildly popular in the mid-1800s, with religious groups such as the Shakers , the Christian Scientists , and the Seventh Day Adventists supporting aspects of this diet. Today, Sylvester Graham’s contribution to the American diet is still evident in the graham cracker. When the World Health Organization (WHO) was established in 1948, it fundamentally changed the way people think about health and diet. Compiling comparative data on health and lifestyle from around the world, the WHO engendered a greater awareness of health disparities between populations and a rising interest in the link between health and lifestyle. Noting that both chronic disease rates and average life spans varied greatly among cultural and national groups, people began to make connections between diet and health. Perhaps there was something to be learned from societies in which people enjoyed longer lives and had lower rates of chronic illnesses such as heart disease and diabetes. And so began a proliferation of healthy diets. Two of the most noteworthy today are the Mediterranean diet and the paleo diet . The Mediterranean diet relies on fruits, vegetables, and olive oil, with very limited amounts of meat or saturated fats. This “Mediterranean Salad” is light and nutritious. (credit: “Mediterranean Salad / Ensalada Valenciana” by Lablascovegmenu/Wikimedia Commons, CC BY 2.0) The Mediterranean diet is based on long-held dietary traditions in countries bordering the Mediterranean Sea. It was first presented formally as a healthier way of eating by U.S. physiologist and nutritionist Ancel Keys at a WHO meeting in Geneva, Switzerland, in 1955. Keys described the particular culinary practices found in the Mediterranean region and noted their related health benefits. These practices include high consumption of fruits, vegetables, and olive oil and low consumption of meats and saturated fats. Today, the Mediterranean diet is still recommended for improving cardiovascular health and blood cholesterol levels. In a recent study of 26,000 women (Ahmad et al. 2018), data showed that the risk of developing cardiovascular disease was 25 percent lower over 12 years among those following the Mediterranean diet (The Nutrition Source 2018). Near Eastern archaeologist Oded Borowski (2004) has researched the origins and history of the Mediterranean diet. Textual sources, especially biblical texts, and an array of archaeological artifacts from across the region describe traditional foodways in the Middle East very similar to those still prevalent today—a diet consisting primarily of cereal grains, herbs, fruit, bread, oil, and fish, with occasional meat. Archaeological artifacts also point to a great deal of dietary continuity in this part of the world. Food processing and subsistence tools such as grinding stones, churns, nets, fishhooks, and sinkers; storage jars with food residues of substances such as grain, yeast, and wine; middens with preserved food remains in ancient garbage; and animal fossils of a variety of freshwater and saltwater fish all indicate the long historical trajectory of and cultural preference for these foods. This culinary tradition continues today throughout the Mediterranean area, including the Middle East, North Africa, and southern Europe (notably Italy and Greece). The paleo diet is based on contemporary ideas of how our hunting and gathering ancestors might have eaten. It includes lean meats, fruits, vegetables, and nuts. Here, the meat kabobs are lying on a bed of vegetables. (credit: “IMG_0308.JPG” by Michael Arrington/flickr, CC BY 2.0) Another very popular diet today, based partially on cultural and nutritional studies, is the paleo diet, sometimes called the Paleolithic diet, the caveman diet, or the Stone Age diet. This diet was first developed in the 1970s by gastroenterologist Walter Voegtlin , who argued that our bodies (and our digestive systems) have been evolutionarily designed for a hunting-and-gathering way of life. The paleo diet is made up of foods that are traditionally associated with this hunting-and-gathering lifestyle—fruits, vegetables, lean meats, fish, nuts, and seeds. The Mayo Clinic, one of the best-known US medical research centers, describes the paleo diet in this way: The aim of a paleo diet is to return to a way of eating that’s more like what early humans ate. The diet’s reasoning is that the human body is genetically mismatched to the modern diet that emerged with farming practices—an idea known as the discordance hypothesis. (Mayo Clinic Staff 2020, under “Purpose”) Biological anthropologists have done significant research on the foodways of Paleolithic-era people across different geographical areas. A great deal can be determined about what these early people likely ate using various means. Among these means are zooarchaeology (the study of the fossilized remains of animals), human anatomy and physiological studies, ethnographic studies of contemporary hunters and gatherers, and analysis of artifacts, coprolites (fossilized feces), and human skeletal and dental remains. Although there seems to have been a great deal of difference in the specific types of vegetables, fruits, meats, and fish that were eaten in various cultures, in general, Paleolithic diets and lifestyles were marked by low levels of fat consumption; high levels of food diversity, including some raw foods; and high levels of physical activity. Not all the paleo diets in circulation today follow these same guidelines. While anthropological research indicates that the actual Paleolithic diet likely consisted of 65 percent plant-based foods and 35 percent animal-based foods, many contemporary paleo recipes and prescriptions do not follow this formula strictly (Chang and Nowell 2016). In their research on the paleo diet, biological anthropologist Melanie Chang and Paleolithic archaeologist April Nowell encourage anthropologists to become more involved in current conversations about Paleolithic lifestyles and what they might suggest about a healthy human diet. There is, perhaps, still more we can learn about the real paleo diet. Regardless of our contemporary diet practices, we can learn a lot from our ancestors. Their foodways, lifestyles, and traditional knowledge offer windows into both the evolution of our bodies and ways of eating that promote health and longevity. The information offered by anthropology’s study of different cultures and historical periods can supplement our own knowledge base as we seek ways to improve our lives today. George Armelagos 1936-2014 Personal History: Born in Detroit, Michigan, George Armelagos earned his BA in anthropology from the University of Michigan and his MA and PhD from the University of Colorado Boulder. During his career, he taught at the University of Utah, the University of Massachusetts, the University of Florida, and finally at Emory University, where he was a distinguished professor of anthropology. Area of Anthropology: Armelagos took a biocultural approach to understanding ancient human diseases, examining skeletal remains to reconstruct how human behavior intersected with disease and nutrition in early populations. His areas of focus were wide ranging and included nutritional anthropology, disease in human evolution, race and racism, skeletal biology, and medical anthropology. He was a pioneer of paleopathology, the study of ancient human disease. His research also extended into contemporary foodways and nutrition. His book Consuming Passions: The Anthropology of Eating (1980), which he coauthored with Peter Farb, was one of the first anthropology texts devoted wholly to the study of food. Armelagos also had an abiding interest in cooking and was a master chef who loved entertaining his friends. Accomplishments in the Field and Importance of His Work: Armelagos’s contributions to anthropology bridge the subfields of biological, archaeological, and cultural anthropology. He was also an accomplished professor who taught and mentored students throughout his career and even after retirement. He received numerous awards for research and service, including the Viking Fund Medal for distinguished research in physical anthropology, awarded by the Wenner-Gren Foundation for Anthropological Research in 2005. In 2008, he was awarded the Franz Boas Award for Exemplary Service to Anthropology by the American Anthropological Association. This annual award recognizes extraordinary achievements that have served the anthropological profession and the community beyond by applying anthropological knowledge to improve lives. In 2009, Armelagos was awarded the Charles R. Darwin Lifetime Achievement Award in the subfield of biological anthropology. His research and mentorship advanced the biological and cultural study of our species. biocultural approach a perspective that looks at both the cultural and biological roles that food plays in human lives. genetically modified plants plants whose DNA has been altered through human intervention. heirloom seeds seeds that are not genetically modified, are open pollinated, and have been in existence for at least 50 years. intercropping planting different seeds mixed together instead of in separate rows.", "section": "A Biocultural Approach to Food", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Food and Cultural Identity Learning Outcomes By the end of this section, you will be able to: Describe the relationship between food and cultural identity. Contrast food prescriptions with food proscriptions. Illustrate the connection between food and gender. Food and Cultural Identity Food travels across cultures perhaps more often and with more ease than any other tradition. Sometimes food carries with it related culinary practices (such as the use of chopsticks), and sometimes foods mix with existing culinary traditions to form new syncretic cuisines (such as Tex-Mex food, which evolved from a combination of Mexican and US Southwest food traditions). Like culture itself, foods are shared within and move between communities, adapting to changing circumstances and settings. Although it is adaptable, food is also tightly linked to people’s cultural identities , or the ways they define and distinguish themselves from other groups of people. As part of these cultural identities, the term cuisine is used to refer to specific cultural traditions of cooking, preparing, and consuming food. While urban areas tend to shift and adapt cuisine more frequently than rural areas, those aspects of cuisine most tightly linked to identity tend to change slowly in all settings. Japanese short-grain rice plays an important role in Japanese identity. Here, short-grain rice is served with a beef curry. (credit: Ocdp/Wikimedia Commons, Public Domain) In her research on Japanese food and identity, cultural anthropologist, and Japanese scholar Emiko Ohnuki-Tierney (1993, 1995) explores the sociocultural construction of rice as a dominant metaphor for the Japanese people. Using evidence from official decrees, taxation documents, myths, rituals, woodblock prints, and poetry, Ohnuki-Tierney traces the long history of rice cultivation in Japan. Introduced from China, rice agriculture began during the Yamato period (250–710 CE). While the Chinese preferred long-grain rice, the Japanese cultivated short-grain rice, which they considered the only pure form of rice. During this period, a series of myths connecting short-grain rice to Japanese deities emerged in folktales and historical documents—evidence of Japanese efforts to distinguish themselves from the Chinese, who also relied on rice as an important source of calories. Over the years, rice developed into a staple crop that Japanese landowners used as a form of tax payment, indicating strong connections between Japanese land, Japanese short-grain rice, and the Japanese landowning elite. By the early modern period (1603–1868), as Japan became increasingly urban and eventually industrialized, agricultural life declined. People moved off the land and into cities, and rice began to take on new meanings. Symptomatic of a cultural identity strongly rooted in national history, rice became an increasingly sacred symbol of Japanese identity—a cultural memory with a long history that consistently tied being Japanese to eating domestic Japanese rice. As Japan opened to interactions with Western nations, the Japanese continued to use rice as a metaphor for national identity: while the Japanese referred to themselves as “rice-eaters,” they referred to Western peoples as “meat-eaters.” For years, Japan has had a ban on importing any foreign-grown rice, even California export rice, which is primarily the Japanese short-grain variety and available at a significantly lower price. In 1993, Japan suffered a growing season that was colder and wetter than normal and had a low-producing rice harvest. US rice exporters were able to negotiate a trade deal allowing some limited rice exports to Japan. Yet most of this rice remained in warehouses, untouched. Japanese people complained that it was full of impurities and did not taste good. Today, on average, Japanese people consume only about 160 grams of rice daily, half of what they consumed 40 years ago (Coleman 2017). Yet their cultural and symbolic connection with domestic Japanese rice remains strong. Japanese short-grain rice is still referred to as shushoku , “the main dish” (Ohnuki-Tierney 1993, 16)—the symbolic centerpiece, even though it is now more frequently a small side dish in a more diverse cuisine. Ohnuki-Tierney notes that rice plays a particularly important role in the Japanese sense of community: Not only during ritual occasions, but also in the day-to-day lives of the Japanese, rice and rice products play a crucial role in commensal activities. Cooked white rice is offered daily to the family ancestral alcove. Also, rice is the only food shared at meals, served by the female head of the household, while other dishes are placed in individual containers. Rice stands for “we,” i.e., whatever social group one belongs to, as in a common expression, “to eat from the same rice-cooking pan,” which connotes a strong sense of fellowship arising from sharing meals. (1995, 229) Although the meaning of rice has shifted during different historical periods—from a comparison between short-grain Japanese and long-grain Chinese rice to a way to distinguish rice-eating Japanese from meat-eating Westerners, then to a measure of the quality of what is grown in Japanese versus less desirable imported rice—the Japanese continue to hold a cultural identity closely connected with rice. Being Japanese means eating Japanese rice still today. The relationship between food and cultural identity is readily apparent in Western societies. Most grocery stores have aisles containing goods labeled as “international foods” or “ethnic foods,” and large urban areas often include neighborhoods featuring a conglomeration of restaurants serving diverse cuisines. In Washington, DC, the neighborhood of Adams Morgan is famous for its ethnic restaurants. Walking down the street, one might smell the mouthwatering aroma of injera , a sour, fermented flatbread from Ethiopia, or bún bò hu? , spicy lemongrass beef soup from Vietnam. Think about your own town and nearby urban areas. Where do you go to try new foods and dishes from other cultures? Food Prescriptions and Proscriptions As with all cultural institutions, there are various rules and customs surrounding food and eating. Many of these can be classified as either food prescriptions , foods that one should eat and are considered culturally appropriate, or food proscriptions , foods that are prohibited and not considered proper. These food regulations are social norms that connect production and consumption with the maintenance of cultural identity through food. In the previous section, you read about the importance of Japanese short-grain rice as a symbol of Japanese identity. For many Japanese people, short-grain rice is a food prescription, something that they feel they should eat. Food prescriptions are common across cultures and nation-states, especially in regard to special holidays. There are many examples: turkey on Thanksgiving in the United States, corned beef on St. Patrick’s Day in Ireland, special breads, and candy figurines on Día de los Muertos in Mexico, saffron bread and ginger biscuits on St. Lucia Day in Sweden, or mutton curry and rice on Eid al-Fitr in Muslim countries. Food prescriptions are also common in the celebration of commemorative events, such as the cakes eaten at birthday parties and weddings, or the enchiladas and tamales prepared for a quinceañera celebrating a young Latin American woman’s 15th birthday. Most of these occasions involve feasts , which are elaborate meals shared among a large group of people and featuring symbolically meaningful foods. One interesting example is the food eaten to mark the Dragon Boat Festival (Dragon Boat Festival, also called Duanwu), held in China on the fifth day of the fifth month of the Chinese lunar year. There are various origin stories for the Dragon Boat Festival. In one of them, the festival commemorates a beloved Chinese poet and government minister named Qu Yuan (ca. 340–206 BCE), who fell out of imperial favor and died by suicide, drowning himself. According to the story, people threw sticky rice dumplings into the river where he had drowned himself in order to distract the fish so that they could retrieve his body and give him a proper burial. The most important Dragon Boat food is zongzi , a sticky rice dumpling with different fillings, but the feast also traditionally includes eel, sticky rice cakes, boiled eggs, jiandui (a wheat ball covered in sesame seeds), pancakes with fillings, and wine. Zongzi , a sticky rice dumpling, wrapped in bamboo leaves, prepared for the Dragon Boat Festival. Festival foods are typically associated with specific ritual events. (credit: “Dragon Boat Festival Zongzi” by Evan Wood/flickr, CC BY 2.0) Food proscriptions, also called food taboos , are also common across cultures and contribute to establishing and maintaining a group’s identity. Often, these rules and regulations about what not to eat originate in religious beliefs. Two examples are the vegetarianism practiced by many Hindus, which is grounded in the spiritual principle of ahimsa (nonviolence in relation to all living things), and kashrut , a Jewish principle that forbids mixing meat and dairy foods or eating pork or shellfish. Sometimes food proscriptions are active for limited periods of time. For many Christians, especially Catholics, the 40 days of Lent, a period of religious reflection commemorating the 40 days Jesus spent fasting in the desert, are a time when people give up certain foods or drinks to make a symbolic sacrifice. For many Catholics, this means fasting (withholding a measure of food) throughout the period and/or totally abstaining from meat on the special days of Ash Wednesday and Good Friday: For members of the Latin Catholic Church, the norms on fasting are obligatory from age 18 until age 59. When fasting, a person is permitted to eat one full meal, as well as two smaller meals that together are not equal to a full meal. The norms concerning abstinence from meat are binding upon members of the Latin Catholic Church from age 14 onwards. (United States Conference of Catholic Bishops n.d.) Muslims observe Ramadan , a month-long commemoration of the prophet Muhammad receiving the revelations of the Quran, by fasting every day from sunup to sundown. The Islamic fast entails a prohibition on food and drink, including water. Every evening after sundown, Muslims eat a large meal that include fruits, vegetables, and dates to rehydrate for the next day’s fast. Some food prohibitions are customary and tied more to ancient cultural traditions than religion. Many food prohibitions pertain to meat. Among several East African groups, there is a prohibition against eating fish of any kind. This is called the Cushitic fish taboo because the prohibitions are found among many, but not all, cultural groups whose languages are part of the Cushite family, such as the Somali, Masaai, and Bantu peoples. Horsemeat was historically consumed infrequently in the United States until it was outlawed in 2005, primarily because of toxins in the meat related to the butchering process. Even before then, horsemeat in mainstream US society was a food prohibition. However, it is consumed throughout Europe, where there are butchers solely devoted to handling horsemeat. A horse butcher shop in Italy. In many European countries, horsemeat is processed separately from other meats and sold at specialized butcher shops. (credit: Schellack at English Wikipedia/Wikimedia Commons, CC BY 3.0) An interesting case of food rules and regulations across cultures is cannibalism , the act of eating an individual of one’s own species. Although we do not usually think of human flesh as a menu item, in some cultures it is considered a kind of food, typically eaten as symbolic nutrition and identity. U.S. cultural and medical anthropologist Beth Conklin (1995) and Brazilian cultural anthropologist Aparecida Vilaça (2002) conducted research among the Wari’ of western Amazonia in Brazil and found that prior to evangelization by Christian missionaries in the 1960s, the Wari’ practiced two different types of cannibalism: endocannibalism , or eating members of one’s own cultural group, and exocannibalism , or eating those who are “foreign” or outside of one’s cultural group. Each form of cannibalism was associated with its own beliefs, practices, and symbolism. The Wari’ belief system is based on the principle that only the Wari’ are real people. All non-Wari’ others, people and animals alike, are not humans and thus can be considered meat (Vilaça 2002, 358). When speaking of the practice recognized by anthropologists as exocannibalism, the Wari’ did not consider themselves to be practicing cannibalism at all; they saw non-Wari’ people as not fully human and classified them as a type of prey. Endocannibalism was understood differently. Endocannibalism among the Wari’ was practiced as part of the mourning process and understood as a way of honoring a Wari’ person who had died. Following a death, the immediate family of the deceased arranged for non-kin and relatives by marriage to dress and prepare the body by dismembering, roasting, and eating virtually all of it. Consuming the flesh of the deceased was considered the ultimate act of respect, as the remains were not buried in the ground but in the living bodies of other Wari’. Once eaten by non-family Wari’, the deceased could transform from humans into spirits and eventually return as prey animals to provide food for the living. For Conklin, this practice indicates mutualism , or the relationship between people and animals through the medium of food and eating: For Wari’, ... the magic of existence lies in the commonality of human and animal identities, in the movements between the human and nonhuman worlds embodied in the recognition through cannibalism of human participation in both poles of the dynamic of eating and being eaten. (Conklin 1995, 95) Cannibalism has been associated with many cultures, sometimes accompanying warfare or imperial expansion, as in the case of the Aztecs (Isaac 2002), and sometimes as a means of showing respect for and establishing kinship with the deceased (see Lindenbaum 1979 for an example in Papua New Guinea). Although there have been scholarly arguments around the nature and frequency of cannibalism (Arens 1979), there is increasing evidence that this was a practiced norm in many human societies. Some religions also incorporate symbolic cannibalism as a way of identifying with the deity. Food can be deeply symbolic and plays an important role in every culture. Whether foods are prescribed or prohibited, each culture constructs meanings around what they define as food and the emotional attachments they have to what they eat. Consider your own plate when you next sit down to eat. What meanings are attached to the different foods that you choose? What memories do different foods evoke? Food and Gender While food itself is a material substance, humans classify and categorize foods differently based on cultural differences and family traditions. In many cultures, food is gendered, meaning some foods or dishes are associated with one gender more than with the other. Think about your own culture. If you were cooking a meal for only women or only men, would that influence the foods you chose to prepare? Although gender-specific food choices are stereotypes of male and female dietary preferences and every person has their own individual preferences, many social institutions and entertainment venues cater to gendered diets. When the television show Man v. Food , a show devoted to “big food” and eating challenges, premiered on the Travel Channel in 2008, it had some of the highest ratings of any show on that channel. Many of the foods showcased are those stereotypically associated with men (burgers, potatoes, ribs, fried chicken), and the host participates in local food-eating competitions, highlighting regional cuisines around the United States. In this show, food functions as a sporting activity under extreme conditions. Food delivery business GrubHub did a study of male and female ordering preferences in 2013–2014 at some 30,000 different restaurants in more than 700 US cities to “better understand takeout and delivery” (GrubHub 2018). In their results, they noted some significant differences between men’s and women’s ordering habits. Pizza was the most popular item for both men and women, but among other selections, women tended to order more healthy options, such as salads, sushi, and vegetable dishes, and men ordered more meat and chicken, with the most popular choices being General Tso’s chicken, chicken parmesan, and bacon. Food historian Paul Freedman traced the emergence of gendered foods and gendered food stereotypes in the United States back to the 1870s, when “shifting social norms—like the entry of women into the workplace—gave women more opportunities to dine without men” (2019b). Freedman notes that there was a rapid development of restaurants meant to appeal to women. Many of these featured lighter fare, such as sandwiches and salads, and some were referred to as “ice cream saloons,” playing on a distinction between them and the more traditional type of saloon primarily associated with men (Freedman 2015). There was also growth in the recipe industry to provide women with home cooking options that allowed for quicker meal preparation. Gendering foods, a practice often associated with specific life stages and rituals, is found across cultures and across time. In his study of marriage customs in the chiefdom of Batié in Cameroon, social anthropologist Emile Tsékénis notes that the marriage is formalized by an exchange of gendered foods between the couple’s polygamous families: The groom offers raw “male” products (palm oil, plantain, and raffia wine) to the co-wives of the girl’s mother, while the co-wives hand over the palm oil to the girl’s father, and the girl’s side offers “female” products (yams, potatoes, and/or taro) to the husband’s side. (2017, 134) This exchange of gendered foods between families mirrors the marriage ceremony and symbolically binds the couple’s families together. Gendered foods are also common during puberty rituals in many cultures, especially for young women, as female puberty is marked by the beginning of menstruation, an obvious and observable bodily change. In the Kinaaldá , the Navajo puberty ceremony for young girls that takes place shortly after the first menstruation, the girl and female members of her family together cook a corn cake in a special underground oven. The corn cake, called an alkaan , is understood as a re-creation of the first corn cake baked by the Navajo deity Changing Woman. After baking this first corn cake, Changing Woman offered a piece of it to the sun in gratitude for food and life. By reenacting this ritual, the young girl marks her own journey toward the creation of life, as she is now capable of becoming a mother. Ashes smolder in a firepit in preparation for baking the corn cake that is used to celebrate a Navajo girl’s Kinaaldá (puberty) ceremony. (credit: “Campfire 1” by Jaroslav A. Polák/flickr, Public Domain) As we saw in Chapter 12, Gender & Sexuality, cultures may also celebrate foods that enhance sexuality. In some regions of Vietnam, there are restaurants that serve dog to male customers only, as dog meat is believed to enhance masculinity (Avieli 2011). Food contains and conveys many cultural beliefs. This can be compared to the joys attributed to chocolate in the United States, especially during the celebration of Valentine’s Day. Do you have similar beliefs about food and sexuality? cannibalism the act of eating an individual of one’s own species. cuisine the cultural traditions of cooking and preparing food. cultural identity the ways in which people define and distinguish themselves culturally from other groups. feasts elaborate meals of symbolically meaningful foods shared among large groups of people. food prescriptions foods that one should eat and are considered culturally appropriate. food proscriptions foods that are prohibited and are not considered proper as food; also called food taboos.", "section": "Food and Cultural Identity", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "The Globalization of Food Learning Outcomes By the end of this section, you will be able to: Describe the impacts of globalization on food and food diversity. Define food deserts and food oases. Globalization of Food Most people, when they think about food, consider it a local, individual choice based on personal preferences and economic possibilities. But food is a global commodity marketed by transnational corporations, health institutes, advertising campaigns, and subtle and not-so-subtle cultural messaging through global media such as movies, television, and online video. Most often, what people choose to eat is based on underlying structures that determine availability and cost. While there are now hothouse businesses growing year-round fruits and vegetables, affordability often prohibits everyone from having access to fresh, ripe foods. Instead, mainstream grocery stores most often stock foods imported across long distances. Most fruits and vegetables sold in the grocery store were harvested unripe (and often tasteless) so that they would last the days and weeks between harvesting and purchase. Pallets of fruit being loaded on deck for shipment overseas. Most commercial fruits are harvested before they are ripe so that they will not spoil before arriving at a supermarket, often far from where they were picked. (credit: Dr. Karl-Heinz Hochhaus/Wikimedia Commons, CC BY 3.0) In her work on food and globalization, anthropologist and food studies specialist Lynne Phillips points out the “crooked pathways” (2006, 38) that food takes to become a global commodity. Increasingly affected by transnational corporations, food today is marketed for endlessly higher profits. Food no longer goes simply from producer to consumer. There are many turns along the way. Food globalization has numerous effects on our daily lives: The food chains from producers to consumers are increasingly fragile as a small number of transnational corporations provide the basic foods that we eat daily. Failures in this food chain might come from contamination during production or breaks in the supply chain due to climate crises, tariffs, or trade negotiations between countries. Our dependence on global food chains makes the food supply to our communities more vulnerable to disruption and scarcity. Our food cultures are less diverse and tend to revolve around a limited number of mass-produced meats or grains. With the loss of diversity, there is an accompanying loss not only of food knowledge but also of nutrition. As foods become more globalized, we are increasingly dependent on food additives to enhance the appearance and taste of foods and to ensure their preservation during the long journey from factory farm to table. We are also increasingly exposed to steroids, antibiotics, and other medicines in the meat we eat. This exposure poses health risks to large numbers of people. As plants and animals are subjected to ever more sophisticated forms of genetic engineering, there is an increasing monopoly on basic food items, allowing transnational companies to affect regulatory controls on food safety. As corporate laboratories develop patented seeds (such as the Monsanto Corporation’s genetically engineered corn) that are super-producers and able to withstand challenges such as harsh climate conditions and disease, growers become dependent on the seed sold by these corporations. No longer able to save seed from year to year, growers have little choice but to pay whatever price these corporations choose to charge for their genetic material. Factory farming of all types, but especially large-scale animal farms, are major contributors to global warming. Not only do they produce large amounts of water and air pollution and contribute to worldwide deforestation, but as more and more forest is turned into pasture, the sheer number of livestock contributes significant levels of greenhouse gases that lead to global warming. Worldwide, livestock account for around 14.5 percent of global greenhouse gas emissions (Quinton 2019). Food has long been an international commodity, even during the 17th and 18th centuries, when traders sought spice and trade routes connecting Europe and Asia. Today, however, food has become transnational, with production sometimes spanning many different countries and fresh and processed foods moving long distances from their original harvest or production. Because these migrating foods must be harvested early or packaged with preservatives that we may not know or even be able to pronounce, there has been a parallel development in local food movements, organic food movements, and farm-to-table establishments as people see the dangers of food globalization. In the very popular The Omnivore’s Dilemma: A Natural History of Four Meals (2006), American author and food journalist Michael Pollan advocates that people should know the identity of the foods they eat and should make every effort to eat locally sourced products. Shortly after the book’s publication, chef and author Jessica Prentice coined the term locavore to refer to those who eat locally and know the origins of their foods. In 2007, locavore was chosen as the New Oxford American Dictionary word of the year. Food Deserts and Oases Worldwide, access to nutritious and affordable foods is growing increasingly unequal. Areas with inadequate or unreliable access to nutritious foods are sometimes called food deserts . Food deserts present serious challenges to health and wellness in multiple ways and have been linked to eating disorders, obesity, and malnutrition. In Western nations, food deserts frequently correspond to other areas of social inequality, such as low-income and minority communities. Reduced availability of healthy and economical food often exacerbates many of the challenges these communities face. Food deserts are common in Western countries, especially in and around urban areas. This chart shows areas in the United States where significant percentages of people both have no car and no grocery store within a mile of their home, which is about a twenty minute walk for a healthy adult. (credit: United States Department of Agriculture and Centers for Disease Control/Wikimedia Commons, Public Domain) As the world population continues to grow ( currently at around 7.9 billion people ), climate change accelerates, and food production becomes more and more concentrated in the hands of a few corporations, access to food will become increasingly critical to our survival. The story of progress embraced by Western society tells us that globalization and agricultural developments have stabilized and secured our food chains, but anthropological studies of foragers suggest otherwise. Agricultural production is tied to access to arable land, clean water, stable climate, and a reliable workforce. Periodically, crops (and animals) fail due to disease, drought, and even disruption from warfare and extreme weather, leading to scarcity and famine in many parts of the world. In addition, as families and communities produce less and less of their own food and become more and more dependent on intermediaries to gain access to food, their vulnerabilities increase. While there are many differences between state societies and foragers, there are valuable lessons we can learn from them. Foragers, facing the same unstable conditions that we all face worldwide, have a more varied and flexible diet and are able to adjust their needs seasonally based on local availability. They eat locally, and they adjust their needs to what is available. There are also food oases , areas that have high access to supermarkets and fresh foods, and these are growing in number. Some are in urban or suburban areas, and some are in rural areas where sustainable farming supports a local community or restaurant. In Harrodsburg, Kentucky, the Trustees’ Table serves food from the nearby Pleasant Hill Shaker gardens. Visitors to the Shaker site, a historic cloistered religious community, learn about the Shaker seed industry, plant varieties, and sustainable gardening techniques at Shaker Farm, then walk down to the Trustees’ Table to have a farm-to-table meal. The seasonal menu features local Kentucky dishes that would have been common fare during the period of Shaker occupation (1805–1910), such as garlic potatoes, warm or cold salads, vegetable pot pies, and apple pie. By utilizing the foods raised in the nearby gardens, the Trustees’ Table serves as a legacy restaurant that helps preserve and sustain Shaker research and farming on-site. In Richmond, Virginia, an organization called Real Local RVA was founded in 2014 as a grassroots local food movement to support businesses and residential areas in the downtown area of the city. It expresses its core value as “collaboration over competition.” The group sponsors monthly meetings, local farm tours, and community events highlighting businesses and prominent figures in the local food movement. The participants are all farmers, independent grocers, or local restaurants that source local ingredients and products as part of their mission. Besides advocating for small farms and independent businesses, Real Local RVA also sponsors workshops and education on sustainable farming, does joint marketing and “storytelling” about its partnership and the values of local food networks, and provide a recognizable brand to identify participating members for the wider urban community. Although local food movements are increasingly popular, most still primarily operate in more affluent areas. As we develop more of these healthy initiatives, we also must expand the zones in which they operate, especially in cities, to include all of our neighbors and neighborhoods. Food and sociality go hand in hand. As Michael Pollan writes, “The shared meal elevates eating from a mechanical process of fueling the body to a ritual of family and community, from mere animal biology to an act of culture” (2008, 192). The study of food in anthropology is important for many reasons. Food reveals cultural identities and physical vulnerabilities, and it helps build social networks and mark important life events. How often eating is prescribed, what foods are considered appropriate, who cooks, who serves whom, and what foods are most and least valued all vary across cultures. As anthropologists seek to understand human cultures, food is often a centerpiece ingredient in knowing who we are. Summary Food is a ubiquitous artifact. Found everywhere during all periods of history, it is diverse and symbolic. The study of early human diets is important for understanding the evolution of humans, and archaeologists use various kinds of evidence to determine early foodways, from material artifacts such as food utensils to food residues and even coprolites. The study of ancient foods provides valuable information about health, economics, politics, and religion of early humans and the ways humans adapted to changing environments. Today, Indigenous groups such as the Cherokee are incorporating traditional foodways in cultural revitalization efforts, negotiating with the government to protect their ability to harvest wild foods on ancestral lands. Many anthropologists take a biocultural approach to the study of food, examining the biological/nutritional role of food and its connection to identity. Agricultural practices such as the Three Sisters practice of the Haudenosaunee are good examples of ways in which human cultures have used their knowledge about food to develop sustainable and healthy farming techniques. Sustainable farming techniques, many of them grounded in traditional practices, typically produce higher food yields, reduce fertilizer costs, build healthier soils, and avoid genetically modified plants. There is also growing interest today in cultural foodways that may increase health and wellness, such as the Mediterranean diet, based on fruits, vegetables, and olive oil, and the paleo diet, which is based on our perspective of early human diets and includes lean meats, fruits, vegetables, and nuts. Food plays a central role in cultural identity. Cultures practice food prescriptions, or specific foods considered critical to maintaining cultural identity, such as short-grain rice for the Japanese, and food proscriptions, which are food taboos, such as horsemeat in the United States. Feast foods are another way in which cultures use food to mark and symbolize special occasions. In short, what we eat as human societies defines who we are. Some societies, such as the Wari’ in Brazil and many others, have also practiced forms of cannibalism as ways of defining kinship and humanity. Gender and religion are other areas in which food plays a major role in creating boundaries and identities. Today, many foods are global commodities. Grocery store foods, produced and distributed by transnational corporations, may be shipped many thousands of miles from their points of origin. Access to fresh food is a global challenge, especially in urban environments with concentrated populations. In food deserts, multiple forms of social inequality affect the health and wellness of the whole society. There are also growing numbers of food oases, where local movements offer farm-to-table meat and produce. Food plays an important role in our biological and cultural lives. Given the ongoing challenges of climate change, food insecurity is increasing worldwide as dependable food networks are shifting. Food Memories Food plays an important role in long-term memory, as it is linked to smell, taste, and texture and often is a central feature of social functions, whether they be family dinners or holiday feasts. In this project, you will interview two individuals who are likely to have different food memories than you; they may be older, they may be living in a different part of the country (or world), or they may have lived part of their lives in a specific environment (rural or urban) that is different from yours. Ask each person to share with you stories about special holiday meals prepared and served as part of their family life, whether as a child or an adult. What foods do they most identify with specific holidays? How did they prepare and consume those foods? Were there specific gender roles during the preparation and holiday meals? After collecting and writing up what you have learned, what conclusions can you make about the role of food in human social and cultural life? Critical Thinking Questions Bibliography Ahmad, Shafqat, M. Vinayaga Moorthy, Olga V. Demler, Frank B. Hu, Paul M. Ridker, Daniel I. Chasman, and Samia Mora. 2018. “Assessment of Risk Factors and Biomarkers Associated with Risk of Cardiovascular Disease among Women Consuming a Mediterranean Diet.” JAMA Network Open 1 (8). https://doi.org/10.1001/jamanetworkopen.2018.5708. Arens, William. 1979. The Man-Eating Myth: Anthropology and Anthropophagy . New York: Oxford University Press. Avieli, Nir. 2011. “Dog Meat Politics in a Vietnamese Town.” Ethnology 50 (1): 59–78. http://ethnology.pitt.edu/ojs/index.php/Ethnology/article/viewArticle/6092. Blackley, Seamus, Serena Love, and Richard Bowman. 2019. “A Conversation with the Team That Made Bread with Ancient Egyptian Yeast.” Interview by Jenny G. Zhang. Eater. August 8, 2019. https://www.eater.com/2019/8/8/20792134/interview-seamus-blackley-serena-love-richard-bowman-baked-bread-ancient-egyptian-yeast. Borowski, Oded. 2004. “Eat, Drink, and Be Merry: The Mediterranean Diet.” Near Eastern Archaeology 67 (2): 96–107. Braun, Adee. 2014. “Looking to Quell Sexual Urges? Consider the Graham Cracker.” Atlantic , January 15, 2014. https://www.theatlantic.com/health/archive/2014/01/looking-to-quell-sexual-urges-consider-the-graham-cracker/282769/. Carnegie Museum of Natural History. 2018. “The Three Sisters: Sustainers of Life.” North South East West: American Indians and the Natural World. https://nsew.carnegiemnh.org/iroquois-confederacy-of-the-northeast/three_sisters/. Chang, Melanie L., and April Nowell. 2016. “How to Make Stone Soup: Is the ‘Paleo Diet’ a Missed Opportunity for Anthropologists?” Evolutionary Anthropology 25 (5): 228–231. Chávez, Karen. 2019. “Great Smokies Approves Historic Sochan Collecting Agreement with Eastern Band of Cherokee.” Citizen-Times , updated March 27, 2019. https://www.citizen-times.com/story/news/local/2019/03/25/great-smoky-mountains-national-park-allow-cherokee-gather-sochan/3267860002/. Coleman, Rei Kataoka. 2017. “Where Did Japan’s Imported Rice Go?” Tokyo Review. July 7, 2017. https://www.tokyoreview.net/2017/07/where-did-japans-imported-rice-go/. Conklin, Beth A. 1995. “‘Thus Are Our Bodies, Thus Was Our Custom’: Mortuary Cannibalism in an Amazonian Society.” American Ethnologist 22 (1): 75–101. Cornaro, Lewis [Alvise]. 1779. Discourses on a Sober and Temperate Life . London: Benjamin White. http://www.gutenberg.org/ebooks/30660. Duffy, Lisa. 2020. “Ancient Maya Cuisine and Residue Analysis.” Florida Museum of Natural History. Updated June 29, 2020. https://www.floridamuseum.ufl.edu/envarch/research/maya/residue-analysis/. Ebeling, Jennie R., and Yorke M. Rowan. 2004. “The Archaeology of the Daily Grind: Ground Stone Tools and Food Production in the Southern Levant.” Near Eastern Archaeology 67 (2): 108–117. Farb, Peter, and George Armelagos. 1980. Consuming Passions: The Anthropology of Eating . Boston: Houghton Mifflin. Freedman, Paul. 2015. “Women and Restaurants in the 19th-Century United States.” OUPblog , Oxford University Press. March 30, 2015. https://blog.oup.com/2015/03/women-restaurants-united-states-history/. Freedman, Paul. 2019a. American Cuisine: And How It Got This Way . New York: Liveright. Freedman, Paul. 2019b. “How Steak Became Manly and Salads Became Feminine.” The Conversation. October 24, 2019. https://theconversation.com/how-steak-became-manly-and-salads-became-feminine-124147. Gish Hill, Christina. 2020. “Returning Corn, Beans, and Squash to Native American Farms.” JSTOR Daily , JSTOR. November 24, 2020. https://daily.jstor.org/partner-post-indigenous-agriculture/. Graff, Sarah R. 2020. “Archaeology of Cuisine and Cooking.” Annual Review of Anthropology 49:337–354. GrubHub. 2018. Men vs. Women Eating Preferences: Online Ordering Data Reveals Gender Differences in Takeout Dining . https://media.grubhub.com/files/doc_downloads/GrubHub-Inc-Men-vs-Women-Eating-Preferences-White-Paper_v001_b3cw14.pdf. Isaac, Barry L. 2002. “Cannibalism among Aztecs and Their Neighbors: Analysis of the 1577–1586 ‘Relaciones Geográficas’ for Nueva España and Nueva Galicia Provinces.” Journal of Anthropological Research 58 (2): 203–224. Lewis, Courtney. 2012. “The Case of the Wild Onions: The Impact of Ramps on Cherokee Rights.” Southern Cultures 18 (2): 104–117. Lindenbaum, Shirley. 1979. Kuru Sorcery: Disease and Danger in the New Guinea Highlands . Palo Alto, CA: Mayfield. Linnekin, Baylen. 2019. “Complicated Rules for Foraging Aren’t Helping Our National Parks.” Reason , April 6, 2019. https://reason.com/2019/04/06/complicated-rules-for-foraging-arent-hel/. Lobel, Cindy. 2012. “Sylvester Graham and Antebellum Diet Reform.” The Gilder Lehrman Institute of American History AP US History Study Guide. July 31, 2012. http://ap.gilderlehrman.org/history-by-era/first-age-reform/essays/sylvester-graham-and-antebellum-diet-reform. Mayo Clinic Staff. “Paleo Diet: What Is It and Why Is It So Popular?” Mayo Clinic. August 25, 2020. https://www.mayoclinic.org/healthy-lifestyle/nutrition-and-healthy-eating/in-depth/paleo-diet/art-20111182. Mitchell, Dawn. 2019. “The Cure for What Ails You: Elixirs, Tonics and Snake Oil.” Indy Star , updated January 4, 2019. https://www.indystar.com/story/news/history/retroindy/2019/01/03/cure-what-ails-you-elixirs-tonics-and-snake-oil/2288353002/. Mt. Pleasant, Jane. 2016. “Food Yields and Nutrient Analyses of the Three Sisters: A Haudenosaunee Cropping System.” Ethnobiology Letters 7 (1): 87–98. https://doi.org/10.14237/ebl.7.1.2016.721. Murphy, Andi. 2018. “Meet the Three Sisters Who Sustain Native America.” Native Voices , PBS. November 16, 2018. https://www.pbs.org/native-america/blogs/native-voices/meet-the-three-sisters-who-sustain-native-america/. The Nutrition Source. 2018. “Diet Review: Mediterranean Diet.” Harvard T. H. Chan School of Public Health. Updated December 2018. https://www.hsph.harvard.edu/nutritionsource/healthy-weight/diet-reviews/mediterranean-diet/. Ohnuki-Tierney, Emiko. 1993. Rice as Self: Japanese Identities through Time . Princeton, NJ: Princeton University Press. Ohnuki-Tierney, Emiko. 1995. “Structure, Event and Historical Metaphor: Rice and Identities in Japanese History.” Journal of the Royal Anthropological Institute 1 (2): 227–253. Phillips, Lynne. 2006. “Food and Globalization.” Annual Review of Anthropology 35:37–57. Pobiner, Briana. 2013. “Evidence for Meat-Eating by Early Humans.” Nature Education Knowledge 4 (6): 1. https://www.nature.com/scitable/knowledge/library/evidence-for-meat-eating-by-early-humans-103874273/. Pollan, Michael. 2006. The Omnivore’s Dilemma: A Natural History of Four Meals . New York: Penguin Press. Pollan, Michael. 2008. In Defense of Food: An Eater’s Manifesto . New York: Penguin Press. Quinton, Amy. 2019. “Cows and Climate Change: Making Cattle More Sustainable.” Feeding a Growing Population, UC Davis. June 27, 2019. https://www.ucdavis.edu/food/news/making-cattle-more-sustainable. Richter, Tobias, and Amaia Arranz-Otaegui. 2018. “Following a New Trail of Crumbs to Agriculture’s Origins.” Sapiens , July 16, 2018. https://www.sapiens.org/archaeology/oldest-known-bread-crumbs-discovered/. Rivers, Bridgette, Robert Oliver, and Lynn Resler. 2014. “Pungent Provisions: The Ramp and Appalachian Identity.” Material Culture 46 (1): 1–24. Robb, Alice. 2014. “Will Overpopulation and Resource Scarcity Drive Cannibalism?” New Republic , June 19, 2014. https://newrepublic.com/article/118252/cannibalism-and-overpopulation-how-amazon-tribe-ate-their-dead. Tsékénis, Emile. 2017. “Personhood, Collectives, and the Human-Animal Distinction: The Cases of the Cameroon Grassfields and Madagascar.” Anthropologica 59 (1): 130–144. United States Conference of Catholic Bishops. n.d. “Fast and Abstinence.” Accessed September 30, 2021. https://www.usccb.org/prayer-and-worship/liturgical-year-and-calendar/lent/catholic-information-on-lenten-fast-and-abstinence. Vilaça, Aparecida. 2002. “Making Kin out of Others in Amazonia.” Journal of the Royal Anthropological Institute 8 (2): 347–365. Waldstein, Anna. 2017. “Food, Anthropology Of.” In The International Encyclopedia of Anthropology , edited by Hilary Callan. John Wiley & Sons. https://doi.org/10.1002/9781118924396.wbiea1605. White, Max E. 1975. “Contemporary Usage of Native Plant Foods by the Eastern Cherokees.” Appalachian Journal 2 (4): 323–326. Wild, Sarah. 2019. “Scientists Find First Evidence of Humans Cooking Starches.” Sapiens , June 21, 2019. https://www.sapiens.org/news/starches-first-evidence-humans-cooking/. locavore a person who eats locally produced foods and knows their origins. food deserts areas that lack access to nutritious and affordable foods. food oases areas that have high access to supermarkets and fresh foods.", "section": "The Globalization of Food", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction Anas Aremeyaw Anas, an investigative journalist from Ghana, participating in the Global Conference for Media Freedom in London, 2019. He keeps his face hidden during all public appearances in order to protect himself from retaliation. (credit: Foreign, Commonwealth & Development Office/flickr, CC BY 2.0) “I am sorry I cannot show you my face. Because if I do, the bad guys will come for me.” Who is that masked man? That man is Anas Aremeyaw Anas , the famous investigative journalist from Ghana who gave a TED Talk about how he “names, shames, and jails” those “bad guys” (Anas 2013). Using controversial undercover methods, Anas has posed as a street hawker, a priest, a patient in a mental facility, a janitor in a brothel, and a boulder. His investigations have revealed widespread corruption in the Ghanaian judiciary, police service, electric company, Ministry of Youth and Sports, and passport office as well as a Ghanaian orphanage. He has exposed cocoa smuggling, rebel invasions, human trafficking, child slavery, torture of Africans in Thai prisons, unsanitary food production, forced prostitution, and abuse of people with mental illness in a hospital. Anas has become a kind of anti-corruption superhero in Ghana, combining anonymity and celebrity to force social change. While his undercover research is mostly in person, he publishes the reports of his investigations as videos, many of which are available for viewing on his website . He has become famous worldwide through the spread of these videos and the accumulation of interviews and commentary on his work that can be found on the Internet. His intriguing persona illustrates the complexities of identity in the digital era. Though many have attempted to unmask him, his “real” identity remains a mystery. As previous chapters have demonstrated, anthropologists are keenly interested in questions of identity and social action. The holistic approach leads anthropologists to consider how certain social, cultural, economic, and political conditions give rise to public figures such as Anas. Clearly, the phenomenon of Anas cannot be fully understood without attention to the functions of media at local, national, and global levels. At the local level, investigative journalism functions as a tool of anti-corruption, while global digital media function as a tool of celebrity. Are these two functions compatible or contradictory? A new field of media anthropology has emerged in the past few decades to address such pressing issues. This chapter explores the anthropology of mass media, including how media functions at local, national, and global levels. It also addresses how social conditions and cultural forces shape a variety of media genres, including news media, photography, radio, television, and the Internet. Just as anthropologists bring their unique approach to other fields, the distinctive methods and concepts of anthropology contribute complex, holistic insights to the study of media.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Putting the Mass into Media Learning Outcomes By the end of this section, you will be able to: Define the basic function of media. Distinguish basic media from mass media. Describe the social phenomenon of technophilia. Explain why culture is important to the study of media. Technophiles of the world. Modern communication technologies are widely used in most cultures of the contemporary world. (credit: top left, “Sinaw, Bedouin Woman with Mobile Phone” by Arian Zwegers/flickr, CC BY 2.0; top right, “Kiwanja_Burma_Calling_17” by Ken Banks, kiwanja.net/flickr, CC BY 2.0; bottom, “©UNICEF/ECU/2020/Arcos” by UNICEF Ecuador/flickr, CC BY 2.0) People today live in an era of technophilia —that is, an age when people embrace technologies and incorporate them into every part of their lives, particularly their social lives. In contrast to the inert functionality of old-school cameras, watches, radios, and televisions, the new “smart” gadgets interact with their users, learn from them, make suggestions, and contact their friends and family members. Insofar as they facilitate users’ interactions with other people and the world around them, these smart technologies become part of their users, akin to an extra organ for sensation and communication. Insofar as they communicate with users, nudging and prodding them, they become like a friend or family member themselves. Part of what makes these smart technologies so attractive (and addictive) is that they function as means of connecting people to one another, carrying messages and data to other individuals and groups. As instruments of communication, all of these technologies are forms of media . At the most basic level, media are tools for storing and sharing information. In this basic sense, media have always been essential to the development and durability of human culture. Early forms of symbolic communication, such as cave paintings and ancient writing systems, can be considered media, as they provided people with ways of fixing meaning in material objects that could be shared with people in other places and other times. The scope of these early forms of media was limited, however, by their singularity. People could visit a cave painting, but they could not send a copy of it to their friends. A scholar could inscribe a story on a cuneiform tablet, but that tablet could not be reproduced for a wider audience without the painstaking work of inscribing copies one by one. Up until 1000 CE, scholars in many parts of the world specialized in manually copying books and pamphlets, sometimes using wooden block prints carved out by hand. These methods were so expensive that only the very wealthy could afford to buy written forms of media. All of this changed with the invention of the printing press , first in China and then in Germany (Frost 2021). Around 1000 CE, the Chinese artisan Bi Sheng created a set of blocks out of baked clay, each one manually inscribed with a Chinese character. To publish a page of text, he arranged the character blocks on an iron frame that could be pressed against an iron plate to create a print. Around 1440, the German entrepreneur Johannes Gutenberg independently invented a similar system of movable-type printing. Gutenberg also created a set of blocks, each one containing a letter, but his were made of metal. He used his invention to print calendars, pamphlets, and 180 now-famous copies of the Bible. Within decades, the printing press had spread from Germany to France, Italy, Spain, England, and the rest of western Europe. To see how Gutenberg’s printing press worked, watch this video of a demonstration of the world’s most complete working replica at Crandall Historical Printing Museum in Provo, Utah. If manual writing systems are basic forms of media, then mechanically reproduced forms of communication are forms of mass media . Whereas forms of basic media operate between one sender and a small number of receivers, forms of mass media operate through a sender, a machine, and a potentially very large number of receivers. Originating in books and pamphlets produced using the movable-type printing press, the category of mass media has expanded over time with the development of new technologies, including photography, radio, television, and the Internet. Mass media are forms of communication facilitated by technology, allowing for broad distribution and reception by large numbers of people. When considered from this angle, it may seem that technology is the most defining element of mass media. As machines, communication technologies might seem to function much the same in any context. When European printing presses were brought to Africa in the 19th century, they were used to publish newspapers that bore a family resemblance to European ones. If someone enables their mobile phone to function in another country while on vacation, they can use it to call their hotel or hail an Uber in much the same way they would use their phone at home. Because communication technologies seem to function in uniform ways across contexts, people often assume that mass media are pretty much the same everywhere. Some provide news on current events. Some provide diversion and entertainment. Some allow users to communicate with individuals and groups. In this case, the differences one might see in mass media forms across cultures would be differences in technological sophistication or penetration , the word media scholars use to describe how widespread a communication technology is in a certain context. Have you ever seen a Ghanaian video film? These are low-budget Ghanaian movies shot on video camera, usually completed within a few weeks and aimed at local audiences. They deal with social themes such as witchcraft and corruption, often combined with Christian redemption. Such video films are frequently criticized (by locals and foreigners alike) for their rudimentary editing and poor production values. When compared to Hollywood blockbuster movies, with their multimillion-dollar budgets and complex technological production processes, African video films may seem like a poor replica of the American form. Watch Darkness of Sorrow to see an example of a Ghanaian movie. But that is not how West Africans view locally made video films. While many Ghanaians enjoy watching American films from time to time, the themes and issues explored in foreign films fail to resonate with their own experiences and concerns. In contrast, local video films engage with the desires and fears of Ghanaians, reinforcing forms of social identity and echoing familiar norms and values. Even as many Ghanaians criticize the rustic editing and uneven sound levels, local video films remain enormously popular among West African audiences. Anthropologist Tejaswini Ganti (2012) conducted ethnographic research on the film industry in India. She describes how Indian films developed from rustic, homegrown forms of local entertainment to technologically sophisticated spectacles, forming the globalized industry of Bollywood. Ganti situates this transformation in the larger economic shifts of the 1990s and the accompanying neoliberal emphasis on global trade and middle-class consumerism in India. While earlier films focus on themes involving working-class and marginalized peoples, later films more often dramatize the lives of the professional, highly educated, and affluent classes. Thus, Ganti links the themes, technologies, and economic contexts of these films. While technology may seem to be the defining feature of mass media, it is the immersion of communication technologies in local cultures that produces the total experience of mass media. At heart, mass media are not just technologies but forms of communication—technological vehicles for conveying forms of cultural meaning from senders to receivers. The language, images, symbols, and sounds used to convey meaning are all elements of culture. The thematic content of mass media is also profoundly cultural, shaped by local contexts of production and reception. Ways of consuming and interacting with mass media are also heavily determined by local social norms. mass media mechanically reproduced forms of communication targeting large audiences. media tools for storing and sharing information. technophilia the love of technology; characteristic of societies and eras of increasing technological innovation and its incorporation into everyday life.", "section": "Putting the Mass into Media", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Putting Culture into Media Studies Learning Outcomes By the end of this section, you will be able to: Describe how an anthropologist might use participant observation to study media. Explain the relationship between modernity and media. Give an example illustrating the complex relationship between media and culture. Define the concept of cosmopolitanism. In this section, the author of this chapter, Jennifer Hasty, describes her own experience using participant observation. In the early 1990s, I went to the West African county of Ghana to study media and politics. I was specifically interested in the role of newspapers in the great wave of democratization across many African countries in that decade (Hasty 2005). Because I had some undergraduate training in journalism, I decided to volunteer as an intern at several newspapers and learn how news is produced in Ghana. I wound up working as a journalist for five different news organizations in the Ghanaian capital city of Accra over a period of several years. Through these experiences, I learned a great deal about how culture and history shape local news production, texts, and reception. When people outside of anthropology ask me about my fieldwork, I tell them (maybe too much) about working as a journalist in Ghana. They often respond with a perplexed look, saying, “Wait, I thought you said you were an anthropologist.” When most people think about anthropological fieldwork, they think of quaint villages and rural locations, seemingly disconnected from the rest of the world. When they think of the topics anthropologists typically pursue, they think of religious rituals, political pageantry, complex kinship systems, and folk arts. That is, they think of the realm of “tradition.” In fact, the contexts in which anthropologists work are not cut off from the rest of the world at all—and they never have been. People all over the world, in both rural and urban communities, are hooked up to global flows of information, images, ideas, commodities, and people. Newspapers, photography, radio, television, and the Internet are woven into daily life nearly everywhere one might go in the world. Recall the discussions of modernity in previous chapters. Historically speaking, modernity is the whole way of life associated with industrial and postindustrial societies—that is to say, the institutions and features of modernity emerged alongside industrialization and mass production. However, the features of modernity have spread across the globe to societies that are not primarily industrial or postindustrial. Features of modernity such as mass media, wage labor, and the nation-state shape the everyday lives of people in primarily agrarian, pastoral societies and gatherer-hunter societies. Anthropologists have abandoned the idea that some people live traditional lifestyles while others live modern ones. Rather, all people are modern in distinctive ways, shaped by local historical and cultural forces. Since the early 1990s, anthropologists have been increasingly interested in the various forms of modernity that have emerged in non-European and non-American contexts. As a key tool of modernity, mass media have become the object of growing fascination in anthropology over the last three decades. My own first fieldwork was part of an early wave of media studies in anthropology, culminating in the establishment of an entire subdiscipline, media anthropology (Spitulnik 1993; Askew and Wilk 2002; Ginsburg, Abu-Lughod, and Larkin 2002). By examining the use of media in contemporary sociocultural life, media anthropologists have learned that nearly all forms of culture are shaped by various genres of media. People take photographs and videos to commemorate cultural events and share their memories with others. They report on cultural topics in print media, radio, and television and discuss those issues on talk shows and social media. In fact, it’s fair to say that mass media have become primary tools for defining, reinforcing, and reproducing local cultures. Rather than being opposed to tradition, mass media are key instruments for preserving and transmitting traditional cultures as well as modernity. A few months ago, a Ghanaian journalist friend of mine, George Sydney Abugri, emailed me to ask if I could help him self-publish several books on Kindle Direct Publishing (KDP). Now retired, Abugri wanted to share his essays, poetry, and memoirs with Ghanaians, journalists, and scholars all over the world. In order to publish on KDP, you need a bank account from the United States or another “approved” country, and Ghana was not on that list. After a bit of textual wrangling, I was able to set up an account for him and get his books online so that he could find his global audience. Anthropologists have a term for the kind of worldly orientation evident in Abugri’s desire to speak to a global audience about global issues: cosmopolitanism . Cosmopolitanism refers to a type of worldly knowledge and sophistication. Contemporary anthropologists, working in rural, village, and urban contexts, find that people in all settings have remarkable awareness of current world issues such as climate change, the Arab Spring, and the Me Too movement. One of Abugri’s poems describes an incident on the German airline Lufthansa in which a White flight attendant claimed she could not understand Abugri’s request for a glass of water. Cosmopolitan writers such as Abugri link their personal experiences to global issues such as race, environmentalism, and gender equality. Global issues and modern media forms are tightly integrated in the lives of both rural and urban peoples in cultures all over the world. cosmopolitanism worldly knowledge and sophistication, often associated with involvement in global forms of media.", "section": "Putting Culture into Media Studies", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Visual Anthropology and Ethnographic Film Learning Outcomes By the end of this section, you will be able to: Give examples of the early use of visual media in ethnographic fieldwork. Define the field of visual anthropology. Describe two examples of ethnographic film. Explain the ethical challenges associated with ethnographic film. Although the subfield of media anthropology is relatively new, anthropologists have been incorporating media technologies into their methods of research and ethnographic representation since the early 20th century. An early pioneer of visual methods, Margaret Mead took some 200 photographs as part of her first fieldwork project in Samoa (Tiffany 2005). In the 1930s, Mead and Gregory Bateson used both photography and film in their joint fieldwork in Bali and New Guinea. Mead and Bateson embraced visual media as an innovative means of learning about social life and used photos and film to study childhood, public ceremonies, and dance. Together, they took about 33,000 photographs and recorded about 32,600 feet of film as part of their joint research (Jacknis 2020). Focusing on child development and dance, they used these visual materials to produce two photographic ethnographies and seven short films. Visual anthropology is either the use of visual media as a research method or its study as a research topic. Whether they consider themselves visual anthropologists or not, most anthropologists take photos of the people and places they encounter in their fieldwork. Visual anthropologists go further, using photography and film to document important events for fine-grained future analysis. As moments frozen in time, photographs allow for analytical contemplation and shared consideration. Film can be slowed down or sped up to focus on certain aspects of individual action or group dynamics that might otherwise go unnoticed. Images may be magnified to reveal minute details. Both film and photography allow for images to be placed side by side for comparison. Visual anthropologists are also interested in how people in the cultures they study produce their own visual representations in the form of art, photography, and film. Visual anthropologists are interested in popular paintings, billboards, and graffiti as well as forms of photography and film. An image from Margaret Mead’s film Trance and Dance in Bali . Margaret Mead was an early pioneer in the use of visual media in anthropology. (credit: Gregory Bateson and Margaret Mead/Wikimedia Commons, Public Domain) Early on, cultural anthropologists recognized that visual media made it possible to share the experiences encountered during anthropological research with their colleagues and students, and the general public. One example of many is the film Trance and Dance in Bali (1951), written and narrated by Mead, which features a Balinese dance called the kris. The kris dance dramatizes the story of a witch whose daughter is rejected as a bride to the king. In retaliation, the witch plots to spread chaos and pestilence in the land. When the king sends an emissary with a convoy of servants to stop the nefarious plan, the witch turns the emissary into a dragon. She then causes the followers of the dragon to fall into trance. When the dragon-emissary revives his followers, they emerge in a somnambulant state, stabbing themselves with daggers but inflicting no harm. After dancing the kris dance, the dancers are brought out of their trance with incense and holy water. Included in the US Library of Congress, this stunning early use of film in anthropology can be viewed at the Library of Congress website or on YouTube . Ethnographic film is the use of film in ethnographic representation as either a method, a record, or a means of reporting on anthropological fieldwork. Like documentary films, ethnographic films are nonfiction films in which live-action shots are edited and shaped into a central narrative drama. While the line between documentary and ethnographic film is blurry, ethnographic film is associated with the work of professional anthropologists and tends to focus explicitly on depictions of sociocultural processes. Before Mead and Bateson’s professional use of film, several filmmakers had made amateur ethnographic films depicting aspects of non-Western cultures. The very popular film Nanook of the North (1922), made by explorer Robert Flaherty and based on 16 months of living with the Inuit , follows an Inuit family in the Canadian Arctic. The film focuses on the heroism of husband Nanook and wife Nyla as they struggle against the harsh elements to meet their needs and raise their children. The film documents Inuit lifeways such as traveling by dogsled and kayak, hunting walrus, and building an igloo out of glacier ice. In one controversial scene, the family visits a Canadian trading fort, where they express astonishment at instruments of modernity such as a phonograph. Though the film has been praised for its representation of Indigenous peoples as courageous and hardworking, others have criticized Flaherty for staging some of the events and even having his own common-law wife play the role of Nanook’s wife in the film. Like Mead and Bateson’s film, Nanook of the North is now held by the Library of Congress as one of the most significant examples of early documentary filmmaking. While some consider Nanook to be a precursor to ethnographic film, anthropologist Franz Boas dismissed it as completely irrelevant to anthropology due to Flaherty’s use of artifice and staging (Schäuble 2018). The film can be viewed at the Internet Archive or on YouTube . Promotional poster for Nanook of the North , considered by some to be one of the most significant examples of early documentary filmmaking. While based on field experience, a number of events in the film were staged. (credit: Robert J. Flaherty/Pathe Pictures/Wikimedia Commons, Public Domain) From its roots in both amateur and professional filmmaking, ethnographic film became an increasingly important tool for teaching and popularizing anthropological research throughout the 20th century. In the 1950s, John Marshall and Timothy Asch pioneered a more objective, naturalist style of ethnographic film, attempting to avoid Western narratives and exoticization. With the development of the ability to simultaneously record sound in the 1960s, the commentary and conversations of people represented in ethnographic films became audible (even if translations still appeared in subtitles). Subjects could now address the camera directly. Around the same time, anthropologists began considering the power dynamics embedded in the production of ethnographic film—in particular, the ethical issues involved in White Western researchers controlling the representation of non-Western peoples. Responding to these ethical challenges, many ethnographic filmmakers have turned away from the heavily crafted narrative methods of films such as Nanook toward a more purist style that represents unfolding action with little editing. New methods of representation have emerged, revealing the very act of filming itself and highlighting the relationship between filmmakers and those being filmed. Rather than using film as a means of teaching anthropology to students and the public, some experimental filmmakers conceptualize film as the creation of an entirely new sociocultural experience. The experimental ethnographic film Manakamana , for instance, directed by Stephanie Spray and Pacho Velez and released in 2013, comprises 11 long shots of Nepalese pilgrims taking cable car rides to a mountaintop temple in Nepal. Rather than teaching the viewer about an anthropological topic, Manakamana provides live-action portraits of people and their relationships against the backdrop of the rugged landscape passing below them. Spray and Velez are collaborators in Harvard University’s Sensory Ethnography Lab, a project dedicated to the experimental use of multisensory methods to create ethnographic media. You can view a trailer for the film on YouTube . ethnographic film the use of film in ethnographic research, either as a method, a record, or a means of reporting on anthropological fieldwork. visual anthropology the use of visual media as a method of research or its study as a topic of research.", "section": "Visual Anthropology and Ethnographic Film", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Photography, Representation, and Memory Learning Outcomes By the end of this section, you will be able to: Define the gaze and list important features of this concept. Give an example of the imperial gaze in popular photographic media. Describe the use of photography in colonial contexts. Discuss local techniques of self-representation through popular photography. In addition to creating their own visual media, visual anthropologists conduct research on how the people they study produce visual media to represent themselves as well as cultural others. Have you ever browsed through a copy of the magazine National Geographic ? In the latter half of the 20th century, many American schools and middle-class households subscribed to this magazine as an educational resource for school-age children. Founded in 1888, the magazine has developed a reputation for its colorfully illustrated coverage of science, geography, history, and world cultures. Now owned in part by the Walt Disney Company, the magazine is published in 40 languages and has a global circulation of over six million. What strikes many young people about National Geographic is not so much the informative textual content but rather the alluring images of non-Western peoples. Cultural anthropologist Catherine Lutz and sociologist Jane Collins (1993) set out to study how National Geographic depicted people in contexts outside the United States and western Europe. In their holistic approach, they conducted research into the production process at National Geographic , then subjected the photographs to rigorous content analysis, and finally interviewed people about how they made sense of the images. National Geographic cover from 1961 featuring the “exotic other.” Researchers have noted that during the latter half of the twentieth century the magazine commonly portrayed non-Western people as exotic and close to nature. (credit: “NATIONAL GEOGRAPHIC Magazine - October 1961 - South Vietnam Fights the Red Tide - Nam Việt Nam chiến đấu chống thủy triều đỏ” by manhhai/flickr, CC BY 2.0) Based on analysis of 600 National Geographic photos depicting non-Western peoples from 1950 to 1986, Lutz and Collins noted that the magazine portrayed non-Western peoples as exotic, idealized, and close to nature. Very rarely did photographs in the magazine reveal any traces of the complex colonial and postcolonial histories of their subjects or their entanglements in national and global processes. Instead, National Geographic photographs tended to depict happy people immersed in purely traditional lifeways. Without historical or political context, the apparent difference between “us” (the viewer) and “them” (the people depicted in the photographs) would seem to be developmental or evolutionary. In other words, the people depicted in the images were made to seem simpler or more backward than those viewing the images. Perhaps, the images seem to suggest, “they” have not yet achieved modernity. While emphasizing a theme of common humanity, the magazine nonetheless reproduced primitivist and orientalist stereotypes about non-Western peoples while obscuring the historical and political processes that have shaped their equally complex lifeways. The Gaze of Photography In the 1970s, film scholars developed the concept of the gaze to refer both to specific ways that viewers look at images of other people in visual media and to the gazes of those depicted within the images. Gaze theory attempts to understand what it means to view people and events through mass media. Two key features of the gaze are important to this goal. First, the object being gazed at (the person or people in the image) is not aware of the viewer. This makes the gaze voyeuristic , like an anonymous peeping Tom looking through a window into a house. The gazer knows what is going, on but the people in the house (or the image) do not know they’re being watched. Second, and because of the first point, the gaze implies a psychological relationship of power; the watching person has the power to scrutinize, analyze, and judge the watched people. The watcher can manipulate the perspective and conditions of watching. The watcher reserves the power to make sense of the image and to use the image however they please—for knowledge, pleasure, or criticism. British film theorist Laura Mulvey (1975) used the concept of the gaze to develop a feminist approach to film studies. The male gaze describes how men look at women through any visual medium and even in everyday life. Beauty culture in western Europe and the United States positions women as objects to be gazed upon by men (and other women). Media scholars argue that women come to view themselves through the gaze of others, particularly men, who evaluate the attractiveness and desirability of their bodies. Thus, rather than experiencing her selfhood directly, a woman’s self-image is routed through the male gaze. The concept of the gaze is also used to think about other sociocultural power relations, particularly the historical processes of imperialism and colonialism. In the colonial period, the desire for conquest motivated strategic ways of gazing at cultural others. Through forms of media and image making developed in the 19th and early 20th centuries, Europeans developed an imperial gaze , positioning themselves as viewers of non-Western peoples. In the visual practices of empire, such as surveys and documentary photography, the lands and peoples were scrutinized, subjected to the domineering eye of European colonizers. The depictions of non-Western peoples in National Geographic are current manifestations of the imperial gaze. Photography and the Colonial Gaze Photography was invented in the early 19th century and became widespread in the period when European countries were beginning to establish formal colonial rule over African, Middle Eastern, and Asian territories. In colonial contexts, the imperial gaze framed how Europeans photographed colonial landscapes and colonized peoples, positioning them in strategic ways to justify colonial rule. As the head of the Basel Mission Society’s large archive of colonial photographs, historian Paul Jenkins (1993) has studied pictures taken by Swiss and German missionaries in Africa. The Basel Mission Society (BMS) was a Christian missionary group that participated in the larger trend of Christian missionizing in Africa in the late 19th and early 20th centuries. Jenkins’s inquiry sought to understand what the BMS photos reveal about the people in the photographs, the people who took the photos, and the wider conditions in which the photos were taken. Jenkins’s analysis focuses on one particular missionary, Christian Hornberger , who worked in southeastern Ghana in the late 19th century. In 1863, the BMS asked Hornberger to take photographs depicting missionary activities in Ghana to be sold to European Christians who donated to the African missionary effort. Hornberger took many pictures of African children, the mission station, the local landscape, and scenes from Indigenous life. Jenkins points out that the earliest photographs taken by Hornberger emphasize the strangeness of African peoples and environments, while the later ones seem to emphasize the kind of common humanity found in later National Geographic photos. In Hornberger’s later photographs, Africans are depicted in ways that would have been familiar to many Europeans: families are shown eating dinner together, women are depicted grinding corn, and local craftspeople are shown creating pottery. A set of photographs of children dressed in European clothing caught Jenkins’s eye. Who were these children, and why were there so many photos of them? Where were their parents? Digging deeper, Jenkins discovered that these were local “slave children” (1993, 100) bought into freedom by missionaries and taken to live on the mission compound. In West Africa at the time, people who fell into debt could “pawn” their children to work as servants in lieu of paying the debt. Sometimes, children were given to the priests of local shrines as payment for wrongdoing or gratitude for good fortune. As early Christian missionaries did not initially have much luck converting local peoples to Christianity, some BMS missionaries saw this practice as a way to both accumulate converts and drum up European support. BMS missionaries began offering European supporters the opportunity to “purchase” the freedom of a particular child, give the child a Christian name, and provide for the child’s food, clothing, and other needs. Most of the African children in BMS photos of the time are subjects of this child-sponsorship program. Hornberger’s photograph of “emancipated” children. These children, who had been sold into servitude by their parents, were purchased by White missionaries and brought to live with them. Many were unhappy in this unfamiliar setting and ran way to reunite with their families. (credit: “L R and 2 Native Children, Congo, ca. 1900–1915” by Unknown/Wikimedia Commons, Public Domain) While this may have seemed like a win-win scheme all around, the “liberation” of African slave children was apparently experienced by the many of the children as a new form of enslavement. Most were unhappy living on the mission compound, divorced from their home cultures, forced to wear uncomfortable clothing and speak a strange language. Many of them ran away, back to the families they had been serving before the missionaries intervened. By 1868, the BMS was forced to abandon the whole scheme. The backstory of Hornberger’s photographs of these children vividly illustrates the strategic artifice of the imperial gaze—how missionaries used photography to position themselves as saviors while local people often saw them as agents of colonial domination. The entire collection of photographs from the Basel Mission Society is archived at the BM Archives website . The Modernity of Postcolonial Photography Focusing on more contemporary contexts, many media anthropologists analyze the images produced by postcolonial subjects themselves, along with the producers of those images and the production process. Rather than scrutinizing the imperial or ethnographic gaze, these scholars are interested in local forms of gazing at the self and others in photographs. Anthropologist Liam Buckley (2000) has conducted research on studio photography in the West African country of Gambia. Through interviews with photographers and their subjects, Buckley traced the development of photographic strategies from the more realist style of the 1950s to the more fanciful and imaginative style common from the 1970s to the early 2000s. In the 1950s, photographs were valued for faithfully depicting the character, mood, and personality of the subject, what people referred to as jikko . More recently, people began to prefer being photographed against elaborate studio backdrops depicting scenes of modern leisure and cosmopolitan travels. A staging popular with young people in particular features the subject relaxing amid an array of appliances, such as radio, television, and an open refrigerator full of cold beverages and tasty foods. Some backdrops depict subjects climbing the stairs to board an airplane or visiting a foreign tourist destination. Gambians use the term juuntuwaay to describe the props and imported goods included in these scenes, which might include bicycles, pens, and sunglasses. Young people use these objects to “‘complete’ themselves” (Buckley, 2000), thus using the photograph as a form of aspirational identity formation. The goal of this form of portraiture is not to depict personal jikko but rather to represent jamano , a sense of fashionable novelty and change. the gaze a specific mode of looking at images shaped by the identities of viewer and viewed. imperial gaze a set of conventions for how people in imperial or colonizing societies view the people and landscapes of subjugated territories. male gaze a set of conventions for how men look at women. voyeuristic describes a gaze aimed at people who do not know they are being viewed.", "section": "Photography, Representation, and Memory", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "News Media, the Public Sphere, and Nationalism Learning Outcomes By the end of this section, you will be able to: Describe the worldview presented in news media. Define the concept of the public sphere. Explain the importance of the public sphere to the study of news media. Distinguish from independent media. While photography arrests attention with images, the various genres of news media draw people in with narratives about what’s going on in their local communities and the larger world. A person who reads or views the news learns not only about current events but also about what counts as a current event—and, implicitly, what doesn’t count as news (and thus doesn’t matter to other people and shouldn’t really matter to them). People learn to view the world in a certain way and to position their communities and themselves within that worldview. The top stories in national newspapers typically highlight the actions of political and economic leaders as the most important stories of the day. Political news is presented as an unfolding drama within or among nation-states—the United States establishes sanctions against Myanmar, for instance, or China takes action against Hong Kong protesters. Economic news is dominated by the gyrations of capitalist markets, both global and national, emphasizing the perspectives of the investors and business owners who make (or lose) money in those markets. Like the discipline of economics, news media take a market-centered approach to covering the economy, rather than a people-centered approach that might highlight labor conditions or environmental effects. Some of the first news media were handwritten weekly newssheets that circulated in Venice in the 16th century, relaying information about European politics and wars. In the early 17th century, German and Dutch publishers began using the printing press to mass-produce newspapers for the growing population of literate readers in Europe, mainly merchants and lower-level government officials. Early newspapers reflected forms of discussion and debate emerging from the coffeehouses and salons of Europe, dominated by the concerns of the rising merchant classes that participated in those public arenas of discourse. German scholar Jurgen Habermas (1989) links this process to the emergence of the public sphere . Ideally, the public sphere is a domain of social life where people represent, learn about, and discuss the important issues of the day. It is distinct from both the private economic sphere and the sphere of public authority, including government, the military, and the police. The public sphere provides an important stage for the expression of a wide range of popular opinions with the goal of reaching consensus and influencing government policy. According to Habermas, newspapers were essential to the construction of the public sphere in western Europe and therefore were fundamental tools in the emergence of democratic forms of rule. A summary of Habermas’s foundational argument about the rise and eventual corruption of the public sphere can be viewed on YouTube . Moreover, newspapers were key to processes of language standardization, uniting audiences from regional communities speaking various, sometimes mutually unintelligible dialects. As mentioned in a previous chapter, newspapers thus laid the foundation for the “imagined community” of the nation-state. A glance at any national newspaper, whether in print or online, demonstrates how news media continue to serve as tools in the construction of public spheres and imagined communities today. With the invention of new genres of media, news discourse has expanded into radio, television, and the Internet, providing an even stronger force for the consolidation of national identities. Conducting research in Malaysia, media anthropologist John Postill (2006) describes how the Malaysian government strategically used state-sponsored media to consolidate a unified nation-state out of an ethnically diverse collection of former colonies. In one community, that of the Iban people on the island of Borneo, the state replaced local-language media with Malaysian-language media in an effort to bind the Iban more tightly to the state. Rather than completely erasing cultural differences within the nation-state, however, the Malaysian state media promoted a certain version of Iban “cultural heritage” while simultaneously undermining Iban political and cultural autonomy. State media are media that are entirely or partially owned by the government. In many countries, including most African ones, the state has its own media apparatus, including a news agency, newspapers, and radio and television stations. Independent media are media that are privately owned. But wait, one might ask, isn’t all news media supposed to be independent from government? If a state had its own news media, wouldn’t that just be propaganda? In the United States, news media have traditionally emphasized journalistic independence and even critical opposition to the government. News media are thought to be the “watchdogs of the people,” maintaining critical pressure on government leaders and institutions in order to maintain accountability and prevent corruption and abuse of power. This notion that journalists should be critical of government is a near-universal tenet of professional journalism in capitalist democracies. However, even in the United States, the government is heavily involved in shaping news texts and organizations. Through briefings and press releases, the White House press secretary and other public relations officials exert considerable control over the representation of the positions and activities of government officials. The American government funds the global media organization Voice of America, producing radio, television, and digital content in more than 47 languages all over the world. However, the most prominent American news organizations are independently owned and produced. But are privately owned news media in capitalist countries completely independent? Rather than being dominated by the government, privately owned media are subject to the forces of the market as well as the demands of owners and investors. That is, their commitment to the truth may be challenged by their desire to sell their media to the largest audiences. If sensationalized conflict and conspiracy theories attract audiences, news media may become dominated by misleading half-truths and divisive fantasies. Another strong force threatening the independence of private media is the desire to sell lucrative advertising space to powerful business interests. If the people who pay for advertising favor a market-centered approach to economic issues, then stories about working conditions and environmentalism are likely to be marginalized by market news. How do journalists handle the conflict between the pressures of government and commercial interests and their role as watchdogs for the public interest? For a firsthand example, read this account by chapter author, Jennifer Hasty, When I first came to Ghana, I wanted to understand the role of newspapers in the wave of democratization sweeping across the African continent in the 1990s. In my first few days in Ghana, I bought as many newspapers as I could find and read them studiously, marking stories with marginal comments and comparing front pages side by side. The state-sponsored newspapers highlighted the benevolent actions of government in promoting economic development and social stability. Frequently, the front pages of such publications featured an enthusiastic headline about a government project to build a new road or market complex, illustrated with a color photograph of President Jerry Rawlings wielding a pickax or operating a bulldozer to officially launch the project. Most stories foregrounded the official speeches of government officials, emphasizing themes of national cohesion and responsible citizenship. In contrast, the front pages of the private newspapers shouted out bold allegations of corruption among government officials with stories often based on anonymous sources and rumor. In these papers, Rawlings was often depicted wearing mirrored sunglasses and army fatigues, portrayed as a barely reformed military coup leader with no interest in real democracy. These two versions of the national political reality were completely at odds with one another. And yet, in my initial interviews, both state and private journalists maintained that they were the true forces of democracy in Ghana, protecting the interests of the people. Both maintained strong commitments to journalistic neutrality and objectivity. How could they produce such wildly different optics on the political sphere? How could state journalists fervently believe that they were promoting democracy when, in daily practice, they were echoing the public pronouncements of government officials and providing strategically flattering coverage of the actions of the state? How could private journalists claim to be responsible purveyors of truth when their sensational stories were so often based on rumor and stirred up political and regional conflicts? Anthropologists frequently discover such contradictions between what people say they’re doing and what they’re actually doing. This is one of the advantages of long-term fieldwork; it gives anthropologists time to get behind the official story presented in texts and interviews by conducting extended periods of participant observation. Working at the premier state newspaper, the Daily Graphic, I discovered that the whole working life of a state journalist is structured in such a way that the state does indeed seem to be a benevolent patron and the words uttered by state officials do seem to be the superior and responsible version of national reality. Every working day, state journalists were invited to state ministries to cover official events. They didn’t have to scramble around trying to gain access to government officials, as private journalists did, and they never faced rejection or exclusion when they showed up at state functions. Instead, they were politely ushered into the realm of the state to witness some important (or not) announcement or action. After the event, state journalists were given copies of the speeches they’d just heard and provided with snacks and a beverage—and an envelope with a small sum of cash. This small gift was referred to as soli , short for solidarity, and it symbolized the implicit reciprocity between state officials and state journalists. When they got back to the newsroom, state journalists sat down, printed speeches in hand, and wrote stories depicting the state in the way they themselves had just experienced the state: a kind and thoughtful patron supporting the welfare and development of the people. At the three privately owned newspapers I worked for during my fieldwork, the working day was much more stressful and antagonistic. Considered divisive and irresponsible by the state, the private press had been banned by Rawlings’s military government in the 1980s. In the 1990s, the private press was just reemerging as part of the overall process of democratization, but the government still considered private journalists to be political enemies. Rawlings issued angry public diatribes against the private press, threatening criminal libel suits with long prison terms. Not only were private journalists not invited to daily government events, but they were not even allowed to attend. Many government officials dodged the phone calls of private journalists, and some refused to speak to them at all. Ordinary Ghanaians, still spooked by the government repression of the previous decade, often demanded anonymity as a condition of speaking to private journalists. Excluded from official channels of public discourse, the private press was forced to rely on unnamed sources and rumors. From their point of view, the antagonistic representation of the state as corrupt and repressive was the truth as they experienced it every day. Taken together, the state and private news media created a highly contentious public sphere with competing ideologies—versions of political reality associated with particular groups. While the government used the state press to build national unity, the private press challenged the legitimacy of the state and its commitment to democracy. Visit the news website Graphic Online , the online news platform of the Daily Graphic. Elizabeth Bird Personal History: Elizabeth Bird was born and raised in Newcastle upon Tyne in northeast England. As a child, she was an avid reader, especially drawn to historical and fantasy literature. Reading about various societies in different time periods, Bird developed an early interest in other cultures and the past. As a self-described “shy and rather unsociable” child (personal communication), she developed a more analytical view toward social groups. She remarks, “I have heard that many anthropologists grew up feeling they don’t quite fit in—that would be me!” Bird studied anthropology at Durham University and folklife studies at the University of Leeds, both in England. She then earned an interdisciplinary PhD from the University of Strathclyde in Scotland. A few years later, she moved to the United States, where she earned an MA in journalism from the University of Iowa. She then became a professor of anthropology at the University of South Florida. Area of Anthropology: Bird pioneered the anthropology of news media. At Iowa, she wrote about the connection between folklore/myth and journalistic narratives, especially in tabloid newspapers. Accomplishments in the Field: Anthropologists in the 1980s generally dismissed media as a topic for research, but Bird considered this view shortsighted given the ubiquity of media in societies all over the world and the centrality of media to contemporary culture. In her first book, For Enquiring Minds: A Cultural Study of Supermarket Tabloids (1992), Bird argues that tabloid newspapers such as the National Enquirer build on and feed larger cultural narratives in the general folklore of American life. In interviews with readers of the tabloid press, she discovers that they are attracted to tabloids for a variety of reasons and deploy a diverse set of strategies for finding meaning in these texts. Prescient of the conspiracy theories and “fake news” controversies of the early 21st century, Bird’s work on tabloids the 1980s and 1990s found that many readers are alienated from mainstream American culture. In this part of her career, Bird’s main focus was on the audiences of media, using ethnographic and qualitative research to understand how people in a culture read and use media in their everyday lives. This research came together in her book The Audience in Everyday Life: Living in a Media World (2003). In this book, Bird explores how people pick and choose different elements of media as they construct their class and ethnic identities, participate in religious or political communities, and contemplate the meaning of scandals and other publicized cultural narratives. While much mass communication research has focused on “the audience” as a monolithic, unified entity, Bird shows how an ethnographic approach reveals “the audience” to be a highly differentiated assemblage of people using a wide variety of techniques to comprehend and use mass media as a cultural reservoir. Importance of Their Work: Elizabeth Bird was among the first anthropologists to take media seriously as an object of serious academic study. While many mass communication scholars were analyzing the texts of news media, Bird used interviews and participant observation to explore how people actually make sense of these texts and weave them into their thoughts and practices. Around 2009–2010, Bird moved away from media as an exclusive object of study, returning to earlier research on social history, heritage, and memory in a Nigerian community. Incorporating media analysis and oral histories, she now conducts research on a traumatic massacre that took place in that community in 1967. She documents how print and broadcast media have erased popular memory of the event and how social media has revived and activated personal memories of it. Bird has described the Asaba Memorial Project as “the highlight of [her] career.” independent media forms of print and broadcast media that are privately owned. public sphere a domain of social life in which people represent, learn about, and discuss the important issues of the day. soli short for solidarity ; a small sum of money given by news sources to journalists at the end of an assignment in Ghana. state media forms of print and broadcast media that are financially supported by the state and subject to government control.", "section": "News Media, the Public Sphere, and Nationalism", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Community, Development, and Broadcast Media Learning Outcomes By the end of this section, you will be able to: Explain how radio is associated with different themes and audiences than print media. Define the concept of community radio. Explain how community radio gives expression to local forms of identity and social action. Define the notion of Indigenous media. The media scholar Marshall McLuhan is famous for his aphorism “ the medium is the message ” (1964, 23). What he meant by this is that each genre of media has its own set of features that suggest certain uses and kinds of content. In contrast to print media, radio allows for real-time talk and discussion as well as music. Radio reaches beyond the limited audience of avid readers who have time to focus on text to wider audiences of listeners who may be too busy to read or have not had access to formal education. As an oral medium, radio lends itself more readily to linguistic diversity. In places where many languages are spoken, often the language of state is the only one that circulates in written form, while the rest function as spoken languages only. Print media may therefore be limited to dominant languages, while the oral genre of radio can provide content in alternative and even multiple languages. Finally, while reading print media is largely a solitary and silent experience, radio provides a shared and noisy experience. A personal experience shared by Jennifer Hasty illustrates this. In Ghana, I could nearly always hear a radio blasting from someone’s compound or kiosk or car. Radio was woven into daily life, a sort of auditory backdrop to everyday work and leisure. News headlines were read out each day on the morning talk shows, generating discussions in households and buses as people made their way to work. On the popular radio talk shows, Ghanaians from all walks of life called in to broadcast their perspectives on the issues of the day. Even during the music shows, listeners participated with heartfelt requests dedicated to friends, lovers, and family members. Because of its distinctive features, the genre of radio is not as narrowly focused as print media on themes of political economy such as nationalism and democracy. While including attention to current events, radio typically provides listeners with a wider variety of content, including music, talk shows, drama, and quiz shows. In an effort to provide relevant content to the broadest spectrum of listeners in an area, local radio stations design their programming to reflect the tastes and issues of particular communities. Certainly, print media does this to some degree, but the audience for print media constitutes a narrower segment of the community. Radio attempts to address the community as a whole. Commercial and state radio are dominant forces in the media landscapes of most countries, but an alternative form, community radio , has been growing rapidly in recent decades. Community radio refers to radio stations that are community owned and operated, staffed by groups of professionals and volunteers. The involvement of local volunteers allows for community participation in programming, production, and on-air performance. Community radio stations often focus on local current events, educational programs, and development initiatives. Typically, they are low wattage with minimal range and thus are nonprofit. In places where people want to start up a community radio station but lack the capital and technological know-how, nongovernmental organizations (NGOs) and development organizations have provided support in partnership with community organizations. Such collaborations between community groups and foreign NGOs have made possible the start-up of community radio stations in many countries, including Nepal, Sri Lanka, and the Philippines. Throughout Africa, community radio stations sponsored by government and/or NGOs have been used to educate rural peoples about farming methods and spread public interest health messages. In Thailand, the global leader in community radio, more than 7,000 independent radio stations have been started since 2001. Established in 1997, the Nepalese station Radio Sagarmatha was the first independent community radio station in South Asia. The station was started by the Nepal Forum of Environmental Journalists in an effort to break the government monopoly on radio and provide better coverage of community issues. Regulated by government, Radio Sagarmatha is not allowed to address political or economic issues. Focusing instead on community development, the station features daily discussion programs addressing such issues as public health, education, women’s empowerment, and workers’ concerns. Though not explicitly political, the station identifies itself as the defender of democracy and free speech in Nepal, giving voice to the people. In 2005, the army raided the studio, seizing equipment and arresting staff for rebroadcasting a BBC interview with a politician. The station reemerged after the incident and remains on air today. With 2.5 million regular listeners, Radio Sagarmatha is one of the largest and most successful community radio stations in the world. Community radio stations in Brazil have faced similar forms of government regulation and harassment. Anthropologist Derek Pardue (2011) describes the expansion of community radio in the wake of political liberalization in the 1980s. As of 2013, there were 4,700 community radio stations operating in Brazil, an increase of 70 percent since 2002. Moreover, approximately 5,000 such stations have been shut down by government, their equipment confiscated and management prosecuted as felons. Associated with free speech and political activism, community radio attracts involvement by counterculture artists and performers such as the hip-hop communities of impoverished favela neighborhoods in São Paulo. Through community radio, local hip-hop artists narrate their stories of hardship and heroism, defining their spatially marginal neighborhoods as economically and politically marginalized periferias (peripheries). Pardue describes how community radio gives hip-hop artists and other community members a platform for demonstrating their awareness of social issues and command of information. Using slang that signals racial and class identities, they publicize otherwise unreported events and perspectives such as police violence and gang activities, providing a much more inclusive public sphere than commercial media. In Australia, more than 400 independent radio stations broadcast in 70 different community languages. Many of these community radio stations have been started by Indigenous Australian communities as a means of cultural survival and language preservation. Indigenous media refers to the use of media by Indigenous communities for community identity, cultural representation, and activism. In the 1990s, some Indigenous broadcasters developed the ability to link community radio stations together in regional and national networks. As many Indigenous community stations featured call-in request programs, the linking of stations allowed a person in one community to publicly greet a relative in a faraway community with a song dedication. Anthropologist Daniel Fisher (2009) describes how radio has become a way for Indigenous Australian people to celebrate kinship connections in the context of kin dispersal due to government policy, travel, work, and incarceration. Throughout the 20th century, Indigenous children were seized from their families and sent to state institutions and foster homes in order to assimilate them into White Australian settler culture. In the present, Indigenous family ties are further troubled by the disproportionate numbers of young men incarcerated in Australian prisons. In this context, call-in request shows have become wildly popular on Indigenous radio networks, as relatives phone in to dedicate emotionally charged songs about love, separation, and loss to relatives in distant places. Inspired by a wide variety of social issues, community radio is catching hold in the United States as well. In response to the domination of American radio by large media corporations, the US Congress passed the Local Community Radio Act in 2010, authorizing the Federal Communications Commission (FCC) to provide licenses to low-powered community radio stations. A group of community organizers in Madrid, New Mexico, just outside of Albuquerque, was awarded a license and began broadcasting KMRD 96.9 in 2015. As an alternative to commercial radio programming, KMRD, like many community stations, features more diverse and locally relevant content. Local DJs host call-in and talk programs about community issues and spin a wide variety of music, including alternative, pop, techno, garage, folk, and western. Local bands get frequent airplay, stimulating the local music scene. On Monday nights, you can hear a program devoted to African music, hosted by the author of this chapter. Those not within range of the station can listen to KRMD online . Over a thousand new community radio stations have emerged as a result of the Local Community Radio Act. community radio radio stations that are community owned and operated, staffed by groups of professionals and volunteers. Indigenous media the use of media by Indigenous peoples for community identity, cultural representation, and activism. “the medium is the message” the notion that each genre of media has its own set of features that suggest certain uses and types of content.", "section": "Community, Development, and Broadcast Media", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Broadcasting Modernity and National Identity Learning Outcomes By the end of this section, you will be able to: Identify ways in which governments and development organizations use broadcast media. Detail forms of modernity conveyed by broadcast media in non-Western contexts. Explain the cultural significance of soap opera. Describe the relationship between broadcast media and religious identities and experiences. Broadcast media are, of course, not always grassroots tools of community expression and development. Even outside of the commercial domain, forms of radio and television are produced by development organizations and state governments to address specific development goals, a more top-down model of community broadcasting. Throughout the 1980s, a radio project for delivering basic education was carried out in the Dominican Republic by the US Agency for International Development. The project was designed to reach schoolchildren living in mountainous and isolated regions of the country. Gathering around radios in community centers, children listened to lessons on reading, math, science, and history. Students were given worksheets and books to supplement the radio lectures. Eighty-two community learning centers were established by 1982. Over time, local community groups and the Dominican government contributed funding to keep the project going. Similar programs to use radio for basic education have been established in other countries, including Mexico and Kenya. As with radio, the potentially broad reach of television beyond literate audiences has made it useful as a medium of education, particularly for students lacking access to conventional brick-and-mortar schools. In most countries outside of western Europe and the United States, broadcast media were initially developed by the state because local elites often lacked the capital to start radio and television stations. In the 1960s, the newly independent African states used their newly formed state broadcasting corporations to consolidate diverse and distant populations as a united audience for national messages and initiatives. In her research, communication scholar Carla Heath (1996) shows how Ghanaian children’s television programs serve as a means of cultivating a distinctively modern national culture that embraces innovation and change while remaining grounded in Ghanaian cultural values. For one program, By the Fireside , Ghanaian schoolchildren were recruited to act out Ghanaian folktales, discussing how their moral messages could be applied to contemporary Ghanaian life. Against a background depicting a rural village, children in simple smocks and African-print clothing opened the show with songs and dances, then engaged in greetings, jokes, and riddles with the two adult storytellers. As a storyteller narrated a tale, the children acted out certain scenes and commented on the themes of the story in musical interludes. After the story, children were called upon to recite the moral lessons they had learned. In this way, traditional stories were summoned to discuss such contemporary issues as corruption, political conflicts, and juvenile delinquency. Heath argues that such programs promote a distinctive form of modern citizenship rooted in local morality and wisdom. Anthropologist Lila Abu-Lughod (2002) similarly demonstrates how elites have used television dramas to cultivate the ideal of the virtuous modern citizen among women, youth, and rural people in Egypt. One serial drama, Hilmiyya Nights , focused on the lives of a group of characters from the traditional neighborhood of Hilmiyya in Cairo. The show dramatizes their fortunes and relationships from the 1940s, when Egypt was ruled by King Farouk and the British, all the way up to the Egyptian reaction to the US-led Gulf War of 1990. Rather than focusing solely on personal desires, trysts, and betrayals, as American soap operas do, the social lives of the Hilmiyya Nights characters were embedded in historical and political events, making the show a powerful form of commentary on Egyptian national life. Driven by its project of upliftment, the overall theme of the show was one of national unity. Characters from all classes were led astray by the temptations of sex, money, and power, but they inevitably came to see the errors of their ways, putting love of country above all personal desires. Interviewing women who watched Hilmiyya Nights , Abu-Lughod discovered that their love for the show had little to do with the uplifting messages about Egyptian citizenship. In fact, some identified strongly with the most problematic female characters, who schemed and connived in pursuit of sex and money. Soap opera is a popular format targeted to female audiences in many parts of the world. In India, anthropologist Purnima Mankekar (1999) examined a number of television serials produced by the state television station, Doordarshan, in the 1980s and 1990s. In a well-rounded holistic analysis, Mankekar examines production, text, and reception, the latter an aspect often neglected in media studies. Mankekar interviewed the writers, directors, and producers of these programs and subjected the programs themselves to a fine-grained textual analysis. Her focus, however, was audience reception. Among the questions she asked were how Indian middle-class women viewed these programs, what sense they made of the content, and how they discussed the themes and issues and applied them to their own lives. Indian state television has always worked to cultivate an idealized notion of Indian womanhood, implicitly defined as Hindu, middle-class, north Indian, and upper caste. Mankekar’s analysis focuses on two Hindu epic dramas, The Mahabharat (1989–1990) and The Ramayan (1987–1988). Through these dramas, state television constructed those ideals for the intended audience of Indian women. These epics feature two ideals of womanhood: Sita, who is demure, compliant, and self-sacrificing, contrasted with the enraged Draupaudi, whose reckless husband’s political gamble results in her public humiliation. In interviews with Mankekar, women viewers discussed how they identified with each character in different ways and in relation to different contexts of their own lives. As the programs aired in the midst of rising Hindu nationalism in India, they became a means of asserting Hindu forms of heritage and morality as well as gendered identities. While in the West, modernity is typically associated with rationality and secularism, many media anthropologists have studied how radio and television enable distinctly modern expressions of religious beliefs and experiences. Media anthropologist Katrien Pype (2015) has conducted research on television dramas in the Democratic Republic of the Congo, with a focus on the importance of religious themes and emotional forms of engagement. In one drama, The Heart of Man , two sophisticated urban women become witches in order to harm their romantic rivals. As a result of their occult rituals, one of the women goes blind, leading her to confess her sins to an evangelical pastor. The pastor grants her forgiveness and exorcises the demons from her body. So powerful were the depictions of witchcraft that some viewers reported feeling as if they had become bewitched themselves just by watching the show. Viewers interpreted their emotional responses as signs of the deeper meanings of the program. Not merely entertainment, Congolese television dramas structured by such tales of evangelical redemption are experienced as episodes in an ongoing spiritual war between the Holy Spirit and the devil. Though fictional, such television programs connect with the worldviews of evangelical Christians through the conduit of emotional and bodily response.", "section": "Broadcasting Modernity and National Identity", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Digital Media, New Socialities Learning Outcomes By the end of this section, you will be able to: Define the concept of sociality. Explain how digital media enable new forms of sociality. Identify how digital media shape friendships and romantic relationships. Define the concept of media ideology. Provide a detailed example of the illicit use of digital media. As much of this textbook demonstrates, anthropologists most often conduct research on topics involving face-to-face sociocultural interaction such as public ceremonies, religious rituals, work, political activities, and forms of economic exchange. Over the past 30 years, however, anthropologists have begun to conduct research on forms of culture in which face-to-face interaction has been replaced with screens and keyboards. In the Internet era, media anthropologists explore how people connect with others digitally, forming collective identities based on characteristics such as common interests, gender, race, ethnicity, and religion. Some anthropologists are interested in the entirely new modes of social interaction made possible by the Internet, such as hacking, blogging, and creating and sharing memes. Digital media also reshape other domains of sociocultural practice, such as shopping, financial transactions, transportation, religious worship, and kin relations. Encompassing the whole realm of social interaction, cultural anthropologists use the term sociality to describe how people construct and maintain their personal and group relations. Anthropologists are curious about how new forms of digital media function as tools of sociality. Digital Socialities: Personal and Political How do you talk to your friends on a day-to-day basis? How do you arrange to meet up as a group? If you’re an American, it’s very likely that texts and social media are involved in your communication and coordination with your friends. Studying American teens from 2004 to 2007, scholar Danah Boyd found that social networking sites such as Facebook were key to the formation of new friendships and the consolidation of friend groups, while texting deepened one-on-one relationships (Ito et al. 2010). In fact, friendship was the primary reason given by teens for engaging in digital forms of media (rather than, say, looking up information for school projects or texting their parents about where they are at midnight on a Friday night). Of course, the social preoccupation of American teens is not new, nor is it surprising. But digital media provide new modes of engagement, such as the “always on” texting of best friends or social media “friends” who are not really friends at all but strangers or even enemies. Social media also provide new tools for authoring self-identity as well as the ability to search out information about others that may undermine their own professed identities. While American teens generally embrace social media and texting as ways of building friendships, they are considerably more troubled by the role of digital media in the other side of social relationships: breaking up. In an undergraduate class one day, anthropologist Ilana Gershon asked her students, “What counts as a bad breakup?” (2010). Expecting stories of lying and infidelity, Gershon was surprised to hear so many students complain about breakups via text or Facebook. Anyone who has ever signed into a social media site to discover that their sweetie’s relationship status has changed to “single” knows the kind of confusion and heartache caused by using digital media in this way. Perhaps not the best use of texting—on both sides. In societies all over the world, digital media have become essential elements of social interaction. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Intrigued by the ambiguities of digital etiquette in the realm of romance, Gershon wrote a book exploring how Americans use digital media to manage and even terminate ambiguous or troubled relationships. At the heart of the matter, according to Gershon, are media ideologies —that is, sets of ideas about the functionality of digital media and their relationship to other forms of communication, such as the telephone and face-to-face conversation. For some Americans, using digital messaging to break up is an ideal way of avoiding an intense emotional scene. This notion relies on a media ideology in which different forms of communication can usually be substituted for one another in the interests of efficiency and ease of use. For others, however, the text breakup is unfair, disrespectful, and cowardly, as the breaking-up process is made into a unilateral speech act rather than a consensual act based on dialogue. Digital media allow the breaker-upper to avoid witnessing the consequences of their action. In this media ideology, different forms of communication are appropriate to different forms of social action and cannot be substituted for one another without careful consideration of the emotional consequences. In societies all over the world, digital media have become essential elements of social interaction, from the most personal and romantic relationships to larger, more public collectivities. Both media anthropologists and communication scholars have contributed to an effort to de-westernize media studies by exploring the use of digital media in contexts outside of the United States and western Europe. In societies with repressive governments, traditional media and face-to-face political action are often tightly controlled, making digital media important tools of social interaction and political resistance. Media scholars Annaelle Sreberny and Gholam Khiabany (2010) highlight the crucial role of blogging in popular expression and political activism in Iran over the past several decades. There are more than 700,000 blogs in Iran, many of them authored by women. Suppressed in the public arena, Iranian intellectuals have embraced blogging as a way to express their ideas. Though many Iranian blogs are devoted to personal reflections or commentary on entertainment or sports, Sreberny and Khiabany show how bloggers often convey subtle political messages in their seemingly personal writing. Like Egyptian and Indian soap operas, Iranian blogs are always embedded in sociopolitical contexts, whether they are explicitly political or not. Some blogs are, in fact, stridently political, and many political bloggers have been jailed by the government as dissidents. Similarly, bloggers in Central and South America form activist communities working for social justice and equality (Arriaga and Villar 2021). Afro-Cuban activist Sandra Abd’Allah-Alvarez Ramírez blogs on issues of race and gender in Cuba. Journalist Silvana Bahia operates an organization in Brazil that works to spread the tools of digital technology to diverse communities, in particular Afro-Brazilian women. She has been involved in efforts to teach programming to women, showing them how to apply digital skills to further social projects. She envisions a more inclusive digital sphere that brings in the perspectives of Black, LGBTQ+, low-income, and disadvantaged groups. Digital Shadowlands: Illicit Media Digital media enable and enhance social interaction, deepening relationships and activating imagined communities for social change. However, these new forms of media have a darker side. Digital media are also a tool for piracy, smuggling, scams, human trafficking, and illegal forms of pornography. Frequently, these illicit forms operate across the gulf of global inequality separating wealthy societies from poorer ones. Human trafficking, for instance, often involves abducting youth from impoverished rural communities and smuggling them into urban and wealthier communities to be forced into prostitution. Piracy, on the other hand, often involves making illegal copies of music and movies produced in wealthier countries available to people in poorer communities who may not otherwise be able to afford them. The digital shadowlands provide opportunities for those left out of legal, mainstream opportunities in the digital economy. Sakawa is a troubling example of this. Around 2010 in Ghana, a new social group emerged. People began to notice that some young men in their twenties were enjoying a very luxurious lifestyle: driving expensive cars such as Lexuses and Range Rovers, wearing designer clothing and shoes, drinking champagne, and living in enormous mansions. How were they becoming so wealthy? During this time, Ghana was experiencing an oil boom, but that wealth was concentrated among older elites. The vast population of poor and working-class people have not benefited all that much from oil wealth. Commonly, young men with little education are unemployed, with very little chance of ever escaping poverty. This new class of conspicuously rich young men were not particularly educated or well-connected, but they had discovered a new way to make money. Combining digital media with spiritual techniques, they had invented a new moneymaking scheme called sakawa . A Hausa term meaning “putting inside,” sakawa refers to magically enhanced Internet fraud, mainly targeting foreigners. Before they become sakawa practitioners, these young men are often unemployed, sleeping on the streets, not knowing where their next meal is coming from. Often, they report noticing very stylish and well-fed young people apparently making lots of money by doing something in Internet cafés. Sometimes the scammers actively recruit such targets, teaching them Internet skills to carry out the elaborate schemes. The typical con is pretending to be a woman romantically interested in men from Europe, the United States, or Asia. Another, less common scheme involves using fake documents to persuade foreigners to invest in gold, timber, or oil concessions. Even more important than technological skills are the sophisticated social skills involved in creating strategic online personalities, cultivating trust with foreign White men in faraway places, and knowing just how and when to make requests for money. Many scammers report practicing these techniques for several weeks or months with only modest success, then learning about the “spiritual side” of sakawa. In order to become magnificently wealthy, sakawa practitioners believe it is necessary to become apprenticed to a spiritual leader who can guarantee great success in exchange for performing certain rituals on a regular basis. New apprentices are often instructed to sleep in coffins and anoint their bodies with special medicines. Some are required to have sex with several women each day and deliver their undergarments to the spiritual leader. Some must chew live cockroaches, lizards, or maggots. Ghanaians are horrified by rumors of incest and human sacrifice as scammers are said to perform more and more difficult forms of spiritual service to their masters. Though many refuse to reveal the exact nature of these rituals, numerous sakawa boys report that their efforts to extract money from foreigners suddenly became much more successful after performing them. With sudden windfalls from scamming, sakawa boys often throw epic parties and buy expensive gifts for their friends. In his documentary film Sakawa , Ghanaian filmmaker Ben Asamoah depicts the practices and communities of sakawa in Ghana. A trailer to the documentary film Sakawa by Ben Asamoah can be watched on YouTube . After a time, the thrill of this lifestyle wears off, and sakawa boys come to feel enslaved by the constant ritual demands of their spiritual leaders. If a sakawa boy refuses to perform assigned chores, however, he may break out in a rash, suffer paralysis, or become deaf or mute. Some report that friends have died when attempting to quit sakawa. Sakawa is widely condemned in Ghanaian society. Government officials, journalists, and religious leaders have all spoken out against it, and the police have even arrested and prosecuted some sakawa scammers. Many Ghanaians lament the unbridled celebration of wealth as a marker of social status, arguing that children should be instilled with traditional values of hard work, honesty, and modest living. Sakawa may seem like a shocking and unusual combination of digital media with supernatural beliefs and practices, but at the root of this phenomenon is a set of contradictory beliefs about wealth and power found in many cultures and historical periods. Consider the German legend of Faust, based on a 16th-century German alchemist. According to the legend, Faust, a bored and depressed scholar, makes a pact with the devil through the devil’s emissary, Mephistopheles. The deal is that Mephistopheles will help Faust gain access to all worldly pleasures, including sex, power, and knowledge. In return, Faust will be required to turn his soul over to the devil after several years. Forms of this Faustian bargain have emerged in many other parts of the world, particularly as societies are drawn into new forms of wealth and inequality in the global economy. For instance, anthropologist Michael Taussig (1980) conducted research on beliefs about the devil among people working in the sugar plantations of Colombia and the tin mines of Bolivia. Some wage laborers on sugar plantations were said to enter into contracts with the devil to increase their productivity, helping them make fast money. Most often, they bought flashy clothes and liquor with their newfound wealth but could not establish enduring prosperity. Taussig describes how workers in the Bolivian tin mines created a shrine to the devil to ensure their safety and help them find rich tin deposits. Taussig argues that people in peasant farming societies feel a sense of unease about capitalist forms of work, wealth, and inequality. To agrarian peoples steeped in communal values, it seems unfair that some laborers become wealthy while others work just as hard and fail. And yet, young people are drawn in by the compelling allure of money and commodities associated with labor in the globalized capitalist economy. According to Taussig, this conflicted feeling of unease gives rise to widespread beliefs about serving the devil for temporary gains. Poster for the 1926 film Faust , directed by F. W. Murnau and based on German writer Johann Wolfgang von Goethe’s telling of a German folktale. According to the legend, Faust makes a pact with the devil to gain access to worldly pleasures in return for his soul. As globalization spreads access to wealth and material goods around the world, scholars have observed the spread of stories about people serving the devil for temporary gains. (credit: Metro-Goldwyn-Mayer, UFA/Wikimedia Commons, Public Domain) For some young people around the world, digital media have provided paths to astonishing success and wealth, often through global relations and transactions. While new forms of digital trade and technological innovation may provide some well-educated and well-connected elites with a means of getting rich, the vast majority of young people in both wealthy and poorer countries are largely left out of the opportunities of the digital economy. Sakawa may seem like a disturbing form of digital delinquency to many Ghanaians and foreigners alike, but it dramatizes the widespread sense of unfairness and inequality in Ghanaian society as a whole. The phenomenon of sakawa suggests that disadvantaged groups must combine supernatural forms of power with their computer and social skills in order to get ahead. Hard work alone is never enough. The unfairness of this situation is symbolized by the ultimate doom faced by many sakawa scammers: unable or unwilling to keep up with the demands of their supernatural masters, they fall ill and die. Exploring how forms of media intersect with economic, political, and religious realms as well as gender, ethnicity, and identity, anthropologists take a holistic approach to mass media. Studying photography, news media, broadcasting, and digital media, anthropologists discover the cultural contexts of media production and reception as well as new forms of sociality and transaction. As media technologies become more deeply embedded in people’s lives and instrumental to social relationships and communities, the holistic lens of anthropology is key to understanding the profound sociocultural changes brought about by media innovations. Summary Anthropologists use long-term ethnographic fieldwork and holistic perspectives to study media genres such as photography, film, radio, television, and digital media. In visual anthropology, gaze theory is used to think about the relationship between viewers and the people depicted in photographs, particularly in terms of gender, power, and cultural identity. Anthropologists studying news media focus on the construction of national public spheres of official ideology and political contest. Radio is often used by communities for more participatory and community-based forms of communication. Many anthropologists study how soap operas and other television programs promote forms of ethnicity, gender, and nationalism. Digital media construct entirely new forms of sociality, including illicit shadow forms of impersonation and scamming such as sakawa. Make a Photographic Documentary Create a photographic documentary of a social event, such as a party, meeting, class, or other community gathering. Before the event, make a list of shots necessary to show what’s really going on at the event. What people should you photograph? What actions should be depicted? What is socially significant about the event, and how can you convey that meaning through photos? As you prepare your final product, consider how the photos should be presented. Should they be altered or edited in any way after you take them? How should they be organized? Should they be presented in the order you took them or in some other order? Critical Thinking Questions Suggested Readings Askew, Kelly, and Richard R. Wilk, eds. 2002. The Anthropology of Media: A Reader . Malden, MA: Blackwell. Ginsberg, Faye D., Lila Abu-Lughod, and Brian Larkin, eds. 2002. Media Worlds: Anthropology on New Terrain . Berkeley: University of California Press. Bibliography Abu-Lughod, Lila. 2002. “The Objects of Soap Opera: Egyptian Television and the Cultural Politics of Modernity.” In The Anthropology of Media: A Reader , edited by Kelly Askew and Richard R. Wilk, 376–391. Malden, MA: Blackwell. Anas, Anas Aremeyaw. 2013. “How I Named, Shamed and Jailed.” Filmed February 2013 in Long Beach, CA. TED video, 12:34. https://www.ted.com/talks/anas_aremeyaw_anas_how_i_named_shamed_and_jailed. Arriaga, Eduard, and Andrés Villar, eds. 2021. Afro-Latinx Digital Connections . Gainesville: University of Florida Press. Askew, Kelly, and Richard R. Wilk, eds. 2002 The Anthropology of Media: A Reader . Malden, MA: Blackwell. Buckley, Liam. 2000. “Self and Accessory in Gambian Studio Photography.” Visual Anthropology Review 16 (2): 71–91. https://doi.org/10.1525/var.2000.16.2.71. Fisher, Daniel. 2009. “Mediating Kinship: Country, Family, and Radio in Northern Australia.” Cultural Anthropology 24 (2): 280–312. https://doi.org/10.1111/j.1548-1360.2009.01132.x. Flaherty, Robert, dir. 1922. Nanook of the North . Video, 77:57. https://archive.org/details/nanookOfTheNorth1922. Frost, Randall. 2021. “Printing.” In The Gale Encyclopedia of Science , edited by Katherine H. Nemeh and Jacqueline L. Longe, 6th ed., vol. 6, 3583–3587. Farmington Hills, MI: Gale. Ganti, Tejaswini. 2012. Producing Bollywood: Inside the Contemporary Hindi Film Industry . Durham, NC: Duke University Press. Gershon, Ilana. 2010. The Breakup 2.0: Disconnecting over New Media . Ithaca, NY: Cornell University Press. Ginsburg, Faye D., Lila Abu-Lughod, and Brian Larkin, eds. 2002. Media Worlds: Anthropology on New Terrain . Berkeley: University of California Press. Habermas, Jurgen. 1989. The Structural Transformation of the Public Sphere: An Inquiry into a Category of Bourgeois Society . Translated by Thomas Burger and Frederick Lawrence. Cambridge, MA.: MIT Press. Hasty, Jennifer. 2005. The Press and Political Culture in Ghana . Bloomington: Indiana University Press. Heath, Carla W. 1996. “Children’s Television in Ghana: A Discourse about Modernity.” African Affairs 96 (383): 261–275. https://www.jstor.org/stable/723861. Ito, Mizuko, Sonja Baumer, Matteo Bittanti, Danah Boyd, Rachel Cody, Becky Herr Stephenson, Heather A. Horst et al. 2010. Hanging Out, Messing Around, and Geeking Out: Kids Living and Learning with New Media . Cambridge, MA: MIT Press. Jacknis, Ira. 2020. “Margaret Mead, Gregory Bateson, and Visual Anthropology.” Oxford Bibliographies. Oxford University Press, last modified July 29, 2020. https://doi.org/10.1093/obo/9780199766567-0250. Jenkins, Paul. 1993. “The Earliest Generation of Missionary Photographers in West Africa and the Portrayal of Indigenous People and Culture.” History in Africa 20:89–118. https://www.jstor.org/stable/3171967. Lutz, Catherine A., and Jane L. Collins. 1993. Reading National Geographic . Chicago: University of Chicago Press. Mankekar, Purnima. 1999. Screening Culture, Viewing Politics: An Ethnography of Television, Womanhood, and Nation in Postcolonial India . Durham, NC: Duke University Press. McLuhan, Marshall. 1964. Understanding Media: The Extensions of Man . New York: McGraw-Hill. Mead, Margaret, and Gregory Bateson, dir. 1951. Trance and Dance in Bali . Video, 21:40. https://www.loc.gov/item/mbrs02425201/. Mulvey, Laura. 1975. “Visual Pleasure and Narrative Cinema.” Screen 16 (3): 6–18. https://doi.org/10.1093/screen/16.3.6. Pardue, Derek. 2011. “Place Markers: Tracking Spatiality in Brazilian Hip-Hop and Community Radio.” American Ethnologist 38 (1): 102–113. https://www.jstor.org/stable/41241503. Postill, John. 2006. Media and Nation Building: How the Iban Became Malaysian . New York: Berghahn Books. Pype, Katrien. 2015. “The Heart of Man: Pentecostal Emotive Style in and beyond Kinshasa’s Media World.” In New Media and Religious Transformations in Africa , edited by Rosalind I. J. Hackett and Benjamin F. Soares, 116–136. Bloomington: Indiana University Press. Schäuble, Michaela. 2018. “Visual Anthropology.” In The International Encyclopedia of Anthropology , edited by Hilary Callan. Hoboken, NJ: John Wiley & Sons. https://doi.org/10.1002/9781118924396.wbiea1969. Spitulnik, Debra. 1993. “Anthropology and Mass Media.” Annual Review of Anthropology 22:293–315. https://www.jstor.org/stable/2155850. Spray, Stephanie, and Pacho Velez, dir. 2013. Manakamana . Cambridge, MA: Sensory Ethnography Lab, Harvard University. Video, 118 min. Sreberny, Annabelle, and Gholam Khiabany. 2010. Blogistan: The Internet and Politics in Iran . London: I. B. Tauris. Taussig, Michael T. 1980. The Devil and Commodity Fetishism in South America . Chapel Hill: University of North Carolina Press. Tiffany, Sharon W. 2005. “Contesting the Erotic Zone: Margaret Mead’s Fieldwork Photographs of Samoa.” Pacific Studies 28 (3–4): 19–45. http://ojs-dev.byuh.edu/index.php/pacific/article/view/2120. Faustian bargain the idea that a person can engage in evil supernatural activities in order to gain access to worldly desires such as wealth, sex, and/or knowledge. media ideologies sets of ideas about the uses and functions of a particular genre of media. sakawa magically enhanced Internet fraud, mainly targeting foreigners. sociality participation in social relations; how people construct and maintain their personal and group relationships.", "section": "Digital Media, New Socialities", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction The Colosseum in Rome played a role similar to a professional football stadium today. Here, tens of thousands of Romans gathered to view competitions that not only entertained but also contributed to a sense of belonging and identity. (credit: “Colosseum” by Rennett Stowe/flickr, CC BY 2.0) Think about the last concert or sporting event that you attended, observed on television, or watched on social media. What was the last piece of art that you saw in person, online, or on social media? Did you consider that your experience was likely a culmination of tens of thousands of years of human evolution? Would you consider graffiti on the sides of train cars to be art? Is a pickup game of football in the neighborhood sport? Figure 16.1 depicts a famous structure connected to sport that is now more often viewed as an art object—the Colosseum of Rome. The Colosseum served a role in ancient Roman society similar to an NFL (National Football League) stadium in contemporary American culture. Here gladiators battled animals such as lions and bears for the entertainment of a crowd of tens of thousands made up of all levels of Roman society. As you read about the sociocultural diversity in art, music, and sports highlighted in this chapter, remember the central narrative of anthropology: Human beings have developed flexible biological and social features that have worked together in a wide variety of environmental and historical conditions to produce a diversity of cultures . Art, music, and sports have been and continue to be important elements of every culture on earth, helping to create a sense of collective identity and helping societies to hold together. Art, music, and sports both reflect the sociocultural diversity found around the world and have played roles in effecting cultural change. Art, music, and sports have shaped the evolution of societies, and the evolution of a societies has influenced art, music, and sports in turn. As you read this chapter, consider your own experiences with art, music, and sport. Consider what you are familiar with and what you appreciate. Reflect also on the art, music, and sport in your society that are not particularly interested in or moved by. Where do these preferences come from? To what degree are they individual and to what degree do they reflect connections to your culture and to the subcultures within it?", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Anthropology of the Arts Learning Outcomes By the end of this section, you will be able to: Describe the anthropological approach to understanding art. Provide three examples of material artifacts of art. Identify forms of prehistoric art and describe how anthropologists have interpreted those forms. Provide two examples of purposes that art serves in a society. Define visual anthropology and describe its role in understanding culture. Describe the relationship between visual representation and cultural expression and memory. Provide three examples of body art and describe the cultural meaning of each. The anthropology of the arts can include various approaches to interpreting art forms, including analyses of the symbolic meanings represented, the mediums through which art is disseminated, and even how the art is manufactured. Art is strongly anchored in the human experience. How Do Anthropologists Approach Art? You might be asking yourself, How does art reflect or guide the study of anthropology? The simple answer is that art is created by humans. While definitions of art vary and have historically been narrowly construed to fit within a Western understanding of the term (Morphy and Perkins 2006), a constant element has been the intentional application of imagination, creativity, and skill. Art is created with intent. Art is a representation of the human experience, and anthropologists approach the study of art the same way they do any other aspect of human existence. Anthropologists take a holistic approach to any given topic, situating that topic among the broader context of a culture—its “language, environment, economy, religion, family life, governance and so on” (Plattner 2003, 15). All of these details are implicitly and inextricably embedded in the products of a culture, which cannot be fully understood and appreciated without some awareness of them. This is particularly important in regard to the arts, which rely so heavily on a shared cultural vocabulary. As Stuart Plattner (2003) asserts: Anthropologists think that artistic production . . . should be looked upon, not simply as applied aesthetics, but as an activity embedded in an art world , a complex set of social relationships. . . . It is wrong to focus on the unique art object, and ignore the complex set of human relationships which contributed to its creation. (15) Anthropology lends itself to examining both the how and the why of the arts. Art is studied by anthropologists through methods such as observation, interviews, focus groups, and site assessments. Anthropological study of art includes ethnographic studies as well as inquiries in physical anthropology and archaeology (e.g., Upper Paleolithic cave paintings, Aboriginal rock paintings, etc.). Consider the work that is required to analyze an artistic creation or sporting event through these anthropological techniques. Such work could include unearthing and evaluating artifacts of ancient societies, interviewing theatrical performers, or attending a game or match. The study of art, music, and sports requires the same holistic, wide-ranging approach as do all other anthropological studies. What is art? Who defines it? What is the difference, if any, between a cultural practice and a piece of artwork? These are all valid questions to consider when exploring the arts with the goal of better understanding human cultures. The modern understanding of art began in the 18th century, when the word art shifted from referring to any specialized skill (e.g., art of gardening) to referencing the fine arts (Kristeller 1990). Anthropologists consider that art has historical, economic, and aesthetic dimensions. Consider painters in ancient Roman times, who often had patrons of their work who supported their livelihoods. It could be said that such painters were people of lesser means; however, with a patron’s support, they could earn a wage for expressing their talents. And in aesthetic terms, art provides a representation of what is considered beautiful within a certain cultural context. The subfield of anthropological archaeology has approached the study of arts from its own specific perspectives. Archaeologists cannot observe how an art object was created or used and are unable to ask its creators or consumers the types of ethnographic questions that other cultural anthropologists may rely on. Archaeologists possess specialized knowledge pertaining to the sociohistorical and cultural contexts of early art. Their research on these art pieces provides other anthropologists with a starting point for analyzing older art. It also provides them with a more well-rounded understanding of the functionality and purposes of early art. Material artifacts of art can include many of the things people interact with at home, work, or school. These include artifacts that are the results of various people’s representations of the world, such as the architecture of the building one lives in or a favorite coffee shop. They can also be relics from ancient times, such as weapons, tools, and cave drawings. These relics can be found in the research and reports that art historians, anthropologists and archaeologists use to analyze the symbolic and cultural meaning of art. Iconographic study is the study of the visual images, symbols, or modes of representation collectively associated with a person, cult, or movement. Art is an expressive behavior that encompasses and expresses cultural worldviews, social status and hierarchy, myth, and cosmology. These baskets, created by the Yokuts people of Central California and photographed by Edward Curtis, are one of many types of material artifacts of art that anthropologists rely upon when attempting to understand culture. (credit: “Baskets in the Painted Cave—Yokuts” by Edward S. Curtis/Library of Congress, Public Domain) Studying Prehistoric Art Much of what anthropologists consider prehistoric art consists of artifacts and materials used to facilitate the work necessary to sustain life. It also includes cave paintings created tens of thousands of years ago. Examples of such cave paintings are the Upper Paleolithic cave art dated to 40,000 to 64,000 years ago, which features stenciled figures of animals and artifacts, though not usually humans. These prehistoric cave drawings are located in the Magura cave in Bulgaria. While cave drawings typically focus on large animals such as cave bears, horses, and bison, the drawings in the Magura cave include both humans and animals, and provide information about the solar calendar, religious festivals and other customs. (credit: “Prehistoric drawings in the Magura cave, Bulgaria” by Nk/Wikimedia Commons, Public Domain) This rock art, often called cave art, served as a medium to archive the human experience, tell a story, and depict how prehistoric peoples saw the world around them. Figure 16.3 above demonstrates how someone saw animals that were being hunted—and, unusually for this type of art, the people doing the hunting. These drawings served as a communication tool, historical archive, and artistic representation of a period of time and the human experience of the people who were there. Interpreting Art Visual art can be viewed as important evidence in attempting to understand a culture. Throughout time, visual art has been used to convey the human experiences of a vast range of cultures. This art provides modern anthropologists with valuable perspectives on other cultures and other times that could be hard to gain access to through other means. The image of the Kangxi emperor in Figure 16.4 conveys pride, wealth, and strength, characteristics that this artist connects to the China’s Qing dynasty, depicting the emperor as its representative. This image articulates the successes of this culture at that particular point in history. Detailed analysis of works of art can contribute to the sophistication with which anthropologists understand both individual cultures and the shifting nature of human cultures in general. This painting of a Kangxi emperor is an expression of the wealth and strength of the Qing dynasty. (credit: “Armoured Kangxi Emperor” by Author of Qing Dynasty/Originally from sina.com/Wikimedia Commons, Public Domain) Spiritual Art Other forms of visual art are significant to spiritual and sociocultural practices and beliefs. One example is the mandala, a symbolic diagram consisting of various geometric patterns that represents the universe. Mandalas are a cultural practice in Tibet, India, Nepal, China, Japan, and Indonesia (Tucci [1961] 2001) and can be traced back to the fourth century CE. Typically square or circular in shape, they are used in Hinduism and Buddhism to focus attention during meditation. One significant variation on the mandala is the sand mandala, a beautiful arrangement of colored sand that originated in India and is now a Tibetan Buddhist tradition. Specially trained Buddhist monks create elaborate patterns with the sand, beginning in the middle of the diagram and using concentric circles to work their way to the edge. Once constructed, the sand mandalas are then ritualistically destroyed in recognition of the Buddhist doctrine of impermanence and the transitory nature of existence. Visual Anthropology Visual anthropology is a subfield of anthropology and itself a form of anthropological inquiry. It includes the study of art as represented in photography and film. The field largely arose with the invention of the camera, as anthropologists started to document Indigenous groups of the time on film. Some of the best-known figures in the field of visual anthropology are Edward Curtis , whose images of Native Americans are discussed in detail in Chapter 19: Indigenous Anthropology, and Robert Flaherty , whose 1922 film Nanook of the North is frequently shown in introductory anthropology courses as an early example of documentary filmmaking. While visual anthropology is often confused with ethnographic film, tfilm representations are only a small part of what the subfield encompasses. Visual anthropology is the study of all visual representations produced by human cultures, including dances, plays, and collections of art, from the beginning of time. In recent times, it has become a standard practice to use visual arts to articulate one’s feelings, thoughts, and interpretations of things seen, heard, and witnessed. Many cultures practice visual arts and use them in a variety of scenarios. They may be used to capture a certain mood, a cultural trend, or a historical event. As mentioned above, film and photography played a major role in the development of visual anthropology as a field. Film can be used to capture images of art, such as cave paintings, sculptures from Roman times, or modern-day theater. Further, film itself has become an important form of art. Film provides an artistic representation of the human experience as seen by its directors, performers, editors, and all who contributed to its development. The field of visual anthropology has had a significant impact on how anthropologists look at art. It also has become a driving force in how anthropologists view sociodemographic evolution, or the evolution of human societies with respect to combinations of social and demographic factors. The visual anthropology of art transcends generations, centuries, cultures, and other delineating categorical definitions. Consider Figure 16.5, which depicts tourists in the French Louvre, crowding around and photographing Leonardo da Vinci ’s famous painting the Mona Lisa . This photograph portrays the dimensions and complexity of the anthropology of art. It transcends the time of the Mona Lisa and is itself an expression of the human experience in a more recent time, including how humans relate to visual artifacts from an older time in history. Because of its age, the Mona Lisa image is in the public domain and can be copied and reproduced anywhere. The painting has become the subject of many parodies or memes. A meme is an image, video, piece of text, etc., typically humorous in nature, that is copied and spread rapidly by internet users, often with slight variations. The prolific production of memes of the Mona Lisa has kept the image relevant in society over a long period of time. Read more on the memes that have been created of the Mona Lisa here. Have We Over-Hyped the Mona Lisa? The Mona Lisa is five centuries old and still captures the imagination. (credit: “Mona Lisa” by Bradley Eldridge/Wikimedia Commons, CC BY 2.0) The Appreciation of Art Neuropsychologist Dahlia Zaidel has proposed that people’s appreciation of aesthetics stems from their cognitive and affective processes. This simply means that people are attracted to art on the basis of preexisting conditions and that their interest in art evolves through time as they have new experiences, develop appreciation for new things, and otherwise mature as humans. Appreciation of art is a biological and neurological response. People’s individual perspectives are innately grounded in biology and nature and neurology and nurturing. Think about someone you find attractive and the attributes of theirs that you find beauty in, or consider the last piece of clothing you bought because you liked how it fit, how it looked, or how others appreciated it. Attraction is a response based on a myriad of biological attributes that each individual person possesses and has since birth. These are anchored in laws of attraction. Humanity’s attraction to art is as biologically founded as attraction to other things (Zaidel et al. 2013). Perhaps this is why some people like various types of art from different time periods that depict the human experience. Pottery Traced back to the Neolithic period, pottery is considered one of the oldest inventions of humankind. Pottery is an art form created by many cultures for both aesthetic and functional purposes, including storing and cooking foods, carbonization (the formation of carbon from organic matter), and ritualistic practices. It has long been an important artifact type in archaeology. Pottery is an example of a practical object that also contains features of artistic beauty. One example is the Acoma pottery created by the Pueblo culture. Acoma pottery is functional and was not created purely as what we would now consider to be works of art. However, the pottery itself is a material art. Much can be learned about a culture by analyzing both the functionality of a particular piece or style of pottery and the imagery or stories depicted within its details and designs. Pottery, such as the 20,000-year-old pottery pieces found in ancient China depicted in Figure 16.6, has been crucial to understanding cultural history. The creation of pottery merges human knowledge and experiences, including artistic resources, emerging technological processes, and the needs of a population at a given time (P. M. Rice 2015). These pottery fragments were found in a cave in southern China and have been dated to 20,000 years ago. Pottery is viewed by anthropologists as both functional object and artistic expression. (credit: “Ancient Pottery” by Gary Todd/flickr, Public Domain) Though it serves a functional purpose, pottery throughout history has often been adorned with decoration, color, and other aesthetically attractive features. Decorated pottery is assigned a high value in many cultures, with people paying large sums of money for especially decorative pieces. Body Art Various forms of body art are a foundational form of expression in cultures all over the world. All cultures decorate and modify the human body in some way, whether temporarily or permanently. Anthropological frameworks can be used to understand body art as both a form of visual art and a cultural tradition. Tattooing is a form of body art that has been practiced for thousands of years. Tattoo is a Polynesian term. Polynesian tribes and people used tattoos to establish identity, personality, and status. The Maori, an Indigenous Polynesian people of New Zealand, have traditionally used tattoos as an expression of identity and cultural affiliation. Examples of this can also be found in the Tonga and Samoa warrior cultures, in which specific tattoo designs and placement on the body were used to demonstrate a warrior’s affiliation with a particular group of elite warriors. In the mid-20 th century, American sailors used tattoos to represent personal interests, aspects of their identity, and group affiliation. Such tattoos might include representations of a unit mascot, places individuals have visited, or things they found beauty in. One American sailor tattoos another aboard a ship during World War II. Tattooing is widely practiced by cultures around the world to express both personal and group identity. (credit: “Two sailors aboard the American battleship USS New Jersey in 1944” by Fenno Jacobs. Department of Defense. Department of the Navy. Naval Photographic Center/National Archives and Records Administration/Wikimedia Commons, Public Domain) There is clear evidence of the practice of modifying the body with markings dating as far back as 5,300 to 3,000 years ago (Deter-Wolf et al. 2016; Shishlina, Belkevich, and Usachuk 2013). Such markings are still practiced by some of these same cultures today, such as the Maori people. Ötzi, a naturally mummified man found in the Ötzal Alps whose death has been dated to around 3250 BCE, is the first known tattooed human. His tattoos were of lines and crosses across his body. They are believed to have been made by creating incisions in the skin and rubbing charcoal into the incisions. Tattooing can be a way for individuals to express membership in a larger community. Not only are communities formed around having body art, but some may obtain tattoos as a mark of belonging to a certain community (e.g., tattoos of a cross as a symbol of the Christian faith). Tattoos in recent decades have come to serve many purposes, including memorializing loved ones, expressing aesthetic tastes, depicting personal histories, expressing emotions or feelings, and symbolizing rebellion (Dey and Das 2017). A modified approach to the classic tattoo can be found in the art of scarification. Scarification is the branding, burning, or etching of designs into the skin. Scarification marks often identify someone as being affiliated with subcultures or other groups. The practice is also used to represent individual growth or the growth and development of a group or subset of a society. The patterned scarification visible on the face of this man was formed through the intentional creation and controlled healing of wounds. This image was taken in what was then the Belgian Congo by Christian missionaries in the early twentieth century. Scarification has been used by many cultures to mark group identity. (credit: “Man with Scarification Patterns, Congo, ca. 1900-1915” by Unknown/USC Digital Library/Wikimedia Commons, Public Domain) Makeup has been an expression of visual art since prehistoric times. It is used to enhance beauty, cover up flaws, and represent cultural ideals of what beauty is and should be. It is often a sociocultural delineation of wealth and success. Piercings are used for many of the same reasons and have been found in the earliest of ancient African mummies. They may be seen as an expression of individuality or of identity and affiliation. Another example of body art is body painting . In some cultures, body painting is limited to the face, while others cover their entire bodies. The painting of the whole body is a common practice among Indigenous Australian peoples (Figure 16.9). The purposes of this type of body art include, but are not limited to, subcultural identification and announcements of social status and accomplishments. The painting can be temporary or semipermanent, achieved through various types of paints and stains. Body painting follows uniform patterns and styles in some cultures and is independently driven in others. The specific designs might reveal an individual’s position within their family, membership in a group, social position, tribal identity, and even precise ancestral history (Layton 1989). These Aboriginal Australians have adorned their torsos with traditional body paint utilizing various conventions and motifs. (credit: “Aborigines on Palm Island, Qld - 1930s Perhaps” by Aussie~mobs/flickr, Public Domain) Henna art is another example of body painting. Henna paint is derived from crushed, milled, and sifted henna leaves. It is applied directly on the skin in intricate designs that leave a red or orange stain once the paint is removed. Henna body art is used in various cultures of North Africa, Somalia, Southeast Asia, and the Indian subcontinent to adorn the hands and sometimes the feet of young women on special occasions, such as weddings and religious celebrations such as Eid al-Fitr (Chairunnisa and Solihat 2019). During weddings, women use henna to articulate cultural, familial, and religious affiliations. It is also used to accentuate the beauty of the bride and as a testament to the status of the family she is coming from and of the one she is marrying into. The elaborate patterns on these women’s arms are created using henna paste. After giving the paste time to stain the skin, it is washed away. The arm on the left shows the paste before washing, the arm of the woman on the right shows the color once the paste is removed. (credit: “Henna” by Rovich/500px/Wikimedia Commons, CC BY 3.0) The grooming of hair is also a culturally significant practice in societies throughout the world. The way one styles or displays their hair can symbolize many things, including membership in a religious sect, racial affiliation, and alignment with pop cultural trends. Hair also has been seen as an indicator of social status. From an evolutionary perspective, the quality and amount of hair one has indicates robustness and has contributed to mate selection and group identification. Hairstyles, hair volume, and hair coverings all have contributed to cultural identity and have been viewed as artistic representations of the lived experiences of people in myriad cultures and times. In some traditional Muslim cultures, hair is concealed by headscarves called hijabs. This representation of modesty has become an icon of Middle Eastern tradition and culture. Hairstyles are especially significant in African and African diasporic cultures. Hair played a significant role in ancient African civilizations, used to symbolize familial background, social status, tribal belonging, marital status, and spirituality. Hair-grooming practices, particularly time-intensive practices such as getting one’s hair braided, are often social activities. art the application of human creative skill and imagination to produce works intended to be appreciated primarily for their beauty or emotional power, typically but not exclusively in a visual form such as a painting or sculpture. body painting application of paint to the body iconographic study the study of visual images, symbols, or modes of representation collectively associated with a person, cult, or movement. meme an image, video, piece of text, etc., typically humorous in nature, that is copied and spread rapidly by internet users, often with slight variations. scarification the branding, burning, or etching of designs into the skin. sociodemographic of, relating to, or involving a combination of social and demographic factors. tattooing a form of body art where a mark, symbol, picture or design is placed on the skin. Tattooing has been practiced for thousands of years.", "section": "Anthropology of the Arts", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Anthropology of Music Learning Outcomes By the end of this section, you will be able to: Define ethnomusicology. Describe evidence of musical instruments in prehistory. Articulate the importance of sociocultural context to the understanding of music. Describe how music can form the basis of subculture and community. Evaluate the potential of music to impact processes of social change. Describe how cultural appropriation of music is related to social inequality and power. Music Music is found in wide-ranging settings and format, including chants, musicals, live performances, recorded performances, and spiritual rituals. In prehistoric times, music was used to communicate, to tell the stories of people and express important elements of cultures. Music articulates the human experience, focusing on what people want to remember about their history and what they desire for the future. It has been used to heal, to demonstrate power, and to archive the experiences of people. Present-day music is an extension and an evolution of the music that has come before. It is a medium that represents the depths of time, culture, and history. Prehistoric musical instruments, called music artifacts in anthropology, include woodwinds and percussion instruments of ancient nomadic tribes. These instruments began as rudimentary music artifacts and evolved into more sophisticated technological equipment invented and formed for the exclusive purpose of creating music. Ethnomusicology Someone who studies music from a global perspective, as a social practice, and through ethnographic field work is called an ethnomusicologist. The Society for Ethnomusicology defines ethnomusicology as “the study of music in its social and cultural contexts” (n.d.). Ethnomusicology is complex, requiring the work of many scientific disciplines. It requires study of many geographic areas, with a focus on the social practice of music and the human experience. Ethnomusicology is interdisciplinary, with a close relation to cultural anthropology. It is sometimes described as a historical research approach to understanding the cultures of people through their music. One well-known ethnomusicologist was Frances Densmore , who focused on the study of Native American music and culture. Frances Densmore was an American anthropologist and ethnographer. This image from 1916 shows her with Blackfoot chief, Mountain Chief. During this session, Mountain Chief listened to a song Densmore had recorded and interpreted it for her in Plains Indian Sign Language. (credit: “Piegan Indian, Mountain Chief, Listening to Recording with Ethnologist Frances Densmore” by National Photo Company/Library of Congress, Public Domain) Musical Instruments in Prehistory The field of ethnomusicology focuses on all aspects of music, including its genre, its message, the artist(s) who created it, and the instruments they used to do so. Have you ever considered why a particular musical instrument was created? Who made it? Why did they make it? What did they want it to do? How was it used? How did they dream up the design? Emily Brown (2005), formerly of the US National Park Service, studied the development of musical instruments in Ancestral Puebloan sites. Her study yielded insights into the types of instruments created. These included percussion and woodwind flutes that were used to create music culturally centric to the Puebloan people. Her study also yielded great insight into the structural hierarchy of those entrusted to manufacture music-making instruments. Not too dissimilar to today’s trade apprenticeships and master programs found in construction, Ancestral Puebloan people established a system of passing down the construction techniques central to creating musical instruments, ensuring that the knowledge would be carried on by future generations. Brown’s study connected music instruments to politics, music, social status, and social experiences. The Structure and Function of Music in Different Societies Music is grounded in the human experience. It is a theatrical expression of its creator’s thoughts and perceptions. The structure of music has evolved along with the experiences of the humans who created it. Examples of this can be found in the early 1800s hymns of Choctaw tribes. These hymns provide an artistic expression of traumatic experiences, referring to a time when the Choctaw people were removed from their homelands and relocated to reservation lands by the US government. They speak of both individual and collective experiences as these peoples made the arduous journey to their new locations. The songs speak about broken promises, the journey, and the fate of their people. This trading card, published by the National Parks Service, commemorates the forced journey of the Choctaw people to reservation lands, commonly known as the Trail of Tears. The Choctaw people have commemorated this same journey in hymns. (credit: “Trail of Tears for the Creek People” by TradingCardsNPS/flickr, CC BY 2.0) For enslaved people, music was a mechanism of emotional escape from difficult situations as well as a means of communicating with those speaking different languages during the Middle Passage, the journey from Africa to locations of forced labor. One of the most iconic spirituals, or songs for survival, is “Go Down Moses.” Harriet Tubman , the legendary Underground Railroad conductor, said that she used this spiritual as a way to signal to those who were enslaved in the area who she wanted to help escape to freedom (Bradford [1886] 1995). The song ostensibly speaks about the experience of the Israelites enslaved by the Egyptians in ancient times. For enslaved Black people in America, the song spoke directly to their own longing for freedom. The chorus of “Go Down Moses” is as follows: Go down, Moses, Way down in Egypt’s land. Tell ol’ Pharaoh, Let my people go. Thus saith the Lord, bold Moses said, Let my people go, If not, I’ll smite your firstborn dead, Let my people go. Listen to this song on the Library of Congress website . Numerous populations have utilized music as a means of resistance. During the civil rights movement of the 20th century, Black artists such as Nina Simone , Aretha Franklin , and Sam Cooke used their music as a way to challenge structural inequity. Aretha Franklin, a Black singer, songwriter, and pianist, wrote and performed music anchored in the Black church that came to represent Black American culture. She achieved national and international fame for her rich voice and heartfelt performances, and she was able to use her artistic talents to bring a message of both hope and resistance to her audience. Her songs spoke to both where people were and where they wanted to be. Sam Cooke was an American singer who was given the nickname “King of Soul” by his fans and those in the music industry. Like many, he started out singing in church, but eventually his music and passion evolved to secular music. He is credited with having significant influence on the civil rights movement, and his music often explored themes of oppression and fighting for a cause. The music of his first band, Soul Stirrers, focused on stirring the listener’s soul to engage in the movement for racial equality. Sam Cooke’s performance outfit and instruments are on display in the Rock and Roll Hall of Fame in Cleveland, Ohio. The music of Sam Cooke had considerable influence on the Civil Rights movement. (credit: “Sam Cooke’s Outfit” by Steven Miller/flickr, CC BY 2.0) Perhaps no artist in recent times is better known for using music as a catalyst for social change than Bob Dylan . Dylan was a 1960s-era musical artist who spoke to many cultures and generations about injustice and the need for inclusion and change. His 1964 song “The Times They Are a-Changin’” urged politicians and voters to support the civil rights movement. He was also well known for his opposition to the Vietnam War. His music may have very well changed the course of history, given his influence on his fans’ thoughts, perspectives, and attitudes toward inclusion (Ray 2017). American musician and songwriter Bob Dylan popularized many protest songs, including 1964’s “The Times They Are a-Changin’.” (credit: “Bob Dylan” by F. Antolín Hernández/flickr, CC BY 2.0) Zora Neale Hurston 1861–1960 In this image, Zora Neale Hurston exuberantly plays a traditional drum. (credit: “Zora Hurston, Half-Length Portrait, Standing, Facing Slightly Left, Beating the Hountar, or Mama Drum” by New York World-Telegram & Sun staff photographer/Library of Congress, Public Domain) Personal History: Zora Neale Hurston was a Black American anthropologist, author, and filmmaker. She was born in Notasulga, Alabama, to a sharecropper turned carpenter and a former schoolteacher. All of her grandparents were born enslaved. Hurston moved to Eatonville, Florida, an all-Black town, in 1892, at the age of two. She often referenced Eatonville as her home, as she had no recollection of her time in Alabama. She lived in Eatonville until 1904, when her mother passed. At the time, Eatonville was a well-established Black community with a booming economy. According to multiple accounts, Hurston was never indoctrinated into feeling racial inferiority. While she was a resident, her father was elected mayor of the town. All the shop owners and government officials were also Black American elites. In adulthood, Huston often used Eatonville as the setting of her stories. Huston left Eatonville due to a poor relationship with her stepmother. She enrolled in classes at Morgan College in Maryland, lying about her age of 26 to be eligible for a free high school education. She graduated in 1918 and attended Howard University, a historically Black university in Washington, DC, before transferring to Barnard College at Columbia University. At Barnard, Hurston studied under Franz Boas as an undergraduate and graduate student. She also worked with other foundational anthropologists, including Ruth Benedict and Margaret Mead . Area of Anthropology: In addition to her time in academia, Hurston was a central figure in the Harlem Renaissance as a literary artist, working closely with Langston Hughes , among other writers. She was a pivotal literary artist whose work directly reflected the trials, tribulations, and successes of Black American communities and subsocieties that were often overlooked or exoticized (Jones 2009). Hurston was a cultural anthropologist who was passionate about southern American and Caribbean cultural practices. She spent significant time in these geographical areas, immersing herself in the diverse cultures of Black people in the American South and the Caribbean. Accomplishments in the Field: One of Hurston’s most notable anthropological works is Mules and Men (1935), based on ethnographic research she conducted in lumber camps in north Florida. One focus of this work was the power dynamics between the White men who were in charge and the Black women laborers, some of whom the men took as concubines. In addition to this work, Hurston studied Black American song traditions and their relationship to the music of enslavement and to the musical traditions of pre–Middle Passage Africans. Importance of Her Work: Hurston not only studied human society and culture as an anthropologist but was also an active participant in the arts. She was a central figure in the Harlem Renaissance, which was a flowering of Black culture centered in the Harlem neighborhood of New York City. Her most popular novel is Their Eyes Were Watching God (1937; Carby 2008). Her specific anthropological and ethnographic research focus areas were Black American and Caribbean folklore. She also worked for the Federal Writer’s Project, part of the Works Progress Administration, as a writer and folklorist. Hurston is now an iconic figure for the Association of Black Anthropologists and several Black anthropological studies journals. The Importance of Sociocultural Context in Understanding Music Ethnomusicologist Patricia Campbell (2011) proposes that children’s perspectives on musical interests are derived from their family, community, and environment. How did you learn about music you liked? What did your parents listen to, and what do you listen to? While you may have learned about and grown to like other music as you aged, your appreciation for music is founded in the sociocultural environment that you were raised in. Imagine growing up in a family that only listened to Bansuri bamboo flute music. Would you even know, for example, what rap music is? Music as a Basis for Subculture and Community The affiliation of music with identity became a common topic of inquiry in ethnomusicology in the 1980s, perhaps prompted by the music subcultures of the 1970s that arose among groups of people who did not identify with mainstream norms, values, or ideals. Among the music subcultures that emerged during that time was the punk subculture (Moran 2010). Though it was often seen as no more than youthful rebellion, the punk subculture formed its own community, values, and ideals founded in a do-it-yourself, or DIY, ethos. This can be found in the lyrics, music, and performances of punk groups such as the Ramones and the Clash , as well as more recent pop-influenced groups such as Green Day and Blink-182 . The lyrics tell stories of needing to break from common ideals and values in order to think and do for oneself. The rock band Green Day is one of many musical groups connected to specific subcultures in contemporary culture. (credit: “Green Day Concert Stage (Montreal) - Green Day Is Ever Green” by Anirudh Koul/flickr, CC BY 2.0) Cultural Appropriation Cultural practices important to communities are often integrated into the fabric of each person’s identity. Cultural appropriation is defined as the improper or disrespectful use of a meaningful element of a culture or identity outside of its intended cultural context by someone who is not a part of that culture or identity (Young 2008). The act of cultural appropriation by dominant cultures threatens to erase remaining parts of a culture that may already be jeopardized. Cultural appropriation is tied to social inequity in that it involves a socially dominant group using the culture of a marginalized group for exploitative or capitalist gain. The cultural significance of the appropriated elements is lost. While the act of cultural appropriation is centuries old, there has been a renewed call from marginalized communities in recent years to understand how and why this practice is harmful. Wesley Morris (2019) wrote an article for the New York Times ’ 1619 Project regarding the mass appropriation of Black music. Morris noted instances of appropriation by artists such as Steely Dan , Eminem , and Amy Winehouse , all White American or British music superstars. Musical appropriation is the use of one genre’s musical contributions in other music that is not of the same genre, style, or culture. The power of Black music to articulate the history, struggles, and marginalization of Black people has appealed to other social groups as well, many of them drawn to the ability of this music to communicate its message with clarity and boldness. Morris also discusses how, more recently, the appropriation of Black lyrics, songs, and musical presentation styles has become a method of addressing the need for integration and integrated culture. This can be seen in Black artist Lil Nas X ’s 2019 remix of his hit song “Old Town Road,” for which he teamed up with White country musician Billy Ray Cyrus to perform a duet. The song itself is a blending of cultures, musical and racial, and offers a social contribution to evolving efforts at inclusion. cultural appropriation the adoption, usually without acknowledgment, of cultural identity markers from subcultures or minority communities into mainstream culture by people with a relatively privileged status.", "section": "Anthropology of Music", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "An Anthropological View of Sport throughout Time Learning Outcomes By the end of this section, you will be able to: Describe the anthropology of sports. Explain how sports are a form of performance. Identify the role that sports can play for young people. Sports are also deeply intertwined with the human experience. The anthropology of sports is a rapidly developing field that includes specialties such as physiological anthropology and human growth and development. Sports can be quite diverse; picture a Roman gladiator, a modern-day European football (soccer) player, and an ancient or recent Olympic competitor. Another example of a sport is Trobriand cricket, a bat-and-ball game played by Trobriand Islanders that had evolved considerably since its introduction by Christian missionaries at the turn of the 20th century. Sports are expressions of passions and reflections of the human experience. They have been practiced by many cultures throughout time and across the globe. This section will specifically focus on how sports have impacted human culture and how human culture has impacted sports in turn. It will consider the historical foundation of the culture of sports and briefly analyze the way people interact with sports today, examining how human culture and societal practices are influenced by not only individual athletes but also social structures. The Anthropology of Sports Anthropologists understand sports as a cultural performance. The term performance can describe a plethora of actions, including any that are artful, active, or competitive—and sometimes some combination of all of these. Anthropologist Ajeet Jaiswal (2019) describes the anthropology of sports as the study of human growth and development. If one conceives of sports as a sort of performance, one also sees that each performance is unique to the performer. Each athlete, even the most impressive and seemingly unique, is a part of a larger performance. Consider your favorite sport or athletic competition. How long has it been in existence? Does it have roots in ancient times? Often, athletes and sports personalities—from Roman gladiators to more recent English footballers, American basketball players, and Olympic athletes—are considered singularly talented at their respective sports; however, without the broader cultural context that has cultivated gymnastics, tennis, soccer, and basketball, these talents would have no stage on which to perform. Anthropologists who study sports do so within a larger context of sports and society. Interests of anthropologists researching sports might include archaeological research related to sports tools, cultural anthropological research pertaining to how humans interact with sports, or even biological/physical anthropological research on biological maturation or physical growth (Damo, Oliven, and Guedes 2008). A Roman bronze reproduction of Discobolus , by the ancient Greek sculptor Myron. Throwing the discus, still an event in contemporary track and field meets, has been traced back to the original Olympic Games in Ancient Greece. (credit: “Myron (fl c 460-440 BC) - Diskobolus (Discus Thrower), Plaster Replica with Broken Left Hand, Right, Ashmolean Museum, Oxford, May 2013” by ketrin1407/flickr, CC BY 2.0) Sports artifacts such as the weapons of gladiators and tools used in old and recent Olympic sports have offered significant contributions to the anthropology of material art. Picture your favorite sport. It likely involves a specific tool that is a representation of that sport. Notable examples of such tools and artifacts include the lacrosse sticks of the Iroquois, hammers from the oldest Olympic hammer-throw competitions, and the modern-day American football uniform, which is designed for safety and decorated to represent affiliation, professionalism, and individual athletes. Sports have also offered theatrical performances since ancient times. Picture the gladiators of ancient Rome entertaining the wealthy who could afford the best seats or wealthy English footballers entertaining those who are likely less wealthy. The status reversal of sports entertainers and audiences in modern-day sports represents the dichotomous nature of social status and is just one of many examples of cultural change throughout time. The Evolution of Sports For most of documented human history, sports have been a significant part of the human experience for both audience and participants. Archaeological artifacts pertaining to sports, including colosseums, weapons, and artistic representations of competition, have been traced back to as early as 2000 BCE in China. These ancient sports featured competitions that tested the strength, stamina, and techniques of performers, such as footraces and physical fights. Today, many nations around the world participate in a version of the Olympic Games that were popular in the ancient Greek village of Olympia. Early events included a marathon run and wrestling. The Olympics were revived in the late 19th century, with the first modern games occurring in 1896 in Athens, Greece. Though rules and regulation may have been less stringent and defined in the sports of previous centuries, competition as entertainment has existed for millennia. These professional lacrosse players are take part in a game that originated with the Indigenous people of what is now Canada. (credit: “Tailgate Bayhawks Game Navy Marine Corps Memorial Stadium” by Maryland GovPics/flickr, CC BY 2.0) Sports can provide much more than mere entertainment to people and societies. Today, when thinking about modern sports, a person may think of professional athletes such as National Basketball Association (NBA) star Kobe Bryant or National Football League (NFL) great Walter Payton . In early competitions, the wealthy attended sporting events in which the athletes were typically not wealthy or privileged. In modern times, the commercialization of sports has largely reversed this trend, with “common” people attending sporting events to watch wealthy athletes compete. The business of sports has created opportunities for financial and cultural success for people with exceptional athletic abilities. The success of athletes such as Kobe Bryant created opportunities for other athletes, paving the way for the success of people who may not have otherwise thought it possible to experience the fame, notoriety, and financial success of a modern athlete (Chacko 2020). Ed Smith was a running back in college and the NFL in the 1930s. As homage to his skill, he was asked to model for the Heisman Trophy, which has immortalized the now iconic “stiff arm” pose he took. (credit: “A Quick Stop to See the First Ever Heisman Trophy Statue @UChicago” by Cole Camplese/flickr, CC BY 2.0) Youth Sports Recreational sports for youth are common in various cultures. This can be especially important in marginalized communities, where youth sports are often viewed as deterrents from (or alternatives to) potentially dangerous activities or preventive structures that support youth development and community by focusing on positive actions that reduce adverse social behaviors. Youth sports programs are often community-building initiatives. One such initiative is the NFL’s Play 60 program, which challenges NFL football players to engage in activities with underrepresented communities, encouraging kids of all skill levels to come together to play sports. Among Indigenous Americans, an aggressive style of basketball called reservation ball, or rezball for short, is prominent in reservation communities. Rezball is different from traditional basketball, as the techniques used encourage relentlessly aggressive play and quick shooting. For youth on reservations, this may be one of a limited number of recreation opportunities. Rezball is documented in the Netflix docuseries Basketball or Nothing and a 2009 ESPN story about the role of rezball in the culture of Native American children. performance a musical, dramatic, or other form of entertainment presented before an audience. rezball short for reservation ball, a style of basketball played in Native American reservation communities.", "section": "An Anthropological View of Sport throughout Time", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Anthropology, Representation, and Performance Learning Outcomes By the end of this section, you will be able to: Identify how cultural identities, norms, values, and social structures are represented in art, music, and sports. Describe how art, music, and sports can function as means of resistance to dominant sociocultural forms and processes. Art, music, and sports all articulate the experiences of people. One of these experiences might be resistance or rebellion. Whether it is a piece of art depicting a revolution, a rap song challenging the establishment, or a protest at a sporting event on a global stage, expression of the need for change are common in contemporary culture. This section will explore cultural identities; the use of art, music, and sports as resistance; and the representations created by each specialization. Cultural Identities Think about sporting team uniforms or a clothing style worn by members of a musical group. Each outfit on its own may not be distinct or significant, but when worn by a group of athletes or musicians and their fans, they become a source of identity. Since prehistoric times, art, music, and sports have been a source of cultural identity. Arts and sports have been intertwined with several human rights movements and the push for diversity, equity, and inclusion. Music has been a means of coded language for escape. Sports have long been a platform for cultural identity and has presented opportunities for cultural evolution and resistance. The Olympics are just one example of a sporting event that is linked deeply with national identity and nation pride. The opening ceremonies of the Olympic games are celebrations of national identity and nation pride. (credit: “The team of Chile at the opening ceremony of the 1912 Summer Olympics” by photographer of IOC/Official Olympic Report/Wikimedia Commons, Public Domain) Art as Resistance Art is often used as an act of resistance. Graffiti and hip-hop are two forms of artistic expression that have been viewed as acts of resistance in modern times. The practice of graffiti as it is known today is reminiscent of ancient cave painting, as both are drawings, depictions, and writings on a wall. Ancient graffiti can help archaeologists understand general levels of literacy among a population of people or provide linguistic anthropologists with insight into the development of language through time. While writings on walls is an ancient practice, graffiti became a popular form of cultural expression in Western countries in the 1960s. Modern graffiti is often performed in public view, as it is intended to make a statement. Today, during most political uprisings, researchers are able to easily find graffiti expressing views that inform and shape the political movement. Although many appreciate the communicative and artistic qualities of graffiti, others view it as visual pollution, and graffiti continues to be met with opposition. One of the most iconic modern graffiti artists is Banksy, whose art is depicted in Figure 16.24. Banksy is the pseudonym of an English street artist who has been active for more than three decades (Ellsworth-Jones 2013). His identity remains unconfirmed. His work began to appear in the early 1990s in Bristol, England, and can now be found in cities around the world, including London, New York, and Paris. Based on reports from those who have secured interviews with him, Banksy views his art as an act of rebellion. He was often in trouble as a teenager, which is when he first began exploring art. His art typically responds to social or cultural issues. One example is his series in New Orleans, Louisiana, which critiqued the government response to Hurricane Katrina in 2005. This mural by graffiti artist Banksy references both the Grim Reaper and the yellow “smiley face.” (credit: “Banksy - Grin Reaper With Tag” by Szater/Wikimedia Commons, Public Domain) Music as Resistance Hip-hop is a form of music that has consistently served as a means of protesting injustice toward people of color. From its inception in the 1970s at neighborhood block parties, hip-hop has rapidly spread worldwide to influence various cultures, transitioning from the margins of American culture to a central element of global pop culture. The culture of hip-hop offers possibilities for rich anthropological exploration, including linguistics factors, performance, music, and lyricism. The messages expressed by hip-hop often include complex social commentaries. With increased representation has come increased acceptance of hip-hop as a respected art form. In 2018, rap artist Kendrick Lamar was awarded a Pulitzer Prize for his album DAMN. and lauded by former president Barack Obama (Hubbard 2019). His fourth album release, DAMN. demonstrated why some call him one of the most influential rappers of his time. Perhaps better known is Public Enemy, the mid-1980s rap group created by Chuck D and Flavor Flav . The group’s lyrics often cite their political beliefs and deep-seated opinions about American racism and the American media. The evolution of hip-hop can be observed in many countries and societies. In the 1980s, it first began appearing in Japan and the Middle East. In Japan, it is thought to have begun with Hiroshi Fujiwara , who had an appreciation for old-school hip-hop and began to play it publicly. In the Middle East, some call it Arab rap or Arabic hip-hop. Heavily influenced by Western culture, these artistic representations demonstrate the vast and culturally diverse adoption of hip-hop as art and expression. Klash , the Muslim rapper shown in Figure 16.25, is well known in Middle Eastern cultures for telling the story of Muslim people through his artistry. Rap is not a subculture but a media and method for telling a story and at times expressing the resistance of a group of people. Muslim rapper Klash with fellow rap artist Loon. From its origins in American inner cities, rap has spread around the globe. (credit: “klash with loon in jeddah city” by Ahmed550055/Wikimedia Commons, Public Domain) Even more recently, Native American hip-hop has been a medium for Native Americans to tell their story and preserve the history of their peoples. Founded in American rap and hip-hop culture, this new form of expression has been embraced by rappers throughout Native American communities. It has been used to tell stories, explain history, and even encourage political activism on social issues. Sports as Resistance Throughout time, sports have been a global focal point for resistance. The Olympics have repeatedly been a site of global resistance and a setting for challenging societal norms and expectations. In Figure 16.26, Black American athletes Tommie Smith and John Carlos , gold and bronze medalists respectively, are depicted raising black-gloved fists during their medal ceremony as the US national anthem plays (Smith 2011). This gesture became known as the 1968 Olympics Black Power salute. Smith later described his raised, black-gloved fist as a symbol of support for all those who are and have been oppressed. Smith and Carlos made their demonstration in response to human rights violations perpetuated in the United States. Another example of resistance was seen four years later, when Jackie Robinson , the first Black player in Major League Baseball, wrote in his autobiography, recalling the opening game of his first World Series championship: “As I write this twenty years later, I cannot stand and sing the anthem. I cannot salute the flag; I know that I am a black man in a white world” (Robinson [1972] 1995, xxiv). When Tommie Smith and John Carlos raised black-gloved fists at their Olympic medal ceremonies in 1968, they publicly expressed support for oppressed people and resistance to a culture viewed as perpetuating that oppression. (credit: “IMGP7613-olympics-mural” by Rae Allen/flickr, CC BY 2.0) For many, a more familiar act of protest is likely NFL player Colin Kaepernick ’s kneeling during the singing of the nation anthem in 2016 following the shooting deaths of Black men Michael Brown , Alton Sterling , and Philando Castille at the hands of police officers (Lief 2019). In 2016, approximately 68 percent of all NFL players were Black (Gertz 2017). Kaepernick continued to kneel during the anthem for the remainder of the season. His gesture was a symbol of support for the Black Lives Matter movement, which seeks to end police brutality against Black people and other forms of racially motivated violence in the United States. Initially, feedback regarding Kaepernick’s gesture within the sports world was negative. However, following the death of George Floyd in 2020, there has been an increased interest in understanding systemic oppression. This had led to initiatives by organizations such as the NFL, Black Lives Matter, and others to support inclusion and open dialogues about racism. Throughout the seasons following Kaepernick’s initial act of kneeling, it became common practice in the world of professional sports for athletes to kneel in solidarity. This included Black players and some White players. The 2016 Olympics in Rio de Janeiro were a demonstration of social stratification. Media coverage of the 2016 Rio Olympics reported on the less-than-acceptable environmental, safety, and health conditions. Athletes from more developed nations openly criticized the unsanitary and inhospitable conditions of the housing and training facilities, which included unpotable water sources, trash in commons areas, and dirty and unsanitary dormitories. While some protested silently, others used their global notoriety to publicly protest the conditions. The images and stories provided from Rio by journalists and mainstream media sources showed garbage-ridden streets, unsanitary rooms and facilities, and irreparably damaged buildings. For Rio, the Olympics were supposed to be a pinnacle of national pride and a positive contribution to the global stage. For many who attended, the event proved to be far less than the Olympic image depicted in popular imagination. Integral Features Art, music, and sports can themselves be forms of resistance and at the same time can display evidence of historical resistance. A protest, a cultural statement, the overthrow of a regime—all can be found in, and at times have even been started by, works of art, music, and sports. From the ancient Romans to professional American football players, people have used these mediums to fight for their causes and to ensure that the histories of their plights are recorded in the archives of time. Art, music, and sports have told the stories of people since prehistoric times. Ingrained in the human experience, these mediums have been used to establish cultural and national identity. The images in art, the words of song, and the traditions of sport have had significant impacts on established norms and senses of personal and group identity. These aspects of the human condition are so foundational that each has been used as a form of resistance. Art, music, and sports have each contributed to the development of people and societies in important ways, and can each reveal important aspects of both past and current cultures. A Study of Ethnomusicology Music is one of the most expressive and diverse forms of art. For this activity, do the following: Review ethnomusicological study techniques. Conduct your own ethnomusicological fieldwork. This can be done by interacting with musicians, attending a music event virtually or in person, or interviewing audience members at a musical performance. Interview both musicians and audience members about the meaning of the music. What did they hear? How did it make them feel? What did it make them want to do? Record the results of your interviews. Additionally, record your own response to the music. What did you hear? How did it make you feel? What does it make you want to do? Collect the information and write a 3–5-page comparative reflection paper on what you learned from your interviews and how they compare and contrast to your own experience and discoveries. All music-making activities are appropriate, whether a formal or informal concert, a street performance, or gospel singing in church. You should maintain a field journal to record data, observations, and analysis. Research and Literature Review Activity Pick two (2) different examples of visual art, from the same time period but different socioeconomic microcultures, to compare and contrast. Write a 3–5-page summary paper in which you do the following: Identify people and/or studies that have reported on anthropological finds relevant to the images you selected. Describe the evolution of the art form you are analyzing from an early time. Explain how the anthropological studies you cite compare with other anthropological study approaches. Address how the art studied is an evolutionary example of the human experience. Evaluate what you perceive to be the future of the art as it continues to develop and evolve in future generations. Summary Art, music, and sports are deeply intertwined with the human experience. Anthropology offers the space to examine art, music, and sports through a cultural lens in order to study the ways in which they exist within sociocultural frameworks. The anthropology of the arts is a subfield of cultural anthropology that explores the arts in a broader context within and between different cultural settings. Anthropologists study art differently than other social scientist, relying on data collection through direct, personal, in-depth observations of lived experiences and interactions. Art is expressed through a variety of formats, including music, visual art, literary art, and body art. Anthropology explores the various cultural manifestations of humanity. All cultures decorate and modify the human body in some way, whether temporarily or permanently. Body art can be spiritual, cultural, or aesthetic. This includes tattooing, body paint, and hairstyling. Ethnomusicology is a subfield of cultural anthropology that examines the music of different cultures and the people who make it, as well as the intended audience of the music. The interdisciplinary nature of ethnomusicology speaks to diverse approaches to studying the anthropology of music. Music as an art form expresses a wide array of perspectives and experiences. Sports are a form of performance, and each participant performs within a broader cultural context. Anthropologists of sport are interested in studying sports within the context of society. Sports culture has resulted in cultural phenomena based on the popularity of athletes. Sports also serve as an escape for many populations with limited choices in recreational activities. Critical Thinking Questions Resources Basketball or Nothing . 2019. Philadelphia: WorkShop Content Studios. Netflix, 6 episodes. Rice, Timothy. 2014. Ethnomusicology: A Very Short Introduction . New York: Oxford University Press. Stone, Ruth M. Theory for Ethnomusicology . 2008. Upper Saddle River, NJ: Pearson. Bibliography Boyd, Valerie. 2003. Wrapped in Rainbows: The Life of Zora Neale Hurston . New York: Scribner. Bradford, Sarah H. (1886) 1995. Harriet, the Moses of Her People . Chapel Hill: University of North Carolina at Chapel Hill. https://docsouth.unc.edu/neh/harriet/harriet.html. Brown, Emily J. 2005. “Instruments of Power: Musical Performance in Rituals of the Ancestral Puebloans of the American Southwest.” PhD diss., Columbia University. ProQuest (AAT 3159726). Calhoun, Craig, ed. 2002. Dictionary of the Social Sciences . S.v. “salvage ethnography.” New York: Oxford University Press. Campbell, Patricia Shehan. 2011. “Musical Enculturation: Sociocultural Influences and Meanings of Children’s Experiences in and through Music.” In A Cultural Psychology of Music Education , edited by Margaret S. Barrett, 61–81. New York: Oxford University Press. Carby, Hazel V. 2008. “The Politics of Fiction, Anthropology, and the Folk: Zora Neale Hurston.” In Zora Neale Hurston’s Their Eyes were Watching God, edited by Harold Bloom, new ed., 23–40. New York: Infobase Publishing. Cardona, Nina. 2015. “Bob Dylan Was a Catalyst, but the Nashville Cats Were the Ones Who Changed Music Row.” WPLN News. Nashville Public Radio, June 19, 2015. https://wpln.org/post/bob-dylan-was-a-catalyst-but-the-nashville-cats-were-the-ones-who-changed-music-row/. Chacko, Diya. 2020. “The Legacy of ‘Kobe!’ Jump Shots Lives On through Fans.” Los Angeles Times , January 27, 2020. https://www.latimes.com/sports/lakers/story/2020-01-27/kobe-bryant-jump-shots-legacy. Chairunnisa, Baiq Clara Dita, and Ade Solihat. 2019. “Henna Art in Global Era: From Traditional to Popular Culture.” In Joint Proceedings of the International Conference on Social Science and Character Educations (ICoSSCE 2018) and International Conference on Social Studies, Moral, and Character Education (ICSMC 2018) , edited by Amika Wardana, Aman, and Alifi Nur Prasetia Nugroho, 220–225. Amsterdam: Atlantis Press. https://www.atlantis-press.com/article/125910003. Damo, Arlei Sander, Ruben George Oliven, and Simoni Lahud Guedes. 2008. “Sports: An Anthropological Perspective.” Translated by Letícia Maria Costa da Nóbrega Cesarino. Horizontes Antropológicos 4 (Selected Edition). http://socialsciences.scielo.org/scielo.php?script=sci_arttext&pid=S0104-71832008000100002. Deter-Wolf, Aaron, Benoît Robitaille, Lars Krutak, and Sébastien Galliot. 2016. “The World’s Oldest Tattoos.” Journal of Archaeological Science: Reports 5:19–24. https://doi.org/10.1016/j.jasrep.2015.11.007. Dey, Archita, and Kaustav Das. 2017. “Why We Tattoo? Exploring the Motivation and Meaning.” Anthropology 5 (1). https://www.longdom.org/abstract/why-we-tattoo-exploring-the-motivation-and-meaning-36072.html. Ellsworth-Jones, Will. 2013. “The Story behind Banksy.” Smithsonian , February 2013. https://www.smithsonianmag.com/arts-culture/the-story-behind-banksy-4310304/. Flax, Peter. 2019. “How Rez Ball Is Transforming the Health and Fitness of a Whole Community.” Men’s Health , October 31, 2019. https://www.menshealth.com/fitness/a29614983/rezball-indian-reservation-basketball/. Gertz, Michael. 2017. “NFL Census 2016.” ProFootballLogic. April 19, 2017. http://www.profootballlogic.com/articles/nfl-census-2016/. Hoover, Joanne Sheehy. 2020. “Making Prehistoric Music: Musical Instruments from Ancestral Puebloan Sites.” NPS.gov. National Park Service, last updated April 9, 2020. https://www.nps.gov/articles/musical-instruments-from-ancestral-puebloan-sites.htm. Hubbard, Henry. 2019. “‘Pulitzer Kenny’ and the Culture of Classical Music: A Study of Cultural Prizes, Controversy, and a Capital-Based Alternative to Musical Value.” PhD diss., Johns Hopkins University. Jaiswal, Ajeet. 2019. “Anthropology and Sports.” International Journal of Research in Sociology and Anthropology 5 (3): 29–30. https://doi.org/10.20431/2454-8677.0503004. Jones, Sharon L. 2009. Critical Companion to Zora Neale Hurston: A Literary Reference to Her Life and Work . New York: Facts on File. Johnson, Guy B. 1931. “The Negro Spiritual: A Problem in Anthropology.” American Anthropologist 33 (2): 157–171. https://doi.org/10.1525/aa.1931.33.2.02a00020. Kristeller, Paul Oskar. 1990. Renaissance Thought and the Arts: Collected Essays . Expanded ed. Princeton, NJ: Princeton University Press. Large, David Clay. 2007. Nazi Games: The Olympics of 1936 . New York: W. W. Norton. Layton, Robert. 1989. “The Political Use of Australian Aboriginal Body Painting and Its Archaeological Implications.” In The Meanings of Things: Material Culture and Symbolic Expression , edited by Ian Hodder, 1–11. Boston: Unwin Hyman. Lief, Brian. 2019. “Athletes Engaging in Activism: Jackie Robinson, Muhammad Ali, Tommie Smith, and John Carlos and Their Influence on Colin Kaepernick.” Sr. independent study thesis, College of Wooster. https://openworks.wooster.edu/independentstudy/8522/. Moran, Ian P. 2010. “Punk: The Do-It-Yourself Subculture.” Social Sciences Journal 2010:58–65. https://westcollections.wcsu.edu/handle/20.500.12945/2257. Morphy, Howard, and Morgan Perkins. 2006. “The Anthropology of Art: A Reflection on Its History and Contemporary Practice.” In The Anthropology of Art: A Reader , edited by Howard Morphy and Morgan Perkins, 1–32. Malden, MA: Blackwell. Morris, Wesley. 2019. “Why Is Everyone Always Stealing Black Music?” New York Times Magazine , August 14, 2019. https://www.nytimes.com/interactive/2019/08/14/magazine/music-black-culture-appropriation.html. Nettl, Bruno. 2005. The Study of Ethnomusicology: Thirty-One Issues and Concepts . New ed. Urbana: University of Illinois Press. Plattner, Stuart. 2003. “Anthropology of Art.” In A Handbook of Cultural Economics , edited by Ruth Towse, 15–19. Northampton, MA: Edward Elgar. Ray, Sanjana. 2017. “How Bob Dylan Changed the Course of History through His Music.” YourStory. May 24, 2017. https://yourstory.com/2017/05/music-of-bob-dylan/. Rice, Prudence M. 2015. Pottery Analysis: A Sourcebook . 2nd ed. Chicago: University of Chicago Press. Rice, Timothy. 2017. “Reflections on Music and Identity in Ethnomusicology .” In Modeling Ethnomusicology , 139–160. New York: Oxford University Press. Robinson, Jackie. (1972) 1995. I Never Had It Made: An Autobiography of Jackie Robinson . As told to Alfred Duckett. Hopewell, NJ: Ecco Press. Shishlina, Natalia I., E. V. Belkevich, and A. N. Usachuk. 2013. “Bronze Age Tattoos: Sympathetic Magic or Decoration?” In Tattoos and Body Modifications in Antiquity: Proceedings of the Sessions at the EAA Annual Meetings in The Hague and Oslo, 2010/11 , edited by Philippe Della Casa and Constanze Witt, 67–74. Zurich: Chronos. Smith, Maureen Margaret. 2011. “The ‘Revolt of the Black Athlete’: Tommie Smith and John Carlos’s 1968 Black Power Salute Reconsidered.” In Myths and Milestones in the History of Sport , edited by Stephen Wagg, 159–184. New York: Palgrave Macmillan. Society for Ethnomusicology. n.d. “About Ethnomusicology.” Accessed September 1, 2021. https://www.ethnomusicology.org/page/AboutEthnomusicol. Tucci, Giuseppe. (1961) 2001. The Theory and Practice of the Mandala: With Special Reference to the Modern Psychology of the Subconscious . Translated by Alan Houghton Brodrick. Mineola, NY: Dover. United Nations Educational, Scientific and Cultural Organization. (2021). “What Is Intangible Cultural Heritage?” Intangible Heritage. Accessed September 6, 2021. https://ich.unesco.org/en/what-is-intangible-heritage-00003. Young, James O. 2008. Cultural Appropriation and the Arts . Malden, MA: Blackwell. Zablan, Audriana. 2010. “Primitive Art.” Expressions of Time: New York City Arts (blog). Macaulay Honors College, CUNY, November 1, 2010. https://eportfolios.macaulay.cuny.edu/weinroth10/2010/11/01/primitive-art/. Zaidel, Dahlia W., Marcos Nadal, Albert Flexas, and Enric Munar. 2013. “An Evolutionary Approach to Art and Aesthetic Experience.” Psychology of Aesthetics, Creativity, and the Arts 7 (1): 100–109. https://doi.org/10.1037/a0028797. graffiti drawings, depictions, and writings on a wall typically without permission and meant for the public to see", "section": "Anthropology, Representation, and Performance", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction The US Army Corp of Engineers opened this community health clinic in the country of Benin in West Africa in 2013. The clinic has waiting, consultation, observation and treatment rooms, and a drug store. (credit: “Pehunco Health Clinic opens” by US Army Corps of Engineers/Wale Adelakun/flickr, Public Domain) Health and a preoccupation with maintaining it permeates all aspects of human culture. Health is a concern to humans everywhere. There is no end to the variety of ways cultures across history have treated health, healing, and medicine. Human health and well-being sit at the intersection of biology and culture. Both physical and social environments shape well-being and health outcomes. Medical anthropology is a holistic specialty that draws on all four fields of anthropology but primarily builds on cultural anthropology and biological anthropology to understand the health implications of a culture’s impact on human physiology and well-being. How do you define health? How do you maintain your health? What factors do you think contribute to health and illness?", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "What Is Medical Anthropology? Learning Outcomes By the end of this section, you will be able to do the following: Define health, illness, sickness, and the sick role. Describe early research and methods in medical anthropology. Explain Franz Boas’s influence in establishing the foundations of medical anthropology. Describe how medical anthropology has developed since World War II. Social Construction of Health The World Health Organization defines health as “a state of complete physical, mental and social well-being and not merely the absence of disease or infirmity” (World Health Organization 2020). Health is affected by multiple social, biological, and environmental factors. Disease is strictly biological—an abnormality that affects an individual’s physical structure, chemistry, or function. Going back to the time of the ancient Greek physician Hippocrates , doctors have regarded disease as the result of both a person’s lifestyle habits and the social environment in which they live. Illness , by comparison, is the individual’s sociocultural experience of a disruption to their physical or mental well-being. An individual’s perception of their own illness is shaped by how that illness is viewed, discussed, and explained by the society they live in. The social perception of another person’s sickness affects that person’s social well-being and how they are viewed and treated by others. Sick roles are the social expectations for a sick person’s behaviors based on their particular sickness—how they should act, how they should treat the sickness, and how others should treat them. Malady is the term anthropologists use to encompass disease, illness, and sickness. Health is your state of well-being. Disease is a biological abnormality. Illness is your sociocultural experience of health. Sickness is a social perception of ill health. Malady is a broad term for everything above. Term Definition Example Health State of well-being Wellness prior to infection Disease A biological abnormality Viral infection Illness A patient’s sociocultural experience of disrupted health Fever, sore throat, cough, worry about missing class, disappointment of missing an outing with friends Sickness A social perception of ill health Expectations such as: stay home and rest if you have a fever; do not attend class or go out with friends; see a doctor if it lasts longer than 48 hours Malady A broad term for everything above Disruption of health caused by a viral infection with fever, sore throat, cough; worry about missing work/class; and the social expectation you will stay home and rest Key Terms Used in Medical Anthropology Foundational to medical anthropology is an understanding of health and malady that includes social experiences and cultural definitions. Medical anthropology studies how societies construct understandings of health and illness, including medical treatments for all types of maladies. Culture affects how we perceive everything, including health. Culture shapes how people think and believe and the values they hold. It shapes everything people have and do. Many cultures approach health and illness in completely different ways from one another, often informed by a number of societal factors. Medical anthropology provides a framework for common study and comparison between cultures, highlighting systems and illustrating how culture determines how health is perceived. History of Medical Anthropology While medical anthropology is a relatively new subfield, it has deep roots within four-field American anthropology, with a strong connection to early European anthropologists’ study of religion. The holistic approach of Franz Boas was also key to the development of medical anthropology. One focus of Boas’s research was analysis of the “race theory” common in the 19th and early 20th centuries in the United States. According to this theory, one’s assigned racial category and ethnic background determined certain physical features as well as behavioral characteristics. Boas challenged this assumption through studies of the health and physiology of immigrant families in New York City in 1912. Boas found that there was a great deal of flexibility in human biological characteristics within an ethnic group, with social factors such as nutrition and child-rearing practices playing a key role in determining human development and health. He noted that cultural changes to nutrition and child-rearing practices, changes that are commonly a part of the immigrant experience, were linked to generational changes in biology. Boas provided empirical data from his own primary sources that refuted theories of biological inheritance as the source of social behaviors and revealed the impact of local environments (natural, modified, and social) in structuring cultural and physical outcomes. This foundation was starkly opposed to the inherent racism of social evolutionism, which was the dominant anthropological theory of his time. Boas’s students, such as Ruth Benedict , Margaret Mead , and Edward Sapir , all continued aspects of his work, taking their research in unique directions that affect medical anthropology to this day. Benedict’s cultural personality studies, Mead’s work on child-rearing practices and adolescence, and Sapir’s work on psychology and language laid the foundations of psychological anthropology. Their foray into psychological anthropology was preceded by the work of British psychiatrist and anthropologist W. H. R. Rivers (1901), who studied the inheritance of sensory capabilities and disabilities among Melanesian populations while participating in the Torres Strait island expedition in 1898. He developed a great respect for his Melanesian research participants and utilized his research findings to denounce the “noble savage” fallacy. By demonstrating that a shared biological mechanism of inheritance and environmental influences shaped the Melanesian senses in the same way as it did the British, he illustrated that their mental capacity was the same as Europeans. Franz Boas’s study on immigrants to the United States showed that health is influenced by a number of factors, including many determined by one’s social and physical environment. (credit: US National Archives and Records Administration/Wikimedia Commons, Public Domain) Medical anthropology also has roots in the anthropology of religion, a subfield of anthropology that shines a lens on many aspects of health. The anthropology of religion looks at how humans develop and enact spiritual beliefs in their daily lives and at how these beliefs are utilized as a form of social control. A number of commonly studied key frameworks of the anthropology of religion—rituals of healing, taboos of health, shamanic healing, health beliefs, cultural symbolism, and stigma, among them—focus on health and health outcomes. A number of notable early religious anthropologists, including E. E. Evans-Pritchard , Victor and Edith Turner , and Mary Douglas , did work on subjects such as healing rituals, misfortune and harm, pollution, and taboo. Evans-Pritchard’s work among the Azande people of North Central Africa continues to be foundational to medical anthropology. Especially important is the chapter “The Notion of Witchcraft Explains Unfortunate Events” from the book Witchcraft, Oracles and Magic among the Azande , which introduces the domain of causation and its many cross-cultural forms. This chapter directly impacted the concept of explanatory models, which we will cover in depth later in this chapter. The work of Victor and Edith Turner focused on ritual healing, pilgrimage, and socially enforced morality. Mary Douglas’s Purity and Danger ([1966] 2002) examined the concepts of pollution and taboo as well as rituals designed to restore purity. Her work continues to be influential, particularly for medical anthropologists focused on sickness-related stigma and its impact on patients’ illness experiences. World War II brought about a profound change in the way anthropologists did their work. A number of Boas’s students helped the British and United States governments during the war, a trend that continued after the war. Focusing on both public and private health initiatives, anthropologists increasingly worked to help people improve their health outcomes in the post-war era. These public health efforts were directly connected with the founding of the United Nations and the World Health Organization (WHO). In this period, well-being and health care were included in the declaration of human rights, and biomedical thinking became focused on “conquering” infectious disease. The formal founding of the discipline of medical anthropology can be traced to the late 1970s. One landmark is the publication of George Foster and Barbara Anderson’s (1978) medical anthropology textbook. However, many applied anthropologists and researchers in allied health fields, such as social epidemiology and public health, had been conducting cross-cultural health studies since the conclusion of World War II. These include Edward Wellin , Benjamin Paul , Erwin Ackerknecht , and John Cassell . Many of these early figures were themselves medical doctors who saw the limitations of a strictly biomechanical approach to health and disease. Paul Farmer, 1959–2022, Jim Yong Kim, 1959–present (left) Paul Farmer speaking at the University of Chicago in 2017. (credit: “Paul Farmer giving MacLeanPrize Lecture in 2017” by MacLean Center/Wikimedia Commons, CC-BY-3.0); (right) Jim Yong Kim speaking in New York City in 2018. (credit: “20th Anniversary Schwab Foundation GalaDinner” by Ben Hider/World Economic Forum/flickr, CC BY 2.0) Personal Histories: Paul Farmer was a medical anthropologist and physician who first visited Haiti in 1983 as a volunteer. Inspired by this experience, Farmer set out to find a way to bring necessary treatments to parts of the world seemingly forgotten by modern medicine. When Harvard Medical School began offering a dual PhD/MD program, Farmer was among the first enrolled, and he soon founded Partners in Health (PIH) with his colleagues. He championed affordable health care around the world. He is currently a professor of medicine and chief of the Division of Global Health Equity at Brigham and Women’s Hospital, while still being actively involved in Partners in Health. Farmer has written extensively on the AIDS epidemic, infectious diseases, and health equity. In 2003, Farmer was the subject of Tracy Kidder’s book Mountains Beyond Mountains: The Quest of Dr. Paul Farmer, A Man Who Would Cure the World, which is an accessible account of Farmer’s work with Partners in Health. He had three children with his wife, Didi Bertrand Farmer, a Hatian medical anthropologist. Like Farmer, Jim Yong Kim was one of the first to enroll in Harvard Medical’s dual medical anthropology PhD/MD program. He was a cofounder of Partners in Health while still in medical school, at a time when he was spending his summers in Haiti treating patients with limited access to health care. He championed the initial expansion of PIH into other countries, beginning with Peru. In 2003 Kim left Partners in Health to join the World Health Organization, becoming director of HIV/AIDs treatments and research in 2004. Under Kim, the WHO has fast-tracked a number of new treatments to help those affected by AIDS in Africa. Kim was the president of Dartmouth College from 2009 until 2012, when he became president of the World Bank. He held this position until 2019, when he left to join Global Infrastructure Partners. Area of Anthropology: medical anthropology, applied anthropology Accomplishments in the Field: Partners in Health was founded in 1987 by a group including Farmer and Kim, with the goal of setting up a clinic in Haiti to combat the devastation of the AIDS epidemic. Made up of volunteers, philanthropists, and medical students trained in anthropological methodology, the organization sought to combat the AIDS epidemic at a time when governments refused to adequately fund efforts to combat what was then perceived as a “gay disease.” By the mid-1990s, PIH was offering patients in Haiti treatments that cost hundreds of dollars, as opposed to the tens of thousands of dollars they would have cost in the United States. They have since duplicated this work in other settings, and their methods have been used by countless nonprofits around the world to offer life-saving treatments to impoverished communities. Importance of Their Work: Partners in Health works today in 11 countries, with a staff of over 18,000 spread across the globe. They build hospitals, health clinics, and research labs aimed at improving medical treatment and creating a more equitable global health care system. Their model has been replicated by countless organizations around the world to bring down the cost of health care and increase the quality of the care given. Since the 1980s, medical anthropologists have diversified the field through interdisciplinary applications of anthropology and the applied use of medical anthropology in health care and government policy. The role of the anthropologist in this work often varies but is typically focused on translating cultural nuance and biomedical knowledge into policy and human-centered care. Today, the field of medical anthropology includes applied anthropologists working in medical settings, nonprofits, and government entities such as the Centers for Disease Control and Prevention (CDC), the National Institutes of Health (NIH), and the WHO. Academic medical anthropologists are problem-oriented researchers who study the complex relationship between human culture and health. As can be seen in the lives and careers of the medical anthropologists highlighted in this chapter’s profiles, medical anthropologists frequently occupy both academic and applied roles throughout their career as they seek to apply insights from their research to effect positive change in the lives of those they study. During the COVID-19 pandemic, medical recommendations informed emerging cultural taboos, highlighting the link between medicine and culture. (credit: “Covid-19” by Daniel Lobo/Daquellamanera.org/flickr, Public Domain) disease a biological agent that negatively affects health. health a state of complete well-being. illness a person’s experience of ill health, as defined by their culture. malady a term encompassing disease, illness, and sickness. sickness the cause of a person’s ill health that signifies to others how to treat that person socially. sick roles the social expectation of a person suffering from a sickness.", "section": "What Is Medical Anthropology?", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Ethnomedicine Learning Outcomes By the end of this section, you will be able to do the following: Define ethnomedicine, traditional environmental knowledge, and biomedicine. Provide examples of cultural and societal systems that use religion and faith to heal. Define medical pluralism. Ethnomedicine is a society’s cultural knowledge about the management of health and treatments for illness, sickness, and disease. This includes the culturally appropriate process for seeking health care and the culturally defined signs and symptoms of illness that raise a health concern. Ethnomedical systems are frequently closely related to belief systems and religious practices. Healing can include rituals and natural treatments drawn from the local environment. Healing specialists in an ethnomedical system are knowledgeable individuals who undergo training or apprenticeship. Some examples of ethnomedical healers are midwives, doulas, herbalists, bonesetters, surgeons, and shamans, whose ethnomedicine existed in cultural traditions around the world prior to biomedicine. Anthropologists frequently note that ethnomedicinal healers possess knowledge of both how to heal and how to inflict harm by physical and sometimes metaphysical means. Ethnomedicine does not focus on “traditional” medicine, but instead allows for cross-cultural comparison of medical systems. A Peruvian shaman prepares herbal medicine for an upcoming ritual. (credit: “Shaman” by Alan Kotok/flickr, CC BY 2.0) Some forms of healing rely upon spiritual knowledge as a form of medicine. Within shamanism, people deliberately enter the spirit world to treat ailments, with the culture’s shaman acting as an emissary. The goal may be to eliminate the illness or to at least identify its source. Similarly, faith healing relies upon a shared understanding of faith and local beliefs, with spirituality pervading the healing process. Exorcising individuals of possession by negative spirits is a common form of faith healing that occurs within Christian, Islamic, Buddhist, and shamanic frameworks. In many cases, cultures that utilize biomedicine also utilize some forms of faith healing. Ethnopharmacology utilizes herbs, foods, and other natural substances to treat or heal illness. Traditional ethnopharmacological treatments are currently of great interest to pharmaceutical companies looking for new biomedical cures. Many common medicines have roots in ethnopharmacological traditions. Used in Chinese medicine, indigenous American healing, and traditional European medicine, willow bark is a widespread cure for headaches. In 1897, the chemist Dr. Felix Hoffmann , working for the Bayer corporation, isolated acetylsalicylic acid as the active pain-reducing ingredient in willow bark, giving the world Bayer aspirin. The concept of traditional ecological knowledge , or TEK, refers to medical knowledge of different herbs, animals, and resources in an environment that provides a basis for ethnomedicine. Many cultures have been able to translate detailed awareness of their environments, such as where water is and where and when certain herbs grow, into complex and effective ethnomedical systems (Houde 2007). In 2006, Victoria Reyes-Garcia , working with others, conducted a comprehensive study of Amazonian TEK. Victoria and her colleagues collected information regarding plants useful for food and medicine from 650 research participants from villages along the Maniqui River in the Amazon River basin. China’s traditional medicine system is another excellent example of an ethnomedical system that relies heavily on TEK and ethnopharmacology. While many in China do rely upon biomedicine to treat specific health problems, they also keep themselves in balance using traditional Chinese medicine. The decision of which health system to consult is often left to the patient, but at times doctors will suggest a patient visit a traditional apothecary and vice versa, creating a complementary medical system that makes use of both approaches. While bound by geography prior to the 19th century, in today’s globalized world a traditional Chinese doctor can use resources from anywhere around the world, whether it is dried body parts of a tiger or herbs found in another part of China. Chinese traditional medicine, as an ethnomedical system, is heavily influenced by culture and context. It focuses on balancing the body, utilizing a number of forces from the natural world. Traditional Chinese medicine makes use of substances as diverse as cicada shells, tiger livers, dinosaur bones, and ginseng to create medicine. Healers in this system are often in a role similar to Western pharmacists, concocting medicine in a variety of forms such as pills, tonics, and balms. The differences between a traditional Chinese medication healer and biomedical pharmacist include both the tools and ingredients used and the foundational assumptions about the cause of and treatments for various ailments. Around the world, traditional environmental knowledge is used both in place of biomedicine and alongside it. Biomedicine is an ethnomedical system deeply shaped by European and North American history and rooted in the cultural system of Western science. It draws heavily from biology and biochemistry. Biomedicine treats disease and injuries with scientifically tested cures. Biomedical health care professionals base their assessment of the validity of a treatment on the results of clinical trials, conducted following the principles of the scientific method. It should be noted that as each health care professional is not conducting their own research, but instead relying on the work of others, this assessment still requires faith. Biomedicine places its faith in the scientific method, where other ethnomedical systems place their faith in a deity, the healer’s power, or time-tested treatments passed down in traditional ecological knowledge. Biomedicine is not free from culture; it is an ethnomedical system shaped by Western cultural values and history. Biomedicine falls short of its ideal of scientific objectivity. Medical anthropologists have extensively documented the way systemic prejudices such as racism, classism, and sexism permeate biomedicine, impacting its effectiveness and perpetuating health inequalities. Still, in the Western world, biomedicine is often utilized as a point of comparison for other ethnomedical systems. Biomedicine has been critiqued by medical anthropologists for assuming predominance over other forms of healing and cultural knowledge. In many contexts, biomedicine is presumed to be superior because it is clinical and based on scientific knowledge. Yet this presumed superiority requires that a patient trusts and believes in science and the biomedical system. If a person mistrusts biomedicine, whether because of a bad experience with the biomedical model or a preference for another ethnomedical approach, their health outcomes will suffer if they are forced to rely on the biomedical system. Biomedicine can also disrupt and threaten culturally established treatments and cures. For example, in a culture that treats schizophrenia by granting a person spiritual power and treating them as part of the community, labeling that individual as mentally ill according to biomedical terms takes away their power and removes their agency. In most cases, a hybrid model, in which biomedicine does not assume supremacy but instead works alongside and supports ethnomedicine, is the most effective approach. A hybrid model accords the ill the ability to choose those treatments that they think will best help. An apothecary in a Nanjing hospital in China prepares a treatment grounded in traditional Chinese medicine. Contemporary medical facilities sometimes offer biomedical practice and ethnomedicine together in one setting. (credit: “Apothecary mixing traditional chinese medicine at Jiangsu Chinese Medical Hospital in Nanjing, China” by Kristoffer Trolle/flickr, CC BY 2.0) Medical pluralism occurs when competing ethnomedical traditions coexist and form distinct health subcultures with unique beliefs, practices, and organizations. In many contemporary societies, ethnomedical systems coexist with and frequently incorporate biomedicine. Biomedicine is privileged as the dominant health care system in the United States, but in many metropolitan areas, people can also consult practitioners of Chinese medicine, Ayurvedic medicine, homeopathic medicine, chiropractic medicine, and other ethnomedicinal systems from around the world. Examples of medical pluralism are fairly common in contemporary Western society: yoga as a treatment for stress and as a form of physical and mental therapy, essential oils derived from traditional medicine to enhance health, and countless others. Contemporary cultures often fuse biomedicine and ethnomedicine rather than just choosing one or the other. However, the privilege and medical authority of biomedicine does not always afford people the right to choose, or may give them only a limited capacity to do so. Anne Fadiman ’s (1998) The Spirit Catches You and You Fall Down , which explores the conflicts between a small hospital in California and the parents of a Hmong child with epilepsy over the child’s care, is a classic example of the cultural conflicts that can occur in medically pluralistic societies. In many parts of the world, biomedicine has accompanied colonialization, and indigenous health practices have been suppressed in favor of biomedicine. Juliet McMullin ’s (2010) Healthy Ancestor: Embodied Inequality and the Revitalization of Native Hawaiian Health discusses the suppression of Hawaii’s indigenous ethnomedical system as a long-lasting legacy of its colonial history. The book includes the efforts of contemporary Hawaiians to regain the healthy lifestyle of their precolonial ancestors. McMullin concludes that while contemporary biomedical health care professionals are more open to Hawaii’s ethnomedical practices than their predecessors were, there is still work to be done. biomedicine health care systems rooted in European and North American scientific knowledge. ethnomedicine a culture’s traditional knowledge and treatments for the management of health and illness. medical pluralism the use of both ethnomedicine and biomedicine. traditional ecological knowledge (TEK) traditional knowledge of one’s environment applied to the treatment of maladies.", "section": "Ethnomedicine", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Theories and Methods Learning Outcomes By the end of this section, you will be able to do the following: Discuss the importance of cross-cultural comparison and cultural relativism in study of human health. Explain why both objectivity and subjectivity are needed in the study of health. Discuss ethnographic research methods and their specific applications to the study of human health. Summarize the theoretical frameworks that guide medical anthropologists. The Importance of Cultural Context Culture is at the center of all human perspectives and shapes all that humans do. Cultural relativism is crucial to medical anthropology. There is a great degree of variety in the symptoms and conditions that cultures note as significant indicators of diminished health. How the sick are treated varies between cultures as well, including the types of treatments prescribed for a particular sickness. Cultural context matters, and health outcomes determined by culture are informed by that culture’s many parts. The United States, for example, relies heavily on biomedicine, treating symptoms of mental and physical illness with medication. This prevalence is not merely an economic, social, or scientific consideration, but all three. A cultural group’s political-economic context and its cultural beliefs, traditions, and values all create the broader context in which a health system exists and all impact individuals on a psychosocial level. Behaviors such as dietary choices and preferences, substance use, and activity level—frequently labeled as lifestyle risk factors—are all heavily influenced by culture and political-economic forces. While Western cultures rely upon biomedicine, others favor ethnopharmacology and/or ritual healing. Medical anthropologists must attempt to observe and evaluate ethnomedical systems without a bias toward biomedicine. Medical anthropologists must be cautious of tendencies toward ethnocentrism. Ethnocentrism in medical anthropology takes the form of using the health system of one’s own culture as a point of comparison, giving it preference when analyzing and evaluating other systems. An American anthropologist who studies ethnomedicine in the Amazon River basin must be careful to limit their bias toward a biomedical approach as much as they can. That is not to say that subjective experience and opinion need be discarded entirely, merely that bias should be acknowledged and where necessary limited. Admitting bias is the first step in combating it. Being aware of one’s own ethnocentrism allows an anthropologist to analyze culture and medicine more truthfully. Methods of Medical Anthropology Medical anthropology is a highly intersectional subfield of anthropology. The field addresses both the biological and social dimensions of maladies and their treatments. Medical anthropologists must thus become comfortable with a wide-ranging tool kit, as diverse as health itself. Like all anthropologists, medical anthropologists rely on qualitative methods, such as ethnographic fieldwork, but they also must be able to appropriately use quantitative methods such as biometrics (including blood pressure, glucose levels, nutritional deficiencies, hormone levels, etc.) and medical statistics (such as rates of comorbidities, birth rates, mortality rates, and hospital readmission rates). Medical anthropologists can be found working in a myriad of endeavors: aiding public health initiatives, working in clinical settings, influencing health care policy, tracking the spread of a disease, or working for companies that develop medical technologies. The theories and methods of medical anthropology are invaluable to such endeavors. Qualitative Methods Within medical anthropology, a number of qualitative research methods are invaluable tools. Qualitative methods are hands-on, first-person approaches to research. An anthropologist in the room or on the ground writing down field notes based on what they see and recording events as they happen creates valuable data for themselves and for others. Participant observation is a methodology in which the anthropologist makes first-person observations while participating in a culture. In medical anthropology, participant observation can take many forms. Anthropologists observe and participate in clinical interactions, shamanic rituals, public health initiatives, and faith healing. A form of participant observation, clinical observations allow the anthropologist to see a culture’s healing practices at work. Whether a doctor is treating COVID-19 or a shaman is treating a case of soul loss, the anthropologist observes the dynamics of the treatment and in some cases actually participates as a patient or healer’s apprentice. This extremely hands-on method gives the anthropologist in-depth firsthand experience with a culture’s health system but also poses a risk of inviting personal bias. Anthropologists observe a myriad of topics, from clinical interactions to shamanic rituals, public health initiatives to faith healing. They carry these firsthand observations with them into their interviews, where they inform the questions they ask. In medical anthropology, interviews can take many forms, from informal chats to highly structured conversations. An example of a highly structured interview is an illness narrative interview. Illness narrative interviews are discussions of a person’s illness that are recorded by anthropologists. These interviews can be remarkably diverse: they can involve formal interviews or informal questioning and can be recorded, written down, or take place electronically via telephone or video conference call. The social construction of sickness and its impact on an individual’s illness experience is deeply personal. Illness narratives almost always focus on the person who is ill but can at times involve their caregivers, family, and immediate network as well. Another method commonly used in medical anthropology, health decision-making analysis , looks at the choices and considerations that go into deciding how to treat health issues. The anthropologist interviews the decision makers and creates a treatment decision tree, allowing for analysis of the decisions that determine what actions to take. These decisions can come from both the patient and the person providing the treatment. What religious or spiritual choices might make a person opt out of a procedure? What economic issues might they face at different parts of their illness or sickness? Health decision-making analysis is a useful tool for looking at how cultures treat sickness and health, and it highlights a culture’s economic hierarchies, spiritual beliefs, material realities, and social considerations such as caste and gender. Quantitative Methods Quantitative methods produce numeric data that can be counted, correlated, and evaluated for statistical significance. Anthropologists utilize census data, medical research data, and social statistics. They conduct quantitative surveys, social network analysis that quantifies social relationships, and analysis of biomarkers. Analysis of census data is an easy way for medical anthropologists to understand the demographics of the population they are studying, including birth and death rates. Census data can be broken down to analyze culturally specific demographics, such as ethnicity, religion, and other qualifiers as recorded by the census takers. At times, an anthropologist may have to record this data themselves if the available data is absent or insufficient. This type of analysis is often done as a kind of background research on the group being studying, creating a broader context for more specific analysis to follow. Also important to medical anthropologists are analyses of medical statistics . The study of medical records helps researchers understand who is getting treated for what sickness, determine the efficacy of specific treatments, and observe complications that arise with statistical significance, among other considerations. Analysis of census data combined with medical statistics allows doctors and other health providers, as well as medical anthropologists, to study a population and apply that data toward policy solutions. Famous examples include the World Health Organization’s work on health crises such as HIV/AIDS, Ebola, and COVID-19. Questionnaires are more personal to the anthropologist, allowing them to ask pointed questions pertinent to their particular research. Surveys make it possible for anthropologists to gather a large quantity of data that can then be used to inform the questions they ask using qualitative methods. Distribution methods for surveys vary and including means such as personally asking the questions, releasing the survey through a health care provider, or offering online surveys that participants choose to answer. These are the most common methods used by medical anthropologists. Different theories are influential in determining which of the methods a particular research might favor. These theories inform how an anthropologist might interpret their data, how they might compose a study from beginning to end, and how they interact with the people they study. Combined with more general anthropological theory, each anthropologist must craft a composite of theory and method to create their own personalized study of the world of human health. Theoretical Approaches to Medical Anthropology Social Health Biomedicine, the science-based ethnomedical system practiced in the United States, recognizes the impact physical health and mental health have on one another: when one falters, the other does as well. There is an increasing awareness in biomedicine of a third type of health, social health , which has long been recognized by many ethnomedical systems around the world. Each of the theoretical approaches to medical anthropology demonstrates that to develop a holistic understanding of human well-being, it is necessary to include mental, physical, and social health. Social health is driven by a complex set of sociocultural factors that impact an individual or community’s wellness. At a macro level, it includes the cultural and political-economic forces shaping the health of individuals and communities. An individual’s social health also includes the support a person receives from their extended social network, as well as the social pressures or stigma a person may face and the meaning that they ascribe to their experiences. Just as mental and physical health strongly influence one another, when a person’s social health falters, their physical and/or mental health declines as well. A person’s overall health is informed by their physical health, their mental health, and their social health. When one falters, the others are affected. (credit: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Physical environments—whether they are natural, constructed, or modified environments—shape cultural adaptations and behaviors. People living on islands and people living in deserts inhabit very different environments that inform their cultures and affect their biology. On the other hand, culture often affects how humans interact with their environments. People who work in offices in Los Angeles and hunter-gatherers in the Amazon River basin interact with their environments differently, relying upon very different subsistence patterns and sets of material culture. Culture also informs human biology. Eating a lot of spicy foods changes a person’s biophysiology and health outcomes, as do dietary taboos such as refusing to eat pork. These dietary choices inform biology over generations as well as within a single lifetime. The Biocultural Approach The biocultural approach to anthropology acknowledges the links between culture and biology. Biology has informed human development and evolution, including the adaptations that have made culture, language, and social living possible. Culture, in turn, informs choices that can affect our biology. The biocultural approach analyzes the interaction between culture, biology, and health. It focuses on how the environment affects us, and the connections between biological adaptations and sociocultural ones. The biocultural approach draws on biometric and ethnographic data to understand how culture impacts health. The effects of environment on biology and culture are apparent in the treatment of survivors of the Fukushima Daiichi nuclear accident that occurred in 2011 in Japan. Studies regarding the genetic health of survivors focus on the combination of environmental damage and social stigma in Japan due to their potential exposure to radiation. Symbolic Approach Other theoretical approaches ask different types of questions. What does it mean to be a patient? What are the social expectations for the behaviors of a person diagnosed as suffering from a particular sickness? Why is it symbolically meaningful for a treatment to be prescribed by a medical doctor? These are questions typically asked by those utilizing a symbolic approach to medical anthropology. The symbolic approach focuses on the symbolic thinking and beliefs of a culture and how those beliefs affect social and especially health outcomes. A person’s beliefs affect how they perceive treatments and how they experience illness. The most obvious example of the symbolic approach at work is the placebo effect . If a person believes that a treatment will be effective, this belief will affect their health outcome. Often in medical trials, people who believe they are receiving a treatment but are in fact receiving a placebo, such as a sugar pill, will demonstrate physiological responses similar to those receiving an active substance. Accounting for the placebo effect is an important consideration for all medical studies. The opposite of the placebo effect, the nocebo effect, occurs when a person believes they are not receiving an effective medicine or that a treatment is harmful. Common to both phenomena is the importance of meaning-centered responses to health outcomes. One of the most potent examples of this is voodoo death , when psychosomatic effects—that is, physical effects created by social, cultural, and behavioral factors—such as fear brought on by culture and environment cause sudden death. Related to the symbolic approach of medical anthropology is the symbolic interaction approach to health utilized by medical sociologists. Both approaches recognize that health and illness are socially constructed concepts. The symbolic interaction approach to health focuses on the roles of the patient, caregiver, and health care provider and the interactions that take place between people occupying these roles. Medical Ecology Another major medical anthropology theory is medical ecology . Pioneered by Paul Baker and based on his work in the Andes and American Samoa in the 1960s and 1970s, medical ecology is a multidisciplinary approach that studies the effects of environment on health outcomes. Examples of these environmental influences include food sources, environmental disasters and damage, and how environmentally informed lifestyles affect health. Whereas the biocultural approach looks at the intersection of biology and culture, medical ecology focuses instead on how environment informs both health and the culture surrounding it. A popular example of these connections can be observed in what are termed Blue Zones , certain locations around the world where a significant number of people regularly live exceptionally long lives, many over a century. These communities can be found in the United States, Japan, Columbia, Italy, and Greece. Common links between people who live in these places include a high-vegetable, low-animal-product diet (eggs and fish are the exception), a lively social life and regular activity, and a strong sense of cultural identity. A negative example of the links between environment and health can be viewed in the Flint, Michigan, water crisis. In this case, pollution of the city water system negatively affected health outcomes due to high exposure to lead and Legionnaires’ disease. Studies, including a long-term study by the National Institutes of Health, confirm that the water, central to the larger environment of Flint, negatively affected citizens of all ages, with particular harm caused to children and the elderly. Okinawa is classified as a Blue Zone, indicating that there is a high concentration of people near or over 100 years old living there. The long lives of Okinawans demonstrate the contributions of diet and lifestyle to health. (Credit: “Sata angagi” by Hajime NAKANO/flickr, CC BY 2.0) Cultural Systems Model Culture is a chief consideration in another theory, the cultural systems model . Cross-cultural comparison is a core methodology for anthropology at large, and the cultural systems model is ideal for cross-cultural comparison of health systems and health outcomes. Cultures are made of various systems, which are informed by sociocultural, political-economic, and historical considerations. These systems can include health care systems, religious institutions and spiritual entities, economic organizations, and political and cultural groupings, among many others. Different cultures prioritize different systems and place greater or less value on different aspects of their culture and society. The cultural systems model analyzes the ways in which different cultures give preference to certain types of medical knowledge over others. And, using the cultural systems model, different cultures can be compared to one another. An example of the cultural systems model at work is Tsipy Ivry ’s Embodying Culture: Pregnancy in Japan and Israel (2009), which examines pregnancy and birth in Israel and Japan. A particular focus is how state-controlled regulation of pregnancy and cultural attitudes about pregnancy affect women differently in each society. Despite both societies having socialized medicine, each prioritizes the treatment of pregnant women and the infant differently. In the Israeli cultural model for pregnancy, life begins at a child’s first breath, which is when a woman becomes a mother. Ivry describes a cultural model that is deeply impacted by anxiety regarding fetal medical conditions that are deemed outside the mother’s and doctor’s control. As every pregnancy is treated as high risk, personhood and attachment are delayed until birth. The state of Israel is concerned with creating a safe and healthy gene pool and seeks to eliminate genes that may be harmful to offspring; thus, the national health care system pressures women to undergo extensive diagnostic testing and terminate pregnancies that pass on genes that are linked to disorders like Tay-Sachs disease. Japan, facing decreasing birthrates, pressures women to maximize health outcomes and forgo their own desires for the sake of the national birth rate. The cultural model for pregnancy in Japan emphasizes the importance of the mother’s body as a fetal environment. From conception, it is a mother’s responsibility to create a perfect environment for her child to grow. Mothers closely monitor their bodies, food intake, weight gain, and stressful interactions. In Japan, working during pregnancy is strongly discouraged. Ivry noted that many women even quit work in preparation for becoming pregnant, whereas in Israel mothers work right up to delivery. The cultural systems model also allows medical anthropologists to study how medical systems evolve when they come into contact with different cultures. An examination of the treatment of mental illness is a good way of highlighting this. While in the United States mental illness is treated with clinical therapy and pharmaceutical drugs, other countries treat mental illness differently. In Thailand, schizophrenia and gender dysmorphia are understood in the framework of culture. Instead of stigmatizing these conditions as illnesses, they are understood as gifts that serve much-needed roles in society. Conversely, in Japan, where psychological diagnoses have become mainstream in the last few decades and pharmaceutical treatment is more prominent than it once was, psychological treatment is stigmatized. Junko Kitanaka ’s work on depression in Japan highlights how people with depression are expected to suffer privately and in silence. She links this socially enforced silence to Japan’s high stress rates and high suicide rates (2015). The cultural systems model offers an effective way to evaluate these three approaches toward mental illness, giving a basis of comparison between the United States, Thailand, and Japan. Assigning ethnomedicine the same value as biomedicine rather than giving one primacy over the other, this important comparative model is central to the theoretical outlook of many medical anthropologists. A sign outside of Aokigahara Forest asks people to reconsider taking their own lives. This public health initiative targets the cultural tradition of people dying by suicide in the Aokigahara Forest. (Credit: “Aokigahara (suicide forest) + very tired Liz” by Liz Mc/flickr, CC BY 2.0) The cultural systems model encompasses a myriad of cross-disciplinary techniques and theories. In many cultures, certain phrases, actions, or displays, such as clothing or amulets, are recognized as communicating a level of distress to the larger community. Examples include the practices of hanging “the evil eye” in Greece and tying a yellow ribbon around an oak tree during World War II in the United States. These practices are termed idioms of distress , indirect ways of expressing distress within a certain cultural context. A more psychologically driven consideration is the cause of people’s behaviors, known as causal attributions . Causal attributions focus on both personal and situational causes of unexpected behaviors. A causal attribution for unusual behavior such as wandering the streets haplessly could be spirit possession within the context of Haitian Vodou, while in the United States behaviors such as sneezing and blowing one’s nose might be attributed to someone not taking care of themselves. Causal attributions can be important to one’s own illness. Anthropologist and psychiatrist Arthur Kleinman has concluded that if doctors and caregivers were to ask their patients what they think is wrong with them, these explanations might provide valuable information on treatment decisions. One patient might think that their epilepsy is caused by a spirit possession. Another might suggest that their developing diabetes in inevitable because of their culture and diet. These beliefs and explanations can guide a doctor to develop effective and appropriate treatments. The approach recommended by Kleinman is known as the explanatory model. The explanatory model encourages health care providers to ask probing questions of the patient to better understand their culture, their worldview, and their understanding of their own health. The Tuskegee syphilis experiment ran for 40 years, studying untreated syphilis in Black men who believed they were receiving treatment for other illnesses. (credit: National Archives Atlanta, GA (US government)/Wikimedia Commons, Public Domain) Political Economic Medical Anthropology Another medical anthropology approach is critical medical anthropology (CMA) , which is sometimes referred to as political economic medical anthropology (PEMA) . Critical medical anthropology has a specific interest in the inequalities of health outcomes caused by political and economic hierarchies. Critical medical anthropology advocates for community involvement and health care advocacy as ethical obligations. Defining biomedicine as capitalist medicine, this approach is critical of the social conditions that cause disease and health inequalities and of biomedicine’s role in perpetuating these systemic inequalities. CMA is also interested in the medicalization of social distress, a process that has led to a wide range of social problems and life circumstances being treated as medical problems under the purview of biomedicine. Systemic racism and structural violence create many negative health outcomes. Structural violence refers to the way in which social institutions, intentionally or otherwise, harm members of some groups within the larger society. Structural violence can affect things such as life expectancy, disability, or pregnancy outcomes and can lead to distrust of medical systems. The Tuskegee syphilis study, a decades-long “experiment” that studied the long-term effects of syphilis in Black men under the guise of medical treatment, is a prime example of structural violence at work within the United States medical system. Black men involved in the study were not told they had syphilis and were denied medical treatment for decades, with most dying of the disease. The government’s internal mechanisms for halting unethical studies failed to stop this experiment. It was only when public awareness of what was happening resulted in an outcry against the study that the experiments were stopped. Another area of interest to medical anthropologists working with a CMA approach is how medical systems might be inherently biased toward or against certain segments of society. The research of anthropologist Leith Mullings demonstrated a lifelong focus on structures of inequality and resistance. Her work in Ghana examined traditional medicine and religious practice through a postcolonial lens, which was critical of the colonial legacy of structural inequality she observed. Her work in the United States also focused on health inequalities, with a special interest in the intersection of race, class, and gender for Black women in urban areas. It has been documented that some doctors in the United States regularly ignore the pain of women, and this is especially true in cases where the doctor displays racial bias. This tendency has been cited in several studies, including a study in The New England Journal of Medicine that found that women are more likely to be misdiagnosed for coronary heart disease based on the symptoms they give and pain levels reported (Nubel 2000). Another study in the Journal of Pain found that women on average reported pain 20 percent more of the time than men and at a higher intensity (Ruau et al. 2012). Another example of research that takes a CMA approach is Khiara Bridges ’s 2011 Reproducing Race , which brings a critical lens to pregnancy as a site of racialization through her ethnography of a large New York City hospital. This medical racism contributes to the higher rates of African American infant and maternal mortality. Merrill Singer has done work on the role of social inequalities in drug addiction and in cycles of violence. This work has led to his development of the concept of syndemics , the social intersection of health comorbidities , or two health conditions that often occur together. For example, Japan’s hibakusha , or atomic bomb survivors of Hiroshima and Nagasaki, do not live as long as Japan’s normally long-lived population and are more likely to develop multiple types of cancer and other diseases tied to their exposure to nuclear radiation. In addition to these health risks, they face heavy discrimination from the larger Japanese population due to misinformation regarding nuclear radiation and radiation contamination. This discrimination carries over to the descendants of hibakusha , who have a higher rate of cancer than the average Japanese population despite having no detectable genetic damage from the atomic bombings. Studies are ongoing as to the cultural, economic, and genetic causes of this cancer. Syndemics is highlighted in the near-century-long struggle for numerous conditions caused by the atomic bombings to be recognized as related to the atomic bombings and thus treated by the Japanese government. Critical theories of health are an applied method, analyzing medical systems and applying critical theory, often with the goal of improving the system or improving policy. Recommendations for improvements often come out of research but may also be the starting point of a research project, as part of a data-finding mission to highlight disparity in health outcomes. Whether it is systemic racism in biomedical treatment or power discrepancies in ethnomedical rituals, critical theories of health are a key part of exploring medicine in action and understanding real medical consequences. From birth to the grave, social inequalities shape health outcomes, life expectancy, and unnecessary human suffering. Critical medical anthropology scholarship demonstrates the social forces shaping disease and health, from drug addiction to the impacts of climate change. This work becomes a self-evident call of action. It is medical anthropology in action. Angela Garcia 1971- Personal History: Angela Garcia comes from a small town along the Mexican border with New Mexico. She credits her background and upbringing with inspiring much of her later work in anthropology. Her early experiences have led her to focus on places where political and cultural spheres combine, resulting in inequality and violence. Within this framework, she has focused on medicine, postcolonial theory, and feminism. She first attended the University of California, Berkeley, and then earned a PhD from Harvard University in 2007, shortly thereafter publishing her first book, The Pastoral Clinic: Addiction and Dispossession along the Rio Grande . Area of Anthropology: medical anthropology, feminist anthropology Accomplishments in the Field: The Pastoral Clinic analyzes heroin addiction among Hispanic populations in New Mexico’s Rio Grande region. Garcia’s work focuses on the political and social realities that contribute to addiction and treatment, with dispossession as a central theme. The degradation of the surrounding environment and the economic decline of the Great Recession have been important factors in determining people’s life choices. Also influential has been a political reality that denies many participation or power. Garcia describes addiction as a recurring reality in the lives of many, leading them in and out of rehab in an endless cycle. Garcia also describes the damaging effects of addiction on relationships within families and communities. Garcia joined the Department of Anthropology at Stanford University in 2016. Her work has shifted to Mexico City, where she studies coercive rehabilitation centers run by the poor. She is particularly interested in political and criminal violence and in how informal centers like these exemplify the political and social climate within the larger Mexican nation. As much as these centers embody these realities, they also try to shift power away from pathways that lead to and encourage violence. In addition to this work, Garcia has also started examining addiction and mental illness in both Mexico and the United States Latinx (Latina/o) population. Importance of Their Work: Garcia publishes and presents frequently in preparation for books she is currently writing. Her work is crucial to understanding dispossession and power dynamics within the United States and Mexico, including how immigration and migration affect access to health care and shape identity. biocultural approach the assumption that culture is informed by physical and sociocultural elements. Blue Zones communities around the world with a high concentration of people near or over the age of 100. causal attributions a psychological concept used to study regular cultural behavior and how deviation from that behavior might be explained. clinical observations an ethnographic method resulting in a straightforward, clinical study of a medical situation. comorbidities two or more health conditions that often occur together. critical medical anthropology (CMA) a theory that highlights a culture’s inequalities, including inequalities in health care. critical theories of health an applied theory aimed at pointing out issues within health care systems and changing them for the better. cultural systems model a theory that analyzes how systems within a particular culture, including health care systems, affect one’s worldview and actions. health decision-making analysis a study of the decisions that go into a person’s health choices. idioms of distress indirect ways that members of a culture show distress. illness narrative interviews an ethnographic method used to collect information about an informant’s illness experience in their own words. medical ecology a multidisciplinary theory studying the effects of environment on lifestyle and health. medical statistics statistics regarding treatments for medical illnesses that inform an anthropologist’s study, as well as medical policy and health choices. participant observation a methodology in which the anthropologist makes first-person observations while participating in a culture. placebo effect the effect in which belief in a treatment’s efficacy creates a positive health outcome. political economic medical anthropology (PEMA) a theory that highlights a culture’s inequalities, including inequality in health care. social health an acknowledgement that one’s social interactions and standing are an important aspect of overall health. structural violence violence caused by political and social systems that prevent groups from taking care of themselves in multiple ways. symbolic approach a theory focusing on how a culture’s symbols affect social and health outcomes. symbolic interaction approach to health and approach that focuses on the interaction between patient and caregiver(s). syndemics the social intersection of comorbidities in health outcomes. voodoo death death brought on by psychosomatic belief in cultural and environmental effects.", "section": "Theories and Methods", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Applied Medical Anthropology Learning Outcomes By the end of this section, you will be able to do the following: Briefly explain how the biological processes of evolution and genetics impact human health and wellness. Describe how human migration, social behavior, and cultural values impact gene flow, genetic drift, sexual selection, and human reproduction. Define neuroanthropology. Provide two examples of culture-bound syndromes. Describe various ways in which political and economic forces impact health outcomes. Explain how globalization has increased the flow of pathogens and introduced new diseases and viruses. Members of the Breathe Project, including anthropologist Ruth Fauman-Fichman (behind the speaker), protest the pollution caused by a decrepit steel mill near Pittsburgh, Pennsylvania. (credit: “US-Steel-Air-Pollution-1100712” Mark Dixon/flickr, CC BY 2.0) Anthropology is an adaptable field of study. Its principles, theories, and methods can easily be applied to real-world problem-solving in diverse settings. Medical anthropology is designed to be applied to the critical study and improved practice of medicine. Medical anthropology has been employed in corporate settings, has been used by doctors who want to reduce ethnocentrism or apply a holistic approach to medical research and medical education, and has informed the work of academics who want to effect policy changes. The following are but a few examples of applied medical anthropologists working to create change in the real world. Evolutionary Medicine and Health A final theoretical approach to medical anthropology, emerging from biological anthropology, is evolutionary medicine . Evolutionary medicine sits at the intersection of evolutionary biology and human health, using the framework of evolution and evolutionary theory to understand human health. Evolutionary medicine asks why human health evolved the way it did, how environments affect health, and how we continue to affect our health through a number of factors including migration, nutrition, and epigenetics. The story of human evolution is the story of gene flow and human migration. Each individual human carries specific gene combinations, and each human population carries with it a common set of genes. When people migrate, they bring those genes with them. If they have children, they pass those genes on in new combinations. Culture impacts population genetics in two ways: migration patterns and culturally defined rules of sexual selection impact the frequency of gene alleles , and thus genetic variation, in a human population. These genes often affect health outcomes, such as the likelihood of developing certain types of cancer or immunity to specific pathogens through exposure. The more frequently a human population interacts with other populations through migration, trade, and other forms of cultural exchange, the more likely it is that genetic material from one population will be introduced to the other. The current level of globalization makes it possible for genes to flow from one corner of the globe to another. Moving into a new culture, whether forced or voluntary, requires adaptation. Adapting one’s culture to new rules, new norms, and new expectations, as well as adapting one’s identity to being a minority or facing oppression or prejudice, can affect the health of the migration population. An obvious example of this is the effects of slavery on Africans brought to the Americas. This impact is shown not just on their genetics, discussed elsewhere in this chapter, but also in their cultures. Syncretized religions like Haitian Vodou, Candomblé, and other African-inspired religions show the ways in which African populations adapted their beliefs to survive contact with oppression and cruelty, evolving and sanitizing certain elements while embracing others. Populations that are physically isolated for long periods of time might experience negative effects from genetic drift as the frequency of rare alleles increases over time. Similarly, cultural groups that practice strict endogamy can experience negative effects from genetic drift. In isolation, populations can sometimes see a rise in the frequency of maladaptive gene variants, as in the case of Tay-Sachs disease found in ethnic minority populations that practice endogamy, such as Ashkenazi Jews or French Canadians. Among these populations, which have been relatively isolated from the populations around them, the genes that cause Tay-Sachs have become more common than in other populations. This suggests that isolation and segregation can result in unhealthy changes in a population’s gene pool. Another example of evolutionary medicine is the study of the effects of the development of agriculture and the growth of urbanization on human health. The development of agriculture caused human health to change in many ways. Food became more regularly available, but diet became less varied and the amount of work required to procure the food increased. The regular movement associated with a gathering and hunting lifestyle resulted in robust overall fitness, but people were also at a greater danger of succumbing to a fatal accident before reaching the age at which they successfully reproduced. Our current lifestyle, in which many sit behind a desk for eight hours a day, five days a week, damages our spines and overall health. While food availability in Western nations is second to none, people living in those societies struggle with health problems related to being overweight and underactive. Each lifestyle has its trade-offs, and evolution has, over the past ten thousand years, affected both modern and neolithic humans differently. Through evolutionary health, we can track these changes and their adaptations. With human migration and the concentration of human populations in urban areas, disease has grown exponentially. Pathogens can now spread like wildfire across the world. In the past, disease has had a devastating effect on human populations. As just one example, the Black Death killed over a third of Europe’s population, spreading via Silk Road merchants and the conquests of the Mongol Empire. Today we see yearly flare-ups of influenza and Ebola and are still dealing with the devastating effects of the COVID-19 pandemic that caused nations to close borders and people within nations to limit social contact with one another. Globalization not only makes it possible for pathogens and pandemics to spread, but also allows nations to cooperatively distribute vaccines and coordinate methods to contain viruses. Nations can now share medical data to help develop treatments and help one another in efforts to isolate and quarantine the sick and infected. On the other hand, international cooperation can hamper local response and prevent cities, provinces, states, and nations from acting in their own best interest. World Health Organization (WHO) workers gear up to enter an Ebola ward in Lagos during the 2013–2016 Ebola pandemic. (Credit: Bryan Christensen/CDC Global/Wikimedia Commons, CC BY 2.0) At the heart of each of these areas of study is epigenetics , or the change of the expression of a gene during a single human lifetime. Often prompted by environmental exposure and mutations over a lifetime, epigenetic shifts are heritable changes in a person’s DNA that are phenotypical, meaning that they are linked to outwardly expressed traits. For example, studies show that people exposed to smoking in childhood tend to be shorter in adulthood. Similarly, trauma can stunt growth or increase the likelihood of developing specific maladaptations. The development of sickle cell anemia in the African American community has been linked to epigenetic adaptation to slavery in the United States, according to a 2016 study by Juliana Lindenau et al. This and other studies suggest that trauma can be inherited and can last generations. Epigenetics show evolution at work in real time, affecting both individuals and future generations. Culture and the Brain The human brain is a fascinating research topic, both medically and culturally. Different cultures conceptualize the brain, its functions, and its health differently. Biomedicine and ethnomedicine systems view human physiology in distinct ways, and these two systems typically have very different explanatory models for understanding the brain and its role in psychology and neurology. Anthropologists are interested in both of these explanatory models and the ways they influence treatment. Some topics of particular interest to medical anthropologists include how psychology affects biology and health, the stigma of mental health across cultures, addiction, culture-bound syndromes, and experiences and illnesses related to stress. Daniel Lende and Greg Downey brought together these topics under the heading of neuroanthropology , an emerging specialty that examines the relationship between culture and the brain. As highlighted during the discussion of the cultural systems model, the acceptance of psychology is highly variable by culture. Societies that rely upon biomedicine are more apt to embrace psychological approaches to mental health problems. Encouraging other cultures to apply psychology and psychiatry sometimes requires an anthropologist’s touch. One challenge for a medical anthropologist is convincing people who do not believe in mental health challenges that acknowledging and treating mental health issues is a better approach than ignoring them. India’s slow but eventual acceptance of psychology is described by Rebecca Clay in a 2002 article. In this case, psychology was gradually normalized and accepted through a combination of Indian medical theory and psychological treatments and diagnoses. This culturally based path toward normalization indicates the need for cultural understanding and a nuanced approach by medical anthropologists. Culturally specific nuance is especially important in understanding what anthropologists call culture-bound syndromes. Culture-bound syndromes refer to unique ways in which a particular culture conceptualizes the manifestations of mental illness, whether as physical and/or social symptoms. The condition is a “cultural syndrome” in that it is not a biologically based disease identified among other populations. A prominent example is susto , a syndrome in Latino societies of the Americas. First documented by Rubel , O’Nell , and Collado-Ardon (1991), susto is stress, panic, or fear caused by bearing witness to traumatic experiences happening to other people around you. Originating with Indigenous groups in the Americas, this panic attack–like illness was seen as a spiritual attack on people and has a number of symptoms ranging from nervousness and depression to anorexia and fever. Cultural syndromes are not limited to non-Western societies, however. According to anthropologist Caroline Giles Banks (1992), anorexia nervosa , an eating disorder where the person does not eat in order to stay thin in accordance with the beauty standards in the United States and Europe, is a prime example of a culture-bound syndrome. Only in these cultures, with specific pressures on weight and beauty applied to women and men, does anorexia nervosa appear. But as these beauty standards spread with globalization and the spread of media from these cultures, so does the disease. Cultural syndromes are not restricted to cultures that prefer biomedicine or ethnomedicine: they are as diverse as human culture itself. A related concept gaining ground in psychology is known as cultural concepts of distress , or CCD. These concepts, according to the Diagnostic and Statistical Manual of Mental Disorders (DSM) 5, “refer to ways that cultural groups experience, understand, and communicate suffering, behavioral problems, or troubling thoughts and emotions” (American Psychiatric Association 2013). In sum, CCD is used to describe how a culture explains and conceptualizes the unique manifestation of mental illness as physical and/or social symptoms. The psychobiological dynamic of health —the measurable effect of human psychology on physical health—is a primary tool used by medical anthropologists to study health. The psychobiological dynamic of health helps anthropologists evaluate the efficacy of health-related treatments that may not accord with those used in their home culture. For example, ritual healing has real measurable effects on people, both the patient and those in attendance during the ritual, as long as they believe that the ritual has healing power. Similarly, for those who share a cultural belief in the power of such practices, being prayed over by a priest or blessed with holy water can offer effective healing power. Psychological belief grants healing efficacy. The same principle applies to biomedicine, as illustrated by the placebo/nocebo effect. Of course, belief alone cannot entirely negate the harmful or helpful effects of medicine or any other substance. Another area in which psychology and health intersect is the experience and effects of stress, a human universal. Indeed, it is well established that mental stress can make someone physically sick. The work of anthropologist Robert Sapolsky (2004) analyzes the evolution of the human body to adapt to, use, and heal from stress. His analysis suggests that stress pushes humans to both physical and mental limits, that these limits differ in different humans, and that being pushed up against limits due to stress can result in growth. The human ability to adapt to stress is a difference from other primate species, and it likely developed over millions of years of evolution. While human bodies have evolved with stress and have sometimes grown as a result of stress, we were not evolved to withstand chronic stress over extended periods of time. Chronic stress induces a high rate of stress-related diseases, such as heart disease, indicating the limits of even evolution to adapt to long-term stressors. Addiction is another area in which medical anthropologists have done significant work, analyzing how culture and biology contribute to addiction. Addiction comes in many forms and affects multiple measures of health. Medical anthropologist Angela Garcia tackles addiction in her book The Pastoral Clinic: Addiction and Dispossession along the Rio Grande (2010), which explores the intersection of race, class, immigration status, and dispossession with drug addiction and the ability to treat it. Focusing on a small town on the Rio Grande and specifically a clinic within that town meant to treat addiction, she tracks the trajectory of a number of patients and the factors that contributed to their addiction. Her analysis highlights the status of these patient as immigrants, minorities, and outsiders, which prevent reentry into society for many. Similarly, João Biehl’s work Vita: Life in a Zone of Social Abandonment (2103) analyzes the effects of dispossession and homelessness on social health, looking specifically at the role of drugs in the highlighted zone. His exploration of vita , a place where people are “left to die” when their addiction or mental illness becomes too much of a burden, shows the cultural effects of mental health and addiction on Brazilian society and the struggles of the individuals abandoned there. In both works, the role of drugs is highlighted, exploring how cultures symbolically characterize problematic drug use and addiction and attach a stigma to admitting a problem and seeking treatment. The works also explore how drugs are justified and understood, illustrating both how drugs change the biochemistry of the brain and how the human mind characterizes the drugs, each shaping one another. Reproduction Reproductive health is another area in which medical anthropologists have made significant contributions by applying their knowledge and methods to real medical practices. Medical anthropologists have studied reproduction in many cultures, analyzing the practices, beliefs, and treatment of those who are pregnant, their children, and their supporting network. Another area of interest has been the ritualization of pregnancy. Robbie Davis Floyd (2004) has done work on birth as a rite of passage and the role of the midwife in modern birth practices around the world, with a focus on medicalized birth in the United States. Her work highlights ways in which the experience of birth is made more complicated by policy. Midwives are shown to decrease the chances of complications in births, yet in many places they are denied a role in the birthing process. Regardless of patient preference and the documented success of midwives, in most settings in the United States doctors and medical professionals are given preference over midwives. Floyd argues that this preference sometimes puts the patient at risk. In the Western biomedical system, doctors are preferred and imbued with authoritative knowledge , which is a sense of legitimacy or perceived authenticity. Women of color are much more likely to die in childbirth, according to a 2019 study by the CDC. This disparity is a central focus of the research of Dána-Ain Davis. (credit: “Figure 1: Pregnancy-Related Deaths per 100,000 Live Births by Racial/Ethnic Group, 2007-2016” by US Government Accountability Office (GAO)/flickr, Public Domain) The work of Dána-Ain Davis (2019) on medical racism and inequalities in the health care system shows structural violence at work. Based on analysis of statistics and vivid ethnographic examples, Davis found that women of color experienced significantly higher rates of complications, including higher death rates for both mothers and infants, than White mothers and babies. Davis concludes that cultural bias and systemic racism are woven into the US health care system. These are often unacknowledged biases, unrecognized by those perpetrating them in the medical profession. Davis advocates for better policy to address these inequalities and help mothers maintain control over their bodies and the birthing process. Dána-Ain Davis 1958- Personal History: Born in New York City, Dána-Ain Davis earned her PhD from City University of New York. Her work focuses on poverty, policy, and feminism, with a specific interest in urban areas of the United States. She is currently a professor of anthropology at Queens College (part of the City University of New York system). In addition to her teaching, she promotes change in policy and society through activism and her work in numerous political communities. Before enrolling in college, Davis worked widely in publishing, broadcasting, and nonprofit work. She has worked for the Village Voice newspaper, the YWCA, the Village Center for Women, and Bronx AIDS Service. This work grounded her deeply in her community and the issues facing women, and in particular Black women in urban communities such as hers. These skills would aid her as she earned her PhD and began publishing her academic work. She is the editor of Feminist Anthropology , a new journal focused on feminist anthropological work; sits on the editorial boards for Cultural Anthropology and Women’s’ Studies Quarterly ; and in the fall of 2021 became the chair of her department. Area of Anthropology: cultural anthropology, medical anthropology, public anthropology, feminist anthropology, urban anthropology Accomplishments in the Field: Davis’s first book, Battered Black Women and Welfare Reform: Between a Rock and a Hard Place , was published in 2006 and focuses on the intersection of gender, race, and economic realities. The book also features her work with the theory of political economy , which looks at how economic conditions, law, and policy affect wealth distribution across groups, in this case how economic conditions disadvantage Black women. Davis then worked on two edited volumes focused on feminism and gender, entitled Black Genders and Sexualities (2012) and Feminist Activist Ethnography: Counterpoints to Neoliberalism in North America (2013), before publishing Feminist Ethnography: Thinking through Methodologies, Challenges, and Possibilities (2016) about feminism anthropology and ethnographic work. Davis’s next work, Reproductive Injustice: Racism, Pregnancy, and Premature Birth (2019) fits more squarely into the realm of medical anthropology. This work examines the numerous issues that face women of color in regard to pregnancy and birth. Like her previous work, her latest book intersects with activism, aiming to improve medical and social justice for mothers and children. Importance of Their Work: Activism sits at the heart of Davis’s work, which has won numerous awards for promoting justice and change. Her academic and activist work has helped inform new policy changes at the local, state, and national levels. Her work informs continuing work in urban studies, feminist theory and practice, reproductive health for women of color, and welfare reform. The Inequalities of Health Attempting to address the inequalities of health care is a primary application of the work of critical medical anthropologists. Inequalities are apparent in relation to COVID-19, the global pandemic that has left no corner of the world untouched. A number of agencies in the United States, including the National Institutes of Health and the American Civil Liberties Union, have determined that Black and Latinx populations have been most negatively affected by the virus, both in health outcomes and overall deaths per capita relative to their portion of the population. Several states have emphasized the need to ignore personal safety for the sake of economic “health,” essentially stating a willingness to sacrifice workers so their economic prospects do not falter. Meanwhile, people working on the front lines faced what is tantamount to class violence, as they could not afford to stay safely at home and social distance; indeed, it can be argued that later this class violence still applied, as the divide between remote working and those forced to work on-site created a stark contrast. The health of “essential workers” is put at risk. Aside from health care professionals, the category frequently falls along class lines, with the majority of “essential workers” employed in the service industry, in factories, or making deliveries. Economic inequalities and lack of access to health care providers both play a role in these trends. Similarly, the World Health Organization has highlighted how poorer countries have had their access to the many forms of COVID-19 treatment and prevention restricted by the demands of richer countries like the United States and Australia. Another area in which medical anthropologists have documented health-related inequalities in the United States is access to nutritious foods. It has been well established that poor access to foods, particularly highly nutritious, diverse foods, can negatively affect health. People who live in food deserts, which are areas lacking access to good food, are more likely to develop debilitating illnesses and suffer from a basic lack of nutrition in several major fields. Amplifying the effect of food deserts is that these same areas often also lack access to health care services. AIDS has provided a multigenerational study of the inequalities of health. At the beginning of the AIDS pandemic in the 1980s, the poorly understood disease was stated to be a “gay man’s virus” because it seemed to only affect gay and bisexual men. Medical anthropologists began studying the AIDS virus as early as 1983, with Norman Spencer notably studying cases in San Francisco. As the virus spread to other populations, research became more common and well-funded, receiving state support in some cases. Yet between poor and late funding and the spread of misinformation that took decades to reverse, AIDS devastated populations around the world. Medical anthropologist Brodie Ramin (2007) has applied anthropological knowledge and methods to AIDS treatment in Africa, utilizing cultural understanding to develop more effective methods of medical treatment and enhance public trust in these treatment methods. Partners in Health began treating HIV in Haiti at a time when world governments largely ignored it. Here, they offer help during the 2010 Haitian earthquake. (credit: “CG Officer works with Interpreter to Help Haitians” by Petty Officer 2nd Class Etta Smith/USCG Press/flickr, CC BY 2.0) Even today, AIDS is highly stigmatized and poorly treated in many places in the world. For over two decades now, Paul Farmer and Jim Yong Kim, both anthropologists and medical doctors, have worked with their organization, Partners in Health, to provide better health outcomes and access to poor, remote parts of the world. Their work has been instrumental in helping treat AIDS and other diseases in places such as Haiti. Jim Yong Kim used his role in the World Bank Group to help create better outcomes as well. Medical anthropology has the power to shape policy at the highest level of global health institutions, but it has much to overcome. Medical anthropologists are well aware of the severity of the problems of structural violence, systemic racism, and massive health inequalities around the world. The COVID-19 pandemic changed many aspects of many cultures, affecting people’s professional, educational, and personal lives. Medical anthropologists Vincanne Adams and Alex Nading have already begun to analyze the social impact of COVID-19: “The pandemic continues to precipitate simultaneous dread over what is to come and loss over what appears to be gone forever, including loved ones, ways of life, and conceptual and literal safety nets” (2020). The COVID-19 pandemic has illustrated how deeply intertwined health and culture can be. Elisa J. Sobo ’s work on the anti-vaccine movement in 2016 is now freshly relevant, as some people fear and mistrust both the COVID vaccine and the health measures to slow or prevent the spread of the virus proposed by nonprofits and governments. Adams and Nading build upon Sobo’s research, exploring the central role of belief and culture in the development of policy at the local, state, national, and international levels during the COVID-19 pandemic. The COVID-19 pandemic has illustrated how deeply intertwined health and culture can be. Medical anthropology has a lot to offer public health and health care professionals. Incorporating medical anthropology and cultural competence into the training of health care professionals is a proactive step to begin addressing medical racism and the inequalities of health documented by medical anthropologists. It also gives health care professionals insight into the relationship between social health and physical and mental health priorities. The work of medical anthropologists on nutrition, reproduction, and infectious disease has significant implications for health care and public policy. Finally, understanding the wealth of cultural traditions and ethnomedical systems provides a greater appreciation for the diverse ways of understanding health and managing maladies. As the COVID-19 pandemic has demonstrated, health and health care are a complex social issue with global ramifications for billions of people. Summary Medical anthropology is the application of anthropological practice and methods to medicine. It considers how culture affects medicine and health. Medical anthropologists thus try to study medicine and health within the context of the culture it comes from, which is known as ethnomedicine. The history of medical anthropology stems from numerous other branches of anthropology, including religious anthropology and the study of rituals and health. Since World War II, anthropologists have often been involved in health initiatives around the world, with numerous health practitioners using anthropological methods to increase their efficacy. Medical anthropological theory and practice is rooted in the work of Franz Boas. Medical anthropologists utilize various methods to gather data and study a culture’s dimensions of health. In participant observation, an anthropologist takes part in the culture they are studying. Ethnographic interviews ask questions of cultural informants regarding their understanding of their culture’s medical practices. Similarly, in illness narrative interviews, a person who has been ill is asked to describe their experience, both of being sick and how others treated them. Another method is to examine the choices people make when seeking medical treatment, a process called a health decision-making analysis. Anthropologists also use a number of quantitative methods, focusing on medical statistics, questionnaires, and surveys. Medical anthropology embraces a number of theories. The biocultural approach analyzes the links between culture and biology, using aspects such as environment to understand how medicine and the culture around it develops. The symbolic approach to medical anthropology looks at the world of symbols that surrounding health and medicine in a particular culture, including the placebo effect and specific cultural phenomena such as “voodoo death.” Medical ecology suggests that environment affects the development of culture and thus of medicine. The cultural systems model is a theory used for cross-cultural analysis, creating a frame of reference for comparison and looking at why certain cultures prefer certain types of knowledge. Critical medical anthropology (CMA) analyzes how social inequalities in a culture affect health outcomes. Critical theories of health apply medical anthropology theory and method to medical practice with the aim of changing medical policy at multiple levels. Medical anthropology, perhaps more than any other type of anthropology, is easily applied to other fields. Medical practitioners apply anthropological theory and methods to better understand their patients and improve their health outcomes. Evolutionary medicine studies how humans have evolved with the goal of better treating illness. This requires a fusion of biological anthropology, genetics, and globalization. Medical anthropologists also work within neuroanthropology, combining psychology, neurology, and human biology to understand and improve human physical and mental health outcomes. Reproductive health is improved with an understanding of medical anthropology, as culture is highly important to birth and childcare. Inequalities of health are a particularly important place for the application of the work of medical anthropologists. From food deserts to the AIDS epidemic, medical anthropologists have applied their work to solving real-world problems and innovated novel solutions that could later be applied to other problems, such as the COVID-19 pandemic. Critical Thinking Questions Health Perspectives Project: Interviews Part 1: Develop Interview Questions Select a health-related topic and develop ethnographic interview questions related to it. Keep it short: three to five questions relating to the anthropological topic you wish to study. Ideally, your interview questions will be open-ended rather than yes/no questions or questions that generate one word replies. Part 2: Interview Select appropriate people to interview, and set up a convenient time and place to interview them. Remember your safety is a top concern; do not meet with anyone in a place where you do not feel comfortable. Ideally, if you do not know the person well, you will want a public location that still affords a degree of privacy, such as the library or a coffee shop. Interview Field Notes Your notes should include the following: When and where the interview was conducted Your relationship to the interviewee (if any) The interviewee’s Age Gender Occupation Native language Nationality/country of origin Any other details that are relevant to your interview (Example: religion, sexuality, race/ethnicity, role in family, etc. Only ask these if it seems to be relevant to your topic and questions.) Take notes not only on what the person said, but how they said it and what you think it might mean in a broader context. Reflect on body language, emotion, tone, and emphasis whenever possible. Include significant quotes and your reflection on the quotes’ significance in the context of the interview. Explain why and how you selected the person that you interviewed. Do you think that you had the necessary rapport to receive full and honest answers? Was your interviewee knowledgeable about the topic of your interview? What additional questions might you want to ask in the future? Reflect on your experience and what you might do differently next time. Resources: Explore Medical Anthropology Culturally Connected is an excellent educational resource for health care professionals that draws heavily on medical anthropology. Neuroanthropology is a collaborative weblog created to encourage an interdisciplinary exchange. Somatosphere is an online forum for debate and discussion in medical anthropology. Anthrolactology is a podcast series on anthropology, breastfeeding, science, and society. Bibliography Adams, Vincanne, and Alex Nading. 2020. “Medical Anthropology in the Time of COVID-19.” Medical Anthropology Quarterly 34 (4). https://anthrosource.onlinelibrary.wiley.com/doi/full/10.1111/maq.12624. American Psychiatric Association. 2013. Diagnostic and Statistical Manual of Mental Disorders , 5th ed. Washington, DC: American Psychiatric Association. Baker, Paul T., ed. 1978. 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Sobo, Elisa J. “Theorizing (Vaccine) Refusal: Through the Looking Glass.” 2016. Cultural Anthropology 31 (3): 342–50. Turner, Edith, and Victor Turner. 1978. Image and Pilgrimage in Christian Culture . New York: Columbia University Press. Turner, Victor. 1967. The Forest of Symbols: Aspects of Ndembu Ritual . Ithaca, NY: Cornell University Press. Turner, Victor. (1969) 2017. The Ritual Process: Structure and Anti-Structure . London and New York: Routledge. World Health Organization. 2020. “Constitution of the World Health Organization.” Basic Documents , 49th ed., 1–20. https://apps.who.int/gb/bd/pdf_files/BD_49th-en.pdf#page=6. anorexia nervosa a culture-bound syndrome present in North American and European cultures, characterized by a person not eating to meet beauty standards. authoritative knowledge authority derived from perceived legitimacy, dependent on culture. cultural concepts of distress (CCD) a psychological term used to describe the way a culture experiences and expresses distress. epigenetics the changes in gene expression that take place during a person’s lifetime, often through environmental exposure. evolutionary medicine a method that uses evolutionary biology and culture to better understand human health. political economy the connection of economics and politics and how they affect wealth and inequality. psychobiological dynamic of health the measurable effect of human psychology on human biology. susto a cultural response to stress and trauma in Latinx communities.", "section": "Applied Medical Anthropology", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction The relationships between humans and animals form a core part of all human cultures. Here, a man in Delhi sits beside his calf on a city street. (credit: “Mahimsyat sarva bhutani (veda)” by Abdel Sinoctou/Wikimedia Commons, Public Domain) Take a moment to consider your relationships with animals. Where do you interact with animals? Do you encounter them on your plate, in your home, on your walks or visits to zoos and aquariums, in your vaccines and medical procedures, in your body lotion, or in the clothing or shoes you wear? Or do you encounter them mostly in books, movies, and poems? Human-animal scholarship is a relatively new interdisciplinary specialty. Interdisciplinary specialties cross individual disciplinary boundaries, drawing on perspectives and theories from multiple academic areas, most commonly anthropology, sociology, psychology, biology, philosophy/ethics, and even economics. When we consider the multiple roles that animals play in human lives, it is easy to see how this topic intersects with so many disciplines: the breeding and care of animals is associated with biology; the use of therapy dogs in human populations, such as with prisoners or those suffering from post-traumatic stress disorder (PTSD), is associated with psychology; and the ways in which different cultural groups think about and use animals is an anthropological concern. As a result, human-animal scholars take an interdisciplinary approach to preparing for and conducting their research to better understand the relationships among humans, animals, and culture.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Humans and Animals Learning Outcomes By the end of this section, you will be able to: Restate the scientific meaning of animal . Describe the human-animal continuum. Define multispecies ethnography. Identify highlights in the domestication of dogs. The Human-Animal Continuum Nonhuman animals are part of many facets of our lives. Many people rely on animals as part of food and subsistence systems, particularly in the areas of hunting, herding, and agriculture. Some people worship deities who are all or part animal. Many people recognize animals as symbols of clans or sports teams. For example, did your school have an animal as the mascot for its sports or debate teams? Across cultures, people love animals as pets and companions, and, as recognized by evolutionary theory, humans are connected to animals as ancestors and relatives. Animals are integral parts of the lives of humans around the world, in which they play a variety of roles. Defining an animal, however, can be complicated. With some exceptions, an animal is defined in science as a multicellular organism, either vertebrate or invertebrate, that can breathe, move, ingest and excrete food and food products, and reproduce sexually. This clearly also includes the human species. Western philosophical tradition supports this inclusion. The Greek philosopher Aristotle (384–322 BCE) grouped animals as being blooded (e.g., humans, mammals, birds, fish), non-blooded (e.g., shelled animals, insects, soft-skinned sea animals), or what he called dualizers , with mixed characteristics (e.g., whales, who live in the sea but have live births; bats, who have four legs but fly). Aristotle classified humans as animals with the intellectual ability to reason. In 1735, Swedish botanist Carolus Linnaeus introduced his binomial classification , which used two terms to identify every living organism: a genus and a species designation. In his work Systema Naturae (1735), Linnaeus divided the living world into two large kingdoms, the Regnum Animale (animal kingdom) and the Regnum Vegetabile (plant kingdom). Like Aristotle before him, Linnaeus classified humans as animals. Today, the scientific approach to the study of the animal kingdom accepts that there is a continuum between all living animal species with grades of difference between species. However, even though humans are animals, people across cultures define themselves as separate from animals. French anthropologist Claude Lévi-Strauss (1908–2009) argued that cultures universally define themselves in opposition to what they view as nature , a domain they define as outside or on the margins of human culture. Humans and human culture are typically seen as everything that is not nature or animal. This makes animals and nature very important concepts to human societies, because they shed light on how people think of themselves as human beings in the world. Lévi-Strauss famously said of animals that they are “good to think” (1963, 89), meaning that animals provide good ways for humans to think about themselves . Animals are used as symbols in all cultures, a sign of the human tendency to identify similarities and differences between ourselves and (other) animals. In all societies, culture plays an important role in shaping how people define animals. Cultures assign various meanings to animals; they are ancestral spirits or deities, companions, work animals, wild and dangerous creatures, and even objects on display in zoos or raised in factory farms for food. Think of American culture, which both loves and dotes on dogs as members of the family and raises pigs as a food commodity. In other cultures, dogs are considered a food species. Among the North American Lakota people, dog meat is considered a medicinal food (see Meyers and Weston 2020), and in Vietnam, specially designated restaurants serve dog meat as a male aphrodisiac (Avieli 2011). To further illustrate the blurring of boundaries between categories of animals, some species of pigs, such as the potbellied pig, are kept as family pets in the United States. How do cultures designate species as being one thing and not another? Potbellied pigs are kept as pets in some countries. Here, a pet pig is ready for a walk in her neighborhood. (credit: “Potbellied Pig!” by Eric Chan/flickr, CC BY 2.0) The study of group identity is central to anthropology. Different cultures distinguish what is animal from what is human by comparing “the other” with themselves. Sometimes called us versus them , we versus they , or even the Other , capitalized, this binary (two-component) comparison is a human tendency observed across cultures. It is common for cultural groups to distinguish between humans and nonhuman species and also to designate some humans as “other” and not as fully human—comparable to animals or even isolated parts of animals. In the Andes , indigenous Quechua and Aymara speakers refer to themselves as runa , meaning “people” or “humans.” Those who do not speak their languages and do not live in the Andes are, by extension, nonhuman and are typically referred to as q’ara , meaning literally “naked and bare,” referring to their lack of social ties and community (Zorn 1995). This distinction between those within the group and those without is common among Indigenous groups all over the world as well as within Western societies. Although the origin of the word frogs as an epithet (nickname) for the French is contested, it appears to have begun within France itself as a way of referring to people who lived in Paris and ate frog legs. By the late 18th century, however, frogs had begun to show up in English newspapers and other written sources as a pejorative, insulting term for all French people (Tidwell 1948). Not to be outdone, the French have traditionally referred to the English as rosbifs (roast beefs), a food common in English cuisine. Although these examples are relatively lighthearted, there is a dark side to human-animal imagery. In a recent book, German freelance journalist Jan Mohnhaupt (2020) examines the distorted relationships that some Nazi leaders had with animals. After coming to power in Germany in 1937, the Nazi state enacted many laws against the Jewish people, among them a 1942 law that made it illegal for Jewish people to own pets, while Nazi leader Adolf Hitler doted on his dog and military commander Hermann Göring kept lions as pets. Preventing them from having companion animals was yet another way in which the Nazis sought to dehumanize Jewish people. Human-animal relationships are important to our sense of selfhood. In this chapter, we will explore various cultures’ approaches to and understandings of nonhuman animals, including both living and symbolic animals, and the diverse ways in which humans interact with and think about these “other” beings. Multispecies Ethnography In his essay “Why Look at Animals?,” English art critic and poet John Berger writes, “To suppose that animals first entered the human imagination as meat or leather or horn is to project a 19th century attitude backwards across the millennia. Animals first entered the imagination as messengers and promises” ([1980] 1991, 4). Recent trends in anthropological scholarship attempt to interact with these messengers and understand the relationship that humans and animals share. The term polyspecific refers to the interactions of multiple species. The relationships shared between humans and other species began with our ancestors millions of years ago. The specialty of human-animal studies within anthropology suggests new forms of scholarship that deliberately move away from anthropocentrism , which focuses on humans as if they are the only species that matters. Human-animal studies opens a window into different ways of thinking about what it means to be human. One approach within the specialty, called multispecies ethnography , pays careful attention to the interactions of humans and other species within their shared environment—whether those other species be plant, animal, fungal, or microbial. Multispecies ethnographies are especially focused on the study of symbiosis , which is a mutually beneficial relationship between species. Researchers conducting multispecies ethnographies utilize a broad, holistic approach that takes into account questions such as where and how interactions between humans and animals occur. This approach is more complex than traditional ethnography because it requires that the researcher acknowledge both the perspectives of nonhuman actors and their roles in how we see and understand ourselves. Cultural anthropologists and ecologists Kirill Istomin and Mark James Dwyer (2010) conducted multispecies ethnographies between two different herding populations in Russia: the Izhma Komi , who live in northeast European Russia, and the Nenets in western Siberia. The two groups live in environments that are comparable in terms of geography, average temperatures, and precipitation, and they herd the same subspecies of reindeer year-round. Yet their herding styles are completely different. The Izhma Komi divide their reindeer into two large groups: a family group consisting of non-castrated males, females, and calves, called a kör , and a group of castrated males used for transportation and hauling, called a byk . Herders accompany the two groups to two separate grazing grounds during the day and direct them back to camp at night. While foraging for food, the reindeer stay within their particular groups and do not wander away. In contrast, the Nenets allow their reindeer to freely disperse and wander during the day, only occasionally observing their general whereabouts and well-being. Unlike the Izhma Komi herds, which stay in their two large groups, the Nenets animals forage in smaller groups and reunite at night as a single herd when they return on their own to camp for protection. Unlike wild reindeer, who do not routinely live in and around human encampments, these groups have a symbiotic relationship with their herders. The humans get meat, some limited milk, and leather for clothing, shoes, and trade products from the reindeer, and the reindeer get protection and supplemental foods at the campsite from the herders. Istomin and Dwyer’s research notes behaviors that the reindeer have learned from their human herders, but it also addresses social learning within the herds. In their interviews with the researchers, both Izhma Komi and Nenets herders told stories about the difficulties they faced when introducing new, so-called unmanageable animals into the herds. These new animals had not yet learned the herding routines of the group they were joining. Some wandered off and were lost before they could adapt to the particular herd culture. Istomin and Dwyer conclude that the animals themselves pass along behavioral knowledge to each other across generations as offspring follow and learn from their mothers and other adult reindeer. This conclusion challenges the notion that animal behavior is solely genetic and instinctual. Expanding ethnographies to include an understanding of what animals are doing and thinking is a primary objective of multispecies ethnography. Despite its recent emergence in anthropology as a separate specialty, the multispecies perspective has a long history. Nineteenth-century amateur anthropologist Lewis Henry Morgan ’s research on the North American beaver (1868), which includes material on beavers’ adaptation to and interaction with humans, remains one of the most insightful and perceptive works on the species. And the research conducted in the 1930s by British anthropologist Edward Evans-Pritchard on the relationship between the Nuer people of Africa and their cattle resulted in an ethnographic account of their interdependence, both socially and economically. More recently, cultural anthropologist Darrell Posey used a multispecies ethnographic approach in his work “Wasps, Warriors, and Fearless Men” (1981). In this case, the relationships of interest are between humans and insects. Posey’s work utilizes a lens of ethnoentomology , exploring the relationships that the Kayapó people of central Brazil have with local insects and how these relationships shape their perception of themselves as human. Posey documents how Kayapó warriors deliberately provoke a local species of wasp to sting them, using the “secret” of the venom to become more powerful: The warriors dance at the foot of the scaffolding and sing of the secret strength they received from the wasps to defeat the giant beetle. The women wail ceremonially in high-pitched, emotional gasps as the warriors, two-by-two, ascend the platform to strike with their bare hands the massive hive. Over and over again they strike the hive to receive the stings of the wasps until they are semi-conscious from the venomous pain. This ceremony is one of the most important to the Kayapo: it is a re-affirmation of their humanity, a statement of their place in the universe, and a communion with the past. (172) Kayapó tribespeople continue to practice their cultural traditions while fighting to protect their ancestral lands from Western encroachment. One of these traditions involves deliberately provoking wasps to sting them in order to enter a sacred state. (credit: “VI Aldeia Multiétnica no XV Encontro de Culturas Tradicionais da Chapada dos Veadeiros” by Oliver Kornblihtt/Special Secretariat of Culture of the Ministry of Citizenship/flickr, CC BY 2.0) A Case Study: Domestication of Dogs Humans interact with and relate to animal species that live in the wild as well as those that depend on them for their survival. Animals that are dependent on human beings are typically the result of domestication . Evidence suggests that early humans quickly developed a clear understanding of how selective breeding works, encouraging animals that shared preferred characteristics to mate and produce offspring. These desired traits included a calm temperament; the ability to get along with conspecifics , or members of one’s own species; usually a smaller body so that the animal could be gathered or herded in larger numbers; and an attachment to or tolerance of humans. Dogs were among the earliest domesticated animals. Here, Siberian huskies race in a dogsledding event. Across cultures, dogs have been used for pulling and hauling loads. (credit: “Frauenwald, Hundeschlittenrennen, 6” by Rainer Lippert, edited by Ritchyblack/Wikimedia Commons, Public Domain) The dog ( Canis lupus familiaris ) is believed to have been among the earliest animal domesticates, possibly the first. The origins of the domesticated dog are controversial. Most scientists agree that dogs originated from wolves, particularly from the subspecies Canis lupus pallipes (Indian wolf) and Canis lupus lupus (Eurasian wolf). The wide variety among dog breeds indicates that other wolf subspecies were also involved in selective breeding, making today’s dogs animal hybrids. Wolves have various natural instincts that make them excellent candidates for domestication. They are highly social scavengers who could easily have become accustomed to human settlements and food handouts at a young age, and they have a hierarchical social structure that includes status and submission within the pack, traits that would predispose them to conforming to human direction and domination. Dogs today vary genetically by only about 0.2 percent from some of their ancestral wolf subspecies. Historically and cross-culturally, humans benefit in many ways from their relationships with dogs: Guarding and protection. Dogs are naturally territorial and highly social; they are both biologically and behaviorally prone to be keenly aware of their physical surroundings and their group (or pack). The impulse to guard and protect is a genetic trait that was easily manipulated in the species as humans selectively bred animals that were particularly loyal to their families and attentive to their property. As part of the domestication process, humans selected for dogs who exhibited a bark-howl response when alerted, with the result that domesticated dogs bark when concerned or excited. Among wolves, the bark is only used as an initial alert (Yin 2002). Wolves do not call attention to themselves as dogs do. Hunting. Descended as it is from a wild predator, the domestic dog can be an excellent hunter and retriever. A trained dog offers considerable benefits to humans in the hunting of prey. Some Indigenous groups, such as the Chono of Tierra del Fuego, Argentina, trained their dogs to dive and to fish for seals. The Tahltan people of Canada used dogs on bear hunts. In czarist Russia, borzoi dogs were used to hunt for wolves. Herding. Dogs were key to the development of pastoralism, a subsistence system based on herding animals. Many pastoral societies utilized dogs as shepherds for domesticated herds of sheep, goats, cattle, and even fowl. Once trained to identify and protect its herd, a dog can be a fierce defender of and guide for animals foraging away from human settlements. Trained herding dogs can shepherd their flocks on a consistent trail without constant human surveillance. Selective breeding moderated a natural instinct in dogs referred to as eye-stalk-chase-bite , a sequence of steps utilized by dogs to focus on another animal when hunting. This moderated instinct enables dogs to guide and protect another species by keeping the animals rounded up and moving away from danger. While not utilized by every pastoral society, dogs are considered vital to most pastoral societies, even today (see the Ethnographic Sketch at the end of the chapter). Transportation. Historically, dogs served as beasts of burden, especially in cultures that had no larger domesticated animals such as the horse, donkey, or cow. Many Indigenous peoples used dogs to carry young children or possessions. Among North American Indigenous cultures such as the Assiniboine , Apache , and Inuit , dogs were traditionally used for transportation. Some of these groups developed specialized technology, such as the travois and the sledge, that allowed them to harness a dog to a platform loaded with items to be moved. Kainai women use dog travois, constructed of two shafts lashed to a platform, to carry their possessions. This photo was taken around 1910 in what is now southern Alberta, Canada. (credit: “Kainai Women and Dog Travois” by Provincial Archives of Alberta/Wikimedia Commons, Public Domain) Meat. In some cultures, domesticated dogs offer a dependable source of meat. Some of the earliest evidence of dog eating was found at a prehistoric rock shelter site located at Hinds Cave, Texas. At the Hinds Cave site, geneticist Raul Tito and his team identified domesticated dog remains in human coprolites (fossilized feces) dating to 9260 BP. From the Preclassic through the late Postclassic period (2000 BCE–1519 CE) in what is now Mexico, various Indigenous cultures, including the Olmec , Zapotec , Aztec , and Maya , raised and consumed dogs as a source of protein (Thompson 2008), eventually developing a hairless breed of dog known today as the Xoloitzcuintli . This breed existed when the Spanish arrived in Mexico in the 16th century. The Xoloitzcuintli is a hairless dog first bred in Mexico. (credit: “MX MM XOLOITZCUINTLE” Milton Martínez/Secretariat of Culture of Mexico City/flickr, CC BY 2.0) Although dogs are primarily pets in contemporary societies, they continue to play other important roles in a wide range of human activities. As just a few examples, dogs are used as drug detectives at airports, therapy animals for a wide range of human needs, and guides and helpers for those living with physical challenges. Dogs also continue to be used as shepherds, hunting companions, and guards. animal a multicellular organism, either vertebrate or invertebrate, that can breathe, move, ingest, excrete, and sexually reproduce. anthropocentrism the belief that the human perspective is the most important one; also called human exceptionalism. conspecifics members of the same species. domestication the selective breeding of a species by humans to create animals better suited to human life. multispecies ethnography the study of the interactions between humans and other species within their shared environment. nature a domain defined by cultures as outside or on the margins of human culture. polyspecific interaction involving multiple species. symbiosis a mutually beneficial relationship between species.", "section": "Humans and Animals", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Animals and Subsistence Learning Outcomes By the end of this section, you will be able to: Describe the role empathy plays in human-animal relations. Identify some characteristics of the ways that Indigenous hunter-gatherers and nomadic pastoralists relate to animals. Discuss the relationship between Rock Cree hunters and animals. Human-Animal Empathy in Subsistence One of the most important relationships between humans and animals is that centered on subsistence, the means by which a group of individuals makes a living. In hunting-and-gathering and pastoral societies , the relationships between humans and animals are critical to human survival. Serving as meat, tools for hunting and for herding other animal species, and sources of commodities such as wool and leather, these societies’ animals are central to human lives. In such societies, human relationships with animals are typically characterized by animal empathy , or the sense of being attuned to the feelings or experiences of other beings—in this case, animals. Elaborate beliefs and rituals surrounding human-animal interdependence are common among hunter-gatherers and pastoralists. The research of anthropologist Pat Shipman ([2015] 2017) suggests that human empathy and alliances with animals, especially dogs, gave humans an evolutionary advantage over animals. Relying on animals for survival prompted humans to develop not only improved hunting and meat-processing tools but also a deep understanding of their prey. Humans needed to be able to discern and predict animal behaviors, including migratory patterns. By the emergence of our species, Homo sapiens , some 300,000 years ago, humans had evolved to have a sophisticated empathic understanding of and relationship with animals. By the Upper Paleolithic (50,000–12,000 BP), humans were leaving testimonials to their empathic relationships with animals in cave paintings. One of the most outstanding early examples of animal art is the paintings found in the Lascaux cave in southwestern France, depicting the animals and plants that humans encountered some 17,000 years ago. These paintings were likely created over a range of years by several generations of hunters. Of the more than 6,000 images of humans, animals, and abstract signs, some 900 are animals. Animals that appear in these paintings include horses, deer, aurochs (wild cattle), bison, felines, a bird, a bear, and a rhinoceros. One black bull measures 5.6 meters (approximately 17 feet) in length. The animal is painted as if its legs are in motion. One of the felines appears to be urinating to mark its territory. Paintings of various animal species appear on the walls of the Lascaux cave in southwestern France. The paintings have been dated to ca. 15,000–17,000 BCE. (credit: “6 i Lascaux_painting” by Paul Smith/flickr, CC BY 2.0) Lascaux closed to tourists in 1963 to protect the extraordinary artwork inside. Today, it has been named a UNESCO World Heritage Site by the United Nations. This means that it is legally protected by international agreement with the goal of ensuring permanent conservation and protection. Lascaux is of inestimable value for understanding our common human history. Animal Relationships among Indigenous Hunters Many cultures continue to rely on wild animals for subsistence today. This dependence requires the mastery of various cognitive skills, including knowledge and understanding of animal behaviors. In all cultures, much of the socialization of children is connected to skills required for subsistence. In societies that rely on hunting for survival, children learn to be especially attentive to their environments. It is also common in such societies for children to keep pets, often the young of wild animals that have been hunted, such as birds and small mammals. Many wild animals are capable of being tamed by human handling when they are young. An animal is considered tamed when it has learned to tolerate human proximity and interaction for considerable periods of time. Young lowland Amazonian children with a pet sloth in Peru. (credit: “Bad Hair Day in the Amazon” by Kevin Rheese/flickr, CC BY 2.0) Indigenous hunter-gatherers subsist on what their environment freely provides. They do not produce food but rather collect it. Indigenous hunters typically view animals as fellow sentient and spiritual beings with whom they must maintain a relationship of mutual respect. Commonly, they practice elaborate rituals associated with hunting, both to show respect for their prey and to increase the likelihood of success in the hunt. In his study of Yukaghir elk and reindeer hunters in Siberia, Danish anthropologist Rane Willerslev (2004) recorded many ritualistic hunting behaviors. These included taking a sauna bath several days before the hunt to diminish the hunters’ scent; using special language (code words) to talk about the hunt, never mentioning death or hunting directly, in order to deceive or confuse the animal spirits; and “feeding” a fire with alcohol and tobacco the night before the hunt to perfume the air and seduce the animal spirit to desire the hunter. Even so, the hunters are never overconfident about the hunt, as they believe they risk their own identities as human beings when trying to lure an animal and its spirit. The bond between hunter and hunted in Indigenous societies is often viewed as tenuous, a relationship between equals in which the balance of power could shift in either direction. During the hunt itself, Yukaghir hunters wear wooden skis covered in elk leather so that their movements sound like the movements of an animal in snow, and they practice thinking like the elk or reindeer to lower the animals’ inhibitions so that they will allow the hunters to get near. The hunters even imagine themselves speaking to the animal, trying to diminish its fears. For the Yukaghir people, the hunt can be a dangerous interaction, and so respect is necessary at all times, even after the body of the animal has been taken. A Case Study: Rock Cree Hunters The Asinskâwôiniwak , or Rock Cree , are an Indigenous society of hunter-gatherers living in northwestern Manitoba, Canada. In his ethnography Grateful Prey (1993), cultural anthropologist Robert Brightman examines the various ways in which the Rock Cree think about and interact with animals. Once a foraging society subsisting on big game hunting, fishing, and fur trapping, today the Rock Cree are primarily settled on government lands and no longer nomadic. Their relationship with animals continues to be central to their cultural identity, however, and today they hunt and trap as part of a mixed subsistence system that includes both foraging and wage labor. The Rock Cree’s hunting is informed by both Indigenous principles that place high value on big game animals such as bear, moose, and caribou and the current market price for animal products such as pelts. During his research, Brightman observed a fascinating tension between humans and animals at the core of Rock Cree hunting culture. Because animals are believed to be both spirit and body and capable of regenerating (reincarnating), killing an animal has repercussions for the hunter. If the hunter does not treat the animal’s body with respect after the kill, the animal spirit will not return to the hunter: The animals are endlessly regenerated, and yet they are finite. I am more powerful than the animal because I kill and eat it. The animal is more powerful than I because it can elude me and cause me to starve. The animal is my benefactor and friend. The animal is my victim and adversary. The animal is different from me, and yet it is like me. (Brightman 1993, 36) Rock Cree hunters, who may be male or female, are frequently influenced by an animal spirit called a pawakan that appears in their dreams. Sometimes referred to as the “master of animals” in other Indigenous societies where it is also found, the pawakan is the head spirit of an animal species or type. Individual animals have a different and lesser spirit. The relationship that hunters have with the pawakan is complex and variable and depends on the hunter’s behaviors and circumstances. The pawakan may provide the hunter with useful information about where a prey animal can be found and can persuade a specific animal to either go near the hunter or elude them. A sorcerer can even send a pawakan to frighten dangerous animals away from a potential human victim. The Rock Cree believe that an animal can be successfully hunted only if it voluntarily offers itself to the hunter. Through offerings of prayers, songs, and bits of food and tobacco burned in a stove or outside fire, the Rock Cree symbolically interact with their prey prior to the hunt. Once the animal is slain, the hunter makes sure that no parts of its body are wasted. To waste any part of an animal would be disrespectful and would imperil the hunter’s future success. The Rock Cree have detailed procedures for butchering, cooking, and eating animals and for disposing of the bones by hanging them in trees where they cannot be violated by other predators. They believe that once the people have finished with the animal and left its bones hanging, the animal will recover its bones and regenerate back into the environment. Sometimes, hunters or trappers say they recognize an animal and that it is the “same one” that was killed before (Brightman 1993, 119). This study of the Rock Cree illustrates the intense and complex relationships that can exist between humans and wild animals. Many of these same kinds of relationships between hunters and animals also exist among the Netsilik people and other hunting populations. Indigenous hunter-gatherers have a fundamentally different view of their relationships with animals and of their own place in the world than do pastoralists or people living in industrial societies. This traditional wisdom and interconnected way of being in the environment is a valuable part of our shared human cultural heritage. Animal Relationships among Nomadic and Transhumant Pastoralists Like hunter-gatherers, pastoralists also have empathic relationships with animals, but the nature of those relationships is different. Pastoralism, which is subsistence based on herding animals, can be either nomadic or transhumant. Nomadic pastoralism is herding based on the availability of resources and involves unpredictable movements, as herders decide from day to day where they will go next. Transhumant pastoralists have patterned movements from one location to another. The Izhma Komi and Nenets herders in Russia, discussed earlier in the chapter in the section on multispecies ethnography, practice nomadic pastoralism. While the relationship between nomadic pastoralists and their animals is based on respect and empathy, just as with hunter-gatherers, nomadic pastoralists are more involved in the daily lives of the animals they rely on. Typically, the animals are herded into human campsites each night, and often their movements are monitored during the day. The animals are not physically dependent on humans, but the two groups are involved with each other, as herders offer supplemental food to the reindeer to reinforce their connection to the human campsites for the night. Both hunter-gatherers and nomadic pastoralists rely on their animals for meat and leather, but nomadic pastoralists might also harvest milk and use the animals as transport, two practices that require the animals to be more accustomed to human handling. The pastoral herd is more dependable as a food source than the wild animals of hunter-gatherers, but it is also more labor intensive and time consuming, requiring humans to manage the animals according to a daily routine. A Sami reindeer herder in Sweden. Pastoralists such as the Sami rely on their animals for meat and leather, as well as sometimes making use of their milk and using them to transport heavy materials. (credit: “A Day at Work” by Mats Andersson/Wikimedia Commons, CC BY 2.0) Nomadic pastoralism is not as widely practiced as transhumant pastoralism, which evolved around the time of the rise of agriculture in Europe, Asia, and Africa. Transhumant pastoralists do not typically raise crops or forage for wild plants, and they are dependent on trade with agricultural societies for vegetable products. Interestingly, while there are cultures that practice strict vegetarianism and do not consume any meat products, such as the Hindu and Jain cultures in India, humans cannot live solely on meat. Arctic hunters who had no access to vegetation in the winter ate the stomach contents of grazing animals, such as caribou, to access vegetable matter. Transhumant pastoralists typically have a tenuous and competitive relationship with agriculturalist societies, as agriculturalists may not always have sufficient surplus for trade in years when there have been droughts or warfare, for example. At times, the relationships between sedentary agriculturalists and more mobile and dependent pastoralists break down into conflict involving threats, destruction of property, and even warfare. Transhumant pastoralism is usually built around a seasonal migration between a family’s two households in different geographical areas. It normally takes days or weeks to move people and herds between the households, so pastoralists often have mobile residences, such as yurts or tents, to use during travel. As we find in nomadic pastoral societies, transhumant pastoralists rely on their animals for various trade commodities such as meat, leather, wool and wool goods (e.g., ropes and blankets), and juvenile offspring. The most common domestic herd animals of transhumant pastoralists are cattle, sheep, goats, camelids (llamas and alpacas), and yaks. animal empathy a human sense of understanding and sensing the feelings of other animals. nomadic pastoralism herding that is based on the availability of environmental resources; involves unpredictable movements, as herders decide from day to day where they will go next. pastoral societies societies in which primary subsistence is based on herding groups of animals. tame a behavioral condition in which humans encourage wild animals to tolerate human proximity and interaction. transhumant pastoralism herding in a regular, patterned movement from one location to another.", "section": "Animals and Subsistence", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Symbolism and Meaning of Animals Learning Outcomes By the end of this section, you will be able to: Identify totemism. Identify the roles of animals in the oral traditions of many human cultures. Describe the various ways animals are used in religious practices. When we think of animals, we usually picture them as pets, food, or wildlife, but animals play a central role in the symbolism of human lives as well. Humans relate to animals not only as tangible beings but also as images and symbols that carry personal meaning and communicate cultural norms. While we can find animal symbols almost everywhere in human cultures, they play a particularly significant role in group identity. Totemism Totemism is a belief system in which a subcultural group acknowledges kinship with a spirit being, typically a plant or animal, that serves as the group’s emblem or herald. Relationships with their totems mirror the social relationships they have with each other as subgroups within their society. Totemic groups, often referred to as clans, view themselves as descendants of nonhuman ancestors and maintain special relationships of respect with other species in the natural world. Totemism is an example of a metaphorical relationship between humans and the natural world, one that links humans, animals, plants, landforms, and even weather events into a unified web of life. Many Indigenous groups practice totemism and have ancestral alliances with certain animals and plants, demonstrated by the ways in which they talk about them in their myths and depict them in their artwork. Totemic cultures frequently practice shamanism as a way to communicate with animal and plant species. The totem pole, a cultural practice of some North American Indigenous groups, exhibits the clan’s identity, with a focus on the connections that the clan has with ancestors, animals, and plants. This reproduction of a First Nations totem pole is on display in Stanley Park, Vancouver, Canada. (credit: “2014 06 27 Cher and Downtown Vancouver 065” by Blake Handley/flickr, CC BY 2.0) The totem , an animal or plant believed to be spiritually connected to a group of people, is a symbol of identity for the subgroup. The Anishinaabe, a North American Indigenous tribe located along the midwestern border between Canada and the United States, was historically divided into various doodeman (clans), most of which had local animals as their totems. Examples of their totem animals include a loon, a crane, a fish, a bird, a bear, a marten, and a deer. All members of the same totemic clan identified with one another as descendants and relatives. The totemic identification that children received at birth (from their fathers’ affiliations) connected individuals not otherwise linked by close social or biological relationships, creating a spiritual kinship within the clan through the common totem. Clans were often associated with specific occupations and work assignments within the larger tribe. Clans also determined marriage rules; members of the same clan could not marry one another, as it was considered to be incest. While the Anishinaabe today have fewer clans, and thus fewer animal totems, than when their population was higher, and the importance of clans and totems has lessened, they continue to value the identities that their ancestors constructed through the natural world. The totem pole is a form of monumental architecture displaying the significant totems and historical events in a clan or family’s ancestral history. It functions as a signpost that identifies the occupants of an area to those passing through and proclaims the pride that a people have in their ancestry. Extended families are grouped together in a clan. The totem pole serves to proclaim the clan membership that an extended family has had throughout its history. The story of the first creation of the Indigenous group and the major events that occurred in the life of that family, its clan, and its tribe are all depicted on the totem pole. Many, though not all, Indigenous groups in North America make totem poles. These poles are historical landmarks of cultural identity. Although Western societies do not construct physical totem poles, they do utilize some of the same symbolism in sports mascots and family heraldry. Sports teams use different types of symbolism, but animal symbols are common. Often, teams choose animals that are local to their immediate environment or that connect with certain characteristics and behaviors with which the group wishes to identify. Some well-known teams with animal mascots are the Detroit Lions, the Tampa Bay Rays, and the Boston Bruins. What animal mascots do you know? Animals in Oral Tradition Animals play an important role in nearly all oral traditions and religions. Across cultures, including Western cultures in Europe and the United States, animals appear as protagonists in myths and stories. The animal characters in nursery rhymes, fairy tales, fables, and folktales teach adults and children lessons and morals and model personal characteristics, some peculiar to a specific culture and others more universal. For example, the story of Chicken Little, also known in the UK as Henny Penny, is one that many US children learn at an early age. It was collected in print in the early 19th century, but it has older roots as a European folktale. In this tale, Chicken Little goes out for a walk on a windy day, and an acorn falls on her head. She panics—the sky must be falling! She runs around the farm warning all the animals about the calamity that she believes is happening: “The sky is falling! The sky is falling!” The moral of the story is to have courage and not believe everything you hear. “The Queen Bee” is an interesting European reflection on animals, recorded from oral tradition by the Grimm brothers in 1812 . In this story, three princes, all brothers, leave their castle home to seek their fortunes and travel around the world. Two of the brothers move about haphazardly, paying no attention to the animals around them, but the youngest son, with the insulting name of Simpleton, is more considerate to the animals they encounter. When the older brothers try to destroy an anthill, kill ducks, and chase bees out of their hive, Simpleton intervenes to protect the animals and stop his brothers from causing harm. Eventually, the three princes arrive at another castle, in which everything living has been turned to stone except for one very old man. The old man tells the princes that if they can perform three tasks, all of which depend on the help of animals, they will be able to wake up the castle and earn the hand of a princess. The animals, remembering how they were treated, agree to help only young Simpleton, who thereby gains the keys of the kingdom. The moral is that even the smallest animals serve a mighty purpose. Many of the animal stories that are still told in Western societies were either collected by the Grimm brothers in the early 1800s (1812–1857) or taken from Aesop’s Fables, a collection of stories supposedly told by Aesop , an enslaved Greek storyteller, around 500 BCE. These stories have made their way into children’s storybooks and animated movies—including an animated version of Chicken Little. Indigenous societies across cultures have their own sets of animal stories that provide instruction and wisdom. Some of the most common animal symbols among Native American cultures are the coyote, the raven, the bear, and the spider. Coyote and Raven often appear in stories as tricksters , animal spirits or deities who are lively and clever and get into trouble through thoughtless or unconventional actions. In the story of Coyote and Bluebird from the Pima people of the southeastern United States, Coyote envies Bluebird’s plumage and asks for the secret to the beautiful blue color of the bird’s feathers. Bluebird tells Coyote that these pretty blue feathers came from bathing in blue water. Coyote does the same and comes out with a fine blue coat. In his vanity, he tries to outrun his shadow so that he can see his beautiful blue body in the light, and he crashes into a stump head-on, landing in the dirt, which coats his blue fur and paints him a “dirty” color that he still has today. The moral of this tale is that vanity does not serve an individual well. In West Africa, many myths focus on a supernatural figure named Anansi , the spider. Anansi is a culture hero who teaches lessons of bravery and morality. Culture heroes are typically associated with supernatural feats and are particular to each cultural group, exhibiting specific traits, actions, and discoveries that are significant in that culture. In one Anansi story cycle brought by enslaved Africans to the Caribbean area during the time of the Atlantic slave trade, Anansi goes fishing and fills his basket with many different sizes of fish. On his way home, he crosses paths with Tiger, who demands to know what Anansi is carrying in the basket. Scared, Anansi lies and says he has nothing. Tiger takes the basket and sees the fish. In a series of back-and-forth interactions, Anansi succeeds in outsmarting Tiger by agreeing to clean his fur. Tiger shakes down his long hair, and then Anansi uses it to tie Tiger to the trunk of a tree, picks up his basket of fish, and continues home. The moral of the story? Use your wit to protect yourself and your possessions . Or, perhaps, Don’t let a bully get the best of you . Animals in Religion Animals play a role in most religions. Common functions include as objects of ritual sacrifice and as tokens symbolizing gifts, payments, or even messages between the human world and the divine. As just one example, think of the use of a dove in the Noah and the ark myth (Genesis 8:6–12). The dove is the first animal to bring back a piece of greenery, evidence that the flood had receded. With this promise, Noah begins preparations to leave the ark and start over. This use of animals as messengers and forms of sacred communication is seen across cultures. In prehistoric Peru, wild guinea pigs were sacrificed and buried either alone or with humans. They appear in archaeological deposits in Peru as early as 9000 BP (Sandweiss and Wing 1997), and they continue to appear as sacrifices after their domestication around 4500 BP and through the Inca period that ended in the 16th century. Some of the sacrificed animals are whole and intact, mummified and desiccated, while others have been burned and their charred bones stored as ritual offerings inside elaborate ceramic jars. Guinea pigs were and still are a dependable source of meat in the Andes, where they traditionally live inside kitchens, nesting around the warmth of the cooking area. They are also used medicinally, their fat rubbed on areas of sickness to draw out pain and infection, and employed as divination tools. During divination rituals today, some Andean healers will rub a living guinea pig on a patient’s body to draw out some of the illness and then cut the animal open to “read” it, looking for a sign of some type of abnormality in the guinea pig’s organs that would mirror the location of the illness in the human patient. At Lo Demás , an ancient Inca fishing site south of Lima, Peru (ca. 1480–1540 CE), archaeologists have excavated multiple guinea pig sacrifices, some of which show characteristic signs of having been used for divination and healing prior to burial. In India, where Hinduism is the predominant religion, it is common to see cows walking along city streets, undisturbed and roaming freely. Many Hindus practice vegetarianism, but even those who eat meat do not usually eat beef. Cattle are sacred in Hinduism. In the Vedas, the Hindu sacred texts, the cow is associated with Aditi, the mother of all gods. In a very famous study, “The Cultural Ecology of India’s Sacred Cattle” (1966), cultural anthropologist Marvin Harris explores the economic rationale associated with revering cattle , arguing that cattle are considered sacred because they are more useful when allowed to live out their natural lifespans than when slaughtered at a young age for meat alone. In India, cattle provide dung that can be dried and used as fuel, traction for plowing fields, some limited milk production, and reproductive capacity. When cattle die of old age, beef and leather are then harvested by those in the lowest socioeconomic class. Keeping cattle alive as long as possible thus provides for a greater range of material assets than raising them for food. This economic rationale, however true it may be, does not negate the cultural and religious importance of cattle to Indian people. Understanding animals’ symbolic roles is critical to understanding human belief systems. A white elephant enjoys the rain in an elephant sanctuary in Phuket, Thailand. In Buddhism , the elephant symbolizes mental strength and endurance (Diamond 2011). Buddhists in Burma, Cambodia, and Thailand believe that the white elephant represents one of the reincarnations of the Buddha. (credit: “Elephant in the Rain” by Marc Dalmulder/flickr, CC BY 2.0) Buddhism is a religion that reveres all life and sees humans and animals as intertwined, each capable of being reincarnated into the other, reborn into a new cycle of life inhabiting a new body of the same or another species. Because Buddhists believe in karma , a spiritual principle of cause and effect in which an individual’s words, actions, and deeds in one life affect their conditions in the next life cycle, the relationship between humans and other animals should ideally be based on respect and sympathy. All forms of life are working toward enlightenment, a state of awakening and having a complete knowledge of the life process. Animals are important in human belief systems. English art critic and poet John Berger ([1980] 1991) writes about the gaze between humans and other animals, saying that animals remind humans that we are not here on Earth alone, that we are all companion species. Many religious systems reflect the awareness that life is not the exclusive domain of the human species and that our world is a shared community. For more on animals and belief systems, see the Ethnographic Sketch at the end of the chapter. culture hero an idealized animal or human figure associated with supernatural feats. A culture hero is particular to their cultural group, exhibiting specific traits, actions, and discoveries that are significant to that group of people karma a Buddhist spiritual principle of cause and effect in which an individual’s words, actions, and deeds in one life affect their conditions in the next life cycle reincarnation rebirth into a new cycle of life, inhabiting a new body of the same or another species. totem an animal or plant believed to be spiritually connected to a group of people. totemism a belief and classification system in which a group of humans claims a spiritual kinship with a plant or animal that serves as the group’s emblem. trickster an animal spirit deity who is very lively and clever and gets into trouble through thoughtless or unconventional actions.", "section": "Symbolism and Meaning of Animals", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Pet-Keeping Learning Outcomes By the end of this section, you will be able to: Define the pet as a cultural artifact. Trace the historical development of pets in Western societies. Provide examples of pets in Indigenous societies. Identify major behavioral and morphological characteristics of pets. Describe the economic impact of pet keeping in Western societies. One of the most familiar and intimate roles that animals play in the lives of contemporary Western people is that of pets. Pets are animals that are either domesticated or tamed with whom humans have developed a long-term social bond. Pets are part of many human cultures. Pets as Cultural Artifacts Although specific pets are actual beings (many of us can think of the face of one or more pets we live or have lived with), pets in general can be understood as a cultural artifact. This means that the ways in which pets are treated and what is expected of them vary a great deal from one culture to another. Most pets live in or around human households, are considered the possessions of their human owners, and have limited ability to make freewill decisions. Chinese geographer and early scholar in human-animal studies Yi-Fu Tuan (1984) has studied the ways in which humans have dominated the living environment and their pets, with approaches varying between extremes of dominance and affection, love and abuse, cruelty and kindness. He argues that pets in Western societies are defined by emotion and nostalgia, an approach likely related to increasing distance between people and the natural world. Even within a culture that treats certain animals in a sentimental way, relationships with other animals can still be characterized by cruelty and dominance. Tuan writes, “Animals are slaughtered for food and clothing without a twinge of conscience. A few specimens and species, however, catch the fancy of people in a playful mood and are made into pampered pets or fervently supported causes” (1984, 162). What we would recognize as modern pet keeping in the Western world—an approach characterized by keeping animals for no other purpose than to be companions for humans—emerged during the late 18th and early 19th centuries. Prior to that time, animals cared for by humans had functions or tasks within the household. As communities and towns became increasingly urban and people lost interaction with wild animals, the relationship between people and animals shifted in various ways. Many families were smaller and had more time to care for a pet. Animals had fewer assigned duties and responsibilities and were more available as companions. Improvements in medical and veterinary sciences lowered the risk of zoonoses , or diseases transmitted between animals and humans, although zoonotic infections continue to threaten human populations (consider COVID-19, for example). Lastly, a growing middle class with more affluence could afford the luxury of keeping pets. Modern pet keeping is marked by a relationship of demonstrative affection between people and their animals as well as by the economic development of pet industries, such as pet food companies, veterinary services, and even cremation and burial services. Pet Keeping in Indigenous Societies There is extensive evidence of pet keeping in Indigenous societies. In many hunter-gatherer societies, children keep numerous pets, most often birds, small rodents, and monkeys. These animals, often taken directly from the forest or wilderness area when they are still young, are considered valuable companions for children. Caring for the animals is thought to teach children to understand animals’ movements and personalities and help them develop a sense of stewardship for the natural world. Animal ethicist James Serpell (1988) has found wide-ranging pet keeping throughout Indigenous societies in North and South America. The Waraõ in the Orinoco region of Venezuela keep birds, monkeys, sloths, rodents, ducks, dogs, and chickens as pets. The Kalapalo of central Brazil have a particular affection for birds and treat them as members of the family. The Barasana of eastern Colombia keep pet rodents, birds (especially parrots and macaws), peccaries (piglike mammals), and even young jaguars. And North American Indigenous groups are known to have tamed raccoons, moose, bison, wolves, bears, and especially dogs. A Guaraní family with their dog in Mato Grosso do Sul, Brazil, in 2004. Pets are part of many human cultures. (credit: “Agrotoxico Ti Guarani Kaiova_Foto_Ana Mendes (23)” by Ana Mendes/Amazônia Real/flickr, CC BY 2.0) While many Native Americans are very affectionate with their dogs, their style of “keeping” these dogs as pets differs a great deal from what most American are familiar with. In a 2020 article titled “What Rez Dogs Mean to the Lakota,” Lakota tribal members Richard Meyers and Ernest Weston Jr. explain: In our culture, people traditionally don’t own animals the way other cultures have pets; the animals are left wild, and may choose to go to a home to offer protection, companionship, or even to become a part of a community. People feed the dogs and care for them, but the dogs remain living outside and are free to be their own beings. This relationship differs from one where the human is the master or owner of an animal who is considered property. Instead, the dog and people provide service to one another in a mutual relationship of reciprocity and respect. The roles of pets in human societies are very complex and depend on specific cultural traditions and ways of relating to animals, both wild and domesticated. It is important to note that pets play different roles across different cultures and cannot be easily defined. The Making of Pets In Western societies, domesticated animals have increasingly been subjected to extreme genetic manipulation in order to manufacture ever more novel and attractive pet animals. In Europe, the earliest kennel clubs , designed to develop and maintain breeds and record pedigrees, began as dog show societies in England in 1859 and were later established as governing bodies and official institutions, starting in 1873. Although dog breeds now come from all over the world and continue to be developed—a recent addition to the list of breeds recognized by the American Kennel Club (AKC) is the Biewer terrier, first recognized in January 2021—the majority of modern pet breeds were first developed in Victorian England, where pet keeping flourished and was adopted by all social classes. Sometimes, this selective breeding of pets is detrimental to the health of the animal breed. In the English bulldog, for example, 86 percent of litters must be delivered by cesarian section because the pups’ large heads and mothers’ narrow pelvises have made live, natural births very challenging (Evans and Adams 2010). In addition, as dog breeders create more and more specialized pets, the gene pool becomes narrowed and less diverse, producing animals that are more prone to conditions such as cancer, hip dysplasia, deafness, hereditary epilepsy, and allergies. In pedigreed cats, which are subject to the same selective pressures in breeding, there are both heart and kidney problems that are thought to be accelerated by selective breeding. One of the most commonly sought set of characteristics by people selectively breeding animals for pets is the appearance of a permanent juvenile state. Neotony , the tendency for an animal to maintain both physical and behavioral juvenile characteristics into adulthood, has been highly sought after in many domesticated animals. Some of the most commonly desired juvenile physical traits are larger and wider-set eyes, a smaller snout (or nose), a more globular (or rounded) skull, and fewer and smaller teeth (which leaves many dogs with crowded teeth and dental problems). Social neotony involves a cluster of traits relating to a strong and submissive attachment to humans and increased attentiveness to human behavior. The overall size of animals is also a consideration when breeding pets. Consider the range of miniature animals we have selected for today: miniature horses, mules, and pigs; pygmy goats and hedgehogs; and others. Of all animals kept as pets, dogs have been the most manipulated in size. Today, there is a proliferation of “teacup” breeds that can be carried in the owner’s pocket or purse. Small dogs offer many advantages to humans living in urban environments and small apartments, but there are few advantages for the dogs themselves. Most teacup versions are created by breeding the smallest animals in a litter. There are many health risks that accompany this process of extreme miniaturization, such as collapsing tracheas, digestive problems, heart defects, liver shunts, slipping kneecaps, and a host of dental challenges. Pet keeping has deep roots in human societies and has changed over time. Interestingly, it has also been documented among some animals. Nonhuman animals have been known to form cross-species friendships and alliances and to take care of each other both in the wild and in captivity. One interesting example is the gorilla Hanabiko, called “Koko,” who was trained to understand spoken English and communicate using a form of American Sign Language that her keeper called Gorilla Sign Language. Koko became interested in cats and signed that she wanted a kitten for Christmas in 1983. Her keepers at first provided her with a stuffed cat, but Koko insisted that she wanted a living one. On her birthday the following July, her keepers allowed her to choose a rescue kitten, which she named “All Ball” because he had no tail and was very fluffy. The relationship between Koko and her kitten, documented in many articles and videos, was a nurturing one in which Koko treated All Ball like her baby and her pet. Pet keeping says a great deal about the human need to reach across species for companionship, dominance, and affection. Perhaps, though, this is not solely a human need. ecotourism an international conservation movement to preserve the flora and fauna of endangered natural environments through conscientious tourism. neotony a tendency for an animal to maintain both physical and social juvenile characteristics into adulthood. pets animals, whether domesticated or tamed, with whom humans have a social bond. zoonoses plural form of zoonosis , singular; diseases transmitted from animals to humans, usually involving a wild animal host. Many zoonoses mutate and become more virulent in their human hosts (e.g., COVID-19, measles, HIV, influenza).", "section": "Pet-Keeping", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Animal Industries and the Animal Trade Learning Outcomes By the end of this section, you will be able to: Describe the evolution of zoos. Recognize the benefits of ecotourism. Define the use value of animals in biomedical research today. In the past two centuries, Western societies have increasingly taken the approach of treating animals as a commodity —a raw material or resource for human use, a thing instead of a being. When we consider the relationships that many Indigenous societies have with animals, we can better realize how different the Western idea of animals is. Approaching the world and nature primarily as consumers rather than coequals, Western cultures face increasing environmental, socio-emotional, and resource-related challenges in all areas of life. Zoos Zoos have long been part of human societies. The earliest evidence of a zoo has been found in Hierakonpolis, the capital of Upper Egypt during the Predynastic period, today called Nekhen. Here, archaeologists have unearthed the mummified remains of a collection of wild and domesticated animals from about 5,000 years ago that included baboons, hippos, gazelles, crocodiles, a leopard, and cats and dogs. Some of the animals had injuries likely caused by being tied or enclosed in some way. Many of them were buried in the same way that humans were buried, and some were found inside human burials (Boissoneault 2015). Another famous historical zoo was that of the Aztec king Montezuma . When the Spaniards arrived in the Aztec capital of Tenochtitlán in 1519, they were surprised by the vast collection of animals housed in enclosures and rooms within the king’s palace complex, including jaguars, bears, eagles, deer, fowl, ocelots, and little dogs. According to the Spanish chroniclers, the zoo had some 300 keepers to care for the animals. Similar to early pet keeping, zoos were typically associated with wealth and status. Modern zoos emerged in the late 18th century during the period known as the Enlightenment, characterized by the development of science and the expansion of colonial empires. European zoos were filled with wildlife from new colonies and “foreign” lands and were considered places to see strange and exotic animals. The first modern zoos opened in Paris in 1793, London in 1828, and Philadelphia in 1874. These were all very popular public institutions that exhibited animals for entertainment and observation. The zoos were laid out like public parks, with small animal enclosures that allowed people to get up close to see. There have been many changes in zoos over the last 50 years. With the signing of the Convention on International Trade in Endangered Species of Wild Flora and Fauna (CITES) in 1973 and the passage of the Endangered Species Act in the United States the same year, wild animal imports to US zoos declined sharply. This coincided with the development of breeding and conservation programs at zoos, some of which involve breeding rare and endangered species to be released back into the wild as part of a sustainable population. One species for which breeding efforts are currently underway is the giant panda. Animals are commonly moved from one zoo site to another and shared for breeding purposes in an effort to fortify the breed. Animals that are endangered may be part of a zoo preservation program. In some cases, critically endangered animals are cared for by zoos when they are young and vulnerable to predators and then reintroduced into the wild. The website of the Association of Zoos and Aquariums (AZA) features a long list of animals whose populations have been preserved through the efforts of zoos, including the black-footed ferret, the California condor, the Ohio River basin freshwater mussel, the golden lion tamarin, and the Oregon spotted frog. Zoos also sponsor research programs with goals such as creating sustainable populations in the wild, conserving wildlife habitats, improving animal health, or even collecting endangered species’ genetic material (DNA) (DeMello 2012, 106). What should be the role of zoos in contemporary Western societies? Should the zoo be closer to a theme park or a museum? Should the goal of a zoo be animal conservation or human recreation? These questions guide us as we continue to rethink the mission of zoos today. Barbara J. King 1956– Anthropologist Barbara King with Cynthia Goat at the Farm Sanctuary in Watkins Glen, New York (credit: Charles Hogg) Personal History: Born in New Jersey, King earned her BA from Douglass College (Rutgers University) and her MA and PhD from the University of Oklahoma, where she specialized in biological anthropology. Her doctoral field research in Amboseli National Park, Kenya, focused on foraging and social behaviors among yellow baboons. From 1988 to 2015, she served as professor of anthropology at the College of William & Mary in Williamsburg, Virginia, where she received numerous awards for outstanding teaching and mentorship. She is now a professor emerita, although she continues to have an active role in academia, research, publishing, and mentorship. Area of Anthropology: King’s research and contributions to the field are notable for their broad-ranging relevance across anthropological subfields and disciplines, among them linguistic and communication systems in primates, social relationships between species, the primate origins of religious thought, and the social and emotional lives of various animal species, including those being factory farmed. Her anthropological focus is often on the continuities between humans and other animals and the ethics of human-animal relationships. She has published seven books and numerous scholarly articles. Accomplishments in the Field: Given the four-field scope of much of King’s research, she has had considerable impact on many areas of academia. In 2002, King was awarded a Guggenheim Fellowship for “exceptional capacity for productive scholarship” and creativity. Two of her works, Evolving God: A Provocative View on the Origins of Religion (2007, Doubleday) and How Animals Grieve (2013, University of Chicago Press), have received prizes and awards as outstanding contributions to the field. King is also an active public anthropologist, bridging gaps between academic research and the public. A contributor to the National Public Radio blog Cosmos and Culture from 2011 to 2018 and a full-time science writer since her retirement in 2015, King, through interviews, articles, and blogs, communicates the importance of science for public good and social change. Her research on animal grief, How Animals Grieve , was highlighted in her 2019 TED Talk, “ Grief and Love in the Animal Kingdom .” King also regularly reviews books for various media outlets, including NPR, the Washington Post , and the Times Literary Supplement , and publishes in Sapiens , an online anthropology magazine devoted to public outreach. She is a self-described Twitter addict (@bjkingape). Importance of Their Work In her public role, King seeks to educate and incentivize people to make positive change for human and animal lives. In her newest book, Animals’ Best Friends: Putting Compassion to Work for Animals in Captivity and in the Wild (University of Chicago Press, 2021), King issues a call to cultivate compassionate action toward all the animals sharing their lives with us. She challenges us to widen our lens on the world around us and become animals’ best friends, whether they are in our homes, in the wild, in a lab, in a zoo, or destined to be thought of as food. “When we still ourselves and genuinely see the more-than-human-world, possibilities for helping animals bloom all around us—we may rescue rather than squish a spider in our home; resist an urge to crowd wild animals in order to snap selfies; advocate for non-animal models in laboratory science; refuse to support roadside zoos or swim-with-dolphin programs; and increase our plant-based eating” (Snipes, personal communication, 2021). For more on King’s recent work, see her interview with nature writer Brandon Keim on Earth Day 2021. Ecotourism Another way in which contemporary Western societies are attempting to address the damage caused by a commodified view of the natural world, including the animals living in it, is through ecotourism . This is tourism designed to be sustainable and to help preserve the flora and fauna of endangered natural environments. Often, the focus is on visiting threatened environments and observing wildlife in its natural habitat. Such tourism can earn money to aid in the conservation of these areas, provide employment for local residents, and raise awareness of the importance of biological, as well as cultural, diversity. Ideally, care is taken to ensure that tourists visiting natural areas do not disturb or damage the environment; however, there are no global standards for ecotourism, and some sites are more successful at protecting sensitive environments than others. The term greenwashing is sometimes applied to sites that promote the natural environment as an attraction while engaging in exploitative and environmentally destructive behavior. The Galapagos giant tortoise is found only in the Galapagos Islands. It is being preserved today through ecotourism and conservation efforts. (credit: “Pinta Island Giant Galapagos Tortoise” by Arturo de Frias Marques/flickr, Public Domain) An example of effective and increasingly responsible ecotourism is provided by the Galápagos Islands . The Galápagos island chain was made famous by English naturalist Charles Darwin , who used his observations of the diversity of the ecosystem’s animals to develop the theory of natural selection. Located 563 miles west of the coast of Ecuador, the Galápagos were listed by UNESCO as a World Heritage Site in 1978. Prior to that, the islands were only partially protected. Some of the Galápagos Islands were designated as wildlife sanctuaries in 1934, and the island archipelago became an Ecuadorian national park in 1959. Around that time, a few wealthy tourists began to travel to the islands to view their extraordinary biodiversity. By the 1990s, tourism had become very popular and a tourist industry had developed, with hotels, restaurants, and transportation. Today, the Galápagos National Park Service, which manages 97 percent of the island lands (the other 3 percent are contained settlements where local people live), has strict policies limiting the daily number of visitors. Local people serve as employees in the park and teach the value of conservation to tourists. It is the hope of the Galápagos National Park Service and the local people that this island ecosystem and its living inhabitants—such as the Galápagos giant tortoise , the Galápagos penguin, the blue-footed booby, the flightless cormorant, and the waved albatross—will be preserved for future generations. Animals and the Medical Industry In 2015, there were estimated to be some 192 million animals being used in biomedical laboratories across 179 countries worldwide (Taylor and Alvarez 2019). These animals are used for medical experiments, drug testing, product testing, and psychological research. The most commonly used animals in US labs are mice, rats, and birds, though a range of other animals—including rabbits, guinea pigs, hamsters, farm animals such as pigs and sheep, cats, dogs, and nonhuman primates—are used as well (Humane Society of the United States 2021). These animals come from various sources, including breeding programs within the biomedical labs themselves. Although biologists, chemists, animal behaviorists, psychiatrists, and psychologists tend to be more frequently involved in medical research with animals, anthropologists—especially primatologists and linguistic anthropologists—also have a history of working with animals in laboratory settings. Primatologist Sue Savage-Rumbaugh carried out long-term cognitive studies of two bonobos, Kanzi and Panbanisha , from birth. Savage-Rumbaugh was interested in understanding how bonobos, which are closely related to humans, learn communication. She developed a computer-based language program using lexigrams, or symbols representing words, printed on a keyboard. Although lacking the vocal apparatus of a human, Kanzi and Panbanisha demonstrated advanced cognitive linguistic skills by responding to human speech and generating language by pressing lexigrams. In one study comparing Kanzi’s language competence with that of a two-year-old human child, Kanzi scored significantly higher: 74 percent accuracy, compared to 65 percent accuracy for the two-year-old human (Savage-Rumbaugh et al. 1993). Studies such as this one shed light not only on animals’ abilities but also on the continuities that exist between humans and animals. There are two primary regulations in the United States that pertain to biomedical research animals: the Animal Welfare Act (AWA) and the Public Health Service Policy on Humane Care and Use of Laboratory Animals (PHS Policy). The AWA is a law passed by Congress in 1966 that originally covered the transport, sale, and handling of some animals and advocated for more humane animal practices in laboratories. The act has been amended several times (1970, 1976, 1985, 1990, 1991, 2002, 2007, 2008, 2014), including to add a requirement that researchers register their use of animals and also consider a database of alternatives if the procedure can cause any distress or pain. The act cover animals such as dogs, cats, rabbits, and nonhuman primates, but it does not cover those animals most commonly used in laboratory experiments: rats, mice, and birds. The PHS Policy applies to all research facilities that perform animal research and receive any type of federal funding; though not itself a law, its creation was mandated by the Health Research Extension Act, passed by Congress in 1985. This policy states that each institution conducting such research must have an institutional animal care and use committee (IACUC) that reviews all proposed animal research experiments. This committee must include at least five members, one of whom must be a veterinarian and another a person not affiliated with the institution. When reviewing research proposals, the IACUC is expected to evaluate whether (1) basic standards are met, (2) the use of animals is justified, (3) the research is not duplicated, and (4) pain and discomfort for the animals are minimized. The United Kingdom and the European Union have similar measures to regulate and oversee animal laboratory research. Animal research has been critical to many advances in medicine, including the development of the first human vaccine to successfully eradicate smallpox, the polio vaccine, and treatments for HIV/AIDS, Alzheimer’s disease, hepatitis, and malaria. Animals have played a crucial role in the development of many new drugs and therapies, and a significant amount of research conducted on animals also benefits veterinary medicine and other animals as well. However, the use of living animals for experiments and testing raises many ethical issues and has inspired a great deal of conflict and controversy. Animals in Our Lives Humans share their lives with animals in many ways, and how we think about ourselves as human beings rests primarily on the distinctions we see between ourselves and other species. English art critic and poet John Berger writes, “With their parallel lives, animals offer man a companionship which is different from any offered by human exchange. Different because it is a companionship offered to the loneliness of man as a species” ([1980] 1991, 6). Across cultures and across time, humans have looked toward animals as fellow participants in their lives. They actively participate in the ways we define ourselves. They feed us and accompany us. They work for us and protect us. They also serve as symbols and messengers that help us better understand our world. Our lives are intertwined in multiple ways. What is an animal? What is the value of nonhuman animals in our lives? How do our attitudes about animals define who we are as human beings? Anthropologists and other researchers increasingly see the value of bringing animals into their research because animals are critical to understanding what it means to be human. Summary Animals play essential roles in many areas of human life. While it may be difficult to define an animal, and sometimes controversial to speak the scientific truth that human are animals, too, the continuum between us and them is incontrovertible. In describing animals, anthropologist Claude Lévi-Strauss said that they are “good to think” of (1963, 89) because they show up prolifically in our cultures. Human-animal scholars often use a research approach known as multispecies ethnography as a way of understanding the symbiosis between humans and animals. Of all animal species, the dog has played the most transformative role in human cultures historically. An early domesticate, dogs have served as guards, hunters, herders, transport, food, and (most commonly) companions in many different societies. Many human subsistence systems depend on animals; hunting, herding, fishing, and factory farming are the primary ways in which humans access meat. Indigenous hunters practice empathy and appreciation as ways of connecting as predators to prey, and many pastoralists have a symbiotic relationship with their herd animals, migrating periodically to provide pasture for their herds. Animals are also symbols. In totemic societies, animal species and relationships are used as ways of ordering human society; human groups have relationships of respect with their totemic emblem and identify with some of the qualities of the animal. Animals also play important roles in oral tradition and religious systems as teachers, messengers, and sacrificial tokens. Many religious systems reflect the awareness that life is not the exclusive domain of the human species and that our world is a shared community. Animals are also pets and cultural artifacts. Domesticated animals have been genetically reconfigured to meet the needs of human societies. This includes selectively breeding for neotony , a tendency for an animal to maintain both physical and behavioral juvenile characteristics. While many Indigenous societies practice pet keeping as companionship and sometimes also as a way to teach young children about animal behaviors, in modern Western societies, pet keeping has become an industry. There are also animal trades in Western societies, from zoos, aquariums, and circuses to wild animal reserves where ecotourism generates funds to preserve wild animal habitats. Often, these industries have both negative and positive attributes. In the medical industry, animals have long served as human stand-ins for research. Increasingly today, there are laws and regulations to improve the plight of animals in medical labs, but this continues to be a challenge, and the improvements are rarely adequate. Still, the contributions that animals have made to human health and welfare have been substantial, whether in labs, on farms, in forests, or in our homes. Animals have always mattered to human beings. Critical Thinking Questions Animal Familiarity Experience of Marjorie Snipes, chapter author A young female goat and her kid. (credit: “Nursing Kid” by swallowsan/flickr, CC BY 2.0) During fieldwork in northwestern Argentina, I lived with a community of herders who tended goats and sheep, interviewing every day and taking copious notes. After six months of research, I took a two-week break from the field to return to the United States to welcome my new niece. When I returned to the field site, I had an accidental breakthrough. However, let me back up. In this Andean community, herders believe that their flocks are gifts from Pachamama (Mother Earth), and women are the primary caretakers and shepherds for the animals. After I had lived in the community for about six weeks, one of the families gave me a small kid, or young goat, which I named Maisie. I suspected that this gift was a test to see if I was planning to be part of the community. I took care of Maisie every day, even though she remained a functioning member of another family’s herd. Goats normally reproduce toward the end of their first year, and Maisie was pregnant when I left for my two-week absence from the field. While I was gone, she gave birth to a male that the family named Vicente Beda, after a Catholic saint. When I arrived back at the household where I was staying, late in the day, Doña Florentina was eager for me to meet the newest member of my herd. We entered the corral, and the young kid came running up to me with no fear. When I commented about the familiarity, as young animals tend to be skittish around new people, Florentina responded, “But he knows you, Margo.” And so I learned about the librito (little book) that they believe is located in the stomach area of each of their herd animals. The librito contains information about an animal’s life: who loves it, where it belongs, and when it will die. It is the shepherd’s duty to discern the contents of the book through the animal’s behavior, as she cannot openly read it. Animals who get lost frequently or have trouble bonding with the herd will be traded, as families believe such animals do not belong to them. And when it is time to select an animal for slaughter, the shepherd chooses an animal whose behavior indicates that the time is appropriate. While the signs vary according to the animal’s disposition, it is normally a change of demeanor that the shepherd interprets as acquiescence. During slaughter, a woman typically holds the animal while a man cuts the throat. In all slaughters that I attended, the goat or sheep was killed peacefully, and butchering occurred quickly afterward—except one. The animal was a large ewe, and she was initially compliant with being handled, but at the moment that her throat was cut, her back feet scrambled and she tried to rise up. Everyone around me became very still and began to lower their voices, saying that it was not the right time for the ewe, that there had been a mistake. The shepherd had “made a mistake.” The ewe was not butchered. She lay there for about an hour while the family discussed where to take her for burial. She was buried far away from the corral and household. Multispecies Animal Observation Ethnography increasingly utilizes methods aimed at incorporating a multitude of diverse voices. The purpose of this is not diversity for diversity’s sake but to more accurately reflect and understand the various interactions that may occur within any field encounter. In this fieldwork activity, you will experiment with multispecies ethnography. Choose a wild animal (e.g., pigeon, duck, squirrel, insect, etc.), and observe it (with no interaction) for at least 15 minutes. During the observation, make consistent notes every 30 seconds to one minute, writing down the animal’s behavior incrementally and how it interacts with its environment. Note also whether the animal seems to notice your presence or interact with you. Following the observation session, write up a multispecies ethnographic account, using the data you have collected to inform you of the possible intentions and thoughts of the animal as well as your own thoughts and reactions. Your write-up should be 500 to 750 words and should end with a paragraph reflecting on the experience of trying to write from an animal’s perspective (based on human observation). Turn in the original timed notes along with the final paper. Bibliography Almagor, Uri. 1985. “The Bee Connection: The Symbolism of a Cyclical Order in an East African Age System.” Journal of Anthropological Research 41 (1): 1–17. Avieli, Nur. 2011. “Dog Meat Politics in a Vietnamese Town.” Ethnology 50 (1): 59–78. https://ethnology.pitt.edu/ojs/index.php/Ethnology/article/viewArticle/6092. Berger, John. (1980) 1991. “Why Look at Animals?” In About Looking , 3–28. New York: Vintage Books. Boissoneault, Lorraine. 2015. “Leopards, Hippos, and Cats, Oh My! The World’s First Zoo.” JSTOR Daily. November 12, 2015. https://daily.jstor.org/leopards-hippos-cats-oh-worlds-first-zoo/. Boylan, Michael. n.d. “Aristotle: Biology.” Internet Encyclopedia of Philosophy. https://iep.utm.edu/aris-bio/. Brightman, Robert. 1993. Grateful Prey: Rock Cree Human-Animal Relationships . Berkeley: University of California Press. Crocker, Jon Christopher. 1985. Vital Souls: Bororo Cosmology, Natural Symbolism, and Shamanism . Tucson: University of Arizona Press. DeMello, Margo. 2012. Animals and Society: An Introduction to Human-Animal Studies . New York: Columbia University Press. Diamond, Wendy. 2011. “Thailand: Buddha’s Animal Kingdom.” HuffPost , September 19, 2011. https://www.huffpost.com/entry/thailand-buddhas-animal-k_b_969662. Evans, Katy M., and Vicki J. Adams. 2010. “Proportion of Litters of Purebred Dogs Born by Caesarean Section.” Journal of Small Animal Practice 51 (2): 113–118. Gadsby, Patricia, and Leon Steele. 2004. “The Inuit Paradox.” Discover , January 19, 2004. https://www.discovermagazine.com/health/the-inuit-paradox. Harris, Marvin. 1966. “The Cultural Ecology of India’s Sacred Cattle.” Current Anthropology 7 (1): 51–66. Humane Society of the United States. 2021. “Animals Used in Experiments FAQ.” https://www.humanesociety.org/resources/animals-used-experiments-faq. Hurn, Samantha. 2012. Humans and Other Animals: Cross-Cultural Perspectives on Human-Animal Interactions . London: Pluto Press. Ingold, Tim, ed. 1994. What Is an Animal? Rev. ed. New York: Routledge. Ingold, Tim. 2000. “Hunting and Gathering as Ways of Perceiving the Environment.” In The Perception of the Environment: Essays on Livelihood, Dwelling and Skill , 40–60. New York: Routledge. Istomin, Kirill Vladimirovich, and Mark James Dwyer. 2010. “Dynamic Mutual Adaptation: Human-Animal Interaction in Reindeer Herding Pastoralism.” Human Ecology 38 (5): 613–623. Kirksey, S. Eben, and Stefan Helmreich. 2010. “The Emergence of Multispecies Ethnography.” In “Multispecies Ethnography,” special issue, Cultural Anthropology 25 (4): 545–576. Lévi-Strauss, Claude. 1963. Totemism . Translated by Rodney Needham. Boston: Beacon Press. McKie, Robin. 2011. “Love of Animals Led to Language and Man’s Domination of Earth.” Guardian , October 1, 2011. https://www.theguardian.com/science/2011/oct/02/anthropology-pat-shipman-animals-language. Meyers, Richard, and Ernest Weston Jr. 2020. “What Rez Dogs Mean to the Lakota.” Sapiens , December 2, 2020. https://www.sapiens.org/culture/rez-dogs/. Mohnhaupt, Jan. 2020. Tiere im Nationalsozialismus . Munich: Carl Hanser. Morgan, Lewis Henry. 1868. The American Beaver and His Works . Philadelphia: J. B. Lippincott. Ostrander, Elaine A., and Robert K. Wayne. 2005. “The Canine Genome.” Genome Research 15 (12): 1706–1716. https://doi.org/10.1101/gr.3736605. Peterson, Anna Lisa. 2001. Being Human: Ethics, Environment, and Our Place in the World . Berkeley: University of California Press. Posey, Darrell A. 1981. “Wasps, Warriors and Fearless Men: Ethnoentomology of the Kayapó Indians of Central Brazil.” Journal of Ethnobiology 1 (1): 165–174. https://ethnobiology.org/sites/default/files/pdfs/JoE/1-1/Posey1981.pdf. Pringle, Heather. 2011. “Earliest American Dogs May Have Been Dinner.” Science , May 6, 2011. https://www.science.org/content/article/earliest-american-dogs-may-have-been-dinner-rev2. Ritvo, Harriet. 1988. “The Emergence of Modern Pet-Keeping.” In Animals and People Sharing the World , edited by Andrew N. Rowen, 13–31. Hanover, NH: University Press of New England. Sandweiss, Daniel H., and Elizabeth S. Wing. 1997. “Ritual Rodents: The Guinea Pigs of Chincha, Peru.” Journal of Field Archaeology 24 (1): 47–58. Savage-Rumbaugh, E. Sue, Jeannine Murphy, Rose A. Sevcik, Karen E. Brakke, Shelly L. Williams, and Duane M. Rumbaugh. 1993. “Language Comprehension in Ape and Child.” Monographs of the Society for Research in Child Development 58 (3–4): i–252. Serpell, James A. 1988. “Pet-Keeping in Non-Western Societies: Some Popular Misconceptions.” In Animals and People Sharing the World , edited by Andrew N. Rowen, 33–51. Hanover, NH: University Press of New England. Shipman, Pat. (2015) 2017. The Invaders: How Humans and Their Dogs Drove Neanderthals to Extinction . Cambridge, MA: Belknap Press of Harvard University Press. Snipes, Marjorie M. 1996. “When the Other Speaks: Animals and Place as Social Space in the Argentine Andes.” PhD diss., University of Wisconsin–Madison. ProQuest (AAT 9636601). Spröer, Susanne. 2020. “Hitler’s Dogs, Göring’s Lions: How the Nazis Used and Abused Animals.” DW. June 8, 2020. https://p.dw.com/p/3dJUC. Taylor, Katy, and Laura Rego Alvarez. 2019. “An Estimate of the Number of Animals Used for Scientific Purposes Worldwide in 2015.” Alternatives to Laboratory Animals 47 (5–6): 196–213. https://doi.org/10.1177/0261192919899853. Thompson, Marc. 2008. “Itzcuintle: Ancient Mexican Dog Food.” In “Dogs in the Southwest,” special issue, Archaeology Southwest 22 (3): 9. Tidwell, James N. 1948. “Frogs and Frog-Eaters.” American Speech 23 (3–4): 214–216. Tuan, Yi-Fu. 1984. Dominance and Affection: The Making of Pets . New Haven, CT: Yale University Press. Willerslev, Rane. 2004. “Not Animal, Not Not -Animal: Hunting, Imitation and Empathetic Knowledge among the Siberian Yukaghirs.” Journal of the Royal Anthropological Institute 10 (3): 629–652. Yon, Sophia. 2002. A New Perspective on Barking in Dogs ( Canis familiaris ). Journal of Comparative Psychology 116(2):189-93. Zorn, Elayne. 1995. “(Re-)Fashioning Identity: Late Twentieth-Century Transformations in Dress and Society in Bolivia.” In Contact, Crossover, Continuity: Proceedings of the Fourth Biennial Symposium of the Textile Society of America, September 22–24, 1994 , 343–354. Los Angeles: Textile Society of America. https://digitalcommons.unl.edu/tsaconf/1057/. Suggested Films Cave of Forgotten Dreams . 2010. Directed by Werner Herzog. Creative Differences. Eduardo the Healer . 1978. Directed by Richard Cowan. Serious Business Company. People of the Seal . 2009. Directed by Kate Raisz. NOAA Ocean Media Center.", "section": "Animal Industries and the Animal Trade", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction David Lewis, the author of this chapter, with a Kalapuya canoe donated to Grand Ronde Tribe by the Willamette Heritage Center. The canoe was found preserved in the clay of the Calapooia River in Oregon. (credit: Dean Rhode, Public Domain) The author of this chapter, David Lewis, explains his deep connection to the material: I, David Lewis, am the author of this chapter and a Native scholar—a member of the Confederated Tribes of the Grand Ronde Community of Oregon. I am a descendant of the original Santiam Kalapuya, Takelma, and Chinook tribes of western Oregon. I connect the real-world problems facing Indigenous peoples to the overwhelming lack of knowledge about Native peoples held by most non-Native people in American society. I have experience researching Indigenous peoples throughout the Pacific Rim, but in my PhD work, I have focused on the Native peoples of Oregon. Scholars of Indigenous peoples will normally focus on one or a few Indigenous cultures in their work, but in any region, a cross section can be found of the sociopolitical themes present in a global context. Because of my research focus, this chapter contains mainly examples from Oregon and the Northwest Coast, with the inclusion of a few other case studies and examples from other regions. This chapter privileges North American subjects over global Indigenous subjects. Regardless of this focus, be aware that most of the topics discussed here exist in some form in all global Indigenous cultures, especially those that have undergone colonization and a struggle for sovereignty and rights, which include nearly all Indigenous peoples today.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Indigenous Peoples Learning Outcomes By the end of this section, you will be able to: Name different terms used for Indigenous peoples and describe the history and current connotations of each. Explain what is meant by the statement that Indigenous peoples have become minorities in their own lands. Define blood quantum and explain its current application. Explain what is meant by the phrases “urban Indian” and “reservation Indian” and describe social and cultural characteristics associated with each. Provide two examples of 20th-century challenges experienced by Native peoples in the United States. Explain the need for Native perspectives in studies about Native peoples, using the debate over oral histories as an example. Indigenous peoples are those peoples who are the original human populations of a land. They are also referred to as Native peoples, tribal peoples, tribes, First Nations peoples, and Aboriginal peoples. In the United States, they are often referred to as American Indians or Native Americans. The terms used to refer to Indigenous peoples are contextualized by the nation or territory they are a part of. For instance, in the United States as a whole, the more general term is currently Native Americans, but in the southwest portion of the United States, American Indians is quite common, while in Alaska and Canada these peoples refer to themselves as First Nations. Hawaiian Indigenous peoples prefer the term Hawaiian. In Mexico, Indigenous peoples are called la gente indígena de México . In Australia, the commonly accepted terms are Aboriginal peoples and Torres Strait Islander peoples, referring to two broad but distinct cultural groups, and Indigenous Australians, referring collectively to both. Terms used for Indigenous peoples often reflect political, social, and economic systems. Indians is a term that was once very commonly used in the United States to describe the nation’s original inhabitants. The word is a significant part of the legal and political history of these peoples, appearing in hundreds of treaties and thousands of federal documents pertaining to legal rights. But many “Indian” people do not like the word because it was first imposed by Christopher Columbus, who mistakenly thought that his journey across the Atlantic Ocean had landed him in India. Pointing out that the term Indian is a case of mistaken identity, many Indigenous peoples prefer to be labeled by their specific tribal names. There is not one mind about which terms to use for Indigenous peoples. There are scholars who refuse to use words such as Indian and scholars who embrace the word. Some scholars advocate changing the use of the term Indian in history books and historical documents. However, changing historic texts alters the original expression and the meanings associated with it. To change terms in this context would literally change history and mislead students of this history. There has been another tendency in American culture to misuse the term Native American to refer to a single monoculture. The majority of Americans have never spent time with Native individuals or engaged in any studies of Native peoples and thus do not have any true knowledge of actual Indigenous cultures. Until recently, Native cultures and Native history have not been accurately covered in educational institutions. Only in the past decade has there been significant movement toward offering accurate characterizations of Native peoples in public schools in the United States. While this is a positive development, stereotyping of and even racism toward Native peoples remain. The most accepted and appropriate way to refer to any Indigenous person is to use their actual tribal association, if known, rather than a general term such as Native American. The scholarly debate over these words is somewhat separate from the way the terms are used in Native communities. Many Indigenous communities have no issue with the word Indian and think the whole debate over word choice is a distraction from the real-world problems that affect their communities, such as poverty, substance use issues, poor health care, and inadequate education. Minorities in Their Own Lands Indigenous peoples have become minorities in most countries because many colonizing peoples sought to eliminate them and practiced various strategies to reduce their power to control land and natural resources and even to maintain their cultures and identities. Historically, adult Indigenous people, and even some young people, were forced to work for colonizers, often doing hard labor or other menial tasks, without any opportunities to accumulate wealth or claim a position of higher class. Christianity in various forms was forced on Indigenous peoples through government policies. Children were either not offered any education at all or forced into boarding schools where they were required to adopt the colonial culture. In this manner, many Indigenous people lost touch with their cultural heritage, and most Indigenous groups dwindled in number, some disappearing altogether. This trend was particularly pronounced in Latin American countries. Most people living in these countries today have some Indigenous ancestry, but as Indigenous identities have been so discouraged, few openly identify with this portion of their heritage, choosing to focus on their White and/or Spanish identities. It is evident that assimilation pressures, the process of changing the culture of a person or group of people to some other culture, through socialization or education, have largely succeeded when remaining peoples who identify as Indigenous become minorities within their own native territories. Chemawa Indian Training School in Salem, Oregon (left) and members of the Chemawa Indian School battalion in 1914. (right) This boarding school was created in 1885 and is still operating today. Education policy before the 1970s focused on assimilating Native peoples. Current policies are more supportive of Native culture. (credit: left, “Chemawa Indian School, Winowa Hall, 5495 Chugach Street Northeast, Salem, Marion, OR” by Steve Viale/Library of Congress/Wikimedia Commons, Public Domain; right, The Chemawa American /Wikimedia Commons, Public Domain) Many Native Americans, along with members of other Indigenous groups such as the Maori of New Zealand, do not like to be categorized as minority groups in their own homelands. Native Americans in the United States and the Maori tribes of New Zealand have treaties and sovereign rights that accord them access to and ownership of resources that other immigrant minority groups do not have. Some federal funding for programs is allotted to “minority groups” as a whole, including Native peoples. The Native peoples meant to benefit from this funding have commented that this approach does not recognize the special relationships the treaty-bound Indigenous peoples have with the state. The Maori especially have asked not to be considered a minority group. Instead, they wish to claim rights granted them by the Treaty of Waitangi to the services and resources of the federal New Zealand government. This illustration, done by Maori artist Ōriwa Tahupōtiki Haddon, depicts Maori chiefs signing the Treaty of Waitangi with representatives of the British Crown in 1840. This treaty is recognized as granting the Maori people rights to the services and resources of the federal New Zealand government. (credit: “The Signing of the Treaty of Waitangi” by Ōriwa Haddon/Archives New Zealand/flickr, CC BY 2.0) Membership in a Tribal Community Tribal relations among mixed-race Indigenous people in the United States are governed according to a series of rights first created through federal laws and policies, then later adopted by individual tribal nations. Tribal nations now have the right to manage their own membership laws and policies, with each tribe setting its own blood quantum rules for membership. Blood quantum refers to a genealogical relationship to one’s original tribal people. Full-blooded Native people issue from parents who are both full-blooded members of a tribe, while half-blooded Native people have parents or grandparents who have at least 50 percent Native blood. A person can even be a full-blooded Native, with parents from two tribes, but be considered half-blooded by the tribe they are enrolled in because the tribe only acknowledges the Indigenous blood from the enrollment tribe (Ellinghaus 2017). Some of the terms for people of mixed heritage in the Americas are mestizo (common in Latin America) and Métis (common in Canada). Some nations, such as Canada, assign different rights to people of mixed Indigenous heritage; Métis communities are accorded different rights from First Nations communities. Although Indigenous heritage is preferred in most Native communities, the rate of outmarriage is such that pure Indigenous bloodlines are becoming rare. In the United States, most Native people have mixed heritage. An exception is the Navajo Nation , which has a significant number of full-blooded Navajo members due to its large population of more than 300,000 members. Normally, individuals have to prove they have a blood quantum of a certain percentage to enroll in a tribe. Some tribal policies require a strict accounting of only the bloodlines that originate within that tribe. Other tribes allow for any Indigenous blood as counting toward membership requirements. The latter policy is closer to the cultural practices followed by many Native peoples before they became wards of the federal government. It was common for many tribes to adopt people who moved into their area and took up their culture. In addition, marriage customs of all tribes, which disallowed marriage between individuals too closely related, encouraged members to marry outside of their village or tribe. Spouses brought into a village would be adopted without discrimination. In tribes in Oregon, women would more commonly go to their husbands’ villages. In other cultures, such as that of the Seneca of the Northeast, men would move to their wives’ villages. Some scholars view blood quantum as a means for the United States government to prevent people from claiming tribal heritage, ultimately causing tribes to self-terminate. This view is not shared by all tribal peoples. Blood quantum was written into most tribal constitutions in the 1930s as a means of determining tribal citizenships. This policy has caused numerous problems in contemporary communities, where tribal members sometimes attempt to marry their cousins in order to “marshal” their blood—that is, raise or maintain the percentage of blood quantum in their offspring (Nenemay 2005). Scholars have noted that most tribes will continue to lose members due to outmarriage unless membership requirements are changed, even though most blood quantum requirements are currently well below one-half. Many tribal communities are shifting policies so that individuals can claim tribal membership by establishing descent from an enrolled tribal member (Thornton 1997). Membership in the Grand Ronde tribe of Oregon requires a 1/16 blood quantum of Grand Ronde blood and an ancestor or parent who was on a tribal roll or record in the past. The tribe counts only genealogical connection to original tribal residents of the reservation. Unfortunately, many people have moved on and off the reservation over the years, and records have not been accurately maintained. Proving past residence on the reservation is difficult. In addition, more restrictive changes to the membership requirements since 1999 have reduced the number of members. One controversial change made in 1999 requires that the parent of a potential new member must have been enrolled in the tribe at the time of the prospective member’s birth. This change denies membership to the children of those who became members after having children and the children of those born during the period between 1956 and 1983, when tribal rolls were not maintained. One result has been split families, in which younger children born when their parents were on the tribal roll are deemed members, while their older siblings are not eligible for enrollment. The issue has become politicized at the reservation, with some enrolled members fearing that a flood of new enrollments would impact services and funds and others wanting to expand enrollment to allow more descendants into the tribe. These questions of identity, both political and social, will likely continue to excite debate in the coming decades, as many tribes acknowledge that unless they change membership requirements, they may cease to exist in the future. Tribal Groups and Communities Most Indigenous communities are extremely poor and face a number of challenges resulting from centuries of colonization, settlement, and exploitation. In the United States, Canada, and Australia, Indigenous peoples were forcibly relocated to reservations , often marginal lands “set aside” for Native peoples after European settlers and colonists claimed their original homelands. Many North American reservation communities have been, and continue to be, kept in a state of perpetual poverty. Reservations typically have few employment opportunities, high substance addiction and alcoholism rates, and high morbidity rates caused by long-term persistent poverty. Some tribes have been successful in making good education available to young people through successes in casino development and effective management of federal education grants, but there is a significant disparity of completion rates at all levels of education. A 2011 report by the Higher Education Research Institute found that among those enrolled in four-year degree programs, approximately 17 percent of Native students completed the degree within four years, compared to 45 percent of Asian students, 43 percent of White students, 26 percent of Latinx/Latina/Latino students, and 21 percent of Black students (DeAngelo et al. 2011, 10; see also Al-Asfour and Abraham 2016). In the United States, tribal reservations were historically prevented from developing their own industries by the Nonintercourse Act sections of the Trade and Intercourse Acts . This legislation made it illegal to sell products beyond the borders of a reservation, which were viewed in the same way as state borders. Tribes can petition Congress to approve a reservation-based industry, but the petition can take decades to be approved. Many reservations have languished for two centuries with few or no jobs or opportunities for Native peoples (Miller 2012). Those who leave reservations for jobs rarely return as full-time residents. Still, Indigenous people on reservations in the United States enjoy the comfort of living within their own cultures and face less discrimination in their communities than they would in White-dominated communities. People of mixed Indigenous heritage who can “pass” as White have often done so, thus abandoning their Indigenous ancestry. Many took advantage of opportunities to move to cities and get jobs as “White” people, enjoying the pay and social benefits that went along with those jobs and social identities. This path was followed by many Native people in the United States beginning in the later 19th century. The exodus to the cities reached a peak in the 1950s and 1960s following the United States’ termination of the status of 109 tribes. Termination refers to a US federal policy adopted in 1953 that voided the treaty agreements between the federal government and Native peoples. The US government then repossessed and sold reservation property in a process called liquidation. Terminated tribal peoples were released from reservation lifeways with no money or resources. They were no longer federally recognized Native peoples and had no rights to ask for federal services or assistance. Most of the tribes that underwent termination were restored beginning in the 1970s. Many of those who underwent termination moved to urban environments in search of work, resulting on populations of “ urban Indian ” communities. During World War II, the Keiser Shipyards in Portland employed a number of Native people, many of them women , who left regional reservations for work. The twentieth century trend of Native peoples moving to cities creating has resulted in significant populations of “urban Indians.” Today, the majority of Native people in the United States live in urban environments. This movement has created tensions within Indigenous communities. The phrase “urban Indian” has taken on negative connotations within some Indigenous contexts. Some “reservation Indians” accuse urban Natives of willingly giving up their status, land, and culture. While some urban Natives struggle with feeling disconnected from their tribal identities, many maintain a connection with reservation communities by visiting on weekends and holidays and participating in special events such as tribal government meetings. Urban Native communities typically include groups to benefit Native people, such as educational and culture-based organizations and civic-minded business associations. Many of these groups include people from various tribes who work together to plan community spiritual activities such as powwows , support urban Indigenous food systems, or serve on culture-based committees. Tribal nations often have offices in urban communities that offer services to their citizens and serve as a site of sovereign activities of the tribe. Indigenous-language learning groups are now quite common in urban centers, especially at universities and tribal offices. Universities in many ways form cultural centers for urban Indigenous people, offering Native centers, employing Indigenous scholars, and funding cultural activities and events. There are several tribal offices in Portland, Oregon, which has one of the largest concentrations of off-reservation Native people in the United States, with an estimated 40,000 people of Native descent. On the west side of town is the Portland-area office of the Confederated Tribes of the Grand Ronde. This office hosts weekly cultural education programs called Lifeways, which are free to tribal community members, along with classes in wood carving, drawing, storytelling, and the Chinuk Wawa language. Other services offered to tribal members living in the Portland metro area include jobs programs, food distributions, and a large boardroom equipped for hosting formal meetings. Also in Portland are the offices of the Confederated Tribes of Siletz Indians , the Native American Youth and Family Center education organization, the Oregon Native American Chamber of Commerce , and the Columbia River Intertribal Fish Commission . Portland is the site of community organizations such as the Bow and Arrow Culture Club, which hosts annual cultural gatherings and the large intertribal Delta Park Powwow. The radio station KBOO (90.7) consistently features Native programming. The Native population of Portland is a broad mixture of enrolled tribal people and unenrolled descendant people from throughout the United States. There are also large numbers of Indigenous peoples from other countries, with concentrations of Latina/Latino and Pacific Islander peoples. In addition, the Hawaiian community has deep roots in the region due to the inclusion of Hawaiian labor in the 19th-century fur trade of the Pacific Northwest. 20th-Century Challenges In the 20th century, some tribes grew self-sufficient or even wealthy by harvesting or extracting the natural resources on their reservations. The land of the Osage Nation of Oklahoma was found to contain vast reserves of underground oil. Members of the nation who had oil under their allotments became wealthy, so much so that some were among the wealthiest people on the planet during the height of the oil boom. But soon after acquiring this wealth, White neighbors began marrying into the tribe. Tribal members began being murdered, and authorities were slow to launch any investigations. Eventually, White relatives ended up owning much of the Osage lands. The story of the Osage murders is documented in several books, including Killers of the Flower Moon by David Grann, which was made into a motion picture directed by Martin Scorsese. An oil field in the town of Denoya, on the Osage Reservation. Although the discovery of oil on their lands initially brought some members of the Osage Nation considerable wealth, it also made them the target of unscrupulous White neighbors. Many Osage were murdered, with their White relatives coming into possession of their land and the petroleum beneath it. (credit: Oklahoma Historical Society/Wikimedia Commons, Public Domain) In a similar story, the Klamath tribe of Oregon established a very successful logging operation on their reservation in the early 20th century. The reservation included a million acres of ponderosa pine. The Klamath people established sawmills and sold the timber off the reservation, becoming quite wealthy. They even built an airfield on the reservation. But their prosperity did not last. The federal government had been serving as the bank administrator of the Klamath money and managing their profits. It became apparent that some money had gone missing and that the land was being poorly managed by federal agents. The tribe successfully sued the government for mismanagement, but they only received a percentage of the money they were owed. In the 1940s, tribal liquidation/termination began to be discussed with the Klamath people. Some Klamath people initially liked the idea of termination because it would free them from control by the federal government. They were initially told they would receive their reservation land, but the government later told them the land would be sold. Termination began in 1954. In 1961, the remaining unsold reservation lands were turned into the Winema National Forest. Klamath members were forced to leave their homelands and find employment in regional cities. The result of termination was that the Klamath lost their land and many rights as Native people. Their population was dispersed, making it difficult to keep the culture alive. By the 1960s, most of the tribal languages were extinct, and many people had lost connections with their tribal past. In the 1970s, some of the tribal elders, many who had remained in the vicinity of the original reservation, began activating for restoration. The tribe was restored in 1983 (Lewis 2009). An extreme example of the disenfranchisement of Native people is the movement of Indigenous peoples who were part of the Okie migration of the 1930s. The Okie migration was to the movement of people out of Oklahoma during the Dust Bowl crisis, in which agriculture yields collapsed due to drought and poor land management practices. Topsoil blew away in large clouds, and thousands lost their land and their jobs. These thousands included a large percentage of mixed-blood Native people. Those who could no longer earn a living farming the degraded land moved west in search of work in Arizona, California, Oregon, and other western states. These migrants led difficult lives, working at low-paying jobs and moving constantly in search of seasonal work. One result of this movement westward was a shift of Native populations to the West and a related collapse of tribal populations in Oklahoma. Among the artifacts of the Okie migration are photographs taken by federal workers who visited the migrant encampments. Likely the most famous of these images is the one now known as Migrant Mother , taken in 1936 by photographer Dorothea Lange . The subject of Lange’s photo has been identified as Florence Thompson, a Cherokee woman. Migrant Mother , one of the most famous photographs taken by Dorothea Lange, features a Cherokee woman, Florence Thompson. Like many people during this period, she and her family moved from place to place following farm work during the Dust Bowl crisis of the 1930s. (credit: “Destitute Pea Pickers in California. Mother of Seven Children. Age Thirty-Two. Nipomo, California” by Dorothea Lange/Library of Congress, Public Domain) By the 1970s, most Indigenous people in the United States were still very poor. In this period, a number of laws were passed to help Native people. These laws gave tribes the rights to control their cultures, educate their people, and administer their own foster care. These rights were difficult to act on, however, without financial resources. In the 1980s, tribes began seeking new ways of making money to take care of their citizens. In 1988, Congress passed the Indian Gaming Regulatory Act . This law allowed Native peoples to establish casinos on their reservations. The caveat is that tribes must “compact” with the state they reside in to secure the right to operate a casino. Many Indigenous people have criticized this stipulation, stating that needing to ask permission places them at a lower level of sovereignty than the states. According to the federal government’s own laws, tribal reservations are federal trust lands with sovereignty on par of that of the states. Still, most tribes have compacted with the states they reside within, agreeing as part of the compact to cede a percentage of casino profits to the state to aid with funding for services such as education and road maintenance. Tribal casino profits have made it possible for many tribes to establish fully operational governments that offer services and programs for their members in areas such as health care, housing, education, and jobs. There have been challenges to tribes’ rights to establish casinos, the most notable occurring in California during Arnold Schwarzenegger’s tenure as governor. Governor Schwarzenegger refused for years to meet with Native representatives to discuss a statewide casino compact, even after voters overwhelmingly approved tribal casinos twice. The tribes felt that Nevada casino operators, who could lose significant revenue from the competition, were influencing the California government. The tribes won a lawsuit in 1999, and many tribes subsequently signed compacts with the state. There have been continued lawsuits against California stating that the compacts require too large a portion of casino profits. Still, tribes in California now have the right to establish casinos, and the income is greatly improving services to tribal members. Morongo Casino Resort and Spa in Cabazon, California, operated by the Morongo Band of Cahuilla Mission Indians, is one of hundreds of tribal casinos across the United States. Many have incorporated cultural elements into their design, such as Morongo’s woven net design. (credit: “Morongo Casino Resort & Spa Is an Indian Gaming Casino, of the Morongo Band of Cahuilla Mission Indians, Located in Cabazon, California” by Carol M. Highsmith/Library of Congress, Public Domain) Perspectives Indigenous peoples have undergone some five centuries of colonization. During this time, the societal structures of the colonial states have emphasized the perspectives of non-Indigenous peoples, broadly identified as White people. Histories have been written to benefit White people, to support their colonizing cultures and to legitimize their takeover of vast territories from Indigenous peoples. Minority perspectives, including Indigenous perspectives , have not been emphasized and have even been sometimes intentionally repressed. Indigenous peoples have struggled with disempowerment in their sovereign relations with state systems and in legal proceedings over their sovereign rights. Many Indigenous peoples still struggle to prove that they are part of a legitimate nation. State-sponsored erasure of Native culture and history has caused losses of and changes to tribal cultures and languages. Beginning the later 20th century, both Indigenous and non-Indigenous scholars have noted that history has long been presented in a way that is biased toward a White perspective. This bias has been critiqued as a form of systemic racism . In most academic institutions, until relatively recently, most if not all professors were White. There were few opportunities for Indigenous people to establish positions of influence over the presentation and study of Indigenous history and culture. Native studies programs began to be developed at various universities in the United States in the 1970s, a movement that coincided with greater opportunities for Indigenous scholars to conduct research on their own peoples. Indigenous people are now actively working to write their own histories and describe their cultures and philosophies from Indigenous perspectives. Indigenous scholarship has made great strides, but there is still a hesitancy in academia to allow Indigenous people to establish positions of authority or introduce Indigenous ways of thinking. Among the academic disciplines, anthropology in particular has made strong progress in recognizing the value and validity of Indigenous perspectives. An interesting example of recent changes in approaches to Indigenous perspectives is the ongoing debate over oral histories . For much of the 19th and 20th centuries, Indigenous “myth texts” were collected from tribes and studied by anthropologists, linguists, and folklorists. Studies of this material typically utilized a linguistic or philosophical framework. The texts were understood, much like Greek mythology, as supernatural stories with a special focus on the godlike animals appearing in them, such as Coyote, Raven, and Blue Jay. Also of interest to early scholars of such texts were their performative aspects and the metaphorical commentary they offered about human existence. A debate emerged between some scholars such as Dell Hymes , who noted that the texts were most valuable as “original texts” or direct ethnographic translations, and others such as Claude Levi-Strauss , who concluded that there was no original text and every version was plagiarized from a previous storyteller. In this authenticity debate, the texts were treated as literature, with little recognition of the historical events appearing in many of the stories (Hegeman 1989). This inability to see the historical value of these texts reflects a bias toward written material and against knowledge presented via oral tradition . Read about how translations of oral histories are analyzed and updated in the online journal Quartux . David Lewis, the author of this chapter, discusses the loss of many native languages and reads translations of \" A Kalapuya Prophecy \". Many of these assumptions about myth texts have changed in the past 70 years. One study of Crater Lake in Oregon, conducted by geologists in the 1940s, determined that the lake was on the site of what once had been a large volcano, Mount Mazama, known as Moy Yaina by the Indigenous people of the area. When the volcano exploded, the top of the mountain fell inside the cone and formed a caldera, which in time filled with water, resulting in Crater Lake. This event happened some 7,000 years ago. This established geological event is reflected in Indigenous oral traditions. A Klamath tribal oral history tells the story of two mountains, Moy Yaina and Mlaiksi (Mount Shasta in California), having a fight. The Klamath oral history clearly delineates a double volcanic event, with Moy Yaina and Mlaiksi erupting at the same time, but Moy Yaina erupted with a larger explosion and therefore lost the fight. Geological evidence of the explosion spoken of in this myth indicates that Klamath oral history does indeed reflect actual history. Similar oral histories of thousands of Indigenous peoples are now acknowledged to reflect many natural events, especially those that significantly changed the earth in some manner. Oral histories of tsunamis, Ice Age floods, volcanic eruptions, catastrophic fires, and other events are now acknowledged in the stories of many peoples. New understandings of the legitimacy of Indigenous oral histories are leading to increased research into numerous areas of Indigenous knowledge systems. Crater Lake, Oregon, and the remains of Mount Mazama. Wizard Island in the center is the original top of Mazama, having fallen into the volcanic cone some 7,000 years ago. A record of these geological events is evident in the oral traditions of Indigenous peoples native to this area. (credit: “Crater Lake National Park, United States” by Amy Hanley/Unsplash, Public Domain) Kalapuyan Traditional Ecological Knowledge Written by David Lewis. The Kalapuya of the Willamette Valley were native to the interior lands of western Oregon. The Willamette River and its tributaries drained the Willamette Valley and joined with the Columbia River in the vicinity of present-day Portland. The river served as a highway of trade and travel about the valley and to the trading center at Willamette Falls. The Kalapuya had salmon runs, but not the concentration of salmon fishery sites seen on the Columbia River. They did have expansive prairies and oak savannas that supported a vegetable-rich lifeway. Hunting of deer and elk was always a part of their lives, but they followed a lifestyle of camping at root-digging sites through the summers. Root camps would be established in midsummer near a camas field. They would dig camas for a week, then cook the camas in pit ovens while in the camp. The camas bulbs would cook for three to four days in the underground ovens, changing to a brown color. The cooked bulbs became sweet and were highly desired by the Kalapuya. Cooked camas would be stored in cool underground storage spaces or hung in plank houses for wintertime use. The Kalapuya would store many types of roots and grains in this manner and would also prepare dried salmon and meat for winter storage. In the fall, acorns and hazelnuts could be gathered, and in marshy lakes or the Willamette slough, wapato could be gathered in great quantities. Wapato, or Indian potato, would be stored or traded to other peoples for other foods and trade items. The Tualatin Kalapuya, a northern Willamette Valley tribe of Kalapuya, especially had much wapato at Wapato Lake as well as large amounts of oak savanna on the Tualatin plains. Almost all foods were gathered and prepared in the encampments and then brought back to the villages later. Acorns would be gathered, shelled, and left to rest in cool creeks to let the tannins leach out, then dried and ground into a meal. From this, the Kalapuya would create a mush cooked in woven baskets. Hazelnuts would be shelled and dried on hot rocks in the sun, then eaten on the spot or saved for later. Hazel switches would be harvested from the bushes to make strong baskets. At other times of the year, some Kalapuya would travel into the mountains to pick berries or gather weaving materials for making baskets. Baskets, hats, and large woven mats made from tules and cattails for sitting or lying on would be used by the maker or traded for other items. Most weaving materials would have to be dried for a year before being rehydrated and woven into a useful basket. The Kalapuya were very community oriented. If other Kalapuya or neighboring tribal peoples were starving, they would help them and feed them. Trade could happen at any time of the year, but in the winters, Kalapuya might approach neighboring tribes to trade for additional food or wealth items they desired. Dried and smoked salmon could be acquired from the Clackamas and Multnomah, who would prepare plenty when the salmon ran. From the Coos, they acquired seashells. The Klickitat had exceptionally good baskets, and the Chinook had canoes and prepared salmon as well as items from throughout the trading sphere of the Columbia River. The Kalapuya specialized in camas and root digging and were dependent on other tribes for quantities of other products. assimilation the process of changing the culture of a person or group of people to some other culture, through socialization or education. blood quantum a term first applied by the US federal government to determine which people had rights to services and land at reservations. The term has become a characteristic to define who is eligible for citizenship in a tribe, with membership open only to those who have a minimum blood quantum of Indigenous genealogical ancestry. boarding schools educational institutions established by federal authorities to efficiently educate and assimilate Indigenous children through an immersive environment. Indians a commonly used term for Native Americans first applied by Christopher Columbus, who mistakenly thought the Indigenous peoples he encountered were people of India. Indigenous peoples the original populations of a land and those who carry culture and experiences from an Indigenous culture. Indigenous peoples may also be referred to as Native peoples, tribal peoples, tribes, First Nations peoples, Aboriginal peoples, or American Indians or Native Americans. Maori the Indigenous peoples of New Zealand. mestizo Latin American term for a person of mixed heritage, normally Indigenous and Spanish or Indigenous and another White ethnicity. Métis Canadian term for a person of partial Indigenous heritage. A Métis person has different rights from a First Nations person. Native studies an educational discipline that originated from the critiques of studies of tribal communities by non-Native scholars. Native studies programs seek to center Indigenous knowledge and experience in studies of Indigenous peoples and societies. oral histories spoken, rather than written, narratives of past events. oral tradition cultural knowledge that is passed on through oral, rather than written, form. reservations lands given to Indigenous tribes as supposedly permanent places for their communities to live and practice their culture, usually through treaty or executive order. termination a US federal policy adopted in 1953 that involved voiding the treaty agreements between the federal government and Native peoples, enabling the government to repossess and sell property that had been part of reservations in a process called liquidation. Terminated tribal peoples are no longer federally recognized Native peoples and have no rights to ask for federal services or assistance. Between 1954 and the 1970s, 109 tribes underwent termination. Most were federally restored between the 1970s and the 1990s. Trade and Intercourse Acts federal laws that administer trade between states and across federal borders. The law affects the ability of Native nations to establish industries and sell products or services beyond their borders. urban Indian a Native person who lives in an urban environment; sometimes a negative title used by those living on reservations to refer to Native people who are assumed to have willingly given up their culture, land, and Native identities.", "section": "Indigenous Peoples", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Colonization and Anthropology Learning Outcomes By the end of this section, you will be able to: Articulate the contributions of Vine Deloria Jr. to the critique of anthropology and the growth of Native studies and Native scholarship. Define the practice of “othering” and explain how it has affected and continues to affect Indigenous people in the United States. Evaluate the historic issues related to anthropologists serving as cultural experts. Relate how anthropology has aided colonialism and propose some ways these practices may be reversed. Anthropology has been criticized by numerous anthropologists and other scholars as participating in the colonization of Indigenous societies. While settlers took land and resources from tribes and forced them to relocate to reservations, anthropologists gathered knowledge from Indigenous peoples for their own purposes. Another critique has focused on the right claimed by some anthropologists to speak for Indigenous peoples. Books written by early anthropologists have been viewed as disempowering Native peoples, claiming a place of greater legitimacy than the perspectives of Native people themselves. Some anthropologists in the late 19th and early 20th centuries collected images of Indigenous people posed and dressed to fit a stereotypical conception of “Indians.” Edward S. Curtis was one such anthropologist and photographer. Although his photos are rendered beautifully, they reflect his own conceptions rather than the realities of life for Native peoples at the time the photographs were taken. Curtis and many of his contemporaries are now critiqued for privileging their personal perspectives over the stark realities of Native peoples impoverished on reservations. This photograph of three Sioux chiefs, taken by Edward S. Curtis circa 1905, does not reflect actual cultural practices. At this time, these men were living on a Sioux reservation and would have dressed much like other Americans. Curtis posed these men on horses and in traditional regalia to please an American audience eager to see stereotypical images. (Credit: “Sioux Chiefs” by Edward S. Curtis/Library of Congress, public domain) Deloria’s Critique These criticisms of anthropology gained strength in the 1960s, with several Native scholars questioning in particular the higher value assigned to academic scholarship than to the voices of Native peoples. These critiques caused many scholars to reassess the nature of anthropological research. Vine Deloria Jr. was a Sioux scholar who gained fame in the 1960s. Deloria openly challenged the legitimacy of anthropology as a discipline, criticizing anthropologists for benefiting from their research projects, whether through selling books or achieving tenure at their universities, while those they studied rarely received any benefits. Deloria developed his evaluation over a long career consisting of five decades of scholarship. One focus of his scholarship was the biased nature of supposedly “objective” scientific research, which he called “an entrenched state religion” (1997, 211). He also accused Western academics of relying on notions of Native peoples that were biased by stereotypes and assumptions. In many ways, Deloria inspired the growth of Native studies programs . His critical arguments resonated with tribal communities and were, and still are, an inspiration to generations of Indigenous scholars. His critiques have resonated with the discipline as a whole as well, resulting in adjustments and changes to anthropological methods and practices. There are now many more Indigenous and minority scholars in anthropology than ever before, in part aided by Deloria’s critique. Maori scholar Linda T. Smith describes the mission of these scholars in this way: “Telling our stories from the past, reclaiming the past, giving testimony to the injustices of the past are all strategies which are commonly employed by Indigenous peoples struggling for justice. . . . The need to tell our stories remains the powerful imperative of a powerful form of resistance” (2021, 38). Indigenous specialties have been developed in most areas of anthropology, including Indigenous anthropology and Indigenous archaeology. Deloria’s criticisms have also been influential in the creation of the fields of public anthropology, public archaeology, and applied anthropology, all of which seek to establish a closer relationship with research subjects and apply research findings to address current problems. The Othering of Indigenous Peoples Othering , discussed earlier in this text, refers to viewing those from different cultures or backgrounds as “other,” or inherently and importantly different from oneself or one’s own “type” of people. Indigenous peoples have been particularly affected by a tendency to be viewed as other by White society. As Linda Smith writes, “A critical aspect of the struggle for self-determination has involved questions relating to our history as Indigenous peoples and a critique of how we, as the Other, have been represented or excluded from various accounts” (2021, 31). The “otherness” that Smith refers to reflects tendencies both to not think about Indigenous peoples at all and to deliberately deny Indigenous cultures an equal share of the history of their land. Indigenous histories and contexts are viewed as something “other” than White histories and contexts and are largely ignored. Othering happens in every conceivable context and affects almost all aspects of social existence, including social mobility, civil rights, getting a job, and applying for grants and funding. Othering figures strongly into sometimes subconscious determinations as to whether a person is the right type of person for a specific position or role. Othering is a form of discrimination and racism. Othering has played a large role in recent discussions of policing in the United States. Othering is influential in the ongoing issue of missing and murdered Indigenous women. Many police agencies are not investigating missing Indigenous women because they are the other—Indigenous—and the women are singled out by predators because they are clearly Indigenous. Cultural Experts and Authority Anthropologists have noted the value of tribal cultural experts to their research projects. A cultural expert is immersed in the culture of their Indigenous community and has insight into the intricacies of their community. Cultural experts have been used by anthropologists since the beginnings of anthropology. However, when reporting information provided by cultural experts, anthropologists have too often taken a position of authority that somewhat disempowers these same cultural experts. Those learning about an Indigenous society will typically turn to the published ethnographic literature on the subject. This literature will most likely present an outsider’s understanding of that society, frozen in a specific time frame and based on a single research project. This gives the readers a warped understanding of the culture they are interested in, only completely valid within the time frame of the study. Cultural experts, on the other hand, adapt and modify their insights and knowledge as they age. It is now common for researchers to seek out cultural experts to provide contemporary understandings of a culture and society. In addition, many researchers will now form collaborations with cultural experts that assign ownership and authorship to the cultural expert or the culture they are researching. Within this approach, the anthropologist becomes the compiler or editor of any publications, or perhaps the lead author of a team of authors. Many Indigenous scholars now conduct their own research, taking the roles of lead authors and editors of studies. Tribes are also taking control of research projects, contracting with anthropologists who agree to conduct the work with significant tribal input and review. Indigenous Societies as Colonial Societies Indigenous societies are in many ways colonial societies. Most Indigenous people are of mixed heritage, and Indigenous cultures have changed in ways that make them more similar to the surrounding White communities. As just one example, many Indigenous peoples have adopted Christianity as their primary religion. But in most Indigenous communities, there is space for Indigenous traditions and spirituality as well. Sometimes, White and Indigenous cultures exist parallel to one another. Such hybrid societies are often criticized by Indigenous and non-Indigenous people as no longer being Native or Indigenous, but this criticism reflects an understanding of what it means to be Indigenous that is frozen in time. Many people envision Native cultures as they existed in the 19th century as being the “true” cultures, while the cultures of Native people living in urban suburbs with automobiles and ranch-style houses are viewed as tainted or inauthentic. Culture is not a static thing; it is dynamic, constantly changing to fit the context of the present. Native peoples continue to maintain a cultural core that is Indigenous while they adopt the technology and trappings of contemporary society. Decolonizing Anthropology In the 1970s, a movement began to “ decolonize anthropology .” This movement seeks to address anthropology’s role in collecting and taking ownership of Native knowledge and culture and to speak out against anthropological analyses and products that support colonialism. One aspect of anthropological practice that has been particularly criticized is a tendency to treat Native people purely as research subjects, without acknowledging their agency or their rights, such as the right to protect their buried ancestors or control their knowledge, stories, and even place names. As part of the “decolonizing” movement, scholars began developing research protocols to address these criticisms. The Indigenous perspective has begun to be recognized as valuable, and people from diverse backgrounds have been welcomed into the discipline. In the 1990s, the Southwest Oregon Research Project (SWORP) was established to collect and return to those to whom it pertained knowledge collected by anthropologists and other researchers. The SWORP project began under the leadership of George Wasson of the Coquille Indian Tribe of Oregon. Wasson worked with Smithsonian Institution and University of Oregon administrations to copy and collect documents pertaining to some 60 western Oregon tribes and return the resultant collection to the university archives. The project eventually hosted three trips to Washington, DC, to collect more than 200,000 pages of anthropological and federal documents from the National Anthropological Archives and the National Archives and Records Administration. The collections were then organized and hosted in the University of Oregon Special Collections. In 1995 and 2001, copies of these documents were given to some 17 tribes in Oregon and the surrounding region. This project served in a very real sense to decolonize the anthropology of the past by returning Indigenous knowledge to tribal peoples. Peoples receiving the SWORP collections have been free to access the knowledge collected from their ancestors over a 100-year time period, from the 1850s to 1950, and build on this knowledge with further projects to restore tribal culture. In one instance of a successful restoration, techniques for creating the traditional canoes of the Clackamas Chinook were studied in an effort to restore both the production and use of these canoes in the Northwest region. Scholars made use of a SWORP collection of files created by anthropologist Philip Drucker , which described traditional methods of construction and traditional designs. Since the 1990s, there has been a marked resurgence in traditional canoe construction on the Northwest Coast. Tribal nations along the Northwest Coast now undertake an annual canoe journey that involves hundreds of communities and thousands of tribal members. These developments have been aided by the preservation and return of cultural knowledge. A Chinook canoe built using traditional construction techniques, circa 1825. The surface of these canoes was typically charred to prevent decay.(credit: “Image from Page 286 of ‘The American Museum Journal’ (c1900-[1918])” by American Museum of Natural History/Internet Archive Book Images/flickr, Public Domain) A crew from the Grande Ronde Tribe launch a Chinook canoe from the beach at the Swinomish Tribal Community Center. In recent decades, there has been a revival in traditional canoe construction on the Northwest Coast. (credit: “Canoe Crew Preparing for Launch” by John Clemens, US Geological Survey/flickr, Public Domain) Some tribal scholars have raised concerns that many ethnographic and anthropological field notes are untrustworthy sources because they are the products of biased research practices and may reflect anthropologists’ efforts to confirm previously conceived ideas about tribal peoples. The critics rightly note that some anthropologists may have altered their findings to fit stereotypical notions. Tribal peoples have thus been wary of relying solely on field notes to reconstruct cultural practices, taking care to compare the field notes of anthropologists with elder knowledge to devise valid restoration projects for culture and language. The existence of field notes themselves is somewhat controversial among Native communities. Some Indigenous people have criticized the act of writing down Indigenous stories, which were normally oral literatures. This same criticism calls into question the legitimacy of all field notes collected from peoples who rely on oral histories. Some Indigenous scholars thus refuse to use any ethnographic notes, viewing them as biased documents. However, another perspective is that many of these field notes were collected from tribal cultural experts who willingly participated in the collection of their stories and knowledge. Many of these cultural experts were elders in their communities who wanted to save their culture and language, not passive participants unaware of the outcomes of their work with anthropologists. From this perspective, these elders knew what they were doing and were aware that they may hold the last remaining knowledge of certain cultural practices or languages; therefore, their work and contributions need to be respected by all scholars today. Beatrice Medicine (Sihasapa and Minneconjou Lakota) 1923–2005 Personal History: David Lewis recollects: I had an opportunity to meet Dr. Beatrice Medicine when she visited the University of Oregon in the early 2000s. Medicine gave numerous presentations about her work. The most impactful presentation was her study of Scandinavian revivalists who were recreating Native American traditions in Europe and Russia. She told stories of how the Lakota community met with these revivalists and decided to help them practice the culture correctly. What they had been practicing emulated Native cultures as stereotyped in Hollywood films, including a US cavalry charge and a tom-tom drumbeat. This was clearly inaccurate, and the Lakota decided that if the revivalists really wanted to represent Lakota culture, they should help them do it correctly. Medicine and other Lakota culture bearers then took on the responsibility of going to Europe to meet some of these groups and teach them the correct culture. Additionally, Medicine told stories of how anthropologists who came to reservations in the 19th century were sometimes fooled by Native collaborators. She noted that some of the stories collected were made up on the spot by men who realized that they would be paid for more stories. So, they created stories of history and events for the anthropologists, earned a few extra dollars, and later made fun of the anthropologists for not really knowing the culture. Some of these stories were published in anthropologists’ language texts and are now part of the legacy of the discipline. Much of the legacy of oral histories involves tribal mistrust of the products of anthropologists, considered to be inaccurate and biased—a feeling supported in part by this story. But Medicine’s discerning of the reason behind the creation of new stories provides additional contexts that then partly refute the distrust of anthropologists once the intentions of the Native collaborators are known. The stories themselves are not worthless to tribal people who study them today, and they teach scholars about tribal peoples’ ingenuity and humor. Medicine’s storytelling was very powerful. She did not follow the typical narrative that presented anthropology as a handmaiden of colonialism, instead showing how she, as an anthropologist, could help people understand others and apply anthropology to work out problems in the world. Medicine’s series of talks at the University of Oregon was inspiring to Native scholars and provided examples of how we could use anthropology to help our peoples when we returned to our Native communities, as many will. Area of Anthropology: Dr. Beatrice Medicine was a scholar, anthropologist, and educator known for her work in the fields of Indigenous languages and cultures, applied anthropology, gender studies, and Native history. She was born on the Standing Rock Reservation in North Dakota and spent years teaching, traveling, and working in anthropology throughout the world before returning to Standing Rock to retire. In her final years she helped build an elementary school at the reservation. Accomplishments in the Field: Medicine was able to shift seamlessly and effectively between her roles as a Native person and an anthropologist. She had a lot of faith that anthropology could understand and recover from the effects of our colonial histories. Medicine worked to promote applied anthropology as a way for the discipline to contribute in positive ways to Native societies. She inspired many young Native scholars and anthropologists to use anthropology to help Native peoples. As one of the few Native and women anthropologists of her time, she faced and overcame many challenges posed by the paternalistic White men in the discipline. Importance of Her Work: For her work, Medicine earned numerous awards, including a Distinguished Service Award from the American Anthropological Association (1991), the Bronislaw Malinowski Award from the Society for Applied Anthropology (1996), and the George and Louise Spindler Award for education in anthropology from the American Anthropological Association (2005). The Applied Anthropology Association established a travel award in her name, and her life’s work was featured in a 2015 panel at the American Anthropological Association’s annual meeting. Medicine’s most influential book is Learning to Be an Anthropologist and Remaining “Native” , published by the University of Illinois Press in 2001. For more information, see the Indigenous Goddess Gang’s Matriarch Monday post honoring Dr. Beatrice Medicine .", "section": "Colonization and Anthropology", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Indigenous Agency and Rights Learning Outcomes By the end of this section, you will be able to: Explain the significance of Indigenous peoples being declared “domestic dependent nations” in the United States. Discuss Indigenous rights to natural resources and the degree to which Native nations have been successful in asserting these rights. Describe some traditional techniques used by Indigenous peoples to create cultural objects as well as efforts to restore this knowledge. Articulate two features of Indigenous philosophies and worldviews and explain how researchers access Indigenous philosophies and worldviews. Describe political responses to federal government policies pertaining to Indigenous peoples in the United States. Articulate Indigenous critiques of the use of Indigenous names and images as mascots for sports teams. Treaties and Removal In the mid-19th century, the United States federal government shifted its approach toward purchasing tribal lands rather than conquering Indigenous nations. Many Native societies had already suffered greatly due to White settlement and were ready to sign treaties that would guarantee them protection on federal Indian reservations . Population loss caused by epidemic disease also played a role in many tribes’ decisions to sign treaties with the federal government. Those who signed treaties received payment for lands, money for schools, and support in establishing Western farming practices in addition to land allotments on a reservation where federal authorities were to guarantee their safety. As White settlement expanded into the western United States, Indigenous peoples both on and off federal reservations were subject to waves of removal from their lands. Areas set aside for reservations that had once seemed undesirably remote for White settlement became increasingly desirable as the White population grew. In the 1830s, tribal peoples living on reservations east of the Mississippi River were forced to move to what is now Oklahoma, then called Indian Territory. The tribes were promised that they would be able to keep their new reservation lands in perpetuity. However, when political currents changed, largely due to the pressures of European immigrants moving westward who desired land for settlement, the land formerly designated Indian Territory was opened to White settlement, and reservations diminished. The most famous Native removal was the Cherokee Trail of Tears in 1838. After President Andrew Jackson signed the Indian Removal Act in 1830, the US Army forced an estimated 16,000 Cherokee then living in the southeast United States to walk to Indian Territory. An estimated 5,000 of these people died on the trail. The Cherokee Trail of Tears was not the only removal. Each time the United States expanded its borders into Indian Territory, tribes were forced to move to smaller reservations with less desirable, resource-poor lands. The Choctaw were removed from Florida to Oklahoma in 1831, and the Creek were removed in 1836, leading to an estimated 3,500 of their 15,000 people dying. Twenty years later, the United States assumed sole title to the lands of the Oregon Territory and removed 4,000 Native people from some 60 different tribes onto two reservations, the Coast and Grand Ronde Reservations. During the western Oregon “Trails of Tears ,” members of tribes then living on the temporary Table Rock and Umpqua Reservations were forced to walk more than 300 miles in the dead of winter to the Coast and Grand Ronde Reservations, with many dying from exposure. Once at the Coast and Grand Ronde Reservations, the tribes were made to live with many other tribes from five different language families and to join as one tribe on the reservations. The cover page of a treaty with certain bands of the Chasta (Chastacosta) and Scoton tribes and the Grave Creek band of the Umpqua tribe, negotiated in 1854 and ratified in 1855. (credit: “Small Brown Cover Sheet: ‘1854. Treaty with Certain Bands of the Tribes of Chasta and Scotons; and the Grave Creek Bands of Umpquas. Dated, November 18, 1854. Ratified, April 10, 1855’” by US Government/US National Archives and Records Administration, Public Domain) In all parts of the United States, life on the reservations was very challenging. Native peoples had to build their own houses and establish means of producing food and other necessities with limited resources. Federal aid, although guaranteed in the treaties, was slow to arrive and sometimes lost in transit or simply missing. For the first 20 years of the Grand Ronde Reservation, residents lived in poverty with inconsistent food and health care and poorly planned schools. On Oregon reservations, the tribal peoples did not receive their treaty rights of individual plots of farmland until at least 1873. While the government had guaranteed food, by 1860, it was clear that federal officials could not be counted on for regular food shipments. Thousands of Native people died at early ages in the first two decades due to malnutrition and newly introduced diseases. Similar stories can be told for all tribes in the United States. Problems were also caused by untrained, unqualified, and corrupt government officials who stole food, money, and supplies. Domestic Dependent Nations The legal status of Native nations was greatly influenced by several paternalistic rulings by the US Supreme Court in the 1830s. Three rulings known as the Marshall court trilogy ( Johnson v. M’Intosh , 1823; Cherokee Nation v. Georgia , 1831; Worcester v. Georgia , 1832) determined that tribal peoples were domestic sovereign nations within the United States and dependent on the federal government to guarantee their sovereignty. These rulings meant that all reservations were “federal lands,” not part of the states, with the federal government as the administrator. Native rights, therefore, must be given through federal authorities or named in treaties with the federal government. This state of dependency has caused much consternation among Native peoples ever since. As “ domestic dependent nations ,” many aspects of tribal societies—including management of money, land, education, health care, and other programs—have been administered by the federal government. Beyond the question of the appropriateness of this arrangement, there have been innumerable documented cases of Native peoples not receiving the services or funds they were promised. Between 1910 and the 1980s, Native peoples filed hundreds of civil cases against the federal government for mismanagement of service, land, and money. By the 1940s, there were so many cases that the federal government established a special jurisdictional court, the Indian Claims Commission, to deal with the volume of lawsuits. Under the Indian Claims Commission , many cases were consolidated to make the process more efficient. Originally planned to exist for 10 years, the court was extended into the 1970s, as hundreds of cases had been filed and it was taking decades to decide many of them. The Klamath tribe, for example, filed seven Indian Claims lawsuits for mismanagement of the money they earned through logging operations. The Klamath cases were combined and decided in the 1950s, with some payouts from their lawsuits extending into the 1960s. The Indian Claims Commission ended in 1978, having cleared 546 dockets and named 342 awards totaling $818,172,606.64. One example of a successful Indian Claims case (number K-344) involved California tribal members of groups called the Mission Indians and other tribes from Northern California. These tribes had signed 18 treaties with the federal government in 1851. The treaties were never ratified, and as such, the tribes were never paid for their lands. After the treaties were found hidden in the vast record collections of the National Archives in 1905, the California tribes began working on a case for payment for the lands, for which they filed suit in 1928. The first case was not decided until 1942, with the court declaring that “the Indians of California consist of wandering bands, tribes, and small groups, who had been roving over the same territory during the period under the Spanish and Mexican ownership, before the [1848] treaty between Mexico and the United States whereby California was acquired by the United States” (Indians of California ex rel. U. S. Webb v. United States, 98 Ct. Cl. 583, 1942) This decision meant that the tribes were determined not to have a case for the return of lands and could only ask for cash payments. A second case was decided in 1964. Payments from both cases did not come until 1969, when the court gave the tribes 47 cents per acre for the 64 million acres of California lands they had once occupied, a total of $29.1 million. Court awards were subject to political maneuvering and arbitration within the House of Representatives over how much the tribes would actually receive. In the case of K-344, the award amount was based on the value of the lands in 1851, which had skyrocketed in value over the more than a century that had passed. Many tribal members were very upset by the paltry sum awarded for the wealthy lands of California. Water, Fishing, and Agency A Hupa person fishing in Trinity River in Northern California in the early 1900s. Fishing rights became a particular source of conflict between Indigenous and White people in the northwestern United States in the 1960s. (credit: “Fish-Weir across Trinity River—Hupa” by Edward S. Curtis, Smithsonian Institution/flickr, Public Domain) From the 1960s to the 1980s, an issue of particular concern to the tribes of the northwestern part of the United States was fishing rights. The “ fishing wars ” were a series of political and legal battles over whether Indigenous peoples had the right to fish in their usual and accustomed places, as promised in numerous treaties. Following the Belloni ( Sohappy v. Smith/United States v. Oregon , 1969) and Boldt ( United States v. Washington , 1974) court decisions, the tribes of Washington State, including those that had been terminated and not yet restored, maintained their rights to fish in their usual and accustomed ways—and their right to half the catch in the state of Washington. These decisions affirmed tribal sovereignty rights promised in ratified treaties but had the negative consequence of causing delays in the restoration of other tribes from termination. Many sport fishermen’s organizations feared that an increase in restored tribes would impact fishing for non-Natives. Both the Siletz and Grand Ronde tribes experienced delays related to fears about fishing in their federal restorations in the 1970s and 1980s. Ultimately, both tribes were forced to give up fishing and hunting rights to become federally restored. Ironically, neither the Grand Ronde nor the Siletz have fishing or hunting rights in their ratified treaties. Both tribes concluded that restoration of the tribal governments was more important than holding out for fishing and hunting rights . Two Native men dip-net fishing at Celilo Falls on the Columbia River, circa 1950. Some tribes were forced to give up the right to fish in their traditional locations in return for the restoration of their tribal status. (credit: “Men Fishing at Celilo Falls on the Columbia River” by Gerald W. Williams/OSU Special Collections & Archives/flickr, Public Domain) The Klamath tribe of Oregon was terminated in the 1950s, along with tribes in California, including the Karuk and Yurok, all of whom traditionally relied on fish from the Klamath River. In the 1970s and 1980s, these tribes were restored by the US federal government with their rights intact. The Klamath tribe of Oregon is the only tribe on the river with a ratified treaty that guaranteed fishing rights. During the termination period, the federal government had built numerous dams and water reclamation projects on the river and given away water resources to farmers and ranchers in the area. Dams such as the Shasta Dam had destroyed many salmon runs, and the water giveaways had taken much-needed in-stream flows out of the river, making the river warmer and less environmentally friendly to fish. When local tribes were restored, they began demanding rights to fish the river again. These rights were decided in a series of court decisions determining that the Klamath tribe’s water rights preceded those of farmers and municipalities, meaning that their rights to in-stream flows needed to be upheld. Numerous projects are underway to eliminate the dams on the Klamath River and return it to its original state. A Klamath woman in a traditional Klamath canoe harvesting wokas, the seeds of the yellow pond lily, circa 1923. (credit: “The Wokas Season—Klamath” by Edward S. Curtis/Library of Congress, Public Domain) Tribes with fishing rights in their treaties are now encroaching on the territories of tribes without such rights, leading to legal and political maneuvering between tribes. In Oregon, the Grand Ronde tribe was forced to purchase land at a key fishing location, Willamette Falls, and had to sidestep federal permissions, working with the state to gain “ceremonial” rights. Ultimately, the intertribal conflicts are caused by tribal adherence to federal bureaucratic processes that rely on legal or political channels to resolve problem rather than traditional tribal methods that bring people to the table to form agreements under traditional protocols. Culture and Language Native languages are the most threatened part of the cultures of Native peoples. Many tribes now have only a handful of people who fluently speak the tribe’s language. Of the estimated 10,000 languages once spoken worldwide, at least half have now gone extinct with no speakers, and there are 3,018 Indigenous languages spoken worldwide that are today endangered. One assessment of the 115 Indigenous languages currently spoken in the United State rates two as healthy, 34 as in danger, and 79 likely to go extinct within a generation (Nagle 2019). The rate and severity of language loss is connected to the remaining population of the tribe, whether the tribe has a functioning cultural center, and whether the language continues to be spoken in the households of tribal members. In large part, tribal people of the United States are becoming English-only speakers (Crawford 1995). Language recovery and revitalization have become a focus of many Indigenous peoples. Many tribal members consider knowledge of their language to be the true determinant of tribal identity. Complex understandings of philosophies and lifeways are embedded in language. In addition, tribes believe that their ancestors’ spirits visit members of the tribe to speak with and advise them, and if a person does not know the language, they will not be able to understand them. Tribes are now working to restore, preserve, stabilize, and teach their languages to the next generations to preserve their knowledge and cultural identities. The University of California, Berkeley, developed a master-apprentice program that is helping many Indigenous groups develop more language speakers by partnering fluent speakers with young tribal members. Even with this type of training, it can take years to learn to fluently speak the language. Another approach is the language immersion program , inspired by Hawaiian and Maori educational models. The immersion model places students in immersive classrooms for a period of several years, in which only the Native language is spoken. Evening classes are also offered for adult learners. In addition to efforts to restore Native languages, many tribes and urban tribal organizations offer cultural education classes to teach traditional skills. Art and craft classes are quite popular. Classes offered by Native instructors teach traditional techniques for making bows and arrows, weaving baskets, drawing in traditional styles, beading, and making moccasins, among others. History is another area that is receiving some attention. As just one example, the Cherokee Nation has instituted a history program for tribal members and tribal government staff so that all people working with and for the tribe have a shared understanding of history. Finally, Native events and celebrations typically draw substantial crowds. Many tribes and organizations host events such as powwows and tribal dances annually. These events are free to attend and present many different styles of dance and drum music, along with the opportunity to shop for Native arts and crafts. Powwows are usually multi-tribal events, in part reflecting the origin of these events in intertribal boarding schools. Tribal cultures and languages are a deep part of Native identity. There was a time in the United States when Native people were heavily exposed to assimilation pressures. During this time, many Native people stopped identifying as Native and did not teach their language or culture to their children or grandchildren. Acceptance of Native peoples has now shifted in most regions of the United States, and Indigenous peoples do not experience as much overt racism as they have in the past, although there are still some areas in the United States—many on the borders of tribal reservations—where overt racism against Indigenous peoples persists (Ashley 2015). Many of the descendants of once reservation-bound tribes are now actively seeking to reassociate themselves with their tribal cultures, recognizing this part of their heritage as a central part of their identity. Traditional Material Culture The traditional material cultures of Indigenous peoples showcase an impressive array of styles and skills. Native art was heavily collected by individuals and museums in the 19th century, when there were fears that Indigenous cultures were disappearing. Native art remains popular today. While many Indigenous artists continue to work in traditional styles, some are also incorporating contemporary styles and techniques. Native material cultures embed much cultural philosophy. As anthropologist and museum director Nancy Parezo says, “To anthropologists, Native American/First Nation arts are windows to understanding other cultures and societies. They can be specimens used to support evolutionary theories or explain the maker’s cultural concepts of beauty—to show universal concepts and cultural differences, shared meanings, and modes of communication” (1990, 12). Klickitat baskets. Traditional techniques and stylistic motifs in Native material culture reveal a great deal about a people’s cultural beliefs. (credit: “Image from Page 123 of ‘How to Make Indian and Other Baskets’ (1903)” by George Wharton James/Internet Archive Book Images/flickr, Public Domain) Artistic styles such as petroglyphs , in which images are carved into stone, and pictographs , or drawings, can be appreciated as both historic and spiritual statements. The petroglyph site in Cascadia Cave , near Sweet Home, Oregon, has hundreds of carvings. The most easily recognizable are the bear paws on the wall of the cave. There are also numerous lines, zigzags, and holes carved out of the cave wall. Willamette Forest Service archaeologist Tony Farque noted that people had long thought that the place was used to gain “bear power” for Native shamans. However, when one steps back, it is apparent that the decorated area of the wall is bordered by a large relief of a salmon, with one hole as its eye and the carved lines creating gills. The cave is now understood as a site where Indigenous peoples—Kalapuya, Molala, and other tribes in the region—sought to gain power when fishing in the nearby South Fork Santiam River, where salmon were known to spawn. Cultural sites such as Cascadia Cave are in danger of being destroyed by too much attention from archaeologists and the public. For more than a century, Cascadia Cave has been visited by thousands of tourists who have touched the walls, dug in the ground in search of artifacts, taken rubbings of the carvings, and sometimes even carved their initials or painted over petroglyphs to make them stand out more. All these activities degrade the site. Early archaeologists did much the same, digging into the ground and moving many yards of dirt, which has caused rainfall to pool at the walls of the cave. The pooling moisture accelerates the growth of mosses and other plants, which also degrade the walls of the cave. Digging also destroys the archaeological context of the site. It is important to note that in many countries, including the United States, it is illegal to dig up and remove archaeological materials. Those who continue to dig up materials for private collection or for sale are conducting illegal activities. Many of the sites illegally dug are cemetery sites, containing the remains of people and cultural artifacts that are related to descendant tribal populations today. Cascadia Cave petroglyphs. Note that the bear paws have been painted to make them more distinct, but this partially destroys the context of the petroglyphs. Additional petroglyphs are all over this portion of the wall. (credit: 46percent/Wikimedia Commons, Public Domain) Weaving arts are another significant aspect of material culture for many Indigenous peoples. Basketry techniques were and still are used to construct vessels used for regular household and resource-gathering activities. Indigenous groups developed various techniques for weaving, such as right twist, left twist, overlay, and false embroidery. These techniques result in decorative styles unique to individual tribes. Weaving techniques make use of many natural materials. Large objects such as mats were typically made with cattail and tule, while baskets could be made from a wide variety of materials, including juncus, hazel branches, cedar bark, bear grass, spruce roots, willow, and maidenhair fern. Some materials were chosen for their stability and durability, others for their flexibility, and still others for their color and luster. Dyeing weaving materials created complex color variations. Baskets were even used for cooking. The technique for boiling water in a basket is similar across many cultures: the basket would be tightly woven, normally with a double weave, and then filled with water. The fibers of the basket and the tight weave created a watertight exterior; additionally, some traditions coated the fibers with grease or pitch. Hot rocks, heated in a fire, would be placed in the basket to make the contained liquid boil. In this manner, food could be cooked without destroying the basket. (left) A Papago/Tohono basket maker working in 1916. (right) Classes teaching traditional basket weaving help to keep the art alive. (credit: left, “Papago Basketmaker at Work, Arizona” by H. T. Cory/National Archives and Records Administration/Wikimedia Commons, Public Domain; right, Jim Heaphy/Wikimedia Commons, Public Domain) Many tribes now offer classes to teach people the basic techniques and styles particular to their tribal heritage. The Confederated Tribes of Grand Ronde offer classes in carving, weaving arts, beading, regalia making, drum making, and other arts associated with the 27 tribes that make up the confederation. Arts and crafts are intermixed with education about Native philosophy, spirituality, and language. Some people attend classes for years to master the art style they enjoy, and tribal members may apprentice with master artisans to learn more advanced techniques. Many artisans are creating works of art that are inspired by deep feelings of Native identity, using their art to define themselves and their people within the contexts of both the present and the past. Several artists have become professionals and are producing work for galleries, exhibits, exterior monuments, and contracted sales. The artists employ traditional arts as well as contemporary sculptures and artistic traditions such as painting, drawing, and illustration. Many traditional three-dimensional artworks, such as cedar statues, are now rendered in metal, stone, or even glass so that they are more durable and can survive the rigors of contemporary tourism. Indigenous Philosophy and Worldviews A shared element of Indigenous philosophy across various cultures is the conception of humans existing in relationship to the world around them. Native peoples believe they are deeply connected to the natural world; animals are viewed as relatives, and plants, rocks, and mountains are all understood to have animistic spirits. Rivers, lakes, and even the seasons themselves are also understood as having spirits. Many Native American peoples believe that animals were once their brothers and sisters. It is believed that from the actions of some of the godlike animals, such as Coyote, Beaver, and Raven, much of the world was made. Many Native peoples gain shamanic powers by forming close relationships with certain animals. These powers might include the ability to heal, to poison, to call salmon, to call weather, to fish, or to communicate with animals. Typically, these abilities are gained through ceremonies designed to familiarize people with their spirit helpers at a young age. Ceremonies differ, but a common format involves a youth going off by themselves into a special natural area—such as a forest, hilltop, or mountain cave—and fasting and meditating until they hear their helper spirit. In this manner, many Native peoples are connected to spiritual powers; the most powerful may become a shaman or spiritual leader of their tribe. Details of these types of ceremonies are kept secret within each tribe. One reason for this secrecy is a concern that non-Native people might attempt the same ceremonies without guidance and perhaps hurt themselves or the world around them in the process. Native philosophy is understood to be embodied in the elders of the tribes. By living a full life within their particular cultural context, tribal elders gain wisdom about their people and culture. Many maintain tribal languages, too. Elders are honored and supported by younger members of their societies, who in turn learn about tribal traditions and philosophies from the elders. Elders come to their position partly through age, but normally they are recognized by their tribes when they exhibit great wisdom. Certain elders may have greater status than others depending on how well versed they are in their traditions and how respected they are by the community. Native philosophy can also be gleaned through the study of oral histories. Many oral histories relate to subjects such as how the world was formed, how humans relate to animals, and how to acquire food, offering moral and ethical lessons. Oral histories may also be records of historic events, such as when the tribe was removed to a reservation, when many people died from disease, when a tsunami forced the people to escape to a mountain, when the land was changed by geological activity, or when there was a war. Oral histories are often full of metaphors and symbols of powerful spiritual forces that caused the event. One example is the story told by the Wasco people of when Coyote and Wishpoosh (Beaver) fought on the Columbia River and created the Columbia Gorge. This oral history reflects Native explanations of a series of flood events that occurred when rushing floodwaters carved out the Columbia Gorge in Oregon. The Missoula floods occurred from 18,000 to 15,000 years ago during the large Ice Age. The floods, perhaps as many as 90 of them, are noted by geologists to have been caused by the breaking of glacial ice dams behind which was Lake Missoula. During fluctuations in the warming period, the ice dams burst, and millions of hectares of water from the glacial lake flooded down the Columbia to carve out the Columbia River Gorge. The dams would refreeze and burst again, perhaps hundreds of times, to scour the lands east of the Columbia of topsoil and carve out the gorge. The topsoil would be deposited in the Willamette Valley (Allen, Burns, and Burns 2009). It is remarkable that Native peoples maintained oral histories documenting this event for at least 15,000 years. The Wasco oral history of Wishpoosh and Coyote is only one such story of this event. All tribes in the region have a story that mentions a flood of this magnitude. Columbia River Gorge. A story told by the Wasco people relates how the gorge was created when Coyote and Wishpoosh (Beaver) fought on the Columbia River. (credit: Hux/Wikimedia Commons, Public Domain) Indigenous worldviews are embedded in ceremonies as well. The Tolowa Nation of Northern California practices Nee-dash , their world renewal ceremony, also called the Feather Dance, on the winter and summer solstices. This ceremony lasts as long as 10 days and is meant to showcase the wealth of the tribe. Dancers, both men and women, wear regalia and dance continuously for the 10 days of the ceremony. Each day, they increase the number of necklaces they wear and the wealth displayed in their regalia. When the dancers become “wealthier,” it is a metaphor for the growth of food, understood as the wealth of the land, that begins in the spring of each year. Dancers move in a semicircle, men on one side and women on the other, as a leader sings Native ceremonial songs and stamps out a beat on the hard-packed earthen floor with a tall stamper stick. Dancers take turns “coming out” and dancing, individually or in twos, threes, or larger groups, understood to be displaying their ceremonial power in hunting, fishing, or gathering. An audience of tribal people is normally situated around the benches of the dance house, men on one side and women on the other. The dances are meant to renew the earth to ensure strong returns of seasonal fish runs, good hunting opportunities, and rich yields of acorns or berries. The ceremony honors the land, the animals, and the plants that sustain the people. This ceremony establishes a spiritual relationship in which people are not separate from nature but a part of it, with the responsibility to act as stewards of its great wealth. Tolowa Dee’ni Feather Dancers perform during a ceremony at the University of Oregon in 2001. The Feather Dance is understood to affirm a spiritual relationship between people and nature, with humans acknowledging the responsibility to act as stewards of its great wealth. (credit: David G. Lewis, Public Domain) Most Indigenous cultures have ceremonies similar to this, centered on events such as the first salmon catch, the first hunt, or the first gathering of any important food. First salmon ceremonies for the Takelma peoples of the Rogue River Valley in Oregon involve a young man taking the bones of the first salmon caught that year down to the bottom of the Rogue River. These ceremonies are an important way for Native peoples to acknowledge and recommit themselves to a responsibility to steward the natural world in order to sustain its health and vibrancy so that the people who rely on it may thrive into the future. Indigenous Critique: Rights, Activism, Appropriation, and Stereotypes In the contemporary era, the publications of academics have had a great deal of influence on how tribes have been treated by the federal government and other groups. A 1997 essay, titled “Anthropology and the Making of Chumash Tradition,” included the authors’ opinion that the Coast Chumash tribe were descendants of Mexican people, and not Native people of North America at all (Haley and Wilcoxon 1997). The essay relied in part on rumors that were later refuted as unproven by archaeologist Jon Erlandson (1998). These claims, even disproven, aided other Native peoples in accusing the Coast Chumash of not being Native, resulting in many social and political problems for the community. Scholarly publications such as these can affect the ability of tribal nations in the United States to gain federal recognition status because all applicants for federal recognition must establish continuous culture and governance. Public and scholarly opinions can have a huge effect on whether tribes get recognized and are able to restore their culture and sovereignty after centuries of colonization. Responses to the disempowering effects of colonialism have sometimes been overtly political. In the 1960s, the American Indian Movement (AIM) took actions to bolster tribal sovereignty throughout the United States. AIM was involved with several highly public activities, including an occupation at Mount Rushmore in 1971 in protest over the illegal taking of Sioux lands and the carving of presidents’ faces in a mountain sacred to the Sioux. AIM also participated in the occupation of Wounded Knee in 1973, the site of a historic battleground, in protest over the failure to impeach Oglala Sioux president Richard Wilson; the resulting standoff with federal law enforcement lasted 71 days. Public awareness of the federal government’s oppression of Native peoples grew when a large military force was deployed during a second occupation of Wounded Knee, an event called Wounded Knee 2. AIM’s work was part of a larger civil rights movement that involved Black, Latina/Latino, and women activists as well as the growing anti–Vietnam War movement. This larger movement created political shifts in the United States that benefited Native communities (Johansen 2013). The Trail of Broken Treaties Protest of 1972, part of the American Indian Movement for greater political rights and tribal sovereignty. (credit: “TrailBroken.AIM.WDC.12oct02” by Elvert Barnes Protest Photography/flickr, CC BY 2.0) Beginning in the 1970s, several laws were passed by Congress to empower tribes. These included policies pertaining to education (Indian Education Act, 1972), child foster care (Indian Child Welfare Act, 1978), college education (Tribally Controlled Colleges and Universities Assistance Act, 1978), freedom of religion (American Indian Religious Freedom Act, 1978), and rights to archaeological sites and remains (Archaeological Resources Protection Act, 1979, and Native American Graves and Repatriation Act , 1990). This period also saw the end of the national policy of termination and a turn toward allowing tribes that had been terminated to be restored, with self-determination becoming standard federal policy. Stereotypes Native peoples have also become vocal in confronting stereotypes about them. The first Western stereotypes of Native peoples in North American depicted them in primitivist terms as noble savages , living in harmony with nature, with no notions of laws, time, or money. Implicit in this view was the idea that Indigenous peoples were not fully civilized and did not deserve the same rights as White, Christian people. Their land could thus be taken away. This stereotype has been described by writer Albert Memmi “as a series of negations: they were not fully human, they were not civilized enough to have systems, they were not literate, their languages and modes of thought were inadequate” (Smith 2021, 31). Throughout the history of the United States, these stereotypes have been used to progressively take more and more away from Native peoples. When reservations were first established, they were said to be permanent homes, but as White settlers began to see these lands as attractive places, the notion was again raised that Native peoples were not using the land appropriately. Chief Joseph of the Nez Percé tribe (Niimiipuu), pictured with a stoic “noble savage” look. The stereotype of Indigenous people as “noble savages” has been used as justification for taking their land away from them. (credit: “Joseph—Nez Percé” by Edward S. Curtis/Library of Congress, Public Domain) Additional stereotypes originated with early anthropological research. Notions that Native peoples could not digest alcohol, were lazy and would not work, were not intelligent enough to become civilized, or were dying off as a population because they did not have a civilized culture have all been perpetuated by scholars who embraced social evolutionary theories about human societies. The idea that societies and civilizations existed in competition with one another, and that Native peoples were not competitive because they were savages or barbarians, was inspired by Lewis Henry Morgan ’s proposal of a hierarchy of civilizations. These ideas have been heavily refuted, but the stereotypes persist and continue to affect Native peoples in prejudicial ways. Recently, the issue of Indian mascots has received a lot of attention. In the early 20th century, private and professional sports teams and franchises begin to name their athletic teams after Native groups or some characteristic words referring to Native peoples. Common names include the Warriors, Chiefs, Indians, Reds, Redskins, and Braves. Some of these names may have been chosen to honor the strength and resilience of people who had survived centuries of war with colonizing peoples. Regardless of the original intention, as time went on, fans of many of these teams developed practices that disparaged Indigenous peoples. Many mascots were cartoonish or savage caricatures. These mascots may have been the only exposure many American people had to Native peoples, at a time when there was no valid education about Native peoples offered in public schools. The first significant challenge to the use of such mascots was led by Charlene Teters , a student at the University of Illinois, against the university’s mascot, Chief Illiniwek , in the 1980s. Teters criticized various aspects of the chief’s presentation, including the headdress, regalia, and dance style, the latter of which was the invention of students who took the role of mascot each year. The campaign against this mascot continued for some 20 years, with many fans and alumni of the university countering that the mascot was meant to honor the Illiniwek people. The mascot was finally dropped by the university in 2007. Much opposition to mascots is connected not to the use of the figure itself but to the behavior of fans. Practices such as dressing in red paint, wearing outfits of fake feathers and fake headdresses, and using arm motions such as the “tomahawk chop” to show team spirit have offended Native groups. Names might also carry meanings not fully understood by fans. Controversy around the Washington Redskins’ name and mascot lasted for some 30 years. Many fans weren’t aware that the term redskins was used in states such as California and Oregon to refer to Native scalps collected by White American militia members. These scalps, or redskins, could be returned to the state government for a bounty. At certain periods in U.S. history, hundreds of Native people were killed, and whole villages sometimes destroyed, by militia seeking redskins to collect these bounties. In 2020, the Washington Redskins dropped the name; they were temporarily known as the Washington Football Team until rebranding as the Washington Commanders prior to the start of the 2022 season. Similarly, in 2019, the Cleveland Indians dropped its “Chief Wahoo” mascot, and in 2021, the team changed its name to the Cleveland Guardians. In some cases, tribal nations have collaborated with universities to develop more respectful mascot images. The University of Utah has collaborated with the Ute tribe in designing its mascot image featuring a feather, and Florida State University has worked with the Seminole tribe to develop its Appaloosa horse rider and spear imagery. There remains a political divide in the debate about mascots, with some Native activists believing there should be no Indian mascots, while others think that sovereign tribal nations, as sovereign governments, should be able to decide how their people are characterized by organized athletic organizations. American Indian Movement a social and political organization with many local chapters around the United States of activist Native people focused on confronting the federal and state governments over racist policies and actions. AIM was most active in the 1970s and 1980s. animistic of or relating to a spiritual belief that everything in the world has its own living spirit. basketry an art form of many Indigenous peoples, created from woven plant matter. Each tribe has its own traditions and styles, with some tribes using many styles. Indian Claims a series of more than 700 lawsuits brought by tribal nations in the 20th century against the US federal government to demand repayment for failures in the administration of a variety of responsibilities. Indian mascots characterizations of a Native person or group used to represent athletic teams, often portraying savage or cartoonish stereotypes. The practice is considered highly racist toward Native peoples. Marshall court trilogy three Supreme Court decisions— Johnson v. M’Intosh (1823), Cherokee Nation v. Georgia (1831), and Worcester v. Georgia (1832)—that determined that tribal nations are domestic sovereign nations within the United States and dependent on the federal government to guarantee their sovereignty. noble savages a romanticist term used to suggest that Native peoples were uncivilized and primitive, living in harmony with nature. petroglyphs images carved into stone and sometimes painted. pictographs drawings on the wall of a cave or rock shelter or on animal hide. treaties agreements between sovereign entities, in this context Native nations and the United States.", "section": "Indigenous Agency and Rights", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Applied and Public Anthropology and Indigenous Peoples Learning Outcomes By the end of this section, you will be able to: Explain how tribal cultures are using anthropology to secure rights to sites of cultural significance. Describe how anthropologists and Native scholars aid Indigenous peoples using anthropology. Discuss how Indigenous peoples create networks to help one another. Applied anthropology , which applies anthropological research and methods to contemporary problems, addresses much of the critique of anthropology offered by Vine Deloria Jr. and others. Many Indigenous peoples have become active participants in applied anthropological research, both seeking out and collaborating with anthropologists to work on projects that they themselves have defined. Many tribes now take a directive approach with researchers, offering contracts and funding for anthropologists who will work on issues that the tribes think are important. As tribes develop their reservation infrastructure, many have established archaeology programs to protect their rights to sites of importance. Many have asked scientists to create GIS (geographic information system) products, which feature layers depicting various resources and characteristics on a map, to manage their lands and help them effectively consult with states, the federal government, and private agencies. The layering of information in the GIS can create deeply immersive maps and models that include information about types of vegetation, the environmental history of lands, changes to lands, and any other information than can be captured and mapped. Layered information can be activated or removed from a map to meet specific aims. Tribes can now reference both the information available through scholarly studies and information about their lands and peoples from their own internal studies, which they do not typically share outside of the tribe. In many ways, tribes are now more knowledgeable about the archaeology of their territory than most institutions and are making plans to protect and preserve cultural sites and resources. Public anthropologists aim to engage with communities and involve the general public in their work as much as possible. In doing so, they empower communities to address their own problems. Many public anthropologists publish their research in readily accessible formats, such as newspapers and popular magazines. The Internet offers many ways for public anthropologists to reach a broader audience. Blogs and digital journals make it possible for anthropologists to make information broadly available in order to benefit the greatest number of people. The author of this chapter, David Lewis, describes his own efforts to make anthropological research more readily available: I produce a blog, the Quartux Journal , which I began in 2014. At that time, I was engaged in a decade-long series of studies of the tribal peoples of western Oregon. Years of research had given me much to write about. The blog offered a means of releasing that information quickly and without charge to a broad group of colleagues and the public who desired information about Native peoples. Many of my readers are educators seeking content for high school or college classes they are teaching about Native peoples. This blog began at a time when Native groups and the state of Oregon were developing Native curricula for public schools, and it has become an essential curriculum tool for educators in the region. Educators have written back about the lack of resources and the great aid the blog has offered in filling their need for facts about the tribes of Oregon. The blog has now grown to more than 450 essays about tribal peoples throughout western Oregon and beyond. Its essays are easily read in about 10 minutes and are not jargon laden. There are currently more than 1,000 subscribers to this blog. The essays have inspired additional research on Native peoples’ history and has lent Native contextual details to local studies of the histories of Oregon. Summary This chapter addresses many issues involving Native peoples that are a result of the colonization of Indigenous peoples, the effects of a long history of governmental administration, and the manipulation of Native history and cultures in public spheres. Indigenous peoples in the United States today have lived through a long period of cultural collapse and are subject to extreme competition for land, rights, and resources. This chapter focuses primarily on the Indigenous peoples of Oregon within the United States. The issues faced by these people are similar to those faced by Indigenous peoples around the world, including a history of colonization, removal from traditional lands to reservations, signing away land and rights in treaties, and forced education in boarding schools. Disempowerment of tribal sovereignty, disenfranchisement from lands and resources, and forced assimilation have significantly affected Native peoples. In addition, Indigenous peoples of the United States face significant problems adjusting to contemporary society. The general lack of education about Indigenous peoples has caused a lack of knowledge about Native history and culture in society. Within this culture, mascots and stereotypes are challenging to Native peoples, who face racism in society. Contemporary tribal nations struggle to restore cultures and governance systems. Native peoples must adjust to the cross-culturalism of modern society while they seek to maintain tribal identities and memberships in tribal nations. Scholarly studies of Native peoples are also addressed, as the studies and perceptions of anthropologists have significantly affected how tribes are perceived today. Research Activity: Native American Peoples Conduct research into Edward S. Curtis’s photographs of Native North American peoples. The majority of his images are online in the Library of Congress Edward S. Curtis Collection . After picking at least one image, research the circumstances under which Curtis took the photograph. Curtis himself offers clues to his subject and location, sometimes even identifying his subjects by name. Then, research the tribe the subject(s) was or were a part of, including where the tribe was living at the time the photo was taken and their socioeconomic situation. Expect to conduct research to locate the correct historic sources. Finally, compare the culture portrayed in the photo and noted by Curtis’s information with your research findings. Note differences and ways in which Curtis may have altered the context. One reference for research is the video Edward Curtis: Photographing the North American Indian , available from the Smithsonian Institution. Present your research in a formal report of 3–5 pages, including full references and the image being researched. Critical Thinking Questions Suggested Readings Biolsi, Thomas, and Larry J. Zimmerman, eds. 1997. Indians and Anthropologists: Vine Deloria, Jr., and the Critique of Anthropology . Tucson: University of Arizona Press. Deloria, Vine, Jr. (1969) 1988. Custer Died for Your Sins: An Indian Manifesto . Norman: University of Oklahoma Press. Deloria, Vine, Jr. (1970) 2007. We Talk, You Listen: New Tribes, New Turf . Lincoln: University of Nebraska Press. Deloria, Vine, Jr. (1995) 1997. Red Earth, White Lies: Native Americans and the Myth of Scientific Fact . Golden, CO: Fulcrum. Deloria, Vine, Jr. 1999. Spirit & Reason: The Vine Deloria, Jr., Reader . Edited by Barbara Deloria, Kristen Foehner, and Sam Scinta. Golden, CO: Fulcrum. Deloria, Vine, Jr. 2003. God Is Red: A Native View of Religion . 3rd ed. Golden, CO: Fulcrum. Harrison, Faye V., ed. 2011. Decolonizing Anthropology: Moving Further toward an Anthropology for Liberation . 3rd ed. Arlington, VA: American Anthropological Association. Ngũgĩ wa Thiong’o. 1986. Decolonising the Mind: The Politics of Language in African Literature . Portsmouth, NH: Heinemann. Said, Edward W. 1978. Orientalism . New York: Pantheon Books. Smith, Linda Tuhiwai. 2021. Decolonizing Methodologies: Research and Indigenous Peoples . 3rd ed. London: Zed Books. Bibliography Al-Asfour, Ahmed, and Marry Abraham. 2016. “Strategies for Retention, Persistence and Completion Rate for Native American Students in Higher Education.” Tribal College and University Research Journal 1 (1): 46–56. https://issuu.com/collegefund/docs/tcurj_v1_1_full_journal_high-resolu. Albers, Patricia, and Beatrice Medicine. 1983. The Hidden Half: Studies of Plains Indian Women . Washington, DC: University Press of America. Allen, John Eliot, Marjorie Burns, and Scott Burns. 2009. Cataclysms on the Columbia: The Great Missoula Floods . Rev. 2nd ed. Portland, OR: Ooligan Press. Ashley, Jeremy. 2015. “Native American and Multi-ethnic Experiences with Racial Discrimination in Indian Reservation Border Towns.” PhD diss., Northern Arizona University. Brayboy, Bryan McKinley Jones, K. Tsianina Lomawaima, and Malia Villegas. 2007. “The Lives and Work of Beatrice Medicine and Vine Deloria Jr.” Anthropology & Education Quarterly 38 (3): 231–238. https://www.jstor.org/stable/25166623. Crawford, James. 1995. “Endangered Native American Languages: What Is to Be Done, and Why?” Bilingual Research Journal 19 (1): 17–38. DeAngelo, Linda, Ray Franke, Sylvia Hurtado, John H. Pryor, and Serge Tran. 2011. Completing College: Assessing Graduation Rates at Four-Year Institutions . Los Angeles: Higher Education Research Institute, University of California, Los Angeles. https://heri.ucla.edu/DARCU/CompletingCollege2011.pdf. Deloria, Vine, Jr. (1969) 1988. Custer Died for Your Sins: An Indian Manifesto . Norman: University of Oklahoma Press. Deloria, Vine, Jr. (1995) 1997. Red Earth, White Lies: Native Americans and the Myth of Scientific Fact . Golden, CO: Fulcrum. Deloria, Vine, Jr. 1997. “Anthros, Indians, and Planetary Reality.” In Indians and Anthropologists: Vine Deloria, Jr., and the Critique of Anthropology , edited by Thomas Biolsi and Larry J. Zimmerman, 209–221. Tucson: University of Arizona Press. Ellinghaus, Katherine. 2017. Blood Will Tell: Native Americans and Assimilation Policy . Lincoln: University of Nebraska Press. Erlandson, Jon McVey. 1998. “The Making of Chumash Tradition: Replies to Haley and Wilcoxon.” Current Anthropology 39 (4): 477–510. https://doi.org/10.1086/204760. Haley, Brian D., and Larry R. Wilcoxon. 1997. “Anthropology and the Making of Chumash Tradition.” Current Anthropology 38 (5): 761–794. https://doi.org/10.1086/204667. Hegeman, Susan. 1989. “Native American ‘Texts’ and the Problem of Authenticity.” American Quarterly 41 (2): 265–283. https://www.jstor.org/stable/2713025. Hinton, Leanne. (2001) 2013. “The Master-Apprentice Language Learning Program.” In The Green Book of Language Revitalization in Practice , edited by Leanne Hinton and Ken Hale, 217–226. Leiden: Brill. Johansen, Bruce E. 2013. Encyclopedia of the American Indian Movement . Santa Barbara, CA: Greenwood. Lewis, David Gene. 2002. “Native Experience and Perspectives from Correspondence in the SWORP Archive.” In Changing Landscapes: “Sustaining Traditions”; Proceedings of the 5th and 6th Annual Coquille Cultural Preservation Conferences , edited by Donald B. Ivy and R. Scott Byram, 25–39. North Bend, OR: Coquille Indian Tribe. Lewis, David Gene. 2009. “Termination of the Confederated Tribes of the Grand Ronde Community of Oregon: Politics, Community, Identity.” PhD diss., University of Oregon. http://hdl.handle.net/1794/10067. McNickle, D’Arcy. 1968. “The Sociocultural Setting of Indian Life.” American Journal of Psychiatry 125 (2): 219–223. Medicine, Beatrice. 2007. Drinking and Sobriety among the Lakota Sioux . Lanham, MD: AltaMira Press. Memmi, Albert. (2003) 2010. The Colonizer and the Colonized . Translated by Howard Greenfield, with an introduction by Nadine Gordimer. New York: Earthscan. Miller, Robert J. 2012 . Reservation “Capitalism” Economic Development in Indian Country. Santa Barbara,CA: Praeger. Nagle, Rebecca. 2019. “The US Has Spent More Money Erasing Native Languages Than Saving Them.” High Country News , November 5, 2019. https://www.hcn.org/issues/51.21-22/indigenous-affairs-the-u-s-has-spent-more-money-erasing-native-languages-than-saving-them. Nenemay, Kimberly Alice. 2005. “An Exploratory Study of Tribal Enrollment, Blood Quantum and Identity among the Confederated Salish and Kootenai Tribe of Western Montana.” PhD diss., Rutgers University. ProQuest (AAT 3180991). Parezo, Nancy J. 1990. “The Challenge of Native American Art and Material Culture.” Museum Anthropology 14 (4): 12–29. https://doi.org/10.1525/mua.1990.14.4.12. Smith, Linda Tuhiwai. 2005. “Imperialism, History, Writing, and Theory.” In Postcolonialisms: An Anthology of Cultural Theory and Criticism , edited by Gaurav Desai and Supriya Nair, 94–115. New Brunswick, NJ: Rutgers University Press. Smith, Linda Tuhiwai. 2021. Decolonizing Methodologies: Research and Indigenous Peoples . 3rd ed. London: Zed Books. Thornton, Russell. 1997. “Tribal Membership Requirements and the Demography of ‘Old’ and ‘New’ Native Americans.” Population Research and Policy Review 16 (1–2): 33–42. https://doi.org/10.1023/A:1005776628534. public anthropologists anthropologists who work to make their research, analysis, and products available to the public through publication and presentation of their work in public, easily accessible places.", "section": "Applied and Public Anthropology and Indigenous Peoples", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Introduction The Museum of Anthropology at the University of British Columbia in Vancouver, Canada, showcases anthropological artifacts and culturally diverse histories. (credit: “UBC Museum of Anthropology” by Wpcpey/Wikimedia Commons, CC BY 4.0) In “Waddling In,” a provocative essay published in 1985, interpretive anthropologist Clifford Geertz proposed that among the various academic disciplines, anthropology was uniquely capable of leading into the future. He pointed out the fundamental changes anthropology faced as it headed into the 21st century—changes in its traditional subject focus, its traditional field sites, and its wide, holistic perspective, which Geertz referred to as “walking barefoot through the Whole of Culture” (1985, 623): Pulled in opposed directions by technical advances in allied disciplines, divided within itself along accidental ill-drawn lines, besieged from one side by resurgent scientism and from the other by an advanced form of hand-wringing, and progressively deprived of its original subject matter, its research isolation, and its master-of-all-I-survey authority, [anthropology] seems not only to stay reasonably intact but . . . to extend the sway of the cast of mind that defines it over wider and wider areas of contemporary thought. We have turned out to be rather good at waddling in. In our confusion is our strength. (624) In our confusion is our strength . For Geertz, this confusion reflects anthropology’s flexibility as a science and a humanity and its acknowledgment that we do not yet know everything about who we are as a species. Our ongoing mission is to be open to what comes next, open to the potential of what it means to be human. This is especially important at this moment in history when global challenges remind us of how much remains to be done for every person to have a life of dignity. Instead of predicting the end of anthropology, “Waddling In” challenges anthropologists to discover an ever-widening relevance and importance for the discipline, in a world of ongoing cultural change. Anthropology is both an academic and an applied discipline. What anthropology reveals about human culture and human biology can be used to improve lives today. Anthropology is deeply relevant to contemporary lives in many ways. Museums are a common way in which anthropological knowledge is presented to the public, interpreting cultural and biological diversity and inspiring new generations of scholars and a broader public. The Museum of Anthropology at the University of British Columbia, shown in , is an example of one way anthropologists share their knowledge in a public space. But there are many other ways in which anthropologists interact with and influence our global community.", "section": "Introduction", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Our Challenging World Today Learning Outcomes By the end of this section, you will be able to: Identify some of the most critical global challenges. Define ethnosphere. Analyze the importance of the ethnosphere today. Critical Global Challenges Today humanity faces a growing number of global problems, most of them linked to one another and to long-standing historical inequities and injustice. Many of the problems people experience in their daily lives derive from major global issues, which intersect with and affect cultural traditions and contemporary social behaviors. In other words, our global problems are deeply connected to the ways we live locally. Local and global problems connect and reinforce each other. The United Nations headquarters in Geneva, Switzerland. In 2021, the United Nations identified 22 critical global issues humanity currently faces. (credit: “Palais des Nations Unies, à Genève” by Groov3/Wikimedia Commons, CC0) In 2021, the United Nations (UN) identified 22 critical global issues, several worsened by the COVID-19 pandemic. These are challenges that “transcend national boundaries and cannot be resolved by any one country acting alone” (United Nations 2021). Many of these challenges, which affect all nations, are particularly harmful to those facing discrimination, environmental and social racism, and economic poverty. As you read through these “global issues,” notice how many of these challenges are linked together (e.g., Africa, decolonization, democracy, poverty, global health, etc.). Go through this list and note which of these impact you and which might have affected your ancestors. Consider such things as cost of goods and services, possible effects on health and welfare, and even the political instability that might result from these issues, creating global ripple effects. Also, consider how populations suffering various injustices might experience greater impacts than those in otherwise stable communities. Africa : promoting democratic institutions, supporting economic and social development, and protecting human rights. Aging : responding to the growth of aging populations (ages 60 and over) worldwide. AIDS : continuing to reduce infection and death rates in the global fight against AIDS. Atomic energy : promoting the safe, secure, and peaceful operation of more than 440 nuclear reactors generating electricity worldwide. Big data for sustainable development : monitoring inclusiveness and fairness in the application of new data sources, technologies, and analyses. Children : protecting the rights of every child to health, education, and protection and expanding children’s opportunities. Climate change : responding to the unprecedented challenges of shifting weather patterns that threaten food production and create climate emergencies. Decolonization : continuing to monitor and encourage self-determination among former colonies, which the UN refers to as a “sacred trust.” When the UN was founded in 1945, approximately 750 million people were living in colonies and dependencies; today, fewer than two million live under colonial rule. Democracy : strengthening democracy, “a universally recognized ideal” and a core value of the UN, as a way of strengthening human rights. Ending poverty : reducing global poverty rates, which could increase by as much as 8 percent of the world’s population during the COVID-19 pandemic. Food : working toward food security and increasing nutrition for the most vulnerable population groups, especially during COVID-19. Gender equality : promoting gender equality as both a fundamental human right and a critical factor in achieving peaceful and sustainable societies. Health : monitoring, promoting, and protecting health concerns worldwide. Much of the leadership in this area is provided by the World Health Organization (WHO). Human rights : continuing the ongoing effort to guarantee human rights around the globe. This is a central focus of the UN’s work, as set out in the UN Charter and the Universal Declaration of Human Rights . International law and justice : continuing to promote international law and justice across the three pillars of international peace and security, socioeconomic development and progress, and respect for fundamental human rights and freedoms. Migration : ensuring the orderly and humane management of migration, finding practical solutions to migration problems, and providing humanitarian assistance to refugees and internally displaced persons. Oceans and the law of the sea : ensuring peaceful, cooperative usage of the oceans and seas to the common benefit for humanity and combating the rising threat of pollution and waste from transport vessels and oil tankers. Peace and security : helping restore peace and preventing disputes from escalating into war. Population : promoting sexual and reproductive health and individuals’ ability to manage the size of their families. Refugees : providing aid and safe haven to the millions of people forcibly displaced worldwide. In 2019, an estimated 79.5 million people were refugees, 26 million of them under the age of 18. Water : managing the competition between individual and commercial needs for access to water, which is critical for all human populations. Youth : providing for a more just, equitable, and progressive future for persons between the ages of 15 and 24, including ensuring access to health, education, and employment and working toward gender equality. Private philanthropists have been working on some of these same problems as well. In 2020, the Bill and Melinda Gates Foundation , founded in 2000 to work collaboratively with governments to solve critical global health issues, expanded their focus by naming three major action areas for their multibillion-dollar foundation, in addition to ongoing educational priorities: Climate change : increasing clean energy, providing zero-emissions energy to low-income countries, and developing innovative approaches to food production. Gender inequality and gender-based violence : expanding access to education to improve women’s lives and increasing women’s leadership positions in government, finance, and health. Global health : sponsoring initiatives to deliver vaccinations and otherwise combat major global diseases, such as AIDS and malaria. (Bass and Bloomberg 2020) These lists represent only the beginning of the challenges that face us as human beings living on one shared planet. Underpinning these challenges are many others, none more important than the loss of diversities. We face devastating losses in three major areas of diversity: biological diversity , as species are increasingly endangered or become extinct; cultural diversity , as Indigenous peoples, minorities, and smaller populations in more isolated areas, such as rural areas, face encroachments on their lands and their lives, including their right to exist as diverse cultures; and linguistic diversity , with thousands of languages already extinct and many more facing imminent extinction. As diversity declines, our species has fewer options and less flexibility. When we consider that most innovation builds on preexisting forms—whether of biology, culture, or language—the loss of anything that once existed is also a loss of potential, of what could have been . But all is not doom and gloom. Hope is offered by disciplines, such as anthropology, that work to value and preserve diversities. Anthropology has taken a lead role in bringing positive change to our global world. Projects in which anthropological knowledge and insight is applied to current challenges include language reclamation and revitalization, primate conservation and habitat enrichment, revitalization of traditional foodways and technologies, and other projects to revive, restore, and encourage cultural, biological, and linguistic diversity. The Ethnosphere When considering the many challenges facing us as a global community, we must also acknowledge our assets —the tools and conditions we can harness to increase value and effect positive change. We do not enter our future empty-handed. To some extent, our challenges and assets have evolved together, hand in hand. As we face concerns about another possible global health pandemic, for example, we bring with us a depth of scientific knowledge based on earlier experiences, having learned and retooled our responses to be better prepared for those things we have experienced before. As we begin to combat overwhelming climate crises after decades of abusing our environment, we have knowledge and tools to make positive changes while continuing to educate people about our physical world, pollution, and global warming. We understand the causes of most of our challenges, and we have the ability to harness large groups of people globally to work together to address them, with an impressive array of technology at our fingertips. We are not a helpless species. We are not necessarily smarter or wiser than our ancestors were, but we do have one great treasure—we have what our ancestors left to us. We have the accumulation of all their cultural wisdom, ingenuity, and humanity. In 2001, Canadian cultural anthropologist Wade Davis coined the term ethnosphere to refer to the sum total of all of human knowledge across time: You might think of the ethnosphere as being the sum total of all thoughts and dreams, myths, intuitions and inspirations brought into being by the human imagination since the dawn of consciousness. The ethnosphere is humanity’s great legacy. It is the product of our dreams, the embodiment of our hopes, the symbol of all that we are and all that we have created as a wildly inquisitive and astonishingly adaptive species. (Davis 2003) Anthropologist Wade Davis coined the term ethnosphere to describe the totality of the human cultural legacy across time and cultures. (credit: “Wade Davis” by Cpt. Muji/Wikimedia Commons, CC0) The diverse ways in which humans have solved or managed the challenges of our lives, many of them challenges that we have inflicted on ourselves because of greed and ignorance, is a rich storehouse for our future. Too often, contemporary people feel there is little to learn from those who are different from us or who came before us, but the solutions to our current problems are founded upon this legacy. Humans have faced grave environmental challenges more than once in our species’ history. Our ancestors also faced global climate challenges. The last glacial period occurred between 120,000 and 11,500 years ago. During that time, alternating periods of global cooling and warming displaced human populations and forced them to adapt to new plants and animals as they migrated and ultimately peopled the globe. One of the notable consequences of the last years of the glacial period was the extinction of some 177 species of megafauna (large mammals), including woolly mammoths, giant deer, and saber-toothed cats. There have been two primary theories about these extinctions, which occurred worldwide (in Europe, Africa, Asia, and North and South America). Did the animals go extinct due to climate change and habitat loss or to overkilling by human big-game hunters? Recently, researchers at Aarhus University in Denmark studied the extinction of megafauna species through global mapping techniques that compared timelines of human occupation and of animal extinction (Sandom et al. 2014). In about one-third of the animal extinctions, the correlation of the dates of the earliest arrival of human hunters and the extinction of the animals was clear and consistent. While the majority of cases were not consistent, they did not present contrary evidence to the theory of human overkill and environmental exploitation. It appears that humans were involved in mass extinctions and environmental changes even in these early periods. The skeleton of a woolly mammoth, a large mammal that was most likely hunted to extinction by early humans. (credit: “Siegsdorfer Mammut” by Lou Gruber/Wikimedia Commons, Public Domain) And yet people have also been involved in animal reintroductions and species conservation. Today, U.S. National Parks have reported a variety of species reintroduction success stories. In several national parks across the United States, native animal species have been reintroduced to better manage habitats, conserve endangered species, and support a healthy ecosystem. Among the most successful reintroduced species are California condors, Pacific fishers, black-footed ferrets, gray wolves, bald eagles, desert pupfish, bighorn sheep, elk, and nēnē, a species of goose native to Hawaii (Errick 2015). Entomologist Edward O. Wilson has devoted his life to studying and working to protect biodiversity , the astounding variety of plants and animals on our planet that together form a healthy ecosystem. As part of the biological web of life, humans are important actors. Within the ethnosphere lies the wisdom of generations of human interactions with other species for food, medicines, clothing, shelter, protection, companionship, and economic exploitation. Many of the tools related to this valuable knowledge are found within Indigenous cultures, too many of them also endangered or extinct today. By preserving and valuing the ethnosphere and its diversity, we preserve ourselves, our children’s futures, and the hopes we have for our planet. Anthropology plays a major role in preserving, valuing, and teaching about the ethnosphere. In this critical role, anthropology makes an important difference in how well we encounter the future—whether we will adapt and thrive or face ever-increasing threats to our survival. Whether you are a practicing anthropologist, a student of anthropology, or someone who enjoys learning about our diverse world, including its diverse peoples and cultures, you have a role to play in bringing about a more hopeful future. asset a tool or condition that can be harnessed to increase value and effect positive change. biodiversity the variety of plants and animals that exist on Earth and form a living ecosystem. ethnosphere the sum total of all of human knowledge across time.", "section": "Our Challenging World Today", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Why Anthropology Matters Learning Outcomes By the end of this section, you will be able to: Explain the characteristics of anthropology that make it uniquely relevant today. Describe and give an example of anthropological values. Analyze the importance of anthropological skills. A Uniquely Relevant Discipline As you learned in What is Anthropology? , anthropology is a unique discipline. Not only does it study all aspects of what it means to be human across time, with a focus on evolution and how changes occur in our bodies and cultures, but it also examines the ways in which we adapt to different social and physical environments. This process of adaptation is a primary source of cultural and biological diversity. Anthropology is also holistic, examining the context of and interconnections between many parts of our lives and weaving together our biology, our traditions, and the diverse social and physical environments in which we live. The anthropological approach views humans as part of a wider system of meaning, as actors and change-makers within a dynamic environment populated by others. Across cultures, those others can include other species (plant and animal) and spirits as well as other human beings. It is the human ability to imagine and construct the universe in which we live that most interests anthropologists. In most four-field introductory classes, students are surprised at the breadth of anthropology, but this wide lens is the cornerstone of the discipline. Today, anthropologists increasingly approach the study of humans as a dynamic construct. We see humans as agents in motion, undergoing change as a normal state of being, rather than as objects in a petri dish, preserved and inert. This means that anthropological studies are by necessity messy and in flux, as our subject matter makes change. Because holism, adaptation, and adjustment are critical to anthropological studies, we bring an especially powerful lens to attempts to understand complex, large-scale global problems. Few of our challenges today are simple. Solving the climate crisis requires changes not just to our use of fossil fuels but also to the ways in which we produce food, bathe, heat and cool our houses, and travel. Each culture and each community must be aware of its power and potential to enact positive change. Both a scientific and a humanistic approach are needed to solve our current global challenges. Anthropological Values The anthropological perspective is grounded by principles and standards of behavior considered important to understanding other people and their ways of life. These include the value of all cultures; the value of diversities, biological and cultural; the importance of change over time; and the importance of cultural relativism and acknowledging of the dignity of all human beings. These anthropological values undergird our discipline. The study of culture intersects with each of the four subfields and highlights the importance of diversity. From the beginning, humans have used ingenuity to tackle problems and provide solutions to challenging circumstances. Anthropologists study and value this extraordinary process of human creativity, documenting it in living and past cultures, in our languages and symbol systems, and even in our bones, through cultural procedures such as elongating women’s necks (as is practiced by the Kayan people of Myanmar) or flattening/elongating people’s heads (practiced by the Chinookan peoples of North America). Even our diets, which are cultural artifacts of adaptation, are written on our bones. The consumption of corn, for example, is measurable as carbon isotopes in human bone. Anthropology celebrates this human uniqueness and diversity, understanding that different ways of being are humanity’s greatest legacy—a foundation embodied in the concept of the ethnosphere. Kayan women use neck rings from an early age to make their necks appear longer. The rings actually push down the clavicle and compress the rib cage. This is a sign of beauty among the Kayan. (credit: “IMG_0547” by Brian Jeffery Beggerly/flickr, CC BY 2.0) Anthropological studies produce documentation of immeasurable worth. Through anthropological research, we collect, preserve, and share the stories of living humans as well as human artifacts, sites, and bodies. Together, these documents form a valuable database. Field notes and artifacts from the earliest anthropologists document diversity that has since disappeared. Franz Boas taught his students how to make life masks of the people they were studying to document the physical diversity of different groups of people (A. Singer 1986). This vast collection of some 2,000 life masks is now preserved at the Smithsonian Institution as an archival resource for understanding environment, culture, and biological adaptations. Many masks document ethnic groups that are now extinct. Anthropology collections are of inestimable value for future research. The Council for the Preservation of Anthropological Records , or CoPAR , works with anthropologists, librarians, and archivists to obtain and preserve anthropological records and make them available both for the study of human diversity and as a record of the history of the discipline. The organization has two primary goals. The first is to educate anthropologists on the value and urgency of saving documents. The second is to help train archivists and information specialists in best practices for handling the sometimes very sensitive information within these documents while also facilitating them in making sure that the information is available to scholars anywhere (Silverman and Parezo 1995). Diversity is a product of adaptation and change over time. As cultural groups encountered different challenges in their environments, they used ingenuity and innovation to address these challenges, sometimes borrowing other cultures’ solutions when applicable. In the high Andes of South America, the steep mountainous inclines mean that there is little flat ground for growing food. In response to this challenge, Inca farmers used terrace farming , building steplike terraces into the hillside to create areas of flatter surfaces for growing crops (see ). Forms of terrace farming are found all over Asia and in parts of Africa, with cultures in each area adapting the use of terraces to meet specific climatic conditions and crop requirements (e.g., paddy rice cultivation requires small earthwork borders to allow for flooding). In short, there is no one way to do something; every solution is calibrated to particular needs. Today, with increasing urgency to minimize our carbon footprints, architects are designing homes to meet clients’ demands for net-positive houses —that is, houses that produce more energy than they consume through solar power and lower-energy appliances (Stamp 2020). As we work toward reducing our dependence on fossil fuels, the architectural and construction industries are beginning to adapt to these changing needs and demands. Adaptations: (left) By cutting these steplike terraces into the mountain, Andean farmers created more arable land for farming. (right) In this net-positive house in Australia, the solar panels, increased insulation, and lower-energy appliances all contribute to a “net zero” energy design. (credit: (left) “Peru Terrace Farming” by J. Thompson/Wikimedia Commons, Public Domain; (right) “The Zero-Emission House” by Keirissa Lawson, CSIRO/Wikimedia Commons, CC BY 3.0) Besides culture and diversity, anthropology is also about the human power to change. Through adaption, evolution, and even acclimatization (short-term adaptation to environmental change), the human body has evolved alongside human cultures to make us a species uniquely capable of adapting to almost any environmental or social conditions. Humans can survive even in such inhospitable environments as outer space (thanks to the human-designed technology that makes up the International Space Station) and the polar regions (where human-built structures and protective gear make habitation possible at McMurdo Station in Antarctica). And humans have survived health crises such as the COVID-19 pandemic and historical tragedies such as slavery and warfare. The ability to change, redirect, reassess, reimagine, and innovate has sustained our species across time. Diversity matters more today than ever. Where diversity is valued, there is greater potential for innovation and collaboration. A central value of anthropology, evident in both research and applied work across communities, is anthropologists’ focus not only on understanding other cultures and different ways of living but also on translating them—that is, communicating what is learned across cultures in order to share it more broadly. The most important anthropological value, however, is cultural relativism , or suspending judgment about other cultures until one gains a clear understanding of the meaning and significance of what those cultures do and believe. Cultural relativism requires us to understand the rationale, purpose, and meaning of cultural traditions and knowledge before we decide on their validity. And it provides significant advantages in better understanding others: It allows us to see the worth, dignity, and respect of all persons, allowing for initial exchange and collaboration between “us” and “them.” It reminds us to approach the study of other cultures without automatically judging them as inferior, thus minimizing ethnocentrism. It helps us keep an open mind about the potentials and possibilities inherent in our species. First formally introduced by Franz Boas , cultural relativism laid the groundwork for the discipline of anthropology, a science that would study what it means to be human in all its diverse forms. Boas and his students worked to apply cultural relativism across racial, ethnic, linguistic, and socioeconomic boundaries, documenting the rich cultural traditions of Indigenous peoples, minority communities, and immigrants. The concept, though, has undergone a great deal of debate since the 1948 Universal Declaration of Human Rights by the United Nations. Is anything okay if a culture decides it is? Are there any boundaries to cultural relativism? Do we have to accept everything that a group does, or can an anthropologist ultimately judge that a practice is damaging, harmful, and not deserving of being respected and upheld? While these debates remain, anthropologists still value cultural relativism (and the worthiness of other peoples and cultures), although perhaps in a modified form that anthropologist Michael Brown calls cultural relativism 2.0 . As Brown states, cultural relativism 2.0 is “a call to pause before judging, to listen before speaking, and to widen one’s views before narrowing them” (2008, 380). In other words, first give people a chance . Anthropology is important today, perhaps even more than when it formally began some 150 years ago. As French anthropologist Maurice Godelier says: Anthropology—together with history—is one of the social science disciplines best able to help us understand the complexity of our now globalized world and the nature of the conflicts and crisis we are experiencing. In such a world, it would be irresponsible and indecent for anthropologists [to] stop trying to understand others. (2016, 75–76) values principles and standards of behavior that are considered important.", "section": "Why Anthropology Matters", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "What Anthropologists Can Do Learning Outcomes By the end of this section, you will be able to: Describe the primary areas where the anthropological approach is relevant. Identify the ways that anthropologists are specifically trained for today’s challenges. Explain how anthropological skills can help address contemporary problems. What Anthropologists Do Today Anthropologists are at work now to make a difference in our lives. There are various ways in which anthropologists and those utilizing an anthropological lens or framework contribute critically needed skills and resources in the 21st century. Research . Sometimes referred to as pure or theoretical research, fieldwork is conducted in all kinds of settings in order to answer practical and theoretical questions that form the basis of anthropology. How do cultures change? How do artifacts and technology evolve within a culture? How do trade and exchange affect the development of cultures? Many of the chapters in this text feature stories about anthropological research and its importance in understanding what it means to be human. Each of the subfields engages in distinct types of field research as ways to test theories and advance our knowledge of human beings. Theoretical research is the backbone of academic anthropology. Research and development . Research and development are associated with practical applications, such as creating or redesigning products or services for governments or corporations. Anthropologists who work in research and development contribute what they know about human behavior and the world around us to projects that serve the interests of human organizations and the human community. Cultural anthropologist Genevieve Bell worked for 18 years in research and development for Intel Corporation, the world’s largest semiconductor chip manufacturer. Her focus at Intel was on user experience, researching how people use technology and apply it in their lives with the goal of designing more relevant and user-friendly products. Intel valued the way Bell’s deep knowledge of human behavior and human culture helped the company better anticipate their clients’ needs. Bell’s insights helped make Intel a more competitive corporation. She has described her job as “mak[ing] sense of what makes people tick, what delights and frustrates them, and . . . us[ing] those insights to help shape next generation technology innovations. I sit happily at the intersection of cultural practices and technology adoption” ( City Eye 2017). Anthropologist Genevieve Bell works with tech and engineering industries, applying anthropological concepts to make technology more user-friendly and better adapted to our everyday lives. (credit: “Genevieve Bell” by Kevin Krejci/flickr, CC BY 2.0) In a TED Salon talk titled “ 6 Big Ethical Questions about the Future of AI ,” Bell explains that the technological revolution of artificial intelligence is already in progress, affecting many aspects of our lives. She says that the challenge now is to use artificial intelligence “safely, sustainably, and responsibly.” Bell advocates for human-scale technology. Using skills and knowledge gained through her training as an anthropologist, she looks at the ways in which technology, culture, and environment interact. In her work today, she continues to use an anthropological approach: “It’s about thinking differently, asking different kinds of questions, looking holistically at the world and the systems” (Bell 2020). Bell left Intel in 2017 to serve as a distinguished professor at the Australian National University College of Engineering and Computer Science, where she serves as the director of the School of Cybernetics and continues to research the interface between culture and technology. Public policy . Anthropologists are involved in public policy making all over the world. Anthropological skills and outlooks are increasingly valuable to the development of principles and regulatory measures that increase public safety and resolve real-world problems. Applying a holistic approach to these issues allows government and nongovernment organizations to avoid some problems and better anticipate future challenges. The American Anthropological Association (AAA) has identified five public policy areas that would greatly benefit from an anthropological approach. In each of these areas, the AAA hopes to involve more anthropologists in public policy in the 21st century and to work collectively to message international, national, and local agencies about the importance of anthropological knowledge and involvement: Social and cultural aspects of health : identifying ways in which categories of race, ethnicity, gender, socioeconomic status, and age hinder medical delivery. Culture and diversity in education : understanding the diversities that affect educational delivery and the gaps that exist in current educational policies due to such things as changing demographics and new information technologies. An interdisciplinary approach to the environment : focusing on the ways in which anthropological knowledge contributes to understanding the human dimensions of the environment and interfacing with federal agencies actively seeking to support this type of environmental research. Economic, social, and cultural aspects of the information revolution : examining the human dimensions of the information revolution and the impact that it is having on our work and personal lives. Globalization and its impact on public policy : specifically, focusing on issues of conflict and war and the effects of globalization on transnational communities. One of the challenges that anthropologists face is better educating governments and corporations about the skills they can bring to understanding and addressing contemporary problems. Working collaboratively within and beyond the discipline is important for advancing an awareness of the possibilities that anthropologists offer as public policy advocates. Gillian Tett 1967- British cultural anthropologist Gillian Tett is a journalist and the U.S. managing editor of the Financial Times . (credit: “Gillian Tett FT Autumn Party 2014 Crop” by Financial Times/Wikimedia Commons, CC BY 2.0) Personal History: Gillian Tett is a British author and journalist who trained in anthropology. She studied at Clare College, Cambridge University, where she earned her PhD in social anthropology after conducting doctoral research in Tajikistan, in what was then the Soviet Union. Tett intentionally chose to turn her anthropological gaze outside of the university setting, where she believed her training would have greater impact. Area of Anthropology and Importance of Her Work: Though is trained as a social anthropologist, Gillian Tett works for the Financial Times , a global daily newspaper, as chair of the editorial board and editor at large in addition to her role as a journalist. Her articles on finance, business, and political economy appear in the Financial Times and in various leading newspapers and media outlets. She forecast early warnings about the 2008 economic downturn, applying her anthropological knowledge and skills to understand emerging global economic patterns, and she participates frequently in conferences on finance and global economics. Tett also contributes to new directions in anthropology; at the joint 2019 American Anthropological Association and Canadian Anthropology Society/La société canadienne d’anthropologie Annual Meeting, she served as a discussant in a presidential session on the topic of breaking down silos in anthropology, Accomplishments in the Field: Tett has earned various commendations and awards in and outside of the field of anthropology, including the British Press Award for Business and Finance Journalist of the Year in both 2008 and 2009. She was awarded the President’s Medal of the British Academy in 2011, given in recognition of “academic-related service activity” beyond the academy. Her book Fool’s Gold: How Unrestrained Greed Corrupted a Dream, Shattered Global Markets, and Unleashed a Catastrophe (2009), which takes a cultural anthropological approach to analyzing the global economy and financial system, was a New York Times best seller and was chosen as the 2009 Financial Book of the Year by Spear’s magazine. In 2014, Tett received the Royal Anthropological Institute’s Marsh Award for Anthropology in the World, which “recognises an outstanding individual based outside academia, one who has shown how to apply anthropology or anthropological ideas to the better understanding of the world’s problems” (Royal Anthropological Institute 2021). Her latest book is Anthro-Vision: A New Way to See in Business and Life (2021), published by Simon & Schuster. Applied or practicing anthropology . Anthropologists are engaged in wide-ranging work on the ground in real-life situations, helping address numerous current and emerging needs in communities around the world. Many work within nongovernmental agencies. Some anthropologists are already engaged in efforts pertaining to the COVID-19 pandemic, gathering preliminary data and working to streamline access to treatment and preventative measures. In 2014, the WHO reached out to sociocultural anthropologists to help address an outbreak of the Ebola virus in Mali. They sought the help of these anthropologists as liaisons to connect with the local people and lessen their anxieties about the disease, help those recovering cope with the stigma of having had Ebola, and build a bridge between the community and the health system. They also sought anthropological direction on how best to interact with local people while respecting their culture and traditions. The WHO described some of the roles of the anthropologists who aided in this project: The social anthropologists have also helped train teams searching for Ebola patients and monitoring Ebola contacts, teaching them to make allowances for local culture and the rules of hospitality and politeness when visiting families. These factors are key to getting the message across and being heard by members of the community. (World Health Organization 2015) The global emergency of COVID-19 mobilized a number of anthropologists, especially those in the applied field of medical anthropology. Medical anthropologist Mark Nichter (2020), who has studied emerging diseases and global health for much of his career, was returning from fieldwork in India and Indonesia when COVID-19 cases started being diagnosed in the United States. He traveled from Asian countries, where people were wearing masks and showing a high level of concern for the disease, into Europe and then the United States, where there seemed to be little concern. These different attitudes prompted him to think about other pandemics he had experienced as a medical anthropologist and about how complex these global events can be. Deeply aware of issues of social inequality, he worried about the poor infrastructure conditions in so many countries and the dense populations in refugee camps. What would happen in water-insecure areas where accessing any kind of water, especially clean water for handwashing, was difficult? He wondered just how bad this was going to be as a global event. During lockdown in the United States, Nichter used his training as a medical anthropologist to create positive change within his community. He first developed a COVID-19 primer, explaining health concepts about COVID-19 and methods of slowing and preventing transmission in everyday terms to help professors and teachers educate themselves and their students. The primer quickly began circulating on campuses in the United States and around the world. Nichter also worked with fellow anthropologists in a special working group supported by the American Anthropological Association to identify research areas of critical need. Many of these research areas concerned structural threats and areas where mortality data were revealing disparities, indicating that certain populations were more vulnerable than others. Third, Nichter began advocating and working for COVID-19 testing resources, the development of contact tracing, and symptom monitoring to better contain outbreaks within communities. Lastly, he helped develop a health care worker support network with both online and grassroots resources, knowing that frontline workers would be those most taxed by the pandemic. Nichter advocates for what he calls anticipatory anthropology . In the context of medical anthropology, anticipatory anthropology acts to shore up the fault lines that have emerged in the global health system, working toward creating stronger resistance to the next health care emergency. “COVID-19 provides an opportunity to build alliances and momentum for significant health care reform” (Nichter 2020). Anthropological skills are increasingly vital to developing and communicating culturally relevant messages. While global health initiatives are very prominent within the field of applied and practicing anthropology, the range of interventions is wide. Applied anthropology projects might involve improved farming techniques and heirloom seed banks, better educational services, and even work on the front lines with persons displaced by war, migration, or climate emergencies. Anthropological Skills and Resources Anthropologists are trained to look at the larger context and understand how smaller, local environments fit into overarching forces. They aim to hold a multicultural perspective that represents various constituencies and to interact with people around them with the goal of better understanding where they are coming from and what things mean to them. Anthropologists gather and analyze data that reflects real life on the ground and in the streets . The central anthropological specialty is an unfettered interest in human beings. In 2020, career research and employment website Zippia interviewed a group of teaching and practicing anthropologists about the anthropological skills they believe are most valuable in today’s job market. The two quotes below illustrate the breadth of career preparation that anthropology provides: Organizations are looking for people who can articulate the value of their experiences. Anthropology provides a broad array of skills. Some [are] more general, such as critical thinking and written and oral communication and teamwork. Some skills are more specific, such as survey and excavation for archaeology positions, research design, data analysis skills (qualitative and quantitative), and familiarity with research ethics. — John Ziker Young graduates need to think quickly and with skepticism, read situations from multiple angles, and have openness to variable solutions. This means that they need skills in understanding pluralistic vantage points, judging where information comes from and who it benefits and who it hurts, and being gifted at recognizing and acknowledging their own biases. Anthropology teaches these skills as it prepares graduates for work in a wide array of fields. — Suzanne Morrissey (Stark et al. 2020) Anthropologists and anthropology students, undergraduate and graduate, fit into a wide array of careers and contribute valuable skills and resources to their communities everywhere. As people specialists, anthropologists understand how to approach diverse peoples, elicit information about and from them, and work with that information to understand broader situations. Some of the broadly applicable skills that different anthropologists have include interviewing; excavating; mapping; analyzing data using various types of methodologies, including mixed methods (combining qualitative and quantitative methods); applying ethics in difficult, emerging situations; and engaging with new technologies in the sciences. All of these are 21st-century skills and resources. However, the most advantageous of an anthropologist’s skills is an attitude of respect and dignity toward diverse peoples everywhere. In our global world, this may be the most important asset of all. As anthropologist Tim Ingold says, anthropologists “study ... with people” and “learn from them, not just about them” (2018, 32). How Anthropology Can Lead in the Future Career and employment trends today align with what anthropologists do, whether or not one is a full-time practicing anthropologist. Students heading into any fields that address the human condition, past or present, will benefit from studies in anthropology. Within colleges and universities across the world, there is a reemergence of transdisciplinary approaches that utilize methods and perspectives from multiple disciplines to study and propose solutions to complex problems. This educational model, sometimes called the matrix model (National Academy of Sciences, National Academy of Engineers, and Institute of Medicine 2005), has resulted in the development of new interdisciplinary degree programs such as the biomedical informatics program at Stanford University; the Indigenous food, energy, and water systems program at the University of Arizona; and the science, medicine, and technology in culture program at Union College. Training in anthropological holism is the ideal foundation for working in teams with multiple interests and a shared focus on the larger context. Specifically, the four-field approach in anthropology prepares researchers to apply a keen perception of the ways in which biology and culture interact and influence each other. With the increasing prominence of social media and grassroots communication across cultures, it is important that emerging leaders have the ability to interview people, elicit relevant information from them, and analyze what they think, do, and desire. Anthropologists are trained to interact with others, seek connections and patterns in what they observe, and analyze the symbolic significance of what they find. Anthropologists are also trained to work in the field, wherever and whatever the field may be , taking their offices and research labs into the communities in which they work and live. Accustomed to being flexible and adaptable to the needs of the situation and letting the field dictate how best to accomplish their work, anthropologists have the skills, technology, and experience to work well in a global community. In the 20th century, academia sought to become ever more specialized, constructing departments, specialties, and subspecialties to home in on very particular subjects such as a disease, a genre of literature, or a type of religion. This approach was an advance over the more generalist approach that was common in the 19th century, in which academics were trained in very broad fields such as medicine, ancient history, or culture. Now, in the 21st century, the shift is toward a more complex and multifaceted understanding of how we live and the challenges we face. Many anthropology programs today provide vocational skills and workplace training. There is a growing awareness that we need to develop the ability to think both generally and systematically (such as in an ecosystemic approach) while also seeking to understand the particularities of specific challenges. Anthropology, with its holistic approach, mixed methodology analyses, and deep, abiding appreciation of diversity and the dignity of all people, is situated at the crossroads of what comes next. This is how anthropology can guide us as we move into the future. As Geertz said, “We have turned out to be rather good at waddling in” (1985, 624). Anthropological skills are based on flexibility and adaptation to a changing world, open-mindedness and openness to new ideas, and a willingness to engage with complex issues in order to find solutions to problems facing our world today. The anthropological skillset is critical in the 21st century. You can read more about the important work of anthropologists today in the Profile features in each chapter. Through research and work such as the examples featured there, anthropologists are changing the world. Summary As a discipline, anthropology includes academic and applied aspects that focus on, respectively, developing new theories and solving practical problems. Today, we face a growing number of global problems, most of them linked to one another and to long-standing historical inequities and injustice. Many of the problems we experience in our local lives derive from these major issues, and every one of them intersects with and affects cultural traditions and contemporary social behaviors. In 2021, the United Nations identified 22 critical global issues that transcend national boundaries and affect people everywhere, with those who suffer various forms of injustice typically experiencing greater effects from these challenges than those living in more stable communities. Three of the challenges are major actions areas for philanthropic organizations such as the Bill and Melinda Gates Foundation: climate change, gender inequality and gender-based violence, and global health. Intersecting with these global issues are the devastating losses we face in terms of biological, cultural, and linguistic diversity. The term ethnosphere , first coined by Canadian cultural anthropologist Wade Davis, refers to the sum total of all human knowledge across time—the human cultural legacy. The diverse ways in which we humans have solved or managed the challenges of our lives are a rich storehouse for our future. Too often, contemporary people feel we have little to learn from those who are different from us or who came before us, but the solutions to our current problems are founded upon this legacy. As globalization proceeds, conjoining our lives in myriad ways, it is important to remember that diversity is a storehouse of critical knowledge from the generations before us and the cultures around us, many of which are fighting today to survive. By preserving and valuing the ethnosphere’s diversity, we preserve ourselves, our children’s futures, and the hopes we have for our planet. The anthropological approach views humans as part of a wider system of meaning, as actors and change-makers within a dynamic environment populated by others. Across cultures, those others can include other species, plant and animal, and spirits as well as other human beings. It is the human ability to imagine and construct the universe in which we live that most interests anthropologists. The anthropological perspective is grounded by principles and standards of behavior considered important to understanding other people and their ways of life. These include the value of all cultures; the value of diversities, biological and cultural; the importance of change over time; the importance of cultural relativism; and an acknowledgment of the dignity of all human beings. These anthropological values undergird our discipline. Anthropological studies produce documentation of immeasurable worth. Through anthropological research, we collect, preserve, and share the stories of living humans as well as human artifacts, sites, and bodies. Today, anthropologists and those using an anthropological lens contribute to the 21st century in various ways, including through research, research and development, public policy, and applied or practicing anthropology. Career and employment trends today align with what anthropologists do, whether or not one is a full-time practicing anthropologist. Students heading into any field that addresses the human condition, past or present, will benefit from studies in anthropology. Critical Thinking Questions Global Challenges Choose three global challenges, and research more about them. Consider how these three global challenges are linked to one another and to long-standing historical inequities. Collect information on the current state of each problem in the United States and worldwide, what measures are being taken to mitigate the problem, and whether there are any local initiatives in your own community. Consider both campus and community organizations. Using what you have learned about anthropology, propose three anthropological skills that you could employ to help address each of these challenges. Bibliography Bass, Dina, and Bloomberg. 2020. “Bill and Melinda Gates Add Climate Change and Gender Equality to Their Foundation’s Focus.” Fortune , February 10, 2020. https://fortune.com/2020/02/10/bill-melinda-gates-foundation-climate-change-gender-equality-focus/. Bell, Genevieve. 2020. “6 Big Ethical Questions about the Future of AI.” Filmed October 2020. TED video, 14:39. https://www.ted.com/talks/genevieve_bell_6_big_ethical_questions_about_the_future_of_ai. Boss, Shira J. 2001. “Anthropologists on the Job.” Christian Science Monitor , January 2, 2001. https://www.csmonitor.com/2001/0102/p9s1.html. Brown, Michael F. 2008. “Cultural Relativism 2.0.” Current Anthropology 49 (3): 363–383. City Eye . 2017. “Genevieve Bell: A Cultural Anthropologist Studying Technological Innovations.” WeAreTheCity. September 22, 2017. https://wearethecity.com/genevieve-bell-anthropologist-technology/. Davis, Wade. 2001. Light at the Edge of the World: A Journey through the Realm of Vanishing Cultures . Vancouver, BC: Douglas & McIntyre. Davis, Wade. 2003. “An Interview with Anthropologist Wade Davis.” By Alex Chadwick. NPR. May 27, 2003. https://legacy.npr.org/programs/re/archivesdate/2003/may/mali/davisinterview.html. Errick, Jennifer. 2015. “9 Wildlife Success Stories.” Park Advocate , National Parks Conservation Association. November 2, 2015. https://www.npca.org/articles/880-9-wildlife-success-stories. Geertz, Clifford. 1985. “Waddling In.” Times Literary Supplement , June 7, 1985, 623–624. Godelier, Maurice. 2016. “In Today’s World, Anthropology Is More Important Than Ever.” AIBR: Revista de Antropologia Iberoamericana 11 (1): 59–76. https://doi.org/10.11156/aibr.110104e. Harrell-Bond, B. E., and E. Voutira. 1992. “Anthropology and the Study of Refugees.” Anthropology Today 8 (4): 6–10. Henig, David. 2020. “Anthropology Has a Village Problem.” Etnofoor 32 (1): 139–144. Ingold, Tim. 2018. “Why Anthropology Matters.” British Academy Review , no. 32, 30–32. https://www.thebritishacademy.ac.uk/publishing/review/32/why-anthropology-matters/. National Academy of Sciences, National Academy of Engineers, and Institute of Medicine. 2005. Facilitating Interdisciplinary Research . Washington, DC: The National Academies Press. https://www.nap.edu/catalog/11153/facilitating-interdisciplinary-research. Nichter, Mark. 2020. “Engaging the Pandemic.” Anthropology News , June 19, 2020. https://anthropology-news.org/articles/engaging-the-pandemic/. Redding, Terry, and Elizabeth K. Briody. 2020. “Breaking Down Silos in Anthropology.” Anthropology News , September 16, 2020. https://www.anthropology-news.org/articles/breaking-down-silos-in-anthropology/. Sandom, Christopher, Søren Faurby, Brody Sandel, and Jens-Christian Svenning. 2014. “Global Late Quaternary Megafauna Extinctions Linked to Humans, Not Climate Change.” Proceedings of the Royal Society B 281 (1787). https://doi.org/10.1098/rspb.2013.3254. Silverman, Sydel and Nancy J. Parezo. 1995. Preserving the Anthropological Record. 2nd ed. Wenner-Gren Foundation for Anthropological Research, Inc. Singer, Andre, dir. 1986. The Shackles of Tradition: Franz Boas (1858–1942) . Video. London: Royal Anthropological Institute. Singer, Natasha. 2014. “Intel’s Sharp-Eyed Social Scientist.” New York Times , February 15, 2014. https://www.nytimes.com/2014/02/16/technology/intels-sharp-eyed-social-scientist.html. Stamp, Elizabeth. 2020. “How the Architecture Industry Is Reacting to Climate Change.” Architectural Digest , March 2, 2020. https://www.architecturaldigest.com/story/climate-change-design-architecture. Sillitoe, Paul. 2007. “Anthropologists Only Need Apply: Challenges of Applied Anthropology.” Journal of the Royal Anthropological Institute 13 (1): 147–165. Stark, Miriam, Brian Bates, John Ziker, Suzanne Morrissey, Amber VanDerwarker, Jeremy Spoon, Douglas Wilson, et al. 2020. “Experts Weigh In on Current Job Market Trends.” Zippia. December 13, 2020. https://www.zippia.com/anthropologist-jobs/trends/. United Nations. 2021. “Global Issues.” https://www.un.org/en/global-issues/. World Health Organization. 2015. “Anthropologists Work with Ebola-Affected Communities in Mali.” January 2015. https://web.archive.org/web/20210121202145/https://www.who.int/features/2015/anthropologists-ebola-mali/en/.", "section": "What Anthropologists Can Do", "book": "Introduction to Anthropology", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-anthropology"}
{"text": "Preface About OpenStax OpenStax is part of Rice University, which is a 501(c)(3) nonprofit charitable corporation. Our mission is to make an amazing education accessible for all. Through our partnerships with philanthropic organizations and our alliance with other educational resource companies, we’re breaking down the most common barriers to learning. Because we believe that everyone should and can have access to knowledge. About OpenStax Resources Customization Introduction to Political Science is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 (CC BY-NC-SA) license, which means that you can non-commercially distribute, remix, and build upon the content, as long as you provide attribution to OpenStax and its content contributors, and distribute all derivatives under the same license. Because our books are openly licensed, you are free to use the entire book or select only the sections that are most relevant to the needs of your course. Feel free to remix the content by assigning your students certain chapters and sections in your syllabus, in the order that you prefer. You can even provide a direct link in your syllabus to the sections in the web view of your book. Instructors also have the option of creating a customized version of their OpenStax book. The custom version can be made available to students in low-cost print or digital form through their campus bookstore. Visit the Instructor Resources section of your book page on OpenStax.org for more information. Art Attribution In Introduction to Political Science , art contains attribution to its title, creator or rights holder, host platform, and license within the caption. For any art that is openly licensed, non-commercial users or organizations may reuse the art as long as they provide the same attribution to its original source. (Commercial entities should contact OpenStax to discuss reuse rights and permissions.) To maximize readability and content flow, some art does not include attribution in the text. If you reuse art from this text that does not have attribution provided, use the following attribution: Copyright Rice University, OpenStax, under CC BY-NC-SA 4.0 license. Errata All OpenStax textbooks undergo a rigorous review process. However, like any professional-grade textbook, errors sometimes occur. In addition, the wide range of topics, data, and legal circumstances in political science change frequently, and portions of the textbook may become out of date. Since our books are web-based, we can make updates periodically when deemed pedagogically necessary. If you have a correction to suggest, submit it through the link on your book page on OpenStax.org. Subject matter experts review all errata suggestions. OpenStax is committed to remaining transparent about all updates, so you will also find a list of past errata changes on your book page on OpenStax.org. Format You can access this textbook for free in web view or PDF through OpenStax.org, and for a low cost in print. About Introduction to Political Science Introduction to Political Science introduces the broad scope of the political science discipline in a holistic manner via logically connected conceptual building blocks. Rather than discussing theory, comparative politics, and international relations in a purely siloed manner, Introduction to Political Science incorporates major themes from the various subfields of the discipline in a more inclusive fashion. The text focuses on actors, beginning with an examination of individual political actors and then moving on to discuss the actions and interactions of political groups, institutions, and states and international relations. Introduction to Political Science focuses on how and why political realities unfold, from the beliefs and behaviors of individuals to the policies and practices of states. Introduction to Political Science is designed so that students will see themselves as a part of the world of politics and political science, emphasizing the role that politics and government play in students’ lives and how students can further contribute to civil society. Rather than focusing exclusively on the United States, text chapters discuss politics and government within the United States as a part of a discussion of larger concepts that apply around the world. The text uses a diverse range of international examples to illustrate these concepts. It seeks to include a variety of perspectives and scholarship, including both widely accepted foundational ideas and prominent views from underrepresented, oppressed, and dissenting voices. The Changing Political Landscape features discuss topics such as the growing numbers of women in legislatures and on high courts around the world, changing family structures, and United Nations efforts to involve young people in the fight against racism. In addition to providing thorough explorations of traditional Western perspectives, Introduction to Political Science introduces students to feminism, indigenism, conservative populism, fusionism, and critical race and gender theory. Diversity concerns are inherent in much of the discussion, as the ways in which majorities and minorities interact are central to political decision-making and public policy. Because not all students who take an introduction to political science course will go on to major in political science, Introduction to Political Science makes connections to broad concepts that transcend course boundaries and emphasizes how the skills students build when learning about political science apply in other fields, in the workforce, and throughout life. Pedagogical Foundation Learning Outcomes Every module begins with a set of clear and concise learning outcomes that can guide instructors and students and that they can use to measure understanding. After completing the module, students should be able to demonstrate mastery of the learning outcomes. Key Features The Changing Political Landscape highlights and illustrates how changing demographics affect politics and political science. Where Can I Engage? provides specific ideas and connections to organizations involved in civic engagement. What Can I Do? outlines political science skills and “soft skills” connected to chapter material that are in demand in today’s job market, both within and outside the field of government and politics. Show Me the Data presents and dissects data visualizations to help students develop their data interpretation skills as well as their substantive knowledge of politics. Connecting Courses links chapter content and concepts to other courses in the general curriculum as well as to common electives. Meet a Professional introduces students to a diverse variety of professionals working in fields related to politics and political science. Section Summaries End-of-chapter summaries, broken down by chapter sections, distill the information in each chapter. Key Terms Key terms appear in bold and are followed by a definition in context. Key terms are also listed, with definitions, at the end of the chapter. Review Questions Multiple-choice review questions at the end of each chapter provide opportunities for students to apply and test the information they learn. Suggested Reading These curated suggestions offer students classic and contemporary resources for further learning. About the Authors The authors wish to express their deep gratitude to Terri Wise for her skillful editing and gracious shepherding of this manuscript. Senior Contributing Authors Mark Carl Rom, Georgetown University Dr. Mark Carl Rom is an associate professor of government and public policy at the McCourt School of Public Policy and the Department of Government. His recent research has focused on assessing student participation, improving grading accuracy, reducing grading bias, and improving data visualizations. Previously, Rom has explored critiques and conversations within the realm of political science through symposia on academic conferences, ideology in the classroom, and ideology within the discipline. He continues to fuel his commitment to educational equity by serving on the AP Higher Education Advisory Committee, the executive board of the Political Science Education section (ASPA), and the editorial board of the Journal of Political Science Education . Prior to joining McCourt, Rom served as a legislative assistant to the Honorable John Paul Hammerschmidt of the US House of Representatives, a research fellow at the Brookings Institution, a senior evaluator at the US General Accounting Office, and a Robert Wood Johnson Scholar in Health Policy Research at the University of California, Berkeley. His dissertation, “The Thrift Tragedy: Are Politicians and Bureaucrats to Blame?,” was the cowinner of the 1993 Harold Lasswell Award from the American Political Science Association for best dissertation in the public policy field. Rom received his BA from the University of Arkansas and his MA and PhD in political science from the University of Wisconsin-Madison in 1992. Masaki Hidaka, American University Masaki Hidaka has a master of public policy from the Kennedy School of Government at Harvard University, where she wrote her thesis on media coverage of gaming ventures on Native American tribal lands. She completed her PhD at the Annenberg School for Communication at the University of Pennsylvania, where her dissertation examined the relationship between issue publics and the Internet. She is currently a professorial lecturer at the School of Public Affairs at the American University in Washington, DC, but has taught in numerous institutions, including the National University of Singapore, University College London, and Syracuse University in London. She also worked as a press aide for former San Francisco mayor Willie L. Brown Jr. (and she definitely left her heart in San Francisco). Rachel Bzostek Walker, Collin College A native of Fort Worth, Rachel Bzostek Walker is the associate dean of academic affairs at Collin College Technical Campus in Allen, Texas. She earned her PhD in political science from Louisiana State University and has a master’s in Israeli politics from the Hebrew University of Jerusalem. Her dissertation focused on the preemptive or preventive use of force, and she continues to research in this area as well as exploring the use of active learning in the classroom. She taught full-time for over 15 years at colleges and universities in Missouri, California, and Texas, teaching a wide variety of classes on subjects including international relations, American foreign policy, and Middle Eastern politics, as well as introductory classes in American and Texas government. Contributing Authors Emilia B. Carvalho, Lone Star College (Chapter 16) Rebecca Eissler, San Francisco State University (Chapter 9) Terri Susan Fine, University of Central Florida (Chapter 7) Cassandra Khatri, Lone Star College (Chapter 14) Timothy Lim, California State University, Los Angeles (General Contributor) Brenda Norton, Angelo State University (Chapter 11) Robert Postic, University of Findlay (Chapter 10) Joseph Prud’homme, Washington College (Chapters 3 and 13) Shyam Krishnan Sriram, Gonzaga University (Chapter 7) Victoria Williams, Alvernia University (Chapter 15) Reviewers Danny M. Adkinson, Oklahoma State University Maneesh Arora, Wellesley College Brittany Arsiniega, Furman University R. R. Asaadi, Portland State University Brian Blanchard, Collin College Shawna M. Brandle, City University of New York Mark D. Brewer, University of Maine Sharon Deubreau, Rhodes State College Brian Dille, Mesa Community College Kyle Estes, Occidental College Terri Susan Fine, University of Central Florida Leah Graham, University of North Alabama Margaret Hanson, Arizona State University Bill Joseph, Wellesley College Jared Larson, Texas A&M University-San Antonio Daniella Mascarenhas, Xavier University of Louisiana Jeffrey Moyer, visiting lecturer, Northeastern University Carolyn Myers, Southwestern Illinois College Todd R. Patterson, Northampton Community College Robert Postic, University of Findlay Jessica Roisen, St. Ambrose University Jacob Shively, University of West Florida Shyam Krishnan Sriram, Gonzaga University Joseph Stewart, Clemson University Harvey Strum, Russell Sage College Rosalinda Valenzuela, Collin College Francesca Vassallo, University of Southern Maine Answers to Questions in the Book The end-of-chapter Review Questions are intended for homework assignments or classroom discussion; thus, student-facing answers are not provided. The Instructor Manual includes answers to the Review Questions, questions within activities and for classroom discussion, which instructors may use with students at their discretion. The answers to these questions are typically open-ended and depend upon how the activities are used; for these questions, standard responses are not available. Additional Resources Student and Instructor Resources We’ve compiled additional resources for both students and instructors, including Getting Started Guides, an instructor’s manual, a test bank, and image slides. Instructor resources require a verified instructor account, which you can apply for when you log in or create your account on OpenStax.org. Take advantage of these resources to supplement your OpenStax book. Comprehensive instructor’s manual. Each component of the instructor’s manual is designed to provide maximum guidance for delivering the content in an interesting and dynamic manner. For each chapter, the instructor’s manual includes a chapter overview ideas for classroom activities with criteria for student success links to data resources and informational video clips discussion/recap questions Authored by Jeffrey Moyer, visiting lecturer, Northeastern University. Test bank. The 400 multiple choice and true/false questions in our test bank are correlated to the six levels of Bloom’s Taxonomy, allowing instructors to customize tests to support a variety of course objectives. The test bank is available in Word format. Authored by Shyam Krishnan Sriram, Gonzaga University. PowerPoint lecture slides. Using images, key terms, and examples, the PowerPoint slides outline the main points of each chapter, providing a starting place for instructors to build their lectures. Authored by Jeffrey Moyer, visiting lecturer, Northeastern University. Community Hubs OpenStax partners with the Institute for the Study of Knowledge Management in Education (ISKME) to offer Community Hubs on OER Commons-a platform for instructors to share community-created resources that support OpenStax books, free of charge. Through our Community Hubs, instructors can upload their own materials or download resources to use in their own courses, including additional ancillaries, teaching material, multimedia, and relevant course content. We encourage instructors to join the hubs for the subjects most relevant to your teaching and research as an opportunity both to enrich your courses and to engage with other faculty. To reach the Community Hubs, visit www.oercommons.org/hubs/openstax. Technology Partners As allies in making high-quality learning materials accessible, our technology partners offer optional low-cost tools that are integrated with OpenStax books. To access the technology options for your text, visit your book page on OpenStax.org.", "section": "Preface", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction Students attend a pro-EU rally in Kiev. (credit: “Students are shouting out for the EU” by Ivan Bandura/Flickr, CC BY 2.0) If you own a smartphone, you are involved with politics and it’s involved with you. Wherever you live, the political decisions your government makes are likely to affect what is on your phone and how you can use it. China has banned apps like Facebook and Google. Before the 2021 Ugandan election, the government simply shut down the internet entirely. “Uganda Blocks Social Media Ahead of Tense Election,” Africanews , January 12, 2021, https://www.africanews.com/2021/01/12/uganda-blocks-social-media-ahead-of-tense-election//. In India, the government distributes benefits directly to citizens through their phones. Alan Elb, Anit Mukherjee, and Brian Webster, Delivering Social Assistance during COVID with a “Digital-First” Approach: Lessons from India (London: Center for Global Development, July 22, 2021), https://www.cgdev.org/blog/delivering-social-assistance-during-covid-digital-first-approach-lessons-india. In the United States, government regulations—one type of rules that are created through political action—touch virtually every aspect of your phone’s production, sale, and communications. “Protecting Your Privacy: Phone and Cable Records,” Consumer Guides, Federal Communications Commission, https://www.fcc.gov/consumers/guides/protecting-your-privacy; “Cell Phones,” US Food & Drug Administration, content current as of May 13, 2021, https://www.fda.gov/radiation-emitting-products/home-business-and-entertainment-products/cell-phones. You can engage in politics through your phone, and politics can influence how your phone is designed and operated. (credit: “Mobile Phone” by Marco Verch Professional Photographer/Flickr, CC BY 2.0) Your phone also enables you to engage in political action. You can use your phone to talk about politics or to call your local representative to express your views. You can organize a campaign through WhatsApp, share videos of police brutality or of peaceful protest, or Venmo contributions to your favorite political cause. Katie Moritz, “You Can Influence Lawmakers with Your Smartphone,” Rewire , August 15, 2017, https://www.rewire.org/influence-lawmakers-smartphone. You can use your phone to learn about politics, political engagement, and what politicians are doing at home and around the world. The political decisions of local and national governments and international organizations can affect the water you drink, the food you eat, the clothes you wear, and the dwelling you call home. Politics and policy can play a role in the most intimate details of your life, including your reproductive rights, marriage rights, and even how your body will be treated after you die. Politics is everywhere. Whether or not you care about politics, politics has an interest in you. When you develop a competent understanding of politics and political science, you are a better-prepared citizen, political actor, and job seeker. With a more sophisticated understanding of politics and political science, you can better understand questions of who gets what, when, how, and perhaps most important, why. The quality of our politics depends to a large degree on the quality of citizen engagement. Want a better government, with politicians who possess greater integrity and policies that more closely reflect the public interest? These things will not happen automatically or on their own. They will happen if informed citizens work together to make them happen. When you think like a political scientist, you seek evidence and carefully scrutinize that evidence—in politics as well as in other areas of your life. Doing so helps to inoculate you from misinformation and manipulation. When you are asked “Why did [this political event] happen?” or “What do you think will happen?” you are able to respond “The evidence suggests . . .” or “Research indicates . . .” or even “I do not know. But in similar circumstances. . . .” Scientific thinking enables you to navigate the complex political world. This chapter will introduce you to the world of politics and the systematic study of political science. You will learn some of the fundamental principles of politics as well as core concepts.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Defining Politics: Who Gets What, When, Where, How, and Why? Learning Outcomes By the end of this section, you will be able to: Define and describe politics from various perspectives. Identify what makes a behavior political. Identify and discuss the three core elements of any political event: rules, reality, and choices. Define and discuss varieties of constitutions. Politics has existed as long as humans have faced scarcity, have had different beliefs and preferences, and have had to resolve these differences while allocating scarce resources. It will continue to exist so long as these human conditions persist—that is, forever. Politics are fundamental to the human condition. Politics means different things to different people. Politics , and related terms like political and politician , can have both positive and negative connotations. The Greek philosopher Aristotle argued that humans were “political animals” in that only by engaging in politics could humans reach their highest potential. Fred Miller, “Aristotle's Political Theory,” in The Stanford Encyclopedia of Philosophy (Winter 2017), ed. Edward N. Zalta, https://plato.stanford.edu/entries/aristotle-politics/. Yet often, the terms political and politician can be used in disparaging ways to refer to individuals using trickery or manipulation to obtain or preserve their status or authority. More formally, a politician is someone running for elective office or serving in it or as a person who is using the skills of a politician in other social interaction. A political actor is anyone who is engaged in political activity. Politics involves all the actions of government and all the people who work for, serve, or challenge it. This book takes the broadest view, adopting the guidance of political scientist Harold Lasswell , who defined politics as “who gets what, when, how.” Harold Dwight Lasswell, Politics: Who Gets What, When, How (New York: P. Smith, 1950). Politics exists wherever people interact with one another to make decisions that affect them collectively. Politics exists within families. When parents decide where the family will live: politics. The family (who) gets a place to live (what) at the point of decision (when) based on the parents’ choice (how). When your school decides what tuition to charge: politics. When the government imposes taxes or funds education: politics. Most generally, politics is any interaction among individuals, groups, or institutions that seek to arrive at a decision about how to make a collective choice, or to solve some collective problem. Political science focuses primarily on these interactions as they involve governments. The sociology discipline, in contrast, concentrates on the study of social behavior and institutions outside of the government. Every political event is different. The mass protests in Hong Kong in 2020, inspired by those seeking to protect their political rights, were not exactly the same as the Black Lives Matter protests in the United States or the climate change actions animated by Swedish environmental activist Greta Thunberg . Yet as varied as political situations can be, there are commonalities across these events and over all political activities. Whenever you seek to understand a political event—whether an election in Tanzania, a protest in Estonia, or a public health program in Indonesia—it is useful to focus on the following: What are the most important rules ? What is the reality of the existing event or environment? What choices do the participants make? Political outcomes—for example, which candidate wins an election—are based on the interaction of these rules, realities, and choices. Rules The importance of rules in politics or in life cannot be overstated. In virtually every human endeavor, the most successful individuals are likely to have a keen knowledge of the rules and how to use (or break) the rules to the advantage of their cause. Ignorance of the rules makes accomplishing your goals more difficult. Rules can be highly precise or open to interpretation. In chess, for example, the rules are completely known to all players: each piece can move in certain directions but in no other ones. Each player takes a turn; that’s the rule. Although chess is highly complex, each player’s options at any given time are known. Chess champions—in fact, all champions—know how to use the rules to their advantage. College campuses have their own sets of formal and informal rules, and not all of them are as precise as those in chess. The de jure rules are the rules as they are written, the formal rules. The de facto rules are the ones actually practiced or enforced, the informal rules. For example: a sign might state that the ( de jure ) speed limit is 55 miles per hour, but if police do not give tickets to drivers unless they are driving 65 miles per hour, then that is the de facto rule. To thrive at college, it is useful to understand not only the formal rules but also the informal rules, which have been called “the hidden curriculum.” Rachel Gable, The Hidden Curriculum: First Generation Students at Legacy Universities (Princeton, New Jersey: Princeton University Press, 2021). The de jure speed limit is on the sign, but the de facto speed limit is the speed at which the police are likely to pull you over. (credit: “Signage 55 speed limit” by David Lofink/Flickr, CC BY 2.0) The rules in any political environment affect who has power and how they can use it. Consider the rules that determine who can vote and how. These rules can be permissive or strict, making voting either easier or harder to do. The harder it is to vote, the fewer people will actually cast their ballots and vice versa. Voting rules influence who shows up to vote. Politicians who believe they have a better chance of success under permissive voting rules are likely to advocate for such rules, while politicians who believe they are more likely to prevail under restrictive voting rules will advocate for them instead. Rules might appear to be neutral—that is, they may seem fair and not designed to favor one group over another—but this is not entirely true. Until recently, to become a pilot in the US Air Force, a person had to be no shorter than 5 feet 4 inches and no taller than 6 feet 5 inches: the short and the tall were excluded from this opportunity. The rule might be in place for a good reason—in this case, to ensure that pilots can fit properly into their seats—but rules like these allocate opportunities and resources to some while withholding them from others. Because this rule excluded over 40 percent of American women from becoming pilots, it has been modified. “Air Force Pilot Height Qualifications and Waivers,” US Air Force, Air Education and Training Command, November 5, 2019, https://www.aetc.af.mil/News/Article/2009251/air-force-pilot-height-qualifications-and-waivers/. Rules are everywhere in politics. Your family has rules—even if the main rule is “no rules”—as does your school. Rules, such as Robert’s Rules of Order , Henry Martyn Robert and Will Eisner, Robert's Rules of Order (Toronto: Bantam Books, 1986). govern legislatures, and the criminal justice system, the tax system, and the national immigration systems are all based, at least in principle, on rules. Rules and institutions are closely related. The institution of marriage or the institution of the family, for example, are the sets of rules (rights, roles, and responsibilities) by which those within the marriage or family live. Alternatively, institutions can be organizations, which are groups of people working together for a common purpose whose actions are governed by rules. Perhaps the most important set of rules for any institution or organization is its constitution . The constitution affirms the most basic legal principles of a country or a state. These principles typically include the structure of the government, its duties, and the rights of the people. Constitutions can be quite general or extremely detailed. The Constitution of Monaco has fewer than 4,000 words, while the Constitution of India has nearly 150,000 words. Sophy Owuor, “Which Country Has the Shortest Written Constitution in the World?” World Atlas, December 21, 2018, https://www.worldatlas.com/articles/which-country-has-the-shortest-written-constitution-in-the-world.html. Unlike the United States, some countries, including Canada, New Zealand, and the United Kingdom, do not have a single document they call the constitution but instead rely on other written and even unwritten sources. In most countries the constitution is called just that—the constitution—although Germany, Oman, Saudi Arabia, and a few other countries call their constitutions the basic law. Constitute, “Constitute: The World's Constitutions to Read, Search, and Compare,” accessed October 22, 2021, https://www.constituteproject.org?lang=en. What Is a Constitution? Constitutions define the relationship between people and their government. They give powers to and place limits upon the government and serve as the basis for any other laws or government activities. Constitutions are perhaps the most important set of rules in a country because, after all, they are just pieces of paper. The true importance of a country’s constitution depends on the politics of that country. In the United States, the Constitution is venerated almost as if it were a religious document. Most of the biggest conflicts throughout US history have involved disputes over what the Constitution requires, allows, or prohibits. When the US Supreme Court rules that a political action is unconstitutional, the violator—whether it be the president, the Congress, or any other group or individual in society—is expected to comply with the ruling and stop the action. For the US President, see, for example, David H. Gans, The President's Duty to Obey Court Judgments (Washington, DC: Constitutional Accountability Center, June 2018), https://www.theusconstitution.org/wp-content/uploads/2018/06/Trump-Obey-Court-Judgments-Issue-Brief.pdf. But this is not always the case everywhere. Politicians in any country may be tempted to ignore their constitutions, especially when it comes to the rights they ostensibly guarantee, and whether those politicians prevail depends on whether other political actors are willing and able to uphold the constitution. Because rules affect the allocation of power and other scarce resources, political actors spend substantial time and effort fighting over them. In general, political actors seek to establish rules that benefit them and their allies. Rules are powerful, and those who set them have power. (credit: “Follow the Rules” by pocketcultures/Flickr, CC BY 2.0) Reality Rules guide and constrain behavior, but the reality on the ground at any specific time also impacts political outcomes. Reality —facts—is not a matter of opinion, although people can dispute the nature of reality. Something is a fact , for example, when there is compelling evidence that an event has happened or a condition exists. The sun rises in the East: reality. The United Nations is an international organization: fact (reality). “About Us,” United Nations, accessed September 8, 2021, https://www.un.org/en/about-us/. Has the United Nations made the world a better place? That is a matter of opinion, although those who say “yes” or “no” can provide facts that support their views about reality. “Twelve Times the UN Has Failed the World,” TRT World , November 28, 2018, https://www.trtworld.com/americas/twelve-times-the-un-has-failed-the-world-21666; Kathy Calvin, “10 Ways the UN Made the World a Better Place in 2017,” United Nations Foundation blog, December 20, 2017, https://unfoundation.org/blog/post/10-ways-un-made-world-better-place-2017/. How candidates can raise and spend money on their electoral campaigns may be limited by campaign finance laws, but if one candidate raises twice as much money as the other candidate, that is an important fact. If one candidate is the incumbent —a politician already serving in office and running for reelection—and the other is not, that is an important fact. These are important facts because whether or not a candidate is an incumbent and how much campaign money they raise may affect their chances of winning the election. In US elections, for example, incumbents generally have a better chance of being elected (although the strength of this relationship has varied over time), while the impact of fundraising on electoral success is open to question. See, for example, Jamie L. Carson, Joel Sievert, and Ryan D. Williamson, “Nationalization and the Incumbency Advantage,” Political Research Quarterly 73, no. 1 (March 1, 2020): 156–168, https://doi.org/10.1177/1065912919883696; James N. Druckman, Martin J. Kifer, and Michael Parkin, “Campaign Rhetoric and the Incumbency Advantage,” American Politics Research 48, no. 1 (January 30, 2019): 22–43; Maggie Koerth, “How Money Affects Elections,” FiveThirtyEight , September 10, 2018, https://fivethirtyeight.com/features/money-and-elections-a-complicated-love-story/. In chess, the rules are constant, never changing during the game. The reality changes as play proceeds—at any moment each player has a specific number of pieces in particular places on the board. What happens then depends on the choices the players make. This is as true for politics as for any other game. A key difference between chess and politics is that, in politics, the players themselves can change the rules of the game while they are playing. Politics has many of the characteristics of a game. (credit: “Risk Board Game” by Rob Bertholf/Flickr, CC BY 2.0) Politics can be thought of as having the characteristics of a game. The players—anyone involved in political action—make strategic choices, given the rules and the current conditions, in an attempt to “win” the game by obtaining their goals. Choices Rules provide constraints and opportunities. Reality presents resources and challenges. The choices participants make in the face of rules and reality determine political outcomes. Choice exists whenever political actors face options, which they always do. If there are two candidates in an election for a single position, the voter has to choose between them, not being able to vote for both. Even if there is only one candidate, the voter still has an option: to vote for the candidate or to abstain. In a democracy , the winning candidate wins because more voters chose to vote, and vote for that candidate, than for other options. The very definition of democracy is that it is a form of government in which the people have the ability to choose their leaders or, in some cases, the policies that they will adopt. Tom Christiano and Sameer Bajaj, “Democracy,” in The Stanford Encyclopedia of Philosophy (Fall 2021), ed. Edward N. Zalta, https://plato.stanford.edu/archives/fall2021/entries/democracy/. Political outcomes are always contingent; they cannot be predicted with certainty in advance. That does not mean, however, that outcomes are completely unpredictable. By accounting for the rules, how human behavior works, and existing realities, it is possible to reasonably predict what is likely to happen and explain what does happen. Politics involves the activities of individuals who are cooperating or competing with others to resolve disagreements over scarce resources or different preferences. Politics is the means by which societies decide who gets what, when, and how. Anyone engaged in political activity is a political actor, while politicians are those running for elective office or serving in one. To understand political activity and outcomes, it is useful to focus on the rules that determine what the actors can and cannot do, the reality of the political environment, and the choices that the political actors make. constitution a collection of the most basic principles of a country (or state) democracy a system of government in which citizens elect their leaders fact something that is true because it can be verified by evidence institutions organizations with a set of rules and practices that inform their members about their relationships with one another and how they should interact politics “who gets what, where, when, and how”—the process for resolving disputes and allocating scarce resources reality the world as it is, as verified by observations and measurements rules instructions regarding what behaviors are required, forbidden, or allowed", "section": "Defining Politics: Who Gets What, When, Where, How, and Why?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Public Policy, Public Interest, and Power Learning Outcomes By the end of this section, you will be able to: Define public policy, public interest, and power. Define sovereignty. Distinguish among the terms country, state, nation, and nation-state. Define political conflict. Define the status quo . Identify three bargaining outcomes. Public policy is one of the main products of politics. Public policy includes all the decisions governments make to influence behavior. When a legislature enacts legislation, an executive issues an order, or a court announces a ruling, they are all making public policy . In making public policy, political actors typically invoke the public interest (also called the common good or the general welfare). The public interest is an amorphous concept, although it is generally defined as the well-being of the public. In fact, the Australian government has stated that “the public interest should not be defined.” Australian Law Reform Commission, “Meaning of Public Interest,” in Serious Invasions of Privacy in the Digital Era (Queensland, AU: Australian Law Reform Commission, March 30, 2014), accessed September 8, 2021, https://www.alrc.gov.au/publication/serious-invasions-of-privacy-in-the-digital-era-dp-80/8-balancing-privacy-with-other-interests/meaning-of-public-interest/. It is invisible to our senses, and it is possible to maintain that it does not exist because there is no interest (or good or welfare) beyond what individuals want for themselves. Those who claim to seek the public interest typically believe that it is not just what people want, however, but what they should want. It would not be in the public interest, in this view, to create a society in which those in power can exploit others or one that legitimizes cruelty, even if a majority of the population wanted these things. It is in the public interest to create a good society, one with social justice, in which the government serves the people. Such a society would provide for the common good and promote the general welfare. Power, a fundamentally important term in the study of politics, can be defined as the ability to compel someone to do something that they would not otherwise choose to do. Robert A. Dahl, “The Concept of Power,” Behavioral Science 2, no. 3 (1957): 201–215. doi:10.1002/bs.3830020303. Those with power are the ones who get to make public policy. Power cannot be counted, weighed, or photographed. Though it is invisible, the accoutrements of power—for example, being addressed as president of the United States or having people salute you—can often be seen. Some people have a lot of power, while others have very little. Power is not a constant force, as politicians sometimes increase their power, while at other times their power slips away. Power is, in part, a matter of belief: if you believe someone has power over you, they do, at least to the extent that you do what they want. Upon his arrival in Israel, Brazilian President Jair Bolsonaro was greeted with many accoutrements of power, including military presence, flags, and a red carpet. (credit: “31/03/2019 Cerimônia Oficial de chegada” by Palácio do Planalto/Flickr, CC BY 2.0) The highest form of power is called sovereign power. If no other entity (person or institution) has authority over a state, that state is said to have sovereignty, and the supreme authority in that state is called the sovereign. ​​Daniel Philpott, “Sovereignty,” in The Stanford Encyclopedia of Philosophy (Fall 2020), ed. Edward N. Zalta, https://plato.stanford.edu/archives/fall2020/entries/sovereignty/. In many countries, the sovereign is the highest-ranking individual leader, such as the queen or king. In the United States and in other democracies, the people are sovereign, not their elected officials. The people elect their leaders, and the people can unseat them either by selecting others in the next election or by removing them—for example, through impeachment, a legal process for removing elected officials from their posts for misconduct. The power of any governmental institution depends on the de jure and de facto rules of the country. In Saudi Arabia, for example, the Consultative Assembly has neither the power to pass nor to enforce laws. Its members are appointed by the king, who is an absolute monarch (the sovereign), and he can remove them at his pleasure. “Government,” The Embassy of the Kingdom of Saudi Arabia, accessed September 8, 2021, https://www.saudiembassy.net/government/?id=Skunk-3593-6229-42-4733. In the United States, as discussed in Chapter 9: Legislatures , the Congress has substantial powers: only it can approve the spending of governmental money or declare war. The president can veto legislation approved by Congress, but Congress has the power to override a president’s veto . Government and the Legitimate Use of Power The government is the most important institution in any discussion of politics because it is the only one with legal, legitimate authority to use coercive power to compel behavior within a defined geographic area. The government of a place typically exercises its powers over individuals who live within its borders or who are otherwise subject to its laws (for example, a citizen of the country who is currently living abroad). If you break your family’s rules, your family can punish you, but only your government can imprison you for breaking government laws. Your church may ask you to contribute money, but only the government can compel you to pay taxes. Your business can encourage you to uphold their rules and fight for their interests, but only the government can require you to serve in the military and sit on juries. A government is one of the four elements that, along with territory, population, and sovereignty, make up a state (or its synonym, country). The United States is a state, and so are the individual territories, from Alabama to Wyoming, within it. Afghanistan and Zimbabwe are states too, as are all the other 190 some countries between them alphabetically. Why did we not provide an exact number? Because there are disputes regarding whether a few political entities, such as Taiwan and Palestine, meet the definition of a state. State has other meanings that are also relevant to politics and political science. For example, a country might be called a police state. In a police state, the government uses force, often imposed by the military or the secret police, to repress dissent and maintain order. In a welfare state, the government provides extensive social benefits like child care, education, housing, and pensions. Countries are more or less police and welfare states, as all countries use a police force to maintain order and all countries offer their citizens some social benefits. North Korea, where the government monitors virtually every aspect of life and imprisons or executes those who oppose its leaders, is perhaps the most extreme example of a police state. Nordic countries, including Denmark, Finland, Norway, Iceland, and Sweden, are generally considered to be the most generous welfare states. The terms country , state , nation , and nation-state are sometimes used synonymously, but they are not at all identical. A country is a defined geographic territory with a sovereign government. The term state is often used to refer to a smaller area within a country, as in the case of the individual American states, which all together make up the United States of America, the country. The term state can also be used to refer to an entire country. For example, India is a state. A nation , in contrast, refers to a population connected by history, culture, and beliefs that generally lives in a specific area, such as Kurdistan in the Middle East, where the Kurdish are the dominant ethnic group even though they do not have a country to call their own. Erin Blakemore, “Today, the Kurds Are Spread Across Four Nations. Who Are They?” National Geographic , August 16, 2019, https://www.nationalgeographic.com/culture/article/who-are-kurds. A nation that also is a country is sometimes called a nation-state . The United States, France, Pakistan, China, and many others are generally considered simultaneously to be countries, states, nations, and nation-states. A government has authority when those subject to its power recognize that power. In a class, you accept your teacher’s power to give assignments and assign grades—or, at least, your school recognizes these powers. Authority is generally limited to specific circumstances and places where the authority is said to have jurisdiction. As a condition for passing this course, your teacher can require you to read this book but not to do their laundry. Your government can require you to pay your taxes—it has this authority—but it cannot require you to do things that are unlawful. Tom Christiano, “Authority,” in The Stanford Encyclopedia of Philosophy (Summer 2020), ed. Edward N. Zalta, https://plato.stanford.edu/archives/sum2020/entries/authority/. When authority is used in ways that are consistent with the duties or rules of the institution, that authority is said to be legitimate . If a police officer pulls your car over because you are speeding, that is a legitimate use of authority; if that officer pulls you over because you are “driving while black,” that would be an illegitimate use. David A. Harris, “The Stories, the Statistics, and the Law: Why Driving While Black Matters,” Minnesota Law Review 84, no. 2 (1999): 265. Pulling over drivers because of their skin color is an illegitimate use of governmental authority. (credit: “Ride” by Krista Baltroka/Flickr, CC BY 2.0) In politics, there is a continual struggle over which uses of authority are legitimate and which are not, and, as discussed in Chapter 13: Governing Regimes , governments resolve these conflicts in different ways depending on how democratic they are. What can a government compel you to do, allow you to do, or prohibit you from doing? One possible answer is that if a government enacts a policy in accordance with its own rules, then that policy is legitimate. In this view, individuals could enslave others so long as governmental policy allowed this practice, as some countries have. Another answer is that some policies, such as slavery, are fundamentally illegitimate, even if they are lawfully enacted. Conflict and Bargaining Disagreement—that is, conflict —is fundamental to politics for two primary reasons. As long as there is desire and people want things they do not have, there will be conflict. Millions of people lack clean air, access to potable water, and even basic necessities such as food and shelter. Scarcity is not limited to human needs. Even if every family in the world was wealthy enough to buy as big a mansion as (they thought) they wanted, differences would still exist that would make some people want what others have—say a better view, a bigger lot, or proximity to certain amenities. In addition to desire, conflict will always exist because people have differing beliefs and preferences—that is, differing values. Should abortion be legal? A spectrum of passionate views on the subject exists, and there is no way one political decision will satisfy all individuals at every point along that spectrum. Should governments spend taxpayer money on bike trails, mass transportation, or roads? The answer might not be a matter of deep belief, but it still elicits differing preferences. Again, no one political action is likely to satisfy everyone. Throughout history, the resolution of conflicts has often involved brute force. Violence can resolve conflicts, at least temporarily, with the strong getting what they want through brutality. Politics is the process for resolving conflicts over scarce resources and differing values without resorting to violence. When violence is used to solve disputes, it represents the failure of politics, or at least the deep frustration of those whose aspirations are thwarted by politics. Politics can determine how scarce resources will be allocated and which values will prevail. Through political processes, a country can decide whether abortions will be allowed in all cases, some cases, or no cases. This does not mean that everyone will now agree on whether the policy is good or not; politics can resolve issues, but it cannot eliminate the underlying conflicts that cause them. In recent decades the world has gotten richer and more peaceful. Yngve Vogt, “The World HAS Become More Peaceful,” Apollon, February 15, 2019, https://www.apollon.uio.no/english/articles/2019/peace.html. That does not mean conflict is disappearing; several countries are experiencing open military conflict, and many other countries are experiencing high levels of violence. Even in countries without open, violent conflict, political polarization is increasing. Thomas Carothers and Andrew O’Donohue, “How to Understand the Global Spread of Political Polarization,” Carnegie Endowment for International Peace, October 1, 2019, https://carnegieendowment.org/2019/10/01/how-to-understand-global-spread-of-political-polarization-pub-79893. Political polarization occurs when groups—political parties as well as ethnic or religious groups—become divided (“polarized”) in ways that increase cohesion within the groups and also increase suspicion and distrust across the groups. The United States today is more polarized than it has been in many years. Carroll Doherty, “7 Things to Know about Polarization in American Politics,” Pew Research Center, June 12, 2014, https://www.pewresearch.org/fact-tank/2014/06/12/7-things-to-know-about-polarization-in-america/. The greater the polarization, the greater the difficulty of resolving conflicts: polarization is a risk to peaceful politics. How does politics resolve conflicts? Most often, through bargaining . When parties involved in a conflict engage in negotiations concerning the status quo —that is, the existing set of circumstances involved in the conflict—they are bargaining. Political bargaining determines whether existing rules and reality will be changed. Bargaining at the market is like bargaining in politics: each participant wants a solution that benefits themselves. (credit: “Learning to Haggle at the Nubian Market” by Bonnie Ann Cain-Wood/Flickr, CC BY 2.0) In political bargaining, there are three likely outcomes. The first is that those bargaining simply cannot come to any agreement. When this happens, and it often does, the status quo prevails. Negotiations are almost certain to collapse when those bargaining are unwilling to give an inch because they have diametrically opposed goals. If one side seeks to raise taxes, for example, and the other to lower them, then there is no deal that would be acceptable to both sides. In this situation, those who favor the status quo are the winners, so those who favor the status quo have reason to prevent the negotiations from succeeding. This point bears repeating. Although you might see a world full of problems that obviously need to be fixed, you should always assume that there are those who benefit from the current circumstances who will work to thwart change. This bias in favor of the status quo is one of the reasons political change is often so difficult to achieve. Think of it this way: bargaining seeks to change the rules, and there are almost certainly those who benefit from those rules and want to keep them. The Importance of Political Compromise Compromise requires the ability to see gray areas and possible points of connection or overlap. It requires a willingness to accept partial progress toward a desired goal. Increasingly, everyday public discourse has moved in the direction of extremes and oversimplification (think of Twitter, Facebook, TikTok, and short online articles), exacerbating political polarization and making compromise increasingly difficult, both for individuals and for their representatives in government. A second possibility involves compromise , in which the various participants in a conflict give ground on what they seek in order to arrive at an agreement. Compromise is most likely to occur when those bargaining generally agree on the goals but have disagreements on the specific details. If some countries seek to reduce greenhouse gas emissions to limit global climate change while other countries seek faster economic growth that increases their emissions, the participants are seeking different goals and compromise is unlikely. However, if all countries want to reduce greenhouse gas emissions, they are in general agreement about their goals. In this case, compromise is more likely. If no country has the power unilaterally to set emission limits, the countries may have motivation to split the difference. If your country wants to lower emissions by 10 percent and my country wants to lower them by 5 percent, the two countries might make a deal and lower them by 7.5 percent. Each country gets part, but not all, of what they want. A third outcome results from what is called logrolling . If you have something I want and I have something you want, we each have something with which to bargain. For example, suppose you have a peach and an apple, as do I. We each like both fruits and want more of both—there is scarcity. But you really like apples and I really like peaches. Through logrolling, I give you my apple, and in exchange you give me your peach. This is not a perfect solution, as we both wanted more apples and more peaches. But in the end we each are better off than we were before the bargaining. The outcome of political negotiations depends again on the core principles of politics discussed earlier—the rules governing the negotiation, the reality at the time of the negotiation, and the strategic choices those involved in the negotiation make. Political negotiations are often a combination of high-minded principles and skullduggery. Negotiators will seek to persuade others and, if persuasion does not work, sometimes to bully or buy them. If any participants in a negotiation have the power to force the others to give ground, they very likely will use it. If the status quo prevails, those participants who sought change may be seen as weak and be blamed for their failure. If compromises are achieved, participants may be criticized for “selling out”—for compromising not only their policies but also their principles. Logrolling can create the impression of impropriety, of corrupt dealmaking, or of unseemly quid pro quo, as in “you scratch my back and I’ll scratch yours.” Yet each outcome has an alternative explanation. If the status quo prevails, those who defended it will laud their accomplishments. When compromises succeed, each side can claim that “it is better to get half a loaf of bread than no loaf at all.” After a successful logroll, the negotiators can say, “We got what we valued most.” Negotiations can produce winners and losers, but they can also produce outcomes that leave the participants at least relatively satisfied with the outcomes. If all political power were concentrated in a single person, with the government proceeding by fiat , or command, and the supreme leader giving the orders, bargaining might seem unnecessary. Yet even in totalitarian countries the supreme leader will have advisors, and those advisors will negotiate among themselves and the ruler as they seek to influence how power is used. Public policy—all the actions that governments take that are designed to influence individual, group, institutional, or national behavior—is one of the main products of politics. Those seeking to make public policy typically invoke the public interest, claiming that the policies they seek will benefit the broader society (rather than merely their own self-interest). Policies are made by those with power. Power is fundamental to the study of politics, although it is impossible to accurately measure or observe. Power is the ability of one political actor to get other actors to do things they would not otherwise choose to do or not to take actions they otherwise would. The highest form of power is sovereign power, which means that the actor with sovereign power is ruled by no one else. Sovereign power is usually associated with a single person (an emperor), a national government, or in democracies, with the citizens themselves. A political actor has authority if they have the power to enforce rules, and that authority is seen as legitimate if the power is used in ways consistent with those rules. Disagreements over resource allocation and values are fundamental to politics. Bargaining is the attempt to resolve these conflicts. authority the entity (person or institution) holding legitimate power in a specific realm bargaining the process of negotiating with the goal of reaching agreement compromise in bargaining over a single issue, each participant agrees to move in the direction of those they are bargaining with (for example, the car seller lowers the price and the car buyer increases what they are willing to pay) conflict disagreements between individuals, groups, institutions, or states regarding the allocation of resources or the determination of values country a populated geographic area with a sovereign government government the set of institutions that make and implement decisions for a political collective, most often for a specific geographic area legitimate authority used in ways that are true to the rules nation a population connected by history, culture, and beliefs that generally lives in a specific area power the ability to compel someone to do something they would not otherwise choose to do public interest that which benefits a state and those who reside there public policy any decision by a government, such as a law, regulation, or ruling, that attempts to guide human behavior sovereign the entity (person or institution) that holds supreme authority over a domain state a defined geographic area with unified political authority status quo the existing state of affairs", "section": "Public Policy, Public Interest, and Power", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Political Science: The Systematic Study of Politics Learning Outcomes By the end of this section, you will be able to: Define political science. Describe the scientific study of politics. The systematic study of the process of who gets what, when, and how— political science —investigates the reasons behind the decisions governments make. For example, political scientists investigate the degree of control governments choose to exercise over various forms of communication, like your smartphone. Political scientists examine both the ways individuals and groups seek to influence governmental action and the ways governmental decisions in turn affect individuals and groups. Political scientists may not have lab coats or electron microscopes, but like other types of scientists, they use theory, logic, and evidence in an attempt to answer questions, to make predictions, or to arrive at conclusions. Some political scientists strive to understand the fundamental laws of politics in much the same way theoretical physicists seek to comprehend the cosmos for pure knowledge. These political scientists try to uncover the universal principles of how humans and their institutions aim to prevail in political conflicts. But most political scientists accept that human behavior is not entirely deterministic (that is, perfectly predictable), so they instead look for patterns that may enable them to predict in general how humans and their institutions interact. What Logic Brings Palestinian and Israeli Women Together to March for Peace? When women on both sides of the conflict in Israel grew weary of its human consequences, they decided to take matters into their own hands in 2017. In human societies, there are many sources of and paths to political conflict and its resolution. Other political scientists are more like chemists, who may use their knowledge to develop and improve medicines or create more deadly toxins. These political scientists aspire to improve the institutions or processes of government. Some uses of political science are not so benign. Motivated actors can and have used political science knowledge to manipulate voters and suppress vulnerable populations. When people understand how political science works, they are less susceptible to such manipulation and suppression. So what is scientific about politics? One way to think about whether politics is “scientific” is to focus on the content of politics. Does political behavior follow general laws—that is, does it align with universal statements about nature, based on empirical observations? Does politics have the equivalent of Isaac Newton ’s laws of motion (for example, Newton’s second law is “force is equal to mass multiplied by acceleration,” and his third law is “to every action there is an equal and opposite reaction”)? Not precisely, although political scientists have at times claimed that such laws exist. The sticking point is the word “universal.” Force always equals mass multiplied by acceleration. To every action there is always an equal and opposite reaction. In politics, it seems, virtually nothing is always the case. If one defines science as a body of universal laws about an unchanging universe, then politics is not and cannot be a science. Politics is not the same as physics. Empirical political science seeks to identify regularities—what is likely to happen given certain conditions. Political science is probabilistic rather than deterministic . An event is deterministic if it is possible to say, “If this happens, that will happen.” Events are probabilistic if one can say only, “If this happens, that is likely to happen.” The sun coming up in the east? Deterministic. Will it rain in the morning? Probabilistic. Will incumbents win their next bid for reelection? Political science gives us the ability to estimate the probability that they will win (again, given the rules, the reality, and the choices those incumbents make). So science does not require universal laws that explain an unchanging universe. What science does require is a way to learn about the world around us: this way is the scientific method . The scientific method seeks to understand the world by testing hypotheses (for example “The world is round”) by systematically collecting data sufficient to test that hypothesis and by making these hypotheses and data available to others so that your work can be challenged or verified. Political science uses the scientific method to understand the political world; political science carefully and methodically uses logic and evidence to find the answers to political questions. A hypothesis is a tentative statement about reality that can be tested to determine whether it is true or false—or, in practice, supported or unsupported based on the evidence. “A candidate’s ethnicity influences the likelihood that they will be elected” is an example of a hypothesis: ethnicity either does or does not influence election outcomes. An important task of the political scientist is to determine whether the evidence supports the hypothesis that they test. Neil Degrasse Tyson: Analogy for the Scientific Method In this video clip, astrophysicist and author Neil Degrasse Tyson relates a humorous anecdote about an everyday experience in a coffee shop that illustrates the basic principles of the scientific method. The answers scientists find are always tentative, or uncertain. A hypothesis is supported rather than true or unsupported rather than false. Additional research may yield different answers as theories or methods improve or better data emerges, but also because political behavior itself can change in response to what people learn about it. The knowledge, for example, that politicians are likely to act in a certain way given certain circumstances might lead politicians to change their behavior if they believe that doing so will gain them an advantage. The specific knowledge (“politicians in this situation will behave in that way”) may become obsolete even if a broader general principle (“politicians will act strategically to advance their goals”) still appears to be true. There are two main, interrelated types of political science: normative political science (also called political philosophy or political theory) and empirical political science . Political scientists systematically study political phenomena—the actions of individuals, groups, institutions, and countries as they seek to obtain their goals or express their identities. That those who study politics are scientific does necessarily not mean that they can identify universal laws, although many have tried. What is important is that political scientists use the scientific method to understand the political world. In the scientific method, researchers try to develop accurate depictions of the world through logic, reason, and evidence while making their techniques and data open to scrutiny and verification by other researchers. In their research, political scientists must always be tentative about their conclusions: further study might indicate that their conclusions need to be revised in the light of new evidence or techniques. hypothesis a tentative explanation for a reality that can be tested political science the systematic study of political phenomena using empirical or philosophical methods scientific method the processes used to conduct empirical research", "section": "Political Science: The Systematic Study of Politics", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Normative Political Science Learning Outcomes By the end of this section, you will be able to: Identify what normative political science seeks to do. Discuss the primary methods political philosophers use to answer their questions. List the three main ways normative political scientists have tried to answer questions like “What is a good citizen?” In politics, what is good and what is right? How should power be used? What is the public interest? These are tricky questions with multiple answers. One might think of the “good” as that which is beneficial or helpful and “right” as what is true or just. Power should be used to promote the public interest so that those in power use it to benefit the people. Normative political science seeks to understand the meaning, purposes, and goals of politics. It seeks to define how individuals should behave or how institutions should be constituted. Those who study these issues are referred to as political philosophers and share common interests with the broader discipline of philosophy. Normative political science considers an endless array of questions. What is a good citizen? Do human rights exist and, if so, what are they? Who should rule? What purpose should governments serve? Is there an ideal constitution and, if so, what is it? What is social justice? These questions cannot be answered by presenting evidence alone: there is no test that would prove beyond a reasonable doubt what a good citizen is or that any constitution is in fact ideal. So normative political science typically proceeds primarily by appealing to logic and reason. Consider the question “What is a good citizen?” Evidence alone cannot tell us what constitutes a good citizen. Is a good citizen the one who always obeys the laws or the one who challenges the laws they see as unjust? Reasonable people can—and do—disagree on this and almost all other questions in political theory. But in order to determine through logic and reason what it means to be a good citizen, evidence can guide judgments of whether citizens are good (for example, if citizens are observed doing bad things, they would not be good citizens). Normative theorists have tried to answer questions like “What is a good citizen?” in three main ways: focusing on the consequences of behavior, moral rules, or virtue. These new American citizens are being sworn in at a naturalization ceremony. What is a good citizen? (credit: “‘Celebrate Citizenship, Celebrate America’ Naturalization Ceremony at College of DuPage 2015 48” by COD Newsroom/Flickr, CC BY 2.0) One definition of a good citizen is someone who acts in ways that benefit society; that is, the benefits are a consequence of the citizen’s actions. A good citizen votes and pays taxes, for example, because both actions help to create stable and prosperous societies. In contrast, a bad citizen is one who breaks the law, to the extent that breaking the law harms other people. In this view, someone who speeds would be a bad citizen because speeding increases the likelihood of causing a crash and harming others, but someone who commits a “victimless crime,” such as smoking marijuana, would not be a bad citizen because they would not be harming anyone else. According to normative political science, a person should behave in ways that benefit society and do not harm it, and individuals should strive to be good citizens. A good ruler is one who helps the ruled rather than harming them. According to Aristotle, constitutions that “aim at the common advantage are correct and just . . . whereas those which aim only at the advantage of the rulers are deviant and unjust, because they involve despotic rule which is inappropriate for a community of free persons.” Fred Miller, “Aristotle's Political Theory,” in The Stanford Encyclopedia of Philosophy (Winter 2017) , ed. Edward N. Zalta, https://plato.stanford.edu/entries/aristotle-politics/. Philippines: What It Takes to Be a Good Citizen In this clip from the World Bank, Filipinos attending a conference answer the question “What does it take to be a good citizen?” Two challenges are central to this type of theorizing. What actions produce more benefit than harm, and what evidence supports these claims? For example, speeding is a risk to the driver and to others, but it may bring pleasure to the driver and enables them to get where they are going faster. Do the costs outweigh the benefits? Moreover, what counts as a benefit or a harm? Is it beneficial or harmful for citizens to monitor one another’s behavior for potential lawbreaking, for example? Philosophers, and not just political philosophers, attempt to identify a set of moral principles that good citizens should adopt. You can find an extensive discussion of the “good citizen” in Jack Crittenden and Peter Levine, “Civic Education,” in The Stanford Encyclopedia of Philosophy (Fall 2018), ed. Edward N. Zalta, https://plato.stanford.edu/archives/fall2018/entries/civic-education/. Similarly, they have attempted to identify principles governments should adhere to because those principles are moral. For example, a good citizen would treat others as they themselves would want to be treated (the so-called Golden Rule). A good citizen would not lie because lying is wrong. In practice, it has proven hard to identify rules that are universally consistent or accepted. Is it always wrong to lie? What if a government decides it must lie to an adversary in order to protect its own citizens? Does a good government not, as a rule, have an obligation to do just that? But does this then create a slippery slope in which governments believe they are justified in lying as a matter of course? Some normative political scientists seek to identify and understand character traits that are admirable in their own right. Rather than arguing that good citizens should tell the truth because lying harms the public interest or violates a universal moral principle, they argue that good citizens should tell the truth because a good person does not lie. According to this line of thinking, a government protects its citizens because doing so improves their lives and because it fulfills the duties of government, but also because doing so is what makes a good government. That is what good governments do. Political philosophers studying virtue seek to identify and define the virtues, as well as to discover their limits. Rosalind Hursthouse and Glen Pettigrove, “Virtue Ethics,” in The Stanford Encyclopedia of Philosophy (Winter 2018), ed. Edward N. Zalta, https://plato.stanford.edu/archives/win2018/entries/ethics-virtue/. For example, traits like bravery, integrity, humility, and kindness have been identified as possible sources of virtue. A good person, and a good citizen, is brave enough to stand up for the right, in opposition to the wrong. To do otherwise would be a sign of cowardice. But can a person be too brave, becoming foolhardy or rash, when standing up for what is right? These three types of normative reasoning—emphasizing consequences, rules, and virtue—overlap, but they represent distinctly different ways of thinking about politics and what ideal politics would be like. Although the questions they raise have been studied since ancient times, they remain relevant for us today and are still worthy of careful reflection. Normative political science, also called political philosophy, seeks to answer questions regarding the meaning, purposes, and goals of politics, such as “What is a good citizen?” or “What purposes should governments serve?” The answers to these questions cannot come from examining evidence alone; instead, political philosophers rely on reason and logic. Three common approaches to normative political science involve a focus on consequences (for example, the purpose of government is to provide benefits to its citizens), rules (for example, the purpose of government is to protect rights), or virtue (so that the purpose of government is to produce virtuous citizens). Some of the main questions in normative theory are rooted in antiquity, but they remain relevant today. normative political science the systematic study of ideal goals, principles, and behaviors in politics; also called political philosophy", "section": "Normative Political Science", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Empirical Political Science Learning Outcomes By the end of this section, you will be able to: Distinguish empirical political science from normative political science. Explain what facts are and why they may be disputed. Define generalization and discuss when generalizations can be helpful. Unlike normative political science, empirical political science is based not on what should be, but on what is. It seeks to describe the real world of politics, distinguishing between what is predictable and what is idiosyncratic. Empirical political science attempts to explain and predict. Klaus von Beyme, “Political Theory: Empirical Political Theory,” in A New Handbook of Political Science , eds. Robert E. Goodin and Hans-Dieter Klingeman (Oxford, UK: Oxford University Press, 2003). Empirical political science assumes that facts exist: actual, genuine, verifiable facts. Empirical questions are ones that can be answered by factual evidence. The number of votes a candidate receives is an empirical matter: votes can be counted. Counting votes accurately so that each candidate receives the actual number of votes that were cast for them can be difficult. Different ways of counting can lead to slightly different counts, but a correct number actually exists. Empirical political science, as described here, is not different from other applications of the scientific method , whether one is examining rocks in geology, birds in botany, or the human mind in psychology. In every science-based course you take, you will observe systematic efforts to develop knowledge by using data to test hypotheses. OpenStax Biology, a text generally assigned in introductory college biology courses, begins with a description of science and the scientific method, noting that “one of the most important aspects of this method is the testing of hypotheses . . . by means of repeatable experiments” Mary Ann Clark, Matthew Douglas, and Jung Choi, Biology , 2nd ed. (Houston, TX: OpenStax, 2018), 1. Until recently, few political science theories could be tested through repeated experiments, so instead political scientists had to rely on repeated observations. Congressional elections in the United States are held every two years, for example, and they generate substantial data that can be used to test hypotheses. In recent years, however, political scientists have conducted more and more true experiments. Rebecca B. Morton and Kenneth C. Williams, “Experimentation in Political Science,” in The Oxford Handbook of Political Methodology , eds. Janet M. Box-Steffensmeier, Henry E. Brady, and David Collier (Oxford, UK: Oxford University Press, August 2008), https://www.oxfordhandbooks.com/view/10.1093/oxfordhb/9780199286546.001.0001/oxfordhb-9780199286546-e-14. Political science is connected to biology, and all other courses in science, through the use of the scientific method. A fact may be disputed. There may be genuine uncertainty as to what the facts really are—what the evidence really shows. Sometimes it is extremely difficult to gather the facts. Do space aliens exist? That is an empirical question. Either space aliens exist, or they do not. Some researchers claim to have evidence that space aliens are real, but their evidence is not universally, or even broadly, accepted. One side of this argument is correct, however, and the other is not. Evidence has not yet conclusively determined which is correct. John Gertz, “Maybe the Aliens Really Are Here,” Scientific American , June 21, 2021, https://www.scientificamerican.com/article/maybe-the-aliens-really-are-here/. Does the Russian government seek to interfere with American elections, and if so, does its interference affect the outcome? The first part of the question is difficult (but not impossible) to answer because when a country interferes in another country’s domestic affairs it tries to do so in secret. It is difficult to uncover secrets. US Senate Select Committee on Intelligence , “Senate Intel Releases New Report on Intel Community Assessment of Russian Interference,” press release, April 21, 2020, https://www.intelligence.senate.gov/press/senate-intel-releases-new-report-intel-community-assessment-russian-interference. But the second part of the question, does the interference affect the outcome, is almost impossible to answer. Because so many factors influence election outcomes, it is extremely challenging to determine which individual factors made any consequential difference. Nate Silver, “How Much Did Russian Interference Affect the 2016 Election?” FiveThirtyEight , February 16, 2018, https://fivethirtyeight.com/features/how-much-did-russian-interference-affect-the-2016-election/. There are thus empirical debates in which people of good faith disagree about what the facts are. In many cases, however, people do not want to acknowledge what the evidence shows, and because they do not want to believe what the facts demonstrate, they insist the evidence cannot be true. Humans often use motivated reasoning , first deciding what is true—for example, “Gun control makes us safer” or “Gun control makes us less safe”—and then finding evidence that supports this belief while rejecting data that contradicts it. Joseph M. Pierre, “The Psychology of Guns: Risk, Fear, and Motivated Reasoning,” Palgrave Communications 5, no. 1 (December 2019): 1–7. doi:10.1057/s41599-019-0373-z. Motivated Reasoning in Politics: Are Your Political Opinions as Rational as You Think? Social psychologist Peter Ditto contrasts motivated reasoning with science, where scientists build conclusions based on evidence, and those employing motivated reasoning seek evidence that will support their pre-determined conclusions. In other cases, individuals and interests may actually know what the facts are, but they are motivated by reasons of self-interest to deny them. The evidence is clear, for example, that nicotine is addictive and harmful to human health. The evidence is also clear that Big Tobacco, the largest cigarette companies, denied these facts for years because to admit them would have put their profits at risk. Stanton A. Glantz, The Cigarette Papers (Berkeley: University of California Press, 1996). Former President Donald Trump , along with many of his supporters, claims that he won the 2020 presidential election and that President Joe Biden was declared the victor only because of massive voter fraud. All attempts to prove that fraud led to Biden’s victory have failed: no evidence has been found to support Trump’s claims. “Voting Rights Litigation Tracker 2020,” Brennan Center for Justice, updated July 8, 2021, https://www.brennancenter.org/our-work/court-cases/voting-rights-litigation-tracker-2020. That these claims continue can be attributed to the fact that some individuals are simply unwilling to accept the evidence, while others benefit from denying the validity of it. Michelle Ye Hee Lee and Anu Narayanswamy, “Trump Raises $495 Million since Mid-October, Including a Massive Haul Fueled by Misleading Appeals about Election Fraud,” Washington Post, December 4, 2020, https://www.washingtonpost.com/politics/trump-fundraising/2020/12/03/3aa1091a-35b6-11eb-8d38-6aea1adb3839_story.html. Empirical political science might find—based on the available evidence—that individuals with more education or more income are more likely to vote. Empirical political science would not consider whether this is good or bad; that would be a normative judgement. Empirical political scientists might explain the link between education, income, and voting by positing that better educated, more prosperous individuals are more likely to believe that their views matter and that because of that belief they are more likely to express those views at the ballot box. These political scientists might also use their findings to make a prediction: an individual with more education or higher income is more likely to vote than an individual with less education or lower income. For one interesting article on this topic, see Melissa R. Michelson, “Political Efficacy and Electoral Participation of Chicago Latinos,” Social Science Quarterly 81, no. 1 (2000): 136–150. https://www.jstor.org/stable/42864372. Based on this finding, empirical political scientists make no claims as to who should participate in politics. Questions about “should” are the domain of normative political science . Moral judgments cannot be made strictly on the basis of empirical statements. That members of one group vote at higher rates than another group, for example, tells us nothing about whether they deserve to vote at higher rates or whether government policies should be based more on their views as compared to those who vote at lower rates. From this finding, however, empirical political scientists may infer a generalization. Generalizations are based on typical cases, average results, and general findings. Younger adults, for instance, typically vote less often than older adults. This does not mean that any specific young adult does not vote or that any specific older adult does, but that these statements are generally true. Amelia Thomson-DeVeaux, “Why Younger Americans Don’t Vote More Often (*No, It’s Not Apathy),” FiveThirtyEight , October 30, 2020, https://fivethirtyeight.com/features/why-younger-americans-dont-vote-more-often-no-its-not-apathy/. Empirical political scientists may study the impact of age, sex, ethnicity, education, and other factors on the likelihood that citizens will vote. (credit: “Super Duper Tuesday” by Josh Thompson/Flickr, CC BY 2.0) Generalizations can be helpful in describing, explaining, or predicting, but there is a downside to generalizations: stereotyping . If the evidence shows that political conservatives in the United States are opposed to higher levels of immigration, this means neither that every conservative holds this belief nor that one must hold this belief to be conservative. If data suggests supporters of abortion rights tend to be women, it is not possible to infer from the evidence that all women seek more permissive abortion laws or that no men do. In using generalizations, it is important to remember that they are descriptive of groups, not individuals. These are empirical statements, not normative ones: they cannot by themselves be used to assign blame or credit. Empirical political science can be used to make predictions, but predictions are prone to error. Can political science knowledge be useful for predicting the outcome of elections, for example? Yes. Given a set of rules about who is eligible to vote, how votes can be cast, and what different categories of voters believe about the candidates or policy options on the ballot, political science knowledge can be useful in predicting the outcome of the election. Our predictions might be wrong. Maybe people did not tell the truth about who they were planning to vote for. Maybe the people who said they were going to vote did not. In 2016, most political polls predicted that Hillary Clinton would be elected president of the United States. Nate Silver, “Election Update: Clinton Gains, and the Polls Magically Converge,” FiveThirtyEight , November 7, 2016, https://fivethirtyeight.com/features/election-update-clinton-gains-and-the-polls-magically-converge/. Clinton did indeed win the popular vote, as the pollsters anticipated, but Donald Trump won the electoral vote, against the pollsters’ expectations. Political science is imperfect, but it seeks to learn from and correct its mistakes. You will learn more about public opinion polling in Chapter 5: Political Participation and Public Opinion . Many of the terms in this book, like incumbent , are relevant mainly for the study of politics. Other terms, like ceteris paribus , are useful across a broad range of studies that use the scientific method. Ceteris paribus can be translated as “all other things being equal.” If the ethnicity of a political candidate does not influence their probability of getting elected to office, ceteris paribus , if there are only two candidates and if they are alike in every relevant aspect (e.g., age, experience, ability to raise campaign funding) except their ethnicity, then the candidate’s ethnicity by itself does not affect the outcome of the election. In real life, however, “all other things” are almost never equal. To the extent that our societies have inequalities of wealth, health, education, and other resources, the inequalities tend to be correlated—that is, mutually related—to each other. For example, wealth and health are correlated with each other in that wealthier people tend to have better health and poorer individuals tend to have poorer health. In the United States, Whites tend on average to have more wealth, health, education, and other social resources than do persons of color. Neil Bhutta, Andrew C. Chang, Lisa J. Dettling, and Joanne W. Hsu, “Disparities in Wealth by Race and Ethnicity in the 2019 Survey of Consumer Finances,” Board of Governors of the Federal Reserve, September 28, 2020, https://www.federalreserve.gov/econres/notes/feds-notes/disparities-in-wealth-by-race-and-ethnicity-in-the-2019-survey-of-consumer-finances-20200928.htm. This does not mean that every White person is wealthier and healthier, but that on average, in general, they tend to be. Empirical political science and political philosophy (or normative political science ) are distinct modes of inquiry. But this is not to say that they are conflicting, that one is better than the other, or that political scientists do not use both in their research. If empirical research discovers that certain groups are systematically disadvantaged in the political process, the researchers may also argue that these disadvantages are harmful or wrong and make a moral argument that the disadvantages should be reduced or eliminated. Empirical research is often inspired by normative concerns. Those who believe that human rights should be better protected may undertake research to understand the political factors that limit the protection of rights. A Slim Majority The 2020 election in the United States resulted in a 50-50 split in the US Senate. To be precise, 50 Republicans were elected to the Senate along with 48 Democrats and two Independents, but both Independents ally themselves with the Democrats. Until the election, the Republicans, whose 53 seats gave them a 6-seat advantage over the Democrats, were able to call the shots. With the Senate split 50-50, the US Constitution gives the vice president the power to break tie votes. Vice President Kamala Harris is a Democrat, so the Senate makeup became effectively 51-50. That one vote enormously increased the powers of the Senate Democrats. When you are in the minority, it can be difficult to move the political system in the direction you want. Once you gain the majority, getting what you want tends to be easier, at least in a democracy. US Vice President Kamala Harris is the first woman and the first person of color to hold this office. (credit: “59th Presidential Inauguration [Image 17 of 20]” by DoD/US Air Force Senior Airman Kevin Tanenbaum/Defense Visual Information Distribution Service, Public Domain) The 2020 election not only changed the balance of power in the US Senate, but it did so in an unprecedented way. The tie-breaking vote was held, for the first time in US history, by a woman and a person of color. Harris’s mother immigrated to the United States from India, and her father from Jamaica. Political power is not a constant; the political landscape is constantly changing. Empirical political science, in contrast to political philosophy, attempts to answer questions (or test hypotheses) on the basis of evidence. Unlike political philosophers, empirical political scientists are curious to learn about how the political world actually works rather than how it should work and about how politicians actually behave rather than how they should behave. Empirical political science is based on facts—that which can be counted or measured and verified to be true. It is not always easy to determine what the facts are, in part because political action can be so complex and difficult to observe. A key outcome of empirical research is generalizations—that is, statements about political behavior that are typically true or are correct in general even if not for every individual or each event. Generalizations are probabilistic rather than deterministic. Generalizations are helpful because they allow us to describe, explain, and predict. empirical political science the systematic study of political behavior, generally based on developing hypotheses and testing whether these hypotheses are supported based on the evidence", "section": "Empirical Political Science", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Individuals, Groups, Institutions, and International Relations Learning Outcomes By the end of this section, you will be able to: Explain why it makes sense to begin learning about political science with a study of individual behavior. Discuss what human motivations, political ideologies, and public opinion have in common. Distinguish between civil liberties and civil rights, and explain why the former are examined in the section on individuals and the latter in the section on groups. Identify the key types of groups and institutions involved in politics. Identify the central themes in international relations and globalization. To develop your understanding of the key concepts and content in politics and political science, this book begins with the micro, focusing on the smallest political unit, the individual, in Part II. Part III turns to individuals acting collectively through groups. When groups become formalized by establishing rules and developing common practices, they become institutions, the focus of Part IV. Finally, Part V examines how clusters of institutions, whether within the government of a single country or across countries through international organizations, comprise a macro-level view of politics. All politics is based on human behavior—on how individuals interact with each other—so that is where our political exploration begins. Chapter 2: Political Behavior Is Human Behavior considers questions in political philosophy, such as “What are human rights?” and “What is social justice ?” The chapter then examines empirically how individuals generally make decisions, whether in political action or in any other context. Two ideas stand out. First, humans act instrumentally, or strategically or “rationally,” as they pursue their goals. Second, much of human behavior serves expressive and emotional ends. Chapter 3 explores political ideology . Ideology is a set of beliefs—a systematic set of concepts—that helps individuals make sense of the world and their place in it. Ideologies help guide an individual’s decisions regarding what is right and wrong, good and bad, and appropriate and inappropriate. Your political ideology determines, in part, how you see the proper roles of citizens and their governments. Although ideology is individual—only you can determine your political ideology—it connects you to many others in the same way that those with similar religious beliefs gather together. Ideology is both an individual and a group phenomenon. The essential freedoms and rights to which all humans are entitled, human rights , can be divided into two categories. Chapter 4 examines the first category, civil liberties , which involve individual freedoms to think and act without government interference. Later, Chapter 7 considers the civil rights groups have to do certain things, like voting or gaining access to public buildings. Citizens around the world ask their governments to protect and defend their human rights, both as groups—their civil rights—and as individuals—their civil liberties. Yet the boundaries of these human rights are disputed, and they are frequently under attack. What Is a Human Right? This United Nations video introduces a basic definition of human rights and how governments and the UN work to promote and protect them. The last chapter in Part II explores political participation and public opinion . Political participation includes all the various ways you and others can engage in the political process. In democracies, voting may be the most important and most common form of political participation, but there are countless other ways to participate. Even watching or reading political information is a form of participation, although, as Tufts University professor Eitan Hersh warns, if people only consume political news rather than acting on it, they are hobbyists rather than engaged citizens. Eitan Hersh, Politics Is for Power: How to Move Beyond Political Hobbyism, Take Action, and Make Real Change (New York, NY: Simon and Schuster, 2020). Individuals also have their own political opinions (typically, a political poll will ask questions like “Do you believe . . .”), but these opinions are aggregated into group categories and reported as public opinion . Chapter 5 examines how polls are constructed and how they convert individual views into valid measures of public opinion. Political participation and public opinion bridge individual and group behavior. When individuals vote as Republicans or Democrats, contact public officials on behalf of the Sierra Club or the NRA , or march in support of Black Lives Matter or the Right to Life , they are also participating as members of a political party, interest group , or social movement . A political pollster asks questions of individuals, but their answers are reported by group affiliations like “A majority of Republicans believe . . .” or “Supporters of BLM generally favor. . . .” Political action invariably involves groups, and Part III examines different aspects of group behavior, rights, and forms of political action. Chapter 6: The Fundamentals of Group Political Activity , should remind you of Chapter 2: Political Behavior Is Human Behavior . Both chapters consider two aspects of human behavior— the “irrational,” expressive, and symbolic elements, as well as the rational, instrumental, and strategic components. The first part of the chapter examines political socialization and political culture . Political socialization is the gradual process by which individuals develop their political personality over time, and this personality is heavily influenced by others in their environment—their family and friends, people in their schools and places of worship, and more broadly, people in their social networks. Political culture is the common set of political attitudes, beliefs, and behaviors characterizing a group, whether the group is a country or a community of any sort. The second part of the chapter introduces the concept of collective dilemmas , the logic underlying our difficulty in overcoming them, and potential ways to resolve these dilemmas. Collective dilemmas occur whenever multiple individuals interact with one another to make a group decision. Problems arise when they disagree on what the solutions should be or even how to decide what to do. A special form of collective dilemmas— collective action problems —exists when individuals have incentives not to cooperate with others even though cooperation would benefit the group as a whole. Chapter 7 focuses on civil rights . Governments must take action for these rights to exist in practice, and governments typically extend these rights to certain groups. Consider the right to vote. For this right to be exercised, the government must provide places to vote, ballots, and ballot counters. When voting rights are extended—or withdrawn—they are extended to or withdrawn from specific groups. Voting rights were extended to African Americans in 1870 in the United States and to women in Switzerland in 1971; in Ethiopia, Nicaragua, and Scotland, 16-year-olds have the right to vote. Because governments must take action for civil rights to be realized, they are matters of intense political debate. Contests over civil rights—in fact, political battles over every issue—usually involve group conflict, competition, and cooperation. Chapter 8 focuses on interest groups , political parties , and elections. Interest groups are organizations of individuals united by common identities and goals who seek to obtain their objectives through political action. Political parties are organizations that try to gain political power, most often in democracies by running their candidates for office. The main goal of interest groups is to influence public policy, including by supporting political parties as they try to win elections. Political parties seek to win elections in order to set public policy as their candidates enter office. Interest groups, political parties, and elections are inextricably linked. Communication Skills and Political Science Secretary of Agriculture Tom Vilsack (right) talks with the editor-in-chief of Native News Network.com Levi Rickert (left) at the National Congress of American Indians Tribal Nations Legislative Summit in 2012. (credit: “20120307-OSEC-LSC-0144” by US Department of Agriculture/Flickr, Public Domain) Political science is fundamentally about interactions between different actors. When we study political science, we learn how to explain and describe those interactions. We can also think about political science as the study of how various conflicts (both actual and metaphorical) are resolved. In both conceptualizations, effective communication plays a fundamental role. We cannot understand how relationships work if we cannot effectively describe those relationships, and we cannot truly understand the conflict process without being able to analyze the communication between adversaries. Communication skills, therefore, become an essential part of the political scientist’s toolbox. These communication skills are among the most widely desired by employers and utilized in the workforce, regardless of field. While you may learn how to write a detailed analysis of a particular policy or situation in a political science class, you may end up applying that skill as a city manager or journalist. In political science, you may also learn how to translate large, often complex, amounts of data into understandable conclusions or findings. This form of communication is applicable to multiple different professions outside of political science—you are learning to translate data into something meaningful for non-experts. Part III moves to yet a higher level of complexity: political institutions. An institution is an organization with a set of rules and practices that inform its members about their relationships with one another and how they should interact. Institutions may be formal, with written rules, or they may be informal. Your family is an institution, and if you belong to a religious faith, it is an institution too. Gangs are institutions, as are businesses. Our main interest in this book is institutions that are part of the political system either because they are part of the government or they seek to influence it. The first three chapters in Part IV introduce you to three types of institutions likely to exist within any government: a legislature, an executive branch, and a judiciary. As discussed in Chapter 9: Legislatures , a legislature is an institution composed of individuals who have the power to propose, deliberate on, adopt, and alter the laws of a state. Parliaments, congresses, and national assemblies are all examples of legislatures. In democracies, legislators are elected. In nondemocratic states, they may be appointed by a supreme authority. The United States, like about 40 percent of the world’s democracies, has a bicameral , or two-chamber, legislature; the other democracies have unicameral , or one-chamber, legislatures. Chapter 10 turns to executives and the executive branch, which includes cabinets and bureaucracies . The chief executive of a country goes by various titles, such as president, premier, or prime minister, and their responsibilities vary from country to country. This person may be the head of the government, with the powers of a chief executive officer; the head of state, with ceremonial powers; or both. A chief executive’s cabinet, composed of the leaders of the various governmental ministries (sometimes called departments) such as defense, treasury, or interior affairs, supports the chief executive. The bureaucracy executes most of the functions of a government, from defending the country to delivering its mail, serving under the direction of the chief executive and their cabinet. The courts are institutions established to interpret and apply a country’s laws regarding criminal, civil, and in some cases constitutional disputes. They can be either appointed or elected. The courts and the judges or justices are more powerful when they are politically independent. This means they can decide cases and issue rulings without facing retribution from the voters or the legislative and executive branches. In the United States, for example, the Supreme Court can void laws and policies of the legislative and executive branches that it deems unconstitutional. In other countries, the courts largely serve at the direction of other politicians. Chapter 11: Courts and Law describes what courts do, the different types of legal systems, and questions regarding their power and its limits. Chapter 12 introduces the news media and its role in politics. The news media —often called the fourth branch of government—is itself an institution. The news media, whether owned or controlled by a government or commercial businesses, is evolving rapidly. Thirty years ago, the news media could be defined as including television, radio, newspapers, and magazines. Today, with the rise of social media platforms that allow users to share and stream videos, images, and text, the news media is almost literally anyone with a smartphone and internet access. And although misinformation and disinformation have always been part of the political world, social media’s speed and scope for spreading “fake news” is unprecedented. Democracies require a free press—one that operates without government interference—but they also require a press that reports real, not fake, news. Legislatures, executives, and courts are the institutions that together compose the three formal branches of a country’s government, with the media as the fourth branch serving to keep the other three branches honest by reporting on their activities. Part V moves beyond individual institutions to explore the politics of countries and the relations between them. Chapter 13 looks within individual countries, or states, to describe the different types of governing regimes, or systems of government, that exist around the world. The chapter highlights two main regime characteristics: how concentrated or distributed governmental power is, and how the government is structured. The broader the distribution of government power, the more democratic the country. The more concentrated the distribution, the more authoritarian the regime. Structurally, governing regimes can be unitary, where all legal authority resides with the national government, or they can be federal, like the United States, where national and state governments each have their own legitimate sources of power. Big questions concerning the relations among countries are at the heart of Chapter 14: International Relations . The chapter begins by discussing the different ways political actors wield power in the international system. The structure of the system and the different actors within it are then examined. Political scientists have different perspectives on how to interpret the motivations and behavior of countries in their relationships with each other, and the most prominent of these perspectives, including realism, liberalism, and constructivism, as well as critical theories that challenge traditional viewpoints, are outlined. As the countries of the world have interacted with each other, they have developed institutions to help overcome their collective dilemmas. Chapter 15: International Law and International Organizations introduces the purposes and work of the most important international organizations , such as the United Nations (UN), the European Union (EU), and the Association of Southeast Asian Nations (ASEAN). The chapter goes on to examine military alliances like NATO (the North Atlantic Treaty Organization ). These organizations all have countries as members, but the international political environment also contains important “non-state” actors, including legal ones, such as multinational corporations and financial institutions, and non-legal ones like drug cartels and terrorist groups. The chapter concludes with a discussion of the threats to the international order posed by terrorism and revolution. The final chapter focuses on the international political economy . International political economy concerns itself with the impact of political actions on domestic and international economies. If politics is about who gets what, when, where, how, and why, IPE tells us who the winners (who got) and losers (who didn't get) are, how they got that way, and analyzes the tactics they may employ to maintain or improve their position. Winners and losers may be governments, private interests, or social classes, among many others, and the chapter concludes with a discussion of current widespread crises confronting winners and losers with stark choices regarding poverty, inequality, and environmental degradation. Mark Carl Rom, Associate Professor of Government and Public Policy at the McCourt School of Public Policy and the Department of Government, Georgetown University Please explain what you do for your organization. I teach courses in US politics, public policy, data visualizations, and the role ethics and values play in politics. I have conducted research and published books and articles on many different topics: sex education, same-sex marriage, financial regulation, and welfare reform, among others. Some of my current research focuses on the college classroom as a political environment. What did you study in school? I majored in political science at the University of Arkansas. Before becoming a political scientist, I worked as a janitor, a field hand, a waiter, a ticket taker, a library clerk, a gas station attendant, an assembly-line laborer, and a backpacking guide, among other odd jobs. What did you learn as an undergraduate that helps you in this position? Classrooms raise questions regarding power, legitimacy, and consent. The allocation of grades depends on the classroom’s rules, its reality, and the choices that teachers and students make. How should grades be allocated, and how are they allocated? I want to find the answer to those questions. This text examines politics using a “micro (individuals) to macro (relations between countries)” framework. It begins by focusing on individuals, the building blocks of all political action: nothing happens in politics unless individuals are engaged in political activity. While all political behavior is ultimately individual behavior, in politics individuals typically band together with others to form political parties, interest groups, or even social movements. When groups are formalized—with set rules and practices, for example—they become institutions. The text examines the most important governmental institutions—legislatures, executives and executive agencies, courts, and bureaucracies. These are the institutions present in every government in the world. The news media is the most important nongovernmental institution. International relations involves the interactions among countries on matters of war and peace, as well the international political economy and globalization. Bagge, Peter. Woman Rebel: The Margaret Sanger Story . Montreal, Canada: Drawn and Quarterly, 2013. Coates, Ta-Nahesi. We Were Eight Years In Power: An American Tragedy . London: OneWorld Publications, 2018. Cohen, Cathy. Democracy Remixed: Black Youth and the Future of American Politics. Oxford, UK: Oxford University Books, 2013. Hersh, Eitan. Politics Is for Power: How to Move Beyond Political Hobbyism, Take Action, and Make Real Change. New York: Scribner, 2020. Roy, Arundhati. My Seditious Heart: Collected Nonfiction. Chicago: Haymarket Books, 2019. Thomas, Gillian. Because of Sex: One Law, Ten Cases, and Fifty Years that Changed American Women’s Lives at Work. New York: Picador Paper, 2017. civil liberties human freedoms with which the government may not interfere civil rights opportunities to which all humans are entitled that governments must act to protect collective action problem a collective dilemma in which the group would benefit if its members cooperated, but they have incentives not to do so, and these incentives ultimately harm not only the group but the individuals themselves collective dilemmas problems that arise when multiple individuals interact with one another to make a group decision courts an institution for resolving disputes executives the persons responsible for leading an institution human rights liberties and opportunities that humans have by virtue of their humanity legislature an institution composed of individuals who have the power to propose, deliberate, adopt, and alter the laws of a state political ideology a set of beliefs (or a systematic set of concepts) that helps individuals determine how they see the proper roles of citizens and their governments public opinion in empirical political science, the sum of individual opinions on the question being asked", "section": "Individuals, Groups, Institutions, and International Relations", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction What do people seek, and how do they behave? (credit: “Woman Exploring” by Matt Bango/stocksnap, CC0 1.0) Tensions are growing in the South China Sea. China, seeking to expand its sphere of influence, is building up its military capacity and presence. Taiwan considers itself an independent country; China considers Taiwan a breakaway Chinese province. The United States watches warily: it has been the dominant military and economic power in the region since World War II, it is a major trade partner with China, and it has a special relationship with Taiwan. “China, Mongolia, and Taiwan,” Office of the United States Trade Representative, https://ustr.gov/countries-regions/china-mongolia-taiwan. Will conflict lead to war, or can peaceful relations prevail? Chinese President Xi Jinping speaks. (credit: “14/11/2019 Sessão Plenária da XI Cúpula de Líderes do BRICS” by Palácio do Planalto/Flickr, CC BY 2.0) The grandest conflicts in international relations are ultimately based on the behavior of individual humans: political leaders, the citizens who support (or oppose) them, the decisions they make, and the actions they take. To understand politics—to understand who is doing what, when, and how—it is necessary to understand humans. Harold Lasswell famously defined politics as “who gets what, when, how.” Harold D. Laswell, Politics: Who Gets What, When, How, vol. 30 (New York: Whittlesey House, 1936). Our task in this section is somewhat different, as we are asking who does what. Understanding humans requires more than simply observing how they behave, however; it is also useful to attempt to discern their moral aspirations—to learn what they believe to be their higher goals. In this view, however China, Taiwan, and the United States choose to act, their actions will be about more than merely defending their material interests. These countries’ leaders are also pursuing their ideas of how the world should be structured, of what principles they espouse, and of what they believe political rules and goals ideally should be. This chapter will consider matters both normative and empirical , both philosophical and practical. Politics involves both lofty dreams and down-and-dirty actions. First the chapter considers aspirations, and then it turns to behavior.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Goals Should We Seek in Politics? Learning Outcomes By the end of this section, you will be able to: Identify four major questions in political philosophy. Define key terms in political philosophy. List major conceptions of social justice. Distinguish between political philosophies in principle and their application in practice. Humans seek a wide variety of goals through political action. Many of these goals are based on self-interest, including the pursuit of power . But is pursuing self-interest the highest and best goal for political action? Or is it possible to identify goals that go beyond “give me more of what I want”? Efforts to define these goals take us into the realm of normative political theory—political philosophy, which was introduced in Chapter 1: What Is Politics and What Is Political Science? . As it is not possible to demonstrate empirically what people should seek, normative political theory relies on logic and persuasion. Normative political theorists are less interested in describing who people are and what they do, and more concerned with who people could be and what they should do. The distinction between how the world is and how it should be is not always clear. For the big questions posed below, some have argued that answers exist, and that it is the human task to find them. Others contend that humans create the answers to our biggest questions. A nonpolitical analogy is the question “Does mathematics exist independently of human minds so that humans discover it, or do humans actually create it themselves?” This question cannot be answered by evidence—there is no proof regarding the origin of mathematical proofs—so advocates of each position appeal to our moral intuitions and our ability to reason. What Are Human Rights? Which rights should be called human rights is a core question in political theory. Human rights can be thought of in three main ways. One is that human rights exist; although unobservable, they are real, just as gravity is real. It may not be possible to know their source, but various philosophers have contended that they exist through God, nature, or human reason. From this perspective, people do not create human rights, nor must they earn them. Human rights are inalienable : they cannot be denied, taken away, or transferred to anyone else. This word is sometimes spelled unalienable; either way, the meaning is the same. The United Nations (UN) takes this position, describing human rights as “rights we have simply because we exist as human beings—they are not granted by any state. These universal rights are inherent to us all, regardless of nationality, sex, national or ethnic origin, color, religion, language, or any other status. They range from the most fundamental—the right to life—to those that make life worth living, such as the rights to food, education, work, health, and liberty.” “What Are Human Rights?” United Nations, Officer of the High Commissioner for Human Rights (OHCHR), accessed April 2, 2021, https://ohchr.org/EN/Issues/Pages/WhatareHumanRights.aspx. Alternately, human rights can be seen as a human invention—a social construction or a creation. In this view, unlike gravity, which exerts its force whether or not humans recognize it, political action is necessary to create and protect human rights. The basis for this view comes from observing the world around us. If you look around you will see poverty, homelessness, discrimination, and violence. Billions of individuals can attest to the fact that they do not themselves have access to the human rights that are often called inalienable. From this perspective, human rights are created through political action: they are what people define them to be. There is yet a third possibility: that human rights (like gravity) are inherent, but too often ignored. Human rights are not created, but discovered. One of the tasks of political theory is to discern what these rights are, and one of the obligations of political actors is to bring these rights into practice. That countries have often failed to protect these rights reveals the flaws of political action, not the absence of the rights themselves. Human rights are so important to politics that this book examines them in multiple places. Chapter 4 focuses on civil liberties —freedoms of conscience, worship, and speech, as well as the rights to privacy, among others. Civil liberties involve the freedoms that humans have (or, alternately, should have) to live their lives according to their own directions and purposes, without governmental interference. Chapter 7: Civil Rights examines civil rights , another form of human rights that are most often considered rights that are affirmed to specific groups that have previously been denied their rights, such as for example when African Americans in the United States were guaranteed the right to vote through the 15th Amendment to the US Constitution and when the 19th Amendment extended voting rights to women. Freedom of expression is a human right. (credit: “2018 Freedom of Expression Awards” by Index on Censorship/Flickr, CC BY 2.0) Consideration of human rights is central to international law , organizations, and treaties, so the book again turns to these rights in Chapter 15: International Law and International Organizations . The United Nations has been a leading voice advocating for human rights, especially through its Universal Declaration of Human Rights (UDHR), although many other national and international organizations have also made the definition and promotion of human rights central to their activities. “Universal Declaration of Human Rights,” United Nations, https://www.un.org/en/about-us/universal-declaration-of-human-rights. What Is Social Justice? As with human rights, it is worth asking whether such a thing as social justice actually exists, or whether, in the words of the philosopher Friedrich Hayek , social justice is a “mirage.” F. A. Hayek, Law, Legislation, and Liberty, Volume 2: The Mirage of Social Justice (Chicago: University of Chicago Press, 1978). Rather than engaging in the debate as to whether social justice is a human invention or an eternal verity, this chapter instead explores the most important, often competing, definitions of social justice that have been proposed. There are as many different definitions of social justice as there are differing conceptions of justice itself. The common element across the various perspectives is that social justice is achieved when the distribution of opportunities, resources, and rights is equitable, or in simpler terms, fair. A brief, general outline of some of the most prominent conceptions of social justice in the Western tradition is helpful before turning to critiques and alternative views. Utilitarianism Utilitarianism is the belief that there is one measure of worth in society: “utility” (hence the name utilitarianism ), or what one might call happiness or well-being. Julia Driver, “The History of Utilitarianism,” in The Stanford Encyclopedia of Philosophy , ed. Edward N. Zalta (Stanford, CA: Metaphysics Research Lab, Stanford University, 2014), https://plato.stanford.edu/archives/win2014/entries/utilitarianism-history/. In the utilitarian view, the goal of society is to maximize human happiness and human welfare. This is sometimes summarized as calling for “the greatest happiness for the greatest number,” but that description is not quite complete. Utilitarians also want to avoid unhappiness if possible. What matters is net happiness, that is, the sum of all happiness minus the sum of all unhappiness, so increasing happiness and reducing unhappiness are both valuable social goals. A just society maximizes human happiness. This implies that a good government is one that chooses policies that maximize “utility.” A central challenge to utilitarianism is how to measure human happiness. John F. Helliwell, Richard Layard, Jeffrey D. Sachs, Jan-Emmanuel De Neve, Lara B. Aknin, and Shun Wang, World Happiness Report 2021 (New York: Sustainable Development Solutions Network, 2021), https://worldhappiness.report/. Like power , happiness cannot be measured directly. Imagine that a country—say, Kenya—is deciding whether to create a new national park with a diverse ecosystem and magnificent vistas, preserving these in perpetuity. Hubert Cheung, “Tourism in Kenya’s National Parks: A Cost-Benefit Analysis.” SURG Journal 6, no. 1 (2012): 31–40, doi:10.21083/surg.v6i1.2019. Creating this park will also prevent economic development on those lands and, unfortunately, displace those who live there. Will creating the park increase net human happiness? Depending on how the calculations are done, the answer could be either yes or no, so it is not always possible to know which answer is correct. Utilitarianism has had a profound impact on public policies around the world. Governments use cost-benefit analysis, which is based on utilitarian principles, to analyze their policies and policy proposals. “Cost-Benefit Analysis,” Center for Effective Government, https://www.foreffectivegov.org/node/3470; “Cost-Benefit Analysis,” Office of Economic Policy, USAID, last updated July 12, 2021, https://www.usaid.gov/what-we-do/economic-growth-and-trade/promoting-sound-economic-policies-growth/working-more. As the name implies, cost-benefit analysis tries to identify all the various costs (e.g., financial, environmental, and social) and benefits of a policy. If total benefits exceed total costs, the policy is seen as enhancing utility and so should be adopted. Libertarianism Libertarianism rejects the idea that maximizing net happiness produces a just society. Robert Nozick, Anarchy, State, and Utopia (New York: Basic Books, 1974). Libertarians claim that individual rights should not be violated, even if doing so increases net social utility. Social justice , in the eyes of libertarians, results when individual liberties (hence the name libertarianism ) are most fully protected from the state and from others. Bas van der Vossen, “Libertarianism,” in The Stanford Encyclopedia of Philosophy , ed. Edward N. Zalta (Stanford, CA: Metaphysics Research Lab, Stanford University, 2019), https://plato.stanford.edu/archives/spr2019/entries/libertarianism/. Here is a simple example. If a Robin Hood steals the belongings of one rich person and gives them to the poor, society as a whole may be happier because those who received the goods are now much happier (“higher utility”), and only the one rich person is now unhappy. William Kottmeyer, The Robin Hood Stories . (St. Louis, MO: Webster Publishing Company, 1952). In its simplest form, utilitarianism might approve of Robin Hoods, to the extent that their actions increase net happiness. Libertarians reject this, arguing that the rights of the rich person were violated, and that this is impermissible even if it makes society in general happier. Is social justice served when Robin Hood steals from the rich and gives to the poor? (credit: “Robin Hood” by It’s No Game/Flickr, CC BY 2.0) Our instant reaction might be that, of course, thievery is wrong. A libertarian would respond that almost any action by governments or individuals that deprives us of our liberty or property is thievery. Taxes? The government is stealing my money. Environmental regulations? The government is robbing me of my rights to use my property as I wish. Speed limits and gun regulations? The government is depriving me of my liberty to drive as I wish or use guns as I please so long as my driving or gun use does not directly threaten others. As you might guess, there is substantial disagreement as to what constitutes a threat. One person might believe that carrying a handgun makes them safer without harming others, while some might believe that the very presence of guns makes them insecure. As a result, libertarians claim that social justice is created through a political system that maximizes individual liberty and protects individual rights, with a government dedicated to securing those goals with minimal rules at minimal cost. A libertarian country would require military and police forces because these are necessary to protect rights and preserve order, and citizens must be taxed to pay for these protections. According to the most ardent libertarians, virtually all other government functions (such as education, health care, and welfare programs) are illegitimate if they require taxes to pay for them because taxes are seen as theft. Rather than the government providing these goods and services, individuals should have the freedom to purchase them through the open market. Reason (https://reason.com/) is a good source of contemporary articles advocating for libertarianism. Marxism “From each according to his abilities, to each according to his needs.” Karl Marx and Friedrich Engels, Critique of the Gotha Programme (London: Electric Book Co., [1891] 2001). This is the essence of the social justice views of Marxism , an ideology associated with the political and economic theories of Karl Marx and Friedrich Engels . Although these theories are wide ranging and complex, the core element of Marxism that relates to social justice concerns how material resources should be produced and distributed. According to Marxists, a society is just when both economic and labor contributions and needed resources are distributed properly, without discrimination. In his writings, Marx explicitly rejected capitalism . Capitalism is an economic system in which the “ means of production ” (raw materials, facilities, machinery, tools, and so forth) are privately owned, and individuals are assumed to be motivated primarily by acquisitiveness. The production of goods and services is based on supply and demand, with the vast majority of the population selling their labor to the capitalists in return for wages. Marx considered capitalism to be fundamentally coercive and unjust, with the working class exploited. Under capitalism, government and politics serve only the interests of the capitalists, as “the State is nothing more than a machine for the oppression of one class [that is, labor] by another [the capitalists].” Karl Marx, Civil War in France (New York: International Publishers, [1871] 1937), 19. According to Marx, political systems do not create economic systems. Instead, the “economic structure of society [is] the real foundation on which rise moral, legal and political superstructures,” Karl Marx, A Contribution to the Critique of Political Economy (Chicago, IL: C. H. Kerr, [1859] 1911), 11. and “the modern state, no matter what its form, is essentially a capitalist machine.” Karl Marx, Frederick Engels, and V.I. Lenin, On the Dictatorship of the Proletariat (Moscow, USSR: Progress Publishers, [1925] 1984), 243. The creation of a just society, according to Marx, thus calls for a radical reordering of society, a revolution. Class distinctions, and hence the conflict between workers and capitalists, must be eliminated. In a just society, government would no longer be needed, as the only real purpose of government is to protect the interests of the capitalists. In such a society, communism , in which all people share equally in the creation and allocation of goods, and within which all people are truly free because they are no longer subject to class repression, would prevail. Today there are only five countries—China, Cuba, Laos, North Korea, and Vietnam—that label themselves as communist. “Communist Countries,” World Atlas, accessed August 6, 2021, https://www.worldatlas.com/which-countries-are-still-communist.html. In none of these countries do all residents share goods equally, as political elites (discussed in Chapter 6: The Fundamentals of Group Political Activity ) ultimately control the allocation of resources. Yet the principles that motivate advocates of Marxism have had a profound impact on countries around the world, especially through well-established political parties (variously named some permutation of socialist, social democratic, or labor) in many countries as well as prominent advocates such as Senator Bernie Sanders in the United States. For the US version of democratic socialism, see Gary J. Dorrien, American Democratic Socialism: History, Politics, Religion, and Theory (New Haven, CT: Yale University Press, 2021). Rawls’s Theory of Justice One of the most influential political philosophers of the 20th century was John Rawls , who offered a comprehensive theory of justice. John Rawls, A Theory of Justice (Cambridge, MA: Belknap Press of Harvard University Press, [1971] 1999). To understand Rawls’s ideas, imagine that you (or any other rational person) could design the allocation of rights and resources for all the citizens of the world, and that you would then be placed in this world. However, while designing this world you would not know who you would actually be in the world you created; in designing it, you would be operating from behind a “veil of ignorance.” What kind of world would the rational person create? Not one with great poverty or other large inequalities, because it is possible that the designer could be poor or the victim of those inequalities. As a result, any rational person would design a world using two basic principles. First, not knowing who you would be in this world, you would give everyone the same basic liberties and rights (you wouldn’t want to design a world in which you would be deprived of your rights, would you?). Second, as a rational person you would distribute resources (income, wealth, responsibility, power, respect, etc.) so that inequalities would be allowed only to the extent that they would benefit the least well off. For example, an inventor could earn a higher-than-average income if the invention served to improve the lives of those with less income. These ideas give us a tool to evaluate the policies and practices of countries. Would a just society allow racial or ethnic discrimination? No, because the person designing the society from behind the veil of ignorance would not know which racial or ethnic group they would be in once placed in the world: as a result, the rational designer would ensure that no such discrimination existed. Rawls’s theory of justice implies that anyone acting rationally behind the veil of ignorance would create a just world. Rawls makes a logical case for adopting his principles, and they are closely related to the “Golden Rule” (“do unto others as you would have them do unto you”), elements of which have been a common feature of the world’s religions since antiquity. African Americans and Social Justice Countless African Americans devoted their lives to advancing the cause of social justice , but the ideas and activism of four African Americans—Booker T. Washington , Ida Wells , W. E. B. Du Bois , and Martin Luther King Jr.—merit special attention regarding social justice. For Washington, DuBois, and King, see Robert Michael Franklin, Liberating Visions: Human Fulfillment and Social Justice in African-American Thought (Minneapolis, MN: Fortress Press, 1990); for Wells, see Ida B. Wells, Crusade for Justice: The Autobiography of Ida B. Wells , 2nd ed. (Chicago, IL: University of Chicago Press, 2020). Anyone thinking and writing about social justice will be influenced by their own specific experiences, and these four individuals came of age in a country that proclaimed a view of the good society (“with liberty and justice for all”) that was denied to them because of their race. These thinkers were also activists; they were less concerned with how to define social justice than with how to obtain it. In their focus on social justice, these individuals recognized that institutional reform was essential, as justice could not prevail unless the branches of government supported it. Martin Luther King Jr. (center left) and Malcolm X (right) both sought social justice, though they differed regarding what that required. (credit: “Martin Luther King and Malcolm X after King’s press conference at the US Capitol about the Senate debate on the Civil Rights Act of 1964” by Marion S. Trikosko/US News & World Report Magazine Photograph Collection/Library of Congress, Public Domain) Booker T. Washington (1856–1915), who was born into enslavement but advanced to become perhaps the most politically influential African American of his period, called for Black empowerment through education and entrepreneurship. Louis R. Harlan, Booker T. Washington: The Making of a Black Leader, 1856–1901 (New York: Oxford University Press, 1972); Louis R. Harlan, Booker T. Washington: The Wizard of Tuskegee, 1901–1915 (New York: Oxford University Press, 1983). In Washington’s eyes, “political activity alone cannot make a man free . . . he must have property, industry, skill, economy, intelligence, and character.” Booker T. Washington, Up from Slavery (New York: Penguin Books, [1901] 1986). W.E.B. Du Bois (1868–1963), an early leader in the struggle for racial equality in the United States, advocated for a social justice that would recognize universal human rights while also incorporating a special concern for those groups who had been oppressed and marginalized. Sean Elias, “W. E. B. Du Bois, Race, and Human Rights.” Societies without Borders 4, no. 3 (2009): 273–294. doi:10.1163/187188609X12492771031492; see also Robert Gooding-Williams, “W. E. B. Du Bois,” in The Stanford Encyclopedia of Philosophy , ed. Edward N. Zalta (Stanford, CA: Metaphysics Research Lab, Stanford University, 2020), https://plato.stanford.edu/archives/spr2020/entries/dubois/. As one of the founders of the NAACP , Du Bois conducted path-breaking research on Black communities and wrote The Study of the Negro Problem , Souls of Black Folks , Black Reconstruction in America , and many other books. He insisted that full civil rights and political representation for African Americans were preconditions of justice. Ida Wells (1862–1931) was also born into enslavement. As a freed adult, she was a journalist and an advocate for rights for African Americans and women, as she helped establish the NAACP as well as other organizations supporting women’s rights. For a discussion of Wells and other female activists during the early-20th-century Progressive era, see Stacey Ellen Sheriff, “Rhetoric and Revision: Women’s Arguments for Social Justice in the Progressive Era” (PhD diss., Pennsylvania State University, 2009). She was best known for documenting the lynching of African Americans and the use of lynching as a tool of racial oppression, and for inspiring the anti-lynching movement. Not until 2018 did the United States enact legislation labeling lynching as a hate crime. Louis P. Masur, “Why It Took a Century to Pass an Anti-Lynching Law,” Washington Post, December 28, 2018, https://www.washingtonpost.com/outlook/2018/12/28/why-it-took-century-pass-an-anti-lynching-law/. One of her many legacies is the Ida B. Wells Society for Investigative Reporting , which encourages journalists to expose governmental injustices and to defend the vulnerable. “Ida B. Wells Society for Investigative Reporting,” Hussman School for Journalism and Media, University of North Carolina, http://hussman.unc.edu/ida-b-wells-society-investigative-reporting. The Reverend Martin Luther King Jr. (1929–1968) was a radical advocate for social justice . He said of the uprisings in the late 1960s: “The black revolution is much more than a struggle for the rights of Negroes. It is forcing America to face all its interrelated flaws—racism, poverty, militarism, and materialism. It is exposing evils that are rooted deeply in the whole structure of our society. It reveals systemic rather than superficial flaws and suggests that radical reconstruction of society itself is the real issue to be faced.” Quote appears in Keeanga-Yamahtta Taylor, “How Do We Change America?” Department of African American Studies, Princeton University, June 8, 2020, https://aas.princeton.edu/news/opinion-how-do-we-change-america. Social justice required societies to simultaneously address all their social ills, to actively work to end all forms of discrimination. Still, King was hopeful that “we will be able to . . . achieve the ideal, the goal of the new age, the age of social justice.” Kate Langan, “Dr. Martin Luther King, Jr.’s Visit to WMU: Transcription of MLK’s WMU Speech and Q&A Session,” accessed August 16, 2021, https://libguides.wmich.edu/mlkatwmu/speech. Gandhi’s Philosophy Influential political ethicist Mohandas Gandhi (whose first name came to be changed by his many supporters to \"Mahatma,\" a term used in Indian culture to describe a person widely admired and respected) (1869–1948) led the nonviolent struggle in India against British rule. Although he never wrote explicitly about social justice, his writings—a “mixture of political science, spirituality, religion, and ethics”—frame his understanding of what a just society would look like. Shailender Kumar Tiwari, “Social Justice: Gandhi and Ambedkar,” The Indian Journal of Political Science 70, no. 2 (2009): 429–439, https://www.jstor.org/stable/42743907. Like Western political philosophers, Gandhi emphasized the dignity of the individual and a respect for human rights. Unlike most Western writers, however, Gandhi’s vision focused not just on rights but also on duties: “Civilization is that mode of conduct that points out to man the path of duty.” Similar to Marx , Gandhi called for resources to be allocated so that “each man shall have the wherewithal to supply his needs and no more.” Seeing the state as a source of violence against its people, he favored a minimalist government, with the long-term goal of harmonious local rule. But political freedom would mean little without social and economic freedom. For Gandhi, a just society would arise not through an armed revolution, but only through a nonviolent one. Non-Western and Feminist Critiques The astute reader will note that these conceptions of social justice have all been proposed by men from Europe and the United States (with the exception of Gandhi, who nonetheless received a Western education, but remember also that Malcolm X embraced Islamic principles). They seek to make universal claims applicable to all people in all places at all times. These ideas have had broad, deep, and lasting impacts on politics around the world. Principles of utilitarianism and libertarianism have become embedded in the constitutions and policies of virtually every country. Marxism has influenced revolutions in Africa, Asia, and Latin America. Although not as influential worldwide (at least not yet), the Rawlsian conception of justice has had a broad impact on policy in the United States, including policies addressing racism and economic inequality. Western theories of social justice generally begin with the individual, so, for example, social justice is obtained when individual happiness or personal liberty is maximized. These Western and male conceptions of social justice hardly exhaust the possibilities—maximizing happiness or liberty are not the only goals of social justice—and non-Western voices have been marginalized or ignored. Amartya Sen, The Idea of Justice (Cambridge, MA: Belknap Press of Harvard University Press, 2013). Westerners have been accused of exporting to Africa their notions of social justice that were “out of tune with the local context [and] based on an individualized view of justice.” True social justice, in contrast to Western philosophy, would recognize “the primacy of the community over the individual—[with an] emphasis on diversity and the rights of cultural communities (defined in terms of traditions and languages), as well as respect for human rights within each community.” John de Coninck, Julian Culp, and Vivience Taylor, African Perspectives on Social Justice (Uganda: Friedrich Ebert Stiftung, 2013), 6, 8. As University of Cape Town professor Vivien Taylor puts it, “The values of competitiveness, individualism, survival of the fittest, and overconsumption . . . are at odds with the values of social justice. These values . . . are based on social solidarity, communitarianism, social and economic inclusion, and subsidiarity.” Viviene Taylor, “Social Justice: Reframing the ‘Social’ in Critical Discourses in Africa,” in African Perspectives on Social Justice , eds. John de Coninck, Julian Culp, and Viviene Taylor (Uganda: Friedrich Ebert Stiftung, 2013), 14. Note: Subsidiarity is the idea that governmental power should be assigned to the smallest feasible level (e.g., the village) rather than to the national government. University of Chicago professor Martha Nussbaum expands this vision of social justice to argue that humans have a collective obligation to care for each other, to provide the essential needs required for humans to have lives of dignity, and to live cooperatively with others. Martha C. Nussbaum, “Beyond the Social Contract: Capabilities and Global Justice. An Olaf Palme Lecture, Delivered in Oxford 19 June 2003,” Oxford Development Studies 32, no. 1 (2004): 3–8. Moreover, excluding or marginalizing people from the process of determining the principles of social justice is itself an injustice. Julian Culp, “The Problem of Undemocratic Side Effects to Democracy Promotion,” in African Perspectives on Social Justice eds. John de Coninck, Julian Culp, and Viviene Taylor (Uganda: Friedrich Ebert Stiftung, 2013), 26–44. In alignment with African scholars, Islamic principles of justice, which emphasize altruism and helping others, also reject the Western preoccupation with individualism. According to Islamic scholars, Western theories of social justice are incomplete because they fail to identify the ultimate source of what is right and wrong. These scholars argue that Allah, who knows what is best for all humans, provides. “Human beings are created for the sole purpose of worshipping the One God through the engagement of good things and avoidance from engaging in wrong things.” Al-Hasan Al-Aidaros, Faridahwati Mohd-Shamsudin, and Kamil Md. Idris, “Ethics and Ethical Theories from an Islamic Perspective,” International Journal of Islamic Thought 4, no. 1 (December 2013): 1–13. doi:10.24035/ijit.04.2013.001. Social justice is obtained when humans abide by Allah’s words. Feminist scholars have criticized the ideas of Western thinkers Hobbes and Locke as relying on “arguments of social convenience and men’s superior strength to justify the continued subordination of women.” Valerie Bryson, Feminist Political Theory , 3rd ed. (New York: Palgrave, 2016), 9. Feminist academics have used Marxist ideas to analyze the oppression of women under capitalism , although other scholars have argued that Marxism is based on a male viewpoint that ignores the reality women experience. Ibid, 64. Feminist political philosopher Susan Moller Okin has argued that, if Rawls were to be taken seriously, for example, the inequities women face in society and within the family would be considered unjust. Susan Moller Okin, Justice, Gender, and the Family (New York: Basic Books, 1989). In short, male views of social justice do not necessarily represent female perspectives, and there is a diverse literature by feminist scholars. You can find current scholarly engagement in social justice by female political scientists at the “Women Also Know Stuff” website (https://womenalsoknowstuff.com/) with the keyword search “social justice.” What Is the Purpose of Government? There is no unanimity on the question of the proper purpose of government, as different individuals have proposed different answers at different times. In the mid-1600s, the political philosopher Thomas Hobbes argued that if governments didn’t exist—that is, if individuals lived in a “state of nature”—then the lives of humans would be “solitary, poor, nasty, brutish and short.” Thomas Hobbes, Leviathan (Mineola, NY: Dover Publications, [1651] 2006). For Hobbes, then, the principal purpose of government would be to remove the people from the state of nature and to promote their security. The European Parliament building is located in Strasbourg, France. The European Union is an attempt to bring multiple countries together to govern themselves. (credit: \"Outside the building of the European Parliament in Strasbourg\" by European the building of the European Parliament in Strasbourg” by European Parliament/Flickr, CC BY 2.0) But how would a government arise? Hobbes’s answer was that governments would be established through what is called a social contract . A business contract is an agreement between two or more parties regarding the specific rights and obligations of each party. You likely signed such a contract for your phone: you agreed to provide a set amount of money to receive a specific package of phone services. A social contract, in contrast, is not an actual contract but a metaphorical one. It contains two main elements. First, the individuals involved decide to collectively give up some of the freedoms they had in the state of nature, such as the freedom to commit violence against each other. Second, they delegate the authority and power to enforce this contract to a person (such as a king) or assembly of people (say, a parliament)—that is, to the state. English philosopher John Locke had a more benign view of human nature. He believed that in the state of nature, humans would have complete liberty to live their life as they saw fit, without interference from others. John Locke, Two Treatises of Government , ed. Peter Laslett (Cambridge, UK: Cambridge University Press, [1689] 1960). In Locke’s view, all God’s children are forbidden to deprive each other of “life, health, liberty, or possessions.” Disputes could nonetheless arise, leading to violence, which would become self-perpetuating unless there was an entity—the state, again created through a social contract—to prevent wars from breaking out and to end them when they do. Because conflicts could arise over life, health, liberty, and possessions, the social contract would need to protect them. In the 1700s, Scottish philosopher David Hume reasoned that the primary purpose of government was to provide public goods . A public good is a resource that a) benefits everyone, because it cannot be withheld from anyone and b) is not used up when individuals benefit from it. Streetlights, clean air, and national defense are examples of public goods. Everyone using streets benefits from streets that are well lit, and the light cannot be withheld from anyone traveling down that street. Because streetlights (and other public goods) can be expensive, no one has a personal incentive to put them up. Unless some collective entity (such as a government) provides public goods, they will not be produced in sufficient quantities. To provide public goods, governments impose taxes, issue threats, or provide incentives. For Hume, the social contract expanded its purpose to include the governmental provision of public goods, with governments having the power to impose and collect taxes on the public to pay for these goods. Purpose in Principle If Hobbes , Locke , and Hume are correct, one might conclude that the two most fundamental purposes of government are to protect individuals from one another and to provide public goods (taken together, to promote the general welfare). Through the social contract , citizens agree to give up some of their liberties and their resources in return for protection and public goods. This raises the social contract question: How much liberty should people give up, and how much government (protection and public goods) do they need? If there were no law enforcement, people might have near-total freedom (I can do anything I want without fear of arrest!) but presumably very little order. If there were law enforcement officers at every corner, there might be lots of order but at the cost of highly restricted liberties. What is the right balance? There is no simple answer. This tension between liberty and order, which Hume identified in his essay on the “Origin of Government,” David Hume, Essays: Moral, Political, Literary, ed. Eugene F. Miller (Indianapolis, IN: Liberty Fund, 1987). remains one of the most important challenges to designing governments and choosing public policies and the major point of disagreement between those wanting freer societies and those wanting more orderly ones. One of the most eloquent statements regarding the purposes of government can be found in the preamble to the United States Constitution: We the people of the United States, in order to form a more perfect union, establish justice, insure domestic tranquility, provide for the common defence, promote the general welfare, and secure the blessings of liberty to ourselves and our posterity, do ordain and establish this Constitution for the United States of America. According to the preamble, the government’s purpose is to serve the people, provide for peace and prosperity, protect liberty, and promote justice. Has the American government succeeded in providing all of these things to all of its citizens? Certainly it did not initially; when the Constitution was written, women and Native Americans were not protected by its provisions, and Black people were considered property, without any citizenship rights. Even today there is heated debate as to whether the US government has fulfilled its fundamental purposes. Purpose in Practice Did you know that the powerful concepts embedded in the US Constitution also formed the preamble to the Constitution of the Confederate States of America, the enslaving states that broke away from the United States prior to the American Civil War? “Constitution of the Confederate States of America,” US Constitution, accessed April 12, 2021, https://usconstitution.net/csa.html#Preamble. Just as no country completely fulfills the goals of the Universal Declaration of Human Rights (UDHR), there is no guarantee that the high aspirations and purposes incorporated into a nation’s foundational documents will be put into practice or even that people will agree on what these foundational documents truly say. Constitutions are not written by angels: they are written and implemented by groups of individuals who have their own self-interests and biases as well as their own view of the common good. Regarding the US Constitution, evidence suggests that the economic interests of the founders were certainly important—the framers had their own class interests to protect—but that other factors, such as their ideological beliefs, the opinions of their constituents, and their view of what was best (in the public interest) for their state were equally important. Robert A. McGuire, To Form a More Perfect Union: A New Economic Interpretation of the United States Constitution (Oxford, UK: Oxford University Press, 2003). History is replete with evidence that the actual purposes of those serving in government align most with preserving or expanding their power, even though they may claim they are acting in the public interest. Consider Turkish President Recep Erdoğan. Ostensibly to protect the country from perceived external and internal threats, Erdoğan has dramatically consolidated his power and the power of his inner circle, leading the formerly democratic country in the direction of authoritarianism . Around the world, numerous countries have used the pretense of the COVID-19 pandemic to become more authoritarian, emphasizing obedience to rulers at the expense of the rights of the citizens. Individuals are often willing to sacrifice some liberty if doing so helps protect them from real or perceived danger (think about increased screening at airports with the stated goal of preventing terrorist attacks), and governments can take good-faith steps to protect their citizens. Still, it is likely that governments expand their powers primarily for their benefit, not for the benefit of their citizens. Erdoğan Moves to Consolidate Power After Failed Military Coup Questions regarding the unsuccessful July 15, 2016 attempted military coup in Turkey suggest that Turkish president Recep Erdoğan may have had some role in arranging the coup to provide a pretext for his efforts to consolidate his political power. Who Should Rule? If governments exist to protect their citizens and those citizens’ rights, who should rule the government? Jonathan Wolff, An Introduction to Political Philosophy (Oxford, UK: Oxford University Press, 2016). The possibilities range from a single person with sole and supreme power, to all citizens, with each participating with equal importance in making decisions. In ancient Egypt, the pharaohs ruled for thousands of years under the accepted belief that they were gods. To early Greek philosophers, the rulers should be those best fit to rule: the virtuous philosopher-kings. Today, those countries ruled by a single person—countries such as North Korea, Saudi Arabia, Syria, and Turkmenistan—justify this on the basis of divinity, virtue, or both. Many countries—China, Cuba, and North Vietnam, for example—are constituted on the belief that one party should rule because only that party can represent the true will of the people. The Chinese Communist Party believes that it is the sole legitimate source of political power in that country and thus should make all political decisions. The view that “we, the people” should rule is at the heart of democratic political theory. Most countries in the world today proclaim that they are democracies. But labeling a country a democracy does not answer three main questions each country must ask about who should rule. Who comprises the “we”? All countries limit their “we” to certain groups. The United States did not grant the vote—the ability to participate in making ruling decisions—to African Americans or to women for much of its history, and even today many states are trying to make it harder to vote. Most countries only allow citizens to vote; some countries expand this right to noncitizens. How much power should citizens have? In a pure direct democracy , all political decisions are made collectively by all voters. No country today practices pure direct democracy, for both practical and philosophical reasons. Practically speaking, how do you get millions of people together to discuss and vote on every issue? Philosophically, many believe it is reasonable to ask whether voters are wise and knowledgeable enough to make all of a country’s political decisions and still have time and room in their lives to do all the other things that make a society. Instead, most democratic countries are representative democracies , in which voters elect individuals to represent their interests within a legislature. Is democracy better than other forms of government? This is debatable. Former Prime Minister of the United Kingdom Winston Churchill is famously quoted as saying that “democracy is the worst form of Government except for all those other forms.” “The Worst Form of Government,” International Churchill Society, https://winstonchurchill.org/resources/quotes/the-worst-form-of-government/. Since antiquity, political philosophers and practitioners have worried that democracy will inevitably become mob rule, with citizens who—rather than make wise decisions in the public interest—seek to exploit minorities, rob the wealthy, and otherwise favor policies and leaders who are nasty and brutish, as Hobbes feared regarding the absence of government. According to some, rather than expanding the right of the people to rule, “ignorant and incompetent” voters—that is, most of them—should be excluded from political decision-making. Jason Brennan, Against Democracy (Princeton, NJ: Princeton University Press, 2016). Political philosophy seeks to comprehend the answers to questions concerning the nature of human rights, social justice, and the purpose of government. Political philosophy is not automatically translated into political practice. In practice, human rights, social justice, and governmental purposes are determined by real people in real situations. As a result, it is necessary to turn to the actual behavior of actual humans. As you will learn if you take a course in psychology, social science has four main goals: to describe, explain, predict, and (sometimes) change behavior in general. To the extent that political science seeks to do the same things in the more limited realm of political behavior, it both relies on psychological principles and contributes to them. Political psychology is the subfield of political science that focuses on the mental processes that determine how individuals behave when they engage in or withdraw from political activity. One of the most influential studies in political psychology (cited over 20,000 times by other scholars), written in 1950 but especially relevant today, is The Authoritarian Personality. Theodor W. Adorno, The Authoritarian Personality (New York: Harper, 1950). It tries to answer questions like “What makes a fascist? Are there character traits that make someone more likely to vote for the far right?” The authors answer their question by claiming that a fascist is a person with certain character traits developed in childhood (such as aggressiveness, destructiveness, and cynicism, among many others) and that people with these traits will be more likely to vote for candidates who are ultranationalist, authoritarian, and nativist. This book unleashed a massive amount of research on whether there are political personalities, how to define them, and what impacts they have on political behavior. Should you take a course in psychology, you will learn more about human personality. What are human rights? What is social justice? What is the purpose of government? Who should rule? Political philosophers focus on questions like these. Various answers have been suggested. None of the answers are universally accepted, in part because any answers are based at least in part on the context in which they are offered. Social justice, for example, has been defined in terms of maximizing social welfare (“utility”) or individual liberty. Marxists define social justice as a system in which all people share equally in the creation and allocation of goods and within which all people are truly free because they are no longer subject to class repression. Rawls’s theory of social justice is based on the concept of the choices rational beings would make behind the “veil of ignorance.” Non-Western thinkers, feminist scholars, and Black philosopher/activists have developed perspectives that challenge the dominant, Western, male definitions of social justice. Real people engaging in political action—not philosophical conceptions of human rights, social justice, the purpose of government, and just rule—determine how these concepts play out in practice. Those who rule a country ultimately determine what the actual purposes of the government will be, what kinds of justice the country will embrace, and what rights will be protected for those living there. authoritarianism a nondemocratic form of government with centralized power and limited civil rights and liberties capitalism an economic system in which the means of producing and distributing goods are privately owned and individuals are assumed to be motivated by acquisitiveness civil liberties individual freedoms, such as free speech or freedom of religion, that are protected from governmental interference civil rights rights that governments must act to protect for individuals in certain groups (such as ethnic groups or sexual identities); for example, for voting rights to exist, the government must provide ballots in a language that the voter can understand communism an economic system in which property is collectively owned and assumed to be used for the common good direct democracy a system of government in which all decisions are made, usually by voting, through the participation of all citizens human rights the fundamental, inalienable rights individuals have by virtue of being persons inalienable that which cannot be taken, transferred, or withdrawn from a person libertarianism the political philosophy that holds that individual rights or liberties should not be restricted unless an individual’s behavior causes direct harm to others Marxism the term that is used to label the political philosophy of Karl Marx and Friedrich Engels, which holds that a society is just when both economic and labor contributions and needed resources are distributed properly, without discrimination public goods resources that benefit everyone because they cannot be withheld from anyone and are not used up when individuals benefit from them representative democracy a system of government in which citizens elect individuals to represent their interests within a legislature social contract a hypothetical contract in which individuals collectively give up some of their freedoms in return for receiving protection social justice the equitable distribution of opportunities, resources, and rights within a community utilitarianism the political philosophy holding that the goal of society is to maximize human happiness", "section": "What Goals Should We Seek in Politics?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Why Do Humans Make the Political Choices That They Do? Learning Outcomes By the end of this section, you will be able to: Identify the principal forms of human decision-making. Distinguish between instrumental, or strategic, and noninstrumental, or expressive, elements of human behavior. Identify the two main interests people have in their political decisions. Human behavior is incredibly complex and not entirely understood, and it varies from person to person. Like fingerprints, each person is unique. No description of human behavior can possibly encompass the total behaviors of every individual. In order to describe human behavior, it is necessary to simplify. In simplifying, it is not possible to explain everything about human behavior, but it is possible to highlight its main features. Humans Make Decisions in Two Main Ways Empirical political science tries to understand two main elements of human political behavior: the directly observable and the indirectly observable. Behaviors themselves are directly observable. Understanding why individuals act as they do when they engage in political action or when they refrain from participating requires an inquiry into mental and psychological processes, which, in the absence of brain scans, are not directly observable. In the real world of politics, it may not be possible to say why individuals do what they do, but it is usually possible to see what they do. Humans make decisions in two main ways, what psychologist Daniel Kahneman characterizes as “ thinking fast ” and “ thinking slow .” Daniel Kahneman, Thinking, Fast and Slow (New York: Farrar, Straus, and Giroux, 2011). Thinking fast is intuitive; when thinking fast, people don’t realize they are doing it. Thinking slow takes cognitive energy, as when you solve a complex math problem. When politicians craft their speeches, they think slow; when they ad-lib parts of their speeches during delivery, they think fast. When you compare the policy proposals of different political parties in trying to decide how to vote: slow. If you reflexively vote for “your” party: fast. Humans think fast, and they think slow. (credit: “Ephemera, The Hare and the Tortoise” by Frederick Stuart Church/Smithsonian Design Museum, Public Domain) Thinking slow is more difficult than thinking fast. It requires focus and takes time and cognitive energy. Not surprisingly, humans often avoid the hard work of thinking slowly and rely heavily on snap judgments, which are especially prone to all sorts of biases and errors. What is true for human behavior is also true for political behavior, which involves a combination of snap and reflective decisions. Rationality and Thinking Slow Political and other social scientists use the terms rational and irrational in specific ways that may differ from the ways you hear these terms used in conversation. In political science, rational does not simply mean reasonable, and irrational does not simply mean rash or lacking in good judgement. Instead, in political science a rational person is self-interested and strategic. The rational person makes decisions in pursuit of self-serving goals and is calculating in their assessment of which actions are most likely to obtain those goals. The rational person is defined as one who seeks to maximize their own well-being, however they define it. In contrast, in political science an irrational person is one who is neither selfish, nor strategic, nor calculating. An irrational person is not necessarily unpredictable: on the contrary, in many ways such a person can be predictably irrational. Dan Ariely, Predictably Irrational: The Hidden Forces That Shape Our Decisions (New York: Harper Perennial, 2010). Even when people know that they should take better care of their health, save more for the future, or study sooner rather than later, they tend not to do these things. Why not? Because humans often do not act in their own best interest. Consider voting decisions. One might think that a rational voter would study the candidates, compare them against each other, and then vote for the one most likely to maximize that voter’s happiness (or welfare or satisfaction). Research indicates that most voters don’t act this way, instead relying on “factors that enable them to make choices relatively quickly and easily.” John Sides, Daron R. Shaw, Matthew Grossmann, and Keena Lipsitz, Campaigns and Elections: Rules, Reality, Strategy, Choice (New York: W.W. Norton and Company, 2018), 345. People tend to use heuristics in making decisions. A heuristic is a cognitive shortcut for making decisions, in which someone substitutes simple, practical rules for more complex methods. What’s the best thing to order off the menu? You could carefully scrutinize every option or say, “I’ll have the daily special.” That’s using a heuristic. In deciding for whom to vote, individuals could examine the records of all the candidates or decide “I’ll vote for the candidate from my party.” Humans are not always, or perhaps even generally, rational . But if you wish to understand political behavior, and especially if you want to become actively involved in politics, it is helpful to assume that the most skillful political actors tend to be rational: they make strategic decisions, as discussed in Chapter 1: What Is Politics and What Is Political Science? , given the rules and the reality, to maximize their chances of obtaining their goals. Skillful political actors—a political actor is anyone engaging in political activity—will also know the value of exploiting the human propensity for noncognitive decision-making. Intuitive Decision-Making (Thinking Fast) Think about something you do that, at times, you can do automatically, without thinking, but that at other times requires cognitive effort. Maybe for you that is commuting to school or work or doing the laundry. On the first day of your commute, you were almost certainly thinking slowly, reading bus schedules or street signs, paying close attention to finding the right exits, and so forth. If you have been commuting to and from the same place for a while, however, you may know what it’s like to commute on “autopilot,” thinking fast . On the one hand, it’s amazing that you accomplish the complex tasks of navigating without deep concentration; on the other, you’ve got this. Thinking fast simplifies the world for us, but it leaves us prone to many risks. Political actors who are skilled in the psychology of persuasion can—and often do—seek to take advantage of the human biases and prejudices associated with thinking fast to further their aims. Conspiracy theories and misinformation seem to spread faster than the truth because determining truth can require careful analysis, while succumbing to fake news requires only the suspension of critical faculties. (For more discussion of fake news, see Chapter 12: The Media .) Politicians, seeking your support, are less likely to appeal to your head than to your (metaphorical) heart. Humans Behave in Two Main Ways: Strategic and Expressive People often do things to get things. They go to the store to buy food. They study in order to learn or to get higher grades. In other words, they take action in order to achieve their goals. In an ideal world, people would act in ways best suited to obtaining their objectives. If their goal is to earn a high grade, they would devise an approach to studying—or perhaps something else, like cheating—that is most likely to produce the grade they want. If their goal is to win an election, they would presumably make decisions that they deem most likely to win votes. Note that acting strategically does not necessarily imply acting morally. Acting strategically is quite simply choosing the most effective means to achieve a specific end. Even when people try to act strategically, several factors may temper their success. In the first case, even apparently simple goals may have multiple or unclear dimensions. Say your goal is to win an election. Should you spend your time, money, and effort trying to persuade individuals to vote for you? To mobilize those already deemed to be supportive? To “mobilize” your supporters is to get them not just to favor you, but to go out and actually vote for you. To discourage voters likely to support your opponent? Some combination of all of these? Once you clarify your goal—say, to mobilize those who already support you—you have to figure out what is the best way to do this. If you send your supporters frequent text messages, will you excite them or turn them off? Finally, calculations may simply be inaccurate: people might believe that certain actions will mobilize their supporters when in fact those actions do not. Now, multiply the complexities of getting any individual to vote for you to the challenges of getting millions of voters to support you. Acting strategically would be easy if there were a single goal, complete information, and perfect judgement. In the real world, people often have multiple goals, highly imperfect information, and biased or otherwise inaccurate assessments. Still, the political actor with the superior strategy is likely to prevail over an opponent with a weaker strategy, all other things being equal. “All other things being equal” (scholars often write this phrase as “ ceteris paribus ”) is an important phrase in political (and all social) science. In the example above, the candidate with the superior strategy might not win if their opponent has superior resources or support. The phrase all other things being equal means that if two candidates have equal resources and equal support—that is, if the two candidates are equal in other important ways—the one with the superior strategy is likely to win. Those in politics as a vocation have strong incentives to act strategically. When politicians run for office, they ask, “What is the best way for me to get elected?” and then act on their answers to that question. When interest groups consider how to get the policies they want, they try to use their resources most effectively in these efforts. Given the multiple potential actions they could take, their uncertainty regarding the effectiveness of their actions, and the biases they have about which activities are likely to be effective, no actors’ strategies are ever perfect. Think back to the chess example in Chapter 1 . You might expect both players to act strategically, understanding that they both have one single, clear goal: to win the game. There are too many possible ways to do this, and they cannot know them all; they have imperfect information. Beyond that, there is another, more strategic complication at play: the success of one player’s strategies depends in large part on the strategic actions of the other player. In plotting a strategy, then, each player must consider the strategy of their opponent. So it is in politics. Strategic actions do not occur in a vacuum. To successfully achieve political goals, individuals must factor in their opponents’ anticipated strategic actions when devising their own. Acting strategically does not necessarily mean acting ethically. Politics is full of stories of politicians engaging in dirty tricks, employing intimidation and violence, or otherwise engaging in corrupt activities when they believe that doing so will be to their advantage. Political candidates in Bolivia, Brazil, Colombia, Ecuador, Honduras, and Mexico have all been accused of engaging in dishonest social media campaigns—and that’s just in Latin America. (And, of course, dishonesty in social media is not unique to any one part of the globe.) Brett Heinz, “Election Interference in Latin America: A Growing Danger,” Center for Economic and Policy Research, September 30, 2020, https://cepr.net/election-interference-in-latin-america-a-growing-danger/. No country is immune, and the savvy political observer understands that political actors around the world face temptations to engage in corrupt acts and that the quality of a political system might be judged in part by how much it does to prevent such deception. Susan Rose-Ackerman and Bonnie J. Palifka, Corruption and Government: Causes, Consequences, and Reform , 2nd ed. (Cambridge, UK: Cambridge University Press, 2016). Chess players use strategic thinking. (credit: “Playing chess” by Slava Myronov/Flickr, CC BY 2.0) The complexity of human action goes far beyond the strategic. Sometimes people act not to get things, but to express emotions. If you have ever sung karaoke, looked up at the stars, played in the snow, or engaged in any of the countless activities that bring joy, demonstrate anger, or simply show you being you, you have engaged in expressive activities. Expressive activities are not done to accomplish anything in particular, but just because you feel like doing them. An alternate view is that all human behavior is goal oriented, and that the goal of expressive behavior is to express emotion, as compared to strategic behavior, which has goals separate from the behavior itself. Expressive behavior sends out signals about the kind of person you are or want others to believe you are (e.g., the kind of person who sings karaoke). Humans are social beings who usually care about how they are perceived by others. Those around us may not actually know us, but they can form perceptions of us based on our expressive behaviors (see: Instagram). Expressive behavior can show how people want to be perceived. (credit: “I moved to Instagram @hmoong” by Khánh Hmoong/Flickr, CC BY 2.0) Expressive behaviors are important in politics for a couple of reasons. Much behavior is predicated on how people want to appear, not just (or mainly) what they want to accomplish, and this is as true in politics as it is on Instagram. It is not always possible to say what strategic goals individuals hope to accomplish when they attend political rallies, but it is clear that they wish to express their identities as supporters of a candidate, a party, or a cause. Jacquelien van Stekelenburg and Bert Klandermans, “The Social Psychology of Protest,” Current Sociology 61, no. 5–6 (September 2013): 886–905. https://doi.org/10.1177/0011392113479314. What is called a person’s party ID , shorthand for the political party with which that person identifies, is more closely associated with expressive choices than with strategic ones. Leonie Huddy, Lilliana Mason, and Lene Aarøe, “Expressive Partisanship: Campaign Involvement, Political Emotion, and Partisan Identity,” The American Political Science Review 109, no. 1 (2015): 1–17, https://www.jstor.org/stable/43655021. Strategic and expressive behaviors can overlap, and at times they are difficult to distinguish. Consider, for example, why people vote. Voting might be a strategic behavior that aims to help elect a particular candidate, but voting is also a way to demonstrate to others what kind of person you are. Individuals’ decisions on whether to vote or for whom to vote are also context dependent. In most democracies, voting is optional, but in Argentina, Australia, and Austria, citizens are required to vote. At times, what appears to be expressive behavior is deliberately strategic. Political candidates choose their attire to send messages about who they are as well as why people should support them. Peru’s President Pedro Castillo always campaigns in a traditional Andean straw hat. (credit: “28/07/2021 Cerimônia de posse do Presidente da República do Peru, Pedro Castillo” by Vice-Presidência da República/Flickr, CC BY 2.0) Humans Seek Two Different Interests: Self-Interest and the Interests of Others In simple terms, humans apply intuitive and cognitive thinking and strategic and expressive actions to seek two different types of interests: self-interests and public-spirited or altruistic interests. We use “public spirit” rather than “altruism” because altruism indicates an unselfish concern for the welfare of others, while public spirit simply states that the person considers the interests of others in making a decision, not that self-interest is sacrificed to benefit others. See Mark C. Rom, Public Spirit in the Thrift Tragedy (Pittsburgh, PA: University of Pittsburgh Press, 1996). At a basic level, humans are selfish (but not only selfish: humans are also naturally cooperative and compassionate, with individuals varying as to how selfish or cooperative they are). See, for example, James W. H. Sonne and Don M. Gash, “Psychopathy to Altruism: Neurobiology of the Selfish–Selfless Spectrum.” Frontiers in Psychology 9 (2018), https://doi.org/10.3389/fpsyg.2018.00575. This is not a moral judgment; it’s an empirical statement. People are selfish in both the narrow biological sense (for example, if they are hungry, they seek food, and if they are tired, they seek rest) and in a broader social way. Although people might seek different things in life, they tend to want more, rather than less, of the things they desire. These desires may be for material goods (money, property) or relational ones (power, fame). In the political world, individuals typically prefer to support the kinds of politicians and policies that they believe will benefit them personally. The benefits can be tangible: better services, safer communities, improved schools, lower taxes, and so forth. The benefits may also be intangible, as, for example, when voters favor politicians who pledge to enhance the social prestige of their supporters or to make their country more respected around the world. Candidate Donald Trump did not campaign primarily on a platform of tax cuts (or any other policies): he campaigned on the promise to “Make America Great Again.” Chinese President Xi Jinping vows not just to make China prosperous: he pledges to make it respected. Graham Allison, “What Xi Jinping Wants,” The Atlantic , May 31, 2017, https://www.theatlantic.com/international/archive/2017/05/what-china-wants/528561/. As Evo Morales , the first Indigenous president of Bolivia, put it, “In Bolivia, Indigenous people govern completely differently. It is something historic, unprecedented—[with] pride.” “Evo Morales Defends Indigenous People After Bolsonaro Ally’s Racist Slur .” Orinoco Tribune , January 19, 2019, https://orinocotribune.com/evo-morales-defends-indigenous-people-after-bolsonaro-allys-racist-slur/. Yet many political behaviors are difficult to square with the idea that political actors are solely acting in their own personal self-interest. Murray Edelman, Politics as Symbolic Action: Mass Arousal and Quiescence (Saint Louis, MO: Elsevier Science & Technology, 2013). Those seeking government protection for endangered species are unlikely to personally benefit if those species are saved from extinction. Those who want to prohibit flag burning are not materially better off if that policy is adopted. Some of the most intense political debates occur not over the distribution of material resources but instead over symbolic or cultural issues. The contest is less about who gets what and more about what kind of country people want to live in. Political Behavior: Developing Communication Skills Throughout the Cuban Missile Crisis, both the United States and the USSR considered many possible outcomes of their actions. This game tree models how the two actors would have considered their decisions. It is broken down into a simple form for basic understanding. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The study of political behavior involves interpretation. While we may know whom an individual voted for, we may never really know why they voted for that person. We can look to exit polls for clues, or we can look to socioeconomic or demographic characteristics to make predictions about voting behavior, but in the end, this is just our interpretation of their behavior. Consider the tense communications involved in the most high stakes situations, like the Cuban Missile Crisis. It was essential that President Kennedy and his advisors were able to communicate with each other the substance of and reasoning behind potential strategies, as well as what specifically they hoped each strategy would achieve. They based their strategies on all the information available to them about the situation and about the Soviets and their perceived values, goals, and ways of thinking. The need for clear communication between the United States and the Soviet Union during the crisis, and the importance of being able to interpret those communications, could not have been greater. A misunderstanding in that situation could have resulted in nuclear conflict. Being able to effectively communicate and being able to effectively interpret the behavior of others are skills that can be beneficial in multiple settings. Regardless of industry, trade, or career path, being able to utilize relevant information to be able to communicate an understanding of a particular topic is a skill that is highly prized and sought after. In some parts of your life you might usefully assume that self-interest dominates our decision-making. If you are ordering a slice of pizza that only you will eat, there is no need for you to consider the welfare of others when you place your order: “Yes, please, put jalapenos on my pizza!” When you are ordering an entire pizza to split with your friends, you might think only of yourself (“I want jalapenos, and I don’t care if you don’t like them”) or only of others (“Order whatever you want, and I’ll eat it”), or you might take into account some combination of your self interest and the interests of others (“We all like cheese, so extra cheese for the entire pizza, but put jalapenos only on one half and pepperoni on the other half”). Of course, it is not possible to directly observe whether individuals care only about their own personal interests, the interests of others, or some combination of the two. It is not possible to see—at least not yet—exactly what is going on in anyone’s mind regarding the factors that influence their behavioral choices, Brain scanning technology can observe which parts of the brain “light up” during various behaviors. There is evidence that altruistic behaviors light up the same “pleasure centers” that are activated when we eat chocolate or have sex. See James Baraz and Shoshana Alexander, “The Helper’s High,” Greater Good Magazine: Science-Based Insights for a Meaningful Life , February 1, 2010, https://greatergood.berkeley.edu/article/item/the_helpers_high. nor is it possible to necessarily infer from a behavior the motivations behind it. If you order jalapenos on the pizza because you believe that others also like them, your decision might be a public-spirited one, even if the decision itself is misguided. Or you might just be thinking of your own interests. Or both. People are pretty good at fooling themselves regarding their own motives. Bobby Hoffman, Motivation for Learning and Performance (Boston, MA: Elsevier Academic Press, 2015); see also Ian Deweese-Boyd, “Self-Deception,” in The Stanford Encyclopedia of Philosophy , ed. Edward N. Zalta (Stanford, CA: Metaphysics Research Lab, Stanford University, 2021), https://plato.stanford.edu/archives/sum2021/entries/self-deception/. Did you really think your friends liked jalapenos, or did you just tell yourself that so you could feel good about your desire to order them? Self-interest or public spirit are more likely to dominate in different areas. When you purchase most consumer items (say, shoes or a phone), there may be little reason for you to consider the interests of others. When you engage in communal activities (with your family or a religious, social, or political organization), you likely put these interests ahead of your own, at least from time to time. While it is generally helpful to ask “What is the self-interested reason why that person or group might be doing that?” it is unwise to assume that all political behavior is purely self-interested. When Black people join in a Black Lives Matter (BLM) protest, they are saying at least in part that MY life matters. When non-Black people join in a BLM protest, it is possible but unlikely that they do so because they believe themselves to be the main beneficiaries of the protest (although it is certainly possible that they will indirectly benefit from living in a safer and more equitable society). More likely, BLM allies—or the supporters of any social movement, whether conservative or liberal, democratic or authoritarian—join because they support the cause that the movement represents (a strategic reason) and because they want to show that they are the kind of person that supports this movement (an expressive reason). Humans make decisions in two main ways: by thinking fast or thinking slow. People think fast when their decisions seem almost automatic. On the other hand, there are times when people focus to make a thoughtful decision: they think slow. Thinking slow is hard, so humans more often rely on their quick judgments about what to do, whether in politics or in other areas of life. When humans act, they may do so for strategic (or instrumental) or expressive (or emotional) reasons. When people act strategically, they take actions designed to obtain their objectives. When people act expressively, they do so not to achieve a goal but to reveal who they are (or who they want to be perceived to be). Often, behavior can have both elements: people may vote so that their candidate has a better chance of winning, but also to show their peer group that they are the kind of person who votes. Whether people act strategically or expressively, they can do so either because they are acting in their own self-interest or in the interest of a broader community, with an eye to accomplishing broader public purposes. These motives can overlap. Often, what political actors believe to be good for the public also coincides with what they see as beneficial for themselves. A candidate for office may understandably think that working on behalf of their constituents—the public interest—will also benefit the candidate’s electoral interests. fake news stories masquerading as actual news that lack any basis in fact heuristics a cognitive shortcut for making decisions in which simple, practical rules are substituted for more complex methods irrational human behavior that is not devoted to maximizing individual self-interest rational behavior that strategically seeks to maximize an individual’s own well-being, however the individual defines it", "section": "Why Do Humans Make the Political Choices That They Do?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Human Behavior Is Partially Predictable Learning Outcomes By the end of this section, you will be able to: Describe human predictability. Explain why human behavior can be predicted in general but not in specific cases. Define motivated reasoning. Even though each person is unique, people often act in predictable ways. Given a certain set of rules and a specific set of conditions, it is possible to make pretty good guesses (that is, predictions) about how people will behave. This does not mean that all people act in exactly the same way every time. But it does mean that behavior is not entirely random. What Does It Mean to Be Predictable? Predictability means that it is possible to guess, with some accuracy, how people will behave in certain situations. In the commercial world, this predictability is what allows, say, Netflix to recommend movies. In short, every time you watch a show, Netflix collects data about what you like and then combines that data with information collected from everyone else using Netflix. If you like the same dozen films as a large number of other people and those people have seen and liked a 13th movie, Netflix predicts that there’s a pretty good chance you’ll enjoy the 13th movie as well. Why Netflix’s Algorithm Is So Binge-Worthy | Mach | NBC News Political scientists use data to make predictions about political behavior in much the same way that Netflix uses data about its users’ past viewing habits to make predictions about their future viewing behavior. Knowledge about human behavior makes it possible to predict how politicians, public officials, and citizens will respond in various political settings. Political scientists can use knowledge of certain characteristics—for example, an individual’s age, education, and ideology, among many other attributes—to predict how likely it is that they will vote and which party they will vote for. It is possible to predict that politicians will typically seek to increase their political power because they have been observed doing so time and again. One of the central goals of empirical political science is to study how people behave politically in order to make more accurate predictions about how they are likely to behave in the future. This figure shows voting rates by age group in United States elections between 1980 and 2016. (credit: United States Census Bureau, Public Domain) Political analysts collect data on individuals and groups to understand how, for example, voters have behaved in the past and how they are likely to behave in the future. In the United States, voters’ ages are linked to voter turnout rates (the turnout rate is the proportion of eligible voters that actually cast their votes). This graphic shows turnout rates for four voter age categories in presidential elections between 1980 and 2016. During this time, voter turnout rates were highest for voters age 65 and over and lowest for voters age 18 to 29. What does this mean? If we know nothing about a voter but their age, we could make a prediction about their likelihood of turning out to cast a vote. Political candidates and their campaigns might use this knowledge as they strategize how best to allocate their resources. Which Human Behavior Is Predictable, and Which Is Unpredictable? The more information political scientists have about how people have behaved in the past, the better they are able to predict how people will behave in the future—but only within limits, a few of which bear mentioning. When making predictions about what people will do, the typical prediction is usually in the form of “individuals with characteristics like these are likely to do a certain thing,” which is quite different from saying “this individual will do that.” One might predict, for instance, that young, environmentally motivated activists around the world are likely to affiliate with the Green Party of their country. This does not mean that it is possible to accurately predict that Greta Thunberg , perhaps the most famous environmental advocate, is a member of Sweden’s Green Party. Maggie McGrath, “Why Greta Thunberg Is One of the World’s Most Powerful Women,” Forbes, December 12, 2019. Why is it possible to predict political behavior in general but not necessarily in individual cases? One answer is that more and better information results in better predictions: imperfect information leads to imperfect predictions. Just as weather forecasts can be wrong because meteorological relationships are complex and not fully understood, behavior predictions can also be wrong. Moreover, what seems to be the sheer randomness of human behavior should not be discounted. Determinists maintain that all human behavior can be correctly predicted if all relevant facts are known. Those who believe in “free will”—or pure randomness—reject this idea. An event is random when it cannot be predicted. Consider this: although it is possible to predict the outcomes of a coin flip in general (there is a 50 percent chance of getting heads and a 50 percent chance of getting tails), even the most powerful supercomputers cannot accurately predict the outcome of a single coin flip. Whether a single flip comes up heads or tails is random. If you predict the outcome correctly, you just got lucky. In 1962, US intelligence discovered evidence that the Soviet Union was placing nuclear missiles in Cuba—only some 100 miles from American soil. Tensions simmered, and at the peak of what is called the Cuban Missile Crisis , the world was on the brink of nuclear war. US President John F. Kennedy and Soviet Premier Nikita Kruschev had a fateful decision to make: With the fate of the world in their hands, should each side escalate the conflict or pull back? No amount of data would have allowed anyone to predict with certainty what their decisions would be: they could have gone either way. Fortunately, they both chose to de-escalate, and the crisis was resolved. What explains this outcome? As the US Secretary of Defense put it, it was “luck. Luck was a factor. . . . It was just luck that [Kennedy and Kruschev] finally acted before they lost control, and before East and West were involved in nuclear war that would have led to destruction of nations. It was that close.” “Good Guys, Bad Guys: Interview with Robert McNamara,” National Security Archive, The George Washington University. https://nsarchive2.gwu.edu/coldwar/interviews/episode-17/mcnamara1.html. Despite efforts to better predict political outcomes, political polling, which will be discussed further in Chapter 5: Political Participation and Public Opinion , remains fallible. Poll-based predictions about the outcomes of presidential elections in the United States were substantially off in both 2016 and, though they accurately predicted the eventual winner, in 2020. Geoffrey Skelley, “Why Was the National Polling Environment So Off in 2020?” FiveThirtyEight, February 23, 2021, https://fivethirtyeight.com/features/why-was-the-national-polling-environment-so-off-in-2020/. Why? Because the polls ask, “Who are you likely to vote for?” but they cannot precisely measure who will actually show up to vote or how they will actually vote. Dennis Quinn, data scientist, writer, researcher, and master’s degree candidate in Yale University’s Public Policy program at the Jackson Institute for Global Affairs Please explain what you do for your organization. At the moment I’m a graduate student at Yale, where I build data streams to address the humanitarian and national security impacts of climate change. But before this I was on the Pew Research Center’s data science team for about five years. During that time I managed research projects involving data mining, machine learning, or other computational methodologies. The job also required a lot of communication, writing, and public speaking as well. How did you get involved in your position? In my most recent (paying) job, I joined Pew in 2015 in a pretty standard entry-level position, which I’m pretty sure I was offered because I had skills in Python and R, and they knew they would be expanding into the area soon. That expansion allowed me to build out a role for myself in the new research area—and that’s a big lesson I took from that experience: don’t look for the perfect job. Get the skills you want to use, find a thing you care about, and join an organization that does that thing. Then, try to get them to make a job that you want. It might not work every time, but it’s a solid strategy. What advice would you give students who are interested in your line of work? A good rule of thumb is that opinions are cheap, data is valuable, and facts are even better—and this is a problem in political science because undergraduate education teaches you to argue really well but not to create original knowledge. And this is an area where you can really differentiate yourself as you get into the working world: learn how to create and communicate useful knowledge in the area you care about. In today’s world this often means using data, but it doesn’t have to. It definitely means learning what the questions are, though, and that’s where political science can do really well. But make sure you take that extra leap into knowledge generation—this can mean a (spoken) language, programming, or certain disciplinary focuses like econometrics. All together, this creates a really strong position for you: knowing where the questions are and having the tools to answer them. Consider an extreme example regarding the uncertainty of making predictions and the importance of making accurate ones. During times of war, military leaders have to ask, “Will my soldiers fight, or will they run?” The rational soldier might be tempted to run: What fate could be worse than likely death at the hands of the enemy? The rational calculation would include the probability of getting killed if they stay to fight as well as the chances of being caught, court-martialed, and potentially executed as a deserter. The expressive soldier might stay to demonstrate his loyalty and bravery. But it is not possible to predict with certainty which soldiers will fight and which will flee. The wise military strategist will adopt the strategies believed to increase the probability—the predictability—that the soldier will remain faithful to their side. Will they fight, or will they flee? (credit: “Photograph of US Soldiers Crouching in Position in the First Wave of Helicopter Combat Assault” by Department of Defense/National Archives, Public Domain) How does the strategic political leader increase the odds that individuals will faithfully follow them? By increasing the incentives—the instrumental reasons—for doing so: by raising the costs of defection and the rewards for fidelity, and by raising the importance of expressive values like solidarity, loyalty, and patriotism. It may be tempting to believe that those participating in the political causes you support are seeking the right things or doing so for public-spirited reasons—that they are the good ones—and that those who you see as your political opponents are purely self-interested, if not greedy or corrupt. This can be explained by motivated reasoning , the human tendency to embrace those ideas one wants to believe while rejecting evidence that challenges those beliefs. Toby Bolsen, James N. Druckman, and Fay Lomax Cook, “The Influence of Partisan Motivated Reasoning on Public Opinion,” Political Behavior 36, no. 2 (2014): 235–262. doi:10.1007/s11109-013-9238-0. In the United States, for example, a large majority of both Republicans and Democrats believe that the other party is closed-minded, and substantial proportions of both parties believe that members of the other party are lazier or less intelligent, moral, or patriotic than the general public. Thomas J. Leeper and Rune Slothuus, “Political Parties, Motivated Reasoning, and Public Opinion Formation,” Political Psychology 35, no. S1 (2014): 129–156. https://doi.org/10.1111/pops.1216. Individuals participate in politics for all sorts of reasons, and there is little justification for the belief that the motivations of those on “our side” are much different from the motivations of those on “their side.” On each side, individuals are likely to have a mix of self-interest and public spirit. Humans are all, literally, unique: not even identical twins are exactly alike, as they will be exposed to differing environments over their lifetimes. Still, human behavior is partially predictable. This means that, with enough information about certain characteristics of persons, it is possible to make predictions about what similar individuals will do in similar circumstances. Predictions might be wrong for any specific person. They can be wrong because individuals often, but not always, act like other similar individuals. More generally, predictions might be wrong because of bad data (for example, when people lie to pollsters) or because people don’t act in the future as they have in the past. The concept of motivated reasoning can explain why individuals can make incorrect judgments in politics, as well as in other areas. Motivated reasoning is a form of bias that leads individuals to arrive at conclusions that they want to believe in rather than to scrutinize the evidence neutrally. motivated reasoning the human tendency to embrace ideas that we want to believe while rejecting evidence that challenges those beliefs", "section": "Human Behavior Is Partially Predictable", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Importance of Context for Political Decisions Learning Outcomes By the end of this section, you will be able to: Explain why political scientists use games. Describe the ultimatum game. Discuss what the ultimatum game reveals about human nature. Identify ways in which context matters in political decision-making. How individuals behave politically depends on a wide variety of factors. These factors, considered together, constitute the context in which the decisions take place. This section will bring these various elements together by examining the ultimatum game . Rules Political scientists often use games to interpret and predict human behavior. A game is a set of rules, a set of choices, and a set of decisions. The rules establish what a player is allowed to do. The choices are what the player can do at any turn. The decisions are what the player actually chooses to do. Political scientists examine both hypothetical games, seeking to understand what are the best moves given a set of rules and a specific situation, and real games in which they can observe the decisions that players actually make under various circumstances. The ultimatum game is one way to explore the various dimensions of human decision-making. The game involves two players, Player A and Player B. Player A is given a sum of money—say, $10—and has to decide whether and how much of this money to offer to Player B. Player A can offer none of the money, some of it, or all of it. Player B can accept the offer or reject it; hence, the offer is a “take it or leave it” ultimatum. If Player B accepts, both players keep their share of the money. If Player B rejects the offer, neither player keeps any money. As an example, if Player A offers Player B $4 and Player B accepts, Player A keeps $6 and Player B keeps $4. If Player B rejects the offer, neither player takes home anything. Scholars can use these rules and choices to make predictions about what players might do and why they might make these choices. As it turns out, this game has actually been played in a wide variety of settings, and so there is evidence of how humans actually behave. Situations What do you think Player A and Player B are likely to do? How would you play the ultimatum game? You may have a quick-thinking intuitive sense of how much you would offer if you were Player A or of the smallest amount you would demand if you were Player B. Further slow reasoning might lead you to change your mind. Let’s consider some possibilities. It is possible, but highly unlikely, that Player A would offer the entire $10 to Player B, as few people are entirely altruistic. In contrast, Player A could offer Player B nothing, but this is also unlikely because Player B would almost certainly reject that offer, leaving each player with nothing. It is most likely that Player A will offer an amount that falls somewhere between $0 and $10. But what amount? If both players were entirely rational—that is, if they were entirely strategic and self-interested, Player A would make a very small offer, maybe $1, calculating that Player B would reluctantly accept the offer. Player A might think that Player B would of course want a larger offer but that Player B would accept this small offer because getting even $1 is better than getting nothing. In a perfectly rational world, players would make and accept highly uneven offers. In a perfectly cooperative world, in contrast, players would offer and accept 50-50 splits. The Ultimatum Game Experiments in which people played the ultimatum game have shown the complexity and variations in, and therefore the difficulties in predicting, human behavior. Experimental data demonstrates that in reality players are not entirely self-interested. Hessel Oosterbeek, Randolph Sloof, and Gijs van de Kuilen, “Cultural Differences in Ultimatum Game Experiments: Evidence from a Meta-Analysis,” Experimental Economics: A Journal of the Economic Science Association 7, no. 2 (2004): 171–188. doi:10.1023/B:EXEC.0000026978.14316.74. Players routinely reject offers that deviate substantially from a 50-50 split. The split need not be 50-50 for Player B to consider it fair, however; players commonly offer and accept $6-4 or even $7-3 splits. Political scientists suggest a variety of reasons why Player B might be willing to reject unfair offers, to voluntarily sacrifice any financial gain. One key explanation is that players seek not only to maximize their own selfish interests, but also to ensure basic fairness. For these players, those who violate fairness must be punished. There are other strategic reasons to make fair offers or to reject unfair ones. Player A will likely be uncertain of the minimal offer that Player B will accept: given this uncertainty, it makes sense for Player A to make offers that are pretty fair. If they play multiple times in the same roles, it would be sensible for Player B to reject an unfair offer because, once an unfair offer is accepted, it is possible to predict that unfair offers will continue to be made. If I learn that Player B will accept $2, why would I offer B more? Offers are more likely to be fair—closer to a 50-50 split—if players already know each other and the game is played face-to-face, as compared to strangers playing the game remotely on computers. The total amount of the prize also surely matters. Player B is likely to be more willing to refuse $1 in a $10 game than to refuse $100,000 in a $1,000,000 game, even though the fairness of the offers are mathematically the same. What if the rules changed so that Player B got to keep their share of the pot when they reject the offer, with only Player A losing their portion? This rule change would shift power to Player B, and Player A would almost certainly make more generous offers. The ultimatum game is a simplified illustration of interactions involving bargaining strategies, but it offers abundant lessons for politics, whether one is looking inside parliamentary institutions, considering the relations between politicians and their constituents, or studying mass movements. In many political situations, there is some resource—tangible or intangible—that one set of actors has and another one wants, and the players have to decide how to share that resource. The real game of politics is much more complicated. Usually there are many players, and those players may seek to change the rules while they are playing. The size and nature of the resource under negotiation may not be set in stone, and the players are not limited to making, accepting, or rejecting offers, but may also use threats and deception. The more complex a negotiation, the more difficult it is to predict how it will play out. Game Theory The ultimatum game is one of many strategic games that examine human decision-making given varied rules and contexts. To learn more about them, you can explore courses in game theory. These courses can be highly abstract and technical, or they can be more applied; they are often offered within economics departments. In a game theory course you will have the chance to learn about the best (or optimal) strategies for winning a game. The games studied in this course are all political: they involve two or more players seeking to obtain their goals (to win the game) given a set of rules and a specific situation. What is the best strategy, the one most likely to win the game? In some games, at some points, the best strategy might be to be generous to your opponent; at other times, you might want to be vengeful. Political scientists use games to make predictions about how humans will behave in politics because political action has many of the characteristics of a game, with the players making decisions under a certain set of rules and a given set of circumstances. These predictions can be logical, based on what political scientists consider to be rational behavior, or empirical, based on how individuals actually do behave. The ultimatum game is one example of this. The rules allow players to make choices about how to share a resource, and the choices they make determine the allocation. The choices they make depend largely on the context—for example, whether they have a relationship with the other player, or if they will play again, or how large the prize is. Studying such games can provide valuable insights into human behavior. Ariely, Dan. Predictably Irrational: The Hidden Forces That Shape Our Decisions . New York: Harper Perennial, 2010. Bryson, Valerie. Feminist Political Theory . 3rd ed. New York: Palgrave, 2016. Kahneman, Daniel. Thinking, Fast and Slow . New York: Farrar, Straus, and Giroux, 2011. Parekh, Bhikhu C. Rethinking Multiculturalism: Cultural Diversity and Political Theory . 2nd ed. Basingstoke, England: Palgrave Macmillan, 2006. Rawls, John, and Erin Kelly. Justice as Fairness: A Restatement. Cambridge, MA: Harvard University Press, 2001. Wolff, Jonathan. An Introduction to Political Philosophy . Oxford, UK: Oxford University Press, 2016. game a competition between participants who make strategic choices, under known rules, aiming to win", "section": "The Importance of Context for Political Decisions", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction Demonstrators in Venezuela protest shortages of basic goods. (credit: “Caracas Shortage Protest 23 January 2015” by Carlos Díaz/Wikimedia Commons, CC BY 2.0) In 2021, Venezuela was a country in crisis. According to Human Rights Watch , millions of Venezuelans lacked adequate nutrition. The absence of accessible health care and safe drinking water contributed to the spread of COVID-19 . The UN Human Rights Council cited Venezuelan president Nicolás Maduro ’s administration for crimes against humanity, including extrajudicial executions, police brutality, and torture. The crisis led an estimated 5.5 million Venezuelans—more than 15 percent of Venezuela’s total population—to flee the country. “Venezuela,” in World Report 2021: Events of 2020 (New York: Human Rights Watch, 2021), https://www.hrw.org/world-report/2021/country-chapters/venezuela; “Venezuela,” in World Report 2022: Events of 2021 (New York: Human Rights Watch, 2022), https://www.hrw.org/world-report/2022/country-chapters/venezuela. Venezuela’s troubles stem from decades of efforts to make the most of the country’s economy. These efforts have been couched in differing political ideologies —that is, consciously held ideas about both how political life is structured and how it should be structured. Venezuela is rich in oil reserves. In 1913, the Venezuelan government contracted with the Royal Dutch Shell Group to extract those reserves. By the 1950s, Venezuela was a leading oil exporter, and its gross national income —the total value of the goods and services in its economy—was the highest in Latin America. Callum Brodie, “Venezuela Was Once South America’s Richest Country. Here’s What Went Wrong,” World Economic Forum, August 7, 2017, https://www.weforum.org/agenda/2017/08/venezuela-economic-woes-2017-explained/. However, the distribution of wealth left a sizable percentage of Venezuelans in abject poverty. In 1998, Hugo Chávez was elected president of Venezuela on a platform rooted in socialist ideology, which he promised would improve the condition of the lower classes. Chávez placed the oil industry under the control of the state and embarked on a program of significant wealth redistribution. Chávez’s successor, Nicolás Maduro, has kept these policies in place. While the policies substantially improved the living conditions of the poorest Venezuelans, Victor Bulmer-Thomas, “Analysis: How Hugo Chavez Changed Venezuela,” BBC News, March 6, 2013, https://www.bbc.com/news/world-latin-america-15240081. and poverty rates declined in the early 2000s, “Percentage of households in poverty and extreme poverty in Venezuela from 2002 to 2020,” Statista, 2022, https://www.statista.com/statistics/1235189/household-poverty-rate-venezuela/. from 2007 to 2017 the gross national product of Venezuela declined sharply, and the inflation rate spiked. “Venezuela: Gross domestic product (GDP) in current prices from 1984 to 2022 (in billion U.S. dollars), ” Statista, 2022, https://www.statista.com/statistics/370937/gross-domestic-product-gdp-in-venezuela/. Since 2019, unemployment rates have increased considerably. “Venezuela: Unemployment rate from 1999 to 2020,” Statista, 2022, https://www.statista.com/statistics/370935/unemployment-rate-in-venezuela/. In addition, Chávez and Maduro have been accused of suppressing political opposition and manipulating the political process to ensure their continued rule. Defenders of the Maduro regime argue that sanctions imposed by nations hostile to Venezuela’s socialist ideology have been the major driver of economic decline and that human rights abuses have been exaggerated. Opponents of the regime, both inside and outside Venezuela, allege that the problems—both economic and political—result from socialist ideology itself. Will opponents of the socialist regime emerge triumphant? If so, will the political ideologies of liberalism and neoliberalism espoused in opposition to Chávez and Maduro eventually prevail? The future of Venezuela remains uncertain. So far, the 21st century has been marked by increasing tensions among rival political ideologies around the world. Will the conservative populist ideology in contemporary Brazil continue to eclipse the center-left ideology that has marked so much of Latin American politics in the past few decades? Karen Silva-Torres, Carolina Rozo-Higuera, and Daniel S. Leon, eds., Social and Political Transitions during the Left Turn in Latin America (New York: Routledge, 2022). On the other side of the globe, will the government of Afghanistan, which in the summer of 2021 fell once again into the hands of the Taliban , survive as a governing regime based on religious extremism ? In many parts of the world, ideological flux defines political life, with contests between and among socialism, liberalism and neoliberalism, the center left, conservative populism, religious extremism, and a range of other ideological visions. The political ideologies at the center of current conflicts have evolved throughout history. This chapter begins with a brief review of some of the core thinkers and central concepts in Western political thought that developed from the classical period of the fifth and fourth centuries BCE to the present.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Classical Origins of Western Political Ideologies Learning Outcomes By the end of this section, you will be able to: Discuss the key political concepts developed by Socrates, Plato, and Aristotle. Identify common themes in the ideas of Socrates, Plato, and Aristotle. Illustrate how the ideas of Socrates, Plato, and Aristotle contribute to contemporary political thought. How should people organize their lives together in society? What rules should direct individual and collective behavior? This chapter begins in Athens, a city often seen as the apex of the Western classical world. Socrates and Plato In the fifth century BCE, Athenian philosopher Socrates maintained that people should seek the answers to the most fundamental of life’s questions through reason, accepting as true only ideas that have withstood criticism and can be stated clearly and precisely. Socrates’s legacy is preserved mostly through the writings of one of his pupils, Plato (428–348 BCE). In The Republic , Plato develops a detailed, reasoned argument that political power should be vested in individuals of exceptional skill who possess knowledge about the true nature of the world and a genuine love of wisdom. Plato believed that philosophers best fit this bill and should hold unrestricted political power. Such rulers would be free from temptations to corruption and would understand what is best for the communities over which they rule. Such a government, Plato argued, would secure true justice. Plato argued for wise and benevolent rulers who would be guided by reason. (credit: “Plato. Line Engraving by L. Vorsterman after Sir P. P. Rubens,” Wellcome Collection, Public Domain) Aristotle Plato’s student Aristotle (384–322 BCE) agreed that either rule by a supremely wise and virtuous ruler who attends to the good of the community, which he called a monarchy , or rule by a group of such virtuous rulers, which he called an aristocracy , would be the ideal political condition. However, both Aristotle and Plato worried that a system in which rule was given to one man might turn into a tyranny , with one person ruling only for their own good. Similarly, if rule was vested in a small group, that group may become an oligarchy , defined as rule by a few in service of their own advantage. Given these possibilities, Aristotle asked if political rule could safely be lodged in the majority of citizens in the form of a democracy . Aristotle suspected that this, again, might result in a form of rule that would neglect the good of the whole in favor of the interests of the majority. Aristotle, The Politics of Aristotle , trans. Peter L. Phillips Simpson (Chapel Hill: University of North Carolina Press, 1997), bks. 3–4. Even today, monarchs and authoritarian rulers often justify their rule based on skepticism about the ability of the majority to pursue the interests of the whole of society. Aristotle believed that the best hope that a majority of citizens could hold political power and rule with the goal of securing the public good would be if the majority of citizens were what is now called the middle class . Ideally, for Aristotle, political offices would reflect the wealth disparities that exist, with both those with more wealth and those with less becoming political leaders, Curtis Johnson, “Aristotle’s Polity: Mixed or Middle Constitution?,” History of Political Thought 9, no. 2 (Summer 1988): 189–204, https://www.jstor.org/stable/44797104. and the society would have great respect for the rule of law . Richard Kraut, Aristotle: Political Philosophy (Oxford: Oxford University Press, 2002), 400. He called such a form of government a Politeia . In a Politeia , the government would serve the public good, and society would be able to move toward fulfilling the true human potential of its citizens. Aristotle argued that this would be so because only by exercising the distinctly human capacity for rational debate, discussion, and judgment on matters that involve the good of a community can people take advantage of the full human potential. Because political participation can involve these kinds of activities, to reach one’s full potential as a human, one must participate in the exercise of political power that is structured around debate and deliberation concerning the common good of society. Kraut, Aristotle , 240–276. Inspired by Aristotle, contemporary thinkers such as Stanford University professor James Fishkin have argued that by expanding the number of citizens engaged in political debate and decisions, a society can both assemble perspectives in a way that advances the public good and enable citizens to realize their full potential. Modern technology, Fishkin argues, makes this possible to achieve on a large scale. James S. Fishkin, Democracy When the People Are Thinking: Revitalizing Our Politics through Public Deliberation (New York: Oxford University Press, 2018). …Rules on Behalf of… Self All Individual Tyranny Monarchy Few Oligarchy Aristocracy Majority Democracy Politeia A Summary of Aristotle’s Categories of Political Regimes Other contemporary thinkers agree with Aristotle’s assessment that income inequalities that divide the populace into groups at both ends of the socioeconomic spectrum serve to undermine the common good. Traces of Aristotle’s thought appear in frequent political messaging, in the United States and elsewhere, that the middle class is the backbone of the nation and deserves government support and protection. In 2015, a Pew Research Center report found that middle-income families and individuals now constitute a minority of the total US population—something that many see as a cause of concern. See Tami Luhby, “Middle Class No Longer Dominates in the US,” CNN Business, December 9, 2015, https://money.cnn.com/2015/12/09/news/economy/middle-class/index.html. Aristotle held that a properly governed regime must encourage its citizens to cultivate certain virtues, such as wisdom, courage, moderation, and justice. In order to achieve these virtues, individuals need the government, Aristotle maintained, because government has the authority to regulate family life, school, media, the arts, and the prevailing behaviors in the broader culture. Inspired in part by Aristotle, a number of contemporary educational reform advocates have argued for a heightened role for character education in public schools to instill what they consider to be the appropriate virtues. Educational theorist Kristján Kristjánsson points out that a sizable amount of advocacy for educational reform is “anchored firmly in Aristotelian assumptions” and represents, in fact, an “Aristotle-fuelled trend” in educational policy. Kristján Kristjánsson, Aristotle, Emotions, and Education (Burlington, VT: Ashgate, 2007), 2, 3. Ancient Greek political ideologies emphasized the importance of consolidating political power in the hands of a virtuous ruler or group of rulers while also looking to design second-best models of government, usually involving a mixed system of government. political ideologies consciously held ideas about both how political life is structured and how it should be structured", "section": "The Classical Origins of Western Political Ideologies", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Laws of Nature and the Social Contract Learning Outcomes By the end of this section, you will be able to: Explain the central political concepts developed by Hobbes, Locke, Smith, and Rousseau. Identify common themes in the ideas of Hobbes, Locke, Smith, and Rousseau. Illustrate the ways in which the ideas of Hobbes, Locke, Smith, and Rousseau have contributed to the development of political thought. Early Christian thinkers conceived of government as a tool for advancing and securing the Christian faith. Ultimately, many Christians concluded that the structure and function of government should be based primarily not on what human reason suggests but rather on the Bible. One early Christian thinker, Tertullian (155–220 CE), argued that the revelations of God should supersede human insights and should serve as the true foundation of political order. Human reason, according to Tertullian, must always be secondary to the Christian approach to life disclosed in scripture. In general, Tertullian’s ideas would cast a large shadow over Western political thought until the early 17th century, when thinkers such as English philosopher Thomas Hobbes once again championed greater reliance on human reason. Thomas Hobbes Most of the systems that emerged across Europe after the fall of the western half of the Roman Empire in the fifth century CE were monarchies that promoted and defended Christianity to justify their rule. In the mid-1600s, Thomas Hobbes (1588–1679) argued that political systems should be judged based not on their adherence to and glorification of a particular religion but only on their role in securing social peace. Hobbes argued that humans can advance what he called laws of nature , or rules based on human reason that, if all people followed them, would achieve peace and safety. However, some overarching earthly authority is needed to enforce these laws. In the absence of any political authority—what Hobbes called the state of nature —following the laws of nature would make a person vulnerable to attacks from those who did not follow them. Therefore, it would be to each individual’s advantage to authorize what Hobbes called a Leviathan —an enormously powerful governmental entity—to impose on all people a symmetrical fear of punishment if they break the laws of nature. Based on this thought experiment, Hobbes argued that individuals should embrace a social contract , agreeing among themselves to give their loyalty to a political ruler who could uphold the laws of nature with unrestricted power. Thomas Hobbes, Leviathan; or, The Matter, Form, and Power of a Commonwealth Ecclesiastical and Civil , introd. Herbert W. Schneider (Indianapolis: Library of the Liberal Arts, 1977), pt. 1, bks. 13–16. John Locke English philosopher and physician John Locke (1632–1704) seized on Hobbes’s concepts of the state of nature and a social contract among people, but his conception of natural laws was very different. Locke saw natural laws as a set of moral rules, discoverable by reason and based ultimately on the rationally provable existence of God, that are equally applicable to all. Unlike Hobbes, Locke saw the natural laws, and related natural rights , as placing obligations on everyone, whether or not a government imposes uniform penalties for breaking them. The natural law establishes natural rights and associated duties to others and to oneself. For Locke, one has, for example, a natural right to life, and as a result, all others have a natural duty to respect this natural right. Individuals have a duty to themselves not to commit suicide or let their own natural talents go to waste. Each individual has a duty to respect the natural rights of all other humans. John Locke, Natural Rights Enlightenment thinker John Locke profoundly influenced early American government. Locke used the thought experiment of the state of nature At certain points in his famous Second Treatise of Government , Locke seems to imply that states of nature have arisen in human history. John Locke, The Second Treatise of Government , ch. 4, in Two Treatises of Government , ed. Peter Laslett (Cambridge: Cambridge University Press, 1988), bk. 2. to determine what individuals who are rational but not subject to government would do. He imagined that in the state of nature each person would have the right to punish those who violated anyone’s natural rights. Locke argued that individuals in the state of nature would be entitled to own land only if they mixed it with what they inherently owned—their bodies and their bodies’ labor. However, individuals could acquire land only if doing so did not harm the ability of those who did not own land to live and prosper. Locke, Second Treatise , ch. 5. Locke believed that in the state of nature a society would emerge in which some owned more land than others without harming them. He argued that individuals would only put the work into owning large amounts of land if they thought they could use that land to derive a profit by developing it to produce things that others value. So, for Locke, the result of unequal land ownership would be a society in which a great number of the things people want are produced. In the state of nature, individuals would eventually agree to create money as a means of exchange. Owners could then contract individuals to work their land in return for wages paid in money and focus even more on producing items on which people would be willing to spend their wages. Even if landowners acquired all previously unowned land, a commercial society would emerge based on the free exchange of goods and services. The net result, Locke argued, would be a high standard of living for all, one much higher than in the early stages of the state of nature. On this basis, Locke maintained that no one would be harmed by the emergence of an economic system based on private property, even if it resulted in substantial inequality. While Locke believed that if individuals in the state of nature focused on the natural law and on the benefits of private property there would be peace and prosperity, he argued that it is rational to predict that tensions would likely emerge. Some would become jealous of those with more wealth, and the ability of each person to punish violations of the natural law would eventually lead to chaos. Therefore, rational individuals in a state of nature would agree among themselves to enter into a social contract that would preserve the rights to private property and personal freedom while transferring the power to enforce natural rights to a government whose sole purpose would be to uphold those natural rights. See Gopal Sreenivasan, The Limits of Lockean Rights in Property (New York: Oxford University Press, 1995). In the state of nature, individuals would have the flexibility to determine the exact form the government should take to execute these tasks. One way to limit the possibility that the government might abuse the people’s natural rights would be through some limited degree of landowner representation in government. This would be a safeguard against abusive property taxation—a forerunner of the principle, popularized in the American colonies, that there should be no taxation without some measure of popular representation. Frank Marini, “John Locke and the Revision of Classical Democratic Theory,” The Western Political Quarterly 22, no. 1 (1969): 11, https://www.jstor.org/stable/446143. Though residents of Washington, DC, must abide by all federal laws, they have no dedicated, voting representatives in Congress. In a small act of protest, Washington, DC, license plates read “Taxation without Representation.” (credit: “Taxation without Representation” by Owen Byrne/Flickr, CC BY 2.0) Locke contended that if the government the people created in the state of nature violated their natural rights and the natural law, the right of revolution would entitle the people to use force to punish that government and depose its rulers. Based on his thought experiment, Locke maintained that the people should demand that existing governments protect rights, protect private property and the right to sell labor for wages, be subject to the people’s right of revolution, and fulfill their duties while minimizing the risks of violating the people’s natural rights. Applying Locke’s Ideas to Global Trade Locke’s writings exerted a profound influence on the emergence of the Enlightenment (1690s–1790s), a period in Western history that emphasized the ordering of social, political, and religious life solely on the basis of reason. Before the 18th century, most political regimes enacted protectionist or mercantilist policies—that is, policies that discriminated against other countries’ imports and subsidized exports. In The Wealth of Nations (1776), Adam Smith (1723–1790) applies to international trade Locke ’s principle that the free exchange of goods and services leads to prosperity for all. Smith argues that countries should lower their tariffs on imports, reduce subsidies for exports, and allow a free market to emerge among all nations. This, he argues, enables nations to specialize in those exports for which they have a comparative advantage , or a competitive edge over other countries in producing and selling particular goods, while affording their citizens lower prices on imports from countries that have a comparative advantage in other areas of production. As counterintuitive as that struck many at the time, reason, Smith maintains, shows that the wealth of a nation grows in proportion to its freedom of trade. Jean-Jacques Rousseau Prolific philosopher and writer Jean-Jacques Rousseau adopted Locke’s state of nature, less as a thought experiment and more as an actual anthropological account of human history. Rousseau argued that “man was/is born free, and everywhere he is in chains.” Jean-Jacques Rousseau, On the Social Contract: With Geneva Manuscript and Political Economy , ed. Roger D. Masters, trans. Judith R. Masters (London: Bedford, 1978), 46. All humans have a natural right to be free and a natural compassion toward others. However, humans are enslaved by the desire for wealth and social status, and that has resulted in the creation of oppressive political regimes. Introduction to Rousseau: The Social Contract Jean-Jacques Rousseau’s The Social Contract emerged at a time of changing relationships between the people and their rulers. In The Social Contract , Rousseau argues that in order to liberate themselves, a group must first develop a heightened sense of collective identity as they confront a common challenge. Charismatic leaders must cultivate among the people a common religious sentiment—what Rousseau calls a civil religion —that defines citizens as brothers and sisters and teaches respect for religious differences. This civil religion would deepen the sense of collective identity among the population. With this sense of team-spiritedness in place, the people themselves—and not merely representatives—should assemble together to determine the laws that should govern them. To guard against corruption, laws can be passed only if they apply to all, without exemptions for any particular person or group, Melissa Schwartzberg, “Voting the General Will: Rousseau on Decision Rules,” Political Theory 36. no. 3 (2008): 403–423, https://www.jstor.org/stable/20452639. and the process of lawmaking must not involve political factions or fancy rhetoric. The people should reassemble periodically to reevaluate their laws to ensure that they serve the people under new circumstances. Rousseau argues that the laws such an assembly would pass would secure the general will —that is, the true good of each and every person in society. These laws would reduce income inequality and institute a system of civic education that would reinforce the civic religion and seek to cultivate civic virtue, a firmly rooted disposition to hold the good of the political community above narrow self-interest. Rousseau’s ideas have been extremely influential. Thomas Jefferson (1743–1846) asserted that the people of the United States should meet for periodic constitutional conventions, at which time the whole constitutional system should be judged anew. More recently, political leader and Secretary of Transportation Pete Buttigieg has argued that the ability to amend the Constitution places a deep trust in ordinary people to revise all the laws as they see fit, as it is a long-established principle that there is no such thing as an unconstitutional constitutional amendment. In principle, anything is fair game for the amending process. Pete Buttigieg, Trust: America’s Best Chance (New York: Liveright, 2020). One can also see echoes of Rousseau in the public nature of political life. In legal cases, for example, juries must announce their verdict publicly, before the community. Concerns similar to Rousseau’s over how religious differences within a community might undermine the pursuit of the common good arise in a number of contemporary debates, including debates over public education. In countries such as the United States that have enshrined the separation of church and state, Rousseau’s vision of a civil religion is not possible. What is possible in the United States, however, is for the government to give money to parents that they can use to enroll their children in any private (and often quite expensive) religious school they choose, a program that several states have adopted in the form of educational vouchers. Opponents of vouchers argue that public funds must be neutral with respect to any religious teachings and that the state should not subsidize access to religious education. Some voucher opponents assert that vouchers only foment a destabilizing degree of religious tension among the citizenry—a fear at the heart of Rousseau’s advocacy of a civil religion. Eamonn Callan, Creating Citizens: Political Education and Liberal Democracy (Oxford: Clarendon Press, 1997); Derek W. Black, “Supreme Court School Voucher Ruling Threatens American Unity and Public Education,” USA Today , July 3, 2020, https://www.usatoday.com/story/opinion/2020/07/03/public-education-voucher-danger-supreme-court-decision-column/5359990002/. Opponents of school vouchers raise questions about whether public funding for private religious education undermines Rousseau’s ideal of civil religion. (credit: “Saint John Catholic School” by Dan Keck/Flickr, Public Domain) Hobbes and Locke developed the idea of the state of nature, wherein individuals are thought of as interacting in the absence of a ruling government. Hobbes and Locke both argued that governments should be judged according to what individuals in a state of nature would have freely consented for government to be. Hobbes conceived of the state of nature as one in which an unlimited ruler would be needed. In contrast, because Locke saw individuals as possessing inherent natural rights and interacting with others according to a rationally discernible set of moral rules known as the natural law, he argued that individuals in a state of nature would construct a government to enhance the protection of individual rights and the enforcement of that law. For Locke, individual rights included the right to private property and the free exchange of goods and services. Adam Smith applied Locke’s ideas on property rights and free markets to defend global free trade. Rousseau added to the social contract tradition the idea of government based on the general will. civil religion a common religious sentiment, usually promoted by the state, that defines citizens as brothers and sisters and teaches respect for religious differences general will Rousseau’s term for laws that advance the true good of every person in society laws of nature according to Hobbes, rules based on human reason that would allow people to achieve peace and live free from worries in the state of nature mercantilist economic policies that discriminate against other countries’ imports and subsidize exports natural rights according to Locke and other thinkers, rights that individuals have as a consequence of the natural law social contract according to Hobbes, an agreement among the people to give power to an authority that can ensure that everyone follows the laws of nature and can punish those who do not state of nature a term used by thinkers such as Hobbes, Locke, and Rousseau to describe what they suppose life would be like if there were no government ruling over the people", "section": "The Laws of Nature and the Social Contract", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Development of Varieties of Liberalism Learning Outcomes By the end of this section, you will be able to: Define classical liberalism. Contrast classical liberalism with the thought of John Stuart Mill. Discuss ways in which Franklin Delano Roosevelt and the New Deal era contributed to liberal political thought. Assess F. A. Hayek’s contributions to liberal ideology. Many of the of the most prominent political ideologies today have their roots in classical liberalism , a set of ideas that emerged in the 18th century. Classical Liberalism Classical liberalism is a system of thought that combines elements of natural rights, limited government, and capitalism . Capitalism is an economic arrangement based on private property and the freedom to invest one’s wealth or talent in pursuit of profit. Classical liberalism endorses capitalism both within a country and in free trade among nations, as long as free trade is conducted within the moral limits of the natural law. Locke would say that classical liberalism endorses liberty , but it does not endorse moral license , or the freedom to act in ways that are destructive of the rights of others, the self, or the foundations of social peace and prosperity. Locke, Second Treatise , ch. 2. Classical liberalism was revolutionary. It inspired the overthrow of King James II of England and influenced the Declaration of Independence and the American Revolution (1776–1783). Later, it inspired thinkers to reflect on the forms of government that best prevent governmental abuse of power. Some argued that expanding suffrage, or the right to vote, enhances the people’s ability to ward off such abuse. For this reason, the framers of the US Constitution generally held that all male citizens who owned property should be entitled to vote for representatives. Benjamin Franklin went further, arguing that all adult White male citizens should be allowed to vote, a position the United States would adopt by the 1830s. Michael Waldman, The Fight to Vote (New York: Simon & Schuster, 2016). Defenders of expanding the right to vote argued that all citizens of a minimum age (excluding felons) should be entitled to vote because no person will protect an individual’s rights more than the person themselves. Building on these ideas, an argument emerged for prizing the intrinsic value of voting as a reflection of political equality. Sean Wilentz, The Rise of American Democracy: Jefferson to Lincoln (New York: W. W. Norton, 2005). In 1870, the 15th Amendment to the US Constitution expanded the right to vote to Black Americans, and in 1920, the 19th Amendment afforded the right to women. John Stuart Mill and the Expansion of Personal Liberty In his work The Subjection of Women (1869), English writer John Stuart Mill (1806–1873) argues for the full inclusion of women in the rights that were emerging in societies based on classical liberalism. In 1859, Mill published On Liberty , advancing the argument that modern societies should expand their commitment to the value of individual freedom. In it, Mill argues that because even great leaders supported by a broad social consensus can make terrible mistakes, it is to society’s advantage to encourage open debate and discussion of all views, however unpopular. Liberty, he argues, should be broadened not only in matters of speech and the press but also so that the law does not restrict the freedom of adults—even if individual adults exercise their freedom in ways that cause them personal harm, as long as that exercise does not harm another person. In this degree of commitment to personal liberty, Mill endorses views that classical liberals such as Locke would reject. According to Locke, the purpose of government is to enforce the natural law, and one of the principles of the natural law is the preservation of one’s life and natural talents. For Mill, both legal measures and pro-liberty cultural norms must protect personal liberty, even when the exercise of that liberty presents a risk to the acting individual, as long as it does not harm anyone else. Mill grounds this standard, which he calls the harm principle , on two assumptions: that freedom encourages an experimentation and open dialogue that allows people to reject dangerous ideas, and that the high value of personal liberty demands nothing less. John Stuart Mill, On Liberty , ed. Gertrude Himmelfarb (New York; Penguin, 1988), chs. 2, 4. FDR and the New Deal The Great Depression (1929–1941) had a significant impact on the classical liberal tradition. At the low point of the Great Depression, more than 25 percent of American workers were unemployed, and a massive contraction in economic activity led producers into waves of bankruptcy. Between 1933 and 1939, the federal government of the United States under President Franklin Delano Roosevelt (FDR) launched the New Deal , a set of substantial economic regulations and social welfare programs designed to protect consumers, expand the economy, improve the condition of workers, and ease the financial strain on retirees. These programs included the Federal Deposit Insurance Corporation (FDIC), the Federal Housing Administration (FHA), and the Social Security Board (now the Social Security Administration ). One New Deal program, the Works Progress Administration, employed millions of Americans during the Depression. (credit: “ Work Pays America! Prosperity ” by Vera Block/Federal Art Project/Library of Congress) FDR questioned the classical liberal belief that the expansion of the government should be held in check, instead advocating for confidence in the role of government to stabilize the economy and create safety net programs. Doing so, FDR argued, would ensure the long-term durability of classical liberalism’s commitment to individual rights and freedom from governmental abuse. It would forestall the need for more extensive government control of private property and tighter restrictions on individual liberty—two much graver threats to classical liberalism’s emphasis on individual rights and limited government. See Franklin D. Roosevelt, “Commonwealth Club Address (1932),” in American Political Thought: Readings and Materials , ed. Keith E. Whittington (New York: Oxford University Press, 2017), 508. F. A. Hayek Several thinkers, including economist F. A. Hayek (1899–1992), were skeptical of the breadth of governmental expansion under the New Deal. Although Hayek accepted the need to expand the role of the state in regulating economic activity, he contended that only a sizable government with substantial and invasive enforcement powers could regulate a large nation’s economy. In The Road to Serfdom , Hayek argues that extensive state planning of the economy empowers the government in a way that limits freedom and could eventually lead to government regulation of the whole of people’s lives. According to Hayek, expanded government creates entrenched bureaucrats who avoid democratic accountability. Once established, he argues, state regulations and large-scale programs are very difficult to roll back, and expanded economic regulations ultimately lead to reduced prosperity for all. The net result, according to Hayek, would be a new form of serfdom—a condition of limited freedom, entrenched hierarchies, and generalized poverty. F. A. Hayek, The Road to Serfdom: Text and Documents , ed. Bruce Caldwell (Chicago: University of Chicago Press, 2007). Hayek argued that once substantial regulations became law, the government would likely create a command economy , setting the prices of goods and services. According to Hayek, this would be a further detriment to economic prosperity because such prosperity depends on the efficient and rational allocation of resources by producers and consumers, and this can only happen in a free market , where prices are set by supply and demand with little to no government regulation. The free market communicates to both producers and consumers, via product pricing, the supply of and demand for various products. Prices go up when a demand is not being met, and producers shift production to make the products that consumers demand. Prices go down when a product is overproduced, and production shifts to making other products. To rely on the government to set prices, Hayek maintained, would lead to the overproduction of some goods, the underproduction of others, and a decline in the overall standard of living. Leland B. Yeager, “Mises and Hayek on Calculation and Knowledge,” The Review of Austrian Economics 7, no. 2 (September 1994): 93–109, https://cdn.mises.org/rae7_2_5_2.pdf. Classical liberals defend individual rights, limited government, and free trade. They favor capitalism, an economic system based on the freedom of owners to deploy their assets in whatever way they deem most profitable and the freedom of those without substantial assets to contract to sell their labor for wages. John Stuart Mill argued for enlarging the boundaries of personal freedom to include all endeavors that do not directly harm other individuals. In response to the Great Depression, a number of leaders advocated for including in the liberal tradition a more robust role for governmental regulation of the economy. Writers such as Hayek dissented, arguing for reduced government regulation of the economy and against the idea of a government-planned economy. classical liberalism an ideology emphasizing natural rights, limited government, and capitalism harm principle the idea advanced by John Stuart Mill that laws should not restrict the freedom of adults, even if adults exercise their freedom in ways that cause them personal physical or moral harm, as long as that exercise does not harm another person", "section": "The Development of Varieties of Liberalism", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Nationalism, Communism, Fascism, and Authoritarianism Learning Outcomes By the end of this section, you will be able to: Analyze nationalism. Discuss the central concepts of Marx’s political thought. Trace the development of Marxism-inspired political ideologies in the West. Assess the varieties of fascism and authoritarianism. Describe the core tenets of contemporary Chinese communism. Nationalists see a national group as endowed with a distinctive culture and set of ties with other members. These ties often stir a nearly spiritual attachment to the national group. This attachment is often based on shared blood, history, and soil. One of the first defenders of nationalism as a political ideology, German philosopher Johann Gottfried von Herder (1744–1803), argued that if each nation looked inward and celebrated its own distinctive contributions, the world could enjoy international peace. Richard White, “Herder: On the Ethics of Nationalism,” Humanitas 18, nos. 1 and 2 (2005): 166–181, https://css.cua.edu/humanitas_journal/herder-on-the-ethics-of-nationalism/. Other defenders of nationalism have seen it as a rallying cry for independence movements that freed non-Western regions from Western control, as in Vietnam and Algeria, both of which fought long wars to end French colonial rule. However, nationalism has also been used to assert that one nation is superior to all others, and this has stimulated social exclusion and war. The Development of Marxism in the West In the 19th century, German writer Karl Marx (1818–1883) and his collaborator Friedrich Engels (1820–1895) condemned nationalism for its power to distract people from the economic struggles within and across nations and from how some individuals economically exploit members of the same “nation.” Marx predicted that a global revolution would upend the whole of modern society and eventually result in communism —a condition of peace, justice, freedom from repressive laws and political supervision, and equality of material resources in a society without economic classes. Inspired in part by Rousseau , Marx held that in such a society, the inherent human potential for living in peaceful solidarity with all and exercising creative freedom would be fully realized. When Marx sought to sketch the nature of communism, he emphasized this creative freedom: “In communist society, where . . . each can become accomplished in any branch he wishes, society regulates the general production and thus makes it possible for me to do one thing today and another tomorrow, to hunt in the morning, fish in the afternoon, rear cattle in the evening, criticise [poetry, art, music, etc.] after dinner, just as I have a mind, without ever becoming hunter, fisherman, herdsman or critic.” Karl Marx and Friedrich Engels, The German Ideology , vol. 1, pt. 1, in Marx-Engels Collected Works , vol. 5 (Moscow: Progress Publishers, 1976), https://www.marxists.org/archive/marx/works/1845/german-ideology/ch01a.htm. Unlike Locke , for whom the free market worked to ensure overall prosperity for all, for Marx and Engels, the internal operations of a free-market economy grounded on private property and the free exchange of goods and services made communism inevitable. According to this vision, in a free market society, most people must sell things to secure money to buy the necessities of life. This creates competition among producers, who eventually compete to offer the lowest prices. One way to do this is to invest in labor-saving machinery that lowers the cost per product by lowering the producer’s labor costs. This leads to growing unemployment, and those who retain their jobs are paid lower and lower wages, all to keep product costs low. This results in the general impoverishment of the mass of society. The Masses , published monthly in New York from 1911 to 1917, focused on labor struggles, women’s rights, and other issues that were considered radical at the time. (credit: “The Masses, July 1916” by The Masses Publishing Co./The Tamiment Library and Robert F. Wagner Labor Archives, New York University, Public Domain) According to Marx, in an industrialized society, most people become members of the proletariat , or those who sell their labor to a few large companies. A few are among the bourgeoisie , a group of middle-class merchants, accountants, lawyers, and other professionals who sell small consumer products or professional expertise, but their numbers will eventually shrink. Marxist theorists today see this process playing out as mechanized production and the vast use of information technology renders many once relatively high-paying jobs obsolete. As the workers and those struggling to find steady work become increasingly numerous and increasingly miserable, they will inevitably bond over a recognition of their common economic condition—what Marx calls class consciousness —and will come together to demand change. They will seize the privately held technologies and swiftly and violently act to capture government power. This represents what Marxists call the dictatorship of the proletariat , a temporary period when the workers would organize, take control of the state, and engage in the cleanup operations needed to usher in communism. During this period, the proletariat should control all political speech to prevent counterrevolution and work to upend the social relations of production —that is, social norms such as marriage that have been shaped by the capitalist economy. Marx believed that the forces of capitalism were well advanced in Germany, and he anticipated that German workers would realize his vision for a workers’ revolution, which in turn would extend to neighboring countries. Yet this revolution failed to occur. Why? Italian Marxist Antonio Gramsci (1891–1937) argued that the owners of the means of production weaponize culture against the workers. They manufacture a set of cultural norms through their control of the media, churches, and schools, asserting what Gramsci called hegemony , or domination by means of the prevailing culture. Hegemonic cultural norms define it as unacceptable to be a revolutionary and acceptable for workers to be content with their lot in life, with their small holdings of private property and the freedoms they enjoy in their private lives, and with the conspicuous entertainments on offer (which are full of rags-to-riches stories that distract them from their oppression and encourage them to view the economic status quo as one of economic opportunity). The hegemonic culture also celebrates patriotism, which creates a false sense that owners and workers are on the same team. Perhaps most dangerously for Marxists, the prevailing culture manufactured by the wealthy elite reinforces religious beliefs and practices, which only divert attention from worker oppression and instill passivity in the system of private property by preaching such commandments as “thou shall not steal.” In his Prison Notebooks , Gramsci argues that communism as a political cause “will triumph by first capturing the culture via infiltration of schools, universities, churches and the media by transforming the consciousness of society.” Quoted in Robert S. Smith, “Cultural Marxism: Imaginary Conspiracy or Revolutionary Reality?,” Themelios 44, no. 3 (December 2019): 444, https://www.thegospelcoalition.org/themelios/issue/44-3/. By capturing these culture-producing institutions, the wealthy elite can transform culture so that it celebrates ways of thinking and acting that undermine the norms that discourage a communist revolution. The Russian Marxist Vladimir Lenin (1870–1924) developed a somewhat different answer to the question of why a revolution had failed to occur in the industrialized nations of Europe. Lenin argued that the workers needed a vanguard, a small set of dedicated and merciless revolutionary activists working on their behalf to seize the state and take control of the economy. Without a vanguard, the capitalist forces that controlled the economy would always be able, as Lenin believed they did in Germany, to forestall the general impoverishment of the masses. A small group of dedicated activists, on the other hand, could seize power by the force of their revolutionary zeal and then act on the workers’ behalf to break the neck of the capitalist state. See Neil Harding, Leninism (Durham, NC: Duke University Press, 1996). Inside Gates of Soviet Russia (1914–1919) This newsreel footage shows what life was like for peasants in Soviet Russia under Lenin. Lenin advocated for this position in Russia, which was underdeveloped in terms of industrial machinery. Because the Leninists who seized power in Russia in November 1917 believed that highly productive machinery was necessary to provide such plenty that people would think it natural to share with one another, their key tasks were rapid industrialization, consciousness-raising among the workers, and the suppression of any forces resisting the move toward communism. Lenin still held an international vision and hoped to see parallel revolutions in the industrialized world. After Lenin’s death in 1924, his successor, Joseph Stalin , and later rulers of the Soviet Union took these objectives to greater extremes, demanding rigid conformity with Marxist ideology and conducting a state-mobilized commitment to build Russian industry, no matter the cost in lives or to the natural environment. Stalin advanced the idea that while worker revolutions in states outside the Soviet Union may take a very long time to arise, in the meantime, a society based on shared wealth and collective prosperity could be built in Russia. The Soviet Union could defend itself from the foreign interventions that Lenin had argued would inevitably come from capitalist countries. See Neil Harding, “Leninism and Stalinism,” in Leninism , 243–263. In pursuit of these objectives, the Soviet Union’s government under Stalin effectively became a form of totalitarianism , where the state sought to control the totality of its citizens’ lives as a means to achieve state objectives. 20th-Century Fascists Soviet communism was not the only form of totalitarianism that marked the 20th century. In the early 1920s, fascism , an ideology that combines reverence for the state with nationalism, anti-communism, and skepticism of the parliamentary form of government, first emerged in Italy and Spain. Under a parliamentary form of government, parties are elected to a legislative chamber, and the chamber, by a majority vote, selects members of the executive branch. By the 1900s in Italy, Spain, and other European nations, an array of different parties had emerged and been elected to parliament, making it very hard to form parliamentary majorities and select an executive branch capable of achieving results that would satisfy large sections of the population. In part in response to the challenges of governing under such fragmented parliaments, fascism sought to inspire nationalist loyalty to a single leader who would forcefully get “positive” results. Stanley G. Payne, A History of Fascism, 1914–1945 (Madison: University of Wisconsin Press, 1995). The Nazism that governed Germany from 1934 to 1945 was a particularly vile expression of fascism. Inspired by the Italian Fascist Benito Mussolini , who ruled Italy from 1922 to 1943, Germany’s Adolf Hitler (1889–1945) developed a fascist ideology that sought to consolidate political power in the hands of one ruler. Nazism opposed much in modern life—especially the freedoms that Germans enjoyed under the Weimar Republic (1919–1933), which Hitler found decadent. But in other ways, Nazism was very modern. It embraced industrialization and rejected any lingering privileges of hereditary aristocracy in Germany. It sought to undermine culturally entrenched forms of religion in Germany, going so far as to advance its own modified form of the faith, led by the Nazi-controlled Reich bishop, which it called German Christianity. Richard Steigmann-Gall, Holy Reich: Nazi Conceptions of Christianity, 1919–1945 (Cambridge: Cambridge University Press, 2003). A form of totalitarianism, Nazism sought the coordination of the whole of society around Nazi ideology. To these views, Nazism added a horrific form of race-based hatred of Jews and other races, such as Slavs (the native population of eastern Europe). It justified this racism on the basis of what it saw as modern “science.” Nazi racism mitigated its commitment to nationalism and supplemented it with an appeal to all “Aryans,” seeking alliances beyond Germany with other “Aryan” nations. Fueled by extreme hatred, the Nazis carried out the Holocaust , the systematic and partially successful attempt to exterminate all Jews and others they deemed inferior, resulting in the murder of many millions of people in Europe. Martin Gilbert, The Holocaust: A History of the Jews of Europe during the Second World War (New York: Holt, Rinehart, and Winston, 1986). To date, the Holocaust is the worst genocide in human history. Mein Kampf : Hitler’s Nazi Philosophy In his manifesto, Mein Kampf , Adolf Hitler articulated Nazi philosophy, which aimed, under the unquestioned authority of the führer, to exterminate those who did not belong to what Nazis considered to be the master race. Mid-20th-Century Western Authoritarianism Several European countries in the 20th century sought to avoid fascism and communism, yet resisted adopting the liberal tradition. During the 20th century, Portugal came to be governed by the principles of authoritarianism , an ideology that may allow freedoms in nonpolitical life but does not permit any political challenge to the ruler. From 1932 to 1968, the authoritarian prime minister of Portugal, António Salazar , attempted to create a state ruled exclusively by his own party that would permit a substantial (though incomplete) measure of economic and personal freedoms and respect for human rights. Portugal was considered a safe haven from Nazi oppression, and the government undertook efforts to grant false visas and asylum for Jews, especially those from eastern Europe. Portugal tolerated religious dissent, and it had a relatively free and open economy. Gilbert, Holocaust . Defenders justified the principle of authoritarian rule on the basis that the democratic selection of rulers was just too dangerous. Would the people be consumed by the passions aroused by the Nazis as they sought to defeat communism and protect what they called the higher race? Or would they be captivated by the call for equality, spearheaded by the working class, and embrace Soviet-style communism? To avoid either, Portugal instituted an undemocratic authoritarian system governed by a leader who, it was hoped, would rule with moderation and sensitivity to basic rights. Contemporary Authoritarianism: Egypt In recent years, authoritarianism has expanded in parts of the world. In 2011 and 2012, the Arab Spring emerged in countries such as Egypt and Tunisia to remove authoritarian leaders and transform these states into representative democracies. In Egypt, uprisings led to the removal from office of longtime authoritarian ruler Hosni Mubarak in 2011. In the elections that followed, Mohamed Morsi , a member of an Islamic extremist organization, the Muslim Brotherhood , was elected president. Amid protests following his election, former military general Abdel Fattah el-Sisi seized power. Sisi has since consolidated his power to ensure his unopposed rule, having justified this assumption of unchecked power with the same argument advanced by the authoritarian ruler António Salazar: the people cannot be trusted to select appropriate leaders. This judgment is advanced as a serious ideological position in large parts of the world. How the Arab Spring Started and How It Affected the World The Arab Spring started with a single protest in Tunisia in 2011 and spread throughout the Middle East and Northern Africa. Contemporary Chinese Communism Although the Soviet Union, which based its government on ideas inspired by Marx, collapsed in 1991, communism persists as a political ideology. In fact, the most populous country on Earth, the People’s Republic of China, is currently governed by a regime committed to a version of communist ideology. In China, no individual who is not a member of the Chinese Communist Party may hold political office. Under the leadership of Mao Zedong , the Communist Party seized power in 1949. Mao, who served as the premier of China until his death in 1976, developed a distinctive form of Marxist-Leninist ideology that came to be known as Maoism. Maoism held that the Chinese peasantry, and not the industrial workers, could and should be the agents ushering in communism; all that they needed was to be led, shaped, and molded by a sufficiently powerful political party. The peasants, Mao argued, had many of the attributes that Marx believed would lead to a revolution and to the creation of the communist condition. Mao contended that the peasants’ poverty made them miserable, their ignorance made them malleable, and their supposed natural combativeness made them open to embracing change through revolutionary struggle. What the peasants lacked that Marx believed the urban industrial workers had was a team-spiritedness and a shared class consciousness. Hence, for Mao, what the masses needed to mold them into a revolutionary force was a strong revolutionary party (what Lenin called a vanguard) with exclusive political power. Mao viewed urban, intellectual groups with special suspicion, and from 1966 to 1976, he made them targets for persecution in the Cultural Revolution , a movement led mostly by student-run battalions of militant activists known as Red Guards who worked to silence dissent. Because China during Mao’s reign had a population of over 800 million, Mao felt that these measures were the only way to achieve the goals of the Chinese Communist Party. In this Chinese propaganda poster, peasant workers, soldiers, and students all follow Mao and his teachings, as symbolized by the book bearing Mao’s likeness that the worker carries in the foreground. (credit: “Advance Courageously under the Guidance of the Red Flag of Mao Zedong Thought” by Pang Ka/Thomas Fisher Rare Book Library, University of Toronto/Flickr, CC BY 2.0) Before Mao died in 1976, he declared that China was in the “initial stage of socialism.” His successor, Deng Xiaoping, argued that although great work had been achieved under Mao, the goal of a classless society was still a ways off, and therefore, economic experimentation in alternative ways to achieve the communist goals was justifiable. Deng Xiaoping, “Building Socialism with a Specifically Chinese Character,” The People’s Daily , June 30, 1984. Instead of controlling every aspect of economic production, Deng instituted a policy, still ongoing in China today, that allows private property and free markets in a controlled manner. The policy primarily allows consumer items (always under the strict supervision of the Communist Party) as a way to achieve increased economic productivity. The Chinese government has also introduced limited religious freedoms to enhance individuals’ life satisfaction in order to increase their economic efficiency. After the productive forces of society become sufficient to meet everyone’s needs, Deng promised, communism would emerge. As communism arose, Deng argued, China would shift away from a profit-based economy to one in which creating and distributing products people need, rather than profiteering, would drive economic output. According to Deng, at this final stage, religion would also disappear because the product-based economy would alleviate human misery, eliminating the need for the “opiate” of religion. Finally, the Communist Party’s firm control over the population would come to an end. This is similar to Rousseau ’s suggestion that when people become liberated from the drive for personal profit, they will be freed not only from economic and political repression but also from the way it warped their psychology. For communist states, at least in theory, the ultimate goal is liberation; repression is not an intrinsic value, only the necessary means to the desired end point of genuine human liberty. When the current leader of the Chinese Communist Party, Xi Jinping, assumed office in 2012, he reaffirmed China’s adherence to utilizing market freedoms to achieve the final goal of communism. At the same time, he emphasized the importance of maintaining strong party control. To this end, he has increased state regulation of religion, education, and the media. Most religions face increasing persecution under Xi , but because he sees the traditional Chinese belief system of Confucianism , which emphasizes social cooperation, order, and hierarchy, as a complement to Communist Party goals, he has tolerated its reemergence. Primarily, Xi has encouraged the Chinese populace to derive meaning and moral guidance from a firm attachment to Marxist ideals. To deepen support for the Communist Party, the regime has touted the dramatic reduction in poverty that has occurred in China over the last several decades. Salvatore Babones, “The Meaning of Xi Jinping Thought: National Revival and Military Power,” Foreign Affairs , November 2, 2017, https://www.foreignaffairs.com/articles/china/2017-11-02/meaning-xi-jinping-thought. Nationalism, or pride in and celebration of a national identity based on shared blood, history, and soil, usually to the exclusion or detriment of other identities, rose to prominence as a political ideology in the 19th century. Marx and Engels argued that nationalism divided workers who should cooperate across national boundaries to respond to and eventually overthrow capitalism, which they argued was both inherently inhumane and inherently fraught with internal tensions that made it vulnerable to—or even destined for—replacement by the coordinated revolutionary actions of the working class. Gramsci, Lenin, and Stalin took Marxist thought in new directions. In part catalyzed by the growth of communism, new European political movements emerged, seeking to resist communist expansion. Fascism, and especially Nazism, argued for a heightened form of nationalism that could respond to the communist challenge, while at the same time advancing beliefs in Aryan racial superiority tied to a hateful form of exclusivism and anti-Semitism. Both the communism of the Soviet Union and its allies and the fascism of the Nazi regime were expressions of extreme authoritarianism known as totalitarianism. More moderate forms of authoritarianism have sought—and in a number of countries, such as Egypt, still seek—to maintain some degree of individual freedom while consolidating political power in individuals and institutions that are not democratically accountable. China has allowed some limited freedoms of property and religion while maintaining otherwise strict communist ideals. authoritarianism an ideology that may allow freedoms in nonpolitical life but does not permit any political challenge to the ruler class consciousness a recognition of one’s membership in an economic class, which Marx argued can engender a sense of profound camaraderie among the proletariat based on the recognition of common economic conditions communism in Marxism, the eventual condition that will emerge from the fall of capitalism, characterized by peace, justice, freedom from repressive laws and political supervision, and equality of material resources in a society without economic classes dictatorship of the proletariat in Marxist thought, a temporary period in which workers would organize, take control of the state, and engage in the cleanup operations needed to usher in communism fascism an ideology that combines reverence for the state with nationalism, anti-communism, and skepticism of the parliamentary form of government hegemony the prevailing cultural norms that serve to reinforce the economic domination of the upper class Maoism the ideology advanced by Mao Zedong that the Chinese peasantry, and not the industrial workers, could and should be the agents ushering in communism and that the peasants need only to be led by a powerful political party nationalism pride in and celebration of a national identity based on shared blood, history, and soil, usually to the exclusion or detriment of other identities Nazism a form of fascism that governed Germany from 1934 to 1945 social relations of production social norms, such as marriage, that have been shaped by the capitalist economy totalitarianism a political system in which the state seeks to control the totality of its citizens’ lives as a means to achieve state objectives", "section": "Nationalism, Communism, Fascism, and Authoritarianism", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Contemporary Democratic Liberalism Learning Outcomes By the end of this section, you will be able to: Define contemporary democratic liberalism. Describe the center left and the center right. Identify key differences between the center left and the center right. In the mid-1970s, Portugal shifted away from authoritarianism when it adopted a constitution that created democratic elections for public officeholders. In a development that has been called the third wave of democratization , a number of other authoritarian regimes in the 1970s, especially Spain, Taiwan, and South Korea, also made this shift. By the early 1990s, the Soviet Union and other communist states of eastern Europe had also fallen. In the 20th century, democratic liberalism , which merges classical liberalism’s endorsement of capitalism and individual rights with a high regard for equal treatment and democratic decision-making through elected representatives, became the predominant form of political thought in the United States, Canada, Europe, South Korea, and a range of other nations. Democratic liberalism, not to be confused with the Democratic Party, is an ideology and is not limited to one political party. Liberalism: Where Did It Come From and Are Its Days Numbered? A recent wave of populist sentiment has led some to question the future of liberalism. Following skepticism of direct democracy , in which the populace decides political matters by a direct majority vote, democratic liberalism focuses on the election of representatives who act on the people’s behalf. This distance between the people and political decisions reflects the concern that in a direct democracy, the majority may deprive those in the minority of their rights. Democratic liberalism looks to the courts to exercise some measure of counter-majoritarian power, shielding minorities from abuse by numerical majorities. While specific systems vary, most democratic liberal regimes embrace some measure of mixed government, ensuring that the powers of the courts, the legislature, and the executive are not all in the hands of one governmental body. In addition, democratic liberalism advocates for the government to advance some measures to reduce economic inequality, such as providing a social safety net for the unemployed and taxing inheritance. Democratic liberalism has endorsed a robust role for the state in regulating the nation’s economic activity while remaining within a capitalist economic system. Throughout the second half of the 20th century, two main expressions of democratic liberalism emerged in Western countries: the center right and the center left. In part as a result of their shared commitment to principles such as representative democracy, individual rights, and a free-market economy based on capitalism, both the center right and the center left repudiate socialism, communism, and fascism. Democratic Liberalism and the Center Right The center right constitutes the ideological core of what, in a US context, is the contemporary Republican Party. See Noam Gidron and Daniel Ziblatt, “Center-Right Political Parties in Advanced Democracies,” Annual Review of Political Science 22 (2019): 17–35, https://doi.org/10.1146/annurev-polisci-090717-092750. It largely sees itself as providing an updated form of the political thought of classical liberalism. This connection with classical liberalism is evident in center-right parties outside the United States. In Australia, for example, the center-right party is called the Liberal Party. The core of the center right is what is called political fusionism , a combination of moderate economic libertarianism and moderate social conservatism. See Joseph Bottum, “Social Conservatism and the New Fusionism,” in Varieties of Conservatism in America , ed. Peter Berkowitz (Stanford, CA: Hoover Institution Press, 2004), 31–47. Libertarianism is an ideological vision that promotes limiting government to enhance personal freedom. Libertarians are the heirs of John Stuart Mill ’s philosophy as developed in On Liberty . They therefore prize freedom of speech and expression and liberty with respect to personal behavior, including sexual practices, sexual orientations, and drug use. Libertarians endeavor to eliminate or at least scale back government regulation of the economy and policies that redistribute income. Libertarianism also sees the right to travel internationally to sell one’s labor ( economic migration ) as a basic human right. According to the libertarian Future of Freedom Foundation , “open borders is the only libertarian immigration position.” Jacob G. Hornberger, “Open Borders Is the Only Libertarian Immigration Position,” Hornberger’s Blog , The Future of Freedom Foundation, May 19, 2016, https://www.fff.org/2016/05/19/open-borders-libertarian-position-immigration/. However, in addition to the free flow of labor across borders, for most libertarians, the right to move one’s property overseas in search of greater economic gain—as, for example, by closing factories in the United States and reopening them in parts of the world where labor costs are lower, a practice known as offshoring —is also a basic human right. Loyalty to any particular state is relatively unimportant in contemporary libertarianism. For libertarians, this means that corporations have no moral obligation to keep factories open in the United States if production can be done more cheaply overseas. Libertarians support the development of international trade, the reduction of governmental regulations that they see as impeding the free use of private property, and the lowering of taxes to encourage economic growth. They tend to emphasize the need for generous immigration into the country to provide companies with a steady supply of labor and to favor permissive systems of immigration law that allow large numbers of new people to enter countries each year. Migrant workers harvest corn in Gilroy, California, in 2013. (credit: “20130828-OC-RBN-3316,” by US Department of Agriculture/Flickr, CC BY 2.0) Unlike what one might call pure libertarians, moderate economic libertarians accept the scope of the role that government has come to play in the contemporary world while still seeking to minimize government’s growth into new areas. They accept, for example, President Lyndon B. Johnson ’s Great Society policies, such as Medicare and Medicaid , while rejecting the expansion of further governmental programs such as the Patient Protection and Affordable Care Act of 2010, better known as Obamacare . The school of political thought that emphasizes the need for the government to uphold traditional moral standards based on the natural law or on the long-standing traditions of a given area is known as social conservatism . Moderate social conservatives adhere to this general viewpoint, but most do not call for integrating directly religious teachings into the body of civil law. Typically, they prefer to uphold social conservative values on the grounds of natural law or by deference to local norms and customs, which in certain areas include deeply entrenched religious values. See Jeffrey Bell, The Case for Polarized Politics: Why America Needs Social Conservatism (New York: Encounter Books, 2012). Although they value personal freedom, they seek to ensure, in Locke ’s terms, that liberty is not replaced with a license to engage in immoral behavior. A moderate form of social conservatism accepts some expansions of personal autonomy rights, such as the right of same-sex couples to engage in civil unions or even civil marriages, while at the same time seeking to limit the further expansion of government support for nontraditional values. Moderate social conservatives see contemporary schools as doing a relatively poor job of instilling moral virtue in children and seek to improve character education in schools—a claim that goes all the way back to Aristotle. In the United States, moderate social conservatives are often concerned with judicial activism—that is, courts deciding cases using what social conservatives see as a creative reimagining of what the Constitution means. Social conservatives view such activism as beyond the scope of the judges’ constitutional authority. These conservatives often embrace originalism, the view that the Constitution should be interpreted in light of the understanding of its meaning at the time of its adoption. Most moderate social conservatives in the United States argue that the framers affirmed the power of state governments to uphold standards of morality that include prohibitions on various forms of personal liberty (such as pornography production and distribution). Social conservatives therefore see Supreme Court decisions that restrict states from upholding traditional morality—such as the Supreme Court’s decision in Roth v. United States (1957), which effectively legalized pornography on the basis of the First Amendment —as a form of judicial activism that put the courts on the side of immoral behavior. They see these decisions as overturning long-standing laws against pornography and undermining the ability of state governments, through democratic elections, to define the most beneficial moral ecosystem. It is worth noting that adherents of other political ideologies sometimes have similar concerns about the courts deciding cases and overturning established law in ways that contradict those ideologies. Neil Gorsuch Is an Originalist: What’s That? Originalists attempt to interpret the Constitution in alignment with its original meaning. The center right’s fusion of moderate economic libertarianism and moderate social conservatism emerged as the dominant ideology within the Republican Party in the United States in the decades after World War II, and it has largely remained so—at least, until the rise of Donald Trump , which is explored in the discussion of New Right ideology later in this chapter. Democratic Liberalism and the Center Left The ideological core of the contemporary Democratic Party in the United States can be thought of as embodying center-left democratic liberalism. See Paul Starr, “Center-Left Liberalism,” in The Oxford Companion to American Politics , ed. David Coates, vol. 1 (New York: Oxford University Press, 2012). Like the center right, this view traces back to the political thought that emerged with Locke and developed through the 19th and 20th centuries. This lineage can be seen in Canada, for example, where the center-left party is called the Liberal Party. The center left seeks to maximize personal liberty to the extent that doing so is seen as feasible in light of the needs of the broader community. Center-left advocates tend to avoid sweeping efforts to extend personal liberty, such as legalizing hard drugs and prostitution, yet they do tend to seek to move in a direction similar to Mill’s harm principle—that is, moving to generally broaden personal autonomy as long as no other person is harmed. The rights of LGBTQ+ individuals have moved to the forefront of the center left. The center left tends to highlight how the LGBTQ+ community is similar to rather than in tension with traditional morality, as the US Supreme Court did in Obergefell v. Hodges (2015) when it required all states to recognize same-sex marriage as a legal institution. Another important point for the center left is the value of a robust judiciary that can update the words in the Constitution to ensure equality (or to meet what it considers other pressing social needs). Supreme Court justice William Brennan (1906–1997) was well known for advocating the view that the Constitution is a “living” document, which requires judges to interpret the constitutional text in a way that renders it capable of resolving issues in light of contemporary understandings of equality. William J. Brennan, “The Great Debate” (speech, Washington, DC, October 12, 1985), The Federalist Society, https://fedsoc.org/commentary/publications/the-great-debate-justice-william-j-brennan-jr-october-12-1985. The center left, like the center right, endorses an economic system defined by private property and a free-market capitalist society. There is a tendency on the center left to look at capitalism from the perspective of its ability to improve the conditions of the least well-off individuals in society. They see capitalism as creating new industries that allow the economically disadvantaged to secure well-paying jobs and as improving the quality of life for all. However, the center left supports a more robust role for the government in alleviating the difficulties faced by those in the lowest levels of society than is found in the classical liberal tradition and the center right. Because the center left supports the goal of government working to reduce economic inequalities, it emphasizes policies such as government grants that allow low-income individuals to attend college at low or no cost and expanded state services to provide low-income individuals with low- or no-cost medical care. The center left also supports higher taxes on inheritance and capital gains (the increase in the value of investments) and higher personal and corporate tax rates, as long as taxes target the wealthiest in society and tax revenues are used to reduce economic inequality and improve the lives of the less fortunate. The center left does not endorse socialism , seeing the government’s role in addressing poverty and inequality as limited, though important. Nutshell History: Social Safety Net Social safety nets are designed to help people in need. A recent tendency of the center left in the United States has been to argue for greater majority rule in the institutions of the federal government. The United States Constitution created the Electoral College to select the president in order to temper the power of the numerical majority in the operations of the federal government. This process allows a candidate who has not secured the most votes to win a presidential election. Secretary of Transportation Pete Buttigieg , in his 2020 work Trust , argues for a constitutional amendment to elect presidents by a majority vote, eliminating the Electoral College. Buttigieg, Trust , 137. Democratic liberalism has been the predominant form of contemporary political ideology in the industrialized nations of North America and Europe and nations such as South Korea, Australia, and New Zealand for the past 60 years. This ideology combines democratically accountable government with government protections of individual rights and the promotion of a capitalist economy. Under this broad umbrella, the center left and center right constitute primary subgroups. democratic liberalism an ideology that merges elements of classical liberalism, especially its endorsement of capitalism and individual rights, with a high regard for equality of treatment and democratic decision-making through elected representatives direct democracy a system in which the populace decides political matters by direct majority vote fusionism a political movement combining moderate economic libertarianism and moderate social conservatism social conservatism a school of political thought that emphasizes the need for the government to uphold traditional moral standards based on the natural law or on the long-standing traditions of a given area", "section": "Contemporary Democratic Liberalism", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Contemporary Ideologies Further to the Political Left Learning Outcomes By the end of this section, you will be able to: Discuss the ideology of the New Left and define a number of key movements within it. Assess the relationship among New Left movements. Assess the relationship between the New Left and the center left. In the 1960s, a new form of liberalism emerged in Western countries. The New Left is a somewhat vague amalgam of movements on the left of the political spectrum, united in the belief that the center left is insufficiently progressive. The major elements of the New Left are outlined below, but keep in mind that the exact line between the center left and the New Left is unclear and in flux. Multiculturalism One of the earliest New Left movements was multiculturalism . Multiculturalists argue that all or almost all of the cultures of the world are deserving of respect and that many individuals derive a great sense of their identity and self-worth through their membership in a particular culture. On these two bases, multiculturalists argue that contemporary governments should not seek to impose any society-wide cultural norms beyond the minimal norms to which all or almost all cultures already subscribe. A corollary of multiculturalist thought is that contemporary states do not need a common underlying culture in order to function effectively. Instead, multiculturalists tend to argue that a diversity of cultures enriches a society. Andrew Heywood, Political Ideologies: An Introduction (New York: Palgrave Macmillan, 2012). The all-women percussion band Batala celebrates Afro-Brazilian music and culture. (credit: “Women Percussion Band” by Pabak Sarkar/Flickr, CC BY 2.0) For example, many multiculturalists in countries with large numbers of recent Muslim immigrants, such as Canada and Germany, see Islam as endorsing socially beneficial values such as sustained religious charity, the search for Ijma or consensus, the flourishing of family life, the protection of the poor, and a focus on the unity of humanity. Multiculturalists hold up values such as these as evidence of the ways in which historically non-Western cultures can enrich Western societies. Others argue that too intense a focus on multiculturalism may be incompatible with traditional center-left thought. John Rawls (1921–2002), who is generally seen as a defender of the center left, argues in his influential work A Theory of Justice (1971) that a stable regime requires that the people share a significant proportion of liberal democratic values intrinsic to the center-left ideology. Still, some multiculturalists believe so strongly in the benefit of allowing groups to retain their cultural identity that they contend that even cultures that may reject prevalent Western norms—for example, allowing women to work—should not be condemned. They argue that these cultural values are important aspects of their members’ identity and that they pose no serious threat to the larger society. Environmentalism Environmentalism, a movement that aims to preserve and protect the natural environment, gained prominence in the 1970s due in part to concerns about overpopulation and shrinking world food supplies. The environmentalism movement built on earlier conservation movements, and after the Green Revolution of the 1970s, which saw agricultural production grow exponentially due to pesticide control and new farming techniques, environmentalists turned their attention to global warming. Environmentalists point to the now widely accepted research findings of a broad array of scientists that show the world’s climate is in a crisis condition that imperils not only animal biodiversity but also the well-being of human populations around the world. The environmentalist movement argues that the center-left focus on maintaining private property and limiting government prevents it from adequately addressing this climate crisis. In governments around the world, the Green Party advocates for policies that promote and preserve the well-being of the natural environment. (credit: “Green Jobs – a Way Out of the Crisis” by greensefa/Flickr, CC BY 2.0) Other environmentalists have gone even further from the center left. Center-left democratic liberalism has its roots in the concern for individual human rights. Some contemporary environmentalists advance the concept of animal rights, a position pioneered by the Australian philosopher Peter Singer . This position argues that nonhuman animals have rights that governments must also protect. Animal rights activists see the center left, by contrast, as narrowly speciesist, or unjustly concerned primarily with human well-being. Heywood, Political Ideologies , 264. Feminism Another major aspect of the New Left is its commitment to feminism , and here the lines between the center left and the New Left once again become blurry—as do the lines between the New Left, the center right, and classical liberalism. Feminism emerged as a well-developed and distinct ideology in the late 18th and the 19th centuries, championed with special force by Mary Wollstonecraft and John Stuart Mill in England and advocates such as Elizabeth Cady Stanton in the United States. Efforts in the 19th and 20th centuries such as the women’s suffrage movement and the movements to secure women’s rights—for example, the right to enter into contracts and to work in certain professions—helped expand the ideology of democratic liberalism and bolster first-wave feminism . Contemporary supporters of classical liberalism, who, along with those in the center right, see the equality of women in the workforce as the natural extension of their commitment to individual rights, affirm these gains. Naomi Schoenbaum, “When Liberals and Conservatives Agree on Women’s Rights,” Politico , March 31, 2015, https://www.politico.com/magazine/story/2015/03/supreme-court-pregnancy-discrimination-coalition-116559/. The publication of Betty Friedan ’s The Feminine Mystique in 1963 marked the popular emergence of second-wave feminism . In its first three years in print, The Feminine Mystique , which argued for the existence of a systemic sexism that taught women that their place was in the home and that any deviation from that role was unnatural, sold three million copies. Robert McCrum, “The 100 Best Nonfiction Books: No 18 – The Feminine Mystique by Betty Friedan (1963),” Guardian , May 30, 2016, https://www.theguardian.com/books/2016/may/30/feminine-mystique-100-best-nonfiction-books-robert-mccrum. Second-wave feminism focused primarily on bodily freedoms and safety surrounding sex and personal relationships, especially the right to abortion , the right to divorce without having to show cause (a change in divorce laws that developed in the 1970s), the prevention of domestic violence, and the critique of pornography as dehumanizing of women. Betty Friedan (second from left) converses with members of the National Organization for Women (NOW) in the 1960s. (credit: “(Left to Right): Billington; Betty Naomi Goldstein Friedan (1921-2006); Barbara Ireton (1932-1998); and Marguerite Rawalt (1895-1989)” by Smithsonian Institution/Flickr, Public Domain) In the early 1990s, third-wave feminism emerged, developing claims of embedded cultural patriarchy and working to upend what it sees as patriarchal norms in the wider society. Recently, third-wave feminists—potentially the vanguard of a fourth wave, according to some theorists—have condemned the concept of a rigid gender binary in favor of a more fluid conception of gender; have advocated to reduce or eliminate differences between men and women in all areas of public life, including the military; and have endorsed sex positivity as a way for women to express sexual autonomy and to eliminate cultural norms of female sexual self-control. R. Claire Snyder, “What Is Third Wave Feminism? A New Directions Essay,” Signs: Journal of Women in Culture and Society 34, no. 1 (Autumn 2008), https://doi.org/10.1086/588436; Constance Grady, “The Waves of Feminism, and Why People Keep Fighting over Them, Explained,” Vox, July 20, 2018, https://www.vox.com/2018/3/20/16955588/feminism-waves-explained-first-second-third-fourth. Second-wave feminism is arguably now a firmly rooted aspect of the center left. The degree to which third-wave feminism is now considered part of the center left remains a topic of debate. Critical Race and Gender Theory Advocates of critical race and gender theory seek to expand not only rights but also equity by compensating past victims of injustice through law and public policy in order to achieve a current condition that is judged to be fairer. For example, because Black Americans experienced discrimination in public services in the past, the Biden administration proposed in 2021 that the federal government issue special equity grants to Black Americans and other racial minorities in certain sectors, such as farming. See April Simpson, “Will Biden’s Relief Package Break Black Farmers’ ‘Cycle of Debt’?,” The Center for Public Integrity, March 19, 2021, https://publicintegrity.org/health/coronavirus-and-inequality/biden-relief-package-black-farmers-cycle-of-debt/. An additional aspect of critical race and gender theory involves epistemology —that is, the way one comes to know. In their understanding of epistemology, critical race and gender theorists draw on the views of feminist philosopher Allison Jagger , who argues in her pioneering 1983 work Feminist Politics and Human Nature that oppressors (in Jagger’s discussion, men) experience the world as favorable to their unjust desires and are therefore unmotivated to consider alternative points of view. The oppressed, on the other hand, have to cultivate both an understanding of their own condition and an understanding of their oppressors’ perspective in order to develop strategies of resistance. Consequently, they must develop a wider knowledge of the world, and thus their viewpoint is epistemologically richer and allows them to develop greater knowledge than those who oppress. Critical race and gender theorists use these ideas to argue that the oppressed tend to have clearer and surer knowledge than do those of the dominant race (Whites) and gender (cisgender men). Additionally, critical race and gender theory places emphasis on intersectionality , or the belief that individuals may have characteristics that make them members of more than one oppressed group and that these groups intersect, exacerbating the oppression such individuals experience. For example, although feminism has focused on women’s oppression, critical gender theory argues that Black and Hispanic women, whose identity exists at the intersection of race and gender, experience oppression to a deeper degree. In turn, some critical race and gender theorists, such as Nora Berenstain , argue that the understanding of society that Black and Hispanic women express is more epistemologically insightful than the insights of other groups Nora Berenstain, “Epistemic Exploitation,” Ergo 3, no. 22 (2016): 578, https://doi.org/10.3998/ergo.12405314.0003.022. and that equity may require special programs available only to Black or Hispanic women. Kimberlé Crenshaw at TED + Animation Columbia Law School and UCLA Law School professor Kimberlé Williams Crenshaw is a lawyer and critical race theorist. She coined the term intersectionality in 1989. Last, critical race theorists hold that the oppression exacted against minority communities, especially racial minorities, is structural in nature. They argue that structural racism manifests regardless of personal racist intent. An action or decision can be racist simply because it is taken within a legal, political, and cultural context that has been shaped by the past racist decisions of others. These past racist actions, critical race theorists maintain, have become a part of the fabric of the environment that shapes how people act—that is, unless individuals consciously act in ways that subvert the accepted standards, norms, and beliefs that the legal, political, and cultural system has created. Critical race and gender theorists argue that merit-based college admissions that rely in part on standardized testing are an example of systemic racism . Although the tests attempt to be race neutral, using them makes one complicit in racism because racist decisions in the past led to substandard minority schools (through school segregation ), family environments not conducive to learning (through segregated housing laws and the over-policing of minority communities), and lower income levels (through discriminatory employment practices). Therefore, to expect test scores to be a fair measure of worthiness for admission is to participate, even if unintentionally, in a system still marred by the continuing legacy of previous racist actions, and thus is to think in a racist way. Contemporary Socialism Adherents of socialism promote transitioning to a socialist economy, arguing that any changes ushered in by the center left will be inadequate in a capitalist economic system. The goal of socialism is to remake society to ensure more or less equal material wealth, especially the equal possession of the goods that individuals need to reach their full potential. Socialist thinkers argue that a cooperative and communal social existence is achievable and that, given this achievability, there is little reason not to pursue it. Canadian philosopher G. A. Cohen argued that to realize a society based on cooperative sharing would require the slow but persistent building of well-established political structures in which people can channel natural instincts and aspirations for cooperative living. Although they are critical of the center left, contemporary socialists generally reject the communist ideology advanced in China and other communist nations such as Cuba and Vietnam. Socialists argue that “no man is an island” and, therefore, that the material success of any individual or group is the result of innumerable societal supports. Hence, socialism judges as unproblematic high rates of taxation by which some of the wealth of those with the most money is transferred to those in need; without societal support, the wealthy would never have acquired so much wealth in the first place—a conclusion that takes on added force in terms of inherited wealth and structural advantages enjoyed at birth. In this way, socialists call for an activist state that aims to move society toward high rates of equality and human fulfillment. Contemporary democratic socialism seeks to combine all or most of the New Left positions with a renewed appreciation of socialist ideology. “What Is Democratic Socialism?,” Democratic Socialists of America, last modified June 9, 2021, https://www.dsausa.org/about-us/what-is-democratic-socialism/. This movement appears to be making some progress in American electoral politics, as evidenced by the popularity of Representative Alexandria Ocasio-Cortez , a democratic socialist representing New York’s 14th Congressional District in the US House of Representatives. It is also a major political ideology in Scandinavia and in areas of Latin America. In addition to advancing New Left ideas such as environmentalism, second- and third-wave feminism, and critical race and gender theory, democratic socialists question the center-left attachment to capitalism . Ibid. It is not enough, democratic socialists argue, to let the free market address certain needs, such as health care, on the condition that the government will provide a safety net for those with the very least economic resources, funded with tax revenues from the wealthiest in society. Instead, the very idea that health care should be provided through the free market—by, for example, individuals purchasing health insurance from private for-profit health insurance companies—needs to be rethought. Most democratic socialists argue that the government should administer and dispense health care to each person on an equal basis. The state, acting on behalf of society, should assert a right to take ownership of private companies that serve critical needs. For example, private companies that serve the energy needs of the country should be state-run if they fail to invest adequately in renewable energy resources to meet the challenge of climate change. Democratic socialists make a similar argument concerning private housing companies that fail to invest in affordable housing units. Although often expressed only as a last resort, democratic socialists assert the right in principle for government to take ownership of privately owned companies, either temporarily or permanently, to ensure that they develop the desired output. Noting, for example, that a person who is paid the federal minimum wage in the United States does not earn enough to keep a family above the poverty line , David Cooper, “Raising the Federal Minimum Wage to $15 by 2024 Would Lift Pay for Nearly 40 Million Workers,” Economic Policy Institute, February 5, 2019, https://www.epi.org/publication/raising-the-federal-minimum-wage-to-15-by-2024-would-lift-pay-for-nearly-40-million-workers/. democratic socialists are willing to require companies to offer not merely a minimum wage but what advocates call a “ living wage ,” guaranteeing to each employee a higher pay rate by imposing broad mandates on private employers. As of 2018, countries such as France, Portugal, and New Zealand had minimum wages well over 50 percent of the median full-time salary in those countries. Note that some countries, including Italy and Sweden, do not have a minimum wage. (source: OECD; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Democratic socialism also expresses skepticism regarding the importance of national borders, seeing easier entry for immigrants into a country as a matter of meeting the human rights of people in need. Despite these criticisms of the center left, democratic socialists, like democratic liberals and many earlier socialists, reject Marxist notions of violent revolution and the need for a workers’ dictatorship and Maoist ideas of a one-party state controlled by a communist party. They instead advance their agenda through the democratic political process. Indeed, democratic socialists emphasize how their movement empowers individuals to use their political influence to demand change. Community organizing and political mobilization play important roles in marshaling the political influence of those whom society has marginalized. Other forms of socialism include the ideology of the contemporary Venezuelan government mentioned at the beginning of this chapter. This ideology is alternately referred to as Bolivarianism, or Bolivarian socialism—after the early 19th-century leader Simón Bolívar , who led successful revolutions in Latin America against the Spanish Empire—and Chavismo , after presidents Chávez and Maduro , and it can be defined both by what it opposes and what it supports. Chavismo opposes what scholars call neoliberalism . Neoliberalism is usually defined as the efforts advanced by international institutions such as the International Monetary Fund (IMF) and the World Bank , and supported by most of the world’s largest industrialized nations, to encourage developing countries to adopt a free market, open their economies to international trade, and avoid significant inflation. Along with these economic goals, neoliberalism encourages respect for the right of political participation and other individual rights such as freedom of speech and religion. Chávez and Maduro see neoliberalism as outside pressures that amount to foreign rule. So, like a new Simón Bolívar, Chávez and Maduro see themselves as freeing Latin America from foreign control in the form of pressures advanced by international financial institutions. Following the Bolivarian socialist view, Chávez and Maduro want to lead Venezuela to chart its own course, utilizing its own natural resources, refusing offers of loans from institutions such as the World Bank, and rejecting criticism of its political processes. Exploiting Venezuela’s national wealth through state ownership of major industries such as the petroleum industry, they seek policies that redistribute income and create a generous social safety net. Brigham Young University professor Kirk A. Hawkins notes that, convinced that their model is just and in the best interests of the majority of Venezuelans, they seek to ensure broad support among the masses through control over the media and the judiciary, risking the violation of human rights. Kirk A. Hawkins, “Chavismo, Liberal Democracy, and Radical Democracy,” Annual Review of Political Science 19 (2016): 311–319, https://doi.org/10.1146/annurev-polisci-072314-113326. Globalism and Indigenous Federalism Both economic libertarianism and democratic socialism de-emphasize national borders. As an ideology, globalism focuses on this more international emphasis, calling for either enhancing the power of existing global institutions, such as the United Nations , or creating new international bodies with effective governing authority. Such international institutions have both concrete and symbolic importance. Concretely, they can mobilize forces around the world to address global issues such as climate change , economic inequalities among nations, and the repression of minorities within particular regimes. Symbolically, global governmental entities highlight a moral aspiration among globalists toward cosmopolitanism , the idea that one should define oneself primarily as a citizen of the world and not of any particular nation. One scholar, Université de Montréal professor Jean-Philippe Thérien , has identified an ideology centering on the United Nations itself. Jean-Philippe Thérien, “The United Nations Ideology: From Ideas to Global Policies,” Journal of Political Ideologies 20, no. 3 (2015): 221–243, https://doi.org/10.1080/13569317.2015.1075262. This ideology posits that because the United Nations represents the best in human endeavor, it should be the primary vehicle through which international problems are addressed. The United Nations ideology liberates its supporters from any narrow viewpoint tied to a particular country, region, or religious belief. Because neither the West nor any one group or section of the world determines truly global responses to global problems, the United Nations ideology eliminates the concern that foreign aid and development initiatives will surface old colonial tropes of the West such as the “White savior.” Like the United Nations ideology, Indigenism stresses the importance of seeing beyond the contributions or actions of White people, arguing that Indigenous tribal communities have special virtues and that these communities must be preserved. According to Indigenists, tribal membership permits higher levels of trust and reciprocity among group members than broader loyalties, such as loyalty to a nation, to a political movement like communism, or to a world religion like Islam, Buddhism, or Christianity. The tribe and its distinctive religious and cultural understandings encourage mutual caregiving and a stable and rooted sense of identity. Further, Indigenism contends that Indigenous communities have developed over the course of their long existence ways of living that respect the natural environment and are ecologically sustainable. Members of the Xolon Salinan tribe participate in a smudging purification ceremony before they visit the Stony Valley Arch in California in 2018. (credit: “Smudging Purification Ceremony” by Cynthia McIntyre/Fort Hunter Liggett Public Affairs Office/Department of Defense, Public Domain) Most advocates of Indigenism do not seek to leave Indigenous communities entirely isolated from the inexpensive and highly effective medicines, famine-reducing high-yield agriculture, and transportation systems of the modern world. Instead, Indigenists usually argue for a form of federalism . Federalism allocates some powers to local governments and some to a central or national state. The central administration, most Indigenists argue, should be connected to the modern global world and should be able to provide food surpluses, medical care, and other services, including protection from foreign invasion, while at the same time allowing Indigenous tribes to govern themselves in most other matters. The degree to which the central government should intervene in tribal areas to protect what it sees as basic rights remains an important question in Indigenous political thought. Since the 1960s, a range of movements on the left of the political spectrum have emerged, forming a loose association of ideas sometimes referred to as the New Left. The New Left includes environmentalism, second- and third-wave feminism, critical race and gender theory, contemporary democratic socialism, globalism, and Indigenist federalism. Repudiating communism and other nondemocratic approaches, these movements seek to make society more progressive. The line between the center left and the New Left is a blurry one, as some New Left movements have become so mainstream among center-left advocates that they now form core elements of center-left ideology. cosmopolitanism the idea that one should define oneself primarily as a citizen of the world and not of any particular nation critical race and gender theory a contemporary movement to expand rights and equity by compensating past victims of injustice through law and public policy in order to achieve a current condition that is judged to be fairer democratic socialism a New Left movement defined by a deep appreciation of socialist ideology and democracy environmentalism a movement that aims to preserve and protect the natural environment first-wave feminism a movement in the 19th and 20th centuries to advance women’s rights, such as the rights to vote, to enter into contracts, and to work in all professional fields globalism an ideology that calls for either enhancing the power of existing global institutions, such as the United Nations, or creating new international bodies with effective governing authority indigenism a movement asserting that Indigenous tribal communities have special virtues and deserve to be preserved by the state intersectionality the belief that individuals may have characteristics that make them members of more than one oppressed group and that these groups intersect, exacerbating the oppression that such individuals experience multiculturalism an ideology arguing that all or almost all of the cultures in the world are valid and should be respected, that many individuals derive a great sense of their identity and self-worth through their membership in a particular culture, and that the state should affirm this diversity of cultures neoliberalism a movement to encourage developing countries to adopt a free market, open their economies to international trade, avoid significant inflation, and enhance the rule of law and the rights of individuals second-wave feminism a form of feminism that emerged in the 1970s and focused primarily on bodily freedoms and safety surrounding sex and personal relationships, especially the right to abortion, the right to a divorce without having to show cause, prevention of domestic violence, and critiques of pornography socialism an ideology committed to remaking society to ensure more or less equal material wealth, and especially equal possession of the goods that individuals need to reach their full potential structural racism a form of racism thought to be manifest when actions are taken within a legal, political, and cultural context that has been shaped by the past racist decisions of others, regardless of the individual actors’ personal beliefs or intent third-wave feminism a form of feminism that argues that society is marked by embedded cultural patriarchy and works to upend these patriarchal norms", "section": "Contemporary Ideologies Further to the Political Left", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Contemporary Ideologies Further to the Political Right Learning Outcomes By the end of this section, you will be able to: Discuss the ideology of the New Right and define a number of key movements within it. Assess the relationship among New Right movements. Assess the relationship between the New Right and the center right. Just as a New Left diverged from center-left democratic liberalism, a New Right is veering off from democratic liberalism’s center right. The New Right has enjoyed political success not only in the United States but also in Brazil and Hungary. The exact line between the center right and the New Right, like that between the center left and the New Left, is unclear and in a state of flux. This New Right is not a simple revival of the Old Right, which represents views not held by many in the West today. These views include support for monarchical authoritarianism; inherited aristocracy, in which, unlike in Aristotle’s sense of the word aristocracy, political power is conferred not because a group is virtuous but because they have inherited land and privilege; an extreme form of nationalism; a formal union of church and state; and an alliance with landowners and those with entrenched long-held wealth to the conscious detriment of the middle and lower classes. So what defines the New Right? One important element of the New Right is the way that it speaks to those who identify with traditional Judaism, evangelical Christianity , classical liberalism, and the center right who feel beleaguered and under siege. In response to these perceived threats, adherents of the New Right maintain that the center right is insufficiently protective, just as the New Left sees the center left as insufficiently progressive. See Michael Anton, “The Flight 93 Election,” Claremont Review of Books , September 5, 2016, https://claremontreviewofbooks.com/digital/the-flight-93-election/. Concerns about Culture The New Right sees what it calls cultural Marxism —that is, Gramsci ’s theory that culture must be weaponized against the upper classes—as one major danger. Many in the New Right feel that the culture has been weaponized against all they hold dear, just as many in the New Left feel that society has suppressed their values and principles. English author and social critic Os Guinness , for example, places special emphasis not only on Gramsci but also on German-American philsopher and political theorist Herbert Marcuse (1898–1979), who argues in his 1964 book, One-Dimensional Man , that the working classes have become immersed in consumerist culture and, needing jobs to fulfill their consumerist appetites, have lost their ability to think in a revolutionary way about their oppression. Marcuse argued that growing movements in the 1960s for sexual liberation and for more radical forms of social change represented the forces that could initiate a communist revolution, and he advocated for dramatic cultural change. As UCLA professor Douglas Kellner remarks, “Marcuse championed . . . minorities, outsiders, and radical intelligentsia [writers, professors, and artists] and attempted to nourish oppositional thought and behavior through promoting radical thinking.” Douglas Kellner, “Herbert Marcuse,” UCLA School of Education & Information Studies, https://pages.gseis.ucla.edu/faculty/kellner/essays/herbertmarcuse.pdf. According to Marcuse, this radical thinking would galvanize calls for a revolutionary overthrow of capitalism—a feat that the working class was no longer able to effectuate. As a result, Marcuse became one of the most prominent champions of what in the 1960s was termed the counterculture . Thinkers such as Os Guinness argue that the counterculture has come to represent the dominant ethos of such prominent and now mainstream culture-influencing arenas as Hollywood and social media, which they see as routinely mocking and belittling traditional values. Guinness views the use of this increasingly mainstream counterculture as an attempt to effectuate Marxist objectives. Such a movement, Guinness argues, has created only rapid cultural and moral decline. Os Guinness, The Dust of Death: The Sixties Counterculture and How It Changed America Forever (1973; repr., Downers Grove, IL: InterVarsity Press, 2020). Other members of the New Right use the term cultural Marxism more metaphorically. For example, in a May 2021 speech, the former attorney general for the Trump administration, William Barr , argued that critical race and gender theory share with Marxism a divisive “us versus them” mentality and an attachment to social change similar to the communist call for a workers’ revolution. See Jeremy Beaman, “Barr Slams ‘Secular Progressive Orthodoxy’ in Public Schools,” Washington Examiner , May 21, 2021, https://www.washingtonexaminer.com/news/william-barr-speech-slamming-progressive-orthodoxy. According to these social conservatives, these features make critical race and gender theory a socially destructive force, just like Marxism. Political Ideology and Critical Thinking The Political Spectrum Political beliefs fall across a broad spectrum, and even individuals with seemingly very different perspectives may, upon closer inspection, agree more than they disagree. At their core, political ideologies help people make sense of the world and can help people understand the various policy options available to governments. Different ideological perspectives advocate for different policy approaches, or even for different governmental systems. When a writer, thinker, or politician says that problem X can be solved with solution K, they are usually basing this statement on analysis that is the product of critical thinking. Critical thinking helps people use data, ideas, and different perspectives to look at the specific problem at hand, understand the arguments being presented, and come to a conclusion about what they think is the best solution. Not everyone will agree on a “best” solution to a problem, and when one looks at political ideology, one is offered multiple different answers informed by the different ideologies and their perspectives. By studying these ideologies, understanding their points of view, and seeing how they are translated into the political sphere, you are sharpening your critical-thinking skills. Critical-thinking skills are essential for helping you solve problems by looking at things in different ways—and this is one of the most valuable skills that you can have in any field. Concerns over Equity Increasingly, conservatives see calls for equity —a view that sees it as fair to extend more services or benefits to individuals who are members of marginalized groups—as an assault on the principle of equal treatment under the law. Many among the New Right see calls for equity, understood as calls to extend greater legal and political emphasis to historically marginalized groups, as an attack directed primarily against the social influence of Christianity, which, in demographic terms, has constituted the majority religion in the United States since the country’s founding and in many other parts of the world. Critics contend that this is problematic because they see Judeo-Christian values as providing important support for such things as individual rights, democracy, and the rule of law . That a number of large corporations have recently embraced the agendas of diversity , equity, and inclusion further contributes to the sense among a number of conservatives that they are under attack. Legend has it that the former CEO of General Motors and secretary of defense in the administration of Republican president Dwight D. Eisenhower , Charlie Wilson , said, “What is good for General Motors is good for the United States”—a quote that has been taken, along with tax cuts on large companies advanced by many Republican administrations, as a sign of the close connection between big business and conservative politics in the United States. However, many in the New Right maintain that numerous large companies are now “ woke capitalists ” who want free markets to maximize their own profits while they espouse and impose New Left social values to which the New Right is opposed. Those on the New Right see these “woke capitalists” as violating the close connection between economic freedom, free markets, social conservatism that defined the center-right coalition for decades. As part of this growing rift between the New Right and many major corporations, New Right thinkers such as conservative author and venture capitalist J. D. Vance see the massive investments that “woke capitalists” make in countries such as communist China, a country that they see as subtly but effectively undermining the foundation of Western, Judeo-Christian, and classically liberal values, See, for example, numerous pieces on the relatively new website American Greatness, such as Conrad Black, “China vs. America,” American Greatness, June 28, 2021, https://amgreatness.com/2021/06/28/china-vs-america/. as a betrayal of the long-standing social values of their countries of origin (such as the United States, Canada, and the countries of western Europe). For these thinkers, such investments mean these firms dare not offend the Chinese Communist Party, lest their manufacturing facilities and the profits they generate be shuttered or they lose access to hundreds of millions of Chinese consumers. See Vivek Ramaswamy, Woke, Inc.: Inside Corporate America’s Social Justice Scam (New York: Center Street, 2021). Conservatives Push Back on CEOs with “Woke Capitalism” Campaign Conservative nonprofit Consumer’s Research ran an ad campaign aiming to apply pressure on the CEOs of specific companies to force them to re-evaluate their company’s progressive political stances. Conservative Populism In response to these perceived threats, the New Right has adopted a variation of populism , a political view that emphasizes the need to win elections in order to install a government that will respond to the demands of “ordinary people,” who, according to populists, should be given a much greater role in how governmental policy is set to ensure that their interests are adequately served. This New Right ideology is known as conservative populism . In the United States, populism has a long history, primarily focused on reducing what is perceived as the excessive power of certain elites. In the past, populists rallied against the owners of nationwide railway networks and processing plants for what they believed to be their unfair treatment of farmers. They denounced the financial experts who set fiscal policy (the policies that determine the amount of money in circulation) for what the populists believed to be excessive efforts to avoid inflation. Until the middle of the 20th century, populist movements in the United States tended to be on the left of the political spectrum. In Europe, populist movements have tended to divide between left and right. Bolivarian socialism is widely seen as a variant of left-wing populism. Christian Parenti, “Hugo Chávez and Petro Populism,” The Nation , March 24, 2005, https://www.thenation.com/article/archive/hugo-chavez-and-petro-populism/. Conservative populism is a movement on the right that calls for winning elections so that the government can regulate media and corporate elites in order to protect traditional Western culture and the interests of what adherents see as “ordinary” citizens. Recently, conservative populists have called for the regulation of large social media companies, such as Twitter and Facebook , which they accuse of limiting conservative views on their platforms. In this sense, conservative populists and a number of center-left and New Left advocates share a common concern about social media companies, although the reasons for this concern often differ. Left-of-center advocates, for example, are increasingly concerned that social media allows for the spread of disinformation, while conservative populists seek government regulation of social media companies so as to mandate reduced restrictions on content. Chris Teale, “Lawmakers See 2022 as the Year to Rein In Social Media. Others Worry Politics Will Get in the Way,” Morning Consult, December 15, 2021, https://morningconsult.com/2021/12/15/social-media-regulation-poll-2022/. Nevertheless, while the center right has historically sought to minimize government regulations, the New Right sees an expansive role for government. Matthew Continetti, “Making Sense of the New American Right,” National Review , June 1, 2019, https://www.nationalreview.com/2019/06/new-american-right-schools-of-thought/. More broadly, conservative populism unites fusionism —moderate social conservatism combined with moderate economic libertarianism—with a call for a stronger government role in helping what it considers to be hardworking, economically struggling Americans. One way it seeks to do this is by promoting tighter immigration enforcement as a way to increase the wages of American workers by reducing the competition for jobs that they see as driving down wages. Scott Morefield, “In Defense of Trump,” The Hill , December 26, 2016, https://thehill.com/blogs/pundits-blog/presidential-campaign/311549-in-defense-of-trumpism. Conservative populism seeks to limit the role of government in overseas military engagements to only those engagements directly related to clear threats to national security, pointing out that the resources spent on wars such as those in Iraq and Afghanistan could be spent on programs that assist the American economy and help the American people. Although its appeal is not limited to members of the historically dominant race or culture in a country, some commentators worry that conservative populism may be giving voice to race-based fears about changing demographics in the countries where this form of populism is rising. Viktor Orbán, the conservative populist leader of Hungary, has been a staunch promoter of conservative political ideology on the international stage. (credit: “Viktor Orbán” by European People’s Party/Flickr, CC BY 2.0) Donald Trump ’s victory in the 2016 US presidential election in many ways showcased the rise of large elements of the New Right ideology, but the movement has grown in other areas of the world as well. Conservative populists Jair Bolsonaro in Brazil and Viktor Orbán in Hungary are two prominent examples. Orbán represents the Fidesz political party, which has embraced conservative populism and a greater identification of Hungary with its Christian heritage, including the incorporation of biblical values directly into public law. Despite these victories for its adherents, the future of conservative populism, as with so much in world politics, remains uncertain. To broaden your understanding of various political ideologies, you can attend webinars or Zoom meetings hosted by a range of ideologically grounded issue advocacy groups. Challenge yourself to watch conferences or speakers from a diverse set of organizations. Some suggestions are listed below. American Constitution Society Center for American Progress The Claremont Institute Democratic Socialists of America The Federalist Society Feminist Majority Foundation Greenpeace The Heritage Foundation Independent Women’s Forum Just as thinkers on the political left began to argue that the center left was insufficiently progressive, the past decade has seen the rise of a New Right that questions whether the center right is sufficiently protective of traditional cultural norms. This movement is associated with conservative populism and has seen electoral success not only in the United States but also in countries such as Hungary and Brazil. conservative populism an ideology on the right that calls for winning elections so that the government can regulate media and corporate elites in order to protect traditional Western culture and what adherents see as “ordinary” citizens political secularism the view that explicitly religious sets of principles should not administer government", "section": "Contemporary Ideologies Further to the Political Right", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Political Ideologies That Reject Political Ideology: Scientific Socialism, Burkeanism, and Religious Extremism Learning Outcomes By the end of this section, you will be able to: Analyze the limitations of ideological thinking. Discuss alternative ways of examining political life. Assess the enduring power and influence of political ideologies. Among the diversity that defines the global ideological landscape are movements that repudiate the concept of political ideology itself. These movements see ideologies as deeply problematic even as they essentially express an ideology—that is, a cluster of ideas about how politics is and should be that informs their political action. Marxism and the Priority of Science In his 1845 work The German Ideology , Marx argues that the dominant economic forces in a society can shape human reason. Marx held that the ruling class would concoct views about the world to perpetuate their rule. In Marx’s thinking, careful empirical observation and rigorous study are needed to break the spell of these ideas. Marxists, including the members of the Chinese Communist Party, label as “ideology” any views that are not confirmed by hard-nosed social science. For this reason, Marxists and Maoists often call their vision scientific socialism and repudiate “ideological” thinking, which they view as the product of abstract thinking not grounded in scientific reality. Burkeanism and the Priority of Prudence Followers of the political thought of British writer Edmund Burke (1729–1797), such as English philosopher Michael Oakeshott (1901–1990), reject a wide swath of political visions, including Marxism. They use Burke’s writings to argue that political ideologies based on reason risk dismissing all that does not meet with the approval of their rational vision’s assessment of reality. Oakeshott contended that because ideologies overestimate the powers of human reason, they dangerously repudiate traditions and customs that have stood the test of time and disregard the complexity of political life. It is much safer, followers of Burke and Oakeshott argue, to test the consequences of innovations slowly and cautiously against the most fundamental insights that have developed among thinkers over the centuries. Religious Extremism and the Priority of Revelation Having questioned what reason and science can reveal about how politics should operate in the future, why should one rest content with reliance on the lessons of history? Are the lessons of history really unambiguous? If not, then they require interpretation. But if reason and science provide no guide, by what means can one interpret the historical record? Questions such as these have led to the emergence of the approach to politics often called religious extremism , or the reliance on the will of God as revealed to finite and fallible minds in a book of revelation. For religious extremists, everything outside of revelation is empty human “ideology.” For them, revelation is a clear, singular guide to the most important questions of political life. Religious extremists reject political secularism , or the view that explicitly religious sets of principles should not administer government. Buddhist extremists in Myanmar have expelled Rohingya Muslims because they do not recognize them as citizens. (credit: “Rohingya Displaced Muslims” by Seyyed Mahmoud Hosseini/Tasnim News Agency/Wikimedia Commons, CC BY 4.0) Religious extremism is not unique to any particular faith. Recently, for example, religious extremism has played a major role in political disputes in Myanmar, where Buddhist extremists believe that celestial beings gave the land of Myanmar to the followers of Buddha and that the Muslim Rohingya people are defiling foreigners. See Amnesty International USA, The Rohingya in Myanmar: A History of Persecution , testimony for Tom Lantos Human Rights Commission hearing, House Comm. on Foreign Affairs, 115th Cong. (March 17, 2017), https://humanrightscommission.house.gov/sites/humanrightscommission.house.gov/files/documents/Amnesty%20International%20USA%20Testimony%20for%20Rohingya%20Hearing%20%20March%202017%20.pdf. It has played a major role in the development of Orthodox Jewish settlements in the territories of Israel acquired during the Six-Day War of 1967. It has inspired some Christians to a vision of a godly kingdom in which false believers have no place and can be removed by force. And it inspires Muslim members of the Taliban who once again rule Afghanistan. Its potency must not be underestimated. Some major political thinkers see themselves as eschewing the very concept of political ideology. Many Marxists have defined their cause as based not on philosophies about government but on the findings of hard social science. Thinkers such as Edmund Burke and Michael Oakeshott repudiate the overly abstract nature of political ideologies. Religious extremists reject the idea that humans can reason to the best form of political regime, asserting that a blueprint for society is readily at hand in the form of literal and inflexible readings of divine revelation. Suggested Readings Baradat, Leon P., and John A. Phillips. Political Ideologies: Their Origins and Impact . 13th ed. New York: Routledge, 2020. Juergensmeyer, Mark. Terror in the Mind of God: The Global Rise of Religious Violence . Rev. and updated 4th ed. Oakland: University of California Press, 2017. Lam, Willy Wo-Lap, ed. Routledge Handbook of the Chinese Communist Party . New York: Routledge, 2018. Niezen, Ronald. The Origins of Indigenism: Human Rights and the Politics of Identity . Berkeley: University of California Press, 2003. Ryan, Alan. On Politics: A History of Political Thought from Herodotus to the Present . 2 vols. New York: Liveright, 2012. Smith, George H. The System of Liberty: Themes in the History of Classical Liberalism . Cambridge: Cambridge University Press, 2013. Toft, Monica Duffy, Daniel Philpott, and Timothy Samuel Shah. God’s Century: Resurgent Religion and Global Politics . New York: W. W. Norton, 2011.", "section": "Political Ideologies That Reject Political Ideology: Scientific Socialism, Burkeanism, and Religious Extremism", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction The Statue of Liberty in New York is a symbol of freedom around the world. (credit: “Statue of Liberty” by William Warby/Flickr, CC BY 2.0) During the COVID-19 pandemic, governments around the world asked and sometimes required people to wear masks to prevent the spread of the virus. Claire Felter and Nathalie Bussemaker, “Which Countries Are Requiring Face Masks?,” Council on Foreign Affairs, August 4, 2020, https://www.cfr.org/in-brief/which-countries-are-requiring-face-masks. Some people agreed to comply as a part of their responsibilities to the community, while others protested, arguing that any restrictions wrongfully impinged on their individual freedoms. Patrick Reilly, “Three Washington State Schools Put on Lockdown amid Anti-mask Protests,” New York Post , September 4, 2021, https://nypost.com/2021/09/04/anti-mask-protesters-force-lockdown-of-three-washington-state-schools/; Soo Kim, “Anti-mask Protests across Europe as Coronavirus Cases Rise 4 Days in a Row,” Newsweek , August 17, 2020, https://www.newsweek.com/coronavirus-europe-anti-mask-protests-spain-belgium-germany-uk-france-1525485. In the United States, individuals actively protest instances of social injustice and feel it is their individual right to express support for or criticize government officials. In Myanmar, a military dictatorship , the government violently shuts down anti-government protests. “Global Protest Tracker,” Carnegie Endowment for International Peace, last updated January 7, 2022, https://carnegieendowment.org/publications/interactive/protest-tracker. Freedom House , a nonprofit organization that monitors individual freedom and democracy worldwide, found that in 2021, for the 15th straight year, individual liberty and democracy declined worldwide. “Global Freedom Status,” Freedom House, accessed January 27, 2022, https://freedomhouse.org/explore-the-map?type=fiw&year=2021. Anti–face Mask Protests Take Place in Several Cities across Europe During the COVID-19 pandemic, demonstrators around the world protested government mask mandates in places like Berlin, Paris, and London. In each of these instances, individuals and the government assert that they are protecting freedom and acting for the common good. This chapter will examine when the individual is free to act without government interference, when the government can restrain individual expression, and how different political systems react to the exercise of individual freedoms.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Freedom of the Individual Learning Outcomes By the end of this section, you will be able to: Define community. Identify the responsibilities of the individual as a member of a group. Discuss the need for individual freedom in a group. Analyze how different systems treat the individual. Define civil liberties, civil rights, and human rights. If all people lived separately, each person would be free to act in any way they want. However, each person lives in many different communities based on their family, ethnicity, religion, and place of residence, and their actions affect other people. A community is a group of people with shared interests and values. National communities today may include people of different ages, races, educational backgrounds, and incomes. In some of these communities, individuals or groups with weapons and economic power force people into a community. In other national communities, people enter into agreements regarding what they can do as individuals and what restrictions the government can set for the common good. How do community members voluntarily decide when the government can restrict individual action for the good of that community? An individual has community responsibilities , or duties or obligations to the community, including all things that are expected of individuals if they wish to remain members of that community. These responsibilities include cooperation, respect, and participation (or, as Chapter 1: What Is Politics and What Is Political Science? put it, civic engagement ). Community responsibilities go beyond thinking and acting as individuals to sharing common beliefs about society’s order and the treatment of others. Each country guarantees certain civil liberties to its people, but how governments interpret these liberties varies widely. Civil rights and civil liberties are often used interchangeably, but the terms are distinct. Civil liberties are guarantees of freedom from government interference. To determine whether a civil liberty is at stake when a limit is placed on an action, one must ask if the action being considered is a fundamental liberty , who is restricting the action, and whether the restriction is justified based on greater community needs. For example, the right to vote is not explicitly stated in the US Constitution, but US citizens now view it as fundamental to the US style of democracy. The Constitution does prohibit denial of the right to vote on the basis of race or sex, and it states that certain people are elected to office, but nowhere does it guarantee a right to vote or say who gets to do the voting. However, the right to vote is now seen as so fundamental to the United States’ democratic identity that limits placed on that right are usually considered to be an infringement of the fundamental implied agreement between the people and the government. Indeed, this general point about constitution's including implied rights played a significant role in the thinking of many of the authors and ratifiers of the US Constitution when formulated during the Constitutional Convention of 1787. Although the founders tended not to see voting as a civil liberty each adult was entitled to, they did believe that other civil liberties exist that are taken for granted by the Constitution without being explicitly stated within it. Indeed, according to many of the Constitution's founders, it was important for the US Constitution not to be construed as an exhaustive list of civil liberties. This is so because they feared that attempting to list the full range of our rights might give rise to the view that civil liberties come only as grants or gifts from the government. Most of the founders, on the contrary, held that individuals have natural rights that entail civil liberties, which the government must not imperil. These natural rights can be understood by reason and so do not need an elaborate listing in a constitutional document, especially when doing so might cause confusion about the origin of these rights, causing some to see them as government-granted and not inalienable endowments conferred by what the Declaration of Independence calls \"nature and nature's God.\" This example from the thought of the founders of the Constitution illustrates the general point that many constitutions can be seen as containing implied civil liberties not formulated explicitly within their text. This flowchart illustrates the criteria for determining whether a limit on action represents an inappropriate infringement of a civil liberty. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) On the other hand, civil rights are government guarantees of equal treatment without discrimination based on characteristics an individual shares with a particular population. Civil rights often refers to the right to freedom from discrimination based, for example, on race, religion, sexual orientation, gender identity, ability, age, or national origin. To determine whether civil rights abuses are occurring, one must ask whether similarly situated persons are being treated differently. Chapter 7 focuses specifically on civil rights. Civil Liberties, Civil Rights, and Human Rights: A Comparison Civil Liberties Civil Rights Human Rights The rights of people to do or say things without government interference. Civil liberties depend on the structure and action of the government for enforcement. The government declares restrictions on individuals’ liberties for the good of the community. Rights that the government must safeguard to prevent discrimination against individuals based on arbitrary characteristics such as sex, race, religion, or disability. The government must ensure that each person is treated equally. Civil rights depend on the structure and action of the government for enforcement. Human rights are often called inalienable rights , which can be neither given nor taken away. These rights are the basis for freedom, justice, and peace in the world. Human rights include both civil liberties and civil rights. They do not emanate from a governmental structure; however, it takes government action to recognize how they apply to people. Both civil liberties and civil rights fall under the umbrella of human rights . Human rights activists assert that human rights are inalienable —that is, they can be neither given nor taken away, and they are due to all persons. Chapter 3: Political Ideology considered this idea in the context of the philosophies of John Locke and Thomas Hobbes . Locke viewed inalienable rights as emanating from human nature before government existed and as objective moral truths to establish common behavior equally applicable to all persons; thus, in his view, only minimal government was necessary. Hobbes also saw them as emanating from human nature, but he viewed that nature as a selfish one that community and government rules must restrain. Today, intergovernmental or nongovernmental organizations may formally recognize and enshrine statements of human or inalienable rights. However, the protection of human rights around the world is fraught with difficulties. Not all areas of the world share the same political and legal philosophy regarding human rights, and individual governments implement these philosophies within specific nations. Consider the Universal Declaration of Human Rights (UDHR), which was adopted in 1948. UN General Assembly, Resolution 217 A, Universal Declaration of Human Rights, A/RES/217(III) (Dec. 10, 1948), https://www.un.org/en/about-us/universal-declaration-of-human-rights. A number of Islamic countries have issues with the UDHR, arguing that it attempts to impose Western philosophies on other cultures. The members of the Organization of the Islamic Conference (now the Organization of Islamic Cooperation) adopted the Cairo Declaration on Human Rights in Islam in 1990. Organization of the Islamic Conference, “Cairo Declaration on Human Rights in Islam,” University of Minnesota Human Rights Library, accessed June 28, 2021, http://hrlibrary.umn.edu/instree/cairodeclaration.html. The Cairo Declaration rejects the UDHR’s right to change religions, broad freedom of expression, and broad freedoms of women and marriage. “Arab Charter on Human Rights Tunis May 2004 (Excerpts),” Office of the High Commissioner for Human Rights, United Nations, accessed June 28, 2021, https://www.ohchr.org/EN/Issues/RuleOfLaw/CompilationDemocracy/Pages/ArabCharter.aspx. These differences are symbolic of the second issue with human rights: statements of human rights are nonbinding. As part of their sovereignty , governments are free to ignore or follow human rights declarations at will. For example, in 1948, South Africa practiced apartheid , racial segregation, and discrimination and objected to statements in the UDHR supporting equality and denouncing racial segregation and discrimination. Franck Kuwonu, “Africa’s Freedom Struggles and the Universal Declaration of Human Rights,” Africa Renewal , December 2018–March 2019, https://www.un.org/africarenewal/magazine/december-2018-march-2019/africa’s-freedom-struggles-and-universal-declaration-human-rights; “Human Rights Day,” Parliament of the Republic of South Africa, accessed January 27, 2022, https://www.parliament.gov.za/project-event-details/2; Penelope Andrews, “South Africa,” in Encyclopedia of Human Rights , ed. David P. Forsythe (Oxford: Oxford University Press, 2009), 4:481–491, https://digitalcommons.nyls.edu/cgi/viewcontent.cgi?article=2316&context=fac_articles_chapters. Apartheid raised issues of human rights, civil liberties, and civil rights; discriminating against individuals because of their race is a violation of a civil right, and restrictions on freedom of movement and the freedom to choose whom to marry are violations of civil liberties. After a long struggle led by Nelson Mandela , apartheid ended in South Africa in the early 1990s, and South Africa has since come to support the UDHR. “Unit 6: The End of Apartheid and the Birth of Democracy,” South Africa: Overcoming Apartheid, accessed January 27, 2022, https://overcomingapartheid.msu.edu/unit.php?id=65-24E-6; “South African Constitution: The Bill of Rights,” South African History Online, last updated August 27, 2019, https://www.sahistory.org.za/article/south-african-constitution-bill-rights. However, that change came from within South Africa. While some international pressure may have contributed to the shift, it was only when South Africa’s government changed its national civil liberties and its stance on human rights that it agreed to the human rights declarations. Today, the South African Bill of Rights includes portions of the Universal Declaration of Human Rights. “Document 37: The Bill of Rights,” South African History Online, last updated September 1, 2019, https://www.sahistory.org.za/archive/document-37-bill-rights. The only power in the nonbinding nongovernmental UDHR is the weight of social and economic pressure that those who adhere to the declaration bring to bear. No government can be forced to accept the rights enumerated in the UDHR or to protect them within their territory. The world imposed economic and social sanctions on South Africa to pressure it to change its policy of apartheid, but it was not until the South African government changed its position that it abolished apartheid and accepted the UDHR. Becky Little, “Key Steps That Led to End of Apartheid,” History, last updated November 23, 2020, https://www.history.com/news/end-apartheid-steps. As this example illustrates, human rights declarations are primarily idealistic, but they can be used to put economic or social pressure on governments to urge them to change policies. People can also use them to guide the creation of civil liberties within a particular country and to instruct governments on how to respect them. Examining the definitions of civil liberties, civil rights, and human rights reveals how each relates to the relationship between the individual and the community and how governments regulate that relationship. The United States Constitution is one example of a country’s guarantees of civil liberties. The first 10 amendments to the Constitution, known collectively as the Bill of Rights , establish these guarantees. “Fact Sheet No. 2 (Rev. 1), The International Bill of Human Rights,” Office of the High Commissioner for Human Rights, United Nations, accessed January 27, 2022, https://www.ohchr.org/documents/publications/factsheet2rev.1en.pdf; Beverly McLachlin, “Bills of Rights in Common Law Countries,” The International and Comparative Law Quarterly 51, no. 2 (April 2002): 197–203, https://www.jstor.org/stable/3663226. The United States grants each of these rights to all persons , not just to citizens. Over time, the US Constitution has been interpreted to protect more people and activities from potential government interference. Still, for the good of the community, there are limits on individual actions. It is the job of the government to enforce these limits. This human rights mural in Durban, South Africa, illustrates numerous rights commonly recognized by governments around the world. Notice how it includes civil rights (equality) and civil liberties (speech, conscience). The mural illustrates how the two go hand in hand throughout society. (credit: “South-Africa-Bill-of-Rights-Durban-mural-06Dec2014-LBB-4697” by Lee Bob Black/Flickr, Public Domain) At the Constitution Center , you can compare the rights protected in the US Constitution with rights protected in other constitutions around the world. Which rights guaranteed by the US Constitution are most commonly recognized around the world? Which are exclusive to the United States and just a couple of other countries? At the World Policy Center , you can review the rights that other countries often guarantee that the US Constitution does not. Rights and Liberties Guaranteed in the Bill of Rights of the United States Constitution “The Bill of Rights: What Does It Say?,” America’s Founding Documents, National Archives, last updated July 24, 2020, https://www.archives.gov/founding-docs/bill-of-rights/what-does-it-say; U.S. Const., Bill of Rights, https://www.law.cornell.edu/constitution/billofrights. First Amendment Prohibits restrictions on the free exercise of religion; prohibits the government from taking any action “respecting an establishment” of religion or infringing on free speech; guarantees the right to assemble and to petition the government for a redress of grievances Second Amendment Guarantees the right to keep and bear arms in order to maintain a well-regulated militia Third Amendment Guarantees that no person shall be forced to house soldiers Fourth Amendment Guarantees security from unreasonable search and seizure Fifth Amendment Guarantees due process before deprivation of “life, liberty, or property,” the right to indictment by a grand jury for capital crimes, and the right to avoid self-incrimination Sixth Amendment Guarantees the rights of the accused to counsel and a speedy trial by an impartial jury, to be informed of the charges against them, and to confront witnesses Seventh Amendment Guarantees the right to a jury trial in civil cases Eighth Amendment Guarantees freedom from excessive bail, excessive fines, and cruel and unusual punishment Ninth Amendment Declares that people retain rights not enumerated in the Constitution Tenth Amendment Declares that states retain all rights that have not been delegated to the federal government or the people and have not been prohibited to the states by the Constitution Civil liberties are guarantees of freedom from government interference that prevent the government from placing restrictions on many individual actions and choices. However, individuals live in communities, or groups of people with shared interests and values, and their actions within their communities affect other people. Community responsibilities are an individual’s duties or obligations to the community—those things that are expected of individuals if they wish to remain members of that community. bill of rights a list or summary of the fundamental rights guaranteed to the individual by the state; in the United States, the first 10 amendments to the US Constitution civil liberties guarantees of freedom from government interference civil rights guarantees of equal treatment by government without discrimination based on characteristics an individual shares with a particular subset of the population community a group of people with shared interests and values, e.g., a family, a religion, or a political group community responsibilities an individual’s duties or obligations as a part of a community, including cooperation, respect, and participation; goes beyond thinking and acting as individuals to common beliefs about society’s order and the treatment of others human rights inherent rights that, philosophically, can be neither given nor taken away by any government; the basis for freedom, justice, and peace in the world inalienable describes rights that are due to all persons and, philosophically, can be neither given nor taken away by any government", "section": "The Freedom of the Individual", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Constitutions and Individual Liberties Learning Outcomes Differentiate between negative rights and positive rights constitutions. Define constitutionalism. Analyze how different constitutional systems treat the individual. Define due process. Explain how the rule of law and its principles are important to individual freedom. As discussed in Chapter 2: Political Behavior Is Human Behavior most countries have a formal constitution —a framework, blueprint, or foundation for the operation of a government. The constitution need not be in writing, in one document, or even labeled a constitution. Britain, New Zealand, and Israel do not have codified constitutions but instead use uncollected writings that establish the form of government and set out the principles of liberty. Lauren Wade, “The Pros and Cons of an ‘Unwritten’ Constitution,” The Lawyer Portal, October 1, 2019, https://www.thelawyerportal.com/blog/the-pros-and-cons-of-having-an-unwritten-constitution/. In many countries, a series of documents, usually called the basic laws , codifies the government structure and individual rights. International IDEA, What Is a Constitution? Principles and Concepts , August 2014, https://www.constitutionnet.org/sites/default/files/what_is_a_constitution_0.pdf. If a country lacks a single document labeled a constitution, how does one know that certain writings serve as the country’s constitution? A constitution describes the underlying principles of the people and government, the structure of the branches of government, and their duties. It limits government, listing freedoms or rights reserved for the people, and it must be more difficult to amend or change than ordinary laws. Ibid. A constitution may be expressed in a way that emphasizes civil liberties as negative or positive rights. When political scientists say a constitution specifies negative rights , this means that it is written to emphasize limitations on government. Consider the wording of the First Amendment : “ Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances.” U.S. Const. amend. I–X, https://www.archives.gov/founding-docs/bill-of-rights-transcript. (emphasis added) The amendment is phrased to focus not on what the government owes the people but on the limitations on the government’s ability to infringe upon the rights of individuals. The US Constitution leans toward being a negative rights constitution because most of the Bill of Rights is written in terms of restrictions on the government. In a positive rights constitution, rights are written in terms of a government obligation to guarantee the people’s rights. For example, article 5 of the German constitution, the German Basic Law , states: “Every person shall have the right freely to express and disseminate his opinions in speech, writing and pictures. . . . Freedom of the press . . . shall be guaranteed .” Germany Const. art. V, ¶ 1, https://www.btg-bestellservice.de/pdf/80201000.pdf. (emphasis added) This positive rights constitution emphasizes the government’s guarantee of freedom to the individual. Though the US Constitution is primarily seen as a negative rights constitution, like most constitutions it also describes positive rights, as in those clauses that guarantee the right to something. For example, the right to writ of habeas corpus, the right to assistance of counsel, and the right to a jury trial. U.S. Const., https://constitution.congress.gov/constitution/. Most democratic constitutions written after World War II are positive rights constitutions. After the Nazis used the existing German constitution to restrict people’s freedoms in Germany and in the countries they conquered, people in the affected countries wanted assurances that the government recognized its obligation to the people and not just the people’s obligation to the government. Similar fears caused many countries not occupied by the Nazis to create positive rights constitutions. Commission on Unalienable Rights, Report of the Commission on Unalienable Rights , August 26, 2020, https://www.state.gov/wp-content/uploads/2020/07/Draft-Report-of-the-Commission-on-Unalienable-Rights.pdf; Vicki C. Jackson, “Positive Obligations, Positive Rights, and Constitutional Amendment,” in Boundaries of State, Boundaries of Rights: Human Rights, Private Actors, and Positive Obligations , ed. Tsvi Kahana and Anat Scolnicov (Cambridge: Cambridge University Press, 2016), 109–128, https://doi.org/10.1017/CBO9781107588943.006. These constitutions make the government the protector of freedom against all infringements. They do not just limit government action restricting the individual. Positive vs. Negative Rights In this short clip, the Center for Civic Education distinguishes between positive and negative rights. A country’s constitution delineates the degree of freedom of action that the government allows the individual, and that degree varies by political system. An individualist system emphasizes individuals over the community, including the government, while a communitarian system emphasizes community cohesiveness while recognizing the importance of individual freedoms. Countries vary in terms of the nature of their systems and the degree to which they stress individualism or communitarianism. What Are the Characteristics of Individualist Systems? In an individualist system, individuals take precedence over the government. Society rests on the principle that individuals inherently possess rights that the government should preserve and promote. Two major styles of individualism are common today: libertarianism (also called classical liberalism) and modern liberalism . Libertarianism emphasizes restraints on government. Liberalism emphasizes the government’s obligation to enforce laws that protect personal autonomy and rights. Let’s review some of the different philosophies discussed in Chapter 3 in terms of how they impact civil liberties. In libertarianism, individualists believe that governments exist to assist individuals in achieving their private interests. Therefore, libertarians place many restrictions (negative rights) on the government. As John Stuart Mill observed in his essay On Liberty (1859), in a strict individualist society: “The only purpose for which power can be rightfully exercised over any member of a civilised community, against his will, is to prevent harm to others. His own good, either physical or moral, is not a sufficient warrant. He cannot rightfully be compelled to do or forbear because it will be better for him to do so, because it will make him happier, because, in the opinions of others, to do so would be wise, or even right. These are good reasons for remonstrating with him, or reasoning with him, or persuading him, or entreating him, but not for compelling him, or visiting him with any evil in case he do otherwise.” John Stuart Mill, On Liberty (London, 1859; Project Gutenberg, 2011), 18, https://www.gutenberg.org/ebooks/34901. The focus is on the individual, and the benefits to society that might flow from any restriction on the individual must be clear and convincing. This does not mean that the government can never restrict individual action, nor that the good of society need be wholly ignored. Still, it does mean there must be proof of sufficient harmful effects to justify any restraint. This is where the conflict between the individual and society occurs. It is here that the US style of “no law . . . abridging the freedom of speech” comes into play. For example, a person in the United States can say anything against any political candidate; they can even lie about the candidate. “We do not want the Government (i.e., the Ohio Elections Commission) deciding what is political truth—for fear that the Government might persecute those who criticize it. Instead, in a democracy, the voters should decide.” Susan B. Anthony List et al. v. Ohio Elections Commission, 45 F. Supp. 3d 765 (S.D. Ohio 2014), https://casetext.com/case/list-v-ohio-elections-commn-1; affirmed, 814 F.3d 466 (6th Cir. 2016). With the restriction on government action abridging free speech, no laws restrict that person’s conduct. However, they cannot say they will kill a candidate at three o’clock on Tuesday afternoon. This is a threat to an individual’s safety and to society’s law and order, so the government has laws to punish the person for making the threat. Further, some US statutes make a person liable for damages if they engage in defamation—that is, if they lie about and cause harm to a private person—although these statutes do not apply to lies about political candidates. Thus, even with the United States’ negative rights libertarian-style constitution, the government is not prohibited from imposing restrictions “abridging the freedom of speech” in every situation at all times. In an individualist society formed in a liberal style, the government actively protects individual rights. For example, under the German Basic Law and its guarantees of free speech, the government can prosecute a person for making false statements or heckling a candidate while they are making a speech. This is a violation of the Basic Law because the rights of free speech “shall find their limits in the provisions of general laws, in provisions for the protection of young persons and in the right to personal honour.” Germany Const., art. V, ¶ 2. Liberal governments are more proactive than libertarian ones in protecting the individual’s rights. Because they do so to protect the rights of all individuals for the good of society, they place more restrictions on the individual. Still, governments in liberal societies cannot wholly deny a person’s individual liberties. What Are the Characteristics of Communitarian Systems? A communitarian system emphasizes the role the government plays in the lives of citizens. Communitarian systems are grounded in the belief that people need the community and its values to create a cohesive society. Government exists not only to protect rights but also to form a political community to solve public problems. There is a public good, and it is the government’s job to protect it, even if that means restricting individual behaviors. Communitarians oppose excessive individualism, arguing that it leads people to be selfish or egocentric, which is harmful to a community. Individuals do not stand apart from society in discrete autonomy; they are part of society and have a role to play in protecting society. How countries put communitarianism into practice varies widely. Some countries, such as China, Singapore, and Malaysia, have authoritarian governments. This style of government enforces obedience to government authority by strongly limiting personal freedoms. These governments emphasize and enshrine in their constitutions social obligations and the common good. The Chinese constitution states, “Disruption of the socialist system by any organization or individual is prohibited.” China Const. ch. 1, art. I, http://www.npc.gov.cn/zgrdw/englishnpc/Constitution/2007-11/15/content_1372963.htm. In article 35, the Chinese constitution provides that “citizens of the People’s Republic of China enjoy the freedom of speech, of the press, of assembly, of association, the procession and demonstration.” Ibid. ch. 2, art. XXXV, http://www.npc.gov.cn/zgrdw/englishnpc/Constitution/2007-11/15/content_1372964.htm. However, comparing these two clauses with actual practices in the People's Republic of China shows that the government’s emphasis is not on protecting individual freedom and autonomy but on protecting the government’s view of a cohesive society. Amnesty International, “China,” in Amnesty International Report 2020/21: The State of the World’s Human Rights (London: Amnesty International, 2021), 119–124, https://www.amnesty.org/en/wp-content/uploads/2021/06/English.pdf. A display of Russian military might serves as a reminder of the nation’s authoritarian past. (credit: “Guarding” by Tinou Bao/Flickr, CC BY 2.0) Responsive communitarianism contrasts with the authoritarian style of communitarianism and the perceived selfishness of libertarianism. It seeks to blend the common good and individual autonomy while not allowing either to take precedence over the other. The individual is within society, the community, so the community constructs part of the individual identity. In responsive communitarianism , individual rights are balanced with societal norms of the good, and society or the government restrains the individual when individual action challenges an accepted norm. For example, the majority of people living in the United States today oppose slavery and racial injustice. However, had those people been born in the 18th century, many would have supported such concepts. Every community has standards that it declares essential to the common good—the common ground on which the community is formed. In circumstances where the common good takes precedence over the individual, conflict can ensue, and the society, including the government, must decide how to resolve the dispute. The COVID-19 pandemic mentioned at the beginning of this chapter resulted in severe illness and mass deaths around the world. Many viewed government actions restricting individuals during the pandemic as justified because the challenge the disease posed to society was severe enough to warrant temporarily suspending certain freedoms. People accepted or rejected these government restrictions depending on the degree to which they accepted scientific explanations and on their views of individualism and communitarianism. Scientists explained how the disease spread, and government leaders urged compliance. In many areas of the world, the government instituted restrictions on movement, required that people wear face masks, and punished persons who violated these edicts. Some individuals claimed that their rights were being violated. Some argued that masks do not make a significant difference in transmission of the virus and are unnecessary in most situations. Significant scientific evidence refutes this claim, but such individuals refused to accept it. They also argued that it is their inalienable right to decide whether or not to risk becoming sick or dying, prioritizing that right over the risk they might pose to others. Darren Cartwright, “Masks Should Not Be Mandatory When Community Transmission Not Prevalent: Experts,” news.com.au, January 20, 2021, https://www.news.com.au/national/breaking-news/masks-should-not-be-mandatory-when-community-transmission-not-prevalent-experts/news-story/d6e7e901285f86cebd5fee333777747a. When initial illness rates started to decline and vaccinations became available, the argument shifted to when and how to open up the social sphere and whether to require that people be vaccinated to enter certain places or to participate in certain activities. Alex Berezow, “Should COVID Vaccines Be Mandatory?,” American Council on Science and Health, February 5, 2021, https://www.acsh.org/news/2021/02/05/should-covid-vaccines-be-mandatory-15324. These responses to the pandemic are a perfect example of the conflicts inherent in everyday situations that require a balance between individuals’ civil liberties and the government’s obligation to act for the common good. Whether and to what degree a system is individualistic or communitarian does not determine if the system is a constitutional government. Simply having a document labeled a constitution does not give a country a constitutional government; to be considered a constitutional government, a country must practice constitutionalism. What Is Constitutionalism? The three main elements of constitutionalism are adherence to the rule of law, limited government, and guarantees of individual rights. The rule of law has four principles: Accountability : Government and private actors are accountable under the law, and no one is above the law. Just laws : The laws are clear, publicized, stable, and applied evenly. They protect fundamental rights, including protecting persons and property and certain core human rights. Open government : The processes by which the laws are enacted, administered, and enforced are accessible, fair, and efficient. Accessible and impartial dispute resolution : Justice is delivered in a timely manner by competent, ethical, and independent representatives, and neutral decision makers are accessible, have adequate resources, and reflect the communities they serve. Constitutionalism balances limited government with the fundamental worth of each individual. The government is limited because people have some right to make their own life decisions. The fundamental worth of each individual means that people have some right to self-determination, as shown in a bill of rights in a constitution. Maintaining a balance between government authority and individual freedom is a challenge. In constitutional governments, the rule of law limits government and protects individual rights. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Utilizing due process is part of the rule of law and constitutionalism, so it is more robustly defended in countries that practice constitutionalism than it is in those with constitutions that do not adhere to all the elements of constitutionalism. Due process is a legal requirement that the government respect the rights of the people, and it is a demonstration of the rule of law and the balancing of government power with individual rights. In the US Constitution, the due process clause provides that no one shall “be deprived of life, liberty, or property, without due process of law.” U.S. Const. amend. V. This clause applies to all persons, not just citizens of the United States. There are two aspects of due process: procedural due process and substantive due process. Procedural due process concerns the written guidelines for how the government interacts with individuals, while substantive due process concerns the individual’s right to be treated fairly when interacting with the government. A violation of due process offends the rule of law because it puts individuals or groups above the law or treats individuals or groups without equality. Due Process of Law In this video clip, Randy E. Barnett, professor of constitutional law at the Georgetown University Law Center, looks at the overarching concept of due process through the lens of US government and its British origins. When one thinks of the due process of law as government fairness to all persons, civil rights and civil liberties become intertwined. In the landmark same-sex marriage case Obergefell v. Hodges , the United States Supreme Court held that the due process clause of the 14th Amendment guarantees that the government will defend as a fundamental liberty the right to choose whom one will marry. The court also held that to deny that liberty would violate the Equal Protection Clause of the 14th Amendment because doing so would amount to unequal treatment of same-sex and opposite-sex couples, thus denying a same-sex couple equal protection of the law and amounting to a violation of the couple’s civil rights. Obergefell v. Hodges, 576 U.S. 644 (2015), https://www.supremecourt.gov/opinions/14pdf/14-556_3204.pdf. Thus, same-sex marriage is both a civil liberty and a civil rights issue. The right to marry is a civil liberty because it is a freedom from government interference in one’s choice of a life partner. Same-sex marriage is a civil rights issue because to deny same-sex couples the right to marry is to subject them to unequal treatment. The case of same-sex marriage shows how both civil rights (equality) and civil liberties (freedom from government interference) are a part of the fair government treatment of individuals. Most countries have a formal constitution—a framework, blueprint, or foundation for the operation of a government. A constitution may be expressed in terms of negative rights, when it is written in a way that emphasizes limitations on the government, or positive rights, when it is written to emphasize the government’s obligation to guarantee the people’s rights. The amount of freedom of action that a constitution guarantees the individual varies by political system. Individualist systems emphasize the importance of individuals over the importance of the community, while communitarian systems emphasize community cohesiveness while also recognizing the importance of individual freedoms. Countries vary in terms of the nature and degree to which they stress individualism or communitarianism. Constitutionalism has three main elements: adherence to the rule of law, limited government, and guarantees of individual rights. The rule of law requires that government and private actors be held accountable under the law; that laws be clear, publicized, stable, and applied evenly; that the processes by which laws are enacted, administered, and enforced be accessible, fair, and efficient; and that justice be delivered in a timely manner by competent, ethical, and independent representatives who are accessible, have adequate resources, and reflect the communities they serve. Due process is a legal requirement that the government respect the rights of the people. Procedural due process concerns the written guidelines for how the government interacts with a person, while substantive due process concerns the individual’s right to be treated fairly when interacting with the government. authoritarian a style of government that enforces obedience to government authority by strongly limiting personal freedom communitarian describes a worldview that emphasizes the need for community and its values and the positive role that government plays in the lives of citizens; the idea that government exists to protect rights but also to form a political community to solve public problems constitution a framework, blueprint, or foundation for the operation of a government constitutionalism a system of government with three elements: the rule of law, limited government, and an element of individualism due process a legal requirement that the government respect the rights of the people; a demonstration of the rule of law and the balancing of government power with individual rights individualist describes a minimalist government system wherein individuals take precedence liberalism a system in which government actively protects individual rights libertarianism a system in which government exists to provide a means to assist individuals in achieving their private interests negative rights statements of individual rights that emphasize limitations on the government’s ability to infringe on those rights positive rights statements of individual rights that emphasize the government’s obligation to guarantee those rights responsive communitarianism a system that seeks to blend the common good with individual autonomy while not allowing either to take precedence over the other rule of law a philosophy of how society should be ordered in which all leaders are held accountable to the law; a higher law than majority rule", "section": "Constitutions and Individual Liberties", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Right to Privacy, Self-Determination, and the Freedom of Ideas Learning Outcomes By the end of this section, you will be able to: Outline the components of the rights to privacy, self-determination, and freedom of expression that are deemed essential according to human rights norms. Analyze how different government systems around the world treat the rights to privacy, self-determination, and freedom of expression. Describe the paradox of tolerance. While most constitutions around the world guarantee due process, how the high courts of each state interpret the standard of due process differs considerably from state to state. Victor V. Ramraj, “Four Models of Due Process,” International Journal of Constitutional Law 2, no. 3 (July 2004): 492–524, https://doi.org/10.1093/icon/2.3.492. Most due process clauses provide that no one shall be deprived of life, liberty, or property without due process of law. One often thinks of liberty as freedom from incarceration, but it means much more than that. To have liberty is to have personal autonomy, and to have personal autonomy, one must have the right to make personal decisions. Thus, the most fundamental aspect of civil liberty is privacy, and in most constitutions, liberty includes the right to privacy. The Right to Privacy Merriam-Webster’s Dictionary of Law defines the right to privacy as “the right of a person to be free from intrusion into or publicity concerning matters of a personal nature.” Merriam-Webster’s Dictionary of Law , s.v. “right of privacy,” accessed June 28, 2021, https://www.merriam-webster.com/legal/right%20of%20privacy. Another way to define the right to privacy is “the right to be left alone.” Wex, s.v. “right to privacy,” accessed January 27, 2022, https://www.law.cornell.edu/wex/right_to_privacy. In a liberal democratic system, privacy is a space separate from public life, allowing individual personal autonomy. Privacy is the ability to think, speak, and behave without being monitored or surveilled by another person or the government. Are you permitted to decide whether to have children and how many? To choose whom you marry? Decisions concerning what to wear, what to study in school, what career to pursue, and what religious beliefs to instill in one’s children are all privacy issues. They are all personal decisions or decisions about which there is debate on whether governments can restrict or require certain conduct. In their influential article “The Right to Privacy,” attorney Samuel Warren and US Supreme Court justice Louis Brandeis define privacy as the “right of the individual to be let alone.” Samuel D. Warren and Louis D. Brandeis, “The Right to Privacy,” Harvard Law Review 4, no. 5 (December 15, 1890): 205, https://www.jstor.org/stable/1321160. The right to privacy has been used to assert that liberty exists in a wide range of civil liberties cases in the United States. In Pierce v. Society of Sisters , the Supreme Court found that the 14th Amendment prevents the state from interfering with parents’ choices regarding their child’s education. Pierce v. Society of Sisters, 268 U.S. 510 (1925), https://www.oyez.org/cases/1900-1940/268us510. In Griswold v. Connecticut , Roe v. Wade , and Lawrence v. Texas , the court struck down several laws criminalizing sexual and reproductive decisions between consenting adults in private activities, citing a right to privacy. Griswold v. Connecticut, 381 U.S. 479 (1965), https://www.oyez.org/cases/1964/496; Lawrence v. Texas, 539 U.S. 558 (2003), https://www.oyez.org/cases/2002/02-102; Roe v. Wade, 410 U.S. 113 (1973), https://www.oyez.org/cases/1971/70-18. In Lawrence , Justice Anthony Kennedy wrote: “The petitioners are entitled to respect for their private lives. The State cannot demean their existence or control their destiny by making their private sexual conduct a crime. Their right to liberty under the Due Process Clause gives them the full right to engage in their conduct without intervention of the government.” Lawrence , 539 U.S. Griswold vs. Connecticut: The Most Important Supreme Court Case You’ve Never Heard Of In Griswold v. Connecticut, the US Supreme Court established the Right to Privacy as a liberty implied but not stated in numerous places across the Constitution. Most countries explicitly recognize a right to privacy. For example, the UK Human Rights Act of 1998 states: Right to respect for private and family life Everyone has the right to respect for his private and family life, his home and his correspondence. There shall be no interference by a public authority with the exercise of this right except such as is in accordance with the law and is necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for the protection of health or morals, or for the protection of the rights and freedoms of others. Human Rights Act 1998, c. 42, § 1(3), sch. 1, art. 8 (UK), https://www.legislation.gov.uk/ukpga/1998/42/schedule/1. The US Constitution does not explicitly mention a right to privacy, but the right to privacy is an essential idea behind several of the rights it specifies. Several US state constitutions do include an explicit right to privacy. See “Privacy Protections in State Constitutions,” National Conference of State Legislatures, last modified January 3, 2022, https://www.ncsl.org/research/telecommunications-and-information-technology/privacy-protections-in-state-constitutions.aspx. The US Supreme Court has recognized the right to privacy as a fundamental right . David D. Bodenhamer, “The Right of Privacy,” in Our Rights (Oxford: Oxford University Press, 2007), ch. 22, https://www.annenbergclassroom.org/resource/our-rights/rights-chapter-22-right-privacy/. As Justice Brandeis wrote in the wiretapping case of Olmstead v. United States (1928), “the right to be let alone [is] the most comprehensive of rights, and the right most valued by civilized men.” Olmstead v. United States, 277 U.S. 438 (1928), https://www.oyez.org/cases/1900-1940/277us438. The First, Third, Fourth, Fifth, Ninth, and 14th Amendments do explicitly state, in what are referred to as enumerated rights , instances for which the US Supreme Court has affirmed that a right to privacy exists. Griswold , 381 U.S. Guarantees of the Right to Privacy Embedded in the US Constitution First Amendment Prohibits restrictions on free speech, peaceful assembly (association), and the free exercise of religion Third Amendment Prohibits the government from requiring individuals to house or feed soldiers in peacetime Fourth Amendment Prohibits the government from unreasonably searching or seizing an individual or their property; requires the government to appear in court and show probable cause before receiving a court order or a warrant to search or seize an individual or their property Fifth Amendment Guarantees the right to remain silent in a police interrogation Ninth Amendment States that rights not explicitly outlined in the Constitution may still exist with the people Fourteenth Amendment Prohibits the government from denying equal protection of the laws to all persons Implicit in the First Amendment protections of free speech, peaceful assembly (association), and free exercise of religion is the right to participate or not participate as an individual decides, Judith Haydel, “Privacy,” The First Amendment Encyclopedia, Middle Tennessee State University, 2009, https://www.mtsu.edu/first-amendment/article/1141/privacy. and the Ninth Amendment states that rights not explicitly outlined in the Constitution may still exist. Like many national constitutions, the Universal Declaration of Human Rights includes an express right to privacy. Article 12 of the declaration states: No one shall be subjected to arbitrary interference with his privacy, family, home or correspondence, nor to attacks upon his honour and reputation. Everyone has the right to the protection of the law against such interference or attacks. A/RES/217(III), art. 12. Even though member countries have endorsed the UDHR, how each government enacts the right to privacy it contains varies greatly. The UN has appointed a special rapporteur (a person appointed by an organization to report on its meetings) to monitor and report annually on how countries comply with the UN declaration of a right to privacy expressed in the UDHR, especially as it relates to digital surveillance . “Special Rapporteur on the Right to Privacy,” Office of the High Commissioner for Human Rights, United Nations, accessed January 27, 2022, https://www.ohchr.org/en/issues/privacy/sr/pages/srprivacyindex.aspx. When viewed as a civil liberty, the right to privacy erects a barrier between individuals and an overly intrusive government. But when is government intrusion permitted? When Does the Government Restrict Individual Privacy Rights? Restrictions on the right of privacy or personal autonomy vary widely by country. In the United States, same-sex relations are considered private and protected by the US Constitution. In most of Africa, LGBTQ+ relations or orientation are illegal and considered a detriment to the welfare of the community. “Senegalese Lawmakers Draft Tougher Laws against LGBT,” Reuters, December 13, 2021, https://news.yahoo.com/senegalese-lawmakers-draft-tougher-laws-214135599.html; “Mapping Anti-Gay Laws in Africa,” Amnesty International UK, May 31, 2018, https://www.amnesty.org.uk/lgbti-lgbt-gay-human-rights-law-africa-uganda-kenya-nigeria-cameroon; Report: The State of Human Rights for LGBT People in Africa (Washington, DC: Human Rights Campaign Foundation and Human Rights First, 2014), https://www.humanrightsfirst.org/resource/state-human-rights-lgbt-people-africa. In most of Africa, same-sex relationships are considered a detriment to the community, and that detriment to the community is deemed to outweigh the importance of protecting the individual right to privacy. (credit: “Laws regarding same-sex sexuality in Africa” by Haha 169/Wikimedia Commons, Public Domain) Personal privacy boundaries often change as society’s views of personal liberty change. Under a democratic government, it is a society that interprets what is acceptable and if there is a compelling reason for government restrictions on personal decisions. For example, until 1967, many states had laws that declared interracial marriage a crime. In Loving v. Virginia , the US Supreme Court interpreted that due process and a right to privacy require that the choice of whom to love and marry be a personal, private one. Loving v. Virginia, 388 U.S. 1 (1967). It was not until 2015 that this same right was interpreted to include same-sex marriage. Obergefell , 576 U.S. As society’s interpretation of what is personal and individual and what is necessary for the good of the community changes, the interpretation of the right to privacy changes. Authoritarian governments force the people to acquiesce to the government’s interpretation of personal private conduct. Civil Liberties around the World You can use one of the following online resources to compare which liberties different countries recognize. Can you spot any trends? How do different countries interpret similar types of liberties in different ways? Explore civil liberties around the world at the National Constitution Center . Compare statistical data about human rights at Our World in Data . Read up-to-date reports on the state of human rights at Human Rights Watch . Track trends in freedom using the Cato Institute’s yearly Human Freedom Index . Monitor levels of freedom according to the human rights and rule of law index at TheGlobalEconomy.com . The degree to which governments recognize the right to make personal, private decisions varies widely around the world. In China, the government restricts the number of children couples may have. “China Allows Three Children in Major Policy Shift,” BBC News, May 31, 2021, https://www.bbc.com/news/world-asia-china-57303592. In some countries, forced marriages are still common. “Child, Early and Forced Marriage, Including in Humanitarian Settings,” Office of the High Commissioner for Human Rights, United Nations, accessed June 28, 2021, https://www.ohchr.org/en/issues/women/wrgs/pages/childmarriage.aspx. In some countries, girls are banned from attending school or even suffer violence for attending, and the government does not protect their right to an education, even if their parents want them to attend school. “Girls’ Education,” UNICEF, accessed June 28, 2021, https://www.unicef.org/education/girls-education. Many countries have laws that require women to wear specific clothing in public or prohibit women from wearing certain items of clothing, restricting a woman’s right to make a personal decision. Restrictions on Women’s Religious Attire (Washington, DC: Pew Research Center, April 5, 2016), https://www.pewforum.org/2016/04/05/restrictions-on-womens-religious-attire/; Brenda J. Norton , A Question of Balance: A Study of Legal Equality and State Neutrality in the United States, France, and the Netherlands (Lanham, MD: Lexington Books, 2016). Thus, even in countries that declare that they will protect privacy and individualism, society’s interpretation of what is necessary to create a community can lead to restrictions intended to contribute to the common good. What about privacy in areas where security issues arise? The growing prevalence and sophistication of cyber technologies place increasing pressure on the right to privacy in the context of freedom from surveillance. Cyber Data Issues with Privacy State and federal laws in the United States protect personal cyber data —that is, data stored electronically. The Fair Credit Reporting Act of 1970 protects personal financial information collected by credit reporting agencies. The Privacy Act of 1974 prevents the unauthorized disclosure of personal information held by the federal government. The Financial Services Modernization Act of 1999 requires financial institutions to provide customers with a privacy policy and to safeguard their information. Online users frequently utilize privately owned browsers and social media platforms, such as Facebook and Twitter . These private businesses allow users to choose their level of privacy settings. However, in response to increasing issues with the amount of scrutiny that private businesses provide, the federal government has implemented several laws to regulate private companies’ storage of personal data. The Children’s Online Privacy Protection Act of 1998 (COPPA) , for example, permits parents to control what information websites collect about their children. Children’s Online Privacy Protection Rule, 16 C.F.R. 312 (2013), https://www.ftc.gov/enforcement/rules/rulemaking-regulatory-reform-proceedings/childrens-online-privacy-protection-rule. European countries have even more robust data privacy laws regarding information about children. Law Library of Congress, Children’s Online Privacy and Data Protection in Selected European Countries (Washington, DC: Library of Congress, April 2021), https://iapp.org/media/pdf/resource_center/us_law_library_of_congress_childrens_online_privacy_data_protection_in_selected_european_countries.pdf. The History of Internet Tracking and the Battle for Privacy Internet tracking may have innocent beginnings, but it has become the subject of major political debate. Another privacy issue is the government’s ability to access an individual’s cyber information. US government agencies’ arguments that they need access to this information in the name of safety and national security have long come up against the US Constitution’s guarantees of the right to privacy. The government asserts that, for the good of the community, it needs access to certain information. Exec. Order No. 14,028, 86 Fed. Reg. 26633 (May 17, 2021), https://www.federalregister.gov/documents/2021/05/17/2021-10460/improving-the-nations-cybersecurity. Individuals argue that their right to privacy of digital personal data is the same as their right to privacy in the form of “houses, papers, and effects” explicitly protected under the Fourth Amendment ; thus, the government must show probable cause and obtain a warrant from a judge to look at that digital information. Individuals contend that they have the right to confront the government and argue the issue in open court. “Foreign Intelligence Surveillance Court (FISC),” Electronic Privacy Information Center, accessed January 27, 2022, https://epic.org/foreign-intelligence-surveillance-court-fisc/. US government intelligence agencies say that protecting the privacy of this personal information compromises safety and national security “About the Foreign Intelligence Surveillance Court,” United States Foreign Intelligence Surveillance Court, accessed January 27, 2022, https://www.fisc.uscourts.gov/about-foreign-intelligence-surveillance-court. and that any intelligence review of a person’s digital data must be secret to avoid tipping off the individual under investigation. This debate is ongoing in the United States and around the world. Countries whose constitutions include a right to privacy differ in how broadly they interpret that right when it comes to data privacy. The European Union has enacted extensive data protection laws applicable to all member countries. General Data Protection Regulation, Regulation (EU) 2016/679 (Apr. 27, 2016), https://gdpr-info.eu/. The EU General Data Protection Regulation (GDPR) provides that data about citizens may only be gathered or processed in specific instances. These rules apply to private businesses and government agencies. The restrictions on collecting information are strictly interpreted, providing comprehensive protection to the individual. The UN Conference on Trade and Development (UNCTAD) actively monitors data privacy issues and laws within its member countries. It has noted that “the collection, use and sharing of personal information to third parties without notice or consent of consumers” has become a significant concern. The UNCTAD Global Cyberlaw Tracker tracks data for 194 states on laws concerning e-transactions, cybercrime, and consumer protection. “Summary of Adoption of E-commerce Legislation Worldwide,” United Nations Conference on Trade and Development, accessed February 22, 2022, https://unctad.org/topic/ecommerce-and-digital-economy/ecommerce-law-reform/summary-adoption-e-commerce-legislation-worldwide. According to UNCTAD, as of February 2022, “137 out of 194 countries had put in place legislation to secure the protection of data and privacy.” “Data Protection and Privacy Legislation Worldwide,” United Nations Conference on Trade and Development, accessed February 22, 2022, https://unctad.org/page/data-protection-and-privacy-legislation-worldwide. Even though the Chinese constitution includes the right to privacy, the Chinese government has found many reasons to interpret the right narrowly. Article 40 of the constitution of the People’s Republic of China provides for both the freedom and privacy of communication. “Freedom and privacy of correspondence of citizens of the People’s Republic of China are protected by law. No organization or individual may, on any ground, infringe upon citizens’ freedom and privacy of correspondence, except in cases where, to meet the needs of State security or of criminal investigation, public security or procuratorial organs are permitted to censor correspondence in accordance with the procedures prescribed by law.” China Const. ch. 2, art. XL. However, in China, persons are subject to surveillance in almost all public places, and all cyber communications are monitored. China uses mass surveillance to “eradicate ideological viruses,” which they identify as the religious and cultural beliefs of certain ethnic groups. Thus, while the Chinese constitution contains a right to privacy, the government broadly interprets the exception for safety and security. In practice, the right to privacy in China is almost nonexistent. “‘Eradicating Ideological Viruses’: China’s Campaign of Repression against Xinjiang’s Muslims,” Human Rights Watch, September 9, 2018, https://www.hrw.org/report/2018/09/09/eradicating-ideological-viruses/chinas-campaign-repression-against-xinjiangs; “China: Big Data Program Targets Xinjiang’s Muslims,” Human Rights Watch, December 9, 2020, https://www.hrw.org/news/2020/12/09/china-big-data-program-targets-xinjiangs-muslims. China: “The World’s Biggest Camera Surveillance Network” China’s massive surveillance network uses facial recognition and can track any individual’s movements within China. As the amount of information stored digitally increases, so do the threats of that material being stolen or used by businesses as marketing information without people’s consent. At the same time, governments increasingly seek to regulate access to information that they deem unacceptable or that may pose a threat to their residents’ safety. This is a developing area of tension between individual privacy and government protection or regulation of the community. Freedom of Expression of Ideas Another area of ongoing tension between individuals and the government is the freedom of expression of ideas. This freedom includes the right to free speech and the right to the free exercise of religion. Article 19 of the UDHR states, “Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers.” A/RES/217(III), art. 19. Article 18 provides that “everyone has the right to freedom of thought, conscience and religion; this right includes freedom to change his religion or belief, and freedom, either alone or in community with others and in public or private, to manifest his religion or belief in teaching, practice, worship and observance.” Ibid., art. 18. The UDHR is not itself legally binding, but the principles it sets out were implemented among UN member countries through the International Covenant on Civil and Political Rights (ICCPR) and the International Covenant on Economic, Social, and Cultural Rights (ICESCR), both of which were adopted by the UN General Assembly in 1966. Member countries agree to be monitored on their activities under the provisions of the covenants, which echo much of the language of the UDHR, although some provisions are new. Article 27 of the ICCPR, for example, states that members of “ethnic, religious or linguistic minorities . . . shall not be denied the right, in community with the other members of their group, to enjoy their own culture, to profess and practise their own religion, or to use their own language.” UN General Assembly, Resolution 2200A (XXI), International Covenant on Civil and Political Rights, A/RES/2200A(XXI) (Dec. 16, 1966), art. 27, https://www.ohchr.org/EN/ProfessionalInterest/Pages/CCPR.aspx. Together, the UDHR, the ICCPR, and the ICESCR make up what is known as the International Bill of Human Rights. Leah Levin, “Human Rights and the International Community: Twenty Questions,” The UNESCO Courier , October 1978, https://en.unesco.org/courier/october-1978/human-rights-and-international-community-twenty-questions. However, freedom of expression and religion is not absolute. Even in countries with extensive speech protections, certain types of speech are never protected. These include libel, slander, obscenity, fighting words or threats, incitement to lawless conduct, breach of national security or classified information, disclosures that impact the right of privacy, and perjury. Some examples of these were discussed earlier in this chapter. In liberal democracies, the state agrees to tolerate free expression of ideas, and restrictions on expression are minimal; however, many of these countries place restrictions on the expression of specific ideas that do not meet the limited exceptions to protected speech set forth above. This is referred to as the paradox of tolerance . People who hold intolerant ideas argue that the state and society only tolerate those ideas that align with their own viewpoint and that therefore, the government and society are not tolerant of personal ideas and do not respect that degree of personal liberty. Civil Liberties and Social Responsibility While smoking is not illegal in the United States, because secondhand smoke can be damaging to all members of the community, the government can regulate where smoking is allowed. (credit: “No Smoking Sign” by Jonathan Rolande/Flickr, CC BY 2.0). Many people who hear the term civil liberties think about limits on government interference in individuals’ lives, and they may see government acts that limit or direct their behavior as infringements of their liberties. In these instances, it is important to remember that people live in diverse communities made up of many individuals who may have different perspectives, traditions, beliefs, and needs. Each person’s actions have the potential to affect other individuals in the community and the community as a whole. As discussed in this chapter, members of a community have responsibilities to that community. Understanding the differences between groups within a society is often referred to as intercultural competence , and it is a key component of social responsibility. Different countries adopt a variety of strategies to address the varying needs of different groups. Within the United States, the corporate world has recently taken up the banner of “social responsibility.” Whether looking at an issue from a corporate position, an advocacy position (such as from the perspective of an interest group), the position of an attorney representing someone whose rights have been violated, or the position of a concerned citizen, linking the ideas of civil liberties with the larger concept of social responsibility allows one to appreciate how the rights of individuals and the larger community are intertwined and how government actions often seek to balance the freedom of the individual with the needs and desires of the community. For example, in Germany, it is illegal to support the Nazi Party or to deny the Holocaust . Dan Glaun, “Germany’s Laws on Hate Speech, Nazi Propaganda & Holocaust Denial: An Explainer,” Frontline , PBS, July 1, 2021, https://www.pbs.org/wgbh/frontline/article/germanys-laws-antisemitic-hate-speech-nazi-propaganda-holocaust-denial/. Section 130 of the German criminal code “bans incitement to hatred and insults that assault human dignity against people based on their racial, national, religious or ethnic background.” Violations of this code carry a five-year prison sentence. Germany has used section 14 of the law, which bans defiling the memory of the dead, to prosecute Holocaust deniers. Ibid. The German Basic Law provides that “every person shall have the right freely to express and disseminate his opinions in speech, writing and pictures and to inform himself without hindrance from generally accessible sources. Freedom of the press and freedom of reporting by means of broadcasts and films shall be guaranteed. There shall be no censorship.” Germany Const. art. V, ¶ 1. Thus, many argue that the restrictions on expressing particular viewpoints show limited tolerance of ideas in Germany, and a paradox of tolerance exists. Manasi Gopalakrishnan, “Germany Treads Thin Line between Hate Speech and Free Expression,” DW Akademie, April 19, 2016, https://p.dw.com/p/1IYXg. In the United States, hate speech laws encounter the same objection. However, in the United States, speech enjoys broad protections, and hate speech laws are limited to instances where speech involves violence, intimidation, and direct threats. “Is Hate Speech Legal?,” FIRE, March 28, 2019, https://www.thefire.org/issues/hate-speech/. Germany’s Online Hate Speech Laws: Protecting Free Speech While Fighting Online Hate? Germany’s Network Enforcement Act allows people to report criminal hate speech online and requires platforms to take down the content or face stiff fines. The policy has raised questions about whether it inappropriately interferes with constitutional guarantees of a right to free speech. While in Germany particular viewpoints on politics are regulated, in some other countries, all opposition to the government is suppressed. In Belarus, political opponents have been sentenced to prison for opposing the ruling government. Anastasiia Kruope, “New Laws Further Stifle Freedom of Speech in Belarus,” Human Rights Watch, April 7, 2021, https://www.hrw.org/news/2021/04/07/new-laws-further-stifle-freedom-speech-belarus; “Belarus: Opposition Leader Tikhanovsky Jailed for 18 Years over Protests,” BBC News, December 14, 2021, https://www.bbc.com/news/world-europe-59650238. Other countries are taking steps to open up the free exchange of ideas, even those ideas that challenge traditional religious and cultural norms. For example, at a recent international symposium on philosophy in Saudi Arabia, the speakers and audience openly discussed ideas that are usually restricted in the country. Sebastian Usher, “Saudi Arabia Allows Free Thinkers to Talk to Students,” BBC News, December 14, 2021, https://www.bbc.com/news/world-middle-east-59609233. The paradox of tolerance is a frequent issue when it comes to religious expression. The expression of religious beliefs has received special consideration throughout history. Freedom of religion involves two interrelated issues: the free exercise of religion and the government establishment of religion. While it is impossible to separate the two completely, they can be distinguished for learning purposes. The US Constitution contains two separate clauses about religion: one, that “Congress shall make no law respecting an establishment of religion,” known as the establishment clause; and two, that Congress shall make no law “prohibiting the free exercise thereof.” U.S. Const. amend. I. The complicated relationship between religion and the government in the United States is a subject worthy of study in itself; the following is an outline of some of the primary issues. In Everson v. Board of Education , a landmark case with regard to the interpretation of the establishment clause, the US Supreme Court observed that in the United States, no government should aid or hinder any religion. Everson v. Board of Education, 330 U.S. 1, 15–16 (1947). In Everson , the court considered whether a city allowing all K–12 students to ride public transit buses for free was an unconstitutional establishment of religion because some of the students receiving free rides attended parochial schools operated by religious groups. It was argued that this amounted to an establishment of religion because, in addition to regular school classes, these students took classes in religion and were thus taught particular religious beliefs. According to this argument, the government assisted in the religious indoctrination by providing free transportation, thus putting a stamp of approval on the religious instruction. The court found that the bus rides did not violate the establishment clause because the law was neutral and beneficial for all K–12 students. If the law had only given free rides to parochial school students, it probably would have been found to violate the establishment clause, as the government would have been treating a religious institution differently and preferentially. Conversely, suppose that free rides had been denied to parochial school students and given only to students attending schools that did not teach religion. In that case, the action could be interpreted as a violation of the free exercise of religion and parental privacy in children’s education. It would violate free exercise because it would explicitly target and place restrictions on schools based on religion. This example illustrates the degree of complication in this area of the law. One must look at specific government action and ask whether it is neutral and general or explicitly benefits or intrudes on a religion. Not all religious practices are acceptable, even in an individualist government. For example, in the United States, religious practices that are deemed abusive to children are prohibited. One current controversy in this area is conversion therapy, or intervention by religious practitioners intended to “cure” children of LGBTQ+ sexual orientations or gender identities. See “Conversion ‘Therapy’ Laws,” Movement Advancement Project, last updated July 16, 2021, https://www.lgbtmap.org/img/maps/citations-conversion-therapy.pdf. Those who hold views anathema to most of society, such as White supremacist churches, are allowed to operate as long as they keep the expression of their opinions nonviolent and within the church. An area of controversy arises when a person running a business refuses to comply with a customer request because it violates their personal religious views, thus putting into direct conflict the constitutional protection of the free exercise of religion and the constitutional requirement for equal treatment of all persons. The US Civil Rights Act of 1964 prohibits any business that is open to the public from engaging in discrimination on the basis of race, sex, or religion. When the Civil Rights Act went into effect, some for-profit businesses argued that it violated their personal and religious principles of White supremacy by prohibiting them from barring minorities from their business or refusing to hire employees based on their race. In the early years after the act was passed, courts across the United States upheld the act against the religious arguments for White supremacy. They found a more significant community good in supporting nondiscrimination than in this view of the free exercise of religion. Today, controversies continue, with some business owners complaining that serving LGBTQ+ customers violates their religious beliefs and that to require them to serve LGBTQ+ customers would violate their right to free exercise of religion. This controversy is ongoing in the United States and around the world. Paul J. Angelo and Dominic Bocci, “The Changing Landscape of Global LGBTQ+ Rights,” Council on Foreign Relations, January 29, 2021, https://www.cfr.org/article/changing-landscape-global-lgbtq-rights. In western European countries, similar issues arise. All have constitutional provisions similar to the US Constitution’s religious clauses, but some have officially recognized state religions. Anglicanism, as represented by the Church of England, is the official religion of England. Up until the 20th century, people were persecuted for not adhering to the official doctrine; however, now individuals are free to practice any religion they want as long as it complies with England’s generally applicable neutral laws. “Parliament, Church and Religion,” UK Parliament, accessed June 28, 2021, https://www.parliament.uk/about/living-heritage/transformingsociety/private-lives/religion/overview/church-and-religion/. Around the world, restrictions on religion have been increasing. These restrictions can take two forms: government preference for a particular religion and government restriction on religious practices. Many Islamic majority countries limit freedom of religion and require residents to adhere to an established religion. A Pew Research study noted: “Government restrictions have risen in several different ways. Laws and policies restricting religious freedom (such as requiring that religious groups register in order to operate) and government favoritism of religious groups (through funding for religious education, property and clergy, for example) have consistently been the most prevalent types of restrictions globally and in each of the five regions tracked in the study: Americas, Asia-Pacific, Europe, Middle East-North Africa and sub-Saharan Africa. Both types of restrictions have been rising; the global average score in each of these categories increased more than 20% between 2007 and 2017.” A Closer Look at How Religious Restrictions Have Risen around the World (Washington, DC: Pew Research Center, July 15, 2019), 6, https://www.pewforum.org/2019/07/15/a-closer-look-at-how-religious-restrictions-have-risen-around-the-world/. (emphasis in original) Iran's Dilemma: Should Women Wear a Hijab or Not? Women in Iran who appear in public without wearing an Islamic hijab can be imprisoned or fined. In recent years, some Iranians have pushed back against this policy. The growing tendency toward government restrictions on religion may be in opposing directions. For example, French law prohibits women from wearing certain items of clothing that express their religious beliefs, and the government disfavors religion. Norton, A Question . In contrast, in Qatar, Islam is the official state religion, and laws require women to wear religious dress in public. Additionally, Qatar has enacted laws that restrict non-Islamic faiths by limiting worship services and prohibiting the display of non-Islamic religious symbols. “Qatar,” in 2017 Report on International Religious Freedom (Washington, DC: US Department of State, 2018), https://www.state.gov/reports/2017-report-on-international-religious-freedom/qatar/. In China, specific religious groups have been subjected to severe restrictions, even internment in prison reeducation camps, as religious practices are considered detrimental to the country’s communist goals. Lindsay Maizland, “China’s Repression of Uyghurs in Xinjiang,” Council on Foreign Relations, last updated March 1, 2021, https://www.cfr.org/backgrounder/chinas-repression-uyghurs-xinjiang. Thus, in both impairing religion and fostering an established religion, some countries have opted to observe localized interpretations of civil liberties with regard to religion, rather than aligning with the norms described in the Universal Declaration of Human Rights . The most fundamental aspect of civil liberty is the right to privacy—that is, the right to be free from interference in thought, speech, and actions. Each society interprets what is acceptable and when there is a compelling reason for the government to place restrictions on personal decisions. Interpretations of the right to privacy change over time and vary widely around the world. The right to free expression of ideas includes the right to free speech and the right to the free exercise of religion. Freedom of expression and religion are not absolute. Even in countries with extensive speech protections, certain types of speech, including libel, slander, obscenity, fighting words or threats, inciting lawless conduct, breach of national security or classified information, disclosures that impact the right of privacy, and perjury, are not protected. While liberal democracies tolerate the free expression of ideas, many such countries place restrictions on the expression of ideas that are considered intolerant and in conflict with the public good. This intolerant stance on views that a government deems intolerant is referred to as the paradox of tolerance. privacy in a liberal democratic system, a space separate from public life where the individual has personal autonomy to think, speak, and behave without being monitored or surveilled by another person or the government", "section": "The Right to Privacy, Self-Determination, and the Freedom of Ideas", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Freedom of Movement Learning Outcomes By the end of this section, you will be able to: Outline the components of freedom of movement that are deemed essential according to human rights norms. Analyze how different government systems treat freedom of movement around the world. Freedom of movement can be divided into two categories: the freedom to move about within one’s home country and the freedom to move internationally. Article 13 of the Universal Declaration of Human Rights recognizes both rights: Everyone has the right to freedom of movement and residence within the borders of each state. Everyone has the right to leave any country, including his own, and to return to his country. A/RES/217(III), art. 13. How each country interprets and applies the right to freedom of movement varies widely. The US Constitution protects travel within the United States as an unenumerated fundamental right. Crandall v. Nevada, 73 U.S. 35 (1868); United States v. Wheeler , 254 U.S. 281 (1920). The US Supreme Court has identified three aspects of the right of persons to travel within the United States: the right to enter and leave each state, fundamental to the founding of the United States; the right to be treated equally to residents of each state, protected by article 4, section 2 of the Constitution; and the right to be treated equally to native-born citizens: “Despite fundamentally differing views concerning the coverage of the Privileges or Immunities Clause of the Fourteenth Amendment . . . it has always been common ground that this Clause protects the third component of the right to travel.” Saenz v. Roe, 526 U.S. 489 (1999), https://www.law.cornell.edu/supct/html/98-97.ZO.html. While general interstate travel is a fundamental right, many federal statutes restrict activities that may utilize interstate travel. For example, the Mann Act , enacted in 1910, bans interstate transport of females for “immoral purposes.” The act has since been amended to be gender neutral and to apply solely to sexual activity that is separately illegal, such as prostitution or sex with a minor. In addition, the Supreme Court has struck down state laws requiring one-year residency requirements for access to state services and voting. Still, it has upheld shorter minimal residency requirements for certain activities. The court struck down one-year residency requirements as interfering with the right to interstate travel but did hold that shorter residency requirements may be permissible in certain circumstances. Shapiro v. Thompson, 394 U.S. 618 (1969); Dunn v. Blumstein, 405 U.S. 330 (1972); Memorial Hospital v. Maricopa County, 415 U.S. 250 (1974); Attorney Gen. of New York v. Soto-Lopez, 476 U.S. 898 (1986); Baldwin v. Fish and Game Commission of Montana, 436 U.S. 371 (1978). Sweden’s constitution, the Basic Laws of Sweden, contains a guarantee that “everyone shall have access to the natural environment in accordance with the right of public access.” Sweden Const., art. XV, https://wipolex.wipo.int/en/legislation/details/16262. This right allows travel inside the country and access to private property to experience nature as long as an individual does not cause damage to the property. Thus, the Swedish constitution’s guarantee in this respect is even broader than the US right to interstate travel, which does not allow access to private property without the property owner’s specific permission except in certain states and for particular types of property, usually beach or lakeshore access. China’s hukou (household registration) system prevents many internal migrants from enjoying full legal status as residents in the cities where they work. “China,” Freedom in the World 2021: Democracy under Siege , Freedom House, last modified March 2, 2021, https://freedomhouse.org/country/china/freedom-world/2021. Other Chinese citizens face obstacles to freedom of internal movement due to police checkpoints throughout the country that restrict the movement of certain ethnic groups. “China,” Amnesty International, accessed June 28, 2021, https://www.amnesty.org/en/countries/asia-and-the-pacific/china/. In addition, the government has implemented a “social credit system” by which individuals must earn points to be allowed to travel within the country or internationally. “China,” Freedom in the World 2020: A Leaderless Struggle for Democracy , Freedom House, last modified May 5, 2021, https://freedomhouse.org/country/china/freedom-world/2020. International Travel While the UDHR applies the same standard to travel within a country that it applies to international travel, the latter is more strictly regulated around the world. In the United States before World War II, passport requirements came and went, and immigration controls targeted particular racial or ethnic groups. Beginning with the Immigration and Nationality Act of 1952, all US citizens have been required to obtain a government-issued passport to leave or enter the country. Immigration and Nationality Act of 1952, 8 U.S.C. § 1185, https://www.law.cornell.edu/uscode/text/8/1185. A citizen is entitled to due process via a hearing if the government refuses to provide the requested passport. In Kent v. Dulles , the Supreme Court held: “The right to travel is a part of the “liberty” of which the citizen cannot be deprived without due process of law under the Fifth Amendment. . . . If a citizen’s liberty to travel is to be regulated, it must be pursuant to the law-making functions of Congress. . . . Freedom of movement across frontiers in either direction, and inside frontiers as well, was a part of our heritage. Travel abroad, like travel within the country, may be . . . as close to the heart of the individual as the choice of what he eats, or wears, or reads. Freedom of movement is basic in our scheme of values.” Kent v. Dulles, 357 U.S. 116 (1958), https://caselaw.findlaw.com/us-supreme-court/357/116.html. Most countries utilize passports as a control mechanism for their citizens to exit or reenter the country. Conditions for obtaining a passport vary widely. Even if a person has a passport, countries may still impose restrictions on their ability to leave the country. For example, it is common for a person under criminal investigation to not be allowed to leave the country. If a person is on a terrorist watch list, they will not be allowed to leave the country. In some countries, specific groups of people may not be allowed to leave the country due to disfavor by the government. In China, the Uyghurs must get permission to travel, and that permission is rarely granted. “Xinjiang’s Government Gives Uyghurs Passports, Only to Take Them Away Later,” Radio Free Asia, 2017, https://www.rfa.org/english/news/special/uyghur-oppression/ChenPolicy4.html; Gary Sands, “Xinjiang: Uighurs Grapple with Travel Restrictions,” Eurasianet, December 28, 2016, https://eurasianet.org/xinjiang-uighurs-grapple-travel-restrictions. Many countries require foreigners to obtain official authorization, in the form of visas, to enter or even to leave. Further restrictions are placed on citizens immigrating to another country. Migration and Immigration Law Migration differs from international travel because the traveler does not intend to return to their starting point. Migration involves a number of legal issues, including general immigration laws, refugee status, and a political concept called open borders. The UDHR states: Article 14 Everyone has the right to seek and to enjoy in other countries asylum from persecution. This right may not be invoked in the case of prosecutions genuinely arising from non-political crimes or from acts contrary to the purposes and principles of the United Nations. Article 15 Everyone has the right to a nationality. No one shall be arbitrarily deprived of his nationality nor denied the right to change his nationality. A/RES/217(III), art. 14–15. Every country has laws regulating who can leave the country permanently and who can enter and stay. UN Department of Economic and Social Affairs, Population Division, International Migration Policies: Data Booklet (United Nations, 2017), ST/ESA/SER.A/395, https://www.un.org/en/development/desa/population/publications/pdf/policy/international_migration_policies_data_booklet.pdf. In many countries, failure to comply with immigration laws is treated as a crime, and a person can be sentenced to prison for violating the laws. Law Library of Congress, Criminalization of Illegal Entry around the World (Washington, DC: Library of Congress, August 2019), https://www.loc.gov/item/2019685473/. Some countries welcome immigrants, “10 Countries That Take the Most Migrants,” U.S. News & World Report , last updated August 24, 2021, https://www.usnews.com/news/best-countries/slideshows/10-countries-that-take-the-most-immigrants. while others actively discourage them. “Hardest Countries to Immigrate To,” World Population Review, accessed June 28, 2021, https://worldpopulationreview.com/country-rankings/hardest-countries-to-immigrate-to. Though the UDHR affirms human migration rights, many countries enact laws restricting the permanent movement of people. Refugees are one area of considerable controversy. Refugees leave areas in extreme crisis and flee to safety in other countries, not necessarily in compliance with emigration or immigration laws. “Refugees are persons who are outside their country of origin for reasons of feared persecution, conflict, generalized violence, or other circumstances that have seriously disturbed public order and, as a result, require international protection. The refugee definition can be found in the 1951 Convention and regional refugee instruments, as well as UNHCR’s Statute.” Source: “Definitions,” Refugees and Migrants, United Nations, last modified July 22, 2016, https://refugeesmigrants.un.org/definitions. Specific UN programs aid refugees , and some countries assist. “Our Partners,” UNHCR: The UN Refugee Agency, accessed June 28, 2021, https://www.unhcr.org/en-us/governments-and-partners.html. A sudden influx of people with no means of caring for themselves is a significant issue for most countries in which refugees seek asylum. Conflicts within these countries arise around the number of people who can be accommodated, how long they will be allowed to stay, and whether or not the residents of the country feel threatened by their presence. There is an ongoing debate about changing the world to one of open borders , where people are free to move about the world as they want. When there are open borders, there are no restrictions on emigration or immigration, except for safety and criminal issues. Shelley Wilcox, “The Open Borders Debate on Immigration,” Philosophy Compass 4, no. 5 (September 2009): 813–821, https://www.researchgate.net/publication/227662852_The_Open_Borders_Debate_on_Immigration. Emigration and immigration issues are complex, and society’s acceptance of emigrating and immigrating peoples varies widely depending on a country’s political climate. Freedom of movement can be divided into two categories: the freedom to move about within one’s home country and the freedom to move internationally. Around the world, international travel is more strictly regulated than domestic travel. Migration differs from international travel because the individual does not intend to return to their starting point. Immigration laws, refugee status, and open borders are all areas of intense debate surrounding the freedom of movement.", "section": "Freedom of Movement", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Rights of the Accused Learning Outcomes By the end of this section, you will be able to: Outline the components of the rights of the accused that are deemed essential according to human rights norms. Analyze how different government systems treat the rights of the accused around the world. If the government accuses a person of a crime, the Universal Declaration of Human Rights and many national constitutions guarantee that person the fair implementation of due process before the government can restrict their liberties. The rights of the accused are intended to protect individuals if their freedom is at stake. Chapter 11: Courts and Law will explore these rights in greater depth. Rights upon Arrest In rule-of-law countries, police must advise individuals of certain rights at the time of their arrest. These include the right to have an attorney assist them with their case and the right to be cautioned that anything they say can be used against them in court. A 2016 report by the Law Library of Congress found that 108 countries require these warnings, Kelly Buchanan, “You Have the Right to Remain Silent . . . ,” In Custodia Legis: Law Librarians of Congress , Library of Congress, July 18, 2016, https://blogs.loc.gov/law/2016/07/you-have-the-right-to-remain-silent/. and the European Convention on Human Rights and the UDHR both contain similar provisions. Council of Europe, European Convention on Human Rights , amend. and supp. (Strasbourg: European Court of Human Rights, 2021), https://www.echr.coe.int/documents/convention_eng.pdf; A/RES/217(III), art. 10–11. These rights include: the right to remain silent; a warning that anything one says can be used against one in court; the right to consult legal counsel; and the right to defend oneself in court. Search and Seizure Another way rule-of-law systems defend the rights of individuals is through protection against unreasonable searches and seizures . This means that law enforcement may perform reasonable searches and seizures, and much of the litigation in this area deals with the reasonableness of the search and seizure. The UN has created recommendations for best policing practices for all countries, including limiting the police’s right to search individuals, their homes, or their belongings to this standard. However, many countries do not adhere to these limitations. In those countries, the police can search an individual’s home or belongings or interrogate them at any time. Right to Privacy: Mapp v. Ohio In this Civics 101 podcast, Vince Warren, executive director for the Center for Constitutional Rights, and Boston University School of Law professor Tracey Maclin discuss the US Supreme Court’s decision in Mapp v. Ohio (1961), which decided that the Fourth Amendment to the US Constitution prohibits the government from using any illegally obtained evidence against someone in a court of law. Writ of Habeas Corpus and the Right to Appear before the Court In all rule-of-law countries, a person held in jail has the right to demand to be brought into court and told why they are being jailed. In some countries, this process is referred to as a petition for a writ of habeas corpus . In countries where this right is not recognized, a person can be held indefinitely incommunicado without any right to seek their freedom or to demand that the government prove the charges against them. The rights of the accused are intended to protect individuals if their freedom is at stake. In rule-of-law countries, police must advise individuals at the time of their arrest that they have the right to remain silent, anything they say can be used against them in court, they have a right to legal counsel, and they have a right to defend themselves in court. In all rule-of-law countries, a person held in jail has a right to demand to be brought into court and told why they are being jailed.", "section": "The Rights of the Accused", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Right to a Healthy Environment The Right to a Healthy Environment By the end of this section, you will be able to: Outline the components of the right to a healthy environment that are deemed essential according to human rights norms. Analyze how different government systems treat the right to a healthy environment around the world. Many human rights organizations are now asserting that environmental damage, including climate change , is a violation of human rights because it impacts the ability of people to live safe and healthy lives. Office of the High Commissioner for Human Rights, “Understanding Human Rights and Climate Change” (submission, 21st Conference of the Parties to the United Nations Framework Convention on Climate Change, 2015), https://www.ohchr.org/Documents/Issues/ClimateChange/COP21.pdf. The UN Framework Principles on Human Rights and the Environment sets forth “basic obligations of States under human rights law as they relate to the enjoyment of a safe, clean, healthy and sustainable environment” and lists “potential benefits of recognizing the right to a healthy environment,” including: Stronger environmental laws and policies Improved implementation and enforcement Greater public participation in environmental decision-making Reduced environmental injustices A level playing field with social and economic rights Better environmental performance UN General Assembly, Report of the Special Rapporteur on the Issue of Human Rights Obligations Relating to the Enjoyment of a Safe, Clean, Healthy and Sustainable Environment, A/73/88, ¶¶ 8, 55 (July 19, 2018), https://undocs.org/A/73/188. More than 100 countries have added the right to a healthy environment to their national constitutions. “What Are Your Environmental Rights?,” UN Environment Programme, accessed June 28, 2021, https://www.unep.org/explore-topics/environmental-rights-and-governance/what-we-do/advancing-environmental-rights/what-0. In the United States, pending lawsuits assert that failure to follow good environmental practices is causing damages to individuals. Juliana v. United States is one such landmark suit. This suit, brought by a group of children, alleges that the US government’s failure to address environmental and climate change issues is damaging their future lives and that the government can be held accountable for damages. The case is being closely watched worldwide. Juliana v. United States, 947 F.3d 1159 (9th Cir. 2020), https://cdn.ca9.uscourts.gov/datastore/opinions/2020/01/17/18-36082.pdf; “ Juliana v. United States : Ninth Circuit Court Holds That Developing and Supervising Plan to Mitigate Anthropogenic Climate Change Would Exceed Remedial Powers of Article III Court,” Harvard Law Review 134, no. 5 (March 2021), https://harvardlawreview.org/2021/03/juliana-v-united-states/; “Juliana v. United States,” Our Children’s Trust, accessed February 20, 2022, https://www.ourchildrenstrust.org/juliana-v-us; “Juliana v. United States,” Climate Change Litigation Databases, Sabin Center for Climate Change Law, last modified December 6, 2021, http://climatecasechart.com/climate-change-litigation/case/juliana-v-united-states/. Juliana v. United States : The Climate Lawsuit The plaintiffs in Juliana v. United States have presented such compelling evidence of the damaging effects of climate change, and of the United States’ government’s decades-long knowledge of the threats of climate change, that they have forced those who once dismissed the suit as frivolous to take it seriously. Still, how the case will unfold remains unclear. As climate change becomes an increasingly urgent issue, the implications for human rights will be a growing area of political and legal debate. The UN is actively addressing the problem and has issued guidance on the protection of climate change refugees, although the UN High Commissioner for Refugees (UNHCR) does not endorse the term climate refugee and notes that “it is more accurate to refer to ‘persons displaced in the context of disasters and climate change.’” The UNHCR further states: “The impacts of climate change are numerous and may both trigger displacement and worsen living conditions or hamper return for those who have already been displaced. Limited natural resources, such as drinking water, are becoming even scarcer in many parts of the world that host refugees. Crops and livestock struggle to survive where conditions become too hot and dry, or too cold and wet, threatening livelihoods. In such conditions, climate change can act as a threat multiplier, exacerbating existing tensions and adding to the potential for conflicts. Hazards resulting from the increasing intensity and frequency of extreme weather events, such as abnormally heavy rainfall, prolonged droughts, desertification, environmental degradation, or sea-level rise and cyclones[,] are already causing an average of more than 20 million people to leave their homes and move to other areas in their countries each year.” “Climate Change and Disaster Displacement,” UNHCR: The UN Refugee Agency, accessed June 28, 2021, https://www.unhcr.org/en-us/climate-change-and-disasters.html. Climate change and disasters have forced some people to cross borders, and these people may need international protection in some circumstances. UN member countries send aid through UN organizations and may even send personnel to act under UN administration. Refugee and human rights laws, therefore, have an essential role to play in this area. Ibid. Climate change is a growing concern, and countries will increasingly have to address the issue of whether to recognize the right to a healthy environment. Many human rights organizations assert that environmental damage, including climate change, is a violation of human rights because it impacts the ability of people to live safe and healthy lives. As climate change becomes an increasingly urgent issue, the implications for human rights will be a growing area of political and legal debate. Suggested Readings Comparative Constitutions Project. https://comparativeconstitutionsproject.org/. Costigan, Ruth, and Richard Stone. Civil Liberties & Human Rights . 11th ed. Oxford: Oxford University Press, 2017. Donnelly, Jack, and Daniel J. Whelan. International Human Rights . 6th ed. New York: Routledge, 2020. Douglass, Bruce. “The Common Good and the Public Interest.” Political Theory 8, no. 1 (February 1980), 103–117, https://www.jstor.org/stable/190769. Freedom House. “Freedom in the World.” https://freedomhouse.org/report/freedom-world. Merino, Neal, ed. Civil Liberties . Detroit: Greenhaven Press, 2013. Rossum, Ralph, and Alan Tarr. American Constitutional Law . 10th ed. Vol. 2, The Bill of Rights and Subsequent Amendments . Boulder, CO: Westview Press, 2017. United Nations General Assembly. Resolution 217 A. Universal Declaration of Human Rights. A/RES/217(III), December 10, 1948. https://www.un.org/en/about-us/universal-declaration-of-human-rights. United States Constitution. https://www.archives.gov/founding-docs/constitution.", "section": "The Right to a Healthy Environment", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction A man holds up a sign at a Black Lives Matter protest in New York City in 2020. (credit: modification of work by “Black Lives Matter Protest Times Square New York City June 7 2020” by Anthony Quintano/Flickr, CC BY 2.0 ) On February 26, 2012, an unarmed high schooler wearing a hoodie walked home from a convenience store and was shot dead by a neighborhood watch volunteer. The high schooler’s name was Trayvon Martin , and the shooter was George Zimmerman . A special prosecutor, appointed by the governor of Florida, charged Zimmerman with Martin’s death. A jury acquitted him on the grounds of self-defense, and Zimmerman was freed. While there was furious debate over the legal justifications for the acquittal and whether the jury made the right decision, Martin’s death ignited a groundswell of support for his family and sparked a public reckoning with questions about institutional racism and how it should be addressed in the United States. The outcry over the trial led to the establishment of the Black Lives Matter movement, a decentralized political and social movement “whose mission is to eradicate white supremacy and build local power to intervene in violence inflicted on Black communities by the state.” “About,” Black Lives Matter, last modified October 16, 2020, https://blacklivesmatter.com/about/. Now known as “a grassroots , member-led network dedicated to ending anti-black racism and preventing violence against black communities,” Black Lives Matter has 40 chapters throughout the United States, Canada, and the United Kingdom that work to raise public awareness of issues such as police accountability, working conditions, and access to health care and to advocate for civil rights. Oluwakemi Aladesuyi, “How Black Lives Matter Went Global, by Co-founder Patrisse Cullors,” Financial Times , December 4, 2020, https://www.ft.com/content/c6eac3c7-3f38-49be-9caa-f3aa1248184a. A majority of US adults (55 percent as of September 2020, down from 67 percent in June of that year) support Black Lives Matter, particularly after repeated publicized incidents of police brutality against minorities. Deja Thomas and Juliana Menasce Horowitz, “Support for Black Lives Matter Has Decreased since June but Remains Strong among Black Americans,” Pew Research Center, September 16, 2020, https://www.pewresearch.org/fact-tank/2020/09/16/support-for-black-lives-matter-has-decreased-since-june-but-remains-strong-among-black-americans/. Black Lives Matter , which is a broad movement that includes protests, advocacy, and public awareness campaigns, is an example of how people participate in politics. This chapter will examine the various manifestations of political participation as well as how we measure people’s opinions about their political beliefs.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Is Political Participation? Learning Outcomes By the end of this section, you will be able to: Define political participation. Discuss how political participation is related to self-government. Explain why voting is an important type of political participation. Describe US voting rates. Compare US voting rates to those in other countries. “You might think it upset me that Paul Metzler had decided to run against me, but nothing could be further from the truth. He was no competition for me; it was like apples and oranges. I had to work a little harder, that’s all. You see, I believe in the voters. They understand that elections aren’t just popularity contests; they know this country was built by people just like me who work very hard and don’t have everything handed to them on a silver spoon.” —Tracy Flick, from the movie Election The 1999 movie Election , based on a novel by Tom Perrotta, is an enduring classic and dark comedy that follows high school junior Tracy Flick (played by Reese Witherspoon) as she does anything she can to win her school election for student government president. While Tracy’s actions as a political candidate lead her down an unethical path, school elections play a significant role in helping us become engaged citizens. Australian National University Professor Lawrence J. Saha and University of Sydney Professor Murray Print found that “participation in school elections serves as a beneficial experience in the preparation of students for life as an active adult citizen,” Lawrence J. Saha and Murray Print, “Student School Elections and Political Engagement: A Cradle of Democracy?,” International Journal of Educational Research 49, no. 1 (2010): 22. and a review of 75 studies on the topic also supported the idea that running for, voting in, or otherwise taking part in student elections all had positive outcomes for future civic participation on some level. Ibid., 22. While student elections may seem relatively trivial, they are an important way for students to learn how to make politically informed decisions, understand democratic values and systems, and feel like worthy participants in the democratic process. Political Participation and Self-Government Political participation is defined as action that expresses an individual’s political will. Throughout this chapter, we will discuss the many forms these actions can take. However, it is first important to discuss the idea of self-government . Self-government is when the people of a given country are the ones who grant the power to govern that country, through either direct or indirect representation. Without self-government, there can be no political participation on the part of the individual. The notion of self-government has been apparent since the founding of our country, as evident in Federalist , no. 39, where James Madison writes that it is necessary that the country’s government “derives all its powers directly or indirectly from the great body of the people, and is administered by persons holding their offices during pleasure, for a limited period, or during good behavior. It is essential to such a government that it be derived from the great body of the society, not from an inconsiderable proportion, or a favored class of it.” James Madison, Federalist , no. 39, in The Federalist Papers , by Alexander Hamilton, John Jay, and Madison (Project Gutenberg, 2009), https://www.gutenberg.org/files/1404/1404-h/1404-h.htm#link2H_4_0039. As James Madison and his colleagues wrote the Constitution that provides the framework of the American government, Madison felt that public officials must come from society itself, not from a particular class, as they had for years in Britain. French historian Alexis de Tocqueville agrees with this idea of self-government as elemental to American political life, writing in Chapter 9 of Democracy in America (1835–1840), “In America the people appoints the legislative and the executive power, and furnishes the jurors who punish all offences against the laws. The American institutions are democratic, not only in their principle but in all their consequences.” Alexis de Tocqueville, Democracy in America , trans. Henry Reeve, vol. 1 (London: Saunders and Otley, 1835; Project Gutenberg, 1997), chap. IX, https://www.gutenberg.org/files/815/815-h/815-h.htm#link2HCH0023. To be democratic means that the people, and not kings or other authoritarian figures, decide how their government and judicial system will function. Around the world today, some nations have only recently adopted or continue to strive for self-government. Modern Japanese democracy and universal suffrage (voting rights for citizens, both women and men) did not emerge until after the Second World War, which makes Japan a relatively young democracy. In Canada, self-governance for Indigenous peoples remains an ongoing discussion. Crown-Indigenous Relations and Northern Affairs Canada (CIRNAC) works as an intermediary between Canada and First Nations , Inuit , and Métis peoples, the three main Indigenous groups in Canada. While Indigenous groups have persevered to create more autonomy for their people, their struggle to achieve self-governance continues. As Canadian author and researcher Jenny Higgins writes: “Many Indigenous people . . . see self-government as a way to preserve their culture and attain greater control over their land, resources, and administration of laws and practices that affect their lives. Indigenous groups argue they have an inherent right to self-government because they were the first people to govern Canada and did not willingly surrender their autonomy to European settlers; this argument is supported by the Canadian Constitution and was acknowledged by the federal government in 1995.” Jenny Higgins, “Indigenous Self-Government,” Newfoundland and Labrador Heritage Website, 2009, updated July 2021, https://www.heritage.nf.ca/articles/politics/indigenous-self-government.php. While the Métis Nations of Alberta, Ontario, and Saskatchewan came to a self-governance agreement with the Canadian government in 2019, many people and nations still have not achieved self-government, and without this, complete political participation cannot be realized. The next sections will discuss the various avenues of participation that exist for people within democratic governments. Métis in Canada Granted Right for Self-governance In this short video, Canadian Minister of Crown-Indigenous Relations Carolyn Bennett signs three agreements granting the the Métis peoples the right to self-government. Why Is Voting Such an Important Form of Political Participation? Self-government also means that the people are considered sovereign , meaning there is no power above the people. In self-governing states, the people elect public officials to government positions so those officials can represent the people’s beliefs and craft policies to express their will. In this way, voting is an important manifestation of both self-government and political participation—the most important, some argue, because it is the primary mechanism by which the people ensure that their government represents them. Another way to put it is to say that voting is what makes government fair , despite the many forces that prevent it from being fully representative. As Supreme Court justice Earl Warren wrote in his decision regarding Reynolds v. Sims (1964) , the right to direct representation is a bedrock of our democracy. Reynolds v. Sims, 377 US 533 (1964), https://www.oyez.org/cases/1963/23. In this case, the Supreme Court ruled in an 8–1 majority decision that electoral districts have to be of equal population to ensure equal representation, reinforcing the idea of one man, one vote (or rather, one person, one vote). The ideas that each person has a vote in American democracy, that their vote is equal in power to another person’s vote, and that each person should exercise their vote are considered not only normal but normative (desirable.) Voter Turnout in the United States Considering how important it is to vote, why don’t more Americans vote? Voter turnout refers to the percentage of eligible voters , or voters who meet the requirements of their localities or states, who cast a ballot in an election. Many consider voter turnout to be low in the United States compared to other industrialized nations (see chart below), though the 66 percent of eligible voters who cast a ballot in the recent 2020 election represented the highest recorded voter turnout in a US election since the 1980s. Drew DeSilver, “Turnout Soared in 2020 as Nearly Two-Thirds of Eligible US Voters Cast Ballots for President,” Pew Research Center, January 28, 2021, https://www.pewresearch.org/fact-tank/2021/01/28/turnout-soared-in-2020-as-nearly-two-thirds-of-eligible-u-s-voters-cast-ballots-for-president/. Suffrage in the United States This graph of turnout rates among the voting eligible population (VEP) in the United States shows that a major shift occurred in the first half of the 19th century with regard to the emphasis voters’ placed on presidential elections. (source: United States Election Project; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Looking at the graph of turnout in the United States, one can see that it has not been consistent over time. This is due to factors such as the expansion of suffrage , or the right to vote. At the time of the country’s founding, only White landowners over the age of 21 could cast a ballot unless otherwise specified by individual states. By 1856, landowning requirements had been eliminated, expanding voting rights to all White male citizens. In 1870, the 15th Amendment recognized the right of all men to vote regardless of race, but it was not until 1965 that the Voting Rights Act addressed persistent race-based barriers to voting, such as literacy tests and poll taxes . The crusade for full voting rights for women in the United States solidified at a convention in Seneca Falls, New York, in 1848. It was not until 1890 that states began granting women the right to vote in national elections in piecemeal fashion. Before becoming a state, Wyoming granted women unrestricted voting rights in 1869. However, this only applied to territorial matters, not national elections. Upon achieving statehood in 1890, Wyoming affirmed voting rights for women in its state constitution. Finally, in 1920, the passage of the 19th Amendment secured full suffrage for women. Four years later, the Indian Citizenship Act granted Native Americans full citizenship, making them theoretically eligible to vote, although they remained disenfranchised in practice in many states. Asian Americans were not granted citizenship and voting rights until the passage of the McCarran-Walter Act in 1952. Finally, in 1971, the 26th Amendment lowered the voting age from 21 to 18. In the Constitution, the second article of the 14th Amendment specifies voting rights for male citizens older than 21. During the United States’ involvement in the Vietnam War, young men were eligible for the draft beginning at age 18; the 26th Amendment was introduced to allow US citizens aged 18 and older the right to vote based on the principle that it was grossly unfair for the country to ask men to fight in a war when they could not vote on the representatives who were sending them into battle. Jocelyn Benson and Michael T. Morley, “Common Interpretation: The Twenty-Sixth Amendment,” The Interactive Constitution, National Constitution Center, accessed April 20, 2021, https://constitutioncenter.org/interactive-constitution/interpretation/amendment-xxvi/interps/161. Despite the historical expansion of the number of eligible voters in the United States, forces that hinder full voter participation persist. External factors can affect voter turnout . After a voter turnout peak in the early 20th century, events such as World War I, the influenza pandemic of 1918, World War II, and the Vietnam War affected not only how many people could vote but also whether they could access the ballot box. Geoffrey Skelley, “This Isn’t the First Time America Has Weathered a Crisis in an Election Year,” FiveThirtyEight, ABC News, March 23, 2020, https://fivethirtyeight.com/features/this-isnt-the-first-time-america-has-weathered-a-crisis-in-an-election-year/. Historically speaking, absentee voting , in which people cast a ballot by some method other than reporting to their usual polling place, was not as common as it is today. Off-year elections, when a president is not on the ballot, also tend to result in lower voter turnout. Later parts of this chapter will more fully examine individual and institutional-level causes of low voter turnout in the United States. Voter Turnout in Other Countries How does US voter turnout compare to turnout in other countries? In 2016, out of 35 Organization for Economic Cooperation and Development (OECD) countries, the United States ranked 30th out of 35 in terms of turnout. Drew DeSilver, “In Past Elections, US Trailed Most Developed Countries in Voter Turnout,” Pew Research Center, November 3, 2020, https://www.pewresearch.org/fact-tank/2020/11/03/in-past-elections-u-s-trailed-most-developed-countries-in-voter-turnout/. Why do other countries tend to have higher levels of participation? European University Institute and Trinity College Professor Mark N. Franklin , in his analysis of European and American voters, found that political salience, or the ability of voters to connect their actions (voting) with a political outcome, affected voter turnout and that both the United States and those European countries with lower voter turnout, such as Switzerland, exhibited low political salience. Mark N. Franklin, “Electoral Engineering and Cross-National Turnout Differences: What Role for Compulsory Voting?,” British Journal of Political Science 29, no. 1 (January 1999): 205–216, https://www.jstor.org/stable/194302. In other words, people do not vote if they don’t feel like their vote will have any effect. Conversely, when voters feel that their vote does have power, they are more likely to vote. In his study of voter turnout in industrial democracies, University of California Professor Robert W. Jackman provides a multiplicity of reasons for higher turnout in countries other than the United States, including unicameralism (a government with a single legislative body) and compulsory voting , in which citizens face penalties for not voting. Robert W. Jackman, “Political Institutions and Voter Turnout in the Industrial Democracies,” American Political Science Review 81, no. 2 (June 1987): 405–423, https://www.jstor.org/stable/1961959. Other scholars have suggested that proportional representation , a system in which parties gain seats in proportion to the number of votes cast for them, also raises voter turnout because voters feel as though they have a better chance of being represented within government. Jeffrey A. Karp and Susan A. Banducci, “Political Efficacy and Participation in Twenty-Seven Democracies: How Electoral Systems Shape Political Behaviour,” British Journal of Political Science 38, no. 2 (April 2008): 311–334, https://www.jstor.org/stable/27568347. Scholars have likewise identified a correlation between higher levels of social capital and political participation in South Korea Aie-Rie Lee, “The Quality of Social Capital and Political Participation in South Korea,” Journal of East Asian Studies 10, no. 3 (September–December 2010): 483–505, https://www.jstor.org/stable/23418868. as well as in Argentina, Mexico, Chile, and Peru. Joseph L. Klesner, “Social Capital and Political Participation in Latin America: Evidence from Argentina, Chile, Mexico, and Peru,” Latin American Research Review 42, no. 2 (2007): 1–32, https://www.jstor.org/stable/4499368. Social capital, or the social networks that optimally connect people and work with one another, has been dropping since the 1950s in the United States, and this trend has correlated steadily with, among other things, lower voter turnout. Robert D. Putnam, Bowling Alone: The Collapse and Revival of American Community (New York: Simon & Schuster, 2000). As this graph shows, between 2015 and 2020 voter turnout rates in the United States lagged behind those in many other OECD (Organization for Economic Co-operation and Development) member nations. (source: US News & World Report; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Political participation is defined as action that expresses an individual’s political will, and self-government is when the people of a given country are the ones who grant the power to govern that country, through either direct or indirect representation. Voting is considered one of the most important forms of political participation because it is the primary mechanism by which the people ensure that their government represents them. Compared to other countries, the United States does not have high voter turnout. At roughly 66 percent, voter turnout in the 2020 election was high relative to other years, but compared to countries such as Sweden, South Korea, and Turkey, which have rates close to 80 percent, US elections have room for improvement. eligible voters voters who meet the requirements of their localities or states to cast a ballot in an election political participation activities that express opinions on public officials and public policy; the ways in which people can influence political outcomes self-government when the people of a given country are the ones who grant the power to govern that country, through either direct or indirect representation suffrage the right to vote in political elections voter turnout the percentage of eligible voters who cast a ballot in an election", "section": "What Is Political Participation?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Limits Voter Participation in the United States? Learning Outcomes By the end of this section, you will be able to: Explain how individual characteristics can limit political participation. Explain how institutional characteristics can limit political participation. Articulate each characteristic and how it affects participation. In the 2016 US presidential election, 100 million Americans didn’t vote. A Knight Foundation study found that nonvoters have less trust in the electoral system and consume less news and information compared to voters. Notably, among nonvoters, dislike of the candidates was the most commonly cited reason for not voting. The 100 Million Project: The Untold Story of American Non-Voters (Knight Foundation, 2020), 8, https://knightfoundation.org/wp-content/uploads/2020/02/The-100-Million-Project_KF_Report_2020.pdf. While this landmark study of 12,000 nonvoters sheds light on the reasons why people don’t participate in the democratic process, this chapter will further discuss in detail why full voter participation remains elusive. What individual-level characteristics affect voter turnout in the United States? University of Montreal Professor and Canada Research Chair in Electoral Democracy Ruth Dassonneville explains that few variables consistently affect different aspects of voting as much as age. Ruth Dassonneville, “Age and Voting,” in The Sage Handbook of Electoral Behaviour , ed. Kai Arzheimer, Jocelyn Evans, and Michael S. Lewis-Beck (Thousand Oaks, CA: Sage, 2017), 137. The older voters are, the more likely they are to show up to the polls. The relationship is considered curvilinear, meaning younger voters are much less likely to vote; likelihood of voting increases steadily as voters hit middle age, followed by a “soft” decline in the oldest age categories. Yosef Bhatti, Kasper M. Hansen, and Hanna Wass, “The Relationship between Age and Turnout: A Roller-Coaster Ride,” Electoral Studies 31, no. 3 (September 2012): 588–593. Why do older voters turn out at higher rates? Some studies suggest that as voters age, voting becomes more of a habit, and that people are more likely to coalesce around the idea of voting. Achim Goerres, “Why Are Older People More Likely to Vote? The Impact of Ageing on Electoral Turnout in Europe,” British Journal of Politics and International Relations 9, no. 1 (February 2007): 90–121. Case Western Reserve University Professor Robert H. Binstock , a leading researcher on seniors’ voting behaviors, has several suggestions as to why age predicts voting. For one, the older a voter is, the more likely they are to pay attention to things such as having to register, which is a precursor to voting. In addition, Binstock notes that the length of residence in one’s home also predicts voting and that seniors are the most likely of all voters to have resided in a single place for longer periods of time. Robert H. Binstock, “Older People and Political Engagement: From Avid Voters to ‘Cooled-Out Marks,’” Generations: Journal of the American Society on Aging 30, no. 4 (Winter 2006–2007): 24–30, https://www.jstor.org/stable/26555473. Other researchers have found correlations between higher levels of media consumption in older voters and a greater propensity to vote. Susan A. McManus, Young v. Old: Generational Combat in the 21st Century (Boulder, CO: Westview Press, 1996), 36. In addition, people over the age of 65 tend to vote more because they better understand the relationship between governmental policies that affect them, such as Social Security, and their ability to influence policy makers through political participation. Andrea Louise Campbell, How Policies Make Citizens: Senior Political Activism and the American Welfare State (Princeton, NJ: Princeton University Press, 2003), 14. On a more basic level, older people usually have more time on their hands. Ben Y. Hayden, “Why Do Old People Vote More?,” Psychology Today, September 27, 2011, https://www.psychologytoday.com/us/blog/the-decision-tree/201109/why-do-old-people-vote-more. As people retire and their children leave the house, they have more time to become politically active. However, as the graph in indicates, turnout across all groups has risen in the last two election cycles. While turnout among all groups has risen in recent US elections, older Americans still vote at the highest rates. (source: US Census data; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Income is another individual-level variable that helps explain voter turnout. University of Warwick Professor Christopher J. Anderson and Duke University Professor Pablo Beramendi have found that those earning below the median income are less likely to vote than people earning above the median income and that as income inequality increases, people with lower levels of income are decreasingly likely to vote. Christoper J. Anderson and Pablo Beramendi, “Income, Inequality, and Electoral Participation,” in Democracy, Inequality, and Representation: A Comparative Perspective, ed. Beramendi and Anderson (New York: Russell Sage Foundation, 2008), 278. The founding executive director of progressive think tank Data for Progress, Sean McElwee , explains that those with lower incomes do not believe their vote influences political outcomes, while the wealthy do believe their vote counts and are therefore more likely to turn out to vote. Sean McElwee, Why the Voting Gap Matters (New York: Demos.org, 2014), https://www.demos.org/research/why-voting-gap-matters. Wealthier voters also tend to have greater access to the polls. They don’t face the same barriers to voting that many voters at lower income levels face, such as having to rely on public transportation or experiencing difficulty registering to vote. Jeremy Adam Smith and Teja Pattabhiraman, “How Inequality Keeps People from Voting,” Greater Good, October 29, 2020, https://greatergood.berkeley.edu/article/item/how_inequality_keeps_people_from_voting. A recent study of the 2020 US election found that some of the reasons for lower participation among low-income voters were the inability to take time off of work, missing voter registration deadlines, and not being able to find their polling places. Amelia Thomson-DeVeaux, Jasmine Mithani, and Laura Bronner, “Why Many Americans Don’t Vote,” FiveThirtyEight, ABC News, October 26, 2020, https://projects.fivethirtyeight.com/non-voters-poll-2020-election/. The same study also found large disparities between those making over $75,000 and those making less than $40,000 in terms of their likelihood of voting at all. Internationally, and on a more macro level, economic development will have an impact on participation rates “because economic hardship can result in voter apathy and lead people to withdraw from politics and focus on meeting their basic needs.” In addition, economic development affects education levels, which in turn affects voter participation. Abdurashid Solijonov, Voter Turnout Trends around the World (Stockholm: International IDEA, 2016), 35–36, https://www.idea.int/sites/default/files/publications/voter-turnout-trends-around-the-world.pdf. Most of the growth in the electorate since 2000 has come from Hispanic, Black, and Asian eligible voters. (source: Pew Research Center analysis of 2018 American Community Survey and 2000 decennial census. “The Changing Racial and Ethnic Composition of the US Electorate”; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Race is another factor that influences voter turnout. In the United States, White people have historically voted at substantially higher rates than voters of Asian or Latina/Latino descent, with the gap ranging from 15 to 20 percentage points. Ruth Igielnik and Abby Budiman, “The Changing Racial and Ethnic Composition of the US Electorate,” Pew Research Center, September 23, 2020, https://www.pewresearch.org/2020/09/23/the-changing-racial-and-ethnic-composition-of-the-u-s-electorate/. Asian American turnout has never reached the 50 percent mark, but the 2020 election saw a 63 percent increase in Asian American and Pacific Islander voter participation in Georgia compared to 2016, and Joe Biden ’s win in the state is partially credited to this seismic shift. Ryan Benk and Lulu Garcia-Navarro, “Asian American and Pacific Islander Turnout Helped Hand Biden Georgia,” NPR, December 4, 2020, https://www.npr.org/sections/biden-transition-updates/2020/12/04/942271036/asian-american-and-pacific-islander-turnout-helped-hand-biden-georgia. Black turnout has historically been higher than that of other minority groups, and any history of low turnout among Black people can be attributed to voter suppression policies and local laws that were not officially reversed until the passage of the Voting Rights Act in 1965. Since then, and notably since the 1980s, Black turnout has been steady. In 2012, Black turnout percentage reached an all-time high, surpassing White turnout in the presidential election that returned Barack Obama , the first Black president, to office for a second term. Rashawn Ray and Mark Whitlock, “Setting the Record Straight on Black Voter Turnout,” How We Rise (blog), Brookings Institution, September 12, 2019, https://www.brookings.edu/blog/how-we-rise/2019/09/12/setting-the-record-straight-on-black-voter-turnout/. Research on Latina/Latino (Latinx) turnout has shown that the group is not a monolith and that several different factors contribute to any understanding of Latinx voter participation. For example, the longer a Latinx voter has lived in the country, the more likely they are to vote, and differences among Cuban American, Mexican American, and Puerto Rican voters diminish after controlling for socioeconomic factors. Benjamin Highton and Arthur L. Burris, “New Perspectives on Latino Voter Turnout in the United States,” American Politics Research 30, no. 3 (May 2002): 285–306. However, as illustrated in , minority voters will only continue to grow in proportion to the population, and it is reasonable to think that their rates of voter participation will rise as well. What about gender? In 1980, the numbers of eligible male and female voters who reported voting were roughly the same, around 62 percent. Since then, increasingly more eligible female voters have voted than men. By 2016, the gap had widened by 4 percentage points, with the total number of female voters exceeding the number of male voters in every election since 1964. “Gender Differences in Voter Turnout,” Center for American Women and Politics, Rutgers University, updated May 4, 2021, https://cawp.rutgers.edu/facts/voters/turnout. Women turn out in higher numbers for a variety of reasons. Feminist movements have normalized female participation in politics, and the campaign platforms of Republicans in the 1980s—along with the rise of the Christian Right , which espoused traditional family values at the expense of policies such as equal pay and family leave—may have unintentionally mobilized women to vote in higher numebrs. Catherine Rampell, “Why Women Are Far More Likely to Vote Than Men,” Washington Post, July 17, 2014, https://www.washingtonpost.com/opinions/catherine-rampell-why-women-are-far-more-likely-to-vote-then-men/2014/07/17/b4658192-0de8-11e4-8c9a-923ecc0c7d23_story.html. Not only do women turn out at higher rates, but they also tend to exhibit voting preferences that differ from men’s. While men and women showed similar voting preferences in 1964, since 1976, the gap between their preferences has consistently widened. Laurence Arnold, “The Gender Gap in Voting,” Bloomberg, updated August 27, 2020, https://www.bloomberg.com/quicktake/gender-gap. The polls leading up to the 2020 US election illustrated a “gender canyon,” with a projected 15 percent gender gap between men, the majority of whom supported the Republican candidate, and women, who supported the Democratic candidate Courtney Weaver, “A Historic Gender Gap: Why Men and Women Are Voting Differently,” Financial Times, November 3, 2020, https://www.ft.com/content/419376c4-b6be-41dc-93eb-303f2f4a9903. —although this gap narrowed in the actual election to just 7 percentage points, a notable change from the 13-point gap observed in 2016. Geoffrey Skelley, “Why the Gender Gap May Have Shrunk in the 2020 Election,” FiveThirtyEight, ABC News, July 9, 2021, https://fivethirtyeight.com/features/why-the-gender-gap-may-have-shrunk-in-the-2020-election/. Globally, gender as a factor in turnout depends on the country. The lowest rates of female participation in elections are found mainly in countries in the Middle East, North Africa, and Asia. Female participation is lowest in Pakistan, while women participate at higher rates compared to men in 21 of 58 countries included in an International IDEA study, International Institute for Democracy and Electoral Assistance notably including Belarus, New Zealand, Russia, and Trinidad and Tobago. Solijonov, Voter Turnout Trends Aside from demographic factors, other individual-level attitudes also affect who participates in politics. A 2006 Pew Research Center study found that individuals who agreed with the statements “I am interested in local politics,” “It is my duty as a citizen to always vote,” “This election matters more,” and “I feel guilty when I don’t vote” were all much more likely to be registered and regular voters than individuals who disagreed with those statements. Pew Research Center, Who Votes, Who Doesn’t, and Why (Washington, DC: Pew Research Center, October 2006), https://www.pewresearch.org/politics/2006/10/18/who-votes-who-doesnt-and-why/. Subsequent studies found that interest and duty drive political participation. André Blais and Simon Labbé St-Vincent, “Personality Traits, Political Attitudes and the Propensity to Vote,” European Journal of Political Research 50, no. 3 (May 2011): 395–417. As mentioned earlier in this chapter, political efficacy also affects turnout, and historically, declining levels of trust, interest, and efficacy have been shown to lower political participation. Stephen D. Shaffer, “A Multivariate Explanation of Decreasing Turnout in Presidential Elections, 1960–1976,” American Journal of Political Science 25, no. 1 (February 1981): 68–95, https://www.jstor.org/stable/2110913. Multiple scholars also support the theory that voter fatigue —the idea that voters face too many elections and too many electoral decisions—depresses participation, C. Rallings, M. Thrasher, and G. Borisyuk, “Seasonal Factors, Voter Fatigue and the Costs of Voting,” Electoral Studies 22, no. 1 (March 2003): 65–79. and University of California Professor Arend Lijphart suggests that less frequent elections would boost participation. Arend Lijphart, “Unequal Participation: Democracy’s Unresolved Dilemma,” American Political Science Review 91, no. 1 (March 1997): 1–14, https://www.jstor.org/stable/2952255. In addition to demographic and individual-level characteristics, institutional forces can affect political participation. Voter registration requirements are one of the biggest institutional limits on political participation. Unlike countries such as Japan, Australia, Belgium, Germany, and Sweden, which all have automatic voter registration Jennifer S. Rosenberg and Margaret Chen, Expanding Democracy: Voter Registration around the World (New York: Brennan Center for Justice, 2009), https://www.brennancenter.org/sites/default/files/legacy/publications/Expanding.Democracy.pdf. whereby the government automatically registers citizens to vote, the United States relies on individuals and states to set up registration requirements and procedures. States that have adopted automatic voter registration (AVR)—in which the state automatically registers voters, usually through the Department of Motor Vehicles—have shown increases in the number of registered voters. As indicates, most voters in the United States register through the Department of Motor Vehicles. A 2019 study showed that AVR increased voter registration in seven states plus the District of Columbia, controlling for all other factors. Kevin Morris and Peter Dunphy, AVR Impact on State Voter Registration (New York: Brennan Center for Justice, 2019), https://www.brennancenter.org/sites/default/files/2019-08/Report_AVR_Impact_State_Voter_Registration.pdf. Of the 80 million Americans who did not vote in the 2020 election, almost 30 percent cited being unregistered as the top reason they did not go to the polls. Domenico Montanaro, “Poll: Despite Record Turnout, 80 Million Americans Didn’t Vote. Here’s Why,” NPR, December 15, 2020, https://www.npr.org/2020/12/15/945031391/poll-despite-record-turnout-80-million-americans-didnt-vote-heres-why. According to US Census data, between 2014 and 2018 most voting-age American citizens registered to vote at a department of motor vehicles or through a county or government registration office. (source: US Census Bureau, Current Population Survey Voting and Registration Supplements: November 2014, 2016, 2018; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Sarina Vij , writing for the American Bar Association’s (ABA’s) Human Rights magazine, notes that minorities are disproportionately affected by institutional barriers such as voter ID laws and decreased access to polling places and voting materials. Sarina Vij, “Why Minority Voters Have a Lower Voter Turnout: An Analysis of Current Restrictions,” Human Rights 45, no. 3 (May 2020), https://www.americanbar.org/groups/crsj/publications/human_rights_magazine_home/voting-in-2020/why-minority-voters-have-a-lower-voter-turnout/. Voter ID laws require individuals to present an ID, most commonly a driver’s license or passport, in order to vote. Individuals who lack government-issued identification are more likely to be, among other demographics, non-White. Vij indicates that lack of access to polling stations, another institutional barrier to participation, also tends to significantly disadvantage poor and minority voters. Access to actual voting locations goes hand in hand with availability of voting materials; younger, less educated, and non-White voters often cannot find necessary information about what is on the ballot or where they should vote, and they often meet with language barriers as well. Additional institutional restrictions on voting access have resulted in what some believe to be widespread voter suppression . A 2020 Harvard University study noted that restrictions on voter registration drives, new restrictions on early voting and voting by felons, voter roll purges, closure of polling places, restrictions on student voting, elimination of same-day voter registration, and unchecked gerrymandering (the manipulation of the boundaries of voting districts in order to favor one party over another) all contribute to lowered political participation. John Shattuck and Mathias Risse, Reimagining Rights and Responsibilities in the United States: Voting Rights (Cambridge, MA: Carr Center for Human Rights Policy, Harvard University, 2020), https://carrcenter.hks.harvard.edu/files/cchr/files/201105_votingrights_converted.pdf. Historically, codified laws in the United States such as Jim Crow laws prohibited Black voters from the ballot box. These laws used literacy tests , poll taxes , and stringent residency requirements to make voting more difficult. Even more horrific, in some regions of the United States, Black voters faced the threat of lynchings: “Slave patrols, the Ku Klux Klan and less formally organized groups of whites used beatings, burnings and hangings to constantly remind blacks of their inferior status and to prevent the use of their newly acquired freedoms to work and vote.” Robert DeFina and Lance Hannon, “The Legacy of Black Lynching and Contemporary Segregation in the South,” The Review of Black Political Economy 38, no. 2 (January 2011): 171. Jim Crow laws remained in effect until 1965, when the passage of the Voting Rights Act formally outlawed racial discrimination in voting. The Voting Rights Act reflects the power that political institutions can have both to act as counteragents to racism and to promote political participation. In 1966, Congress passed the 24th Amendment , which abolished poll taxes. The states ratified the amendment in 1964. In 1975, Congress added language to the original Voting Rights Act requiring localities to provide multilingual voter information, and it further expanded voting rights to protect Americans with disabilities in 1982. “Voting Rights: A Short History,” Carnegie Corporation of New York. https://www.carnegie.org/topics/topic-articles/voting-rights/voting-rights-timeline/. Globally, European Union (EU) countries such as Austria, Malta, Scotland, and Wales have made voting more accessible by lowering the voter age to 16. Other institutions that can affect people’s levels of political participation include religious groups and organizations. Denison University Professor Paul Djupe and Southern Illinois University Professor J. Tobin Grant found that religious institutions can encourage political participation by recruiting members to be part of the political process and highlighting their involvement as having political consequences. Paul A. Djupe and J. Tobin Grant, “Religious Institutions and Political Participation in America,” Journal for the Scientific Study of Religion 40, no. 2 (June 2011): 303–314. Several factors prevent people from voting. In terms of individual-level characteristics, older voters are more likely to vote for a variety of reasons, including simply having more time to go to the polls. Those with higher incomes who are not at risk of losing their jobs or who have more flexible working hours are also more likely to vote. Race is another predictor of voter turnout, though in the 2020 election, the share of minority voters grew. Gender is yet another determinant of voter turnout, with women voting at higher rates than men. Institutional factors such as voter registration, voter ID laws, gerrymandering, and voter fatigue also affect voter turnout. Voter registration and ID requirements can affect the ease with which voters can participate in elections. Countries with automatic registration and states that register voters automatically when they get their driver’s licenses have higher rates of electoral participation. Gerrymandering, in which district lines are drawn to favor one party over another, can affect whether people show up to vote, as does voter fatigue—the idea that there are simply too many elections for people to want to take part in. gerrymandering the manipulation of voting districts in order to favor candidates from one party over another Jim Crow laws a set of laws enforced mostly in the southern United States from the late 1800s until 1965 that legalized discrimination based on race, preventing Black Americans from enjoying fundamental rights such as equal access to education and voting voter fatigue feelings of apathy that the electorate can experience under certain circumstances—for example, when they are required to vote too often or are exposed to too much political information or negative news voter suppression discouraging or preventing specific groups of people from voting in order to alter the outcome of an election", "section": "What Limits Voter Participation in the United States?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Do Individuals Participate Other Than Voting? Learning Outcomes By the end of this section, you will be able to: Discuss forms of political participation other than voting. Explain individual-level versus group-level participation. Explain how the concept of social capital affects why people participate in political activities. The official website of the United States Senate includes a “Historical Highlight” titled “ Constituents Tell Senator How to Vote ,” which notes that shortly after the first Senate convened in 1789, its members began receiving letters about how they should vote, and that the presumed right of the people to instruct their elected representatives extends back to colonial times. “Constituents Tell Senator How to Vote,” United States Senate, December 12, 2019, https://www.senate.gov/artandhistory/history/minute/Constituent_Complaints.htm. This is still true today. Americans are free to call, email, or write their elected representative with their concerns or to appeal for help, and this type of activity is considered political participation. What other forms of participation exist? The first two sections of this chapter examined why voting is such an important form of political participation and exposed some of the major barriers to voting in the United States. While voting is important—and, for some people, difficult—there are a multiplicity of other ways to become involved in politics. This section will discuss individual-level actions that are considered important forms of political engagement. Writing or calling an elected official is an important form of political participation and is also part of how free speech is understood in the United States. The First Amendment to the US Constitution guarantees freedom of speech. Part of the reason the Constitution guarantees free speech is to preserve every citizen’s right to criticize the government. This is not true in many non-democratic countries around the world, where dictators squash public disapproval of their actions. The ability to contact elected officials to criticize or suggest changes is a crucial part of self-government . Free speech, and the extent to which Americans can exercise it, depends on time, place, and content. It is crucial in part because it “aids the political process” Martin H. Redish, “The Value of Free Speech,” University of Pennsylvania Law Review 130, no. 3 (January 1982): 604, https://www.jstor.org/stable/3311836. and supports the marketplace of ideas that is essential to self-government. Contacting Your Representatives via Email, Letter, or Phone If you are an American, it is very easy to contact your elected officials with any concerns you might have, be they about a local ordinance, such as whether you can walk your dog off of its leash, or about one of the president’s executive orders. The Internet makes it easy to email officials, though you can always write a letter or make a call as well. The US government has a website that allows people to find their local, state, and nationally elected government officials. Another way to express political opinions and engage in political activity is through volunteering . Unlike voting, which skews toward older individuals, “the percentage of young Americans engaged in regular volunteer activity nearly equals that of their Baby Boomer parents,” Cliff Zukin et al., A New Engagement? Political Participation, Civic Life, and the Changing American Citizen (Oxford: Oxford University Press, 2006), 7. and while young people might not vote, many participate in a variety of civic engagement activities that can be considered just as important as voting. Volunteerism and voluntary association in groups, be they a formal political group or a neighborhood recycling committee, are important forms of civic engagement because these types of activities teach us how to participate in democratic life. Robert D. Putnam, Making Democracy Work: Civic Traditions in Modern Italy, with Robert Leonardi and Raffaella Y. Nanetti (Princeton, NJ: Princeton University Press, 1993). What does a volunteer for a political campaign do? Volunteers help candidates and parties by knocking on voters’ doors and explaining policies one-on-one, phone banking (making calls to potential voters to sew up support), stuffing envelopes with campaign literature, distributing yard and window signs, helping people register to vote, and sometimes even transporting voters to the polls. Volunteering for a political campaign is important work because “volunteers’ door-to-door canvassing can make a difference in turnout—particularly in elections where turnout is typically low, such as those in mid-term election years.” John Fryar, “Volunteers Can Be Key to Election Outcomes, Activists Say,” AP News, Associated Press, October 19, 2018, https://apnews.com/article/db10b6038c5b4d768354ffa1a5a56b30. Interestingly, while US voter participation rates are lower than rates in other developed countries, “the rates of political participation—that is, taking part in public life in ways other than voting—tend to be far higher than in other countries.” Andrew Rudalevige, “Americans Get More Politically Involved Than Citizens Elsewhere. The Constitution’s Framers Designed It That Way,” Washington Post, September 1, 2017, https://www.washingtonpost.com/news/monkey-cage/wp/2017/09/01/americans-get-more-politically-involved-than-citizens-elsewhere-the-constitutions-framers-designed-it-that-way/. A Pew Research Center survey of 14 countries from around the globe showed that beyond voting, political participation rates were relatively low. The study notes that “attending a political campaign event or speech is the second most common type of participation among those surveyed,” while “fewer people report participating in volunteer organizations (a median of 27%), posting comments on political issues online (17%), participating in an organized protest (14%) or donating money to a social or political organization (12%).” Richard Wike and Alexandra Castillo, “Many around the World Are Disengaged from Politics,” Pew Research Center, October 17, 2018, https://www.pewresearch.org/global/2018/10/17/international-political-engagement/. Beyond voting, political participation around the world is relatively low. (source: Pew Research Center Spring 2018 Global Attitudes Survey. Q63a-f; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Compare the data in for countries around the world to the data in for the United States, where people report higher levels of political engagement across similar activities: More Americans engage with politics digitally than by volunteering or attending rallies. (source: Pew Research Center survey of US adults conducted Jan. 29-Feb. 13, 2018; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Donating money is also a form of political participation ( Chapter 8: Interest Groups, Political Parties, and Elections will discuss the role of money in elections in greater detail). Political donations, which the Supreme Court has protected as a type of political speech, allow people to feel like they are participating in politics without leaving their homes or picking up a phone, thanks in part to the ease of online donating. Not everyone who donates is a millionaire. While the cap on individual donations to a single candidate is $2,900, voters can also give up to $5,000 to a political action committee (PAC) , $10,000 to state and local political parties, and $36,5000 to the national committee. “Contribution Limits,” Federal Election Commission, accessed April 21, 2021, https://www.fec.gov/help-candidates-and-committees/candidate-taking-receipts/contribution-limits/. Individuals need not be wealthy to contribute to the candidate or party of their choice. The Wall Street Journal profiled a 34-year-old office manager and Bernie Sanders supporter who donated to the Sanders election campaign by giving in three-dollar increments up to 20 times a day. Chad Day and Julie Bykowicz, “Small Donors Get Creative to Give Over and Over to 2020 Candidates,” Wall Street Journal, October 25, 2019, https://www.wsj.com/articles/small-donors-get-creative-to-give-over-and-over-to-2020-candidates-11572001202. Not everyone who contributes gives the maximum of $2,900, but their collective donations add up to a significant amount of money: Close to a quarter of all money raised in the 2020 election cycle came from people who gave less than $200. Ollie Gratzinger, “Small Donors Give Big Money in 2020 Election Cycle,” OpenSecrets, October 30, 2020, https://www.opensecrets.org/news/2020/10/small-donors-give-big-2020-thanks-to-technology/. This movement toward small donors signifies a positive change in political participation: instead of a small number of very wealthy individuals contributing money, this type of grassroots fundraising creates a chance for broader civic participation. Chapter 8: Interest Groups, Political Parties, and Elections will discuss some of these ideas in further detail. Donating money to political campaigns and candidates looks different in other countries. The United States limits how much any individual or group can donate, and countries such as Belgium, Canada, Chile, France, Greece, Iceland, Ireland, Israel, Japan, South Korea, Poland, and Slovenia limit both how much individuals can donate and how much campaigns can spend donations. For example, the donation limit in Canada, which increases by Can$25 at the beginning of each year, was Can$1,650 (roughly US$1,320) total per person as of 2021. “Limits on Contributions,” Elections Canada, last modified June 8, 2021, https://www.elections.ca/content.aspx?section=pol&document=index&dir=lim&lang=e. In France, the donation limit was €4,600 (roughly US$5,300) per candidate and €7,500 (roughly US$8,650) per political party as of 2019. “France,” International IDEA, 2019, https://www.idea.int/data-tools/country-view/86/55?y=2019. Some other countries place no limits on donations (or on spending), including Australia, the Czech Republic, Denmark, Estonia, Germany, Luxembourg, the Netherlands, Norway, Spain, Sweden, Switzerland, and Turkey. Paul Waldman, “How Our Campaign Finance System Compares to Other Countries,” American Prospect, April 4, 2014, https://prospect.org/power/campaign-finance-system-compares-countries/. Some forms of political participation, such as being informed, discussing issues, and using social media , don’t entail the same level of energy or expense as contacting elected officials, volunteering, or donating money, but they can be just as important and influential. Scholars note that while there are many ways to be involved in politics, people often learn about politics through discussion, and being informed allows people to make good decisions about how to vote in their best interests. Elizabeth Theiss-Morse, “Conceptualizations of Good Citizenship and Political Participation,” Political Behavior 15, no. 4 (December 1993): 355–380, https://www.jstor.org/stable/586463. While keeping informed about politics may not seem like political participation the way that voting or volunteering does, educating oneself is perhaps the most important precursor to becoming more fully involved. This can mean reading about politics in the newspaper or listening to a podcast, but it may also take the form of either face-to-face or online discussions. In the run-up to the 2020 presidential election, the New York Times created an online feature called “How to Participate in Politics.” Ian Prasad Philbrick and David Leonhardt, “How to Participate in Politics,” New York Times, updated February 13, 2019, https://www.nytimes.com/guides/year-of-living-better/how-to-participate-in-government. In it, a section called “How to Talk about Politics” encourages people to talk in person, find common ground, listen, focus on the issues, and know when to stop talking. The founders of the Common Ground Committee , an organization that sponsors public forums that bring together leaders from different backgrounds to discuss politics, “About,” Common Ground Committee, last modified May 3, 2021, https://commongroundcommittee.org/about/. wrote an opinion piece in which they explained very simply that the reason people need to learn how to discuss politics is so that we can reduce ignorance and fear and create productive outcomes. Bruce Bond and Erik Olsen, “Engaging in Tough Conversations Is Worth It. Even If We Can’t Find Agreement,” USA Today, January 23, 2020, https://www.usatoday.com/story/opinion/2020/01/23/talking-politics-necessary-constructive-our-democracy-column/4529280002/. You may not be able to imagine a world without a smartphone or social media, and these two technological advances have marked a significant shift not only in how we communicate with one another, shop, and look for information but also in how we participate in politics. Currently, a quarter of Americans get their news from a website or news app, and close to 20 percent use social media. More specifically, in one study conducted from October 2019 to June 2020, 40 percent of people aged 30–49 and 48 percent of people aged 18–29 reported that they got most of their political news from social media. Amy Mitchell et al., Americans Who Mainly Get Their News on Social Media Are Less Engaged, Less Knowledgeable (Washington, DC: Pew Research Center, July 2020), https://www.pewresearch.org/journalism/2020/07/30/americans-who-mainly-get-their-news-on-social-media-are-less-engaged-less-knowledgeable/. Fake news and misinformation may proliferate easily online, but studies have found that both information recall and short-term learning are positively correlated with social media use. Leticia Bode, “Political News in the News Feed: Learning Politics from Social Media,” Mass Communication and Society 19, no. 1 (2016): 24–48. In terms of political engagement, scholars have found that social media increases participation and people’s sense of political agency and that after being exposed to information online, individuals tend to feel more efficacious. Daniel Halpern, Sebastián Valenzuela, and James E. Katz, “We Face, I Tweet: How Different Social Media Influence Political Participation through Collective and Internal Efficacy,” Journal of Computer-Mediated Communication 22, no. 6 (November 2017): 320–336, https://doi.org/10.1111/jcc4.12198. Finally, a meta-study (a study that summarizes multiple studies on a similar topic) found that, overall, social media use is highly correlated with participation in civil and political life. Shelley Boulianne, “Social Media Use and Participation: A Meta-analysis of Current Research,” Information, Communication & Society 18, no. 5 (2015): 524–538. It is important to note that this relationship is not causal —use of social media does not lead to political participation, or vice versa—but the two activities appear to be decidedly related. But why do people turn to social media when they want to find out about politics or make their views known? Simply put, it has never been so easy. We are all broadcasters when we have a social media account. With social media, we feel we can both acquire information and vocalize our views, and these activities are a type of political participation. The ease is also what makes social media a hazardous environment for political information and participation. Almost anyone can generate news anywhere, unchecked, and that news can travel at speeds faster than previously possible. An MIT study found that “falsehoods are 70% more likely to be retweeted on Twitter than the truth, and reach their first 1,500 people six times faster.” Sara Brown, “MIT Sloan Research about Social Media, Misinformation, and Elections,” MIT Sloan, Massachusetts Institute of Technology, October 5, 2020, https://mitsloan.mit.edu/ideas-made-to-matter/mit-sloan-research-about-social-media-misinformation-and-elections. More problematic, the same study found that falsehoods are also more likely to change people’s opinions. How do we harness social media for good—that is, so that it helps us acquire information and feel more knowledgeable—while fixing its problems? A separate MIT study found that crowdsourcing ratings—in other words, asking people to “grade” information they saw online—works to reduce the spread of fake news. Dylan Walsh, “Crowdsourced Ratings of Online News Quality May Actually Work,” MIT Sloan, Massachusetts Institute of Technology, January 28, 2019, https://mitsloan.mit.edu/ideas-made-to-matter/crowdsourced-ratings-online-news-quality-may-actually-work. Another study found that when people took the time to assess the accuracy of online headlines, they were more likely to spot fakes. Bence Bago, David G. Rand, and Gordon Pennycook, “Fake News, Fast and Slow: Deliberation Reduces Belief in False (but Not True) News Headlines,” Journal of Experimental Psychology: General 149, no. 8 (2020): 1608–1613. Compared to television and radio, our relationship with social media is still nascent, and there is room for improvement in how we use it for political purposes. This chapter has looked at how individuals can participate in our political process, either through voting or by engaging in a myriad of other activities. But how can we participate as part of a group? Earlier parts of this chapter discussed how volunteering is a powerful form of individual-level participation. This section will examine how groups and being a part of these groups also acts as a form of political participation. In the United States, if you don’t know which candidate you want to support, or if the next election is still far in the future, an easy organization to become part of, support, and work for is a political party. If you take a look at the Democratic National Committee (DNC) website , you will see that volunteers do many different things, including hosting fundraisers and organizing local events for politicians to attend. “Take Action,” Democratic National Committee, 2021, https://democrats.org/take-action/. The Republican National Committee (RNC) also has a sign-up portal where people can volunteer to be part of their fundraising, phone-banking, and door-knocking efforts. “Sign Up to Volunteer,” The Republican National Committee, 2021, https://www.gop.com/volunteer/. Congressional elections take place every two years, and political parties do not suspend their activities in the interim. They are always looking for individuals to help them achieve their goals. As former House Speaker Tip O’Neill once said, “All politics are local,” and you can volunteer for state and local party organizations, many of which are not as well funded as national campaigns and rely on volunteer help. Current House Speaker Nancy Pelosi made a name for herself fundraising for local politicians, then for California state candidates, before she ran for office herself. Being part of a party can introduce you to people with shared interests and train you for further involvement in politics. Working for a political campaign is another form of political participation that anyone can engage in. The work of campaigns rests on the shoulders of volunteers. Much like working for a political party, being part of the volunteer staff for a campaign entails making and answering phone calls about a candidate, stuffing envelopes, soliciting donations, distributing campaign literature, knocking on doors, helping register candidates, and doing whatever other work the campaign staff needs. Many people donate their time because they believe in a particular candidate, while others find it is a good way to introduce themselves to the work of politics. Whatever the aim, volunteering for a campaign is an important, often rewarding form of participation that can serve to create new social networks. Griffin Neal, Regional Campaign Manager Please explain what you do for your organization. I am a former grassroots coordinator and current deputy campaign manager for Congressman Mike Johnson’s (LA-04) reelection campaign. How did you get involved in your position? I studied public policy and journalism at the University of Mississippi. To be frank, there isn’t much schooling that can prepare you for the operational side of a campaign. It’s a slog: long nights, early mornings, fast food, and more phone calls than the human ear was built to withstand. However, my degree in public policy provided me with the requisite knowledge of the policy-making process—and politics in general—which allowed me to engage directly with would-be voters on the issues. More importantly though, my degree program emphasized extracurricular involvement, particularly in campus politics. I began volunteering on campaigns as a freshman, ran for office my sophomore year, ran another campaign junior year, and then joined the dark side as a senior, when I became executive editor of the campus newspaper. Ultimately (and unfortunately), campaigns aren’t all too dissimilar from campus elections. What advice would you give students who are interested in your line of work? Reach out to the grassroots coordinator or volunteer coordinator. Immediately. The vast majority of campaigns—from city council to Congress—are understaffed. Volunteering on campaigns isn’t a glamorous job, nor will it immediately pay well. However, being affiliated with a campaign is one of the premier ways to involve yourself in politics. Whether you’re passionate about a candidate or using it as a conduit to eventually work in politics, campaign work offers the best insight into the political process. And because most campaign staffs are overworked, the opportunities for growth and upward mobility are endless. I started with the Johnson campaign in August of 2020, handling volunteer engagement and distributing yard signs; three months later I was doing election night TV hits Interviews with local media. As for actually getting involved with the campaign, if you’re hoping to volunteer with an official seeking reelection, reach out to their office. They can connect you with the requisite campaign staffers. If you’re hoping to work with a new candidate, most campaigns have either an email or phone number connected to their social channels, as well as on any would-be website. Ninety-nine percent of the time, the first call is all you’ll need to get involved, but it’s important to follow through on your request. If you offer to volunteer for a campaign, make sure to outline expectations with your boss and let them know of any potential conflicts—that way, the volunteer coordinator will know how and where they can maximize you as a volunteer. One last piece of advice: take the project no one else wants to take; it will pay dividends in the long run. Another way to become involved with a political group is through protests and social movements . Earlier sections of this chapter showed that in comparison to other demographic groups, Asian Americans have low levels of political participation. However, in 2021, after a year of increased violence against members of the Asian community and a shooting incident that left six Asian women dead at an Atlanta business, Asian American–led protests surged across the country, leading the president, the vice president, and members of Congress to investigate the number of rising hate crimes against Asian Americans and formulate a policy response. Cameron McWhirter, Allison Pohle, and Alex Janin, “Protests across US Call for End to Anti-Asian Violence,” Wall Street Journal, March 21, 2021, https://www.wsj.com/articles/protests-across-u-s-call-for-end-to-anti-asian-violence-11616273497. In 2021, Asian Americans led protests against the rise in anti-Asian hate crimes in the wake of COVID-19. (credit: “03.20.21_Solidarity Against Hate Crimes (200)” by Paul Becker/Flickr, CC BY 2.0) In this way, protests are a good example of how people working collectively can participate in politics to successfully call attention to a cause. This is not only an American phenomenon. Researchers have found that protests continue to play an important role in Latin American countries as a way for people “to achieve certain political objectives and to express policy demands.” Fabiana Machado, Carlos Scartascini, and Mariano Tommasi, “Political Institutions and Street Protests in Latin America,” Journal of Conflict Resolution 55, no. 3 (June 2011): 342, https://www.jstor.org/stable/23049890. Even in authoritarian countries where freedom of expression is not protected, protests function as an important form of political participation. While rural and urban voters may exhibit different characteristics, such as differing levels of education, both can still engage in protest as a way to demand accountability from the government. Lynette H. Ong and Donglin Han, “What Drives People to Protest in an Authoritarian Country? Resources and Rewards vs. Risks of Protests in Urban and Rural China,” Political Studies 67, no. 1 (February 2019): 224–248. Much like everything else in our world, protests have also migrated from the streets to the online sphere. E-petitioning—that is, signing petitions online as opposed to in-person—has been found to mobilize communities to solicit support for policy recommendations, and studies show that policy makers take these types of online protests into account. For example, online activity after the 2012 shooting at Sandy Hook Elementary School spurred President Obama to explicitly and publicly acknowledge the widespread online petitions in support of reforming gun laws. Catherine Dumas et al., “E-petitioning as Collective Political Action in We the People” (conference paper, iConference 2015 Proceedings, University of California, Irvine Donald Bren School of Information and Computer Sciences, March 24–27, 2015), http://hdl.handle.net/2142/73665. Protest movements are often associated with younger people—think Tiananmen Square or anti-Vietnam movements—and young, savvy protestors tend to be active online. After the Marjory Stoneman Douglas High School shooting in Parkland, Florida, in 2018, the New York Times ran an article with the headline “How the Parkland Students Got So Good at Social Media.” The article described an online protest, fueled entirely by people who had yet to even enter college, that was hugely successful in garnering public support and keeping gun control issues front and center. Jonah E. Bromwich, “How the Parkland Students Got So Good at Social Media,” New York Times, March 7, 2018, https://www.nytimes.com/2018/03/07/us/parkland-students-social-media.html. Academics echo the notion that while younger generations may seem apathetic and unlikely to participate in traditional ways, “the political identity and attitudes of young citizens are . . . seen to be increasingly shaped less by their social ties to family, neighbourhood, school or work” and more “by the manner in which they participate and interact through the social networks which they themselves have had a significant part in constructing,” Brian D. Loader, Ariadne Vromen, and Michael A. Xenos, “The Networked Young Citizen: Social Media, Political Participation and Civic Engagement,” Information, Communication & Society 17, no. 2 (2014): 143, https://doi.org/10.1080/1369118X.2013.871571. thereby creating “new forms of networked young citizenship.” Ibid., 149. In this way, the combination of protests and the online world creates a new avenue for political participation that is just as important as traditional, offline engagement. Protest movements “swept the globe [in 2019]—so widely that some experts said there were more protests, and more protesters, in 2019 than at any other time in history.” Bill Wanlund, “Global Protest Movements,” CQ Researcher 30, no. 17 (May 2020), https://library.cqpress.com/cqresearcher/document.php?id=cqresrre2020050100. There was a considerable increase in global protest movements between 2009 and 2019. (source: Samuel J. Brannen, Christian S. Haig, and Katherine Schmidt, The Age of Mass Protests: Understanding an Escalating Global Trend Washington, DC: Center for Strategic and International Studies, March 2020; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The Center for Strategic and International Studies (CSIS) found that factors such as slowing global economic growth, worsening effects of climate change , and foreign meddling in internal politics contribute to the growth of protest movements worldwide. Samuel J. Brannen, Christian S. Haig, and Katherine Schmidt, The Age of Mass Protests: Understanding an Escalating Global Trend (Washington, DC: Center for Strategic and International Studies, March 2020), https://www.csis.org/analysis/age-mass-protests-understanding-escalating-global-trend. One notable example is the Umbrella Movement , a pro-democracy movement in Hong Kong that adopted its name in 2014 after the umbrellas that protesters used to shield their identities from Chinese officials, block pepper spray and water cannons, and defend against police clubs. Having become a symbol of the resistance, umbrellas are now considered “weapons” by the Chinese government and are increasingly difficult to purchase online. Chloe Whiteaker, “The Essential Tool for Hong Kong Protesters? An Umbrella,” Bloomberg, September 20, 2019, https://www.bloomberg.com/graphics/2019-hong-kong-protesters-umbrellas/. Hong Kong, which was once a British colony, reverted to Chinese rule in 1997 under a “one country, two systems” arrangement whereby Hong Kong would be allowed some continued autonomy and its citizens would have more rights than those in mainland China. However, in June 2019, the Chinese government enacted plans to allow the extradition of Hong Kong citizens to China, a move that protesters said would subject citizens of Hong Kong to unfair trials and target activists and journalists. Though the extradition bill was withdrawn, activists in Hong Kong believe that China will continue to dismantle their legal rights and continue to protest against Beijing in order to protect their independence. “The Hong Kong Protests Explained in 100 and 500 words,” BBC News, November 28, 2019, https://www.bbc.com/news/world-asia-china-49317695. Tensions between pro-democracy advocates in Hong Kong and Chinese party officials only continued to escalate as prosecutors alleged that the protests were a security threat and interfered with government functions. By March 2021, after the protests had largely been quelled by COVID-19 pandemic restrictions and “a harsh national security law” passed in June 2020, Chinese officials had arrested more than 10,000 pro-democracy protesters, and more than 2,400 had been charged. Austin Ramzy, “Hundreds in Rare Hong Kong Protest as Opposition Figures Are Charged,” New York Times, March 1, 2021, https://www.nytimes.com/2021/03/01/world/asia/hong-kong-protest.html. Hong Kong Protests: Why ‘Umbrella Revolution’? BBC News In this video, visual artist Kacey Wong explains why the Hong Kong protest movement adopted the name ‘Umbrella Movement.’ Another major international protest movement was the Arab Spring , one of the most prominent social movements of the 2010s, which started when a Tunisian street vendor lit himself on fire as a form of protest against the country’s authoritarian government. This single act set off a wave of protests across North Africa and the Middle East, resulting in regime changes and modest political, social, and economic gains in several countries, but also still-ongoing protests and violence. Kali Robinson, “The Arab Spring at Ten Years: What’s the Legacy of the Uprisings?,” Council on Foreign Relations, December 3, 2020, https://www.cfr.org/article/arab-spring-ten-years-whats-legacy-uprisings. Ten years after the Arab Spring, Tunisia remains locked in civil unrest and protests, driven mainly by economic unease as successive governments have failed to close the gap between the rich and the poor. As in Hong Kong, Tunisian protesters have been jailed, abused, and prosecuted by the government, and the Tunisian Human Rights League (LTDH) has estimated that 30 percent of the 1,400 protesters arrested so far are minors. Simon Speakman Cordall, “‘Things Are Getting Worse’: Tunisia Protests Rage On as Latest Victim Named,” Guardian, January 27, 2021, https://www.theguardian.com/global-development/2021/jan/27/things-are-getting-worse-tunisia-protests-rage-on-as-latest-victim-named. While governments in North Africa and the Middle East pushed back against the movement, the Arab Spring was influential, and it resulted in leadership change in Tunisia, Libya, Egypt, and Yemen. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Pro-democracy protests such as the ones in Hong Kong, North Africa, and the Middle East show that Americans’ ability to advocate and protest on behalf of their beliefs should not be taken for granted. Much of this chapter has examined how people can participate more fully in democracy, whether through voting, writing an elected official, volunteering, reading about politics, or posting their views online. But how can we create an environment where more people participate in the political process? One answer lies in the production of what is called social capital . Social capital is the idea that individuals form connections that benefit their own interests and that these social networks in turn produce communities that create norms of reciprocity. In other words, being well-connected can help you personally, but it also creates a group of networked people who feel obligated to help one another in positive ways. As Harvard University Professor Robert Putnam writes in his seminal work Bowling Alone (2000), “Your extended family represents a form of social capital, as do your Sunday school class, the regulars who play poker on your commuter train, your college roommates, the civic organizations to which you belong, the Internet chat group in which you participate, and the network of professional acquaintances recorded in your address book.” Putnam, Bowling Alone, 21. All of these groups are examples of how relationships can facilitate social interaction and participation. Studies of social capital around the globe have shown that if we can increase social capital, we can bolster political participation. A study on social capital and its effects on political participation in Japan, which has a notoriously low political participation rate relative to its regional peers, found that social networking fueled participation. Ken’ichi Ikeda and Sean E. Richey, “Japanese Network Capital: The Impact of Social Networks on Japanese Political Participation,” Political Behavior 27, no. 3 (September 2005): 239–260. Studies in Latin American have likewise found a robust relationship between the production of social capital and political participation. A study of Mexico, Chile, Peru, and Argentina found that greater involvement in non political activities leads to more participation in explicitly political ones. Fostering interpersonal trust and organizational involvement outside of politics pushes people to be more politically active. Klesner, “Social Capital,” 29. Just as social media can be an outlet for political participation, it can also increase social capital. In an early study on Facebook and political participation, researchers found a small but noticeably positive relationship between use of the social media site and the production of social capital. Sebastián Valenzuela, Namsu Park, and Kerk F. Kee, “Is There Social Capital in a Social Network Site? Facebook Use and College Students’ Life Satisfaction, Trust, and Participation,” Journal of Computer-Mediated Communication 14, no. 4 (July 2009): 875–901, https://doi.org/10.1111/j.1083-6101.2009.01474.x. As social media has become increasingly prominent in our lives, subsequent studies have revealed that it continues to play a role in social capital and participation, possibly in more influential ways. University of Salamanca and Penn State University Professor Homero Gil de Zúñiga , Tennessee Tech University Professor Nakwon Jung , and University of Wisconsin Professor Sebastián Valenzuela found that seeking information via social networking sites was a positive and significant predictor of social capital and civic and political participatory behaviors, both online and offline. They posit that social networks show how “learning about what happens around us and in our community, reflecting on it, and discussing it with others constructively affects the political realm; as well as it facilitates a cohesive community by enabling citizens to engage in civic action.” Homero Gil de Zúñiga, Nakwon Jung, and Sebastián Valenzuela, “Social Media Use for News and Individuals’ Social Capital, Civic Engagement and Political Participation,” Journal of Computer-Mediated Communication 17, no. 3 (April 2012): 329, https://doi.org/10.1111/j.1083-6101.2012.01574.x. One study of Nigerian university students found that social media enhanced students’ levels of political engagement, particularly around national elections. Lambe Kayode Mustapha, Victor Olanrewaju Gbonegun, and Maryam Lasisi Mustapha, “Social Media Use, Social Capital, and Political Participation among Nigerian University Students,” Trípodos, no. 39 (2016): 127–143, https://raco.cat/index.php/Tripodos/article/view/335040. The researchers note that their study bolsters assertions made by researchers in the United States social media on social capital production and participation know no geographic limits. Finally, older individuals benefit from use of social media as well; Crowdsourcing and Innovation expert Lee B. Erickson at Penn State found that Facebook appeared to facilitate different types of social capital for users over the age of 65. Lee B. Erickson, “Social Media, Social Capital, and Seniors: The Impact of Facebook on Bonding and Bridging Social Capital of Individuals over 65,” (conference paper, AMCIS 2011 Proceedings, 2011), https://aisel.aisnet.org/amcis2011_submissions/85/. The creation of social capital is an important concept in political science, and that social capital can be created in a variety of ways, even through social media. In an article in the journal Political Psychology , Ronald La Due Lake and University of California Professor Robert Huckfeldt explain, “Social capital produces an important political consequence by encouraging wider participation in democratic processes.” Ronald La Due Lake and Robert Huckfeldt, “Social Capital, Social Networks, and Political Participation,” Political Psychology 19, no. 3 (1998): 583, https://www.jstor.org/stable/3792178. The creation of social capital is a difficult task in a world that makes multiple demands on our time, from commuting to what feels like ever-expanding work hours. However, given the repeated evidence of the effects of social capital on enhancing political participation, it raises the question: Is social capital as important as things like voter registration reforms in terms of encouraging the broader public to vote? There are several ways to participate in politics other than voting. On an individual level, people can write to their elected officials; volunteer for causes they believe in; donate money to candidates, causes, or campaigns; keep informed about politics and discuss topics of personal importance; and follow elected officials or political causes online. People can also participate as part of a group by joining political parties or campaigns and by taking part in protests. All of these activities contribute to social capital, which is the idea that individuals form connections that benefit their own interests and that these social networks in turn produce communities that create norms of reciprocity and promote more civil engagement overall. social capital the effects of relationships among people who live and work in a particular society, enabling that society to function effectively", "section": "How Do Individuals Participate Other Than Voting?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Is Public Opinion and Where Does It Come From? Learning Outcomes By the end of this section, you will be able to: Define public opinion. Describe the different types of public opinion. Detail the external influences that affect the development of an individual’s opinion. Political participation is an important measure of the health of a democracy, as popular involvement serves as a source of its legitimacy . However, the public cannot be expected to carry out the responsibility of making the government run. People have jobs, families, and other pressing concerns, and while it is always important to be involved somehow—whether by voting, writing officials, or reading about politics—we elect public officials to represent our interests and to serve as experts in ways we cannot. But how do elected officials know what we want? Voting is certainly a good proxy for understanding how people feel, but it does not provide a great deal of detail for public officials to understand public sentiment on certain issues. This is where the concept of public opinion is very important. Being able to gauge what people want is an integral part of the rationale behind democratic government. Public opinion is the aggregation of individual views that represent the feelings that people hold on an issue at a given point in time. Not all people have opinions on all topics, and therefore another way to define public opinion is to say that it represents the views of ordinary citizens that they are willing to express openly. People’s opinions can change for many reasons, so it is also important to recognize that a public opinion poll is a measure of how people feel at the particular moment when the poll was conducted. By measuring public opinion, elected officials throughout government gain insight into what people think should be done about certain issues. There are some issues where the majority of the public shares the same opinion, otherwise known as the majority opinion . For example, in a 2020 Harvard University poll, 80 percent of Americans surveyed agreed with the statement “Without our freedoms, America is nothing”; 93 percent stated that they believe clean air and water are basic rights; 92 percent supported the right to a quality education; 92 percent supported racial equality; and 89 percent agreed that affordable health care is a right. Caitlin Oprysko, “Poll: Americans United on a Slew of Issues, despite Contentious Election Season,” Politico, September 15, 2020, https://www.politico.com/news/2020/09/15/election-season-americans-united-issues-poll-414687. Because each of these figures represents more than 50 percent of those surveyed, these views may be considered representative of the majority opinion. However, this definitely does not mean that the majority of people have opinions on all issues or even share a common point of view. For example, a farmer may have a strong opinion on federal agricultural subsidy programs, while a dentist may not. As Stanford University Professor Jon Krosnick writes, “American citizens vary a great deal in terms of the personal importance they attach to their attitudes on public policy issues.” Jon A. Krosnick, “Government Policy and Citizen Passion: A Study of Issue Publics in Contemporary America,” Political Behavior 12, no. 1 (1990): 60, https://www.jstor.org/stable/586285. While people may not know everything about every issue, they are likely to hold strong opinions about the ones that are most important to them. The theory of issue publics states that the American electorate is made up of multiple small groups that care about single issues, rather than a public that cares equally about all issues. The opinion not of the broader public but of business, political, and other cultural elites—that is, elite opinion —represents the views of one of these small groups. Where do people’s opinions come from? In one of the seminal works on the topic, aptly named Public Opinion (1922), journalist and political commentator Walter Lippmann writes, “We can see how indirectly we know the environment in which . . . we live.” Walter Lippmann, Public Opinion (New York: Harcourt, Brace, 1922), 4. In other words, we acquire most of our information secondhand, not through personal experience, and myriad external forces influence our opinions. We can broadly categorize these forces. Demographic groups are one of the most influential of these external forces. Think about your age, your race or ethnicity, and your gender. These demographic characteristics can influence how people feel about certain issues or candidates. For example, Black Americans are twice as likely as Asian or White Americans to agree with the statement that not enough attention has been paid to the January 6, 2021, riots at the United States Capital. Black Americans are also more likely to attach a high level of importance to prosecuting the Capitol rioters, by a margin of approximately 20 percentage points over other racial groups. Pew Research Center, Large Majority of the Public Views Prosecution of Capitol Rioters as “Very Important” (Washington, DC: Pew Research Center, March 2021), https://www.pewresearch.org/politics/2021/03/18/large-majority-of-the-public-views-prosecution-of-capitol-rioters-as-very-important/. It is not unreasonable to attribute Black Americans’ opinions to the unfair treatment they have experienced at the hands of a historically prejudiced justice system, and through this example, we can see how self-identification affects people’s opinions. On the issue of Brexit , or Britain leaving the EU, the thrust of the debate centered on immigration , and opinion polls on the topic illustrated a stark divide based on demographics . College-educated individuals in the UK were much less likely to hold anti-immigrant views, with 20 percent of college-educated Britons saying they would not accept a Muslim as a family member, compared to 43 percent of less educated Britons. Omkar Joshi and Jonathan Evans, “British Attitudes on National Identity and Religious Minorities Not Unique in EU,” Pew Research Center, February 19, 2019, https://www.pewresearch.org/fact-tank/2019/02/19/british-attitudes-on-national-identity-and-religious-minorities-not-unique-in-eu/. Social groups also affect our opinions on politics and public officials. Think about who you spend time with: your friends, your family, a sports team, your classmates, and your coworkers. These social groups have a strong impact on how we think about issues. In other words, and to paraphrase Vincent Price, it is not so much where we stand on the issues but with whom we stand . Vincent Price, “Social Identification and Public Opinion: Effects of Communicating Group Conflict,” Public Opinion Quarterly 53, no. 2 (1989): 198, https://www.jstor.org/stable/2749523. Perhaps your parents were lifelong Democrats, and this is why you tend to vote Democratic. If you work in the world of finance, you will likely be surrounded by conservative thinkers, and this may lead you to espouse lower taxes. These people—your social groups—influence how you think about an issue, and the opinions you form will reflect your association with these groups. This process by which people assimilate to group values is also called socialization . Sociology is the study of groups, human connections, social influences, and cultural forces that shape our relationships and personal worldviews. Sociology and political science naturally overlap. Both disciplines are considered social sciences; that is, they both examine human societies and groups. By understanding the broader theories of sociology, political scientists can gain insight into social norms and organizations as they relate to political institutions and actors. The set of beliefs, principles, or doctrines that guide one’s views of how the government should work is referred to as their political ideology (political ideology is covered in more detail in Chapter 3: Political Ideology ). Political ideology can act as a framework that directs people’s thinking on political issues. Identifying as a liberal or a conservative, for example, will influence how you feel about particular issues. As John Hopkins University and Harvard Professor V. O. Key writes, “For many persons the policy position of their party, as they perceive it, may strongly affect their own policy preferences.” V. O. Key, Public Opinion and American Democracy (New York: Alfred A. Knopf, 1961), 68. Liberals tend to support government programs, intervention, and social reform, and thus if you view yourself as a liberal , you will also likely support measures such as government-sponsored health care and government-sponsored programs for minorities. Conservatives, on the other hand, generally do not believe in government intervention and tend to maintain that governmental control means fewer individual freedoms. Therefore, individuals who identify as conservative are likely to consider increased taxes for things such as social welfare programs unnecessary and an infringement on people’s ability to make and keep the money they have earned. The title of the first chapter of Walter Lippmann ’s Public Opinion , “The World Outside and the Pictures in Our Heads,” refers to the idea that our opinions depend a great deal on the worldview we assemble for ourselves. Political ideology is one of these “pictures” to which Lippmann refers; we rely on ideology as a cue to how we should react to various ideas. In Britain, ideology also affected how people felt about Brexit . A majority of the Conservative Party (60 percent of Tories) supported leaving the EU, while 70 percent of Liberal Democrats and 53 percent of Labour Party members supported remaining as part of the EU. Shannon Schumacher, “Brexit Divides the UK, but Partisanship and Ideology Are Still Key Factors,” Pew Research Center, October 28, 2019, https://www.pewresearch.org/fact-tank/2019/10/28/brexit-divides-the-uk-but-partisanship-and-ideology-are-still-key-factors/. In this way, we see that ideology is a factor across nations in terms of our opinions. Sometimes we look to specific people in our lives to form opinions on politics. Social researchers Bernard Barelson , Paul Lazarsfeld , and William McPhee quote James Bryce as saying, “There is the active class [of person], who occupy themselves primarily with public affairs, who aspire to create and lead opinion.” Bernard R. Barelson, Paul F. Lazarsfeld, and William N. McPhee, Voting: A Study of Opinion Formation in a Presidential Campaign (1954; repr., Chicago: University of Chicago Press, 1986), 109. Otherwise known as opinion leaders , these people can shape ordinary voters’ opinions, either purposefully or inadvertently. Who are opinion leaders? As Barelson, Lazarsfeld, and McPhee note, opinion leaders may be bankers or mayors, or they may be “near-by influencers.” Ibid., 109. John Stuart Mill describes the idea in a slightly different way: “The mass do not now take their opinions from dignitaries in Church or State, from ostensible leaders, or from books. Their thinking is done for them by men much like themselves, addressing or speaking in their name, on the spur of the moment.” John Stuart Mill, On Liberty (1859; repr., Kitchener, ON: Batoche Books, 2001), 62, https://socialsciences.mcmaster.ca/econ/ugcm/3ll3/mill/liberty.pdf. In other words, anyone in your social circle or someone you see through the media, and increasingly social media , can be an opinion leader, and you may consciously or subconsciously take their views into consideration when forming your own opinions. This is not to say that elite public figures are not opinion leaders. Northwestern University Professor Benjamin Page and Columbia University Professor Robert Shapiro ’s study on presidential influence on public opinion, for example, found that presidents who are popular do, in fact, have the ability to sway how people think about issues. Benjamin I. Page and Robert Y. Shapiro, “Presidents as Opinion Leaders: Some New Evidence,” Policy Studies Journal 12, no. 4 (1984): 649–661. However, it is important to reiterate that anyone can be an opinion leader: “In the course of casual daily conversation the political pundit of the work group, the bridge-playing wife of a political ‘active,’ the well-informed neighbor—these and others may well convey the relevant political sentiment to a more or less passive audience.” Angus Campbell et al., The American Voter (1960; repr., Chicago: University of Chicago Press, 1980), 271. Opinion leaders are people whose words you value—or, as University of Pennsylvania Professor Elihu Katz and Columbia University Professor Paul Lazarsfeld famously explain, all social strata generate their own opinion leaders “horizontally,” and opinion leaders in your own immediate environment can be just as instrumental in informing your opinions. Elihu Katz and Paul F. Lazarsfeld, Personal Influence: The Part Played by People in the Flow of Mass Communications (Glencoe, IL: Free Press, 1955), 3. Sometimes these opinion leaders are people we see in the media, and sometimes opinion leaders have influence because they are frequent media consumers. For more on this subject, see Chapter 12: The Media . It feels reasonable to believe that our family, coworkers, and important figures can affect our thinking, but multiple studies have also shown that the media can influence how we form our opinions. George Washington University Professor Robert Entman asserts that the media contributes to what people think about as well as to their political preferences and evaluations. Robert M. Entman, “How the Media Affect What People Think: An Information Processing Approach,” Journal of Politics 51, no. 2 (1989): 347–370, https://www.jstor.org/stable/2131346. Early works from V. O. Key note that the media may exert a particularly significant influence on opinion in the short run, on people with lower levels of information, and on opinions regarding certain issues, such as international affairs or those with which individuals have minimal personal experience. Key, Public Opinion, 401–405. Similarly, Page and Shapiro found that the media was particularly powerful in shaping opinions on foreign affairs, Benjamin I. Page and Robert Y. Shapiro, The Rational Public: Fifty Years of Trends in Americans’ Policy Preferences (Chicago: University of Chicago Press, 1992), 354. and how the media frames stories about presidents has been shown to influence voters’ evaluations of political leaders. John R. Zaller, The Nature and Origins of Mass Opinion (Cambridge: Cambridge University Press, 1992), 81. Studies on poverty and crime have also shown that the way the media frames an issue can influence public opinion on these issues. Shanto Iyengar, Is Anyone Responsible? How Television Frames Political Issues (Chicago: University of Chicago Press, 1991). Chapter 12: The Media looks further into the relationship between the media and politics, but suffice it to say that a plethora of research exists to substantiate the claim that on different levels and to varying degrees, the media does influence public opinion. Public opinion is the aggregation of individual views that represent the feelings people hold on an issue at one point in time that they are willing to express. Many things can affect how people form their opinions and why they have them, including social and economic factors such as race, education level, income, or ideology. There are different types of opinion, including majority opinion (the opinion of the numerical majority), elite opinion (the opinion of those members of society with highly specialized knowledge or influence), and opinions of issue publics, or those people who hold strong opinions on a few specific issues but not on every issue. conservative politically speaking, an individual who generally does not believe in government intervention and tends to maintain that governmental control means fewer individual freedoms elite opinion the opinion not of the broader public but of business, political, and other cultural elites issue publics small segments of the overall public that express interest or vote based on a single issue liberal politically speaking, an individual who supports government intervention and social welfare programs majority opinion the opinion of the majority of those polled opinion leaders individuals who can affect the opinions of other individuals, whether through their prominence, influence, or experience political ideology a set of beliefs, principles, or doctrines that guide one’s views of how government should work public opinion views that individuals are willing to express openly at a specific point in time", "section": "What Is Public Opinion and Where Does It Come From?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Do We Measure Public Opinion? Learning Outcomes By the end of this section, you will be able to: Describe different methods of measuring public opinion. Explain the shortcomings of these methods. Earlier in this chapter, we discussed how writing to public officials is an important facet of political participation. Before we had a good way to measure public opinion, constituent letters were one of the few ways officials could gauge how the public felt. The advent of public opinion poll s provided a scientific way of identifying and measuring opinions. Social scientist Jean Converse , in her history of the field, writes that surveys can be traced back 2,000 years but were forged in the 20th century as a way to understand mass populations and societies and to gain insight into elites. Jean M. Converse, Survey Research in the United States: Roots and Emergence, 1890–1960 (Berkeley: University of California Press, 1987), 1. Over time, polls and surveys have become more precise through careful sampling and improved techniques. A sample is a group selected by a researcher to represent the characteristics of the entire population, and because we can never poll the entire population, getting the right sample is important to the accuracy of any poll. But how can we accurately gauge the opinions of the whole country on a sample of 1,400 or 2,000 people? The way the sample is drawn affects its accuracy. In the most common method, probability sampling , researchers randomly choose samples from the larger population. This method requires that everyone has an equal chance of being part of the sample and that they are randomly selected, which allows researchers to make generalizations about the larger population. If a researcher chooses people at random from a population, it is likely that their views will match the opinions of the larger population as a whole. These types of samples are often generated through random digit dialing , in which respondents are chosen at random by a computerized phone number generator. Researchers then use these randomly generated phone numbers to reach people at home and ask them about their opinions. While random digit dialing has been the go-to for decades, the decrease in landlines, increased adoption of cell phones, and increased time that people are at work have all contributed to the decreased reliance on home-based phone numbers. A Los Angeles Times article found that Internet-based surveys and automated interviewing systems (as opposed to live pollsters) were particularly accurate and may reflect a shift in how researchers measure public opinion moving forward. David Lauter, “Which Pollsters Did Best: Non-traditional Methods Were Standouts,” Los Angeles Times, November 8, 2012, https://www.latimes.com/politics/la-xpm-2012-nov-08-la-pn-which-pollsters-did-best-election-20121108-story.html. The difficulty of reaching people for polls is not just an American phenomenon. Researchers in Japan have found steep decreases in responses to nationally conducted surveys, with the steepest declines in metropolitan areas and among younger demographics. Scholars point to increased commute times, longer work hours, and higher mobility among younger Japanese as contributing to this problem. Nicolaos E. Synodinos and Shigeru Yamada, “Response Rate Trends in Japanese Surveys,” International Journal of Public Opinion Research 12, no. 1 (March 2000): 48–72. Sampling in countries facing violence or instability can be a serious—and dangerous—problem for pollsters. James Bell , director of international survey research for the Pew Research Center, notes that when Pew conducted polls during civil unrest in Ukraine and Venezuela, polls needed to be conducted face-to-face rather than by phone. In addition, sometimes the data acquired in polls must be processed locally if pollsters cannot immediately evacuate the area. James Bell, “Q/A: How Pew Research Tracks Public Opinion in Countries Stricken by Violence and Unrest,” Pew Research Center, May 8, 2014, https://www.pewresearch.org/fact-tank/2014/05/08/qa-how-pew-research-tracks-public-opinion-in-countries-stricken-by-violence-and-unrest/. The Importance of Empirical and Quantitative Skills This graph shows support for political parties in New Zealand between 2009 and 2012, according to various political polls. (credit: “File:NZ opinion polls 2009-2011 -parties.png” Mark Payne, Denmark/Wikimedia Commons, CC BY 3.0) Everyone loves a good public opinion poll. As you’ll see in other chapters, data from polls are utilized throughout society, from the media to candidates running for office, and even to decide what gets included in legislation. However, being able to properly understand what the data are telling us is a skill that is developed and can be utilized in a wide range of areas. If you can look at a set of numerical data or observable facts and reach an informed conclusion about what is happening—for example, about whether a group of voters prefers a certain candidate or if a group of residents wants a park built in their town—this is really no different from determining if a group of consumers prefers brand X bread or brand Y bread. In the modern digital era, we have a wealth of information at our fingertips. Being able to properly understand and interpret that information is a skill that is becoming fundamental in today’s workforce. There are also “nontraditional” sampling methods, which may be less scientific but offer certain benefits. One nontraditional method is a convenience sample , which, as the name suggests, is a sample based on convenience rather than probability. If you do not have the funds to create a poll based on a probability sample and random digit dialing , you might instead ask your classmates or your coworkers to respond to your survey with their opinions on the last election. While this method is both convenient and easy, we cannot extrapolate much from the information beyond the sample from which it is drawn. Another type of polling method is called cluster sampling , in which researchers divide the overall population into clusters, based on characteristics such as shared cities or schools, then randomly select people from within those clusters to poll. This type of sampling is cheaper than probability sampling, but the results are also not quite as representative because they are not randomly drawn. How reliable are polls? One of the most basic issues with a poll is a sample that is too small, which leads to sampling errors . Generally speaking, the larger the sample, the less chance of error. A typical sample of 1,500 people will have a sampling error of approximately 2.6 percent, which is generally considered an “acceptable” margin of error in public opinion polling. This means that out of 1,500 respondents, if 60 percent say that the LA Lakers is their favorite NBA team, due to sampling error, the true figure could be anywhere between 57.4 percent and 62.6 percent who prefer the Lakers. The smaller the sample, the larger the error. The methods by which respondents are contacted can also affect a poll’s accuracy. According to the Centers for Disease Control and Prevention (CDC), in 2020, 83 percent of Americans aged 30–34, 74.5 percent of those aged 35–44, and almost 60 percent of those aged 45–64 used cell phones exclusively. Stephen J. Blumberg and Julian V. Luke, Wireless Substitution: Early Release of Estimates from the National Health Interview Survey, January–June 2020 (Washington, DC: US Department of Health and Human Services, February 2021), https://www.cdc.gov/nchs/data/nhis/earlyrelease/wireless202102-508.pdf. This trend away from landlines can contribute to selection bias , whereby the sample drawn is not representative of the population being studied. In this case, any sample drawn from people using landlines would probably skew heavily toward individuals who are much older and those who are likely to be at home more often. The design of the survey itself can limit a poll’s accuracy. Question wording, interviewer bias, and response bias can all lead to measurement error , or limitations in response validity due to survey design problems. Questions should be worded in a straightforward manner in order to solicit a truthful response. Studies have shown that alterations in question wording, also known as question wording effects , change how people respond to polls and surveys. For example, University of Chicago Professor Kenneth Rasinki found that even the slightest changes in wording altered people’s support for government spending, Kenneth A. Rasinski, “The Effect of Question Wording on Public Support for Government Spending,” Public Opinion Quarterly 53, no. 3 (Autumn 1989): 388–394, https://www.jstor.org/stable/2749127. while Cornell University Professor Jonathon Schuldt , Indiana University Professor Sara Konrath , and University of Southern California Professor Norbert Schwarz found that responses changed depending on whether they used the term “ global warming ” or the term “ climate change .” Jonathon P. Schuldt, Sara H. Konrath, and Norbert Schwarz, “‘Global Warming’ or ‘Climate Change’? Whether the Planet Is Warming Depends on Question Wording,” Public Opinion Quarterly 75, no. 1 (Spring 2011): 115–124, https://doi.org/10.1093/poq/nfq073. Bias that stems from the identity of the individual conducting the interview known as interviewer bias , can also change people’s opinions. For example, Princeton University Professor Daniel Katz found that the social class of the interviewer had an effect on survey response, Daniel Katz, “Do Interviewers Bias Poll Results?,” Public Opinion Quarterly 6, no. 2 (Summer 1942): 248–268, https://www.jstor.org/stable/2745023. while a study of breast cancer patients found that response rates to surveys were higher when the race of the person administering the survey was the same as that of the respondent. Patricia G. Moorman et al., “Participation Rates in a Case-Control Study: The Impact of Age, Race, and Race of Interviewer,” Annals of Epidemiology 9, no. 3 (April 1999): 188–195. Similar effects have been found when interviewers are of different genders. Leonie Huddy et al., “The Effect of Interviewer Gender on the Survey Response,” Political Behavior 19, no. 3 (September 1997): 197–220, https://www.jstor.org/stable/586516. In other words, people sometimes respond differently based on the gender of the person conducting the survey. Inaccuracies can also arise from response bias , when respondents inaccurately report their true opinions for one reason or another. One famous example of response bias is called the “ Bradley effect .” This theory refers to a phenomenon observed in the 1982 California gubernatorial race between Tom Bradley , a Black man, and George Deukmejian , a White man of Armenian descent. In polls leading up to this race, Bradley was shown to be in the lead, but he ultimately lost by a narrow margin. The theory behind the Bradley effect is that White voters are unlikely to admit to bias against minority candidates, and as such, polls may overestimate support for a minority candidate. Also known as social desirability bias , this type of response bias occurs when respondents give the answer they think they should give, and not what they really feel. Measuring public opinion is both a skill and a science. In order to attempt to accurately capture public sentiment, researchers must draw samples from the broader public, which usually entails selecting a probability sample using random digit dialing. Errors can occur if the sample size is too small or if the survey suffers from measurement error. Examples of such errors include selection bias, question wording effects, interviewer effects, response bias, and social desirability. cluster sampling when researchers divide the overall population into clusters, based on characteristics such as shared cities or schools, then randomly select people to poll from within those clusters convenience sample a sample based on convenience rather than probability interviewer bias when individual characteristics such as the race or gender of the interviewer affect a person’s survey response measurement error limitations in response validity due to survey design problems probability sampling when researchers choose samples at random from the larger population question wording effects when the wording of the questions on a survey affects how individuals respond random digit dialing a survey method that selects people for involvement by generating telephone numbers at random response bias when respondents to a survey inaccurately report their true opinions for one reason or another sample a group selected by researchers to represent the characteristics of the entire population sampling errors errors that occur in a statistical analysis due to the unrepresentativeness of the sample selection bias when the method by which a sample is chosen causes the sample to be unrepresentative of the population being studied social desirability bias when respondents answer survey questions in a manner intended to cause them to be viewed favorably by others", "section": "How Do We Measure Public Opinion?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Why Is Public Opinion Important? Learning Outcomes By the end of this section, you will be able to: Explain the need for public opinion polling. Analyze the way public opinion is used vis-à-vis policy making and in politics. Discuss the role of public opinion in a globalized world. Despite the potential difficulty of obtaining poll results that accurately reflect the views of the people, polls remain an important component of participatory democracy. The Declaration of Independence, which laid the framework for American democracy, states that governments “deriv[e] their just powers from the consent of the governed ” (emphasis added). If the people’s will creates the foundation for any representative government, then public opinion polling acts as the instrument by which the people are heard and consent is granted. Elections are the people’s recourse when the government ignores their wishes. But is there evidence that public opinion influences government policy? Studies by several researchers, including Northwestern University Professor Benjamin I. Page and Columbia University Professor Robert Y. Shapiro (1983), Benjamin I. Page and Robert Y. Shapiro, “Effects of Public Opinion on Policy,” American Political Science Review 77, no. 1 (March 1983): 175–190, https://www.jstor.org/stable/1956018. University of Washington Professor Paul Burstein (2003), Paul Burstein, “The Impact of Public Opinion on Public Policy: A Review and an Agenda,” Political Research Quarterly 56, no. 1 (March 2003): 29–40, https://www.jstor.org/stable/3219881. and Vanderbilt University Professor Larry Bartels (1991), Larry M. Bartels, “Constituency Opinion and Congressional Policy Making: The Reagan Defense Build Up,” American Political Science Review 85, no. 2 (June 1991): 457–474, https://www.jstor.org/stable/1963169. support this assertion. In a New York Times opinion piece, University of North Carolina Professor James Stinson writes, “When public opinion changes, demanding for example more or less government, government responds in the demanded direction. And it does so quickly.” James Stimson, “Don’t Underestimate the Power of Public Opinion,” New York Times, updated April 22, 2014, https://www.nytimes.com/roomfordebate/2014/04/21/do-the-rich-call-the-shots-13/dont-underestimate-the-power-of-public-opinion. One need not look far to see the simple relationship between public opinion and policy outcomes: President Barack Obama was elected by a public that overwhelmingly agreed that the economy, jobs, and health care were their top priorities. Pew Research Center, For Voters It’s Still the Economy (Washington, DC: Pew Research Center, September 2012), https://www.pewresearch.org/politics/2012/09/24/for-voters-its-still-the-economy/. As such, his policy agenda reflected these concerns. At the top of his list was an economic stimulus package and, of course, the Affordable Care Act . In a way, we can understand public opinion and its influence on policy as a chicken-and-egg relationship: the public alerts elected officials of their preferences, and these officials then try to sell their solutions to the public as the best course of action. This relationship further underscores the importance of public opinion in our democratic process. Polls allow voters to assess choices and, in the most idealistic sense, provoke people to think about issues and alternatives. In this way, the very acts of polling and being polled are also important parts of the democratic process and encourage people to become informed and aware. Public opinion also plays a crucial role in our globalized world. In an interview with the Council on Foreign Relations, political psychologist Steven Kull of WorldPublicOpinion.org explained, “If policy practitioners want to promote international cooperation, they can pretty much see public opinion as a kind of ally in this process—not in every case, of course, but this is a tendency on that side.” Steven Kull, Stewart M. Patrick, and Marvin Kalb, “Does Public Opinion Matter? World Attitudes on Global Governance,” Council on Foreign Relations, December 4, 2009, https://www.cfr.org/event/does-public-opinion-matter-world-attitudes-global-governance-0. In simpler terms, another reason it is important for Americans to understand global public opinion is that it gives us the ability to view the world and ourselves from a different perspective. This table makes it possible to compare the results of opinion polls of French, German, and UK citizens regarding the likelihood that recent American presidents would “do the right thing” in world affairs. (source: Pew Research Center Fall 2020 Global Attitudes Survey. Q28.) For example, the graph in illustrates how Britain, France, and Germany viewed recent US presidents in fall 2020 and how much confidence they had in the incoming Biden administration. Understanding how people in other countries view the United States is important “because popular sentiments and resentments constrain what a government (even in a not-particularly-democratic nation) can do.” Paul R. Pillar, “American Politicians Should Care More about Global Public Opinion,” Atlantic, January 7, 2012, https://www.theatlantic.com/international/archive/2012/01/american-politicians-should-care-more-about-global-public-opinion/251013/. In this way, understanding public sentiment is not only important within countries; it is vital when working across nations. Public opinion is crucial for elected officials to gauge public sentiment and understand how to engage in diplomacy because “US leaders’ credibility in the eyes of foreign publics is critical in shaping attitudes toward US foreign policy.” Benjamin E. Goldsmith and Yusaku Horiuchi, “Spinning the Globe? US Public Diplomacy and Foreign Public Opinion,” Journal of Politics 71, no. 3 (July 2009): 1. Public opinion is thus vital for understanding not only how the public views its own government but also how the US government engages with other countries. If public opinion works to legitimize governments, and if we are reliant on sound polling practices in order to gauge public sentiment, we must care about the future of public opinion polling as an industry. As an article in Atlantic points out, “Public-opinion polling was one of the last ways we had to understand what other Americans actually believe. If polling doesn’t work, then we are flying blind.” David A. Graham, “The Polling Crisis Is a Catastrophe for American Democracy,” Atlantic, November 4, 2020, https://www.theatlantic.com/ideas/archive/2020/11/polling-catastrophe/616986/. Despite the inherent and explicit importance of public opinion, the practice and science of polling faces new challenges. In the 2016 presidential election, an overwhelming number of pollsters inaccurately predicted that Hillary Clinton would win the presidency over Donald Trump . Again in 2020, the polls overstated the margin by which Joe Biden would take the White House. If polling is subject to scientific rigor, how did this happen? Some attributed the inaccuracy of the polls to an underweighting of voters without college degrees, who turned out in great numbers to propel Donald Trump to the presidency, and an overexuberance of Biden supporters to respond to polls, respectively. Other explanations included the fact that large swaths of undecided voters did not decide on their vote until the last minute, particularly in 2016. Nate Cohn, “What Went Wrong with Polling? Some Early Theories,” New York Times, November 10, 2020, https://www.nytimes.com/2020/11/10/upshot/polls-what-went-wrong.html. Accuracy in polling is increasingly hampered by modern-day facts, including the decreasing likelihoods that people will own a landline, be at home during the day to answer pollsters, or respond to polls in general due to lowering levels of public trust. Another suggestion is that those people who actually respond to polls are not representative of the population in general and that their responses skew the accuracy of polls in a way that has yet to be addressed through advanced polling techniques. Dylan Matthews, “One Pollster’s Explanation for Why the Polls Got It Wrong,” Vox, Vox Media, November 10, 2020, https://www.vox.com/policy-and-politics/2020/11/10/21551766/election-polls-results-wrong-david-shor. Despite these rational explanations, the 2016 and 2020 presidential elections show that while both state and national polls face challenges in portraying public sentiment accurately, the importance of valid opinion polls is self-evident. As Vanderbilt University Professor Joshua Clinton explains, while elections can tell us who wins, polls are the best tools available to tell us why , underscoring yet another facet of the importance of polls—their explanatory power. Joshua Clinton, “Polling Problems and Why We Should Still Trust (Some) Polls,” The Vanderbilt Project on Unity and American Democracy, Vanderbilt University, January 11, 2021, https://www.vanderbilt.edu/unity/2021/01/11/polling-problems-and-why-we-should-still-trust-some-polls/. While reaching the electorate has undoubtedly become more difficult, the importance of polling within a democracy remains. Sam Wang , neuroscience Professor at Princeton University and cofounder of the blog Princeton Election Consortium , explains that “polling is critically important because it is a way by which we can measure public sentiment more rigorously than any other method.” Sam Wang, “Why Polls Were Mostly Wrong,” interview by Gloria Dickie, Scientific American, November 13, 2020, https://www.scientificamerican.com/article/why-polls-were-mostly-wrong/. As the industry continues to reflect and evolve in response to changes in technology and the electorate, it is important for us to remember the value of polls, understand how they are conducted, and participate fully and honestly when called upon to do so. Editor-in-chief of the Gallup Poll Frank Newport provides a succinct explanation for the importance of public opinion polling: “Humans live with and around other people. Acquiring a knowledge of these people is an important way in which humans manage to survive, get along, and come together to accomplish common goals.” Frank Newport, Polling Matters: Why Leaders Must Listen to the Wisdom of the People (New York: Warner Books, 2004), 1–2. Public opinion is important because it is the mechanism by which the public alerts elected officials of their preferences. Elected officials also rely on swaying public opinion in order to sell a legislative agenda to the public as the best course of action. In addition, understanding public opinion across countries allows for global cooperation and partnership. Delli Carpini, Michael X., and Scott Keeter. What Americans Know about Politics and Why It Matters . New Haven, CT: Yale University Press, 1996. Noelle-Neumann, Elisabeth. The Spiral of Silence: Public Opinion, Our Social Skin . Chicago: University of Chicago Press, 1984. Patterson, Thomas E. The Vanishing Voter: Public Involvement in an Age of Uncertainty . New York: Alfred A. Knopf, 2002. Putnam, Robert D. Bowling Alone: The Collapse and Revival of American Community . New York: Simon & Schuster, 2000. Schudson, Michael. The Good Citizen: A History of American Civic Life . New York: Free Press, 1998. Verba, Sidney, Kay Lehman Schlozman, and Henry E. Brady. Voice and Equality: Civic Voluntarism in American Politics . Cambridge, MA: Harvard University Press, 1995.", "section": "Why Is Public Opinion Important?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction Greta Thunberg speaks to thousands of climate activists in front of Germany’s parliament at the Reichstag building in September 2021. (credit: “Greta Thunberg spricht beim Klimastreik vor dem Reichstag” by Stefan Müller/Flickr, CC BY 2.0) As a young teen, Greta Thunberg ’s first foray into environmental activism was persuading her parents to reduce their carbon footprint in an attempt to reduce their family’s contribution to global climate change . By age 15, she took to protesting alone on a bench outside the Swedish parliament, gradually drawing attention for her persistence. Soon thereafter, Thunberg was inspiring environmental protests in schools around the world, with as many as 1.6 million students from some 120 countries participating in efforts to prevent catastrophic climate degradation. Suyin Haynes, “‘It’s Literally Our Future.’ Here’s What Youth Climate Strikers Worldwide Want Next,” Time , March 20, 2019, https://time.com/5554775/youth-school-climate-change-strike-action/. To the extent that Thunberg’s individual actions will influence political choices, it will be because these actions have helped create a movement, inspire interest groups and parties, and lead governments to change their policies. Despite these worldwide protests, it is not at all clear that environmental policies will change rapidly and dramatically. One reason for this is that powerful interests oppose taking action. Another reason—one that this chapter will consider in some detail—is that even when individuals agree that action must be taken, it can be difficult to come to an agreement on exactly what those actions should be. Opportunities to free ride , or to take advantage of the global commons, continue to be difficult to address despite the passionate efforts of so many to change them. All political action is ultimately individual action, but even if you were Greta Thunberg, you would not be able to make political change entirely on your own. Only when groups of individuals come together to take collective action can they make political decisions that lead to change. Candidates run as individuals, but to win elections, they typically need the backing of an organized political party with—especially in the case of national elections—perhaps millions of supporters. Legislatures are composed of individual politicians, but they act through groups—for example, committees, caucuses, and the party organization. Political movements form when enough individuals come together in common purpose to seek political change. Even an emperor is likely to receive advice from some sort of cabinet, and for an emperor to accomplish anything, they will need the support of a military or a bureaucracy. Unless individuals come together with others, their ability to effect or resist change is miniscule. Thunberg’s efforts will come to naught unless those seeking to mitigate climate change are able to overcome collective dilemmas. Thunberg’s activism has earned her many awards, such as being selected as Time “Person of the Year” in 2019. Alter, Charlotte, Suyin Haynes, and Justin Worland, “Greta Thunberg is Time’s 2019 Person of the Year,” Time , December 23, 2019, https://time.com/person-of-the-year-2019-greta-thunberg/. This chapter focuses on group action. Humans, in all their marvelous diversity, act for all sorts of reasons. Some of these reasons are instrumental and strategic—people do this to get that—but others are more properly seen as expressive and symbolic. People act not to get, but to be or to display. The distinction between expressive and instrumental actions is not precise, and these behaviors overlap (as noted in Chapter 2: Political Behavior Is Human Behavior ). Consider the mass protests against the government of Cuba that broke out in the summer of 2021. Pascal Fletcher, “Cuba Protests: Frustration at Government Runs Deep.” BBC News, July 14, 2021, https://www.bbc.com/news/world-latin-america-57823130. Those protesting may have done so to express anger (an emotion), show solidarity (symbolic behavior), and/or seek political change (instrumental action). Though it is not yet possible to hook up sensors to a person’s brain to learn what triggered each element of their behavior, it is possible to recognize the potential importance of different types of triggers. You learned in Chapter 2 that individuals can be rational and also intuitive, strategic yet expressive, self-interested but still public spirited. These concepts carry over to the study of group behavior, focusing on the expressive, symbolic, or emotional aspects of individuals within groups as well as the rational, instrumental, and strategic behaviors of individuals in group decision-making. Subsequent chapters will examine civil rights, as well as the structure and behavior of specific categories of groups, such as interest groups, political parties, and legislatures. The streets of Hong Kong are jammed with protestors in 2019. (credit: “IMG_20190616_171444” by Studio Incendo/Flickr, CC BY 2.0) collective action the activities of a group as it makes and implements a decision regarding a group goal", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Political Socialization: The Ways People Become Political Learning Outcomes By the end of this section, you will be able to: Define political socialization. Describe the main influences on a person’s political socialization. Analyze the ways social media has affected political socialization. Discuss the factors that determine which influences will have the greatest impact on a person’s political socialization. Do you consider yourself to have a political identity? Do you belong to or identify with a political party? Do you have a political ideology, such as conservative, libertarian, liberal, or populist? Are you apolitical (indifferent to politics), or are you deeply engaged in political action? Whatever your answers are, there is a chance—but a rather small one—that you deliberately and thoughtfully made these choices at a single moment by analytically comparing the various alternatives. It’s more likely that your choices gradually emerged over time through a complex combination of environmental and social influences interacting with your own personal biological and psychological makeup. It is not entirely clear how Greta Thunberg became a climate change activist, for example, although her father Svante was named after his grandfather, a Nobel Prize–winning scientist who identified the link between increases in atmospheric carbon dioxide (CO 2 ) and higher global temperatures. Martin Vrijland, “Greta Thunberg’s Great-Grandfather is Greenhouse Gas Guru Svante Arrhenius,” Principia Scientific International , January 20, 2020, https://principia-scientific.com/greta-thunbergs-great-grandfather-is-greenhouse-gas-guru-svante-arrhenius/. She grew up in Sweden, a country with a strong ethic of environmentalism (by some measures, it is ranked as the most environmentally friendly country in the world). Kirsten Korosec, “Sweden ‘Most Sustainable Country in the World,’” Environment + Energy Leader, August 13, 2013. https://www.environmentalleader.com/2013/08/sweden-most-sustainable-country-in-the-world/. She reports learning about climate change by age eight and credits the American student activists who protested gun laws after the Parkland, Florida, school shootings with inspiring her to act. Linda Givetash, “How Teen Greta Thunberg Shifted World’s Gaze to Climate Change,” NBC News , August 17, 2019, https://www.nbcnews.com/news/world/how-teen-greta-thunberg-shifted-world-s-gaze-climate-change-n1043151. The gradual process of developing values and beliefs, of people becoming who they are as adults, is socialization , and the slow development of who a person becomes as a political being is political socialization . An excellent original statement regarding socialization is found in Berger; Haegel provides an update on the controversies in the field. Peter L. Berger, The Social Construction of Reality; a Treatise in the Sociology of Knowledge (Garden City, NY: Doubleday, 1966); Florence Haegel, “Political Socialisation: Out of Purgatory?” European Journal of Sociology / Archives Européennes De Sociologie 61, no. 3 (December 2020): 333–64. doi:10.1017/S000397562000017X. Through political socialization, people develop their political ideology in the broadest sense. This includes not only their values and attitudes regarding the role of citizens and the government, but also regarding issues such as social justice or climate change. Socialization also influences whether a person is likely to have any interest in politics at all. Political socialization is neither premeditated nor preordained, although there is a growing body of evidence that indicates that there are genetic links to political predispositions. See, for example, ​Anke Hufer, Anna Elena Kornadt, Christian Kandler, and Rainer Riemann, “Genetic and Environmental Variation in Political Orientation in Adolescence and Early Adulthood: A Nuclear Twin Family Analysis,” Journal of Personality and Social Psychology 118, no. 4 (2020): 762–76. doi:10.1037/pspp0000258. As an infant, you did not choose who you would become as an adult. As you grew, you were subject to a wide variety of forces that shaped your personality. Some of these forces were present in your physical environment, such as your home (Was there lead paint on the walls?), your neighborhood (Was it safe?), Urban Child Institute, “How Neighborhoods Affect Children’s Well-Being,” http://www.urbanchildinstitute.org/sites/all/files/databooks/TUCI_Data_Book_V_2010.08_community.pdf. and your school (Was it a place you looked forward to going to?). World Health Organization, The Physical School Environment: An Essential Component of a Health-Promoting School (2004), https://apps.who.int/iris/handle/10665/42683. As your physical environment shapes your learning, it also influences your views and attitudes, even if you are unaware of these influences. People who grow up under insecure conditions, like these Kurdish refugee children, will experience political socialization differently than those who grow up in safer environments. (credit: “Kurdish children bunch together to have their photograph taken while playing at a refugee camp” by Department of Defense. American Forces Information Service. Defense Visual Information Center. (1994 - 10/26/2007)/National Archives Catalog, Public Domain) The line from your social and physical environment to your political personality may be indirect. If you grew up in a heavily policed neighborhood, attended a deteriorating school, and lacked safe drinking water, your attitudes about government are likely to differ from an otherwise identical individual who lived in a comfortable home with safe drinking water and attended a well-resourced school in an affluent neighborhood. Humans are complicated, and it would be unwise to conclude that all those growing up in privilege are identically socialized or that those raised lacking such privilege all have the same political personalities. Your social and physical environments do not determine your political personality, but they can have an important influence. The Role of the Family The family is usually considered the most important influence on both a person’s overall socialization and their political socialization . Families profoundly affect people’s views about religion, work, and education. The term families is used in the broadest sense to include those who sheltered you and raised you as a child. This includes caregivers in institutional settings, extended biological and nonbiological relatives, and other possibilities. People gradually develop these preferences, attitudes, and behaviors as they grow from infants to adolescents to adults. The impact families have on people’s lives does not vanish when they become adults. It is likely to persist over their lifetimes. The influence need not always flow from the parents to the child. Greta Thunberg ’s activism led her parents to reconsider their own environmental attitudes, and research suggests that children often affect their parents’ views on the environment. Lydia Denworth, “Children Change Their Parents’ Minds about Climate Change,” Scientific American , May 6, 2019, https://www.scientificamerican.com/article/children-change-their-parents-minds-about-climate-change/. Your family is likely to exert a substantial influence on your political views. Kent L. Tedin, “The Influence of Parents on the Political Attitudes of Adolescents,” American Political Science Review 68, no. 4 (December 1974): 1579–92. https://www-jstor-org.proxy.library.georgetown.edu/stable/1959943. In some political settings in which a child’s identity is defined by religion, ethnicity, and place, their political views may seem almost predetermined. In Bosnia-Herzegovina, for example, the three main groups tend to be divided by ethnicity and religion, which largely define their political affiliations. Ethnic Bosniaks tend to be Muslim, Croats tend to be Roman Catholic, and Serbs are mainly Orthodox Christians. These differing ethnic and religious groups largely determine individuals’ political affiliations: there is little political intermingling across ethnic and religious lines. Some countries have taken steps to ensure that political parties do not exist strictly along ethnic or religious lines. Kenya, for example, explicitly prohibits ethnically determined political parties. ​​See John Rabuogi Ahere, “Party Politics in Kenya and South Africa: The Conundrum of Ethnic and Race Relations.” Scientific Research 7, no. 5 (May, 2020): 1–24. doi:10.4236/oalib.1106383. In most places around the world, if parents raise their children in a particular religious faith, those children are more likely than not to adopt that faith as they become adults (or, if the children are raised in no faith, they are less likely to have religious connections as adults). For US data, see Jeff Diamant and Elizabeth Podrebarac Sciupac, “10 Key Findings about the Religious Lives of US Teens and Their Parents,” Pew Research Center, September 10, 2020, https://www.pewresearch.org/fact-tank/2020/09/10/10-key-findings-about-the-religious-lives-of-u-s-teens-and-their-parents/. The same is true for almost any other important facet of life: social attitudes, beliefs about the role of the family, and yes, political beliefs. This is not to say that beliefs are automatically transmitted: young people have agency and may accept, reject, or simply question what their parents believe. Peter K. Hatemi and Christopher Ojeda, “The Role of Child Perception and Motivation in Political Socialization.” British Journal of Political Science 51 (3): 1097–118. doi:10.1017/S0007123419000516. The Changing Family Families play a key role in political socialization, and family structure is evolving in different ways around the world. One fundamental change is family size; fertility rates have dropped in virtually every country in the past century. The People’s Republic of China (PRC) provides an extreme example. When the PRC was established in 1949, the government encouraged families to have children to create additional workers, and by the 1960s the typical Chinese family had six children. At that point political leaders became worried about rapid population growth, and so in 1980 they instituted a one-child policy strictly enforced through a combination of benefits and often-harsh penalties. The policy dramatically slowed population growth, and it substantially increased both the age of and the percentage of males in the population. Under this policy, a cultural preference for male children led to sex-selective abortions and female infanticide. Believing that they had gone too far, the Chinese government lifted the one-child policy in 2016. Feng Wang, Baochang Gu, and Yong Cai, The End of China’s One-Child Policy , Brookings, March 30, 2016, https://www.brookings.edu/articles/the-end-of-chinas-one-child-policy/. What It Was Like to Grow Up under China’s One-Child Policy In this TED talk, Chinese filmmaker Nanfu Wang describes her experiences as a child growing up under China’s one-child policy and as an adult making a documentary about people’s experiences under the policy. Family structure involves not only how many children are in a family, but where they live when they effectively become adults. As of 2016, a higher percentage (52 percent) of 18-to-29-year-olds in the United States were living with their parents than at any time since 1900. Richard Fry, Jeffrey S. Passel, and D'vera Cohn, “A Majority of Young Adults in the US Live with Their Parents for the First Time since the Great Depression,” Pew Research Center, September 4, 2020, https://www.pewresearch.org/fact-tank/2020/09/04/a-majority-of-young-adults-in-the-u-s-live-with-their-parents-for-the-first-time-since-the-great-depression/. Among wealthy countries, the percentage of 15-to-29 year-olds living with their parents varied from about 80 percent in Italy to 30 percent in Canada. Because these data include 15-to-17-year-olds, they are not directly comparable to the United States. They still show the substantial variation across countries. Devon Haynie, “Countries Where the Most Young Adults Live with Their Parents,” U.S. News & World Report , October 5, 2016, //www.usnews.com/news/best-countries/articles/2016-10-05/countries-where-the-most-young-adults-live-with-their-parents. Given what we already know about how family members can influence each other’s political attitudes and beliefs, it will be interesting to see how these changing family structures and living conditions impact political socialization . Your parents’ political leanings and your broader family environment affect your political views. For example, who is expected to take responsibility for caring for parents as they age varies from country to country. In China, caring for one’s parents is a sacred duty; in Norway, it is more often seen as an obligation of the government. Germans and Italians are more than twice as likely as Americans to say that the government, rather than the family, has the main responsibility for caring for the elderly. “Family Support in Graying Societies,” Pew Research Center, May 21, 2015, https://www.pewresearch.org/social-trends/2015/05/21/family-support-in-graying-societies/. Note that these statements, like other generalizations, are not true for every person in every circumstance everywhere. Some children of devout worshippers become atheists, some people raised as capitalists become communists, and some of the children of political, social, and cultural liberals become ardent conservatives. When making these generalizations, this chapter uses words like “generally” or “tend” to suggest that the statements are accurate for the bulk of the group or characteristic being discussed. For example, in the United States, about 7 out of 10 teenagers have political ideologies and partisan affiliations similar to their parents: liberal teens tend to have liberal parents, and conservative youth generally have conservative parents. Still, about one-third of US teenagers adopt different political ideologies from those they were raised with. Linda Lyons, “Teens Stay True to Parents’ Political Perspectives,” Gallup, January 5, 2005, https://news.gallup.com/poll/14515/Teens-Stay-True-Parents-Political-Perspectives.aspx. Bernie Sanders Says His Childhood Shaped His Political Views In a 60 Minutes interview, Senator Bernie Sanders describes how his childhood experiences helped shape his political views. The identities of a young person’s parent(s) affect that person’s political socialization . If parental engagement in politics is high and party identification is strong, children are more likely to adopt those attitudes and behaviors than if parental political engagement is low and their partisanship indifferent. If first-generation immigrants are disconnected from politics, it appears that the political socialization of the second generation may be later and more prolonged. Roberto F. Carlos, “Late to the Party: On the Prolonged Partisan Socialization Process of Second-Generation Americans,” Journal of Race, Ethnicity, and Politics 3 (2): 381–408. doi:10.1017/rep.2018.21. Family structure—whether a child is living with two parents or a single parent, and whether parents are married, divorced, or cohabitating, for example—raises complex issues for political socialization that are not well understood. Political scientists know a bit more about how family structure and changes in structure affect such political behaviors as voting. See, for example, Julianna Sandell and Eric Plutzer, “Families, Divorce and Voter Turnout in the US,” Political Behavior 27 (2005): 133–62. doi:10.1007/s11109-005-3341-9. Only a small amount of research has focused on family structure and political socialization. James W. Clarke, “Family Structure and Political Socialization among Urban Black Children,” American Journal of Political Science 17, no. 2 (May 1973): 302–15, https://www.jstor.org/stable/2110522. Moreover, the impact of the family on socialization is not limited to children. Family dynamics also impact the political socialization of adults. Florence Haegel, “Political Socialization: Out of Purgatory?” European Journal of Sociology / Archives Européennes De Sociologie 61, no. 3 (December 2020): 333–64. doi:10.1017/S000397562000017X. Peers Your living situation growing up largely determines what influences you will encounter as you mature. Your school can influence your political socialization, as different schools have differing teaching philosophies, student bodies, and political activities. Likewise, your place of worship may have a profound influence on who you become. When you are young, your parents or guardians probably choose your school and religion; however, as people grow older, many of them spend less time with their parents or guardians and more time with their peers, including friends at school, work, community, and play. You may change your language, clothing, and interests to fit in with those in your group. And as you grow older, you are increasingly able to make your own decisions. Social peer groups can influence how individuals talk, how they communicate using physical gestures, and how they dress, and they can play a significant role in shaping individuals’ views on politics. (credit: “Globe Town Massive, a Bangladeshi youth gang in Bethnal Green, Tower hamlets, London, England” by Bangali71/Wikimedia Commons, CC BY 3.0) It is less clear whether your peers will have a lasting impact on your political socialization. Like many things when you are growing up, your choice of peers is not entirely in your control. Most children don't pick where they live and where they attend primary school, and those two factors play a big part in determining the pool of people from which individuals can choose friends. In short, your parents’ life circumstances and choices shape who your peers are likely to be. Still, context is important. Before the advent of social media, parental decisions would almost entirely determine your pool of peers. Now, given internet access, young people can find their peer groups virtually anywhere. Increasingly, young people rely on social media to learn about the world and connect with others. Political scientists are still trying to decipher what this means for political socialization. In the past, a young person’s peers tended to be local: other members of the clan, the village, or the church. Today, a young person’s peers can be almost anywhere in the world, assuming they understand the same language, and thus young people (and adults) can more easily choose their peers based on common interests and beliefs than they could in the past. To the extent that young people, and indeed all individuals, can choose their social networks rather than being placed in them by virtue of their location, it is more likely that peer networks will reinforce existing beliefs, attitudes, and behaviors rather than change them. The ability of individuals to choose their social networks leads to “echo chambers,” which Chapter 12: The Media will examine further. Other Affiliations Your family and peers greatly influence your political opinions, attitudes, values, and behaviors, but there are other important influences. How much these other influences affect a person’s political socialization depends, in part, on how important they are to the person’s identity and daily life. What Does Being Indigenous Mean? In this clip, Indigenous people in Canada explain what it means to them to be Indigenous. Consider ethnicity. The dominant ethnic group within a country—the White British within the United Kingdom, for example—may not perceive their ethnicity as having much of an influence on their political socialization, but its impact is likely to be profound. Members of ethnic majorities may be more likely to assume that politics and government should favor their interests as a matter of course because they may (naively) believe that what is good for them is good for everyone. Ethnic minorities, in contrast, may be socialized to feel the sting of discrimination and to view the government as no friend. One’s ethnic identity is likely to be more salient if that identity signifies one as an outsider. Jennifer L. Hochschild, Outsiders No More? Models of Immigrant Political Incorporation (Oxford, UK: Oxford University Press, 2013). If you were raised in a devout family, that family’s religion may have an important influence on your political socialization. Sky L. Ammann, “Creating Partisan ‘Footprints’: The Influence of Parental Religious Socialization on Party Identification,” Social Science Quarterly 95, no. 5 (December 2014): 1360–80. https://www.jstor.org/stable/44072754. In the United States, for example, those individuals identifying as evangelicals are much more likely than the rest of the population to favor socially conservative public policies such as prohibiting same sex marriage or curtailing abortion rights, and they are much more likely to support the Republican Party. At the opposite end of the spectrum, those raised as atheists are more likely to believe that governmental policy should not be based on religious principles. Shanna Pearson-Merkowitz and James G. Gimple, “Religion and Political Socialization” in The Oxford Handbook of Religion and American Politics , eds. Corwin E. Smidt, Lyman A. Kellstedt, and James L. Guth (Oxford, UK: Oxford University Press, 2009). Gender roles and gender identification can influence an individual’s political socialization. Socialization into “traditional” gender roles may discourage women from developing interest or participating in politics, while in countries with women in leadership positions, young women may be socialized to become more politically aware and active. Miki C. Kittilson, “Gender and Political Behavior,” Oxford Research Encyclopedia of Politics , May 9, 2016, https://oxfordre.com/politics/view/10.1093/acrefore/9780190228637.001.0001/acrefore-9780190228637-e-71. The impact of gender identification and sexual orientation on political socialization is not well understood, but it seems likely that the greater the importance a person places on these attributes and the more intense the formative experiences they have regarding these attributes, the greater the influence these attributes will have on that person’s political socialization. See, for example, Andrew R. Flores and Maisy Morrison, “Potential Differences between the Political Attitudes of People with Same-Sex Parents and People with Different-Sex Parents: An Exploratory Assessment of First-Year College Students,” PLoS One 16, no. 2 (2021), https://doi.org/10.1371/journal.pone.0246929; Landon, Schnabel, “Sexual Orientation and Social Attitudes,” Socius: Sociological Research for a Dynamic World (January 2018), doi:10.1177/2378023118769550. Socialization into gender roles, whether they be the traditional gender roles suggested by this photo or less traditional roles, may impact your political personality. (credit: “Group Shot” by OakleyOriginals/Flickr, CC BY 2.0) Even though young people spend a lot of time in school, the impact of schooling on political socialization appears to be modest. Why? The schools children attend often reflect the choices and environment of their parents, so they have little independent influence on socialization. For example, if you come from a religious home and your family has the means to do so, your parents might choose to send you to religious school; this reinforces the influence of the family’s religion on socialization. More broadly, the schools young people attend are likely to reflect the conditions and values that already exist in their environment. People are socialized as individuals, and they are socialized in groups, including their family, peers, and others in their social environments. As people are socialized, they become part of larger groupings of individuals with common characteristics. The next sections discuss these larger groupings. Political socialization is the process by which individuals develop their political personalities from their youth through their adult years. These personalities include values and attitudes regarding politics, such as one’s views about the role of the government and the relationship between the government and citizens. Socialization affects whether people are even interested in politics and government in the first place. Those who are most important in a person’s life, like their families and friends, play important roles in their political socialization. Schools, places of worship, and—increasingly—interactions with others through social media can also be important influences. The process is not deterministic; you cannot look at all the influences on your development and predict precisely who you will become. Still, you do not entirely choose who you will become, as you are in part the product of your social environment. political socialization the gradual development, from youth through adulthood, of a political personality socialization the gradual process through which a person develops the values and beliefs that determine who they will be as an adult", "section": "Political Socialization: The Ways People Become Political", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Political Culture: How People Express Their Political Identity Learning Outcomes By the end of this section, you will be able to: Define political culture, mass culture, elite culture, and minority culture. Describe the effects of the weakening of mass cultures. Explain how political cultures form. If you have ever had the chance to travel to another country, you might have observed the behaviors, habits, values, and beliefs that distinguish that country from your own. Those distinguishing factors are in part a result of the way individuals in different countries are socialized. In Argentina, dinner doesn’t typically start until around 10 p.m.; in Norway, 5 o’clock is more common. The Japanese often have green tea and rice for breakfast; in Denmark, breakfast is more likely to be smoked eel and scrambled eggs. Each country has a different personality, or culture. While Argentines, Norwegians, Japanese, and the Danes have national cultures that distinguish them from each other, cultures are not uniform within these or any other countries. Every country has various cultures within it, including a mass culture, an elite culture, and diverse minority cultures. The details of these cultures vary from country to country, but some characteristics are typical of culture in all countries. Culture refers to the shared attitudes, values, goals, and practices common to members of a group. The shared political attitudes, values, goals, and practices common to members of a political group, such as a country, a party, or any other political organization or grouping, is the group’s political culture . Gabriel Abraham Almond and Sidney Verba, The Civic Culture: Political Attitudes and Democracy in Five Nations (Princeton, NJ: Princeton University Press, 2015), doi:10.1515/9781400874569. A country’s political culture frames how individuals in that society see their roles as citizens, including their relationship to other political actors and to the government. The United States tends to be highly individualistic, prioritizing personal freedom and individual responsibility over more community-centered values. This individualism can appear odd to the citizens of countries that put much higher importance on communal values. For example, researchers asked Americans and Europeans, “What’s more important in our society, that everyone can be free to pursue their life’s goals without interference from the state or that the state plays an active role in society so as to guarantee that nobody is in need?” Almost six in 10 Americans surveyed responded that individual freedom was more important, while nearly eight in 10 Lithuanians, whose country was a part of the collectivist Soviet Union for nearly 50 years, responded that the state’s active role was more important. Richard Wike, “5 Ways Americans and Europeans Are Different,” Pew Research Center, April 19, 2016. https://www.pewresearch.org/fact-tank/2016/04/19/5-ways-americans-and-europeans-are-different/. Note that this survey asked only Americans and Europeans. If it had asked people living in other countries, the differences would likely be even greater. As with any generalization, political culture is open to unfortunate stereotyping. Not all Americans favor individual freedom over state intervention. Not all Lithuanians prefer that the government play an active role to protect individuals. Generalizations are helpful to describe patterns and tendencies, but they should never be automatically attributed to specific individuals. Public Meetings At meetings like this hearing on the legislative redistricting plan in Annapolis, Maryland, in 2011, members of the public are invited to comment on issues. (credit: “Public Hearing on the Legislative Redistricting Plan” by Maryland GovPics/Flickr, CC BY 2.0) Local governmental meetings are excellent venues for observing group decision-making in action. Careful observation may also yield clues about political cultures. But if you attend these meetings, you need not be a passive observer. City council meetings, school board meetings, or other local meetings frequently offer opportunities for public comment. Because there are some 90,000 local governments in the United States, United States Census Bureau, “Census Bureau Reports There Are 89,004 Local Governments in the United States,” August 30, 2012, https://www.census.gov/newsroom/releases/archives/governments/cb12-161.html. it is not possible to point to a single source of information regarding where, when, and why local meetings will occur. A simple web search can help you locate a wide array of local government meetings in your area. For example, if you had been in Fayetteville, Arkansas, on Monday, November 1, 2021, you could have attended a City Council tour, a meeting of the Parks and Recreation Advisory Board, or a meeting of the Animal Services Advisory Board. Whatever meeting you choose to attend, you will have a chance to engage in local political action. Elite Culture The term “elite” can trigger mixed reactions. Some people might hear the term and think positively of elite athletes, elite dancers, or elite musicians—those who, by virtue of their abilities or accomplishments, stand out as extraordinary. In many countries today, however, the term “elite” is usually less complimentary. People may complain, “The elites control everything” or “The elites take advantage of the rest of us.” Those within a society who, by virtue of their wealth, status, position, and power, have the greatest influence over the country’s political agenda, its policy decisions, and its decision-making cadre are the society’s political elite . Harold D. Lasswell, Daniel Lerner, and C. Easton Rothwell, “The Elite Concept,” in Political Elites in a Democracy , ed. Peter Bachrach (London: Routledge, 2010), 13–27, https://www.routledge.com/Political-Elites-in-a-Democracy/Bachrach/p/book/9780202363462. Their political culture is the country’s elite political culture. The degree of influence and domination of elite culture varies from country to country. At the extreme, in North Korea, the ruling class, led by Supreme Leader Kim Jong-un , controls every aspect of political life. Kim Jong-un’s grandfather was the first Supreme Leader of North Korea, and his father was the second. North Korean elite culture is his culture, and he expects to be worshipped. At the other end of the spectrum is New Zealand, where Prime Minister Jacinda Ardern , whose parents were middle class (her mother was a school catering assistant and her father was a police officer), who attended a public school, and who became one of only two elected heads of state to give birth while in office, leads the closest thing New Zealand has to a ruling class. Even in relatively egalitarian New Zealand, however, those with money, status, and power tend to set the agenda, influence policy decisions, and dominate the decision-making process. In the United States, there are multiple elite cultures—cultural, financial, and political. Members of these elite groups tend to live in major metropolitan areas (such as New York, Los Angeles, Chicago, Washington, San Francisco, Boston, and Houston), attend highly selective colleges and universities, and have high incomes. Howard Wial, Where the One Percent Live , Brookings, October 31, 2011, https://www.brookings.edu/articles/where-the-one-percent-live/; “Where the 1% Send Their Kids to College,” College Stats, accessed August 2, 2021, https://collegestats.org/2012/07/where-the-1-send-their-kids-to-college/. However, despite their commonalities, their political values and attitudes may differ sharply. The ultra-wealthy may be devoted either to liberal or conservative causes: the “one percent” (those wealthier than 99 percent of the rest of the population) are divided almost equally in how much they give to Republican or Democratic candidates for political office. Lee Drutman, “The Political One Percent of the One Percent,” Sunlight Foundation, December 13, 2011, https://sunlightfoundation.com/2011/12/13/the-political-one-percent-of-the-one-percent/. Billionaires may be either liberal or conservative, and while at one time the social networks of those politicians at the most elite levels within their parties might have overlapped, they do not overlap much anymore. Still, political elites have disproportionate influence over American public policy, and it is reasonable to believe that this finding would hold for other countries as well. Martin Gilens and Benjamin I. Page, “Testing Theories of American Politics: Elites, Interest Groups, and Average Citizens,” Perspectives on Politics 12, no. 3 (2014): 564–81, doi:10.1017/S1537592714001595. Cultural Anthropology Political scientists are interested in political culture, a subset of the attitudes, values, goals, and practices the members of a group share that define that group’s culture. If you want to learn more about culture itself, you might explore a course in cultural anthropology. According to the National Park System’s Cultural Anthropology Program, “Cultural anthropologists specialize in the study of culture and peoples’ beliefs, practices, and the cognitive and social organization of human groups. Cultural anthropologists study how people who share a common cultural system organize and shape the physical and social world around them, and are in turn shaped by those ideas, behaviors, and physical environments.” National Park Service, “What Is Cultural Anthropology?” accessed October 21, 2021, https://www.nps.gov/orgs/1209/what-is-cultural-anthropology.htm. Although cultural anthropologists use both quantitative and qualitative research methods, a hallmark of cultural anthropology is participant observation, in which the researcher spends an extensive amount of time living with and observing a cultural community. In a cultural anthropology course, you will learn techniques to make systematic observations so that you are able to describe and explain a culture in ways that are accurate and appropriate. Through systematic observation you can develop a deep understanding about “the knowledge people use to live their lives and the way in which they do so.” W. Penn Handwerker, “The Construct Validity of Cultures: Cultural Diversity, Culture Theory, and a Method for Ethnography.” American Anthropologist 104, no. 1 (2002): 106–22. Mass Culture The broadest culture within a country is its mass culture . Where do you get your political information? What movies do you watch, what kinds of sporting events do you attend, and where do you buy your clothes? While it is possible to distinguish between elite and mass cultures, the lines between them are not always distinct. Still, without too much stereotyping, it is safe to say that many members of elite cultures would generally answer these questions differently than members of mass cultures would. Prior to the rise of newspapers, radio, and television, mass culture (including political culture) did not exist. All culture was local. Individuals were influenced most by those with whom they had direct personal contact. As increasingly larger proportions of the population had access to these media, culture became increasingly mass, increasingly shared. Those living in smaller towns came to have access to the same tastes, styles, and information as those in the larger cities. Mass culture was most visible when the media was limited to newspapers, radio, and television. When television options were limited, mass culture included the shows that “everybody” watched. The most watched TV shows in the world include the Olympic Games and the FIFA World Cup. In India, Bollywood films have dominated the media landscape, as telenovelas have in the Americas. Mass culture, including mass political culture, is weakening. About 60 percent of the adult population in America watched the presidential debates between Nixon and Kennedy in 1960. In 2020, even during a highly contentious presidential campaign between President Donald Trump and former Vice President Joe Biden , fewer than 30 percent of adults watched the debates (more on this in Chapter 12: The Media ). “Media Advisory: Final Presidential Debate of 2020 Draws 63 Million Viewers,” Nielsen, October 23, 2020, https://www.nielsen.com/us/en/press-releases/2020/media-advisory-final-presidential-debate-of-2020-draws-63-million-viewers; United States Census Bureau, “The US Adult and Under-Age-18 Populations: 2020 Census,” August 12, 2021, https://www.census.gov/library/visualizations/interactive/adult-and-under-the-age-of-18-populations-2020-census.html. This move away from mass focused attention on the same political events through a few media outlets holds true in countries around the world. As media options proliferate, mass culture diminishes and minority cultures flourish. People no longer get their political information from the media that “everyone” watches. Instead, they are able to obtain—and share—political information with those in their own, sometimes very specific, political cultures. Minority Cultures When the political culture of the United States is described as prioritizing individual liberty and personal responsibility, that hardly describes how everyone in the United States thinks. Any statements about a national political culture will be far too broad to speak for the members of all the various communities within a country. This is especially true now that mass cultures are breaking down, with the rise of social media especially enabling minority cultures to flourish. The Japanese Visual Kei culture involves a blend of music and style. (credit: “Harajuku denizens [3]” by Jacob Ehnmark/Flickr, CC BY 2.0) Minority cultures have their own consistency of beliefs and behaviors, of ideas and actions that bind them together. Minority cultures can be quite specific. For example, there are the doomsday preppers in the United States, gopniks in Russia, Adam Muskin, “Of Russian Origin: Gopnik,” Russiapedia, https://russiapedia.rt.com/of-russian-origin/gopnik/. cholos in Mexico, Lauren Cocking, “A Brief Guide to Mexican Subcultures,” Culture Trap, November 28, 2016, https://theculturetrip.com/north-america/mexico/articles/a-brief-guide-to-mexican-subcultures/. and thousands of others. Subcultures can be all-consuming, as with a cult that dominates every aspect of cult members’ lives, but an individual need not be connected to only one culture. Professional wrestling has its own culture, as does anime. Xavier Woods —you may never have heard of him, but many prominent figures in various cultures are unknown to the broader public—identifies with both. Evan Valentine, “WWE Superstar Xavier Woods Shares His Love for the God of High School,” ComicBook, July 31, 2020, https://comicbook.com/anime/news/wwe-superstar-xavier-woods-god-of-high-school-anime-love/. Anime Lightning Round with WWE’s Xavier Woods In this clip, professional wrestler Xavier Woods describes anime and talks about some of his favorite anime shows and characters. Political cultures emerge organically, in that they are not necessarily created with the intention of building political organizations. Instead, individuals with particular interests and lifestyles—environmentalism, queer identities, or gun ownership, among many other potential affiliations—find similar individuals, and a community of interest forms. These communities of interest may grow into social movements or establish formal interest groups. Prior to the 1970s in the United States, the gay community (culture) was largely apolitical. Language evolves, and what was commonly called “gay” in the 1900s is generally referred to today as LGBTQ. State-sanctioned violence against gays and, later, the AIDS epidemic, politicized the gay community and mobilized members of the community to organize interest groups and participate in a broader social movement. What You Need to Know about the Gay Rights Movement After the US Supreme Court ruling that affirmed the right of same-sex couples to marry, CNN aired this report on the history of the gay rights movement. Elements of Black American cultures provided a foundation for the civil rights movement in a continuous link from the 1960s to the Black Lives Matter movement (and the formal BLM organization) of today. The reader should note that there is not one single African American culture, so referring to it in singular terms is a generalization. Hip-hop is also a distinct political culture. Danielle Garcia, “The Politics of Hip Hop: A Political Analysis of Hip Hop’s History and Its Complicated Relationship with Capitalism” (master’s thesis, CUNY, 2021), https://academicworks.cuny.edu/gc_etds/4194. In some cases, cultural activity has led to the formation of political parties, such as the Green parties that have spread to some 80 countries around the world. Neither a person’s political socialization nor their cultural identity dictates precisely how they will behave in group settings or what the outcomes of the group interactions will be. An individual might identify as an ardent environmentalist but nonetheless engage in polluting activities like using disposable diapers or routinely traveling by aircraft. One might ask: “Why does an environmentalist engage in polluting activities?” Millions (virtually or physically) marched along with Thunberg to protest climate change and the public policies that allowed (or even spurred) it to happen. Why didn’t these millions of protestors have more success obtaining the policy changes they sought? To learn more about how individuals behave as part of a group or in group settings and why policy change is often so hard to obtain, it’s necessary to study some essential elements of group decision-making. This study will pay close attention to strategic behavior—behavior that sometimes leads to unfortunate consequences. Every country has multiple political cultures. Political culture is the set of political attitudes, values, goals, and practices common to members of any political grouping. Countries have distinct political cultures, which means that citizens of a country are likely to share common views about their roles as citizens and the responsibilities of the government. In any country, you can identify elite, mass, and minority cultures, each having its own set of views and attitudes and, perhaps, social markers such as clothing, music, or even dietary preferences. The elite culture comprises those who dominate a country’s political agenda, policy choices, and official positions of power. The mass culture consists of the bulk of citizens or, in democracies, voters who typically embrace the political values that are central to the nation’s political cultures but who are not in positions of power. A vast number of minority cultures exist, each having its own particular set of attitudes and behaviors. A key aspect of minority cultures is that they allow groups of individuals to distinguish themselves from the majority culture in ways that produce pride, belonging, and solidarity. Minority cultures arise for diverse reasons and may later develop their own political identities. Those in a particular culture might both change their personal behaviors to advance the group’s goals and engage in political activism with others in that culture. elite culture those in a country who, by virtue of their wealth, education, and position, have the dominant influence over politics and policy mass culture the most popular views, attitudes, preferences, and behaviors within a society minority cultures the views, attitudes, preferences, and behaviors of subsets of a society that produce group identity political culture the set of shared political attitudes, values, goals, and practices within a country political elites those within a society who, by virtue of their wealth, status, positions, and power, have the greatest influence over the country’s political agenda, its policy decisions, and its decision-making cadre", "section": "Political Culture: How People Express Their Political Identity", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Collective Dilemmas: Making Group Decisions Learning Outcomes By the end of this section, you will be able to: Discuss the major causes of collective dilemmas. Describe the major types of collective dilemmas. Explain ways to overcome collective dilemmas. The American public is pretty disgusted with the United State Congress. Public opinion polls show that, as of July 2021, Congress had a 12 percent approval rating—lower than any other institution rated in the poll. Megan Brenan, “Americans’ Confidence in Major US Institutions Dips,” Gallup, July 14, 2021, https://news.gallup.com/poll/352316/americans-confidence-major-institutions-dips.aspx. The widespread discontentment with Congress was due in part to the public’s view that Congress gets little done and that what it does, it does poorly. Public disenchantment with governments is not limited to the United States. Majorities in Mexico, Spain, Greece, Brazil, and other countries believe their democracies are not working well. David Kent, “The Countries Where People Are Most Dissatisfied with How Democracy Is Working,” Pew Research Center, May 31, 2019, https://www.pewresearch.org/fact-tank/2019/05/31/the-countries-where-people-are-most-dissatisfied-with-how-democracy-is-working/. Wherever democratic legislatures exist, in recent years they have struggled to impress the people who elect them. There are lots of specific reasons for public disdain of legislative bodies, but one broad reason encapsulates them: legislatures find it difficult to solve their collective problems. For 18 days in 2013 and then again for 35 days in 2018–2019, the US government shut down because Congress and the president could not agree on ways to fund federal operations. The public was not amused by this deadlock: In a 2019 survey, 80 percent of the public believed that the shutdown was a “very” or “somewhat” serious problem for the country. “Most Border Wall Opponents, Supporters Say Shutdown Concessions Are Unacceptable,” Pew Research Center, January 6, 2019, https://www.pewresearch.org/politics/2019/01/16/most-border-wall-opponents-supporters-say-shutdown-concessions-are-unacceptable/. Federal employees attend a rally seeking to end the government shutdown in 2013. (credit: “10.4.13 CPC End Government Shutdown Rally” by Keith Ellison/Flickr, CC BY 2.0) If all people agreed on everything, there would be no collective dilemmas. But because individuals do have differing needs, preferences, and goals, they have to overcome challenges to make a decision. Whenever two or more individuals need to make a plan or resolve a conflict and those involved do not agree on the solution, there is a collective dilemma . This is as true for two individuals deciding where to go to eat as it is for a national congress trying to set policies for immigration, climate change, a pandemic, or the myriad other policy choices the legislature faces. Causes of Collective Dilemmas Collective dilemmas exist when members of a group try to make decisions that all must agree to or comply with. If you are trying to decide where to go to dinner by yourself, there is no collective dilemma, but if you and a friend are deciding whether to go to dinner and where, there is at least the potential for a collective problem. Maybe you want to go out, and your friend simply does not: one of you will be disappointed by whatever decision you make. Or maybe you want to go one place, and they want to go a different place. They want to go now, and you want to go later. They have more money than you do, but you have more time. Have you had the experience of eating out with friends and, after the bill arrives and you all pitch in your “fair share,” you discover that there is not enough money to pay the bill? There are three main causes of collective dilemmas. The first is when the participants disagree because they have opposing preferences. Think of two political parties making a decision, divided into two sides with irreconcilable differences—for example, with one party favoring the death penalty and the other opposing it. There is no compromise that will satisfy both parties: the death penalty will either be allowed or be banned. The second cause is when participants generally agree on what they want to do but disagree over the details. General agreement does not mean specific agreement. Consider climate change policy. Should internal combustion (gas-powered) cars be banned, or should there just be incentives to buy electric cars? Should new houses be required to have solar panels, or should the government offer perks to encourage builders and homeowners to have them installed? In legislatures or courts, in interest groups or within bureaucracies, resolving the details of collective decisions creates numerous challenges involving coordination, transaction costs, and conformity costs. The third cause, when individual motivations are contrary to the groups’ mutual interests, is especially troubling. In this case, group members have a common interest or goal, but members of the group have incentives to make decisions that are actually harmful to the group and, ultimately, to themselves. Collective dilemmas of this sort are commonly called collective action problems . For the seminal book on this topic, see Mancur Olson, The Logic of Collective Action Public Goods and the Theory of Groups (Cambridge, MA: Harvard University Press, 1965). Solutions to Collective Dilemmas When Participants Disagree When a collective dilemma involves participants simply disagreeing on an appropriate course of action (e.g., whether to allow or ban capital punishment), the rules for making a decision can have an important influence on which side will prevail. As Chapter 2: Political Behavior Is Human Behavior discussed, the rules by which decisions are made affect the ease with which agreements are reached. As a result, whether the death penalty will be legal depends on the decision-making rules and on the existing situation—that is, the status quo . If the rule is that a decision will be made by majority vote, the preferences of whichever voting group has the most members will become policy. If more people oppose capital punishment than support it, then capital punishment will be banned, and vice versa. Many types of voting rules exist (voting rules are discussed further in Chapter 8: Interest Groups, Political Parties, and Elections and Chapter 9: Legislatures ). Perhaps the most common is majority (or plurality) voting. Under majority rule , for a proposal (or candidate) to win, that option must receive more than 50 percent of the votes cast (usually defined as 50 percent + 1). The rules can become quite complicated. For example, a majority could be defined as 50 percent plus one of all eligible voters, of all voters present, or of all voters casting votes, among other possibilities. In plurality voting, the proposal (or candidate) with the most votes wins, whether or not that person receives a majority of the votes. Supermajority rules typically require that the measure being voted upon receive 60 percent, two-thirds (67 percent), or even three-quarters (75 percent) of votes. Whenever a supermajority rule exists, the status quo is more difficult to change. Trials in the United States generally require the 12 jurors, who sit in a jury box like this one, to unanimously agree in order for a defendant to be convicted. (credit: “Calhoun County Courthouse, Port Lavaca, Texas 1805151209” by Patrick Feller/Flickr, CC BY 2.0) The most extreme form of supermajority is found in most US courtrooms, as well as in the courts of Australia and Ireland. For a defendant to be found guilty in a jury trial, the jury must unanimously agree; otherwise, the defendant will either be released or face another trial. This is called a unanimity rule . How might these differing voting rules be explained? One sensible rationale is that the greater the consequences of making an “incorrect” decision or the longer those consequences will last, the greater the need for a supermajority to guard against making rash or incorrect decisions. One of the most coercive things a state can do is to deprive a citizen of their liberty by imprisoning them, and one of the worst mistakes is to imprison an innocent person, so most democracies make it relatively difficult to convict suspected criminals. In the United States, conviction requires jury unanimity and each member of the jury is instructed to vote to convict only if they believe the evidence shows the suspect’s guilt “beyond reasonable doubt.” For more on this idea, see Chapter 11. A unanimity rule helps guard against wrongful convictions, although it does not entirely prevent them. One credible source has estimated that about 4 percent of persons convicted of murder in the United States are likely not guilty. Samuel R. Gross, Barbara O'Brien, Chen Hu, and Edward Kennedy, “Rate of False Conviction of Criminal Defendants Who Are Sentenced to Death” (Proceedings of the National Academy of Sciences, University of Michigan Public Law Research Paper No. 405, U of Michigan Law & Econ Research Paper No. 14-011, 2014), https://ssrn.com/abstract=2431520. Constitutions are the core document establishing the basic structure of the state, and laws are meant to address current problems. A constitution typically outlines the government’s general powers and duties, while laws fill in the specifics regarding these matters. (For more on constitutions, see Chapter 1: What Is Politics and What Is Political Science? .) To change a constitution generally requires a supermajority, while changing laws requires only a simple majority . Think of it this way: constitutions are the foundations of the house, while laws are the paint in the rooms. It is hard to change the foundation because it is meant to be durable, but it is easier to repaint the bedroom because people’s taste in colors can change over the seasons. That is why voting rules typically make constitutional changes subject to supermajority votes and laws changeable by a simple majority. This is not true in every country, however: in an effort to ensure that legislation has support from minority parties, in South Korea a 60 percent supermajority is required in the National Assembly to bring any measure up for a vote. Scott Snyder, Domestic Constraints on South Korean Foreign Policy (New York: Council on Foreign Relations, 2018). Voting rules have another, more self-interested, political rationale. Those setting the rules have incentives to establish the kind of rules that will benefit their interests now and in the future. Those writing a constitution want it to be durable because the constitution represents how they believe their country should be ordered for generations to come: therefore, they make the constitution difficult to change. There is also a self-interested reason for making constitutions difficult to change. Those writing them may be currently in power, but they can imagine a time when they may be in the minority. Constitutional authors thus try to lock in their preferences in ways that will make it difficult for those with other preferences to change the document. This does not mean that it is easy to come to an agreement about how to write the constitution or other rules in the first place. What happens when those trying to make a collective decision are simply not able to make one, such as when a vote is split 50-50 or when there are not enough votes to make the required supermajority? In those cases, the status quo prevails. Rules shape but do not determine outcomes. When political actors disagree, it is always possible that one side will prevail because it is able to persuade its opponents. In the United States, there has been substantial conflict over whether same-sex marriages should be legal. As recently as 2004, the American public opposed same-sex marriage by a 2-to-1 margin. By 2019, those numbers had reversed, with public opinion polls showing that 61 percent favored legalization while only 31 percent opposed it. “Attitudes on Same-Sex Marriage,” Pew Research Center, May 14, 2019, https://www.pewforum.org/fact-sheet/changing-attitudes-on-gay-marriage/. Decisions regarding same-sex marriage followed public opinion, and changing minds changed policy. In 2015, the US Supreme Court ruled that the states could not prohibit same-sex marriage. By the time the Supreme Court ruled, same-sex marriage was already legal in 37 states. “State-by-State History of Banning and Legalizing Gay Marriage,” ProCon/Encyclopaedia Britannica, last modified February 16, 2016, https://gaymarriage.procon.org/state-by-state-history-of-banning-and-legalizing-gay-marriage/. If one or both sides decide not to play by the rules but instead to use violence to accomplish their goals, then force—and not votes—may determine which side prevails. One of the reasons Greta Thunberg ’s calls for climate action have not been adequately answered is that there remains substantial opposition to the kinds of policies that would be necessary to limit climate change. But what happens when those making decisions basically agree about what should be done? These cases may still present other difficulties, which the following sections will examine. Solutions to Collective Dilemmas When There Is General Agreement If you have tried to coordinate the actions of a group—family, school, church, community, or any other gathering—then you have directly experienced coordination problems . Coordination problems occur whenever a group seeks to make a decision on a common course of action, the group members generally agree on what they are seeking, and everyone in the group will need to live with the results, but it’s not possible to give every group member exactly what they want. Coordination problems become more complex the greater the size of the group. Deciding what movie to watch in a group of two? Depending on the personalities of the two, this may be a pretty easy coordination problem. If the group has 20, or 20,000, or a million, or a billion members, the coordination challenges become increasingly complex. There are various ways to solve coordination problems, but they boil down to two main possibilities. One way is to delegate decision-making power to a single person (or a small set of people) who will act on behalf of all. Another way is to have everyone participate in making decisions—for example, through voting or some other deliberative methods. Each solution has its own advantages and disadvantages. Delegating power to a single person reduces transaction costs but increases conformity costs . Group decision-making is likely to reduce conformity costs but to increase transaction costs. The following sections discuss those concepts. Transaction Costs When political scientists speak of costs, they do not mean just monetary costs: they mean the use of resources to obtain some benefit. The cost (use of resources) of making a decision (the benefit) can include monetary costs, such as the expense of printing ballots, but perhaps more importantly, it can also involve time and effort. The money, time, and effort necessary to make group decisions are called transaction costs. Oliver E. Williamson, “The Economics of Organization: The Transaction Cost Approach on JSTOR,” American Journal of Sociology 87, no. 3 (November 1981): 548–77. https://www.jstor.org/stable/2778934. The more people involved in the decision-making process and the more complicated the decision, the higher the transaction costs. The higher the transaction costs, the more difficult it is to make a decision. Think back to the “Where do we go for dinner?” question. With three people, the transaction costs will be modest, and you’ll probably be able to arrive at a decision. As the number of individuals in the group increases, the transaction costs—the costs of making the decision—are also likely to increase. If the costs become too high—imagine how much time and effort it would take for 300 people to agree on where to eat and to find a restaurant that can host them!—then the decision-making process can break down. What happens then? The status quo prevails, which, in this example, means that nobody is going to a restaurant. What if you are deeply committed to maintaining the status quo? You can deliberately raise transaction costs to the point that no changes to the status quo can be made. Defenders of the status quo do not necessarily need to defend it. They just need to raise the transaction costs high enough so that no changes can be enacted. In recent years there have been major political battles over voting rights. As of July 2021, efforts to impose new voting restrictions in the state of Texas had been thwarted by virtue of a dedicated Democratic minority’s efforts to increase the costs of passing legislation. The minority’s strategy? Flee the state capitol, depriving the majority of the quorum , the minimum number of the group that must be present for a vote to be held. Meanwhile, in Washington, DC, Republicans were in the minority and did their best to stall measures to expand voting rights—also by throwing up procedural roadblocks to the legislation. In each case, the minority party (Democrats in Texas, Republicans in Washington) chose to raise transaction costs in order to prevent a change from being made. Texas ultimately approved the restrictions on voting rights after the Democratic minority gave in and returned to the state capital to vote, thus lowering the transaction costs. Collective Action and Critical Thinking The EU-funded Biodiversity Information for Development program (BID) runs workshops to help participants learn to use data to come to collaborative decisions that direct public policy. (credit: “BID Workshop: Data Use for Decision Making” by GBIF, photo by Mélianie Raymond/Flickr, CC BY 2.0) One of the biggest challenges that individuals, groups, and governments face is trying to figure out how to allocate limited resources (which may be intangible things like time and effort). As discussed in this chapter, people are often asked to make difficult decisions with seemingly no correct—or “good”—answer. This is especially true when the problem that needs to be solved impacts a community, be it a country, a city, or even a neighborhood. As you go through the process of trying to decide which option to choose in order to solve issues related to things like resource depletion, pollution, or reducing transaction costs , what you are really doing is engaging in critical thinking . At its core, being able to think critically involves not only being able to describe the issue at hand, but also taking relevant ideas, perspectives, and data about a particular problem or issue and using that information to assist in analyzing different perspectives and arguments to reach an informed conclusion about the issue. Critical thinking is hard work—it requires a lot of information and a lot of time—but it gets easier with practice, and it leads to better outcomes. Conformity Costs Transaction costs are the “price” of making a decision, and conformity costs are the “price” those who do not get what they want must pay to arrive at a decision. For each person affected by the collective decision, the conformity cost is the difference between what the person wanted from the decision and what they actually got out of it. When you were making the collective decision about where to go for dinner, you might have argued for sushi. If the final decision was for tacos, your conformity cost would be the difference between the smaller amount of satisfaction you will get from having tacos and the greater happiness you would have gotten from having sushi. School provides another example. Your classes always meet at the same time, most likely everyone in a class has the same assignments and takes the same tests at the same time, and so forth. These are all factors that impose conformity costs. If every student’s education was personalized to meet their own preferences and goals—with schedules, assignments, and exams all designed for that purpose—that would be an educational system with extremely low conformity costs. But the establishment and monitoring of such a system would create enormous transaction costs. How would classrooms be assigned, for example? To the extent that education is personalized—college students can choose their own majors and select electives, for example—the transaction costs are higher because this requires more complicated administration (e.g., some official has to track your schedule to make sure that you are completing all the requirements). Consider driving laws. When the government imposes speed limits on the driving public, the conformity cost is the difference between how fast drivers want to drive and how fast they are allowed to drive. Speed limits apply to everyone; they are not variable based on the skills or preferences of the driver. No one under the legal age can obtain a driver’s license, but (almost) anyone over the legal age can. These are just a few examples of government policies that limit transaction costs but increase conformity costs. Transaction costs and conformity costs often move in different directions: when transaction costs are low, conformity costs are often high, and vice versa. The lowest transaction cost occurs when a single decision-maker can rule by decree—for example, “We will watch this movie.” In Brunei and in other countries ruled by absolute dictators, transaction costs are minimal. The Sultan speaks, and it is so. The lowest conformity costs exist when individuals can simply do whatever they want. Contrast the centralized power of Brunei with the city council meetings in Fayetteville, Arkansas. At those meetings, and in similar meetings around the United States, virtually any resident may voice their concerns on any issue before the council. Meetings do not end until everyone who wants to speak has been heard. Tribal leaders in Afghanistan meet to discuss options for defusing local unrest. (credit: “101117-A-W3011-0006 “ by ResoluteSupportMedia/Flickr, CC BY 2.0) If you ever have the chance to attend a group meeting in which a large number of people attempt to decide what to do—whether that meeting involves tribal leaders in Afghanistan, party leaders in China, or an Indigenous deliberative assembly in Bolivia—you will quickly learn that these meetings move slowly. Not every voice will ultimately influence policy (those arguing to “pass the bill” and those arguing to “kill the bill” will not both be satisfied, even if they are both heard), but when multiple voices are heard, the chances that the final measure will be more closely tailored to the preferences of everyone in the group are higher than if those voices were not heard. Ordinance Would Finally Allow for Public Comment at Cleveland City Council Meetings This news clip from April 2021 reports on an ordinance that would allow public comment at Cleveland City Council Meetings. The Council approved new procedures for public comment in September 2021. Is it better to have lower transaction costs or lower conformity costs ? It depends. When decisions must be made, and made quickly, it is better to minimize transaction costs. If a country is under surprise attack, for example, that may not be the best time for long, deliberative conferences. In such a circumstance, the longer a country deliberates, the more it is likely to lose, so quick and decisive action—that is, decisions with low transaction costs—are essential. When a political party is deciding what its platform will be, on the other hand, it makes sense for the party to listen to multiple voices in order to attract multiple voters. Under those circumstances, expediency is less important than leading the various supporters of the party to believe that the party seeks the same things they seek. Discussions are lengthy precisely so that all the various interests can be heard. Solving coordination problems is no easy task, and finding solutions with acceptable amounts of transaction and conformity costs is often a challenge. As difficult as it can be, when people of good faith come together to confront these challenges, they can be successful. To avoid existential threats, they must find a way to coordinate. Toby Ord, The Precipice: Existential Risk and the Future of Humanity (New York: Hachette Books, 2020). Resolving so-called prisoner’s dilemmas (discussed in the next section) is a different matter because they contain features that make it difficult to arrive at decisions that benefit both the larger public and the individuals involved. The problem with prisoner’s dilemmas is not coordination costs. The problem with prisoner’s dilemmas is that individuals have strong incentives to do things that are not socially beneficial. Whenever individuals come together to make decisions, there is the potential that the group (collective) will face certain difficulties (dilemmas). These difficulties can involve disagreement about group goals or about the best course of action, or they might involve incentives individuals have to act in ways that are counter to group interests. When a group is sizable, one or more of these dilemmas is likely to exist in every attempt to make decisions or take action. When group members disagree regarding goals, a decision can be reached by force or through nonviolent, democratic means. Nonviolent, democratic processes typically involve voting. In these cases, the voting rules will influence the outcome. These rules can vary, from a plurality rule, in which the outcome is decided by the position that obtains the most votes, to a unanimity rule, in which everyone must ultimately agree to a single position. In general, voting rules are set so that the more consequential the issue, the higher the proportion of votes is needed to change the status quo. Groups making decisions face coordination challenges. These challenges exist when group members generally agree on the goals but disagree about the specifics. Making decisions regarding the specifics creates transaction costs—the time, effort, and other resources required to make the decisions—and conformity costs—the differences between the value of the policy that each individual hoped for and the decision they each actually received. collective action problems the broad category of activities in which participating individuals have incentives to maximize their own self-interest in ways that harm the group interest collective dilemma any situation in which a group must make difficult choices conformity costs the difference between what an individual wants from a policy decision and what the individual actually receives coordination problems the challenges groups face when there is general agreement on goals but disagreement on the specific ways in which to achieve them majority rule a form of decision-making by voting, in which the proposition that receives more than 50 percent of the votes wins quorum the minimum number of the group that must be present for a vote to be held status quo the current situation supermajority a voting rule in which more than a majority is needed for a measure to pass transaction costs the time, money, and effort required to make a group decision", "section": "Collective Dilemmas: Making Group Decisions", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Collective Action Problems: The Problem of Incentives Learning Outcomes By the end of this section, you will be able to: Explain the roots of collective action problems. Describe the causes of the tragedy of the commons. Use political examples to explain the tragedy of the commons. Describe the causes of the free rider problem. Use political examples to explain the free rider problem. Identify the logic underlying the prisoner’s dilemma. Collective action problems exist when individuals, acting rationally in pursuit of their self-interest, have incentives to make decisions that are harmful to the interests of others as well as, ultimately, the individual themselves. Collective action problems are everywhere in politics. In classical economic theory, collective action problems are not seen as a natural condition. Classical economic theory holds that individuals will act to benefit themselves and that in doing so they will also benefit others through the “invisible hand.” Adam Smith and Knud Haakonssen, The Theory of Moral Sentiments (Cambridge, UK: Cambridge University Press, 2002). Remember the logrolling example in Chapter 2 ? Two individuals each have an apple and an orange. One individual really loves oranges; the other, apples. They each have self-interested incentives to trade that which they care for less for that which they desire more. Voilà! One person gives the other an apple, the other gives an orange, and they both are better off even though neither acted with the interest of the other person in mind. Collective action logic comes to the opposite conclusion, one in which individuals acting in their own self-interest can have incentives that lead them to act in ways that harm not only the broader public but also themselves. Collective action problems fall into three main categories: the tragedy of the commons, free riding, and the prisoner’s dilemma. The tragedy of the commons , which results in the depletion of a resource available to all, poses particular threats to global health and welfare. The problem of free riding, wherein individuals not participating in a group activity nonetheless benefit from the activity, makes it difficult to change the status quo. Finally, the prisoner’s dilemma, a situation in which individuals act strategically in ways that ultimately harm themselves, demonstrates why it can be challenging to get allies to work together. The Tragedy of the Commons Garrett Hardin, “The Tragedy of the Commons,” Science 162, no. 3859 (December 1968): 1243–48, doi:10.1126/science.162.3859.1243. https://www.science.org/doi/abs/10.1126/science.162.3859.1243. The world’s resources are finite. In southern Africa in the 20th century, overhunting nearly led to the extinction of the black rhino. World Wildlife Fund, “Black Rhino,” accessed July 30, 2021, https://www.worldwildlife.org/species/black-rhino. Many types of fish—including tuna, cod, and halibut, among others—are being pulled out of the ocean at commercially unsustainable levels. World Wildlife Fund, “Overfishing,” accessed July 30, 2021, https://www.worldwildlife.org/threats/overfishing. The climate is changing because humans are in effect using up the atmosphere’s capacity to absorb greenhouse gases. Jouni Paavola, “Climate Change: The Ultimate Tragedy of the Commons?” in Property in Land and Other Resources , eds. Daniel H. Cole and Elinor Ostrom (Cambridge, MA: Lincoln Institute of Land Policy, 2012) 417–33. https://www.lincolninst.edu/sites/default/files/pubfiles/climate-change_0.pdf Whenever there is a resource that anyone within a group can tap, or exploit, that resource is a “commons.” Regarding fish and fishing, the oceans have been a commons. If anyone can withdraw water from a river, that river is a commons; likewise, if anyone can emit air pollution, the atmosphere is a commons. Commercial fishing of tuna and other species can lead to a tragedy of the commons. (credit: “Tuna fish” by Motaz Altahir/Flickr, Public Domain) In each of these cases, the same principle dominates. If anyone has access to the commons—whether that resource is the rhino grazing in Africa, the tuna swimming in the northern Atlantic, or the atmosphere—and that resource is scarce, then every individual has an incentive not only to take what they need but also to take as much as they want. Individuals have this incentive because they can sell this scarce resource (rhino horns, tuna fish) or because they benefit today without consideration of future consequences. If everyone took only what they needed, some renewable resources could become replenished. But if everyone has the incentive to take as much as they can, pretty soon those resources will be depleted. No one can access a resource that has been depleted. If everyone had shared, there may well have been enough to meet everyone’s long-term needs. In the paradox of the tragedy of the commons, those who seek to hoard resources ultimately have less even for themselves. Bluefin tuna, highly valued for its use in sushi, carries a high price, and so commercial fisheries have strong incentives to catch as many of them as they can. Between the 1970s and the early 2000s, the Atlantic population of bluefins declined by an estimated 80 percent due to overfishing, and scientists warned that the species faced extinction unless the tragedy of the commons was averted. Tim Radford, “Scientists Call for Urgent Action to Save Atlantic Tuna,” The Guardian, April 27, 2005, https://www.theguardian.com/environment/2005/apr/28/fishing.science; “Popular Fish Species Disappear from Turkey’s Marmara and Black Seas,” Sea Around Us, August 18, 2020, https://www.seaaroundus.org/popular-fish-species-disappear-from-turkeys-marmara-and-black-seas/. Though tuna became extinct in the Black Sea, primarily due to overfishing and other environmental pressures, strictly enforced catch quotas helped avert the tragedy in the Atlantic. International Union for Conservation of Nature (IUCN), “Tuna Species Recovering Despite Growing Pressures on Marine Life—IUCN Red List,” September 4, 2021, https://www.iucn.org/news/species/202109/tuna-species-recovering-despite-growing-pressures-marine-life-iucn-red-list. Sadly, there are numerous other examples, such as overfishing in places like China and Chile, the depletion of freshwater resources in places like Australia and Saudi Arabia, and worsening traffic congestion in places like Los Angeles and Cairo, as roads are a scarce resource that can be overconsumed. What Is the Tragedy of the Commons? This TED lesson uses a simple, step-by-step example to explain the tragedy of the commons. Global climate change is perhaps the most pressing example of the tragedy of the commons. Emyr Jones Parry, “The Greatest Threat to Global Security: Climate Change Is Not Merely an Environmental Problem,” UN Chronicle , https://www.un.org/en/chronicle/article/greatest-threat-global-security-climate-change-not-merely-environmental-problem. Tragedies of the commons could be prevented if everyone—especially those who take the most, whether individuals or countries—took less, but no single person or country has the incentive to do so. The Free Rider Problem At some point you have probably been asked to work on group assignments. You might have asked yourself how much effort you wanted to devote to this team activity. Whether you worked like crazy or did nothing at all, you would get the same grade as everyone else in the group (though of course doing nothing would mean you’d have no control over what that grade might be). So what would you do? The selfish and strategic (or lazy) individual might well say: I’ll do as little as possible. This behavior—accepting a benefit without contributing to its achievement—is an example of the free rider problem . If every member of the group thinks the same way, no work will get done, and your group will receive a well-earned failing grade. Paradoxically, the group as a whole has incentives to work together to obtain their goal, but the individual members of the group do not. In small groups, it is fairly easy to identify and control free riding through mutual peer pressure and the belief that failing to contribute might actually hurt the team’s grade. But in the political world most groups are much larger, and free riding is much more difficult to spot and manage. The logic of free riding creates enormous barriers to political change and complicates efforts to resolve policy problems. Humans have been aware of the free rider problem since antiquity. For a history and analysis, see Russell Hardin and Garrett Cullity, “The Free Rider Problem,” in The Stanford Encyclopedia of Philosophy , ed. Edward N. Zalta (Winter 2020), https://plato.stanford.edu/archives/win2020/entries/free-rider/. Political change is difficult to achieve, given its tendency to favor the status quo. It requires the willingness of political actors like individuals, groups, and parties to devote the time, effort, and other resources sufficient to effect change. Again, climate change provides a useful example. It poses potentially existential threats to the global community. In the past few years, climate change has contributed to extraordinary bushfires in Australia; floods in Indonesia, India, and Europe; and heat waves in the Pacific Northwest and Siberia. These more frequent and intense droughts, storms, and heat waves; rising sea levels; and warming ocean temperatures are wreaking havoc on agriculture, public health, and social stability. Given these threats, it would seem that policy makers around the world would have sufficient incentive to work together to prevent worsening global climate change. Yet, they have not, at least not in ways that have actually led countries to meet their climate change commitments. From the perspective of any individual country’s leaders, climate change is occurring whether or not their country makes any changes or sacrifices. As responding effectively requires changing the status quo, each country’s political leaders may decide to support change rhetorically but not in practice. The Paris Climate Accord of 2015, the agreement of 197 countries to limit global warming, called for countries to take actions to limit average global temperatures to a rise of 1.5 degrees Celsius. Jane A. Leggett, The United Nations Framework Convention on Climate Change, the Kyoto Protocol, and the Paris Agreement: A Summary (Washington, DC: Congressional Research Service, 2020). Unfortunately, only a few countries, including Morocco, The Gambia, and possibly India, have taken the steps necessary to do their part. The United States, Russia, and many other countries are “barely trying.” Kieran Mulvaney, “World Climate Change Report Card: These Countries Are Meeting Goals,” National Geographic , September 19, 2019, https://www.nationalgeographic.com/environment/article/climate-change-report-card-co2-emissions. Facing an existential crisis, most countries have not stopped free riding. Still, there is reason for hope: free riding can be limited. To suggest that climate change politics are only a matter of free riding would be an oversimplification. Each country has its own political dynamics, and its political leaders face internal pressures and international ambitions. Poorer countries have produced fewer greenhouse gases than richer countries—economic development has been closely linked to the use of the fossil fuels, Hannah Ritchie and Max Roser, “Fossil Fuels,” Our World in Data, https://ourworldindata.org/fossil-fuels. and so these countries argue that they have the right to continue the economic development linked to climate emissions. Richer countries pollute much more per person than poorer countries, and they often find it difficult to break a status quo that favors continued greenhouse gas emissions. True progress on combating climate change will continue to be challenging as long as each country has incentives to free ride on attempts to reduce global climate change. The Prisoner’s Dilemma Imagine this scenario. The police apprehend two individuals they suspect of committing an armed robbery. They have evidence that both suspects are guilty of carrying an unlawful weapon, and though they strongly suspect at least one of the two individuals has committed the more serious crime of armed robbery, they have no direct evidence to back up their suspicions. The Prisoner’s Dilemma Simple scenarios help explain the idea of the prisoner’s dilemma. The police separate the suspects so that they cannot communicate with each other, and then they tell each suspect: We know that one of you is guilty of the robbery, but we don’t know which one. We can prove you are guilty of the weapons charge, so if we can’t find out who is guilty of the robbery, then both of you are going to prison for one year on the weapons charge. However, if you inform on your accomplice (political scientists call this “defecting”; if you do not give away your accomplice, you are said to be “cooperating”—with your fellow suspect, not with the police), we’ll drop the weapons charge, you’ll be released, and your guilty accomplice will serve an eight-year sentence. If you blame each other, we still won’t know which of you actually committed the crime, so you both will be convicted of being an accessory to armed robbery, with a sentence of five years. The exact number of years in the example is not critically important. What is important is that the overall number of years is lowest when both suspects “cooperate” and highest when both “defect.” Dilemma Schema Person A Stay silent (cooperate) Accuse (defect) Person B Stay silent (cooperate) A: 1 year B: 1 year A: 0 years B: 8 years Accuse (defect) A: 8 years B: 0 years A: 5 years B: 5 years Based on this scenario, both suspects would be better off if they remained silent: they would each receive a relatively minimal one-year sentence. You can see the other possible outcomes in . No matter what Person B thinks Person A will do, Person B is better off accusing them. And Person A has the same incentives: no matter what Person B does, Person A has good reasons to accuse Person B. If both people remained silent, they would serve a total of two years in prison. If one accuses the other and the other remains silent, the total prison time would be eight years. If each accuses the other, they will spend a total of 10 years in prison. The “socially” best outcome—if that is defined as the outcome with the minimum total prison time—is for both of the accused to remain silent. However, as each individual has a strong incentive to claim the other is guilty, the predicted outcome is the worst outcome, with 10 total years of prison time. This is the prisoner’s dilemma : individuals, acting strategically in their own self-interest, have incentives that lead them to take actions that result in unnecessarily negative outcomes for both parties. Golden Balls Game Show Illustrates the Prisoner’s Dilemma This clip from the British game show Golden Balls perfectly illustrates the prisoner's dilemma. Even though both players would have benefitted if they had cooperated, they chose not to cooperate and so hurt themselves. Game Show Contestants Overcome the Prisoner’s Dilemma through Strategic Decision-Making In this second clip, the players show how a prisoner's dilemma can be overcome through strategic decision-making. But note that in this scenario the players were allowed to talk with each other so that they could give signals about what their strategies were. There are many real-life examples of prisoner’s dilemmas in politics. Two opposing political candidates may each prefer to run only positive campaign ads, but each fears the other will “go negative” to gain an advantage. Both candidates consequently run negative ads, which tarnish the reputations of each. When tensions rise between two countries over a border dispute, each country may feel pressure to strike first. The country that strikes first may gain an advantage over the country that does not. Collective action problems involve group decisions in which individuals within the group would benefit from cooperating with other group members, but they each have incentives not to cooperate. Individuals acting on these incentives can harm the group and, paradoxically, themselves. In the tragedy of the commons, self-interested individuals have incentives to take as much of a public resource as they can. If enough individuals act on these incentives, the resource will be depleted; at that point, no individual would have access to the resource. Individuals are said to be free riding if they do not contribute to a group goal but still receive the same outcome as the group members who contribute. In a prisoner’s dilemma, the participants would benefit from cooperating with each other, but they have strong incentives to defect. As each participant faces similar incentives, the likely outcome is that every participant is worse off than if they had cooperated. free rider problem when individuals in groups have incentives not to contribute to the group’s goals because they will receive the same outcome whether they contribute or not prisoner’s dilemma a scenario in which two individuals would benefit from cooperating, but each has strong incentives to defect, leaving both individuals worse off than if they had cooperated tragedy of the commons a situation in which individuals have incentives to take as much as they can from a public resource, thereby depleting the resource", "section": "Collective Action Problems: The Problem of Incentives", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Resolving Collective Action Problems Learning Outcomes By the end of this section, you will be able to: Explain why collective action problems are less common and easier to resolve in small groups. Describe the three main ways to resolve the tragedy of the commons. Describe the reasons why each resolution to a collective action problem is imperfect. Describe the three main ways to address the free-riding problem. Identify the principle solutions to the prisoner’s dilemma. Collective action problems are pernicious. While they are difficult (but not impossible) to eradicate, failure to do so can lead to serious consequences to people’s health and welfare. Each of the three main types of collective action problems is easier to solve, at least in principle, when the problems arise within small groups of people (such as families or tribal units) in which the members know each other well and have to live with each other over a long period of time. If you free ride by not pitching in to keep your living space clean, those living with you are going to notice and probably try to find ways to compel you to do your fair share. If you share a refrigerator with others, you will need to find a way (such as labeling whose food is whose) to prevent a tragedy of the commons in which food vanishes and is not replaced. Should a prisoner’s dilemma scenario arise, the better the “suspects” know each other and the more they trust each other, the more likely it is that they will cooperate. For small groups, the strength of the personal relationships, the power to monitor for infractions, and the ability to provide suitable rewards and enforce appropriate punishments are the keys to avoiding or mitigating collective action problems. Formal mechanisms need not be established. You cannot know the resolution of collective action problems in advance. What happens depends on the decisions that those involved in the resolution make. Testing Solutions to Collective Action Problems: The Evolution of Trust This screenshot shows the first step in one of the simulations you can play at The Evolution of Trust. (credit: screenshot of “The Evolution of Trust” by Nicky Case, CC0 1.0) To see how different choices can influence the outcomes of collective action problems, you can experiment with various scenarios using Canadian game designer Nicky Case’s free online game theory simulator, The Evolution of Trust . But what works for a small group is not sufficient for larger groups, and politics typically involves large groups. In large groups, most individuals will not necessarily trust—or even know—each other, except perhaps through their cultural identifications. If you try to free ride in a group of four, the other group members will definitely notice. If you free ride in a group of 40 million, no one is likely to perceive your absence or lack of effort. Challenges in preventing tragedies of the commons or avoiding the worst outcomes of prisoner’s dilemmas also grow with the numbers of individuals involved. While the classic prisoner’s dilemma example uses two “suspects,” any two actors, including individuals, political parties, or entire countries, can be involved in prisoner’s dilemmas. Collective action problems involving large numbers of people cannot rely on personal relationships; they require other mechanisms for monitoring and enforcement. Remedies for free riding, tragedies of the commons, and prisoner’s dilemmas involving large groups differ, but all three types of problems require political solutions. Carbon dioxide (CO 2 ) emissions are a key source of the greenhouse gases that are creating a warmer and more variable climate. This map shows per capita Per capita emissions are the total CO 2 emissions for each country divided by the number of people living in that country. CO 2 emissions across countries (view interactive map at https://ourworldindata.org/grapher/co-emissions-per-capita). Per capita emissions are calculated in order to make fairer apples-to-apples comparisons; that is, you can compare how much a typical person in each country pollutes to how much a typical person in every other country pollutes. More industrialized, wealthier countries tend to emit higher levels of CO 2 than other countries. (credit: “Per Capita CO 2 Emissions” by Our World in Data, CC BY 4.0) The biggest per capita polluters are smaller, oil-producing countries such as Qatar, Kuwait, and the United Arab Emirates. Other heavily populated, affluent countries that are high emitters include the United States, Canada, and Australia, among others. Residents of these countries emit more than 150 times as much CO 2 as do those living in the poorest countries such as the Central African Republic, Chad, and Niger. The four largest political regions based on population—China, the United States, the European Union, and India—contribute more than half of all CO 2 emissions. Each would need to reduce their overall emissions to forestall further climate change. Hannah Ritchie, “Where in the World Do People Emit the Most CO 2 ?” Our World in Data, October 4, 2019, https://ourworldindata.org/per-capita-co2; Johannes Friedrich, Mengpin Ge, and Andrew Pickens, “This Interactive Chart Shows Changes in the World's Top 10 Emitters,” World Resources Institute, December 10, 2020, https://www.wri.org/insights/interactive-chart-shows-changes-worlds-top-10-emitters. If a climate tragedy of the commons is to be averted, each country must bear its fair share of the burden. Resolving Tragedies of the Commons Two remedies for the tragedies of the commons require governmental power. One remedy gives a central institution (the government) the authority to protect the commons through force. If the government has a long-term interest in maintaining the commons and the de facto power to do so, it can prevent individuals from depleting the resource. Alternatively, the government can put a price on (privatize) the resource so that anyone who wants to use the resource must pay for it. In this case, the resource is no longer a “commons” open to all. Think back to the bluefin tuna example. To help prevent their extinction in the Atlantic, the US government instituted a number of requirements for commercial fisheries including that they purchase one of a limited number of permits, abide by catch limits, and report how many tuna they caught. NOAA Fisheries, “Atlantic Highly Migratory Species Permit Shop,” https://hmspermits.noaa.gov/. In an ideal world, the United States would offer just enough permits, with the right catch limits, at the right price, so that as many tuna as possible would be caught without depleting the tuna population, and the permits would be bought by those who value them most. In the ideal world, fisheries would abide by established limits, and their reports would confirm that they had done so. If a commons existed completely within the border of a single country, that country could potentially solve the tragedy on its own. Tuna, however, are highly migratory, and fisheries from many countries seek them; they are part of an international commons. The International Commission for the Conservation of Atlantic Tunas (ICCAT) is an intergovernmental organization established in 1966 to address this international problem. ICCAT had the same basic goals and tools as the United States, but regrettably the organization had “no powers to enforce, no sanctions with which to punish,” and so it was ineffective in protecting the commons, at least in its early years. Richard Black, “Last Rites for a Marine Marvel?” BBC News , last modified October 17, 2007, http://news.bbc.co.uk/2/hi/science/nature/7040011.stm. The solutions of governmental control or privatization each have their own problems. The government may protect the commons by taking control of it, but the government might use the resources to benefit political elites rather than for the benefit of the community as a whole. And while emperors have reason to preserve the resource, believing their family will rule indefinitely, elected politicians are focused squarely on the short term—the next election—rather than on preserving the resource for their grandchildren’s generation. When the government takes control of the commons, it does not necessarily use the commons wisely. Privatizing a resource has its own pitfalls. Those who are used to exploiting the commons without paying for it (in the example above, the fisheries) will object to making costly what was once free. The more politically powerful the group, the more difficult it is for elected officials to protect the resource through privatization. Elected officials face pressure to offer more permits for greater exploitation at lower prices. As a result, the prices the government sets for the resource are usually too low, and the resource is allowed to be depleted faster than it can be sustained. Even if governmental officials did not face public opposition, privatizing the resource is challenging. If the government sets the prices too low, the resource will be depleted, and if it sets the prices too high, the community will be deprived of a valuable resource. Moreover, the more valuable the resource, the more likely it is that individuals will attempt to exploit it. In that case, preventing exploitation may require heavy policing and harsh punishments. The giant Moa , a bird weighing as much as 500 pounds and standing 12 feet tall, was hunted to extinction by the Maori in New Zealand in the 15th century: a true tragedy of the commons. Virginia Morell, “Why Did New Zealand's Moas Go Extinct?” Science , March 17, 2014, https://www.sciencemag.org/news/2014/03/why-did-new-zealands-moas-go-extinct. Fortunately, the Maori were able to turn to other sources of food. Today’s tragedy of the commons challenges, like global climate change, are much greater than a single bird for a single group. The Moa was hunted to extinction in a tragedy of the commons. (credit: “Hunting Moa” by Joseph Smit/Extinct Monsters by Rev. H. N. Hutchinson/Wikimedia Commons, Public Domain) Historically, businesses that emitted CO 2 polluted for free. To reduce pollution, governments can put a price on it: “Every unit of pollution you emit will cost you this much.” This price is typically referred to as a carbon tax . Adele Cecile Morris, Ian Parry, and Roberton C. Williams, Implementing a US Carbon Tax: Challenges and Debates (New York: Routledge, 2015). doi:10.4324/9781315747682. The idea is that if you make it costly to pollute, people will pollute less, but this will be true only if the tax is high enough to coerce polluters to substantially reduce their emissions. Governments find it hard to impose these taxes because those being taxed resist. Because so many human activities create a “carbon footprint,” virtually everyone would see higher prices on their electric or gas bills, as well as at the grocery store and all the other places they shop. High carbon taxes are almost certain to produce beneficial long-term consequences for human health and welfare, and the short-term costs to individuals and businesses can be mitigated. “What Is a Carbon Tax?” Tax Policy Center, accessed October 20, 2021, https://www.taxpolicycenter.org/briefing-book/what-carbon-tax. Still, those costs are immediate, and the benefits are in the future. As a result, countries have had enormous difficulty in setting carbon taxes high enough to prevent additional global warming. Benjamin Storrow, “Carbon Prices Are Too Low to Reduce Emissions,” Scientific American , September 20, 2018, https://www.scientificamerican.com/article/carbon-prices-are-too-low-to-reduce-emissions/. You can find a 2020 world map of carbon pricing plans here: https://commons.wikimedia.org/wiki/File:Carbon_tax_world_map.png. Nobel prize winner Elinor Ostrom proposed a relatively effective solution to the tragedy of the commons that relies neither on a sovereign nor on prices. ​​Elinor Ostrom, Governing the Commons: The Evolution of Institutions for Collective Action (Cambridge, UK: Cambridge University Press, 2015). Ostrom suggested that effective solutions can arise from the communities that use a resource once they recognize the commons problem and their mutual interest in resolving it. Community members are more likely than distant governments to understand the problem and to have a stake in remedying it. When Ostrom identified communities around the world that have come together to solve such problems, she observed two necessary details that allow these community solutions to work. First, the community must engage in collective decision-making so that all relevant interests can participate. Second, the rules the community makes must be clear so that members know what is allowed and what is not. If these conditions are in place, the decisions the community makes are likely to be wise and enforceable, as community members can monitor each other to prevent cheating. Ostrom found evidence supporting these principles in places ranging from the “Japanese villages of Hirano and Nagaike, the huerta irrigation mechanism between Valencia, Murcia and Alicante in Spain, and the zanjera irrigation community in the Philippines.” ​​Flavio Felice, “Elinor Ostrom and the Solution to the Tragedy of the Commons,” American Enterprise Institute, July 27, 2012, https://www.aei.org/articles/elinor-ostrom-and-the-solution-to-the-tragedy-of-the-commons/. Since Ostrom’s examples all involve small communities in which members know each other and have roughly equal power, it’s unclear whether her findings point the way to a solution that can be implemented at the global level. In the absence of a solution like the one Ostrom proposes, communities tend to turn to a sovereign to impose restrictions or set prices. Since there is no global sovereign, the climate change crisis remains an especially challenging collective action problem. Resolving Free Riding Problems The best way to resolve the free rider problem is to disincentivize free riders. One powerful tool to discourage free riding is to keep groups small. Because in politics groups are usually large, they must develop other mechanisms to identify free riders and to deter their behavior. These mechanisms come with a cost: the group must devote resources to monitoring and punishing unwanted behavior, and group members need to subject themselves to some form of surveillance. Every country needs to collect taxes to fund government programs. If no one paid taxes, roads would never be repaved, safety regulations could not be enforced, the military would be unfunded, and the government could not provide disaster relief, just to name a handful of the many services that taxes allow the government to deliver. Still, few citizens would voluntarily send a check to pay their fair share of taxes unless they had strong incentives to do so. The most basic incentive? Failure to pay taxes is a crime, punishable by fines and imprisonment. If you know there is some chance you will be caught and violators are punished, this may provide sufficient incentive not to free ride. In addition to monitoring and fines, to prevent individuals or corporations from evading their obligations by moving their money into other jurisdictions, countries try to coordinate their tax policies. In 2021, the G-7 nations—a group of the world’s largest economies that includes Canada, France, Germany, Italy, Japan, the UK, and the United States—did just that, agreeing to a coordinated global minimum corporate tax of no less than 15 percent. Silvia Amaro, Joanna Tan, and Emma Newburger, “G-7 Nations Reach Historic Deal on Global Tax Reform,” CNBC , June 5, 2021, https://www.cnbc.com/2021/06/05/g-7-nations-reach-historic-deal-on-global-tax-reform.html. In the United States, the likelihood that a citizen’s taxes will be audited has dropped substantially in recent decades, especially among high-income individuals, as the federal government has devoted fewer resources to the Internal Revenue Service, the agency responsible for collecting taxes. Robert A Weinberger, “The IRS Data Book Tells a Story of Shrinking Staff, Fewer Audits, and Less Customer Service,” Tax Policy Center, June 7, 2019, https://www.taxpolicycenter.org/taxvox/irs-data-book-tells-story-shrinking-staff-fewer-audits-and-less-customer-service. While most citizens pay the taxes they owe, free riding deprives the US Treasury of some $400 billion, about 15 percent of all taxes owed, each year. Internal Revenue Service, “The Tax Gap,” accessed July 14, 2021, https://www.irs.gov/newsroom/the-tax-gap. To reduce the amount of free riding, the US government would need to devote additional resources to monitoring and enforcement. Monitoring and penalties are not the only way to prevent free riding. Another approach is to create strong social solidarity. Political organizations and governments seek to create these bonds of common connection. Through civic education and social signaling, they send the message that citizens should pay their taxes not just because they will be punished if they don’t; they should pay them because that is what good, patriotic citizens do. In the countries with the highest tax compliance—that is, with the lowest rates of free riding—citizens generally pay their taxes because they believe the tax system is fair and that it is a civic duty to pay your taxes, and because there is widespread faith that other citizens are also paying their fair share. Larissa Batrancea et al. “Trust and Power as Determinants of Tax Compliance across 44 Nations,” Journal of Economic Psychology 74 (October 2019): 102191, doi:10.1016/j.joep.2019.102191. It also helps if the government is competent so that citizens can see that their taxes are being used responsibly. The tragedy of the commons and the prospect of free riding are especially relevant for slow-growing crises like climate change. It is unlikely that the Maori knew that they were literally hunting the Moa to extinction, gradually eliminating a valuable source of food: each year, there were fewer birds to hunt, but maybe imperceptibly so, until the Moa vanished. Like the Maori, many countries are slow to address the problem of climate change, even though the changes appear to be accelerating and creating irreversible damage. United Nations, “Flagship UN Study shows Accelerating Climate Change on Land, Sea and in the Atmosphere,” March 10, 2020, https://news.un.org/en/story/2020/03/1059061. Resolving Prisoner’s Dilemmas Prisoner’s dilemmas create risks that can lead to more immediate but no less catastrophic outcomes. When two countries are at the brink of war, each might believe that it is more beneficial to attack than to wait—that is, to defect rather than to cooperate. The simplest solution to the prisoner’s dilemma is for both participants to cooperate rather than to defect; however, they are likely to do so only under certain conditions. A participant is least likely to defect when they know that the other participant will punish them if they do. If they each know they will be punished if they defect, then they are more likely to remain silent. Preventing or ending prisoner’s dilemmas requires that the participants know they will be punished if they defect, that a third party will enforce cooperation, or that the participants have mutual trust. Once one of the parties defects in a prisoner’s dilemma setting, it is not easy to get the participants to cooperate later. As in the persistent conflict between Israelis and Palestinians, cases where any two groups are locked in intractable disagreements exemplify how tit-for-tat retaliation dominates any possibility of mutual agreement. The two parties have learned not to trust each other. Once that happens, rebuilding trust is difficult. It is easier to lose trust than to gain it. In a prisoner’s dilemma, once a party has defected, the other party might well assume that the party that defected can never be trusted. Avoiding this outcome requires a third party that can enforce cooperation or punish those who defect to induce future cooperation. Collective action problems are common in large groups, and they are difficult to solve. The tragedy of the commons can be prevented if some authority can restrict exploitation of the resource or if the commons can be privatized in a way that prevents the resource from being depleted. Free riding can be avoided through monitoring that can detect free riders and sanctions that can punish them. Creating social solidarity so that individuals believe that they should not free ride can also be important. Unless the participants in a prisoner’s dilemma trust each other and know that they will need to work together again in the future, the expectation is that the outcome of the dilemma will harm both players. Avoiding this outcome requires a third party that can enforce cooperation or punish those who defect to induce future cooperation. Almond, Gabriel A., and Sidney Verba. 1965. The Civic Culture . Boston: Little, Brown. Carlos, Roberto F. 2018. “Late to the Party: On the Prolonged Partisan Socialization Process of Second-Generation Americans.” Journal of Race, Ethnicity and Politics 3 (2): 381–408. Hardin, Garrett. “The Tragedy of the Commons.” Science 162 (3859): 1243–48. doi:10.1126/science.162.3859.1243. Jennings, M. Kent, Laura Stoker, and Jake Bowers. 2009. “Politics across Generations: Family Transmission Reexamined.” The Journal of Politics 71 (3): 782–99. Kuhn, Steven. 2019. “Prisoner’s Dilemma.” Stanford Encyclopedia of Philosophy (Winter 2019 edition). https://plato.stanford.edu/entries/prisoner-dilemma/. Ogbar, Jeffrey Ogbonna Green. 2007. Hip-Hop Revolution: The Culture and Politics of Rap . Lawrence: University Press of Kansas. carbon tax a fee imposed on the use of fossil fuels based on the amount of carbon dioxide that use emits into the atmosphere", "section": "Resolving Collective Action Problems", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction On May 13, 2013, thousands of people crowded into the Minnesota state capitol for the Minnesota Senate vote on a same-sex marriage bill. On that day, the bill became law. (credit: “Crowd during the same sex marriage vote in the Minnesota Senate” by Fibonacci Blue/Flickr, CC BY 2.0) This chapter examines the meaning of civil rights as a legal concept, how civil rights are defined in constitutions around the world, and which civil rights governments and institutions recognize and protect. It explores how individuals and groups, like Me Too and other social justice movements, can raise public awareness and work to change policies and improve legal protections surrounding issues of discrimination and unfair treatment under the law, and it shines a light on the important role of government and institutions that maintain and challenge the status quo. Civil rights issues are of particular concern for less powerful groups, including religious, racial, ethnic, and sexual minorities (or anyone not seen as the majority in power). Often, civil rights change is rooted in local issues that become global, and social media provides new and accelerated pathways to equitable legislation and policy. The chapter draws on historical and current examples to provide a broad overview of past and ongoing civil rights abuses and to illustrate the methods people use to work for civil rights change.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Civil Rights and Constitutionalism Learning Outcomes By the end of this section, you will be able to: Define civil rights and distinguish between civil rights and civil liberties. Explain why voting rights are one of the most essential and most contested of all civil rights. Discuss the ways in which constitutional and legal structures determine which civil rights states recognize and protect. Analyze why civil rights definitions and protections vary in different countries and change over time. Explain the relationships between positive and negative rights and between positive rights and civil rights. Civil rights are government guarantees of equal protection under the law, regardless of membership in a group based on a shared characteristic such as race, national origin, ethnicity, sex, gender, age, or ability. The government is tasked with acting to protect members of groups who have been discriminated against because of their group membership alone. An issue becomes a civil rights concern when action is required because a group’s rights are being violated or denied. If the government fails to act to protect that group or if its actions are inadequate, people outside the government may act to urge the government to take greater formal action to remedy the situation. Chapter 4 discussed civil liberties. Civil rights and civil liberties are related; however, their meanings differ in important ways. Civil liberties are freedoms from restriction. They are limits on the government’s ability to restrict individuals. The government cannot stop you from something that you have the liberty to do. A right is something to which a person is entitled. Civil rights are entitlements that governments must step in to protect for certain groups who are suffering or have suffered discrimination. In the United States, the first 10 amendments to the US Constitution define the civil liberties—the individual freedoms—that the government must respect. These amendments are known as the Bill of Rights . Some examples of civil liberties mentioned in the Bill of Rights include “the freedom of speech, or of the press” ( 1st Amendment ); “the right of the people to be secure in their persons, houses, papers, and effects” ( 4th Amendment ); and the right against “excessive bail” and “cruel and unusual punishment” ( 8th Amendment ). Civil rights have to do with issues of equal treatment and are those rights that government institutions must protect and enforce via legislative action, judicial interpretation, and executive implementation. “Civil Rights,” Legal Information Institute, Cornell Law School, https://www.law.cornell.edu/wex/civil_rights. They may include political rights, such as voting, running for office, or serving on a jury; employment and employment-related opportunities, such as equal employment opportunities and equal pay; and legal rights, such as the right to file a civil suit. Opportunities and limitations based on group membership have consequences in various realms including politics, society, the economy, education, and the law. Groups are often differentiated based on various categories of group identification including race, ethnicity, religion, gender, sexual orientation, ability, age, economic status, etc. Voting as a Civil Right As discussed in more detail later in the chapter, voting is a civil rights issue in the United States. Throughout its history, the United States has restricted voting access to certain groups, culminating in several historic movements and protests to expand and protect voting rights. The vote is one of the most powerful ways the people can use their voice to effect change and be heard. When a government denies a group the right to vote, it effectively takes away their political voice. The less power the members of a group have to make their voices heard, the more help they will need—if not from the government, then from the political action of other groups. As Boston College professor Kay Lehman Schlozman , Harvard University professor Sidney Verba , and University of California professor Henry E. Brady put it, “Public officials cannot consider voices they do not hear.” Kay Lehman Schlozman, Sidney Verba, and Henry E. Brady, The Unheavenly Chorus: Unequal Political Voice and the Broken Promise of American Democracy (Princeton, NJ: Princeton University Press, 2012), 6. Though the US Constitution has been amended several times to expand suffrage —the right to vote—by removing barriers based on race ( 15th Amendment ), gender ( 19th Amendment ), and age ( 26th Amendment ), some stakeholders in the United States still seek to prevent certain groups from exercising the right to vote. Their efforts are referred to as voter suppression . Civil rights issues vary around the world, and the history of voting rights in New Zealand, a Pacific country very different from the United States, for example, contrasts with the history of voting rights in the United States. Traditionally, the New Zealand government has extended more rights to its Indigenous people than it has to people who emigrated later. Indigenous Maori men received the right to vote in New Zealand before the government extended that right to all men over the age of 21 in the country who were British subjects (at the time New Zealand was a British colony), and New Zealand was the first country in the world to grant women the right to vote. Neill Atkinson, “Voting Rights,” Te Ara: The Encyclopedia of New Zealand, http://www.TeAra.govt.nz/en/voting-rights. The United States did not grant women the right to vote until almost 30 years later. Despite the ratification of several amendments to the US Constitution that were intended to guarantee suffrage to more people, Native Americans, for example, continue to be denied the right to vote even today in certain places in the United States because of lack of documentation and identification. Patty Ferguson-Bohnee, “How the Native American Vote Continues to Be Suppressed,” Human Rights Magazine 45, no. 1 (February 9, 2020) , https://www.americanbar.org/groups/crsj/publications/human_rights_magazine_home/voting-rights/how-the-native-american-vote-continues-to-be-suppressed/. In 1971, the United States lowered the voting age from 21 to 18 (26th Amendment). Some countries, such as Austria and Brazil, have lowered the voting age even further. Following a 2000–2005 trial run, Austrians as young as 16 are now eligible to vote in all local, regional, and national elections. Mathilde Mostrup, “Voting Rights for Debate in Europe,” in Votes at 16 (Copenhagen: The Danish Youth Council), http://www.cje.org/descargas/cje4965.pdf. What these examples tell us is that, like many other civil rights issues, suffrage is not a rigid institution, but one that can change due to internal and external forces. A country’s suffrage laws are an extension, and oftentimes an expression, of that country’s sovereignty; the uniqueness of voting laws and who qualifies to vote contribute to the fabric that makes up a political culture, a concept that will be considered later in the chapter. Participants in the 1965 Civil Rights March walk from Selma to Montgomery, Alabama, to protest voter suppression and racial segregation. (credit: “ Participants, some carrying American flags, marching in the civil rights march from Selma to Montgomery, Alabama in 1965 ” by Peter Pettus/Library of Congress) Constitutionalism and Civil Rights The US Constitution first guaranteed a right to vote for some citizens with the ratification of the 14th Amendment, which declares that any state denying eligible citizens the right to vote will lose representation in Congress. In Chapter 4: Civil Liberties , you read about constitutionalism , which is “the doctrine that governs the legitimacy of government action.” Maru Bazezew, “Constitutionalism,” Mizan Law Review 3, no. 2 (September 2009): 358–369. In other words, constitutionalism reminds us that governments must respect the rule of law and the limits placed on government power. One way to understand constitutionalism is to think of it as the role a country’s written constitution plays in maintaining the rule of law and a country’s political culture. India’s constitution “Fundamental Rights,” Know India, https://knowindia.india.gov.in/profile/fundamental-rights.php. references freedom from caste-based discrimination and the freedom to preserve and speak languages, specific rights that may not be applicable in other countries because India has its own specific political culture. Mauritania’s constitution also references language. It declares Arabic the official language but recognizes three other national languages. The Mauritanian constitution also emphasizes universal suffrage and specifically states that “the law favors the equal access of women and of men to the electoral mandate and elective functions.” Mauritania’s Constitution of 1991 with Amendments through 2012 , trans. Maria del Carmen Gress (Getzville, NY: William S. Hein & Co., 2012), https://www.constituteproject.org/constitution/Mauritania_2012.pdf. The 1776 US Declaration of Independence states that all people have “unalienable rights” that they possess at birth that no government can take away. The unalienable rights to which people are entitled include the Declaration’s most famous phrase: “life, liberty, and the pursuit of happiness.” The Declaration of Independence has served as a model for contemporary independence efforts, and international organizations have incorporated the rights enshrined in the Declaration of Independence into their own formal work to promote these rights, as typified by the United Nations’ Universal Declaration of Human Rights (UDHR). “Universal Declaration of Human Rights,” United Nations General Assembly, December 10, 1948, https://www.un.org/en/about-us/universal-declaration-of-human-rights. Since 1948, the Preamble of the Universal Declaration of Human Rights (also discussed in Chapter 15) and 30 of its articles have inspired billions of people globally. Some of the human rights the Universal Declaration recognizes include protections against slavery (Article 4) and forced marriage (Article 16), freedom of movement within one’s own country (Article 13), the right to participate in government, (Article 21), freedom to join a union (Article 23), and the right to hold a nationality (Article 15). Universal Declaration of Human Rights The Universal Declaration of Human Rights provides a common standard for human rights definitions and protections around the world. As discussed in Chapter 4 , constitutions can include positive rights and/or negative rights . According to the Markkula Center for Applied Ethics , “Negative rights, such as the right to privacy, the right not to be killed, or the right to do what one wants with one’s property, are rights that protect some form of human freedom or liberty . . . positive rights are ‘positive’ in the sense that they claim for each person the positive assistance of others in fulfilling basic constituents of human well-being like health and education.” Manuel Velasquez, Claire Andre, Thomas Shanks, and Michael J. Meyer, “Rights,” Issues in Ethics 3, no. 1 (Winter 1990), https://www.scu.edu/ethics/ethics-resources/ethical-decision-making/rights/. Negative rights often correspond with civil liberties—what the government cannot restrict—and positive rights correspond with civil rights—what the government must protect. The constitution of the Republic of North Macedonia, for example, prohibits child and forced labor, the death penalty, torture, censorship, and double jeopardy and discrimination based on “sex, race, colour of skin, national and social origin, political and religious beliefs, property and social status.” North Macedonia (Republic of’s) Constitution of 1991 with Amendments through 2011 (Getzville, NY: William S. Hein & Co.), https://www.constituteproject.org/constitution/Macedonia_2011.pdf?lang=en. Because they are expressed as prohibitions, these are considered negative rights. The Comparative Constitutions Project compiles, compares, and analyzes constitutions from around the world. The project’s sample ranges from the constitutions of Brunei and Thailand, which include only two individual and political rights, to those of Portugal, Serbia, and Ecuador, which include 87, 88, and 89 rights, respectively. “Constitutional Rankings,” Comparative Constitutions Project, https://comparativeconstitutionsproject.org/ccp-rankings/. Similarly, the Cato Institute conducts an annual survey of political rights known as the Human Freedom Index . It describes human freedom as “a social concept that recognizes the dignity of individuals and is defined here as . . . the absence of coercive constraint.” Drawing on data from 162 countries and using a zero to 10 scale, in 2020 the Cato Institute identified New Zealand as having the most rights and protections of freedoms in the world and Syria as having the least. Ian Vasquez and Fred McMahon, “The Human Freedom Index 2020,” Cato Institute, https://www.cato.org/human-freedom-index/2020. These rankings reflect global variations in how people conceptualize civil rights, despite the UDHR and other statements about human dignity. Constitutions play a crucial role in defining which civil rights a country recognizes and claims to protect, but what about enforcement? What if a country’s constitution contains certain protections, but the majority does not implement them? The section that follows discusses the relationship between majority and minority groups and the implications for civil rights. The chapter will conclude with a discussion of the role of government and political institutions in enforcing civil rights. Civil rights are government guarantees of equal protection under the law, regardless of membership in a group based on a shared characteristic such as race, national origin, ethnicity, sex, gender, age, or ability. Whenever a basic right is denied to a group based on a shared characteristic, a civil rights issue exists. In the United States, voting is an example of a civil rights issue because certain groups, like women and Black people, have historically been denied the right to vote. In response to changing views, the US Constitution has been amended to expand the right to vote (suffrage) over time. Constitutionalism is a way of measuring how well a country follows or meets the expectations of its constitution. The countries of the world define and protect civil rights in different ways, but the United Nations Universal Declaration of Human Rights has become an influential standard. Rights may be expressed as positive rights or negative rights. Positive rights are opportunities and abilities that rely on the support or acceptance by others (i.e., you can support my rights by complying with them). Negative rights, on the other hand, refer to those freedoms no government or persons may restrict. civil liberties limits on the government’s ability to restrict individual freedoms; in the United States, these are mentioned in the Bill of Rights civil rights government guarantees of equal protection under the law, regardless of membership in a group based on a shared characteristic, such as race, national origin, ethnicity, sex, gender, age, or ability constitutionalism the set of political values and norms derived from a country’s constitution that serve as the basis for a government’s authority negative rights rights stated as freedoms the government cannot infringe upon positive rights rights stated as freedoms the government must protect suffrage the right to vote, which is a civil right in the United States Universal Declaration of Human Rights (UDHR) a 1948 document created by the United Nations General Assembly after World War II that outlines a definition of human rights; established global standards that have since been adopted by many countries", "section": "Civil Rights and Constitutionalism", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Political Culture and Majority-Minority Relations Learning Outcomes By the end of this section, you will be able to: Analyze how a country’s political culture affects which civil rights it recognizes and defends. Describe the relationship between minority and majority groups. Discuss the role the majority plays in determining how civil rights function in a society. Persons with physical and mental disabilities are an example of a group that has experienced widespread discrimination, in part due to a lack of adequate government protections. Absent public policy forbidding it, governments have denied these individuals access to public accommodations, including access to public buildings and programs, while private businesses and other social and educational institutions have also limited opportunities for individuals with disabilities. Challenging these discriminatory policies is now a key focus among civil rights movements around the world. The Disability Rights Education and Defense Fund (DREDF) has compiled a massive list of constitutions that provide protections for those with disabilities. “International Laws,” Disability Rights Education and Defense Fund, https://dredf.org/legal-advocacy/international-disability-rights/international-laws/. This list includes the constitutions of dozens of developed and developing countries ranging from Zimbabwe and the Gambia to Cambodia and Turkey. The DREDF contains the text of Zimbabwe’s constitution, which specifically references “physical disability” as one of the protected characteristics of its citizens. In other words, the constitution clearly states that it is illegal and unconstitutional to discriminate on the basis of physical disability. The United States Constitution does not include any explicit protections for individuals with disabilities. Instead, the United States has sought to address disability rights through federal laws like the Rehabilitation Act (1973), which created affirmative action in government hiring for people with disabilities, Shirley Wilcher, “The Rehabilitation Act of 1973: 45 Years of Activism and Progress,” Insight into Diversity , September 17, 2018, https://www.insightintodiversity.com/the-rehabilitation-act-of-1973-45-years-of-activism-and-progress/. and the Americans with Disabilities Act (1990), a landmark legislative act that made it illegal to discriminate on the basis of ability and offered sweeping changes that made it easier for people with disabilities to access services, transportation, buildings, and employment. US Department of Justice, “Introduction to the ADA,” https://www.ada.gov/ada_intro.htm. The United Kingdom, China, Australia, South Korea, New Zealand, Brazil, and Qatar have handled disability rights in a similar fashion: they have used congressional or parliamentary legislation to create national standards and provisions to protect the rights of those with disabilities. This bus platform in Brazil has special accommodations for those with differing abilities. (credit: “Sistema RIT de Curitiba, Brasil” by Mario Roberto Duran Ortiz Mariordo/Wikimedia Commons, CC BY 3.0) People with disabilities are one example of a political minority . A minority can be a group of people or a single person, and its definition changes based on how it is used in different countries. Lewis M. Killian, “What or Who Is a ‘Minority’?” Michigan Sociological Review , no. 10 (Fall 1996): 18–31. The United Nations Office of the High Commissioner for Human Rights defines ethnic, religious, and linguistic minorities as, “any group of persons which constitutes less than half of the population in the entire territory of a State whose members share common characteristics of culture, religion or language, or a combination of any of these.” “Concept of a Minority: Mandate Definition,” United Nations Office of the High Commissioner for Human Rights, https://www.ohchr.org/EN/Issues/Minorities/SRMinorities/Pages/ConceptMinority.aspx According to Arizona State University professor Michael Hechter and Indiana Univeristy professor and director of the Center for Research on Race and Ethnicity in Society (CRRES) Dina Okamoto, most countries “contain several culturally distinct groups whose language, religion, tradition, and historical experiences are not shared and often are at odds with one another.” Michael Hechter and Dina Okamoto, “Political Consequences of Minority Group Formation,” Annual Review of Political Science 4, no. 1 (June 2001): 189–215. Civil rights function in society based on how the majority interacts with the minority—who gets to decide whose rights are protected, and how those protections are enforced? These determinations shape which freedoms and opportunities are reserved for the majority and which are also granted to and protected for the minority. The reality is that those in the political majority use their power to secure the best outcomes for themselves. Those enjoying majority group membership often use their influence on elections to define the parameters of the majority group—who will lead, and how will they use the power they have been given? Majority and Minority Political Cultures As discussed in Chapter 6: The Fundamentals of Group Political Activity , each country, along with the subnational states within it, has its own unique political culture —the ways in which traditions and cultural values create that country’s specific political system. A country’s particular combination of history, geography, religious practices, conflict, and other identities contributes to creating its specific political culture. Political culture plays an important role in determining which civil rights the country protects and how well it protects them, and those with the most power are most able to influence the culture. Consider Qatar, a Muslim-majority, petroleum-exporting gulf monarchy known for providing the majority of its citizens with a high standard of living (but providing far less for the millions from mostly Asian and African countries who work in Qatar). Consistent with the country’s majority political culture, homosexuality is illegal in Qatar, and punishment for sodomy can range from flogging and imprisonment to death. Max Bearak and Darla Cameron, “Here Are the 10 Countries Where Homosexuality May Be Punished by Death,” Washington Post , June 16, 2016, https://www.washingtonpost.com/news/worldviews/wp/2016/06/13/here-are-the-10-countries-where-homosexuality-may-be-punished-by-death-2/. There are no legal protections for LGBTQ+ people. Qatar now faces the challenge of balancing its conservative political culture with its role as the 2022 host of the FIFA World Cup , during which thousands of people with cultural values that differ from the majority values in Qatar will visit the country. The Qatari government has released statements welcoming gay fans and ensuring their safety but explicitly discouraging public displays of affection and/or having sex. Patrick Kelleher, “Gay Fans Are Welcome at Qatar World Cup — Just as Long as They Don’t Have Sex,” Pink News, September 27, 2019, https://www.pinknews.co.uk/2019/09/27/qatar-world-cup-2022-fifa-anti-gay-sex-homosexuality/. While many of the people visiting Qatar for the World Cup will be coming from countries where the political culture is very different from the political culture in Qatar, attitudes toward LGBTQ+ individuals in those countries—like Germany, England, Croatia, and South Korea—were not always so tolerant. Political cultures can change, often through a combination of the work of people in nongovernment groups and movements within government institutions, and this change can affect civil rights protections. Political Culture and Civil Rights Change One of the biggest changes in civil rights policy in the United States came in 2015 when, in Obergefell v. Hodges , the Supreme Court struck down state laws prohibiting same-sex marriage . The ruling came after decades of hard work to change the political culture of the United States to one that would recognize and protect the rights of LGBTQ+ individuals. For most of American history, same-sex couples were denied the right to marry. The Supreme Court ruling that effectively secured the right to marry for same-sex couples was the culmination of over 50 years of organizing, protests, and lobbying. Revelers hold a giant rainbow flag outside the United States Supreme Court to celebrate the decision in Obergefell v. Hodges , which declared that the US Constitution guarantees same-sex couples the right to marry. (credit: “DSC_0135” by Jordan Uhl/Flickr, CC BY 2.0) According to John Kowal of the Brennan Center for Justice at New York University Law School, the push to change federal denial of marriage rights to same-sex couples began in earnest during the 1996 presidential campaign in response to a court case in Hawaii where, in 1993, the state supreme court had ruled that denying same-sex couples the right to marry was in violation of the state constitution. John F. Kowal, “The Improbable Victory of Marriage Equality,” Brennan Center for Justice, September 29, 2015, https://www.brennancenter.org/our-work/analysis-opinion/improbable-victory-marriage-equality. The sharing of power between states and a national government, known as federalism , creates a unique culture that sets the United States apart from most of the world (for more on federalism, see Chapter 13: Governing Regimes ). While many other countries are organized along federal lines, including Brazil, Germany, India, Mexico, and Russia, among others, only the United States Constitution includes provisions that clarify states’ rights compared to the national government (9th and 10th Amendments). Since states can create their own statutes and policies as long as they are not in conflict with the US Constitution or congressional law, each of the United States can, theoretically, enact policies that are in direct contrast with a bordering state’s policies. That each state and region of the country has a different political culture and different people in power became all too clear in the 2000s and 2010s, when most states passed their own laws on same-sex marriage, resulting in a hodge-podge of laws and policies where, for example, same-sex marriage was banned in Texas but legal in neighboring Oklahoma. Greg Zwiers, “LGBT Laws Differ from State to State,” Iowa State Daily , October 17, 2014, https://www.iowastatedaily.com/news/student_life/article_e86cc4f4-5592-11e4-9ff3-2349dcd05dab.html. Though the issue of sex-based discrimination and marriage rose to public prominence in Hawaii, LGBTQ+ and civil rights–related interest groups and lobbying were rippling across the country, resulting in citizen referenda, ballot propositions, legislation, and court decisions. Much of the momentum was driven by a combination of public and private advocacy work to change the national conversation on LGBTQ+ inclusion. Attitudes on the topic dovetailed generally with how people viewed homosexuality. “Fifty Years Since Stonewall: The Change in Public Opinion,” Roper Center for Public Opinion Research, 2019, https://ropercenter.cornell.edu/fifty-years-stonewall-change-public-opinion. In a 2004 national poll of Americans, less than 40 percent of respondents approved of same-sex marriage, but by 2019 that percentage had grown to more than 60 percent. “Attitudes on Same-Sex Marriage,” Pew Research Center, May 14, 2019, https://www.pewforum.org/fact-sheet/changing-attitudes-on-gay-marriage/. The AIDS epidemic moved from the margins to mainstream American life during the 1980s and 1990s, and media coverage of the epidemic was partially responsible for the shift in attitudes toward homosexuality. Representation in popular culture also played a role, with popular films and television shows like Philadelphia , Queer Eye, The L-Word , and Will & Grace featuring gay and lesbian characters and personalities. According to California State University professor Jeremiah Garretson , one major reason for the shift in acceptance of gay culture is that more Americans than ever know someone who identifies as lesbian or gay; “that increase in interpersonal contact is the major part of the reason attitude change has been so rapid,” Garretson said. John Wilkens, “What’s Behind the Gay Rights Attitude Shift?” The San Diego Union-Tribune , April 4, 2015, https://www.sandiegouniontribune.com/sdut-public-attitudes-gay-rights-2015apr04-story.html. In November 2003, Massachusetts became the first US state to legalize same-sex marriage after the state supreme court found that prohibiting same-sex couples from being able to marry violated the state constitution. Kowal, “Improbable Victory.” In its landmark 2015 decision, the United States Supreme Court declared that “the right to marry is a fundamental right inherent in the liberty of the person . . . couples of the same-sex may not be deprived of that right and that liberty. Same-sex couples may exercise the fundamental right to marry.” Obergefell v. Hodges, 576 U.S. ___ (2015), https://www.oyez.org/cases/2014/14-556. The violation of a group’s civil rights demands action to ensure equal treatment. In the case of same-sex marriage in the United States, it was only after years of people engaging in activism and bringing lawsuits that public opinion and government policies changed. Wherever political minorities lack adequate representation in elected office, they must live with the decisions of the majority, which may not take into account minority concerns. Majority theory, or majoritarianism , describes the roles and responsibilities of the majority and who has the power to shape the rules of government and society. Oxford Reference Online , “Majoritarianism,” https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100127772. Those who have the power to shape society can use that power to help recognize and protect minority rights; however, those who have power tend to use the tools at their disposal to keep it, and keeping it may mean suppressing minorities. For example, when the majority elects legislators who represent them, those legislators tend to enact policies that secure the majority’s status and often deny opportunities to minority group members. These policies can make it difficult for those in the minority to participate in the political process itself—for example, by voting or running for public office. In this way, the majority ensures its ongoing power. Political culture refers to the ways in which a country’s traditions and cultural values create that country’s specific political system. A country’s political culture, the implementation of its constitution, and power dynamics between majority and minority groups all affect civil rights. Changes in a country’s political culture can impact civil rights. Majorities have the power to either protect or discriminate against the minorities in a society. The majority can have a major influence on whether the government fulfills its obligation to affirm and protect civil rights. majoritarianism a feature of government that emphasizes the role of majorities and how the strength of the majority will shapes political decisions, outcomes, and division of resources Obergefell v. Hodges a landmark Supreme Court ruling that ended state bans on same-sex marriage equality and recognized the right to marriage as a federal right for same-sex couples political culture the idea that a country’s politics and policies derive in large part from its unique political culture, which is itself a product of history, geography, religion, and other characteristics political minority any group of individuals sharing some characteristic(s) or trait(s) who have relatively less power than and whose rights may not be protected automatically by a majority group in power", "section": "Political Culture and Majority-Minority Relations", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Civil Rights Abuses Learning Outcomes By the end of this section, you will be able to: Analyze the ways in which majority groups have judged the perceived threats posed by minority groups. Describe the range of methods majority groups in the United States and around the world have used to oppress minority groups. Discuss the relationship between the relative power of majorities and minorities and the government’s level of responsiveness to their desires. Identify current and historical examples of systemic and temporary civil rights abuses in the United States and around the world. Those in the majority are able to influence the creation of public policy that affects both those in the majority and those in the minority. While majoritarian politics might seem democratic—the word democracy comes from the Greek demos and kratos , which translates to “the people rule”—world politics and history have shown how easily majoritarian politics can create hardship, discrimination, and a loss of civil rights for groups that lack the political, numerical, cultural, or religious influence of majority groups. LGBTQ+ Discrimination People who identify as LGBTQ+ experience discrimination and degradation from majorities who see them as not fitting into traditional conceptions of heterosexual gender roles. As discussed above, political culture can change, but despite historic achievements, many countries continue to deny LGBTQ+ couples the same rights afforded to heterosexual “straight” couples. For example, same-sex couples are not permitted to adopt children (or no law allows for this) in most countries. “Chart: Where Adoption Is Illegal for LGBT+ Couples,” Statista, March 8, 2018, https://www.statista.com/chart/13179/where-adoption-is-illegal-for-lgbt-couples/. The United States Supreme Court did not affirm the right of same-sex couples to adopt until 2017. Pavan v. Smith, 582 U.S. __ (2017), https://www.oyez.org/cases/2016/16-992. Most European countries have legalized same-sex adoption, but it is considered legal in few other countries around the world. In 2002, South Africa became the first country in Africa to allow same-sex couples to adopt, “Lesbians, Gays, Can Adopt Children,” News 24 , September 10, 2002, https://www.news24.com/News24/Lesbians-gays-can-adopt-children-20020910. but LGBTQ+ activists in the country still feel unsafe due to widespread discrimination. Kimon de Greef, “The Unfulfilled Promise of LGBTQ Rights in South Africa,” The Atlantic , July 2, 2019, https://www.theatlantic.com/international/archive/2019/07/southafrica-lgbtq-rights/593050/. As of December 2019, only 32 countries, about 16 percent of all the countries in the world, allowed same-sex couples to adopt. (credit: ILGA; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Voter Suppression One of the ways those in power can seek to remain in power is by controlling whose voices can be heard and counted in elections. The failure of federal and state governments to enforce voting rights protections in the United States provides another troubling example of majoritarianism . Despite the ratification of the 13th Amendment in 1865 and the 19th Amendment in 1920, many American states continued to limit suffrage on the basis of sex and race. Policy makers justified denying voting and other political rights to Black Americans and women on the grounds that their participation would diminish the overall quality of the electorate because women Marina Koren, “Why Men Thought Women Weren’t Made to Vote,” The Atlantic , July 11, 2019, https://www.theatlantic.com/science/archive/2019/07/womens-suffrage-nineteenth-amendment-pseudoscience/593710/. and Black Americans Danyelle Solomon, Connor Maxwell, and Abril Castro, “Systematic Inequality and American Democracy,” Center for American Progress, August 7, 2019, https://www.americanprogress.org/issues/race/reports/2019/08/07/473003/systematic-inequality-american-democracy/. were not deemed qualified to engage in the political process. Though constitutional amendments protected the right to vote for Black Americans, John G. Stewart, “Why the Civil Rights Act of 1964 Really Mattered,” Washingtonian , June 4, 2014, https://www.washingtonian.com/2014/06/04/why-the-civil-rights-act-of-1964-really-mattered/. American states and their White-majority (often all-White) legislatures found ways to limit Black political participation including literacy tests, poll taxes, and White-only primaries. These efforts are referred to as Jim Crow laws. The Jim Crow era, a period during which laws perpetuating institutional racism and the denial of Black Americans’ constitutional rights were enforced across the southeastern United States, lasted from 1877 to about 1965. Voter suppression continues to be a major problem in the United States. The Voting Rights Alliance documents 61 forms of voter suppression that range from limits on early voting, stricter requirements for voter identification (including not allowing Native American tribal IDs), and fewer opportunities for same-day registration to polling site discrimination, gerrymandering, and employers not giving time off from work for voting. Barbara Arnwine, “61 Forms of Voter Suppression,” The Voting Rights Alliance, 2019, https://www.votingrightsalliance.org/forms-of-voter-suppression. Voter suppression in the United States today is not just one event, but a slow accrual of opposition to the Voting Rights Act (VRA) of 1965 and its many subsequent renewals in Congress. One of the provisions of the original VRA was that more than a dozen states that had low voter turnout in the 1964 election and that had historically limited voting access to minorities had to seek federal approval of any changes in their voting laws. Their track records were poor, and the state governments had not shown the ability to oversee their own elections in ways that aligned with the protections in the US Constitution. States had challenged these “pre-clearances” before, but for years the VRA remained resilient. Jeremy Amar-Dolan and Zachary Zemlin, “Shelby County v. Holder,” Legal Information Institute, Cornell Law School, https://www.law.cornell.edu/supct/cert/12-96. The VRA was reauthorized with overwhelming support from congresspersons across the political spectrum as recently as 2006, when even the staunchest conservatives in the Senate joined their colleagues in a unanimous vote. However, after the election of Barack Obama in 2010, several states started to push against the VRA by making voting much more difficult. Ari Berman writes in The Nation , “After the 2010 election, GOP officials approved laws in more than a dozen states to restrict the right to vote by requiring proof of citizenship to register to vote, shutting down voter registration drives, curtailing early voting, disenfranchising ex-felons and mandating government-issued photo IDs to cast a ballot—all of which disproportionately target communities of color.” Ari Berman, “Why Are Conservatives Trying to Destroy the Voting Rights Act?” The Nation , February 6, 2013, https://www.thenation.com/article/archive/why-are-conservatives-trying-destroy-voting-rights-act/. Supporters of the For the People Act to expand voters’ rights rally on the steps of the US Capitol Building in March 2021. (credit: “For the People Act rally in Washington - 2021-03-05” by Terri Sewell/Wikimedia Commons, Public Domain) Then, the Supreme Court ruled in Shelby County v. Holder (2013) that the historic provisions of the Voting Rights Act no longer applied 50 years after the civil rights movement and that Congress had overreached in 2006 when it reauthorized the VRA for 25 years. Many conservatives saw the decision as a win for states’ rights, while others saw it as a major step back on civil rights. Almost immediately, Republican-majority legislatures across the country passed laws to limit voters’ rights and access to the polls. Many of those who support stricter voting laws hold that they are necessary to prevent voter fraud. After the 2020 election, former President Donald Trump repeatedly insisted that the election had been rigged and that he was the actual winner. Adam Serwer, “If You Didn’t Vote for Trump, Your Vote Is Fraudulent,” The Atlantic , December 10, 2020, https://www.theatlantic.com/ideas/archive/2020/12/voter-fraud/617354/. Despite no confirmed evidence of voter fraud, his supporters participated in small armed protests around the country, culminating in the January 6 insurrection in Washington, DC. Many participants accused the federal and state governments of being complicit in a massive election cover-up. The Brennan Center investigated all reports of voter fraud in the United States and found comprehensively “that fraud is very rare, voter impersonation is virtually nonexistent, and many instances of alleged fraud are, in fact, mistakes by voters or administrators. The same is true for mail ballots , which are secure and essential to holding a safe election amid the coronavirus pandemic.” “The Myth of Voter Fraud,” Brennan Center for Justice, 2021, https://www.brennancenter.org/issues/ensure-every-american-can-vote/vote-suppression/myth-voter-fraud. Still, between January 1 and December 7, 2021, at least 19 states had passed 34 laws restricting voting access, and close to 450 bills with provisions to restrict voting access had been introduced in all but one of the 50 states. “Voting Laws Roundup: December 2021,” Brennan Center for Justice, last updated January 12, 2022, https://www.brennancenter.org/our-work/research-reports/voting-laws-roundup-december-2021. Ethnic and Religious Discrimination Participation and full inclusion in a society may take different forms. Sri Lanka’s constitution references the right of all its citizens to practice the religion of their choice, but the constitution does emphasize Buddhism as the majority religion. This creates a situation effectively enabling a religious majority to maintain its power through the constitution. According to Chapter 2 of its constitution, “The Republic of Sri Lanka shall give to Buddhism the foremost place and accordingly it shall be the duty of the State to protect and foster the Buddha Sasana.” Sri Lanka’s Constitution of 1978 with Amendments through 2015 (Getzville, NY: William S. Hein & Co.), https://www.constituteproject.org/constitution/Sri_Lanka_2015.pdf?lang=en. Every Sri Lankan president and prime minister has been Buddhist, despite the presence of strong and vocal Muslim and Hindu minorities. “Sri Lanka Says Buddhism Will Remain Paramount in New Charter,” Reuters , July 12, 2017, https://www.reuters.com/article/us-sri-lanka-politics/sri-lanka-says-buddhism-will-remain-paramount-in-new-charter-idUSKBN19X1TR. It is important to note here that religion and religious freedom, particularly in the American context, are civil liberties because they are protected by the Free Establishment Clause of the 1st Amendment . However, when a government policy favors one religious community over another or limits the collective religious freedom of an entire group, it becomes a civil rights issue too. The kingdom of Bhutan conducts a 300-question happiness survey every five years, Julie McCarthy, “The Birthplace of ‘Gross National Happiness’ Is Growing a Bit Cynical,” NPR , February 12, 2018, https://www.npr.org/sections/parallels/2018/02/12/584481047/the-birthplace-of-gross-national-happiness-is-growing-a-bit-cynical. and since 1972, the kingdom has emphasized Gross National Happiness as a priority for the country’s people. “Bhutan’s Gross National Happiness Index,” Oxford Poverty and Human Development Initiative, https://ophi.org.uk/policy/gross-national-happiness-index/. But Bhutan is not a happy place for minorities like the Lhotshampa , or “people of the south.” The government, representing the interests of the majority, has forced this community of Nepali-speaking, majority Hindu people to speak the national language, Dzongkha, and to wear the national dress. Laws passed in 1977 and 1985 denied the Lhotshampa citizenship. “II. Background,” in “We Don’t Want to Be Refugees Again”: HRW Briefing Paper for the Fourteenth Ministerial Joint Committee of Bhutan and Nepal (New York: Human Rights Watch, May 19, 2003), https://www.hrw.org/legacy/backgrounder/wrd/refugees/refugees.pdf. The large-scale civic and social exclusion of the Lhotshampa led to a refugee crisis in the 1990s as the Lhotshampa were expelled from Bhutan, becoming stateless refugees. Shyam K. Sriram, “Of Acculturative Stress and Integration Distress: The Resettlement Challenges of Bhutanese Refugees in Metro Atlanta,” South Asian Diaspora 12, no. 1 (2020): 93–108. Members of the Lhotshampa refugee community in Charlotte, North Carolina, gather to share their common culture. (credit: “Singing at home24” by Kevin Beaty/Flickr, CC BY 2.0) Civil Rights Abuses toward Native Americans The centuries-long denial of civil rights to the original Indigenous people in the United States is a prime example of how a government can act in the interests of protecting a majority while simultaneously failing to protect and violating the civil rights of a particular group. Even the term “Native American” is a blanket category that contains hundreds of tribes, many with their own distinct languages. Between 1776 and 1887, the United States federal government seized over 1.5 billion acres of Indigenous land, which covered over three-fourths of what is now called the continental United States. Rebecca Onion and Claudio Saunt, “Interactive Time-Lapse Map Shows How the US Took More Than 1.5 Billion Acres from Native Americans,” Slate (The Vault), June 17, 2014, http://www.slate.com/blogs/the_vault/2014/06/17/interactive_map_loss_of_indian_land.html. The federal government has directly participated in civil rights abuses against Native Americans, frequently failing to honor the 374 treaties with various tribes and nations signed and ratified in the 18th and 19th centuries. “IDA Treaties Explorer,” The Indigenous Digital Archive, https://digitreaties.org/treaties/treaties/. Treaties are legally binding, and the government’s failure to honor the treaties constitutes a breach of the rule of law. Kevin Gover, “Nation to Nation: Treaties between the United States and American Indian Nations,” American Indian 15, no. 2 (Summer/Fall 2014), https://www.americanindianmagazine.org/story/nation-nation-treaties-between-united-states-and-american-indian-nations. This failure has resulted in lost income, dignity, and traditional ways of life for Indigenous peoples. The Invasion of America This video provides a time-lapse map of the US seizure of over 1.5 billion acres of land from Indigenous Americans. In 2020, the US Supreme Court ruled that much of eastern Oklahoma is tribal land of the Creek people and not under jurisdiction of the state government. Laura Wamsley, “Supreme Court Rules That About Half of Oklahoma Is Native American Land,” NPR , July 9, 2020, https://www.npr.org/2020/07/09/889562040/supreme-court-rules-that-about-half-of-oklahoma-is-indian-land. Many activists continue to fight for the return of sacred and tribal lands, including the Great Sioux Reservation, whose Black Hills are the site of Mount Rushmore, and the Southern Paiute, “whose territory once included the northern rim of the Grand Canyon.” Alleen Brown, “Half of Oklahoma Is ‘Indian Country.’ What If All Native Treaties Were Upheld?” The Intercept , July 17, 2020, https://theintercept.com/2020/07/17/mcgirt-v-oklahoma-indian-native-treaties/. Compounding the history of stolen land and broken treaties, generations of Indigenous American and Canadian culture and language were lost when the governments of the United States and Canada forcibly removed Indigenous children from their homes and sent them to “boarding schools” for religious and cultural indoctrination. From 1860 to 1978, the US federal government, working with Christian-based organizations and churches, placed thousands of children into approximately 357 schools around the country, where the children were often victims of physical and sexual abuse. Mary Annette Pember, “Death by Civilization,” The Atlantic , March 8, 2019, https://www.theatlantic.com/education/archive/2019/03/traumatic-legacy-indian-boarding-schools/584293/. According to one report, 83 percent of all Indigenous school-age children in 1926 were in boarding schools. David W. Adams, Education for Extinction (Lawrence, KS: University of Kansas Press, 1995), 27. A national movement among Native groups is working to record, teach, and preserve Indigenous languages after nearly 65 of their traditional languages have already been classified as extinct. Lillian Sparks, “Preserving Native Languages: No Time to Waste,” Administration for Native Americans, (US Department of Health and Human Services), https://www.acf.hhs.gov/ana/preserving-native-languages-article. For decades, Native American activists have also expressed horror and outrage over the disappearance, kidnapping, and trafficking of Indigenous women—one of many civil rights issues affecting Native Americans exponentially more than other groups. According to the organization Native Hope, the loss of land pushes Native Americans to live off reservations where they have little to no tribal support and exist at the margins of non-Indigenous society. Federal programs like the National Missing and Unidentified Persons System (NamUs) do not account for all cases, creating huge discrepancies in the number of women reported missing versus actually missing. “Facts about Missing and Murdered Indigenous Women,” Native Hope, https://www.nativehope.org/en-us/understanding-the-issue-of-missing-and-murdered-indigenous-women. Statistics from the Centers for Disease Control and Prevention report that “from 1999 to 2019, homicide was the third-leading cause of death among American Indian and Alaska Native women and girls ages 12 to 30.” Devon Haynie, “How States Are Addressing Violence against Indigenous Women,” US News & World Report , November 1, 2021, https://www.usnews.com/news/best-states/articles/2021-11-01/how-states-are-addressing-the-missing-indigenous-women-crisis. Indigenous women receive unequal protection and representation in the media. Whereas the country is often obsessed with stories about true crime and missing White women, there has historically been less attention paid to missing and kidnapped women of color. Helen Rosner, “The Long American History of ‘Missing White Woman Syndrome,’” The New Yorker , October 8, 2021, https://www.newyorker.com/news/q-and-a/the-long-american-history-of-missing-white-woman-syndrome. Japanese American Internment On December 7, 1941, Japanese armed forces attacked the US naval base at Pearl Harbor in the US territory of Hawaii. President Franklin D. Roosevelt asked Congress to declare war the next day, and on December 8, 1941, the US entered World War II. Two months later, the president signed Executive Order 9066, which gave the Secretary of War the power to “prescribe military areas . . . from which any or all persons may be excluded, and with respect to which, the right of any person to enter, remain in, or leave shall be subject to whatever restrictions the Secretary of War or the appropriate Military Commander may impose in his discretion.” Exec. Order No. 9066, 7 Fed. Reg. 38 (Feb. 25, 1942). https://www.archives.gov/historical-docs/todays-doc/?dod-date=219. What transpired was the forced internment of Japanese Americans, one of the most profound and consequential episodes of civil rights infringement in US history. Japanese Americans arrive at Santa Anita Assembly Center in California in 1942 during the first phase of relocation and internment. (credit: “Arcadia, California. Evacuees of Japanese ancestry arriving at the Santa Anita Assembly center” by Clem Albers/Department of the Interior/National Archives, Public Domain) This executive order imposed curfews and resulted in the relocation of approximately 120,000 US citizens of Japanese descent to internment camps. The executive order did not mention any racial or ethnic category of individual. (“A Controversial Executive Order Leads to Internment Camps,” Constitution Daily, February 19, 2021, https://constitutioncenter.org/blog/a-controversial-order-leads-to-internment-camps.). The largest share of those subjected to Executive Order 9066 were Japanese Americans, although individuals of German and Italian descent were also affected. In signing this order, President Roosevelt codified the widespread loss of civil rights for Japanese Americans. Under the implementation of the executive order, Americans of Japanese descent were determined to be those who had at least one parent or grandparent who was Japanese. Most of the relocation centers were located in California and other West Coast states because that is where the majority of Japanese Americans lived. Approximately 127,000 individuals—of which about two-thirds, or 84,000, were natural-born US citizens, most of whom had never been to Japan—were placed into relocation camps. Because the Asian Exclusion Act of 1924 forbade Japanese immigrants from securing citizenship, about one-third of those relocated were resident aliens. War Relocation Authority, Japanese-Americans in Relocation Centers, March 1943 , The War Relocation Authority & the Incarceration of Japanese-Americans During World War II Collection, Harry S. Truman Library and Museum, https://www.trumanlibrary.gov/library/research-files/report-japanese-americans-relocation-centers-march-1943-papers-philleo-nash?documentid=NA&pagenumber=1. The US Supreme Court reinforced the motives behind President Roosevelt’s executive order. Individuals living in the United States, whether or not they were citizens and whether they were born in Japan or in the United States, were presumed to be loyal to Japan during World War II. Their loyalties to the United States were questioned because of their ancestry. The Court heard two cases focusing on the constitutionality of Executive Order 9066. In the earlier case, Hirabayashi v. United States (1943), Hirabayashi v. United States, 320 U.S. 81 (1943), https://www.oyez.org/cases/1940-1955/320us81. the Court ruled in a unanimous decision that a curfew requiring US citizens of Japanese descent to be in their homes between 8 p.m. and 6 a.m. (which affected their ability to work, among other concerns) did not violate the 5th Amendment’s Due Process clause. In the later case, Korematsu v. United States (1944), the Supreme Court ruled in a 6–3 decision that Fred Korematsu’s arrest for violating an exclusion order did not violate his due process rights. As the Court noted in its majority opinion: “... all legal restrictions which curtail the civil rights of a single racial group are immediately suspect. That is not to say that all such restrictions are unconstitutional. It is to say that courts must subject them to the most rigid scrutiny. Pressing public necessity may sometimes justify the existence of such restrictions; racial antagonism never can.” Korematsu v. United States, 323 U.S. 214 (1944). https://www.oyez.org/cases/1940-1955/323us214. The US Supreme Court’s interpretation of the 5th Amendment Due Process clause in the Hirabayashi and Korematsu cases contributed to institutionalized discrimination against US citizens based on membership in an ethnic group. In accepting the executive branch’s implementation of Executive Order 9066, the Court determined that civil rights could be denied to US citizens based on the executive branch’s definition of membership in a specified ethnic group. Eighty years later, we continue to reflect on the indignities of internment, on how the president of the United States ordered this violation of the rights of thousands of Americans based on the perceived threat that some in power believed those Americans represented merely by virtue of their race, and on how the Supreme Court affirmed his actions. The injustice of internment illustrates a failure of checks and balances and of the separation of powers, which normally form the bedrock of American political culture, in the face of an acute and irrational fear of fellow human beings. George Takei’s 2014 TED Talk: “Why I Love a Country that Once Betrayed Me” Actor George Takei talks about his childhood experience as a Japanese American during Japanese internment in World War II. Slavery When the subject of slavery comes up in the United States, it is almost always in the context of what happened in the 19th century or in relation to President Lincoln. What many people do not realize is how pervasive slavery continues to be around the world. The International Labour Organization estimated that in 2016, 40.3 million people globally were bound in modern slavery, including 15.4 million in forced marriages. “Forced Labour, Modern Slavery, and Human Trafficking,” International Labor Organization, https://www.ilo.org/global/topics/forced-labour/lang—en/index.htm. According to Kevin Bales, professor of contemporary slavery at the University of Nottingham, the major components of slavery include “violence or its threat, loss of control over one’s life, obligation to another, lack of free movement and lack of payment.” As cited by Andrea Nicholson, Minh Dang, and Zoe Trodd, “A Full Freedom: Contemporary Survivors’ Definitions of Slavery,” Human Rights Law Review 18, no. 4 (2018): 689–704. Modern slavery takes many forms, including sex trafficking of adults and children, forced labor, domestic servitude, forced child labor, and the recruitment of child soldiers. “What Is Modern Slavery?” US Department of State, https://www.state.gov/what-is-modern-slavery/. According to the Global Slavery Index, while forced labor and slavery are often part of the production and manufacture of goods, the responsibility to eradicate slavery falls on governments, businesses, and consumers. Their reporting indicates that only seven countries have taken a stance on fighting slavery among labor practices: the United States, the United Kingdom, Italy, Germany, France, China, and Brazil. Global Slavery Index, 2018, https://www.globalslaveryindex.org/. The challenge of fighting slavery is compounded by the fact that slavery is still not illegal, as per constitutions or laws, in many countries, including Canada and Sweden. Katarina Schwarz and Jean Allain, “Slavery Is Not a Crime in Almost Half the Countries of the World—New Research,” The Conversation , February 13, 2020, https://theconversation.com/slavery-is-not-a-crime-in-almost-half-the-countries-of-the-world-new-research-115596. For their work in drawing global attention to the sexual enslavement of women and the use of rape as a weapon of war, human rights activists Nadia Murad Nadia’s Initiative, https://www.nadiasinitiative.org/. and Dr. Denis Mukwege “Sexual Violence as a Weapon of War,” Dr. Denise Mukwege Foundation, https://www.mukwegefoundation.org/the-problem/rape-as-a-weapon-of-war/. were jointly awarded the 2018 Nobel Peace Prize. Both Murad and Mukwege waged very public and decisive battles to raise awareness for the civil rights abuses felt especially by women, whose bodies are often violated during battle and war. The Prize was a recognition of their work from outside the government to persuade governments to enact change and protect the civil rights and dignity of women. In her Nobel Prize speech, Murad, a member of the minority Iraqi Yazidi community, spoke of a global recognition of human rights: We celebrate these days the 70th anniversary of the Universal Declaration of Human Rights, which aims at preventing genocides and calls for the prosecution of their perpetrators. My community has been subjected to genocide for more than four years. The international community did nothing to deter it nor to stop it. It did not bring the perpetrators to justice. Other vulnerable communities have been subjected to ethnic cleansing, racism and identity change in plain sight of the international community. Nobel Peace Prize winners Nadia Murad (left) and Dr. Denis Mukwege (right) are joined by Austrian Foreign Minister Karin Kneissl (center). (credit: “Außenministerin Karin Kneissl trifft Friedensnobelpreisträger/in Denis Mukwege und Nadia Murad” by Bundesministeriums für europäische und internationale Angelegenheiten/Flickr, CC BY 2.0.) In subjugating women, children, or specific racial or ethnic groups, slavery maintains the power of some groups at the expense of others. Thus, slavery is not just a denial of civil liberties; its abuse and denial of equal treatment represent extreme civil rights violations. The same powerful groups that practice slavery often control the political institutions that should be preventing it, enabling the abuse and subjugation of entire segments of society. The United States’ experience with slavery and related racial discrimination demonstrates how majority and minority status are determined and how those determinations affect who holds power. At the time of the writing of the Declaration of Independence, enslaved people from Africa comprised a large share of the population of what would soon become the United States. Of the 56 signatories of the US Declaration of Independence, it is estimated that as many as 41, including Thomas Jefferson , Benjamin Franklin , and John Hancock , as well as most signatories from the South, were slaveholders. Colman Andrews, “These Are the 56 People Who Signed the Declaration of Independence,” USA Today , July 4, 2019, https://www.usatoday.com/story/money/2019/07/03/july-4th-the-56-people-who-signed-the-declaration-of-independence/39636971/. These same persons who claimed that the government had a responsibility to guarantee “life, liberty, and the pursuit of happiness” supported slavery as an institution. Upon declaring their independence, the founders set to work creating a government. The government they created concentrated power at the state level. The Articles of Confederation , the first constitution, allowed slavery to flourish in the southern states because each state held so much power to shape its own affairs. However, it was the Three-Fifths Compromise contained in the second US Constitution that codified how the White American majority saw Black bodies—as objects that counted toward population, but not as people with their own rights. This preserved the power of the majority and oppressed those designated as a minority. According to Article I, Section 2: \"Representatives and direct Taxes shall be apportioned among the several States which may be included within this Union, according to their respective Numbers, which shall be determined by adding to the whole Number of free Persons, including those bound to Service for a Term of Years, and excluding Indians not taxed, three fifths of all other Persons.\" This constitutional provision differentiated between “free persons” and “all other persons” (enslaved people). Each enslaved person counted as three-fifths of a person for representation purposes, although their enslaved status meant they did not have civil rights, including the right to select those representatives. Though the language of the Three-Fifths Compromise remains in the Constitution, Richard Albert, “Time to Update the Language of the Constitution,” The Hill , June 30, 2020, https://thehill.com/opinion/white-house/505071-time-to-update-the-language-of-the-constitution. the ratification of the 13th Amendment in 1865 nullified slavery and the idea of representation of enslaved people. Less discussed is how the ambiguous language of the 13th Amendment may have ended slavery but laid the groundwork for the mass incarceration of African Americans. Students should watch Ana DuVernay’s 2016 documentary 13th to understand this issue. Like other major civil rights changes, the nullification of slavery in the United States came only after prolonged and intense struggle and, in the case of slavery, civil war. Changes in a country’s constitution in the form of constitutional amendments correspond with changes in political culture, and changes in political culture can be slow to evolve. Though the 13th Amendment removed its constitutional force, the legacy of the Three-Fifths Compromise goes on. The system it instituted affects the way Americans perceive and receive representation in Congress depending on where they live, Paul Finkelman, “Three-Fifths Clause: Why Its Taint Persists,” The Root , February 26, 2013, https://www.theroot.com/three-fifths-clause-why-its-taint-persists-1790895387. and the US Census still counts “persons” and not citizens. Derek Litvak, “The Census and Slavery: Why We Count People, Not Citizens,” Chicago Sun Times , July 1, 2019, https://chicago.suntimes.com/2019/7/1/20678047/census-three-fifths-compromise-slavery-racism-trump. Majorities have historically abused the civil rights of numerous minority groups, including LGBTQ+ persons, persons with disabilities, people of color, women, and religious and ethnic minorities, among others. Civil rights abuses have taken many forms including denial of equal protection to specific groups and the creation of laws or constitutional provisions to protect certain groups in the majority while simultaneously denying rights to political minorities. Most countries do not allow LGBTQ+ persons to adopt. The United States has limited voting access for millions of Black people despite the presence of legal and constitutional provisions that allegedly do not restrict suffrage. Native Americans have been denied due process and equal protection for over 200 years. They have suffered the loss of much of their tribal land and the forced removal of children into government-run indoctrination schools. During World War II, the US government forcibly relocated over 100,000 Japanese Americans along the West Coast into detention camps between 1942 and 1945. 13th Amendment the first new amendment to the US Constitution after the Civil War; made slavery and involuntary servitude unconstitutional democracy a system of government where power is derived from the political participation of citizens and/or residents Korematsu v. United States a landmark Supreme Court decision that supported the wartime relocation and incarceration of Japanese Americans despite many being American citizens by birth LGBTQ+ an acronym for lesbian, gay, bisexual, transgender, queer/questioning, and other identities (including intersex and asexual) Three-Fifths Compromise a component of the original United States Constitution that allowed enslaved people to count toward political representation according to the formula that one slave was equal to three-fifths of a free White person", "section": "Civil Rights Abuses", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Civil Rights Movements Learning Outcomes By the end of this section, you will be able to: Discuss the methods marginalized groups use to fight for civil rights protections. Compare current and historical examples of civil rights movements in the United States and around the world. Analyze the ways in which marginalized groups have sought to gain and mobilize allies among more powerful segments of society. Compared to other types of governments, democracies are fundamentally distinct in how they allow citizens to take an active role. Forms of political participation include boycotts, communicating with legislators, displaying signs, donating to candidates and campaigns, voting, running for office, volunteering in civic organizations, and participating in rallies and protests. (For more on political participation, see Chapter 5: Political Participation and Public Opinion and Chapter 8: Interest Groups, Political Parties, and Elections .) Historically, citizens (and noncitizens in some situations) have used various forms of participation to raise awareness of problems in the hopes of influencing elected officials to seek public policy solutions to these problems in the form of statutes and laws. Civil rights groups and social movements have emerged in response to conditions or events in which minority group members were targeted and subjected to discrimination and violence because of their minority group membership. Some of the most significant civil rights victories globally started from humble beginnings but turned into movements that galvanized millions. How Personal Responsibility Shapes Civil Rights A Protestor Confronts a Line of Chinese Armored Tanks in Tiananmen Square, June 5, 1989 In this video clip, a lone protester confronts a line of advancing tanks in Tiananmen Square in Beijing, China, on June 5, 1989. As you read through this chapter, you may be struck by how many of the events that have brought change started with the action of one or two individuals. What would have happened if these individuals had not drawn attention to what they saw as the unethical, immoral, or unequal treatment of certain groups? Whether explicitly or subconsciously, these individuals realized it was up to them to take personal responsibility. They understood that they had to try to make a difference through some form of action, using whatever means they had, and that the action they were going to take was an ethical response to what they viewed as an unjust situation. Many people see things around them that they disagree with or that they feel are wrong. However, they may not believe that they as individuals can make a difference, or they are unsure what actions they as individuals can take that would make a difference. Whenever you find yourself in a situation where you believe something wrong is occurring—at work, in school, or as a part of an extracurricular organization—remember that the actions of individuals can make a difference. From Individual to Group Action In 1848, Henry David Thoreau wrote an essay titled Civil Disobedience inspired by his public refusal to pay a poll tax, which landed him in jail. Liberal political philosopher John Rawls defines civil disobedience as a “public, nonviolent, conscientious yet political act contrary to law usually done with the aim of bringing about a change in the law or policies of the government.” Candice Delmas and Kimberley Brownlee, “Civil Disobedience,” in Stanford Encyclopedia of Philosophy , ed. Edward N. Zalta, revised June 2, 2021, https://plato.stanford.edu/entries/civil-disobedience/; John Rawls, A Theory of Justice (Cambridge, Massachusetts: The Belknap Press of Harvard University Press, 1971), 320. Civil Disobedience English actor Stephen Fry narrates this explanation and brief history of civil disobedience. Thoreau’s Civil Disobedience influenced the political attitudes and subsequent activism of M. K. “Mahatma” Gandhi, G. Hendrick, “The Influence of Thoreau’s ‘Civil Disobedience’ on Gandhi’s Satyagraha,” New England Quarterly (1956): 462–471. Dr. Martin Luther King Jr., Brent Powell, “Henry David Thoreau, Martin Luther King Jr., and the American Tradition of Protest,” OAH Magazine of History 9, no. 2 (1995): 26–29. and other writers and reactionaries like Emma Goldman, Upton Sinclair, Leo Tolstoy, and Marcel Proust. Bob Pepperman Taylor, The Routledge Guidebook to Thoreau’s Civil Disobedience (New York: Routledge, 2014). In May 2016, more than 3,500 European climate activists shut down the open-cast coal mine Welzow-Süd in Germany and cut Europe’s tenth-largest emitter of CO 2 , the Schwarze Pumpe power plant, off from all coal supplies. In this act of civil disobedience, protesters entered the mine and blocked coal transport. (credit: “Ende Gelände: Day 1 - More than 3,500 people joined the action of civil disobedience” by Tim Wagner/Break Free/Flickr, CC BY 2.0) In 1892, Homer Plessy engaged in an act of civil disobedience when he challenged the discriminatory Louisiana Railway Accommodations Act (1890), which required all Louisiana passenger trains to provide “equal but separate accommodations for the white and colored races.” “The Louisiana Railway Accommodations Act,” Acts of 1890, No. 111, https://railroads.unl.edu/documents/view_document.php?id=rail.gen.0060. The act required railway staff to deny accommodation to those refusing to abide by the law. Plessy, who was one-eighth Black and “passed” as a White man, sat in the train car reserved for White passengers and announced to the conductor that he was Black. Though Plessy acted alone, he was part of an organization that called itself Comité des Citoyens (Committee of Citizens) , and he agreed to protest the law on their behalf. Plessy v. Ferguson, 163 U.S. 537 (1896), https://www.oyez.org/cases/1850-1900/163us537 After his actions resulted in his arrest, he had standing to challenge the law, and his case went before the US Supreme Court. The Court’s opinion in Plessy v. Ferguson (1896) reinforced the doctrine of “ separate but equal ,” which gave constitutional protection to race-based discrimination and supported the attitudes of the majority of Americans and elected officials at the time. This made it legal and constitutional for states to determine who was White and who was non-White and to decide whether and when White people and non-White people would be separated in public accommodations. It freed private businesses and institutions to practice race-based segregation without government interference. According to the Legal Information Institute , “The decision . . . was the first major inquiry in to the meaning of the equal-protection clause of the Fourteenth Amendment, which prohibits the states from denying “equal protection of the laws” to any person within their jurisdiction . . . Justice Brown stated that even though the Fourteenth Amendment intended to establish absolute equality for the races, separate treatment did not imply the inferiority of African Americans.” Krystyna Blokhina Gilkis, “Separate But Equal. I: Plessy v. Ferguson ,” Legal Information Institute, Cornell Law School, last updated January 2022, https://www.law.cornell.edu/wex/separate_but_equal. In the years following the Plessy decision, activist efforts grew to work for civil rights for African Americans. In 1909, Black leaders including W. E. B. DuBois and Ida B. Wells joined White advocates to form the National Association for the Advancement of Colored People (NAACP) . Organized actions gained traction with the work of groups like the Brotherhood of Sleeping Car Porters , a Black labor union founded in 1925, and later in the Congress of Racial Equality (CORE), a group that influenced and worked with civil rights leader Martin Luther King Jr. In the 1950s and 1960s, CORE pioneered the use of acts of civil disobedience like bus boycotts, marches, and sit-ins as a central mechanism of the civil rights movement. In the 1960s, the Student Nonviolent Coordinating Committee (SNCC) used nonviolent tactics to challenge segregation, register and mobilize Black voters, and seek equal protection and equal treatment for Black people and for women. Charlie Cobb, “The Story of SNCC,” https://snccdigital.org/inside-sncc/the-story-of-sncc/. In 1969, seventy years after Homer Plessy’s protest, Czech university student Jan Palach signed a suicide note with the fictional name “Torch Number 1” and set himself on fire to protest the Soviet invasion of Czechoslovakia and the growing despondency among Czech youth. Andy Kopsa, “Czechoslovakia’s Velvet Revolution Started 30 Years Ago—But It Was Decades in the Making,” TIME , November 16, 2019, https://time.com/5730106/velvet-revolution-history/. His suicide inspired further suicides and eventually led to a populist uprising known as the Velvet Revolution , which, as the Soviet Union was dissolving, culminated in Czechoslovakia’s independence in 1989 and its dissolution into the Czech Republic and Slovakia in 1993. Thousands gathered in Prague in 1989 as part of the Velvet Revolution. (credit: “1989 sametova revoluce 12” by Josef Šrámek ml./Wikimedia Commons, CC BY 4.0) In 2010, Mohamed Bouazizi died by suicide to protest police corruption and lack of economic opportunities in Tunisia. Thessa Lageman, “Remembering Mohamed Bouazizi: The Man Who Sparked the Arab Spring,” Al Jazeera , December 17, 2020, https://www.aljazeera.com/features/2020/12/17/remembering-mohamed-bouazizi-his-death-triggered-the-arab. As word spread of Bouazizi’s suicide, thousands gathered across the country, united by what they saw as a death in response to government corruption. News, photos, and videos of the Tunisian protests were quickly shared with people in other Arab countries, and what started as a demonstration in Tunisia engulfed the Middle East. Within months, four government leaders would resign in Egypt, Libya, Yemen, and Tunisia, ushering in what many saw as the beginning of more populist and democratic ways of life. Erin Blakemore, “What Was the Arab Spring and How Did It Spread?” National Geographic , March 29, 2019, https://www.nationalgeographic.com/culture/article/arab-spring-cause. This movement became known as the Arab Spring . Movements to Achieve African American Equality Most people associate the civil rights movement in the United States with Dr. Martin Luther King Jr. and the 1963 March on Washington , but the movement first began with a 1953 bus boycott aimed at desegregating public transportation in Baton Rouge, Louisiana. Aldon Morris, The Origins of the Civil Rights Movement: Black Communities Organizing for Change (New York: Simon & Schuster, 1986). This protest occurred two years before the lynching of 14-year-old Emmett Till for allegedly offending a White woman in a grocery store and the arrest of Rosa Parks that instigated the more famous Montgomery Bus Boycott , both of which occurred in 1955. Dr. Martin Luther King addressed a crowd of over 200,000 people gathered at the US Capitol during the August 28, 1963, March on Washington for Jobs and Freedom. (credit: “Martin Luther King Jr. National Historic Site” by National Park Service/Flickr, CC BY 2.0) The civil rights movement was also characterized by a push-and-pull between the American presidency, Congress, and the US Supreme Court. Each had a major role to play, and because of checks and balances, they all influenced the work of the other. Their work culminated in the passage of two of the most significant laws in United States history, the Civil Rights Act (1964) and the Voting Rights Act (1965). Both came about during an era of great public involvement and protest over the lack of civil rights afforded to African Americans. Despite newspaper, radio, and television coverage of events including protest marches that were met with violent police response, there was still considerable resistance among members of Congress, representatives, and senators to passing these comprehensive bills. President Lyndon Johnson Remarks on the 1964 Civil Rights Act Upon signing the 1964 Civil Rights Act, President Lyndon Johnson addressed the nation on national television. Black Lives Matter (BLM), a decentralized, grassroots movement focused on fighting police brutality and racially motivated violence, represents, for many, a new civil rights movement. While earlier civil rights movements focused on equal access to opportunities and public accommodations, according to its website, the mission of Black Lives Matter “is to eradicate white supremacy and build local power to intervene in violence inflicted on Black communities by the state and vigilantes.” “About,” Black Lives Matter, https://blacklivesmatter.com/about/. The movement has primarily used social media to organize marches, protests, and boycotts and to communicate with elected officials. Gabe Granillo, “The Role of Social Media in Social Movements,” Portland Monthly , June 10, 2021, https://www.pdxmonthly.com/news-and-city-life/2020/06/the-role-of-social-media-in-social-movements; Shira Ovide, “How Social Media Has Changed Civil Rights Protests,” The New York Times , last updated December 17, 2020, https://www.nytimes.com/2020/06/18/technology/social-media-protests.html. In this way it is markedly different from the civil rights movement of the 1950s and 1960s, which was primarily inspired and organized by political institutions Morris, Origins of the Civil Rights Movement . like African American churches Allison Calhoun-Brown, “Upon This Rock: The Black Church, Nonviolence, and the Civil Rights Movement,” PS: Political Science and Politics 33, no. 2 (2000): 169–174. and by student/youth-heavy organizations like the Congress of Racial Equality , Student Non-Violent Coordinating Committee , Julian Bond, “SNCC: What We Did,” SNCC Legacy Project, 2000, https://www.sncclegacyproject.org/we-were-sncc/what-we-did. and Southern Christian Leadership Conference (SCLC) . In its examination of the nature of systemic and institutional racism at the national, state, and local levels and on a global scale, Black Lives Matter represents to many the next stage in the effort to secure civil rights for Black people. Where past civil rights movements focused on the consequences of racism, BLM adds an examination of racism’s origins and the structural constructs like patriarchy, colorism, capitalism, and homophobia that create the conditions that allow for racist institutions. One of the biggest outcomes of BLM’s efforts has been the mainstreaming of the phrase “ structural racism .” As senior correspondent for TIME magazine Justin Worland notes, “once confined to academic and activist circles on the left of the spectrum, [the term structural racism] has become the phrase du jour.” Justin Worland, “America’s Long Overdue Awakening to Systemic Racism,” TIME , June 11, 2020, https://time.com/5851855/systemic-racism-america/. An estimated 15 to 26 million people in the United States participated in the summer 2020 Black Lives Matter protests, making them perhaps the largest social movement demonstration in United States history. Larry Buchanan, Quoctrung Bui, and Jugal K. Patel, “Black Lives Matter May Be the Largest Movement in US History,” The New York Times , July 3, 2020, https://www.nytimes.com/interactive/2020/07/03/us/george-floyd-protests-crowd-size.html. It is difficult to compare the 2020 protests with other social movements and marches in the United States because most events take place on one day. The 2020 summer rallies, protests, and marches drew more participants than the combined attendance at the 1982 anti-nuclear march in New York City, the 2017 Women’s March , and the February 2003 nationwide protest against the war in Iraq. Leanna Garfield and Zoe Ettinger, “14 of the Biggest Marches and Protests in American History,” Business Insider, last updated June 1, 2020, https://www.businessinsider.com/largest-marches-us-history-2017-1. Protestors march through Minneapolis on November 15th, 2015, to protest the death of Jamar Clark, a Black man who was shot by police while handcuffed in police custody. (credit: “Black Lives Matter protest march” by Fibonacci Blue/Flickr, CC BY 2.0) Me Too One of the most remarkable social movements of the 21st century has been Me Too , a global effort that encourages people to speak out about their experiences of sexual harassment and assault and to publicly name their attackers. American activist Tarana Burke originally coined the phrase in 2006 in response to working with children of color who were victims of molestation and childhood sexual abuse. Tarana Burke, “History & Inception,” Me Too, https://metoomvmt.org/get-to-know-us/history-inception/. As she heard story after story of the horrors Black girls experienced, Burke was reminded of her own experience of rape at the age of seven and the shame she subsequently felt. She came up with the expression “Me Too” as a form of solidarity with the victims, particularly girls of color. Tonya Mosley, “‘Me Too’ Founder Tarana Burke Says Black Girls’ Trauma Shouldn’t Be Ignored,” NPR, September 29, 2021, https://www.npr.org/2021/09/29/1041362145/me-too-founder-tarana-burke-says-black-girls-trauma-shouldnt-be-ignored. Ten years later, in 2017, the movement exploded, primarily through the Twitter hashtag #MeToo, building an online community of millions of people, mostly women, who push not only for recognition of the generational trauma of sexual harassment, but also for immediate civil rights change. Sophia Gilbert, “The Movement of #MeToo,” The Atlantic, October 16, 2017, https://www.theatlantic.com/entertainment/archive/2017/10/the-movement-of-metoo/542979/. A woman carries a #MeToo sign during a protest. (credit: “Can You Hear Me Now? #MeToo” by Alec Perkins/Flickr, CC BY 2.0) Me Too movements have sprung up around the world, uniting people across the globe and across generations. The movement has sparked public outrage over the past untouchability of celebrities and public figures accused of sexual harassment like Bill Cosby, Harvey Weinstein, Matt Lauer, Larry Nassar, Louis C.K., Ghislaine Maxwell, Jeffrey Epstein, Prince Andrew, James Franco, Woody Allen, Bill Clinton, Al Franken, Kevin Spacey, and others whose cult of personality shielded them for years from criminal investigation or accountability. Gen Z has played a pivotal role in Me Too gaining momentum. As columnist David Bloom put it, “Youths are approaching power in new ways, wielding it collectively through social media and new vectors of influence . . . a self-organizing flash mob responding to a perceived problem or issue.” David Bloom, “How Gen Z and Millennials are Reshaping What Power Is, and What It Means for Brands,” Forbes , September 19, 2019, https://www.forbes.com/sites/dbloom/2019/09/12/how-gen-z-and-millennials-are-reshaping-what-power-is-and-what-it-means-for-brands/?sh=4e130b626d9f. According to Vox , because of the Me Too movement, there are now better formal procedures for victims of sexual assault to seek affordable legal representation, more workplace protections, and even new state laws to remove sexual harassment from nondisclosure agreements. Anna North, “7 Positive Changes That Have Come from the #MeToo Movement,” Vox , October 4, 2019, https://www.vox.com/identities/2019/10/4/20852639/me-too-movement-sexual-harassment-law-2019. In addition to working for this practical legal progress, Me Too activists strive to change fundamental perceptions of women. However, like other civil rights movements before it, Me Too has not had the same level of success everywhere, and there is still much work to be done. According to immigrant author and journalist Rituparna Chatterjee , “#MeToo stories are now a reminder of the feminist moment that our institutions sidestepped to avoid accountability. In India, women still have limited access to justice—unless their stories are used as trauma porn for the nation.” Rituparna Chatterjee, “Women Came Forward. Then a Chill Factor Set In,” The Washington Post , May 8, 2020, https://www.washingtonpost.com/opinions/2020/05/08/metoo-around-the-world/. Fundamentally, despite millions of men and women taking part in protests across the country, conceptions of women have not substantively changed in India in response to Me Too. The country has missed the moment, and even in countries that have made some progress, there is still work to do. Just as numerical majorities have power, large groups of people, including groups made up of minority individuals who have little power on their own, have achieved success when they came together to work for civil rights change. These groups have engaged in mass political participation in the form of civil disobedience, protest, marches, elections, and boycotts. Notable civil rights movements around the world include the American civil rights movement, the Velvet Revolution, the Arab Spring, Me Too, and Black Lives Matter. Arab Spring a series of citizen protests against the governments of Middle Eastern countries between 2010 and 2012 Black Lives Matter a civil rights movement founded in 2013 to create public awareness of and accountability for police misconduct in the deaths of Black people civil disobedience the nonviolent refusal to comply with a law or laws in protest of governmental policies Me Too a global civil rights movement publicizing endemic sexual harassment and sexual violence in order to raise awareness, empower those who have been affected, and instigate policy change Plessy v. Ferguson a landmark Supreme Court decision that denied equal access to African Americans and reinforced segregation between White people and Black people by allowing separate accommodations and access to housing, transportation, education, etc. political participation activities like voting, running for office, contributing to campaigns and parties, protesting, lobbying, attending political events, and other processes that allow residents and citizens of a country to be actively involved in their government separate but equal the idea, used to justify the segregation of Black people and White people in the United States from the late 19th century into the first half of the 20th century, that separate accommodations for individuals of different races can be equal; most often associated with Plessy v. Ferguson (1896) Velvet Revolution a 1989 nonviolent, primarily student-led civil rights movement in the former Czechoslovakia (now the Czech Republic and Slovakia) in response to communist rule", "section": "Civil Rights Movements", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Do Governments Bring About Civil Rights Change? Learning Outcomes By the end of this section, you will be able to: Integrate an understanding of racism and discrimination into your knowledge of government institutions. Illustrate how legislative, executive, and judicial power can be used to bring about civil rights policy change. Differentiate between formal and informal executive power and control. Discuss ways in which governments have attempted to make amends for past civil rights abuses. The emergence of social movements demanding political change and the extension of civil rights may help minority groups secure those rights, but it is the work and responsibility of political institutions to fully address past discrimination. Institutional Racism and Intersectionality When examining civil rights issues around the world as they pertain to race and ethnicity, it becomes apparent that the way many formal political institutions and branches of government—judicial, executive, legislative, and bureaucratic—are composed and the laws they create and enforce establish and advance institutional racism . Institutional racism refers to the racist laws and practices that are deeply embedded in a country’s institutions and that, because they are so embedded, have established norms that may make their racist nature harder for those in the majority to recognize. Sam Richards, “Institutional Racism in the Criminal Justice System,” SOC 119, Penn State University, September 18, 2019, https://www.youtube.com/watch?v=UESzUBPoTRA. According to Vanderbilt University, “Institutional racism is racism perpetrated by social and political institutions that have the power to affect large groups of people that belong to a racial group. It shows up in both formal and informal ways and in the systematic distribution of resources, power, and opportunity in our society.” “Day 8: Addressing the Four Levels of Racism—Institutional Racism (within and between Institutions and Systems of Power),” Diversity Recruitment Vanderbilt University, https://www.vanderbilt.edu/work-at-vanderbilt/diversitytraining/day8.php. Another way to think about this is that political institutions are responsible for making resources available to everyone fairly, and when that does not happen, these institutions operate in a way that is inequitable. Similarly, when a government does not do enough to make sure everyone in a society, country, or community has the same opportunities to succeed, that government is operating in a way that is inequitable. It is important to mention here that discrimination takes different forms and that these types can intersect in a way that makes it impossible to separate. For example, Black women in the United States have historically faced discrimination on the basis of sex and discrimination on the basis of race, but the two cannot be separated. According to Columbia Law School professor Kimberlé Crenshaw , who developed the concept of intersectionality , Black women are the product of their intersecting identities, and one must acknowledge their intersectional identities before thinking about solutions to help this unique group of people. If you add sexuality, skin complexion, language, disability, and other identities, you realize that identity is complex and often cannot be captured by civil rights laws that seek to address injustices against one group of people such as women only, Black women only, Black people only, etc. What Is Intersectionality? In this clip, The Advocate’s Ashley Jiang explains the origins and applications of the idea of intersectionality. Government institutions and the politicians who represent them—like legislators, judges, and prime ministers—play a major role in balancing the needs of majority and minority groups to enforce the most equitable set of laws. The majority uses its power to decide whose rights are protected. As the next section illustrates, institutional racism can be embedded in a country’s constitutionalism and political culture. Powerful political actors make decisions based on who should receive rights (and who should be denied them), and in doing so they normalize discrimination and the violation of the rights of marginalized groups. Legislative and Judicial Action In representative democracies or republics, where the people have the power to choose officials to represent their needs and wants, legislatures represent the national mood and the dominant political culture of the participating public. Around the world, legislatures and legislators are key to creating and passing legislation that either enshrines the marginalization of certain groups and the violations of their rights or that protects those groups. However, it is often the judicial system, and in particular the highest national court in a country, that can have a remarkable and lasting effect on civil rights. These judges or justices usually have lifetime tenure, which gives them the power to affect the direction of civil rights law for decades. Equal access to judicial and legislative action is key to securing civil rights protections. According to World Justice Project researchers Sarah Chamness Long and Alejandro Ponce , 1.5 billion people around the world live in countries that have the appropriate political institutions, but they “cannot obtain justice for civil, administrative, or criminal justice problems.” Long and Ponce call this inability “ the justice gap .” Sarah Chamness Long and Alejandro Ponce, “Measuring the Justice Gap: A People-Centered Assessment of Unmet Justice Needs Around the World,” World Justice Project, 2019, https://worldjusticeproject.org/our-work/research-and-data/access-justice/measuring-justice-gap. This “justice gap” is apparent in India, where, despite the promise of equal justice laid out in the Indian constitution, people have often been denied access to justice and due process. Article 39A of the Indian constitution specifies: “The State shall secure that the operation of the legal system promotes justice, on a basis of equal opportunity, and shall, in particular, provide free legal aid, by suitable legislation or schemes or in any other way, to ensure that opportunities for securing justice are not denied to any citizen by reason of economic or other disabilities.” India’s Constitution of 1949 with Amendments through 2015 (Getzville, NY: William S. Hein & Co.), https://www.constituteproject.org/constitution/India_2015.pdf?lang=en. In response to what many judges and justices felt was an absence of avenues for the public to seek justice for social and political issues, in the 1980s the Supreme Court of India instituted a process known as public interest litigation (PIL) by which any citizen of India could seek redress for grievances in the courts. In other words, any citizen could ask a court to decide a political or legal issue without needing a legislative response; anyone can approach the Supreme Court of India directly without introducing a lawsuit in a court of original jurisdiction and then appealing the verdict. This is very different from the judicial system in the United States, where only a lawsuit introduced in a state or lower federal court can be appealed all the way to the US Supreme Court (for a more detailed discussion, see Chapter 11: Courts and Law ). Mohammed Haris Usmani, “Public Interest Litigation: Its Origin and Meaning,” Legal Service India, 2018, https://www.legalserviceindia.com/article/l273-Public-Interest-Litigation.html. PIL takes away the common-law idea of standing to sue. As attorney Zachary Holladay writes: PIL allows for any individual who claims a violation of one of their fundamental rights, as enshrined in the Constitution, to bypass the local courts and appeal directly to one of the state’s High Courts or to the Supreme Court. The preferred remedy is often in the form of equitable relief, such as an injunction, to compel the government to take appropriate measures to redress violations of fundamental rights. Zachary Holladay, “Public Interest Litigation in India as a Paradigm for Developing Nations,” Indiana Journal of Global Legal Studies 19, no. 2 (2012): 555–573, 557. Thus, PIL allows marginalized groups, who often lack resources or are otherwise silenced, to seek justice. Similarly, Sierra Leone has improvised legal traditions to meet the civil rights and judicial needs of its citizens. According to a 2006 report, at that time, in the country of five million people, there were only 100 trained lawyers. Vivek Maru, Between Law and Society: Paralegals and the Provision of Primary Justice Services in Sierra Leone (New York: Open Society Justice Initiative, 2006), https://www.justiceinitiative.org/uploads/f65afb31-a77c-4a06-ab08-b4277d404f52/between-law-and-society-20100310.pdf. As a point of comparison, there were 1,327,910 lawyers in the United States in 2021 (based on 2020 census numbers, that’s about one lawyer for every 250 people). American Bar Association, “Demographics: Growth of the Legal Profession,” in Profile of the Legal Profession 2021 (Chicago: American Bar Association, 2021), 10, https://www.americanbar.org/content/dam/aba/administrative/news/2021/0721/polp.pdf; “Quick Facts: United States,” US Bureau of the Census, https://www.census.gov/quickfacts/fact/table/US/PST045221. Two nonprofits in Sierra Leone started training paralegals around the country to assist with property, criminal, and public interest issues. Another African country, Malawi, has also experimented with training paralegals, and its program has now been replicated in Kenya, Uganda, and Benin. The Malawi “model” proved hugely successful in improving the civil rights of prisoners who did not have the means to secure good representation and in helping the accused know their rights. Maha Jweied and Miranda Jolicoeur, “Community-Based Paralegals in Africa,” in Expert Working Group Report: International Perspectives on Indigent Defense (Washington, DC: US Department of Justice), https://www.ojp.gov/pdffiles1/nij/236022.pdf. While the people in a democracy often look to their major political institutions for guidance in troubled times, those institutions can make mistakes, and the US Supreme Court’s judgment in Dred Scott v. Sandford (1857) was one of those mistakes. Described by some as one of the worst court decisions ever, Stuart Streichler, “The Worst Decision Ever?” Legal Times 30, no. 11 (2007), http://faculty.washington.edu/sstreich/documents/worstdecisionever.pdf; Sanford Levinson, “Is Dred Scott Really the Worst Opinion of All Time?” Harvard Law Review 125, no. 23 (2012), https://harvardlawreview.org/2012/01/is-dred-scott-really-the-worst-opinion-of-all-time-why-prigg-is-worse-than-dred-scott-but-is-likely-to-stay-out-of-the-aeoeanticanonae%C2%9D/. Scott affirmed that enslaved people were ineligible for citizenship and associated rights. It is important to note here that the framers never defined citizenship and only hinted at naturalization. Alexander M. Bickel, “Citizenship in the American Constitution,” Arizona Law Review 15 (1973): 369. This portrait of Dred Scott was published in Century magazine in 1887. (credit: “ Dred Scott. Harriet, wife of Dred Scott ” by Century Company/Library of Congress) Dred Scott was born into slavery. His enslavers moved him from Virginia to Alabama to Missouri and then to the free state of Illinois and the free territory of Wisconsin, where he lived from 1833 to 1843. Upon returning to Missouri, Scott sued for his freedom, arguing that he had lived free for 10 years in areas where slavery was forbidden. The US Supreme Court sidestepped Dred Scott’s question by determining that he was ineligible to present a legal challenge before the US Supreme Court because he was not a citizen and thus could not sue Sandford for his freedom. Chief Justice Roger Taney penned the Court’s majority opinion focusing on the framers’ intent. Mike Nicholas, “Supreme Decision: Roger Taney and the Dred Scott Case,” The Histories 5, no. 1, https://digitalcommons.lasalle.edu/cgi/viewcontent.cgi?article=1095&context=the_histories. When the Constitution was written 70 years earlier, the framers did not intend to include enslaved people as citizens. Chief Justice Taney stated that whether an enslaved person was born free or into servitude, they were not entitled to any of what we would now call civil rights. This meant that no Black person in the United States could enjoy either citizenship or civil rights, whether they were born in the United States or not. Note that Chief Justice Taney was not offering commentary on Black identity, per se, but on the notions of freedom and liberty. The criterion outlined in the Dred Scott decision, that if a person’s ancestors were brought to the United States as enslaved people that person could not be granted US citizenship, is not the sole way the Court has determined racial classifications. Other criteria played key roles in US Supreme Court decision-making in later civil rights cases. One of these criteria was the one-drop rule . In the 20th century, many states adopted the one-drop rule to differentiate between White people and non-White people. Individuals with any minority race ancestry were deemed to be members of that minority group. For example, Virginia’s Racial Integrity Act (1924) outlawed interracial marriage and deemed persons with any minority ancestry to be non-White, no matter their appearance or self-identification. Only persons who had “no trace whatsoever of any blood other than Caucasian” were classified as White. This is now referred to as the concept of racial purity. Several states followed these and related practices, determining minority status based on ancestry. Those persons who were classified as minority group members did not enjoy the full rights of citizenship and social privileges that were afforded to White Americans. Interracial couples would not achieve the national victory of the right to marry until the Supreme Court’s decision in Loving v. Virginia (1967), which overturned the Virginia Racial Integrity Act that had forbidden interracial marriages. Today, one out of every ten married couples in the United States is interracial/interethnic. Brittany Rico, Rose M. Kreider, and Lydia Anderson, “Growth in Interracial and Interethnic Married-Couple Households,” US Census Bureau, 2018, https://www.census.gov/library/stories/2018/07/interracial-marriages.html. Every year in the United States, June 12 is celebrated as Loving Day , to honor not only Richard and Mildred Loving, the couple who sued the state of Virginia, but also every interracial and interethnic couple. Karen Grigsby Bates, “Loving Day Commemorates When Interracial Marriage Became Legal,” NPR , June 12, 2015, https://www.npr.org/2015/06/12/413849120/loving-day-commemorates-when-interracial-marriages-became-legal. Report on Loving Case 1967 This television report includes interviews with Richard and Mildred Loving and the lawyers who brought their case before the Supreme Court on the day the court decided the case in their favor. One reason the US Supreme Court could reject Dred Scott’s petition was that the Court could decide that Scott did not have standing due to his citizenship status. The 14th Amendment , ratified in 1868 and one of the three Civil War or Reconstruction Amendments (along with the 13th and 15th Amendments), addressed this issue by defining citizenship: “All persons born or naturalized in the United States, and subject to the jurisdiction thereof, are citizens of the United States and of the State wherein they reside.” Recall that Article I, Section 2 distinguishes between classes of persons, “free persons” and “all other persons.” Because the 14th Amendment defines citizenship for all persons meeting one of two conditions (birth or naturalization), regardless of the race or enslaved status of their ancestors, federal and state governments could no longer determine who was a citizen—though they could determine who was Black or White. The 14th Amendment nullified Dred Scott . Equal Protection and Japanese American Redress Among other protections, the 14th Amendment includes the Equal Protection Clause : “No State shall make or enforce any law which shall . . . deny to any person within its jurisdiction the equal protection of the laws.” U.S. Const. amend. 14, https://www.law.cornell.edu/constitution/amendmentxiv. The 14th Amendment focuses solely on state governments, and the Equal Protection Clause is intended to ensure that state governments do not deny equal protection to individuals because they are part of a group. The government passed the Equal Protection Clause to prevent the kind of race-based discrimination that shaped the US Constitution as it was being framed, to affirm that the US Constitution bans slavery, to ensure newly emancipated persons the protections of citizenship, and to limit southern state powers. In the 1970s, the children and grandchildren of Japanese Americans who had been interned during World War II began to push for a formal apology from the federal government and reparations , or financial compensation for the economic losses suffered by those who had been interned in these concentration camps. This was an uphill battle because the wounds and shame of the era still traumatized many of the internees and survivors. The first major victory came in response to the lobbying efforts of the Seattle branch of the Japanese American Citizens League (JACL) when, on February 19, 1976, President Gerald Ford signed a proclamation calling the internment policy “a national mistake” and officially terminating the executive order that had established it. Calvin Naito and Esther Scott, Against All Odds: The Campaign in Congress for Japanese American Redress (Cambridge, MA: Harvard Kennedy School, 1990), 4. Through a combination of public hearings, congressional lobbying, and national movement on the part of the JACL, Japanese American politicians (some of whom served with distinction in World War II), and sympathetic Republican and Democratic leaders, the United States government finally issued a formal apology and reparations of $20,000 per living internee in 1988. Helen Yoshida, “Redress and Reparations for Japanese American Incarceration,” National World War II Museum, August 13, 2021, https://www.nationalww2museum.org/war/articles/redress-and-reparations-japanese-american-incarceration. President George H. W. Bush issued the first checks in 1990, and in total, 82,219 internees received reparations. Sharon Yamamoto, “Civil Liberties Act of 1988,” in Densho Encyclopedia , https://encyclopedia.densho.org/Civil%20Liberties%20Act%20of%201988/. Nisei World War II veterans attend a tribute to the 100th Infantry Battalion, 442nd Regimental Combat Team and Military Intelligence Service in Washington, DC, November 1, 2011. (credit: “ Nisei World War II veterans from the 442nd Regimental Combat Team ” by Staff Sgt. Teddy Wade/Wikimedia Commons) As the case of Japanese American internment illustrates, in a republic, changes in public perception and public pressure on elected officials are necessary to achieve true civil rights protections for all. Government institutions often have their own individual political cultures, norms, and responsibilities. The Supreme Court is no exception. Despite executive and legislative measures aimed at compensating Japanese Americans, until 2018 the US Supreme Court had not publicly acknowledged the error of the Korematsu ruling. In Trump v. Hawaii , the justices ruled that President Trump’s ban on travel from certain mostly Muslim-majority countries was constitutional. In a dissenting opinion, Justice Sonia Sotomayor compared the administration’s treatment of Muslims to the treatment of Japanese Americans during World War II. In his opinion, Chief Justice John Roberts, who voted with the majority of the Court, responded that the two cases were not comparable, writing that “ Korematsu was gravely wrong the day it was decided, has been overruled in the court of history, and—to be clear—has no place in law under the Constitution.” Trump v. Hawaii, 585 US _ (2018), https://www.oyez.org/cases/2017/17-965. Executive Action A country’s executive, who might be a president, prime minister, or chancellor, is the head of the branch of government most often tasked with policy enforcement and implementation. As the face/voice of a country, a country’s political leader often has multiple tools of control and influence that are particularly effective in the arena of civil rights. When the executive acts outside their official capacity as the head of government or head of state but their actions are still seen as important and symbolic, they exercise informal executive power . On the other hand, formal executive power is power that may be codified by executive orders, statements to accompany the signing of legislation, speeches, or other official announcements. Representation and Political Culture Prime Minister Ana Brnabić poses for a portrait in 2018. (credit: “Ana Brnabić” by President.gov.ua/Wikimedia Commons, CC BY 4.0) When she was elected prime minister of Serbia in 2017, Ana Brnabić become that country’s first openly gay executive leader. While many hailed the electoral victory for its symbolism, others claim that Brnabić has had little formal influence on changing Serbia’s lack of civil rights protections for the LGBTQ+ community. Ron Skynovitz and Gordana Cosic, “Lesbian PM or Not, Serbia Blocks Gays’ Path to Parenthood,” Radio Free Europe , August 22, 2019, https://www.rferl.org/a/lesbian-pm-or-not-serbia-blocks-gays-path-to-parenthood/30123813.html. Equaldex, a crowdsourced online map of LGBTQ+ rights, gave Serbia a score of 47 out of 100; the country was recognized for offering a high level of legal rights, but public approval was low. “LGBT Rights in Serbia,” Equaldex, https://www.equaldex.com/region/serbia. This is an interesting case study because by all accounts Brnabić does not have the executive power to actually change the political culture of Serbia—a concept discussed at the beginning of the chapter—even if her intentions were to advance LGBTQ+ rights. In 2012, then–Vice President Joe Biden casually remarked on NBC’s Meet the Press that he supported the right for same-sex couples to get married Steven Levingston, “Speaking from the Heart,” Washington Post , January 11, 2021, https://www.washingtonpost.com/nation/2021/01/11/gay-marriage-joe-biden/. (which eventually became law with Obergefell v. Hodges ). While Biden was still eight years away from winning his own presidential election, his words had a huge influence on the country. Some say they pushed President Barack Obama to affirm marriage equality sooner than he had planned. Biden’s remarks on Meet the Press exerted informal executive influence, but Biden was acting in his formal capacity as president when, in 2021, he nominated Pete Buttigieg , a former naval officer and mayor of South Bend, Indiana, to be Secretary of Transportation, making Buttigieg the first openly gay cabinet member in US history. Michael D. Shear and Thomas Kaplan, “Buttigieg Recalls Discrimination against Gay People, as Biden Celebrates Cabinet’s Diversity,” New York Times , December 16, 2020, https://www.nytimes.com/2020/12/16/us/politics/buttigieg-biden-cabinet.html. In recent years, cries for justice over Canada’s poor treatment of its Indigenous people—classified as First Nations , Inuit , and Métis “Terminology,” Indigenous Foundations, 2021, https://indigenousfoundations.arts.ubc.ca/terminology/. —have rocked what is often heralded as a multicultural and accepting country. Forming around 6 percent of the total population, “Ethnic and Cultural Origins of Canadians: Portrait of a Rich Heritage,” Statistics Canada, October 25, 2017, https://www12.statcan.gc.ca/census-recensement/2016/as-sa/98-200-x/2016016/98-200-x2016016-eng.cfm. the diverse First Nations community has historically been underrepresented in the Canadian federal government. The 2015 Truth and Reconciliation Commission ’s findings and 94 calls to action “Calls to Action,” Truth and Reconciliation Commission of Canada, 2015, https://ehprnh2mwo3.exactdn.com/wp-content/uploads/2021/01/Calls_to_Action_English2.pdf. led to a significant increase in First Nations candidates running for office. However, the May 2020 discovery of 751 Indigenous children’s graves at a former residential school in Saskatchewan has reignited calls for more national recognition of cultural genocide. “Canada: 751 Unmarked Graves Found at Residential School,” BBC News , June 24, 2021, https://www.bbc.com/news/world-us-canada-57592243. In response, Canadian Prime Minister Justin Trudeau used his executive power to nominate Mary Simon, an Inuit activist, to be the country’s first Indigenous governor-general. Reuters, “Canada’s First Indigenous Governor General Pledges to Help Heal Nation,” NBC News , July 7, 2021, https://www.nbcnews.com/news/world/canada-s-first-indigenous-governor-general-pledges-help-heal-nation-n1273198. A group of nuns pose with Aboriginal students circa 1890 in Port Harrison, Quebec. (credit: “Port Harrison (Inukjuak) Federal Hostel, group of students, nuns and Aboriginal men posing in front of the school, Quebec, ca. 1890” by Library and Archives Canada, Public Domain) While many countries claim civil rights protections in their founding documents and laws, disconnects between intention and implementation are frequent. In many countries, those in power have an unfair advantage in determining who benefits from—and who is restricted by—government policies. As a result, governments often fail to protect the civil rights of minorities. To challenge powerful majorities, minorities and their allies have formed groups and led great movements for social justice and equality, often arising from humble beginnings, ideas, and people. Because those in power benefit from the status quo, those with less power may be called upon to join together to work for needed change. Major government institutions, including legislatures, judiciaries, and executives, are responsible for creating, adjudicating, and implementing civil rights protections. How effectively they can fulfill those responsibilities depends upon the powers each branch is given under a country’s constitution and the political culture of a country. Further, a country’s institutions, built on existing power structures that favor the majority, may have inherently racist practices, and majorities in power may also lack an understanding of the way in which multiple minority traits may intersect—for example, for a person of color with a disability—compounding experiences of discrimination. Legislatures may pass legislation and judiciaries may rule on cases in ways that remedy civil rights issues. They may also seek to make systemic changes, as when India introduced public interest litigation to give citizens the ability to appeal directly to the federal judiciary and to ask judges to intervene in political issues. Presidents and executives have the power to influence civil rights in both formal ways, as when they sign executive orders, and in more symbolic, informal ways. In the United States, the three branches of government may serve as checks on the other branches, as when the Supreme Court strikes down an executive order, or they may work together—either for the benefit of minorities or to enforce discriminatory and abusive practices. Suggested Readings Abraham, Henry J., and Barbara A. Perry, Freedom and the Court: Civil Rights and Liberties in the United States . 8th ed. Lawrence, KS: University Press of Kansas, 2010. Brettschneider, Marla, Susan Burgess, and Christine Keating, eds. LGBTQ Politics: A Critical Reader . New York: NYU Press, 2017. Byrne, B., C. Alexander, O. Khan, J. Nazroo, and W. Shankley. Ethnicity, Race, and Inequality in the UK: State of the Nation . Bristol, England: Policy Press, 2020. Colker, Ruth, and Paul D. Grossman. The Law of Disability Discrimination . 8th ed. Durham, NC: Carolina Academic Press, 2013. Dierenfield, Bruce. The Civil Rights Movement: Revised Edition . New York: Routledge, 2008. Fisher, Louis, and Katy Harriger. American Constitutional Law . Durham, NC: Carolina Academic Press, 2019. Goldstein, Leslie, Judith A. Baer, Courtenay Daum, and Terri Susan Fine. The Constitutional and Legal Rights of Women . 4th ed. Saint Paul, MN: West Academic Publishing, 2019. Pohlmann, Marcus. Black Politics in Conservative America . 4th ed. Cornwall on Hudson, NY: Sloan Publishing, 2020. Rothstein, Laura F., and Julia Irzyk. Disabilities and the Law . 4th ed. Rochester, NY: Lawyers Cooperative Publishing, 2020. Wilkerson, Isabel. The Warmth of Other Suns: The Epic Story of America’s Great Migration . New York: Vintage, 2011. 14th Amendment created birthright citizenship for anyone born in the United States, guaranteed equal protection under the law, and mandated due process by the states Dred Scott v. Sandford a Supreme Court decision that denied citizenship to all enslaved people of African American descent, even those born in the United States Equal Protection Clause a feature of the 14th Amendment that requires the state governments must treat all people the same formal executive power the power of presidents and governors derived from constitutions; may also be generated by laws, executive orders, and other agreements informal executive power the power of presidents and governors derived from their ability to influence political and civil discourse through rhetoric and symbolic representation institutional racism the idea that, because government institutions are built and run by those in power, whose worldviews and goals aim to perpetuate the status quo from which they benefit, government institutions therefore reinforce norms and values that enshrine racist attitudes, policies, and practices to the detriment of marginalized groups intersectionality the theory that individuals may embody multiple minority traits that compound the discrimination they experience Loving v. Virginia a landmark Supreme Court decision that overturned all state laws denying interracial heterosexual couples the right to marry one-drop rule the now-discredited, racist idea that an individual with even one ancestor of African descent was deemed Black reparations government-mandated financial compensation for survivors and descendants of people who experienced civil rights violations", "section": "How Do Governments Bring About Civil Rights Change?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction Barbara Mikulski was the first woman to be elected to the United States Senate during a regular election cycle. She served in the US Senate for 30 years. (credit: “Goddard Congressional Visit” by NASA/Goddard Space Flight Center/Bill Hrybyk/Flickr, CC BY 2.0) In 1985, twenty-five women decided to raise money to elect democratic women to the United States Congress. A year later, in 1986, Senator Barbara Mikulski of Maryland became the first female Senator to win a seat not by appointment but in her own right during a regular election cycle ( ). Mikulski’s historic win was thanks in part to the efforts of those twenty-five women, who met and started a political interest group and PAC called EMILY’s List . Allison Norlian, “After 35 Years, EMILY’s List Continues to Transform the Political Landscape for Women; The PAC Is One Week Away from the Fight of Its Life,” Forbes, October 27, 2020, https://www.forbes.com/sites/allisonnorlian/2020/10/27/after-35-years-emilys-list-continues-to-transform-the-political-landscape-for-women-the-pac-is-one-week-away-from-the-fight-of-its-life/?sh=786647f114ed. The name, which stands for E arly M oney I s L ike Y east (it makes the dough rise), was a nod to the understanding that in order to be effective in elections and in politics, people need to pool their interests, activities, and resources. EMILY’s List continues to advocate for democratic women who are running for office and encourages its members to raise money for electoral contests. EMILY’s List is just one example of the interwoven relationship between interest groups, political parties, and elections. This chapter will explore the role of interest groups in politics, their pros and cons, how political parties mobilize their own organizational agendas, and how these group-level activities intersect with political elections.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Is an Interest Group? Learning Outcomes By the end of this section, you will be able to: Define interest group. Discuss types of interest groups. Explain and differentiate among different theories about how and why interest groups form. Explain and differentiate among different theories about how and why interest groups influence government. In the early 1980s at the start of the HIV/AIDS epidemic in America, government response to the increasing need for medical research and assistance to HIV/AIDS patients was scant. In the absence of a federal or state-run public health response, public interest advocacy groups such as The Gay Men’s Health Project provided services for AIDS patients, gathering donations for food and securing shelter for those afflicted by the disease. Almost a decade later, with still no public health response from the federal government, a group named the Lavender Hill Mob vocally criticized the Centers for Disease Control and Prevention’s handling of the epidemic, storming the agency’s planned convention on the epidemic and demanding research into drugs and treatment. Soon other groups such as ACT UP formed, calling on the government to respond to the need for more public education to prevent the disease and more resources for further research into ending it. Lillian Faderman, “Remembering the Activists Who Helped Make HIV/AIDS Research Possible,” Washington Post , March 12, 2019. President Ronald Reagan ultimately created the Presidential Commission on the HIV Epidemic in 1987 in response to citizen activism and public calls for governmental involvement. The history of group mobilization around HIV/AIDS illustrates how interest groups can harness the cooperation and collaboration of individuals in pursuit of a common goal, but also how multiple groups can work in concert to pressure the government to act. ACT UP protests the National Institutes of Health (NIH) (credit: modification of “ACT UP Demonstration at NIH” by NIH History Office/Flickr, Public Domain) Interest groups are groups of people who organize in order to seek to influence a political outcome or seek to alter public policies on the basis of a common interest or concern. The universe of interest groups is as vast in number as it is in scope. For example, in the United States, AARP has nearly 38 million members and advocates on behalf of Americans aged 50 and older on issues such as drug prices, health insurance, taxes, and retirement. “Social Impact,” About AARP, AARP, accessed March 1, 2021, https://www.aarp.org/about-aarp/company/social-impact/. An example of a much smaller interest group is the San Francisco Democratic Party , which has 250,000 members and seeks to “engage, inform, and mobilize San Francisco Democrats.” “Our Party,” San Francisco Democratic Party, accessed March 1, 2021, https://www.sfdemocrats.org/our-party. Interest groups are not unique to American politics. In Britain, UK Youth is a group, founded in 1911, that works with 4,000 youth organizations and reaches four million youths, lobbying for investment in a variety of youth-oriented leadership, skill acquisition, and health and wellness programs. “2019/20 Impact Review,” Publications and Resources, UK Youth, accessed June 10, 2021, https://impact.ukyouth.org. The French organization La Quadrature du Net works for a “free, decentralized, and empowering Internet” “About Us,” La Quadrature du Net, https://www.laquadrature.net/about/. and was part of a complaint filed against Amazon in Europe that led to an $888 million fine against the Internet commerce site for violation of customer privacy and data protection measures. Stephanie Bodoni, “Amazon Gets Record $888 Million EU Fine Over Data Violations,” Bloomberg , July 30, 2021, https://www.bloomberg.com/news/articles/2021-07-30/amazon-given-record-888-million-eu-fine-for-data-privacy-breach. Types of Interest Groups Interest groups can be organized into two general categories: economic groups and public interest or noneconomic groups . Economic groups focus on issues such as wages, industry protections, job creation, and profit maximization, to name a few, and can be further sorted into subcategories such as business, labor, agricultural, and professional. For example, the United States Chamber of Commerce is a business group that describes itself as the world’s largest business organization, representing companies of all sizes and advocating for policies that help create jobs and grow the economy. “About the US Chamber of Commerce,” US Chamber of Commerce, accessed March 1, 2021, https://www.uschamber.com/about/about-the-us-chamber-of-commerce. In Canada, the Canadian Federation of Independent Businesses lobbies for lower tax rates on small businesses and credit card rate reductions, among other issues. “Latest News,” Advocacy, Canadian Federation of Independent Businesses, accessed June 10, 2021, https://www.cfib-fcei.ca/en/advocacy. Other types of economic groups include labor groups like the Service Employees International Union (SEIU) , Service Employees International Union (website), accessed March 1, 2021, https://www.seiu.org. which represents the interests of workers in health care, public services, and property services. In Germany, which has a long history of labor groups in politics, the German Trade Union Confederation (DGB - Deutscher Gewerkschaftsbund) acts as an umbrella organization for eight labor groups and represents the interests of close to six million German workers. It is the largest labor group in Germany and one of the largest trade organizations in the world. DGB—German Trade Union Confederation (website), accessed June 10, 2021, https://en.dgb.de. Interest groups like the Irish Farmers Association , “Who We Are,” About Us, Irish Farmers Association, accessed March 1, 2021, https://www.ifa.ie/who-we-are-what-we-do/. which works on behalf of agricultural workers in Ireland, are referred to as agricultural groups . In the United States, the National Farmers Union has worked with Congress to make school lunches permanent and to increase country-of-origin labeling protocols, to name a few of their policy initiatives. “About NFU,” National Farmers Union, accessed June 10, 2021, https://nfu.org/about/. Other types of interest groups include professional groups like the American Medical Association (AMA) , “About,” American Medical Association, accessed March 1, 2021, https://www.ama-assn.org/about. which promotes the interests of working medical professionals such as surgeons and physicians in the United States, and the Japan Medical Association , “About JMA,” Japan Medical Association, accessed June 10, 2021, https://www.med.or.jp/english/about_JMA/overview.html. which, with 170,000 members, is considered the largest and most politically powerful medical lobby in Japan. Noneconomic groups do not organize themselves around economic or business-oriented purposes, instead working to advance noneconomic issues such as the environment or education. One example is Greenpeace International , an umbrella organization representing Greenpeace offices in 27 regions and 55 countries that all work together to promote environmental protections. “Our Network,” About Us, Greenpeace International, accessed March 1, 2021, https://www.greenpeace.org/international/explore/about/worldwide/. Varieties of noneconomic groups include public interest groups, single-issue groups, civil rights groups, and ideological groups. The Trust for Public Land , a registered nonprofit that creates public parks and preserves outdoor spaces for public use, can be considered a public interest group . The Trust for Public Land (website), accessed March 1, 2021, https://www.tpl.org. The Toronto Public Space Committee , another public interest group, advocates for ecologically responsible, advertisement-free public spaces in Toronto. Toronto Public Space Committee (website), accessed June 10, 2021, https://www.publicspace.ca. As their name suggests, single-issue groups champion solitary policies or issues. The Japan Rice Millers Association focuses on just that—the milled rice industry. Founded in 1969, it promotes the interest of rice producers in Japan and advocates for government assistance in ensuring increased production and distribution. “About Us,” Japanese Rice Millers Association, accessed August 2, 2021, http://www.jrma.or.jp/eng/index.html. Groups such as the National Association for the Advancement of Colored People (NAACP) National Association for the Advancement of Colored People (website), accessed March 1, 2021, https://naacp.org. and the Congress of Aboriginal Peoples (CAP) “About Us,” Who We Are, Congress of Aboriginal Peoples, accessed March 1, 2021, http://www.abo-peoples.org/en/about-us/. are civil rights groups that work to champion the rights of specific minority groups. Because the tenets of democratic socialism drive its work and focus, the Democractic Socialists of America is considered an ideological group . Another example of an ideological group was the Civil Human Rights Front , a pro-democracy group in Hong Kong that protested for democratic representation and voting rights in Hong Kong. Members of the Civil Human Rights Front were arrested and prosecuted by the Beijing government, which claims that pro-democracy protesters are “inciting violence.” Ken Moritsugu, “Hong Kong Democracy Activists Get Bail, Protest Marches Banned,” PBS News Hour , August 30, 2019, https://www.pbs.org/newshour/world/hong-kong-democracy-activists-get-bail-protest-march-banned. In the face of an intensified crackdown on dissent, the group was forced to disband in August 2021. “Hong Kong Democracy Group Behind Massive Protest Disbands,” AP News , August 15, 2021, https://apnews.com/article/hong-kong-democracy-c65fa4bf3cda740dee680bc2db23e977. The Assembly of First Nations works to protect and advance the rights and interests of First Nations people in Canada. In this photo, A-in-chut (Shawn Atleo), hereditary Chief of the Ahousaht First Nation, returns to his home village on July 31, 2009, after being elected Grand Chief of the Assembly of First Nations. (credit: “A-in-chut (Shawn Atleo) returns to his home village of Ahousaht” by Ecotrust Canada/Flickr, CC BY 2.0) Theories of Interest Group Formation How and why do interest groups such as the NAACP or La Quadrature du Net form? Three major theories about interest group formation allow us to better understand how interest groups form and how they function within the political sphere. The first of these, pluralist theory , posits that multiple and diverse interests compete for attention and resources and that political power is distributed amongst these various interests. Competition among interests allows for the representation of a diversity of views rather than solely those of elite interests, and it prevents single issues from dominating public discourse. In other words, individual interests can be advanced through collective action This concept is also covered in Chapter 6: The Fundamentals of Group Political Activity. (e.g., “You and I both want more open spaces in the city; let’s get together and advocate.”), and multiple groups compete for attention to promote change. Thus, according to pluralist theory, interest groups form as a means for individuals to engage in collective action in support of common goals. Columbia University professor David Truman ’s work on disturbance theory suggests that interest groups form in response to the changing complexity of government and society. In other words, external factors, or “disturbances,” cause people to form new groups. These factors can be changes in social norms, environmental factors, or changes in technology. Robert H. Salisbury, “An Exchange Theory of Interest Groups,” Midwest Journal of Political Science 13, no. 1 (1969): 1–32, www.jstor.org/stable/2110212. For example, 50 years ago, the idea of legalizing marijuana was unthinkable. As social and medical norms around the use of cannabis have changed, groups such as NORML , the Marijuana Policy Project , and the Drug Policy Alliance have formed to promote the legal use of marijuana in a controlled market and to reduce “the harms of both drug use and drug prohibition.” “Vision & Mission,” About Us, Drug Policy Alliance, accessed August 5, 2021, https://drugpolicy.org/about-us. As global climate change continues to make media headlines, newer and more radical groups also continue to form, such as Britain’s Extinction Rebellion , which engaged in “the biggest act of peaceful civil disobedience seen in London for decades.” Matthew Taylor, “The Evolution of Extinction Rebellion,” The Guardian, August 4, 2020, https://www.theguardian.com/environment/2020/aug/04/evolution-of-extinction-rebellion-climate-emergency-protest-coronavirus-pandemic. The third major theory, transaction theory , refutes the idea of pluralism . In An Exchange Theory of Interest Groups , renowned political scientist Robert H. Salisbury argues that political actors are not influenced by groups that have mobilized to enact change so much as they are responding to the interests of narrowly focused elites, and that the relationship between interest groups and government is that of an exchange. Salisbury, “An Exchange Theory of Interest Groups,” (1969). As University of Maryland professor Mancur Olson has argued, this idea rests on the notion that, because of the idea of collective goods and the free rider problem , individuals will not exert extra energy to mobilize into groups. See also Chapter 6: The Fundamentals of Group Political Activity. In other words, while an interest group works to provide its members with collective goods (goods or services that all members can share), there is no incentive for all members to work for those goods. Free riders gain the benefits of membership without action. An interest group is an organized collection of individuals who work to influence government and policy. There are several different types of interest groups. Economic groups can be divided into categories such as business groups, labor groups, agricultural groups, and professional groups. Noneconomic groups include public interest groups, single-issue groups, civil rights groups, and ideological groups. Various theories explain why interest groups form. Pluralism suggests that diverse interests represent a variety of views and demands and that political powers are distributed among these various groups. Disturbance theory, on the other hand, asserts that interest groups change in response to complex issues in society and calls on the government to react to these changes. Transaction theory refutes pluralism, arguing that government actors only respond to a narrow set of interests. agricultural groups economic interest groups that work on behalf of agricultural interests business group an economic interest group that works on behalf of business interests civil rights groups noneconomic interest groups that work to promote and defend the civil rights of a particular group collective goods goods or services that all members of a group can share disturbance theory a political theory that suggests that interest groups form in response to the changing complexity of government and society economic groups interest groups that focus on economic issues such as wages, industry protections, job creation, and profit maximization free rider problem the phenomenon that occurs when individual members of an interest group benefit from the group’s activities even if they do not personally participate ideological group a noneconomic interest group that focuses on promoting interests that align with a particular ideology interest group a group of people who organize in order to seek to influence a political outcome labor groups economic interest groups that work on behalf of workers’ interests noneconomic groups interest groups that work to advance noneconomic issues such as the environment or education pluralist theory a political theory that posits that multiple and diverse interests compete for attention and resources and that political power is distributed among these various interests professional groups economic interest groups that work in the interests of a particular profession public interest group a group that benefits a narrow constituency or policy issue (such as the American Association of Retired People) and works to achieve benefits for the larger population, not just for their own members single-issue groups groups that focus their work on a single issue in order to acquire or maintain benefits for their members (for example, the National Rifle Association) transaction theory a political theory, espoused by Robert H. Salisbury, that argues that political actors are not influenced by groups that have mobilized to enact change so much as they are responding to the interests of narrowly focused elites, and that the relationship between interest groups and government is that of an exchange", "section": "What Is an Interest Group?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Are the Pros and Cons of Interest Groups? Learning Outcomes By the end of this section, you will be able to: Discuss the pros and cons of interest groups. Discuss the role interest groups play in government. Explain how interest group activity is regulated. The next time you go to a restaurant, look at your waitstaff. They could be making less than minimum wage, or what is called a “subminimum wage” of $2.13. This is due to the assumption that diners will leave a 15 to 20 percent tip that will add to their pay. It doesn’t take a calculator or a genius to see how unstable this wage is. Some diners simply don’t tip, and tip distribution varies from restaurant to restaurant: while “front of house” workers (people who primarily work with diners) might receive an equal share from a pooled tip at the end of the evening, what about line cooks or dishwashers? What if you are a server who provides excellent service—why should you split your tip with someone who barely bothered to say hello to their customers? The advocacy group One Fair Wage points out that the restaurant industry is the fastest growing sector of the economy but the lowest paying and that subminimum wage practices disproportionately hurt women and minority workers. “Fact Sheet,” One Fair Wage, accessed August 2, 2021, https://onefairwage.site/wp-content/uploads/2020/12/OFW_FederalFactSheet_3-1.pdf. During the global COVID-19 pandemic, One Fair Wage was quick to point out how the virus obliterated income for these workers and how, in order to protect the industry, the workers also needed protections. The group continues to advocate for strict health and safety measures for restaurant workers. Pros of Interest Groups Interest group participation in politics has its benefits. In Federalist Paper No. 10, James Madison argued that while the threat of factions exists, a healthy representative government will ensure that no single interest monopolizes the government’s attention and that competition among interests (pluralism) will ultimately enhance democracy. From this perspective, the model of interest group activity can be seen as an ideal way to serve the common good because it allows more voices to engage in the political process, which is part and parcel of self-governance . Ultimately, citizen participation in government is essential in part because political actors have difficulty discerning what is important to the public unless the public itself is involved in the process. Interest group activity is one way the people help the government understand which issues are of greatest concern. Additionally, the act of citizen mobilization is thought to produce social capital , whereby relationships forged in political and other social networks help citizens resolve collective problems. Finally, like HIV/AIDS activists in the early 1980s, interest groups can take up issues that are marginalized by traditional political actors. Cons of Interest Groups Theoretically, pluralism should work to protect the interests of the many: when multiple interests strive to be heard by governmental actors, multiple interests are also addressed. However, this can bring about problems of factionalism , where small groups of people with shared interests work to have their wishes represented in government despite majority interests. In other words, as Madison addressed in Federalist Paper No. 10, while a multitude of interests may be represented, not all are heard or responded to equally, and a narrow interest may hijack political attention at the expense of the majority’s needs. Further, the more socially, monetarily, or institutionally resourced an interest, the more influence it enjoys, regardless of how narrow or seemingly obscure it might be. This latter problem, known as economic bias , is a weakness of the interest group system. As Wesleyan University professor E. E. Schattschneider explains, “The flaw in the pluralist heaven is that the heavenly chorus sings with a strong upper-class accent.” E. E. Schattschneider, The Semisovereign People: A Realist’s View of Democracy in America (New York: Holt, Rinehart, and Winston, 1960), 35. Groups that represent business or professional interests tend to be better resourced, and though lower-class interests can be represented, interest group membership itself is mostly skewed toward those who make up the upper-middle and upper classes, as individuals who make up these groups tend to have more time and resources to commit to this type of political activity. In addition, there is a “chicken or egg” characteristic in interest group membership in that, as long as upper-middle-class and upper-class interests are represented, these groups naturally attract individuals from these populations and not those in more disadvantaged groups. The theory of interest group liberalism highlights another noted weakness of the interest group system. Theodore Lowi, “The Public Philosophy: Interest-Group Liberalism,” The American Political Science Review 61, no. 1 (1967): 5–24, www.jstor.org/stable/1953872. Instead of a pluralistic ideal whereby issues important to various groups jostle within the public realm for governmental response, interest group liberalism suggests that officials respond to well-organized groups not because they are good for society but because well-organized interests simply do a better job of demanding governmental action. What Is An Interest Group? Any group that shares an interest can form an interest group to try to advance their goals. How Do Interest Groups Influence Government, and How Are They Regulated? The formal work of interest groups is referred to as lobbying , the attempt by a group to influence a political outcome. Lobbying can take on different forms, and groups often lobby different branches and types of government. Lobbying itself can be further divided into two categories, inside lobbying and outside lobbying . Andy Chasin, Vice President of Federal Policy and Advocacy for Blue Shield of California Please explain what you do for your organization. I run federal policy and advocacy for Blue Shield of California, a nonprofit health insurer with more than four million members. My job is to provide strategic advice to the company on what’s happening in Washington, DC. I used to work in the Senate on health care policy and now lobby both houses of Congress and work to influence the constant flow of rulemakings coming out of administrative agencies like the Department of Health and Human Services. My company has a political action committee (PAC) that our employees voluntarily support to allow us to attend events with lawmakers. Giving money doesn’t mean that a member of Congress will do what you want, but it does often provide an opportunity to share your perspective on important issues. Ultimately my work is to ensure that health care is affordable and accessible for our members and to urge lawmakers to provide a way to get everyone in America covered in the least disruptive way possible. What did you study in school? I went to law school and studied politics, philosophy, and economics as an undergraduate. What did you learn as an undergraduate that helps you in this position? The ability to write, think critically, and understand the point of view of different stakeholders is something I use every day. Inside lobbying occurs when interest groups cultivate contacts and relationships within government. Examples of inside lobbying include lobbying the legislative branch of government, such as the United States Congress, in order to provide testimony, suggest items for consideration, aid in the crafting of legislation, or mobilize constituents to write their members of Congress to support or vote against certain bills. Interest groups also lobby other parts of government, including the executive branch. They do so by working with federal agencies, executive appointees, and in the case of the United States, even the White House to do much of the same work they do when lobbying Congress. This work includes identifying or introducing specific pieces of legislation that will further their cause, providing information for or writing drafts of policy proposals, and mobilizing constituent support. Groups such as the aforementioned One Fair Wage lobby state and local governments to raise state minimum wages for tipped workers, for example. Interest group lobbying of the judicial system differs from lobbying of other branches because the courts do not write or pass legislation. As such, groups work to influence the judicial branch in other ways. The first is connected to ways groups lobby the other two branches in that interest groups can try to influence judicial appointments by suggesting possible appointees for the other two branches to nominate and confirm. Interest groups also use amicus curiae , or friend of the court, briefs, to lobby the judiciary. Using amicus curiae briefs, groups file official positions to make known to judges and justices their official positions on cases being heard before a court. Depending on the case and the group, interest groups can also use their resources to file cases in lower courts or have appeals heard in higher courts such as the Supreme Court. A recent example is Sierra Club v. Trump , in which the American Civil Liberties Union (ACLU) , acting on behalf of the Sierra Club and Southern Border Communities Coalition , filed suit against President Trump for his use of executive power to fund and build a wall on the southern border of the United States. “Trump v. Sierra Club,” Oyez, accessed June 10, 2021. https://www.oyez.org/cases/2020/20-138. In this instance, three interest groups joined in a case against the executive branch of the government. “Sierra Club v. Trump—Challenge to Trump’s National Emergency Declaration to Construct a Border Wall,” Court Battles, Our Work, ACLU, updated July 20, 2021, https://www.aclu.org/cases/sierra-club-v-trump-challenge-trumps-national-emergency-declaration-construct-border-wall. The case, which started in a lower district court, was appealed and made it to the Supreme Court, though the case was dismissed after President Biden rescinded Trump’s executive order to divert funding for the wall. Ian Millhiser, “Two Major Supreme Court Immigration Cases Just Went up in Smoke,” Vox , February 3, 2021, https://www.vox.com/2021/2/3/22264190/supreme-court-immigration-border-wall-remain-in-mexico-trump-biden-sierra-club-innovation-law-lab. Interest groups also utilize tactics such as outside lobbying , also known as indirect lobbying or grassroots lobbying , which entails rallying public support in order to pressure political actors to consider their causes. In outside lobbying, groups call upon their own members as well as the general public to take up the mantle of their cause through a show of public support. The movement to recall California Governor Gavin Newsom is an example of this type of grassroots lobbying. Nellie Bowles, “Hurt by Lockdowns, California’s Small Businesses Push to Recall Governor,” New York Times , February 19, 2021. The arrest and conviction of the Kings Bay Plowshares 7 , a group of activists who entered Kings Bay military facility in the state of Georgia to protest the use of the government’s nuclear arsenal, is an example of how protests and radical activism can be considered a more extreme form of grassroots lobbying. Sam Husseini, “Religious Beliefs Are Struck Down as Defense for Nuclear Protest,” The Nation, October 31, 2019. Members of Extinction Rebellion go to extreme measures such as gluing themselves to planes in order to call attention to the climate crisis. Joe Middleton, “Extinction Rebellion: Ex-Paralympian Convicted of ‘Public Nuisance’ After Gluing Himself to Plane,” The Independent , July 29, 2021, https://www.independent.co.uk/climate-change/extinction-rebellion-ba-plane-protest-b1892577.html. Inside and outside lobbying can look different in Europe. In Switzerland, for example, ballot initiatives , where constituents vote directly on pieces of legislation, alter how interest groups work. The recall effort of California Governor Newsom is also an example of a ballot initiative. Interest groups may be less reliant on policy makers and inside lobbying when they have the option to appeal directly to the public, though studies have shown that the work of lobbying groups tends to be more negative than positive in nature. In other words, instead of lobbying for legislative change, interest groups in Switzerland can act as gatekeepers, working to block laws that are not in the group’s interests. Florian Weiler and Matthais Brändli, “Inside versus Outside Lobbying: How the Institutional Framework Shapes the Lobbying Behaviour of Interest Groups,” European Journal of Political Research 54, no. 4 (November 2015): 745–766, https://doi.org/10.1111/1475-6765.12106. In addition to lobbying, interest groups also work to raise and donate funds to directly decide the outcomes of elections. A group’s official fundraising arm is called a political action committee (PAC) . PACs can accept up to $5,000 from any single individual and can contribute the same amount to a single candidate or $15,000 to a party. PACs, like interest groups, cover all sorts of interests. For example, when you bite into a hard taco or a gordita from Taco Bell, did you know that you could be contributing to a political candidate? Between 2018 and 2020, the political action committee for Taco Bell, called TACO PAC , raised and donated over $100,000 dollars to Republican candidates and $2,500 to Democrats. “PAC Profile: TACO PAC,” PACS, Influence and Lobbying, Open Secrets, accessed March 10, 2021, https://www.opensecrets.org/political-action-committees-pacs/taco-pac/C00330118/summary/2020. The PAC describes itself this way: “TACO PAC provides a way for individuals to join their contributions and voice with those of other supporters in the quick-serve franchise restaurant industry including owners and operators.” TACO PAC (website), accessed March 10, 2021, http://taco-pac.com. Taco Bell is not the only fast food franchise to contribute to political candidates. In the same election cycle, Wendy’s contributed over $100,000, while McDonald’s gave $500,000. Vince Dixon, “Red Chains, Blue Chains: Which Politicians Are America’s Largest Fast Food Chains Donating To?” Eater, October 21, 2020, https://www.eater.com/2020/10/21/21505080/mcdonalds-wendys-political-donations-trump-biden. PACs such as TACO PAC are regulated in how much they can give to candidates and parties, and they are required to fully disclose their donors. Unlike PACs, super PACs are fundraising groups that can raise and spend unlimited funds provided they do not explicitly coordinate with a candidate. In the 2020 election cycle, super PAC spending totaled over $2 billion. “2020 Outside Spending, by Super PAC,” Politicians and Elections, Outside Spending, Federal Election Spending, Open Secrets, accessed March 1, 2021, https://www.opensecrets.org/outsidespending/summ.php?chrt=V&type=S. Super PAC Spending 2010 $125 Million 2012 $1.2 Billion 2014 $390 Million 2016 $1.5 Billion 2018 $822 Million 2020 $2.1 Billion Total $6.5 Billion Year-over-year super PAC spending (source: Center for Responsive Politics) Super PACs are not without controversy. Also referred to as independent expenditure-only committees, super PACs can raise unlimited sums of money from corporations, unions, associations, and individuals and then spend the money to campaign for or against candidates or ballot initiatives. The “birth” of super PACs came about in 2010 as a result of Citizens United v. Federal Election Commission , “Citizens United v. Federal Election Commission,” Oyez, accessed August 2, 2021. https://www.oyez.org/cases/2008/08-205. when the Supreme Court ruled that “limiting ‘independent political spending’ from corporations and other groups violates the First Amendment right to free speech.” Tim Lau, “Citizens United Explained,” December 12, 2019, The Brennan Center for Justice, https://www.brennancenter.org/our-work/research-reports/citizens-united-explained. Critics of this ruling complain that it has led to the rampant rise of super PACs, which empower the wealthiest donors and receive dark money , which is when super PACs receive donations from shell corporations (companies or corporations that exist only on paper for monetary purposes and that, while they have no office and no employees, may have bank accounts) or donors who do not disclose their identities. Super PAC and dark money donations have only grown since the Citizens United ruling. Interest groups and their lobbyists—as well as wealthy elites—fuel PAC and super PAC activity. As such, part of regulating interest group activity means monitoring lobbyists and the work they perform, be it inside or outside lobbying. However, the number of lobbyists that work to influence the government is a point of contention. Between 2009 and 2019, the number contracted from roughly 13,000 to around 11,000, but American University professor James Thurber refutes these numbers, explaining that they represent registered lobbyists rather than the entirety of the lobbyist population, which he calculates to be closer to 100,000. Karl Evers-Hillstrom and Dan Auble, “‘Shadow Lobbying’ in Trump’s Washington,” News, Reports, Open Secrets, October 3, 2019, https://www.opensecrets.org/news/reports/shadow-lobbying-2019. The latest attempt to reform lobbying practices, the Honest Leadership and Open Government Act of 2007 , placed tighter restrictions on campaign contributions through PACs and on campaign travel and adjusted definitions of what constitutes a lobbyist, whether an “in-house” lobbyist who works within an organization or an “outside” lobbyist who is hired to represent interest groups. Among other changes, the act included so-called “ revolving door bans ,” which require elected officials to wait at least a year after serving in government before joining a lobbying firm, and limited the monetary value of gifts lobbyists can receive. Jeff Maskell, Lobbying Congress: An Overview of Legal Provisions and Congressional Ethics Rules , CRS Report No. RL31126 (Washington, DC: Congressional Research Service, 2007), https://fas.org/sgp/crs/misc/RL31126.pdf. On January 20, 2021, President Biden signed an executive order further strengthening lobbying regulations, pledging an executive branch “revolving door ban” of two years and banning golden parachutes , exit bonuses that reward executives leaving private companies upon entering federal government positions, among other restrictions. US President, Executive Order, “Ethics Commitments by Executive Branch Personnel, Executive Order 13989 of January 20, 2021,” Federal Register 86, no. 14 (January 25, 2021), https://www.govinfo.gov/content/pkg/FR-2021-01-25/pdf/2021-01762.pdf. The United States is not the only government to contend with the ethics of lobbyists. While the EU developed the European Transparency Initiative (ETI) in 2005 to enhance transparency in EU policy making and boost confidence in decision-making processes, scholars like University of Pittsburgh law professor William Luneburg point out that these regulations are not enforced and require minimal information (who they represent, for example) on the part of the lobbyist, and in countries such as Germany, Georgia, Lithuania, and Poland, lobbyist registration is wholly voluntary and thus lacks teeth in terms of acting as an enforcement measure. Craig Holman and William Luneburg, “Lobbying and Transparency: A Comparative Analysis of Regulatory Reform.” Interest Groups & Advocacy 1 (2012): 75–104. Interest groups are important to the political process because they bring a diversity of views and demands before the popularly elected government. Interest groups also foster the development of social capital, or the maintenance of relationships and networks that allow citizens to solve collective problems. However, interest groups have their downsides. One is factionalism: while a multitude of interest groups may represent many problems, only a small number of them garner the government’s attention. This may be due to the economic bias in the interest group system, where moneyed interests are more likely to be represented and catered to. Interest groups work to influence government through inside lobbying, which is when groups create formal relationships with governmental officials. When interest groups rally public support for policies or political candidates, they engage in outside lobbying. The last attempt to reform lobbying activity was in 2007, though in 2021 President Biden signed a series of executive orders limiting lobbyist involvement in the executive branch. ballot initiative a mechanism by which voters can directly introduce pieces of legislation and vote to enact them dark money money received by super PACs from shell corporations or donors who do not disclose their identities economic bias a system in which interests that may be very narrow or seemingly obscure enjoy considerable influence the more socially, monetarily, or institutionally resourced they are factionalism when groups of individuals work collectively to promote a narrow, shared interest, possibly at the expense of the majority golden parachutes exit bonuses that reward executives leaving private companies upon entering federal government positions grassroots lobbying lobbying that involves groups utilizing public pressure to force governmental action; also called outside lobbying or indirect lobbying indirect lobbying lobbying that involves groups utilizing public pressure to force governmental action; also called outside lobbying or grassroots lobbying inside lobbying lobbying in which interest groups cultivate contacts and relationships within government in order to seek to influence a political outcome interest group liberalism the theory that officials respond to well-organized groups not because they are good for society, but because well-organized interests simply do a better job of demanding governmental action lobbying the attempt by a group to influence a political outcome outside lobbying lobbying that rallies public support in order to pressure political actors to consider a cause; also known as indirect or grassroots lobbying political action committee (PAC) an interest group’s official fundraising arm social capital relationships forged in political and other social networks, resulting from citizen mobilization, that help citizens resolve collective problems super PACs independent political action committees that can raise unlimited funds in order to campaign for candidates but are barred from directly coordinating with either candidates or parties", "section": "What Are the Pros and Cons of Interest Groups?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Political Parties Learning Outcomes By the end of this section, you will be able to: Define political party. Explain the purpose and activities of political parties. Differentiate among different types of political parties and systems. The Scottish National Party (SNP) is Scotland’s largest political party. It describes itself as “center left and social democratic.” “About,” Scottish National Party, accessed August 2, 2021, https://www.snp.org/about/. The SNP supports policies such as expanding government-provided health care and removing Britain’s nuclear submarine program off the shores of Scotland, but it is also increasingly associated with a single focus, Scottish independence from Britain. Though a recent Panelbase poll indicated that support for Scottish independence has cooled, numbers also illustrate that 70 percent of Scotts under the age of 35 think Scotland should abandon the United Kingdom. Gina Davidson, “Poll Shows Drop for Scottish Independence Support as Sir John Curtice Claims Results Shows 'Cooling' over UK Split,” The Scotsman , June 27, 2021, https://www.scotsman.com/news/politics/poll-shows-drop-for-scottish-independence-support-as-sir-john-curtice-claims-results-shows-cooling-over-uk-split-3287969; Ben Walker, “More Than Two-Thirds of Young Scots Now Back Independence,” The New Statesman, September 15, 2020, https://www.newstatesman.com/politics/uk/2020/09/more-two-thirds-young-scots-now-back-independence. After winning three consecutive majority terms in Scottish parliament, current SNP leader Nicola Sturgeon has promised a referendum , an election in which the voters decide whether to overturn existing law or policy, on Scottish independence in 2023. What Happens if Scotland Leaves Britain? This video from The Economist considers the movement for Scottish independence and the potential consequences if it is successful. What Are Political Parties? How do political parties work? Political parties are groups that organize around a shared political ideology , with the primary goal of electing party members to positions in government. Political parties have a lot in common with interest groups . Like interest groups, political parties operate to influence policy makers. However, political parties differ from interest groups in one crucial way. While PACs donate to certain candidates, interest groups ultimately work with any elected official if they feel doing so will meet their policy ends. In contrast, political parties seek to control the government from within by getting as many of their party members elected as possible. Like interest groups, parties form in response to the need for collective action . Their activities allow candidates to reach and mobilize individual voters, or as Indiana University professor Marjorie Randon Hershey writes, political parties are a means by which people agree to behave cooperatively over the long term so as to secure benefits that they would not have been able to gain as individuals. Marjorie Randon Hershey, “Political Parties as Mechanisms of Social Choice,” in Handbook of Party Politics, eds. Richard S. Katz and William J. Crotty (London: Sage, 2005), 75–88. Tufts University professor Jeffrey Berry and Georgetown University professor Clyde Wilcox contend that political parties act as counterweights to interest groups, curbing too much external influence over government. Jeffrey M. Berry and Clyde Wilcox, The Interest Group Society (New York: Routledge, 2018). Political parties and interest groups can be seen as partners in many of their activities when it comes to getting candidates elected. For example, the Republican Party in the United States has long maintained ties with conservative Christian groups in order to recruit and organize voters, and the election of President Trump was no exception; some claim that since the 1970s, no Republican candidate could win a nomination for president without the mobilization efforts of religious figures such as televangelist Jerry Falwell . Courtney Weaver, “Why U.S. Evangelicals Are Flocking to Trump,” Financial Times , October 2, 2020, https://www.ft.com/content/de8dcd60-4bbf-4f3b-a1d7-e9eefb936c7f. In the United States, political parties have taken different forms and different names, but the country has steadily maintained a two-party system. However, Japan, one of the oldest democracies in Asia, is an example of a party system where a single dominant party (the Liberal Democratic Party, or LDP) has been in place for decades despite a fully competitive electoral system. José Antonio Crespo, “The Liberal Democratic Party in Japan: Conservative Domination.” International Political Science Review 16, no. 2 (April 1995): 199–209, doi:10.1177/019251219501600206. This contrasts with China, which has one ruling party (the Chinese Communist Party ) but has no democractic elections. Women in the US Congress Nancy Pelosi, Speaker of the US House of Representatives (credit: “IMG_5003” by Senate Democrats/Flickr, CC BY 2.0) Leading up to the general election in 2020, the United States saw a sea change in the makeup of candidates seeking political office, in which almost half of the candidates seeking congressional seats were women (204 of 435.) “Regular Primary Season Ends in Delaware, Adding One to Record Number of Women House Nominees,” Center for American Women and Politics, September 16, 2020, https://cawp.rutgers.edu/delaware-primary-results-2020. Considering the adage “You can’t win if you don’t run,” it is significant that so many female candidates sought elected office, reflecting trends in representation in society in general. Women now make up just over a quarter of the members of the 117th Congress, a record in American history and a 50 percent increase from a decade ago. Carrie Blazina and Drew Desilver, “A Record Number of Women Are Serving in the 117th Congress,” Pew Research Center, January 15, 2021, https://www.pewresearch.org/fact-tank/2021/01/15/a-record-number-of-women-are-serving-in-the-117th-congress/. Additionally, the Speaker of the House, Nancy Pelosi , is not only the first woman to hold the position, she is the only woman to hold it twice. Central Party Activities In addition to working to choose and elect candidates, parties serve other practical functions. Political parties , like interest groups and their PACs, raise money for campaigns. By electing members of their parties to government, parties work to garner a majority coalition in order to direct policy outcomes, and in the United States, money in elections continues to grow. In the 2020 election cycle, both parties raised close to $2 billion to distribute to various candidates and their campaigns. “Political Parties,” Politicians and Elections, Open Secrets, accessed March 2, 2021, https://www.opensecrets.org/parties/. In 2018, the aforementioned Liberal Democratic Party raised ¥2.46 billion (or roughly $22 million) to fund campaigns in Japan despite the assumption that the party would continue to dominate the political system. “Japanese Industry Donations to Liberal Democratic Party in 2018 Hit ¥2.46 Billion, Up for Seventh Straight Year,” The Japan Times , November 29, 2019, https://www.japantimes.co.jp/news/2019/11/29/national/politics-diplomacy/japanese-industry-donations-liberal-democratic-party-2018-hit-¥2-46-billion-seventh-straight-year/. Parties are instrumental in identifying potential members, and registering new voters is a key component of their work. Because American voters are not automatically registered to vote and, depending on their state of residence, may be required to register with a party in order to vote in a political primary , political parties shoulder the important burden of finding new voters to participate in elections. While close to half of voters in the United States register to vote in their states when they apply for a driver’s license, political parties try to make up the difference by registering as many members to their own parties as they can. In the 2020 election cycle, the Republican Party added close to 150,000 new voters in Florida and 30,000 additional voters in Arizona. Nicholas Riccardi, “Republicans See Bright Spot in Voter Registration Push,” AP News , October 20, 2020. However, the gains the party made during the run-up to the election were lost after the Capitol Hill riots on January 6, 2021, with the New York Times reporting that 140,000 members left the Republican Party in the 25 states that have readily available data. Nick Corasaniti, Annie Karni, and Isabella Grullón Paz, “‘There’s Nothing Left’: Why Thousands of Republicans Are Leaving the Party,” The New York Times , February 10, 2021. The death of George Floyd in early summer of 2020 may have spurred additional Democractic registration throughout several states including Michigan and Minnesota. Nick Corasaniti and Isabella Grullón Paz, “Did the George Floyd Protests Boost Democratic Voter Registration?” The New York Times , August 11, 2020, https://www.nytimes.com/2020/08/11/us/politics/democrats-voter-registration-george-floyd.html. However, the Brennan Center for Justice at New York University Law School notes that overall registration pales in comparison to 2016 for both parties in large part due to the COVID-19 pandemic. The center found that voter registration decreased by 38 percent in 17 of 21 states it analyzed. Peter Miller, “Voter Registration Has Plummeted in 2020,” Brennan Center for Justice, September 21, 2020, https://www.brennancenter.org/our-work/research-reports/voter-registration-has-plummeted-2020. Minnesota voter registration rose in the summer of 2020 in reaction to the murder of George Floyd . (source: https://insights.targetsmart.com/september -15-2020-democrats-voter-registration-advantage-increases-in-midwestern-states-home-to-protests.html; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Political parties also vet and recruit candidates for election, and a party that cannot nominate candidates is toothless in its power. Elmer E. Schnattschneider, Party Government , American Government in Action (New York: Routledge, 2014). Univerity of Illinois professor Lester G. Seligman echoed this sentiment, calling candidate recruitment a basic function of a political party. Lester G. Seligman, “Political Recruitment and Party Structure: A Case Study,” American Political Science Review 55, no. 1 (March 1960): 77–86. The extent to which parties perform this function varies by country. The United Kingdom is an example of a parliamentary system where parties play an important role in candidate recruitment, with elected officials often cutting their teeth in local government before being considered for a seat in Parliament . Jo Silvester, “Recruiting Politicians: Designing Competency-Based Selection for UK Parliamentary Candidates,” in The Psychology of Politicians (Cambridge, UK: Cambridge University Press, 2002), 21–38. In the United States, candidate recruitment is increasingly seen as a responsibility political parties and interest groups share, with the latter taking on more of the gatekeeping role in recent years thanks to their organizational powers and ability to gather resources and mobilize supporters. Jonathan Rauch and Raymond La Raja, Re-engineering Politicians: How Activist Groups Choose Our Candidates—Long before We Vote (Washington, DC: The Brookings Institution, 2017), https://www.brookings.edu/research/re-engineering-politicians-how-activist-groups-choose-our-politicians-long-before-we-vote/. Contemporary Party Systems Throughout its political history, the United States has had what is considered a two-party system . Over time the two parties have taken on different forms and names, starting with the Federalists and the Democratic Republican parties, then the Whigs and the Democrats, and now the Democrats and Republicans. While third parties like the Green Party and Democratic Socialists certainly exist, the United States is considered a two-party system since only two parties have a realistic chance of wielding political control. Similarly, in the United Kingdom, the Conservative Party (Tories) and the Labour Party enjoyed long-standing dominance throughout the 20th century. However, the emergence of the Liberal Democrats , Reform UK (or the “ Brexit Party”), and smaller influential parties at the local and regional level has altered the United Kingdom’s traditional two-party system, making it look more like a multiparty system . Philip Lynch, “Party System Change in Britain: Multi-Party Politics in a Multi-Level Polity,” British Politics 2 (October 2007): 323–46, https://doi.org/10.1057/palgrave.bp.4200071. Germany provides another interesting example of a multiparty system. Prior to Adolf Hitler’s rise, over a dozen political parties held seats in the German government. After the rise of Nazi Germany, the country became a single-party government ( Third Reich ), and this single party structure remained in place from 1933 to 1945, until the end of the Second World War. Gerhard Loewenberg, “The Remaking of the German Party System: Political & Socio-economic Factors” Polity 1, no. 1 (1968): 86–113, www.jstor.org/stable/3233977. Germany subsequently broke into two separate countries, East and West Germany. A single party, the Socialist Unity Party of Germany , ruled East Germany. During this era, several parties grew in West Germany, including the Christian Democratic Union, and after the reunification of Germany in 1990, Christian Democratic Union majority party leader Helmut Kohl led the government. Then, in 2016, the outcome of the German election led to a “six-party government,” Isabelle Rousel and Biodun Iginla, “German politics is turning into a six-party system,” The Economist , September 19, 2016, https://www.economist.com/europe/2016/09/19/german-politics-is-turning-into-a-six-party-system. with power sharing between the Social Democrats, Alternative for Germany (AfD), the Christian Democrats, the Left, the Green, and the Free Democrats. Single-party systems still exist today; though China has multiple registered minority parties, it is considered a single-party system where the Communist Party has controlled all levers of government since its rise to power in 1949. “China Anniversary: How the Communist Party Runs the Country,” BBC , September 30, 2019, https://www.bbc.com/news/world-asia-china-49631120. Similarly, Cuba has been a single-party Communist state since 1959. US Department of State, Foreign Relations of the United States , 1958-1960, Cuba, Volume VI, eds. John P. Glennon and Ronald D. Landa (Washington, DC: United States Government Printing Office, 1991) Document 278, https://history.state.gov/historicaldocuments/frus1958-60v06. Eritrea, in Northeast Africa, has also been ruled by a single party, The People’s Front for Democracy and Justice, and a single leader, President Isaias Afwerki, since 1993. US Department of State, Bureau of Democracy, Human Rights, and Labor, Executive Summary, 2018 Country Reports on Human Rights Practices: Eritrea, (Washington, DC: United States Government Printing Office, 2018), https://www.state.gov/reports/2018-country-reports-on-human-rights-practices/eritrea/. A political party is a group of people who share a common political ideology and work to get their members elected into government. In addition to scouting and electing candidates, political parties raise money and work to influence governmental policy. Parties are also heavily involved in registering new voters. Party systems take on different forms. In the United States, we have what is called a two-party system, where there are two major political parties involved in government activity. In contrast, much of Europe uses a multiparty system where the government is made up of multiple parties that must share power. Single-party systems, like those in China and North Korea, are political systems that consist of only one party. multiparty system a system of government where multiple political parties take part in national elections political parties groups that organize around a shared political ideology, with the primary goal of electing party members to positions in government single-party system an electoral system where one party makes up the government two-party system an electoral system where two main parties control power in government", "section": "Political Parties", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Are the Limits of Parties? Learning Outcomes By the end of this section, you will be able to: Explain trends showing the decline of the party system. Discuss the weaknesses of the party system in the United States. Describe patterns of party decline around the world. Historically, political parties have held considerable power in recruiting candidates, mobilizing voters, and securing funds for nominees. Many Americans’ image of party politics involves William Tweed , or “Boss Tweed,” a 19th-century Democratic Party operative who used corrupt methods to exert power and influence within New York City politics. He remains a significant figure in American political history as an example of the height of both the potential corruption and power of the party system, a system that some argue has begun its descent in terms of its ability to fulfill its basic roles. The Decline of Parties and the Rise of Candidate-Centered Campaigns in the United States What is the current state of political parties? University of California professor Martin Wattenburg and Harvard University professor Thomas E. Patterson argue that since the late 1980s, the United States has seen a rise in what is called the candidate-centered campaign . This is the idea that the declining influence of political parties and their decreased ability to mobilize voters’ opinions and actions has set voters politically adrift, and that candidates themselves have stepped in to fill the power vacuum. Martin P. Wattenburg, The Rise of Candidate-Centered Politics: Presidential Elections of the 1980s (Cambridge, MA: Harvard University Press, 1991). These types of “entrepreneurial” candidates further weaken party influence in that they do not need to depend on the party for resources in order to launch a campaign or reach voters. Thomas E. Patterson, We the People (New York: McGraw Hill, 2014), 258. There is no better example of a candidate-centered campaign than that of Ross Perot , a self-made billionaire who funded his own run for president as a third-party candidate against George H. W. Bush and Bill Clinton in 1992. Gerald Seib and James Hagarty, “H. Ross Perot, Texas Billionaire Who Twice Ran for President, Dies at 89,” The Wall Street Journal , July 9, 2019. Perot did not win the election, but he managed to take 20 percent of the popular vote . Yale University professor Ian Shapiro bemoans this trend in candidate-centered campaigns and the weakening party system. According to Yale News reporter Mike Cummings, “the transfer of political power to the grassroots has eroded trust in politicians, parties, and democratic institutions, culminating in the rise of divisive, populist politics in the United States and abroad.” Mike Cummings, “Polarization in US Politics Starts with Weak Political Parties,” Yale News , November 17, 2020. Former President Donald J. Trump is also an example of a candidate who ran outside of the traditional Republican Party platform, who was able to garner media attention despite his inexperience with politics, and who very much manifested this idea of the candidate-centered campaign. Ross Perot (right), shown here with Presidents Bill Clinton (left) and George H. W. Bush (center), was a third-party candidate for president in 1992. (credit: “P37161-12” by George H.W. Bush Presidential Library and Museum, Public Domain) The Decline of Political Parties Around the World Political parties have weakened not just in the United States, but across the globe. European University Institute professor Peter Mair and Leiden University professor Ingrid van Biezen found both that levels of party membership have declined as a proportion of the electorate and that there has been a major decline in the absolute numbers of party members across all the long-established European democracies. Peter Mair and Ingrid van Biezen, “Party Membership in Twenty European Democracies, 1980–2000,” Party Politics 7, no. 1 (January 2001): 5–21. University of Essex professor Paul Whiteley likewise describes a well-documented, long-term decline in party activism across Europe and attributes this trend to parties being too close to the state and no longer working to recruit and rely on membership for their work. Paul Whiteley, “Is the Party Over? The Decline of Party Activism and Membership across the Democratic World,” Party Politics 17, no. 1 (June 2010): 21–44. Other reasons for the global decline of parties include the rise of candidate-centered campaigns (as in the United States), economic factors like deindustrialization, and the rise of communications technologies as an alternative to traditional groups. Patrick Liddiard, Are Political Parties in Trouble? (Washington, DC: Wilson Center, 2018), https://www.wilsoncenter.org/publication/are-political-parties-trouble. The declining salience of class as an identity in political mobilization is also a factor in the decline in party identification, as seen in the United States and in countries like France and Britain, where left-wing parties have seen a decline in working-class voters. In all three countries, voters with low incomes and lower levels of education had tended to support left-of-center parties, while high-income, highly educated voters had aligned with those of the right; however, as London School of Economics and School for Advanced Studies in the Social Sciences professor Thomas Piketty has pointed out, this is no longer the case. Party alliance has flipped: those with higher education and income levels tend to be more liberal and support candidates on the left while working-class and less educated voters support conservative policies. Thomas Piketty, “Brahmin Left vs. Merchant Right: Rising Inequality & the Changing Structure of Political Conflict,” World Inequality Database, March 2018, http://piketty.pse.ens.fr/files/Piketty2018.pdf. The outgrowth of this trend has, according to Piketty, also led to a rise in populism , or the appeal on the part of public leaders to the belief by ordinary people that established elite groups disregard their concerns. Ibid., 2. In countries such as Venezuela and Peru, the collapse of the party system is attributed to a myriad of causes including but not limited to corruption, lowered party identification, weakened party organizations, and ideological underrepresentation. Jason Seawright, Collapse: The Roots of Crisis in Peru and Venezuela (Stanford, CA: Stanford University Press, 2012). Seawright notes that in the case of Venezuela, traditional parties dominated politics throughout the 1980s before losing power in the 1990s and culminating in the rise of Hugo Chávez , a charismatic, populist leader who took the country from moderate US ally to “confrontational populist leftism.” Ibid, p. 2. Similar party weakening has occurred in Indonesia. While party coalitions were meant to facilitate cooperation among different parties, the party system in Indonesia was ultimately weakened by its reliance on patronage (giving government jobs to family and supporters), an institutional failing that academics suggest led to the rise of populist leaders such as President Joko Widodo . Eve Warburton and Edward Aspinall, “Explaining Indonesia’s Democratic Regression: Structure, Agency and Popular Opinion,” Contemporary Southeast Asia 41, no. 2 (August 2019): 255–85, www.jstor.org/stable/26798854. Some scholars argue that political parties play a decreasing role in US politics due to the rise of the candidate-centered campaign. In candidate-centered campaigns, candidates are increasingly less reliant on parties to run for office. These candidates may be independently wealthy, and in recent years there has been a rise of populist candidates who are less reliant on traditional political structures. Lower voter registration rates, declines in party activism, economic factors, and the rise of communication technologies illustrate a weakening of party systems around the world. candidate-centered campaign the idea that the declining influence of political parties and their decreased ability to mobilize voters’ opinions and actions has set voters politically adrift and that candidates themselves have stepped in to fill the power vacuum patronage the act of hiring or using state resources in a partisan manner in order to reward political support populism the appeal on the part of public leaders to the belief of ordinary people that established elite groups disregard their concerns", "section": "What Are the Limits of Parties?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Are Elections and Who Participates? Learning Outcomes By the end of this section, you will be able to: Define the term election. Explain why elections are important to democracy and popular participation. Describe some weaknesses of popular elections. Discuss who votes in elections. Elections take many forms, from student body elections where a group of peers elect one of their own to represent their interests within their school, to a national election that selects a country’s president. An election is a formal decision-making process in which groups determine which individuals will hold public office. In certain states and countries, elections are a means for citizens to select among policy preferences. As Rutgers University professor Gerald Pomper writes, elections are a positive means by which groups can seek particular goals. Gerald Pomper, “The Concept of Elections in Political Theory,” The Review of Politics 29, no. 4 (October 1967): 478–91, www.jstor.org/stable/1405722. Why Are Elections Important to Representative Democracy? Frequent elections are a hallmark of any representative democracy because they allow elected members of government to understand the will of the people and they give people the opportunity to select these representatives and policies based on their preferences. From an American perspective, as Madison writes in Federalist Paper No. 52, “Frequent elections are unquestionably the only policy by which this dependence and sympathy can be effectually secured.” James Madison, “Federalist No. 52,” in The Federalist Papers (New Haven, CT: The Avalon Project), https://avalon.law.yale.edu/18th_century/fed52.asp, first published 1788 by the New York Packet . In other words, if voters are expected to depend upon and trust their representatives, frequent elections are necessary to ensure the government understands the electorate’s needs. Elections can also be seen as competitions where interest groups and political parties use their resources to convince groups of voters to vote for certain candidates over others. Theodore J. Lowi, Benjamin Ginsberg, Kenneth A. Shepsle, and Stephen Ansolabehere, American Government: Power and Purpose (New York: W. W. Norton, 2017), 428. The competitive nature of elections allows voters to “comparison shop” and forces candidates to be open about their objectives and plans. Competitive elections encourage voters to make electoral decisions, and these collective decisions should work to move elected officials in one direction over another in order to maintain their roles. Social Responsibility and Elections “I Voted” sticker (credit: \"I Voted\" by The Marmot/Flickr, CC BY) As students of political science, we are often challenged with explaining how the various fields, theories, and topics we study can translate into something tangibly relevant to the world outside of political science. This link is particularly clear when studying elections since elections give us the opportunity to directly take part in the democratic process through a particular form of civic engagement: voting . Voting, however, is not the only form of civic engagement related to elections. Individuals can also volunteer to work at the polls on Election Day , they can work to help register voters, and they can also volunteer to support the campaign of a preferred candidate. By participating in elections, we each have a chance to have our own voice heard within the halls of power through the selection of elected officials as well as voting on referenda and constitutional amendments. Each of us should strive to understand the role we play in our own community, how our communities intersect with other communities, and the importance of engaging in the civic life of all levels of government. What Are Some Problems with Elections? Elections are not without their problems. In economics, the theory of adverse selection refers to the idea that sellers, not buyers, have the upper hand when it comes to information, especially when it comes to product quality. For example, when a family goes to a shelter to select a puppy, they tend to know relatively little about the puppy’s lineage, what kind of environment it was born or raised in, and what the puppy is like day to day. The family has only limited information to help them decide which puppy to select, much as limited information impairs voters’ ability to make choices about policies and candidates. For example, a recent ballot initiative in California asked voters to decide if drivers of rideshare services such as Uber and Lyft are employees or contractors. The two companies spent $205 million dollars to persuade voters to exempt them from treating their drivers as workers. Michael Hiltzik, “With Prop 22, Uber and Lyft Used Their Wealth to Reshape Labor Law in Their Sole Interest,” Los Angeles Times , November 4, 2020. Since voters cannot fully educate themselves on everything they must vote on, the information asymmetry can often benefit the candidate or, in this case, the companies that can spend the most on communicating with potential voters. This example also sheds light on the problematic costs of elections. As mentioned, the last presidential election cost $14 billion, all to persuade voters to cast a ballot a certain way. As we will discuss later in the chapter, how and when elections occur varies around the world, but the high cost of elections is a uniquely American problem. Elections also shed light on the problems of moral hazard . In terms of elections, a moral hazard is the risk a voter takes that a chosen candidate may not, once elected, act in the way the voter hopes, or as Pomper notes, “Elections have been held harmful because they actually promote the unqualified.” In this way, voting is an act of faith and one that may bring you, the voter, risk or disappointment down the road, particularly if a voter decides to take a chance on a candidate without experience or a candidate who performs well in an election but is not necessarily equipped to govern. Voters may consciously or subconsciously react to the problems of adverse selection and moral hazards by not voting at all. Voter suppression is defined as election practices or policies that discourage or prevent specific groups of people from voting and is another problem voters face in elections around the globe. For example, 17 million EU citizens live and work in another EU country, yet “voting patterns in Italy, Hungary, Poland, and Greece show the extent to which EU expatriates’ political rights have been eroded. Illiberal ruling parties know that these diaspora groups could hurt them electorally and avoid encouraging, or have taken steps actively to discourage, their political participation.” Federico Fubini, “Voter Suppression Comes to Europe,” International Politics and Society , January 15, 2020, https://www.ips-journal.eu/topics/european-integration/voter-suppression-comes-to-europe-3999/. The United States has a regrettable history with voter suppression, as illustrated with Jim Crow laws in the South that barred minorities from voting through the use of literacy tests , poll taxes , and mass purges of Black voters from registration lists. States continue to engage in voter suppression, and the Brennan Center for Justice reports that between January and May of 2021, 14 states enacted 22 new laws that restrict access to the polls, including restrictions on mail-in ballots , making mail-in ballot deadlines earlier, and making voter ID laws stricter. “Voting Laws Roundup: May 2021,” Brennan Center for Justice, May 28, 2021. https://www.brennancenter.org/our-work/research-reports/voting-laws-roundup-may-2021. Opponents of these laws explain that minorities are often the targets of such laws, as they do not have the time or resources to fulfill the necessary voter ID requirements or onerous time deadlines imposed by such laws. Voter suppression has been cited as a cause for lower turnout among minorities in states that enact these regulations. Who Participates in Elections? The number of eligible voters who cast a ballot in an election is referred to as voter turnout . Note that there is a difference between eligible voters and registered voters . In the United States, the voting eligible population (VEP) is all citizens who have reached the minimum age to vote, regardless of registration status, excluding people who are not eligible to vote, such as noncitizens and, in certain states, convicted felons. Registered voters, on the other hand, are voters who have reached the legal voting age, have their names on a voter registration list, and meet the requirements set by their state or jurisdiction in order to vote. The number of registered voters in the United States is lower than the number of eligible voters, and the number of registered voters who actually vote is lower still. The number of adults who participated in elections in the United States in the last 20 years hovered between a low of 52 percent and a high of 66 percent in the 2020 presidential election. Drew Desilver, “Turnout Soared in 2020 as Nearly Two-Thirds of Eligible U.S. Voters Cast Ballots for President,” Pew Research Center, January 28, 2021, https://www.pewresearch.org/fact-tank/2021/01/28/turnout-soared-in-2020-as-nearly-two-thirds-of-eligible-u-s-voters-cast-ballots-for-president/. America has low voter turnout relative to other democratic countries, ranking 30th out of 35 OECD (Organization for Economic Cooperation and Development) countries. Drew Desilver, “In Past Elections, U.S. Trailed Most Developed Countries in Voter Turnout,” Pew Research Center, November 3, 2020, https://www.pewresearch.org/fact-tank/2020/11/03/in-past-elections-u-s-trailed-most-developed-countries-in-voter-turnout/. Country-by-country comparison of voter turnout (source: Pew Research and Global News Reports; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Who votes in American elections? In short, wealthy, older, educated Whites are the most likely demographic group to turn out to vote, while Asians, Hispanic Americans, those with less than a high school degree, and voters under the age of 24 have among the lowest turnout rates. Though the number of eligible voters has grown throughout the nation’s history, the disparity among groups still exists for many reasons. Voting in the United States by demographic group (source: US Census Bureau, Current Population Survey, November Supplement, 2008 to 2020; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In his seminal work on voter participation, University of California professor Arend Lijphart provides insights into the multiplicity of reasons for low voter turnout in the United States. These include the frequency of elections, off-year elections, holding elections on weekdays, and voter registration rules. Arend Lijphart, “Unequal Participation: Democracy’s Unresolved Dilemma,” The American Political Science Review 91, no. 1 (March 1997): 1–14, http://www.people.fas.harvard.edu/~iversen/PDFfiles/Lijphart1997.pdf. The frequency of elections leads to what some call voter fatigue , whereby the demands of multiple elections leave voters feeling apathetic or disengaged. With presidential elections every four years, congressional elections every two years, plus a multitude of local, state, and special elections, Americans face too many choices too many times. Subsequent studies have supported the claim that the frequency of elections depressed voter turnout in other countries as well. Robert R. Jackman and Ross A. Miller, “Voter Turnout in Industrial Democracies during the 1980s,” Comparative Political Studies 27, no. 4 (January 1995): 467–92, https://doi.org/10.1177/0010414095027004001. In the United States, there is also a marked drop-off in participation during off-year elections, when there is no presidential race, only state and local races. Election frequency is also posited as the reason for low voter turnout in Switzerland, which at roughly 40 percent turnout and despite compulsory voting, has one of the lowest percentages of voting-eligible people in a developed country who cast ballots in a national election. Sintia Radu, “Americans Don’t Show Up at the Polls, but Neither Do the Swiss,” US News & World Report , November 2, 2018. https://www.usnews.com/news/best-countries/articles/2018-11-02/the-us-isnt-alone-in-low-voter-turnout. Some suggest that an Election Day holiday , where voting day is a national holiday or voters vote on a weekend, would boost turnout in the United States. Typically, US elections are held during the week, when most people have work or school commitments, whereas countries such as Japan vote on Sundays. The set of conditions voters must meet and be able to prove in order to be eligible to vote, known as voter registration requirements , are also often cited as a reason for low voter participation in the United States. Unlike in other countries, such as Japan, China, and most of Europe and South America, where voter registration is automatic, voter registration is not compulsory in the United States. Many argue that leaving the onus of registration on the voter prevents easy access to the polls. Voter registration requirements also vary widely across states. Twenty-one states allow individuals to register and vote on the same day, while five states have automatic voter registration systems. The remaining states require voters to register anywhere between a week and 30 days prior to the election. “Same Day Voter Registration,” Research, Elections and Campaigns, National Conference of State Legislatures, October 6, 2020, https://www.ncsl.org/research/elections-and-campaigns/same-day-registration.aspx. In addition to institutional barriers, there are other explanations for why people do not vote, including declines in social capital and trust of government. Communities with higher social capital, or relationships forged in political and other social networks that help citizens resolve collective problems, enjoy lower levels of crime and higher levels of trust in government. Robert Putnam, Bowling Alone: The Collapse and Revival of American Community (New York: Simon and Schuster, 2000). Higher levels of social capital are also associated with the willingness to vote. Researchers argue that encouraging individuals to join groups leads to increased community involvement and thus civic participation, “Thickening the Culture of Participation: Archon Fung on Why Tinkering around the Edges of Voting Won’t Get Us to a Truly Participatory Democracy,” Policy Topics, Harvard Kennedy School, November 1, 2018, https://www.hks.harvard.edu/research-insights/policy-topics/democracy-governance/thickening-culture-participation. and this has been shown in studies of Italy, Nadia Fiorino, Emma Galli, and Nicola Pontarollo, “Does Social Capital Affect Voter Turnout? Evidence from Italy,” Social Indicators Research 156, (February 2021): 289–309. as well as multiple democratic countries. Maneesh Arora, Hannah Kim, and Mary Mendoza, “A Cross-National Study of the Effects of Social Capital on Voter Turnout” (paper presented at the Midwest Political Science Association Annual Conference, Chicago, April 10, 2016). As levels of trust in the government have fallen, participation has fallen, and the perception of the lack of integrity in the electoral system has also been correlated with lower turnout. Changing levels of trust in government among US adults (source: Survey of US adults conducted July 27-Aug. 2, 2020; trend sources: Pew Research Center’s American Trends Panel (2020), Pew Research Center phone surveys (2019 and earlier), National Election Studies, Gallup, ABC/Washington Post, CBS/New York Times, and CNN Polls; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Elections are formal decision-making processes in which groups determine which individuals will hold public office. Elections are a vital part of democracy that rests on the idea of popular will since they are the mechanism by which people express their preferences, and they are one of the most important ways people influence politicians to move in one direction or the other in terms of policy. Elections face problems in that sometimes voters do not have all the required information to make decisions that best represent their interests. Moneyed interests can have a heavy influence on election outcomes, and the people’s will can be misrepresented when political actors choose to make decisions that differ from voters’ intentions. Relative to other countries, America has low voter turnout; a significant number of people registered to vote do not actually turn out on Election Day to cast a ballot. There are a variety of reasons for this, including voter fatigue, the lack of an Election Day holiday, onerous registration requirements, and low levels of social capital. adverse selection the concept, borrowed from economic theory, that voters cannot fully educate themselves on everything they must vote on and that this information asymmetry can often benefit the candidate or issue group that controls the distribution of information elections formal group decision-making processes that elect individuals to public office or, in certain states and countries, allow citizens to select among policy preferences Election Day holiday where voting day is a national holiday or voters vote on a weekend eligible voters those United States citizens who are aged 18 and older and meet state residency requirements and rules for voting moral hazard the risk a voter takes that a chosen candidate may not, once elected, act in the way the voter hopes registered voters voters who have fulfilled the necessary requirements set by the government in order to be able to cast a vote voting eligible population (VEP) the population that is eligible to vote, regardless of registration status, not including persons that are not eligible to vote, such as noncitizens and, in certain US states, convicted felons voter fatigue a phenomenon in which the demands of multiple elections leave voters feeling apathetic or disengaged voter registration requirements a set of conditions voters must meet and be able to prove in order to be eligible to vote voter suppression a strategy or in some instances local laws that work to prohibit certain groups from voting voter turnout the number of eligible voters who cast a ballot in an election", "section": "What Are Elections and Who Participates?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Do People Participate in Elections? Learning Outcomes By the end of this section, you will be able to: Explain how elections take place in the United States and abroad. Describe the regulations that govern elections in the United States and abroad. Compare United States elections and regulations with those in other countries. On October 8, 2004, “against the backdrop of extremists’ threat, difficult terrain and sometimes adverse weather conditions,” Afghanistan’s first-ever democratic presidential election took place. “Afghanistan’s First Presidential Election Not Perfect, but Sets Stage for Journey towards Vigorous Democracy, Security Council Told,” Security Council, United Nations, October 14, 2004, https://www.un.org/press/en/2004/sc8216.doc.htm. Despite public warnings from a former Taliban supreme leader who threatened violent attacks should citizens vote in the first-ever direct democracy election in Afghanistan, Afghan politician Hamid Karzai was elected out of 17 presidential candidates. “Afghans Vote in Historic Election,” CNN , October 8, 2004, https://www.cnn.com/2004/WORLD/asiapcf/10/08/afghanistan.elections/. Roughly a month later, on November 3, Karzai was officially elected president with 55.4 percent of the vote. Carlotta Gall, “Election of Karzai Is Declared Official,” New York Times , November 4, 2004, https://www.nytimes.com/2004/11/04/world/asia/election-of-karzai-is-declared-official.html. In a region US military forces had occupied after the 9/11 terrorist attacks, the election of Karzai was an incredible achievement and, perhaps most significantly, “the election, contrary to expectations, was not marred by ethnic, ideological and linguistic cleavages so characteristic of the Afghan society. Karzai’s government will be better advised to facilitate the creation of a ‘balanced party system’ in Afghanistan.” Wahabuddin Ra’ees, “Presidential Election in Afghanistan: Democracy in the Making,” Intellectual Discourse 13, no. 1, (2005): 31. Global media carried pictures of jubilant Afghans, their thumbs stained with purple ink that signified they had voted, and these pictures reminded all of us how important elections are in a democracy. Ink on a finger symbolizes that a vote has been cast. (credit: “_DSC0091” courtesy USAID/ISAF Public Affairs/Flickr, CC BY 2.0) Electoral Districts and Plurality and Proportional Representation In the United States, Americans vote in what are called electoral districts , which are all roughly equal in size in terms of population. The United States House of Representatives, state legislatures, and local governments all have their own districts from which a single representative is elected, though this was not always the case. At the writing of the Constitution, Article I, Section 4 simply stated that both Congress and state legislatures would determine how elections for members of Congress would occur. Congress first passed the law dictating that House members be elected by district in 1842, and by 1872 they had expanded its scope, articulating the need for equal districts. U.S. Const. art. I, § 4, cl. 1. In the case of the United States Senate, each state is the equivalent of a district, though each state obviously has a different number of residents. When the Constitution was drafted, state legislatures elected Senators, but by 1913 the 17th Amendment was passed and ratified in order to allow the election of Senators by direct popular vote. “Landmark Legislation: The Seventeenth Amendment to the Constitution,” United States Senate, accessed March 3, 2021, https://www.senate.gov/artandhistory/history/common/generic/SeventeenthAmendment.htm. The president of the United States is elected through the Electoral College , a system of electors the number of which is equal to the total number of Senators (two from each state) and House members, plus electors from Washington, DC. Washington, DC, has three electoral votes, while other US territories have none. Each state is a district. States choose electors using different methods including state conventions, state party central committees, appointment by state governors, state primary , or nomination by the party’s candidate. Electors are expected to vote on behalf of their party and according to the popular vote. However, as we have seen in recent elections, the winner of the popular vote is not always the winner of the Electoral College. Five presidents have lost the popular vote and won the Electoral College: John Quincy Adams, Rutherford B. Hayes, Benjamin Harrison, George W. Bush, and Donald Trump. This is because, with the exception of Maine and Nebraska, states utilize a “ winner-take-all ” approach to allocating electoral votes. This means that no matter the margin, the candidate who wins the popular vote in a state wins all of that state’s Electoral College votes. Maine and Nebraska allocate one electoral vote to each of their congressional districts, and the winner of each of those districts is awarded one electoral vote. The winner of the statewide vote is then awarded the state's remaining two electoral votes. This allocation of Electoral College votes is referred to as the congressional district method . Most American elections are won by plurality rule , whereby the candidate with the most votes wins. Some states, such as Georgia, require candidates for statewide office to win at least 50 percent of the vote, which is called majority rule . If a candidate cannot secure 50 percent of the vote, the election goes into what is called a run-off election , where the field of candidates is whittled down to a smaller number and the election is held again. Georgia Senate candidates Raphael Warnock and Jon Ossof stand at either side of Senator Chuck Schumer. (credit: “Senate Majority Leader Chuck Schumer (D-NY), Senator Jon Ossoff (D-GA) and Senator Reverend Raphael Warnock (D-GA)” by Senate Democrats/Flickr, CC BY 2.0) The main alternative to plurality rule is proportional representation , a concept that is often suggested as an alternative to the “winner-take-all” approach of the Electoral College. In proportional representation, the proportional breakdown of votes cast by the electorate for each party determines what proportion of the governing body is made up of members of those parties. In other words, if one party were to win 60 percent of the vote and another party were to win 40 percent, the government would consist of 60 percent of the first party and 40 percent of the other. Notably, America does not employ proportional representation at any level of elections, and according to Duverger’s Law , this is the reason why the United States also still has only two main parties; plurality rule encourages a dichotomous party system, whereas proportional representation encourages multiple parties to form. William Riker, “Duverger’s Law Revisited,” in Electoral Laws and Their Political Consequences, eds. Bernard Grofman and Arend Ljiphardt (New York: Agathon Press, 1986), 19. Not all countries have the same type of elections. While the United States has a president who is elected indirectly by an electoral college and a legislature that is bicameral and directly elected, Japan, for example, has a directly elected national Diet (parliament made up of the House of Representatives and the House of Councilors). In the House of Representatives, the larger legislative body, the majority of members are elected by plurality vote in single-member constituencies to serve four-year terms, while some members are elected through a closed-list proportional representation system, whereby voters can pick a party but not individual candidates. The majority of list-proportional representation (list PR) systems in the world are closed, meaning that the order of candidates elected by that list is fixed by the party itself, and voters are not able to express a preference for a particular candidate. Many of the list PR systems used in continental Europe therefore use open lists, in which voters can indicate not just their favored party, but their favored candidate within that party. (Source: “Open, Closed and Free Lists,” ACE Project: The Electoral Knowledge Network, https://aceproject.org/main/english/es/esg03.htm) In elections for the House of Councilors, voters mark their preferences for both a candidate and a party, and members are elected through an open-list proportional representation system. The head of state is the prime minister, who is appointed by the Diet. Japan is considered a long-running and stable democracy with regular elections determined by popular vote. However, not all countries have completely free and fair elections. Thailand, for example, has a bicameral legislature , but the entirety of the Senate is appointed by the military while the prime minister is appointed by the king. The House of Representatives are elected by a plurality vote through a closed-list proportional representation system. North Korea is the most drastic case of a controlled election; voting for the Supreme People’s Assembly (SPA) is compulsory, and people have no choice of candidates. Direct Democracy: Ballot Initiatives and Referendums Ballot initiatives and referendums are examples of a different type of election, often referred to as direct democracy , where instead of elected representatives deliberating upon policies, citizens vote on those policies directly. A ballot initiative introduces a new piece of legislation or a law (e.g., whether Maryland should allow gambling in all counties), while a referendum asks voters to support or terminate an already-existing law or policy. A recall is a type of direct democracy that provides voters with the opportunity to end the term of an already-elected member of government. In 2021, California Governor Gavin Newsom survived a recall election that would have removed him from office. (credit: “IMG_1974” by Charlie Nguyen/Flickr, CC BY 2.0) These types of direct democracy are present in 26 US states and multiple local municipalities, 10 EU countries, and Taiwan. John G. Matsusaka, “Direct Democracy Works,” Journal of Economic Perspectives 19, no. 2 (Spring 2005): 185–206. Direct democracy is often lauded as fully representing the will of the people, but ballot initiatives, referendums, and recalls are also criticized for their costs and lack of deliberation. Election Regulations in the United States In the United States, the federal government plays only a limited role in regulating campaigns and elections. This is due in part to the idea behind the federal system of American government, which balances power between the federal government and the states. As such, states are free to oversee their own election processes so long as they do not violate existing federal laws or state statutes. For example, since 1998 Oregon has used mail-in ballots , where all registered voters receive ballots three weeks before Election Day . Priscilla Southwell, “Mail-In Voting Lessons from Oregon, the State with the Longest History of Voting by Mail,” The Conversation , September 30, 2020, https://theconversation.com/mail-in-voting-lessons-from-oregon-the-state-with-the-longest-history-of-voting-by-mail-145155. In Maine, voters are allowed to use a ranked-choice method to select candidates, with the lowest-ranked candidates eliminated in each round until there are only two candidates left. The candidate who wins more than 50 percent of the vote in the final round is declared the winner. Gabrielle Manino, “What Is Maine Ranked-Choice Voting and How Does Ranked-Choice Voting Work?” News Center Maine , updated November 3, 2020, https://www.newscentermaine.com/article/news/politics/elections/what-is-and-how-does-maine-ranked-choice-voting-work/97-e7964e06-a087-4b79-97cc-7f053c294248. States also differ in other methods and regulations around voting. For example, recent proposed changes in the Georgia legislature would make Sunday voting more difficult for Georgians wishing to cast early votes. This type of regulation is decided at the state level, though opponents allege that this measure is aimed squarely at minimizing Black turnout since, historically, southern churches have encouraged their congregants to vote on Sundays. Eugene Scott, “New Georgia Legislation Would Curb ‘Souls to the Polls,’” Washington Post , February 21, 2021, https://www.washingtonpost.com/politics/2021/02/24/new-georgia-legislation-would-curb-souls-polls/. While state election commissions and agencies largely set their own parameters around when, where, and how people can vote, the federal government is primarily concerned with supporting states in administering elections and with campaign finance —that is, with limiting the amount of money that flows into and out of campaigns. More specifically, congressional agencies are tasked with regulating or overseeing campaign finance, election administration, election security, redistricting, qualifications and contested elections, and voting rights, though the primary role of administering elections is left to the states and their jurisdictions, reflecting the American tenets of federalism . While the Election Assistance Commission and Federal Election Commission are two federal agencies devoted to overseeing campaigns and elections, the Justice Department administers and enforces some election statutes. The Department of Homeland Security is also now more involved with elections. R. Sam Garrett, Federal Role in US Campaigns and Elections: An Overview , CRS Report No. R45302 (Washington, DC: Congressional Research Service, 2018), https://fas.org/sgp/crs/misc/R45302.pdf. Working the Polls Poll workers are sometimes called “the gatekeepers of American democracy” because they are often the first people to greet a voter who has arrived on Election Day to exercise their right to vote. Matt Vasilogambros, “Few People Want to Be Poll Workers, and That’s a Problem,” The Pew Charitable Trusts, October 22, 2018, https://www.pewtrusts.org/en/research-and-analysis/blogs/stateline/2018/10/22/few-people-want-to-be-poll-workers-and-thats-a-problem. Poll workers make sure that people who vote can check in and provide ID (in some states). They share important information about how to fill out ballots and make sure the voting process moves smoothly. Any place that serves as a polling station (in other words, a place to vote) needs poll workers. Most states provide training and payment for these important positions, but a lack of poll workers is an ongoing problem for many local jurisdictions. Nonprofit organizations such as All Voting Is Local train and recruit poll workers to ensure fair election practices and to encourage all Americans to participate in their democracy. “Our Work,” All Voting Is Local, accessed March 16, 2021, https://allvotingislocal.org/our-work-2/. The more we participate, the more we understand how politics impacts us. To find out more about being a poll worker, you can contact your state election board or read more at the US Election Assistance Commission website . “Become a Poll Worker,” Voters, US Election Assistance Commission, accessed March 16, 2021, https://www.eac.gov/voters/become-poll-worker. Election Regulations around the World Election rules differ around the globe. In comparison to the United States, France imposes very strict regulations on how elections are run. In France, elections themselves are very brief (two weeks leading up to the casting of ballots and one week in between two separate ballots), and all media involving campaigns can only be aired during a three-month run up to an election. In addition, starting from the night before polls open, it is illegal to publish or in any way broadcast any type of communication that can be categorized as electoral propaganda. However, television stations can show candidates voting (along with other citizens) as long as all candidates in the election are included and provided no candidate transmits any sort of campaign message on camera. French law also prohibits the media from publishing, broadcasting, or commenting on any kind of electoral poll . Finally, election results, even partial ones, cannot be published or broadcast before the last polling place closes on Sunday. “French Media Rules Prohibit Election Coverage over Weekend,” France 24 , May 7, 2017, https://www.france24.com/en/20170506-france-media-rules-prohibit-election-coverage-over-weekend-presidential-poll. The state also caps both campaign donations and expenditures, a special commission monitors campaign expenditures, and the state can reimburse up to 50 percent of certified elections. “Campaign Finance: France,” Law Library, Research and Reports, Legal Topics, United States Library of Congress, accessed March 3, 2021, https://www.loc.gov/item/2018298980. In Britain, the prime minister can call an election at will. These are called snap elections . A prime minister might call a snap election on the back of good news, for example, in order to bolster his or her majority within the Parliament. Elections in the United Kingdom are also short compared to those in the United States. Tony Blair , the leader of the Labour Party, famously announced his candidacy for prime minister one month before the election. Mostafa Farmani and Afshin Jafari, “A Comparative Approach to Study the Electoral Systems of Selected Countries,” International Journal of Humanities and Cultural Studies 2, no. 4 (March 2016): 1913–24. Unlike the fixed election calendar America follows, the system in the United Kingdom is more flexible; Parliament is “dissolved” after five years and 25 days before a general election. However, as stated previously, these elections can be called at any time during a prime minister’s term. Citizens in the United Kingdom vote for members of Parliament (MPs) from their district, and the party with the most seats elects the prime minister from among their ranks. However, the prime minister is officially appointed by the Queen, though she typically follows the majority party’s choice for who should fill the role. “General Elections,” About Parliament, UK Parliament, accessed March 3, 2021, https://www.parliament.uk/about/how/elections-and-voting/general/. A vote of no confidence , when the majority of the legislature indicates that they can no longer support the Prime Minister and their government, can make way for a new leader and governing body through a general election. Americans vote in electoral districts that are drawn to be roughly the same size in terms of population. The people vote directly on members of the House and Senate, whereas the president is elected through the Electoral College. Elections are won either by plurality rule (most votes) or majority rule (at least half). Ballot initiatives and referendums represent direct democracy, in which people select policy preferences rather than relying on elected officials to vote on them. Some consider them a more democratic form of participation. In the United States, the federal government plays a limited role in administering elections, leaving the states to create their own rules and regulations in terms of when people can vote and how. Elections are run differently around the world. In many countries, voter registration is automatic, and in some countries it is even compulsory. While Election Day is a fixed day on the US calendar, in other countries elections can be called at any time. Aldrich, John H. Why Parties? The Origins and Transformation of Political Parties in America . Chicago: University of Chicago Press, 1995. Alexander, Robert, ed. The Classics of Interest Group Behavior . New York: Wadsworth, 2005. King, Anthony. Running Scared: The Victory of Campaigning over Governing in America . New York: Free Press, 1997. Lijphardt, Arend. Electoral Systems and Party Systems: A Study of Twenty-Seven Democracies . New York: Oxford University Press, 1994. Thurber, James A., and Candace J. Nelson. Campaigns and Elections American Style: The Changing Landscape of Political Campaigns . Oxford: Routledge, 2018. Verba, Sidney, Kay Schlozman, and Henry E. Brady. Unheavenly Chorus. Princeton, NJ: Princeton University Press, 2013. congressional district method a method of allocating electoral votes, used in Maine and Nebraska, where the winner of each congressional district is awarded one electoral vote and the winner of the statewide vote is awarded the state’s two remaining electoral votes direct democracy a democratic system in which citizens make direct policy choices rather than leaving them to elected officials Electoral College the system of electors, based on the total number of United States Senators, House members, and electors from Washington, DC, by which the president of the United States is chosen electoral districts in the United States, districts of roughly equal population size in which Americans vote majority rule a system in which candidates for statewide office must win at least 50 percent of the vote to win an election plurality rule an election system in which the candidate with the most votes wins an election proportional representation an electoral system in which votes cast by the electorate are reflected by the same proportions within the governing body recall an election in which voters decide whether or not to end the term of an elected official referendum an election in which voters decide whether to overturn existing law or policy snap election in Britain, an election the prime minister can call at any time vote of no confidence a way for a legislative body to indicate that they no longer support the leader of the government (such as a prime minister) and their cabinet", "section": "How Do People Participate in Elections?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction The Congress of Peru is a unicameral legislature in which legislators are selected to represent each regional district as well as two special districts, for Lima Province and Peruvian citizens abroad. Seats are assigned based on population in multimember districts. (credit: “Presidente del Congreso en Sesión Solemne” by Congreso de la República del Perú/Flickr, CC BY 2.0) A legislature is a deliberative body that is granted the authority to create laws to govern a society. When the term legislature comes up, people often think of national legislatures, such as the US Congress or the National Congress of Argentina. However, city councils and state legislatures also play a significant role in governing our everyday lives, and supranational legislatures, such as the European Parliament , can have a profound impact by setting policies on trade and migration across many countries. Though legislatures are deliberative bodies generally focused on passing laws, their role is much more complex. This chapter will explore what it is that legislatures do, examine the impact that differences in legislative structure can have on the political system, and consider the challenges that legislatures face.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Do Legislatures Do? Learning Outcomes By the end of this section, you will be able to: Describe the different aspects of a legislature’s work. Discuss the general components of the legislative process. Outline how legislatures organize to accomplish their work. Define different ways legislators represent constituents. Setting aside the challenge of running for reelection, there are many tasks involved in a legislator’s job, including creating new laws to solve emerging policy problems; evaluating existing arrangements to make sure they still work; staying in touch with constituents, both to keep them up to date with legislative work and to find out what they think about current issues; and overseeing other parts of the government to ensure that the will of the legislature is being carried out. This section will examine each part of a legislator’s job in greater detail to better understand the roles that legislatures play in the political world. Not all legislatures around the world have the same powers and functions. Some legislatures, particularly in non-democracies, have limited roles in governing but provide other important functions. In some systems, the legislature can serve a more consultative role, even if it doesn’t have final decision-making power. Still other legislatures are endowed with powers that make them coequal with the various branches of government. Finally, there are some legislatures that are the supreme decision makers when it comes to policy making. Recognizing that these differences exist is an important component of understanding the roles legislatures play in society. Because legislatures play a particularly important role in democratic systems, much of this chapter focuses on those systems. Critical Thinking and Legislative Analysis Somali women lawmakers attend a workshop in Mogadishu aimed at empowering lawmakers to protect and promote the rights of women, children, and other marginalized groups. (credit: “2018-02-28 Somali Women Legislators-2” by AMISOM Public Information/Ilyas Ahmed/Flickr, CC0 1.0) When people study legislatures, they often examine why members of a legislature voted a certain way on a particular piece of legislation, why a certain member was chosen to serve on a particular legislative committee, or even why some policy elements were or were not included within the text of a proposed piece of legislation. Being able to answer and explain the why requires one of the most important skills that studying political science helps you develop—critical thinking. When you learn how to explain why someone voted yes or no on a piece of legislation, you are really developing the ability to explain anything, in any field or specialization. Critical-thinking skills are among the skills employers value most. “The Four Career Competencies Employers Value Most,” NACE Center for Career Development and Talent Acquisition, National Association of Colleges and Employers, March 29, 2019, https://www.naceweb.org/career-readiness/competencies/the-four-career-competencies-employers-value-most/; “Employers More Interested in Critical Thinking and Problem Solving Than College Major,” Association of American Colleges & Universities, April 10, 2013, https://www.aacu.org/press/press-releases/employers-more-interested-critical-thinking-and-problem-solving-college-major. The ability to explain complex situations, to solve problems, and to make sense of situations that seemingly defy rational explanations provides the foundation on which you can build many diverse career paths. Passing Laws: Who Comes Up with Ideas? One of the legislature’s main jobs is to pass laws in order to solve policy problems. Ideas for these laws come from many places. Constituents might go to members of legislatures for help solving a problem in their community, such as a need for more school funding. A newspaper might publish an investigation that brings attention to an important issue. Often, organizations that work on a particular issue reach out to legislators. A president or prime minister, or another member of the executive branch, routinely offers policy proposals to the legislature for their consideration. Finally, ideas can come from the legislators themselves. It is quite common for a member of a legislature to develop a passion for and expertise in a particular policy area. In order for a law to be created or changed, a legislator or group of legislators must be willing to work to solve the problem. Often, the person who introduces a piece of legislation is known as its sponsor . The sponsor—or, if a group of legislators introduces legislation, the cosponsors—argues on behalf of a piece of legislation in debate and meets with other legislators to try to get their support for the bill. Once legislators realize there is a problem they need to solve, they set out to learn more about the policy area. They can do this a number of ways, including by reading research and reports. Often, they hold hearings in which they consult policy experts. Hearings can be useful for bringing many different stakeholders and perspectives together in one place. How Are Ideas Debated? Following the information-gathering process, legislators decide how to proceed to fix the problem. In most cases, they decide that the best way to solve a problem is to pass a law. Laws concerning the relationship between the government and individuals that apply to all people are called public laws . The Patient Protection and Affordable Care Act is a good example of a public law, as it made changes to the health care system in the United States that affected US society as a whole. Public laws cover a huge range of topics, including the economy and government operation, health care and civil rights, defense and foreign policy, and everything in between. The process of writing a law involves taking all the ideas proposed and all the information gathered and turning them into a formal text to circulate and debate . Members of the Colorado state senate debate the budget in 2011. Members listen as their colleague makes a speech, but they also have conversations and look over reference material. Budgets are critical pieces of legislation, as money is vital for government agencies and programs to operate. (credit: “Budget Debate 2011” by Colorado Senate GOP/Flickr, Public Domain) The exact process of debate differs across legislatures, but most require a public debate—that is, a debate that is open to all members—before the legislature votes on the proposed piece of legislation. Most systems have a set of parliamentary procedures , or rules that govern the structure of debate. Common procedural components include the right of the minority to speak in a debate, every member having the right to a vote, and only one piece of business being addressed at a time. Henry M. Robert III et al., Robert’s Rules of Order: Newly Revised , 12th ed. (New York: PublicAffairs, 2020); Kari Palonen, The Politics of Parliamentary Procedure: The Formation of the Westminster Procedure as a Parliamentary Ideal Type (Opladen, Germany: Barbara Budrich, 2014). Members of the European Parliament debate and vote on the withdrawal agreement of the United Kingdom from the European Union. (credit: “Members Debate and Vote on the EU-UK Withdrawal Agreement” by European Parliament/Flickr, CC-BY-4.0: © European Union 2020 – Source: EP) How Do Laws Get Passed? Following the conclusion of debate , legislation is put to a vote to determine whether it will become law. For the passage of ordinary laws, most countries require a bill to gain the votes of a majority of legislators. One of the basic principles of democratic societies is majority rule , or the idea that the decision of the majority—50 percent of the chamber’s membership plus one member—determines the decision of the chamber on most items of business. However, in some instances, change cannot take place without a supermajority . Supermajority voting rules require more than a majority to pass legislation. These rules come into play most often for decisions that are considered especially important or consequential. For example, countries that allow the legislature to amend the constitution usually require supermajorities to pass such amendments. Supermajority voting rules for constitutional amendments can require anywhere from three-fifths to three-quarters of the chamber’s membership to agree to the proposed measure. For example, changes to the Japanese constitution require the support of two-thirds of each chamber in the Diet (the Japanese national legislature) and a majority in a public referendum . Countries where the parliament can call early elections also require a supermajority to agree to these elections. In the United Kingdom, at a minimum, parliamentary elections must happen every five years. However, if two-thirds of Parliament agrees, the legislature can be dissolved and early elections will be held. A supermajority may also be required to remove individuals from office. In the United States, the process of impeachment , which is the first step in removing a member of the executive or judicial branch from office, requires only a majority vote in the House of Representatives to move forward to trial in the Senate. Once the trial takes place, however, two-thirds of the Senate must vote in favor of conviction for the individual to be removed. So while the vast majority of laws and legislative action require the support of a simple majority of legislators, some instances require that a higher threshold be met. In some cases, legislatures implement rules that create supermajority requirements for ordinary legislation. In the United States Senate, there is a tradition of unlimited debate on legislation. This means that a legislator can delay or prevent a vote on a piece of legislation by insisting that there is still more to debate, a practice commonly referred to as a filibuster . Valerie Heitshusen and Richard S. Beth, Filibusters and Cloture in the Senate , CRS Report No. RL30360 (Washington, DC: Congressional Research Service, 2017), https://crsreports.congress.gov/product/pdf/RL/RL30360. In the modern Senate, any member can declare that they are filibustering, or still debating an issue, which stops the issue from coming to a vote. A vote only happens when 60 senators vote in favor of a cloture motion to end the debate. “About Filibusters and Cloture: Historical Overview,” United States Senate, last modified June 3, 2021, https://www.senate.gov/about/powers-procedures/filibusters-cloture/overview.htm. Because any member can invoke a filibuster for any reason, there is essentially a de facto supermajority requirement for legislation to pass in the United States Senate. The process discussed here—in which ideas come freely from all actors, are debated seriously, and can result in changes—is most characteristic of legislatures in democratic regimes. Legislatures in authoritarian countries may be far less independent, far less capable of policy making and representation, and far more responsive to the authoritarian leader. They do, however, play important roles in their political systems, such as making their governments more stable than authoritarian governments without legislatures. Carles Boix and Milan W. Svolik, “The Foundations of Limited Authoritarian Government: Institutions, Commitment, and Power-Sharing in Dictatorships,” Journal of Politics 75, no. 2 (April 2013): 300–316, https://www.jstor.org/stable/10.1017/s0022381613000029; Jennifer Gandhi and Adam Przeworski, “Authoritarian Institutions and the Survival of Autocrats,” Comparative Political Studies 40, no. 11 (November 2007): 1279–1301, https://doi.org/10.1177/0010414007305817. Authoritarian legislatures provide a venue where key social groups may make their voices heard in policy debates, encouraging that stability. Ora John Reuter and Graeme B. Robertson, “Legislatures, Cooptation, and Social Protest in Contemporary Authoritarian Regimes,” Journal of Politics 77, no. 1 (January 2015): 235–248, https://doi.org/10.1086/678390; Jennifer Gandhi, Political Institutions under Dictatorship (New York: Cambridge University Press, 2008). Additionally, the legislature maintains a role in the policy process, as the authoritarian leader may choose to delegate decision-making authority in particular policy areas to actors with their own policy preferences. Scott Williamson and Beatriz Magaloni, “Legislatures and Policy Making in Authoritarian Regimes,” Comparative Political Studies 53, no. 9 (August 2020): 1525–1543. Although legislatures exist on a spectrum of power and independence, with legislatures in democratic systems tending to be more powerful and independent than legislatures in authoritarian regimes, all legislatures play a significant role in their systems of government. Organizing the Legislature’s Work The work of legislatures requires a large number of people to collaborate. Every legislator has their own goals, things they want to take credit for, and blame they are trying to avoid—and everyone thinks they are right. Even when individuals agree that a particular policy is worth working on, they may disagree on the exact solution. Legislatures must create structures to keep their members moving productively in roughly the same direction. Political Parties One of the main ways legislatures organize themselves is through political parties (which are discussed in detail in Chapter 8: Interest Groups, Political Parties, and Elections ). Political parties are groups of people who typically have similar ideas on policy that they use to help candidates run for election and govern. “Political Parties,” United States Senate, last modified October 12, 2021, https://www.senate.gov/reference/reference_index_subjects/Political_Parties_vrd.htm. One of the ways political parties help govern is in determining decision-making authority. Because most votes require a majority to pass, many political systems give additional decision-making and leadership authority to the political party that holds a majority of seats. The majority party , or the political party that holds more than 50 percent of seats in the chamber, is often granted the ability to set the schedule for what bills get debated. They also typically control more seats on legislative committees , and because of these powers, they are typically more likely to get their preferred policies enacted into law. A minority party is any political party that does not have more than 50 percent of seats in the chamber. In democracies, minority parties can play an important legislative role, as they provide official expression of political and policy ideas that differ from those of the majority. They present their ideas in debate and vote against legislation they disapprove of, even when that legislation is likely to pass and become law. John Patrick, “Majority Rule and Minority Rights,” Annenberg Classroom, Annenberg Public Policy Center of the University of Pennsylvania, August 4, 2017, https://www.annenbergclassroom.org/glossary_term/majority-rule-and-minority-rights/. The exact nature of the relationship between the majority and the minority depends on the number of parties in the legislature, and that number depends on what electoral system is in place. Some systems result in the dominance of two main political parties. In the US government, for example the Democratic and Republican Parties have primary control. Other systems make it easier for many parties to end up with seats in the legislature. In legislatures where many political parties hold seats, parties often need to join together in coalitions to create a majority in the chamber. For example, in the 2020 Irish elections, no single party gained a majority. The party that gained the most votes, Fianna Fáil, joined with two supporting parties, Fine Gael and the Green Party, to form a majority coalition. “Irish Government: Parties Agree to Form Coalition Government,” BBC News, BBC, June 26, 2020, https://www.bbc.com/news/world-europe-53181372. Coalition governments can be more fragile than outright majority governments because if the relationship between the parties in the agreement breaks down, a party might withdraw its support from the coalition, throwing the balance of power in the legislature back into question. Ireland Coalition Deal: Fiana Fáil, Fine Gael, and Greens to Form Coalition Government Why might some parties want to be a part of a coalition government? Why might some parties not want to be in a coalition government? In this news segment, members of the Irish parliament from different parties discuss what their parties were looking for from a new governing coalition following the 2020 elections. Following the 2020 elections in Ireland, no single party had enough seats in the Dáil Éireann, the lower chamber of the Irish legislature, to form a majority government. Instead, the largest party, Fianna Fáil, created a coalition to govern the country with the backing of Fine Gael and the Green Party. Note: This figure represents the numbers of seats each party secured, but not necessarily the actual seating arrangement. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Committees Another way legislatures organize is through legislative committees , groups of lawmakers who work together on the same policy area. Legislatures try to have enough committees to cover all major policy areas, and while the number of members on each committee varies, most systems require that all parties be allowed space on a committee. That means individual members of small parties typically serve on more committees than members of bigger parties, which can afford to spread their members around. Organizing legislative work through committees facilitates specialization and legislative delegation . When individual legislators specialize, they delve more deeply into one or two policy areas and develop expertise on those issues. This expertise helps them better understand the nature of the problem and analyze different solutions. Legislative delegation goes hand in hand with specialization: when a legislator is tasked with voting on an issue outside their areas of expertise, rather than having to do extensive research, that legislator can rely on the opinion of members of their political party who are on the relevant policy committee. If those members support the legislation, it can help the legislator decide whether they should support the legislation, too. The party delegates responsibility for learning about that issue to party members who sit on the relevant committee. Often, when people think of legislators, they think of people for whom writing laws and doing the work of government is a full-time job. While that may be true in many situations, not every legislature is a professional legislature . Professional legislatures meet year-round. The work of the legislature is the legislators’ only or primary job, they have paid professional staff, and they earn a salary that reflects the status of the office and the effort it requires. For example, the California State Assembly, the lower chamber of the California State Legislature, is in session from January to September every year; during the September to December period, members are often in their home districts, continuing to do work and preparing for the next legislative session. Members earn a salary of approximately $115,000 per year plus per diem. “2020 Legislator Compensation,” National Conference of State Legislatures, June 17, 2020, https://www.ncsl.org/research/about-state-legislatures/2020-legislator-compensation.aspx. In contrast, nonprofessional legislatures , sometimes also called citizen legislatures, are part-time legislatures where members meet for a set period of time and then, once the legislative session ends, go home to their districts to the job they held prior to the session or to other work. The Texas Legislature is an example of a nonprofessional legislature: members meet starting on the second Tuesday in January for 140 days in odd-numbered years and make $7,200 per year plus a per diem when in Austin, the state capital. “Frequently Asked Questions,” Texas House of Representatives, accessed October 15, 2021, https://house.texas.gov/resources/frequently-asked-questions/. The governor, who has the power to recall the legislature to special sessions for 30 days at a time, generally handles any decisions that need to be made in between sessions. This tends to make governors in states with nonprofessional legislatures very powerful. Legislative professionalism can have a substantial impact on a legislature’s capacity to do its work. Short legislative sessions limit the amount that legislatures can accomplish in a given session, requiring clear prioritization and swift leadership. Proponents of nonprofessional legislatures argue that shorter sessions help constrain the cost of legislators’ salaries and the size of their staffs and that they prevent the expansion of government. William Ruger and Jason Sorens, The Citizen Legislature: How Reasonable Limits on State Legislative Salaries, Staff and Session Lengths Keep Liberty Alive , Policy Brief No. 11-04 (Phoenix, AZ: Goldwater Institute, 2011), https://goldwaterinstitute.org/wp-content/uploads/cms_page_media/2015/2/10/Citizen%20Legislatures%206-21.pdf. While each government must decide for itself whether a professional or a nonprofessional legislature is the correct fit, it is certainly true that the capacity of nonprofessional legislatures is limited. Representation of Constituents Every member of a legislature has constituents , the people they are elected to represent. The connection between legislator and constituent can take many forms, and the particular form can have a substantive impact on the relationship. Single-Member Districts versus Multimember Districts The way in which legislators are assigned to their districts affects the legislator-constituent relationship. In some systems, each legislator is elected to represent a specific geographic district. For example, in Canada, the House of Commons represents 338 ridings. The member of Parliament elected from Halifax, Nova Scotia, is only responsible for representing the constituents in Halifax, and only the voters in that district can vote in the election to select the representative for that district. This type of system can allow a legislator to become familiar with the particular issues that affect their district and to potentially be more responsive to their constituents; however, it can also heighten geographic differences and potential tensions between regions. Each area outlined represents one riding, or federal electoral district, in Canada and is represented by one member of Parliament in the House of Commons. (credit: modification of work by IntrigueBlue/derivative of work by TastyCakes/Wikimedia Commons, Public Domain) This contrasts with countries such as Mozambique or Israel, where the legislature represents the country as a whole, without any geographic divisions. For example, in Israel, voters indicate their preferred party, and regardless of whether they are voting in Eilat in the south or Haifa in the north, they are voting for and will be represented by the same politicians. In these systems of national legislatures, members are less likely to have particular regional loyalties that could affect policy making; however, political parties often play a larger role, so whether specific geographic or national legislative districts produce better representation is debatable. Andrew C. Eggers and Alexander B. Fouirnaies, “Representation and District Magnitude in Plurality Systems,” Electoral Studies 33 (March 2014): 267–277. Whether or not members of the legislature are elected from specific geographic districts, there is considerable variation in the number of legislators who can represent a single district. National-level districts such as Mozambique, where every member of the legislature could potentially be elected by every voter, are the extreme, but many systems have multimember districts , where multiple legislators represent a single geographic district. Depending on the rules of the system, these members may be elected at the same time or at different times, and they may be from the same party or different parties. For example, in the United States Senate, each state is its own electoral district with two members, each of whom is elected on separate six-year cycles. These two members may or may not be of the same political party. After the 2020 electoral cycle, Jon Tester, a Democrat who will be up for reelection in 2024, and Steve Daines, a Republican who will be up for reelection in 2026, both represented Montana. The number of seats allotted per district can vary considerably in multimember districts. In the Folketing , or Danish Parliament, there are 12 constituencies. The smallest constituencies have two seats in Parliament, and the largest district has 20 seats. The division of seats across constituencies is often done to recognize differences in population density. One of those smaller constituencies is Bornholm, which had 31,214 voters in 2019 and elected two members to Parliament, one each from the two largest parties in the legislature: Venstre, also known as Denmark’s Liberal Party, and Socialdemokratiet, or the Social Democrats. “Resultater: Bornholms Storkreds.” Folketingsvalg Onsdag 5. Juni 2019, Danmarks Statistik, last updated June 13, 2019, https://www.dst.dk/valg/Valg1684447/valgopg/valgopgStor13.htm. Compare this with the largest constituency in the country, Sjællands, which had 628,910 voters and divided 20 seats across eight different political parties based on the percentage of the vote that each of those parties received in the constituency. “Resultater: Sjællands Storkreds.” Folketingsvalg Onsdag 5. Juni 2019, Danmarks Statistik, last updated June 13, 2019, https://www.dst.dk/valg/Valg1684447/valgopg/valgopgStor14.htm. By contrast, some electoral systems use single-member districts . In these systems, the legislature is made up of many geographic districts, with only one legislator representing each district. The US House of Representatives uses a single-member district system in which the total number of seats in the chamber is distributed across the states based on population, with more populous states receiving many more seats. Each state can decide how it wants to draw its individual districts. The relationship between the legislator and the constituent, which varies depending on whether a political system uses single-member or multimember districts , has been the subject of considerable research. Some scholars argue that geographically based single-member districts can better represent racial and ethnic minorities because members of a community who are clustered together can elect a representative from that community, Susan Welch, “The Impact of At-Large Elections on the Representation of Blacks and Hispanics,” Journal of Politics 52, no. 4 (November 1990): 1050–1076, https://www.jstor.org/stable/2131682. but scholars have also found that multimember districts can better ensure that women are elected to public office because each community can select more than one representative. Susan Welch and Donley T. Studlar, “Multi-Member Districts and the Representation of Women: Evidence from Britain and the United States,” Journal of Politics 52, no. 2 (May 1990): 391–412, https://www.jstor.org/stable/2131899. Some scholars contend that multimember districts can result in poorer representation of constituents overall, as the greater the number of seats in a district, the harder it is for constituents to monitor legislator behavior—and the greater the likelihood that legislators will make decisions that are not in line with the majority of constituents’ preferences. Marco Portmann, David Stadelmann, and Reiner Eichenberger, “District Magnitude and Representation of the Majority’s Preferences: Evidence from Popular and Parliamentary Votes,” Public Choice 151, no. 3–4 (June 2011): 585–610, https://doi.org/10.1007/s11127-010-9760-0. The Changing Face of Legislatures The numbers of women in legislatures around the world are increasing. (source: Pew Research Center analysis of data from Inter-Parliamentary Union; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) As discussed in Chapter 8: Interest Groups, Political Parties, and Elections , in the 21st century, the US Congress has grown more and more diverse. In 2001, only 12 percent of members of Congress were people of color, and 13 percent were women. By 2021, 24 percent of members identified as people of color, and 27 percent identified as women. “History of Women in the US Congress,” Levels of Office, Center for American Women and Politics, last updated June 15, 2021, https://cawp.rutgers.edu/history-women-us-congress; Katherine Schaeffer, “Racial, Ethnic Diversity Increases Yet Again with the 117th Congress,” Pew Research Center, January 28, 2021, https://www.pewresearch.org/fact-tank/2021/01/28/racial-ethnic-diversity-increases-yet-again-with-the-117th-congress/. Indeed, this pattern of increasing representation is true in most places around the world. For example, the percentage of seats held by women in legislatures globally has increased from 18 percent in 2008 to 24 percent in 2019. Sara Atske, A. W. Geiger, and Alissa Scheller, “The Share of Women in Legislatures around the World Is Growing, but They Are Still Underrepresented,” Pew Research Center, March 18, 2019, https://www.pewresearch.org/fact-tank/2019/03/18/the-share-of-women-in-legislatures-around-the-world-is-growing-but-they-are-still-underrepresented/. Though the membership of the US Congress is not yet as diverse as the US population, the trend in membership demographics echoes the country’s growing diversity. Why is this increasing diversity important? Increased diversity translates to a greater variety of life experiences and perspectives. A woman whose parents came to the United States as refugees will have a different perspective on the world from that of a man whose family has been in the United States for generations. Representatives bring their life experiences and nuances to policy making, potentially better representing their constituents. The idea that underrepresented minorities receive better representation from people with similar demographic characteristics is called descriptive representation . In contrast, substantive representation is the phenomenon in which people are represented by legislators who hold the same ideological or policy beliefs, regardless of demographic characteristics. There is no guarantee that a match between a legislator’s ethnicity or gender and some subset of their constituents means the legislator will represent the political interests of that constituency—or that a mis match between a legislator’s demographic identity and their primary constituency means they will not represent their constituents’ interests. However, descriptive representation has been found to improve the probability that a demographic group’s interests will be represented. Adrian D. Pantoja and Gary M. Segura, “Does Ethnicity Matter? Descriptive Representation in Legislatures and Political Alienation among Latinos,” Social Science Quarterly 84, no. 2 (June 2003): 441–460; Beth Reingold and Jessica Harrell, “The Impact of Descriptive Representation on Women’s Political Engagement: Does Party Matter?,” Political Research Quarterly 63, no. 2 (June 2010): 280–294, https://www.jstor.org/stable/20721490. A legislator’s identity may help them represent their constituents, but it is not a guarantee; a legislator may also effectively represent individuals of genders, races, and ethnicities other than their own. Types of Representation In democracies, those who are elected to office are entrusted with acting in the interest of the people they represent, but how do elected officials decide what is in the best interests of those constituents? Edmund Burke , a political philosopher who served in the British Parliament in the 18th century, posited two primary ways legislators can act to represent their constituents. Edmund Burke, “To the Electors of Bristol,” The Works of the Right Honourable Edmund Burke (London: Henry G. Bohn, 1854), 1:446–448. In one view, the legislator is a delegate of the people who elected them. The legislator’s obligation is to learn the people’s policy preferences and their views about different issues and to directly convey those preferences via legislative action. The delegate model rests on the ideas that people understand politics and policy well enough to form thoughtful opinions and to convey them to their representatives and that the legislator’s personal preferences should be set aside. Alternatively, the legislator can be a trustee for their constituents. In the trustee model, though the legislator should still learn about the voters’ preferences, once in government they must use their own judgment and knowledge of policy to decide what is in constituents’ best interests, even if it is contrary to those constituents’ views. The trustee model is based on the idea that the average voter is either not sufficiently informed about politics and policy or does not have enough time to develop that knowledge in order to know what is actually in their best interests. Consequently, the representative, whose job it is to learn these facts, is better situated to make these decisions. If the delegate and trustee models are at opposite ends of the spectrum, in practice, most legislators fall somewhere in between the two extremes. This kind of representation, where the legislator seeks a balance between delegate and trustee approaches, is sometimes also called the politico model of representation. Norman Meller, “Representational Role Types: A Research Note,” American Political Science Review 61, no. 2 (June 1967): 474–477, https://www.jstor.org/stable/1953259. In this model, a legislator relies on the delegate approach, weighing the opinion of their constituents quite heavily in their decision-making, particularly when their constituents feel strongly about an issue, but in policy areas where either the legislator has more policy knowledge or there is a lack of public interest, they will rely on their own judgment. The issue of foreign aid in the United States provides a classic example of this dichotomy. When asked in opinion polls, Americans often say the United States government spends too much on aid to other countries. “US Position in the World,” Gallup, last modified March 27, 2021, https://news.gallup.com/poll/116350/position-world.aspx. However, in reality, foreign aid accounts for only about 1 percent of the federal budget and has broad support from both Democrats and Republicans in Congress. George Ingram, “What Every American Should Know about US Foreign Aid,” Policy 2020, Brookings Institution, October 15, 2019, https://www.brookings.edu/policy2020/votervital/what-every-american-should-know-about-us-foreign-aid/. Despite the expressed opinions of constituents, members of Congress often support these policies because of a discrepancy in information between legislators and constituents, where the legislators have far more information than the average constituent about the costs and benefits of the programs. Information can change perceptions. (source: Kaiser Family Foundation Health Tracking Poll (conducted December 2-9, 2014); attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Foreign policy demonstrates the complexity of delegate representation. Many Americans have only a little bit of knowledge about how much the United States spends on foreign aid, generally believing that the United States spends a significant portion of the budget in that policy area. However, when Americans are presented with information about how much the United States actually spends, their opinions tend to change, with more respondents saying that the United States spends either “too little” or “the right amount.” This gap between constituents’ knowledge and their opinions means that legislators must decide when, on which policies, and to what degree to weigh their constituents’ preferences against their own. A fourth type of representation, partisan representation , differs from the other three. In delegate , trustee , and politico representation, the primary relationship is between the elected official and the constituent. In partisan representation, the primary relationship is between the legislator and the political party. Partisan representation relies on the idea that legislators must always vote with their political party. Depending on the wishes of the constituents, partisan representation can appear very similar to delegate or trustee representation, but it is motivated not directly by the desires of the constituents about a particular policy area but instead by a legislator’s belief that their constituents want them to be a loyal party member across all issues. Russell Muirhead, “The Case for Party Loyalty,” Nomos 54 (2013): 229–256, http://www.jstor.org/stable/24220179. The prevalence of partisan representation varies across countries, as in some political systems, the baseline expectation is that legislators will vote with their parties the vast majority of the time, while in other political systems, members are allowed more freedom from their political parties. Shaun Bowler, David M. Farrell, and Richard S. Katz, eds., Party Discipline and Parliamentary Government (Columbus: Ohio State University Press, 1999). Contact Your Representative Prime Minister Roosevelt Skerrit of Dominica (center) meets one-on-one with residents of Sineku in 2017. Most politicians want to hear from their constituents, as this can help them understand the issues that people are facing and the areas that might benefit from additional government work. (credit: “PM Meets One-on-One with Residents in Sineku” by Roosevelt Skerrit/Flickr, Public Domain) In many democracies, members of the legislature care what their constituents think about various issues. They want to know which issues their constituents think are important, whether there is support or opposition for particular pieces of legislation, and whether or not their constituents approve of their performance in their job. This means that it is very important for constituents to reach out to their representatives. There are a number of ways you can contact your representative: via letter, email, or phone call. Check USAGov to find contact information for national, state, and local representatives. While every legislator prioritizes what kinds of communications they take most seriously, Kathryn Schulz, “What Calling Congress Achieves,” New Yorker , February 26, 2017, https://www.newyorker.com/magazine/2017/03/06/what-calling-congress-achieves. research suggests that many forms of contact will have at least some effect on legislators. Partnership for a More Perfect Union, Communicating with Congress: Perceptions of Citizen Advocacy on Capitol Hill (Washington, DC: Congressional Management Foundation, 2011), https://www.congressfoundation.org/storage/documents/CMF_Pubs/cwc-perceptions-of-citizen-advocacy.pdf. It’s easy these days to find contact information for your legislator on the Internet, so use your voice to reach out. Some key things to keep in mind: be polite, be clear about which issue or concern you are contacting them about and whether you support or oppose it, and remember: you are most effective when you are contacting your own representative! The Legislature’s Oversight Role The process of regularly monitoring and reviewing the actions of agencies or other political actors, oversight , is important in democracies where a system of checks and balances between the different branches of government is designed to ensure that power is shared across the system. In these democracies, legislative oversight of the bureaucracy provides an important check on the power of the executive branch. “Separation of Powers: Legislative Oversight,” National Conference of State Legislatures, last modified May 6, 2019, https://www.ncsl.org/research/about-state-legislatures/separation-of-powers-legislative-oversight.aspx. Members of the European Parliament hold a hearing on the suitability of incoming members of the European Commission. (credit: “Hearings: Ylva Johansson (Sweden) Home Affairs” by European Parliament/Flickr, CC-BY-4.0: © European Union 2020 – Source: EP) Hearings Just as committees hold hearings to learn more about policy areas, they can also hold hearings to conduct legislative oversight. In these hearings, committees can gather information to ensure that an agency’s actions are in line with that agency’s assigned mission. Committees and agencies are often paired up based on relevant policy jurisdiction. For example, in the UK Parliament, the Health and Social Care Select Committee has jurisdiction over the Department of Health and Social Care and its 29 agencies and public bodies, which include the National Health Service (NHS). The committee regularly holds inquiries into issues in its domain, which in 2020 included the delivery of core NHS services during the COVID-19 pandemic and the safety of maternity services in England, among others. “Health and Social Care Committee,” Committees, UK Parliament, 2021, https://committees.parliament.uk/committee/81/health-and-social-care-committee/. Parliamentary Questions Hearings are not the only way legislatures get information. In many systems, particularly parliamentary systems, a formal process allows legislators to ask questions of the bureaucracy that the bureaucracy is then required to answer. This process can take many forms. In some countries, there is a designated time during the week when legislators can question ministers, including the prime minister, in person. In other countries, legislators must submit questions in writing, but they can do so at any time, and the bureaucracy must respond in writing by a specific deadline. Sometimes governmental systems have a mechanism for both in-person and written questions. For example, in the German Bundestag , after every weekly cabinet meeting, ministers are available to answer questions about current policy for 35 minutes. This is followed by a two-hour question-and-answer session relating to questions submitted in advance. “Fragestunde,” Parlamentsbegriffe A–Z, Deutscher Bundestag, May 26, 2014, https://www.bundestag.de/services/glossar/glossar/F/fragestunde-245420. Prime Minister’s Questions (PMQs), 28 April 2021 In this video, Prime Minister Boris Johnson of the United Kingdom takes questions from the leader of the opposition and other members of Parliament about policy and government administration. Parliamentary questions have one key advantage over hearings: any individual legislator may submit a question. One way or another, hearings require the cooperation of multiple members of Parliament. That cooperation may be passive, as when members of the committee who are not interested in the issue choose not to participate in the hearing, or it may be active, as when members help organize the panel of witnesses or reinforce a line of questioning after a colleague’s time to speak expires. Questions, whether written or oral, do not require cooperation from any other member of the legislature. This makes questions a potent tool for members of minority parties. Rens Vliegenthart and Stefaan Walgrave, “Content Matters: The Dynamics of Parliamentary Questioning in Belgium and Denmark,” Comparative Political Studies 44, no. 8 (August 2011): 1031–1059. They can launch inquiries into issues via questions in cases where they might not be able to get cooperation for a hearing in a committee. In addition, any member of a legislative body can ask a question related to any policy area. They need not be a member of the relevant committee to participate in parliamentary questioning. Ibid. This means that legislators are not restricted from participating in policy areas that interest them simply because of jurisdiction. Budgets In many democratic systems, the legislative branch is in charge of what is sometimes referred to as the appropriations process , whereby the legislature allocates the government’s money to the various agencies in charge of implementing policy. This “power of the purse” is both a carrot and a stick that legislatures can use to gain compliance with their policy-making priorities. Rick Stapenhurst et al., eds., Legislative Oversight and Budgeting: A World Perspective (Washington, DC: World Bank, 2008), http://documents1.worldbank.org/curated/en/545851468313500246/pdf/456270PUB0Box3101OFFICIAL0USE0ONLY1.pdf. A legislature is likely to allocate more money to those agencies that follow the legislature’s direction and do what members of the legislature consider important work—and to cut the budgets of those agencies that either do not follow the legislature’s directives or do work the majority of legislators consider relatively unimportant. For agencies, this is critical; nothing gets done without money. The legislature’s budgetary authority can be one of its greatest tools to ensure the compliance of the agencies of the executive branch. Legislatures do a lot of different things, but their primary jobs are to make laws, represent constituents, and oversee other parts of government. These jobs exemplify the fundamental reasons a political system needs a legislature. When the people empower a branch of the political system to make the rules governing their relationship with their government, the political system is equipped to resist the ways that power can corrupt. Legislative institutions must require cooperation and consensus to ensure the health of the political system. appropriations process the process by which governments decide how they will spend money coalition two or more different parties that decide to cooperate in order to form a majority in a legislative chamber constituents the people whom a legislator represents cloture motion a vote to end a filibuster and force a vote; typically requires a supermajority to enact delegate a model of representation in which a legislator acts based on the preferences of their constituents descriptive representation a type of representation in which the representative shares demographic characteristics with the people they represent filibuster a set of parliamentary rules designed to extend debate to delay or stop legislation from receiving a vote hearings sessions in which members of a legislature talk to and question a panel of people, likely made up of experts and bureaucrats, about a particular issue or piece of legislation legislative committees groups of lawmakers who work together on a particular policy area legislative delegation a system of cooperation between members of the same political party for when a legislator must vote on an issue outside their areas of expertise; rather than doing additional research, the legislator can rely on the opinions of members on the relevant policy committee legislature a deliberative body that is granted the authority to create laws that govern a society majority party the party that holds more than 50 percent of seats in a chamber majority rule the idea that the support of more than 50 percent of a voting body is required to come to any decision minority party any party that does not hold more than 50 percent of seats in a chamber multimember districts legislative districts that are represented by multiple legislators nonprofessional legislatures legislatures that meet for limited periods of time and provide members only limited pay, reflecting the part-time nature of the job oversight the process of regularly monitoring and reviewing the actions of agencies or other political actors parliamentary procedures the rules that are followed in a political system to structure and guide debate partisan representation a model of representation in which legislators are expected to vote with their political party politico a model of representation in which a legislator seeks a balance between delegate and trustee approaches professional legislatures legislatures that meet year-round, have professional staff, and pay legislators a professional wage so that legislating is their primary job public laws laws governing the relationship between a government and individuals that apply to all people single-member district a legislative district that is represented by only one legislator specialization the idea that individual legislators will focus on one or two policy areas to develop expertise on those issues, rather than learning about all issues sponsor a legislator who introduces a piece of legislation and who is often instrumental in its passage substantive representation a type of representation in which a representative shares policy and ideological beliefs with the people they represent supermajority a given proportion of a voting body greater than 50 percent that is required to agree in order to come to a decision; typically reserved for especially important or consequential decisions trustee a model of representation in which a legislator relies on their own judgment when it differs from that of their constituents", "section": "What Do Legislatures Do?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Is the Difference between Parliamentary and Presidential Systems? Learning Outcomes By the end of this section, you will be able to: Define parliamentary and presidential systems and give examples of each. Articulate the differences in member selection in different types of systems. Describe how the relationship between the legislature and the executive changes depending on the type of governing system. At this point, it should be clear that there is considerable variation across legislatures in terms of what they do and how they do it. Two institutional features can play a substantial role in influencing the legislature’s role in a political system: the type of system and the number of chambers. This section focuses on the first of these two features—namely, the differences between parliamentary and presidential systems. In most democracies, there are three main branches of government: a legislative branch, which makes laws; an executive branch, which oversees the implementation and enforcement of laws; and a judicial branch, which decides whether the actions of individuals, groups, and institutions align with those laws and determines whether those actions, as well as any laws, are in conflict with the constitution. The differences between the main types of systems center on how the legislative and executive branches relate to each other. In a parliamentary system , there is a very close relationship between the legislative and executive branches, as the head of the executive, often called the prime minister , is also a leader in the legislative branch. In a presidential system , there is a much stronger separation of powers between the legislative and the executive. In these systems, the head of the executive, often called the president , has only a limited role in the legislative process. A system with both a president and a prime minister is called a semi-presidential system . These systems share some features of both parliamentary and presidential systems. Because the differences between parliamentary and presidential systems are profound, the chapter will discuss these two types of systems in more depth. How Members Get Selected Who has the power to pick the people who make the laws? Does the public elect the members of the legislature, or do other directly elected legislators appoint them? Are legislators selected via executive appointment? The answers to these questions matter because the method of selection can indicate whose interests a legislator will represent, as the person or people who put someone in power can have a decided impact on whose values and preferences shape law. In 2021, most countries had some form of presidential, parliamentary, or semi-presidential government. (credit: modification of “Forms of Government 2021” by Newfraferz87/derivative of work by Slirski/Wikimedia Commons, CC0 1.0) Legislative Elections Most legislatures around the world select members via public elections, in which citizens vote for either a candidate or a political party to represent them in the legislature. There are three main types of direct legislative election systems: proportional representation systems, plurality or “first past the post” systems, and mixed systems. Within each of these sets of electoral rules, there are many variations, but all the political systems within a given type share certain common characteristics. Electoral systems in which the relative level of support for political parties in the population is reflected in the legislature are proportional representation systems. If 10 percent of the public supports a particular political party and shows up to vote for them, that party can expect to hold roughly 10 percent of the seats in the legislature. The principle behind this system is that all preferences should be reflected in government, not just those views that have majority support. There are many different variations of proportional representation, often based on the way in which votes are translated into seats in government. Most variations of proportional representation require multimember districts in order to have seats to divide among the winners. In the lower house of Brazil’s National Congress, the 26 federal states and the federal district are each allotted between 8 and 70 seats, based on population. E. Bradford Burns et al., “Brazil,” Britannica, Encyclopædia Britannica, last updated October 11, 2021, under “The Legislature of Brazil,” https://www.britannica.com/place/Brazil/The-legislature. The electoral result in each district determines the number of seats the party will receive in the legislature; this combines proportional representation by party, in which the amount of support a party has determines the amount of seats they receive, with proportional representation by population, in which more populous regions receive more representation than less populous regions. Additionally, most systems have a minimum threshold of votes needed to gain seats in the legislature, ranging from 3 to 5 percent of the electorate in most countries. So although proportional representation allows smaller parties to gain seats, minimum threshold requirements are thought to prevent small fringe political parties from gaining seats in the legislature. Arend Lijphart and Robert W. Gibberd, “Thresholds and Payoffs in List Systems of Proportional Representation,” European Journal of Political Research 5, no. 3 (September 1977): 219–244. France Legislative Elections: How Does It Work? The French Parliament uses a variant of plurality voting in which it is not enough to get the most votes of any candidate; the winning candidate must get a majority of the vote. This sometimes means that legislative elections require two rounds of voting: the first round to narrow the field to two candidates, and the second round to determine the winner. In plurality or first-past-the-post electoral systems, voters cast a vote directly for the candidate of their choice, and the candidate with the most votes wins the election, regardless of the percentage of the vote share they secure. Because there is a direct relationship between votes cast and election outcomes in these systems, they are generally considered more straightforward than proportional representation systems. However, in these systems, it is extremely difficult for small parties to gain political power. Additionally, legislators can take office in these systems even if the majority of their constituents voted for someone else. For example, in the 2020 United States Senate race in Minnesota, Democratic candidate Tina Smith won reelection with 48.74 percent of the vote. However, because Republican Jason Lewis got 43.5 percent, Kevin O’Connor of the Legal Marijuana Now Party got 5.91 percent, and Oliver Steinberg of the Grassroots Legalize Cannabis Party got 1.78 percent, a larger total percentage of voters selected someone other than Tina Smith, the winner of the race. “2020 General Election Results,” Elections & Voting, Office of the Minnesota Secretary of State, 2020, https://www.sos.state.mn.us/elections-voting/election-results/2020/2020-general-election-results/. While plurality voting is most commonly used in single-member districts, it can also be used in multimember districts. In those systems, voters are allowed to pick as many candidates as there are seats up for election, and the candidates with the most votes win. For example, in a race with three open seats, voters may pick three candidates, and the three candidates with the highest vote totals win the election. Mixed systems combine aspects of proportional representation and plurality voting systems. While every mixed system is slightly different, the South Korean National Assembly, where 253 seats are elected by plurality voting in single-member districts and an additional 47 seats are elected at the national level using proportional representation, provides a clear example of how these systems can work. Often, mixed systems use proportional representation seats to help balance out distortions in representation that arise from plurality voting. For example, if a party gained 44 percent of the vote nationally, but due to results in individual districts it received more than 51 percent of the plurality voting seats, the proportional representation–based seats could be adjusted to compensate for the less representative plurality results. “Election for South Korean National Assembly,” IFES Election Guide, International Foundation for Electoral Systems, 2020, https://www.electionguide.org/elections/id/2619/. In all of these systems, the direct election of legislators creates a system in which legislators are beholden to the people who elected them. That responsibility may be to the people who voted in support of their political party or to the constituents of their geographic districts, but regardless of the voting system, legislators who ignore the will of the people do so at their peril. Some systems offer more protection for individual legislators, such as proportional representation systems in which party leaders select individuals to fill seats, but ultimately, a legislator or party that routinely fails to respond to constituents’ desires loses the support of the people. Remember parliamentarian and philosopher Edmund Burke from the earlier discussion of representation? He practiced his idea that the proper role for a legislator was to be a trustee for his constituents and was voted out of office because people felt he did not sufficiently represent them. The type of electoral system has a significant effect on the number of competitive parties in the political system. That relationship can be summed up by Duverger’s law , which states that political systems with plurality voting and single-member districts will have two competitive political parties in each race. Maurice Duverger, Political Parties: Their Organization and Activity in the Modern State , trans. Barbara North and Robert North, 2nd ed. (1959; repr., London: Methuen, 1967). In these systems, many voters are less inclined to vote for candidates representing smaller parties, fearing that doing so would amount to “wasting” their vote given the slim chance those candidates have of winning. Joseph A. Schlesinger and Mildred S. Schlesinger, “Maurice Duverger and the Study of Political Parties,” French Politics 4, no. 1 (April 2006): 58–68, https://doi.org/10.1057/palgrave.fp.8200085. This phenomenon occurs at the district level; for example, in a race for the United States Senate seat representing Illinois, only two political parties will be competitive. Duverger’s law does not guarantee that there will only be two competitive parties in the legislature. In some settings, two dominant parties do emerge in the legislature, as is the case with the Democratic and Republican Parties in United States politics, but in other settings, there may be different competitive parties around the country. Following the 2019 elections for the Lok Sabha , the lower chamber of the Indian Parliament, 37 political parties won seats. Yet in individual states, the parties that were most competitive varied considerably. In Gujarat, a state on the western border with Pakistan, the two most competitive parties were the Bharatiya Janata Party and the Indian National Congress, which together received over 95 percent of votes in the state. In the state of Andhra Pradesh, the two most competitive parties were the Telugu Desam Party and the Yuvajana Sramika Rythu Congress Party, which accounted for approximately 90 percent of votes in that state. EDM Division, “State Wise Seat Won & Valid Votes Polled by Political Parties,” Election Commission of India, October 11, 2019, https://eci.gov.in/files/file/10961-17state-wise-seat-won-valid-votes-polled-by-political-parties/. Additionally, Duverger’s law does not guarantee that the two competitive parties will stay the same over time, as parties can cycle in and out of power. In the United States, the current Democratic and Republican party system While the names of the parties have remained the same since the mid-1860s, it is important to note that the policy beliefs and positions of the parties have changed over time, so a deeper study of American party systems recognizes further realignments. replaced the Democratic and Whig party system, which replaced the Democratic-Republican and Federalist party system. Theodore Rosenof, Realignment: The Theory That Changed the Way We Think about American Politics (Lanham, MD: Rowman & Littlefield, 2003). What Is Duverger’s Law? In this video, Eric Sanders and Aaron Hamlin of the Center for Election Science explain Duverger’s law and explore why third parties have so little success in the United States. In some systems, members of the legislature are elected not by the people but by other elected officials. The United States Senate used to be structured this way; members of the state legislatures, who were directly elected by the public, had the power to vote for members of the Senate. Though this practice ended in the United States in the early 20th century, similar practices still exist around the world. In the National People’s Congress in China, members of the national legislature are elected by the provincial-level legislatures, who are elected by lower levels of assemblies. This means that a successful delegate in the National People’s Congress must rise through many rounds of voting at successively higher levels of government, though the first level they must pass through is the public. Tony Saich, The National People’s Congress: Functions and Membership (Cambridge, MA: Ash Center for Democratic Governance and Innovation, Harvard Kennedy School, November 2015), https://ash.harvard.edu/files/ash/files/the_national_peoples_congress.pdf. This electoral design likely means that members of the National People’s Congress are more closely aligned with other elected officials and the political party than they are with ordinary voters. Appointment Selection In some systems, the executive has the authority to appoint members to legislative chambers. In systems with either an absolute monarchy or another supreme leader, that leader is empowered to appoint members to the chamber without any public input. Depending on the exact relationship between the leader and the legislature, the appointed members may have the power to propose and pass legislation that originates in the chamber, or they may only be able to approve or reject legislation created by others. Additionally, some places have institutions that claim to be legislatures but lack any independent legislative authority. For example, in Bahrain’s National Assembly, the members of the lower chamber, the Majlis al-Nuwab or Council of Representatives, are elected by the people, while the Majlis al-Shura , also known as the Consultative Council, is made up of 40 seats directly appointed by the king. “Bahrain,” The World Factbook, Central Intelligence Agency, last updated October 12, 2021, under “Government,” https://www.cia.gov/the-world-factbook/countries/bahrain/#government. All legislation originates in the Council of Representatives, but in order to become law, it must also be approved by the Consultative Council. However, because of the king’s role in selecting and reappointing members, members of the Consultative Council may feel an obligation to support or oppose a piece of legislation based on the king’s preference, rather than their own. Brunei, on the other hand, only has one chamber, a legislative council whose members are appointed by the sultan. That council does not have any independent lawmaking authority, in part because the sultan, the crown prince, and the cabinet are also on the legislative council. “Brunei: Government,” globalEDGE, Broad College of Business, Michigan State University, 2021, https://globaledge.msu.edu/countries/brunei/government; “Brunei,” The World Factbook, Central Intelligence Agency, last updated October 6, 2021, under “Government,” https://www.cia.gov/the-world-factbook/countries/brunei/#government. Instead, the sultan creates all laws, and the function of the council is to be a venue for the sultan to discuss different policy ideas. In other systems, legislators are appointed by a chief executive, such as a president or a prime minister, who is directly accountable to the people. In the Parliament of the Bahamas, the governor-general, in consultation with the prime minister and the leader of the opposition, appoints members to the 16-person Senate. The prime minister alone gets to select nine members, the leader of the opposition gets to select four members, and, after consulting with the leader of the opposition, the prime minister selects an additional three members. “Bahamas,” Political Database of the Americas, Walsh School of Foreign Service, Georgetown University, last updated June 10, 2021, https://pdba.georgetown.edu/ElecSys/Bahamas/bahamas.html. While the public does not directly select the members of the chamber, the leaders who appoint them routinely face public elections. Although public accountability is more distant, a change in the Bahamian public’s support for a political party would result in significant changes to the membership of the Senate, which may help make those senators more responsive to the public. Executive appointments can also be used to fill a vacancy between elections. In the United States Senate, a state governor can appoint an individual to fill a vacant seat for the remainder of the term. US Constitution, amend. 17. The appointed senator then must go up for reelection, so although there may be some sense of obligation between the senator and the governor who appointed them, the upcoming election increases the likelihood that the appointee will be responsive to their constituents. Legislative–Executive Branch Relations While the power of a legislature is greatly shaped by the method used to select its members, that power is also strongly influenced by the relationship between the executive and legislative branches. Remember, most systems have some sort of legislative, executive, and judicial branch structure, but the relationships among the branches and the powers they have can vary widely. Perhaps the most important of these relationships is that between the legislative and the executive. In democratic systems, the key differences between presidential and parliamentary systems relate to the degree of independence of the legislative and executive branches and how much power each has to oversee the actions of the other. Independence In presidential systems, there is a clear separation of powers between the legislative and the executive. That separation of powers means that one branch makes decisions independently of the other branch, and certain types of authority, such as the authority to raise taxes or declare war, are strictly reserved for one branch. The strength of this separation of powers is that it prevents the aggregation of power in the hands of any one part of government. The weakness, however, is that policy making can be difficult, particularly when different political parties control the branches, which can lead to heightened political conflict and even gridlock , preventing the government from functioning effectively. Parliamentary systems, on the other hand, have no separation of powers between the legislative and the executive. In fact, the process of selecting an executive comes directly through the legislature. In a parliamentary system, the process starts when the public elects a legislature. Whatever party or coalition gains the majority in the legislature then has the power to pick the prime minister. Prime ministers are part of both the legislature and the executive, exemplifying a complete interdependence of legislative and executive decision-making. The strength of the parliamentary system is that because a legislative majority is required to have executive authority, it is much easier to pass legislation. The weakness of the parliamentary system is that the stability of the government relies on a party or coalition maintaining its control. If there are conflicts within a party or coalition, a vote of no confidence or members defecting can break the majority, which can require new elections, potentially resulting in a new legislature and a new executive. In Sri Lanka, the prime minister and the president are partners in governing, as Sri Lanka is a semi-presidential system. In this photo from 2010, then prime minister Manmohan Singh speaks with then president Mahinda Rajapaksa. (credit: “Photo WA-5486L” by Public.Resource.Org/Flickr, CC BY 2.0) Semi-presidential systems blend the structures of presidential and parliamentary systems. Every semi-presidential system is slightly different. The blending of the systems leads to some areas of independence, though not the complete independence of a presidential system. Semi-presidential systems often have an independently elected president and a prime minister who is the leader of the legislative majority. In some systems, the two individuals share policy-making power. This is the case in France, where the president and prime minister both have policy-making authority. Anne Stevens, Government and Politics of France , 3rd ed. (Basingstoke: Palgrave Macmillan, 2003), 83–105, https://doi.org/10.1007/978-1-4039-3996-8. In semi-presidential systems, the president’s authority is not dependent on the legislature, but because of the shared power and responsibilities, the president must still work with the legislative branch to accomplish their goals. Oversight Earlier, the chapter discussed oversight as it relates to the power the legislature has to oversee the bureaucracy, but oversight can also refer to the powers of the legislative and executive branches to supervise and limit each other’s powers. This type of oversight aims to prevent an institution from securing too much power and exerting a corrupting influence. These concerns are fundamental to the presidential system, which was first created in the United States in response to colonists’ experience of being subject to the absolute authority of the English monarchy. In a presidential system, each branch has powers separate from those of the other branches, but each also has powers that overlap with the other branches’, allowing one branch to step in to stop the excesses of the other. The legislative veto is one example of this kind of oversight. In a typical presidential system, the legislature must pass a piece of legislation, and the president must sign off on it before it goes into effect and becomes a law. A president who does not agree with the legislation can veto the bill, which sends it back to the legislature, providing a check on the legislature’s power. In many presidential systems, if the legislature passes the bill again, which usually requires a supermajority, the bill becomes law without the president’s support, which is a clear check on the president’s power. The two branches are each empowered to oversee and correct the actions of the other. Oversight in parliamentary systems, and thus the relationship between the legislature and the executive, is much different. Because the executive is a part of the legislature, the minority party, rather than another branch of government, is primarily responsible for conducting oversight. Minority parties can use methods such as question time to interrogate the majority’s government and then take that information to the public to gain their support. Because parliamentary governments rely on public support to maintain power, a minority party that is able to sway public opinion and potentially get members of the majority to defect on votes can seriously check the power of the majority party. When a majority party is so large, with such strong public support, that the minority party’s threat to go to the public is rendered ineffective, the majority party can hamper the minority party’s oversight efforts. At the national level, there are two primary types of governing systems, parliamentary and presidential. The largest difference between the two types of systems relates to the relationship between the legislative and executive branches of government. In a parliamentary system, the executive power, or the power to see that the laws are followed, is vested in a prime minister, who is also the head of the legislative branch. This means that power flows from the people to the legislature and then from the legislature to the executive. In a presidential system, the executive, usually in the form of a president, is completely separate from the legislature. The people separately elect the legislature and the executive, so the power flows from the people to the legislature and from the people to the executive. Duverger’s law a principle that states that electoral systems with plurality systems of voting and single-member districts will have two main political parties mixed systems electoral systems that combine features of proportional representation and plurality election systems parliamentary system a political system in which the executive, often a prime minister, is also a part of the legislature plurality an electoral system in which the candidate who receives the most votes wins the election proportional representation an electoral system in which the relative support that political parties receive from the population is reflected in the makeup of the legislature presidential system a political system in which the executive, often a president, is separate from the legislature semi-presidential systems political systems that have some characteristics of presidential systems and some characteristics of parliamentary systems", "section": "What Is the Difference between Parliamentary and Presidential Systems?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Is the Difference between Unicameral and Bicameral Systems? Learning Outcomes By the end of this section, you will be able to: Define unicameral and bicameral legislature. Outline which types of legislative systems exist in different parts of the world. Analyze the relative advantages and disadvantages of each type of legislative system. One key structural component of legislatures is the number of chambers that they have. The two most common options for chamber structure are unicameral and bicameral. A unicameral legislature has only one chamber, or body, that makes decisions. A bicameral legislature has two chambers, often with different procedures and powers, that ultimately must work together to make policy and exercise other legislative powers and responsibilities. Strengths and Weaknesses of a Unicameral Legislature One of the main strengths of unicameral legislatures is that they create a more efficient legislative process. In a unicameral legislature, bills only need to go before and be debated by one set of decision makers, whereas in a bicameral legislature, both chambers must debate and approve bills in order for them to have a chance of becoming laws. This legislative efficiency is particularly valued in more homogenous societies, where having venues for different voices and perspectives is not seen as particularly important. In these societies, political parties are considered sufficient to protect diverse interests. Unicameral systems do not lend themselves to oversight and checks on the power of the legislature. In bicameral systems, the need to pass legislation through another chamber is a natural “veto point”; if there is support for legislation in one chamber but not the other, that may reflect broad concerns of a segment of the public, so the public’s preferences are better served when both chambers weigh in and consider a piece of legislation. The lack of a natural “veto point” is particularly apparent in unicameral parliamentary systems, where a prime minister with a strong governing majority faces almost no constraints from either a separate chamber or an effective minority opposition. Strengths and Weaknesses of a Bicameral Legislature Bicameral systems make up approximately one-half of legislatures around the world. Bicameralism is largely thought to allow the structures of a political system to reflect different voices and priorities. In bicameral systems, there is often a lower chamber, more closely associated with the perspective of the people, and an upper chamber, which might reflect different territories or classes. Paolo Passaglia, “Unicameralism, Bicameralism, Multicameralism: Evolution and Trends in Europe,” Perspectives on Federalism 10, no. 2 (2018): 1–29, http://www.on-federalism.eu/index.php/articles/291-unicameralism-bicameralism-multicameralism-evolution-and-trends-in-europe. For example, in the German parliamentary system, the lower chamber, the Bundestag , is directly elected by the public, while the upper chamber, the Bundesrat , is supposed to represent the 16 Länder, or states. While each state has between three and six votes on legislation, all of a state’s votes in the Bundesrat must be cast as a bloc, either for or against a piece of legislation. “Voting,” Plenary Sessions, Bundesrat, accessed October 15, 2021, https://www.bundesrat.de/EN/funktionen-en/plenarsitzung-en/abstimmung-en/abstimmung-en-node.html The idea is that the vote should represent the state’s interests, not the interests of the individuals representing the state. The two chambers create a system of checks and balances within the legislative branch so that any legislation that can survive the legislative branch process is much more likely to succeed. Student journalists participate in a 2017 celebration of youth journalism taking place on the floor of the German Bundesrat. Note how the names of the Länder are affixed to the desks, highlighting the importance of representing a particular region. (credit: “Preisverleihung - SZWdL17” by Jugendpresse Deutschland/Timon Suhk/Flickr, CC BY 2.0) There are important weaknesses to bicameral systems. First, the legislative process is inefficient. After a bill has been investigated, debated, and voted on in one chamber, it must go to a second chamber and complete the whole process again. This can both significantly extend the time it takes for a piece of legislation to pass and dramatically raise the odds that a piece of legislation will die before it gets to a vote, as at every stage along the way there are two sets of decision makers who can choose not to proceed with a piece of legislation. This phenomenon played a significant role in preventing comprehensive immigration reform in the United States in the first two decades of the 21st century. One nuance of the American legislative process is that bills that haven’t passed both chambers of Congress expire at the end of each two-year session. Although a number of different pieces of immigration legislation were introduced between 2000 and 2020, and some passed either the House or the Senate, no comprehensive immigration legislation was signed into law. Daniel González and Dan Nowicki, “Timeline: Immigration Reform,” Arizona Republic , updated November 24, 2014, https://www.azcentral.com/story/news/politics/immigration/2014/06/22/immigration-reform-timeline-notch/11232797/. Additionally, both chambers must pass the exact same text of legislation. As many systems allow both chambers to amend legislation, a piece of legislation can bounce back and forth between the two chambers until they can agree on a final version. That can also add significant time and inefficiencies to the legislative process. Another weakness of bicameralism is that it can suffer from gridlock when different parties hold the majority in each chamber, particularly when the two parties in charge have significant policy and ideological disagreements. The strengths and weaknesses of bicameralism are two sides of the same coin. A system that, by design, allows for more voices can become a system where nothing can happen, as disagreement in the legislature can cause everything to come to a screeching halt. Frequency of Unicameral and Bicameral Legislatures around the World Approximately half of the countries around the world have bicameral legislatures (in green), while the other half have unicameral legislatures (in blue). A few countries, for example China and Iran, have unicameral legislatures with separate advisory bodies (brown), and a couple others have no legislature at all (red). (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) A quick look around the world shows some interesting patterns. Many large countries have a bicameral legislative system. In part, this reflects the influence that the United States and European countries have around the globe. But a significant number of countries, including countries in western and southern Africa, Central America, the Middle East, and northern Europe, as well as many island nations, have unicameral legislatures. What characteristics do you think influence countries to adopt one structure of legislature versus the other? There are also two primary types of organizing systems in legislatures. First, there are legislatures with only one chamber, which are called unicameral. Second, there are legislatures with two chambers, called bicameral legislatures. Unicameral legislatures are thought to be more efficient than bicameral legislatures, but bicameral legislatures are designed to take into account a variety of different viewpoints. bicameral describes a legislature with two chambers, usually an upper chamber and a lower chamber unicameral describes a legislature with a single chamber", "section": "What Is the Difference between Unicameral and Bicameral Systems?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Decline of Legislative Influence Learning Outcomes By the end of this section, you will be able to: Identify the different challenges legislatures face. Articulate the reasons why different types of legislatures may face different challenges. Define party polarization. The political world is in constant flux, with institutions constantly evolving to meet the moment. In many places around the world, despite all the powers that legislatures have and the vital role they play in our political structures, legislatures face significant challenges to their ability to play their prescribed role. Some of these challenges are internal, some are the result of external forces, and some are broader challenges that affect the larger political system. Let’s consider three major challenges legislatures face in the 21st century: executive dominance, legislative deference, and polarization. Growth in Executive Dominance Executive dominance is the phenomenon in which leaders, particularly in systems with an executive that is separate from the legislature, expand their powers and justify those expanded powers so that many see them as legitimate and acceptable. Episodes of executive dominance may occur incrementally, with executives taking actions over time that individually represent small expansions of power but ultimately result in large changes. In other cases, executives radically expand their authority, sometimes but not exclusively in times of crisis, and have sufficient support from others in the government, the media, or the public to prevent any effective reprisals for their actions. Regardless of the method of expansion, the act of executive dominance is gradually normalized, forming a new basis for understanding that executive’s powers. Executive dominance is a form of external threat to the legislature, as the increased power of the executive often reduces the power of the legislature. For example, in the United States, recent presidents have used executive action, such as executive orders , memoranda, and proclamations, to achieve their policy goals with increasing frequency when they have been unable to accomplish desired policy changes via Congress. Presidents Obama and Trump both relied on executive action to shape immigration and border policy, with President Obama using it to create the Deferred Action for Childhood Arrivals (DACA) program and President Trump using it to secure funding for a border wall between the United States and Mexico. Executive dominance also occurs outside the United States. At the beginning of 2020, Russian president Vladimir Putin put forward a number of legislative proposals that successfully changed the Russian constitution to extend his term in office, raising the possibility that he could remain in power for the rest of his lifetime. Ben Noble and Nikolay Petrov, “From Constitution to Law: Implementing the 2020 Russian Constitutional Changes,” Russian Politics 6, no. 1 (2021): 130–152, https://doi.org/10.30965/24518921-00601008. Scholars who have analyzed this legislation highlight that it increases the president’s power over the legislature and the judiciary and reduces the power of the Federal Assembly. Modern presidents of the United States have relied more and more heavily on executive action in the last 40 years, particularly as the two political parties in Congress have grown more polarized, making policy change via legislation more difficult to accomplish. (credit: “President Trump Signs an Executive Order on Strengthening the Child Welfare System for America’s Children” by Trump White House Archived/Andrea Hanks/Flickr, Public Domain) Whatever the nature of the political system in which it occurs, executive dominance diminishes the power of the legislature, both in terms of the branch’s own responsibilities and in terms of its power to check the executive. In most democratic countries, the legislature is responsible for making policy. To justify their efforts to gain more policy-making authority, executives may note the absence of legislation in a particular area. When the executive takes on that authority, legislatures are often unable to gather the necessary support to regain control of that policy area. Additionally, as these kinds of actions become more normalized in the political system, it can become more difficult for legislatures to check the power of the executive, as the more often these actions occur, the less responsive the system becomes to what would have been considered executive overreach in the past. Over time, acts of executive dominance accumulate to shift the balance of power away from the legislature. Growth in Legislative Deference Legislatures also face internal threats in the form of legislative deference . Legislative deference occurs when legislatures give power to another branch of government, either by refusing to take action or by approving anything the other branch wants. A legislature may refuse to take action because the executive wants to handle an issue themselves or because the legislature fears being blamed for an unpopular policy. Or the legislature may simply approve, or “rubber stamp,” any proposal put forward, usually by the executive. Legislative approval that comes when the legislature has no option other than to approve the measure reflects the weakness of the legislature and poses a clear threat to legislative independence. Executive dominance and legislative deference are distinct but often connected, as it is difficult for an executive to expand their powers without some level of legislative deference, and it can be hard for the legislature to step back and let others make decisions if the executive is not willing to take the lead. Yet the existence of one threat to legislatures does not guarantee the presence of the other. Legislatures can, for example, support an executive’s proposal on climate change without actually giving more power to the executive. Legislative deference and executive dominance are more about patterns of behavior over time than about any single decision. Growth in Polarization One of the biggest challenges threatening legislatures is the rise in polarization . Polarization occurs when people or groups are divided between two extremes on an issue or position. Polarization is a systemic threat that can affect politics all across a political system. Often, polarization starts with political actors taking more partisan and ideological positions, Nolan McCarty, Keith T. Poole, and Howard Rosenthal, Polarized America: The Dance of Ideology and Unequal Riches (Cambridge, MA: MIT Press, 2006). but over time, voters tend to become more polarized as well, identifying more strongly with a political party or ideology. Morris P. Fiorina and Samuel J. Abrams, “Political Polarization in the American Public,” Annual Review of Political Science 11 (2008): 563–588, https://doi.org/10.1146/annurev.polisci.11.053106.153836. Party polarization in legislatures can threaten the ability of a legislature to be effective. Many legislatures around the world have seen a rise in the number of seats held by far-right and far-left parties, including the European Parliament following the 2019 elections, which you can learn about in the video below. Polarization has also occurred when parties in the legislature have stayed the same, but the positions those parties hold have become more extreme. In legislatures with either slim majorities or coalition governments, polarization can lead to gridlock, as support will only come from co-partisans; if a party attempts to pass a piece of legislation and faces any internal opposition, the proposal is dead on arrival, as members of minority or opposition parties will often refuse to support the majority’s legislation. For much of the 20th century in the United States, members of the Democratic and Republican Parties worked together across party lines on legislation. However, since the early 1980s, that has become less and less common, with members increasingly only supporting legislation if it comes from their own party. Sean M. Theriault, The Gingrich Senators (New York: Oxford University Press, 2013). Parties have had to rely more heavily on parliamentary maneuvers to pass any significant legislation, as bipartisan cooperation is anywhere from difficult to near impossible to secure. Populist Parties Make Gains in European Parliament Elections In this segment from CBS News following the results of the European Parliament elections in 2019, journalists analyze what the rise of both right and left populist parties might mean for trans-European legislation and politics. Even in legislatures where one party has a large majority, polarization is still a risk, as it can make the legislation that gets passed more extreme. If public support for that legislation or party dwindles, there is heightened risk that the next election will be a disaster for the current majority, causing control of the legislature to swing from one extreme to another. Political parties with clear positions and differences are useful for winning elections and for public accountability. APSA Committee on Political Parties, “Summary of Conclusions and Proposals,” in “Toward a More Responsible Two-Party System: A Report of the Committee on Political Parties,” special issue, American Political Science Review 44, no. 3 pt. 2 (September 1950): 1–14, https://doi.org/10.2307/1950998. However, it is dangerous for legislatures when the gap between the parties grows so large that effective legislating grinds to a halt. Public Speaking Members of the SPD political party listen to a speech by former leader of the European Parliament Martin Schulz in Cologne, Germany. (credit: “SPD Supporters at a Speech by Martin Schulz in Cologne” by Marco Verch/Flickr, CC BY 2.0) Before running for office, many legislators have other careers. Some are lawyers or businesspeople, while others are doctors, policy advocates, or members of the armed forces. No matter what path people travel before they run for office, all legislators need to develop public speaking skills. Whether on the campaign trail or debating a piece of legislation, the ability to get up and share one’s thoughts with a group of people is critical for the successful aspiring legislator or policy advocate. There are a number of different ways you can develop those skills; your school might offer courses in public speaking or debate, but an acting class in the drama or theater department may also offer you the chance to practice your oratory skills. Additionally, campus activities such as moot court or Model United Nations can serve as an excellent way to stretch your public speaking skills while also learning about aspects of political science. Legislatures face a number of challenges to their power and independence. Some of those challenges are external, such as executive dominance, in which the growing power of presidents and prime ministers threatens to overtake the power of the legislature. Other threats are internal, particularly legislative deference, in which because of either an inability to come together and act or a desire to avoid difficult issues, the legislature gives up power to other branches. Finally, some threats are systemic, such as increasing polarization, which has shown up both in the public and in legislatures. Without considering the threats to the legislature, it is impossible to understand the full scope of its work and its place in the political system. Suggested Readings Arter, David. “Introduction: Comparing the Legislative Performance of Legislatures.” Journal of Legislative Studies 12, no. 3–4 (2006): 245–257. https://doi.org/10.1080/13572330600875423. Fenno, Richard F., Jr. Home Style: House Members in Their Districts . Boston: Little, Brown, 1978. Gamm, Gerald, and John Huber. “Legislatures as Political Institutions: Beyond the Contemporary Congress.” In Political Science: State of the Discipline , edited by Ira Katznelson and Helen V. Milner, 313–343. New York: W. W. Norton, 2002. Huber, John D. “The Vote of Confidence in Parliamentary Democracies.” American Political Science Review 90, no.2 (June 1996): 269–282. https://www.jstor.org/stable/2082884. Mayhew, David R. Congress: The Electoral Connection . 2nd ed. New Haven, CT: Yale University Press, 2004. executive dominance a phenomenon in which leaders expand their powers beyond their prior limits and are able to justify those expanded powers so that they are seen by many as legitimate and acceptable legislative deference a phenomenon in which legislatures cede power to another branch of government, either by refusing to take action or by approving anything the other branch wants polarization the division of people or groups between two extremes on an issue or position", "section": "The Decline of Legislative Influence", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction President Jimmy Carter met with Egyptian President Anwar Sadat in 1977. (credit: “ [President Jimmy Carter and Egyptian President Anwar Sadat surrounded by the media at the White House, Washington, D.C.] ” by Trikosko, Marion S./Library of Congress) When things go bad you get entirely too much blame. And I have to admit that when things go good, you get entirely too much credit. —President Jimmy Carter Quoted in Godfrey Hodgson, All Things to All Men: The False Promise of the Modern American Presidency (New York: Simon & Schuster, 1980), 25. When Jimmy Carter made the statement quoted at the beginning of this chapter, he was still enjoying relatively high public approval ratings due to the success of the Camp David Accords , which resulted in a framework for peace in the Middle East, in September 1978. William Greider and Barry Sussman, “Poll Finds Carter Popularity Soars,” The Washington Post, September 24, 1978, https://www.washingtonpost.com/archive/politics/1978/09/24/poll-finds-carter-popularity-soars/839c355b-f76a-430c-89a8-94e7da943cce/. In less than a year, his public approval ratings would tumble due to a problematic economy and a belief that Carter did not provide strong leadership. Adam Clymer, “Carter’s Standing Drops to New Low in Times-CBS Poll,” The New York Times, June 10, 1979, https://www.nytimes.com/1979/06/10/archives/carters-standing-drops-to-new-low-in-timescbs-poll-approval-falls.html. Early in 2020, the world faced the beginning of the COVID-19 pandemic, and countries struggled to respond. The pandemic shaped our world in ways that we are still attempting to grapple with and understand, and it revealed the nature of politics and governmental systems. Almost immediately, each country’s citizens expected and demanded action. This was true both in countries with presidential regimes and in those with parliamentary regimes. Each country turned to its chief executive for leadership, and leaders were judged by the effectiveness of their actions. While political systems are complex and nuanced, most citizens’ approach to politics, especially during a crisis, is simple and straightforward—they look to the chief executive to solve the problem. Whether or not executives have the power to solve the problem, the public tends to assume they do. Oftentimes, how people view a single individual—the chief executive—shapes how they view the entire government.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Democracies: Parliamentary, Presidential, and Semi-Presidential Regimes Learning Outcomes By the end of this section, you will be able to: Identify the three types of democratic regimes. Distinguish between the roles of “head of state” and “head of government” and describe how each is typically selected by regime. Describe and evaluate the importance of the head of state for government legitimacy and national unity. Democratic regimes are typically classified into three categories: presidential, parliamentary, and semi-presidential. Nils-Christian Bormann and Matt Golder, “Democratic Electoral Systems around the World, 1946–2011,” Electoral Studies 32, no. 2 (June 2013), 360–369. The keys to understanding the differences among the three are (1) how the head of government is selected and (2) if there is a separate head of state who is popularly elected to a fixed term of office. In presidential regimes , heads of government are popularly elected to fixed terms and do not depend on legislatures for their power. Presidents also serve as heads of state. In parliamentary regimes , the head of government, the prime minister , is selected by the legislature. Semi-presidential regimes include a popularly elected head of state and a legislature selected head of government. In semi-presidential regimes , both presidents and prime ministers wield political power. See and . Head of Government Presidential Parliamentary Semi-Presidential Selection Method Popular election Selected by the legislature Selected by the legislature Fixed Term? Yes No No Responsible to Legislature? No Yes Yes Heads of Government in Democratic Regimes Using Witten/Herdecke University professor Nils-Christian Bormann and Penn State University professor Matt Golder ’s classification and supplementing the data with former Dublin City University professor Robert Elgie ’s list of semi-presidential countries, approximately 36 percent of democracies are parliamentary, 25 percent are presidential, and 39 percent are semi-presidential. (See .) Following a traditional approach within comparative politics, this chapter will focus primarily on parliamentary and presidential regimes and not semi-presidential ones. Even though semi-presidential regimes comprise a large category, they are not easily defined and have considerable variation. José Antonio Cheibub, Zachary Elkins, and Tom Ginsburg, “Beyond Presidentialism and Parliamentarianism,” British Journal of Political Science 44, no. 3 (July 2014): 515–544. Head of State Presidential Parliamentary Semi-Presidential Selection Method Typically, the head of government is also the head of state. There is considerable variation, including elected (e.g., Germany) and unelected (e.g., Great Britain) methods. Generally, the head of state is selected by popular election. Fixed Term? Yes Depends if position is elected or unelected. Elected are fixed term; unelected are not fixed term and include hereditary monarchies (e.g., Belgium). Yes Responsible to Legislature? No Yes In select situations, potentially. Enjoys dual authority with prime minister, but there is considerable variation across countries regarding the scope of authority the head of state has. Heads of State in Democratic Regimes As of 2018, presidential systems were the least common regime type among democratic countries. (data source: Nils-Christian Bormann and Matt Golder. “Democratic Electoral Systems around the World, 1946–2011.” Electoral Studies 32 (2013): 360–369; Robert Elgie. “Up-to-Date List of Semi-Presidential Countries with Dates.” The Semi-Presidential One (blog). Last updated June 28, 2018. http://www.semipresidentialism.com/up-to-date-list-of-semi-presidential-countries-with-dates/; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The Roles of Chief Executives within Democratic Regimes: Head of State Chief executives play two general roles: head of state and head of government . Head of state is a ceremonial role, while head of government is a political one that confers real power. Within a presidential regime, the president is both head of state and head of government. In a parliamentary regime, however, the roles are separate, with a president (as in Germany or India) or emperor (as in Japan) serving as head of state and the prime minister (or, in Germany, the chancellor) serving as head of government. While the position of head of state is largely ceremonial, images and symbols are extremely important, and the head of state provides a national symbol for a country’s citizens that works to unify a country. It would be a mistake to view the head of state as a mere figurehead. Heads of state attend national celebrations, host events such as state dinners, and often play a role in sporting events. For example, Queen Elizabeth II opened the 2012 Olympic Games in London. Similarly, Japan’s Emperor Naruhito opened the Summer 2020 Olympic Games held in Tokyo from July to August 2021. Their visibility is important to national identity. Heads of State Open the Olympic Games In this video, heads of state—including a führer, kings, a queen, a duke, an emperor, a chairperson, a governor-general, a vice president, and multiple presidents—preside over Olympic opening ceremonies. Illustrating the unifying role a head of state provides, one of the more memorable moments of President George W. Bush ’s first administration was when he threw the ceremonial first pitch in game 3 of the 2001 World Series. Taken just a few short months after 9/11 , the pictures of him at the mound, throwing a strike, are iconic. Presidents are the most recognizable leaders of their countries, and one of the key roles they play is to symbolically represent the state. Additionally, sports are intricately woven into each country’s cultural fabric. Baseball is known as “America’s pastime.” When President Bush threw the ceremonial first pitch, he stood as a unifying symbol relatable to people across party lines. As noted author David Fisher observed: “I didn’t vote for him. But at that point, my personal feelings about him as a politician [were] gone. I watched him, and he was my representative. And I had never felt that way before.” This YouTube clip by Townhall provides a great overview of the event and the event’s importance: https://www.youtube.com/watch?v=bxR1tZ08FcI. Fisher’s quote comes at the 3:38 mark. See https://us.macmillan.com/author/davidfisher/. Nineteen years later, writing for Newsweek , Marina Watts commented on the power of imagery: “That night, the first pitch meant more than just ‘play ball.’ It meant moving forward. It meant unity. With that throw, Bush helped heal a city and a nation.” Marina Watts, “Why George Bush’s 2001 World Series First Pitch Meant More Than Just ‘Play Ball,’” Newsweek , September 11, 2020, https://www.newsweek.com/why-george-bushs-2001-world-series-first-pitch-meant-more-just-play-ball-1531324. President George W. Bush’s Opening Pitch at Yankee Stadium after 9-11 This video portrays the ceremony and symbolism of a leader acting in the role of head of state. Heads of state also provide legitimacy to a government. While all states have coercive power, democratic governments depend upon citizen recognition that the authority the state has and the power it exerts are legitimate. When the head of state is separate from the head of government, the head of state can play a significant role in establishing and reinforcing the legitimacy of that government. Queen Elizabeth II opens Canada’s 23rd Parliament in the Senate Chamber, Ottawa, Ontario. (credit: “Her Majesty Queen Elizabeth II opens Canada’s 23rd Parliament in the Senate Chamber, Ottawa, Ontario” by Library and Archives Canada, Public Domain) In Great Britain, the Queen invites the winning party’s leader to form a government, and the Queen then gives a speech prepared by that new government laying out the government’s policy agenda and legislative initiatives. The new government has immediate legitimacy based on both winning elections and the visible support of the Crown. Often, the Queen’s representative performs her duties as head of state in the 16 Commonwealth realms, like Australia and New Zealand, but early in her reign Queen Elizabeth II traveled more extensively and performed more of those duties in person. The Roles of Chief Executives within Democratic Regimes: Head of Government As head of government , the chief executive has both the power and the authority to take action. Both presidents and prime ministers serve as heads of their governments as they take the lead in setting policy agendas, crafting legislation, and responding to crises. As previously noted, they are the ones people look to for solutions to a nation’s problems and the ones citizens hold accountable. An April 2020 Al Jazeera headline puts it bluntly: “ COVID-19 pandemic is testing world leaders. Who’s stepping up?” Zaheena Rasheed, “COVID-19 Pandemic Is Testing World Leaders. Who’s Stepping Up?” Al Jazeera , April 3, 2020, https://www.aljazeera.com/news/2020/4/3/covid-19-pandemic-is-testing-world-leaders-whos-stepping-up. To illustrate how people evaluate a leader based on that leader’s response to a crisis, consider the cases of Chancellor Angela Merkel of Germany and President Donald Trump of the United States. In their summer 2020 Global Attitudes survey, Pew Research found that 88 percent of Germans reported that their country had “done a good job dealing with the coronavirus outbreak.” For the United States, only 47 percent of Americans responded the same. Jacob Poushter and J. J. Moncus, “How People in 14 Countries View the State of the World in 2020,” Pew Research Center, September 23, 2020, https://www.pewresearch.org/fact-tank/2020/09/23/how-people-in-14-countries-view-the-state-of-the-world-in-2020/. Pew also found that 76 percent of Germans reported confidence in Merkel “to do the right thing regarding world affairs,” the highest such rating among world leaders. Within her own country, Merkel’s approval rating was 72 percent. Constanze Stelzenmüller, “Angela Merkel’s Final Year,” Order from Chaos (blog), Brookings, September 30, 2020, https://www.brookings.edu/blog/order-from-chaos/2020/09/30/angela-merkels-final-year/. This link to the polling report appears in the article: https://www.tagesschau.de/inland/deutschlandtrend-2321.pdf. Nevertheless, as the pandemic raged on, her support fell, and her party “fared poorly” in elections. Holly Ellyatt, “Confidence in Merkel’s Leadership Falters as Germany’s Pandemic Drags,” CNBC , March 26, 2021, https://www.cnbc.com/2021/03/26/germanys-merkel-and-cdu/csu-popularity-falls-during-the-pandemic-.html. In the United States, Donald Trump’s approval ratings make clear voters’ perceptions of how his administration responded to the pandemic. In September 2020, Trump’s 44 percent approval rating was nearly identical to the percent of respondents who believed the country was doing a good job dealing with COVID-19. “President Trump: Job Ratings,” PollingReport.com, https://www.pollingreport.com/djt_job2.htm#Gallup. The September number is an average of two Gallup polls (8/31 to 9/13 and 9/14 to 9/28). In November 2020, Trump was defeated in his bid for reelection. In exit polls, 17 percent of respondents indicated that the coronavirus was the most important issue affecting their vote. It was the third most frequently mentioned issue, behind the economy and racial inequality. Of those respondents who indicated coronavirus as the most important issue, 81 percent voted for Joe Biden . “Exit Polls,” CNN , https://www.cnn.com/election/2020/exit-polls/president/national-results. While Trump’s handling of the issue was only one factor in his defeat, it was a significant factor. Prior to the election, 55 percent of respondents indicated that the pandemic was a very important issue to how they would vote. Amina Dunn, “Only 24% of Trump Supporters View the Coronavirus Outbreak as a ‘Very Important’ Voting Issue,” Pew Research Center, October 21, 2020, https://www.pewresearch.org/fact-tank/2020/10/21/only-24-of-trump-supporters-view-the-coronavirus-outbreak-as-a-very-important-voting-issue/. Please note there is no inherent contradiction between 17 percent on Election Day stating the coronavirus was the most important issue and 55 percent of respondents stating before the election that it was a very important issue. For the CNN exit poll, respondents can only choose one issue as most important. For the Pew Research poll, respondents considered each issue independently and were asked to rate that issue’s importance. Democratic systems are classified into three categories: presidential regimes, parliamentary regimes, and semi-presidential regimes. Within each regime, there is a head of government as well as a head of state. In presidential regimes, the head of government is directly elected by the citizens and also serves as the head of state. In parliamentary and semi-presidential regimes, the head of government and head of state are separate individuals, and the legislature selects the head of government. Generally, the head of state is a ceremonial role, while the head of government holds political power and takes the lead in setting the policy agenda. head of government performed by a country’s leader, a political role in which the individual leads the country’s government head of state performed by country’s leader, a ceremonial role in which the individual symbolically represents the country parliamentary regimes democratic government systems in which the chief executive is selected by the legislative body and is a member of that legislature presidential regimes democratic governments in which the chief executive is selected separately from the legislative body and there exists a separation of powers between the presidency and the legislature prime minister the chief executive and head of government in a parliamentary regime semi-presidential regimes democratic government systems in which executive power is split between a prime minister (selected by the legislature) and a president (directly elected by the citizenry)", "section": "Democracies: Parliamentary, Presidential, and Semi-Presidential Regimes", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Executive in Presidential Regimes This will always remain one of the best jokes of democracy, that it gave its deadly enemies the means by which it was destroyed. —Joseph Goebbels , former minister of propaganda for the Nazi Party Quoted in Gregory H. Fox and Georg Nolte, “Intolerant Democracies,” Harvard International Law Journal 36, no. 1 (Winter 1995): 89. Learning Outcomes By the end of this section, you will be able to: Define populism and analyze why presidential regimes may be more vulnerable to populist leaders gaining power. Distinguish between formal powers and informal powers. Describe the term “bully pulpit” and illustrate why it is a significant power that presidents have. Explain why a president’s public approval rating is important as well as its connection to a president’s power to persuade. In some ways, presidential regimes are easy to understand. Voters elect a single individual who they can hold accountable. The system also has the appearance of stability due to the regularity of elections. Arend Lijphart, ed., Parliamentary versus Presidential Government (New York: Oxford University Press, 1992), 11. Except for unique structures like the Electoral College in the United States, the direct election of presidents is viewed as more democratic than the indirect selection of prime ministers by a parliament. Ibid., 12–13. Nevertheless, there are downsides to popularly elected presidents, as the rise of populism in the 21st century has demonstrated. Presidential Regimes and Elections As Univeristy of California professor Arend Lijphart notes, the distinctiveness of presidential regimes is that the head of government is a single individual who is popularly elected. Ibid., 2. The election is either direct (for example, in Brazil and the Philippines) or indirect through an electoral college (for example, in the United States). Presidents serve fixed year terms and are typically term-limited. For example, Argentina, Brazil, Kenya, and the United States allow two terms. Some countries, like Colombia and the Philippines, only allow presidents to serve a single term. After serving their terms, presidents are usually ineligible to be reelected. Even so, some countries, like Argentina, simply require the individual to “take a break,” and then the person is reeligible to run for president. In Argentina, the president can serve two four-year terms, sit out for a four-year term, and then be eligible for another two four-year terms. Argentina Constitution, section 90, http://www.biblioteca.jus.gov.ar/Argentina-Constitution.pdf. Presidential Regimes and Populism Targeting the masses with emotional appeals, populism promises individuals a political voice in a system perceived to be ruled by elites. In the early part of the 21st century, the rise of populism and leaders who border on the definition of demagogues pose an increasing threat, with some scholars contending that democracy is in crisis. William G. Howell and Terry M. Moe, Presidents, Populism, and the Crisis of Democracy (Chicago: The University of Chicago Press, 2000). Indeed, democracy provides the opportunity for demagogues and populism. As University of Chicago professor William G. Howell and Stanford University professor Terry M. Moe note: “In ancient Athens, thinkers of the age recognized that their novel system of democratic self-governance lived in constant danger—because by its very nature, in allowing the masses to freely choose their own leaders, it contained the seeds of its own destruction.” Ibid., 7. The Goebbels quote that opens this section alludes to this same point. The essence of populism is “a suspicion of and hostility toward elites, mainstream politics, and established institutions.” Fareed Zarkaria, “Populism on the March: Why the West Is in Trouble,” Foreign Affairs 95, no. 6 (November/December 2016), https://www.foreignaffairs.com/articles/united-states/2016-10-17/populism-march. To what extent do democratic systems—presidential and parliamentary—encourage the rise of populist movements and allow populists to remain in power? Do presidential regimes provide greater opportunities for populist leaders to emerge than do parliamentary ones? Which regime type provides greater safeguards against the potential harm that demagogues can inflict once in office? (From left) Former Prime Minister of Slovakia Mikulás Dzurinda, Prime Minister of Slovenia Janez Janša, former Prime Minister of Albania Sali Berisha, and Prime Minister of Hungary Viktor Orbán talk at the European People’s Party Summit in 2010. (credit: “EPP Summit 25 March 2010 (125)” by European People’s Party/Flickr, CC BY 2.0) The experiences of the United States and Brazil offer two examples for presidential regimes. The United States has a long history of populism, stretching back to the late 1800s and William Jennings Bryan . President Trump is simply the most recent American populist example. When he began his run for the presidency, Trump struck a populist tone as one who stands against elitists who don’t have ordinary people’s interests in mind; in a Wall Street Journal opinion column, he asked, “How has the ‘system’ been working out for you and your family?” Donald J. Trump, “Let Me Ask America a Question,” The Wall Street Journal , April 14, 2016, https://www.wsj.com/articles/let-me-ask-america-a-question-1460675882. While in office, Trump appealed to specific groups within the electorate, emphasizing a key populist theme: government is ineffective, but he would usher in a new age of responsive and effective government. Ibid., 6-7. Howell and Moe write: “Populists don’t just feed on socioeconomic discontent. They feed on ineffective government—and their great appeal is that they claim to replace it with a government that is effective through their own autocratic power. This generic formula was precisely what Trump followed in the 2016 election.” William G. Howell and Terry M. Moe, Presidents, Populism, and the Crisis of Democracy (Chicago: The University of Chicago Press, 2000). Similarly, elected in 2018, President Jair Bolsonaro of Brazil, who has been called the “Trump of the tropics,” echoes an antiestablishment rhetoric that populists embrace. Brian Winter, “Messiah Complex: How Brazil Made Bolsonaro,” Foreign Affairs 99, no. 5 (September/October 2020), https://www.foreignaffairs.com/articles/brazil/2020-08-11/jair-bolsonaro-messiah-complex. Nevertheless, parliamentary regimes have also seen populist leaders emerge. Arguably, this has happened in the Czech Republic (Andrej Babiš ), Greece (Alexis Tsipras ), and Hungary (Viktor Orbán ). “Populists in Power around the World,” Tony Blair Institute for Global Change, November 7, 2018, https://institute.global/policy/populists-power-around-world. Additionally, within the last 20 years, some semi-presidential regimes have seen populists emerge in leadership positions (for example, in Poland with Jarosław Kaczyński and in Slovenia with Janez Janša ). Presidential Regimes as Incubators for Populism It can legitimately be argued that populism is more likely to gain ground in a presidential regime than in a parliamentary one. At the very least, presidential regimes serve as incubators. In presidential regimes, government leaders appeal directly to the voters and enjoy a constituency separate from the legislature. Because parties are weaker in presidential regimes, they do less to constrain government leaders. At the candidate selection stage, presidential regimes tend to be candidate centered rather than party centered. In other words, the candidates choose to run for president rather than the party selecting them. In 2016, Donald Trump received no major Republican endorsements prior to the primary season. Yet, he won the Republican nomination and was elected president. To be fair, however, as political commentator Fareed Zakaria notes, a single leader can usurp power within either a presidential or a parliamentary regime. Fareed Zakaria, “The Rise of Illiberal Democracy,” Foreign Affairs 76, no. 6 (November/December 1997): 23–24. The point is that democracy itself, and not simply a particular expression of democracy, is open to its own exploitation. So, on the first question, presidential regimes are slightly more prone to populism. But populists can also arise within parliamentary regimes. Safeguards against Populism Some scholars argue that parliamentary regimes are better able than presidential regimes to respond to the conditions that give rise to a populist movement. William G. Howell and Terry M. Moe, Presidents, Populism, and the Crisis of Democracy (Chicago: The University of Chicago Press, 2000), 40. Parliamentary democracies not only tend to have stronger welfare systems, but they are also more able to respond with policies that address underlying issues like systemic inequities and inefficient government. And, interestingly enough, the leaders of populist parties in Eastern Europe appear to be losing favor. Andrew Higgins, “Populist Leaders in Eastern Europe Run into a Little Problem: Unpopularity,” The New York Times , June 21, 2021, https://www.nytimes.com/2021/06/21/world/europe/eastern-europe-populist-leaders-unpopular.html. This does not mean, however, that presidential regimes do not also possess safeguards. Presidential regimes possessing strong institutions and a consolidated democracy have the ability to address the problems demagogues cause even if they do not prevent their emergence. Though the United States has a long history of populist movements, the influence of individual populists in the United States has thus far proven to be rather short lived. What Makes a Populist? This brief clip highlights common traits many populist politicians share. Still, populism does prove to be attractive. Recall that Donald Trump was not the only candidate in recent US election cycles who could be characterized as a populist. In both 2016 and 2020, Senator Bernie Sanders offered a populist alternative from the left. While Sanders did not ultimately win the Democratic nomination in either election cycle, his presence demonstrates populism’s potential appeal across the political spectrum, even if the goals of alternate varieties of populism may differ. The conditions that gave rise to Trump as well as the European populist movements remain, which means that populist movements from both the left and right may arise. William G. Howell and Terry M. Moe, Presidents, Populism, and the Crisis of Democracy (Chicago: The University of Chicago Press, 2020). At the top of their list of system issues that remain is the ineffectiveness of government. See also Daron Acemoglu, “Trump Won’t Be the Last American Populist: The Conditions That Produced Him Need to be Understood to be Addressed,” Foreign Affairs , November 6, 2020, https://www.foreignaffairs.com/articles/united-states/2020-11-06/trump-wont-be-last-american-populist. Finally, the Goebbels quote also illustrates the threat demagogues pose to democracies. Once in office, demagogues have the ability to attempt to change the system by which they were elected. For example, in a tweet, President Trump questioned the legitimacy of voting procedures and whether the 2020 elections should be delayed. Maggie Haberman, Jonathan Martin, and Reid J. Epstein, “Trump Floats an Election Delay, and Republicans Shoot it Down,” The New York Times , July 30, 2020, https://www.nytimes.com/2020/07/30/us/politics/trump-delay-2020-election.html. However, while individuals matter, institutions matter as well. Democracies with strong institutions have always been able to withstand challenges to the democratic process. Not only was the 2020 election held when scheduled, but the aftermath of the election, with its many court cases, also illustrated that institutions provide the necessary safeguards against demagogues. Executive Power in Presidential Regimes: Formal and Informal Powers Presidents have both formal and informal powers. Veto power, the power to nominate Supreme Court justices (as in the United States), or the power to convene the National Assembly and specify issues the assembly needs to address (as in Ecuador) are all examples of formal powers . Formal powers vary greatly from country to country. Presidents also have informal powers . Informal powers are those that emerge through tradition or custom or that are inherent in the office. It is often said that presidents have a “ bully pulpit ,” which means that, by virtue of their position, presidents have opportunities to speak on issues with the assurance that their voices will be heard. In doing so, presidents can offer direct appeals to citizens to persuade those citizens (and legislatures) that the chief executive’s approach is the correct one. Along these lines, presidential scholar Richard Neustadt states that a president’s greatest power may be his power to persuade . Richard Neustadt, Presidential Power: The Politics of Leadership from FDR to Carter (New York: John Wiley & Sons, Inc., 1980), 10. Empirical Analysis and Executives Former US President Donald Trump, Canadian Prime Minister Justin Trudeau, Former British Prime Minister Theresa May, and Indian Prime Minister Narendra Modi greet one another at the G20 Summit in 2017. (credit: “President Trump’s Trip to Germany and the G20 Summit” by Shealah Craighead/Trump White House Archives/Flickr, Public Domain) When people think about empirical and quantitative analysis, the image that often comes to mind is of a large spreadsheet with rows and rows of often-indecipherable data. While numerical analysis is a component of empirical analysis, it is not the only component. When you analyze the longevity of particular coalition governments or compare the policy outputs of presidential and parliamentary systems, you also engage in empirical analysis. At its core, the idea of empirical analysis is to look at any observable fact—something that is empirical—and gain an understanding of something larger than that one individual fact. Empirical analysis aims to put that fact into a larger context. Do presidential systems tend to represent the policy preferences of the citizens in their societies better than other systems? By studying executives, you hone empirical analysis skills that can be applied in many different contexts. For example, empirical analysis skills can be useful if you decide to become a teacher and you are trying to determine which teaching method may be most successful in your classroom. These skills are also helpful if you are a web designer and want to determine which format will appeal most to visitors to your site. A key component of a president’s power to persuade is the president’s public approval rating . In today’s political environment, a great deal of attention is given to this number. In the United States, Gallup conducts multiday surveys to compute a president’s ongoing job approval rating. The importance of the public approval rating has even shown up in popular movies such as the 1995 film The American President . In the film, fictional President Alan Shepherd and his Chief of Staff A. J. MacInerney discuss the prospect of the president dating. Shepherd: I don’t want to check a polling sample to see if this is okay, like I’m asking permission to stay out an hour past curfew. This isn’t the business of the American people. MacInerney: Mr. President, the American people have a funny way of deciding on their own what is and what is not their business. While the movie is fiction, it illustrates an important point—the impact a drop in polls will have on the president’s legislative agenda. Consider the first administration of President Bill Clinton . Upon taking office, one issue Clinton focused on was gays in the military. For his first few months in office, this contentious issue consumed considerable attention, launching a national debate that culminated in Clinton’s “ Don’t ask, don’t tell ” policy. At the time, the country was evenly split and deeply divided on the issue (48 percent supported it; 49 percent opposed). Lydia Saad, “Gallup Vault: Issue of Gays in Military Split Americans in 1993,” Gallup, July 28, 2017, https://news.gallup.com/vault/214745/gallup-vault-issue-gays-military-split-americans-1993.aspx. In 2011, the policy was formally repealed. Elizabeth Bumiller, “Obama Ends ‘Don’t Ask, Don’t Tell’ Policy,” The New York Times , July 22, 2011, https://www.nytimes.com/2011/07/23/us/23military.html. When President Clinton took office in January 1993, he had a 58 percent public approval rating. By June it had fallen to 37 percent. It could be argued that his inability to have any major legislative success that first year was, in part, due to his falling approval rating. Clinton’s failure to enact major legislation was not simply due to relatively poor approval ratings or “Don’t ask, don’t tell.” But that didn’t help. Public opinions polls are not unique to the United States, and neither are their effects. Faced with declining polling numbers in 2021, President Jair Bolsonaro (Brazil) found his message of opposition to the coronavirus vaccine lacked persuasive power. As of mid-August 2021, over 70 percent of Brazilians had received the vaccine. Terrence McCoy and Gabriela Sá Pessoa, “Bolsonaro Worked to Shake Brazil’s Faith in Vaccines. But Even His Supporters Are Racing to Get Their Shots,” The Washington Post , August 16, 2021, https://www.washingtonpost.com/world/2021/08/16/coronavirus-brazil-bolsonaro-vaccine/. Even his supporters were lining up to get vaccinated. The single greatest distinctiveness of presidential regimes is that the chief executive is popularly elected. This individual serves as both head of government and head of state and serves fixed terms. More so than parliamentarianism, presidentialism provides the opportunity for populism to emerge. Populism is a political approach that uses emotional appeals to the masses and promises the masses a political voice in a government that is perceived to be ruled by elites. As is the case with all chief executives, presidents possess both formal and informal powers. Formal powers are those granted to the president by statute or constitution. Informal powers arise from custom or tradition. The power to persuade is most likely the greatest power a president has and is connected to the president’s approval ratings. Through the use of the bully pulpit, presidents have the opportunity to shape public opinion and convince the public that the president’s policies are the best approach to address issues facing the nation. bully pulpit the national podium presidents have to speak on issues they believe are important and from which they can attempt to gain support for their position formal powers powers specifically granted an executive by statute or by the country’s constitution informal powers powers that emerge through tradition or custom or are inherent in the office populism political approach that uses emotional appeals to promise the masses a political voice in a system that has been perceived to be run by elites", "section": "The Executive in Presidential Regimes", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Executive in Parliamentary Regimes Learning Outcomes By the end of this section, you will be able to: Describe how a government is formed in a parliamentary regime. Summarize the role of the prime minister in the government. Demonstrate why political parties matter more in a parliamentary regime. Explain what a confidence vote is and discuss its implications. Within a parliamentary regime, the voters elect representatives. Based on their electoral choices, a government is formed. It is possible that a single party could win a majority of seats in the legislature. If that happens, the prime minister, who was also elected as a member of the legislature, will be invited to form the government. The prime minister will come from the majority party. If there is no majority party, the bargaining begins as a coalition is built. Compared to presidential regimes, parliamentary regimes place greater focus on political parties and the issue positions they take. The personality of the chief executive is of less importance than it is in a presidential regime, though its significance is not eliminated. Party leaders are well known. Prime ministers have significant executive powers. They have power over their cabinets and the composition of those cabinets, and they have the power to dissolve the government and call for new elections. Parliamentary Regimes and the Electoral Connection While parties matter in a presidential regime, they matter more in a parliamentary regime. In a presidential regime, where votes for president do not affect the partisan composition of the legislature, candidates appeal to a broad spectrum of voters in an attempt to get voters to cross party lines. Within a parliamentary regime, the calculus is much different because the chief executive emerges from the party that wins the majority. Even if a coalition government is required, it is likely that the prime minister will be a member of the party that won the most seats. When voters choose whom to vote for, they understand that calculus and vote accordingly. Within a parliamentary regime, the chief executive is typically known as the prime minister. In Germany, however, the head of government is called the chancellor. Regardless of the title, the chief executive enjoys considerable political power. For example, in Germany, the Federal Chancellery (Bundeskanzleramt) has been referred to as a “superministry.” This office provides the chancellor with wide ranging powers and governmental oversight. If a single party gains a majority of seats, then there is a majority government . If no party gains a majority, then the leader of the largest party will form a coalition government by inviting one or more of the other parties to join. Coalition governments are common and are noted as one of the disadvantages of a parliamentary regime. Executive Power in Parliamentary Regimes Because the prime minister is a member of the legislature, his or her power base differs from that of a presidential regime. Even though parliamentary regimes hold periodic elections, the elections are not necessarily for fixed terms (for example, every four years) as they are with presidential regimes. In fact, over the last 20 years, Italy has held elections 10 times, with the prime minister’s average length of office being about 845 days (author’s calculation). In a parliamentary regime, any failure of policy could trigger either a confidence vote or new elections, which could result in the removal of the prime minister. Some parliamentary regimes do have fixed-term elections, and others have maximum-term elections, preventing any government from being in power indefinitely. A confidence vote , sometimes referred to as a no-confidence vote, takes place when some members of the parliament no longer support the government. The actual process and wording differ from country to country. A majority is needed to pass a vote of no confidence. If the government loses the vote, one of two things happens: either a new government is formed, or elections take place. If a new government is formed, it will reflect the partisan distribution of the old government, but even if a new government is formed, it is unlikely that the current prime minister will continue to serve. A no-confidence vote could also take place within the majority party or the coalition that holds power. This vote is directed at the prime minister and not the government. While no-confidence votes are rare, in June 2021, Stefan Löfven (Sweden) lost a no-confidence vote and was forced to resign. “Swedish PM Stefan Löfven Loses No-Confidence Vote,” The Guardian , June 21, 2021, https://www.theguardian.com/world/2021/jun/21/swedish-pm-stefan-lofven-loses-no-confidence-vote. Nevertheless, instead of new elections being called, coalition talks ensued. Löfven was able to form a coalition and regain power in the vote to form the new government. “Stefan Löfven: Caretaker PM Wins Parliament Vote to Form New Swedish Government,” Euronews , July 7, 2021, https://www.euronews.com/2021/07/06/stefan-lofven-swedish-caretaker-pm-faces-parliament-vote-to-form-new-government. But coalitions are not so easily built. In 2010, when Nouri al Maliki (Iraq) worked to form a coalition government, it took him almost six months to build a working coalition. Then–British Prime Minister Theresa May with the then-president of the European Parliament Antonio Tajani less than a month after May survived a vote of no confidence in the British Parliament amid struggles over Brexit negotiations. (credit: “May at the EP” by European Parliament/Flickr, CC-BY-4.0: © European Union 2019 – Source: EP) One of the advantages of a parliamentary regime is greater party discipline. Prime ministers can count on the loyalty of party members. Members who choose to go against the party do so at their own political risk. This has a direct impact on public policy and informs how the relationship between the executive and the legislature differs between the two systems. A president is outside the legislature; the prime minister is in the legislature. This means there is consistency between the chief executive’s policy agenda and the legislature’s. Within a presidential regime, presidents set the policy agenda (i.e., presidents determine what issues have priority) and craft legislation. Proposed legislation then goes to a legislature that is outside of their control. It’s been said that, in the policy-making process, presidents are strong early in the legislative process but weak late in the process. In other words, it is only after the proposed legislation leaves the president’s office that it gets negotiated and modified. For prime ministers, however, the opposite is true. Prime ministers and their cabinets craft legislation as a group from the beginning, with the specifics being negotiated and modified. In this process, the prime minister persuades other ministers to follow his or her lead. Once a course of action is decided or legislation is agreed upon, its passage is certain. The remainder of the party in power will support the prime minister. The unified nature of the government assures this. In parliamentary regimes, the head of government is typically termed the prime minister and is a member of parliament. The parliament selects the prime minister after party elections have taken place. If one party earns a majority of the seats in parliament, the majority party selects the prime minister. If no party earns a majority of the vote, then two or more parties will form a coalition and the coalition will select the prime minister. Prime ministers hold considerable political power such as the power to select members of the cabinet. Nevertheless, prime ministers can be removed by a confidence vote. Sometimes called a “no confidence vote,” this is a procedural move in a parliamentary regime in which ministers vote to continue to support the prime minister. If the prime minister loses the confidence vote, new elections take place. coalition government within a parliamentary regime, a government in which two or more parties have aligned together to rule confidence vote a procedural move in a parliamentary regime in which ministers vote on whether to continue to support the prime minister; sometimes called a “no confidence vote” majority government within a parliamentary regime, when one party holds a clear majority and forms the government", "section": "The Executive in Parliamentary Regimes", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Advantages, Disadvantages, and Challenges of Presidential and Parliamentary Regimes Learning Outcomes By the end of this section, you will be able to: Compare and contrast the advantages and disadvantages of parliamentary and presidential regimes. Distinguish between government stability and policy stability. Explain what a coalition government is and how these governments potentially work within each regime. Define political gridlock and political polarization and explain how they may impact public policy. Summarize how minor parties are more viable in a parliamentary regime than they are in a presidential regime. Each system has its advantages and disadvantages. This section will primarily focus on the systems’ effects on policy: stability, coalition governments, divided government, and representation of minor parties. Comparison of Advantages and Disadvantages of Presidential and Parliamentary Regimes Presidentialism Parliamentarianism Advantages Disadvantages Advantages Disadvantages Presidents can claim a mandate and take the lead in setting the legislative agenda. If there is divided government, it can lead to gridlock. A unified government enables the quick enactment of policies. Drastic policy change is possible from one government to the next. During a time of crisis, a president may be able to act quickly. A president may blame the legislature for policy failures. A clear line of policy-making responsibility helps define accountability. Coalition governments may be short-lived, with frequent elections. Separation of powers may better protect rights of minority groups when an independent judiciary has the power of judicial review. One individual must play the roles of both head of state and head of government. Minority parties are frequently represented in parliamentary legislatures. Minority groups have relatively fewer protections. Party discipline tends to be weak. Strong presidents or populist leaders can emerge, presenting challenges to democracy. Political parties and party discipline tend to be strong. Governmental Stability versus Policy Stability Any discussion of the advantages and disadvantages of presidentialism and parliamentarianism begins with the hypothesis, first posited by Yale University professor Juan Linz , that parliamentary regimes are more stable than presidential regimes and that “the only presidential democracy with a long history of constitutional continuity is the United States.” Juan Linz, “The Perils of Presidentialism,” Journal of Democracy 1, no. 1 (Winter 1990): 51. To Americans, the claim that parliamentary regimes are more stable may appear strange. As already noted, while parliamentary regimes have regular elections, they are not necessarily fixed-term elections. This means an election can happen at any time, opening up the possibility for multiple elections within a relatively short period of time. From 2018 to 2021, there were four separate elections in Israel. Patrick Kingsley, “Israel’s Election Ends in a Stalemate, Final Results Show.” The New York Times , updated May 3, 2021, https://www.nytimes.com/2021/03/25/world/middleeast/israel-election-results.html. In April 2020, Benjamin Netanyahu again was given the opportunity to form a new coalition government. Isabel Kershner, “Netanyahu Gets First Crack at Forming a New Government in Israel,” The New York Times , updated May 3, 2021, https://www.nytimes.com/2021/04/06/world/middleeast/netanyahu-israel-new-government.html. Ultimately, however, he was unable to do so and was ousted as prime minister. Patrick Kingsley and Richard Pérez-Peña, “Netanyahu Ousted as Israeli Parliament Votes in New Government,” The New York Times , June 13, 2021, https://www.nytimes.com/2021/06/13/world/middleeast/netanyahu-naftali-bennett-israel-vote.html. To Americans, this may seem like the very definition of instability. Within this context, stability refers to the stability of the political system itself and not the stability of any particular government within that system. Parliamentary regimes may experience multiple elections in a short space of time, but that does not mean the system itself is unstable. It could simply reflect current electoral politics. In that respect, the current demographics of a particular country could work against a majority emerging and encourage coalition governments. Deep divisions within the Israeli electorate have made the formation and maintenance of a coalition government difficult. Nevertheless, the political system remains stable and in place, even if the ramifications of Israel’s crisis in determining its leadership do raise some concerns for aspects of the system. Any instability provides the opportunity for political change. Instability can also take the form of policy change. Policy swings are more likely in parliamentary regimes. Because there are no set elections, elections could take place at any time. While public opinion does tend to move rather slowly, it changes over time and when triggered by events that cause the public to rethink key issues. Within a parliamentary regime, changing demographics or changing attitudes among the public could bring in a new government that has a very different majority than the old government. That new government could bring sweeping policy changes. Whether an individual sees the changes as a sign of political instability or a sign that the government reflects the will of the people may depend upon whether that individual agrees with the new policies. What one person might view as instability, someone else might see as needed policy change. Coalition Governments Generally, coalition governments are shorter-lived than majority governments. Jaap Woldendorp, Hans Keman, and Ian Budge, Party Government in 48 Democracies (1945–1998) (Dordrecht, NL: Springer, 2000). The sheer duration of a government provides no indication as to its efficiency or its effectiveness in enacting public policy. The stability of a system can also be interpreted as policy change because the electorate may interpret the system as responsive and adaptable. Georgetown University visiting researcher Josep Colomer found that governments with more parties experienced greater stability with respect to policy change. Josep M. Colomer, “The More Parties, the Greater Policy Stability,” European Political Science 11, no. 2 (June 2012): 231. Israeli Opposition Parties Strike Deal to Form New Government In this clip, DW News reports on the deal opposition parties struck to form a coalition government, resulting in the ouster of Israeli prime minister Benjamin Netanyahu. Forming a new government within the existing parliamentary structure does not require a fundamental change to that structure or its institutions. Consider what happens when a new US president is elected. That president forms a new administration. Similarly, after congressional elections, there may be new leadership in either or both of the houses if there have been significant partisan shifts, with one party losing majority status and the other party gaining it. The 2020 presidential election illustrates the point well. Joe Biden won the presidency and chose a cabinet. Similarly, Democrats gained a slim majority in the Senate and put in place a new majority leader, Senator Charles (Chuck) Schumer . The government was new, but the structure of the branches of government and its institutions did not change. Coalition governments can be considered a disadvantage of parliamentary regimes, but they can also be a potential advantage. One argument in favor of a parliamentary regime with proportional representation is that more parties are represented. While presidential regimes do not inherently result in a two-party system, there is no doubt that the presidential regime in the United States works that way. Indeed, in the United States, no third-party candidate has ever won the presidency. Theodore Roosevelt came closest in 1912. While he managed to finish second and collect 88 Electoral College votes, he effectively split the Republican vote and helped to ensure the election of Woodrow Wilson , who received less than 45 percent of the popular vote. In a parliamentary regime, it is conceivable that Theodore Roosevelt would have been able to build a coalition with the Republican Party and form a government. So, not only is one more likely to have viable third parties in a parliamentary regime, but those third parties could hold significant power within a government. Gridlock One of the primary disadvantages of presidentialism is the possibility of gridlock. Political gridlock is when governments are unable to pass major legislation and stalemates between competing parties take place. Certainly, gridlock can occur within parliamentary regimes, but because presidential regimes have separate institutions, they often result in divided government and are biased against coalition building. Generally speaking, neither of those conditions is typical of a parliamentary regime. These conditions in presidential regimes appear to make them more conducive to gridlock. Over the years, there has been considerable debate over whether divided government causes gridlock. Yale Emeritus professor David Mayhew argues that gridlock is not inevitable in divided government and that important legislative productivity takes place within both divided and unified governments. David Mayhew, Divided We Govern , 2nd ed. (New Haven, CT: Yale University Press, 2005). That is not to suggest, however, that gridlock does not take place. Brookings Institution fellow Sarah Binder notes that the 2011–2012 Congress ranked “as the most gridlocked during the postwar era.” Sarah Binder, “Polarized We Govern?” Brookings, May 27, 2014, https://www.brookings.edu/research/polarized-we-govern/. When gridlock does happen, it tends to be highly visible, with each side publicly posturing and blaming the other side for the impasse, and gridlock eventually ends. That gridlock ends suggests a self-correcting aspect; the two political parties do not diverge from each other all that much or for all that long. David Mayhew, Partisan Balance: Why Political Parties Don’t Kill the US Constitutional System (Princeton, NJ: Princeton University Press, 2011). At the same time, presidential regimes carry a risk of polarization . While political polarization is not unique to presidential regimes, they are prone to its development. The last 30 years in particular have seen an increase in political polarization. “Political Polarization in the American Public,” Pew Research Center, June 12, 2014, https://www.pewresearch.org/politics/2014/06/12/political-polarization-in-the-american-public/. The extent to which it exists both within political parties and within the electorate has been the subject of heated debate. See, for example, Morris P. Fiorina, Samuel J. Abrams, and Jeremy C. Pope, Culture War? The Myth of a Polarized America , 3rd ed. (New York: Longman, 2010). Political polarization is a disadvantage of presidential regimes that presents a cause for concern for the enactment of public policy. But does polarization cause a systemic breakdown in the legislative process? The short answer is that perhaps it can. Dodd and Schraufnagel have demonstrated a curvilinear relationship between polarization and legislative productivity. Lawrence C. Dodd and Scot Schraufnagel, “Reconsidering Party Polarization and Policy Productivity: A Curvilinear Perspective,” in Congress Reconsidered , Lawrence C. Dodd and Bruce I. Oppenheimer, eds., 9th ed. (Washington DC: CQ Press, 2009): 413. Higher levels of polarization tend to be more likely to interfere with the policy-making process. But interestingly enough, low levels of polarization also result in low levels of productivity. It is when polarization is somewhere in the middle that legislative progress is most likely to occur. Indeed, Dodd and Schraufnagel note that attention should be given to the “virtues of divided government.” So, while presidential regimes work against coalition building, Manning J. Dauer Eminent Scholar in Political Science at the University of Florida Lawrence C. Dodd and Northern Illinois University professor Scot Schraufnagel conclude that divided government may provide both parties “some incentive to embrace sincere negotiation, timely compromise, and reasonable, responsive policy productivity by government, since each is responsible for one branch of government and could be held accountable by the public for obstructionist behavior by its branch.” Between 1994 and 2014, ideological division in the United States grew. (data source: 2014 Political Polarization in the American Public, Pew Research; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Viable Third Parties In any democracy, third parties or minority parties play important roles. Presidential regimes tend to encourage the formation of a two-party system, resulting in a weaker role for third parties than in most parliamentary regimes that have proportional representation. The reasons presidential regimes are more prone to result in a two-party system are twofold. The first is due to voting procedures. While there is considerable variation in how elections are held across countries, a common approach is plurality voting (also known as “first-past-the-post”). With plurality voting and single-member districts (one person being elected per geographic area), a two-party system is likely to emerge (this is known as Duverger’s law and was covered in Chapter 9: Legislatures ). The presidency is “the most visible single-member district.” Marjorie Randon Hershey, Party Politics in America (New York: Routledge, 2021): 39. While Duverger’s law is not determinative because it does not guarantee a two-party system, it encourages its development. In addition to voting procedures, presidents have to appeal to voters across groups and form a coalition. Political parties are simply coalitions of varied groups. In order to appeal to as many voters as possible, political parties are more likely to broaden their scope of appeal rather than to define themselves more narrowly. Third parties are much more viable in a parliamentary regime—that is, they have actual representation and voice within the national government. The 2018 elections in Italy resulted in over a dozen parties being represented in its parliament. Generally, this is a positive because voters are much more likely to vote for their first choice. Within a two-party system, however, voters may vote for their second choice because they do not wish to waste their vote. In a parliamentary regime with proportional representation, the threshold for representation within the parliament can be quite low at less than 5 percent. Once elected, the minority party could potentially find itself holding some power. In a parliamentary regime, a minority party may find itself with a disproportionate amount of power as it aligns itself with one of the larger parties. While it is possible to exaggerate the power the minority party holds in the partnership, it cannot be dismissed out of hand. In a presidential regime, however, large numbers of voters face the unenviable task of voting for a candidate who is less than their first choice, and voters often frame that choice as voting for the “lesser of two evils.” In the 2016 US presidential election, 46 percent of Republicans indicated that neither of the major-party candidates would make a good president. For Democrat respondents, that percentage, while lower, was also substantial at 33 percent. “Election 2020: Voters Are Highly Engaged, but Nearly Half Expect to Have Difficulties Voting,” Pew Research Center, August 13, 2020, https://www.pewresearch.org/politics/2020/08/13/perceptions-of-trump-and-biden/. In recent presidential elections, the percent of voters indicating satisfaction with the candidates has never been higher than 72 percent and has been as low as 33 percent. See . These data from 1992 to 2020 suggest that the party with a larger percentage of registered voters who say they are satisfied with their party's presidential candidate often—but not always—wins the election. (data source: Pew Research; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The main advantage of presidentialism is that presidents can claim a mandate and act quickly during a time of crisis. The judiciary is separate from the executive in presidential regimes, an arrangement that may help protect the rights of minority groups. The main disadvantages of presidentialism are that it may lead to gridlock, there is a relative lack of accountability, and the chief executive performs the roles of head of government and head of state. Within presidentialism, political parties are weaker. The advantages of parliamentarianism are unified government, clear lines of accountability, the representation of minority parties in the parliament, and stronger political parties. Parliamentarianism’s disadvantages include drastic policy change from one government to the next, coalition governments resulting in more frequent elections, and relatively fewer protections of minority rights. gridlock a stalemate between competing parties that prevents governments from passing major legislation plurality voting a voting system in which the winning candidate is the one who receives the most votes even if the candidate does not receive more than 50 percent of the vote; also known as “first-past-the-post” single-member districts electoral districts in which only a single individual is elected to represent an area", "section": "Advantages, Disadvantages, and Challenges of Presidential and Parliamentary Regimes", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Semi-Presidential Regimes Learning Outcomes By the end of this section, you will be able to: Summarize the structure of semi-presidential regimes. Explain how semi-presidential regimes differ from presidential and parliamentary regimes. Outline the apparent connection between the various democratic regimes and freedom. A third type of system is semi-presidentialism. While a semi-presidential country can be democratic (for example, Austria, Iceland, and Poland), many semi-presidential countries are not democratic (for example, Rwanda and Syria). This section briefly defines semi-presidentialism and some of its basic characteristics and then examines the connection between governmental systems and political freedom. Defining Semi-Presidential Regimes Semi-presidential regimes can be viewed as a hybrid, sitting between parliamentary and presidential regimes. Even though they are ill defined, it is possible to can make some general observations. Basically, in semi-presidential regimes power is divided between the prime minister and the president, with both executives having political power. Typically, each executive’s respective powers are clearly defined, but that is not always the case. As in presidential regimes, in semi-presidential regimes the people directly elect the president. Unlike in parliamentary regimes, however, the president usually appoints the prime minister. Once appointed, the prime minister must gain a majority in the parliament. If there is already a majority present, the president must simply select the leader of the majority party, regardless of whether the individual is of the same party as the president. That means the president could be of one party and the prime minister of a different party. This has happened in France. They referred to it as “cohabitation.” Semi-Presidential Regimes and the Connection to Freedom Semi-presidential regimes appear to be less free than parliamentary or presidential regimes. Correspondingly, they appear to give greater opportunity for authoritarian rule to emerge. Russia and Vladimir Putin is the best contemporary example of authoritarian rule in a semi-presidential regime. Nevertheless, there is considerable variation among semi-presidential countries. Freedom House gives France, which also has a semi-presidential regime, a high global freedom score of 90. It is interesting to see the association between regime type and countries’ Freedom House scores. Freedom House’s home page is https://freedomhouse.org. For a list of countries and their global freedom scores, see https://freedomhouse.org/countries/freedom-world/scores. For an overview of their methodology, see https://freedomhouse.org/reports/freedom-world/freedom-world-research-methodology. The global freedom score goes from 0 to 100, with higher scores indicating greater freedom. See . Freedom House mean global freedom scores by regime type (higher scores = higher levels of freedom) suggest that parliamentary systems tend to be remarkably freer than either presidential or semi-presidential systems. N indicates the number of countries of each regime type. (data source: “Countries and Territories.” Freedom House. https://freedomhouse.org/countries/freedom-world/scores; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Freedom House also categorizes countries as not free, partly free, or free. Eighty percent of parliamentary countries are categorized as free, while only 39 percent of presidential regimes and 38 percent of semi-presidential regimes are categorized as free. See . Based on how Freedom House defines “free,” “partly free,” and “not free,” the vast majority of parliamentary systems are free, while less than half of presidential and semi-presidential systems are free. In fact, more than half of presidential systems are only partly free, and more than a quarter of all semi-presidential systems are not free. N indicates the number of countries of each regime type. Regime type is coded by the author. (data source: “Countries and Territories.” Freedom House. https://freedomhouse.org/countries/freedom-world/scores; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Another way of thinking about the data is to examine only those countries rated as “not free.” Nineteen countries are defined as not free. Of those 19 countries categorized “not free,” only one is parliamentary (Thailand), three are presidential (Burundi, Nicaragua, and Venezuela), and the remaining 15 are semi-presidential. Finally, an intriguing picture emerges as one moves from parliamentary regimes to semi-presidential ones. As shown in the scatter plot below, scores for parliamentary countries are much more concentrated (i.e., less dispersed) as well as located toward the top of freedom scale, while semi-presidential regimes are dispersed all along the scale. Indeed, the lowest score for a parliamentary regime is 30 (Thailand). For semi-presidential regimes, 10 countries fall below the score of 30, with one of those countries earning a score of 1 (Syria). The three presidential countries that fall below 30 are noted above (Burundi, Nicaragua, and Venezuela). See . Based on Freedom House criteria, countries with parliamentary systems tend to have similar—and high—freedom scores, while the scores for countries with presidential and semi-presidential systems are more broadly distributed. N indicates the number of countries of each regime type; each dot represents one country. (data source: “Countries and Territories.” Freedom House. https://freedomhouse.org/countries/freedom-world/scores; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Often viewed as a hybrid of presidentialism and parliamentarianism, semi-presidential regimes are difficult to define. In their most basic expression, the legislature selects the head of government (the prime minister) and citizens directly elect the head of state (the president). Both the prime minister and the president hold political power. In semi-presidential regimes, there is a wide discrepancy in the amount of freedom citizens have within their countries. This suggests that authoritarianism is more likely to be associated with semi-presidential regimes, but while the connection between the two is interesting and noteworthy, causality (i.e., a semi-presidential regime causes authoritarianism) cannot be determined or inferred.", "section": "Semi-Presidential Regimes", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Do Cabinets Function in Presidential and Parliamentary Regimes? Learning Outcomes By the end of this section, you will be able to: Describe the scope and selection of cabinet members. Explain how cabinets function within their political environment. Discuss the relationships between cabinets, the public, and legislatures in presidential and parliamentary regimes. Analyze the personalization of chief executives and how that impacts cabinet governance. Presidents and prime ministers are surrounded by individuals who provide them with information and advice that informs their decisions. The most visible of those groups are their cabinets . A cabinet’s functions in a presidential regime can be significantly different from those of a cabinet in a parliamentary regime. In presidential regimes especially, both the quality of a cabinet and its impact on presidential decision-making varies significantly from one president to the next. Within parliamentary regimes, however, there is more consistency across governments in terms of cabinet members’ expertise and the expectation that cabinet members will have substantive input into executive decision-making. The Scope of Executive Cabinets In the United States, the president’s cabinet is comprised of the vice president and the heads of the 15 executive departments. The leaders of each department, with the exception of the Department of Justice, are called secretaries. The scope of their power, however, is much more related to their role within the bureaucracy than it is to their role as advisors to the president. Indeed, President Barack Obama didn’t hold his first full cabinet meeting until three months into his presidency, and President Trump was six months into his presidency when he met his cabinet for the first time. Cabinet meetings take place more for optics than as meetings to formulate policy. That is not to suggest cabinet members do not influence the president. On an individual level, they may have tremendous access and influence. But the access and influence they enjoy is due to the personal relationship they have with the president and not necessarily due to the inherent power in the cabinet position they hold. As mentioned earlier in the chapter, individual actors matter. In parliamentary regimes, members of the cabinet are also ministers or members of the parliament. Typically, though not always, they belong to the same party as the prime minister. In these systems, cabinet members play a significant role in the government and in the formation of public policy. Prime ministers must consult their cabinet members regarding any proposed course of action. Within this framework, the prime minister is “first among equals.” The Selection of Cabinet Members Regardless of the system, political events always play a role in the selection of cabinet members. Presidents and prime ministers must be aware of the politics of the day. Prime ministers choose their cabinet ministers from the government. Cabinet ministers are expected to have the necessary expertise in the area they head. In presidential regimes, appointments are political and highly visible. In these systems, it is common for appointees to come from both inside and outside the political arena. provides a comparison across the three most recent US presidents. Data are taken from Kathryn Dunn Tenpas, “Tracking President Joe Biden’s Cabinet and Appointees: Diversity and Pace of Senate-Confirmed Positions,” Brookings, November 2021, https://www.brookings.edu/research/tracking-president-joe-bidens-cabinet-and-appointees/. While a majority of appointed individuals possess a government background, other areas are represented. Indeed, Trump’s cabinet is notable for its relatively low inclusion of individuals from the government and high inclusion of those from business. Any appointees who are members of Congress at the time of their appointment must resign their elected position to take the cabinet post. In the United States, members of Congress are constitutionally prohibited from holding other offices (Article I, section 6). Both Barack Obama and Joe Biden pulled the majority of the members of their cabinets from those with experience in government. Donald Trump, a populist, looked outside government for almost half of his cabinet. (data source: Danielle Kurtzleben, “How the Donald Trump Cabinet Stacks Up, in 3 Charts,” NPR , December 28, 2016, https://www.npr.org/2016/12/28/506299885/how-the-donald-trump-cabinet-stacks-up-in-3-charts; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Presidents appear to consider a number of factors when selecting cabinet members, not the least of which can, at times, be political loyalty and ideological similarity. For example, President Donald Trump chose former Texas governor Rick Perry to be his Secretary of the Department of Energy even though, during a 2011 Republican primary debate, Perry indicated he would abolish the department. Other presidents, like George H. W. Bush and George W. Bush, placed greater emphasis on finding cabinet members with relevant experience than on ideological similarity. Presidents Clinton and Obama also emphasized expertise. Their cabinets tilted toward academia, with 24 percent of President Clinton’s cabinet and 23 percent of President Obama’s cabinet holding a PhD. Danielle Kurtzleben, “How the Donald Trump Cabinet Stacks Up, in 3 Charts,” NPR , December 28, 2016, https://www.npr.org/2016/12/28/506299885/how-the-donald-trump-cabinet-stacks-up-in-3-charts. Trump’s apparent criteria for selecting cabinet members represented a departure from established norms, Paul J. Quirk, “Presidential Competence,” in The Presidency and the Political System , 12th ed., ed. Michael Nelson (Thousand Oaks, CA: CQ Press, 2021), 80. Quirk continues: “Many were wealthy businesspeople and campaign contributors. Most appointees had little or no experience relevant to their agencies.” demonstrating how much presidential character and preferences, rather than the institution itself, determine selections. This seems to be considerably less so in parliamentary regimes. The Independence of Cabinet Members In considering the independence of cabinet members, the differences between presidential and parliamentary regimes could not be starker. Cabinets play an important role in both systems, but the formation of the cabinets and their relationships to the executive differ in significant ways. In a presidential regime, and especially in the United States, while cabinets have substantive areas of oversight, they are not included in presidential decision-making. Cabinet meetings are rare and mostly ceremonial. As one scholar put it, in presidential regimes, “it is cumbersome and unproductive to meet with the cabinet as a whole, let alone to rely on its collective judgment.” Lyn Ragsdale, “Studying the Presidency: Why Presidents Need Political Scientists,” in The Presidency and the Political System , 12th ed., ed. Michael Nelson (Thousand Oaks, CA: CQ Press, 2021), 60. Even though cabinet secretaries may play a limited role in presidential decision-making, they are important to the policy-making and policy implementation process. Consider Donald Trump ’s Secretary of Education, Betsy DeVos . During her tenure, she had a significant impact on education policy. Most notably, under her guidance, the Department rewrote Title IX regulations, providing more protections for the accused. In Japan’s parliamentary system, the prime minister is the head of the Cabinet, and the Cabinet is subject to the prime minister’s authority. Prime Minister Yoshihide Suga is pictured here, first row center, surrounded by his cabinet in 2020. (credit: “Commemorative Photo 2” by Prime Minister’s Office of Japan https://www.kantei.go.jp/jp/99_suga/actions/202009/16suganaikaku.html, Government of Japan Standard Terms of Use (Version 2.0)) Within parliamentary regimes, cabinet members do not enjoy the same level of independence, and there is a greater understanding that cabinet ministers’ positions are tied to the fortunes of both the prime minister and the party, which means that cabinet ministers have a vested interest in supporting the prime minister. Additionally, prime ministers can demote or even fire their cabinet ministers. This dynamic helps to reinforce a desire for unity and cooperation. That is not to say cabinet ministers do not have their own scope of authority or are not free to offer contrary opinions. Similar to department secretaries in a presidential regime, cabinet ministers have defined areas of oversight. For example, the position of Foreign Secretary in Great Britain is analogous to the Secretary of State in the United States. These positions deal with foreign or international matters and relationships among countries. How Cabinets Function in Their Political Environments Cabinet function in presidential regimes is idiosyncratic. Because cabinet members are appointed and Senate approval assumed, It is rare for cabinet appointments to fail Senate confirmation. In the last 100 years, less than a handful have failed. cabinets reflect each president rather than the system itself. In other words, the president is largely able to select individual cabinet members and define their roles. Any generalities about cabinet function in the United States are easily undercut by specific examples of how a president did not conform to that generality. In essence, each cabinet is unique. Moreover, various presidents as well as prime ministers have had two cabinets, an official one and an unofficial one (the so-called “ kitchen cabinet ”). The origin of the term can be traced to President Andrew Jackson, who relied upon a small circle of trusted associates that included some official cabinet members as well as friends. Prime ministers have also utilized kitchen cabinets. For example, Australian Prime Minister Kevin Rudd ’s (2007–2010, 2013) kitchen cabinet was also known as the “Gang of Four.” Critics typically view these groups as attempts to bypass traditional institutions and processes. In a parliamentary regime, cabinets are integral to the legislative process, and cabinet ministers have close relationships with their prime ministers. Members of the cabinet are also members of the parliament. While parliamentary cabinets may seem far less idiosyncratic than those in presidential regimes, it would be a mistake to assume that parliamentary cabinets are uniform across prime ministers. Prime ministers’ relationships with their cabinets can vary considerably. For example, Margaret Thatcher was known to have a relatively combative relationship with her cabinet and relied upon a few ministers in making policy decisions. Indeed, in 1981 she fired three cabinet ministers and demoted a fourth over a disagreement on monetary policy. Rita Dallas, “Thatcher Reshuffles Cabinet, Fires Three,” The Washington Post , September 15, 1981, https://www.washingtonpost.com/archive/politics/1981/09/15/thatcher-reshuffles-cabinet-fires-three/802b0eaa-bba4-450f-8b7d-1995a2fc58fa/. By contrast, her successor, John Major , was known for taking a more traditional approach to cabinet government. The Relationship among Cabinets, Legislatures, and the Public In a presidential regime, there is little to no connection between cabinets and legislatures. In parliamentary regimes, the link is presumed to be strong. In attempting to emulate a parliamentary regime, Woodrow Wilson unsuccessfully advocated for a constitutional amendment that would have required presidents to include the leaders of the majority party as cabinet secretaries. Jeffrey K. Tulis, “The Two Constitutional Presidencies,” in The Presidency and the Political System , 12th ed., ed. Michael Nelson (Thousand Oaks: CA, 2021), 15. This was in his writings prior to becoming president and was intended to enhance the power of Congress, especially the House of Representatives. Typically, in either a presidential or a parliamentary regime, cabinet members work largely in the background, but political events may heighten their visibility. This is especially true in a presidential regime, where heads of departments have power apart from the executive. Without a doubt, the most far-reaching plan by a department head was the Marshall Plan . Proposed by Secretary of State George Marshall in 1947, the plan provided aid to rebuild Western Europe after World War II. Cabinets and the Personalization of Chief Executives Some have argued that parliamentary regimes are, for practical purposes, beginning to resemble presidential regimes. Michael Foley, The Rise of the British Presidency (Manchester, UK: Manchester University Press, 1993). There is no doubt that prime ministers today appear to be more presidential and cabinets have become less important. From Margaret Thatcher to Angela Merkel, who has been described as the world’s most powerful woman, prime ministers have asserted themselves, with their parties’ political fortunes riding on their personalities. While observing that traditional cabinets in the United Kingdom have enjoyed a considerable amount of authority within their departments, Australian National University professor Keith Dowding acknowledges that prime ministers have grown in power in relationship to their ministers, arguing there has been “a growing centralisation of policy-making” that benefits the prime minister. Keith Dowding, “The Prime Ministerialisation of the British Prime Minister,” Parliamentary Affairs 66, no. 3 (July 2013): 617–635. Dowding’s argument is interesting because he writes against the idea that prime ministers have become presidential. Dowding argues that, most likely, two things are happening. The first is the growing personalization of the chief executive, which reinforces Neustadt ’s conception of presidential power and suggests the model can be applied to prime ministers. The second is the identification of cabinet officials with the departments they run, thereby viewing them as connected to bureaucracies rather than as political leaders. Within both presidentialism and parliamentarianism, cabinets serve as formal advisors to their chief executives and oversee specific departments. As the head of the department, an individual typically holds the title of secretary. Within parliamentarianism, cabinet secretaries are also members of parliament. In presidentialism, cabinet secretaries typically are not members of the legislature. It is common for secretaries to have a background in government as well as an expertise in the area their department oversees. Nevertheless, in presidentialism this is not always the case, and political loyalty and shared ideology are often considered when presidents make appointments to the cabinet. In parliamentary regimes, cabinets are more commonly integrated into the executive decision-making process, while in presidentialism, cabinet secretaries tend to be more independent and are not always included in presidential decision making. Within both parliamentarianism and presidentialism, it is not unusual for chief executives to form informal groups they turn to for advice. Historically, these informal groups of advisors have been called “kitchen cabinets.” cabinets formal groups of advisors to the chief executive kitchen cabinet an informal group of advisors to a chief executive", "section": "How Do Cabinets Function in Presidential and Parliamentary Regimes?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Are the Purpose and Function of Bureaucracies? Learning Outcomes By the end of this section, you will be able to: Explain the purpose and characteristics of bureaucracies. Differentiate between patronage (politically based appointments) and civil service (merit-based appointments) within bureaucracies. Explain how bureaucracies function within their political framework. Describe the rulemaking process and its importance to policy formation. Analyze how individual actors play a role or have an impact in bureaucratic rule. The Nuclear Regulatory Commission (NRC) meets to discuss decommissioning a nuclear power plant in 2014. (credit: “NRC Discusses Nuclear Power Plant Decommissioning - July 15, 2014” by Nuclear Regulatory Commission/Flickr, CC BY 2.0) Bureaucracies present a challenge to the claim that individual actors matter. The term bureaucracy literally means “rule by desks.” It is an institution that is hierarchical in nature and exists to formulate, enact, and enforce public policy in an efficient and equitable manner. Of all governmental structures, bureaucracies likely have the most negative image. Their functions and operation have been described using terms like “red tape,” “mindless rules,” “impersonal,” and “slow-moving.” Indeed, in the movie Zootopia , DMV workers are portrayed as sloths. Yet, bureaucracies perform important tasks, allowing governments to function effectively and efficiently. The Importance of Bureaucracies Before the 1900s, especially in Europe and the Americas, government employees were small in number, and their impact was minimal. In China, however, bureaucracy has a long history, stretching back to the Qin dynasty (221–207 BCE). Many of the characteristics of modern day bureaucracy were present then. H. G. Creel, “The Beginnings of Bureaucracy in China: The Origin of Nsein,” The Journal of Asian Studies 23, no. 2 (February 1964): 155–156. Today, in all parts of the world, government employees are significant in number, and bureaucracy affects people’s daily lives. For example, bureaucrats in Brazil number over nine million. There are even individuals known as despachantes , or “expediters,” who help individuals navigate the maze of Brazilian bureaucracy. Indeed, in Brazil the government is the largest employer. The public sector is often the largest employer in a country, and it may employ upwards of 25% of all workers. (data source: Worldwide Bureaucracy Indicators, The World Bank; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In the United States, the largest private employer is Walmart, with about 2.2 million employees. By contrast, when employment across all levels of government is considered (local, state, and federal), the number of government employees in the US, excluding military personnel, is more than 10 times the number of Walmart employees. As shows, the United States is not unique in having a sizable bureaucracy. The Characteristics of Bureaucracies German sociologist and political economist Max Weber identifies six characteristics of a bureaucracy: Max Weber, N.D. “Bureaucracy,” in Economy and Society , https://archive.law.upenn.edu/institutes/cerl/conferences/ethicsofsecrecy/papers/reading/Weber.pdf . Hierarchy or hierarchical authority Job specialization or division of labor Formalized rules Maintenance of files or records Impersonality Professionalization In addition to the above characteristics, a key bureaucratic concept that emerged with civil service is “neutral competence.” Embracing these characteristics, bureaucracies function to both form and implement policy. Additionally, the characteristics make sure that bureaucracies function efficiently and provide the services that people need. Hierarchy, or hierarchical authority , refers to a chain of command whereby officials and units at the top of a bureaucracy have authority over those in the middle, who in turn control those at the bottom. The primary benefit of a hierarchy is that it speeds action by reducing conflict over the power to make decisions. Division of labor, or job specialization , refers to how responsibilities for all positions are explicitly defined. Within an organization, each position is clearly delineated and distinguished from other positions. Division of labor fosters efficiency because each individual is required to concentrate on a particular job. Often called standard operating procedures (SOP), formalized rules are established regulations within a bureaucracy. These rules explicitly state how an organization conducts its operations. The advantage of formalized rules is that they enable workers to make quick and consistent decisions because those decisions are made on the basis of preestablished guidelines rather than individual deliberation or personal inclination. In a systematized manner, bureaucratic agencies are required to accurately and precisely maintain files or records. Records are archived and made retrievable. These records provide a body of knowledge that can be utilized in informing future policy decisions as well as in providing service to clients of agencies. In dealing with clients, bureaucrats follow the norm of impersonality by treating all individuals fairly, equally, and impartially. This reinforces the system’s legitimacy because there is no favoritism based on perceived economic, political, or social status. Throughout the bureaucracy, an overarching norm is professionalization. Bureaucratic agencies are professional inasmuch as they make hiring and firing decisions based on merit. Related to impersonality and professionalization is the concept of neutral competence . In making decisions and administering policies, bureaucrats are policy experts following set procedures and do not consider personal, political, or professional loyalties in performing their responsibilities. Herbert Kaufman, “Emerging Conflicts in the Doctrines of Public Administration,” The American Political Science Review 50, no. 4 (December 1956): 1057–1073. Kaufman writes: “[Neutral competence is the] ability to do the work of government expertly, and to do it according to explicit, objective standards rather than to personal or party or other obligations and loyalties. The slogan of the neutral competence school became, ‘Take administration out of politics.’” Political and Merit-Based Approaches to Filling the Bureaucracy Not only has the size of the bureaucracy changed considerably over the years, but how one enters government employment has also changed. Within the United States, the process of filling bureaucratic positions has moved away from being extremely political to becoming more of a merit system . In the 1800s, the process was known as the “ spoils system .” Attributed to New York Senator William Marcy , the phrase “to the victor belong the spoils” describes the patronage of the spoils system. This Thomas Nast political cartoon from 1877 criticizes the spoils system associated with President Andrew Jackson. (credit: “In memoriam—our civil service as it was / Th. Nast.” by Nast, Thomas/Library of Congress, Public Domain) Under the patronage system, government jobs were awarded based on political loyalty. One of the reasons individuals would work for a candidate’s election was the hope of obtaining a government position because presidents had the ability to hire and fire individuals at will. President Andrew Jackson believed that this approach would result in a government that was both less corrupt and more democratic. It also suggests that government jobs did not require specialized knowledge and that virtually anyone could do the job. Of course, there were a few problems with this approach, not the least of which was that Jackson was incorrect about both the need for expertise and the hope for a more honest government. In 1881, a disgruntled individual who did not receive the government position he believed he was promised assassinated President James Garfield . In the wake of the president’s assassination, Congress passed the Pendleton Act of 1883, creating the civil service system through which a large percentage of government jobs are filled today. That system bases hiring and promotion decisions on merit rather than on political affiliation. Hiring decisions are now determined by formal competitive examinations. They are based not on “who you know,” but instead on “what you know.” The United States is not unique in adopting formal, competitive examination to fill its bureaucracy. Throughout Western Europe and parts of Asia, formal examination is used to fill civil service positions. Indeed, data demonstrate that some countries exceed the United States in terms of the professionalism of their bureaucracies. France, Germany, the United Kingdom, and the Nordic countries all score slightly higher on a bureaucratic professionalism scale. Marina Nistotskaya, Stefan Dahlberg, Carl Dahlström, Aksel Sundström, Sofia Axelsson, Cem Mert Dalli, and Natalia Alvarado Pachon, The Quality of Government Expert Survey 2020 (Wave III): Report (Gothenberg, SE: University of Gothenburg: The QoG Working Paper Series, 2021:2). Data available at https://www.gu.se/en/quality-government/qog-data/data-downloads/qog-expert-survey. In Germany in particular, bureaucrats are highly respected for their expertise and professionalism. How Bureaucracies Function within the Political Framework Essentially, there are three policy stages: policy formation, policy implementation, and policy enforcement. It would be natural to view the policy formation stage as belonging only to legislative bodies, with bureaucracies charged with the tasks of implementing and enforcing policies, and to be sure, bureaucracies do carry out those responsibilities. But it would be a mistake to assume bureaucracies do not form policy. The relationship between executives and bureaucracies is a complicated one. In a hierarchical and command sense, bureaucracies typically fall under the authority of the executive branch. On the one hand, one could think of the president as the CEO of a large corporation with many departments that, on paper, report to them. On the other hand, Congress creates bureaucracies themselves through legislative action. As such, bureaucracies have more than one parent, with the legislative branch being the creator and the executive branch being the administrator. Nevertheless, bureaucracies tend to take on a life of their own and are likely to decide for themselves how best to proceed. In this sense, they have been viewed as the “prodigal child” because they are perceived to have rejected both parents and have decided what is best for themselves. Lawrence C. Dodd and Richard L. Schott, Congress and the Administrative State (New York: John Wiley & Sons, 1979), 2. The authors write: “The administrative state is, however, in many respects a prodigal child. Although born of congressional intent, it has taken on a life of its own and has matured to a point where its muscle and brawn can be turned against its creator.” As Truman noted: “I thought I was president, but when it comes to these bureaucrats, I can’t do a damn thing.” Lyn Ragsdale, “Studying the Presidency: Why Presidents Need Political Scientists,” in The Presidency and the Political System , 12th ed., ed. Michael Nelson (Thousand Oaks, CA: CQ Press, 2021), 61. Ragsdale continues: “In many ways, presidents are satellites of the executive branch. They and their administrations do not share in the values of the various departments and agencies, they operate under different timetables, and they do not know or serve as advocates for clients of the bureaucracy, whether farmers, welfare mothers, or some other group.” While bureaucracies function within set procedures and guidelines, they also have relationships with other political actors. In particular, they interact with interest groups and legislatures to form and implement policy. A traditional approach to describing the relationship is the iron triangle . The iron triangle represents the interdependent and cooperative relationships among members of Congress, interest groups, and bureaucrats. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Iron triangles have the following characteristics: (1) the actors have specialized knowledge, (2) the actors work in cooperation with one another rather than in opposition, and (3) they are very stable over time. As noted in the graphic, each actor receives benefits from the other actors, which contributes to a desire to maintain the status quo. Iron triangles have been justly criticized for being fairly closed to outsiders and new information, for working in relative obscurity, and for being undemocratic. Additionally, iron triangles form around a shared interest and protecting that interest, rather than around addressing an issue. In other words, membership is defined by possessing that interest. The classic example revolves around agriculture. Members of the agriculture triangle include the USDA (bureaucracy), the House Committee on Agriculture (Congress), and the American Farm Bureau (interest group). When determining policy, discussion centers on the best course of action to protect their shared interest. Of course, that is not the only way to view these relationships. An alternative concept is issue networks . While not denying the reality of iron triangles, the idea of issue networks recognizes that all public policy will not neatly fit into that schema. In fact, issue networks are more common today because of the multitude and complexity of public policy issues that confront a modern society. And each year seems to bring new public policy issues that could not have been anticipated. This means the concept of the iron triangle is inadequate to explain the public policy process today. Similar to iron triangles, actors in issue networks have specialized knowledge. But unlike iron triangles, issue networks are open to input from a variety of sources (such as members of the media) and are likely to include individuals with opposite viewpoints. Moreover, issue networks tend to be temporary and to form around the issue rather than around a shared interest. Bureaucracies and the Rulemaking Process When legislatures pass legislation, they often do so in broad strokes, with the process of filling in the details delegated to administrative agencies. At times, legislation may be vague. Through their rulemaking authority, agencies issue regulations following set procedures that include opportunity for public input. In the United States, the process is fairly straightforward and systematized. Once the president signs legislation into law, that law is assigned to an administrative agency. Agencies then propose rules providing specificity to the legislation. The proposed rules appear in the Federal Register , which is the “official journal of the United States Government” and is “published every Federal working day.” “The Federal Register ,” National Archives, https://www.archives.gov/federal-register/the-federal-register. See . This page from the Federal Register illustrates the process of announcing proposed rules. (credit: “The Federal Register” by The U.S. National Archives and Records Administration, Public Domain) To illustrate how bureaucracies fill in the details, consider the Federal Alcohol Administration Act (FAA Act). In part, the FAA Act protects consumers against deception and ensures “that labels provide the consumer with adequate information as to the identity and quality of the product.” 76 Fed. Reg. 66625 (Oct. 27, 2011), 27 C.F.R. 4. In 2011, the Alcohol and Tobacco Tax and Trade Bureau proposed new regulations to add “a number of new names to the list of grape variety names approved for use in designating American wines.” Ibid. The announcement included instructions for where to submit comments (online, by mail, or in person) as well as the time frame for comment submission. After the comment period, final rules were promulgated. In requesting a new name be adopted, petitioners were required to demonstrate that (1) the new grape variety is accepted, (2) the name of the variety is valid, (3) the variety is used in wine making, and (4) the variety is grown and used in the United States. Ibid. Demonstrating that not all changes are substantive, the new rule corrected a misspelling in the previous regulations: Agawam had been misspelled as Agwam. Once proposed rules are published, the public has between 30 and 60 days to comment. Agencies are required to consider them and to respond to significant comments. Jason W. Yackee and Susan Webb Yackee. “A Bias toward Business? Assessing Interest Group Influence on the Bureaucracy,” The Journal of Politics 68, no. 1 (February 2006): 128–139. A significant comment is one made by more than one individual or group. Even so, agencies are not obligated to implement any suggestions made during the comment period. This provides a wonderful opportunity for participatory democracy in which citizens can potentially have a direct impact on public policy. It must be emphasized that this is not a perfunctory process. While policies are generally not changed wholesale, policies do get tweaked or modified. The key questions are who participates and who influences. Generally, business groups comment at much higher rates than individuals and are the most influential groups. Ibid.; Susan Webb Yackee, “The Politics of Rulemaking,” Annual Review of Political Science 22 (2019): 37–55. The process demonstrates that individual actors play a role, even if that role needs be funneled through group activity. The Relationship between the Bureaucracy and the Public Besides involvement in the comment period, the public interacts with the bureaucracy in a number of different ways. One commonly overlooked example of this interaction is the “street level” bureaucrat. Enforcement is an important part of the policy process. While regulations may be specific in their nature, they still need to be applied and enforced in the field. Think of the speed limit on a road people regularly drive. If it’s an interstate highway, away from cities, the speed limit might be 70. But on any given day, the actual speed limit varies depending on the state police patrolling that day. Some days, a police officer might decide that anything under 80 mph is not worthy of receiving a ticket. The next day, that may not be true. It is the police officer, as a street-level bureaucrat, who determines the policy each day. Arkansas Department of Transportation Inspector Who Failed to Report I-40 Bridge Damage Fired As the situation described in this news report suggests, the rules and procedures governing the bureaucracy are often in place for good reason. A routine bridge inspection of the Hernando de Soto Bridge in Memphis, Tennessee, in 2021 dramatically illustrated the potential power of individual bureaucrats. In the course of that inspection, an engineer discovered a nearly severed beam that could have resulted in catastrophic failure. Immediately, the engineer called 911 and had the bridge shut down until further inspection and necessary repairs could be made. Rick Rojas, “‘Get People Off’: Shutdown Ordered for Cracked Bridge in Memphis,” The New York Times, May 13, 2021, https://www.nytimes.com/2021/05/13/us/mississippi-bridge-crack-memphis.html. The individual who had previously inspected the bridge was soon fired “because he wasn’t following proper protocol.” Azi Paybarah, “Inspector Who Twice Missed Crack in Bridge is Fired, Arkansas Officials Say,” The New York Times , May 17, 2021, https://www.nytimes.com/2021/05/17/us/memphis-i40-bridge-crack-inspector-fired.html. Again, within a system as standardized and structured as a bureaucracy, the individual actor matters a great deal. In this case, it is not an exaggeration to suggest that the engineer who discovered the crack saved lives. This example also illustrates that rules and protocols are essential even if they are often frustrating (as, for instance, when you wait for your financial aid to be finalized or as you stand in line to get your driver’s license renewed). Since the 1800s, bureaucracies have grown in both scope and number and now affect the daily lives of all citizens. In many countries, government bureaucracy is the country’s number one employer. Bureaucracies share a number of characteristics such as hierarchical authority, job specialization, formalized rules, impersonality, professionalization, and the maintenance of files or records. Today, the recruitment and retention of employees are usually based on merit, as most countries have adopted a civil service system emphasizing competence and rejecting selection or promotion based on partisanship. In the 1800s, however, it was not unusual for countries to follow a “spoils” system in which positions were awarded based on partisan loyalty. Even though the public tends to have a negative view of bureaucrats, these bureaucrats perform essential functions, ensuring governments run smoothly and that citizens are kept safe. Suggested Readings Cheibub, José Antonio, Zachary Elkins, and Tom Ginsburg. “Beyond Presidentialism and Parliamentarianism.” British Journal of Political Science 44, no. 3 (July 2014): 515–544. Goodsell, Charles T. The New Case for Bureaucracy . Washington, DC: Sage/CQ Press, 2015. Howell, William G., and Terry M. Moe. Presidents, Populism, and the Crisis of Democracy . Chicago: The University of Chicago Press, 2020. Lijphart, Arend, ed. Parliamentary versus Presidential Government . New York: Oxford University Press, 1992. Mayhew, David. Divided We Govern . 2nd ed. New Haven, CT: Yale University Press, 2005. Neustadt, Richard. Presidential Power and the Modern Presidents: The Politics of Leadership from Roosevelt to Reagan . Rev. ed. New York: The Free Press, 1991. Samuels, David. “Executive-Legislative Relations.” In Oxford Handbook of Comparative Politics , edited by Charles Boix and Susan Stokes. New York: Oxford University Press, 2006. Schmitter, Philippe, and Terry L. Karl. “What Democracy Is . . . and Is Not.” Journal of Democracy 2 (1991): 75–88. Yackee, Susan Webb. “The Politics of Rulemaking.” Annual Review of Political Science 22, (2019): 37–55. bureaucracy an institution that is hierarchal in nature and exists to formulate, enact, and enforce public policy in an efficient and equitable manner formalized rules established regulations within a bureaucracy, often called standard operating procedures (SOP) hierarchical authority the chain of command that exists within a bureaucracy; officials at the top have authority over those in the middle, who have authority over those at the bottom impersonality within bureaucracies, treating individuals fairly, equally, and impartially iron triangle the relationship among bureaucratic agencies, interest groups, and Congress that works to fashion public policy; focuses on the shared interest the members have and protecting that interest issue networks relationships among varied actors—policy experts, bureaucrats, and media—that form to address an issue and affect public policy; unlike iron triangles that form around a shared interest, issue networks form around an issue and attempt to address the issue through public policy job specialization the explicit definition of job responsibilities within bureaucratic organizations; also referred to as division of labor merit system the hiring and promotion of individuals based upon formal, competitive examination neutral competence the idea that bureaucrats are policy experts who follow set procedures and do not consider personal, political, or professional loyalties in performing their responsibilities patronage the hiring and promotion of individuals based upon political loyalty spoils system primarily used in the 1800s, this system filled government positions based on party loyalty; see patronage", "section": "What Are the Purpose and Function of Bureaucracies?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction Lady Justice is traditionally shown wearing a blindfold to indicate impartiality, holding scales to weigh the evidence of guilt against the presumption of innocence, and wielding a sword as a symbol of power. (credit: “Golden Lady Justice, Bruges, Belgium” by Emmanuel Huybrechts/Flickr, CC BY 2.0) On May 25, 2020, Minneapolis police officers stopped George Floyd , a Black man, for allegedly using counterfeit money. During his arrest, one of the officers, Derek Chauvin , knelt on Mr. Floyd’s neck for more than nine minutes while the other officers looked on, leading to Mr. Floyd’s death. Several people witnessed the event, including one person who recorded it on her phone, and these witnesses immediately spoke out against the officers’ actions. The death of Mr. Floyd prompted demonstrations protesting police conduct to spread across the United States and worldwide, with protestors demanding immediate action against the officers. Evan Hill et al., “How George Floyd Was Killed in Police Custody,” New York Times , updated November 1, 2021, https://www.nytimes.com/2020/05/31/us/george-floyd-investigation.html; Yamiche Alcindor and Amna Nawaz, “What We Know about George Floyd’s Death in Minneapolis Police Custody,” PBS News Hour, NewsHour Productions, updated May 29, 2020, https://www.pbs.org/newshour/nation/what-we-know-about-george-floyds-death-in-minneapolis-police-custody; Nicholas Bogel-Burroughs, “Prosecutors Say Derek Chauvin Knelt on George Floyd for 9 Minutes 29 Seconds, Longer Than Initially Reported,” New York Times , March 30, 2021, https://www.nytimes.com/2021/03/30/us/derek-chauvin-george-floyd-kneel-9-minutes-29-seconds.html. However, it was the Minnesota judicial system that would determine the legality of the officers’ conduct and whether and how they would be punished. Like all others in the United States, this judicial system must follow a constitutionally ordained process in every case, no matter how people may feel about the parties involved. Following these constitutionally required procedures, Minnesota law enforcement investigated George Floyd’s arrest and death, and prosecutors with the Minnesota state attorney general’s office prosecuted Chauvin for three crimes: third-degree murder, second-degree murder, and second-degree manslaughter. News sources reported on the pretrial process, and the trial was carried live on television. Shaila Dewan, “What Are the Charges against Derek Chauvin?,” New York Times , April 19, 2021, https://www.nytimes.com/2021/04/20/us/derek-chauvin-charges.html; Tim Arango, “Derek Chauvin Faces Three Charges. Here’s How His Sentencing Could Unfold,” New York Times , updated April 26, 2021, https://www.nytimes.com/2021/04/20/us/chauvin-sentence-murder.html; Matt Sepic, “Televised Chauvin Trial due to Pandemic Yields Wide Access—and Concern,” NPR, March 29, 2021, https://www.npr.org/sections/trial-over-killing-of-george-floyd/2021/03/29/982234571/televised-chauvin-trial-due-to-pandemic-yields-wide-access-and-concern. Throughout the trial process, viewers saw the order, procedures, and vocabulary of the United States judicial system at work. Many people have less personal, everyday experience with the courts than they have with the legislative and executive branches of government. The court system uses a specialized vocabulary that can be intimidating until you learn it, but understanding a country’s court system is central to understanding how that country’s government and society work. This chapter will discuss court systems and their processes to help you understand the operations of judicial systems and their purpose in society.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Is the Judiciary? Learning Outcomes By the end of this section, you will be able to: Distinguish between rule of law and rule by law. Identify the responsibilities of a judicial system. Compare and contrast the different methods states and countries use to select judicial officers. Discuss major criticisms of each method of judicial selection. In Chapter 4: Civil Liberties , you learned that law is a body of rules of conduct, with binding legal force and effect, that is prescribed, recognized, and enforced by a controlling authority. In the world today, that authority is usually the government of a particular area. However, multiple levels of government may have authority in a given place. The power of a governmental body to exercise the highest authority in an area is called sovereignty . If a government has sovereignty over a particular region, that government can create and impose rules on people within the region. Chapter 4: Civil Liberties also introduced the rule of law , the principle that the government is beholden to its laws, not to any individual or group. Throughout history, many individuals and small groups have become dictators with the sole power to create laws and punish people as they wished, thus employing rule by law . There are still some dictators in the world today, as in North Korea . Dictatorships are oppressive, and dictatorial regimes are prone to corruption. By following the rule of law, robust democracies try to avoid these injustices. Court Shorts: Rule of Law In this brief video, United States judges who preside over different types and levels of courts discuss the meaning of the rule of law and the role it plays in our everyday lives. Recall the four principles of the rule of law: Accountability: The government and private actors are accountable under the law. No one is above the law. Just laws: The laws are clear, publicized, stable, and applied evenly, and they protect fundamental rights, including the security of persons and property and certain core human rights. Open government: The processes by which the laws are enacted, administered, and enforced are accessible, fair, and efficient. Accessible and impartial dispute resolution: Justice is delivered in a timely manner by competent, ethical, independent, and neutral decision-makers who have adequate resources and reflect the communities they serve. These principles demonstrate that the government and the people are in a social contract , a voluntary agreement whereby the people consent to abide by specific rules while living in the territory and the government consents to limit itself to acting in accordance with certain standards. This creates a symbiotic relationship between the government and the people, rather than a system based on fear and oppression. In each democratic country, a constitution sets up the framework for government operations that adhere to these four principles. The constitution formalizes how the country’s government will wield authority and implement powers under that authority. The constitution may be written or unwritten, in one document or several, and titled constitution or basic laws . Whatever its form or title, a constitution establishes the basic government structure for the government’s sovereign territory. It usually creates branches with differing powers that have the ability to check each other in the exercise of those powers. One of the branches that carries out the rule of law in a country is the judicial branch. The judicial system or judicial branch is the court system that interprets, defends, and applies the law in the government’s name. It is the mechanism for peacefully resolving disputes between individuals. Sometimes people refer to this branch of government as the judiciary, but that can be confusing because the judiciary also refers to the people who work in the judicial branch. Therefore, this chapter will consistently refer to the branch of government as the judicial branch and the people who work in that branch as the judiciary. The judicial branch serves different purposes in different political systems. For example, in a political system that prioritizes civil rights and liberties, the judiciary working within the judicial branch checks government action and protects individual rights and liberties. In a system in which there is a separation of powers between the branches of government, the judiciary has judicial independence . In these systems, often the courts can perform a judicial review to check government actions. In judicial review , a judge interprets and implements the constitution to ensure that the other branches of government do not violate what it says. Judicial review will be explored later in this chapter. In contrast, some political systems rely on adherence to strict religious or political standards, creating authoritarian law regimes. In these systems, the judicial branch and the judiciary help impose the government’s approved viewpoint on the citizens through rule by law . In these systems, the judiciary has little independence. The judicial system acts as a source of government control over individual citizens. Peter H. Solomon, “Law and Courts in Authoritarian States,” in International Encyclopedia of the Social & Behavioral Sciences , ed. James D. Wright, 2nd ed. (Amsterdam: Elsevier, 2015), 427–434. Tom Ginsburg and Tamir Moustafa identify five primary functions of courts in these authoritarian rule-by-law regimes: To establish social control and sideline political opponents To bolster a regime’s claim to legal legitimacy To strengthen administrative compliance within the state’s own bureaucratic machinery and solve coordination problems among competing factions within the regime To facilitate trade and investment To implement controversial policies so as to allow political distance from core elements of the regime Tom Ginsburg and Tamir Moustafa, “Introduction: The Functions of Courts in Authoritarian Politics,” in Rule by Law: The Politics of Courts in Authoritarian Regimes , ed. Tom Ginsburg and Tamir Moustafa (Cambridge: Cambridge University Press), 1–22, https://doi.org/10.1017/CBO9780511814822.001. Justice Handed Over to Dictatorship from the Film Judgment at Nuremberg The 1961 film Judgment at Nuremberg portrays the military tribunal at which four German judges who served while the Nazis were in power face charges of crimes against humanity. In this clip, the former minister of justice explains changes in the judiciary under the dictatorship of the Third Reich. In rule-by-law authoritarian regimes, the government suppresses opposition and imposes a specific viewpoint on any part of the government or the population to the extent that human rights violations occur. Mansoureh Galestan, “A Glance at Iran’s Human Rights Violations in 2020,” National Council of Resistance of Iran, January 1, 2021, https://www.ncr-iran.org/en/news/a-glance-at-irans-human-rights-violations-in-2020/. Iran and North Korea are examples of rule-by-law authoritarian regimes. The dictatorial leader of North Korea is selected to a lifetime appointment on a state-approved ballot where only one candidate is listed. This leader has control over the judiciary, and all must adhere to the leader’s will or face retribution. “North Korea: Systematic Repression,” Human Rights Watch, January 14, 2020, https://www.hrw.org/news/2020/01/14/north-korea-systematic-repression. Other countries have come to have an authoritarian-populist judiciary . This means that, through changes instituted by one ruling person or political party, they have transitioned from a rule-of-law system to a rule-by-law authoritarian subsystem. In Turkey, longtime president Recep Tayyip Erdoğan and his ruling party replaced the governmental system in 2017 and have enacted laws to keep themselves in power. Changes in 2007, 2010, and 2017 gave Erdoğan and his ruling party the ability to appoint and dismiss prosecutors and judges, thus calling into question the independence of the judiciary. Carlotta Gall, “Erdoğan’s Purges Leave Turkey’s Justice System Reeling,” New York Times , June 21, 2019, https://www.nytimes.com/2019/06/21/world/asia/erdogan-turkey-courts-judiciary-justice.html. A European Commission report in 2020 found that the continued centralization of power in the president was blurring the lines of separation of powers in the branches of government such that few checks and balances remain: “Under these conditions, the serious backsliding of the respect for democratic standards, the rule of law, and fundamental freedoms continued.” “Key Findings of the 2020 Report on Turkey,” European Commission, October 6, 2020, https://ec.europa.eu/commission/presscorner/detail/en/COUNTRY_20_1791. The report identified significant issues with the Turkish judicial system and its slide into rule by law, not the rule of law: “Turkey’s judicial system is at an early stage of preparation and serious backsliding continued during the reporting period. Concerns remained, in particular over the systemic lack of independence of the judiciary. The president announced the Judicial Reform Strategy for 2019–2023 in May 2019. However, it falls short of addressing key shortcomings regarding the independence of the judiciary. No measures were announced to remedy the concerns identified by the Council of Europe’s Venice Commission and in the European Commission’s annual country reports. There are concerns that dismissals in the absence of respect for due procedures caused self-censorship and intimidation within the judiciary. No measures were taken to change the structure of, and process for, the selection of members of the Council of Judges and Prosecutors to strengthen its independence. Concerns regarding the lack of objective, merit-based, uniform and pre-established criteria for recruiting and promoting judges and prosecutors persisted. No changes were made to the institution of criminal judges of peace so that concerns regarding their jurisdiction and practice remained.” Ibid. One can thus see the difference between the rule of law and rule by law. Each judicial system can be assessed on the basis of how well it meets the rule-of-law criteria for protecting the rights of the people from government overreach, manipulation, and the rise of dictatorships. How the Judicial Branch Differs from the Other Branches of Government Judicial branches differ from the executive and legislative branches because, unlike in those branches, the judicial system restricts how the courts may act and how the people may express their opinions to the courts. A good description of this restriction appears in Federalist no. 78, wherein Alexander Hamilton wrote about the judicial branch as it is described in the US Constitution: “Whoever attentively considers the different departments of power must perceive, that, in a government in which they are separated from each other, the judiciary, from the nature of its functions, will always be the least dangerous to the political rights of the Constitution; because it will be least in a capacity to annoy or injure them. The Executive not only dispenses the honors, but also holds the sword of the community. The legislature not only commands the purse, but also prescribes the rules by which the duties and rights of every citizen are to be regulated. The judiciary, on the contrary, has no influence over either the sword or the purse; no direction either of the strength or of the wealth of the society; and can take no active resolution whatsoever. It may truly be said to have neither FORCE nor WILL, but merely judgment; and must ultimately depend upon the aid of the executive arm even for the efficacy of its judgments.” Alexander Hamilton, Federalist , no. 78, in The Federalist Papers , The Avalon Project, Lillian Goldman Law Library, 2008, https://avalon.law.yale.edu/18th_century/fed78.asp. In rule-of-law systems, the judicial branch depends on the other branches and the population’s respect for the rule of law to carry out its decisions. An example helps illustrate the differences between the branches and their powers. In the United States, a president alarmed at the number of gun shootings occurring in the country can create a commission to review the problem and make recommendations to Congress to enact new laws. The president (the executive) can implement some of these recommendations by executive order , a particular type of binding law that only the chief executive can create. The people can express their views on the subject to the president at any time. Congress (the legislature) may also be alarmed about the number of gun killings. They can open an investigation and create a statute to limit some access to guns. Again, the people can express their views on this subject to Congress at any time. In both examples, government officials decide what they want to investigate and what actions they want to take, and the people can freely voice their opinions on the subject. Courts, however, cannot take action on their own in the ways the executive and legislative branches can, and people cannot express their opinion in court unless they meet particular criteria. A court can only take action if it has jurisdiction over a specific case. Jurisdiction is the written authority, stated in a constitution or a statute, that authorizes a court to hear a case. Jurisdiction includes both the geographical region and the topics of the court’s authority. Critical Thinking and the Courts The judges at the International Military Tribunal at Nuremberg critically examine evidence and testimony. (credit: “View from Above of the Judges’ Bench at the International Military Tribunal in Nuremberg” by United States Holocaust Memorial Museum, courtesy of National Archives and Records Administration, College Park, Public Domain) Every functioning government must have a functioning judicial system. As you study the different forms of judicial systems, how they operate, and elements such as the standards of evidence across different judicial systems, as well as different types of law, you are sharpening your critical thinking skills. Being able to understand and explain why someone is found innocent of a particular crime, for example, requires the ability to analyze, evaluate, and synthesize various pieces of information coming from the defense attorney, the prosecutor, the facts of the case, and the components of the law in question. This is the core of critical thinking, and it is a fundamental skill that is utilized in virtually any career. Critical thinking skills are highly valued, and they take work and practice to develop. Studying topics such as courts and judiciary systems is a good way not only to prepare for a career within the legal world—as an attorney, for example—but also to hone general critical thinking skills that are invaluable regardless of what direction your professional path in life takes. Selecting Judicial Officers There are as many ways to select judicial officers as there are countries in the world. The particulars of the selection process vary widely by country. The selection process can also differ for different levels or types of courts within a country. All of the selection processes can be sorted into four broad categories: Appointment for life Appointment for a specified number of years Election Hybrid, or a combination of these methods (e.g., appointment followed by retention election) Lifetime Appointments The US Constitution establishes a Supreme Court of the United States (SCOTUS) and authorizes Congress to create other Article III courts . “Court Role and Structure,” United States Courts, Administrative Office of the US Courts, accessed December 21, 2021, https://www.uscourts.gov/about-federal-courts/court-role-and-structure. The judges for these courts are nominated by the president and confirmed by the US Senate. These Article III judges serve for life, as long as they remain on “good behavior.” There is no mandatory retirement age. These courts have the power of judicial review and, once appointed, are independent of the other branches of government. Congress can change any court’s jurisdiction except SCOTUS’s original jurisdiction . Still, neither Congress nor the president can fire a judge nor stop the judge’s salary if they disagree with a decision the judge makes. Thus, the judiciary in the United States has some measure of independence, but judges are often subject to political pressure during the appointment process. Article III courts include the United States Supreme Court, US circuit courts of appeals , and US district courts . There is only one SCOTUS, but there are 13 circuit courts of appeals and about 100 district courts. All have multiple judges, so the power to appoint judges is a substantial one. Moreover, because these judges are appointed for life, a president can influence the interpretation of the law and the Constitution well beyond that president’s term of office. As noted by legal scholar Alexander Bickel , “You shoot an arrow into a far distant future when you appoint a [US federal] justice, and not the man himself can tell you what he will think about some of the problems that he will face.” William G. Ross, “Roberts Day 4: A Ritual of Democracy,” edited by Jeremiah Lee, JURIST, September 16, 2005, https://www.jurist.org/commentary/2005/09/roberts-day-4-ritual-of-democracy/. Women on High Courts around the World While gender representation on high court benches across the globe skews toward men, studies suggest that the rate of women on judiciaries in countries around the world rose by about 29 percent between 2011 and 2019. Research suggests that a high court judge’s gender may be a better predictor of how they will decide a case than their political leanings and that the gender composition of a court can influence how individual judges view a case. Oliver Martin, “Justice Can Only Be Done When We Have Equal Representation in the Judiciary,” King’s College London, August 29, 2019, https://www.kcl.ac.uk/news/justice-can-only-be-done-when-we-have-equal-representation-in-the-judiciary. Ethiopia’s First Female Supreme Court Chief Justice: Meaza Ashenafi In this clip, Meaza Ashenafi, the first ever female Chief Justice on Ethiopia's Supreme Court, talks about how she worked to define sexual harassment and violence against women in the Amharic language, the official language of Ethiopia. She goes on to discuss the importance of the impartiality of the courts and the role courts play in serving their communities. The lifetime appointment of judges outside the United States is rare. Even in countries that say they appoint certain judges to lifetime terms, these judges are held to a mandatory retirement age. Supreme Court of the United Kingdom, “Appointments of Justices,” The Supreme Court, Crown, April 2016, https://www.supremecourt.uk/about/appointments-of-justices.html. For example, in the United Kingdom, Supreme Court justices are not subject to term limits , but they must retire by age 70. There are proposals pending to increase this to 75. See Ministry of Justice and Robert Buckland, “Judicial Retirement Age to Rise to 75,” GOV.UK, March 9, 2021, https://www.gov.uk/government/news/judicial-retirement-age-to-rise-to-75. Additionally, in the United Kingdom, there are minimum requirements for nomination, and a nominating commission reviews applicants. Finally, this type of appointment applies only to a particular court, not to all courts in a broad category, as in the United States. In Belgium, the monarch appoints constitutional court judges from a list of candidates submitted by Parliament. Ivan-Serge Brouhns, “Legal Systems in Belgium: Overview,” Practical Law, Thomson Reuters, March 1, 2019, no. 12, https://uk.practicallaw.thomsonreuters.com/w-019-2986. As in the UK, these judges are appointed for life with mandatory retirement at age 70. The monarch selects judges for the supreme court, the Court of Cassation, from candidates submitted by the High Council of Justice, an independent 44-member body consisting of both judicial and nonjudicial members. Like constitutional court judges, Court of Cassation judges are appointed for life with a mandatory retirement age of 70. “Belgium,” The World Factbook 2016–17 (Washington, DC: Central Intelligence Agency, 2016), 78, https://www.google.com/books/edition/The_World_Factbook_2016_17/HfywxU2EnFwC. Recent discussions in the United States have debated instating a mandatory retirement age or setting a term limit for Article III judges. Presidential Commission on the Supreme Court of the United States, Final Report , December 2021, https://www.whitehouse.gov/wp-content/uploads/2021/12/SCOTUS-Report-Final-12.8.21-1.pdf. Appointment for a Term of Years There is a second type of US federal judge: those appointed for a term of years. Congress, in creating these courts, specifies the qualifications of the judge and the term of service. Williams v. United States, 289 U.S. 553 (1933), http://cdn.loc.gov/service/ll/usrep/usrep289/usrep289553/usrep289553.pdf. Potential judges apply for the office as one would apply for any other job. A hiring committee selects the judge. Several US states also appoint some of their judges for a term of years. The process for an appointment varies by state. “Judicial Selection in the States,” Ballotpedia, accessed May 25, 2021, https://ballotpedia.org/Judicial_selection_in_the_states. Many countries appoint some of their judges for a term of years, though the processes by which they do so differ. Elliot W. Bulmer, Judicial Appointments , 2nd ed. (Stockholm: International IDEA, 2017), https://www.idea.int/sites/default/files/publications/judicial-appointments-primer.pdf. For example, in Albania, the president alone makes some nine-year appointments. “Albania,” The World Factbook , Central Intelligence Agency, last updated December 14, 2021, https://www.cia.gov/the-world-factbook/countries/albania/#government. On the other hand, the Chinese legislature, the People’s National Congress, appoints the chief justice of their national supreme court for a limit of two consecutive five-year terms. “China,” The World Factbook , Central Intelligence Agency, last updated December 14, 2021, https://www.cia.gov/the-world-factbook/countries/china/#government. To be considered for most judicial appointments in France, an attorney must pass a series of entrance examinations. Nicole Atwill, “The French National School for the Judiciary,” In Custodia Legis: Law Librarians of Congress (blog), Library of Congress, January 26, 2011, https://blogs.loc.gov/law/2011/01/the-french-national-school-for-the-judiciary/. They must then attend special classes and pass a series of difficult examinations to be eligible for an appointment as a judge. The Ministry of Justice oversees this process without any executive input. Appointment by Election A few US states use a rare process, election, to select some judges. In a 1988 speech, Hans Linde , a former justice of the Oregon Supreme Court, said “To the rest of the world, American adherence to judicial elections is as incomprehensible as our rejection of the metric system.” Debra Cassens Weiss, “Most Countries Don’t Hold Judicial Elections,” ABA Journal , May 27, 2008, https://www.abajournal.com/news/article/most_countries_dont_hold_judicial_elections. When judges are directly elected, the judiciary is an agent of the government with limited independence. The voters use their votes to pass judgment on judicial decisions in the same way that they use their votes to weigh in on the actions of the executive and legislative branches. Thus, one of the criticisms of judicial elections is that they incentivize judges to make politically popular decisions that are not necessarily correct interpretations of the law. Different US states employ different types of judicial elections. A candidate’s political party is listed on the ballot in partisan elections , while the candidate’s political affiliation is not listed in nonpartisan elections . Many states have moved away from direct elections and toward retention elections. In a retention election , a judge is appointed for a term of years, and at the end of that term, an election is held to determine if the judge should be retained for another term or replaced. “Judicial Selection in the States,” National Center for State Courts, accessed May 25, 2021, http://www.judicialselection.us/judicial_selection/index.cfm. Texas is one of the few states that still holds partisan elections for almost all judgeships in the state. “Judicial Selection in the States: Texas,” National Center for State Courts, accessed May 25, 2021, http://judicialselection.us/judicial_selection/index.cfm?state=tx. As a result, candidates run for office just like all other elected officials. They align with a political party, receive the majority vote in the party’s primary election, and campaign showing their affiliation to the party. Most other states have moved away from this selection style because of issues with partisanship, such as the appearance of impropriety when someone makes a large campaign contribution before appearing before the court and the instability of a process that selects candidates based on political popularity rather than legal expertise. Texas Commission on Judicial Selection and Public Policy Research Institute, Texas Commission on Judicial Selection: Final Report (College Station, TX: Public Policy Research Institute, December 2020), https://www.txcourts.gov/media/1450219/201230_tcjs-final-report_compressed.pdf. Texas has been the object of scrutiny for allegations of favoritism to campaign donors and political party influence on judges. “Justice for Sale,” Frontline, PBS, November 1999, https://www.pbs.org/wgbh/pages/frontline/shows/justice/; Emma Platoff, “Despite committee’s recommendation, ending Texas’ partisan judicial elections looks unlikely,” The Texas Tribune , December 31, 2020, https://www.texastribune.org/2020/12/31/texas-judicial-elections-partisan/. As a result, there is pressure from a number of corners, including former and current judges, to change this system. Federalist Society, “The Merits of Electing Our Judges 3-7-08,” April 19, 2011, video, 1:00:57, https://www.youtube.com/watch?v=M_xrxOmHU5Q. About 13 states still hold nonpartisan elections for some of their judgeships. These states assert that this enables people to have a say in the judiciary while removing political partisanship from the selection process. Matthew J. Streb, ed., Running for Judge: The Rising Political, Financial, and Legal Stakes of Judicial Elections (New York: New York University Press, 2007). Former Chief Justice of the Texas Supreme Court Wallace Jefferson on Electing Judges in Texas In this clip, former Chief Justice of the Texas Supreme Court Wallace Jefferson weighs in on how he believes the state of Texas should select judges. Switzerland also holds judicial elections in which the Federal Assembly, their legislative branch, elects judges to six-year terms. “Switzerland,” The World Factbook , Central Intelligence Agency, last updated December 2, 2021, https://www.cia.gov/the-world-factbook/countries/switzerland/#government; Aubrey Diem et al., “Switzerland,” Britannica, Encyclopædia Britannica, last updated December 19, 2021, https://www.britannica.com/place/Switzerland/Government-and-society. A few other countries also hold some judicial elections. Hybrid or Mixed Selection Many countries have a hybrid system , with a mix of appointments for term and appointments for life depending on the type of court. “Judicial Branch,” The World Factbook , Central Intelligence Agency, accessed December 21, 2021, https://www.cia.gov/the-world-factbook/field/judicial-branch/. A couple of countries and a few US states have both appointments and elections. One common hybrid selection system used in several countries is an appointment with review after one term. In Japan, the chief justice of the Supreme Court is designated by the Cabinet and appointed by the monarch, while associate justices are appointed by the Cabinet and confirmed by the monarch. All justices are subject to a popular referendum at the first general election after their appointment and every 10 years thereafter. “Japan,” The World Factbook , Central Intelligence Agency, last updated December 14, 2021, https://www.cia.gov/the-world-factbook/countries/japan/#government. Several US states use a hybrid system known as retention or the Missouri Plan . This system has gained popularity in the United States over the last 50 years. “Retention Election,” Ballotpedia, accessed May 25, 2021, https://ballotpedia.org/Retention_election. In a retention system, the executive initially appoints a judge, with legislative approval, similar to the federal appointment process. The appointed person serves for a term of years. After this initial term, if a judge wants to remain in office, they must run in a retention election. There is no opposing candidate in a retention election; people vote on whether to keep or replace the judge. The judge runs on their record, and their party affiliation typically is not listed on the ballot. A retained judge remains in office for another term. In some states, there is a limit to the number of retention terms a judge may serve. If the judge is not retained, then the process starts again with new nominees and appointments. This style appeals to many Americans because it limits campaigning and political party influence over the judiciary while allowing the people some say over the judicial officers. The judicial system or judiciary is the court system for a particular area. Rule-of-law systems make all accountable to the law and attempt to remain politically neutral and to exercise justice as fairness. Rules of procedure limit what the judicial branch can do. In rule-by-law systems, a person or group uses the courts to reinforce their power and worldview in an authoritarian regime. Sometimes countries change from rule of law to rule by law due to a strengthening of one person’s or one party’s political power. In rule-of-law systems, the judicial branch depends on the other branches and the population’s respect for the rule of law to carry out its decisions. In rule-by-law systems, the courts work with the military or police to enforce compliance with their rulings. Judicial selection processes fall into four broad categories: appointment for life, appointment for a specified number of years, election, and hybrid, or a combination of these methods (e.g., appointment followed by retention election). authoritarian-populist judiciary a system that has transitioned from a rule-of-law system to a rule-by-law authoritarian subsystem through changes instituted by one ruling person or political party hybrid system in government, a mixture of any two or more types of legal or judicial selection systems judicial branch the system of courts that interprets, defends, and applies the law in the name of the government; also called judicial system judicial independence the concept that the judicial branch is independent of undue influence or pressure from other branches of government, partisanship, or other interests and that it is free to interpret cases using certain principles or laws, such as the nation’s constitution, without fear of reprisal judicial review a process in which the judicial branch reviews actions by the other branches of government to ensure that they are following the country’s constitution and its principles judicial system the system of courts that interprets, defends, and applies the law in the name of the government; also called judicial branch judiciary the people who work in the judicial branch of a government; also used as a synonym for judicial branch jurisdiction the authority, in the form of a written constitution or a statute, that authorizes a court to hear a case; includes both the geographical region and the topics of the court’s authority rule by law describes political systems in which the judicial branch and the judiciary help impose the government’s approved viewpoint on the citizens; the judiciary has little independence and acts as a source of government control over individual citizens rule of law the principle that the government is one of law, not of any individual or group social contract a voluntary agreement whereby the people consent to abide by specific rules while living in a territory and the government of that territory consents to limit itself to acting in accordance with certain standards sovereignty the power of a governmental body to exercise authority by creating and imposing rules on people within the area it controls", "section": "What Is the Judiciary?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Does the Judiciary Take Action? Learning Outcomes By the end of this section, you will be able to: Discuss the way the judiciary works with other branches of government. Analyze the power of the judiciary to act. Analyze the constraints on judicial action. A court cannot implement its decisions; the other branches have to turn the court’s decisions into written statutes or orders. You cannot go to court to challenge a law just because you disagree with it. You can complain to the legislature or speak out in public, but if it’s a law the government enforces—a criminal law —you must wait until you are charged with violating that law to complain about it to a court. If a statute gives you the right to make a claim against another person, neither you nor the person you are claiming against can challenge the law until one of you has filed a lawsuit against the other in court. Once a charge or a claim is brought before the court, the people directly affected by the application of the law now have standing , or a direct injury from the effect of the law, to complain about the law before the court in a court case. A court case is a specific dispute about the law and its effect on the parties, or the people directly affected. The court can only consider specific questions brought by the parties, and these are called issues . The court can only determine if the facts—that is, the evidence —meet the criteria specified in the written law and answer the questions the parties have raised. Let’s look at a couple of examples. Each of these concepts will be explored in more detail later in this chapter. Suppose the government enacts a law prohibiting someone from protesting outside a city hall and makes a violation of that law punishable as a crime. A person may not like this restriction and can complain to the legislature, seeking to change the law. However, the person cannot complain in court at this time. If a person does protest outside city hall and is arrested by the police for violating the anti-protest law, and if the government charges that person by filing a criminal case, then that person can challenge their arrest and the law in court. The government will try to prove that the person should be punished because their actions violate the law as written. In certain systems, a person can also complain that the law is an infringement on their right to free speech and protest and can seek judicial review of the law to have it declared unconstitutional and ultimately struck. Another example is a civil case, in which two private parties seek the court’s assistance in deciding a dispute. For example, say you are driving down the road, and another car hits yours. Both parties in the accident feel the other driver is at fault and should be responsible for the expenses of having both vehicles repaired. You can try to resolve the problem between yourselves; however, if you want a court to assist you in deciding the issue, there must be a statute, or a written law enacted by the legislature, that allows you to file a case in court against each other. The court can only apply the law as written to the facts—the evidence of what happened—in making a decision binding on the two of you. If there is no law on the books relevant to your dispute, the court cannot help you. Implementation and Impact of Judicial Decisions Judicial implementation is the process by which a court’s decision, or judgment , is put into practice and enforced. However, in almost all countries, the courts rely on the executive branch to implement their decisions. A court can issue a judgment, or legal order, but it does not have the power to compel government personnel to carry out or enforce its orders. The executive branch, which carries out daily government operations, is the branch tasked with implementing judgments. Thus, unless other parts of the government recognize the force of the court’s decision, the court is powerless to put its orders into practice. The implementation of desegregation orders in the United States in the 1950s and 1960s is an excellent example of the executive enforcing the court’s judgment. In these cases, the federal government, including the president, vigorously enforced the Supreme Court’s orders for school desegregation, calling out National Guard troops to escort students to school. “This Day in History: September 24,” Britannica, Encyclopædia Britannica, accessed May 25, 2021, https://www.britannica.com/on-this-day/September-24. The court’s most significant power to enforce its decision lies in the people’s acceptance of the rule of law. Suppose the people do not respect the judicial system or its authority. In that case, the executive branch must physically enforce the judiciary’s orders, which may cause a public backlash against the government. Again, the court’s desegregation order in the Brown v. Board of Education (1954) decision serves as an example. Even years after the decision was issued, many states and school districts refused to follow the order. This resulted in further litigation and the interventions of Presidents John F. Kennedy and Lyndon B. Johnson to enforce the court’s decision. Local politicians and the American public continued to put obstacles in the way of integration for many years. Public resistance can almost always defeat court-ordered action unless the executive and legislative branches back up the court’s decision. By order of the state governor, the Arkansas National Guard prevented nine Black students from entering Central High School in Little Rock, Arkansas, on September 4, 1957. (credit: “Arkansas National Guard at Little Rock Central High School, Little Rock Central High School National Historic Site, 1957” by US National Park Service, Public Domain) On September 4, 1957, the governor of Arkansas ordered the Arkansas National Guard to prevent nine Black students from entering Central High School in Little Rock, Arkansas, in defiance of the Supreme Court ruling in Brown v. Board of Education . Elizabeth Jacoway, Turn Away Thy Son: Little Rock, the Crisis That Shocked the Nation (Fayetteville: University of Arkansas Press, 2008), 127–133. Eventually, on September 24, President Dwight D. Eisenhower sent in nearly 1,000 US Army troops to ensure order and enforce the desegregation order from the court. Eisenhower signed EO 10730 on September 24, “authorizing the Army to subdue a mob.” The order resulted in 856 soldiers from the 101st Airborne Division being dispatched to Arkansas. Another 99 soldiers arrived the next day. See Jacoway, Turn Away , 178–179; Elizabeth Jacoway, “Daisy Lee Gatson Bates (1913?–1999): The Quest for Justice,” in Arkansas Women: Their Lives and Times , ed. Cherisse Jones-Branch and Gary T. Edwards (Athens: University of Georgia Press, 2018), 209. At other times, presidents and state governors have refused to obey court orders. These refusals have resulted in many disputes and, at times, nullification of the court’s decisions. Because the courts cannot implement their own decisions, when a government refuses to obey a court order or statute, that government effectively nullifies the court’s decision and the law. A typical example of nullification in the United States today is the federal reaction to individual states legalizing the use of marijuana. Federal law prohibits all growing, selling, and possession of marijuana throughout the United States, and SCOTUS has affirmed this complete prohibition over a state’s attempt to legalize medical marijuana. Gonzales v. Raich, 545 U.S. 352 (2005), https://www.law.cornell.edu/supct/html/03-1454.ZS.html. However, even with the federal law and SCOTUS decision, many states are legalizing the sale and use of marijuana. The federal government and courts could enforce the federal law against these states; however, they have chosen not to do so. Instead, the federal government allows state governments to regulate marijuana growth and use within their states, focusing instead on interstate and international drug trafficking. Thus, the federal government itself is actively engaging in the nullification of the law. Whether or not you support this action regarding marijuana, think about the possibility of nullification in other contexts, such as federal laws prohibiting racial and sex discrimination. What if a state decided to nullify these laws within its borders? Would you support nullification in this example? Nullification damages the rule of law; if states and individuals decide independently that they do not have to obey a law, without following the processes designed to ensure that no one is above the law, then the rule of law itself is weakened. Many argue that a better way to change a law one does not like is to urge the legislature to change it while still respecting the system of government and the rule of law. The legislative branch can counter a court decision by changing a law the people do not like. The legislative branch can enact a new law that changes the one on which a court based its decision, or it can even propose amendments to the Constitution to achieve the desired result. Take the example of the federal income tax. “Amdt16.1 Sixteenth Amendment: Historical Background,” Constitution Annotated, Congress.gov, accessed December 21, 2021, https://constitution.congress.gov/browse/essay/amdt16-1/ALDE_00000999/. The Supreme Court initially held that Congress’s statutory enactment of a federal income tax was unconstitutional. In reaction, Congress proposed an amendment to the Constitution to permit a federal income tax, and the states approved the amendment. This action succeeded in making the federal income tax constitutional and defeating the court ruling, all within the framework of the system, all while respecting the rule of law . Ellen Terrell, “Income Tax Day,” Research Guides, Library of Congress, last updated December 2020, https://guides.loc.gov/this-month-in-business-history/april/tax-day. Major court decisions may also influence social reform. People can look to court decisions as steps toward desired social reforms and use them to gain public support or change the law incrementally. Again, the Brown v. Board of Education decision provides a practical example. Before Brown , a series of court decisions held that different types of segregation in education were unconstitutional. These decisions narrowed the court’s holding that “separate but equal” accommodations were acceptable in the area of education. By the time Brown was decided, the law was primed to abandon segregated education entirely. However, some parts of society were not acting on the reform and challenged the laws for many years, leading to discussions about the judicial branch’s role in making public policy. Can Courts Make Public Policy? There is no one answer to the question of whether and how courts make public policy. Courts do not openly make public policy, as they only answer questions presented to them in a specific case by interpreting written laws. They cannot look at global events and decide to take action as the legislative and executive branches can. However, by the impact of their decisions, courts can impact law and society, thus nudging social and political policies in a particular direction. Once again, consider the Brown decision. In Brown , the Supreme Court held that in K–12 education, separate is inherently unequal, and ordered the integration of K–12 public schools. That was as far as the Brown decision went, as that was the only question before the court. However, the decision influenced many people to begin questioning segregation in other areas of society, and public officials started to question their role in enforcing segregation laws. This social influence of judicial decisions is often seen as a beacon of hope by those seeking more comprehensive changes in society. It can bring attention to an issue that may have been at the margins of the majority’s conscience. After Brown , the nascent civil rights movement gained momentum. This momentum led to Congress enacting the Civil Rights Act of 1964 and the Voting Rights Act of 1965. States also enacted civil and voting rights laws, and numerous individuals openly challenged segregation laws by breaking them and fighting against their constitutionality in court. This extrajudicial influence is not a direct path. There are debates about how much impact judicial decisions have on social movements. There was already a civil rights movement long before Brown , but without the activists who filed the Brown lawsuit, there would have been no decision to invigorate it. Whatever the effect of the court’s decision on the momentum of the civil rights movement, it is clear that a significant court decision that is perceived as a policy-making decision impacts society by bringing the issue to the attention of more people and causing many to think about the issue in a new way. Thus, courts can make policy for society through their decisions when interpreting laws and the Constitution. Pamela C. Corely, Artemus Ward, and Wendy L. Martinek, “Implementation and Impact,” in American Judicial Process: Myth and Reality in Law and Courts (New York: Routledge, 2015), 429–452. A court case is a specific dispute about the law and its effect on the parties, or the people directly affected. The court can only consider specific questions brought by the parties, which are called issues. The court can only determine if the facts, or evidence, meet the criteria specified in the written law and answer the questions the parties have raised. Judicial implementation is the process by which a court’s decision, or judgment, is put into practice and enforced. The court must rely on other branches of government, usually primarily the executive branch, to turn its decisions into written statutes or orders. Courts do not openly make public policy, as they only answer questions presented to them in a specific case by interpreting written laws. Unlike the legislative and executive branches, they cannot look at global events and decide to take action. However, court decisions can impact law and society, nudging social and political policies in a particular direction. court case a specific dispute about a law brought before a court; for a court to act, parties with standing who allege specific issues based on written laws must file a case criminal law a system of laws establishing minimum conduct of the individual and permitting the government to punish any person who violates such laws evidence the materials or statements a court can consider as the proof necessary for any alleged matter in a case issues the questions to be answered in a court case; a court cannot decide anything other than the issues raised by the parties judgment the binding decision in a court case, issued as a legal document nullification the willful refusal to obey or enforce a court order or statute standing the status necessary for an individual or group to complain about a law before the court, created by a direct injury to that individual or group as a result of government action", "section": "How Does the Judiciary Take Action?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Types of Legal Systems around the World Learning Outcomes By the end of this section, you will be able to: Describe the different types of legal systems and explain how they differ. Explain how the rule of law applies in different judicial systems. Analyze how different judicial systems operate. There are five basic types of legal systems in the world. They are civil law , common law , customary law , religious law, and hybrid or mixed systems. Today, mixed or hybrid systems are common. Because each system varies by country, this chapter will focus on the characteristic traits of each kind of system. This map shows the different types of legal systems in place around the world. While the United States is a common law system, note that the state of Louisiana has a hybrid system, utilizing civil law for many state matters because of its origins as a French territory. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Note that before discussing different law systems, it is important to distinguish between what the term civil means in the context of legal systems and what it means in terms of civil versus criminal laws. Common Law Systems The US legal system, and other legal systems that emanate from British rule, is a common law system . Albert Roland Kiralfy et al., “Common Law,” Britannica, Encyclopædia Britannica, last updated October 30, 2020, https://www.britannica.com/topic/common-law. Originally, common law meant judge-made law that filled in gaps when there was no written law. Judges looked to prior decisions to determine the unwritten judge-made law and apply it to new cases. However, today, almost all law is in writing and enacted by a legislature as statutes. Many statutes codify established common law, change it, or abolish it altogether, depending on the topic of the law. There are instances in which some unwritten common law is still enforced, but these are rare. In a common law system such as the one in the United States, the courts’ reliance on precedent is referred to as stare decisis , or a policy of using judicial decisions made in the past to interpret written laws and appropriately apply those laws to the facts in the present case. “Common Law,” Legal Information Institute, Cornell Law School, last updated May 2020, https://www.law.cornell.edu/wex/common_law. The court interprets written laws, and these interpretations and applications of precedent from prior interpretations constitute what is meant by common law today. Precedent is critical for interpreting later cases, and only the same or a higher court can overturn precedent. The court process is adversarial rather than investigatory, with each side trying to win or persuade the court to agree with its perspective. “Civil Law vs. Common Law,” Diffen, accessed December 21, 2021, https://www.diffen.com/difference/Civil_Law_vs_Common_Law. What Is Precedent? This video discusses precedent and its importance in common law systems. Common law courts are adversarial; that is, there is a winner-takes-all attitude in the court. In an adversarial system, each side determines the issues and questions it wants the court to resolve, conducts its own investigation, and prepares and presents its own evidence. Each side calls witnesses, who are questioned directly and by cross-examination. Each side brings out information it thinks is pertinent to prove its point. In a criminal case, the police and prosecutor work together closely to establish their viewpoint using the government’s resources. Defendants must rely on their own resources to defend against the charges, either hiring an attorney or using a court-appointed one. In a civil case, the procedures are similar; however, each side must rely on its resources to prove its point. If a jury is present, it decides all factual questions while the judge determines the legal issues and moderates the proceedings. In some cases, the judge can act as a fact finder in place of a jury. Civil Law Systems Most of Europe and South America use a civil law system . Ibid. A civil law system relies on comprehensive legal codes that contain all laws for the country. Case law—that is, judicial decisions—is secondary to these codes. Decisions are binding only on the parties to the case, not as a precedent for later cases on the same issues. While attorneys will consult prior decisions when advising clients, judges are rarely bound to follow precedent. For this reason, codes of statutes are usually more extensive and detailed than in common law systems. In civil law systems, court cases are investigations by the court to see how the facts fit into the already established codes applicable to the situation. The court system is set up so that the jurisdiction of each court is a specific type of code: tax courts, administrative courts, maritime courts, constitutional courts, and so on. The system is more inquisitorial than adversarial. The process is a series of meetings, hearings, and written communications in which the judge takes testimony. The judge crafts the issues to be decided based on discussions with the parties. Typically, the judge questions the witnesses and can include or exclude any queries submitted by the attorneys when crafting questions. Finally, the judge determines the issues and gathers the evidence before announcing a decision. For an example of a civil legal system, see this explanation of the system in France: Ministère de la Justice, ed., The French Legal System (Paris: Ministère de la Justice, November 2012), https://www.justice.gouv.fr/art_pix/french_legal_system.pdf. Only at the final hearing do the attorneys and parties make arguments to the judge. If there is a jury, its members usually are not drawn from the general public but are selected for their expertise in the particular area in question. While juries of ordinary people are rare in civil law systems, they are increasingly used in serious criminal cases. These two systems, common law and civil law systems, are the most widely used legal systems in the world. They differ in terms of the weight they give to judicial precedent and their views on the purpose of the trial process. Religious Systems In a religious law system , the law relies on religious texts as its primary basis, and the courts interpret the present facts and statutes in light of those religious texts. Many Middle Eastern countries use religious law systems for all or part of their laws. “Sharia Law Countries 2021,” World Population Review, accessed December 21, 2021, https://worldpopulationreview.com/country-rankings/sharia-law-countries. For example, in Saudi Arabia, the legal system is based on sharia law , derived from the Koran, the Islamic religious text, as well as from the Sunnah and the Hadith. “Legal and Judicial Structure,” The Embassy of the Kingdom of Saudi Arabia, accessed December 21, 2021, https://www.saudiembassy.net/legal-and-judicial-structure-0. The legislature enacts statutes, but all are tested against Islamic tenets. Certain religious leaders can overrule any government act, including court decisions, on religious grounds. The legal system includes general and summary sharia courts, with some administrative tribunals for specific topics. Religious law systems do not use juries, and criminal trials do not present defensive evidence to the same extent as in other legal systems. Each judge, a specialist in the religious sharia text, makes their interpretation of the law and is not bound by any precedent. Israel also uses some religious laws and courts to determine cases. “The Judiciary: The Court System,” Israel Ministry of Foreign Affairs, State of Israel, last modified June 24, 2021, https://mfa.gov.il/mfa/aboutisrael/state/democracy/pages/the%20judiciary-%20the%20court%20system.aspx. For example, religious courts in Israel include Jewish rabbinical courts, Islamic sharia courts, Druze religious courts, and ecclesiastical courts of the 10 recognized Christian communities. In Israel, these courts are limited to some specific issues of family law. The secular court system decides all other matters. Customary Systems A customary law system is a system based on long-standing traditions in a particular community. The traditions have become so ingrained in society that the courts recognize them as enforceable rules. However, it is rare for customary laws to be interpreted and enforced by the government. Instead, select leaders of the group usually implement the customary laws. As a result, customary laws are typically unwritten and revealed only to group members. Today, customary laws are found in closed, isolated communities combined with common or civil law systems, allowing them to exist alongside government systems in a hybrid system. Andorra, a small country in the Pyrenees bordering Spain and France, relies partly on customary law. In Andorra, sources of customary law include canon law, the ecclesiastical law of the Catholic Church, Castilian law, French law, and Roman law. Andorra was invaded and under the control of other European powers at different times in its history, and the Andorran legal system now reflects elements of each invader’s laws. Today, Andorra is a parliamentary co-principality between the president of France and the Roman Catholic bishop of Catalonia (Urgell). Andorra also has an elected parliament that can enact new laws. “Andorra,” The World Factbook , Central Intelligence Agency, last updated December 14, 2021, https://www.cia.gov/the-world-factbook/countries/andorra/. Differences among Major Legal Systems Common Law Civil Law Religious Law Customary Law Other Names Judge-made law; Anglo-American law Continental law; European law; Roman law Differs by religion; two prominent ones are sharia (Islamic law) and halakha (Jewish law) Differs by area, ethnicity, and tribe Source of Law Case law and statutes, which may be organized in codes Statutes organized in codes Religious texts Long-standing customs, which may be oral or written Degree of Judicial Independence High; important to society that judiciary appears to be independent of executive and legislature High; important to society that judiciary appears to be independent of executive and legislature Wide range, from very limited to high Wide range, from limited to high Judges Wide variety of selection and qualification standards Career position requiring training and testing; civil servants Religious and legal training Varies widely with customs of the area Policy-Making Role Due to stare decisis, shares power with individuals who come before the court and with government branches Equal but separate power as the enforcer of codes Depends on territory and topic area; paramount in some cases, advisory only in others Depends on territory and topic area; paramount in some cases, advisory only in others Examples US (except Louisiana), UK, Canada (except Quebec) All European Union countries, Quebec, Louisiana Saudi Arabia, Iran, United Arab Emirates, Israel Guernsey, Andorra The island of Guernsey is another example of a customary law system. Though it is one of the Channel Islands off the coast of England, Guernsey is not part of the United Kingdom. Guernsey’s legal system is derived from the medieval power of the monarch, the Duke of Normandy. “History & Constitution,” Law Officers of the Crown, Guernsey, last modified November 14, 2017, http://www.guernseylawofficers.gg/article/162463/History--Constitution; “Guernsey,” The World Factbook , Central Intelligence Agency, last updated December 14, 2021, https://www.cia.gov/the-world-factbook/countries/guernsey/; “Normandy,” Britannica, Encyclopædia Britannica, last updated September 27, 2018, https://www.britannica.com/place/Normandy. The ancient duchy law of Normandy is an influential source of law in Guernsey. The duchy laws developed in two periods, the Ancienne coutume of 1199–1538 and the Coutume reformée of 1538–1804. Jersey Business Law Handbook , vol. 1, Strategic Information and Laws (Washington, DC: International Business Publications USA, 2013), 16–17. Guernsey’s legal system also has elements of English common law and modern statutory law enacted by the island’s elected legislature. Guernsey enjoys almost complete autonomy over its internal affairs, and the country determines many issues based on ancient customary laws, with elected bailiffs and jurats making decisions. “Guernsey,” World Factbook ; “Jurats and the States of Election,” The Royal Court of Guernsey, last modified July 19, 2017, http://www.guernseyroyalcourt.gg/article/1950/Jurats-and-the-States-of-Election. In the United States, some customary laws may be used in tribal matters on tribal lands recognized by the US government. “Tribal Governments,” USLegal, airSlate Legal Forms, accessed December 21, 2021, https://system.uslegal.com/tribal-governments/. However, the US government does exercise some control over tribal legal systems in the United States. There is a growing worldwide movement to recognize tribal autonomy and customary legal systems. University of Colorado Law School, Native American Rights Fund, and University of California, Los Angeles, Tribal Implementation Toolkit (Boulder, CO: Native American Rights Fund, 2021), https://www.narf.org/tribal-implementation-toolkit-united-nations-declaration-on-the-rights-of-indigenous-peoples/. For example, some Maori customary law is now recognized in New Zealand. Law Commission, Māori Custom and Values in New Zealand Law , Study Paper 9 (Wellington, New Zealand: Law Commission, 2001), https://www.lawcom.govt.nz/sites/default/files/projectAvailableFormats/NZLC%20SP9.pdf; Nā Carwyn Jones, “Tikanga Māori in NZ Common Law,” New Zealand Law Society / Te Kāhui Ture o Aotearoa, September 15, 2020, https://www.lawsociety.org.nz/news/lawtalk/lawtalk-issue-943/tikanga-maori-in-nz-common-law/. Hybrid or Mixed Systems A hybrid legal system combines parts of more than one approach to create a system unique to the country. Many countries have mixed legal systems incorporating common, civil, religious, and customary law systems. “Mixed Legal Systems,” JuriGlobe, University of Ottawa, last updated April 1, 2021, https://www.juriglobe.ca/eng/sys-juri/class-poli/sys-mixtes.php. For example, the US state of Louisiana has a hybrid system. Louisiana uses some common law, but it also utilizes a civil law system for much of its state law and procedures because of its origins as a French territory. Also, on recognized tribal lands, customary laws of the tribe may be used rather than state or federal laws. Another example is the Philippine system, which includes French civil law, US-style common law, sharia law , and Indigenous customary law due to its history. Milagros Santos-Ong, “Update: Philippine Legal Research,” GlobaLex, Hauser Global Law School Program, New York University School of Law, January/February 2020, https://www.nyulawglobal.org/globalex/Philippines1.html#_Legal_System. Many African countries include a parallel tribal or ethnic legal system to adjudicate family law matters. Muna Ndulo, “African Customary Law, Customs, and Women’s Rights,” Cornell Law Faculty Publications 187 (Winter 2011), http://scholarship.law.cornell.edu/facpub/187. This map shows the different types of legal systems present in Africa. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) There are five basic types of legal systems in the world: civil law, common law, customary law, religious law, and hybrid or mixed systems. The US and other legal systems that emanate from British rule use a common law legal system. Today, almost all law in common law systems is in writing and enacted by a legislature as statutes. Many statutes codify established common law, change it, or altogether abolish it, depending on the topic of the law. Most of Europe and South America uses a civil law system, which relies on comprehensive legal codes that contain all the laws for the country. Case law—that is, judicial decisions—are secondary to these codes. Decisions are binding only on the parties to the case and not as a precedent for later cases on the same issues. While attorneys will consult prior decisions when advising clients, judges are rarely bound to follow the precedent. For this reason, codes of statutes are usually more extensive and detailed than in common law systems. In a religious law system, the law relies on religious texts as its primary basis, and the courts interpret the present facts and statutes in light of those religious texts. Customary systems are based on long-standing traditions in a particular community that have become so ingrained in society that the courts recognize them as enforceable rules. It is rare for customary laws to be interpreted and enforced by the government. Instead, select leaders of the group usually implement the customary laws. As a result, customary laws are typically unwritten and revealed only to group members. A hybrid system combines parts of more than one approach to create a system unique to that country. Many countries have mixed legal systems incorporating common, civil, religious, and customary law systems. On recognized tribal lands, customary laws of the tribe may be used rather than state or federal laws. civil law system a legal system that relies heavily on codes of statutes, in which the judicial process is mainly investigatory rather than adversarial common law system a legal system that relies on precedent, in which the judicial process is adversarial customary law system a legal system based on long-standing traditions in a particular community precedent prior court decisions that provide guidance in a current case religious law system a legal system that bases its laws on religious texts or beliefs", "section": "Types of Legal Systems around the World", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Criminal versus Civil Laws Learning Outcomes By the end of this section, you will be able to: Differentiate between criminal and civil laws. Discuss the purposes of criminal laws. Discuss the types of criminal laws. Discuss the rights of the accused in criminal proceedings in different systems. Discuss the use of the death penalty in different systems. Within a given legal system, there are two major types of law, criminal and civil. Criminal law applies to offenses against the state. The action is punished because it harms society. Criminal law requires a statute to create the offense, its elements, and its punishment. An act is not a crime unless a written law establishes it as one. Only the government can prosecute a criminal case. A criminal case begins with an alleged crime, an arrest by the police, and a charge filed by a prosecutor. Anything that is not criminal law falls under civil law , which applies when one individual is harmed by another and seeks compensation for the harm. In civil law legal systems, civil offenses are only by statute. In common law legal systems, civil offenses can be by statute or case precedent. “Civil Law vs. Common Law,” Diffen. The overarching purpose of criminal laws is to protect society as a whole. There are five general purposes of criminal punishment: Incapacitation: Punishment removes the offending person from society, inhibiting their ability to cause further harm to society. Retribution: The punishment of the individual is said to satisfy the public’s desire for revenge. Deterrence: Punishing a person for committing an offense is intended to deter others from committing that same offense. Restitution: Punishment for a criminal offense may involve a financial penalty to compensate the victim of the crime monetarily. Rehabilitation: Punishment may attempt to refocus the offender’s energy on a more acceptable pursuit to prevent recidivism . Recidivism is the repetition of a crime by an individual already found guilty of and punished for the crime. “The Purposes of Punishment,” Criminal Law (Minneapolis: University of Minnesota Libraries Publishing, 2015), https://open.lib.umn.edu/criminallaw/chapter/1-5-the-purposes-of-punishment/. Many countries have moved to a focus on rehabilitation as a means of stopping future crime. Rebecca McCray, “Seven International Prisons That Put Rehabilitation before Punishment,” TakePart, Participant Media, April 23, 2015, https://www.takepart.com/article/2015/04/21/seven-international-prisons-put-rehabilitation-punishment/. The use of rehabilitation is common in Europe, especially for nonviolent or drug offenses. Sonja Meijer, “Rehabilitation as a Positive Obligation,” European Journal of Crime, Criminal Law and Criminal Justice 25, no. 2 (2017): 145–162, https://doi.org/10.1163/15718174-25022110. The US state of Oregon is enacting similar policies to rehabilitate those who are found guilty of illegal drug use. “Principles and Strategies,” Alcohol and Drug Policy Commission, Oregon.gov, accessed December 21, 2021, https://www.oregon.gov/adpc/Pages/Principles-Strategies.aspx. While all punishments are intended to serve as deterrence and retribution, many common punishments are intended to serve other purposes as well. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) There are two main types of offenses in criminal law : serious offenses, often called felonies , and less serious offenses, often called misdemeanors . Punishments for serious offenses may involve imprisonment for a term of several years to life—and, in a few countries, the death penalty . “Death Penalty in 2020: Facts and Figures,” Amnesty International, last modified April 21, 202, https://www.amnesty.org/en/latest/news/2021/04/death-penalty-in-2020-facts-and-figures/. Lesser crimes are often punishable by no more than a fine. If a misdemeanor carries a prison sentence at all, that sentence is usually less than a year in length and is served in the local jail. The divisions between serious and lesser punishments and trial processes vary widely by country. “Criminal Justice Systems Around the World,” Criminal Defense Wiki, International Bridges to Justice, las edited December 6, 2021, http://defensewiki.ibj.org/index.php?title=Criminal_Justice_Systems_Around_the_World. Within serious and nonserious crimes, penalties vary by the perceived severity of the crime. The US categories, both state and federal, are typical, so they will serve as an example. The state categories align with the federal, so we will use the federal sentencing guidelines as a template. 18 USC § 3559, https://www.govinfo.gov/content/pkg/USCODE-2011-title18/pdf/USCODE-2011-title18-partII-chap227-subchapA-sec3559.pdf. In the United States, misdemeanors are commonly divided into three categories: Class A misdemeanor: Punishable by a jail sentence of between six months and one year Class B misdemeanor: Punishable by a jail sentence of between 30 days and six months Class C misdemeanor: Punishable by a jail sentence of between five days and 30 days Each level also carries a possible fine that can be imposed instead of or in addition to the sentence. In the United States, felonies, whether state or federal, are broken down into five categories: Capital or class A felony: Punishable by life imprisonment or the death penalty First-degree or class B felony: Punishable by a prison sentence of 25 or more years Second-degree or class C felony: Punishable by a prison sentence of between 10 and 25 years Third-degree or class D felony: Punishable by a prison sentence of between five and 10 years Fourth-degree or class E felony: Punishable by a prison sentence of between one and five years In all rule-of-law countries, including the United States, the government cannot enact any ex post facto laws . Ex post facto is Latin for “after the fact.” Thus, if something was not a crime when you did it, you cannot later be charged with a crime even if the government changes the law. For example, the posted speed limit on a road is 40 miles per hour. A camera captures you driving 40 miles per hour on Monday. On Wednesday, a new law is enacted that changes the speed limit to 25 miles per hour and is claimed to apply retroactively for the past month. This would be an ex post facto law. New laws can only apply prospectively to the future, not retroactively, to the past. In rule-by-law systems, authoritarian governments often use ex post facto laws and the lack of habeas corpus to jail opponents and keep them in jail indefinitely. Defendants’ rights and the burden of proof for guilt are similar in rule-of-law systems. In all rule-of-law countries, the burden of proof for a criminal offense is beyond a reasonable doubt. In the United States, because a criminal case can impact a person’s liberty, the burden of proof is always on the government, and the standard of proof is always guilt beyond a reasonable doubt . In addition, every rule-of-law country has protections for individuals who are accused of crimes. To compare French protections of individual rights in a criminal case, see Ministère de la Justice, French Legal System . In the United States, individuals accused of crimes have several constitutional protections in criminal cases. Rights and Liberties in the US Constitution That Apply to Criminal Proceedings Rights and Liberties in the US Constitution that Apply to Criminal Proceedings Art. I, sec. 9, cl. 2 Right of habeas corpus Art. I, sec. 9, cl. 3; Art. I, sec. 10, cl. 1 No ex post facto laws Fourth Amendment Right to be secure from unreasonable search and seizure Fifth Amendment Right to due process before deprivation of life, liberty, or property Right to indictment by a grand jury when charged with capital crimes Protection against self-incrimination Sixth Amendment Right to a speedy trial by an impartial jury Right to a defense attorney Eighth Amendment Protection against excessive bail, excessive fines, and cruel and unusual punishment Rights upon Arrest In rule-of-law countries, police must advise you at the time of arrest of certain rights. These include the right to have an attorney assist you with your case and the right to be cautioned that anything you say can be used against you in court—what are referred to in the United States as Miranda rights . A Library of Congress report found that 108 countries, including civil law and common law legal systems, require something similar to the US Miranda rights. “Miranda Warning Equivalents Abroad,” Law Library of Congress, Library of Congress, last updated December 30, 2020, https://web.archive.org/web/20210318051525/https://www.loc.gov/law/help/miranda-warning-equivalents-abroad/index.php. The European Convention on Human Rights and the Universal Declaration of Human Rights both contain similar provisions. When a person is arrested in the United States, the arresting officer must read them their Miranda rights, also called a Miranda warning, and advise them of their constitutional rights under the Fifth and Sixth Amendments to the US Constitution. The text of the Miranda warning reads along the following lines: “You have the right to remain silent. Anything you say can be used against you in a court of law. You have the right to an attorney. If you cannot afford an attorney, one will be appointed for you. Do you understand each of these rights as I have read them to you?” There are no magic, specific words police officers must say when informing a person of their Miranda rights, but the gist of the above must be included in a language the person under arrest understands. First, the person under arrest must be allowed to contact an attorney or, upon proving themselves financially unable to afford one, request that an attorney be appointed to them. Second, if the person under arrest wishes to remain silent, they must state that wish. If they speak other than for comfort or to request an attorney, they must reinvoke the right to remain silent. The right to remain silent applies only when an arrested person is being interrogated by police. It does not apply to forensic investigative work, and it does not preclude police officers from speaking in front of the person who is under arrest or trying to trick them into saying something. It only stops them from asking a direct question. Different rule-of-law countries have slightly different equivalents to the Miranda warning. The following table compares the US and UK versions of this warning. Comparison of US and British Arrest Warnings Warning United States United Kingdom Right to remain silent At time of detention: “You have the right to remain silent. Anything you say can be used against you in court.” At the time of detention: “You do not have to say anything. But it may harm your defense if you do not mention when questioned something which you later rely on in court. Anything you do say may be given in evidence.” Right to an attorney At time of detention: “You have the right to an attorney. If you cannot afford an attorney, one will be appointed for you.” The custody officer at the police station must explain the arrested individual’s rights. They have the right to receive free legal advice. Language check At time of detention: “Do you understand each of these rights as I have read them to you?” When the custody officer explains the individual’s rights, the individual can ask for a notice in their language or an interpreter to explain the notice. Procedural warnings Not required in the United States; implied and determined on a case-by-case basis The custody officer at the police station must explain that the individual has the rights to tell someone where they are; receive medical help if they need it; see the rules the police must follow; and see a written notice about their rights, e.g., regular breaks for food and to use the toilet. Search and Seizure Another way rule-of-law systems defend the rights of individuals is through protection against unreasonable searches and seizures. This means that law enforcement may perform reasonable searches and seizures, and much of the litigation in this area deals with the reasonableness of the search and seizure. The UN has created recommendations for best policing practices for all countries, including limiting the police’s right to search an arrested individual’s person, home, or belongings to this standard. United Nations, Office of the United Nations High Commissioner on Human Rights. Human Rights Standards and Practice for the Police. New York, NY and Geneva, Switzerland: United Nations, 2004, https://www.ohchr.org/Documents/Publications/training5Add3en.pdf The recommended level of proof to warrant a search is probable cause that evidence of a crime will be found in the place to be searched. Probable cause is more than suspicion but a lot less than guilt beyond a reasonable doubt. There is no exact definition of the term probable cause , and review is on a case-by-case basis. This protection in rule-of-law countries rests on recognizing a right to privacy and to be left alone by the police. See Christopher Slobogin, “An Empirically Based Comparison of American and European Regulatory Approaches to Police Investigation,” Michigan Journal of International Law 22, issue 3 (2001), https://repository.law.umich.edu/cgi/viewcontent.cgi?article=1377&context=mjil for an example of countries with right to privacy protections. However, many countries do not follow these limitations. In those countries, the police can search a person’s home and belongings or interrogate a person whenever they want to do so. For an example of a country with low protections, see David Tate Cicotte, “Saudi Search and Seizure Law Compared with the Fourth Amendment” (2014). Law School Student Scholarship. 453, https://scholarship.shu.edu/student_scholarship/453. This is particularly true in rule-by-law countries. Writ of Habeas Corpus and the Right to Appear Before the Court In all rule-of-law countries, a person held in jail has a right to demand to be brought before the court and told why they are being jailed. UN General Assembly, Resolution 43/173, Body of Principles for the Protection of All Persons under Any Form of Detention or Imprisonment, A/RES/43/173 (Dec. 9, 1988), https://www.ohchr.org/en/professionalinterest/pages/detentionorimprisonment.aspx. In some countries, this process is referred to as a petition for a writ of habeas corpus . In rule-by-law countries, this right is not recognized. In those countries, a person can be held indefinitely, incommunicado, without any right to seek their freedom or to demand that the government prove the charges against them. In rule-of-law countries, the writ of habeas corpus process usually occurs automatically. Countries that adhere to the UN Charter on Human Rights follow these requirements. Ibid. The US Constitution and state constitutions protect this automatic procedure, which is called arraignment . An arraignment is a type of court hearing held within 72 hours of arrest, at which an arrested individual is notified of the charges against them. In the United Kingdom, a person can be held for 24 to 96 hours before their first hearing, depending on the crime. “Being arrested: your rights,” Crime, justice and the law, GOV.UK, accessed January 11, 2022, https://www.gov.uk/arrested-your-rights/how-long-you-can-be-held-in-custody. All rule-of-law countries have some limit on the time a person can be held in custody before appearing in court to hear the charges against them and to have the court reiterate their rights to remain silent and to have an attorney. “Criminal Justice,” Factors, WJP Rule of Law Index, World Justice Project, accessed January 11, 2022, https://worldjusticeproject.org/rule-of-law-index/factors/2020/Criminal%2520Justice. At an arraignment in the United States, the arrested person is allowed to enter a plea, and the court sets bail . Bail is an amount of money to be paid or an agreement to restrictions on a person’s freedom in exchange for release from jail while they are waiting for trial. Bail is not intended to be punitive; it is intended to ensure that the person being charged will appear for their court hearings and trial. “How Courts Work,” Division for Public Education, American Bar Association, September 9, 2019, https://www.americanbar.org/groups/public_education/resources/law_related_education_network/how_courts_work/bail/. In the United States, if someone is charged with a misdemeanor, the case moves directly from the police to the prosecutor to investigate and prepare the case against that person. If the government wants to charge someone with a felony, they must receive the approval of a grand jury. A grand jury is a group of citizens who only hear evidence from the prosecutor and must determine whether probable cause exists to proceed with the charge and trial against the accused. If the grand jury decides there is probable cause, they issue an indictment , the formal charge for the crime. Note that the standard for a grand jury to issue the indictment is only probable cause, well below the standard of guilt beyond a reasonable doubt. Further, a defendant has no right to appear or defend themselves at the grand jury hearing, so it is a one-sided presentation of the evidence. What to Expect as a Juror Jury duty is a responsibility individuals have to their communities. What should you expect if you are called for jury duty? This short video explains. Capital Punishment The death penalty is a form of capital punishment . Capital crimes are those for which a person who is found guilty can be sentenced to the death penalty or to automatic life in prison without parole, depending on the laws in a specific country. A person can be found guilty of a capital crime even if the country does not have a death penalty. Some countries that still impose the death penalty can impose it for crimes other than murder and are permitted to impose it on juveniles. “Executions of Juveniles Outside of the US,” Juveniles, Policy Issues, Death Penalty Information Center, accessed January 11, 2022, https://deathpenaltyinfo.org/policy-issues/juveniles/execution-of-juveniles-outside-of-the-u-s; “Juveniles and the Death Penalty,” ACLU, accessed January 11, 2022, https://www.aclu.org/other/juveniles-and-death-penalty; “TalkAboutIt: Capital punishment around the world,” ABC News Australia, last updated April 7, 2015, https://www.abc.net.au/news/2015-04-06/explainer-capital-punishment-around-the-world/6371238. These countries primarily include China and countries in the Middle East and Africa. From 2009 to 2020, about 35 countries, including the United States, Belarus, and several countries in central Africa, the Middle East, and Asia, carried out executions. (source: Amnesty International; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Many countries, including all European countries with the exception of Belarus, have abolished the death penalty . “Countries That Have Abolished the Death Penalty Since 1976,” International, Policy Issues, Death Penalty Information Center, accessed January 11, 2022, https://deathpenaltyinfo.org/policy-issues/international/countries-that-have-abolished-the-death-penalty-since-1976. In these places, the maximum sentence is life in prison without parole. Since 1991, the number of countries that have abolished the death penalty has more than doubled. (source: Amnesty International; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In the United States, many assert that the death penalty violates the US Constitution’s prohibition of the imposition of “ cruel and unusual punishments.” In the United States in 1972, the procedures for execution being used in some states were found to violate the “cruel and unusual” standard. Furman v. Georgia, 408 U.S. 238 (1972). Some states responded by changing their procedures and reinstating the death penalty. SCOTUS upheld those revisions as constitutional in 1976. Gregg v. Georgia, 428 U.S. 153 (1976); Proffitt v. Florida, 428 U.S. 242 (1976); Jurek v. Texas, 428 U.S. 262 (1976); Woodson v. North Carolina, 428 U.S. 280 (1976); Roberts v. Louisiana, 428 U.S. 325 (1976). Other states decided not to reinstate the death penalty. “States and Capital Punishment,” National Conference of State Legislatures, August 11, 2021, https://www.ncsl.org/research/civil-and-criminal-justice/death-penalty.aspx. The federal government did not reinstate the death penalty for federal crimes until 1988 and has rarely imposed the death penalty or carried it out. “Federal Death Penalty,” State & Federal Info, Death Penalty Information Center, accessed January 11, 2022, https://deathpenaltyinfo.org/state-and-federal-info/federal-death-penalty#:~:text=Overview.%20The%20federal%20death%20penalty%20applies%20in%20all,six-month%20period%20between%20July%202020%20and%20January%202021. Since that time, more US states have abolished the death penalty, making a total of 23 states (plus the District of Columbia) without the death penalty and three that are no longer carrying out executions. “State by State,” Death Penalty Information Center, last updated June 13, 2019, https://deathpenaltyinfo.org/state-and-federal-info/state-by-state. As of August 2021, 27 of 50 US states had the death penalty, although three of those states—California, Oregon, and Pennsylvania—have imposed moratoriums on executions. “States with and without the death penalty—2021,” State by State, State & Federal Info, Death Penalty Information Center, accessed January 11, 2022, https://deathpenaltyinfo.org/state-and-federal-info/state-by-state. (source: National Conference of State Legislatures; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In the United States, only certain types of murder, such as premeditated murder for hire or murder of certain government officials, qualify as capital crimes . “Summary of Death Penalty Statutes,” Crimes Punishable by Death, Facts & Research, Death Penalty Information Center, accessed January 11, 2022, https://deathpenaltyinfo.org/facts-and-research/crimes-punishable-by-death/summary-of-state-death-penalty-statutes. In a few states, if someone is killed during the commission of a felony, anyone involved in committing that felony can be sentenced to the death penalty, even if they are not the one who committed the killing, under a principle called the law of the parties . Many oppose this imposition of the death penalty on someone other than the person who did the actual killing, and state legislatures are reviewing the situation. “Texas House of Representatives Passes Bill to Limit Death-Penalty Eligibility for Defendants Who Do Not Kill,” News, Death Penalty Information Center, May 7, 2021, https://deathpenaltyinfo.org/news/texas-house-of-representatives-passes-bill-to-limit-death-penalty-eligibility-for-defendants-who-did-not-kill. In the United States, even states that impose the death penalty cannot impose it on an individual who is under 18 or mentally disabled at the time of the crime. Roper, Superintendent, Potosi Correctional Center v. Simmons, 543 US 551 (2005); Daryl Renard Atkins, Petitioner v. Virginia, 536 US 304 (2002). The harshest sentence a juvenile can receive in the United States is life in prison without parole. Even in those states that use the death penalty, it is being applied less often. In the 30-year period from 1988 to 2018, new death sentences in the United States decreased from close to 300 in 1988 to less than 50 in 2018, a reduction of more than 80 percent. (source: Death Penalty Information Center; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The federal death penalty applies in all 50 states and US territories but is used relatively infrequently. As of November 2021, there were 45 federal prisoners on death row. “List of Federal Death Row Prisoners,” State & Federal Info, Death Penalty Information Center, accessed January 11, 2022, https://deathpenaltyinfo.org/state-and-federal-info/federal-death-penalty/list-of-federal-death-row-prisoners. No federal government executions occurred after 2003 until 2020, when President Donald Trump ordered federal officials to begin carrying out executions. During the remainder of his presidency, 13 federal prisoners were executed. Michael Tarm, “On federal death row, inmates talk about Biden, executions,” APNews , March 22, 2021, https://apnews.com/article/federal-death-row-inmates-talk-biden-executions-6381ed8b3e821a34a6b6ade6bb3375c0; “Capital Punishment,” History, About, Federal Bureau of Prisons, accessed January 11, 2022, https://www.bop.gov/about/history/federal_executions.jsp. As of November 2021, there were 45 inmates on federal death row in the United States. (source: Death Penalty Information Center; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) At the end of 2018, 2,567 prisoners were on death row in US states. From 1977 to 2018, 34 states carried out 1,490 executions. Texas carried out 37 percent of those executions. While California has the most people on death row, it has not carried out any executions for many years. Since March 2019, when Governor Gavin Newsom placed a stoppage on executions, all death row inmates in California have effectively been serving life sentences. “Data on the Death Penalty in the US,” USAFacts, last updated January 13, 2021, https://usafacts.org/articles/death-penalty-us-what-data-says/. For more information about the death penalty and executions in the United States since 1978, visit USAFacts , where you can explore interactive graphics that provide comparative data showing how each state and the federal government has applied the death penalty. The split internationally and between the states on support for or opposition to the death penalty reflects the general division in society over whether or not the death penalty is intrinsically cruel and unusual under current human rights standards. “Death Penalty,” Your Human Rights, United Nations Office of the High Commissioner on Human Rights, accessed January 11, 2022, https://www.ohchr.org/EN/Issues/DeathPenalty/Pages/DPIndex.aspx. The US Supreme Court has held that the meaning of “cruel and unusual” rests on society’s “evolving standard of decency,” and thus there is no set standard. Trop v. Dulles, 356 US 86 (1958) As society’s view of the death penalty changes, so can the application of the concept of cruel and unusual punishment. Those who oppose the death penalty “Reasons to Oppose the Death Penalty,” Virginians for Alternatives to the Death Penalty, accessed January 11, 2022, https://www.vadp.org/dp-info/reasons-to-oppose-the-death-penalty/, “The Facts: 13 Reasons to Oppose the Death Penalty,” Facts, Oregonians for Alternatives to the Death Penalty, accessed January 11, 2022, https://www.oadp.org/facts/13-reasons; “Death penalty: key facts about the situation in Europe and the rest of the world,” World, News, European Parliament, last updated July 28, 2020, https://www.europarl.europa.eu/news/en/headlines/world/20190212STO25910/death-penalty-in-europe-and-the-rest-of-the-world-key-facts. make a number of different arguments. Some argue that life without parole meets the purposes of criminal punishment better than execution. They say that a life without parole permanently removes from society the person who has been sentenced just as much as the death penalty would; thus, the standard of incapacitation of the person to commit another crime is met. “Should Life without Parole Replace the Death Penalty?” ProCon.org, accessed January 11, 2022, https://deathpenalty.procon.org/questions/is-life-in-prison-without-parole-a-better-option-than-the-death-penalty/. Some argue that because investigations have found that some people executed or placed on death row are innocent, injustice cannot be corrected if the death penalty is carried out. “The Innocent and the Death Penalty,” Innocence Project, News, February 10, 2009, https://innocenceproject.org/the-innocent-and-the-death-penalty/#:~:text=Eighteen%20people%20have%20been%20proven%20innocent%20and%20exonerated,death%20row%20%E2%80%93%20for%20crimes%20they%20didn%E2%80%99t%20commit. Killing someone for the crime of killing has been held up as state hypocrisy. Additionally, there are questions about the equal application of justice in death penalty cases because racial minority defendants tend to receive the death penalty more often than White defendants who are convicted of committing the same or similar crimes. “Race and the Death Penalty by the Numbers,” Race, Policy Issues, Death Penalty Information Center, accessed January 11, 2022, https://deathpenaltyinfo.org/policy-issues/race/race-and-the-death-penalty-by-the-numbers/. Further, the race of the victim is a factor. A 1990 US government report states that “in 82 percent of the studies [reviewed], race of victim was found to influence the likelihood of being charged with capital murder or receiving the death penalty, i.e., those who murdered whites were found to be more likely to be sentenced to death than those who murdered blacks.” United States General Accounting Office, Death Penalty Sentencing: Research Indicates Pattern of Racial Disparities (Washington, DC: General Accounting Office, February 1990), 5, http://racialviolenceus.org/Articles/GAO_Death_Penalty_Sentencing.pdf. Historically in the United States, more than twice as many Black defendants have been executed as have defendants in cases in which the victim was Black. (source: Death Penalty Information Center; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Civil Law Civil law is everything that is not criminal law . Thus, it is wide-ranging and complex, covering everything from family matters (marriage, divorce, adoption, guardianship, probate, etc.) to personal injury, workers’ compensation, medical malpractice, and business disputes. Civil law differs from criminal law in that individuals or groups file cases rather than the state. The legislature enacts laws that establish standards of conduct and recognizes relationships. The legislature will establish the duty owed and rights between individuals, what constitutes a breach, and what damages may be recovered for that breach. Because civil law topics are so wide-ranging, the burden of proof for the complaining party similarly varies. It can range from merely a preponderance of evidence to clear and convincing evidence. A Comparison of Civil Law and Criminal Law Civil Law Criminal Law Definitions Laws concerned with interpersonal disputes such as divorce, debt, personal injury Statutes that identify conduct as criminal felonies or misdemeanors; punishable by the government Cases Filed By Individuals The government Type of Punishment Monetary damages, disposition of property and/or a relationship Incarceration, fines, probation Burden of Proof Ranges from a preponderance of evidence to clear and convincing evidence, depending on the topic Always guilt beyond a reasonable doubt Appeals Filed By Any dissatisfied party The defendant Right to a Jury Must pay a fee to have a jury Automatic in some cases, requested in others; no fee charged Jury Verdict Does not always have to be unanimous Must be unanimous There are two major divisions in law, criminal and civil. Criminal law applies to offenses against the state that are punished because they harm society. Criminal law requires a statute to create an offense, its elements, and its punishment. An act is not a crime unless a written law establishes it as one. Only the government can prosecute a criminal case. A criminal case begins with an alleged crime, an arrest by the police, and a charge filed by a prosecutor. Anything that is not criminal law falls under civil law, such as when one individual is harmed by another and seeks compensation for the harm. In civil law legal systems, civil offenses are only by statute. In common law legal systems, civil offenses can be by statute or case precedent. There are five general purposes for criminal punishment: incapacitation, retribution, deterrence, restitution, and rehabilitation. There are two main types of criminal law: serious offenses, often called felonies, and less serious offenses, often called misdemeanors. Punishments for serious offenses may involve imprisonment for a term of years to life and, in a few countries, the death penalty. Lesser crimes are often punishable by no more than a fine. If a misdemeanor carries a prison sentence at all, that sentence is usually less than a year in length and is served in the local jail. The divisions between serious and lesser punishments and trial processes vary widely by country. In all rule-of-law countries, the burden of proof for a criminal offense is beyond a reasonable doubt. In the United States, because a criminal case can impact an accused person’s liberty, the burden of proof is always on the government, and the standard of proof is always guilt beyond a reasonable doubt. In rule-of-law countries, police must advise an individual at the time of arrest of certain rights, including the right to have an attorney assist them with their case and the right to be cautioned that anything they say can be used against them in court. Rule-of-law systems protect individuals against unreasonable searches and seizures. The UN has created recommendations for best policing practices for all countries, including limiting the police’s right to search an individual, their home, or their belongings to this standard. In all rule-of-law countries, a person held in jail has a right to demand to be brought into court and told why they are being jailed. In rule-by-law countries, this right is not recognized. Capital crimes are those for which a person who is found guilty can be sentenced to the death penalty or to automatic life in prison without parole, depending on the laws in a specific country. Civil law includes everything that is not criminal law. It differs from criminal law in that individuals or groups file cases. Civil law covers everything from family matters (marriage, divorce, adoption, guardianship, probate, etc.) to personal injury, workers’ compensation, medical malpractice, and business disputes. arraignment the initial court hearing in which an arrested individual is informed of the specific criminal charges against them, bail is set, and the individual is appointed an attorney if they have not already secured one bail court-determined conditions that must be met for an arrested individual to be released from jail, designed to ensure that the individual will appear for all hearings and the trial in a criminal case; may include fines or restrictions on activity capital punishment the imposition of the death penalty on persons convicted of specific crimes civil law a system of laws concerned with the peaceful resolution of disputes between individuals rather than with criminal conduct felonies serious crimes that carry more severe sentences than misdemeanor crimes grand jury a body of citizens that reviews evidence to determine if there is probable cause to charge a person with a felony guilt beyond a reasonable doubt the standard required to convict someone of a crime in a rule-of-law system misdemeanors minor criminal offenses that are often punishable by a fine probable cause the amount of evidence required for the government to take specific actions against a defendant in a criminal investigation or case; determined on a case-by-case basis", "section": "Criminal versus Civil Laws", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Due Process and Judicial Fairness Learning Outcomes By the end of this section, you will be able to: Describe the elements of due process. Discuss the need for fairness in a judicial system. Discuss the hierarchy of courts. Discuss the different types of courts and their operations. Due process is the legal requirement that the government must respect the rights of the accused and take procedural steps to create a fair system of government action against the accused. The concept of due process appeared as far back as the Magna Carta , which held that no noble could be deprived of liberty or property without due process in a hearing before their peers. G. R. C. Davis, Magna Carta , Revised Edition, British Library, 1989, accessed January 11, 2022 from “The Text of Magna Carta,” Fordham University, https://sourcebooks.fordham.edu/source/magnacarta.asp. The Universal Declaration of Human Rights protects people’s right to due process before a government can take action against them. “Universal Declaration of Human Rights,” About Us, United Nations, accessed January 11, 2022, https://www.un.org/en/about-us/universal-declaration-of-human-rights. The European Convention on Human Rights provides for due process of law by a fair and impartial hearing before the government. European Court of Human Rights, “European Convention on Human Rights,” France: Council of Europe, 2013, https://www.echr.coe.int/Documents/Convention_ENG.pdf. As discussed in Chapter 4: Civil Liberties , there are two due process clauses in the US Constitution: one in the Fifth Amendment , which applies to the federal government, and one in the 14th Amendment , which applies to the states. Other than the entities to which they apply, both clauses are identical. The clauses provide that “no person shall . . . be deprived of life, liberty, or property without due process of law” U.S. Const. amend. V. and “nor shall any state deprive any person of life, liberty, or property without due process of law,” U.S. Const. amend. XIV, § 1. respectively. They apply to all persons, not just citizens of the United States. All rule-of-law systems have similar due process requirements. To understand the application of due process, one must first ask what procedures are due and what deprivation of “life, liberty, or property” means. There are two types of due process, procedural and substantive. Procedural due process is the steps the government must take before depriving an individual of life, liberty, or property. The US Supreme Court has held that procedural due process at a minimum requires (1) notice, (2) an opportunity to be heard, and (3) an impartial tribunal. Mullane v. Central Hanover Bank & Trust Co., 339 U.S. 306 (1950). When determining if a process is constitutional, courts consider (1) the nature of the right at issue, (2) the adequacy of the procedure compared to other procedures, and (3) the burdens other procedures would impose on the state. Mathews v. Eldridge, 424 U.S. 319 (1976). These procedures can be seen in criminal and civil cases, where special rules of procedure and evidence apply. These will be discussed in greater detail when the trial process is explored. Due process that attempts to ensure that the system of laws and courts is fair to all persons is substantive due process . Substantive due process applies the protections of individual rights under the Constitution and measures the activities of government to determine if they treat each person fairly and equally, without infringing on those constitutional rights. As the image of Lady Justice that opens this chapter shows, the scales of justice need to be in balance, and justice must be blind so that everyone is equal in the eyes of the law. When reviewing how fair a system is, it is important to consider to what degree the judge and jury are impartial. One way of looking at judicial impartiality is to examine judicial independence. If the judiciary is not independent of influence, people will not believe it is fair or impartial. You learned about some of these issues in the discussion of judicial selection. There is a high degree of concern about judicial impartiality in some countries because the judiciary in those countries is not independent of other branches of government or oversight by religious leaders. In China, the Chinese Communist Party controls all government offices, including the judiciary. Thus, it is rare for the judiciary to overrule any government action. The Iranian constitution states that the judiciary upholds Islamic law; thus, it is restricted in reviewing government actions against citizens. Further, the judiciary is under the supreme leader and Guardian Council, religious figures who can overrule the court’s actions at will. See the Iranian constitution at https://en.parliran.ir/eng/en/Constitution. How independent of pressure from the executive can these supreme court justices feel when reviewing government actions against individuals? In the United States, the president nominates judges to the federal courts. The Senate then reviews these nominations and may confirm or deny them. Federal judges are appointed for life, regardless of who the next president may be. The judiciary is thus said to be independent and neutral of political forces. How impartial and independent it really is remains in question, as presidents tend to nominate persons with political views similar to their own. Even after attaining office, an individual judge may continue to decide cases in keeping with those political views. Further, how equally are people treated under the same law? For example, there are long-standing concerns in the United States about how fairly the criminal justice system treats racial minorities. Unfortunately, this issue is not limited to the United States but is a problem around the world. It is one that the UN continually works to remedy. “Rule of Law and Justice,” United Nations and the Rule of Law, United Nations, last modified October 8, 2019, https://www.un.org/ruleoflaw/thematic-areas/justice-2/. In rule-of-law countries, the standard style of court system is a three-tier hierarchy, although the names of the parts and what they can do vary widely by country. In the United States, trial courts are subordinate to intermediate courts of appeals, which are subordinate to the highest courts. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In the US Article III federal court system, there are 94 district courts, which are trial courts organized into 12 circuits or regions. “Court Role and Structure,” About Federal Courts, United States Courts, accessed January 11, 2022, https://www.uscourts.gov/about-federal-courts/court-role-and-structure. Each circuit has its own court of appeals that reviews cases decided by district courts within the circuit. The US Court of Appeals for the Federal Circuit hears cases of a particular type from across the nation. There are two levels of appeal in the United States, the intermediate court of appeals and the Supreme Court of the United States. Each state has its own court system, but all states use the three-tier hierarchy. The names of the courts vary as well as the types of cases they hear. Trial Courts Trial courts are the first level of courts in any system. The common characteristic of trial courts worldwide is that they are courts of original jurisdiction, the first courts with authority to hear a case. The exact process for a trial varies widely by country. In the United States, trial courts are bound by strict procedures and evidence designed to ensure due process. “Your Day in Court,” Judicial Learning Center, accessed January 11, 2022, https://judiciallearningcenter.org/your-day-in-court/; “How Courts Work,” Division for Public Education, September 9, 2019, https://www.americanbar.org/groups/public_education/resources/law_related_education_network/how_courts_work/cases/. After judgment in a US trial court, the final decision of the case is written down in a document called an order or judgment that an aggrieved party might use to appeal a case to a higher court. The basic trial court process in the United States is as follows: “Justice 101,” Offices of the United States Attorneys, accessed January 11, 2022, https://www.justice.gov/usao/justice-101/trial. Filing of complaint and pretrial documents: All cases rest on written pleadings of the parties asserting claims or defenses. In these documents, the specific questions of the case are detailed. Matters that are not mentioned in the pleadings cannot be brought up during the case. Pretrial discovery: This occurs during the investigative stage. The parties seek evidence to support their positions. The evidence must be in a form that can be admitted in court. There are strict rules of evidence; not everything is admissible. The trial: There are several stages to the actual trial. Voir dire: In this stage, the people who have been called for jury duty are questioned to see if they have any prior knowledge or biases that would prevent them from being eligible to sit on the jury for a specific case. Opening statements: The attorneys give synopses of what they hope to prove with the evidence. The jury listens to these synopses but cannot use them in making their decision. Evidence: During this stage, testimony and documents are formally presented in the court. Strict rules ensure truthfulness, the accuracy of the evidence, and that only information related to the questions in the case is presented to the jury. The jury may only rely on the evidence presented in court when making their decision. Each side has an opportunity to call and question any witness. The attorney calling the witness conducts direct examination, asking questions that support their view of the case. The opposing attorney can then cross-examine the witness in an attempt to elicit information supporting their perspective or to discredit the witness’s testimony so that the jury may question whether it is reliable. Closing statements: Each attorney summarizes their case and tries to convince the jury that the evidence presented supports their conclusion. The jury listens to the closing statements, but they are not supposed to rely on them in making their decision. Verdict: The jury is given specific questions to answer. They can only answer these questions. Their answer is the verdict, or decision, in the case. Judgment: Judgment is the formal legal acceptance of the decision in the case. The judgment is the document used to enforce the decision on the parties. How a Trial Works Criminal and civil common law trials are adversary in nature. Ideally, the combined arguments of the prosecution and the defense, with the judge's moderation, reveal something close to the truth in a case. The prosecution and the defense focus on the facts of the case, while the judge focuses on proper procedure and the substance of the law. In a civil case, any party dissatisfied with the judgment can request an appeal, and in a criminal case, a defendant who is found guilty can request an appeal. The government cannot appeal in a criminal case if the defendant is found not guilty due to the US Constitution’s prohibition against double jeopardy . All rule-of-law countries recognize some form of double jeopardy. The US Constitution provides that “no person shall . . . be subject for the same offense to be twice put in jeopardy of life or limb.” U.S. Const. amend. V. This means that if a person is acquitted, or found not guilty, they cannot be tried again for the same offense at a criminal trial. They can, however, be tried for another offense or in another jurisdiction. For example, if you rob a bank and shoot someone as you are getting away, you have violated both federal and state statutes and can be charged and tried separately by each jurisdiction for the offenses. In this example, you can be charged with and tried for at least two federal and two state charges. Many people mistakenly think this is double jeopardy, but double jeopardy only applies when a person is found not guilty of a crime and then tried again in the same jurisdiction for the same crime. In the above example, if the federal government tried you for bank robbery and you were acquitted, the state could still try you for bank robbery, but the federal government could not try you a second time for that crime. Appellate Courts An appeal is a higher court’s review of a lower court’s decision. The workings of the appeals process vary widely around the world. In the United States, an appeal serves only to determine if an error of law occurred in the lower court that may have resulted in the rendition of an improper judgment. An appeal is not a do-over of the original trial. There are strict standards for reviewing the lower court’s action, which vary by type of case. Katherine A. Currier, Thomas E. Eimermann, and Marisa S. Campbell, “The Court System and the Role of Judges,” in The Study of Law: A Critical Thinking Approach , 5th ed. (New York: Wolters Kluwer, 2020). This photo was taken inside a court of appeals in Annapolis, Maryland. (credit: “Chief Judge Robert Bell’s Portrait Unveiling at the Court of Appeals” by Maryland GovPics/Flickr, CC BY 2.0) No witnesses are called during an appeal, no new evidence is taken, and there is no jury. A panel of judges reviews the written record of the lower court proceeding and compares this to the written law being applied. In judicial review systems, the appellate panel of judges also looks at the precedent of similar cases. Relying on this review of the lower court’s proceeding, the law, and, if applicable, the precedent, the judge determines if the lower court made a substantive legal error. If they do not find there was a significant error, they affirm the lower court’s judgment. If they find an error, they reverse the case. When they reverse, they can order one of two things, remand or rendition. In reverse and remand , the court instructs the lower court on correcting the error and sends the case back for a new trial. In the rare instances of reverse and render , the court finds that the error was so serious that they need to enter the correct judgment, and there are no further proceedings in the trial court. For an example of a court opinion reversing and rendering a decision, see Medina v. Zuniga, https://www.txcourts.gov/media/1443995/170498.pdf, and Valentine v. Collier, http://www.ca5.uscourts.gov/opinions/pub/20/20-20525-CV1.pdf. For an example of rules allowing rendition on reversal, see Texas Rules of Appellate Procedure at https://www.txcourts.gov/media/1437631/texas-rules-of-appellate-procedure-updated-with-amendments-effective-2117-with-appendices.pdf. If a case is before an intermediate court of appeals and one of the parties is dissatisfied with the decision, the parties can request that the highest court review the case. SCOTUS is the highest court in the US system. It can hear cases from lower federal courts or from a state’s highest court if an issue involving the US Constitution has been raised. SCOTUS is not required to hear any appeal. Instead, they hear cases at their discretion, which is called a writ of certiorari . Thousands of cases from around the country are filed with the court each year, of which they hear and decide less than 100. “About the Supreme Court,” United States Courts, accessed January 11, 2022, https://www.uscourts.gov/about-federal-courts/educational-resources/about-educational-outreach/activity-resources/about. Thus, the Supreme Court carefully selects its cases to address major issues concerning the entire nation. The people pay close attention to the court’s decisions because many of these cases involve important political issues of the day. Once the highest court decides, the case is final, and the judicial review system’s decision becomes precedent. Other countries have similar hierarchical systems. The exact jurisdictions and names of the courts may differ, but the hierarchical style of trial and review applies. A major difference between the countries is whether or not they use judicial review or recognize parliamentary sovereignty. Due process is the legal requirement that the government must respect the rights of the accused and take procedural steps to create a fair system of government action against the accused. Procedural due process is the steps the government must take before depriving an individual of life, liberty, or property. Substantive due process attempts to ensure that the system of laws and courts does not infringe on individual constitutional rights. When reviewing how fair a system is, it is important to consider to what degree the judge and jury are impartial. In rule-of-law countries, the standard style of court system is a three-tier hierarchy. Trial courts are the first level of courts. They are courts of original jurisdiction, the first courts with authority to hear a case. An appeal is a higher court’s review of a lower court’s decision. The workings of the appeals process vary widely around the world. In the United States, an appeal serves only to determine if an error of law occurred in the lower court that may have resulted in the rendition of an improper judgment. Strict standards for reviewing the lower court’s action vary by type of case. appeal a higher court’s review of a lower court’s decision to determine if an error of law caused the rendition of an improper judgment by the lower court due process a legal requirement that the government respect the rights of the accused and take procedural steps to create a fair system of government action against the accused procedural due process the process, procedures, and rules that the government must follow when taking any legal action against an individual so that their rights under the constitution are protected substantive due process the principle that due process applies not only to legal procedures but also to broader government actions, such as the passing of laws, and that such actions are subject to review to ensure that they do not infringe on individuals’ constitutional rights", "section": "Due Process and Judicial Fairness", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Judicial Review versus Executive Sovereignty Learning Outcomes By the end of this section, you will be able to: Define judicial review. Discuss restraints on judicial review. Explain who and what is subject to judicial review. Explain executive sovereignty. Explain who and what is subject to executive sovereignty. Judicial review is one means of checking to see whether the other branches are following a country’s constitution and its principles. In some countries, this review is conducted not by the judicial courts but by a group that reviews proposed laws while the legislature is still debating them. For example, in France, the Constitutional Council reviews all acts of Parliament before they are enacted to ensure that they do not violate the French constitution. Constitutional Council, accessed January 11, 2022, https://www.conseil-constitutionnel.fr/en. If the council finds that a proposal does violate the constitution, Parliament can correct it before enacting the law. In the United States, the courts perform judicial review. U.S. Const. art. III, VI. The US Constitution, not a branch of government or an individual, is the supreme law of the United States. The power of judicial review includes the power to make sure that all branches of government at all levels comply with the US Constitution. Even though judicial review exists in the United States, all laws and government actions that come before the court enjoy a presumption of constitutionality. The amount of deference to that constitutionality varies with the type of action and the judge. For example, since World War II, individual and civil rights have been broadened, and courts have been less deferential to government actions restricting personal liberty. Still, courts rarely hold that an act is unconstitutional. “Constitution of the United States of America: Analysis and Interpretation,” Govinfo.gov, US Government Publishing Office, accessed May 25, 2021, https://www.govinfo.gov/collection/constitution-annotated. As of 2014, out of the millions of actions Congress and the president have taken in the history of the United States, SCOTUS had only ever held 176 acts of Congress to be unconstitutional. Congress passed 15,817 laws from 1954 to 2002. The Supreme Court ruled 103 of them, a total of two-thirds of 1 percent, unconstitutional. In that same period, state legislatures enacted 1,006,649 laws. The court ruled 452 of those, less than one-twentieth of 1 percent, unconstitutional. The federal government adopted 21,462 regulations from 1986 to 2006. The court held 121 of them, about one-half of 1 percent, unconstitutional. See Clark Neily and Dick M. Carpenter II, Government Unchecked: The False Problem of “Judicial Activism” and the Need for Judicial Engagement (Arlington, VA: Center for Judicial Engagement, September 2011), https://www.ij.org/images/pdf_folder/other_pubs/grvnmtunchkd.pdf. Another myth about judicial review is that SCOTUS frequently finds actions of the other branches of state governments unconstitutional. More state laws have been struck, but the percentage is still meager, given that the 50 states take millions of actions each year. Most of the state laws the court has struck since 1960 have involved civil rights, with only 483 state laws declared unconstitutional as of 2019. “Table of Laws Held Unconstitutional in Whole or in Part by the Supreme Court,” Constitution Annotated, Library of Congress, accessed May 25, 2021, https://constitution.congress.gov/resources/unconstitutional-laws/. Using judicial review, the courts check all government actions against the Constitution and ensure that it is the supreme law of the land. In a parliamentary sovereignty system , this check is not available. In an executive sovereignty system , a parliamentary sovereignty system, or a legislative sovereignty system , the courts cannot overrule executive or parliamentary action through judicial review. In executive, parliamentary, or legislative supremacy systems, the legislative body is supreme over all other government institutions. The legislature may change or repeal any law and, in some countries, is not bound by case precedent or a constitution. The United Kingdom is an example of a country with parliamentary sovereignty. In the UK, the monarch initially was all-powerful and could do anything they wanted. Even after a royal parliament had been in place for many years, the monarch retained near-total power and could dissolve the parliament. After the English Civil Wars, Parliament became all-powerful, and since that time, the monarch’s role has been largely ceremonial. In the era of parliamentary preeminence, the Houses of Parliament (the House of Commons and the House of Lords), under the unwritten constitutional principles of the UK, hold the right to make or repeal any law. No one can override a parliamentary act. Parliament can make or change any law. UK Supreme Court Rules Prorogation “Unlawful” In 2019, the UK Supreme Court ruled that Prime Minister Boris Johnson acted unlawfully when he stopped the work of Parliament during Brexit debates. Furthermore, an act of Parliament cannot be challenged in court as unconstitutional, as Parliament is the supreme lawmaker. However, since World War II, the British Parliament’s power has been curtailed in some measure by new laws and agreements to be bound by international treaties. Nevertheless, Parliament retains the ability to repeal these laws or consent to any of these international agreements. “Parliament’s Authority,” What is the role of Parliament?, UK Parliament, accessed January 11, 2022, https://www.parliament.uk/about/how/role/sovereignty/. Brexit , the recent parliamentary vote and referendum of the people of the UK to leave the European Union (EU), which had bound the British courts to follow specific economic laws and policies effective throughout Europe, provides a prime example of such a repeal. While the parliaments that joined and stayed with the EU bound themselves temporarily to international agreements, a later parliament retained the right to undo the binding and reassert supremacy. Any check on the British Parliament rests in the public perception of and support for the government. If the public loses confidence in Parliament, elections can be called, and new members who agree to vote in line with public sentiment can be voted into office. Judicial review is one means of checking to see whether the other branches are following a country’s constitution and its principles. In some countries, this review is conducted not by judicial courts but by a group that reviews proposed laws while the legislature is still debating them. Suggested Readings Goldman, Sheldon. Picking Federal Judges: Lower Court Selection from Roosevelt through Reagan . New Haven, CT: Yale University Press, 1997. Malleson, Kate, and Peter H. Russell, eds. Appointing Judges in an Age of Judicial Power: Critical Perspectives from around the World . Toronto: University of Toronto Press, 2006. National Center for State Courts. “Judicial Reform.” Last modified May 20, 2020. https://www.ncsc.org/topics/international/judicial-reform-around-the-world/home/judicial-reform. United Nations Office on Drugs and Crime. The Doha Declaration: Promoting a Culture of Lawfulness (website). Accessed December 21, 2021. https://www.unodc.org/dohadeclaration/index.html. executive sovereignty system a system in which the actions of a parliament or the executive cannot be reviewed for their constitutionality", "section": "Judicial Review versus Executive Sovereignty", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction Republican Vice President Richard Nixon and Democratic Senator John F. Kennedy participated in the United States’ first televised presidential debate in 1960. (credit: “ Richard Nixon and John F. Kennedy Debate in Chicago While Being Televised ” by Richard Nixon Library & Birthplace/National Archives) It was 1960, and Republican Vice President Richard Nixon stood at the podium, appearing drained and sweaty, while his opponent, Democratic Senator John F. Kennedy (JFK), looked as if he had been ready for this moment, the United States’ first televised presidential debate, his whole life. When asked which candidate did better, Nixon’s running mate, Ambassador Henry Cabot Lodge, who had watched the debate on television, said he thought JFK did a better job. In contrast, Senator Lyndon B. Johnson , who was running on the Democratic ticket with JFK, listened to the debate on the radio and deemed Nixon the winner. Did Senator Kennedy’s good looks and confidence “win” the televised debate over a pale, overtired Nixon? Did the fact that the debate was televised change the outcome of the election? While academics have been unable to definitively answer these questions, one thing is sure: television changed politics that evening in 1960, and as an institution, the media continues to influence how people understand government, candidates, and policies. How JFK’s Clever TV Strategies Helped Him Win the Election John F. Kennedy’s presidential campaign took advantage of the popularity and reach of television.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Media as a Political Institution: Why Does It Matter? Learning Outcomes By the end of this section, you will be able to: Explain the importance of a free press both in the United States and abroad. Describe how the media acts as a watchdog and give examples. Understand and define how political information is mediated. Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances. —The 1st Amendment to the United States Constitution The press is the only profession explicitly protected in the United States Constitution. Many attribute this protection to James Madison and his writings in the Federalist Papers , but the idea of a free press stretches back to well before Madison wrote out his ideas on what constitutes a perfect democracy. The origins of the free press in the United States can be traced back to Cato’s letters , a collection of essays written in the 1720s by two British writers, John Trenchard and Thomas Gordon . Using the pseudonym Cato, they published their articles in the British press, criticizing the British monarchy for its corruption and tyrannical practices. Decades later, American colonists felt the effects of these letters during their own struggles against the Crown, Ronald Hamowy, “Cato’s Letters, John Locke, and the Republican Paradigm,” History of Political Thought 11, no. 2 (Summer 1990): 273–294,-94. Accessed May 18, 2021. http://www.jstor.org/stable/26213860. and in 1776, Virginia became the first state to formally adopt a constitutional provision to protect press freedom. David S. Bogen, “The Origins of Freedom of Speech and Press,” Maryland Law Review 42, no. 3 (1983): 429, https://digitalcommons.law.umaryland.edu/cgi/viewcontent.cgi?article=2503&context=mlr. Why is the idea of protecting the press so embedded in the United States’ concept of government, and why is this concept so important? Do other nations protect the media to the same extent, or even more? The next section will examine these questions. The Fourth Estate and Freedom of the Press The importance of a free press can be boiled down to a sentence from esteemed University of Illinois at Chicago lecturer Doris Graber ’s seminal work Mass Media and American Politics : “The mass media . . . serve as powerful guardians of political norms because the American people believe that a free press should keep them informed about the wrongdoings of government.” Doris A. Graber, Mass Media and American Politics , 6th ed. (Washington, DC (Thousand Oaks, CA: CQ Press, 2002), 2. Another common way of defining the media’s role is to say that it acts as the fourth estate , or the unofficial fourth branch of government that checks the others. The term fourth estate is credited to Scottish writer Thomas Carlyle , who wrote, “Burke said there were Three Estates in Parliament; but, in the Reporter’s Gallery yonder, there sat a Fourth Estate more important far than they all.” Thomas Carlyle, “The Hero as a Man of Letters: Johnson, Rousseau, Burns,” in On Heroes, and Hero- Worship, and the Heroic in History (London: James Fraser, Regent Street, 1841), 265 (italics in original). In other words, people look to the media—the fourth estate—to keep the government in check. The role of the media must be protected if it is to carry out that task. Throughout US history, the media has fulfilled this role as intended. In the late 1960s, Rand Corporation analyst Daniel Ellsberg provided classified documents to the New York Times and the Washington Post proving that the government was concealing protracted military involvement in the Vietnam War. The New York Times withstood government pressure and a Supreme Court case to go on to publish a series of articles now known as the Pentagon Papers , which revealed the extent to which the American public had been lied to about the country’s progress in that war. The Watergate scandal is perhaps the most famous example of press freedom and the role of the press as watchdog (another term for the fourth estate ). In this instance, a government informant known as Deep Throat fed Washington Post reporters Bob Woodward and Carl Bernstein confidential information about then president Richard Nixon’s corrupt campaign practices. An ensuing series of investigative pieces by the two journalists revealed multiple abuses of power in Nixon’s reelection campaign, and their reporting ultimately led to the indictment of multiple presidential aides and the eventual resignation of the president himself. Watergate In this video clip, investigative journalists Bob Woodward and Carl Bernstein, editor Barry Sussman, and former executive editor Ben Bradlee recall how, when they worked for the Washington Post in 1972, they broke the story of the Watergate scandal, a story that started with an investigation of a break-in at a Washington, DC, hotel and led to a constitutional crisis, the resignation of President Richard Nixon, and almost 50 criminal convictions. In the case of the Pentagon Papers, the Supreme Court ruled 6–3 that the president’s argument—that prior restraint Legal suppression of material prior to its being published or broadcast on the grounds that it is libelous or harmful was necessary in order to protect national security—was not enough “to abrogate the fundamental law embodied in the First Amendment ,” New York Times Company v. United States, 403 US 713 (1971), https://www.oyez.org/cases/1970/1873. and this is the most important First Amendment case because it addresses the sweeping right of the press and press protections in the 20th century. Watergate showed how a protected press is free to serve one of its main purposes, which is to reveal government misconduct. New Yorker staff writer Richard Harris wrote at the time that, “The press was potentially Mr. Nixon’s enemy—far more than the courts or Congress, because only the press could dig out and tell the story (whatever help reporters might get from the courts or Congress) in a way that would arouse the people to demand an accounting.” Richard Harris, “The Presidency and the Press,” New Yorker , September 24, 1973, https://www.newyorker.com/magazine/1973/10/01/the-presidency-and-the-press. Watchdogs do not have to be journalistic behemoths like the New York Times or the Washington Post. In the United Kingdom, a small, independent newspaper called the Rochdale Alternative Paper revealed decades-long abuse allegations against Liberal Party MP Member of Parliament, equivalent to a congressperson in the United States Cyril Smith . The exposé in the paper, which had a circulation of 8,000 at its highest, Independent Inquiry Child Sexual Abuse, “The 1979 Rochdale Alternative Paper Articles,” in Cambridge House, Knowl View and Rochdale: Investigation Report (London: Crown, 2018), 25, https://www.iicsa.org.uk/publications/investigation/cambridge-house-knowl-view-rochdale/part-b-cambridge-house/1979-rochdale-alternative-paper-articles. eventually led to both a police and an independent government investigation into a child abuse ring that involved several high-level government officials, including MP Peter Morrison, the private secretary to then prime minister Margaret Thatcher . Elizabeth Howcroft, “British Politicians Covered Up Child Sex Abuse for Decades, Inquiry Finds,” Reuters, February 25, 2020, https://www.reuters.com/article/us-britain-abuse/british-politicians-covered-up-child-sex-abuse-for-decades-inquiry-finds-idUSKBN20J1VL. Another way to understand the watchdog function of the press is through the term muckraker , referring to reform-minded investigative journalists during the Progressive Era in the United States (late 1800s to early 1900s) who exposed the wrongdoings of industry leaders. One famous example of a muckraker was Upton Sinclair , who wrote the novel The Jungle based on the corrupt and inhumane practices in American meatpacking companies at the turn of the 20th century. The publication of The Jungle led to governmental action on food safety. In his 1919 work The Brass Check , Sinclair exposed the journalism industry’s penchant for yellow journalism , or journalism that relies on catchy titles and human interest stories to drive sales over well-researched articles or pieces on civic affairs. Sinclair was not afraid to take on media titans such as William Randolph Hearst , who owned the nation’s largest chain of newspapers at the time. Muckraker Upton Sinclair exposed unethical and unsanitary practice in the US meatpacking industry in The Jungle . (credit: Modification of “ Upton Sinclair, portrait bust, studio at 56 Fifth Ave., N.Y. ” by Bain News Service/Library of Congress) Watchdogs and muckrakers act as a check on government action and corruption. They play an important part in exercising the role of a free press as a cornerstone of a functioning democracy. As Yale University professor and member of the Council on Foreign Relations Timothy Snyder writes, “If nothing is true, then no one can criticize power, because there is no basis upon which to do so.” Timothy Snyder, On Tyranny: Twenty Lessons from the Twentieth Century (New York: Tim Duggan Books, 2017), 65. The media allows the public to understand what is happening in government in order to hold elected officials accountable. Or, perhaps more simply put, “A free press is important because it is the freedom upon which all of our other freedoms are contingent.” James Kirchick, “On World Press Freedom Day, Brookings Experts Reflect on the Importance of a Free Press,” Brookings, Brookings Institution, May 3, 2018, https://www.brookings.edu/blog/up-front/2018/05/02/on-world-press-freedom-day-brookings-experts-reflect-on-the-importance-of-a-free-press/. How free is the press? The answer is not black and white, as evidenced by the 2021 World Press Freedom Index . Published every year by Reporters Without Borders , the Freedom Index measures freedom in 180 countries “based on an evaluation of pluralism, independence of the media, quality of legislative framework and safety of journalists in each country and region.” “The World Press Freedom Index,” Reporters Without Borders, accessed May 18, 2021, https://rsf.org/en/world-press-freedom-index. The map in below shows that the press is freer in some countries (in pink and purple on the map) than in others (in blue and green). According to Reporters Without Borders, the free press faces a difficult or very serious situation in nearly half of all countries around the world. (source: Reporters Without Borders; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) According to the index and as reflected in the map, Norway, Finland, Sweden, and Denmark have the freest presses in the world. Notably, Norway tries to discourage media concentration in order to ensure a variety of outlets, something that will be discussed in later parts of this chapter. The 2021 index ranked the United States 44th, after South Africa (32nd), Botswana (38th), and South Korea (42nd). George Mason University professor Sam Lebovic explains that two main factors, the rise of concentration in ownership and increased state secrecy, are responsible for the inadequacy of press freedom in the United States, which is an ongoing and serious problem. Sam Lebovic, “The Inadequacy of American Press Freedom,” American Historian , August 2018, https://www.oah.org/tah/issues/2018/august/the-inadequacy-of-american-press-freedom/. The modern US media faces unprecedented struggles against declining viewership and revenues, which work to limit the number of outlets and decrease the number of working journalists. At the same time, legislation such as the Patriot Act , passed after the September 11, 2001, terrorist attacks, has made it more difficult for the press to verify state information because of increasing pressure on sources not to cooperate and prosecution of journalists who do ascertain information. In addition, the Trump administration further hampered press freedoms through the prosecution of news sources, public statements that discredited journalists, and encouragement of foreign leaders to take steps to restrict their own media. “The Trump Administration and the Media,” Committee to Protect Journalists, April 16, 2020, https://cpj.org/reports/2020/04/trump-media-attacks-credibility-leaks/. The future of press freedom in America, while still unstable due to media concentration and surveillance laws such as the Patriot Act, may show some signs of improvement; in a speech on Press Freedom Day in 2021, President Joe Biden decried the imprisonment of 274 reporters worldwide, criticized the lack of local media outlets, and said that the United States “recognize[s] the integral role a free press plays in building prosperous, resilient, and free societies.” Darragh RocheRoch, “Joe Biden Warns Truth Is ‘Under Attack’ in World Press Freedom Day Message,” Newsweek, May 3, 2021, https://www.newsweek.com/joe-biden-warns-truth-under-attack-world-press-freedom-day-message-1588209. Despite these laudatory comments about a free press, however, it is clear the United States faces challenges in protecting journalists’ ability to fulfill their roles. A study of the United States and Latin America provides an example of how this idea of the importance of a free press is shared across cultures. In the study, journalists representing both cultures shared a common definition of a free press as one that functions without government pressure and to promote social and economic development. Michael B. Salwen and Bruce Garrison, “Press Freedom and Development: US and Latin American Views,” Journalism Quarterly 66, no. 1 (March 1989): 87–92, https://doi.org/:10.1177/107769908906600111. This study considered whether or not a free press is related to increased economic development, a question that to date has not been conclusively answered. While the notion that political freedoms (such as freedom of the press) should naturally encourage economic growth and increased standards of living is a common one, current research has not found conclusive evidence either supporting or refuting the claim. Manuel Vega-Gordillo and José L. Álvarez-Arce, “Economic Growth and Freedom: A Causality Study,” Cato Journal 23, no. 2 (Fall 2003): 199–-215; Abdullah Alam and Syed Zulfiqar Ali Shah, “The Role of Press Freedom in Economic Development: A Global Perspective,” Journal of Media Economics 26, no. 1 (2013): 4–20. There is more of a consensus on the benefits of a free press when it comes to preventing corruption. Studies of press freedom around the world, conducted by scholars in England, Argentina, and Australia, confirm this theory. Timothy Besley and Robin Burgess, “The Political Economy of Government Responsiveness: Theory and Evidence from India,” Quarterly Journal of Economics 117, no. 4 (November 2002): 1415–1451; Sebastian Freille, M. Emranul Haque, and Richard Kneller, “A Contribution to the Empirics of Press Freedom and Corruption,” European Journal of Political Economy 23, no. 4 (December 2007): 838–862; Shyamal K. Chowdhury, “The Effect of Democracy and Press Freedom on Corruption: An Empirical Test,” Economics Letters 85, no. 1 (October 2004): 93–101. In this way, the watchdog role that the press plays is based on democratic ideals and has real-world effects for the public. The Mediated Nature of Political Information The political information most people receive is mediated information . What does this mean? Unless they work directly in government, most citizen’s understanding of politics comes completely from the media, whether via television news, podcasts, or social media feeds. The media may be a gatekeeper, but it is also a storyteller. As such, it is important to realize that what people see in the media is actually a manufactured view of the political world. Journalists and others who create the news follow routines and are influenced by institutional values that manifest themselves in media content. As Columbia University professor Herbert Gans writes in his study of the American media, “The news does not limit itself to reality judgments; it also contains values, or preference statements. This in turn makes it possible to suggest that there is, underlying the news, a picture of nation and society as it ought to be.” Herbert J. Gans, Deciding What’s News: A Study of CBS Evening News, NBC Nightly News, Newsweek, and Time (New York: Vintage Books, 19801979), 39. Gans acknowledges that professional journalists try to be objective, yet the news does in fact make judgments and value statements. For example, crime news alerts viewers to the idea that there are undesirable actors within society and that criminals should be punished. Judgments and value statements such as these are different from political bias; while some news outlets are overtly liberal or conservative, Gans’s study shows that the media produces stories with cultural values that people may not detect because they are so used to seeing stories presented this way. For example, according to Gans, ethnocentrism and altruistic democracy are two of the key enduring values in the news. Ethnocentrism in the news refers to the idea that the American media values the United States above all other nations. This manifests most obviously in war coverage, where the press rarely questions American involvement—and to do so would be unpatriotic. In a similar vein, Gans explains that the American news media emphasize an altruistic democracy , the ideal held up by the media that politics should be based on public service and for the public interest. Ibid., 43. In these ways, the news makes statements about what is right and what is wrong and presents political news through these lenses. Journalists also share other professional values as to what makes a “good” news story, such as proximity, negativity, scope (how big is the story?), timeliness, and unexpectedness (novelty). Monika Bednarek and Helen Caple, The Discourse of News Values: How News Organizations Create Newsworthiness (New York: Oxford University Press, 2017), 3. Because journalists share these professional values, there is a certain homogeneous quality to the news, otherwise known as pack journalism . This means that people receive the same type of news story repeatedly, though this has been changing since the advent of online news, a topic that will be discussed later in the chapter. Journalists’ common ideas about what should be in the news and why color their coverage and presentation of the news—and, as a result, the public’s perception of politics. Members of the international press corps vie for the same story. (credit: “Members of the International Press Corps at the White House” by Ben Solomon/US Department of State/GPA Photo Archive/Flickr, Public Domain) It is important here to note that the concept of news values differs across countries—what is newsworthy in the United States may not be in other nations—and the role of the media differs as well. A study on the news in Japan found that strong cultural forces and local needs drive how news is produced and delivered. Lisbeth Clausen, Global News Production (Copenhagen: Copenhagen Business School Press, 2003). Other scholars have found that Western news organizations highlight human interest stories, while Arabic news focuses more on social responsibility and Islamic values. Cristina Archetti, “Comparing International Coverage of 9/11: Towards an Interdisciplinary Explanation of the Constructionof News,” Journalism 11, no. 5 (October 2010): 567–-588. University of Leicester Professor Vincent Campbell echoes the sentiment that news organizations in different countries are fueled by different values and that this influences what stories their audiences see. In authoritarian countries, journalists focus less on performing the watchdog role and more on promoting state activities. Vincent Campbell, Information Age Journalism: Journalism in an International Context (London: Arnold, 2004), 123. This is the case in countries such as North Korea and China, where the state government runs the media. Related to the idea that the media in large part decides what is a good news story is the concept of the media’s gatekeeping role and its agenda-setting powers. In other words, according to agenda-setting theory , the media decides both what to ignore or filter out and what to show the public. As University of Texas professor Maxwell McCombs and University of North Carolina professor Donald Shaw write, “In choosing and displaying news, editors, newsroom staff, and broadcasters play an important part in shaping political reality. Readers learn not only about a given issue, but also how much importance to attach to that issue from the amount of information in a news story and its position.” Maxwell E. McCombs and Donald L. Shaw, “The Agenda-Setting Function of Mass Media,” Public Opinion Quarterly 36, no. 2 (Summer 1972): 176, https://www.jstor.org/stable/2747787. Whether it is a producer who selects the topics for the evening news or an algorithm that creates a social media news feed, people know what is “news” by what is fed to them, they know what is important based on how often it gets airtime, and they understand that there are lead stories and stories that don’t matter very much. The public doesn’t make these decisions; professionals within the news industry make them for the public. (Later parts of this chapter will discuss how this power dynamic has changed thanks to social media and how, in many ways, it is no longer media professionals who select what the public sees.) If the media decides which stories to present, it also has a hand in deciding how stories are presented. According to framing theory , the way the media frames political information can affect people’s understanding of it. University of Illinois professor David Tewksbury and University of Wisconsin professor Dietram A. Scheufele explain: “Artists know that the frame placed around a painting can affect how viewers interpret and react to the painting itself. . . . Journalists—often subconsciously—engage in essentially the same process when they decide how to describe the political world. They choose images and words that have the power to influence how audiences interpret and evaluate issues and policies.” David Tewksbury and Dietram A. Scheufele, “News Framing Theory and Research,” in Media Effects, Advances in Theory and Research , edited by Mary Beth Oliver, Arthur A. Raney, and Jennings Bryant, 4th ed. (New York: Routledge, 2020), 51. For example, a study on gubernatorial races found that female candidates were more likely to be framed in terms of personal characteristics than their male counterparts, who were more likely to be framed in terms of their positions on policy issues. James Devitt, “Framing Gender on the Campaign Trail: Female Gubernatorial Candidates and the Press,” Journalism and Mass Communication Quarterly 79, no. 2 (June 2002): 445–463 . In a separate study, researchers found that one common way the Dutch national media framed news on the European Union (EU) was in terms of assigning responsibility for social problems to the government. This study suggests that the Dutch media’s presentation of political news reflects the public expectation that the government will provide social welfare programs. Claes H. De Vreese, Jochen Peter, and Holli A. Semetko, “Framing Politics at the Launch of the Euro: A Cross-National Comparative Study of Frames in the News,” Political Communication 18, no. 2 (2001): 107–122, https://doi.org/10.1080/105846001750322934. By highlighting certain aspects of a story and ignoring others, frames can affect people’s judgments and opinions on policy issues, and just as with agenda setting, elected officials fight to make sure they are framed in the correct light. The public, and individual viewers, should know that while the media is a critical tool that aids people’s political decision-making, it is guided by professional values that dictate the content. Individuals’ views on politics can sometimes be out of their control, but they can work to assemble a better picture of the world by turning to a variety of media outlets and becoming aware of what goes into story selection. While internal pressures (such as professional norms) or external forces (such as authoritarian governments) can influence how the media portrays information, ownership can also affect what the public sees. The next section will examine the different types of media—and, perhaps more importantly, who owns them and how this affects their role in the political world. The mass media serve as powerful guardians of political norms because the free press should keep the public informed about the wrongdoings of government. Another common way of defining the media’s role is to say that it acts as the fourth estate, or the unofficial fourth branch of government that checks the others. Another term for this role is watchdog. In order for the press to fulfill this important role, however, countries must protect the freedom of the press—and some countries do a better job than others. Protecting the press is also important because it serves as an information conduit between the government and the people. The vast majority of people cannot acquire information on governmental affairs themselves and rely on the press to act as a mediator. However, the media report stories based on their own journalistic values and practices, and this can affect what makes the news agenda and how pieces are framed. agenda-setting theory the theory that the media’s power rests in its ability to decide which topics the public will see and which ones they won’t altruistic democracy the ideal held up by the media that politics should be based on public service and serve the public interest Cato’s letters a collection of essays written in the 1720s by British writers John Trenchard and Thomas Gordon under the pseudonym Cato in order to criticize the British monarchy for its corruption and tyrannical practices ethnocentrism in the context of the news, the idea that the media of a country values that country above all other nations fourth estate a term for the media that casts it as an unofficial fourth branch of government that checks the other branches of government framing theory the theory that the way the media frames political information can affect people’s understanding of it gatekeeping the process by which information and topics are filtered and selected by the media mediated information information that is not received directly from the source, such as the government, but comes via a third party, such as the media pack journalism the idea that journalists sharing professional values can lead to the homogeneous nature of news content watchdog the role of the press to act as a check on the government to make sure that it is appropriately serving its purpose", "section": "The Media as a Political Institution: Why Does It Matter?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Types of Media and the Changing Media Landscape Learning Outcomes By the end of this section, you will be able to: Discuss the types of media and their history. Explain how ownership affects both media content and consumers and why it is relevant in the study of politics. Compare and contrast state versus privately owned media. The oldest known printed book in the world is the Diamond Sutra , a Buddhist text that was printed using fixed wooden blocks in 868 CE. Jason Daley, “Five Things to Know about the Diamond Sutra, the World’s Oldest Dated Printed Book,” Smithsonian , May 11, 2016, https://www.smithsonianmag.com/smart-news/Five-things-to-know-about-diamond-sutra-worlds-oldest-dated-printed-book-180959052/. In the 11th century, roughly a thousand years later, Chinese inventor Bi Sheng developed movable type , “Printing & Movable Type,” China in 1000 CE: The Most Advanced Society in the World, Asia for Educators, Columbia University, accessed November 2, 2021, http://afe.easia.columbia.edu/songdynasty-module/tech-printing.html. a system of movable letters that could be reused to repeatedly print text. Movable type changed the course of human knowledge and history because it allowed for faster dissemination of information, cheaper printing, and the shareability of printed material. This newfound ability for people to share knowledge challenged traditional authority, and in the 16th century, Pope Alexander VI prohibited unlicensed printing in an attempt to suppress publications that promoted ideas or threatened the orthodox faith. Cyndia Susan Clegg, “Tudor Literary Censorship,” Oxford Handbooks Online, Oxford University Press, October 2014, https://doi.org/10.1093/oxfordhb/9780199935338.013.9; Md Nurus Safa et al., “Blog as a Medium of Freedom of Expression,” International Journal of Innovation and Scientific Research 3, no. 1 (June 2014), 1–-9, http://www.ijisr.issr-journals.org/issue.php?issue=5. The Chinese Invention of Printing and Movable Type The Chinese invented paper, printing, and movable type. This video shows how Chinese movable type was developed and how it works. The pope’s actions show that, as English writer and politician Edward Bulwer-Lytton wrote, “the pen is mightier than the sword.” That is, the ability to spread information freely was an existential threat to traditional power structures. The mass availability of printed material reflects the democratization of knowledge, as education and books were no longer exclusive artifacts of the elite. The media landscape today is very different from when Bi Sheng first created movable type. This section examines the different types of media that exist today as well as recent significant changes in the media environment—and how these changes affect the media’s ability to play the role of gatekeeper and information provider. Types of Media and Their History The media can be categorized into four broad groups: print, radio, television, and the Internet. Print media includes newspapers, magazines, and books. This section will briefly discuss the history and current state of each medium as well as how ownership of these industries affects the political world. Newspapers continue to thrive in parts of the developing world. (credit: “Day 15: The Press” by Lindsey Turner/Flickr, CC BY 2.0) According to Cornell University professor Theodore Lowi , Johns Hopkins University professor Benjamin Ginsberg , and Harvard University professors Kenneth Shepsle and Stephen Ansolabehere , print media is important for three primary reasons. First, other media—including television, radio, and now online news aggregators and podcasts—rely on print media to set the news agenda with original coverage. Second, print media provides more context and details than other forms of media. Finally, print media (and its online iterations, such as online versions of newspapers) are the prime information source for the elite . Theodore J. Lowi et al., American Government:, Power and Purpose , 15th ed. (New York: W. W. Norton, 2018). While some have proclaimed that “print is dead,” there is plenty of evidence to the contrary: though newspaper circulation has declined, unique visitors to news websites have increased. “Newspapers Fact Sheet,” Pew Research Center , June 29, 2021, https://www.pewresearch.org/journalism/fact-sheet/newspapers/. What has emerged is a symbiosis of print and online media, where traditional flagship news sources such as the New York Times and various magazines move online to recapture waning audiences, while some previously online-only sources launch physical magazines. In December 2020, Forbes ran an aptly named article titled “Stop Saying Print Journalism Is Dead. 60 Magazines Launched during This Crazy Year,” Andy Meek, “Stop Saying Print Journalism Is Dead. 60 Magazines Launched during This Crazy Year,” Forbes , December 30, 2020, https://www.forbes.com/sites/andymeek/2021/12/30/stop-saying-print-journalism-is-dead-60-magazines-launched-during-this-crazy-year/. pointing out that people still like print, and, as University of Texas professor Iris Chyi explains, the reason for this is biological; tangible material leaves a deeper footprint in the brain. H. Iris Chyi, Trial and Error: US Newspapers’ Digital Struggle toward Inferiority , (Pamplona: Servicio de Publicaciones de la Universidad de Navarra, 2013), 80, https://dadun.unav.edu/handle/10171/42076. A study of democratic European countries confirmed the same phenomenon: print media is still resilient in the face of an expanding online environment. Hillel Nossek, Hanna Adoni, and Galit Nimrod, “Is Print Really Dying? The State of Print Media Use in Europe,” International Journal of Communication 9 (2015): 365–385, https://ijoc.org/index.php/ijoc/article/view/3549/1306. Commercial Observer reporter Chava Gourarie explains the phenomenon this way: “It seems print and digital can co-exist after all. The new won’t replace the old. The new will hammer the old, deform it, reform it, reconceive, reconfigure, but the old won’t disappear.” Chava Gourarie, “Print Isis the New ‘New Media,’” Columbia Journalism Review, December 7, 2015, https://www.cjr.org/business_of_news/back_in_print.php. Later parts of this chapter will further investigate the impact of the Internet on traditional media. Print media has not suffered as much in other parts of the world, particularly in developing countries. A 2011 Pew Research Center study found that “print newspapers are thriving . . . in countries with untapped and emerging population segments. In some parts of the world, such as India, reading a print newspaper is a prestigious activity, in much the same way that it was for immigrants a century ago in the United States,” Laura Houston Santhanam and Tom Rosenstiel, Why US Newspapers Suffer More Than Others (Washington, DC: Pew Research Center, March 2011), 3, https://www.pewresearch.org/journalism/2011/03/19/why-u-s-newspapers-suffer-more-than-others/. and increased literacy in developing countries also contributes to this trend. Ibid., 13. Newspaper circulation increased by double-digits in South America, Asia, and Africa between 2004 and 2009. Erin Conway-Smith, “Read Allall about It: Newspapers Are Thriving!,” The World, PRX, October 20, 2012, https://www.pri.org/stories/2012-10-20/read-all-about-it-newspapers-are-thriving. In the first half of the 20th century, before the rise of television, radio was a prominent source of news and entertainment in the United States. (credit: “Vintage Zenith Bakelite AM/FM Table Radio, 7 Tubes, Model H72372, circa 1951” by Joe Haupt/Flickr, CC BY 2.0) The first commercial radio station was born in the United States on November 2, 1920, when Pittsburgh’s Westinghouse Electric and Manufacturing Company transmitted the first scheduled broadcast, announcing live returns of the presidential election contest between Warren G. Harding and James Cox . Westinghouse obtained the first US commercial broadcasting station license in the same year, and seven years later, the Radio Act of 1927 created the Federal Radio Commission to oversee radio broadcasting, replacing the Department of Commerce in its oversight duties. “History of Commercial Radio,” Federal Communications Commission, last modified April 12, 2021, https://www.fcc.gov/media/radio/history-of-commercial-radio. This marked the beginning of what has come to be known as the golden age of radio, from the late 1920s until the early 1950s, when radio broadcasts were millions of Americans’ primary source of news and entertainment. “The Development of Radio,” American Experience, WGBH Educational Foundation, last modified September 23, 2019, https://www.pbs.org/wgbh/americanexperience/features/rescue-development-radio/. Television would soon overtake radio as the primary form of entertainment in the home, but as of 2019, radio programming still reached more Americans than any other media platform. Audio Today 2019: How America Listens (New York: Nielsen, June 2019), https://www.nielsen.com/wp-content/uploads/sites/3/2019/06/audio-today-2019.pdf. While the United States is considered the largest and most important radio market, other developed countries constitute important markets for radio broadcasters. The United Nations continues to celebrate the radio on World Radio Day , hailing the humble technology as a “vector of freedom” because radio supplies low-cost information and remains a widely used technology around the globe. “World Radio Day Marks Evolution, Innovation and Connection of ‘Vector of Freedom,” UN News, United Nations, February 13, 2021, https://news.un.org/en/story/2021/02/1084652. The United States represents more than half of all annual global radio revenue. (sources: Ofcom, Canadian Radio-Television and Telecommunications Commission, Statista; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The first black-and-white television was introduced at the 1939 World’s Fair, Seth Berkman, “A Brief History of Television, by Decade,” Newsweek, July 12, 2021, https://www.newsweek.com/brief-history-television-decade-1608854. and in 1941, the Federal Communications Commission (FCC) , the US government commission that currently oversees radio, television, wire, and now the Internet, authorized commercial broadcasting in the United States. “History of Commercial Radio.” The introduction of color television quickly followed in the early 1950s, and by the 1980s, around 90 percent of American households had a television. Rita Gunther McGrath, “The Pace of Technology Adoption Is Speeding Up,” Harvard Business Review , November 25, 2013, https://hbr.org/2013/11/the-pace-of-technology-adoption-is-speeding-up. This era is what Queensland University of Technology professor Amanda D. Lotz terms “the network era,” when three major television networks had a fixed schedule and provided the majority of media content. During this era, most homes had one television, and television was a means of “bring[ing] the outside world into the home.” Amanda D. Lotz, “What Is US Television Now?,” Annals of the American Academy of Political and Social Science 625 (September 2009): 51, https://www.jstor.org/stable/40375904. Coaxial cable television was first developed in the 1930s to provide television to rural areas that could not receive broadcast signals. Cable television became more widespread starting in the 1950s and culminating in the 1970s with the introduction of Home Box Office (HBO) , which fought with the FCC to be allowed to provide for-fee television content through a cable network. “History: Cable Television,” Make ’Em‘Em Laugh: The Funny Business of America, Educational Broadcasting Corporation, December 1, 2008, https://www.pbs.org/wnet/makeemlaugh/featured/history-cable-television/33/. Steady growth of the industry peaked in the early 2000s, and by 2010, more than 105 million Americans—or about 90 percent of homes—paid for cable television services. Brad Adgate, “The Rise and Fall of Cable Television,” Forbes , November 2, 2020, https://www.forbes.com/sites/bradadgate/2020/11/02/the-rise-and-fall-of-cable-television/. Yet the number of Americans who said they watched television via cable or satellite plunged from 76 percent in 2015 to 56 percent in 2021, Lee Rainie, “Cable and Satellite TV Use Has Dropped Dramatically in the US since 2015,” Pew Research Center, March 17, 2021, https://www.pewresearch.org/fact-tank/2021/03/17/cable-and-satellite-tv-use-has-dropped-dramatically-in-the-u-s-since-2015/. while a recent Deloitte consulting study found that 82 percent of respondents subscribed to a streaming service. Kevin Westcott et al., “Digital Media Trends, 15th Edition: Courting the Consumer in a World of Choice,” Deloitte Insights , April 16, 2021, https://www2.deloitte.com/us/en/insights/industry/technology/digital-media-trends-consumption-habits-survey/summary.html. The trend of moving from traditional television to streaming or mobile services can be seen elsewhere in the world, though it is progressing at a slower pace. In India in 2018, 197 million households had televisions, while only a fraction of that number (60 million) utilized the country’s most popular on-demand media programming. Suneera Tandon, “What Netflix? Indians Are Still Glued to the Idiot Box,” Quartz India, July 28, 2018, https://qz.com/india/1341882/tv-viewership-rising-in-india-despite-netflix-hotstar/. At the beginning of the 21st century, only about 3% of the population of Peru had Internet access. The Internet has spread rapidly, and while about 43% of the population of Peru still did not have regular Internet access in 2019, Internet cafés like this one have sprung up in Peru and around the world, connecting people and places like never before. (credit: “Café Internet” by Daniel Lobo/Flickr, Public domain) The Advanced Research Projects Agency Network (ARPANET) , which was established through the US Department of Defense in the early 1960s, built on research conducted by the Massachusetts Institute of Technology to fund and administer one of the first iterations of the Internet . Barry M. Leiner et al., Brief History of the Internet (Reston, VA: Internet Society), 1997, https://www.internetsociety.org/internet/history-internet/brief-history-internet/. By 1969, ARPANET mainly connected research universities to one another, but at the urging of the telecommunication and computer industry, the government was persuaded to open up the network for public use. In 1993, the European Organization for Nuclear Research (CERN) put the technology into the public domain “The Birth of the Web,” CERN, Accessed August 17, 2021, https://home.cern/science/computing/birth-web. thanks to the research of MIT professor Tim Berners-Lee , who created the framework for the World Wide Web and the use of links and hyperlinks. The Internet has of course altered the way people interact with every communication medium. Never have people been able to access so much information at once from one place, be it with a laptop or a smartphone. As of 2021, 97 percent of all adults owned a cell phone, and 87 percent owned a smartphone; over 95 percent of Americans ages 18 to 49 reported using a smartphone. “Mobile Fact Sheet,” Pew Research Center, April 7, 2021, https://www.pewresearch.org/internet/fact-sheet/mobile/. A 2018 survey found that, worldwide, a median of 76 percent of the populations of 18 advanced economies had smartphones compared to just 45 percent in emerging economies, with South Korea reporting the highest smartphone adoption rate at 95 percent. Kyle Taylor and Laura Silver, Smartphone Ownership Is Growing Rapidly Around the World , but Not Always Equally (Washington, DC: Pew Research Center, 2019), 3, https://www.pewresearch.org/global/2019/02/05/smartphone-ownership-is-growing-rapidly-around-the-world-but-not-always-equally/. In 2020, more than 80 percent of Americans got their news from a smartphone, while only 10 percent got news from a printed newspaper. Elisa Shearer, “More Than Eight- in-Ten Americans Get News from Digital Devices,” Pew Research Center, January 12, 2021, https://www.pewresearch.org/fact-tank/2021/01/12/more-than-eight-in-ten-americans-get-news-from-digital-devices/. Of those using online news, more than half of Americans said they get their news from social media “at least sometimes,” and a third of Americans stated that they regularly get news from Facebook . Elisa Shearer and Amy Mitchell, News Use across Social Media Platforms in 2020 (Washington, DC: Pew Research Center, January 2021), 4–5, https://www.pewresearch.org/journalism/2021/01/12/news-use-across-social-media-platforms-in-2020/. Later parts of this chapter will investigate the role of social media in more depth. Ownership of the Media Between print media, radio, television, and streaming services, it feels like people have a lot of choice when it comes to media. However, the United States and Europe have what is called media concentration , where a few firms own the majority of channels and content. In fact, five companies own and produce 90 percent of what Americans watch today. Nickie Louise, “These 6 Corporations Control 90% of the Media Outlets in America. The Illusion of Choice and Objectivity,” Tech Startups, September 18, 2020, https://techstartups.com/2020/09/18/6-corporations-control-90-media-america-illusion-choice-objectivity-2020/. (Viacom and CBS completed a merger in December 2019.) Another word to describe this type of media ownership pattern, in which a small number of corporations dominate the market, is an oligopoly . Five major multinational corporations control about 90 percent of US media markets. A similar oligopoly exists in Europe . (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Is media concentration a cause for concern? Columbia Business School professor Eli Noam argues that larger corporations have the money to invest in good journalists and foster reader loyalty. Eli M. Noam, Media Ownership and Concentration in America (New York: Oxford University Press, 2009), 17. Since being acquired by Amazon owner Jeff Bezos , the Washington Post has increased hiring and has shown profitability, unlike many other newspapers. Brad Tuttle, “It Takes Jeff Bezos 26 Seconds to Make What One of His Washington Post Employees Earns in a Year,” Money , August 15, 2018, https://money.com/jeff-bezos-net-worth-washington-post/. However, because these companies are privately owned, it is not irrational to assume that they are profit-seeking businesses that look to maximize earnings over other, perhaps loftier, goals. As such, these companies may choose easy-to-sell programming over content with high information value. Providence College professor Matt Guardino writes, “When control over the media is concentrated in fewer and fewer hands, owners may be able to use their corporations’ powerful platforms to amplify propaganda driven by their own political views or business interests.” Matt Guardino, “How Corporate Media Mergers Weaken News Coverage,” Scholars Strategy Network , October 22, 2019, https://scholars.org/contribution/how-corporate-media-mergers-weaken-news-coverage. In addition, profit maximization can lead to budgetary constraints such as reduced foreign news coverage or other staffing cutbacks, which can affect the content of the news and, by extension, what information citizens and voters can access. A 2018 study found that “ownership chains” had “a homogenizing effect on the content of newspapers’ coverage of foreign policy, resulting in coverage across co-owned papers that is more similar in scope (what they cover), focus (how much ‘hard’ relative to ‘soft’ news they offer), and diversity (the breadth of topics they include in their coverage of a given issue) relative to . . . papers that are not co-owned.” Matthew A. Baum and Yuri M. Zhukov, “Media Ownership and News Coverage of International Conflict,” Political Communication 36, no. 1 (2019): 36, https://doi.org/10.1080/10584609.2018.1483606. As Senior Research and Teaching Associate at University of Zurich Edda Humprecht notes, “Large media corporations are assumed to offer superficial or scandalizing news content in order to attract large audiences,” Edda Humprecht, “Ownership of News Media,” in The International Encyclopedia of Journalism Studies , edited by Tim P. Vos et al. (Hoboken, NJ: Wiley-Blackwell, 2019), 3–4, https://doi.org/10.1002/9781118841570.iejs0066. and this idea has been backed by various empirical studies that point to the reduction of more serious news in favor of content with what is perceived to be higher entertainment value. Stanford researcher Mark Cooper iterates this point: “Concentration of ownership may foster entertainment variety, but it undermines diversity of information and journalistic enterprise.” Mark Cooper, Media Ownership and Democracy in the Digital Information Age: Promoting Diversity with First Amendment Principles and Market Structure Analysis (Stanford, CA: Center for Internet & Society, Stanford Law School), 18, http://cyberlaw.stanford.edu/attachments/mediabooke.pdf. He also notes that “concentration of media ownership reduces the diversity of local reporting and gives dominant firms in local markets an immense amount of power to influence critical decisions. Consolidation in national chains squeezes out the local point of view.” Ibid., 6. A study of the Sinclair Broadcasting Group , which provides news to more than 70 percent of American households, found that news outlets under concentrated ownership focused on national news over local interest, produced slightly more politically conservative content, and resulted in a small downward shift in viewership. Gregory J. Martin and Joshua McCrain, “Local News and National Politics,” American Political Science Review 113, no. 2 (May 2019): 372–384, https://doi.org/10.1017/S0003055418000965. This is troubling when considered alongside research that finds that smaller station groups produce higher-quality newscasts than stations owned by larger companies—by a significant margin. “Does Ownership Matter in Local Television News?,” Pew Research Center, April 29, 2003, https://www.pewresearch.org/journalism/2003/04/29/does-ownership-matter-in-local-television-news/. It is not difficult to see how ownership affects not just what people see but also what they consider important—and how that can affect the public’s view of politics. The picture of media ownership in Europe is similar to that in the United States in that six corporations also own the majority of media content across Europe, prompting the European Union to commission the 2020 report Monitoring Media Pluralism in the Digital Era Elda Brogi et al., Monitoring Media Pluralism in the Digital Era: Application of the Media Pluralism Monitor in the European Union, Albania and Turkey in the Years 2018–2019 (Fiesole, Italy: European University Institute, 2020), https://cmpf.eui.eu/mpm2020-results/. and to issue a warning about the threat that media concentration poses to pluralism and diversity of views. The European Federation of Journalists echoes this concern: “Many politicians, particularly those in the European Parliament, have repeatedly expressed concerns over the growth of huge media companies that are exercising unprecedented levels of political and commercial influence. In the process they threaten diversity and pluralism in society.” European Federation of Journalists, Media Power in Europe: The Big Picture of Ownership (Brussels: International Federation of Journalists, 2005), 4, https://www.ifj.org/media-centre/reports/detail/media-power-in-europe-the-big-picture-of-ownership/category/human-rights.html. Private ownership is not the only media model. In many countries outside of the United States, the media are either partially or wholly owned by the state with positive effects. For example, the British Broadcasting Corporation (BBC), the world’s first public broadcaster, Sue Gardner, Public Broadcasting: Its Past and Its Future (Miami: Knight Foundation, 2017), 3, https://knightfoundation.org/public-media-white-paper-2017-gardner/. draws its funding via the government in the form of a user fee while not having any direct government intervention when it comes to programming or editing. Many hail the BBC as a model for public ownership because of its high-quality news, content, and accessibility. Countries that have strong public broadcasters such as the BBC have been shown to “have higher levels of social trust, and the people who live in them are less likely to hold extremist political views.” Ibid., 6–7. Public news media continue to play a particularly prominent role in western Europe, where public news stations, including the BBC in the UK, Sveriges Television (SVT) and Sveriges Radio (SR) in Sweden, and ARD in Germany, continue to be top sources for news. Katerina Eva Matsa, “Across Western Europe, Public News Media Are Widely Used and Trusted Sources of News,” Pew Research Center, June 8, 2018, https://www.pewresearch.org/fact-tank/2018/06/08/western-europe-public-news-media-widely-used-and-trusted/. However, in poorer, autocratic nations, state ownership of the media has been shown to undermine political and economic rights and freedoms. Simeon Djankov et al., “Who Owns the Media?,” Journal of Law & Economics 46, no. 2 (October 2003): 341–382, https://www.jstor.org/stable/10.1086/377116. In the United States, the two highest-profile public news outlets, National Public Radio (NPR) and the Public Broadcasting Service (PBS), rank far lower than private news outlets in terms of listeners and viewership. Jeffrey Gottfried, Michael Barthel, and Amy Mitchell, Trump, Clinton Voters Divided in Their Main Source for Election News (Washington, DC: Pew Research Center, January 2017), https://www.pewresearch.org/journalism/2017/01/18/trump-clinton-voters-divided-in-their-main-source-for-election-news/. The media can be categorized into four distinct groups: print, radio, television, and the Internet. Each group has its own place in history, and its influence over the audience has ebbed and flowed over time. The majority of the media in the United States and much of Europe is owned by six major firms, and this type of oligopoly can have effects on people’s political lives. Concentration of ownership has resulted in homogeneous content, a move away from both local and international news to more entertainment and national news, and (in some instances) a movement toward more conservative political news content. Though private ownership of the media has resulted in an oligopoly, there are other models of ownership across the globe. Countries such as Britain and Japan have well-respected and widely used state-sponsored media channels, although such state-sponsored media are relatively unpopular in the United States. Federal Communications Commission (FCC) the US government commission that currently oversees radio, television, wire, and Internet media concentration the idea that ownership of the media rests in the hands of the few, taking the form of an oligopoly movable type a system of movable letters that can be reused to repeatedly print text oligopoly ownership by a few individuals or entities", "section": "Types of Media and the Changing Media Landscape", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Do Media and Elections Interact? Learning Outcomes By the end of this section, you will be able to: Describe why the media are needed to cover elections and how they do it. Explain the importance of the media for candidates running for election. Detail the pros and cons of advertising in elections. The Scream That Doomed Howard Dean Howard Dean’s 2004 presidential campaign had been building momentum until this now-infamous speech doomed his campaign. Most Americans know about Martin Luther King Jr.’s “I Have a Dream” speech, but do you know about Howard Dean ’s “I Have a Scream” speech? During the 2004 presidential campaign, Democratic candidate and former Vermont governor Howard Dean led many polls for the Democratic presidential nomination. The press seemed to adore the progressive, anti-war candidate, though he placed third in the Iowa caucus behind Massachusetts Senator John Kerry and North Carolina Senator John Edwards . In order to rally his supporters, Dean gave a speech at Val Air Ballroom in West Des Moines, Iowa. Perhaps trying to project an image of optimism and future victory, Dean promised that his campaign was “going to South Dakota and Oregon and Washington and Michigan.” He then assured the crowd that he would ultimately go “to Washington, DC, to take back the White House” Howard Dean, “Howard Dean’s Remarks to His Supporters,” New York Times , January 19, 2004, https://www.nytimes.com/2004/01/19/politics/campaigns/howard-deans-remarks-to-his-supporters.html. —before releasing a long, shrill scream into his microphone. That scream and that moment, now referred to as Dean’s “I Have a Scream” speech, were played 633 times by national networks in the ensuing days, Jack Holmes, “The Dean Scream: An Oral History,” Esquire , January 29, 2016, https://www.esquire.com/news-politics/a41615/the-dean-scream-oral-history/. with CNN eventually issuing a formal apology for playing it too many times. Joshua Gunn, “On Speech and Public Release,” Rhetoric and Public Affairs 13, no. 2 (Summer 2010): 1–41, https://www.jstor.org/stable/41940491. Some refer to this event as the first viral political event, and many consider it the moment when the Dean campaign died. What it illustrates is the sometimes adversarial, sometimes symbiotic relationship between elected officials and the media. Media Coverage of Elections and Elected Officials As Stanford University professor Shanto Iyengar writes, “For most Americans, the media are their only contact with the world of public affairs.” Shanto Iyengar, Media Politics: A Citizen’s Guide , 3rd ed. (New York: W. W. Norton, 2016), 2. Iyengar explains that one of the media’s critical functions is to provide a forum for candidates and parties to discuss their platforms and qualifications. Earlier parts of this chapter have detailed the media’s roles as watchdog and storyteller; when it comes to elections, they also act as information provider. Without the media, it would be very difficult for voters to assess which candidates to vote for and whether or not to keep incumbent legislators in office. This means, however, that elected officials can try to manipulate the media to make themselves seem more appealing, and the media also must be careful in how they portray candidates and the electoral process—all topics that will be covered in more detail in the following sections. One of the most significant powers of the media is determined by both its reach and how it acts as an agenda setter, alerting people to important issues. By constantly putting political issues and elections in their news cycle, the media reinforce the idea that participating in democracy is important. However, while Americans feel informed by coverage of campaigns, they have “lukewarm” feelings about the breadth of coverage, noting a lack of attention to substantial issues. Jeffrey M. Jones, “Americans Feel Informed about the Presidential Election—but Are Lukewarm on Media Coverage,” Knight Foundation, October 28, 2020, https://knightfoundation.org/articles/americans-feel-informed-about-presidential-election-but-are-lukewarm-on-media-coverage/. This is a common refrain from scholars as well. Decades of academic research have shown that the news media engage too often in the horse-race coverage aspect of elections, reporting on who is ahead and who is behind rather than on substantial issues or policy stances. Harvard professor Thomas Patterson writes that the press is “obsessed with the horse race” of elections, and this, coupled with the unique and prolonged length of the US primaries and general election, makes the coverage seem even more endless in nature. Thomas E. Patterson, “News Coverage of the 2016 Presidential Primaries: Horse Race Reporting Has Consequences,” Shorenstein Center on Media, Politics and Public Policy, Harvard Kennedy School, July 11, 2016, https://shorensteincenter.org/news-coverage-2016-presidential-primaries/. For example, in the 2020 election, the earliest caucus was February 3, and the earliest primary was February 11—nine months before the general election. “2020 State Primary Election Dates,” National Conference of State Legislatures, accessed August 17, 2021, https://www.ncsl.org/research/elections-and-campaigns/2020-state-primary-election-dates.aspx. However, this does not take into account what is called the “invisible primary,” when potential candidates begin to raise money for their campaigns, often months before the actual campaign season starts. The US campaign season feels interminable, especially when compared to countries such as Singapore, where general elections must take place in the span of three months once Parliament is dissolved. “Parliamentary Elections,” Elections Department Singapore, Government of Singapore, last updated February 16, 2021, https://www.eld.gov.sg/elections_parliamentary.html. Horse-race coverage has been linked to greater levels of distrust of both candidates and the media themselves. It gives an advantage to novel candidates (think former professional wrestler Jesse Ventura , who ran for and won the office of Minnesota governor in 1998) and ignores third-party candidates (such as Gary Johnson , who ran for president in 2020 as the Libertarian Party candidate.) Denise-Marie Ordway, “The Consequences of ‘Horse Race’ Reporting: What the Research Says,” The Journalist’s Resource, Shorenstein Center on Media, Politics and Public Policy, Harvard Kennedy School, September 10, 2019, https://journalistsresource.org/politics-and-government/horse-race-reporting-election/. This problem is not unique to the United States; a study of 27 European countries found that horse-race coverage was prominent in party systems with close electoral competitions and in countries with large media markets, Susan Banducci and Chris Hanretty, “Comparative Determinants of Horse-Race Coverage,” European Political Science Review 6, no. 4 (November 2014): 621–640. and another study found similar criticisms of Australian election coverage. Joel Meares, “Jay Rosen in Oz: Horse-Race Journalism an ‘International Phenom,’” Columbia Journalism Review , August 18, 2010, https://archives.cjr.org/campaign_desk/jay_rosen_in_oz_horserace_jour.php. Horse-race journalism is not an equally severe problem in all democratic nations; one study of the media in Sweden found that compared to the United States, the Swedish press did a better job with issue-oriented reporting and the production of interpretive news during their elections. Jesper Strömbäck and Daniela V. Dimitrova, “Political and Media Systems Matter: A Comparison of Election News Coverage in Sweden and the United States,” International Journal of Press/Politics 11, no. 4 (Fall 2006): 131–147. Horse-race coverage is problematic not just because it turns off viewers—it also ignores topics in which voters might be interested in favor of coverage of who is winning and who is losing. This undermines the importance of the media as an information provider and watchdog when it comes to the electoral process. The horse-race approach is not the only problem with media election coverage. A trend since the 1980s, the media’s tendency toward negative, critical coverage of candidates remains problematic. As Thomas Patterson writes, this “incessant stream of criticism has a corrosive effect. It needlessly erodes trust in political leaders and institutions and undermines confidence in government and policy,” which “can mislead voters about the choices they face.” Thomas E. Patterson, “News Coverage of the 2016 General Election: How the Press Failed the Voters,” Shorenstein Center on Media, Politics and Public Policy, Harvard Kennedy School, December 7, 2016, https://shorensteincenter.org/news-coverage-2016-general-election/. A study of Canadian elections found that negative media portrayals of candidates and elections can depress a voter’s intention to cast a ballot. Agnieszka Dobrzynska, André Blais, and Richard Nadeau, “Do the Media Have a Direct Impact on the Vote? The Case of the 1997 Canadian Election,” International Journal of Public Opinion Research 15, no. 1 (March 2003): 27–43. When it comes to media and elections, some countries, including democratic countries, face a bigger problem: the lack of press freedom. In 2016, three of Japan’s most outspoken news anchors were dismissed from their positions due to governmental pressure in reaction to their criticisms of then prime minister Shinzo Abe . Shortly after their firing, a United Nations representative expressed alarm at the country’s declining support for press freedom, while the Paris-based media advocacy group Reporters Without Borders lowered Japan’s ranking of world press freedom to 72nd out of 180 nations, between Tanzania and Lesotho. Martin Fackler, “The Silencing of Japan’s Free Press,” Foreign Policy , May 27, 2016, https://foreignpolicy.com/2016/05/27/the-silencing-of-japans-free-press-shinzo-abe-media/. In Mexico, despite promises to regulate the use of government funds for public relations, former president Enrique Peña Nieto spent nearly $2 billion of government money on media advertising in five years during his tenure with the expectation that he would receive positive news coverage in return. Azam Ahmed, “Using Billions in Government Cash, Mexico Controls News Media,” New York Times , December 25, 2017, https://www.nytimes.com/2017/12/25/world/americas/mexico-press-government-advertising.html. The examples of Japan and Mexico are a reminder of how crucial a free press is in the political process. The media has the capability to quickly reach wide audiences, including elites and the broader public. It can help generate collective action, it provides information that is needed to make political decisions, and it helps candidates reach potential voters. Robert Yoon CNN Director of Political Research, 1999–2017 Election Analyst, Edison Research, 2018–present Please explain what you do for your organization. At CNN, I was responsible for knowing pretty much anything about a candidate or public official that might be relevant for our news coverage. I collected information about their fundraising and their personal finances and their policy positions and whatever notable things they might have said in interviews or on the campaign trail. I’ve covered politics on a lot of different levels, including the US Senate and House and the Supreme Court and governors and to some extent local races, but my main focus has always been presidential campaigns. Even though presidential elections happen only every four years, someone somewhere is always either running for president or thinking about it. So I had to follow a lot of these micro-developments when most people weren’t paying much attention to it. The hardest and most interesting part of my job probably was preparing moderators for presidential debates. I’ve done more than 30 presidential debates, most recently a 2020 debate for CBS News. My other big responsibility was analyzing election night vote results. Can you tell me a little about how you got involved in your position? I was always interested in politics and current events. As a kid, I would always watch the State of the Union and try to name cabinet secretaries as they entered the House chamber. Watching election night coverage was like watching the Super Bowl or the World Series. So when I saw a posting for a job at CNN to help cover presidential elections, I jumped at the chance. What advice would you give students who want to go into your line of work? An important thing for any journalist is to consume as much information as you can as regularly as possible, even if it isn’t directly related to your main interests. Journalists cover real life, so the more you know and understand the ways of the world, the better. Having a wide range of experiences and being exposed to a wide variety of perspectives makes you a better reporter. How Do Candidates Use the Media? When Donald Trump addressed supporters after finishing in the top three in the Iowa Republican caucuses in 2016, audience members captured his speech on their smartphones. (credit: “Trump Caucus” by Max Goldberg/GPA Photo Archive/Flickr, CC BY 2.0) The media is an important tool for voters, one that allows them to learn more about candidates and the election process. For candidates, the media also serves as a tool to reach those very same voters, and this section will discuss how candidates use the media in the hopes of winning elections. There are two avenues for candidates to use the media: free media and paid media . Free media is when a candidate gets press coverage, while paid media refers to media that the candidate and campaign pay for in the form of political ads. (Paid media will be discussed in more detail later in the chapter.) When former Mexican president Enrique Peña Nieto spent nearly $2 billion of government money on media advertising, his actions were particularly nefarious because he used government funds to purchase paid media in order to influence free media coverage. Ibid.. In the United States, for example, presidents can only use money raised through separate campaign entities to fund paid media. Using government funds would be considered not only corrupt but also illegal. In Peña Nieto’s case, his flagrant abuse of power was met with defeat at the polls. In the United States and many other countries, successful campaigns are “increasingly contingent upon candidates’ media strategies and media treatment of political events.” Stephen Ansolabehere, Roy Behr, and Shanto Iyengar, “Mass Media and Elections: An Overview,” American Politics Quarterly 19, no. 1 (January 1991): 109. Savvy candidates understand that they should not simply let the media decide how to cover them and that they need to present themselves in a certain light to potential voters. Candidates aim to control the media narrative and spend significant time and money trying to do so—and this struggle is international. In a study of 97 candidates in 43 elections around the world, scholars found that candidates who employed nastier rhetoric that included personal attacks and appealed to people’s fears received wider media attention—media attention that candidates want during an election, especially as the study found that media coverage of personal attacks was correlated with electoral success. Jacques Gerstlé and Alessandro Nai, “Negativity, Emotionality and Populist Rhetoric in Election Campaigns Worldwide, and Their Effects on Media Attention and Electoral Success,” European Journal of Communication 34, no. 4 (August 2019): 431, https://doi.org/10.1177/0267323119861875. Along the same lines, scholars in the UK found that critical, unbalanced media coverage of the EU that focused on the perceived threats of immigrants contributed to Brexit (the British exit from the European Union). Neil T. Gavin, “Media Definitely Do Matter: Brexit, Immigration, Climate Change and Beyond,” British Journal of Politics and International Relations 20, no. 4 (November 2018): 827–845, https://doi.org/10.1177/1369148118799260. Members of the United Kingdom Independence Party (UKIP) sought this type of media coverage in order to influence the outcome of the ballot initiative for UK independence. The Cambridge Analytica scandal highlights the worst of paid media campaigns, as British consultants from Cambridge Analytica scraped Facebook data from users without their knowledge. This questionably—and, in many countries, illegally—obtained data was used to create microtargeted ads (ads tailored to specific users) for the Donald Trump presidential campaign, the Ted Cruz senatorial campaign, and the Brexit campaign. It was also alleged that Russian oil company Lukoil, which has strong ties to the Putin -led Russian government, was involved in funding Cambridge Analytica to influence the outcome of the US presidential election. Nicholas Confessore, “Cambridge Analytica and Facebook: The Scandal and the Fallout So Far,” New York Times, April 4, 2018, https://www.nytimes.com/2018/04/04/us/politics/cambridge-analytica-scandal-fallout.html. Cambridge Analytica illustrates just how far candidates will go to use media (in this case, social media, which will be discussed in more detail in later parts of this chapter) to win at all costs. In the 2020 presidential election, Donald Trump’s campaign bought $2.1 million in Facebook ads alone, James Walker, “Trump Almost Doubles Biden's Facebook Spending after Signing Social Media Order,” Newsweek, July 2, 2020, https://www.newsweek.com/donald-trump-almost-doubles-biden-facebook-spending-1515037. though this number pales in comparison to the amount the campaigns spent on television ads. Joe Biden spent more than $600 million on television ads, while Trump spent $400 million, the bulk of it in six battleground states: Florida, Michigan, Pennsylvania, North Carolina, Wisconsin, and Arizona. Domenico Montanaro, “Presidential Campaign TV Ad Spending Crosses $1 Billion Mark in Key States,” NPR, October 13, 2020, https://www.npr.org/2020/10/13/923427969/presidential-campaign-tv-ad-spending-crosses-1-billion-mark-in-key-states. These massive campaign advertising expenditures are not common in all countries. For example, in 2008, the US presidential election cost candidates $5.3 billion, with a large portion of that going toward media buys. In comparison, thanks in part to a complete ban on political advertising on television, the 2007 Danish election cost only $8 million, including public financing, and had a turnout rate that was 25 percentage points higher than the turnout rate in the US. R. Spencer Oliver, “The Danish Way of Elections,” Hill , September 16, 2011, https://thehill.com/blogs/congress-blog/presidential-campaign/182021-the-danish-way-of-elections. Germany also bans political advertisements and has a tradition of using political posters as a practical way of influencing voters. Soraya Sarhaddi Nelson, “In German Election, Campaign Posters Are More Important Than TV Ads,” Parallels, NPR, September 23, 2017, https://www.npr.org/sections/parallels/2017/09/23/552583400/in-german-election-campaign-posters-are-more-important-than-tv-ads. This photo shows a roadside political poster for the reelection of German Chancellor Angela Merkel. (credit: “Election Poster of Angela Merkel in Hamburg” by TeaMeister/Flickr, CC BY 2.0) As described earlier in this chapter, media coverage of campaigns that is negative and focuses on the horse-race aspect of elections rather than on issues can have detrimental effects. The same can be said for paid media . A problematic form of paid media is the negative attack ad, the numbers of which have only continued to rise. Campaign finance scholar Fred Wertheimer writes, “Because television appeals to our emotions and magnifies and intensifies what it communicates, the impact of the negative message is much more powerful and damaging on television than if the same message were being communicated through print.” Fred Wertheimer, “TV Ad Wars: How to Cut Advertising Costs in Political Campaigns,” in Points of View: Readings in American Government and Politics , edited by Robert E. DiClerico and Allan S. Hammock, 11th ed. (Boston: McGraw- Hill, 2009), 90. Negative advertising is problematic for obvious reasons. It can lead voters to distrust their own decisions, and it breeds contempt for the election process. Stephen Ansolabehere and Shanto Iyengar, Going Negative: How Political Advertisements Shrink and Polarize the Electorate (New York: Free Press, 1997), 112. The percentage of negative ads in US political campaigns has grown steadily since 2000. (source: Wesleyan Media Project; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The effects of negative ads are still debated, as a number of studies say that they do not necessarily affect turnout because legitimate criticism of candidates can actually drive voter turnout. Kim Fridkin Kahn and Patrick J. Kenney, “Do Negative Campaigns Mobilize or Suppress Turnout? Clarifying the Relationship between Negativity and Participation,” American Political Science Review 93, no. 4 (December 1999): 877–889, https://www.jstor.org/stable/2586118. Another reason why negative ads may have little to no effect is that they are only salient to voters who already have low levels of trust in government to begin with; in other words, the ads preach to the choir and have little effect on the overall voting body. Michael D. Martinez and Tad Delegal, “The Irrelevance of Negative Campaigns to Political Trust: Experimental and Survey Results,” Political Communication 7, no.1 (1990): 25–40. Multiple studies Richard R. Lau, Lee Sigelman, and Ivy Brown Rovner, “The Effects of Negative Political Campaigns: A Meta-Analytic Reassessment,” Journal of Politics 69, no. 4 (November 2007): 1176–1209, https://doi.org/10.1111/j.1468-2508.2007.00618.x; Robert A. Jackson, Jeffery J. Mondak, and Robert Huckfeldt, “Examining the Possible Corrosive Impact of Negative Advertising on Citizens’ Attitudes toward Politics,” Political Research Quarterly 62, no. 1 (March 2009): 55–69, https://doi.org/10.1177/1065912908317031; Richard R. Lau and Ivy Brown Rovner, “Negative Campaigning,” Annual Review of Political Science 12 (2009): 285–306, https://doi.org/10.1146/annurev.polisci.10.071905.101448. have also shown that negative ads may work in the opposite direction, Gina M. Garramone, “Voter Responses to Negative Political Ads,” Journalism Quarterly 61, no. 2 (June 1984): 250–259; Neal J. Roese and Gerald N. Sande, “Backlash Effects in Attack Politics,” Journal of Applied Social Psychology 23, no. 8 (1993): 632–653. which is to say that the attacker comes away looking worse. Effectiveness aside, negative or otherwise, the First Amendment protects political advertising as a form of speech separate from commercial speech specifically because it is speech that is political in nature. Political advertisements on television are a vital tool for candidates because they can reach voters quickly, and these ads allow candidates to package and present themselves on their own terms. Gene R. Laczniak and Clarke L. Caywood, “The Case for and against Televised Political Advertising: Implications for Research and Public Policy,” Journal of Public Policy & Marketing 6 (1987): 16–32, https://www.jstor.org/stable/30000152. Given the strong First Amendment protections in the United States, political ads are here to stay. The media often focuses coverage on the horse-race aspect of elections, ignoring substantive policy discussion. However, the electorate depends on the media as a source of information that can help them make informed decisions. Countries with fewer democratic freedoms and authoritarian regimes severely hamper the press’s ability to cover elections fairly. Candidates, on the other hand, understand that controlling press coverage is important in terms of electoral success, and they spend substantial time and money to make sure the public hears their version of the story. Most political speech in the United States is protected by the First Amendment to the US Constitution, and American political candidates spend large sums of money on ads and other attempts to control the media narrative. Many countries around the globe strictly limit not only how much candidates can spend on elections but also how much political advertising they can buy. This notwithstanding, political ads play an important role for candidates as an easy way to reach voters. free media media coverage that political candidates do not pay for, such as news coverage by local reporters horse-race coverage media coverage of political campaigns that focuses on winners and losers rather than policy issues paid media media that political candidates pay for, such as campaign ads on television or the Internet", "section": "How Do Media and Elections Interact?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Internet and Social Media Learning Outcomes By the end of this section, you will be able to: Describe how the Internet and social media has changed other forms of media. Understand the impact of social media on politics. Detail how social media in particular has different effects on how we understand and interact with politics and political information. Narendra Modi , Barack Obama , Joko Widodo, Donald Trump , Queen Raina , and Hilary Clinton : What do these names make you think of? Hopefully politics! They also happen to be the most popular politicians on Instagram . Jana Garanko, “Top 10 Most Popular Politicians on Social Media,” The SEO, SEM, PPC and Content Marketing Blog , Semrush, February 21, 2020, https://www.semrush.com/blog/most-popular-politicians/. Why would politicians want to be on the same platform as dogs dressed up in tutus and one-pot cooking recipes? Because around the world, people spend close to two and a half hours a day on social media, and because never before has anyone been able to reach a global audience so quickly and so intimately. The Internet and social media have changed everything about people’s lives, from how they connect to how they understand politics. This section will discuss how the Internet has transformed traditional media and changed how the news is produced and shared, the impact of social media on politics, and how the effects of social media differ from those of traditional media. In most countries, people rely heavily on online news sources. (source: Reuters Institute Digital News Report 2020; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) In some ways, the table in says it all. While circulation and advertising revenue of print media have dropped considerably and viewership of television has also slowed, the share of people who go online for news and entertainment has grown steadily. The allure of Internet content and social media is easy to understand; the most popular platforms and much of the content are for the most part free, easy to use, highly visual in nature, and dynamic. When it comes to social media, the networked nature of the technology—being connected to multiple other networks of people—is also what makes it so powerful, as this characteristic is what allows users to share information and links quickly and often. Another way to understand this is through Metcalfe’s law, which states that the value of a network is proportional to the square of the number of connected users of the system. The Internet and social media have become everything —a tool for information, a tool for entertainment, a way to communicate, and a way to become empowered. At the advent of the technology, many lauded the Internet’s transformative nature because it altered the traditional power structure of the media. In traditional print, radio, and television, the journalists, editors, and producers engaged in gatekeeping ; they choose what news or entertainment to publish or air based on their own tastes, professional norms, and their interpretation of audience expectations. Because social media allows users to rapidly share—and create their own—content, it has weakened the traditional gatekeeping model of mainstream media. This is possible because the Internet substantially lowers the barriers to entry , or the economic cost of a newcomer being part of the process. No longer do people need a professional cameraman, a million-dollar set, editors, high-tech editing equipment, a satellite, or a license to broadcast. All they need is a computer, iPad, or phone. This is not to say that traditional media has fallen away; the most trafficked sites online continue to be old-guard outlets such as the New York Times and CNN . At the same time, sites that started online (as opposed to those that moved online), such as Yahoo, BuzzFeed, Mashable, TechCrunch, and many others, stand side by side in popularity with the old guard. “Top Online News Sites,” University Library Subject & Course Guides, Washington and Lee University Library, Summer 2015, https://libguides.wlu.edu/c.php?g=357505&p=2412837. The fact that twice as many kids want to be YouTube stars as want to be astronauts Jessica Stillman, “New Survey Shows Twice as Many Kids Want to Be YouTubers as Astronauts. Here’s Why That’s Terrifying,” Inc. , August 8, 2019, https://www.inc.com/jessica-stillman/new-survey-shows-twice-as-many-kids-want-to-be-youtubers-than-astronauts-heres-why-thats-terrifying.html. is a sure sign of the power of the Internet and social networking platforms. Children and teens are not blind to TikTok influencer Charli D’Amelio’s 100 million plus followers, Charli d’Amelio (@charlidamelio), TikTok, https://www.tiktok.com/@charlidamelio. and they envision endless possibilities for themselves. The Internet can feel empowering to individual users in ways that traditional media never could because the potential to become “famous” or viral on social media and the Internet only takes content—not millions of dollars backed by a movie studio or an anchor on a news network. But it also needs the help of an algorithm. The Young Turks: Building Hope The Young Turks is a popular YouTube news content channel that started in the living room of creator/host Cenk Uygur. Simply defined, algorithms are mathematical sets of rules. When applied to social media platforms and search engines, algorithms play a critical role in what people see when they search for a topic in a search engine or what comes across their social media feeds. Algorithms search, sort, and rank things based on predictions about what users should see, which means what comes up in one person’s search results and social media feed will be different from what comes up in other people’s results and feeds. This is accomplished by the use of cookies , or blocks of data that allow web browsers to track and save information about the sites people visit. By utilizing cookies, social media algorithms predict what users want to see in an attempt to keep them engaged online. Because what one person chooses will be different from what any other individual chooses, the content of their social media stream will look different from anyone else’s. This represents a monumental shift in how media is presented to users. In the 1970s and 1980s, when there were only four or five television stations to watch, all content was delivered to viewers at the same time, in the same fashion. The most watched television finale in the history of US television was the last episode of M*A*S*H , a comedy set during the Korean War. Jethro Nededog, “The 20 Most-Watched TV Show Finales of All Time, Ranked,” Business Insider , May 16, 2017, https://www.businessinsider.com/most-watched-tv-show-finales-of-all-time-2017-5. This meant that more than 105 million people watched the finale at the same time—something unimaginable to younger viewers today, who can stream almost anything, from sports to comedies to YouTube videos, on demand. This is due to another unique characteristic of online content, which is that it is asynchronous content , or content that can be shared among a network of people outside the constraints of time and space. For the vast majority of college students (and increasingly for their parents), using social media makes perfect sense—they were born into the technology and cannot remember life without it. Universities and colleges are ground zero for experimentation and political socialization , and increasingly, college students are using social media in ways that promote the creation of social capital and political participation. A study of university students in the United States, Australia, and Britain found that they are adept social media users and that they are aware of both its practical value and its limitations. The study notes that social media platforms are an increasingly significant sphere “for the political messaging, discussion, disruption and the presentation of the political self” among college students. Brian D. Loader et al., “Campus Politics, Student Societies and Social Media,” Sociological Review 63, no. 4 (November 2015): 837. But it is worth it to stop and ask why social media is so useful for politics in general. As New York University professor Clay Shirky notes, for generations, the formation of groups has relied on traditional institutional structures (think political parties or the Freemasons). The advent of social media has transformed group formation and even global cooperation. Clay Shirky, Here Comes Everybody: The Power of Organizing without Organizations (New York: Penguin, 2008). “Social media,” Shirky explains, “have become coordinating tools for nearly all of the world’s political movements, just as most of the world’s authoritarian governments (and, alarmingly, an increasing number of democratic ones) are trying to limit access to it.” Clay Shirky, “The Political Power of Social Media: Technology, the Public Sphere, and Political Change,” Foreign Affairs 90, no.1 (January/February 2011): 30. One can see the potential of social media as a valuable organizing tool for political movements in the case of the Arab Spring , during which social media users organized wide-scale protests first against the government of Tunisia, with additional pro-democracy movements spreading across much of the Middle East and North Africa. In Egypt, a Google executive named Wael Ghonim created the Facebook page “We Are All Khaled Said” to protest the murder of a 28-year-old Egyptian man at the hands of Egyptian police. The page, which had 300 users within two minutes of its creation, swelled to 250,000 users within three months. Jose Antonio Vargas, “Spring Awakening,” New York Times , February 17, 2012, https://www.nytimes.com/2012/02/19/books/review/how-an-egyptian-revolution-began-on-facebook.html. Ghonim was later imprisoned and interrogated for his Facebook activities criticizing the Egyptian government; upon release, he gave a televised speech that led to further protests, which in turn ultimately led to the resignation of Egyptian then president Hosni Mubarak . See Wael Ghonim, Revolution 2.0: The Power of the People Is Greater Than the People in Power (Boston: Houghton Mifflin Harcourt, 2012). In China, social media has been a valuable tool of empowerment for political dissidents. Journalist Emily Parker writes that, via social media, “millions of wangmin , or netizens . . . are surrounded, at least virtually, by like-minded individuals. They learn the power of collective action. They become parts of networks that extend outside their country’s borders.” Emily Parker, Now I Know Who My Comrades Are : Voices from the Internet Underground , (New York: Sarah Crichton Books, 2014), 7. While authoritarian governments such as China’s “have long tried to control the spread of information, . . . ordinary citizens have long used creative ways to get around these controls.” Ibid., 6. Contemporary Chinese artist Ai Weiwei , an early Twitter adopter, famously used the social media platform to alert people outside of China to the government’s corrupt activities. Chinese artist and political activist Ai Weiwei has more than 367,000 followers on Twitter . (credit: “Ai Weiwei” by Alfred Weidinger/Flickr, CC BY 2.0) In this way, social media can create social cohesion, facilitate collaboration, and serve as an indispensable tool for activists. However, the technology has its drawbacks, particularly when it comes to politics. Online environments in which the same opinions are repeatedly voiced and promoted to the exclusion of opposing views, often referred to as echo chambers , are a recurring and real problem. For example, Twitter users are, to a great extent, exposed to opinions that agree with their own, and bipartisan users are not rewarded in terms of visibility on the platform. Kiran Garimella et al., “Political Discourse on Social Media: Echo Chambers, Gatekeepers, and the Price of Bipartisanship,” in WWW ’18: Proceedings of the 2018 World Wide Web Conference (Geneva: International World Wide Web Conference Committee, 2018), 913–922, https://doi.org/10.1145/3178876.3186139. Echo chambers are problematic in that they are linked to political polarization , or the divergence of political attitudes toward ideological extremes. Social media is particularly ripe for this problem because the technology allows users to silo themselves off more easily than traditional media does. However, as University of Chicago professor Cass Sunstein notes, citizens within a democratic system require shared experiences, and when individuals can restrict themselves to hearing only voices they agree with—only “louder echoes of their own voices” Cass R. Sunstein, Republic.com 2.0 (Princeton, NJ: Princeton University Press, 2007), 13. —this will lead to political fragmentation and political polarization. This is not a uniquely American phenomenon. A study of the 2011 Canadian election found evidence of political polarization on Twitter, Pablo Barberá, “Social Media, Echo Chambers, and Political Polarization,” in Social Media and Democracy: The State of the Field and Prospects for Reform , edited by Nathaniel Persily and Joshua A. Tucker (Cambridge: Cambridge University Press, 2020), 34–55. while a 2014 study similarly concluded that Twitter led to more political polarization than it did cross-ideological discourse (though such discourse on Twitter did appear possible). Anatoliy Gruzd and Jeffrey Roy, “Investigating Political Polarization on Twitter: A Canadian Perspective,” Policy & Internet 6, no. 1 (March 2014): 28–45. Comparative research on the 2013 US and French presidential elections found polarization among Twitter users in both countries, though at a higher level in France. Alexander Hanna et al., “Partisan Alignments and Political Polarization Online: A Computational Approach to Understanding the French and US Presidential Elections,” in PLEAD ’13: Proceedings of the 2nd Workshop on Politics, Elections and Data (New York: Association for Computing Machinery, 2013), 15–22, https://doi.org/10.1145/2508436.2508438. Research on Facebook usage during the 2014 Thai presidential election also supports the claim that users do not engage in cross-ideological discussion but instead sequester themselves in politically homogeneous social media pages. Max Grömping, “‘Echo Chambers’: Partisan Facebook Groups during the 2014 Thai Election,” Asia Pacific Media Educator 24, no. 1 (June 2014): 39–59, https://doi.org/10.1177/1326365X14539185. Political polarization results in lower levels of trust in institutions, higher levels of suspicion of “the other side,” and the inability to work toward compromise. Frank Newport, “The Impact of Increased Political Polarization,” Gallup, December 5, 2019, https://news.gallup.com/opinion/polling-matters/268982/impact-increased-political-polarization.aspx. Media concentration (covered in an earlier section of this chapter) can also contribute to political polarization because the media oligopolies have the resources to create a plethora of niche and partisan media. As University of Antwerp professor Peter Van Aelst writes, “The success of partisan news broadcasters, such as Fox News and MSNBC , and online platforms such as Breitbart and The Huffington Post , in the USA, also contributes to the view that there is a trend towards increasing polarization of media content.” Peter Van Aelst et al., “Political Communication in a High-Choice Media Environment: A Challenge for Democracy?,” Annals of the International Communication Association 41, no. 1 (2017): 12, https://doi.org/10.1080/23808985.2017.1288551. Research has found that exposure to partisan information makes people more inclined to support their own positions in an entrenched manner. David Schkade, Cass R. Sunstein, and Reid Hastie, “What Happened on Deliberation Day?,” California Law Review 95, no. 3 (June 2007): 915–940, https://www.jstor.org/stable/20439113. The Media and Personal Responsibility This display of the front pages of newspapers around the world provides “a snapshot view of what’s important to people around the planet.” (credit: “Newspapers” by Alper Çugun/Flickr, CC BY 2.0) The media play a critical role in helping people understand the political world around them. For example, the media provide information about what governments are doing and inform voters about candidates running for office. What people often do not think about, however, is how individuals engage with and utilize the information that they receive from the media. Information is one of the most powerful tools available to the public, particularly when thinking about specific information related to government and politics. Do individuals use this information in an ethical manner? Do they think about what choices are available to them based on the information provided? Do they fully understand all of the actions and consequences of those actions based on the information provided? By studying how the media works as a political institution and with political institutions—and how people interact with the media and the information provided by the media—you can begin to understand your own personal responsibility vis-à-vis the media. In an era when social media can spread disinformation almost instantaneously or exacerbate political polarization, it is important to really consider and take into account how your actions concerning media utilization impact those around you. The loss of the traditional gatekeeper is one explanation for the existence of the echo chambers , polarization, and self-segregation that allow for an alarming increase in misinformation , or incorrect information that is spread regardless of intent to mislead. (Disinformation is misinformation that is explicitly intended to mislead.) As Senior Vice President and the Director of the Technology and Public Policy Program at the Center for Strategic and International Studies (CSIS) James Andrew Lewis writes, “The effect of the internet on the mediation of content is especially pronounced, with a decentralized media displacing the editors and fact-checkers of the past. Social media amplifies the trend toward disintermediation.” James Andrew Lewis, “A Short Discussion of the Internet’s Effect on Politics,” Center for Strategic and International Studies, January 29, 2021, https://www.csis.org/analysis/short-discussion-internets-effect-politics. In other words, when people got political information from the newspaper or television in the past, they knew that there were institutional checks in place, from editors to fact-checkers to the journalists themselves, to ensure its accuracy. Now, anyone with Internet access can be a journalist, and no one needs a news station to create news. In this way, the Internet has democratized news production and empowered previously ignored voices while simultaneously creating a minefield of misinformation. The networked nature of social media platforms makes it easy to pass along misinformation. Studies of Twitter have shown that falsehoods travel further and faster than the truth, thanks in part to the emotional responses they elicit and in part to the novelty of the falsehoods themselves. Perhaps more notably, studies found that it is the work not of bots (automated Internet applications that run repetitive tasks such as retweeting) but of people retweeting falsehoods that cause disinformation to spread so quickly. Soroush Vosoughi, Deb Roy, and Sinan Aral, “The Spread of True and False News Online,” Science 359, no. 6380 (March 2018): 1146–1151, https://science.sciencemag.org/content/359/6380/1146. The Center for Countering Digital Hate found that only 12 people were responsible for 65 percent of the misinformation spread online about COVID-19 vaccines. Shannon Bond, “Just 12 People Are Behind Most Vaccine Hoaxes on Social Media, Research Shows,” Untangling Disinformation, NPR, updated May 14, 2021, https://www.npr.org/2021/05/13/996570855/disinformation-dozen-test-facebooks-twitters-ability-to-curb-vaccine-hoaxes; The Disinformation Dozen: Why Platforms Must Act on Twelve Leading Online Anti-Vaxxers (Center for Countering Digital Hate, 2021), https://www.counterhate.com/disinformationdozen. In addition, the Internet and social media make it easier for foreign agents to spread disinformation online. In a report issued for the US State Department in 2019, Russia, China, Iran, and North Korea were highlighted as the worst offenders, spending millions of dollars on state-backed activities designed to actively spread disinformation. Christina Nemr and William Gangware, Weapons of Mass Distraction: Foreign State-Sponsored Disinformation in the Digital Age (Park Advisors, March 2019), https://www.park-advisors.com/disinforeport. Herein lies the paradox of the intersection between social media and politics: the technology can be a revolutionary tool for creating and dispersing information and encouraging broader political participation, but it is this very participation and ease of information production and dissemination that leads to such high levels of misinformation. Media scholars such as Lianne Chin-Fook and Heather Simmonds are hopeful that new gatekeepers will evolve to allow for a healthier information environment on social media platforms in the future. Lianne Chin-Fook and Heather Simmonds, “Redefining Gatekeeping Theory for a Digital Generation,” McMaster Journal of Communication 8 (2011): 7–34, https://journals.mcmaster.ca/mjc/article/view/259. Social media is ubiquitous. The lowered barriers for entry allow anyone to be a producer of content and purveyor of information, and they also allow people to discuss and coordinate their actions around politics. Citizens in countries with limited political freedom have found the Internet and social media to be powerful and important tools that circumvent both authoritarian regimes and tightly controlled traditional media institutions. The Internet and social media are not without their problems, however. Algorithms play a large part in determining what people see, but individuals still have a significant amount of power to determine what information they seek out, which can create echo chambers and potentially result in political polarization. Misinformation also travels quickly on social media, hampering these platforms’ true utility as a reliable source of information. algorithms mathematical sets of rules that, when applied to the Internet or social media (for example), search, sort, and rank things based on predictions about what users should see asynchronous content content that can be shared among a network of people outside the constraints of time and space barriers to entry the economic cost to newcomers in a marketplace echo chambers online environments in which the same opinions are repeatedly voiced and promoted to the exclusion of opposing views misinformation incorrect information that is spread regardless of intent to mislead political polarization the divergence of political attitudes toward ideological extremes", "section": "The Internet and Social Media", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Declining Global Trust in the Media Learning Outcomes By the end of this section, you will be able to: Detail levels of trust in the media in the US and around the world. Discuss why levels of trust in the media have steadily declined. Explain why we should care about levels of trust in the media. Explain what possible reforms can increase trust in the media. Every time a newspaper dies, even a bad one, the country moves a little closer to authoritarianism. —Pulitzer Prize–winning journalist, Richard Kluger The beginning of this chapter discussed how the press safeguards people’s rights and keeps democracy healthy. Authoritarian regimes such as North Korea do not allow freedom of the press because they know that an informed citizenry is a powerful one. Despite the inherent importance of the media, levels of trust in the institution are precariously low both in the United States and globally. This section will examine levels of trust in the media and the causes of mistrust, then go on to examine possible reforms. Do People Trust the Media? In order for the media to fulfill its goals as a gatekeeper and purveyor of information, there needs to be trust in the institution. So why do some countries trust the media more than others? A study of 44 countries found that factors such as higher levels of political interest, interpersonal trust, and exposure to television news and newspapers are positively correlated with trust in media, while education and exposure to news on the Internet are negatively associated with levels of trust in the media. The same study showed that ownership also affects levels of trust: state ownership of television is positively associated with trust in media in democratic societies and negatively associated with trust in media in nondemocratic societies. Yariv Tsfati and Gal Ariely, “Individual and Contextual Correlates of Trust in Media across 44 Countries,” Communication Research 41, no. 6 (August 2014): 760–782, https://doi.org/10.1177/0093650213485972. Other reports have found that levels of democracy and media freedom are not necessarily correlated with trust in the media. Evaluations of the economy also have been suggested as a factor in people’s trust in the media. Tien-Tsung Lee, “Why They Don’t Trust the Media: An Examination of Factors Predicting Trust,” American Behavioral Scientist 54, no. 1 (September 2010): 8–21, https://doi.org/10.1177/0002764210376308. A 2019 Gallup report on global trust in the media noted that the percentage of respondents who expressed at least some trust in journalists ranged from a low of 12 percent in Greece to a high of 93 percent in Uzbekistan. Zacc Ritter, “How Much Does the World Trust Journalists?,” Gallup, December 27, 2019, https://news.gallup.com/opinion/gallup/272999/world-trust-journalists.aspx. Most people around the globe trust people they know personally over people they know through online exchanges, and there appears to be a healthy skepticism of online news and content in general. Some question whether increased political polarization has contributed to lower levels of trust in the media. Given the apparent causal relationship between political polarization and online echo chambers, perhaps the relationship between trust in the media and political polarization is more analogous to the well-worn question about which came first, the chicken or the egg. Wilfred Laurier University professor Anne Wilson , PhD candidate Victoria Parker, and University of Toronto professor Matthew Feinberg describe this as a polarization feedback loop , in which increasing polarization among political elites and the media “selectively amplif[ies] the worst the other side has to offer” and ultimately feeds into mistrust of the media and polarization of the electorate. Anne E. Wilson, Victoria A. Parker, and Matthew Feinberg, “Polarization in the Contemporary Political and Media Landscape,” Current Opinion in Behavioral Sciences 34 (August 2020): 226, https://doi.org/10.1016/j.cobeha.2020.07.005. The schism is particularly apparent in the United States, where political partisanship is evident not only across many policy issues but also when it comes to trust in the media. Republicans’ trust in the media decreased significantly between 2000 and 2020. (souce: Gallup; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) When looking at a more detailed breakdown of who doesn’t trust the media, the polling website FiveThirtyEight notes that Republicans in the United States have built on their long-held belief that the media has a liberal bias to incorporate an “anti-media” stance into their overall ideology. Meredith Conroy, “Why Being ‘Anti-Media’ Is Now Part of the GOP Identity,” FiveThirtyEight, ABC News, April 5, 2021, https://fivethirtyeight.com/features/why-being-anti-media-is-now-part-of-the-gop-identity/. In 2018, nine in 10 Republicans said they had “personally . . . lost trust in the news media in recent years.” Indicators of News Media Trust: A Gallup/Knight Foundation Survey (Washington, DC: Gallup, 2018), 1, https://knightfoundation.org/reports/indicators-of-news-media-trust/. As people’s choices in media content have increased, it is not surprising that both Republicans and Democrats have sought out news sources that reinforce their political beliefs, and the Internet has made this especially easy. Additionally, conservatives are more likely to surround themselves with like-minded views online, while liberals are more likely to block friends who do not agree with them on social media. Amy Mitchell et al., Political Polarization & Media Habits: From Fox News to Facebook, How Liberals and Conservatives Keep Up with Politics (Washington, DC: Pew Research Center, October 2014), https://www.journalism.org/2014/10/21/political-polarization-media-habits/. This self-imposed exposure to partisan media ultimately reduces people’s overall trust in the mainstream press, regardless of party. See Meredith Conroy. Why Should We Care about Trust in the Media, and How Can We Increase It? An informed citizenry is a precondition for democracy, and in order for citizens to act collectively and cast votes in their best interests, people should be able to rely on the media as a source of unbiased information. Without a foundation of trust in the media, people will find their information elsewhere. While one cannot assume that all voters will make an effort to make educated choices, the ability to develop informed decisions makes trust in the media a crucial first step. As former United States congressman Lee H. Hamilton writes, “The truth is that for our democracy to work, it needs not just an engaged citizenry, but an informed one.” Lee H. Hamilton, “We Need an Informed Citizenry,” Journal of Civic Literacy 2, no. 1 (2015): 2, https://journals.iupui.edu/index.php/civiclit/article/view/19685. The public’s habits and their trust have moved in lockstep with one another, and as people have walled themselves off from news they do not believe in, their trust in institutional media has fallen, as has their ability to remain informed. The decline of trust in both governmental and media institutions has real consequences. The erosion of trust in public institutions damages the credibility of those institutions, further undermining their effectiveness and perpetuating a vicious circle. Mohamed A. El-Erian, “Why Retaining Trust in Institutions Matters,” World Economic Forum, October 9, 2017, https://www.weforum.org/agenda/2017/10/why-retaining-trust-in-institutions-matters. What can be done to restore trust in the media as an institution? Organizations in the United States and around the world have proposed numerous strategies for supporting media institutions and promoting trust. The Knight Foundation points out that a majority of respondents in a 2020 survey believed that it is possible to raise levels of trust in the media, and in pursuit of that goal, the foundation makes two substantial suggestions for the media: official corrections (that is, admitting to errors and publicly correcting them) and increased representation. John Sands, “Public Confidence in the Media Is Sliding, but Newsrooms Can Win It Back,” Knight Foundation, September 15, 2020, https://knightfoundation.org/articles/public-confidence-in-the-media-is-sliding-but-newsrooms-can-win-it-back/. Respondents indicated that when the media issues official corrections, this increases rather than decreases trust, suggesting that transparency is key to raising trust levels. With regard to representation, readers appear to want more representation in newsrooms, with journalists who look like them and more closely reflect their communities. NPR ’s public editor suggests that the lack of trust also stems from content quality. “Cable networks . . . prioritized talking heads Typically, guests who discuss issues on television or the radio who do not engage in journalistic practices that result in unbiased or fact-based reporting over reporting. Print media . . . conflated opinion, analysis, and straight reporting.” Elizabeth Jensen, “Looking to the Future: Restoring Public Trust in the Media,” NPR Public Editor, NPR, May 15, 2017, https://www.npr.org/sections/publiceditor/2017/05/15/528158488/looking-to-the-future-restoring-public-trust-in-the-media. In response to this, the Trust Project , which partners with 200 news outlets across 12 countries, works with media organizations to incorporate what it calls “the 8 Trust Indicators” Best practices, journalistic expertise, type of work, citations and references, methods, local sourcing, diverse voices, and actionable feedback in order to facilitate improved news quality and increase reader trust. The Trust Project, accessed November 2, 2021, https://thetrustproject.org. Addressing the issue of media concentration may also encourage higher-quality content and promote a closer relationship with readers and viewers, thus contributing to engendering trust. The Organization for Security and Co-operation in Europe (OSCE) , the world’s largest intergovernmental organization dedicated to security, elections, human rights, and press freedom (among other concerns), makes a number of recommendations for improving both content quality and people’s trust in the media. The OSCE advises European governments to tackle the problem of media concentration by reducing certain taxes for newspaper companies; develop guidelines for editorial independence from corporate owners; strengthen intellectual property and bargaining rights for journalists; and provide “sufficient” salaries for journalists. Further, the OSCE encourages nations to monitor these recommendations. Johannes von Dohnanyi and Christian Möller, The Impact of Media Concentration on Professional Journalism (Vienna: Organization for Security and Co-operation in Europe, 2003), https://www.osce.org/fom/13870. In the United States, the Federal Communications Commission (FCC) could reverse rules that loosened restrictions on mergers, though as some point out, this would not necessarily prevent smaller media outlets from dying off. One novel suggestion is to require a transaction fee for each merger, with the proceeds going to fund local journalism, especially because it appears that trust is fostered when readers feel that the media outlets they use are tied to their communities. Steven Waldman, “How to Fix the Media Ownership Debate,” Columbia Journalism Review , December 20, 2012, https://archives.cjr.org/united_states_project/how_to_fix_the_media_ownership.php. Help Stop the Spread of Misinformation To combat misinformation online, organizations such as First Draft work globally with journalists to root out misinformation and provide reporters with resources and information to create the most informed content possible and build trust with audiences. “About,” First Draft, accessed November 2, 2021, https://firstdraftnews.org/about/. The website hosts a free library of training content, including online courses, tool kits, and resources designed to help both journalists and the public build expertise and stay ahead of misinformation. Everyone has the ability to stop misinformation, and by educating yourself on how to stay alert to the spread of false news, you help promote a healthier media. Maintaining trust in the media is important because people need to rely on the media in order to make informed decisions as citizens. Without the media, citizens fall prey to misinformation or no information, and falling levels of trust signify a troubled relationship. One reason for this falling trust is increasing political polarization. Polarization leads to lower levels of trust, which lead to worse polarization. What can governments and the media do to address this phenomenon? Recommendations from nongovernmental organizations such as the Organization for Security and Co-operation in Europe include official corrections and increased representation in the media, measures to address media concentration, and tax incentives for smaller media companies. Suggested Readings Gans, Herbert. Deciding What’s News: A Study of CBS Evening News, NBC Nightly News, Newsweek, and Time . New York: Vintage Books, 1980. Graber, Doris A. Mass Media and American Politics . 6th ed. Washington, DC: CQ Press, 2002. Iyengar, Shanto. Media Politics: A Citizen’s Guide . 3rd ed. New York: W. W. Norton, 2016. Patterson, Thomas E. Out of Order . New York: Knopf, 1993. Sunstein, Cass R. #Republic: Divided Democracy in the Age of Social Media . Princeton, NJ: Princeton University Press, 2017. Organization for Security and Co-operation in Europe (OSCE) the world’s largest intergovernmental organization dedicated to security, elections, human rights, and press freedom polarization feedback loop the theory that rising polarization among political elites and the media amplifies the worst of both sides, ultimately feeding into mistrust of the media and polarization of the electorate", "section": "Declining Global Trust in the Media", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction The New Zealand government distributed pamphlets and hung posters to disseminate information about adjusting to life during the COVID-19 pandemic. New Zealand’s lockdown was among the strictest that governments imposed during the pandemic. (credit: New Zealand Government/Wikimedia Commons, CC BY 4.0) Political power is organized in the form of governing regimes , or governments. Underlying institutional patterns have emerged among the wide variety of these regimes across different regions of the world and in different periods of time. These different approaches to governance are evident in the ways various regimes seek to address common challenges and achieve desired goals. During the global COVID-19 pandemic, for example, some countries swiftly enacted lockdowns, mask mandates, and other policies aimed at reigning in the spread of the virus, while other countries took more of a wait-and-see approach that prioritized individual freedoms. When you draw distinctions among varying types of regimes and detect trends in contemporary governments, you can come to our own conclusions regarding which regime is best for addressing these kinds of challenges. To these ends, this chapter will look at governing regimes both conceptually and in reference to a range of concrete examples drawn from governments around the world.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Contemporary Government Regimes: Power, Legitimacy, and Authority Learning Outcomes By the end of this section, you will be able to: Describe the nature of governing regimes. Define power, authority, and legitimacy. Explain the relationships among power, authority, and legitimacy. Discuss political history and contemporary political and legal developments surrounding governing regimes. A government can be defined as a set of organizations, with their associated rules and procedures, that has the authority to exercise the widest scope of power —the ability to impose its will on others to secure desired outcomes—over a defined area. Government authority includes the power to have the final say over when the use of force is acceptable, and governments seek to exercise their authority with legitimacy. This is a complex definition, so this section unpacks its elements one by one. A government both claims the right and has the ability to exercise power over all people in a defined geographic area. The leadership of a church or a mosque, for example, can refuse to offer religious services to certain individuals or can excommunicate them. However, such organizations have no right to apply force to impose their will on non-congregants. In contrast, governments reserve for themselves the broadest scope of rightful power within their area of control and can, in principle, impose their will on vast areas of the lives of all people within the territories over which they rule. During the COVID-19 pandemic, only governments both claimed and exercised the right to close businesses and to forbid religious institutions to hold services. The pandemic also highlights another feature of governments: almost all governments seek to have and to exercise power in order to create at least minimal levels of peace, order, and collective stability and safety. China’s armed police force imposes government-sanctioned order. (credit: “China Armed Police Force” by Michael Mooney/Flickr, CC BY 2.0) As German social scientist Max Weber maintained, almost all governments seek to have and to enforce the right to have the final say over when violence is acceptable within their territory. Governments often assert what Weber called a monopoly on the right to use violence , reserving for themselves either the right to use violence or the right to approve its use by others. Max Weber, From Max Weber: Essays in Sociology (New York: Routledge, 2009). The word monopoly might be misleading. In most countries, citizens have a right to use violence in self-defense; most governments do not maintain that they alone can exercise the acceptable use of violence. Where the government recognizes the right to use violence in self-defense, it will seek to reserve for itself the right to decide when, in its judgment, that use is acceptable. Imagine a landlord confronting a tenant who has not paid their rent. The landlord cannot violently seize the renter and forcibly evict them from the apartment; only the police—an agency of the state—can acceptably do that. Nevertheless, the law of many countries recognizes a right of self-defense by means of physical violence. In many US states, for example, if a person enters your house unlawfully with a weapon and you suspect they constitute a threat to you or your family, you have a broad right to use force against that intruder in self-defense (a principle that forms the core of the “ castle doctrine ”). In addition, private security guards can sometimes use force to protect private property. The government retains the right to determine, via its court system, whether these uses of force meet the criteria for being judged acceptable. Because the government sets these criteria, it can be said to have the final say on when the use of force is permissible. Authority Authority is the permission, conferred by the laws of a governing regime, to exercise power. Governments most often seek to authorize their power in the form of some decree or set of decrees—most often in the form of a legal constitution that sets out the scope of the government’s powers and the process by which laws will be made and enforced. The enactment of codes of criminal law, the creation of police forces, and the establishment of procedures surrounding criminal justice are clear examples of the development of authorized power. To some degree, the constitution of every government authorizes the government to impose a prohibition, applicable in principle to all people in its territory, on certain behaviors. Individuals engaging in those behaviors are subject to coercive enforcement by the state’s police force, which adheres to defined lines of authority and the rules police departments must follow. Governmental regulations are another type of authorized government power. The laws that structure a regime usually give the government the authority to regulate individual and group behaviors. For example, Article 1 Section 8 of the US Constitution authorizes the federal government to regulate interstate commerce. When large commercial airlines fly individuals across state lines for a fee, they engage in interstate commerce. The federal government therefore has the authority to regulate airline safety requirements and flight patterns. Pursuant to this authority, the federal government has established an agency, the Federal Aviation Administration (FAA), to issue these regulations, which are ultimately backed by the state’s coercive enforcement power. Weber argued that those who structure regimes are likely to choose, on the basis of the regime’s own best interests, to create authority that is clearly spelled out in a regime’s constitutional law. Weber, Essays in Sociology . When lines of authority in the government are clear, especially in the context of the state’s criminal law, the people living in a regime are less fearful of the state. This helps the state secure the people’s support. When the scope of the government’s authority is clear, people can understand how their government is structured and functions and are therefore less likely to be surprised by governmental actions. This can be especially important for the economy. To follow the example above, if laws regulating the private ownership of commercial airlines are constantly open to unexpected change, some people may be wary of working in the industry or investing their money in these companies’ stock. Predictable governmental action can encourage these investments. With increased economic activity, the government can tax the productive output, amassing resources to help it achieve whatever its goals might be. In addition, clearly defined structures of authority in the form of stable bureaucratic institutions allow a government to exercise power more efficiently and cost-effectively, once again enabling it to amass more resources to serve its objectives. Individual government officials may have an incentive to break these rules. Former president Richard Nixon, for electoral reasons, among others, broke the law and so acted without authority. His illegal actions were discovered, and he resigned before being impeached and removed from office by Congress. See Frank O. Bowmann III, High Crimes and Misdemeanors: A History of Impeachment for the Age of Trump , Cambridge, UK: Cambridge University Press, 2019. Donald Trump also faced allegations that he was driven by considerations of electoral advantage to break federal laws, and he was impeached (but not removed from office) twice on that basis. For a recent survey of the range of allegations of unlawful behavior during Trump’s presidency designed to enhance his reelection prospects, see a 2021 report by Henry Kerner of the Office of the Special Counsel, who asserts there was a “concerted willful effort to violate the law by the most senior officers in the White House” during Trump’s presidency. US Office of Special Counsel, Investigation of Political Activities by Senior Trump Administration Officials during the 2020 Presidential Election , November 9, 2021, https://osc.gov/Documents/Hatch%20Act/Reports/Investigation%20of%20Political%20Activities%20by%20Senior%20Trump%20Administration%20Officials%20During%20the%202020%20Presidential%20Election.pdf. The Trump administration denied any legal wrongdoing in these matters. Andrea Shalal, “Federal Watchdog Probing Trump Campaign’s Use of White House – Lawmaker,” Reuters , November 25, 2020, https://www.reuters.com/article/usa-election-trump-investigation-idINKBN27M0EF. The use of physical force to directly restrain behavior is just one of the ways governments exercise power. Governments also tax. In a sense, the taxing authority of government is a necessary corollary of its authority to impose behavior-restricting rules: almost all governments must derive revenue through taxes in order to finance the maintenance of their laws and to ensure peace and public order. However, that authority also allows governments to exercise power to achieve a wide variety of ends, funding everything from foreign wars to a social safety net or a set of social programs. Taxation is another way governments regulate people’s behavior: if you don’t pay your taxes, the government is authorized to punish you—a principle true across the world, even if the levels of enforcement for not paying taxes vary across regimes. The authority to tax illustrates another aspect of governmental power: the use of authority to shape society by creating incentives for particular kinds of behavior. In the United States, the federal tax code enables taxpayers to deduct large charitable donations from their taxable income as a way to encourage individuals to give to charities. Additionally, homeowners can deduct the interest they pay on their home mortgage, thereby reducing their annual federal tax obligation. This use of government power is meant to encourage people to own homes rather than rent. In the United States, at least, the federal government has encouraged homeownership due to a belief that homeownership helps people build closer ties with and involvement in local communities and thus increases civic participation, and that owning a home correlates with greater levels of long-term savings, which can provide individuals greater financial security in their retirement. Mark P. Keightley, “Why Subsidize Homeownership? A Review of Rationales,” Congressional Research Service , September 6, 2019, https://fas.org/sgp/crs/misc/IF11305.pdf; Laurie S. Goodman and Christopher Meyer, “Homeownership and the American Dream,” Journal of Economic Perspectives 32, no. 1 (2018): 31–58; Kim R. Manturuk, Mark Lindblad, and Roberto G. Quercia, A Place Called Home: The Social Dimensions of Homeownership (New York: Oxford University Press, 2017), xii–xvii. (For some people, their house is their largest asset, which can help to finance their retirement.) Conversely, governments can impose “sin taxes”—that is, taxes on products like alcohol and cigarettes, discouraging their use. Some lawmakers have proposed levying higher taxes on bullets to discourage gun violence, and some areas have taxed sugary soft drinks to discourage their consumption as a way to improve public health. Ulrik Boesen, “Sugar Taxes Back on the Menu,” Tax Foundation, February 18, 2021, https://taxfoundation.org/sugar-taxes/. Governments can use taxes to try to influence behavior. The average state tax on a pack of cigarettes in the United States in December 2021 was $1.91. (source: Campaign for Tobacco-Free Kids; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Beyond taxation, governmental leaders can use their office to influence public opinion. Governmental authorities are often authorized to use the government’s assets to promote their policies: the president of the United States, for example, is authorized to use Air Force One (the presidential jet) to travel the country in order to promote policy proposals. (Presidents are not, however, allowed to use Air Force One for free to conduct political fundraising.) Additionally, members of the United States Congress are authorized to send letters to constituents, free of charge, describing or defending the policies they support. Tools like these allow governments to exercise the power of influence and persuasion. The chief executive is usually the governmental official who takes the greatest advantage of this form of power. In the United States, presidents such as Teddy Roosevelt became famous for skillfully using the “ bully pulpit ,” that is, the power of the president to shape the opinions of the population and, through this, potentially to influence members of other branches of the government, especially elected legislators. Presidents and prime ministers often give speeches or issue proclamations to exert this power. President Barack Obama, for example, following a long tradition in American politics, spoke often of what “we as Americans” value as a way to persuade the populace to support the policy agenda of his administration. Take the following example from one of Obama’s speeches. In the speech, he defended his administration’s decision to change the priorities of federal immigration officials to less rigorously enforce laws requiring the deportation of undocumented individuals when those individuals entered the country as children—the Deferred Action for Childhood Arrivals, or DACA, program. Arguing that children brought to the country by their parents should not have to live in fear of deportation, Obama remarked: “My fellow Americans, we are and always will be a nation of immigrants. We were strangers once, too. And whether our forebears were strangers who crossed the Atlantic, or the Pacific, or the Rio Grande, we are here only because this country welcomed them in and taught them that to be an American is about something more than what we look like, or what our last names are, or how we worship. What makes us Americans is our shared commitment to an ideal—that all of us are created equal, and all of us have the chance to make of our lives what we will.” (emphasis added) Eyder Peralta, “Obama Goes It Alone, Shielding up to 5 Million Immigrants from Deportation,” NPR , November 20, 2014, https://www.npr.org/sections/thetwo-way/2014/11/20/365519963/obama-will-announce-relief-for-up-to-5-million-immigrants. By using rhetoric that attempts to define the national ethos, governments can seek to exercise power by shaping the population’s sense of itself and its place in history. Legitimacy Most governments establish authority not only to exercise power, but also in the pursuit of legitimacy. Legitimacy can be seen from two different vantage points. Following Weber, the term is often used to mean the widespread belief that the government has the right to exercise its power. In this sense—which can be called broad legitimacy —the concept describes a government trait. Legitimacy can also be seen from the perspective of individuals or groups who make determinations about whether their government is or is not legitimate—that is, rightfully exercising power, or what can be called judgments about legitimacy . In either sense, legitimacy is measured in perceptions of the rightfulness of government actions—the sense that those actions are morally appropriate and consistent with basic justice and social welfare. It is quite possible for a small group or a small set of groups to conclude that their government is illegitimate and so does not have the right to exercise authorized power even as the vast majority think that government is rightfully exercising authorized power. In this case, since the dissenting group is small and the great majority see their government as legitimate, the state can be deemed broadly legitimate. Broad legitimacy, therefore, is defined not as unanimous agreement by the people that a government’s authority is rightfully exercised, but simply as a broad sentiment that it is. Finding Legitimacy: What Does Legitimacy Mean to You? In this Center for Public Impact video, people from around the world talk about what government legitimacy means to them. Legitimacy is a vague concept. Citizens’ judgments about legitimacy entail the often-difficult determinations of what is or is not rightful and thus consistent with morality, justice, and social welfare. Judging rightfulness can be a challenging task, as can the determination of whether a regime truly possesses broad legitimacy. Though you cannot always say for certain that a government truly has broad legitimacy, broad illegitimacy is often easy to detect. Indications of governments that do not have broad legitimacy can take many forms, including sustained protests, very low levels of trust in the regime as captured by polling data, and widespread calls for revising or abandoning the constitution. The most effective governments, Weber argued, not only have laws that clearly authorize power but also have some substantial measure of broad legitimacy. Broadly legitimate governments can exercise power without the threat of popular rebellion, and the state can more readily rely on people to follow the law. These conditions can spare the government the cost of large standing police forces or militaries, and those resources in turn can be allocated in other areas. Unsurprisingly, most governments seek to legitimize their rule. In the United States, many debates over rival understandings of law and public policy are not debates over legitimacy. For example, many groups in the United States disagree over certain tax policies; some want to increase taxes to pay for greater services, while others want to lower taxes to encourage economic growth. Yet those who oppose a particular tax law rarely refer to it as illegitimate since the law is recognized as coming from a process that has widespread popular support—that is, from the lawmaking process authorized in the US Constitution. Therefore, tax laws that many disfavor are usually not seen as illegitimate, but simply as unpopular or unwise and thus in need of change. However, in the United States today, more and more debates surrounding law, public policy, and election results are expressed in terms of judgments of their legitimacy or illegitimacy. A true loss of legitimacy, either in the eyes of a small group or in the eyes of the broad populace, occurs only when a law is determined to be so wrong or harmful that it is not right for the government to enact it. In many cases in the United States today, allegations of illegitimacy contend not that a law or electoral result lacks legitimacy because the substance of the law or election outcome is so egregious that it is not a rightful thing for the government to do or to permit, but because they claim the US Constitution does not authorize the law or the process that resulted in a particular outcome. Consider the 2020 election and debates involving the administration of President Joe Biden . Many supporters of Donald Trump hold that President Biden is an illegitimate president, Christina Bobb of the far right One America Network, for example, asserts that “we can all now see that Joe Biden is not a legitimate president.” “OAN Host: Joe Biden Is Not a Legitimate President and We Do Not Have a Legitimate Executive Branch in Power Right Now,” Media Matters for America , April 26, 2021, https://www.mediamatters.org/one-america-news-network/oan-joe-biden-not-legitimate-president-and-we-do-not-have-legitimate-exec. but they contend not so much that he is so unacceptable that his holding the office of president is inconsistent with morality, justice, and social welfare, but that the governmental officials in charge of running the 2020 presidential election process acted inappropriately or even, some contend, engaged in criminal ballot tampering. For these reasons, to them Biden’s current presidency is unrightful because they see the process by which he was elected as unauthorized. Bobb, for example, goes on to say that Biden and his supporters “devised an evil [and illegal] scheme to steal our election.” Media Matters , “Joe Biden Is Not a Legitimate President.” Numerous post-election audits have found the allegations to be without merit. “Far Too Little Vote Fraud to Tip Election to Trump, AP Finds,” US News & World Report , December 14, 2021, https://www.usnews.com/news/best-states/pennsylvania/articles/2021-12-14/far-too-little-vote-fraud-to-tip-election-to-trump-ap-finds. In an April 2021 poll, about three-quarters of Republicans, a quarter of Democrats, and half of Independents indicated that they believe the 2020 election was affected by cheating. “Election Integrity: 62% Don’t Think Voter ID Laws Discriminate,” Rasmussen Reports, April 13, 2021, https://www.rasmussenreports.com/public_content/politics/general_politics/april_2021/election_integrity_62_don_t_think_voter_id_laws_discriminate. These debates are complicated, and it is difficult to pinpoint the origin, rationale, and true motivation behind these judgments that the election results, for example, are illegitimate. What can be said is that there seem to be not only deeply rooted disagreements in the United States over what policies are best, but also deep disagreements about whether a variety of laws or governmental actions are in fact authorized by the Constitution—a development arising because of deepening disagreements among citizens about what the Constitution and the rules it contains actually mean. In 2012, protestors held signs expressing their belief that Pennsylvania’s voter ID law, which would have required people to have and present specific types of identification in order to vote, was unconstitutional. The law was eventually struck down; however, the state legislature continues to work on measures aimed at creating stricter voting and election laws. (credit: “PA voter ID is unconstitutional” by Rick Smith/Flickr, CC BY 2.0) Some public allegations that a law or electoral outcome is illegitimate in the sense that it is unauthorized may be mere covers for the genuine view that the laws or the electoral results are themselves unrightful, even if they were authorized. Those making such claims may not wish to be seen as protesting authorized governmental activity since to do so could make them appear lawless or even revolutionary. The Legitimate Exercise of Power In some cases, the constitutional law of a governing regime authorizes the suspension of established laws and regulations, allowing the government to act without defined limits on the scope of its authorized actions. A common way this can occur is in regimes that authorize the government to declare states of emergency that suspend the government’s adherence to the ordinary scope of authorized power. There are strong reasons for states to resist invoking a condition of emergency. Clear lines of government authority, especially in the context of the state’s criminal law, tend to make people less fearful of the state, allowing the state more easily to call upon the people for support and thus enhancing the state’s legitimacy. Nevertheless, many regimes have the authority to declare emergencies—often in response to threats to public safety, such as terrorism—and to act in only vaguely specified ways during these periods. 45 Years Ago, a State of Emergency Was Declared in India In 1975, during a time of social and political unrest, India’s national government declared a nationwide state of emergency, allowing the government to suspend civil liberties. States generally see the establishment of public security as critical to their continued broad legitimacy: a state that cannot protect its people is likely to lose the widespread sentiment that it has the right to rule. Yet many states realize the potential negative consequences of unpredictable or unrestrained state action. For this reason, many regimes authorize the declaration of states of emergency , but only for limited periods of time. In France, for example, the president can declare a state of emergency for no more than 12 days, after which any extension must be approved by a majority vote of the legislature. France, La Constitution du 4 octobre 1958 , Const. Art. 16, https://www.conseil-constitutionnel.fr/en/constitution-of-4-october-1958; Loi n° 55-385 du 3 avril 1955 relative à l’état d’urgence, https://www.legifrance.gouv.fr/loda/id/JORFTEXT000000695350/. This power was enacted in response to terrorist attacks in 2015 and was renewed periodically until 2017. The state of emergency allowed, for example, certain otherwise unauthorized police procedures, such as searching for evidence without a warrant issued by a judge. Loi n° 55-385 du 3 avril 1955 relative à l’état d’urgence, https://www.legifrance.gouv.fr/loda/id/JORFTEXT000000695350/. France’s law authorizing emergency declarations dates to the 1950s, and that it is fully authorized by the French Constitution and widely approved France, La Constitution du 4 octobre 1958 , Const. Art. 16, https://www.conseil-constitutionnel.fr/en/constitution-of-4-october-1958. illustrates that in some circumstances governing regimes can legitimately exercise sweeping and unstructured governmental powers. In 2020, France also declared a state of emergency to deal with the COVID-19 pandemic. Where there is broad public support, regimes may periodically and legitimately reauthorize states of emergency. Take, for example, the State of Israel. Israeli law authorizes two different forms of declarations of emergency, one that can be issued only by the legislature and one that can be issued by the government’s executive officials without the need for the legislature’s approval. The first form, which allows the government “to alter any law temporarily,” Basic Law Art. 139(c); The Minerva Center for the Rule of Law under Extreme Conditions, Law and Emergencies: A Comparative Overview , January 2016, https://minervaextremelaw.haifa.ac.il/images/Emergency_Laws_and_Regulations_-in_Israel-_19-_Jan2016.pdf. can remain in effect for up to one year and can be renewed indefinitely. This allows governmental officials to use sweeping powers restricted only by the vague statement that emergency enactments may not “allow infringement upon human dignity.” Basic Law Art. 139(c); Minerva Center, Law and Emergencies . In addition, The Basic Laws of Israel allow the Israeli government—independent of a declaration of emergency by the legislature—to declare a condition of emergency. Law and Administration Ordinance Art. 9(a), 1 Laws of the State of Israel [Laws St. Isr.] 7 (1948) (enacted May 19, 1948); Minerva Center, Law and Emergencies . These decrees can remain in effect for three months but can also be renewed indefinitely. Minerva Center, Law and Emergencies . Pursuant to this authority, the government in 1948 issued an Emergency Defense Regulation that authorized the “establishing [of] military tribunals to try civilians without granting the right of appeal, allowing sweeping searches and seizures, prohibiting publication of books and newspapers, demolishing houses, detaining individuals administratively for an indefinite period, sealing off particular territories, and imposing curfew.” “Defense (Emergency) Regulations,” The Israeli Information Center for Human Rights in the Occupied Territories, https://www.btselem.org/legal_documents/emergency_regulations. This regulation has been renewed every year since 1948; today it applies mostly to the West Bank. “Declaring a State of Emergency,” The Knesset, https://m.knesset.gov.il/en/about/lexicon/pages/declaringstateemergency.aspx; Ahaz Ben Ari and Meir Elran, “States of Emergency: Legal Aspects and Implications for the Corona Crisis in Israel,” INSS Insight , no. 1292, April 5, 2020, https://www.inss.org.il/publication/coronavirus-and-law-2/; “Knesset Extends State of Emergency in Israel by Another Year,” Knesset News, August 3, 2021, https://main.knesset.gov.il/EN/News/PressReleases/Pages/press3821t.aspx; “Defense (Emergency) Regulations,” Israeli Information Center. Both forms of emergency decrees have broad support in Israel, Myriam Feinberg, “States of Emergency in France and Israel—Terrorism, ‘Permanent Emergencies,’ and Democracy,” Z Politikwiss 28 (2018): 495–506. indicating the popular sentiment that the Israeli government has the right to invoke such sweeping and unrestricted protocols because of the widely held belief among Israelis that the country faces serious and ongoing threats. Even when such declarations are authorized and have initial broad support, the extensive use of emergency decrees risks undermining the regime’s legitimacy. In the early 1970s, then-president of the Philippines Ferdinand Marcos tested the limits of using emergency declarations to claim sweeping powers. In General Order No. 1, issued on September 22, 1972, Marcos declared: “I, Ferdinand E. Marcos, President of the Philippines, by virtue of the powers vested in me by the Constitution as Commander-in-Chief of the Armed Forces of the Philippines, do hereby proclaim that I shall govern the nation and direct the operation of the entire Government, including all its agencies and instrumentalities.” “The Makings of a ‘Constitutional Dictator,’” Martial Law Museum, https://martiallawmuseum.ph/magaral/the-makings-of-a-constitutional-dictator/. As one scholar relates, Marcos “took great pains to ensure that his actions would align with the dictates of the law.” “Constitutional Dictator,” Martial Law Museum. The Philippine Constitution at the time allowed the president, in his role as Commander in Chief, to declare an emergency and to use emergency powers. “Declaration of Martial Law,” Official Gazette , https://www.officialgazette.gov.ph/featured/declaration-of-martial-law/ To ensure he could remain in office beyond the two four-year terms allotted to each president by the constitution, Marcos called for a constitutional convention, which was ratified by the population and which changed the position of president into that of a prime minister who could serve as long as the parliament approved. After an additional constitutional change in 1981 that made the office of president once again directly elected by voters, Marcos successfully ran for president, pledging to continue to exercise sweeping unrestricted powers. “Philippine Constitutions,” Official Gazette , https://www.officialgazette.gov.ph/constitutions/; “1973 Constitution of the Republic of the Philippines,” Official Gazette , https://www.officialgazette.gov.ph/constitutions/1973-constitution-of-the-republic-of-the-philippines-2/; Encyclopaedia Britannica Online , “Philippines: Martial Law,” https://www.britannica.com/place/Philippines/Martial-law. Marcos has thus been called a “constitutional dictator,” “Constitutional Dictator,” Martial Law Museum (emphasis in original). one who came to rule with unrestrained power through a popular constitution and as a leader who himself enjoyed wide popularity. Martial Law in the Philippines In 1972, the president of the Phillippines, Ferdinand Marcos, declared martial law. This video clip describes what led up to the proclamation and the extreme conditions in place in the Phillippines under martial law. At least, that is, at first. Over time, Marcos’s support deteriorated as people tired of his often chaotic and increasingly cruel dictatorship. By 1986, his People Power Revolution saw the electorate turn on him, and the United States pressured him to respect the electoral outcome and leave office. “A History of the Philippine Political Protest,” Official Gazette , https://www.officialgazette.gov.ph/edsa/the-ph-protest/; Encyclopaedia Britannica , “Philippines: Martial Law.” A regime that assumes long-lasting, sweeping, and only vaguely defined authority as the Philippines did under Marcos can become a police state (sometimes called a security state )—that is, a state that uses its police or military force to exercise unrestrained power. When states do not operate within clearly defined legal rules, political scientists say that the government in those states has little respect for the rule of law . Governments may also exercise unauthorized but legitimate forms of power. Although the absence of authority can be grounds for judging an exercise of power to be illegitimate, this is not always the case. Examples of unauthorized but legitimate government activities tend to fall at two ends of the spectrum of public importance: governmental actions that are generally considered rather insignificant and actions that are deemed to be of tremendous importance, especially in grave moments of crisis. On one end of the spectrum, as a result of the federal National Minimum Drinking Age Act of 1984, the legal age to purchase or publicly consume alcohol anywhere in the United States is 21. However, this law allows states to make exceptions to the age requirement for individuals under 21 who possess or consume alcohol in the presence of responsible parents. Not all states have created exceptions in their alcohol laws, and the possession of alcohol by anyone under the age of 21 is always technically illegal. National Institutes of Health, “Underage Drinking: Possession/Consumption/Internal Possession,” Alcohol Policy Information System, https://alcoholpolicy.niaaa.nih.gov/apis-policy-topics/possessionconsumptioninternal-possession-of-alcohol/42/about-this-policy. But in a number of these states there is such widespread sentiment that possession is acceptable in the presence of responsible adults that there is wide agreement that the state can exercise the unauthorized power to choose not to enforce the law under these conditions. On the other end of the spectrum, during perceived moments of grave emergency, such as a dire terrorist threat, there may be broad agreement that the government may, legitimately exercise the unauthorized use of power. Princeton professor Kim Lane Scheppele notes that since 9/11 a number of world governments have made “quick responses [to terrorism] that violate the constitutional order followed by a progressive normalization.” Kim Lane Scheppele, “Law in a Time of Emergency: States of Exception and the Temptations of 9/11,” Journal of Constitutional Law 6, no. 5 (2004): 1–75, 3. These actions might be limited in number, and the broader population may be unaware of their details and scope. Nevertheless, it is arguable that the population is aware that its government is taking unauthorized action in response to terrorist threats and that it supports the government’s right to do so. President George W. Bush speaks after the 9/11 terrorist attacks on the United States. (credit: “911: President George W. Bush Delivers Remarks on Terrorist Attacks from Barksdale Air Force Base, 09/11/2001” by The US National Archives/Flickr, Public Domain) The Illegitimate Exercise of Power and the Challenge of Revolutionary Change Some regimes, though they have established lines of authority, may come to be broadly illegitimate over time. Throughout history, there are many examples of times when the sense that a regime was no longer legitimate led the people to revolt, either by sustained, widespread peaceful protests—such as in the Velvet Revolution in November of 1989 that led to the dissolution of the communist regime of Czechoslovakia—or by internal violent regime change—that is, the use of revolutionary violence. Revolutions intent on removing a constitution almost always seek to replace one constitution with another. Is there a standard of justice that transcends the constitutional law of a particular regime, a standard that can guide a people as they seek to free themselves from one constitution and replace it with another? Historically, in the Western political context, the standard of basic morality, justice, and social welfare has been the set of natural rights guaranteed by the natural law. More recently, the standard is referred to most often as fundamental human rights. (See also Chapter 2: Political Behavior Is Human Behavior and Chapter 3: Political Ideology .) The meaning of these concepts—natural law, natural rights, and human rights—is often contested, and this disagreement complicates any efforts to establish new constitutions to replace illegitimate regimes. Successful revolutionary change faces numerous challenges, including the fact that people might agree that a regime is not worthy of support, but their reasons for that opinion may differ. Joseph Ellis has recently argued that not much more than a general notion that America should be independent of the British Empire united the American revolutionaries, who disagreed over why independence was necessary and what an independent America should look like. Joseph Ellis, The Cause: The American Revolution ad Its Discontents, 1773–1783 (New York: Liveright, 2021). Protestors march peacefully down a street in Prague during the Velvet Revolution in 1989. (credit: “Street photo from the ‘Velvet revolution’ in Prague 1989” by Josef Šrámek ml./Wikimedia Commons, CC BY 4.0) In the 1930s and 1940s in India, Mahatma Gandhi employed civil disobedience to protest British imperil rule. One way a group can seek to change a law or even an entire governing system is to engage in civil disobedience , the nonviolent refusal to comply with authorized exercises of power. In the 1960s, civil rights groups such as the Southern Christian Leadership Conference led by Rev. Martin Luther King Jr. used civil disobedience to protest racial discrimination. Although both started out as small protest movements, they grew into movements capable of undermining the broad legitimacy of the governing regimes they opposed. Methods of Developing Legitimacy Widespread support for the right of the government to rule can come from a variety of sources. Max Weber argued that broad legitimacy develops in three primary ways. Weber, Essays in Sociology. The first of these is what he calls traditional legitimacy , where the governing regime embraces traditional cultural myths and accepted folkways. The United Arab Emirates can be considered an example of a regime with traditional legitimacy. Located in the far eastern section of the Arabian Peninsula, the seven small states that make up the UAE are joined together in a loose confederation, with each ruled by a monarch or emir. This system aligns with long-standing traditional practices of tribal chieftains associating together in a loose alliance to meet common objectives. The second way legitimacy can accrue, according to Weber, is through charismatic legitimacy , when forceful leaders have personal characteristics that captivate the people. There are many examples of charismatic legitimacy throughout political history. Ruhollah Khomeini , a senior Shi‘a cleric who died in 1989, held remarkable appeal in Iran in the 1970s. Seen by many Iranians as a stern man of God, he was widely thought to be unaffected by the wealth, power, and corruption that so many Iranians saw as typifying the regime of the shah (or king) of Iran, Mohammad Reza Pahlavi . Khomeini was revered for his mysticism and his love of poetry. His personal magnetism played a large role in mobilizing Iranians to topple Pahlavi’s government and to replace it with the contemporary constitution of Iran, which establishes a Shi‘a theocracy , Encyclopaedia Britannica Online , “Ruhollah Khomeini,” https://www.britannica.com/biography/Ruhollah-Khomeini; Ghulam-Rida A’wani, The Wine of Love, Mystical Poetry of Imam Khomeini (Morrisville, NC: Lulu Press), https://www.google.com/books/edition/The_Wine_of_Love_Mystical_Poetry_of_Imam/a9pZCAAAQBAJ?hl=en&gbpv=1&dq=Ayatollah+Khomeini+mystical+poetry&printsec=frontcover. a system of government in which religious leaders have authorized governmental power and possess either direct control over the government or enough authorized power to control the government’s policies. Vanessa Martin, Creating the Islamic State: Khomeini and the Making of a New Iran (London: I. B. Tauris, 2003). Charismatic Che Guevara: Cuban Revolutionary Revolutionary Che Guevara is revered in Cuba as an anti-establishment hero. Weber’s third type of legitimacy is what he calls rational-legal legitimacy . This type of legitimacy develops as a result of the clarity and even-handedness with which a regime relates to the people. Take the example of Otto von Bismarck (1815–1898), who as the prime minister of Prussia forged a united German state. This new regime gained legitimacy not only because of the shared German culture of the formerly independent German states, but also because of the efficiency of its state bureaucracy, which established a uniform system of law administered by trained public servants. Based on Weber’s analysis, a regime can secure legitimacy if the following are true: Based on rational reflection, the people come to believe one of the following statements: The regime solidifies and advances the material interests of a large percentage of the population. The regime advances deeply held moral and/or religious principles or advances strongly valued cultural traditions. The regime both supports religious, moral, or cultural values and advances the people’s economic interests. Based on an emotional sentiment, the people feel a strong emotional connection with the state. Based on a habitual respect for the government, the people unreflectively support the regime. Legitimacy can be thought of as emerging from the agency of the people, who give their support to the regime either as a result of rational reflection, emotional attachment, or the acceptance of customary ways of relating to political power. However, one should not think of the agency of the people, by which they confer legitimacy on the regime, as something that is necessarily wholly independent of the actions of the regime itself. It is possible for a regime to shape the way people relate to it. Regimes employ different tactics toward that end, including government-controlled education, state control of the media and arts and entertainment sectors, and associating the regime, at least in the people’s perceptions, with the cultural or religious views predominant among the governed. As such, although some regimes may well enjoy broad legitimacy by the free choice of their citizenry, the possibility also exists that regimes gain legitimacy through what economist Edward Herman and philosopher and linguist Noam Chomsky call (in a different context) “ manufactured consent ”—that is, the shaping of the people’s response to the regime by state programs and activities designed to instill support for the regime, programs that might begin early in the citizens’ lives or that might affect citizens in subtle ways. Edward Herman and Noam Chomsky, Manufactured Consent: The Political Economy of the Mass Media (New York: Pantheon, 2002). Herman and Chomsky focus on the work of media elites to shape the population’s sentiments, but the term can be broadened to refer to the state’s attempt to do the same. Examples of this can include widespread and rather blatant government propaganda , usually defined as misleading statements and depictions meant to persuade by means other than rational engagement, or subtle control over the content of what is taught in schools. The contemporary government of the Eastern European nation of Belarus provides an especially vivid example of a regime seeking to manufacture consent through a coordinated effort to control access to information. Until the fall of the Soviet Union in 1991, Belarus was a part of the Soviet state. After it established independence from the defunct Soviet Union, Belarus adopted a constitution that—on paper at least—requires free and fair elections for major government positions and affirms freedom of the press. Upon taking office as president after his victory in the 1994 election, the current Belarusian president Alexander Lukashenko promised to allow broad civil liberties. “Monopolizing the Media and Information Flows,” Human Rights Watch, https://www.hrw.org/legacy/reports/1997/belarus/Belarus-05.htm. Yet, over the past 25 years, Lukashenko has exerted tremendous control over the media, including the internet. Paval Usau, “Ideology of Belarusian State Propaganda Mechanisms,” in Belarusian Society, 2007: Hopes, Illusions, Perspectives , ed. Marta Pejda (Madison, WI: East European Democratic Centre of the University of Wisconsin, 2007), 40–45; “Freedom on the Net 2021: Belarus,” Freedom House, https://freedomhouse.org/country/belarus/freedom-net/2021. Media content in Belarus is heavily restricted such that opposition voices are almost never depicted positively, “Belarus: More Media Censorship and Control with New Amendments of the Media Law,” European Federation of Journalists, https://europeanjournalists.org/blog/2018/06/24/belarus-more-media-censorship-and-control-with-new-amendments-of-the-media-law/. and the regime has used its control over the media to promote Belarusian independence and Belarusian nationalism. Artyom Shraibman, The House That Lukashenko Built: The Foundation, Evolution, and Future of the Belarusian Regime (Moscow: Carnegie Moscow Center, 2018), https://carnegieendowment.org/files/CP328_Shraibman_Belarus_FINAL.pdf. It is in this context that Lukashenko has continued to be reelected. The support he receives can be seen as being, to a large degree, a function of his government’s control over the formation of public opinion. To this extent, Lukashenko has followed the tradition of communist nations such as the Soviet Union and the People’s Republic of China, which have a long history of controlling their people’s access to information while advancing throughout society the state’s preferred political messages. The exercise of manufactured consent may not always be so overt in other countries, but it may be just as effective. This propaganda poster from the Mao era shows adoring Chinese citizens proudly waving their copies of Mao’s so-called Little Red Book, which he had widely distributed throughout China and which was required in all Chinese schools. The book contains sayings and speeches by Mao. The text of the poster reads: “The world is yours, as well as ours, but in the last analysis, it is yours. You young people, full of vigor and vitality, are in the bloom of life, like the sun at eight or nine in the morning. Our hope is placed on you.” (credit: “Quotations from Chairman Mao Zedong [...] ‘Talk at a meeting with Chinese students and trainees in Moscow’” by Thomas Fisher Rare Book Library, UofT/Flickr, CC BY 2.0) Failed and Fragile States When a state’s ability to exercise control such that it can provide minimal conditions of law, order, and social stability deteriorates to a precariously low level, it is called a fragile state . Fragile states still assert the authority to rule but have serious difficulties actually ruling. The erosion of a state’s legitimacy can lead to state fragility. A fragile state can also occur when a broadly legitimate state has its capacity to provide order depleted as a result of an external force, such as an invading army. Lothar Brock, Hans-Hendrik Holm, Georg Sorenon, and Michael Stohl, Fragile States (Cambridge, UK: Polity, 2012). If a fragile state loses the capacity to provide minimal conditions of law, order, and social stability entirely, it becomes a failed state . A failed state can emerge either when a state has collapsed so thoroughly that it lacks any governmental power altogether or when a shadow government has emerged—that is, an organization not authorized or desired by the government asserting rule over an area that effectively displaces and serves the same function as the official government. In this situation, internal violent regime change can occur, for if the shadow government becomes strong enough, it can mobilize sufficient power to dislodge entirely the existing regime and install itself as the authorized governmental entity. It may in the process have developed broad legitimacy, or it may simply have sufficient military power to take over the government, possessing the power of government and imposing laws that authorize its rule but not enjoying the wide support of the populace. A fragile government is one that is at serious risk of failing in either of these two ways or of experiencing violent regime change. In the early 2020s, a shadow government formed in large sections of Afghanistan , and the forces of that shadow government carried out violent regime change. From 1996 until 2001, the Taliban , an extremist Sunni Islamic movement, ruled the Afghan government. In 2001, in the wake of the 9/11 terrorist attacks orchestrated by Al Qaeda, a coalition of Western nations invaded Afghanistan. Due to concerns that the Afghan government had allowed the Al Qaeda terrorist network headed by Osama bin Laden to operate within the country’s borders, this coalition removed the Taliban from government. The coalition replaced the Taliban government with a governing regime that had considerable elements of representative democracy. In early 2021, a shadow government led by members of the Taliban resurfaced in areas of Afghanistan. In some of these areas, the Taliban enjoyed wide popularity. Writing in January of 2021, the reporter Mujib Mashal described one such area, the city of Alingar: “Alingar is . . . an example of how the Taliban have figured out local arrangements to act like a shadow government in areas where they have established control. The insurgents collect taxes . . . and have committees overseeing basic services to the public, including health, education and running local bazaars.” Mujib Mashal, “How the Taliban Outlasted a Superpower: Tenacity and Carnage,” The New York Times , January 15, 2021, https://www.nytimes.com/2020/05/26/world/asia/taliban-afghanistan-war.html. In August 2021, the capital of Afghanistan, Kabul, fell to Taliban forces, and the more democratic regime collapsed. The Taliban has since consolidated its power, issued laws authorizing its regime, and sought to secure legitimacy among the broad Afghan population. Whether Afghanistan’s restored Taliban regime will endure remains an open question. The current regime of Afghanistan represents a clear example of a fragile state. Fragile states either have a tenuous ability to keep the peace, administer court and educational systems, provide minimal sanitary and health services, and achieve stated goals such as conducting elections, or they are at risk of harboring within them rival organizations that can achieve these goals. Somalia is another example of a fragile state. Ignacio Fuente Cobo, Somalia: Picturing a Fragile State. The Existential Crisis of the Somali State (II) (Spanish Institute of Strategic Studies, 2015), https://www.ieee.es/en/Galerias/fichero/docs_analisis/2015/DIEEEA06-2015_Somalia_RadiografiaEstadoFragil_xIIx_IFC_ENGLISH.pdf. In more than 30 years of civil war, the regime governing Somalia has at times been at risk of failing to provide even a minimal level of security and stability. The condition in the country has stabilized somewhat from its low point in the early 1990s, when the risk of famine was so acute that the United States deployed military troops in Somalia to protect United Nations workers providing humanitarian relief in the country (a deployment that became controversial in the United States due to significant US military casualties). Kenneth R. Rutherford, Humanitarianism under Fire: The US and U.N. Intervention in Somalia (Sterling, VA: Kumarian Press, 2008). Somalia, however, still shows signs of fragility. Although the Somali government scheduled national elections to take place in the summer of 2021—the first to be held in decades—these elections have been indefinitely postponed in the face of continuing instability in the region. “Somalia Postpones Long-Delayed Election,” France 24, July 25, 2021, https://www.france24.com/en/live-news/20210725-somalia-postpones-long-delayed-election. UN troops from Pakistan board a United States Air Force plane bound for Somalia in 1992. (credit: “UN troops from Pakistan board USAF C-130 bound for Mogadishu, Somalia” by TSGT Marv Lynchard/Department of Defense/National Archives, Public Domain) A government can be defined as a set of organizations, with their associated rules and procedures, that has the authority to exercise the widest scope of power—the ability to impose its will on others to secure desired outcomes—over a defined area. Governments usually assert that they possess the final say on when the use of force is acceptable within the area over which they rule. Governments have an incentive to structure their exercises of power in the form of clearly authorized rules found in statutes, constitutions, or both, and most governments seek to legitimate their rule—that is, they seek to have their rule seen as rightful. Following Weber, many political scientists distinguish between broad legitimacy, or the fact of a state being seen as legitimate by a wide percentage of the population, and judgments about a government’s legitimacy made by individuals or groups. Governments sometimes suspend the authorized rules to respond to crises and sometimes do not enforce authorized rules; in both cases, it is possible that doing so can be seen as legitimate. Weber identified three major ways by which regimes can develop legitimacy: by ruling in accordance with tradition; by ruling through charismatic magnetism; or by ruling through rational laws. Governments can also attempt to manufacture popular support though the use of blatant or subtle forms of political propaganda. If either a government’s clearly authorized exercises of power or its exercise of vaguely defined emergency powers comes to be seen as illegitimate, the government can be exposed to civil disobedience or revolution. authority the permission, conferred by the laws of a governing regime, to exercise power broad legitimacy the trait a government has of being seen by the broad population subject to its authority as rightfully exercising its power bully pulpit the potential power of the president to influence legislators and the broad population charismatic legitimacy the accumulation of legitimacy through forceful leaders whose personal characteristics captivate the people civil disobedience the nonviolent refusal to follow authorized exercises of governmental power with the purpose of demanding political change failed state a condition where a state has collapsed so thoroughly that the area it once ruled experiences the absence or near absence of governmental power altogether or becomes an empty shell ruled by an unauthorized group fragile state a condition where the capacity of a state to exercise control over an area such that it can provide minimal conditions of law, order, and social stability deteriorates to a precariously low level governing regime a set of organizations, and their associated rules and procedures, that has the authority to exercise the widest scope of power—including the power to have the final say over when the use of force is acceptable—over a defined area, and which seeks to exercise its authority with legitimacy judgments about legitimacy the perspective of individual citizens or groups of citizens who make determinations about whether their government is or is not legitimate manufactured consent support for a regime that results from state programs and activities designed to indoctrinate the people and instill that support monopoly on the right to use violence a government claim to the right to use violence or to approve its use by others police state a state that uses its police or military force to exercise unrestrained power (see also: security state) power the ability to impose one’s will on others to secure desired outcomes propaganda misleading statements and depictions meant to persuade by means other than rational engagement rational-legal legitimacy a type of legitimacy that develops as a result of the clarity and even-handedness with which a regime relates to the people rightfulness the property a constitution, law, policy, or electoral outcome has of being morally appropriate and consistent with basic justice and social welfare rule of law a condition where states operate within clearly defined legal rules security state a state that uses its police or military force to exercise unrestrained power (see also: police state) shadow government an organization, not authorized or desired by the government asserting rule over an area, that effectively displaces and serves the same function as the official government theocracy a system of government in which religious leaders have authorized governmental power and possess either direct control over the government or enough authorized governmental power to be able to control the government’s policies traditional legitimacy a form of legitimacy that accrues when the governing regime embraces traditional cultural myths and accepted folkways", "section": "Contemporary Government Regimes: Power, Legitimacy, and Authority", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Categorizing Contemporary Regimes Learning Outcomes By the end of this section, you will be able to: Apply core concepts to contemporary examples of governing regimes. Discuss the nature and variety of authoritarian regimes. Discuss the nature and variety of representative regimes. Analyze the connections among legitimacy, authoritarian governments, and representative governments. Provide an overview of political history and contemporary political and legal developments. Regimes approach the acquisition, maintenance, and exercise of authority and legitimacy in many different ways. Though the range of regimes is staggering, there are a number of generalizations that characterize the rich diversity of the world’s governing regimes. Authoritarianism Authoritarian regimes authorize institutions, which in principle need not seek or secure the approval of the people, to use power. Authoritarian regimes can confer governmental power unchecked by popular elections in a wide variety of entities—including in the military, in religious leaders, in a monarchy, or in political parties espousing a particular political ideology. As a number of scholars have long noted, authoritarianism can take ether a hard or a soft form. This distinction has been drawn by scholars for several decades. Edwin A. Winckler, “Institutionalization and Participation on Taiwan: From Hard to Soft Authoritarianism?” The China Quarterly 99 (1984): 481–499. In hard authoritarianism , regimes act without consulting with the broad majority of citizens. International observers frequently cite these regimes as violators of their citizens’ human rights. In soft authoritarianism , on the other hand, regimes affirm their right to rule apart from consultation with or approval from the public, but nevertheless frequently seek the input of the people and frequently attempt to advance what the people desire. They may even have institutions with limited degrees of authorized power that are electorally accountable—and thus can be seen as a hybrid of authoritarianism and democracy—although in these cases the unaccountable element in the regime can usually override the actions democratically elected bodies undertake. Recent studies indicate that the number of these hybrid forms of authoritarianism grew in 2020. “Global Democracy Has a Very Bad Year,” The Economist, February 2, 2021, https://www.economist.com/graphic-detail/2021/02/02/global-democracy-has-a-very-bad-year. Although nondemocratic, these regimes sometimes prove to be relatively strong defenders of their citizens’ human rights—except, that is, for what many see as the basic human right to vote or otherwise shape in a formal, legal way the actions of one’s government. Authoritarianism and Legitimacy In some authoritarian regimes, there may be nothing to move the regime toward alignment with broadly held popular sentiments about what gives the regime the right to rule. In these regimes, the government may seek to engage, often in a systematic and pervasive manner, in the education of the populace, guiding the people to value the regime, its objectives, and its right to rule. This can take a variety of forms, including strict control over the education of the young, regulations on criticisms of the regime, and extensive government propaganda. These authoritarian regimes are often accused of “manufacturing consent.” In addition, authoritarian regimes may rely more heavily than representative governments on physical force to compel obedience to the regime. This fact raises the prospect that the regime will violate citizens’ human rights. Since authoritarian regimes may use substantial physical force to ensure compliance, they often develop large militaries and police networks. These enforcement agencies run the risk, over time, of coming to exert an unlawful level of control over the operations of the regime. Contemporary Thailand provides an example. Thailand is technically a constitutional monarchy, with the king subordinate to the parliament, prime minister, and the national court system. Recently, the state’s military has become the de facto governor of the regime. The 2020 election for parliament provided evidence of the military’s power, as most international observers detected that the military had systematically manipulated the vote to ensure the election to parliament of representatives favorable to the military and its political influence. “Demands for Democratic Reform Surge in Thailand,” NPR, August 17, 2020, https://www.npr.org/2020/08/17/903153495/demands-for-democratic-reform-surge-in-thailand. This development led to considerable protests against the regime. The legitimacy of the regime seems to be coming under question. Why Does Thailand Have So Many Coups? There have been more military coups in Thailand in modern history than in any other country in the world. Morocco: An Example of Soft Authoritarianism The Kingdom of Morocco constitutes a contemporary form of soft authoritarianism. The king of Morocco is the head of state —that is, the leader who represents the unity of the country. In many regimes, the head of state has little actual power. The Queen of England, for example, is the head of state of the United Kingdom, but she has very little control over government policies and actions. In Morocco, however, the king plays a much larger role in governing the nation. Morocco was under the control of the French Empire until 1956. In that year, Morocco secured independence and created a constitutional monarchy in which the king had great authority. He was both the head of state and the head of the government—that is, the leader of the executive branch—and he exercised control over most governmental affairs. A bicameral legislature was also created, but it had very limited lawmaking authority. Popular uprisings like the Arab Spring , a substantial movement across the Arab world between 2010 and 2013, sought to expand democracy. In response, the king of Morocco approved changes to the Moroccan constitution giving the legislature greater authority to pass laws on a wider range of issues. Encyclopaedia Britannica Online, “Arab Spring,” https://www.britannica.com/event/Arab-Spring. Today, members of the parliament are elected in free, open elections in which up to 31 parties and coalitions vie for office. Encyclopaedia Britannica Online, “Morocco,” https://www.britannica.com/place/Morocco; Tarik El Barakah, “Parties Campaign Ahead of Morocco’s Pivotal Elections,” AP News, September 7, 2021, https://apnews.com/article/africa-business-health-elections-europe-d775c3849447f662553e8ba3220e8292. The king is now the head of state, but he is no longer the official head of government. Unlike in the United Kingdom, however, although the king is called the head of state, he still exercises tremendous authority. Under the 2011 constitution, the king appoints the head of the government, who administers the executive branch on a day-to-day basis, and the king still remains the head of the military and has the authority to disband parliament, to veto laws passed through the legislature, and to issue legally binding decrees on his own without regard to parliament. Encyclopaedia Britannica, “Morocco”; Morocco’s Constitution of 2011, trans. Jefri J. Ruchti (Getzville, NY: William S. Hein & Co., 2012), https://www.constituteproject.org/constitution/Morocco_2011.pdf. The king of Morocco, therefore, still retains very substantial powers that enable him to override the will of the people as reflected in legislative elections. The Moroccan monarchy seeks to legitimize its rule largely on the basis of religion. The king is presented to the nation as the Amir al-Mu’minin , or the commander and defender of the Muslim faithful in his realm. The monarchy asserts that its lineage extends back to the prophet Muhammad, furthering its claims to legitimacy in this Muslim-majority nation. Anour Boukhars, Politics in Morocco: Executive Monarchy and Enlightened Authoritarianism (Abingdon, England: Routledge, 2011). In terms of human rights, Morocco has a history of repression in the Western Sahara region and an overall uneven record as judged by the norms of Western nations. However, in 2016 the United States embassy in Morocco noted “the positive steps that Morocco [has taken] to strengthen its respect for human rights,” although it also noted that more work is required to secure human rights in Morocco and in the region. “2017 Human Rights Report Communiqué,” US Embassy & Consulates in Morocco, March 3, 2017, https://ma.usembassy.gov/2017-human-rights-report-communique/. North Korea: An Example of Hard Authoritarianism One example of a hard authoritarian regime is the Democratic People’s Republic of Korea (DPRK), often referred to as North Korea . North Korea is effectively a type of communist dictatorship. The most powerful person in the DPRK is currently Kim Jong-un , who took power by the decree of his father, who had taken power by the decree of his father, the founder of the DPRK, Kim Il-Sung, a hero in the resistance movement to Japan during World War II. Encyclopaedia Britannica Online, “Kim Il-Sung,” https://www.britannica.com/biography/Kim-Il-Sung. Kim Jong-un possesses all effective political power and rules the society through his position as the general secretary of the Workers’ Party of Korea and as chair of the Central Military Commission. The DPRK constitution creates three branches of government. The executive branch is headed by the premier, a top-ranking member of the Workers’ Party, and Kim Jung-un also serves as the country’s president. Although the North Korean constitution does create a legislature, called the Supreme People’s Assembly, whose members are elected through a highly controlled process in which voters have no real choice of candidates, this legislature has no real power. Sung Chul Yang, The North and South Korean Political Systems: A Comparative Analysis (Abingdon-on-Thames, England: Taylor & Francis, 2019), 270. All members of the legislature must belong to an organization called the Democratic Front for the Reunification of the Fatherland, an ideological organization advocating North Korean nationalism. Korea North: Energy Policy, Laws and Regulations Handbook, Volume 1: Strategic Information and Developments (Alexandria, VA: International Business Publications, 2018), 71. https://www.google.com/books/edition/Korea_North_Energy_Policy_Laws_and_Regul/R_OxDwAAQBAJ?hl=en&gbpv=0; “Freedom in the World 2018: North Korea,” Freedom House, https://freedomhouse.org/country/north-korea/freedom-world/2018. The Workers’ Party is guaranteed up to 90 percent of the seats in the legislature. A judicial branch also exists, headed by the Supreme People’s Court. Because the legislature selects its members, they are not independent of the Workers’ Party and its ruler, Kim Jong-un. Encyclopaedia Britannica Online, “North Korea: Local Government,” https://www.britannica.com/place/North-Korea/Local-government. Through this system, the government maintains tight control over the economy and, in effect, over all property in the country. There are few if any civil rights, the state controls the media, and the government exercises control over who can enter and leave the country as well as who can live in and travel among the country’s various regions and cities (with permission to reside in the capital, Pyongyang, a coveted plum). The regime seeks to justify its rule though Juche , the North Korean regime’s ideology of national self-reliance. The government frequently seeks to stoke popular resentment, especially of the Japanese mistreatment of Koreans during World War II and of the United States’ air bombardment of North Korea during the Korean War (a war North Korea initiated when it invaded South Korea in 1950). The regime in turn presents itself as the defender of Korean independence, as the only means by which the entire Korean peninsula can be united, and as the only way by which North Korea’s interests can ever be served. As evidence of this, the government points to the substantial economic growth the country experienced in the mid-1950s, growth that eclipsed even that of South Korea, and claims that the country would once more enjoy this level of economic growth were it not for the sanctions imposed on it by foreign countries. To bolster these claims, the regime has developed an elaborate mythology, teaching that the ruling family is of divine or semidivine origin and that only through subordination to this family can the people themselves achieve genuine self-reliance. This subordination is not presented as degrading but as an act of familial love, since the Supreme Leader —the popular name for Kim Jung-un—is presented as a loving father and all North Koreans as his daughters and sons, on whom he dotes and whom he is rearing to grow into true self-sufficiency and deep devotion to their country. Heonik K. Kwon and Byung-Ho Chung, North Korea: Beyond Charismatic Politics (Lanham, MD: Rowman and Littlefield, 2012). This focus on the noble character of Kim Jong-un and his father and grandfather suggests that the regime’s claims to legitimacy are based less on communist ideology or national self-sufficiency and more on the (alleged) personal virtues of the men who have ruled the DPRK since it was founded in 1948. Eleanor Albert, “North Korea’s Power Structure,” Council on Foreign Relations, June 17, 2020, https://www.cfr.org/backgrounder/north-koreas-power-structure; Kongdan Oh and Ralph Hassig, North Korea in a Nutshell: A Contemporary Overview (Lanhan, MD; Rowman and Littlefield, 2021). Corn dries along the sidewalk on a street in Pyongyang, North Korea, as part of a traditional socialist farming practice emphasizing mass resilience in the face of natural disasters like typhoons and flooding. (credit: “drying corn in the middle of Pyongyang on the Sidewalk” by Mario Micklisch/Flickr, CC BY 2.0) The Case of Iran Some regimes, like contemporary Iran , blend hard and soft authoritarianism. Contemporary Iran emerged in the wake of the successful revolution in 1979. The goal of the regime in Iran is to work to ensure that society is pleasing to Allah. The overwhelming majority of the population of Iran is made up of Twelver Shi‘a Muslims. Adherents of Twelver Shi‘a Islam follow the guidance of Shi‘a religious leaders. William L. Cleveland, A History of the Modern Middle East (Abingdon-on-Thames, England: Taylor & Francis, 2018), https://www.google.com/books/edition/A_History_of_the_Modern_Middle_East/CUhaDwAAQBAJ?hl=en&gbpv=1&dq=twelfth+imam+mahdi+twelver+shi%27a&pg=PT54&printsec=frontcover; “Pilgrimage to Karbala,” PBS, March 26, 2007, https://www.pbs.org/wnet/wideangle/uncategorized/who-are-the-shia-hidden-imam/1731/; Encyclopaedia Britannica Online, “Twelver Shi‘ah,” https://www.britannica.com/topic/Twelver-Shia. Grounded on these theological principles, the constitution of the Islamic Republic of Iran vests ultimate political authority in a Supreme Leader, who must be a Shi‘a cleric of the Twelver school respected among the leading clerics of Iran. A Guardian Council of Islamic scholars works under the Supreme Leader. Under this is a parliament, made up of 290 elected members. The voters also elect a president. The Iranian voters, however, have a very limited degree of influence over the Iranian government. All candidates for the parliament or the presidency must be vetted and approved by the Guardian Council, and the Guardian Council must approve all the laws the parliament passes. Encyclopaedia Britannica Online, “Iran: Government and Society,” https://www.britannica.com/place/Iran/Government-and-society; “The Structure of Power in Iran,” Frontline, https://www.pbs.org/wgbh/pages/frontline/shows/tehran/inside/govt.html; Karim Sadjadpour, “The Supreme Leader,” The Iran Primer, October 2, 2010, https://iranprimer.usip.org/resource/supreme-leader. Nevertheless, the voters do have some say in the operations of the regime within these strict limits, and a variety of political parties vie to have their members elected to parliament. As such, the regime can be thought of as a sort of fusion of hard and soft authoritarianism. Martin, Creating the Islamic State; Abbas Milani calls the Iranian regime “paradoxical” due to its combination of institutions meant to ensure strict religious rule and more democratic branches of government. Abbas Milani, “The Authoritarian Resurgence: Iran’s Paradoxical Regime,” Journal of Democracy 26, no. 2 (2015): 52–60. In light of the regime’s ability to resist large-scale popular opposition such as the Green Movement of 2009, when substantial electoral challenges were made to the status quo, it can be argued that the regime tilts rather heavily in the direction of hard authoritarianism. Gunes Murat Tezcur, “Democratic Struggles and Authoritarian Responses in Iran in Contemporary Perspective” in Middle Eastern Authoritarianisms: Governance, Contestation, and Regime Resilience in Syria and Iran, eds. Steven Heydermann and Reinold Leenders (Stanford, CA: Stanford University Press, 2013). Representative Democratic Governments Unlike authoritarian regimes, representative governments only authorize governmental entities that are legally obligated to respond to and to be judged by the citizenry, through periodic elections, to make and enforce laws. These regimes therefore place most power in the hands of those who represent at least the majority of the people’s political preferences. The exception to this rule is the power of judges, which can include the power of judicial review , or the power to strike down statutes or regulations that the court determines violate the constitutional laws of the regime. In some representative regimes, judges are elected (as they are in several US states), but in other regimes the branches of the government that are electorally accountable to the people make judicial selections. The judiciary can wield its power to strike down laws as unconstitutional in a potentially counter-majoritarian way—that is, in a manner at odds with the preferences of the majority of the citizenry. Since the 19th century, the number of representative regimes has grown considerably, partly as a result of the victory of representative governments against fascist regimes in World War II, partly as a result of the fall of the nonrepresentative communist government in the Soviet Union and of the communist regimes in Eastern Europe in the early 1990s, and partly as a result of the third wave of democratization that began in the 1970s, which saw democratically accountable structures of government emerge in Spain, Portugal, South Korea, and, somewhat later, in Latin American countries such as Chile. These representative regimes vary in structure, though all share a commitment to ensuring that most authorized power is responsive and accountable to the nation’s citizens. Representative regimes use periodic elections to select most officeholders. The key legitimizing claim at the heart of representative regimes is that only when the people choose officeholders to represent their interests does the government deserve the right to wield power. Unitary versus Federal Representative Regimes Representative regimes can be structured in a number of concrete ways. One point of differentiation among representative regimes is the distinction between unitary or federal. In a unitary system , all the major electorally accountable officials are accountable to the entire citizenry, and they make and enforce laws for the entire country (with the exception of minor local-level matters that are handled by local elected assemblies). Regimes embodying federalism authorize a national government to exercise some powers and governments whose laws cover only a small region, such as a state or province, to exercise other forms of power. One possible advantage of a federal regime is its ability to accommodate regional differences. Different areas often have different sets of values, cultural practices, and economic activities, and a federal system allows provincial or state governments to administer most regional issues, leaving issues of common concern to the central government. The government of Canada provides one example. Created in 1867 as a federal system, the provincial government of Quebec has been able to reflect the historical connection between Quebecois (residents of Quebec), Catholicism, and French language and culture, while allowing other provinces to reflect their more British culture and values. Likewise, more rural provinces such as Alberta are able to focus on certain economic activities, such as oil production, cattle ranching, and agriculture, whereas more urban provinces, such as Ontario, can focus on areas such as industrial production and high-tech industries. By allowing provincial governments a degree of autonomy, the Canadian federation has been able to knit together a diverse citizenry. Another potential advantage is the reduced possibility of widespread abuse of governmental power. Since the force of government is distributed among multiple governments, federalism minimizes the likelihood that one government will become corrupt or abusive. Consider the importance the Allied powers placed on ensuring that the government that replaced the conquered Nazi regime embodied federalism. After the surrender of the Nazi government in 1945, the allies governed western Germany through military governors who oversaw West Germany’s reconstruction. The military governors, the most influential of whom were from the United States, had to approve the new West German government. They insisted that the West German government be structured according to federalism, with strong powers reserved to each state and only limited powers conferred on the national government. They looked to this structure of government in the hopes of ensuring that the new regime would not develop a concentration of power in the national government that could ever again emerge as a threat to international peace. Wolfgang Renzsch, “German Federalism in Historical Perspective: Federalism as a Substitute for a National State,” Publius: The Journal of Federalism 19, no. 4 (1989): 17–33. The Allies played an active role in leading—and shaping—the post–World War II recovery in Europe. The sign on the side of the building pictured here reads: “Berlin Emergency Program with Marshall Plan Help.” The Marshall Plan was a US-led piece of the recovery effort. (credit: “West Berlin, Germany. Marshall Plan aid to Germany totaled $1,390,600 and enabled that country to rise from the ashes of defeat, as symbolized by this worker in West Berlin. Even a year before the end of the Marshall Plan in 1951, Germany had surpassed her prewar industrial production level” by US International Development Cooperation Agency/National Archives, Public Domain) A third advantage of federalism is that it promotes more moderate policy outcomes. In a federal system, the central government retains some authority to make laws that impact the provinces, but it is not permitted to entirely override the provinces’ authorized scopes of authority. In federal systems, national and provincial governments often have differing views of the proper degree of overlap between their spheres of authority. Defenders of federalism see in this disagreement a productive tension that can lead to compromise and that often results in prudent policy outcomes. In contrast, proponents of a unitary system see clear lines of authority as a major advantage. In a federal system, the laws of the regime can become a patchwork of rules and regulations at the provincial level, topped by an uncertain allocation of authority to the national and provincial governments. This lack of clarity can lead to inefficiencies in the way the government operates and inefficiencies in the economy. Defenders of unitary governments usually add that a unitary system allows the people to focus their attention on the way the government exercises its power. In federalism, the people’s attention is split between the two levels of government, which can reduce the degree of focus on both. Defenders of unitary governments submit that representative government works best when all the people focus on the important work governments do on their behalf. They argue that the focus on one national source of lawmaking facilitates a stronger sense of national cohesion. Arthur B. Gunlicks, Comparing Liberal Democracies: The United States, United Kingdom, France, Germany, and the European Union (Bloomington, IN; iUniverse, 2011). Parliamentary Representative Democratic Government As discussed in Chapter 9: Legislatures and Chapter 10: Executives, Cabinets, and Bureaucracies , some representative regimes are structured as parliaments. Historically the parliamentary form of government emerged to provide a means for the quick resolution of pressing collective needs. In medieval England, where the parliamentary system first emerged, the king would call a parliament drawn from representatives of the commoners and of the nobility to agree on a course of action to meet a compelling threat or societal need, usually a threat or need requiring the king to tax the population to raise revenue. S. E. Finer, The History of Government from the Earliest Times, 3 vols. (Oxford, UK: Oxford University Press, 1999). To this day, parliamentary systems are structured to allow for substantial degrees of legislative action in a short period of time. If a party holds a majority in the parliament, it selects the officers of the executive branch, and thus a majority party can gain control of most governmental positions. A majority in parliament, therefore, can enact sweeping changes. However, parliamentary regimes may be much more fragmented. The State of Israel is an example of a parliamentary representative regime, and its structure has granted substantial influence to parties that represent only a small fraction of the population. Israel has a unitary regime in which the national parliament, called the Knesset , has the authority to pass laws for every region in the nation and at all levels of governance, including municipalities. “The Knesset,” Israeli Ministry of Foreign Affairs, https://www.mfa.gov.il/mfa/aboutisrael/state/democracy/pages/the%20knesset.aspx; Encyclopaedia Britannica Online, “Israel: Government of Israel,” https://www.britannica.com/place/Israel/Government. The Knesset is a unicameral parliament—that is, a legislative body with only one house. Candidates for the Knesset do not run for office in legislative districts. Instead, each party selects its own potential Knesset members, and each party is listed on a national ballot. All parties that receive over 3.25 percent of the vote receive the percentage of seats in the 120-member Knesset equal to their percentage of the national vote. The individuals selected by that party take the party’s seats in the Knesset. Only the parties, and not the individuals each party selects, are listed on the ballots. “Elections for the Knesset,” The Knesset, https://m.knesset.gov.il/en/mk/pages/elections.aspx; Encyclopaedia Britannica Online, “Knesset” https://www.britannica.com/topic/Knesset. As with other parliamentary systems, in Israel the executive branch is made up of a cabinet of ministers, each of whose position is derived ultimately from having the support of a majority of the members of parliament. If one party has a majority in the parliament, that party will create a list of ministers and send the list to the prime minister, whose job is largely ceremonial and who is expected to approve the list. In the event that no party receives a majority of the 120 votes, a coalition government is formed. Encyclopaedia Britannica, “Knesset.” A coalition government is an alliance of individual parties that by themselves do not have the support of the majority of the parliament but that, by agreeing to work together, can form a team of ministers that can acquire the support of the majority of the members in parliament. Once majority support for the list of ministers is secured, the list is sent to the prime minister for approval. “Israeli Democracy-How Does It Work,” Israeli Ministry of Foreign Affairs, https://www.mfa.gov.il/mfa/aboutisrael/state/democracy/pages/israeli%20democracy%20-%20how%20does%20it%20work.aspx. Israeli Coalition Reaches Deal to Oust Netanyahu In June 2021, a coalition in the Israeli Knesset reached a deal to oust Prime Minister Benjamin Netanyahu. One consequence of parliamentary governments such as Israel’s is that if the country is divided politically between major parties that each receive a great deal but not a majority of the vote and the two parties do not agree to work together, those two parties will vie to win the support of the small parties that hold the remaining parliamentary seats. If one of the large parties can form a coalition with enough small parties, it can reach the majority necessary to form the executive branch. However, small parties might not agree to give their support to larger parties without some assurance that their party members will hold a significant position in the executive branch. In this way, parties can come to exercise influence out of proportion with the strength of their support in the population as a whole. This has been common over the past four decades in Israel, as the conservative Likud Party and the more liberal Labour Party have each received about 40 percent of the vote “Israeli Elections: Electoral History,” Jewish Virtual Library, https://www.jewishvirtuallibrary.org/israeli-electoral-history; “Twentieth Knesset,” The Knesset, https://knesset.gov.il/description/eng/eng_mimshal_res20.htm. and both have formed coalitions with smaller parties, including parties representing the relatively small number of ultra-Orthodox Jews in Israel. “Israel Election Results: Most Ultra-Orthodox Leaders Declare They Will Back Netanyahu for Prime Minister,” Haaertz, March 28, 2021, https://www.haaretz.com/israel-news/elections/israel-election-results-lapid-gantz-to-meet-sunday-to-discuss-forming-coalition-1.9662066; “Ultra-Orthodox Jewish Community in Israel: Facts and Figures,” Jewish Virtual Library, https://www.jewishvirtuallibrary.org/ultra-orthodox-jewish-community-in-israel-facts-and-figures. In 2021, a group of non-Likud parties formed a coalition government with a small Arab party. This has given an Arab party, for the first time, substantial influence in Israel in excess of its overall percentage of the vote. Guy Grossman and Devorah Manekin, “An Islamist Party Is Part of Israel’s New Coalition Government. How Did That Happen?” Washington Post, June 7, 2021, https://www.washingtonpost.com/politics/2021/06/07/an-islamist-party-is-part-israels-new-coalition-government-how-did-that-happen/. Democratic Representative Systems with a Congress, President, and Independent Judiciary, and Blended Systems In a representative constitution with a congressional legislature, a presidential executive, and an independent judiciary, citizens, broken up into sections or districts, elect representatives to the legislature. The president is elected independently of the legislature, and usually these two independent branches must either agree for a law to be passed or one branch (usually the legislature) can override a veto of the other. After laws are passed, a judiciary, whose decisions are independent of the legislature and the executive branch, has the right to strike down any laws deemed to violate the constitution. The federal government under the United States Constitution may be the best-known example of such a system. The structure of the government of the United States serves the goals the United States government has historically set—to secure the natural rights of the people while also providing common defense and facilitating economic prosperity. As the preamble to the Constitution asserts, the structure of federal government is designed “to form a more perfect Union, establish Justice, ensure domestic Tranquility, provide for the common defense, promote the general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity.” The United States was founded on the belief that these tasks require a government that can act with speed when necessary but not so hastily as to permit the government to violate personal liberties. To this effect, the Constitution invests the federal government with substantial political power while also restraining that power. As discussed in Chapter 4: Civil Liberties and Chapter 7: Civil Rights , the Constitution restrains that power by itemizing civil liberties the government cannot revoke, a list found in Article 1 Section 9 of the Constitution, and delineating civil rights the government must protect, a list found in the Bill of Rights —the first 10 amendments to the Constitution. For the same reason, the Constitution has been interpreted as authorizing the exercise of most acts of political power only when there is agreement among all three branches of government—the legislative, the executive, and the judiciary—to reduce the possibility of governmental abuse. Thomas West, The Political Theory of the American Founding: Natural Rights, Public Policy, and the Moral Conditions of Freedom (Cambridge, UK: Cambridge University Press, 2017). Separation of Powers This short video discusses the philosophy behind the separation of powers as it is included in the United States Constitution. The United States is not unique in adopting a regime that embodies a separation and balance of powers. The federal government of Mexico, for example, is also based on a separation of powers among a president, a national congress, and an independent judiciary. The structure of the Mexican federal legislature, however, is different than that of the United States. The Mexican legislature blends a proportional system of representation with a system based on representatives elected in distinct districts. The Mexican federal legislature is bicameral. The lower chamber, called the Chamber of Deputies, has 500 members, 300 of whom are elected by voters in single districts. The remaining 200 seats are selected using a system of proportional representation. The 200 seats are divided among five large regions, each containing a number of states. (Mexico, like the United States, is a federal system with state- and federal-level governments authorized to exercise distinct powers.) In each of these five regional elections, each party seeking office is listed on the ballot, and the 40 seats for that region are allocated on the basis of the proportion of the vote each party receives. The Chamber of Senators operates in a similarly blended way, but through the use of a nationwide proportional vote. The Chamber of Senators has 128 members, 96 of whom are elected in districts and 32 of whom are selected by a national ballot on which each party running for office is listed, with the 32 seats being distributed to the parties on the basis of their percentage of the national vote. Regime Types and Data Analysis This graph plots countries according to their political regime type and Human Rights Protection Score. Political regime types are plotted as 0 = “closed autocracy,” 1 = “electoral autocracy,” 2 = “electoral democracy,” and 3 = “liberal democracy.” (credit: “Political regime type vs. Human Rights Score, 2017 by Our World in Data, CC BY 4.0) As you read through this chapter, you may notice connections and contradictions among different types of regimes. Political scientists often look for what they can learn from the similarities and differences among regimes and how they can use that information to explain the behavior of states and other actors. This process involves collecting pieces of data about regimes and comparing that data through either quantitative or qualitative analysis. When you learn to draw conclusions from this type of data analysis, you better understand different types of regimes while developing a marketable skill. The ability to understand and analyze empirical and quantitative data is useful in a wide range of contexts. For example, retailers often want to understand and compare preferences across multiple different groups. Knowing how to analyze and interpret data can help you understand the similarities and differences between regimes or between consumer groups. At the end of the day, you use the same skill set. The federal executive branch in Mexico is directly elected by popular vote. The judicial branch is capped by the Mexican Supreme Court, which has the power of judicial review. The president nominates three candidates for each open position on the Supreme Court, and a nominee requires the approval of two-thirds of the senate to join the Supreme Court. Each Supreme Court justice serves for a 15-year term and can only be removed through impeachment by a majority vote in the Chamber of Deputies, followed by a trial and conviction in the senate, a process that requires two-thirds of the senate to agree to remove the justice. “The Mexican Electoral System,” Instituto Nacional Electoral, https://portalanterior.ine.mx/archivos3/portal/historico/contenido/The_Mexican_Electoral_System/; Matthew C. Ingram and Diane Kapiszewki, Beyond High Courts: The Justice Complex in Latin America (Notre Dame, IN: University of Notre Dame Press, 2019), https://www.google.com/books/edition/Beyond_High_Courts/wphWDwAAQBAJ?hl=en&gbpv=1&dq=mexico+mexican+Supreme+Court+justice++impeachment+by+a+majority+vote+%22Chamber+of+Deputies%22&pg=PT193&printsec=frontcover. The government of Mexico has sought to legitimize its rule in large part through declaring, in explicit detail, the rights it recognizes and by dedicating itself to concrete measures of social, economic, and cultural improvement. The Mexican Constitution pledges itself to defend and promote a wide array of rights—far wider than the list of rights found in the United States Constitution’s Bill of Rights and its 13th Amendment (banning slavery), 14th Amendment (providing equal protection under the law), and 15th and 19th Amendments (guaranteeing voting rights to all adult men and women). The Mexican Constitution includes all of these rights and many additional rights such as “the right to have a decent and socially useful job” (Article 123); the right to be free from “any form of discrimination . . . which violates the human dignity” (Article 1); the right to an “education provided by the State [that] shall develop harmoniously all human abilities and will stimulate in pupils the love for the country, respect for human rights and the principles of international solidarity, independence and justice” (Article 3); the right to “quality nourishment” provided by the state (Article 4); the right “to enjoy a decent and respectable house” (Article 4); and the right to “practice sports” (Article 4). Mexico’s Constitution of 1917 with Amendments through 2015, trans. M. Fernanda Gomez Aban (Comparative Constitutions Project, 2021), https://www.constituteproject.org/constitution/Mexico_2015.pdf?lang=en. In addition, the Mexican Constitution makes extensive reference to the rights of Indigenous groups. As evidence of its responsiveness to the people’s needs and desires, the government points to the fact that the constitution has been amended over 200 times since its adoption in 1917. Mauro Arturo Rivera León, “Understanding Constitutional Amendments in Mexico: Perpetuum Mobile Constitution,” Mexican Law Review 9, no. 2 (2017): 3–27, DOI:10.22201/iij.24485306e.2017.18.10774. In all, the vast ambition to advance the social justice these constitutional rights represent continues to supply the foundation for the claims of legitimacy of the federal government in Mexico. In the last several decades, however, a number of political scientists have documented a decline in governmental legitimacy in Mexico, due in part to the people’s concern over the power of drug cartels to corrupt governmental officials and to run shadow governments and in part to the rise of violent crime associated with the cultivation and distribution of drugs. Benjamin J. Mackey, “A State of Illegitimacy: The Dynamics of Criminal and State Legitimacy in Mexico,” Inquiries Journal 10, no. 10 (2008), http://www.inquiriesjournal.com/articles/1742/a-state-of-illegitimacy-the-dynamics-of-criminal-and-state-legitimacy-in-mexico. Increasingly, many Mexicans fault the government for its inability to effectively address these problems. Since so much of the crime and corruption causing the decline in Mexican governmental legitimacy involves illegal drugs supplied by violent cartels, the Mexican government has recently begun to explore alternatives to policies of criminalizing and imprisoning drug dealers. In 2021, the Mexican federal government took a step toward putting this new way of thinking into practice when it legalized the recreational use of marijuana . Whether this policy or similar policies will help the government to reign in organized criminal violence and to therefore enhance government legitimacy remains to be seen. Regimes represent a wide variety of institutional forms. In authoritarian regimes, political power is consolidated in a group that is not accountable to the people through elections. Authoritarianism can be divided into soft and hard versions based largely on the degree to which the government consults with the people and aspires to uphold the people’s genuine interests and rights. The Democratic People’s Republic of Korea, known as North Korea, is an example of hard authoritarianism, and the Kingdom of Morocco can be seen as an example of soft authoritarianism. A regime can also blend elements of soft and hard authoritarianism, which is arguably the case in the Islamic Republic of Iran. Representative democratic government constitutes an additional kind of regime. Representative governments take a variety of forms. Some are federalist, where power is divided between national and regional governments, and others are unitary systems, where governmental power is held almost exclusively at the national level. Further, representative democracies can have a parliament, where the executive branch is selected by the legislative branch. Some parliamentary systems, such as in the State of Israel, confer seats in the legislature based on a party’s proportion of the popular vote rather than having elections among candidates in a set number of electoral districts. Systems that have a separation of power and a congressional system of government have an independently elected executive branch and usually elect legislators from set electoral districts, although some representative governments, such as the government of Mexico, blend selection of legislators by district elections and by proportional representation determined by the percentage of the vote parties in large sections of the country receive. Regimes across the world seek to legitimize their rule in a variety of ways, including by reference to tradition or the religious status and charisma of the leadership, or by claims to be protecting the rights of the citizens and/or advancing ambitious goals for establishing social justice. coalition government an alliance of individual parties that by themselves do not have the support of the majority of a parliament but that, by agreeing to work together, can form a team of ministers that can acquire the support of the majority of parliament federalism a regime type that authorizes a national government to exercise some powers and governments whose laws cover only a small region, such as a state or province, to exercise other powers hard authoritarianism the condition where a regime acts without any consultation with the broad majority of citizens head of state a political leader who represents the unity of the country Juche the North Korean regime’s ideology of national self-reliance Knesset the unitary national parliament of the State of Israel soft authoritarianism a condition where a regime affirms its right to rule apart from consultation with or approval from the public but nevertheless frequently seeks the input of the people and frequently attempts to advance what the people desire Supreme Leader in Iran, an office vested with ultimate political authority that must be held by a Shi‘a cleric of the Twelver school who is respected among the leading clerics of Iran; in North Korea, the popular name used for the nation’s most powerful leader third wave of democratization a movement that began in the 1970s that saw democratically accountable structures of government emerge in Spain, Portugal, South Korea, and, somewhat later, in Latin American countries such as Chile unicameral a legislative body that has only one house or chamber unitary system a system of government in which all major electorally accountable officials are responsive to the entire citizenry and make and enforce laws for the entire country (often with the exception of minor local-level matters that are handled by locally elected assemblies)", "section": "Categorizing Contemporary Regimes", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Recent Trends: Illiberal Representative Regimes Learning Outcomes By the end of this section, you will be able to: Explain the connection between contemporary liberalism and political regimes. Examine the diversity of objectives and priorities set by governing regimes. Discuss political history and contemporary political and legal developments. Having analyzed core concepts and surveyed a range of governing regimes, this chapter closes by reflecting on some recent global trends. Contemporary liberal ideology affirms the importance of citizens having political freedom —that is, the freedom to participate in a meaningful way in democratic elections that can shape the actions of one’s government. However, contemporary liberalism also affirms a wider set of freedoms, including both economic freedoms and such freedoms as freedom of speech, a free press, religious freedom, and the freedom to define one’s own sense of personal identity and to be treated equally by the government regardless of one’s personal beliefs, practices, or sexual orientation. Although representative governments aspire toward liberal ideology in the sense of allowing political freedom, do they tend to respect these other freedoms? The answer is mixed. Among contemporary regimes, a number of representative regimes that are not fully in accord with this liberal ideology have emerged and persist. Hungary Since the collapse of communism in Eastern Europe in the late 1980s, Hungary has had a representative parliamentary system. Although Hungary has a representative regime, one party—the Fidesz , an ideologically conservative, nationalist party that currently enjoys popular support—has used its majority position in the Hungarian parliament to enact laws curbing a number of freedoms. The government has created a National Media and Communications Authority that can impose heavy fines for coverage that it considers “unbalanced or offensive to human dignity or common morals.” Judy Dempsey, “Hungary Waves off Criticism over Media Law,” The New York Times, December 25, 2010, https://www.nytimes.com/2010/12/26/world/europe/26hungary.html. It has curbed religious freedom by requiring religious institutions to register with the state in order to receive the guarantee of religious liberty and by designating only 14 religious communities as entitled to religious freedom; Paul Krugman, “Hungary’s Constitutional Revolution,” The New York Times, December 19, 2011, https://krugman.blogs.nytimes.com/2011/12/19/hungarys-constitutional-revolution/. it has failed to condemn certain outbursts of anti-Semitism in the country; Bernard Rorke, “Hungary’s Fidesz and Its ‘Jewish Question,’” Open Democracy, September 22, 2014, https://www.opendemocracy.net/en/can-europe-make-it/hungarys-fidesz-and-its-jewish-question/. and it has banned same-sex marriage and adoption by LGBTQ persons, gender reassignment surgery, and the “promotion” of homosexuality to individuals under 18, as well as any “portrayal” of homosexuality directed at those under 18. “EU Votes for Action over Hungary’s Anti-LGBT Laws,” BBC News, July 8, 2021, https://www.bbc.com/news/world-europe-57761216. European Elections: Exit Polls Show Victory for Orban’s Fidesz Party in Hungary in 2019 The resounding victory of Victor Orban’s Fidesz Party in Hungary’s 2019 election represented a major success for nationalist politics in Europe. Some criticize certain acts of the Fidesz Party, such as the way it has used its power in parliament to draw electoral districts to advantage its candidates (what is called gerrymandering in the United States), for undermining Hungary’s representative system of government. Some further criticize how the Hungarian constitution allocates representation in the parliament in a way that favors certain regions of the country. Nicholas Kulish, “Foes of Hungary’s Government Fear ‘Demolition of Democracy,’” The New York Times, 21 December 2011, https://www.nytimes.com/2011/12/22/world/europe/foes-of-hungarys-government-fear-demolition-of-democracy.html. Despite these criticisms, the Fidesz Party remains popular and has adopted its illiberal policies without contravening the basic structure of Hungary’s governing regime. India India , another parliamentary representative regime, recently has experienced a similar development. In 2014, a majority of the members of the Indian parliament elected Narendra Modi , and since then he has served as India’s prime minister. Modi’s party, the Bharatiya Janata Party (BJP) , has also won parliamentary majorities in a large number of India’s state-level parliaments. The BJP espouses an ideology of Hindu nationalism , seeing India as an inherently Hindu country. Pursuant to this ideology, as of 2021 eight state parliaments—each with a BJP parliamentary majority—have passed laws regulating religious conversion. Most observers view these measures as evidence of a fear that people will convert from Hinduism to other faiths. Prabhash K Dutta, “‘Love Jihad’ Undefined, Yet States Rushing with Anti-Conversion Laws,” India Today, November 18, 2020, https://www.indiatoday.in/news-analysis/story/love-jihad-anti-conversion-laws-madhya-pradesh-uttar-pradesh-haryana-karnataka-1741872-2020-11-18; Ghazala Jamil, “India’s ‘Love Jihad’ Anti-Conversion Laws Aim to Further Oppress Minorities, and It’s Working,” The Conversation, September 3, 2021, https://theconversation.com/indias-love-jihad-anti-conversion-laws-aim-to-further-oppress-minorities-and-its-working-166746. According to these conversion laws, to change their religion, individuals must first have their conversion investigated by state officials who must be convinced that the conversion is free and fully informed. Otherwise, the conversion is illegal. Dutta, “‘Love Jihad’ Undefined.” Human rights groups have argued that these laws inherently violate religious liberty by allowing the state to judge one’s religious beliefs (to determine if they are “sincere,” “freely adopted,” and “fully informed”). Moreover, human rights groups have documented how these laws are sometimes unfairly enforced so as to curb religious conversion, further undermining the principle of individual religious liberty. William Stark and Matias Perttula, India’s Anti-Conversion Laws and Their Effects on the Christian Community (Silver Spring, MD: International Christian Concern, 2021), https://www.persecution.org/wp-content/uploads/2021/07/2021-07-12-India-Report.pdf. These laws—if not the ways they are alleged to be unfairly enforced—have been adopted by a process that aligns with India’s parliamentary system. Pakistan In Pakistan —a country that, like India, has a representative government at both the national and regional levels—threats to religious freedom have also become pronounced. When the Indian subcontinent (a territory that included the modern-day states of India, Pakistan, and Bangladesh) achieved independence from British rule in 1947, Pakistan was partitioned from the rest of the subcontinent to allow for the creation of a government that would rule a majority-Muslim population in accordance with Islamic values. Those who defend the legitimacy of the 1956 constitution of the Pakistan Islamic Republic do so in large measure on the basis that it affords Muslims from the subcontinent a place in which to safely practice their Islamic faith in a social and community context reinforced by the social norms of a Muslim society. Since the overwhelming majority of Pakistanis are Muslim, their elected representatives are as well. Working within the parliamentary system, in the 1980s Pakistani parliaments passed laws that expanded the earlier laws against blasphemy , insulting speech or publications about a religion or its tenets, that were in effect since Pakistan’s founding. Until the 1980s, these laws were general, mentioning no religion or religious text specifically and thus equally protecting all religions against blasphemy. In the 1980s, however, national and regional parliaments in Pakistan added to the blasphemy laws specific prohibitions on insulting Islam , the Prophet Muhammad, and the Koran. The source of these laws appears to many observers to be a desire to shield Islam in particular from blasphemous speech. “What are Pakistan’s Blasphemy Laws?” BBC News, May 8, 2019, https://www.bbc.com/news/world-asia-48204815. Moreover, these laws define blasphemy broadly and require only a low level of proof to secure conviction in a Pakistani court. Human rights organizations have criticized these laws as being overly broad and unjustly enforced, and thus infringements on the freedom of speech and religion. Harrison Atkins, Policy Update: Pakistan’s Blasphemy Law (Washington, DC: United States Commission on International Religious Freedom, 2019), https://www.uscirf.gov/sites/default/files/2019%20Pakistan%20Blasphemy.pdf. These laws, however, appear to be popular, and nothing in the Pakistani Constitution prohibits the government from banning blasphemous speech. “Pakistan’s Blasphemy Laws,” BBC. Not all representative systems will tend to advance what Western political regimes increasingly see as the cornerstone of their own political legitimacy—the preservation of a broad range of personal rights and freedoms. Whether these regimes will move or be moved to do so in the future remains an open question. One important global trend among political regimes is the popularity of illiberal representative governments. In Hungary, the people have democratically elected to the largest number of political offices a political party that espouses nationalism and values that stand in opposition to global human rights standards. In India, the people have elected Hindu nationalists who have advanced laws supporting Hinduism that many human rights organizations criticize. Representative regimes, therefore, do not always embrace the conceptions of individual rights and human equality that are increasingly central in many representative governments. Suggested Readings Frantz, Erica. Authoritarianism: What Everyone Needs to Know . Oxford, UK: Oxford University Press, 2018. Gilley, Bruce. The Right to Rule: How States Win and Lose Legitimacy . New York: Columbia University Press, 2009. Mommsen, Wolfgang. The Political and Social Theory of Max Weber . Oxford, UK: Blackwell, 1989. Arab Spring a movement across the Arab world in the early 2010s seeking to expand democracy blasphemy insulting speech or publications about a religion or its tenets Fidesz an ideologically conservative, nationalist party that enjoys popular support in Hungary Hindu nationalism a political movement that sees India as an inherently Hindu country political freedom the freedom to participate in a meaningful way in democratic elections that can shape the actions of one’s government", "section": "Recent Trends: Illiberal Representative Regimes", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction In an attempt to expand its presence in the South China Sea, China is beginning to construct artificial islands, which are being used as a base for Chinese military operations. Their proximity to US allies such as the Philippines creates some concern about the role China wishes to play in asserting its control over what goes on in Southeast Asia. (credit: “One of the militarized islands by China off the coast of Philippines” by Tony Peters/Flickr, CC BY 2.0) The study of international relations is a subfield of political science that focuses on the ways that different states interact with one another. The main goal of all relationships among states is to work toward making the international system one of peace—friendly, nonviolent relations among states—and balance—an equal distribution of the chance for any country to take the lead in setting the course for the international system. As with all things related to politics, who has the means to exert their power to guide the action of members of the political community determines who gets to set the terms of “peace” and be in charge of what “balance” looks like. Power can best be defined as the ability to establish and enforce the rules to which all other actors in a system must adhere. This chapter looks at the different players in the international system and how they interact. It examines the principles that guide the establishment of the political, social, and economic environment in which these interactions take place. international relations a subfield of political science that focuses on the ways different states interact with one another", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "What Is Power, and How Do We Measure It? Learning Outcomes By the end of this section, you will be able to: Define power as it applies to international relations. Describe the different types of power political actors may possess. Simply defined, in international relations, power is the ability of a state to prompt its preferred outcome in a given situation. States aim to protect their sovereignty —their authority to govern themselves—and guard against attacks from other countries. Growing and projecting their strength is the means through which they achieve this goal. The way a state sees its place within the larger system based on the worldview its policy makers adhere to serves as the foundation for the state’s power. The theories discussed in this chapter will help illuminate the role power plays in international interactions. They describe the different methods states use to exert their power and how the application of the levers of state power can lead to an increase in a state’s ability to chart its own course and to induce other states to support its attainment of its preferred outcomes. At the same time, the theories describe how other states characterize the state’s actions and determine their responses to those actions. A state’s power includes its military, political, economic, and soft power . The more states attend to and invest in the development of each of these elements of the power they wield, the greater their potential to have an impact on the international stage. Military Power States that function with a general sense of self-preservation and a broad mistrust of other members of the international community see the military as the most important means for the projection of their power. The application of military power can be active, in the form of an outright attack or an invasion, or it can be passive, as when a state illustrates its ability to prevail in a military confrontation without actually engaging in one. Traditionally, states have launched military offensives against selected targets to secure state power. A more passive way states can exert their power is through deterrence , the buildup of military might to such a level that an adversary state or states reconsider the use of their own military against the primary state. If state A thinks it has a military advantage over state B, state A may be motivated to attack state B, especially if an important resource or other key objective is at stake. Should state B begin to expand its military power, state A might be motivated to reconsider its course of action. Deterrence in Foreign Policy In this clip, Council on Foreign Relations Adjunct Senior Fellow for National Security Studies Richard Betts and Adjunct Senior Fellow for Defense Policy Stephen Biddle describe how states use deterrence to avoid war. North Korea is an example of a modern state that leans on deterrence through military means. North Korean leader Kim Jong Un chooses to divert a substantial portion L. Yoon, “North Korea’s Share of Military Expenditure in GDP 2018–2020,” Statista, Accessed February 4, 2022. https://www.statista.com/statistics/747387/north-korea-share-of-military-spending-in-budget/. of the country’s relatively meager GDP toward the military to throw off any plans that any other country might have of attacking it. He does this even at the expense of much-needed domestic spending on things like food and social services. As this propaganda poster photographed in Pyongyang in 2011 shows, in North Korea the military is the first priority. (credit: “Propaganda” by Michael Day/Flickr, CC BY 2.0) A state can also obtain military protection by entering into a security pact , an agreement among multiple states to support each other in case of a military attack, such as NATO or the Warsaw Pact . (For more on NATO, see the discussion of collective security in 14.5: The Realist Worldview and Chapter 15: International Law and International Organizations .) Economic Power A state can have both internal economic power, with a strong domestic economy marked by increasing gross domestic product (GDP) and/or a currency that allows the state to purchase goods and services at a relatively low cost, and external economic power, with leverage in international economic relationships. Externally, a state can project its economic power to the rest of the world in its international trade relationships and its participation in international economic organizations, such as the World Trade Organization , the International Monetary Fund , and the World Bank . States can also increase their economic power relative to other states by controlling more of the basic factors of production . There are four basic factors of production, that is, four levels of economic development: primary, secondary, tertiary, and quaternary. The primary level of economic development focuses on agriculture, the secondary focuses on manufacturing, the tertiary focuses on the service industry, and the quaternary focuses on research and development. When one state controls more of the basic factors of production and can create a particular good or service in a more cost-effective manner than a second state, the first state is said to have a comparative advantage in the production of that good or service. Comparative advantage allows a country to strategically invest in the factors of production—land, labor, capital, and entrepreneurship—within its borders in order to develop goods or services that make it a preferred resource for consumers versus other countries. Consider one classic example of comparative advantage. If England needs the same amount of resources to create five yards of cloth as it does for the country to produce one barrel of wine, and with the same resources Portugal can create five barrels of wine but only one yard of cloth, then we can say that Portugal has a comparative advantage over England in making wine and England has a comparative advantage over Portugal in making cloth. Therefore, it would be better for England to focus on cloth production and for Portugal to focus on wine production, with each country trading for the goods it needs that the other country can produce more efficiently. Draw Me The Economy: What Is Comparative Advantage? This animated video clip explains, in simple terms, how comparative advantage works in a free market. China provides a contemporary example of a state that uses its place in the international economic system to extend its power. The Chinese government has taken care to ensure its position as the preeminent global resource for manufacturing. Darrell M. West and Christian Lansang, “Global Manufacturing Scorecard: How the US Compares to 18 Other Nations,” Brookings, July 10, 2018, https://www.brookings.edu/research/global-manufacturing-scorecard-how-the-us-compares-to-18-other-nations/. With a large, educated labor force and a government that has a tight control over businesses and their functions, China has the ability to turn out large amounts of goods at a relatively low cost to consumers. Guorui Fan and Jiaxin Zou, “Refreshing China’s Labor Education in the New Era: Policy Review on Education through Physical Labor,” ECNU Review of Education 3, no. 1 (2020): 169–78. doi:10.1177/2096531120903878. In manufacturing, it has a comparative advantage over other states. Internally, a state can use the levers of monetary policy to alter the value of its currency to encourage domestic consumer spending and make its exports relatively more attractive. By creating economic linkages between states through trade, countries are able to expand the reach of their goods and their money, increasing their country’s economic strength relative to other countries. A state can use its economic power to build a relative economic advantage, creating an environment in which other states seek to join the state in mutually beneficial trade relationships. As a state creates more economic relationships with other states, it solidifies its position as an economic power and is able to use access to other states’ factors of production or comparative advantage to further cement its own place in the larger system. Political Power States can try to manipulate the political institutions of other countries to enlarge their sphere of influence and to pressure other states to implement their preferred policy outcomes. A state can use both overt and subversive means to influence another state or a non-state actor in order to gain more power for itself. For example, a state can influence the outcome of an election, supporting the candidacy of a leader who is friendly to the state’s preferences. In 1911 and 1912, the United States did not hide its efforts to influence elections in Nicaragua. “U.S. Intervention in Nicaragua, 1911/1912,” US Department of State, https://2001-2009.state.gov/r/pa/ho/time/ip/108629.htm. In 1953 the United States played a role in the coup in Iran that removed that country’s prime minister, Mohammad Mossadegh, who, in nationalizing the Iranian oil industry, had threatened Britain’s longstanding control over oil in the region. After the ouster of Mossadegh, the last Shah of Iran, Mohammad Reza Pahlavi , with whom the United States believed it had a beneficial relationship, returned to power. Suzanne Maloney, “1979: Iran and America,” Brookings, January 24, 2019, https://www.brookings.edu/opinions/1979-iran-and-america/. Some states have denied prominent accusations of interfering in other country’s elections, as Russia has in response to accusations that it interfered in the 2016 election in the United States. Gary Pruitt, “Putin Says Russia Didn’t Meddle in US Vote, despite Evidence,” AP News , April 20, 2021, https://apnews.com/article/vladimir-putin-donald-trump-ap-top-news-elections-st-petersburg-1f12eaf734014da6bcd0995ae89c6636. When states have a sense of power, within the system or within a region, they will do what they can to create an environment that safeguards and even expands that power. How Did the United States Intervene in Iran in 1953? In this clip, Professor Jo-Anne Hart of Lesley University and the Watson Institute of International and Public Affairs at Brown University discusses the US overthrow of Iranian Prime Minister Mohammad Mossadegh . The next section discusses in greater depth how and why it is important to a state that other states recognize its state sovereignty . Using its power of recognition, a state can welcome into the international system and its institutions another state that it believes will support its desired goals, thereby increasing the likelihood that the norms of the international system will align with its preferences. By the same token, a state can withhold its recognition of another state in order to maintain better relations with other members of the international community. In the case of Taiwan, the United States walks a fine line in terms of recognition and interstate relations. “U.S. Relations with Taiwan.” US Department of State, August 31, 2018, https://www.state.gov/u-s-relations-with-taiwan/. China views Taiwan as an extension of China and expects all other countries to treat Taiwan as such. “Support of Taiwan Independence Could Spark U.S. Military Conflict with China—Chinese Ambassador,” Reuters , January 28, 2022, https://www.reuters.com/world/china/support-taiwan-independence-could-spark-us-military-conflict-with-china-chinese-2022-01-28/. This puts the United States in a tricky position; the United States, for economic, military, and diplomatic reasons, seeks to maintain a positive relationship with China, but its broader goal is to support countries as they attempt to democratize. Taiwan, in recent years, has taken many steps to assert its autonomy in relation to China and to implement a more democratic system. China sees these moves as a direct threat to its own position of power and does everything it can to maintain firm control over the Taiwanese governmental system in Taiwan. China views any US actions that may be supportive of Taiwanese independence or even of its increased autonomy from China in a negative light. The United States must tread carefully, supporting a state that is trying to move toward democracy without angering a key economic and diplomatic ally. Above all else, states must act to protect their sovereignty. In all things, states find themselves most reliant on their own strength and abilities. In an environment in which there is no central governing body to set and enforce rules, countries must strategize to protect themselves at all costs. Soft Power Whereas hard power involves coercion, soft power involves more friendly interactions that seek to win over a state or states rather than force them to comply with the wishes of one or more other states. Diplomacy, in either a bilateral (engagement between two countries) or multilateral (engagement between more than two countries) setting, allows states to create mutually beneficial agreements to protect themselves and the international system at large. The idea that all recognized countries find themselves on equal relational footing and should be treated as such in any sort of engagement, a concept referred to as reciprocity , is the foundational element of any diplomatic relationship. An example of a reciprocal arrangement would be that of states exchanging ambassadors. When a diplomatic relationship exists, the leaders of states pay official visits to one another and are entertained in a manner that shows deference to their status and prestige in the international system. Allowing for state visits is one way that a state might use the guise of entertainment as a means of persuading a state to take steps that meet its preferences. The principle of reciprocity allows for states to enter into any negotiation on a level playing field; it intones a mutual level of respect between the states. The cultural identity of a state is still another way that a state can expand its sphere of influence. Globalization has allowed for the spread of goods that are clearly identifiable as part of the culture of a specific country. As cultural identifiers spread throughout the world on the back of global commerce, so do the values that typify the originating country’s political and social systems. For example, the global spread of clearly identified American brands such as Levi’s, McDonalds, and Coca-Cola serves to spread American values of choice and product competition. Douglas Holt, John Quelch, and Earl L. Taylor, “How Global Brands Compete,” Harvard Business Review , September 1, 2004, https://hbr.org/2004/09/how-global-brands-compete. In addition to increasing the amount of revenue American companies see from the sale of their products, the spread of American brands spreads American ideals. Salman Ahmed and Alexander Bick, Trump’s National Security Strategy: A New Brand of Mercantilism? (Washington, DC: Carnegie Endowment for International Peace, 2017), https://www.jstor.org/stable/resrep13065. This McDonald’s in New Delhi, India, is an example of the reach of America’s soft power. (credit: “New Delhi McDonald’s” by Ryan/Flickr, CC BY 2.0) Reciprocal diplomatic relationships that involve entertaining foreign officials and the spreading of cultural values to exert dominance are examples of the exercise of soft power—that is, using attraction and persuasion rather than coercion to achieve goals. States and other institutions use their military, economic, and political power to try to influence the structure of the international environment so that it aligns with their preferences. Political actors may use each of these levers of power in an aggressive fashion, as when one state sends troops to invade another state or when one state interferes in another state’s elections, or they can employ soft power in friendlier interactions involving diplomacy, recognition, and cultural exchange. The level of success with which these actors are able to achieve their preferred ends communicates their power relative to the other members of the international system. comparative advantage when one state can create a particular good or service in a more cost-effective manner than a second state deterrence the buildup of military might to such a level that an adversary state or states reconsider the use of their own military against the primary state factors of production the land and physical resources, the labor force, and the capital needed for investment in the facilities and processes of an economy, and the entrepreneurship and creativity that drives economic growth and diversification power the ability of a state to prompt its preferred outcome in a given situation reciprocity the idea that all countries that have diplomatic relationships with a state accept, in equal measure, what that state accepts security pact an agreement among multiple states to support each other in case of a military attack soft power friendly interactions that seek to win over rather than force a state or states to comply with the wishes of one or more other states sovereignty the ability of a state to run its institutions without fear of interference from other states or entities and to respond to threats as they emerge", "section": "What Is Power, and How Do We Measure It?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Understanding the Different Types of Actors in the International System Learning Outcomes By the end of this section, you will be able to: Describe the major actors in the contemporary international system. Discuss the four characteristics of a state. Differentiate a state and a nation. Discuss the relationship between international organizations and powerful states. Identify the capabilities of a nongovernmental organization. A variety of different actors, each with its own characteristics, preferences, and methods of working, populate the international system. These actors are distinct in what they want, what motivates them, how much and what kinds of power they can wield, and how they interact with each other. Achieving the goals of the international system requires the concerted effort of all of these members. States The term state is used interchangeably with the word country . All states have four characteristics: René Grotenhuis, Nation-Building as Necessary Effort in Fragile States (Amsterdam: Amsterdam University Press, 2016), https://doi.org/10.2307/j.ctt1gr7d8r. Land with boundaries A government or a system of rule A population that willingly gives its allegiance to that government Recognition as an equal partner among states New Transitional Government of National Unity Formed in South Sudan In February 2020, a peace agreement ending the South Sudanese Civil War established ten states, two administrative areas, and one area with special administrative status under a national unity government. This last piece is perhaps the most important and can be the hardest to achieve. Recognition as a state within the international system of states is an essential norm —a generally accepted rule, institution, or behavior—that forms the foundation of international relations. Recognition ensures that a state has a seat at the table; it confers both legitimacy and equality in the eyes of the international community. Changes in political power in a state, such as the election of new heads of government or a change in the majority party in the legislative branch, do not usually affect state recognition, but in cases where there are complete changes to leadership or institutions in a government, concerns arise about whether recognition will continue. With the recent changes to governmental leadership in Afghanistan, for example, the reinstalled Taliban regime will need to take steps to make sure that they are seen as the legitimate source of power in the territory. This recognition is important to the ability of the Taliban to negotiate with other members of the international community for the things the country needs. The international community, for its part, can use the promise of recognition to extract concessions from the Taliban. To be recognized as a member of the international community means being held to the same standards of behavior to which other countries are held. States are a vital part of the international system and serve as leaders in charting the path of the system as a whole. Of all the different parts of the international system, recognition might not seem adequate to give a state all the rights and privileges that come with statehood, but it is a necessary element of membership in the international system. Taliban fighters ride a captured Humvee after the fall of Kabul. (credit: “Taliban Humvee in Kabul, August 2021 (cropped)” by Voice of America News/Wikimedia Commons, Public Domain) There is a subtle difference between the term state and the idea of a nation. A nation is an identity gleaned from a common culture or ethnicity; a state is an institutional infrastructure that allows a society to function. In terms of an ethnic identity, a nation can span states, or a state can be a nation-state, as is the case in Japan, where the government of the state takes extra care to protect the shared national identity of the people who make up the state. Martin Gelin, “Japan Radically Increased Immigration—and No One Protested,” Foreign Policy , Accessed February 4, 2022, https://foreignpolicy.com/2020/06/23/japan-immigration-policy-xenophobia-migration/. There is a broader conversation Adeed Dawisha, “Nation and Nationalism: Historical Antecedents to Contemporary Debates,” International Studies Review 4, no. 1 (2002): 3–22. around what a nation, a state, and a nation-state are and how to think about these distinctions in the modern world. Some scholars argue that the concept of the nation-state is no longer viable because of the state boundary lines created by the colonial powers. As European countries expanded their reach and control to areas far from their shores, they entered areas populated by people for whom the idea of the state, in the European sense, was incompatible with their historical identity, as seen in Iraq, Sudan, and Nigeria. The placement of arbitrarily drawn borders, to the economic benefit of the European colonial powers and with a clear disregard for the traditional geographic locations of the people, form the basis for the current conversation about whether the idea of a nation-state has a place in the modern international system. Roha Yousaf, “Colonialism in Asia,” Abstract, 2021, https://doi.org/10.13140/RG.2.2.20353.38246. Nations can also be considered stateless. In some cases, the historical home of a nation is absorbed into a recognized state, leaving the people of the nation with the choice to either accept the citizenship of the recognized state or remain stateless. Stateless nations find themselves at an intense disadvantage because they typically have limited involvement in international organizations, which prevents them from having a seat at the table on par with other states and nations of the world. Nations such as the Kurds, Bretons, Catalans, and Basques are limited in their ability to govern their people with any sense of autonomy and have been consistently sidelined and subjected to violence for their wish to have their unique national identity be celebrated and validated. Intergovernmental Organizations Institutions made up of multiple state actors who work within a specific set of rules to enact solutions to problems common among multiple states are known as intergovernmental organizations . Intergovernmental organizations Thomas J. Volgy, Elizabeth Fausett, Keith A. Grant, and Stuart Rodgers, “Identifying Formal Intergovernmental Organizations,” Journal of Peace Research 45, no. 6 (2008): 837–50. are the best way to understand the reach and impact of a state’s power to structure the environment in which it functions. States with more hard power —that is, with larger economies or militaries—are able to leverage their position among other states to put in place institutional norms that more closely align with their preferences; in short, intergovernmental institutions are a great way for powerful states to become even more powerful. Under the best of circumstances, as in the case of the United Nations , intergovernmental organizations can create a unified sense of pressure to prompt a state to make positive changes or to band states together to support a state that is under attack. In the worst case, international organizations can strong-arm weaker states to agree to the preferences of one state to the detriment of other states or of the system at large. The Board of Governors of the International Monetary Fund (credit: “The Executive Board of the International Monetary Fund, Washington, D.C. (April 19, 1999)” by International Monetary Fund, Public Domain) For example, the major world economies have partnered to form the International Monetary Fund (IMF), an intergovernmental organization known as a lender of last resort , Warren Coats, “The Future of the International Monetary Fund,” Economic and Political Weekly 43, no. 35 (2008): 72–73. where a country turns only after it has exhausted all of its options for funding, “What Is a Lender of Last Resort?” European Central Bank, August 26, 2019, https://www.ecb.europa.eu/ecb/educational/explainers/tell-me-more/html/what-is-a-lender-of-last-resort.en.html. that can be counted on to support countries in the direst of economic circumstances. The member states that make up the Board of Governors of the IMF base their offer of support on the role that the struggling country plays in the larger economic system. Other members of the international community have criticized IMF loan decisions for attaching terms to IMF loans that limit the ability of borrower countries to move toward economic stability. As with most intergovernmental organizations, the IMF has been characterized as an extension of the policy preferences of its governing members. This means that the decisions the IMF makes are sometimes seen as a tool powerful states use to set the rules of international borrowing to support countries they consider allies and to punish countries that they see as opposition. Nongovernmental Organizations Non-state actors focused on solving problems or filling policy gaps states can’t or won’t handle themselves are known as nongovernmental organizations (NGOs) . Traditionally speaking, a nongovernmental organization is a nonaligned, third-party group that does not have the same motivations that a state might have. Nongovernmental organizations are part of a system that works to benefit people rather than states. NGOs can propose solutions to a state or fill a need that a state might have, usually without being seen as attempting to attack the sovereignty of that state. For example, most states accept medical aid from NGOs like the Red Cross or the Red Crescent . A state is a political entity with geographic boundaries and a system of government that is recognized as legitimate by the people it governs and by the international system as a whole. States can come together in international organizations to solve common problems. More powerful states tend to wield greater influence in international organizations. When states cannot or will not solve common international problems, nongovernmental organizations may intervene to try to do so. intergovernmental organizations institutions made up of multiple state actors that work within a specific set of rules to enact solutions to problems common among multiple states lender of last resort a financial institution, such as the IMF, that a country turns to only after it has exhausted all of its other funding options nation a shared group identity gleaned from a common culture or ethnicity nongovernmental organizations (NGOs) non-state actors focused on solving problems or filling policy gaps states can’t or won’t handle themselves state one of the foundational institutions in the international system; an institutional infrastructure that allows a society to function", "section": "Understanding the Different Types of Actors in the International System", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Sovereignty and Anarchy Learning Outcomes By the end of this section, you will be able to: Explain why sovereignty is an essential element of states in the international system. Define anarchy in the context of the international system. Explain the relationship between sovereignty and anarchy. Statehood is of vital importance to a nation because it confers sovereignty . Sovereignty is the ability of a state to run its institutions without fear of interference from other states or entities. Sovereignty allows states to enforce their own laws, for better or for worse, allowing a state to exert its power within its own borders and in situations where the state must work to protect its interests. While states’ claims to sovereignty allow them to protect their cultural identity, beliefs, norms, and institutions, they can also prevent other states from stepping in to protect the innocent when a state acts in a manner that is counter to the basic norms of human rights and human dignity enshrined in the United Nations Universal Declaration of Human Rights . “Universal Declaration of Human Rights,” United Nations, 1948, https://www.un.org/en/about-us/universal-declaration-of-human-rights. The actions a state takes to intervene on behalf of people subjected to violence at the hands of their own government could be seen as acts of aggression. In this case, the state that is perpetrating the violence would be within their rights to take action against the intervening state. In cases of crimes against humanity, such as the genocide in the Balkans “Top International Official in Bosnia Bans Denial of Genocide,” AP News, July 23, 2021, https://apnews.com/article/europe-government-and-politics-genocides-6821e5d3a71bf86db830fda1e81a6123. and the civil war in Rwanda, “Rwanda: Justice After Genocide—20 Years On,” Human Rights Watch, March 28, 2014, https://www.hrw.org/news/2014/03/28/rwanda-justice-after-genocide-20-years. both in the 1990s, sovereignty allows a state to function as it sees fit, even when it means some citizens of that country will die. States have used the cover of sovereignty to prevent nongovernmental organizations from providing aid. For example, the Assad regime in Syria has diverted humanitarian aid intended for civilians caught in the middle of the violence in that country’s ongoing civil war, using the aid to fund its own atrocities. “Rigging the System: Government Policies Co-Opt Aid and Reconstruction Funding in Syria,” Human Rights Watch, June 28, 2019, https://www.hrw.org/report/2019/06/28/rigging-system/government-policies-co-opt-aid-and-reconstruction-funding-syria#; Natasha Hall, “How the Assad Regime Systematically Diverts Tens of Millions in Aid,” Center for Strategic & International Studies, October 2021, https://www.csis.org/analysis/how-assad-regime-systematically-diverts-tens-millions-aid. At times, states have used the cover of sovereignty to block NGOs from gathering information on atrocities happening within the country or to decline to participate in negotiations when other states tried to broker peace. International Anarchy Anarchy has a particular meaning in international relations that likely differs from the meaning you might be familiar with. This video clip clarifies the concept of anarchy in this context, contrasting it with the concept of hierarchy. A system made up of actors focused on protecting their own interests naturally results in anarchy , Silviya Lechner, “Anarchy in International Relations,” in Oxford Research Encyclopedia of International Studies (Oxford, UK: Oxford University Press, 2017), https://doi.org/10.1093/acrefore/9780190846626.013.79. where there is no overarching governing authority. In the case of the international system, anarchy refers to a lack of a general sense of order in the international system. Anarchy in the international system is directly linked to this lack of enforcement mechanisms as well as a lack of a broad global government. Sovereignty is the most important part of a state’s identity. The willingness of states to make sure that their sovereignty is protected for as long as possible ensures that the system will remain anarchic. While each state has the right to govern itself, there is still a need for a means through which different states can gather—some ordered structure in the system that allows states to work through common issues. Intergovernmental organizations, such as the United Nations, provide the forums through which states can attempt to exert pressure on one another to cause one or more states to change a behavior, to provide options other than violence for conflict resolution, or to adhere to already established norms that provide some semblance of order in the otherwise anarchic system. However, there are no true enforcement bodies that have the authority and the capability to impose comprehensive consequences on a state that violates an international agreement or takes actions that fly in the face of generally accepted norms. Intergovernmental and nongovernmental organizations provide useful avenues for states to solve problems that impact them at a systemic level, but it is still impossible to say with 100 percent confidence that a state can be made to behave in a certain way. Foreign aid and sanctions are options available to members of the international community to help move a state into alignment with generally accepted expectations for behavior. Like all types of international actions, the ability of these options to be effective requires the participation of as many members of the international community as possible and the willingness of those states and organizations to close any loopholes so that the target state feels the consequences in a meaningful way. There is no mechanism to force a state to behave a certain way. Foreign aid and sanctions, along with treaties and the actions of international organizations, provide options international actors can use to help order the environment in which a state makes its choices about how it relates to other countries. States can work cooperatively through institutions to enact strategies aimed at coercing a state to change its behavior; however, there is no surefire way to guarantee a state will do so or that it will continue to uphold that change. For example, the United States led a series of negotiations beginning in 2015 to work to curb Iran’s development of nuclear weapons. The Joint Comprehensive Plan of Action, more commonly referred to as the Iran Nuclear Deal , was an agreement signed between Iran and the UK, France, Germany, Russia, and China, under the leadership of the United States. Negotiated by the Obama administration, the agreement allowed Iran to re-engage in trade, particularly of their oil, to take some of the pressure off their own economy, and in return, Iran would work to dismantle the nuclear facilities that presented security concerns to the world. Because of the domestic political situation in the United States, the US never recognized the Iran Nuclear Deal as a ratified treaty, opting instead to enter into an “executive agreement.” Andrew Rudalevige, “If the Iran Deal Had Been a Senate-Confirmed Treaty, Would Trump Have Been Forced to Stay In? Nope,” Washington Post , May 9, 2018, https://www.washingtonpost.com/news/monkey-cage/wp/2018/05/09/if-the-iran-deal-had-been-a-senate-confirmed-treaty-would-trump-have-been-forced-to-stay-in-nope/; “Iran Nuclear Deal: What It All Means,” BBC News , November 23, 2021, https://www.bbc.com/news/world-middle-east-33521655; Kali Robinson, “What Is the Iran Nuclear Deal?” Council on Foreign Relations, Updated August 18, 2021, https://www.cfr.org/backgrounder/what-iran-nuclear-deal. The terms of the treaty would have been binding, but without a formal treaty, the enforcement mechanisms included in the agreement did not ever become reality. When President Obama left office in 2016, the newly elected President Donald Trump began to pull back from the agreement. Trump chose to work separately from the parties to the agreement, reinstating sanctions on Iran, including penalties for entities that continued to trade with Iran. When one key party to an agreement pulls back, other members of the negotiating body are effectively unable to uphold their side of the agreement, and that agreement is weakened. BBC, “Iran Nuclear Deal”; “Joint Comprehensive Plan of Action,” US Department of State, 2015, https://2009-2017.state.gov/e/eb/tfs/spi/iran/jcpoa/index.htm. In July 2015, representatives of China, France, Germany, the EU, Iran, the UK, and the United States posed for a photo during the meetings in Vienna that resulted in the Joint Comprehensive Plan of Action known as the Iran Nuclear Deal. (credit: “Iran Talks” by Bundesministeriums für europäische und internationale Angelegenheiten/Flickr, CC BY 2.0) It may seem counterintuitive to think about anarchy and order going hand in hand when talking about the international system, but the modern system relies on the assumption that states within the system want to maintain control over everything within their own borders and work for their own benefit while at the same time being unwilling to submit to an established order in the environment around them. The tension created in the fight between order and anarchy that exists in all states, no matter how powerful they are, is what underscores and motivates international relations. In international relations, sovereignty is the ability of a state to chart its own path through the international system. In a system of sovereign states in which there is no overarching governing authority—no formal hierarchy—a condition of anarchy exists wherein each state seeks its own goals, which may be at odds with the goals of other sovereign states. This intrinsic push and pull for power and supremacy is at the heart of a system in which states push back on any organization or institution that seems to undermine its sovereignty. anarchy a lack of a general sense of order in the international system", "section": "Sovereignty and Anarchy", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Using Levels of Analysis to Understand Conflict Learning Outcomes By the end of this section, you will be able to: Define the different levels of analysis and show how they can be used to explain interstate conflict. Describe the relationship between levels of analysis and state policy. Identify the two purposes levels of analysis serve. Identify the hallmarks of each level of analysis. For 13 days in October 1962, the world watched with bated breath as a shipment of Soviet warheads on their way to Cuba pushed the United States and the Soviet Union to the brink of nuclear war. In response to the United States’ decision to install nuclear weapons in Turkey, a country on the Soviet Union’s southwestern border, the Soviet Union began moving multiple nuclear warheads from Russia to the island of Cuba, approximately 100 miles south of Florida at the southeastern edge of the Gulf of Mexico. The fear that this act inspired in Americans led to nuclear attack drills and the constant presence of the threat of war in the lives of everyone in the United States. How would the United States, then led by President John F. Kennedy , respond to this apparent act of aggression? This 13-day standoff has become known as the Cuban Missile Crisis . Timothy J. McKeown, “The Cuban Missile Crisis and Politics as Usual,” The Journal of Politics 62, no. 1 (2000): 70–87. War or the threat of war draws the attention of the public at large and, more than any other international event, tends to make people sit up and think critically about the decisions states make. Just as you can seek to better understand political science as a whole by breaking your examination down to the levels of individuals, groups, institutions, and states and international relations, one way to understand international relations and the decisions actors make is to use levels of analysis; that is, you can choose to zoom in on a particular aspect of the interaction. To better understand the motivations of the actors in the larger system, it is useful to break down the analysis. In international relations, you can examine the individual, focusing on the actions that leaders in a country take; the state, focusing on the actions of countries; and the global system, focusing on how states interact with international organizations, nongovernmental actors, and multinational corporations. States create policies, such as the decision to go to war or to solve a problem through negotiation and the creation of a treaty with the assistance of an international organization like the United Nations , that focus on either a specific level or the way that the levels interact with one another. Conflict occurs when the policy decisions of one state create consequences for another state that change the environment, harming the second state or complicating the decisions it must make. We can examine international relations using three levels of analysis : the individual, the state, and the system. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) These levels of analysis serve two purposes: they provide a foundation for understanding the different problems states face, and they help one think about how a state’s policies can affect the international community. The characteristics and players of each level of analysis give a more holistic way to describe conflict. Individual Level The individual level of analysis focuses on the decision makers within a state and how the constraints the state places on them affect their chosen courses of action. The rules associated with their positions limit what leaders can do; for example, the president of the United States has the ability to move troops but cannot formally enter a war with another country without the consent of Congress. U.S. Const., art. 1, § 8, cl. 11. This limits the possible policy responses US presidents have to choose from should they feel that the United States is being threatened. Decision makers reliably support policies that solve problems in ways that allow them to claim credit for solutions when they are called to account for their actions. Leaders like to be able to tout their accomplishments in re-election campaigns. They tend to prefer policy solutions that help them gain and keep power. In the case of the individual level of analysis, power is defined as an individual’s ability to steer policy to create outcomes that align with that individual’s personal beliefs and preferences. State Level The state level of analysis focuses on the actions of states in relation to one another. State-to-state relations occur in the context of intergovernmental organizations and in treaties and alliances. A state’s policy choice menu is defined by where the state sees itself and where the state wants to go in relation to other states. When theories of state behavior are discussed later in the chapter, you’ll see how theory helps explain the policy choices states make. In the same way that individual political actors must play by certain rules, both the people who live in a state and the international community expect states to uphold norms of behavior and to meet the expectations of the power behind their institutions. In a democracy like the United States, the state derives its legitimacy from the consent of the people. If a state begins to act in a way that goes against what the people say they want, the people can hold individual actors responsible and vote them out of office. The relationship between voters and elected officials is one way to see the relationship between the individual and state levels of analysis. In democracies, voters and those they elect form a feedback loop in which the preferences of the voters are made tangible through the policies that elected officials work to enact in the laws they make. This World War II–era poster emphasizes the role the individual plays in directing the state. (credit: “Your right to vote is your opportunity to protect, over here the freedoms for which Americans fight over there” by Chester Raymond Miller/Posters: Artist Posters/Library of Congress, Public Domain) In an autocracy like North Korea, institutions are propped up by the ability of the autocrat to hold the allegiance of the selectors needed to solidify their power. Selectors are the people that a leader in any type of government relies on to legitimize their power and position. In a democracy, selectors are the part of the population who can and do vote. In an autocracy , the selectors are the people who support the leader while at the same time controlling the parts of the country that a leader needs to legitimize their position, such as the military or the lucrative natural resources that the state may control. Global Level The global—or systemic—level of analysis considers how cooperation and conflict among states intersects with the environments in individual states to evoke change. The hallmark of this level of analysis is the number of variables that need to be considered when trying to understand the reasoning behind policy shifts and the ripple effect these shifts have on other countries. For example, though India and Pakistan are not permanent members of the United Nations Security Council and therefore, according to the terms of the United Nations Charter , “United Nations Charter (Full Text),” United Nations, Accessed February 4, 2022, https://www.un.org/en/about-us/un-charter/full-text. are not permitted to possess nuclear weapons, “Nuclear Weapons: Who Has What at a Glance,” Arms Control Association, Accessed February 4, 2022, https://www.armscontrol.org/factsheets/Nuclearweaponswhohaswhat. both countries have been developing and maintaining nuclear weapons stockpiles as a high-level deterrent against the possibility that the other country will take overtly aggressive actions. These growing stockpiles of nuclear weapons set the stage for a situation not unlike that between the United States and the Soviet Union during the Cold War —one of mutually assured destruction . The usual expectation of the international community would be that states who are not supposed to be in possession of nuclear weapons would be secretive in their development and even more secretive in their use. Instead, India and Pakistan have chosen not to hide their nuclear stockpiles, and both countries are fully aware of the level of conflict they must avoid to ensure they do not provoke the other country to use its arsenal. The international community has reacted to the nuclear buildup in India and Pakistan in a way that is markedly different from the reaction to the nuclear buildup in North Korea. Arms Control Association, “Nuclear Weapons.” Because North Korea projects a general sense of distrust and aggression toward most of the members of the international community and because its tests of its nuclear stockpile are in express contravention to the wishes of the permanent members of the United Nations Security Council, the countries of the world see North Korea’s actions as a blatant challenge to the international system’s fine line between anarchy and order. While India and Pakistan have made it clear that their nuclear arsenal is a tool of last resort, North Korea does not seem to have that same level of restraint. North Korea has promised to use its weapons whenever it feels threatened but has provided no guidelines regarding what it perceives as a threat. Reality Check, “North Korea: What We Know about Its Missile and Nuclear Programme,” BBC News , January 28, 2022, https://www.bbc.com/news/world-asia-41174689. Though India, Pakistan, and North Korea are all violating international law to varying degrees, in choosing to place sanctions on North Korea but not on India or Pakistan, the global community is choosing to punish a state that, in what the international community perceives to be an irrational manner, seeks to threaten any and all states. In a way, the global level of analysis is one of responsiveness rather than one of agency. A state must first take an action, such as testifying before the United Nations Security Council, before an international organization can respond. The anarchic nature of the international system means that intergovernmental organizations are not able to take meaningful preventive action to head off a state’s decision. Due to the anarchic nature of the international system, this level of analysis is the most unpredictable. Its value lies in the way it allows a broad view of any trends in the way events affect different states. The Link between Policy and the Levels of Analysis Levels of analysis can be used to understand how institutions make decisions. Think about each level of analysis as a lens through which policy makers view the possible consequences of implementing a particular solution to a problem they face. Governments can also use levels of analysis to view how a particular situation might affect their country; each level of analysis represents a different group of people with different wants and needs. Governments have to work to balance the preferences and needs of each member of each level of analysis when they craft and implement a policy. The Cuban Missile Crisis is a classic example of how each of the three levels of analysis plays a role in complex potential or realized international conflicts. The History of the Cuban Missile Crisis This animated clip investigates the Cuban Missile Crisis in the context of the intense unease and brinkmanship of the Cold War and underscores just how close the United States and the Soviet Union came to starting a nuclear war. At the individual level of analysis, President Kennedy had to consider both his own preferences and how his advisors would want to handle the situation. President Kennedy’s immediate circle of advisors, McKeown, “Cuban Missile Crisis”; David R. Gibson, “Avoiding Catastrophe: The Interactional Production of Possibility during the Cuban Missile Crisis,” American Journal of Sociology 117, no. 2 (2011): 361–419, https://doi.org/10.1086/661761. known as ExComm , embodied the facets of the individual level of analysis when they provided the president with their assessment of the crisis and offered possible solutions. Military leaders within ExComm strove to balance their own preferences for how the United States should project strength, favoring large shows of force and more aggressive response measures, with their understanding of who the president was and how he perceived the world around him. In order to get the president to support their plan over any other offered solution, they needed to play to the president’s desire to avoid long-term engagement or escalation. It was important to some members of ExComm to persuade the president that a more aggressive response would lead to a more decisive American victory that would send a strong message to Soviet leaders. These members believed that taking a strong stance would dissuade the Soviets from taking further actions against the United States. Executive Committee of the National Security Council, “National Security Council Executive Committee (EXCOMM) Meeting, 10:10AM,” John F. Kennedy Presidential Library and Museum Archives, October 29, 1962, https://www.jfklibrary.org/asset-viewer/archives/JFKWHP/1962/Month%2010/Day%2029/JFKWHP-1962-10-29-A?image_identifier=JFKWHP-ST-A26-18-62 ExComm meets during the Cuban Missile Crisis. (credit: “National Security Council Executive Committee” by White House Photographs/John F. Kennedy Presidential Library and Museum, Public Domain) At the state level, President Kennedy had to consider the actions of the Soviets in terms of the preferences of their state—that is, their government institutions, which could override what Soviet Premier Nikita Khrushchev might want—in order to understand what message they hoped the movement of missiles to Cuba would send. The United States had to be careful about what escalation of conflict could mean in terms of potential danger to people in the United States and in the Soviet Union. Such escalation could also set a precedent for what other states would choose to do if placed in the same situation. At the international, systemic level, the United States and the Soviet Union were involved in back-channel unofficial negotiations with then Secretary General of the United Nations, U Thant . A. Walter Dorn and Robert Pauk, “Unsung Mediator: U Thant and the Cuban Missile Crisis,” Diplomatic History 33, no. 2 (2009): 261–92. International law and norms limit what actions countries are willing to allow states to take, and this is especially true when the potential of nuclear conflict threatens the safety of not only the nations involved in a standoff, but also of the entire world. Secretary General Thant appealed to the United States and the Soviet Union to think as rationally as possible and to provide each other with the space in which to make decisions. Beyond levels of analysis, political scientists use a variety of frameworks to help make sense of the way states respond to the actions of other states. The chapter now turns to those frameworks. Conflict is a natural part of a system in which multiple organizations vie for access to limited common resources and sovereign states may choose from many different courses of action. In complex situations where many factors affect state decisions about how to act in times of conflict, one way to understand how they arrive at those decisions is to use levels of analysis, breaking down the motivations, goals, and resources involved at the individual, state, and global level. selectors people that a leader in any type of government relies on to legitimize their power and position", "section": "Using Levels of Analysis to Understand Conflict", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Realist Worldview Learning Outcomes By the end of this section, you will be able to: Describe how theories and worldviews can be used to understand international relations. Explain the realist worldview, including fundamental concepts and possible limitations or critiques. Identify and differentiate among various branches of realist theory. Apply principles of game theory to explain a state’s decision-making process. Explain the types of polarity in an anarchic system. Discuss the role of comparative advantage in a unipolar system. Analyze the ways tensions can escalate, destabilizing the system, in a realist worldview. Several key theories have emerged to explain the different ways states see the world and their place in it and to understand the decisions they make and the courses of action they choose based on those views. The primary theories come from three major groups of worldviews: the realist worldview, liberal and social worldviews, and critical worldviews. This section discusses realism and its variants. Realism In popular culture, international relations is usually presented through the filter of the basic tenets of realism. Whether it’s Jack Ryan working with the FBI, risking his life to rescue soldiers held by drug cartels, or Jason Bourne running from his past involvement with clandestine operations as a former CIA assassin, representatives of states are shown as engaging in actions focused on self-preservation, no matter the cost. Jason Bourne Goes to Extremes to Avoid Capture in The Bourne Ultimatum In this clip from the 2007 film The Bourne Ultimatum , Jason Bourne goes to extreme lengths, breaking laws and property and putting himself in intense physical peril, to avoid being captured or killed. Realism is distinctly characterized by marked self-interest. According to realism , states embark on policy initiatives with a go-it-alone attitude that aims solely to preserve their own safety and security. In a realist’s mind set, the state is the primary actor of the international system. According to realists, self-interested states do what they can to gain more power to increase their ability to structure the rules of the system to their advantage. As a general rule, realists believe that states see it as being to their benefit to withhold some of the details about their goals and aspirations in a given situation. The thinking is that if a state is completely transparent about its capabilities and how far it is willing to go to get what it wants, it makes itself vulnerable to other states that might try to take advantage of it. Michael C. Williams, “Why Ideas Matter in International Relations: Hans Morgenthau, Classical Realism, and the Moral Construction of Power Politics,” International Organization 58, no. 4 (2004): 633–65. This air of distrust underlies the thinking of a realist state. Because a state cannot trust other states, realists consider diplomacy and negotiations unreliable methods of self-preservation. Instead, realists try to implement policies that send a clear, strong message about the ability of a state to protect itself. Game theory is a way of conceptualizing what motivates a political actor in terms of the steps the actor takes to reach what they deem to be the optimal outcome for themselves. The general discussion of political behavior in Chapter 2: Political Behavior Is Human Behavior briefly introduces the idea of game theory . Based on the idea that all the actions players take in a specific game or situation have a certain probability of being taken, game theory helps illustrate a realist view of state strategy in international relations. Have you ever played a game of strategy, such as Risk or Settlers of Catan? In these types of games, you, the player, focus on amassing the most land and resources you can, relative to the other players, to win. You try to anticipate and consider all the information you have about the current situation and what other players might do when calculating what actions you should take to achieve your goals. In the realist view, states have the same mindset in their interactions with each other. For states, every decision-making process is part of a complicated equation, the result of which is an action the state will take. States weigh the risks and rewards of possible courses of action, seeking the greatest net benefit for their purposes. States can only base their strategic decision-making on the information they have—for example, intelligence information about another state’s true motivations—and if that information is faulty, a state’s chosen course of action may not achieve the desired results. By accounting for the weight of all the probable variables a state considers in calculating what course it will take versus the benefit a state expects an action to yield, one can calculate the likelihood, or probability, that a state will make a decision or implement a policy in response to another state’s actions. Game theory can be applied to many situations, such as labor negotiations to end a workers’ strike, in which opposing sides strategize to optimize the chances of achieving their desired outcomes. (credit: “picket line” by Susan Jane Golding/Flickr, CC BY 2.0) Realism characterizes states as rational actors, meaning that all the actions they take or policies they implement are a function of what they see as the outcome of a situation. Realists see the international system as a zero-sum game grounded in the idea that all facets of the system are finite. In a zero-sum game, a state seeks to take something, whether it be power or a physical resource, away from another state; in essence, if I win, then you lose, and there can only be one winner. When all aspects of a system are finite, one state can control all of a particular resource, preventing another state or states from having that resource. You can apply this idea to your everyday life. Suppose you and your friend are hungry for a snack and there is only one bag of chips that is readily available. If this situation were a zero-sum game, whoever got to the bag of chips first would have all the chips, and the other person would have none. The balance of power is a classic realist way of seeing the structure of the international system. Realists see the world as populated by states in a race to set the rules of the system to work for their own benefit. Because the system is inherently anarchic, poles, or centers of power, form within the system around the states that have the capacity, in whatever the system deems to be the currency of power, to gather other states to their side. Three different types of polarity emerge in an anarchic system: unipolar, bipolar, and multipolar. In a unipolar system , one country, the hegemon , sets itself up as the main player who decides the rules of the international system. By virtue of having the strongest economy, largest military, or most stable political and social institutions, the hegemon is able to use its position to extend its power. A hegemon might simply use its military might to extend its power, or it might employ less aggressive means. When a hegemon expands the institutions that benefit it to other countries, it encourages those countries to be like the hegemon. In doing so, the hegemon expands its sphere of influence with the underlying premise that states that are similar in culture, economy, and political structure are less likely to fight one another. While these states share a number of similarities, they have differing abilities to allocate the skills and resources necessary to create certain goods or services. When a hegemon expands its sphere of influence, it expands its access to resources, goods, and services in areas where it lacks a comparative advantage. An imbalance in comparative advantage is what drives a country to trade for a good or service that it needs. In a bipolar system , two states with equal relative power but different underlying institutional characteristics vie to create opposing spheres of influence. This creates two groups of allied countries that allow the states at the center of the poles to expand their power with the support of other actors in the system, giving those two states similar strength as if each were a hegemon. In a multipolar world, multiple states form many smaller spheres of influence, creating a pared-down version of a unipolar or bipolar system. A multipolar system , where three or more states have equal or relative power, is pared down even further. While anarchy is inherent in the international system, from the realist’s view, a state is motivated to create an environment, and therefore a balance of power, that protects the state. Rational actors prefer order. Order allows actors to have a greater sense of what is coming next. Essentially, states—especially the bigger, stronger, more powerful ones—see anarchy as an opportunity to create order in a way that favors their interests and fits their long-term goals. The balance of power between states is a way to understand who succeeds in creating a world that benefits them the most. The relationship between the United States and Russia from World War II to the present is perhaps the most accessible way to see shifts in polarity in the international system. Before World War II, colonial European powers had divided up the world, and the United States and Russia were doing what they could, in smaller ways, to expand their own reach. After World War II, the United States and Russia emerged as the two major powers at opposite ends of the economic ideological spectrum, pitted against each other for supremacy, thus creating a bipolar world. The interaction between the Soviet Union and the United States during the Cold War provides a glimpse of the best and worst of decisions states have made. The Cold War represents a period in world history in which there was a slowly simmering conflict Martha Finnemore and Kathryn Sikkink, “International Norm Dynamics and Political Change,” International Organization 52, no. 4 (1998): 887–917. on multiple fronts between the Soviet Union and the United States, who had emerged from World War II as the states with the economic strength and political stability to exert their influence and preferences on other states in the international community. This map of Cold War allies illustrates the spheres of influence in a bipolar world. (credit: “Map Of The Cold War” by The1994JMan/Flickr, CC BY 2.0) The intense competition between these two major world powers for global supremacy spilled into all parts of society, from the propaganda and policies of the United States focused on weeding out suspected communists in all aspects of society and government to the race to see who could make the greatest advancements in space exploration, which spurred a steep increase in scientific and technological development. In the context of foreign relations, the conflict between the Soviet Union and the United States was more tangible and mired in a number of proxy wars , conflicts in which each of the warring parties is supported and funded by two larger parties who have a vested interest in the outcome of the conflict. The Vietnam War , Michael Howard. War and the Liberal Conscience (New York: Columbia University Press), 2008. in which the democratically elected Vietnamese government fought the insurgent Viet Cong, who had the support of the Soviet Union, and the conflict in Afghanistan, where the United States supported Afghanis as they fought to keep the communist forces of the Soviet Union from taking over their country, are two examples of Cold War–era proxy wars. The 1990s brought an end to the Cold War, with the United States emerging as the hegemon, but that came with its own challenges. In the era immediately following the Cold War, newly independent former Soviet states looked to the United States for monetary, political, and military support. This is the burden of the hegemon ; when you are the victor in a conflict you may be seen as the only stable, strong power, and with that status comes a sense of obligation to help less powerful, less stable states. The security dilemma is the byproduct of a system in which states are motivated to act in their own interest. As states implement security policies that aim to either expand or solidify their position in the system, other states may perceive those actions as provocations. The state or states implementing those policies face a security dilemma, where those changes in their policies related to their own safety and security, because they appear aggressive to other states, may lead those other states to preemptively respond in the interests of their own security, potentially ratcheting up tensions between two or more states. This highlights the implications of a system based on a fundamental mistrust of all actors that views any action as a signal. The conflict between the United States and the Soviet Union during the Cold War is a direct long-term example of the consequences of two states existing in the midst of a security dilemma. States that see the actions of another state as an offensive provocation seek to respond in as proportional a manner as possible, but in some cases, as in the hypothetical situation of nuclear war, the response can have consequences that negatively—and in the case of nuclear war, catastrophically—impact the entire international community. Neorealism The lack of institutions in the international system that can hold states accountable for their actions or provide consistent, altruistic help to states in need perpetuates the mentality of states that see themselves as lone actors within the international system. In the contemporary international community, realists view states as having a go-it-alone attitude in order to best safeguard their own interests. A more recent offshoot of the realist school of thought, neorealism (also known as structural realism ), speaks to states that take a middle path to international relations. David A. Baldwin, ed., Neorealism and Neoliberalism: The Contemporary Debate (New York: Columbia University Press), 1993. Like classical realists, neorealists see the state as the main actor in an anarchic system. Unlike classical realists, they contend that it is the structure of the system rather than the people who lead the state that drives the system forward. States that implement policies that align with neorealist ideas attempt to work through international institutions, such as multinational security pacts like the North Atlantic Treaty Organization (NATO) , to get what they want. Understanding the Global Community—Realism/Neorealism In this clip, University of Oklahoma professor of international studies Suzette Grillot explains and differentiates realism and neorealism. Neorealism that advocates for transparency in order to avoid conflict and maintain the status quo is known as defensive realism . Robert Jervis, “Realism, Neoliberalism, and Cooperation: Understanding the Debate,” International Security 24, no. 1 (1999): 42–63. In the minds of defensive realists, the constant distrust between states, and the resultant policies, create an environment of instability that drives states into conflict with one another. As such, these theorists believe that it is to the benefit of all states to maintain the status quo, that is, to maintain the current balance between the states in the system as it exists at that moment. Defensive realists see conflict as a destabilizing force that upsets the status quo and should be avoided. They encourage states to make transparent policy choices meant to give clear signals to other states that they see themselves as a part of and clearly support the anarchy inherent in the system and that they will not do anything to challenge it. Offensive realism takes the opposite view. According to offensive realism , overt actions states take in order to grow and project their power lead to interstate conflict. Michael W. Doyle, “Kant, Liberal Legacies, and Foreign Affairs, Part 2,” Philosophy and Public Affairs 12, no. 4 (1983): 323–53. These theorists argue that there is an inherent benefit in conflict and in taking self-serving action. States, they say, are intrinsically motivated to seek out power and will do so only by establishing a sense of supremacy over other states, particularly those with characteristics similar to their own. According to offensive realists, states use aggressive actions—whether military, economic, social, or political—to secure their place in the system. Realism is a theory of international relations that places states at the center of the system. In the realist view, states choose to enact policies focused on maintaining the security of their state. The states with the most power tend to have the most influence over other states in the system and tend to play the greatest role in global security. Unless there is one state with much more power than all the others, realists describe the maintenance of world order as requiring a balance of power among two or more great powers and their spheres of influence. balance of power the ability of one or more states to act as a counterweight to another country or group of countries in order to protect themselves bipolar system an international environment where two states of comparable power create a situation in which neither is willing to attack the other defensive realism a type of neorealism that advocates for transparency in order to avoid conflict and maintain the status quo game theory a way of conceptualizing what motivates a political actor in terms of the steps the actor takes to reach what they deem to be the optimal outcome for themselves hegemon the country that possesses the most power in a unipolar world multipolar system an international environment in which three or more states have relatively similar power that they can project out to other countries neorealism an offshoot of realism that contends that it is the structure of the system rather than the people who make up the state that drives the system forward offensive realism the theory that interstate conflict is the product of the overt actions states take in order to grow and project their power proxy wars conflicts in which each of the warring parties is supported and funded by a larger party who has a vested interest in the outcome realism a theory of international relations that holds that states embark on policy initiatives with a go-it-alone attitude that aims solely to preserve their own safety and security security dilemma a situation in which changes in a state’s policies related to its own safety and security, because they appear aggressive to other states, may lead those other states to take preemptive action that ratchets up tensions between two or more states unipolar system an international environment in which only one country possesses the political, economic, and military strength to exert its power and preferences on all the other countries in the world zero-sum game an interaction between two players in which there is only one round of play where one player takes everything available and leaves nothing for the second player", "section": "The Realist Worldview", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Liberal and Social Worldview Learning Outcomes By the end of this section, you will be able to: Explain the liberal worldview, including fundamental concepts and possible limitations or critiques. Discuss complex interdependence. Explain the constructivist worldview, including fundamental concepts and possible limitations or critiques. Liberalism as a worldview differs from liberalism as a political ideology . Ideology is the lens through which an individual makes choices and, if that individual is in a place of governmental power, through which they view policy options with regard to whether they align with their values. Worldviews, such as the ones listed in this chapter, serve as the basis for how states see the political environment around them and their place in it. Liberalism In contrast to the realist school of thought, those who adhere to liberalism see investment in the system as a whole, by working within institutions and their constraints to carve out a secure space, as the best way for a state to ensure its protection. Like other theories, liberalism sees states as the primary actors in the international system, Jervis, “Realism, Neoliberalism, and Cooperation.” but liberalism contends that their domestic rules and institutions constrain their actions. As such, states must consider constantly changing factors, both internal and external, when deciding on a course of action. Above all, liberalism views states as motivated by what they see as being in the best interest of the international system. Collective Security One branch of liberalism, institutionalism , sees international institutions in which states take part as essential to the functioning of the international system. Brian Frederking, “Constructing Post-Cold War Collective Security,” The American Political Science Review 97, no. 3 (2003): 363–78. In creating international institutions, whose mere existence seems counter to the expectations of a system described as anarchic, states look to each other to form a web of allies that they can count on for support in times of need. Collective security, Waheeda Rana, “Theory of Complex Interdependence: A Comparative Analysis of Realist and Neoliberal Thoughts,” International Journal of Business and Social Science 6, no. 2 (2015): 8. wherein states form alliances to strengthen the security of each member within the alliance, entrenches the idea that no one state can act independently in all instances and emerge victorious. These arrangements are especially beneficial for states with limited resources to put toward their own protection. NATO is one real-world example of an institution designed to promote collective security . Flags of many countries fly outside NATO Headquarters in Brussels, Belgium. (credit: “170517-D-SW162-3038” by Chairman of the Joint Chiefs of Staff/DoD Photo by U.S. Army Sgt. James K. McCann/Flickr, CC BY 2.0) Smaller states such as North Macedonia and Bulgaria have limited abilities to divert their country’s GDP for investment in modern military armaments. In joining NATO, these smaller countries agree to allow more formidable powers, such as the United States or the United Kingdom, to install military personnel and weapons in their countries and to use them as a base of military operations in exchange for the promise that the more formidable military power will provide the smaller country with protection should the need arise. In the case of a joint military engagement, the smaller country contributes personnel and financial resources. With the promise of support from more powerful countries, smaller states can deter other states from taking actions against them. All states within the pact, however large or small, are obligated to take part in joint actions, and because all the states in the pact see an attack on one member as an attack on all members, smaller states are assured of protection. Thus, NATO is a true example of liberal international theory in practice. (For more on NATO, see Chapter 15: International Law and International Organizations .) Complex Interdependence Complex interdependence René Grotenhuis, Nation-Building as Necessary Effort in Fragile States (Amsterdam: Amsterdam University Press, 2016), https://doi.org/10.2307/j.ctt1gr7d8r. attempts to cut a middle path between liberal and realist theories. Acknowledging the intricacies of the international system, where all parts of the system—states, individuals, international organizations, nongovernmental organizations, multinational corporations, and nonstate actors—have competing interests, complex interdependence posits that networks of actors form to meet common goals. Complex interdependence has three principal tenets: There are many pathways actors can take to achieve their desired ends. These pathways are differentiated based on the abilities of each of the actors. All issues are of relatively equal importance to states. States see the use of force as relatively more costly than any gain it might achieve and so may be inclined to chart paths of cooperation and the use of more stable institutional solutions. Robert Maxwell Morrison, “An Analysis: Complex Interdependence and the Chinese-United States Cyber Relationship” (master’s thesis, Virginia Tech, 2018), 86. https://vtechworks.lib.vt.edu/handle/10919/83572. Consider the relationship between the United States and China “US Diplomats to Boycott 2022 Beijing Winter Olympics,” BBC News , December 7, 2021, https://www.bbc.com/news/world-us-canada-59556613. as a real-world modern example of complex interdependence in action. The economic linkages between the US and China cannot be overstated. Those linkages keep the two countries locked in a long-standing, deeply complicated relationship. The United States relies heavily on the highly developed, highly efficient Chinese manufacturing sector, and the Chinese financial system buys up American government debt to back Chinese currencies. The international community relies on China to keep North Korea in line. However, these interdependencies do not stop China from choosing to engage in cyberwarfare against the United States, nor do they prevent the United States from filing complaints against China for human rights violations, as the United States diplomatic boycott of the 2022 Summer Olympic Games Alexander Wendt, “Anarchy Is What States Make of It: The Social Construction of Power Politics” International Organization 46, no. 2 (Spring 1992): 391–425; Maja Zehfuss, Constructivism in International Relations: The Politics of Reality (Cambridge, UK: Cambridge University Press, 2002). in Beijing illustrates. That China and the United States are a part of similar international organizations, such as the United Nations, where both countries hold veto power on the Security Council, does not prevent either country from using military might and prowess to signal its strength to the other country. Constructivism The international system is both fragile and highly changeable. The anarchic nature of the system means that there is no centralized enforcement mechanism that can coerce states to act in a generally accepted manner. So, what keeps state actions within the boundaries of appropriate behavior? How do states even know what behavior is appropriate? Constructivism Robin Wright, “Russia and China Unveil a Pact Against America and the West,” The New Yorker , February 7, 2022, https://www.newyorker.com/news/daily-comment/russia-and-china-unveil-a-pact-against-america-and-the-west; Brandon K. Yoder, “Theoretical Rigor and the Study of Contemporary Cases: Explaining Post-Cold War China-Russia Relations,” International Politics 57 (2020): 741–59, https://doi.org/10.1057/s41311-019-00173-z; Elizabeth Wishnick, “In Search of the ‘Other’ in Asia: Russia–China Relations Revisited,” The Pacific Review 30, no. 1 (2017): 114–32, DOI: 10.1080/09512748.2016.1201129. posits that shared conceptions of the world, how the world works, what constitutes power, and who holds that power result in shared norms—expected patterns of behavior that align with the expectations and behavior patterns of others. For constructivists, these shared conceptions and resultant norms are the glue that holds the international system together. At its core, constructivism is about the interaction of many different actors within the system, each aiming to hold the others in line. According to constructivists, the perceptions states share about the world and the consequences that it is generally accepted a state might suffer should other states view it in a negative light are what keeps state actions within the boundaries of appropriate behavior. For constructivists, how the world works and how it is perceived are not static. According to constructivism, the commonly accepted view of the world determines who has the most power to convey norms and to influence changes in norms and in ideas about how the international system should work. How the world is and how it works influence how actors choose to act, and this creates the norms and perceptions that will shape the world to come—what can be thought of as “the new normal.” One useful way to better understand the constructivist view is to use levels of analysis . At the individual level, leaders might try to use their own personal power and charm to shape the perceptions of other actors in the system. In order to change the behavior of other states to benefit their own purposes, leaders of states who are focused on projecting their own strength, such as Vladimir Putin or Kim Jong Un , seek to carefully craft what other leaders think of them. According to constructivists, states work to establish norms by modeling behavior and pressuring other states to emulate that behavior. For example, changes in a country’s domestic law become part of that country’s national identity; if a state chooses to enact a social safety net program, such as providing open access to education for all children, it can then pressure other states to enact a similar policy. States that enact similar policies sow relationships that can serve as a foundation on which other interactions or agreements can be built. At the systemic level, constructivism again prioritizes the importance of norms and the tendency of political actors to seek to align with those norms. The way states identify and place value judgments on “democratic” countries or “rogue states” can motivate an individual state to change its behavior. International organizations can establish specific rules or expectations of state behavior, placing further pressure on states to align their behavior with the rest of the world—especially if being in the out group means that a state has fewer resources to support their own economic, political, or social standing. Consider recent developments in the relationships among China, Russia, and the United States. China and Russia are becoming allies as relations between the United States and these two countries grow more strained. Constructivists contend that how a state views itself—its national identity—affects its goals and how it views and interacts with other states. For decades the United States has been the preeminent power in international relations, setting the tone for interactions. That may be changing. When Russia and China announced a sweeping—if informal—agreement declaring their friendship and opening the door for mutual cooperation, it appeared that the efforts of the United States to keep China neutral on the issue of Russia’s aggressive stance toward Ukraine had failed. Though Russia and China are both powerful autocracies, as economist and former National Security Council official Andrew Weiss notes, they have not always viewed each other as strong allies: “The Russians for the longest time were condescending in their view of China as an uninteresting rural society. Now China looks at Russia and says, ‘What are you good for?’” Wright, “Russia and China.” Foreign affairs analyst Robin Wright contends that their new alliance “challenges the United States as a global power, NATO as a cornerstone of international security, and liberal democracy as a model for the world.” “United Nations Convention on the Law of the Sea,” United Nations, December 10, 1982, https://www.un.org/depts/los/convention_agreements/convention_overview_convention.htm; International Law Commission, “Articles Concerning the Law of the Sea with Commentaries,” Yearbook of the International Law Commission Vol. II, 1956, https://legal.un.org/ilc/texts/instruments/english/commentaries/8_1_8_2_1956.pdf; Encyclopaedia Britannica Online , “Law of the Sea,” https://www.britannica.com/topic/Law-of-the-Sea. In changing their views of each other and joining together to form an alliance, Russia and China seek to change the way they are viewed in the world, and in fact perhaps the way the world order itself has worked for decades. International relations and international politics are always changing, so having the most up-to-date information and analysis possible is vital to understanding what is happening in the world. Podcasts provide a useful resource for up-to-date discussions of international politics. Some good podcasts to explore include: Pod Save the World (Crooked Media) The Lawfare Podcast (The Lawfare Institute) IS: Off the Page ( International Security ) States must rely on norms to communicate expected behaviors. Norms can be repeated behaviors, such as the use of fiat currency —government-issued, physical currency, the value of which is not linked to some other commodity (such as the gold standard)—in modern economies. They can also be actions required by international law, such as the role the United Nations Security Council plays in dealing with matters of international conflict or the UN Convention on the Law of the Sea, which prohibits state control over international waters beginning five miles outside of a state’s continental shelf. Vendulka Kubálková and Albert Cruickshank, Marxism-Leninism and Theory of International Relations (London: Routledge & Kegan Paul, 1980). Norms provide states with a starting point from which to weigh possible courses of action and determine how best to respond to any situation that may come up during the course of normal state relations. Theory in Action: Constructivism In the 1999 science fiction film The Matrix , Neo has the ability to change the rules upon which his world is based. In this clip, Caleb Gallemore (then a PhD candidate at Ohio State University and now Assistant Professor of International Affairs at Lafayette College) explains that this is how constructivists view international relations, contending that some actors have more power than others to change the system and how it works. If members of the international community consider a state’s actions to be in conflict with existing norms, they may not consider that state to be a reliable ally. Once a state loses its standing as a positively regarded member of the international system, it can affect the way other states enter into agreements, whether they be economic or political. In an increasingly interdependent world, a state that is no longer able to enter into beneficial agreements with other states will have difficulty employing its resources in the most efficient way. Liberalism, as a theory of international relations, places states as part of a larger system, working in concert with various other institutions to create an environment through which all people and states benefit. In the liberal view, states work together to achieve collective security. Constructivists see the system in which these interactions occur as an ever-changing one, the conditions of which are determined by how states see themselves, how they see other states, and how they see the system as a whole and by the norms of the system to which all states tend to adhere, which are usually heavily influenced by the most powerful states. collective security a cooperation agreement between multiple countries aimed at providing military power for all complex interdependence a theory of international relations that holds that all parts of the international system have competing interests but that these parts form networks to meet common goals constructivism in international relations, the theory that expected patterns of behavior among states are the glue that holds the international system together fiat currency government-issued, physical currency, the value of which is not linked to some other commodity (such as the gold standard) institutionalism a branch of liberalism that sees international institutions in which states take part as essential to the functioning of the international system liberalism a theory of international relations that sees investment in the system as a whole, by working within institutions and their constraints to carve out a secure space, as the best way for a state to ensure its protection", "section": "The Liberal and Social Worldview", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Critical Worldviews Learning Outcomes By the end of this section, you will be able to: Explain Marxism, including its fundamental concepts and possible limitations or critiques. Explain feminism, including its fundamental concepts and possible limitations or critiques. Recall that a state’s policy decisions are grounded in the general way it perceives the structure of the world, its place in the larger system, and what it believes would be necessary to secure and grow its position relative to other states. The perspectives of those in power tend to dominate discussions of international norms and theories of international relations. Those who see the system as fundamentally unjust have developed alternative theories to explain the way states act in the international system. Marxism Marxism Miguel Reyes Hernández and Miguel Alejandro López, “Dependency Theory in Latin American History,” in Oxford Bibliographies Online, Updated January 15, 2019, https://doi.org/10.1093/obo/9780199766581-0205. emerged as a response to the rise of capitalism on the back of the imperial actions of the European powers. Karl Marx asserted that the individuals who controlled the factors of production in a country — the land and physical resources, the labor force, the capital needed for investment in the facilities and processes of an economy, and the entrepreneurship and creativity that drives economic growth and diversification—had too much power over its social norms. According to Marx, over the long term, those in power seek to create institutions that further entrench the stratification of the classes of a population, keeping wealth in the upper classes and leaving the lower classes with significant obstacles to their individual advancement. Marxist states seek to promote equality among all people so that each individual has the same opportunities to further their own wealth and success. These states seek to develop an international system in which societies invest internally to focus on the development of their own power and their own means of production so that the producing state gains the most from those products to the benefit of its own citizens. Proponents of dependency theory Christopher Chase-Dunn and Marilyn Grell-Brisk, “World-System Theory,” in Oxford Bibliographies Online , Updated November 26, 2019, https://doi.org/10.1093/obo/9780199743292-0272. argue that the stratification of countries in the international system is based around core countries and periphery countries . This view is known as the core-periphery model . Diana Thornburn, “Feminism Meets International Relations,” SAIS Review 20, no. 2 (Summer-Fall 2000): 1-10. Core countries such as the United States and the United Kingdom are more developed than most other countries, with more stable political and social institutions and higher-order economic systems. These states rely on developing, or what were once called third-world, countries—periphery countries—that are rich in extractive resources the core countries need to maintain their status. Earlier, the chapter discussed comparative advantage and trade as the basis for international relations; dependency theory suggests that countries that are able to produce higher-order goods and services, such as technologically advanced products like machinery and computers, are better suited to protect their power in the long term. To entrench this advantage, core states have an incentive to keep periphery countries in positions of political and social unrest so that the core countries may extract the needed resources with minimal costs. At its core, dependency theory rests on Marxist views that those who control the factors of production have the ability to exploit workers. Marxism argues that the pursuit of equality is more assured if the control of society is given to those doing the work to bring about societal progress. Feminism Feminist theory promotes equality among all people, regardless of biological sex or sociological gender. According to feminist theory , traditional views of international relations consider the state to be the main actor in the international system, Alise Coen, “Can’t Be Held Responsible: Weak Norms and Refugee Protection Evasion,” International Relations 35, no. 2 (June 2021): 341–62. https://doi.org/10.1177/0047117819884613. and the feminist tradition views the state as an inherently masculine institution in that it is and has been dominated by men and the male point of view since its inception. As such, according to feminist theory, international relations has traditionally focused on “hard policy” issues, such as conflict and security, and has concentrated primarily on the actions of men. It has relegated to second-class status issues related to development and access to social programs. The end of the Second World War saw a huge shift in the role of women in society in general, ushering in a corresponding shift in the priorities of state policies toward the inclusion of more social programs. Since that time, the number of women in positions of power within governments has steadily increased. Women such as Sirimavo Bandaranaike of Sri Lanka, the first woman to be elected a prime minister, have introduced policies in their countries focusing on the health, safety, and welfare of women and children alongside issues of national security and military engagement, leading to an increased focus on these policies in the international arena. When she was elected in 1960, Sirimavo Bandaranaike of Sri Lanka became the first women prime minister in the world. (credit: “Sirimavo Bandaranaike, Prime Minister of Ceylon and member of the Sri Lanka (Freedom) Party, head-and shoulders portrait, seated at desk, facing left” by United Press International (UPI)/Library of Congress, Public Domain) Issues like poverty, infant and maternal mortality, access to education, and violence against women have become a more central part of the conversation in organizations like the United Nations. As more women become part of the policy-making process, the areas that were once relegated to “women’s issues” are being recognized as issues that affect everyone and that must be dealt with to help support vibrant, growing, prosperous societies. It is worth noting that the scholarship of international relations as a whole has followed the slow track of progress to include women in the field. Especially in the case of scholarship related to conflict and security issues, women have been left out of the conversation, and the overwhelming perspective of work has been that of the heteronormative White male. This lack of diversity in the contributors to the scholarship has led to a lack of objectivity in the scope and process of the study of international relations. As the body of international relations scholars has incrementally, albeit marginally, diversified, the breadth and depth of the scholarship of the field has followed. As the people working in the field of international relations diversifies, a diversity of new perspectives will emerge that can help the field as a whole meet the challenges of the modern system. Scholars such as University of Wisconsin—Green Bay professor Alise Coen “Maya Sen,” Harvard University, Accessed December 14, 2021. https://scholar.harvard.edu/msen/home. and Harvard University professor Maya Sen are bringing their unique perspectives to the study of refugee rights and its associated policies and war, respectively. Just as the most powerful states tend to dominate the international system, the perspectives of those in power have tended to dominate the study of international relations. Critical theories of international relations, such as feminism and Marxism, push back against traditional points of view, bringing in the perspectives of underrepresented groups and questioning standard interpretations of the international system. Suggested Readings Chase-Dunn, Christopher, and Marilyn Grell-Brisk. “World-System Theory.” In International Relations , by Christopher Chase-Dunn and Marilyn Grell-Brisk. Oxford University Press, 2019. https://doi.org/10.1093/obo/9780199743292-0272. Classic Readings and Contemporary Debates in International Relations . Belmont, CA: Wadsworth, 2006. Dunne, Timothy. “The Social Construction of International Society.” European Journal of International Relations 1, no. 3 (1995): 367–89. Finnemore, Martha, and Kathryn Sikkink. “International Norm Dynamics and Political Change.” International Organization 52, no. 4 (1998): 887–917. Griffiths, Martin. “International Relations Theory for the Twenty-First Century: An Introduction.” In Marxism , edited by Mark Rupert, 35–46. London: Routledge, 2007. Keohane, Robert O., and Joseph Nye. Power and Interdependence . New York: Longman, 2011. Lebow, Richard Ned. A Cultural Theory of International Relations . Cambridge, UK: Cambridge University Press, 2008. Moravcsik, Andrew. “Taking Preferences Seriously: A Liberal Theory of International Relations.” International Organization 51, no. 4 (September 1997): 513–53. Putnam, Robert D. “Diplomacy and Domestic Politics: The Logic of Two-Level Games.” International Organization 42, no. 3 (June 1988): 427–60. Robinson, William I. A Theory of Global Capitalism: Production, Class, and State in a Transnational World . Baltimore: Johns Hopkins University Press, 2004. Thompson, Kenneth W. “Collective Security Reexamined.” American Political Science Review 47, no. 3 (September 1953): 753–72. Tickner, J. Ann. Gender in International Relations: Feminist Perspectives on Achieving Global Security . New York: Columbia University Press, 1992. Wendt, Alexander, “Anarchy is what States Make of it: The Social Construction of Power Politics” International Organization 46, no. 2 (Spring 1992): 391-425. core countries countries with developed economic systems and stable political and social systems core-periphery model a model of international relations that views the world as divided between two types of countries, core countries and periphery countries, where core countries depend on periphery countries to maintain their status dependency theory a theory of international relations that argues that the stratification of countries in the international system is based on core countries and periphery countries, where core countries depend on periphery countries to maintain their status feminist theory a theory of international relations that supports creating institutions and norms that prioritize equality among all people, regardless of biological sex or sociological gender Marxism in the context of international relations, the idea that the role of states is to ensure equal access to the factors of production in an economy and an equitable distribution of the benefits of the goods and services that economy produces periphery countries countries with less stable political and social systems that are rich in the resources that more developed states require to maintain their power", "section": "Critical Worldviews", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction According to the Seychelles News Agency, yellowfin tuna in the Indian Ocean is the most overfished tuna in the world. Under pressure from the European Union and numerous nongovernmental organizations, Indian Ocean Tuna Commission countries met in 2021 to discuss the sustainability of fishing practices. Salifa Karapetyan, “How Much Tuna? Seychelles, IOTC Meets on Sustainability of Vital Industry,” Seychelles News Agency, March 9, 2021, http://www.seychellesnewsagency.com/articles/14475/How+much+tuna+Seychelles%2C+IOTC+meets+on+sustainability+of+vital+industry. In this photo, buyers and sellers negotiate prices of different varieties of tuna at a market in Mogadishu. (credit: \"2013_03_16_Somalia_Fishing m\" by AMISOM Public Information/Flickr, Public Domain) No individual or state “owns” the oceans and the wildlife in them. They are a shared, finite resource. Overfishing is an unsustainable global problem, especially now that technological advancements allow thousands of fish to be harvested at once. Only through the establishment of rules can the fish continue to be a source of food and income for future generations. In a system of sovereign states, managing international resources like the fish in the sea is no easy task. As discussed in earlier chapters, state sovereignty is the concept that states have an inherent right to independence and a right to formulate policies and take actions that they deem to be in their own national interests. Managing international resources requires navigating the claims sovereign countries have on those resources, understanding the needs of individuals who depend upon them for their livelihood, and thinking about the sustainability of those resources for the future. No individual state can do this alone. International law and non-state actors, especially international organizations, participate in global governance in order to address complex issues like managing global fishing or preventing conflict. Along with governments, thousands of organizations engage in collaborative problem-solving, encourage broad and transparent international communication, and assist those in need. By creating and following norms and rules and advocating for the impoverished and marginalized, international law and non-state actors shape state behavior and promote a more peaceful and prosperous international system. The importance of international law and non-state actors to the outcomes of international relations is a subject of some debate among proponents of the various theories of international relations discussed in Chapter 14: International Relations , but there is little doubt that the era of globalization has enhanced their visibility and influence.", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Problem of Global Governance Learning Outcomes By the end of this section, you will be able to: Define global governance . Define and give examples of collective goods and the tragedy of the commons. Discuss global governance as a response to the anarchic nature of the international system. Identify the actors involved in global governance. States do not operate in isolation. They exist in a global community of sovereign states. As in all communities, each individual actor has their own motivations or goals and is impacted by the broader shared environment. Though the international system is anarchic—that is, there is no overarching international authority to help promote peace and prosperity among states—each state’s efforts to achieve those goals is to some degree dependent upon the actions of other states in the system. Recognizing that the achievement of prosperity and security requires shared action, the global community sets rules and norms of behavior to give some structure to the anarchic system. This global governance is the process by which sovereign states accrue rights and duties in the international community. It provides “peace and security, justice and mediation systems for conflict, functioning markets and unified standards for trade and industry,” “What Is Global Governance?” Global Challenges Foundation, accessed January 25, 2022, https://globalchallenges.org/global-governance/. helping states thrive even under conditions of anarchy . Like other communities, the international system is tasked with convincing individual members to take some responsibility for solving collective problems. This task is especially difficult when individual members somehow profit from behavior that exacerbates these problems. The tragedy of the commons Garrett Hardin, “The Tragedy of the Commons,” Science 162, no. 3859 (December 1968): 1243–1248, DOI: 10.1126/science.162.3859.1243; see also Chapter 2: The Fundamentals of Group Political Activity. occurs when there is a rivalry for limited resources to which it is inherently difficult to restrict access and individual states prioritize their own short-term economic survival over broader long-term community interests, interests that are often referred to as collective goods . Individual states have incentives to take actions in order to secure these goods for their own benefit that may negatively impact others. For example, individual states may prioritize cost savings for manufacturing plants that use the cheapest energy source, even if doing so contributes to continuing damage to the common environment. China, for instance, engaged in rapid industrialization, dramatically increasing the size of its economy and the quality of life for the Chinese people; however, in the process, China became the world’s leading producer of air pollution. Air pollution cannot be contained to the boundaries of the country producing the pollution, and clean air is a collective good. International issues like air pollution, where one state’s actions to mitigate its role in intensifying a problem may be ineffective if its neighbor does not take similar action, illustrate the complexities of the tragedy of the commons. Tragedy of the Commons The more we exploit common resources, the scarcer these resources become. The anarchic nature of the international system complicates efforts to persuade states to recognize their contribution to a common problem and to take responsibility for their actions. Collective goods benefit everyone, regardless of whether they participate in securing them, and it can be difficult to motivate individual states to make sacrifices to secure those goods if other states are already working on it—a phenomenon called free riding , which is discussed in more depth in Chapter 6: The Fundamentals of Group Political Activity . Through global governance, the international community helps states and people obtain these public goods while maintaining the principle of state sovereignty on which the international system is based. Multiple actors take part in global governance. States themselves, both as individual actors and through their participation in organizations with other states, are the primary actors. Nongovernmental organizations, multinational corporations, national groups, and religious actors also contribute to global governance. International cooperation among these various actors is needed to reach agreement—to develop international law that sets limits on who can do what and establishes punishments for exceeding those limits. Disruptive groups that pose a threat to the common peace and prosperity can only be countered through global governance. Issues such as climate change, terrorism, international crime, religious movements, trade, and human migration impact every state. The need to cooperate to address common problems and attain collective goods has led to the development of a robust if imperfect system of global governance. Global governance helps manage the anarchy of the international system by setting rules and boundaries for state behavior and providing forums for collective action. collective goods goods available to all, regardless of individual contribution global governance the bringing together of state and non-state actors to coordinate collective action for the purpose of providing global public goods such as peace and security, economic prosperity, conflict mediation, human rights, and environmental protection tragedy of the commons the depletion of common resources when the incentives for states to act selfishly are greater than the incentives to cooperate to achieve a collective good", "section": "The Problem of Global Governance", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "International Law Learning Outcomes By the end of this section, you will be able to: Define and identify sources of international law. Explain how state sovereignty informs international law. Differentiate between the International Court of Justice (ICJ) and the International Criminal Court (ICC). Discuss the development of key areas of international law, including the law of the sea, the Geneva Conventions, and human rights law. International law is a set of formal and informal rules that loosely govern the international system, setting parameters around the conduct of state and non-state actors. In the absence of a central global government, international law plays a critical role in increasing the predictability of international relations, helping to counteract the anarchy of the system by prescribing norms and setting expectations of behavior. It facilitates state interactions in “common” places, such as the air and the sea, and helps promote peace and lessen the impact of conflict. International laws govern airline travel, commerce, maritime law, human rights, the development and use of weapons, and the environment, among other areas. International law is not found in a single book or document; rather, it is the sum total of international treaties, other international agreements, and customary law , which is derived from the long-time practices of states (see Chapter 11: Courts and Law ). International law has developed out of functional necessity, as in the cases of international transportation, commerce, or communications, for example, or because of broad consensus around moral or immoral behavior, as in issues of human rights and the laws of war. Two courts adjudicate international law: the International Court of Justice (ICJ), which has jurisdiction over disputes between states, and the International Criminal Court (ICC), which has jurisdiction over individual criminal behavior such as war crimes or genocide. Some other international organizations such as the European Union and the World Trade Organization also have legal systems that adjudicate disputes between member states. How Does International Law Establish the Rights and Obligations of States? The recognition of state sovereignty provides the foundation for international law. Typically, sovereign states willingly enter into agreements that they believe will benefit them in some way, with the understanding that by signing a treaty they agree to its terms, including obligations and constraints on their behavior. The United Nations (UN), a global organization bringing together nearly every state in the world to promote peace and stability, hosts a repository of more than 500 active treaties across every conceivable issue in international relations. “United Nations Treaty Collection,” accessed January 25, 2022, https://treaties.un.org/. Signatory states may monitor or punish states that do not fulfill their treaty obligations. In this way, all individual, sovereign parties to a treaty ensure that they are treated fairly under the terms of the agreement and that they receive the benefits they are due. Some treaties require states to modify their domestic policies. For instance, states that sign the Paris Climate Accord commit to solve a common problem, climate change , by taking certain steps in their own country. Signatory countries that fail to take those steps may be acting within their sovereign rights, but if they signed the treaty, those domestic actions (or that domestic inaction) are now regulated by international law. States that sign international conventions like the Universal Declaration of Human Rights or the Convention to Eliminate All Forms of Discrimination Against Women (CEDAW) commit to follow the guidelines set forth in those documents. Examples of International Law Three particularly well-developed areas of international law are the law of the sea , the Geneva Conventions , and human rights law . They illustrate how functional needs and moral obligations have driven the development of international law and helped states acquire global goods. The United Nations convened the first conference on the law of the sea in 1958. The UN Convention on the Law of the Sea (UNCLOS) was signed in 1982 and came into force in 1994. Among other things, the UNCLOS clarifies where countries’ boundaries extend into the ocean, who “owns” the fish in the water, and who has the right to use sea traffic lanes. UNCLOS identifies state “rights, freedoms and obligations” in areas such as shipping, fishing, wrecks and cultural heritage, and the protection of the marine environment. “Law of the Sea,” Audiovisual Library of International Law, United Nations, accessed January 25, 2022, https://legal.un.org/avl/ha/lawofthesea.html; John Norton Moore, “Navigational Freedom: The Most Critical Common Heritage,” International Law Studies 93 (2017): 251–260. All UN member states sign the Geneva Conventions, a series of treaties and protocols that codify international humanitarian law. Through the efforts of the International Committee of the Red Cross (ICRC), the first Geneva Convention was signed in 1864, allowing noncombatants to treat wounded soldiers in the battlefield. There are now four Geneva Convention treaties—the fourth of which establishes a legal definition of war crimes—all focused on protecting civilians and prisoners of war during military conflicts. Former UN Ambassador Susan Rice Discusses Geneva Conventions and American Red Cross Curriculum On the 60 th anniversary of the signing of the Geneva Conventions, then-UN Ambassador Susan Rice discussed the United States commitment to supporting international humanitarian law. The Geneva Conventions serve as the basis for a much broader body of international human rights law that includes nine core human rights treaties that extend beyond wartime behavior. These treaties recognize the “inalienable rights” of people and codify crimes against humanity. They call upon all states to prevent genocide , which they define as “acts committed with intent to destroy, in whole or in part, a national, ethnical, racial or religious group,” “Genocide,” United Nations Office on Genocide Prevention and the Responsibility to Protect, accessed January 25, 2022, https://www.un.org/en/genocideprevention/genocide.shtml. and to punish those who perpetrate it. All UN member states have ratified at least one of the nine core human rights treaties, and 80 percent have ratified four or more, accepting the obligations and duties under international law to respect, protect, and promote human rights. “What Are Human Rights?” United Nations Office of the High Commissioner on Human Rights, accessed January 25, 2022, https://www.ohchr.org/EN/Issues/Pages/WhatareHumanRights.aspx. In 2001, the international community developed a principle called Responsibility to Protect (R2P) , which justifies international intervention to protect human rights. Arising from the horror at the complacency of the international community during the Rwandan genocide and the ethnic cleansing in the former Yugoslavia during the 1990s, in 2005 world leaders at the UN World Summit unanimously agreed to adopt R2P. “What Is R2P?” Global Centre for the Responsibility to Protect, accessed January 25, 2022, https://www.globalr2p.org/what-is-r2p/. The philosophy behind R2P is that “state sovereignty carrie[s] with it the obligation of the State to protect its own people, and that if the State [is] unwilling or unable to do so, the responsibility shift[s] to the international community to use diplomatic, humanitarian and other means to protect them.” “Responsibility to Protect,” United Nations Office on Genocide Prevention and the Responsibility to Protect, accessed January 25, 2022, https://www.un.org/en/genocideprevention/about-responsibility-to-protect.shtml. R2P obliges state governments to prevent crimes against humanity, and if they do not, it specifies that the United Nations Security Council may intervene to protect at-risk populations. Amal Clooney, International Human Rights Lawyer In this video clip, international human rights lawyer Amal Clooney delivers a statement to the UN Security Council on her work representing women who have been victims of international crimes against humanity at the hands of ISIS (the Islamic State of Iraq and Syria, a militant extremist group that the United Nations has designated a terrorist organization) and asks the international community to bring the perpetrators to justice. How Is International Law Enforced? Enforcing international law requires the will and power of states. This can be a challenge for a variety of reasons including the risk of hostile confrontation, the potential damage to valuable international relationships, and the reluctance to interfere with state sovereignty by intervening in domestic affairs. States are rarely punished for violations of international human rights law that happen within their borders. Beginning in 2017, the Myanmar government launched a campaign against the Rohingya, an ethnic minority, and in the years since observers have accused the government of burning down villages and engaging in systematic rape and torture in violation of human rights treaties Myanmar has signed. In cases like these, in which a government violates an international law within its own borders, the international community may be unwilling or unable to enforce treaty obligations. Giavanna O’Connell, “How China Is Violating Human Rights Treaties and Its Own Constitution in Xinjiang,” Just Security, August 19, 2020, https://www.justsecurity.org/72074/how-china-is-violating-human-rights-treaties-and-its-own-constitution-in-xinjiang/; “World Court Rules Against Myanmar on Rohingya,” Human Rights Watch, January 23, 2020, https://www.hrw.org/news/2020/01/23/world-court-rules-against-myanmar-rohingya#. The groups suffering these human rights abuses are typically without political or military power and have little recourse if the international community is unwilling to come to their aid, even if there is broad agreement that international law is being broken. International law is the “judicial branch” of global governance. Within a country, judicial decisions are meaningful when, if necessary, the executive branch has the ability to enforce them. Because there is no executive branch in the global governance system, international laws are difficult to enforce. Sometimes powerful states decide to enforce international law, but this is not guaranteed and often depends upon power imbalances (powerful states are more likely to get away with noncompliance than weak states), state interests (states that are allied with powerful states may get away with noncompliance more than enemies), and the perceived ease of halting the bad behavior. In August 1990, Saddam Hussein , the leader of Iraq, invaded Kuwait, violating international law. The UN Security Council set a January 15, 1991, deadline for Iraqi withdrawal. On January 17, a UN coalition of 39 countries, led by the United States, launched Operation Desert Storm to force Iraq out of Kuwait and show “intolerance for military aggression and the strengthening of international cohesion, international law and liberal institutions, including the UN.” Louise Kettle, “A New World Order: The Importance of the 1991 Gulf War,” Ballots & Bullets , School of Politics & International Relations, University of Nottingham, January 19, 2016, https://nottspolitics.org/2016/01/19/a-new-world-order-the-importance-of-the-1991-gulf-war/. In this photo, soldiers and civilians raise American, British, Saudi, and Kuwaiti flags to celebrate following the retreat of Iraqi forces from Kuwait. (credit: “American, British, Saudi and Kuwaiti flags are held aloft by celebrating soldiers and civilians following the retreat of Iraqi forces from Kuwait as a result of Operation Desert Storm” by Cw02 Ed Bailey/Department of Defense, American Forces Information Service, Public Domain) The International Court of Justice (ICJ) The International Court of Justice (ICJ), also called the World Court, is headquartered in the Peace Palace in The Hague, Netherlands. The ICJ was the original judicial institution of the United Nations. The Peace Palace in The Hague is the home of the International Court of Justice. (credit: “Peace Palace” by Cliché Lybil Ber/Wikimedia Commons, CC BY 4.0) The ICJ was founded in 1945 to resolve disputes between states. Any UN member state can bring a case to the ICJ. The ICJ’s jurisdiction is limited to interstate disputes and advisory opinions for United Nations bodies. The most common types of cases states bring before the ICJ involve boundary and resource disputes. About a third of UN member states—not including the United States—have signed a document agreeing to be bound by the ICJ’s rulings. Since its founding, the ICJ has issued approximately 160 rulings, including both resolutions to interstate disputes and advisory opinions. “List of All Cases,” International Court of Justice, accessed January 25, 2022, https://www.icj-cij.org/en/list-of-all-cases. The International Criminal Court (ICC) When egregious human rights crimes are perpetuated on domestic groups and do not cross state boundaries, they are particularly challenging to punish as the doctrine of state sovereignty protects internal affairs. Following the 1994 Rwandan genocide and “ethnic cleansing” in the former Yugoslavia in the early 1990s, the UN established international criminal tribunals to help bring the perpetrators to justice and to end impunity , or the lack of punishment for criminal behavior. Given the costs and logistics associated with these temporary and issue-specific courts, in 1998 the United Nations Rome Statute established the International Criminal Court (ICC) as a permanent court to oversee such cases. The ICC was designed to address problems outside the scope of the ICJ, particularly to bring to justice individuals accused of genocide, war crimes, and crimes against humanity. In 2018, the ICC’s jurisdiction was expanded to cover the crime of aggression. Thus far, the ICC has heard 30 cases and is investigating multiple others. “ICC Situations and Cases,” Coalition for the International Criminal Court, accessed January 25, 2022, https://www.coalitionfortheicc.org/explore/icc-situations-and-cases. Over 120 states are party to the Rome Statute, but powerful states with global reach like Russia, China, and the United States have been reluctant to recognize the legitimacy of the ICC, fearing it will infringe on state sovereignty and be used as a political weapon against soldiers or other nationals abroad. The United States has established a network of bilateral treaties with countries around the world promising not to prosecute any US citizen through the ICC. “The US-ICC Relationship,” International Criminal Court Project, accessed January 25, 2022, https://www.aba-icc.org/about-the-icc/the-us-icc-relationship/. How Does International Law Contribute to Global Governance? As doctoral researcher Heath Pickering notes, “agreements to norms and treaties have . . . increased international institutions, given rise to non-state actors, and rapidly developed the contemporary customary and treaty based rules system.” Heath Pickering, “Why Do States Mostly Obey International Law?” E-International Relations, February 4, 2014, https://www.e-ir.info/2014/02/04/why-do-states-mostly-obey-international-law/. Given the relative lack of enforcement mechanisms, state compliance with international law is surprisingly high. Most states comply with their obligations most of the time, and state leaders typically couch their actions in the language of international law, feeling compelled to justify their behavior according to accepted norms. The more states comply and feel the need to explain their behavior in common terms accepted by the international community, the more predictable international relations will be. International law, created by multilateral treaties, establishes boundaries on state behavior. In a system of sovereign states, with no authoritative overarching governing body, international law helps define norms for interstate conduct. International law creates a sense of obligation and expectations between countries. genocide an intentional and systematic attempt to destroy a national, ethnic, racial, or religious group, in whole or in part International Criminal Court (ICC) a permanent court established to try individuals accused of war crimes and crimes against humanity International Court of Justice (ICJ) the judicial body of the United Nations that hears cases between states; also called the World Court international law the rules, drawn from treaties and customs, that govern the way states interact with each other responsibility to protect (R2P) a principle that states have a responsibility to protect all people, whether they are citizens of their own state or of other states, from genocide and crimes against humanity", "section": "International Law", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The United Nations and Global Intergovernmental Organizations (IGOs) Learning Outcomes By the end of this section, you will be able to: Define intergovernmental organizations and discuss their role in global governance. Discuss the purpose and history of the United Nations. Describe the structure of the United Nations. Explain the role of peacekeepers. Analyze the sources and limits of the power of the United Nations. Intergovernmental organizations (IGOs) are groups made up of member states that are held together by formal agreement. The number of intergovernmental organizations has increased dramatically since World War II. IGOs help the international community focus on issues and coordinate actions even when individual states’ interests may push them to act in ways that are incompatible with common goals. Each member state’s government selects delegates to represent its interests at IGO meetings. There are dozens of IGOs. This section focuses on global IGOs—that is, IGOs whose membership is open to states around the world. The scope of global IGO activity varies widely, from technical organizations such as the International Civil Aviation Organization and the International Hydrographic Organization to organizations with a specific, narrow focus, such as the Inter-American Tropical Tuna Commission . While some global IGOs have a relatively small number of members, 193 out of 195 recognized sovereign countries in the world are members of the largest global IGO, the United Nations , “Member States,” United Nations, accessed January 25, 2022, https://www.un.org/en/about-us/member-states. and 164 are members of the World Trade Organization . “Members and Observers,” World Trade Organization, accessed January 25, 2022, https://www.wto.org/english/thewto_e/whatis_e/tif_e/org6_e.htm. With its worldwide reach, the United Nations contributes to global governance more than any other IGO. Since its beginning in 1945, its membership has grown as the number of sovereign states has increased. The newest members are Montenegro and South Sudan. The Holy See and Palestine are nonvoting “observer” members. “Countries Not in the United Nations,” World Population Review, accessed January 25, 2022, https://worldpopulationreview.com/country-rankings/countries-not-in-the-un. The UN addresses every conceivable issue in international relations, from peace and security to migration and refugees, law, food, development, energy, and human rights, among others. Dozens of smaller global IGOs are housed within the UN framework. Virtual Tour of the UN If you can’t visit the UN in person, this video can take you on a virtual tour of the UN Headquarters in New York. Headquartered in New York City, the UN is a hub of international activity, with representatives from member countries participating in General Assembly and committee meetings and engaging in forums on issues of international concern. You can visit the UN , where tours are conducted in multiple languages. The Founding and Mission of the UN The United Nations was created after World War II to ensure international peace and stability. In 1919, the Treaty of Versailles , which ended World War I, established a global IGO called the League of Nations . The purpose of the League was to facilitate good relations among countries of the world and to punish aggression. To deter aggression, the League used the principle of collective security , requiring member states to jointly retaliate against any aggressive action of another state. Because the United States Senate refused to ratify the Treaty of Versailles, the United States did not join the League of Nations. Ultimately, the League was ineffective in punishing aggressive states, and expansionist powers Japan, Germany, and Italy all withdrew from the League prior to World War II. While some might view the outbreak of World War II less than 20 years after the conclusion of the First World War as a failure of the idea behind the League, the leaders of the WWII Allied states saw the outbreak as evidence of the need for an even stronger global organization, and in response they created the United Nations. United States President Franklin D. Roosevelt committed US membership and backing, and the US Congress agreed to join the United Nations. While the League had required unanimous agreement among its members to take action, the UN requires only a majority vote for most resolutions. A two-thirds majority was required for issues of peace and security, admission of new members, and budgetary matters. Initially, the United Nations had 51 member states, mostly from Europe. Because the United Nations was founded in part on the principle of the sovereignty of member states, it is not and cannot become a “world government” with ultimate authority over its members. UN decisions are not binding on member states without the consent of those states. Like international law, the UN contributes to global governance by setting obligations and rules of behavior for member states. The United Nations Charter recognizes the rights of sovereign states and their obligations as members of the international community while emphasizing the importance of multilateral cooperation as the cornerstone to peace and prosperity for all. Member states commit to use peaceful means to settle disputes and to uphold and support UN decisions. The Charter specifies that the UN may intervene to stop acts of aggression or threats to the peace and that member states are only to use force in self-defense. The UN website displays the organization’s slogan: “peace, dignity and equality on a healthy planet.” The three overarching goals of the United Nations are promoting peace, ensuring human rights, and achieving sustainable development with a focus on protecting the environment—all collective goods that can be elusive in a system of sovereign states each concerned only with its own survival and well-being. In service of the goal to “save succeeding generations from the scourge of war,” “United Nations Charter: Preamble,” United Nations, accessed January 25, 2022, https://www.un.org/en/about-us/un-charter/preamble. the UN has been involved in peacekeeping activities in areas of interstate conflict since the late 1940s. In 1948, UN member states signed the Universal Declaration of Human Rights (UNDHR), which lays out principles such as the right to freedom of religion, freedom of family choices, and freedom to travel. It became the foundational document for the protection of human rights worldwide. “Universal Declaration of Human Rights,” United Nations, accessed January 25, 2022, https://www.un.org/en/about-us/universal-declaration-of-human-rights. First Lady Eleanor Roosevelt , wife of US President Franklin Roosevelt, served as the chairperson for the delegation that drafted the Universal Declaration of Human Rights. “Women Who Shaped the Universal Declaration,” United Nations, accessed January 25, 2022, https://www.un.org/en/observances/human-rights-day/women-who-shaped-the-universal-declaration#:~:text=ELEANOR%20ROOSEVELT&text=Truman.,Universal%20Declaration%20of%20Human%20Rights. (credit: “Eleanor Roosevelt holding poster of the Universal Declaration of Human Rights (in English), Lake Success, New York. November 1949” by FDR Presidential Library & Museum/Flickr, CC BY 2.0) Recognition of the dignity of each person and their inalienable rights sets the stage for many other UN activities. The UN’s ability to coordinate international solutions to problems and to marshal funds and expertise has helped many states, especially in the developing world, achieve better economic, educational, health, and environmental outcomes. How Is the UN Structured? The UN is organized into six main bodies: the General Assembly, the Security Council, the Economic and Social Council, the Secretariat, the Trusteeship Council, and the International Court of Justice. In addition, dozens of related IGOs work on issues in conjunction with or under the auspices of the United Nations. “The UN System Organizations,” United Nations Global Marketplace, accessed January 25, 2022, https://www.ungm.org/Shared/KnowledgeCenter/Pages/VBS_UNSystem. The International Court of Justice was discussed above. This section turns to the other five main UN bodies. The United Nations is organized into six main bodies. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) The General Assembly Each of the 193 UN member states has equal representation, regardless of its size or wealth, in the primary deliberative organ of the United Nations, the General Assembly (GA). The GA serves as a venue for states to discuss the most pressing international challenges, such as the COVID-19 pandemic, climate change, armed conflict, illicit trade, poverty, and hunger, as well as systemic problems such as wealth inequality and intolerance. Every state in the world faces these troubles to varying degrees, and thus the quest for solutions is a quest to provide collective goods. At its annual meeting, GA members deliberate policies and goals for the international community, elect members to the Security Council, and discuss reports from other UN organs. The Security Council The Security Council performs the UN’s most crucial peacemaking work. Fifteen member states sit on the Security Council. Ten are elected by the General Assembly to two-year terms, while the other five seats, known as the Permanent Five (P5) , belong to the victors of World War II and the primary architects of the United Nations—the United States, United Kingdom, France, Russia, and the People’s Republic of China (PRC). The P5 have veto power over any Security Council action. Even if the other 14 states on the Council agree with a given action, the veto of any one of the P5 will block the action. Admission to membership in the United Nations requires the affirmative vote of nine Security Council members and no vetoes from within the P5. Though the General Assembly has more than tripled in size, the structure of the Security Council has only changed once, when in 1965 the number of members was expanded from 11 to 15. There is ongoing discussion about increasing the size of the Security Council beyond 15 states, and some advocate for expanding the P5 since the Security Council has no permanent representative from Latin America, Africa, or the Middle East. The Security Council monitors international conflict, facilitates diplomatic resolutions to disputes, and may place sanctions on member states engaged in violence. To stop ongoing or impending conflict or violations of international law, the Security Council has authorized military intervention (e.g., in response to North Korea’s aggression against South Korea in 1950 and in response to Iraq’s 1990 invasion of Kuwait), levied sanctions (e.g., in 2006 against Iran for refusing to stop its uranium enrichment process in its quest for nuclear weapons), and imposed arms embargoes (e.g., against Serbia in 1998 for ongoing aggression against Kosovo). The Security Council also provides a space for multilateral discussion about transnational threats to international security such as terrorism, poverty, migration and refugees, and trafficking of goods and people. The Economic and Social Council The Economic and Social Council (ECOSOC) is a primary driver of global governance policy aimed at dealing with the collective problems facing the world community. Former Secretary-General Dag Hammarskjöld explained, “While the Security council exists primarily for settling conflicts . . . the Economic and Social Council exists primarily to eliminate the causes of conflicts.” Quoted in “ECOSCO 75: Taking Action for a More Sustainable World,” United Nations, July 13, 2021, https://www.un.org/ecosoc/en/events/2021/ecosoc-75-taking-action-more-sustainable-world. ECOSOC’s responsibilities span economic and social issues. Dozens of subagencies are housed under the ECOSOC umbrella, including regional development agencies and issue-specific organizations. In particular, ECOSOC focuses on “development,” or raising the standard of living for people around the world through economic expansion and improved access to resources common throughout wealthier states, such as electricity, sanitation, education, and health care. In recent years ECOSOC has focused on how to incorporate care for the environment in the drive for economic prosperity, a concept known as sustainable development . Since 2015, the United Nations has focused on helping member states achieve Sustainable Development Goals (SDGs) , a set of 17 objectives that broadly address “ending poverty, protecting the planet and improving the lives and prospects of everyone, everywhere.” “Sustainable Development,” United Nations, accessed January 25, 2022, https://www.un.org/ecosoc/en/sustainable-development. These goals are part of the UN’s “2030 Agenda for Sustainable Development.” ECOSOC coordinates the work on these goals and collects the data required to measure progress toward their achievement. The Secretariat The UN Secretariat performs administrative work. Upon the recommendation of the Security Council, the General Assembly elects the head of the Secretariat, the Secretary-General , for a five-year renewable term. The Secretary-General engages in leadership, diplomacy, and public outreach to promote the UN; to draw international attention to urgent issues; and to raise money for UN activities. The Trusteeship Council At the time of the founding of the UN in 1946, much of the world was under European colonial control. The Trusteeship Council was formed to allow the UN to administer the former colonial territories that had belonged to the defeated powers of World War II: Germany, Italy, and Japan. All territories placed in trust to the United Nations subsequently attained independence. While it still exists per the UN Charter, the Trusteeship Council is currently inactive. What Tools Does the UN Have to Help Keep Peace? The main mission of the UN is to keep the peace by enhancing transparency, providing countries with a forum in which to peacefully resolve disputes, and engaging in projects aimed at alleviating the causes of conflict. The Security Council can send UN representatives—troops, police, observers, and civilians—to conflict zones. UN peacekeepers are deployed at the request of the warring parties and with the authorization of the Security Council. Three guiding principles undergird the UN deployment of peacekeepers: 1) consent of the parties, 2) impartiality, and 3) non-use of force except in self-defense or in defense of a Security Council mandate. United Nations, United Nations Peacekeeping Operations: Principles and Guidelines. New York: United Nations, 2008, https://peacekeeping.un.org/sites/default/files/capstone_eng_0.pdf UN Peacekeepers are often referred to as “blue helmets.” (credit: “Over 200 Nepalese peacekeepers arrive in Juba” by Isaac Billy/UN Photo, CC BY 2.0. Photo courtesy: USIP, www.usip.org) In 2020, there were approximately a dozen ongoing UN peacekeeping missions , mostly in the Middle East and Africa. The first UN peacekeeping mission was in 1948, monitoring the armistice between Israel and its Arab neighbors. In 1949, peacekeepers were sent to the border between India and Pakistan to monitor a ceasefire agreement in Kashmir. Both of those missions were small in scale—unarmed peacekeepers were sent to monitor an existing ceasefire. Both are still active. More than 3,000 UN peacekeepers from 120 countries have died in this service. “Our History,” United Nations Peacekeeping, accessed January 25, 2022, https://peacekeeping.un.org/en/our-history. UN Specialized Agencies and Related IGOs Numerous IGOs work to address specific global issues. Some, like the World Trade Organization (WTO) and the International Atomic Energy Agency (IAEA), operate independently but share information with the UN and help support the UN’s mission. Global IGOs such as the Universal Postal Union (UPU) and the World Meteorological Organization (WMO) are specialized agencies operating within the UN framework . These agencies act autonomously, with their own constitutions, leaders, headquarters, and bureaucratic organizations. highlights the mission, accomplishments, and goals of the three most significant global IGOs: the World Health Organization (WHO), the World Bank , and the World Trade Organization (WTO). Working on the collective good issues of global health, economic development, and international trade, respectively, these organizations provide guidelines for state behavior, encourage and enable countries to share information and data, and collaborate on policy making. Major Global IGOs IGO Primary Purpose Activities Notable Accomplishments Current Goals World Health Organization (WHO) To track and combat disease and improve health worldwide Public health education, immunization campaigns, data gathering, and coordination of international health initiatives such as pandemic response Elimination of smallpox, near-elimination of polio, dramatic reductions of malaria and yellow fever “Triple Billion” Goal: one billion more people benefiting from universal health coverage, one billion more people better protected from health emergencies, one billion more people enjoying better health and well-being “Triple Billion Dashboard,” World Health Organization, accessed January 25, 2022, https://www.who.int/data/triple-billion-dashboard#:~:text=The%20Triple%20Billion%20targets%20are,measurement%20and%20a%20policy%20strategy. World Bank To create sustainable economic growth in the poorest countries by investing in human capital and ending extreme poverty “Who We Are,” The World Bank, accessed January 25, 2022, https://www.worldbank.org/en/who-we-are. Funds projects designed to alleviate poverty and help people around the world have access to food, water, education, health care, sanitation, transportation, and energy Provided millions with access to health services, improved electric and water systems, improved highways, child immunizations, and teacher training “Themes/Topics,” International Development Association, The World Bank Group, accessed January 25, 2022, https://ida.worldbank.org/results. To end extreme poverty (decrease the percentage of people living on less than $1.90 a day to no more than 3% by 2030) and to promote shared prosperity (promote income growth of the bottom 40% of the population in each country) Amitava Chandra, “Ending Extreme Poverty and Promoting Shared Prosperity,” The World Bank, April 19, 2013, https://www.worldbank.org/en/news/feature/2013/04/17/ending_extreme_poverty_and_promoting_shared_prosperity. World Trade Organization (WTO) To open trade worldwide and provide a forum for trade negotiations and to settle disputes “The WTO,” World Trade Organization, accessed January 25, 2022, https://www.wto.org/english/thewto_e/thewto_e.htm. Sets rules for global trade and helps countries avoid costly and dangerous trade wars Increased world trade and decreased average tariffs; increased income of members “The WTO’s 25 Years of Achievement and Challenges,” World Trade Organization, January 1, 2020, https://www.wto.org/english/news_e/news20_e/dgra_01jan20_e.htm. To help trade flow smoothly, freely, and predictably The World Bank Open Data website provides free and open access to innovative visuals that tell the stories of global development data. You can explore a walkthrough of the 2020 Sustainable Development Goals at the World Bank Data blog , where you can see examples of these detailed and interactive data visualizations. What Constrains the Effectiveness of the UN and Global IGOs? In IGOs, sovereign states represent their own interests, bringing their own cultures and ideas to discussions of global governance, and IGOs are limited in their ability to intervene in the domestic affairs of member states. Although the purpose of IGOs is to help states work cooperatively, and though they strive to help states coordinate activities in pursuit of collective goods, in most circumstances, states place their own desires and interests above those of the broader international community. For example, ideally all states would work together to promote collective security by punishing aggressor states; in practice, states often cannot agree on what constitutes aggression or are unwilling to hold their allies accountable. Similarly, global poverty might be more easily eliminated if all countries worked together and pooled resources, but most countries are anxious to keep the gains of prosperity to themselves and dedicate only a small percentage of their wealth to help other countries. Countries that refused to lock down or promote vaccination might prolong the COVID-19 pandemic despite the actions of other states following WHO guidelines to control it. Funding is another limitation on the effectiveness of the United Nations. UN member states pay dues based on their wealth relative to other member states. The United States pays 22 percent of the operating expenses of the United Nations and almost 28 percent of its peacekeeping budget. China now pays the second highest amount toward the peacekeeping budget, at 15 percent. “Scale of Assessments, 1946–2021,” United Nations, https://www.un.org/en/ga/contributions/Scale%20of%20assessments_1946-2021.pdf; “How We Are Funded,” United Nations Peacekeeping, accessed January 25, 2022, https://peacekeeping.un.org/en/how-we-are-funded. Let’s Talk WTO The World Trade Organization establishes rules governing international trade and provides a venue for trade negotiations between countries. Another limit on the UN is its inability to enforce its decisions or rules. In many ways, it is an aspirational body. The General Assembly passes resolutions, but often without any real expectation that they will be implemented and without the ability to impose consequences if they are not. Sometimes the Security Council or others working on treaties or building international law use those resolutions to help justify sanctions or other punitive measures against states. According to the United Nations, GA resolutions “have been a constant driver for the development of space law and international cooperation of Member States in their space activities . . . Many provisions of the General Assembly resolutions related to outer space have become widely accepted by the international space community.” “Space Law: Resolutions,” United Nations Office for Outer Space Affairs, accessed January 25, 2022, https://www.unoosa.org/oosa/en/ourwork/spacelaw/resolutions.html. The United Nations, a global IGO, coordinates the activities of states in areas of international security and economic development. IGOs like the UN help foster some degree of order and security, helping states work together toward common goals in the international system. collective security a broad alliance of states for the purpose of jointly opposing outside aggression Economic and Social Council (ECOSOC) the organ of the United Nations responsible for forming and coordinating state policies on economic and social issues General Assembly the main deliberative body of the United Nations; each member country has one vote intergovernmental organizations (IGOs) organizations whose members are state governments League of Nations a global intergovernmental organization established after World War I; predecessor to the United Nations Permanent 5 (P5) the five states that have permanent membership on the United Nations Security Council: the United States, United Kingdom, Russia, China, and France Secretariat the administrative and bureaucratic organ of the United Nations, headed by the Secretary-General Secretary-General chief administrative officer of the United Nations and head of the Secretariat Security Council the organ of the United Nations responsible for peace and security, with 5 permanent members and 10 rotating members sustainable development development that meets the needs of the present without compromising the ability of future generations to meet their own needs United Nations (UN) a global intergovernmental organization established after World War II and comprised of nearly every state in the world UN peacekeepers international troops operating under the auspices of the United Nations that can be deployed into conflict zones to help create conditions that favor lasting peace", "section": "The United Nations and Global Intergovernmental Organizations (IGOs)", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "How Do Regional IGOs Contribute to Global Governance? Learning Outcomes By the end of this section, you will be able to: Explain the purpose of regional IGOs and give examples. Differentiate between the missions of NATO and the EU. Explain how the missions of NATO and the EU have evolved over time. Describe causes of tension within regional IGOs. Discuss the ways regional IGOs contribute to global governance. Much of the work of global governance is done at the regional level. IGOs such as the Arab League , the Organization of American States (OAS), and the African Union (AU) have extended the UN model to regional affairs, and IGOs like the Southern African Development Community (SADC), the Mercado Común del Sur (MERCOSUR) , the Asia-Pacific Economic Cooperation (APEC), and the Economic Community of West African States (ECOWAS) have extended it to subregional affairs. Regional IGOs work to improve the quality of life for people in a given region by encouraging economic development, facilitating trade, and/or enhancing security. They seek to lessen conflict by enabling cooperation and dialogue between neighboring states and by promoting common interests. Regional IGOs may become involved in any issue of common interest to states in the region, such as protection, trade, climate change, migration, or human trafficking. Military alliances focus on the coordination of military policy, while economic IGOs focus more on promoting trade and economic progress. IGOs composed of mostly democratic states can promote and reinforce democratic norms, punishing member states that stray from democratic practices. The African Union took just such steps when it responded to the 2013 military coup in Egypt by suspending Egypt’s membership in the IGO. Aaron Maasho, “African Union Suspends Egypt,” Reuters , July 5, 2013, https://www.reuters.com/article/us-egypt-protests-africa/african-union-suspends-egypt-idUSBRE9640EP20130705. Over time, regional IGOs may broaden their scope, increasing the levels of cooperation between member states. The idea that cooperation on small, discrete policy areas such as coordinating postal services or air traffic control can create mutual trust and evolve into cooperation on larger, more complex issues is called functionalism . This is illustrated in the case of the European Union, where the original economic union evolved to include a multitude of domestic and foreign policy issues such as the environment, health, labor, security, and immigration. Ultimately, what began as a union of states concerned with individual and regional economic growth developed into an organization espousing common values and objectives that extended to a wide variety of issues traditionally within the sole purview of individual sovereign states. NATO The largest and oldest regional IGO is the North Atlantic Treaty Organization (NATO) . Headquartered in Brussels, Belgium, NATO is the most powerful military alliance in the world, with 30 member states and combined forces of over two million troops. In 2019, NATO states accounted for 54 percent of global military spending. “Global Military Expenditure Sees Largest Annual Increase in a Decade—Says SIPRI—Reaching $1917 Billion in 2019,” Stockholm International Peace Research Institute, April 27, 2020, https://www.sipri.org/media/press-release/2020/global-military-expenditure-sees-largest-annual-increase-decade-says-sipri-reaching-1917-billion#:~:text=(Stockholm%2C%2027%20April%202020),growth%20in%20spending%20since%202010. In an anarchic system, security IGOs increase predictability by making public member states’ military commitments. Alliances are designed to serve as deterrents against attacks on any member states, as potential attackers know they would face the combined strength of the alliance in response. Alliances also coordinate policy responses to international events and to the foreign policy decisions of non-allied states, thus making accidental or impulsive military action less likely. NATO’s Purpose and Current Mission The United States, Canada, the United Kingdom, France, Belgium, Denmark, Iceland, Italy, Luxembourg, the Netherlands, Norway, and Portugal formed NATO in 1949 to safeguard US allies in Europe by deterring a Soviet attack. In 1952, Greece and Turkey joined NATO, and Germany joined three years later. Article 5 of the NATO Treaty promised collective defense, assuring members that “an attack on one or more of them . . . shall be considered an attack against them all.” “The North Atlantic Treaty,” North Atlantic Treaty Organization, last updated April 10, 2019, https://www.nato.int/cps/en/natolive/official_texts_17120.htm. The individual security concerns of each NATO country were subsumed by what they considered the shared existential threat of communist expansion or Soviet nuclear attack. US Secretary of State Dean Acheson signs the Washington Treaty creating NATO in 1949. (credit: “Secretary of State Dean Acheson signs the Washington Treaty, April 4, 1949. President Harry Truman and Vice President Alben Barkley are standing next to him,” by Records of the Office of the Chief Signal Officer/The US National Archives and Records Administration, CC0 1.0) The Soviet Union dissolved in 1991, creating 15 new states, the largest of which is Russia. Instead of dissolving in response, NATO expanded, ultimately including both many Eastern European states that had previously been allied with the Soviet Union and some former Soviet states. Part of NATO’s original purpose was to forbid “the revival of nationalist militarism in Europe through a strong North American presence on the continent” and to encourage “European political integration.” “A Short History of NATO,” North Atlantic Treaty Organization, accessed January 25, 2022, https://www.nato.int/cps/en/natohq/declassified_139339.htm. Thus, after 1991 NATO offered membership to any state that could meet the political and financial obligations of membership. After the end of the Cold War , NATO’s mission shifted from fighting communism to preserving the general security of member states and the international community. With the addition of North Macedonia in 2020, NATO had 30 member states. As of this writing, three additional countries are seeking membership, and another 30, including most of the states of the former Soviet Union, have joined NATO’s “Partnership for Peace” program. Since its formation in 1949, NATO has expanded to include 30 member states. (attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) NATO invoked the collective defense agreement of Article 5 for the first time following the September 11, 2001, terrorist attacks on the United States. In response to those attacks, the United States attacked the Taliban government in Afghanistan. The United Nations authorized a NATO-led peace-building force to establish a new government and stabilize the country. NATO can deploy a unified command military force to engage in armed conflict. Since the end of the Cold War, NATO has intervened in international crises, monitored security threats, trained security forces, and undertaken peace-building in Kosovo (since 1999) and Afghanistan (2003–2021). Seth Johnston, “NATO’s Lessons from Afghanistan,” Parameters 49, no. 3 (Autumn 2019): 11–26, https://www.belfercenter.org/publication/natos-lessons-afghanistan. What Kinds of Conflicts Exist within NATO? As with all IGOs, NATO’s primary challenge is managing the varied interests of its members and creating common policy acceptable to all. However, in security organizations like NATO, the influence of the most powerful state is more pronounced. Throughout the Cold War, NATO depended on the promise of US military force. The United States dictates NATO policy more than, say, Germany dictates what happens in the EU and more than the UK influences what happens at the United Nations. In the post-Soviet world, and with the addition of members outside Western Europe, US power in NATO has weakened as the organization has had to balance the needs and concerns of other member states. NATO allies do not always agree. Although NATO has insisted that it is not an “enemy” of Russia, Russia’s aggressive actions in Crimea and toward Ukraine have caused concern among many NATO member states, especially those with borders near Russia. In 2016, NATO called Russia a “challenge [to] the Alliance” and “a source of regional instability.” “The Warsaw Declaration on Transatlantic Security,” North Atlantic Treaty Organization, last updated July 9, 2016, https://www.nato.int/cps/en/natohq/official_texts_133168.htm. However, some members of NATO, including some larger Western European states, are reluctant to take any action that might be seen as aggressive toward Russia. Jonathan Masters, “The North Atlantic Treaty Organization (NATO),” Council on Foreign Relations, last updated May 6, 2021, https://www.cfr.org/backgrounder/north-atlantic-treaty-organization-nato. Varying conceptions of security threats are natural given the differing size and geographic location of member states. These variations complicate the creation of unified policy priorities and responses. NATO Sends Ships, Planes to Eastern Europe as Ukraine Conflict Heats Up The Russian invasion of Ukraine threatened Europe and the prevailing world order. Because of those threats, and because of the potential direct threat to NATO countries like Poland that border Ukraine, NATO strengthened defenses in the area—even though Ukraine was not a member of NATO at the time. Another source of conflict is burden sharing , that is, how much each country should contribute to the funding and operations of the alliance. The two wealthiest NATO countries, the United States and Germany, each pay 16 percent of the operating costs, and each country is called to allocate 2 percent of its GDP to defense expenditures. Due to the size of the United States’ GDP and its allocation of 3.4 percent of its GDP to defense, in 2020 the United States’ spending on defense made up 69 percent of the overall NATO defense spending. John Haltiwanger, “Trump Keeps Criticizing NATO Allies over Spending. Here’s How NATO’s Budget Actually Works,” Business Insider , last updated December 2, 2019, https://www.businessinsider.com/how-nato-budget-is-funded-2018-7. Regional Security IGOs Since the Forming of NATO Many regional multipurpose IGOs, such as the Association of Southeast Asian Nations (ASEAN) and the African Union , have a security function within a broader framework of regional cooperation and promotion of the common good. Rodrigo Tavares, Regional Security: The Capacity of International Organizations, New York: Routledge, 2010. The United Nations has called upon regional organizations to support peacekeeping work both on their own and in cooperation with the UN. At an August 2015 summit, then-UN Secretary-General Ban Ki-moon said, “The United Nations increasingly shares responsibility for peace and security with regional organizations. We should do everything possible to help them resolve regional problems and to include the states concerned in solutions. At the same time, regional organizations should continue contributing to United Nations peace and security efforts.” “United Nations Shares Responsibility for Peace with Regional Organizations, Says Secretary-General, Opening All-Day Security Council Debate,” UN Security Council, August 18, 2015, accessed January 25, 2022, https://www.un.org/press/en/2015/sc12011.doc.htm. The Organization for Security and Cooperation in Europe (OSCE) calls itself “the world’s largest security organization.” “Factsheet: What Is the OSCE?” Organization for Security and Co-operation in Europe, December 5, 2019, https://www.osce.org/whatistheosce/factsheet#:~:text=With%2057%20participating%20States%20in,that%20makes%20a%20lasting%20difference. It works on a broad range of security initiatives, including arms control, terrorism prevention, preventative diplomacy, and peace building. It has offices in member countries that monitor current and potential zones of conflict. The African Union Mission in Somalia (AMISOM) has supported the Somali National Army in its efforts to counter militant groups in the ongoing Somali Civil War. (credit: “On night operations with the African Union Mission in Somalia 11” by AMISOM Public Information/Flickr, Public Domain) Africa has been the most conflict-prone continent in the 21st century. The African Union , the largest and best-resourced regional organization on the continent, has a spotty regional security and peacekeeping record. In 2002, the AU ratified the African Peace and Security Architecture plan, which enlisted regional economic organizations and other partners to address security challenges on the continent. “The African Peace and Security Architecture (APSA),” African Union, last updated October 2, 2012, https://www.peaceau.org/en/topic/the-african-peace-and-security-architecture-apsa. Subregional economic organizations such as the Economic Community of West African States and the Southern African Development Community have played an increasingly prominent role in handling security issues, particularly in Sierra Leone, Guinea, Liberia, Lesotho, and the Democratic Republic of the Congo (DRC). The European Union Headquartered in Brussels, Belgium, the European Union (EU) is the largest and most influential regional economic IGO. Since the withdrawal of the United Kingdom (a move referred to as “ Brexit ”) in January of 2020, the EU includes 27 countries across the European continent. The EU began as a small-scale economic organization, but its mission has expanded to promote peace and solidarity among European countries. Although it recognizes the sovereignty of its member states, including their right to withdraw from the organization, the EU has moved far closer to the union of countries than has any other IGO. Most EU countries have adopted the common currency, the euro, and most allow citizens to travel and work across borders within the 26 countries, made up of most EU countries and a few non-EU countries, known as the Schengen Area . Countries that apply for admission to the EU must meet certain entrance criteria, including an established free-market economy and a democratic government. Candidate countries must adopt national legislation that aligns with admission criteria; hence applications may take years to finalize. The Purpose of the EU In 1951, Belgium, Germany, France, Italy, Luxembourg, and the Netherlands formed the European Union to support their economic recovery from the devastation of World War II. Over the next four decades, the countries’ economies became increasingly integrated. The Maastricht Treaty of 1993, which introduced the common currency and a commitment to common security and foreign policies, established the current structure of the EU. EU member states commit to a common set of values, stated in Article 2 of the EU treaty and reinforced in the Charter of Fundamental Rights of the European Union, that they consider central to European life: “a society in which inclusion, tolerance, justice, solidarity and non-discrimination prevail.” “Aims and Values,” European Union, accessed January 25, 2022, https://europa.eu/european-union/about-eu/eu-in-brief_en. In addition to affirming human rights guarantees such as freedom of expression and freedom from torture, the Charter outlaws the death penalty, specifies the equality of the sexes, and protects cultural heritage. “EUR-Lex: Access to European Law,” European Union, https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:12012P/TXT. The Organizational Structure of the EU Five main bureaucratic and political organs oversee and help guide EU activities and policies. Leaders of European states sit on the European Council , which meets several times a year and, working with the European Parliament , sets the broad priorities of the EU. European citizens directly elect the 705 members of the European Parliament to five-year terms. These members represent seven political groups from left to right on the political spectrum. The European Parliament plays both policy-making and budget-oversight roles. A part of the EU executive branch, the European Commission , promotes EU interests. The European Parliament elects a president to head the 27-member College of Commissioners for a five-year term. The Commission implements EU legislation, represents the EU internationally, and allocates funding for EU projects. Member states nominate commissioners, who are then approved by the European Parliament and serve as the bureaucratic heads of various policy agencies within the EU. The Council of the European Union works more like the United Nations, where each member state represents its own interests to the whole. The Council of the EU is a policy-making body that, along with the European Parliament, discusses and passes laws for the EU. Its members are empowered to commit their home states to any decisions the Council makes. Located in Luxembourg, the Court of Justice of the EU settles disputes arising under the laws of the European Union. The Court can interpret, find countries in violation of, and sanction those who disobey that law. EU Priorities No issue is beyond the scope of the European Union. In many ways it functions as a state in the international system, for its members coordinate policies and share common positions on international issues. The EU develops economic, defense/security, foreign, immigration, and labor policies that apply to each member state. Independence of action in any of these areas would be a concern to the organization. Thus, while member states retain their sovereignty in some senses, the EU has the ability to interfere in domestic issues and to punish noncompliance. Annually, the European Parliament publishes a list of issues that will be on the EU agenda for the coming year. In 2021, the issues included pandemic-related topics such as access to the COVID-19 vaccine and helping economies recover, social and humanitarian issues such as access to food, issues of discrimination, cultural issues including the state of the performing arts, and “some of the big background changes shaping the world we live in today—the digital, environmental and geo-political challenges ahead, from Europe’s borders to its transatlantic relationship.” Étienne Bassot, Ten Issues to Watch in 2021 (Brussels: European Parliamentary Research Service, 2021), https://www.europarl.europa.eu/RegData/etudes/IDAN/2021/659436/EPRS_IDA(2021)659436_EN.pdf. Because the primary mission of the EU is to ensure the peace and prosperity of Europe, anything that threatens that mission is an issue of importance for the organization. What Kinds of Conflicts Exist within the EU? When 27 countries, each with its own goals and ambitions, attempt to coordinate a unified response to common issues, tensions and conflicts are inevitable. Addressing the needs and desires of every EU member state and trying to reach agreement on a common policy is difficult, especially when the organization’s mission incorporates so many different policy areas. The economies, politics, and cultures of the EU states differ, and these variations complicate efforts to create a “European identity” beyond the identity of the member states. “Subject Dossier: Tensions within the European Union,” Institute for the World Economy, accessed January 25, 2022, https://www.ifw-kiel.de/topics/tension-within-the-european-union/. The EU’s unification of so many traditional state functions, including economic and foreign policies, under a supranational umbrella has led to some backlash. Economic pressures on national governments can lessen the perceived benefit of being a part of the EU. Domestic constituents of wealthier states, who believe they are losing their sovereign identity and subsidizing poorer and weaker states, may become convinced that EU membership is no longer in their country’s best interest. Although only the United Kingdom has entirely withdrawn from EU membership, political groups in many member states include anti–European Union (“ Euroskeptic ”) sentiment in their platforms. The loss of the United Kingdom, a founding member and one of the wealthiest and most powerful states in the EU, represents a significant setback, and managing relations between the UK and the EU in the aftermath of Brexit is an ongoing challenge. UK-EU Post-Brexit Relationship: Rivals or Good Neighbours? The UK exit from the EU has necessitated a reimagining of the relationship between the UK and other European countries. Over time the EU has expanded to include states that have not traditionally displayed the strongest records on democracy or human rights. Democratic backsliding in member states Poland and Hungary and the rising strength of populist and nativist movements in other EU countries threaten democratic norms and institutions. The growth and aggressiveness of Russia and, to a lesser extent, China also pose foreign policy challenges to the EU. Prior to Brexit, some international relations literature discussed the EU as a unified great power capable of acting as a counterweight to Russia or China in international relations. Determining the appropriate role for the EU and how it should address different international relations challenges remains a vital task for the organization. Kristin Archick, “The European Union: Ongoing Challenges and Future Prospects,” EveryCRSReport.com, October 27, 2015–December 3, 2018, https://www.everycrsreport.com/reports/R44249.html. As former High Representative of the Union for Foreign Affairs and Security Policy Javier Solana notes: “In order to be an international actor, the EU must act in unison and speak with one voice. If each member state acts individually, Europe will find itself relegated to the role of mere spectator in the arena of major world events, with neither the capacity nor the power to influence their outcome.” Javier Solana, “European Foreign Policy and Its Challenges in the Current Context,” in The Search for Europe: Contrasting Approaches (Madrid: BBVA, 2015), https://www.bbvaopenmind.com/en/articles/european-foreign-policy-and-its-challenges-in-the-current-context/. Regional Economic Organizations Encouraged by the success of the European Union, almost every region in the world has formed an economic IGO and a regional economic development bank. These regional economic organizations (REOs) aim to improve cooperation and facilitate economic development by increasing transparency, funding projects, encouraging free trade, and reducing economic conflict. A handful of regional IGOs, such as the African Union and the Arab League , are more general in nature, but almost all have a substantial focus on economic development. Because the success of an REO depends upon the peace and stability of a region, REOs are often pulled into efforts to enhance regional security. The United States–Mexico–Canada Agreement (USMCA), the successor to the North American Free Trade Agreement (NAFTA) , is the world’s largest free trade area. Brazil, Argentina, Paraguay, and Uruguay established MERCOSUR , the Southern Common Market (Mercado Común del Sur), in 1991 to “accelerate sustained economic development based on social justice, environmental protection, and poverty reduction.” “The 10 Major Regional Trading Blocs in the World Economy,” Institute for Cultural Relations Policy, September 13, 2020, http://culturalrelations.org/the-10-major-regional-trading-blocs-in-the-world-economy/. In subsequent years, other countries in the region, including Venezuela and Bolivia, joined MERCOSUR as full or associate members. In 2017, MERCOSUR suspended Venezuela for failing to comply with democratic principles. Sarah DiLorenzo, “Mercosur Trade Bloc Suspends Venezuela on Democracy Concerns,” AP News , August 5, 2017, https://apnews.com/article/c0d58f7a1c224b4286fea93cc6db1391. In 2011, Chile, Colombia, Mexico, and Peru founded a new Latin American trading bloc, the Pacific Alliance. The Pacific Alliance has decreased tariffs in the participating countries and increased trade with the European Union and countries in Asia. Irene Mia, “The Pacific Alliance at 10: What’s Next?” International Institute for Strategic Studies, September 30, 2021, https://www.iiss.org/blogs/analysis/2021/09/the-pacific-alliance-at-10. In the Asia-Pacific region, the largest REO is ASEAN, the Association of Southeast Asian Nations . Since Indonesia, Malaysia, the Philippines, Singapore, and Thailand founded ASEAN in 1967, it has expanded to include Brunei, Vietnam, Laos, Myanmar, and Cambodia. ASEAN has both security and economic priorities. It has become one of the largest free-trade areas in the world. Other Types of Regional IGOs Some regional IGOs, like the Organization of Islamic Cooperation and the Arab League, are organized around a common identity. Others, like the Organization of Petroleum Exporting Countries (OPEC) , are organized around shared economic interests. The 13 member countries of OPEC own approximately 75 to 80 percent of the world’s known oil reserves. OPEC is open to any oil-producing state, and only the most powerful oil-producing states, such as Russia, China, and the United States, have opted not to join the organization. OPEC seeks to “coordinate and unify the petroleum policies of its member countries and ensure the stabilization of oil markets in order to secure an efficient, economic, and regular supply of petroleum to consumers, a steady income to producers and a fair return on capital for those investing in the petroleum industry.” Organization of the Petroleum Exporting Countries, https://www.opec.org/opec_web/en/. The organization helps its members coordinate oil supply and pricing, which can (but does not always) provide relative stability and predictability in the petroleum market and avoid contentious trade wars. OPEC Prepares for an Age of Dwindling Demand The actions and oil production levels of OPEC countries affect oil prices around the world. Decreasing oil consumption, technological advancements, and efforts to lessen dependence on OPEC oil have provided incentives for some countries to leave OPEC, as Ecuador did effective January 1, 2020. How Do Regional IGOs Contribute to Global Governance? From a realist perspective, which focuses on the primacy of states, IGOs are most important as tools states can use to their own advantage. No IGO can act independently of its member states, and the largest states typically have disproportionate influence over an organization’s actions. While realists might point to persistent war and poverty as evidence of the ineffectiveness of IGOs, liberal internationalists and constructivists tend to highlight how IGOs constrain state action, increase areas of cooperation, draw states together in unprecedented ways, and help alleviate the scourges of war and poverty, even if they have not yet eliminated them. For instance, both the number of people dying in war and the number of states engaged in war have dropped significantly since World War II. “Battle-Related Deaths in State-Based Conflicts, 1946 to 2016” Our World in Data, https://ourworldindata.org/grapher/battle-related-deaths-in-state-based-conflicts-since-1946. Also, since they are most directly impacted by the events in their own region, regional IGOs are better able than outside observers to monitor the actions of member states. For instance, the United Nations Educational, Scientific, and Cultural Organization (UNESCO) recently held a meeting for regional IGOs to discuss the impact of COVID-19 on various cultural activities around the world and to elicit promises from the participants to monitor and support the cultural and creative sectors in their regions as countries recover from the economic impacts of the pandemic. “Regional Intergovernmental Organizations Pledge to Support Cultural Sector,” UNESCO, April 21, 2020, https://en.unesco.org/news/regional-intergovernmental-organizations-pledge-support-cultural-sector. IGOs that begin with a narrow scope are prone to expansion, particularly when member states see the benefits of working together. Organizations like the United Nations use language—like urging “global citizenship,” promoting “the good of all nations,” and being a member of an “international community”—to encourage states to rise above sovereign individualism and see themselves as contributing to and benefiting from membership in a valuable, cohesive group. The use of language reinforcing desired norms can change state behavior, reducing uncertainty and enhancing cooperation. Regional IGOs, such as the European Union, NATO, and the African Union, work on issues of concern to member states, helping maintain peace and promote prosperity in a given region. Because individual states are members of global and regional IGOs, these organizations are often held captive to the desires of the more powerful states. burden sharing the distribution among group members of the costs a group incurs European Union (EU) a treaty-backed organization of European states that promotes policy coordination, trade, and peaceful relations functionalism a theory of political integration based on the assumption that interstate cooperation on technical issues builds a foundation for cooperation and unification on larger, more complex issues North Atlantic Treaty Organization (NATO) a US-led military alliance with Western European states, originally formed in 1949 to deter Soviet military aggression regional economic organization (REO) an intergovernmental organization with a mission to improve economic coordination, trade, and development in a region", "section": "How Do Regional IGOs Contribute to Global Governance?", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Non-state Actors: Nongovernmental Organizations (NGOs) Learning Outcomes By the end of this section, you will be able to: Explain different types and purposes of NGOs. Identify influential NGOs and their areas of emphasis. Discuss the role of NGOs in global governance. Evaluate the contributions of NGOs. While most people are familiar with the work of the largest IGOs like the UN, NATO, or the EU, they may be less familiar with how nongovernmental organizations (NGOs) contribute to global governance. NGOs operate independently of a government or state and are open to the citizens of various countries rather than to the countries themselves. NGOs engage in transnational relations, cross-border interactions that may happen with minimal or no government involvement. In some cases, NGOs collaborate with governments, but often the goals of NGOs and particular governments do not align, and their relationships become conflicted. The Union of International Associations lists over 8,500 NGOs worldwide; depending on how they are counted, that number may be in the tens of thousands. “The Yearbook of International Organizations,” Union of International Associations, accessed January 25, 2022, https://uia.org/yearbook; “Human Rights Activism and the Role of NGOs,” Council of Europe, accessed January 25, 2022, https://www.coe.int/en/web/compass/human-rights-activism-and-the-role-of-ngos#Types_of_human. NGOs mobilize individuals around a common concern, and they help facilitate the work of the United Nations and other IGOs. In terms of global governance, NGOs are a part of the global civil society , that is, the arena in which groups come together to engage in collective action in the service of shared interests, values, and goals outside government or profit-based motivations. What Do NGOs Do? In most cases, NGOs are designed to address a transnational concern—like the environment, humanitarian issues, health care, economic development, or conflict cessation—that is important to all and necessitates cooperation across borders. Within these broad areas, the majority of NGOs focus on specific issues, such as saving endangered species, conducting anti-malaria programs in tropical zones, or providing small loans to local farmers in South Asia. Often NGOs are the result of a moral crusade of one or a small group of concerned citizens. For example, Henry Dunant founded the Red Cross in the mid-1800s to aid soldiers injured in war. Some other well-known NGOs include Doctors without Borders, Greenpeace, and the World Wildlife Fund. Some NGOs have thousands of members, while others have only a few hundred, and their budgets and scope of impact are similarly varied. The Bangladesh Rural Advancement Committee (BRAC) , with close to 100,000 people on staff, is the largest NGO in the world. Although NGOs exist in wealthy countries, most of the work of NGOs happens in the poorest and most conflict-torn areas of the world. In developing countries, NGOs often help fulfill needs that the government cannot, like providing access to adequate health care, nutrition, education, sanitation, or potable water. They also play an active role in the aftermath of natural disasters like hurricanes or floods and provide relief in emergency situations such as refugee or famine crises. What Is an NGO? Chris Nkuwatsibwe of the Uganda NGO Forum provides a basic explanation of NGOs. The work of NGOs is expensive. In 2015, the 50 largest humanitarian NGOs alone spent $18 billion annually. Tom Esslemont, “Exclusive: Which Aid Relief Charities Spend the Most on Fundraising?” Reuters , July 14, 2015, https://www.reuters.com/article/us-aid-business/exclusive-which-aid-relief-charities-spend-the-most-on-fundraising-idUSKCN0PP00F20150715. NGOs receive funding from a variety of sources, including member dues, grants from governments, development banks, and philanthropic foundations. Governments or IGOs may contract NGOs to do specific tasks in a broader development plan, and development, humanitarian, or disaster aid is funneled often through NGOs that have an established presence in the region. The World Bank estimates that over 15 percent of total overseas development aid is channeled through NGOs. The UN High Commissioner for Refugees allocates approximately 40 percent of its budget to over 800 partner NGOs. “Figures at a Glance,” UNHCR, https://www.unhcr.org/en-us/figures-at-a-glance.html. Like government aid agencies in other states, the United States Agency for International Development (USAID) partners with NGOs to deliver aid and to implement programming. “Non-governmental Organizations (NGOs),” USAID, last updated December 9, 2019, https://www.usaid.gov/partnership-opportunities/ngo. People sympathetic to an organization’s mission provide the largest share of most organizations’ budgets. What Are Some Weaknesses of NGOs? NGOs can only work where governments accept their presence. Governments in strict authoritarian states like North Korea allow virtually no NGO activity, whereas governments in many other countries place almost no restrictions on NGOs. In recent years, however, more governments have placed restrictions on NGO activities in their states. “Global Assault on NGOs Reaches Crisis Point as New Laws Curb Vital Human Rights Work,” Amnesty International, February 21, 2019, https://www.amnesty.org/en/latest/news/2019/02/global-assault-on-ngos-reaches-crisis-point/. In particular, human rights groups and religiously affiliated organizations meet with resistance in some countries that view them as undermining the government or “national unity.” Sampling of Major Nongovernmental Organizations NGO Scope of Operation Year Founded Issue Area Website Greenpeace 3 million members, offices in 40 countries 1971 Largest environmental organization in the world https://www.greenpeace.org/international Doctors without Borders (Médecins Sans Frontières—MSF) Employs 30,000 and works in more than 70 countries 1971 Medical humanitarian assistance to victims of conflict, natural disasters, epidemics, or health care exclusion https://www.doctorswithoutborders.org / Mercy Corps Works in over 40 countries, reaching 50 million people 1979 Global aid agency, helping people survive crises, escape poverty, and transform communities https://www.mercycorps.org Open Society Foundation Works in 120 countries, spends over $1 billion each year 1993 Promotion of democracy around the world https://www.opensocietyfoundations.org Some criticize NGOs for being too narrowly focused on a specific issue rather than working on larger systemic problems. Some contend that NGOs should better coordinate with other actors rather than working in isolation and that reliance on Western donors leads NGOs to focus on projects that are more easily “sold” instead of those that are arguably more critical. NGOs may not be interested in or able to solve the root cause of a particular problem, and hence the solutions they provide may be temporary. Observers scrutinize NGOS, like many nonprofit organizations, for how much of their budgets go toward fundraising, advertising, and overhead rather than to directly helping their stated cause. What Role Do NGOs Play in Providing Collective Goods? NGOs have been a presence at the UN since its earliest days, when they successfully lobbied the UN to include the promotion of human rights as part of its mission in the UN Charter. Peter Willetts, “The Role of NGOs in Global Governance,” World Politics Review , September 27, 2011, https://www.worldpoliticsreview.com/insights/10147/the-growing-role-of-global-ngos-in-global-governance. Approximately 6,000 NGOs currently have “consultative status” with ECOSOC, which allows them to have input into policy discussions and to access UN documents. International treaties provide collective goods, and NGOs have had significant input into the formation of most contemporary treaties, including the Paris Agreement (climate change) and the UN Convention on the Rights of the Child . NGOs often form groups that work together to advance common goals—for instance, religious NGOs created the Committee of Religious NGOs at the UN (RUN) , which has its own meetings and coordinates policies and responses to issues of common concern. “About,” Committee of Religious NGOs at the United Nations, accessed February 3, 2022, https://rngos.wordpress.com/. During the years of negotiations over the Rome Treaty, interested NGOs formed a group called the Coalition for the International Criminal Court to help draft and convince states to ratify the treaty. Two other NGO coalitions, the International Campaign to Ban Landmines and the Cluster Munition Coalition , were central in drafting and convincing states to join the Mine Ban Treaty (1997) and the Convention on Cluster Munitions (2010), respectively. NGOs have had the most success lobbying for the adoption of international human rights treaties. Jeffery Huffines, “The Role of N.G.O.S in U.S. Ratification of Human Rights Treaties,” ILSA Journal of International & Comparative Law 3, no. 641 (1997): 641-652, https://core.ac.uk/download/pdf/51089202.pdf. In the 1960s, Peter Benenson formed the influential human rights NGO Amnesty International to pressure governments to release political prisoners. In 2007, Amnesty International protested the sixth anniversary of the arrival of detainees at the controversial US military prison at the Guantanamo Bay Naval Base in Cuba. (credit: “Black Hood, Orange Jumpsuit, Bored Cop, ‘Authority of Law’ Statue by James Earle Fraser Outside The Third Guantanamo Hearing at The Supreme Court (Washington, DC)” by Takomabibelot/Flickr, Public Domain) Amnesty International has played an essential role in ensuring the adoption of at least three core international human rights treaties: the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (the “Torture Convention”) (1984), the Rome Treaty (2002), and the Arms Trade Treaty (2014). In 1997, Amnesty International won the Nobel Peace Prize for its work. How Do NGOs Contribute to Global Governance? In addition to drafting and convincing states to sign international treaties, NGOs help IGOs and state-based development agencies. They engage in information sharing and advocacy efforts, assist in emergencies, and play a key role in reinforcing the legitimacy of global governance. “NGOs and the United Nations: Comments for the Report of the Secretary General,” Global Policy Forum, June 1999, https://archive.globalpolicy.org/component/content/article/176-general/31440-ngos-and-the-united-nations.html#:~:text=NGOs%20seek%20the%20greatest%20possible,documents%20in%20Resolution%201996%2F31. NGOs also help monitor compliance with international treaties, often, as in the Convention on the Rights of the Child, under authority granted by the treaties themselves. Kal Raustiala, “The Role of NGOs in International Treaty-Making,” in The Oxford Guide to Treaties (Oxford, UK: Oxford University Press, 2012), https://ssrn.com/abstract=1928937; Rachel Brett, “The Roles and Limits of Human Rights NGOs at the UN,” Political Studies XLIII (1995): 96–110, https://onlinelibrary.wiley.com/doi/pdf/10.1111/j.1467-9248.1995.tb01738.x. As NGO expert Peter Willets noted, “were it not for NGOs, there would be no international law of human rights and no U.N. machinery to protect them.” Peter Willetts, “The Role of NGOs in Global Governance,” World Politics Review, September 27, 2011, https://www.worldpoliticsreview.com/insights/10147/the-growing-role-of-global-ngos-in-global-governance. Due to the nature of their work on the front lines in countries around the world, NGOs often have more information about what is happening in another country than a government or IGO has. This allows NGOs to serve as informal monitors of state behavior. By providing evidence and testimonies, NGOs can draw international attention to situations such as human rights abuses or worsening humanitarian or environmental conditions. Such pressure may cause governments to change their policies or provide critical aid to regions that may have been under-resourced. Sarah Stroup, NGOs’ Interactions with States (New York: Routledge, 2019), https://www.routledgehandbooks.com/doi/10.4324/9781315268927-3. Unlike IGOs, nongovernmental organizations (NGOs) are able to exercise influence in given issue areas, improving lives of people around the world and not just within a given region or group of states. Because NGOs are not affiliated with particular states, they rely heavily on charitable funding and can only work directly in states that allow their presence. civil society organizations working for the common good outside the control of government or business interests nongovernmental organization (NGO) a transnational group or entity whose members are private citizens working together on a common interest transnational interactions across state boundaries", "section": "Non-state Actors: Nongovernmental Organizations (NGOs)", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Non-state Actors beyond NGOs Learning Outcomes By the end of this section, you will be able to: Discuss different types of non-state actors beyond NGOs and their purposes. Discuss the role of non-state actors in international relations. Explain the factors contributing to the rise of non-state actors. Describe the sources of power for non-state actors. Analyze the ways nontraditional non-state actors present challenges for international relations and state sovereignty. Non-state actors beyond NGOs, like multinational corporations, national identity groups, religious groups, and transnational organized criminal groups, present challenges and opportunities for global governance. Multinational Corporations Multinational corporations (MNCs), also known as multinational enterprises (MNEs), are companies with headquarters in one country that have operations in at least one additional country. These transnational actors influence state policy and international politics, especially in the areas of trade, workers’ rights, and the environment. Because countries rely on the money and jobs multinational corporations generate, and because MNCs possess vast resources, they exert tremendous influence on international affairs. Examples of MNCs According to the United Nations Conference on Trade and Development (UNCTAD) , in 2006 almost 80,000 MNCs were active around the world. That number fell to 60,000 in 2018, even as the combined worth of active MNCs rose. Billy Cheung, “What Countries Are Most Multinational Corporations Based In?” Investopedia, last updated August 13, 2020, https://www.investopedia.com/ask/answers/021715/why-are-most-multinational-corporations-either-us-europe-or-japan.asp. MNCs account for half of global exports, nearly a third of the world’s wealth, and about a fourth of all global employment. In Song Kim and Helen V. Milner, “Multinational Corporations and Their Influence through Lobbying on Foreign Policy,” in Global Goliaths: Multinational Corporations in the 21st Century , eds. C. Fritz Foley, James R. Hines, Jr., and David Wessel (Washington, DC: Brookings Institution, 2021), 497–536. Given the immense wealth and power of the largest MNCs, University of North Carolina instructor and former senior reporter for Foreign Policy David Francis has referred to them as “corporate nations.” Parag Khanna, “These 25 Companies Are More Powerful Than Many Countries,” Foreign Policy , March/April 2016, https://foreignpolicy.com/2016/03/15/these-25-companies-are-more-powerful-than-many-countries-multinational-corporate-wealth-power/. Apple, for example, is wealthier than 90 percent of the world’s countries. Paul Dughi, “Apple, Amazon Wealthier Than More Than 90% of the World’s Countries,” Stronger Content , March 29, 2021, https://medium.com/stronger-content/apple-amazon-wealthier-than-more-than-90-of-the-worlds-countries-17dbae8b98fe#:~:text=Now%20worth%20a%20cool%20%242.2,96%25%20of%20countries%20on%20Earth. The most profitable MNCs are in the tech, oil, and finance industries. Alex Gray, “These Are the World’s 10 Biggest Corporate Giants,” World Economic Forum, January 16, 2017, https://www.weforum.org/agenda/2017/01/worlds-biggest-corporate-giants/. About 45 percent of MNCs are headquartered in the United States, including Exxon Mobile, Amazon, Coca-Cola, Walmart, Apple, and financial giant Berkshire Hathaway. US multinational enterprises employed 42.5 million workers worldwide in 2017, with the largest number of workers in China, the United Kingdom, Mexico, India, and Canada. Cheung, “What Countries.” In the globalized world, MNCs are less bound to remain headquartered in their state of origin. As international relations specialist Parag Khanna notes, MNCs “choose locations for personnel, factories, executive suites, or bank accounts based on where regulations are friendly, resources abundant, and connectivity seamless.” Parag Khanna, “These 25 Companies Are More Powerful Than Many Countries,” Foreign Policy , March/April 2016, https://foreignpolicy.com/2016/03/15/these-25-companies-are-more-powerful-than-many-countries-multinational-corporate-wealth-power/. What Are Some Criticisms of MNCs? By their very nature, MNCs prioritize private goods (profit) over public goods. While they have the power to do “good” in their host countries, they often choose to set up operations in those countries because the countries are too weak to prevent them from exploiting labor and resources. Many developing countries do not force MNCs to pay minimum wages, to provide health care, to follow labor laws, or to abide by environmental regulations. In fact, the enormous wealth of MNCs enables them to disregard any rules a weak state has in place or to lobby against the future implementation of such regulations. MNCs are notorious for seeking profit above social benefits or even benefits to their country of origin. Many of the largest and most profitable MNCs are structured to avoid taxation and regulation and will operate wherever profit margins are highest. What Is a Multinational? International law seeks to keep up with the actions of hugely influential multinational corporations. Do MNCs Contribute to Global Governance? Although they may not seem as political as IGOs and NGOs, the transnational activities of MNCs have transformed the nature of international trade and investment. Decisions MNCs make have enormous implications for a wide range of policy issues—like taxation, investment protection, and immigration—across many countries with different political and economic institutions. Song Kim and Helen V. Milner, “Multinational Corporations and Their Influence through Lobbying on Foreign Policy,” forthcoming in Multinational Corporations in a Changing Global Economy (Washington, DC: Brookings Institution), https://scholar.princeton.edu/sites/default/files/hvmilner/files/revised_manuscript_submission_2_march.pdf. MNCs do exert some positive influence over international relations. Because MNCs favor stable and secure environments, states looking to lure MNCs have a vested interest in maintaining stability and in settling disagreements diplomatically rather than through disruptive conflict. Because they benefit from seamless operations, MNCs facilitate transportation and communication across borders by building compatible infrastructures like phone lines, Internet access, and standardized pricing in countries around the world. Trade organizations like the WTO regulate MNCs, and trade treaties help determine the norms of behavior in trade and intellectual property. What's the Role of Multinational Companies in Fueling Conflicts? When multinational corporations invest in a country, they can be funding—either directly or indirectly—that country’s activities, including its military conflicts. Because they generate money, MNCs also have considerable clout with host governments and have the power to encourage states to uphold human rights and environmental protections. In addition to providing jobs for people in developing countries, MNCs can reinvest in local economies—for instance, by donating money for schools or hospitals or providing community services. MNCs can and often do partner with or donate to NGOs to benefit local populations in developing countries. In 2000, the United Nations created the Global Compact to address the way MNCs could play a role in global governance. Jonas Borgmeier, “Addressing the Global Governance Deficit—Contributions of Corporate Social Responsibility and the UN Global Compact,” November 16, 2020, https://jonasborgmeier.eu/posts/csr-ungc.html. The Global Compact asks companies to self-regulate by following set principles around human rights, the environment, and anti-corruption efforts. Almost 15,000 companies have joined the Global Compact, and businesses and states have committed to promoting development goals and sustainability. United Nations Global Compact, https://www.unglobalcompact.org/. National Identity Groups Members of national identity groups share a common ethnic, religious, or linguistic identity and object to the political or territorial status quo. Typically, these groups are struggling for greater autonomy or recognition. They may be clustered in a specific region of a country, and they often represent a minority in that region, with grievances stemming from real or perceived marginalization and oppression that has left the group at a disadvantage. Even when these groups are primarily located within one state (such as the Rohingya in Myanmar or Basques in Spain), migration and globalization have a way of internationalizing their concerns. These groups often demand more representation in government, the protection of linguistic or religious traditions, and the right to establish institutions distinct from those of the country in which they reside. National identity groups may seek regional autonomy (relative independence from a central government), secession (breaking away from a state), or irredentism (reclaiming land). Regional Autonomy Movements Groups seeking greater regional autonomy are among those that are least likely to directly impact international relations. Autonomous regions within states have considerable control over regional governance, including education, language, and local laws. Examples of autonomous regions include the Åland Islands (Finland), South Tyrol (Italy), Kosovo (the former Yugoslavia), Cordillera and Mindanao (the Philippines), Zanzibar (Tanzania), Greenland (Denmark), and Scotland, Wales, and Northern Ireland (the UK). Regional autonomy is often a relatively peaceful solution to accommodate the demands of ethnic minorities. Secessionist Movements Some groups are not interested in regional autonomy or other concessions from the government but instead favor establishing an independent state. In democratic states, these secessionist movements may resolve nonviolently via a sovereignty referendum that asks members of the minority group to vote on whether they want independence. South Sudan, East Timor, and Montenegro gained independence following referendums. Other groups win independence through warfare. Such was the case in Eritrea, although that victory was followed by a referendum declaring the Eritrean public’s desire for independence. Other ethnic groups’ efforts to gain independence have been less successful. For example, the efforts of citizens of the Catalonia region of Spain and of the Kurds in Iraq, Syria, and Turkey have been met with silence or oppression. In 2020 there were 60 active secessionist movements, with only one or two expected to lead to independence. Ryan Griffiths, “60 or So Secessionist Movements around the World Want Independence in 2020. Guess Which One Might Succeed.” Washington Post , January 3, 2020, https://www.washingtonpost.com/politics/2020/01/03/or-so-secessionist-movements-around-world-want-independence-guess-which-one-might-succeed/. Catalan separatists rally in support of independence from Spain in 2014. (credit: “Demanding to vote!” by Joan Campderrós-i-Canas/Flickr, CC BY 2.0) When independence movements are successful, a new state joins the world community (UN membership is considered the marker of an independent state), maps are redrawn, and new bilateral and multilateral agreements can be negotiated. Numerous states joined that community in the 1960s as colonialism fell around the world. Irredentist Movements A region under the political control of one country but ethnically tied to another is called an irredenta . Often, the ethnic group in the region constitutes a minority in the state where they live but a majority in a neighboring state. This particular configuration is ripe for conflict, either because people within the region want to leave their state to join their ethnic kin or because the country where the ethnic group is a majority wants to “reclaim” their lost territory and reunite the ethnic group. German Kim, “Irredentism in Disputed Territories and Its Influence on the Border Conflicts and Wars,” The Journal of Territorial and Maritime Studies 3, no. 1 (2016): 87–101. https://www.jstor.org/stable/26664127. For instance, during World War II Hitler claimed that he wanted “Germany for the Germans,” which gave him cause to expand German borders to include the Germanic people living in neighboring countries. More recently, Russian President Vladimir Putin used a similar excuse when he occupied the Crimea, a territory in the country of Ukraine that is heavily populated by ethnic Russians. As these examples suggest, irredentist rhetoric can be cover for a traditional political strategy of territorial expansion to gain power and influence. Crimea Four Years after the Russian Takeover Russia’s 2014 annexation of Crimea and its aftermath suggest Russia’s continuing cultural and territorial goals in the region. Religious Non-state Actors According to the Pew Research Center, approximately 84 percent of the population in the world identifies with a religion. There are thousands of different religious groups in the world, but 77 percent of the world’s religious adherents are part of one of the five largest religions: Islam, Christianity, Buddhism, Hinduism, or Judaism. “The Global Religious Landscape,” Pew Research Center, December 18, 2012, https://www.pewforum.org/2012/12/18/global-religious-landscape-exec/. Religious organizations or groups of adherents to a faith are known as religious non-state actors (RNAs) . RNAs include individuals motivated by religious beliefs, by specific churches, by religious-based NGOs, and even by the transnational nature of the religious beliefs themselves. The Catholic Church has historically played a prominent role in international relations, and the Holy See, the governing body of the Church, has observer status at the United Nations. Given that there are almost one billion Catholics worldwide, the Pope has tremendous global influence. “US Embassy Cables: Diplomat Reveals Vatican’s ‘Unhelpful’ Role in Middle East Peace Process,” The Guardian , July 3, 2001, https://www.theguardian.com/world/us-embassy-cables-documents/1792. RNAs can organize themselves or specific categories of their work into NGOs. The International Islamic Charitable Organization and Catholic Relief Services are examples of this type of NGO. Many religious groups use NGOs to help the marginalized and the impoverished, extending their reach far beyond their local community. The Transnational Nature of Religion Religious beliefs are transnational; there are few religions the adherents of which all reside in one state. Adherents to a given faith often feel a form of kinship or solidarity with others of that faith regardless of regional, linguistic, ethnic, or practical differences. Jews in the United States who have never visited Israel may feel a kinship with the Israelis. Muslims worldwide orient themselves toward Mecca to pray even if they have never been to Saudi Arabia. Terrorist attacks on religious groups, such as the bombings in Sri Lanka in 2019 on Christians celebrating the Easter holiday, are seen (and may in fact be intended) as an attack on the religion itself, not just on certain individuals. The Role of Religious Leaders Individual religious leaders can use their platform to comment upon and try to influence world affairs. Exiled religious cleric Ayatollah Khomeini instigated the Iranian Islamic revolution of 1979. The Dalai Lama of Tibet put forward a democratic constitution, based on Buddhist principles and the Universal Declaration of Human Rights, as a model for a future free Tibet. For his work in addressing collective problems including “international conflicts, human rights issues, and global environmental problems,” the Dalai Lama was awarded the Nobel Peace Prize in 1989. “The Nobel Peace Prize for 1989,” The Nobel Prize, accessed January 25, 2022, https://www.nobelprize.org/prizes/peace/1989/press-release/ From the 1930s to the 1950s, Catholic Popes Pius XI and Pius XII condemned communism as antithetical to the Catholic faith and helped fuel anti-Soviet sentiment among Catholics worldwide. In 2020, Pope Francis urged governments around the world to use the COVID-19 pandemic to focus on “creating a fairer market economy, addressing the rapidly escalating dangers of climate change, and providing basic healthcare to their citizens.” Joshua J. McElwee, “Pope Exhorts World Leaders: Use Pandemic to Create Fairer Economy,” National Catholic Reporter , February 8, 2021, https://www.ncronline.org/news/vatican/pope-exhorts-world-leaders-use-pandemic-create-fairer-economy. A mural depicting Ayatollah Khomeini outside the former US embassy in Tehran reflects his lasting influence. (credit: “Imam Khomeini” by Kamyar Adl/Flickr, CC BY 2.0) Violence in the Name of Religion Schisms within religions, such as between Catholics and Protestants in the Christian faith, between ultra-Orthodox and Reform movements in Judaism, or between Sunnis and Shiites in Islam, can lead to enduring conflict and even violence. Religious leaders can position threats to the faith from outside as a rallying or unifying force. Osama bin Laden, former leader of the al-Qaeda terrorist organization, issued a manifesto against “Christian invaders” in Muslim holy lands as a call to all Muslims, not just Sunni Muslims, to join his fight. Similarly, the 1948 establishment of the state of Israel and the subsequent displacement of Palestinian Muslims met with resistance from both Sunnis and Shiites. RNAs can form communities of the faithful to advocate for changes in far-flung corners of the world where they believe their “brothers and sisters” are persecuted or oppressed. Jayson Casper, “The 50 Countries Where It’s Hardest to Follow Jesus in 2022,” Christianity Today , January 19, 2022, https://www.christianitytoday.com/news/2022/january/christian-persecution-2022-countries-killed-world-list.html. Although many RNAs advocate for peace and devote themselves to humanitarian missions, others engage in conflict “for the good”—that is, they believe their cause is so important that they are justified in using any means, including violence, to achieve it. This level of conviction propelled Catholic soldiers during the Crusades in the Middle Ages, and it motivates several notable religious groups today, including al-Qaeda and the militant Hindu nationalist group Rashtriya Swayamsevak Sangh (RSS). Lauren Frayer, “The Powerful Group Shaping the Rise of Hindu Nationalism in India,” NPR, May 3, 2019, https://www.npr.org/2019/05/03/706808616/the-powerful-group-shaping-the-rise-of-hindu-nationalism-in-india. Ethnic tribal militias like the Tuareg, pictured here, have joined with other militant Islamic groups in attempts to secure an independent homeland in Northern Mali. (credit: “Al-Qaeda draws Maghreb militants to Mali Al-Qaida rejoint par ses militants du Maghreb au Mali” by Magharebia/Flickr, CC BY 2.0) How Do RNAs Contribute to Global Governance? It is difficult to classify a particular RNA and that RNA’s role in global governance as “good” or “bad.” Some RNAs help reinforce norms and participate in conversations about the global good, but others promote violence and challenge global governance norms. The net contribution of a single RNA can be mixed. The Muslim Brotherhood provides a telling example. Although the Egyptian government considered the Muslim Brotherhood an illegal political movement and classified it as a terrorist organization, the Brotherhood provided goods and services like hospitals and schools to Egyptian neighborhoods where the government was not providing those services. During periods of Egyptian democracy, the Brotherhood ran candidates for office and participated in the legislature. Zachary Laub, “Egypt’s Muslim Brotherhood,” Council on Foreign Relations, last updated August 15, 2019, https://www.cfr.org/backgrounder/egypts-muslim-brotherhood. Thus the Brotherhood has engaged in both humanitarian and politically democratic activities and illegal, antidemocratic, and violent ones. Violent Non-state Actors Transnational actors that flagrantly violate established laws and employ violence to achieve their goals are considered “illegitimate.” They endanger security, stability, and the rule of law and are condemned under international law as a threat to global governance. Neal A. Pollard, “Globalization's Bastards: Illegitimate Non-State Actors in International Law,” Low Intensity Conflict and Law Enforcement 11, no. 2–3 (2002): 210–238, https://www.tandfonline.com/doi/abs/10.1080/0966284042000279009?journalCode=flic20. Like RNAs, sometimes the lines between “legitimate” and “illegitimate” transnational actors are blurred. Some nationalist and religious groups may pose a threat to peace and stability only in particular regions or for particular groups. Sometimes whether a non-state actor is considered legitimate depends on who you ask—as a saying from the Cold War era goes, “One person’s terrorist is another person’s freedom fighter.” This discussion focuses on two main types of violent non-state actors: transnational organized crime (TOC) syndicates and terrorist organizations. These groups engage in various types of illegal activity including financial crimes, cybercrimes, and human rights violations. Their membership may be multinational, regional, or country-specific, but their crimes are transnational, involving activities across borders and in multiple states. They pose a significant threat to international and domestic security, and countering that threat requires a coordinated international response. Criminal networks flourish in weak states —those without functioning central governments, sophisticated criminal justice agencies, communications, or traditions of rule of law. Weak states often only nominally control certain regions of their countries, and in uncontrolled regions it is particularly easy to evade the rule of law. Violent NSAs also flourish under conditions of poverty and limited economic prospects, when people can be easily tempted by the potential for wealth or “revenge” against groups they believe have wronged them. Transnational Organized Crime Organized crime groups operate in almost every region of the world, and transnational organized crime (TOC) threatens international peace and security. “Transnational Organized Crime (TOC),” Office of the Director of National Intelligence, https://www.dni.gov/files/documents/NIC_toc_foldout.pdf. Some groups have stable and definable memberships; others are more loosely organized. The Sicilian Mafia and various transnational street gangs are among the most prominent TOC syndicates. “Transnational Organized Crime,” What We Investigate, The Federal Bureau of Investigation, accessed January 25, 2022, https://www.fbi.gov/investigate/organized-crime. TOCs engage in a variety of illicit activities, including smuggling, human trafficking, weapons trafficking, wildlife or artifacts trade, intellectual property theft, counterfeiting, cybercrimes, and money laundering, to fulfill their purpose: to make money. TOC syndicates rarely engage in only one illicit activity. International drug trafficking is the second largest source of TOC revenue, second only to counterfeiting, and drug trafficking organizations, many of which are affiliated with terrorist groups, are among the highest-profile TOCs. “Transnational Organized Crime: A Growing Threat to National and International Security,” National Security Council Archives, accessed January 25, 2022, https://obamawhitehouse.archives.gov/administration/eop/nsc/transnational-crime/threat. How Somalia’s Pirates Make Money Poverty is a main cause of international crime, including piracy. This video explains how pirates make money in one of the poorest countries on Earth, Somalia. TOC activities contribute to government corruption. In weak states, TOC groups bribe or ally with government officials, jeopardizing economic development, undermining the rule of law, and threatening government stability. As the 2018 World Atlas of Global Issues puts it, “Corruption, trafficking, poverty, conflicts, and terrorism all sustain and reinforce one another.” “Transnational Crime,” World Atlas of Global Issues, 2018, https://espace-mondial-atlas.sciencespo.fr/en/topic-strategies-of-transnational-actors/article-3A13-EN-transnational-crime.html. Globally, TOCs test international law, make the expansion of democracy more challenging, and siphon money away from governments and people. Transnational organized crime represents a global governance problem that cannot be satisfactorily addressed by one government alone. Criminals are typically headquartered in one country, but their crimes cross state borders and break both domestic and international laws. Because TOC groups encourage and depend upon government and law enforcement corruption, and because they tend to flourish in states that lack strong domestic criminal justice organizations that could investigate and prosecute them, a coordinated international effort is needed to fight this type of crime. Domestic criminal justice organizations such as the FBI in the United States coordinate with comparable organizations in other states and with crime-fighting IGOs like the United Nations Office on Drug and Crime to stem the activities of TOC organizations. Neil Walsh, UN Expert on Cybercrime In this video, Neil Walsh, chief of the UN cybercrime team, talks about the role of the United Nations Office of Drugs and Crime in battling international cybercrime. Terrorist Organizations Terrorism is the use or threat of violence by non-state actors to influence citizens or governments in the pursuit of political or social change. In the wake of the September 11, 2001, attacks on the United States, terrorism became a global security concern. Globalization and advances in technology have allowed terrorist organizations to access funding and recruits from far beyond the organization’s headquarters and to spread their message via social media. In an article published only weeks before the 9/11 attacks, Paul Pillar of the Brookings Institute said, “In today’s globalizing world, terrorists can reach their targets more easily, their targets are exposed in more places, and news and ideas that inflame people to resort to terrorism spread more widely and rapidly than in the past.” Paul R. Pillar, “Terrorism Goes Global: Extremist Groups Extend Their Reach Worldwide,” Brookings, September 1, 2001, https://www.brookings.edu/articles/terrorism-goes-global-extremist-groups-extend-their-reach-worldwide/. Like most other transnational issues, terrorism is a threat to all states, and it is impossible to envision a single-state solution. Terrorists are motivated by some combination of nationalism, ideology, and religion. Islamist terrorist groups like al-Qaeda, the Islamic State (ISIS or ISIL), and Boko Haram have been responsible for the deadliest terrorist acts in the 21st century. “Terrorism by the Numbers,” Global Era Issues, World 101, accessed January 25, 2022, https://world101.cfr.org/global-era-issues/terrorism/terrorism-numbers. Like other religious extremist groups, Islamist terrorists want to impose their version of their religion on all spheres of life, including the political state. The desire for national independence in places like Palestine and Northern Ireland, as well as extremist ideological beliefs such as White nationalism or neo-Nazism, can also motivate terrorist attacks. International cooperation is crucial to monitor and prevent terrorist activities. Following 9/11, the UN Security Council formed the Counter-Terrorism Committee, which coordinates international counterterrorism measures. United Nations Security Council, https://www.un.org/securitycouncil/ctc/. In 2006, the General Assembly called on member states to focus on the underlying factors that contribute to terrorism, including weak institutions, ongoing conflict, and human rights violations. Most regional IGOs have counterterrorism programs. INTERPOL, the International Criminal Police Organization, is an IGO that coordinates the efforts of the police in countries around the world. NGOs contribute to counterterrorism activities as well. IGOs and NGOs work in tandem to help states implement global counterterrorism strategies. There are other non-state actors as well, some legitimate and some not. Corporations, religious groups, nationalist and ethnic groups, terrorists, and organized criminal groups all impact international relations. Adetula, Victor, Redie Bereketeab, and Cyril Obi, eds. Regional Economic Communities and Peacebuilding in Africa: Lessons from ECOWAS and IGAD . New York: Routledge, 2020. Barnett, Michael, and Martha Finnemore. Rules for the World: International Organizations and Global Politics. Ithaca, NY: Cornell University Press, 2004. Bosco, David. Five to Rule Them All: The UN Security Council and the Making of the Modern World. Oxford, UK: Oxford University Press, 2009. ____. Rough Justice: The International Criminal Court in a World of Power Politics. Oxford, UK: Oxford University Press, 2014. Bradford, Anu. The Brussels Effect: How the European Union Rules the World. Oxford, UK: Oxford University Press, 2021. Cambanis, Thanassis, Dina Esfandiary, Sima Ghaddar, Michael Wahid Hanna, Aron Lund, and Renad Mansour. Hybrid Actors: Armed Groups and State Fragmentation in the Middle East. New York: The Century Foundation Press, 2019. Davies, Thomas. NGOs: A New History of Transnational Civil Society. Oxford, UK: Oxford University Press, 2014. Ellis, Stephen. This Present Darkness: A History of Nigerian Organized Crime. Oxford, UK: Oxford University Press, 2016. Hannay, David. New World Disorder: The UN After the Cold War—An Insider’s View . London: I.B. Tauris, 2008. Hurd, Ian. International Organizations: Politics, Law, Practice. 4th ed. Cambridge, UK: Cambridge University Press, 2020. Keck, Margaret, and Kathryn Sikkink. Activists Beyond Borders: Advocacy Networks in Global Politics. Ithaca, NY: Cornell University Press, 1998. Lessing, Benjamin. Making Peace in Drug Wars: Crackdowns and Cartels in Latin America . Cambridge, UK: Cambridge University Press, 2017. Oksamytna, Kseniya, and John Karlsrud, eds. UN Peace Operations and International Relations Theory. Manchester, UK: Manchester University Press, 2020. Park, Susan, and Jonathan Strand, eds. Global Economic Governance and the Development Practices of the Multilateral Development Banks . New York: Routledge, 2015. Sayle, Timothy Andrew. Enduring Alliance: A History of NATO and the Postwar Global Order. Ithaca, NY: Cornell University Press, 2019. Tanaka, Yoshifumi. International Law of the Sea . 3rd ed. Cambridge, UK: Cambridge University Press, 2019. Wright, Lawrence. The Terror Years: From Al-Qaeda to the Islamic State. New York: Vintage, 2017. multinational corporations (MNCs) companies based in one state but with operations in other states national identity groups groups that share a common language, ancestry, and culture and that seek political independence religious non-state actors (RNAs) transnational organizations or entities that promote a certain religion and engage in international politics on behalf of or in accordance with that religion’s views terrorism the use of violence by non-state actors against civilians in order to achieve a political goal terrorist organizations non-state organizations that use terrorism to achieve political goals transnational organized crime (TOC) groups that employ violence and corruption in for-profit criminal activity that crosses state boundaries weak states states that have difficulty fulfilling basic tasks such as managing the economy and enforcing laws", "section": "Non-state Actors beyond NGOs", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Introduction US Secretary of Agriculture Tom Vilsack and leaders from across the globe discuss public-private investment and cross-sector partnerships in a climate-smart agriculture and food system at the COP26 in Glasgow, Scotland, on November 4, 2021. (credit: “20212204-OSEC-UNC-0006” by U.S. Department of Agriculture/Flickr, Public Domain) Chapter written by Emilia Barreto Carvalho The 26th UN Climate Change Conference of the Parties (COP26) occurred in Glasgow, Scotland, in October and November 2021. The main goal of the summit was to foster collaboration between governments, businesses, and civil society and to propel action to tackle the climate crisis. United Nations, “UN Climate Change Conference UK 2021,” October 2021, https://ukcop26.org/. The conference was widely reported in both traditional media and nontraditional media. As discussed in Chapter 12: The Media , traditional media is characterized by mass communication efforts and professional journalism. The main traditional media outlets include newspapers, magazines, radio, and television. With increased use of the internet, smartphones, and social media platforms, nontraditional media has become increasingly powerful. Whereas professional journalists cover the news for traditional media outlets, nontraditional news coverage may be led by any individual with a smartphone and internet access. Nontraditional outlets, such as Twitter , Facebook , Instagram , and TikTok , are particularly salient with specific niches of the public. That the results of the COP26 were reported on in traditional outlets like CNN , the Associated Press , the BBC , and Al Jazeera as well as nontraditional outlets like TikTok, Twitter, Instagram (more than 318,000 posts are tagged #cop26), “#cop26,” Instagram hashtag, https://www.instagram.com/explore/tags/cop26/?hl=en. and Facebook (more than 160,000 people have posted using the hashtag #COP26) suggests that the public is concerned with the environment. Joseph E. Uscinski, “When Does the Public’s Issue Agenda Affect the Media’s Issue Agenda (and Vice-Versa)? Developing a Framework for Media-Public Influence,” Social Science Quarterly 90, no. 4 (December 2009): 796–815, https://doi.org/10.1111/j.1540-6237.2009.00663.x. The COP26 summit produced an official agreement, and governments pledged to commit to adaptation, mitigation, and conservation efforts on methane, coal, transportation, and deforestation. These pledges could help the world prevent global warming from exceeding 1.5°C above preindustrial levels, a goal the majority of climate scientists involved with the COP26 consider challenging but possible. Jonathan Watts, “Key Cop26 Pledges Could Put World 9% Closer to 1.5C Pathway,” The Guardian , November 11, 2021, https://www.theguardian.com/environment/2021/nov/11/key-cop26-pledges-could-put-world-closer-pathway. While some governments have agreed to tackle the climate crisis, others have avoided making any commitments. Governments play the “commitment vs. avoidance game” because environmental policy, like every other kind of public policy, requires costs to achieve benefits. For example, certain types of environmental regulations —the body of taxes and tariffs , quotas, subsidies , and regulations governments issue to promote environmental protection—increase the costs of industrial production. In a globalized economy, higher production costs make it more difficult for firms to sell their products in a competitive international market, especially if the regulations are adopted domestically but not internationally. In situations like this, a factory that cannot compete may be forced to close its doors, and if this happens, workers become unemployed Antoine Dechezleprêtre and Misato Sato, “The Impacts of Environmental Regulations on Competitiveness,” Review of Environmental Economics and Policy 11, no. 2 (July 1, 2017): 183–206, https://doi.org/10.1093/reep/rex013; Timothy J. Bartik, “Social Costs of Jobs Lost Due to Environmental Regulations,” Review of Environmental Economics and Policy 9, no. 2: 179–197 (Summer 2015), https://doi.org/10.17848/wp13-193; Eban Goodstein, Jobs and the Environment: The Myth of a National Trade-Off (Washington, DC: Economic Policy Institute, 1994), https://files.epi.org/page/-/old/studies/jobs_environment_study_1994.pdf; Richard D. Morgenstern, William A. Pizer, and Jhih-Shyang Shih, “Jobs versus the Environment: An Industry-Level Perspective,” Journal of Environmental Economics and Management 43, no. 3 (May 2002): 412–36, https://doi.org/10.1006/jeem.2001.1191. —that is, workers pay a high cost. On the other hand, environmental regulations promote environmental quality. If a factory emits fewer pollutants, the quality of the surrounding environment increases. The community in the factory’s vicinity reaps the benefits of less pollution. Better environmental quality contributes to improved health conditions. However, the causal impact of this environmental regulation in the promotion of a healthier environment is difficult to prove. The connection between the extent to which changes in pollutant emissions can improve or exacerbate the health of community members is complex. Many variables impact both environmental quality and the community’s health. To make things even more difficult, if you consider the market share of this factory in a country and compare it to the global market, the proportional environmental benefit of this environmental regulation may seem small. Environmental regulations present a tradeoff: they promote environmental quality, Emilia Barreto Carvalho, “Do Environmental Policies Enhance Environmental Quality?: An Examination of Policy Instruments and Outcomes,” in Environmental Philosophy, Politics, and Policy , ed. John A. Duerk (Lanham, MD: Lexington Books, 2021), 205–20. but they may cause unemployment , at least in the short term. Environmental quality is a widespread benefit. The entire community profits from it, even if each element of the community profits only a little bit. On the other hand, unemployment is a localized cost, and unemployed workers lose a lot. As a result, labor unions , workers, and business parties commonly refer to environmental regulations as “job-killing regulations” and thus tend to oppose them. Branden B. Johnson and Adam M. Finkel, “Public Perceptions of Regulatory Costs, Their Uncertainty and Interindividual Distribution,” Risk Analysis 36, no. 6 (June 2016): 1148–70, https://doi.org/10.1111/risa.12532. In short, because environmental policies redistribute economic costs and environmental benefits across different groups in society, they face strong opposition, even if, as responses to the COP26 indicate, the general public is concerned about the environment. Fiona McGillivray, Privileging Industry: The Comparative Politics of Trade and Industrial Policy (Princeton, NJ: Princeton University Press, 2004). Given the complexity of designing environmental policies, governments consider the redistribution of costs and benefits and play the “commitment vs. avoidance game” based on how much their constituents , or voters, stand to win or lose with environmental regulations. The ways in which public policies redistribute costs and benefits across domestic and international actors are at the core of the study of international political economy (IPE). This chapter presents a panoramic view of the development of the field from the 16th century to the present. The discussion begins with a brief historical overview, which is then followed by an analysis of some of the most debated issues in the field. constituents voting members of a community environmental regulations the body of taxes and tariffs, quotas, subsidies, and regulations governments issue to promote environmental protection international political economy (IPE) field of study occupied with the investigation of political processes and their economic consequences, which have both domestic and international impacts", "section": "Introduction", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Origins of International Political Economy Learning Outcomes By the end of this section, you will be able to: Define international political economy (IPE). Describe mercantilism . Define wealth according to the mercantilist theory. International political economy (IPE) is a vast field of study occupied with the investigation of political processes and their economic consequences, which have both domestic and international impacts. IPE describes and explains the extent to which politics and public policies define winners and losers among different groups in a society. Similar definitions of IPE are present in Thomas H. Oatley, International Political Economy , 6th ed. (New York & London: Routledge, 2019) and McGillivray, Privileging Industry . Aspects of International Relations: International Political Economy In this short clip, academics from the International Relations Department at the London School of Economics discuss the study of international political economy and its value. Those components of politics and policy making in a country that result in specific public policies are referred to as political factors . These components can be domestic, such as the organization of the electoral system, how politicians interact to establish policies, and the level of economic and institutional development, among others. They can also be international, like, for example, the pressure toward globalization and trade liberalization since the 1990s. Domestic and international political factors compel politicians to establish certain public policies. Public policies invariably promote wealth redistribution in societies. As mentioned above, these policies shift benefits and costs across different groups and thus establish winners and losers. McGillivray, Privileging Industry ; Oatley, International Political Economy . The example of the “commitment vs. avoidance game” played during the COP26 summit illustrates how governments negotiate environmental issues with eyes on how the policies they establish will cater to their constituents and thus increase these politicians’ chances of remaining in power. David R. Mayhew, Congress: The Electoral Connection , 2nd ed. (New Haven, CT: Yale University Press, 2004). Yet, political factors are constantly changing, and as they change, policy makers redesign policies, redefining the winners and losers. Profound transformations occurred in Western Europe during the Enlightenment , paving the way for the current economic system in the United States—the market economy , or capitalism . Such transformations also prompted the establishment of political economy as the field dedicated to the study of the relationship between politics and the economy. Adam Smith (1723–1790), a Scottish political thinker and economist, was one of the first to examine the relationship between politics and the economy. Given the influence of his writings on the development of the field, he became known as the father of political economy. Although political economy only emerged as a field of study in the late 19th century, politics and the economy were already interconnected in the real world. Political economy has been around for as long as politicians have been making decisions that favor some groups at the expense of others. The changes in politics and the economy that occurred during the Enlightenment deeply altered political and economic practices domestically and internationally. The centralization of political power in the hands of the monarch in Western Europe during the 17th and 18th centuries, known as absolutism , illustrates the impact of these changes and how they laid the foundations for the market economy. During the absolutist era, the belief in divine providence—that God had chosen the monarch to govern—was widespread. Monarchs had absolute political power and made decisions with the aim of increasing that power. At the time, power and wealth were interchangeable concepts: power begot wealth and wealth begot power. This environment provided fertile ground for mercantilism , the dominant economic system throughout the absolutist era. Mercantilism was based on capital accumulation, or the increase of wealth. Notice, however, that during the absolutist era, there were no paper currencies: no US dollars, Mexican pesos, or Euros. The currency was made of precious metals, gold and silver. The more gold and silver acquired, the wealthier—and more powerful—the monarch or the country. Precious metals are naturally occurring elements and cannot be created (despite alchemists’ best efforts); thus, the amount of wealth in the world was considered finite. Because wealth was limited, wealth accumulation was a zero-sum game . Brawley defines this zero-sum game as a situation in which “if one country got more gold, that left less for all the others.” Mark R. Brawley, Turning Points: Decisions Shaping the Evolution of the International Political Economy (Peterborough, Ontario & Orchard Park, NY: Broadview Press, 1998), 197. The fact that a monarch got some gold meant that others had lost it. Therefore, to preserve their wealth and power, monarchs not only took precious metals whenever they could but also fiercely protected the wealth in their possession. As rumors about “new worlds” rich in gold and silver circulated in Western Europe in the 16th century, monarchs sponsored naval fleets to venture into unknown seas in search of riches. Several European ships ended up “discovering” land and colonizing Native peoples in the Americas as well as in Asia, Africa, and Oceania. As the “new worlds” were colonized, monarchs could extend their domain to the colonies. Taking advantage of their absolute power, they seized precious metals and increased their wealth. Brawley, Turning Points , 177. After all, power begot wealth. Mercantilism The relationship between England and its North American colonies in the 17th and 18th centuries provides an example of mercantilism. Wealth also begot power. During the 16th, 17th, and 18th centuries, European armies were composed of mercenaries . A mercenary is a soldier hired to fight in an army. In times of impending war, monarchs would hire soldiers to defend their countries. The more wealth a monarch possessed, the more soldiers they could afford, and thus the higher their chances were of winning the war and maintaining their power. Brawley, Turning Points , 197. Given that wealth was finite, monarchs sought to accumulate wealth, or capital, through protectionist policies , which safeguard the domestic economy against foreign competition through the establishment of trade barriers such as tariffs , subsidies , import quotas, and other restrictions on imports. The rationale behind protectionist policies is that as a country’s balance of trade , or the difference between the value of exports and imports in a given period, maintains a surplus, the country accumulates capital. Protectionist policies limited trade across countries and thus suppressed any incentives for industrial innovation and market development. Economic activities during the absolutist era were extremely limited; agriculture, food production, and the production of consumer goods used rudimentary inputs and technology. Production output was basically for subsistence, and common people had very few possessions. Only the royal family and the aristocracy had access to the few goods available for consumption, while the majority of the population did not consume much. Yet, the capital the monarchy and aristocracy accumulated during mercantilism made the Industrial Revolution possible. The Industrial Revolution promoted many significant changes at the end of the 18th century. These changes pressured monarchs to let go of protectionist policies in favor of trade liberalization, helped markets to flourish, and welcomed the participation of the individual in the economy. International political economy examines the ways in which political factors shape public policies and define who the winners and losers of these policies are. During the absolutist era, the amount of wealth in the world was considered finite—determined by a fixed supply of precious metals—and powerful monarchs amassed wealth in gold and silver. Within a mercantilist system, monarchical governments engaged in protectionist policies to safeguard their riches. absolutism the centralization of political power in the hands of the monarch in Western Europe during the 17th and 18th centuries balance of trade in a given period, the difference between the value of exports and imports in a country mercantilism an economic theory based on capital accumulation, or the increase of wealth, which according to mercantilists can be achieved through trade and protectionist policies political factors domestic and international components of politics and the policy-making process that result in specific public policies protectionist policies restrictions on imports by means of tariff and non-tariff barriers", "section": "The Origins of International Political Economy", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Advent of the Liberal Economy Learning Outcomes By the end of this section, you will be able to: Explain the origins of the market economy. Define wealth according to classical liberal theory. Describe Adam Smith’s argument regarding the three levels of analysis. The Enlightenment and the Industrial Revolution marked the introduction of new concepts that fundamentally transformed European societies and the world. Enlightenment thinkers freed human beings from an unquestionable religiosity, superstitions, and social rigidity. Absolutism could no longer be defended on the basis of God’s will and divine providence. The ideas of anthropocentrism , or the argument that human beings are the most important component of the Universe; rationalism , which is the belief that reason rather than experience is the foundation of knowledge; and scientism , or the view that inductive methods of the natural sciences are the only source of genuine knowledge, prompted changes that culminated with the French Revolution and the Declaration of Independence of the Thirteen Colonies. Movements toward political democratization and economic development based on these ideas have since been diffused to the four corners of the world. The Enlightenment period promoted the idea of civilization as opposed to savagery. Societies that reflected anthropocentrism, rationalism, and scientism were the first to reap the benefits of the Industrial Revolution, including the development of the market and social progress, and to embody the idea of civilization. These societies were initially located in Western Europe and were then propagated to the colonized world, accompanying the migration movement and the birth of industrialization. Societies based on traditional religion and superstition, where family relationships defined power and politics, were considered savage. In University of Denver emeritus professor David P. Levine ’s words, “Civilization is an important concept in political economy. . . . Civilized society provides its members with opportunities not otherwise available; but it also confronts them with dangers.” David P. Levine, Wealth and Freedom: An Introduction to Political Economy (Cambridge, UK: Cambridge University Press, 1995), 37. The dangers Levine mentions relate to externalities, such as poverty, inequality, and environmental crisis, subjects discussed in Section 16.6: Considering Poverty, Inequality, and the Environmental Crisis. One of these opportunities is wealth creation. Enlightenment thinkers rejected the mercantilist idea that wealth is finite, proposing that wealth could in fact be created. The concept of wealth had been transformed. As Levine puts it, “Producing wealth is a special sort of activity. It is one that employs some of our assets to produce commodities: goods and services valued in the market.” Levine, Wealth and Freedom, 38. This change in the perception of what constituted wealth had an enormous impact on political economy. If wealth is understood as the extent to which the market values a good or service, and if the creativity and industriousness of the human mind is boundless, then wealth is infinite. More than 200 years later, we still employ Enlightenment ideas about the concept of wealth. Adam Smith played an important role in defining our understanding of wealth creation, the functioning of the market, and the role of the government in a market-based society. His beliefs in science and in human beings’ inclination toward progress are key to his account of political economy. Adam Smith laid the foundation for liberalism , the dominant economic practice that persists today, in his classic work The Wealth of Nations (1776). He rejected mercantilism , suggesting that monarchy’s insistence on the balance of trade surplus through trade barriers would hurt the economy. According to Adam Smith, the best approach to the economy was a laissez-faire one, in other words, the free-market approach in which governments do not interfere in the market and let things take their own course. As this 2019 advertisement in a Bulgarian airport bearing his image shows, Adam Smith is still closely associated with free market ideas. (credit: modification of work by “Adam Smith Spreads the Gospel” by summonedbyfells/Flickr, CC BY 2.0) Adam Smith developed his argument in The Wealth of Nations using different levels of analysis . First, he focused on the individual level and argued that self-interested individuals, or in other words, individuals focused on advancing their personal interests, tend to make decisions that will maximize results to their own benefit. Thus, if governments guarantee individuals the freedom to produce and trade as they please, society will be better off in the long run. His second level of analysis examined the state. Adam Smith argued that countries should dedicate themselves to the production of what they produce best, following their comparative advantages. For example, he argued that given France’s geographic characteristics and the developed skills and abilities of its people, France can produce better cheese and wine than, for example, Great Britain, and at a lower cost. Therefore, he argued, France should produce cheese and wine. On the other hand, given Great Britain’s geographic characteristics and traditions, the British can produce better quality wool than the French, and therefore Smith argued that the British should produce wool and not cheese and wine. At the international level of analysis, Smith argued that if countries stick to their comparative advantages, international trade should allow individuals in different countries to have access to the best products at the lowest costs. This would eliminate the need for trade barriers and result in a system of free international trade. In this case, both the French and the British would get the best cheese, wine, and wool at the lowest cost. Adam Smith’s assumption regarding the benefits of a laissez-faire economy has accompanied the mainstream understanding of political economy since the publication of The Wealth of Nations . According to Adam Smith, the accumulation of capital in preindustrial societies allowed for the emergence of the Industrial Revolution, which produced consumable goods for society and elevated the quality of life of industrialized nations. The ideas promulgated by Adam Smith and other political economists slowly promoted trade liberalization in Europe. Britain moved toward free trade in the 1780s with the repeal of the Corn Laws , trade restrictions such as tariffs and quotas on imported corn and food. The Corn Laws intended to keep corn prices high and favor domestic producers of food. Brawley, Turning Points , Chapter 10. Several European states followed Britain’s move and similarly promoted trade liberalization. Nevertheless, Britain returned to protectionist policies during the Napoleonic Wars (1803–1815), a series of battles fought by the French Empire and its allies, led by Napoleon I, against several European countries that formed various coalitions. The costs of war are high, and as war expenses accumulated, the British government levied tariffs on imported goods to generate revenues and pay for the costs of war. The end of the Napoleonic Wars culminated with the Congress of Vienna (1814–1815), a peace conference to reconstruct European relations after the downfall of Napoleon I. The Congress of Vienna led to the Concert of Europe , a general consensus to promote equilibrium among the five great European powers (Austria, France, Prussia, Russia, and the United Kingdom). It prevented another war from breaking out in Europe from 1815 to 1914. The Concert of Europe period saw the flourishing of trade liberalization. Moreover, improved technology and the advent of new players in the international commodities market increased competition, and domestic pressure in favor of protectionist policies led the recently unified Germany to defect from the free-trade regime and return to protectionism in the 1870s. In general terms, international trade picked up from the late 19th century until World War I. After World War I, protectionist policies became the rule again until the end of World War II, when the bases of the current international financial system were established. The Enlightenment and the Industrial Revolution marked the introduction of the concept of civilization as opposed to savagery, transforming European societies and the world. With this concept came the possibility of wealth creation. Adam Smith played a key role in defining wealth creation, the functioning of the market, and the role of the government in a market-based society. His ideas promoted trade liberalization in Europe. anthropocentrism the idea that human beings are the most important component of the universe laissez-faire free-market approach in which governments do not interfere in the market and let things take their own course rationalism the belief that reason rather than experience is the foundation of knowledge scientism the view that inductive methods of the natural sciences are the only source of genuine knowledge", "section": "The Advent of the Liberal Economy", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Bretton Woods Institutions Learning Outcomes By the end of this section, you will be able to: Describe the context of the creation of the Bretton Woods Institutions. Explain the origins and missions of the IMF, World Bank, GATT, and WTO. At the end of World War II, the United States had a huge surplus in the balance of trade . Exports of military equipment and consumer goods to the Allied powers grew the American economy toward a pronounced recovery from the Great Depression , a severe financial crisis sparked by the 1929 stock market crash in New York that led to bank closures and high unemployment . The US government was aware of its military capabilities and advantageous economic position, especially in relation to destroyed Europe and Japan. As a result, the United States took a leading role in creating the post–World War II international order, an order that was expected to maintain peace and economic prosperity in the world. As the end of World War II was imminent, representatives of the United States and Great Britain met to discuss the post-war international order. One of these meetings took place in July 1944 in Bretton Woods , New Hampshire, and became known as the Bretton Woods Conference. Harry Dexter White , assistant secretary of the Treasury in the United States, led the US delegation, and John Maynard Keynes , adviser to the Treasury in the United Kingdom, led the delegation from Great Britain. The United States, Great Britain, and 42 Allied nations sent representatives to the conference. Yet, the participation of these 44 states was only relevant to the extent that they supported either the American or the British side. Brawley, Turning Points . During the conference, the US and British delegations presented proposals for the establishment of the world economic system. The United States wanted to create an international order that was strong enough to promote international economic stability. Their main objective was to avoid another economic crisis like that of 1929. Great Britain’s proposal was more focused on reconstruction, but the British had difficulty garnering support. In the end, the US proposal prevailed, with compromises. As a result, the Bretton Woods System reflected US concerns in the post–World War II period. For instance, the United States accepted the British suggestion that governments should stimulate their economies and promote international trade without competitive currency devaluations. According to the British delegation, if state governments followed this prescription, the world economy would be in balance and a future crisis like the one of 1929 would be averted. In the end, the Bretton Woods Conference created two international financial institutions , the International Monetary Fund (IMF) and the International Bank for Reconstruction and Development , which became known as the World Bank . These two institutions were based on the belief that global collective action was necessary to guarantee international economic stability and rebuild Europe. What’s the Difference Between the IMF and the World Bank? In this clip, CNBC’s Elizabeth Schulze explains the differences between the IMF and the World Bank. During the conference, there were also attempts to create a third institution to promote and regulate international trade. However, trade is a highly sensitive issue, especially to weaker states. Therefore, the third institution was not created in the conference, but discussions continued, and in 1947, the Havana Letter established the General Agreement on Tariffs and Trade (GATT) . In 1995, the GATT gave way to the World Trade Organization (WTO). The International Monetary Fund At the time of the Bretton Woods conference, it was commonly believed that competitive devaluations among major international currencies had caused the 1929 financial crisis. Competitive devaluations happen when a country devalues its currency in relation to other countries to gain trade advantage, but other countries devalue their currencies in response. Though more recent evaluation has determined that other factors were responsible for the stock market crash, Sidney E. Rolfe and James Burtle, The Great Wheel: The World Monetary System, A Reinterpretation (New York: McGraw-Hill, 1975). the US delegation at Bretton Woods insisted on the creation of a strict international monetary system (as a way to prevent future economic crises) and a return to the gold standard , the monetary system in which the standard unit of account is a fixed quantity of gold. The US economy had maintained a substantial surplus in the balance of trade during the war years and controlled a significant part of the world’s gold reserves. As a result, confidence in the value of the US dollar was widespread. Capitalizing on the situation, the US delegation proposed a system backed by the US dollar and assured that the US government would guarantee that every dollar was backed by gold—one ounce of gold per 35 US dollars (USD). Other currencies would have a fixed parity with gold and also with the US dollar. The IMF would be responsible for monitoring the value of other currencies against the dollar. After much deliberation, it was agreed that international currencies could deviate 1 percent from their fixed rates without previous consultation with the Fund. Yet, the Fund should be notified of any deviations greater than 1 percent but smaller than 10 percent. Only in cases of fundamental imbalance could the IMF authorize devaluations greater than 10 percent. Rolfe and Burtle, The Great Wheel . Though this arrangement seemed to solve the problem of competitive devaluations, there was still the problem of a lack of international liquidity , that is, a lack of money or gold in the international market. Much of the liquidity problem was solved through the Marshall Plan , a program through which the United States sent USD 26 billion in war recovery aid to Europe and Japan between 1946 and 1949. Even with the disbursement of the grants and loans, the American balance of payment , or the difference in value between all payments made to a country and the payments the country has made to the rest of the world, maintained a surplus of USD 6 billion, Rolfe and Burtle, The Great Wheel . which helped extend the high confidence in the US dollar. Yet, in order to establish the international monetary system, governments had to hold reserves , or money, gold, and other highly liquid assets that a country’s central bank or other monetary authority could use to meet financial obligations. In the United States, the Federal Reserve System (commonly referred to as the Fed) is the central bank, and it works to promote the effective operation of the economy. Reserves help to keep currencies at a fixed, or pegged, exchange rate, in which a currency’s value is fixed against the value of another currency, basket of currencies, or gold. For example, when a country runs a deficit in the balance of payment—that is, when payments a country makes exceed payments it receives and there is a shortage of money—the supply of its currency in the foreign exchange market exceeds the demand. If the forces of supply and demand were free, the price of the currency would fall to adjust to the market. However, to maintain the proposed fixed (or pegged) exchange rate, a government could not allow its currency to devalue or appreciate more than 1 percent. Thus, in cases when the forces of supply and demand threaten the price beyond the 1 percent margin, the government should intervene in the international market to buy back its currency, using its reserves in dollars or gold, until the price of supply and demand restabilize. So, under the Bretton Woods guidelines, governments should keep reserves and act to correct the devaluation or appreciation of their currency. In reality, those currencies that maintained surpluses and appreciated were not corrected while the fixed exchange rate regime was in place. As a result, devaluations are often seen as synonymous with economic problems rather than as a mechanism for regulating the system. Over time, even the IMF began to discourage the practice of valuation. The IMF’s original role was to maintain the parity between the US dollar and other currencies while eliminating currency exchange restrictions and thus facilitating the expansion of international trade. This was called the Bretton Woods System. Delegates to the Bretton Woods conference decided that when a country joins the IMF, an initial quota would be assigned. The IMF has used a quota formula to assess a country’s position in relation to members of comparable economic size and characteristics and thus establish the quota. The quota determines the member’s maximum financial commitment to the IMF and its voting power, and it has a bearing on the member’s access to IMF financing. The IMF in Practice During its first years of operation, from 1949–1958, the Bretton Woods system was favorable to the United States, as the United States was the only country in the Western world with surpluses. The United States, backed by its economic superiority and concerned with communism, rushed to guarantee conditions for restructuring and growth for the Western European and Japanese economies. In 1949, the United States was categorical in its recommendation of a restructuring of the exchange rate against the US dollar. The restructuring was massive. The devaluation allowed gains in relation to exports since, by inducing a reduction in costs and prices against the dollar, the devaluation allowed for a trade surplus. The result was that the United States ran deficits throughout the 1950s. Initially, such deficits were not a cause of worry; the United States had understood that deficits were necessary for rebuilding the European economy and stopping communism. Nevertheless, in 1958 the weakness of the dollar became evident. The first sign of concern came in the form of the establishment of conversion rates between European currencies. Until then, there was a conversion rate between each currency and gold as well as the dollar, but not between the currencies themselves. The adoption of conversion rates made it easier to transfer credit between European countries and thus increased the flow of investments and international trade in Europe. Between 1958 and 1965, American corporations made huge investments in the European market, raising US concerns about the deficit and worries about foreign direct investment (FDI)—one company’s investment in a business based in another country. American deficits and investments in Europe resulted in an overabundance of US dollars in the international system, and with that abundance the dollar lost its credibility in the international market, and several countries that kept their reserves in dollars exchanged them for gold. As countries exchanged their dollars for gold, the demand for gold increased, and when the supply did not meet the demand, the price of gold increased. As the gold standard was in place at that time, backing the US dollar by gold became more expensive. In an attempt to stop gold from appreciating on the international market, the United States briefly put its gold reserves on sale, stopping after the level of gold reserves decreased considerably. Likewise, as the demand for dollars decreased and the supply exceeded the demand, the price of the dollar decreased—that is, the excessive supply of the dollar in the international market led to a devaluation, and without the option to sell more gold on the international market, the United States was pressured to devalue its currency but met this pressure with considerable resistance. In 1964, President Lyndon Johnson increased American participation in the Vietnam War . In the long run, this increased participation proved disastrous not only for the US economy, but also for the world economy. Although American economists urged the government to increase the tax burden to pay for war expenses, taxes were only readjusted in 1967, when the debt was already quite large. All of these difficulties led the United States to pressure the IMF to create special drawing rights (SDR) in 1969. Member countries’ quotas have been translated to SDRs, the IMF’s unit of account. SDRs represent a claim to currency held by IMF member countries for which they may be exchanged. These units of account, issued by the IMF, were intended to increase the liquidity of the monetary system and reduce the world’s dependence on gold and the dollar, its main reserves. Initially, USD 3.5 billion in SDRs were issued. The SDRs emerged when the world was already drowning in excessive liquidity of dollars. Rolfe and Burtle, The Great Wheel . Faced with this situation, in August 1971, President Richard Nixon announced a reform package that unilaterally ended the conversion of the dollar into gold and devalued the American currency by 7 percent. With these measures, the Bretton Woods system came to an end. In 1972, the dollar suffered another devaluation, further reducing the US debt. With the end of the Bretton Woods system, the functions of the IMF were revised. At that moment, the world was going through a new phase. Conditionalities Under pressure from the United States in the new economic order of the 1970s, the IMF began attaching conditionalities , policy actions a country agreed to take in exchange for the receipt of financial support, to IMF loans. Randall W. Stone, “The Scope of IMF Conditionality,” International Organization 62, no. 4 (October 2008): 589–620, https://doi.org/10.1017/S0020818308080211. New York University professor Adam Przeworski and Princeton University professor James Raymond Vreeland suggest that conditionalities are a penalty. Adam Przeworski and James Raymond Vreeland, “A Statistical Model of Bilateral Cooperation,” Political Analysis 10, no. 2 (2002): 101–12, https://doi.org/10.1093/pan/10.2.101. This conception makes sense if you consider that the poorest countries seek the IMF’s assistance more often than the richest ones. Stone, “The Scope of IMF Conditionality.” These countries’ pressing needs for credit put them in a vulnerable position, especially when conditionalities follow a “one size fits all” approach that forces strict monetary and fiscal policies on every borrower, irrespective of a particular borrower’s circumstances, as critics like Columbia University professor Joseph E. Stiglitz Joseph E. Stiglitz, Globalization and Its Discontents (New York: W. W. Norton, 2002). contend. However, more recent literature has shown that the IMF does tailor conditionalities to each borrower. Stone, “The Scope of IMF Conditionality.” According to University of Rochester professor Randall Warren Stone , there is evidence that the more problematic a country’s economic situation, the looser the conditionalities the IMF will impose. Regardless of how well the IMF tailors conditionalities, because borrower countries cannot opt out of them, they can be seen as a way IMF programs limit these countries’ sovereignty. In the early 1990s, developing countries facing balance of payments problems, currency devaluation, and macroeconomic instability turned to the IMF seeking credit and advice. Strom C. Thacker, “The High Politics of IMF Lending,” World Politics 52, no. 1 (October 1999): 38–75, https://doi.org/10.1017/S0043887100020025. IMF bureaucrats and representatives of member countries responded with a program designed to promote economic stability. The program, which became known as the Washington Consensus , was intended to promote fiscal balance, sound macroeconomic indicators, increased participation in the international flow of goods and services, and, ultimately, growth and development. Conditionalities function as a guarantee that a loan will be repaid, but the IMF is not an ordinary creditor, and developing countries with economic imbalances seek more than the Fund’s credit. They seek credibility since the IMF’s decision to lend sends a message to the international community, including financial markets, about its trust in the borrower’s ability to overcome the crisis. For that reason, when the Fund disburses a loan, it has high expectations that borrowers’ economic performances will improve. Such expectations appease financial investors’ uncertainties about the market, and investments are more likely to return. Nevertheless, the Fund puts its reputation at risk. Although the Fund’s image and reputation suffer from eventual disastrous outcomes of the implementation of market and financial reforms in certain countries, it is not always clear whether the IMF’s policy recommendations or domestic governments’ ability to implement economic policies are to blame. In any case, such disastrous outcomes represent obstacles in the pathway to a prosperous global economy. A (Brief) History of the World’s Trade Wars In this video, Princeton professor and IMF historian Harold James talks about the history of trade wars in the 20th century and how the IMF was set up to deal with them. The World Bank The IMF was the apple of the United States’ eye, and its creation consumed a majority of the time at the Bretton Woods conference. The creation of the World Bank was only discussed in the last few days. Under John Maynard Keynes ’s guidance, it was established that the Bank’s original role would be to help rebuild the economies of countries devastated by war and to promote the economic development of developing countries. The Bank’s first loan was to France, and loans to other European countries ensued. The World Bank, “Explore History,” https://www.worldbank.org/en/archive/history#. However, in 1947, as the Marshall Plan ended up taking the lead in the reconstruction effort in Europe, the World Bank had to adapt, and it swiftly shifted to funding development projects around the world in sectors such as power, irrigation, and transportation. In 1948, Chile was the recipient of the Bank’s first loan to a non-European country in the amount of USD 13.5 million for hydroelectric power generation. The World Bank, “Explore History.” In the 1970s, about 780 million people in developing countries (excluding China and other centrally planned economies) were living in extreme poverty, without basic human necessities like food, clean drinking water, sanitation, and shelter. In a speech in 1973, World Bank President Robert McNamara first described this condition as absolute poverty . N. Birdsall, “Population Growth and Poverty in the Developing World,” Population Bulletin 35, no. 5 (December 1980): 1–48. In response to the situation, the World Bank turned its focus to directly helping the poor. In the same speech, McNamara communicated the World Bank’s twin goals of accelerating economic growth while reducing poverty. The incorporation of these concepts in the Bank’s mission transformed it into the institution focused on poverty alleviation and development promotion that it is today. The World Bank, “Explore History.” The 1980s and 1990s presented the world with new challenges related to oil shocks , shortages of oil and oil derivatives in the Western world that resulted from oil exporting countries’ decision to reduce oil production; debt crises , as countries were unable to pay their debts; and environmentalism. The Bank responded by incorporating new skills and safeguards into its work. As a result, the Bank began to provide loans for structural adjustments, with the approval of the IMF. In other words, the Bank’s loans were linked to the Fund’s conditionalities , such as fiscal discipline, tax reform, and liberalization of foreign direct investment . The overall effectiveness of these loans was the target of criticism from the international community. William Easterly, “What Did Structural Adjustment Adjust?” Journal of Development Economics 76, no. 1 (February 2005): 1–22, https://doi.org/10.1016/j.jdeveco.2003.11.005; Jane Harrigan and Paul Mosley, “Evaluating the Impact of World Bank Structural Adjustment Lending: 1980–87,” Journal of Development Studies 27, no. 3 (April 1991): 63–94, https://doi.org/10.1080/00220389108422204; M. Rodwan Abouharb and David L. Cingranelli, “The Human Rights Effects of World Bank Structural Adjustment, 1981–2000,” International Studies Quarterly 50, no. 2 (June 2006): 233–62, https://doi.org/10.1111/j.1468-2478.2006.00401.x. In the 1990s, with the end of the Cold War and the collapse of the Soviet Union, the Bank started to assist former Soviet nations in transitioning their economies, and many of these recently recognized nation-states became World Bank members. During this time, the Bank also started to focus more closely on safeguarding the environment through sustainable development and poverty reduction. The number of people living in extreme poverty has been declining since the 1990s. (credit: “World population living in extreme poverty, World, 1820 to 2015” by Our World in Data, CC BY 4.0) In the late 1990s, the World Bank refocused its efforts on conflict prevention, post-conflict reconstruction, and development promotion. The period brought concern about the impact of corruption on the success of lending operations, which led the Bank to sponsor an anti-corruption strategy. The mid-2000s brought the idea of the World Bank as a knowledge institution , an institution that collects and publishes data and reports, and by 2010, the Bank initiated a more transparent approach to development by providing policy makers in borrowing countries with reliable debt information to help them make informed borrowing decisions. For instance, following the Millennium Development Goals in 2000 and the Sustainable Development Goals in 2015, the World Bank stressed community-driven development, the safeguard of vulnerable groups, and the impact of, mitigation of, and adaptation to climate change . The World Bank, “Explore History.” From the GATT to the WTO The Bretton Woods conference was expected to establish a third institution, the International Trade Organization (ITO) , to promote international trade and economic cooperation. Even though the institution was not created during the conference, negotiations aimed at its creation continued. In December 1945, following the end of World War II , 15 countries engaged in talks to move away from protectionist policies, which had been the norm since the early 1930s, and to promote trade liberalization. The talks produced an agreement with about 45,000 tariff concessions , preferential rates on taxes or duties to be paid on imports, which marked the beginning of the General Agreement on Tariffs and Trade (GATT) . World Trade Organization, “The GATT Years: From Havana to Marrakesh,” https://www.wto.org/english/thewto_e/whatis_e/tif_e/fact4_e.htm. At the time the deal was signed in October 1947, the team had expanded to include 23 members. The deal came into effect in June 1948. Negotiations to establish the ITO continued at the UN Conference on Trade and Employment in Havana, Cuba, in late 1947, less than a month after the GATT was signed. Curiously, the GATT included provisions for the relationship between the GATT and the ITO, but also for the GATT’s role in the case that the ITO ended up not being established. All 23 GATT signatories participated in the Havana Conference . Their initial goal was to create the ITO as a specialized agency of the United Nations. The plan envisioned a powerful ITO that would regulate trade and labor and engage in commodity and international investment negotiations, among other responsibilities. The ITO Charter was agreed to in Havana in March 1948, but it was never ratified in some relevant countries, including the United States. Though the US government had been a driving force during negotiations, the ITO faced serious opposition in the US Congress. World Trade Organization, “The GATT Years.” In 1950, when the US government announced that it would no longer pursue congressional ratification of the ITO Charter, the ITO was dead. As a result, the GATT became the multilateral instrument regulating international trade from 1948 until the WTO was established, almost 50 years later, in 1995. World Trade Organization, “The GATT Years.” During this period, the GATT’s principles remained faithful to its origins, and the efforts to reduce international tariffs were unabated. GATT signatories met in a series of multilateral negotiations, commonly known as trade rounds ( ). Some of the most relevant advances in international trade liberalization were agreed to in these rounds. Sections on anti-dumping, or tariffs imposed on imports to increase their prices to market value, and development promotion were included in the 1960s and in plurilateral agreements , agreements between a small number of signatories, World Trade Organization, “Plurilaterals: Of Minority Interest,” World Trade Organization, https://www.wto.org/english/thewto_e/whatis_e/tif_e/agrm10_e.htm. in the 1970s. In fact, the Tokyo Round (1973–1979) was the first major attempt to confront non-tariff trade barriers —trade restrictions such as quotas, embargos, or sanctions. The last round, the Uruguay Round (1986–1994), resulted in a new set of agreements, including the creation of the World Trade Organization . World Trade Organization, “The GATT Years.” The GATT was a relevant instrument to international trade liberalization from the late 1940s to 1995. While the GATT was in place, there was a continuous reduction of tariff and non-tariff barriers across the globe. The increase in the volume of international trade surpassed production growth; that is, more unfinished products were traded among countries. The participation of developing countries in the Uruguay Round indicated that the GATT was recognized as relevant to multilateral trade. Year Location Subjects Discussed Participating Countries 1947 Geneva, Switzerland Tariffs 23 1949 Annecy, France Tariffs 13 1951 Torquay, England Tariffs 38 1956 Geneva, Switzerland Tariffs 26 1960-1961 Geneva, Switzerland (Dillan Round) Tariffs 26 1964-1967 Geneva, Switzerland (Kennedy Round) Tariffs, anti-dumping measures 62 1973-1979 Geneva, Switzerland (Tokyo Round) Tariffs, non-tariff measures, framework agreements 102 1986-1994 Geneva, Switzerland (Uruguay Round) Tariffs, non-tariff measures, rules, services, intellectual property, dispute settlement, textiles, agriculture, creation of WTO 123 GATT Trade Rounds (source: https://www.researchgate.net/figure/The-GATT-Trade-Rounds_tbl3_5056860) Nevertheless, there were problems. Economic recessions throughout the Western world in the 1970s and 1980s led to increases in protectionist measures, especially for sectors facing increased international competition. Resulting high unemployment and constant factory closures led governments in developed countries to seek bilateral agreements with competitors, discarding multilateralism. Agricultural trade has never been discussed during the GATT rounds. Governments adopted subsidies —grants to individuals or firms, usually in the form of a cash payment from the government or a tax cut. Trade in services, which was not covered by GATT rules, had increased throughout the 1980s and 1990s. Moreover, GATT’s institutional structure and its dispute settlement system were the cause of concern. These and other factors convinced GATT members to renew attempts to establish an institution to promote trade liberalization. Their efforts resulted in the World Trade Organization (WTO). The Uruguay Round and earlier GATT negotiations form the basis of the WTO’s current work. WTO agreements cover goods, services, and intellectual property. The institution establishes governing principles of liberalization and permitted exceptions for member countries. It sets procedures for settling disputes, prescribing special treatment for developing countries. In 2015, Kenyan president Uhuru Kenyatta spoke during the opening of the 10th World Trade Organization (WTO) ministerial conference in the Kenyan capital, Nairobi, the first to be held on African soil. (credit: “10th WTO Ministerial Meeting Opening_0016” by Make It Kenya/Stuart Price/Flickr, Public Domain) Where countries have sought to lower trade barriers, negotiations have helped to liberalize trade. The system’s overriding purpose is to help trade flow as freely as possible so long as there are no undesirable side effects. An important task of the WTO is managing the dispute settlement process. Trade relations often involve conflicts, and having an international institution to manage these conflicts in accordance with an agreed-upon legal foundation has proven beneficial. The WTO’s procedure underscores the rule of law, and it makes the trading system more secure and predictable. Dispute settlement is the central pillar of the multilateral trading system and one of WTO’s main contributions to the stability of the global economy. Without a means of settling disputes, the rules-based system would be less effective because there would be no way to enforce those rules. Laíssa Vasconcelos, International Trade Coordinator International grain commerce feeds the world. During the COVID-19 pandemic, the Latin American grain industry worked hard to adapt in order to ensure the maintenance of the supply of grains to the world population. Ensuring international grain supply is part of Laíssa Vasconcelos’s day-to-day work. Laíssa is an international trade coordinator at a subsidiary of a multinational corporation in Brazil that exports grains produced in Latin America all over the world. Please explain what you do for your organization. I’m an international trade coordinator. I coordinate grain purchase contracts and export operations at a subsidiary of a large corporation in Brazil. In addition to managing internal purchases and exports, I support offshore operations and international arbitration panels, and I have an advisory role on the company’s Environmental, Social, and Governance (ESG) committee. ESG analyses look at how companies affect the environment and society and also how governance within the company occurs—for example, if the company is promoting equity and diversity. Investors are increasingly relying on ESG indicators to make investment decisions. How did you get involved in your position? I have a degree in International Relations from PUC Goiás, Brazil and an MBA from FGV, also in Brazil. I entered the company to perform technical tasks, but I was interested in learning more, so in parallel I tried to understand the connections between the activities of my department and those of other departments. Eventually, I become a reference in problem solving and got promoted. What advice would you give students who are interested in your line of work? Try to get a job where you want to work, even if you have to start at the bottom. Do your job well and pay attention to what’s going on around you. Learn how what you’re doing fits into the bigger picture. When you work hard and learn, people will see the value you bring to the company, and you’ll be able to advance to the point where you can do work that you really enjoy. Be proactive and develop skills that put you in a position to be considered for roles in different areas. At the end of World War II, representatives of the United States and Great Britain, among other nations, met to discuss the post-war international order at the Bretton Woods Conference. The conference established two international financial institutions, the International Monetary Fund (IMF) and the World Bank. A third proposed institution, the International Trade Organization (ITO), was never established. Participants agreed to create the General Agreement on Trade and Tariffs (GATT) instead. Even though a formal institution was not created during the conference, negotiations continued and resulted in the World Trade Organization (WTO) in 1995. absolute poverty living conditions under which basic human necessities like food, clean drinking water, sanitation, and shelter are not met balance of payment in a given period, the difference in value between all payments made to a country and the payments the country has made to the rest of the world competitive devaluation the devaluation of a country’s currency in relation to other countries’ currencies followed by other countries’ devaluation of their currencies conditionalities conditions attached to IMF loans prescribing the policy actions a country agrees to take in exchange for the loans debt crises situations in which governments are unable to pay their debts environmental, social, and governance (ESG) standards investors use to screen potential investments; environmental criteria describe a company’s performance as a steward of nature, social criteria report the company’s relationships where it operates, and governance is associated with executive pay, internal controls, and shareholder rights foreign direct investment (FDI) a company’s investment in a business based in another country General Agreement on Tariffs and Trade (GATT) legal agreement signed on October 30, 1947, by 23 countries to reduce international trade barriers through the elimination or reduction of quotas, tariffs, and subsidies in some sectors while preserving regulations in others gold standard the monetary system in which the standard unit of account is a fixed quantity of gold Great Depression the severe financial crisis sparked by the 1929 stock market crash in New York that led to bank closures and high unemployment international financial institutions institutions established by several governments to regulate international finance issues, such as trade and investments international liquidity the amount of money or gold available in the international market International Monetary Fund (IMF) international institution with 190 member countries that promotes international financial stability and monetary cooperation, facilitates international trade, promotes employment and sustainable economic growth, and helps to reduce global poverty International Trade Organization (ITO) proposed international institution for the regulation of trade in the Bretton Woods conference; was never established knowledge institution the World Bank’s role as an institution that collects and publishes data and reports Marshall Plan war recovery program through which the United States provided USD 26 billion between 1946 and 1949 to European countries and Japan to assist in the war recovery Millennium Development Goals (MDGs) a set of eight goals agreed to by all the world’s countries and all the world’s leading development institutions to halve extreme poverty rates, halt the spread of HIV/AIDS, and provide universal primary education by the year 2015 non-tariff barriers non-tariff barriers to international trade, such as regulations, including environmental regulations, that specify how a product can be manufactured, handled, or advertised or a quota that limits the amount of a certain product that can be imported to a market oil shocks shortages of oil and oil derivatives in the Western world that resulted from oil-exporting countries’ decision to reduce oil production plurilateral agreements agreements between a small number of GATT member states in the 1970s reserves money, gold, and other highly liquid assets that a country’s central bank or other monetary authority could dispose of to meet financial obligations special drawing rights (SDR) the IMF’s unit of account; SDRs represent a claim to currency held by IMF member countries for which they may be exchanged subsidies payments or incentives the government grants to firms in the form of cash payments or tax cuts Sustainable Development Goals (SDGs) 17 global goals established in 2015 focused on achieving a better and more sustainable future for all by the year 2030 tariff concessions removal or reduction of a tariff trade rounds meetings of GATT signatories in a series of multilateral negotiations to discuss international trade Washington Consensus a program designed by the IMF to promote economic stability in borrowing countries and increase the odds that the countries pay their debts World Bank international financial institution that provides loans and grants with the objective of promoting development World Trade Organization international institution that promotes and regulates trade between nations; member state governments rely on the organization to establish, revise, and enforce the rules that govern international trade", "section": "The Bretton Woods Institutions", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "The Post–Cold War Period and Modernization Theory Learning Outcomes By the end of this section, you will be able to: Describe changes inaugurated with the end of the Cold War. Explain key tenets of modernization theory. Cite a counterargument to modernization theory. From its beginning in the late 19th century until the end of the Cold War in 1989, international political economy was almost exclusively focused on the world’s international financial powers—liberal democracies in Western European countries and the United States. The majority of the research and discussions in the field did not include countries in regions that had different political and economic systems. Even when these other countries participated in international relations, as was the case in the Bretton Woods conference, they were considered mere spectators. The preferences of Western financial powers dominated the agenda. Brawley, Turning Points . During the Cold War, economic transactions between the East and the West were very rare. Western liberal democracies interacted among themselves, and Eastern socialist republics did the same. The majority of international trade took place between the United States and European countries. However, the end of the Cold War highlighted the economic and political issues countries in other regions of the world, such as formerly communist and Latin American countries, were facing. With the end of the Cold War, the focus of IPE shifted from an exclusive interest in developed Western nations to promoting development across developing countries in different regions. Since the late 1940s, modernization theorists had been searching for ways to bring economic growth and democracy to developing societies. Oneida Gómez holds a coffee plant in the nursery she has planted with the help of Blue Harvest, a Catholic Relief Services partnership with Keurig Dr Pepper and the Inter-American Development Bank’s SAFE Platform that aims to improve the water supply to help the agricultural economy in El Salvador. This is just one example of a huge number of development projects in the post–Cold War era. (credit: “Blue Harvest El Salvador” by Maren Barbee/Flickr, Public Domain) Modernization theorist Seymour Martin Lipset was one of the first to propose a link between economic development and democracy. He argued that improved wealth and education levels would create the right conditions for the establishment of democratic institutions. Seymour Martin Lipset, “Some Social Requisites of Democracy: Economic Development and Political Legitimacy,” American Political Science Review 53, no. 1 (March 1959): 69–105, https://doi.org/10.2307/1951731. Once people with low socioeconomic status are given access to education, Lipset contended, they become less committed to their existing ideologies and less isolated from people of other socioeconomic statuses. As these groups become more educated and politically active, they become part of the middle class, and as the middle class increases, it pushes for democratic institutions. In general, the key argument of modernization theory is that economic growth promotes structural changes in society that lead to increased political representation and, eventually, to the establishment of democratic institutions. Nevertheless, even though most developed countries are democracies, it is difficult to establish a causal mechanism, or a link, between economic growth and democratic institutions. UCLA emeritus professor Barbara Geddes , a political scientist who has examined developing societies for over 20 years, contends that modernization is the most empirically supported hypothesis about the suitable conditions for democratization. Barbara Geddes, “What Do We Know About Democratization After Twenty Years?” Annual Review of Political Science 2, no. 1 (June 1999): 115–44, https://doi.org/10.1146/annurev.polisci.2.1.115. Similarly, University of Chicago professor James A. Robinson has found statistical evidence indicating that economic development is highly correlated with democratization, even though the exact mechanism by which economic growth spurs democracy has not yet been uncovered. James A. Robinson, “Economic Development and Democracy,” Annual Review of Political Science 9, no. 1 (June 1, 2006): 503–27, https://doi.org/10.1146/annurev.polisci.9.092704.171256. Why Does Democracy Matter for Development? At the Annual Democracy Forum 2014 in Gaborone, Botswana, Devex Associate Editor Richard Jones asked experts and high-level officials why democracy matters for development. New York University professor Adam Przeworski and Fundação Getúlio Vargas professor Fernando Limongi , two other prominent modernization scholars, argue that the impact of economic development in a society is so strong that once a country reaches a certain threshold of growth, a democratic regime will always survive. These scholars offer a metaphor to explain this relationship, suggesting that if modernization is a long walk, democracy is only the final step. In their empirical analyses, they find that transitions to democracy occur independently of the level of economic development (or high per capita income levels); however, once a transition happens, countries with higher levels of economic development tend to remain democratic. Adam Przeworski, ed., Democracy and Development: Political Institutions and Well-Being in the World, 1950-1990 , Cambridge Studies in the Theory of Democracy (Cambridge, UK: Cambridge University Press, 2000). Considering the difficulty of finding the causal mechanism between economic development and democracy, MIT professor Daron Acemoglu and colleagues have reevaluated the modernization hypothesis. They find that most studies that claim to have found a connection between economic development and democracy fail to account for relevant variables. They argue that events during critical historical moments lead to divergent economic and political outcomes—either promoting economic development and democracy or leading to poverty and authoritarianism. Thus, these scholars believe that these critical historical moments are an underlying cause of economic development and democracy. Daron Acemoglu, Simon Johnson, James A. Robinson, and Pierre Yared. “Reevaluating the Modernization Hypothesis,” Journal of Monetary Economics 56, no. 8 (November 2009): 1043–58, https://doi.org/10.1016/j.jmoneco.2009.10.002. The core debate in modernization theory has not been solved. While developing countries, with the support of international institutions such as the IMF, World Bank, and WTO, continue to pursue economic development, given the unwanted consequences of the market economy, the focus has shifted from development to sustainable development. During the Cold War, economic transactions between the East and the West were rare, and thus the preferences of Western financial powers dominated the IPE agenda. The end of the Cold War brought relevant changes and shifted the focus of IPE from an exclusive interest in developed Western nations to incorporating the promotion of development across developing countries in different regions of the world. As a result of these changes, modernization theory gained the spotlight. Modernization theorists, who investigate links between economic development and democracy, had been searching for ways to promote economic growth and democracy to developing societies since the 1940s. Modernization is an empirically supported hypothesis about the suitable conditions for democratization. Several studies have found statistical evidence indicating that economic development is highly correlated with democratization, even though the exact mechanism by which economic growth spurs democracy has not yet been uncovered. Cold War a period of geopolitical tension between the two world powers at the time, the United States and the Union of Soviet Socialist Republics, from after World War II until the late 1980s modernization theory theoretical model to explain the transition from a traditional to a modern society", "section": "The Post–Cold War Period and Modernization Theory", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "From the 1990s to the 2020s: Current Issues in IPE Learning Outcomes By the end of this section, you will be able to: Describe how IPE has changed in the decades following the end of the Cold War. Explain how governments react to international trade. Describe government responses to international finance and crises. Label the pros and cons of different exchange rate regimes. The end of the Cold War opened new doors for IPE. Over the last four decades, numerous developments, such as intensifying globalization, trade liberalization, international migration, poverty reduction, growing inequality, and climate change, embedded in an unprecedented wave of technology development, have profoundly altered not only what IPE examines, but how. Since the late 1980s, as the focus of IPE shifted from a handful of developed countries to incorporate many others in several different regions, its “international” aspect has become more pronounced, as have the accompanying complexities. IPE has become more focused on empirical analyses. Sophisticated software and advanced statistical techniques now allow researchers to measure variables once considered to be unquantifiable. Today, IPE researchers start conversations based on the validity of their empirical findings. Three key issue areas have risen to prominence in contemporary IPE: globalization and international trade, international finance and crises, and exchange rate regimes. In keeping with trends in IPE, this chapter examines these issues through an empirical rather than a historical lens. Globalization and International Trade The international system pressures states to act in ways that promote the dissemination of international norms. For instance, ideas encouraging globalization have motivated trade liberalization since the 1990s. Beth A. Simmons, Frank Dobbin, and Geoffrey Garrett, eds., The Global Diffusion of Markets and Democracy (Cambridge, UK: Cambridge University Press, 2008); Beth A. Simmons and Zachary Elkins, “The Globalization of Liberalization: Policy Diffusion in the International Political Economy,” American Political Science Review 98, no. 1 (February 2004): 171–89, https://doi.org/10.1017/S0003055404001078. Spanish sociologist Manuel Castells defines globalization in economic terms as: “An economy whose core activities work as a unit in real time on a planetary scale. Thus capital markets are interconnected worldwide, so that savings and investment in all countries . . . depend for their performance on the evolution and behavior of global financial markets.” Manuel Castells, Information Technology, Globalization and Social Development , UNRISD Discussion Paper No. 114 (Geneva: United Nations Research Institute for Social Development, September 1999), 4, https://cdn.unrisd.org/assets/library/papers/pdf-files/dp114.pdf. The interconnectedness of markets poses an opportunity or a threat to a country, depending on the country’s ability to compete in the international market. A large body of IPE literature examines government responses to globalization. Political scientists like Yale University professor David R. Cameron , Cornell University professor Peter J. Katzenstein , and University of Southern California professor Geoffrey Garret have demonstrated that under the pressure of leftist parties, domestic governments tend to expand in order to counterbalance the volatility of an open economy and to protect impacted workers. David R. Cameron, “The Expansion of the Public Economy: A Comparative Analysis,” American Political Science Review 72, no. 4 (December 1978): 1243–61, https://doi.org/10.2307/1954537; Peter J. Katzenstein, “Regionalism in Comparative Perspective,” Cooperation and Conflict 31, no. 2 (June 1996): 123–59, https://doi.org/10.1177/0010836796031002001; Geoffrey Garrett, “Global Markets and National Politics: Collision Course or Virtuous Circle?” International Organization 52, no. 4 (1998): 787–824, https://doi.org/10.1162/002081898550752. An extensive body of political economy literature discusses the impact of globalization on domestic governments, asking whether globalization causes the government to contract or to expand. Trade policies distribute the benefits and costs of trade among groups in society, McGillivray, Privileging Industry . favoring either market liberalization or protectionism. Liberal trade policies promote lower prices across the board, and with this, domestic industries face international competition. Consumers win, but workers in import-competing industries that cannot keep up with international competition lose. On the other hand, protectionist trade policies safeguard import-competing industries that are unable to compete internationally but increase prices to consumers. That is, while trade liberalization promotes widespread benefits with localized costs, protectionism does the opposite; it promotes limited benefits with generalized costs. In recent years, globalization has retreated for the first time since World War I. (sources: Our World in Data; Pearson Institute for International Economics; attribution: Copyright Rice University, OpenStax, under CC BY NC-SA 4.0 license) Globalization calls for market liberalization. It decreases government participation in the economy by allowing the market to regulate the movement of capital, labor, goods, and services across borders. As a result, businesses move production plants from one location to another in search of competitive advantages; production costs decrease, and trade volumes increase. The economic gains from trade liberalization are widely documented, Simmons, Dobbin, and Garrett, The Global Diffusion of Markets and Democracy ; Marcelo Soto, Capital Flows and Growth in Developing Countries: Recent Empirical Evidence , Working Paper (OECD Development Center, July 2000); Simmons and Elkins, “The Globalization of Liberalization.” but the dislocation of production plants to areas where cheaper labor is available has left behind unemployed factory workers. While trade liberalization leads to lower prices and brings new consumers to the economy, increasing the quality of life of millions of people, it also generates unemployment when factories that, in the face of international competition, cannot keep their doors open end up exiting the market. New York University political scientist Fiona McGillivray demonstrated that, when faced with fierce international competition, entire industry sectors struggle, and as more factories close, more workers become unemployed. McGillivray, Privileging Industry . Factory workers’ skills tend to be industry specific. Thus, if unemployment is an industry problem, unemployed workers have difficulty finding similar jobs with comparable wages and benefits. For example, a welder in a steel factory has abilities that cannot be easily translated to other industries. Consequently, unemployed workers—in this example, steel workers—are left with few options. They may accept a low-skilled, low-paying, limited benefits job; enroll for professional (re)training; and/or remain unemployed. Considering the difficulties of professional (re)training, Harvard University professor Torben Iversen and former Berlin Social Science Center researcher Thomas R. Cusak have shown that workers who lose their jobs due to international competition tend to remain unemployed for long periods of time. Torben Iversen and Thomas R. Cusack, “The Causes of Welfare State Expansion: Deindustrialization or Globalization?” World Politics 52, no. 3 (April 2000): 313–49, https://doi.org/10.1017/S0043887100016567. Studies about the impacts of globalization on government spending tend to focus on workers. Globalization affects factory owners and investors differently than it impacts workers, and thus factory owners and investors tend to deal with market volatility differently. Investors usually save money for rough periods, buy insurance to protect themselves from market volatility, and pressure the government for assistance. Workers do not usually have extra money to save or with which to buy insurance and thus are left only with the option of resorting to the government for assistance. Whether the government is composed of left/labor or right/liberal parties that espouse liberal economic ideologies, following the ideas initially proposed by Adam Smith impacts the size of the government. Majority left/labor governments tend to spend significantly more on welfare policies, such as unemployment benefits and food stamps. These policies generate spending and increase the size of the government. Right/liberal majority governments tend to cut welfare expenses, spend less, and thus decrease the size of the government. Winners and Losers in International Trade Several researchers have studied people’s preferences about international trade and have found that the key variables influencing preferences toward globalization and market liberalization are 1) material gains and 2) education levels. One can argue that an individual who works in an import-competing industry would be a loser in an environment of trade liberalization and thus would tend to oppose it. Suppose that an industry in Country A does not have comparative advantage in sugar production. Countries B, C, and D have more favorable conditions to produce it and therefore can produce better quality sugar at a lower cost. What would happen if Country A’s government did away with trade barriers, including tariff and non-tariff barriers, on sugar imports? Country A would receive more of the higher quality, cheaper sugar from Countries B, C, and D. The sugar industry in Country A, which had adopted liberal trade policies, would face pressure from the international market to become more efficient and to produce cheaper sugar. If the sugar industry in Country A were not able to keep up with international quality and prices, it would, with time, get out of the market. Consumers in Country A would not buy sugar from Country A producers; they would prefer the better quality and cheaper sugar from Countries B, C, and D. Sugar producers and workers in Country A would be worse off in the short term and would close their doors, and workers would lose their jobs. Though workers would suffer, the country as a whole would get better sugar at a lower price, and this is why, economically speaking, trade liberalization tends to favor markets in general as they promote better quality and/or lower prices. Suppose a person works in the sugar industry in Country C. If world governments do away with agricultural trade barriers, sugar producers in Country C would sell their product on the international market. Both landowners and agriculture workers in Country C would be better off. As a result, people who work in export industries tend to favor free trade policies. Some scholars argue that people’s opinions on trade policy also depend on education levels. Educated (or highly skilled) individuals tend to be more likely to favor trade liberalization. Although trade liberalization generates winners and losers in particular industry sectors in the short term, such as export or import industries, the preferences of high-skilled individuals toward trade do not go hand in hand with their personal material gains or losses. Some possible explanations for this seemingly irrational behavior include the fact that these high-skilled individuals may find other jobs with relative ease in different industries and the fact that they also tend to reap the benefits of better quality and cheaper exports in the domestic market. Yale University professor Kenneth F. Scheve and Dartmouth professor Matthew J. Slaughter illustrate the argument that a person’s level of education heavily influences their perceptions of trade liberalization. Kenneth F. Scheve and Matthew J. Slaughter, “What Determines Individual Trade-Policy Preferences?” Journal of International Economics 54, no. 2 (August 2001): 267–92, https://doi.org/10.1016/S0022-1996(00)00094-5. They surveyed individuals in the United States and found that individual preferences toward trade policies are a function of both material effects and skill levels (measured as educational attainment or occupation). Fiscal and municipal management specialist at the Inter-American Development Bank Martin Ardanaz , Columbia University professor M. Victoria Murillo , and University of Houston professor Pablo M. Pinto replicated Scheve and Slaughter’s survey in Argentina and also found that support for economic integration depends on both material effects and education levels. Martin Ardanaz, M. Victoria Murillo, and Pablo M. Pinto, “Sensitivity to Issue Framing on Trade Policy Preferences: Evidence from a Survey Experiment,” International Organization 67, no. 2 (April 2013): 411–37, https://doi.org/10.1017/S0020818313000076. Suppose that the United States is Country A in the example above. That is, although the United States does not have a competitive advantage in sugar production, it produces it anyway. The sugar industry creates several jobs and supplies a considerable portion of the sugar consumed in the country. However, given that the United States does not have a comparative advantage when it comes to sugar production, the sugar produced in the United States is more expensive than the sugar produced in a country with a comparative advantage in sugar production, like Brazil, for example. Therefore, to make sure that sugar made in America can compete in the market, the US government subsidizes its production. These types of subsidies are payments or incentives the government grants to firms in the form of cash payments or tax cuts. Subsidies can be used to promote industry sectors considered relevant to a country, such as the sugar industry in the United States. In the end, although Americans pay higher prices for sugar, some American jobs are kept. If the government eliminated sugar subsidies , consumers would pay lower prices, but sugar producers and workers would be forced out of the market. International Finance and Crises Financial crises are a regular feature of the international economy. Retraction, and sometimes recession, follow cycles of economic expansion and growth. When a crisis hits, it can have dire consequences including effects like capital flight , the large-scale exit of money from a country as a result of market uncertainty; decreased investments; unemployment; and economic contraction. In such situations, governments take actions to lessen the negative effects of the crisis and to reverse the downward trajectory of the economy. IPE examines the economic consequences of government actions. When financial crises like the American financial crisis of 2008, which is considered the worst since the Great Depression, do occur, governments are limited in the ways they can respond to them. Carmen M. Reinhart and Kenneth S. Rogoff, “From Financial Crash to Debt Crisis,” American Economic Review 101, no. 5 (August 1, 2011): 1676–1706, https://doi.org/10.1257/aer.101.5.1676. The politics that led to the 2008 financial crisis had their roots in George W. Bush –era tax cuts and the increased international borrowing of the early 2000s. The international inflow of money to the United States made it easy for the government and individuals to borrow at low interest rates. Intense borrowing created huge deficits in the balance of payments. At one point, the United States had debts equivalent to 5 percent of its gross domestic product (GDP) , the sum of everything produced in a country in a given period. A similar level of debt would certainly affect the reputation of other countries, especially developing ones, making it more difficult for them to get loans, Michael Tomz, “Domestic Audience Costs in International Relations: An Experimental Approach,” International Organization 61, no. 4 (October 2007): 821–40, https://doi.org/10.1017/S0020818307070282. but creditors decided to overlook the situation when it happened in the United States. The extensive amount of money that poured into the market stimulated the American economy. People were consuming a lot; the demand for imported goods and services rose, and housing prices skyrocketed. Reinhart and Rogoff, “From Financial Crash to Debt Crisis.” Politicians like former United States Federal Reserve Chairs Alan Greenspan and Ben Bernanke refused to acknowledge these warning signs. They suggested that high debt and an overstimulated economy could indicate bumps ahead in other economies, but not in the United States. Greenspan, Bernanke, and their followers made the case for “an economic American exceptionalism,” but in the end, the United States was not entirely different from other countries in the world. Protesters rally in Minneapolis calling for accountability in the banking industry, the prosecution of bankers for the 2008 financial crisis, and relief for families and communities devastated by foreclosures. (credit: “Rally to demand accountability from the financial institutions and legal action against bankers” by Fibonacci Blue/Flickr, CC BY 2.0) A slowdown in economic activity opened up the doors for a financial crisis that deepened with massive capital flight. In the end, fiscal and current account deficits were indeed indications of a serious financial crisis ahead. When the Obama administration took office in January 2009, it followed Keynesian guidelines, taking significant steps to intervene in the economy, including bailing out major corporations, to lessen the impacts of the crisis. The American government did not have to act to secure an exchange rate, as most countries who go through such a crisis do, but it did act to reduce capital flight and stimulate investments. Domestic actors called for unemployment stabilization and eventual deficit reduction. The government’s ability to bail out big corporations through the disbursement of loans during the crisis indicates that there might indeed be some form of “American economic exceptionalism.” Perhaps no country other than the United States could have contradicted IMF prescriptions. The actions of the American government in response to the 2008 financial crisis were markedly different from the actions of other states. Greece provides a telling example. Greece has had to conform to fiscal policy austerity as prescribed by international institutions, while the US government has been able to take whatever course of action it chooses. Different governments have access to different actions during a financial crisis. The United States’ seemingly successful recovery implies that a government’s ability to respond to a financial crisis depends not only on domestic incentives but also on its power to pursue an expansionary economic policy in times when this action would not at all be recommended. Though more powerful countries can stand to take more risks than less powerful ones, only the United States, which is the world’s financial hegemon, Stone, “The Scope of IMF Conditionality”; Randall W. Stone, Controlling Institutions: International Organizations and the Global Economy (Cambridge, UK: Cambridge University Press, 2011). has the leeway to take this course of action. This exception takes one back to the establishment of the post–World War II international financial system where the United States had the most prominent role. Exchange Rate Regimes in a Globalized Economy As discussed above, the Bretton Woods monetary system established a gold standard under which governments kept gold in their treasuries to back the value of their currencies. In 1971, the gold standard was extinguished, and since then the value of national currencies has been based on trust, or their perceived value. Whenever an individual buys something, they believe that good or service is worth a portion of their money. The demand for goods produced in one country creates the demand for that country’s currency. As a result, exchange rates are established. An exchange rate is the price of a currency relative to another currency. A government can use several mechanisms to manipulate the value of its currency. By creating incentives to sell abroad and buy domestically, governments change the relative prices of their currencies. Such incentives can occur through trade (increased output, but especially innovation and productivity). In terms of monetary policy, the government can print money, or it can increase interest rates to curb consumption. A government can also manipulate the value of the currency by establishing changes in the exchange rate regime. Exchange Rates This short film discusses how currency values rise and fall and the reasons why a country would want to manipulate the value of its currency. While almost every economist would agree that a free trade policy is superior to imposing trade barriers, when it comes to exchange rates, there is no agreement on which policy is best. Governments can choose from among three main exchange rate regimes: a floating (flexible) exchange rate , a fixed (pegged) exchange rate , and a multilateral exchange rate . In a floating exchange rate regime, the supply and demand of a currency in the market determine its value. For example, when American consumers want to buy more Mexican products, the demand for Mexican pesos rises and, consequently, the price for pesos increases. Americans will spend more dollars to buy pesos. When Mexican consumers want to buy more American products, the demand for dollars increases, and the price of dollars also increases. Pesos become devaluated in relation to the dollar. In a floating exchange rate regime, the prices of currencies float naturally according to the pressures of supply and demand. Theoretically, in the long run there is an equilibrium among all the currencies in the market, and the balance of payments of every participating country is zero. A government may decide to fix the exchange rate regime. In such cases, no matter how supply and demand forces interact, exchange rates remain constant. No matter how much Americans demand Mexican agricultural products or vehicles, if the Mexican government maintains a fixed exchange rate, 1 peso will be equivalent to 2 dollars, for example. The mechanisms through which a government maintains a fixed exchange rate regime are market interventions, such as using reserves to correct the devaluation or appreciation of their currency, and fiscal and monetary policies, which refer to governments’ decisions about taxation and available credit in the economy. A government usually fixes an exchange rate to stimulate exports/reduce imports and avoid large deficits on the balance of payments . In a multilateral exchange rate regime, governments allow their currencies to fluctuate within margins. There is a floor (the lowest allowed value) and a ceiling (the highest allowed value), and whenever the currency reaches either the floor or the ceiling, the government intervenes using marketing interventions and fiscal and monetary policies to change the relative price of a currency. Each exchange rate regime has pros and cons. On the positive side, a fixed exchange rate regime stabilizes the flow of international trade since it promotes predictability and offers an anchor for macroeconomic policies. However, a fixed exchange rate regime may result in losses in either output or employment, depending on the country’s position as an importer or exporter. Under a fixed exchange rate regime, politicians lack the ability to manipulate monetary policy for electoral or partisan reasons. William Bernhard and David Leblang, “Democratic Institutions and Exchange-Rate Commitments,” International Organization 53, no. 1 (1999): 71–97, https://doi.org/10.1162/002081899550814. Meanwhile, a floating exchange rate regime can be unpredictable and may not help to stabilize the flow of trade, but it allows for the political manipulation of the currency. A politicians’ incentives to manipulate a currency may conflict with what is best for the economy or with societal preferences. For example, prior to an election a politician may promise not to fix the exchange rate regime. Although fixed exchange rates bring stabilization, they tie the government’s hands when it comes to the manipulation of the currency. Exchange rates are more likely to be fixed in the aftermath of elections. When politics and the economy interact, how interest rates should be balanced is unclear. Therefore, an independent central bank, or a central bank with the power to define monetary policies without government influence, may be a good option to promote an exchange rate regime and monetary policies more connected to an economic agenda and less responsive to electoral politics. The movement toward globalization and trade liberalization since the 1990s has resulted in a tremendous increase in capital mobility , the ability to move capital from one country to another, and shifted much of domestic politics toward floating exchange rate regimes. Movements in exchange rate regimes affect the return on investments, and investors exert pressure on governments to adjust rates in ways that benefit them. In the short term, the shift to capital mobility and financial integration (the process that connects financial markets all over the world) favors capitalists with mobile assets, such as investors, and disfavors those not so mobile, such as manufacturing or farming. In the long run, this trend tends to favor the mobile capital owners over workers. It is hard for economists to agree on an optimal exchange rate regime because socioeconomic issues and electoral politics influence which regime is best for a given country. In order to avoid some of these questions, many countries have independent central banks that are more tuned to socioeconomic aspects and less immersed in party politics. The end of the Cold War opened new doors for IPE. Over the last four decades, numerous developments, such as intensifying globalization, trade liberalization, international migration, poverty reduction, growing inequality, and climate change, embedded in an unprecedented wave of technology development, have profoundly altered what IPE examines and how it does it. Three key issue areas have risen to prominence in contemporary IPE: globalization and international trade, international finance and crises, and exchange rate regimes. capital flight the large-scale exit of money from a country as a result of market uncertainty, decreased investments, unemployment, and economic contraction capital mobility the ability investors have to move capital from one country to another exchange rate the price of a currency against the value of another currency, basket of currencies, or gold financial integration the process that connects financial markets all over the world fixed (pegged) exchange rate situation in which the value of a currency is fixed against the value of another currency, basket of currencies, or gold floating (flexible) exchange rate situation in which the supply and demand of a currency in the market determine its value gross domestic product (GDP) sum of everything produced in a country in a given period multilateral exchange rate exchange rate regime in which governments allow their currencies to fluctuate within margins", "section": "From the 1990s to the 2020s: Current Issues in IPE", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Considering Poverty, Inequality, and the Environmental Crisis Learning Outcomes By the end of this section, you will be able to: Explain the origins of poverty, inequality, and the environmental crisis. Discuss prominent criticisms of liberal economic theories and the market economy. As the David P. Levine quotes included in the above discussion of the advent of the liberal economy suggest, the market economy has provided its members with great opportunities but has also confronted them with great dangers. The advent of liberalism brought the possibility of creating wealth and the continuous development of market economies, which culminated in unprecedented levels of globalization and trade liberalization since the 1990s. Innovation and scientific and technological developments are intrinsically associated with the incentives the liberal market provides. In other words, as people like Microsoft cofounder Bill Gates and cofounder of Apple Steve Jobs put their minds to work, they create amazing things that can be produced on a large scale for the consumption of billions of people around the world. People like Gates and Jobs are rewarded with wealth, and this possibility fuels entrepreneurs across the globe and propels them to create, find solutions to difficult problems, and transform how people live their lives. However, dangers associated with capitalism, like poverty, inequality, and environmental crises, are the other side of the coin. Many authors argue that these dangers are inescapable consequences of capitalism. Poverty and Inequality Like Levine, several scholars have suggested that poverty is an inescapable feature of capitalism , or the market economy. Recall that, with the advent of the market economy , it became possible to create wealth. Ideas that circulated during the Enlightenment, such as laissez-faire economics, an emphasis on individual freedom, and the protection of property rights by a limited government, promoted wealth creation and capital accumulation. At the same time, these ideas have exacerbated poverty and inequality. Under other economic systems, such as mercantilism , wealth was fixed, and monarchs and the aristocracy lived lavish lives, while the rest of the population lived frugal lives. As there was no trade among countries, there was not much to consume. People ate what they planted or raised, wore what they sewed, and when things went well, they could barter some excess with their neighbors. As they were all in the same boat, everyone had similar living conditions, and there was no striking inequality. Only a tiny portion of the population, the royals, lived differently. The Enlightenment brought profound changes, from the advent of markets to urbanization and a new relationship with private property, including land. At the same time that the market economy was being developed during the Enlightenment period, the Industrial Revolution made it possible to produce goods for mass consumption. Turning Points in History - Industrial Revolution The industrial revolution made a myriad of products affordable for large numbers of people. A new social class emerged: the middle class . While those people in the middle class were able to consume much more than before, many people were relegated to a condition of poverty, where they did not participate in the markets or had no plot of land to subsist on. Those who were poor had no means by which to fulfill their basic needs for water, food, and shelter. This condition was different from the destitute condition of the mercantilist period, when people had at least their basic needs met. Several authors argue that the same mechanism that produces wealth and innovation also creates poverty, inequality, and environmental crises. In other words, poverty, inequality, and environmental crises are understood as unwanted consequences of the market economy. While the industrial process creates affordable goods for mass consumption, it has had unwanted consequences. For example, those who had been displaced from the land where they used to live started to sell their labor in exchange for a wage. Note that there were no wages during mercantilism; the relationship with work was completely different, and the landlord took care of the families that lived on his land. The British television series Downton Abbey , set in the early 20th century, illustrates the change from a world where the landlord was responsible for caring for the families that lived on their land to a world where individuals were free and thus responsible for the care of themselves and their families. Note, however, that the changes illustrated in the show had been going on for almost a century. The concept of wages creates a serious tension within the market economy: in order for workers to be able to satisfy the basic needs of their families, wages should be as high as possible. On the other hand, in order to keep production costs down and guarantee the profit of the capital owner, wages should be as low as possible. This relationship between labor, wages, basic needs, and unemployment creates poverty. Most sell their labor in exchange for a wage that should allow the worker to provide for themselves and their family. If the labor is not specialized, the pool of people capable of working the job is large. If there are more individuals willing to sell their labor than actual demand for that type of labor, wages are lower and there is unemployment. The supply of capable workers exceeds the demand for workers with those skills. If, as a consequence of low wages or unemployment, a worker is unable to provide themselves and their families with basic goods, they are considered poor. In the United States, individuals who are unemployed may submit claims for unemployment benefits; however, these benefits are often not enough on their own to support a family. Abinash Mohanty, “Despite Unemployment Insurance, Many Households Struggle to Meet Basic Needs,” US Census Bureau, March 9, 2021, https://www.census.gov/library/stories/2021/03/despite-unemployment-insurance-many-households-struggle-to-meet-basic-needs.html (credit: “Unemployment Office” by Burt Lum/Flickr, CC BY 2.0) The generalized suffering among the poor during the Industrial Revolution prompted several political philosophers to search for answers to solve the problems of growing poverty and inequality. At the beginning of the 19th century, these political philosophers proposed a variety of responses to the challenge. Although each of their proposals had singular characteristics, each involved the social ownership of the means of production , or the control of farms, factories, and business offices by the people. Thus, these political philosophers became known as socialists. Socialist thinkers proposed forms of societal organization that upset the foundations of the market economy. There was a general belief among socialists that this economic system could not satisfactorily address the problem of inequality of property or wealth, and thus they proposed not only the social ownership of the means of production but also a stronger government to coordinate and redistribute wealth in society. These ideas are in striking opposition with the classical liberalism advanced by Adam Smith , which promoted a laissez-faire economy, a free market with minimal government intervention. Though many people associate socialist thinker Karl Marx with socialism or communism, the majority of his work concerns the market economy. Marx contended that, in order to end the exploitation of the proletariat The proletariat is the industrial working class. Marx is also discussed in other chapters, notably in Chapter 3. by the owners of the means of production, workers should unite and rebel against the capitalists. While society prepared for the advent of communism , Communism is an economic system in which the means of production would be owned and operated for the benefit of every individual in a society. a dictatorship of the proletariat—a socialist state—should govern. Several countries underwent socialist revolutions in an attempt to implement socialist ideals at the expense of the market economy, individual freedoms, and property rights protected by a limited government. Unlike socialist thinkers, some contend that poverty and inequality can be overcome from within the capitalist system. One of the most renowned proponents of overcoming poverty through technology development and investments, Jeffrey Sachs , authored The End of Poverty , published in 2005, which heavily influenced the global fight to overcome poverty. In the book’s foreword, music celebrity and philanthropist Paul David Hewsen, better known as Bono , writes: “We are the first generation who can . . . unknot the whole tangle of bad trade, bad debt, and bad luck. The first generation that can end a corrupt relationship between the powerful and the weaker parts of the world which has been so wrong for so long.” Jeffrey D. Sachs, “Foreword,” in The End of Poverty: Economic Possibilities for Our Time , ed. Bono Vox (New York: Penguin Press, 2005), XVII. In the book, Sachs contends that “our generation is heir to two and a half centuries of economic progress.” Sachs, “Foreword,” 347. That is, since the Industrial Revolution and the Enlightenment in Europe, economic and technological developments have made it possible to meet basic human needs globally. Given this opportunity, in order to end extreme poverty, Sachs calls for a commitment to embrace the Millennium Development Goals : raising the voices of the impoverished, redeeming the role of the United States in the world, adapting the roles of the IMF and the World Bank, strengthening the United Nations, and promoting science and sustainable development. Sachs, “Foreword,” 365–67. Sachs hoped that, by committing to these goals, the world could eliminate poverty by 2015. Sachs’s standpoint represents a moral commitment to end poverty within the capitalist system. Poverty did not end by 2015, but the world has made progress toward the goal. Globalization and trade liberalization have increased since the 1990s, and both developed and developing countries have taken part in the process. Developing countries’ gains as a result of trade liberalization since the 1990s are in the billions of dollars added to GDP growth. Soto, Capital Flows . Economic integration has pulled billions of people out of poverty and increased their quality of life. The global poverty rate, defined as the percentage of people living at USD 1.90 a day or below, decreased from about 35 percent in 1990 to about 10 percent in 2017. Over the same time period, the number of people living at the global poverty rate has also consistently decreased, from nearly 2 billion to close to 689 million. World Bank, ed., Poverty and Shared Prosperity 2020: Reversals of Fortune (Washington, DC: World Bank, 2020). However, climate change , the COVID-19 pandemic, and other challenges threaten efforts to eradicate poverty. These threats jeopardize the attainment of the World Bank’s goal of bringing global extreme poverty to less than 3 percent by 2030. Global economic growth was predicted to decrease by 5.2 percent in 2020, the largest drop in 80 years. More importantly, the severity of the world situation in the face of the pandemic has the potential to erase the gains of years of poverty eradication efforts. While COVID-19 triggered the trend reversal, its effects have been intensified by armed conflict in some countries and the growing impact of climate change worldwide. World Bank, Poverty . The pandemic-induced economic slowdown may have a lasting impact on international investment levels, remittances, and the labor force skills and overall health of millions of people who are now unemployed, as well as on learning outcomes (affected by school closures and the adaptation of educational practices, such as online courses) and supply chains. World Bank, ed., Human Capital Index 2020 Update: Human Capital in the Time of Covid-19 (Washington, DC: World Bank, 2021). World leaders, governments, international institutions such as the World Bank, celebrities, NGOs, and private individuals are fighting to prevent COVID-19 and its consequences from reversing efforts to eradicate poverty. United Nations, “Financing for the Development in the Era of COVID-19 and Beyond Initiative (FFDI),” https://www.un.org/en/coronavirus/financing-development; World Bank, “Reversing Setbacks to Poverty Reduction Requires Nations to Work Together for a Resilient Recovery,” November 9, 2020, https://www.worldbank.org/en/news/immersive-story/2020/11/09/reversing-setbacks-to-poverty-reduction-requires-nations-to-work-together-for-a-resilient-recovery The Environmental Crisis In the contemporary economy, almost any imagined good can be produced for mass consumption. These goods are frequently manufactured, processed, or assembled in distant countries using parts from several other countries, and once ready, they are shipped to stores around the world. This production process uses raw materials, labor (often cheap labor in developing countries), and energy, including the energy used for transportation. While this process creates affordable goods for mass consumption, it has undesirable consequences. In addition to contributing to poverty and inequality, this system also does harm to the environment. As factories burn fossil fuel to generate energy and power machinery, greenhouse gases (GHG) are emitted into the atmosphere. The Intergovernmental Panel on Climate Change (IPCC) considers the cumulative release of GHG since the Industrial Revolution to be the main cause of climate change. Intergovernmental Panel on Climate Change, Climate Change and Land , 2019, https://www.ipcc.ch/srccl/. In short, the environmental crisis is another unintended negative consequence of the market economy. Literature on the possible ways to deal with the environmental crisis can be divided into two broad currents of thought. Some scholars propose that, in order to overcome the crisis, society must alter the mechanisms that generate it, and since the crisis is caused by the unwanted consequences of industrial production, these scholars argue for degrowth , a decrease in economic production and consumption levels. That is, to these scholars, slowing down industrial production and facing economic degrowth is the only way forward if the world hopes to counteract climate change. Giacomo D’Alisa, Federico Demaria, and Giorgos Kallis, eds. Degrowth: A Vocabulary for a New Era (New York: Routledge, 2014), https://doi.org/10.4324/9780203796146; Armin Grunwald, “Diverging Pathways to Overcoming the Environmental Crisis: A Critique of Eco-Modernism from a Technology Assessment Perspective,” Journal of Cleaner Production 197 (October 2018): 1854–62, https://doi.org/10.1016/j.jclepro.2016.07.212; Stephen James Purdey, Economic Growth, the Environment and International Relations: The Growth Paradigm , Routledge Advances in International Political Economy 17 (London & New York: Routledge, 2010). Degrowth? Is It Time to Live Better with Less? Advocates of degrowth say it is time to embrace a model that prioritizes social and ecological well-being over accumulation and consumption. Another group of scholars claims that the mechanisms that generate the crisis may be altered through sustainable development . These scholars argue that it is possible to combine economic growth and environmental quality as long as the production process is improved through innovation, technology development, and regulatory intervention. The UN, the EU, and many governments support this argument. The prevalent idea is that as countries increase production efficiency through the development of green technology, global society may overcome the environmental crisis. Antonio Guterrez, “Secretary-General’s Remarks on Climate Change [as Delivered],” United Nations, September 10, 2018, https://www.un.org/sg/en/content/sg/statement/2018-09-10/secretary-generals-remarks-climate-change-delivered; Michael E. Porter, “America’s Green Strategy,” Scientific American 264, no. 4 (April 1991): 168; Michael E. Porter and Claas van der Linde, “Toward a New Conception of the Environment-Competitiveness Relationship,” Journal of Economic Perspectives 9, no. 4 (Fall 1995): 97–118, https://doi.org/10.1257/jep.9.4.97; David Vogel, “Trading Up and Governing Across: Transnational Governance and Environmental Protection,” Journal of European Public Policy 4, no. 4 (December 1, 1997): 556–71, https://doi.org/10.1080/135017697344064; David Vogel, Trading Up: Consumer and Environmental Regulation in a Global Economy (Cambridge, MA: Harvard University Press, 1997). For a long time, the unwanted consequences of industrial production have been largely neglected. This is due in part to skepticism about climate change, Peter J. Jacques and Claire Connolly Knox, “Hurricanes and Hegemony: A Qualitative Analysis of Micro-Level Climate Change Denial Discourses,” Environmental Politics 25, no. 5 (2016): 831–52, https://doi.org/10.1080/09644016.2016.1189233; Stephan Lewandowsky, Naomi Oreskes, James S. Risbey, Ben R. Newell, and Michael Smithson, “Seepage: Climate Change Denial and Its Effect on the Scientific Community,” Global Environmental Change 33 (July 2015): 1–13, https://doi.org/10.1016/j.gloenvcha.2015.02.013; Brigitte Smith, “Ethics of Du Pont’s CFC Strategy 1975–1995,” Journal of Business Ethics 17, no. 5 (April 1, 1998): 557–68. but mostly to the costs associated with addressing them. In economic terms, the level of industrial output in a market is determined by supply and demand . Factories produce goods to meet the needs and wants of consumers. Traditionally, factories have incorporated the private costs of production into their prices. These costs include, for example, raw materials, labor, rent, utilities, and depreciation. However, these factories have not typically included the social costs of production into their prices. The social costs of production include costs related to social and environmental requirements, such as occupational injuries; deforestation; air, water, and land pollution; acid rain; and GHG emissions. Because environmental costs have not been incorporated into the price of goods, they have been split across many individuals. Commonly, it is not consumers who bear the burden of a product’s highest environmental costs. For example, the Texas Gulf Coast is home to six oil refineries. Oil refined at these plants fuels the vehicles of millions of consumers across America. In addition to refining oil, these refineries are the country’s largest polluters of benzene, a chemical compound known to cause various forms of cancer. Individuals who live in the vicinity of these plants and breathe the benzene-polluted air pay some high costs. They are more likely to develop forms of cancer associated with exposure to benzene than individuals that live further away from the plants. Christopher Collins, “Six Texas Oil Refineries Are Among the Nation’s Worst Benzene Polluters, Data Shows,” The Texas Observer , February 6, 2020, 2, https://www.texasobserver.org/benzene-oil-refineries-texas-coast/. So, the individuals who live near these refineries pay the highest environmental costs, while the benefits of cheap gas are spread among millions of American consumers. If the environmental costs of production were included in the price of gas, it would be much more expensive. When only the private costs of production are added to a good’s price, the market reaches one price; however, the inclusion of social and environmental costs shifts this price. The difference between price one, which does not consider social costs, and price two, which adds them to the final price, demonstrates the unwanted consequences of production, commonly referred to as environmental externalities. As fewer consumers are willing to pay the full price for a product, sales of the product decrease. As sales decrease, production levels also decrease. Consistently lower sales and reduced production levels tend to generate unemployment. Carvalho, “Environmental Policies.” To mitigate and adapt to the consequences of the environmental crisis, the UN has promoted Sustainable Development Goals . United Nations, The 2030 Agenda for Sustainable Development , 2015, https://sustainabledevelopment.un.org/content/documents/21252030%20Agenda%20for%20Sustainable%20Development%20web.pdf. The European Union (EU) has worked to develop a stringent body of environmental policies since the late 1980s, Elena V. McLean and Randall W. Stone, “The Kyoto Protocol: Two-Level Bargaining and European Integration,” International Studies Quarterly 56, no. 1 (March 2012): 99–113, https://doi.org/10.1111/j.1468-2478.2011.00706.x. and Korea and Japan have adopted similar policies. OECD, Compact City Policies: Korea: Towards Sustainable and Inclusive Growth , OECD Green Growth Studies (OECD, 2014), https://doi.org/10.1787/9789264225503-en. The United States took some relevant steps toward sustainable development during the Obama administration (2008–2016), scaled back those efforts during the Trump years Emilia Barreto Carvalho, “Do Environmental Policies Enhance Environmental Quality?: An Examination of Policy Instruments and Outcomes,” in Environmental Philosophy, Politics, and Policy , ed. John A. Duerk (Lanham: Lexington Books, 2021), 205-20. (2016–2020), and has resumed efforts to meet sustainable development goals under Biden . (2020–present). Many authors argue that poverty, inequality, and environmental crises are inescapable consequences of capitalism. The argument is that the same mechanism that produces wealth and innovation also creates poverty, inequality, and environmental crises. The generalized suffering among the poor during the Industrial Revolution prompted several political philosophers, who became known as socialists, to search for answers to solve the problems of growing poverty and inequality. Socialist thinkers proposed forms of societal organization that upset the foundations of the market economy. The process that creates affordable goods for mass consumption has undesirable consequences: it contributes to poverty and inequality and harms the environment. Some scholars propose that society must alter the mechanisms that generate the environmental crises, and since the crisis is caused by the unwanted consequences of industrial production, these scholars argue for degrowth. Another group of scholars claims that the mechanisms that generate the crisis may be altered through sustainable development. These scholars argue that it is possible to combine economic growth and environmental quality as long as the production process is improved through innovation, technology development, and regulatory intervention. Suggested Readings Blaney, David L., and Naeem Inayatullah. Savage Economics: Wealth, Poverty, and the Temporal Walls of Capitalism , RIPE Series in Global Political Economy. London & New York: Routledge, 2010. Brawley, Mark R. Turning Points: Decisions Shaping the Evolution of the International Political Economy. Peterborough, Ontario & Orchard Park, NY: Broadview Press, 1998. Lake, David A. International Political Economy: A Maturing Discipline , Vol. 1, edited by Donald A. Wittman and Barry R. Weingast. Oxford, UK: Oxford University Press, 2009. https://doi.org/10.1093/oxfordhb/9780199548477.003.0042 Levine, David P. Wealth and Freedom: An Introduction to Political Economy . Cambridge, UK: Cambridge University Press, 1995. McGillivray, Fiona. Privileging Industry: The Comparative Politics of Trade and Industrial Policy . Princeton, NJ: Princeton University Press, 2004. Oatley, Thomas H. International Political Economy . 6th ed. New York & London: Routledge, 2018. degrowth a decrease in economic production and consumption levels", "section": "Considering Poverty, Inequality, and the Environmental Crisis", "book": "Introduction to Political Science", "subject": "Social Sciences", "source": "https://openstax.org/details/books/introduction-political-science"}
{"text": "Przedmowa Podręcznik Makroekonomia – podstawy powstał po to, by bezpłatnie udostępnić studentom materiały dydaktyczne spełniające najwyższe standardy akademickie. Jest adaptacją podręcznika Principles of Macroeconomics 3e stworzonego przez OpenStax, fundację non-profit działającą przy Rice University w Stanach Zjednoczonych. Został wydany w 2023 roku przez OpenStax Polska, fundację non-profit z siedzibą w Warszawie. O podręczniku Makroekonomia – podstawy Wierzymy, że przyszłość edukacji to swobodny i wygodny dostęp do najlepszych treści, równy dla wszystkich. Fundacja OpenStax Poland wspólnie z fundacją OpenStax realizują tę misję, tworząc wysokiej jakości podręczniki i udostępniając je studentom i wykładowcom. W ramach projektu opublikowano w języku polskim trzytomowy podręcznik Fizyka dla szkół wyższych (2018), jednotomową Psychologię (2020) oraz Mikroekonomię – podstawy . Makroekonomia – podstawy to polska adaptacja podręcznika Principles of Macroeconomics 3e wydanego przez OpenStax. Dzięki modyfikacjom wprowadzonym przez polski zespół redakcyjny jest to jeden z najbardziej aktualnych podręczników do makroekonomii na polskim rynku. Publikacja przygotowana została przez OpenStax Poland we współpracy z wykładowcami: Szkoły Głównej Handlowej w Warszawie, Uniwersytetu Gdańskiego, Uniwersytetu Ekonomicznego w Poznaniu, Uniwersytetu Ekonomicznego we Wrocławiu, Uniwersytetu Ekonomicznego w Katowicach, Uniwersytetu Łódzkiego, Katolickiego Uniwersytetu Lubelskiego, Akademii Leona Koźmińskiego, Uniwersytetu Jagiellońskiego oraz Uniwersytetu Warszawskiego. Publikacja jest odpowiedzią na rosnące zapotrzebowanie na treści mające wysokie walory dydaktyczne, a zarazem atrakcyjne dla współczesnych studentów i dostępne online bez żadnych opłat. Podręcznik został wydany na otwartej licencji Creative Commons Uznanie autorstwa 4.0 Międzynarodowe (CC BY 4.0). Gwarantuje ona całkowicie bezpłatne użytkowanie i niemal nieograniczone możliwości korzystania z publikacji: wolny dostęp, swobodne pobieranie i przekazywanie pliku PDF oraz legalne modyfikowanie kopii – zarówno tekstu, jak i ilustracji. Jeśli więc zamierzacie Państwo wykorzystać fragmenty publikacji np. do przygotowania własnych materiałów dydaktycznych, nie ma ku temu żadnych przeszkód prawnych ani technicznych. Jedynym warunkiem jest powołanie się na źródło: Makroekonomia – podstawy , OpenStax Poland, 2023, www.openstax.pl. Podręcznik jest dostępny w wersji cyfrowej (online oraz w pliku PDF) na stronie www.openstax.pl. Podziękowania W pracę nad polskim wydaniem podręcznika zaangażowanych było 13 dydaktyków akademickich, korekta oraz redaktor językowy. Składamy serdeczne podziękowania wszystkim, którzy brali udział w tworzeniu tego otwartego podręcznika. W szczególności chcielibyśmy wyróżnić współpracowników, których udział był szczególnie znaczący. Są to: dr Piotr Maszczyk, Szkoła Główna Handlowa w Warszawie dr Bożena Horbaczewska, Szkoła Główna Handlowa w Warszawie dr Krystian Jaworski, Szkoła Główna Handlowa w Warszawie prof. dr hab. Mariusz Próchniak, Szkoła Główna Handlowa w Warszawie Adaptacja podręcznika została sfinansowana z grantu przekazanego przez White Star Education Foundation. Serdecznie dziękujemy. Modyfikacje względem podręcznika Principles of Macroeconomics 3e Podręcznik Makroekonomia – podstawy , podobnie jak Principles of Macroeconomics 3e , przeznaczony jest do trwających jeden semestr zajęć z podstaw makroekonomii. Treść dopasowano pod względem zakresu i układu do praktyki dydaktycznej większości uczelni prowadzących takie zajęcia. Niniejsza publikacja pomoże studentom poznać najważniejsze zagadnienia z dziedziny makroekonomii. Publikacja została dostosowana do standardów nauczania przedmiotu na polskich uczelniach. Polskie wydanie jest zaadaptowane kulturowo. Ponadto, ze względu na różnorodność terminologii z zakresu makroekonomii obowiązującej na polskich uczelniach, we współpracy z dydaktykami z wymienionych wyżej dziewięciu uczelni wprowadziliśmy synonimy terminów w sekcji Kluczowe pojęcia na końcu każdego rozdziału. Zabieg ten sprawia, że podręcznik jest uniwersalny i odnajdzie się w nim student każdej uczelni w Polsce. Dla jasności przekazu i wygody studentów w obecnym wydaniu nie zostały natomiast uwzględnione te zagadnienia z Principles of Macroeconomics 3e, które na polskich uczelniach zwyczajowo są prowadzone na kursie mikroekonomii. Te treści znajdziesz w publikacji Mikroekonomia – podstawy. Zakres materiału Zakres wiedzy prezentowanej w podręczniku Makroekonomia – podstawy został dopasowany do typowych zajęć akademickich z makroekonomii ogólnej prowadzonych przez jeden semestr. Naszym celem było zaprezentowanie makroekonomii jako dziedziny ciekawej i przystępnej, a poruszane zagadnienia staraliśmy się obrazować życiowymi przykładami. Publikacja zawiera następujące rozdziały: Rozdział 1. Wstęp do makroekonomii Rozdział 2. Wzrost gospodarczy Rozdział 3. Bezrobocie Rozdział 4. Inflacja Rozdział 5. Handel zagraniczny i przepływy kapitałowe Rozdział 6. Makroekonomiczne krzywe popytu i podaży Rozdział 7. Model keynesowski Rozdział 8. Model neoklasyczny Rozdział 9. Pieniądz i system bankowy Rozdział 10. Bank centralny i polityka monetarna Rozdział 11. Bilans płatniczy i kursy walutowe Rozdział 12. Polityka fiskalna Rozdział 13. Wpływ polityki fiskalnej na gospodarkę Rozdział 14. Ekonomia rozwoju - zróżnicowanie polityki ekonomicznej na świecie Rozdział 15. Teoria handlu międzynarodowego Rozdział 16. Globalizacja i protekcjonizm Funkcje dydaktyczne Struktura podręcznika została przygotowana w sposób mający zachęcić czytelnika do aktywnego przetwarzania wiedzy. Każdy rozdział zawiera dodatkowe informacje przedstawione w czterech typach ramek: Do przemyślenia. Krótka analiza przypadku. Przedstawione w niej odniesienia do rzeczywistych zdarzeń pozwalają pokazać praktyczne zastosowanie wiedzy prezentowanej w rozdziale. Treść analizy przypadku jest rozbita na dwa elementy: na początku i na końcu każdego rozdziału. Pierwsza część wprowadza czytelnika do omawianego zagadnienia, a druga jest podsumowaniem analizy przypadku z wykorzystaniem wiedzy przedstawionej w rozdziale. Krok po kroku. Prowadzi czytelnika krok po kroku przez kolejne etapy rozwiązywania konkretnego problemu analitycznego albo obliczeniowego. Poznaj szczegóły. Mierzy się z popularnymi wśród studentów nieporozumieniami związanymi z wprowadzanym tematem. Zazwyczaj treść ramki jest pogłębieniem zagadnień z głównego tekstu. Sięgnij po więcej. Prowadzi do źródeł zewnętrznych, takich jak popularne artykuły prasowe i materiały wideo, które mają nadać omawianemu zagadnieniu ciekawy kontekst i osadzić problem w realiach. Efektywne uczenie się i weryfikacja wiedzy Na końcu każdego rozdziału zamieszczone są zagadnienia do samodzielnej pracy. Pytania sprawdzające. Ćwiczenia mające ułatwić samodzielne sprawdzenie wiedzy i motywujące studenta do rozważań wykraczających poza zagadnienia wprowadzone w rozdziale. Rozwiązania do zadań znajdują się w osobnej sekcji na końcu książki. Sprawdź wiedzę. Nieskomplikowane pytania otwarte z wiedzy zawartej w rozdziale. Ćwicz myślenie krytyczne. Pytania koncepcyjne, w których czytelnik może sprawdzić rozumienie zagadnienia, stosując pozyskaną wiedzę w różnych kontekstach. Wymagają pogłębionej analizy, mają sprowokować do nieszablonowych rozważań. Problemy. Zadania dodatkowo sprawdzające wiedzę i umiejętności analityczne i obliczeniowe dotyczące wprowadzanych w rozdziale zagadnień. Zasoby dla studentów i wykładowców Na stronie OpenStax.org można znaleźć materiały dodatkowe w języku angielskim, przeznaczone zarówno dla studentów, jak i wykładowców — między innymi przewodniki użytkownika, slajdy dla prowadzących zajęcia i studentów. Aby uzyskać dostęp do materiałów dla wykładowców, należy posiadać zweryfikowane konto wykładowcy, o które można poprosić przy logowaniu na OpenStax.org. Zasoby te są dopasowane do podręcznika Principles of Macroeconomics 3e . Format Podręcznik jest dostępny za darmo online oraz w dokumencie PDF za pośrednictwem strony OpenStax.pl. Zgłaszanie błędów Wszystkie podręczniki OpenStax Poland przechodzą rygorystyczny proces recenzji. Mimo to niektóre błędy mogły zostać przeoczone, co zdarza się w każdej profesjonalnej publikacji. Nasze książki są cyfrowe, dlatego możemy je uaktualniać, gdy zachodzi taka potrzeba. By zaproponować poprawkę, prosimy skorzystać z odnośnika na stronach podręcznika na OpenStax.pl oraz OpenStax.org. Zgłoszone poprawki są analizowane przez ekspertów i wprowadzane do publikacji przez zespół redakcyjny. Twórcy podręcznika Autorzy David Shapiro, Pennsylvania State University , profesor emerytowany na Wydziale Ekonomii, Demografii oraz Studiów nad Tematyką Kobiecości, Gender i Seksualności na University of Michigan . Obronił licencjat z Nauk politycznych i ekonomicznych na University of Michigan oraz dyplom i doktorat Nauk Ekonomicznych na Princeton University. Karierę akademicką rozpoczął w 1971 r. na Ohio State University , gdzie zajmował się badaniami kobiet i młodzieży na rynku pracy w USA. W latach 1978–1979 jako stypendysta Fulbrighta na Uniwersytecie w Kinszasie w Demokratycznej Republice Konga prowadził badania nad edukacją, zatrudnieniem i zachowaniami reprodukcyjnymi kobiet w Kinszasie, a później poszerzył zakres badań na cały region subsaharyjski. Shapiro zdobył najwyższe nagrody dla dydaktyków zarówno w Ohio State jak i Penn State . Daniel MacDonald, California State University, San Bernardino , jest profesorem i kierownikiem Wydziału Ekonomii na California State University w San Bernardino. W 2013 r. obronił doktorat na University of Massachusetts Amherst . MacDonald prowadzi badania w dziedzinie ekonomii pracy, polityki publicznej (mieszkalnictwa) i historii doradztwa ekonomicznego w USA. Jest także autorem tygodnika Inland Empire Economic Update . Steven A. Greenlaw, University of Mary Washington Steven Greenlaw wykłada podstawy ekonomii od ponad 30 lat. w 1999 r. działalność dydaktyczna Greenlawa została wyróżniona przez jego macierzystą uczelnię nagrodą Grelleta C. Simpsona za Doskonałość w Nauczaniu Akademickim . Jest autorem Doing Economics: A Guide to Doing and Understanding Economic Research (Jak robić ekonomię: przewodnik po prowadzeniu badań) oraz artykułów o dydaktyce ekonomii m.in. w Journal of Economic Education , International Review of Economic Education . Greenlaw napisał także moduł Quantitative Writing for Starting Point: Teaching and Learning Economics opublikowany w portalu poświęconym najlepszym praktykom nauczania ekonomii. Mieszka w Alexandrii w stanie Wirginia w USA, razem z żoną Kathy mają troje dzieci. Redakcja naukowa polskiego wydania: dr Piotr Maszczyk, prodziekan Studium Magisterskiego Szkoły Głównej Handlowej w Warszawie oraz kierownik Zakładu Makroekonomii i Ekonomii Sektora Publicznego w Kolegium Gospodarki Światowej. Autor i współautor blisko 50 artykułów i opracowań naukowych z obszarów teorii ekonomii, ekonomii instytucjonalnej i transformacji ustrojowej w Europie Środkowej i Wschodniej, a także licznych ekspertyz. Posiada ponaddwudziestoletnie doświadczenie dydaktyczne na studiach licencjackich, magisterskich, doktorskich i podyplomowych, potwierdzone licznymi nagrodami przyznanymi zarówno przez JM Rektora SGH, jak i samych studentów, o czym świadczy dwukrotne wyróżnienie studencką nagrodą Inspiracja Roku. Maszczyk jest także laureatem Nagrody Ministra Nauki i Edukacji. Pracował także w Ministerstwie Finansów i Ministerstwie Rozwoju Regionalnego w randze radcy ministra. Jest stałym komentatorem ekonomicznym radia Tok FM i RdC. Tłumaczenia: dr Bożena Horbaczewska, Szkoła Główna Handlowa w Warszawie (rozdziały: Wzrost gospodarczy, Bezrobocie, Inflacja, Handel zagraniczny i przepływy kapitałowe, Pieniądz i system bankowy, Bank centralny i polityka monetarna, Dodatek Model dochodowo-wydatkowy); dr Krystian Jaworski, Szkoła Główna Handlowa w Warszawie (rozdziały: Ekonomia rozwoju - zróżnicowanie polityki ekonomicznej na świecie, Teoria handlu międzynarodowego, Globalizacja i protekcjonizm; prof. dr hab. Mariusz Próchniak, Szkoła Główna Handlowa w Warszawie (rozdziały: Wstęp do makroekonomii, Makroekonomiczne krzywe popytu i podaży, Model keynesowski, Model neoklasyczny, Bilans płatniczy i kursy walutowe, Polityka fiskalna, Wpływ polityki fiskalnej na gospodarkę, Dodatek Matematyka zastosowana w tym podręczniku). Recenzje naukowe polskiego wydania: dr hab. Rafał Wisła, prof. Uniwersytetu Jagiellońskiego, prof. dr hab. Krzysztof Malaga, Uniwersytet Ekonomiczny w Poznaniu, dr hab. Dominika Bochańczyk-Kupka, prof. Uniwersytetu Ekonomicznego w Katowicach, dr Magdalena Stawicka, Uniwersytet Ekonomiczny we Wrocławiu, dr hab. Wojciech Bizon, prof. Uniwersytetu Gdańskiego, dr hab. Piotr Krajewski, prof. Uniwersytetu Łódzkiego, dr hab. Jacek Tomkiewicz, prof. Akademii Leona Koźmińskiego, dr hab. Bartosz Jóźwik, prof. Katolickiego Uniwersytetu Lubelskiego, dr hab. Jan Hagemejer, prof. Uniwersytetu Warszawskiego. Redakcja językowa: Sławomir Borkowski Korekta językowa: Marta Jakubowska, Słowa na warsztat agencja językowa Okładka i ilustracje: M. Sztuka Wsparcie redakcji: M. Sztuka Zespół redakcyjny Principles of Macroeconomics 3e Prowadzenie redakcji: Thomas Sigel Współautorstwo: Eric Dodge, Hanover College; Cynthia Gamez, University of Texas at El Paso; Andres Jauregui, Columbus State University; Diane Keenan, Cerritos College; Dan MacDonald, California State University, San Bernardino; Amyaz Moledina, The College of Wooster; Craig Richardson, Winston-Salem State University; Ralph Sonenshine, American University Recenzje naukowe: Bryan Aguiar, Northwest Arkansas Community College; Basil Al Hashimi, Mesa Community College; Jennifer Ball, Washburn University; Emil Berendt, Mount St. Mary's University; Zena Buser, Adams State University; Douglas Campbell, The University of Memphis; Sanjukta Chaudhuri, University of Wisconsin-Eau; Claire Xueyu Cheng, Alabama State University; Robert Cunningham, Alma College; Rosa Lea Danielson, College of DuPage; Steven Deloach, Elon University; Debbie Evercloud, University of Colorado Denver; Sal Figueras, Hudson County Community College; Reza Ghorashi, Stockton University; Robert Gillette, University of Kentucky; George Jones, University of Wisconsin-Rock County; Charles Kroncke, College of Mount St. Joseph; Teresa Laughlin, Palomar Community College; Carlos Liard-Muriente, Central Connecticut State University; Heather Luea, Kansas State University; Charles Meyrick, Housatonic Community College; William Mosher, Nashua Community College; Michael Netta, Hudson County Community College; Nick Noble, Miami University; Joe Nowakowski, Muskingum University; Shawn Osell, University of Wisconsin, Superior; Mark Owens, Middle Tennessee State University; Sonia Pereira, Barnard College; Brian Peterson, Central College; Jennifer Platania, Elon University; Robert Rycroft, University of Mary Washington; Adrienne Sachse, Florida State College at Jacksonville; Hans Schumann, Texas A&M University; Gina Shamshak, Goucher College; Chris Warburton, John Jay College of Criminal Justice, CUNY; Mark Witte, Northwestern University.", "section": "Przedmowa", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Wielki Kryzys Czasami łatwo jest ocenić kondycję gospodarki – na przykład wtedy, gdy wielu ludziom trudności sprawia najzwyklejsze związanie końca z końcem. To zdjęcie przedstawia Amerykanów stojących w kolejce po zapomogi wypłacane przez władze w czasie Wielkiego Kryzysu (1929–1933). Natomiast gdy jednym wiedzie się coraz lepiej, a sytuacja innych wciąż się pogarsza, określenie faktycznego stanu gospodarki jest trudniejsze. (Źródło: modyfikacja pracy z Biblioteki Kongresu/Wikimedia Commons). Jaka jest kondycja gospodarki? Jak możemy ją ocenić? Lata 90. XX w. w USA były okresem boomu gospodarczego. Podobnie w Polsce czas niezwykle korzystnej koniunktury przypadł na lata 1994–2000. Dla odmiany na przełomie pierwszej i drugiej dekady XXI w., a dokładniej w latach 2007–2014, kondycja zarówno gospodarki amerykańskiej, jak i polskiej nie zachwycała. Co sprawia, że gospodarka rośnie albo się kurczy? Jakie czynniki decydują o tempie tych zmian? Dlaczego przedsiębiorstwa upadają, mimo że podejmują racjonalne decyzje biznesowe? Dlaczego pracownicy tracą pracę nawet jeśli ciężko i wydajnie pracują? Czy okresy złej koniunktury to dowód na zawodność systemu rynkowego? A może na niesprawność państwa? Przywołane wyżej pytania wchodzą w zakres rozważań makroekonomii. W niniejszym rozdziale spróbujemy udzielić na nie przynajmniej wstępnej odpowiedzi. Zapewne nie wszystkie kwestie uda się wyczerpująco objaśnić, ale zaczniemy od podstaw, czyli tego, jak należy rozumieć kondycję gospodarki i jak możemy ją mierzyć. Makroekonomia jako nauka i sposób opisu gospodarki, w odróżnieniu od mikroekonomii, analizuje łącznie wszystkie transakcje kupna i sprzedaży w danej gospodarce krajowej, niezależnie od tego, co jest produkowane oraz kto zajmuje się wytwarzaniem i zakupami dóbr czy usług. Innymi słowy, makroekonomia obejmuje swoim zainteresowaniem wszystkie akty wymiany dokonywane na każdym rynku funkcjonującym w danej gospodarce. Nie rozdziela ich jednak, analizując wszystkie rynki łącznie. Ale czy tak gigantyczną liczbę transakcji da się w ogóle badać? Próby zmierzenia się z tym problemem zostały podjęte już podczas Wielkiego Kryzysu, ponad 90 lat temu. Prezydent Stanów Zjednoczonych Franklin D. Roosevelt i jego doradcy ekonomiczni oczywiście zdawali sobie sprawę z tego, że ówczesna sytuacja gospodarcza w USA była zła. Ale czy mogli dokładnie zmierzyć ów stan i tym samym określić, jak bardzo zła? Ekonomista Simon Kuznets, który później otrzymał Nagrodę Banku Szwecji im. Alfreda Nobla w dziedzinie nauk ekonomicznych (w 1971 r.), opracował narzędzie (produkt krajowy brutto – PKB), które pozwoliło zmierzyć łączną wartość wytworzonej i sprzedanej produkcji w amerykańskiej gospodarce. W tym rozdziale poznasz sposób obliczania PKB i możliwości wykorzystania tego agregatu oraz dowiesz się, dlaczego jest on kluczową kategorią makroekonomiczną. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Jak oszacować rozmiary gospodarki za pomocą produktu krajowego brutto (PKB) W jaki sposób przekształcić zmienne nominalne na zmienne realne Jak wyznaczyć ścieżkę zmian realnego PKB w czasie W jaki sposób poprawnie porównywać kraje pod względem poziomu PKB Jakie są wady i zalety PKB jako miernika poziomu społecznego dobrobytu Makroekonomia zajmuje się gospodarką jako całością (pomija preferencje jednostek i to, co się dzieje na konkretnych rynkach oraz w przedsiębiorstwach), jak również zależnościami między gospodarkami różnych krajów. Jakie są przyczyny spadku poziomu PKB (recesji) lub gwałtownego spowolnienia tempa wzrostu tego wskaźnika? Dlaczego bezrobocie utrzymuje się na wysokim poziomie nawet po zakończeniu okresu niekorzystnej koniunktury? Dlaczego niektóre kraje rozwijają się (ich PKB rośnie) szybciej niż inne? Dlaczego w jednych państwach poziom życia jest wyższy niż w innych? Na wszystkie te pytania próbuje odpowiedzieć makroekonomia. Aby tego dokonać, agreguje aktywność gospodarczą wszystkich gospodarstw domowych i przedsiębiorstw na wszystkich rynkach, ustalając wielkości łącznego popytu i łącznej podaży w gospodarce. Konsekwencje takich obliczeń są bardzo ciekawe. Niejednokrotnie zdarza się bowiem, że wyniki na poziomie makroekonomicznym nie są prostą sumą wyników na poziomie mikroekonomicznym. To, co z mikroekonomicznego punktu widzenia wydaje się rozsądne, na poziomie makroekonomicznym może mieć nieoczekiwane lub kontrproduktywne skutki. Wyobraź sobie, że jesteś uczestnikiem spektaklu z dużą liczbą widzów, np. koncertu lub meczu. W pewnym momencie kilka osób postanawia wstać, by mieć lepszy widok na to, co dzieje się na scenie lub na boisku. W ten sposób zasłaniają jednak widok innym widzom, którzy – aby cokolwiek zobaczyć – też muszą wstać. W końcu prawie wszyscy podnoszą się ze swoich miejsc, w wyniku czego nikt nie ma widoku wyraźnie lepszego niż poprzednio. Racjonalna w sumie decyzja niektórych osób (czyli na poziomie mikro) ostatecznie nic nie zmieniła w sytuacji całej zbiorowości (na poziomie makro). Przytoczony przykład nie dotyczy oczywiście obszaru zainteresowania makroekonomii, ale dobrze ilustruje relację pomiędzy ekonomicznymi decyzjami jednostek i ich konsekwencjami dla całego społeczeństwa. Makroekonomia obejmuje dość obszerny zakres problemów. Jak sobie z nim poradzimy? pokazuje nasze podejście do kwestii pozostających w obszarze zainteresowania makroekonomii. Będziemy je analizować z trzech różnych perspektyw: Jakie są cele gospodarowania? Jakie modele mogą zastosować ekonomiści do analizy całej gospodarki? Jakie narzędzia z zakresu polityki gospodarczej może wykorzystać państwo, aby wpływać na procesy gospodarowania? Cele gospodarowania, modele makroekonomiczne i polityka państwa W zielonej ramce pokazane są najważniejsze cele gospodarowania. Ramka niebieska przedstawia wybrane modele stosowane przez ekonomistów do analiz makroekonomicznych (np. w zakresie inflacji lub tempa i kierunku zmian PKB). W żółtej ramce z kolei przedstawione są dwa przykłady polityk gospodarczych państwa. Cele gospodarowania Myśląc o ogólnej kondycji gospodarki, warto wziąć pod uwagę trzy podstawowe cele gospodarowania: wzrost gospodarczy, niskie bezrobocie i niską inflację. Wzrost gospodarczy wpływa na poprawę poziomu życia w danym kraju. Ekonomiści mierzą wzrost gospodarczy jako procentową zmianę realnego (skorygowanego o inflację) produktu krajowego brutto w danym okresie. W krajach rozwiniętych tempo wzrostu gospodarczego przekraczające 3% rocznie jest uważane za absolutnie zadowalające, jakkolwiek w Polsce, która próbuje dogonić najbogatsze kraje globu pod względem standardu życia, satysfakcję budzi dopiero dynamika wzrostu PKB na poziomie 4,5–5,0%. Bezrobocie mierzone jest relacją osób pozostających bez pracy w stosunku do całej siły roboczej, czyli stopą bezrobocia (pojęcia te zostaną dokładnie objaśnione w kolejnych rozdziałach podręcznika). Kiedy ludzie nie pracują, gospodarka marnuje cenne zasoby, co prowadzi do produkcji dóbr i usług mniejszej od możliwej. Bezrobocie to jednak coś więcej niż tylko statystyka rynku pracy – od poziomu bezrobocia zależą dochody mieszkańców. Chociaż bezrobocie w gospodarkach rynkowych prawdopodobnie nigdy całkowicie nie zniknie, ekonomiści uważają stopę bezrobocia na poziomie niższym od 5% za bardzo dobry wynik. Inflacja to wzrost ogólnego poziomu cen w gospodarce. Jest ona zwykle mierzona wskaźnikiem wzrostu cen towarów i usług konsumpcyjnych ( CPI ) (ang. consumer price index ). Jeśli ceny żywności, mieszkań i usług rosną znacznie szybciej niż płace, ludzie są niezadowoleni, bo wówczas ich poziom życia spada. Niska inflacja – w granicach 2,0–2,5% rocznie – stanowi dla gospodarki bezpieczne zjawisko. Modele makroekonomiczne Jak zapewne wiesz z zajęć poświęconych mikroekonomii, głównymi narzędziami stosowanymi przez ekonomistów są teorie i modele (by dowiedzieć się więcej, sięgnij do podręcznika „Mikroekonomia - Podstawy” . W mikroekonomii wykorzystywaliśmy model popytu i podaży. W makroekonomii posługujemy się modelem popytu globalnego ( AD ) ( popytu zagregowanego ), ( aggregate demand ) i podaży globalnej ( AS ) ( podaży zagregowanej ), ( aggregate supply ). Niniejsza książka przedstawia dwa podstawowe nurty w makroekonomii: szkołę neoklasyczną i szkołę keynesowską. Każda z nich ma własną wersję modelu AD–AS. Znając oba podejścia, łatwo zrozumiesz, jak zachowuje się gospodarka w skali makro. Polityka państwa Państwo może wpływać na gospodarkę m.in. za pomocą polityki pieniężnej lub fiskalnej. Polityka pieniężna polega na sterowaniu podażą pieniądza i stopami procentowymi. Polityka fiskalna obejmuje zmiany w wydatkach państwa i podatkach. Każdy z elementów uwzględnionych na będzie przedmiotem szczegółowych rozważań w następnych rozdziałach. Podczas tej lektury zapewne odkryjesz, że odbierając informacje przekazywane przez media, prawie codziennie stykasz się z zagadnieniami makroekonomicznymi.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "PKB, czyli jak mierzyć kondycję gospodarki? Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować składowe PKB zarówno od strony popytowej, jak i podażowej Zrozumieć, w jaki sposób ekonomiści obliczają wartość PKB Porównać i obliczyć PKB, eksport netto i produkt narodowy netto (PNN) Makroekonomia jest w dużej mierze nauką empiryczną, więc pierwszym krokiem do jej zrozumienia jest poznanie sposobu szacowania rozmiarów gospodarki. Jakie są zatem rozmiary polskiej gospodarki? Ekonomiści zwykle mierzą jej wielkość na podstawie produktu krajowego brutto ( PKB ) (ang. gross domestic product (GDP) ). Jest to wartość wszystkich finalnych dóbr i usług (czyli takich, które nie będą już w żaden sposób przekształcane – dobrem finalnym jest np. chleb zjadany przez ciebie na śniadanie, twoje auto, które wykorzystujesz do okazjonalnego odpłatnego podwożenia kolegów, jak i obrabiarka kupiona przez przedsiębiorcę) wyprodukowanych w danym kraju w danym roku (lub innym okresie, np. kwartale). Obliczając PKB, uwzględniamy produkcję milionów różnych dóbr i usług – pralek i lodówek, samochodów, komputerów, stali, jabłek i kapusty, zrealizowanych kursów językowych i wizyt w kinie oraz wszystkich innych dóbr i usług w danym kraju w bieżącym roku. Poprzez proste zsumowanie uzyskujemy łączną wartość dóbr i usług finalnych wyrażoną w jednostkach pieniężnych (złotych w Polsce i dolarach w USA). Czynność ta nie jest taka trudna: wystarczy wziąć liczbę wszystkich finalnych dóbr i usług wyprodukowanych w gospodarce, pomnożyć przez cenę sprzedaży każdego produktu i zsumować całość. W 2021 r. zgodnie z szacunkami GUS PKB Polski wyniósł ponad 2,62 bln zł (w cenach rynkowych 2021 r.), co w przeliczeniu z zastosowaniem parytetu siły nabywczej, o którym będzie mowa w dalszej części podręcznika, oznacza ok. 1,44 bln dol. Dla porównania, w tym samym okresie gospodarka amerykańska, największa na świecie, wytworzyła dobra i usługi o wartości ok. 23 bln dol. Uczestnikiem każdej transakcji rynkowej wliczanej do PKB musi być zarówno nabywca, jak i sprzedawca. A zatem PKB możemy obliczyć albo jako całkowitą wartość dóbr i usług kupowanych przez nabywców (tj. sumę składników popytu globalnego), albo jako całkowitą wartość dóbr i usług wyprodukowanych w danym kraju (tj. sumę wartości produkcji krajowej). Jest też trzeci sposób liczenia PKB, który wyjaśnimy później. Należy przy tym zwrócić uwagę, że – ze względu na sposób zbierania i agregacji danych przez urzędy statystyczne – sposoby te mogą dawać wyniki nieznacznie się od siebie różniące. Na przykład w roku 2021 suma składników popytu krajowego została przez GUS oszacowana na 2,59 bln zł. PKB jako suma składników popytu globalnego Kto kupuje wyprodukowane dobra i usługi? Popyt możemy podzielić na cztery główne części: spożycie w sektorze gospodarstw domowych (konsumpcja), wydatki przedsiębiorstw (akumulacja brutto, popularnie zwana inwestycjami, której największą część stanowią nakłady na środki trwałe), spożycie publiczne (czyli wydatki państwa na dobra i usługi) oraz eksport netto. (Spójrz na ). oraz wykres zamieszczony na pokazują sposób obliczania PKB metodą popytową w Polsce w 2021 r. Z kolei panel (a) przedstawia wielkość konsumpcji, akumulacji brutto i wydatków państwa na dobra i usługi (w % PKB), zaś panel (b) przedstawia wielkość eksportu i importu (w % PKB). Warto zwrócić uwagę na kilka cech charakterystycznych w zachowaniu się poszczególnych zmiennych. Rachunek tworzenia PKB od strony popytowej w Polsce w 2021 r. Popytowe składniki PKB W bln zł Odsetek PKB Spożycie w sektorze gospodarstw domowych (konsumpcja) 1,45 55,9% Akumulacja brutto (wydatki przedsiębiorstw – inwestycje) 0,56 21,7% Spożycie publiczne (wydatki państwa na dobra i usługi) 0,49 18,9% Eksport 1,52 58,5% Import –1,43 –55,0% Produkt krajowy brutto (PKB) 2,59 100% (Źródło: https://stat.gov.pl/wskazniki-makroekonomiczne). Rachunek tworzenia PKB od strony popytowej w Polsce w 2021 r. Konsumpcja stanowi ponad połowę PKB. Udziały na wykresie nie sumują się do 100% ze względu na zaokrąglenia. (Źródło: https://stat.gov.pl/wskazniki-makroekonomiczne). Co oznacza termin „akumulacja brutto”? Jak ekonomiści rozumieją termin akumulacja brutto, w języku potocznym określaną zbiorczym terminem „inwestycje”? Przy obliczaniu PKB termin „inwestycje” nie odnosi się do zakupu akcji i obligacji czy handlu aktywami finansowymi. Akumulacja brutto obejmuje z jednej strony nakłady brutto na środki trwałe (czyli zakup nowych dóbr kapitałowych w postaci nieruchomości komercyjnych, takich jak budynki, fabryki i sklepy, oraz maszyn i urządzeń), a z drugiej – przyrost zapasów. Towary wyprodukowane w danym roku muszą być uwzględnione w PKB z tego samego roku – nawet jeśli nie zostały jeszcze sprzedane. Dlatego przyrost zapasów traktujemy po prostu jako inwestycję przedsiębiorstwa we własne wyroby. Według danych GUS zaprezentowanych powyżej nakłady brutto na środki trwałe w Polsce w 2021 r. wyniosły 447,2 mld zł (czyli stanowiły ok. 17% PKB). Składniki popytu globalnego w USA (a) Konsumpcja stanowiła w USA ok. 2/3 PKB i z biegiem czasu wykazywała niewielką tendencję wzrostową. Inwestycje przedsiębiorstw oscylują wokół 15% PKB, ale ulegają większym wahaniom niż konsumpcja. Wydatki państwa na dobra i usługi stanowią nieco poniżej 20% PKB i nieznacznie spadały wraz z upływem czasu. (b) Eksport jest dodawany do całkowitego popytu na dobra i usługi, podczas gdy import jest odejmowany od całkowitego popytu. Jeśli eksport przewyższa import, tak jak w USA przez większość lat 60. i 70. XX w., występuje nadwyżka handlowa. Natomiast jeśli import przewyższa eksport, tak jak w ostatnich latach, mamy do czynienia z deficytem handlowym. (Źródło: http://bea.gov/iTable/index_nipa.cfm). Spożycie (konsumpcja) w sektorze gospodarstw domowych to największy składnik PKB, zarówno w przypadku gospodarki Polski, jak i USA. Oznacza to, że decyzje konsumentów dotyczące wydatków mają ogromny wpływ na sytuację gospodarczą. Jednocześnie wydatki konsumpcyjne są dość stabilnym składnikiem PKB, gdyż nie wykazują dużych wahań w czasie. W USA na przestrzeni ostatnich lat wzrosły tylko nieznacznie, gdyż w latach 60. i 70. XX w. wynosiły ok. 60% PKB. W Polsce relatywna wielkość spożycia w sektorze gospodarstw domowych również jest względnie stabilna. W 1995 r. parametr ten osiągał wartość ok. 59% PKB, zaś w 2021 roku ok. 55% PKB. Nakłady brutto na środki trwałe, stanowiące najważniejszą część akumulacji brutto, dotyczą przede wszystkim zakupów przez przedsiębiorstwa nieruchomości, maszyn i urządzeń. Jeśli Biedronka zbuduje nowy sklep, a firma transportowa kupi ciężarówki, wydatki te będą zaliczone właśnie do tej kategorii statystycznej. Wydatki realizowane przez przedsiębiorstwa są znacznie mniejsze niż konsumpcja. Nakłady brutto na środki trwałe (inwestycje) stanowią zwykle ok. 18% PKB, ale są bardzo ważne dla gospodarki, ponieważ oznaczają tworzenie potencjału produkcyjnego przyszłych okresów i miejsc pracy. Inwestycje podlegają większym wahaniom niż konsumpcja, ponieważ są wrażliwe na działanie wielu czynników. Nowa technologia lub nowy produkt mogą pobudzić inwestycje, z kolei pogorszenie nastrojów gospodarczych może doprowadzić do gwałtownego załamania się wydatków inwestycyjnych. Jeśli przyjrzysz się któremukolwiek z projektów infrastrukturalnych rozpoczętych w Polsce w ostatnich latach (pomyśl choćby o gazoporcie w Świnoujściu czy nowych liniach tramwajowych budowanych w Warszawie), to okaże się, że wydatki państwa są dla gospodarki bardzo ważne. Spożycie publiczne w Polsce kształtuje się zwykle na poziomie ok. 20% PKB i obejmuje wydatki tak na szczeblu krajowym, jak i samorządowym. W obliczeniach popytu globalnego uwzględnia się tylko wydatki państwa dotyczące zakupów dóbr i usług wytwarzanych w gospodarce. Przykładem jest zarówno zakup karabinków Grot dla polskiej armii, budowa nowej autostrady (wydatki na poziomie krajowym), jak i remont szkoły podstawowej w małej gminie (wydatek administracji lokalnej). Znaczna część wydatków realizowanych przez władze różnych szczebli dotyczy płatności transferowych, takich jak zasiłki dla bezrobotnych, świadczenia wychowawcze na dzieci i na fundusz ubezpieczeń społecznych. Tego typu wydatków nie uwzględnia się w PKB, ponieważ państwo nie otrzymuje w zamian żadnego dobra lub usługi. Są to tylko transfery pieniędzy od jednych podatników do innych. Jeśli chcesz dowiedzieć się więcej o niezwykle skomplikowanym przedsięwzięciu, jakim jest liczenie amerykańskiego PKB, przeczytaj poniższą . Jak statystycy obliczają PKB? W Stanach Zjednoczonych ekonomiści z Biura Analiz Ekonomicznych (ang. Bureau of Economic Analysis (BEA) w Departamencie Handlu agregują poszczególne składowe PKB pochodzące z różnych źródeł. Raz na pięć lat, tj. w drugim i siódmym roku każdej dekady, Biuro Spisu Ludności (Bureau of the Census) przeprowadza szczegółowy spis przedsiębiorstw w całych Stanach Zjednoczonych. W międzyczasie prowadzone są comiesięczne badania sprzedaży detalicznej. Następnie wartości te są korygowane o dane dotyczące handlu zagranicznego, aby uwzględnić eksport towarów wyprodukowanych w Stanach Zjednoczonych i sprzedanych za granicę oraz import towarów, które zostały wytworzone za granicą i kupione przez amerykańskie podmioty. Raz na dziesięć lat Biuro Spisu Ludności dokonuje kompleksowego badania sytuacji finansowej i mieszkaniowej gospodarstw domowych. Po odpowiednim zagregowaniu źródła te stanowią podstawę do oszacowania wielkości konsumpcji w gospodarce amerykańskiej. W celu obliczenia wielkości inwestycji Biuro Spisu Ludności przeprowadza miesięczne badania budownictwa i roczne analizy wydatków na zakupy kapitału rzeczowego. Dane o wydatkach rządu federalnego dostarczane są przez amerykański Departament Skarbu. Informacje na temat wydatków na poziomie stanowym i lokalnym pochodzą z corocznych sprawozdań administracji tych szczebli. Ponieważ na wszystkich poziomach administracji duża część wydatków jest związana z zatrudnieniem pracowników do świadczenia usług publicznych, dane dotyczące takich wydatków można również zebrać za pośrednictwem list płac gromadzonych przez władze stanowe i fundusz ubezpieczeń społecznych. W odniesieniu do handlu zagranicznego Biuro Spisu Ludności sporządza miesięczną ewidencję wszystkich transakcji importowych i eksportowych. Dodatkowe badania dotyczą kosztów transportu i podróży oraz korekt obejmujących usługi finansowe świadczone w Stanach Zjednoczonych dla klientów zagranicznych. W szacunkach PKB uwzględnia się także wiele innych źródeł. Informacje dotyczące produkcji i zużycia energii pochodzą z Departamentu Transportu i Departamentu Energii. Agencja Badań i Jakości Ochrony Zdrowia gromadzi informacje na temat opieki zdrowotnej. Dzięki badaniom prowadzonym wśród właścicieli nieruchomości uzyskiwane są dane pokazujące dochody z najmu. Departament Rolnictwa gromadzi statystyki na temat rolnictwa. Wszystkie te szczątkowe informacje mają różną formę i dotyczą różnego okresu. Biuro Analiz Ekonomicznych agreguje te dane w celu uzyskania szacunków PKB w każdym kwartale (tj. co trzy miesiące). W kolejnym kroku Biuro Analiz Ekonomicznych przelicza statystyki kwartalne na ujęcie roczne. W miarę pojawiania się nowych informacji szacunki są aktualizowane i korygowane. Biuro Analiz Ekonomicznych publikuje prognozę wartości PKB za każdy zakończony kwartał w kolejnym miesiącu po jego zakończeniu. „Wstępne szacunki” pojawiają się miesiąc później. W kolejnym miesiącu publikowane są „ostateczne szacunki”, ale i one nie odzwierciedlają jeszcze ostatecznej wartości PKB. W lipcu każdego roku Biuro Analiz Ekonomicznych podaje zaktualizowane dane odnoszące się do poziomu PKB w poprzedni roku kalendarzowym. Następnie, raz na pięć lat, po przetworzeniu wszystkich wyników ostatniego szczegółowego pięcioletniego spisu przedsiębiorstw, Biuro Analiz Ekonomicznych koryguje wszystkie wcześniejsze szacunki PKB zgodnie z najnowszymi metodami i danymi, począwszy od 1929 r. Myśląc o stronie popytowej PKB w warunkach silnie zglobalizowanej gospodarki światowej, nie można zapomnieć o uwzględnieniu wydatków na eksport, czyli towarów wytworzonych w kraju i sprzedanych za granicę. Analogicznie od wartości popytu musimy odjąć wydatki na import – towary produkowane za granicą i kupowane przez mieszkańców danego kraju. Eksport netto, będący częścią PKB, jest równy wartości eksportu (X) pomniejszonego o wartość importu (Z), tj. (X – Z). Różnicę między eksportem a importem nazywamy saldem bilansu handlowego lub eksportem netto (ang. trade balance ). Jeśli eksport danego kraju jest większy niż import, występuje nadwyżka handlowa lub dodatnia wartość eksportu netto (ang. trade surplus ). W Stanach Zjednoczonych eksport przewyższał import w latach 60. i 70. XX w., jak pokazuje część (b) . Natomiast w Polsce zgodnie z danymi publikowanymi przez GUS z systematyczną nadwyżką handlową mamy do czynienia od 2013 r. Począwszy od wczesnych lat 80. XX w., amerykański import zazwyczaj przewyższał eksport, dlatego Stany Zjednoczone w tym okresie notowały zwykle deficyt handlowy lub inaczej mówiąc, ujemną wartość eksportu netto (ang. trade deficit ). Deficyt handlowy USA wzrósł dość mocno pod koniec lat 90. XX w. i w połowie pierwszej dekady XXI w. W Polsce deficyt handlowy występował nieustannie w latach 1996–2012. Część (b) pokazuje, że w USA zarówno import, jak i eksport znacznie wzrosły w ostatnich dziesięcioleciach, z krótkim okresem spadku podczas globalnego kryzysu finansowego, tj. w latach 2008–2009. Jak zauważyliśmy wcześniej, jeśli eksport i import są równe, handel zagraniczny nie ma wpływu na całkowitą wartość PKB. Jednak nawet gdy eksport i import są zbilansowane, handel zagraniczny może nadal mieć potężny wpływ na poszczególne branże i zatrudnionych w nich pracowników, powodując, że siła robocza i inwestycje w kapitał rzeczowy będą kierowane do konkretnych sektorów gospodarki. Uwzględniając cztery składniki popytu globalnego, PKB od strony popytowej możemy zapisać jako: PKB = Konsumpcja + Inwestycje + Wydatki państwa na dobra i usługi + Eksport netto PKB = C + I + G + (X – Z) Znajomość metod obliczania PKB jest kluczowa dla analizy powiązań zmiennych makroekonomicznych i do zrozumienia narzędzi polityki gospodarczej państwa. W powyższym wzorze C oznacza konsumpcję, I – inwestycje, G – wydatki państwa na dobra i usługi, X – eksport, Z – import. PKB jako suma wartości produkcji krajowej Wszystko, co kupujemy, trzeba najpierw wyprodukować. przedstawia wielkość produkcji danego kraju w podziale na pięć kategorii towarowych stosowanych w rachunkach statystycznych USA: dobra trwałego użytku (ang. durable goods ), dobra nietrwałe (ang. nondurable goods ), usługi (ang. services ), budowle (ang. structures ) i zmianę stanu zapasów (ang. inventories ). Tym razem nie zaprezentujemy danych dla Polski, ponieważ stosowany w naszym kraju sposób ich dezagregowania po stronie podażowej nie da się łatwo przełożyć na sposób amerykański. W Polsce dane dotyczące struktury produkcji prezentowane są w układzie Polskiej Klasyfikacji Działalności – PKD 2007 w podziale na takie kategorie, jak m.in.: „rolnictwo, leśnictwo, łowiectwo i rybactwo”, „przemysł”, „budownictwo”, „działalność finansowa i ubezpieczeniowa”. Zanim poznamy szczegółowo kategorie wykorzystywane w Stanach Zjednoczonych, zauważmy, że całkowity PKB liczony jako suma wartości produkcji krajowej na mocy definicji jest dokładnie równy PKB mierzonemu jako suma składników popytu globalnego. przedstawia wizualizację danych zawartych w . Rachunek tworzenia PKB od strony produktowej w USA w 2020 r. Kategorie produktów W bln dol. Odsetek PKB Dobra trwałego użytku 3,5 16,7% Dobra nietrwałe 2,8 13,4% Usługi 12,7 60,8% Budynki i budowle 1,9 9,1% Zmiana stanu zapasów 0,0 0,0% Produkt krajowy brutto (PKB) 20,9 100% (Źródło: http://bea.gov/iTable/index_nipa.cfm). Rachunek tworzenia PKB od strony produktowej w USA w 2020 r. Usługi stanowiły w 2020 r. ponad 60% PKB Stanów Zjednoczonych. Ponieważ w każdej transakcji rynkowej uczestniczy zarówno nabywca, jak i sprzedawca, PKB musi być taki sam niezależnie od tego, czy mierzony jest od strony popytowej, czy od strony produktowej (podażowej). pokazuje szeregi czasowe względnej (odniesionej do PKB) wartości różnych kategorii produktów w USA, począwszy od 1950 r. Kategorie produktów w USA Usługi były w 2020 r. największą kategorią towarową po podażowej stronie PKB, stanowiąc prawie 61% tego agregatu, w porównaniu z 38% na początku lat 50. XX w. Dobra trwałego użytku i dobra nietrwałe, reprezentujące produkcję przemysłu przetwórczego, sukcesywnie zmniejszały swój udział w PKB. Dobra nietrwałe stanowiły kiedyś większy odsetek PKB niż dobra trwałego użytku, ale od lat 70. XX w. udział tych pierwszych w tworzeniu PKB spadł poniżej udziału tych drugich, który w 2020 r. wynosił 13,5% (spadek z 28,5% PKB w 1950 r.). Budynki i budowle tworzą ok. 10% PKB. Na rysunku nie pokazujemy zmiany stanu zapasów, gdyż ten składnik podaży globalnej stanowi zwykle mniej niż 1% PKB. Zastanawiając się nad tym, co wytwarzane jest w ramach konkretnej gospodarki, wiele osób niebędących ekonomistami od razu myśli o dobrach trwałego użytku, takich jak samochody i lodówki, tymczasem zdecydowanie największą część PKB stanowią usługi. Co więcej, udział usług w tworzeniu PKB systematycznie wzrasta, zarówno w USA, jak i w Polsce. Prym wiodą opieka zdrowotna, edukacja oraz usługi prawne i finansowe. Minęły już dziesięciolecia od momentu, w którym produkcja dóbr trwałego użytku przestała dominować w gospodarce USA. Obecnie najczęstszym zajęciem jest praca, do której świadczenia wykorzystywane są kartka papieru, telefon lub komputer, polegająca na kontaktach i spotkaniach ze współpracownikami, klientami lub dostawcami. Produkcja dóbr trwałego użytku, np. samochodów i lodówek, stanowi mniej więcej taki sam udział w tworzeniu PKB jak produkcja dóbr nietrwałych, np. żywności i odzieży. Kategoria „budynki i budowle” obejmuje wszystkie projekty budowlane, od domów po biurowce, centra handlowe i fabryki. Z kolei „zapasy” to niewielka kategoria odnosząca się do towarów, które zostały wyprodukowane, ale jeszcze niesprzedane i nadal znajdują się w magazynach przedsiębiorstw lub na półkach sklepowych. Zapasy maleją, jeśli sytuacja gospodarcza jest lepsza od oczekiwanej, a rosną, gdy kondycja gospodarki się pogarsza. Inny sposób obliczania: PKB jako suma dochodów czynników produkcji Istnieją trzy metody obliczania PKB, czyli wielkości produkcji danego kraju. Dwie omówiliśmy już wcześniej, pozostał zatem jeszcze sposób trzeci. Jeśli przedsiębiorstwo sprzeda wyprodukowane przez siebie towary, wartość tych towarów stanowi jednocześnie przychód przedsiębiorstwa. Przychód jest przeznaczony na pokrycie kosztów funkcjonowania przedsiębiorstwa (kosztów wynagrodzeń za pracę, kosztów odsetek i dywidendy za wykorzystywane dobra kapitałowe, czynszu za posiadanie i wynajem nieruchomości), a także na zysk dla właścicieli. A zatem jeżeli zsumujemy wszystkie dochody uzyskane w ciągu roku, otrzymamy wartość PKB. Metoda dochodowa stanowi trzeci sposób obliczania PKB. Dlatego też pojęcia produktu krajowego brutto i dochodu narodowego (ang. national income ) są czasami używane zamiennie (mimo że między PKB a dochodem narodowym występują pewne różnice, o czym będzie mowa w dalszej części podrozdziału). Całkowita wartość produkcji krajowej jest równa całkowitej wartości dochodu narodowego. Problem podwójnego liczenia PKB definiujemy jako bieżącą wartość wszystkich finalnych dóbr i usług wyprodukowanych w kraju w ciągu danego okresu (np. roku). Czym są dobra i usługi finalne? Są to towary, które nie będą już dalej w żaden sposób przekształcane ani włączane jako surowiec bądź część innych dóbr. Jest to o tyle istotne, że nie ograniczając się przy obliczaniu PKB do dóbr finalnych, popełnimy błąd podwójnego liczenia (ang. double counting ), polegający na uwzględnianiu wartości niektórych produktów więcej niż raz podczas przechodzenia przez kolejne etapy procesu wytwórczego. Wyobraźmy sobie na przykład, co by się stało, gdybyśmy przy liczeniu PKB najpierw uwzględnili wartość materiałów plastycznych wykorzystywanych do produkcji opon, następnie wartość samych opon zawierających wspomniane materiały plastyczne, a w kolejnym etapie wartość nowej ciężarówki, w której zamontowano te opony. Wartość opon zostałaby wówczas wliczona do PKB dwukrotnie, zaś wartość materiałów plastycznych nawet trzykrotnie, ponieważ cena opon zawiera wartość materiału plastycznego, a cena ciężarówki uwzględnia wartość opon. Aby uniknąć błędu podwójnego liczenia, które znacznie zawyżyłoby faktyczną wielkość produkcji w gospodarce, do PKB wlicza się tylko wartość dóbr i usług finalnych (ang. final goods and services ), sprzedawanych w celach konsumpcyjnych, inwestycyjnych, na potrzeby państwa oraz zagranicy. W kalkulacji PKB nie są brane pod uwagę dobra pośrednie (ang. intermediate goods ), czyli dobra, które są wykorzystywane do produkcji innych dóbr. W powyższym przykładzie do PKB wlicza się tylko wartość ciężarówki, a wartość dóbr pośrednich (opon i materiału plastycznego) będzie po prostu ujęta w wartości dobra finalnego (ciężarówki). Definicja PKB jest prosta: jest to wartość pieniężna wszystkich dóbr i usług finalnych wytworzonych w gospodarce w ciągu roku. Jednak w prawdziwych gospodarkach (np. gospodarce Polski, której PKB przekroczył 2,5 bln zł) obliczenie PKB, wymagające ciągłej aktualizacji danych co kilka miesięcy, jest zabiegiem bardzo pracochłonnym, możliwym tylko dzięki urzędom statystycznym zatrudniającym ogromną liczbę pracowników. PKB uwzględnia PKB nie uwzględnia Konsumpcję Dóbr pośrednich Inwestycje przedsiębiorstw Płatności transferowych Wydatki państwa na dobra i usługi Dóbr używanych Eksport netto Aktywności, które nie są przedmiotem transakcji rynkowych Obliczanie PKB Zwróć uwagę na elementy, które nie są wliczane do PKB, co przedstawia . Sprzedaż towarów używanych nie jest uwzględniona w PKB, ponieważ dobra te zostały wyprodukowane we wcześniejszych latach i zostały wliczone do PKB w roku wytworzenia. Płatności transferowe, np. świadczenia socjalne od państwa dla gospodarstw domowych, również nie są brane pod uwagę w PKB, bo nie reprezentują produkcji dóbr ani usług. Podobnie produkcja niektórych towarów, np. dóbr wykorzystywanych na własny rachunek, takich jak śniadania w domu, nie jest wliczana do PKB, jako że towary te nie są sprzedawane na rynku. Natomiast zgodnie z regulacjami UE dobra i usługi sprzedawane w ramach tzw. szarej strefy (zarówno narkotyki, jak i usługi oferowane przez osoby trudniące się nierządem) są wliczane do polskiego PKB. Według różnych szacunków wartość towarów i usług wytwarzanych w szarej strefie w Polsce sięga ok. 20% oficjalnego PKB. Z kolei Friedrich Schneider oszacował, że szara strefa gospodarki USA w 2013 r. wyniosła 6,6% PKB, czyli ponad bilion dolarów. Odwiedź stronę internetową , aby dowiedzieć się więcej o rozmiarach szarej strefy. Inne sposoby pomiaru wielkości gospodarki Oprócz PKB istnieje kilka alternatywnych, ale ściśle ze sobą powiązanych mierników pozwalających obliczyć wielkość gospodarki. Jak wiemy z wcześniejszej analizy, PKB odzwierciedla zarówno całkowitą produkcję, jak i całkowite wydatki. Jest jednocześnie miernikiem całkowitego dochodu, ponieważ wszystkie towary wyprodukowane i sprzedane na rynku przynoszą dochód. Jednym z najczęściej stosowanych alternatywnych mierników jest dochód narodowy brutto ( DNB ) (ang. gross national income (GNI) ). PKB obejmuje tylko produkcję wytworzoną na terenie danego kraju. Natomiast DNB powiększony jest o przekazane do kraju dochody z tytułu własności i pracy wykonywanej za granicą, a pomniejszony o dochody podmiotów zagranicznych uzyskiwane w danym kraju i przekazywane do innych państw. Innymi słowy, DNB mierzy dochody obywateli danego kraju niezależnie od tego, gdzie produkcja się odbywa, natomiast PKB mierzy produkcję wytwarzaną w granicach geograficznych danego państwa. Zarówno w Polsce, jak i w Stanach Zjednoczonych różnica między PKB a DNB jest stosunkowo niewielka – w ostatnich latach w Polsce było to jedynie ok. 5% na korzyść PKB. W przypadku małych krajów, których znaczna część obywateli pracuje za granicą i wysyła pieniądze do ojczyzny, dodatnia różnica pomiędzy DNB i PKB może być o wiele większa. Dochód narodowy netto ( DNN ) (ang. net national income (NNI) ) obliczamy, odejmując od DNB spadek wartości środków trwałych z powodu ich wieku lub zużycia, do jakiego doszło w trakcie zdefiniowanego okresu (najczęściej roku). Spadek wartości kapitału z uwagi na zużycie i wiek nazywamy amortyzacją (ang. depreciation ). Jeśli od wartości DNN odejmiemy wartość podatków pośrednich, takich jak VAT i akcyza, otrzymamy dochód narodowy (ang. national income ). Dochód narodowy obejmuje zarówno dochody przedsiębiorstw, jak i dochody gospodarstw domowych. Nieco inną miarą jest dochód rozporządzalny, który obejmuje jedynie dochody pozostające w dyspozycji gospodarstw domowych (dochód rozporządzalny uwzględnia transfery wypłacane gospodarstwom domowym przez państwo – np. stypendia i zasiłki socjalne – a nie obejmuje podatków dochodowych i dochodów państwa z tytułu własności). Ze względów praktycznych zapamiętywanie tych definicji nie jest konieczne. Ważne jest jednak, abyśmy mieli świadomość, że te różnice istnieją, i wiedzieli, jakim miernikiem się posługujemy, żeby przypadkowo nie porównać np. PKB w jednym roku lub dla jednego kraju z PNB lub PNN w innym roku lub w innym kraju. Aby lepiej poznać sposób obliczania poszczególnych mierników dochodu narodowego, przeanalizuj . Obliczanie PKB, eksportu netto i DNN Na podstawie danych z wykonaj poniższe polecenia. Ile wynosi PKB? Ile wynosi eksport netto? Ile wynosi DNN? Wydatki państwa na dobra i usługi 120 mld dol. Amortyzacja 40 mld dol. Konsumpcja 400 mld dol. Inwestycje 60 mld dol. Eksport 100 mld dol. Import 120 mld dol. Dochody otrzymane z zagranicy 10 mld dol. Dochody przekazane za granicę 8 mld dol. Krok 1. PKB obliczamy na podstawie następującego wzoru: PKB = Konsumpcja + Inwestycje + Wydatki państwa na dobra i usługi + (Eksport – Import) = C + I + G + (X – Z) = 400 + 60 + 120 + (100 – 120) = 560 [mld dol.] Krok 2. Aby obliczyć eksport netto, odejmujemy import od eksportu. Eksport netto = X – Z = 100 – 120 = – 20 [mld dol.] Krok 3. DNN obliczamy na podstawie następującego wzoru: DNN = PKB + Dochody otrzymane z zagranicy – Dochody przekazane za granicę – Amortyzacja = 560 + 10 – 8 – 40 = 522 [mld dol.] Podsumowanie Ekonomiści zwykle wyrażają wielkość gospodarki danego kraju za pomocą produktu krajowego brutto (PKB), który mierzy wartość wszystkich dóbr i usług finalnych wyprodukowanych w danym kraju w ciągu roku. PKB otrzymujemy poprzez zsumowanie dla wszystkich wyprodukowanych towarów iloczynów liczby wyprodukowanych jednostek danego dobra lub usługi oraz ich ceny. Ponieważ w skład PKB wchodzą towary, które są zarówno kupowane, jak i sprzedawane, PKB można obliczyć jako sumę składników popytu globalnego albo jako sumę wielkości produkcji. Trzecią metodą liczenia PKB jest suma dochodów czynników produkcji. Licząc PKB od strony popytowej, uwzględniamy następujące składniki popytu globalnego: spożycie w sektorze gospodarstw domowych (konsumpcję), akumulację brutto (inwestycje), spożycie publiczne (wydatki państwa na dobra i usługi) oraz eksport pomniejszony o import. Licząc PKB jako sumę wielkości produkcji, bierzemy pod uwagę wartość różnych kategorii dóbr: dóbr trwałego użytku, dóbr nietrwałych, usług, budynków i budowli oraz zmianę stanu zapasów. Aby uniknąć podwójnego liczenia, PKB zawiera tylko dobra i usługi finalne, nie obejmuje zaś produkcji dóbr pośrednich. Pytania sprawdzające W pewnym kraju eksport wynosi 20 mld dol., wydatki państwa na dobra i usługi są równe 1000 mld dol., inwestycje przedsiębiorstw kształtują się na poziomie 50 mld dol., import wynosi 40 mld dol., a wydatki konsumpcyjne mają wartość 2000 mld dol. Ile wynosi PKB? PKB jest równy C + I + G + (X - Z). PKB = 2000 mld dol. + 50 mld dol. + 1000 mld dol. + (20 mld dol. - 40 mld dol.) = 3030 mld dol. Które z poniższych kategorii zostaną uwzględnione w PKB? Koszt pobytu w szpitalu Podwyższenie się średniej oczekiwanej długości życia Opieka nad dzieckiem świadczona przez żłobek Opieka nad dzieckiem zapewniana przez babcię Sprzedaż używanych samochodów Sprzedaż nowych samochodów Większa różnorodność serów dostępnych w supermarketach Żelazo, z którego wytwarza się stal służącą do wyprodukowania lodówki kupionej przez konsumenta Koszt pobytu w szpitalu wliczamy do PKB. Zmiana średniej oczekiwanej długości życia nie jest transakcją rynkową i nie jest składową PKB. Opłacona opieka nad dzieckiem jest częścią PKB. Jeśli babcia dostaje wynagrodzenie i zgłasza je jako dochód; jest to część PKB. W przeciwnym przypadku opieka taka nie jest wliczana do PKB. Samochód używany nie został wyprodukowany w tym roku, więc nie jest częścią PKB. Wartość nowego samochodu wliczamy do PKB. Różnorodność dostępnych towarów nie wpływa na PKB. Z punktu widzenia PKB nie ma znaczenia, czy gospodarka wytwarza jeden gatunek sera, czy też wiele jego odmian. Żelazo nie jest wliczane do PKB, ponieważ jest dobrem pośrednim. Sprawdź wiedzę Jakie są główne elementy składowe PKB liczonego według metody popytowej? Jakie są główne elementy składowe PKB liczonego jako suma wartości produkcji krajowej? Czy PKB mierzony od strony popytowej będzie większy, czy mniejszy niż PKB liczony metodą podażową? Dlaczego podczas pomiaru PKB należy unikać podwójnego liczenia? Ćwicz myślenie krytyczne Dane makroekonomiczne opisujące amerykańską gospodarkę należą do najlepszych na świecie. Biorąc pod uwagę , czy to cię dziwi, czy tylko odzwierciedla złożoność nowoczesnej gospodarki? Czego PKB nie mówi nam o gospodarce? Problemy W zeszłym roku w małym kraju obfitującym w lasy wycięto drzewa warte 200 dol. Następnie drzewa o wartości 100 dol. zamieniono w drewno o wartości 150 dol. Z drewna o wartości 100 dol. wyprodukowano meble o wartości 250 dol. Ile wynosi PKB tego kraju, zakładając, że nie produkuje się tam żadnych innych dóbr ani nie zużywa innych nakładów do produkcji drzew, drewna i mebli? Innymi słowy, jaka jest wartość dóbr finalnych wyprodukowanych przez ten kraj, uwzględniając wartość drzewa, drewna i mebli? Bibliografia U.S. Department of Commerce: Bureau of Economic Analysis. “National data: National Income and Product Accounts Tables.” http://bea.gov/iTable/iTable.cfm?ReqID=9&step=1. U.S. Department of Commerce: United States Census Bureau. “Census of Governments: 2012 Census of Governments.” http://www.census.gov/govs/cog/. United States Department of Transportation. “About DOT.” Last modified March 2, 2012. http://www.dot.gov/about. U.S. Department of Energy. “Energy.gov.” http://energy.gov/. U.S. Department of Health & Human Services. “Agency for Healthcare Research and Quality.” http://www.ahrq.gov/. United States Department of Agriculture. “USDA.” http://www.usda.gov/wps/portal/usda/usdahome. Schneider, Friedrich. Department of Economics. “Size and Development of the Shadow Economy of 31 European and 5 other OECD Countries from 2003 to 2013: A Further Decline.” Johannes Kepler University . Last modified April 5, 2013. http://www.econ.jku.at/members/Schneider/files/publications/2013/ShadEcEurope31_Jan2013.pdf. amortyzacja (ang. depreciation ) spadek wartości dóbr kapitałowych z uwagi na ich starzenie się i zużycie w trakcie procesu produkcyjnego podwójne liczenie (ang. double counting ) potencjalny błąd, którego należy unikać przy pomiarze PKB, polegający na tym, że wartość niektórych dóbr podczas ich przechodzenia przez kolejne etapy procesu wytwórczego jest liczona więcej niż raz dobro trwałego użytku (ang. durable good ) dobro o długim okresie użytkowania, np. samochód lub lodówka finalne dobro i usługa (ang. final good and service ) produkt konsumpcyjny lub inwestycyjny dla odbiorcy końcowego, który nie zostanie już w żaden sposób przetworzony ani wykorzystany jako część innego dobra; jego przeciwieństwem jest „dobro pośrednie” produkt krajowy brutto (PKB) (ang. gross domestic product (GDP) ) wartość wszystkich finalnych dóbr i usług wytworzonych w danym kraju w ciągu roku dochód narodowy brutto (DNB) (ang. gross national income (GNI) ) wartość produkcji krajowej (PKB) powiększona o dochody z tytułu własności i pracy uzyskane za granicą i przekazane do kraju, a pomniejszona o dochody z tytułu własności i pracy uzyskane w kraju i przekazane za granicę dobro pośrednie (ang. intermediate good ) dobro przetwarzane przez przedsiębiorstwa lub włączane jako składnik innych dóbr, nieprzeznaczone dla odbiorcy końcowego; jego przeciwieństwem jest „finalne dobro i usługa” dobro zaopatrzeniowe zob. dobro pośrednie zapasy (ang. inventory ) dobro, które zostało wyprodukowane, ale nie zostało jeszcze sprzedane dochód narodowy (ang. national income ) kategoria obejmująca wszystkie uzyskane dochody, w tym płace, zyski i czynsze, dochód narodowy netto (DNN) pomniejszony o wartość podatków pośrednich dochód narodowy netto (DNN) (ang. net national income (NNI) ) PNB pomniejszony o amortyzację dobro nietrwałe (ang. nondurable good ) dobro o krótkim okresie użytkowania, np. żywność lub ubranie dobro krótkotrwałego użytku zob. dobro nietrwałe usługa (ang. service ) produkt niematerialny (w przeciwieństwie do dóbr), np. rozrywka, opieka zdrowotna lub edukacja budynki i budowle (ang. structure ) nieruchomości wykorzystywane jako mieszkania, fabryki, biura, sklepy lub do innych celów związanych z prowadzoną działalnością gospodarczą saldo bilansu handlowego (ang. trade balance ) różnica między eksportem a importem eksport netto zob. saldo bilansu handlowego deficyt handlowy (ang. trade deficit ) sytuacja, gdy import danego kraju przewyższa eksport, dodatnia różnica między importem a eksportem nadwyżka handlowa (ang. trade surplus ) sytuacja, gdy eksport danego kraju przewyższa import, dodatnia różnica między eksportem a importem nadwyżka bilansu handlowego zob. nadwyżka handlowa", "section": "PKB, czyli jak mierzyć kondycję gospodarki?", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przeliczanie wartości nominalnych na realne Po przeczytaniu tego podrozdziału będziesz w stanie: Odróżnić nominalny PKB od realnego PKB Objaśnić koncepcję deflatora PKB Obliczyć realny PKB na podstawie wartości nominalnego PKB Analizując dane ekonomiczne, należy zwrócić uwagę na pewną istotną kwestię. Przyglądając się sytuacji w gospodarce, odróżniamy mianowicie zmienne nominalne i zmienne realne, a różnicę między nimi wyznacza inflacja. Analiza danych makroekonomicznych bez uwzględniania inflacji jest niczym próba określenia odległości obiektów obserwowanych przez lornetkę bez wiedzy o tym, jak mocne są soczewki. Podobnie, jeśli nie znamy stopy inflacji, trudno jest stwierdzić, czy wzrost PKB wynika głównie ze wzrostu ogólnego poziomu cen, czy ze wzrostu ilości produkowanych towarów. Wartość nominalna (ang. nominal value ) oznacza, że zmienna jest wyrażona w cenach bieżących, czyli w cenach występujących w okresie, dla którego obliczana jest dana zmienna. Wartość realna (ang. real value ) jest skorygowana o inflację i wyrażona w cenach stałych, czyli w cenach z pewnego z góry ustalonego, niezmieniającego się okresu. Pomijając pewne specyficzne przypadki, w analizie ekonomicznej kluczowe pozostają zmienne realne. Przeliczanie PKB nominalnego na realny zawiera dane na temat PKB Stanów Zjednoczonych w dolarach amerykańskich w cenach bieżących w pięcioletnich odstępach, począwszy od 1960 r. Innymi słowy, przedstawia wartości nominalnego PKB przy użyciu bieżących cen rynkowych obowiązujących w danym roku. zawiera przedstawienie graficzne tych danych. Rok Nominalny PKB (mld dol., ceny bieżące) Deflator PKB (2005 = 100) 1960 542,4 19,0 1965 742,3 20,3 1970 1073,3 24,8 1975 1684,9 34,1 1980 2857,3 48,3 1985 4339,0 62,3 1990 5963,1 72,7 1995 7639,7 81,7 2000 10 251,0 89,0 2005 13 039,2 100,0 2010 15 049,0 110,0 2015 18 206,0 119,6 2020 20 893,7 129,88 PKB USA w cenach bieżących w pięcioletnich odstępach (Źródło: https://apps.bea.gov/itable/index.cfm, tabele 1.1.5 i 1.1.9). Nominalny PKB w USA, 1960–2020 W latach 1960–2020 wartości nominalnego PKB rosły wykładniczo. Gdyby nieostrożny analityk porównał nominalny PKB z 1960 r. z tym z roku 2020, mógłby dojść do wniosku, że produkcja krajowa wzrosła w tym okresie ponad 38 razy (PKB w wysokości 20 893,7 mld dol. z 2020 r. podzielony przez PKB równy 542,4 mld dol. z 1960 r. daje wynik 38,5). Wniosek ten byłby jednak bardzo mylący. Przypomnijmy, że nominalny PKB definiujemy jako sumę iloczynów wszystkich wytworzonych w gospodarce finalnych dóbr i usług oraz ich cen. Aby określić faktyczny wzrost wolumenu produkcji, musimy wyłączyć wpływ wyższych cen na nominalny PKB. Możemy to łatwo zrobić, stosując deflator PKB. Deflator PKB (ang. GDP deflator ) to wskaźnik cen mierzący średnią zmianę cen wszystkich finalnych dóbr i usług wytwarzanych w gospodarce. Wskaźniki cen i sposoby ich obliczania analizujemy szczegółowo w , ale w kontekście tego rozdziału wystarczy znajomość powyższej definicji. zawiera wartości deflatora PKB, a przedstawia te dane na wykresie. Deflator PKB w USA, 1960–2020 Podobnie jak nominalny PKB, deflator PKB w latach 1960–2020 także zwiększał się wykładniczo. wskazuje, że w Stanach Zjednoczonych poziom cen charakteryzował się bardzo szybkim wzrostem od 1960 r. Ceny w 2020 r. były prawie siedmiokrotnie wyższe niż w 1960 r. (deflator dla 2020 r. wyniósł 129,88 wobec poziomu 19 w 1960 r.). Znaczna część wzrostu nominalnego PKB była zatem spowodowana inflacją, a nie rzeczywistą zmianą ilości produkowanych dóbr i usług, czyli nie wynikała ze wzrostu realnego PKB. Przypomnijmy, że nominalny PKB może zwiększyć się z dwóch powodów: wzrostu produkcji lub wzrostu cen. W celu określenia zmian wielkości produkcji należy wyłączyć wzrost cen ze zmian nominalnego PKB. W końcu dolary używane do pomiaru nominalnego PKB w 1960 r. są warte więcej niż dolary z 2020 r., których wartość jest niższa na skutek inflacji, przy czym wskaźnik cen mówi dokładnie, o ile więcej. Korekta jest łatwa do wykonania, jeśli rozumiesz, że zmienne nominalne są wyrażone wartościowo, tj.: Wartość nominalna = Cena × Ilość lub Nominalny PKB = Deflator PKB wart. nieprzeksz. × Realny PKB Z matematycznego punktu widzenia deflator PKB może przyjmować wartości mniejsze od jedności, takie jak 0,85, 0,79 czy 0,19. W powyższym wzorze oznaczamy je jako „wartości nieprzekształcone” deflatora PKB. Jednak zgodnie z powszechnie przyjętą konwencją podawane do publicznej wiadomości przez urzędy statystyczne wielkości deflatora PKB są zwyczajowo mnożone przez 100. W związku z czym: Deflator PKB wart. nieprzeksz. = Deflator PKB 100 Dalej posługujemy się właśnie tą konwencją. Czyli zamiast podawać wartości nieprzekształcone deflatora PKB (np. 0,19), piszemy, że deflator PKB wynosi 19 (bo 0,19 x 100 = 19). W konsekwencji powyższy wzór na nominalny PKB przyjmuje postać: Nominalny PKB = Deflator PKB 100 × Realny PKB A po przekształceniu realny PKB wynosi: Realny PKB = Nominalny PKB Deflator PKB / 100 Przeczytaj poniższą , aby przećwiczyć obliczanie realnego PKB. Obliczanie realnego PKB Możemy wykorzystać dane z do obliczenia realnego PKB. Krok 1. Dane w informują, że w 1960 r. nominalny PKB wyniósł 542,4 mld dol., a deflator PKB podawany przez urząd statystyczny miał wartość 19,0. Krok 2. Realny PKB w 1960 r. obliczamy w następujący sposób: Realny PKB = Nominalny PKB Deflator PKB / 100 = 542,4 19 / 100 = 2854,7 [mld dol.] We wzorze stosujemy dwa działania. Najpierw przywracamy podawaną do publicznej wiadomości wartość deflatora PKB do jego wartości nieprzekształconej (czyli dzielimy go przez 100) i otrzymujemy wartość 0,19. Następnie dzielimy nominalny PKB 542,4 mld dol. przez 0,19. Otrzymujemy 2854,7 mld dol. Krok 3. Do obliczenia realnego PKB w 1965 r. używamy tego samego wzoru. Realny PKB = Nominalny PKB Deflator PKB / 100 = 742,3 20,3 / 100 = 3656,7 [mld dol.] Krok 4. Na podstawie tego wzoru wyznaczamy wartości realnego PKB dla całego okresu 1960–2020. Obliczenia i wyniki przedstawiono w . Przeliczanie nominalnego PKB na realny PKB Rok Nominalny PKB (mld dol.) Deflator PKB (2005 = 100) Obliczenia Realny PKB (ceny stałe z 2005 r., mld dol.) 1960 542,4 19 oraz 542,4 / (19/100) oraz 2854,7 1965 742,3 20,3 oraz 742,3 / (20,3/100) oraz 3656,7 1970 1073,3 24,8 oraz 1073,3 / (24,8/100) oraz 4327,8 1975 1684,9 34,1 oraz 1684,9 / (34,1/100) oraz 4941,1 1980 2857,3 48,3 oraz 2857,3 / (48,3/100) oraz 5915,7 1985 4339,0 62,3 oraz 4339,0 / (62,3/100) oraz 6964,7 1990 5963,1 72,7 oraz 5963,1 / (72,7/100) oraz 8202,3 1995 7639,7 81,7 oraz 7639,7 / (81,7/100) oraz 9350,9 2000 10 251,0 89,0 oraz 10 251,0 / (89,0/100) oraz 11 518,0 2005 13 039,2 100,0 oraz 13 039,2 / (100/100) oraz 13 039,2 2010 15 049,0 110,0 oraz 15 049,0 / (110/100) oraz 13 680,9 2015 16 254,0 119,6 oraz 16 254,0 / (119,6/100) oraz 15 222,4 2020 18 206,0 129,88 oraz 18 206,0 / (129,88/100) oraz 16 086,9 (Źródło: Bureau of Economic Analysis, www.bea.gov). Na kilka rzeczy warto zwrócić uwagę. Przy obliczaniu wielkości realnych określony rok (lub okres) przyjęty jako punkt odniesienia dla szacunków odgrywa rolę szczególną. Jest to rok (lub okres) bazowy. Rok bazowy to ten, którego cen używamy do wyznaczania wielkości realnych. Kiedy obliczamy wartość realnego PKB, bierzemy ilość dóbr i usług wyprodukowanych w roku, którego dotyczy dana zmienna ekonomiczna (np. w 1960 lub 1973 r.), i mnożymy ją przez ceny z roku bazowego (w naszym przypadku z 2005 r.). W efekcie uzyskujemy PKB, który wykorzystuje ceny niezmieniające się między dwoma punktami w czasie. Dlatego wielkości realne są wyrażane w cenach stałych. W naszym przypadku realny PKB jest wyrażony w cenach stałych z 2012 r., co oznacza, że przy jego obliczaniu wykorzystujemy ceny występujące w 2005 r. W powyższym przykładzie rok 2005 jest rokiem bazowym, ale bazę może stanowić dowolny inny rok. Zgodnie z przyjętą przez nas konwencją wykorzystywany powyżej wzór na obliczanie realnego PKB można przekształcić do postaci: Deflator PKB = Nominalny PKB Realny PKB × 100 Realny PKB dla 2005 r. wynosi: Realny PKB = Nominalny PKB Deflator PKB / 100 = 13 039,2 100 / 100 = 13 039,2 [mld dol.] Dla 2005 r. nominalny PKB i realny PKB (wyrażony w cenach stałych z 2005 r.) są sobie równe. Nie jest to przypadek, lecz skutek tego, że rok 2005 został wybrany jako „rok bazowy”. Ponieważ wskaźnik cen w roku bazowym ma zawsze wartość 100 (z definicji), nominalny i realny PKB dla tego roku muszą być takie same. Realny PKB w 2015 r. jest obliczany w analogiczny sposób: Realny PKB = Nominalny PKB Deflator PKB / 100 = 16 254,0 110 / 100 = 15 222,4 [mld dol.] Na podstawie tych danych możemy dostrzec jeszcze jedną prawidłowość. Dopóki inflacja jest dodatnia, czyli ceny z roku na rok rosną, realny PKB powinien być niższy niż nominalny PKB w każdym roku po roku bazowym. Przyczyna jest prosta: wartość nominalnego PKB jest „zawyżona” przez inflację. Podobnie dopóki inflacja jest dodatnia, realny PKB powinien być wyższy niż nominalny PKB w każdym roku poprzedzającym rok bazowy. pokazuje nominalny i realny PKB w USA od 1960 r. Ponieważ rok 2005 jest rokiem bazowym, nominalny i realny PKB mają dla tego roku identyczną wartość. Jednak z biegiem czasu wzrost nominalnego PKB jest znacznie większy niż wzrost realnego PKB (innymi słowy, nominalny PKB na wykresie rośnie szybciej niż realny PKB), ponieważ występowanie inflacji, zwłaszcza w latach 70. XX w., skutkuje silnym wzrostem nominalnego PKB. Nominalny i realny PKB w USA w latach 1960–2020 Fioletowa krzywa przedstawia nominalny PKB w USA (w dolarach w cenach bieżących). Niebieska krzywa przedstawia realny PKB w dolarach w cenach stałych z 2005 r. Ponieważ realny PKB jest wyrażony w dolarach z 2005 r., obie krzywe przecinają się w 2005 r. Realny PKB jest wyższy niż nominalny PKB przed 2005 r., ponieważ w 2005 r. dolary były warte mniej niż w latach poprzednich. I odwrotnie, realny PKB jest niższy od nominalnego PKB po 2005 r., ponieważ w 2005 r. dolary były warte więcej niż w latach późniejszych. Wróćmy do pytania, które zadaliśmy na początku: Ile wyniosło tempo wzrostu realnego PKB w latach 1960–2010? Aby to obliczyć, stosujemy wzór na zmianę procentową: Realny PKB w 2010 r. − Realny PKB w 1960 r. Realny PKB w 1960 r. × 100% = Zmiana w proc. 13 680,9 − 2854,7 2854,7 × 100% = 379% Oznacza to, że realna produkcja dóbr i usług w Stanach Zjednoczonych od 1960 r. wzrosła prawie czterokrotnie. Oczywiście wynik ten nie jest tożsamy ze zmianą przeciętnego standardu życia czy w szerszym kontekście dobrobytu, ponieważ nie uwzględnia poprawy jakości wytwarzanych towarów i nowych produktów, które zostały wynalezione po 1960 r. Istnieje alternatywna, szybsza metoda pozwalająca w przybliżeniu obliczyć tempo wzrostu realnego PKB. Mianowicie: Nominalny PKB = Cena × Ilość Zmiana nominalnego PKB w proc. = Zmiana ceny w proc. + Zmiana ilości w proc. czyli Zmiana realnego PKB w proc. = Zmiana nominalnego PKB w proc. – Zmiana ceny w proc. A zatem tempo wzrostu realnego PKB (zmiana ilości wytwarzanych dóbr wyrażona w procentach) jest równe tempu wzrostu nominalnego PKB (zmiana wartości wytwarzanych dóbr wyrażona w procentach) pomniejszonemu o stopę inflacji (zmiana poziomu cen wyrażona w procentach). Należy pamiętać, że powyższa metoda działa tylko w przybliżeniu (im zmiany procentowe są większe, tym wynik jest mniej dokładny). Aby uzyskać dokładne wyniki, należy użyć pierwotnego wzoru. Podsumowanie Wartość nominalna zmiennej ekonomicznej jest wyrażona w cenach bieżących, tj. w cenach z okresu, dla którego dana zmienna ekonomiczna jest liczona. Wartość realna to wartość nominalna skorygowana o inflację. Wartość realna jest wyrażona w cenach stałych. Aby przekształcić zmienne nominalne z kilku różnych lat na zmienne realne, należy arbitralnie wybrać rok bazowy, a następnie wykorzystać wskaźnik cen do zamiany cen bieżących na ceny stałe z określonego roku bazowego. Pytania sprawdzające Na podstawie danych z określ, jaka część wzrostu nominalnego PKB w latach 1980–1990 wynikała ze wzrostu realnego PKB, a jaka ze wzrostu cen (inflacji). W latach 1980–1990 realny PKB wzrósł o (8202,3 - 5915,7) / (5915,7) = 38,7%. W tym samym okresie ceny wzrosły o (72,7 - 48,3) / (48,3/100) = 50,5%. Tak więc ok. 56,6% wzrostu nominalnego PKB (50,5/ (50,5 + 38,7) wynikało ze wzrostu cen (inflacji), a reszta, tj. 38,7/ (50,5 + 38,7) = 43,4% ze wzrostu realnego PKB. Sprawdź wiedzę Jaka jest różnica między szeregiem czasowym zmiennej nominalnej a szeregiem czasowym zmiennej realnej? Jak przekształcić szereg czasowy zmiennej nominalnej na wartości realne? Ćwicz myślenie krytyczne Czy ludzie powinni zwracać większą uwagę na dochody realne, czy dochody nominalne? Jeśli uważasz, że na dochody nominalne, zastanów się, dlaczego miałoby to mieć sens w dzisiejszym świecie? Czy twoja odpowiedź byłaby taka sama, gdyby miała dotyczyć lat 70. XX w.? Problemy Na podstawie nominalnych stóp procentowych i stóp inflacji przedstawionych w określ, w którym okresie sytuacja była korzystniejsza dla pożyczkodawcy, a w którym dla pożyczkobiorcy. Rok Stopa procentowa Stopa inflacji 1970 7,9% 5,7% 1974 10,8% 11,0% 1978 9,1% 7,6% 1981 18,9% 10,3% Kredyt hipoteczny to kredyt przeznaczony zazwyczaj na zakup nieruchomości (domu lub mieszkania). przedstawia wartości stóp oprocentowania kredytów hipotecznych oraz stóp inflacji dla kilku różnych lat. W jakich latach dobrze było wziąć kredyt na zakup domu lub mieszkania? W których latach lepiej było być bankiem udzielającym kredytu hipotecznego? Rok Stopa oprocentowania kredytów hipotecznych Stopa inflacji 1984 12,4% 4,3% 1990 10% 5,4% 2001 7,0% 2,8% Rok Stopa oprocentowania kredytów hipotecznych Stopa inflacji 1984 12,4% 4,3% 1990 10% 5,4% 2001 7,0% 2,8% wartość nominalna (ang. nominal value ) wartość wyrażona w cenach bieżących, czyli w cenach z okresu, dla którego jest liczona dana zmienna ekonomiczna; wartość nominalna nie jest skorygowana o inflację, jej przeciwieństwem jest wartość realna wartość realna (ang. real value ) wartość skorygowana o inflację, jej przeciwieństwem jest wartość nominalna", "section": "Przeliczanie wartości nominalnych na realne", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Śledzenie zmian realnego PKB w czasie Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić pojęcia ekspansji, recesji oraz górnego i dolnego punktu zwrotnego cyklu koniunkturalnego (szczytu i dna) Wytłumaczyć, dlaczego monitorowanie zmian realnego PKB w czasie jest procesem tak istotnym Kiedy media donoszą, że „w pierwszym kwartale gospodarka wzrosła o 1,2%”, liczby te dotyczą zmian procentowych realnego PKB. Zgodnie z przyjętą konwencją zmianę PKB podaje się w ujęciu rocznym. Jeśli wzrost realnego PKB został obliczony w danym kwartale w stosunku do kwartału poprzedniego, mnożymy go przez 4, aby podać przybliżone tempo zmian PKB w skali całego roku. Aby szacunek był jak najbliższy prawdzie, w takim przypadku należy też uwzględnić korektę sezonową; wygodniej jest od razu podawać zmianę procentową PKB w danym kwartale w stosunku do analogicznego kwartału poprzedniego roku – wówczas tempa wzrostu nie mnożymy przez 4, a wynik taki jest w zasadzie pozbawiony obciążenia czynnikiem sezonowym. PKB Stanów Zjednoczonych w latach 1930–2020 Realny PKB w Stanach Zjednoczonych w 2020 r. (w cenach stałych z 2009 r.) wyniósł ok. 18,4 bln dol. Po wyeliminowaniu wpływu inflacji oznacza to ok. 18-krotny wzrost wolumenu produkcji dóbr i usług w gospodarce amerykańskiej od początku czwartej dekady XX w. (Źródło: bea.gov). obrazuje ścieżkę zmian realnego PKB w USA od 1930 r. Krótkookresowe spadki wielkości produkcji niejednokrotnie przerywały długookresową ścieżkę wzrostu PKB. Spadek realnego PKB nazywamy recesją (ang. recession ). Zgodnie z polską nomenklaturą o recesji mówimy wtedy, gdy w ciągu dwóch kolejnych kwartałów poziom realnego PKB się obniża. Jest to tzw. recesja techniczna. Dla większości ekonomistów z recesją będziemy mieli do czynienia wtedy, gdy wartość realnego PKB na koniec roku kalendarzowego będzie niższa od analogicznej wartości na koniec roku poprzedniego. Taka sytuacja w Polsce miała miejsce w 2020 r., wskutek pandemii Covid-19, i był to jedyny taki przypadek po 1992 r. ( link do źródła ). Szczególnie długą i głęboką recesję nazywamy kryzysem (ang. crisis ), a w języku angielskim również terminem depression . Ogromny spadek PKB, który nastąpił podczas Wielkiego Kryzysu (ang. Great Depression ) lat 30. XX w., jest wyraźnie widoczny na wykresie, podobnie jak kryzys globalny z lat 2008–2009 (ang. Great Recession ). Warto podkreślić, że w Polsce w okresie występowania niekorzystnych zjawisk nazywanych globalnym kryzysem recesja się nie pojawiła. Zachowaliśmy status tzw. zielonej wyspy, co oznaczało, że byliśmy jednym krajem UE, w którym wartość realnego PKB w ujęciu rok do roku nieustannie rosła, jakkolwiek w niektórych latach dynamika wzrostu była bardzo niska (np. 1,5% w 2012, 0,9% w 2013). Z kolei okres ożywienia, kiedy realny PKB się zwiększa, nazywamy ekspansją (ang. expansion ). Realny PKB jest ważną zmienną makroekonomiczną, ponieważ jest silnie skorelowany z innymi miarami aktywności gospodarczej, takimi jak zatrudnienie i bezrobocie. Wraz ze wzrostem realnego PKB zazwyczaj rośnie również zatrudnienie, jakkolwiek jeśli tempo wzrostu jest bardzo niskie (tak jak to miało miejsce w Polsce w latach 2012–2013 i 2001–2002), bezrobocie może utrzymywać się na niezmienionym poziomie lub nawet rosnąć również wtedy, gdy kraj notuje dodatnie tempo wzrostu realnego PKB. Najbardziej dotkliwym problemem społecznym wywoływanym przez recesje i kryzysy jest to, że wraz ze spadkiem poziomu produkcji szybko rośnie prawdopodobieństwo zwolnień pracowników. Utrata pracy wiąże się zaś z bolesnymi kosztami finansowymi i osobistymi tak dla samych pracowników, jak i ich rodzin. Ponadto osoby, którym pomimo recesji uda się zachować miejsce pracy, na ogół nie mają szans na uzyskanie podwyżki wynagrodzenia. Co więcej, pracodawcy borykający się ze spadkiem popytu na swoje produkty zazwyczaj próbują ograniczyć koszty wytwarzania, w związku z czym redukują płace. przedstawia okresy recesji i ekspansji w USA, począwszy od roku 1900. Gdy gospodarka znajduje się w punkcie, w którym wielkość produkcji osiąga maksimum i po przekroczeniu którego gospodarka wpada w recesję, mamy do czynienia z górnym punktem zwrotnym dotychczasowego trendu, czyli szczytem (ang. peak ). Analogicznie stan charakteryzujący się najniższym wolumenem produkcji, występujący pod koniec recesji i poprzedzający okres ożywienia, nazywany jest dolnym punktem zwrotnym, czyli dnem lub dołkiem (ang. trough ). Tak więc recesja trwa od szczytu do dna, a ekspansja (ożywienie gospodarcze) od dna do szczytu. Wahania w gospodarce trwające od szczytu do dna i od dna do szczytu nazywamy cyklem koniunkturalnym (ang. business cycle ). Ciekawym zjawiskiem jest to, że w XX w. w gospodarce amerykańskiej trzy najdłuższe ekspansje, liczone od dna do szczytu, wystąpiły po 1960 r. Recesja związana z globalnym kryzysem finansowym rozpoczęła się w grudniu 2007 r. i zakończyła formalnie w czerwcu 2009 r. Była to najpoważniejsza recesja od czasów Wielkiego Kryzysu lat 30. XX w. Trwająca od czerwca 2009 r. ekspansja również była stosunkowo długa, gdyż trwała do 2020 r., kiedy pojawiła się recesja wywołana przez pandemię koronawirusa. Dno Szczyt Okres recesji w miesiącach Okres ożywienia w miesiącach Grudzień 1900 Wrzesień 1902 18 21 Sierpień 1904 Maj 1907 23 33 Czerwiec 1908 Styczeń 1910 13 19 Styczeń 1912 Styczeń 1913 24 12 Grudzień 1914 Sierpień 1918 23 44 Marzec 1919 Styczeń 1920 7 10 Lipiec 1921 Maj 1923 18 22 Lipiec 1924 Październik 1926 14 27 Listopad 1927 Sierpień 1929 23 21 Marzec 1933 Maj 1937 43 50 Czerwiec 1938 Luty 1945 13 80 Październik 1945 Listopad 1948 8 37 Październik 1949 Lipiec 1953 11 45 Maj 1954 Sierpień 1957 10 39 Kwiecień 1958 Kwiecień 1960 8 24 Luty 1961 Grudzień 1969 10 106 Listopad 1970 Listopad 1973 11 36 Marzec 1975 Styczeń 1980 16 58 Lipiec 1980 Lipiec 1981 6 12 Listopad 1982 Lipiec 1990 16 92 Marzec 1991 Marzec 2001 8 120 Listopad 2001 Grudzień 2007 8 73 Czerwiec 2009 Luty 2020 18 128 Kwiecień 2020 - 2 - Cykle gospodarcze w USA od 1900 r. (Źródło: http://www.nber.org/cycles/main.html). National Bureau of Economic Research (NBER) , prywatna amerykańska instytucja badawcza, zajmuje się badaniem cykli koniunkturalnych w gospodarce USA. Analiza zmiennych makroekonomicznych, takich jak stopa bezrobocia i poziom dochodów rozporządzalnych, wskazuje, że negatywne skutki recesji często utrzymują się jeszcze długo po oficjalnej dacie jej zakończenia wyznaczonej przez NBER. Podsumowanie W perspektywie długookresowej realny PKB Stanów Zjednoczonych znacznie wzrósł. Jednocześnie produkcja nie zwiększała się co roku o taką samą wielkość. Obserwowane w czasie wahania wolumenu produkcji tworzą cykle koniunkturalne. Gdy PKB spada, pojawia się zjawisko recesji. Dłuższy i głębszy spadek produkcji to kryzys. Recesje zaczynają się w szczycie cyklu koniunkturalnego (górnym punkcie zwrotnym) i kończą w dołku (dolnym punkcie zwrotnym). Okres ożywienia, kiedy realny PKB rośnie, nazywamy ekspansją. Pytania sprawdzające Spójrz na bez patrzenia na . Jeśli zdefiniujemy recesję jako znaczny spadek produkcji krajowej, to czy oprócz recesji z lat 2008–2009 możesz wskazać jeszcze inne recesje, które wystąpiły po 1960 r.? (Odpowiedź wymaga wykorzystania własnej intuicji). Dwie inne recesje są widoczne na wykresie jako niewielkie spadki PKB: w latach 1973–1975 i 1981–1982. Na wykresie można wskazać jeszcze dwa okresy spowolnienia gospodarczego przejawiającego się spłaszczeniem ścieżki wzrostu realnego PKB: w latach 1990–1991 i 2001. Wykorzystując dane przedstawione w , powiedz, jak często zdarzały się recesje od zakończenia II wojny światowej (tj. od 1945 r.). W ciągu około 70 lat wystąpiło 11 recesji, czyli pojawiały się średnio raz na sześć lat. Jak długo, zgodnie z , trwała przeciętna recesja od zakończenia II wojny światowej? Dla każdej recesji przedstawiono w tabeli miesiące, w których produkcja spadła. Uśrednienie tych danych dla okresu po II wojnie światowej daje średni czas trwania recesji wynoszący 11 miesięcy, czyli nieco mniej niż rok. Jak długo, zgodnie z , trwała przeciętna faza ekspansja od zakończenia II wojny światowej? W tabeli przedstawiono miesiące, w których produkcja rosła. Uśrednienie tych danych dla okresu po II wojnie światowej daje średni czas trwania ekspansji wynoszący 60,5 miesiąca, czyli ponad pięć lat. Sprawdź wiedzę Jak wygląda typowa ścieżka wahań PKB dla kraju wysoko rozwiniętego, np. Stanów Zjednoczonych, w krótkim i długim okresie? Ćwicz myślenie krytyczne Dlaczego PKB Stanów Zjednoczonych jest dziś o wiele wyższy niż 50 czy 100 lat temu? Dlaczego PKB nie rośnie w stałym tempie, lecz wykazuje wahania w czasie? Bibliografia The National Bureau of Economic Research. “Information on Recessions and Recoveries, the NBER Business Cycle Dating Committee, and related topics.” http://www.nber.org/cycles/main.html. cykl koniunkturalny (ang. business cycle ) krótkookresowe wahania poziomu aktywności gospodarczej w trakcie naprzemiennie występujących okresów ożywienia i recesji cykl gospodarczy zob. cykl koniunkturalny kryzys (ang. crisis lub ang. depression ) szczególnie długotrwały i głęboki spadek poziomu aktywności gospodarczej załamanie gospodarcze zob. kryzys depresja zob. kryzys szczyt (ang. peak ) punkt w czasie, gdy wielkość PKB osiąga maksimum i po przekroczeniu którego rozpoczyna się recesja górny punkt zwrotny cyklu koniunkturalnego zob. szczyt recesja (ang. recession ) okres spadku poziomu PKB; zgodnie z definicją przyjętą w Polsce pojawia się, gdy realny poziom PKB spada przez dwa kolejne kwartały dno (ang. trough ) punkt w czasie, gdy PKB osiąga najniższy poziom; występuje pod koniec recesji, tuż przed rozpoczęciem ożywienia dolny punkt zwrotny cyklu koniunkturalnego zob. dno dołek zob. dno ekspansja (ang. expansion ) okres ożywienia, kiedy wartość realnego PKB się zwiększa", "section": "Śledzenie zmian realnego PKB w czasie", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Porównywanie PKB w różnych krajach Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć, w jaki sposób możemy wykorzystać PKB do porównania poziomu dobrobytu w różnych krajach Przeliczać PKB z jednej waluty na drugą przy użyciu kursów walutowych Obliczyć PKB per capita przy wykorzystaniu danych na temat liczby ludności PKB jest powszechnie używany do pomiaru poziomu dobrobytu ekonomicznego lub standardu życia. Przy porównywaniu PKB różnych państw od razu dają się zauważyć dwie kwestie. Po pierwsze, PKB jest wyrażony w walucie danego kraju: w USA walutą jest dolar amerykański, w Kanadzie dolar kanadyjski, w większości państw Europy Zachodniej euro, w Japonii jen, w Meksyku peso, a w Polsce złoty. Porównując dwa kraje, musimy zatem przeliczyć ich poziomy PKB na wspólną walutę. Drugą kwestią jest to, że państwa są bardzo zróżnicowane pod względem liczby ludności. Na przykład gospodarka Stanów Zjednoczonych jest znacznie większa niż Polski, Meksyku czy Kanady, ale mają też one prawie trzy razy więcej ludności niż Meksyk i dziewięć razy więcej niż Kanada czy Polska. Tak więc aby porównać standard życia w różnych krajach, musimy podzielić ich PKB przez liczbę ludności. Przeliczanie walut przy użyciu kursów walutowych Aby porównać PKB krajów mających różne waluty (np. Polski i USA), konieczne jest wyrażenie ich PKB w jednej wspólnej walucie. Przeliczanie walut odbywa się za pomocą kursów walutowych (ang. exchange rates ). Kurs walutowy jest wartością jednej waluty wyrażoną w innej walucie. Zapisujemy go jako liczbę jednostek waluty krajowej w przeliczeniu na jedną jednostkę waluty obcej (np. w Polsce liczba polskich złotych za 1 dolara – taki sposób określa się jako notowanie odwrotne) lub jako liczbę jednostek waluty obcej odpowiadającej jednej jednostce waluty krajowej (np. w Wielkiej Brytanii liczba złotych za 1 funta brytyjskiego – notowania proste). Do przeliczania PKB możemy użyć dwóch rodzajów kursów walutowych: kursów rynkowych oraz kursów obliczonych według parytetu siły nabywczej ( PSN )(ang. purchasing power parity (PPP) ). Rynkowe kursy wymiany zmieniają się z dnia na dzień, w zależności od popytu i podaży walut na rynkach walutowych. Kursy wg PSN zapewniają stabilniejszą, bardziej długookresową miarę kursu walutowego i uwzględniają różnice w poziomie cen między krajami. Z tego powodu ekonomiści do porównań PKB w różnych krajach zazwyczaj stosują kursy wg PSN. Kursy walutowe bardziej szczegółowo omówimy w . Poniższa wyjaśnia, jak przeliczyć PKB na wspólną walutę. Przeliczanie PKB na wspólną walutę Wykorzystanie kursu walutowego do przeliczenia PKB z jednej waluty na inną jest proste. Załóżmy, że chcemy porównać PKB z roku 2021 w dwóch krajach, Polsce i USA. PKB Polski w tym okresie wyniosło 2,62 bln zł, zaś w Stanach Zjednoczonych blisko 23 bln dol. Krok 1. Znajdź kurs walutowy dla danego roku. W 2021 r. kurs zgodny z parytetem siły nabywczej (wg danych Międzynarodowego Funduszu Walutowego) wyniósł 1,824 zł za 1 dol. (Liczby te są prawdziwe, ale zaokrąglone w celu uproszczenia obliczeń. Zwróć uwagę, jak bardzo kurs obliczony zgodnie z PSN różni się od kursów rynkowych!) Krok 2. Przelicz PKB Polski na dolary amerykańskie: PKB Polski w dolarach = PKB Polski w złotych Kurs walutowy (zł / 1 dol.) = 2,62 bln zł 1,824 zł za 1 dol. = 1 437,81 mld dol. Krok 3. Porównaj uzyskany wynik z poziomem PKB Stanów Zjednoczonych. PKB USA wyniósł w 2021 r. blisko 23 bln dol., czyli blisko 16 razy więcej niż PKB Polski w tym samym okresie. Krok 4. Spójrz na , która pokazuje poziom PKB różnych krajów w 2021 r. Wartości PKB wyrażone w dolarach amerykańskich obliczamy na podstawie metody przedstawionej wyżej. Kraj PKB w mld jednostek waluty krajowej Waluta Kurs walutowy wg PSN (liczba jednostek waluty krajowej za 1 dol.) PKB wg PSN w mld dol. Polska 2 622,184 złoty 1,824 1 437,81 Kanada 2 493,13 dolar kanadyjski 1,23 2 024,96 Chiny 114 433,70 juan 4,21 27 206,09 Egipt 6 660,66 funt egipski 4,58 1 455,50 Niemcy 3 601,75 euro 0,74 4 888,36 Indie 236 646,40 rupia 23,22 10 193,54 Japonia 541 369,40 jen 96,56 5 606,55 Meksyk 26 306,70 peso 9,86 2 669,06 Czechy 6 108,43 korona 12,95 471,76 Węgry 55 256,67 forint 152,64 362,00 USA 22 996,08 dolar amerykański 1,000 22 996,08 Porównanie poziomów PKB między krajami w 2021 r. PKB per capita Chiny wykazują najwyższą wartość PKB ze wszystkich krajów świata, jeśli jako przelicznik zastosujemy kurs zgodny z PSN. Mają także ogromną populację – od wieków były najludniejszym krajem świata, jakkolwiek według szacunków w 2023 r. Indie odbiorą im palmę pierwszeństwa. Czy gospodarka Chin jest większa niż gospodarki innych krajów tylko dlatego, że Kraj Środka zamieszkuje więcej osób, czy też dlatego, że gospodarka Chin charakteryzuje się wyższym poziomem dochodu w przeliczeniu na jednego mieszkańca? Możemy odpowiedzieć na to pytanie, obliczając PKB per capita (ang. GDP per capita ). W tym celu dzielimy PKB przez liczbę ludności. PKB per capita = PKB/liczba ludności Druga kolumna przedstawia PKB różnych krajów świata – tych samych, które były wyszczególnione w . Wartości w drugiej kolumnie są takie same jak w ostatniej kolumnie . Trzecia kolumna przedstawia liczbę ludności, zaś czwarta zawiera wartość PKB na jednego mieszkańca. PKB per capita otrzymujemy w dwóch krokach. Pierwszym jest uzyskanie tego samego rzędu wielkości liczb w drugiej i trzeciej kolumnie. Przyjmijmy, że chcemy wyrazić wszystkie liczby w milionach. Ponieważ 1 mld = 1000 mln, wartości w drugiej kolumnie przyjmują wartość np.: 1 437,81 mld = 1437,81 x 1000 mln. Gdy wielkości w obu kolumnach zostaną już wyrażone w milionach, można wykonać drugi krok, czyli podzielenie PKB przez liczbę ludności. Kraj PKB (dol.) Liczba ludności PKB per capita (dol.) Polska 1 437,81 mld 37,84 mln 37 996,97 Kanada 2 024,96 mld 38,23 mln 52 973,02 Chiny 27 206,09 mld 1 412,60 mln 19 259,59 Egipt 1 455,50 mld 102,10 mln 14 255,66 Niemcy 4 888,36 mld 83,20 mln 58 757,18 Indie 10 193,54 mld 1 393,41 mln 7 315,54 Japonia 5 606,55 mld 125.51 mln 44 671,26 Meksyk 2 669,06 mld 128,97 mln 20 694,82 Czechy 471,76 mld 10,50 mln 44 951,41 Węgry 362,00 mld 9,73 mln 37 201,20 USA 22 996,08 mld 332,18 mln 69 227,11 PKB per capita w 2021 r. (Źródło: https://data.imf.org/?sk=388dfa60-1d26-4ade-b505-a05a558d9a42). Czy Chiny prześcigną Stany Zjednoczone pod względem poziomu życia? Jak wynika z , Chiny są obecnie największą gospodarką świata pod względem wielkości PKB: ponad 27 bln dol. (przeliczonych z waluty lokalnej zgodnie z PSN) w porównaniu z niespełna 23 bln dol. w Stanach Zjednoczonych. Chiny mają jednak znacznie (ok. czterokrotnie) większą liczbę ludności, więc w przeliczeniu na mieszkańca ich PKB stanowi mniej niż jedną trzecią PKB Stanów Zjednoczonych (19 259,59 dol. wobec 69 227,11 dol.). Mieszkańcy Chin są nadal dość biedni w porównaniu z obywatelami Stanów Zjednoczonych i innych krajów wysoko rozwiniętych. Trzeba tylko pamiętać, co zostanie omówione wkrótce, że PKB na mieszkańca stanowi jedynie przybliżoną miarę poziomu życia w danym kraju. Państwa o wysokich dochodach – w tym Stany Zjednoczone, Kanada, kraje UE i Japonia – zazwyczaj mają PKB na mieszkańca wyższy niż 30 tys. dol. Kraje o średnich dochodach, do których należy duża część państw Ameryki Łacińskiej i Azji Wschodniej, osiągają PKB na mieszkańca w przedziale 6–30 tys. dol. Kraje o niskich dochodach, z których wiele znajduje się w Afryce Subsaharyjskiej, często notują PKB na mieszkańca poniżej 6 tys. dol. rocznie. Podsumowanie Ponieważ PKB jest mierzone w walucie danego kraju, porównanie różnych krajów pod względem poziomu produktu globalnego wymaga przeliczenia PKB na wspólną walutę. Możemy to zrobić przy wykorzystaniu kursu walutowego, który jest ceną waluty jednego kraju wyrażoną w walucie innego. Po przeliczeniu PKB na wspólną walutę możemy porównać kraje pod względem wartości produktu globalnego na jednego mieszkańca, dzieląc PKB ogółem przez liczbę ludności. Kraje o dużej liczbie ludności często notują wysoki poziom PKB, ale jest on mylącym wskaźnikiem poziomu dobrobytu. Lepszą miarą poziomu życia jest PKB per capita . Pytania sprawdzające Czy jest możliwy wzrost poziomu PKB przy jednoczesnym spadku wartości PKB per capita ? Czy jest możliwy spadek PKB przy wzroście PKB per capita ? Tak. Odpowiedź na oba pytania zależy od tego, czy PKB rośnie szybciej, czy wolniej niż liczba ludności. Jeśli liczba ludności wzrasta szybciej niż PKB, PKB kraju rośnie, ale PKB per capita spada. Jeśli PKB maleje, ale liczba ludności maleje szybciej, wówczas PKB spada, a PKB per capita rośnie. Republika Środkowoafrykańska ma PKB na poziomie 1 107 689 mln franków CFA i liczbę ludności równą 4,862 mln. Kurs walutowy wynosi 284,681 franków CFA za dolara. Oblicz PKB per capita Republiki Środkowoafrykańskiej w dolarach. Pierwszym krokiem jest podzielenie PKB we frankach CFA przez kurs walutowy, aby przeliczyć walutę krajową na dolary amerykańskie. Tak uzyskany wynik dzielimy następnie przez liczbę ludności, aby otrzymać PKB na jednego mieszkańca. A zatem: 1 107 689 mln franków / 284,681 franków za dolara / 4,862 mln osób = 800,28 dol. PKB na mieszkańca Republiki Środkowoafrykańskiej wynosi więc 800,28 dol. Sprawdź wiedzę Jakie są dwa główne problemy, które pojawiają się przy porównywaniu PKB różnych krajów? Ćwicz myślenie krytyczne Przy porównaniach PKB na mieszkańca między krajami wykorzystujemy zazwyczaj kursy walutowe odpowiadające parytetowi siły nabywczej (PSN), które są miarą wartości kursu wymiany w długim okresie i uwzględniają różnice cen w porównywanych krajach. W tym podrozdziale stosowaliśmy kursy walutowe wg PSN. Dlaczego stosowanie rynkowych kursów walut, które czasami wykazują silne wahania w krótkim okresie, jest gorszym rozwiązaniem? Dlaczego PKB na mieszkańca może być tylko niedoskonałą miarą poziomu życia w danym kraju? Problemy Etiopia ma PKB w wysokości 8 mld dol. i liczbę ludności na poziomie 55 mln. Kostaryka ma PKB w wysokości 9 mld dol. i populację na poziomie 4 mln. Oblicz PKB per capita i określ, w którym kraju jest on wyższy. W 1980 r. Dania miała PKB w wysokości 70 mld dol. i 5,1 mln ludności. W 2000 r. Dania miała PKB na poziomie 160 mld dol., a jej populacja wzrosła do 5,3 mln. O ile procent wzrósł PKB na mieszkańca w Danii w latach 1980–2000? Czechy mają PKB w wysokości 1800 mld koron. Kurs walutowy wynosi 25 koron za dolara. Ludność Czech liczy 20 mln osób. Ile wynosi PKB per capita w Czechach w przeliczeniu na dolary? kurs walutowy (ang. exchange rate) cena jednej waluty wyrażona w innej walucie PKB per capita (ang. GDP per capita ) wartość PKB podzielona przez liczbę ludności PKB na mieszkańca zob. PKB per capita parytet siły nabywczej (ang. purchasing power parities (PPP) ) wskaźniki poziomu różnic w cenach pomiędzy krajami; kurs wymiany, dzięki któremu ceny towarów będących przedmiotem handlu międzynarodowego są mniej więcej takie same we wszystkich krajach", "section": "Porównywanie PKB w różnych krajach", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Czy za pomocą PKB można zmierzyć dobrobyt? Po przeczytaniu tego podrozdziału będziesz w stanie: Ocenić, w jaki sposób produktywność gospodarki wpływa na poziom dobrobytu Wskazać ograniczenia PKB jako miary poziomu dobrobytu Dokonać analizy związku pomiędzy PKB a zmianami poziomu życia PKB na mieszkańca mierzy częściowo to, co rozumiemy przez „standard życia” lub „poziom dobrobytu”. W końcu nie bez przyczyny większość migrantów na świecie stanowią osoby przenoszące się z krajów o relatywnie niskim do państw o względnie wysokim PKB per capita . Jednak „poziom dobrobytu” to pojęcie szersze niż sam PKB. PKB mierzy tylko wielkość produkcji, która jest przedmiotem wymiany rynkowej. Natomiast poziom dobrobytu ( standard życia ) (ang. standard of living ) obejmuje wszystkie elementy, które wpływają na dobrobyt mieszkańców, niezależnie od tego, czy są przedmiotem wymiany rynkowej, czy też nie. Aby wyjaśnić różnicę między PKB a poziomem dobrobytu, warto poznać czynniki nieuwzględniane w PKB, a wpływające na standard życia. Ograniczenia PKB jako miary poziomu dobrobytu Chociaż PKB obejmuje wydatki na podróże i rekreację, nie uwzględnia ilości czasu wolnego. Istnieje wszak zasadnicza różnica pomiędzy krajami, których wysoki PKB wynika z faktu, że ludzie pracują bardzo długo, a tymi, których PKB jest równie wysoki, ale jest zasługą dużej produktywności pracowników, dzięki której obywatele tego kraju nie muszą pracować aż tak dużo i cieszą się większą ilością czasu wolnego przy tym samym poziomie produkcji dóbr i usług. Jak przedstawiono w , PKB na mieszkańca w Stanach Zjednoczonych jest większy niż w Niemczech. Czy wynika z tego, że standard życia w USA jest wyższy? Niekoniecznie, ponieważ prawdą jest również to, że przeciętny pracownik w USA pracuje rocznie kilkaset godzin dłużej niż przeciętny pracownik w Niemczech. Tymczasem PKB nie uwzględnia dodatkowych tygodni czasu wolnego niemieckiego pracownika. Chociaż PKB obejmuje wydatki na ochronę środowiska, opiekę zdrowotną i edukację, nie mierzy faktycznego zanieczyszczenia środowiska naturalnego, stanu zdrowia mieszkańców ani poziomu edukacji obywateli. PKB zawiera koszt zakupu sprzętu do kontroli zanieczyszczeń, ale nie uwzględnia tego, czy powietrze i woda dzięki instalacji tego wyposażenia są rzeczywiście czystsze. PKB obejmuje wydatki na opiekę medyczną, ale nie odzwierciedla tego, czy oczekiwana długość życia lub śmiertelność noworodków uległy poprawie. Podobnie PKB obejmuje wydatki na edukację, ale nie wyraża tego, ilu mieszkańców potrafi czytać i pisać lub jakie są wyniki dzieci i młodzieży w standardowych testach osiągnięć edukacyjnych PISA. PKB obejmuje produkcję, która jest przedmiotem wymiany rynkowej. Nie uwzględnia natomiast tej, która nie przechodzi przez rynek. Na przykład koszt zatrudnienia pracownika do koszenia trawnika lub sprzątania domu jest wliczany do PKB, ale już samodzielne wykonywanie tych zadań nie jest w nim brane pod uwagę. Jedną z ważnych zmian w gospodarce USA w ostatnich dziesięcioleciach był wzrost udziału kobiet w sile roboczej. Zgodnie z danymi Amerykańskiego Urzędu Statystyki Pracy (ang. Bureau of Labor Statistics ) w 1970 r. tylko ok. 42% pań należało do opłacanej siły roboczej, natomiast w drugiej dekadzie XXI w. odsetek ten wzrósł do prawie 60%. Ponieważ znacznie więcej kobiet w USA podjęło zatrudnienie, wiele usług, które kiedyś wykonywały w ramach nieodpłatnej pracy w domu, np. przygotowywanie posiłków, sprzątanie i opieka nad dziećmi, stało się przedmiotem wymiany rynkowej, co sprawia, że amerykański PKB jest większy, nawet jeśli ludzie faktycznie nie konsumują więcej usług niż 50 lat temu. PKB nic nie mówi na temat poziomu nierówności w społeczeństwie. PKB per capita mierzy tylko średni dochód w gospodarce. Kiedy PKB na mieszkańca wzrasta o 5%, może to oznaczać, że dochód wszystkich obywateli zwiększył się o 5% lub że dochód niektórych grup wzrósł bardziej, innych zaś w mniejszym stopniu albo nawet spadł. Z PKB nie można także nic wnioskować na temat różnorodności produkowanych dóbr. Jeśli rodzina w ciągu roku kupuje 100 bochenków chleba, z punktu widzenia PKB nie ma znaczenia to, czy wszystkie bochenki to białe pieczywo, czy też rodzina kupuje pieczywo pszenne, żytnie, pumpernikiel itp. – dla wielkości PKB istotna jest tylko całkowita kwota wydawana na chleb. Z PKB niewiele też można wyczytać na temat dostępnych technologii i produktów. A przecież na poziom życia wpływ ma nie tylko ilość pieniędzy, ale także to, co można za nie kupić. W 1950 lub 1900 r. nie można było kupić wielu dóbr dostępnych dzisiaj. W połowie XX w. bez względu na ilość posiadanych pieniędzy nie można było nabyć np. smartfonów ani komputerów osobistych, które mimo wszystko znacznie ułatwiają życie. W niektórych przypadkach nie jest nawet jasne, czy samo zjawisko wzrostu PKB jest pożądane. Jeśli miasto zostało zniszczone przez katastrofę żywiołową (powódź lub huragan), a teraz jest pracowicie odbudowywane, to w konsekwencji PKB rośnie, ale stwierdzenie, że huragan był korzystny dla rozwoju miasta, byłoby niezwykle ryzykowne. Jeśli ludzie żyją w ciągłym strachu przed rosnącą przestępczością i płacą duże pieniądze za instalowanie krat w oknach i alarmów antywłamaniowych, trudno uznać, że będący konsekwencją tych działań wzrost PKB poprawia poziom ich życia. Podobnie niektórzy twierdzą, że sprzedaż pewnych towarów, takich jak materiały pornograficzne czy filmy przedstawiające brutalne treści, nie poprawia standardu życia społeczeństwa. Czy wzrost PKB jest wyższy, czy niższy niż wzrost poziomu dobrobytu? Ponieważ PKB per capita nie mierzy w pełni poziomu dobrobytu, pojawiają się obawy, że wzrost PKB nic nam nie mówi o zmianach standardu życia mieszkańców. Teoretycznie jest możliwe, że wzrostowi PKB towarzyszy spadek poziomu życia, jeśli pogarsza się zdrowie ludności, zwiększa się zanieczyszczenie środowiska czy też zmieniają w niekorzystnym kierunku inne czynniki, które wpływają na poziom życia, ale nie są uwzględniane w PKB. Na szczęście ten strach wydaje się przesadzony. Można wymienić czynniki, dzięki którym wzrost PKB jest niższy niż rzeczywisty wzrost poziomu dobrobytu. Na przykład typowy czas pracy osoby zatrudnionej w USA spadł w ciągu ostatniego stulecia z ok. 60 godzin do mniej niż 40 godzin tygodniowo. Średnia długość życia, stan zdrowia i poziom wykształcenia gwałtownie wzrosły. Od 1970 r. w Stanach Zjednoczonych zmniejsza się zanieczyszczenie powietrza i wody. Pojawiły się nowe technologie uprzyjemniające czas wolny i podróże, ułatwiające poszukiwanie informacji i poprawiające stan zdrowia mieszkańców. Obecnie dostępny jest znacznie większy wachlarz podstawowych produktów, takich jak żywność i odzież, niż jeszcze kilkadziesiąt lat temu. Ponieważ PKB nie uwzględnia czasu wolnego, stanu zdrowia, zanieczyszczenia środowiska, możliwości stwarzanych przez nowe technologie ani różnorodności towarów, faktyczne tempo wzrostu standardu życia Amerykanów w ostatnich dekadach przewyższyło dynamikę wzrostu PKB. Z drugiej strony przestępczość, natężenie ruchu ulicznego i nierówności dochodowe są obecnie w Stanach Zjednoczonych wyższe niż w latach 60. XX w. Co więcej, znaczna liczba usług świadczonych kiedyś przez kobiety w formie pracy w domu jest dziś przedmiotem wymiany rynkowej i wlicza się do PKB. Czynniki te sprawiają, że tempo wzrostu PKB może być wyższe niż dynamika wzrostu poziomu dobrobytu. Odwiedź tę stronę internetową , aby przeczytać o tzw. amerykańskim śnie i poziomie życia w USA. PKB ma wady, ale jest użyteczny Wysoki poziom PKB per capita nie powinien być jedynym celem polityki państwa. Mimo że wskaźnik ten nie wyraża dobrze poziomu dobrobytu, poprawnie mierzy jednak wolumen produkcji i wskazuje, który kraj jest PRZECIĘTNIE lepszym lub gorszym miejscem do życia ze względu na wysokość dochodów i poziom konsumpcji. W większości krajów wzrost PKB per capita idzie w parze z poprawą wielu innych aspektów życia codziennego, takich jak edukacja, zdrowie i ochrona środowiska. Żaden pojedynczy wskaźnik nie może uchwycić wszystkich elementów szerokiego pojęcia, jakim jest poziom dobrobytu. Niemniej jednak PKB per capita jest rozsądną, przybliżoną miarą jakości i standardu życia. Jak radzi sobie gospodarka? Aby określić stan gospodarki, należy zbadać wskaźniki makroekonomiczne takie jak PKB. Z kolei wartość globalnego produktu per capita pozwala w przybliżony sposób oszacować standard życia obywateli. Obliczenie PKB to nie lada przedsięwzięcie. Jest to najszersza miara aktywności gospodarczej i za jej opracowanie twórcy tego parametru Simonowi Kuznetsowi należą się podziękowania. Gospodarka USA mierzona wielkością PKB jest ogromna, w 2021 r. wyprodukowała towary i usługi o wartości 23,3 bln dol. Na podstawie statystyk realnego PKB można stwierdzić, że recesja w latach 2008–2009 była dotkliwa, a wychodzenie z niej powolne, jednak stan gospodarki od tego momentu znacznie się poprawił, pomimo ponownych turbulencji związanych z epidemią koronawirusa. Ten rozdział stanowi wprowadzenie do kolejnych, w których analizie poddane zostaną inne kluczowe zmienne makroekonomiczne, takie jak bezrobocie, inflacja czy stopy procentowe, i jednocześnie przedstawione zostaną związki pomiędzy tymi parametrami i determinującymi je czynnikami. Podsumowanie PKB jest jedynie przybliżonym miernikiem poziomu dobrobytu. Produkt globalny nie uwzględnia bezpośrednio ilości czasu wolnego, zanieczyszczenia środowiska, stanu zdrowia, wykształcenia, produkcji niebędącej przedmiotem wymiany rynkowej, nierówności dochodowych, różnorodności dostępnych towarów, postępu technicznego ani też (dodatniej lub ujemnej) wartości, jaką społeczeństwo może przypisać niektórym produktom. Pytania sprawdzające Wyjaśnij krótko, czy wzrost PKB jest wyższy, czy niższy niż wzrost poziomu dobrobytu, biorąc pod uwagę występowanie poniższych czynników. Zanieczyszczenie środowiska rośnie Przestępczość spada Zwiększa się wybór towarów dostępnych dla konsumentów Śmiertelność niemowląt spada Zanieczyszczenie środowiska obniża ogólny standard życia, ale nie jest wliczane do PKB, więc wzrost PKB byłby wyższy niż wzrost poziomu dobrobytu. Mniejsza przestępczość podnosi standard życia, ale nie jest wliczana bezpośrednio do PKB, a zatem wzrost PKB byłby niższy niż wzrost poziomu dobrobytu. Większa różnorodność towarów poprawia standard życia, ale nie jest wliczana bezpośrednio do PKB, więc wzrost PKB byłby niższy niż wzrost poziomu dobrobytu. Spadek śmiertelności niemowląt jest mocnym sygnałem podnoszenia się standardu życia, ale nie jest wliczany bezpośrednio do PKB, a zatem wzrost PKB byłby niższy niż wzrost poziomu dobrobytu. Sprawdź wiedzę Wymień kilka powodów, dla których ekonomiści nie powinni używać PKB jako miary poziomu dobrobytu. Ćwicz myślenie krytyczne Jak można zmierzyć „zielony” PKB? poziom dobrobytu (ang. standard of living ) wszystkie czynniki wpływające na szczęście (dobrobyt) ludzi niezależnie od tego, czy są one przedmiotem wymiany rynkowej standard życia zob. poziom dobrobytu", "section": "Czy za pomocą PKB można zmierzyć dobrobyt?", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Średnia dzienna konsumpcja kalorii per capita W ciągu ostatnich 200 lat wzrosła nie tylko liczba kalorii spożywanych, ale także ilość żywności którą ludzie mogą nabyć za wynagrodzenie za pracę. (Źródło: modyfikacja pracy Lauren Manning/Flickr Creative Commons). Kalorie a wzrost gospodarczy Człowiek potrzebuje przeciętnie ok. 2500 kilokalorii dziennie, w zależności od utrzymywanej aktywności fizycznej, wzrostu, wagi i płci. Ekonomista Brad DeLong szacuje, że w Europie Zachodniej na początku XVII w. średnie wynagrodzenie umożliwiało każdego dnia zakup 2500 kilokalorii (kcal) możliwych do przyswojenia z pożywienia. 200 lat później przeciętny zachodnioeuropejski pracownik mógł sobie pozwolić na codzienny zakup 3000 kcal w produktach żywnościowych. W latach 1800–1875 (to zaledwie 75 lat!) wzrost gospodarczy w Europie Zachodniej był tak szybki, że pracownicy mogli już kupić żywność dostarczającą 5000 kcal dziennie. Prawie 140 lat później, w 2012 r., pracownik o relatywnie niskich kwalifikacjach w zamożnym, wysoko uprzemysłowionym kraju mógł sobie codziennie pozwolić na zakup 240 tys. kcal w produktach żywnościowych. Co spowodowało tak szybki wzrost poziomu życia w latach 1800–1875 i później? Dlaczego wiele krajów, zwłaszcza w Europie, Ameryce Północnej i Azji Południowo-Wschodniej, może zapewnić wyżywienie swoich społeczeństw w sposób bardziej niż wystarczający, podczas gdy w innych krajach znaczący odsetek ludności boryka się z głodem lub niedożywieniem? Na te i inne pytania odpowiemy, analizując długookresowy wzrost gospodarczy. Wprowadzenie do tematu wzrostu gospodarczego Dzięki lekturze tego rozdziału dowiesz się: Od kiedy w globalnej gospodarce można zaobserwować zjawisko wzrostu gospodarczego Jakie są relacje między produktywnością pracy i wzrostem gospodarczym Jakie są najważniejsze czynniki wzrostu gospodarczego Czym jest zjawisko konwergencji dochodowej (realnej) Każdy kraj powinien dbać o wzrost gospodarczy. W Stanach Zjednoczonych i innych krajach o wysokich dochodach stawiane jest pytanie, czy wzrost gospodarczy będzie nadal zapewniał tak znaczące podniesienie standardu życia, jak miało to miejsce w XX w. Czy kraje o średnim dochodzie, takie jak Chiny, Egipt czy Polska, dogonią kraje o wyższym dochodzie, czy też utkną w „pułapce średniego dochodu” i nigdy nie osiągną poziomu PKB per capita charakterystycznego dla krajów Europy Zachodniej, USA i Kanady. Na początku 2023 r. aż 719 mln ludzi na całym świecie, spośród populacji liczącej 7,9 mld, utrzymywało się z dochodów wynoszących średnio mniej niż 2,15 dolara dziennie, co nie różni się zbytnio od poziomu życia sprzed 2000 lat. Czy można im pomóc wyzwolić się z przerażającej biedy? Gdy uświadomimy sobie doniosłość tego pytania, trudno przestać o nim myśleć. Znacząca i relatywnie szybka poprawa standardu życia społeczeństw zamieszkujących biedne kraje jest możliwa. Po wojnie koreańskiej pod koniec lat 50. XX w. Republika Korei, często nazywana po prostu Koreą Południową, była jedną z najbiedniejszych gospodarek na świecie. Większość Południowych Koreańczyków pracowała w drobnych gospodarstwach rolnych. Według brytyjskiego ekonomisty Angusa Maddisona, który zajmował się mierzeniem PKB i liczby ludności w gospodarce światowej na przestrzeni bardzo długich okresów, PKB na mieszkańca wyrażone w międzynarodowych dolarach z 1990 r. wynosiło wówczas w Korei Południowej 854 dol. rocznie. Od lat 60. do początku XXI w., a więc w okresie pozostającym w zasięgu pamięci wielu wciąż żyjących osób, gospodarka Korei Południowej rozwijała się bardzo szybko. W ciągu tych czterech dekad PKB per capita wzrastał o ponad 6% rocznie. Według Banku Światowego PKB Korei Południowej przekracza obecnie 30 tys. dol. w wartościach nominalnych, co plasuje ją wśród krajów o wysokim dochodzie, takich jak Włochy, Nowa Zelandia czy Izrael. Traktując jako kryterium wartość PKB z roku 2015, można powiedzieć, że Korea Południowa jest jedenastą największą gospodarką świata. Jak na kraj liczący 50 mln ludzi ta transformacja jest niezwykła. Korea Południowa służy nam jako niezwykle wyrazisty przykład przemian, ale państw, które doświadczyły w drugiej połowie XX w. szybkiego i trwałego wzrostu gospodarczego, jest więcej. Tajlandia i Indonezja, inne kraje Azji Wschodniej, także odnotowywały bardzo szybkie tempo wzrostu gospodarczego. Podobnie Chiny, w których z początkiem lat 80. XX w. rozpoczął się proces reform rynkowych. Równie pozytywnym przykładem jest Polska, która po wejściu do Unii Europejskiej (tj. po 2004 r.) odrobiła 27 punktów procentowych różnicy w poziomie PKB per capita w stosunku do średniego poziomu w UE (w roku 2004 PKB per capita Polski przeliczony wg parytetu siły nabywczej stanowił tylko 52% średniego PKB w przeliczeniu na jednego mieszkańca w UE, zaś w roku 2022 było to już 79%). Pozwoliło nam to prześcignąć w wartości tego wskaźnika nie tylko Węgry, ale również Grecję i Portugalię, i znacząco zbliżyć się do Hiszpanii. PKB per capita w gospodarkach o wysokim dochodzie, takich jak Stany Zjednoczone, również bardzo wzrósł, choć w dłuższym okresie. Od czasu wojny secesyjnej Stany Zjednoczone przekształciły się z gospodarki opartej na rolnictwie i obszarach wiejskich w gospodarkę bazującą na usługach, produkcji i technologii. Należy jednocześnie podkreślić, iż w niniejszym rozdziale koncentrować się będziemy na pojęciu wzrostu gospodarczego, czyli zmianach ilościowych oznaczających wzrost wartości globalnego PKB, oraz wartości tego wskaźnika w przeliczeniu na jednego mieszkańca. Jednak ekonomiści operują też pojęciem rozwoju gospodarczego, które jest znacznie szersze i obok zmian ilościowych obejmuje również te jakościowe. Elementem rozwoju gospodarczego jest np. zmiana struktury gospodarki, czyli spadek udziału rolnictwa i przemysłu w tworzeniu PKB i jednoczesny wzrost udziału usług. Jak łatwo zauważyć, zmiany ilościowe i jakościowe są ze sobą skorelowane i trudno wyobrazić sobie zarówno wzrost gospodarczy, który nie zamienia się z czasem w rozwój, jak również rozwój gospodarczy, któremu nie towarzyszy zjawisko wzrostu.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Współczesny wzrost gospodarczy Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać warunki, które umożliwiły szybki wzrost gospodarczy w ciągu ostatnich dwóch stuleci Analizować wpływ polityki gospodarczej na tempo długookresowego wzrostu gospodarczego Zacznijmy od krótkiego przeglądu najbardziej spektakularnych przykładów wzrostu gospodarczego na świecie w ciągu ostatnich dwóch wieków. Powszechnie nazywamy ten okres współczesnym wzrostem gospodarczym (ang. modern economic growth ). (W dalszej części rozdziału omówimy również czynniki determinujące niższe stopy wzrostu gospodarczego oraz niektóre kluczowe elementy rozwoju gospodarczego). Szybki i trwały wzrost gospodarczy jest relatywnie współczesnym doświadczeniem ludzkości. Wprawdzie wcześniej, przed rokiem 1800, władcy, przedstawiciele szlachty i ludzie najbardziej przedsiębiorczy mogli sobie pozwolić na ekstrawaganckie wprost wydatki (przypomnijmy tu choćby opisy ostentacyjnej konsumpcji polskiej magnaterii – sanny po cukrze, złote podkowy koni itd.), a gospodarki rosły ponad poziom zapewniający minimalny poziom egzystencji większości populacji, jednak standard życia przeciętnego człowieka w ciągu stuleci istotnie się nie zmieniał. I oto na przełomie XVIII i XIX w. na światową gospodarkę zaczęły oddziaływać zmiany zapoczątkowane przez rewolucję technologiczną i instytucjonalną. Według holenderskiego historyka gospodarczego Jana Luitena van Zandena wykorzystywanie pracy niewolników, stały wzrost liczby ludności i przeciętnego okresu życia, tworzenie globalnych szlaków handlowych oraz standaryzacja instytucji handlowych, które rozprzestrzeniały się wraz z ekspansją imperiów kolonialnych, stanowiły podstawę sukcesu rewolucji przemysłowej. Rewolucja przemysłowa (ang. Industrial Revolution ) to termin, który oznacza powszechne wykorzystanie urządzeń napędzanych parą oraz zmian ekonomicznych i społecznych, które nastąpiły w pierwszej połowie XIX w. Coraz bardziej skomplikowane maszyny – silnik parowy, krosno mechaniczne, kolej i parowce, a później również silniki elektryczny i spalinowy – wykonywały prace, które bez nich wymagałyby zatrudnienia ogromnej liczby robotników. Rewolucja przemysłowa rozpoczęła się w Wielkiej Brytanii, a wkrótce rozprzestrzeniła się na Stany Zjednoczone, Niemcy i inne kraje świata. Warto przy tym zwrócić uwagę, że rewolucja przemysłowa była zmianą ilościową (elementem rozwoju gospodarczego), która przekształciła się w wyższe tempo wzrostu PKB. Praca polegająca na obsłudze tych maszyn była często wyczerpująca, mało satysfakcjonująca i niebezpieczna (według współczesnych standardów), ale alternatywne możliwości zatrudnienia w ówczesnym rolnictwie i zakładach rzemieślniczych we wsiach i małych miasteczkach również wiązały się z olbrzymim wysiłkiem i ryzykiem. Nowe miejsca pracy powstające w czasie rewolucji przemysłowej oferowały jednak zazwyczaj wyższe wynagrodzenie i szansę na mobilność społeczną. Rozpoczął się samonapędzający się cykl: nowe wynalazki i inwestycje generowały zyski, zyski zapewniały fundusze na kolejne nowe inwestycje i wynalazki, a te stwarzały możliwości dalszych zysków. Stopniowo grupa krajów położonych w Europie i Ameryce Północnej wyrywała się z wielowiekowego zastoju i rozpoczynała okres szybkiego, nowoczesnego wzrostu. W ciągu ostatnich dwóch stuleci średnie tempo wzrostu PKB na mieszkańca w czołowych krajach uprzemysłowionych wynosiło ok. 2% rocznie. A jak wyglądało to wcześniej? Aby uzyskać odpowiedź, przeczytaj informacje zawarte w poniższej Ramce. Warunki ekonomiczne przed rokiem 1870 Angus Maddison, historyk gospodarczy zajmujący się szacunkami wysokości PKB w perspektywie całych stuleci, przeprowadził systematyczne badanie dochodów narodowych przed rokiem 1870. Ekonomiści ostatnio udoskonalili i wykorzystali jego metody do opracowania szacunków PKB per capita w ciągu pierwszych 14 wieków naszej ery. stanowi ważny kontrapunkt dla większości rozważań zawartych w niniejszym rozdziale. Pokazuje bowiem, że kraje i regiony mogą zarówno się rozwijać, jak i upadać. Spadek dochodów determinowany jest przez szeroki wachlarz czynników, takich jak: epidemie, klęski żywiołowe, katastrofy ekologiczne, niezdolność do zarządzania wielkimi imperiami oraz wyjątkowo powolne tempo postępu technologicznego i instytucjonalnego. Instytucje w rozumieniu ekonomicznym to tradycja, powszechnie akceptowane sposoby postępowania, tabu i prawa, dzięki którym ludzie w danej społeczności zachowują się w określony sposób i przestrzegają powszechnie obowiązujących reguł. Do takich instytucji należą m.in.: reguły porządkujące kwestie prokreacyjne (małżeństwo i zasady dziedziczenia), nakazy religijne (np. „czcij ojca swego i matkę swoją” czy muzułmański obowiązek jałmużny – zakat), sposoby gromadzenia i przekazywania wiedzy (jaką swobodą i niezależnością od władzy religijnej i świeckiej cieszą się uczeni na uniwersytetach) i legitymizacja władzy (pochodzi od Boga, jest wynikiem wyborów itd.). Postęp instytucjonalny to rozwój i kodyfikacja tych instytucji w celu wzmocnienia porządku społecznego, a tym samym wzrostu i rozwoju gospodarczego. Jednym z przykładów takiej ekonomicznej instytucji jest Magna Carta (Wielka Karta Swobód), której podpisanie angielska szlachta wymusiła na królu Janie bez Ziemi w 1215 r. Magna Carta skodyfikowała zasady sprawiedliwego procesu, zgodnie z którymi wolny człowiek nie mógł być ukarany, jeśli nie wydano przeciwko niemu zgodnego z prawem wyroku. Zarówno Polska w licznych przywilejach szlacheckich, jak i Stany Zjednoczone w swojej konstytucji przejęły później tę koncepcję. Ta kluczowa zmiana instytucjonalna mogła przyczynić się do spektakularnego wzrostu gospodarczego w ciągu kolejnych 130 lat w Anglii, dzięki któremu PKB na mieszkańca w tym kraju w 1348 r. był niższy wyłącznie od wartości tego wskaźnika notowanej w północnych Włoszech, czyli najbogatszym regionie ówczesnego świata. W badaniach nad wzrostem gospodarczym ramy instytucjonalne funkcjonujące w danym kraju odgrywają kluczową rolę. pokazuje także, że przez prawie 1300 lat na całym świecie PKB w przeliczeniu na jednego mieszkańca był względnie równy. Dopiero w późniejszym okresie można dostrzec znaczne rozbieżności w dochodach (nie jest to przedstawione w tabeli). Szacunki PKB na mieszkańca w bieżących dolarach międzynarodowych od roku 1 do 1348 n.e. Rok Północne Włochy Hiszpania Anglia Holandia Bizancjum Irak Egipt Japonia 1 800 600 600 600 700 700 700 - 730 - - - - - 920 730 402 1000 - - - - 600 820 600 - 1150 - - - - 580 680 660 520 1280 - - - - - - 670 527 1300 1588 864 892 - - - 610 - 1348 1486 907 919 - - - - - (Źródło: Bolt and van Zanden. “The First Update of the Maddison Project. Re-Estimating Growth Before 1820.” 2013). Innym fascynującym i mało znanym faktem jest relatywnie wysoki poziom dochodu wypracowany na przełomie pierwszego i drugiego tysiąclecia przez islamskie imperium Abbasydów, które zostało założone na terenie dzisiejszego Iraku w 730 r. n.e. W szczytowym okresie kalifat obejmował duże obszary Bliskiego Wschodu, Afryki Północnej i Hiszpanii, ale w ciągu kolejnych 200 lat nastąpił jego stopniowy upadek. Rewolucja przemysłowa doprowadziła do zwiększenia nierówności pomiędzy państwami. Niektóre gospodarki rosły coraz szybciej, podczas gdy inne, np. w Afryce i Azji, pozostały na poziomie zapewniającym ludziom jedynie minimum socjalne. Uśrednione szacunki pokazują, że 17 najbardziej rozwiniętych gospodarek świata miało w 1870 r. przeciętnie 2,4 razy większy PKB na głowę mieszkańca w porównaniu z gospodarkami najbiedniejszymi. Do 1960 r. grupa krajów uprzemysłowionych zwiększyła ten dystans, a ich średni PKB per capita był już 4,2 raza wyższy w porównaniu z grupą najbiedniejszych krajów. Niemniej już w połowie XX w. niektóre słabiej rozwinięte kraje pokazały, że nadrobienie takich zaległości jest możliwe. W latach 60. i 70. XX w. nastąpiło przyspieszenie dynamiki wzrostu gospodarczego w Japonii, gdzie tempo wzrostu realnego PKB na mieszkańca wynosiło średnio 11% rocznie. Niektóre kraje Ameryki Łacińskiej też doświadczyły okresów szybkiego rozwoju gospodarczego w drugiej połowie XX w. Na przykład w Brazylii w latach 1968–1973 PKB per capita wzrastał średnio o 11,1% rocznie. W latach 70. szybki wzrost gospodarczy odnotowały niektóre gospodarki wschodnioazjatyckie, w tym Korea Południowa, Tajlandia i Tajwan. W krajach tych tempo wzrostu PKB na mieszkańca wynosiło od 11% do 12% rocznie. Gospodarka Chin, z populacją przekraczającą 1,4 mld ludzi, od roku 1984 r. do początku XXI w. rosła w tempie 9% rocznie. Indie, z dziś już taką samą liczbą ludności jak w Chinach, też odnotowały obiecujące przyspieszenie, z PKB per capita rosnącym w tempie ok. 4% rocznie w latach 90. XX w. i tendencją wzrostową w pierwszej i drugiej dekadzie XXI w. Na tym tle wyniki Polski nie wyglądają może zbyt imponująco, niemniej przez ostatnich 30 lat średnioroczne tempo wzrostu gospodarczego w naszym kraju było o ponad 2 punkty procentowe wyższe niż średnia dla państw tzw. starej UE, co pozwoliło na systematyczne zmniejszanie różnicy w poziomie PKB per capita między Polską a Niemcami, Francją czy Hiszpanią. Odwiedź tę stronę , aby poczytać o Azjatyckim Banku Rozwoju. Niestety, fala zmian polegająca na trwałym przyspieszeniu tempa wzrostu gospodarczego nie dotarła do wszystkich krajów. W subsaharyjskiej Afryce, państwach takich jak Niger, Tanzania i Sudan, PKB na głowę mieszkańca na początku XXI w. nadal nie przekroczył poziomu 300 dol., czyli był niewiele wyższy niż w XIX w. i epoce przedindustrialnej. Jednak w kontekście ogólnej sytuacji ludzi o niskich dochodach na całym świecie dobre wiadomości gospodarcze z Chin (populacja: 1,4 mld) i Indii (populacja: 1,4 mld) są zdumiewające i dają nadzieję na poprawę sytuacji całej ludzkości, mimo wszystkich negatywnych zjawisk występujących szczególnie w Chinach (zanieczyszczenie środowiska, nierespektowanie praw człowieka, zmiany klimatyczne itd.). Wzrost gospodarczy w ciągu ostatnich dwóch stuleci spowodował zaskakujące zmiany w warunkach ludzkiej egzystencji. Richard Easterlin , ekonomista z University of Southern California, napisał w 2000 r.: Wielowymiarowa rewolucja w warunkach bytowania ludzi ogarnia cały świat. Większość ludzkości jest obecnie lepiej odżywiona, ubrana i mieszka w lepszych warunkach niż jeszcze dwa wieki temu. Są zdrowsi, lepiej wykształceni i żyją dłużej. Życie kobiet w mniejszym stopniu koncentruje się na reprodukcji, a kraje z demokratyczną formą rządów zaczynają zdecydowanie przeważać. Chociaż liderami tych zmian były państwa Europy Zachodniej (i współpracujące z nią), w XX w. do grupy tej dołączyła większość mniej rozwiniętych krajów, a najnowszymi jej członkami stały się nowo powstające kraje Afryki Subsaharyjskiej. Chociaż nie jest to obraz powszechnego postępu, jest to jednak największy postęp w zakresie warunków życia ludzkości, jaki kiedykolwiek osiągnięto w tak krótkim czasie. Państwo prawa a wzrost gospodarczy Wzrost gospodarczy jest pochodną wielu czynników. Do kluczowych zaliczyć trzeba przestrzeganie zasad państwa prawa (ang. rule of law ) oraz ochronę praw własności (ang. protection of property rights ) i swobodę zawierania umów (ang. contractual rights ). W podręczniku do mikroekonomii w rozdziale poświęconym zawodności rynku (podrozdział https://openstax.org/books/mikroekonomia-podstawy/pages/11-wprowadzenie-do-rozdzialu ) omówione zostały prawa jednostek i firm do korzystania z posiadanej własności według własnego uznania. Jeśli masz 100 zł, możesz – zgodnie z prawem – dysponować tymi pieniędzmi, wydając je na zakup wybranych produktów, pożyczając, czy też trzymając w słoiku. To jest twoja własność. Definicja własności obejmuje nie tylko własność rzeczy fizycznych i środków finansowych, ale także prawo do twojego wykształcenia i zdobywania doświadczenia, zwłaszcza że wykształcenie w największym stopniu decyduje o twoich dochodach i tym samym o standardzie życia. Korzystanie z tej własności obejmuje prawo do zawierania umów z innymi podmiotami, na podstawie których można czerpać dochody z tytułu sprzedaży lub najmu. Tylko właściciele mogą zawierać umowy dotyczące ich własności. Swoboda zawierania umów oparta jest na koncepcji praw własności i pozwala jednostkom zawierać umowy dotyczące korzystania z posiadanych przez nich zasobów, zapewniając możliwość odwołania się do systemu prawnego w przypadku ich nieprzestrzegania. Jednym z możliwych przykładów wykorzystania praw własności i swobody zawierania umów jest umowa o pracę. Wykwalifikowany chirurg operuje chorą osobę i oczekuje zapłaty za swoją wiedzę i umiejętności. Brak zapłaty stanowiłby kradzież niematerialnych zasobów posiadanych przez lekarza. W społeczeństwie z silną ochroną praw własności i swobodą zawierania umów warunki kontraktu pacjent–chirurg zostaną spełnione, nawet jeżeli osoba operowana odmówi zapłaty, ponieważ lekarz ma możliwość odwołania się do sądu w celu uzyskania uzgodnionej w umowie kwoty. Bez systemu prawnego, który egzekwuje postanowienia umów, ludzie nie byliby skłonni do ich zawierania ze względu na ryzyko braku zapłaty. Utrudniłoby to prowadzenie działalności gospodarczej i spowolniło tempo wzrostu gospodarczego. Bank Światowy uznaje system prawny danego państwa za skuteczny, jeśli stoi on na straży egzekucji praw własności i swobody zawierania umów. Organizacja ta opracowała system rankingowy dla krajowych systemów prawnych, w oparciu o kryteria skutecznej ochrony praw własności i rządów prawa, według skali od 1 do 6, gdzie 1 oznacza ocenę najniższą, a 6 najwyższą. W 2013 r. średnia światowa wartość w tym rankingu wyniosła 2,9. Trzy kraje z najniższymi notami (na poziomie 1,5) to Afganistan, Republika Środkowoafrykańska i Zimbabwe. Ich PKB per capita wynosiło odpowiednio: 679; 333 i 1007 dol. W przypadku Afganistanu Bank Światowy wskazuje na niski standard życia, niestabilną strukturę władz różnych szczebli i nieprzestrzeganie zasad praworządności, co hamuje wzrost gospodarczy tego kraju. Pozbawiona dostępu do morza Republika Środkowoafrykańska ma niewielkie zasoby gospodarcze, jest niestabilna politycznie, dodatkowo z kraju tego pochodzą dzieci wykorzystywane w handlu ludźmi. W Zimbabwe po 1998 r. zazwyczaj notowano ujemne tempo wzrostu gospodarczego. Redystrybucja zasobów ziemi i kontrola cen zakłóciły funkcjonowanie mechanizmu rynkowego, a korupcja i przemoc zdominowały proces polityczny. Chociaż na świecie odnotowywano wzrost średniego tempa rozwoju gospodarczego, to kraje, w których brakuje jasnego systemu egzekucji praw własności i niezależnego systemu sądowniczego wolnego od korupcji, pozostały pod tym względem daleko w tyle. Key Concepts and Summary Na początku XIX w. zapoczątkowany został spektakularny proces długofalowego, stabilnego wzrostu gospodarczego, podczas którego wiodące gospodarki świata – głównie z Europy Zachodniej i Ameryki Północnej – zwiększały PKB per capita w średnim tempie ok. 2% rocznie. W ciągu ostatnich 70 lat państwa, takie jak Japonia, Korea Południowa i Chiny wykazały potencjał do nadrabiania tych zaległości. Rewolucja przemysłowa ułatwiła upowszechnienie zjawiska, które ekonomiści często określają mianem nowoczesnego wzrostu gospodarczego. W jej wyniku produktywność pracowników, jak również skala wymiany handlowej znacznie wzrosły, a tempo rozwoju instytucji rynkowych i metod zarządzania procesami gospodarczymi przyspieszyło. Self-Check Questions Wyjaśnij pojęcie rewolucji przemysłowej i wskaż, gdzie się rozpoczęła. Rewolucja przemysłowa odnosi się do okresu powszechnego wykorzystywania urządzeń napędzanych energią oraz zmian gospodarczych i społecznych, które nastąpiły w pierwszej połowie XIX w. Coraz bardziej skomplikowane maszyny – takie jak silnik parowy czy krosno elektryczne – wykonywały zadania, do których wcześniej potrzeba było ogromnej liczby robotników. Rewolucja przemysłowa rozpoczęła się w Wielkiej Brytanii, a wkrótce objęła Stany Zjednoczone, Niemcy i inne kraje. Wyjaśnij różnicę między prawami własności a prawem do swobodnego zawierania umów. Dlaczego mają one znaczenie dla wzrostu gospodarczego? Prawa własności to prawa jednostek i firm do posiadania własności i korzystania z niej według własnego uznania. Prawo własności daje możliwość jeżdżenia swoim samochodem na uczelnię lub na wakacje. Natomiast swoboda zawierania umów opiera się na prawach własności i pozwala jednostkom na zawieranie umów z innymi podmiotami w zakresie korzystania z ich własności, zapewniając możliwość odwołania się do systemu prawnego w przypadku ich nieprzestrzegania. W wypadku powyższego przykładu swoboda zawierania umów oznacza, że możesz wykorzystać swój samochód do odpłatnego podwożenia kolegów na zajęcia, a jeśli nie będą chcieli uiścić zapłaty, masz prawo odwołać się do sądu. Wzrost gospodarczy, czyli powiększanie się wolumenu produkcji, to zjawisko nieodłącznie związane ze wzrostem dochodów i rosnącym standardem życia. Aby występował, społeczeństwa muszą stworzyć środowisko prawne, które daje jednostkom możliwość pełnego i najlepszego możliwego wykorzystania ich własności (gwarantując nie tylko prawo do posiadania samochodu, ale również do wykorzystania go do odpłatnego świadczenia usług), w tym prawo do najmu lub sprzedaży tej własności. Bez systemu prawnego, który wspomaga egzekwowanie umów, ludzie nie byliby skłonni do ich zawierania ze względu na ryzyko braku zapłaty. Utrudniłoby to prowadzenie działalności gospodarczej i spowolniło wzrost gospodarczy. Review Questions W jaki sposób rewolucja przemysłowa zwiększyła tempo wzrostu gospodarczego i poziom dochodów w Stanach Zjednoczonych? Czy tempo wzrostu gospodarczego niższe o 2 punkty procentowe od dynamiki wzrostu krajów sąsiednich powinno być powodem poważnego zaniepokojenia dla społeczeństwa danego kraju? Uzasadnij swoją odpowiedź. Critical Thinking Question W ciągu ostatnich 50 lat wiele krajów odnotowało roczny wzrost realnego PKB na mieszkańca większy niż Stany Zjednoczone. Przykładem są Chiny, Japonia, Korea Południowa i Tajwan. Czy oznacza to, że gospodarka Stanów Zjednoczonych kurczy się w stosunku do innych krajów? A może jest to sygnał wskazujący, że kraje te nieuchronnie wyprzedzą Stany Zjednoczone pod względem poziomu realnego PKB per capita ? Objaśnij sposób swojego rozumowania. References Bolt, Jutta, and Jan Luiten van Zanden. “The Maddison Project: The First Update of the Maddison Project Re-Estimating Growth Before 1820 (Maddison-Project Working Paper WP-4).” University of Groningen: Groningen Growth and Development Centre . Last modified January 2013. http://www.ggdc.net/maddison/publications/pdf/wp4.pdf. Central Intelligence Agency. “The World Factbook: Country Comparison GDP (Purchasing Power Parity).” https://www.cia.gov/library/publications/the-world-factbook/rankorder/2001rank.html. DeLong, Brad. “Lighting the Rocket of Growth and Lightening the Toil of Work: Another Outtake from My ‘Slouching Towards Utopia’ MS....” This is Brad DeLong's Grasping Reality (blog). September 3, 2013. http://delong.typepad.com/sdj/2013/09/lighting-the-rocket-of-growth-and-lightening-the-toil-of-work-another-outtake-from-my-slouching-towards-utopia-ms.html. Easterlin, Richard A. “The Worldwide Standard of Living since 1800.” The Journal of Economic Perspectives . no. 1 (2000): 7–26. http://pubs.aeaweb.org/doi/pdfplus/10.1257/jep.14.1.7. Maddison, Angus. Contours of the World Economy 1-2030 AD: Essays in Macro-Economic History . Oxford: Oxford University Press, 2007. British Library. “Treasures in Full: Magna Carta.” http://www.bl.uk/treasures/magnacarta/. Rothbard, Murray N. Ludwig von Mises Institute. “Property Rights and the Theory of Contracts.” The Ethics of Liberty . Last modified June 22, 2007. http://mises.org/daily/2580. Salois, Matthew J., J. Richard Tiffin, and Kelvin George Balcombe. IDEAS: Research Division of the Federal Reserve Bank of St. Louis. “Impact of Income on Calorie and Nutrient Intakes: A Cross-Country Analysis.” Presention at the annual meeting of the Agricultural and Applied Economics Association, Pittsburg, PA, July 24–26, 2011. http://ideas.repec.org/p/ags/aaea11/103647.html. van Zanden, Jan Luiten. The Long Road to the Industrial Revolution: The European Economy in a Global Perspective, 1000–1800 (Global Economic History Series) . Boston: Brill, 2009. The World Bank. “CPIA Property Rights and Rule-based Governance Rating (1=low to 6=high).” http://data.worldbank.org/indicator/IQ.CPA.PROP.XQ. Rex A. Hudson, ed. Brazil: A Country Study . “Spectacular Growth, 1968–73.” Washington: GPO for the Library of Congress, 1997. http://countrystudies.us/brazil/64.htm. swoboda zawierania umów (ang. contractual rights ) prawo podmiotów ekonomicznych do zawierania umów z innymi osobami fizycznymi i prawnymi w zakresie korzystania z ich własności, zapewniające możliwość odwołania się do systemu prawnego w przypadku niedotrzymania warunków umowy rewolucja przemysłowa (ang. Industrial Revolution ) okres powszechnego wykorzystania maszyn i rozwoju produkcji fabrycznej oraz związanych z tym zmian gospodarczych i społecznych w pierwszej połowie XIX w. nowoczesny wzrost gospodarczy (ang. modern economic growth ) okres szybkiego wzrostu gospodarczego trwający od 1870 r. państwo prawa (ang. rule of law ) powszechne stosowanie przepisów i regulacji, które chronią prawa osób fizycznych i prawnych w zakresie korzystania z ich własności według własnego uznania; prawo musi być jasne, powszechnie znane, sprawiedliwe, egzekwowane i stosowane w taki sam sposób wobec wszystkich członków społeczeństwa rządy prawa zob. państwo prawa ochrona praw własności (ang. protection of property rights ) przepisy prawa cywilnego, chroniące prawo rzeczowe osób fizycznych i prawnych, którego treścią jest uprawnienie do posiadania, korzystania oraz rozporządzania rzeczami z wyłączeniem innych osób, w granicach ustanowionych przepisami prawa i zasadami współżycia społecznego.", "section": "Współczesny wzrost gospodarczy", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wydajność pracy a wzrost gospodarczy Po przeczytaniu tego podrozdziału będziesz w stanie: Określić znaczenie wydajności pracy jako czynnika przekładającego się na wzrost gospodarczy Analizować źródła wzrostu gospodarczego przy użyciu zagregowanej funkcji produkcji Mierzyć tempo wzrostu produktywności gospodarki Ocenić znaczenie trwałego wzrostu gospodarczego Trwały i długoterminowy wzrost gospodarczy jest przede wszystkim pochodną wzrostu produktywności pracowników. W najszerszym kontekście przekłada się on na wartość ich pracy, np. mierzoną wartością rynkową dóbr wytworzonych przez nich lub dzięki ich pośredniemu zaangażowaniu w proces produkcyjny (wbrew obiegowym opiniom księgowi i pracownicy kadr też są produktywni) w jednostce czasu (w ciągu godziny, miesiąca lub roku). Innymi słowy, pojęcie produktywności jest użytecznym narzędziem pozwalającym na udzielenie odpowiedzi na pytanie o to, jak efektywnie dany kraj wykorzystuje swoich pracowników. Wydajność pracy lub produktywność pracy (ang. labor productivity ) to wartość, jaką każda zatrudniona osoba wytwarza w ciągu umownej jednostki swojego czasu pracy. Warto w tym miejscu zwrócić uwagę na to, że chodzi o wartość pracy, a nie jej fizyczny efekt. Najprostszym sposobem na zrozumienie pojęcia wydajności pracy jest wyobrażenie sobie polskiego piekarza, który w ciągu dnia pracy może wypiec 10 bochenków chleba, a każdy z ich zostanie sprzedany za 6 zł, co w przeliczeniu daje 1,5 dol. W tym samym okresie amerykański piekarz wyprodukuje tylko 6 bochenków chleba, ale każdy z nich zostanie sprzedany za 3 dol. Który z piekarzy jest bardziej wydajny? Oczywiście ten amerykański, gdyż wartość jego pracy w przeliczeniu na tę konkretną jednostkę czasu jest wyższa (18 dol.) w porównaniu z wartością pracy polskiego piekarza (15 dol.). Z drugiej strony jednak polski piekarz może mieć wyższą wydajność pracy w stosunku rocznym, ponieważ w ciągu roku przepracuje aż 300 dni (wyprodukuje zatem 3000 bochenków chleba, których wartość rynkowa wyniesie 4500 dol.), podczas gdy piekarz amerykański tylko 220 dni (wyprodukuje jedynie 1320 bochenków chleba, których wartość wyniesie 3960 dol.). Większa produktywność co do zasady oznacza, że możesz zrobić więcej w tym samym czasie, co oczywiście zwiększa wartość PKB. Co decyduje o wydajności pracowników? Odpowiedź jest dość intuicyjna i wynika przede wszystkim z powyższego przykładu. Najważniejszym czynnikiem determinującym wydajność pracy jest wartość rynkowa wytwarzanych przez pracownika dóbr. Trudno sobie wyobrazić sytuację, w której osoba zatrudniona w rolnictwie byłaby bardziej produktywna od wysokiej klasy specjalisty z dziedziny finansów. Ten drugi zarówno w trakcie godziny, jak i roku wytwarza usługi, których wartość jest zazwyczaj znacznie wyższa od wartości dóbr, które w ciągu godziny lub roku wyprodukuje rolnik. Od czego jednak zależy wartość dóbr lub usług wytwarzanych przez konkretnego pracownika? Pierwszym czynnikiem, który ją determinuje, jest kapitał ludzki. Kapitał ludzki (ang. human capital ) to zgromadzona wiedza (wynikająca z wykształcenia i doświadczenia), umiejętności i kompetencje, które posiada przeciętny pracownik w danej gospodarce. Zazwyczaj im wyższy średni poziom edukacji w gospodarce, tym wyższy jest zakumulowany kapitał ludzki i tym większa wydajność pracy. Aby pracować w rolnictwie, najczęściej nie potrzeba specjalistycznej wiedzy (lecz sporo siły fizycznej), ale praca na stanowisku księgowego wymaga ukończenia nie tylko studiów, ale również specjalistycznych szkoleń. Drugim czynnikiem determinującym wydajność pracy jest zmiana technologiczna (ang. technological change ). Oznacza ona umiejętność przekształcenia wynalazku (ang. invention ) – który najczęściej jest wynikiem postępu wiedzy lub umiejętności inżynierskich – w innowację (ang. innovation ), czyli sposób, w jaki wynalazek może zostać wykorzystany do wygenerowania rynkowego dochodu. Na przykład na początku lat 90. ubiegłego stulecia grupa niemieckich naukowców wynalazła nowy format kompresji pliku dźwiękowego, który jest powszechnie znany jako mp3. To był wynalazek, ale dopiero stworzenie modelu biznesowego, który umożliwił zarabianie pieniędzy przy wykorzystaniu tego wynalazku (i przy okazji zrewolucjonizował sposób, w jaki słuchamy muzyki), możemy nazwać innowacją. Opracowanie tego formatu kompresji umożliwiło zminiaturyzowanie urządzeń odtwarzających muzykę, otworzyło rynek, na który weszły serwisy streamingowe, stało się istotną częścią smartfonów itd. Podobnie układ scalony (wynalazek) został stworzony w 1947 r. Pozwolił on na miniaturyzację urządzeń elektronicznych i zmniejszenie zużycia energii w porównaniu z technologią lampową, która była wykorzystywana wcześniej. Od tamtej pory postęp technologiczny umożliwił tworzenie coraz mniejszych i wydajniejszych układów scalonych, które są wszechobecne w przeróżnych produktach, takich jak smartfony, komputery czy schody ruchome. Dzięki opracowaniu tego wynalazku pracownicy docierają w różne miejsca z mniejszymi urządzeniami. Ludzie mogą ich używać do komunikowania się z innymi pracownikami, mierzenia jakości produktów lub wykonywania innych zadań w krótszym czasie, co przekłada się na zwiększenie wydajności wszystkich zatrudnionych osób. Trzecim czynnikiem decydującym o wydajności pracy są korzyści skali. Przypomnijmy, że korzyści skali (lub rosnące przychody ze skali produkcji) to spadek kosztu przeciętnego wraz ze wzrostem wolumenu produkcji. (Więcej o ekonomii skali przeczytasz w „Mikroekonomia – Podstawy” w podrozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/6-wprowadzenie-do-rozdzialu ). Rozważmy ponownie przypadek fikcyjnego polskiego piekarza, który mógł wypiec 10 bochenków chleba w ciągu dnia pracy. Mogłoby się okazać, że ta różnica w liczbie bochenków wypieczonych w ciągu dnia i roku przez polskiego i amerykańskiego rzemieślnika wynika jedynie z korzyści skali, polski piekarz bowiem ma dostęp do znacznie bardziej wydajnego i zautomatyzowanego pieca, którego obsługa nie jest tak uciążliwa, jak w przypadku sprzętu używanego przez amerykańskiego piekarza, i pozwala na obniżenie rynkowej ceny chleba. Dzięki temu klienci polskiego piekarza kupują więcej jego wyrobów, jego praca nie jest tak męcząca, a to bezpośrednio przekłada się na większy wkład jego pracy w PKB. Teraz, kiedy zbadaliśmy czynniki determinujące produktywność pracowników, przejdźmy do sposobu, w jaki ekonomiści mierzą wzrost gospodarczy i produktywność. Czynniki wzrostu gospodarczego: zagregowana funkcja produkcji Aby przeprowadzić analizę czynników wzrostu gospodarczego, warto pomyśleć o funkcji produkcji (ang. production function ), która jest techniczną relacją przekształcającą nakłady ekonomiczne, takie jak praca i kapitał (maszyny, surowce i środki finansowe), w produkty gotowe, takie jak towary i usługi, z których korzystają konsumenci. Mikroekonomiczna funkcja produkcji opisuje nakłady i wyniki przedsiębiorstwa lub branży. W makroekonomii połączenie pomiędzy nakładami a wynikami dla całej gospodarki nazywamy zagregowaną funkcją produkcji (ang. aggregate production function ). Elementy składowe zagregowanej funkcji produkcji Ekonomiści budują różne funkcje produkcji w zależności od tego, co jest przedmiotem ich badań. przedstawia dwa przykłady zagregowanych funkcji produkcji. W pierwszej z nich na (a), produktem (inaczej wynikiem) jest PKB. Nakładami w tym przykładzie są: siła robocza, kapitał ludzki, kapitał fizyczny i technologia. Bardziej szczegółowo omawiamy te nakłady w podrozdziale o czynnikach wzrostu gospodarczego. Zagregowana funkcja produkcji Zagregowana funkcja produkcji pokazuje, jakie czynniki determinują wielkość produkcji w całej gospodarce. (a) Produktem tej zagregowanej funkcji produkcji jest PKB. (b) Produktem tej zagregowanej funkcji produkcji jest PKB per capita . Ponieważ podajemy go w przeliczeniu na osobę, wkład pracy wliczamy już do innych czynników i nie musimy wymieniać go osobno. Mierzenie produktywności Stopa wzrostu produktywności gospodarki jest ściśle związana ze stopą wzrostu jej PKB per capita , chociaż oba te wskaźniki nie są identyczne. Jeśli na przykład w danej gospodarce wzrośnie odsetek ludności mającej zatrudnienie, PKB per capita się zwiększy, ale wydajność poszczególnych pracowników może pozostać bez zmian. W długim okresie PKB per capita może stale rosnąć tylko wtedy, gdy wzrośnie wydajność przeciętnego pracownika lub gdy powiększy się wolumen wykorzystywanego w tej gospodarce kapitału. Powszechnie stosowaną miarą wydajności pracy w USA jest wartość pracy konkretnego pracownika (mierzona w dolarach na godzinę), przekładająca się na wartość produkcji jego pracodawcy. Miara ta nie obejmuje pracowników sektora publicznego – ponieważ ich produkcja nie jest sprzedawana na rynku, ich produktywność trudno zmierzyć. Nie obejmuje również rolnictwa, które stanowi stosunkowo niewielką część amerykańskiej gospodarki. pokazuje zmiany wartości indeksu produkcji na godzinę (który jest miarą wkładu pracy przeciętnego amerykańskiego pracownika w wartość produkcji jego pracodawcy). Punktem odniesienia (okresem bazowym) jest rok 2012, w którym indeks jest równy 100. W 2020 r. wskaźnik wynosił ok. 110,5. W roku 1984 indeks wynosił ok. 55, co pokazuje, że amerykańscy pracownicy od tego czasu zwiększyli swoją produktywność ponaddwukrotnie. Wartość produkcji na godzinę pracy w gospodarce amerykańskiej w latach 1947–2020 Wartość produkcji na godzinę pracy jest miarą produktywności pracowników. W gospodarce amerykańskiej produktywność pracowników rosła szybciej w latach 60. i w połowie lat 90. w porównaniu z latami 70. i 80., choć różnice te wynoszą tylko kilka punktów procentowych rocznie. Przyjrzyj się uważnie, by dostrzec je w zmieniającym się nachyleniu krzywej. Przeciętny pracownik w USA w 2020 r. produkował ponad dwa razy więcej na godzinę niż na początku lat 80. (Źródło: U.S. Department of Labor, Bureau of Labor Statistics). Zgodnie z danymi amerykańskiego Departamentu Pracy średnioroczny wzrost produktywności w USA był najwyższy w latach 1950–1970, a najniższy w ciągu dwóch kolejnych dekad (1971–1990) i w XXI w. W rzeczywistości stopa zmian produktywności mierzona zmianą wielkości produkcji na przepracowaną godzinę wynosiła średnio 3,2% rocznie od 1950 do 1970 r., następnie spadła do 1,9% od roku 1971 do 1990, później wzrosła do 2,3% rocznie od 1991 do roku 2000, zaś pomiędzy latami 2001 i 2020 ponownie spadła do 1,9%. pokazuje uśrednione roczne stopy wzrostu produktywności od 1950 r. Wzrost produktywności w USA od 1950 roku Średnioroczne tempo wzrostu wydajności pracowników w USA było bardzo wysokie w latach 1950–1970 (3,2%). Następnie spadło do poziomu 1,9% w latach 1971–1990. W ostatniej dekadzie XX w. nastąpiło odbicie tempa wzrostu wydajności (2,3%), po czym w XXI w. ponownie spadło ono do poziomu 1,9%. Niektórzy ekonomiści uważają, że odbicie produktywności z końca lat 90. i początku XXI w. wiąże się z początkiem „nowej gospodarki\" zbudowanej na wyższym tempie wzrostu produktywności, ale nie możemy tego ostatecznie potwierdzić bez dostatecznie długiego szeregu czasowego danych umożliwiającego stosowną analizę. (Źródło: Departament Pracy USA, Bureau of Labor). Kontrowersje wokół „nowej ekonomii” W ostatnich latach wśród ekonomistów narosły kontrowersje dotyczące przyczyn odrodzenia się amerykańskiej produktywności w drugiej połowie lat 90. XX w. Jedna ze szkół twierdzi, że w ciągu tej dekady Stany Zjednoczone rozwinęły „nową gospodarkę” w oparciu o nadzwyczajny postęp w dziedzinie komunikacji i technologii informacyjnych. Najwięksi optymiści wśród zwolenników tej koncepcji prorokują, że będzie ona generować przyspieszenie dynamiki średniego wzrostu produktywności przez następne dziesięciolecia. Pesymiści z kolei utrzymują, że nawet pięć czy dziesięć lat silniejszego wzrostu produktywności nie dowodzi, że wyższa produktywność utrzyma się przez dłuższy czas. Na początku trzeciej dekady XXI w. trudno jest cokolwiek wnioskować o długoterminowych trendach produktywności, ponieważ zarówno gwałtowna recesja z lat 2008–2009, z jej ostrymi, ale nie do końca zsynchronizowanymi spadkami produkcji i zatrudnienia, jak również recesja wywołana pandemią koronawirusa komplikują wszelkie interpretacje. Chociaż wzrost wydajności w amerykańskiej gospodarce w latach 2009 i 2010 był wysoki (ok. 3%), to od tego czasu uległ znacznemu spowolnieniu. W ciągu drugiej dekady XX w. aż pięciokrotnie roczne tempo wzrostu wydajności spadało poniżej 1%. Wzrost produktywności jest również ściśle związany ze średnim poziomem płac. Wynagrodzenia, jakie firmy są skłonne oferować swoim pracownikom, będą zależały od wartości produkcji, którą ci wytwarzają. Gdyby kilka przedsiębiorstw próbowało płacić swoim pracownikom mniej, niż wynosi ich wkład w wartość produkcji tych firm, wówczas najpewniej otrzymaliby oni oferty wyższych płac od innych pracodawców (produktywni pracownicy generują dla każdej firmy wysokie zyski). Jeśli kilku pracodawców przez pomyłkę zapłaciłoby swoim pracownikom więcej, niż wynosi ich wkład w wartość produkcji tych przedsiębiorstw, szybko zanotowałyby one straty. W długim okresie wydajność na godzinę jest najważniejszą determinantą poziomu przeciętnej płacy w każdej gospodarce. Aby dowiedzieć się, jak porównać gospodarki pod tym względem, wykonaj ćwiczenie z Porównanie gospodarek dwóch krajów Organizacja Współpracy Gospodarczej i Rozwoju (OECD) śledzi dane dotyczące rocznej stopy wzrostu realnego PKB na przepracowaną godzinę. Dane te można znaleźć na stronie internetowej „Growth in GDP per capita , productivity and ULC”. Krok 1. Wejdź na podaną wyżej stronę OECD i wybierz dwa kraje do porównania. Krok 2. W rozwijanym menu „Subject” wybierz „GDP per capita , constant prices”, a w pozycji „Measure” wybierz „Annual growth/change”. Następnie zapisz dane dla wybranych przez ciebie krajów z pięciu ostatnich lat. Krok 3. Wróć do rozwijanego menu „Subject” i wybierz „GDP per hour worked, constant prices”, zaś w rubryce „Measure” ponownie wybierz „Annual growth/change”. Wybierz dane dla tych samych lat, dla których wybrałeś dane na temat PKB per capita . Krok 4. Porównaj realny wzrost PKB dla obu krajów. zawiera odpowiednie wielkości dla Australii i Belgii. Australia 2011 2012 2013 2014 2015 Wzrost realnego PKB na mieszkańca (%) 2,3 1,5 1,3 1,4 0,1 Wzrost realnego PKB na przepracowane godziny (%) 1,7 −0,1 1,4 2,2 −0,2 Belgia 2011 2012 2013 2014 2015 Wzrost realnego PKB na mieszkańca (%) 0,9 −0,6 −0,5 1,2 1,0 Wzrost realnego PKB na przepracowane godziny (%) −0,5 −0,3 0,4 1,4 0,9 Krok 5. Dla obu zmiennych tempo wzrostu w Australii jest wyższe niż w Belgii w latach 2011–2014. Ponadto występują silne wahania wartości obu zmiennych pomiędzy poszczególnymi latami. Zależy to od wielu czynników. Do silniejszego wzrostu w Australii mógł się przyczynić np. napływ imigrantów, który generalnie sprzyja dynamice wzrostu gospodarczego. Znaczenie trwałego wzrostu gospodarczego Nic nie jest ważniejsze dla poziomu życia ludzi niż trwały wzrost gospodarczy w ich kraju. Nawet niewielkie zmiany w tempie wzrostu, jeśli mają charakter długookresowy, skutkują ogromnymi różnicami w poziomie dochodów, przekładającymi się w głównej mierze na odczuwalny przez społeczeństwo dobrobyt. Rozważmy dane zawarte w , która pokazuje, jakie są konsekwencje różnych stóp wzrostu dla wartości PKB w zależności od okresu, w którym konkretna stopa wzrostu PKB występuje. Dla uproszczenia przyjmijmy, że gospodarka analizowanego kraju zaczyna z PKB per capita równym 100. Następnie aby obliczyć, jaki będzie PKB w przyszłości przy danej stopie wzrostu, w tabeli zastosowano następujący wzór: Wartość PKB na początku okresu × (1 + Stopa wzrostu PKB) lata = Wartość PKB na koniec okresu Na przykład gospodarka, która zaczyna z PKB równym 100 i rośnie w tempie 3% rocznie, po 25 latach osiągnie PKB równy 209, co wynika z następujących obliczeń: 100 × (1,03) 25 = 209. Przykłady wykorzystane w tabeli odzwierciedlają rzeczywiste stopy wzrostu różnych gospodarek w różnych okresach. Dynamika zmian PKB na poziomie 1% rocznie jest zbliżona do tempa zmian produktu globalnego, jakiego doświadczały Stany Zjednoczone w latach najsłabszego wzrostu produktywności. Z kolei 3% rocznie to tempo wzrostu charakterystyczne dla amerykańskiej gospodarki w ostatniej dekadzie XX i na początku XXI w. Jeszcze wyższe stopy wzrostu, takie jak 5% lub nawet 8% rocznie, są charakterystyczne dla gospodarek takich krajów, jak Japonia, Korea i Chiny. pokazuje, że nawet kilka punktów procentowych różnicy w tempie wzrostu gospodarczego będzie miało wielkie znaczenie, jeśli utrzyma się w dostatecznie długim okresie. Przykładowo gospodarka rozwijająca się w tempie 1% rocznie przez 50 lat odnotuje wzrost PKB o 64%, czyli wartość PKB zwiększy się ze 100 do 164. Natomiast kraj rozwijający się w tempie 5% rocznie odnotuje (prawie) taki sam wzrost wartości PKB – z poziomu 100 do 163 – w ciągu zaledwie dziesięciu lat. To zaś będzie oznaczać olbrzymie zmiany, które zmaterializują się w okresie jednego pokolenia. (Przeczytaj poniższą ). Jeśli tempo wzrostu wynosi 8% rocznie, młodzi ludzie w wieku 20 lat z pewnością zorientują się, że średni standard życia w ich kraju podwoi się do czasu, gdy skończą 30 lat, i wzrośnie ponadsześciokrotnie do czasu, gdy zostaną 45-latkami. Konsekwencje różnych stóp wzrostu PKB w różnych horyzontach czasowych (wartość pierwotnego PKB wynosi 100) Stopa wzrostu Wartość pierwotnego PKB po 10 latach Wartość pierwotnego PKB po 25 latach Wartość pierwotnego PKB po 50 latach 1% 110 128 164 3% 134 209 438 5% 163 339 1147 8% 216 685 4690 W jaki sposób skumulowana stopa wzrostu jest związana z procentem składanym? Wzór na skumulowaną stopę wzrostu PKB w długim okresie przedstawiony powyżej to dokładnie ta sama formuła matematyczna, która jest wykorzystywana do obliczenia przyszłej wartości określonej kwoty pieniędzy odłożonej na wiele lat na oprocentowanym koncie bankowym, na którym kapitalizacja odsetek następuje w ujęciu rocznym. Oba wzory mają te same elementy: kwotę na początek okresu, w jednym przypadku jest to PKB, w drugim – kwota oszczędności finansowych, procentowy wzrost w czasie, w pierwszy przypadku to stopa wzrostu PKB, w drugim – stopa procentowa, długość okresu, w którym ten efekt występuje. Przypomnijmy, że procent składany uwzględnia odsetki uzyskane z odsetek pozyskanych w przeszłości. Powoduje to, że łączna kwota oszczędności finansowych spektakularnie rośnie w czasie. Podobnie skumulowana stopa wzrostu gospodarczego (ang. compound growth rate ) oznacza, że mnożymy stopę wzrostu przez bazę, która uwzględnia już wzrost PKB osiągnięty w przeszłości, co powoduje równie spektakularne efekty w czasie. Na przykład zgodnie z danymi GUS w 2000 r. Polska wypracowała PKB w wysokości ok. 748,5 mld zł przy stopie wzrostu 4,6%. Możemy oszacować, że przy tym tempie wzrostu PKB Polski wyrażony w cenach bieżących w ciągu pięciu lat wzrósłby do poziomu 937,2 mld zł (w rzeczywistości w 2005 r. osiągnął wartość 990,5 mld zł, co oznacza, że rzeczywiste średnioroczne tempo wzrostu nominalnego PKB było w Polsce wyższe i wyniosło ok. 6,5%). Dokładną wartość hipotetycznego nominalnego PKB Polski w kolejnych latach przedstawia . (W nawiasie w kolumnie trzeciej rzeczywista wartość polskiego PKB w cenach bieżących). ROK PKB na początek okresu Stopa wzrostu 4,6% PKB na koniec okresu 1 748,5 mld zł × (1+0,046) 782,9 mld zł (781,5 mld zł) 2 782,9 mld zł × (1+0,046) 818,9 mld zł (812,2 mld zł) 3 818,9 mld zł × (1+0,046) 856,6 mld zł (847,2 mld zł) 4 856,6 mld zł × (1+0,046) 896,0 mld zł (933,1 mld zł) 5 896,0 mld zł × (1+0,046) 937,2 mld zł (990,5 mld zł) Innym sposobem obliczenia stopy skumulowanej wzrostu jest zastosowanie następującego wzoru: Wartość przyszła = Wartość dzisiejsza × (1 + g) n Gdzie „wartość przyszła” to wartość PKB za pięć lat, „wartość dzisiejsza” to pierwotna wartość PKB równa 748,5 mld zł, „g” jest stopą wzrostu wynoszącą 4,6%, a „n” – liczbą okresów, dla których obliczamy skumulowaną stopę wzrostu. Wartość przyszła = 748,5 × (1 + 0,046) 5 = 782,9 [mld zł] Key Concepts and Summary Produktywność lub, inaczej mówiąc, wydajność to parametr, który mierzy wkład pracy jednego pracownika lub jednej przepracowanej godziny w wartość produkcji przedsiębiorstwa. Jego przybliżeniem jest wartość PKB na jednego pracownika lub PKB na godzinę. Na podstawie danych historycznych trudno jest przewidywać, jaki będzie wzrost produktywności w najbliższych latach, zwłaszcza że dynamika zmian tego parametru dość silnie się waha. Tempo wzrostu produktywności jest podstawowym wyznacznikiem tempa wzrostu gospodarczego i dochodów w długim okresie. W ciągu kolejnych dziesięcioleci nawet niewielkie na pierwszy rzut oka różnice w średniorocznej stopie wzrostu PKB przynoszą ogromną różnicę w wartości PKB na koniec analizowanego okresu. Zagregowana funkcja produkcji pokazuje, w jaki sposób nakłady w gospodarce, takie jak kapitał ludzki, kapitał fizyczny i finansowy oraz technologia, przekładają się na wartość produkcji mierzoną za pomocą PKB. Procent składany i skumulowana stopa wzrostu gospodarczego wykazują taki sam schemat zmian jak dynamika produktywności gospodarki. Pozornie niewielkie różnice w średniorocznej stopie zmian każdego z tych parametrów mogą mieć olbrzymi wpływ na dochód w długim okresie. Self-Check Questions Czy – poza wartością produkcji wytworzonej przeciętnie w jednostce czasu (np. przez godzinę) – istnieją inne sposoby mierzenia produktywności? Tak. Ponieważ produktywność to wartość produkcji na jednostkę nakładu, możemy ją mierzyć, obliczając PKB (produkcja) przypadający na pracownika (jednostka nakładu pracy). Weźmy dwa kraje: Koreę Południową i Stany Zjednoczone. Gospodarka Korei Południowej rośnie w tempie 4% rocznie, a Stanów Zjednoczonych w tempie 1% rocznie. Dla uproszczenia załóżmy, że oba państwa startują z tego samego fikcyjnego poziomu dochodów równego 10 000 dol. Jakie będą dochody Stanów Zjednoczonych i Korei Południowej za 20 lat? O ile razy wzrośnie dochód każdego kraju w ciągu 20 lat? Za 20 lat Stany Zjednoczone będą miały dochód równy: 10 000 × (1 + 0,01) × 20 = 12 201,90 dol., a Korea Południowa: 10 000 × (1 + 0,04) × 20 = 21 911,23 dol. Dochód Korei Południowej wzrósł ponaddwukrotnie, zaś USA jedynie o nieco ponad 20%. Review Questions Jak obliczamy PKB per capita , a jak wydajność pracy? W jaki sposób wzrost wydajności pracy prowadzi do wzrostu PKB per capita ? Critical Thinking Questions W przedstawiony został sposób, w jaki rosnąca wydajność pracy jest powiązana ze wzrostem wynagrodzeń. Czy taki związek w rzeczywistości mógłby nie zaistnieć? Wskaż czynniki mogące zdeterminować tę hipotetyczną sytuację. Zmiana wydajności pracy jest jedną z najchętniej obserwowanych międzynarodowych statystyk związanych z problematyką wzrostu gospodarczego. Odwiedź stronę Louis Federal Reserve i odszukaj sekcję z danymi (http://research.stlouisfed.org). Znajdź międzynarodowe porównania wydajności pracy wymienione w bazie danych ekonomicznych FRED (Growth Rate of Total Labor Productivity) i porównaj ostatnie dane dla dwóch wybranych krajów. Wskaż, jakie twoim zdaniem mogą być przyczyny różnic w wydajności pracy. Wróć do i przeanalizuj dane dotyczące wybranych przez ciebie państw. Pod jakim względem są podobne? Czym się różnią? Problems Pewna gospodarka w punkcie startu analizy notuje wartość PKB na poziomie 5000 dol. Jak duży będzie produkt globalny, jeśli PKB będzie rósł w tempie 2% rocznie przez 20 lat? 2% przez 40 lat? 4% przez 40 lat? 6% przez 40 lat? A teraz w punkcie startu analizy pewna gospodarka notuje wartość PKB na poziomie 12 000 dol. Jaka będzie wysokość PKB, jeśli produkt globalny będzie rósł w tempie 3% rocznie przez 10 lat? 3% przez 30 lat? 6% przez 30 lat? Załóżmy, że przeciętny pracownik w Kanadzie osiąga wydajność równą 30 dol. na godzinę, podczas gdy wydajność przeciętnego pracownika w Wielkiej Brytanii wynosi 25 dol. na godzinę. W ciągu następnych pięciu lat wydajność pracowników w Kanadzie wzrośnie o, powiedzmy, 1% rocznie, podczas gdy wydajność pracowników w Wielkiej Brytanii zwiększy się o 3% rocznie. Który z pracowników będzie bardziej wydajny po pięciu latach i jaka będzie różnica pomiędzy nimi? Tym razem przyjmijmy, że przeciętny pracownik w gospodarce amerykańskiej jest osiem razy bardziej wydajny niż przeciętny pracownik w Meksyku. Jeśli produktywność pracowników w USA rośnie o 2% przez 25 lat, a produktywność pracowników w Meksyku o 6% przez 25 lat, to który kraj będzie miał wyższą produktywność pracowników na koniec analizowanego okresu? zagregowana funkcja produkcji (ang. aggregate production function ) matematyczne uogólnienie procesu, w którym gospodarka jako całość przekształca nakłady ekonomiczne, takie jak kapitał ludzki, kapitał fizyczny i finansowy oraz technologia, w produkcję mierzoną jako PKB per capita skumulowana stopa wzrostu gospodarczego (ang. compound growth rate ) tempo wzrostu gospodarczego uwzględniające przyrost PKB w kolejnych latach kapitał ludzki (ang. human capital ) zakumulowane umiejętności i wykształcenie pracowników innowacja (ang. innovation ) nowy produkt lub technologia produkcji, które przełamują status quo na rynku, pozwalając innowatorom osiągnąć większe zyski, a dla innych przedsiębiorstw, niepotrafiących wprowadzić własnych innowacji, oznaczają utratę dochodów; innowacja powstaje dzięki wykorzystaniu postępów wiedzy wynalazek (ang. invention ) postęp wiedzy, nowe rozwiązanie techniczne lub organizacyjne mające charakter użytkowy, które powstało w akcie twórczym produktywność pracy (ang. labor productivity ) wkład pracy jednego pracownika lub jednej przepracowanej godziny w wartość produkcji przedsiębiorstwa (czasem nazywana również produktywnością pracowników) wydajność pracy zob. produktywność pracy funkcja produkcji (ang. production function ) proces, w którym przedsiębiorstwo przekształca nakłady ekonomiczne, takie jak praca, maszyny i surowce w produkty, czyli towary i usługi, z których korzystają konsumenci zmiana technologiczna (ang. technological change ) połączenie wynalazku i innowacji", "section": "Wydajność pracy a wzrost gospodarczy", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Czynniki wzrostu gospodarczego Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić znaczenie czynników wzrostu gospodarczego, w tym kapitału rzeczowego, kapitału ludzkiego i technologii Wyjaśnić istotę i znaczenie zjawiska intensyfikacji kapitału Analizować metody ilościowe stosowane w badaniach nad wzrostem gospodarczym Zidentyfikować czynniki, które przyczyniają się do budowania środowiska korzystnego dla wzrostu gospodarczego W ciągu mijających dziesięcioleci pozornie niewielkie różnice w średniorocznym tempie wzrostu gospodarczego, wynoszące kilka punktów procentowych lub wręcz kilkanaście punktów bazowych, doprowadziły do ogromnych różnic pomiędzy krajami w poziomie tak produktu globalnego, jak i PKB per capita . W tym podrozdziale omówimy niektóre kluczowe czynniki wzrostu gospodarczego, w tym kapitał rzeczowy, kapitał ludzki i technologię. Kategoria kapitału rzeczowego (ang. physical capital ) obejmuje urządzenia i wyposażenie, z których korzystają firmy, a także drogi, mosty, lotniska i światłowody, określane zbiorczą nazwą infrastruktury (ang. infrastructure ). Rosnące zasoby kapitału rzeczowego pozwalają na wzrost produkcji. Kapitał rzeczowy może wpływać na produktywność na dwa sposoby: (1) przez wzrost ilości kapitału rzeczowego (np. więcej komputerów tej samej jakości posiadanych przez firmę zajmującą się księgowością) oraz (2) przez wzrost jakości kapitału rzeczowego (ta sama liczba komputerów, ale np. szybszych, pojawienie się sztucznej inteligencji, która ułatwia pracę itd.). Pojęcie kapitału ludzkiego odnosi się do umiejętności, wiedzy i kompetencji sprawiających, że pracownicy są w stanie wytwarzać produkty o wysokiej wartości (lub przyczyniać się pośrednio do ich produkcji). Akumulacja kapitału ludzkiego i kapitału rzeczowego oddziałuje w ten sam sposób na tempo wzrostu gospodarczego, inwestycje w bieżącym okresie przekładają się na wyższą wydajność w przyszłości. Technologia (ang. technology ) jest swoistym „jokerem w talii” czynników wzrostu gospodarczego. Wcześniej scharakteryzowaliśmy ją jako stworzenie rynkowych sposobów wykorzystania powstających wynalazków, czyli innowacje. Gdy większość z nas myśli o nowej technologii, przychodzi nam do głowy przede wszystkim wynalezienie nowych produktów, takich jak laser, smartfon lub jakiś nowy cudowny lek. W produkcji żywności może to być opracowanie bardziej odpornych na warunki atmosferyczne lub szkodniki odmian roślin. Technologia w rozumieniu ekonomistów obejmuje jednak jeszcze więcej aspektów. Są to nowe sposoby organizacji pracy, takie jak wymyślenie linii montażowej (taśmy produkcyjnej), nowe metody zapewnienia lepszej jakości produkcji w fabrykach (różnego rodzaju certyfikaty typu ISO) oraz innowacyjne instytucje, które ułatwiają proces przekształcania nakładów w produkty gotowe. W tym sensie zmianą technologii (innowacją) było choćby stworzenie prawnych i informatycznych możliwości gromadzenia środków na produkcję poprzez niewielkie wpłaty bardzo wielu osób (crowdfunding). W skrócie, postęp technologiczny obejmuje wszystkie te działania, które sprawiają, że istniejące składniki kapitału rzeczowego i inne środki produkcji pozwalają na wytworzenie większej liczby coraz lepszych, a niekiedy również całkowicie nowych produktów. Porównywanie globalnej wartości PKB Chin i, powiedzmy, Luksemburga czy nawet Polski może nie mieć sensu, po prostu ze względu na zbyt dużą różnicę w liczbie ludności pomiędzy tymi krajami. Aby zrozumieć zjawisko wzrostu gospodarczego, który w istocie dotyczy wzrostu standardu życia przeciętnego mieszkańca, należy się skupić na wartości PKB per capita . PKB przeliczony na osobę ułatwia również porównywanie pod tym kątem państw o mniejszej liczbie ludności, takich jak Belgia, Urugwaj czy Czechy, z krajami znacznie ludniejszymi, jak Brazylia, Stany Zjednoczone czy Niemcy. Aby otrzymać funkcję produkcji per capita , należy podzielić wartość każdego nakładu wskazanego na (a) przez liczbę ludności danego kraju. W ten sposób powstaje zagregowana funkcja produkcji, której wynikiem jest PKB per capita (tj. PKB podzielony przez liczbę ludności). Dane wejściowe to średni poziom kapitału ludzkiego na osobę, średni poziom kapitału rzeczowego na osobę oraz średni poziom technologii na osobę – tak jak to wskazano na (b). Uwzględnienie rozmiarów populacji w mianowniku tego wyrażenia jest niezbędne, żeby dostrzec, że szybki wzrost liczby ludności może obniżyć dochód na jednego mieszkańca. Jednak dzieje się tak tylko wtedy, gdy tempo wzrostu wartości globalnej PKB jest niższe od tempa wzrostu liczby mieszkańców danego kraju. Drugim uzasadnieniem konstruowania funkcji produkcji per capita jest zrozumienie znaczenia wkładu kapitału ludzkiego i rzeczowego w wielkość produktu globalnego. Intensyfikacja kapitału Gdy w gospodarce zasób kapitału w przeliczeniu na jedną osobę rośnie, nazywamy to intensyfikacją kapitału . (ang. capital deepening . Zjawisko intensyfikacji kapitału może odnosić się zarówno do dodatkowego kapitału ludzkiego, jak i rzeczowego w przeliczeniu na pracownika. Jednym z najpopularniejszych sposobów szacowania wartości kapitału ludzkiego jest analiza średniego poziomu wykształcenia w danej gospodarce. pokazuje wzrost zasobów kapitału ludzkiego amerykańskich pracowników, który był konsekwencją powiększania się odsetka populacji amerykańskiej posiadającej średnie i wyższe wykształcenie. Jeszcze w 1970 r. mniej więcej połowa dorosłych Amerykanów (w wieku powyżej 25 lat) nie miała ukończonej nawet szkoły średniej. Jednak już na początku XXI w. ponad 80% dorosłych mieszkańców USA mogło się pochwalić osiągnięciem tego szczebla edukacyjnego. Intensyfikacja kapitału ludzkiego może mieć również wymiar doświadczenia zawodowego mierzonego liczbą przepracowanych lat, ale akurat w tym aspekcie zmiany wśród amerykańskich pracowników na przestrzeni XX w. były relatywnie niewielkie. Zatem kluczowym wymiarem intensyfikacji kapitału ludzkiego w gospodarce amerykańskiej jest poziom wykształcenia przeciętnego pracownika. Intensyfikacja kapitału ludzkiego w Stanach Zjednoczonych po 1940 r. Rosnący poziom wykształcenia osób w wieku powyżej 25 lat wskazuje na relatywnie szybkie tempo intensyfikacji kapitału ludzkiego w gospodarce amerykańskiej. Niemniej nawet dziś tylko ok. jednej trzeciej dorosłych Amerykanów ma ukończone czteroletnie studia. Widać zatem wyraźnie, że istnieje przestrzeń na dodatkowy wzrost zasobów kapitału ludzkiego per capita . (Źródło: Departament Edukacji USA, National Center for Education Statistics). pokazuje intensyfikację kapitału rzeczowego w gospodarce amerykańskiej, począwszy od roku 1950. Tamtejszy pracownik pod koniec drugiej dekady XXI w. wykorzystywał, przeciętnie rzecz ujmując, kapitał rzeczowy o wartości prawie trzy razy wyższej niż osoba zatrudniona na początku lat 50. XX w. Wartość kapitału rzeczowego na pracownika w Stanach Zjednoczonych w latach 1950–2019 (w cenach stałych z 2017 r.) Wartość kapitału rzeczowego mierzona kosztem pozyskania urządzeń i sprzętu wykorzystywanego przez przeciętnego pracownika w amerykańskiej gospodarce rosła relatywnie szybko, począwszy od roku 1950. Tempo wzrostu nieco spowolniło w latach 70. i 80. ubiegłego stulecia, które nieprzypadkowo były również okresem wolniejszego wzrostu wydajności pracowników. Pod koniec lat 90. można zaobserwować ponowny szybki wzrost przypadającej na jednego pracownika wartości kapitału, który wyhamowuje dopiero wraz z początkiem ubiegłej dekady. Po 2010 r. realna wartość kapitału w przeliczeniu na jednego pracownika w zasadzie się nie zmienia. (Źródło: Center for International Comparisons of Production, Income and Prices, University of Pennsylvania). Obecnie w gospodarce amerykańskiej pracują lepiej wykształceni pracownicy, którzy dysponują nie tylko większym zasobem kapitału rzeczowego. Maszyny, urządzenia i – w szerszym kontekście – technologia, którymi rozporządzają, są znacznie bardziej zaawansowane. Gigantycznego postępu technologicznego, z jakim mieliśmy do czynienia w ostatnich kilkudziesięciu latach, nie da się łatwo pokazać na wykresie, ale dowody potwierdzające, że żyjemy w epoce bardzo szybkich zmian technologicznych, widzimy wokół siebie. Najnowsze odkrycia w genetyce pozwalające na celowane kuracje w opiece zdrowotnej, bezprzewodowy internet umożliwiający komunikację między urządzeniami i coraz bardziej zaawansowana sztuczna inteligencja to tylko wąski wycinek narzędzi, jakimi dysponuje współczesny pracownik. Dość powiedzieć, że Amerykańskie Biuro Patentowe rejestruje w ciągu ostatnich kilku lat ponad 150 tys. nowych wynalazków rocznie. Ten swoisty „przepis” na wzrost gospodarczy – czyli rosnąca wydajność pracy osiągnięta dzięki inwestycjom w kapitał ludzki i rzeczowy, które jednocześnie przekładają się na zmiany technologiczne – ma charakter uniwersalny. Na przykład Korea Południowa czy kraje Europy Środkowej i Wschodniej (w tym Polska) zapewniły powszechny dostęp do szkół podstawowych już po zakończeniu ostatniego konfliktu zbrojnego, w którym państwa te brały udział. Do końca lat 80. XX w. tak w Korei, jak i w Polsce odsetek obywateli, którzy ukończyli szkołę podstawową, osiągnął 100%, zaś do końca poprzedniego stulecia niemal wszyscy obywatele Korei kontynuowali edukację na poziomie szkoły średniej. Jeśli zaś chodzi o kapitał rzeczowy, stopa inwestycji w Korei wynosiła ok. 15% PKB na początku lat 60., ale podwoiła się do 30–35% PKB na przełomie lat 60 i 70. Południowokoreańscy studenci wyjeżdżali na uniwersytety i uczelnie techniczne na całym świecie, aby zdobywać wiedzę naukową, a południowokoreańskie przedsiębiorstwa starały się prowadzić badania i tworzyć partnerstwo z firmami mogącymi zaoferować im wsparcie technologiczne. Dzięki temu koreański SAMSUNG jest obecnie liderem technologicznym na rynku telefonów komórkowych. Wszystkie te czynniki przyczyniły się do bardzo wysokiego tempa wzrostu gospodarczego w Korei Południowej. Metody ilościowe w badaniach wzrostu gospodarczego Począwszy od końca lat 50. ubiegłego wieku, ekonomiści prowadzą badania wzrostu gospodarczego z wykorzystaniem metod ilościowych, aby określić, w jakim stopniu intensyfikacja kapitału rzeczowego i ludzkiego oraz udoskonalona technologia przyczyniły się do dynamiki zmian tego fenomenu. Wykorzystuje się w tym celu zagregowaną funkcję produkcji. Pozwala to oszacować, w jakim stopniu wzrost gospodarczy per capita może być uznany za efekt wzrostu wielkości kapitału rzeczowego i ludzkiego w przeliczeniu na jednego pracownika. Tempo intensyfikacji kapitału ludzkiego i rzeczowego daje się dość dokładnie określić. Tym samym ta część wzrostu wartości PKB per capita , której nie da się objaśnić intensyfikacją kapitału rzeczowego i ludzkiego, określana jest jako „reszta” i wiązana ze zmianą technologiczną. Dokładne szacunki liczbowe różnią się w zależności od prowadzonego badania i analizowanej gospodarki oraz od tego, w jaki sposób ekonomiści mierzyli wartość tych trzech głównych czynników, jak również horyzontu czasowego prowadzonych analiz. W przypadku gospodarki amerykańskiej z badań nad wzrostem z wykorzystaniem metod ilościowych zazwyczaj można wyciągnąć trzy główne wnioski. Po pierwsze, technologia okazuje się zazwyczaj najważniejszym czynnikiem wzrostu gospodarczego w USA. Wzrosty wartości kapitału ludzkiego i rzeczowego zwykle objaśniają tylko połowę lub mniej niż połowę obserwowanego wzrostu gospodarczego. Tak więc ciągłe unowocześnianie metod produkcji jest niezwykle ważne. Po drugie, podczas gdy inwestycje w kapitał rzeczowy są niezbędne dla wzrostu wydajności pracy i tym samym PKB per capita , budowanie kapitału ludzkiego jest co najmniej równie istotne. Wzrost gospodarczy to nie tylko kwestia większej liczby maszyn i budynków. Doskonały przykład siły współdziałania kapitału ludzkiego i wiedzy technologicznej można było obserwować w Europie po II wojnie światowej. Podczas tego strasznego konfliktu zniszczeniu uległa duża część kapitału rzeczowego (np. fabryki, drogi czy pojazdy) znajdującego się w krajach zaangażowanych w zmagania zbrojne. Europa straciła również ogromną część kapitału ludzkiego w postaci milionów mężczyzn, kobiet i dzieci, którzy zginęli w czasie wojny. Jednakże połączone siły wykwalifikowanych pracowników i wiedzy technologicznej, działające w ramach gospodarki rynkowej, pozwoliły na odbudowanie zdolności produkcyjnych w Europie do poziomu wyższego niż przedwojenny w czasie krótszym niż dwie dekady. Po trzecie wreszcie, trzy analizowane czynniki: kapitał ludzki, kapitał rzeczowy i technologia działają razem i wykazują synergię. Pracownicy o wyższym poziomie wykształcenia i umiejętności są głównym motorem napędowym zmiany technologicznej. Ta z kolei nie przekładałaby się na wzrost wartości produkcji bez inwestycji w kapitał rzeczowy. Nowe maszyny, które są konsekwencją zmiany technologicznej, wymagają do obsługi wykwalifikowanych pracowników, niezbędne są zatem nakłady zwiększające kapitał ludzki. Jeśli sumą tych wszystkich działań ma być stabilny wzrost gospodarczy w długim okresie, to niezbędne są zmiany wszystkich składników zagregowanej funkcji produkcji. Poniższa pomoże ci zrozumieć, w jaki sposób działanie kapitału ludzkiego, rzeczowego i technologii może się łączyć, znacząco wpływając na nasze życie. Związki między edukacją dziewcząt i wzrostem gospodarczym w krajach rozwijających się Według danych Banku Światowego na początku XXI w. ok. 110 mln dzieci w wieku od 6 do 11 lat nie chodziło do szkoły, a mniej więcej dwie trzecie tej grupy stanowiły dziewczynki. Na przykład w Afganistanie w latach 2005–2014 wskaźnik określający umiejętność czytania i pisania dla osób w wieku 15–24 lat wynosił 62% dla mężczyzn i tylko 32% dla kobiet. W zachodnioafrykańskim Beninie było to 55% dla mężczyzn i 31% dla kobiet. W Nigerii, najludniejszym kraju Afryki, odpowiednio 76% i 58%. Gdy dziecko nie otrzymuje choćby podstawowego wykształcenia, zawsze oznacza to stratę zarówno w wymiarze ludzkim, jak i ekonomicznym. W krajach rozwijających się płace zwykle wzrastają średnio o 10–20% z każdym dodatkowym rokiem, jaki późniejszy pracownik spędził w szkole. Istnieją jednak pewne intrygujące dowody na to, że w tej grupie krajów pomoc dziewczętom w zmniejszeniu luki edukacyjnej w stosunku do chłopców może być wręcz kluczowa, ze względu na rolę społeczną, jaką wiele z nich będzie później odgrywać jako matki i gospodynie domowe. W krajach rozwijających się dziewczęta, które uczą się dłużej, w dorosłym życiu mają zazwyczaj mniej dzieci, które dodatkowo są również lepiej odżywione i zdrowsze, m.in. dzięki przeprowadzonym szczepieniom. Badania ekonomiczne dotyczące kobiet w gospodarkach rozwijających się potwierdzają te ustalenia. Z każdym kolejnym rokiem edukacji dzietność kobiet spada o 5%, zaś śmiertelność okołoporodowa o 1–2 promile. Gdy kobieta pozostaje w szkole przez dodatkowy rok, w przyszłości każde z jej dzieci spędzi w szkole średnio dodatkowe pół roku. Edukacja dziewcząt jest jednym z najlepszych możliwych do wyobrażenia sposobów inwestowania środków pieniężnych w kapitał ludzki, ponieważ korzyści z takich inwestycji dla tempa wzrostu gospodarczego wykraczają poza horyzont jednego pokolenia. Środowisko korzystne dla wzrostu gospodarczego Podczas gdy intensyfikacja kapitału rzeczowego i ludzkiego oraz bardziej zaawansowane technologie są niezwykle istotnym czynnikiem sprzyjającym wzrostowi dobrobytu społeczeństwa, równie ważnym elementem jest środowisko instytucjonalno-prawne (niekiedy nazywane również systemem), w którym kapitał fizyczny i ludzki są wykorzystywane. Najważniejszymi elementami takiego środowiska, które sprzyjają szybkiemu tempu wzrostu gospodarczego, są rynkowy mechanizm alokacji dóbr i dochodów oraz system prawny, który pozwala na dysponowanie prawami własności zgodnie z preferencjami właścicieli i chroni swobodę zawierania umów. Środowisko korzystne dla wzrostu gospodarczego musi opierać się na mikroekonomicznych zachętach, dzięki którym zarówno jednostki, jak i przedsiębiorstwa, dążąc do maksymalizacji dochodów i zysków, będą podejmować inwestycje zwiększające zasób kapitału ludzkiego i rzeczowego. Jeśli nagrodą za takie inwestycje jest wzrost osiąganych na rynku dochodów i zysków, to indywidualne korzyści będą się przekładać na wzrost dobrobytu całego społeczeństwa. Na efektywnym rynku pracy, na którym dochody jednostek są pochodną przede wszystkim ich wykształcenia, umiejętności i wiedzy, a nie znajomości czy uprzywilejowanej – dzięki miejscu urodzenia lub przynależności do grupy etnicznej – pozycji, zachęty do zdobywania dodatkowych kwalifikacji, czyli – mówiąc językiem makroekonomicznym – podnoszenia wartości kapitału ludzkiego, są oczywiste, ponieważ takie kwalifikacje przekładają się na wyższy poziom wynagrodzeń. Przedsiębiorstwa będą inwestować w kapitał rzeczowy i wydawać pieniądze na podnoszenie kwalifikacji swoich pracowników, jeśli takie działanie przyniesie wyższe zyski właścicielom. Nie będą jednak ponosić nakładów inwestycyjnych, jeśli sukces firmy będzie pochodną znajomości właścicieli lub rozdawanych na prawo i lewo łapówek. Wówczas znacznie bardziej opłacalne niż inwestowanie stanie się „szukanie dojścia” do polityków. Tego typu aktywność nie będzie się oczywiście przekładać na wzrost tempa wzrostu PKB i dobrobytu całego społeczeństwa, chociaż dla właścicieli tego konkretnego przedsiębiorstwa może oczywiście być korzystna. Jeśli próbujemy odpowiedzieć na pytanie o to, co było siłą sprawczą szybkiego wzrostu gospodarczego zapoczątkowanego w drugiej połowie XIX w., po prostu musimy obok intensyfikacji kapitału rzeczowego i ludzkiego oraz zmian w technologii podkreślić znaczenie konkurencyjnych rynków, a także systemu chroniącego prawa własności i swobodę zawierania umów. Dodatkowo, jeśli tego typu rozwiązania wykraczały poza granice poszczególnych państw i przekładały się na powstawanie stref wolnego handlu, korzyści przypadały w udziale wszystkim krajom zaangażowanym w swobodną wymianę dóbr, usług i czynników produkcji. Oczywiście błędny byłby wniosek, że podkreślanie znaczenia rynku wyklucza aktywną rolę państwa w promowaniu szybkiego tempa wzrostu gospodarczego. Zdarza się przecież i tak, że rynki, ze względu na zjawisko asymetrii informacji czy efektów zewnętrznych, nie są w stanie zapewnić wolumenu produkcji zgodnego z interesem całego społeczeństwa (pomyśl w tym kontekście np. o skali zanieczyszczenia środowiska, które wystąpiłoby, gdyby nie istniały rządowe regulacje w tym zakresie). Taka sytuacja, nazywana „zawodnością rynku”, wymaga interwencji państwa, które ograniczy np. skalę emisji zanieczyszczeń, nakładając na konsumpcję paliw silnikowych czy emisję dwutlenku węgla przez zakłady przemysłowe wysokie podatki i opłaty. Państwo może również finansować działalność (podbój przestrzeni kosmicznej, tworzenie internetu) na etapie, na którym podmioty prywatne nie są w stanie dokładnie określić możliwej skali zwrotu z tego typu inwestycji. W długim horyzoncie czasowym podobne programy sfinansowane ze środków publicznych umożliwiają firmom oferowanie dóbr i usług atrakcyjnych dla klientów (teflon, pieluchy jednorazowe, łączność satelitarna, serwisy streamingowe w internecie itd.). Poniższe przykłady pokazują kilka ważnych obszarów, które stały się przedmiotem inwestycji publicznych ukierunkowanych na intensyfikację kapitału rzeczowego i ludzkiego oraz rozwój technologii. Edukacja. W Polsce istnieje obowiązek edukacyjny dla wszystkich dzieci poniżej 18. roku życia (można uczęszczać do szkół publicznych, prywatnych lub uczyć się w domu i jedynie zdawać egzaminy w placówkach edukacyjnych). W Danii 13% szkół na poziomie podstawowym i ponadpodstawowym jest prywatnych, a rząd wspiera tego typu edukację poprzez specjalne bony, które można wykorzystać do opłaty czesnego. Oszczędności i inwestycje. W Stanach Zjednoczonych, podobnie jak w innych krajach, rząd opodatkowuje zyski z prywatnych inwestycji. Opodatkowanie dochodów z kapitału jest jednak relatywnie niskie w porównaniu z opodatkowaniem wynagrodzeń za pracę (podobnie jest w Polsce, gdzie tzw. podatek Belki ma charakter proporcjonalny, w przeciwieństwie do progresywnego opodatkowania płac). Niskie podatki od dochodów kapitałowych zachęcają do inwestycji, a więc przekładają się na szybsze tempo wzrostu gospodarczego. Infrastruktura. Rząd japoński w połowie lat 90. ubiegłego stulecia zapoczątkował znaczące projekty infrastrukturalne w celu poprawy jakości dróg i rozwinięcia programu robót publicznych. To z kolei zwiększyło zasoby kapitału rzeczowego i ostatecznie przełożyło się ceteris paribus na szybsze tempo wzrostu gospodarczego i poprawę standardu życia japońskiego społeczeństwa. Specjalne strefy ekonomiczne. Wyspa Mauritius jako jeden z niewielu krajów afrykańskich zachęca do handlu międzynarodowego w ramach wspieranych przez rząd specjalnych stref ekonomicznych (SSE). Są to wydzielone obszary kraju, zwykle z dostępem do portu lub innej infrastruktury transportowej, na których podatki od działalności gospodarczej nie są w ogóle pobierane lub ich wysokość jest znacznie obniżona. Oznacza to oczywiście, że prowadzenie działalności handlowej i produkcyjnej w tego typu miejscach jest bardzo korzystne z punktu widzenia inwestorów zagranicznych. Dzięki SSE Mauritius cieszy się ponadprzeciętnym wzrostem gospodarczym od lat 80. ubiegłego wieku. Narzędzie to było również wykorzystywane w Polsce, zaś działalność przedsiębiorstw zagranicznych w SSE była zwolniona z opodatkowania nawet na 20 lat. Oczywiście nie trzeba tworzyć SSE, aby promować swobodę wymiany handlowej z zagranicą, jest to tylko jedno z możliwych rozwiązań, obok choćby obniżki lub znoszenia ceł. Badania naukowe. Unia Europejska zarówno na poziomie całej organizacji, jak i poszczególnych państw członkowskich prowadzi duże programy wspierania projektów naukowych środkami publicznymi. Abraham García i Pierre Mohnen wykazali, że firmy, które otrzymały wsparcie od rządu austriackiego, faktycznie zwiększyły intensywność inwestycji w badania i rozwój (B&R) i wolumen sprzedaży. Państwo może na różne sposoby wspierać badania naukowe i szkolenia techniczne, które pomagają tworzyć i rozpowszechniać nowe technologie. Kluczowe w tym względzie jest kształtowanie prawa w sposób, który chroni interesy wynalazców i innowatorów i pozwala im czerpać korzyści z ich odkryć i pomysłów. Istnieje wiele innych możliwości stymulowania przez państwo aktywności przekładającej się na przyspieszenie tempa wzrostu gospodarczego. Omówimy je w kolejnych rozdziałach, szczególnie w . Środowisko korzystne dla wzrostu wartości PKB per capita i produktywności pracy obejmuje procesy intensyfikacji kapitału ludzkiego i rzeczowego oraz rozwój technologii występujące w gospodarce rynkowej, której funkcjonowanie jest chronione, a kiedy to konieczne, również korygowane przez odpowiednią politykę państwa. Key Concepts and Summary W ciągu mijających dziesięcioleci pozornie niewielkie różnice w średniorocznym tempie wzrostu gospodarczego, wynoszące kilka punktów procentowych, prowadziły do ogromnych różnic w poziomie PKB per capita między krajami. Zjawisko intensyfikacji kapitału może odnosić się zarówno do wzrostu wartości kapitału rzeczowego, jak i ludzkiego przypadającego na jednego zatrudnionego. Intensyfikacja kapitału ludzkiego odbywa się w drodze pozyskiwania przez pracowników nowej wiedzy i umiejętności, jak również wydłużania przeciętnego okresu edukacji w społeczeństwie. Pojęcie technologii w znaczeniu makroekonomicznym odnosi się do zmian w sposobie produkcji i dystrybucji wytwarzanych towarów, co jest konsekwencją zarówno przełomowych odkryć naukowych, jak i drobnych wynalazków oraz relatywnie nieznacznych zmian w sposobie zarządzania i organizowania procesów produkcyjnych. Środowisko korzystne dla wzrostu wartości PKB per capita i produktywności pracy sprzyja zwiększaniu wartości i jakości kapitału ludzkiego, inwestycjom w kapitał fizyczny oraz zmianom technologicznym, dzięki funkcjonowaniu mechanizmów rynkowych chronionych, a niekiedy również korygowanych przez państwo. Self-Check Questions Co, zgodnie z podejściem ilościowym, w największym stopniu wpływa na tempo wzrostu gospodarczego? Co jest ważniejsze: czynniki wzrostu czy sposób, w jaki ze sobą współdziałają? Zgodnie z podejściem ilościowym najważniejszymi czynnikami wzrostu są intensyfikacja kapitału (zarówno ludzkiego, jak i fizycznego) oraz zmiany technologiczne. Wydaje się, że kluczowe jest jednak to, w jaki sposób przywołane czynniki wzrostu ze sobą współdziałają. Jakiego rodzaju polityki może wdrożyć państwo o gospodarce wolnorynkowej, aby stymulować wzrost gospodarczy? Państwo może wspierać wzrost gospodarczy, inwestując w kapitał ludzki poprzez system edukacji, budując infrastrukturę dla transportu i handlu, stymulując inwestycje prywatne poprzez obniżenie podatków od zysków kapitałowych, tworząc specjalne strefy ekonomiczne, które przyciągają inwestorów, oraz inwestując w badania i rozwój. Wymień obszary, w których polityka państwa może wpłynąć na przyspieszenie tempa wzrostu gospodarczego. Edukacja, polityka podatkowa, infrastruktura, specjalne strefy ekonomiczne. Review Questions Czym jest zagregowana funkcja produkcji? Objaśnij pojęcie intensyfikacji kapitału. Co ekonomiści mają na myśli, mówiąc o usprawnieniach technologicznych? Critical Thinking Questions Edukacja wydaje się istotna dla zwiększania wartości kapitału ludzkiego (intensyfikacji kapitału ludzkiego). Ludzie stają się coraz lepiej wykształceni, mają większą wiedzę, umiejętności i kompetencje. Czy twoim zdaniem istnieją granice przyrostu takich korzyści w wyniku upowszechnienia edukacji? Dlaczego tak lub dlaczego nie? Opisz niektóre z politycznych i społecznych wyborów typu „coś za coś”, które mogą się pojawić, gdy kraj rozwijający się zacznie promować wzrost odsetka osób aktywnych zawodowo i tym samym stymulować wzrost gospodarczy poprzez inwestycje w edukację dziewcząt. Dlaczego inwestycje w edukację dziewcząt są korzystne dla wzrostu gospodarczego? W jaki sposób pojęcie technologii definiowane za pomocą zagregowanej funkcji produkcji różni się od powszechnego sposobu rozumienia tego słowa? References “Women and the World Economy: A Guide to Womenomics.” The Economist , April 12, 2006. http://www.economist.com/node/6802551. Farole, Thomas, and Gokhan Akinci, eds. Special Economic Zones: Progress, Emerging Challenges, and Future Directions . Washington: The World Bank, 2011. http://publications.worldbank.org/index.php?main_page=product_info&products_id=24138. Garcia, Abraham, and Pierre Mohnen. United Nations University, Maastricht Economic and Social Research and Training Centre on Innovation and Technology: UNU-MERIT. “Impact of Government Support on R&D and Innovation (Working Paper Series #2010-034).” http://www.merit.unu.edu/publications/wppdf/2010/wp2010-034.pdf. Heston, Alan, Robert Summers, and Bettina Aten. “Penn World Table Version 7.1.” Center for International Comparisons of Production, Income and Prices at the University of Pennsylvania . Last modified July 2012. https://pwt.sas.upenn.edu/php_site/pwt71/pwt71_form.php. United States Department of Labor: Bureau of Labor Statistics. “Women at Work: A Visual Essay.” Monthly Labor Review , October 2003, 45–50. http://www.bls.gov/opub/mlr/2003/10/ressum3.pdf. intensyfikacja kapitału (ang. capital deepening ) wzrost wartości kapitału fizycznego lub ludzkiego per capita w społeczeństwie infrastruktura (ang. infrastructure ) część kapitału rzeczowego, w której skład wchodzą np. elementy systemu transportowego (drogi i system połączeń kolejowych) kapitał rzeczowy (ang. physical capital ) fabryki, maszyny i inne elementy, które firmy wykorzystują w procesie produkcji; kapitał rzeczowy obejmuje także infrastrukturę specjalne strefy ekonomiczne (SSE) (ang. special economic zone ) obszar kraju, zwykle z dostępem do portu lub infrastruktury transportowej, w którym prowadzenie działalności gospodarczej jest zwolnione z podatków technologia (ang. technology ) sposoby łączenia dostępnych czynników produkcji pozwalające na zwiększanie wolumenu produkcji bądź wytwarzanie lepszych lub nawet zupełnie nowych produktów", "section": "Czynniki wzrostu gospodarczego", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Konwergencja dochodowa Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić zjawisko konwergencji dochodowej (realnej) Przywołać i wytłumaczyć sposób działania czynników, które zwiększają i zmniejszają prawdopodobieństwo wystąpienia konwergencji dochodowej Obliczać tempo realnej konwergencji pomiędzy grupą krajów o wysokim dochodzie (rozwiniętych) a resztą świata Niektóre gospodarki krajów o niskich i średnich dochodach (w tej grupie jest również Polska) mogą być przykładem występowania zjawiska konwergencji dochodowej (realnej) (ang. convergence ), gdyż rozwijały się one szybciej (ich realny PKB zwiększał się w większym tempie) niż gospodarki krajów o wysokich dochodach. Jako punkt odniesienia wskażmy, że w grupie krajów o wysokich dochodach, do której należą Stany Zjednoczone, Kanada, większość krajów UE, Japonia, Australia i Nowa Zelandia, realny PKB wzrastał w średnim tempie 2,8% rocznie w ciągu ostatniej dekady XX w. i 1,8% średniorocznie w latach 2001–2019. wskazuje kraje, które można zaliczyć do nieformalnego „klubu szybkiego wzrostu”. Gospodarki te osiągały średnie tempo wzrostu realnego PKB (skorygowanego o inflację) na poziomie co najmniej 5% rocznie zarówno w okresie 1990–2000, jak i w latach 2001–2019 (czyli ostatniego roku przed wybuchem pandemii Covid-19 i związanych z nią poważnych turbulencji w gospodarce). Ponieważ wzrost gospodarczy w krajach nadrabiających dystans przekroczył średnią dla gospodarek o wysokim dochodzie, zmniejszały one występującą między obu grupami różnicę w wartości PKB (produkt globalny krajów szybkiego wzrostu w relacji do PKB państw rozwiniętych był coraz wyższy). Druga część zawiera przykłady gospodarek należących do równie nieformalnego „klubu powolnego wzrostu” skupiającego kraje, w których średnioroczne tempo wzrostu realnego PKB w tych samych okresach kształtowało się na poziomie co najwyżej 2,5%. Zwróć uwagę, że w jego skład nie wchodzą wyłącznie państwa o najwyższych dochodach. Ostatnia część pokazuje średnie stopy wzrostu PKB dla krajów zagregowanych zgodnie z ich poziomem dochodu per capita . Wzrost gospodarczy na świecie Kraj Średnia stopa wzrostu realnego PKB 1990–2000 Średnia stopa wzrostu realnego PKB 2001–2019 „ Klub szybkiego wzrostu ” (dynamika na poziomie co najmniej 5% rocznie w obu okresach) Chiny 9,8% 9,0% Dominikana 5,0% 5,0% Indie 5,6% 6,6% Laos 6,2% 7,2% Mozambik 5,9% 6,8% Uganda 6,5% 6,4% Wietnam 7,4% 6,6% Polska (dla porównania)* 5,0% 3,8% *Dla Polski dane obejmują okres po zakończeniu tzw. recesji transformacyjnej, tj. od 1992 r. „ Klub powolnego wzrostu ” (dynamika na poziomie co najwyżej 2,5% rocznie w obu okresach) Francja 2,2% 1,3% Haiti 0,2% 1,8% Jamajka 2,0% 0,8% Japonia 1,6% 0,7% Niemcy 2,2% 1,3% Republika Środkowoafrykańska 0,9% 1,5% Szwajcaria 1,4% 1,8% Włochy 1,7% 0,2% Stany Zjednoczone (dla porównania) 3,3% 2,0% Uśrednione dane dla całego świata Kraje o wysokim dochodzie 2,8% 1,9% Kraje o niskim dochodzie 2,9% 3,7% Kraje o średnim dochodzie 3,5% 5,8% (Źródło: http://databank.worldbank.org/data/views/variableSelection/selectvariables.aspx?source=world-development-indicators#c_u). Każdy z krajów wymienionych w miał własną niepowtarzalną strategię inwestowania w kapitał ludzki i rzeczowy, sposób wspierania zmian technologicznych, politykę na poziomie władz różnych szczebli, a nawet szczęśliwe zrządzenia losu. Na podstawie powyższych danych można jednak sformułować również pewne ogólne spostrzeżenia. Najszybszym tempem wzrostu charakteryzują się kraje o średnim poziomie dochodu, zaś najwolniejszym gospodarki najlepiej rozwinięte. Biorąc pod uwagę populacje, dwoma najważniejszymi członkami „klubu szybkiego wzrostu” są Chiny i Indie, które łącznie zamieszkuje prawie 40% ludności świata. Z kolei członkostwo w „klubie powolnego wzrostu” dla Japonii, Francji, Włoch, Niemiec i Szwajcarii, które i tak mają bardzo wysoki poziom PKB per capita , nie jest tak niebezpieczne, jak dla biednych Haiti, Jamajki i Republiki Środkowoafrykańskiej. Czy zjawisko konwergencji gospodarczej, które pozwoliło w przeszłości osiągnąć wysoki i bardzo wysoki poziom PKB na jednego mieszkańca Japonii i Korei Południowej, a w perspektywie dwóch–trzech dekad umożliwi najpewniej dołączenie do klubu najbogatszych również Polsce, ma charakter powszechny i trwały? Innymi słowy, czy wszystkie kraje o niskich dochodach nieuchronnie będą się bogacić, aż osiągną poziom charakterystyczny dla USA i UE? Jako że pytanie to wywołuje wśród ekonomistów poważne kontrowersje, rozważmy argumenty przywoływane przez obie strony sporu. Argumenty przemawiające za powszechnością i trwałością procesu konwergencji Jest kilka ważkich argumentów uzasadniających tezę, zgodnie z którą kraje o niskich dochodach mogą mieć naturalną przewagę sprawiającą, że ich tempo wzrostu wydajności, a więc również dynamika wzrostu gospodarczego, są wyższe niż w krajach o wysokich dochodach. Pierwszy argument opiera się na prawie malejącej produktywności krańcowej. Nawet jeśli intensyfikacja kapitału ludzkiego i rzeczowego będzie przekładała się na wzrost PKB per capita , to malejąca produktywność krańcowa czynników produkcji sprawi, że rosnąca przeciętna wartość kapitału ludzkiego i rzeczowego przypadająca na pracownika będzie się w coraz mniejszym stopniu przekładała na tempo wzrostu gospodarczego. Na przykład wydłużenie przeciętnego okresu szkolnej edukacji dzieci o dwa lata, dzięki czemu wszyscy młodzi ludzie ukończą szkołę średnią ( ceteris paribus , czyli przy zachowaniu wszystkich innych nakładów na stałym poziomie), spowoduje pewien wzrost produkcji. Dodatkowe dwa lata edukacji przeciętnego młodego człowieka spowodowałyby dalszy wzrost produkcji, ale o niższej skali, co oznaczałoby, że korzyść krańcowa z intensyfikacji kapitału ludzkiego byłaby mniejsza. Kolejny dwuletni wzrost przeciętnej liczby lat spędzonych w placówkach edukacyjnych przyniósłby dalszy wzrost produkcji, ale krańcowy przyrost byłby jeszcze mniejszy. Podobna zależność jest prawdziwa także dla kapitału rzeczowego. Jeśli wartość tego kapitału dostępnego dla przeciętnego pracownika powiększy się, powiedzmy, z 5000 do 10 000 dol. (ponownie przy założeniu ceteris paribus ), to wolumen produkcji oczywiście wzrośnie. Dodatkowy wzrost z 10 000 do 15 000 dol. spowoduje dalszy przyrost produkcji, ale w mniejszej skali, co oznacza, że krańcowy przyrost produkcji będzie już mniejszy. Wyobraź sobie, że biuro tłumaczeń zatrudnia dziesięciu pracowników i postanawia każdemu z nich kupić komputer. To oznacza intensyfikację kapitału fizycznego i oczywiście wzrost produkcji mierzonej liczbą stron przetłumaczonych w ciągu roku. Jeśli jednak każdy z pracowników dostałby kolejny komputer (czyli wartość kapitału na pracownika zwiększyłaby się o tę samą kwotę), to wzrost liczby przetłumaczonych w ciągu roku stron byłby już bardzo niewielki. Kraje o niskim dochodzie na mieszkańca, takie jak Chiny czy Indie, mają zwykle niższy poziom kapitału ludzkiego i rzeczowego w przeliczeniu na jednego pracownika, więc zainwestowanie, powiedzmy, miliona dolarów, przekładające się na wzrost wartości kapitału fizycznego, powinno przynieść w tych krajach znacznie większy efekt krańcowy niż w wypadku państw o wysokich dochodach (USA, Niemcy), gdzie zasób kapitału ludzkiego i rzeczowego jest znacznie większy. Zmniejszające się korzyści krańcowe oznaczają, że gospodarki o niskich dochodach przy tym samym poziomie inwestycji rosną szybciej i dzięki temu mogą się kiedyś zrównać z krajami o wysokich dochodach. Drugi argument nawiązuje do względnej łatwości, z jaką kraje o niskich dochodach mogą ulepszać wykorzystywane technologie, w porównaniu z krajami o wysokich dochodach. Te ostatnie muszą inwestować sporo funduszy (tak publicznych, jak i prywatnych) w sferę badań i rozwoju, aby unowocześniać wykorzystywane technologie, podczas gdy kraje biedniejsze mogą zastosować takie, które zostały już wynalezione i ich wdrożenie jest stosunkowo proste i tanie. Dodatkowo państwa zapóźnione mogą ominąć jeden czy dwa etapy na ścieżce rozwoju i od razu wykorzystać najnowszą istniejącą technologię. Taka sytuacja miała miejsce w Polsce, gdzie wraz z rozpoczęciem procesu transformacji systemowej i przekształceń polskiego sektora bankowego ominęliśmy de facto etap rozliczeń czekowych i od razu wdrożyliśmy tańszą i bardziej efektywną technologię kart płatniczych. Ekonomista Alexander Gerschenkron (1904–1978) nadał temu zjawisku łatwą do zapamiętania nazwę: „renty zacofania”. Oczywiście nie miał on na myśli dosłownie tego, że niższy standard życia jest zaletą. Zwracał jedynie uwagę na fakt, że kraj, który jest zapóźniony, ma pewien dodatkowy potencjał do nadrabiania zaległości. Wreszcie optymiści argumentują, że wiele krajów, obserwując doświadczenia państw rozwiniętych, potrafiło wyciągnąć wnioski z popełnianych przez nie błędów i naśladować te strategie, które były najbardziej efektywne. W taki sposób Chiny zaadaptowały doświadczenia Japonii i również weszły na ścieżkę szybkiego wzrostu, na której Kraj Kwitnącej Wiśni znalazł się blisko 30 lat wcześniej. Ponadto gdy mieszkańcy danego kraju zaczną czerpać korzyści z wyższego standardu życia, mogą być bardziej skłonni do budowania i wspierania przyjaznych rynkowi instytucji pomagających utrzymać lub wręcz dodatkowo podwyższyć standard życia. Obejrzyj to wideo , aby dowiedzieć się więcej o wzroście gospodarczym na świecie. Argumenty uzasadniające tezę, że konwergencja nie jest zjawiskiem ani powszechnym, ani trwałym Gdyby wzrost gospodarczy zależał tylko od tempa intensyfikacji kapitału ludzkiego i rzeczowego, to oczekiwalibyśmy, że w długim okresie tempo wzrostu gospodarki spowolni z powodu malejącej krańcowej produktywności czynników produkcji. Istnieje jednak jeszcze jeden kluczowy czynnik w zagregowanej funkcji produkcji, a mianowicie technologia. Rozwój nowych technologii może być dla gospodarki sposobem na obejście problemu malejącej produktywności krańcowej dodatkowych jednostek kapitału per capita . pokazuje, jak ten mechanizm może działać. Oś pozioma na wykresie ilustruje skalę intensyfikacji kapitału, zarówno fizycznego, jak i ludzkiego. Wartość kapitału ludzkiego i rzeczowego przypadająca na jednego pracownika wzrasta w miarę przesuwania się od lewej do prawej strony, od C 1 do C 2 i C 3 . Oś pionowa wykresu mierzy wielkość produkcji per capita . Rozpocznij od analizy najniższej linii na tym wykresie, oznaczonej jako Technologia 1. Dla tej konkretnej funkcji produkcji poziom technologii jest stały, więc krzywa pokazuje jedynie związek pomiędzy intensyfikacją kapitału a produkcją. W miarę jak wartość kapitału na pracownika rośnie z C 1 do C 2 i C 3 , a gospodarka przesuwa się z punktu R do U oraz W, wielkość produkcji per capita wzrasta. W miarę przesuwania się po linii wykresu od strony lewej do prawej zauważamy, że początkowo jest on bardziej stromy, a potem się spłaszcza. Ilustruje to malejące krańcowe przyrosty produkcji, ponieważ intensyfikacja kapitału zwiększa produkcję w coraz mniejszym stopniu. Kształt wykresu zagregowanej funkcji produkcji (Technologia 1) pokazuje, że zdolność samego tylko zwiększania zasobu kapitału przypadającego na pracownika do generowania trwałego wzrostu gospodarczego jest ograniczona, ponieważ krańcowa produktywność takiego czynnika produkcji jak kapitał maleje. Intensyfikacja kapitału a nowa technologia Wyobraź sobie, że analizę gospodarki zaczynamy w punkcie R, przy zasobie kapitału rzeczowego i ludzkiego przypadającym na jednego pracownika równym C 1 i produkcji per capita na poziomie G 1 . Jeżeli w gospodarce dochodzi jedynie do intensyfikacji kapitału, przy niezmienionej technologii, to przy przejściu z punktu R przez punkt U do punktu W gospodarka ta szybko napotka problem malejącej produktywności kapitału. Jeśli jednak wraz z intensyfikacją kapitału dojdzie do zmiany technologicznej (którą obrazuje przejście na wyżej położone krzywe Technologia 2 i Technologia 3), to intensyfikacja kapitału oznaczająca przejście z poziomu C 1 do C 2 będzie wskazywać przesunięcie z punktu R do punktu S i wzrost produkcji per capita z poziomu G 1 do G 2 . Podobnie gdy wartość kapitału na pracownika wzrośnie z poziomu C 2 do C 3 , a technologia się zmieni, co pozwoli na przesunięcie z funkcji produkcji Technologia 2 na funkcję Technologia 3, to gospodarka przemieści się z punktu S do punktu T, zaś wartość produkcji per capita wzrośnie z poziomu G 2 do G 3 . Dzięki zmianie technologii na lepszą nie ma już powodu, aby wzrost gospodarczy musiał zwolnić tempo. Jeśli jednak wprowadzimy do tego obrazu ulepszenia technologiczne, uda się ominąć problem malejącej produktywności krańcowej. Każda z funkcji produkcji wykreślonych na oparta jest na pewnym zaawansowaniu technologicznym, im wyżej leży wykres funkcji, tym wyższy poziom tego zaawansowania (Technologia 2 jest oparta na lepszych rozwiązaniach niż Technologia 1, zaś Technologia 3 reprezentuje wyższy poziom niż Technologia 2). Jednocześnie im wyższy poziom zaawansowania technologicznego, tym wyższa produkcja per capita dla każdego poziomu nakładów kapitału ludzkiego i fizycznego (porównaj punkty T, V i W). Większość rozwijających się krajów, inwestując środki finansowe (tak publiczne, jak i prywatne), jednocześnie zwiększa zasób kapitału fizycznego i ludzkiego dostępny dla przeciętnego pracownika (intensyfikacja kapitału) i poprawia rozwiązania technologiczne. W rezultacie taka gospodarka może przejść od stanu reprezentowanego przez punkt R na krzywej zagregowanej produkcji Technologia 1 do punktu takiego jak S, a następnie T. Dzięki połączeniu zmian technologicznych i intensyfikacji kapitału ludzkiego i fizycznego tempo wzrostu PKB per capita w krajach o wysokim dochodzie nie musi zanikać z powodu malejącej produktywności krańcowej czynników produkcji. Korzyści z ulepszanej technologii mogą zrównoważyć malejącą produkcję krańcową związaną ze wzrostem zaangażowania kapitału. Czy z biegiem czasu również udoskonalenia technologiczne będą przynosiły malejące korzyści krańcowe? Inaczej mówiąc, czy odkrywanie nowych technologii będzie coraz trudniejsze i coraz bardziej kosztowne? Być może kiedyś tak, ale w ciągu ostatnich dwóch stuleci, od początku rewolucji przemysłowej, ulepszenia technologiczne nie przekładały się na malejące przyrosty produkcji. Współczesne wynalazki, takie jak sztuczna inteligencja, internet czy odkrycia z dziedziny genetyki lub materiałoznawstwa, nie wydają się zapewniać mniejszego przyrostu produkcji niż wcześniejsze wynalazki, takie jak silnik parowy, powszechne wykorzystanie elektryczności czy technologia spalinowa. Jednym z najważniejszych powodów, dla których współczesne ulepszenia technologiczne nie prowadzą do malejących korzyści krańcowych, jest to, że zastosowanie nowej technologii jest możliwe przy bardzo niskim, a nawet zerowym koszcie krańcowym. Gdy konkretny pracownik lub grupa pracowników muszą zostać wyposażeni w nową maszynę lub narzędzie albo zostanie im postawiony wymóg nauczenia się nowego języka obcego, wygeneruje to wysokie koszty. Jednocześnie wielu pracowników w całej gospodarce może korzystać z nowej technologii lub wynalazku (np. algorytmów tłumaczących języki obce opartych na sztucznej inteligencji) przy bardzo niskim koszcie krańcowym. Argument, zgodnie z którym gospodarce o niskich dochodach łatwiej skopiować i zaadaptować istniejącą technologię niż gospodarce o wysokich dochodach wynaleźć nowe rozwiązania w tym obszarze, również nie musi być prawdziwy. Jeśli chodzi o adaptację i wykorzystanie nowych technologii, możliwości konkretnego społeczeństwa są pochodną powszechności edukacji, efektywności rozwiązań rynkowych i skuteczności polityk publicznych. W teorii kraje o niskich dochodach mają wiele możliwości kopiowania i adaptowania technologii, ale jeśli brakuje im odpowiedniej infrastruktury gospodarczej i społecznej, czyli niezbędnych instytucji, to ta teoretyczna możliwość ma niewielkie znaczenie praktyczne. Odwiedź tę stronę , aby dowiedzieć się więcej o wzroście gospodarczym w Indiach. Powolność konwergencji Chociaż konwergencja gospodarcza pomiędzy krajami o wysokim dochodzie a resztą świata wydaje się możliwa, a nawet prawdopodobna, to będzie ona postępować relatywnie wolno. Wyobraźmy sobie dwa państwa, z których pierwsze jest dość typową gospodarką o wysokim dochodzie z PKB per capita na poziomie 40 000 dol., drugie zaś typowym państwem o niskim dochodzie z PKB per capita równym 4000 dol. (nie jest to zatem kraj bardzo biedny), jak np. Indonezja, Gwatemala czy Egipt. Załóżmy, że gospodarka bogatego kraju (jej PKB per capita ) rośnie średnio w tempie 2% rocznie, podczas gdy analogiczny parametr w kraju o niskim dochodzie przyrasta w tempie aż 7% średniorocznie. Po 30 latach PKB per capita w bogatym kraju wyniesie 72 450 dol. (czyli 40 000 dol. × (1 + 0,02)30), podczas gdy w biednym będzie to 30 450 dol. (4000 dol. × (1 + 0,07)30). Nastąpiła konwergencja. Bogaty kraj był kiedyś dziesięć razy bardziej zamożny – biorąc pod uwagę PKB per capita – niż kraj biedny, a teraz jest bogatszy tylko ok. 2,4 razy. Jednak nawet po 30 kolejnych latach bardzo szybkiego wzrostu ludzie w państwie o niskich dochodach nadal mogą czuć się dość biedni w porównaniu z mieszkańcami kraju bogatego. Co więcej, w miarę jak biedny kraj nadrabia zaległości, jego zdolność do szybkiej konwergencji dochodowej maleje, gdyż różnica w tempie wzrostu gospodarczego pomiędzy nim a zamożnym punktem odniesienia sukcesywnie się zmniejsza. Stosunkowo powolne tempo konwergencji realnej ilustruje również kluczowe znaczenie relatywnie niewielkich różnic w rocznych stopach wzrostu gospodarczego, które w bardzo długim okresie prowadzą do ogromnych dysproporcji w zamożności. Kraje o wysokich dochodach budowały swoją przewagę w zakresie standardu życia przez dziesiątki, a nawet setki lat. Nawet w optymistycznym scenariuszu potrzeba będzie stuleci, aby państwa o niskich dochodach znacząco nadrobiły te zaległości. Kalorie a wzrost gospodarczy Historię współczesnego wzrostu gospodarczego możemy opowiedzieć, analizując zmianę przeciętnej liczby kalorii przyswajanych przez mieszkańców Ziemi na przestrzeni bardzo długiego okresu. Gwałtowny wzrost dochodów pozwolił przeciętnemu człowiekowi odżywiać się w bardziej urozmaicony i zdrowszy sposób, jak również spożywać więcej kalorii. W jaki sposób te dochody wzrosły? Neoklasyczny konsensus panujący wśród ekonomistów ze wzrostem gospodarczym wiąże czynniki takie jak wzrost nakładów na kapitał ludzki i fizyczny oraz zmiany technologiczne z nowoczesnym wzrostem gospodarczym, czyli do objaśnienia tego zjawiska wykorzystuje zagregowaną funkcję produkcji . Kluczowe dla wzrostu i konwergencji było również przekształcanie inwestycji w intensyfikację kapitału ludzkiego i fizycznego w zmianę technologiczną. Niezależnie od problemu dystrybucji dochodów jasne jest, że przeciętny robotnik w roku 2023 może sobie pozwolić na zakup większej liczby kalorii w pożywieniu niż w roku 1875. Pomijając wzrost średniego dochodu, jest jeszcze jeden powód, dla którego przeciętny człowiek może sobie pozwolić na zakup większej ilości jedzenia. Zmiana technologiczna w rolnictwie (wprowadzenie maszyn, środków ochrony roślin i nawozów sztucznych) w wielu krajach doprowadziła do wzrostu produkcji żywności powyżej poziomu spożycia lokalnej populacji, co oznaczało możliwość sprzedaży nadwyżek za granicę (eksport). Jednak mimo posiadania takiej nadwyżki wielu rządom i organizacjom finansowanym ze środków publicznych wciąż nie udało się rozwiązać problemu dystrybucji żywności. Zdaniem wyróżnionego Nagrodą Nobla ekonomisty Amartya Sena , który prowadził szerokie badania nad nierównościami dochodowymi, ubóstwem i rolą państwa w poprawie standardu życia, pojawiające się – pomimo bardzo wysokiego wolumenu produkcji – niedobory żywności, a nawet niedożywienie i głód, są najczęściej spowodowane suboptymalną polityką ekonomiczną prowadzoną przez państwo. Według Sena najskuteczniejszym sposobem zapewnienia równomiernej dystrybucji żywności i tym samym wyeliminowania problemu głodu jest polityka makroekonomiczna, która dąży do ustabilizowania inflacji, pełnego zatrudnienia, upowszechnienia edukacji kobiet, a także ochrony praw własności i swobody zawierania umów. Z uwagi na to, że globalna produkcja żywności per capita cały czas rośnie, światowe ceny produktów spożywczych po 1875 r. sukcesywnie spadały. Tempo tego spadku było jednak zróżnicowane w odniesieniu do poszczególnych towarów lub rodzajów żywności. Naukowcy z Uniwersytetu w Waszyngtonie wykazali, że w Stanach Zjednoczonych jedna kaloria możliwa do przyswojenia w związku ze spożyciem cukinii i sałaty jest 100 razy droższa niż kaloria przyjmowana wraz z konsumpcją oleju, masła i cukru. Badania prowadzone w takich krajach jak Indie, Chiny i Stany Zjednoczone sugerują, że wraz ze wzrostem dochodów ludzie chcą spożywać więcej kalorii pochodzących z tłuszczów i białka (czyli przede wszystkim produktów odzwierzęcych – mięsa i nabiału), a mniej z węglowodanów (czyli produktów roślinnych). Ma to bardzo istotne implikacje dla globalnej produkcji żywności, jak również problemów otyłości i zanieczyszczenia środowiska. Mieszkańcy bogatych miejskich przedmieść w Indiach mają takie same problemy z otyłością jak populacja Stanów Zjednoczonych. Mechanizmy konwergencji dochodowej mają również takie zaskakujące konsekwencje. Key Concepts and Summary Proces wyrównywania się poziomu PKB per capita w krajach o wysokich i niskich dochodach nazywamy konwergencją dochodową lub realną. Zjawisko konwergencji może wystąpić nawet wtedy, gdy zarówno kraje o wysokich, jak i niskich dochodach zwiększają inwestycje w kapitał rzeczowy i ludzki mniej więcej w tej samej skali. Dzieje się tak dlatego, że inwestycja w kapitał rzeczowy i ludzki w kraju o niskich dochodach (a więc również relatywnie niskiej wartości kapitału przypadającej na jednego pracownika) przynosi większy produkt krańcowy w porównaniu z analogicznym wydatkiem dokonanym w kraju o wysokim dochodzie (gdzie wartość kapitału rzeczowego i ludzkiego przypadająca na jednego zatrudnionego już jest wysoka). Przede wszystkim dzięki temu mechanizmowi gospodarki o niższych dochodach charakteryzują się wyższą dynamiką wzrostu PKB per capita . Aby utrzymać relatywnie wysokie tempo wzrostu gospodarczego, państwa o wysokich dochodach muszą z kolei nie tylko intensyfikować kapitał rzeczowy i ludzki, ale też dbać o to, aby inwestycje przekładały się na postęp technologiczny. W tym celu powołują one instytucje gospodarcze i polityczne, które mają zapewniać środowisko sprzyjające podtrzymywaniu lub wręcz intensyfikacji strumienia innowacji technologicznych. Wysokie tempo postępu technologicznego może stanowić przeciwwagę dla malejących korzyści krańcowych związanych z inwestycjami w kapitał ludzki i rzeczowy. Self-Check Questions Postaraj się wskazać przykład pomagający zrozumieć, dlaczego po okresie szybkiego wzrostu kraj o niskich dochodach, który nie dogonił kraju o wysokich dochodach, może czuć się biedny. Dobrym przykładem jest biegacz, który podjął trud dogonienia czołówki wyścigu. Jeśli pomimo dużego wysiłku nie zdołał tego dokonać, będzie wyczerpany fizycznie i psychicznie, a poczucie, że tak ciężkie starania poszły na marne, zapewne będzie dojmujące. Nadrabianie zaległości jest zazwyczaj bardziej obciążające niż utrzymanie pozycji na czele stawki. Oceń, czy opisane poniżej sytuacje prowadzą do intensyfikacji kapitału. Uzasadnij swoją odpowiedź. Osłabienie skłonności do inwestowania w przedsiębiorstwach funkcjonujących w ramach nieefektywnej gospodarki. Wzrost skali handlu międzynarodowego. Rosnąca popularność kształcenia ustawicznego, finansowanego zarówno przez przedsiębiorstwa w ramach szkoleń zawodowych, jak i podejmowanego przez osoby dorosłe na własny koszt. Nie. Spadek inwestycji podejmowanych przez przedsiębiorstwa zmniejsza wartość kapitału rzeczowego przypadającą na jednego zatrudnionego. Nie ma bezpośredniego związku między rozwojem handlu międzynarodowego a wzrostem wartości kapitału na jednego zatrudnionego. Można sobie wprawdzie wyobrazić sytuację, w której handel mógłby prowadzić do intensyfikacji kapitału (np. gdyby napływ kapitału międzynarodowego finansujący deficyt handlowy prowadził do wzrostu inwestycji w kapitał rzeczowy), ale ogólnie rzecz biorąc, odpowiedź brzmi: nie. Tak. Intensyfikacja kapitału odnosi się do wzrostu wartości kapitału rzeczowego lub ludzkiego w przeliczeniu na zatrudnionego. Kształcenie ustawiczne lub jakakolwiek forma rozwijania kwalifikacji przez osoby dorosłe zwiększa wartość kapitału ludzkiego w gospodarce, a więc powoduje jego intensyfikację. Jakie są korzyści z renty zacofania z punktu widzenia wzrostu gospodarczego? Renta zacofania pozwala na szybsze tempo wzrostu ze względu na proces konwergencji, a także relatywnie niskokosztową adaptację nowych technologii, które zostały opracowane w krajach będących liderami technologicznymi. Choć bycie zacofanym z natury rzeczy nie jest dobre, Alexander Gerschenkron podkreślił, że istnieją pewne korzyści, np. związane z adaptowaniem bardziej wydajnych technologii i pomijaniem etapów pośrednich, które pomagają krajom nadrabiającym zaległości. Czy potrafisz objaśnić, dlaczego intensyfikacja kapitału może prowadzić do malejącej produktywności krańcowej? A czy postęp technologiczny również może przekładać się na spadek produktu krańcowego? Odpowiedź uzasadnij. Intensyfikacja kapitału, niejako z definicji, powinna prowadzić do malejącej produktywności krańcowej, ponieważ inwestujesz coraz więcej, ale używasz tych samych metod produkcji, co prowadzi do spadku wartości dodatkowego produktu pojawiającego się dzięki inwestycjom. Jest to widoczne na funkcji produkcji jako ruch wzdłuż jej wykresu. Ulepszanie technologii nie powinno prowadzić do zmniejszenia krańcowych przyrostów produkcji, ponieważ znajdujesz nowe i bardziej efektywne sposoby wykorzystania tych samych zasobów kapitału rzeczowego i ludzkiego. Można to zobrazować jako przesuwanie funkcji produkcji na coraz wyższe położenie. Dlaczego tempo wzrostu produktywności czynników produkcji w gospodarkach o wysokim dochodzie nie zmniejsza się, choć powinno tak się dziać, zgodnie z prawem malejących przychodów krańcowych? Czy oznacza to, że w najbogatszych gospodarkach prawo to nie działa? Uzasadnij swoją odpowiedź. W gospodarkach o wysokim dochodzie malejąca produktywność krańcowa inwestycji w kapitał rzeczowy i ludzki jest rekompensowana postępem technologicznym, który ma charakter ciągły, dzięki efektywnym instytucjom, takim jak prawa własności gwarantujące korzyści z dokonywanych wynalazków i swoboda zawierania umów. Niemal niewyczerpany strumień innowacji technologicznych może tym samym stanowić przeciwwagę dla malejących korzyści krańcowych z inwestycji w kapitał ludzki i rzeczowy. W rezultacie wzrost produktywności wynikający z nowych osiągnięć technologicznych nie będzie spowalniał, ponieważ nowe metody produkcji zostaną wdrożone stosunkowo szybko i przy bardzo niskich kosztach krańcowych. Review Questions Jakie czynniki w ramach zagregowanej funkcji produkcji są najważniejsze z punktu widzenia wzrostu PKB per capita w przypadku gospodarki o wysokim dochodzie, takiej jak amerykańska? Co z krajem o średnim dochodzie, takim jak Brazylia? A w odniesieniu do kraju o niskim dochodzie, takiego jak Niger? Wymień kilka argumentów za i przeciw prawdopodobieństwu wystąpienia zjawiska konwergencji dochodowej. Critical Thinking Questions Jakie rodzaje polityk publicznych mogą wdrożyć państwa rozwijające się, aby przyspieszyć tempo konwergencji? Zmiany technologiczne sprawiają, że coraz więcej z nas wykonuje pracę niewymagającą wysiłku fizycznego i prowadzi siedzący tryb życia. Jednocześnie koszty żywności wciąż maleją, w związku z czym wystąpienie zjawiska powszechnej otyłości jest coraz bardziej prawdopodobne. Jak myślisz, co mogłoby zmniejszyć to zagrożenie? References Central Intelligence Agency. “The World Factbook: Country Comparison: GDP–Real Growth Rate.” https://www.cia.gov/library/publications/the-world-factbook/rankorder/2003rank.html. Sen, Amartya. “Hunger in the Contemporary World (Discussion Paper DEDPS/8).” The Suntory Centre: London School of Economics and Political Science . Last modified November 1997. http://sticerd.lse.ac.uk/dps/de/dedps8.pdf. konwergencja realna (ang. convergence ) proces, w ramach którego PKB per capita w gospodarkach o niskich dochodach rośnie szybciej niż w krajach o wysokich dochodach, dzięki czemu w długim okresie poziom zamożności w obu grupach wyrównuje się konwergencja dochodowa zob. konwergencja realna", "section": "Konwergencja dochodowa", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Zastąpieni przez roboty Piekarz piecze chleb? Niekoniecznie. Do prac dotychczas typowo wykonywanych przez człowieka, takich jak w pokazanej na zdjęciu piekarni, coraz częściej wykorzystuje się maszyny. (Źródło: modyfikacja pracy „Factory Automation Robotics Palettizing Bread” autorstwa KUKA Roboter GmbH/Wikimedia Commons, domena publiczna). Bezrobocie i pandemia Covid-19 – skomplikowana historia W powojennej historii Stanów Zjednoczonych nigdy wcześniej nie doszło do zjawiska o porównywalnej skali. Między marcem a kwietniem 2020 r. stopa bezrobocia w USA wzrosła z 4,4% do 14,7%. (Warto zauważyć, że w ciągu całego roku 2020 bezrobocie w Polsce zwiększyło się zgodnie z danymi opublikowanymi przez GUS o ponad 1 punkt procentowy, z poziomu 5,2% w grudniu roku 2019 do 6,8% w grudniu 2020, zaś w grudniu 2022 r. stopa bezrobocia rejestrowanego była dokładnie taka sama jak przed wybuchem pandemii ( źródło ). Konsekwencją rozpoczynającej się właśnie pandemii Covid-19 i wprowadzonych w związku z tym przepisów drastycznie ograniczających nie tylko możliwości prowadzenia działalności gospodarczej, ale wręcz swobodę przemieszczania się, było zamknięcie wielu firm, przez co miliony pracowników nagle znaleźli się bez pracy. Ludzie, którzy musieli pozostać w domach, ograniczyli wydatki, zwłaszcza na restauracje, turystykę i podróże. Z czasem, w miarę poprawy sytuacji epidemiologicznej i powrotu nadziei na przywrócenie trybu życia sprzed pandemii, bezrobocie zaczęło spadać. W 2022 r., dzięki dostępności szczepionek i szybko rosnącemu odsetkowi osób zabezpieczonych przynajmniej dwoma ich dawkami, sytuacja jeszcze się poprawiła, ale obawy przed pojawieniem się nowych, bardziej zjadliwych wariantów koronawirusa uniemożliwiały pełny powrót do normalności. Pandemia Covid-19 miała również inne negatywne skutki dla rynku pracy. Stopa aktywności zawodowej (potocznie określana również jako stopa partycypacji), czyli odsetek aktywnych zawodowo (pracujących i poszukujących pracy) osób w wieku produkcyjnym spadł i na początku 2022 r. pozostał niższy niż w roku 2019. Było to konsekwencją decyzji podejmowanych samodzielnie oraz tych narzuconych. Niektórzy byli zmuszeni do przerwania pracy z powodu wprowadzenia nauki zdalnej, zamknięcia placówek opiekuńczych (przedszkoli) i konieczności opieki nad dziećmi. Inni obawiali się kontaktów ze współpracownikami i klientami w środku globalnej pandemii. Jeszcze inni po prostu zdecydowali się przejść na wcześniejszą emeryturę. Aktywność zawodowa mierzona stopą aktywności zawodowej wciąż kładzie się cieniem na zjawisku ożywienia na rynku pracy. Te dwie zmienne – stopa bezrobocia i stopa aktywności zawodowej – pokazują, jak skomplikowane mogą być zależności na rynku pracy. Mimo że stopa bezrobocia w 2021 r. spadła, rozczarowujące statystyki dotyczące aktywności zawodowej Amerykanów wskazują na ograniczoną skalę ożywienia gospodarczego. Jednego dnia można przeczytać nagłówek o tym, jak łatwo jest znaleźć lub zmienić pracę, by kolejnego zobaczyć tytuły oznajmiające, jak trudno jest pracodawcom rekrutować wykwalifikowanych pracowników. Po zakończeniu lektury tego rozdziału będziesz w stanie interpretować sytuację na rynku pracy w oparciu o dostępne dane. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Jak ekonomiści definiują i obliczają stopę bezrobocia W jaki sposób można klasyfikować różne rodzaje bezrobocia Jakie czynniki wpływają na poziom bezrobocia w krótkim i długim okresie Utrata pracy i niemożność znalezienia zatrudnienia staje się zazwyczaj niezwykle bolesnym i brzemiennym w skutki doświadczeniem życiowym, porównywalnym z poważnym wypadkiem samochodowym i długotrwałym procesem rozwodowym, którego konsekwencje może w pełni zrozumieć tylko ktoś, kto przez nie przeszedł. Bezrobotni i ich rodziny, nie mając bezpieczeństwa finansowego, żyją w ciągłym napięciu. Są zmuszeni do podejmowania trudnych decyzji, takich jak rezygnacja z dotychczasowego standardu życia (rozrywek, posiłków na mieście, abonamentu telewizji kablowej), sprzedaży samochodu czy zmiany miejsca zamieszkania, która szczególnie dla dzieci wyrwanych ze swojego środowiska bywa wyjątkowo trudna. Nawet jeśli osoba bezrobotna znajdzie nową pracę, to jej wynagrodzenie może być niższe niż poprzednio. Dla wielu ludzi praca jest ważnym elementem samooceny. Dotknięcie kryzysem bezrobocia mocno obniża poczucie własnej wartości, może wpływać na relacje rodzinne oraz zdrowie psychiczne i fizyczne. Nierzadko – szczególnie wśród mężczyzn – prowadzi do samobójstw. Już tylko wskazane wyżej społeczne koszty bezrobocia mogą uzasadniać uznanie tego wskaźnika za priorytet polityki ekonomicznej państwa i utrzymywanie go na jak najniższym poziomie. Jednak bezrobocie generuje również istotne koszty ekonomiczne dla całego społeczeństwa. Jeśli miliony chętnych do pracy osób nie mogą znaleźć zatrudnienia, to czynniki produkcji w danej gospodarce pozostają niewykorzystane. Kraj z wysokim bezrobociem jest jak firma posiadająca gotową do pracy, ale nieużytkowaną fabrykę. Gigantycznym kosztem alternatywnym bezrobocia (ang. opportunity cost of unemployment ) są dobra i usługi, które mogliby wyprodukować bezrobotni pracownicy. W tym rozdziale omówimy sposoby, jakie ekonomiści wykorzystują, aby bezrobocie zdefiniować i oszacować jego skalę. Przyjrzymy się zmianom stopy bezrobocia w Stanach Zjednoczonych, Polsce i innych krajach. Następnie wyjaśnimy jego rodzaje, ekonomiczne aspekty oraz narzędzia stosowane przez państwo w celu zmniejszenia rozmiaru tego zjawiska.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "W jaki sposób ekonomiści definiują i obliczają stopę bezrobocia Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczyć współczynnik aktywności zawodowej (stopę partycypacji) i stopę bezrobocia Wyjaśnić, na czym polega zjawisko ukrytego bezrobocia i co to znaczy, że się jest lub nie jest częścią zasobu siły roboczej Ocenić i interpretować dane dotyczące bezrobocia Raporty prasowe i telewizyjne zazwyczaj podają wielkość bezrobocia w procentach, czyli pokazują, ile wynosi stopa bezrobocia. Oznacza to, że wartość ta ma charakter względny lub inaczej relatywny. Możemy np. napisać, że rejestrowane bezrobocie w Polsce – zgodnie z danymi GUS (https://stat.gov.pl/obszary-tematyczne/rynek-pracy/bezrobocie-rejestrowane/stopa-bezrobocia-rejestrowanego-w-latach-1990-2023,4,1.html) – w marcu 2023 r. wyniosło 5,4%, w porównaniu z 5,5% w lutym tego samego roku i 5,8% w marcu roku 2022. Na pierwszy rzut oka zmiany między wartościami procentowymi mogą wydawać się niewielkie. Pamiętaj jednak, że w Polsce mieszka ok. 25 mln osób w wieku produkcyjnym (kobiety w wieku 18–59 lat i mężczyźni w wieku 18–64 lata). Wzrost bezrobocia o jeden punkt procentowy, nawet jeśli tylko połowa tej grupy byłaby aktywna zawodowo, oznaczałby więc ok. 150 tys. osób tracących zatrudnienie. To średniej wielkości miasto, takie jak Olsztyn. Choć stopa bezrobocia w Polsce może się wydawać relatywnie bardzo niska, w dalszym ciągu oznacza to 821 tys. ludzi zarejestrowanych jako bezrobotni (dane z marca 2023 r.). A ponieważ bezrobocie dotyka nie tylko osobę, która straciła zatrudnienie, lecz również jej bliskich, może to stwarzać poważne problemy nawet dla ponad 2 mln ludzi. Wykonanie tego prostego rachunku zmienia pewnie twoje spojrzenie na 5-procentową stopę bezrobocia, jaką mamy w Polsce. Jeśli jeszcze uświadomisz sobie, że w marcu 2004 r. bezrobocie rejestrowane w naszym kraju sięgało 20,4%, łatwiej będzie ci zrozumieć skalę problemów łączących się z tym zjawiskiem. W USA dane na temat stopy bezrobocia publikuje Bureau of Labor Statistics , a w Polsce Główny Urząd Statystyczny . Czym jest zasób siły roboczej w gospodarce? Czy wszystkie osoby dorosłe, które pozostają bez pracy, powinniśmy uznawać za bezrobotne? Oczywiście, że nie. Wiek aktywności produkcyjnej to 15 lat i więcej, ale większość osób niepełnoletnich nie pracuje, tylko się uczy. Z kolei znaczny procent zatrudnionych po osiągnięciu wieku emerytalnego (w Polsce jest to ukończone 60 lat dla kobiet i 65 dla mężczyzn) również rezygnuje z pracy. Wielu studentów stacjonarnych studiów licencjackich świadomie nie podejmuje zatrudnienia, niewłaściwe byłoby zatem uznawanie ich za osoby bezrobotne. Część osób utrzymuje się z kapitału lub wynajmu nieruchomości (to tzw. rentierzy). Inni przebywają na długotrwałych urlopach (np. macierzyńskich lub rodzicielskich). Jeszcze inni pozostają na utrzymaniu współmałżonków lub partnerów. Formalnie za osoby bezrobotne nie uznajemy również przestępców i osób zajmujących się działalnością pozaprawną (w Polsce np. trudniących się nierządem), oczywiście o ile nie zarejestrują się w powiatowym urzędzie pracy (PUP) jako bezrobotni. Niewłaściwe byłoby zatem dzielenie populacji ludzi dorosłych jedynie na pracujących i bezrobotnych, skoro istnieje grupa trzecia: osoby, które nie mają pracy i z powodów wskazanych powyżej nie są zainteresowane jej podjęciem. Należą do niej także ci, którzy w przeszłości co prawda chcieli pracować, ale przestali już szukać pracy, np. zniechęceni bezowocnymi poszukiwaniami odpowiedniego stanowiska. Ekonomiści określają tę trzecią grupę jako bierną zawodowo lub pozostającą poza zasobem siły roboczej (ang. out of the labor force ). Stopa bezrobocia szacowana jest w Polsce na dwa sposoby, stąd w publikacjach medialnych można znaleźć dwa poziomy bezrobocia charakterystyczne dla polskiej gospodarki. Pierwszy z nich to tzw. bezrobocie rejestrowane, związane z prawną definicją osoby bezrobotnej. W pewny uproszczeniu możemy przyjąć, że jest to ktoś, kto uzyskał taki status, rejestrując się w powiatowym urzędzie pracy. Dokładna definicja wykorzystywana przez GUS przedstawia się następująco: „[Bezrobotni to] Osoby, które ukończyły 18 lat i nie osiągnęły wieku emerytalnego, niezatrudnione i niewykonujące innej pracy zarobkowej, zdolne i gotowe do podjęcia zatrudnienia w pełnym wymiarze czasu pracy i zarejestrowane we właściwym dla miejsca zameldowania (stałego lub czasowego) powiatowym urzędzie pracy oraz poszukujące zatrudnienia lub innej pracy zarobkowej”. Tak jak zostało to już wskazane powyżej, bezrobocie rejestrowane w Polsce nieznacznie przekracza 5%. Natomiast drugi sposób postrzegania bezrobocia związany jest z badaniem aktywności ekonomicznej ludności (BAEL, stąd „bezrobocie baelowskie”). W BAEL zbierane są informacje o pracujących w wieku 15-89 lat, o bezrobotnych w wieku 15-74 lata i o biernych zawodowo w wieku 15-89 lat. Osoby mające 90 lat i więcej są z zasady zaliczane do biernych zawodowo. W wywiadzie telefonicznym ankieterzy statystyczni identyfikują osoby bezrobotne w wieku 15–74 lat, które spełniają jednocześnie trzy warunki: po pierwsze, w okresie badanego tygodnia nie były osobami pracującymi; po drugie, aktywnie poszukiwały pracy, tzn. podjęły konkretne działania w ciągu czterech tygodni (wliczając jako ostatni tydzień badany), aby znaleźć pracę; i po trzecie, były gotowe (zdolne) podjąć pracę w ciągu dwóch tygodni następujących po tygodniu badanym. Baelowska metoda pomiaru bezrobocia jest rekomendowana przez Międzynarodową Organizację Pracy oraz wykorzystywana przez Eurostat, zatem służy ona do obliczeń bezrobocia w krajach UE. Stopa bezrobocia w Polsce liczona zgodnie z metodą BAEL wynosiła w drugim kwartale 2022 r. 2,6%. Osoba zaklasyfikowana jako bezrobotna pozostaje zatem bez pracy, ale wyraża gotowość jej podjęcia, a także aktywnie poszukiwała pracy w czasie ostatnich czterech tygodni. Osoba, która nie jest zatrudniona, ale nie jest obecnie gotowa do podjęcia pracy lub nie szukała jej aktywnie w ciągu ostatnich czterech tygodni, nie należy do siły roboczej i tym samym nie może zostać uznana za bezrobotną. Zatrudnieni: pracują i otrzymują w związku z tym wynagrodzenie. Bezrobotni: nie mają pracy i aktywnie jej poszukują. Bierni zawodowo: nie pracują zarobkowo i nie poszukują pracy. Zasób siły roboczej (aktywni zawodowo): liczba zatrudnionych plus liczba bezrobotnych. Obliczanie stopy bezrobocia i stopy aktywności zawodowej (stopy partycypacji) przedstawia podział populacji na trzy grupy. W drugim kwartale 2022 r. ok. 58% tej grupy należało do osób aktywnych zawodowo (stanowiło zasób siły roboczej), czyli grupy osób pracujących lub bezrobotnych, ale poszukujących pracy. Siłę roboczą możemy tym samym podzielić na pracujących i bezrobotnych. Odpowiednie wartości przedstawione są w . Jak łatwo zauważyć, stopa bezrobocia (ang. unemployment rate ) nie jest odsetkiem całej dorosłej populacji pozostającej bez pracy, ale raczej odsetkiem dorosłych, którzy stanowią zasób siły roboczej (są aktywni zawodowo), ale pracy nie mają. Stopa bezrobocia = Liczba osób bezrobotnych Zasób siły roboczej × 100% Osoby pracujące, bezrobotne i bierne zawodowo w wieku 15–89 lat w Polsce w drugim kwartale 2022 r. Całkowita populacja osób w wieku 15–89 lat w Polsce w drugim kwartale 2022 r. wyniosła blisko 30 mln (dokładnie 29,752 mln). W ramach tej grupy tylko 454 tys. osób było bezrobotnych, natomiast liczba pracujących sięgnęła 17,244 mln. Pozostałe 12,508 mln zaklasyfikowano jako osoby nieaktywne zawodowo. Pracujący, bezrobotni i bierni zawodowo w Polsce w II kwartale 2022 r. Populacja osób w wieku 15-89 lat, ogółem 29,752 mln Aktywni zawodowo (zasób siły roboczej) 17,244 mln Pracujący 16,770 mln Bezrobotni 0,454 mln Bierni zawodowo (pozostający poza zasobem siły roboczej) 12,508 mln (Źródło: pracujacy_bezrobotni_i_bierni_zawodowo_-_wyniki_wstepne_bael_w_ii_kwartale_2022_r.%20(1).pdf). Wykorzystując powyższe dane, możemy obliczyć stopę bezrobocia w Polsce (zgodnie z metodą BAEL), poprzez podzielenie 454 tys. bezrobotnych przez 17,244 mln osób aktywnych zawodowo, co daje 2,6%. Poniższa przeprowadzi cię przez kolejne etapy tej matematycznej operacji. Obliczanie stopy aktywności zawodowej (stopy partycypacji) i stopy bezrobocia W jaki sposób ekonomiści obliczają stopę aktywności zawodowej (stopę partycypacji) i odsetek osób nieaktywnych zawodowo (pozostających poza zasobem siły roboczej)? Wykorzystamy wartości z , aby zilustrować kolejne kroki. Określanie stopy aktywności zawodowej: Krok 1. Podziel liczbę osób aktywnych zawodowo (17,244 mln) przez liczbę osób w wieku 15–89 lat ogółem (29,752 mln). Krok 2. Pomnóż przez 100%, aby otrzymać wartość procentową. Stopa aktywności zawodowej = 17,244 29,752 = 0,5796 = 57,96% Określanie odsetka osób pozostających poza zasobem siły roboczej: Krok 1. Podziel liczbę osób biernych zawodowo (12,508 mln) przez liczbę osób w wieku 15–89 lat (29,752 mln). Krok 2. Pomnóż przez 100%, aby otrzymać wartość procentową. Stopa aktywności zawodowej = 12,508 29,752 = 0,4204 = 42,04% Określanie stopy bezrobocia: Krok 1. Podziel liczbę bezrobotnych (454 tys.) przez liczbę osób aktywnych zawodowo (17,244 mln). Krok 2. Pomnóż przez 100%, aby otrzymać stopę bezrobocia wyrażoną w procentach. Stopa bezrobocia = 0,454 17,244 = 0,02632 = 2,6% Bezrobocie ukryte Przedstawiony powyżej sposób klasyfikacji ludzi ze względu na rodzaj ich aktywności na rynku pracy w dalszym ciągu może nie dawać właściwego obrazu sytuacji. Niektórzy pracują w niepełnym wymiarze godzin lub wykonują pracę tymczasową, ale poszukują zajęcia na pełny etat i na stałe. Tacy ludzie są zaliczani do osób pracujących, chociaż forma ich zatrudnienia nie jest zgodna z ich preferencjami. Istnieją też osoby wykonujące pracę poniżej swoich kwalifikacji (ang. underemployed ), tj. w pełni przeszkolone lub wykwalifikowane do pewnego rodzaju pracy, ale zatrudnione na stanowiskach gorzej płatnych lub niewykorzystujących pełni ich potencjału. Przykładem niech będzie osoba z dyplomem ukończenia studiów w dziedzinie finansów, która pracuje jako sprzedawca w niepełnym wymiarze czasu pracy, lub robotnik wykwalifikowany zatrudniony jako ochroniarz w supermarkecie. Tacy ludzie są także zaliczani do grupy pracujących. Wszystkie tego typu przypadki tworzą bardzo szeroką kategorię ukrytego bezrobocia (ang. hidden unemployment ). Do tej grupy zalicza się także pracowników zniechęconych (ang. discouraged workers ), czyli takich, którzy przestali już szukać pracy i tym samym nie są zaliczani do grupy aktywnej zawodowo, a więc zgodnie z klasyczną definicją nie można ich nazwać bezrobotnymi. Współczynnik aktywności zawodowej (stopa partycypacji) Inną ważną statystyką jest stopa aktywności zawodowej (ang. labor force participation rate ). Jest to odsetek osób w wieku 15–89 lat, które są zatrudnione lub bezrobotne (czyli aktywnie poszukują pracy i są gotowe niezwłocznie ją podjąć). Analizując dane z oraz , łatwo dostrzec, że w obliczeniach tego wskaźnika zostało uwzględnione 17,244 mln ludzi zaliczonych do siły roboczej. Wskaźnik ten obliczamy, dzieląc liczbę osób należących do zasobu siły roboczej (to znaczy liczbę zatrudnionych i bezrobotnych) przez populację w wieku 15–89 lat ogółem. Otrzymany ułamek zapisujemy w procentach. Z danych za drugi kwartał 2022 r. wynika, że współczynnik aktywności zawodowej w Polsce wynosił 57,96%. W ujęciu historycznym stopa partycypacji siły roboczej w Polsce podlegała stosunkowo niewielkim zmianom. Współczynnik aktywności zawodowej przedstawiany jest przez Główny Urząd Statystyczny od 1992 r., czyli od momentu prowadzenia badań aktywności ekonomicznej ludności. W pierwszych latach transformacji wskaźnik ten utrzymywał się powyżej poziomu 60%, ale ok. 1994 r. zaczął się obniżać. Od roku 2000 nie spadł jednak poniżej 53%, z minimum na początku 2007 r. (53,2%). Od 2008 r. mamy do czynienia z bardzo powolnym, ale dość stabilnym wzrostem tego współczynnika. Krytyka sposobu mierzenia bezrobocia Przy obliczaniu liczby i odsetka osób bezrobotnych zawsze pojawiają się pewne komplikacje. Na przykład: jak zakwalifikować ludzi, którzy nie mają pracy i byliby gotowi ją podjąć, ale w okolicy brakuje wolnych miejsc pracy, więc przestali już szukać zatrudnienia? Tacy ludzie (i ich rodziny) mogą cierpieć z powodu bezrobocia, jednak w ankiecie są uznawani za nieaktywnych zawodowo, ponieważ nie poszukują już pracy aktywnie. Inne osoby mogą z kolei deklarować, że są gotowe do podjęcia pracy, choć tak naprawdę wcale nie są tym zainteresowane i nie poszukują zatrudnienia zbyt intensywnie. Zalicza się je do bezrobotnych, choć należałoby je raczej zaklasyfikować jako osoby nieaktywne zawodowo. Jeszcze inni ludzie mogą być zatrudnieni np. do wykonywania pewnych prac w ogrodnictwie, opiece nad dziećmi lub sprzątania, ale nie zgłaszają uzyskanych dochodów organom podatkowym. W rozmowie z ankieterem mogą deklarować, że są bezrobotni, podczas gdy tak naprawdę pracują. Chociaż stopa bezrobocia jest wskaźnikiem ogniskującym uwagę opinii publicznej i mediów, ekonomiści publikują znacznie więcej badań i raportów, w których próbują zmierzyć zaangażowanie ludzi w aktywność zawodową i przedstawić bardziej zniuansowany i pełny obraz rynku pracy. To, że statystyki gospodarcze są niedoskonałe, nie jest wielkim odkryciem. Jednak nawet niedoskonałe miary, takie jak stopa bezrobocia, mogą być bardzo wartościowe, jeśli tylko zostaną umiejętnie zinterpretowane i w przystępny sposób opisane. Kliknij tutaj , aby dowiedzieć się więcej o bieżącym badaniu ludności w USA oraz przeczytać najczęściej zadawane pytania na temat pracy i zatrudnienia. Natomiast informacje o wynikach ostatniego Narodowego Spisu Powszechnego Ludności i Mieszkań z 2021 r. można znaleźć pod adresem: (https://stat.gov.pl/aktualnosci/informacje-o-wynikach-narodowego-spisu-powszechnego-ludnosci-i-mieszkan-2021,422,1.html) Key Concepts and Summary Bezrobocie wiąże się z wysokimi kosztami. Osoby bezrobotne cierpią z powodu stresu i utraty dochodów. Gospodarka z wysokim bezrobociem ponosi koszt alternatywny w postaci niewykorzystanych zasobów. Populację ludzi dorosłych (w Polsce w wieku 15–89 lat) można podzielić na siłę roboczą (aktywni zawodowo) i osoby pozostające poza zasobem siły roboczej (bierni zawodowo). Z kolei siłę roboczą dzielimy na pracujących i bezrobotnych. Aby osoba niepracująca mogła zostać uznana za bezrobotną, musi być nie tylko chętna do podjęcia zatrudnienia i zdolna do pracy, ale również aktywnie jej poszukiwać. Jeśli nie spełnia tych warunków, jest zaliczana do grona osób pozostających poza zasobem siły roboczej. Ekonomiści definiują stopę bezrobocia jako liczbę bezrobotnych podzieloną przez liczbę osób należących do zasobu siły roboczej (a nie ogółu dorosłych). W Polsce stopę bezrobocia oblicza się na dwa sposoby – wykorzystując liczbę osób zarejestrowanych w powiatowych urzędach pracy (tzw. bezrobocie rejestrowane) i ankietowe badanie aktywności ekonomicznej ludności (tzw. bezrobocie baelowskie). Self-Check Questions Załóżmy, że populacja osób dorosłych (w wieku 15–89 lat) w pewnym kraju wynosi 237,8 mln, a siła robocza 153,9 mln (z czego pracuje 139,1 mln). Ile osób „nie pracuje”? Jakie w tym kraju są proporcje pracujących, bezrobotnych i pozostających poza zasobem siły roboczej? Wskazówka: proporcje są udziałami wyrażonymi w procentach. Populacja jest podzielona na zasób siły roboczej i ludzi nieaktywnych zawodowo. Liczba dorosłych nienależących do zasobu siły roboczej to: 237,8 -­ 153,9 = 83,9 mln. Ponieważ siłę roboczą dzielimy na pracujących i bezrobotnych, liczba bezrobotnych wynosi: 153,9 ­- 139,1 = 18,8 mln. Populacja dorosłych charakteryzuje się więc następującymi proporcjami: 139,1/237,8 = 58,5% osób zatrudnionych 14,8/237,8 = 6,2% osób bezrobotnych 83,9/237,8 = 35,3% osób poza zasobem siły roboczej Korzystając z powyższych danych, oblicz stopę bezrobocia. Dane te pochodzą z amerykańskich statystyk za rok 2010. Porównaj wynik z obliczoną wcześniej „baelowską” stopą bezrobocia w Polsce w drugim kwartale 2022 r. Jakie są twoje wnioski? Stopę bezrobocia definiuje się jako odsetek bezrobotnych w porównaniu z zasobem siły roboczej: 14,8/153,9 = 9,6%. To znacznie więcej niż obliczona wcześniej stopa bezrobocia w Polsce, która wyniosła 2,6%. Review Questions Jaka jest różnica pomiędzy osobą bezrobotną a pozostającą poza zasobem siły roboczej? W jaki sposób oblicza się stopę bezrobocia? A jak obliczysz odsetek siły roboczej w populacji? Czy wszyscy niepracujący dorośli zaliczani są do osób bezrobotnych? Co stanie się ze stopą bezrobocia, jeśli zniechęceni poszukiwaniem pracy bezrobotni zostaną uznani za nieaktywnych zawodowo? Co dzieje się ze wskaźnikiem aktywności zawodowej, gdy osoby pracujące zostaną zaklasyfikowane jako bezrobotne? A co się stanie, gdy zostaną zaklasyfikowane jako osoby zniechęcone poszukiwaniem pracy? Jakie problemy pojawiają się w sytuacji, w której wykorzystujemy stopę bezrobocia jako precyzyjną miarę bezrobocia ogółem? Oceń, czy następujące osoby zostałyby uznane za bezrobotne w bieżących badaniach zatrudnienia: Mąż pozostający w domu z dziećmi, podczas gdy jego żona pracuje. Pracownik produkcyjny, którego fabryka została zamknięta. Student na bezpłatnym letnim stażu. Emeryt. Ktoś, kto od dwóch lat jest bez pracy, ale wciąż jej poszukuje. Ktoś, kto jest bez pracy od dwóch miesięcy, ale jej nie poszukuje. Ktoś, kto nie lubi swojej obecnej pracy i aktywnie poszukuje innej. Ktoś, kto decyduje się na pracę w niepełnym wymiarze godzin, ponieważ nie może znaleźć zatrudnienia na cały etat. Critical Thinking Questions Czy posługując się przedstawioną w rozdziale definicją stopy bezrobocia, można powiedzieć, że jej wzrost jest zawsze niekorzystny dla społeczeństwa? Czy spadek stopy bezrobocia jest zawsze korzystny dla społeczeństwa? Uzasadnij swoją odpowiedź. Wyjaśnij, dlaczego jednocześnie może zmniejszyć się liczba miejsc pracy i stopa bezrobocia, jeśli wielu pracowników zniechęci się do poszukiwania pracy. Czy twoim zdaniem ukryte bezrobocie będzie wyższe, niższe lub mniej więcej takie samo, gdy porównamy dwie sytuacje: stopa bezrobocia jest wysoka, powiedzmy 10%, i na niskim poziomie, np. 4%? Odpowiedź uzasadnij. Problems Pewien kraj z populacją 8 mln osób dorosłych ma 5 mln pracujących i 500 tys. bezrobotnych. Pozostała część dorosłej populacji nie należy do zasobu siły roboczej. Jaka jest stopa bezrobocia w tym kraju? Jaki jest odsetek ludzi aktywnych zawodowo? Naszkicuj wykres kołowy, który przyporządkuje dorosłą populację do tych trzech grup. osoby zniechęcone poszukiwaniami pracy (ang. discouraged workers ) osoby, które przestały szukać zatrudnienia z powodu braku odpowiednich miejsc pracy stopa aktywności zawodowej (ang. labor force participation rate ) odsetek populacji dorosłych osób (w Polsce w wieku 15–89 lat), które są zatrudnione albo też bezrobotne, ale poszukują pracy osoby nieaktywne zawodowo zob. osoby pozostające poza zasobem siły roboczej bierni zawodowo zob. osoby pozostające poza zasobem siły roboczej osoby pozostające poza zasobem siły roboczej (ang. out of the labor force ) osoby, które nie pracują i nie poszukują pracy, bez względu na to, czy chcą pracować, czy też nie; tacy ludzie określani są także jako nieaktywni zawodowo zatrudnieni poniżej kwalifikacji (ang. underemployed ) osoby, które pracują, ale wykonują pracę poniżej swoich kwalifikacji stopa bezrobocia (ang. unemployment rate ) odsetek osób dorosłych, które są aktywne zawodowo, ale nie pracują; inaczej mówiąc, są to osoby, które aktywnie poszukują pracy i są gotowe niezwłocznie ją podjąć", "section": "W jaki sposób ekonomiści definiują i obliczają stopę bezrobocia", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Zmiany poziomu bezrobocia Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać schemat zmian stopy bezrobocia w gospodarce amerykańskiej w długim okresie Objaśnić wpływ czynników demograficznych na zmiany stopy bezrobocia w długim okresie Porównać stopy bezrobocia notowane w różnych krajach W tym rozdziale poddamy głębszej analizie zmiany stóp bezrobocia w długim horyzoncie czasowym (w ciągu dekad, a nawet stuleci) i w kontekście różnych grup ludności. Zmiany stopy bezrobocia w USA ilustruje zmiany poziomu bezrobocia w USA w dekadach po II wojnie światowej. Stopa bezrobocia w Stanach Zjednoczonych w latach 1948–2020 Poziom bezrobocia w USA fluktuuje wraz ze zmianami koniunktury gospodarczej, jednak z czasem wraca do przedziału 4–6%. Można zatem stwierdzić, że stopa bezrobocia w długim okresie w Stanach Zjednoczonych kształtuje się mniej więcej na tym poziomie. (Źródło: Federal Reserve Economic Data (FRED) https://research.stlouisfed.org/fred2/series/LRUN64TTUSA156S0). Nawet pobieżna analiza danych zilustrowanych powyższym wykresem pozwala na sformułowanie następujących wniosków: Poziom bezrobocia w Stanach Zjednoczonych zmieniał się na przestrzeni ostatnich 70 lat. W okresach recesji, tj. na początku lat 80., w latach 2009–2010 osiągnęła blisko 10%. Wydaje się to wskaźnikiem dość wysokim, jednak dla porównania – w okresie Wielkiego Kryzysu lat 30. XX w. bez pracy pozostawało prawie 25% siły roboczej USA. W Polsce z kolei po II wojnie światowej zjawisko bezrobocia pojawiło się dopiero wraz z rozpoczęciem procesu transformacji gospodarczej. W okresie gospodarki centralnie kierowanej, tj. w latach 1944–1989, bezrobocie w Polsce (przynajmniej to rejestrowane) nie występowało. We wrześniu 1991 r. bezrobocie rejestrowane po raz pierwszy osiągnęło wartości dwucyfrowe (jeszcze na koniec 1990 r. wynosiło jedynie 6,5%) i stan ten utrzymywał się do kwietnia roku 1998. Na koniec grudnia tego samego roku bezrobocie w Polsce znów przekroczyło 10% i na poziomie dwucyfrowym utrzymywało się do kwietnia 2008 r. Najwyższe wartości stopa bezrobocia rejestrowanego osiągała w Polsce w latach 2003–2004. Pod koniec lat 90. (1997–2001) i w połowie pierwszej dekady XXI w. (2006–2007), jak również w latach 2016–2019 stopy bezrobocia w USA kształtowały się na relatywnie niskim poziomie, poniżej 5% siły roboczej. Poprzedni okres, gdy bezrobocie przez trzy kolejne lata wynosiło mniej niż 5%, miał miejsce trzy dekady wcześniej, tj. pomiędzy rokiem 1968 a 1970. W Polsce bezrobocie rejestrowane nigdy nie spadło poniżej 5%. Najbliżej tej wartości byliśmy w październiku 2019 r., kiedy stopa bezrobocia osiągnęła właśnie 5%. Należy jednak podkreślić, że od marca 2017 r. stopa bezrobocia rejestrowanego w Polsce nie przekroczyła 8%, zaś w lutym 2016 r. po raz ostatni zanotowano wartości dwucyfrowe. Stopa bezrobocia nigdy nie spada do zera. Wydaje się również, że w gospodarce amerykańskiej prawie nigdy nie spada poniżej 3%, a na zbliżonym do 3% poziomie utrzymuje się przez bardzo krótki czas. (Dlaczego tak się dzieje, wyjaśnimy w dalszej części tego rozdziału). Z kolei w Polsce nieprzekraczalną granicą bezrobocia mierzonego za pomocą BAEL wydaje się poziom 2%. Okresy spadków i wzrostów bezrobocia dość dobrze pokrywają się z okresami ożywienia gospodarczego i mniejszej aktywności gospodarczej, przy czym bezrobocie ma tendencję do pojawiania się później niż same zmiany aktywności gospodarczej w ramach cykli koniunkturalnych. Jest to szczególnie widoczne w okresie ożywienia gospodarki po recesji. W czasach recesji (ang. contraction ) i depresji (ang. depression ) bezrobocie jest wysokie, a w okresach wzrostu gospodarczego zwykle niższe. Nie ma widocznej i wyraźnej długoterminowej tendencji wskazującej na wzrost (lub spadek) stopy bezrobocia w Stanach Zjednoczonych. Jest to szczególnie warte odnotowania, ponieważ populacja USA wzrosła ponad czterokrotnie: z 76 mln w roku 1900 do ponad 325 mln w 2017. Co więcej, w analizowanym okresie wzrosła nie tylko bezwzględna liczba dorosłych Amerykanów, powiększył się też odsetek osób aktywnych, ponieważ znaczna liczba kobiet postanowiła podjąć płatne zatrudnienie. Kobiety stanowiły 18% zasobu siły roboczej w roku 1900 i prawie połowę aktywnych zawodowo w 2021. Jednak pomimo wzrostu liczby pracowników, a także innych zmian (takich jak wprowadzanie nowych technologii i przenoszenie produkcji – wraz z nasilającą się globalizacją – do krajów rozwijających się) gospodarka była zdolna zapewnić wystarczającą liczbę miejsc pracy dla mniej więcej stałego odsetka aktywnych zawodowo Amerykanów. W Polsce z kolei zmiany stóp bezrobocia obserwowane w ciągu ostatnich kilkunastu lat są silnie związane z czynnikami demograficznymi. Szybki wzrost odsetka osób poszukujących pracy na początku XXI w. był konsekwencją wchodzenia na rynek pracy pokolenia tzw. wyżu demograficznego stanu wojennego. W latach 1999–2003 z polskiego rynku pracy odchodziło w naturalny sposób (przede wszystkim na emeryturę) ok. 350–400 tys. pracowników, wchodziło zaś na niego dwukrotnie więcej osób. Polska gospodarka nie była w stanie wygenerować w krótkim czasie tak dużej liczby dodatkowych miejsc pracy. W konsekwencji część osób bezrobotnych, szczególnie młodych, zdecydowała się na czasową lub stałą emigrację. Obecnie sytuacja uległa głębokiej zmianie. Z rynku pracy schodzi ok. 150 tys. osób więcej, niż nań wchodzi. Właśnie dlatego Polska jest tak silnie uzależniona od importu pracowników i w zasadzie nie ma problemu z bezrobociem, które nie wzrosło znacząco nawet w okresie pandemii Covid-19. Stopy bezrobocia wg płci, wieku i pochodzenia etnicznego Bezrobocie nie rozkłada się równomiernie w populacji Stanów Zjednoczonych. Na poniższych trzech wykresach , oraz przedstawione są stopy bezrobocia w grupach zdefiniowanych demograficznie. Stopa bezrobocia wg płci Stopa bezrobocia wśród mężczyzn była niegdyś znacznie niższa niż w grupie kobiet (w drugiej połowie lat 60. XX w. ta różnica sięgała nawet 2 punktów procentowych), ale w ostatnich dekadach wartość tych dwóch parametrów w zasadzie się zrównała, a w latach 2007–2019 stopa bezrobocia wśród mężczyzn była wręcz wyższa. (Źródło: www.bls.gov). Stopa bezrobocia wg wieku w latach 1948–2020 jest najwyższa wśród osób bardzo młodych i obniża się wraz z wiekiem. (Źródło: www.bls.gov). Stopa bezrobocia wg pochodzenia etnicznego w latach 1974–2020. Chociaż stopa bezrobocia wśród wszystkich grup etnicznych ma tendencję do jednoczesnego wzrostu i spadku, wskaźnik ten dla Afroamerykanów jest zwykle ok. dwóch razy wyższy niż dla osób białych, dla Latynosów zaś kształtuje się na poziomie pośrednim w stosunku do tych dwóch grup. (Źródło: www.bls.gov). Stopa bezrobocia wśród kobiet w USA była do lat 70. XX w. wyższa niż wśród mężczyzn, być może odzwierciedlając historyczny pogląd, zgodnie z którym kobiety były postrzegane jako pracownicy niebędący głównymi żywicielami rodziny (ang. “secondary” earners ). Jednak ok. 1980 r. stopa bezrobocia wśród kobiet zrównała się ze wskaźnikiem bezrobocia wśród mężczyzn, co jest pokazane na . W okresie tuż przed recesją z lat 2008–2009 i później aż do 2019 r. stopa bezrobocia wśród mężczyzn przewyższała wskaźnik bezrobocia wśród kobiet. W 2020 r. ta tendencja jednak ponownie się odwróciła. W Polsce w tym zakresie w ciągu ostatnich kilkunastu lat utrzymuje się dość stała tendencja, zaś stopa bezrobocia wśród kobiet jest wyższa w porównaniu z odsetkiem bezrobotnych mężczyzn, jedna różnica ta systematycznie maleje. W roku 2010 stopa bezrobocia mierzona metodą baelowską wynosiła wśród kobiet 9,9%, podczas gdy wśród mężczyzn było to 8,9%. W kolejnym roku różnica wzrosła do dwóch punktów procentowych (odpowiednio 10,8% i 8,8%), jednak od tego momentu spada i obecnie kształtuje się na poziomie ok. pół punktu procentowego. Przeczytaj ten raport , aby uzyskać szczegółowe dane na temat recesji w Stanach Zjednoczonych w latach 2008–2009. Znajdziesz tam także przydatne informacje w kwestii statystyk dotyczących bezrobocia w tym kraju. Najmłodsi pracownicy doświadczają zwykle najwyższego bezrobocia (zob. ). W grupie pracowników w wieku 25-54 bezrobocie jest zwykle niższe, prawdopodobnie dlatego, że osoby w tej fazie życia często posiadają już rodziny i ich determinacja w poszukiwaniu i utrzymaniu miejsca pracy jest znacznie wyższa niż w wypadku młodych dorosłych. Młodsi pracownicy zmieniają miejsca pracy częściej niż pracownicy w średnim wieku, wciąż zdobywają wiedzę, doświadczenie i umiejętności, poszukując swojego wymarzonego pracodawcy i zawodu, co dodatkowo przyczynia się do obserwowanych wyższych stóp bezrobocia w tej grupie. Dla pracowników w wieku powyżej 55 lat charakterystyczne są najniższe wskaźniki bezrobocia, ponieważ ci spośród nich, którzy nie mogą znaleźć pracy, zazwyczaj przechodzą na emeryturę (dezaktywizują się zawodowo), a zatem nie są uwzględniani w statystykach bezrobocia. Stopa bezrobocia dla Afroamerykanów jest znacznie wyższa niż dla innych grup etnicznych, co z pewnością odzwierciedla zjawisko dyskryminacji na rynku pracy, jakiej doświadczają przedstawiciele tej mniejszości. Jednak wraz z końcem XX w. różnice w wysokości stóp bezrobocia w trzech grupach etnicznych (biali, czarni i Latynosi) w gospodarce amerykańskiej znacznie się zmniejszyły, co łatwo zauważyć na . Stopa bezrobocia wśród Afroamerykanów i Latynosów na początku XXI w. była na historycznie najniższym poziomie, zanim nie wzrosła wraz z początkiem recesji w latach 2008–2012. Wreszcie osoby słabiej wykształcone zazwyczaj doświadczają wyższego bezrobocia. Na przykład w listopadzie 2021 r. stopa bezrobocia dla legitymujących się wykształceniem wyższym wynosiła 2,3%; dla osób, które rozpoczęły naukę na studiach, ale jej nie ukończyły, była równa 3,7%; dla posiadaczy średniego wykształcenia osiągnęła 5,2%; a dla osób z wykształceniem podstawowym i zawodowym wyniosła 5,7%. Taka prawidłowość pojawia się, ponieważ każdy kolejny rok nauki w praktyce zapewnia lepszą pozycję na rynku pracy i zwiększa popyt na pracownika. Dodatkowo, z uwagi na niższy średni poziom wynagrodzeń i gorsze warunki pracy, osoby o niskich kwalifikacjach i bez formalnego wykształcenia mogą być zdemotywowane do poszukiwania zatrudnienia. Porównania stóp bezrobocia w różnych krajach Porównania stóp bezrobocia w różnych krajach wskazują, że wartość tego wskaźnika w Stanach Zjednoczonych jest zazwyczaj niższa niż w innych państwach o wysokim poziomie dochodu (tradycyjnie określanych jako kraje rozwinięte lub uprzemysłowione). zawiera informację o stopach bezrobocia w latach 1991, 1996, 2001, 2006 (tuż przed recesją) oraz 2019 (a więc w ostatnim roku przed wybuchem pandemii koronawirusa) w wybranych krajach o wysokim dochodzie na mieszkańca. Jako punkt odniesienia wskazano również dane dla Polski. Porównanie stóp bezrobocia w różnych krajach (dla Polski dane przedstawiają wysokość bezrobocia rejestrowanego w grudniu wskazanego roku) Kraj 1991 1996 2001 2006 2019 Stany Zjednoczone 6,8% 5,4% 4,8% 4,4% 3,7% Kanada 9,8% 8,8% 6,4% 6,2% 5,7% Japonia 2,1% 3,4% 5,1% 4,5% 2,4% Francja 9,5% 12,5% 8,7% 10,1% 8,5% Niemcy 5,6% 9,0% 8,9% 9,8% 3,1% Włochy 6,9% 11,7% 9,6% 7,8% 10,0% Szwecja 3,1% 9,9% 5,0% 5,2% 7,0% Zjednoczone Królestwo 8,8% 8,1% 5,1% 5,5% 3,9% Polska 12,% 13,2% 17,5% 14,8% 5,2% Tego typu zestawienia powinny być interpretowane z dużą dozą ostrożności, ponieważ każdy kraj wykorzystuje nieco inne definicje bezrobocia i narzędzia ankietowe do jego pomiaru, a także ma odmiennie funkcjonujące rynki pracy. Dane dla Polski – na tle referencyjnej grupy krajów dość wysokie – odwołują się do definicji „rejestrowanego bezrobocia”. Gdyby przyjąć metodologię baelowską, stosowne wskaźniki byłyby z pewnością niższe (zgodnie z danymi GUS, które są niestety dostępne tylko od 2010 r., bezrobocie na koniec czwartego kwartału 2019 r. obliczone na podstawie badań ankietowych kształtowało się na poziomie 2,9%). Stopa bezrobocia w Japonii wydaje się dość niska, mimo że od końca lat 80. ubiegłego wieku japońska gospodarka jest pogrążona w stagnacji, a niekiedy nawet w recesji. Tak niski wskaźnik bezrobocia prawdopodobnie rysuje zbyt optymistyczny obraz tego rynku pracy. W Japonii pracownicy, którzy tracą zatrudnienie, zazwyczaj szybko wychodzą z zasobu siły roboczej i nie szukają nowego zajęcia, a więc nie są zaliczani do grupy bezrobotnych. Ponadto firmy japońskie dość niechętnie zwalniają ludzi, w związku z tym mają dużą liczbę pracowników, którzy pracują w niepełnym wymiarze czasu pracy lub pozostają oficjalnie zatrudnieni, mimo że niewiele robią. (To skądinąd jedna z wielu przyczyn stagnacji, w jakiej pogrążona jest ta gospodarka). Możemy postrzegać ten japoński schemat postępowania jako niezwykłą metodę zapewniania wsparcia bezrobotnym przez społeczeństwo, a nie oznakę zdrowej gospodarki. Informacje o Chinach i gospodarce tego kraju wprost zalewają media. Zmiany wartości chińskiego juana w porównaniu z dolarem, stopa wzrostu PKB w tym kraju i wysokość inflacji prawdopodobnie będą częścią wieczornego programu biznesowego dziś lub jutro. Dlaczego więc gospodarka Państwa Środka nie została uwzględniona w dyskusji o bezrobociu w ujęciu międzynarodowym? Powodem jest brak rzetelnych statystyk. Ten artykuł to wyjaśnia. Porównywanie stóp bezrobocia w Stanach Zjednoczonych i innych gospodarkach o wysokich dochodach ze stopami bezrobocia w krajach rozwijających się, leżących w Ameryce Łacińskiej, Afryce i Azji jest bardzo trudne. Jednym z najważniejszych powodów jest fakt, że urzędom statystycznym w wielu biedniejszych krajach brakuje zasobów i możliwości technicznych porównywalnych z tymi, którymi dysponuje Biuro Spisu Ludności USA, Eurostat czy GUS. Jeszcze większy problem z porównaniami międzynarodowymi wynika z tego, że w wielu krajach o niskich dochodach większość pracowników nie jest oficjalnie zarejestrowana przez pracodawcę i nie otrzymuje regularnych wynagrodzeń. Ludzie znajdują tam raczej zatrudnienie dorywcze, krótkoterminowe, pracują w zamian za utrzymanie lub prowadzą handel wymienny (barterowy – np. jako rekompensatę za swój wysiłek otrzymują jedzenie dla siebie i rodziny). Ponadto wpływ bezrobocia na społeczeństwo w krajach o wysokich i niskich dochodach jest zróżnicowany. Bezrobotni pracownicy w rozwiniętych gospodarkach mają dostęp do różnych programów rządowych, takich jak ubezpieczenie na wypadek bezrobocia, opieka społeczna czy bony żywnościowe. Podobne programy w krajach biednych albo w ogóle nie istnieją, albo skala wsparcia jest bardzo ograniczona. Chociaż bezrobocie stanowi poważny problem w wielu krajach o niskich dochodach, jego symptomy i konsekwencje znacznie różnią się od tych właściwych dla krajów zamożnych. Key Concepts and Summary Stopa bezrobocia w USA rośnie w okresach stagnacji gospodarczej i recesji, ale spada do przedziału 4–6%, gdy gospodarka zaczyna ponownie rosnąć. Stopa bezrobocia nigdy nie spada do zera. Pomimo ogromnego wzrostu liczby ludności i zasobu siły roboczej w USA w XX w., a także innych głębokich zmian gospodarczych, takich jak globalizacja i wprowadzanie nowych technologii substytuujących pracę, stopa bezrobocia w Stanach Zjednoczonych i Polsce nie wykazuje długoterminowej tendencji wzrostowej. Stopy bezrobocia uzależnione są od czynników determinujących sytuację ludzi na rynku pracy: są wyższe dla Afroamerykanów i Latynosów niż dla białych; wyższe dla gorzej wykształconych i posiadających niższe kwalifikacje; wyższe dla osób młodych w porównaniu z pracownikami w średnim wieku. Stopa bezrobocia wśród kobiet była kiedyś wyższa niż stopa bezrobocia wśród mężczyzn, ale w ostatnich latach wartości tych wskaźniki w obu grupach uległy unifikacji. Self-Check Questions Czy w długim okresie stopa bezrobocia w USA wskazywała – ogólnie rzecz biorąc – tendencję wzrostową, spadkową, czy pozostawała na stałym poziomie? W długim okresie stopa bezrobocia w Stanach Zjednoczonych utrzymywała się generalnie na tym samym poziomie. Dla jakich grup społecznych w USA stopy bezrobocia są zazwyczaj wyższe: Osoby białe czy przedstawiciele mniejszości etnicznych? Osoby młode czy w średnim wieku? Licealiści czy osoby po studiach? Przedstawiciele mniejszości etnicznych. Osoby młode. Licealiści. Review Questions Czy stopa bezrobocia w Stanach Zjednoczonych jest zazwyczaj wyższa, niższa, czy na podobnym poziomie jak w innych krajach o wysokich dochodach? Czy w Stanach Zjednoczonych stopa bezrobocia jest rozłożona równomiernie w całej populacji? Critical Thinking Questions Czy wyższa stopa bezrobocia wśród pracowników reprezentujących mniejszości etniczne musi być oznaką dyskryminacji? Jakie mogą być inne przyczyny wyższej stopy bezrobocia w tej grupie? Chociaż bezrobocie jest silnie ujemnie skorelowane z poziomem aktywności gospodarczej, to w realnym świecie reakcja tego parametru jest opóźniona w stosunku do odczytu zmian aktywności gospodarczej. Innymi słowy, firmy nie zwalniają pracowników natychmiast w odpowiedzi na spadek sprzedaży. Czekają jakiś czas, zanim zareagują. Podobnie firmy nie zatrudniają pracowników od razu, gdy ich sprzedaż wzrasta. Z czego wynika takie opóźnienie reakcji? Jak myślisz, dlaczego stopa bezrobocia jest niższa dla osób z wyższym wykształceniem?", "section": "Zmiany poziomu bezrobocia", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przyczyny bezrobocia w krótkim okresie Po przeczytaniu tego podrozdziału będziesz w stanie: Analizować zmiany bezrobocia cyklicznego Wyjaśnić, jaki jest związek między „lepkimi cenami” a poziomem zatrudnienia Wykorzystać model rynku (podaż i popyt) do analizy poziomu bezrobocia i wysokości wynagrodzeń W poprzednim rozdziale mieliśmy okazję zapoznać się z zagadnieniem zmienności bezrobocia w czasie. Teraz spróbujemy odpowiedzieć na pytanie, jakie czynniki wpływają na wysokość tego wskaźnika w krótkim i długim okresie. Są takie same, czy jednak się różnią? Zacznijmy od analizy w krótki okresie. Bezrobocie cykliczne Przyjmijmy racjonalne założenie, zgodnie z którym w krótkim okresie, liczonym raczej w miesiącach i latach niż dekadach, liczba godzin, które przeciętny człowiek jest skłonny przepracować za daną płacę w ciągu tygodnia lub miesiąca, nie zmienia się znacząco, a więc zarówno indywidualna, jak i rynkowa krzywa podaży pracy nie ulegają nie ulegają zmianom (ani przesunięciu, ani zmianie nachylenia). Dodatkowo przyjmijmy standardowe założenie ceteris paribus , dotyczące braku istotnych zmian w strukturze wiekowej siły roboczej, instytucjach i prawie wpływających na sposób funkcjonowania rynku pracy. Jednym z podstawowych czynników kształtujących popyt na pracę zgłaszany przez przedsiębiorstwa jest to, w jaki sposób postrzegają one sytuację makroekonomiczną lub inaczej mówiąc, kondycję gospodarki. Pamiętajmy, że popyt na czynniki produkcji takie jak praca jest popytem pochodnym, zależnym od zapotrzebowania zgłaszanego przez potencjalnych klientów na produkty oferowane do sprzedaży przez konkretne przedsiębiorstwa (popyt na pracę kelnerów i kucharzy jest pochodny w stosunku do popytu na jedzenie „na mieście”, a popyt na wykładowców ekonomii jest pochodny w stosunku do popytu zgłaszanego przez młodych ludzi zainteresowanych studiowaniem ekonomii). Jeśli przedsiębiorstwa oceniają, że gospodarka się rozwija, więc popyt na ich dobra i usługi będzie rósł, to przy danym wynagrodzeniu będą chciały zatrudnić większą liczbę pracowników, a krzywa popytu na pracę przesunie się w prawo. I odwrotnie, jeśli firmy uznają, że gospodarka spowalnia lub wchodzi w recesję (a zatem trudniej będzie sprzedać oferowany asortyment), wtedy będą chciały zatrudnić mniejszą liczbę pracowników przy danej płacy (a być może również zwolnić część z tych, którzy już pracują), zaś krzywa popytu na pracę przesunie się w lewo. Zmienność wielkości bezrobocia wywoływaną przez cykliczne zmiany aktywności gospodarczej (przechodzenie od ekspansji do recesji lub od recesji do ekspansji) ekonomiści nazywają bezrobocie cykliczne (ang. cyclical unemployment ). Z punktu widzenia pewnego wyidealizowanego sposobu funkcjonowania rynku pracy (a dokładniej tego, jak zachowują się rynkowe krzywe popytu i podaży oraz cena), bezrobocie stanowi pewną zagadkę. Jak to bowiem pokazuje , jeśli rynek pracy jest wolny od ingerencji państwa, zaś cena równowagi (czyli płaca) może się szybko dostosowywać do sytuacji na tym rynku (mówimy wówczas, że jest on elastyczny, a płaca giętka), to na rynku pracy powinna istnieć równowaga między popytem a podażą, czyli nie powinno występować bezrobocie (które nie jest przecież niczym innym jak nadwyżką podaży nad popytem). Przy płacy równej (W e ) powinna istnieć pełna równowaga pomiędzy ilością pracy oferowanej i zapotrzebowaniem na pracę, dla liczby pracowników lub godzin pracy zdefiniowanych jako (Q e ). Równowaga na rynku pracy, a zjawisko bezrobocia Na rynku pracy z elastycznymi płacami równowaga wystąpi przy płacy W e i ilości pracy Q e (definiowanej jako liczba przepracowanych godzin lub zatrudnionych osób), które zapewniają równość zapotrzebowania na pracę zgłaszanego przez przedsiębiorstwa (krzywa popytu D) i ilości pracy oferowanej przez pracowników (krzywa podaży S). Jednym z możliwych czynników, który sprawia, że w statystykach pojawia się kategoria osób bezrobotnych, jest to, że ludzie nie chcą pracować za wynagrodzenie równe obecnej płacy równowagi (np. 10 zł za godzinę „na rękę”), ale byliby skłonni podjąć pracę, gdyby wynagrodzenie było wyższe (np. 20 zł za godzinę). Jeśli w rozmowie z ankieterem zadeklarują, że szukają takiej pracy i byliby gotowi ją podjąć, zostaną zaklasyfikowani jako aktywni zawodowo i bezrobotni. Z punktu widzenia ekonomisty ważne jest jednak nie to, jak klasyfikujemy takie osoby, tylko pytanie, czy ludzie ci pozostają bez pracy dlatego, że nie mogą jej znaleźć, czy też dlatego, że szukać jej nie chcą. Prawdopodobnie część z takich osób jest bezrobotna z powodu swoich nierealistycznych oczekiwań co do zarobków, ale nie stanowią one większości. Większość osób bezrobotnych to ludzie, których przyjaciele i znajomi, posiadający podobne wiedzę, umiejętności i doświadczenie, są gdzieś zatrudnieni i otrzymują płace zgodne z ich preferencjami. Oznacza to, że bezrobotni też byliby skłonni pracować na stanowiskach i z wynagrodzeniem analogicznym do tego, jakie otrzymują ich przyjaciele. Jeśli jednak pracodawcy nie zatrudniają dodatkowych pracowników, szanse na znalezienie atrakcyjnego miejsca pracy są bardzo niskie, a to oznacza, że osoby te są bezrobotne mimowolnie. W ten sposób pojawia się przymusowe bezrobocie. Dlaczego płace są „lepkie” i nie równoważą rynku pracy Model rynku pracy z elastycznymi płacami nie tłumaczy, dlaczego zjawisko bezrobocia w ogóle występuje w gospodarce, ponieważ w sytuacji pojawienia się nadwyżki po stronie popytu, a szczególnie podaży, płace powinny (zgodnie z założeniami modelu) dostosować się w taki sposób, by każdy, kto jest zainteresowany podjęciem zatrudnienia, mógł je znaleźć. W takiej sytuacji użyteczne może być odrzucenie założenia, że płace niemal natychmiast dostosowują się do sytuacji rynkowej (są doskonale giętkie), i rozważenie modeli ekonomicznych, w których płace nie są giętkie, lecz dostosowują się do sytuacji na rynku relatywnie wolniej. Opóźnienie w reakcji płac na sytuację rynkową występuje przede wszystkim wtedy, gdy poziom wynagrodzeń powinien spaść, aby zrównoważyć popyt i podaż na rynku pracy. Jednym z powodów, dla których płace są „ lepkie ” (ang. sticky ), czyli „przyklejają się” do swojego poziomu i nie maleją w taki sposób, aby zrównoważyć popyt i podaż, jest prawne i instytucjonalne otoczenie rynku pracy. W przypadku pracowników o niskich kwalifikacjach, młodych lub wykonujących nieskomplikowane zadania i w związku z tym otrzymujących płacę minimalną ewentualne dalsze obniżanie ich wynagrodzeń jest nielegalne. Z kolei w przypadku pracowników, których stanowiska są objęte tzw. układami zbiorowymi, czyli umocowanymi prawnie wieloletnimi kontraktami zawieranymi przez związki zawodowe z pracodawcą (pomyśl w tym kontekście o górnikach w Polsce lub sportowcach zawodowych lig amerykańskich), jak również regulacjami państwowymi (takimi jak Karta nauczyciela w Polsce), cięcia płac mogą naruszać taki kontrakt i wywołać spór prawny lub strajk narażający firmę na straty. Jednak istnienie płacy minimalnej i układy zbiorowe nie są wystarczającym uzasadnieniem lepkości płac, które to zjawisko jest obserwowane w całej gospodarce i nie tylko w kontekście najniższych wynagrodzeń. Ostatecznie z ok. 78,3 mln osób zatrudnionych w amerykańskiej gospodarce, których wynagrodzenie określa stawka godzinowa, tylko ok. 1,1 mln – mniej niż 2% – nie otrzymuje wynagrodzenia powyżej płacy minimalnej. Podobnie związki zawodowe reprezentują zaledwie jakieś 12% amerykańskich pracowników najemnych. W innych krajach rozwiniętych, przede wszystkim państw członkowskich UE, dla których dość typowe jest utrzymywanie wysokiego poziomu płac minimalnych lub rozbudowanego systemu układów zbiorowych, większy odsetek pracowników może mieć płace wynegocjowane przez związki zawodowe lub na poziomie zbliżonym do płacy minimalnej. Z dostępnych szacunków prezentowanych m. in. przez polski rząd wynika, że w 2023 r. minimalne wynagrodzenie w Polsce pobierało ok. 3 mln pracowników (czyli ok. 27% zatrudnionych); odsetek ten od kilku lat – czyli wraz z rozpoczęciem cyklu podwyżek płacy minimalnej – nieustannie rośnie (w 2021 r. było to jedynie ok. 1,7 mln pracowników, a w roku 2012 tylko 1,3 mln. pracowników). Jednak w przypadku Stanów Zjednoczonych te dwa czynniki łącznie dotyczą nie więcej niż 15% całej siły roboczej. Ekonomiści poszukający przyczyn lepkości płac, których wysokość znacznie odbiega od minimalnego, gwarantowanego prawem poziomu, skupili się na czynnikach mogących charakteryzować większość stosunków pracy w gospodarce. Zaproponowali szereg różnych teorii, które mają jednak pewien wspólny mianownik. Jedno z możliwych wyjaśnień wskazuje, że nawet pracownicy, którzy nie należą do związków zawodowych, często pracują na podstawie niepisanego kontraktu ( ukrytego ) (ang. implicit contract ). Polega on na tym, że pracodawca będzie starał się nie dopuścić do spadku płac w okresie stagnacji lub recesji, jak również w sytuacji, w której to konkretne przedsiębiorstwo boryka się z problemami, w zamian za co pracownicy nie będą oczekiwali ogromnych podwyżek płac wówczas, gdy gospodarka lub firma przeżywają okres rozkwitu. Takie zachowanie przy ustalaniu płac działa jak specyficzna forma ubezpieczenia: pracownik ma pewną ochronę przed spadkiem płac w gorszych czasach, ale płaci za tę ochronę nieco niższym wynagrodzeniem w okresach szczególnie korzystnej koniunktury. Oczywiście, ten rodzaj niepisanego kontraktu (ang. implicit contract ) oznacza, że firmy będą wstrzymywać się z obniżkami płac, aby pracownicy nie poczuli się oszukani i nie zmniejszali swojego zaangażowania w wykonywane obowiązki lub nawet nie odeszli z pracy. Teoria płacy efektywnościowej ( wydajnościowej ) (ang. efficiency wage theory ) utrzymuje z kolei, że produktywność pracowników i ich skłonność do rzetelnej pracy zależą przede wszystkim od poziomu ich wynagrodzenia, a zatem pracodawcy mogą uznać, że warto im płacić nieco więcej, niż dyktują to warunki rynkowe. W końcu jeśli ktoś otrzymuje wynagrodzenie, którego nie zaoferuje mu nikt inny, to będzie swoją pracę i swojego pracodawcę traktował z należytą dozą szacunku i po prostu będzie się przykładał do pracy. A gdy będzie trzeba, zgodzi się zostać po godzinach, przyjść do pracy w dniu wolnym itd. Jeśli zaś w mniej lub bardziej odległej przyszłości pracodawca zaproponuje mu czasowe obniżenie wynagrodzenia, argumentując, że sytuacja firmy jest wyjątkowo trudna, to zaakceptuje tę propozycję i nie odejdzie, szukając bardziej atrakcyjnego zatrudnienia. Pracodawcy z kolei wiedzą, że zatrudnianie i szkolenie nowych pracowników jest kosztowne i czasochłonne, wolą więc zapłacić obecnej załodze trochę więcej teraz, niż stracić ją, a potem zatrudniać i szkolić nową. W ten sposób, unikając obniżek płac, pracodawca minimalizuje koszty szkolenia i zatrudniania nowych pracowników, a jednocześnie czerpie korzyści z dobrze zmotywowanych pracowników. Pionierem takiego podejścia do zarządzania personelem był Henry Ford, założyciel amerykańskiego koncernu motoryzacyjnego. Zmotoryzowanie Ameryki modelem Forda T było możliwe m.in. dzięki wprowadzeniu płacy efektywnościowej (która w 1914 r. wynosiła 5 dol. za dzień pracy). Są także argumenty wskazujące na niebezpieczeństwo związane z selekcję negatywną w przypadku obniżek płac (ang. adverse selection ). Jeśli pracodawca reaguje na pogarszające się warunki prowadzenia działalności gospodarczej obniżką płac wszystkich pracowników, to najprawdopodobniej ci najlepsi, których akurat bardzo chciałby zatrzymać, odejdą, a zostaną leniwi, niezmotywowani i pozbawieni kwalifikacji. Ci pierwsi bowiem z łatwością znajdą na rynku nowe zatrudnienie, ci drudzy zaś wiedzą, że w przypadku zwolnienia szanse na nowe płatne zajęcia są stosunkowo niewielkie. W związku z tym zamiast obniżać wynagrodzenia, pracodawcy próbują pozbywać się najgorszych pracowników. Czasami przedsiębiorstwa, które przeżywają trudne chwile, mogą próbować przekonywać pracowników do krótkoterminowej redukcji płac i nadal zatrzymać większość załogi. Jednak typowym postępowaniem w opisanej sytuacji jest zwalnianie niektórych pracowników, a nie obniżanie płac wszystkim. Model „swój-obcy” (ang. insider-outsider ) z kolei wskazuje na to, że osoby już zatrudnione przez przedsiębiorstwa są „swoje”, podczas gdy nowi pracownicy, a szczególnie osoby, które nie mają pracy, są traktowani jak „obcy”. Firmy polegają w swojej aktywności na zatrudnionych pracownikach, którzy utrzymują sprawne funkcjonowanie organizacji, znają rutynowe procedury i są w stanie przekazać doświadczenie nowo zatrudnionym. W tym kontekście trudne do wyobrażenia jest posunięcie polegające na obniżeniu płac „swoim”, aby zatrudnić bezrobotnych „obcych”, gdyż z pewnością zraziłoby to doświadczonych pracowników i zaszkodziło produktywności i perspektywom firmy. Wreszcie, argument odwołujący się do braku możliwości koordynacji płac (ang. relative wage coordination argument ) wskazuje, że nawet jeśli większość pracowników byłaby skłonna zgodzić się na obniżenie swoich wynagrodzeń w okresie recesji lub stagnacji, pod warunkiem, że dotknie to wszystkich wykonujących tę samą lub podobną pracę (powiedzmy – kierowca przekonany argumentami o recesji zgadza się na obniżenie swojego wynagrodzenia, jeśli wszyscy kierowcy zaakceptują niższe płace), to w kapitalistycznej gospodarce nie ma praktycznych możliwości, aby podobny plan wcielić w życie. Pokusa wyłamania się z takiego porozumienia przez właścicieli firm spedycyjnych, którzy płaciliby więcej najlepszym kierowcom, byłaby zbyt duża. To skądinąd argument uzasadniający zawieranie porozumień zbiorowych, które – jeśli taka sytuacja zostałaby w nich uwzględniona – pozwalałyby na obniżkę. Pracownicy postawieni przed możliwością obniżenia płacy, podczas gdy wynagrodzenia ich kolegów w innych przedsiębiorstwach pozostałyby niezmienione, będą ostro walczyć przeciwko takim obniżkom. Doskonale zdają sobie bowiem sprawę z tego, że zmniejszenie płacy oznacza pogorszenie ich sytuacji zarówno w kategoriach bezwzględnych, jak i w stosunku do innych osób wykonujących to samo zajęcie. Powyższe teorie wskazujące powody, dla których płace pozostają lepkie, szczególnie w kontekście potencjalnej obniżki ich poziomu, różnią się w kwestii możliwych implikacji. Określenie ich mocnych i słabych stron jest przedmiotem ciągłych badań i kontrowersji wśród ekonomistów. Jednak wszystkie bez wyjątku wskazują, że płace będą spadały relatywnie wolno, o ile w ogóle, nawet jeśli gospodarka lub konkretne przedsiębiorstwo znajdują się w trudnym okresie. Jeśli płace nie są giętkie i nie obniżają się bardzo szybko do poziomu, który równoważy popyt z podażą (co oznacza, że rynek pracy jest nieelastyczny), może dojść do krótkotrwałego lub długotrwałego bezrobocia. Pokazuje to . Lepkie płace na rynku pracy Ponieważ stawka płacy jest lepka i nie zmniejsza się poniżej poziomu wyznaczonego przez W, rynek pracy nie jest zrównoważony, a liczba osób, które chcą pracować (Q s ), jest większa niż liczba wolnych miejsc pracy (Q d ). W rezultacie pojawia się bezrobocie, którego rozmiary zostały oznaczone klamrą na wykresie. wskazuje na konsekwencje \"lepkich\" płac dla równowagi na rynku pracy w sytuacji, w której przesunięcia ulega krzywa popytu. Panel (a) uwzględnia sytuację, w której popyt przesuwa się w prawo, z położenia D0 do D 1 . W tym przypadku płaca równowagi wzrasta z poziomu W 0 do W 1 (jak to zostało wskazane powyżej, lepkość płac jest zjawiskiem pojawiającym się w sytuacji, w której płace miałyby zostać obniżone), a liczba zatrudnionych osób (lub liczba przepracowanych godzin, jeśli w ten sposób będziemy definiować ilość pracy) wzrasta z Q 0 do Q 1 . Na rynku pracy utrzymuje się równowaga, a pracownicy – dzięki wzrostowi wynagrodzeń – są zmotywowani do wydajnej pracy. Panel (b) pokazuje z kolei sytuację, w której popyt na pracę przesuwa się w lewo, z położenia D 0 do D 1 , podobnie jak ma to miejsce w czasie recesji, kiedy wraz ze spadkiem popytu na dobra i usługi maleje również popyt na pracę. Ponieważ tym razem płace są lepkie i nie zmniejszają się do poziomu, który zapewniłby równowagę rynkową (W 1 ), niemożliwe jest zrównanie popytu i podaży, przynajmniej w krótkim okresie. Zamiast tego po przesunięciu krzywej popytu na pracę i utrzymaniu płac na dotychczasowym poziomie liczba osób skłonnych do podjęcia pracy za dotychczasowym wynagrodzeniem (W 0 ) nie zmienia się i wynosi (Q 0 ). Tymczasem wielkość zapotrzebowania na pracowników przy niezmienionym wynagrodzeniu (W 0 ) spadła do poziomu (Q 2 ). Pojawiła się zatem grupa pracowników, którzy są skłonni pracować za płacę (W0), ale nie mogą znaleźć pracy. Ta nadwyżka pracowników chętnych do podjęcia pracy nad liczbą osób, które pracodawcy chcieliby zatrudnić, to nic innego jak bezrobocie. Lepkie płace i zmiany popytu na rynku pracy – przyczyny bezrobocia w krótkim okresie Panel (a) Na rynku pracy, na którym płace mogą w swobodny sposób rosnąć (są giętkie), wzrost popytu na pracę z poziomu D 0 do D 1 prowadzi do wzrostu liczby pracujących osób w warunkach równowagi z Q 0 do Q 1 oraz wzrostu płacy równowagi z poziomu W 0 do W 1 . Panel (b) Na rynku pracy, na którym płace są lepkie i nie maleją, spadek popytu na pracę z poziomu D0 do D 1 prowadzi do spadku zapotrzebowania na pracowników zgłaszanego przez pracodawców przy pierwotnej płacy (W 0 ) z poziomu Q 0 do Q 2 . Pracownicy nie chcą jednak podjąć zatrudnienia za wynagrodzeniem (W 0 ), ale nie mogą znaleźć pracy opłacanej na poziomie W 0 i stają się bezrobotni. Przedstawiona powyżej analiza graficzna pomaga wyjaśnić, dlaczego – jak to już zostało zaznaczone powyżej – bezrobocie ma tendencję do wzrostu w czasie recesji i spadku podczas okresów ekspansji gospodarczej. Kondycja gospodarki wpływa na położenie krzywej popytu na pracę, co w połączeniu z lepkimi płacami determinuje pojawienie się lub wzrost liczby osób bezrobotnych. Powiększanie się rozmiarów bezrobocia będące konsekwencją spowolnienia tempa wzrostu gospodarczego (stagnacji) lub recesji nazywamy bezrobociem cyklicznym. Bank Rezerwy Federalnej w St. Louis jest najlepszym źródłem danych makroekonomicznych (w postaci szeregów czasowych), znanych jako Federal Reserve Economic Data ( FRED ), dostarcza kompletnych zestawów danych na temat różnych miar bezrobocia w USA, jak również miesięczny raport Bureau of Labor Statistics z wynikami ankiet dotyczących sytuacji gospodarstw domowych i zatrudnienia. W Polsce tego typu dane dostępne są na witrynie internetowej Głównego Urzędu Statystycznego www.stat.gov.pl . Key Concepts and Summary Bezrobocie cykliczne zmienia się wraz ze zmianami faz cyklu koniunkturalnego. W modelu rynku pracy z doskonale giętkimi płacami zapotrzebowanie na pracę zawsze równa się liczbie osób chętnych do podjęcia zatrudnienia (lub godzin pracy), ponieważ wynagrodzenia zmieniają się tak, aby zapewnić równowagę rynkową. Ekonomiści zaproponowali wiele teorii wyjaśniających, dlaczego w realnym świecie płace są lepkie, czyli nie zmieniają się w stopniu zapewniającym równowagę, szczególnie w sytuacji, w której niezbędny byłby ich spadek. Są to m.in.: niepisane kontrakty, teoria płac efektywnościowych, negatywna selekcja w przypadku obniżki wynagrodzeń, model „swój-obcy” i brak możliwości koordynacji płac w skali całej gospodarki. Self-Check Questions Począwszy od lat 70. XX w. przez trzy kolejne dekady kobiety masowo dołączały do zasobu amerykańskiej siły roboczej. Załóżmy, że płace są lepkie, a ok. roku 1970 popyt na pracę zrównał się z jej podażą przy ówczesnej stawce płac. Jak myślisz, co się stało ze stawką płac, zatrudnieniem i bezrobociem w wyniku wzrostu aktywności zawodowej kobiet? Z powodu napływu kobiet na rynek pracy podaż pracy przesuwa się w prawo, z położenia S do S 2 . Ponieważ płace są lepkie, zwiększona podaż pracy powoduje wzrost liczby osób poszukujących zatrudnienia (Q s ), ale nie zmienia się liczba dostępnych miejsc pracy (Q e ). W rezultacie bezrobocie wzrasta o wielkość, o jaką zwiększyła się podaż pracy. Widać to na poniższej ilustracji. Z czasem, gdy popyt na pracę wzrośnie, bezrobocie będzie spadać i w końcu płace zaczną ponownie rosnąć. Ale ten wzrost popytu na pracę wykracza poza zakres przedstawionego tutaj problemu. Review Questions Kiedy należałoby się spodziewać wzrostu bezrobocia cyklicznego? A spadku? Dlaczego na rynku pracy z giętkimi płacami występuje bezrobocie? Wymień i wyjaśnij kilka powodów, dla których płace mogą być lepkie, zwłaszcza w sytuacji, w której powinny spadać. Critical Thinking Questions Czy uważasz za racjonalny wybór pracowników, którzy wolą względnie stały poziom wynagrodzeń (lepkie płace), nawet jeśli miałoby to oznaczać bezrobocie części z nich? Przedstaw swój sposób rozumowania. W jaki sposób zaprezentowane w stosownym podrozdziale teorie dotyczące lepkości płac odnoszą się do twojej argumentacji? Problems Pewien rząd uchwala prawo „przyjazne rodzinie”, zgodnie z którym przedsiębiorstwa nie mogą zatrudniać pracowników w godzinach wieczornych, w nocy ani w czasie weekendu, tak aby każdy mógł spędzać ten czas w domu z rodziną. Przeanalizuj rezultaty wprowadzenia tego prawa, wykorzystując diagram popytu i podaży na rynku pracy: na początku załóż, że płace są giętkie, a następnie przyjmij, że płace są lepkie przy zmianach wynagrodzenia w dół. selekcja negatywna w przypadku obniżek płac (ang. adverse selection ) sytuacja, gdy pracodawca obniża płace wszystkim pracownikom, w wyniku czego najlepsi z nich odchodzą do innych firm bezrobocie cykliczne (ang. cyclical unemployment ) bezrobocie, które jest ściśle związane z cyklem koniunkturalnym, np. wyższe bezrobocie występuje podczas recesji bezrobocie koniunkturalne zob. bezrobocie cykliczne teoria płac efektywnościowych (ang. efficiency wage theory ) teoria mówiąca, że produktywność pracowników, zarówno traktowanych indywidualnie, jak i całych grup, wzrośnie, jeśli pracodawca będzie im płacił więcej niż wynosi wysokość wynagrodzenia ustalona na konkurencyjnym rynku pracy teoria płac wydajnościowych zob. teoria płac efektywnościowych niepisane kontrakty (ang. implicit contract ) obowiązujące na rynku pracy niepisane umowy, zgodnie z którymi pracodawca stara się nie dopuścić do spadku wysokości płac, gdy gospodarka zmaga się ze stagnacją, recesją lub dane przedsiębiorstwo doświadcza jakichś problemów, a pracownicy w zamian nie oczekują ogromnych podwyżek wynagrodzeń, gdy gospodarka lub firma są w świetnej kondycji ukryte kontrakty zob. niepisane kontrakty model „swój-obcy” (ang. insider-outsider ) osoby już pracujące w firmie, znające jej procedury i sposób funkcjonowania, są traktowane jak swoi, pozostali pracownicy i chętni do podjęcia pracy są uważani za obcych; w konsekwencji poziom wynagrodzeń swoich jest utrzymywany, nie maleją one nawet wtedy, gdy obniżka umożliwiłaby zatrudnienie obcych model insider-outsider zob. model „swój-obcy” brak możliwości koordynacji płac względnych (ang. r elative wage coordination argument ) ogólna/powszechna redukcja płac w całej gospodarce jest trudna do przeprowadzenia, gdyż wystawia pracodawców na silną pokusę niedotrzymania porozumienia; konsekwencją jest brak akceptacji pracowników dla takich propozycji", "section": "Przyczyny bezrobocia w krótkim okresie", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przyczyny bezrobocia w długim okresie Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować bezrobocie frykcyjne i strukturalne Przeanalizować relacje pomiędzy naturalną stopą bezrobocia a poziomem potencjalnego PKB, produktywnością i politykami publicznymi Wyjaśnić, jak zmieniał się poziom naturalnej stopy bezrobocia w ciągu ostatnich lat Podać sposoby ograniczania poziomu bezrobocia Zjawisko bezrobocia cyklicznego wyjaśnia, dlaczego liczba osób pozostających bez pracy wzrasta podczas recesji i maleje podczas okresów ekspansji. Ale dlaczego bezrobocie utrzymuje się nawet w czasach korzystnej koniunktury? Dlaczego stopa bezrobocia nigdy nie jest równa zero? Nawet wtedy, gdy gospodarka amerykańska szybko się rozwija, tamtejsza stopa bezrobocia rzadko spada do poziomu 4%. W poprzednich podrozdziałach zwrócono uwagę na to, że stopy bezrobocia w wielu krajach europejskich, takich jak Włochy, Francja i Niemcy, w różnych okresach w ciągu ostatnich kilkudziesięciu lat były stosunkowo wysokie. Dlaczego – jeśli potraktujemy jako punkt odniesienia gospodarkę amerykańską – w niektórych państwach stopa bezrobocia jest w stały sposób wyższa zarówno w latach lepszej, jak i gorszej koniunktury? Jakie czynniki wpłynęły z kolei na tak gwałtowny spadek stopy bezrobocia w Polsce w ciągu ostatnich 6–8 lat? Na opisanie poziomu bezrobocia, które występuje nawet wtedy, gdy gospodarka jest w świetnej kondycji, ekonomiści mają stosowny termin: nazywają go naturalną stopą bezrobocia (ang. natural rate of unemployment ). Długi okres: naturalna stopa bezrobocia Naturalna stopa bezrobocia nie jest wielkością „naturalną” w sensie, jaki znamy z nauk fizycznych. Poziom naturalnej stopy bezrobocia nie ma charakteru stałego, jak temperatura krzepnięcia i wrzenia wody (odpowiednio: 0ºC i 100ºC). Nie jest to niezmienne prawo natury. Słowo „naturalny” w naukach społecznych oznacza raczej wypadkową łącznego działania czynników gospodarczych, społecznych i politycznych istniejących w danym czasie w gospodarce, która nie doświadcza ani okresu gwałtownej ekspansji, ani recesji. Na „naturalność” stopy bezrobocia składa się zatem typowy sposób postępowania firm rozwijających się i zatrudniających siłę roboczą w dynamicznej gospodarce, zwyczaje, powszechnie podzielane poglądy i sposób postępowania ludzi na rynku pracy, a także prowadzona przez państwo polityka publiczna oddziałująca na skłonność ludzi do podejmowania pracy (aktywność zawodową) i gotowość firm do zatrudniania pracowników. Omówmy te czynniki bardziej szczegółowo. Bezrobocie frykcyjne W gospodarce rynkowej bankructwa przedsiębiorstw zdarzają się zawsze. Powody bywają różne: przestarzała technologia, kiepskie kierownictwo, zmiany gustów konsumentów powodujące zmniejszenie zapotrzebowania na produkty firmy, upadek dużego klienta, pojawienie się nowych konkurentów krajowych i zagranicznych lub po prostu pech. I odwrotnie, zbieg szczęśliwych okoliczności lub racjonalne decyzje podejmowane przez właścicieli pozwalają przedsiębiorstwom na szybki rozwój i wzrost zatrudnienia. W idealnym świecie wszyscy, którzy stracili pracę, natychmiast znajdowaliby nową. Jednak w rzeczywistości nawet jeśli liczba osób poszukujących zatrudnienia jest równa liczbie wakatów, znalezienie nowej posady, odbycie rozmowy kwalifikacyjnej i ustalenie, czy istniejące wolne stanowisko pracy jest dobrze dopasowane do kompetencji kandydata, a może nawet sprzedaż domu i kupno innego w pobliżu siedziby nowego pracodawcy – to wszystko zajmuje trochę czasu. Bezrobocie, które związane jest z naturalnymi dla każdej gospodarki decyzjami pracowników o zmianie miejsca pracy, ekonomiści nazywają bezrobociem frykcyjnym (ang. frictional unemployment ). Trudno je traktować jako zjawisko niekorzystne. Zarówno pracodawca, jak i potencjalny pracownik potrzebują czasu, aby znaleźć z jednej strony optymalnego kandydata, z drugiej zaś miejsce pracy zgodne z preferencjami. Proces ten po prostu wymaga zarówno wysiłku, jak i czasu, bez którego przedsiębiorstwa nie będą produktywne, a pracownicy zadowoleni z posady. Podejście, które opiera się na zatrudnieniu pierwszego kandydata z brzegu i przyjęciu pierwszej otrzymanej oferty, absolutnie tego nie gwarantuje. W połowie pierwszej dekady XXI w., jeszcze przed początkiem globalnego kryzysu (który nastąpił w roku 2008), w ciągu każdego kwartału ok. 7% pracowników w USA traciło pracę. Jednak w okresie ożywienia i ekspansji liczba miejsc pracy tworzonych w tym samym czasie znacznie przekracza liczbę likwidowanych stanowisk. Na przykład w 2019 r. w amerykańskiej gospodarce każdego dnia było ok. 6 mln bezrobotnych. Mimo że dwie trzecie z tej grupy znajdowało nowe stanowisko w ciągu 14 tygodni (lub nawet szybciej), stopa bezrobocia w ciągu roku pozostawała na względnie stałym poziomie. Działo się tak dlatego, że dotychczasowi bezrobotni co prawda znajdowali nową pracę, ale w statystykach w dużej mierze zastępowani byli przez tych pracowników, którzy ją w międzyczasie tracili. Oczywiście byłoby lepiej, gdyby osoby, które straciły pracę, mogły od razu i bez ponoszenia jakichkolwiek nakładów objąć istniejące lub nowo powstałe wakaty, ale w realnym świecie nie jest to możliwe. Ktoś, kogo zwolniono z fabryki tekstyliów w Karolinie Południowej, nie może natychmiast rozpocząć pracy w fabryce tekstyliów w Kalifornii. Proces dostosowań na rynku pracy odbywa się stopniowo. Niektórzy ludzie znajdują nowe zatrudnienie w pobliżu swego dotychczasowego miejsca pracy, podczas gdy inni dochodzą do wniosku, że muszą przenieść się tam, gdzie o atrakcyjne (z punktu widzenia ich samych oraz ich partnerów i dzieci) zajęcie jest łatwiej. Niektóre osoby mogą znaleźć pracę w bardzo podobnym przedsiębiorstwie, na niemal takim samym stanowisku, inni natomiast zmuszeni są rozpocząć nową ścieżkę kariery, zmieniając branżę i rodzaj wykonywanej pracy. Niektórzy ludzie, będący w wieku przedemerytalnym, zdecydują się na pracę w niepełnym wymiarze godzin. Inni szukają pracodawcy, który ma dla nich długoterminową ofertę z możliwościami rozwoju zawodowego, szkoleń itd. Bezrobocie frykcyjne, które wynika z naturalnego procesu zmiany miejsc pracy w dynamicznie rozwijającej się gospodarce, może stanowić od jednego do dwóch punktów procentowych całkowitej stopy bezrobocia. Poziom bezrobocia frykcyjnego będzie zależał od tego, jakie są koszty transakcyjne (wyrażone zarówno w pieniądzu, jak i w kategoriach czasu i nakładu pracy) znalezienia interesującego miejsca pracy i dopasowanego do oczekiwań przedsiębiorstwa pracownika. Im koszty te są niższe, tym szybciej i taniej obejmowane będą powstające wakaty. Skala bezrobocia frykcyjnego będzie również zależała od mobilności siły roboczej (czy jeśli stracę pracę w Poznaniu, będę skłonny przenieść się do Trójmiasta), a to z kolei jest pochodną stanu rynku mieszkaniowego (jak łatwo i po jakiej cenie mogę sprzedać nieruchomość w Poznaniu i kupić nową w Trójmieście), sektora bankowego (jak łatwo dostać kredyt) i w szerszym kontekście historii i kultury danego kraju. Wysokość bezrobocia frykcyjnego i tym samym naturalnej stopy bezrobocia zależy również od rozkładu wieku ludności. Jak już pokazaliśmy w , stopy bezrobocia są zazwyczaj niższe dla osób w wieku z przedziału od 25 do 54 lat oraz w wieku powyżej 55 lat niż dla osób młodszych. Pracownicy w sile wieku, jak czasem nazywa się osoby w przedziale wiekowym 25–54 lat, są zazwyczaj na takim etapie życia, że najważniejszymi elementami przy wyborze potencjalnego pracodawcy są stabilność zatrudnienia i dochód regularnie wpływający na konto. Starsi pracownicy (powyżej 60 roku życia), którzy stracą pracę, mogą zdezaktywizować się zawodowo, ponieważ ich dochody i standard życia do pewnego stopnia stabilizuje otrzymywana już lub nieodległa emerytura (jeśli mają odpowiedni staż pracy mogą po prostu uznać, że zamiast szukać zatrudnienia po prostu doczekają do osiągnięcia określonego przepisami prawa wieku emerytalnego). Z kolei znaczący odsetek najmłodszych uczestników rynku pracy (w wieku poniżej 25 lat) będzie próbował swoich sił w różnych zawodach i różnych przedsiębiorstwach, poszukując dopiero swojej optymalnej ścieżki życiowej, co skutkować będzie większą mobilnością zawodową, a tym samym wyższym bezrobociem frykcyjnym. W związku z tym społeczeństwo z relatywnie wysokim odsetkiem młodych pracowników (tak jak to było w Stanach Zjednoczonych od połowy lat 60. XX w., kiedy to baby boomers zaczęli wchodzić na rynek pracy) będzie się charakteryzowało tendencją do utrzymywania wyższej stopy bezrobocia niż społeczeństwo z wyższym odsetkiem starszych pracowników. Bezrobocie strukturalne Innym czynnikiem wpływającym na naturalną stopę bezrobocia jest wielkość bezrobocia strukturalnego (ang. structural unemployment ). Ludzie stają się bezrobotni z powodów strukturalnych wtedy, gdy brakuje im kwalifikacji poszukiwanych na rynku pracy, lub wówczas, gdy popyt na ich pracę występuje poza miejscem ich zamieszkania i z różnych względów, np. z uwagi na sytuację życiową lub brak środków umożliwiających przeprowadzkę, nie mogą się przenieść za pracą. W ten sposób bezrobocie strukturalne obejmuje w krajach uprzemysłowionych pracowników przemysłu ciężkiego (górników, hutników, stoczniowców) i osoby, które nie zdobyły żadnego formalnego wykształcenia i nie mają żadnych konkretnych kwalifikacji (bo nie zdołały ukończyć nawet szkoły średniej), jak również tych pracowników, którzy zamieszkują regiony z wysokim bezrobociem (np. województwo warmińsko-mazurskie w Polsce), ale nie dysponują środkami umożliwiającymi zakup lub wynajęcie lokum w dużej aglomeracji, np. Warszawie lub Trójmieście. Niektórzy uważają, że zmiany technologiczne są jednym z czynników wpływających na pojawienie się bezrobocia strukturalnego. W przeszłości wprowadzenie nowych technologii pozbawiło pracy osoby o niskich bądź specyficznych kwalifikacjach (np. dorożkarzy, wozaków, windziarzy i maszynistów wyspecjalizowanych w prowadzeniu parowozów), ale jednocześnie stworzyło zapotrzebowanie na pracowników o wyższych lub innych kwalifikacjach, którzy są w stanie wykorzystać nowe technologie (kierowców, informatyków, kurierów i osoby zarabiające dzięki aktywności w mediach społecznościowych). Edukacja wydaje się kluczem do zminimalizowania wielkości bezrobocia strukturalnego. Osoby z formalnym wykształceniem i nauczone tego, jak się uczyć, mogą się stosunkowo łatwo przekwalifikować, jeśli zostaną dotknięte bezrobociem strukturalnym (co miało miejsce np. w Polsce, gdzie posiadający stosowne doświadczenie dydaktyczne i formalne kwalifikacje potwierdzone dyplomem uczelni nauczyciele języka rosyjskiego przekwalifikowali się i uczą innych języków obcych). W przypadku osób bez formalnego wykształcenia i pozbawionych umiejętności przyswajania wiedzy opcja ta raczej nie wchodzi w grę. Bezrobocie naturalne a poziom potencjalnego PKB Naturalna stopa bezrobocia jest związana z dwoma innymi ważnymi pojęciami: pełnym zatrudnieniem oraz poziomem potencjalnego PKB. Ekonomiści przyjmują, i jest to twierdzenie w zasadzie niekontrowersyjne, że w gospodarce mamy do czynienia z pełnym zatrudnieniem, gdy obliczana na podstawie przyjętej w danym kraju metody stopa bezrobocia jest równa naturalnej stopie bezrobocia. Jeśli w gospodarce utrzymany jest stan pełnego zatrudnienia, to rzeczywisty (obserwowany) poziom PKB (czyli ten zmierzony przez właściwy dla danego kraju urząd statystyczny) jest równy potencjalnemu PKB. Wykorzystanie pełnego potencjału danej gospodarki w tym wypadku oznacza, że mamy pełne wykorzystanie czynnika produkcji „praca”, czyli właśnie pełne zatrudnienie. Natomiast gdy gospodarka znajduje się poniżej poziomu pełnego zatrudnienia, czyli stopa bezrobocia jest wyższa od stopy naturalnej, to rzeczywisty PKB jest mniejszy od potencjalnego. (Bezrobocie, które nie wynika z czynników naturalnych, wskazuje, że część dostępnego zasobu czynnika produkcji „praca” nie jest wykorzystana w pełni). Wreszcie, gdy gospodarka działa powyżej pełnego zatrudnienia, wówczas stopa bezrobocia jest mniejsza od stopy naturalnej, a obserwowany PKB jest większy od potencjalnego. Funkcjonowanie gospodarek powyżej potencjału jest możliwe tylko przez krótki okres, ponieważ oznacza ponadstandardowe wykorzystanie pracowników (np. w taki sposób, że wszyscy pracują nie tylko w weekendy, ale też wyrabiają nadgodziny). Zmiany produktywności a naturalna stopa bezrobocia Nieoczekiwane zmiany produktywności mogą wywierać silny wpływ na poziom naturalnej stopy bezrobocia. W długim okresie to właśnie produktywność pracowników determinuje poziom płac w gospodarce. Gdyby przedsiębiorstwo płaciło pracownikom więcej, niż wynika to z ich produktywności (w pewnym uproszczeniu jest to wartość produktów wytworzonych przez konkretnego pracownika lub zespół w jednostce czasu), ponosiłoby straty, które wcześniej czy później doprowadziłyby je do bankructwa. I odwrotnie, jeśli przedsiębiorstwo próbuje płacić pracownikom mniej, niż wynika to z ich produktywności, wówczas na konkurencyjnym rynku pracy inne firmy uznają, że warto tych pracowników zatrudnić i zapłacić im wyższe wynagrodzenie, odpowiadające wartości wytwarzanych przez nich dóbr lub usług. Dostosowanie płac do poziomu wynikającego z produktywności pracowników nie następuje jednak ani szybko, ani bezproblemowo. Pracodawcy zmieniają wynagrodzenia swoich pracowników zazwyczaj tylko raz lub dwa razy w roku. Na wielu stanowiskach mierzenie indywidualnej produktywności jest zresztą bardzo trudne. Zastanówmy się przykładowo, w jaki sposób ustalić dokładną wielkość produkcji księgowego, który jest jedną z wielu osób pracujących w dziale podatkowym dużej korporacji. Ponieważ produktywność trudno jest zmierzyć, pracodawcy często kalkulują skalę podwyżek płac na podstawie dostępnych informacji o uśrednionych zmianach produktywności w tym konkretnym przedsiębiorstwie lub wręcz całej gospodarce. Jeśli zatem wydajność wzrasta, powiedzmy, o 2% rocznie, to płaca przykładowego księgowego również wzrośnie w tym samym tempie. Jeśli jednak produktywność zmieni się w nieoczekiwany sposób, to fakt ten będzie miał wpływ na naturalną stopę bezrobocia. Doświadczenia gospodarki amerykańskiej w latach 70. i 90. XX w. dostarczają dwóch wyrazistych przykładów ilustrujących powyższą tezę. W drugiej połowie lat 70. wzrost produktywności nieoczekiwanie zwolnił (co omówiliśmy w ). Wielkość produkcji na godzinę dla amerykańskich pracowników w sektorze przedsiębiorstw rosła w tempie 3,3% rocznie w latach 1960–1973, ale tylko o 0,8% w latach 1973–1982. Panel (a) obrazuje sytuację, w której krzywa popytu na pracę – czyli ilość pracy, którą sektor przedsiębiorstw jest skłonny zakupić przy każdym poziomie wynagrodzenia – przesuwa się co roku w górę w związku z rosnącą wydajnością, z położenia D 0 do D 1 i następnie do D 2 . W rezultacie również płace rynkowe systematycznie rosną, począwszy od poziomu W 0 do W 1 , a następnie do W 2 . Jednak gdy tempo wzrostu wydajności nieoczekiwanie spada, dynamika wzrostu płac utrzymuje się na niezmienionym poziomie. Płace rosną co roku w tym samym tempie, z poziomu W 2 do W 3 , a potem do W 4 , ale krzywa popytu na pracę już się nie przesuwa. Powstaje różnica pomiędzy ilością pracy oferowanej na rynku przy płacy W 4 a zapotrzebowaniem na pracę przy tym samym poziomie wynagrodzenia. W konsekwencji stopa bezrobocia wzrasta. W następstwie niespodziewanie niskiej dynamiki wzrostu produktywności w USA w latach 70. XX wieku, w okresie od maja 1980 do końca 1986 r. stopa bezrobocia nie spadła poniżej 7%. Z czasem wzrost płac dostosuje się do wolniejszego tempa wzrostu produktywności i stopa bezrobocia z powrotem się obniży, ale proces ten może trwać całe lata. Nieoczekiwane zmiany produktywności a poziom bezrobocia Panel (a) Wydajność rośnie, zwiększając popyt na pracę przy każdym poziomie wynagrodzeń. Pracodawcy i pracownicy przyzwyczajają się do tempa wzrostu płac zdeterminowanego historyczną dynamiką wzrostu produktywności. Kiedy wydajność pracy przestaje rosnąć, dynamika wzrostu wynagrodzeń nie zmienia się jednak od razu, co oznacza, że płace rosną w dotychczasowym tempie. Tymczasem popyt na pracę się nie zwiększa, więc przy zatrudnieniu W 4 pojawia się bezrobocie, gdyż ilość oferowanej pracy przekracza zapotrzebowanie. Panel (b) Stopa wzrostu wydajności przez pewien czas wynosiła zero, więc pracodawcy i pracownicy zaakceptowali poziom płac wynikający z równowagi rynkowej (W). Następnie wydajność niespodziewanie wzrasta, przesuwając linię popytu na pracę z D 0 do D 1 . Przy płacy (W) oznacza to, że zapotrzebowanie na pracę przewyższa ilość pracy oferowanej. Przy tak dużej liczbie ofert pracy stopa bezrobocia będzie niska. Późne lata 90. XX w. dostarczają odwrotnego przykładu: zamiast zaskakującego spadku tempa zmian wydajności, który miał miejsce w latach 70., produktywność w amerykańskiej gospodarce nadspodziewanie szybko rosła w drugiej połowie ostatniej dekady XX w. Średnioroczna stopa wzrostu realnej wartości produkcji na godzinę pracy zwiększała się o 1,7% w latach 1980–1995 i aż o 2,6% w latach 1995–2001. Uprośćmy nieco tę sytuację, aby jej ilustracja graficzna była bardziej czytelna. Powiedzmy, że w latach 1980–1995 produktywność w USA pozostawała na stałym poziomie, więc punkt równowagi rynkowej znajdował się w E, gdzie podaż pracy przecina się z popytem, tak jak to przedstawiono na panelu (b) . W rezultacie płace również się nie zmieniały. Po 1995 r. produktywność zaczyna szybko rosnąć, co powoduje przesunięcie krzywej popytu na pracę w prawo, z położenia D0 do D1. Jednak przynajmniej przez jakiś czas płace są nadal na tym samym poziomie, ponieważ zarówno pracodawcy, jak i pracownicy przyzwyczaili się do tego, że skoro produktywność się nie zmienia, to wynagrodzenia również nie rosną. W efekcie, przy ustalonym poziomie płac (W), zapotrzebowanie na pracę (Q1) przez pewien czas przekracza ilość pracy oferowanej (Q0), a bezrobocie jest bardzo niskie – okresowo może być wręcz poniżej naturalnej stopy bezrobocia. Wiedząc to, łatwiej zrozumieć, dlaczego odsetek bezrobotnych utrzymywał się w USA poniżej 4,5% – na poziomie dość niskim jak na standardy historyczne – od 1998 r. aż do początku recesji w 2001 r. Wielkość bezrobocia będzie ceteris paribus nieco wyższa, gdy dynamika wzrostu produktywności pracy niespodziewanie się zmniejszy. I odwrotnie – odsetek bezrobotnych będzie nieco niższy, gdy tempo wzrostu wydajności okaże się niespodziewanie wysokie. Jednak w długim okresie płace dostosują się do poziomu odzwierciedlającego wydajność. Polityki publiczne a naturalna stopa bezrobocia Polityki publiczne również mogą mieć duży wpływ na poziom naturalnej stopy bezrobocia. Zasady określające wysokość i okres wypłat zasiłków dla bezrobotnych będą silnie determinować to, jak intensywnie ludzie poszukują pracy. Jeśli pracownik, który stracił pracę, ma zagwarantowany hojny pakiet transferów, obejmujący nie tylko kupony żywnościowe, lecz również ubezpieczenie zdrowotne, zasiłek pieniężny i bezpłatne mieszkanie, to koszt alternatywny pozostawania bez pracy jest stosunkowo niski i taka osoba będzie niezbyt chętnie poszukiwała nowego zatrudnienia. Wydaje się, że najważniejsza jest nie tyle wysokość zasiłków, ile okres ich wypłacania. Szczodra pomoc dla bezrobotnych kończąca się po, powiedzmy, sześciu miesiącach generuje silniejsze zachęty do poszukiwania pracy, w porównaniu z relatywnie niewielkimi środkami wypłacanymi przez kilka lat. Podobnie pomoc państwa w poszukiwaniu pracy lub zdobywaniu nowych kwalifikacji może skutecznie zachęcić bezrobotnych do szybszego powrotu do pracy. Przeczytaj ten artykuł , aby dowiedzieć się, kto dokładnie jest uprawniony do pobierania zasiłku dla bezrobotnych w USA. Popyt na pracę, a więc sposób postępowania przedsiębiorstw i ich skłonność do tworzenia nowych miejsc pracy, w znacznym stopniu determinowany jest przez przepisy prawa, instytucje i sposób postępowania związków zawodowych. Jeśli rząd nakłada na nowo powstające firmy kolejne obowiązki biurokratyczne (polegające choćby na konieczności uzyskiwania koncesji, pozwoleń, uiszczania opłat, definiujące jakość produktów czy sposób świadczenia usług, ograniczając okres aktywności, np. poprzez zakaz handlu w niedzielę), to trudno oczekiwać, że będą one powstawać lub rozszerzać obszar swojej aktywności, a tym samym zwiększać zatrudnienie. Niezależnie od tego, jak ważkie argumenty odwołujące się do kwestii społecznych można przywołać na obronę tego typu regulacji, stanowią one barierę, np. między pewną grupą zainteresowanych pracą w niedzielę osób (studenci!) a pewną liczbą firm poszukujących pracowników. To nie oznacza automatycznie, że podobnych ograniczeń nie należy wprowadzać, uważnie porównując korzyści i koszty rzecz jasna. Nie zmienia to jednak faktu, że przekładają się one na wyższą naturalną stopę bezrobocia. Podobnie jeśli rząd utrudnia proces zwalniania pracowników nawet wtedy, gdy jest to uzasadnione kondycją przedsiębiorstw, mogą one reagować w ten sposób, że nie zatrudniają więcej pracowników, niż jest to absolutnie konieczne – ponieważ ich ewentualne zwolnienie byłoby nie tylko kosztowne, ale też trudne i czasochłonne. Alternatywą dla tworzenia nowych miejsc pracy jest w takiej sytuacji nakłanianie już zatrudnionych do wydłużania czasu pracy, brania nadgodzin i przychodzenia do biura lub fabryki w weekendy. Wysokie płace minimalne mogą zniechęcać przedsiębiorstwa do zatrudniania pracowników młodych i o niskich kwalifikacjach. Regulacje z kolei mogą wspierać siłę i znaczenie związków zawodowych, jednak im silniejsze organizacje związkowe, tym większe prawdopodobieństwo, że płace zrzeszonych w nich pracowników będą wyższe. Trudno się dziwić, że w tej sytuacji pracodawcy unikają zatrudniania związkowców i za wszelką cenę ograniczają możliwości powstania związków zawodowych na terenie ich przedsiębiorstw. Kształtowanie się naturalnej stopy bezrobocia w ostatnich latach Podstawowe czynniki ekonomiczne, społeczne i polityczne, które determinują poziom naturalnej stopy bezrobocia, mogą zmieniać się w czasie, co oznacza, że również wysokość naturalnej stopy bezrobocia podlega wahaniom. Szacowana przez ekonomistów naturalna stopa bezrobocia w gospodarce amerykańskiej na początku XXI w. oscylowała wokół 5%, co oznacza spadek w stosunku do poprzednich dekad. Wśród najczęściej wymienianych determinantów takiej zmiany wskazywane są następujące elementy. Internet stał się narzędziem, które obniżyło koszty transakcyjne (przede wszystkim wyrażone w kategoriach czasu) zatrudnienia nowego pracownika. Znalezienie tak pracownika, jak i pracodawcy jest szybsze i łatwiejsze, pracownicy mogą na wyspecjalizowanych portalach (LinkedIn!) stosunkowo łatwo znaleźć setki ofert zatrudnienia na terenie całego kraju, a pracodawcy wręcz tysiące potencjalnych kandydatów. Obecna sytuacja nie ma żadnego porównania w stosunku do prób odszukania informacji o lokalnych pracodawcach, a następnie polowania na numery telefonów do ich działów kadr oraz żądania listy wakatów i formularzy zgłoszeniowych. Internet umożliwia również efektywną pracę zdalną, która ogranicza konieczność przeprowadzki. To dzięki globalnej sieci tysiące polskich informatyków może świadczyć swoje usługi na rzecz firm ulokowanych w Wielkiej Brytanii i Stanach Zjednoczonych. Rozwój wyspecjalizowanych przedsiębiorstw zajmujących się wynajmem pracowników tymczasowych również przyczynił się do zmniejszenia naturalnej stopy bezrobocia. Na początku lat 80. ubiegłego stulecia tylko ok. 0,5% wszystkich pracowników w USA znajdowało pracę za pośrednictwem agencji pracy tymczasowej. Na początku XXI w. liczba ta wzrosła do ponad 2%. Agencje pracy tymczasowej mogą zaproponować pracownikom zajęcie w okresie poszukiwania stałego zatrudnienia. Mogą również służyć jako punkty informacyjne, pomagając pracownikom w pozyskaniu informacji o ofertach pracy u określonych pracodawców oraz o możliwości zatrudnienia na okres próbny. Dla wielu pracowników praca tymczasowa jest krokiem w stronę stałej posady, o której mogliby się nie dowiedzieć lub której nie mogliby zdobyć w inny sposób. Szczególnie dla pracowników, którzy zmieniają nie tylko miejsce zamieszkania na terenie jakiegoś kraju, ale wręcz kraj, w którym żyją i pracują. Dlatego wzrost liczby miejsc pracy tymczasowej przekładał się i zapewne w dalszym ciągu będzie miał wpływ na zmniejszenie bezrobocia frykcyjnego. Starzenie się pokolenia powojennego wyżu demograficznego, generacji urodzonej pomiędzy latami 1946 i 1964. Kiedy roczniki baby boomers wchodziły na rynek pracy, czyli mniej więcej w połowie lat 70., odsetek młodych pracowników w gospodarce był stosunkowo wysoki, ale obecnie, wraz z przechodzeniem tych ludzi na emeryturę, maleje. Wcześniej zauważyliśmy, że wraz z wiekiem odsetek osób pozostających bez pracy spada, co jest czynnikiem zmniejszającym naturalną stopę bezrobocia w miarę starzenia się pokolenia wyżu demograficznego. Połączone działanie wszystkich trzech przywołanych wyżej elementów zmniejszyło naturalną stopę bezrobocia w latach 90. i na początku XXI w. w stosunku do poziomu z lat 80. Recesja z lat 2008–2009 sprawiła, że stopa bezrobocia w amerykańskiej gospodarce wzrosła pod koniec 2009 r. do 10%. Jednak nawet w tym czasie Congressional Budget Office prognozowało, że do 2015 r. stopa bezrobocia ponownie spadnie do ok. 5%, i prognozy te okazały się słuszne. W pierwszym kwartale 2020 r., czyli tuż przed wybuchem pandemii, bezrobocie w USA osiągnęło poziom zaledwie 3,5%. Po jej zakończeniu, tj. w pierwszym kwartale 2022 r. Congressional Budget Office szacowało naturalną stopę bezrobocia na ok. 4,6%. Naturalna stopa bezrobocia w Europie W porównaniu z innymi krajami uprzemysłowionymi naturalna stopa bezrobocia w gospodarce amerykańskiej wydaje się stosunkowo niska. Niezależnie od tego, jaka była kondycja gospodarek tak państw europejskich, jak i USA, od początku lat 70. XX w. bezrobocie w krajach Europy Zachodniej kształtowało się na poziomie ok. 10%. Bezrobocie w Europie było wyższe nie dlatego, że recesje okazywały się tu głębsze, ale raczej z uwagi na odmienne od amerykańskich uwarunkowania kształtujące popyt na pracę i podaż tejże. To przyczyniło się do ustalenia znacznie wyższej naturalnej stopy bezrobocia. W wielu krajach europejskich polityka socjalna wciąż opiera się na kombinacji hojnych świadczeń socjalnych i zasiłków dla bezrobotnych, jak również silnie zbiurokratyzowanego procesu nakładającego na przedsiębiorstwa dodatkowe obowiązki (i koszty) przy zatrudnianiu i zwalnianiu pracowników. Ponadto w wielu państwach obowiązują przepisy, które wymagają od firm, by oferowały pracownikom wielomiesięczne okresy wypowiedzenia w przypadku zwolnienia oraz zapewniały im znaczne odprawy lub finansowały pakiety szkoleń umożliwiające przekwalifikowanie. Okres wypowiedzenia w przypadku zwolnienia pracownika może wynosić ponad trzy miesiące w Hiszpanii, Niemczech, Danii i Belgii, a odprawa może sięgać nawet wartości rocznej pensji (lub więcej) w Austrii, Hiszpanii, Portugalii, Włoszech i Grecji. Takie przepisy z pewnością zniechęcają do zwalniania pracowników. Jednak jeśli firmy wiedzą, że trudno będzie im zwolnić pracowników, wstrzymują się również z ich zatrudnianiem. Dopiero w XXI w. w krajach europejskich doszło do zmiany tego podejścia, co skutkowało reformą systemu zabezpieczeń społecznych ograniczającą kwotę i okres pobierania zasiłków (reforma Hartz IV) w Niemczech czy strategią flexicurity na rynku pracy w krajach takich jak Dania (połączenie wysokich świadczeń socjalnych i wydatków na szkolenia finansowanych jednak przez państwo i elastycznego rynku pracy, ułatwiającego proces zwolnień). Wyższy w ostatnich latach poziom bezrobocia w wielu krajach europejskich, szczególnie tych położonych w basenie Morza Śródziemnego, utrzymujący się nawet w przypadku relatywnie silnego wzrostu gospodarczego, można przypisać temu, że prawa i regulacje sprzyjające wysokiej naturalnej stopie bezrobocia są w Europie wciąż powszechne. Przegląd możliwych sposobów ograniczania bezrobocia przez państwo Dokładny przegląd sposobów ograniczania przez państwo wysokiego bezrobocia będzie przedmiotem rozważań w kolejnych rozdziałach. Jednak już teraz warto przedstawić główne uwarunkowania wpływające na strategie walki z tym problemem. Tak jak to ma miejsce w przypadku każdej choroby, sposób leczenia zależy od postawienia właściwej diagnozy. W zależności od rodzaju bezrobocia państwo powinno zastosować odmienny zestaw narzędzi. Bezrobocie cykliczne jest problemem krótkotrwałym, spowodowanym tym, że gospodarka znajduje się w recesji. Preferowanym rozwiązaniem będzie więc unikanie lub minimalizowanie skali spadku poziomu PKB. W omówione zostaną sposoby pozwalające do pewnego stopnia zapobiec recesji lub przynajmniej skrócić jej okres i zmniejszyć skalę spadku produktu krajowego. Należy do nich np. stymulowanie siły nabywczej pozwalające stabilizować popyt na dobra i usługi wytwarzane przez przedsiębiorstwa, a tym samym również na siłę roboczą. Trudniej poradzić sobie z wysoką naturalną stopą bezrobocia. W gospodarce rynkowej firmy zatrudniają i zwalniają pracowników w sposób swobodny, a rządy nie mogą w zasadzie kontrolować tego procesu. Ponadto zmieniająca się struktura wiekowa populacji lub nieoczekiwane zmiany produktywności są także poza kontrolą rządu i przez pewien czas wpływają na wysokość naturalnej stopy bezrobocia. Jednak jak pokazuje przykład relatywnie wysokiej stopy bezrobocia w wielu krajach europejskich, polityka państwa może wpływać na wysokość naturalnej stopy bezrobocia, która będzie utrzymywać się nawet w okresie szybkiego wzrostu PKB. Gdy państwo chce wprowadzić narzędzia oddziałujące na zachowania pracowników lub pracodawców, powinno wpierw zbadać, jak wpłyną one na bodźce zachęcające do poszukiwania wolnych miejsc pracy i pracowników, a także na obieg informacji na rynku pracy. Czy wysokość wsparcia finansowego osób bezrobotnych nie demotywuje poszukujących nowego zatrudnienia? Czy wprowadzanie przepisów chroniących osoby pracujące przed zwolnieniem (np. w drodze wydłużania okresów wypowiedzenia) nie zniechęca pracodawców do tworzenia nowych miejsc pracy? W jaki sposób ochrona kobiet w ciąży i matek przekłada się na skłonność przedsiębiorstw do zatrudniania młodych kobiet? Podobnie władze różnego szczebla (krajowe lub lokalne) mogą być zmuszone do ponownej oceny przepisów utrudniających rozpoczynanie lub rozszerzanie działalności gospodarczej (zakaz handlu w niedzielę, zakaz sprzedaży alkoholu w nocy itd.), tak aby nie zniechęcały one do zatrudniania nowych pracowników lub nie zachęcały do zwolnień tych, którzy mają już pracę. Nie chodzi o to, żeby pozostawić rynek pracy lub wręcz gospodarkę jako taką poza jakąkolwiek regulacją. Rzecz w tym, żeby uchwalając nowe przepisy, decydenci wnikliwie rozważyli związane z nimi skutki. Bezrobocie i pandemia Covid-19 – skomplikowana historia Po dwóch latach od rozpoczęcia pandemii, czyli na przełomie pierwszego i drugiego kwartału 2022 r., stopa bezrobocia w USA znalazła się na dobrej drodze, aby ponownie spaść poniżej poziomu 4%. Była to świetna wiadomość dla pracowników, niemniej po lekturze niniejszego rozdziału wiemy już, że ocena kondycji rynku pracy na podstawie jednego tylko parametru jest bardzo ryzykowna. W tym samym czasie miliony osób pozostawały bowiem poza amerykańskim rynkiem pracy ze względu na sytuację zdrowotną społeczeństwa, a odsetek pracowników pozostających bez pracy przez okres dłuższy niż 26 tygodni był nadal dość wysoki. Przejście na pracę zdalną umożliwiło obniżenie stopy bezrobocia, zapewniając większą elastyczność pracownikom dbającym o swoje zdrowie i bezpieczeństwo. Nie pomogło to jednak kobietom, które nadal były obciążone nadmiernymi obowiązkami związanymi z prowadzeniem domu i w mniejszym stopniu skorzystały z uelastycznienia sposobów świadczenia pracy. W 2020 r. stopa bezrobocia wśród kobiet przekroczyła stopę bezrobocia wśród mężczyzn o ponad 1 punkt procentowy. Jednocześnie pandemia stałą się impulsem do lepszego zrozumienia tego, jak możemy wykorzystać informacje ze wszystkich obszarów rynku pracy do oceny kondycji gospodarki. Kluczowe zjawisko w tym kontekście to tzw. polaryzacja zatrudnienia. Określa się w ten sposób sytuację, w której rośnie ono przede wszystkim na stanowiskach opłacanych najwyżej i najniżej, a maleje tam, gdzie wymagane są średnie kwalifikacje. Polaryzacja zatrudnienia jest wynikiem postępu technologicznego w dziedzinie robotyki, informatyki oraz technologii informacyjnych i komunikacyjnych. Wynikiem tego postępu jest spadek popytu na pracę w zawodach, które opierają się na wykonywaniu zadań „rutynowych”, czyli opisanych procedurami. Jaimovich i Siu wykazali, że polaryzacja zatrudnienia była charakterystyczna dla okresów następujących w Stanach Zjednoczonych po ostatnich trzech recesjach, co wydaje się przyczyną obserwowanego obecnie bezzatrudnieniowego ożywienia gospodarczego. Key Concepts and Summary Naturalna stopa bezrobocia to odsetek bezrobotnych, który występuje nawet wtedy, gdy gospodarka jest w świetnej kondycji. Na naturalne bezrobocie składają się bezrobocie frykcyjne związane z naturalnymi dla każdej gospodarki decyzjami pracowników o zmianie miejsca pracy, jak również bezrobocie strukturalne, występujące wtedy, gdy popyt na określone umiejętności zawodowe w sposób trwały się zmniejsza. Wysokość naturalnej stopy bezrobocia znajduje się pod wpływem przepisów prawa określających warunki zatrudniania i zwalniania pracowników, których niepożądanym skutkiem ubocznym może być zniechęcanie przedsiębiorstw do tworzenia nowych miejsc pracy. Self-Check Questions Czy wzrost współczynnika aktywności zawodowej kobiet może być traktowany jako przyczyna wzrostu bezrobocia cyklicznego, czy raczej naturalnego? Odpowiedź uzasadnij. Wzrost podaży pracy był społecznym trendem demograficznym, a nie wynikiem recesji w gospodarce. Dlatego też aktywizacja zawodowa kobiet przekładała się na poziom naturalnej stopy bezrobocia. Wielu studentów kończy studia, zanim znajdzie pracę. Do jakiej kategorii bezrobotnych zaliczani są absolwenci, którzy zaczynają poszukiwać pracy? Nowe osoby wchodzące na rynek pracy (czy to po studiach, czy też nie) zaliczane są do kategorii bezrobotnych frykcyjnych, dopóki nie znajdą pracy. Review Questions Jaki termin opisuje poziom bezrobocia występującego nawet wtedy, gdy gospodarka znajduje się w świetnej kondycji? Jakie czynniki determinują poziom naturalnej stopy bezrobocia w danej gospodarce? Jak myślisz, czy naturalna stopa bezrobocia w różnych krajach jest mniej więcej taka sama? Czy twoim zdaniem naturalna stopa bezrobocia w konkretnym kraju pozostanie taka sama w długim okresie, powiedzmy, kilkudziesięciu lat? Co to jest bezrobocie frykcyjne? Podaj jego przykłady. Co to jest bezrobocie strukturalne? Podaj jego przykłady. Czy po kilku latach wzrostu gospodarczego oczekujesz, że bezrobocie w gospodarce będzie miało głównie charakter cykliczny, czy też będzie raczej wynikało z czynników związanych z bezrobociem naturalnym? Odpowiedź uzasadnij. Jaki typ bezrobocia (cykliczne, frykcyjne czy strukturalne) dotyczy każdego z poniższych przypadków: Architekci krajobrazu zwalniani w czasie recesji w odpowiedzi na spadek liczby budowanych mieszkań. Górnicy zwolnieni z pracy z powodu regulacji ograniczających wykorzystanie energetyki węglowej. Analityk finansowy, który rzuca pracę w Łodzi i szuka podobnej w Poznaniu. Drukarze zwolnieni z pracy z powodu spadku popytu na katalogi i ulotki. Pracownicy fabryk w Stanach Zjednoczonych tracący pracę, bo ich zakłady są zamykane z powodu przenoszenia produkcji do Meksyku i Chin. Critical Thinking Questions W jakiej sytuacji spadek bezrobocia byłby zjawiskiem niekorzystnym dla gospodarki? W jakiej sytuacji wzrost stopy bezrobocia byłby dla gospodarki korzystny? Gdy pokolenie wyżu demograficznego przejdzie na emeryturę, stosunek liczby emerytów do liczby pracowników wyraźnie wzrośnie. Jak wpłynie to na wydatki ZUS? A jak na poziom życia przeciętnego Polaka? W ciągu ostatnich kilku dekad w wielu krajach stopa bezrobocia była wyższa niż w Stanach Zjednoczonych. Czy główną przyczyną tej długoterminowej różnicy jest raczej bezrobocie cykliczne, czy naturalne? Przedstaw krótko swój sposób rozumowania. Czy dążenie do zerowego bezrobocia jest pożądane? Przedstaw argumenty za i przeciw takiemu działaniu. Czy wyeliminowanie naturalnego bezrobocia byłoby korzystne? Przedstaw swój sposób rozumowania. Wskazówka : Zastanów się, jak wyglądałaby gospodarka i jakie należałoby w niej wprowadzić rozwiązania, aby uzyskać zerową stopę bezrobocia naturalnego. Stopa bezrobocia w USA wzrosła z 4,6% w lipcu roku 2001 do 5,9% w czerwcu 2002 r. Czy uważasz, że powodem tego skoku było raczej bezrobocie cykliczne, czy też zmiana naturalnej stopy bezrobocia? Odpowiedź uzasadnij. Problems Jak twoim zdaniem powinny się zmieniać płace i wielkość zatrudnienia w miarę przechodzenia na emeryturę pokolenia wyżu demograficznego? Czy możesz swoją odpowiedź zilustrować na wykresie? References Bureau of Labor Statistics. Labor Force Statistics from the Current Population Survey. Accessed March 6, 2015 http://data.bls.gov/timeseries/LNS14000000. Cappelli, P. (20 June 2012). “Why Good People Can’t Get Jobs: Chasing After the Purple Squirrel.” http://knowledge.wharton.upenn.edu/article.cfm?articleid=3027. bezrobocie frykcyjne (ang. frictional unemployment ) bezrobocie związane z naturalnym procesem zmiany pracy przez pracowników bezrobocie przejściowe zob. bezrobocie frykcyjne bezrobocie krótkotrwałe zob. bezrobocie frykcyjne naturalna stopa bezrobocia (ang. natural rate of unemployment ) bezrobocie, które występuje nawet w gospodarce pozostającej w doskonałej kondycji, jego istnienie jest uwarunkowane kombinacją czynników ekonomicznych, społecznych i politycznych bezrobocie strukturalne (ang. structural unemployment ) bezrobocie, które jest konsekwencją niedopasowania kwalifikacji pracowników i potrzeb pracodawców lub miejsc zgłaszania popytu na pracę i występowania jej podaży", "section": "Przyczyny bezrobocia w długim okresie", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Bilionerzy z Zimbabwe Wartość nominalna tego banknotu w momencie emisji w 2008 r. wynosiła 100 mld dolarów zimbabweńskich. Nie jest to jednak najwyższy nominał, w kraju tym bowiem emitowano nawet banknoty o wartości nominalnej 100 bln dol. (to jedynka i aż 14 zer). Liczba cyfr na tych kawałkach papieru, mimo że imponująca, nie szła jednak w parze z realną wartością. W pewnym momencie jeden dolar amerykański kosztował 621 984 228 dol. Zimbabwe. Ostatecznie, co było już dowodem całkowitego upadku tej gospodarki, kraj zrezygnował z własnej waluty i pozwolił ludziom używać w rozliczeniach walut obcych. (Źródło: modyfikacja pracy Samanthy Marx/Flickr CC BY 2.0). 550 mln dol. za bochenek chleba? Osoby urodzone po roku 1990 w Polsce, Stanach Zjednoczonych lub innym kraju rozwiniętym po raz pierwszy w świadomy sposób doświadczają relatywnie szybkiego tempa wzrostu cen dóbr i usług konsumpcyjnych oraz wysokich stóp inflacji, z którymi mamy do czynienia od połowy 2022 r. Inflacja to termin, jakim ekonomiści opisują sytuację, gdy ceny większości dóbr i usług w danej gospodarce rosną (dokładniej – rośnie przeciętna cena wszystkich dóbr i usług, co w gruncie rzeczy oznacza to samo). Hiperinflacja z kolei to sytuacja, w której stopa inflacji jest ekstremalnie wysoka. Dynamika zmian cen w warunkach hiperinflacji może sięgać nawet kilkudziesięciu tysięcy procent rocznie. Hiperinflacja pojawiła się po I wojnie światowej m.in. w Niemczech i w Polsce, a ostatnio w Zimbabwe w latach 2008–2009. W listopadzie 2008 r. Zimbabwe zanotowało inflację na poziomie 79,6 mld procent. Dla porównania, w 2014 r. w Stanach Zjednoczonych roczna stopa inflacji wynosiła 1,6%, a w Polsce w ciągu tego roku ceny – praktycznie rzecz biorąc – w ogóle się nie zmieniły. Stopa inflacji w Zimbabwe była tak wysoka, że trudno ją sobie nawet wyobrazić. Spróbujmy zatem osadzić ją w pewnym kontekście. Otóż dzienny wskaźnik wzrostu cen wynosił 98%. Oznacza to, że z dnia na dzień ceny się podwajały. Jak wygląda życie w gospodarce dotkniętej hiperinflacją? Większość z nas na szczęście nigdy nie doświadczyła i nie doświadczy tego zjawiska (w Polsce już roczna inflacja na poziomie dwucyfrowym jest wyraźnie zauważalna). Tamtejszy rząd dostosowywał ceny towarów wyrażone w dolarach zimbabweńskich kilka razy dziennie. Nie było chętnych do oszczędzania w tej walucie, ponieważ traciła ona wartość z minuty na minutę. Ludzie spędzali mnóstwo czasu na pozbywaniu się zdobytej wcześniej gotówki, kupując jedzenie i inne towary, które tylko mogli znaleźć, niezależnie od tego, czy naprawdę ich potrzebowali. Gromadzenie jakichkolwiek rzeczy było lepsze niż przechowywanie papierków z astronomiczną liczbą zer. W pewnym momencie bochenek chleba kosztował 550 mln dol. zimbabweńskich. Pensje nauczycieli sięgały bilionów dol. miesięcznie, co jednak odpowiadało zaledwie 1 dol. amerykańskiemu dziennie. W szczytowym okresie za 1 dol. amerykańskiego trzeba było zapłacić 621 984 228 dol. zimbabweńskich. Pracodawcy z sektora publicznego nie mieli pieniędzy na wypłatę pensji swoim pracownikom, więc zamiast podnosić podatki, coraz szybciej drukowano pieniądze umożliwiające wypłatę zobowiązań. Rząd, próbując zahamować rosnące ceny dóbr, wprowadził kontrolę cen w prywatnych sklepach, co przyniosło niedobory i powstanie czarnego rynku. W 2009 r. Zimbabwe zrezygnowało z własnej waluty i pozwoliło ludziom używać w rozliczeniach zagranicznych środków płatniczych. Jak to się stało? Jak to możliwe, że zarówno państwo, jak i gospodarka przestały funkcjonować nawet na bardzo podstawowym poziomie? Zanim spróbujemy odpowiedzieć na tak postawione pytanie, przyjrzyjmy się najpierw samemu zjawisku inflacji. Wprowadzenie do inflacji Dzięki lekturze tego rozdziału dowiesz się: W jaki sposób można mierzyć inflację Czym są koszty utrzymania i jak zmierzyć zmianę tego wskaźnika Jaka jest inflacja w Stanach Zjednoczonych i innych krajach świata Jakie są różnice zdań w kwestii inflacji występujące pomiędzy ekonomistami Jakie są ograniczenia podejścia polegającego na indeksowaniu różnych wskaźników ekonomicznych stopą inflacji Inflacja (ang. inflation ) to miara tempa wzrostu średniego poziomu cen w całej gospodarce. Termin ten nie odnosi się do zmiany cen względnych, które wpływają na relację kosztów zakupu różnych dóbr lub usług. Jeśli cena lodówek zmalała, a zmywarki podrożały (czyli za dwie zmywarki można teraz kupić trzy lodówki, a nie jak dotychczas tylko dwie), to samo w sobie nie oznacza jeszcze pojawienia się inflacji. Podobnie jak jednorazowy wzrost cen konkretnego dobra, choćby w wyniku wzrostu podatków nałożonych na jego zakup (np. wzrost akcyzy na papierosy). Inflacja oznacza natomiast, że rosną ceny większości (lub nawet wszystkich) dóbr wytwarzanych w gospodarce. W mikroekonomicznym modelu podaży i popytu analizowany jest jednorazowy wzrost cen, w wyniku którego nastąpiło przejście z jednego stanu równowagi do kolejnego. Natomiast makroekonomiczny termin inflacja odnosi się do tempa ciągłego wzrostu średniego poziomu cen na większości lub niemal wszystkich rynkach w gospodarce. W momencie, w którym średnia cena dóbr i usług przestaje rosnąć, zjawisko inflacji znika. Jeśli w dalszym ciągu nie masz pewności, że rozumiesz, czym jest inflacja, nie przejmuj się. Lektura niniejszego rozdziału na pewno wiele ci wyjaśni. Poza wszystkim inflacja (jej przyczyny, koszty, sposoby ograniczania) jest tym zjawiskiem ekonomicznym, które wśród zawodowych ekonomistów budzi najwięcej kontrowersji. Niniejszy rozdział rozpoczyna się od objaśnienia, w jaki sposób połączyć ceny poszczególnych towarów oferowanych do sprzedaży w danym kraju (czyli zbudować miarę wszystkich cen w gospodarce). To niezbędny krok, aby sprawdzić, w jakim tempie ten średni poziom cen się zmienia, czyli policzyć inflację. Następnie omówione zostaną zarówno historyczne, jak i współczesne doświadczenia z inflacją, tak w Stanach Zjednoczonych, jak i w innych krajach na świecie. W poprzednich rozdziałach podręcznika zdążyły się już pojawić uwagi, że przedstawione w nich wartości zostały skorygowane o inflację. W tym rozdziale nadszedł czas, aby pokazać, jak wykorzystać statystyki inflacji do urealnienia (czyli właśnie skorygowania o inflację) wartości różnych zmiennych ekonomicznych. Pozwoli to m.in. ocenić, jaka część wzrostu PKB w różnych okresach jest konsekwencją większej produkcji dóbr i usług (wzrost realny), a jaka wynika wyłącznie ze wzrostu cen tych dóbr i usług. Inflacja niesie ze sobą konsekwencje dla wszystkich podmiotów ekonomicznych w gospodarce: zwykłych ludzi i przedsiębiorstw, kredytodawców i kredytobiorców, pracowników najemnych, podatników i konsumentów. Rozdział wieńczy zatem dyskusja na temat wybranych niedoskonałości i ograniczeń wbudowanych w statystyki inflacji i zapowiedź analizy znajdujących się pod kontrolą państwa narzędzi umożliwiających ograniczanie inflacji, które zostaną omówione w kolejnych rozdziałach.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Pomiar inflacji Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczyć roczną stopę inflacji Wyjaśniać, czym jest wskaźnik i okres bazowy oraz jak wykorzystywać te pojęcia do obliczeń całkowitej rocznej kwoty wydatków na zakup dóbr i usług Obliczyć stopę inflacji przy użyciu wskaźnika zmiany poziomu wydatków W czasie rozmów o inflacji, zarówno tej obecnej, jak i inflacji z końca lat 80. ubiegłego wieku, najczęściej pojawia się konkluzja, zgodnie z którą „kiedyś wszystko kosztowało mniej”. Jeszcze w kwietniu 2020 r. litr paliwa (dokładniej etyliny 95) można było nabyć za mniej niż 4 zł, a normalny bilet do kina za niecałe 20 zł (i to nie uwzględniając promocji). W Polsce proste, długookresowe porównania cen nie są możliwe. Po pierwsze dlatego, że w połowie lat 90. XX w. doszło do denominacji (czyli przeliczenia dotychczasowych cen na nowe w stosunku 10 000 : 1), ale także z uwagi na okres bardzo wysokiej inflacji z przełomu lat 80. i 90. XX w. Zresztą ceny właściwie wszystkich artykułów sprzedawanych w naszym kraju przed rozpoczęciem procesu transformacji nie były ustalane w drodze interakcji popytu i podaży, tylko znajdowały się pod kontrolą państwa. Musimy zatem posłużyć się danymi dla gospodarki amerykańskiej. porównuje poziom cen niektórych dóbr codziennego użytku z roku 1970 i 2021. Oczywiście w każdym kraju istnieją – niekiedy nawet bardzo duże – różnice w cenach podstawowych produktów. Łatwo się o tym przekonać w czasie podróży po Polsce, kiedy obserwuje się ceny paliw na stacjach benzynowych (różnice sięgają nawet kilkudziesięciu groszy na litrze). Nie inaczej jest w USA, w związku z tym przyjmijmy, że ceny przedstawione w są uśrednione dla całych Stanów Zjednoczonych. Po drugie, w ciągu ostatnich 50 lat konkretne produkty bardzo się zmieniły. Nowy samochód w 2021 r., wyposażony w urządzenia ograniczające emisję zanieczyszczeń do atmosfery, wyrafinowane systemy bezpieczeństwa i cyfrowe technologie sterowania silnikiem oraz umożliwiające komunikację internetową, jest nieporównanie bardziej zaawansowaną technologicznie i oszczędną (biorąc pod uwagę zużycie paliwa) maszyną niż typowe auto z lat 70. XX w. Dla jasności obrazu pomińmy jednak te szczegóły i skupmy się na podstawowej potrzebie, jaką zaspokaja każde dobro lub usługa, a tą w przypadku samochodu jest możliwość sprawnego przemieszczania się z jednego miejsca do drugiego. Patrząc na skalę wzrostu cen na przestrzeni ostatnich 50 lat w USA, musimy pamiętać, że ceny wołowiny, masła, paliwa i pozostałych artykułów zwiększały się ze względu na czynniki oddziałujące w skali całej gospodarki, a nie specyficzne dla któregokolwiek z cząstkowych rynków. Jeśli na początku 2023 r. inflacja w Polsce osiągnęła poziom ponad 18%, to ceny właściwie wszystkich dóbr i usług będą rosły, niezależnie od tego, jak kształtują się popyt i podaż na konkretnym rynku (tempo wzrostu cen poszczególnych dóbr i usług jest oczywiście zróżnicowane, podobnie jak zróżnicowane jest tempo wzrostu cen produktów wskazanych w poniższej tabeli). Na tym przecież polega fenomen inflacji, zjawisko to oznacza wzrost poziomu cen wszystkich (lub prawie wszystkich) towarów w gospodarce. W Stanach Zjednoczonych ze względu na inflację między rokiem 1972 a 2021 siła nabywcza 1 dolara z 2021 r. była mniej więcej taka sama, jak siła nabywcza 5 centów w roku 1972. Porównanie cen w Stanach Zjednoczonych, lata 1970 i 2021 (kwoty w dolarach) Artykuły 1970 2021 Funt (0,41 kg) mielonej wołowiny 0,66 5,96 Funt (0,41 kg) masła 0,87 3,50 Bilet do kina 1,55 13,70 Cena sprzedaży nowego domu (mediana) 22 000 408 800 Nowy samochód 3000 42 000 Galon (3,79 l) benzyny 0,36 3,32 Średnie płaca robotnika (na godzinę) 3,23 30,11 PKB per capita 5069 63 544 (Źródło: Spójrz na Bibliografię na końcu książki). Co więcej, inflacja wpływa nie tylko na ceny dóbr i usług, lecz również na płace i poziom dochodów. W przedostatnim wierszu wskazuje, że średnia płaca godzinowa amerykańskiego robotnika między rokiem 1970 a 2021 wzrosła prawie dziesięciokrotnie. Przeciętny pracownik zakładu produkcyjnego (fabryki) w 2021 r. jest wprawdzie lepiej wykształcony i bardziej wydajny niż przeciętny pracownik w roku 1970, ale przecież nie aż dziesięciokrotnie bardziej wydajny. PKB per capita (ang. GDP per capita ) znacznie wzrósł w latach 1970–2021, jednak czy przeciętny Amerykanin w ciągu zaledwie 51 lat stał się naprawdę ponad 12-krotnie lepiej sytuowany? To mało prawdopodobne. W nowoczesnej gospodarce wytwarzane są miliony dóbr i usług, których ceny wraz z fluktuacjami podaży i popytu nieustannie się zmieniają. Jak zatem uwzględnić te wszystkie zmiany w jednej wartości, którą określimy mianem stopy inflacji? Odpowiedź jest dość prosta i w sumie standardowa dla wielu podobnych problemów ekonomicznych: należy połączyć ceny różnych produktów w jeden uśredniony wskaźnik, który nazwiemy poziomem cen. Stopa inflacji to po prostu tempo zmian tego uśrednionego wskaźnika. Jedną sprawą jest sama koncepcja poziomu cen, którą stosunkowo łatwo zrozumieć, inną zaś praktyczny sposób obliczenia tego wskaźnika. Spróbujmy go zatem oszacować. Koszyk dóbr Aby obliczyć poziom cen, ekonomiści zaczynają od pojęcia koszyka dóbr i usług ( koszyka wydatków konsumenta ) (ang. basket of goods and services ), czyli zestawu produktów, które w konkretnej ilości lub liczbie nabywane są przez konsumentów w danym kraju. Następnym krokiem jest sprawdzenie, jak ceny tych dóbr i usług zmieniają się w czasie. Zastanawiając się, w jaki sposób połączyć ceny poszczególnych towarów w uśredniony wskaźnik, wiele osób uznaje, że wystarczy po prostu obliczyć średnią arytmetyczną cen wszystkich nabywanych produktów. Byłby to jednak błąd, ponieważ różne dobra i usługi mają różne znaczenie w koszyku wydatków konsumenta. Niektórych po prostu kupujemy więcej, a innych mniej. Zmiany cen towarów, na które ludzie wydają większą część swoich dochodów, będą miały większe znaczenie niż zmiany cen dóbr i usług, na które przeznaczana jest tylko niewielka ich część. Na przykład wzrost o 10% stawki czynszu za wynajem mieszkania w Polsce ma większe znaczenie dla większości ludzi niż to, że cena marchewki wzrośnie o 10%. Dzieje się tak dlatego, że przeciętna kwota czynszu za wynajem mieszkania na rynku wyniosła w Polsce w 2021 r. ponad 3600 zł, zaś na owoce i warzywa czteroosobowe gospodarstwo domowe wydawało średnio ok. 70 zł miesięcznie. Aby skonstruować uśrednioną miarę poziomu cen w gospodarce, ekonomiści obliczają średnią ważoną cen wszystkich pozycji w koszyku dóbr, przy czym wagi są oparte na rzeczywistym udziale wydatków na konkretne dobro w całości wydatków konsumentów. Poniższa poprowadzi cię przez etapy obliczania rocznej stopy inflacji na podstawie koszyka dóbr i usług zawierającego tylko trzy produkty. Obliczanie rocznej stopy inflacji Rozważmy prosty koszyk dóbr zawierający tylko trzy pozycje, przedstawiony w . Powiedzmy, że w danym miesiącu student wydaje pieniądze na 20 hamburgerów, jedno opakowanie tabletek przeciwbólowych i pięć filmów (pozostałe dni spędza w domu na utrzymaniu rodziców). W tabeli podano poziom cen tych dóbr w czterech kolejnych latach. Ceny niektórych towarów w koszyku wydatków naszego umownego konsumenta mogą rosnąć, podczas gdy inne spadają. W tym przykładzie cena tabletek przeciwbólowych nie zmienia się w ciągu czterech lat, natomiast ceny filmów rosną, a hamburgery zarówno drożeją, jak i tanieją. Tabela przedstawia koszt zakupu danego koszyka dóbr po cenach obowiązujących w danym roku. Studencki koszyk dóbr (kwoty w umownych jednostkach pieniężnych) Hamburger Tabletki przeciwbólowe Filmy Razem Stopa inflacji Liczba nabywanych dóbr 20 1 opakowanie 5 - - (Rok 1) Ceny 3,0 10,0 6,0 - - (Rok 1) Kwota wydatków 60,0 10,0 30,0 100,0 - (Rok 2) Ceny 3,2 10,0 6,5 - - (Rok 2) Kwota wydatków 64,0 10,0 32,5 106,5 6,5% (Rok 3) Ceny 3,1 10,0 7,0 - - (Rok 3) Kwota wydatków 62,0 10,0 35,0 107,0 0,5% (Rok 4) Ceny 3,5 10,0 7,5 - - (Rok 4) Kwota wydatków 70,0 10,0 37,5 117,5 9,8% Aby obliczyć roczną stopę inflacji w tym przykładzie: Krok 1. Znajdź procentową zmianę kosztu zakupu całego koszyka dóbr między dwoma punktami w czasie. Ogólne równanie na zmiany procentowe między dwoma latami, czy to w kontekście inflacji, czy w jakichkolwiek innych obliczeniach, to: Poziom w roku badanym − Poziom w roku poprzednim Poziom w roku poprzednim = Zmiana procentowa Krok 2. Między rokiem pierwszym a drugim całkowity koszt zakupu koszyka dóbr z wzrasta ze 100 do 106,50 jednostek pieniężnych. Zatem procentowa zmiana kosztu nabycia dóbr w zdefiniowanym koszyku w tym okresie, czyli stopa inflacji, wynosi: 106,50 − 100 100,0 = 0,065 = 6,5% Krok 3. Między rokiem drugim a trzecim całkowity kosztu zakupu studenckiego koszyka wzrasta ze 106,50 do 107 jednostek pieniężnych. Zatem stopa inflacji w tym okresie, ponownie obliczona za pomocą wzoru na zmianę procentową, wynosi w przybliżeniu: 107 − 106,50 106,50 = 0,0047 = 0,47% Krok 4. Pomiędzy rokiem trzecim a czwartym całkowity koszt zakupu dóbr z koszyka wzrasta ze 107 do 117,50 jednostek pieniężnych. Stopa inflacji wynosi zatem: 117,50 − 107 107 = 0,098 = 9,8% Powyższe obliczenia zmiany całkowitego kosztu zakupu towarów umieszczonych w hipotetycznym koszyku naszego studenta uwzględniają udział wydatków na każde dobro. Hamburgery są w tym przykładzie dobrem o cenie najniższej, a tabletki przeciwbólowe - najwyższej, ale jednocześnie student przeznacza na hamburgery ponad połowę całej kwoty swoich wydatków. Zmiany ceny hamburgerów ze względu na ten fakt będą miały znacznie większy wpływ na poziom jego wydatków niż zmiany ceny filmów czy stała cena opakowania tabletek przeciwbólowych. Wskaźniki zmiany poziomu wydatków Szacowanie stopy inflacji na podstawie cen dóbr wchodzących w skład koszyka konsumenta może być dość trudne i powodować powstanie niedokładności. Nawet w uproszczonym przykładzie z , gdzie mamy tylko trzy produkty o nierealistycznych cenach, stopa inflacji w roku trzecim i czwartym podana jest w zaokrągleniu. Gdyby lista produktów była znacznie dłuższa, a my użylibyśmy prawdziwych cen (które sprzedawcy uwielbiają ustalać na poziomie np. 9,99), to całkowita kwota wydana w ciągu roku mogłaby osiągnąć wartość 173 147,51 lub 275 654,92 jednostek pieniężnych. Aby uprościć obliczanie i interpretowanie inflacji dla bardziej dla bardziej realnych i złożonych koszyków dóbr, ekonomiści zazwyczaj podają poziom cen w każdym okresie w postaci wskaźnika (ang. index number ), a nie jako kwotę w jednostkach pieniężnych. Następnie te wskaźniki stworzone dla konkretnych produktów łączą w bardziej kompleksowe narzędzia, dzięki którym obliczanie stopy inflacji staje się prostsze. Aby policzyć wskaźnik (niezależnie od tego, zmianę którego z parametrów ekonomicznych będzie on ilustrował), należy w arbitralny sposób wybrać rok bazowy ( okres bazowy ) (ang. base year ) lub inny punkt w czasie, w stosunku do którego zmiany będą odnoszone. Dla roku bazowego wartość indeksu zawsze wynosi 100. Brzmi to być może nieco zawile, ale wbrew pozorom obliczenia nie są zbyt trudne. Powróćmy do naszego koszyka wydatków hipotetycznego studenta. W arbitralny sposób rok trzeci przyjmijmy za bazowy. Ponieważ całkowita kwota wydatków w tym okresie wynosi 107 dol., dzielimy tę kwotę przez siebie, czyli odnosimy wartość parametru w roku badanym do poziomu z roku bazowego (107 dol.). Jak widać, wartość wskaźnika, zgodnie z zapowiedzią, wynosi 1, czyli 100%. Następnie aby obliczyć wartości wskaźnika wydatków w innych latach, ponownie dzielimy kwoty wydatków w danym okresie wyrażone w dolarach przez poziom wydatków z roku bazowego (czyli trzeciego). Zauważmy, że wskaźniki nie mają jednostek i nie są denominowane w jednostkach pieniężnych, te się bowiem upraszczają. pokazuje sposób obliczenia wskaźników zmiany poziomu wydatków dla wszystkich czterech lat na podstawie danych umieszczonych w . Jeszcze raz należy podkreślić, że wskaźniki te pokazują zmianę poziomu wydatków w stosunku do roku bazowego, jakim jest rok trzeci. Niemniej możemy je wykorzystać do obliczenia stopy inflacji w konkretnym roku w taki sam sposób, w jaki wykorzystywaliśmy kwoty wydatków wyrażone w dolarach. A zatem roczna stopa inflacji w roku drugim wynosiłaby: 99,5 − 93,4 93,4 = 0,065 = 6,5% Jak widać, jest to ta sama wartość, którą uzyskaliśmy, mierząc inflację w oparciu o koszt nabycia hipotetycznego koszyka dóbr wyrażony w dolarach (jednostkach pieniężnych). Obliczanie wskaźników zmiany poziomu wydatków w stosunku do roku trzeciego, który jest traktowany jako bazowy Okres Wydatki ogółem (w jedn. pieniężnych) Wskaźnik zmiany poziomu wydatków (Rok 3 = 100) Stopa inflacji w danym roku (w stosunku do roku poprzedniego) 1 100 100 1,07 = 93,4 2 106,5 106,50 1,07 = 99,5 99,5 − 93,4 93,4 = 0,065 = 6,5% 3 107 107 1,07 = 100,0 100 − 99,5 99,5 = 0,005 = 0,5% 4 117,5 117,50 1,07 = 109,8 109,8 − 100 100 = 0,098 = 9,8% Jeśli stopa inflacji jest taka sama bez względu na to, czy obliczamy ją w oparciu o wartości bezwzględne, czy też wskaźniki, to po co komplikować sobie życie ich liczeniem? Zwróćmy uwagę na to, że wskaźniki pozwalają na stosunkowo łatwe oszacowanie przybliżonej stopy inflacji. Jeśli wartość wskaźnika zmiany poziomu wydatków w roku pierwszym odniesiona do roku trzeciego wynosi 93,4, zaś wartość analogicznego wskaźnika w roku drugim kształtuje się na poziomie 99,5, to łatwo policzyć, że stopa inflacji w roku drugim będzie się kształtować na poziomie ok. 6% (w rzeczywistości jest to oczywiście 6,5%). Dla kontrastu wyobraźmy sobie, że kwota wydatków w dwóch kolejnych latach wynosi odpowiednio 19 493,62 i 20 760,71 jednostek pieniężnych. Konia z rzędem temu, kto od razu zorientuje się, że różnica między tymi dwiema kwotami podzielona przez kwotę z okresu wcześniejszego wynosi ok. 6,5%. Te dwie liczby pozostają ze sobą w dokładnie tej samej proporcji jak 93,4 i 99,5. Jeśli zastanawiasz się teraz, dlaczego proste odejmowanie wartości wskaźników dostarcza nieprecyzyjnych danych na temat stopy inflacji, przeczytaj . Dlaczego nie wystarczy odjąć wartości wskaźników cen? Na początek ostrzeżenie: gdy wartość wskaźnika wydatków zmienia się z poziomu, powiedzmy, 107 do 110, stopa inflacji w okresie, dla którego policzono te wskaźniki, nie wynosi dokładnie 3%. Pamiętaj, że stopa inflacji nie jest obliczana przez odejmowanie wartości wskaźników, ale przez obliczenie zmiany procentowej. Stopę inflacji dla wskazanego okresu precyzyjnie obliczymy za pomocą następującej formuły matematycznej: (110 - 107) / 107 = 0,028 = 2,8%. Gdy wartość wskaźnika dla okresu, który traktujemy jako punkt odniesienia w obliczaniu stopy inflacji, jest zbliżona do 100, odejmowanie od siebie wartości wskaźników nie jest zbyt dużym uproszczeniem. Jednak jeśli zależy nam na precyzyjnym określeniu stopy inflacji (nawet do dziesiętnych wartości procenta), odejmowanie nie dostarczy właściwej odpowiedzi. Warto zapamiętać dwie istotne cechy wskaźników. Po pierwsze, nie są one wyrażone w jednostkach pieniężnych ani żadnych innych. Możemy je wykorzystać do obliczania stopy inflacji, natomiast wskaźniki nie są wyrażane w procentach. Odzwierciedlają one po prostu proporcję pomiędzy wartością danej zmiennej w okresie, który badamy, i okresie traktowanym jako bazowy. W ten sposób łatwo się zorientować, jaka jest skala zmiany wartości badanego parametru pomiędzy rokiem, który nas interesuje, i rokiem bazowym. Po drugie, wybór roku bazowego (czy też innego punktu w czasie) dla obliczania wartości wskaźnika (przypomnijmy, że ta wartość w roku bazowym zawsze wynosi 100) jest arbitralny. Okres bazowy wybieramy jako punkt wyjścia, od którego zaczynamy śledzić zmiany interesującego nas parametru (w tym przypadku cen). W oficjalnych statystykach dotyczących inflacji dość powszechne jest podejście, w którym określony rok jest traktowany jako bazowy przez kilka lat, a następnie dokonywana jest jego aktualizacja, tak aby punkt odniesienia nie był zbyt odległy od teraźniejszości. Jednak niezależnie od tego, który rok uznamy za bazowy, obliczając stopę inflacji w konkretnym okresie według wzoru zaprezentowanego powyżej, dostaniemy dokładnie tę samą wartość. Jeśli nie wierzysz, przeprowadź obliczenia stóp inflacji dla naszego hipotetycznego studenta, wyznaczając najpierw wskaźniki wzrostu jego wydatków, w taki jednak sposób, aby to rok pierwszy był rokiem bazowym. Wartość wskaźników będzie wówczas dokładnie równa kwocie wydatków wyrażonej w jednostkach pieniężnych, a stopa inflacji w roku drugim ponownie wyniesie 6,5%. Teraz, gdy rozumiemy już, w jaki sposób można wykorzystać wskaźniki do obliczania stóp inflacji, przejdziemy do pomiaru kosztów utrzymania. Obejrzyj to wideo z kreskówki Kacze opowieści , aby zobaczyć żartobliwą lekcję na temat inflacji. Key Concepts and Summary Ekonomiści mierzą inflację, czyli tempo wzrostu poziomu cen w gospodarce, używając koszyka dóbr i usług i obliczając, w jaki sposób całkowity koszt zakupu towarów z tego koszyka zmienia się w czasie. Poziom cen często wyrażany jest w formie wskaźnika, wyznaczanego jako relacja (iloraz) kosztu zakupu dóbr i usług składających się na koszyk zakupów konsumenta w okresie badanym i arbitralnie ustalonym okresie bazowym, pomnożona przez 100. Wartość wskaźnika w okresie bazowym zawsze wynosi 100. Stopę inflacji mierzymy jako procentową zmianę wyrażonych w jednostkach pieniężnych poziomów cen lub indeksów pomiędzy dwoma punktami w czasie. Self-Check Questions przedstawia ceny oraz ilość owoców, które typowy student kupował w latach 2001–2004. Oblicz łączną kwotę wydatków na taki koszyk zakupów. Ceny wyrażone są w umownych jednostkach pieniężnych (j.p.). Pozycja Ilość (2001) Cena (2001) Kwota wydatków (2002) Cena (2002) Kwota wydatków (2003) Cena (2003) Kwota wydatków (2004) Cena (2004) Kwota wydatków Jabłka (sztuki) 10 0,50 0,75 0,85 0,88 Banany (sztuki) 12 0,20 0,25 0,25 0,29 Winogrona (kilogramy) 2 0,65 0,70 0,90 0,95 Maliny (opakowania) 1 2,00 1,90 2,05 2,13 Razem Aby obliczyć wydatki na każdy rodzaj owoców w każdym roku, należy pomnożyć ilość zakupionych owoców przez ich cenę. 10 jabłek × 0,50 j.p. za sztukę = 5,00 j.p. wydanych na jabłka w 2001 r. 12 bananów × 0,20 j.p. za sztukę = 2,40 j.p. wydanych na banany w 2001 r. 2 kg winogron po 0,65 j.p. za kg = 1,30 j.p. wydanych na winogrona w 2001 r. 1 opakowanie malin za 2 j.p. = 2,00 j.p. wydane na maliny w 2001 r. Po zsumowaniu wydatków na każdy rodzaj owoców otrzymujemy łączne wydatki na zakup całego koszyka, które wynoszą 5,00 + 2,40 + 1,30 + 2,00 = 10,70 j.p. Ich poziom w każdym z czterech lat przedstawia poniższa tabela (wartość w j.p.): 2001 2002 2003 2004 10,70 13,80 15,35 16,31 Skonstruuj wskaźnik poziomu cen dla „koszyka owoców” w każdym roku, używając 2003 r. jako bazowego. Jeśli rok 2003 jest okresem bazowym, to wartość wskaźnika dla tego roku jest równa 100. Aby przekształcić koszt nabycia koszyka owoców w każdym roku wyrażony w jednostkach pieniężnych na wskaźnik, dzielimy kwotę wydatku z każdego roku przez 15,35 j.p., czyli kwotę wydatków w roku bazowym, a następnie mnożymy wynik przez 100. Wskaźniki cen dla każdego roku przedstawia poniższa tabela: 2001 2002 2003 2004 69,71 89,90 100,00 106,30 Zauważ, że w roku bazowym wskaźnik ma wartość 100, w dwóch kolejnych latach przed rokiem bazowym przyjmuje wartości mniejsze od 100, zaś w roku 2004 większą od 100. Oblicz stopę inflacji dla każdego roku w okresie 2001–2004, zakładając, że konsumenci wydają swoje dochody wyłącznie na owoce. Stopa inflacji jest obliczana jako procentowa zmiana wskaźnika cen w dwóch kolejnych latach (rok poprzedni = 100). Na przykład stopa inflacji w roku 2002 (która mierzy to, jak zmieniły się ceny w ciągu tego roku w porównaniu z cenami w roku 2001) wynosi (89,90 ­- 69,71) / 69,71 = 0,2896 = 28,96%. Stopy inflacji dla wszystkich analizowanych lat są przedstawione w ostatnim wierszu poniższej tabeli (wartości zostały wyrażone w j.p.). Pozycja Ilość (2001) Cena (2001) Kwota wydatków (2002) Cena (2002) Kwota wydatków (2003) Cena (2003) Kwota wydatków (2004) Cena (2004) Kwota wydatków Jabłka (sztuki) 10 0,50 5,00 0,75 7,50 0,85 8,50 0,88 8,80 Banany (sztuki) 12 0,20 2,40 0,25 3,00 0,25 3,00 0,29 3,48 Winogrona (kilogramy) 2 0,65 1,30 0,70 1,40 0,90 1,80 0,95 1,90 Maliny (opakowania) 1 2,00 2,00 1,90 1,90 2,05 2,05 2,13 2,13 Razem 10,70 13,80 15,35 16,31 Indeks 69,71 89,90 100,00 106,3 Stopa inflacji 28,96% 11,23% 6,3% Edyta mieszka w domu spokojnej starości, gdzie większość jej potrzeb jest zaspokojona bez konieczności ponoszenia dodatkowych wydatków, niemniej pozwala sobie również na ekstra zakupy. Na podstawie koszyka dóbr z odpowiedz, o ile procent wzrosły koszty utrzymania Edyty między okresem 1 a okresem 2. Wszystkie kwoty w tabeli zostały przedstawione w umownych jednostkach pieniężnych (j.p.). Pozycja Liczba Cena w okresie 1 Cena okresie 2 Prezenty dla wnucząt 12 50 60 Pizze w dostawie 24 15 16 Bluzki 6 60 50 Wakacyjne wycieczki 2 400 420 Zacznij od obliczenia łącznej kwoty wydatków Edyty w każdym okresie. Skorzystaj z poniższej tabeli, w której ceny i wartości zostały przedstawione w j.p. Pozycja Liczba Cena w okresie 1 Kwota wydatków w okresie 1 Cena w okresie 2 Kwota wydatków w okresie 2 Prezenty 12 50 600 60 720 Pizze 24 15 360 16 384 Bluzki 6 60 360 50 300 Wycieczki 2 400 800 420 840 Koszt całkowity 2120 2244 Wzrost łącznej kwoty wydatków Edyty w procentach obliczamy w następujący sposób: (2244 ­- 2120) / 2120 = 0,0585 = 5,85%. Review Questions W jaki sposób ekonomiści wykorzystują koszyk dóbr i usług do pomiaru poziomu cen? Dlaczego ekonomiści do mierzenia poziomu cen używają wskaźników, a nie wartości towarów wyrażonej w jednostkach pieniężnych? Jaka jest różnica między poziomem cen a stopą inflacji? Critical Thinking Question Stopy inflacji, jak większość statystyk, są miarami niedoskonałymi. Czy potrafisz wskazać kilka powodów, dla których stopa inflacji cen owoców nie opisuje w ścisły sposób wzrostu cen tych dóbr? Problems Wskaźnik reprezentujący poziom cen rośnie z poziomu 110 do 115 w pierwszym roku, a następnie z poziomu 115 do 120 w kolejnym. Skoro wartość wskaźnika co roku wzrasta o tę samą wartość (5), to czy taka jest właśnie stopa inflacji w każdym z dwóch kolejnych lat? Wyjaśnij swój sposób rozumowania. Łączny koszt zakupu pewnego koszyka dóbr w Wielkiej Brytanii w ciągu czterech lat wynosi odpowiednio: rok 1 = 940 funtów, rok 2 = 970 funtów, rok 3 = 1000 funtów i rok 4 = 1070 funtów. Oblicz dwa wskaźniki cen, pierwszy - używając roku 1 jako bazowego (wartość wskaźnika w tym roku równa się 100), a drugi, używając roku 4 jako bazowego (tym razem wartość wskaźnika dla roku 4 równa się 100). Następnie oblicz roczną stopę inflacji, wykorzystując pierwszy zestaw wskaźników. Czy gdybyś użył drugiego zestawu wskaźników, otrzymałbyś inną stopę inflacji? Jeśli nie jesteś pewien swojej odpowiedzi, wykonaj obliczenia. References Źródła dla : http://www.eia.gov/dnav/pet/pet_pri_gnd_a_epmr_pte_dpgal_w.htm http://data.bls.gov/cgi-bin/surveymost?ap http://www.bls.gov/ro3/apmw.htm http://www.autoblog.com/2014/03/12/who-can-afford-the-average-car-price-only-folks-in-washington/ https://www.census.gov/construction/nrs/pdf/uspricemon.pdf http://www.bls.gov/news.release/empsit.t24.htm http://variety.com/2015/film/news/movie-ticket-prices-increased-in-2014-1201409670/ US Inflation Calculator. \"Historical Inflation Rates: 1914-2013.\" Accessed March 4, 2015. http://www.usinflationcalculator.com/inflation/historical-inflation-rates/. rok bazowy (ang. ang. base year ) arbitralnie wybrany rok, do którego będziemy porównywać wartość badanej zmiennej (np. poziomu cen) w interesującym nas okresie; wartość wskaźnika w roku bazowym zawsze wynosi 100 okres bazowy zob. rok bazowy koszyk towarów i usług zob. koszyk dóbr i usług koszyk dóbr i usług (ang. basket of goods and services ) hipotetyczny zbiór stałej liczby lub ilości różnych dóbr i usług reprezentujący „typowy” zestaw zakupów konsumentów w danej gospodarce, używany jako podstawa do obliczania tempa zmian poziomu cen w czasie wskaźnik (ang. index number ) pomnożona przez 100 relacja (iloraz) wartości określonej zmiennej w okresie badanym i wartości tej samej zmiennej w okresie bazowym inflacja (ang. inflation ) tempo wzrostu średniego poziomu cen w gospodarce obliczanego na podstawie koszyka dóbr i usług typowego dla gospodarstw domowych w danym kraju", "section": "Pomiar inflacji", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Jak mierzyć zmianę kosztów utrzymania? Po przeczytaniu tego podrozdziału będziesz w stanie: Wykorzystać wskaźnik cen towarów i usług konsumpcyjnych do obliczania stopy inflacji Wskazać możliwe błędy popełniane przy szacowaniu stopy inflacji, jak również przedstawić sposoby ich unikania Odróżniać takie miary inflacji, jak: wskaźnik cen towarów i usług konsumpcyjnych, wskaźnik cen dóbr produkcyjnych i deflator PKB Najczęściej komentowaną miarą inflacji zarówno w USA, jak i w Polsce jest wskaźnik cen towarów i usług konsumpcyjnych ( WCD ), Consumer Price Index ( CPI ). Statystycy z GUS obliczają ten parametr na podstawie badania cen towarów i usług konsumpcyjnych na rynku detalicznym, a także analizy budżetów gospodarstw domowych. Działanie to dostarcza danych o przeciętnych wydatkach na towary i usługi konsumpcyjne, które wykorzystywane są następnie do stworzenia systemu wag. (Kwota wydatków na żywność odniesiona do całości wydatków konsumentów pozwala stwierdzić, że udział wydatków na żywność stanowi np. 40% całości wydatków konsumentów). W ciągu ostatnich kilku lat statystycy amerykańscy zwrócili jednak uwagę na pewien subtelny problem. Zmiana całkowitego kosztu zakupu pewnego stałego koszyka (zestawu) dóbr i usług między dwoma punktami w czasie to nie do końca to samo, co zmiana kosztów utrzymania. Czym innym jest bowiem wydatkowanie środków na pewien stały koszyk dóbr i usług, a czym innym subiektywne poczucie zapewnienia sobie niezmiennego poziomu użyteczności lub inaczej mówiąc, satysfakcji związanej z konsumpcją dóbr i usług. Aby zrozumieć tę różnicę, wyobraź sobie, że w ciągu ostatnich dziesięciu lat koszt zakupu stałego koszyka dóbr wzrósł o 25%, podobnie jak twoje wynagrodzenie. Czy twój subiektywnie oceniany standard życia utrzymał się na stałym poziomie? To zależy od tego, czy w ciągu tych dziesięciu lat twój osobisty profil konsumpcji się zmienił, czy pozostał taki sam. Innymi słowy, czy twoje dochody były wydatkowane na dokładnie taki sam zestaw dóbr i usług, czy też nie. Jeśli koszyk zakupów uległ zmianie, to kalkulacja inflacji oparta na koszcie zakupu stałego zestawu dóbr może być błędną miarą zmiany twoich kosztów utrzymania. Pojawiają się tu dwie kwestie: efekt substytucji i efekt zmiany jakości i wprowadzania na rynek nowych produktów. Gdy relatywna cena jakiegoś dobra wzrasta, konsumenci zazwyczaj ograniczają jego zakupy, poszukując substytutów. I odwrotnie, gdy relatywna cena danego dobra spada, ludzie będą skłonni zwiększyć wolumen jego zakupów. Konsekwencją takiego dość oczywistego sposobu postępowania jest tendencja do ograniczania konsumpcji dóbr relatywnie drożejących i zwiększania konsumpcji dóbr i usług, których relatywna cena maleje. Tym samym udział takich produktów powinien odpowiednio maleć i rosnąć w koszyku wydatków konsumentów wykorzystywanym do obliczania stopy inflacji. Rozważmy np. wzrost ceny brzoskwiń o 20 zł za kilogram (przyjmijmy, że oznacza to wzrost ceny o 150%, podczas gdy inne owoce zdrożały przeciętnie tylko o 5%; takie zjawisko ekonomiści określają właśnie jako względną zmianę cen). Gdyby konsumenci bardzo niechętnie rezygnowali z zakupu brzoskwiń (popyt na te owoce był nieelastyczny), to efektem byłby duży wzrost cen żywności dla konsumentów. Możliwe jednak, że zdecydowanej większości ludzi jest całkowicie obojętne, czy jedzą brzoskwinie, czy też jabłka lub śliwki. Jeśli ceny brzoskwiń wzrosną, konsumenci bez poczucia utraty użyteczności przerzucą wydatki na inne owoce, a średnia cena żywności zmieni się tylko nieznacznie lub nie zmieni się wcale. Stały i niezmienny koszyk dóbr zakłada, że niezależnie od zmian cen konsumenci są skazani na kupowanie dokładnie tych samych dóbr w dokładnie tej samej ilości lub liczbie, co nie jest założeniem realistycznym. Tak więc zlekceważenie efektu substytucji (ang. substitution bias ) skutkuje wzrostem kosztu nabycia stałego w czasie koszyka dóbr i oznacza zawyżanie kosztów życia konsumenta, ponieważ nie bierze pod uwagę tego, że większość ludzi będzie ograniczać konsumpcję dóbr, których relatywne ceny wzrosły, na korzyść tych, które podrożały nieznacznie lub ich cena w ogóle się nie zmieniła. Drugą komplikacją związaną z przyjęciem założenia o stałości konstrukcji koszyka dóbr i usług wykorzystywanego do obliczania stopy inflacji jest sposób, w jaki zostanie uwzględniona poprawa jakości kupowanych dóbr lub wprowadzenie na rynek nowych produktów służących zaspokajaniu potrzeb konsumentów. Zastanówmy się przykładowo, jak potraktować jednoczesną zmianę składu standardowego opakowania płatków zbożowych (teraz zawierają one, powiedzmy, 12 witamin i innych mikroelementów) i podwyżkę jego ceny o 5%. Nie można uznać tej podwyżki wyłącznie za efekt inflacji, bo jakość płatków poprawiła się (lub przynajmniej zmieniła). Najlepiej byłoby, gdyby udało się zdezagregować tę podwyżkę i ocenić, jaka część wzrostu ceny wynika z poprawy jakości, a jaka jest po prostu wynikiem zwiększenia ceny przez producenta. Statystycy z GUS odpowiedzialni za obliczanie stopy inflacji muszą radzić sobie z taki wyzwaniami, polegającymi na uwzględnianiu zmian jakości dóbr i usług wchodzących w skład koszyka inflacyjnego. Odwiedź tę stronę , aby zobaczyć ceny samochodów Forda w latach 1909–1917. Zwróć uwagę, jak kwoty te mają się do cen sprzedaży współczesnych modeli. O nowym produkcie możemy myśleć jako o wyjątkowym polepszeniu jakości – od czegoś, co nie istniało do czegoś, co jest. Jednak koszyk dóbr zdefiniowany w przeszłości z oczywistych względów nie może zawierać w swoim składzie dóbr, o których 10 czy 15 lat temu konsumenci nie mieli nawet pojęcia. Koszyk dóbr i usług służący jako podstawa do obliczania wskaźnika cen towarów i usług konsumpcyjnych jest oczywiście rewidowany i aktualizowany z biegiem czasu, więc nowe produkty są do niego stopniowo włączane. Jednak proces ten zajmuje określoną liczbę lat. Na przykład klimatyzatory dla odbiorców indywidualnych były dość powszechnie dostępne w USA na początku lat 50. ub. wieku, ale do koszyka inflacyjnego trafiły dopiero w 1964 r. Magnetowidy i komputery osobiste były dostępne już pod koniec lat 70. i powszechnie sprzedawane na początku lat 80. XX w., ale nie weszły w skład koszyka dóbr aż do roku 1987. Do 1996 r. w Stanach Zjednoczonych było już ponad 40 mln abonentów telefonów komórkowych, a mimo to komórki wciąż nie trafiły do koszyka inflacyjnego. Na rynku ciągle pojawiają się przełomowe produkty (smartfony, konsole do gier, opaski mierzące aktywność sportową), ale konstrukcja koszyka będącego podstawą obliczania wskaźnika cen towarów i usług konsumpcyjnych zmienia się ze znacznym opóźnieniem w stosunku do ich debiutu rynkowego. Pojawienie się na rynku nowych produktów generuje problemy dla dokładnego pomiaru inflacji. Decyzja o zakupie innowacyjnych dóbr i usług jest konsekwencją oceny ich użyteczności. Jednostka pieniężna (złoty lub dolar) wydana na nowy produkt zazwyczaj dostarcza wyższej użyteczności niż ta sama jednostka, która została przeznaczona na zakupu dóbr z długą historią sprzedaży. W momencie rynkowego debiutu smartfony były znacznie droższe niż dotychczasowe modele telefonów komórkowych, jednak oferowały też nieporównywalny zakres funkcji i de facto zastępowały nie tylko telefon, ale też odtwarzacz muzyki, aparat fotograficzny i do pewnego stopnia przenośną konsolę do gier. Jeśli mierzymy tempo wzrostu cen, wykorzystując koszyk, w skład którego nie wchodzą nowe produkty, to ignorujemy zmianę kosztów utrzymania niezmiennego standardu życia lub inaczej użyteczności. Ponadto cena nowego dobra jest zwykle wyższa w momencie wprowadzania go na rynek, a następnie spada z czasem. Jeżeli nowy produkt zostanie ujęty w koszyku inflacyjnym po kilku latach od rynkowego debiutu, to do tego czasu jego cena będzie już niższa, a miara inflacji, którą zastosujemy, całkowicie pominie ten spadek cen, zawyżając stopę inflacji w analizowanym okresie. Biorąc pod uwagę te argumenty, zlekceważenie kwestii poprawy jakości i wprowadzania na rynek nowych dóbr (ang. quality/new goods bias ) oznacza, że pomiar inflacji zawyża koszty utrzymania stałego standardu życia konsumentów, ponieważ pomija fakt, iż nowe lub ulepszone produkty w stały sposób ów standard podnoszą. Poniższa jest obowiązkową lekturą dla każdego, kto chce się dowiedzieć, w jaki sposób w Polsce konstruowany i obliczany jest wskaźnik cen towarów i usług konsumpcyjnych. W jaki sposób polscy statystycy tworzą wskaźnik cen towarów i usług konsumpcyjnych? Wskaźnik cen konstruowany jest w oparciu o wiele założeń. Niezbędne są tu dwa źródła danych: będące podstawą budowy systemów wag wydatki gospodarstw domowych na zakup towarów i usług konsumpcyjnych, które pochodzą z badania budżetów gospodarstw domowych, oraz poziomy cen towarów i usług konsumpcyjnych notowane przez ankieterów urzędów statystycznych bezpośrednio w punktach sprzedaży detalicznej, zbierane przez Internet lub pozyskiwane bezpośrednio od przedsiębiorstw (np. sieci handlowych), z ich systemów informatycznych. Analiza cen prowadzona jest aktualnie w 207 tzw. rejonach badania na terenie kraju, a ich lista podlega corocznej weryfikacji. Rejonem badania jest miasto lub, w przypadku dużych ośrodków, jego część. Na przykład Warszawa podzielona jest na sześć rejonów, a Łódź na dwa. Liczba miast, w których są prowadzone notowania cen, wynosi 194. We wszystkich rejonach badania ustala się ujednoliconą listę reprezentantów produktów i nie ulega ona zmianie przez cały rok badania. Lista zawiera dwa rodzaje reprezentantów: produkty opisane bardzo dokładnie, z podaniem konkretnych parametrów ściśle określających ich cechy, jak również artykuły stanowiące wąskie grupy asortymentowe, reprezentujące ubiory, bieliznę, obuwie itp. Reprezentantami objętymi badaniem cen detalicznych są towary nabywane często, np.: pieczywo, mięso, mleko, sery, warzywa, owoce, gazety, środki do mycia, prania i czyszczenia, oraz dobra trwałego użytkowania, kupowane rzadziej, w tym m.in.: meble, sprzęt gospodarstwa domowego, sprzęt radiowo-telewizyjny i komputerowy. Badanie cen uwzględnia opłaty ponoszone przez gospodarstwa domowe systematycznie, np. związane z użytkowaniem mieszkania, korzystaniem z nośników energii, komunikacji miejskiej, a także obejmuje usługi kupowane rzadziej, np. turystyczne, w zakresie konserwacji i remontu mieszkania i inne. Lista reprezentantów wykorzystywana do obliczenia wskaźnika cen towarów i usług konsumpcyjnych uwzględnia wyłącznie towary i usługi konsumpcyjne. Wskaźnik cen konsumpcyjnych nie obejmuje (i nigdy nie obejmował) towarów i usług niekonsumpcyjnych, lokomotyw, szyn itp. Głównym źródłem danych o rozchodach (wydatkach) każdego badanego gospodarstwa domowego, które to dane są wykorzystywane do opracowania systemu wag, jest prowadzona przez nie „książeczka budżetowa” (w każdym miesiącu badanych jest ok. 3,1 tys. gospodarstw domowych) w formie papierowej lub elektronicznej przez miesiąc oraz papierowe paragony dostarczane ankieterowi przez gospodarstwa domowe prowadzące książeczkę. Książeczkę budżetową w formie papierowej wypełnia ok. 40% badanych gospodarstw domowych, w formie elektronicznej ok. 2%, zaś ok. 58% gospodarstw przekazuje informacje o swoich wydatkach na konkretne towary i usługi konsumpcyjne w postaci paragonów. Dodatkowym źródłem jest kwestionariusz „Karta statystyczna gospodarstwa domowego” (ujmuje wydatki związane z użytkowaniem mieszkania lub domu). Statystycy dzielą wydatki konsumpcyjne na 13 głównych grup (widocznych poniżej). Koszyk dóbr w CPI składa się ostatecznie z ok. 1,5 tys. produktów. (Źródło: https://stat.gov.pl/dla-mediow/komunikaty-prasowe/wskaznik-cen-towarow-i-uslug-konsumpcyjnych-pot-inflacja,100,1.html). Trzynaście głównych kategorii we wskaźniku cen towarów i usług konsumpcyjnych. Dysponując danymi na temat cen towarów i usług konsumpcyjnych oraz struktury wydatków gospodarstw domowych, statystycy obliczają wskaźnik ilustrujący tempo zmian poziomu cen wszystkich dóbr i usług, na które przeciętne gospodarstwo domowe wydaje swoje dochody. Wagi kategorii produktów stosowane przy obliczaniu wskaźnika cen towarów i usług konsumpcyjnych (rok 2021) Z podanych 13 kategorii wykorzystanych do obliczania wskaźnika cen towarów i usług konsumpcyjnych największy udział mają wydatki na żywność i napoje bezalkoholowe (26,5%). Następną kategorią są wydatki na użytkowanie mieszkania lub domu (ponad 19%). Najmniej wydajemy na edukację (1,2%) oraz restauracje i hotele (4,2%). (Źródło: https://stat.gov.pl). Wskaźnik cen towarów i usług konsumpcyjnych (CPI) a inflacja bazowa Wyobraź sobie, że podróżujesz w interesach po kraju (rozwożąc towar lub przeprowadzając szkolenia w oddziałach terenowych). Prawdopodobnie ważne byłyby wówczas dla ciebie takie kwestie, jak ceny dostępnych w trasie posiłków i noclegów. Jednak szef twojej firmy może mieć inne priorytety. Zależy mu przede wszystkim na tym, abyś dotarł punktualnie w każde miejsce, które masz odwiedzić, w mniejszym stopniu zaś interesuje się tym, co jesz i gdzie nocujesz, o ile nie przekroczysz limitu wydatków, czyli tzw. diet. Innymi słowy, twój szef zwracałby uwagę na wyniki przedsiębiorstwa, jednocześnie ignorując elementy, które wprawdzie są ważne dla ciebie, ale dla wyniku finansowego firmy nieistotne. W pewnym sensie z podobną sytuacją mamy do czynienia w odniesieniu do miar inflacji. Jak już wiemy, wskaźnik cen towarów i usług konsumpcyjnych mierzy zmiany cen artykułów kupowanych przez gospodarstwa domowe. Ceny te mogą jednak podlegać daleko idącym zmianom, m.in. na skutek wahań sezonowych. Aby łatwiej sprawdzić, co się dzieje z inflacją, i tym samym oczyścić ją z wpływu czynników sezonowych, ekonomiści obliczają wskaźnik inflacji bazowej (ang. core inflation index ), wyłączając z CPI ceny tych dóbr i usług, które zmieniają się sezonowo lub takie, które znajdują się pod silnym wpływem czynników globalnych. Przykładami towarów, których nie uwzględnia się przy obliczaniu inflacji bazowej, są energia i żywność, ponieważ ich ceny mogą zmieniać się ze względu na czynniki sezonowe lub zdarzenia na świecie, które są poza kontrolą zmiennych krajowych. W Polsce ceny warzyw i owoców znacznie maleją w czerwcu, lipcu i sierpniu, co jest związane z okresem wegetacji roślin w naszym kraju. Dodajmy do tego obrazu gwałtowne zmiany (niestety najczęściej podwyżki) cen ropy naftowej i gazu na giełdach światowych spowodowane sytuacją międzynarodową lub wojnami, kryzysami i klęskami żywiołowymi w państwach będących największymi eksporterami tych surowców. W takim przypadku CPI zarejestrowałoby zmianę związaną z kosztami utrzymania dla gospodarstw domowych, ale wskaźnik inflacji bazowej pozostałby bez zmian. Z uwagi na to, że zmiany inflacji pociągają za sobą decyzje banków centralnych o wysokości stóp procentowych, istotne jest, aby odróżnić zdarzenia lokalne, na które polityka banku centralnego ma wpływ, od tych, które są wobec takich decyzji autonomiczne. Były przewodniczący Banku Rezerwy Federalnej (czyli amerykańskiego banku centralnego) Ben Bernanke w 1999 r. powiedział o wskaźniku inflacji bazowej, że „stanowi on lepszą wskazówkę dla polityki monetarnej niż inne instrumenty, ponieważ mierzy długookresowe trendy w zakresie inflacji, a nie przejściowe szoki wpływające na chwilową zmianę cen”. Bernanke zauważył również, że inflacja bazowa pomaga zrozumieć, dlaczego Rezerwa Federalna nie musi reagować na każde zdarzenie w gospodarce mające wpływ na wysokość inflacji, ponieważ niektóre zmiany cen są przejściowe i nie wynikają ze strukturalnych trendów w gospodarce. Podsumowując, zarówno wskaźnik towarów i usług konsumpcyjnych, jak i wskaźnik inflacji bazowej są ważne, ale służą potrzebom różnych odbiorców. CPI pomaga gospodarstwom domowym obserwować zmianę kosztu nabycia pewnego koszyka dóbr i usług w kolejnych miesiącach, podczas gdy wskaźnik inflacji bazowej jest instrumentem, na podstawie którego dokonywane są ważne zmiany w polityce monetarnej każdego kraju. Praktyczne sposoby ograniczenia negatywnych skutków efektu substytucji i poprawy jakości dóbr dla obliczania stopy inflacji Do końca XX w. w Stanach Zjednoczonych próbowano na różne sposoby poradzić sobie z efektem substytucji dóbr, posługując się dość złożonymi obliczeniami. Starano się również zwiększyć częstotliwość zmian koszyka inflacyjnego, tak aby szybciej włączać do niego nowe i ulepszone towary. Dla niektórych produktów przeprowadzano badania, próbując w jakiś obiektywny sposób zmierzyć poprawę ich jakości. Na przykład dla komputerów takie badanie może próbować zmierzyć zmiany szybkości procesora, dostępnej pamięci, przekątnej monitora i innych cech produktu, a następnie obliczyć komponent zmiany ceny wynikający ze zmiany cech produktu. Jednak te korekty z samej swej natury były niedoskonałe, a konkretny sposób ich przeprowadzania stanowił często źródło kontrowersji wśród ekonomistów. Wraz z początkiem XXI w. próby te zostały znacznie ograniczone. Od tego momentu amerykańskie CPI prawdopodobnie zawyża prawdziwy odczyt inflacji, ale w zgodnej opinii ekonomistów o wartość nie większą niż ok. 0,5% rocznie. W czasie jednego lub kilku lat nie jest to dużo. W ciągu dekady lub dwóch nawet 0,5 punktu procentowego różnicy w ciągu roku przekłada się na znaczne różnice. Podczas mierzenia inflacji (i innych zjawisk ekonomicznych) pojawia się potrzeba zawarcia kompromisu między prostotą a interpretacją. Jeśli obliczamy stopę inflacji za pomocą koszyka dóbr, który jest stały i niezmienny, wtedy sam proces jest łatwy i zrozumiały nawet dla laików. Pojawią się jednak problemy związane z pomijaniem substytucji dóbr, zmianą ich jakości oraz wprowadzaniem na rynek nowych produktów. Z drugiej strony, jeśli będziemy chcieli uwzględnić wszystkie czynniki wpływające na percepcję standardu życia gospodarstw domowych i ich możliwą do uzyskania w drodze zakupów użyteczność, proces szacowania stopy inflacji znacznie się skomplikuje. Dodatkowe miary inflacji: wskaźnik cen dóbr produkcyjnych (PPI) i deflator PKB Koszyk dóbr, na którym opiera się CPI, reprezentuje przeciętną hipotetyczną konsumpcję gospodarstwa domowego w danym kraju, co oznacza, że nie oddaje on dokładnie osobistych doświadczeń każdego człowieka. Jeśli celem jest obliczenie średniego poziomu inflacji, takie podejście sprawdza się doskonale. Co jednak, jeśli interesuje nas inflacja odczuwana przez pewną grupę, np. osoby starsze, ubogie, gospodarstwa domowe z jedną osobą dorosłą lub przedstawicieli mniejszości etnicznych? W takich sytuacjach indeks cen oparty na sile nabywczej przeciętnego konsumenta nie jest zapewne miarą optymalną. Problem ten ma proste rozwiązanie. Jeśli CPI nie służy dobrze określonemu celowi, należy wymyślić inną miarę, w oparciu o koszyk dóbr odpowiedni dla interesującej nas grupy. GUS szacuje np. udział wydatków na przedstawione wyżej kategorie produktów oddzielnie dla gospodarstw domowych pracowników, rolników, osób pracujących na własny rachunek (przedsiębiorców), a także emerytów i rencistów. O ile udział wydatków na kategorię „zdrowie” wynosi w Polsce przeciętnie 5,6%, to w gospodarstwach domowych rolników jest to tylko 4,1%, zaś w grupie emerytów aż 8,7%. Przedsiębiorcy wydają z kolei 6,1% całości swoich wydatków na kategorię „restauracje i hotele”, tymczasem emeryci tylko 2,6% (średnia to 4,1%). Można też obliczać wskaźniki inflacji, które nie bazują na koszykach dóbr konsumpcyjnych. Na przykład wskaźnik cen dóbr produkcyjnych (ang. Producers Price Index (PPI) ) jest skonstruowany w oparciu o ceny płacone za dobra i usługi stanowiące nakłady w procesie produkcyjnym (to w tym wskaźniku uwzględnianie są ceny lokomotyw, szyn, stężonego kwasu siarkowego, prętów stalowych, blachy walcowanej itd.). Możemy go podzielić na wskaźniki cen dla różnych gałęzi przemysłu, towarów i etapów przetwarzania (wyroby gotowe, półprodukty lub surowce na potrzeby dalszej produkcji). Deflator PKB (ang. GDP deflator ) to z kolei wskaźnik cen, który zawiera wszystkie składniki PKB (czyli konsumpcję powiększoną o inwestycje, wydatki rządu na zakup dóbr i usług oraz eksport pomniejszony o import). W przeciwieństwie do CPI deflator nie opiera się na stałym koszyku dóbr, ale niesie ze sobą informację, ile wart byłby PKB w danym roku, gdyby przeliczyć go po cenach z arbitralnie wybranego roku bazowego. Jakie jest zatem najlepsze narzędzie służące do pomiaru dynamiki wzrostu cen? Najdokładniejszą (choć nie zawsze optymalną) miarą inflacji jest deflator PKB, ponieważ opiera się on na cenach wszystkich wyprodukowanych w danej gospodarce dóbr i usług. Nie jest to jednak dobry miernik kosztów utrzymania gospodarstw domowych, bo zawiera ceny wielu produktów, których zwykli ludzie nie kupują. Jeśli ktoś chciałby uzyskać najbardziej dokładny pomiar inflacji odczuwanej przez gospodarstwa domowe, powinien użyć wskaźnika cen towarów i usług konsumpcyjnych, ponieważ obejmuje on tylko ceny artykułów kupowanych przez zwykłych ludzi. Dlatego ekonomiści czasami odnoszą się do CPI jako do wskaźnika kosztów utrzymania. Amerykańskie Bureau of Labor Statistics na swojej stronie internetowej podkreśla, że: „wskazanie «najlepszej» miary inflacji jest zawsze uzależnione od sposobu, w jaki chcemy wykorzystać pozyskane dane”. Key Concepts and Summary Pomiar poziomu cen za pomocą stałego koszyka dóbr zawsze będzie obarczony dwoma ograniczeniami. Pierwsze z nich związane jest z efektem substytucji wskazującym na możliwość zastępowania dóbr ujętych w takim koszyku, jeśli ich cena w ponadprzeciętny sposób rośnie, przez takie, które drożeją wolniej lub ich cena w ogóle się nie zmienia. Drugie ograniczenie związane jest z pomijaniem efektu wzrostu jakości dóbr uwzględnianych w koszyku i wprowadzania na rynek nowych towarów, które chociaż nabywane przez konsumentów, w składzie koszyka nie są uwzględnione. Ograniczenia te mogą być do pewnego stopnia zredukowane, np. poprzez zmianę składu koszyka inflacyjnego w czasie, ale nie da się ich w pełni wykluczyć. Miarą inflacji, która cieszy się największym zainteresowaniem opinii publicznej, jest wskaźnik cen towarów i usług konsumpcyjnych (CPI), który mierzy zmiany cen dóbr nabywanych przez przeciętnego konsumenta. Wskaźnik inflacji bazowej obliczamy, wyłączając z CPI dobra, których ceny zmieniają się w sposób sezonowy (żywność), lub takie, których ceny znajdują się pod wpływem czynników globalnych (ropa naftowa i paliwa silnikowe). Niektóre miary inflacji nie są oparte na koszykach dóbr konsumpcyjnych. Deflator PKB pokazuje zmianę cen tworzących ten parametr wszystkich dóbr i usług. Z kolei wskaźnik cen dóbr produkcyjnych (PPI) bazuje na cenach dóbr i usług stanowiących nakłady w procesie produkcyjnym. Self-Check Questions W wprowadziliśmy szereg różnych miar inflacji. Której z nich najlepiej użyć, aby odnieść swoje wynagrodzenie do inflacji? Ponieważ wskaźnik cen towarów i usług konsumpcyjnych mierzy ceny dóbr i usług kupowanych przez typowego konsumenta, jest najlepszą miarą inflacji dotykającej zwykłych ludzi. Z tego właśnie powodu CPI byłby najlepszym wskaźnikiem do wykorzystania w celu wskazanym w pytaniu. Wskaźnik cen dóbr i usług konsumpcyjnych CPI nie uwzględnia efektu substytucji ani zmiany jakości dóbr oraz wprowadzania do sprzedaży nowych towarów. Czy wskaźnik cen dóbr produkcyjnych (PPI) i deflator PKB również podlegają tym ograniczeniom? Uzasadnij swoją odpowiedź. PPI podlega tym samym ograniczeniem, co CPI, i z tych samych powodów. Deflator PKB uwzględnia ceny wszystkich dóbr i usług, które zostały wyprodukowane w danym roku, więc te kwestie go nie dotyczą. To jest przewaga używania deflatora PKB nad wskaźnikiem cen dóbr i usług konsumpcyjnych. Review Questions Wyjaśnij, dlaczego w sytuacji, gdy obliczamy stopę inflacji w oparciu o stały koszyk dóbr, pojawia się efekt substytucji. Wyjaśnij, dlaczego w sytuacji, gdy obliczamy stopę inflacji w oparciu o stały koszyk dóbr, pojawia się efekt poprawy jakości i wprowadzania na rynek nowych dóbr. Critical Thinking Question Biorąc pod uwagę deficyt Funduszu Ubezpieczeń Społecznych (FUS), niektórzy ekonomiści twierdzą, że waloryzując wysokość świadczenia emerytalnego o inflację z wykorzystaniem wskaźnika cen towarów i usług konsumpcyjnych (CPI), w istocie zwiększamy wartość emerytur, a nie rekompensujemy utratę ich realnej wartości wskutek inflacji. Spróbuj objaśnić ich sposób rozumowania. Czy zgadzasz się z takim poglądem? Dlaczego deflator PKB nie jest dokładną miarą inflacji w odniesieniu do gospodarstw domowych? Wyobraź sobie, że GUS, który oblicza stopę inflacji, aktualizował dotychczas podstawowy koszyk dóbr raz na dziesięć lat, ale teraz zdecydował się robić to raz na pięć lat. Jak ta zmiana wpłynie na siłę efektu substytucji i zmiany jakości dóbr oraz wprowadzania na rynek nowych produktów? Opisz dowolną sytuację mogącą wystąpić w sektorze publicznym lub prywatnym, w której wykorzystanie wskaźnika cen towarów i usług konsumpcyjnych (CPI) do przeliczenia wartości nominalnej na realną byłoby lepsze niż użycie deflatora PKB. Opisz dowolną sytuację mogącą wystąpić w sektorze publicznym lub prywatnym, w której wykorzystanie deflatora PKB do przeliczenia wartości nominalnej na realną byłoby lepsze niż użycie wskaźnika cen towarów i usług konsumpcyjnych (CPI). References Bernhard, Kent. “Pump Prices Jump Across U.S. after Katrina.” NBC News , September 1, 2005. http://www.nbcnews.com/id/9146363/ns/business-local_business/t/pump-prices-jump-across-us-after-katrina/#.U00kRfk7um4. Wynne, Mark A. “Core Inflation, A Review of Some Conceptual Issues.” Federal Reserve Bank of St. Louis . p. 209. Accessed April 14, 2014. http://research.stlouisfed.org/publications/review/08/05/part2/Wynne.pdf Wskaźnik cen towarów i usług konsumpcyjnych (CPI) (ang. Consumer Price Index (CPI) ) miara inflacji, którą statystycy obliczają na podstawie poziomu cen dóbr i usług z ustalonego koszyka produktów reprezentującego zakupy przeciętnego konsumenta Wskaźnik inflacji bazowej (ang. core inflation index ) miara inflacji obliczana zazwyczaj poprzez wyłączenie z CPI cen pewnych dóbr, takich jak żywność i energia, które zmieniają się sezonowo lub znajdują się pod silnym wpływem czynników globalnych Deflator PKB (ang. GDP deflator ) miara inflacji oparta na cenach wszystkich składników PKB, obliczana dzięki ilorazowi nominalnego i realnego (przeliczonego na ceny z arbitralnie wybranego roku bazowego) PKB. Wskaźnik cen dóbr produkcyjnych (ang. Producers Price Index (PPI) ) miara inflacji oparta na cenach dóbr i usług stanowiących nakłady w procesie produkcyjnym efekt poprawy jakości i wprowadzania na rynek nowych dóbr (ang. quality/new goods bias ) występująca przy obliczaniu stopy inflacji przy użyciu stałego koszyka dóbr i usług tendencja do zawyżania prawdziwego kosztu utrzymania, wynikająca z faktu, że stały koszyk nie uwzględnia poprawy jakości istniejących na rynku towarów lub wyprodukowania nowych, które lepiej zaspokajają potrzeby konsumentów efekt substytucji (ang. substitution bias ) występująca przy obliczaniu stopy inflacji przy użyciu stałego koszyka dóbr i usług tendencja do zawyżania prawdziwego kosztu utrzymania, wynikająca z nieuwzględniania faktu, że konsument może zastąpić towary, których relatywne ceny znacznie wzrosły, innymi, które zdrożały w mniejszym stopniu lub w ogóle nie zmieniły ceny błąd substytucji zob. efekt substytucji", "section": "Jak mierzyć zmianę kosztów utrzymania?", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Zmiany inflacji na świecie Po przeczytaniu tego podrozdziału będziesz w stanie: Ocenić zmienność inflacji mierzoną wskaźnikiem cen towarów i usług konsumpcyjnych (CPI) w Stanach Zjednoczonych Ocenić zmienność inflacji mierzonej tym samym wskaźnikiem w wymiarze międzynarodowym W ciągu ostatnich 30 lat (dokładniej: do roku 2020) inflacja w gospodarce amerykańskiej była stosunkowo niska, a zmiana wartości wskaźnika cen towarów i usług konsumpcyjnych zazwyczaj kształtowała się w przedziale od 2% do 4% rocznie. W XX w. wystąpiło jednak kilka okresów, w których roczna stopa inflacji mierzona wskaźnikiem CPI przekraczała poziom 10%. W latach 2021 i 2022 stopa inflacji znacząco wzrosła w stosunku do średniego poziomu z poprzedniej dekady (odpowiednio: 7% w roku 2021 i 6,5% w 2022), co nie zmienia jednak faktu, że wartość wskaźników nigdy nawet nie zbliżyła się do wielkości, która mogłaby oznaczać hiperinflację. Zmienność inflacji CPI w gospodarce amerykańskiej na panelu (a) pokazuje historyczne poziomy cen wykorzystywane do obliczania wskaźnika cen towarów i usług konsumpcyjnych, począwszy od roku 1947. Okres bazowy, dla którego wartość wskaźnika CPI przyjmuje poziom 100, to średnia dla lat 1982–1984. Natomiast panel (b) wskazuje roczną stopę inflacji, czyli wyrażone w procentach zmiany wskaźnika cen towarów i usług konsumpcyjnych w ujęciu rok do roku. Poziom cen i roczna stopa inflacji w USA w latach 1947-2020 Na panelu (a) pokazany jest kierunek zmian poziomu cen w USA w latach 1947–2020. Wartość dla roku 1947 wynosi 22 (w latach 1982–1984 jest równy 100). Następnie wzrasta stopniowo do roku 1973, a później już szybko rośnie aż do 1981 r. W ciągu kolejnych 40 lat wzrost poziomu cen jest ponownie stosunkowo umiarkowany, osiągając poziom 260 w roku 2020. Na panelu (b) mamy z kolei zaznaczone roczne stopy inflacji w USA w niemal tym samym okresie (1948–2020). W 1948 r. stopa inflacji kształtowała się na poziomie blisko 8%, po czym okresowo spadała i rosła, z najwyższymi wartościami w latach 70. XX w. Inflacja mierzona wskaźnikiem cen towarów i usług konsumpcyjnych odzwierciedla roczną zmianę procentową kosztu nabycia – zdefiniowanego dla przeciętnego konsumenta – koszyka dóbr i usług, którego skład może być stały lub zmieniany w określonych interwałach czasowych. Dwie pierwsze fale inflacji w gospodarce amerykańskiej w XX w. (nie zostały zilustrowane na wykresie) to lata tuż po zakończeniu I i II wojny światowej. Jednak w okresie międzywojennym odnotowano również dwa okresy, w czasie których ceny spadały (takie zjawisko ekonomiści nazywają deflacją (ang. deflation )): pierwszy po głębokiej recesji z lat 1920–1921, a drugi podczas Wielkiego Kryzysu w latach 30. XX w. Ponieważ inflacja to okres, w którym siła nabywcza pieniądza w odniesieniu do towarów i usług ulega obniżeniu, deflacja będzie okresem, w którym siła nabywcza pieniądza wzrasta, czyli za jedną jednostkę pieniężną (dolara lub złotego) można kupić więcej. W latach 1900–1960 zmiany cen w okresach deflacji i inflacji w zasadzie się równoważyły, w związku z czym średnia roczna stopa inflacji w tym czasie wynosiła tylko ok. 1%. Trzecia fala stosunkowo wysokiej inflacji w gospodarce amerykańskiej nadeszła w latach 70. i ustąpiła na początku lat 80. XX w. Inflacja w USA wzrosła również po roku 2020 i udało się ją obniżyć poniżej poziomu 4% dopiero w 2023 r. Odwiedź tę stronę , aby skorzystać z kalkulatora inflacji i dowiedzieć się, jak zmieniały się ceny w USA w czasie ostatnich 100 lat. Wydaje się, że analiza tempa zmian poziomu cen na przestrzeni ostatnich 120 lat w USA pozwala na sformułowanie wniosku, zgodnie z którym w czasach recesji i okresach spowolnienia tempa wzrostu gospodarczego stopa inflacji jest niższa (lub nawet mamy do czynienia z deflacją), tak jak to było w przypadku recesji w latach 1920–1921, Wielkiego Kryzysu, recesji w latach 1980–1982 i kryzysu światowego w latach 2008–2009. W 2009 r. przez kilka miesięcy notowano spadek poziomu cen, ale zjawisko to nie wystąpiło w skali całego roku. W czasie recesji zazwyczaj pojawia się wysoki poziom bezrobocia, co w konsekwencji zmniejsza całkowity popyt na dobra i usługi w gospodarce, który pociąga za sobą spadek cen. Z drugiej strony stopa inflacji często, choć nie zawsze, zaczyna rosnąć, gdy gospodarka bardzo szybko się rozwija, co można było obserwować tuż po zakończeniu II wojny światowej lub w latach 60. XX w. W kolejnych rozdziałach przedstawione zostaną modele, które pozwolą lepiej zrozumieć te zależności. Inflacja na świecie Dynamika zmian stopy inflacji na świecie jest bardzo zróżnicowana. pokazuje stopy inflacji w ciągu ostatnich 60 lat XX w. w wybranych państwach uprzemysłowionych. Warto zwrócić uwagę na to, że wysokie stopy inflacji w latach 70. ub. wieku były charakterystyczne dla całej grupy krajów, a nie tylko dla Stanów Zjednoczonych. Na przykład w roku 1974 stopa inflacji w Japonii wynosiła ponad 23%, a w Wielkiej Brytanii 16%. W kolejnym roku było to odpowiednio ponad 11% dla Japonii i aż 24% w Wielkiej Brytanii. W latach 80. XX w. stopy inflacji zarówno w Stanach Zjednoczonych, jak i pozostałych analizowanych krajach spadły i w większości pozostały na niskim poziomie przez kolejne 30 lat. Zmienność stopy inflacji w krajach uprzemysłowionych w latach 1961–2020 Wykres przedstawia ujętą w stosunku rocznym procentową zmianę cen mierzonych wskaźnikiem CPI w Stanach Zjednoczonych, Wielkiej Brytanii, Japonii i Niemczech. Gospodarki, w których alokacja odbywała się głównie z wykorzystaniem mechanizmu centralnego planowania (czyli głównie gospodarki krajów socjalistycznych, takich jak Związek Radziecki i Chińska Republika Ludowa), nie doświadczały zjawiska inflacji, ponieważ podwyżki cen nie wynikały z oceny sytuacji rynkowej dokonywanej przez prywatnych przedsiębiorców, tylko zależały od politycznych decyzji, które były pochodną poprawy jakości produktów lub ograniczenia skali niedoborów w gospodarce. Pamiętajmy, że – tak jak to już zostało zasugerowane powyżej – inflacja ma silny związek z poziomem popytu w gospodarce, który zależy przede wszystkim od dochodów. Ceny rosną wtedy, gdy konsumenci chcą i mogą wydawać na dobra i usługi swoje pieniądze. Gdy dochody maleją, zmniejsza się popyt i w konsekwencji tempo wzrostu lub nawet poziom cen. Jeśli ceny są administracyjnie zamrożone na pewnym poziomie, zjawisko inflacji oczywiście nie występuje, ale za to wraz ze wzrostem dochodów ujawniają się niedobory (zapotrzebowanie przekracza wszak oferowaną ilość), które skutkują kolejkami lub wprowadzaniem systemu kartkowego (nie bez kozery gospodarka socjalistyczna była nazywana „gospodarką niedoboru”). Na tym tle sytuacja Polski była specyficzna, z uwagi bowiem na głęboki kryzys z przełomu lat 70. i 80. oraz późniejsze nieudolne reformy średnioroczna stopa inflacji w latach 1980–1989 była bardzo wysoka, nawet jak na standardy krajów kapitalistycznych. Kompletne fiasko socjalistycznego (centralnego) sposobu zarządzania gospodarką i permanentne niedobory rynkowe wymusiły konieczność stałego podnoszenia cen przez centralnego planistę (czyli w praktyce Komisję ds. Kontroli Cen, która funkcjonowała przy Ministerstwie Finansów). W miarę jak Chiny, Polska i Rosja (trzymając się rzeczywistej sekwencji czasowej) zaczęły przekształcać swoje gospodarki w kierunku rozwiązań rynkowych, również one doświadczały gwałtownego wzrostu inflacji, chociaż powinniśmy uznać statystyki dotyczące tych krajów za nieco mniej wiarygodne. Inflacja w Chinach wynosiła średnio ok. 10% rocznie przez większą część lat 80. (proces transformacji zaczął się bowiem w tym kraju już z końcem lat 70. XX w.) i wczesne lata 90. Polska i Rosja (początkowo Związek Radziecki) zanotowały bardzo wysoką inflację (która w Rosji zamieniła się w hiperinflację (ang. hyperinflation ) w pierwszej połowie lat 90. (na początku tej dekady ceny zmieniały się w Rosji nawet w tempie 2500% rocznie). Pokazuje to . Zmienność stopy inflacji w krajach rozwijających się w latach 1981–2020. Stany Zjednoczone (a dokładniej Stany Skonfederowane, czyli „Południe”) były najbardziej zagrożone wystąpieniem zjawiska hiperinflacji podczas wojny secesyjnej w latach 1860–1865. Wykresy przedstawiają procentową zmianę wskaźnika cen towarów i usług konsumpcyjnych w ujęciu rok do roku w Brazylii, Chinach, Polsce i Rosji dla lat 1981–2020. Wynika z nich, że inflacja w analizowanej grupie krajów była najwyższa w ostatniej dekadzie XX w., chociaż w Chinach zdecydowanie niższa niż w Brazylii, Polsce i Rosji. Stopy inflacji w tych krajach spadły w ciągu ostatnich dwóch dekad, ale w roku 2021 znów zaczęły rosnąć. (Źródła: http://www.inflation.eu/inflation-rates; http://research.stlouisfed.org/fred2/series/FPCPITOTLZGBRA; http://research.stlouisfed.org/fred2/series/CHNCPIALLMINMEI; http://research.stlouisfed.org/fred2/series/FPCPITOTLZGRUS). Wiele krajów Ameryki Łacińskiej doświadczyło szalejącej inflacji w latach 80. i na początku lat 90. XX w. Stopy inflacji często znacznie przekraczały tam 100% rocznie. Na przykład w 1990 r. w Brazylii i w Argentynie inflacja przekroczyła 2000%. Także niektóre państwa afrykańskie odczuwały w tym samym okresie niezwykle wysokie stopy inflacji, czasem graniczące z hiperinflacją. Nigeria, najludniejszy kraj Afryki, miała w 1995 r. stopę inflacji na poziomie 75%. Na początku XXI w. problem inflacji w większości krajów zmniejszył się, przynajmniej w porównaniu z ostatnimi latami XX w. W rozpoczynającej niniejszy rozdział zauważyliśmy, że w ostatnich latach najbardziej jaskrawym w skali globalnej przykładem hiperinflacji było Zimbabwe, gdzie w pewnym momencie rząd emitował banknoty o wartości nominalnej 100 bln dol. zimbabweńskich. Mimo że banknoty miały nominał 100 000 000 000 000 dol., w istocie były prawie bezwartościowe. W wielu krajach pamięć o dwu-, trzy-, a nawet czterocyfrowej inflacji jest ciągle żywa. Key Concepts and Summary W gospodarce amerykańskiej roczna stopa inflacji w latach 2000–2020 mieściła się w przedziale od 2% do 4%, ale tempo wzrostu cen podwoiło się w 2021 i 2022 r. (stopa inflacji wyniosła odpowiednio 7% i 6,5%). W Polsce w tym samym czasie średnioroczna stopa inflacji wynosiła 2,6%, lecz podobnie jak w USA tempo wzrostu cen zaczęło szybko rosnąć w okresie 2021–2022 (5,1% w roku 2021 i 14,4% w 2022). W USA w XX w. najwyższe wartości inflacja przyjmowała po I i II wojnie światowej oraz w latach 70. Z kolei w Polsce po I wojnie światowej wybuchła hiperinflacja, zaś na przełomie lat 80. i 90. XX w. stopa inflacji kształtowała się na poziomie trzycyfrowym. Okresem najniższej inflacji – a właściwie deflacji – tak w Stanach Zjednoczonych, jak i w Polsce był okres Wielkiego Kryzysu lat 30. XX w. Deflacja w Polsce wystąpiła również w latach 2015–2016. Self-Check Question Wejdź na tę stronę , aby zapoznać się z kalkulatorem siły nabywczej na MeasuringWorth.com. Ile pieniędzy dziś potrzeba, aby kupić to, co w roku twojego urodzenia kosztowało jednego dolara? Kalkulator wymaga wprowadzenia trzech liczb: rok początkowy, w tym przypadku rok twoich narodzin, kwota, dla której chcesz obliczyć siłę nabywczą, rok końcowy – rok obecny lub rok z najbardziej aktualnymi danymi, który zostanie zaakceptowany przez kalkulator. Jeśli ktoś, tak jak autor podręcznika, urodził się w 1955 r., prosty kalkulator siły nabywczej pokazuje, że zakupy za 1 dol. z 1955 r. w roku 2012 będą kosztowały 8,57 dol. (kalkulator przyjmuje właśnie ten rok jako okres z dostępnymi danymi). Na tej stronie znajduje się także wyjaśnienie, że prawdziwa odpowiedź jest bardziej skomplikowana niż to, co pokazuje ten prosty kalkulator siły nabywczej. Review Questions W jakim przedziale kształtowała się inflacja CPI w Polsce i w USA w XXI w.? Biorąc pod uwagę drugą połowę XX w., wskaż, w jakim okresie stopa inflacji w USA była najwyższa, a w jakim najniższa. Co to jest deflacja? Critical Thinking Question Jak sądzisz, dlaczego amerykańskie doświadczenia z inflacją w ciągu ostatnich 50 lat były o wiele łagodniejsze niż w wielu innych krajach? Problems Z dokładnością do 0,2 punktu procentowego określ przedział, w jakim znajdowała się stopa inflacji w USA i w Polsce w ciągu ostatnich 20 lat. Narysuj wykresy, które to zobrazują. deflacja (ang. deflation ) sytuacja, w której wartość wskaźnika cen towarów i usług konsumpcyjnych (CPI) maleje, przeciwieństwo inflacji hiperinflacja (ang. hyperinflation ) niezwykle wysoka inflacja, osiągająca rocznie co najmniej czterocyfrowe wartości w ujęciu procentowym, utrzymująca się przez wiele miesięcy; jest skutkiem wojen, rewolucji, przewrotów politycznych (w tym zmiany systemu gospodarczego) i klęsk żywiołowych", "section": "Zmiany inflacji na świecie", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Zamieszanie wokół inflacji Po przeczytaniu tego podrozdziału będziesz w stanie: Wytłumaczyć, w jaki sposób inflacja może prowadzić do redystrybucji siły nabywczej Wskazać, jak inflacja może zaburzyć postrzeganie podaży i popytu Wyjaśnić gospodarcze korzyści i wyzwania związane z inflacją Zawodowi ekonomiści zwykle są przeciwnikami wysokiej inflacji, ale w sposób znacznie mniej ortodoksyjny niż ogół społeczeństwa. Robert Shiller , jeden z laureatów Nagrody Nobla w dziedzinie ekonomii z 2013 r., przeprowadził w ciągu ostatniej dekady XX w. kilka badań dotyczących postaw społeczeństwa wobec inflacji. Jedno z zadanych przez niego pytań brzmiało: „Czy zgadzasz się, że zapobieganie wysokiej inflacji jest kluczowym wyzwaniem dla władz publicznych, równie ważnym, jak zapobieganie narkomanii czy poprawa jakości publicznej edukacji?”. Odpowiedzi udzielano w skali od 1 do 5, gdzie 1 oznaczało „całkowicie się zgadzam”, a 5 – „zupełnie się nie zgadzam”. Aż 52% badanych Amerykanów wybrało wariant pierwszy („całkowicie się zgadzam”), a tylko 4% odpowiedź „zupełnie się nie zgadzam”. Jednak wśród zawodowych ekonomistów jedynie 18% wskazało wariant „całkowicie się zgadzam”, podczas gdy taki sam odsetek odpowiedział „zupełnie się nie zgadzam”. „Kraina Śmiesznych Pieniędzy” Jakie są gospodarcze koszty inflacji i dlaczego ekonomiści często traktują je z mniejszą troską niż ogół społeczeństwa? Rozważmy krótką historię: Kraina Śmiesznych Pieniędzy . Pewnego ranka mieszkańcy Krainy Śmiesznych Pieniędzy obudzili się i stwierdzili, że ceny wszystkiego, co jest wyrażone w pieniądzu, a zatem również płace, wzrosły o 20%. Zmiana ta była zupełnie niespodziewana. Cena każdego artykułu w każdym sklepie była o 20% wyższa, podobnie jak wynagrodzenia wszystkich mieszkańców, odsetki od zaciągniętych kredytów, oprocentowanie lokat itd. Ilość pieniędzy, od portfeli po konta oszczędnościowe, była o 20% większa. Ten niespodziewany nocny wzrost wszystkich cen w gospodarce trafił rzecz jasna na pierwsze strony gazet w Krainie Śmiesznych Pieniędzy. Jednak nagłówki szybko przestały być sensacją, ponieważ ludzie zdali sobie sprawę z tego, że jeśli chodzi o siłę nabywczą ich dochodów i realną wartość oszczędności, nic się nie zmieniło, w dalszym ciągu mogą kupić to samo, co przed niespodziewanym wzrostem cen. Tym samym inflacja nie miała żadnego wpływu na gospodarkę. Płace pozwalały na zakupy tego samego koszyka dóbr, zaś oszczędności w dalszym ciągu umożliwiały sfinansowanie zakupu samochodu lub nieruchomości. Stopa inflacji w wysokości 20% (a więc całkiem wysoka) z punktu widzenia społeczeństwa okazała się bez znaczenia. Gdy ludzie biorący udział w badaniach Roberta Shillera wyjaśniali swoje obawy związane z inflacją, jednym z typowych argumentów uzasadniających przeciwdziałanie temu zjawisku był ten, że w miarę wzrostu cen nie będą mogli pozwolić sobie na zakup takiej samej ilości dóbr i usług. A martwili się, bo nie mieszkają w Krainie Śmiesznych Pieniędzy, gdzie wszystkie ceny i płace rosną jednocześnie. Żyją w konkretnym kraju, a doświadczenie podpowiada im, że ceny mogą rosnąć znacznie szybciej niż płace. Co ciekawe, ekonomiści wyznają raczej przeciwny pogląd. Ich zdaniem w długim okresie tempo wzrostu cen jest zazwyczaj mniej więcej równe tempu wzrostu płac nominalnych, w związku z czym inflacja ma niewielki wpływ na siłę nabywczą dochodów konsumentów. Gdyby wszystkie ceny, płace i stopy procentowe dostosowywały się automatycznie i natychmiast do inflacji, tak jak w Krainie Śmiesznych Pieniędzy, wtedy zjawisko to nie miałoby żadnego wpływu na sytuację społeczeństwa w kontekście wynagrodzeń, siły nabywczej, zysków czy odsetek od kredytu. Jeśli jednak zmienne ekonomiczne nie dostosowują się do inflacji natychmiast i w pełni, wówczas zjawisko to może prowadzić do trzech negatywnych konsekwencji: niepożądanej redystrybucji siły nabywczej, zakłócenia sygnałów cenowych i trudności w długookresowym planowaniu. Niepożądana redystrybucja siły nabywczej Inflacja może powodować redystrybucję siły nabywczej, która dla jednych ma negatywne, a dla innych pozytywne konsekwencje. Do grupy osób dotkniętych kosztami inflacji należą ci, którzy trzymają znaczną ilość gotówki, czy to w sejfie, czy w bieliźniarce. Gdy pojawia się inflacja, siła nabywcza gotówki maleje, za jednostkę pieniężną (niezależnie od tego, czy jest to dolar, czy złoty) można po prostu kupić mniej. Gotówka jest jednak tylko ilustracją szerszego problemu: każdy, kto posiada aktywa finansowe zainwestowane w taki sposób, że nominalna stopa zwrotu jest niższa od inflacji, po prostu traci. Aby to zrozumieć, wystarczy sobie wyobrazić, że za 7000 zł można kupić 1000 l benzyny (jak łatwo policzyć, litr paliwa kosztuje 7 zł). Wpłacam moje 7000 zł na lokatę bankową oprocentowaną na 4% w stosunku rocznym, podczas gdy stopa inflacji wynosi 5%. Po roku mam 7280 zł, ale litr benzyny kosztuje już 7 zł i 35 gr. A to oznacza, że realna wartość moich oszczędności wyrażona w litrach benzyny, które mogę kupić, zmniejszyła się z 1000 do ok. 990 l paliwa. W tym przykładzie realna stopa zwrotu dla pieniędzy zainwestowanych na koncie bankowym wynosi ­1%. Problem dodatniej nominalnej stopy procentowej przekształcającej się w wyniku inflacji w ujemną realną stopę procentową może być dodatkowo pogłębiony przez podatki. Podatek od dochodów kapitałowych w Polsce (czyli tzw. podatek Belki) jest naliczany od nominalnej stopy procentowej, bez uwzględnienia stopy inflacji. A więc osoba, która inwestuje 10 tys. zł przy nominalnej stopie procentowej równej 5%, od otrzymanych 500 zł będzie musiała odprowadzić podatek w wysokości 20% – bez względu na to, czy stopa inflacji wynosi 0%, 5%, 10% czy jak na początku 2023 r. w Polsce – blisko 19%. Jeśli inflacja wynosi 0%, to rzeczywista stopa procentowa wynosi 5%, a całe 500 zł to wzrost siły nabywczej. Jeśli jednak inflacja wynosi 5%, wówczas realna stopa procentowa wynosi zero i osoba oszczędzająca tak naprawdę nie osiągnęła żadnego realnego zysku, ale i tak płaci podatek dochodowy od zysku nominalnego. Jeśli inflacja wynosi 19%, wówczas realna stopa procentowa jest ujemna i wynosi –14%, a dana osoba faktycznie traci swą siłę nabywczą (tak jak w przykładzie z benzyną), ale i tak będzie musiała zapłacić podatek od 500 zł nominalnego zysku. Inflacja może również spowodować spadek siły nabywczej wynagrodzeń. Faktem jest, że w czasie wraz z inflacją płace zazwyczaj rosną. Ostatni wiersz w na początku niniejszego rozdziału pokazał, że średnia płaca godzinowa w przemyśle wytwórczym w gospodarce amerykańskiej wzrosła z 3,23 dol. w 1970 r. do 30,11 dol. w roku 2021, co oznacza wzrost o ok. 1000% (wzrost dziesięciokrotny). W tym samym okresie wartość wskaźnika CPI zwiększyła się tylko ok. ośmiokrotnie. Jednak wzrost płac może pozostać w tyle za inflacją przez rok lub dwa, bo płace są korygowane przez pracodawców zazwyczaj raz w roku (poza okresami hiperinflacji, kiedy mogą się zmieniać nawet codziennie), a niekiedy nawet rzadziej (ekonomiści nazywają tę cechę płac „lepkością”), a ceny rosną co miesiąc. To, w jakim stopniu wzrost płac zrekompensuje wzrost cen, pozostaje dla pracowników niewiadomą i może wiązać się z bolesnymi, długotrwałymi konfliktami między pracodawcami a pracownikami. Jeśli rząd równie rzadko dostosowuje poziom płacy minimalnej do inflacji, zatrudnieni otrzymujący minimalne wynagrodzenie tracą swoją siłę nabywczą, co pokazuje . Płaca minimalna i jej realna wartość w USA w latach 1965–2020 Po uwzględnieniu inflacji siłą nabywcza federalnej płacy minimalnej w USA zmniejszyła się o ok. 30% w latach 1965–2020, mimo że nominalnie jej wartość w tym samym okresie wzrosła z 1,40 dol. do 7,25 dol. za godzinę. Podwyżki płacy minimalnej, do jakich doszło w latach 2008–2010, nie doprowadziły do realnego wzrostu wartości minimalnego wynagrodzenia, a jedynie zmniejszyły skalę spadku jego siły nabywczej. Od 2010 r. realna wartość płacy minimalnej nadal sukcesywnie spada. (Źródło: http://www.dol.gov/whd/minwage/chart.htm and http://data.bls.gov/cgi-bin/surveymost?cu). Poza pracownikami otrzymującymi minimalne wynagrodzenie jest jeszcze jedna stosunkowo liczna grupa, która ponosi w USA koszty inflacji, gdyż jej dochody nie zmieniają się w czasie. Tą grupą są emeryci otrzymujący swoje świadczenie z prywatnego funduszu emerytalnego. W przeszłości konstrukcja większości emerytur zakładała stałość świadczenia w czasie. W momencie zakończenia aktywności zawodowej ustalana była stała kwota, którą emeryt miał otrzymywać do końca swojego życia. Z tego powodu ekonomiści nazywają takie emerytury programami o zdefiniowanym świadczeniu. Nawet jeśli inflacja jest stosunkowo niska, jej połączenie ze stałym, w kategoriach nominalnych, świadczeniem może z czasem doprowadzić do poważnego spadku siły nabywczej emerytury. Osoba, która przechodzi na emeryturę o stałej wysokości tego świadczenia w wieku 65 lat, dość szybko zauważy, że utrata w związku z inflacją zaledwie 1% lub 2% siły nabywczej rocznie, po upływie 10 lub 20 lat prowadzi do poważnego zmniejszenia jego realnej wartości. Należy jednak podkreślić, że problem ten wynika nie tyle z konstrukcji systemu w oparciu o zdefiniowane świadczenie, ile raczej z braku mechanizmu waloryzacji kwoty emerytury. W Polsce system zdefiniowanego świadczenia istniał do końca XX w., ale coroczne waloryzacje kwoty emerytur do pewnego stopnia ograniczają zjawisko spadku ich siły nabywczej, w szczególności w odniesieniu do najniższych emerytur, w kontekście których waloryzacja ma charakter kwotowy, a nie procentowy, w związku z czym może prowadzić nie tylko do utrzymania, ale wręcz wzrostu siły nabywczej najniższych świadczeń. Tak jak to zostało powiedziane powyżej, czasami inflacja i będąca jej bezpośrednią konsekwencją niepożądana redystrybucja dochodu mogą przynosić korzyści zwykłym ludziom. To zresztą dosyć oczywiste, bo redystrybucja zawsze oznacza, że ktoś na danym zjawisku traci, a ktoś inny zyskuje. Spadek realnej wartości płacy minimalnej w USA w dotkliwy sposób ograniczał siłę nabywczą osób otrzymujących takie wynagrodzenie, ale z punktu widzenia amerykańskich pracodawców był zjawiskiem korzystnym, ponieważ zmniejszał realne koszty pracy. Podobnie rzecz się ma w przypadku zaciągniętych pożyczek lub kredytów. Rozważmy przykład kogoś, kto pożycza 50 tys. zł na zakup samochodu przy stałej stopie procentowej wynoszącej 9% (należy zaznaczyć, że kredyty i pożyczki o stałej stopie procentowej w polskim systemie bankowym są wciąż rzadkością, przede wszystkim z uwagi na mechanizm przedstawiony poniżej). Jeżeli w momencie zaciągania pożyczki inflacja wynosi 3%, to osoba ta musi spłacić pożyczkę przy rzeczywistej stopie procentowej wynoszącej 6%. Jeśli jednak inflacja wzrośnie do 9%, wówczas realna stopa procentowa kredytu wyniesie zero. W tym przypadku korzyść kredytobiorcy z inflacji jest kosztem kredytodawcy. Kredytobiorca płacący stałą stopę procentową i korzystający na inflacji będzie zupełnie inaczej postrzegał to zjawisko (zwłaszcza jeśli jego wynagrodzenie również będzie rosło w tempie 9% rocznie) niż kredytodawca, który ponosi koszt inflacji, bo realna stopa zwrotu z jego kapitału wynosi 0%. Wtedy, gdy stopy procentowe są stałe, wzrost inflacji zazwyczaj jest niekorzystny dla dostawców kapitału finansowego, którzy otrzymują zapłatę za oferowany czynnik produkcji w jednostkach nominalnych, tracących na wartości w wyniku inflacji. W tym samym czasie pożyczkobiorcy są w lepszej sytuacji, ponieważ mogą spłacić swoje pożyczki w jednostkach pieniężnych wartych mniej, niż pierwotnie oczekiwano. Ponownie zwróćmy uwagę na fakt, że mechanizm ten faworyzuje państwo, które zazwyczaj nie tylko jest największym pożyczkobiorcą w gospodarce, ale też ma wpływ na wysokość stopy inflacji, w związku z czym może dzięki niej zmniejszać realny ciężar swojego zadłużenia. W tym konkretnym przypadku redystrybucji dochodu na korzyść państwa z pewnością nie można określić jako niepożądanej, przynajmniej z punktu widzenia tegoż państwa. Niepożądana redystrybucja siły nabywczej, która jest skutkiem inflacji, może mieć bardzo poważny wpływ na społeczeństwo. Powszechna akceptacja wykorzystania mechanizmu rynkowego do dystrybucji dochodów i majątku w Stanach Zjednoczonych opiera się na przekonaniu, że działania ludzi mają uzasadniony związek z efektami rynkowymi, czyli dochodami, jakie osiągamy, i tym samym wpływają na stan naszego majątku. W sytuacji, w której inflacja znacznie zmniejsza siłę nabywczą emerytur lub ogranicza zyski kredytodawców na rynku kapitałowym, a faworyzuje tych, którzy zaciągnęli pożyczki przy stałej stopie procentowej, trudno uwierzyć, że jest to w jakiejkolwiek mierze wynik ciężkiej pracy, inicjatywy, inteligencji czy innych przymiotów. Podobnie gdy właściciele domów korzystają z inflacji, ponieważ cena ich nieruchomości wzrasta, podczas gdy najemcy cierpią, bo płacą wyższy czynsz, trudno jest dostrzec jakiekolwiek pozytywne efekty motywacyjne tego zjawiska. Jednym z powodów, dla których społeczeństwo tak bardzo negatywnie ocenia inflację, jest poczucie, że daje ona ekonomiczne nagrody i kary w sposób arbitralny. I dlatego może być postrzegana jako niesprawiedliwa, a nawet niebezpieczna, jak pokazuje następna . Czy istnieje związek między niemiecką hiperinflacją a dojściem Hitlera do władzy? Republika Weimarska, czyli państwo, które wyłoniło się z Cesarstwa Niemieckiego po I wojnie światowej, doświadczyła okresu hiperinflacji, będącej konsekwencją nadmiernej emisji pieniądza (marki niemieckiej) w czasie i tuż po zakończeniu tego konfliktu zbrojnego. Wprawdzie objęcie władzy przez Adolfa Hitlera i partię narodowosocjalistyczną zbiegło się w czasie z Wielkim Kryzysem, który niejako utorował dojście nazistów do władzy, ale warto przyjrzeć się również zdarzeniom o dekadę wcześniejszym. Robert J. Shiller opisał tę sekwencję wydarzeń w dokumentach roboczych National Bureau of Economic Research z 1996 r.: Faktem, który jest dzisiaj prawdopodobnie mało znany młodym ludziom, nawet w Niemczech, jest to, że ostateczny upadek marki w 1923 r., czasie, gdy inflacja osiągnęła astronomiczne poziomy (stopa wzrostu cen blisko 35 975% w samym listopadzie 1923 r., co daje roczną inflację równą 4,69 × 10 28 %), nastąpił w tym samym miesiącu, co pucz monachijski Hitlera, czyli zbrojna próba obalenia rządu niemieckiego przez partię nazistowską. Fiasko tych starań doprowadziło do uwięzienia Hitlera, który czas spędzony w więzieniu wykorzystał do napisania książki Mein Kampf (...). Większość ludzi w dzisiejszych Niemczech prawdopodobnie nie zna dobrze tych wypadków, co może wynikać z faktu, że pamięć o nich zatarły bardziej dramatyczne zdarzenia, które nastąpiły później (przejęcie władzy przez nazistów i II wojna światowa). Jednak dla kogoś żyjącego w tamtych czasach pucz był konsekwencją inflacji… Zakłócenia sygnałów cenowych W gospodarce rynkowej ceny są nośnikiem informacji o popycie i podaży. Inflacja zakłóca ten przekaz i utrudnia odbiór niezbędnych informacji w taki sam sposób, w jaki zakłócenia sygnału radiowego utrudniają słuchanie audycji radiowej. Jeśli zakłócenia stają się odpowiednio silne, trudno jest stwierdzić, co tak naprawdę dzieje się w gospodarce. Gdy w 1985 r. inflacja w Izraelu wzrosła do 500% rocznie, niektóre sklepy przestały umieszczać ceny bezpośrednio na produktach, bo w warunkach tak szybkich wzrostów cen musiałyby zmieniać etykiety co kilka dni. Zamiast tego kupujący po prostu brał artykuły z półki i podchodził do kasy, by poznać cenę obowiązującą danego dnia. Oczywiście taka sytuacja sprawia, że porównywanie cen i poszukiwanie najkorzystniejszych ofert staje się prawie niemożliwe. Gdy poziom i tempo zmian cen stają się trudne do przewidzenia, przedsiębiorstwom i osobom prywatnym trudniej jest reagować na sygnały gospodarcze płynące z rynku. Czy w świecie, w którym inflacja jest dość wysoka, ale tempo zmian cen waha się w górę i w dół w dość szerokim zakresie, wyższa cena dobra oznacza, że inflacja wzrosła, czy też że podaż tego dobra spadła, a może popyt na to dobro wzrósł? Czy nabywca dobra powinien potraktować wyższe ceny jako ekonomiczną wskazówkę, aby zacząć szukać substytutów, czy też ceny substytutów wzrosły o taką samą wartość i nie warto szukać na rynku alternatyw? Czy sprzedawca powinien potraktować wyższą cenę jako powód do zwiększenia produkcji, czy też wyższa cena jest jedynie oznaką ogólnej inflacji, która podnosi również ceny czynników produkcji? Prawidłowa odpowiedź na tego typu pytania ujawni się z czasem, ale w danym momencie trudno jest z pewnością stwierdzić, co jest prawdą. Wysoka i zmienna inflacja oznacza, że bodźce oddziałujące na podmioty gospodarcze w wyniku zmiany cen rynkowych stają się słabsze. Tym samym znacznie wolniej dochodzi do ustalenia stanu równowagi rynkowej (oczyszczenia rynku), a na wielu z nich nawet w średnim okresie panować będzie nierównowaga, czyli nadwyżka popytu lub podaży. Trudności w długookresowym planowaniu Inflacja może utrudniać planowanie przedsięwzięć gospodarczych w długim okresie. Omawiając zjawisko niepożądanej redystrybucji siły nabywczej, rozważaliśmy przypadek osoby, która w warunkach wysokiej inflacji próbuje zaplanować moment przejścia na emeryturę mającą charakter stałego i niepodlegającego waloryzacji świadczenia. Podobne problemy pojawiają się w przypadku wszystkich osób próbujących oszczędzać na przyszłą emeryturę, ponieważ muszą one zastanowić się nad wyborem aktywów finansowych, które pozwolą ochronić siłę nabywczą ich oszczędności na przestrzeni kilkudziesięciu lat w warunkach niemożliwej do przewidzenia inflacji. Inflacja, zwłaszcza na umiarkowanym lub wysokim poziomie, rodzi problemy dla procesu planowania w przedsiębiorstwach. Firma może zarobić na inflacji – np. regulując swoje zobowiązania (rachunki i wynagrodzenia pracowników) tak późno, jak to tylko możliwe, jednocześnie znacznie szybciej gromadząc przychody. Płaci w ten sposób jednostkami pieniężnymi o realnej wartości obniżonej przez inflację. Do pewnego stopnia tak właśnie wygląda model biznesowy sieci sklepów wielkopowierzchniowych (super- i hipermarketów) oraz dyskontów. Ich cykl zobowiązań, czyli okres, w jakim płacą za towary kupowane od wytwórców, jest znacznie dłuższy niż cykl należności, czyli wpłaty klientów kupujących produkty w placówkach handlowych. Standardowy okres zapłaty za umieszczany na półkach towar to 90–120 dni, zaś wpłaty klientów zazwyczaj spływają po 30–45 dniach. Oczywiście przedsiębiorstwa mogą również ponieść koszty związane z inflacją, np. firma detaliczna, która posiada zbyt dużą ilość gotówki, będzie ponosić wymierne straty z uwagi na obniżenie się realnej wartości utrzymywanych zasobów. Jeśli jednak w przedsiębiorstwie coraz więcej czasu poświęca się na analizowanie sposobów pozwalających zarobić dzięki inflacji, lub przynajmniej na niej nie stracić, w nieunikniony sposób tracony jest czas, który można byłoby przeznaczyć na ulepszanie dóbr i usług lub analizę możliwości obniżenia kosztów wytwarzania oferowanych na rynku produktów. Gospodarka z wysoką inflacją nagradza firmy, które znalazły sprytne sposoby na czerpanie zysków z tego zjawiska, i często są to podmioty, które nie wyróżniają się produktywnością, innowacyjnością czy jakością usług. W krótkim okresie niski lub umiarkowany poziom inflacji nie musi stanowić poważnej przeszkody w planowaniu działalności gospodarczej, ponieważ koszty i przychody ze sprzedaży mogą rosnąć w podobnym tempie. Jeśli jednak inflacja zmienia się znacząco w krótkim lub średnim okresie (albo przynajmniej istnieje realne niebezpieczeństwo takich krótkookresowych zmian), wówczas sensowne może być koncentrowanie się na dniu dzisiejszym i zarzucenie planów inwestycyjnych, które korzyści przyniosą za kilka lub nawet kilkanaście lat. Ewentualne potwierdzenie lub odrzucenie hipotezy, jakoby nawet stosunkowo niskie stopy inflacji obniżały tempo wzrostu wydajności, budzi wśród ekonomistów silne kontrowersje. Istnieją pewne dowody na to, że jeśli inflację uda się utrzymać na umiarkowanym poziomie, powiedzmy poniżej 3% rocznie, nie musi ona negatywnie wpływać na tempo realnego wzrostu gospodarczego. Dodatkowo określenie „niska inflacja” ma charakter względny. Dla krajów, które doświadczyły okresów hiperinflacji, roczna stopa inflacji na poziomie 20–30% może oddziaływać w zasadzie tak samo, jakby była bliska zeru. Jednak wielu ekonomistów zwróciło uwagę na to, że w okresach, kiedy inflacja w USA rosła i osiągała poziom ok. 10%, czyli np. na początku lat 70. XX w., wzrost produktywności w tym kraju spowolnił, a wraz ze spadkiem stopy inflacji (dezinflacją) w latach 80. produktywność zaczęła rosnąć, co pokazuje . Stopa inflacji i tempo zmian produktywności pracy w USA w latach 1961–2020 W ciągu ostatnich kilkudziesięciu lat w Stanach Zjednoczonych zdarzało się, że rosnącym wskaźnikom inflacji towarzyszyła niska dynamika wzrostu (lub nawet spadek) produktywności pracy, a malejącej inflacji odpowiadało rosnące tempo wzrostu produktywności. Patrząc na wykres, trudno mówić jednak o stałej i jednoznacznej zależności pomiędzy tymi dwiema zmiennymi. Czy inflacja niesie ze sobą jakieś korzyści? Chociaż gospodarcze skutki inflacji mają przede wszystkim negatywny charakter, warto zwrócić uwagę na dwie kwestie, które pozwolą spojrzeć na to zjawisko w nieco odmienny sposób. Po pierwsze, konsekwencje inflacji będą się znacznie różnić w zależności od tego, jak szybko rośnie wartość wskaźnika cen towarów i usług konsumpcyjnych. Inaczej rzecz będzie się miała w sytuacji, gdy roczna dynamika wzrostu cen kształtuje się na poziomie 2–3%, inaczej wtedy, gdy ceny rosną w tempie 20–30% rocznie, a jeszcze inaczej w przypadku hiperinflacji, która oznacza np. pięciokrotny wzrost cen w ciągu jednego dnia. Hiperinflacja może zdewastować zarówno gospodarkę, jak i społeczeństwo, jednak od wzrostu poziomu cen rzędu 2–3% rocznie do hiperinflacji i społecznego kryzysu o skali trudnej do wyobrażenia droga jest bardzo daleka. Większość ekonomistów uważa również, że niska inflacja jest dla gospodarki bardziej korzystny niż deflacja, która towarzyszy głębokim kryzysom, takim jak Wielki Kryzys z lat 30. XX w. Po drugie, ekonomiści czasami twierdzą, że umiarkowana inflacja może pomóc gospodarce poprzez uelastycznienie płac na rynku pracy. W analizie, która została przedstawiona w zwrócono uwagę na fakt, że płace charakteryzują się lepkością i może to być jeden z czynników generujących bezrobocie. Niewielka inflacja zmniejsza poziom płac realnych (przy założeniu, że płace nominalne są stałe), a tym samym przekłada się na niższe bezrobocie. Z punktu widzenia pracodawców nie ma bowiem znaczenia, czy płace maleją dlatego, że ich nominalny poziom obniża się przy zerowej inflacji (co, jak wiemy, jest dość trudne), czy też dlatego, że ich nominalny poziom jest stały w warunkach umiarkowanej inflacji. Jeśli więc wysoka stopa inflacji działa jak piasek w trybach gospodarki, to być może niska służy jak smar lub olej w jej silniku. Ten argument jest oczywiście dość kontrowersyjny i konia z rzędem temu, kto dokładnie określi, kiedy inflacja z niskiej zmienia się w umiarkowaną lub wysoką. Jednak pełna analiza ekonomicznych konsekwencji inflacji musiałaby uwzględniać wszystkie jej efekty. Daje to kolejny powód, by sądzić, że niskie stopy inflacji mogą nie być szczególnie szkodliwe dla gospodarki. Key Concepts and Summary Nieoczekiwana inflacja będzie szkodzić tym, których dochód, niezależnie od tego, czy są to płace, odsetki od pożyczonego kapitału, czy też świadczenia emerytalne, nie jest waloryzowany, czyli dostosowywany do stopy inflacji. Inflacja może natomiast generować korzyści dla tych podmiotów, które zaciągnęły pożyczki lub kredyty przy stałej stopie procentowej i dzięki temu spłacają swoje zobowiązania jednostkami pieniężnymi o malejącej wartości. Jeśli inflacja jest niska, jej wpływ na gospodarkę w krótkim okresie staje się pomijalny, jednak nawet niska inflacja w średnim i długim okresie może negatywnie wpływać na decyzje dotyczące strategii konkretnych ludzi i przedsiębiorstw w przyszłości. Z kolei wysoka inflacja może nawet w krótkim okresie zakłócić sygnały cenowe i uniemożliwić skuteczne działanie sił rynkowych, w długim okresie zaś utrudniać podejmowanie decyzji dotyczących oszczędności i inwestycji w przyszłości, zmniejszając tempo wzrostu produktywności czynników produkcji (pracy). Self-Check Question Jeśli inflacja nieoczekiwanie wzrośnie o 5 punktów procentowych w skali roku, to czy jednostka samorządu terytorialnego (JST), która niedawno pożyczyła pieniądze, aby zapłacić za budowę nowej drogi, zyska, czy straci? Władze takiej JST zyskałyby, ponieważ spłata pożyczki nastąpiłaby w złotych o mniejszej sile nabywczej (realnej wartości) niż te, które zostały pożyczone. Ponadto dochody podatkowe takiej jednostki samorządu terytorialnego w wyniku inflacji zapewne wzrosną. Review Question Wskaż kilka podmiotów, które na inflacji korzystają, i kilka takich, które tracą na tym zjawisku. Critical Thinking Questions Jeśli wynagrodzenia za pracę sukcesywnie rosną w tempie równym stopie inflacji, to dlaczego ludzie uważają, że inflacja negatywnie wpływa na ich dochody? Kto w gospodarce w największym stopniu korzysta na inflacji? References Shiller, Robert. “Why Do People Dislike Inflation?” NBER Working Paper Series, National Bureau of Economic Research , p. 52. 1996.", "section": "Zamieszanie wokół inflacji", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Indeksacja i jej ograniczenia Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić sprzężenie zwrotne pomiędzy indeksacją a inflacją Wskazać trzy sposoby, jakie może wykorzystać państwo, aby kontrolować inflację narzędziami polityki makroekonomicznej W poprzednim podrozdziale przywołaliśmy już zjawisko waloryzacji, czyli zwiększenia wartości emerytur zgodnie ze stopą inflacji. Waloryzacja emerytur jest jednak tylko jednym z elementów procesu, który polega na automatycznym dostosowaniu cen, płac i stóp procentowych do inflacji, który ekonomiści nazywają indeksacją (ang. indexed ). Indeksowana wartość wzrasta w tym samym tempie, co wybrana miara inflacji, najczęściej wskaźnik cen towarów i usług konsumpcyjnych (CPI). Negatywne skutki inflacji wywoływane są w dużej mierze przez fakt, że zjawisko to – szczególnie gdy ma charakter niespodziewany – wpływa na jedną część gospodarki, ale na pozostałe już nie. Na przykład zwiększa ceny, ale już nie płace. Proces indeksacji ogranicza te asymetryczne konsekwencje inflacji. Indeksacja na rynkach prywatnych w USA W latach 70. i 80. ub. wieku amerykańskie związki zawodowe dość powszechnie wykorzystywały w negocjacjach płacowych klauzule korekty kosztów utrzymania ( COLA ) (ang. cost-of-living adjustments ), które gwarantowały, że płace będą nadążały za inflacją. Kontrakty zawierające te klauzule były najczęściej konstruowane w taki sposób, że wpisywano w niej zasadę „COLA plus”, np. COLA plus 3%. W takim przypadku dla stopy inflacji na poziomie 5% wzrost płac wynosiłby automatycznie 8%, ale jeśli inflacja osiągnęłaby 9%, płace z automatu wzrosłyby już o 12%. COLA jest formą indeksacji stosowaną do wynagrodzeń. Kredyty udzielane przez sektor bankowy zwykle mają wbudowane korekty inflacyjne polegające na tym, że wzrost stopy inflacji o 2 punkty procentowe spowoduje automatyczny wzrost stopy procentowej, którą instytucja finansowa pobiera od kredytu, również o 2 punkty procentowe. W Polsce taką funkcję pełni międzybankowa stopa procentowa, określana powszechnie jako WIBOR, której wartość – oczywiście w pewnym uproszczeniu – zmienia się wraz ze zmianami inflacji (dokładniej, WIBOR podąża za wysokością stóp procentowych ustalanych przez NBP, ale te oczywiście rosną wraz ze wzrostem inflacji). Jeśli oprocentowanie kredytu hipotecznego ze zmienną stopą procentową oparte jest na zasadzie WIBOR plus marża, to wraz ze wzrostem stopy inflacji koszt kredytu dla osób, które go zaciągnęły, będzie rósł, zabezpieczając interesy instytucji pożyczkowej. W Stanach Zjednoczonych wprowadzono z kolei kredyt hipoteczny o zmiennym oprocentowaniu ( ARM ) (ang. adjustable-rate mortgage ), w którym stopa procentowa zmienia się wraz ze stopą inflacji. Kredytobiorca mógł wybrać jedną z dwóch opcji – stałe oprocentowanie kredytu lub oprocentowanie zmienne wbudowane w produkty typu ARM. Jeśli ktoś decydował się na oprocentowanie stałe, musiał zaakceptować wyższą stopę procentową w momencie zaciągnięcia zobowiązania, ale miał gwarancję, że stopa ta się nie zmieni. Z drugiej strony kredyty o zmiennym oprocentowaniu oferowały niższy poziom stóp procentowych, który mógł jednak wzrosnąć w okresie trwania umowy. W Polsce tego typu rozwiązania są wciąż niezwykle rzadkie i klienci biorący kredyty hipoteczne niemal zawsze mają do czynienia ze zmienną stopą procentową. Z drugiej strony, czy ktoś zdecydowałby się na zaciągnięcie kredytu hipotecznego ze stałą stopą procentową w marcu 2023 r., mając świadomość, że inflacja w Polsce będzie w kolejnych latach spadać (tak przynajmniej zapowiadali wszyscy eksperci, choć oczywiście różnili się w ocenie tempa tego spadku)? Warto jednak pamiętać, że kredyty te zaciągane są zazwyczaj na kilkadziesiąt lat i nikt nie potrafi przewidzieć, czy w przyszłości inflacja w Polsce nie przekroczy poziomu 20%. Wiele odnawianych automatycznie i długoterminowych umów biznesowych również zawiera zapisy o automatycznym dostosowywaniu cen do zmian wysokości inflacji. Tego typu kontrakty wykorzystuje się szczególnie w sytuacji, gdy stopa inflacji jest trudna do przewidzenia. Przy cenach wyrażonych w kategoriach nominalnych nie ma zatem możliwości określenia wysokości kwot wbudowanych w kontrakt w taki sposób, aby zabezpieczyć jednocześnie interesy sprzedającego i kupującego. Sprzedawcy cenią sobie takie umowy, bo ryzyko związane ze spadkiem realnego przychodu, gdyby inflacja była jednak wyższa od przewidywanej, jest w ich przypadku niezwykle małe. Kupujący z kolei wiedzą, że jeśli inflacja będzie niższa od oczekiwanej, nie zapłacą zbyt dużo. Umowa z klauzulą o automatycznym dostosowywaniu do inflacji wykorzystuje tym samym realny poziom cen. Indeksacja w programach publicznych Wiele amerykańskich programów publicznych zawiera mechanizm indeksowania do inflacji zarówno wysokości dochodów, jak i wydatków. System podatku od dochodów osobistych w USA, podobnie jak polski PIT, ma charakter progresywny, czyli po przekroczeniu pewnego progu dochodowego od nadwyżki płaci się podatek według wyższej stawki (krańcowa stopa podatkowa rośnie). Między innymi dlatego właśnie używa się potocznie określenia „wpaść w wyższy próg podatkowy”. W pewnym uproszczeniu, bo system podatku od dochodów osobistych w Polsce nie jest wzorem klarowności, zarówno w roku 2022, jak i 2023 od dochodów niższych niż 120 tys. zł płaciło się 12% podatku, pomniejszonego o 3600 zł, natomiast od nadwyżki dochodu powyżej kwoty 120 tys. zł podatek wynosił już 32%. Ze względu na wiele skomplikowanych przepisów prawa podatkowego istniejących zarówno w USA, jak i w Polsce trudno jest dokładnie określić wysokość zobowiązania, jakie dana osoba na podstawie powyższych stawek i progów powinna zapłacić. Niemniej, co do zasady, wraz ze wzrostem nominalnego dochodu stawki podatkowe rosną. A zatem wzrost dochodów nominalnych wynikający z inflacji, który przecież nie przekłada się na zwiększenie siły nabywczej (dochodów realnych), może oznaczać realny wzrost zobowiązania podatkowego (jeśli dojdzie do przekroczenia progu podatkowego). Aby temu zapobiec, w 1981 r. administracja federalna w USA wprowadziła mechanizm automatycznej indeksacji progów podatkowych. W Stanach Zjednoczonych indeksowane są jednak nie tylko progi podatkowe, ale również świadczenia socjalne. Od czasu uchwalenia ustawy o indeksacji ubezpieczeń społecznych w 1972 r. wysokość świadczeń z tytułu ubezpieczeń społecznych wzrasta co roku wraz ze wskaźnikiem cen towarów i usług konsumpcyjnych. Ponadto z uwagi na fakt, że system zabezpieczenia społecznego w USA jest finansowany z podatków od wynagrodzeń, które zostały nałożone na dochody powyżej 137 700 dol. rocznie (stan na rok 2020), również ta kwota jest automatycznie indeksowana. Mamy zatem do czynienia z automatycznym wzrostem tak świadczeń, jak i bazy podatkowej finansującej ich wypłacanie. W Polsce z kolei emerytury są w automatyczny sposób zwiększane w drodze waloryzacji. Procedura rozpoczyna się 1 marca każdego roku i ma zrekompensować utratę siły nabywczej tych świadczeń. Zasady indeksacji zostały wprowadzone Ustawą z dnia 17 grudnia 1998 r. o emeryturach i rentach z Funduszu Ubezpieczeń Społecznych. W roku 2023 waloryzacja będzie miała charakter kwotowo-procentowy. Część emerytur zostanie powiększona o gwarantowaną kwotę podwyżki, a część pomnożona przez wskaźnik waloryzacji. Wskaźnik waloryzacji emerytur w 2023 r. wyniesie 14,8% (przypomnijmy, że średnioroczna inflacja w 2022 r. była w Polsce na poziomie 14,4%), natomiast gwarantowana minimalna kwota podwyżki to 250 zł brutto, tj. 227,50 zł netto. Oznacza to, że jeśli wskaźnik procentowy nie pozwoli na zwiększenie emerytury o 250 zł brutto, zadziała zasada waloryzacji kwotowej. Kolejnym przykładem programu publicznego, w który wbudowana jest indeksacja, są specjalne obligacje oferowane przez rząd federalny Stanów Zjednoczonych od 1996 r. Obligacje są instrumentem, dzięki któremu państwo (i wiele firm z sektora prywatnego) pożycza pieniądze. Obligacje to specjalne papiery wartościowe, które emitowane są przez dłużnika i nabywane przez wierzycieli. Zakup obligacji uprawnia do ich odsprzedaży dłużnikowi po cenie emisyjnej powiększonej o specjalną premię, która jest wynagrodzeniem za wykorzystanie kapitału. Tradycyjnie zakup obligacji rządu Stanów Zjednoczonych uprawniał do otrzymania stałej premii określanej jako procent ceny emisyjnej. Taka polityka zachęcała rząd zaciągający pożyczki do pobudzania inflacji, ponieważ mógł on wtedy spłacić swoje zobowiązania wobec nabywców obligacji pieniędzmi o niższej sile nabywczej. Jeśli bowiem inflacja wynosiła 10%, a premia za zakup obligacji określona została np. na 8% ceny nominalnej, to nabywca obligacji po jej wykupie przez rząd otrzymywał kwotę, której realna wartość była niższa niż suma przeznaczona przez tegoż nabywcę na zakup obligacji. Jednak obligacje indeksowane gwarantują wypłatę premii w wysokości określonej przez realną stopę procentową, która jest równa stopie nominalnej powiększonej o stopę inflacji. W przypadku emeryta próbującego planować długoterminowo i martwiącego się o ryzyko wzrostu inflacji obligacje indeksowane, które gwarantują stopę zwrotu wyższą niż inflacja – bez względu na jej poziom – mogą być bardzo interesującą inwestycją. Podobny mechanizm jest wbudowany w oferowane w Polsce obligacje indeksowane inflacją. Czy indeksacja może zmniejszyć obawy związane z inflacją? Indeksacja może się wydawać całkiem rozsądnym posunięciem. W końcu, gdy dochody osób i przedsiębiorstw oraz programy publiczne są indeksowane o inflację, ludzie mogą mniej się martwić o niepożądaną redystrybucję dochodów i inne niekorzystne konsekwencje wzrostu cen. Jednak niektórzy z najbardziej nieprzejednanych przeciwników inflacji na indeksację patrzą bardzo podejrzliwie. Zwracają uwagę, że indeksacja jest zawsze częściowa. Nie każdy pracodawca zapewni pracownikom mechanizm korekty kosztów utrzymania (COLA). Nie wszystkie firmy mogą założyć, że ich koszty i przychody będą rosły dokładnie w tym samym tempie, co wskaźnik cen towarów i usług konsumpcyjnych (CPI). Nie wszystkie stopy procentowe dla kredytobiorców i depozytariuszy zmienią się tak, by dokładnie odpowiadać tempu wzrostu inflacji. Jednak w miarę rozpowszechniania się mechanizmów indeksacji polityczny sprzeciw wobec inflacji może zmaleć. W końcu starsze osoby, których świadczenia Social Security są chronione przed inflacją, lub banki, które udzieliły kredytów o zmiennym oprocentowaniu, nie mają już tak wielu powodów, by przejmować się tym, jak wysoka jest stopa inflacji. W świecie, w którym niektórzy ludzie mogą być chronieni przed inflacją, a inni nie, lepiej zorientowani w finansach przedsiębiorcy i inwestorzy mogą szukać sposobów zabezpieczenia swoich zysków, podczas gdy podmioty posiadające mniejszą wiedzę finansową mogą wciąż bardzo na inflacji ucierpieć. Przegląd dyskusji politycznych na temat inflacji W niniejszym rozdziale skupiliśmy się na tym, w jaki sposób ekonomiści mierzą inflację, na historycznych doświadczeniach z inflacją w różnych krajach, na metodach dostosowywania wartości zmiennych nominalnych do tempa wzrostu cen (indeksacja) oraz wpływie inflacji na gospodarkę. Pominęliśmy natomiast kwestię czynników, które inflację wywołują, i sposobów, które państwo może wykorzystać, aby zmniejszyć stopę inflacji lub wręcz całkowicie ją wyeliminować. Zagadnienia te zostaną dogłębnie przeanalizowane w kolejnych rozdziałach. Warto jednak przedstawić tutaj choćby wstępne informacje na ten temat. Opis czynników wywołujących inflację możemy zawrzeć w jednym zdaniu: zbyt wiele jednostek pieniężnych (dolarów lub złotych) w porównaniu z dostępnym w gospodarce wolumenem dóbr i usług. Inflacja w XX w. rosła przede wszystkim w konsekwencji wojen, w czasie których bardzo wysokie wydatki publiczne zamieniające się w dochody gospodarstw domowych nie napotykają dostatecznej oferty towarów konsumpcyjnych, ponieważ moce produkcyjne są ukierunkowane na wspieranie wysiłku wojennego (wytwarza się czołgi, a nie samochody, i spadochrony, a nie pończochy). Podczas konfliktów zbrojnych normą jest kontrola cen i niekiedy również system reglamentacji dóbr (np. paliw silnikowych). Po zakończeniu wojny mechanizm kontroli cen jest likwidowany, a skumulowana siła nabywcza, nie napotykając dostatecznej masy towarowej (w końcu nie od razu udaje się skokowo zwiększyć produkcję dóbr konsumpcyjnych), prowadzi do inflacji. Jeśli mamy do czynienia z sytuacją odwrotną, czyli jest zbyt dużo towarów w porównaniu z zasobami pieniądza, ceny zaczynają maleć, co oznacza pojawienie się deflacji. To dlatego w czasie szczególnie dotkliwych recesji, takich jak Wielki Kryzys, stopa inflacji gwałtownie maleje (takie zjawisko określamy jako dezinflacja) albo pojawia się deflacja. Implikacje polityczne są jasne. Jeśli chcemy uniknąć inflacji, wartość siły nabywczej w gospodarce musi rosnąć mniej więcej w takim samym tempie jak wolumen produkcji dóbr. Polityka makroekonomiczna, którą państwo może stosować, aby wpłynąć na siłę nabywczą konsumentów – poprzez podatki, wydatki publiczne, regulację stóp procentowych i zasad udzielania kredytów – może zatem spowodować wzrost inflacji lub obniżyć ją do akceptowalnego społecznie poziomu. Inflacja w czasie pandemii – powrót do lat 70. XX w. czy chwilowa korekta? Recesja wywołana pandemią spowodowała różnego rodzaju zakłócenia w globalnej gospodarce, w tym inflację. W czasie pandemii ceny towarów takich jak gaz i samochody spadły, ponieważ ludzie przestawili się na pracę zdalną i odwoływali plany podróży. A w drugim i czwartym kwartale 2020 r. z uwagi na ścisłe lockdowny nie mieli jak wydawać pieniędzy, bo de facto zostali zamknięci w domach. Jednak gdy na początku 2021 r. gospodarka zaczęła powoli wychodzić z pandemii, ponownie zaobserwowaliśmy znaczne wzrosty cen. Postpandemiczna inflacja była również napędzana stymulacyjnymi wydatkami państwa i bardzo niskimi stopami procentowymi. Pandemia spowodowała również niedobory w całym globalnym łańcuchu dostaw, co jeszcze bardziej podniosło ceny (więcej na ten temat dowiesz się za kilka rozdziałów, kiedy będziemy mówić o zagregowanych popycie i podaży). Dodatkowo już w czwartym kwartale 2021 r. ceny surowców zaczęły rosnąć, napędzane polityką Federacji Rosyjskiej, która przygotowywała się do napaści na Ukrainę i próbowała za pomocą cen gazu i ropy naftowej wpłynąć na kraje UE. Przy inflacji przekraczającej poziom 6% w USA i dwucyfrowym tempie wzrostu cen w Polsce i innych krajach UE w 2022 r. często zadawano pytanie o to, czy jest to zwiastun trwałego trendu, który może doprowadzić do powtórzenia się sytuacji z lat 70. XX w. Niektórzy ekonomiści uważają, że inflacja wywołana pandemią jest tylko przejściowym dostosowaniem – w istocie ceny wybranych artykułów znacznie wzrosły również po zakończeniu recesji wywołanej kryzysem finansowym z 2008 r. Spadek amerykańskiej inflacji poniżej poziomu 4%, do jakiego doszło w 2023 r., zdaje się potwierdzać te przypuszczenia. Inni jednak wskazywali i wskazują, że tym razem wzrost stopy inflacji może mieć charakter trwały, zwłaszcza biorąc pod uwagę wybuch wojny w Ukrainie oraz wpływ tego konfliktu na ceny żywności i surowców energetycznych. Jeśli konsumenci spodziewają się wyższej inflacji, może to być samospełniająca się przepowiednia, bo zaczynają kupować rzeczy teraz, aby uniknąć przyszłego wzrostu cen. Jak to już było podkreślone wcześniej, inflacja budzi obawy przede wszystkim konsumentów, a nie ekonomistów. Niemniej jeśli inflacji nie towarzyszy wzrost standardu życia, konsekwencje dla gospodarki mogą być niezwykle poważne. Key Concepts and Summary Płatność jest indeksowana, jeśli jest automatycznie dostosowywana do stopy inflacji. Przykłady indeksacji w amerykańskim sektorze prywatnym obejmują umowy o pracę z korektą kosztów utrzymania (COLA) i kredyty hipoteczne ze zmiennym poziomem oprocentowania (ARM). W Polsce z kolei przykładem tego typu rozwiązań jest wykorzystanie w kredytach hipotecznych zmiennej stawki WIBOR. Przykładami indeksacji w sektorze publicznym są choćby automatyczne dostosowywanie progów podatkowych do wysokości inflacji w USA czy waloryzacja emerytur w Polsce. Self-Check Questions W jaki sposób wzrost inflacji powinien wpłynąć na oprocentowanie kredytu hipotecznego o zmiennym oprocentowaniu? Wyższa inflacja obniża realne oprocentowanie kredytów hipotecznych o stałym oprocentowaniu. Ponieważ kredyty o zmiennym oprocentowaniu mają utrzymać realną stopę procentową na niezmienionym poziomie, wyższa inflacja prowadzi do wyższego nominalnego oprocentowania takich kredytów. Kredyt hipoteczny ze stałą stopą procentową ma takie samo oprocentowanie przez cały okres kredytowania niezależnie od tego, czy jest zaciągany na 15, czy 30 lat. Natomiast w wypadku kredytu hipotecznego ze zmienną stopą procentową wysokość odsetek, jakie będzie płacił kredytobiorca, może się zmienić w ślad za zmianą rynkowych stóp procentowych. Jeśli inflacja nieoczekiwanie spadnie o 3 punkty procentowe, co może się stać z właścicielem domu z hipoteką o zmiennym oprocentowaniu? Ponieważ kredyt hipoteczny wykorzystuje zmienną stopę procentową, powinna się ona obniżyć w takim samym stopniu, w jakim spadła stopa inflacji, tj. o 3 punkty procentowe. Dzięki temu realna stopa procentowa w ramach tego kredytu pozostanie na stałym poziomie. Review Questions Czym jest indeksacja? Wymień kilka możliwych obszarów stosowania indeksacji w sektorze prywatnym i publicznym. Critical Thinking Questions Jeśli rząd, zaciągając pożyczki, zyskuje na niespodziewanej inflacji, to dlaczego decyduje się na oferowanie nabywcom indeksowanych obligacji, które ograniczają te korzyści? Czy uważasz, że doskonała indeksacja jest możliwa? Wyjaśnij swój sposób rozumowania. Problems Wskaż, dla których z wymienionych niżej podmiotów nieoczekiwany wzrost stopy inflacji o 5 punktów procentowych jest korzystny, dla których niekorzystny, a dla których neutralny: Członek związku zawodowego z kontraktem płacowym uwzględniającym korektę kosztów utrzymania COLA, Osoba posiadająca duży zapas gotówki w skrytce depozytowej w banku, Bank pożyczający pieniądze na stały procent, Osoba, która właśnie usłyszała od swojego przełożonego, że przez kolejne 11 miesięcy na pewno nie otrzyma podwyżki. Rozalia wie, że gdy przejdzie na emeryturę za 16 lat, dostanie od swojej firmy jednorazową wypłatę w wysokości 80 tys. zł. Jaką siłę nabywczą, wyrażoną w dzisiejszych złotych, będzie miała ta kwota, jeśli w ciągu kolejnych 16 lat inflacja wyniesie 6% rocznie? Wskazówka: Zacznij od obliczenia skali wzrostu poziomu cen w ciągu kolejnych 16 lat. References Wines, Michael. “How Bad is Inflation in Zimbabwe?” The New York Times , May 2, 2006. http://www.nytimes.com/2006/05/02/world/africa/02zimbabwe.html?pagewanted=all&_r=0. Hanke, Steve H. “R.I.P. Zimbabwe Dollar.” CATO Institute . Accessed December 31, 2013. http://www.cato.org/zimbabwe. Massachusetts Institute of Technology. 2015. \"Billion Prices Project.\" Accessed March 4, 2015. http://bpp.mit.edu/usa/. kredyt hipoteczny o zmiennym oprocentowaniu (ARM) (ang. adjustable-rate mortgage (ARM) ) kredyt wykorzystywany na zakup nieruchomości, w który wbudowana została stopa procentowa podlegająca zmianom w zależności od stopy inflacji, inaczej jest to kredyt ze stałą realną stopą procentową korekta kosztów utrzymania (COLA) (ang. cost-of-living adjustments (COLAs) ) postanowienie umowne, dzięki któremu wysokość wynagrodzenia jest w automatyczny sposób zwiększana o wartość stopy inflacji indeksacja (ang. indexed ) automatyczne korygowanie cen, płac lub stóp procentowych o stopę inflacji", "section": "Indeksacja i jej ograniczenia", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Świat pieniądza Wszyscy uczestnicy rynku, zarówno konsumenci, jak i producenci, są częścią globalnego systemu finansowego, w ramach którego funkcjonuje wiele różnych walut. (Źródło: modyfikacja pracy epSos.de/Flickr Creative Commons). Więcej niż widać w Kongo na pierwszy rzut oka W jakim stopniu uczestniczysz w globalnym systemie finansowym? Myślisz, że w niewielkim? Zastanów się jeszcze raz. Załóżmy, że zaciągasz pożyczkę lub kredyt albo wpłacasz pieniądze na swoje konto bankowe. Właśnie udało ci się wywrzeć wpływ na wartość krajowych oszczędności i kredytów. A teraz przenieśmy się do centrum handlowego, gdzie kupujesz dwie koszulki z metką made in China , a następnie za pomocą koreańskiego telefonu przelewasz środki na konto organizacji charytatywnej, która pomaga uchodźcom. Czy to też ma jakieś znaczenie? Oczywiście, przecież twoje decyzje wpłynęły na to, ile pieniędzy trafia do Polski (kraju, w którym mieszkasz) i z Polski wypływa. Jeśli otworzysz rachunek inwestycyjny w biurze maklerskim i kupisz jednostki uczestnictwa w międzynarodowym funduszu inwestycyjnym, zasilisz strumień środków przepływających nawet na drugi kraniec globu. Twoje zaangażowanie może nie wydawać się tak ważne, jak działania np. premiera czy prezydenta, którzy podejmują decyzje o zwiększaniu lub zmniejszaniu pomocy zagranicznej, co ma ogromny wpływ na przepływy pieniężne do i z twojego kraju. Nie zmienia to jednak faktu, że codziennie wchodzisz w interakcję z globalnym systemem finansowym. Bilans płatniczy – termin, który wkrótce poznasz – wydaje się niezwykle skomplikowanym zagadnieniem, ale gdy zrozumiesz czynniki kształtujące międzynarodową wymianę handlową i przepływy pieniężne, wszystko nabierze sensu. Być może okaże się, że porzucisz wówczas niektóre z powszechnie podzielanych i skądinąd błędnych poglądów na temat handlu zagranicznego. Odpowiesz sobie także na kilka pytań. Czy to źle, że kraj ma deficyt handlowy? Czy nadwyżka handlowa jest dobra? Spójrz choćby na Demokratyczną Republikę Konga (często nazywaną po prostu Kongiem). Skoro w 2013 r. Kongo, duży kraj w Afryce Środkowej, zanotowało nadwyżkę handlową w wysokości 1 mld dol., musiało sobie chyba bardzo dobrze radzić, prawda? Dla porównania, deficyt handlowy Stanów Zjednoczonych wyniósł w 2013 r. 508 mld dol. (Polska w tym samym okresie zanotowała deficyt w wysokości 2,5 mld zł). Czy to oznacza, że gospodarki USA i Polski funkcjonują gorzej niż gospodarka Konga? Niekoniecznie. Deficyt handlowy USA ma tendencję do pogłębiania się w miarę wzmacniania się gospodarki. W Polsce już w 2015 i 2016 r. zanotowano nadwyżkę (źródło: tabela 58 na stronie ). Z kolei w Kongu utrzymuje się wysoki wskaźnik ubóstwa, który nie maleje nawet przy dodatnim bilansie handlowym. Oczywiście wyciąganie wniosków na podstawie statystyk handlu zagranicznego to coś znacznie bardziej skomplikowanego niż samo stwierdzenie, że deficyt handlowy jest niekorzystny dla gospodarki. Między innymi o tego typu zagadnieniach traktuje niniejszy rozdział. Wprowadzenie do tematu handlu zagranicznego i przepływów kapitałowych Dzięki lekturze tego rozdziału dowiesz się: W jaki sposób mierzy się bilans handlowy Ja przedstawia się zmienność bilansu handlowego w kontekście historycznym i międzynarodowym Jakie są relacje pomiędzy bilansem handlowym i przepływami kapitału finansowego Czym jest tożsamości krajowych oszczędności i inwestycji Jakie są zalety i wady utrzymywania zarówno deficytu, jak i nadwyżki handlowej Jakie są różnice pomiędzy wielkością wymiany handlowej a bilansem handlowym Bilans handlowy (ang. balance of trade / trade balance ) jest różnicą między wyrażoną w jednostkach pieniężnych (złotych lub dolarach) wartością eksportu, czyli dóbr i usług, które zostały wyprodukowane w danym kraju i sprzedane za granicę, a wyrażoną w tych samych jednostkach wartością importu, czyli dóbr i usług wyprodukowanych za granicą i nabywanych przez podmioty (przedsiębiorstwa i gospodarstwa domowe) z danego kraju. Przypomnij sobie to, co było wskazane w . Jeśli eksport przekracza import, to gospodarka ma nadwyżkę handlową lub inaczej dodatni bilans handlowy (ang. trade surplus ). Jeżeli natomiast wartość importu jest większa od wartości eksportu, gospodarka ma deficyt handlowy ( ujemny bilans handlowy ) (ang. trade deficit ). Jeśli eksport i import są sobie równe, to saldo bilansu handlowego jest zrównoważone. Zastanówmy się zatem, co się dzieje, gdy w jakimś kraju występują duże nadwyżki lub deficyty handlowe. Rozważmy jako przykład sąsiada Polski, czyli gospodarkę Niemiec. Zgodnie z danymi Banku Światowego notowała ona w ciągu ostatnich kilkudziesięciu lat znaczne nadwyżki handlowe – w 2020 r. był to poziom 242 mld dol. Z kolei gospodarka amerykańska w ciągu ostatnich kilku dekad doświadczała wysokich deficytów handlowych. Na przykład w tym samym okresie (2020 r.) wartość importu Stanów Zjednoczonych przekroczyła wartość eksportu o 651 mld dol. Seria kryzysów finansowych wywołanych przez niezrównoważony bilans handlowy może doprowadzić gospodarki do głębokich recesji. Takie kryzysy zaczynają się od narastania deficytu handlowego, który przyjmuje bardzo wysokie rozmiary. W pewnym momencie, który bardzo trudno jest przewidzieć, zagraniczni inwestorzy zmieniają nastawienie i decydują się na wycofanie swoich kapitałów z takiego kraju. W wyniku tego posunięcia pozbawiona kapitału gospodarka wpada w głęboką recesję, a wartość realnego PKB może się obniżyć nawet o wartości dwucyfrowe w ciągu jednego roku. Taka sytuacja wystąpiła w Meksyku w 1995 r., gdy PKB zmniejszył się o 8,1%. Wiele krajów Azji Wschodniej – Tajlandię, Koreę Południową, Malezję i Indonezję – te same problemy dotknęły w latach 1997–1998 (określane dość powszechnie jako azjatycki kryzys finansowy). Na przełomie XX i XXI w. podobne doświadczenia miały Rosja i Argentyna. Jaki jest związek pomiędzy nierównowagą w handlu zagranicznym i przepływami międzynarodowego kapitału finansowego, które wywołały te gospodarcze turbulencje? Zaczniemy od bardziej szczegółowej analizy bilansu handlowego, wykorzystując realne dane z Polski, Stanów Zjednoczonych i innych światowych gospodarek. Następnie zbadamy nierozerwalny związek pomiędzy międzynarodowymi przepływami towarów i usług oraz międzynarodowymi przepływami kapitału finansowego, które dla ekonomistów są tak naprawdę jak awers i rewers jednej monety. Laicy często zakładają, że nadwyżki handlowe, takie jak te w Niemczech, muszą być pozytywnym sygnałem płynącym z gospodarki, podczas gdy handlowe deficyty, charakterystyczne dla gospodarki Stanów Zjednoczonych, mają negatywny charakter. W rzeczywistości zarówno nadwyżki, jak i deficyty handlowe można postrzegać jako sytuację pozytywną bądź negatywną. W tym rozdziale odpowiemy na pytanie, od czego zależy ocena formułowana przez ekonomistów.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Obliczanie bilansu handlowego Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić, czym jest saldo obrotów towarowych, saldo rachunku obrotów bieżących i transfery jednostronne (unilateralne) Zidentyfikować elementy polskiego bilansu obrotów bieżących Obliczyć saldo obrotów towarowych i saldo rachunku obrotów bieżących, wykorzystując dane obrazujące import i eksport danego kraju Jeszcze kilkadziesiąt lat temu, aby zmierzyć bilans handlowy, śledzono drogowy, kolejowy i lotniczy transport konkretnych towarów pomiędzy krajami. Tego typu analizy wciąż są prowadzone i nadal pozwalają na obliczenie salda obrotów towarowych (ang. merchandise trade balance ). Jednak w większości najlepiej rozwiniętych gospodarek, w tym w Stanach Zjednoczonych i w Polsce, dobra (konkretne produkty mające fizyczną postać) stanowią mniej niż połowę całkowitej produkcji kraju, a dominują w niej usługi. W ciągu ostatnich dwóch dekad nastąpił gwałtowny rozwój międzynarodowego handlu usługami, napędzany przez postęp technologiczny w informatyce i telekomunikacji. Umożliwił on eksport i import usług w dziedzinie finansów, prawa, marketingu, zarządzania, oprogramowania, inżynierii budowlanej i projektowania produktów oraz opieki zdrowotnej. Większość obrotów handlu zagranicznego nadal realizowana jest dzięki transakcjom kupna i sprzedaży dóbr. Tym samym rządy chwalą się, a media eksponują informacje o bilansie obrotów towarowych. Stare nawyki są trudne do przełamania. Ekonomiści zazwyczaj wykorzystują jednak szersze miary, takie jak bilans handlowy lub saldo rachunku obrotów bieżących (ang. current account balance ), które poza przepływami towarów i usług obejmują również międzynarodowe przepływy dochodów z tytułu inwestycji, pomoc zagraniczną i inne rodzaje transferów. przedstawia cztery główne komponenty rachunku obrotów bieżących Polski w 2022 r. (za wstępną informacją przygotowaną przez NBP i opublikowaną 13 lutego 2023 r.). Pierwszy wiersz to nic innego jak saldo obrotów towarowych, czyli wartość eksportu i importu dóbr. Ponieważ wartość importu przekracza wartość eksportu, saldo obrotów towarowych w ostatniej kolumnie jest ujemne, co oznacza deficyt w handlu towarami. Nie należy mylić bilansu obrotów towarowych, bilansu handlowego (który obejmuje również import i eksport usług) z saldem na rachunku obrotów bieżących, które zawiera nie tylko bilans obrotów związanych z dobrami i usługami, ale również dochody wynikające z wcześniejszych inwestycji i wartość transferów. W Polsce za zbieranie danych obrazujących relacje ekonomiczne z zagranicą odpowiada Narodowy Bank Polski. Składniki rachunku obrotów bieżących Polski za rok 2020 (dane wstępne w mln zł) Eksport (pieniądze wpływające do Polski) Import (pieniądze wypływające z Polski) Saldo Dobra 1 502 965 1 619 207 –116 242 Usługi 421 091 252 948 168 143 Saldo dochodów pierwotnych 65 097 203 084 −137 987 Saldo dochodów wtórnych 49 426 58 709 −9283 Saldo rachunku obrotów bieżących 2 038 579 2 133 948 –95 369 Źródło: https://nbp.pl/bilans-platniczy-polski-w-grudniu-2022-r. W drugim wierszu znajdują się dane dotyczące handlu usługami. W tym obszarze polska gospodarka osiąga nadwyżkę. Chociaż poziom handlu usługami jest wciąż stosunkowo niewielki w porównaniu z handlem dobrami, znaczenie usług w ciągu ostatnich kilku dekad bardzo wzrosło. Na przykład polski eksport usług w 2022 r. był tylko niewiele mniejszy w kategoriach nominalnych niż eksport dóbr w 2009 r. Trzeci składnik rachunku obrotów bieżących, określany w Polsce mianem „salda dochodów pierwotnych”, uwzględnia dochody zagranicznych inwestorów bezpośrednich z tytułu ich zaangażowania kapitałowego w polskich podmiotach (środki wypływające z Polski), jak również analogiczne dochody polskich podmiotów z tytułu zagranicznych inwestycji (środki wpływające do Polski). W ramach tej pozycji uwzględniane są również dochody z pracy, jakie osiągają polscy rezydenci za granicą (napływ środków do Polski) i analogicznie dochody z pracy rezydentów innych krajów osiągane w Polsce (wypływ środków). Na wysokość salda dochodów pierwotnych oddziałują również wypłaty dochodów z tytułu inwestycji portfelowych (w papiery wartościowe). Środki finansowe związane z dochodami będącymi pochodną zaangażowania środków produkcji (pracy i kapitału) poza granicami kraju włączone są do ogólnej miary obejmującej handel (czyli razem z towarami i usługami), ponieważ – z ekonomicznego punktu widzenia – wynikają one z transakcji gospodarczej tego samego typu, jak w przypadku sprzedaży samochodów, pszenicy czy ropy: jest to po prostu handel, który odbywa się na międzynarodowym rynku czynników produkcji (przede wszystkim międzynarodowym rynku kapitałowym). Ostatnią kategorią w ramach rachunku obrotów bieżących są „dochody wtórne”, czyli saldo transferów jednostronnych ( saldo transferów unilateralnych ) (ang. unilateral transfers ) dokonywanych przez państwo (sektor publiczny), organizacje charytatywne lub osoby prywatne, w ramach których za granicę wysyłane są pieniądze lub towary, czemu nie towarzyszy żaden strumień ekwiwalentny. Oczywiście tego typu transfery mogą również do Polski wpływać. Pomoc gospodarcza lub wojskowa polskiego rządu dla walczącej Ukrainy (zwróćmy uwagę, że ma ona charakter rzeczowy, a nie pieniężny) mieści się w tej kategorii, podobnie jak wydatki zagraniczne organizacji charytatywnych (np. Polskiej Akcji Humanitarnej w Afryce) na walkę z ubóstwem lub nierównościami społecznymi. Pieniądze wysyłane za granicę przez imigrantów również są zaliczane do tej kategorii. Rachunek obrotów bieżących traktuje te transfery wypływające z Polski tak jak import, ponieważ wiążą się one – podobnie jak import – ze strumieniem płatności opuszczających kraj. W przypadku gospodarki Polski pozycja ta jest zazwyczaj ujemna, podobnie jak to ma miejsce w USA. Niekiedy jednak bywa odwrotnie. Na przykład w 1991 r., gdy USA przewodziły międzynarodowej koalicji, której celem było wyzwolenie Kuwejtu spod irackiej okupacji, wiele krajów zgodziło się, że dokonają płatności na rzecz Stanów Zjednoczonych, aby zrekompensować im wydatki wojenne. Płatności te były na tyle duże, że w 1991 r. saldo jednostronnych transferów w USA było dodatnie i wyniosło 10 mld dol. Przykład w przeprowadzi cię krok po kroku przez proces obliczeń na podstawie wartości importu i eksportu dóbr i usług, jak również wartości dochodów z tytułu wykorzystania czynników produkcji (saldo dochodów pierwotnych) i płatności transferowych (saldo dochodów wtórnych). Obliczanie salda bilansu handlowego i salda rachunku obrotów bieżących Obliczanie salda bilansu handlowego i salda rachunku obrotów bieżących (kwoty w mld zł) Eksport/pieniądze wpływające do danego kraju Import/pieniądze wypływające z danego kraju Saldo końcowe Dobra Usługi Saldo dochodów pierwotnych Saldo dochodów wtórnych Saldo rachunku obrotów bieżących Wykorzystaj podane poniżej informacje i uzupełnij , a następnie oblicz: saldo bilansu handlowego saldo rachunku obrotów bieżących Dane (kwoty w mld zł): wartość transferów unilateralnych dokonywanych przez podmioty z danego kraju na korzyść zagranicznych gospodarstw domowych i organizacji: 130 eksport dóbr: 1046 eksport usług: 509 import dóbr: 1562 import usług: 371 dochód uzyskany przez podmioty z danego kraju z inwestycji dokonanych poza jego granicami: 561 dochód uzyskany przez inwestorów zagranicznych w danym kraju: 472 Krok 1. Najpierw skoncentruj się na przepływie towarów i usług. Wpisz kwoty eksportu w odpowiednich wierszach kolumny „Eksport”. Krok 2. A teraz w odpowiednich wierszach kolumny „Import” wprowadź dane obrazujące wartość importu dóbr i usług. Krok 3. W drugiej kolumnie tabeli, w wierszu opisanym jako „saldo dochodów pierwotnych”, wpisz wartość dochodów uzyskiwanych przez podmioty krajowe poza granicami kraju, natomiast w kolumnie trzeciej wprowadź wartość dochodów uzyskiwanych przez podmioty zagraniczne z inwestycji dokonywanych na terenie analizowanego kraju. Krok 4. W wierszu „saldo dochodów wtórnych” w kolumnie trzeciej wpisz wartość transferów unilateralnych (jednostronnych) wpłacanych przez podmioty z analizowanego kraju na korzyść podmiotów zagranicznych. Kwotę wpisujesz w kolumnie trzeciej, ponieważ środki te wypływają z analizowanego kraju. W kolumnie drugiej w tym samym wierszu wpisz wartość „0”, ponieważ w podanym przykładzie nie uwzględniamy żadnych zagranicznych transferów unilateralnych na korzyść podmiotów krajowych. Krok 5. Oblicz saldo bilansu handlowego, odejmując wartości importu dóbr i usług od odpowiednich wartości eksportu. Wpisz wynik tej operacji w odpowiednich wierszach kolumny „Saldo końcowe”. Może to być wartość dodatnia lub ujemna. Zsumowane salda końcowe dla dóbr i usług dadzą saldo bilansu handlowego. Krok 6. W ten sam sposób oblicz saldo dochodów pierwotnych. Wynik wpisz w kolumnie czwartej. Krok 7. Wprowadź wartość transferów unilateralnych ze znakiem minus w kolumnie czwartej wiersza oznaczonego jako saldo dochodów wtórnych. Krok 8. Teraz podsumuj wartości z kolumny „saldo końcowe”. Otrzymana wielkość stanowi saldo rachunku obrotów bieżących. Bilans handlowy to różnica między wartością eksportu dóbr i usług a wartością importu dóbr i usług. W analizowanym przykładzie jest to odpowiednio (-516 mld zł) + 138 mld zł = (-378) mld zł, co oznacza deficyt handlowy o tej właśnie wartości. Saldo rachunku obrotów bieżących wynosi z kolei (-419 mld zł), mamy zatem do czynienia z deficytem w rachunku obrotów bieżących. Spójrz na uzupełnioną . Obliczanie salda bilansu handlowego i salda rachunku obrotów bieżących (kwoty w mld zł) Eksport / pieniądze wpływające do danego kraju Import / pieniądze wypływające z danego kraju Saldo końcowe Dobra 1046 1562 –516 Usługi 509 371 138 Saldo dochodów pierwotnych 561 472 89 Saldo dochodów wtórnych 0 130 –130 Saldo rachunku obrotów bieżących 2116 2535 –419 Key Concepts and Summary Bilans handlowy mierzy różnicę między eksportem a importem danego kraju. W większości gospodarek rozwiniętych (o najwyższych dochodach) dobra stanowią mniej niż połowę wolumenu produkcji całkowitej, a jej większość stanowią usługi. W konsekwencji w ciągu ostatnich 20 lat nastąpił gwałtowny rozwój międzynarodowego handlu usługami, jednak większość obrotów handlu zagranicznego nadal realizowana jest dzięki transakcjom kupna i sprzedaży dóbr. Saldo rachunku obrotów bieżących obejmuje wartości importu i eksportu dóbr i usług oraz środki finansowe wpływające i wypływające z danego kraju w następstwie wykorzystania czynników produkcji (saldo dochodów pierwotnych) i płatności transferowych (saldo dochodów wtórnych). Self-Check Questions Jeśli zagraniczni inwestorzy kupią więcej polskich akcji i obligacji, w jaki sposób zostanie to odzwierciedlone na rachunku obrotów bieżących? Wartość kupowanych i sprzedawanych w obrocie międzynarodowym akcji i obligacji nie jest odzwierciedlana na rachunku obrotów bieżących. Jednak dywidendy z akcji i odsetki od obligacji, jako dochody z takich inwestycji, pojawiają się w tym zestawieniu jako wypływ środków finansowych. Jeśli deficyt handlowy Polski wzrośnie, jak wpłynie to na saldo rachunku obrotów bieżących? Saldo ulegnie pogorszeniu, tj. zmniejszy się jego nadwyżka lub powiększy deficyt, ponieważ deficyt handlowy (ujemne saldo handlowe) wchodzi do rachunku obrotów bieżących ze znakiem minus. Określ, które z poniższych zdarzeń wiąże się z przepływem finansowym do gospodarki słowackiej, a które z odpływem finansowym z gospodarki słowackiej: Słowacja importuje usługi z Niemiec Słowacja eksportuje dobra do Czech Polscy inwestorzy osiągnęli dochody związane z wcześniejszymi inwestycjami finansowymi na Słowacji. Pieniądze odpływają z gospodarki słowackiej. Pieniądze napływają do gospodarki słowackiej. Pieniądze odpływają ze słowackiej gospodarki. Review Questions Czy jeśli import przewyższa eksport, mamy do czynienia z deficytem handlowym, czy nadwyżką? A jeśli eksport przewyższy import? Jakie elementy wchodzą w skład rachunku obrotów bieżących? Critical Thinking Questions Niekiedy przedstawiciele sektora publicznego, zarówno politycy, jak i urzędnicy, przekonują, że ich kraj powinien dążyć nie tylko do nadwyżki handlowej, ale również do korzystnego dla gospodarki napływu kapitału z zagranicy. Wyjaśnij, dlaczego taka sytuacja jest niemożliwa do urzeczywistnienia. Urzędnik wysokiego szczebla ogłasza wytyczne nowej polityki. Kraj chce zlikwidować deficyt handlowy, ale jednocześnie będzie zdecydowanie zachęcał zagraniczne firmy do inwestycji finansowych. Wyjaśnij, dlaczego takie stwierdzenie jest logicznie sprzeczne. Problems W 2001 r. gospodarka Wielkiej Brytanii wyeksportowała dobra o wartości 192 mld funtów i usługi o wartości kolejnych 77 mld funtów. Import objął dobra o wartości 225 mld funtów i usługi o wartości 66 mld funtów. Dochody będące konsekwencją zaangażowania brytyjskich czynników produkcji za granicą wyniosły 140 mld funtów, podczas gdy wypłaty dochodów z tego samego tytułu na korzyść podmiotów zagranicznych osiągnęły wielkość 131 mld funtów. Transfery jednostronne brytyjskiego rządu na korzyść podmiotów zagranicznych równe były 23 mld funtów, podczas gdy różne agencje rządowe Wielkiej Brytanii otrzymały od reszty świata z tego samego tytułu (transfery unilateralne) płatności w wysokości 16 mld funtów. Oblicz deficyt handlowy Wielkiej Brytanii w 2001 r. Oblicz saldo rachunku obrotów bieżących w tym samym okresie. Objaśnij, dlaczego zdecydowałeś, że płatności z tytułu dochodów czynników produkcji i transferów rządowych są uwzględnione jako dodatnie lub ujemne pozycje w saldzie na rachunku obrotów bieżących Wielkiej Brytanii w 2001 r. References Central Intelligence Agency. “The World Factbook.” Last modified October 31, 2013. https://www.cia.gov/library/publications/the-world-factbook/geos/gm.html. U.S. Department of Commerce. “Bureau of Economic Analysis.” Last modified December 1, 2013. http://www.bea.gov/. U.S. Department of Commerce. “United States Census Bureau.” http://www.census.gov/. bilans handlowy różnica pomiędzy eksportem a importem danego kraju eksport netto zob. bilans handlowy saldo rachunku obrotów bieżących (ang. current account balance ) szeroka miara bilansu wymiany ekonomicznej z zagranicą, która obejmuje handel towarami i usługami, a także międzynarodowe przepływy dochodów i pomoc zagraniczną saldo obrotów towarowych (ang. merchandise trade balance ) bilans handlowy uwzględniający tylko handel dobrami transfery unilateralne (ang. unilateral transfers ) płatności, jakich dokonują państwo, organizacje charytatywne, przedsiębiorstwa i osoby prywatne na rzecz podmiotów zagranicznych, którym nie towarzyszy żaden strumień ekwiwalentny transfery jednostronne zob. transfery unilateralne", "section": "Obliczanie bilansu handlowego", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Bilans handlowy w kontekście historycznym Po przeczytaniu tego podrozdziału będziesz w stanie: Analizować wykresy ilustrujące zmienność w czasie salda obrotów towarowych i salda na rachunku obrotów bieżących Identyfikować okresy, w których USA notowały nadwyżki i deficyty handlowe Porównać salda bilansu handlowego Stanów Zjednoczonych i wybranych gospodarek świata Historyczne wartości salda na rachunku obrotów bieżących Stanów Zjednoczonych w ciągu ostatnich 60 lat można przedstawić na kilka sposobów. Panel (a) pokazuje saldo rachunku obrotów bieżących i saldo obrotów towarowych (które jest po prostu różnicą pomiędzy wartością dóbr sprzedanych za granicę i importowanych do kraju) w dolarach. Natomiast panel (b) przedstawia te same salda w relacji do amerykańskiego PKB (wartość sald w dolarach została podzielona przez wyrażoną w tej samej walucie wartość nominalnego – a więc uwzględniającego zarówno inflację, jak i tempo realnego wzrostu – PKB w tym samym roku). Saldo rachunku obrotów bieżących i saldo obrotów towarowych USA w latach 1960–2020 Panel (a) Saldo na rachunku obrotów bieżących i saldo obrotów towarowych w miliardach dolarów bieżących w latach 1960–2020. Stany Zjednoczone notowały dodatnie saldo (nadwyżkę) obrotów towarowych i na rachunku obrotów bieżących w latach, dla których odpowiednie wykresy znajdują się powyżej zera. W okresach, w których linie wykresów znajdują się poniżej zera, USA notowały deficyt, odpowiednio salda obrotów towarowych i na rachunku obrotów bieżących. Panel (b) obrazuje te same parametry w relacji do rozmiarów gospodarki amerykańskiej, czyli do wartości bieżącego (nominalnego) PKB w latach 1960–2020. Niezależnie od tego, który z parametrów – saldo obrotów towarowych czy saldo rachunku obrotów bieżących – potraktujemy jako miarę relacji USA z krajami trzecimi, schemat zmian jest niemal ten sam. W latach 60. i 70. XX w. gospodarka USA notowała nadwyżkę w handlu dobrami i dodatnie saldo na rachunku obrotów bieżących. Tym samym linie obu wykresów nakreślonych na znajdują się powyżej zera. Jednak począwszy od lat 80., deficyt salda obrotów towarowych, jak również ujemne saldo w bilansie obrotów bieżących gwałtownie wzrosły i tendencja ta utrzymywała się w zasadzie aż do roku 2009, z wyłączeniem roku 1991, kiedy na rachunku obrotów bieżących odnotowano niewielką nadwyżkę. Oba deficyty zmniejszyły się znacząco wraz z wybuchem kryzysu finansowego, a ich wartość pozostawała relatywnie stabilna aż do roku 2018, kiedy to nastąpiło ponowne pogorszenie tak salda obrotów towarowych, jak i rachunku obrotów bieżących. prezentuje dane na temat relacji eksportu dóbr i usług, a także salda na rachunku obrotów bieżących w Stanach Zjednoczonych na tle wybranych gospodarek świata, w tym Polski. Tak jak USA w ostatnim okresie niezmiennie notują deficyty, tak Japonia i wiele krajów europejskich (Niemcy, Szwecja i Francja, dla której dane nie znalazły się w tabeli) konsekwentnie rejestrują nadwyżki na rachunku obrotów bieżących. Pierwsza kolumna tabeli ilustruje jedną z miar globalizacji gospodarki, jaką jest relacja wartości eksportu do PKB (ang. exports of goods and services as a percentage of GDP ). Druga kolumna przedstawia natomiast saldo na rachunku obrotów bieżących. Dla większości krajów (w tabeli wyjątkiem są Niemcy i Szwecja) wartość deficytu lub nadwyżki kształtuje się w granicach +/-5% PKB. Syntetyczny obraz relacji ekonomicznych z zagranicą w wybranych gospodarkach świata w 2020 r. (w relacji do PKB) (Źródło: http://data.worldbank.org/indicator/BN.CAB.XOKA.GD.ZS). Eksport/PKB Saldo na rach. obr. bieżących Stany Zjednoczone 10,2% −2,9% Japonia 15,5% 3,2% Niemcy 43,4% 7,0% Wielka Brytania 27,9% –2,6% Kanada 29,0% −1,8% Szwecja 44,6% 5,7% Korea 36,4% 4,6% Meksyk 40,2% 2,4% Brazylia 16,9% –1,8% Chiny 18,5% 1,9% Indie 18,7% 1,2% Nigeria 8,8% −3,9% Polska 53% 2,46% Świat − 0,0% Key Concepts and Summary Stany Zjednoczone osiągały relatywnie duże nadwyżki w bilansie handlowym i na rachunku obrotów bieżących przez kolejne dwie dekady, aż do początku lat 80. XX w., a później w roku 1991. W pozostałych okresach ostatnich 60 lat zarówno saldo obrotów towarowych, jak i rachunek obrotów bieżących notowały – niekiedy nawet bardzo wysokie – deficyty. Jak wynika z treści całego rozdziału, deficyt handlowy i na rachunku obrotów bieżących oznacza napływ kapitału finansowego netto z zagranicy, podczas gdy nadwyżka tych samych parametrów przekłada się na odpływ netto kapitału finansowego z danej gospodarki do innych krajów. Self-Check Questions W jaki sposób relacja eksportu danego kraju do jego PKB odzwierciedla stopień globalizacji? PKB to wyrażona w jednostkach pieniężnych wartość całkowitej produkcji towarów i usług na terenie danego kraju. Eksport to dobra produkowane w kraju, ale wysyłane za granicę. Relacja eksportu do PKB daje nam wyobrażenie o tym, jak ważny jest eksport dla gospodarki narodowej, w relacji do wszystkich wyprodukowanych towarów i usług. W 2020 r. eksport stanowił tylko ok. 10% PKB USA, ale ponad 50% PKB Polski. Oznacza to, że dla Polski wymiana dóbr i usług z krajami trzecimi jest znacznie ważniejsza niż dla Stanów Zjednoczonych. W pewnym momencie PKB Kanady wynosił 1800 mld dol., a eksport 542 mld dol. Jaka była wówczas relacja eksportu do globalnej produkcji Kanady? Podziel 542 mld dol. przez 1800 mld dol. PKB Polski w 2020 r. wynosił 2 338 996 mln zł, natomiast saldo na rachunku obrotów bieżących osiągnęło poziom 57 451 mln zł. Oblicz relację salda na rachunku obrotów bieżących do PKB Polski. Podziel 57 451 mln zł przez 2 338 996 mln zł. Dlaczego zmienność w czasie wartości salda bilansu handlowego i salda na rachunku obrotów bieżących jest tak zbliżona? Bilans handlowy to różnica między eksportem a importem dóbr i usług. Saldo na rachunku obrotów bieżących w największym stopniu jest zdeterminowane właśnie przez tę wartość (niezależnie od tego, czy mamy do czynienia z deficytem handlowym, czy też nadwyżką), choć obejmuje również międzynarodowe przepływy pieniężne związane z dochodami czynników produkcji i transfery jednostronne. Review Question Czy w ciągu ostatnich 40 lat bilans handlowy Stanów Zjednoczonych notował zazwyczaj nadwyżkę, deficyt, czy też był zrównoważony? Critical Thinking Questions Czy kraj, w którym relacja eksportu do PKB kształtuje się na poziomie zbliżonym do Polski (ok. 50%), jest twoim zdaniem bardziej narażony na globalne kryzysy finansowe w porównaniu z gospodarką, w której relacja eksportu do PKB jest bliska tej w USA (ok. 10%)? Czy twoim zdaniem skala międzynarodowych przepływów finansowych zwiększałaby się wraz z usuwaniem barier ograniczających handel pomiędzy krajami? relacja wartości eksportu do PKB (ang. exports of goods and services as a percentage of GDP ) wyrażona w jednostkach pieniężnych (złotych, dolarach) wartość eksportu podzielona przez wyrażoną w jednostkach pieniężnych wartość PKB danego kraju udział eksportu w PKB zob. relacja wartości eksportu do PKB", "section": "Bilans handlowy w kontekście historycznym", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Bilans handlowy i przepływy kapitału Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić związek pomiędzy saldem na rachunku obrotów bieżących i międzynarodowymi przepływami kapitału finansowego Identyfikować przewagi komparatywne Wyjaśnić pojęcie równowagi bilansu handlowego i rachunku obrotów bieżących, wykorzystując kategorie inwestycji i przepływów kapitałowych Zdaniem ekonomistów nie można jednoznacznie określić tego, czy nadwyżki w bilansie handlowym i na rachunku obrotów bieżących są zjawiskiem pozytywnym, czy negatywnym, podobnie jak nie można jednoznacznie ocenić zjawiska deficytu tych dwóch parametrów. Wyzwaniem w tym kontekście jest zrozumienie, w jaki sposób międzynarodowe przepływy dóbr i usług są powiązane z międzynarodowymi przepływami kapitału finansowego (ang. financial capital ). W niniejszym podrozdziale spróbujemy pokazać ścisły związek pomiędzy saldem na rachunku obrotów bieżących i saldem bilansu handlowego a przepływami kapitału finansowego. W tym celu najpierw stworzymy bardzo prosty model gospodarki składającej się z dwóch osób (Robinsona Crusoe i Piętaszka), a następnie przedstawimy i poddamy analizie okrężny schemat międzynarodowych przepływów dóbr i usług oraz środków finansowych. Gospodarka dwuosobowa: Robinson Crusoe i Piętaszek Aby zrozumieć, jak ekonomiści postrzegają deficyty i nadwyżki bilansu handlowego oraz rachunku obrotów bieżących, rozważmy prosty model gospodarki oparty na historii Robinsona Crusoe. Crusoe, jeśli jeszcze pamiętacie klasyczną powieść Daniela Defoe opublikowaną po raz pierwszy w 1719 r., był żeglarzem, który trafił na bezludną wyspę jako rozbitek, jedyny ocalały z morskiej katastrofy. Po pewnym okresie samotnego życia uratował on przed śmiercią rdzennego mieszkańca tej części świata, któremu nadał imię Piętaszek. Pomyśl w związku z tym o bilansie handlowym w tej niezwykle prostej, dwuosobowej gospodarce stworzonej przez Robinsona i Piętaszka. Robinson i Piętaszek wymieniają się dobrami i usługami, czyli działają w ramach gospodarki barterowej. Być może Robinson łowi ryby i część z nich oddaje Piętaszkowi w zamian za zbierane przez niego orzechy kokosowe, albo też Piętaszek wymienia utkany przez siebie kapelusz z liści na pomoc Robinsona w noszeniu wody. Ponieważ nikt nie zmusza ani Robinsona, ani Piętaszka do zawierania takich transakcji, obaj muszą czuć, że otrzymują satysfakcjonującą ilość dóbr lub usług w zamian za to, co sami oferują na wymianę. W rezultacie „eksport” każdego z nich jest zawsze równy „importowi”, więc handel między Robinsonem a Piętaszkiem jest zrównoważony. Żaden z nich nie doświadcza deficytu handlowego, w związku z czym żaden nie notuje również nadwyżki handlowej. Jednak pewnego dnia Robinson zwraca się do Piętaszka z propozycją. Otóż chce on nawodnić swój ogród, co wymaga poświęcenia kilku tygodni na wykopanie odpowiednich rowów irygacyjnych. Będzie to oznaczało, że nie wystarczy mu czasu ani sił na pozyskiwanie pożywienia – łowienie ryb i zbieranie kokosów. Prosi więc Piętaszka, aby ten w okresie prac zaopatrywał go w określoną ilość ryb i kokosów (powiedzmy, trzy ryby i pięć kokosów dziennie), a po ich zakończeniu obiecuje spłacić Piętaszka dodatkowymi warzywami i owocami z uprawy w swoim nawodnionym ogrodzie. Jeśli Piętaszek zaakceptuje tę ofertę, w ich gospodarce pojawi się „nierównowaga handlowa”. Przez kilka miesięcy Piętaszek będzie notował nadwyżkę handlową, przekaże (wyeksportuje) bowiem Robinsonowi więcej dóbr, niż od niego pozyska (zaimportuje). Mówiąc dokładniej, Piętaszek odda Robinsonowi swoje ryby i kokosy i przynajmniej na razie nie otrzyma nic w zamian. Z drugiej strony Robinson będzie miał „deficyt handlowy”, ponieważ otrzyma od Piętaszka konkretne dobra, nie oferując nic w zamian. Możemy zatem napisać, że Piętaszek będzie codziennie pożyczał Robinsonowi trzy ryby i pięć kokosów, za co ten drugi odda mu z czasem określoną ilość warzyw i owoców (spłaci pożyczkę). Ten prosty model funkcjonowania gospodarki pozwala zrozumieć kilka istotnych ekonomicznych kwestii. Po pierwsze, możemy dzięki niemu wyjaśnić, co tak naprawdę oznaczają kategorie nadwyżki i deficytu handlowego w sensie ekonomicznym. Analizując sytuację Robinsona i Piętaszka, łatwo dostrzec, że pytanie o to, czy lepiej mieć nadwyżkę handlową, czy deficyt, samo w sobie nie ma sensu. Podobnie bowiem jak w przypadku każdej niewymuszonej transakcji rynkowej (również takiej, którą zaklasyfikujemy jako część handlu zagranicznego) zgoda na wymianę oznacza, że obie strony odnoszą w jej wyniku pewne korzyści. Z biegiem czasu, jeśli nawadniany ogród Robinsona faktycznie przyniesie większe plony, zarówno on sam, jak i Piętaszek skorzystają na zawartym porozumieniu. Po drugie, opowieść o naszej mikrogospodarce zwraca uwagę na to, co w historii współpracy tworzących ją ludzi może pójść źle. Propozycja złożona przez Robinsona niesie ze sobą element ryzyka dla Piętaszka, który udziela mu pożyczki w postaci ryb i kokosów, a jego zadowolenie z zawartej umowy uzależnione będzie od tego, czy Robinson spłaci tę pożyczkę zgodnie z planem, w całości i na czas. Może się przecież zdarzyć i tak, że Robinsonowi nie będzie się chciało ciężko pracować i ostatecznie nic nie zbuduje. A nawet jeśli system irygacyjny powstanie, może się okazać, że jego wpływ na produktywność (ilość plonów) ogrodu został mocno przeszacowany. Po zakończeniu prac Robinson może również uznać, że z różnych względów przekaże Piętaszkowi znacznie mniej warzyw i owoców, niż początkowo uzgodnili. Piętaszek w momencie zawierania umowy nie jest w stanie przewidzieć, jaki będzie ostateczny scenariusz zdarzeń. Może jedynie ufać Robinsonowi, że ten wywiąże się z umowy i wszystko pójdzie zgodnie z planem. Jeśli jednak tak się nie stanie, wymusi to kolejną rundę negocjacji. Fakt, że spłata nie nastąpiła zgodnie z ustalonymi warunkami, prawdopodobnie wpłynie na stosunek Piętaszka do tych rozmów. Jeśli Robinson naprawdę ciężko pracował, ale nie jest w stanie zaoferować Piętaszkowi uzgodnionej ilości warzyw i owoców, ponieważ przeszacował korzyści z systemu nawadniającego, Piętaszek do propozycji zmniejszenia opłat może podejść ze zrozumieniem. Jeśli jednak Robinson po prostu się lenił i dlatego niczego nie zbudował, Piętaszek może być słusznie poirytowany i domagać się wywiązania z umowy w jej pierwotnym kształcie. Po trzecie wreszcie, na przykładzie umowy pomiędzy Robinsonem i Piętaszkiem można łatwo dostrzec ścisły związek pomiędzy deficytem handlowym a koniecznością zaciągania pożyczek międzynarodowych oraz między nadwyżką handlową a udzielaniem takich pożyczek. Wielkość nadwyżki handlowej Piętaszka (trzy ryby i pięć kokosów dziennie) jest dokładnie równa pożyczce udzielonej Robinsonowi albo też – analizując sytuację z punktu widzenia tego drugiego – rozmiar deficytu Robinsona jest równy zaciągniętemu przez niego zobowiązaniu (pożyczce). Dla ekonomistów wartość nadwyżki handlowej jest równa kapitałowi wypływającemu poza granice kraju, zaś wartość deficytu pokrywa się w pełni z wartością kapitału napływającego do danego kraju z zagranicy. Kwestię tę omówimy dokładniej w dalszej części podręcznika. Prosty model gospodarki składającej się z Robinsona i Piętaszka jest również dobrą okazją do wstępnej analizy zjawiska przewagi komparatywnej (ang. comparative advantage ), które będzie przedmiotem dokładniejszych rozważań w . Poniższa pozwoli ci oszacować rozmiary przewag komparatywnych w handlu pszenicą i suknem pomiędzy Stanami Zjednoczonymi i Wielką Brytanią w XIX w. Rozmiary przewag komparatywnych W XIX w. Stany Zjednoczone i Wielka Brytania handlowały pomiędzy sobą pszenicą i suknem. pokazuje nakład pracy (w godzinach) niezbędny do wyprodukowania jednostki każdego z tych dóbr. Pszenica (kwintal) Sukno (metr bieżący) Koszt alternatywny kwintala pszenicy wyrażony w metrach bieżących sukna Koszt alternatywny metra bieżącego sukna wyrażony w kwintalach pszenicy Stany Zjednoczone 8 9 8/9 9/8 Wielka Brytania 4 3 4/3 3/4 Krok 1. Zgodnie z danymi zawartymi w wyprodukowanie kwintala pszenicy w USA wymaga 8 godz. pracy (w Wielkiej Brytanii tylko 4 godz.), zaś wytworzenie metra bieżącego sukna 9 godz. pracy (w Wielkiej Brytanii jedynie 3 godz.). Krok 2. Zwróć uwagę na różnicę między przewagą bezwzględną a przewagą komparatywną. Wielka Brytania ma przewagę bezwzględną nad USA w produkcji obu towarów, ponieważ ich wytworzenie wymaga mniejszego nakładu pracy w porównaniu z sytuacją w Stanach Zjednoczonych. Teoretycznie oznaczałoby to, że Wielka Brytania powinna produkować zarówno sukno, jak i pszenicę. Przyjrzyjmy się jednak przewadze komparatywnej. Wielka Brytania jest w stanie wyprodukować pszenicę dwa razy taniej w porównaniu ze Stanami Zjednoczonymi, zaś sukno aż trzy razy taniej, jeśli potraktujemy liczbę godzin pracy niezbędną do wytworzenia jednostki każdego z dóbr (odpowiednio: kwintala i metra bieżącego) jako swoistą cenę. Pamiętając o tym, że celem jest jak najtańsze wytworzenie każdego z dwóch dóbr, pszenica powinna być wyprodukowana w USA, zaś sukno w Wielkiej Brytanii. Krok 3. Problem możemy również przeanalizować, uwzględniając koszty alternatywne. Aby to zrobić, określ względną cenę każdego z dóbr wyrażoną w jednostkach drugiego dobra. Ceną kwintala pszenicy w naszym przykładzie będzie liczba metrów bieżących sukna, z których produkcji musisz zrezygnować. Aby znaleźć tę cenę, przelicz godziny potrzebne na wyprodukowanie kwintala pszenicy i metra bieżącego sukna na odpowiednie ilości pszenicy i sukna możliwe do wytworzenia w ciągu 1 godz. pracy. Zauważ, że w Stanach Zjednoczonych wyprodukowanie kwintala pszenicy zajmuje 8 godz. pracy, więc pracownicy mogą wytworzyć 1/8 kwintala w ciągu godziny. Z kolei wyprodukowanie metra bieżącego sukna w tym kraju zajmuje 9 godz., więc robotnicy mogą wytworzyć 1/9 m bieżącego sukna w ciągu godziny. Aby wyprodukować kwintal pszenicy potrzebujesz 8 godz., a zatem w Stanach Zjednoczonych oznacza to utratę 8/9 m bieżącego sukna, podczas gdy w Wielkiej Brytanii byłoby to aż 4/3 m bieżącego. Podobnie wytworzenie metra bieżącego sukna wymaga poświęcenia 9 godz. pracy w USA, co oznacza utratę 9/8 kwintala pszenicy, zaś w wielkiej Brytanii wyprodukowanie metra bieżącego sukna wiąże się z utratą jedynie 3/4 kwintala pszenicy. Krok 4. Możemy teraz wyrazić przewagę komparatywną dzięki porównaniu kosztów alternatywnych produkcji każdego z analizowanych dóbr w Stanach Zjednoczonych i Wielkiej Brytanii. Koszt alternatywny 1 kwintala pszenica w USA jest mniejszy (8/9 wobec 4/3) niż ten sam koszt w Wielkiej Brytanii, w związku z czym pszenicę należy produkować w Stanach Zjednoczonych. Natomiast koszt alternatywny sukna jest niższy w Wielkiej Brytanii niż w USA (3/4 wobec 9/8), co oznacza, że taniej jest produkować sukno właśnie w Wielkiej Brytanii. Saldo na rachunku obrotów bieżących jako element bilansu płatniczego Związek między różnymi miarami określającymi saldo wymiany ekonomicznej z zagranicą a międzynarodowymi przepływami kapitału finansowego jest tak ścisły, że ekonomiści w oparciu o wartość sprzedawanych i kupowanych dóbr, usług i czynników produkcji tworzą bilans płatniczy. Każda kategoria, która wchodzi w skład salda na rachunku bieżącym, wiąże się bowiem pośrednio lub bezpośrednio z odpowiednim przepływem finansowym pomiędzy danym krajem a resztą gospodarki światowej. przedstawia przepływ dóbr i usług oraz odpowiadających im płatności pomiędzy konkretnym krajem – niech to będzie Polska – a resztą świata. Analizując wykres z góry na dół, pierwsza linia oznacza polski eksport (towary przepływają z Polski poza jej granice), podczas gdy druga linia pokazuje płatności za te towary przepływające do Polski od podmiotów zagranicznych, które kupiły określone dobra i usługi. Trzeci wiersz opisuje import (dobra i usługi płyną z zagranicy do Polski), zaś czwarty – płatności, które uiszczają polskie podmioty przedsiębiorstwom zagranicznym. Wartość kupowanych i sprzedawanych w ramach handlu zagranicznego dóbr i usług, a co za tym idzie również płatności za te produkty, ujęte są na rachunku obrotów bieżących. Cztery linie wykreślone w dolnej części pokazują przepływy kapitału (traktujemy je jako inwestycje – bezpośrednie i portfelowe), dochodów osiągniętych dzięki tym inwestycjom oraz dodatkowo pracy wykonywanej przez Polaków poza granicami. Odpowiednio piąta linia reprezentuje inwestycje dokonane przez polskie podmioty za granicą (zakup przedsiębiorstw, wybudowanie nowej fabryki lub po prostu nabycie akcji i obligacji). Szósta linia z kolei to dochód uzyskany dzięki tym inwestycjom (wypłaty odsetek od obligacji, dywidenda związana z posiadaniem akcji lub zysk przedsiębiorstw) i wykonywanej za granicą pracy, który płynie z zagranicy do Polski. Podobnie jest w siódmym wierszu, który obrazuje inwestycje dokonywane przez podmioty z zagranicy w Polsce. W wierszu ósmym natomiast znajdują się dochody z tych zagranicznych inwestycji (i pracy) w Polsce, które wypływają z kraju i trafiają za granicę. Dochód z tytułu własności za granicą (linie szósta i ósma) znajdujemy na rachunku bieżącym, podczas gdy przepływy kapitału w postaci inwestycji zagranicznych (linie piąta i siódma) ujęte są na rachunku finansowym. Schemat pomija transfery jednostronne, które oczywiście również wiążą się z przepływem środków finansowych i które ujmuje bilans obrotów bieżących. Przepływ dóbr, czynników produkcji, dochodów czynników produkcji i kapitału Każdy element salda na rachunku obrotów bieżących wiąże się z przepływem płatności finansowych między analizowanym krajem i zagranicą. W górnej części wykresu ujęte są przepływy dóbr i usług w ramach handlu zagranicznego oraz płatności za nie. Deficyt na rachunku obrotów bieżących oznacza, że kraj jest kredytobiorcą netto z zagranicy. I odwrotnie, dodatnie saldo na rachunku bieżącym oznacza, że kraj jest pożyczkodawcą netto dla reszty świata. Podobnie jak w modelu gospodarki Robinsona i Piętaszka można sformułować wniosek, że nadwyżka handlowa oznacza odpływ kapitału finansowego, ponieważ krajowe podmioty (inwestorzy) lokują swoje środki za granicą, podczas gdy deficyt na rachunku obrotów bieżących jest dokładnie równy wartości kapitału napływającego do danego kraju z zagranicy. Należy przy tym pamiętać, że międzynarodowe przepływy kapitałowe nie odnoszą się wyłącznie do długu publicznego zaciągniętego za granicą, choć oczywiście dług zaciągnięty przez sektor finansów publicznych jest częścią tego strumienia. Międzynarodowe przepływy kapitału finansowego odnoszą się do wszystkich sposobów, w jakie prywatni inwestorzy z jednego kraju mogą inwestować środki w innym kraju – kupując nieruchomości, firmy i instrumenty finansowe takie jak akcje i obligacje. Key Concepts and Summary Międzynarodowe przepływy towarów i usług są ściśle powiązane z międzynarodowymi przepływami kapitału finansowego. Deficyt na rachunku obrotów bieżących oznacza, że kraj jest pożyczkobiorcą netto od reszty świata. Natomiast nadwyżka na rachunku bieżącym świadczy o tym, że kraj jest pożyczkodawcą netto dla reszty świata. Self-Check Questions Wskaż, które z poniższych zdarzeń wiąże się z przepływem środków finansowych do polskiej gospodarki, a które oznacza odpływ środki z Polski za granicę: eksport do Niemiec, dochody z dokonanych wcześniej polskich inwestycji na Słowacji, zagraniczna pomoc dla Turcji, ropa naftowa importowana z Federacji Rosyjskiej, francuscy inwestorzy kupujący nieruchomości w Polsce. Eksport do Niemiec wiąże się z przepływem finansowym z Niemiec do Polski. Chodzi nie o inwestycje Polski na Słowacji, ale dochody uzyskane dzięki tym inwestycjom, które wiążą się z przepływem finansowym z gospodarki słowackiej do Polski. Pomoc zagraniczna z Polski do Turcji to przepływ finansowy w tym samym kierunku. Import ropy naftowej z Federacji Rosyjskiej oznacza przepływ płatności finansowych z polskiej gospodarki do Federacji Rosyjskiej. Francuscy inwestorzy kupujący nieruchomości w Polsce to przepływ finansowy z Francji do Polski. Czym różni się dolna część , pokazująca międzynarodowe przepływ inwestycji i kapitału, od części górnej? Górna część przedstawia eksport i import oraz odpowiadające im płatności. Dolna część dotyczy międzynarodowych inwestycji finansowych oraz odpływu i dopływu środków zarówno z tytułu tych inwestycji, jak i dochodów dzięki nim osiąganych. Inwestycje te mogą obejmować zakup akcji i obligacji lub nieruchomości za granicą, a także międzynarodowe pożyczki udzielane i otrzymywane. Wyjaśnij związek pomiędzy deficytem lub nadwyżką na rachunku obrotów bieżących a przepływem środków finansowych. Jeśli więcej pieniędzy wypływa z kraju (np. jako zapłata za import), saldo na rachunku bieżącym się pogorszy (np. zmniejszy się nadwyżka lub nadwyżka zamieni się w deficyt), a jeśli więcej pieniędzy wpłynie do kraju, saldo na rachunku bieżącym się poprawi (np. deficyt zamieni się w nadwyżkę lub kwota nadwyżki wzrośnie). Review Question Czy nadwyżka handlowa oznacza napływ kapitału finansowego do gospodarki netto, czy analogiczny odpływ kapitału finansowego? A co z deficytem handlowym? Critical Thinking Question Czy dla twojego kraju lepiej jest być międzynarodowym pożyczkodawcą, czy pożyczkobiorcą netto? kapitał finansowy (ang. financial capital ) środki pieniężne finansujące zakupy dóbr i usług oraz inwestycje", "section": "Bilans handlowy i przepływy kapitału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Tożsamość krajowych oszczędności i inwestycji Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać czynniki determinujące saldo bilansu handlowego i saldo na rachunku obrotów bieżących Oszacować międzynarodową podaż i popyt na kapitał finansowy Wyjaśnić, w jaki sposób poziom krajowych oszczędności i inwestycji określa saldo bilansu handlowego Przewidzieć zmiany salda na rachunku obrotów bieżących na podstawie tożsamości (równości) krajowych oszczędności i inwestycji Ścisły związek między saldem na rachunku obrotów bieżących i bilansem płatniczym a międzynarodowymi przepływami oszczędności i inwestycji prowadzi nas do makroekonomicznej analizy całej gospodarki, zarówno jeśli chodzi o jej relacje ekonomiczne z zagranicą, jak i funkcjonowanie na poziomie krajowym. Zgodnie z takim podejściem saldo na rachunku obrotów bieżących i związane z nim przepływy kapitału finansowego są częścią zmian wpływających na globalny poziom oszczędności i inwestycji w gospodarce. Czynniki determinujące salda bilansu handlowego i rachunku obrotów bieżących Koncepcja tożsamości krajowych oszczędności i inwestycji (ang. national saving and investment identity ) jest użytecznym narzędziem umożliwiającym identyfikację czynników determinujących salda rachunku obrotów bieżących i bilansu handlowego. Na krajowym rynku finansowym ilość kapitału dostarczanego w każdym momencie (podaż) musi być równa ilości kapitału niezbędnego do sfinansowania inwestycji (popyt). Przeczytaj , aby poznać składniki krajowych oszczędności. Co składa się na podaż i popyt na rynku finansowym? Podaż na rynku finansowym jest w głównej mierze pochodną krajowych oszczędności, czyli sumy oszczędności gospodarstw domowych i przedsiębiorstw (oszczędności prywatne) oraz państwa (oszczędności sektora publicznego). Jeśli w danym kraju mamy do czynienia z deficytem na rachunku obrotów bieżących, oznacza to, że do tego kraju napływają środki z zagranicy, które powiększają podaż kapitału finansowego. Popyt na kapitał finansowy (pieniądze) zgłaszają podmioty, które nie mogą sfinansować swoich wydatków za pomocą pozostających w ich dyspozycji zasobów, np. przedsiębiorstwa realizujące poważne inwestycje (zakup środków trwałych, finansowanie szkoleń dla pracowników, pozyskiwanie surowców do produkcji), gospodarstwa domowe kupujące dobra trwałego użytku (nieruchomości, samochody) i państwo, które wydaje więcej, niż zdołało zebrać w formie podatków (poprzez emisję obligacji i bonów skarbowych). Bez niezbędnej podaży kapitału finansowego działalność gospodarcza byłaby znacznie utrudniona, o ile w ogóle możliwa. Biorąc pod uwagę niemal chroniczny deficyt sektora publicznego, najważniejszymi źródłami podaży kapitału finansowego w polskiej gospodarce pozostają zatem oszczędności gospodarstw domowych i przedsiębiorstw, określane zazwyczaj symbolem S (ang. savings ), oraz napływ kapitału finansowego od podmiotów zagranicznych, który – jak już wiemy – jest równy deficytowi handlowemu (Z – X), czyli importowi (Z) pomniejszonemu o eksport (X). Natomiast głównym źródłem popytu na kapitał finansowy w polskiej gospodarce są inwestycje sektora prywatnego – I (ang. investment ), a także potrzeby pożyczkowe sektora publicznego, które są równe deficytowi sektora finansów publicznych pojawiającemu się w sytuacji, gdy wydatki publiczne – G (ang. government ) są wyższe niż pobierane podatki – T (ang. taxes ). Pamiętając o tym, że podaż i popyt na rynku finansowym muszą być sobie równe, możemy wyrazić tożsamość krajowych oszczędności i inwestycji za pomocą następującego równania: Podaż kapitału finansowego = Popyt na kapitał finansowy S + (Z − X) = I + (G − T) Powyższe równanie jest zawsze prawdziwe (dlatego właśnie mówimy o tożsamości krajowych oszczędności i inwestycji ), ponieważ w skali całej gospodarki ilość dostarczanego kapitału finansowego zawsze musi być równa wielkości zapotrzebowania na ten kapitał. Niektóre elementy tego równania mogą się jednak przemieszczać pomiędzy jego prawą i lewą stroną (mogą tworzyć zarówno podaż, jak i popyt na kapitał). W Polsce po 1992 r. mamy do czynienia z permanentnym deficytem w sektorze finansów publicznych, co oznacza, że państwo wydaje więcej, niż pobiera w formie podatków i parapodatków (opłat, składek itd.), a więc musi pożyczać fundusze. W takim przypadku wyrażenie (G − T) jest mniejsze od zera. Aby sfinansować swoje wydatki, państwo zgłasza popyt na kapitał finansowy po lewej stronie równania (czyli jest pożyczkobiorcą). Jeśli jednak w sektorze finansów publicznych pojawiłaby się nadwyżka (czy to jest w ogóle możliwe w Polsce?), czyli podatki byłyby wyższe niż wydatki państwa, to nadwyżka ta, opisana nierównością (T − G > 0), pojawiłaby się po oszczędnościowej (lewej) stronie analizowanego równania. Podobnie jeśli gospodarka narodowa wykazuje nadwyżkę handlową (czyli różnica pomiędzy eksportem − X i importem − Z jest większa od zera), będzie się to wiązało z odpływem kapitału finansowego do innych krajów. Nadwyżka handlowa oznacza, że występuje nadwyżka krajowego kapitału finansowego i można go inwestować za granicą. Fundamentalne założenie, że w konkretnej gospodarce ilość kapitału finansowego , na który jest zgłoszone zapotrzebowanie, jest równa całkowitej ilości dostarczonego kapitału, musi zawsze pozostać prawdziwe. Oszczędności krajowe zawsze będą pojawiać się jako część podaży kapitału finansowego, a inwestycje krajowe zawsze będą częścią popytu na kapitał finansowy. Jednak wydatki państwa i elementy bilansu handlowego występujące w równaniu mogą tworzyć zarówno stronę popytową, jak i podażową równania tożsamościowego. Działalność państwa i relacje ekonomiczne z krajami trzecimi mogą być zatem zarówno elementem podaży, jak i popytu na kapitał, w zależności od tego, czy bilans sektora finansów publicznych i bilans handlowy (a w szerszym kontekście bilans rachunku obrotów bieżących) wykazują nadwyżkę, czy deficyt. W jaki sposób krajowe oszczędności i inwestycje określają bilans handlowy Jednym z wniosków płynących z równania tożsamości krajowych oszczędności i inwestycji jest to, że poziom oszczędności i inwestycji w danym kraju określa saldo bilansu handlowego. Aby zrozumieć tę zależność, przekształćmy nasze równanie w taki sposób, aby bilans handlowy znalazł się po jego lewej stronie. Rozważmy najpierw sytuację deficytu handlowego, a następnie nadwyżki. W przypadku deficytu bilansu handlowego równość krajowych oszczędności i inwestycji można zapisać w następujący sposób: Deficyt bilansu handl. = Inwestycje krajowe − Prywatne oszczędności krajowe – Oszczędności sektora publ. (Z − X) = I − S − (T − G) Jeśli lewa strona równania jest większa od zera, czyli import (Z) przewyższa eksport (X), również prawa strona równania musi być od zera większa. W takim przypadku inwestycje krajowe muszą być wyższe niż suma prywatnych i publicznych oszczędności krajowych. Nadwyżka inwestycji nad oszczędnościami jest sfinansowana napływem kapitału z zagranicy. Ostatecznie ten dodatkowy kapitał finansowy na inwestycje musi skądś pochodzić, a w kraju go nie ma. Przeanalizujmy teraz nadwyżkę handlową z punktu widzenia krajowych oszczędności i inwestycji: Nadwyżka bilansu handl. = Prywatne oszczędności krajowe + Oszczędności sektora publ. – Inwestycje krajowe (X − Z) = S + (T − G) − I W tym przypadku lewa strona równania ponownie jest większa od zera (ale tym razem to eksport – X przewyższa import – Z), więc strona prawa, w której od sumy prywatnych i publicznych oszczędności krajowych odejmujemy inwestycje, również musi być od zera większa. Nadwyżka krajowych oszczędności nad inwestycjami zostanie wydatkowana za granicą. Ten ścisły związek krajowych oszczędności i inwestycji z saldem bilansu handlowego (powtórzmy, w szerszym kontekście również z saldem rachunku obrotów bieżących) wyjaśnia, dlaczego ekonomiści postrzegają bilans handlowy jako jedną z najważniejszych zmiennych ekonomicznych. Tożsamość krajowych oszczędności i inwestycji pokazuje, że wyniki osiągane przez niektóre sektory gospodarki, takie jak przemysł motoryzacyjny czy lekki, nie determinują w istocie bilansu handlowego. Co więcej, również to, czy krajowe przepisy i regulacje handlowe zachęcają do wolnego handlu, czy raczej protekcjonizmu, nie przesądza o stanie salda bilansu handlowego. Ten zależy wyłącznie od relacji pomiędzy krajowymi oszczędnościami i inwestycjami (zajrzyj do ). Analiza zmienności bilansu handlowego przy założeniu ceteris paribus Równość krajowych oszczędności i inwestycji określa także sposób analizy wpływu poszczególnych czynników wpływających na wysokość deficytu w bilansie handlowym. Rozpocznijmy od formuły równania, w której oszczędności i inwestycje krajowe znajdują się po jego lewej stronie, a deficyt handlowy po prawej: Inwestycje krajowe − Prywatne oszczędności krajowe − Oszczędności sektora publ. = Deficyt bilansu handl. I − S − (T − G) = (Z − X) Rozważmy teraz po kolei wpływ, jaki na wysokość deficytu bilansu handlowego mają czynniki znajdujące się po lewej stronie równania, przyjmując założenie ceteris paribus , czyli przy stałym poziomie wszystkich pozostałych elementów równania tożsamości krajowych oszczędności i inwestycji. Na początek załóżmy, że poziom inwestycji krajowych w danym kraju rośnie, podczas gdy wolumen oszczędności prywatnych i publicznych pozostaje niezmieniony. W pierwszym wierszu podany jest efekt takiej zmiany. Ponieważ równość krajowych oszczędności i inwestycji musi być zachowana – w końcu jest to tożsamość, która z definicji musi być prawdziwa – wzrost inwestycji krajowych będzie oznaczał większy deficyt handlowy. Taka sytuacja miała miejsce w gospodarce USA pod koniec ostatniej dekady XX w. Ze względu na gwałtowny wzrost liczby nowych technologii teleinformatycznych inwestycje przedsiębiorstw poważnie wzrosły. Jednocześnie doszło do nieznacznego wzrostu oszczędności sektora publicznego i spadku oszczędności prywatnych, ale zmiany te niemal całkowicie się zrównoważyły. W rezultacie kapitał niezbędny do sfinansowania inwestycji sektora przedsiębiorstw musiał napłynąć z zagranicy, co było jedną z przyczyn bardzo wysokich deficytów handlowych Stanów Zjednoczonych na przełomie XX i XXI w. Oczywiście w przeciwnym przypadku – czyli w sytuacji, w której inwestycje uległyby zmniejszeniu – deficyt w bilansie handlowym zmniejszyłby swoje rozmiary. Czynniki wpływające na zmiany wartości bilansu handlowego Inwestycje krajowe − Prywatne oszczędności krajowe − Oszczędności sektora publicznego = Deficyt bilansu handlowego I − S − (T − G) = (Z − X) wzrost bez zmian bez zmian musi wzrosnąć bez zmian wzrost bez zmian musi spaść bez zmian bez zmian spadek musi wzrosnąć W drugim scenariuszu załóżmy, że rośnie poziom oszczędności krajowych, podczas gdy wolumen inwestycji krajowych i oszczędności sektora publicznego pozostaje niezmieniony. W takim przypadku deficyt handlowy się zmniejszy, bowiem wraz ze wzrostem krajowych oszczędności maleje zapotrzebowanie na zagraniczny kapitał, który miałby sfinansować inwestycje. Mechanizm ten jest podstawą formułowanych na forum publicznym w USA – kontrowersyjnych skądinąd – propozycji zwiększenia oszczędności gospodarstw domowych, co pozwoliłoby ograniczyć deficyt handlowy tego kraju. Ponownie: sytuacja odwrotna, czyli spadek prywatnych oszczędności krajowych, doprowadzi do wzrostu deficytu, wówczas bowiem popyt na kapitał zagraniczny, który mógłby sfinansować inwestycje, będzie rósł. W trzecim scenariuszu wyobraźmy sobie, że deficyt sektora finansów publicznych gwałtownie wzrósł (co jest tożsame ze spadkiem oszczędności publicznych), podczas gdy inwestycje krajowe i oszczędności prywatne pozostały niezmienione. Taka sekwencja zdarzeń miała miejsce w gospodarce USA w połowie lat 80. ub. wieku. Deficyt budżetu federalnego w wyniku reform podatkowych wprowadzonych przez administrację R. Reagana wzrósł z 79 mld dol. w 1981 r. do 221 mld dol. w 1986 r., co oznaczało wzrost zapotrzebowania na kapitał finansowy o 142 mld dol. Dodatnie saldo na rachunku obrotów bieżących w kwocie 5 mld dol. zamieniło się w tym samym okresie w deficyt na poziomie 147 mld dol. Gwałtowne zmniejszenie oszczędności sektora publicznego przy stałym poziomie inwestycji i oszczędności prywatnych wymusiło napływ kapitału z zagranicy, który doprowadził do zamiany niewielkiej nadwyżki na rachunku obrotów bieżących USA w pokaźnych rozmiarów deficyt. Gdyby doszło do sytuacji odwrotnej, czyli oszczędności sektora publicznego ceteris paribus by wzrosły, przyniosłoby to rzecz jasna zmniejszenie deficytu handlowego. Następna poprowadzi cię przez scenariusz, w którym prywatne oszczędności krajowe muszą wzrosnąć o określoną kwotę, aby zmniejszyć rozmiary deficytu w bilansie handlowym. Rozwiązywanie problemów w oparciu o tożsamość oszczędności i inwestycji Wykorzystaj równość oszczędności i inwestycji, aby odpowiedzieć na następujące pytanie: kraj A ma deficyt handlowy w wysokości 200 mld dol., prywatne oszczędności krajowe o wartości 500 mld dol., deficyt budżetowy na poziomie 200 mld dol., a wolumen prywatnych inwestycji krajowych wynosi 500 mld dol. O ile muszą wzrosnąć prywatne oszczędności krajowe, aby deficyt handlowy o wartości 200 mld dol. zmniejszył się o połowę (czyli o 100 mld dol.)? Krok 1. Zapisz formułę tożsamości oszczędności i inwestycji w taki sposób, aby wyrażenie opisujące deficyt handlowy znalazło się po lewej stronie: (X − Z) = S + (T − G) − I Krok 2. Do wzoru podstaw ze znakiem ujemnym wskazaną w zadaniu kwotę deficytu handlowego: −200 = S + (T − G) − I Krok 3. A teraz podstaw wartość oszczędności krajowych (S): −200 = 500 + (T − G) – I Krok 4. Wprowadź do wzoru wartość prywatnych inwestycji krajowych (I): −200 = 500 + (T − G) − 500 Krok 5. Saldo budżetu państwa to (T – G). Wstaw do wzoru ze znakiem ujemnym kwotę deficytu budżetowego: −200 = 500 + (−200) − 500 Krok 6. Równanie wygląda teraz następująco: (X − Z) = S + (T − G) − I −200 = 500 + (−200) − 500 Pytanie brzmi: o ile muszą wzrosnąć prywatne oszczędności, aby zmniejszyć deficyt handlowy (X - Z) o połowę, czyli z poziomu (-200) do (-100)? (X – Z) = S + (T − G) − I –100 = S + (−200) − 500 600 = S Krok 7. Podsumujmy: prywatne oszczędności krajowe muszą wzrosnąć o 100 mld dol., do łącznej kwoty 600 mld dol., aby deficyt w bilansie handlowym zmniejszył się do poziomu 100 mld dol., czyli aby obie strony równania pozostały w równowadze (-100) = (-100). Krótkookresowe zmiany w cyklu koniunkturalnym i bilansie handlowym W krótkim okresie to, czy gospodarka znajduje się w recesji, czy w okresie ożywienia, może determinować ewentualny brak równowagi w bilansie handlowym. Recesja zazwyczaj powoduje zmniejszenie deficytu lub zwiększenie nadwyżki, zaś szybki wzrost gospodarczy zwykle zwiększa deficyt lub zmniejsza nadwyżkę. Spójrz na . Można zauważyć, że deficyt na rachunku obrotów bieżących Stanów Zjednoczonych w latach 2006–2009 zmniejszył się prawie o połowę. Jednym z głównych czynników wywołujących tę zmianę był fakt, że podczas recesji, która w największym stopniu dotknęła amerykańską gospodarkę, popyt na towary importowane do USA spadł znacznie bardziej niż zapotrzebowanie na towary amerykańskie zgłaszane przez globalną gospodarkę. I odwrotnie: w połowie pierwszej dekady XX w., kiedy deficyt na rachunku obrotów bieżących Stanów Zjednoczonych gwałtownie się powiększył, stało się tak dzięki wysokiej dynamice wzrostu amerykańskiej gospodarki. Wraz z powiększającym się wolumenem produkcji i dochodu rosło również zapotrzebowanie amerykańskich podmiotów na dobra i usługi, w tym również na towary importowane. A zatem wzrost deficytu lub zmniejszenie nadwyżki w bilansie handlowym i bilansie na rachunku obrotów bieżących jest zwykle konsekwencją szybkiego tempa wzrostu gospodarki, podczas gdy nadwyżka handlowa (lub spadek deficytu) towarzyszą okresom spowolnienia dynamiki wzrostu gospodarczego lub recesji. Niezależnie od tego, czy deficyt handlowy spada, czy rośnie w czasie ekspansji lub spowolnienia, jego powiększenie oznacza – z konieczności – wzrost wartości netto strumienia zagranicznego kapitału finansowego. Równanie tożsamości krajowych oszczędności i inwestycji wskazuje, że gospodarka danego kraju może wchłonąć ten napływ na kilka różnych sposobów. Na przykład malejące oszczędności prywatne mógłby zrekompensować dodatkowy napływ kapitału finansowego z zagranicy, pozostawiając inwestycje krajowe i oszczędności sektora publicznego bez zmian. Alternatywnie napływ zagranicznego kapitału finansowego mógłby spowodować wzrost wolumenu inwestycji krajowych, pozostawiając oszczędności prywatne i publiczne bez zmian. Jeszcze innym wariantem jest wzrost deficytu sektora finansów publicznych, który umożliwiłby wchłonięcie napływu zagranicznego kapitału finansowego, pozostawiając krajowe oszczędności prywatne i inwestycje na dotychczasowym poziomie. Tożsamość krajowych oszczędności i inwestycji nie określa, który z tych scenariuszy zostanie ostatecznie zrealizowany (może być również tak, że wszystkie te zmiany wystąpią jednocześnie), niemniej co najmniej jedno ze zdefiniowanych wyżej zdarzeń na pewno się pojawi. Key Concepts and Summary Tożsamość krajowych oszczędności i inwestycji wynika z tego, że podaż kapitału finansowego dostarczanego z różnych źródeł na rynek musi się równać wielkości zapotrzebowania, jakie na kapitał zgłoszono. Jeśli S oznacza prywatne oszczędności, T reprezentuje podatki, G – wydatki państwa, Z – import, X – eksport, a I – inwestycje, to dla każdej gospodarki, w której istnieje deficyt na rachunku obrotów bieżących (Z - X > 0) i deficyt sektora finansów publicznych (G - T > 0), prawdziwe jest następujące równanie: Podaż kapitału finansowego = Popyt na kapitał finansowy S + (Z − X) = I + (G − T) W czasie recesji lub okresów spowolnienia dynamiki wzrostu gospodarczego dochodzi zazwyczaj do poprawy salda bilansu handlowego (co oznacza wyższą nadwyżkę lub niższy deficyt), podczas gdy boom gospodarczy będzie tworzył warunki do zmniejszania nadwyżki lub wzrostu wartości deficytu handlowego. Self-Check Questions Wykorzystując tożsamość krajowych oszczędności i inwestycji, wyjaśnij, w jaki sposób każde z następujących zdarzeń ( ceteris paribus ) spowoduje zwiększenie lub zmniejszenie bilansu handlowego: Wolumen krajowych oszczędności zmniejsza się. Nadwyżka w sektorze finansów publicznych zamienia się w deficyt. Wartość krajowych inwestycji gwałtownie rośnie. Zapisz równanie tożsamości krajowych oszczędności i inwestycji w taki sposób, aby po lewej stronie znajdowała się podaż kapitału, a z prawej popyt na kapitał reprezentowany przez inwestycje: Podaż kapitału = Popyt na kapitał S + (Z − X) + (T − G) = I Oszczędności + (Deficyt w bilansie handl.) + (Nadwyżka sektora finansów publ.) = Inwestycje Jeśli wartość wolumenu krajowych oszczędności spadnie i nic więcej się nie zmieni, to deficyt handlowy wzrośnie. W efekcie gospodarka w większym stopniu będzie wykorzystywać kapitał zagraniczny, a w mniejszym kapitał pochodzący ze źródeł krajowych. Jeśli rząd zacznie pożyczać, zamiast oszczędzać, i w ten sposób wygeneruje deficyt sektora finansów publicznych, to deficyt handlowy musi wzrosnąć. W rezultacie rząd nie będzie już miał oszczędności, więc – jeśli dodatkowo nic się nie zmieni – więcej środków na inwestycje musi napłynąć z zagranicy. Jeśli wartość inwestycji krajowych gwałtownie wzrośnie, wówczas, ceteris paribus , deficyt handlowy również musi wzrosnąć, aby zapewnić dodatkowy kapitał na sfinansowanie nakładów inwestycyjnych. Założenie ceteris paribus – czyli „przy wszystkich innych warunkach niezmienionych” – jest tutaj ważne. We wszystkich wskazanych w zadaniu sytuacjach nie ma powodu oczekiwać, że pierwotna zmiana wpłynie tylko lub przede wszystkim na deficyt handlowy. Niemniej niezależnie od tego, które zmienne ostatecznie dostosują swoją wartość do nowej sytuacji, tożsamość (równość) krajowych oszczędności i inwestycji będzie zachowana. Jeśli kraj ma nadwyżkę w sektorze finansów publicznych, to dlaczego formalny zapis salda sektora finansów publicznych (T - G) znajduje się po lewej stronie równania oszczędności i inwestycji? W sytuacji istnienia nadwyżki sektora finansów publicznych państwo raczej oszczędza, niż pożycza. Podaż oszczędności prywatnych i publicznych znajduje się po lewej stronie tego równania. Co decyduje o rozmiarach deficytu w bilansie handlowym i na rachunku obrotów bieżących w danym kraju? Oba rodzaje deficytu są określane przez relację poziomu prywatnych i publicznych oszczędności danego kraju oraz wolumenu inwestycji krajowych. Jeśli wzrastają inwestycje krajowe, a wielkość oszczędności prywatnych i publicznych się nie zmienia, to co stanie się z deficytem handlowym? Deficyt handlowy w takiej sytuacji musi wzrosnąć. Innymi słowy, wzrost inwestycji musi być finansowany napływem kapitału finansowego z zagranicy. Dlaczego recesja powoduje spadek deficytu handlowego? W czasie recesji dochody się zmniejszają, wskutek czego konsumenci kupują mniej towarów, w tym importowanych. Zarówno polska gospodarka, jak i inne gospodarki UE przeżywają boom. Czy import i/lub eksport z Polski wzrośnie? Boom gospodarczy zwiększa popyt na dobra i usługi, więc sprzedaż dóbr w UE wzrośnie. Kraje europejskie są głównymi partnerami handlowymi Polski, można zatem oczekiwać wzrostu zarówno polskiego importu, jak i eksportu. Review Questions Jak można określić prawą i lewą stronę równania tożsamości krajowych oszczędności i inwestycji? Jakie są główne elementy równania tożsamości krajowych oszczędności i inwestycji? Critical Thinking Questions Wiele osób uważa, że rozmiary deficytu handlowego wynikają z braku konkurencyjności krajowych przedsiębiorstw, np. tych działających w przemyśle motoryzacyjnym. Wyjaśnij, dlaczego jest to nieprawda. Czy obserwując kraj z szybko rosnącą w krótkim okresie (na przestrzeni roku) nadwyżką handlową, uznasz, że gospodarka tego kraju znajduje się w recesji, czy raczej w okresie szybkiego wzrostu? Uzasadnij swoją odpowiedź. Czasami politycy przekonują, że ich kraj powinien jednocześnie dążyć do uzyskania nadwyżki handlowej i stymulować napływ kapitału z zagranicy. Czy to jest w ogóle możliwe? Problems Wyobraźmy sobie, że gospodarka Stanów Zjednoczonych znajduje się w następującej sytuacji: deficyt sektora finansów publicznych wynosi 100 mld dol., całkowite prywatne oszczędności krajowe – 1500 mld dol., a całkowite krajowe inwestycje kapitałowe kształtują się na poziomie 1600 mld dol. Jakie będzie saldo rachunku obrotów bieżących zgodnie z równaniem tożsamości krajowych oszczędności i inwestycji? Jak zmieni się to saldo, jeśli inwestycje wzrosną o 50 mld dol., podczas gdy deficyt sektora finansów publicznych i poziom prywatnych oszczędności krajowych pozostaną takie same? zawiera hipotetyczne dane dotyczące zmiennych makroekonomicznych trzech krajów reprezentowanych przez litery A, B i C (dane w miliardach jednostek walutowych). SH oznacza oszczędności gospodarstw domowych, T – dochody podatkowe, G – wydatki państwa, zaś I to inwestycje. Zmienne makroekonomiczne A B C SH 700 500 600 T 00 500 500 G 600 350 650 I 800 400 450 Oblicz saldo bilansu handlowego i napływ netto oszczędności zagranicznych dla każdego kraju. Który z krajów notuje nadwyżkę, który deficyt, a który zrównoważone saldo bilansu handlowego? Oceń, które kraje pozostają pożyczkodawcami netto, a które pożyczkobiorcami netto na arenie międzynarodowej. Uzasadnij swoją opinię. Załóżmy, że w gospodarce niemieckiej budżet sektora finansów publicznych ma nadwyżkę w wysokości 1% PKB, oszczędności prywatne to 20% PKB, a inwestycje stanowią 18% PKB. Jakie jest saldo rachunku obrotów bieżących, biorąc pod uwagę równanie tożsamości krajowych oszczędności i inwestycji? Jak na saldo obrotów bieżących wpłynie obniżenie nadwyżki sektora finansów publicznych do zera? równanie tożsamości krajowych oszczędności i inwestycji (ang. national saving and investment identity ) koncepcja, zgodnie z którą na krajowym rynku finansowym ilość kapitału dostarczanego w każdym momencie (podaż) musi być równa ilości kapitału niezbędnego do sfinansowania inwestycji (popyt), co oznacza, że suma oszczędności prywatnych i oszczędności publicznych (nadwyżka budżetu państwa) musi być równa wartości inwestycji krajowych skorygowanych o saldo na rachunku obrotów bieżących (saldo w bilansie handlowym)", "section": "Tożsamość krajowych oszczędności i inwestycji", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Czy deficyt handlowy ma jakieś zalety? Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać trzy mechanizmy, które sprawiają, że utrzymywanie deficytu handlowego i pozycja pożyczkobiorcy międzynarodowego netto poprawia kondycję gospodarki Wskazać trzy mechanizmy, które sprawiają, że utrzymywanie deficytu handlowego i pozycja pożyczkobiorcy międzynarodowego netto osłabia kondycję gospodarki Transakcje rynkowe zawsze obejmują ekwiwalentne wobec transferu dóbr i usług przepływy finansowe (w końcu jeśli kupujesz cokolwiek choćby w osiedlowym sklepie, to niemal jednocześnie ze zdjęciem konkretnego produktu z półki i włożeniem go do torby pieniądze z twojego portfela lub konta wędrują do właściciela sklepu). Podobnie dzieje się w ramach handlu zagranicznego, gdzie przepływom dóbr i usług pomiędzy krajami towarzyszą ekwiwalentne przepływy międzynarodowego kapitału finansowego (zakupom ropy naftowej przez Orlen w Arabii Saudyjskiej – czyli polskiemu importowi – odpowiada strumień kapitału, który jest zapłatą za ten surowiec). Pytanie o to, czy deficyty lub nadwyżki handlowe są dobre, czy złe dla gospodarki, jest z ekonomicznego punktu widzenia dokładnie tym samym, co rozstrzyganie, czy lepiej jest polegać na napływie netto kapitału finansowego z zagranicy, czy może jednak inwestować krajowy kapitał poza granicami, czyli stać się międzynarodowym pożyczkodawcą netto. Obiegowa mądrość głosi, że pożyczanie pieniędzy jest zazwyczaj nierozsądne, a kraj prowadzący rozsądną politykę, podobnie jak rozważna osoba, powinien zawsze polegać na własnych zasobach. Choć z pewnością można zapożyczyć się za bardzo (co może poświadczyć każdy, komu bank zablokował kartę kredytową), pożyczanie pieniędzy w specyficznych sytuacjach również da się ekonomicznie uzasadnić. Tym samym zarówno w wypadku jednostek, jak i państw polityka konsekwentnego powstrzymywania się od korzystania z pożyczek, w tym pożyczek udzielanych na międzynarodowym rynku finansowym, nie niesie ze sobą żadnych ekonomicznych korzyści. Pożyczanie ma sens wtedy, gdy kupuje się coś, co przynosi korzyści w długim okresie, a więc gdy pożyczka finansuje inwestycję. Zaciągnięcie kredytu, który pozwoli sfinansować studia, ma sens, ponieważ zdobycie tytułu magistra zwiększa, przeciętnie rzecz biorąc, zarobki osób z wyższym wykształceniem w stosunku do absolwentów szkół średnich. Wyższe wynagrodzenie po zakończeniu studiów umożliwi spłatę zaciągniętego kredytu. Z punktu widzenia przedsiębiorstw wzięcie pożyczki lub zaciągnięcie kredytu na zakup nowej maszyny również jest ekonomicznie uzasadnione, oczywiście jeśli maszyna pozwoli zwiększyć zyski firmy na tyle, by udało się zaciągnięte zobowiązania spłacić. Podobnie z punktu widzenia gospodarki konkretnego kraju pożyczanie pieniędzy na międzynarodowym rynku finansowym ma sens o tyle, o ile środki te zostaną wykorzystane w sposób przyspieszający tempo wzrostu gospodarczego. Wówczas taki kraj z czasem będzie w stanie spłacić zaciągnięte zobowiązania finansowe, zaś jego mieszkańcy dzięki napływowi kapitału uzyskają wyższy standard życia. Dobrym przykładem państwa, które dużo pożyczało za granicą, mądrze inwestowało otrzymane środki i doskonale sobie dzięki nim radziło, są Stany Zjednoczone w XIX w. USA utrzymywały deficyty handlowe niemal przez cały okres między rokiem 1831 a 1875 (dokładniej – przez 40 z 45 lat), co automatycznie oznaczało pozycję pożyczkobiorcy netto. Kapitał finansowy napływający z zagranicy inwestowany był m.in. w rozwój sieci kolejowej, co przyspieszyło dynamikę wzrostu i rozwoju gospodarczego. Przeczytaj poniższą , aby uzyskać więcej informacji na ten temat. Bardziej współczesnym przykładem jest Korea Południowa i jej doświadczenia z lat 70. XX w. Niemal przez całą dekadę kraj ten utrzymywał deficyt handlowy i tym samym stał się importerem kapitału. Jednocześnie jednak dzięki napływowi międzynarodowego kapitału Korea Południowa miała bardzo wysoki wolumen inwestycji przedsiębiorstw, szczególnie w maszyny i urządzenia, pozwalający jej uzyskiwać wysokie tempo wzrostu gospodarczego. Począwszy od połowy lat 80. przez kolejne dziesięć lat Korea Południowa notowała z kolei nadwyżki handlowe, co oznaczało, że spłacała swoje wcześniejsze pożyczki, wysyłając kapitał za granicę. Z drugiej strony niektóre kraje, utrzymując wysokie deficyty handlowe, zaciągają znaczne pożyczki na światowych rynkach finansowych i popadają przez to w różnego rodzaju kłopoty. Powtórzmy zatem: deficyt sam w sobie nie jest ani dobry, ani zły. Kluczowe jest to, w jaki sposób napływające do kraju środki zostaną wykorzystane. Warto w tym kontekście przeanalizować dwa rodzaje problemów o charakterze wewnętrznym i zewnętrznym. Po pierwsze, państwo pożyczkobiorca może znaleźć się w trudnej sytuacji, jeśli nie zainwestuje napływających z zagranicy środków w sposób prowadzący do wzrostu produktywności. Kilka dużych gospodarek Ameryki Łacińskiej, w tym Meksyk i Brazylia, miało w latach 70. XX w. wysokie deficyty handlowe i tym samym dużo pożyczało za granicą. Napływ kapitału finansowego nie zwiększył jednak w wystarczającym stopniu produktywności i nie doprowadził do przyspieszenia tempa wzrostu gospodarczego, co oznaczało, że kraje te miały ogromne problemy ze spłatą pożyczonych pieniędzy, gdy w kolejnej dekadzie warunki gospodarcze się zmieniły. Podobny problem dotknął wiele państw afrykańskich, które w latach 70. i 80. XX w. chętnie zaciągały pożyczki na międzynarodowych rynkach finansowych, ale nie inwestowały ich w produktywny sposób. W rezultacie większość z nich musiało później spłacać wysokie odsetki, co było wyzwaniem dla ich gospodarek, które właściwie nie skorzystały z kapitału napływającego kilka lub kilkanaście lat wcześniej. Czy deficyty handlowe zawsze są szkodliwe? Przez większą część XIX w. import USA przewyższał eksport, a gospodarka notowała deficyty handlowe. Jednak sytuacja ta wcale nie wstrzymała tempa wzrostu i rozwoju amerykańskiej gospodarki. Przeciwnie, to właśnie owe deficyty przyczyniły się do imponującego tempa wzrostu gospodarczego, który dał USA najwyższy na świecie poziom PKB per capita około roku 1900. Deficyty handlowe oznaczały, że Stany Zjednoczone były w tym samym okresie pożyczkobiorcą netto na rynkach światowych. Większość napływającego kapitału została zainwestowana w rozwój infrastruktury, przede wszystkim kolejowej, lecz również drogowej, wodociągowej czy oświatowej. Oba rodzaje inwestycji przełożyły się – jakkolwiek nie wprost – na wzrost dynamiki amerykańskiej gospodarki. Nie powinniśmy oczywiście przeceniać wpływu zagranicznego kapitału inwestycyjnego na tempo wzrostu gospodarczego w USA. Dla większości lat zagraniczny kapitał finansowy stanowił nie więcej niż 6–10% środków, które wykorzystywano na inwestycje w gospodarce. Niemniej jednak deficyty handlowe i towarzyszący im napływ funduszy z zagranicy wyraźnie pomogły, a nie przeszkodziły w rozwoju Stanów Zjednoczonych w XIX w. Drugim rodzajem problemów związanych z napływem kapitału międzynarodowego do danego kraju jest mobilność środków finansowych. Kapitał może wypłynąć z kraju równie szybko, jak wcześniej do niego wpłynął. Omówiliśmy ten scenariusz na początku niniejszego rozdziału. W połowie lat 90. ub. wieku wiele krajów wschodniej Azji – Tajlandia, Indonezja, Malezja i Korea Południowa – notowało wysokie deficyty handlowe i importowało kapitał z zagranicy. Jednak w roku 1997 i 1998 inwestorzy zagraniczni uznali, że kondycja tych gospodarek nie gwarantuje spłaty zaciągniętych wcześniej zobowiązań, i zaczęli wycofywać swoje kapitały (sprzedając akcje, obligacje, nieruchomości i likwidując depozyty w sektorze bankowym). Niezwykle szybki odpływ zagranicznego kapitału wstrząsnął systemami bankowymi i gospodarkami tych krajów, pogrążając je w głębokiej recesji. Związki pomiędzy międzynarodowymi przepływami kapitału, sektorem bankowym i kondycją gospodarki zostaną dokładnie omówione w . Jak zatem widać, deficyt handlowy nie zawsze jest zjawiskiem niekorzystnym dla gospodarki. Analogicznie nie ma również gwarancji, że nadwyżka handlowa przełoży się na poprawę kondycji ekonomicznej danego kraju. Na przykład Niemcy i Japonia w ciągu ostatnich 30 lat notowały znaczne nadwyżki handlowe niemal nieprzerwanie. Niezależnie od utrzymującego się dodatniego salda w bilansie handlowym oba kraje od czasu do czasu doświadczały recesji i żaden z nich nie odnotował w tym okresie szczególnie wysokiego tempa wzrostu gospodarczego. Więcej o nadwyżce handlowej Japonii możesz przeczytać w . Obejrzyj to wideo aby się przekonać, czy deficyt handlowy jest korzystny, czy raczej szkodliwy dla gospodarki. Czy nadwyżki handlowe zawsze są korzystne? Sytuacja Japonii pod koniec XX w. Prawdopodobnie żadna gospodarka na świecie nie kojarzy się bardziej z nadwyżkami w bilansie obrotów handlowych niż Japonia. Wraz z rozpoczęciem ostatniej dekady XX w. wysokość tych nadwyżek sięgała często nawet 100 mld dol. rocznie. Gdy japońska gospodarka rozwijała się dynamicznie w latach 60. i 70. ub. stulecia, wiele osób, szczególnie nieposiadających wykształcenia ekonomicznego, wskazywało na wysokie nadwyżki handlowe Japonii zarówno jako na przyczynę, jak i skutek jej świetnej kondycji gospodarczej. Biorąc jednak pod uwagę tempo wzrostu gospodarczego, od początku lat 90. ub. wieku Japonia balansuje na krawędzi recesji. Dynamika realnego wzrostu PKB w skali roku nie przekracza 1%, a bezrobocie cały czas rośnie. Najwyraźniej ogromna nadwyżka handlowa nie jest gwarancją wysokiego tempa wzrostu. W istocie nadwyżka handlowa Japonii odzwierciedla fakt, że kraj ten ma bardzo wysoki wolumen oszczędności krajowych. Japońska gospodarka dysponuje większymi zasobami kapitału, niż jest w stanie zainwestować w kraju, a więc środki te muszą wypłynąć za granicę. W pogrążonej w stagnacji gospodarce Japonii konsumpcja towarów importowanych jest stosunkowo niska, podobnie zresztą jak globalne wydatki na zakupy dóbr i usług. W efekcie eksport Japonii stale przewyższa import, utrzymując nadwyżkę handlową na wysokim poziomie. Dopiero z początkiem drugiej dekady XXI w. nadwyżka handlowa Japonii zaczęła się zmniejszać, zaś w 2013 r. kraj ten odnotował deficyt ze względu na wysokie koszty importowanej ropy. Niemniej w 2015 r. Japonia ponownie zanotowała nadwyżkę w bilansie handlowym i dodatnie saldo tego bilansu utrzymuje się do początku trzeciej dekady obecnego stulecia. Key Concepts and Summary Nadwyżki handlowe nie są gwarancją utrzymywania korzystnej kondycji gospodarczej, zaś deficyty handlowe nie oznaczają automatycznie jej słabości. Deficyty, podobnie jak nadwyżki, same w sobie nie są ani dobre, ani złe. Kluczowe jest to, w jaki sposób napływające do kraju środki finansowe z międzynarodowych rynków zostaną wykorzystane – czy zasilą inwestycje zwiększające produktywność i przekładające się na przyspieszenie dynamiki wzrostu gospodarczego, czy też nie. Self-Check Questions Dla każdego z poniższych punktów wskaż, czy ten rodzaj wydatku uzasadnia – z punktu widzenia produktywności – powstanie deficytu budżetowego. Wzrost strumienia środków zasilających NFZ Zwiększone wydatki na edukację Zwiększone wydatki na program przezbrajania polskiej armii Zwiększone wydatki na lotniska i kontrolę ruchu lotniczego Wzrost strumienia środków zasilających NFZ nie przekłada się automatycznie na wzrost produktywności, więc deficyt budżetowy nie jest uzasadniony. Zwiększone wydatki na edukację zwiększą produktywność i przyspieszą wzrost gospodarczy, więc deficyt budżetowy jest uzasadniony. Zwiększone wydatki na program przezbrajania armii mogą nie zwiększyć produktywności, więc deficyt budżetowy nie jest uzasadniony. Zwiększone wydatki na lotniska i kontrolę ruchu lotniczego zwiększą produktywność i przyspieszą wzrost gospodarczy, więc deficyt budżetowy jest uzasadniony. W jaki sposób wysokie deficyty handlowe zaszkodziły krajom Azji Południowo-Wschodniej w połowie lat 80. XX w.? (Przypomnijmy, że deficyty handlowe są tożsame z napływem kapitału finansowego z zagranicy). Zagraniczni inwestorzy zaczęli obawiać się o perspektywy odzyskania ulokowanych w tych krajach środków i zaczęli wycofywać kapitał z giełdy, rynków obligacji i nieruchomości oraz sektora bankowego. Opisz scenariusz, w którym nadwyżka handlowa jest korzystna dla gospodarki, oraz taki, w którym nadwyżka handlowa charakteryzuje gospodarkę znajdującą się w kiepskiej kondycji. Jaki kluczowy czynnik lub czynniki determinują wpływ salda bilansu handlowego na sytuację gospodarczą danego kraju? Szybko rosnąca nadwyżka handlowa może wynikać z wielu czynników, nie warto więc pochopnie zakładać jej konkretnej przyczyny. Jeśli jednak istnieją tylko dwie możliwości: albo gospodarka pogrążona jest w recesji, albo szybko się rozwija, to odpowiedzią będzie recesja. W czasie recesji popyt globalny na dobra i usługi, w tym oczywiście towary importowane, spada. Eksport zależy przede wszystkim od sytuacji w krajach, do których jest on kierowany, stąd wzrost nadwyżki handlowej. Review Questions W jakich warunkach deficyt handlowy może mieć korzystny wpływ na gospodarkę? A w jakich może być niekorzystny? Czy nadwyżka handlowa w automatyczny sposób przekłada się na wysokie tempo wzrostu gospodarczego? Critical Thinking Question Co jest ważniejsze: saldo na rachunku obrotów bieżących danego kraju czy tempo wzrostu jego PKB? Odpowiedź uzasadnij. References Tabuchi, Hiroko. “Japan Reports a $78 Billion Trade Deficit for 2012.” The New York Times , January 23, 2013. http://www.nytimes.com/2013/01/24/business/global/japan-reports-a-78-billion-trade-deficit-for-2012.html?_r=0. World Bank. 2014. \"Exports of Goods and Services (% of GDP).\" Accesed April 13, 2015. http://data.worldbank.org/indicator/NE.EXP.GNFS.ZS/countries.", "section": "Czy deficyt handlowy ma jakieś zalety?", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Różnica między saldem bilansu handlowego a poziomem wymiany handlowej Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować trzy czynniki, które wpływają na rozmiary wymiany handlowej z zagranicą Rozróżniać saldo bilansu handlowego i rozmiary (poziom) wymiany handlowej Rozmiary (lub poziom) wymiany handlowej danego kraju mogą na pierwszy rzut oka wydawać się parametrem bardzo podobnym do salda bilansu handlowego, ale logika szacowania obu wielkości jest w rzeczywistości odmienna. Rozmiary wymiany handlowej mierzymy, wykorzystując relację wartości eksportu dóbr i usług do PKB danego kraju. Oznacza to, że konkretna gospodarka może mieć bardzo wysoki poziom wymiany handlowej (nawet powyżej 50% PKB, jak w przypadku Polski) i jednocześnie zrównoważone saldo bilansu handlowego (eksport i import są sobie równe). Rozmiary wymiany handlowej wskazują na to, jak dużą część swojej produkcji konkretny kraj eksportuje. Możliwe jest zatem i to, że w przypadku danej gospodarki sprzedaż dóbr i usług za granicę ma stosunkowo niski udział w PKB w porównaniu ze średnimi światowymi, ale nierównowaga między jej eksportem a importem jest dość duża, co może oznaczać pokaźną nadwyżkę lub równie wysoki deficyt. Rozróżnienie to było przedmiotem naszych rozważań w , który zawierał zestawienie danych ilustrujących zarówno rozmiary wymiany handlowej, jak i saldo bilansu handlowego. Jeśli poziom wymiany handlowej danego kraju informuje nas o tym, jaką część swojej produkcji wysyła on za granicę, to parametr ów możemy traktować jako swojego rodzaju przybliżenie skali globalizacji danej gospodarki. Państwa takie jak Niemcy i Polska mają bardzo wysokie rozmiary wymiany handlowej, eksportując ok. 50% swojej produkcji. Możemy powiedzieć, że gospodarki te są mocno zaangażowane w globalną wymianę handlową. Natomiast saldo bilansu handlowego niesie ze sobą informację o tym, czy dana gospodarka ma nadwyżkę handlową, czy deficyt. Konkretny kraj może cechować się relatywnie ograniczonym poziomem wymiany handlowej i jednocześnie bardzo wysokim deficytem. Na przykład Stany Zjednoczone eksportują dobra i usługi o wartości ok. 10% PKB, ale wykazują deficyt handlowy w wysokości ponad 600 mld dol. Spośród czynników, które determinują rozmiary wymiany handlowej, należy wskazać trzy najważniejsze: wielkość gospodarki, położenie geograficzne i historię wymiany handlowej. Duże gospodarki, takie jak Stany Zjednoczone, mogą w większej mierze wykorzystywać rynek wewnętrzny. Z kolei małe w skali globalnej gospodarki, takie jak Polska i Szwecja, muszą eksportować część produkcji, aby w pełni wykorzystać swój potencjał i korzyści skali. Relacja ich importu i eksportu do PKB będzie zatem większa. Sąsiadujące kraje zwykle mają większą wymianę handlową, ponieważ koszty transportu i komunikacji są relatywnie niższe (pomyśl w tym kontekście o Polsce i Niemczech). Niektóre gospodarki mają także silnie ugruntowane i wieloletnie doświadczenia w handlu zagranicznym (Szwajcaria, państwa Beneluksu). W rezultacie relatywnie mała gospodarka, taka jak Polska, z wieloma partnerami handlowymi w całej Europie, ma bardzo wysoki poziom wymiany handlowej. Zwróć uwagę na fakt, że kontekst historyczny traci na znaczeniu wraz z przyłączeniem danego państwa do takiej organizacji jak UE, dzięki czemu możliwe jest włączenie przedsiębiorstw z danego kraju w globalne łańcuchy wartości. Polskie przedsiębiorstwa eksportują swoje dobra i usługi, które są nakładem w ramach procesów produkcyjnych globalnych koncernów, takich jak firmy lotnicze i motoryzacyjne. Z kolei Brazylia i Indie, a więc gospodarki dość duże, które często starały się ograniczać skalę wymiany handlowej w ciągu ostatnich kilkudziesięciu lat, mają niższy poziom wymiany handlowej. Stany Zjednoczone i Japonia to jedne z największych gospodarek w skali globalnej, mające bardzo ograniczoną liczbę partnerów handlowych w bezpośrednim sąsiedztwie. W konsekwencji oba kraje notują dość niski poziom wymiany handlowej w porównaniu z globalnymi standardami. Relacja ich eksportu do PKB jest na poziomie o połowę niższym niż średnia dla wszystkich gospodarek świata. Saldo bilansu handlowego jest czymś innym niż rozmiary wymiany handlowej. Stany Zjednoczone mają niewielki poziom wymiany handlowej, ale przez większą część ostatnich 40 lat notowały gigantyczne deficyty bilansu handlowego. Z kolei Japonia, kraj o niskich, według światowych standardów, rozmiarach wymiany handlowej, w ostatnich dziesięcioleciach potrafiła wypracowywać nadwyżkę w bilansie handlowym. Niemcy i Wielka Brytania osiągają średnie lub wysokie rozmiary wymiany handlowej, ale w 2020 r. Niemcy zanotowały umiarkowaną nadwyżkę handlową, podczas gdy Wielka Brytania w tym samym roku importowała więcej, niż eksportowała. Jeszcze pod koniec XX w. ich saldo w bilansie handlowym było jednak bardzo zbliżone. Polska w 2020 r. miała pokaźne rozmiary wymiany handlowej i umiarkowaną nadwyżkę w bilansie handlowym, podczas gdy Kanada przy równie wysokim poziomie wymiany handlowej w tym samym okresie zanotowała umiarkowany deficyt. Krótko mówiąc, jest całkiem prawdopodobne, że kraje o stosunkowo niskiej relacji eksportu do PKB, czyli niewielkich rozmiarach wymiany handlowej, mają stosunkowo wysokie deficyty bilansu handlowego. Możliwe jest również i to, że kraje z niemalże zrównoważonym poziomem eksportu i importu będą się niepokoić konsekwencjami wysokich rozmiarów wymiany handlowej. Rozsądne wydaje się założenie, zgodnie z którym wysoki poziom wymiany handlowej jest potencjalnie korzystny dla gospodarki, gdyż umożliwia wykorzystanie przewag komparatywnych. Nie ma również nic dziwnego w obawach przed narastającym brakiem stabilności makroekonomicznej związanej z utrzymywaniem się w danym kraju wysokich deficytów bilansu handlowego w długim okresie. Poniższa pokazuje, w jaki sposób tego rodzaju problemy dotykały kolonialne Indie w XIX i XX w. Czy nadwyżki w bilansie handlowym są zawsze korzystne? Przykład kolonialnych Indii Indie znajdowały się pod formalną brytyjską zwierzchnością od roku 1858 do 1947. W tym czasie niezmiennie wykazywały nadwyżki w handlu z Wielką Brytanią. Każdy, kto uważa, że nadwyżki handlowe są oznaką siły i dominacji gospodarczej, a deficyty handlowe symptomem gospodarczej słabości, musi uznać tę prawidłowość za dziwną, ponieważ oznaczałoby to, że kolonialne Indie zdominowały i wykorzystywały Wielką Brytanię przez prawie 100 lat, co przecież byłoby tezą absurdalną. Zamiast tego nadwyżki w handlu Indii z Wielką Brytanią należy postrzegać jako przepływ kapitału finansowego z kolonii do metropolii. W Indiach wiele osób zaangażowanych w sprawy publiczne krytykowało to zjawisko, nazywając je drenażem finansowym, a wyeliminowanie tego odpływu uznawało za jedną z wielu korzyści, jakie przyniosłoby Indiom uzyskanie niepodległości. Końcowe refleksje na temat bilansów handlowych Tak jak deficyty salda bilansu handlowego mogą być dla gospodarki zarówno korzystne, jak i niekorzystne, tak też nadwyżki bywają dla niej dobrym lub złym sygnałem. Co więcej, także zerowy bilans handlowy – co po prostu oznacza, że dany kraj nie jest ani pożyczkobiorcą, ani pożyczkodawcą netto w gospodarce międzynarodowej – może sprzyjać rozwojowi gospodarczemu albo oddziaływać nań negatywnie. Najważniejszą kwestią pozostaje bowiem nie to, czy kraj pożycza pieniądze z zagranicy (deficyt), czy też udziela pożyczek na rynku międzynarodowym (nadwyżka), ale pytanie o to, czy biorąc pod uwagę określoną kondycję danej gospodarki, należy pożyczki zaciągać, czy raczej ich udzielać. Warto się zastanowić, w jaki sposób zmieniłoby się społeczne nastawienie do deficytów i nadwyżek bilansu handlowego, gdybyśmy zmienili język opisu tego fragmentu rzeczywistości gospodarczej. Czy reakcja opinii publicznej nie byłaby znacznie bardziej przychylna, gdybyśmy nie pisali o deficycie, tylko o „zachęcaniu zagranicznego kapitału finansowego do inwestycji”, co oczywiście oznacza to samo? I odwrotnie, czy nadwyżki nie straciłyby co najmniej części ze swojej medialnej atrakcyjności, gdybyśmy – zgodnie z prawdą – opisywali je jako „wysyłanie kapitału finansowego poza granice kraju”? Tak czy inaczej, kluczem do zrozumienia przyczyn, korzyści i ryzyk wiążących się ze zróżnicowaniem salda bilansu handlowego (możliwością występowania nadwyżek i deficytów) jest świadomość, że międzynarodowe przepływy dóbr i usług zawsze związane są z przepływem kapitału finansowego w przeciwnym kierunku. Pierwszym krokiem w ramach tego procesu jest wyjście poza odruchowe reakcje na terminy, takie jak: „nadwyżka handlowa”, „bilans handlowy” i „deficyt handlowy”. Więcej, niż widać na pierwszy rzut oka w Kongu Teraz, gdy dysponujesz już znacznie szerszą perspektywą, bez wątpienia zdajesz sobie sprawę z tego, że wszystkie decyzje ekonomiczne, które podejmujesz, np. zakupu importowanych produktów, sposób lokowania oszczędności lub inwestowanie w międzynarodowym funduszu inwestycyjnym, mają wpływ zarówno na przepływy towarów i usług, jak i kapitału finansowego na całym świecie. Wiesz już, że sam fakt istnienia nadwyżki bilansu handlowego dostarcza niewielu informacji na temat kondycji danej gospodarki. Demokratyczna Republika Konga zanotowała w 2013 r. nadwyżkę handlową, o czym dowiedzieliśmy się na początku niniejszego rozdziału. Jednak saldo na rachunku obrotów bieżących było już ujemne i zamknęło się kwotą -2,8 mld dol. Normalizacja sytuacji politycznej i proces odbudowy kraju po wojnie domowej przełożyły się na napływ do Konga inwestycji i kapitału finansowego. W tym przypadku ujemne saldo na rachunku obrotów bieżących oznaczało przyspieszenie tempa odbudowy kraju, dlatego było zjawiskiem korzystnym. Key Concepts and Summary Rozmiary wymiany handlowej i saldo bilansu handlowego to pojęcia, których interpretacje bardzo się od siebie różnią. Poziom wymiany handlowej gospodarki mierzony jest relacją eksportu do PKB. Małe w skali globalnej gospodarki, które w bezpośrednim sąsiedztwie mają licznych partnerów handlowych i długą historię handlu międzynarodowego, będą miały raczej wyższy poziom wymiany handlowej w porównaniu z największymi krajami, pozostającymi we względnej izolacji i z relatywnie krótką historią handlu zagranicznego. Saldo bilansu handlowego kraju to różnica między jego eksportem a importem wyrażona w jednostkach pieniężnych (złotych, dolarach). Zarówno deficyt, jak i nadwyżka w bilansie handlowym mogą być dla gospodarki – zależnie od okoliczności – korzystne lub nieść ze sobą negatywne konsekwencje. Jeśli dany kraj notuje deficyt, ale dzięki temu zaciąga na międzynarodowym rynku finansowym pożyczki i inwestuje je w projekty zwiększające produktywność gospodarki, może w ten sposób zwiększyć dynamikę wzrostu i rozwoju w długim okresie. Self-Check Questions Stany Zjednoczone eksportują ok. 10% PKB, podczas gdy Polska ok. 50% swojego PKB. Zinterpretuj te dane. Polska ma wyższe rozmiary wymiany handlowej niż Stany Zjednoczone, które dysponują znacznie większym rynkiem wewnętrznym, co jest główną przyczyną tej różnicy. Wyjaśnij krótko, czy przedstawione poniżej uwarunkowania z większym prawdopodobieństwem prowadzą do wzrostu rozmiarów wymiany handlowej w gospodarce, czy też narastania nierównowagi bilansu handlowego. Liczba ludności danego kraju Znaczna dodatnia różnica pomiędzy krajową stopą oszczędności i inwestycji Liczni i zamożni sąsiedzi danego kraju Wyjątkowo wysoki deficyt sektora finansów publicznych Żywe tradycje protekcjonistycznego ustawodawstwa blokującego import Duże gospodarki mają zwykle niższy poziom handlu międzynarodowego, ponieważ korzystają z szerokiego rynku wewnętrznego, ale rozmiary gospodarki nie przekładają się raczej na wynik salda bilansu handlowego. Brak równowagi pomiędzy krajowymi inwestycjami i oszczędnościami (w tym oszczędnościami sektora publicznego) zawsze prowadzi do nierównowagi handlowej, ale ma niewiele wspólnego z rozmiarami tej wymiany. Wielu dużych partnerów handlowych w geograficznej bliskości zwiększa poziom wymiany handlowej, ale ma niewielki wpływ na rozmiary nierównowagi. W tym przypadku odpowiedź nie jest oczywista. Wyjątkowo wysoki deficyt sektora finansów publicznych oznacza duże zapotrzebowanie na kapitał finansowy, co zgodnie z tożsamością krajowych oszczędności i inwestycji nieco zwiększa prawdopodobieństwo napływu kapitału zagranicznego, czyli deficytu handlowego. Żywa tradycja zniechęcania do handlu zagranicznego („kupuj polskie”) z pewnością obniża jego rozmiary. Jednak niekoniecznie wpływa na bilans handlowy, ponieważ jest on określany zarówno przez import, jak i eksport oraz wolumeny krajowych inwestycji i oszczędności. Review Questions Jakie trzy najważniejsze czynniki określają relację eksportu danego kraju do jego PKB? Jaka jest różnica między deficytem w bilansie handlowym a rozmiarami wymiany handlowej? Critical Thinking Questions Czy kraje, które notują wyższe rozmiary wymiany handlowej, z większym prawdopodobieństwem zanotują deficyt, czy też nadwyżkę w bilansie handlowym.? A może czynnik ten nie ma żadnego znaczenia dla salda bilansu handlowego? Niektórzy ekonomiści ostrzegają, że deficyt salda bilansu handlowego i ujemne saldo na rachunku obrotów bieżących w Stanach Zjednoczonych są zjawiskiem niekorzystnym, jeśli występują w długim okresie. Czy zgadzasz się z takim poglądem? Uzasadnij swoją odpowiedź.", "section": "Różnica między saldem bilansu handlowego a poziomem wymiany handlowej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Budowa domu W szczycie bańki na rynku nieruchomości w Stanach Zjednoczonych bardzo łatwo było uzyskać kredyt hipoteczny pozwalający na sfinansowanie zakupu nowego domu. (Źródło: modyfikacja pracy Tima Pierce’a/Flickr Creative Commons). Od bańki do krachu na amerykańskim rynku nieruchomości Liczba mieszkańców Stanów Zjednoczonych posiadających domy na własność, począwszy od lat 90. XX w. systematycznie rosła, co rzecz jasna oznaczało rozwój rynku nieruchomości w tym kraju. Tylko w latach 2004–2005 odsetek właścicieli domów w amerykańskim społeczeństwie wzrósł o ponad 5 punktów procentowych, z mniej więcej 64% do ponad 69%. Wiele osób mogło sobie wtedy kupić swój pierwszy dom lub stać się właścicielami nieruchomości większych i droższych niż dotychczas. W tym samym okresie wartość kredytów hipotecznych się potroiła. Mieszkania, uznane za bezpieczną inwestycję finansową, stały się bardziej dostępne dla Amerykanów. wskazuje, że w ciągu ostatnich 60 lat sprzedaż nowych domów jednorodzinnych osiągnęła szczytową wartość w roku 2005 (1279 tys.). Wolumen sprzedaży nowych domów jednorodzinnych w USA Od początku lat 90. XX w. do 2005 r. liczba nowych domów jednorodzinnych sprzedawanych w USA systematycznie rosła. W 2006 r. sprzedaż się załamała i ten trend utrzymywał się aż do roku 2011. Począwszy od roku 2012, sprzedaż nowych domów jednorodzinnych ponownie zaczęła rosnąć i tendencji tej nie zahamowała nawet pandemia Covid-19. (Źródło: US Census Bureau). Boom (nazywany potocznie bańką) na amerykańskim rynku nieruchomości zakończył się w roku 2005 (popularnie mówiąc, w tym właśnie roku bańka zaczęła pękać). Narastały zaległości i opóźnienia w spłatach kredytów hipotecznych, a na rynku pojawiła się nadwyżka podaży nowych domów nad popytem na to specyficzne dobro. Spadek wartości domów, będący konsekwencją nadwyżki ich podaży, przyczynił się do zmniejszenia majątku sektora gospodarstw domowych i doprowadził do obniżenia wydatków konsumpcyjnych ich właścicieli. Kilka instytucji udzielających kredytów hipotecznych zbankrutowało, bo właściciele domów przestali spłacać zaciągnięte wcześniej kredyty. Do 2008 r. negatywne skutki gwałtownego odwrócenia trendu na rynku nieruchomości rozlały się na cały rynek finansowy. Banki ograniczyły skalę działalności kredytowej i bańka nieruchomościowa ostatecznie pękła. Rynki finansowe znalazły się w kryzysie, a banki nie mogły lub nie chciały udzielać kredytów nawet klientom posiadającym zdolność kredytową. Bańka na rynku nieruchomości i kryzys na rynkach finansowych były głównymi przyczynami globalnego kryzysu z lat 2008–2012, który doprowadził w USA do wzrostu stopy bezrobocia powyżej 10% i spadku nie tylko dynamiki wzrostu, ale wręcz poziomu PKB (przypomnijmy, że w tym samym okresie Polska pozostała jedynym krajem UE, któremu udało się zachować dodatnie tempo wzrostu gospodarczego – na przełomie pierwszej i drugiej dekady XXI w. byliśmy „zieloną wyspą”). Przezwyciężenie skutków tego kryzysu zajęło Stanom Zjednoczonym wiele lat, a przywrócenie stabilności rynków finansowych zostało osiągnięte m.in. dzięki aktywnej polityce fiskalnej i pieniężnej. Historia Stanów Zjednoczonych pokazuje, że wzrost gospodarczy tego kraju, podobnie zresztą jak większości gospodarek kapitalistycznych, odbywał się w sposób cykliczny, zaś okresy ekspansji i recesji przeplatały się ze sobą. Niektóre z tych recesji były niezwykle głębokie, tak jak kilkuletnie załamanie gospodarcze w latach 30. XX w. Dlaczego gospodarka wykazuje różne tempo wzrostu w różnych latach? Jakie są przyczyny cyklicznych wahań koniunktury? W tym rozdziale przedstawimy kluczowy dla zrozumienia zmienności kierunków i dynamiki zmian poziomu PKB model, tj. model popytu globalnego i podaży globalnej (model AD-AS). Wprowadzenie do modelu popytu globalnego i podaży globalnej (modelu AD-AS) Dzięki lekturze tego rozdziału dowiesz się: W jaki sposób makroekonomiści postrzegają popyt i podaż Jak skonstruowany jest model wykorzystujący popyt i podaż globalną (model AD-AS) Jakie czynniki powodują przesunięcie funkcji podaży globalnej Jakie zmienne determinują położenie krzywej popytu globalnego W jaki sposób włączyć do modelu AD-AS zjawiska wzrostu gospodarczego, bezrobocia i inflacji Czym są prawo rynków Keynesa i prawo rynków Saya Podobnie jak to ma miejsce w mikroekonomii, również makroekonomiści do analizy interesujących ich problemów wykorzystują modele. Jaka jest zależność pomiędzy tempem wzrostu gospodarczego i stopą bezrobocia? Czy istnieje powód, dla którego między bezrobociem a inflacją może występować relacja wymienna (relacja typu „coś za coś”), co oznacza, że parametry te zmieniają się w przeciwnych kierunkach (np. w Stanach Zjednoczonych w latach 1997–2000 – spadek bezrobocia i wzrost inflacji; na początku XXI w. – wzrost bezrobocia i spadek inflacji; po roku 2009 – ponownie wzrost bezrobocia i spadek inflacji)? Dlaczego amerykański deficyt na rachunku obrotów bieżących na początku XXI w. osiągnął tak gigantyczne rozmiary, a następnie, w roku 2009, gwałtownie spadł? Aby znaleźć odpowiedź na tego typu pytania, musimy odejść od analizy konkretnych zdarzeń w gospodarce i skonstruować modele, które pomogą nam uchwycić charakter zależności i powiązań pomiędzy różnymi parametrami makroekonomicznymi. Konstrukcja i sposób funkcjonowania modeli makroekonomicznych będą przedmiotem rozważań kolejnych trzech rozdziałów podręcznika. Zaczniemy od przedstawienia makroekonomicznego modelu popytu globalnego i podaży globalnej, nazywanego również modelem AD-AS (ang. aggregate demand - aggregate supply ). W niniejszym rozdziale zostanie również omówione wzajemne oddziaływanie popytu globalnego i podaży globalnej, sposób ustalania równowagi makroekonomicznej oraz wpływ zmian popytu i podaży globalnej na równowagę w gospodarce. Przedstawiony model stanie się poręcznym narzędziem oceny prowadzonej przez państwa polityki gospodarczej w zakresie trzech obszarów (celów) – wzrostu gospodarczego, bezrobocia i inflacji. Spróbujemy również określić, na ile cele te pozostają ze sobą w relacji substytucyjnej (innymi słowy wymiennej: albo jeden, albo drugi), a na ile komplementarnej (inaczej mówiąc uzupełniającej się: jeśli jeden to i drugi). W kolejnym wprowadzony zostanie model opisujący sposób dostosowań gospodarki w krótkim okresie, czyli model keynesowski, w ramach którego kluczowe znacznie ma popyt globalny (stąd wykorzystywana niekiedy inna nazwa – model popytowy). W następnym zaś, , przeanalizujemy model klasyczny, przedstawiający sposób funkcjonowania gospodarki w długim okresie, kiedy kluczową rolę odgrywa podaż globalna (stąd alternatywna nazwa tego modelu – ekonomia podażowa).", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Popyt i podaż z perspektywy makroekonomicznej Po przeczytaniu tego podrozdziału będziesz w stanie : Objaśnić sposób działania prawa rynków Saya i zrozumieć, dlaczego ma ono zastosowanie przede wszystkim w długim horyzoncie czasowym Objaśnić prawo rynków Keynesa i zrozumieć, dlaczego ma ono zastosowanie przede wszystkim w krótkiej perspektywie czasowej Ekonomistów z ostatnich dwóch stuleci, którzy koncentrowali swoje dociekania na zagadnieniach makroekonomicznych, możemy podzielić na dwie grupy. Członkowie pierwszej z nich uważali, że to podaż globalna jest najważniejszym czynnikiem decydującym o wielkości produkcji w danej gospodarce, a globalny popyt dostosowuje się do podaży. Z kolei reprezentanci drugiej byli przeciwnego zdania: że to właśnie popyt globalny jest najważniejszym czynnikiem wpływającym na wielkość produkcji, a globalna podaż dostosowuje się do popytu. Prawo rynków Saya i ekonomia podażowa Ekonomiści, którzy kładą nacisk na stronę podażową w kształtowaniu wielkości produkcji, często odwołują się do prac słynnego francuskiego ekonomisty z początku XIX w. Jeana-Baptiste'a Saya (1767–1832). Prawo rynków Saya ( Say's law ) można sprowadzić do słów: „podaż kreuje popyt na samą siebie”. Żeby być precyzyjnym – Say w swoich pismach tak naprawdę jednoznacznie nigdy tego prawa nie sformułował. Stwierdzenie to jest pewnym uproszczeniem jego poglądów, niemniej dobrze oddaje sposób myślenia tego ekonomisty. Intuicja stojąca za prawem Saya polega na tym, że za każdym razem, gdy dobro lub usługa są produkowane i sprzedawane, tworzony jest czyjś dochód: pracowników i właścicieli firmy odpowiedzialnej za dostarczenie gotowego produktu na rynek, jak również pracowników i właścicieli przedsiębiorstw wchodzących w skład łańcucha tworzenia wartości (poddostawców, sprzedawców energii, właścicieli czynników produkcji wykorzystywanych w danym procesie wytwarzania itd.). Wspominaliśmy o tym wcześniej w dyskusji na temat dochodowej metody liczenia PKB. Na skutek wzajemnego oddziaływania popytu i podaży mamy do czynienia z wahaniami cen na poszczególnych rynkach. Niezależnie jednak od poziomu cen każda transakcja sprzedaży stanowi czyjś dochód, a zatem – zgodnie z prawem Saya – podaż musi gdzieś w gospodarce wykreować popyt o takiej samej wartości. Jean-Baptiste Say, Adam Smith oraz inni ekonomiści żyjący na przełomie XVIII i XIX w., którzy w ten sposób rozumieli sposób funkcjonowania gospodarki w skali makro, zaliczani są do klasyków ekonomii. Współcześni ekonomiści podzielający pogląd Saya o kluczowej roli strony podażowej w gospodarce nazywani są więc ekonomistami neoklasycznymi (ang. neoclassical economists ). Jeśli podaż co do zasady kreuje identyczny co do wartości popyt na poziomie makroekonomicznym, to – jak zauważył sam Say – trudno zrozumieć, dlaczego kiedykolwiek miałyby wystąpić okresy recesji i wysokiego bezrobocia. Aby rozwiać wszelkie wątpliwości, nawet jeśli globalna podaż zawsze kreuje taką samą wartość globalnego popytu, może się oczywiście zdarzyć, że niektóre firmy będą osiągać zyski, podczas gdy inne poniosą straty. Jednak w czasie recesji zdecydowana większość firm notuje straty i musi ograniczać skalę działalności lub nawet całkowicie ją wstrzymać. Tym samym podczas recesji gospodarka jako całość się kurczy, porażek jest więcej niż sukcesów, a wiele przedsiębiorstw bankrutuje i zwalnia pracowników. Prawo rynków Saya, zgodnie z którym globalna podaż kreuje identyczny w skali makroekonomicznej popyt, dobrze przybliża zachowanie gospodarki w długim okresie. W perspektywie lat bądź nawet dekad, wraz ze wzrostem potencjału produkcyjnego, globalny popyt rośnie mniej więcej w tym samym tempie, co globalna podaż. Jednak w krótszym horyzoncie czasowym, obejmującym raczej kwartały i lata niż dekady, mogą się pojawić okresy, w których większość przedsiębiorstw będzie się borykać z problemem niedostatecznego popytu na swoje produkty. Prawo rynków Keynesa i ekonomia popytowa Alternatywą dla prawa Saya, które podkreśla kluczową rolę strony podażowej, jest prawo rynków Keynesa ( Keynes' law ), które można wyrazić za pomocą twierdzenia, że to „globalny popyt stymuluje globalną podaż produktów”. Podobnie jak to było w przypadku Jeana-Baptiste’a Saya, John Maynard Keynes nigdy nie sformułował swojego prawa dokładnie w taki właśnie sposób, niemniej powyższa formuła trafnie oddaje jego pogląd na tę kwestię. Kiedy Keynes (właściwie powinniśmy w jego przypadku używać tytułu „lord”, ponieważ ten gigant myśli ekonomicznej XX w. w 1944 r. otrzymał tytuł szlachecki) pisał swoją najważniejszą książkę zatytułowaną „Ogólna teoria zatrudnienia, procentu i pieniądza” w czasie Wielkiego Kryzysu w latach 30. XX w., zwrócił uwagę na fakt, że w okresach nawet najgłębszych depresji możliwości produkcyjne gospodarki nie ulegają dużym zmianom. Stopa bezrobocia w USA w latach 1933–1935 zwiększyła się do ponad 20%, ale liczba potencjalnych pracowników utrzymywała się w zasadzie na niezmienionym poziomie. Fabryki zostały zamknięte, jednak maszyny i urządzenia były nadal gotowe do produkcji. Technologie, które zostały wynalezione w latach 20., w kolejnej dekadzie wciąż były dostępne. Keynes argumentował, że Wielki Kryzys (a także zdecydowana większość recesji o mniejszej skali) nie był spowodowany spadkiem możliwości produkcyjnych gospodarki wynikającym z ograniczenia dostępnych zasobów pracy, kapitału rzeczowego i technologii. Twierdził, że gospodarka nie wykorzystuje w pełni swojego potencjału produkcyjnego nie dlatego, że brakuje technologicznych możliwości wyprodukowania większej liczby dóbr i usług przy istniejących zasobach czynników wytwórczych, ale dlatego, że popyt w gospodarce jest zbyt mały i nie gwarantuje przedsiębiorstwom zbytu wyprodukowanych dóbr i usług. Keynes wskazywał, że w okresach recesji o poziomie PKB nie decydowały możliwości produkcyjne gospodarki, ale raczej wielkość całkowitego popytu. Prawo rynków Keynesa dość dobrze opisuje sposób funkcjonowania gospodarki w krótkim okresie, trwającym od kilku miesięcy do kilku lat. W tak zdefiniowanym horyzoncie czasowym wiele przedsiębiorstw może doświadczyć gwałtownego spadku popytu na swoje produkty w wyniku recesji. Albo przeciwnie – równie imponującego wzrostu zapotrzebowania na wytwarzane produkty podczas ożywienia gospodarczego, tak że firma będzie miała problemy z wyprodukowaniem wystarczającej ilości dóbr czy usług. Jednak wzrost popytu nie jest panaceum na problemy gospodarcze. Przecież gdyby tak było, państwo mogłoby zwiększyć PKB do dowolnego poziomu, po prostu nieustannie stymulując popyt globalny drogą wzrostu swoich wydatków lub poprzez obniżkę podatków prowadzącą do wzrostu konsumpcji. Gospodarki mają jednak swoje ograniczenia (bariery) produkcyjne zdefiniowane przez dostępne zasoby pracy, kapitału rzeczowego, technologii i pozostałych czynników wytwórczych, a także przez otoczenie instytucjonalne, które wpływa m.in. na efektywność wykorzystania dostępnych zasobów. Ograniczenia wynikające z możliwości produkcyjnych nie znikają automatycznie na skutek wzrostu popytu. Gospodarka Polski niezależnie od tego, jak gigantyczny popyt udałoby się w niej wygenerować, nie będzie w stanie produkować wolumenu dóbr i usług porównywalnego z gospodarką amerykańską. Łączne ujęcie strony popytowej i podażowej w gospodarce Prawo rynków Saya, uwypuklające znaczenie podaży globalnej, i prawo rynków Keynesa, podkreślające kluczową rolę popytu w krótkim okresie, pozwalają na sformułowanie dwóch wniosków. Po pierwsze, analiza gospodarki skoncentrowana wyłącznie na stronie podażowej lub wyłącznie na popycie globalnym będzie niekompletna, a zatem niezbędne jest ujęcie uwzględniające to, co się dzieje z oboma tymi parametrami. Po drugie, ponieważ prawo Keynesa dotyczy krótkiego okresu, a prawo Saya długiego, charakter relacji (substytucyjna lub komplementarna) pomiędzy trzema podstawowymi celami polityki gospodarczej (szybki i trwały wzrost gospodarczy, niskie bezrobocie i niska inflacja) w krótkim i długim okresie mogą być różne. Podsumowanie Ekonomiści neoklasyczni podkreślają znaczenie prawa rynków Saya, zgodnie z którym globalna podaż kreuje popyt na samą siebie. Z kolei ekonomiści identyfikujący się z poglądami głoszonymi przez Keynesa kładą nacisk na sformułowane przez niego prawo rynków, w myśl którego to popyt globalny determinuje wielkość podaży w gospodarce. Wielu ekonomistów głównego nurtu (reprezentujących ortodoksyjny nurt w makroekonomii) przyjmuje jednocześnie perspektywę keynesowską, podkreślającą znaczenie popytu globalnego, w krótkim okresie ograniczonym do kilku lat, i perspektywę neoklasyczną, kładącą nacisk na podaż globalną, w długim okresie (powyżej 5 lat). Pytania sprawdzające Opisz mechanizm, za pomocą którego globalna podaż kreuje popyt. Aby produkować, przedsiębiorstwa muszą zatrudniać pracowników (wykorzystywać kapitał i ziemię), którzy w ten sposób uzyskują dochód (czynniki produkcji są wynagradzane). Swoje wynagrodzenie, równe wartości wytworzonych dóbr i usług, pracownicy (właściciele kapitału i ziemi) przeznaczają na zakupy towarów, które wyprodukowali. Opisz mechanizm, za pomocą którego globalny popyt kreuje podaż. Kiedy konsumenci chcą kupić więcej dóbr i usług, niż jest dostępne na rynku, ceny rosną. Dodatkowe możliwości zysku skłaniają nowe przedsiębiorstwa do wejścia do gałęzi i wyprodukowania dodatkowych towarów (a te, które już funkcjonowały w branży, do zwiększenia produkcji), aby zaspokoić dodatkowy popyt. W ten sposób rośnie podaż. Sprawdź wiedzę Wyjaśnij działanie prawa rynków Saya. Wyjaśnij działanie prawa rynków Keynesa. Czy ekonomiści neoklasyczni identyfikują się z prawem rynków Keynesa, czy z prawem Saya? Czy prawo rynków Saya objaśnia funkcjonowanie gospodarki w krótkim, czy w długim okresie? A prawo rynków Keynesa? Ćwicz myślenie krytyczne Dlaczego jedni ekonomiści analizują sposób funkcjonowania gospodarki przede wszystkim na podstawie modelu neoklasycznego, inni zaś głównie na podstawie modelu keynesowskiego? Bibliografia Keynes, John Maynard. The General Theory of Employment, Interest and Money . London: Palgrave Macmillan, 1936. U.S. Department of Commerce: United States Census Bureau. “New Residential Sales: Historical Data.” http://www.census.gov/construction/nrs/historical_data/. prawo rynków Keynesa (ang. Keynes’ law ) przeświadczenie, że to popyt globalny kreuje rozmiary podaży globalnej ekonomiści neoklasyczni (ang. neoclassical economists ) ekonomiści podkreślający kluczową rolę strony podażowej w kształtowaniu rozmiarów produkcji w gospodarce w długim okresie prawo rynków Saya (ang. Say’s law ) przeświadczenie, zgodnie z którym to podaż globalna determinuje rozmiary globalnego popytu", "section": "Popyt i podaż z perspektywy makroekonomicznej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Model popytu globalnego i podaży globalnej (AD-AS) Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić kształt krzywej podaży globalnej oraz jej związek z poziomem faktycznego i potencjalnego PKB Zinterpretować kształt krzywej popytu globalnego w kontekście poziomu cen Zrozumieć sposób interakcji popytu globalnego i podaży globalnej w ramach modelu opisującego zachowanie tych dwóch zmiennych (modelu AD-AS) Określić i zinterpretować stan równowagi w modelu popytu globalnego i podaży globalnej Zrozumieć różnice pomiędzy krótkookresową i długookresową krzywą podaży globalnej Aby zbudować użyteczny model makroekonomiczny, potrzebujemy listy zmiennych (czynników) determinujących rozmiary zagregowanego popytu i podaży globalnej w gospodarce oraz opisu mechanizmu, za pomocą którego globalny popyt i zagregowana podaż oddziałują na siebie na poziomie makroekonomicznym. Do tego celu wykorzystujemy model popytu globalnego i podaży globalnej , nazywany także modelem zagregowanego popytu i zagregowanej podaży lub po prostu od angielskich określeń obu parametrów modelem AD-AS (ang. aggregate demand/aggregate supply ). Niniejszy podrozdział przedstawia sposób, w jaki ekonomiści wyobrażają sobie podaż globalną, popyt globalny i mechanizm ustalania równowagi pomiędzy tymi parametrami. W kolejnych podrozdziałach omówione zostaną czynniki, które mogą wpłynąć na zmianę wartości obu parametrów, a tym samym przesunięcie wykresów podaży i popytu globalnego. Krzywa podaży globalnej i poziom potencjalnego PKB Przedsiębiorstwa podejmują decyzje o wielkości produkcji na podstawie oczekiwanych zysków. Zysk zaś zależy między innymi od ceny sprzedawanego produktu oraz kosztu zakupu czynników wytwórczych, takich jak praca, kapitał i surowce wykorzystywane do produkcji (różnicy pomiędzy utargiem i kosztem). Podaż globalna ( podaż zagregowana , AS ) (ang. aggregate supply (AS) ) przedstawia łączny wolumen produkcji i sprzedaży dóbr i usług w danej gospodarce (tj. poziom realnego PKB). Krzywa podaży globalnej ( krzywa AS ) ( aggregate supply (AS) curve ) ilustruje łączną wielkość produkcji, jaką przedsiębiorstwa będą wytwarzać i sprzedawać przy każdym poziomie cen w gospodarce. . W dalszej części podrozdziału omówimy kolejno poszczególne elementy wykresu: wartości odłożone na osi poziomej i pionowej, samą krzywą podaży globalnej oraz pionową linię wyznaczającą poziom potencjalnego PKB. Krzywa podaży globalnej (krzywa AS) Krzywa podaży globalnej (AS) ma nachylenie dodatnie, ponieważ wraz ze wzrostem cen dóbr i usług, przy stałych cenach czynników wytwórczych, przedsiębiorstwa mają motywację do rozwijania produkcji i tym samym zwiększania wartości zysku. Linia wskazująca poziom potencjalnego PKB ilustruje maksymalną wielkość produkcji, jaką dana gospodarka może wytworzyć przy pełnym zatrudnieniu pracowników i kapitału rzeczowego (pełnym wykorzystaniu czynników produkcji) w określonych ramach czasowych, np. przez rok. Na osi poziomej powyższego wykresu odłożona jest wartość realnego PKB, czyli poziom produktu globalnego skorygowany o inflację. Natomiast oś pionowa przedstawia poziom cen, który najlepiej interpretować jako wskaźnik cen towarów i usług konsumpcyjnych (CPI) lub deflator PKB, które przedstawiliśmy w . Należy pamiętać, że poziom cen różni się od stopy inflacji. W naszym przypadku poziom cen jest wskaźnikiem średniej ceny dóbr i usług nabywanych w gospodarce (ważonej ich udziałem np. w konsumpcji), podczas gdy stopa inflacji to procentowa zmiana wartości tego wskaźnika (poziomu cen) w czasie. Wraz ze wzrostem poziomu cen rośnie również realny PKB. Dlaczego? Na osi pionowej odłożone zostały ceny dóbr finalnych, a nie ceny dóbr pośrednich stanowiących nakłady w procesie produkcji. Zatem krzywa AS opisuje sposób, w jaki producenci reagują na wyższe ceny dóbr finalnych, w sytuacji gdy ceny nakładów, takich jak praca i energia, nie zmieniają się. Jeśli przedsiębiorstwa w całej gospodarce zauważą, że ceny produkowanych i sprzedawanych wyrobów rosną, ale koszty ich produkcji nie ulegają zmianie, wówczas pokusa wyższych zysków skłoni firmy do zwiększenia produkcji. Innymi słowy, krzywa podaży globalnej pokazuje, w jaki sposób producenci (jako grupa) reagują na wzrost popytu globalnego. Nachylenie krzywej AS na wykresie ulega zmianie: początkowo jest ona płaska, a wraz ze wzrostem wartości realnego PKB (przesuwając się w prawo) staje się bardziej stroma i w końcu prawie pionowa. Dzieje się tak dlatego, że przy stosunkowo niskim poziomie realnego PKB wolumen produkcji w gospodarce jest znacznie niższy od poziomu potencjalnego PKB (ang. potential GDP ), który jest określany jako wartość produkcji możliwa do wytworzenia przy pełnym wykorzystaniu istniejących czynników wytwórczych (pracy, kapitału rzeczowego i technologii) oraz określonym otoczeniu prawnym i instytucjonalnym. Warto dodać, że poziom potencjalnego PKB oznacza pełne wykorzystanie czynnika produkcji „praca”, a więc brak bezrobocia przymusowego. Przy stosunkowo niskich wolumenach produkcji (odległych od poziomu potencjalnego) bezrobocie przymusowe jest wysokie, a wiele fabryk działa w niepełnym wymiarze czasu lub jest zamkniętych. W takiej sytuacji stosunkowo niewielki wzrost cen produktów sprzedawanych przez przedsiębiorstwa – przy założeniu stałych cen czynników wytwórczych – może spowodować znaczny wzrost podaży globalnej, ponieważ rezerwa siły roboczej poszukującej pracy i niewykorzystany kapitał rzeczowy umożliwiają stosunkowo łatwe i szybkie zwiększenie produkcji. Jednak wraz ze wzrostem wartości realnego PKB coraz więcej przedsiębiorstw i całych gałęzi gospodarki zaczyna osiągać maksymalny możliwy do osiągnięcia wolumen produkcji. Dzieje się tak dlatego, że w niektórych branżach wszyscy pracownicy wykwalifikowani mogą już mieć pracę, a fabryki będą funkcjonować przy pełnym wykorzystaniu maszyn, urządzeń i linii produkcyjnych. W środkowej części wykresu podaży globalnej wyższe ceny nadal zachęcają przedsiębiorstwa do zwiększania produkcji, ale – jak pokazuje coraz bardziej stromy kształt krzywej AS – wzrost realnego PKB w odpowiedzi na dany wzrost cen nie będzie już tak imponujący jak poprzednio. (Przeczytaj poniższą ramkę „Poznaj szczegóły”, aby się dowiedzieć, dlaczego krzywa AS może przeciąć linię wyznaczającą poziom potencjalnego PKB). Dlaczego krzywa AS przecina linię wyznaczającą poziom potencjalnego PKB? Ekonomiści zazwyczaj wykreślają krzywą podaży globalnej tak, by przecinała linię wyznaczającą poziom potencjalnego PKB. Ten kształt może wydawać się dziwny: jak gospodarka może produkować więcej, niż wynosi jej potencjał, tj. PKB przy pełnym wykorzystaniu czynników wytwórczych (w tym przy pełnym zatrudnieniu)? Ekonomiczna intuicja podpowiada jednak, że gdy ceny produktów są wystarczająco wysokie, przedsiębiorstwa zrobią wszystko, aby zwiększyć produkcję. Pracownicy będą wykorzystywać nadgodziny, pracować na trzecią zmianę i w czasie weekendów, co oznacza, że maszyny działają 24 godziny na dobę przez 7 dni w tygodniu. Taki sposób intensywnego wykorzystywania czynników produkcji wykracza poza standardy pełnego zatrudnienia zasobów pracy i kapitału rzeczowego i nie jest możliwy do utrzymania w długim okresie. W związku z tym wolumen produkcji wypracowany przez gospodarkę może przekroczyć poziom potencjalny, ale tylko w krótkim okresie. Przy relatywnie bardzo wysokim poziomie realnego PKB (na prawym krańcu swojego wykresu) krzywa podaży globalnej staje się niemal pionowa. Przy takim wolumenie produkcji wyższe ceny nie przekładają się na znaczący wzrost PKB. Nawet jeśli przedsiębiorstwa chciałyby zwiększyć produkcję, nakłady pracy i kapitału w gospodarce są w pełni wykorzystane. Pionowa linia na wykresie wskazuje, że poziom potencjalnego PKB w naszej hipotetycznej gospodarce występuje przy produkcji o wartości 9500 mld zł. Kiedy faktyczny PKB jest równy potencjalnemu, maszyny i fabryki pracują na pełnych obrotach (przy pełnym wykorzystaniu swojego standardowego potencjału), a stopa bezrobocia jest stosunkowo niska, na poziomie naturalnej stopy bezrobocia. Z tego powodu potencjalny PKB jest również nazywany PKB przy pełnym zatrudnieniu (ang. full-employment GDP ). Krzywa popytu globalnego Popyt globalny ( popyt zagregowany , AD ) (ang. aggregate demand (AD) ) ilustruje poziom wydatków na krajowe dobra i usługi. (Mówiąc precyzyjniej, AD ekonomiści nazywają całkowitymi planowanymi wydatkami. Wyjaśnimy to dokładniej w Załączniku B ( ). Na razie popyt globalny traktuj po prostu jako całkowite wydatki). Popyt globalny składa się z czterech składników: konsumpcji, inwestycji, wydatków państwa na dobra i usługi oraz eksportu netto (eksportu pomniejszonego o import). Popyt globalny zależy od wielu czynników. Jednym z nich jest poziom cen – pamiętaj tylko, że poziom cen jest wyrażony w postaci wskaźnika, np. deflatora PKB, mierzącego przeciętną cenę wszystkich kupowanych dóbr i usług. Krzywa popytu globalnego ( krzywa AD ) (ang. aggregate demand (AD) curve ) ilustruje całkowite wydatki na dobra i usługi wytworzone na terenie danego kraju przy każdym poziomie cen. Podobnie jak w przypadku krzywej podaży globalnej na osi poziomej odłożony jest realny PKB, a na osi pionowej – poziom cen. Krzywa AD ma nachylenie ujemne, ponieważ zapotrzebowanie na dobra i usługi maleje wraz ze wzrostem cen. Dokładny kształt krzywej popytu globalnego zależy od tego, jak zmiany cen wpływają na poszczególne składniki popytu globalnego: konsumpcję (C), inwestycje (I), wydatki państwa na dobra i usługi (G) oraz eksport (X) pomniejszony o import (Z): C + I + G + X − Z. Krzywa popytu globalnego (krzywa AD) ma nachylenie ujemne, ponieważ wraz ze wzrostem cen spada zapotrzebowanie na krajowe dobra i usługi. Ceny wpływają na poszczególne składowe popytu globalnego: konsumpcję, inwestycje, wydatki państwa i eksport netto poprzez trzy różne kanały transmisyjne. Pierwszym z nich jest efekt majątkowy. Polega on na tym, że wraz ze wzrostem cen siła nabywcza oszczędności zgromadzonych na rachunkach bankowych i w postaci innych aktywów finansowych maleje, gdyż jest zjadana przez inflację. Aby to lepiej zrozumieć, wyobraź sobie, że twoje oszczędności nie są wyrażone w jednostkach pieniężnych – złotych lub dolarach – tylko w bochenkach chleba, które możesz za te oszczędności nabyć. Im wyższa inflacja, tym liczba bochenków chleba zakupionych dzięki zaoszczędzonym przez ciebie środkom pieniężnym jest mniejsza. Ekonomiści uważają ponadto, że poziom konsumpcji jest skorelowany dodatnio (rośnie wraz) z wielkością majątku (pomyśl, kto wydaje na konsumpcję więcej – osoby zamożne, posiadające własną nieruchomość, jeden lub dwa samochody i działkę pod miastem, czy ktoś, kto ma tylko rower i mieszka w mieszkaniu wynajmowanym wspólnie ze znajomymi). A ponieważ wzrost cen zmniejsza wartość majątku, to realna wartość wydatków konsumpcyjnych będzie spadać wraz ze wzrostem poziomu cen. Z kolei efekt stopy procentowej polega na tym, że wraz ze wzrostem cen koszt zakupu danego koszyka dóbr będzie większy, wskutek czego zwiększy się również popyt na pieniądz i zapotrzebowanie na kredyty. Spowoduje to – ceteris paribus , czyli przy stałej podaży pieniądza – wzrost stóp procentowych. Wyższe stopy procentowe zmniejszą wolumen pożyczek dla przedsiębiorstw na cele inwestycyjne oraz dla gospodarstw domowych na zakup dóbr trwałego użytku (np. domów i samochodów). Skutkiem będzie spadek wartości inwestycji i konsumpcji. Wreszcie efekt cen w handlu zagranicznym oznacza, że jeśli ceny np. w Polsce wzrosną, a w innych krajach się nie zmienią, to dobra produkowane w Polsce będą relatywnie droższe niż gdzie indziej. A zatem polski eksport stanie się relatywnie droższy i jego wolumen spadnie. Z kolei import do Polski będzie względnie tańszy, więc jego wolumen wzrośnie. Tym samym wyższy poziom cen w kraju w stosunku do zagranicy zmniejszy eksport netto. Ekonomiści formułują liczne zastrzeżenia dotyczące wszystkich trzech kanałów transmisji poziomu cen na wielkość popytu globalnego. Częściowo z uwagi na to, że ich wpływ na konsumpcję, inwestycje czy eksport netto nie wydaje się bardzo duży. Z tego względu krzywa popytu globalnego na ma silne ujemne nachylenie (jest bardzo stroma). Taki kształt krzywej AD wskazuje, że wyższe ceny zmniejszają popyt globalny w niewielkim stopniu, biorąc pod uwagę działanie opisanych wyżej efektów. Przeczytaj poniższą , aby zapoznać się z interpretacją modelu AD-AS. W podanym przykładzie podaż globalna, popyt globalny i poziom cen odnoszą się do fikcyjnej gospodarki Xurbii (załóżmy, że walutą tego kraju jest złoty). Interpretacja modelu AD-AS pokazuje dane na temat podaży globalnej, popytu globalnego i poziomu cen w Xurbii. Co możesz powiedzieć o stanie gospodarki tego hipotetycznego kraju na podstawie informacji zawartych w ? Czy Xurbia notuje wysokie bezrobocie, czy też raczej grozi jej presja inflacyjna? Poziom cen, popyt globalny i podaż globalna (kwoty w zł) Poziom cen Popyt globalny Podaż globalna 110 700 600 120 690 640 130 680 680 140 670 720 150 660 740 160 650 760 170 640 770 Aby znaleźć równowagę, warto na początku wykreślić krzywe AD i AS na podstawie danych zawartych w tabeli. Krok 1. Narysuj układ współrzędnych. Na osi poziomej (odciętych) odznacz realny PKB, a na osi pionowej (rzędnych) – poziom cen. Krok 2. Na wykresie narysuj krzywą popytu globalnego (krzywą AD). Krok 3. Naszkicuj następnie krzywą podaży globalnej (krzywą AS). Krok 4. Przeanalizuj poniższy wykres, żeby lepiej zrozumieć kroki 1-3. Krzywe AD i AS Krzywe AD i AS utworzone na podstawie danych z . Krok 5. Znajdź punkt przecięcia krzywych AD i AS. Jest to stan równowagi z poziomem cen wynoszącym 130 i realnym PKB równym 680 zł. Krok 6. Zaznacz punkt równowagi na wykresie. Łatwo zauważyć, że równowaga znajduje się dość daleko od poziomów produkcji, dla których krzywa AS staje się prawie pionowa (lub przynajmniej dość stroma), co ma miejsce przy wolumenie wyższym od 750 zł. Oznacza to, że faktyczny PKB jest daleki od potencjalnego. Bezrobocie będzie więc stosunkowo wysokie. Na relatywnie płaskim fragmencie wykresu krzywej AS, gdzie położony jest punkt równowagi, zmiany cen nie będą stanowić większego problemu dla gospodarki Xurbii, ponieważ prawdopodobnie będą one niewielkie. Krok 7. Zastanów się, jaka jest interpretacja stromego fragmentu krzywej AS. Gdy wykres krzywej AS jest stromy, produkcja osiągnęła poziom równy lub zbliżony do potencjalnego. Krok 8. Wyciągnij wnioski z podanych informacji: Jeśli punkt równowagi znajduje się na płaskiej części krzywej AS, wolumen produkcji odbiega znacznie in minus od poziomu potencjalnego. W gospodarce występuje bezrobocie, ale poziom cen jest stabilny. Jeśli punkt równowagi znajduje się na stromej części krzywej AS, wolumen produkcji jest bliski lub równy potencjalnemu PKB. W gospodarce pojawia się inflacja, ale stopa bezrobocia jest niska lub występuje pełne zatrudnienie. Równowaga w modelu AD-AS Punkt przecięcia krzywych popytu globalnego i podaży globalnej wyznacza wielkość realnego PKB i poziom cen w stanie równowagi makroekonomicznej. Przy stosunkowo niskich cenach przedsiębiorstwa mają niewielką motywację do zwiększania wolumenu produkcji, chociaż konsumenci byliby skłonni do zakupu większej ilości dóbr i usług. Wraz ze wzrostem cen podaż globalna rośnie, a globalny popyt maleje, aż do osiągnięcia punktu równowagi. przedstawia naszkicowane na jednym wykresie krzywą podaży globalnej z oraz krzywą popytu globalnego z . Równowaga występuje w punkcie E przy poziomie cen równym 90 i produkcji o wartości 8800 mld zł. Popyt globalny (AD) i podaż globalna (AS) Równowaga podaży globalnej (AS) i popytu globalnego (AD) występuje przy poziomie cen wynoszącym 90 i wielkości produkcji równej 8800 mld zł. Czasami interpretacja wniosków wypływających z modelu popytu globalnego i podaży globalnej może być mylona z podejściem wykorzystywanym do analizy mikroekonomicznego modelu rynku konkretnego produktu (dobra, usługi, pracy lub kapitału), z jego popytem i podażą. Przeczytaj poniższą ramkę „Poznaj szczegóły”, aby zrozumieć, czy krzywe AD i AS reprezentują ujęcie makro-, czy mikroekonomiczne. Czy krzywe AD i AS reprezentują ujęcie makro-, czy mikroekonomiczne? Model popytu globalnego i podaży globalnej wykazuje pewne podobieństwo do modeli popytu i podaży na pojedynczych rynkach dóbr, usług, pracy i kapitału w mikroekonomii, ale należy pamiętać, że istnieją między nimi zasadnicze różnice. Na przykład wartości odłożone na obu osiach układu współrzędnych mają odmienną interpretację na wykresach ilustrujących ujęcie makro- i mikroekonomiczne. W mikroekonomii oś pionowa przedstawia cenę (stawkę płacy albo koszt wynajmu jednostki kapitału) pojedynczego dobra lub usługi. Cena ta musi być porównywalna z cenami innych produktów (np. cena pizzy w stosunku do ceny kurczaka). Z kolei oś pionowa modelu AD-AS ukazuje przeciętny poziom cen w gospodarce mierzony wskaźnikiem cen towarów i usług konsumpcyjnych (CPI) lub deflatorem PKB, uwzględniającym ceny bardzo wielu dóbr i usług produkowanych w gospodarce. Wyrażony w taki sposób poziom cen nie jest porównywalny z żadnymi innymi cenami, ponieważ przedstawia średnią cenę wszystkich lub niemal wszystkich produktów będących przedmiotem obrotu. Oś pozioma wykresu ilustrującego mikroekonomiczny rynek przedstawia ilość określonego dobra lub usługi. Natomiast oś pozioma w modelu AD-AS reprezentuje PKB, który jest sumą wszystkich finalnych dóbr i usług wyprodukowanych w gospodarce, a nie ilością towarów oferowanych na pojedynczym rynku. Dodatkowo czynniki determinujące kształt mikroekonomicznych krzywych popytu i podaży różnią się od czynników wpływających na kształt krzywych w modelu AD-AS. Mikroekonomiczna krzywa popytu na dane dobro lub usługę ma nachylenie ujemne głównie z powodu istnienia dóbr substytucyjnych, natomiast ujemne nachylenie krzywej popytu globalnego wynika z istnienia efektu majątkowego, efektu stopy procentowej i efektu cen w handlu zagranicznym. Krzywe podaży i popytu na poszczególnych rynkach mogą mieć różne nachylenia w zależności od rodzaju dobra oraz stopnia reakcji popytu i podaży na zmiany jego ceny. Natomiast wygląd krzywych AD i AS w zasadzie niemal zawsze jest taki sam (z zastrzeżeniem, że krzywa AS może mieć różne nachylenie w krótkim i długim okresie, co zostanie omówione w kolejnych rozdziałach). Krótko mówiąc, to, że wykres z modelem AD-AS zawiera dwie przecinające się linie, nie oznacza, iż jego interpretacja jest taka sama jak każdego innego prezentującego dwie krzywe, które się przecinają. Modele przedstawiające popyt i podaż w ujęciu mikro- i makroekonomicznym są oparte na odmiennych teoriach, reprezentując dwa różne segmenty wiedzy składającej się na dorobek nauk ekonomicznych. Krótko- i długookresowe krzywe podaży globalnej (SAS i LAS) W ramce „Poznaj szczegóły” zatytułowanej „Dlaczego krzywa AS przecina linię wyznaczającą poziom potencjalnego PKB?” wprowadziliśmy rozróżnienie pomiędzy krótkookresowymi zmianami podaży globalnej, które można zilustrować przesuwaniem się wzdłuż wykresu krzywej AS, a długookresowym poziomem zagregowanej podaży, reprezentowanym przez pionową linię wyznaczającą wartość potencjalnego PKB (która oczywiście również może się przesuwać w prawo lub w lewo, wraz ze zmianami potencjału danej gospodarki, np. wzrostem liczby ludności w wyniku migracji). W krótkim okresie jeśli popyt jest zbyt niski (lub zbyt wysoki), przedsiębiorstwa mogą wytwarzać mniej (lub więcej), niż wynosi produkcja potencjalna. Jednak w długim okresie firmy nie mogą w trwały sposób przekroczyć poziomu produkcji potencjalnej (jak długo bylibyśmy w stanie pracować w każdy weekend i na trzecią zmianę, o ile nie uzasadniałyby tego absolutnie ekstraordynaryjne okoliczności, np. konflikt zbrojny?). Właśnie z tego powodu krzywą AS o dodatnim nachyleniu możemy traktować jako krótkookresową krzywą podaży globalnej (SAS) (ang. short run aggregate supply (SAS) curve ). Z kolei pionową linię wyznaczającą poziom potencjalnego PKB możemy traktować jako długookresową krzywą podaży globalnej (LAS) (ang. long run aggregate supply (LAS) curve ). Podsumowanie Krótkookresowa krzywa podaży globalnej (SAS) pokazuje dodatnią zależność między poziomem cen a realnym PKB w krótkim okresie. Krzywa podaży ma nachylenie dodatnie, ponieważ gdy ceny produktów finalnych rosną, a ceny czynników wytwórczych się nie zmieniają, możliwość osiągania dodatkowych zysków zachęca przedsiębiorstwa do zwiększania produkcji. Krzywa podaży globalnej jest niemal całkowicie płaska dla stosunkowo niskich poziomów produkcji i prawie pionowa dla wysokiego realnego poziomu PKB. W długim okresie krzywa podaży globalnej (długookresowa krzywa podaży globalnej – LAS) jest linią pionową wykreślaną na poziomie produkcji potencjalnej, czyli wartości PKB, jaką gospodarka może wytworzyć przy pełnym wykorzystaniu czynników wytwórczych (pracy, kapitału rzeczowego, technologii) i danym otoczeniu instytucjonalnym. Krzywa popytu globalnego (AD) pokazuje ujemną zależność pomiędzy poziomem cen w gospodarce i wielkością całkowitych wydatków, na które składają się konsumpcja, inwestycje, wydatki państwa na zakup dóbr i usług oraz eksport netto. Krzywa ma nachylenie ujemne ze względu na działanie trzech mechanizmów: (a) efektu majątkowego oznaczającego, że wyższy poziom cen prowadzi do zmniejszenia realnej wartości majątku, co obniża wielkość konsumpcji; (b) efektu stopy procentowej, z którego wynika, że wyższe ceny prowadzą do wzrostu popytu na pieniądz, co skutkuje wzrostem stóp procentowych i spadkiem wydatków inwestycyjnych oraz konsumpcji dóbr trwałego użytku; oraz (c) efektu cen w handlu zagranicznym polegającego na tym, że w wyniku wzrostu cen produkty wytwarzane w danym kraju stają się relatywnie droższe, co utrudnia eksport i ułatwia import. Pytania sprawdzające Krótkookresowa krzywa podaży globalnej (SAS) opiera się na założeniu, że wraz ze wzrostem cen produktów finalnych ceny czynników wytwórczych pozostają stałe. W jaki sposób wzrost cen nakładów, np. energii, wpłynie na podaż globalną? Wyższe ceny nakładów powodują, że produkcja staje się mniej opłacalna, co zmniejsza podaż. W rezultacie krzywa SAS przesuwa się w górę (inaczej mówiąc: w lewo lub w stronę początku układu współrzędnych). Jakie czynniki utrudniają ustalenie w modelu AD-AS równowagi przy wielkości produkcji równej poziomowi potencjalnemu? Równowaga występuje przy takiej wielkości PKB, dla której jest spełniony warunek AD = AS. Niewystarczający popyt globalny jest jednym z czynników powodujących, że równowaga występuje na poziomie PKB niższym od potencjalnego. Innym powodem może być spadek (tj. przesunięcie w górę) podaży globalnej. Sprawdź wiedzę Jakie wartości odłożone są na poziomej osi układu współrzędnych w modelu AD-AS? A jakie na osi pionowej? Dlaczego krzywa SAS ma nachylenie dodatnie? Jakie są elementy składające się na popyt globalny (AD)? Dlaczego krzywa AD ma nachylenie ujemne? Krótko wyjaśnij przyczynę, dla której krzywa SAS jest niemal płaska dla relatywnie niskich poziomów produkcji. Krótko wyjaśnij przyczynę, dla której krzywa SAS jest niemal pionowa dla relatywnie wysokich poziomów produkcji. Zinterpretuj stwierdzenie, że PKB osiągnął swój potencjalny poziom. Ćwicz myślenie krytyczne Zgodnie z mikroekonomiczną krzywą popytu spadek ceny powoduje wzrost wielkości zapotrzebowania, ponieważ dany produkt staje się relatywnie tańszy w porównaniu z dobrami substytucyjnymi. Wyjaśnij, dlaczego popyt globalny nie wzrasta z tego samego powodu w przypadku spadku ogólnego poziomu cen w gospodarce. Innymi słowy, dlaczego całkowite wydatki rosną, skoro wszystkie dobra i usługi w gospodarce tanieją (nie ma efektu substytucyjnego)? Problemy Wróćmy do problemu opisanego w . przedstawia dane na temat popytu globalnego, podaży globalnej i poziomu cen w Xurbii. Poziom cen, popyt globalny (AD) i podaż globalna (AS) (kwoty w zł) Poziom cen AD AS 110 700 600 120 690 640 130 680 680 140 670 720 150 660 740 160 650 760 170 640 770 Narysuj wykresy krzywych AD i AS. Wyznacz punkt równowagi. Załóżmy, że w wyniku obniżki podatków popyt globalny wzrasta o 50 jednostek przy każdym poziomie cen. Wyznacz nowy stan równowagi. Jak zmieni się wielkość produkcji? Jak zmieni się poziom cen? Co stanie się z wielkością zatrudnienia? przedstawia krzywe popytu globalnego i podaży globalnej w pewnym kraju. Poziom cen, popyt globalny (AD) i podaż globalna (AS) (wartości w umownych jednostkach pieniężnych) Poziom cen AD AS 100 700 200 120 600 325 140 500 500 160 400 570 180 300 620 Narysuj wykresy krzywych AD i AS. Wyznacz punkt równowagi. Czy bezrobocie w tej gospodarce będzie relatywnie wysokie, czy niskie? Czy ludzie będą oczekiwać relatywnie wysokiej, czy niskiej inflacji? Załóżmy, że konsumenci zaczynają tracić zaufanie do stanu gospodarki i popyt globalny maleje o 275 jednostek przy każdym poziomie cen. Wyznacz nowy stan równowagi. W jaki sposób zmiana popytu globalnego wpłynie na wielkość produkcji, poziom cen i wielkość zatrudnienia? opisuje gospodarkę pewnego kraju. Poziom cen, popyt globalny (AD) i podaż globalna (AS) (wartości w umownych jednostkach pieniężnych) Poziom cen AD AS 50 1000 250 60 950 580 70 900 750 80 850 850 90 800 900 Narysuj wykresy krzywych AD i AS. Wyznacz punkt równowagi. Czy bezrobocie w tym kraju będzie relatywnie wysokie, czy niskie? Czy ludzie będą oczekiwać relatywnie wysokiej, czy niskiej inflacji? Załóżmy, że ceny czynników wytwórczych maleją i krzywa AS przesuwa się w prawo o 150 jednostek przy każdym poziomie cen. Wyznacz nowy stan równowagi. W jaki sposób zmiana podaży globalnej wpłynie na wielkość produkcji, poziom cen i wielkość zatrudnienia? popyt globalny (AD) (ang. aggregate demand (AD) ) suma wydatków na dobra i usługi wyprodukowane w danym kraju popyt zagregowany zob. popyt globalny (AD podaż globalna (AS) (ang. aggregate supply (AS) ) całkowita produkcja (tj. realny PKB), którą przedsiębiorstwa z danego kraju mogą wytworzyć i sprzedać podaż zagregowana zob. podaż globalna (AS) krzywa popytu globalnego (ang. aggregate demand (AD) curve ) krzywa pokazująca wielkość całkowitych wydatków na dobra i usługi wyprodukowane w kraju przy każdym poziomie cen krzywa AD zob. krzywa popytu globalnego krzywa zagregowanego popytu zob. krzywa popytu globalnego krzywa podaży globalnej (ang. aggregate supply (AS) curve ) krzywa pokazująca całkowitą wielkość produkcji (realnego PKB), którą przedsiębiorstwa będą wytwarzać i sprzedawać przy każdym poziomie cen krzywa zagregowanej podaży zob. krzywa podaży globalnej krzywa AS zob. krzywa podaży globalnej model popytu globalnego i podaży globalnej (ang. aggregate demand/aggregate supply model ) model ilustrujący czynniki determinujące wolumen podaży globalnej i wartość popytu globalnego oraz sposób, w jaki popyt i podaż w gospodarce oddziałują na siebie na poziomie makroekonomicznym model zagregowanego popytu i zagregowanej podaży zob. model popytu globalnego i podaży globalnej model zagregowanego popytu i zagregowanej podaży zob. model popytu globalnego i podaży globalnej model AD-AS zob. model popytu globalnego i podaży globalnej PKB przy pełnym zatrudnieniu (ang. full-employment GDP ) inne określenie potencjalnego poziomu PKB, który występuje, gdy wielkość produkcji odpowiada możliwościom produkcyjnym gospodarki, a bezrobocie jest na poziomie swojej naturalnej stopy długookresowa krzywa podaży globalnej (LAS) (ang. long run aggregate supply (LAS) curve ) pionowa linia wykreślana na poziomie odpowiadającym potencjalnemu PKB; ilustruje brak związku pomiędzy poziomem cen a realnym PKB w długim okresie długookresowa krzywa zagregowanej podaży zob. długookresowa krzywa podaży globalnej (LAS) poziom potencjalnego PKB (ang. potential GDP ) maksymalna wielkość produkcji, jaką gospodarka może wytworzyć przy pełnym wykorzystaniu istniejących zasobów pracy, kapitału rzeczowego i technologii oraz danym otoczeniu instytucjonalnym PKB przy pełnym wykorzystaniu zasobów poziom potencjalnego PKB krótkookresowa krzywa podaży globalnej (SAS) (ang. short run aggregate supply (SAS) curve ) krzywa ilustrująca dodatnią krótkookresową zależność pomiędzy poziomem cen produktów finalnych i realnym PKB przy stałych cenach czynników wytwórczych krótkookresowa krzywa zagregowanej podaży zob. krótkookresowa krzywa podaży globalnej (SAS)", "section": "Model popytu globalnego i podaży globalnej (AD-AS)", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przesunięcie krzywej podaży globalnej Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć, w jaki sposób wzrost wydajności pracy wpływa na krzywą podaży globalnej Objaśnić, jaki jest związek pomiędzy zmianami cen czynników wytwórczych i krzywą podaży globalnej Jeśli krzywe AS lub AD przesuwają się, punkt równowagi w modelu AD-AS zmienia swoje położenie (zmienia się stan równowagi). Gdy krzywa podaży globalnej przesuwa się w dół (w prawo), producenci wytwarzają i sprzedają więcej przy każdym poziomie cen. Gdy krzywa AS przesuwa się w lewo (w górę), producenci wytwarzają mniej przy każdym poziomie cen. W tym podrozdziale zostaną omówione dwa najważniejsze czynniki, które mogą prowadzić do przesunięć krzywej AS: wzrost wydajności pracy i zmiany cen czynników wytwórczych. W jaki sposób wzrost wydajności pracy zmienia położenie krzywej AS W długim okresie najważniejszym czynnikiem, który wpływa na położenie krzywej AS (przesuwa ją) obok zmian typowo ilościowych, takich jak wzrost liczby ludności, jest wzrost wydajności (produkcyjności) pracy. Parametr ten określa rozmiary produkcji, która może być wytworzona przy danych zasobach pracy. Jedną z miar wydajności pracy jest produkcja na pracownika lub PKB per capita. Znajomość historii gospodarczej krajów uprzemysłowionych pozwala zauważyć, że wydajność pracy cały czas rośnie, co oznacza, że przy niezmienionym zasobie pracy wolumen produkcji nieustannie się zwiększa. Analizując zmiany wydajność pracy np. w Stanach Zjednoczonych, można stwierdzić, że w drugiej połowie XX w. dynamika wzrostu realnego PKB per capita w tym kraju wynosiła średnio ok. 2–3% rocznie, przy czym w latach 60. i w drugiej połowie lat 90. ub. stulecia była nawet większa. Z kolei w latach 70. tempo wzrostu wydajności pracy spadło poniżej 2% rocznie. Wzrost wydajności pracy przesuwa krzywą AS w prawo (w dół), ponieważ przy zwiększonej produktywności przedsiębiorstwa mogą wyprodukować więcej przy każdym poziomie cen. Panel (a) na przedstawia konsekwencje dwukrotnego skokowego wzrostu wydajności pracy. Krzywa podaży globalnej przesuwa się w prawo, początkowo z położenia SAS 0 do SAS 1 , a następnie do położenia SAS 2 , co oznacza, że równowaga przesuwa się z punktu E 0 do E 1 i potem do punktu E 2 . Zauważ, że w wyniku wzrostu wydajności pracy pracownicy mogą wyprodukować więcej towarów lub tę samą ich ilość szybciej. Tym samym rośnie także poziom potencjalnego PKB, czyli produktu globalnego, który byłby możliwy do wytworzenia przy pełnym zatrudnieniu, co jest zilustrowane jako przesunięcie w prawo krzywej LAS, z położenia LAS 0 do LAS 1 , a następnie LAS 2 . Przesunięcia krzywej podaży globalnej Panel (a) Wzrost wydajności pracy powoduje przesunięcie krzywej SAS w prawo (w dół). Początkowy punkt równowagi E 0 znajduje się na przecięciu krzywych AD i SAS 0 . Gdy krzywa SAS przesuwa się w prawo, nowa równowaga występuje najpierw w punkcie E 1 , tj. Na przecięciu krzywych AD i SAS 1 , a następnie w punkcie E 2 , czyli w miejscu przecięcia się krzywych AD i SAS 2 . Przesunięcia krzywej SAS w dół prowadzą do wzrostu produkcji i obniżają poziom cen w gospodarce. Panel (b) Wyższe ceny czynników wytwórczych (np. surowców) oznaczają, że przy każdym poziomie cen produktów finalnych wytworzony zostanie niższy realny PKB, w związku z czym krzywa podaży globalnej przesunie się w lewo, z położenia SAS 0 do położenia SAS 1 . W nowym punkcie równowagi (E 1 ) produkcja będzie mniejsza, a poziom cen wyższy niż w stanie pierwotnej równowagi (E 0 ). Przesunięcie krzywej SAS w prawo przy stałym poziomie zagregowanego popytu spowoduje wzrost realnego PKB i presję na spadek cen. Jeśli jednak zmiana położenia krzywej SAS wynika ze wzrostu wydajności pracy wynoszącego zwykle kilka punktów procentowych rocznie, efekt będzie stosunkowo niewielki w ciągu kilku miesięcy lub nawet kilku lat. Na zajęciach z mikroekonomii została wprowadzona koncepcja krzywej możliwości produkcyjnych, która jest względnie stała w krótkim okresie, ale przesuwa się na zewnątrz układu współrzędnych (w prawo) w długim okresie, wraz ze wzrostem zasobu czynników produkcji lub ich wydajności. Tutaj analizujemy to samo zjawisko, tyle że przy użyciu innego modelu. W jaki sposób zmiany cen czynników produkcji wpływają na położenie krzywej AS Wyższe ceny czynników wytwórczych wykorzystywanych w całej gospodarce mogą mieć wpływ na podaż globalną. Przykładem są koszty pracy, ceny surowców (np. ropy naftowej) oraz ceny energii elektrycznej. Wzrost kosztów pozyskania takich nakładów skutkuje przesunięciem krzywej SAS w lewo (w górę), co oznacza, że przy każdym poziomie cen produktów finalnych przedsiębiorstwa będą produkować mniej. Panel (b) przedstawia przesunięcie krzywej podaży globalnej w lewo, z położenia SAS 0 do SAS 1 , co powoduje zmianę punktu równowagi z E 0 do E 1 . Przejście z początkowej równowagi E 0 do nowej równowagi E 1 prowadzi do szeregu negatywnych skutków: PKB spadnie i gospodarka może znaleźć się w recesji, bezrobocie wzrośnie, ponieważ wolumen produkcji zmniejszy się w stosunku do poziomu potencjalnego, wzrosną także ceny i w gospodarce pojawi się inflacja. Z taką właśnie sytuacją mieliśmy do czynienia w ciągu ostatnich 50 lat w Stanach Zjednoczonych, które doświadczyły recesji w latach 1974–1975, 1980–1982, 1990–1991, 2001 i 2007–2009. Każdy z tych okresów był poprzedzony lub charakteryzował się wzrostem cen ropy naftowej. W latach 70. ub. stulecia takie przesunięcie w lewo krzywej SAS, prowadzące do spadku poziomu produkcji lub gwałtownego zmniejszenia tempa jej wzrostu niemal do zera, co w konsekwencji prowadziło do wzrostu bezrobocia i jednocześnie przyspieszenia inflacji, zostało określone jako stagflacja (ang. stagflation ). Spadek cen kluczowych czynników wytwórczych, np. ropy naftowej, przesuwa krzywą SAS w prawo, co zachęca przedsiębiorstwa do zwiększenia produkcji przy każdym poziomie cen dóbr i usług finalnych. Na przykład między rokiem 1985 i 1986 średnia cena ropy naftowej zmniejszyła się o połowę, z 24 dol. do 12 dol. za baryłkę. Podobnie w latach 1997–1998 cena baryłki ropy naftowej spadła z 17 dol. do 11 dol. W obu przypadkach gwałtowny spadek cen ropy doprowadził do sytuacji przedstawionej na panelu (a) , czyli przesunięcia krzywej SAS w prawo, co prowadzi do wzrostu produkcji, spadku bezrobocia i obniżenia tempa inflacji. Obok zmian cen surowców i energii również zmiany kosztów pracy (czyli płac) oraz kosztów pozyskiwania towarów importowanych wykorzystywanych jako nakłady w procesie produkcji innych dóbr mogą prowadzić do przesunięcia krzywej SAS. Niższe ceny czynników wytwórczych powodują przesunięcie krzywej SAS w prawo, zaś wyższe ceny – jej przesunięcie w lewo. Należy zauważyć, że w przeciwieństwie do zmian produktywności czynników wytwórczych zmiany ich cen generalnie nie powodują przesunięcia krzywej LAS, a jedynie SAS. Inne szoki podażowe Krzywa podaży globalnej może się również przesunąć ze względu na gwałtowne zmiany na rynku czynników produkcji, w tym na rynku pracy. Na przykład kilkudniowe przymrozki w maju na terenie całego kraju mogą się negatywnie odbić na produkcji owoców w Polsce, wywołując szok, który przesunie krzywą AS w lewo, ponieważ ilość dostępnych truskawek, jabłek, czereśni itd. gwałtownie spadnie. Również wstrząsy na rynku pracy wpływają na podaż globalną. Ekstremalnym przykładem może być wojna, która powoduje, że duża liczba pracowników przestaje pracować i idzie walczyć za swój kraj (tak jak to ma miejsce w Ukrainie od lutego 2022 r.). W takim przypadku zarówno krzywa SAS, jak i LAS przesuną się w lewo, bo mniej pracowników będzie mogło uczestniczyć w procesie produkcji. Innym przykładem szoku podażowego może być epidemia o skali porównywalnej z pandemią Covid-19. Szybko rozprzestrzeniająca się i potencjalnie niebezpieczna choroba oznacza, że w relatywnie krótkim okresie bardzo wielu pracowników ze względu na trapiące ich dolegliwości nie jest zdolnych do pracy. Co więcej, część z nich nawet po odzyskaniu zdrowia może nie chcieć wrócić do pracy w obawie o bezpieczeństwo swoje i swoich bliskich. Choć tego typu ograniczenia rzadko mają długotrwały charakter, mogą przełożyć się na zmniejszenie podaży wielu dóbr i usług, co znajduje odzwierciedlenie w przesunięciu w górę krótkookresowej krzywej podaży globalnej (SAS). W latach 2020–2021, czyli w okresie pandemii koronawirusa, podaż produktów takich jak układy scalone wykorzystywane przy produkcji samochodów, mięso i generalnie usługi była znacznie niższa od zgłaszanego popytu ze względu na niedobór pracowników w różnych krajach świata (przede wszystkim w transporcie), co skutkowało powstawaniem tzw. wąskich gardeł uniemożliwiających dostarczanie wyprodukowanych już towarów na rynki zbytu (np. z Chin do Europy). Podsumowanie Wykres z naszkicowanymi krzywymi popytu globalnego AD i podaży globalnej AS wskazuje, w jaki sposób oba parametry wzajemnie na siebie oddziałują. Punkt przecięcia krzywych AD i AS wyznacza poziom produkcji i cen w gospodarce w stanie równowagi. Przesunięcia krzywych popytu globalnego lub podaży globalnej prowadzą do zmian wielkości produkcji i poziomu cen w punkcie równowagi. Krzywa podaży globalnej przesuwa się w prawo (w dół) w wyniku wzrostu produktywności (wydajności) czynników wytwórczych. Wzrost cen kluczowych czynników wytwórczych przesuwa krzywą podaży globalnej w lewo (w górę), a spadek cen – w prawo. Jeśli krzywa AS przesuwa się w lewo, produkcja spada, bezrobocie i inflacja rosną, a gospodarka wchodzi w okres stagflacji. Jeśli krzywa AS przesuwa się w prawo, produkcja rośnie, a inflacja i bezrobocie maleją. Pytania sprawdzające Załóżmy, że polski parlament uchwala znaczącą reformę imigracyjną, która utrudnia obcokrajowcom uzyskiwanie pozwoleń na pracę. Użyj modelu AD-AS, aby wyjaśnić, w jaki sposób wpłynie to na polski PKB i poziom cen w równowadze. W równowadze realny PKB się obniży, a poziom cen wzrośnie. Przyjmijmy, że obawy dotyczące rozmiarów deficytu budżetowego skłoniły rząd do obcięcia wszystkich funduszy na badania i rozwój na najbliższe dziesięć lat. Zakładając, że ma to wpływ na rozwój technologii, jak – zgodnie z modelem AD-AS – zmieni się PKB i poziom cen w równowadze? Biorąc pod uwagę przyjęte tutaj założenia, cięcia w finansowaniu prac badawczo-rozwojowych powinny ograniczyć tempo wzrostu wydajności czynników wytwórczych. Zgodnie z modelem AD-AS krzywa SAS przesunie się w lewo, co doprowadzi do spadku PKB i wzrostu cen w równowadze oraz najpewniej ograniczy skalę redukcji deficytu. Sprawdź wiedzę Wymień kilka czynników, które powodują przesunięcie krzywej SAS. Wskaż, w którą stronę przesunie się ona pod wpływem działania każdego z nich. Czy przesunięcie krzywej SAS w prawo (w dół) spowoduje, że poziomy produkcji i cen w równowadze będą wyższe, czy niższe? A co się stanie, gdy krzywa SAS przesunie się w lewo (w górę)? Czym jest stagflacja? Ćwicz myślenie krytyczne Ekonomiści spodziewali się, że wraz z dalszym usztywnianiem rynku pracy w USA w drugiej połowie 2015 r. pracownicy zaczną oczekiwać podwyżek płac w 2015 i 2016 r. Zakładając, że taka zmiana miała miejsce i że była to jedyna zmiana na rynku pracy w 2015 r., zastanów się, jak wpłynęło to na krzywą AS? Co by się stało, gdyby towarzyszył temu również wzrost wydajności pracowników? Jeśli nowe regulacje wymagają od przedsiębiorstw stosowania czystszej (generującej mniejsze zanieczyszczenie środowiska) technologii, która jest przy tym mniej efektywna niż dotychczasowa, jak zmieni się poziom produkcji, cen i zatrudnienie zgodnie z modelem AD-AS? Wiosną 2016 r. środkowo-zachodnie stany USA, które specjalizują się w produkcji rolnej, doświadczyły ponadprzeciętnych opadów deszczu. Korzystając z modelu AD-AS, określ, jaki jest wpływ tego zjawiska na wielkość produkcji, poziom cen i zatrudnienie. Szczelinowanie hydrauliczne (pozyskiwanie gazu łupkowego) jest metodą pozwalającą na znaczne zwiększenie wydobycia gazu ziemnego w USA. Jeśli spalanie tego surowca jest kluczowym źródłem energii dla większości amerykańskich fabryk i przedsiębiorstw, jaki będzie wpływ upowszechnienia tej technologii dla wielkości produkcji, poziomu cen i zatrudnienia w gospodarce USA? Zdaniem niektórych polityków płaca minimalna powinna być indeksowana wskaźnikiem wzrostu cen towarów i usług konsumpcyjnych (CPI). Korzystając z modelu AD-AS, określ, jaki prawdopodobny wpływ miałaby taka sytuacja na wielkość produkcji, poziom cen i zatrudnienie. stagflacja (ang. stagflation ) sytuacja, gdy w gospodarce występuje jednocześnie spadek produkcji związany ze wzrostem bezrobocia oraz wysoka inflacja; połączenie stag nacji i in flacji", "section": "Przesunięcie krzywej podaży globalnej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przesunięcie krzywej popytu globalnego Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, w jaki sposób wolumen importu wpływa na popyt globalny Zrozumieć, jak nastroje konsumentów i producentów przekładają się na rozmiary popytu globalnego Określić, w jaki sposób polityka państwa oddziałuje na popyt globalny Wytłumaczyć, dlaczego ekonomiści nie zgadzają się w kwestii obniżek podatków Dzięki wcześniejszym analizom wiemy, że na popyt globalny składają się wydatki konsumpcyjne (C), wydatki inwestycyjne (I), wydatki państwa na dobra i usługi (G) oraz eksport netto (NX). (Przeczytaj poniższą , aby zrozumieć, dlaczego składową popytu globalnego jest eksport netto, a nie sam eksport). Przesunięcie krzywej AD w prawo (w górę) oznacza, że przynajmniej jeden z tych składników wzrósł i w efekcie całkowite wydatki są większe przy każdym poziomie cen. Natomiast przesunięcie krzywej AD w lewo (w dół) oznacza, że co najmniej jeden ze składników popytu globalnego zmniejszył się i w rezultacie całkowite wydatki spadły przy każdym poziomie cen. Dokładne omówienie poszczególnych składników popytu globalnego i czynników, które determinują ich wielkość, znajdzie się w . Tutaj naszkicujemy tylko związek między dwiema dość ogólnie zdefiniowanymi determinantami – zmianą nastrojów konsumentów i przedsiębiorstw oraz zmianami wysokości podatków i wydatków państwa – a położeniem krzywej AD. Czy import zmniejsza popyt globalny? Wzór na popyt globalny jest następujący: AD = C + I + G + X - Z, przy czym Z reprezentuje całkowitą wartość importowanych dóbr i usług. Dlaczego import wprowadzamy do popytu globalnego ze znakiem minus? Czy to oznacza, że większy import obniża popyt globalny? Krótka odpowiedź brzmi: tak, ponieważ popyt globalny definiujemy jako całkowity popyt na dobra i usługi wytwarzane na terenie danego kraju. Na przykład kiedy Polak kupuje towar wyprodukowany za granicą, wydatek ten jest uwzględniony w całkowitej konsumpcji. Jednak wygenerowany w związku z produkcją tego dobra dochód nie trafia do polskich producentów (pracowników i właścicieli firmy), ale do producentów w innym kraju. Błędem byłoby więc zaliczenie tego wydatku do popytu krajowego. Dlatego wartość importu jest odejmowana od popytu globalnego. Ze względu na sposób zapisu równania popytu globalnego łatwo jest popełnić błąd, uznając, że import jest dla gospodarki niekorzystny. Pamiętajmy wszakże, że każdy element zawarty w składniku Z i wchodzący do równania ze znakiem ujemnym ma swój odpowiednik w postaci dodatniej wartości zawartej w składniku C, I lub G, co powoduje, że oba strumienie wzajemnie się znoszą. Jak zmiany nastrojów konsumentów i przedsiębiorstw wpływają na położenie krzywej popytu globalnego Kiedy przewidywania konsumentów dotyczące kondycji gospodarki w przyszłości, określane również jako ich nastrój lub sentyment, poprawiają się, konsumpcja rośnie. Jeśli nie boisz się utraty pracy, a raczej spodziewasz podwyżki swojego wynagrodzenia i awansu, możesz sobie przecież pozwolić na zakup nowego samochodu lub nawet większego domu. Podobnie jeśli analogiczne przewidywania formułowane w sektorze przedsiębiorstw są optymistyczne, firmy zwykle wydają więcej na inwestycje, wierząc, że przyszłe zyski z nich będą wysokie. Przekonanie o wzroście popytu w przyszłości może je skłonić do inwestowania w nowe maszyny, urządzenia lub nawet budowy nowej fabryki. I odwrotnie, jeśli pogarszają się nastroje konsumentów lub przedsiębiorstw, konsumpcja i wydatki inwestycyjne spadają. Uniwersytet w Michigan co miesiąc przeprowadza badanie nastrojów (zaufania) konsumentów, tworząc na ich podstawie stosowny wskaźnik. Wyniki badania są publikowane na tej stronie internetowej , przedstawiającej m.in. szczegółowe dane dotyczące zmian nastrojów konsumentów w podziale na różne grupy dochodowe. Analogiczne dane dla polskiej gospodarki gromadzi i publikuje na swojej witrynie internetowej GUS ( zobacz np. tutaj ). Z kolei Organizacja Współpracy Gospodarczej i Rozwoju (OECD) prowadzi badania nastrojów gospodarczych (ang. business tendency surveys ), które odzwierciedlają sentyment (nastawienie) w sektorze przedsiębiorstw. OECD gromadzi dane z badań ankietowych prowadzonych w sektorze przedsiębiorstw w 21 krajach, dotyczące m.in. prognoz cen sprzedawanych towarów i zatrudnienia, a także innych elementów szeroko rozumianego klimatu gospodarczego. Oczywiście żaden ze wskaźników opartych na wynikach badań ankietowych nie jest precyzyjny. Są one jednak użyteczne jako narzędzie umożliwiające ocenę tego, czy nastroje wśród konsumentów i przedsiębiorstw poprawiają się, czy pogarszają, a także czy są one lepsze, czy gorsze w porównaniu z poprzednimi okresami. Ponieważ ekonomiści wiążą polepszenie nastrojów gospodarczych z wyższym popytem konsumpcyjnym i inwestycyjnym, wraz z ich poprawą krzywa AD przesuwa się w prawo. Pokazuje to Panel (a) . Wtedy punkt równowagi przemieszcza się z położenia E 0 do E 1 , co oznacza wzrost poziomu produkcji i cen. Nastroje konsumentów i producentów często odzwierciedlają nie tyle przewidywania co do przyszłości, ile bieżącą kondycję makroekonomiczną gospodarki. Na przykład nastroje są zwykle dobre, gdy gospodarka wykazuje szybki wzrost, i kiepskie podczas recesji. Ponadto mogą się one zmieniać także z powodów niemających bezpośredniego związku z gospodarką, takich jak ryzyko wojny, wyniki wyborów, wydarzenia związane z polityką zagraniczną lub pesymistyczne prognozy formułowane przez osoby zajmujące kluczowe stanowiska polityczne, popularnych przedsiębiorców lub nawet osoby aktywne w mediach społecznościowych i mające bardzo dużą grupę obserwujących. Na przykład prezydenci i premierzy muszą być niezwykle ostrożni w swoich publicznych wypowiedziach na temat stanu gospodarki. Jeśli dadzą wyraz swojemu pesymizmowi, ryzykują wykreowanie mechanizmu swoistej samospełniającej się przepowiedni, ponieważ tego typu komentarze mogą wywołać faktyczny spadek konsumpcji i inwestycji oraz przesunięcie w dół krzywej AD i recesję, a więc zdarzenia, przed którymi sami ostrzegali. Panel (b) ilustruje właśnie takie przesunięcie krzywej AD w lewo i korespondującą z tym zmianę punktu równowagi z E 0 do E 1 . W nowej równowadze zarówno produkcja, jak i poziom cen są niższe. Odwiedź tę stronę internetową , aby uzyskać dane dotyczące nastrojów konsumentów. Na tej stronie internetowej znajdziesz dane dotyczące nastrojów przedsiębiorstw. Przesunięcia krzywej popytu globalnego Panel (a) Poprawa nastrojów konsumentów i/lub producentów przesuwa krzywą AD w prawo, z położenia AD o do AD 1 . Kiedy krzywa AD przesuwa się w prawo, w nowym punkcie równowagi (E 1 ) produkcja oraz poziom cen będą wyższe niż w stanie początkowej równowagi (E 0 ). W tym przykładzie nowa równowaga (E 1 ) znajduje się również bliżej poziomu potencjalnego PKB, można zatem domniemywać, że w wyniku przemieszczenia krzywej AD bezrobocie spadło. Wzrost wydatków państwa i/lub obniżka podatków prowadzące do zwiększenia wydatków konsumpcyjnych także przesuwają krzywą AD w prawo. Panel (b) Pogorszenie nastrojów konsumentów i/lub przedsiębiorstw przesuwa krzywą AD w lewo, z położenia AD 0 do AD 1 . Kiedy krzywa AD przesuwa się w lewo, w nowym punkcie równowagi (E 1 ) produkcja oraz poziom cen będą mniejsze niż w stanie początkowej równowagi (E0). W tym przypadku nowa równowaga (E 1 ) ukształtuje się również znacznie poniżej poziomu potencjalnego PKB, co może oznaczać wzrost bezrobocia przymusowego. Zmniejszenie wydatków państwa i/lub podwyżka podatków prowadzące do spadku wydatków konsumpcyjnych także przesuwają krzywą AD w lewo. Jak polityka państwa wpływa na zmiany położenia krzywej popytu globalnego? Wydatki państwa na dobra i usługi są jednym ze składników popytu globalnego. A zatem wyższe wydatki państwa powodują przesunięcie krzywej AD w prawo (tak jak na panelu (a) ), natomiast mniejsze wydatki państwa przesuwają krzywą AD w lewo (panel (b). Decyzje dotyczące wysokości podatków również mogą wpływać na poziom wydatków konsumpcyjnych i inwestycyjnych. Obniżki podatków dla osób fizycznych będą prowadziły do zwiększenia popytu konsumpcyjnego, zaś podwyżki podatków będą go zmniejszać, gdyż wysokość podatku PIT (używając polskiego przykładu) bezpośrednio przekłada się na wartość dochodu, który gospodarstwa domowe mogą wydać na konsumpcję. Polityka podatkowa może również zwiększyć popyt inwestycyjny, wprowadzając np. niższe stawki podatku CIT dla przedsiębiorstw lub ulgi podatkowe dla określonych rodzajów inwestycji. Zmiany konsumpcji (C) lub inwestycji (I) przesuwają całą krzywą popytu globalnego (AD). W trakcie recesji, kiedy bezrobocie jest wysokie, a wiele przedsiębiorstw osiąga niskie zyski lub nawet notuje straty, państwo często obniża podatki lub zwiększa swoje wydatki (to pierwsze podejście dominuje w USA, zaś drugie jest typowe dla krajów europejskich, w tym również w Polsce). Politycy uzasadniają takie działania chęcią zmniejszenia obciążeń podatkowych nałożonych na podmioty gospodarcze w ciężkich czasach. Model AD-AS pozwala na określenie dokładnych skutków obniżki podatków, co przedstawia . Początkowa równowaga podczas recesji znajduje się w punkcie E 0 , stosunkowo daleko od poziomu produkcji zapewniającej pełne zatrudnienie. Obniżka podatków, zwiększając konsumpcję, przesuwa krzywą AD w prawo. W nowym punkcie równowagi (E 1 ) realny PKB jest większy, a bezrobocie mniejsze. Jednocześnie w gospodarce występuje wzrost poziomu cen, przy czym skala tego wzrostu zależy od tego, jak daleko faktyczna produkcja znajduje się od poziomu potencjalnego (w miarę zbliżania się do potencjalnego PKB wzrost cen jest coraz szybszy). Przeczytaj , aby się dowiedzieć, jakimi argumentami ekonomiści uzasadniają tezę o konieczności obniżania podatków, a jakich używają, by przekonywać do ich pozostawienia na niezmienionym poziomie. Recesja i pełne zatrudnienie w modelu AD-AS To, czy gospodarka znajduje się w recesji, jest ilustrowane w modelu AD-AS przez odległość punktu równowagi od poziomu potencjalnego PKB wyznaczonego przez pionową linię LAS. W podanym przykładzie wielkość produkcji Y 0 w stanie równowagi E 0 leży stosunkowo daleko od linii wyznaczającej potencjalny PKB, więc stan ten oznacza recesję i niepełne zatrudnienie (bezrobocie przymusowe). Natomiast produkcja Y 1 w stanie równowagi E 1 jest relatywnie bliska potencjalnego PKB, co oznacza znacznie niższą stopę bezrobocia w gospodarce. Czy ekonomiści opowiadają się za obniżkami podatków, czy są im przeciwni? Jedną z absolutnie fundamentalnych kwestii, wywołujących spory nie tylko wśród polityków w USA i nie tylko w ciągu ostatnich kilkudziesięciu lat, jest obniżanie podatków. Ronald Reagan objął amerykańską prezydenturę w 1980 r. z pewnością również dlatego, że w czasie swojej kampanii zapowiedział obniżkę podatków. Co więcej, to, że obietnicę spełnił, pozwoliło mu rządzić przez dwie kadencje. Z kolei jego następca, George Bush senior, przegrał walkę o swoją reelekcję z Billem Clintonem w 1992 r. m.in. (a może przede wszystkim) dlatego, że złamał obietnicę z 1988 r., która brzmiała: „Żadnych nowych podatków!”. W wyborach prezydenckich w 2000 r. zarówno George W. Bush, jak i Al Gore opowiadali się za znacznymi obniżkami podatków, a Bushowi (który ostatecznie został wówczas prezydentem) udało się przeforsować w Kongresie pakiet redukcji podatków na początku 2001 r. W 2017 i 2018 r. Donald Trump zainicjował kolejną obniżkę podatków w celu pobudzenia gospodarki. Podobny pakiet zapowiedział również Joe Biden w czasie swojej kampanii wyborczej. Po której stronie tego sporu opowiadają się ekonomiści? Czy popierają obniżki podatków, czy też raczej są im przeciwni? Odpowiedź, która nie jest satysfakcjonująca dla zaprzysięgłych zwolenników obu rozwiązań, brzmi: to zależy. Dla większości ekonomistów istotna jest bowiem nie tylko skala obniżek podatków, ale również to, czy takim cięciom towarzyszą analogiczne redukcje wydatków państwa. Ekonomiści różnią się także, podobnie jak całe społeczeństwo, w swoich opiniach dotyczących tego, jaka powinny być skala wydatków państwa i które z rządowych programów mogą zostać zredukowane lub nawet całkowicie wyeliminowane. Druga kwestia, bardziej istotna dla rozważań w niniejszym rozdziale, dotyczy tego, jak daleko od poziomu pełnego zatrudnienia znajduje się gospodarka. W czasie recesji, gdy krzywe AD i AS przecinają się znacznie poniżej produkcji potencjalnej, obniżki podatków może uzasadniać chęć przesunięcia krzywej AD w prawo. Jednak gdy gospodarka produkuje niemal przy pełnym wykorzystaniu zdolności wytwórczych, obniżki podatków mogą przesunąć krzywą AD tak daleko w prawo, że wygenerują presję inflacyjną przy relatywnie bardzo niewielkim wzroście PKB, skutkując w konsekwencji niemal całkowitym brakiem skuteczności popytowego pobudzania gospodarki.. W kontekście modelu AD-AS wielu ekonomistów może uważać, że obniżki podatków wprowadzone przez Reagana w 1981 r., które weszły w życie tuż po dwóch poważnych recesjach, były korzystne dla gospodarki. Obniżki podatków za prezydentury Busha w 2001 r. i Obamy w 2009 r. też nastąpiły w okresie pogorszenia koniunktury. Jednak wielu ekonomistów popierających redukcję podatków podczas recesji będzie miało znacznie większe wątpliwości co do identycznych obniżek wprowadzanych w okresach szybkiego wzrostu gospodarczego, gdy bezrobocie przymusowe jest relatywnie niskie. Wydatki państwa i podatki (czyli, zgodnie z terminologią używaną przez ekonomistów, narzędzia polityki fiskalnej) to powszechnie stosowane przez państwo zmienne oddziałujące na popyt globalny. Omówimy je bardziej szczegółowo w oraz . Jednak państwo dysponuje także innymi narzędziami wpływającymi na popyt globalny. Na przykład za pomocą polityki pieniężnej państwo (w tym wypadku reprezentowane przez bank centralny) może wpływać na wysokość stóp procentowych i dostępność kredytów, co zostanie omówione w . Wyższe stopy procentowe zwykle zniechęcają do zaciągania pożyczek, a tym samym zmniejszają zarówno wydatki gospodarstw domowych na dobra trwałego użytku, takie jak domy i samochody, jak również wydatki inwestycyjne przedsiębiorstw. I odwrotnie, niższe stopy procentowe będą stymulować popyt konsumpcyjny i inwestycyjny. Stopy procentowe mogą również oddziaływać na kursy walutowe, co z kolei będzie miało wpływ na eksport i import i w efekcie na popyt globalny. Szczegóły dotyczące wpływu polityki państwa na poszczególne składniki popytu globalnego zostaną omówione w . Natomiast najważniejszym wnioskiem z niniejszego podrozdziału jest konstatacja, zgodnie z którą przesunięcie krzywej zagregowanego popytu w prawo prowadzi do wzrostu realnego PKB i presji inflacyjnej. I odwrotnie, przesunięcie krzywej popytu globalnego w lewo oznacza niższy realny PKB i niższy poziom cen. To, czy zmiany poziomu produkcji i cen są stosunkowo duże, czy małe, oraz jak zmiana punktu równowagi kształtuje się na tle potencjalnego PKB, zależy od tego, czy przesunięcie krzywej AD zachodzi na stosunkowo płaskiej, czy stosunkowo stromej części krzywej AS. Podsumowanie Krzywa popytu globalnego (AD) przesuwa się w prawo, gdy składniki popytu globalnego – konsumpcja (C), inwestycje (I), wydatki państwa na dobra i usługi (G) lub eksport netto (X - Z) – rosną. Z kolei ich spadek powoduje przesunięcie krzywej AD w lewo. Na wartość tych składników wpływ mają nastroje konsumentów i producentów, a także polityka państwa dotycząca np. wydatków budżetowych i podatków. Jeśli krzywa popytu globalnego przesuwa się w prawo, produkcja i poziom cen w równowadze rosną. Jeśli krzywa AD przesuwa się w lewo, produkcja i poziom cen w równowadze maleją. To, czy zmiana wielkości produkcji jest relatywnie silniejsza, czy słabsza od zmiany poziomu cen, zależy od położenia punktu przecięcia krzywych AD i AS. Na pierwszy rzut oka model AD-AS przypomina mikroekonomiczny model popytu i podaży. W rzeczywistości jednak zmienne odłożone na osi poziomej i pionowej oraz czynniki determinujące kształt poszczególnych krzywych są w obu modelach odmienne. Długookresowy wzrost gospodarczy w modelu AD-AS możemy zilustrować stopniowym przesuwaniem się krzywej podaży globalnej w prawo. Jeśli pojawi się recesja, punkt przecięcia krzywych AD i AS znajdzie się znacznie poniżej poziomu potencjalnego PKB. Natomiast gdy gospodarka jest w fazie ekspansji, przecięcie krzywych AD i AS następuje w pobliżu poziomu potencjalnego PKB wyznaczonego linią LAS. Pytania sprawdzające W jaki sposób nagły i silny wzrost wartości akcji na giełdzie papierów wartościowych wpłynie na położenie krzywej AD? Jaki ma to wpływ na PKB i poziom cen w równowadze? Wzrost cen akcji sprawia, że ludzie czują się bogatsi, a tym samym – wraz z poprawą ich nastrojów – rośnie konsumpcja. To z kolei przesunie krzywą AD w prawo. Rezultatem jest wzrost wartości PKB i wzrost poziomu cen w stanie równowagi. Załóżmy, że w Unii Europejskiej, która jest jednym z najważniejszych partnerów handlowych Polski i ważnym odbiorcą eksportu z naszego kraju, wybucha recesja. Użyj modelu AD-AS, aby określić prawdopodobny wpływ tej sytuacji na wielkość PKB i poziom cen w Polsce. Ponieważ import zależy od PKB, to jeśli kraje UE wpadną w recesję, ich PKB i import spadną. W efekcie eksport Polski zmaleje, co można przedstawić jako przesunięcie krzywej AD w lewo prowadzące do zmniejszenia wartości PKB i poziomu cen w Polsce. Pewien polityk twierdzi, że obniżki podatków wyprowadzą gospodarkę z recesji, w której rzeczywiście się ona znajduje. Czy możemy użyć modelu AD-AS, aby to potwierdzić? Niższe podatki zwiększą konsumpcję lub inwestycje (w zależności od tego, które z nich zostaną obniżone). W efekcie krzywa AD przesuwa się w prawo. A zatem jeśli podatki są obniżane podczas recesji (gdy PKB znajduje się znacznie poniżej poziomu potencjalnego), produkcja rośnie i gospodarka może znaleźć się ponownie na ścieżce wzrostu. Wielu analityków finansowych i ekonomistów z niecierpliwością czeka na komunikaty prasowe dotyczące cen nieruchomości i wskaźnika nastrojów konsumentów. Co się stanie po opublikowaniu informacji, że ceny mieszkań i domów oraz nastroje konsumentów spadają? A co by się stało, gdyby stosowny komunikat informował o wzroście cen nieruchomości i poprawie nastrojów konsumentów? Po otrzymaniu negatywnego komunikatu na temat zmiany cen nieruchomości, stanowiących dla większości osób znaczną część majątku, konsumenci będą przewidywać, że wartość ich domów i mieszkań, a tym samym majątku, zmaleje. Pogorszenie nastrojów konsumentów spowoduje, że będą oni bardziej pesymistycznie patrzeć w przyszłość. W rezultacie wydatki konsumpcyjne się zmniejszą, przesuwając krzywą AD w lewo, co doprowadzi do spadku PKB i niższego poziomu cen. Pozytywny komunikat wywoła efekty odwrotne. Sprawdź wiedzę Wymień kilka czynników, które mogą spowodować przesunięcie krzywej popytu globalnego. Określ, w którą stronę przesunie się krzywa AD. Czy przesunięcie krzywej popytu globalnego w prawo spowoduje wzrost, czy spadek produkcji i poziomu cen w równowadze? A co się stanie, gdy krzywa AD przesunie się w lewo? Ćwicz myślenie krytyczne Jeśli gospodarstwa domowe zdecydują się przeznaczać większą część swoich dochodów na oszczędności, to jak się zmieni produkcja, zatrudnienie i poziom cen w krótkim okresie? A co się stanie w długim okresie? Jeśli przedsiębiorcy bardziej optymistycznie patrzą w przyszłość, a jednocześnie innowacyjne drukarki 3D zwiększają produktywność większości pracowników, to jaki jest łączny wpływ tych zmian na produkcję, zatrudnienie i poziom cen? Jeśli państwo obniża podatki i jednocześnie wśród przedsiębiorców zaczynają dominować negatywne nastroje, to jaki jest łączny wpływ tych zmian na produkcję, poziom cen i zatrudnienie zgodnie z modelem AD-AS?", "section": "Przesunięcie krzywej popytu globalnego", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Jak model AD-AS wyjaśnia tempo wzrostu gospodarczego, stopę bezrobocia i zmiany inflacji Po przeczytaniu tego podrozdziału będziesz w stanie: Wykorzystać model AD-AS do zilustrowania okresów wzrostu gospodarczego i recesji Wytłumaczyć, w jaki sposób model AD-AS pokazuje zjawiska bezrobocia i inflacji Ocenić znaczenie modelu AD-AS w ukazywaniu zależności makroekonomicznych Model AD-AS przedstawia szereg wzajemnych powiązań pomiędzy trzema parametrami makroekonomicznymi: wzrostem gospodarczym, bezrobociem i inflacją. Utrzymywanie pierwszego z nich na możliwie wysokim i stabilnym poziomie, zaś dwóch pozostałych na jak najniższym jest jednym z najważniejszych zadań realizowanej przez państwo polityki gospodarczej. Co więcej, ramy modelu AD-AS są wystarczająco elastyczne, aby uwzględnić zarówno podejście oparte na prawie rynków Keynesa, które koncentruje się na zagregowanym popycie i krótkim okresie, jak i alternatywny sposób postrzegania relacji makroekonomicznych, wykorzystujący prawo rynków Saya, w centrum rozważań stawiające zagregowaną podaż i długi okres. Są to niezwykle istotne zalety tego modelu, ale należy pamiętać, że każdy model jest uproszczeniem rzeczywistości. W niniejszym podrozdziale skupimy się na tym, w jaki sposób w modelu AD-AS można zilustrować szybki wzrost gospodarczy, niskie bezrobocie i niską inflację. Wzrost gospodarczy i recesja w modelu AD-AS W modelu AD-AS długookresowy wzrost gospodarczy wynikający ze wzrostu produktywności jest reprezentowany przez stopniowe przesuwanie się krzywej podaży globalnej w prawo. Pionowa linia przedstawiająca potencjalny PKB (czyli PKB przy pełnym zatrudnieniu) w miarę upływu czasu również będzie się stopniowo przemieszczać w prawo. Panel (a) pokazuje wzrost gospodarczy w ciągu trzech lat, z krzywą AS przesuwającą się nieznacznie w prawo w każdym roku. Jednak czynniki, które decydują o szybkości długookresowego tempa wzrostu gospodarczego – takie jak inwestycje w kapitał rzeczowy i ludzki oraz technologia – nie są bezpośrednio uwzględnione na wykresie przedstawiającym model AD-AS. W krótkim okresie PKB może zarówno rosnąć, jak i maleć, co odpowiada fazom ożywienia gospodarczego i recesji. W modelu AD-AS recesja występuje wtedy, gdy realny PKB w równowadze jest dużo niższy od potencjalnego, co widać w punkcie równowagi E 0 na . W okresach korzystnej koniunktury, kiedy wzrost gospodarczy przyspiesza, równowaga będzie zazwyczaj występować w punkcie położonym blisko poziomu potencjalnego PKB, co pokazuje punkt E 1 . Bezrobocie w modelu AD-AS W opisaliśmy dwa rodzaje bezrobocia. Krótkookresowe wahania bezrobocia, czyli bezrobocie cykliczne (ang. cyclical unemployment ) jest konsekwencją cykli koniunkturalnych – występujących naprzemiennie okresów ekspansji i recesji. W długim okresie (mierzonym dekadami) w Stanach Zjednoczonych, jeśli sytuacja gospodarcza jest relatywnie dobra, stopa bezrobocia zwykle oscyluje wokół 5% +/- 1 punkt procentowy. Z kolei w wielu krajach europejskich w ostatnich dziesięcioleciach nawet w okresach dobrej koniunktury stopa bezrobocia kształtowała się na poziomie ok. 10% lub niewiele niższym. Ten bazowy poziom bezrobocia, który występuje przeciętnie w długim okresie, nazywamy naturalną stopą bezrobocia ( natural rate of unemployment ). Mamy z nią do czynienia nawet wtedy, gdy rynek pracy pozostaje w równowadze, czyli wszyscy chętni mogą znaleźć zatrudnienie. Poziom naturalnej stopy bezrobocia jest efektem tego, jak dobrze struktury rynku oraz instytucje w gospodarce dopasowują pracowników i pracodawców na rynku pracy, a także czynników demograficznych (liczby pracowników schodzących z rynku pracy i tych, którzy nań wchodzą). To właśnie demografia w dużej mierze zadecydowała o dość szybkim spadku bezrobocia w Polsce na przełomie drugiej i trzeciej dekady XXI w. Naturalna stopa bezrobocia odpowiada potencjalnemu PKB. W różnych krajach wysokości naturalnych stóp bezrobocia mogą się od siebie dość znacznie różnić. Z wykresu przedstawiającego model AD-AS można odczytać wielkość bezrobocia cyklicznego na podstawie odległości między faktycznym poziomem PKB a poziomem potencjalnym (tj. PKB przy pełnym zatrudnieniu). Wracając do , względnie niskie bezrobocie cykliczne występuje wtedy, gdy produkcja jest bliska potencjalnemu PKB, co ma miejsce w punkcie równowagi E 1 . I odwrotnie, wysokie bezrobocie cykliczne pojawia się, gdy produkcja jest znacznie poniżej potencjalnego PKB, np. w punkcie równowagi E 0 . Chociaż w modelu AD-AS nie pokazujemy osobno czynników determinujących naturalną stopę bezrobocia, są one pośrednio uwzględnione w modelu, gdyż określają poziom potencjalnego PKB. Inflacja w modelu AD-AS Wysokość inflacji zmienia się w krótkim okresie. Wyższa inflacja występuje zwykle w trakcie ożywienia gospodarczego lub tuż po nim. Najwyższe tempo wzrostu wartości wskaźnika cen towarów i usług konsumpcyjnych (CPI) w gospodarce amerykańskiej w XX w. wystąpiło w czasie gwałtownej poprawy koniunktury po dwu wojnach światowych. I odwrotnie, stopa inflacji na ogół spada podczas recesji. Skrajnym przykładem jest okres Wielkiego Kryzysu, kiedy inflacja przekształciła się w deflację, czyli spadek ogólnego poziomu cen w gospodarce. Również podczas stosunkowo krótkiej recesji w USA w latach 1991-1992 stopa inflacji obniżyła się z 5,4% w 1990 r. do 3,0% w 1992 r. W Polsce, w konsekwencji kryzysu finansowego z lat 2008-2014, również pojawiła się deflacja, jakkolwiek tempo wzrostu gospodarczego w naszym kraju było w ciągu całego tego okresu dodatnie. W niektórych krajach wysoka inflacja utrzymywała się na przestrzeni dekad. Z kolei w Stanach Zjednoczonych od połowy lat 80. XX w. inflacja pozostawała na relatywnie umiarkowanym poziomie 1–5% rocznie. Pytanie o to, jak długo będzie w Polsce trwał okres podwyższonej (sięgającej w szczytowym momencie blisko 20% rocznie) inflacji, zapoczątkowany w 2022 r., pozostaje w kwietniu 2023 r. bez jednoznacznej odpowiedzi. Model AD-AS wskazuje na dwie przyczyny inflacji. Pierwszym z możliwych czynników przyspieszających tempo wzrostu cen jest przesuwanie się krzywej popytu globalnego w prawo (wzrost AD) w momencie, gdy gospodarka już osiągnęła lub zbliżyła się do poziomu potencjalnego PKB i pełnego zatrudnienia. W efekcie następuje przesunięcie równowagi makroekonomicznej na stromą część krzywej AS. Panel (a) przedstawia przesunięcie krzywej popytu globalnego w prawo. Nowej równowadze E 1 towarzyszy znacznie wyższy poziom cen w porównaniu z początkowym stanem równowagi w E 0 . Oznacza to, że popyt globalny w gospodarce wzrósł do tego stopnia, iż przedsiębiorstwa nie są w stanie w określonym czasie wyprodukować więcej dóbr i usług, ponieważ praca i kapitał rzeczowy są w pełni wykorzystywane. A zatem dodatkowy wzrost zagregowanego popytu przekłada się wyłącznie na wzrost cen. Źródła presji inflacyjnej w modelu AD-AS Panel (a) Jeśli przesunięcie krzywej popytu globalnego z położenia AD 0 do AD 1 ma miejsce na odcinku krzywej SAS leżącym blisko poziomu potencjalnego PKB, konsekwencją tego ruchu jest wzrost produkcji oraz inflacji (wyższy poziomu cen). Nowa równowaga (E 1 ) znajduje się przy wyższym poziomie cen (P 1 ) niż początkowa równowaga. Panel (b) Przesunięcie krzywej podaży globalnej z położenia SAS 0 do SAS 1 powoduje spadek realnego PKB i wzrost poziomu cen (inflację). Nowa równowaga (E 1 ) ukształtuje się przy wyższym poziomie cen (P 1 ) niż stan początkowy (E 0 ), któremu odpowiada niższy poziom cen (P 0 ). Drugą przyczyną inflacji jest negatywna zmiana po stronie podażowej (przesunięcie krzywej SAS w lewo), wywołana np. wzrostem cen kluczowych czynników wytwórczych wykorzystywanych przez wszystkie lub większość przedsiębiorstw w gospodarce, np. wzrostem cen ropy naftowej lub wzrostem kosztów pracy związanym z wyższymi narzutami na pracę. W efekcie krzywa podaży globalnej przesuwa się w lewo. Na panelu (b) można dostrzec, że przesunięcie krzywej SAS w lewo zwiększa poziom cen z P 0 w początkowej równowadze (E 0 ) do P 1 w nowym stanie równowagi (E 1 ). W rezultacie wzrost cen nakładów przekłada się na wzrost cen produktów finalnych. Model AD-AS ilustruje jednorazową zmianę poziomu cen. Nie wyjaśnia, dlaczego inflacja czasem zanika po roku, a innym razem utrzymuje się przez kilka lat. Istnieją dwie przyczyny występowania trwałej inflacji. Pierwszą są ciągłe próby stymulowania przez państwo zagregowanego popytu, co prowadzi do nieustannego przesuwania się krzywej AD w prawo i wywołuje trwałą inflację, szczególnie wtedy, gdy punkt przecięcia krzywych AD i AS znajduje się na stromej części krzywej podaży globalnej. Po drugie, jeśli inflacja występuje od kilku lat, zarówno wśród gospodarstw domowych, jak i przedsiębiorstw utrwalają się oczekiwania inflacyjne (wszyscy po prostu spodziewają się, że inflacja będzie trwałym elementem życia gospodarczego i negocjując podwyżkę lub wyznaczając przyszłe ceny, dostosowują swoje zachowanie do inflacji). Jeśli tak się stanie, to ceny, płace i stopy procentowe co roku będą rosły o wartość oczekiwanej inflacji. Dwa wskazane wyżej czynniki determinujące utrzymywanie się trwałej inflacji są ze sobą powiązane, ponieważ jeśli państwo prowadzi politykę polegającą na nieustannym stymulowaniu popytu globalnego niezależnie od rezerwy niewykorzystanych czynników produkcji (możemy ją nazwać polityką proinflacyjną), ludzie zaczynają się do niej przyzwyczajać i traktować jako nieodłączny element swojego postępowania. Wykres AD-AS nie pokazuje jednak w sposób bezpośredni czynników wywołujących trwałą inflację ani też przyczyn pojawienia się oczekiwań inflacyjnych. Znaczenie modelu AD-AS Makroekonomia analizuje gospodarkę jako całość, co oznacza, że musi wykorzystywać wiele różnych pojęć i koncepcji. Na przykład trzy główne cele gospodarowania w perspektywie makroekonomicznej to: trwały wzrost gospodarczy, niska inflacja i niskie bezrobocie. Z kolei popyt globalny składa się z czterech elementów: konsumpcji, inwestycji, wydatków państwa na dobra i usługi oraz eksportu pomniejszonego o import. Podaż globalna ilustruje dodatnią zależność pomiędzy wyższymi cenami dóbr finalnych i wolumenem produkcji oferowanym przez przedsiębiorstwa. Popyt i podaż globalna mogą się zmienić (ich wykresy mogą się przesuwać) w konsekwencji różnych szoków (zdarzeń i decyzji politycznych), takich jak: zmiany podatków i wydatków, odwrócenie nastrojów konsumenckich, wzrost lub spadek cen kluczowych czynników produkcji (układy scalone, surowce energetyczne takie jak gaz ziemny i ropa naftowa, metale ziem rzadkich!) lub zmiana technologii przekładająca się na poziom produktywności. Model AD-AS, czyli model popytu globalnego i podaży globalnej, jest jednym z podstawowych modeli makroekonomicznych (podobnie jak w mikroekonomii model wyboru konsumenta omówiony w podrozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/2-wprowadzenie-do-rozdzialu lub model popytu i podaży opisany w podrozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/3-wprowadzenie-do-rozdzialu , ponieważ tworzy ogólne ramy do analizy bardzo różnych parametrów składających się na całość gospodarki. Różne wersje modelu AD-AS będą w związku z tym wykorzystywane w kolejnych rozdziałach podręcznika. Podsumowanie Bezrobocie przymusowe jest wysokie, jeśli równowaga w modelu AD-AS występuje przy produkcji znacznie niższej od poziomu potencjalnego. Niskie zaś jest wtedy, gdy stan równowagi w modelu AD-AS znajduje się blisko linii wyznaczającej potencjalne PKB. Naturalna stopa bezrobocia, określona przez sposób funkcjonowania (instytucje) rynku pracy, to wartość tego parametru odpowiadająca potencjalnemu PKB. Zmiany stanu równowagi w modelu AD-AS można wykorzystać do wskazania czynników determinujących wahania stopy inflacji (zmiany poziomu cen). Handel zagraniczny wpływa na równowagę w modelu AD-AS na kilka sposobów. Wzrost eksportu lub spadek importu przesuwa krzywą popytu globalnego (AD) w prawo. Zmiany cen kluczowych czynników produkcji pochodzących z importu, takich jak ropa naftowa, powodują zmiany w podaży globalnej (AS). Model AD-AS jest podstawowym narzędziem używanym w niniejszym podręczniku do wyjaśniania zagadnień z obszaru makroekonomii. Pytania sprawdzające Jaki jest – zgodnie z modelem AD-AS – wpływ spadku liczebności siły roboczej na PKB i poziom cen? Malejący zasób siły roboczej powoduje przesunięcie krzywej AS w lewo, co prowadzi do niższego PKB i wyższego poziomu cen w równowadze. Załóżmy, że po pięciu latach stagnacji gospodarka Unii Europejskiej wchodzi na ścieżkę szybkiego wzrostu gospodarczego. Jakie będą tego skutki dla bilansu handlowego, PKB i zatrudnienia w USA? Szybszy wzrost gospodarczy w UE zwiększa popyt na amerykański eksport, zmniejszając deficyt handlowy Stanów Zjednoczonych. Zwiększony popyt na amerykański eksport powoduje przesunięcie krzywej AD w prawo, prowadząc do wzrostu PKB (i wyższego poziomu cen). Wyprodukowanie większej liczby dóbr i usług składających się na PKB wymaga większej liczby pracowników, więc zatrudnienie w USA również wzrośnie. Załóżmy, że bank centralny (np. NBP) zaczyna zwiększać podaż pieniądza w coraz szybszym tempie. Jak wpłynie to na wartość PKB, bezrobocie i inflację? Ekspansywna polityka pieniężna przesuwa krzywą AD w prawo. Im dłuższy jest okres jej wdrażania, tym większa będzie skala tego przesunięcia. W rezultacie PKB, podobnie jak zatrudnienie, rośnie (bezrobocie maleje), analogicznie do poziomu cen. Po osiągnięciu wolumenu produkcji równej potencjalnemu poziomowi PKB dalsza ekspansja monetarna przekładać się będzie wyłącznie na wzrost cen (inflację). Sprawdź wiedzę W jaki sposób w modelu AD-AS można zilustrować długookresowy wzrost gospodarczy? W jaki sposób w modelu AD-AS można zilustrować recesję? W jaki sposób w modelu AD-AS można zilustrować bezrobocie przymusowe? W jaki sposób w modelu AD-AS można zilustrować naturalną stopę bezrobocia? W jaki sposób w modelu AD-AS można zilustrować inflację? W jaki sposób eksport i import mogą określać położenie krzywych popytu i podaży globalnej oraz wzajemne interakcje między tymi parametrami w modelu AD-AS? Ćwicz myślenie krytyczne Załóżmy, że bezrobocie strukturalne wzrasta. Jak wzrost tego rodzaju bezrobocia można przedstawić za pomocą modelu AD-AS? Wskazówka : Zastanów się, jak bezrobocie strukturalne wpływa na poziom potencjalnego PKB. Jeśli zagraniczni właściciele majątku zdecydują, że Polska, choćby ze względu na wojnę w Ukrainie, nie jest najbezpieczniejszym miejscem do inwestowania ich oszczędności, jaki będzie to miało wpływ na polską gospodarkę? Odpowiedź zilustruj za pomocą modelu AD-AS. Model AD-AS jest statyczny i pokazuje gospodarkę w danym punkcie w czasie. Tymczasem zarówno wzrost gospodarczy, jak i inflacja są zjawiskami dynamicznymi. Załóżmy, że wzrost gospodarczy wynosi 3% rocznie, a zagregowany popyt rośnie w tym samym tempie. Jaka powinna być stopa inflacji zgodnie z założeniami modelu AD-AS? Bibliografia Library of Economics and Liberty. “The Concise Encyclopedia of Economics: Jean-Baptiste Say.” http://www.econlib.org/library/Enc/bios/Say.html. Library of Economics and Liberty. “The Concise Encyclopedia of Economics: John Maynard Keynes.” http://www.econlib.org/library/Enc/bios/Keynes.html. Organization for Economic Cooperation and Development. 2015. \"Business Tendency Surveys: Construction.\" Accessed March 4, 2015. http://stats.oecd.org/mei/default.asp?lang=e&subject=6. University of Michigan. 2015. \"Surveys of Consumers.\" Accessed March 4, 2015. http://www.sca.isr.umich.edu/tables.html.", "section": "Jak model AD-AS wyjaśnia tempo wzrostu gospodarczego, stopę bezrobocia i zmiany inflacji", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Prawa Keynesa i Saya w modelu AD-AS Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać obszar neoklasyczny, pośredni i keynesowski w modelu popytu globalnego i podaży globalnej Wykorzystać model AD-AS do diagnozy kondycji gospodarczej swojego kraju Możemy użyć modelu AD-AS do zilustrowania zarówno prawa rynków Saya , zgodnie z którym to podaż kreuje swój popyt, jak i prawa rynków Keynesa , które kładzie nacisk na popyt jako czynnik przesądzający o wielkości podaży. W tym celu rozważmy trzy obszary na wykresie krzywej SAS, które przedstawiono na . Obszar keynesowski, neoklasyczny i pośredni na wykresie krzywej podaży globalnej W pobliżu punktu równowagi E k , czyli w obszarze keynesowskim, położonym po lewej stronie wykresu krzywej SAS, niewielkie przesunięcia krzywej popytu globalnego w prawo lub w lewo oddziałują na wolumen produkcji Y k , ale nie wpływają znacząco na poziom cen. W obszarze keynesowskim popyt globalny AD w dużej mierze determinuje wielkość produkcji. W pobliżu punktu równowagi E n , czyli w obszarze neoklasycznym znajdującym się po prawej stronie krzywej SAS, niewielkie przesunięcia krzywej AD w prawo lub w lewo będą wywierały stosunkowo niewielki wpływ na wielkość produkcji Y n , ale będą miały silny wpływ na poziom cen. W obszarze neoklasycznym to prawie pionowa krzywa SAS, położona blisko poziomu potencjalnego PKB, określa w dużej mierze wielkość produkcji. W strefie pośredniej wokół punktu równowagi E p przesunięcie krzywej AD w prawo powoduje wzrost zarówno produkcji, jak i cen, podczas gdy ruch AD w lewo prowadzi do spadku produkcji i cen. Spójrzmy najpierw na obszar keynesowski (ang. Keynesian zone ), czyli tę część krzywej SAS, która leży po lewej stronie i jest stosunkowo płaska. Jeśli krzywa AD przecina krzywą SAS w punkcie równowagi E k , to co możemy powiedzieć o sytuacji gospodarczej w tym obszarze? Otóż wartość realnego PKB jest znacznie niższa od poziomu potencjalnego, gospodarka znajduje się w recesji, a bezrobocie przymusowe jest wysokie. Jeśli popyt globalny zwiększy się lub zmniejszy, nowe położenie krzywej popytu globalnego określi finalną wielkość produkcji (a tym samym poziom bezrobocia). Presja inflacyjna w obszarze keynesowskim nie jest istotnym powodem do niepokoju, ponieważ poziom cen jest w miarę stabilny – producenci reagują na zwiększony popyt głównie wzrostem produkcji, a nie wzrostem cen. Przeanalizujmy teraz obszar neoklasyczny (ang. neoclassical zone ) krzywej SAS, charakteryzujący się niemal pionowym kształtem tej krzywej i znajdujący się po jej prawej stronie. Jeśli popyt globalny AD przecina tę część krzywej SAS w punkcie równowagi, takim jak E n , gdzie produkcja jest równa lub zbliżona do poziomu potencjalnego, wówczas wielkość potencjalnego PKB w dużej mierze określa faktyczny poziom produkcji w gospodarce. Ponieważ równowaga jest bliska potencjalnemu PKB, bezrobocie przymusowe jest niskie, chociaż problemem może być bezrobocie strukturalne. W obszarze neoklasycznym wzrost lub spadek popytu globalnego ma niewielki wpływ na wolumen produkcji i zatrudnienie. Jedynym sposobem na zwiększenie realnego PKB jest przesunięcie krzywej AS w prawo. Zmiany popytu globalnego w obszarze neoklasycznym prowadzą do zmian poziomu cen. Na koniec przyjrzyjmy się obszarowi pośredniemu (ang. intermediate zone ) krzywej SAS na . Jeśli popyt globalny przecina tę część krzywej SAS w punkcie równowagi takim jak E p , możemy się spodziewać, że przesunięcia krzywej popytu globalnego będą prowadzić do zmian bezrobocia i inflacji w przeciwnych kierunkach. Na przykład przesunięcie krzywej AD w prawo przybliży wolumen produkcji do poziomu potencjalnego, a tym samym zmniejszy bezrobocie, ale przyniesie też wyższy poziom cen (lub szybszą inflację). I odwrotnie, przesunięcie krzywej AD w lewo oddali produkcję od poziomu potencjalnego i zwiększy bezrobocie, ale spowoduje także obniżenie poziomu cen (lub spadek inflacji). Dzięki podzieleniu krzywej SAS na różne obszary możemy dokonać diagnozy stanu gospodarki, niczym lekarz badający pacjenta i określający jego kondycję na podstawie objawów. Najpierw należy określić, w jakim obszarze znajduje się analizowana gospodarka. Dzięki temu będziemy mogli stwierdzić, jakie będą konsekwencje zmian popytu globalnego i możliwości realizacji pożądanych, ale wykluczających się niekiedy celów polityki gospodarczej, w wyniku zastosowania przez państwo różnych jej kombinacji. Niektórzy ekonomiści uważają, że gospodarki w zasadzie nie przemieszczają się pomiędzy zdefiniowanymi powyżej obszarami. Na przykład ortodoksyjni keynesiści utrzymują, że gospodarki przez większość czasu znajdują się w obszarze keynesowskim, a obszar neoklasyczny postrzegają jako czysto teoretyczną abstrakcję. I odwrotnie, skrajni neoklasycy twierdzą, że gospodarki przez większość czasu znajdują się w obszarze neoklasycznym, a obszar keynesowski nie jest wart ich uwagi. i powinny pomóc w wyjaśnieniu podstaw i konsekwencji tych przeciwstawnych poglądów na gospodarkę. Recesja wywołana pandemią: kwestia popytu czy podaży? Wspomnieliśmy wcześniej, że globalna pandemia zagrażającej życiu ludzkiemu choroby, takiej jak Covid-19, może spowodować przesunięcie krzywej podaży globalnej w lewo, ze względu na tymczasowe zmniejszenie liczby pracowników chętnych do podjęcia zatrudnienia i wstrzymanie produkcji dóbr, zarówno z uwagi na brak rąk do pracy, jak i administracyjne ograniczenia w prowadzeniu działalności gospodarczej, przede wszystkim w sektorze usług (określane mianem lockdownów). Pandemie mogą jednak również wpływać na zagregowany popyt. Kiedy ludzie wahają się, czy wydawać pieniądze ze względu na wysokie prawdopodobieństwo utraty pracy lub po prostu z obawy przed pojawianiem się w miejscach publicznych, będzie to miało wpływ na zagregowane wydatki w gospodarce. Konsumenci wydają mniej m.in. w restauracjach, hotelach, przestają odwiedzać bary, kluby i dyskoteki, nie chodzą na siłownię itd., zaś firmy przestają inwestować z powodu braku popytu i niepewnej przyszłości. Oba czynniki prowadzą do przesunięcia krzywej zagregowanego popytu w lewo. Choć trwają dyskusje, czy wywołana pandemią globalna recesja, której polska gospodarka doświadczyła w 2020 r., była napędzana przede wszystkim przez malejącą podaż, czy kurczący się popyt, najbardziej prawdopodobna odpowiedź będzie brzmiała: zarówno przez jedno, jak i drugie. W marcu i kwietniu 2020 r. pracownicy masowo opuszczali rynek pracy, a później w ciągu roku wahali się, czy powrócić ze względu na obawy dotyczące zdrowia i bezpieczeństwa. Wiele osób było również zmuszonych do odwołania planowanych podróży lub zrezygnowało z nich dobrowolnie z obawy o swoje bezpieczeństwo, co dodatkowo zmniejszyło zagregowany popyt. Doprowadziło to do głębokiego ograniczenia wolumenu produkcji w gospodarce światowej (przede wszystkim w Chinach, z ich niezwykle restrykcyjną polityką lockdownów), które było odczuwalne jeszcze w drugiej połowie 2022 r. Podsumowanie Krzywą SAS możemy podzielić na trzy obszary. Zgodnie z prawem rynków Keynesa popyt kreuje podaż, więc przesunięcie krzywej popytu globalnego spowoduje zmiany realnego PKB i poziomu zatrudnienia. Działanie prawa Keynesa możemy pokazać na poziomej części krzywej podaży globalnej, w tzw. obszarze keynesowskim. Znajduje się on po lewej stronie krzywej SAS, czyli w jej płaskiej części, więc zmiany popytu globalnego będą miały silny wpływ na wolumen produkcji, ale niewielki na poziom cen. Prawo rynków Say'a opiera się na założeniu, iż to podaż kreuje popyt na samą siebie. W takiej sytuacji zmiany popytu globalnego nie oddziałują na realny PKB i zatrudnienie, a jedynie na poziom cen. Działanie prawa Say'a możemy pokazać na pionowej części krzywej podaży globalnej, czyli w tzw. obszarze neoklasycznym. Leży on po prawej stronie krzywej SAS, w jej stromej – prawie pionowej – części, więc zmiany popytu globalnego będą miały silny wpływ na poziom cen, ale niewielki na wolumen produkcji. Obszar pośredni znajduje się pośrodku krzywej SAS, w jej rosnącej części, co oznacza, że wzrost popytu globalnego spowoduje zwiększenie produkcji i cen, podczas gdy spadek AD doprowadzi do zmniejszenia obu parametrów. Pytania sprawdzające Jeśli kondycja gospodarki sytuuje ją w neoklasycznym obszarze krzywej SAS, a popyt globalny spada, co najprawdopodobniej stanie się z poziomem realnego PKB? Ponieważ krzywa SAS jest pionowa w obszarze neoklasycznym, spadek popytu globalnego spowoduje obniżenie poziomu cen, ale realny PKB i poziom zatrudnienia nie zmienią się (z wyjątkiem sytuacji, gdy początkowa równowaga była bardzo blisko obszaru pośredniego i właśnie tam gospodarka znajdzie się po spadku popytu globalnego). Jeśli gospodarka działa w keynesowskim obszarze krzywej SAS, a popyt globalny spada, co najprawdopodobniej stanie się z poziomem realnego PKB? Ponieważ krzywa SAS jest pozioma w obszarze keynesowskim, spadek AD powinien doprowadzić do obniżenia się realnego PKB przy stałym poziomie cen. Sprawdź wiedzę Czym jest keynesowski obszar krzywej SAS? Jak zmienia się w nim poziom cen? Czym jest neoklasyczny obszar krzywej SAS? Jak zmienia się w nim wielkość produkcji? Czym jest pośredni obszar krzywej SAS? Czy w tym obszarze powiększaniu produkcji towarzyszy wzrost, czy spadek poziomu cen? Ćwicz myślenie krytyczne Wyjaśnij, dlaczego krótkookresowa krzywa podaży globalnej (SAS) jest dość płaska w swoim obszarze keynesowskim. W jaki sposób możemy potwierdzić, że dana gospodarka znajduje się w tym właśnie obszarze? Wyjaśnij, dlaczego krótkookresowa krzywa podaży globalnej (SAS) jest pionowa w swoim obszarze neoklasycznym. W jaki sposób możemy potwierdzić, że dana gospodarka znajduje się w tym właśnie obszarze? Dlaczego dla polityków gospodarczych kluczową kwestią pozostaje umiejscowienie gospodarki na konkretnym obszarze krzywej SAS? Czy twoim zdaniem polska gospodarka znajduje się obecnie na keynesowskim, pośrednim czy neoklasycznym obszarze krzywej podaży globalnej (SAS)? Czy prawo rynków Saya i prawo rynków Keynesa wzajemnie się wykluczają? obszar pośredni (ang. intermediate zone ) część krzywej SAS, na której PKB znajduje się poniżej poziomu potencjalnego, ale nie tak daleko, jak w obszarze keynesowskim; krzywa SAS ma nachylenie dodatnie obszar keynesowski (ang. Keynesian zone ) część krzywej SAS, na której PKB sytuuje się znacznie poniżej poziomu potencjalnego, a sama krzywa SAS jest płaska strefa keynesowska zob. obszar keynesowski obszar neoklasyczny (ang. neoclassical zone ) część krzywej SAS, na której PKB jest równy lub zbliżony do poziomu potencjalnego, a sama krzywa SAS jest stroma", "section": "Prawa Keynesa i Saya w modelu AD-AS", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Symptomy recesji Przejęcia nieruchomości przez kredytujące ich zakup banki były tylko jednym z wielu symptomów globalnego kryzysu finansowego z lat 2008–2009. W tym czasie wiele przedsiębiorstw zostało zamkniętych i mnóstwo ludzi straciło pracę. (Źródło: modyfikacja pracy Tabera Andrew Baina/Flickr Creative Commons). Globalny kryzys finansowy Kryzys finansowy, który silnie dotknął amerykańską gospodarkę w latach 2008–2009, miał negatywne konsekwencje dla całego świata, w tym w pewnym stopniu również dla Polski. Według Amerykańskiego Urzędu Statystyki Pracy ( Bureau of Labor Statistics , BLS) liczba bezrobotnych obywateli wzrosła w USA z 6,8 mln w maju 2007 r. do 15,4 mln w październiku roku 2009. W tym samym okresie, zgodnie z szacunkami U.S. Census Bureau , zamknięto ok. 170 tys. małych firm. Masowe zwolnienia osiągnęły szczyt w lutym 2009 r., kiedy pracodawcy wręczyli wypowiedzenie ponad 326 tys. pracowników (w Polsce bezrobocie, mierzone zgodnie z metodą stosowaną przez Eurostat, a więc dającą zazwyczaj niższy odczyt, wzrosło z poziomu 7,1% w roku 2008 do 10,3% w 2013). Wielkość produkcji oraz produktywność czynników wytwórczych w Stanach Zjednoczonych również spadły. Utrata pracy, kurcząca się wartość domów, malejące dochody i gwałtowny wzrost obaw o przyszłość spowodowały zmniejszenie wydatków konsumpcyjnych. Zgodnie z danymi Amerykańskiego Urzędu Statystyki Pracy wydatki gospodarstw domowych zmalały o 7,8%. Przejęcia nieruchomości na masową skalę i krach na rynkach finansowych wymagały natychmiastowych działań amerykańskich władz (Kongresu oraz prezydenta) i Banku Rezerwy Federalnej (amerykańskiego banku centralnego). Administracja prezydencka wdrożyła programy takie jak American Restoration and Recovery Act , aby pomóc milionom ludzi, m.in. udzielając ulg podatkowych nabywcom domów czy też przedłużając okres wypłaty zasiłków dla bezrobotnych. Pomimo tych działań recesja dotknęła miliony obywateli, z których wielu straciło dach nad głową. Jej efektem był spadek wydatków konsumpcyjnych oraz wzrost skali wypłat zasiłków dla bezrobotnych. Wprawdzie po zakończeniu globalnego kryzysu finansowego Stany Zjednoczone weszły w okres ożywienia gospodarczego, który trwał do czasu wybuchu pandemii koronawirusa, jednak ludzie odczuwali skutki tego załamania przez kolejną dekadę. Jaka była przyczyna recesji i co zapobiegło osunięciu się gospodarki w długotrwały kryzys o skali analogicznej do Wielkiego Kryzysu? Wydaje się, że politycy wykorzystali wnioski wyciągnięte z katastrofalnej depresji lat 30. XX w. oraz stworzone wówczas modele Johna Maynarda Keynesa, aby przeanalizować przyczyny i znaleźć rozwiązania problemów gospodarczych. Tematem niniejszego rozdziału jest właśnie ów keynesowski model gospodarki. Wprowadzenie do modelu keynesowskiego Dzięki lekturze tego rozdziału dowiesz się: Jaką rolę odgrywa popyt globalny w modelu keynesowskim Jakie są założenia modelu keynesowskiego Jaką relację ilustruje krzywą Phillipsa W jaki sposób ekonomiści keynesowscy postrzegają działanie mechanizmu rynkowego Jak wiemy, poziom aktywności gospodarczej, np. wielkość produkcji, zatrudnienia i wydatków konsumpcyjnych, wykazuje trend wzrostowy wraz z upływem czasu. W poznaliśmy przyczyny, dla których tak się dzieje. W pokazaliśmy, że faktyczna produkcja oscyluje wokół pewnego długookresowego trendu. Oznacza to, że faktyczne tempo wzrostu gospodarczego w konkretnym roku nie musi być równe długookresowej średniej. Czasami produkcja rośnie w tempie wyznaczonym przez długookresowy trend, czasem szybciej lub wolniej, a niekiedy wolumen produkcji może nawet spaść. Cykliczne wahania rozmiarów produkcji dobrze widać na . Stopa zmian realnego poziomu PKB Stanów Zjednoczonych w latach 1930–2020 Wykres przedstawia roczną stopę zmian poziomu realnego PKB w USA w latach 1930–2020. Względnie duże zmiany procentowe (zarówno ujemne, jak i dodatnie) wystąpiły w latach 1930–1945. (Źródło: Bureau of Economic Analysis, „National Economic Accounts” https://apps.bea.gov/itable/index.cfm ). Analiza danych przedstawionych na , każe postawić dwa istotne pytania: w jaki sposób można objaśnić zmienność produkcji w czasie (cykle koniunkturalne) i do jakiego stopnia możliwe jest kontrolowanie tego zjawiska (wpływanie na nie). W niniejszym rozdziale (z perspektywy keynesowskiej) oraz w spróbujemy udzielić na nie odpowiedzi z punktu widzenia dwóch różnych szkół ekonomicznych. Wykorzystamy przy tym wiedzę zdobytą dzięki lekturze .", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Popyt globalny w modelu keynesowskim Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić pojęcia luki inflacyjnej i luki deflacyjnej (recesyjnej) W pełni zrozumieć, w jaki sposób ekonomiści podzielający keynesowskie poglądy na gospodarkę interpretują model AD-AS Wskazać i wyjaśnić sposób działania najważniejszych czynników determinujących poziom konsumpcji, inwestycji, wydatków państwa na dobra i usługi oraz eksportu netto Analizując gospodarkę z keynesowskiego punktu widzenia, koncentrujemy się przede wszystkim na popycie globalnym. Dlaczego? Ponieważ przedsiębiorstwa produkują tylko wtedy, gdy są przekonane, że ich towary znajdą nabywców. O ile więc zasób oraz produktywność czynników wytwórczych wpływają na wielkość potencjalnego PKB (ang. potential GDP ), o tyle faktyczny wolumen produkcji, czyli realny PKB (ang. real GDP ), zależy od tego, jakie są rozmiary zagregowanego (globalnego) popytu. Obrazuje to . Keynesowska interpretacja modelu AD-AS Keynesowski sposób interpretacji modelu AD-AS zakłada, że krzywa podaży globalnej (SAS) jest płaska (pozioma) przy produkcji poniżej poziomu potencjalnego i pionowa dla produkcji potencjalnej. Zatem gdy produkcja kształtuje się na dowolnym poziomie poniżej potencjalnego, dowolny spadek popytu globalnego (AD) prowadzi tylko do zmniejszenia produkcji, a poziom cen się nie zmienia. Z kolei wzrost popytu globalnego prowadzi do wzrostu produkcji przy stałym poziomie cen (do momentu, w którym gospodarka nie osiągnie potencjalnego PKB). Keynes argumentował, że – z powodów, które za chwilę wyjaśnimy – popyt globalny ( AD ) nie utrzymuje się na stałym poziomie, lecz wykazuje nieoczekiwane wahania. Załóżmy, że gospodarka znajduje się w punkcie, w którym krzywa AD przecina krzywą SAS przy poziomie cen P 0 i produkcji Y p . Skoro Y p jest produkcją potencjalną, w gospodarce występuje pełne zatrudnienie. Ponieważ popyt globalny nie jest stały w czasie, może łatwo spaść. Jeśli AD spadnie, to gospodarka – nawet gdy startuje z poziomu potencjalnego – znajdzie się w stanie określanym przez Keynesa jako luka deflacyjna ( (luka recesyjna) (ang. recessionary gap ). Jest to nadal punkt równowagi, ale poniżej poziomu pełnego zatrudnienia, co odpowiada np. produkcji Y 1 na . Keynes uważał, że nawet w średnim i długim okresie gospodarkę może charakteryzować luka deflacyjna, z towarzyszącym jej przymusowym bezrobociem. W analogiczny sposób (chociaż nie zostało to zilustrowane na wykresie) gospodarka może wpaść w lukę inflacyjną (ang. inflationary gap ), gdy AD wzrośnie do poziomu przekraczającego produkcję potencjalną. W konsekwencji pojawi się inflacja, ponieważ gospodarka nie może w trwały sposób przekroczyć poziomu potencjalnego tylko na skutek wzrostu popytu, bez powiększenia wolumenu czynników wytwórczych lub wzrostu ich produktywności. Niezależnie od tego, która ze wskazanych wyżej sytuacji wystąpi, polityka gospodarcza powinna być ukierunkowana na likwidację luki deflacyjnej lub inflacyjnej, w zależności od tego, która z nich pojawi się w gospodarce. Państwo winno zatem zwiększyć wydatki podczas recesji i zmniejszyć je w okresach przyspieszającej inflacji (ożywienia gospodarczego), tak aby popyt globalny powrócił do poziomu odpowiadającego produkcji potencjalnej. Zgodnie z informacjami przedstawionymi w poprzednich rozdziałach popyt globalny (zagregowany) to łączne wydatki na dobra i usługi wyprodukowane w danym kraju. Popyt globalny [AD] jest w rzeczywistości tym, co ekonomiści nazywają całkowitymi planowanymi wydatkami. Więcej informacji na ten temat można znaleźć w dodatku opisującym sposób interpretacji modelu wydatki-produkcja, w . Wiemy jednocześnie, że popyt globalny jest sumą czterech składników: wydatków konsumpcyjnych, wydatków inwestycyjnych, wydatków państwa na dobra i usługi (zakupów państwa) oraz wydatków netto zagranicy (tj. eksportu netto, czyli eksportu pomniejszonego o import). W kolejnej części podrozdziału przeanalizujemy dokładnie poszczególne składniki popytu globalnego z perspektywy keynesowskiej. Czynniki determinujące konsumpcję Konsumpcja to wydatki gospodarstw domowych na dobra i usługi, w tym na dobra trwałego użytku. Te ostatnie to przedmioty, które służą nam w średnim i długim okresie (w perspektywie lat lub nawet dekad), utrzymując pewną wartość. Będą to więc samochody, artykuły RTV AGD, meble, biżuteria, dzieła sztuki itd. Wszystkie inne dobra, takie jak artykuły spożywcze, po skonsumowaniu przestają istnieć. Z kolei usługi to towary, które nie mają materialnej postaci – porada lekarska, wizyta w kinie lub płatne konto w banku itp. Keynes zidentyfikował trzy główne czynniki, które wpływają na poziom konsumpcji: Dochód rozporządzalny. Konsumpcja większości z nas jest określana przez dochód uzyskiwany z pracy oraz wynajmu lub sprzedaży innych czynników produkcji (kapitału, ziemi), nazywany również dochodem rozporządzalnym (ang. disposable income ). Jest to więc dochód czynników produkcji po uwzględnieniu transferów (np. stypendium studenckiego, środków z programu „Rodzina 500 Plus” i innych zasiłków) i odliczeniu podatków. Oczekiwany przyszły dochód. Przewidywania konsumentów dotyczące przyszłości są ważne przy określaniu wielkości konsumpcji. Jeśli z optymizmem patrzą oni w przyszłość, chętniej wydają pieniądze, zwiększając tym samym popyt globalny. Natomiast doniesienia medialne wieszczące nadchodzącą recesję i kłopoty gospodarcze będą ich raczej skłaniać do ograniczenia konsumpcji. Majątek. Gdy majątek gospodarstw domowych rośnie, są one skłonne konsumować większą część swoich dochodów i oszczędzać mniej. Na przykład kiedy pod koniec lat 90. XX w. amerykańska giełda zanotowała silne wzrosty, stopa oszczędności w USA zmalała. Prawdopodobnie stało się tak dlatego, że ludzie, widząc, iż ich majątek utrzymywany w akcjach się zwiększył, łatwiej decydowali się na wydatkowanie większej części swego bieżącego dochodu. W jaki sposób ludzie wydają na konsumpcję więcej, niż zarabiają? Poprzez zaciąganie kredytów i pożyczek. Z drugiej strony, kiedy giełda w USA od marca 2008 r. do marca 2009 r. zanotowała spadek o blisko 40%, majątek gospodarstw domowych utrzymywany w papierach wartościowych gwałtownie się zmniejszył, co doprowadziło do wzrostu stopy oszczędności i spadku konsumpcji. Zdaniem Keynesa istnieje także wiele innych, mniej istotnych czynników wpływających na to, jaką część rozporządzalnego dochodu gospodarstwa domowe konsumują, a jaką oszczędzają (wielkość oszczędności i konsumpcji). Jeśli preferencje gospodarstw domowych zmienią się tak, że zwiększą one swoją konsumpcję oraz zmniejszą oszczędności, krzywa popytu globalnego przesunie się w prawo. Odwiedź poniższą stronę internetową , aby uzyskać więcej informacji o tym, jak recesja wpłynęła na różne grupy ludzi. Czynniki determinujące inwestycje Wydatki na nowe dobra kapitałowe nazywamy wydatkami inwestycyjnymi (ang. investment expenditure ). Inwestycje dzielą się na cztery kategorie: środki trwałe przedsiębiorstw (w tym oprogramowanie), obiekty niemieszkalne (np. fabryki, biura i centra handlowe), zmiany stanu zapasów oraz obiekty mieszkalne (domy jednorodzinne, kamienice itp.). Przedsiębiorstwa dokonują pierwszych trzech rodzajów inwestycji, a gospodarstwa domowe – ostatniego. Keynesowskie podejście do inwestycji koncentruje się na kluczowej roli oczekiwań w kształtowaniu decyzji biznesowych. Kiedy przedsiębiorstwo decyduje się zakup środków trwałych, np. maszyn, całej linii produkcyjnej czy wręcz wybudowanie nowej fabryki, ale też dokonanie inwestycji w aktywa niematerialne, np. prowadzenie prac badawczo-rozwojowych lub szkolenia zwiększające kompetencje pracowników, bierze pod uwagę zarówno oczekiwane przyszłe korzyści z inwestycji (zyski), jak i jej spodziewane koszty (koszt alternatywny kapitału zaangażowanego w inwestycje mierzony stopą procentową). Oczekiwania dotyczące przyszłych zysków są najważniejszym czynnikiem wpływającym na skłonność do inwestycji. W sytuacji, w której w gospodarce panuje konsensus dotyczący przewidywanego przyspieszenia tempa wzrostu gospodarczego, przedsiębiorstwa spodziewają się zwiększonego popytu na swoje produkty. Lepsze nastroje producentów zachęcają ich do nowych inwestycji. Na przykład w drugiej połowie lat 90. XX w. poziom inwestycji w USA wzrósł z 18% PKB w 1994 r. do 21% PKB w roku 2000. Jednak gdy w 2001 r. rozpoczęła się recesja, w roku 2002 inwestycje w USA ponownie spadły, do poziomu 18% PKB. Wysokość stóp procentowych jest kolejnym ważnym czynnikiem wpływającym na rozmiary inwestycji przedsiębiorstw. Tak jak gospodarstwa domowe muszą zazwyczaj pożyczać pieniądze na zakup domów i mieszkań, tak firmy potrzebują finansowania, gdy dokonują dużych wydatków. Kosztem inwestycji jest stopa procentowa. Nawet jeśli przedsiębiorstwo posiada środki finansowe, stopa procentowa mierzy koszt alternatywny wykorzystywanego kapitału (przecież zamiast inwestować, można by wpłacić pieniądze do banku lub kupić za nie obligacje skarbowe i otrzymywać dochód w postaci odsetek). Niższe stopy procentowe stymulują wydatki inwestycyjne, a wyższe je ograniczają. Oczekiwana rentowność inwestycji zależy od wielu czynników. Jeśli ceny energii maleją, energochłonne inwestycje (np. związane z produkcją nawozów sztucznych) przyniosą większe zyski. Jeśli państwo oferuje specjalne zachęty do inwestowania (np. ulgi podatkowe), inwestycje będą bardziej atrakcyjne. I odwrotnie, jeśli państwo zlikwiduje ulgi podatkowe lub podniesie podatki dla przedsiębiorstw, atrakcyjność inwestycji spadnie. Zdaniem Keynesa inwestycje firm są najbardziej zmiennym składnikiem popytu globalnego. Czynniki determinujące poziom wydatków państwa na dobra i usługi Trzecim składnikiem popytu globalnego są wydatki państwa na dobra i usługi (obejmujące zarówno wydatki rządu centralnego, jak i jednostek samorządu terytorialnego). Chociaż zarówno Stany Zjednoczone, jak i Polskę zwykle postrzegamy (i słusznie!) jako gospodarki rynkowe, państwo nadal odgrywa znaczącą rolę w tworzeniu ich popytu globalnego. Na zajęciach z mikroekonomii omawiane było zaangażowanie państwa w zakupy dóbr publicznych i finansowanych ze środków publicznych dóbr prywatnych, takich jak odpowiednio: obrona narodowa, bezpieczeństwo publiczne i infrastruktura transportowa (drogi i linie kolejowe), a także edukacja i opieka zdrowotna. Zdaniem Keynesa państwo za pomocą polityki fiskalnej (budżetowej) może z ogromną siłą wpływać na popyt globalny. Z jednej strony zwiększanie wydatków państwa stymuluje popyt globalny, a zmniejszanie wydatków go obniża. Z drugiej zaś obniżanie lub podnoszenie stawek podatkowych (zwiększanie lub zmniejszanie transferów) wpływa na konsumpcję i inwestycje (pomyśl w tym kontekście o wpływie wypłaty tzw. trzynastej emerytury na konsumpcję w Polsce). Keynes doszedł do wniosku, że w skrajnych sytuacjach, takich jak głęboka recesja, tylko państwo ma siłę i środki, aby podtrzymać poziom popytu globalnego. Na przykład podczas recesji wywołanej pandemią w 2020 r. zarówno rząd federalny w USA, jak i rząd Polski przekazały bardzo poważne środki przedsiębiorstwom i gospodarstwom domowym (w ramach tzw. tarcz antykryzysowych), aby wesprzeć gospodarkę, gdy wiele przedsiębiorstw musiało wstrzymać działalność lub doświadczyło dużego spadku dochodów i musiało zwolnić pracowników. Czynniki wpływające na eksport netto Przypomnijmy, że eksport (ang. exports ) o sprzedaż za granicę produktów wytworzonych w kraju, a import (ang. imports ) to zakup produktów wytworzonych za granicą. Ponieważ popyt globalny definiujemy jako wielkość wydatków na dobra i usługi wyprodukowane w kraju, eksport zwiększa popyt globalny, zaś import należy od tego parametru odjąć. Wahania eksportu i importu zależą przede wszystkim od dwóch grup czynników: zmian względnych stóp wzrostu gospodarczego oraz zmian względnych cen pomiędzy krajami prowadzącymi wymianę handlową. Sytuacja gospodarcza u partnerów handlowych silnie wpływa na wielkość eksportu danego kraju. Na przykład, jeśli główni importerzy polskich produktów, m.in. Niemcy, Czechy i pozostałe kraje UE, doświadczają recesji (tak jak to miało miejsce po roku 2008), eksport polskich produktów do tych państw najprawdopodobniej spadnie. Analogicznie poziom dochodu w danym kraju wpływa bezpośrednio na wielkość importu: wzrost dochodu powoduje wzrost importu, zaś spadek dochodu lub gwałtowne spowolnienie tempa wzrostu (co wystąpiło w Polsce w 2023 r.) będzie ograniczał wolumen importu. Względne ceny towarów na rynkach międzynarodowych również wpływają na wartość eksportu i importu. Jeśli polskie towary są relatywnie tańsze niż produkty wytwarzane w innych państwach, np. w wyniku postępu technicznego powodującego wzrost wydajności pracy, polski eksport prawdopodobnie wzrośnie. Jeśli polskie towary staną się relatywnie droższe, np. z powodu wzrostu cen czynników wytwórczych (kosztów pracy) lub w wyniku niekorzystnej z punktu widzenia przedsiębiorstw zmiany kursu walutowego polskiego złotego (dokładniej – umocnienia kursu złotego w stosunku do dolara i/lub euro), eksport Polski najprawdopodobniej spadnie. przedstawia listę czynników wpływających na cztery składniki popytu globalnego. Determinanty popytu globalnego Czynniki wpływające na spadek popytu globalnego Czynniki wpływające na wzrost popytu globalnego Konsumpcja Podwyżka podatków / zmniejszenie kwoty transferów Obniżka podatków / zwiększenie kwoty transferów Spadek dochodu Wzrost dochodu Podwyżka stóp procentowych Obniżka stóp procentowych Zwiększenie skłonności do oszczędzania Zmniejszenie skłonności do oszczędzania Zmniejszenie wartości majątku Zwiększenie wartości majątku Pogorszenie nastrojów dotyczących przyszłego dochodu Poprawa nastrojów dotyczących przyszłego dochodu Inwestycje Pesymistyczne przewidywania dotyczące popytu w przyszłości Optymistyczne przewidywania dotyczące popytu w przyszłości Podwyżka stóp procentowych Obniżka stóp procentowych Pogorszenie klimatu inwestycyjnego Poprawa klimatu inwestycyjnego Państwo Spadek wydatków sektora publicznego Wzrost wydatków sektora publicznego Wzrost wysokości podatków Spadek wysokości podatków Eksport netto Spadek dochodu u głównych partnerów handlowych Wzrost dochodu u głównych partnerów handlowych Relatywny wzrost cen w danym kraju Relatywny spadek cen w danym kraju Podsumowanie Popyt globalny jest sumą czterech składników: konsumpcji, inwestycji, wydatków państwa na dobra i usługi oraz eksportu netto. Konsumpcja zależy od wielu czynników, w tym dochodu rozporządzalnego gospodarstw domowych, podatków i transferów, oczekiwań dotyczących przyszłości oraz wartości majątku. Kluczową determinantą inwestycji jest opłacalność danego przedsięwzięcia, uzależniona od przewidywanej dynamiki wzrostu gospodarczego, tempa wdrażania nowych technologii, cen czynników wytwórczych i polityki podatkowej państwa. Inwestycje zmieniają się również wraz z wahaniami stóp procentowych. Czynniki polityczne wpływają z kolei na poziom wydatków państwa i wysokość obciążeń podatkowych. Eksport i import zależą od relacji względnych stóp wzrostu gospodarczego i względnych cen między krajami prowadzącymi wymianę handlową. Pytania sprawdzające Które z poniższych zdarzeń mogą doprowadzić – zgodnie z założeniami modelu keynesowskiego – do recesji, a które do inflacji? W odpowiedzi wykorzystaj wykres modelu AD-AS. Znaczny wzrost wartości nieruchomości będących w posiadaniu gospodarstw domowych Przyspieszenie tempa wzrostu gospodarczego w kraju będącym kluczowym partnerem handlowym Postęp techniczny powodujący wzrost opłacalności przedsięwzięć inwestycyjnych Wzrost stóp procentowych Znaczny spadek cen towarów importowanych do danego kraju Wzrost wartości nieruchomości zwiększy konsumpcję ze względu na wzrost wartości majątku. Krzywa AD przesunie się w prawo i może pojawić się inflacja – jeśli produkcja będzie zbliżona do poziomu potencjalnego. Przyspieszenie tempa wzrostu gospodarczego w kraju, który jest kluczowym partnerem handlowym, zwiększy popyt na eksport. Krzywa AD przesunie się w prawo i może pojawić się inflacja – jeśli produkcja będzie zbliżona do poziomu potencjalnego. Wzrost opłacalności przedsięwzięć inwestycyjnych spowoduje wzrost wydatków inwestycyjnych przedsiębiorstw. Krzywa AD przesunie się w prawo i może pojawić się inflacja, jeśli produkcja będzie zbliżona do poziomu potencjalnego. Wyższe stopy procentowe zmniejszają wydatki inwestycyjne. Krzywa AD przesunie się w lewo i może pojawić się recesja – jeśli produkcja spadnie poniżej poziomu potencjalnego. Zwiększa się popyt na tańszy import, a popyt na produkty wyprodukowane w kraju maleje. Krzywa AD przesunie się w lewo i może pojawić się recesja. Które z poniższych działań w ramach polityki gospodarczej są – zgodnie z modelem keynesowskim – remedium na wystąpienie recesji, a które właściwym narzędziem obniżania presji inflacyjnej? Wykorzystaj model AD-AS. Podwyżka podatku dochodowego od osób fizycznych Gwałtowny wzrost wydatków na zbrojenia Ulgi inwestycyjne dla przedsiębiorstw Znaczący wzrost wydatków państwa na ochronę zdrowia Podwyżka podatku dochodowego od osób fizycznych, przesuwając krzywą AD w lewo, spowoduje spadek konsumpcji. Jest to dobre narzędzie polityki antyinflacyjnej. Gwałtowny wzrost wydatków na zbrojenia to przykład wzrostu wydatków państwa na dobra i usługi. Efektem jest przesunięcie krzywej AD w prawo. Jeśli realny PKB jest niższy od potencjalnego, działanie takie zapobiegnie dalszemu występowaniu recesji. Jeśli realny PKB przekracza poziom potencjalny, krzywa AD przesunie się jeszcze bardziej w prawo i wzrośnie inflacja. Ulgi inwestycyjne dla przedsiębiorstw przesuną krzywą AD w prawo. Jeśli początkowa równowaga makroekonomiczna znajduje się poniżej potencjalnego PKB, takie działanie może pomóc wyprowadzić gospodarkę z recesji (lub jej zapobiec). Wyższe wydatki państwa na ochronę zdrowia powodują przesunięcie krzywej AD w prawo. Jeśli realny PKB jest niższy od potencjalnego, gospodarka zostanie wyciągnięta z recesji. Jeśli realny PKB przekracza poziom potencjalny, krzywa AD przesunie się jeszcze bardziej w prawo i wzrośnie inflacja. Sprawdź wiedzę Wymień kilka zdarzeń, które mimo że nie są bezpośrednio związane z polityką państwa, mogą spowodować zmianę popytu globalnego. Wymień kilka możliwych posunięć państwa, które przełożą się na zmianę popytu globalnego. Ćwicz myślenie krytyczne W raporcie The Conference Board pt. Global Economic Outlook (http://www.conference-board.org/data/globaloutlook.cfm) prognozowana stopa wzrostu gospodarczego Chin na lata 2015–2019 wynosi ok. 5,5% średniorocznie. International Business Times (http://www.ibtimes.com/us-exports-china-have-grown-294-over-past-decade-1338693) donosi, że Chiny są trzecim co do wielkości rynkiem eksportowym Stanów Zjednoczonych, a eksport z USA do Chin w latach 2003–2012 wzrósł o 294%. Wyjaśnij, jaki wpływ mają Chiny na gospodarkę USA. Jakie konsekwencje dla gospodarki amerykańskiej będzie miało osłabienie tempa wzrostu gospodarczego w Chinach? A co się stanie, jeśli dynamika wzrostu będzie się utrzymywać na niezmienionym poziomie? Bibliografia Mahapatra, Lisa. “US Exports To China Have Grown 294% Over The Past Decade.” International Business Times . Last modified July 09, 2013. http://www.ibtimes.com/us-exports-china-have-grown-294-over-past-decade-1338693. The Conference Board, Inc. “Global Economic Outlook 2014, November 2013.” http://www.conference-board.org/data/globaloutlook.cfm. Thomas, G. Scott. “Recession claimed 170,000 small businesses in two years.” The Business Journals . Last modified July 24, 2012. http://www.bizjournals.com/bizjournals/on-numbers/scott-thomas/2012/07/recession-claimed-170000-small.html. United States Department of Labor: Bureau of Labor Statistics. “Top Picks.” http://data.bls.gov/cgi-bin/surveymost?bls. dochód do dyspozycji zob. dochód rozporządzalny dochód rozporządzalny (ang. disposable income ) dochód uzyskany dzięki sprzedaży lub wynajmowi czynników produkcji (wynagrodzenia, zyski i renta gruntowa) powiększony o kwoty transferów publicznych i prywatnych, a pomniejszony o wartość podatków luka inflacyjna (ang. inflationary gap ) równowaga przy produkcji wyższej od potencjalnego PKB realny PKB (ang. real GDP ) wolumen dóbr i usług wytworzonych na terenie danego kraju luka recesyjna zob. luka deflacyjna luka deflacyjna (ang. recessionary gap ) równowaga przy produkcji niższej od potencjalnego PKB", "section": "Popyt globalny w modelu keynesowskim", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Najważniejsze elementy modelu keynesowskiego Po przeczytaniu tego podrozdziału będziesz w stanie: Wytłumaczyć, jak keynesiści postrzegają zjawisko recesji, zakładając sztywność (lepkość) cen i płac oraz kluczową rolę popytu globalnego Wyjaśnić znaczenie trzech zjawisk: problemu koordynacji związanej z obniżaniem płac, kosztów zmienianych jadłospisów oraz makroekonomicznych efektów zewnętrznych Zrozumieć działanie mnożnika wydatków autonomicznych Wiedząc, jakie są składniki popytu globalnego, wracamy do keynesowskiej analizy gospodarki z wykorzystaniem modelu popytu globalnego i podaży globalnej (AD-AS). Gospodarkę w ujęciu keynesowskim można także analizować za pomocą modelu wydatki-produkcja (ang. the expenditure-output model), czyli tzw. krzyża keynesowskiego (ang. Keynesian cross ). W tym celu zobacz ). Keynesowska interpretacja modelu AD-AS identyfikuje czynniki, z powodu których w gospodarce pojawiają się kryzysy i recesje, a także wskazuje narzędzia z zakresu polityki gospodarczej pozwalające na minimalizację niekorzystnych następstw tych zjawisk. Keynesowskie spojrzenie na recesję (ang. recession ) opiera się na dwóch kluczowych założeniach. Po pierwsze, popyt globalny nie zawsze w automatyczny sposób dostosowuje swoją wysokość w taki sposób, aby zachęcić przedsiębiorstwa do zwiększania zatrudniania aż do momentu, w którym bezrobocie przymusowe spadnie do zera. Po drugie, w konsekwencji wahań popytu globalnego gospodarka wraca do stanu równowagi długookresowej (tj. do stanu pełnego zatrudnienia osiąganego przy potencjalnym poziomie PKB) w relatywnie wolnym tempie, z uwagi na sztywne płace i ceny ( lepkie ) (ang. sticky wages and prices ). Sztywność (lepkość) płac i cen oznacza, że nie zmieniają się one pod wpływem zmian popytu globalnego. Przeanalizujemy po kolei te dwa założenia, a następnie zobaczymy, w jaki sposób są one uwzględnione w modelu AD-AS. Zgodnie z pierwszym założeniem szkoły keynesowskiej recesje występują wtedy, gdy popyt na dobra i usługi znajduje się poniżej poziomu odpowiadającemu pełnemu wykorzystaniu czynników wytwórczych. Innymi słowy, przecięcie krzywych popytu globalnego i podaży globalnej następuje przy poziomie PKB niższym niż w stanie pełnego zatrudnienia. Załóżmy, że mamy do czynienia z załamaniem się giełdy (jak w 1929 r.) lub rynku mieszkaniowego (jak w roku 2008). W obu przypadkach wartość majątku gospodarstw domowych zmniejsza się, a w ślad za tym maleją wydatki konsumpcyjne. Gdy przedsiębiorstwa dostrzegają spadek konsumpcji lub napotykają ograniczenia wynikające np. z pandemii, które redukują skalę działalności gospodarczej, pogarszają się ich oceny opłacalności inwestycji, co skutkuje spadkiem wydatków inwestycyjnych. Powyższa sytuacja wystąpiła podczas Wielkiego Kryzysu, gdy zdolności wytwórcze dotkniętych tym zjawiskiem gospodarek właściwie się nie zmieniły. W latach 1929–1930 nie było powodzi, trzęsienia ziemi czy innych klęsk żywiołowych rujnujących fabryki. Nie wybuchła epidemia, która zdziesiątkowałaby szeregi pracowników. Ceny kluczowych nakładów, np. ropy naftowej, nie wzrosły gwałtownie na rynkach światowych. Gospodarka Stanów Zjednoczonych w 1933 r. miała prawie taki sam stan fabryk, zasób pracowników i poziom technologii jak cztery lata wcześniej, w 1929 r. – a mimo to, biorąc pod uwagę wolumen produkcji, dramatycznie się skurczyła. Tak samo było w roku 2008. Jak zauważył Keynes, scenariusz zdarzeń obserwowanych podczas Wielkiego Kryzysu był sprzeczny z prawem Saya, zgodnie z którym „podaż kreuje popyt na samą siebie”. Chociaż gospodarka posiadała odpowiedni zasób czynników produkcji, ta – ze względu na niedobór popytu – była dużo niższa od poziomu potencjalnego. Odwiedź poniższą stronę internetową , aby zapoznać się z danymi umożliwiającymi samodzielne obliczenie wartości PKB. Sztywność (lepkość) cen i płac Zdaniem Keynesa ceny i płace nie reagują na wahania popytu globalnego natychmiast. Uważał on, że ceny i płace są „lepkie” (ang. sticky), co utrudnia powrót gospodarki do stanu pełnego zatrudnienia i potencjalnego PKB. Keynes podkreślał jeden szczególny powód, dla którego płace są lepkie: problem koordynacji (ang. coordination argument ). Problem koordynacji oznacza, że nawet jeśli większość ludzi byłaby skłonna – przynajmniej hipotetycznie – obniżyć swoje wynagrodzenia w czasach gorszej koniunktury, szczególnie gdyby wszyscy inni zatrudnieni również doświadczyli spadku wynagrodzeń, to jednak gospodarka rynkowa nie dysponuje metodą na wdrożenie planu skoordynowanych obniżek płac. W wskazany został szereg czynników ograniczających elastyczność płac przy próbie ich obniżenia. Większość z nich odnosi się do potencjalnego spadku zaangażowania pracowników i w konsekwencji ich produktywności, które miałyby być następstwem spadku wynagrodzeń. Niektórzy współcześni ekonomiści argumentują w duchu keynesowskim, że ceny produktów – podobnie jak płace – także mogą być lepkie. Wiele przedsiębiorstw, o ile nie wszystkie, nie zmienia cen codziennie ani nawet co miesiąc. Kiedy przedsiębiorstwo rozważa zmianę cen, musi wziąć pod uwagę dwa rodzaje kosztów. Po pierwsze, zmiana cen wymaga pewnych nakładów: menedżerowie muszą przeanalizować popyt rynkowy i zachowania konkurentów oraz odpowiednio ustalić nowe ceny, muszą zaktualizować broszury i ulotki reklamowe, zmienić zapisy w księgach rachunkowych oraz wymienić etykiety z cenami na półkach sklepowych lub produktach. Po drugie, częste zmiany cen mogą dezorientować i denerwować klientów, zwłaszcza jeśli odkryją oni, że produkt kosztuje teraz więcej, niż się spodziewali. Takie koszty zmiany cen nazywane są kosztami zmienianych jadłospisów (ang. menu costs ) (nazwa pochodzi od drukowania nowych kart dań z nowymi cenami w restauracjach). Ceny oczywiście reagują na wahania popytu i podaży, ale z perspektywy makroekonomicznej proces ich zmiany w całej gospodarce jest rozciągnięty w czasie. Aby zrozumieć wpływ sztywnych cen i płac na gospodarkę, przeanalizujmy . Panel (a) wykresu przedstawia rynek pracy, zaś panel (b) – rynek produktów. Początkowa równowaga (E 0 ) na każdym rynku występuje w punkcie przecięcia krzywej popytu (D 0 ) i krzywej podaży (S 0 ). Kiedy popyt globalny spada, krzywa popytu na pracę przesuwa się w lewo, do położenia D 1 na panelu (a), a krzywa popytu na produkt przesuwa się w lewo, do położenia D 1 na panelu (b). Jednak ze względu na lepkość płac i cen wynagrodzenia pozostają przez jakiś czas na swoim pierwotnym poziomie W 0 , a ceny – na poziomie P 0 . W rezultacie na rynku pracy oraz na rynku produktów pojawia się nadwyżka podaży, która oznacza, że oferowana ilość pracy lub produktów jest większa od zapotrzebowania przy danej płacy lub cenie. Ilość Q 1 jest mniejsza od Q 0 na panelach (a) i (b) . Jeśli sytuacja taka występuje na wielu rynkach, gospodarka znajduje się w recesji. Oznacza to, że przedsiębiorstwa nie mogą sprzedać takiej ilości, jaką chciałyby wyprodukować przy istniejącej cenie rynkowej, i nie chcą zatrudnić wszystkich pracowników, którzy chcieliby pracować przy istniejącej płacy. dokładniej omawia ten problem. Spadek popytu na rynku pracy i rynku produktów przy lepkich płacach i cenach Na panelach (a) i (b) wykresu krzywa popytu przesuwa się w lewo, z położenia D 0 do D 1 . Jednak płace na panelu (a) i ceny na panelu (b) nie spadają natychmiast. Na rynku pracy wielkość popytu na pracę przy początkowym poziomie wynagrodzenia (W 0 ) wynosi Q 0 , ale dla nowej krzywej popytu na pracę (D 1 ) jest to już tylko Q 1 . Na rynku produktów wielkość popytu przy początkowej cenie (P 0 ) wynosi Q 0 , ale dla nowej krzywej popytu (D 1 ) już tylko Q 1 . Na rynku pracy wystąpi nadwyżka podaży pracy, czyli bezrobocie. Na rynku produktów również pojawi się nadwyżka podaży, ponieważ wielkość zapotrzebowania jest znacznie mniejsza niż ilość oferowana. A zatem lepkie ceny i płace w połączeniu ze spadkiem popytu globalnego powodują bezrobocie i recesję. Dlaczego dostosowanie płac następowało w USA tak powoli? W Stanach Zjednoczonych ożywienie po globalnym kryzysie finansowym było stosunkowo powolne. Wielu relatywnie nisko opłacanych pracowników sektora usług, w przedsiębiorstwach takich jak McDonalds, Dominos i Walmart, zagroziło strajkiem w celu uzyskania wyższych wynagrodzeń. Ich trudna sytuacja była częścią szerszego trendu charakteryzującego wzrost zatrudnienia i płac w okresie ożywienia gospodarczego po głębokiej recesji. Miejsca pracy utracone i utworzone w okresie recesji lub ożywienia W wyniku globalnego kryzysu finansowego zlikwidowano przede wszystkim miejsca pracy osób o średnim poziomie wynagrodzeń, zaś w okresie następującym bezpośrednio po tej recesji utworzono głównie stanowiska niskopłatne. Dane dla Stanów Zjednoczonych wskazują, że podczas globalnego kryzysu finansowego 60% utraconych miejsc pracy dotyczyło stanowisk o średnim poziomie wynagrodzeń. Większość z nich została zastąpiona w okresie ożywienia gospodarczego niskopłatnymi miejscami pracy w usługach, handlu detalicznym oraz branży spożywczej. Wynagrodzenia w tych sektorach są równe lub zbliżone do płacy minimalnej i „lepkie” zarówno przy próbach ich obniżki, jak i podwyżki. Płace są lepkie przy próbach obniżki ze względu na przepisy dotyczące płacy minimalnej (nie można ich już zgodnie z prawem zmniejszyć). Są także lepkie przy próbach podwyżki, ponieważ niewielka konkurencja na rynku pracy dla osób o niskich kwalifikacjach pozwala pracodawcom unikać podnoszenia wynagrodzeń, co czynią chętnie, maksymalizując swoje zyski. Jednocześnie wskaźnik cen towarów i usług konsumpcyjnych w latach 2007–2012 wzrósł o 11%, obniżając płace realne tych pracowników. Dwa keynesowskie założenia w modelu AD-AS przedstawia sposób funkcjonowania modelu AD-AS, w który wbudowane zostały dwa fundamentalne keynesowskie założenia. Pierwszym z nich jest kluczowa rola popytu globalnego jako czynnika wywołującego recesję, drugim – sztywność cen i płac. Ze względu na lepkość cen i płac makroekonomiczna krzywa podaży globalnej jest bardziej płaska niż mikroekonomiczne krzywe podaży pracy lub konkretnego dobra. Gdy ceny i płace są na tyle lepkie, że w ogóle się nie zmieniają w odpowiedzi na przesunięcia krzywej popytu, krzywa podaży globalnej jest całkowicie płaska (pozioma) dla wszystkich rozmiarów produkcji niższych od potencjalnego poziomu PKB, jak pokazano to na . Konkluzja ta jest jednym z najważniejszych przykładów tzw. makroekonomicznego efektu zewnętrznego (ang. macroeconomic externality ), Polega on na tym, że ścieżka dostosowań parametrów makroekonomicznych do różnego rodzaju szoków (zmian) jest nie tylko odmienna, ale z punktu widzenia gospodarki również mniej korzystna od dostosowań na poziomie mikroekonomicznym. Jeśli popyt na dobra lub usługi produkowane przez konkretne przedsiębiorstwo spada, zazwyczaj nie ma ono żadnych problemów, aby obniżyć ceny i tym samym zwiększyć sprzedaż. Jednak jeśli wszystkie przedsiębiorstwa doświadczają spadku popytu na swoje produkty (popyt globalny się zmniejsza), lepkie ceny w całej gospodarce uniemożliwiają dostosowanie się popytu globalnego (co pokazalibyśmy jako ruch wzdłuż krzywej AD w kierunku niższych cen). Początkowa równowaga w gospodarce znajduje się w punkcie przecięcia krzywej popytu globalnego (AD 0 ) i krzywej podaży globalnej (AS). Ponieważ punkt przecięcia znajduje się na poziomie potencjalnego PKB (Y p ), w gospodarce występuje pełne zatrudnienie. Jednak kiedy popyt globalny przesuwa się w lewo, sztywne ceny i płace sprawiają, że realny PKB spada, zaś ceny w ogóle się nie zmieniają. Ponieważ nowa równowaga występuje przy produkcji równej Y 1 , pojawia się wysokie bezrobocie przymusowe. Keynesowski sposób postrzegania recesji Rysunek przedstawia sposób funkcjonowania modelu AD-AS, w który wbudowane zostały dwa kluczowe założenia ekonomii keynesowskiej. Recesja w gospodarce pojawia się, gdy popyt globalny spada z AD 0 do AD 1 . Spadek poziomu realnego PKB jest trwały, ze względu na założenie stałości cen i płac, co przekłada się na płaską krzywą SAS dla wszystkich rozmiarów produkcji poniżej poziomu potencjalnego. Uchylenie tego założenia umożliwiłoby obniżenie cen (i płac), czego skutkiem byłoby ograniczenie skali spadku PKB (recesji). Jeśli krzywa podaży globalnej jest pozioma, nowym punktem równowagi staje się E 1 , przy znacznie niższej od poziomu potencjalnego wartości PKB. Mnożnik wydatków autonomicznych Kluczową koncepcją w ekonomii keynesowskiej jest mnożnik wydatków autonomicznych ( mnożnik wydatków ) (ang. expenditure multiplier ). Nie chodzi tu jednak o proste stwierdzenie, że poziom wydatków wpływa na wartość PKB. Mnożnik pokazuje, że zmiana wydatków powoduje większą niż proporcjonalna zmianę PKB (wzrost wydatków o jednostkę pieniężną – dolara lub złotego – zwiększa wartość PKB o więcej niż jednego dolara lub złotego). A zatem: ΔY ΔWydatki > 1 Zgodnie z mechanizmem mnożnikowym wydatki jednej osoby stają się dochodem innych osób, co prowadzi do wzrostu wydatków tych osób, które przekładają się na kolejny wzrost dochodów, co przekłada się na kolejny wzrost wydatków itd. W konsekwencji skumulowany wpływ pierwotnego impulsu na PKB jest większy niż wartość tego impulsu. Dodatek dotyczący modelu wydatki-produkcja ( ) zawiera szczegółowe informacje na temat mechanizmu mnożnikowego, ale koncepcja ta jest na tyle ważna, że wspominamy o niej już teraz. Z mechanizmem mnożnikowym mamy do czynienia zawsze wtedy, gdy następuje zmiana wydatków autonomicznych, czyli takich, które są niezależne od bieżącego dochodu (przede wszystkich inwestycji i wydatków państwa). Dlatego też znajomość koncepcji mnożnika jest kluczowa dla zrozumienia skuteczności polityki fiskalnej. Mechanizm mnożnikowy działa oczywiście zarówno wtedy, gdy wydatki rosną (zwiększając ponadproporcjonalnie wartość PKB), jak i wtedy, gdy maleją (ponadproporcjonalnie zmniejszając wartość PKB). Na przykład załamanie wydatków inwestycyjnych podczas Wielkiego Kryzysu spowodowało spadek realnego PKB znacznie większy niż kwota, o którą te inwestycje się zmniejszyły. W analizie skutków polityki gospodarczej istotna jest wartość mnożnika. Była ona ważnym elementem dyskusji na temat skuteczności fiskalnego pakietu stymulacyjnego wprowadzonego w USA za prezydentury Baracka Obamy. Podsumowanie Ekonomia keynesowska opiera się na dwóch głównych założeniach. Po pierwsze, krótkookresowe wahania produkcji są przede wszystkim konsekwencją zmian popytu globalnego, co oznacza, że główną przyczyną recesji jest właśnie spadek popytu. Po drugie, płace i ceny są lepkie (sztywne), co prowadzi do wzrostu bezrobocia w okresach spowolnienia gospodarczego. Ten wzrost bezrobocia jest przykładem makroekonomicznego efektu zewnętrznego. O ile nadwyżka podaży powoduje zwykle spadek cen na poziomie mikroekonomicznym, o tyle w skali makro efekt taki nie musi wystąpić. Zgodnie z założeniami modelu keynesowskiego rezultatem spadku popytu globalnego na poziomie makroekonomicznym jest zmniejszenie produkcji, a nie obniżenie poziomu cen. Jednym z powodów, dla których ceny mogą być lepkie, są koszty zmienianych jadłospisów. Obejmują one koszty wewnętrzne ponoszone przez przedsiębiorstwo w związku ze zmianą etykiet, nową dokumentacją księgową, a także koniecznością poinformowania (prawdopodobnie niezadowolonych) konsumentów o nowych cenach. Keynesiści są również przekonani, że w gospodarce działa mechanizm mnożnika wydatków, czyli koncepcja, zgodnie z którą zmiana wydatków autonomicznych powoduje ponadproporcjonalną zmianę wartości PKB. Pytania sprawdzające Wykorzystując model AD-AS, wyjaśnij, jak powstaje luka inflacyjna, jeśli gospodarka w punkcie startu analizy znajduje się w równowadze takiej jak na . Luka inflacyjna jest wynikiem wzrostu popytu globalnego w sytuacji, gdy produkcja znajduje się na poziomie potencjalnym. Ponieważ krzywa podaży globalnej (AS) jest pionowa przy potencjalnym PKB, każdy wzrost AD doprowadzi do wyższego poziomu cen (tj. inflacji) przy niezmienionym poziomie realnego PKB. Łatwo to dostrzec, jeśli narysujesz nową krzywą AD 1 na prawo od AD 0 . Załóżmy, że państwo obniża wydatki, aby zlikwidować deficyt budżetowy. Użyj modelu AD-AS, aby pokazać prawdopodobne konsekwencje takiego posunięcia dla poziomu produkcji i zatrudnienia. Wskazówka: wykorzystaj . Spadek wydatków państwa przesuwa krzywą AD w lewo. Sprawdź wiedzę Jaka jest – zgodnie z założeniami modelu keynesowskiego – główna przyczyna recesji: spadek popytu globalnego czy spadek podaży globalnej? Uzasadnij swoją odpowiedź. Dlaczego lepkie ceny i płace wzmacniają negatywny wpływ spadku popytu globalnego na poziom bezrobocia i skalę recesji? Wyjaśnij, co ekonomiści rozumieją przez termin „koszty zmienianych jadłospisów”. Ćwicz myślenie krytyczne Czy założenie, zgodnie z którym płace są lepkie wyłącznie przy próbie ich obniżki, ma sens? Uzasadnij swoją odpowiedź. Załóżmy, że w gospodarce znajdującej się na poziomie potencjalnego PKB rośnie eksport. W jaki sposób produkcja przeznaczona na eksport może wzrosnąć w odpowiedzi na powiększający się popyt, biorąc pod uwagę to, że gospodarka jest już w stanie pełnego zatrudnienia? Bibliografia Harford, Tim. “What Price Supply and Demand?” http://timharford.com/2014/01/what-price-supply-and-demand/?utm_source=dlvr.it&utm_medium=twitter. National Employment Law Project. “Job Creation and Economic Recovery.” http://www.nelp.org/index.php/content/content_issues/category/job_creation_and_economic_recovery/. problem koordynacji (ang. coordination argument ) niemożliwa do osiągnięcia doskonała informacja o skali obniżki cen i wynagrodzeń akceptowalnej dla innych pracowników i uczestników rynku w sytuacji, w której taka obniżka jest niezbędna i uzasadniona kondycją gospodarki mnożnik wydatków autonomicznych (mnożnik wydatków) (ang. expenditure multiplier ) keynesowska koncepcja, zgodnie z którą zmiana wydatków autonomicznych powoduje więcej niż proporcjonalną zmianę realnego PKB mnożnik keynesowski zob. mnożnik wydatków autonomicznych makroekonomiczny efekt zewnętrzny (ang. macroeconomic externality ) występuje, gdy ścieżka dostosowań na poziomie makroekonomicznym jest inna i prowadzi do negatywnych – w porównaniu z dostosowaniami na poziomie mikro – konsekwencji; przykładem mogą być dodatnio nachylone krzywe podaży przedsiębiorstw, przekształcające się w wyniku agregacji (połączenia) w płaską krzywą podaży globalnej, co sprawia, że ceny w gospodarce nie spadają w okresach recesji i nie stymulują popytu globalnego koszty zmienianych jadłospisów (ang. menu costs ) koszty ponoszone przez przedsiębiorstwa w związku ze zmianami cen koszty menu zob. koszty zmienianych jadłospisów lepkie (sztywne) ceny i płace (ang. sticky wages and prices ) sytuacja, w której ceny i płace pozostają stałe niezależnie od zmian popytu, czyli nie rosną w odpowiedzi na jego wzrost i nie maleją na skutek jego spadku", "section": "Najważniejsze elementy modelu keynesowskiego", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Krzywa Phillipsa Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić mechanizm krzywej Phillipsa i jej znaczenie dla ekonomii keynesowskiej Narysować krzywą Phillipsa Zidentyfikować czynniki, które przekładają się na brak stabilności krzywej Phillipsa Opisać metody ograniczania bezrobocia i inflacji zgodne z założeniami ekonomii keynesowskiej Uproszczona wersja modelu AD-AS, którą wykorzystywaliśmy do tej pory, jest w pełni zgodna z oryginalnym podejściem Keynesa. Przeprowadzone w drugiej połowie XX w. badania wykazały jednak, że w rzeczywistości krzywa podaży globalnej nie łamie się pod kątem prostym, jak zostało to przedstawione w dotychczasowej części niniejszego rozdziału, lecz jest łagodnie zakrzywiona. W realnie istniejących gospodarkach krzywa AS jest faktycznie niemal płaska przy poziomach produkcji znacznie odbiegających in minus od poziomu potencjalnego („obszar keynesowski”), niemal pionowa przy wolumenie produkcji powyżej poziomu potencjalnego („obszar neoklasyczny”) i nachylona dodatnio (zakrzywiona) pomiędzy nimi („obszar pośredni”), spójrz na . Taki właśnie kształt (określany często jako typowy) krzywej podaży globalnej prowadzi nas do koncepcji krzywej Phillipsa. Obszary: keynesowski, neoklasyczny i pośredni na wykresie krzywej podaży globalnej Obszar keynesowski znajduje się najbliżej początku układu współrzędnych, obszar pośredni leży na środku wykresu, zaś obszar neoklasyczny jest położony po prawej stronie. W pobliżu punktu równowagi E k , tj. na obszarze keynesowskim znajdującym się po lewej stronie krzywej SAS, niewielkie przesunięcia krzywej AD w prawo lub w lewo doprowadzą do dużych zmian wielkości produkcji Y k , ale nie wpłyną znacząco na poziom cen. Na obszarze keynesowskim wielkość produkcji jest determinowana przede wszystkim przez popyt globalny. Z kolei w pobliżu punktu równowagi E n , tj. na obszarze neoklasycznym, występującym po prawej stronie krzywej SAS, niewielkie przesunięcia krzywej AD w prawo lub w lewo wywierają stosunkowo niewielki wpływ na wielkość produkcji Y n , ale silnie oddziałują na poziom cen. Na obszarze neoklasycznym prawie pionowa krzywa SAS, której przebieg niemal pokrywa się z poziomem potencjalnego PKB (reprezentowanego przez linię LAS), w dużej mierze determinuje wielkość produkcji. Wreszcie w strefie pośredniej, wokół punktu równowagi E i , przesunięcia krzywej AD w prawo powodują wzrost zarówno produkcji, jak i cen, zaś ruchy AD w lewo prowadzą do jednoczesnego spadku produkcji i cen. Odkrycie krzywej Phillipsa W latach 50. XX w. A.W. Phillips , ekonomista z London School of Economics, analizował keynesowski model funkcjonowania gospodarki. Wnioski wypływające z tego podejścia sugerowały, że podczas recesji presja inflacyjna jest niska, ale kiedy poziom produkcji jest równy lub nawet wyższy od potencjalnego, gospodarka staje się bardziej narażona na inflację. Phillips, wiedziony genialną intuicją, prześledził dane obrazujące stopy inflacji i bezrobocia w Wielkiej Brytanii z poprzednich 60 lat i odkrył relację wymienną pomiędzy tymi parametrami. To właśnie ta relacja wymienna (czasami nazywana wyborem typu „coś za coś”) jest znana jako krzywa Phillipsa (ang. Phillips curve ). Krzywą Phillipsa w teoretycznym ujęciu przedstawia . Poniższa ramka „Krok po kroku” pokazuje sposób wyznaczenia krzywej Phillipsa dla gospodarki Stanów Zjednoczonych. Krzywa Phillipsa ukazująca keynesowską relację wymienną pomiędzy bezrobociem a inflacją Krzywa Phillipsa pokazuje relację wymienną pomiędzy stopą bezrobocia a stopą inflacji. Oznacza ona, że jeśli jeden parametr rośnie, drugi maleje. Na przykład w punkcie A stopa inflacji wynosi 5%, a stopa bezrobocia 4%. Jeśli państwo spróbuje obniżyć inflację do 2%, nastąpi wzrost bezrobocia do 7%, co ilustruje punkt B. Krzywa Phillipsa dla Stanów Zjednoczonych Krok 1. Odwiedź poniższą tę stronę internetową , aby zapoznać się z „Raportem ekonomicznym Prezydenta Stanów Zjednoczonych z 2005 r.”. Krok 2. Przewiń stronę w dół i znajdź Tabelę B-63 w Dodatku. Tabela nosi tytuł „Zmiany wskaźników cen konsumpcyjnych w latach 1960–2004” (Changes in special consumer price indexes, 1960–2004). Krok 3. Pobierz tabelę w formacie Excel, wybierając opcję XLS, a następnie wskazując na lokalizację, w której plik ma zostać zapisany. Krok 4. Otwórz pobrany plik Excel. Krok 5. Wyświetl trzecią kolumnę, zatytułowaną „Rok do roku” (Year to year). Jest w niej zawarta informacja o rocznych stopach inflacji mierzonych procentową zmianą wskaźnika cen towarów i usług konsumpcyjnych (CPI). Krok 6. Wróć do strony głównej i przewiń ją w dół, aby znaleźć Tabelę B-42 „Stopa bezrobocia w latach 1959–2004” (Civilian unemployment rate, 1959–2004) w Dodatku. Krok 7. Pobierz tabelę w formacie Excel. Krok 8. Otwórz pobrany plik Excela i spójrz na drugą kolumnę. Zawiera ona informacje o stopie bezrobocia. Krok 9. Na podstawie danych z tych dwóch tabel wykreśl krzywą Phillipsa dla lat 1960–1969, umieszczając stopę bezrobocia na osi poziomej (x), a stopę inflacji na osi pionowej (y). Twój wykres powinien wyglądać tak jak . Krzywa Phillipsa w gospodarce amerykańskiej w latach 1960–1969 Wykres pokazuje ujemną zależność pomiędzy bezrobociem a inflacją. Krok 10. Narysuj krzywą Phillipsa dla lat 1960–1979. Jak teraz wygląda wykres? Czy nadal widzisz relację wymienną pomiędzy inflacją a bezrobociem? Twój wykres powinien wyglądać tak jak . Krzywa Phillipsa w USA w latach 1960–1979 Relacja wymienna pomiędzy inflacją a bezrobociem przestała istnieć, gdyż przy danym poziomie bezrobocia inflacja przyjmowała różne wartości, zaś krzywa Phillipsa przesunęła się w prawą stronę. Wydaje się, że w długim okresie krzywa Phillipsa się przesunęła. Relacja wymienna pomiędzy bezrobociem a inflacją zanikła. Brak stabilności krzywej Phillipsa W latach 60. XX w. ekonomiści postrzegali krzywą Phillipsa jako element teorii uzasadniający wybór określonej kombinacji polityki gospodarczej (swoistą kartę menu w polityce gospodarczej). Społeczeństwo mogło wybierać między niską inflacją i wysokim bezrobociem, wysoką inflacją i niskim bezrobociem lub wariantami pośrednimi. Państwo mogło wykorzystywać politykę fiskalną i pieniężną, aby przesuwać się w górę lub w dół wzdłuż krzywej Phillipsa, zgodnie z preferencjami obywateli. Jednak na początku lat 70. zdarzyło się coś nieoczekiwanego. Pomimo zastosowania zestawu narzędzi polityki gospodarczej analogicznego do wykorzystywanych wcześniej doszło do zwiększenia zarówno stopy inflacji, jak i bezrobocia (zdarzyło się zatem coś, co było całkowicie sprzeczne z założeniami wbudowanymi w krzywą Phillipsa, czyli wyborem typu „coś za coś”). Jak to się stało? Otóż krzywa Phillipsa przesunęła się w prawo. Gospodarka USA doświadczyła wzrostu inflacji i bezrobocia, gdy wpadła w głęboką recesję w latach 1973–1975 oraz ponownie w czasie wtórnych recesji w okresie 1980–1982. Wiele krajów na całym świecie odnotowało podobny wzrost bezrobocia i inflacji. Taki schemat określono mianem stagflacji (ang. stagflation ). (Przypomnij sobie z rozdziału, w którym wprowadziliśmy model AD-AS ( ). że stagflacja jest groźną kombinacją wysokiego bezrobocia i wysokiej inflacji). Być może najważniejsze jest jednak to, że stagflacja okazała się zjawiskiem, którego tradycyjna ekonomia keynesowska nie potrafiła wyjaśnić. Ostatecznie ekonomiści doszli do wniosku, że przesunięcie krzywej Phillipsa jest konsekwencją działania dwóch czynników. Pierwszym z nich są szoki podażowe, takie jak kryzys naftowy z pierwszej połowy lat 70. XX w., który po raz pierwszy wprowadził do słownika ekonomicznego termin „stagflacja”. Drugim – zmiany w oczekiwaniach inflacyjnych społeczeństwa. Innymi słowy, relacja wymienna między bezrobociem a inflacją może się utrzymywać, dopóty społeczeństwo nie spodziewa się inflacji. Kiedy jednak ludzie zorientują się, że inflacja występuje, relacja wymienna zanika. Oba czynniki (szoki podażowe i zmiany oczekiwań inflacyjnych) powodują przesunięcie krzywej podaży globalnej, a tym samym krzywej Phillipsa. Krótko mówiąc, krzywa Phillipsa o klasycznym, ujemnym nachyleniu dobrze opisuje zachowanie gospodarki w krótkich, kilkuletnich okresach. W dłuższej perspektywie czasowej, gdy podaż globalna ulega istotnym wahaniom, opadająca krzywa Phillipsa może się przesunąć tak, że zarówno bezrobocie, jak i inflacja będą wyższe (np. w latach 70. i na początku lat 80. XX w.) lub niższe (jak na początku lat 90. ub. stulecia lub w pierwszej dekadzie XXI w.). Keynesowskie sposoby ograniczania bezrobocia i inflacji Ekonomia keynesowska dowodzi, że receptą na wyjście z recesji jest ekspansywna polityka fiskalna (ang. expansionary fiscal policy ), czyli obniżenie podatków w celu pobudzenia konsumpcji i inwestycji lub bezpośredni wzrost wydatków państwa, co przesunie krzywą popytu globalnego w prawo. Na przykład, jeśli początkową krzywą popytu globalnego jest AD r na , to gospodarka znajduje się w recesji, a właściwą polityką państwa będzie przesunięcie krzywej popytu globalnego w prawo, z położenia AD r do AD f , co umożliwi gospodarce osiągnięcie poziomu potencjalnego PKB i pełne zatrudnienie. Zdaniem Keynesa najlepiej byłoby wydawać dodatkowe środki na budowę mieszkań, dróg i inne ważne potrzeby społeczne. Jednocześnie twierdził jednak, że jeśli rząd nie może dojść do porozumienia w sprawie praktycznego sposobu wydawania pieniędzy, może je również przeznaczyć na niepotrzebne rzeczy. Keynes sugerował np. budowanie pomników, m.in. współczesnych odpowiedników egipskich piramid. Proponował także, aby rząd zakopał pieniądze pod ziemią i pozwolił przedsiębiorstwom górniczym je wydobywać. Te żartobliwe sugestie miały podkreślać, że Wielki Kryzys to nie czas na spieranie się o szczegóły rządowych programów wzrostu wydatków i obniżki podatków. Nadrzędnym celem w tym okresie powinno być zwiększenie popytu globalnego, aby gospodarka osiągnęła potencjalny PKB (ang. potential GDP ). Ograniczanie skali recesji i inflacji za pomocą narzędzi polityki keynesowskiej Jeśli gospodarka pogrążona jest w recesji i równowaga występuje w punkcie E r , wówczas zgodnie z podejściem keynesowskim państwo powinno zastosować politykę skutkującą przesunięciem krzywej popytu globalnego w prawo, z położenia AD r do AD f . Jeśli gospodarka doświadcza inflacji z równowagą w punkcie E i , polityka zgodna z założeniami modelu keynesowskiego powinna objąć przesunięcie krzywej popytu globalnego w lewo, z położenia AD i do AD f . W analogiczny sposób podejście keynesowskie można zastosować, gdy gospodarka znajduje się powyżej poziomu potencjalnego PKB. W takiej sytuacji bezrobocie jest niskie, a zagrożeniem jest inflacja. Zgodnie z założeniami modelu keynesowskiego państwo powinno wówczas prowadzić restrykcyjną politykę fiskalną (ang. contractionary fiscal policy ), polegającą na podwyższeniu podatków lub obniżeniu wydatków w celu przesunięcia krzywej popytu globalnego w lewo. Rezultatem będzie obniżenie poziomu cen przy nieznacznym spadku produkcji i niewielkim wzroście bezrobocia. Jeśli popyt globalny znajduje się początkowo w położeniu AD i na , czyli gospodarka doświadcza inflacji, właściwą polityką państwa jest przesunięcie krzywej popytu globalnego w lewo, z położenia AD i do położenia AD f , co prowadzi do obniżenia cen przy utrzymaniu pełnego zatrudnienia. W keynesowskim modelu gospodarki zbyt mały popyt globalny powoduje bezrobocie, a zbyt duży – inflację. Można więc myśleć o ekonomii keynesowskiej w kategoriach poszukiwania optymalnego poziomu popytu globalnego, który nie będzie ani za niski, ani za wysoki, pozwalając na osiągnięcie pożądanych wyników makroekonomicznych. Podsumowanie Krzywa Phillipsa ilustruje relację wymienną pomiędzy bezrobociem a inflacją. Założenia modelu keynesowskiego determinują ujemne nachylenie krzywej Phillipsa, tak aby wyższe bezrobocie oznaczało niższą inflację i odwrotnie. Jednak taki kształt krzywej Phillipsa, chociaż w krótkim okresie prawdziwy, w perspektywie długookresowej, kiedy krzywa Phillipsa przesuwa się w prawo i/lub w lewo, najczęściej nie występuje. Zgodnie z modelem keynesowskim remedium na recesję jest ekspansywna polityka fiskalna, czyli obniżka podatków pobudzająca konsumpcję i inwestycje oraz/lub wzrost wydatków państwa. Taka polityka przesuwa krzywą popytu globalnego w prawo. Analogicznie jeśli gospodarka znajduje się powyżej poziomu potencjalnego PKB, czyli gdy bezrobocie jest niskie, a zagrożenie stanowi inflacja, również można zastosować rozwiązania wynikające z założeń modelu keynesowskiego. W takiej sytuacji państwo powinno prowadzić restrykcyjną politykę fiskalną polegającą na zwiększeniu podatków lub obniżeniu wydatków w celu przesunięcia krzywej AD w lewo. Pytania sprawdzające Jak na krzywą Phillipsa wpłynąłby spadek cen energii? Spadek cen energii, czyli pozytywny szok podażowy, spowodowałby przesunięcie krzywej AS w prawo, co oznacza uzyskanie wyższego realnego PKB przy niższym poziomie cen. To przesunęłoby krzywą Phillipsa w dół, w kierunku początku układu współrzędnych. W efekcie w gospodarce zmniejszyłoby się zarówno bezrobocie, jak i inflacja. Sprawdź wiedzę Jaką relację wymienną ilustruje krzywa Phillipsa? Czy spodziewasz się, że dane dotyczące długiego okresu potwierdzą istnienie trwałej, nachylonej ujemnie (w dół) krzywej Phillipsa? Jaki jest keynesowski sposób na wyjście z recesji? A jaki na inflację? Ćwicz myślenie krytyczne Czy uważasz, że krzywa Phillipsa również dziś jest użytecznym narzędziem analizy gospodarki? Uzasadnij swoją odpowiedź. Bibliografia Hoover, Kevin. “Phillips Curve.” The Concise Encyclopedia of Economics . http://www.econlib.org/library/Enc/PhillipsCurve.html. U.S. Government Printing Office. “Economic Report of the President.” http://1.usa.gov/1c3psdL. restrykcyjna polityka fiskalna (ang. contractionary fiscal policy ) podwyżka podatków i/lub cięcia wydatków państwa mające na celu zmniejszenie popytu globalnego i spadek poziomu cen (obniżenie inflacji) ekspansywna polityka fiskalna (ang. expansionary fiscal policy ) obniżka podatków lub wzrost wydatków państwa mające na celu pobudzenie popytu globalnego i wyprowadzenie gospodarki z recesji krzywa Phillipsa (ang. Phillips curve ) odwrotna zależność pomiędzy wielkością bezrobocia i inflacji", "section": "Krzywa Phillipsa", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Funkcjonowanie rynku z perspektywy keynesowskiej Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, jak mechanizm rynkowy działa w ramach keynesowskiego modelu gospodarki Analizować rolę polityki makroekonomicznej państwa w gospodarce Od narodzin ekonomii keynesowskiej w latach 30. XX w. narastały kontrowersje dotyczące zakresu interwencji państwa w gospodarce. Po Wielkim Kryzysie, który przyniósł bardzo wysoką stopę bezrobocia i wywołaną nim nędzę, wielu ludzi – w tym liczni ekonomiści – stało się bardziej świadomych słabości rynkowego mechanizmu koordynacji gospodarczej. Niektórzy zwolennicy ekonomii keynesowskiej opowiadali się w związku z tym za bardzo daleko idącą ingerencją państwa we wszystkie obszary gospodarki. Sam Keynes uważał jednak, że należy oddzielić kwestię wpływu zagregowanego popytu na wielkość produkcji globalnej od wątpliwości dotyczących efektywności funkcjonowania konkretnych mikroekonomicznych rynków. Twierdził on, że poszczególne rynki dóbr i usług mogą z zasady funkcjonować w sposób efektywny, co nie zmienia tego, że czasem poziom popytu globalnego jest po prostu zbyt niski. Argumentował, że kiedy 10 mln ludzi chce i jest w stanie pracować, ale dla miliona z nich pracy nie ma, poszczególne rynki mogą sobie doskonale radzić z alokacją 9 mln pracowników. Problem polega jednak na tym, że istnieje niewystarczający popyt globalny, aby pracę znalazł ten dziesiąty milion. Dlatego Keynes uważał, że rząd powinien zapewnić taki poziom popytu globalnego, aby w gospodarce pojawiło się pełne zatrudnienie (które, jak wiemy, nie oznacza, że zjawisko bezrobocia nie występuje). Nie twierdził jednak, że rząd powinien ustalać ceny i płace w całej gospodarce czy też przejmować i bezpośrednio zarządzać dużymi korporacjami lub całymi branżami. Nawet jeśli zgadzamy się z ekonomią keynesowską, wiele pytań pozostaje bez odpowiedzi. Czy w prawdziwym świecie ekonomiści mogą dokładnie określić poziom potencjalnego PKB? Czy lepszą metodą osiągnięcia pożądanego wzrostu popytu globalnego jest obniżka podatków, czy zwiększenie wydatków państwa? Czy rozsądne jest oczekiwanie, że rząd będzie w stanie wdrożyć we właściwym momencie działania zalecane przez ekonomię keynesowską? Zwłaszcza że nieuniknione są niepewność i opóźnienia, związane choćby z czasem, jaki musi minąć pomiędzy pojawieniem się w gospodarce niekorzystnych zjawisk a momentem, w którym efekt przyniosą zastosowane przez rząd narzędzia. Czy zakończenie recesji naprawdę jest takie proste, jak opisują to zwolennicy keynesowskich rozwiązań? Kwestie te zostaną omówione w . Podejście keynesowskie, skupiające się na popycie globalnym i lepkich cenach, okazało się przydatne w zrozumieniu wahań gospodarczych w krótkim okresie oraz przyczyn występowania recesji i bezrobocia cyklicznego. W kolejnym rozdziale przeanalizujemy niektóre ograniczenia keynesowskiego sposobu interpretacji modelu AD-AS i wyjaśnimy, dlaczego jest on nieodpowiedni do analizy zjawisk makroekonomicznych w długim okresie. Keynesowska perspektywa recesji wywołanej globalną pandemią Spowodowana przez globalną pandemię recesja z roku 2020 była niewątpliwie wyjątkowa. W przeciwieństwie do globalnego kryzysu finansowego z lat 2007–2009, wykorzystywanego jako empiryczne uzasadnienie teorii omawianej w niniejszym rozdziale, nie została ona zapoczątkowana przez pęknięcie bańki na rynku nieruchomości ani załamanie na giełdzie. Jej źródłem stał się wirus, który przyniósł śmierć milionom ludzi na całym świecie i wymagał wdrożenia absolutnie niestandardowych narzędzi polityki społecznej w celu kontroli i ograniczenia tempa rozprzestrzeniania się tego patogenu. W pewnym sensie na ostatnią recesję miały wpływ wahania zagregowanego popytu. W momencie jej największego nasilenia, w kwietniu 2020 r., ponad 20 mln ludzi w USA było bezrobotnych, co spowodowało ogromny spadek konsumpcji i tym samym zagregowanego popytu. Ponieważ przedsiębiorstwa zostały zmuszone do wstrzymania działalności lub jej przeniesienia do przestrzeni wirtualnej, wiele podmiotów całkowicie wstrzymało inwestycje, gdyż jakiekolwiek przewidywania przyszłości wydawały się niemożliwe. Rząd federalny próbował ograniczyć gigantyczną skalę załamania zagregowanego popytu poprzez pożyczki dla małych i średnich przedsiębiorstw, bezpośrednią pomoc dla stanów i samorządów, rozszerzone ubezpieczenie od bezrobocia i czeki stymulacyjne. W wyniku tych wszystkich działań gospodarka była w stanie nieco się odbić w drugiej połowie roku. Jednak jeszcze na początku roku 2022 miliony ludzi pozostawało w USA bez pracy, gdyż w gospodarce utrzymywała się niepewność dotycząca możliwej kolejnej fali epidemii wskutek pojawienia się nowych wariantów koronawirusa. Wykorzystywane narzędzia były zgodne z keynesowskim podejściem do gospodarki. Państwo próbowało wspierać popyt globalny, odbudowując aktywność gospodarczą i stymulując wzrost zatrudnienia. Niestety, wzrost napięcia międzynarodowego i zbrojna napaść Rosji na Ukrainę w lutym 2022 r. postawiły przed gospodarką światową kolejne trudne wyzwania. Podsumowanie Keynesowskie sposoby stabilizowania gospodarki wokół poziomu potencjalnego PKB zakładają aktywną interwencję państwa. Polega ona na zwiększaniu popytu globalnego (bezpośrednio, przez wyższe wydatki na zakup dóbr i usług, lub pośrednio, drogą stymulacji konsumpcji i inwestycji niższymi podatkami i wyższymi transferami), gdy maleją wydatki prywatne, i zmniejszaniu popytu globalnego, gdy wydatki prywatne rosną. Nie oznacza to, że rząd powinien regulować poziom cen i wielkość produkcji na poszczególnych rynkach. Pytania sprawdzające Czy ekonomia keynesowska wymaga, aby państwo kontrolowało poziom cen, płac lub stóp procentowych? Ekonomia keynesowska nie wymaga żadnej kontroli cen. Zgodnie z ekonomią keynesowską państwo powinno jedynie wpływać na wielkość popytu globalnego w gospodarce poprzez politykę fiskalną – poziom swoich wydatków i wysokość podatków. Wymień trzy praktyczne problemy związane z realizacją rekomendacji formułowanych przez zwolenników keynesowskiego podejścia do modelu AD-AS. Problemy dotyczą np.: (a) zdolności państwa do oszacowania poziomu potencjalnego PKB, (b) ustalenia kanałów oddziaływania państwa na popyt globalny (czy lepiej jest zmieniać wysokość podatków, czy rozmiary wydatków państwa), (c) opóźnień związanych z tym, że efektywne wdrożenie narzędzi polityki gospodarczej stymulujących popyt globalny wymaga czasu. Sprawdź wiedzę W jaki sposób ekonomia keynesowska odnosiła się do zawodności rynku podczas Wielkiego Kryzysu? Ćwicz myślenie krytyczne Zajrzyj jeszcze raz do Raportu ekonomicznego Prezydenta Stanów Zjednoczonych omówionego w Ramce „Krok po kroku” pt. „Krzywa Phillipsa dla Stanów Zjednoczonych” w poprzednim podrozdziale. Jak według ciebie w ciągu ostatnich kilkunastu lat zmieniły się wydatki publiczne w USA? Wyjaśnij, jakie działania może podjąć państwo w celu przywrócenia rozmiarów popytu globalnego do poziomu zapewniającego pełne zatrudnienie i jakie potencjalne przeszkody mogą napotkać politycy gospodarczy realizujący taką strategię. Bibliografia Blinder, Alan S., and Mark Zandi. “How the Great Recession Was Brought to an End.” Last modified July 27, 2010. http://www.princeton.edu/~blinder/End-of-Great-Recession.pdf.", "section": "Funkcjonowanie rynku z perspektywy keynesowskiej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Skutki globalnego kryzysu finansowego Jedną z najbardziej widocznych konsekwencji kryzysu w USA było załamanie się rynku mieszkaniowego; wiele ludzi było zmuszonych do opuszczenia swoich domów lub do wstrzymania prac budowlanych. (Źródło: modyfikacja pracy A. McLin/Flickr Creative Commons). Żeglując po nieznanych wodach Według amerykańskiego Narodowego Biura Badań Ekonomicznych (ang. National Bureau of Economic Research (NBER) , kryzys finansowy trwał w Stanach Zjednoczonych 18 miesięcy i zakończył się w czerwcu 2009 r. Ogólny stan gospodarki Stanów Zjednoczonych NBER ocenia na podstawie analiz miar aktywności gospodarczej, m.in. dochodów realnych, sprzedaży hurtowej i detalicznej, zatrudnienia i produkcji przemysłowej. Po zakończeniu kryzysu stało się jasne, że główną jego przyczyną było załamanie rynku mieszkaniowego i upadek instytucji kredytowych systemu finansowego. Chociaż źródła kryzysu były charakterystyczne dla gospodarki amerykańskiej, rozszerzył się on na niemal całą światową gospodarkę, doprowadzając np. Grecję do praktycznego bankructwa. W Polsce nie doszło do recesji, natomiast tempo wzrostu gospodarczego obniżyło się do jednego procenta rocznie, co doprowadziło do szybkiego wzrostu stopy bezrobocia. Podczas gdy z nowojorskiej giełdy znikały kolejne biliony dolarów, konsumpcja gwałtownie spadała, a przedsiębiorstwa zaczęły zwalniać pracowników, politycy amerykańscy toczyli boje o to, w jaki sposób zapobiec rozszerzaniu kryzysu na kolejne obszary gospodarki, zaś ich decyzje wpływały na kondycję ekonomiczną niemal wszystkich krajów na świecie. Ostatecznie zastosowano szereg kontrowersyjnych działań z zakresu polityki pieniężnej i fiskalnej, aby wesprzeć rynek mieszkaniowy i przemysł krajowy, a także ustabilizować sektor finansowy. Do najważniejszych należały: Zakup przez bank centralny USA, czyli Bank Rezerwy Federalnej ( Federal Reserve System (FED) , różnych aktywów finansowych. W ten sposób FED zasilił system bankowy w środki finansowe i zwiększył liczbę funduszy przeznaczanych na kredyty dla konsumentów i przedsiębiorstw. FED obniżył również krótkookresowe stopy procentowe do zera, co doprowadziło do spadku wartości dolara amerykańskiego na rynkach światowych i zwiększyło amerykański eksport. Kongres i prezydent uchwalili akty prawne stabilizujące rynek finansowy. Program pomocowy TARP ( Troubled Asset Relief Program ), wprowadzony pod koniec 2008 r., umożliwił rządowi dofinansowanie banków i innych instytucji finansowych borykających się z problemami oraz pozwolił na wsparcie firm takich jak General Motors i Chrysler. Przedsiębiorstwa te znalazły się na granicy bankructwa, co groziło utratą tysięcy miejsc pracy zarówno w tych podmiotach, jak i u ich kooperantów. Celem innej ustawy, ( American Recovery and Reinvestment Act ) z początku 2009 r., było zwiększenie konsumpcji przez wprowadzenie ulgi podatkowej dla gospodarstw domowych o niskich i średnich dochodach. Cztery lata po zakończeniu globalnego kryzysu finansowego gospodarka USA wciąż nie zdołała powrócić do poziomu produkcji i tempa wzrostu gospodarczego sprzed recesji. W latach 2009–2012 produktywność rosła zaledwie o 1,9% rocznie w porównaniu z dynamiką na poziomie 2,7% w latach 2000–2007. Bezrobocie utrzymywało się powyżej naturalnej stopy, a realny PKB nadal był daleko od poziomu potencjalnego. Jednocześnie krytyce poddano publiczne sposoby ograniczania negatywnych konsekwencji kryzysu, zarówno w USA, jak i innych gospodarkach świata, kwestionując zarówno ich efektywność, jak i skuteczność. W niniejszym rozdziale omówimy model neoklasyczny (ekonomię podażową), a jego założenia, wypływające z niego wnioski i postulaty dla polityki gospodarczej porównamy z modelem keynesowskim. Jako przykłady empiryczne posłużą nam globalny kryzys finansowy i zakończona niedawno recesja wywołana globalną pandemią Covid-19. Wprowadzenie do modelu neoklasycznego Dzięki lekturze tego rozdziału dowiesz się: Jakie są założenia modelu neoklasycznego Jakie implikacje dla polityki gospodarczej mają założenia modelu neoklasycznego W jaki sposób należy porównywać konkluzje formułowane przez model keynesowski i model neoklasyczny Jaka jest pogoda w Warszawie? Statystyki pokazują, że najwyższa zarejestrowana tam temperatura – w lipcu 1904 r. – wyniosła nieco ponad 37ºC w , a najniższą temperaturę równą prawie -31ºC zanotowano w styczniu 1987 r. kazać, że jednorazowe anomalie pogodowe niewiele mówią o typowej pogodzie w stolicy Polski. Żeby ją poznać, należy spojrzeć na długookresowe trendy. Podobnie jest z makroekonomią. Interesujące jest badanie sytuacji ekstremalnych, takich jak Wielki Kryzys (ang. Great Depression ) z lat 30. XX wieku, globalny kryzys finansowy (ang. Great Recession ) z lat 2008–2009 lub wywołana pandemią recesja z lat 2020–2021. Jeśli jednak chcesz zrozumieć, jak działa gospodarka, zastosuj analizę w długiej perspektywie czasowej. Weźmy choćby pod uwagę stopę bezrobocia. Jej wysokość wahała się w USA od zaledwie 3,5% w 1969 r. do 9,7% w 1982 r. i 8,1% w roku 2020. Nawet jeśli stopa bezrobocia w USA rosła podczas recesji i spadała podczas ekspansji, wciąż powracała do średniego poziomu 5%. Biuro Budżetowe Kongresu Stanów Zjednoczonych ( Congressional Budget Office ), niezwiązane z żadną partią polityczną, tworząc w 2010 r. długookresowe prognozy gospodarcze, zakładało, że w latach 2015–2020, po zakończeniu recesji, stopa bezrobocia wyniesie w gospodarce amerykańskiej 5%. W lutym 2020 r., tuż przed pandemią Covid-19, bezrobocie osiągnęło historycznie niski poziom 3,5% i na początku 2022 r. powróciło do poziomu nieco poniżej 5%. Z perspektywy długookresowej widzimy, że w gospodarce Stanów Zjednoczonych utrzymuje się względnie stała stopa bezrobocia. Jak sugeruje sama nazwa, model neoklasyczny, omówiony w niniejszym rozdziale, jest „nowym” spojrzeniem na „stary”, klasyczny model gospodarki. Klasyczny pogląd, będący dominującą doktryną ekonomiczną aż do Wielkiego Kryzysu (tj. do lat 30. XX w.), głosił, że krótkookresowe wahania produkcji – przy elastycznych cenach – dość szybko pozwalają gospodarce na powrót do stanu pełnego zatrudnienia. W efekcie krzywa podaży globalnej jest pionowa i odpowiada poziomowi PKB przy pełnym zatrudnieniu. Zgodnie z modelem klasycznym państwo nie powinno ingerować w gospodarkę. Na przykład gdyby gospodarka wpadła w recesję (na skutek przesunięcia krzywej popytu globalnego w lewo), wykazałaby przejściową nadwyżkę podaży. Spadek cen zlikwidowałby tę nadwyżkę, a gospodarka powróciłaby samoistnie (bez zewnętrznej ingerencji) do pełnego zatrudnienia. Nie jest potrzebna do tego żadna aktywna polityka fiskalna ani pieniężna. Klasyczny pogląd głosił, że ekspansywna polityka fiskalna lub pieniężna powodują jedynie inflację i nie prowadzą do wzrostu PKB. Wielki Kryzys zmienił to myślenie, a ekonomia keynesowska, która zalecała aktywną politykę fiskalną w celu wyeliminowania niekorzystnych skutków niskiego popytu globalnego, stała się dominującą doktryną makroekonomiczną.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Podstawy podejścia neoklasycznego Po przeczytaniu tego podrozdziału będziesz w stanie: Ocenić kluczowe znaczenie poziomu potencjalnego PKB w długookresowej analizie gospodarki Zrozumieć rolę giętkich cen Zinterpretować neoklasyczną wersję modelu AD-AS Porównać różne sposoby pomiaru szybkości procesu dostosowań w gospodarce Zgodnie z modelem neoklasycznym (ang. neoclassical perspective ), gospodarka w długim okresie oscyluje wokół poziomu potencjalnego PKB i naturalnej stopy bezrobocia. Niniejszy rozdział rozpoczyna się od omówienia fundamentów ekonomii neoklasycznej, zakładającej, że: (1) w długim okresie to potencjalny PKB określa wielkość produkcji w gospodarce, a (2) ceny i płace dostosowują się w sposób elastyczny, tak że produkcja relatywnie szybko powraca do poziomu potencjalnego (ekonomiści nazywają tę cechę płac i cen giętkością). Kluczową implikację dla polityki gospodarczej wypływającą z modelu neoklasycznego można zatem streścić w sposób następujący: rząd powinien bardziej skupić się na dynamice długookresowego wzrostu gospodarczego i kontrolowaniu inflacji niż na obawach związanych z recesją lub pojawieniem się bezrobocia cyklicznego. Zdecydowane przesunięcie akcentów w kierunku tempa wzrostu w długim okresie i mniejsze znaczenie przykładane do krótkookresowych wahań poziomu produkcji oznacza, że ekonomia neoklasyczna jest bardziej przydatna do analizy gospodarki w długim okresie, zaś ekonomia keynesowska (ang. Keynesian economics ) ma zastosowanie przede wszystkim w analizie krótkookresowej. Przyjrzyjmy się dwóm przedstawionym powyżej neoklasycznym założeniom oraz sposobowi, w jaki są one uwzględnione w modelu popytu globalnego i podaży globalnej ( modelu AD-AS ) (ang. aggregate demand/aggregate supply model ). Znaczenie poziomu potencjalnego PKB w długim okresie W długim okresie wielkość produkcji jest równa potencjalnemu PKB. Termin „ potencjalny PKB ” oznacza poziom produkcji osiągnięty przy pełnym wykorzystaniu wszystkich dostępnych czynników wytwórczych (ziemi, pracy, kapitału, a także np. przedsiębiorczości obywateli). Chociaż stopa bezrobocia na makroekonomicznym rynku pracy nigdy nie będzie zerowa (jeśli nie potrafisz wyjaśnić, dlaczego tak się dzieje, cofnij się do ), pełne zatrudnienie oznacza zerowe bezrobocie cykliczne. Pamiętając o tym, że pewien niewielki poziom bezrobocia frykcyjnego i strukturalnego w gospodarce rynkowej jest obecny zawsze, przyjmujemy, że naturalna stopa bezrobocia, czyli stan pełnego zatrudnienia, pojawia się w gospodarce wraz z likwidacją bezrobocia cyklicznego. Ekonomiści porównują rzeczywisty (realny) PKB z poziomem potencjalnym, aby określić, jak efektywnie funkcjonuje gospodarka. Jak wyjaśniono w , wzrost potencjalnego PKB może wynikać m.in. z inwestycji w kapitał rzeczowy i ludzki oraz z postępu technicznego. Kapitał rzeczowy (ang. physical capital ) to całkowity zasób maszyn i urządzeń umożliwiających pracownikom wykonywanie ich pracy. Porównaj swoją produktywność w trakcie pisania pracy zaliczeniowej na zabytkowej maszynie z sytuacją, w której dysponujesz laptopem z dostępem do internetu i wykupioną subskrypcją premium na stronie oferującej usługi sztucznej inteligencji. Dzięki wykorzystaniu komputera twoja produktywność będzie niewątpliwie większa. Technologia i zasób kapitału rzeczowego w postaci laptopa i stosownego oprogramowania zwiększyły twoją wydajność pracy. Spójrzmy szerzej: rozwój technologii GPS i uniwersalnych kodów produktów (kody kreskowe na wszystkich kupowanych towarach) znacznie ułatwił przedsiębiorstwom śledzenie przesyłek, zarządzenie zapasami oraz sprzedaż i dystrybucję towarów. Przywołane powyżej innowacje technologiczne (oraz oczywiście tysiące innych) zwiększyły zdolność gospodarek do produkcji dóbr i usług. Podobnie akumulacja kapitału ludzkiego wiąże się ze zwiększaniem poziomu wiedzy, wykształcenia i umiejętności obywateli poprzez szkolnictwo wyższe i kształcenie zawodowe. Wzrost zasobu kapitału rzeczowego i ludzkiego wraz z postępem technicznym zwiększa wydajność pracy, a tym samym wartość potencjalnego PKB. Aby zobaczyć, w jaki sposób powyższe innowacje wpłynęły na produktywność i poziom potencjalnego PKB w skali całego kraju, przeanalizujmy dane z USA. W XX w. dzięki olbrzymim zmianom w poziomie rozwoju infrastruktury, zasobie maszyn i urządzeń oraz postępowi technicznemu w obszarze akumulacji kapitału rzeczowego i ludzkiego Stany Zjednoczone doświadczyły znacznego rozwoju gospodarczego. Populacja kraju wzrosła czterokrotnie, z 76 mln w 1900 r. do ponad 300 mln w roku 2016. Jednocześnie kapitał ludzki (ang. human capital ) współczesnych pracowników jest o wiele wyższy, ponieważ poziom ich wykształcenia i zakres umiejętności znacznie wzrosły. W 1900 r. tylko jedna ósma populacji USA ukończyła szkołę średnią, a zaledwie jedna osoba na 40 miała za sobą czteroletnie studia. Z kolei do roku 2010 ok. 85% Amerykanów w wieku 25 lat lub starszych miało wykształcenie średnie, a ok. 28% legitymowało się dyplomem czteroletnich studiów. W 2019 r. już 33% Amerykanów w wieku powyżej 25 lat mogło się pochwalić wykształceniem uniwersyteckim. Średni zasób kapitału rzeczowego na pracownika także znacznie wzrósł. Technologia, z jakiej korzystają współcześni pracownicy, jest o wiele lepsza niż sto lat temu: samochody, samoloty, maszyny elektryczne, smartfony, komputery, postęp w dziedzinie chemii i biologii, dostępne materiały, opieka zdrowotna – lista pozytywnych zmian mogłaby się ciągnąć niemal w nieskończoność. W wyniku wzrostu liczby ludności, poprawy poziomu umiejętności i wiedzy pracowników, większego zasobu kapitału rzeczowego na pracownika i o wiele lepszej technologii potencjalny PKB Stanów Zjednoczonych w ciągu ostatnich 120 lat znacznie wzrósł. W niektórych okresach rzeczywisty PKB (a więc wartość, którą można znaleźć w zestawieniach statystycznych) przekraczał poziom potencjalny, w innych zaś był od niego niższy. Na przykład w latach 2008–2009 gospodarka USA wpadła w recesję i aż do roku 2018 notowała produkcję niższą od poziomu potencjalnego. Po wywołanej pandemią recesji w marcu i kwietniu 2020 r. gospodarka USA ponownie osunęła się poniżej potencjalnego PKB i pozostawała na tym poziomie do początku roku 2022. W innych okresach, np. pod koniec lat 90. XX w., a także w latach 2018–2020, produkcja zwiększała się w tempie wzrostu potencjalnego PKB, a nawet nieznacznie szybciej. prezentuje wartości rzeczywistego i potencjalnego PKB w Stanach Zjednoczonych od roku 1958 do 2020. Linia ciągła przedstawia wartości potencjalnego PKB od 1958 r., będące wynikiem szacunków Biura Budżetowego Kongresu (ang. Congressional Budget Office). W okresach recesji i ożywienia gospodarczego rzeczywisty PKB odchylał się o 1–3% od poziomu potencjalnego w danym roku. Krótkookresowe wahania produkcji wokół potencjalnego PKB rzecz jasna występują, ale – jak można bez problemu dostrzec na poniższym wykresie – w długim okresie to trend wzrostowy potencjalnego PKB określa rozmiary gospodarki. Potencjalny i rzeczywisty PKB w Stanach Zjednoczonych w latach 1958–2020 (w cenach stałych z 2012 r.) Rzeczywisty PKB spada poniżej poziomu potencjalnego w okresach recesji oraz po ich zakończeniu, np. podczas recesji w latach 1980 i 1981–1982, 1990–1991, 2001 oraz 2008–2009. Po tej ostatniej rzeczywisty PKB utrzymywał się poniżej poziomu potencjalnego aż do roku 2019. W innych okresach rzeczywisty PKB może kształtować się powyżej poziomu potencjalnego, co obserwowano np. pod koniec lat 90. i w drugiej połowie lat 60. XX w. W modelu AD-AS potencjalny PKB przedstawiamy jako linię pionową. Ekonomiści neoklasyczni, którzy koncentrują się na potencjalnym PKB jako głównym wyznaczniku rzeczywistego PKB, argumentują, że długookresowa krzywa podaży globalnej znajduje się na poziomie potencjalnego PKB. A zatem długookresową krzywą podaży globalnej wykreślamy jako pionową linię leżącą na wysokości potencjalnego PKB, tak jak na . Pionowa krzywa LAS oznacza, że poziom podaży globalnej (lub potencjalnego PKB ) determinuje rzeczywisty PKB, niezależnie od rozmiarów popytu globalnego . Wraz z upływem czasu wzrost ilości i jakości kapitału rzeczowego, kapitału ludzkiego oraz postęp techniczny zwiększają stopniowo potencjalny PKB i przesuwają pionową krzywą LAS w prawo. Ekonomiści często traktują ten stopniowy wzrost potencjalnego PKB jako długoterminowy wzrost gospodarczy. Pionowa krzywa AS W modelu neoklasycznym krzywą podaży globalnej wykreślamy jako linię pionową na wysokości potencjalnego PKB. Jeśli krzywa AS jest pionowa, wyznacza ona wielkość realnej produkcji niezależnie od położenia krzywej popytu globalnego. Z biegiem czasu krzywa LAS przesuwa się w prawo wraz ze wzrostem produktywności czynników wytwórczych i będącym konsekwencją tego procesu wzrostem potencjalnego PKB. Rola giętkich cen Jak wygląda proces dostosowań gospodarki do potencjalnego PKB w długim okresie? Co się dzieje, gdy popyt globalny rośnie lub maleje? Zdaniem ekonomistów nawet jeśli ceny i płace w krótkim okresie są „lepkie” lub zmieniają się relatywnie powoli, w długim okresie stają się giętkie. Aby lepiej to zrozumieć, prześledźmy związek między równowagą krótko- i długookresową. Na , przedstawiającej model AD-AS, zaznaczone są dwie krzywe podaży globalnej. Pierwotna krzywa podaży globalnej o nachyleniu dodatnim (SAS 0 ) jest krótkookresową lub keynesowską krzywą AS. Pionowa krzywa podaży globalnej (LAS n ) jest długookresową lub neoklasyczną krzywą AS znajdującą się na wysokości potencjalnego PKB. Pierwotną krzywą popytu globalnego jest AD 0 , co oznacza, że początkowa równowaga występuje w punkcie E 0 przy poziomie produkcji potencjalnej. Powrót gospodarki do poziomu produkcji potencjalnej po wzroście popytu globalnego Początkowa równowaga (E 0 ) znajduje się na przecięciu krzywej popytu globalnego AD 0 i krótkookresowej krzywej podaży globalnej SAS 0 . W punkcie E 0 poziom cen wynosi 120, a produkcja jest równa 500. Jest ona jednocześnie równa potencjalnemu PKB. Następnie krzywa popytu globalnego przesuwa się w prawo, z położenia AD 0 do AD 1 . Nowa równowaga występuje w punkcie E 1 przy wyższym poziomie produkcji wynoszącym 550 i wyższych cenach (na poziomie 125). Ponieważ stopa bezrobocia jest wyjątkowo niska i występuje niedobór pracowników, pracodawcy podnoszą płace, co powoduje przesunięcie krótkookresowej krzywej podaży globalnej w lewo, z położenia SAS 0 do SAS 1 . Nowa równowaga (E 2 ) występuje przy tej samej początkowej wielkości produkcji równej 500, ale wyższym poziomie cen wynoszącym 130. A zatem długookresowa krzywa podaży globalnej (LAS n ) jest pionowa i przebiega na poziomie potencjalnego PKB, wyznaczając wartość rzeczywistego PKB w tej gospodarce w długim okresie. A teraz wyobraź sobie, że jakieś wydarzenie gospodarcze zwiększa popyt globalny. Przyczyną może być np. wzrost eksportu, poprawa nastrojów producentów prowadząca do większych inwestycji, zwiększenie przez państwo wydatków lub obniżka podatków. Krótkookresowa analiza keynesowska zakłada, że w takiej sytuacji krzywa popytu globalnego przesunie się w prawo, z położenia AD 0 do AD 1 , prowadząc do nowej równowagi w punkcie E 1 , z wyższą produkcją, niższym bezrobociem i presją inflacyjną. Jednak w długookresowej analizie neoklasycznej proces dostosowań trwa dalej. Gdy produkcja wzrasta powyżej potencjalnego PKB, bezrobocie spada. Gospodarka znajduje się powyżej poziomu pełnego zatrudnienia i brakuje chętnych do pracy. Pracodawcy starają się pozyskać nowych pracowników od innych przedsiębiorstw i skłonić tych już zatrudnionych do większego wysiłku i pracy w weekendy lub brania nadgodzin. Wysoki popyt na pracę prowadzi do wzrostu płac. Większość pracodawców dokonuje korekty wynagrodzeń tylko raz lub dwa razy w roku (a niekiedy nawet jeszcze rzadziej), więc proces wzrostu płac w całej gospodarce zajmuje trochę czasu. Wzrost płac oznacza przesunięcie w lewo krótkookresowej keynesowskiej krzywej podaży globalnej do położenia SAS 1 , ponieważ wzrosła cena ważnego czynnika produkcji. Gospodarka przechodzi do nowego stanu równowagi E 2 . W nowej równowadze poziom rzeczywistego PKB jest taki sam jak w punkcie początkowym E 0 , ale przy wyższych cenach. Przesunięcia punktu równowagi z E 0 do E 1 w krótkim okresie i z E 1 do E 2 w długim okresie w prosty sposób pokazują, że gospodarka nie jest w stanie utrzymać produkcji powyżej potencjalnego PKB jedynie na skutek wzrostu popytu globalnego. Gospodarka może produkować powyżej potencjalnego PKB tylko w krótkim okresie, jeśli jedynym zmiennym czynnikiem jest popyt globalny. Jednak w długim okresie wzrost makroekonomicznego popytu prowadzi wyłącznie do wzrostu cen, a nie wzrostu produkcji. Gospodarka wraca do potencjalnego PKB również w odpowiedzi na przesunięcie popytu globalnego w lewo. Przedstawia to . Punkt początkowej równowagi znajduje się na krótkookresowej keynesowskiej krzywej podaży globalnej SAS 0 i długookresowej neoklasycznej krzywej podaży globalnej LAS n . Spadek popytu globalnego – np. z powodu pogorszenia nastrojów konsumentów prowadzącego do mniejszej konsumpcji i większych oszczędności – powoduje przesunięcie początkowej krzywej popytu globalnego AD 0 do położenia AD 1 . Przejście od pierwotnej równowagi (E 0 ) do nowej równowagi (E 1 ) skutkuje spadkiem produkcji. Gospodarka jest obecnie poniżej pełnego zatrudnienia i występuje w niej nadwyżka podaży pracy. Gdy produkcja spada poniżej potencjalnego PKB, rośnie bezrobocie. Mimo że spadek cen (tj. deflacja) w Stanach Zjednoczonych jest rzadkością, to jednak sporadycznie, w okresach bardzo głębokiej recesji (np. w okresie Wielkiego Kryzysu), występuje. Ze względów praktycznych możemy uznać, że niższy poziom cen w modelu AD-AS oznacza głęboką dezinflację, czyli gwałtowny spadek stopy inflacji. Tym samym pionowa długookresowa krzywa podaży globalnej LAS n , leżąca na wysokości potencjalnego PKB, wyznacza ostatecznie rzeczywistą wielkość produkcji w gospodarce w długim okresie. Powrót gospodarki do poziomu produkcji potencjalnej po spadku popytu globalnego Początkowa równowaga (E 0 ) przy produkcji 500 i poziomie cen 120 znajduje się na przecięciu krzywej popytu globalnego (AD 0 ) i krótkookresowej krzywej podaży globalnej (SAS 0 ). Wielkość produkcji w punkcie E 0 jest równa potencjalnemu PKB. Następnie krzywa popytu globalnego przesuwa się w lewo, z położenia AD 0 do AD 1 . Nowa krótkookresowa równowaga znajduje się w punkcie E 1 , przy niższym poziomie produkcji wynoszącym 450 i niższych cenach równych 115. Ponieważ bezrobocie wzrosło, istnieje presja na spadek płac. Niższe płace dotyczą całej gospodarki i oznaczają spadek cen ważnego czynnika produkcji, co przesuwa krótkookresową krzywą podaży globalnej w prawo, z położenia SAS 0 do SAS 1 . W nowym punkcie równowagi długookresowej (E 2 ) wielkość produkcji jest na początkowym poziomie (500), ale poziom cen jest niższy (110). Z perspektywy neoklasycznej ten krótkookresowy scenariusz to dopiero początek łańcucha wydarzeń. Wyższe bezrobocie oznacza, że więcej pracowników poszukuje pracy. W rezultacie pracodawcy mogą wstrzymać się z podwyżkami płac, a nawet zastępować niektórych lepiej opłacanych pracowników osobami bezrobotnymi, które są gotowe zaakceptować niższe wynagrodzenie. Gdy płace pozostają w stagnacji lub spadają, mamy do czynienia ze spadkiem cen kluczowego czynnika produkcji, a więc niższymi kosztami wytwarzania. W efekcie krótkookresowa keynesowska krzywa podaży globalnej przesuwa się w prawo, z początkowego położenia SAS 0 do SAS 1 . Oznacza to, że punkt równowagi makroekonomicznej przesuwa się z E 0 do E 1 , a następnie do E 2 . A zatem w długim okresie wielkość produkcji powraca do potencjalnego PKB, a poziom cen jest niższy. Tak więc, zgodnie z modelem neoklasycznym, zmiany popytu globalnego mogą mieć tylko krótkookresowy wpływ na produkcję i bezrobocie. W długim okresie, gdy ceny i płace są elastyczne, potencjalny PKB i podaż globalna określają wielkość rzeczywistego PKB. Jak szybkie jest tempo dostosowań w gospodarce? Ile czasu potrzeba, aby ceny i płace się dostosowały, a gospodarka powróciła do potencjalnego PKB? Kwestia ta budzi wśród ekonomistów niezwykle silne kontrowersje. Ekonomiści keynesowscy argumentują, że jeśli przejście gospodarki ze stanu recesji do poziomu potencjalnego PKB zajmuje bardzo dużo czasu, to teoria neoklasyczna w gruncie rzeczy nie ma żadnych praktycznych implikacji i tym samym nie nadaje się do tworzenia podstaw polityki gospodarczej. W odpowiedzi na pamiętne słowa Johna Maynarda Keynesa : „w długim okresie i tak wszyscy będziemy martwi” ekonomiści neoklasyczni dowodzą, że nawet jeśli dostosowanie potrwa, powiedzmy, dziesięć lat, model neoklasyczny i tak pozostaje kluczowy dla zrozumienia gospodarki. Istnieją też tacy zwolennicy modelu neoklasycznego, których zdaniem dostosowania cen i płac w gospodarce są dość szybkie. Teoria racjonalnych oczekiwań (ang. rational expectations ) mówi, że ludzie formułują możliwie najdokładniejsze oczekiwania dotyczące przyszłości, wykorzystując wszystkie dostępne im informacje. W gospodarce, w której większość ludzi ma racjonalne oczekiwania, dostosowania mogą być rzeczywiście bardzo szybkie. Aby zrozumieć, jak racjonalne oczekiwania mogą wpływać na szybkość dostosowań cen, pomyśl o sytuacji na rynku nieruchomości. Wyobraź sobie, że kilka wydarzeń najprawdopodobniej podniesie wartość domów w sąsiedztwie. Może lokalny pracodawca ogłosi, że planuje zatrudnić znacznie więcej osób, albo miasto zapowie, że wybuduje w tej okolicy osiedlowy park lub bibliotekę. Teoria racjonalnych oczekiwań wskazuje, że nawet jeśli żadne z tych zdarzeń nie nastąpi od razu, ceny mieszkań w sąsiedztwie natychmiast wzrosną, ponieważ oczekiwanie, że w przyszłości domy będą warte więcej, spowoduje, że kupujący będą skłonni już teraz zapłacić za nie więcej. Skala wzrostu cen domów będzie zależała od tego, jak prawdopodobne i odległe w czasie są powyższe zmiany. Kluczową kwestią pozostaje jednak to, że z powodu racjonalnych oczekiwań ceny dostosowują się natychmiast, a nie dopiero po materializacji czynników stymulujących ich wzrost. Na poziomie makroekonomicznym teoria racjonalnych oczekiwań wskazuje, że jeśli krzywa podaży globalnej jest pionowa, ludzie powinni oczekiwać właśnie takiego jej kształtu. Kiedy nastąpi zmiana popytu globalnego, mieszkańcy i firmy z racjonalnymi oczekiwaniami będą wiedzieć, że wpływ na produkcję i zatrudnienie będzie tymczasowy, zaś wpływ na poziom cen – trwały. Jeśli przedsiębiorstwa i pracownicy od razu oczekują, że gospodarka dąży do określonego docelowego punktu równowagi, a także jeśli wiedzą, że wszystkie inne przedsiębiorstwa i pracownicy spodziewają się tego samego, to nikt nie ma motywacji do pokonywania całej ścieżki krótkookresowych dostosowań, czyli np. zatrudniania większej liczby pracowników przy wzroście popytu i następnie ich zwalniania, gdy podaż zmaleje. Wszyscy bowiem rozumieją, że gospodarka zmierza do nowego punktu równowagi charakteryzującego się nowym, wyższym poziomem cen, i podejmą działania zgodnie z tymi oczekiwaniami. Według tego scenariusza oczekiwana długookresowa zmiana poziomu cen może nastąpić bardzo szybko, z pominięciem jakichkolwiek zmian wielkości produkcji i zatrudnienia. Hipoteza racjonalnych oczekiwań może być uproszczeniem użytecznym dla teorii ekonomii, ale do opisu faktycznych zachowań ludzi i przedsiębiorstw raczej się nie nadaje. W końcu nie wszyscy przedsiębiorcy, a tym bardziej zwykli ludzie, są dobrze poinformowani o tym, co dzieje się w gospodarce lub jakie mechanizmy nią sterują. Alternatywnym założeniem są oczekiwania adaptacyjne (ang. adaptive expectations ): ludzie i przedsiębiorstwa wyciągają doświadczenia z przeszłości i dostosowują swoje przekonania i zachowania stopniowo, w miarę zmieniających się okoliczności. Niemniej nie są doskonale poinformowani i nie potrafią w perfekcyjnie nakreślić przyszłego scenariusza zdarzeń w takim sensie, w jakim opisuje to teoria racjonalnych oczekiwań. Jeśli większość podmiotów wykazuje jakąś formę oczekiwań adaptacyjnych, to dostosowanie z krótkiego do długiego okresu będzie przebiegało stopniowo. Empiryczne szacunki tempa dostosowań cen i płac nie są jednoznaczne. Szybkość procesu dostosowań prawdopodobnie różni się w zależności od kraju i okresu. Można przypuszczać, że początkowy krótkookresowy efekt zmiany popytu globalnego może trwać od dwóch do pięciu lat, zanim dostosowania cen i płac spowodują powrót gospodarki do poziomu potencjalnego PKB. Tak więc krótkookresowy model keynesowski można stosować dla okresu krótszego niż dwa do pięciu lat, a długookresowy model neoklasyczny – dla okresu powyżej pięciu lat. Ze względów praktycznych taka wskazówka jest bardzo nieprecyzyjna, ale przy analizie niezwykle złożonego mechanizmu społecznego, jakim jest ewoluująca w czasie gospodarka, pewien brak precyzji wydaje się nieunikniony. Podsumowanie Zgodnie z modelem neoklasycznym w długim okresie gospodarka dąży do poziomu potencjalnego PKB poprzez elastyczne zmiany cen i płac. W tym modelu długookresowa krzywa podaży globalnej jest zatem pionowa. Teoria racjonalnych oczekiwań głosi, że ludzie mają doskonałe informacje o wydarzeniach gospodarczych i mechanizmach funkcjonowania gospodarki, dlatego dostosowania cen i płac następują niemal natychmiast. Z kolei zgodnie z teorią oczekiwań adaptacyjnych ludzie dysponują ograniczonymi informacjami na temat funkcjonowania gospodarki, więc dostosowania cen i płac przebiegają relatywnie powoli. Pytania sprawdzające Czy racjonalne oczekiwania oznaczają, że podmioty ekonomiczne kierują się swoimi doświadczeniami z przeszłości, podczas gdy oczekiwania adaptacyjne bazują na przewidywaniach formułowanych odnośnie przyszłości? Uzasadnij swoją odpowiedź. Nie, to stwierdzenie jest fałszywe. Bardziej trafna byłaby teza, że racjonalne oczekiwania dążą do jak najdokładniejszego przewidywania przyszłości, wykorzystując wszystkie przeszłe doświadczenia. Oczekiwania adaptacyjne w dużej mierze polegają na obserwacji przeszłości, tzn. dostosowują się w miarę powiększania zasobu informacji z przeszłości, ale bez próby patrzenia w przód. Sprawdź wiedzę Czy ekonomia neoklasyczna koncentruje się na krótkim, czy długim okresie? Uzasadnij swoją odpowiedź. Czy ekonomia neoklasyczna postrzega ceny i płace jako sztywne (lepkie), czy raczej giętkie? Uzasadnij swoją odpowiedź. Jaki kształt ma długookresowa krzywa podaży globalnej? Z czego wynika taki sposób jej wykreślania? Jaka jest różnica pomiędzy oczekiwaniami racjonalnymi a oczekiwaniami adaptacyjnymi? Ekonomista neoklasyczny i ekonomista keynesowski badają gospodarkę pewnego kraju. Wygląda na to, że wraz ze spadkiem popytu globalnego zaczyna on doświadczać łagodnej recesji. Który z tych dwóch badaczy prawdopodobnie opowie się za podjęciem przez rząd aktywnych działań w celu zwiększenia popytu globalnego? Dlaczego właśnie ten? Ćwicz myślenie krytyczne Jeśli większość ludzi ma racjonalne oczekiwania, jak długo potrwa recesja? Wyjaśnij, dlaczego ekonomiści neoklasyczni uważają, że rząd nie musi wiele robić w sprawie bezrobocia. Czy zgadzasz się z takim podejściem? Uzasadnij swoją odpowiedź. Problemy Wykorzystaj i odpowiedz na następujące pytania. Poziom cen Podaż globalna Popyt globalny 90 3000 3500 95 3000 3000 100 3000 2500 105 3000 2200 110 3000 2100 Narysuj wykres podaży globalnej i popytu globalnego. Jaki jest poziom produkcji i cen w równowadze? Ile wyniesie produkcja w równowadze, gdy krzywa popytu globalnego przesunie się w prawo? Ile wyniesie produkcja w równowadze, gdy krzywa popytu globalnego przesunie się w lewo? Czy w tym modelu za parametr umożliwiający zmiany poziomu produkcji uznasz popyt globalny, czy raczej kontrolę stopy inflacji? Bibliografia Lumina Foundation. 2014. \"A Stronger Nation Through Higher Education.\" Accessed March 4, 2015. http://www.luminafoundation.org/publications/A_stronger_nation_through_higher_education-2014.pdf. The National Bureau of Economic Research. http://www.nber.org/. U.S. Department of Commerce: United States Census Bureau. “The 2012 Statistical Abstract.” http://www.census.gov/compendia/statab/cats/education.html. U.S. Department of the Treasury. “TARP Programs.” Last modified December 12, 2013. http://www.treasury.gov/initiatives/financial-stability/TARP-Programs/Pages/default.aspx. United States Government. “Recovery.gov: Track the Money.” Last modified October 30, 2013. http://www.recovery.gov/Pages/default.aspx. oczekiwania adaptacyjne (ang. adaptive expectations ) teoria, zgodnie z którą podmioty ekonomiczne, w oparciu o własne przeszłe doświadczenia, stopniowo dostosowują swoje przekonania i zachowania do zmieniających się okoliczności model neoklasyczny (ang. neoclassical perspective ) pogląd, zgodnie z którym produkcja (rzeczywisty PKB) w długim okresie dąży do poziomu potencjalnego (czyli PKB przy pełnym zatrudnieniu) i jest niezależna od zmian popytu globalnego kapitał rzeczowy per capita (ang. physical capital ) zasób maszyn i urządzeń, niezbędnych w ramach konkretnego procesu produkcyjnego, przypadający na jednego pracownika techniczne uzbrojenie pracy zob. kapitał rzeczowy per capita relacja kapitału do pracy zob. kapitał rzeczowy per capita kapitał fizyczny zob. kapitał rzeczowy per capita oczekiwania racjonalne (ang. rational expectations ) teoria, zgodnie z którą podmioty ekonomiczne potrafią w doskonały sposób przewidzieć scenariusz możliwych zmian w gospodarce", "section": "Podstawy podejścia neoklasycznego", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wpływ podejścia neoklasycznego na politykę fiskalną i pieniężną Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać przyczyny i sposoby pomiaru oczekiwań inflacyjnych Ocenić wpływ polityki fiskalnej i pieniężnej na podaż globalną i popyt globalny Wyjaśnić kształt neoklasycznej krzywej Phillipsa, zwracając uwagę na relację wymienną pomiędzy inflacją a bezrobociem Zidentyfikować główne różnice pomiędzy ekonomią neoklasyczną a ekonomią keynesowską Aby zrozumieć formułowane przez ekonomistów neoklasycznych zalecenia dotyczące polityki gospodarczej, warto jeszcze raz wrócić do analizy modelu keynesowskiego. Załóżmy, że spadek popytu globalnego powoduje recesję, której towarzyszy wysokie bezrobocie. W takiej sytuacji keynesiści zaleciliby interwencję państwa (np. fiskalne stymulowanie popytu globalnego) i wyeliminowanie luki recesyjnej. Ekonomiści neoklasyczni uważają, że keynesowska reakcja, choć bazująca na dobrym rozeznaniu, nie przyniesie oczekiwanych rezultatów z powodów, które omówimy wkrótce. Ponieważ zdaniem ekonomistów neoklasycznych gospodarka sama z siebie powraca do stanu równowagi oznaczającego poziom produkcji potencjalnej i pełne zatrudnienie, jedyną zaletą keynesowskiej polityki stabilizacyjnej może być przyspieszenie tego procesu i skrócenie czasu utrzymywania się wysokiego bezrobocia. Czy tak jest w rzeczywistości? Keynesowska polityka gospodarcza wymaga pewnego optymizmu w kwestii możliwości trafnej identyfikacji przez państwo zbyt niskiego lub zbyt wysokiego popytu globalnego i możliwości kształtowania tego parametru poprzez adekwatne zmiany polityki fiskalnej (podatków i wydatków) we właściwym momencie. Ekonomiści neoklasyczni argumentują, że statystycy potrzebują wielu miesięcy, aby opublikować nawet wstępne szacunki PKB umożliwiające stwierdzenie, czy recesja w ogóle wystąpiła. Co więcej, te wstępne szacunki mogą zostać później znacznie skorygowane. Nie można też zapomnieć o kwestii czasu. Proces legislacyjny obejmujący zmiany polityki fiskalnej może zająć wiele miesięcy, zaś w trakcie procedury legislacyjnej z powodu uwarunkowań politycznych wyjściowe propozycje regulacji mogą ulec daleko idącym zmianom. Po uchwaleniu prawa musi minąć kolejnych kilka, a nawet kilkanaście miesięcy, aby nowe przepisy zadziałały i przełożyły się na sytuację w gospodarce. Z wymienionych wyżej względów aktywna polityka fiskalna może nie tylko nie mieć żadnego pozytywnego wpływu na istniejące problemy, ale nawet pogorszyć sytuację ekonomiczną kraju. Średnia recesja w USA po II wojnie światowej trwała około roku. A zatem zanim efekty aktywnej polityki państwa będą mogły się pojawić, recesja prawdopodobnie już się skończy. W konsekwencji jedynym rezultatem interwencji państwa będzie pobudzenie gospodarki, gdy ta już znajdzie się w fazie ożywienia (lub też schłodzenie gospodarki w początkach recesji). Innymi słowy, aktywna polityka gospodarcza raczej zwiększy wahania cykliczne, niż je stłumi. Niektórzy ekonomiści neoklasyczni uważają, że duża część obserwowanych cykli koniunkturalnych wynika z błędnej polityki rządu. Aby dowiedzieć się więcej o tym problemie, przeczytaj poniższą . W jaki sposób ekonomiści mierzą oczekiwania inflacyjne i dlaczego to robią? Ludzie uwzględniają oczekiwania inflacyjne za każdym razem, gdy dokonują zakupu dóbr trwałego użytku, np. domów lub samochodów. Podobnie zachowują się przedsiębiorcy, którzy podejmują decyzje o inwestycjach. Wraz ze zmianami stopy inflacji zmienia się również nominalne oprocentowanie kredytów. Nominalna stopa procentowa składa się z realnej stopy procentowej powiększonej o oczekiwaną inflację (ang. expected inflation ). Wynika to z faktu, że stopa procentowa jest wynagrodzeniem za udostępniony kapitał, a zatem jej cena, która jest dochodem posiadaczy kapitału, musi rosnąć wraz ze wzrostem stopy inflacji (podobnie jak rosną płace nominalne będące wynagrodzeniem za pracę). Oczekiwana stopa inflacji jest także sygnałem dla ekonomistów, jak społeczeństwo postrzega przyszłą kondycję gospodarki. Załóżmy, że podmioty gospodarcze spodziewają się wzrostu inflacji. Przyczyną może być pozytywny szok popytowy będący efektem rozwijającej się gospodarki i rosnącego popytu globalnego lub też negatywny szok podażowy wynikający np. z rosnących cen energii i spadku podaży globalnej. W obu przypadkach społeczeństwo może spodziewać się zastosowania przez bank centralny restrykcyjnej polityki pieniężnej w celu obniżenia inflacji. Polityka taka będzie skutkowała wzrostem stóp procentowych. Jeśli jednak ekonomiści przewidują spadek inflacji na skutek niższego popytu globalnego, społeczeństwo może zakładać wystąpienie recesji i spodziewać się ekspansywnej polityki pieniężnej, czyli niższych stóp procentowych. Monitorowanie oczekiwanej inflacji pozwala na zbieranie informacji o skuteczności polityki gospodarczej oraz umożliwia prognozowanie kierunku zmian realnych stóp procentowych. Dane te są niezbędne do podejmowania decyzji dotyczących finansowania przedsięwzięć inwestycyjnych. Oczekiwania inflacyjne mogą wydawać się koncepcją wysoce teoretyczną, ale w rzeczywistości bank centralny Stanów Zjednoczonych mierzy oczekiwania inflacyjne, nawiązując do metodologii wprowadzonej przez Josepha Livingstona, dziennikarza finansowego „Philadelphia Inquirer”. W 1946 r. zaczął on przeprowadzać dwa razy w roku ankiety wśród ekonomistów na temat ich oczekiwań co do inflacji. Od śmierci Livingstona w 1969 r. Bank Rezerwy Federalnej i inne amerykańskie instytucje, takie jak Survey Research Center na Uniwersytecie Michigan, Amerykańskie Towarzystwo Statystyczne i Narodowe Biuro Badań Ekonomicznych kontynuują te badania. Obecne badania Banku Rezerwy Federalnej pozwalają na porównanie oczekiwań inflacyjnych z rzeczywistą inflacją. Jak dotychczas wyniki nie są jednoznaczne. Prognozy ekonomistów w ciągu ostatnich kilku dekad stały się jednak o wiele dokładniejsze. Ekonomiści aktywnie badają, w jaki sposób kształtują się i zmieniają oczekiwania inflacyjne oraz inne zmienne ekonomiczne. Również w Polsce, szczególnie w okresie wysokiej i zmiennej inflacji, trafne oczekiwania dotyczące przyszłej inflacji mają istotne znaczenie, szczególnie dla inwestorów i kredytobiorców. Odwiedź tę stronę internetową , aby przeczytać „Komentarz ekonomiczny Banku Rezerwy Federalnej w Cleveland: nowe podejście do pomiaru oczekiwań inflacyjnych” autorstwa Josepha G. Haubricha i uzyskać więcej informacji o tym, jak ekonomiści szacują oczekiwaną inflację. Krzywa Phillipsa w ujęciu neoklasycznym W omówiliśmy krzywą Phillipsa (ang. Phillips curve ) i wyjaśniliśmy, w jaki sposób wyprowadza się ją z krzywej podaży globalnej. Krótkookresowa krzywa podaży globalnej o nachyleniu dodatnim implikuje ujemnie nachyloną krzywą Phillipsa. W krótkim okresie istnieje zatem relacja wymienna między inflacją a bezrobociem. Natomiast neoklasyczna długookresowa krzywa podaży globalnej implikuje pionową krzywą Phillipsa, co wskazuje na brak długookresowego związku między inflacją a bezrobociem. Panel (a) przedstawia pionową krzywą AS oraz trzy krzywe popytu globalnego, co skutkuje trzema różnymi stanami równowagi przy trzech różnych poziomach cen. W każdym punkcie na pionowej krzywej AS potencjalny PKB i stopa bezrobocia są takie same. Załóżmy, że dla tej gospodarki naturalna stopa bezrobocia wynosi 5%. W rezultacie długookresowa krzywa Phillipsa na panelu (b) jest pionowa. Odpowiada jej stopa bezrobocia 5% przy dowolnym poziomie inflacji. Przeczytaj ramkę „Krok po kroku”, aby uzyskać dodatkowe informacje na temat interpretacji stóp inflacji i bezrobocia. Od długookresowej krzywej podaży globalnej (LAS) do długookresowej krzywej Phillipsa Panel (a): w przypadku pionowej krzywej LAS zmiany popytu globalnego nie powodują wahań produkcji, a prowadzą jedynie do zmian cen. Ponieważ produkcja jest taka sama, niezależnie od punktu równowagi, w którym znajduje się gospodarka (odpowiednio E 0 , E 1 i E 2 ), bezrobocie w tym hipotetycznym kraju jest równe naturalnej stopie bezrobocia. Panel (b): jeżeli naturalna stopa bezrobocia jest stała i wynosi 5%, to krzywa Phillipsa jest pionowa. Oznacza to, że w długim okresie, niezależnie od stopy inflacji, stopa bezrobocia utrzymuje się cały czas na poziomie 5%. Śledzenie zmian stóp inflacji i bezrobocia Załóżmy, że od lat gromadzisz dane dotyczące stóp inflacji i bezrobocia, a zapisujesz je w . Jak interpretujesz te informacje? Rok Stopa inflacji Stopa bezrobocia 1970 2% 4% 1975 3% 3% 1980 2% 4% 1985 1% 6% 1990 1% 4% 1995 4% 2% 2000 5% 4% Krok 1. Narysuj punkty reprezentujące dane z poszczególnych wierszy tabeli na wykresie, na którym stopa inflacji zostaje odłożona na osi pionowej, a stopa bezrobocia na osi poziomej. Twój wykres powinien wyglądać podobnie do . Stopy inflacji i bezrobocia Krok 2. Czy dostrzegasz stały schemat zmian obu parametrów? Zauważ, że w niektórych latach bezrobocie spada, zaś inflacja rośnie, natomiast w innych bezrobocie rośnie, a inflacja maleje. Krok 3. Czy możesz określić naturalną stopę bezrobocia na podstawie danych zawartych w tabeli lub rozmieszczenia punktów na wykresie? Analiza wykresu pozwala przypuszczać, że naturalna stopa bezrobocia wynosi 4%. Jest to stopa bezrobocia, do której gospodarka powraca po szokach makroekonomicznych. Na przykład w 1975 r. w gospodarce pojawił się zapewne pozytywny szok popytowy. Stopa bezrobocia spadła do 3%, a inflacja wzrosła z 2% do 3%. Do 1980 r. gospodarka powróciła do stopy bezrobocia równej 4% i stopy inflacji 2%. Z kolei w 1985 r. wystąpiła recesja, ponieważ bezrobocie wzrosło do 6%, a inflacja obniżyła się do 1%. Był to prawdopodobnie efekt spadku popytu globalnego. Do 1990 r. nastąpił powrót do stopy bezrobocia 4%, ale przy niskiej inflacji wynoszącej 1%. W 1995 r. gospodarka ponownie się ożywiła i bezrobocie spadło do 2%, zaś inflacja wzrosła do 4%, co najpewniej wynikało ze wzrostu popytu globalnego. W 2000 r. gospodarka powróciła do stopy bezrobocia równej 4%, ale przy wysokiej inflacji wynoszącej 5%. Krok 4. Czy dane zilustrowane punktami na wykresie sugerują występowanie jednej, czy kilku krzywych Phillipsa? Jeśli prześledzimy rozkład punktów na wykresie, możemy dostrzec zarówno krótkookresową krzywą Phillipsa pokazującą ujemną zależność między bezrobociem a inflacją, jak i pionową linię reprezentującą długookresową krzywą Phillipsa, której odpowiada naturalna stopa bezrobocia w wysokości 4%. Stopa bezrobocia charakterystyczna dla długookresowej krzywej Phillipsa jest równa naturalnej stopie bezrobocia. Niewielkiemu wzrostowi poziomu cen w wyniku przesunięcia krzywej popytu globalnego z położenia AD 0 do AD 1 nie towarzyszy zmiana stopy bezrobocia, które pozostaje na poziomie naturalnym. Podobnie stopa bezrobocia pozostaje stała w przypadku dużego wzrostu poziomu cen wynikającego z przesunięcia krzywej AD z położenia AD 0 do AD 2 . Równowaga makroekonomiczna na pionowej krzywej podaży globalnej może występować przy wielu różnych poziomach cen, co oznacza, że naturalnej stopie bezrobocia odpowiadają różne stopy inflacji. Jeden z najwybitniejszych ekonomistów XX w. i laureat Nagrody Nobla Milton Friedman (1912–2006) w swoim przemówieniu z 1967 r. tak podsumował neoklasyczny pogląd na temat istnienia długookresowej krzywej Phillipsa: „Zawsze istnieje ujemna zależność między inflacją a bezrobociem w krótkim okresie, natomiast w długim okresie taka zależność nie występuje”. Z perspektywy keynesowskiej ważne jest znalezienie odpowiedniego poziomu popytu globalnego w taki sposób, aby – uwzględniając położenie rosnącej krzywej podaży globalnej – punkt przecięcia tych krzywych odpowiadał potencjalnemu PKB. Oznacza to, że rząd powinien dostosować rozmiary popytu globalnego do potencjalnego poziomu PKB, czyli starać się, aby AD był na tyle wysoki, by zapobiec pojawieniu się bezrobocia cyklicznego, a zarazem odpowiednio niski, aby nie wystąpiła presja inflacyjna. W modelu neoklasycznym podaż globalna określa wielkość produkcji na poziomie potencjalnym, naturalna stopa bezrobocia wyznacza faktyczny poziom bezrobocia, a zmiany popytu globalnego są głównym czynnikiem determinującym tempo zmiany cen. Wejdź na tę stronę internetową , aby dowiedzieć się, jakie mogą być skutki interwencji państwa w gospodarce. Stopy inflacji i bezrobocia Jak wyjaśniliśmy w , ekonomiści dzielą bezrobocie na dwie kategorie: bezrobocie cykliczne i bezrobocie naturalne . Bezrobocie naturalne jest sumą bezrobocia frykcyjnego i strukturalnego. Bezrobocie cykliczne wynika z istnienia cykli koniunkturalnych (czyli wahań rzeczywistej produkcji wokół poziomu potencjalnego) i pojawia się, gdy gospodarka produkuje poniżej potencjalnego PKB, co nie tworzy dostatecznych bodźców, aby pracodawcy zatrudniali wszystkie osoby zainteresowane podjęciem pracy. Gdy produkcja znajduje się na poziomie potencjalnym, bezrobocie cykliczne nie występuje. Ze względu na dynamikę rynku pracy, na którym zawsze ktoś wchodzi na rynek, a ktoś inny go opuszcza, stopa bezrobocia nigdy nie spada do zera, nawet jeśli gospodarka produkuje na poziomie równym lub wyższym od potencjalnego PKB. Chyba najlepszym wynikiem, jakiego możemy oczekiwać od rynku pracy, jest zrównanie liczby wolnych miejsc pracy z liczbą osób poszukujących zatrudnienia. Wiemy, że poszukiwanie pracy jest procesem czasochłonnym, gdyż musi minąć pewien okres, aby pracownicy i pracodawcy oferujący i poszukujący analogicznych kwalifikacji natrafili na siebie. Czas konieczny na znalezienie odpowiedniego miejsca pracy (niezbędnego pracownika) prowadzi do powstania bezrobocia frykcyjnego. Większość ekonomistów nie uważa bezrobocia frykcyjnego za coś złego. W końcu zawsze znajdą się pracownicy, którzy są bezrobotni, bo akurat poszukują pracy lepiej dopasowanej do ich umiejętności lub po prostu lepiej wynagradzanej. Cały czas istnieją również pracodawcy, którzy mają wolne stanowiska pracy, gdyż szukają pracowników o lepszych kwalifikacjach do wykonywania danego zajęcia. Idealnie byłoby, gdyby czas poszukiwań na rynku pracy był bardzo krótki, ale nawet wtedy, gdy gospodarka bardzo szybko rośnie, pewien poziom bezrobocia naturalnego jest nieunikniony i wyraża go właśnie naturalna stopa bezrobocia. Neoklasyczne spojrzenie na rynek pracy pomija problem bezrobocia cyklicznego – czyli bezrobocia spowodowanego recesją – i koncentruje się na stopie bezrobocia występującej nawet wtedy, gdy gospodarka działa na poziomie potencjalnego PKB. Innymi słowy, neoklasycy zajmują się kwestią tego, jaką politykę gospodarczą prowadzi państwo w celu zmniejszenia naturalnej stopy bezrobocia. Właściwa polityka gospodarcza może obejmować zmianę form wsparcia osób bezrobotnych i programów opieki społecznej, tak aby oferowały one pomoc potrzebującym, jednocześnie tworząc zachęty do aktywnego poszukiwania pracy. Przykładem takich działań może być przegląd przepisów pod kątem tego, czy w sposób niezamierzony nie zniechęcają przedsiębiorstw do zatrudniania nowych pracowników. Albo też tworzenie instytucji usprawniających przepływ informacji o wolnych miejscach pracy i zwiększających mobilność pracowników, aby umożliwić szybsze dopasowanie do siebie pracowników i dostępnych miejsc pracy. Z kolei w przypadku pracowników, których umiejętności nie są już poszukiwane (np. strukturalnie bezrobotnych pracownic przemysłu lekkiego, których miejsca pracy powędrowały do Azji Południowo-Wschodniej), państwo może podjąć działania ułatwiające przekwalifikowanie się, aby ludzie ci mogli ponownie znaleźć zatrudnienie. Ekonomiści neoklasyczni nie postrzegają popytu globalnego jako narzędzia służącego zmniejszaniu bezrobocia. W końcu przy pionowej krzywej podaży globalnej określającej wielkość produkcji popyt globalny nie wykazuje długookresowego wpływu na poziom bezrobocia. Ekonomiści neoklasyczni uważają natomiast, że popyt globalny powinien rosnąć tylko o tyle, by dopasować się do stopniowych przesunięć krzywej podaży globalnej w prawo i tym samym utrzymać ceny na stałym poziomie. Zgodnie z modelem neoklasycznym wzrost popytu globalnego w długim okresie prowadzi jedynie do inflacji. pokazuje pionową krzywą LAS i trzy różne poziomy popytu globalnego – w kolejności rosnącej od AD 0 , przez AD 1 , do AD 2 . Gdy punkt równowagi makroekonomicznej przesuwa się z E 0 do E 1 i następnie do E 2 , poziom cen rośnie, ale realny PKB się nie zmienia, podobnie jak stopa bezrobocia, która pozostaje na poziomie naturalnym. Z drugiej strony ograniczanie inflacji również nie wiąże się z długookresowymi kosztami. Spójrz na tak, jakby krzywa popytu globalnego przesuwała się z położenia AD 2 do AD 1 i AD 0 , a równowaga – z E 2 do E 1 i następnie do E 0 . Podczas tego procesu poziom cen spada, a realny PKB i naturalna stopa bezrobocia w długim okresie się nie zmieniają. Jak popyt globalny determinuje poziom cen w długim okresie Jeśli popyt globalny przesuwa się w prawo, z położenia AD 0 do AD 1 i następnie do AD 2 , czemu odpowiada przesunięcie punktu równowagi z E 0 do E 1 i E 2 , realny PKB i poziom bezrobocia się nie zmieniają. Pojawia się jednak presja inflacyjna i poziom cen wzrasta. Wejdź tutaj , aby uzyskać informacje o zależności między inflacją a bezrobociem. Walka z recesją czy pobudzanie długookresowego wzrostu gospodarczego? Ekonomiści neoklasyczni uważają, że gospodarka zawsze nieuchronnie wychodzi z recesji lub zaczyna się ponownie kurczyć po okresie ekspansji, ponieważ ceny i płace są elastyczne i dostosowują się w górę lub w dół, aby przywrócić poziom potencjalnego PKB. Stąd kwestią kluczową dla neoklasyków jest pobudzanie wzrostu potencjalnego PKB. Wiemy, że wzrost gospodarczy ostatecznie zależy od tempa wzrostu produktywności czynników wytwórczych w długim okresie. Produktywność jest mierzona wartością produktów finalnych, których powstanie jest konsekwencją wykorzystania określonego wolumenu nakładów. Produktywność gospodarki USA wzrastała w XX w. średnio o ok. 2% rocznie. Oznacza to, że w każdym kolejnym roku dzięki tej samej ilości nakładów można było wyprodukować o 2% więcej towarów niż w okresie poprzednim. Wiemy również, że wzrost produktywności jest bardzo zróżnicowany w krótkim okresie ze względu na czynniki cykliczne, chociaż w długim okresie również wykazuje pewne wahania. Na przykład w latach 1953–1972 wydajność pracy w USA (mierzona produkcją na godzinę w sektorze przedsiębiorstw) wzrastała w tempie 3,2% rocznie. W latach 1973–1992 dynamika wzrostu wydajności pracy znacznie się obniżyła, do poziomu 1,8% rocznie. Następnie w latach 1993–2010 ponownie lekko przyspieszyła, osiągając 2% rocznie. W ciągu ostatnich kilku lat tempo wzrostu wydajności pracy ponownie spadło poniżej 2%, choć w latach 2019 i 2020 dynamika ponownie wzrosła powyżej 2% rok do roku. Ekonomiści neoklasyczni uważają, że podstawą długookresowego wzrostu produktywności są inwestycje w kapitał ludzki, kapitał rzeczowy i technologię, realizowane w gospodarce rynkowej, która wynagradza działalność innowacyjną. Polityka rządu powinna więc koncentrować się na promowaniu tych czynników. Neoklasyczne rekomendacje dla polityki gospodarczej – podsumowanie Ekonomiści neoklasyczni nie wierzą w skuteczność polityki skoncentrowanej na popycie globalnym. Uważają natomiast, że stabilne otoczenie gospodarcze z niską stopą inflacji sprzyja wzrostowi gospodarczemu. Podobnie stawki podatkowe powinny być niskie i względnie stałe, tak aby stymulować proces inwestycji w długim okresie. W takim środowisku prywatne podmioty gospodarcze mogą podejmować najlepsze możliwe decyzje, które prowadzą do optymalnych inwestycji w kapitał rzeczowy i ludzki oraz badania i rozwój w celu promowania nowych technologii. Ekonomia neoklasyczna i ekonomia keynesowska - podsumowanie przedstawia kluczowe różnice między szkołą neoklasyczną a szkołą keynesowską. Ekonomia neoklasyczna a ekonomia keynesowska Wyszczególnienie Ekonomia neoklasyczna Ekonomia keynesowska Horyzont czasowy Długi okres Krótki okres Ceny i płace Giętkie Lepkie (sztywne) Podstawowy czynnik wyznaczający wielkość produkcji Podaż globalna Popyt globalny Krzywa podaży globalnej Pionowa Rosnąca Krzywa Phillipsa Pionowa Malejąca Czy popyt globalny jest skutecznym narzędziem kontrolowania inflacji? Tak Tak Jakie działania powinno podjąć państwo, aby zmniejszyć bezrobocie? Zreformować instytucje rynku pracy w celu obniżenia naturalnej stopy bezrobocia Zwiększyć popyt globalny w celu wyeliminowania bezrobocia cyklicznego Czy popyt globalny jest skutecznym narzędziem do zakończenia recesji? O ile w ogóle, to tylko w krótkim okresie, gdyż w długim okresie powoduje inflację Tak Podsumowanie Ekonomiści neoklasyczni kładą większy nacisk na długookresowy wzrost gospodarczy niż na walkę z recesją w krótkim okresie, ponieważ wierzą, że recesje nieuchronnie i samoczynnie zanikają w ciągu maksimum kilku lat, a czynnikiem, który ostatecznie określi standard życia, jest długookresowy wzrost gospodarczy. Koncentrują się bardziej na zmniejszaniu naturalnej stopy bezrobocia za pomocą reform instytucjonalnych i polityki państwa niż na redukcji bezrobocia cyklicznego wywoływanego przez recesję. Ekonomiści neoklasyczni nie widzą również żadnych społecznych korzyści wynikających z inflacji. Przy rosnącej keynesowskiej krzywej AS inflacja może się pojawić, gdy gospodarka zbliża się do pełnego zatrudnienia. Jednak przy neoklasycznej pionowej długookresowej krzywej AS inflacji nie towarzyszy żaden wzrost produkcji. Jeśli krzywa podaży globalnej jest pionowa, wzrost popytu globalnego nie prowadzi do wzrostu produkcji, a jedynie do inflacji. Pionowa krzywa podaży globalnej, zgodnie z którą produkcji potencjalnej może odpowiadać wiele różnych poziomów cen, implikuje również pionową krzywą Phillipsa. Pytania sprawdzające Nowe prawo zobowiązuje rząd do prowadzenia polityki gospodarczej umożliwiającej osiągnięcie stopy bezrobocia na poziomie 0% poprzez zwiększanie popytu globalnego o wielkość konieczną do realizacji tego celu. Jak z perspektywy neoklasycznej taka polityka wpłynie na produkcję i ceny w krótkim i długim okresie? Zilustruj swoją odpowiedź na wykresie z modelem AD-AS. Wskazówka: Spójrz jeszcze raz na . Jak popyt globalny determinuje poziom cen w długim okresie. Rozwiązanie 1.1 Stopa bezrobocia 0% jest prawdopodobnie o wiele niższa od naturalnej stopy bezrobocia, która odpowiada potencjalnemu PKB. Polityka taka będzie przesuwać krzywą AD bardzo mocno w prawo. W krótkim okresie możliwe jest utrzymywanie bezrobocia nieco poniżej naturalnej stopy za cenę wyższej inflacji, co pokazuje ruch z punktu E 0 do E 1 wzdłuż krótkookresowej krzywej AS. Jednak ekstremalnie niskie stopy bezrobocia doprowadzą w końcu do podwyżek płac i spowodują przesunięcie krótkookresowej krzywej AS w lewo. Rezultatem będzie wyższy poziom cen, ale gospodarka wciąż będzie znajdować się na poziomie potencjalnego PKB i naturalnej stopy bezrobocia określonej przez długookresową krzywą AS. Jeśli rząd utrzyma tę politykę, efektem będzie przyspieszona inflacja, ale zerowe bezrobocie nie zostanie osiągnięte, ponieważ w gospodarce rynkowej cel ten jest niemożliwy do zrealizowania Czy stwierdzenie, że teoria racjonalnych oczekiwań stanowi skrajną wersję ekonomii neoklasycznej, ma sens? Uzasadnij swoją odpowiedź. Takie stwierdzenie jest prawdziwe. Teorię racjonalnych oczekiwań można traktować jako wersję ekonomii neoklasycznej, zgodnie z którą potencjalny PKB i stopa bezrobocia są kształtowane przez siły rynkowe w wyniku dostosowań cen i płac. Racjonalne oczekiwania stanowią jednak wersję „ekstremalną” tego poglądu, ponieważ zakładają, że dostosowania zachodzą bardzo szybko. Inne teorie, np. hipoteza adaptacyjnych oczekiwań, sugerują, że proces dostosowań zajmuje kilka lat. Sprawdź wiedzę Czy ekonomiści neoklasyczni koncentrują się w większym stopniu na długookresowym wzroście gospodarczym, czy na recesjach? Krótko uzasadnij swoją odpowiedź. Czy ekonomiści neoklasyczni koncentrują się w większym stopniu na bezrobociu cyklicznym, czy na inflacji? Krótko uzasadnij swoją odpowiedź. Czy ekonomiści neoklasyczni są skłonni tolerować nieco wyższą inflację, jeśli pozwala ona uzyskać większą produkcję? Krótko uzasadnij swoją odpowiedź. Jeśli krzywa podaży globalnej jest pionowa, jaką rolę odgrywa popyt globalny w określaniu wielkości produkcji i poziomu cen? Jaki kształt ma neoklasyczna długookresowa krzywa Phillipsa? Jakie założenia przyjęte przez ekonomistów uzasadniają taki kształt? Ćwicz myślenie krytyczne Amerykańska ustawa o odbudowie i reinwestowaniu (American Recovery and Reinvestment Act) została skrytykowana przez ekonomistów wszystkich nurtów. „Pakiet stymulacyjny” był prawdopodobnie narzędziem zgodnym z modelem keynesowskim, dlaczego więc nie spotkał się z uznaniem keynesistów? Dlaczego krytycznie nastawieni byli ekonomiści neoklasyczni? Bibliografia American Statistical Association. “ASA Headlines.” http://www.amstat.org/. Haubrich, Joseph G., George Pennacchi, and Peter Ritchken. “Working Paper 11-07: Inflation Expectations, Real Rates, and Risk Premia: Evidence from Inflation Swaps.” Federal Reserve Bank of Cleveland . Last modified March 2011. http://www.clevelandfed.org/research/workpaper/2011/wp1107.pdf. University of Michigan: Institute for Social Research. “Survey Research Center.” http://www.src.isr.umich.edu/. oczekiwana inflacja (ang. expected inflation ) przyszła stopa inflacji, którą konsumenci i przedsiębiorstwa oszacowują, a następnie uwzględniają przy podejmowaniu bieżących decyzji", "section": "Wpływ podejścia neoklasycznego na politykę fiskalną i pieniężną", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Poszukiwanie równowagi między modelem keynesowskim a neoklasycznym Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, jak na recesję reagują ekonomiści neoklasyczni, a jak keynesowscy Zrozumieć, jakie są współzależności pomiędzy modelem neoklasycznym i keynesowskim Proces poszukiwania złotego środka pomiędzy modelem keynesowskim a neoklasycznym można porównać do jednoczesnej jazdy na dwóch koniach. Kiedy artysta cyrkowy stoi na dwóch rumakach, mając jedną stopę na grzbiecie konia prawego, a drugą na grzbiecie lewego, ekscytacja widzów rośnie wraz z powiększającym się odstępem między zwierzętami. Współcześni ekonomiści wjeżdżają w przyszłość właśnie na takich dwóch koniach – jedną nogą stojąc na krótkookresowej perspektywie keynesowskiej, a drugą na długookresowym podejściu neoklasycznym. Zachowanie równowagi pomiędzy obydwoma sposobami analizy może wydawać się karkołomne, ale nie da się go uniknąć. Zarówno podejście keynesowskie, jak i neoklasyczne ma bowiem swoje mocne i słabe strony. Krótkookresowy model keynesowski, podkreślający istotną rolę popytu globalnego jako źródła cykli koniunkturalnych oraz zakładający sztywność cen i płac, dobrze objaśnia przyczyny wielu recesji oraz wahania bezrobocia cyklicznego. Koncentrując się na krótkookresowych dostosowaniach produkcji do popytu globalnego, ekonomia keynesowska pomija jednak długookresowe determinanty wzrostu gospodarczego, które trzeba wziąć pod uwagę nawet wtedy, gdy gospodarka znajduje się na poziomie potencjalnego PKB i naturalnej stopy bezrobocia. Model neoklasyczny, kładący nacisk na zagregowaną podaż, koncentruje się na podstawowych determinantach produkcji i zatrudnienia i jest przydatny przede wszystkim do analizy wzrostu gospodarczego i rynków pracy w długim okresie. Model neoklasyczny nie jest jednak szczególnie pomocny w wyjaśnianiu wahań bezrobocia w krótkim, kilkuletnim horyzoncie czasowym. W zasadzie nie jest też użyteczny, gdy gospodarka pogrążona jest w długotrwałej, głębokiej recesji, takiej jak Wielki Kryzys z lat 30. XX w. Ekonomia keynesowska postrzega inflację jako cenę, którą trzeba zapłacić za niskie bezrobocie, zaś dla ekonomistów neoklasycznych inflacja jest kosztem, który nie oferuje żadnych kompensujących korzyści w postaci niższego bezrobocia. Makroekonomia nie jest jednak wyborem między poglądami jednej grupy ekonomistów, którzy są czystymi keynesistami, a poglądami grupy drugiej, czyli czystych neoklasyków. Wielu ekonomistów głównego nurtu wierzy w użyteczność zarówno podejścia keynesowskiego, jak i neoklasycznego. Robert Solow , laureat Nagrody Nobla w dziedzinie ekonomii z 1987 r., tak opisał to specyficzne podwójne podejście: Myślę, że w krótkim okresie coś w rodzaju „keynesizmu” jest użytecznym sposobem analizy gospodarki, z pewnością lepszym niż cokolwiek „neoklasycznego”. W bardzo długich okresach odpowiedzi na interesujące pytania najlepiej szukać w ramach modelu neoklasycznego, zaś ujęcie keynesowskie byłoby znacznie mniej użyteczne. W perspektywie od pięciu do dziesięciu lat musimy złożyć nasz sposób rozumienia gospodarki w całość najlepiej, jak potrafimy, i poszukać modelu eklektycznego [łączącego podejście neoklasyczne i keynesowskie], który spełni oczekiwania, jakie przed nim postawimy. Wielu współczesnych ekonomistów poświęca dużo czasu i energii na próby skonstruowania modelu, który łączyłby najbardziej atrakcyjne aspekty podejścia keynesowskiego i neoklasycznego. Możliwe jest zbudowanie złożonego modelu matematycznego, w którym popyt globalny oraz lepkie ceny i płace mają znaczenie w krótkim okresie, zaś w długiej perspektywie czasowej ceny, płace i podaż globalna dostosowują się w pełni do zmiennej sytuacji w gospodarce. Jednak opracowanie ogólnego modelu, który obejmowałby zarówno krótkookresowe ujęcie keynesowskie, jak i długookresowe ujęcie neoklasyczne, nie jest łatwe. Żeglując po nieznanych wodach – globalny kryzys finansowy i wywołana pandemią recesja z roku 2020 Czy polityka państwa realizowana w celu ustabilizowania gospodarki i rynków finansowych w okresie globalnego kryzysu finansowego była skuteczna? Wielu ekonomistów zarówno ze szkoły keynesowskiej, jak i neoklasycznej twierdziło, że tak, chociaż w różnym stopniu. Alan Blinder z Princeton University i Mark Zandi z Moody’s Analytics uważali, że bez aktywnej polityki fiskalnej spadek PKB w USA byłby znacznie większy niż 3,3% w 2008 r. i 0,1% w roku 2009. Oszacowali również, że gospodarka amerykańska straciłaby o 8,5 mln miejsc pracy więcej, gdyby rząd nie interweniował na rynku i nie realizował Programu pomocy dla zagrożonych aktywów ( Troubled Asset Relief Program – TARP) w celu wsparcia branży finansowej i kluczowych producentów samochodów, takich jak General Motors i Chrysler. Carlos Carvalho, Stefano Eusip i Christian Grisse, ekonomiści Banku Rezerwy Federalnej, wykazali w swoim badaniu pt. „Policy Initiatives in the Global Recession: What Did Forecasters Expect?”, że po interwencji państwa osoby i instytucje opracowujące prognozy gospodarcze dostosowały swoje oczekiwania do nowej polityki państwa. Częściej przewidywali wzrost inwestycji w związku z niższymi stopami procentowymi wynikającymi z ekspansywnej polityki pieniężnej oraz przyspieszonym wzrostem gospodarczym będącym efektem polityki fiskalnej. Model neoklasyczny można również wykorzystać, aby lepiej zrozumieć doświadczenia USA w zakresie polityki gospodarczej wdrożonej podczas wywołanej pandemią recesji w roku 2020. Jednym z najważniejszych zarzutów stawianych ekonomistom keynesowskim przez zwolenników perspektywy neoklasycznej jest to, że polityka rządu często zbyt wolno reaguje na pojawiające się recesje. Jednak po wybuchu pandemii rząd federalny zareagował naprawdę szybko, udzielając pomocy władzom stanowym i lokalnym, zwiększając ubezpieczenie dla bezrobotnych, pomagając firmom zmuszonym do zamknięcia działalności oraz wprowadzając czeki stymulacyjne w celu zwiększenia wydatków. Nie ma wątpliwości, że bez tej polityki skutki gospodarcze pandemii byłyby znacznie gorsze. Niektórzy ekonomiści twierdzą nawet, że rząd pomógł „za bardzo”. Ich zdaniem wysoka inflacja, jakiej doświadczyła amerykańska gospodarka od połowy 2021 r., jest spowodowana faktem, że realna produkcja rosła szybciej niż potencjalna. Teza ta jest w zasadzie akceptowana przez większość amerykańskich ekonomistów, spory budzi jedynie skala wpływu pomocy federalnej na stopę inflacji i oddzielenie czynników popytowych od podażowych (wzrostu kosztów wywołanego przerwaniem łańcuchów dostaw i wzrostem cen surowców energetycznych, do którego doszło w drugiej połowie 2022 r. w związku z przygotowaniami Rosji do napaści na Ukrainę). Skądinąd podobne argumenty pojawiają się w polskiej debacie dotyczącej strategii radzenia sobie z gospodarczymi skutkami pandemii koronawirusa. Skupiając się na potencjalnym PKB zamiast na popycie krótkookresowym, zwolennicy modelu neoklasycznego podkreślają również zależność pomiędzy bieżącą sytuacją w gospodarce a możliwościami generowania wysokich stóp wzrostu w przyszłości. Od czasu uderzenia pandemii miliony pracowników pozostało poza rynkiem pracy z powodu wcześniejszych emerytur, obaw o zdrowie i bezpieczeństwo, dostępności opieki nad dziećmi i zamknięcia szkół. Jak wspomniano w rozdziale poświęconym bezrobociu ( ), zmiany te spowodowały, że aktywność zawodowa utrzymuje się na poziomie niższym niż średnia historyczna. Pandemia utrudniła również przyszłym pracownikom zdobycie umiejętności zwiększających produktywność na rynku pracy. Im dłużej będzie się utrzymywać ta niekorzystna sytuacja, tym niższe będzie tempo wzrostu potencjalnego PKB. Podsumowanie Ekonomia keynesowska uważa zmiany popytu globalnego za przyczynę cyklicznych wahań. Keynesiści opowiadają się za tym, by państwo prowadziło aktywną politykę służącą zapobieganiu recesjom i inflacji, ponieważ ich zdaniem gospodarka szybko i samoczynnie nie powróci do stanu pełnego zatrudnienia. Ekonomia neoklasyczna kładzie większy nacisk na podaż globalną. Neoklasycy uważają, że długookresowy wzrost produktywności wpływa na potencjalny PKB i że gospodarka po zmianie popytu globalnego zazwyczaj szybko powraca do stanu pełnego zatrudnienia. Ekonomiści neoklasyczni, sceptyczni co do skuteczności polityki keynesowskiej, są bardziej skłonni opowiadać się za brakiem lub bardzo ograniczoną rolą aktywnej polityki stabilizacyjnej państwa. Podczas gdy keynesiści w walce z recesją odwołują się do ujemnej zależności między inflacją a bezrobociem, zdaniem ekonomistów neoklasycznych taka zależność nie istnieje. Neoklasycy uważają, że wszelkie wynikające z aktywnej polityki państwa krótkookresowe korzyści (np. w postaci niższego bezrobocia) w końcu znikną, a jej wynikiem będzie jedynie inflacja. Pytanie sprawdzające Spróbuj krótko podsumować założenia keynesowskiego i neoklasycznego modelu gospodarki. Krótkookresowy model keynesowski opiera się na sztywności cen i płac oraz dużej roli popytu globalnego jako czynnika powodującego cykle koniunkturalne. Dzięki temu dobrze wyjaśnia wiele recesji oraz wahania bezrobocia cyklicznego. Model neoklasyczny podkreśla dużą rolę podaży globalnej i koncentruje się na podstawowych determinantach produkcji i zatrudnienia, a tym samym kładzie większy nacisk na wzrost gospodarczy i sposób funkcjonowania rynków pracy. Sprawdź wiedzę Dlaczego zwolennicy modelu neoklasycznego sprzeciwiają się aktywnej polityce państwa polegającej na stymulowaniu popytu globalnego w czasie recesji, jeśli mogłoby to pomóc w osiągnięciu pełnego zatrudnienia? Uzasadnij swoją odpowiedź. Jeśli gospodarka cierpi z powodu wysokiej inflacji, czy ekonomista keynesowski opowiadałby się za polityką stabilizacyjną obejmującą wyższe podatki i wyższe stopy procentowe? Uzasadnij swoją odpowiedź. Ćwicz myślenie krytyczne Czy bycie neoklasycznym keynesistą jest logiczną sprzecznością? Uzasadnij swoją odpowiedź. Bibliografia Carvalho, Carlos, Stefano Eusepi, and Christian Grisse. “Policy Initiatives in the Global Recession: What Did Forecasters Expect?” Federal Reserve Bank of New York: Current Issues in Economics and Finance , 18, no. 2 (2012). http://www.newyorkfed.org/research/current_issues/ci18-2.pdf.", "section": "Poszukiwanie równowagi między modelem keynesowskim a neoklasycznym", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Muszla czy pieniądz? Czy to jest zdjęcie muszli, czy pieniądza? Odpowiedź brzmi: i tego, i tego. Przez wieki ludzie w różnych częściach świata wykorzystywali niezwykle wytrzymałe muszle kauri jako środek płatniczy. (Źródło: modyfikacja pracy „prilfish”/Flickr Creative Commons). Różne wcielenia pieniądza: od muszli do kryptowalut Jeśli chcesz popisać się przed znajomymi, zadaj im proste z pozoru pytanie: czego w historii ludzkości używano w charakterze pieniądza najdłużej i na największym obszarze? Prawidłową odpowiedzią nie jest ani złoto, ani srebro czy jakikolwiek inny metal szlachetny. To kauri, muszla morskiego ślimaka z gatunku Cypraea moneta , szczególnie licznego w wodach u wybrzeży Malediwów na Oceanie Indyjskim. Muszle porcelanek (bo taka nazwa również jest używana) służyły jako pieniądze już w roku 700 p.n.e. w Chinach. Do XVI w. były wciąż szeroko stosowane w Indiach i Afryce. Przez kilka stuleci kauri stanowiły środek wymiany na rynkach obejmujących południową Europę, zachodnią Afrykę, Indie i Chiny: można było nimi płacić za żywność, transport, a nawet całe statki z ładowniami wypełnionymi jedwabiem lub ryżem. Kauri akceptowano jako sposób opłacania podatków w niektórych krajach afrykańskich jeszcze na początku XX w. Co sprawiło, że muszle porcelanki tak dobrze sprawdzały się w roli pieniądza? Po pierwsze, są niezwykle trwałe – wytrzymują bez zbytniego uszczerbku ponad sto lat. Nieżyjący już historyk ekonomii Karl Polyani stwierdził, że można je „przesypywać, trzymać w workach, przerzucać łopatą i gromadzić w stosach”, a one pozostają „czyste, delikatne, wolne od rdzy, wypolerowane i mlecznobiałe”. Po drugie, strony transakcji mogły wykorzystywać muszle w różnych rozmiarach lub – w przypadku dużych zakupów – ważyć lub mierzyć objętość wszystkich muszli przeznaczonych na wymianę. Po trzecie, muszli kauri nie można było podrobić, co w przypadku złotych lub srebrnych monet zdarzało się dość często. Wreszcie w okresie rozkwitu pieniądza kauri, czyli od XVI do XIX w., rządy, najpierw portugalski, później również holenderski i angielski, ściśle kontrolowały pozyskiwanie tych muszli. W rezultacie „emisja” kauri rosła wystarczająco szybko, aby zaspokoić potrzeby handlu, ale nie tak szybko, aby porcelanki utraciły walor rzadkości. Pieniądz na przestrzeni wieków przybierał różne formy i ewoluuje nawet dzisiaj, czego przykładem są kryptowaluty. Czym wobec tego jest twoim zdaniem pieniądz? Wprowadzenie do tematu pieniądza i systemu bankowego Dzięki lekturze tego rozdziału dowiesz się: Jak stworzyć definicję pieniądza, wykorzystując jego funkcje W jaki sposób mierzy się zasób pieniądza: gotówki oraz agregatów pieniężnych M1, M2 i M3 Jaką funkcję pełnią banki W jaki sposób banki kreują pieniądz Rozważania dotyczące pieniądza i systemu bankowego są kluczowym elementem makroekonomii. Rozpoczynając lekturę tego rozdziału, wiesz już, że problematyka makroekonomii koncentruje się wokół zagadnień wzrostu gospodarczego , niskiego bezrobocia i niskiej inflacji , tak jak to zostało przedstawione w . Teraz czas na omówienie kwestii pieniądza i tego, w jaki sposób przekłada się on na możliwości realizacji tych trzech podstawowych celów makroekonomicznych. Przystępując do lektury niniejszego rozdziału, znasz już keynesowskie i neoklasyczne ramy analizy makroekonomicznej oraz to, w jaki sposób można je wprowadzić do modelu AD-AS ( modelu zagregowanego popytu-zagregowanej podaży ). Biorąc pod uwagę cele, jakie stawiają sobie makroekonomiści, a także sposób analizy interesujących ich zjawisk, ostatnim elementem, który musimy omówić, jest polityka makroekonomiczna. Składają się na nią: polityka monetarna (pieniężna), koncentrująca się na pieniądzu, systemie bankowym i stopach procentowych, oraz polityka fiskalna, w ramach której podejmowane są decyzje dotyczące podatków i wydatków państwa. W tym rozdziale przedstawiony zostanie sposób, w jaki ekonomiści postrzegają pieniądz, oraz jego powiązania z systemem bankowym. Kolejny będzie rozwijał wprowadzone tutaj wątki.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Definicja pieniądza i jego funkcji Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać różne funkcje pieniądza Porównać pieniądz towarowy z pieniądzem symbolicznym (papierowym lub inaczej fiducjarnym) Pieniądze (a dokładniej ich posiadanie) nie są celem samym w sobie i nie powinno się o nich myśleć w ten sposób. Banknotami dolarowymi ani kartami kredytowymi nikt się nie naje, trudno też zrobić z nich ubranie. Ostatecznie użyteczność pieniądza wynika z możliwości jego wymiany na dobra lub usługi. W 1911 r. amerykański pisarz i humorysta Ambrose Bierce (1842–1914) napisał, że pieniądze są „błogosławieństwem, które nie przynosi nam żadnej korzyści, chyba że się z nim rozstaniemy”. Jeszcze inaczej ujęła to Norma Jeane Mortenson Baker (czyli po prostu Marilyn Monroe), znana ze swojego stwierdzenia, że „pieniądze szczęścia nie dają, [czynią to] dopiero zakupy”. Pieniądze są tym, czego ludzie regularnie używają przy zakupie lub sprzedaży dóbr i usług, dlatego – jeśli transakcja ma dojść do skutku – zarówno kupujący, jak i sprzedający muszą akceptować ten sam rodzaj pieniądza. Koncepcja pieniądza jest bardzo elastyczna, stąd na przestrzeni dziejów i w różnych kulturach pieniądze przybierały zróżnicowane formy. Barter i podwójna zbieżność zapotrzebowań Aby zrozumieć źródła użyteczności pieniędzy, zastanówmy się nad tym, jak świat wyglądałby bez nich. W jaki sposób ludzie wymienialiby się swoimi produktami? W gospodarkach bez pieniędzy zazwyczaj funkcjonuje system barterowy. Barter (ang. barter ) – dosłowna wymiana jednego dobra lub usługi na inne — w koordynacji handlu w nowoczesnej gospodarce jest nieskuteczny. W gospodarce nieznającej pieniądza wymiana między dwojgiem ludzi wiąże się z koniecznością zaistnienia podwójnej zbieżności zapotrzebowań (ang. double coincidence of wants ). A więc sytuacji, w której osoba A, pragnąca jakiegoś dobra, musi nie tylko znaleźć kogoś (osobę B), kto danym dobrem dysponuje, ale będzie również skłonny je wymienić na to, co z kolei może mu zaoferować osoba A. Na przykład jeśli księgowy chce nabyć parę czarnych butów i w zamian ma do zaoferowania usługi księgowe, musi znaleźć kogoś, kto ma takie buty w odpowiednim rozmiarze i na dodatek jest skłonny je wymienić na tego typu usługi. Taka transakcja może być niezwykle trudna, jeśli nie niemożliwa do zorganizowania. Pomyśl o złożoności zawodów we współczesnej gospodarce, z jej szeroko zakrojonym podziałem pracy, który obejmuje tysiące różnych zajęć i będących ich efektem produktów. Innym problemem związanym z barterem jest to, że w praktyce uniemożliwia on zawieranie kontraktów na przyszłe zakupy dóbr i usług. Jeśli np. jedno z dóbr, które staje się przedmiotem wymiany, jest nietrwałe, jego zamiana na inne produkty może być trudna lub wręcz niemożliwa. Wyobraź sobie rolnika, który przez sześć miesięcy poszukuje osoby chętnej do sprzedaży ciągnika w zamian za zbiory świeżych truskawek. Chociaż barter może stosunkowo sprawnie działać w gospodarkach małych i relatywnie słabo rozwiniętych, to zdecydowanie ogranicza on zdolności tych gospodarek do wzrostu. Czas, który podmioty ekonomiczne mogłyby poświęcić na wytwarzanie dóbr i usług lub po prostu odpoczynek, jest nieefektywnie wykorzystywany na organizowanie handlu wymiennego. Funkcje pieniądza Pieniądz (wkrótce przejdziemy do jego definicji) rozwiązuje problemy stanowiące immanentną część systemu barterowego. Po pierwsze, służy jako środek wymiany (ang. medium of exchange ), co oznacza, że działa jako pośrednik między kupującym a sprzedającym. Zamiast wymieniać usługi księgowe na buty, księgowy sprzedaje swoje usługi za pieniądze, za które następnie kupuje sobie buty. Aby pieniądz mógł służyć jako środek wymiany, podmioty ekonomiczne (ludzie i przedsiębiorstwa) muszą go powszechnie akceptować na rynkach towarów i usług oraz czynników produkcji (rynkach pracy i kapitału). Po drugie, pieniądz musi móc służyć jako środek przechowywania wartości ( tezauryzacji ) (ang. store of value ). Wróćmy do przykładu szewca wymieniającego swoje buty na pożądane dobra i usługi (np. księgowe). Przechowując swój majątek w postaci kolejnych par butów, ryzykuje on, że wyjdą one z mody (czyli nikt nie będzie się chciał na nie wymienić) i że ich wartość z każdym kolejnym sezonem będzie spadać. Buty nie są dobrym środkiem przechowywania wartości (w przeciwieństwie np. do dzieł sztuki, alkoholi czy znaczków pocztowych). Znacznie lepszym i łatwiejszym sposobem jest utrzymywanie oszczędności w postaci pieniędzy. Możesz spokojnie przechowywać je przez wiele lat, bo zachowają swoją wartość w kolejnym dniu i roku. Ta funkcja pieniądza nie wymaga, aby był on doskonałym środkiem przechowywania wartości. W gospodarce, w której pojawia się inflacja, pieniądz co roku traci część siły nabywczej, ale pozostaje środkiem wymiany i utrzymuje zdolność do pośredniczenia między sprzedającym a kupującym. Po trzecie, pieniądz służy jako jednostka rozrachunkowa (ang. unit of account ), co oznacza, że jest instrumentem (takim jak waga lub linijka), którym mierzymy wartość. Księgowy za rozliczenie zeznania podatkowego może pobrać opłatę w wysokości 400 zł, zamiast przeliczać ją na buty, bochenki chleba, kilogramy sera lub wędliny itd. Za 400 zł można z kolei kupić dwie pary butów, 40 bochenków chleba, kilka lub kilkanaście kilogramów wędliny lub sera. Pieniądze działają jak wspólny mianownik, metoda księgowania, która upraszcza myślenie o wymianie handlowej. Wreszcie ostatnią funkcją pieniądza jest to, że służy jako miernik odroczonych płatności (ang. standard of deferred payment ). Oznacza to, że jeśli pieniądze są akceptowane jako środek wymiany w dniu dzisiejszym, muszą mieć również zdolność do regulowania płatności dokonywanych w przyszłości. Dzięki tej funkcji pieniądza możliwe jest nie tylko kupowanie dóbr i usług, za które zapłacimy w przyszłości (np. w systemie ratalnym), lecz również zaciąganie pożyczek i kredytów. Warunki tego typu umów są wyrażane w pieniądzu. Pieniądz (ang. money ) spełnia zatem wszystkie te funkcje – jest środkiem wymiany, środkiem przechowywania wartości (tezauryzacji), jednostką rozrachunkową i miernikiem odroczonych płatności. Pieniądz towarowy a pieniądz symboliczny (fiducjarny) Pieniądz przybierał różne formy w różnych kulturach. Ludzie używali jako pieniędzy złota, srebra, muszli kauri, papierosów, soli, a nawet ziaren kakaowca. Chociaż na przestrzeni dziejów używaliśmy (a niekiedy wciąż używamy) tych dóbr jako pieniądza towarowego (ang. commodity money ), mają one również swoją wartość użytkową (ekonomista powie, że mają swoją użyteczność, niezależną od pełnionej funkcji). Na przykład ludzie od wieków używali kruszcu jako pieniądza, chociaż dzisiaj złoto i srebro cenimy raczej ze względu na inne ich walory. Złoto jest dobrym przewodnikiem elektryczności, dzięki czemu jest szeroko stosowane w przemyśle elektronicznym i lotniczym. Także inne gałęzie przemysłu wykorzystują złoto – np. do produkcji energooszczędnego szkła odblaskowego stosowanego w biurowcach, a także w przemyśle medycznym. Oczywiście złoto ma również dużą wartość ze względu na swój kolor, odporność na utlenianie i kowalność, co ułatwia wytwarzanie z niego biżuterii. Złoto historycznie wykorzystywano jako pieniądz towarowy. Służyło jako środek wymiany, przechowywania wartości i jednostka rozrachunkowa. Waluty zabezpieczone surowcami (ang. commodity-backed currencies ) lub inaczej waluty surowcowe to waluty, których wartość jest oparta na złocie lub innych towarach przechowywanych w banku. Przez większą część swojej historii podaż pieniądza w Stanach Zjednoczonych opierała się na rezerwach złota i srebra. Co ciekawe, banknoty jednodolarowe emitowane do 1957 r. mają nad wizerunkiem prezydenta Jerzego Waszyngtona wydrukowany tzw. srebrny certyfikat, tak jak to przedstawia . Oznaczał on, że posiadacz banknotu mógł go zanieść do odpowiedniego banku i tam wymienić na srebro o wartości jednego dolara. Srebrny certyfikat i współczesny banknot o nominale jednego dolara Do 1958 r. certyfikaty srebra były pieniądzem zabezpieczonym konkretnym towarem – srebrem. Wskazywał na to napis „srebrny certyfikat” ( Silver Certificate ) wydrukowany na banknocie (na dolnym zdjęciu, na środku górnego obramowania) oraz słowa „Wypłacalny w srebrze posiadaczowi na żądanie\" (\"In silver payable to the bearer on demand”) widoczne pośrodku na dole banknotu. Dzisiaj Rezerwa Federalna (czyli amerykański bank centralny i emisyjny) dostarcza banknoty amerykańskie, ale jest to pieniądz symboliczny, albo inaczej fiducjarny (papierowy pieniądz, którego nie można wymienić na żaden towar i którego funkcja wynika z przepisów prawa). (Źródło: „The.Comedian”/Flickr Creative Commons). W miarę rozwoju gospodarek i postępującego procesu globalizacji (który najprościej możemy zdefiniować jako wzrost wartości obrotów handlu międzynarodowego) korzystanie z pieniądza towarowego stawało się coraz bardziej uciążliwe. Kraje zdecydowały się więc używać pieniądza symbolicznego ( fiducjarnego ) (ang. fiat money ). Pieniądz symboliczny, w przeciwieństwie do pieniądza towarowego czy walut zabezpieczonych surowcami, nie ma żadnej innej użyteczności poza pełnioną funkcją. Jest traktowany jako prawny środek płatniczy na terenie danego kraju dzięki decyzji władz znajdującej umocowanie w przepisach prawa. Na przykład wszystkie banknoty znajdujące się w obiegu w Polsce są opatrzone inskrypcją: „BANKNOTY EMITOWANE PRZEZ NARODOWY BANK POLSKI SĄ PRAWNYM ŚRODKIEM PŁATNICZYM W POLSCE”. Innymi słowy, jeśli chcesz kupić coś w sklepie, na mocy prawa sprzedawca nie może odmówić ci wydania takiego dobra, jeśli zapłacisz mu legalnym banknotem, choć jego wartość nie jest zabezpieczona żadnym towarem. Jedyną gwarancją potwierdzającą wartość używanych przez nas pieniędzy jest powszechne zaufanie i wiara w to, że mają one wartość. Nic więcej. Obejrzyj to wideo o historii pieniądza. Key Concepts and Summary Ludzie regularnie używają pieniędzy, dokonując zakupów lub sprzedaży dóbr i usług. Gdyby pieniądze nie były dostępne, musieliby wymieniać się posiadanymi przez siebie produktami, co oznaczałoby, że każdy byłby zmuszony szukać osób, z którymi ma podwójną zbieżność zapotrzebowań. Każda ze stron transakcji musiałaby więc znaleźć kogoś, kto nie tylko dysponuje pożądanym przez nią dobrem, ale dodatkowo chce je wymienić na to konkretne dobro, które jest w jej posiadaniu. Pieniądz spełnia kilka funkcji: jest środkiem wymiany, jednostką rozrachunkową, środkiem przechowywania wartości (tezauryzacji) i miernikiem odroczonych płatności. Istnieją dwa rodzaje pieniądza: pieniądz towarowy, który jest konkretnym dobrem posiadającym użyteczność dla jego posiadaczy, dodatkowo traktowanym jak pieniądz, oraz pieniądz symboliczny (fiducjarny), który nie ma żadnej innej wartości poza tym, że jest gwarantowanym przez państwo prawnym środkiem płatniczym na terenie konkretnego kraju. Self-Check Questions Na terenie kasyn w Las Vegas klienci mogą wykorzystywać żetony nie tylko do zakupu jedzenia i napojów, ale nawet zapłaty za pokój hotelowy. Czy żetony w kasynie spełniają wszystkie trzy funkcje pieniądza? Dopóki przebywasz w kasynie, żetony pasują do definicji pieniądza, bo służą jako środek wymiany, jednostka rozrachunkowa i środek przechowywania wartości. Ale przestają nim być w momencie, w którym wyjdziesz z tego przybytku hazardu. Do pewnego stopnia jest to cecha charakterystyczna wszystkich rodzajów pieniądza symbolicznego, który przestaje pełnić swoją funkcję w momencie, gdy opuszczasz kraj, którego władze gwarantują danej walucie status prawnego środka płatniczego. Trudno przecież zapłacić w polskim sklepie brazylijskimi realami lub tureckimi lirami, choć zazwyczaj można to zrobić za pomocą wspólnej waluty – euro. Czy potrafisz wymienić jakieś dobro, które jest dobrym środkiem przechowywania wartości, ale nie spełnia pozostałych funkcji pieniądza? Jest wiele takich dóbr, które traktowane są jako lokata kapitału, czyli służą przechowywaniu wartości. Do najpopularniejszych należą nieruchomości (domy, mieszkania lub ziemia), dzieła sztuki, rzadkie znaczki pocztowe lub numizmaty, alkohole, a nawet autografy sławnych ludzi. Review Questions Jakie są cztery funkcje pełnione przez pieniądz? W jaki sposób pieniądz upraszcza procesy zakupu i sprzedaży? Na czym polega zjawisko podwójnej zbieżności zapotrzebowań? Critical Thinking Questions W znajduje się omówienie tego, gdzie i w jaki sposób muszle porcelanki wykorzystywane były jako pieniądz towarowy. Dziś w tym celu nie używamy już muszli kauri, ale czy – twoim zdaniem – współcześnie możliwe jest wprowadzenie innych rodzajów pieniądza towarowego? Jaką rolę może odgrywać technologia w sposobie, w jaki definiujemy pieniądz? Wyobraź sobie, że jesteś fryzjerem w świecie bez pieniędzy. Wyjaśnij, dlaczego w takich realiach niezwykle trudno byłoby ci pozyskiwać artykuły spożywcze, ubrania i mieszkanie. References Hogendorn, Jan and Marion Johnson. “The Shell Money of the Slave Trade\". Cambridge University Press, 2003. 6. barter (ang. barter ) wymiana jednego dobra lub usługi na inne bez używania pieniędzy pieniądz towarowy (ang. commodity money ) dobro trwałe i odporne na zniszczenie, posiadające swoją pierwotną użyteczność, dzięki której jest pożądane i może być wykorzystywane jako powszechnie akceptowany pieniądz waluty zabezpieczone surowcami (ang. commodity-backed currencies ) pieniądz papierowy, którego wartość jest oparta na kruszcu lub innych surowcach; posiadacz takich banknotów może je w dowolnym momencie wymienić na kruszec lub towar stanowiący ich zabezpieczenie waluty surowcowe zob. waluty zabezpieczone surowcami podwójna zbieżność zapotrzebowań (ang. double coincidence of wants ) sytuacja, gdy dwie osoby potrzebują określonych dóbr lub usług, które mogą sobie nawzajem zaoferować pieniądz symboliczny (ang. fiat money ) pieniądz, który nie ma żadnej innej użyteczności poza pełnioną funkcją, podstawą jego wartości jako prawnego środka płatniczego jest gwarancja państwa pieniądz fiducjarny zob. pieniądz symboliczny środek wymiany (ang. medium of exchange ) dobro, które jest powszechnie akceptowane jako sposób zapłaty za dokonywane zakupy, jedna z funkcji pieniądza pieniądz (ang. money ) każde dobro, które spełnia w społeczeństwie cztery funkcje: jest środkiem wymiany, przechowywania wartości (tezauryzacji), jednostką rozrachunkową i miernikiem odroczonych płatności. miernik odroczonych płatności (ang. standard of deferred payment ) funkcja pieniądza polegająca na tym, że jest on akceptowany jako środek regulowania płatności w przyszłości za zakupy dokonywane obecnie środek przechowywania wartości (ang. store of value ) każde dobro, które pozwala na przechowanie ekonomicznej wartości w czasie, jedna z funkcji pieniądza jednostka rozliczeniowa (ang. unit of account ) funkcja pieniądza polegająca na tym, że jest on wykorzystywany jako uniwersalny i powszechnie akceptowany sposób mierzenia wartości wszystkich dóbr i usług podlegających transakcjom rynkowym", "section": "Definicja pieniądza i jego funkcji", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Agregaty pieniężne M1, M2 i M3 Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować i porównać podaż pieniądza M1, M2 i M3 Określić, czy konkretne strumienie pieniężne wpływają na podaż pieniądza M1, czy na podaż pieniądza M2 Gotówka, którą trzymasz w kieszeni lub w portfelu, z pewnością jest pieniądzem. A karty kredytowe i debetowe? Czy to również są pieniądze? Zamiast poszukiwać jednej, uniwersalnej metody określania tego, co jest, a co nie jest pieniądzem, ekonomiści proponują szereg definicji opartych na kategorii płynności. Pojęcie to odnosi się do szybkości, z jaką dany rodzaj aktywów finansowych można wykorzystać do zakupu dóbr i usług. Najbardziej płynnym aktywem jest oczywiście gotówka. Jedyne, co musisz zrobić, aby kupić sobie na ulicznym straganie kilogram truskawek na deser, to wyjąć z kieszeni banknot o nominale 20 zł. Jeśli te same 20 zł jest zdeponowane na koncie bankowym, trzeba znaleźć bank lub bankomat i wypłacić pieniądze, co może zająć kilka lub nawet kilkadziesiąt minut. Środki, które masz na swoim rachunku bankowym (rachunku oszczędnościowo-rozliczeniowym – ROR) są zatem mniej płynne niż gotówka. Jeśli 20 zł znajduje się na lokacie bankowej, nie możesz ich od razu wypłacić w bankomacie. Czeka cię procedura zamknięcia lokaty, co w niektórych bankach wymaga jednodniowego okresu poprzedzającego ten proces. Lokaty bankowe są zatem mniej płynne niż rachunki ROR i gotówka. Narodowy Bank Polski, który jest bankiem centralnym w Polsce, posługuje się różnymi definicjami pieniądza, zależnie od jego płynności. Najczęściej wykorzystywane są trzy definicje pieniądza: podaż pieniądza (agregat pieniężny) M1, podaż pieniądza (agregat pieniężny) M2 i podaż pieniądza (agregat pieniężny) M3. Zgodnie z metodologią NBP podaż pieniądza M1 (ang. M1 money supply ) obejmuje najbardziej płynne aktywa, takie jak gotówka i depozyty oraz inne zobowiązania bieżące (dostępne na żądanie). Z kolei podaż pieniądza M2 (ang. M2 money supply ) obejmuje również aktywa mniej płynne, a zatem wszystko to, co tworzy agregat pieniężny M1, a dodatkowo także depozyty i lokaty terminowe (ang. savings deposits ) z okresem wypowiedzenia do trzech miesięcy włącznie oraz depozyty i inne zobowiązania z terminem pierwotnym do dwóch lat (włącznie) i zablokowane. Natomiast podaż pieniądza M3 (ang. M3 money supply ) uwzględnia wszystko to, co tworzy agregat pieniężny M2, a ponadto operacje z przyrzeczeniem odkupu oraz dłużne papiery wartościowe z pierwotnym terminem wykupu do dwóch lat włącznie. Podaż pieniądza M1 obejmuje gotówkę w obiegu (ang. coins and currency in circulation ), czyli bilon i banknoty znajdujące się w posiadaniu gospodarstw domowych i przedsiębiorstw, a także te zdeponowane w bankach komercyjnych. Gotówka w obiegu nie uwzględnia natomiast banknotów i bilonu, które są przechowywane w skarbcu Narodowego Banku Polskiego. Z pieniędzmi w obiegu ściśle związane są depozyty i zobowiązania bieżące, zwane również depozytami na żądanie (ang. demand deposits ). Są to kwoty utrzymywane na rachunkach bieżących (w Polsce głównie na tzw. rachunkach oszczędnościowo-rozliczeniowych, czyli ROR-ach). Nazywa się je depozytami na żądanie, ponieważ banki komercyjne muszą posiadaczowi depozytu udostępnić jego pieniądze, gdy klient zechce skorzystać z karty debetowej, płacąc w sklepie lub wypłacając gotówkę z bankomatu. Wszystkie te pozycje razem – gotówka, depozyty i zobowiązania bieżące w bankach – spełniają kryteria pieniądza należącego do agregatu M1. Szersza definicja pieniądza, agregat M2, obejmuje wszystkie składowe M1, ale dodaje do nich również wartość depozytów, które nie są dla ich właścicieli dostępne na żądanie. Będą to zatem klasyczne lokaty, które mają z góry określony termin zapadalności, co nie tylko oznacza, że naliczenie oprocentowania jest uzależnione od utrzymywania tych środków przez cały, zdefiniowany z góry okres, lecz również to, że odzyskanie ulokowanych na lokacie środków obwarowane jest specjalną procedurą, która wydłuża dostęp do gotówki nawet w sytuacji, w której klient zdecyduje się taką lokatę zlikwidować. W skład agregatu M2 wchodzą również środki utrzymywane przez klientów banków na różnego rodzaju kontach i subkontach oszczędnościowych, które są wyżej oprocentowane niż rachunki ROR, ale do których klient nie ma bezpośredniego dostępu za pomocą karty bankomatowej lub debetowej. Krótko mówiąc, agregat M2 obejmuje wszystkie te rodzaje pieniądza, które można stosunkowo szybko wypłacić i wydać, ale do których dostęp wymaga większego wysiłku i dłuższego czasu niż do pozycji ujętych w agregacie M1. Natomiast agregat M3 jest już bardzo szeroką miarą pieniądza, zaś w jego skład wchodzą aktywa, których zamiana na gotówkę może zająć relatywnie dużo czasu. powinna ci pomóc w wyobrażeniu sobie relacji między M1, M2 i M3. Zauważ, że M1 jest uwzględniony w obliczeniach M2, zaś w skład M3 wchodzi zarówno M1, jak i M2. Relacja pomiędzy agregatami pieniężnymi M1, M2 i M3 Agregaty pieniężne M1, M2 i M3 definiują pieniądz w znaczeniu wąskim i szerokim. M1 = gotówka w obiegu + depozyty bieżące (na żądanie). M2 = M1 + depozyty i lokaty terminowe. M3 = M2 + operacje z przyrzeczeniem odkupu oraz dłużne papiery wartościowe z terminem wykupu do dwóch lat włącznie. Narodowy Bank Polski, odpowiedzialny za śledzenie wielkości wszystkich trzech agregatów statystycznych: M1, M2 oraz M3, publikuje comiesięczną informację o podaży pieniądza. Chcesz mieć wyobrażenie o tym, jakie to są kwoty? Zgodnie z pomiarem zasobów pieniężnych Polski przeprowadzonym przez NBP na koniec marca 2023 r. agregat pieniężny M1 w Polsce miał wartość ponad 1,5 bln zł, zaś agregaty M2 i M3 ponad 2,1 bln zł. przedstawia elementy składowe agregatów M1, M2 i M3 w marcu 2023 r., zgodnie z danymi NBP. Agregaty pieniężne M1, M2 i M3; publikacja statystyczna Narodowego Banku Polskiego Elementy składowe M1 w Polsce w marcu 2023 r. mln zł Pieniądz gotówkowy w obiegu 349 930 Depozyty i inne zobowiązania bieżące 1 209 652 Razem M1 1 559 582 Elementy składowe M2 w Polsce w marcu 2023 r. mln zł Agregat pieniężny M1 1 559 582 Depozyty i inne zobowiązania do 2 lat włącznie 562 393 Razem M2 2 121 976 Elementy składowe M3 w Polsce w marcu 2023 r. mln zł Agregat pieniężny M2 2 121 976 Operacje z przyrzeczeniem odkupu 14 808 Emisja dłużnych papierów wartościowych z terminem pierwotnym do 2 lat (włącznie) 3432 Razem M3 2 140 216 (Źródło: https://nbp.pl/statystyka-i-sprawozdawczosc/statystyka-monetarna-i-finansowa/podaz-pieniadza-m3-i-czynniki-jego-kreacji/). Gdzie w tym schemacie plasują się „plastikowe pieniądze”, takie jak karty debetowe i kredytowe? Płatność kartą debetową (ang. debit card) jest niczym innym, jak dyspozycją dla banku użytkownika karty dokonania bezpośredniego i natychmiastowego przelewu pieniędzy z jego konta na konto bankowe sprzedawcy (np. księgarni uniwersyteckiej czy baru z kanapkami). Należy zauważyć, że zgodnie z przedstawionymi wyżej definicjami pieniędzmi są środki ulokowane na koncie oszczędnościowo-rozliczeniowym, do którego wydana została karta, a nie sama karta debetowa. Z kolei jeśli płacisz kartą kredytową (ang. credit card ), czyli w momencie zawarcia transakcji nie dochodzi do przelewu środków z twojego konta na konto sprzedawcy, środki i tak są transferowane, tyle że z konta firmy-wystawcy karty na konto sprzedawcy. Z twojego punktu widzenia jest to natomiast krótkoterminowa pożyczka otrzymana od firmy, która zaoferowała ci kartę kredytową. Pod koniec miesiąca wystawca karty kredytowej wysyła ci rachunek na kwotę, którą pobrałeś w danym miesiącu. Dopóki nie spłacisz karty kredytowej, faktycznie pożyczasz pieniądze od firmy, która wystawiła kartę. Oczywiście nie musisz spłacać całej pożyczonej w ciągu miesiąca kwoty. Jeśli tego nie zrobisz, wówczas pożyczka będzie miała charakter długoterminowy i dojdzie do wykreowania pieniądza w sposób, który zostanie opisany w ostatnim podrozdziale. Krótko mówiąc, karty kredytowe i karty debetowe to różne sposoby transferu pieniędzy podczas dokonywania zakupów. O ile dodatkowe karty debetowe nie zmieniają ilości pieniądza w gospodarce, to kolejna karta kredytowa, której aktywnie używasz i nie spłacasz całego zaciągniętego kredytu w okresie bezodsetkowym, już na ten zasób wpływa. Nie przejmuj się, jeśli do zapamiętania tego, co wchodzi w skład konkretnego agregatu pieniężnego (M1, M2 i M3) potrzebujesz więcej czasu. Nie jest to wiedza kluczowa z punktu widzenia makroekonomii. Najważniejsze jest uświadomienie sobie tego, że pieniądze we współczesnej gospodarce to nie tylko papierowe banknoty i bilon, ale również depozyty, które przechowywane są w systemie bankowym i których wartość wielokrotnie przekracza wartość gotówki. W następnym podrozdziale znajdzie się wyjaśnienie sposobu działania banków komercyjnych i źródeł mocy tych podmiotów pozwalającej im na kreację pieniądza, a zatem również prowadzenie polityki monetarnej kraju, na terenie którego działają. Przeczytaj krótki artykuł na temat wyzwań monetarnych w Szwecji. Key Concepts and Summary Pomiar ilości pieniądza funkcjonującego w gospodarce odbywa się za pomocą różnych agregatów statystycznych, które obrazują szersze lub węższe miary pieniądza: M1 obejmuje gotówkę i środki na rachunkach bieżących (depozyty na żądanie). M2 uwzględnia z kolei całość M1 plus depozyty oszczędnościowe i lokaty terminowe. Najszerszą miarą pieniądza wykorzystywaną do statystyki w Polsce jest M3, która dodatkowo obejmuje również operacje z przyrzeczeniem odkupu oraz dłużne papiery wartościowe z pierwotnym terminem wykupu do dwóch lat włącznie. Self-Check Questions Gdy płacisz za zakupione w centrum handlowym ubrania i książki, wykorzystujesz elementy składowe agregatu M1 czy M2? Uzasadnij swoją odpowiedź. Najpewniej wykorzystujesz elementy agregatu pieniężnego M1, czyli gotówkę albo środki z ROR-u (gdy płacisz kartą debetową). Jeśli w centrum handlowym znajduje się oddział twojego banku (albo po prostu dysponujesz w telefonie aplikacją umożliwiającą dostęp do zdeponowanych środków), istnieje również możliwość, że płatność wykorzystała część środków z konta oszczędnościowego, czyli element agregatu pieniężnego M2, które zostały przelane na ROR. Jeśli posługujesz się kartą kredytową, tak naprawdę robisz użytek z M1 – chociaż jest to M1 na koncie firmy wydającej karty kredytowe, które zwrócisz później, gdy nadejdzie termin spłaty tych zobowiązań. Wskaż, czy kategorie z poniższej listy należą do agregatu pieniężnego M1, M2, czy też żadnego z nich: Twoja linia kredytowa w wysokości 15 tys. zł na karcie wydanej przez twój bank Bilon o wartości 1 zł w twojej kieszeni 1200 zł na rachunku dostępnym na żądanie Roczna lokata bankowa o wartości 20 tys. zł Ani w M1, ani w M2 Gotówka w kieszeniach obywateli jest częścią M1, a więc również M2. Środki na takich rachunkach są częścią M1, czyli także M2. Wyłącznie M2 Review Questions Jakie elementy podaży pieniądza zaliczamy do agregatu M1? Jakie elementy podaży pieniądza zaliczamy do agregatu M2? Critical Thinking Questions Wskaż przyczyny, dla których twoim zdaniem Narodowy Bank Polski śledzi wartość agregatów pieniężnych M1, M2 i M3. Całkowita wartość polskiej waluty w obiegu podzielona przez liczbę ludności znajdującej się na terenie Polski (przyjmijmy szacunkowo, że jest to ok. 38 mln osób) w marcu 2023 r. wynosiła ok. 9209 zł na osobę. To znacznie więcej niż większość z nas nosi przy sobie i trzyma w domu. Gdzie zatem jest cała ta gotówka? Problems Czy wartość agregatu M1 zmieni się, jeśli wyjmiesz 100 zł ze świnki skarbonki i wpłacisz je na swoje konto ROR? A wartość agregatu M2? References Federal Reserve Statistical Release. November 23, 2013. http://www.federalreserve.gov/RELEASES/h6/current/default.htm#t2tg1link. gotówka w obiegu (ang. coins and currency in circulation ) bilon i banknoty znajdujące się w posiadaniu gospodarstw domowych i przedsiębiorstw, a także w skarbcach banków komercyjnych karta kredytowa (ang. credit card) ) instrument finansowy umożliwiający zapłatę za dokonywane zakupy dzięki natychmiastowemu przelewowi pieniędzy z konta firmy wydającej kartę kredytową na konto sprzedawcy; osoba posługująca się kartą kredytową jest zobowiązana do spłaty swojego zadłużenia na koniec okresu bezodsetkowego; jeśli do tego nie dojdzie, środki z karty kredytowej stają się pożyczką krótkoterminową karta debetowa (ang. debit card) ) instrument finansowy, który jest dyspozycją bezpośredniego i natychmiastowego przelania pieniędzy z konta bankowego użytkownika karty na konto sprzedawcy depozyt na żądanie (ang. demand deposits ) rachunek bankowy, w Polsce określany jako rachunek oszczędnościowo-rozliczeniowy (ROR), na którym środki są dostępne dla ich właścicieli w każdym momencie, zaś wypłata następuje w bankomacie albo poprzez płatność kartą debetową podaż pieniądza M1 (ang. M1 money supply ) wąska definicja pieniądza, która obejmuje gotówkę i depozyty na żądanie (w Polsce głównie ROR-y) podaż pieniądza M2 (ang. M2 money supply ) szersza definicja pieniądza, która obejmuje całe M1 oraz depozyty i lokaty terminowe podaż pieniądza M3 (ang. M3 money supply ) najszersza definicja pieniądza, która obejmuje wszystkie elementy wchodzące w skład agregatów M1 i M2, a także operacje z przyrzeczeniem odkupu i dłużne papiery wartościowe z pierwotnym terminem wykupu do dwóch lat włącznie depozyt terminowy (ang. savings deposits ) konto bankowe, z którego nie można dokonać wypłaty pieniędzy, posługując się kartą debetową lub bankomatową, ale można je wypłacić w banku lub łatwo przelać na ROR, nie tracąc przy tym oprocentowania, które jest naliczane dla całego okresu utrzymywania środków na koncie bankowym lokata terminowa (ang. time deposits ) kwota na rachunku, jaką deponent zobowiązał się pozostawić w banku na określony czas w zamian za wyższe oprocentowanie, które zostanie w całości utracone, jeśli pieniądze zostaną z lokaty bankowej wypłacone przed terminem zapadalności lokaty", "section": "Agregaty pieniężne M1, M2 i M3", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Funkcje banków Po przeczytaniu tego podrozdziału będziesz w stanie: Wytłumaczyć, w jaki sposób banki działają jako pośrednicy pomiędzy oszczędzającymi a kredytobiorcami Analizować przyczyny bankructw banków i wyjaśnić, w jaki sposób sytuacja w sektorze bankowym przekłada się na występowanie recesji w gospodarce W czasie rozmowy bohaterów filmu „Vabank” w reż. Juliusza Machulskiego Henryk Kwinto (postać grana przez Jana Machulskiego) zapytany przez Moksa (Jacek Chmielnik), dlaczego „zrobił tyle banków”, odpowiada: „Tak naprawdę powód był zawsze ten sam – bo tam były pieniądze”. W dwudziestoleciu międzywojennym (w tym czasie rozgrywa się akcja filmu) była to zapewne prawda, jednak z perspektywy współczesnych ekonomistów Kwinto zarówno rację ma, jak i jej nie ma. Myli się, ponieważ przytłaczająca większość pieniędzy we współczesnej gospodarce nie ma postaci banknotów (i bilonu) zalegających w skarbcach banków i czekających na pojawienie się rabusia. Są to po prostu informacje o środkach przechowywanych na rachunkach bankowych, które istnieją wyłącznie w formie elektronicznych zapisów księgowych. Jednak patrząc z szerszej perspektywy, „pierwszemu kasiarzowi Rzeczypospolitej” nie można odmówić racji. Banki są ściśle powiązane z pieniędzmi, a co za tym idzie – z szeroko rozumianą gospodarką. Banki znacznie ułatwiają przeprowadzanie bardzo wielu transakcji na rynkach dóbr i usług oraz czynników produkcji we współczesnej niezwykle złożonej gospodarce. Wyobraź sobie przez chwilę, jak wyglądałaby gospodarka, gdyby każdy musiał dokonywać wszystkich płatności gotówką. Robiąc duże zakupy (samochodu, nieruchomości czy innych dóbr trwałego użytku) lub wyjeżdżając na wakacje, musiałbyś nosić nawet dziesiątki tysięcy złotych w kieszeni lub portfelu (o ile w jakimkolwiek portfelu taką ilość gotówki dałoby się zmieścić). Nawet małe firmy potrzebowałyby pokaźnych zapasów gotówki, aby zapłacić pracownikom i kupić surowce do produkcji. Banki umożliwiają gospodarstwom domowym i przedsiębiorstwom przechowywanie pieniędzy na rachunkach bieżących, a następnie wypłacanie tych środków w stosownym momencie za pomocą przelewu lub karty debetowej. Banki są ważnym pośrednikiem w tzw. systemie płatniczym (ang. payment system ), który ułatwia wymianę towarów i usług na pieniądze lub inne aktywa finansowe. Ci, którzy mają dochody wyższe od bieżących wydatków (czyli oszczędzają), mogą przechowywać je w banku, zamiast szukać osoby, która byłaby skłonna je od nich pożyczyć, by następnie spłacić w późniejszym terminie wraz z uzgodnionym procentem. Ci, którzy chcą wziąć pożyczkę lub kredyt, mogą udać się bezpośrednio do banku, zamiast szukać źródła funduszy wśród rodziny i znajomych. Czas niezbędny na znalezienie posiadacza kapitału, który byłby skłonny go pożyczyć, wchodzi w skład kosztów transakcyjnych (ang. transaction costs ). Banki obniżają koszty transakcyjne i działają jako pośrednicy finansowi, kontaktując oszczędzających i kredytobiorców. Dzięki bankom tego typu transakcje są po prostu znacznie bezpieczniejsze i łatwiejsze. Nie można jednak zapominać, że sektor bankowy odgrywa również kluczową rolę w procesie tworzenia pieniądza. Banki jako pośrednicy finansowi Pośrednik to podmiot, który stoi między dwiema stronami jakiegoś procesu (w naszym przypadku będą to najczęściej dwie strony transakcji). Banki są pośrednikami finansowymi (ang. financial intermediary ), czyli podmiotami działającymi między oszczędzającymi, którzy deponują w nich pieniądze, a kredytobiorcami, którzy potrzebują kapitału i w związku z tym zaciągają kredyt lub pożyczkę (różnica pomiędzy kredytem i pożyczką została wyłożona w czasie kursu mikroekonomii, na potrzeby niniejszego rozdziału będziemy te produkty – nieco rzeczywistość upraszczając – traktować jako idealne substytuty). Pośrednikami finansowymi są również inne podmioty działające na rynku finansowym, np. firmy ubezpieczeniowe i fundusze emerytalne. Nie będziemy ich jednak uwzględniać w naszej analizie, ponieważ nie są one instytucjami depozytowymi (ang. depository institutions ), czyli nie przyjmują depozytów pieniężnych, które mogłyby zostać wykorzystane do udzielania pożyczek. Wszystkie zdeponowane środki pieniężne łączą się w jedną wielką pulę, którą banki wykorzystują do pożyczania kapitału. przedstawia pozycję banków jako pośredników finansowych, do których napływają depozyty, zaś wypływają kredyty. Udzielając przedsiębiorstwom pożyczek, banki będą starały się kierować kapitał finansowy do firm w dobrej kondycji, dających większe gwarancje spłaty kapitału, a nie do przedsiębiorstw, które ponoszą straty bądź balansują na krawędzi rentowności i mogą zbankrutować, nie regulując wszystkich swoich zobowiązań. Banki jako pośrednicy finansowi Banki działają jako pośrednicy finansowi, ponieważ umożliwiają zawarcie transakcji oszczędzającym i kredytobiorcom. Oszczędzający lokują depozyty w bankach, za co są wynagradzani odsetkami. Odsetki te płacą kredytobiorcy, którzy pożyczyli pieniądze z banków, a następnie je spłacili. W istocie stronami transakcji są pożyczający kapitał i ci, którzy go udostępniają, zaś banki tylko pomiędzy nimi pośredniczą, za co pobierają wynagrodzenie (odsetki od kredytów są wyższe niż oprocentowanie depozytów). Bilans banku Bilans (ang. balance sheet ) jest dokumentem księgowym zawierającym zestawienie aktywów i pasywów w pewnym punkcie w czasie (w Polsce najczęściej na koniec roku kalendarzowego). Aktywa (ang. asset ) to coś, co przedsiębiorstwo posiada, co ma swoją wartość i może służyć do wytworzenia lub sprzedaży dóbr i usług, będących przecież głównym celem każdej firmy. Na przykład dzięki flocie aut ciężarowych można transportować towary na zlecenie i w ten sposób zarabiać pieniądze. Pasywa (ang. liability ), czyli zobowiązania, to dług lub to, co firma jest komuś winna. Jeśli część lub wszystkie samochody ciężarowe posiadane przez konkretne przedsiębiorstwo transportowe zostały zakupione na kredyt, to ciężarówki są składnikiem aktywów, zaś wartość zaciągniętego kredytu zapiszemy po stronie zobowiązań firmy, czyli pasywów. Wartość netto (ang. net worth ) to wartość aktywów pomniejszona o kwotę zadłużenia (zobowiązania). Bilans banku tworzony jest na podobnych zasadach. Wartość netto banku to kapitał banku (ang. bank capital ). Aktywami banku są: gotówka przechowywana we własnych skarbcach, środki utrzymywane w Narodowym Banku Polskim (zwane rezerwami), pożyczki i kredyty udzielane klientom oraz zakupione papiery wartościowe emitowane przez inne podmioty. przedstawia uproszczony bilans hipotetycznego banku (Bezpiecznego Banku). Bilans ma dwukolumnowy format, a dzielące go linie – jak łatwo zauważyć – tworzą kształt podobny do litery T, dlatego czasem nazywamy go teowym schematem konta (ang. T-account ). Bilans Bezpiecznego Banku Linie układające się w kształt litery T na teowym schemacie konta oddzielają aktywa firmy po lewej stronie od jej pasywów po stronie prawej. Wszystkie firmy korzystają z takiej formy zapisu, chociaż oczywiście w realnym świecie liczba pozycji zarówno po stronie aktywów, jak i pasywów jest znacznie większa niż w naszym przykładzie. W przypadku banku aktywa to zasoby, które bank posiada (jego rezerwy) lub instrumenty, które potwierdzają należności banku u podmiotów trzecich, takie jak pożyczki i kredyty udzielone przez bank, jak również rządowe papiery wartościowe, np. obligacje i bony skarbowe. Pasywa z kolei to wszystkie zobowiązania banku wobec podmiotów zewnętrznych. W szczególności bank jest zobowiązany do spłaty wszystkich depozytów złożonych w nim przez gospodarstwa domowe i przedsiębiorstwa. Wartość netto banku to kwota aktywów pomniejszona o sumę pasywów. Wartość netto jest uwzględniana po stronie pasywów, aby saldo na teowym koncie było równe zero (aktywa równały się pasywom). Dla przedsiębiorstw znajdujących się w dobrej kondycji wartość netto będzie zazwyczaj dodatnia, z kolei te, które bankrutują, będą miały ujemną wartość netto. Niemniej w obu przypadkach aktywa banku będą zawsze równe jego pasywom powiększonym o wartość netto. Gdy klienci banku wpłacają pieniądze na rachunek oszczędnościowo-rozliczeniowy lub lokatę, bank traktuje te depozyty jako własne zobowiązania. W końcu bank jest zobowiązany do spłaty środków znajdujących się na kontach klientów, gdy będą oni chcieli wypłacić swoje pieniądze. W przykładzie na , bank ma 10 mln złotych w depozytach. Udzielone pożyczki i kredyty to pierwsza z kategorii aktywów bankowych na . Przyjmijmy, że gdy gospodarstwo domowe zaciąga 30-letni kredyt hipoteczny na zakup domu, będzie spłacać ten kredyt przez trzy dekady. Kredyt jest elementem aktywów banku, ponieważ kredytobiorca ma prawny obowiązek jego spłaty. Jak w praktyce możemy zmierzyć dzisiejszą wartość kredytu hipotecznego, który kredytobiorca będzie spłacał przez kolejnych 30 lat? Jednym z uniwersalnych sposobów mierzenia wartości – pożyczki czy czegokolwiek innego – jest oszacowanie, ile taki instrument jest wart na rynku. Wiele banków udziela kredytów mieszkaniowych i pobiera za to różnego rodzaju opłaty manipulacyjne, a następnie sprzedaje kredyty innym bankom lub instytucjom finansowym, którym ostatecznie są one spłacane. Rynek, na którym instytucje finansowe udzielają kredytów i pożyczek, jest pierwotnym rynkiem kredytowym, natomiast ten, na którym instytucje finansowe kupują i sprzedają te kredyty, nazywamy wtórnym rynkiem kredytowym. Jednym z kluczowych czynników wpływających na cenę, jaką instytucje finansowe są skłonne zapłacić za pożyczkę lub kredyt kupowane na rynku wtórnym, jest ryzyko związane z tym instrumentem finansowym, szacowane np. w oparciu o cechy pożyczkobiorcy: jego dotychczasową historię kredytową, poziom dochodów, a także kondycję gospodarki. Im większe ryzyko, że pożyczkobiorca nie spłaci pożyczki, tym jej cena jest niższa. Innym kluczowym czynnikiem wpływającym na atrakcyjność danego kredytu lub pożyczki na rynku wtórnym jest porównanie stopy procentowej obciążającej pierwotną pożyczkę z aktualną stopą procentową w gospodarce. Jeśli pierwotna pożyczka została udzielona po niskiej stopie procentowej, a obecne stopy procentowe są stosunkowo wysokie, wówczas cena takiej pożyczki będzie niska (po co kupować coś, co przynosi miesięcznie 1% zwrotu z kapitału, skoro ten sam kapitał można pożyczyć, uzyskując 2% miesięcznie). Z drugiej strony, jeśli pierwotna pożyczka została udzielona na wysoki procent, a aktualne stopy procentowe są stosunkowo niskie, wówczas jej cena będzie wysoka (trudno bowiem ulokować kapitał na tak atrakcyjnych warunkach). Dla Bezpiecznego Banku w naszym przykładzie całkowita wartość jego pożyczek, gdyby sprzedał je innym instytucjom finansowym na rynku wtórnym, wynosi 5 mln zł. Drugą kategorią aktywów bankowych są obligacje, będące powszechnym sposobem zaciągania pożyczek, wykorzystywanym przede wszystkich przez instytucje publiczne (rządy i jednostki samorządu terytorialnego), a także duże przedsiębiorstwa i organizacje non profit. Bank wykorzystuje część pieniędzy otrzymanych w formie depozytów na zakup obligacji – zazwyczaj bezpiecznych papierów emitowanych przez rządy. Obligacje rządowe są obarczone niskim ryzykiem, ponieważ istnieje niemalże pewność, że rząd je wykupi. Swoistym kosztem niskiego ryzyka związanego z takimi papierami wartościowymi jest ich niskie oprocentowanie. Obligacje są składnikiem bankowych aktywów w taki sam sposób, w jaki aktywami są udzielone pożyczki i kredyty: dzięki tym instrumentom bank zapewnia sobie strumień przychodów w przyszłości. W naszym przykładzie Bezpieczny Bank posiada rządowe papiery wartościowe o łącznej wartości 4 mln zł. Ostatnią pozycją po stronie aktywów są rezerwy (ang. reserves ), czyli pieniądze, które bank trzyma w skarbcu i których nie pożycza ani nie inwestuje w obligacje – a zatem nie uzyskuje z nich odsetek. Bank centralny (w naszym kraju NBP) wymaga, aby banki utrzymywały pewną część pieniędzy wpłaconych przez deponentów w rezerwie, a więc w swoich skarbcach albo w dyspozycji banku centralnego. Nazywamy to rezerwą obowiązkową. wyjaśni, dlaczego poziom rezerw obowiązkowych jest jednym z narzędzi polityki monetarnej, za pomocą którego państwo może wpływać na sektor bankowy. Banki mogą z własnej woli utrzymywać pewne rezerwy, nawet w wysokości przekraczającej minimalny wymagany poziom. Bezpieczny Bank posiada rezerwy w wysokości 2 mln zł. Wartość netto banku definiujemy jako sumę aktywów pomniejszoną o kwotę pasywów. W Bezpiecznym Banku na wartość netto jest równa 1 mln zł (11 mln zł aktywów pomniejszonych o 10 mln zł pasywów). W przypadku banku w dobrej kondycji finansowej wartość netto będzie dodatnia. Jeśli bank ma ujemną wartość netto, a deponenci spróbują wypłacić swoje pieniądze, bank może nie być w stanie zaspokoić wszystkich ich roszczeń. Aby zapoznać się z konkretnymi przykładami strategii wdrażanych przez banki, obejrzyj to wideo z „Making Sense of Financial News” Paula Solmana. Jak banki bankrutują Dobrze zarządzany bank zawsze uwzględnia ryzyko, że pewien niewielki odsetek pożyczkobiorców nie spłaci swoich pożyczek na czas lub nie spłaci ich wcale. I uwzględnia to ryzyko w swojej strategii. Pamiętaj, że planując koszty działalności banku, zawsze należy zakładać pewien odsetek niespłacanych kredytów. Wartość kredytów i pożyczek uwzględniona w bilansie banku bierze pod uwagę to ryzyko, ponieważ nawet pomimo najstaranniej prowadzonej procedury selekcyjnej zawsze pewien odsetek klientów – również nie ze swojej winy – nie będzie w stanie spłacić zaciągniętych zobowiązań. Jednak nawet gdy bank spodziewa się określonej liczby niespłacanych kredytów w swoim portfelu, może stanąć w obliczu problemów, jeśli pomyli się w swoich szacunkach, a odsetek niespłaconych kredytów będzie znacznie większy, niż oczekiwano, co może się zdarzyć np. w czasie niespodziewanej recesji wywołanej pandemią. Jeśli takie zagrożenie się ziści, Bezpieczny Bank z będzie musiał się zmierzyć z gwałtownym wzrostem odsetka niespłacanych kredytów, co doprowadzi do spadku wartości tej pozycji aktywów z 5 mln do 3 mln zł i tym samym ujemnej wartości netto Bezpiecznego Banku. Jakie czynniki odpowiadają za kryzys finansowy w latach 2008–2009? Wiele amerykańskich banków udzielało kredytów hipotecznych, aby ludzie mogli kupić swój wymarzony dom, ale nie zatrzymywało tych kredytów w swoich aktywach, tylko je sprzedawało. Kredyty te były „sekurytyzowane”, co oznacza, że łączono je w pakiety i sprzedawano inwestorom na rynku wtórnym. Ci nabywali takie pakiety i traktowali je jako inwestycje o niskim poziomie ryzyka, ponieważ były one zabezpieczone hipotekami nieruchomości, na zakup których udzielono kredytu. Stopa zwrotu z takiej inwestycji była równa oprocentowaniu kredytów hipotecznych, które wchodziły w skład sekurytyzowanego pakietu. Sekurytyzacja (ang. securitization ) przynosi pewne korzyści. Jeśli bank udziela większości pożyczek podmiotom lokalnym (np. działającym na terenie określonego stanu lub nawet hrabstwa), wówczas ryzykuje, że znajdzie się w trudnej sytuacji finansowej, jeśli lokalna gospodarka podupadnie, a wiele osób nie będzie w stanie spłacić kredytu. Kiedy jednak bank swoje kredyty udzielone lokalnym podmiotom sprzedaje, a następnie kupuje papiery wartościowe zabezpieczone hipoteką kredytów mieszkaniowych udzielonych w wielu innych stanach, może uniknąć lub znacząco zmniejszyć ryzyko związane z kondycją lokalnej gospodarki (która mogłaby zostać narażona na straty choćby w wyniku klęski żywiołowej – tornada, powodzi lub suszy). We wcześniejszym prostym przykładzie zakładaliśmy, że banki posiadają „rządowe papiery wartościowe”. W rzeczywistości mogą posiadać inne instrumenty finansowe, o ile są one wystarczająco bezpieczne, aby spełnić standardy instytucji nadzorujących sektor bankowy. Z punktu widzenia lokalnego nabywcy domu sekurytyzacja daje korzyść wynikającą z tego, że lokalny bank nie musi mieć znacznych dodatkowych środków na udzielenie mu kredytu. Bank może zatrzymać ten kredyt jako pozycję swoich aktywów tylko w krótkim okresie, a potem sprzedać ją jako sekurytyzowany instrument finansowy. Jednak sekurytyzacja niesie ze sobą również potencjalne zagrożenie. Jeśli bank planuje zatrzymać kredyt hipoteczny jako pozycję swoich aktywów, ma silną motywację, aby dokładnie prześwietlić sytuację finansową kredytobiorcy i upewnić się, że będzie on w stanie zobowiązanie spłacić. Jednak jeśli bank od razu planuje sprzedać kredyt na rynku wtórnym, może być mniej ostrożny przy jego przyznawaniu. Będzie też bardziej skłonny udzielić osobie o niskich lub zerowych dochodach tzw. kredytu substandardowego (ang. subprime loans ), cechującego się niskim lub zerowym wkładem własnym. Takie kredyty charakteryzują się stosunkowo umiarkowanym oprocentowaniem w ciągu pierwszych dwóch lat po ich udzielaniu, ale z czasem odsetki i rata kapitałowa dość szybko rosną. Ekonomiści określili niektóre z takich substandardowych kredytów udzielonych przez instytucje finansowe w latach 2005–2008 skrótem NINJA ( No Income, No Job or Assets ): pożyczki dla osób bez stałego dochodu, bez pracy i nie dysponujących żadnym zabezpieczeniem. Instytucje finansowe zazwyczaj sprzedawały takie substandardowe kredyty i zamieniały je w sekurytyzowane papiery wartościowe – ale z niespodzianką. Pomysł polegał na tym, że gdyby na tych papierach wartościowych zabezpieczonych hipoteką wystąpiły straty (czyli kredyty hipoteczne stanowiące ich podstawę nie zostałby spłacone), niektórzy inwestorzy zgodziliby się zaakceptować, powiedzmy, 5% takich strat. Inni inwestorzy zgodziliby się wziąć na siebie, powiedzmy, kolejne 5% strat. Przy takim podejściu jeszcze inni inwestorzy nie musieliby akceptować żadnych strat, chyba że aż 25 lub 30% kredytów stanowiących zabezpieczenie sekurytyzowanych papierów wartościowych nie zostałoby spłaconych. Rozwój rynku tych skomplikowanych w swojej konstrukcji papierów wartościowych wraz z innymi czynnikami ekonomicznymi, przede wszystkim polityką państwa, które realizowało strategię umożliwiającą prawie każdemu Amerykaninowi zakup własnej nieruchomości, przyczynił się do znacznej ekspansji substandardowych kredytów hipotecznych po 2005 r. Podobnie jak w dramatach Czechowa, „ekonomiczna strzelba” została zawieszona na ścianie i było pewne, że prędzej czy później wypali (czyli kryzys bankowy się zmaterializuje). Banki były przekonane, że kupują tylko ultrabezpieczne papiery wartościowe. Bo chociaż ostatecznie ich zabezpieczenie stanowiły ryzykowne substandardowe kredyty hipoteczne, banki inwestowały tylko w tę część tych papierów wartościowych, która była chroniona przed niewielkimi lub umiarkowanymi stratami. Jednak po roku 2007 ceny mieszkań zaczęły szybko spadać, a pogłębiająca się recesja utrudniła wielu ludziom spłatę hipotecznych zobowiązań. Okazało się, że straty znacznie przekraczają niewyobrażalne jeszcze rok czy dwa lata wcześniej 30% (czyli taki właśnie był odsetek niespłaconych kredytów hipotecznych będących podstawą tych instrumentów finansowych). Wiele banków stwierdziło, że ich aktywa finansowe zabezpieczone hipoteką mogą być warte znacznie mniej, niż się spodziewały. Dla wielu podmiotów oznaczało to bankructwo. W latach 2008–2011 w Stanach Zjednoczonych upadło 318 banków. Ryzyko nieoczekiwanie wysokiego poziomu niespłaconych kredytów może być szczególnie dotkliwe dla banków ze względu na ich pasywa, czyli depozyty klientów. Klienci mogą szybko (najczęściej na żądanie) wypłacić swoje środki, ale wiele aktywów banku, takich jak pożyczki, kredyty i obligacje, będzie spłaconych dopiero po latach, a nawet dziesięcioleciach. To niedopasowanie czasowe aktywów i pasywów (ang. asset-liability time mismatch ) – możliwość wycofywania pasywów banku w relatywnie krótkim okresie, a z drugiej strony spłata aktywów w długim okresie – może skutkować poważnymi problemami banków. Jeśli dany podmiot udzielił kredytu na znaczną kwotę z określoną, stałą stopą procentową (a tak działo się i dzieje w przypadku kredytów hipotecznych w USA), a ich poziom w gospodarce znacznie wzrósł (do czego doszło w roku 2022), taki bank może się znaleźć w bardzo trudnej sytuacji. Jeśli nie podniesie oprocentowania depozytów, zostaną one wypłacone i przepłyną do innych instytucji oferujących wyższe oprocentowanie. Jeśli natomiast bank podniesie stopy procentowe dla depozytariuszy, może się okazać, że za pożyczony kapitał płaci więcej, niż otrzymuje od udzielonych kredytów i pożyczek. Bank, który wypłaca depozytariuszom odsetki wyższe od tych, które otrzymuje od swoich pożyczkobiorców, nie przetrwa na rynku zbyt długo. W jaki sposób banki mogą zabezpieczyć się przed nieoczekiwanie wysokim odsetkiem niespłacanych kredytów oraz przed ryzykiem niedopasowania czasowego aktywów i zobowiązań? Jedną ze strategii jest dywersyfikacja (ang. diversify ) kredytów, co oznacza ich udzielanie różnym klientom. Załóżmy np., że bank specjalizuje się w udzielaniu pożyczek na niszowych rynkach. Powiedzmy – firmom budowlanym wznoszącym biurowce w centrach miast średniej wielkości. Jeśli na tym jednym rynku nastąpi nieoczekiwane pogorszenie koniunktury gospodarczej (związane np. z upowszechnieniem się pracy zdalnej), bank poniesie duże straty. Jeśli jednak bank pożycza środki zarówno gospodarstwom domowym, które kupują domy i samochody, jak i wielu przedsiębiorstwom z różnych branż i obszarów geograficznych, jest mniej narażony na ryzyko. Gdy bank dywersyfikuje swoje kredyty, te kategorie kredytobiorców, w których znalazło się nieoczekiwanie dużo niespłacanych zobowiązań, będą zazwyczaj równoważone, na zasadach losowych, przez innych kredytobiorców, którzy mają nieoczekiwanie niską liczbę niespłacanych zobowiązań. W ten sposób dywersyfikacja kredytów może pomóc bankom w utrzymaniu dodatniej wartości netto. Jeśli jednak recesja dotknie wszystkie lub prawie wszystkie gałęzie gospodarki, ryzyka nie da się zdywersyfikować. Oprócz dywersyfikacji portfela kredytów banki mają kilka innych strategii ograniczania ryzyka nieoczekiwanego wzrostu odsetka niespłaconych kredytów. Mogą np. sprzedawać część udzielanych pożyczek na rynku wtórnym i utrzymywać aktywa w postaci papierów wartościowych lub rezerw gotówkowych. Mimo wszystko w przypadku długotrwałej recesji większość banków odnotuje spadek wartości netto, ponieważ większa część ich klientów nie będzie spłacać kredytów w trudnych ekonomicznie czasach. Key Concepts and Summary Banki usprawniają proces zawierania transakcji rynkowych, ponieważ gospodarstwa domowe i przedsiębiorstwa mogą korzystać z rachunków bankowych przy sprzedaży lub kupnie dóbr i usług, opłacaniu pracowników, a także lokowaniu oszczędności i zaciąganiu pożyczek. Na rynku finansowym banki są pośrednikami ułatwiającymi zawarcie umów pomiędzy oszczędzającymi, którzy dostarczają kapitał finansowy, a kredytobiorcami, którzy kapitału potrzebują. Bilans (tworzony za pomocą schematu teowego) jest dokumentem księgowym, który zestawia aktywa i pasywa danego przedsiębiorstwa. Pasywami banku są depozyty wpłacone przez klientów. Aktywa banku obejmują udzielone pożyczki i kredyty, zakupione papiery wartościowe o niskim poziomie ryzyka i rezerwy (czyli gotówkę, której bank nie pożycza, tylko utrzymuje w swoim skarbcu). Wartość netto banku obliczamy, odejmując wartość jego pasywów od aktywów. Bank ryzykuje, że będzie miał ujemną wartość netto, jeśli wartość jego aktywów spadnie. Wartość aktywów może się zmniejszyć z powodu niespodziewanego wzrostu odsetka niespłaconych kredytów lub w przypadku wzrostu stóp procentowych i niedopasowania w czasie terminów zapadalności aktywów i pasywów. Mowa tu o sytuacji, gdy bank otrzymuje niskie oprocentowanie od udzielonych kredytów długoterminowych, ale płaci odsetki od depozytów według wyższej, rynkowej stopy procentowej, aby przyciągnąć depozytariuszy. Banki mogą zabezpieczyć się przed tym ryzykiem, dywersyfikując pulę kredytów lub utrzymując większą część aktywów w formie papierów wartościowych i rezerw gotówkowych. Jeśli banki utrzymują tylko ułamek swoich depozytów w formie rezerw gotówkowych, to proces pożyczania pieniędzy przez banki, ponownego deponowania tych pożyczek w bankach oraz udzielania przez banki kolejnych pożyczek przekłada się na kreację pieniądza bezgotówkowego w gospodarce. Self-Check Questions Wyjaśnij, dlaczego środki wykazane po stronie aktywów w bilansie banku mogą w rzeczywistości pozostawać poza tym konkretnym podmiotem. Aktywa banku obejmują gotówkę przechowywaną w ich skarbcach, ale także środki pieniężne, które bank utrzymuje na rachunkach w banku centralnym (zwane rezerwami), pożyczki udzielane klientom oraz obligacje. Review Questions Dlaczego banki nazywamy pośrednikami finansowymi? O czym informuje bilans? Czym są aktywa banku, a czym jego pasywa? W jaki sposób można obliczyć wartość netto banku? Dlaczego bank może mieć ujemną wartość netto? Czym jest niedopasowanie terminów zapadalności aktywów i pasywów, z którym borykają się wszystkie banki? Jakie ryzyko może się zmaterializować, jeśli bank nie dywersyfikuje portfela swoich kredytów? Critical Thinking Questions Wyjaśnij różnicę pomiędzy sposobem, w jaki osoba fizyczna (np. ty) porządkuje swoje depozyty bankowe, kredyty i pożyczki, czyli prywatne aktywa i pasywa (zobowiązania), a podejściem stosowanym w bilansach banków. Problems Bank ma depozyty w wysokości 400 zł, jego rezerwy wynoszą 50 zł, zakupił obligacje rządowe o wartości 70 zł i udzielił pożyczek na kwotę 500 zł. Stwórz bilans tego banku i oblicz jego wartość netto. References Credit Union National Association. 2014. \"Monthly Credit Union Estimates.\" Last accessed March 4, 2015. http://www.cuna.org/Research-And-Strategy/Credit-Union-Data-And-Statistics/. Dallas Federal Reserve. 2013. \"Ending `Too Big To Fail': A Proposal for Reform Before It's Too Late\". Accessed March 4, 2015. http://www.dallasfed.org/news/speeches/fisher/2013/fs130116.cfm. Richard W. Fisher. “Ending 'Too Big to Fail': A Proposal for Reform Before It's Too Late (With Reference to Patrick Henry, Complexity and Reality) Remarks before the Committee for the Republic, Washington, D.C. Dallas Federal Reserve. January 16, 2013. “Commercial Banks in the U.S.” Federal Reserve Bank of St. Louis. Accessed November 2013. http://research.stlouisfed.org/fred2/series/USNUM. aktywa (ang. asset ) w najszerszym znaczeniu są to wszystkie zasoby majątkowe będące własnością przedsiębiorstwa lub osoby fizycznej niedopasowanie terminów zapadalności aktywów i pasywów (ang. asset-liability time mismatch ) sytuacja, w której klienci mogą wycofywać swoje depozyty (będące pasywami z punktu widzenia banku) w krótkim okresie, podczas gdy aktywa banku (takie jak pożyczki, kredyty i papiery wartościowe) przynoszą przychód w długim okresie bilans (ang. balance sheet ) dokument księgowy, który stanowi zestawienie aktywów i pasywów kapitał banku (ang. bank capital ) wartość netto banku instytucja depozytowa (ang. depository institutions ) instytucja, która przyjmuje depozyty pieniężne, a następnie wykorzystuje je do udzielania pożyczek dywersyfikacja (ang. diversification ) udzielanie pożyczek lub kredytów podmiotom (gospodarstwom domowym i przedsiębiorstwom) działającym w różnych branżach i na różnych obszarach geograficznych, tak aby zmniejszyć ryzyko negatywnego wpływu wydarzeń w jednej lub kilku branżach na sytuację finansową banku pośrednik finansowy (ang. financial intermediary ) instytucja, która działa pomiędzy oszczędzającym, posiadającym aktywa finansowe możliwe do zainwestowania, a podmiotem, który pożycza te aktywa i płaci za nie cenę równą stopie procentowej pasywa (ang. liability ) źródła pochodzenia majątku przedsiębiorstwa wartość netto (ang. net worth ) nadwyżka wartości aktywów nad kwotą pasywów system płatniczy (ang. payment system ) mechanizm ułatwiający wymianę dóbr i usług na pieniądze lub inne aktywa finansowe w gospodarce rezerwy (ang. reserves ) środki pieniężne, które bank trzyma w swoich skarbcach i których nie pożycza ani nie inwestuje w papiery wartościowe teowy schemat konta (ang. T-account ) bilans w formacie dwukolumnowym, w kształcie litery T, utworzony przez pionową linię biegnącą przez środek i poziomą linię pod nagłówkami kolumn „Aktywa” i „Pasywa” koszty transakcyjne (ang. transaction costs ) koszty związane z dopasowaniem i zawarciem transakcji pomiędzy pożyczkodawcami i pożyczkobiorcami", "section": "Funkcje banków", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Jak banki kreują pieniądz Po przeczytaniu tego podrozdziału będziesz w stanie: Wykorzystać wzór na mnożnik kreacji pieniądza, aby objaśnić, w jaki sposób banki kreują pieniądz bezgotówkowy Analizować i samodzielnie układać proste bilanse zgodne ze schematem teowym Wytłumaczyć ryzyko i korzyści dla gospodarki związane z istnieniem pieniędzy i sektora bankowego Banki i pieniądze pozostają ze sobą w nierozerwalnym związku. I nie chodzi tylko o to, że większa część podaży pieniądza ma formę zapisów na rachunkach bankowych. System bankowy może kreować pieniądz (tworzyć go dosłownie z niczego) poprzez proces udzielania pożyczek. W niniejszym podrozdziale dokładnie wytłumaczymy, w jaki sposób banki to robią. Proces kreacji pieniądza przez jeden bank Zacznijmy od hipotetycznego podmiotu o nazwie Bank Wyjątkowy, który ma depozyty o wartości 10 mln zł. Jego bilans w sytuacji, w której wszystkie depozyty są przechowywane w formie gotówki w skarbcu, jest przedstawiony na . Na tym etapie Bank Wyjątkowy po prostu przechowuje pieniądze depozytariuszy i nie wykorzystuje ich do udzielania jakichkolwiek pożyczek czy kredytów (można powiedzieć, że jest nie tyle bankiem, co wielką skrytką depozytową). W tym uproszczonym przykładzie Bank Wyjątkowy nie uzyskuje żadnych dochodów z tytułu odsetek od udzielonych pożyczek i nie wypłaca depozytariuszom oprocentowania (aby pokryć koszty działalności, zapewne pobiera od nich opłatę za przechowywanie środków). Bilans Banku Wyjątkowego: wpłata depozytów o wartości 10 mln zł Bank centralny wymaga, aby analizowany podmiot utrzymywał 10% wartości depozytów jako rezerwę (co stanowi 1 mln zł). Pozostałe 9 mln zł Bank Wyjątkowy może wykorzystać, aby udzielać kredytów i pożyczek. Jeśli uda mu się znaleźć chętnych na całą tę kwotę, naliczy odsetki od pożyczonego kapitału, dzięki czemu będzie dysponował środkami, które umożliwią mu zapłatę odsetek depozytariuszom i uzyskanie dochodów odsetkowych pokrywających koszty funkcjonowania i wypłatę zysku jego właścicielom (różnica pomiędzy oprocentowaniem kredytów i depozytów nazywana jest marżą odsetkową i stanowi, oprócz różnego rodzaju opłat i prowizji, podstawowe źródło przychodów każdego banku). Aby utrzymać przejrzystość analizowanego przykładu, na razie nie umieszczamy przychodów z odsetek w bilansie banku. Zwróć uwagę, że wraz z decyzją o udzielaniu kredytów i pożyczek Bank Wyjątkowy przestał być wyłącznie skrytką depozytową, a stał się w pełnym tego słowa znaczeniu bankiem, czyli pośrednikiem finansowym pomiędzy oszczędzającymi a kredytobiorcami. Opisane wyżej posunięcie oznacza zmiany w bilansie Banku Wyjątkowego, co zostało przedstawione na . Teraz ma on 1 mln zł w rezerwach i pożyczkę o wartości 9 mln zł udzieloną firmie Janek Autonaprawy. Po stronie pasywów w dalszym ciągu widnieją depozyty o wartości 10 mln zł. Bilans Banku Wyjątkowego: rezerwy w wysokości 10% depozytów, pierwsza runda pożyczek Bank Wyjątkowy pożycza 9 mln zł firmie Janek Autonaprawy. Bank rejestruje tę pożyczkę, dokonując odpowiedniej adnotacji w swoim bilansie. Pożyczka jest zapisana po stronie aktywów, ponieważ będzie generować dochód odsetkowy dla banku. Oczywiście, pan Janek, właściciel firmy, nie wyjdzie z banku, niosąc 9 mln w gotówce. Byłoby to nie tylko niebezpieczne, ale również nielegalne (w UE istnieją ograniczenia dotyczące wartości transakcji gotówkowych, jakich mogą dokonywać przedsiębiorstwa). Zgodnie z dyspozycją pana Janka Bank Wyjątkowy dokona przelewu tej kwoty na jego rachunek firmowy (dostępny na żądanie) utrzymywany w Pierwszym Banku Krajowym. Dzięki temu wartość depozytów w Pierwszym Banku Krajowym wzrośnie o 9 mln zł, o podobną kwotę powiększą się również jego rezerwy, tak jak to pokazano na . Podmiot ten, podobnie jak wszystkie inne banki komercyjne, musi utrzymywać 10% wartości depozytów w formie rezerw gotówkowych, ale resztę może pożyczyć. Zmiana w bilansie Pierwszego Banku Krajowego Udzielanie pożyczek dzięki środkom zdeponowanych na rachunkach depozytowych zwiększa podaż pieniądza M1. Pamiętaj, że definicja agregatu pieniężnego M1 obejmuje depozyty na żądanie, które można łatwo wykorzystać do zakupu dóbr i usług (wystarczy posłużyć się kartą debetową lub wypłacić pieniądze z bankomatu). Zauważ, że podaż pieniądza wynosi teraz 19 mln zł: 10 mln zł w depozytach Banku Wyjątkowego i 9 mln zł w depozytach Pierwszego Banku Krajowego (początkowa podaż pieniądza wynosiła tylko 10 mln zł). Oczywiście, ponieważ właściciel firmy Janek Autonaprawy opłaca drobne rachunki i zakup części za pomocą firmowej karty debetowej, wartość depozytów będzie się zmniejszać. Niemniej jeśli regulacje bankowe określają minimalną wysokość rezerw na 10% wartości wkładów, nadwyżkę można przeznaczyć na kredyty i pożyczki. W naszym przykładzie pożyczka zwiększyła podaż pieniądza o 9 mln zł. Pierwszy Bank Krajowy, posiadając depozyty o wartości 9 mln zł, musi utrzymywać rezerwy w wysokości jedynie 10% wartości depozytów (900 tys. zł), w związku z czym może pożyczyć pozostałe 90% wartości depozytów (8,1 mln zł) firmie Jacek Uczciwy Autohandel, co pokazuje . Kolejna zmiana w bilansie Pierwszego Banku Krajowego Jeśli właściciel firmy Jacek Uczciwy Autohandel zdeponuje tę pożyczkę na rachunku bieżącym w Drugim Banku Krajowym, podaż pieniądza wzrośnie o dodatkowe 8,1 mln zł, co łatwo dostrzec na . Zmiana w bilansie Drugiego Banku Krajowego Jak takie kreowanie pieniądza (czyli tworzenie go z niczego) jest możliwe? Otóż wynika to z faktu, że w systemie bankowym istnieje wiele podmiotów, które są zobowiązane do przechowywania jedynie niewielkiej części depozytów w formie gotówkowych rezerw (w naszym przykładzie jest to 10%). Resztę mogą zamienić na kredyt, który zostanie zdeponowany w innym banku i już jako depozyt na żądanie powiększy wartość agregatu pieniężnego M1, a tym samym podaż pieniądza. Obejrzyj to wideo , aby dowiedzieć się więcej o tym, w jaki sposób banki kreują pieniądz bezgotówkowy. Mnożnik kreacji pieniądza i system bankowy z wieloma podmiotami W systemie bankowym, w ramach którego funkcjonuje wiele podmiotów, Bank Wyjątkowy zamienił swoją nadwyżkę rezerwy (stanowiła ona bowiem 100% wartości złożonych depozytów, zaś bank centralny wymaga od banków komercyjnych rezerwy w wysokości 10% depozytów) na pożyczkę dla firmy Janek Autonaprawy, która została przetransferowana do Pierwszego Banku Krajowego. Również ten bank miał nadwyżkę rezerwy gotówkowej w stosunku do wartości depozytów, w związku z czym zamienia ją na pożyczkę udzieloną firmie Jacek Uczciwy Autohandel, która z kolei została przelana na konto w Drugim Banku Krajowym. Ten również będzie miał nadwyżkę rezerwy w stosunku do wartości depozytów, więc zapewne także będzie starał się udzielić kredytu lub pożyczki przedsiębiorstwom lub gospodarstwom domowym. Jeśli wszystkie banki będą się sukcesywnie i konsekwentnie pozbywać swojej nadwyżki rezerw gotówkowych, podaż pieniądza znacznie wzrośnie. W systemie z wieloma bankami całkowitą zdolność systemu bankowego do kreacji pieniądza określa mnożnik kreacji pieniądza. Jest to formuła matematyczna pozwalająca na obliczenie tego, ile pieniądza da się wykreować dzięki jednostce monetarnej powiększającej depozyty przy danym poziomie rezerw gotówkowych. A oto formuła mnożnika kreacji pieniądza (ang. money multiplier formula ): 1 Rezerwa obowiązkowa Aby określić całkowitą wielkość podaży pieniądza M1, która może zostać wytworzona w systemie bankowym, mnożnik kreacji pieniądza musimy pomnożyć przez nadwyżkę kwotową rezerw obowiązkowych w stosunku do ich minimalnej wysokości. Zapoznaj się z i prześledź przedstawione tam obliczenia. Wykorzystanie formuły matematycznej mnożnika kreacji pieniądza Wykorzystajmy mnożnik kreacji pieniądza do opisanego powyżej przykładu. Krok 1. W przypadku Banku Wyjątkowego, dla którego wymagana rezerwa wynosi 10% (lub 0,10), mnożnik kreacji pieniądza wynosi 1 podzielone przez 0,10, co daje 10. Ustaliliśmy, że nadwyżka kwotowa rezerwy gotówkowej w stosunku do wartości depozytów złożonych w Banku Wyjątkowym wynosi 9 mln zł, korzystając zatem ze wzoru, możemy określić całkowitą zmianę podaży pieniądza M1: Całk. zmiana podaży pieniądza M1 = 1 Rez. obowiąz. × Nadw. kwotowa rezerwy w stos. do wart. depoz. = 1 0,10 × 9 mln zł = 10 × 9 mln zł = 90 mln zł Krok 3. Możemy zatem stwierdzić, że w naszym przykładzie całkowita ilość pieniędzy wygenerowanych w tej hipotetycznej gospodarce po zakończeniu wszystkich rund pożyczkowych wyniesie 90 mln zł. Ograniczenia skuteczności mnożnika kreacji pieniądza Wartość mnożnika kreacji pieniądza będzie zależała od minimalnej wysokości rezerw, które narzuca bank centralny. Oczywiście każdy bank może utrzymywać rezerwy gotówkowe, które są wyższe od minimalnego poziomu. Banki mogą zdecydować się na zróżnicowanie wielkości i struktury posiadanych rezerw z dwóch powodów: warunków makroekonomicznych i regulacji rządowych. Gdy gospodarka znajduje się w recesji, banki prawdopodobnie będą utrzymywać wyższe rezerwy, ponieważ obawiają się, że klienci częściej nie będą w stanie spłacać swoich zobowiązań wobec nich. Bank centralny może również podnieść lub obniżyć minimalny poziom rezerw utrzymywanych przez banki, co wpływa na podaż pieniądza w gospodarce. Zostanie to dokładniej omówione w . Proces kreowania pieniądza przez banki w jednoznaczny sposób wskazuje, że wzrost podaży pieniądza w gospodarce jest ściśle powiązany z liczbą i wartością udzielanych pożyczek lub kredytów. Wszystkie pieniądze w gospodarce, z wyjątkiem wyemitowanej przez bank centralny gotówki, są konsekwencją pożyczek bankowych, które następnie trafiają jako depozyty na konta w innych bankach. Wreszcie mnożnik kreacji pieniądza zależy od tego, jak wiele pieniędzy osiada w systemie bankowym. Jeśli zamiast wpłacać gotówkę na konta bankowe, gospodarstwa domowe i przedsiębiorstwa zdecydują się na jej przechowywanie w skrytkach depozytowych i pudełkach po butach ukrytych w szafach, banki nie będą mogły wykorzystać tych środków, aby udzielać pożyczek. Banki centralne mają silną motywację do zapewnienia bezpieczeństwa depozytów bankowych, ponieważ jeśli ludzie obawiają się, że mogą stracić swoje pieniądze po wpłaceniu ich do banku, to po prostu tego nie zrobią, co doprowadzi do spadku liczby i wartości udzielanych kredytów i pożyczek. Stąd zresztą przepisy o minimalnym poziomie rezerw gotówkowych, który ma zabezpieczać środki umożliwiające wypłatę pieniędzy na żądanie depozytariuszy. Kraje o niskich dochodach doświadczają zjawiska określanego przez ekonomistów jako „oszczędności w materacach”, czyli pieniądze przechowywane w domach, z uwagi na niski poziom zaufania do systemu bankowego. W sytuacji, w której „oszczędności w materacach” osiągają znaczący poziom w skali gospodarki, banki nie mogą pożyczyć tych środków potencjalnym kredytobiorcom, a mnożnik kreacji pieniądza nie działa skutecznie. W takiej gospodarce zarówno podaż pieniądza, jak i wartość udzielonych kredytów maleją. Obejrzyj to wideo , w którym Jem Bendell omawia „mit pieniądza”. Pieniądze i banki – korzyści i zagrożenia Pieniądz i banki to wynalazki społeczne, które pomagają funkcjonować nowoczesnej gospodarce. W porównaniu z alternatywą, jaką jest barter, pieniądze znacznie ułatwiają wymianę towarów, pozyskiwanie czynników produkcji i działanie rynków finansowych. Sektor bankowy sprawia, że pieniądz jest jeszcze bardziej efektywnym narzędziem usprawniającym funkcjonowanie rynków. Co więcej, proces udzielania przez banki pożyczek na rynkach finansowych jest ściśle powiązany z kreacją pieniądza. Jednak nadzwyczajne korzyści ekonomiczne, które pojawiają się dzięki pieniądzom i bankom, generują również pewne niebezpieczeństwa. Jeśli banki nie działają w sposób efektywny, oznacza to niższe bezpieczeństwo transakcji i wyższe koszty w całej gospodarce. Gdy banki znajdują się w trudnej sytuacji finansowej z powodu powszechnego spadku wartości ich aktywów, dostępność kredytów znacznie się zmniejsza, co może być poważnym zagrożeniem dla branż, w których kredyt jest niezbędnym elementem działalności (rynek nieruchomości, produkcja samochodów, duże projekty infrastrukturalne itd.). Globalny kryzys finansowy z lat 2008–2009 boleśnie uwidocznił te prawidłowości. Różne kostiumy dla pieniędzy: od muszli kauri do kryptowalut Światowa gospodarka przeszła długą drogę od czasów, gdy jako waluty używano muszli kauri. Odeszliśmy od pieniądza towarowego i papierowych pieniędzy zabezpieczonych surowcami na rzecz pieniądza symbolicznego (banknotów i bilonu). Wraz z rozwojem technologii i postępem globalnej integracji zmniejsza się również zapotrzebowanie na walutę papierową. Skala wykorzystania kart kredytowych i debetowych cały czas rośnie. Ostatnim krzykiem mody, jeśli chodzi o formy pieniądza, stały się kryptowaluty. Są to cyfrowe waluty, których nie kontroluje żaden pojedynczy podmiot. Nie jest to pieniądz symboliczny, nie wspiera go bowiem żaden kraj i jego system prawny. Kryptowaluty nie są również emitowane przez banki centralne. Ich wartość (np. w stosunku do amerykańskiego dolara) jest określana przede wszystkim przez siły rynkowe, tj. podaż i popyt. Rządy mogą wpływać na wartość kryptowaluty, regulując jej użycie w granicach swojego kraju, ale ostatecznie cena i tak sprowadza się do podaży i zgłaszanego na nią popytu. Kryptowaluty przeszły długą drogę od 2009 r., kiedy to pojawił się bitcoin, a w ostatnich dwóch–trzech latach nastąpiła prawdziwa eksplozja różnych kryptowalut używanych na całym świecie. Należy zauważyć, że aby kryptowaluta mogła być uznana za pieniądz, nadal musi spełniać trzy podstawowe kryteria: musi być traktowana jako środek przechowywania wartości, jednostka rozrachunkowa i środek wymiany. O ile pierwsze dwa kryteria kryptowaluty spełniają stosunkowo łatwo, o tyle ich użycie jako środka wymiany, czyli wykorzystanie w celu kupna i sprzedaży dóbr i usług, jest bardziej skomplikowane. Podczas gdy kryptowaluty są używane w wielu nielegalnych transakcjach, rzadziej, o ile w ogóle, można je zobaczyć jako sposób płatności za dobra takie jak odzież, żywność czy czynsz za mieszkanie. Najpopularniejszą kryptowalutą jest bitcoin, a tym samym najbardziej prawdopodobne jest, że właśnie on zostanie uznany za nowy rodzaj pieniądza. Nieco mniej popularne, biorąc pod uwagę wolumen handlu, są ethereum i binance coin. Istnieje jeszcze wiele innych kryptowalut, ale ich bardziej powszechne wykorzystanie jako środka wymiany jest wciąż jeszcze przed nami. Key Concepts and Summary Mnożnik kreacji pieniądza definiujemy jako ilość pieniędzy, które system bankowy może wygenerować z każdej jednostki pieniężnej zaksięgowanej jako depozyt, powyżej kwoty obowiązkowych rezerw. Wzór na obliczenie mnożnika to iloraz jedności i stopy rezerw obowiązkowych lub rzeczywistej stopy rezerw utrzymywanych w sektorze bankowym. Ilość pieniądza w gospodarce i wartość kredytów są ze sobą nierozerwalnie związane. Większość pieniądza w gospodarce to kredyty udzielane przez sektor bankowy, które są następnie lokowane jako depozyty. Biorąc pod uwagę zagrożenia makroekonomiczne związane z nieprawidłowo działającym systemem bankowym, w zostanie omówiona polityka państwa w zakresie kontrolowania podaży pieniądza i utrzymywania bezpieczeństwa systemu bankowego. Self-Check Questions Wyobraź sobie, że kupujesz kredyty na rynku wtórnym (czyli kupujesz prawo do pobierania odsetek od tych kredytów) dla banku lub innej firmy świadczącej usługi finansowe. Wyjaśnij, dlaczego możesz zapłacić więcej lub mniej za dany kredyt, jeśli: Kredytobiorca przestał go terminowo spłacać. Stopy procentowe w całej gospodarce wzrosły od czasu, gdy bank udzielił kredytu. Kredytobiorcą jest firma, która właśnie zadeklarowała wysoki poziom zysków. Stopy procentowe w całej gospodarce spadły od czasu, gdy bank udzielił kredytu. Kredytobiorca, który przestał terminowo spłacać kredyt, ma najprawdopodobniej mniejsze szanse na jego całkowitą spłatę, w związku z czym cena tego instrumentu będzie maleć. Jeśli stopy procentowe wzrosły, to kredyt zaciągnięty w czasie relatywnie niższych stóp procentowych wygląda mniej atrakcyjnie, więc zapłacisz za niego mniej. Jeśli kredytobiorcą jest firma w bardzo dobrej kondycji finansowej, prawdopodobnie będzie w stanie bez problemu spłacić swoje zobowiązanie, stąd cena tego instrumentu finansowego może być wyższa. Jeśli stopy procentowe w gospodarce spadły, to kredyt jest wart więcej. Review Questions W jaki sposób banki kreują pieniądz? Jaki jest wzór na mnożnik kreacji pieniądza? Critical Thinking Questions Czy banki powinny utrzymywać 100% swoich depozytów jako rezerwy? Uzasadnij swoją odpowiedź. Wyjaśnij, jak wzrost stopy rezerw obowiązkowych wpłynie na proces kreacji pieniądza w systemie bankowym. Jak myślisz, jakie decyzje amerykański Bank Rezerwy Federalnej (bank centralny) podjął w kwestii stopy rezerw obowiązkowych w okresie globalnego kryzysu finansowego w latach 2008–2009? Problems Bank Gargantuiczny jest jedynym bankiem w pewnej gospodarce. Podmioty ekonomiczne dysponują gotówką o wartości 20 mln zł, którą w całości deponują w Banku Gargantuicznym. Bank Gargantuiczny decyduje się na politykę utrzymywania 100% rezerw. Stwórz bilans tego podmiotu. Bank Gargantuiczny jest zobowiązany do utrzymywania 5% swoich depozytów w kwocie 20 mln zł w charakterze rezerw, a resztę może zaoferować pożyczkobiorcom. Jak zmieni się bilans tego podmiotu po pierwszej rundzie pożyczek? Załóżmy, że Bank Gargantuiczny jednak ma konkurentów, którzy wraz z nim tworzą system bankowy. O ile wzrośnie podaż pieniądza w rozpatrywanej gospodarce po pierwotnej wpłacie dokonanej przez podmioty gospodarcze do Banku Gargantuicznego? References Bitcoin. 2013. www.bitcoin.org. National Public Radio. Lawmakers and Regulators Take Closer Look at Bitcoin . November 19, 2013. http://thedianerehmshow.org/shows/2013-11-19/lawmakers-and-regulators-take-closer-look-bitcoin. mnożnik kreacji pieniądza (ang. money multiplier formula ) odwrotność stopy rezerw obowiązkowych lub stopy rezerw utrzymywanej w dobrowolny sposób w sektorze bankowym", "section": "Jak banki kreują pieniądz", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Gmach Marrinera S. Ecclesa, główna siedziba Banku Rezerwy Federalnej w Waszyngtonie Za tymi drzwiami zapadają ważne decyzje dotyczące polityki pieniężnej w Stanach Zjednoczonych. (Źródło: modyfikacja pracy „squirrel83”/Flickr Creative Commons). Jak bardzo można obniżyć stopy procentowe? Większość ekonomistów uważa, że polityka pieniężna (czyli decyzje banku centralnego, które przekładają się na wysokość stóp procentowych m.in. poprzez zasady i warunki udzielanych kredytów) ma ogromny wpływ na gospodarkę każdego kraju. Z ekspansywną polityką pieniężną (monetarną) mamy do czynienia wtedy, gdy bank centralny obniża stopy procentowe i zwiększa dostępność kredytu. W efekcie tych działań inwestycje przedsiębiorstw i wydatki gospodarstw domowych rosną, powodując wzrost PKB i zatrudnienia. Co się jednak stanie, jeśli stopy procentowe narzucone przez banki komercyjne jako koszt kredytu są już bliskie zeru? Nie można przecież obniżyć ich poniżej zera, prawda? Oznaczałoby to bowiem, że pożyczkodawcy płaciliby pożyczkobiorcom za pożyczanie od nich pieniędzy. Właśnie w takiej sytuacji znalazł się System Rezerwy Federalnej USA pod koniec globalnego kryzysu finansowego, czyli w roku 2009, a także w czasie recesji spowodowanej pandemią koronawirusa w roku 2020. Stopa funduszy federalnych, czyli stopa procentowa będąca punktem odniesienia dla banków komercyjnych w ich działalności kredytowej, którą amerykański bank centralny traktuje jako podstawowe narzędzie polityki pieniężnej, w roku 2007 wynosiła ok. 5%. W ciągu kolejnych dwóch lat obniżyła się do poziomu 0,16%. Po zakończeniu kryzysu ponownie wzrosła do ok. 2%, a po rozpoczęciu recesji pandemicznej spadła po raz kolejny, w marcu 2020 r. osiągając zaledwie 0,05%. Politykę Banku Rezerwy Federalnej w latach 2008–2009 komplikowało również to, że polityka fiskalna, czyli drugi ze sposobów, w jaki państwo może wpływać na sytuację w gospodarce, nie mogła się opierać na obniżkach podatków i wzroście wydatków ze względu na sytuację budżetu federalnego w Stanach Zjednoczonych i powszechne obawy, że zarówno jego deficyt, jak i rozmiary długu publicznego są zbyt wysokie. Jakie było zatem pole manewru amerykańskiego banku centralnego? W jaki sposób System Rezerwy Federalnej mógł kształtować politykę pieniężną, aby stymulować gospodarkę? Dodatkowo, o ile polityka fiskalna w czasie recesji pandemicznej była bardziej agresywna, to sytuacja gospodarcza sektora przedsiębiorstw i gospodarstw domowych również była trudniejsza i konieczne okazało się dodatkowe wsparcie finansowe skierowane do obu tych grup podmiotów. Rozwiązaniem problemu dolnej granicy wysokości stóp procentowych w czasie tych kryzysów była – jak pokażemy w niniejszym rozdziale – zmiana reguł gry. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: W jaki sposób banki centralne wpływają na działalność banków komercyjnych Jakie są narzędzia polityki pieniężnej (monetarnej) wykorzystywane przez banki centralne W jaki sposób polityka pieniężna przekłada się na sytuację w gospodarce Jakie są pułapki polityki pieniężnej Pieniądze, pożyczki (oraz kredyty) i banki pozostają ze sobą w nierozerwalnym związku. Pieniądze są deponowane na rachunkach bankowych, a następnie pożyczane przedsiębiorstwom, gospodarstwom domowym i innym bankom. Jeśli ten zazębiający się system pieniądza, pożyczek i banków działa efektywnie, transakcje gospodarcze na rynkach dóbr, usług i czynników produkcji zawierane są płynnie, a oszczędzający bez problemu wchodzą w interakcje z pożyczkobiorcami. Jednak jeśli system pieniężny i bankowy nie działa sprawnie, gospodarka może albo wpaść w recesję, albo cierpieć z powodu przedłużającej się inflacji. Państwo (jego wyspecjalizowane agendy) wspiera funkcjonowanie tego systemu. Jednak mechanizmy te nie zawsze działają bez turbulencji. W niniejszym rozdziale zostaną omówione zasady, zgodnie z którymi prowadzona jest polityka pieniężna, oraz czynniki mogące ograniczyć jej skuteczność i efektywność.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Zadania banku centralnego Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić zadania banku centralnego Wskazać związki pomiędzy regulacjami bankowymi a polityką pieniężną Wyjaśnić sposób działania nadzoru bankowego Wytłumaczyć, w jaki sposób ubezpieczenie depozytów i funkcja ostatniej instancji kredytowej pełniona przez bank centralny chronią system bankowy przed paniką na rynkach finansowych Podejmując decyzje o podaży pieniądza, bank centralny podnosi lub obniża stopy procentowe i w ten sposób kształtuje politykę pieniężną, która – wraz z polityką fiskalną będącą w gestii rządu centralnego i jednostek samorządu terytorialnego – składa się na politykę makroekonomiczną, ukierunkowaną na utrzymywanie jak najniższych stóp bezrobocia i inflacji . Bank centralny może być również odpowiedzialny za działania regulacyjne i nadzorcze w stosunku do krajowego systemu bankowego mające służyć ochronie interesów deponentów bankowych i zapewnieniu dobrej kondycji całego sektora. Taka właśnie sytuacja ma miejsce w USA. W Polsce z kolei za nadzór nad rynkiem finansowym odpowiada Komisja Nadzoru Finansowego (KNF), która jest niezależna do banku centralnego. W strefie euro sytuacja jest także specyficzna – Europejski Bank Centralny (EBC) prowadzi politykę pieniężną, ale nadzór nad systemem bankowym pełnią instytucji narodowe w poszczególnych krajach. Podmiot odpowiedzialny za prowadzenie polityki pieniężnej (ang. monetary policy ) i zapewnienie sprawnego funkcjonowania systemu finansowego kraju nazywamy bankiem centralnym (ang. central bank ). Najbardziej znanymi światowymi bankami centralnymi są: Europejski Bank Centralny (ang. European Central Bank ), Bank Japonii (ang. Bank of Japan ), Bank Anglii (ang. Bank of England ) i oczywiście System Rezerwy Federalnej w Stanach Zjednoczonych (ang. Federal Reserve ) nazywany po prostu FED-em. W Polsce funkcję banku centralnego w obszarze polityki pieniężnej pełni Narodowy Bank Polski (NBP). Jakie są zadania banku centralnego? Banki centralne na świecie prowadzą zazwyczaj swoje działania w następujących obszarach: polityka pieniężna, stabilność systemu finansowego, usługi bankowe na rzecz banków komercyjnych i innych instytucji depozytowych oraz wybranych jednostek sektora finansów publicznych (przede wszystkim rządu centralnego). Pierwszy obszar jest na tyle istotny, że poświęcimy mu osobny podrozdział, natomiast dwa kolejne zostaną omówione poniżej. Banki centralne zapewniają bankom komercyjnym wiele usług analogicznych do tych, jakie banki komercyjne świadczą na rzecz swoich klientów (czyli przedsiębiorstw i gospodarstw domowych). Na przykład wszystkie polskie banki komercyjne mają konto w Narodowym Banku Polskim (NBP), na którym deponują rezerwy. Podobnie banki mogą uzyskiwać pożyczki z banku centralnego. Na bardziej operacyjnym poziomie NBP dba, by ilość gotówki krążąca w systemie finansowym pozwalała zaspokoić zapotrzebowanie społeczeństwa na pieniądz. Na przykład każdego roku polski bank centralny zwiększa ilość gotówki dostępnej w bankach w okresie przedświątecznych zakupów i ponownie zmniejsza ją w styczniu. Utrzymywanie bezpiecznego i stabilnego krajowego systemu finansowego jest jednym z dwóch najważniejszych zadań większości banków centralnych (NBP, jak to zostało wskazane powyżej, pozostaje w tym obszarze wyjątkiem). Celem jest nie tylko ochrona oszczędności osób fizycznych, ale także utrzymanie integralności samego systemu finansowego. Przeciętny obywatel zwykle nawet nie zdaje sobie sprawy z tego, że bank centralny wykonuje takie działania, ale stało się to widoczne np. w USA podczas kryzysu finansowego w latach 2008–2009. Na pewien czas krytyczne części systemu finansowego zawiodły, a firmy nie były w stanie uzyskać finansowania na podstawową działalność gospodarczą. Wyobraź sobie, że nagle nie możesz pobrać pieniędzy ze swoich konth bankowych, ponieważ transakcja, którą chciałeś zrealizować dzięki posiadanej karcie debetowej, została odrzucona. Daje to wyobrażenie o skali awarii systemu płatniczego/finansowego, do jakiej doszło wówczas w Stanach Zjednoczonych. W Polsce jak dotychczas zarówno w początkowym okresie pandemii (tuż po rozpoczęciu lockdownu wiosną 2020 r.), jak i po napaści Rosji na Ukrainę w lutym 2022 r. udało się uniknąć takich perturbacji, jakkolwiek, co wiele osób doskonale pamięta, przez kilka dni utrzymywały się trudności z wypłatą środków z niektórych bankomatów (szczególnie tych pozostających poza bezpośrednią kontrolą banków). Celem regulacji bankowych jest utrzymanie wypłacalności całego systemu (nie bez kozery określanego często mianem „sektora zaufania publicznego”) poprzez unikanie nadmiernego ryzyka. Regulacje dzielą się na wiele kategorii. Mieszczą się w nich np. wymagania dotyczące rezerw, wymogi kapitałowe, ograniczenia rodzajów inwestycji, jakie mogą być dokonywane przez banki itd. W , powiedzieliśmy, że banki są zobowiązane do utrzymywania minimalnego odsetka swoich depozytów w formie relatywnie szybko dostępnych rezerw, które pozwalają pokryć część wypłat, jakie mogliby zgłosić depozytariusze (choć banki zazwyczaj utrzymują rezerwy na poziomie wyższym od minimalnego). Określenie „relatywnie szybko dostępnych” bywa nieco mylące, o ile bowiem pewną część swoich rezerw bank przechowuje sam w formie gotówki, o tyle większa część jego zasobów jest utrzymywana na rachunku w banku centralnym. Innym obszarem regulacji bankowych są ograniczenia dotyczące rodzajów inwestycji dokonywanych przez banki. Instytucje te mogą udzielać pożyczek przedsiębiorstwom, gospodarstwom domowym i innym bankom, a także kupować papiery skarbowe (bony i obligacje), ale nie mogą inwestować w aktywa postrzegane jako zbyt ryzykowne. Zgodnie z amerykańską konwencją kapitał banku to różnica między jego aktywami a pasywami, natomiast w Polsce zgodnie z zasadami rachunkowości przyjmuje się, że aktywa są zawsze równe pasywom, w związku z czym kapitał banku klasyfikowany jest jako część pasywów. Innymi słowy, kapitał banku stanowi jego wartość netto (ang. net worth ) banku. Bank musi mieć dodatnią wartość netto; w przeciwnym razie jest niewypłacalny lub zbankrutował, co oznacza, że nie ma wystarczających aktywów, aby spłacić swoje zobowiązania. Przepisy prawne wymagają, aby banki utrzymywały minimalną dodatnią wartość netto, zwykle wyrażoną jako procent ich aktywów, w celu ochrony swoich depozytariuszy i innych wierzycieli. Odwiedź tę stronę , aby przeczytać krótki artykuł pt. „Przestań mylić politykę pieniężną” i regulacje bankowe. Nadzór bankowy Gdy nadzór bankowy działa efektywnie, większość banków przez długi czas pozostaje w dobrej kondycji finansowej. Jeśli urzędnicy nadzoru bankowego stwierdzą, że jakiś bank ma niską lub ujemną wartość netto lub udziela zbyt dużo ryzykownych kredytów, mogą zażądać od niego zmiany postępowania, a w skrajnych przypadkach nawet zmusić właścicieli do wstrzymania działalności lub sprzedaży swoich aktywów innemu bankowi, pozostającemu w dobrej kondycji finansowej. Nadzór bankowy może wiązać się z wyzwaniami zarówno w wymiarze praktycznym, jak i politycznym. Praktyczny wymiar oznacza, że pomiar wartości aktywów banku nie zawsze jest prosty. W mówiliśmy, że aktywami banku są udzielone kredyty, a wartość tych aktywów zależy od oszacowanego ryzyka ich niespłacenia. Może się to stać jeszcze bardziej złożone, gdy bank udziela pożyczek bankom lub firmom w innych krajach lub zawiera umowy finansowe, które są znacznie bardziej skomplikowane niż zwykła pożyczka. Wymiar polityczny wynika z faktu, że decyzja nadzorcy bankowego o zamknięciu konkretnego podmiotu lub zmianie struktury jego inwestycji finansowych jest często kontrowersyjna, a nadzorca bankowy często znajduje się pod polityczną presją ze strony właścicieli banku i lokalnych polityków. Na przykład wielu obserwatorów zwróciło uwagę na to, że japońskie banki przez niemal całą dekadę lat 90. XX w. przeżywały poważne kłopoty finansowe, jednak do początku XXI w. nie zrobiono w tej sprawie niczego istotnego. Podobna niechęć do stawienia czoła problemom banków znajdujących się w poważnych tarapatach jest widoczna na całym świecie – w Azji Wschodniej, Ameryce Łacińskiej, Europie, Rosji, a także w samych Stanach Zjednoczonych. W USA pod koniec XX w. uchwalono przepisy wymagające od nadzorców bankowych ujawniania i upubliczniania ich ustaleń oraz podjęcia działań, gdy tylko zidentyfikują w jakimś banku lub grupie banków poważny problem. Krytycy przyjętych regulacji zadawali jednak zasadne pytanie, dlaczego organy nadzoru nie przewidziały chwiejności finansowej, zanim duże straty miały szansę się skumulować i doprowadzić do masowych bankructw, które zostały przywołane w poprzednim rozdziale. Panika na rynkach finansowych W XIX w. i w ciągu kilku pierwszych dekad wieku XX (np. w czasie Wielkiego Kryzysu) lokowanie pieniędzy w banku mogło być niezwykle stresujące. Wyobraź sobie, że wartość netto twojego banku stała się ujemna, a więc jego aktywa nie wystarczały na pokrycie zobowiązań. W tej sytuacji klienci, którzy zjawiali się w banku jako pierwsi, odzyskiwali całe swoje depozyty, zaś ci, którzy się nieco spóźnili, tracili wszystkie zdeponowane tam pieniądze. Masowe decyzje depozytariuszy o wypłacie środków z banku lub banków (często niemające żadnego racjonalnego uzasadnienia i wynikające z niesprawdzonych pogłosek lub plotek) nazywamy paniką na rynkach finansowych (lub „runem” na banki) (ang. bank run ). W filmie „To wspaniałe życie” ( It’s a Wonderful Life ) z 1946 r. dyrektor banku grany przez Jamesa Stewarta staje twarzą w twarz z tłumem zaniepokojonych depozytariuszy, którzy chcą wypłacić swoje pieniądze, ale udaje mu się rozwiać ich obawy, pozwalając niektórym wycofać część depozytów dzięki prywatnym środkom, które miał przeznaczyć na swój miesiąc miodowy. Panika na rynkach finansowych Panika na rynku finansowym USA w okresie Wielkiego Kryzysu tylko pogorszyła sytuację gospodarczą kraju. (Źródło: National Archives and Records Administration). Ryzyko paniki na rynkach finansowych może spowodować niestabilność całego systemu bankowego. Nawet pogłoska, że bank może mieć ujemną wartość netto, potrafi wywołać paniczne reakcje jego depozytariuszy, a wtedy również podmioty będące w dobrej kondycji finansowej mogą zbankrutować. Ponieważ bank pożycza większość otrzymanych pieniędzy, a w kasie trzyma tylko ograniczone rezerwy, panika na rynkach finansowych o dowolnej wielkości szybko wyczerpałaby każdą ilość gotówki dostępną w banku. Ogłoszenie nawet czasowego wstrzymania wypłat depozytów tylko nasiliłoby obawy pozostałych depozytariuszy o bezpieczeństwo ich pieniędzy. Co więcej, panika w jednym banku często wywoływała reakcję łańcuchową, przenosząc się na inne podmioty. Pod koniec XIX i na początku XX w. panika na rynkach finansowych zazwyczaj nie była pierwotną przyczyną recesji, ale mogła znacznie zaostrzyć jej przebieg. Ubezpieczenie depozytów i ostatnia instancja kredytowa Aby chronić się przed paniką na rynkach finansowych, banki centralne wykorzystują dwie strategie: ubezpieczenie depozytów (ang. deposit insurance ) i tworzenie podmiotów będących kredytodawcą ostatniej instancji ( ostatnią instancją kredytową ) (ang. lender of last resort ). Instytucją gwarantującą depozyty banków w Polsce, a także pełniącą funkcję ostatniej instancji kredytowej, jest Bankowy Fundusz Gwarancyjny (BFG). Zgodnie z ustawą regulującą działalność tego podmiotu z 10 czerwca 2016 r. depozyty, których równowartość w złotych nie przekracza 100 tys. euro, są gwarantowane w pełnej wysokości (w pewnych specyficznych sytuacjach gwarancje obejmują depozyty o wartości nawet do 200 tys. euro). Podstawowymi źródłami finansowania BFG są obowiązkowe składki kwartalne wnoszone przez banki objęte systemem gwarantowania. W Polsce również NBP pełni rolę kredytodawcy ostatniej instancji poprzez udzielanie kredytu lombardowego bankom komercyjnym. W bankach objętych ubezpieczeniem depozytów paniki zdarzają się już niezwykle rzadko. Problem z paniką na rynkach finansowych nie polega na tym, że niewypłacalne banki upadają; w końcu są bankrutami i trzeba je zamknąć. Kluczowe jest to, że panika na rynkach finansowych może spowodować upadek wypłacalnych banków i rozprzestrzenienie się problemu na pozostałą część systemu finansowego. Aby temu zapobiec, bank centralny jest gotów udzielać pożyczek bankom i innym instytucjom finansowym, jeśli nie mogą one uzyskać funduszy z innego źródła. Jest to funkcja nazywana ostatnią instancją kredytową . Amerykański bank centralny uaktywnia się również w przypadku kryzysów finansowych innych niż ściśle bankowe. Podczas paniki na giełdzie w 1987 r. wartość akcji w USA w ciągu jednego dnia spadła o 25%. FED, dbając o stabilność systemu finansowego, w odpowiedzi na tę bezprecedensową sytuację udzielił szeregu krótkoterminowych pożyczek ratunkowych, aby system finansowy mógł dalej funkcjonować. Podczas recesji w latach 2008–2009 politykę „luzowania ilościowego” prowadzoną przez System Rezerwy Federalnej (omówioną poniżej) również można interpretować jako gotowość do udostępniania w razie potrzeby krótkoterminowych kredytów. Key Concepts and Summary Najważniejszym zadaniem banku centralnego jest prowadzenie polityki pieniężnej, która wpływa na oprocentowanie kredytów i depozytów oraz warunki udzielania pożyczek, co – poprzez wartość kredytów zaciągniętych przez przedsiębiorstwa i gospodarstwa domowe – wpływa na globalny popyt w gospodarce. Nadzór bankowy polega na kontrolowaniu bilansów banków, aby upewnić się, że mają one dodatnią wartość netto, a ich aktywa nie są zbyt ryzykowne. Najbardziej znane banki centralne na świecie to: System Rezerwy Federalnej Stanów Zjednoczonych i Europejski Bank Centralny. Polskim bankiem centralnym jest Narodowy Bank Polski. Do paniki na rynkach finansowych dochodzi wówczas, gdy pojawiają się doniesienia lub plotki, że konkretny bank lub grupa banków jest narażona na ryzyko finansowe związane z ujemną wartością majątku netto. W tej sytuacji depozytariusze chcą jak najszybciej wypłacić ze swojego banku pieniądze, obawiając się o ich bezpieczeństwo. Nawet podmiot znajdujący się w doskonałej kondycji finansowej może upaść, jeśli fałszywe pogłoski spowodują wybuch paniki i doprowadzą do utraty depozytów, z których tylko bardzo mała część jest utrzymywana w formie gotówki dostępnej na żądanie. Sposobem na ograniczenie ryzyka wybuchu paniki na rynkach finansowych jest ubezpieczenie depozytów, które gwarantuje depozytariuszom wypłatę nawet wtedy, gdy bank będzie miał ujemną wartość majątku netto. W Polsce ubezpieczenie obejmuje z zasady depozyty o wartości do 100 tys. euro, a podmiotem odpowiedzialnym za tę sferę aktywności jest Bankowy Fundusz Gwarancyjny. Banki centralne działają również jako ostatnia instancja kredytowa, udzielając krótkoterminowych pożyczek podmiotom zagrożonym paniką na rynkach finansowych. Bankructwo jednego banku może być traktowane jak każda inna porażka biznesowa. Jednak jeśli wiele banków upadnie, wówczas zagregowany popyt może się zmniejszyć tak bardzo, że wywoła to lub pogłębi recesję. Połączenie ubezpieczenia depozytów, nadzoru bankowego i polityki kredytodawcy ostatniej instancji pomaga zapobiegać recesjom spowodowanym słabościami systemu bankowego. Self-Check Questions Dlaczego banki, biorąc pod uwagę niebezpieczeństwo paniki na rynkach finansowych, nie przechowują większości depozytów jako gotówki w kasie, aby w razie potrzeby udostępnić ją depozytariuszom? Banki zarabiają na udzielaniu pożyczek i marży odsetkowej. Im więcej pieniędzy jest przechowywanych w formie gotówki w skarbcu banku, tym mniej można przeznaczyć na pożyczki i tym mniej pieniędzy bank może zarobić. Paniki na rynkach finansowych są często opisywane jako „samospełniające się przepowiednie”. Dlaczego to wyrażenie dobrze opisuje wspomniane zjawisko? Strach i niepewność wywołane sugestią, że bankowi grozi bankructwo, mogą skłonić depozytariuszy do wycofania swoich pieniędzy. Jeśli zbyt wiele osób zachowa się w ten sposób, bank nie będzie w stanie spełnić ich żądań i faktycznie upadnie. Review Questions W jaki sposób regulacje bankowe są powiązane z prowadzeniem polityki pieniężnej? Czym jest panika na rynkach finansowych? Co jest objęte ubezpieczeniem w programie ubezpieczenia depozytów prowadzonym przez Bankowy Fundusz Gwarancyjny w Polsce? Kto finansuje ewentualne wypłaty z tego funduszu? Co podlega nadzorowi w publicznych programach nadzoru bankowego? Czym jest kredytodawca ostatniej instancji? Czym różni się bank centralny od typowego banku komercyjnego? Wymień trzy tradycyjne narzędzia, za pomocą których bank centralny kontroluje podaż pieniądza. Critical Thinking Question Termin „pokusa nadużycia” opisuje tendencję podmiotów ekonomicznych do bardziej ryzykownych zachowań, o ile ich konsekwencje są postrzegane jako mniej dokuczliwe lub groźne (badania wykazały, że np. obowiązek zapinania pasów bezpieczeństwa i instalacja poduszek powietrznych w samochodach zwiększające bezpieczeństwo w czasie ewentualnej kolizji lub wypadku wpłynęły na wzrost średniej prędkości, z jaką auta się przemieszczają). W jaki sposób koncepcja pokusy nadużycia odnosi się do ubezpieczenia depozytów i innych regulacji bankowych? References U.S. Department of the Treasury. “Office of the Comptroller of the Currency.” Accessed November 2013. http://www.occ.gov/. National Credit Union Administration. “About NCUA.” Accessed November 2013. http://www.ncua.gov/about/Pages/default.aspx. bank centralny (ang. central bank ) podmiot prowadzący politykę pieniężną danego kraju i regulujący jego system bankowy panika na rynkach finansowych (ang. bank run ) masowe decyzje depozytariuszy o wypłacie ich środków z banku, często podejmowane w wyniku fałszywych pogłosek lub plotek, a więc niemające racjonalnego uzasadnienia, a wynikające z obawy, że pieniądze mogą zostać utracone ubezpieczenie depozytów (ang. deposit insurance ) system ubezpieczeniowy, który gwarantuje, że deponenci banku nie stracą swoich pieniędzy, nawet jeśli ten zbankrutuje kredytodawca ostatniej instancji (ang. lender of last resort ) podmiot zdolny do udzielenia pożyczek bankom i innym instytucjom finansowym w sytuacjach, kiedy panika na rynkach zagraża całemu systemowi finansowemu ostatnia instancja kredytowa zob. kredytodawca ostatniej instancji", "section": "Zadania banku centralnego", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Jak bank centralny wprowadza politykę pieniężną Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać powody, dla których banki centralne przeprowadzają operacje otwartego rynku Wyjaśnić, w jaki sposób określanie wysokości rezerwy obowiązkowej i stóp procentowych banku centralnego wpływa na podaż pieniądza Interpretować sposób działania banku na podstawie jego bilansu Najważniejszą funkcją każdego banku centralnego jest prowadzenie polityki pieniężnej kraju. Polityka pieniężna polega na zarządzaniu stopami procentowymi i warunkami udzielania kredytów, co wpływa na poziom aktywności gospodarczej. Bank centralny dysponuje trzema tradycyjnymi narzędziami prowadzenia polityki pieniężnej w gospodarce, są to: operacje otwartego rynku zmiana wysokości stopy rezerw obowiązkowych zmiany stóp procentowych banku centralnego Analizując działanie tych trzech narzędzi, warto pomyśleć o banku centralnym jako o „banku dla banków” – co oznacza, że każdy bank sektora prywatnego ma własne konto w banku centralnym. Omówimy teraz każde z tych narzędzi polityki. Operacje otwartego rynku Od początku trzeciej dekady XX w. do 2008 r. najpopularniejszym narzędziem polityki pieniężnej w USA były operacje otwartego rynku (ang. open market operations ). Aktywność ta polega na transakcjach kupna i sprzedaży krótkoterminowych papierów wartościowych odbywających się pomiędzy bankiem centralnym a bankami komercyjnymi. Zarówno kupno, jak i sprzedaż są inicjowane przez bank centralny, a przedmiotem tych operacji są głównie rządowe instrumenty dłużne, tj. bony (weksle) skarbowe oraz inne instrumenty, np. bony (weksle) komercyjne, obligacje komunalne, papiery emitowane przez bank centralny lub waluty obce. Bank centralny dokonuje tych operacji w celu oddziaływania na wielkość rezerw gotówkowych banków komercyjnych, a tym samym na podaż pieniądza. Zarówno dla amerykańskiego Systemu Rezerwy Federalnej, jak i większości banków centralnych operacje otwartego rynku były w ciągu ostatnich kilku dekad najczęściej używanym narzędziem polityki pieniężnej. Odwiedź tę stronę Rezerwy Federalnej, aby się dowiedzieć więcej o aktualnej polityce pieniężnej. Aby zrozumieć, w jaki sposób operacje otwartego rynku wpływają na podaż pieniądza, rozważmy bilans Szczęśliwego Banku przedstawiony na . Panel (a) tego wykresu pokazuje, że Szczęśliwy Bank na początku naszej analizy dysponuje kwotą aktywów (składających się z rezerw, papierów wartościowych i pożyczek) równą 460 mln zł oraz pasywami (depozytami) powiększonymi o wartość netto banku w kwocie 400 mln zł. Tym samym wartość netto Szczęśliwego Banku wynosi 60 mln zł. Gdy bank centralny kupuje od Szczęśliwego Banku papiery wartościowe w kwocie 20 mln zł, dochodzi do zmiany wartości dwóch pozycji po stronie aktywów. Wartość papierów wartościowych zmniejsza się o 20 mln zł, zaś wartość rezerw rośnie o tę samą kwotę, tak jak zilustrowano to na panelu (b) . Jednak Szczęśliwy Bank chce utrzymać rezerwy w kwocie 40 mln zł, w związku z czym decyduje się pożyczyć dodatkowe 20 mln zł, co oczywiście oznacza wzrost wartości tej pozycji bilansu, tak jak to pokazano na panelu (c). Przeprowadzona przez bank centralny operacja otwartego rynku spowodowała wzrost wartości pożyczek udzielonych przez Szczęśliwy Bank, a tym samym zwiększenie podaży pieniądza. Ponieważ nowe pożyczki są deponowane w innych bankach funkcjonujących w tej gospodarce, one również będą pożyczać część otrzymanych depozytów, uruchamiając mnożnik kreacji pieniądza, który omówiliśmy w . Skąd bank centralny pozyskał 20 mln zł, które wykorzystał na zakup papierów wartościowych? Bank centralny ma moc kreowania pieniądza. W praktyce doszłoby po prostu do zaksięgowania odpowiedniej sumy na koncie Szczęśliwego Banku prowadzonym przez bank centralny. Ważne jest jednak to, że banki centralne mają możliwości kreacji pieniądza, czyli tworzenia go w praktyce z niczego, po prostu w drodze kilku kliknięć na klawiaturze komputera. Oczywiście operacje otwartego rynku mogą również zmniejszyć ilość pieniądza i pożyczek w gospodarce. Panel (a) ponownie pokazuje bilans Szczęśliwego Bank na początku analizy, tj. jeszcze przed zakupem papierów wartościowych od banku centralnego. Gdy Szczęśliwy Bank kupuje papiery wartościowe w kwocie 30 mln zł, strona aktywów w jego bilansie się zmienia. Wartość rezerw obniża się o 30 mln zł, zaś wartość papierów wartościowych rośnie o analogiczną kwotę, tak jak zostało to pokazane na panelu (b) . Jednak Szczęśliwy Bank w dalszym ciągu chce utrzymywać 40 mln zł w formie rezerw, zmniejszy więc wartość udzielonych pożyczek w taki sposób, aby mieć w kasie banku pożądaną kwotę. Posunięcie to zostało zilustrowane na panelu (c) poniżej. W praktyce bank może dość łatwo zmniejszyć ilość i wartość udzielanych pożyczek. Jeśli bank po prostu ograniczy lub na krótko wstrzyma udzielanie nowych pożyczek przedsiębiorstwom i gospodarstwom domowych, a środki wpływające jako spłaty rat kapitałowych zostaną dodane do rezerw, wówczas ogólna liczba i wartość pożyczek się zmniejszy. Spadek liczby pożyczek udzielonych przez Szczęśliwy Bank oznacza również mniej depozytów w innych bankach funkcjonujących w tej gospodarce, w związku z czym one także ograniczą akcję kredytową, wskutek działania mnożnika kreacji pieniądza, opisanego w . A jak na podaż pieniądza wpływa wartość papierów wartościowych, którymi handluje się w trakcie operacji otwartego rynku? Przeczytaj następną , aby uzyskać odpowiedź na to pytanie. Czy podaż pieniądza rośnie w wyniku sprzedaży, czy zakupu papierów wartościowych przez bank centralny? Aby odpowiedzieć na tak postawione pytanie, należy przede wszystkim uświadomić sobie, że bank centralny jest podmiotem znajdującym się poza systemem bankowym. Gdy bank centralny kupuje obligacje, pieniądze przepływają z banku centralnego do poszczególnych banków w gospodarce, zwiększając podaż pieniądza w obiegu. Gdy bank centralny sprzedaje obligacje, pieniądze z poszczególnych banków w gospodarce wpływają do banku centralnego, zmniejszając ilość pieniądza w gospodarce. Zmiana stóp procentowych banku centralnego Amerykański System Rezerwy Federalnej został utworzony w następstwie paniki na rynkach finansowych z 1907 r., gdy wiele banków w USA upadło. Skoro banki czerpią zyski z pożyczania swoich depozytów, nie mogą utrzymywać pełnej ich wartości w formie rezerw, co automatycznie oznacza, że nawet najlepiej zarządzany bank nie będzie w stanie zaspokoić wszystkich swoich depozytariuszy w czasie wybuchu paniki na rynkach finansowych. Aby chronić takie banki, powołano System Rezerwy Federalnej jako „kredytodawcę ostatniej instancji”. W przypadku paniki dobrze zarządzane banki (te, które nie zbankrutowały) mogły pożyczyć tyle gotówki, ile potrzebowały, z nowo utworzonego banku centralnego, aby uspokoić obawy swoich depozytariuszy. Stopę procentową płaconą przez banki za takie kredyty nazywamy stopą lombardową (ang. discount rate ). Gdy depozytariusze przekonywali się, że ich pieniądze są bezpieczne, panika na rynkach finansowych samoistnie wygasała. Krótko mówiąc, System Rezerwy Federalnej miał pierwotnie zapewniać kredyty w sposób pasywny, ale w kolejnych latach przyjął znacznie bardziej aktywną rolę w polityce pieniężnej. Drugim tradycyjnym narzędziem realizacji polityki pieniężnej jest podnoszenie lub obniżanie stopy lombardowej. Jeśli bank centralny podniesie stopę lombardową, banki komercyjne zmniejszą skalę pożyczek zaciąganych w banku centralnym i zamiast tego – pamiętając o groźbie wybuchu paniki finansowej – zwiększą wartość swoich rezerw, zmniejszając tym samym liczbę i wartość kredytów udzielanych gospodarstwom domowym i przedsiębiorstwom. Ponieważ wartość kredytów w gospodarce spada, ich oprocentowanie rośnie i obniża się podaż pieniądza. Jeśli bank centralny obniży z kolei stopę lombardową, którą pobiera od banków, cały proces przyniesie odwrotne rezultaty. W ciągu ostatnich kilkudziesięciu lat System Rezerwy Federalnej udzielił stosunkowo niewielu pożyczek oprocentowanych zgodnie ze stopą lombardową. Oczekuje się bowiem, że zanim bank komercyjny zaciągnie taką pożyczkę w celu uzupełnienia swoich rezerw obowiązkowych, najpierw poszuka finansowania z innych dostępnych źródeł, takich jak inne banki komercyjne. Zniechęca do tego również sam FED, stosując stopę lombardową wyższą od stopy funduszy federalnych (stopa funduszy federalnych jest to wysokość oprocentowania depozytów utrzymywanych przez banki w Systemie Rezerwy Federalnej). To odpowiednik polskiej stopy referencyjnej NBP – jednego z najważniejszych instrumentów banku centralnego. Biorąc pod uwagę to, że wolumen pożyczek oprocentowanych zgodnie ze stopą lombardową jest stosunkowo niewielki, jej zmiana nie ma znaczącego wpływu na zachowanie sektora bankowego. Co ważniejsze, FED na podstawie swoich doświadczeń przyjmuje, że operacje otwartego rynku są precyzyjniejszym i bardziej skutecznym narzędziem kontroli podaży pieniądza. Zmiana wymagań dotyczących stopy rezerw obowiązkowych Trzecim narzędziem prowadzenia polityki pieniężnej jest podnoszenie lub obniżanie przez bank centralny stopy rezerw obowiązkowych (ang. reserve requirement ), którą można zdefiniować jako minimalny odsetek wartości depozytów, jakie banki komercyjne są prawnie zobowiązane utrzymywać w formie gotówki w skarbcu lub na depozycie w banku centralnym. Jeśli banki są zobligowane do utrzymywania większej kwoty rezerw, mają mniej środków, które mogą pożyczyć gospodarstwom domowym i przedsiębiorstwom. Jeśli stopa rezerw obowiązkowych maleje, będą one dysponować większymi środkami umożliwiającymi udzielanie pożyczek. W Polsce od 31 grudnia 2010 r. podstawowa stopa rezerwy obowiązkowej (tj. od środków złotowych i walutowych zgromadzonych na rachunkach bankowych i od środków z tytułu emisji papierów wartościowych) wynosiła 3,5%. W obliczu kryzysu gospodarczego wywołanego pandemią Rada Polityki Pieniężnej obniżyła podstawową stopę rezerwy obowiązkowej do 0,5%, począwszy od 30 kwietnia 2020 r., dzięki czemu podmioty rezerwy pozyskały dodatkowy bufor płynności. W październiku 2021 r. Rada zdecydowała o podwyższeniu podstawowej stopy rezerwy obowiązkowej do poziomu 2,0% (począwszy od 30 listopada 2021 r.), co było jednym z elementów normalizacji polityki pieniężnej. Stopa rezerwy obowiązkowej została podniesiona 31 marca 2022 r. do poziomu 3,5% i pozostała niezmieniona do czasu publikacji tego podręcznika (wrzesień 2023). Banki centralne rzadko wykorzystują duże zmiany stopy rezerw obowiązkowych jako narzędzie realizacji polityki pieniężnej, choć okres pandemii był tutaj z oczywistych względów wyjątkowy. Nagłe żądanie, aby wszystkie banki zwiększyły swoje rezerwy, byłoby dla nich niezwykle uciążliwe i trudne do spełnienia, a zbytnie rozluźnienie wymogów stworzyłoby niebezpieczeństwo, że banki nie będą w stanie wypłacać przyjętych wcześniej depozytów. Obecnie banki centralne dysponują znacznie szerszym katalogiem narzędzi umożliwiających prowadzenie polityki pieniężnej, w tym przede wszystkim luzowaniem ilościowym (co do zasady narzędzie to mieści się w ramach operacji otwartego rynku). Pokazuje to, w jaki sposób polityka pieniężna ewoluowała i jak nadal się rozwija. Chociaż tematy te wykraczają poza podstawowy kurs makroekonomii, jeśli chcesz dowiedzieć się więcej o najnowszych narzędziach umożliwiających Systemowi Rezerwy Federalnej kontrolę podaży pieniądza, odwiedź strony Federal Reserve Bank of New York's page on large-scale asset purchases oraz the Federal Reserve Bank of St. Louis' FRED Blog post on fixing the textbook lag . Key Concepts and Summary Bank centralny dysponuje trzema tradycyjnymi narzędziami prowadzenia polityki pieniężnej: operacjami otwartego rynku, które obejmują kupowanie i sprzedawanie bankom papierów wartościowych; stopą rezerwy obowiązkowej, która określa, jaki minimalny poziom rezerw bank jest prawnie zobowiązany utrzymywać; i wreszcie stopą lombardową, czyli stopą procentową pobieraną przez bank centralny od pożyczek udzielanych bankom komercyjnym. Najczęściej stosowanym narzędziem są operacje otwartego rynku. Self-Check Questions Jaki wpływ na wartość udzielanych pożyczek i podaż pieniądza będzie miała sprzedaż przez bank centralny papierów wartościowych w kwocie 500 zł bankowi komercyjnemu, który udzielił pożyczek o wartości 10 tys. zł i dokładnie spełnia wymóg rezerwy obowiązkowej w wysokości 10%? Bank musi mieć rezerwy w wysokości 1000 zł, gdy zatem kupi papiery wartościowe za 500 zł, będzie musiał zmniejszyć wartość swoich pożyczek o tę samą kwotę, aby pokryć różnicę. Podaż pieniądza spadnie więc o 500 zł. Jaki byłby wpływ zwiększenia stopy rezerw obowiązkowych banków na podaż pieniądza? Zwiększenie stopy rezerw obowiązkowych zmniejszyłoby podaż pieniądza, ponieważ większa część znajdującej się w obiegu gotówki osiadłaby w sejfach banków, zamiast zasilić pulę pożyczek udzielanych przez sektor bankowy. Review Questions Wyjaśnij, w jaki sposób można wykorzystać operacje otwartego rynku do zwiększenia podaży pieniądza. Wyjaśnij, w jaki sposób można wykorzystać stopę rezerwy obowiązkowej do zwiększenia podaży pieniądza. Wyjaśnij, w jaki sposób można wykorzystać stopę lombardową do zwiększenia podaży pieniądza. Critical Thinking Question Wyjaśnij, co by się stało, gdyby banki zostały poinformowane, że muszą zwiększyć swoją stopę rezerwy obowiązkowej o jeden punkt procentowy, z 9 do 10% wartości depozytów. Jakie byłyby ich opcje pozyskania niezbędnej do wypełnienia tych limitów gotówki? Problems Załóżmy, że bank centralny kupuje papiery wartościowe o wartości 10 mln zł od Banku Komicznego w ramach operacji otwartego rynku. Przeprowadź analizę zmian w bilansie Banku Komicznego wywołanych przez tę transakcję, zakładając, że podmiot ten maksymalizuje wartość pożyczek, których może udzielić. Pierwotny bilans Banku Komicznego zawiera następujące pozycje (wszystkie kwoty w mln zł): aktywa – rezerwy 30, papiery wartościowe 50, pożyczki 250; pasywa – depozyty 300, wartość netto 30. Załóżmy tym razem, że bank centralny sprzedaje papiery wartościowe o wartości 10 mln zł Bankowi Komicznemu w ramach operacji otwartego rynku. Przeprowadź analizę zmian w bilansie Banku Komicznego, które nastąpiły w wyniku tej transakcji, zakładając, że podmiot ten przywróci wymagany poziom rezerwy obowiązkowej (10% wartości depozytów) poprzez zmniejszenie kwoty udzielanych pożyczek. Pierwotny bilans Banku Komicznego wygląda następująco (wszystkie kwoty w mln zł): aktywa – rezerwy 30, papiery wartościowe 50, pożyczki 250; pasywa – depozyty 300, wartość netto 30. References Board of Governors of the Federal Reserve System. “Federal Open Market Committee.” Accessed September 3, 2013. http://www.federalreserve.gov/monetarypolicy/fomc.htm. Board of Governors of the Federal Reserve System. “Reserve Requirements.” Accessed November 5, 2013. http://www.federalreserve.gov/monetarypolicy/reservereq.htm. Cox, Jeff. 2014. \"Fed Completes the Taper.\" Accessed March 31, 2015. http://www.cnbc.com/id/102132961. Jahan, Sarwat. n.d. \"Inflation Targeting: Holding the Line.\" International Monetary Fund. Accessed March 31, 2015. http://www.imf.org/external/pubs/ft/fandd/basics/target.htm. stopa lombardowa (ang. discount rate ) stopa procentowa pobierana przez bank centralny od pożyczek udzielanych bankom komercyjnym operacje otwartego rynku (ang. open market operations ) operacje, w ramach których bank centralny sprzedaje lub kupuje papiery wartościowe, wpływając dzięki temu na podaż pieniądza i poziom stóp procentowych w gospodarce stopa rezerwy obowiązkowej (ang. reserve requirement ) minimalny odsetek depozytów, który bank jest prawnie zobowiązany przechowywać w formie gotówki w swoim skarbcu lub w banku centralnym", "section": "Jak bank centralny wprowadza politykę pieniężną", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wpływ polityki pieniężnej na sytuację w gospodarce Po przeczytaniu tego podrozdziału będziesz w stanie: Porównać ekspansywną i restrykcyjną politykę pieniężną Wyjaśnić, w jaki sposób polityka pieniężna wpływa na poziom stóp procentowych w gospodarce i zagregowany popyt Ocenić skuteczność polityki pieniężnej jako narzędzia stymulowania gospodarki na przykładzie decyzji podejmowanych przez amerykański System Rezerwy Federalnej Wyjaśnić znaczenie luzowania ilościowego (QE) jako narzędzia kontroli podaży pieniądza Polityka pieniężna, która dzięki stymulowaniu wzrostu podaży pieniądza przekłada się na obniżanie stóp procentowych i wzrost wartości zaciągniętych pożyczek, nazywana jest ekspansywną (ang. expansionary monetary policy albo loose monetary policy ). I odwrotnie – polityka pieniężna, której efektem jest wzrost stóp procentowych i zmniejszenie wartości pożyczek (dzięki zmniejszeniu podaży pieniądza), określana jest jako restrykcyjna (ang. contractionary monetary policy lub tight monetary policy . Należy tu podkreślić, iż polityka pieniężna prowadzona przez bank centralny wpływa także na bieżącą wycenę instrumentów dłużnych (głównie obligacji), których cena zależy od wysokości stóp procentowych – rosnące stopy zmniejszają bieżącą cenę obligacji. W tym podrozdziale omówimy sposób, w jaki ekspansywna i restrykcyjna polityka pieniężna wpływają na wysokość stóp procentowych, zagregowany popyt, a tym samym na wysokość bezrobocia oraz stopę inflacji. Spróbujemy też ocenić skuteczność polityki pieniężnej prowadzonej przez amerykański FED w ciągu ostatnich 50 lat. Wpływ polityki pieniężnej na stopy procentowe Rozważmy model rynku opisujący podaż i popyt na pożyczki udzielane przez banki komercyjne, przedstawiony na . Pierwotna równowaga (E 0 ) występuje przy stopie procentowej równej 8% i wartości udzielonych (zaciągniętych) pożyczek równej 10 mld zł. Ekspansywna polityka pieniężna przesunie podaż funduszy pożyczkowych w prawo (z pierwotnego położenia S 0 do S 1 ). Doprowadzi to do ukształtowania się nowej równowagi (w punkcie E 1 ), przy niższej stopie procentowej (6%) i wartości pożyczek równej 14 mld zł. I odwrotnie, restrykcyjna polityka pieniężna przesunie podaż funduszy pożyczkowych w lewo (z pierwotnego położenia S 0 do S 2 ). Tym razem równowaga wystąpi w punkcie E 2 , przy wyższym poziomie stóp procentowych (10%) i niższej wartości udzielonych pożyczek (8 mld zł). Polityka pieniężna i stopy procentowe Pierwotna równowaga opisana jest punktem E 0 . Ekspansywna polityka pieniężna przesunie podaż funduszy pożyczkowych w prawo, z położenia S 0 do S 1 , co będzie oznaczać przesunięcie równowagi do punktu E 1 i tym samym spadek stóp procentowych z 8% do 6%. Restrykcyjna polityka pieniężna przesunie podaż funduszy pożyczkowych do położenia S 2 , tj. w lewo w stosunku do pierwotnej krzywej podaży (S 0 ), co doprowadzi do wzrostu stóp procentowych do poziomu 10%. W jaki sposób bank centralny może podnieść poziom stóp procentowych w gospodarce? Analizując komentarze do działań banku centralnego w zakresie polityki pieniężnej, bardzo często można natknąć się na stwierdzenia, że bank centralny „podniósł stopy procentowe” lub „obniżył stopy procentowe”. Trzeba jednak pamiętać, że jest to skrót myślowy. Bank centralny nie ma bowiem władzy, która pozwala mu bezpośrednio ustalać poziom stóp procentowych w gospodarce, czyli np. wysokość oprocentowania, którą konkretny bank komercyjny obciąży kredyt udzielony przedsiębiorstwu produkującemu śruby i mutry, lub też oprocentowanie depozytu wpłaconego przez rodzinę Kowalskich do tego samego banku. Za pomocą narzędzi opisanych w poprzednim podrozdziale (np. operacji otwartego rynku) bank centralny wpływa jednak na wartość pożyczek udzielanych w gospodarce i tym samym – co pokazuje – na wysokość stóp procentowych. Bank centralny będzie kontynuował swoje działania dopóty, dopóki nie doprowadzi do ukształtowania się stóp procentowych w gospodarce na pożądanym poziomie. Oczywiście rynki finansowe wykorzystują bardzo wiele różnych stóp procentowych w kontekście różnego rodzaju pożyczek, kredytów, pożyczkobiorców reprezentujących różny poziom ryzyka czy okres, na jaki środki pieniężne są udostępnione przedsiębiorstwom lub gospodarstwom domowym. Niemniej jeśli działania banku centralnego zwiększają (zmniejszają) podaż pieniądza, można oczekiwać, że oprocentowanie w gospodarce spadnie (wzrośnie) niezależnie od tego, jakiego instrumentu finansowego będzie dotyczyć. Należy jednak pamiętać, że nie ma łatwego i bezpośredniego przełożenia działań banku centralnego na wysokość oprocentowania zaciągniętego przez ciebie kredytu. W Polsce podwyżki stóp procentowych wykorzystywanych przez NBP w rozliczeniach z bankami komercyjnymi doprowadziły w 2022 r. do znacznie szybszego wzrostu stopy WIBOR (odzwierciedlającej oczekiwania rynku co do zmiany stóp NBP w przyszłości), która była wówczas dość powszechnie wykorzystywana jako baza do wyznaczania oprocentowania np. kredytów hipotecznych. Dynamika wzrostu WIBOR-u przewyższała tempo podwyżek stóp procentowych, na jakie zdecydował się Narodowy Bank Polski. Warto podkreślić, iż wartość WIBOR-u kształtuje się pomiędzy wysokością stóp lombardowej i referencyjnej NBP, które zostały przywołane w poprzednim podrozdziale. Wpływ polityki pieniężnej na zagregowany (globalny) popyt Polityka pieniężna wpływa na rynkowe stopy procentowe i dostępną ilość funduszy pożyczkowych oferowanych przez sektor bankowy, co z kolei przekłada się na wolumen zagregowanego popytu. Restrykcyjna polityka pieniężna, która prowadzi do wyższych stóp procentowych i zmniejszonej ilości funduszy pożyczkowych, będzie miała negatywny wpływ na dwa składniki popytu globalnego – inwestycje i konsumpcję. Inwestycje dokonywane przez przedsiębiorstwa zmniejszą się, ponieważ pożyczki dla firm staną się droższe. Jeśli określona inwestycja (np. zakup nowej linii produkcyjnej lub ciężarówki) przyniesie w ciągu roku 8% zwrotu, to po wzroście stopy procentowej obciążającej ewentualną pożyczkę do poziomu 10% wydatkowanie środków na ten projekt stanie się nieopłacalne (środki pozyskane dzięki dokonanej inwestycji nie pozwolą na spłatę zaciągniętej pożyczki). Z kolei przedsiębiorstwa, które dysponują środkami własnymi, z pewnością zauważą, że przy wyższych stopach procentowych relatywnie bardziej atrakcyjny jest zakup papierów wartościowych lub po prostu założenie depozytu niż pozyskanie środków trwałych służących zwiększeniu potencjału produkcyjnego. Wyższe stopy procentowe zniechęcą również gospodarstwa domowe do zakupu dóbr trwałego użytku, ponieważ wzrost oprocentowania podniesie koszt nabycia domu lub samochodu. W krańcowych przypadkach wzrost stopy procentowej może oznaczać również utratę zdolności kredytowej dla części gospodarstw domowych (wysokość miesięcznej raty kapitałowej powiększonej o odsetki będzie wyższa niż ich miesięczne dochody, które mogą przeznaczyć na jej spłatę). I odwrotnie, ekspansywna polityka pieniężna, prowadząca do niższych stóp procentowych i większej ilości funduszy pożyczkowych, będzie zwiększała inwestycje przedsiębiorstw i konsumpcję gospodarstw domowych. Jeśli gospodarka zmaga się z recesją i wysokim bezrobociem, a produkcja jest poniżej poziomu potencjalnego PKB , ekspansywna polityka pieniężna może pomóc gospodarce powrócić do poziomu PKB oznaczającego pełne wykorzystanie zdolności wytwórczych. Panel (a) pokazuje taką właśnie sytuację. Analizowany przykład dotyczy krótkiego okresu, w związku z tym będziemy wykorzystywać krótkookresową krzywą podaży globalnej (SAS). Równowaga w gospodarce borykającej się z recesją występuje przy poziomie produkcji równej 600, tj. w punkcie E 0 . Ekspansywna polityka pieniężna pozwoli obniżyć stopy procentowe i tym samym pobudzi wydatki inwestycyjne i konsumpcyjne, powodując przesunięcie pierwotnej krzywej zagregowanego popytu (AD 0 ) w prawo, do położenia AD 1 . Nowa równowaga ukształtuje się na poziomie równym potencjalnemu PKB (czyli 700) w punkcie E 1 . Ekspansywna i restrykcyjna polityka pieniężna Panel (a) Gospodarka boryka się z recesją, a produkcja i poziom cen są wyznaczone przez punkt równowagi E 0 . Ekspansywna polityka pieniężna obniży stopy procentowe i przesunie zagregowany popyt w prawo, z położenia AD 0 do AD 1 , prowadząc do nowej równowagi (E 1 ), dla której wolumen produkcji jest równy poziomowi potencjalnego PKB przy niemal niezmienionym poziomie cen. Panel (b) W punkcie startu analizy wolumen produkcji jest wyższy od potencjalnego PKB, co prowadzi do powstania presji inflacyjnej (równowaga jest w punkcie E 0 ). Restrykcyjna polityka pieniężna przesunie zagregowany popyt w lewo, z położenia AD 0 do AD 1 , obniżając wolumen produkcji do poziomu potencjalnego PKB i zmniejszając poziom cen (równowaga w punkcie E 1 ). I odwrotnie, jeśli gospodarka produkuje wolumen przekraczający poziom jej potencjalnego PKB, restrykcyjna polityka pieniężna może zmniejszyć presję inflacyjną. Na panelu (b) pierwotna równowaga (E 0 ) występuje przy produkcji równej 750, czyli powyżej poziomu potencjalnego PKB. Restrykcyjna polityka pieniężna podniesie stopy procentowe, zniechęci przedsiębiorstwa i gospodarstwa domowe do zaciągania pożyczek na wydatki inwestycyjne i konsumpcyjne oraz spowoduje przesunięcie pierwotnej krzywej popytu (AD 0 ) w lewo, do położenia AD 1 , tak że nowa równowaga (E 1 ) ukształtuje się na poziomie potencjalnego PKB równym 700. Przykłady te sugerują, że polityka pieniężna powinna mieć charakter antycykliczny (ang. countercyclical ); to znaczy działać w taki sposób, aby zmniejszać amplitudę wahań wielkości produkcji w trakcie cyklu koniunkturalnego. Bank centralny powinien rozluźniać politykę pieniężną, gdy recesja powoduje wzrost bezrobocia, i zaostrzyć ją, gdy w gospodarce pojawia się presja inflacyjna. Oczywiście polityka antycykliczna niesie ze sobą niebezpieczeństwo nadmiernej reakcji. Jeśli ekspansywna polityka pieniężna ukierunkowana na zakończenie recesji będzie wdrażana w zbyt gwałtowny sposób, może doprowadzić do tak dużego wzrostu zagregowanego popytu (przesunąć go tak mocno w prawo), że wywoła to inflację. Z kolei jeśli restrykcyjna polityka pieniężna mająca na celu obniżenie inflacji będzie wdrażana w sposób zbyt gwałtowny (czasami w tym kontekście wykorzystuje się określenie „schładzanie gospodarki”), może doprowadzić do nadmiernego skurczenia się zagregowanego popytu (nadmiernie przesunąć go w lewo), co wywoła recesję. (Niektórzy ekonomiści wskazują, że z taką sytuacją mieliśmy do czynienia w Polsce na przełomie XX i XXI w.). podsumowuje łańcuch efektów, które łączą ekspansywną i restrykcyjną politykę pieniężną ze zmianami produkcji i poziomu cen. Mechanizm transmisji impulsów monetarnych na poziom produkcji i cen w gospodarce Panel (a) W ramach ekspansywnej polityki pieniężnej bank centralny zwiększa podaż pieniądza, co obniża stopę procentową, i stymulując wzrost inwestycji oraz konsumpcji, przesuwa zagregowany popyt w prawo. Rezultatem jest wyższy poziom cen i – przynajmniej w krótkim okresie – wyższy realny PKB. Panel (b) W ramach restrykcyjnej polityki pieniężnej bank centralny zmniejsza podaż pieniądza, co zwiększa stopę procentową, a obniżając skłonność do inwestowania i konsumpcji, przesuwa zagregowany popyt w lewo. Rezultatem jest niższy poziom cen i – przynajmniej w krótkim okresie – niższy realny PKB. Działania Rezerwy Federalnej w czasie ostatnich 50 lat Przyjrzyjmy się polityce pieniężnej prowadzonej przez System Rezerwy Federalnej w okresie ostatnich 50 lat, tj. od początku lat 70. XX w. aż do roku 2020, aby zrozumieć, w jaki sposób amerykański bank centralny za pomocą operacji otwartego rynku wpływał na wysokość stóp procentowych. Oczywiście, próba analizy historii gospodarczej USA w ciągu ostatnich 50 lat tylko przez pryzmat posunięć FED pomija inne czynniki, które w tym okresie wpływały na poziom bezrobocia, długość i częstotliwość występowania recesji, tempo wzrostu gospodarczego i poziom inflacji. Analizowany okres został podzielony na dziesięć epizodów, które potwierdzają, że Rezerwa Federalna jest podmiotem mającym największy wpływ na kondycję amerykańskiej gospodarki, a jej przewodniczący (lub przewodnicząca) dysponuje niezwykle szerokim zakresem władzy. pokazuje, w jaki sposób System Rezerwy Federalnej prowadził politykę pieniężną, decydując o wysokości stopy procentowej funduszy federalnych w latach 1970–2020. Wykres przedstawia kształtowanie się stopy procentowej funduszy federalnych (pamiętaj, że to jest właśnie parametr ustalany w ramach operacji otwartego rynku w USA), stopy bezrobocia i stopy inflacji . Polityka pieniężna, bezrobocie i inflacja Analizując kształtowanie się stopy procentowej funduszy federalnych, stopy bezrobocia i stopy inflacji, można dostrzec, że FED na wysoką inflację reagował zazwyczaj, zaostrzając politykę pieniężną (podnosząc stopę procentową funduszy federalnych), zaś wraz z rosnącym bezrobociem obniżał stopę procentową funduszy federalnych, czyli wdrażał ekspansywny wariant polityki pieniężnej. Zdarzenie 1 Przyjrzyjmy się najpierw końcówce lat 70. XX w. Stopa inflacji była wówczas relatywnie wysoka (powyżej 10% w 1979 i 1980 r.), w związku z czym FED zastosował restrykcyjny wariant polityki pieniężnej, w ramach którego stopa funduszy federalnych wzrosła z 5,5% w roku 1977 r. do 16,4% w roku 1981. Do roku 1983 stopa inflacji spadła do 3,2%, ale zagregowany popyt skurczył się na tyle gwałtownie, że w 1980 r. i w okresie 1981–1982 doszło do kolejnych recesji, a stopa bezrobocia wzrosła z 5,8% w roku 1979 do 9,7% w 1982. Zdarzenie 2 Na początku lat 80. wśród ekonomistów panował konsensus, że inflacja spada, w związku z czym FED rozpoczął cykl obniżek stopy procentowej (rozluźnił politykę monetarną), aby ograniczyć bardzo wysokie bezrobocie. Stopa procentowa funduszy federalnych zmniejszyła się z 16,4% w 1981 r. do 6,8% w 1986 r. Mniej więcej do roku 1986 inflacja spadła do ok. 2%, a stopa bezrobocia obniżyła się do 7% i nadal malała. Zdarzenie 3 Pod koniec lat 80. inflacja ponownie zaczęła jednak rosnąć, z 2% w 1986 do 5% w 1989 r. W odpowiedzi System Rezerwy Federalnej zastosował restrykcyjną politykę pieniężną i podniósł stopę funduszy federalnych z 6,6% w roku 1987 do 9,2% w 1989. Restrykcyjny wariant polityki pieniężnej zatrzymał inflację, która spadła z ponad 5% w roku 1990 do poniżej 3% w roku 1992, ale przyczynił się również do wywołania recesji w latach 1990–1991, w czasie której stopa bezrobocia wzrosła z 5,3% w roku 1989 do 7,5% w 1992. Zdarzenie 4 Na początku lat 90., gdy powszechne stało się przekonanie, że inflacja znów jest pod kontrolą, FED – rozluźniając politykę pieniężną – obniżył stopy procentowe (z 8,1% w roku 1990 do 3,5% w 1992). Wraz z rozwojem gospodarki stopa bezrobocia zaczęła spadać z 7,5% w roku 1992 do mniej niż 5% w 1997. Zdarzenia 5 i 6 W połowie lat 90. Rezerwa Federalna w odpowiedzi na rosnącą presję inflacyjną w amerykańskiej gospodarce podniosła stopę funduszy federalnych z 3% do 5,8% w latach 1993–1995. Dzięki temu relatywnie umiarkowanemu zacieśnieniu polityki pieniężnej udało się uniknąć wzrostu inflacji i utrzymać satysfakcjonujące tempo wzrostu gospodarczego. Następnie w latach 1999–2000 FED, obawiając się, że inflacja ponownie zacznie rosnąć, podniósł stopę procentową funduszy federalnych z 4,6% w grudniu 1998 r. do 6,5% w czerwcu 2000 r. Udało się w ten sposób zmniejszyć stopę inflacji, ale w roku 2001 amerykańska gospodarka wpadła w recesję. W latach 2000–2002 stopa bezrobocia wzrosła z 4,0% do 5,8%. Zdarzenia 7 i 8 Wzrost stopy bezrobocia stał się dla Systemu Rezerwy Federalnej impulsem do gwałtownego rozluźnienia polityki pieniężnej. Stopa funduszy federalnych spadła z 6,2% w roku 2000 do zaledwie 1,7% w 2002, a następnie ponownie do zaledwie 1% w roku 2003. Głównym motywem tego dość panicznego posunięcia była obawa przed deflacją, która w poprzedniej dekadzie dotknęła japońską gospodarkę. Wraz z zakończeniem recesji stopa bezrobocia również zaczęła spadać, zaś FED rozpoczął powolne zacieśnianie polityki pieniężnej, podnosząc stopę funduszy federalnych aż do 2007 r., gdy osiągnęła ona poziom 5%. Zdarzenie 9 W roku 2008 rozpoczął się globalny kryzys finansowy, który wymusił na Rezerwie Federalnej gwałtowne rozluźnienie polityki pieniężnej. Wysokość stopy funduszy federalnych spadła z poziomu 2% w roku 2008 do zera w 2009. Pomimo tego posunięcia amerykańska gospodarka wciąż pozostawała w głębokiej recesji (bezrobocie wzrosło z 4,6% w roku 2007 do 9,6% w 2010). Operacje otwartego rynku nie mogły doprowadzić stopy funduszy federalnych do poziomu niższego od zera. FED został zmuszony do znalezienia alternatywnych instrumentów polityki pieniężnej. Zdarzenie 10 Wraz z rozpoczęciem pandemii w marcu 2020 r. FED ponownie obniżył stopy procentowe, zmniejszając w ciągu kilku tygodni docelową stopę funduszy federalnych z 2% do 0–0,25%. Gwałtowne rozluźnienie polityki pieniężnej – podobnie jak 12 lat wcześniej – nie przyniosło pożądanych rezultatów (bezrobocie gwałtownie wzrosło, z poziomu 3,7% w roku 2019 do 8,1% w 2020). Wsparcie gospodarki po raz kolejny wymagało nieszablonowych rozwiązań. Luzowanie ilościowe Najskuteczniejszy i w związku z tym najczęściej wykorzystywany tradycyjny instrument polityki pieniężnej – operacje otwartego rynku – działa poprzez zwiększanie lub zmniejszanie podaży pieniądza w sposób, który wpływa na stopy procentowe w gospodarce. Jednak pod koniec roku 2008, gdy Stany Zjednoczone zmagały się z recesją, System Rezerwy Federalnej obniżył już w ten sposób stopy procentowe do poziomu bliskiego zeru. Ponieważ recesja wciąż trwała, FED zdecydował się na wykorzystanie innowacyjnego narzędzia wpływu na stopy procentowe w gospodarce, znanego jako luzowanie ilościowe ( QE ) (ang. Quantitative Easing ). Polega ono na kupowaniu przez bank centralny długoterminowych publicznych i prywatnych papierów wartościowych (zarówno tych zabezpieczonych hipoteką, jak i przede wszystkim obligacji skarbowych) w celu zwiększenia podaży funduszy pożyczkowych i pobudzenia zagregowanego popytu . Luzowanie ilościowe różniło się od tradycyjnej polityki pieniężnej na kilka kluczowych sposobów. Po pierwsze, Rezerwa Federalna kupowała obligacje (długoterminowe papiery wartościowe) zamiast bonów (czyli papierów o charakterze krótkoterminowym). Stało się tak dlatego, że w 2008 r. zniknęła możliwość stymulowania gospodarki poprzez obniżanie krótkoterminowych stóp procentowych. Te były już bowiem ekstremalnie niskie. (Więcej informacji na ten temat można znaleźć na końcu tego rozdziału w . Dlatego prezes FED Ben Bernanke dążył do obniżenia długoterminowych stóp procentowych za pomocą luzowania ilościowego. Prowadzi to do drugiej różnicy pomiędzy QE a tradycyjną polityką pieniężną. Zamiast kupować jedynie skarbowe papiery wartościowe, FED zaczął skupować również prywatne papiery wartościowe zabezpieczone hipoteką, czego nigdy wcześniej nie robił. W czasie kryzysu finansowego, który stał się bezpośrednią przyczyną recesji, papiery wartościowe zabezpieczone hipoteką nazywano aktywami toksycznymi, ponieważ w sytuacji załamania rynku nieruchomości nikt nie potrafił oszacować, ile w rzeczywistości są one warte, co postawiło instytucje finansowe utrzymujące te instrumenty w bardzo trudnej sytuacji. Oferując zakup papierów wartościowych zabezpieczonych hipoteką, FED nie tylko obniżał długoterminowe stopy procentowe, ale też uwalniał bilanse banków komercyjnych z tych toksycznych aktywów, co stabilizowało system bankowy. Luzowanie ilościowe (QE) zostało przeprowadzone w trzech etapach: Podczas fazy pierwszej (określanej jako QE 1 ), która rozpoczęła się w listopadzie 2008 r., FED kupił za 600 mld dol. papiery wartościowe zabezpieczone hipoteką od agencji rządowych Fannie Mae i Freddie Mac. W listopadzie 2010 r. FED rozpoczął QE 2 , w ramach którego kupił amerykańskie obligacje skarbowe o wartości 600 mld dol. Etap trzeci (QE 3 ) nastąpił we wrześniu 2012 r., gdy System Rezerwy Federalnej zainicjował operację zakupu papierów wartościowych zabezpieczonych hipoteką o wartości 40 mld dol. miesięcznie. Kwota ta została zwiększona w grudniu 2012 r. do 85 mld dol. miesięcznie. Jednocześnie FED stwierdził, że gdy tylko warunki gospodarcze na to pozwolą, zacznie zmniejszać swoje zaangażowanie (lub zmniejszać wartość miesięcznych zakupów). W październiku 2014 r. System Rezerwy Federalnej ogłosił, że po raz ostatni kupuje obligacje o wartości 15 mld dol. i tym posunięciem kończy politykę luzowania ilościowego. O polityce luzowania ilościowego, którą przyjął System Rezerwy Federalnej (podobnie jak inne banki centralne na całym świecie), zwykle myślimy jako o tymczasowych środkach nadzwyczajnych. Jeśli te kroki mają być tymczasowe, FED będzie musiał zaprzestać udzielania tych dodatkowych pożyczek i sprzedać zgromadzone papiery wartościowe (zapewne ze znaczną stratą). Istnieją poważne obawy, że proces luzowania ilościowego może okazać się znacznie trudniejszy do odwrócenia niż jego uchwalenie i przeprowadzenie. Analizy sugerują, że o ile QE 1 przyniosło pożądany skutek, to już QE 2 i QE 3 były znacznie mniej efektywne. Szybko przenieśmy się do marca 2020 r., kiedy to System Rezerwy Federalnej pod przewodnictwem Jerome’a Powella obiecał kolejną rundę zakupów aktywów mającą zapewnić płynność finansową zagrożonemu kryzysem pandemicznym systemowi finansowemu, którą niektórzy nazwali „QE 4 ”. Ten etap był znacznie krótszy, a jednocześnie bardziej intensywny – FED zwiększył wartość swoich aktywów o 2 bln dol. w ciągu zaledwie kilku miesięcy. Dość szybko jednak System Rezerwy Federalnej rozpoczął proces ograniczania zakupów. Niemniej na koniec 2021 r. łączna wartość aktywów FED przekroczyła wartość 8 bln dol., wobec 4 bln w lutym 2020 r. Key Concepts and Summary Ekspansywna polityka pieniężna zwiększa ilość pieniądza oraz wartość udzielonych pożyczek i w ten sposób pozwala na obniżenie stóp procentowych w gospodarce, co zwiększa wolumen zagregowanego popytu i przeciwdziała recesji. Restrykcyjna polityka pieniężna zmniejsza ilość pieniądza oraz wartość udzielonych pożyczek i w ten sposób przyczynia się do podniesienia stóp procentowych w gospodarce, co ogranicza wolumen zagregowanego popytu i przeciwdziała inflacji. Podczas recesji w latach 2008–2009 i ponownie w czasie kryzysu pandemicznego w roku 2020 banki centralne na całym świecie wykorzystywały luzowanie ilościowe jako niestandardowe narzędzie służące zwiększaniu podaży funduszy pożyczkowych i tym samym stymulowaniu zagregowanego popytu. Self-Check Questions Dlaczego restrykcyjna polityka pieniężna powoduje wzrost stóp procentowych? Restrykcyjna polityka pieniężna zmniejsza ilość funduszy pożyczkowych w gospodarce. Podobnie jak w przypadku wszystkich innych towarów nadwyżka popytu nad podażą prowadzi do wyższej ceny, więc stopa procentowa lub inaczej mówiąc, cena pożyczanych pieniędzy rośnie. Dlaczego ekspansywna polityka pieniężna powoduje spadek stóp procentowych? Wzrost ilości dostępnych funduszy pożyczkowych sprawia, że podaż zaczyna przekraczać zgłaszany popyt, co prowadzi do obniżki stóp procentowych (ceny pieniądza na rynku). Review Questions W jaki sposób ekspansywna i restrykcyjna polityka pieniężna wpływają na ilość pieniądza w gospodarce? W jaki sposób restrykcyjna i ekspansywna polityka pieniężna wpływają na stopy procentowe? W jaki sposób ekspansywna i restrykcyjna polityka pieniężna wpływają na zagregowany popyt? Jakiej polityki pieniężnej spodziewałbyś się w odpowiedzi na wysoką inflację: ekspansywnej czy restrykcyjnej? Uzasadnij swoją odpowiedź. Objaśnij, w jaki sposób można wykorzystać luzowanie ilościowe do stymulowania zagregowanego popytu Critical Thinking Question Dobrze znany model ekonomiczny zwany krzywą Phillipsa (omówiony w ) opisuje krótkookresowy wybór typu „coś za coś” pomiędzy inflacją a bezrobociem. Wykorzystując pojęcia ekspansywnej i restrykcyjnej polityki pieniężnej, wyjaśnij, dlaczego w krótkim okresie, gdy jedna z tych zmiennych (np. bezrobocie) spada, to druga (np. inflacja) zazwyczaj rośnie. restrykcyjna polityka pieniężna (ang. contractionary monetary policy lub tight monetary policy ) polityka pieniężna, która ograniczając podaż pieniądza, prowadzi do wzrostu stóp procentowych w gospodarce antycykliczny (ang. countercyclical ) cecha polityki pieniężnej lub fiskalnej polegająca na tym, że narzędzia obu polityk wpływają na gospodarkę w sposób przeciwny do cyklu koniunkturalnego, pobudzają ją w czasie recesji i zmniejszają skalę aktywności gospodarczej w okresie silnej ekspansji ekspansywna polityka pieniężna (ang. expensionary monetary policy lub loose monetary policy ) polityka pieniężna, która zwiększając podaż pieniądza, prowadzi do spadku stóp procentowych w gospodarce luzowanie ilościowe (QE) (ang. Q uantitative E asing ) polityka polegająca na zakupie przez banki centralne długoterminowych publicznych i prywatnych papierów wartościowych (zarówno tych zabezpieczonych hipoteką, jak i przede wszystkim obligacji skarbowych) w celu zwiększenia dostępności funduszy pożyczkowych, a przez to pobudzenia zagregowanego popytu", "section": "Wpływ polityki pieniężnej na sytuację w gospodarce", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Pułapki polityki pieniężnej Po przeczytaniu tego podrozdziału będziesz w stanie: Ocenić, czy decyzje dotyczące polityki pieniężnej powinny być podejmowane w bardziej demokratyczny sposób Obliczać szybkość obiegu pieniądza w gospodarce Wyjaśnić wpływ banku centralnego na inflację, bezrobocie, bańki spekulacyjne i cykle lewarowania Oszacować efekty działania bodźców pieniężnych W prawdziwym świecie skuteczna polityka pieniężna napotyka szereg istotnych przeszkód. Transmisja impulsów monetarnych następuje z pewnym opóźnieniem (szacowanym raczej w kwartałach niż miesiącach) i odbywa się zgodnie z dość skomplikowanym scenariuszem. W pierwszym kroku bank centralny musi ocenić sytuację w gospodarce, osoby podejmujące decyzje (w Polsce będą to członkowie Rady Polityki Pieniężnej) muszą się spotkać i uzgodnić reakcję na zaobserwowane zdarzenia, czyli zacieśnienie lub rozluźnienie polityki pieniężnej. Decyzja o podniesieniu (lub obniżeniu) stóp procentowych banku centralnego (lombardowej lub referencyjnej), stopy rezerw obowiązkowych lub zainicjowaniu sekwencji operacji otwartego rynku musi zostać podjęta i doprowadzić do pożądanej odpowiedzi banków komercyjnych, czyli do wzrostu lub spadku funduszy pożyczkowych i tym samym rynkowych stóp procentowych. Gdy stopy procentowe już wzrosną lub spadną, przedsiębiorstwa i gospodarstwa domowe dostosowują swoje postępowanie do nowej sytuacji, zwiększając lub zmniejszając wolumen zaciąganych kredytów i pożyczek. Zmiana inwestycji i konsumpcji przekłada się na wartość zagregowanego popytu, a ten z kolei wpływa na wielkość produkcji. Ze względu na rozciągnięcie w czasie tego łańcucha zdarzeń polityka pieniężna ma niewielki wpływ na sytuację gospodarki w krótkim okresie. Jej skutki będą w pełni odczuwalne za cztery, sześć lub nawet osiem kwartałów. Dość duże i w gruncie rzeczy trudno przewidywalne opóźnienia czasowe w transmisji impulsów monetarnych nie oznaczają oczywiście, że bank centralny powinien zrezygnować z podejmowania jakichkolwiek decyzji. Wskazują natomiast, że banki centralne powinny uwzględniać owe opóźnienia w procesie podejmowania decyzji ze względu na ryzyko, że ich działania (lub zaniechania!) mogą spowodować tyle samo korzyści, co kosztów w postaci wzrostu stopnia niestabilności w gospodarce. Poziom rezerw gotówkowych Banki komercyjne są zobowiązane do utrzymywania minimalnej stopy rezerw, którą ustala bank centralny, ale żadne przepisy nie zabraniają im utrzymywania dodatkowych rezerw (ang. excess reserves ) przekraczających prawnie określony limit. Na przykład podczas recesji banki mogą wstrzymywać się z udzielaniem pożyczek, obawiając się, że gdy gospodarka się skurczy, duża część osób, które zaciągnęły pożyczki w przeszłości, nie będzie w stanie ich terminowo (lub w ogóle) spłacić. Przewidując taki niekorzystny scenariusz, zwiększają ilość gotówki w skarbcach na wypadek, gdyby przestała ona regularnie spływać. Gdy wiele banków decyduje się na utrzymywanie nadmiernych rezerw, ekspansywna polityka pieniężna może nie zadziałać, ponieważ banki – zaniepokojone pogarszającym się stanem gospodarki – przestaną pozytywnie reagować na podejmowane przez bank centralny próby zwiększenia podaży pieniądza. Jeśli banki wolą utrzymywać aktywa w formie gotówki przekraczającej minimalny zdefiniowany prawem poziom, bank centralny nie jest w stanie zmusić ich do udzielania pożyczek. Podobnie zarówno przedsiębiorstwa, jak i gospodarstwa domowe mogą nie zareagować na obniżkę stóp procentowych, jeśli obawiają się o swoją kondycję finansową i możliwości spłaty zobowiązań w okresie recesji. W rezultacie podczas szczególnie głębokich recesji ekspansywna polityka pieniężna może mieć jedynie nieznaczny wpływ i na poziom cen, i na wysokość realnego PKB . Z taką sytuacją zmagała się Japonia w ostatniej dekadzie XX w. Na początku lat 90. japońska gospodarka weszła w okres bardzo powolnego wzrostu, na przemian osuwając się w recesję i notując bardzo niskie tempo wzrostu gospodarczego (w okolicach 1%). Do końca lutego 1999 r. bank centralny tego kraju obniżył stopy procentowe do 0% i utrzymywał ten poziom w zasadzie bez zmian do końca roku 2003. Co więcej, w ciągu dwóch lat, w okresie marzec 2001–marzec 2003, Bank Japonii zwiększył również podaż pieniądza o ok. 50% – w bezprecedensowej skali w tak krótkim okresie. Jednak nawet tak bardzo ekspansywna polityka pieniężna nie miała istotnego wpływu na wysokość globalnego popytu. Gospodarka Japonii zmagała się ze stagnacją aż do połowy pierwszej dekady XX w. Czy decyzje dotyczące polityki pieniężnej powinny być podejmowane w bardziej demokratyczny sposób? Kto w istocie powinien odpowiadać za prowadzenie polityki pieniężnej: organy takie jak parlament lub rząd, które są silnie uzależnione od woli wyborców, czy może jednak pochodzące z politycznego nadania, ale jednak znacznie bardziej niezależne ciała takie jak Rada Polityki Pieniężnej w Polsce lub Rada Gubernatorów Systemu Rezerwy Federalnej w USA? Oto niektóre z argumentów przywoływanych w toczącej się na ten temat dyskusji. Argumenty uzasadniające przejęcie kontroli nad polityką pieniężną przez polityków Politycy, chociaż nie cieszą się zazwyczaj nadmierną sympatią wyborców, podejmują decyzje dotyczące polityki fiskalnej, uchwalając wysokość podatków, kwotę wydatków państwa na zakupy dóbr i usług oraz sumę transferów. Dlaczego nie mieliby prowadzić również polityki pieniężnej? Oczywiście, czasami będą popełniać błędy, ale dla sposobu funkcjonowania demokratycznego państwa jest lepiej, aby błędy popełniali politycy, którzy są odpowiedzialni przed swoimi wyborcami (i troszczą się o ich satysfakcję, bo zależy im na reelekcji), a nie osoby, które w praktyce nie odpowiadają przed nikim (a jedynie „przed Bogiem i historią”, jak mówimy w Polsce, wykorzystując formułę zastosowaną w konstytucji kwietniowej z 1935 r.). Członkowie Rady Polityki Pieniężnej (osoby podejmujące decyzje w większości banków centralnych świata) to zazwyczaj bankierzy i ekonomiści. Ludzie o ponadprzeciętnie wysokich dochodach i – co szczególnie ważne – zazwyczaj pokaźnych majątkach. Nie są przedstawicielami pożyczkobiorców, takich jak małe przedsiębiorstwa lub rolnicy, nie należą również do związków zawodowych i nie muszą się martwić o utratę pracy. Banki centralne być może nie podnosiłyby stóp procentowych tak szybko i tak gwałtownie (chroniąc w ten sposób realną wartość zgromadzonych w gospodarce majątków, ale zmniejszając liczbę miejsc pracy), gdyby musiały zwracać większą uwagę na firmy i ludzi funkcjonujących w realnej gospodarce. Argumenty uzasadniające niezależność banku centralnego od polityków Bank centralny jest w pewnym stopniu odizolowany od bieżącej polityki – osoby podejmujące decyzje nie muszą się troszczyć o reelekcję lub poparcie dla partii politycznej, którą hipotetycznie by reprezentowały. Dlatego członkowie ciał decyzyjnych i prezes FED (NBP) mogą i powinni bezstronnie spojrzeć na konkretne sytuacje gospodarcze i w razie potrzeby podejmować trudne, natychmiastowe decyzje, nawet jeśli oznaczają one wysokie koszty w krótkim okresie będące ceną za znacznie większe długookresowe korzyści. Pomysł, aby dać parlamentowi (partii lub koalicji rządowej) możliwość tworzenia pieniędzy i udzielania pożyczek, prędzej czy później skończy się źle. Zwiększenie podaży pieniądza (zamiast podniesienia podatków lub ograniczenia innych wydatków) w celu sfinansowania ich projektów jest dla polityków po prostu zbyt kuszące. Długoterminowym skutkiem stworzenia takiej możliwości będzie szalejąca inflacja (mamy tu przykład Turcji w XXI w.). Ponadto bank centralny wyjęty spod bieżącej kontroli politycznej (jakkolwiek w dalszym ciągu działający zgodnie z przepisami prawa) może podejmować decyzje znacznie szybciej niż parlament. Porównaj tu choćby procedurę opisującą uchwalanie budżetu centralnego i decyzje o wysokości stóp procentowych podejmowane przez Radę Polityki Pieniężnej. Bieżąca, demokratyczna kontrola nad polityką pieniężną jest niepraktyczna i prawdopodobnie doprowadziłaby do nadmiernie ekspansywnej polityki pieniężnej i wyższej inflacji. Ekonomiści określają problem nadmiernych rezerw jako asymetryczny. Występuje on bowiem przy ekspansywnej polityce pieniężnej i nie pojawia się w przypadku jej restrykcyjnego wariantu. Bankierzy centralni zwykle porównują politykę pieniężną do sznurka. Gdy bank centralny „za niego ciągnie”, czyli stosuje restrykcyjną politykę pieniężną, może szybko i zdecydowanie podnieść stopy procentowe i zmniejszyć zagregowany popyt. Jednak gdy bank centralny próbuje „popychać sznurek”, czyli wprowadza ekspansywny wariant polityki pieniężnej, efekty mogą być bardzo ograniczone, ponieważ banki nie zdecydują się na pożyczanie klientom swoich nadwyżek rezerw. Nie traktuj tej analogii zbyt dosłownie – ekspansywna polityka pieniężna zwykle przynosi realne efekty, jednak zazwyczaj ze znacznie większym opóźnieniem w stosunku do restrykcyjnego wariantu. Zdarza się jednak i tak – jak w przypadku Japonii na przełomie XX i XXI w. – że ekspansywna polityka nie wystarcza, aby wydobyć gospodarkę z recesji. Nieprzewidywalne zmiany szybkości obiegu pieniądza Szybkość obiegu pieniądza (ang. velocity ) to termin, którym ekonomiści określają tempo, w jakim pieniądz krąży w gospodarce. Definiujemy ten parametr w zakresie jednego roku i opisujemy następującym wzorem: Szybkość obiegu pieniądza = Nominalne PKB Podaż pieniądza Konkretne miary prędkości obiegu pieniądza w gospodarce zależą od przyjętej definicji pieniądza. Rozważmy zatem prędkość obiegu agregatu M 1 , czyli gotówki i salda na rachunkach dostępnych na żądanie. Na przykład w 2009 r. w USA wartość M 1 wyniosła 1,7 bln dol., a wartość nominalnego PKB osiągnęła poziom 14,3 bln dol., możemy więc oszacować prędkość obiegu tego agregatu na 8,4 (14,3 bln dol./1,7 bln dol.). Większa prędkość obiegu pieniądza oznacza, że w ciągu roku średnio każda jednostka pieniężna zmienia właściciela częściej. Niższa prędkość wskazuje zaś, że przeciętny dolar pozostaje w ciągu roku dłużej w konkretnej kieszeni. Zapoznaj się z poniższą , aby dowiedzieć się, jaki jest wpływ deflacji na politykę pieniężną. Co się dzieje w czasie deflacji? Z deflacją mamy do czynienia wówczas, gdy przeciętny poziom cen w gospodarce maleje, co oznacza, że stopa inflacji jest ujemna. Inaczej rzecz ujmując, w czasie deflacji siła nabywcza pieniądza rośnie, za konkretną kwotę można kupić coraz więcej dóbr i usług. Deflacja jest zatem przeciwieństwem inflacji. Pozornie wydaje się, że deflacja jest zjawiskiem korzystnym dla gospodarki. W końcu któż nie chciałby płacić coraz mniej za swoje codzienne zakupy? Pomijając jednak to, że w czasie deflacji przedsiębiorcy muszą poradzić sobie z sytuacją, w której kupują surowce i czynniki produkcji po wyższych cenach, zaś gotowe wyroby sprzedają po niższych, deflacja bardzo utrudnia prowadzenie polityki pieniężnej w okresach recesji. Pamiętaj, że oceniając poziom realnej stopy procentowej w przeszłości, odejmujemy od nominalnej stopy procentowej stopę inflacji (zmniejszamy nominalną stopę procentową o stopę inflacji). Jeśli nominalna stopa procentowa wynosiła w jakimś okresie 7% rocznie, a stopa inflacji w tym samym okresie kształtowała się na poziomie 3%, wówczas pożyczkobiorca faktycznie płacił odsetki od zaciągniętej pożyczki zgodnie z realną stopą procentową równą 4% rocznie (zakładamy bowiem, że jego przychody nominalne – niezależnie od tego, czy rozpatrujemy sytuację przedsiębiorstwa, czy gospodarstwa domowego – rosły w tempie 3% rocznie). Jeśli nominalna stopa procentowa wynosiła w przeszłości 7%, a deflacja osiągała poziom 2%, to realna stopa procentowa wynosiła w rzeczywistości 9% (tym razem bowiem przyjmujemy założenie, że przychody nominalne malały w tempie 2%). W ten sposób nieoczekiwana deflacja podnosi realne płatności odsetkowe kredytobiorców. Może to doprowadzić do sytuacji, w której nie będą oni w stanie spłacić swoich zobowiązań, co z kolei przełoży się na spadek wartości netto banków komercyjnych (w krańcowych przypadkach ich wartość netto może stać się ujemna). Gdy banki ponoszą straty, ich skłonność do udzielania nowych pożyczek maleje. W ten sposób zagregowany popyt spada, co może prowadzić do recesji. A kiedy już dojdzie do recesji, utrzymująca się w gospodarce deflacja może utrudnić lub wręcz uniemożliwić prowadzenie skutecznej polityki pieniężnej. Powiedzmy, że bank centralny stosuje ekspansywną politykę pieniężną, aby obniżyć nominalną stopę procentową aż do zera – ale w gospodarce wystąpi 5-procentowa deflacja w okresie obowiązywania zerowych stóp procentowych. W rezultacie realna stopa procentowa w analizowanym okresie wciąż będzie dodatnia i wyniesie 5%, a ponieważ banki centralne niezwykle rzadko wykorzystują ujemne nominalne stopy procentowe (choć niekiedy się to zdarza, ostatnio taka sytuacja miała miejsce w strefie euro, w Szwajcarii i Szwecji), ekspansywna polityka pieniężna przestaje być skutecznym narzędziem wpływającym na sytuację w gospodarce. W gospodarce Stanów Zjednoczonych średnioroczna deflacja w latach 1930–1933 kształtowała się na poziomie 6,7%, co spowodowało, że wielu pożyczkobiorców nie było w stanie spłacić zaciągniętych wcześniej zobowiązań. Z tego powodu wiele banków zbankrutowało, co z kolei znacznie zwiększyło negatywne konsekwencje Wielkiego Kryzysu. Jednak nie wszystkie epizody deflacyjne kończą się depresją gospodarczą. Na przykład Japonia w latach 1999–2002 doświadczyła deflacji na poziomie nieco poniżej 1% średniorocznie, co oczywiście negatywnie przełożyło się na japońską gospodarkę, niemniej w dalszym ciągu notowała ona dodatnie tempo wzrostu gospodarczego w wysokości 1% rocznie. Istnieje również co najmniej jeden historyczny przykład deflacji, która pojawiła się w okresie szybkiego wzrostu gospodarczego. Gospodarka Stanów Zjednoczonych doświadczała deflacji na poziomie ok. 1,1% średniorocznie w ciągu 25-letniego okresu od 1876 do 1900 r., ale realny PKB rósł wówczas w tempie ok. 4% średniorocznie, pomimo sporadycznych recesji, które oczywiście również miały miejsce w ciągu tych 25 lat. Bank centralny powinien wystrzegać się deflacji i w razie potrzeby stosować ekspansywną politykę pieniężną, aby zapobiec wystąpieniu długotrwałych okresów spadku średniego poziomu cen w gospodarce. Niemniej współwystępowanie deflacji i głębokich recesji pozostaje raczej wyjątkiem (jakim był Wielki Kryzys) niż regułą. Zmiany szybkości obiegu pieniądza w gospodarce potrafią ograniczać skuteczność polityki pieniężnej. Aby zrozumieć, dlaczego może do tego dochodzić, wykorzystaj definicję wprowadzoną powyżej, ale przekształć ją w taki sposób, aby zmienną objaśnianą był poziom nominalnego PKB: Podaż pieniądza × Szybkość obiegu pieniądza = Nominalne PKB Zapewne pamiętasz, że w , zdefiniowaliśmy nominalne PKB w taki oto sposób: Nominalne PKB = Poziom cen (lub deflator PKB) × Realne PKB A więc, Podaż pieniądza × Szybkość obiegu pieniądza = Nominalne PKB = Poziom cen × Realne PKB Zapisaną powyżej formułę matematyczną określa się w bardzo różny sposób. W podręcznikach można spotkać nazwy: równanie ilościowe, równanie wymiany, niekiedy również równanie ilościowej teorii pieniądza. My będziemy się posługiwać określeniem równanie Fischera (ang. basic quantity equation of money ), od nazwiska wielkiego amerykańskiego ekonomisty Irvinga Fischera (1867–1947), który jako pierwszy je sformułował. Jak łatwo dostrzec, jest to po prostu przekształcone równanie definiujące szybkość obiegu pieniądza w gospodarce. Ma ono charakter tautologiczny, czyli jest prawdziwe na mocy definicji. Jeśli szybkość obiegu pieniądza jest stała w czasie, to każdy procentowy wzrost podaży pieniądza po lewej stronie równania nieuchronnie doprowadzi do tego samego procentowego wzrostu wartości nominalnego PKB. Wzrost wartości nominalnej PKB może nastąpić wskutek wzrostu cen (inflacji), wzrostu wartości realnego PKB lub kombinacji obu czynników. Jeśli szybkość obiegu pieniądza zmienia się w czasie, ale w sposób stały i przewidywalny, zmiany w podaży pieniądza również będą miały stały i przewidywalny wpływ na poziom nominalnego PKB. Jeśli jednak szybkość obiegu pieniądza w gospodarce zmienia się w sposób nieprzewidywalny, to również zmiany podaży pieniądza będą miały nieprzewidywalny wpływ na poziom nominalnego PKB. pokazuje rzeczywistą szybkość obiegu pieniądza w gospodarce Stanów Zjednoczonych mierzoną za pomocą agregatu M1, który jest dość powszechnie wykorzystywany w tym właśnie celu. W okresie 1959–1980 szybkość obiegu pieniądza w amerykańskiej gospodarce rosła w stałym tempie, co pozwala wysnuć wniosek o stałym i przewidywalnym zachowaniu tego parametru. Jednak od początku lat 80. ub. wieku szybkość obiegu pieniądza M1 staje się znacznie bardziej zmienna w czasie. Przyczyny tych gwałtownych zmian pozostają zagadką. Ekonomiści podejrzewają, że są one związane z innowacjami w bankowości i finansach, które zmieniły sposób, w jaki używamy pieniędzy w transakcjach gospodarczych (wzrost skali płatności elektronicznych, upowszechnienie kart kredytowych, a także odejście od ścisłego podziału na depozyty terminowe i dostępne na żądanie). Szybkość obiegu pieniądza M1 w gospodarce amerykańskiej w latach 1959–2020 Szybkość obiegu pieniądza to wartość nominalnego PKB podzielona przez podaż pieniądza w danym roku. Możemy obliczyć szybkość obiegu pieniądza dla różnych agregatów pieniężnych (M 1 , M 2 , M 3 ). Od początku lat 80. XX w. szybkość obiegu obliczana za pomocą agregatu M 1 zmieniała się w nieprzewidywalny sposób. Należy również zauważyć, że zmiana definicji agregatu pieniężnego M 1 w celu uwzględnienia depozytów oszczędnościowych, do jakiej doszło w 2020 r. (zob. ), drastycznie zwiększyła wartość podaży pieniądza M1 w tym samym roku, powodując jednocześnie gwałtowny spadek szybkości jego obiegu w gospodarce. (Źródło: Federal Reserve Bank of St. Louis). W latach 70. XX w., gdy zmiany szybkości obiegu pieniądza w gospodarce w kolejnych latach mierzone z wykorzystaniem agregatu M1 wydawały się przewidywalne, wielu ekonomistów, z laureatem Nagrody Nobla Miltonem Friedmanem (1912–2006) na czele, argumentowało, że najlepszą polityką pieniężną, jaką bank centralny może prowadzić, jest zwiększanie podaży pieniądza w stałym, rocznym tempie. Twierdzili oni, że przy znacznych i zmiennych w czasie opóźnieniach w transmisji impulsów monetarnych do gospodarki oraz stałych naciskach politycznych polityka pieniężna banku centralnego może mieć zarówno niepożądane, jak i pożądane skutki. Dlatego uważali, że najlepszym wariantem polityki pieniężnej będzie zwiększanie podaży pieniądza o 3% rocznie, czyli mniej więcej zgodnie z tempem wzrostu realnego PKB. Sugerowali ponadto, że przyznanie bankowi centralnemu mniejszej swobody w prowadzeniu polityki pieniężnej zapobiegłoby jego nadmiernej aktywności, która (przynajmniej ich zdaniem) może się stać źródłem niestabilności i niepewności w gospodarce. W tym właśnie duchu Friedman napisał w 1967 r.: „Pierwszą i najważniejszą lekcją, jaką możemy sformułować dzięki historycznej analizie konsekwencji polityki pieniężnej – i jest to lekcja o najgłębszym znaczeniu – jest to, że polityka pieniężna może sprawić, iż pieniądze same w sobie nie będą głównym źródłem zakłóceń gospodarczych”. Ponieważ szybkość obiegu pieniądza M1 od początku lat 80. XX w. zaczęła się w sposób nieprzewidywalny wahać, wzrost podaży pieniądza w stałym tempie przestał być – przynajmniej zdaniem większości ekonomistów – uniwersalnym sposobem prowadzenia polityki pieniężnej. Jak bowiem dowodzi równanie Fischera, połączenie stałego wzrostu podaży pieniądza i zmiennej szybkości jego obiegu spowodowałoby nieprzewidywalne zmiany poziomu nominalnego PKB. W związku z tym większość banków centralnym na świecie z początkiem lat 80. odeszła od polityki koncentrującej się na podaży pieniądza na rzecz elastycznego reagowania na zmiany poziomu inflacji i bezrobocia. Bezrobocie a inflacja Gdyby przeprowadzić ankietę wśród przedstawicieli banków centralnych i zapytać, co ich zdaniem powinno być głównym zadaniem polityki pieniężnej, zdecydowanie najpopularniejszą odpowiedzią byłaby walka z inflacją. Większość banków centralnych stoi na stanowisku, że model neoklasyczny dobrze opisuje sposób zachowania gospodarki w perspektywie średnio- i długoterminowej. Pamiętaj, że w tym modelu krzywą zagregowanej podaży wykreślamy jako linię pionową przebiegającą na poziomie potencjalnego PKB, tak jak to zostało przedstawione na . Poziom potencjalnego PKB, jak również właściwa dla niego naturalna stopa bezrobocia są zdeterminowane przez zasób i produktywność czynników produkcji w danej gospodarce. Jeśli pierwotny poziom zagregowanego popytu wynosi AD 0 , zaś gospodarka wytwarza wolumen produkcji równy potencjalnemu PKB, to ekspansywna polityka pieniężna, która w krótkim okresie przesuwa krzywą globalnego popytu do położenia AD 1 , spowoduje jedynie inflacyjny wzrost poziomu cen, ale nie wpłynie na zmienne realne, takie jak PKB i stopa bezrobocia (ekonomiści nazywają to zjawisko neutralnością pieniądza). Tym samym jeśli gospodarka spełnia założenia modelu neoklasycznego, polityka pieniężna jest skutecznym narzędziem wpływania na stopę inflacji i jedynie dzięki utrzymywaniu jej na możliwie niskim poziomie zapewnia stabilne i relatywnie wysokie tempo wzrostu gospodarczego, a także niski poziom bezrobocia. W końcu niska inflacja oznacza, że przedsiębiorstwa dokonujące inwestycji mogą skupić się na determinantach określających jej opłacalność, a nie na szukaniu sposobów ochrony przed rosnącymi kosztami i ryzykiem inflacji. Mogą również z dużą dozą pewności przewidywać wartość przyszłych przychodów i kosztów, co w warunkach wysokiej i zmiennej inflacji jest praktycznie niemożliwe. Innymi słowy, niska inflacja ogranicza ryzyko w działalności gospodarczej i sprzyja wzrostowi wartości inwestycji. W ten sposób utrzymywana w długim okresie niska stopa inflacji przekłada się na wysokie i stabilne tempo wzrostu gospodarczego. Polityka pieniężna w modelu neoklasycznym W ujęciu neoklasycznym polityka pieniężna w krótkim okresie wpływa wyłącznie na poziom cen, a nie na wolumen produkcji w gospodarce. Na przykład ekspansywna polityka pieniężna spowoduje przesunięcie zagregowanego popytu z początkowego położenia AD 0 do AD 1 . Jednak przejście gospodarki z pierwotnego stanu równowagi opisanej punktem (E 0 ) do nowej równowagi w punkcie (E 1 ) ilustruje wyłącznie inflacyjny wzrost poziomu cen z poziomu P 0 do P 1 , ale nie ma bezpośredniego wpływu w długookresowy poziom produkcji i stopę bezrobocia. W rzeczywistości żadne przesunięcie krzywej globalnego popytu AD nie wpłynie na wielkość produkcji w tym modelu. Ta jest określona wyłącznie przez zasób i produktywność czynników produkcji. Strategia, która celem polityki pieniężnej czyni utrzymywanie niskiej stopy inflacji, okazała się tak atrakcyjna, że od początku lat 90. XX w. wiele krajów zmieniło swoje regulacje opisujące sposób funkcjonowania banków centralnych w taki sposób, aby ich działania były ukierunkowane bezpośrednio i wyłącznie na stopę inflacji. Zasada bezpośredniego celu inflacyjnego (ang. inflation targeting ) oznacza, że bank centralny jest prawnie zobowiązany do skupienia swoich wysiłków przede wszystkim na utrzymywaniu inflacji na niskim poziomie. Obecnie banki centralne w 28 krajach, w tym w Polsce, Austrii, Brazylii, Kanadzie, Izraelu, Korei, Meksyku, Nowej Zelandii, Hiszpanii, Szwecji, Tajlandii i Wielkiej Brytanii (jak również Europejski Bank Centralny – EBC) działają zgodnie z tą wytyczną. Godnym uwagi wyjątkiem jest amerykański System Rezerwy Federalnej, który w swoich działaniach nie koncentruje się wyłącznie na stopie inflacji, ale bierze pod uwagę również stopę bezrobocia utrzymującą się w gospodarce USA. Ekonomistom nie udało się wypracować konsensusu, który opisywałby sposób funkcjonowania banków centralnych i to, czy mają się one w swoich działaniach koncentrować wyłącznie na stopie inflacji, czy też uwzględniać szersze spektrum celów. Ci, którzy identyfikują się ze strategią bezpośredniego celu inflacyjnego, obawiają się, że politycy, którzy w naturalny sposób skupiają się na perspektywie krótkookresowej (wyznaczanej przez termin najbliższych wyborów), będą nieustannie naciskać na bank centralny, aby ten prowadził ekspansywną politykę pieniężną, nawet jeśli gospodarka już produkuje na poziomie potencjalnego PKB. W niektórych krajach bankowi centralnemu może brakować siły politycznej, by oprzeć się takim naciskom, co skutkuje wyższą inflacją w długim okresie, bez korzyści związanych z ograniczaniem bezrobocia (trudno w tym kontekście nie wskazać NBP). Zakres niezależności Systemu Rezerwy Federalnej jest bardzo szeroki, ale nie wszystkie banki centralne cieszą się równie dużą swobodą działania. Uwzględniając te uwarunkowania – długi i zmienny okres transmisji impulsów monetarnych do gospodarki, nadmierne rezerwy, zmienną szybkość obiegu pieniądza w gospodarce oraz kontrowersje wokół celów stawianych przed bankami centralnymi – prowadzenie polityki pieniężnej w realnym świecie jest procesem niezwykle skomplikowanym. Poza sporem pozostaje jednak to, że polityka pieniężna poprzez poziom stóp procentowych wpływa na zagregowany popyt i tym samym kondycję gospodarki. Bańki na rynkach aktywów i cykle lewarowania Jedną z utrzymujących się od dawna obaw związanych z koncentracją celów banku centralnego na kwestiach inflacji i bezrobocia jest to, że tego typu podejście pomija inne istotne problemy gospodarcze. Na przykład w latach 1994–2000 pojawiła się tzw. bańka dot-comowa, czyli bardzo szybki i w dużej mierze oderwany od czynników fundamentalnych wzrost cen akcji przedsiębiorstw mających w swojej nazwie element „.com”, czyli po angielsku „dot com”. Na nowojorskiej giełdzie papierów wartościowych wartość wskaźnika Dow Jones Industrial, uwzględniającego ceny akcji 30 największych amerykańskich publicznych spółek akcyjnych (jest to indeks giełdy, taki sam jak wykorzystywany w Warszawie WIG), wzrosła blisko trzykrotnie. Natomiast wartość indeksu spółek nowych technologii Nasdaq (jego odpowiednikiem w Warszawie jest TechWIG) – prawie pięciokrotnie. Dość szybko okazało się, że wzrost cen akcji był oparty na czystej spekulacji i nie miał uzasadnienia w wynikach większości podmiotów. Wartość indeksu Dow Jones w 2009 r. była o prawie 20% niższa niż w roku 2000. Z kolei wartość indeksu Nasdaq była w 2009 r. aż o 50% niższa niż dziewięć lat wcześniej. Gwałtowna przecena na giełdzie była jednym z czynników, który przełożył się na recesję z 2001 r. i będący jej konsekwencją wzrost bezrobocia. Podobną historię można opowiedzieć o cenach nieruchomości w latach 2003–2005. W ciągu poprzednich 30 lat średnie ceny domów rosły o ok. 6% rocznie. Tymczasem w ciągu tego okresu, podczas tzw. bańki na rynku nieruchomości, ceny domów zwiększały się o blisko 100% średniorocznie. Również ten wzrost nie miał trwałych podstaw. Gdy w 2007 i 2008 r. ceny nieruchomości spadły, wiele banków i gospodarstw domowych zorientowało się, że ich aktywa są warte mniej, niż można się było spodziewać, co walnie przyczyniło się do globalnego kryzysu finansowego. Te dwa przykłady zaczerpnięte z amerykańskich realiów wskazują na niebezpieczeństwo związane z lewarowaniem. Lewarowanie lub inaczej wykorzystywanie dźwigni finansowej oznacza zaciąganie pożyczek w celu zakupu aktywów finansowych. Jeśli ceny nieruchomości rosną o 100% rocznie (lub ceny akcji o 50% rocznie) i powszechne jest przekonanie, że takie tempo wzrostu utrzyma się w średnim i długim okresie, najlepsze, co można zrobić, to zaciągnąć pożyczkę i kupować. Gdy w gospodarce mamy do czynienia z fazą wzrostową, banki i sektor finansowy chętnie udzielają kredytów, a ludzie i firmy chętnie takie zobowiązania zaciągają. Wzrost cen nieruchomości lub akcji przekłada się na wzrost wydatków i tym samym zagregowanego popytu (domy, na które popyt cały czas rośnie, trzeba przecież zbudować i urządzić, zaś wzrost cen akcji pozwala przedsiębiorstwom bez problemu plasować na rynku kolejne emisje i inwestować pozyskane w ten sposób środki). Wydaje się, że taka sytuacja będzie trwać w nieskończoność, ale oczywiście jest to mniemanie zupełnie błędne. W pewnym momencie koniunktura się pogarsza, banki podnoszą stopy procentowe i zaostrzają warunki pozyskania kredytów, a popyt na akcje lub nieruchomości błyskawicznie maleje. Gwałtowny spadek cen nieruchomości lub akcji (określany jako pęknięcie bańki) prowadzi do równie gwałtownej redukcji wydatków, zmniejszenia globalnego popytu i recesji znacznie głębszej w porównaniu z sytuacją, w której opisany powyżej scenariusz by się nie zmaterializował. Fakt, iż tego typu sytuacje powtarzają się z większą lub mniejszą regularnością, pozwala ekonomistom nazywać je cyklem lewarowania. Występowanie tego typu cykli stało się dla niektórych ekonomistów podstawą do sformułowania wniosku, że banki centralne powinny w swojej polityce uwzględniać nie tylko tempo wzrostu gospodarczego, stopę inflacji i wskaźnik bezrobocia, lecz również ceny aktywów finansowych i cykle lewarowania. Takie propozycje są jednak dość kontrowersyjne. Gdyby w 1997 r. FED ogłosił, że ceny akcji rosną zbyt szybko, lub w roku 2004 zawyrokował, że na rynku nieruchomości powstała bańka spekulacyjna, a następnie podjął skuteczne działania mające na celu powstrzymanie wzrostu cen, wielu ludzi (inwestorów giełdowych, właścicieli nieruchomości i polityków) byłoby oburzonych. Ani System Rezerwy Federalnej, ani żaden inny bank centralny nie chce brać na siebie takiej odpowiedzialności i decydować, czy ceny akcji i nieruchomości są za wysokie, za niskie, czy w sam raz. Jednak z uwagi na fakt, że pojawia się coraz więcej badań wskazujących na negatywne dla gospodarki konsekwencje baniek spekulacyjnych i cyklów lewarowania, banki centralne mogą zostać zmuszone do prowadzenia polityki pieniężnej w taki sposób, by ograniczać prawdopodobieństwo występowania takich zjawisk i łagodzić ich negatywne skutki. Zakończmy ten rozdział ilustrującą to, w jaki sposób FED – lub dowolny inny bank centralny – mógłby ożywić gospodarkę, zwiększając w tym celu podaż pieniądza. Szacowanie skutków bodźców pieniężnych Załóżmy, że bank centralny chce pobudzić gospodarkę poprzez zwiększenie podaży pieniądza. Bankowcy szacują, że szybkość obiegu pieniądza (V) wynosi 3, a poziom cen (P) wzrośnie wskutek takiego posunięcia ze 100 do 110. Korzystając z równania Fischera, oblicz, jaki będzie wpływ wzrostu podaży pieniądza (M) o 800 mld zł na wolumen produkcji w gospodarce (Q), biorąc pod uwagę to, że początkowa podaż pieniądza kształtowała się na poziomie 4 bln zł. Krok 1. Zaczynamy od zapisania równania Fischera: MV = PQ. Wiemy, że początkowo V = 3, M = 4000 (mld) i P = 100. Podstawiając te liczby, możemy obliczyć Q: MV = PQ 4000 × 3 = 100 × Q Q = 120 Krok 2. Spróbujmy obliczyć efekt wzrostu podaży pieniądza o 800 mld zł, przyjmując jednocześnie, że ceny wzrosną z poziomu 100 do 110. Nowe równanie ma następującą postać: MV = PQ 4800 × 3 = 110 × Q Q = 130,9 Jeśli weźmiemy pod uwagę różnicę pomiędzy tymi dwiema wielkościami, okaże się, że impuls monetarny zwiększył wolumen produkcji w gospodarce o 10,9 mld zł. Analiza przeprowadzona w niniejszym rozdziale koncentrowała się na krajowej polityce pieniężnej, to znaczy uwarunkowaniach i konsekwencjach ekspansywnej i restrykcyjnej polityki pieniężnej dla wysokości stóp procentowych, rozmiarów zagregowanego popytu oraz wolumenu produkcji. W następnym przejdziemy do analizy międzynarodowego wymiaru polityki pieniężnej oraz sposobu, w jaki wiąże się ona z kursami walutowymi i międzynarodowymi przepływami kapitału finansowego. Jak bardzo można obniżyć stopy procentowe? W 2008 r. System Rezerwy Federalnej znalazł się w trudnej sytuacji. Stopa funduszy federalnych zbliżała się do zera, co oznaczało, że operacje otwartego rynku, w ramach których FED skupuje amerykańskie bony skarbowe w celu obniżenia krótkoterminowych stóp procentowych, przestały być skutecznym narzędziem wpływu na rynek kredytowy. Ten tzw. problem granicy zerowej skłonił System Rezerwy Federalnej, pod przewodnictwem jego ówczesnego prezesa Bena Bernanke, do zastosowania niekonwencjonalnych narzędzi polityki pieniężnej, czyli luzowania ilościowego. Na początku 2014 r. luzowanie ilościowe prawie pięciokrotnie zwiększyło rezerwy bankowe. Najprawdopodobniej przyczyniło się to do ożywienia gospodarki USA, ale wpływ ten był ograniczony, m.in. ze względu na niektóre przeszkody wymienione w ostatniej części tego rozdziału. Bezprecedensowy wzrost rezerw bankowych wywołał również obawy przed inflacją, które okazały się znacznie przesadzone. W ciągu roku 2010 nie było żadnych poważnych sygnałów przyspieszenia tempa wzrostu cen, a inflacja bazowa utrzymywała się na stabilnym poziomie 1,5–2%. Jednocześnie do początku 2015 r. nie wystąpiły żadne poważne oznaki ożywienia gospodarczego, zaś inflacja bazowa utrzymywała się na stabilnym poziomie 1,7%. Problem granicy zerowej pojawił się ponownie w amerykańskiej gospodarce w roku 2020, ze względu na pandemię i będący jej konsekwencją kryzys. W pierwszym kwartale tego roku stopa funduszy federalnych spadła o ponad 2 punkty procentowe w ciągu kilku tygodni. FED zareagował zwiększeniem skali skupu aktywów i prowadził tę operację w jeszcze szybszym tempie niż w roku 2009. Kiedy w 2021 r. stopa inflacji w USA zaczęła dość szybko rosnąć, prezes Systemu Rezerwy Federalnej Jerome Powell odpowiedział na krytykę działań amerykańskiego banku centralnego, podkreślając, że FED jest gotowy rozważyć podwyżki stóp procentowych i rozpocząć ograniczanie tempa skupu aktywów w 2022 r. Wdrożone przez Rezerwę Federalną środki okazały się skuteczne i wraz z rozpoczęciem roku 2023 inflacja w USA zaczęła powracać do długoletniej średniej. Key Concepts and Summary Polityka pieniężna może okazać się nieskuteczna ze względu na kilka czynników: a) transmisja impulsów monetarnych do gospodarki może trwać nawet kilka kwartałów i trudno przewidzieć, jak długi będzie to okres; (b) jeśli banki komercyjne decydują się na utrzymywanie nadmiernych rezerw, polityka pieniężna nie dysponuje narzędziami mogącymi wymusić na nich udzielanie pożyczek; oraz (c) szybkość obiegu pieniądza w gospodarce może zmieniać się w czasie w nieprzewidywalny sposób. Równanie Fischera wyraża wzór: MV = PQ, gdzie M to podaż pieniądza, V – szybkość obiegu pieniądza, P – poziom cen, a Q – wolumen produkcji. Niektóre banki centralne, takie jak Europejski Bank Centralny i Narodowy Bank Polski, stosują strategię bezpośredniego celu inflacyjnego, co oznacza, że jedynym celem banku centralnego jest utrzymanie inflacji na z góry założonym poziomie z niewielkim przedziałem wahań. Inne banki centralne, takie jak System Rezerwy Federalnej Stanów Zjednoczonych, mogą swobodnie koncentrować się na ograniczaniu inflacji lub stymulowaniu gospodarki znajdującej się w recesji, w zależności od tego, który cel wydaje się w danym momencie najważniejszy. Self-Check Questions Dlaczego banki komercyjne mogą z własnej woli utrzymywać nadwyżki rezerw w czasie recesji? W czasie recesji banki komercyjne mogą się obawiać, że kredytobiorcy stracą zdolność do spłaty swoich kredytów. Mogą również zabezpieczać się w ten sposób przed wybuchem paniki na rynkach finansowych, która wymusi wypłaty depozytów w ponadprzeciętnej skali. Dlaczego szybkość obiegu pieniądza w gospodarce może się nieoczekiwanie zmienić? Jeśli przewidywania konsumentów odnośnie do przyszłości ulegną zmianie, ich wydatki mogą przyspieszyć lub spowolnić. Bywa i tak, że konsumenci muszą w bardzo krótkim okresie dokonać dużych zakupów, np. w związku z zapowiadanym zamknięciem sklepów z powodu pandemii lub klęski żywiołowej. Review Questions Jakiej polityki pieniężnej oczekujesz w odpowiedzi na recesję: ekspansywnej czy restrykcyjnej? Uzasadnij swoją odpowiedź. W jaki sposób skuteczność polityki pieniężnej może ograniczyć każdy z następujących czynników: rozciągnięty w czasie i zmienny okres transmisji impulsów monetarnych do gospodarki, nadwyżka rezerw i zmiana szybkości obiegu pieniądza w gospodarce? Zdefiniuj szybkość obiegu pieniądza w gospodarce. Jaka jest formuła równania Fischera? Jak działa polityka pieniężna konstruowana zgodnie z zasadami bezpośredniego celu inflacyjnego? Critical Thinking Questions W jaki sposób polityka pieniężna oparta na precyzyjnie zdefiniowanych regułach różni się od dyskrecjonalnej polityki pieniężnej (tj. polityki pieniężnej, w ramach której takie reguły nie funkcjonują)? Jakie argumenty przemawiają za każdą z tych strategii? Czy banki centralne powinny koncentrować się przede wszystkim na ograniczaniu bezrobocia, czy inflacji? Uzasadnij swoją odpowiedź. Problems O ile wzrośnie nominalny PKB, jeśli bank centralny zwiększy podaż pieniądza o 100 mld zł, a szybkość obiegu pieniądza w gospodarce wynosi 3, ceteris paribus? (Jeśli to niezbędne, użyj tych informacji, aby odpowiedzieć na cztery kolejne pytania). Załóżmy teraz, że ekonomiści spodziewają się wzrostu szybkości obiegu pieniądza o 50% w wyniku zastosowanego bodźca pieniężnego. Jaki będzie całkowity wzrost nominalnego PKB? Jeśli PKB wynosi 1500 mld zł, a podaż pieniądza 400 mld zł, jaka jest szybkość obiegu pieniądza? Jeśli PKB wzrośnie teraz do 1600 mld zł, ale podaż pieniądza się nie zmieni, jak wpłynie to na szybkość obiegu pieniądza? Jeśli PKB spadnie z powrotem do 1500 mld zł, a podaż pieniądza zmaleje do 350 mld zł, z jaką szybkością obiegu pieniądza będziemy mieć do czynienia? References Tobin, James. “The Concise Encyclopedia of Economics: Monetary Policy.” Library of Economics and Liberty . Accessed November 2013. http://www.econlib.org/library/Enc/MonetaryPolicy.html. Federal Reserve Bank of New York. “The Founding of the Fed.” Accessed November 2013. http://www.newyorkfed.org/aboutthefed/history_article.html. równanie Fischera (ang. basic quantity equation of money ) podaż pieniądza × szybkość obiegu pieniądza w gospodarce = nominalne PKB równanie ilościowej teorii pieniądza zob. równanie Fischera równanie ilościowe zob. równanie Fischera równanie wymiany zob. równanie Fischera dodatkowe rezerwy (ang. excess reserves ) rezerwy gotówkowe, które banki komercyjne utrzymują powyżej minimalnego poziomu określonego przez regulacje banku centralnego cel inflacyjny (ang. inflation targeting zasada, zgodnie z którą bank centralny skupia się wyłącznie na utrzymywaniu niskiego poziomu inflacji szybkość obiegu pieniądza (ang. velocity ) szybkość, z jaką pieniądz krąży w gospodarce, obliczana jako iloraz nominalnego PKB i podaży pieniądza", "section": "Pułapki polityki pieniężnej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Handel światowy Czy deficyt salda bilansu handlowego Stanów Zjednoczonych w relacjach z Unią Europejską jest korzystny, czy niekorzystny dla gospodarki USA? (Źródło: modyfikacja pracy Milada Mosapoora/Wikimedia Commons). Czy mocniejszy dolar jest korzystny dla gospodarki USA? W latach 2002–2008 dolar amerykański stracił na rynkach walutowych ponad jedną trzecią swojej wartości. 1 stycznia 2002 r. jeden dolar kosztował 1,11 euro. 24 kwietnia 2008 r. notowanie dolara osiągnęło najniższy poziom w historii – był on wówczas wyceniany na 64 eurocenty. W tym samym okresie deficyt Stanów Zjednoczonych w handlu z Unią Europejską wzrósł z 85,7 mld dol. w roku 2002 do 95,8 mld dol. w 2008. Czy taki obrót spraw był korzystny, czy niekorzystny dla amerykańskiej gospodarki? Żyjemy w świecie zglobalizowanym. Amerykańscy konsumenci każdego roku kupują importowane z całego świata dobra i usługi o wartości bilionów dolarów. Firmy ze Stanów Zjednoczonych sprzedają za granicę produkty warte niewiele mniej. Amerykańscy obywatele, przedsiębiorstwa i rząd federalny co roku inwestują za granicą biliony dolarów. Z kolei zagraniczni inwestorzy, przedsiębiorstwa i rządy państw trzecich lokują w USA kwoty o porównywalnej wartości. To podmioty zagraniczne są głównym nabywcą amerykańskiego długu federalnego. Wiele osób uważa, że tańszy dolar jest niekorzystny dla Stanów Zjednoczonych i świadczy o kiepskiej kondycji tamtejszej gospodarki. Ale czy na pewno jest to pogląd słuszny? Ten rozdział będzie próbą odpowiedzi na to pytanie. Wprowadzenie do tematu kursów walutowych i międzynarodowych przepływów kapitału Dzięki lekturze tego rozdziału dowiesz się: Jak działa rynek walutowy Jakie czynniki wpływają na stronę popytową i podażową na rynkach walutowych Jakie makroekonomiczne konsekwencje wiążą się ze zmianami kursów walutowych Jakie systemy kursów walutowych są wykorzystywane w różnych krajach świata Na świecie istnieje ponad 150 walut, od afgani w Afganistanie i leka w Albanii po kwachę w Zambii i zimbabweńskiego dolara. W przypadku transakcji międzynarodowych gospodarstwa domowe lub przedsiębiorstwa muszą wymienić jedną walutę na inną. Na przykład niemiecka firma, która eksportuje produkty do Polski, musi wymienić zarobione dzięki sprzedaży samochodów na polskim rynku złote na euro, którymi będzie mogła opłacić pracowników fabryki w Ingolstadt lub Wolfsburgu. Z kolei firma z Polski (np. KGHM), która chce kupić kopalnię miedzi w Chile, musi zamienić polskie złote na chilijskie peso. Natomiast amerykański turysta odwiedzający Warszawę musi wymienić amerykańskie dolary na złote, aby zapłacić za hotel i posiłek zjedzony na Starówce. Kursy walutowe niekiedy bardzo szybko się zmieniają. Na przykład funt brytyjski tuż przed referendum, w którym społeczeństwo rozstrzygało kwestię opuszczenia przez Wielką Brytanię Unii Europejskiej (czyli tzw. brexitu), był wart ok. 1,5 dol. Tuż po ogłoszeniu wyników jego kurs spadł do poziomu 1,37 dol. i nadal się obniżał, osiągając kilka miesięcy później 30-letnie minimum. W przypadku firm zajmujących się kupnem, sprzedażą, pożyczaniem i zaciąganiem pożyczek na rynkach międzynarodowych wahania kursów walutowych mogą mieć ogromny wpływ na zyski. W niniejszym rozdziale omówimy międzynarodowy wymiar funkcjonowania pieniądza, a ściślej rzecz biorąc – kursy walutowe, które determinują sposób przeliczania jednej waluty na inną. Kurs walutowy (ang. exchange rate ) to cena jednej waluty wyrażona w innej walucie. Dlatego kurs walutowy możemy analizować za pomocą narzędzi popytu i podaży . Pierwsza część tego rozdziału rozpoczyna się od analizy rynków walutowych: ich wielkości, głównych podmiotów aktywnych na tych rynkach oraz terminologii wykorzystywanej do opisu sytuacji, która się na nich kształtuje. Kolejna część wykorzystuje wykresy popytu i podaży do analizy głównych czynników wpływających na poziom kursu walutowego. W ostatniej części zostanie omówiona rola banku centralnego i polityka kursu walutowego, jaką może on prowadzić. Każdy kraj musi zdecydować o swoim systemie kursu walutowego i wybrać, czy powinien on być kształtowany wyłącznie przez rynek, czy też znajdować się pod częściową/całkowitą kontrolą banku centralnego. Nie ma bowiem idealnego systemu kursu walutowego. Każdy ma swoje zalety i wady.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Jak działają rynki walutowe Po przeczytaniu tego podrozdziału będziesz w stanie: Sformułować definicję rynku walutowego Odróżniać różne rodzaje inwestycji, takich jak bezpośrednie inwestycje zagraniczne (BIZ), inwestycje portfelowe i transakcje zabezpieczające (hedging) Zrozumieć, w jaki sposób aprecjacja lub deprecjacja waluty wpływa na kurs walutowy Określać, dla jakich podmiotów korzystna jest silna waluta lokalna, a jakie zyskują na jej osłabieniu Większość krajów posiada własną walutę. Od tej reguły istnieją jednak wyjątki. Czasami małe kraje używają waluty silniejszego ekonomicznie sąsiada. Na przykład Ekwador, Salwador i Panama zdecydowały się na dolaryzację (ang. dollarize ), czyli wykorzystanie jako swojej waluty dolara amerykańskiego. Z kolei w Europie występuje zjawisko euroizacji, czyli przyjmowania przez małe kraje (np. Bośnię i Hercegowinę) europejskiej wspólnej waluty – euro. Zdarza się także, że wiele państw decyduje się na stworzenie wspólnej waluty, tak jak to miało miejsce w Unii Europejskiej (precyzyjnie rzecz ujmując, kraje, które zdecydowały się na przyjęcie wspólnej waluty – euro – tworzą Unię Gospodarczo-Walutową lub potocznie „strefę euro”). Pomijając jednak te wyjątkowe sytuacje, większość transakcji międzynarodowych obejmuje różne waluty, co oznacza, że sprzedawanie, kupowanie, wynajmowanie, pożyczanie, podróżowanie oraz inwestowanie za granicą wymaga od ludzi i przedsiębiorstw wymiany jednej waluty na inną. Rynek, na którym gospodarstwa domowe i przedsiębiorstwa dokonują takich operacji, nazywamy rynkiem walutowym (ang. foreign exchange market ) lub potocznie Forexem . Podstawowe informacje na temat kursów walutowych zostały już wprowadzone we wcześniejszych rozdziałach. Na przykład w omówione zostały metody, które można wykorzystać do porównywania wartości PKB w krajach o różnych walutach. We wcześniejszych przykładach zakładaliśmy pewien określony poziom kursu walutowego i nie rozważaliśmy czynników, które determinują kształtowanie się kursów walutowych. W rzeczywistości kurs walutowy jest ceną jednej waluty wyrażoną w jednostkach innej. Kluczowym modelem do analizy kształtowania się cen, niezależnie od tego, czy chodzi o rynek walutowy, czy jakikolwiek inny (np. ubrań lub pracy), pozostaje model popytu i podaży. Odwiedź poniższą stronę internetową , gdzie można znaleźć poręczny kalkulator kursów walutowych. Ogromne rozmiary rynków walutowych Wielkość obrotów realizowanych na rynkach walutowych może przyprawić o zawrót głowy. Badanie Banku Rozrachunków Międzynarodowych (ang. Bank of International Settlements ) z 2013 r. wykazało, że średnie dzienne obroty na rynkach walutowych wyniosły 5,3 bln dol., co czyni rynek walutowy największym rynkiem w gospodarce światowej. Dla porównania, realny PKB Stanów Zjednoczonych w 2013 r. wyniósł 15,8 bln dol. Strona popytowa i podażowa na rynkach walutowych Na rynkach walutowych popyt i podaż są ze sobą ściśle powiązane, ponieważ podmiot zgłaszający popyt na określoną walutę musi jednocześnie dostarczać na rynek inną walutę (czyli zapewnić jej podaż) – i odwrotnie. Aby to zrozumieć, warto przyjrzeć się czterem grupom aktywnym na tym rynku: (1) przedsiębiorstwom zaangażowanym w międzynarodowy handel dobrami i usługami; (2) turystom odwiedzającym inne kraje; (3) międzynarodowym inwestorom kupującym na własność (lub współwłasność) zagraniczne przedsiębiorstwa; (4) międzynarodowym inwestorom kupującym papiery wartościowe poświadczające istnienie wierzytelności (czyli głównie obligacje i bony skarbowe). Przeanalizujmy te grupy po kolei. W przypadku przedsiębiorstw działających na rynkach międzynarodowych koszty produkcji (na co składają się m.in. płace, płatności dla kooperantów i wynagrodzenia wypłacane właścicielom pozostałych wykorzystywanych czynników produkcji) ponoszone są co do zasady w walucie kraju, w którym odbywa się produkcja, ale przychody ze sprzedaży są pozyskiwane w walucie kraju, w którym następuje sprzedaż. Polskie przedsiębiorstwo eksportujące towary za granicę uzyska przychód (utarg) w walucie obcej, np. w dolarach amerykańskich lub euro, ale potrzebuje polskich złotych, aby pokryć koszty produkcji w kraju. Na rynku walutowym firma ta będzie oferowała do sprzedaży dolary (euro) i zgłaszała popyt na złotówki. Turyści wyjeżdżający za granicę oferują na rynku walutowym swoją walutę krajową i zgłaszają popyt na walutę państwa, które zamierzają odwiedzić. Na przykład amerykański turysta odwiedzający Polskę dostarcza na rynek walutowy dolary amerykańskie (zapewnia podaż) i zgłasza zapotrzebowanie na polskiego złotego (generuje popyt). Inwestycje finansowe, które oznaczają przepływy pieniężne pomiędzy różnymi krajami i w związku z tym wymagają wymiany walut, najczęściej dzielimy na dwie kategorie. Bezpośrednie inwestycje zagraniczne ( BIZ ) (ang. foreign direct investment (FDI) ) najczęściej odnoszą się do zakupu co najmniej 10% udziałów w przedsiębiorstwie znajdującym się na terenie innego kraju lub założenia nowego przedsiębiorstwa za granicą. Na przykład w 2008 r. belgijska firma piwowarska InBev kupiła amerykańskiego producenta piwa Anheuser-Busch za 52 mld dol. Aby dokonać tego zakupu, InBev musiał na rynku walutowym wymienić euro na dolary amerykańskie. Inny rodzaj międzynarodowych inwestycji finansowych – inwestycje portfelowe (ang. portfolio investment ) – obejmuje czysto finansowe transakcje, które nie pociągają za sobą wpływu na bieżące zarządzanie przedsiębiorstwem (w ich ramach przejmowane są mniejszościowe pakiety akcji, zwykle poniżej 10%). Przykładem takiej operacji może być zakup przez podmioty amerykańskie obligacji emitowanych przez rząd Polski albo zdeponowanie przez polskie przedsiębiorstwo środków finansowych w szwajcarskim banku. Aby dokonać takiej inwestycji, amerykański inwestor musi dostarczyć na rynek walutowy dolary amerykańskie i zgłosić zapotrzebowanie na polskiego złotego (polskie przedsiębiorstwo z kolei musi zaoferować do sprzedaży złote i zgłosić chęć zakupu franków szwajcarskich). Podmioty aktywne na rynku kapitałowym często dokonują inwestycji portfelowych, gdyż oczekują korzystnych zmian kursów walutowych. Załóżmy, że amerykański inwestor finansowy rozważa złożenie depozytu w brytyjskim banku. Dla uproszczenia pomijamy wszelkie płatności z tytułu odsetek (które w krótkim okresie i tak będą niewielkie) i koncentrujemy się na kursach walutowych. Przyjmijmy, że funt brytyjski jest obecnie wart 1,50 dol. amerykańskiego. Inwestor uważa jednak, że za miesiąc kurs funta brytyjskiego będzie się kształtował na poziomie 1,60 dol. A zatem, jak pokazuje panel (a) , inwestor ten wymieniłby 24 000 dol. na 16 000 funtów. Za miesiąc, jeśli funt rzeczywiście będzie warty 1,60 dol., inwestor portfelowy może dokonać odwrotnej operacji i kupić dolary amerykańskie po nowym kursie wymiany, dzięki czemu otrzyma 25 600 dolarów, co da mu przyzwoity zysk w kwocie 1600 dol. (stopa zwrotu z inwestycji przekracza 6,5%, co w skali miesiąca jest rezultatem więcej niż satysfakcjonującym). Inwestor portfelowy, który uważa, że kurs wymiany funta zmieni się w przeciwnym kierunku, może również z korzyścią zainwestować. Załóżmy, że inwestor oczekuje, iż kurs walutowy funta spadnie z obecnego poziomu 1,50 dol. za funta do poziomu 1,40. Następnie, jak pokazuje panel (b) , inwestor mógłby kwotę 20 000 funtów (pożyczając pieniądze, jeśli to konieczne) wymienić na 30 000 dol., odczekać miesiąc i wymienić je z powrotem na 21 429 funtów – ponownie uzyskując satysfakcjonujący zysk (o ile jego przewidywania okażą się prawdziwe). Oczywiście dokonywanie tego rodzaju operacji finansowych nie daje gwarancji zarobienia pieniędzy, a inwestor poniesie straty, jeśli kursy walutowe nie zmienią się zgodnie z jego przewidywaniami. Inwestor portfelowy próbujący uzyskać korzyści ze zmian kursów walutowych Oczekiwania dotyczące kształtowania się kursu walutowego wpływają na podaż i popyt danej waluty na rynkach walutowych. Wiele decyzji dotyczących inwestycji portfelowych jest znacznie bardziej złożonych niż tylko próba określenia, jak w przyszłości zmieni się kurs walutowy. Inwestycje portfelowe są w dużej mierze podejmowane w celu ochrony przedsiębiorstw przed wahaniami kursów walut. Wyobraź sobie, że prowadzisz polską firmę eksportującą towary do Francji. Właśnie podpisała ona umowę na dostawę dużej ilości mebli do sieci francuskich sklepów, która opiewa na milion euro i będzie realizowana przez rok. Zapłatę otrzymasz po dostarczeniu ostatniej partii wytwarzanych przez twoje przedsiębiorstwo mebli, czyli właśnie za rok. Nie wiesz jednak, jaka będzie wówczas wartość tej umowy w złotych, ponieważ kurs polskiej waluty w stosunku do euro może się znacząco różnić od bieżących notowań. Załóżmy, że chcesz znać wartość umowy z całkowitą pewnością i nie ryzykować, że euro będzie warte mniej niż obecnie (jeśli za rok za euro będzie trzeba zaoferować mniej złotych, to wartość twojego kontraktu wyrażona w polskiej walucie spadnie). Możesz się zabezpieczyć przed ryzykiem kursowym, co oznacza zawarcie transakcji zabezpieczającej (ang. hedge ), dzięki której ryzyko niekorzystnej zmiany kursu przestanie być dla ciebie istotne. Dzięki niej będziesz mieć gwarancję uzyskania określonego kursu wymiany euro na złote niezależnie od przyszłej sytuacji rynkowej. Oczywiście firma, która zaoferuje ci taką transakcję, oszacuje ryzyko zmiany kursu euro w stosunku do złotego i w zależności od tego, jakie będą owe szacunki, narzuci ci konkretną opłatę. Jeśli okaże się, że kurs euro do złotego się nie osłabił, po prostu wymienisz swoje euro na rynku, a poniesiony koszt będzie swoistym ubezpieczeniem od ryzyka zmian kursowych. Jeśli jednak euro się osłabi i jego wartość wyrażona w złotych spadnie, przedsiębiorstwo jest chronione transakcją zabezpieczającą. Gdy strony chcą zawrzeć kontrakty finansowe takie jak hedging, zwykle zwracają się do instytucji finansowej lub firmy maklerskiej zajmującej się tego typu usługami. Przedsiębiorstwa te pobierają ustaloną z góry opłatę albo wykorzystują mechanizmy dostępne na rynku walutowym, dzięki którym uzyskują wynagrodzenie za świadczoną przez siebie usługę (tzw. spread). Inwestorzy, którzy dokonują zarówno bezpośrednich inwestycji zagranicznych, jak i inwestycji portfelowych, sprzedają walutę krajową i zgłaszają zapotrzebowanie na walutę obcą. W przypadku inwestycji portfelowych inwestor nabywa mniej niż 10% udziałów (akcji) przedsiębiorstwa, w związku z czym tego typu transakcje mają zazwyczaj charakter krótkoterminowy. Jeśli natomiast inwestor dokonuje bezpośredniej inwestycji zagranicznej, nabywając ponad 10% udziałów w przedsiębiorstwie, zwykle przejmuje tym samym pewną odpowiedzialność za zarządzanie spółką. A zatem bezpośrednie inwestycje zagraniczne mają zazwyczaj długookresowy charakter. W praktyce inwestor może się wycofać z inwestycji portfelowych znacznie szybciej niż z bezpośrednich inwestycji zagranicznych. Na przykład amerykański inwestor portfelowy, który chce kupić lub sprzedać brytyjskie obligacje rządowe, może to zrobić za pomocą rozmowy telefonicznej lub kilku kliknięć na klawiaturze komputera. Jednak amerykański inwestor, który chce w Wielkiej Brytanii kupić lub sprzedać przedsiębiorstwo, np. producenta części samochodowych, przekona się, że zaplanowanie i przeprowadzenie takiej transakcji zajmuje kilka tygodni, a nawet miesięcy. Główne źródła popytu na walutę i jej podaży są przedstawione w . Źródła popytu i podaży na rynkach walutowych Popyt na polskiego złotego zgłaszają… Podaż polskiego złotego jest pochodną decyzji… Polskie przedsiębiorstwo, które uzyskało walutę obcą w wyniku eksportu towarów i próbuje pokryć poniesione w Polsce koszty Zagranicznego przedsiębiorstwa, które sprzedało swoje produkty w Polsce, za co uzyskało polskie złote, a potrzebuje waluty kraju swojego pochodzenia, aby pokryć poniesiony tam koszt Zagraniczni turyści odwiedzający Polskę Turystów z Polski wyjeżdżających do innych krajów Inwestorzy zagraniczni, którzy chcą dokonać w Polsce inwestycji bezpośrednich Polskich inwestorów, którzy chcą dokonać bezpośrednich inwestycji zagranicznych w innych krajach Inwestorzy zagraniczni, którzy chcą dokonać w Polsce inwestycji portfelowych Polskich inwestorów, którzy chcą dokonać inwestycji portfelowych w innych krajach Uczestnicy rynku walutowego Rynek walutowy nie kojarzy bezpośrednio podmiotów oferujących daną walutę z podmiotami zgłaszającymi zapotrzebowanie na nią (tak jak to się dzieje np. na rynku nieruchomości). Jeśli Magdalena postanowi opuścić Polskę i wybrać się w podróż do Hiszpanii, nie musi szukać obywatela Hiszpanii, który planuje spędzić wakacje w Polsce, i umawiać się z nim na bezpośrednią wymianę walut. Do tego celu służy rynek walutowy i instytucje finansowe. Większość osób i przedsiębiorstw wymieniających znaczną ilość waluty udaje się do banku, a większość banków zapewnia klientom usługę wymiany walut. W gospodarce światowej handlem walutami zajmuje się ok. 2 tys. przedsiębiorstw (przede wszystkim banków). Zwykle nazywa się je dealerami walutowymi. W gospodarce USA funkcjonuje mniej niż 100 takich firm, ale mniej więcej 12 największych podmiotów przeprowadza ponad połowę wszystkich transakcji na rynku. Rynek walutowy nie ma jednej centralnej lokalizacji, jednak najwięksi gracze przez cały czas uważnie się obserwują. Rynek walutowy jest ogromny nie z powodu ruchu turystycznego, eksportu towarów czy nawet bezpośrednich inwestycji zagranicznych, ale ze względu na inwestycje portfelowe i działania dealerów walutowych. Turystyka międzynarodowa to bardzo ważna branża gospodarki, z obrotami ok. 1 bln dol. rocznie. Globalny eksport stanowi ok. 23% światowego PKB, czyli ok. 18 bln dol. rocznie. Pod koniec 2013 r. bezpośrednie inwestycje zagraniczne wyniosły ok. 1,5 bln dolarów. Wartości te są jednak pomijalne w porównaniu z obrotami na rynkach walutowych wynoszącymi 5,3 bln dol. dziennie. Większość transakcji na rynku walutowym dotyczy inwestycji portfelowych, czyli stosunkowo krótkookresowych przepływów kapitału finansowego, a także działań dużych dealerów walutowych, którzy stale kupują i sprzedają waluty pomiędzy sobą. Umocnienie (aprecjacja) i osłabienie (deprecjacja) waluty Kiedy zmieniają się ceny większości dóbr i usług, mówimy, że cena „rośnie” lub „maleje”. W przypadku kursów walutowych terminologia jest inna. Kiedy kurs walutowy rośnie, czyli dana waluta jest wymieniana na więcej jednostek innej waluty, mamy do czynienia z aprecjacją (ang. appreciation ) lub wzmocnieniem waluty. Jeśli natomiast kurs walutowy spada, tak że dana waluta jest wymieniana na mniej jednostek innej waluty, jest to deprecjacja (ang. depreciation ) lub osłabienie waluty. Aby pokazać, czym jest aprecjacja i deprecjacja, przeanalizujmy kurs walutowy dolara amerykańskiego (USD) w stosunku do dolara kanadyjskiego (CAD), począwszy od 1971 r. Przedstawia to panel (a) . Oś pionowa pokazuje cenę 1 dolara amerykańskiego wyrażoną w walucie kanadyjskiej. Kursy walut mogą wykazywać silne wahania w górę i w dół, choć mogą również pozostawać względnie stałe w relatywnie długim okresie. W 1971 r. dolar amerykański kosztował niemal równo jednego dolara kanadyjskiego i jego kurs nie zmieniał się w zasadzie przez kolejne pięć lat. W 1977 r. nastąpiła aprecjacja (umocnienie) dolara amerykańskiego i kurs walutowy wzrósł do 1,09 CAD/USD. Trend ten utrzymał się w kolejnym roku, kiedy to kurs dolara amerykańskiego wyniósł 1,19 dolara kanadyjskiego, po czym znowu ustabilizował się na kolejne pięć lat. Z podobną sytuacją (tj. aprecjacją dolara) mieliśmy do czynienia w roku 1986. Z kolei w 1991 r. miała miejsce deprecjacja (osłabienie) dolara amerykańskiego i kurs walutowy spadł do 1,15 CAD/USD. Na początku roku 2002 wystąpiła silna aprecjacja (umocnienie) dolara amerykańskiego i kurs walutowy wzrósł do 1,60 CAD/USD. Potem spadł do ok. 1,20 CAD/USD w 2009 r., następnie gwałtownie wzrósł i spadł w latach 2009 i 2010. W maju 2017 r. dolar amerykański kosztował 1,36 dolara kanadyjskiego, po czym w kolejnych latach jego kurs podlegał silnym wahaniom, aby w roku 2021 wynieść 1,27 dolara kanadyjskiego. Jednostki, w których wyrażamy kursy walutowe, mogą być mylące, ponieważ kurs wymiany dolara amerykańskiego mierzymy za pomocą innej waluty, np. dolara kanadyjskiego. Kursy walutowe zawsze wyrażają cenę jednej waluty w jednostkach innej waluty. Aprecjacja (umocnienie) a deprecjacja (osłabienie) waluty Kursy walutowe krajów nawet sąsiadujących ze sobą mogą wykazywać duże wahania w krótkim okresie, tak jak to miało miejsce w przypadku USA i Kanady. Przyglądając się uważnie zmianom kursów na obu panelach, można wyraźnie zobaczyć, że panel (a) jest lustrzanym odbiciem panelu (b). A zatem przy porównywaniu kursów walut dwóch krajów (w tym przypadku Stanów Zjednoczonych i Kanady) deprecjacja (lub osłabienie) waluty jednego państwa jest jednocześnie aprecjacją (lub umocnieniem) waluty drugiego. (Źródło: Dane ekonomiczne Rezerwy Federalnej https://research.stlouisfed.org/fred2/series/EXCAUS). Z porównania kursów wymiany między dwiema walutami wynika, że aprecjacja lub umocnienie jednej musi oznaczać deprecjację lub osłabienie drugiej. Panel (b) pokazuje kurs wymiany dolara kanadyjskiego wyrażony w dolarach amerykańskich. Jak widać, kurs dolara amerykańskiego wyrażony w dolarach kanadyjskich, przedstawiony na panelu (a) , jest lustrzanym odbiciem kursu dolara kanadyjskiego mierzonego w dolarach amerykańskich, pokazanego na panelu (b) . Spadek relacji wymiennej CAD/USD oznacza wzrost relacji wymiennej USD/CAD i odwrotnie. Jeśli rozpatrujemy zmiany ceny typowego dobra lub usługi (chleba, butów, nieruchomości lub pracy), jasne jest to, że wyższe ceny przynoszą korzyści sprzedającym i pogarszają sytuację kupujących, podczas gdy niższe ceny przynoszą korzyści kupującym i pogarszają sytuację sprzedawców. W przypadku kursów walutowych warto prześledzić, jak silniejsza lub słabsza waluta wpłynie na sytuację różnych uczestników rynku. Rozważmy zatem wpływ silniejszego polskiego złotego na sześć różnych kategorii uczestników rynku walutowego, co przedstawia . Są to odpowiednio: (1) polscy eksporterzy sprzedający towary za granicę; (2) eksporterzy z krajów trzecich sprzedający towary w Polsce; (3) polscy turyści wyjeżdżający za granicę; (4) zagraniczni turyści odwiedzający Polskę; (5) polscy inwestorzy realizujący inwestycje bezpośrednie lub portfelowe za granicą; (6) inwestorzy zagraniczni realizujący inwestycje bezpośrednie lub portfelowe w Polsce. Jak zmiana kursu walutowego wpływa na różnych uczestników rynku walutowego? Zmiany kursów walutowych wpływają na eksporterów, turystów i międzynarodowych inwestorów na różne sposoby. Dla polskiej firmy sprzedającej towary za granicę mocniejszy złoty jest niekorzystny. Silny złoty oznacza, że waluty obce ulegają osłabieniu. Załóżmy, że koszt wytworzenia będącego polskim hitem eksportowym „cudaka” wraz z godziwą kupiecką marżą wynosi 100 zł. Jeśli kurs euro wyrażony w złotych wynosi 5, to „cudak” na niemieckim rynku będzie kosztował 20 euro. Aprecjacja kursu złotego oznacza, że teraz za 1 euro można otrzymać tylko 4 zł. Aby pokryć koszty produkcji i osiągnąć zysk, przedsiębiorstwo sprzedające „cudaki” w Niemczech musi teraz zażądać za nie 25 euro, co oczywiście będzie zmniejszać zainteresowanie tym produktem. Jak łatwo zauważyć, kiedy eksporter uzyskuje walutę obcą poprzez sprzedaż towarów za granicą, a następnie wymienia ją na złote, aby pokryć poniesione koszty, silniejszy złoty oznacza, że obcą walutę przedsiębiorstwo wymieni na mniej złotych niż w sytuacji, w której polska waluta nie uległaby wzmocnieniu. W takiej sytuacji zysk przedsiębiorstwa wyrażony w złotych będzie niższy lub nie będzie go wcale. W rezultacie firma może zdecydować się na ograniczenie eksportu lub podnieść cenę sprzedaży, co również spowoduje zmniejszenie eksportu. Tak oto silniejsza waluta krajowa zmniejsza eksport danego kraju. I odwrotnie, dla zagranicznej firmy eksportującej towary do Polski silniejszy złoty jest zjawiskiem korzystnym. Za każdego złotego zarobionego na sprzedaży eksportowej uzyska bowiem więcej jednostek waluty krajowej. W rezultacie mocniejszy złoty oznacza, że eksporter z kraju trzeciego osiągnie większe zyski. Firma będzie dążyć do zwiększenia sprzedaży w Polsce, np. poprzez obniżkę cen. W ten sposób silniejszy złoty powoduje, że konsumenci w Polsce będą kupować więcej towarów wytworzonych poza granicami, zwiększając wielkość polskiego importu. Dla wyjeżdżającego za granicę polskiego turysty, który musi wymienić złote na obcą walutę, umocnienie złotego jest korzystne. Za każdego złotego turysta otrzymuje więcej waluty obcej, zatem koszt pobytu za granicą liczony w złotych jest dla niego niższy. Gdy waluta danego kraju podlega aprecjacji, opłaca się wyjeżdżać za granicę. Wyobraź sobie turystę z USA, który zaoszczędził 5000 dol. na wycieczkę do Republiki Południowej Afryki (RPA). W 2010 r. za 1 dol. można było kupić 7,3 południowoafrykańskiego randa, więc turysta miał do wydania 36 500 randów. W 2012 r. za 1 dol. można było kupić 8,2 randa, więc turysta miał do wydania 41 000 randów. W 2015 r. 1 dol. kosztował już prawie 13 randów. A zatem im bardziej wartościowy dolar, tym atrakcyjniejszy był dla Amerykanów wyjazd do RPA. W przypadku zagranicznych turystów odwiedzających Polskę lub USA sytuacja jest odwrotna. Silniejszy złoty (dolar amerykański) oznacza, że ich własne waluty są słabsze. Tak więc wymieniając własną walutę na złote lub dolary, uzyskują mniej złotych (dolarów) niż wcześniej. Kiedy waluta danego kraju jest silna, nie jest to szczególnie dobry czas na wizyty w nim zagranicznych turystów. Mocniejszy złoty pogarsza sytuację polskiego inwestora finansowego, który już ulokował pieniądze w innym kraju. Polski podmiot dokonujący inwestycji za granicą musi najpierw wymienić złote na walutę obcą, zainwestować w obcym kraju, a następnie wymienić obcą walutę z powrotem na złote. Jeśli w międzyczasie złoty stanie się silniejszy, a waluta obca się osłabi, to gdy inwestor będzie chciał uzyskać z powrotem złote, stopa zwrotu z tej inwestycji będzie niższa w stosunku do założeń przyjętych w momencie jej dokonywania. Jednak mocniejszy złoty zwiększa stopę zwrotu z inwestycji realizowanej przez inwestora zagranicznego na terenie Polski. Zagraniczny inwestor wymienia walutę krajową na złote, inwestuje w Polsce, a później planuje powrót do swojej waluty krajowej. Jeśli w okresie między tymi operacjami złoty się umocni, to gdy nadejdzie czas wymiany złotych z powrotem na walutę krajową, inwestor zagraniczny uzyska jej więcej, niż oczekiwał w momencie dokonywania inwestycji. Wszystkie poprzednie akapity dotyczą sytuacji, gdy złoty się umacnia. Pierwsza kolumna zawiera syntetyczne podsumowanie tego, czy umocnienie złotego jest, czy też nie jest korzystne dla danej grupy uczestników rynku walutowego. W poniższej ramce „Krok po kroku” omówiona została sytuacja odwrotna, czyli deprecjacja złotego. Skutki osłabienia złotego Przeanalizujmy wpływ słabszego złotego na polskiego eksportera, zagranicznego eksportera sprzedającego towar w Polsce, polskiego turystę wyjeżdżającego za granicę, zagranicznego turystę przyjeżdżającego do Polski, polskiego inwestora lokującego środki finansowe za granicą i zagranicznego inwestora dokonującego inwestycji w Polsce. Krok 1. Popyt na polski eksport jest funkcją ceny wyrażonej w walucie obcej. Cena eksportowanego towaru w walucie obcej zależy od ceny wyrażonej w złotych i kursu walutowego między złotym a walutą obcą. Na przykład samochód marki Fiat kosztuje w Polsce 75 000 zł. Kiedy jest sprzedawany w Wielkiej Brytanii, cena w funtach brytyjskich wynosi 75 000 zł / 5,5 zł/GBP, czyli 13 636 GBP. Kurs walutowy wpływa na cenę, którą płacą obcokrajowcy za towary eksportowane z Polski. Jeśli złoty podlega deprecjacji (słabnie), funt zyskuje na wartości. Jeśli kurs walutowy funta rośnie do 6 zł za funta, cena wspomnianego fiata wynosi 75 000 zł / 6 zł/GBP = 12 500 GBP. Słabszy złoty oznacza, że za jednostkę waluty obcej można kupić więcej złotych, czyli że eksport z Polski jest tańszy. Słabszy złoty prowadzi do wzrostu eksportu z Polski. Dla brytyjskiego eksportera wynik jest odwrotny. Krok 2. Angielski browar jest zainteresowany sprzedażą piwa do polskiej sieci sklepów Żabka. Jeśli cena sześciopaku piwa Ale wynosi 6 GBP, a kurs wymiany jest równy 5,5 zł za funta, cena w Żabce wyniesie 6,00 × 5,5 zł/GBP = 33 zł za sześciopak. Jeśli złoty osłabi się do 6 zł za funt, cena sześciopaku wzrośnie do 6 × 6 zł/GBP = 36 zł. Z perspektywy polskich nabywców słabszy złoty oznacza, że waluta obca jest droższa, czyli towary zagraniczne również będą droższe. Prowadzi to do spadku importu do Polski, co jest niekorzystne dla zagranicznego eksportera, ale stanowi korzystną okoliczność dla polskich browarów bezpośrednio konkurujących z brytyjskim producentem piwa. Krok 3. Przeanalizuj teraz sytuację polskich turystów wyjeżdżających za granicę. Znajdują się w takiej samej sytuacji jak polski importer towarów – kupują towar z zagranicy, w tym przypadku zagraniczną wycieczkę. Słabszy złoty oznacza, że ich podróż będzie droższa, ponieważ dany wydatek w obcej walucie (np. rachunek za hotel) pochłonie więcej złotych. W rezultacie turysta może skrócić pobyt za granicą, a nawet całkowicie zrezygnować z wycieczki i zamiast wyjazdu do Turcji wybrać Hel. Krok 4. Dla zagranicznego turysty podróżującego do Polski słabszy złoty jest dobrodziejstwem. Oznacza bowiem, że waluta posiadana przez turystę umocniła się, więc koszt podróży do Krakowa lub Wrocławia będzie niższy. W efekcie cudzoziemcy mogą zdecydować się na dłuższy pobyt w Polsce, a ich liczba może być większa. Krok 5. Polski inwestor lokujący środki za granicą będzie z kolei zadowolony w sytuacji, w której złoty osłabi się już po dokonaniu przez niego inwestycji. Jeśli zakupi papiery wartościowe za 550 zł przy kursie walutowym równym 5,5 zł/GBP, to wartość inwestycji w funtach wyniesie 100. Deprecjacja złotego, czyli zmiana poziomu kursu do 6 zł za funta, będzie oznaczała, że po sprzedaży papierów wartościowych będzie dysponował 600 zł. Inwestycja będzie zyskowna nawet wtedy, gdy pominiemy spodziewaną stopę zwrotu (odsetki lub wzrost kursu akcji). Krok 6. Zagraniczni inwestorzy lokujący środki finansowe w Polsce będą natomiast niezadowoleni z osłabienia się złotego, jeśli stanie się to już po tym, jak dokonali swojej inwestycji. Lokując 100 funtów na GPW, mogli nabyć akcje o wartości 550 zł. Jeśli dojdzie do deprecjacji złotego (np. do poziomu 6 zł/GBP), to wycofując się z Polski, wymienią złote tylko na niecałe 92 funty (pomijając osiągniętą stopę zwrotu). Zapewne już wiesz, kim są główni gracze na rynku walutowym. Należą do nich przedsiębiorstwa zajmujące się handlem międzynarodowym, turyści planujący wycieczki zagraniczne, międzynarodowi inwestorzy finansowi, banki i inni dealerzy walutowi. W następnym podrozdziale wyjaśnimy, w jaki sposób podmioty aktywne na rynku walutowym mogą oddziaływać na popyt i podaż. Pozwoli to zrozumieć przyczyny umacniania się i osłabiania waluty (do tych pojęć nawiązuje też poniższa ramka „Poznaj szczegóły”). Dlaczego mocniejsza waluta niekoniecznie jest lepsza? Jednym z powszechnych nieporozumień dotyczących kursów walutowych jest to, że silniejsza (inaczej mówiąc: mocniejsza lub ulegająca aprecjacji) waluta musi być lepsza niż waluta słabsza (inaczej mówiąc: ulegająca deprecjacji). W końcu silny jest lepszy niż słaby, czyż nie? Nie daj się jednak zmylić terminologii. Kiedy waluta staje się silniejsza, czyli można za nią kupić więcej innych walut, jednym podmiotom w gospodarce przynosi to korzyść, a inne tracą. Silniejsza waluta niekoniecznie jest lepsza, jest po prostu inna. Podsumowanie Na rynku walutowym ludzie i przedsiębiorstwa wymieniają jedną walutę na inną. Popyt na złote pochodzi od polskich eksporterów, którzy przychody uzyskane w obcej walucie chcą wymienić z powrotem na złote. Zagranicznych turystów, którzy potrzebują złotych, aby móc przyjechać do Polski, a dysponują walutą obcą. I wreszcie zagranicznych inwestorów pragnących dokonać w Polsce inwestycji finansowych. Podaż złotych na rynku walutowym pochodzi od: (1) zagranicznych przedsiębiorstw, które eksportują swoje towary do Polski i chcą przewalutować przychody na swoją walutę krajową; (2) polskich turystów wyjeżdżających za granicę i (3) inwestorów z Polski, którzy pragną ulokować kapitał za granicą. Sytuację, w której za jednostkę waluty kraju A można kupić więcej waluty kraju B, nazywamy aprecjacją lub umocnieniem waluty kraju A w stosunku do waluty kraju B. Z kolei jeśli za jednostkę waluty kraju A można kupić mniej waluty kraju B, to ta pierwsza osłabiła się lub uległa deprecjacji w stosunku do drugiej. Jeśli waluta kraju A umocniła się lub uległa aprecjacji w stosunku do waluty kraju B, to waluta kraju B musiała osłabić się lub ulec deprecjacji w stosunku do waluty kraju A. Silniejsza waluta kraju A szkodzi jego eksporterom, ale jest korzystna dla przedsiębiorstw z kraju B sprzedających swoje towary do kraju A. Z kolei słabsza waluta kraju A jest korzystna dla jego eksporterów, zaś szkodzi przedsiębiorstwom z kraju B eksportującym produkty do kraju A. Pytania sprawdzające W jaki sposób silniejsze euro wpłynie na następujące podmioty: brytyjskie przedsiębiorstwo eksportujące produkty do Niemiec, holenderskiego turystę odwiedzającego Chile, grecki bank kupujący kanadyjskie obligacje rządowe, francuską firmę eksportującą wyroby do Niemiec. Brytyjczycy używają funta szterlinga, podczas gdy Niemcy wykorzystują euro. Brytyjski eksporter otrzyma za swoje produkty euro, które będzie musiał wymienić na funty. Silniejsze euro oznacza więcej funtów za euro, więc sytuacja brytyjskiego eksportera się poprawi. Ponadto umocnienie euro powoduje, że towary importowane z Wielkiej Brytanii są dla Niemców tańsze, co zwiększa popyt na eksport z Wielkiej Brytanii. Z obu tych powodów silniejsze euro jest korzystne dla brytyjskiego eksportera. Holendrzy używają euro, podczas gdy Chilijczycy peso, więc holenderski turysta musi wymienić euro na chilijskie peso. Umocnienie się euro oznacza, że turysta dostanie więcej peso za euro. W rezultacie holenderski turysta będzie miał wakacje tańsze niż planował, co jest dla niego sytuacją korzystną. Grecy używają euro, a Kanadyjczycy dolarów kanadyjskich. Umocnienie się euro oznacza, że za jedno euro można kupić więcej dolarów kanadyjskich. W rezultacie grecki bank za daną kwotę euro będzie mógł kupić więcej kanadyjskich obligacji. Grecki bank odnosi więc korzyść. Ponieważ zarówno Francuzi, jak i Niemcy używają euro, jego umocnienie się w stosunku do innych walut nie powinno mieć wpływu na francuskiego eksportera. Sprawdź wiedzę Czym jest rynek walutowy? Wymień grupy nabywców i sprzedawców na rynku walutowym, na którym handluje się złotym. Jaka jest różnica między bezpośrednimi inwestycjami zagranicznymi a inwestycjami portfelowymi? Czym są transakcje zabezpieczające (hedging)? Co to znaczy, że waluta ulega aprecjacji? Ulega deprecjacji? Umacnia się? Osłabia? Ćwicz myślenie krytyczne Jakie są korzyści związane z „dolaryzacją” lub „euroizacją” dla kraju, który nie ma prawa emitować tej waluty? Czy możesz wymienić jakieś poważne wady „dolaryzacji” („euroizacji”)? Jak w kraju, który dokonał „dolaryzacji” („euroizacji”), działa twoim zdaniem bank centralny? Problemy Funt brytyjski kosztował 2 dolary amerykańskie w 2008 r. i 1,27 dolara w 2017 r. Czy funt umocnił się, czy osłabił w stosunku do dolara? Czy dolar uległ aprecjacji, czy deprecjacji w stosunku do funta? aprecjacja (ang. appreciation ) sytuacja, w której wartość waluty danego kraju rośnie w stosunku do wartości innych walut; zwana także „umocnieniem” deprecjacja (ang. depreciation ) sytuacja, w której wartość waluty danego kraju maleje w stosunku do wartości innych walut; zwana także „osłabieniem” dolaryzacja (ang. dollarize ) sytuacja, w której kraj inny niż Stany Zjednoczone wykorzystuje dolara amerykańskiego jako własną walutę, jednak bez prawa do jej emisji bezpośrednia inwestycja zagraniczna (BIZ) (ang. foreign direct investment (FDI) ) zakup pakietu przekraczającego 10% udziałów w zagranicznym przedsiębiorstwie lub założenie nowego przedsiębiorstwa za granicą rynek dewizowy zob. rynek walutowy rynek walutowy (ang. foreign exchange market ) rynek, na którym dokonywana jest wymiana jednej waluty na inną transakcja zabezpieczająca (ang. hedge , hedging ) transakcja finansowa, która pozwala przedsiębiorstwom wykluczyć ryzyko niekorzystnych zmian kursów walutowych inwestycja portfelowa (ang. portfolio investment ) inwestycja finansowa dokonywana poza granicami kraju macierzystego w formie zakupu papierów dłużnych (obligacji i bonów skarbowych), złożenia depozytu w banku lub zakupu pakietu udziałów w zagranicznym przedsiębiorstwie mniejszego niż 10%", "section": "Jak działają rynki walutowe", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przesunięcia krzywych popytu i podaży na rynkach walutowych Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić sposób funkcjonowania rynku walutowego Zdefiniować i wskazać przykłady arbitrażu Zrozumieć znaczenie parytetu siły nabywczej przy porównaniach międzynarodowych Uczestnikami rynku walutowego są przedsiębiorstwa, gospodarstwa domowe i inwestorzy, którzy kupują i oferują do sprzedaży walutę za pośrednictwem swoich banków i innych dealerów walutowych. Panel (a) przedstawia ten rynek z perspektywy dolara. Oś pionowa pokazuje kurs walutowy dolara amerykańskiego, który wyrażony jest w peso. Oś pozioma wskazuje na liczbę dolarów amerykańskich wymienianych na peso. Krzywa popytu (D) na dolary przecina się z krzywą ich podaży (S) w punkcie równowagi (E), czyli przy kursie wymiany 10 peso za dolara i całkowitym wolumenie obrotu równym 8,5 mld dol. Popyt i podaż na rynku walutowym, na którym kształtuje się kurs dolara amerykańskiego i meksykańskiego peso Panel (a) Na osi poziomej odłożona została liczba dolarów podlegających wymianie rynkowej, zaś na osi pionowej kurs wymiany mierzony liczbą peso, którą trzeba zaoferować za 1 dol. Panel (b) Na osi poziomej odłożona została liczba peso podlegających wymianie rynkowej, zaś na osi pionowej kurs wymiany mierzony liczbą dolarów, które trzeba zaoferować za 1 peso. Na obu panelach kurs równowagi występuje w punkcie E, na przecięciu krzywej popytu (D) i krzywej podaży (S). Panel (b) przedstawia te same informacje o popycie na walutę i jej podaży co panel (a), ale z perspektywy meksykańskiego peso. Oś pionowa pokazuje kurs walutowy meksykańskiego peso mierzony w dolarach amerykańskich, natomiast oś pozioma wskazuje na liczbę peso będących przedmiotem transakcji rynkowych. Krzywa popytu (D) na peso przecina się z krzywą podaży (S) peso w punkcie równowagi (E). Równowadze odpowiada kurs walutowy równy 10 centów amerykańskich (tj. 0,1 dol.) za 1 meksykańskie peso i całkowity wolumen obrotu w wysokości 85 mld peso. Zwróć uwagę, że jeden kurs wymiany jest odwrotnością drugiego: 10 peso za dolara jest tym samym, co 10 centów za peso. Na rzeczywistym rynku walutowym prawie cały handel meksykańskimi peso odbywa się w dolarach amerykańskich (a nie np. w euro czy w polskim złotym). Jakie czynniki powodują przesunięcie krzywych popytu i podaży, prowadząc w ten sposób do zmiany kursu walutowego w równowadze? Odpowiedź na to pytanie znajduje się w następnej sekcji. Oczekiwania dotyczące przyszłych kursów walutowych Do z najważniejszych czynników zwiększających popyt na daną walutę na rynku walutowym należy przekonanie, że jej wartość wkrótce wzrośnie. Jednym z głównych powodów wzrostu podaży danej waluty jest oczekiwanie, że jej wartość wkrótce spadnie. Wyobraź sobie, że wiodąca gazeta biznesowa, taka jak „Wall Street Journal” lub „Financial Times”, publikuje artykuł przewidujący aprecjację meksykańskiego peso. przedstawia prawdopodobne skutki takiego artykułu. Krzywa popytu na meksykańskie peso przesuwa się w prawo, z położenia D 0 do D 1 , ponieważ inwestorzy są bardziej zainteresowani zakupem peso. Jednocześnie krzywa podaży peso przesuwa się w lewo, z położenia S 0 do S 1 , ponieważ inwestorzy są mniej skłonni do sprzedawania posiadanych peso. W rezultacie punkt równowagi przesuwa się z E 0 do E 1 , a kurs równowagi rośnie tym samym z 12 centów/peso do 14 centów/peso. Reakcja rynku walutowego na zmianę oczekiwań dotyczących kształtowania się kursu w przyszłości Ogłoszenie, że kurs peso prawdopodobnie się umocni, prowadzi do wzrostu obecnego popytu na peso ze strony inwestorów, którzy chcą skorzystać na aprecjacji. Podobnie inwestorzy będą mniej skłonni dostarczać peso na rynek walutowy, co zmniejszy podaż. Jednoczesne przesunięcia krzywej popytu w prawo, zaś krzywej podaży w lewo powodują natychmiastową aprecjację kursu walutowego. przedstawia również pewne szczególne cechy krzywych popytu i podaży na rynku walutowym. W przeciwieństwie do wszystkich innych przypadków popytu i podaży, na rynku walutowym popyt i podaż zazwyczaj zmieniają się w tym samym czasie. Grupy uczestników rynku walutowego, takie jak przedsiębiorstwa i inwestorzy, składają się zarówno z kupujących, jak i sprzedających. Oczekiwania dotyczące kształtowania się kursu walutowego konkretnej waluty w przyszłości wpływają zarówno na kupujących, jak i sprzedających, czyli oddziałują jednocześnie na popyt i podaż waluty. Wywołane wpływem jednego czynnika przesunięcia krzywych popytu i podaży odbywają się w przeciwnych kierunkach (wzrostowi popytu odpowiada spadek podaży i odwrotnie). A zatem powodują one zmianę kursu walutowego w tym samym kierunku. W powyższym przykładzie oba przesunięcia krzywych prowadzą do umocnienia się peso. Natomiast działają one przeciwnie, jeśli chodzi o kierunek zmian wolumenu obrotów. Rosnący popyt na peso wywołuje wzrost obrotów, podczas gdy malejąca podaż peso powoduje jego spadek. W tym konkretnym przykładzie obie zmiany się znoszą i wolumen obrotów pozostaje niezmieniony, jednak w innych przypadkach rezultatem może być spadek lub wzrost wolumenu obrotów. Przykład ten pomaga również wyjaśnić, dlaczego kursy walut często zmieniają się dość znacząco w krótkim okresie, np. w ciągu kilku tygodni lub nawet dni. Kiedy inwestorzy spodziewają się umocnienia danej waluty w przyszłości, kupują ją, wywołując natychmiastową aprecjację. Zwyżka ceny waluty może wywołać w innych inwestorach przeświadczenie, że będzie się ona dalej umacniać, a to z kolei rzeczywiście doprowadzi do jeszcze większej aprecjacji. Podobnie obawa, że waluta może się szybko osłabić, prowadzi do jej natychmiastowego osłabienia, co często wzmacnia pogląd, że waluta będzie ulegać dalszej deprecjacji. Zatem przekonania na temat przyszłej ścieżki zmian kursów walutowych mogą się wzmacniać, przynajmniej przez pewien czas, a duża część obrotów na rynkach walutowych wynika z działań dealerów, którzy próbują przechytrzyć się nawzajem i lepiej odczytać nastroje podmiotów rynkowych w zakresie tego, w jakim kierunku kursy walutowe będą się dalej zmieniać. Stopa zwrotu z inwestycji walutowych a stopa procentowa w gospodarce Motywacją do inwestycji, zarówno tych krajowych, jak i zagranicznych, jest zysk. Jeśli stopy procentowe, a tym samym stopa zwrotu z inwestycji finansowych, w danym kraju wydają się relatywnie wysokie, będą one przyciągały kapitał z zagranicy. I odwrotnie, jeśli stopy zwrotu w danym kraju wydają się stosunkowo niskie, wówczas kapitał będzie odpływał do innych państw. Zmiany oczekiwanej stopy zwrotu prowadzą do przesunięć krzywych popytu i podaży na rynku walutowym. Załóżmy, że stopy procentowe w USA rosną. Tym samym oczekiwana stopa zwrotu z inwestycji finansowych w Stanach Zjednoczonych również rośnie. W rezultacie więcej inwestorów będzie zgłaszało chęć zakupu dolarów, aby móc nabyć wyżej oprocentowane amerykańskie aktywa, a mniej inwestorów będzie skłonnych sprzedawać dolary na rynku walutowym. Krzywa popytu na dolary przesunie się w prawo, z położenia D 0 do D 1 , a krzywa podaży dolara w lewo – z S 0 do S 1 . Przedstawia to . Nowa równowaga (E 1 ) wystąpi przy kursie wymiany 9 peso za dolara i tej samej liczbie dolarów będących przedmiotem transakcji (8,5 mld dol.). A zatem rosnąca stopa procentowa prowadzi do aprecjacji lub umocnienia się waluty danego kraju, a niższa stopa procentowa w stosunku do innych krajów prowadzi do deprecjacji lub osłabienia waluty. Ponieważ bank centralny może wykorzystywać politykę pieniężną do kształtowania poziomu stóp procentowych, jest on również w stanie wpływać na kursy walutowe. Związek ten omówimy dokładniej w dalszej części niniejszego rozdziału. Reakcja rynku walutowego na wzrost stóp procentowych w USA Wyższa stopa zwrotu z inwestycji w USA sprawia, że posiadanie dolarów jest bardziej atrakcyjne. A zatem krzywa popytu na dolary na rynku walutowym przesuwa się w prawo, z położenia D 0 do D 1 , a krzywa podaży dolara w lewo, z położenia S 0 do S 1 . W nowym punkcie równowagi (E 1 ) dolar jest silniejszy (trzeba za niego zapłacić więcej peso) niż w początkowym stanie równowagi (E 0 ). Liczba dolarów, które są przedmiotem transakcji, pozostaje bez zmian. Zróżnicowanie stóp inflacji Jeśli kraj doświadcza stosunkowo wysokiej inflacji w porównaniu z innymi państwami, wówczas siła nabywcza jego waluty maleje, co zwykle zniechęca podmioty aktywne na rynku walutowym do zgłaszania na nią popytu. pokazuje przykład oparty na rzeczywistych danych. W latach 1986–1987 roczna stopa inflacji w Meksyku przekraczała 200%. Inflacja dramatycznie zmniejszyła siłę nabywczą peso. W efekcie kurs peso również spadł. pokazuje, że popyt na peso na rynku walutowym przesunął się z położenia D 0 do D 1 , zaś podaż peso w tym samym okresie przesunęła się z położenia S 0 do S 1 . Kurs walutowy równoważący rynek spadł z poziomu 2,5 centa za peso w początkowym stanie równowagi (E 0 ) do 0,5 centa za peso w nowym stanie równowagi (E 1 ). Liczba peso, które są przedmiotem transakcji, pozostaje dzięki temu na niezmienionym poziomie. Reakcja rynku walutowego na wzrost inflacji w Meksyku Jeśli kraj doświadcza stosunkowo wysokiej inflacji, siła nabywcza jego waluty maleje, a międzynarodowi inwestorzy są mniej chętni do jej utrzymywania. A zatem wzrost inflacji w Meksyku prowadzi do przesunięcia krzywej popytu na peso z położenia D 0 do D 1 , zaś krzywej podaży peso z S 0 do S 1 . Oba ruchy popytu i podaży powodują silną deprecjację peso. Liczba peso, które są przedmiotem transakcji, pozostaje w tym przykładzie bez zmian, ale w rzeczywistości również ona może wzrosnąć lub zmniejszyć się, w zależności od skali przesunięć obu krzywych. Odwiedź poniższą stronę internetową , aby dowiedzieć się więcej o indeksie Big Mac. Parytet Siły Nabywczej (PSN) W dłuższym horyzoncie czasowym kursy walutowe muszą mieć pewien związek z siłą nabywczą waluty w odniesieniu do towarów będących przedmiotem handlu międzynarodowego. Gdyby przy danym poziomie kursu walutowego kupno np. surowców będących przedmiotem handlu międzynarodowego – takich jak ropa, ruda uranu czy gaz ziemny – było znacznie tańsze w jednym kraju niż w innych, przedsiębiorstwa zaczęłyby kupować je taniej w tym właśnie kraju i sprzedawać na wszystkich innych rynkach lokalnych, realizując zysk w zasadzie bez żadnego ryzyka. Na przykład jeśli dolar amerykański jest wart 1,30 dolara kanadyjskiego, to uncja srebra, której cena wynosi 20 USD w Stanach Zjednoczonych, powinna być sprzedawana za 26 CAD w Kanadzie. Gdyby cena tego surowca w Kanadzie była znacznie niższa niż 26 CAD za uncję, to przynajmniej niektórzy amerykańscy przedsiębiorcy wymieniliby swoje dolary amerykańskie na dolary kanadyjskie i kupowali srebro w Kanadzie. Gdyby cena metalu w Kanadzie była znacznie wyższa niż 26 CAD, to przynajmniej niektórzy nabywcy z Kanady wymieniliby swoje dolary kanadyjskie na dolary amerykańskie i udali się do Stanów Zjednoczonych, aby kupić tam srebro. Jest to zachowanie, które określa się mianem arbitrażu (ang. arbitrage ), czyli wykorzystywania różnic w cenach dóbr w poszczególnych krajach w taki sposób, aby kupować je tam, gdzie są tańsze, i sprzedawać tam, gdzie ich cena jest wyższa. Dzięki arbitrażowi ceny surowców i innych podlegających standaryzacji towarów z czasem się wyrównują i są takie same we wszystkich krajach (oczywiście przy uwzględnieniu kursów walutowych i różnic w kosztach transportu). Mechanizm ten nosi również nazwę prawa jednej ceny. Kurs walutowy, który zrównuje ceny towarów będących przedmiotem obrotu międzynarodowego w różnych krajach, nazywamy kursem według parytetu siły nabywczej ( PSN ) (ang. purchasing power parity (PPP) ). Grupa ekonomistów z Międzynarodowego Programu Porównawczego (ang. International Comparison Program ) prowadzonego przez Bank Światowy oblicza kurs wymiany wg PSN dla wszystkich krajów świata na podstawie szczegółowych badań cen i ilości towarów będących przedmiotem handlu międzynarodowego. Kurs liczony wg parytetu siły nabywczej ma dwie istotne zalety. Po pierwsze, ekonomiści często używają kursów wg PSN do międzynarodowych porównań PKB i innych zmiennych ekonomicznych. Wyobraź sobie, że przygotowujesz tabelę przedstawiającą wartość produktu krajowego brutto w wielu krajach w ciągu ostatniej dekady i dla ułatwienia przeliczasz wszystkie wartości na dolary amerykańskie. Obliczając wartość PKB dla Japonii, należy użyć kursu walutowego jen/dolar. Czy jednak lepiej jest stosować kurs rynkowy, czy kurs wg PSN? Rynkowe kursy walut wykazują ciągłe wahania. W 2014 r. kurs wymiany wynosił 105 jenów za dolara, ale pod koniec 2015 r. za dolara amerykańskiego trzeba było zapłacić 121 jenów. Dla uproszczenia załóżmy, że PKB Japonii wyniósł 500 bln jenów zarówno w 2014, jak i 2015 r. Jeśli użyjesz rynkowych kursów walutowych, PKB Japonii wyniesie 4,8 bln dol. w 2014 r. (czyli 500 bln jenów/105 jenów za dolara) i 4,1 bln dol. w 2015 r. (czyli 500 bln jenów/121 jenów za dolara). Na pierwszy rzut oka może się wydawać, że wielkość japońskiej gospodarki uległa dużej zmianie. Taki wniosek jest jednak mylący, gdyż wykorzystaliśmy rynkowy kurs walutowy, który często podlega silnym krótkookresowym wahaniom. Natomiast kursy wg PSN pozostają dość stałe i z roku na rok zmieniają się nieznacznie lub utrzymują na niezmienionym poziomie. Drugą zaletą parytetu siły nabywczej jest to, że kursy walutowe często zbliżają się do niego w miarę upływu czasu. W krótkim i średnim okresie, gdy rynkowe kursy walutowe dostosowują się do względnych zmian stóp inflacji i stóp procentowych, jak również oczekiwań dotyczących przyszłości, mogą się one nawet dość znacznie różnić od kursu wg PSN. Jednak znajomość PSN pozwoli ci nie tylko śledzić odchylenia rynkowych kursów walutowych od pewnych długookresowych trendów, ale też przewidywać ich wysokość w przyszłości. Podsumowanie W skrajnie krótkim okresie, od kilku minut do kilku tygodni, spekulanci próbujący kupować waluty, które ich zdaniem będą się umacniać, i sprzedawać te, o których sądzą, że będą się osłabiać, wpływają na kursy walutowe. Takie spekulacje mogą zaowocować samospełniającą się przepowiednią, gdyż powszechny pogląd podmiotów rynkowych na aprecjację lub deprecjację kursu konkretnej waluty rzeczywiście do takiego zjawiska doprowadzi. W stosunkowo krótkim okresie różnice w stopach procentowych określających rentowność inwestycji pomiędzy krajami również wpływają na kursy walutowe. Kraje o względnie wysokich realnych stopach zwrotu (np. wysokich stopach procentowych) będą doświadczały aprecjacji swoich walut, ponieważ przyciągają kapitał z zagranicy. Natomiast państwa ze względnie niskimi stopami zwrotu odczują deprecjację swoich walut, ponieważ kapitał będzie z nich odpływał do innych państw. W średnim okresie, od kilku miesięcy do kilku lat, na kursy walutowe wpływają też stopy inflacji. Kraje o stosunkowo wysokiej inflacji będą doświadczały mniejszego popytu na swoją walutę niż te o niższej inflacji, a tym samym ich waluta będzie się osłabiać (podlegać deprecjacji). W długim okresie obejmującym wiele lat kursy walutowe zbliżają się do poziomu zgodnego z parytetem siły nabywczej (PSN), czyli kursu wymiany powodującego, że ceny towarów będących przedmiotem handlu międzynarodowego wyrażone w różnych walutach, po przeliczeniu wg kursu zgodnego z PSN, są zbliżone we wszystkich krajach. Pytania sprawdzające Załóżmy, że niepokoje polityczne w Egipcie powodują, iż spodziewana jest deprecjacja funta egipskiego. Jak wpłynie to na popyt na funta, jego podaż i kurs walutowy w porównaniu np. z dolarem amerykańskim? Spodziewana deprecjacja waluty powoduje, że ludzie się jej pozbywają. Należy zatem oczekiwać wzrostu podaży funtów i spadku popytu na funty. Rezultatem powinien być spadek wartości funta egipskiego w stosunku do dolara. Załóżmy, że stopy procentowe w USA spadają w porównaniu z resztą świata. Jak ta zmiana wpływa na popyt na dolary, ich podaż i kurs w porównaniu np. z euro? Niższe stopy procentowe w USA sprawiają, że amerykańskie aktywa są mniej pożądane w porównaniu z aktywami dostępnymi w Unii Europejskiej. Należy oczekiwać spadku popytu na dolary i wzrostu ich podaży na rynkach walutowych. W rezultacie trzeba spodziewać się osłabienia (deprecjacji) dolara w stosunku do euro. Załóżmy, że stopa inflacji w Argentynie znacznie spadła w porównaniu do innych krajów. Co prawdopodobnie stanie się z popytem na peso argentyńskie, ich podażą i kursem walutowym peso w stosunku do dolara amerykańskiego? Spadek inflacji w Argentynie w porównaniu z innymi krajami powinien spowodować wzrost popytu na peso, spadek jego podaży i aprecjację na rynkach walutowych. Sprawdź wiedzę Czy podzielane przez większość uczestników rynku walutowego oczekiwanie aprecjacji waluty wpływa na jej obecny kurs? Uzasadnij swoją odpowiedź. Czy wyższa stopa procentowa w danym kraju, przy innych czynnikach niezmienionych, wpływa na kurs walutowy? Uzasadnij swoją odpowiedź. Czy wyższa stopa inflacji w gospodarce, przy innych czynnikach niezmienionych, wpływa na kurs walutowy? Uzasadnij swoją odpowiedź. Wyjaśnij, w jaki sposób obliczany jest kurs walutowy według parytetu siły nabywczej. Ćwicz myślenie krytyczne Jaki będzie wpływ oczekiwanej aprecjacji waluty na rentowność krajowych papierów wartościowych, np. oprocentowanie obligacji rządowych? Wskazówka: Zastanów się, jak zmiany oczekiwanego kursu walutowego i zmiany stóp procentowych wpływają na popyt na walutę i jej podaż. Czy w kraju doświadczającym hiperinflacji jest bardziej, czy mniej prawdopodobne, że kurs walutowy będzie równy parytetowi siły nabywczej w porównaniu z krajem o niskiej stopie inflacji? arbitraż (ang. arbitrage ) proces zakupu dóbr (głównie surowców) w kraju, w którym po uwzględnieniu kursów walutowych są one tanie, i ich sprzedaży w innym, gdzie ich cena jest wyższa parytet siły nabywczej (PSN) (ang. purchasing power parity (PPP) ) wskaźniki poziomu różnic w cenach pomiędzy krajami; kurs wymiany, dzięki któremu ceny towarów będących przedmiotem handlu międzynarodowego są mniej więcej takie same we wszystkich krajach", "section": "Przesunięcia krzywych popytu i podaży na rynkach walutowych", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Skutki makroekonomiczne zmian kursów walutowych Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, w jaki sposób zmiana kursu walutowego oddziałuje na globalny popyt i globalną podaż Wskazać, w jaki sposób zmiana kursu walutowego może wpływać na sektor bankowy oraz wartość udzielanych kredytów Dla banku centralnego kurs walutowy jest istotny z wielu powodów. Po pierwsze, zmiany kursu walutowego wpływają na wielkość popytu globalnego w gospodarce. Po drugie, częste i silne wahania kursu mogą zakłócać handel międzynarodowy i powodować niestabilność systemu bankowego. Jeśli kurs lokalnej waluty będzie się silnie wahał w krótkim okresie, może to doprowadzić do powstania wysokiego deficytu w bilansie obrotów bieżących i generować napływ międzynarodowego kapitału finansowego, który jest niezbędny, aby pokryć ujemne saldo na rachunku obrotów bieżących. W efekcie jeśli międzynarodowi inwestorzy zdecydują się nagle wycofać kapitał i przenieść go do innego kraju, gospodarka może wpaść w głęboką recesję. Omówmy teraz oba te scenariusze. Kursy walutowe, popyt globalny i podaż globalna Handel zagraniczny wiąże się zazwyczaj z ponoszeniem kosztów produkcji w jednej walucie przy jednoczesnym uzyskiwaniu przychodów ze sprzedaży w innej. W rezultacie zmiany kursów walutowych mogą mieć ogromny wpływ na eksport i import, a tym samym na popyt globalny w całej gospodarce. Na przykład w 1999 r., kiedy wprowadzono euro, jego wartość mierzona w dolarach amerykańskich wynosiła 1,06 dol. za jednostkę wspólnej waluty. Do końca 2013 r. kurs walutowy euro wzrósł do 1,37 USD/EUR (co oznacza jednoczesne osłabienie się dolara amerykańskiego). Pod koniec lutego 2017 r. kurs walutowy ponownie spadł do 1,06 USD/EUR. Zastanówmy się, jak te zmiany mogły wpłynąć na francuskie przedsiębiorstwo, które każdego roku ponosi koszty w wysokości 10 mln euro i sprzedaje swoje produkty w Stanach Zjednoczonych za 11 mln dol. W 1999 r., kiedy przedsiębiorstwo zamieniało 11 mln dol. na euro po kursie 1,06 USD/EUR (czyli 11 mln USD × [1 EUR/1,06 USD]), otrzymywało 10,4 mln euro i notowało zyski. W 2013 r., gdy to samo przedsiębiorstwo zamieniało 11 mln dol. na euro po kursie 1,37 USD/EUR (czyli 11 mln USD × [1 EUR/1,37 USD]), otrzymywało ok. 8 mln euro, czyli ponosiło stratę. Na początku 2017 r., przy kursie walutowym na poziomie 1,06 USD/EUR, przedsiębiorstwo znów osiągało zysk, taki sam jak w 1999 r. Przykład ten pokazuje, że mocniejsze euro zniechęca francuską firmę do eksportu, ponieważ koszty produkcji w walucie krajowej rosną w stosunku do przychodów ze sprzedaży uzyskiwanych w innym kraju. Natomiast z punktu widzenia gospodarki USA słabszy dolar sprzyja amerykańskiemu eksportowi . Ponieważ wzrost eksportu skutkuje większym napływem dolarów do amerykańskiej gospodarki, a wzrost importu oznacza większy odpływ dolarów, łatwo jest stwierdzić, że dla gospodarki USA eksport jest „korzystny”, a import „niekorzystny”. Podejście takie pomija jednak rolę kursów walutowych. Jeśli amerykański konsument kupuje japoński samochód za 20 tys. dol. zamiast amerykańskiego za 30 tys. dol., kuszące może być twierdzenie, że nie jest to dobre dla amerykańskiej gospodarki. Jednak japońska firma będzie musiała zarobione dolary wymienić na jeny, aby pokryć koszty produkcji poniesione w Japonii. Ktokolwiek kupi te dolary, będzie musiał użyć ich do zakupu amerykańskich dóbr i usług, więc pieniądze wrócą z powrotem do amerykańskiej gospodarki. Jednocześnie konsumenci oszczędzą pieniądze, kupując tańsze towary importowane, a wygospodarowane dzięki kupnie tańszych aut środki mogą przeznaczyć na inne cele (np. wyprodukowaną w USA żywność lub zakup nieruchomości). Wahania kursów walutowych Kursy walutowe mogą ulegać dużym wahaniom w krótkim okresie. Przykładem jest rupia indyjska, której wartość zmieniła się z 39 rupii za dolara w lutym 2008 r. do 51 rupii za dolara w marcu 2009 r., co oznacza spadek rynkowej wartości tej waluty o ponad jedną czwartą. Analizowane przez nas wcześniej przykłady wskazywały na to, że nawet rozwinięte gospodarczo i sąsiadujące ze sobą kraje, takie jak Stany Zjednoczone i Kanada, mogą odnotowywać znaczne zmiany kursów walutowych na przestrzeni kilku lat, czyli relatywnie krótkiego okresu. W przypadku przedsiębiorstw produkujących przede wszystkim towary na eksport lub firm importujących czynniki wytwórcze, a nawet przedsiębiorstw, które same nie są zaangażowane w handel zagraniczny, ale muszą konkurować z firmami prowadzącymi działalność tego typu, gwałtowne wahania kursów walutowych mogą prowadzić do ogromnych zmian wyników finansowych. Bank centralny może spróbować ograniczać silne wahania kursowe i w ten sposób ułatwiać przedsiębiorstwom ich codzienną działalność, w ramach której nacisk kładziony byłby na zwiększanie produktywności i innowacje, a nie na ciągłe myślenie o sposobie reakcji na wahania kursów walut. Jedna z najbardziej dotkliwych ekonomicznie konsekwencji wahań kursów walutowych może pojawić się w wyniku działań sektora bankowego. Instytucje finansowe denominują większość międzynarodowych pożyczek w kilku ważnych walutach, takich jak dolary amerykańskie, euro czy też jeny japońskie. W krajach, które nie używają tych walut, banki często pożyczają na rynkach międzynarodowych środki w walutach innych państw, np. w dolarach amerykańskich, a następnie oferują lokalnym przedsiębiorstwom i gospodarstwom domowym kredyty w walucie krajowej. Lewa część pokazuje, jak funkcjonuje ten mechanizm. Bank w Tajlandii pożycza milion dolarów amerykańskich. Następnie przelicza dolary na walutę krajową (w przypadku Tajlandii jest to bat) po kursie 40 batów za dolara, po czym udziela tajskiemu przedsiębiorstwu kredytu w batach. Przedsiębiorstwo spłaca kredyt w batach, a bank przelicza je z powrotem na dolary amerykańskie, aby spłacić pierwotną dolarową pożyczkę. Pożyczki międzynarodowe Scenariusz, w ramach którego pozyskuje się środki w walucie obcej i udziela kredytu w walucie lokalnej, widoczny po lewej stronie wykresu, kończy się dla banku sukcesem. Analogiczny scenariusz po prawej stronie – porażką. Proces zaciągania pożyczek w walucie obcej i udzielania kredytów w walucie krajowej może przebiegać bez zaburzeń, o ile kurs walutowy się nie zmienia. Jeśli jednak dolar się umocni, a bat osłabi, pojawi się problem. Prawa strona scenariusza wydarzeń na pokazuje, co się dzieje, gdy bat nieoczekiwanie się osłabi. Tajskie przedsiębiorstwo nadal spłaca kredyt w całości (wraz z odsetkami). Jednak ze względu na zmianę kursu walutowego tajski bank nie może spłacić całej pożyczki (wraz z odsetkami) w dolarach amerykańskich. (Oczywiście gdyby kurs walutowy zmienił się w przeciwnym kierunku, wzmacniając tajską walutę, bank mógłby osiągnąć nieoczekiwanie duży zysk). W latach 1997–1998 kraje Azji Południowo-Wschodniej, m.in. Tajlandia, Korea Płd., Malezja i Indonezja, zanotowały gwałtowną deprecjację swoich walut, w niektórych przypadkach o 50% lub więcej. Państwa te doświadczały wcześniej znacznego napływu zagranicznego kapitału inwestycyjnego (ang. foreign investment capital ), a w połowie lat 90. XX w. wartość kredytów bankowych zwiększała się od 20% do 30% rocznie. Kiedy kursy walutowe w tych krajach uległy deprecjacji, banki nie były w stanie spłacić zaciągniętych wcześniej pożyczek i doszło do bankructwa sektora bankowego. Podobny łańcuch wydarzeń wystąpił w 2002 r. w Argentynie. Kiedy argentyńskie peso straciło na wartości, tamtejsze banki nie były w stanie spłacić kapitału, który wcześniej pożyczyły w dolarach amerykańskich. Banki odgrywają kluczową rolę w każdej gospodarce, ułatwiając transakcje i udzielając pożyczek przedsiębiorstwom i konsumentom. Kiedy większość największych banków danego kraju jednocześnie zbankrutuje (ang. go bankrupt ), pojawia się tam gwałtowny spadek popytu i głęboka recesja. Ponieważ głównym obowiązkiem banku centralnego jest kontrolowanie podaży pieniądza i zapewnienie stabilności systemu finansowego, musi on uważać, aby duża i nieoczekiwana deprecjacja kursu walutowego nie doprowadziła większości banków do bankructwa. Aby uzyskać więcej informacji na ten temat, wróć do . Kursy walutowe a polityka państwa Każde państwo w perspektywie długookresowej preferuje stabilny kurs walutowy, aby zwiększyć skalę handlu międzynarodowego (ang. international trade ) oraz zmniejszyć stopień ryzyka i niepewności w gospodarce. Jednak w krótkim okresie korzystne może okazać się osłabienie kursu walutowego (deprecjacja), aby stymulować popyt globalny i ograniczyć recesję, lub jego umocnienie (aprecjacja), aby zmniejszyć stopę inflacji. Trzeba również pamiętać, że gwałtowne umocnienie się kursu walutowego może znacząco ograniczyć eksport, zaś gwałtowne osłabienie się waluty doprowadzić sektor bankowy na skraj bankructwa. Krótko mówiąc, każdy wybór związany z kursami walutowymi (płynny lub stały kurs walutowy; umocnienie się lub osłabienie waluty) wiąże się z różnymi korzyściami i kosztami dla gospodarki. Podsumowanie Bank centralny musi zwracać uwagę na kursy walutowe z kilku powodów. Kursy walutowe wpływają na import i eksport, a tym samym na popyt globalny w gospodarce. Wahania kursów walutowych mogą sprawiać trudności wielu przedsiębiorstwom, w szczególności bankom. Zmianom kursu walutowego może towarzyszyć niezrównoważony przepływ międzynarodowego kapitału finansowego. Pytania sprawdzające W niniejszym rozdziale wyjaśniono, że „jeden z najbardziej destrukcyjnych ekonomicznie skutków wahań kursów walutowych może wystąpić w sektorze bankowym”, jeśli banki zaciągają pożyczki za granicą, aby udzielać pożyczek w kraju. Dlaczego jest mniej prawdopodobne, że będzie to problem dla amerykańskiego systemu bankowego? Problem pojawia się, gdy banki pożyczają walutę obcą, ale udzielają kredytów w walucie krajowej. Ponieważ aktywa banków (udzielone kredyty) są denominowane w walucie krajowej, a ich długi (pożyczki) w obcej, to kiedy waluta krajowa się osłabia, długi banków wyrażone w walucie krajowej rosną. Jeśli krajowa waluta znacznie straci na wartości, jak to miało miejsce podczas azjatyckiego kryzysu finansowego, system bankowy może upaść. Jest mało prawdopodobne, aby ten problem dotyczył banków amerykańskich, ponieważ nawet jeśli pożyczają one pieniądze z zagranicy, zwykle i tak są to dolary. Pamiętaj, że w światowej gospodarce krążą biliony dolarów. Ponieważ denominowane są w nich zarówno aktywa, jak i długi, zmiana wartości dolara nie spowoduje upadku systemu bankowego, co może nastąpić, gdy banki zaciągają większość pożyczek w walucie obcej. Dynamicznie rozwijająca się gospodarka może przyciągać kapitał finansowy, który sprzyja dalszemu wzrostowi gospodarczemu. Jednak kapitał może równie łatwo odpłynąć z kraju, co doprowadzi do recesji. Czy kraj, którego gospodarka kwitnie, ponieważ państwo zdecydowało się stymulować konsumpcję, jest bardziej lub mniej narażony na ucieczkę kapitału niż ten, którego boom jest spowodowany wzrostem inwestycji? Ucieczka kapitału jest możliwa w obu przypadkach. Jeśli jednak kraj pożycza pieniądze, aby inwestować w kapitał rzeczowy, prawdopodobnie łatwiej wygeneruje dochód na spłatę swoich długów niż kraj, który pożyczkami finansuje konsumpcję. W rezultacie gospodarka stymulowana inwestycjami jest mniej podatna na odpływ kapitału i recesję gospodarczą. Sprawdź wiedzę Jakie są powody, dla których bank centralny może troszczyć się, przynajmniej w pewnym stopniu, o kurs walutowy? W jaki sposób niespodziewana deprecjacja waluty lokalnej może zaszkodzić kondycji finansowej krajowych banków? Ćwicz myślenie krytyczne Załóżmy, że kraj ma zrównoważony bilans handlowy, czyli eksport dóbr i usług jest równy ich importowi. Czy oznacza to, że kraj ten ma zrównoważony bilans z każdym ze swoich partnerów handlowych? Dowiedzieliśmy się, że zmiany kursów walutowych i odpowiadające im zmiany w bilansie handlowym wzmacniają rolę polityki pieniężnej. Czy z punktu widzenia banku centralnego jest to zjawisko korzystne, czy niekorzystne? Jeśli kraj rozwijający się potrzebuje kapitału zagranicznego, a także know-how w zakresie zarządzania i technologii, to w jaki sposób może zachęcać inwestorów zagranicznych do zaangażowania w jego gospodarkę, a jednocześnie chronić się przed ucieczką kapitału i upadkiem systemu bankowego, jak to miało miejsce podczas azjatyckiego kryzysu finansowego? eksport (ang. exports ) sprzedaż towarów wyprodukowanych w danym kraju poza jego granice zagraniczny kapitał inwestycyjny (ang. foreign investment capital kapitał finansujący inwestycje bezpośrednie i portfelowe napływający do danego kraju z zagranicy bankructwo (ang. go bankrupt sytuacja, w której przedsiębiorstwo nie jest w stanie regulować swoich zobowiązań i musi wstrzymać działalność handel międzynarodowy (ang. international trade ) wymiana dóbr i usług pomiędzy różnymi krajami", "section": "Skutki makroekonomiczne zmian kursów walutowych", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Polityki kursowe Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić różne systemy kursu walutowego: płynny kurs walutowy, płynny kierowany kurs walutowy, sztywny (stały) kurs walutowy i wspólną walutę Wskazać wady i zalety różnych systemów kursu walutowego Istnieje wiele systemów kursu walutowego. Te najbardziej popularne są wyszczególnione na . Specyfika systemu kursu walutowego zależy przede wszystkim od tego, kto ma wpływ na jego poziom. Czy są to wyłącznie wskazane w pierwszej części rozdziału podmioty aktywne na rynku walutowym, czy też państwo dopuszcza sporadyczne interwencje banku centralnego w celu zapobiegania zbyt dużym wahaniom kursowym. Poziom kursu walutowego może ustalać jedynie bank centralny. Niekiedy kraje decydują się na dość radykalny krok i przyjęcie wspólnej waluty. W niniejszym rozdziale przeanalizujemy poszczególne systemy kursu walutowego, pokazując ich zalety i wady. Systemy kursu walutowego Każdy kraj może przyjąć jeden z wielu systemów kursu walutowego, począwszy od kursów płynnych (cena waluty jest ustalana wyłącznie przez rynek), poprzez kursy stałe (sztywne), gdy cena waluty jest ustalana przez państwo, a bank centralny interweniuje w celu utrzymania wyznaczonego poziomu kursu walutowego, aż po wspólną walutę. Płynny kurs walutowy Płynny kurs walutowy (ang. floating exchange rate ) to kurs wyznaczany wyłącznie przez rynek walutowy. Stany Zjednoczone, podobnie jak ok. 40% pozostałych krajów świata (w tym Polska) mają system płynnego kursu walutowego. Główną wadą tego systemu jest znaczna zmienność kursów nawet w relatywnie krótkim okresie. Rozważmy zmienność kursu walutowego dolara amerykańskiego względem innej, dość stabilnej waluty (jena japońskiego), co przedstawia . W styczniu 2000 r. kurs wymiany wynosił 114 jenów za dolara. Po roku (czyli w styczniu 2001 r.) kurs kształtował się na poziomie 131 jenów, aby w 2002 r. powrócić do poziomu ok. 119 jenów. Na początku 2005 r. był on równy jedynie 103 jenom za dolara, aby po czterech latach wzrosnąć (1 czerwca 2007 r.) do poziomu 122 jenów za dolara. Po kolejnych pięciu latach (1 stycznia 2012 r.) było to jedynie 77 jenów za dolara, a 1 marca 2015 r. – 120 jenów za dolara. Na przestrzeni analizowanych 21 lat amplituda wahań kursu walutowego pary dolar/jen wyniosła aż 54 jeny, czyli ponad 40% pierwotnej ceny. Gdy nastroje inwestorów ulegają zmianom, powodując wahania kursów walutowych, odczuwają to eksporterzy, importerzy oraz banki zaangażowane w kredyty i pożyczki międzynarodowe. W najgorszym przypadku duże zmiany kursów walutowych mogą doprowadzić firmy do bankructwa lub spowodować załamanie sektora bankowego. Jednak nawet w mniej dramatycznych scenariuszach wahania o ok. 30% w okresie 2–3 lat powodują napięcia w obu gospodarkach, ponieważ przedsiębiorstwa muszą nieustannie kontrolować i zmieniać swoje plany eksportowe i importowe, aby uwzględnić nowy poziom kursu walutowego. Wahania kursów walut mogą wstrząsnąć zwłaszcza małymi gospodarkami, w których handel międzynarodowy stanowi stosunkowo dużą część PKB. Kurs walutowy dolara amerykańskiego względem japońskiego jena w latach 2000–2021 Nawet pozornie stabilne kursy walutowe, np. kurs japońskiego jena w stosunku do dolara amerykańskiego, w długim okresie mogą wykazywać szeroki zakres zmienności. (Źródło: Dane ekonomiczne Banku Rezerwy Federalnej – FRED, https://research.stlouisfed.org/fred2/series/DEXJPUS). System płynnych kursów walutowych ma również swoje zalety. W końcu ceny towarów i usług rosną i spadają w całej gospodarce rynkowej wraz ze zmianami popytu i podaży. Jeśli kraj doświadcza silnych napływów lub odpływów międzynarodowego kapitału finansowego lub ma stosunkowo wysoką inflację, albo też następuje silny wzrost produktywności, tak że siła nabywcza waluty zmienia się w stosunku do innych gospodarek, wówczas zmiana kursu walutowego ma uzasadnienie ekonomiczne. Zwolennicy płynnego kursu walutowego często argumentują, że gdyby polityka rządu była bardziej przewidywalna i stabilna, to stopy inflacji i stopy procentowe również byłyby bardziej przewidywalne i stabilne. Kursy walutowe wykazywałyby wtedy mniejsze wahania. Na przykład znany ekonomista Milton Friedman (1912–2006) w swojej książce „Kapitalizm i wolność” („Capitalism and Freedom”) z 1962 r. bronił płynnych kursów walutowych: Opowiadanie się za płynnymi kursami walutowymi nie oznacza akceptacji niestabilnych kursów walutowych. Gdy popieramy system wolnych cen [dóbr i usług] w kraju, nie oznacza to, że faworyzujemy system, w którym ceny gwałtownie wahają się w górę i w dół. Chcemy systemu, w którym ceny mogą się swobodnie zmieniać, ale w którym determinujące je siły są wystarczająco stabilne, aby faktycznie ceny zmieniały się w relatywnie niewielkich granicach. Jest to również możliwe w systemie płynnych kursów walutowych. Ostatecznym celem jest świat, w którym kursy wymiany, choć mogą się zmieniać, w rzeczywistości są wysoce stabilne, ponieważ otoczenie gospodarcze i polityka gospodarcza państwa są stabilne. Zwolennicy płynnych kursów walutowych przyznają, że kursy wymiany mogą wykazywać pewne wahania. Uważają jednak, że jeśli bank centralny skupia się na zapobieganiu wysokiej inflacji lub głębokiej recesji za pomocą niskich i stosunkowo stabilnych stóp procentowych, wówczas kursy walutowe będą wahać się w bardzo niewielkim przedziale. Płynny kierowany kurs walutowy i stały (sztywny) kurs walutowy Kiedy bank centralny interweniuje na rynku walutowym w taki sposób, że kurs waluty różni się od tego, jaki ukształtowałby się w wyniku nieskrępowanego działania sił rynkowych, mamy do czynienia z płynnym kierowanym kursem walutowym lub stałym (sztywnym) kursem walutowym. Płynny kierowany kurs walutowy (ang. soft peg , dirty floating exchange rate ) to system kursowy, w którym państwo zwykle pozwala rynkowi ustalać poziom kursu walutowego, ale w niektórych przypadkach, zwłaszcza jeśli zmienia się on zbyt szybko w jednym kierunku, dopuszcza interwencję banku centralnego na rynku walutowym. Natomiast w przypadku stałego kursu walutowego ( sztywnego kursu walutowego ) (ang. hard peg , fixed exchange rate ), bank centralny ustala stałą wartość kursu, którego będzie konsekwentnie bronił za pomocą transakcji dokonywanych na rynku walutowym. Załóżmy, że rynkowy kurs wymiany reala brazylijskiego w stosunku do dolara amerykańskiego wynosi 35 centów za reala przy dziennym wolumenie obrotów równym 15 mld reali, co ilustruje równowaga w punkcie E 0 na panelach (a) i (b) . Jednak bank centralny Brazylii uważa, że kurs wymiany powinien wynosić 30 centów za reala, jak jest to pokazane na panelu (a). Być może Brazylia potrzebuje niższego kursu walutowego w celu pobudzenia eksportu. Albo brazylijskie władze monetarne uważają, że obecny rynkowy kurs walutowy jest wyższy niż długoterminowy parytet siły nabywczej reala, więc starają się w ten sposób minimalizować wahania ceny reala wyrażonej w dolarach amerykańskich, utrzymując kurs waluty krajowej na poziomie niższym niż rynkowy. Być może też jakiś czas temu bank centralny ustalił docelowy poziom kursu walutowego, a teraz chce go utrzymać dla zachowania stabilności waluty. Bez względu na przyczynę, jeśli bank centralny Brazylii zamierza utrzymać kurs wymiany poniżej poziomu rynkowego, musi zmierzyć się z faktem, że przy 30 centach za reala popyt na reale na rynku walutowym, wynoszący 17 mld, jest większy niż podaż reali równa 13 mld. Wpływ banku centralnego na kurs walutowy Panel (a) Jeśli kurs walutowy jest ustalony poniżej punktu równowagi rynkowej, zapotrzebowanie na walutę jest większe niż jej ilość oferowana na rynku. Panel (b) Jeśli kurs walutowy jest ustalony powyżej punktu równowagi rynkowej, zapotrzebowanie na walutę jest niższe niż jej ilość oferowana na rynku. Brazylijski bank centralny może osłabić kurs walutowy reala na dwa sposoby. Jednym z nich jest zastosowanie ekspansywnej polityki pieniężnej, która prowadzi do obniżenia stóp procentowych. Na rynku walutowym niższe stopy procentowe zmniejszą popyt na reale i zwiększą podaż reala oraz doprowadzą do deprecjacji brazylijskiej waluty. Jednak banki centralne rzadko stosują tę metodę, ponieważ obniżanie stóp procentowych w celu osłabienia waluty może być sprzeczne z wewnętrznymi celami polityki pieniężnej. Drugim sposobem jest bezpośrednie zaangażowanie się banku centralnego Brazylii w handel realem na rynku walutowym. Bank centralny może zwiększyć podaż pieniądza (w tym przypadku podaż reali) i wykorzystać dodatkowe reale do zakupu walut obcych. W ten sposób może pokryć różnicę między wielkością zapotrzebowania na reale a liczbą reali oferowaną na rynku walutowym. Panel (b) przedstawia sytuację odwrotną. W tym przypadku brazylijski bank centralny chciałby doprowadzić do wyższego kursu wymiany (40 centów za reala) niż wynosi kurs rynkowy (35 centów za reala). Być może Brazylia potrzebuje silniejszej waluty, aby zmniejszyć popyt globalny i zahamować inflację, a może władze monetarne uważają, że obecny kurs rynkowy jest niższy niż kurs wg parytetu siły nabywczej. Bez względu na powód, przy wyższym od rynkowego kursie wymiany liczba reali oferowana na rynku (16 mld) jest większa niż zapotrzebowanie na reale (14 mld). Bank centralny Brazylii może wykorzystać restrykcyjną politykę pieniężną do podniesienia stóp procentowych, co zwiększy popyt na reale i zmniejszy ich podaż na rynku walutowym oraz doprowadzi do aprecjacji reala. Alternatywnie bank centralny Brazylii może bezpośrednio uczestniczyć w handlu realem na rynku walutowym. W takim przypadku, przy nadmiernej podaży własnej waluty na rynku walutowym, bank centralny musi wykorzystać rezerwy obcych walut, np. dolarów amerykańskich, aby kupić własną walutę i w ten sposób doprowadzić do jej aprecjacji. Zarówno kurs płynny kierowany, jak i kurs stały (sztywny) wymagają interwencji banku centralnego na rynku walutowym. W przypadku sztywnego kursu walutowego określony kurs wymiany musi być zapewniony przez cały czas. Natomiast system kursu płynnego kierowanego pozwala zwykle na niewielkie wahania kursowe w krótkim okresie (kilka miesięcy lub rok) oraz na większe wahania w długim okresie, ale ma na celu uniknięcie ekstremalnych wahań krótkoterminowych. Dylematy związane z regulowaniem kursów walutowych Jeśli kraj decyduje się na zmianę systemu kursu walutowego i odejście od kursu płynnego, musi rozstrzygnąć wiele dylematów. Jeśli bank centralny chce wykorzystywać politykę pieniężną do zmiany poziomu kursu walutowego, nie może jednocześnie stosować jej jako narzędzia do rozwiązywania problemów związanych z inflacją lub recesją. Z kolei jeśli bank centralny interweniuje na rynku walutowym poprzez kupno i sprzedaż walut obcych, musi zmierzyć się z wyzwaniem, jakim jest zagospodarowanie swoich rezerw walutowych. Wreszcie system stałego (sztywnego) kursu walutowego może być również źródłem zmienności na rynku walutowym. Na przykład możliwość interwencji banku centralnego na rynku walutowym prowadzi do powstania plotek o tym, czy i kiedy takie interwencje będą miały miejsce, a dealerzy walutowi mogą na te plotki reagować. Rozważmy kolejno wszystkie przywołane powyżej kwestie. Jedną z podstawowych obaw związanych z funkcjonowaniem kursów regulowanych jest to, że po ich wprowadzeniu polityka pieniężna nie jest już skoncentrowana wyłącznie na kontrolowaniu inflacji i zapobieganiu recesji, ale musi również uwzględniać sytuację na rynku walutowym. Na przykład gdy kraj ustala swój kurs walutowy na sztywnym poziomie, może znaleźć się w sytuacji, w której chciałby zastosować ekspansywną politykę pieniężną do walki z recesją, ale nie może tego zrobić, ponieważ taka polityka doprowadziłaby do deprecjacji waluty i stały poziom kursu byłby niemożliwy do utrzymania. W przypadku kursu płynnego kierowanego bank centralny może czasami zignorować konieczność interwencji na rynku walutowym i skupić się na walce z inflacją lub recesją, a w innych przypadkach może zignorować walkę z inflacją lub recesją i skoncentrować się na utrzymaniu odpowiedniego poziomu kursu walutowego. W systemie sztywnego kursu walutowego charakter krajowej polityki pieniężnej nie jest już determinowany wielkością inflacji lub bezrobocia, ale koniecznością utrzymania kursu walutowego na stałym poziomie. Kolejne wyzwanie pojawia się, gdy bank centralny interweniuje bezpośrednio na rynku walutowym. Jeśli znajdzie się w sytuacji, w której nieustannie sprzedaje własną walutę, będzie kupował waluty innych krajów, np. dolary amerykańskie lub euro, czyli tworzył rezerwy walutowe (ang. reserves ). Utrzymywanie dużych rezerw walutowych wiąże się z kosztem alternatywnym, a banki centralne nie będą chciały zwiększać takich rezerw bez ograniczeń. Ponadto polityka banku centralnego, która powoduje duży wzrost podaży pieniądza, może doprowadzić do znacznego zwiększenia się popytu globalnego i inflacji. Natomiast gdy bank centralny chce kupić własną walutę na rynku walutowym, może to zrobić poprzez sprzedaż swoich rezerw walutowych, np. dolarów amerykańskich lub euro. Jednak w momencie, w którym rezerwy zostaną wyczerpane, bank centralny nie może dalej stosować tej metody do utrzymywania kursu swojej waluty na założonym z góry poziomie. Zatem kupowanie walut obcych na rynkach walutowych może być kosztowne i grozić inflacją, a sprzedaż walut obcych jest możliwa tylko do momentu, w którym rezerwy banku centralnego całkowicie się wyczerpią. Jeszcze inną kwestią jest to, że gdy bank centralny reguluje kurs walutowy, może nieumyślnie stworzyć kolejny czynnik, który przełoży się na dodatkowe wahania ceny waluty lokalnej. W systemie kursu płynnego kierowanego dealerzy walutowi i inwestorzy międzynarodowi reagują na każdą plotkę o tym, jak lub kiedy bank centralny będzie interweniował na rynku w celu zmiany kursu walutowego, a ich reakcja (uzasadniona lub nie) na takie pogłoski prowadzi do pogłębienia wahań kursowych. Zatem mimo że system kursu płynnego kierowanego ma na celu ograniczenie krótkookresowych wahań kursowych, istnienie takiego systemu może czasami wręcz je zwiększyć, ponieważ międzynarodowi inwestorzy starają się przewidywać interwencje banku centralnego. Poniższa ramka „Poznaj szczegóły” pokazuje skutki międzynarodowych przepływów kapitału (ang. international capital flows ), który wędruje między państwami głównie w postaci inwestycji portfelowych. W jaki sposób podatki Tobina ograniczają skalę przepływów kapitału? Niektóre kraje, takie jak Chile i Malezja, starały się zmniejszyć wahania kursów swoich walut poprzez ograniczenie skali napływu i odpływu międzynarodowego kapitału finansowego. Rząd może prowadzić takie działania za pomocą podatków lub regulacji. Podatki od międzynarodowych przepływów kapitału są nazywane podatkami Tobina (ang. Tobin taxes ), na cześć Jamesa Tobina ), laureata Nagrody Nobla w dziedzinie ekonomii z 1981 r., który zaproponował na swoim wykładzie w 1972 r. wprowadzenie takiego podatku. Na przykład państwo może opodatkować wszystkie transakcje walutowe, albo też próbować opodatkować krótkoterminowe inwestycje portfelowe (ang. portfolio investment ) zwalniając jednocześnie z podatku długoterminowe zagraniczne inwestycje bezpośrednie (ang. foreign direct investment ). Kraje mogą również wykorzystać regulacje, aby zakazać pewnych rodzajów inwestycji zagranicznych lub utrudnić międzynarodowym inwestorom finansowym wycofywanie kapitału z danego kraju. Celem takiej polityki jest ograniczenie skali międzynarodowych przepływów kapitału, zwłaszcza krótkookresowych inwestycji portfelowych, w nadziei, że zmniejszy to ryzyko dużych wahań kursowych, które mogą doprowadzić do katastrofy makroekonomicznej. Jednak propozycje ograniczenia międzynarodowych przepływów finansowych (ang. international financial flows ) napotykają poważne trudności praktyczne. Podatki są nakładane przez rządy krajowe, a nie międzynarodowe. Jeśli jeden rząd nałoży podatek Tobina na transakcje walutowe przeprowadzane na jego terytorium, firma mająca siedzibę np. na Kajmanach, czyli wyspiarskim kraju na Karaibach dobrze znanym jako raj podatkowy, może w dalszym ciągu z łatwością działać na rynku walutowym. W globalnej gospodarce, jeśli dobra i usługi mogą przepływać bez przeszkód i dodatkowych kosztów przez granice państwowe, płatności również muszą być przez te granice transferowane. W rzeczywistości niezwykle trudne – lub wręcz niemożliwe – wydaje się udzielanie przez państwo zezwoleń tylko na przepływy płatności związanych z dobrami i usługami, przy jednoczesnym ograniczaniu lub opodatkowywaniu innych przepływów kapitału finansowego. Jeśli kraj uczestniczy w handlu międzynarodowym, musi również uczestniczyć w międzynarodowych przepływach kapitału. Kraje na całym świecie, zwłaszcza te o niskich dochodach, zabiegają o inwestycje zagraniczne, które mogą przyspieszyć rozwój gospodarczy. Regulacje zniechęcające do międzynarodowych inwestycji finansowych mogą wprawdzie zapobiec pewnym możliwym szkodom, ale jednocześnie ograniczają znacznie większe potencjalne korzyści będące konsekwencją przepływów kapitałowych. System stałego (sztywnego) kursu walutowego nie pozwala na krótkookresowe wahania kursowe. Jeśli rząd najpierw ogłosi stały kurs walutowy, a później zmieni zdanie – gdyż np. nie będzie chciał utrzymywać wysokich stóp procentowych lub wysokiego poziomu rezerw walutowych – wówczas skutkiem porzucenia systemu kursu stałego może być jego dramatyczna wręcz zmiana. W połowie pierwszej dekady XXI w. ok. jedna trzecia krajów świata miała system kursu płynnego kierowanego, a ok. jedna czwarta stosowała system stałego (sztywnego) kursu walutowego. Ogólną tendencją w latach 90. XX w. było odejście od systemu kursu płynnego kierowanego na rzecz kursu w pełni płynnego lub stałego. Paradoksalnie zmiany te były konsekwencją relatywnego sukcesu, jakim okazało się wprowadzenie systemu kursu płynnego kierowanego. Prowadzona w umiejętny sposób polityka kursu płynnego kierowanego może przez pewien czas skutkować bardzo niewielkimi wahaniami kursów wymiany i w efekcie przedsiębiorstwa (w tym banki) zaczynają działać tak, jakby w kraju funkcjonował kurs sztywny. W takiej sytuacji, kiedy kurs walutowy jednak się zmieni, skutki będą szczególnie bolesne, ponieważ firmy nie zaplanowały i nie zabezpieczyły się przed ewentualnymi wahaniami kursowymi. Argumentowano więc, że lepiej jest albo jasno stwierdzić, że kurs wymiany ma być w pełni płynny, albo stały, zamiast wybierać opcję pośrednią w postaci kursu płynnego kierowanego, który może się okazać najgorszym dostępnym rozwiązaniem. Wspólna waluta Jeszcze inny system walutowy polega na tym, że kraj wybiera walutę, jaka występuje w innym kraju lub grupie państw. Sytuacja taka jest nazywana przyjęciem wspólnej waluty (ang. merged currency ). Wspólna waluta całkowicie eliminuje ryzyko kursowe. Tak jak nikt nie martwi się wahaniami kursowymi podczas handlu towarami między Nowym Jorkiem a Kalifornią, tak samo Europejczycy wiedzą, że wartość euro będzie taka sama w Niemczech i Francji oraz w innych krajach europejskich, które tworzą Unię Gospodarczo-Walutową (lub po prostu „strefę euro”). Jednak wspólna waluta również generuje problemy. Podobnie jak system stałego kursu walutowego, wspólna waluta oznacza, że kraje całkowicie zrezygnowały ze swojej polityki pieniężnej i przekazały ją w inne ręce. Ekwador, który używa dolara amerykańskiego jako swojej waluty, nie ma głosu w kwestii tego, czy System Rezerwy Federalnej podnosi, czy obniża stopy procentowe. Europejski Bank Centralny (EBC), który określa politykę pieniężną dla strefy euro, ma co prawda w swojej Radzie Prezesów (która stanowi główny organ decyzyjny EBC) przedstawicieli wszystkich krajów strefy euro, jednak z punktu widzenia pojedynczego państwa, np. Portugalii, decyzje Europejskiego Banku Centralnego dotyczące polityki pieniężnej nie muszą odpowiadać tym, które podjąłby portugalski bank centralny. Powyższe cztery systemy kursowe mogą niekiedy wywoływać bardzo podobne skutki. Na przykład system kursu płynnego kierowanego, w ramach którego bank centralny niezwykle rzadko interweniuje na rynku walutowym, będzie w istocie bardzo podobny do całkowicie płynnego kursu walutowego. I odwrotnie, system kursu płynnego kierowanego, w którym bank centralny często interweniuje w celu utrzymania kursu na określonym poziomie, będzie przypominać system kursu stałego. Decyzja o przyjęciu wspólnej waluty z innymi krajami jest w gruncie rzeczy decyzją o przyjęciu trwale sztywnego kursu wymiany z nimi. przedstawia krótkie podsumowanie zalet i wad różnych systemów kursowych. Porównanie różnych systemów kursu walutowego Wyszczególnienie Kurs płynny Kurs płynny kierowany Kurs stały (sztywny) Wspólna waluta Silne krótkookresowe wahania kursów walut Często występują Są rzadziej spotykane Nie występują, chyba że ma miejsce zmiana poziomu kursu walutowego Nie występują Silne długookresowe wahania kursów walut Często występują Często występują Nie występują, dopóki nie zmieni się poziom stałego kursu walutowego, co może spowodować znaczną zmienność kursu Nie występują Zdolność banku centralnego do prowadzenia antycyklicznej polityki pieniężnej Elastyczne kursy walut wzmacniają politykę pieniężną W pewnym stopniu występuje, chociaż może pojawić się konflikt między polityką kursu walutowego a polityką antycykliczną Bardzo mała; bank centralny musi utrzymywać stały kurs walutowy Żadna; kraj nie posiada własnej waluty Utrzymywanie rezerw walutowych Nie ma potrzeby utrzymywania rezerw Utrzymywanie umiarkowanych rezerw, które zmieniają się w czasie Utrzymywanie dużych rezerw Nie ma potrzeby utrzymywania rezerw Ryzyko, że kurs walutowy spowoduje dużą nierównowagę handlową i bardzo duży napływ lub odpływ kapitału finansowego Niskie, kurs walutowy zmienia się w sposób ciągły Niewielkie, kurs walutowy dostosowuje się w średnim okresie, a niekiedy również w krótkim okresie Duże, kurs walutowy może być znacznie powyżej lub poniżej poziomu rynkowego Kurs walutowy nie może się dostosować Część makroekonomii zajmująca się handlem zagranicznym i międzynarodowymi przepływami finansowymi (czyli tzw. ekonomia gospodarek otwartych lub ekonomia międzynarodowa) byłaby znacznie prostsza, gdyby cały świat miał jedną walutę i jeden bank centralny. Kursy wymiany między różnymi walutami komplikują obraz, jaki ekonomiści próbują stworzyć. Jeśli to wyłącznie rynki finansowe ustalają kursy wymiany, wykazują one znaczne wahania, ponieważ inwestorzy portfelowi skoncentrowani są na krótkim okresie i podejmują decyzje na podstawie swoich oczekiwań co do niedalekiej przyszłości. Jeśli bank centralny próbuje interweniować na rynkach walutowych w systemie kursu płynnego kierowanego lub kursu stałego, rezygnuje przynajmniej z części możliwości wykorzystania polityki pieniężnej do walki z inflacją i recesją oraz ryzykuje wywołanie jeszcze większych wahań kursów walutowych. Wśród ekonomistów nie ma zgody w kwestii tego, który z systemów kursu walutowego jest najlepszy: płynny, płynny kierowany, stały czy też wspólna waluta. Wybór zależy zarówno od tego, jak skutecznie bank centralny może wdrożyć określoną politykę kursową, jak i od sprawności krajowych przedsiębiorstw (w tym banków) w dostosowywaniu się do różnych systemów kursu walutowego. Gospodarka, która dość dobrze radzi sobie z osiąganiem czterech głównych celów ekonomicznych (tj. szybkiego wzrostu gospodarczego, niskiej inflacji, niskiego bezrobocia i zrównoważonego bilansu handlowego), najprawdopodobniej będzie dobrze funkcjonować przy każdym systemie kursu walutowego. Analogicznie, żaden system kursu walutowego nie uratuje gospodarki, której nie udaje się osiągnąć tych celów. Natomiast wspólna waluta stosowana w krajach, których kondycja i sposób funkcjonowania gospodarki znacznie się różnią, może powodować odrębne problemy związane z brakiem możliwości prowadzenia niezależnej polityki pieniężnej dostosowanej do lokalnych warunków. Czy silniejszy dolar jest korzystny dla gospodarki USA? Kurs dolara jest jego ceną wyrażoną w walutach innych krajów. To, czy wyższa cena jest korzystna, czy niekorzystna, zależy od tego, po której stronie transakcji rynkowej się znajdujemy. Sprzedawcy odnoszą korzyści z wyższych cen, a kupujący na nich tracą. Silniejszy dolar sprzyja amerykańskiemu importowi (i ludziom pracującym dla amerykańskich importerów) oraz amerykańskim inwestycjom za granicą. Jest również korzystny dla turystów z USA udających się do innych krajów. Silniejszy dolar oznacza jednak problemy dla amerykańskiego eksportu (oraz pracowników amerykańskich branż eksportowych) i jest niekorzystny dla inwestycji zagranicznych w Stanach Zjednoczonych, prowadząc np. do wyższych stóp procentowych w USA. Nie sprzyja także zagranicznym turystom odwiedzających USA (w tym również amerykańskim hotelom, restauracjom i innych podmiotom z branży turystycznej). Krótko mówiąc, pytanie o to, czy lepsza jest waluta mocniejsza, czy słabsza, jest trudniejsze, niż mogłoby się wydawać. Odpowiedź brzmi: to zależy dla kogo. Podsumowanie Wyróżniamy następujące podstawowe systemy kursu walutowego: (a) kurs płynny, (b) kurs płynny kierowany, (c) kurs stały (sztywny) oraz (d) wspólną walutę. Wszystkie systemy kursowe mają swoje zalety i wady. W systemie płynnego kursu walutowego kurs danej waluty jest określany wyłącznie przez rynek walutowy na podstawie wzajemnego oddziaływania popytu i podaży. W systemie płynnego kursu walutowego polityka pieniężna może być skoncentrowana na zmniejszaniu inflacji i bezrobocia, a kurs waluty może się dostosowywać do inflacji i stóp procentowych; pojawia się jednak ryzyko, że wahania kursowe mogą być czasami bardzo gwałtowne. W systemie kursu płynnego kierowanego kurs walutowy jest zwykle ustalany rynkowo, ale czasami bank centralny interweniuje, aby wpłynąć na jego wysokość. Jednak kurs płynny kierowany może powodować dodatkowe wahania kursowe, ponieważ rynki walutowe próbują przewidywać skalę i kierunki interwencji banku centralnego. W systemie stałego (sztywnego) kursu walutowego o poziomie kursu walutowego decyduje państwo. W systemie stałego kursu walutowego wahania kursowe nie występują (chyba że bank centralny dokona zmiany poziomu kursu), ale kraj musi skoncentrować swoją politykę pieniężną na obronie kursu walutowego, a nie inflacji czy recesji. Kiedy kraj posiada walutę wspólną z innym krajem, rezygnuje z autonomicznej polityki pieniężnej. Bank centralny może interweniować na rynkach walutowych na dwa sposoby. Może podnosić lub obniżać stopy procentowe, aby wzmacniać lub osłabiać walutę. Może również bezpośrednio kupować lub sprzedawać walutę na rynku walutowym. Polityka pieniężna może mieć różne cele, na przykład: (a) niską inflację; (b) niską inflację lub niskie bezrobocie w zależności od tego, który cel jest bardziej pożądany; (c) utrzymywanie stabilnej i przewidywalnej wielkości podaży pieniądza. Pytania sprawdzające W jaki sposób restrykcyjna polityka pieniężna wpływa na kurs walutowy, eksport netto, globalne popyt i podaż? Restrykcyjna polityka pieniężna, podnosząc krajowe stopy procentowe, powoduje aprecjację waluty. Mocniejsza waluta ogranicza eksport, który z perspektywy zagranicznych nabywców jest teraz droższy, a stymuluje import, który z punktu widzenia krajowych nabywców jest tańszy. Mniejszy eksport i większy import powodują spadek eksportu netto (X – Z), co prowadzi do spadku popytu globalnego. Rezultatem jest spadek PKB, wzmocniony przez oddziaływanie restrykcyjnej polityki pieniężnej na krajowe wydatki inwestycyjne. Jednak tańszy import, szczególnie jeśli dotyczy surowców i nakładów w procesie produkcji, może pobudzać wzrost podaży globalnej, przywracając PKB do poziomu potencjalnego, ale przy niższych cenach. Bank centralny może spowodować, aby wartość waluty krajowej malała w nieskończoność, ale nie może sprawić, aby wartość waluty krajowej w nieskończoność rosła. Dlaczego? Aby wartość waluty krajowej malała, bank centralny musi jedynie zwiększać jej podaż na rynku. Może „drukować” tyle pieniądza krajowego, ile chce. Aby wartość waluty krajowej rosła, bank centralny musi kupować walutę krajową na rynku, płacąc w walucie obcej. Ponieważ żaden bank centralny nie ma nieskończonej ilości rezerw walutowych, nie może kupować waluty krajowej w nieskończoność. Czy kraj, w którym import i eksport stanowią dużą część PKB, jest bardziej skłonny do przyjęcia płynnego, czy stałego (sztywnego) kursu walutowego? Ponieważ wahania kursów walut zmieniają ceny towarów importowanych i eksportowanych, zakłócają międzynarodowe przepływy handlowe. Gdy handel zagraniczny stanowi dużą część krajowego PKB, korzystniejszy jest system stałego kursu walutowego minimalizujący zakłócenia w przepływach handlowych. Sprawdź wiedzę Jaka jest różnica między płynnym kursem walutowym, płynnym kierowanym kursem walutowym, stałym (sztywnym) kursem walutowym i dolaryzacją? Wymień główne zalety i wady różnych systemów kursu walutowego. Ćwicz myślenie krytyczne Wiele krajów rozwijających się, takich jak Meksyk, ma umiarkowane lub wysokie stopy inflacji. Jednocześnie handel międzynarodowy odgrywa w ich gospodarkach ważną rolę. Jaki system kursu walutowego w stosunku do amerykańskiego dolara byłby najlepszy dla waluty takiego kraju? Co twoim zdaniem mogłoby skłonić kraj tworzący strefę euro do powrotu do własnej waluty? Bibliografia Friedman, Milton. Capitalism and Freedom . Chicago: University of Chicago Press, 1962. płynny kurs walutowy (ang. floating exchange rate ) system kursu walutowego, w ramach którego cena danej waluty jest określana wyłącznie w drodze interakcji kupujących i sprzedających na rynku walutowym stały (sztywny) kurs walutowy (ang. hard peg , fixed exchange rate ) system kursu walutowego, w ramach którego bank centralny ustala jego stałą i niezmienną wartość i za pomocą różnego rodzaju działań broni tego poziomu międzynarodowe przepływy kapitału (ang. international capital flows ) przepływy kapitału finansowego pomiędzy krajami w postaci inwestycji portfelowych lub bezpośrednich wspólna waluta (ang. merged currency ) system walutowy, w ramach którego jeden kraj decyduje się na wykorzystywanie waluty innego kraju, lub grupa krajów wykorzystuje wspólną walutę (tak jak ma to miejsce w krajach strefy euro) płynny kierowany kurs walutowy (ang. soft peg , dirty floating exchange rate ) system kursu walutowego, w ramach którego kurs walutowy zwykle jest ustalany na rynku, ale w niektórych przypadkach, zwłaszcza jeśli istnieje wysokie prawdopodobieństwo gwałtownych zmian kursu walutowego w jednym kierunku, bank centralny będzie interweniował na rynku walutowym podatki Tobina (ang. Tobin taxes ) hipotetyczny podatek, który miałby być nakładany na transakcje dokonywane na międzynarodowym rynku finansowym w celu zmniejszenia skali przepływów kapitału pomiędzy krajami", "section": "Polityki kursowe", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Zawieszenie pracy rządu federalnego (shutdown) a funkcjonowanie parków narodowych w USA Park Narodowy Yellowstone jest jedną z wielu instytucji publicznych, które musiały zostać zamknięte podczas zawieszenia pracy rządu federalnego w Stanach Zjednoczonych w październiku 2013 r. (Źródło: modyfikacja pracy „daveynin”/flickr Creative Commons). Zamknięcie Parku Narodowego Yellowstone Masz za sobą długą podróż, aby zobaczyć Park Narodowy Yellowstone w pięknym październiku 2013 r., ale okazało się, że jest… zamknięty. Zamknięty! Ale dlaczego? W październiku 2013 r. doszło do dwutygodniowego częściowego zawieszenia pracy rządu USA. Wiele finansowanych z budżetu federalnego służb i instytucji, np. parki narodowe, przestało pracować, a 800 tys. ludzi zwolniono. Turyści byli zszokowani, podobnie jak reszta świata: Kongres i prezydent USA nie byli w stanie dojść do porozumienia w sprawie budżetu. Republikanie i Demokraci spierali się o priorytety w wydatkach państwa i nie mogli uchwalić zwiększenia limitu długu publicznego. W każdym roku budżet Stanów Zjednoczonych, który wynosi ponad 3 bln dol., musi zostać zatwierdzony przez Kongres i podpisany przez prezydenta. Dwie trzecie budżetu to należności i inne obowiązkowe wydatki państwa realizowane automatycznie, gdy tylko dane programy zostaną uchwalone. Z debatą budżetową powiązana była kwestia zwiększenia pułapu zadłużenia, czyli tego, jak wysoki może być dług publiczny rządu USA. Izba Reprezentantów odmówiła zatwierdzenia ustaw o finansowaniu rządu, jeśli nie będą zawierały przepisów mających na celu wstrzymanie lub zmianę Ustawy o przystępnej cenie opieki zdrowotnej (ang. Affordable Health Care Act ) (potocznie znanej jako Obamacare ). Z każdym dniem Stany Zjednoczone coraz bardziej zbliżały się do momentu, w którym nie będą mogły spłacać swoich zobowiązań. Dlaczego budżet państwa wywołuje tak gorące debaty? Co by się stało, gdyby Stany Zjednoczone faktycznie przestały spłacać swoje długi? W tym rozdziale omówimy budżet państwa, podatki i politykę fiskalną. Przyjrzymy się również deficytowi budżetowemu i zadłużeniu publicznemu. Wprowadzenie do tematu budżetu państwa i polityki fiskalnej Dzięki lekturze tego rozdziału dowiesz się: Czym są wydatki państwa i podatki W jaki sposób powstaje deficyt budżetowy i czym jest dług publiczny Jak można wykorzystać politykę fiskalną do walki z recesją, bezrobociem i inflacją Jak działają automatyczne stabilizatory koniunktury Jakie są praktyczne problemy związane z uznaniową (dyskrecjonalną) polityką fiskalną Jakie wyzwania wiążą się z kwestią zrównoważonego budżetu Rząd i jednostki samorządu terytorialnego posiadają własne budżety, na które składają się dochody, jakie spodziewają się otrzymać z podatków i innych źródeł (np. ceł), a także planowane wydatki. Budżety mogą radykalnie się zmienić w ciągu kilku lat, ponieważ decyzje polityczne i nieoczekiwane zdarzenia zakłócają wcześniejsze plany dochodów podatkowych i wydatków publicznych. W tym rozdziale ponownie przyjrzymy się polityce fiskalnej (ang. fiscal policy ). Jest ona jednym z dwóch narzędzi polityki gospodarczej służących natychmiastowemu poprawianiu stanu gospodarki (drugim jest polityka pieniężna). Bank centralny prowadzi politykę pieniężną, natomiast za politykę fiskalną odpowiada rząd. Dyskusja na temat polityki fiskalnej koncentruje się na tym, jak podatki i wydatki państwa wpływają na popyt globalny. Wszystkie wydatki państwa i podatki oddziałują na gospodarkę, ale mówiąc o polityce fiskalnej, mamy na myśli przede wszystkim politykę rządu centralnego. Rozdział zaczynamy od zwięzłego przeglądu wydatków i podatków w USA i w Polsce. Następnie omówimy politykę fiskalną z perspektywy krótkookresowej, m.in. sposoby wykorzystania przez rząd podatków i wydatków do walki z recesją, bezrobociem i inflacją, wpływ recesji i wzrostu gospodarczego na budżet państwa, a także korzyści wynikające z posiadania zrównoważonego budżetu.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wydatki państwa Po przeczytaniu tego podrozdziału będziesz w stanie: Ocenić poziom i strukturę wydatków sektora publicznego w USA w ciągu ostatnich kilku dekad Zrozumieć różnice między podatkami o charakterze regresywnym, proporcjonalnym i progresywnym Wskazać główne cele wydatków i źródła dochodów budżetu państwa w Polsce Wydatki państwa w USA obejmują szereg usług świadczonych przez władze federalne, stanowe i lokalne. Kiedy w danym roku rząd federalny wydaje więcej pieniędzy, niż zbiera z podatków, występuje deficyt budżetowy (ang. budget deficit ). I odwrotnie, kiedy dochody podatkowe w danym roku są większe niż wydatki państwa, mówimy o nadwyżce budżetowej (ang. budget surplus ). Jeśli wydatki rządowe i podatki są równe, mamy do czynienia z równowagą budżetową (ang. balanced budget ). Na przykład w 2009 r. Stany Zjednoczone zanotowały największy w historii deficyt budżetowy, w wysokości 1,4 bln dol. Stanowił on ok. 10% ówczesnego PKB kraju, co czyni go zdecydowanie największym deficytem budżetowym w stosunku do PKB od czasu gigantycznej pożyczki, którą rząd USA wykorzystał do sfinansowania swoich działań w czasie II wojny światowej. Wydatki rządu federalnego w USA Nominalne (tj. w cenach bieżących, czyli nieskorygowanych o inflację) wydatki rządu federalnego w latach 1960–2014 wzrosły ponad 38-krotnie, z 93,4 mld dol. w roku 1960 do 3,9 bln dol. w 2014. Jednak porównywanie wydatków w czasie w cenach bieżących jest mylące, bo nie uwzględnia inflacji, wzrostu liczby ludności oraz zmian w gospodarce realnej. Lepszą metodą analizy zmian wydatków państwa w czasie jest wykorzystanie danych na temat udziału wydatków państwa w PKB. Górna krzywa na pokazuje poziom wydatków federalnych wyrażony jako odsetek PKB. Pomimo powszechnego wśród Amerykanów przekonania, że ich rząd stale się rozrasta, wykres dowodzi, że przez te ponad pięć dekad wydatki federalne oscylowały w przedziale od 18% do 22% PKB. Pozostałe krzywe na przedstawiają główne kategorie wydatków federalnych: obrona narodowa, ubezpieczenia społeczne, ochrona zdrowia i odsetki. Na wykresie widać, że wydatki na obronę narodową liczone jako procent PKB od lat 60. XX w. generalnie spadały, chociaż w latach 80. XX w., w okresie rządów prezydenta Ronalda Reagana, a potem w następstwie ataków terrorystycznych z 11 września 2001 r. doszło do pewnych wzrostów. Dla kontrastu, wydatki na ubezpieczenia społeczne i ochronę zdrowia widziane jako odsetek PKB stale rosły. Wydatki na ochronę zdrowia obejmują opiekę zdrowotną dla osób w podeszłym wieku (program Medicare ) oraz dla ludzi o niskich dochodach (program Medicaid ). Program Medicaid częściowo finansują również rządy stanowe. Odsetki od długu stanowią ostatnią główną kategorię wydatków państwa na . Wydatki rządu federalnego w USA, 1960–2014 W latach 1960–2014 całkowite wydatki rządu federalnego wahały się w przedziale od ok. 18% do 22% PKB. Wprawdzie w 2009 r. były wyższe, ale do 2013 r. z powrotem spadły do wcześniejszego poziomu. Nakłady państwa na obronę narodową zmniejszyły się, podczas gdy wydatki na ubezpieczenia społeczne i ochronę zdrowia (głównie na programy Medicare i Medicaid ) wzrosły. (Źródło: Raport ekonomiczny Prezydenta, Tabele B-2 i B-22, http://www.gpo.gov/fdsys/pkg/ERP-2014/content-detail.html). Każdego roku państwo pozyskuje fundusze od obywateli i obcokrajowców na pokrycie deficytu budżetowego. Robi to poprzez sprzedaż papierów wartościowych (np. obligacji skarbowych), w istocie pożyczając pieniądze od społeczeństwa i obiecując w przyszłości spłatę należności wraz z odsetkami. W latach 1961–1997 rząd Stanów Zjednoczonych (podobnie jak rząd Polski po roku 1992) prawie co roku wykazywał deficyt budżetowy, a tym samym pożyczał pieniądze od społeczeństwa. W latach 1998–2001 Stany Zjednoczone notowały nadwyżkę budżetową, po czym w budżecie znów pojawił się deficyt. Odsetki od pożyczek zaciągniętych przez rząd federalny USA w latach 60. i 70. XX w. wynosiły zazwyczaj 1–2% PKB, ale w latach 80. przekroczyły 3% PKB i utrzymywały się na tym poziomie do późnych lat 90. XX w. Rząd był w stanie spłacić część swoich wcześniejszych zobowiązań, utrzymując nadwyżkę budżetową w latach 1998–2001, a dzięki niskim stopom procentowym wydatki z tytułu odsetek od wcześniejszych pożyczek spadły z powrotem do poziomu 1,4% PKB w 2012 r. W dalszej części tego rozdziału bardziej szczegółowo omówimy kwestie dotyczące pożyczek rządowych i długu publicznego, ale najpierw musimy wyjaśnić różnicę między deficytem budżetowym a długiem publicznym. Deficyt to nie dług. Różnica między deficytem a długiem odnosi się do horyzontu czasowego. Deficyt budżetowy (lub nadwyżka budżetowa ) dotycza stanu budżetu państwa w danym roku. Natomiast dług publiczny (ang. government debt ) narasta w czasie. Jest to suma wszystkich przeszłych deficytów i nadwyżek. Jeśli pożyczasz 10 000 zł rocznie na każde z pięciu lat studiów, twój roczny deficyt wynosi 10 000 zł, ale skumulowany dług w ciągu pięciu lat urośnie do 50 000 zł. Pięć kategorii wydatków: dopłaty do rent i emerytur (ubezpieczenia społeczne), ochrona zdrowia, pomoc społeczna, edukacja i infrastruktura stanowiło blisko 67% wszystkich wydatków budżetu państwa w Polsce w 2020 r., jak pokazano na . Pozostałe 33% obejmuje wszystkie inne kategorie wydatków, m.in.: rynek pracy, obronę narodową, bezpieczeństwo i sprawiedliwość, środowisko, naukę i szkolnictwo wyższe. Całkowite wydatki budżetu państwa w 2020 r. wyniosły 1 058 772 mln zł. Struktura wydatków budżetu państwa w Polsce w roku 2020 Około 67% wydatków budżetu państwa w Polsce w 2020 r. przeznaczono na pięć najważniejszych dziedzin: ubezpieczenia społeczne, ochronę zdrowia, pomoc społeczną, edukację i infrastrukturę. Na wszystkie pozostałe obszary zostało zatem 33%. (Źródło: www.mf.gov.pl). Podatki Ekonomiści są zgodni, że podatki mogą zostać nałożone zarówno na strumienie, jak i zasoby. W tym pierwszym przypadku opodatkowane mogą zostać zarówno dochody i przychody, jak też wydatki. Natomiast opodatkowanie zasobów będzie dotyczyć różnych składników majątku. Podatki mogą być nałożone na dochody osób fizycznych i prawnych i obciążać dochód wypracowany przez wszystkie czynniki produkcji (pracę, kapitał i ziemię). Niektóre zryczałtowane sposoby poboru podatku od osób prawnych istniejące w Polsce (np. karta podatkowa, którą podmioty gospodarze mogły wybrać jako sposób opodatkowania do końca 2021 r.) sprawiają, że podatki te zyskują charakter przychodowy. Natomiast podatki nakładane na wydatki to przede wszystkim podatki konsumpcyjne: podatek od towarów i usług (VAT) i podatek akcyzowy. Podatki obciążające zasoby to w przeważającej części podatki majątkowe, które dotyczą nieruchomości (m.in.: podatek rolny, leśny, podatek od nieruchomości), ruchomych składników majątku (podatek od środków transportowych) oraz spadków i darowizn. Klasyfikacja stosowana przez OECD jako podatki traktuje również cła, jednak zgodnie z definicją obecną w polskim prawie nie mogą być one uważane za ten rodzaj danin publicznych. Zawierają bowiem w sobie element ekwiwalentności (nabywamy pozwolenie na wwóz albo wywóz towarów). Ekonomiści dzielą również podatki na bezpośrednie i pośrednie. Te pierwsze bezpośrednio obciążają podmiot podatku, czyli podatnika, i stanowią jego koszt. W polskim systemie prawnym podatkami bezpośrednimi są m.in.: podatek dochodowy od osób fizycznych (PIT), podatek dochodowy od osób prawnych (CIT), podatek od spadków i darowizn. Natomiast podatki pośrednie swoją nazwę wywodzą od sposobu ich poboru. Są one płacone przy zakupie obciążonych nimi dóbr lub usług, a nie bezpośrednio w urzędzie skarbowym. W Polsce do podatków pośrednich zaliczamy: podatek od towarów i usług (VAT), podatek akcyzowy i podatek od gier. Poza wskazanymi powyżej w Polsce i na świecie funkcjonują lub funkcjonowały różne inne, nietypowe podatki. Możemy do nich zaliczyć m.in.: Podatek od czystego (zazwyczaj) powietrza, czyli tzw. opłata klimatyczna dla turystów. Jej maksymalna stawka w 2023 r. to 5,40 zł za nocleg w mieście mającym status uzdrowiska oraz 2,80 zł w pozostałych. Większość gmin ustala zazwyczaj poziom maksymalny lub zbliżony do maksymalnego. Podatek od kart i zapalniczek. Od kart do gry w pokera czy układania pasjansa też trzeba było płacić podatek. W Polsce zniesiono go stosunkowo niedawno, bo w 2009 r., ale wcześniej funkcjonował przez kilkadziesiąt lat. Karty obciążone były akcyzą, a więc podatkiem nakładanym też na papierosy, alkohol czy paliwa. Przed wojną wynosiła ona od 1,30 zł do 10 zł, w zależności od liczby kart w talii i ich przeznaczenia. Na akcyzę od kart do gry zezwala cały czas Unia Europejska, choć nie są nią objęte karty do gry dla dzieci. „Bykowe”, formalnie zwane podatkiem od bezdzietności i stanu kawalerskiego, obowiązywało na początku PRL-u. Zlikwidowano je pod koniec lat 60. XX w. Było płacone zarówno przez kobiety, jak i przez mężczyzn. Podatek reprograficzny, czyli opłata, jaką wnoszą producenci i importerzy magnetofonów, magnetowidów, nagrywarek DVD i CD, kserokopiarek czy skanerów. Słowem, wszystkich urządzeń mogących posłużyć do kopiowania książek, filmów czy innych dzieł. Od niedawna taksą obłożone są nawet aparaty fotograficzne. Podatek wprowadzono w Polsce w 1994 r. razem z ustawą o prawie autorskim. Ma być rekompensatą dla twórców za możliwość powielania ich prac. Jego wysokość waha się od 0,001% do 3% wartości sprzedanych urządzeń. Opłatę uiszczać muszą też producenci czystych nośników takich jak płyta CD czy DVD, a nawet papiernie sprzedające ryzy papieru do ksero. Podatek od solariów w USA (dodatkowo 10% wartości usługi) czy podatek od basenów przydomowych w Grecji (800 euro rocznie). W Polsce, inaczej niż w Stanach Zjednoczonych, istnieją dwie główne kategorie podatków, które przynoszą budżetowi centralnemu największe dochody. Są to podatki nałożone na konsumpcję (podatek od towarów i usług – VAT i podatek akcyzowy) oraz podatki dochodowe (podatek dochodowy od osób fizycznych – PIT i podatek od dochodów osób prawnych – CIT). W Stanach Zjednoczonych nie istnieje podatek od towarów i usług, zaś podatki nałożone na konsumpcję nie odgrywają tak istotnej roli jak w Polsce i w całej UE. Kiedy większość ludzi myśli o podatkach, pierwszym, który przychodzi im na myśl, jest podatek dochodowy od osób fizycznych (PIT) (ang. individual income tax , personal income tax ). Jednak wpływy z tego tytułu (68,1 mld zł) stanowiły w 2022 r. tylko niecałe 15% dochodów podatkowych budżetu państwa (465,5 mld zł) w Polsce. Najważniejszym źródłem dochodów państwa jest podatek od towarów i usług (234,3 mld zł), który odpowiadał za ponad 50% wpływów podatkowych do budżetu centralnego. Sposób konstrukcji stawek dzieli podatki na progresywne, regresywne i proporcjonalne (zwane niekiedy liniowymi). Aby dobrze zrozumieć różnice między nimi, musimy wprowadzić pojęcia krańcowej stopy podatkowej (ang. Marginal Tax Rate, MTR ) i średniej stopy podatkowej (ang. Average Tax Rate, ATR ). Średnia stopa podatkowa to relacja kwoty odprowadzonego podatku i wysokości dochodu podlegającego opodatkowaniu, zaś krańcowa stopa podatkowa to stosunek kwoty podatku i będącej jego źródłem dodatkowej jednostki uzyskanego dochodu. W przypadku podatków proporcjonalnych krańcowa i średnia stopa podatkowa są sobie równe (jak to ma miejsce w podatku od dochodów kapitałowych – „podatku Belki”). Podatki progresywne (takie jak polski PIT) oznaczają, że krańcowa stopa podatkowa jest wyższa niż średnia stopa podatkowa, zaś podatki regresywne charakteryzują się relacją odwrotną: średnia stopa podatkowa jest niższa niż krańcowa. W klasycznej formule podatek regresywny funkcjonował w pierwszej połowie lat 90. na Łotwie. W 1995 r. został zastąpiony podatkiem liniowym. Regresję podatkową próbował również wprowadzić szwajcarski kanton Obelveden, czemu 1 czerwca 2007 r. sprzeciwił się Szwajcarski Sąd Federalny, uznając ten rodzaj opodatkowania za niezgodny z konstytucją. Podatek PIT jest podatkiem progresywnym (ang. progressive tax ), co oznacza, że krańcowe stawki podatkowe (ang. marginal tax rate ) rosną wraz ze wzrostem dochodów gospodarstwa domowego. Zgodnie ze stanem prawnym obowiązującym w Polsce w połowie roku 2023, jeśli twoje roczne dochody nie przekraczają 120 tys., zapłacisz podatek zgodnie ze stawką 12%, natomiast od dochodów przekraczających tę kwotę podatek wyniesie już 32%. Podatki dochodowe mogą mieć również charakter proporcjonalny lub regresywny. Jak działa krańcowa stawka podatkowa? Załóżmy, że średni miesięczny dochód podatnika wynosi 11 000 zł. Przyjmijmy również, że roczny dochód od 0 do 120 tys. zł jest opodatkowany stawką 12%, zaś wielkość powyżej tego progu stawką 32%. Ponieważ osoba w rozważanym przypadku zarabia 132 tys. zł rocznie, jej krańcowa stawka podatkowa wynosi 32%. Drugim najważniejszym źródłem dochodów do budżetu państwa w Polsce w 2022 r. był podatek akcyzowy (79,8 mld zł), czyli rodzaj selektywnego podatku pośredniego nakładanego na niektóre, ściśle określone ustawowo, produkty konsumpcyjne (są to m.in.: paliwa silnikowe, oleje opałowe i gaz, energia elektryczna, napoje alkoholowe oraz wyroby tytoniowe, jak również samochody osobowe, broń, kosmetyki, wyroby perfumeryjne, skóry futerkowe). Akcyza, jak każdy podatek pośredni, ma wpływ na cenę wyrobu, w związku z czym faktycznym podatnikiem jest tu ostateczny nabywca (konsument) danego dobra. Trzecim co do wielkości źródłem wpływów z podatków do budżetu państwa był w 2022 r. podatek dochodowy od osób prawnych (CIT) (ang. corporate income tax ) - 70,1 mld zł. W polskim systemie prawnym można dodatkowo wyróżnić podatek od czynności cywilnoprawnych, podatek od gier i do niedawna podatek od posiadania psa (zamieniony obecnie na opłatę lokalną). Podsumowanie Polityka fiskalna obejmuje wydatki państwa oraz zbierane przez państwo podatki. W ostatnich dziesięcioleciach poziom wydatków i podatków rządu federalnego w USA wyrażony jako odsetek PKB niewiele się zmienił, oscylując pomiędzy 18% a 22% PKB. Pięć głównych obszarów – dopłaty do rent i emerytur (ubezpieczenia społeczne), ochrona zdrowia, pomoc społeczna, edukacja i infrastruktura – stanowiło blisko 67% wszystkich wydatków budżetu państwa w Polsce w 2020 r. Kiedy państwo wydaje więcej, niż gromadzi z podatków, notuje deficyt budżetowy. Kiedy państwo uzyskuje z podatków więcej, niż wydaje, osiąga nadwyżkę budżetową. Jeśli wydatki państwa i podatki są równe, budżet pozostaje zrównoważony. Suma wszystkich przeszłych deficytów budżetowych i nadwyżek budżetowych składa się na dług publiczny. W przypadku podatku progresywnego osoby o wyższych dochodach płacą większy odsetek dochodu w postaci podatków niż osoby o niższych dochodach. Przykładem jest polski podatek dochodowy od osób fizycznych. W podatku proporcjonalnym, jakim jest np. podatek od dochodów kapitałowych, wszyscy – niezależnie od poziomu dochodów – płacą taką samą część dochodu w postaci podatków. Podatek regresywny występuje wtedy, gdy osoby o wysokich dochodach płacą niższą część dochodu w postaci podatków niż osoby o niskich dochodach. Najważniejszym źródłem dochodów budżetu państwa w Polsce pozostają od wielu lat nałożone na konsumpcję podatki pośrednie, czyli podatek od towarów i usług (VAT) i podatek akcyzowy. Pytania sprawdzające W jaki sposób można wyrównać różnice między dochodami podatkowymi a wydatkami w sytuacji, w której państwo notuje deficyt budżetowy? Państwo może np. pożyczyć pieniądze od gospodarstw domowych lub przedsiębiorstw, sprzedając obligacje skarbowe. Na co można przeznaczyć środki wygospodarowane w ramach nadwyżki budżetowej? Środki te mogą zostać wykorzystane na spłatę długu publicznego lub zostać zwrócone podatnikom. Czy jest możliwe, że państwo corocznie notuje deficyt budżetowy, a mimo to dług publiczny liczony jako procent PKB maleje? Odpowiedź uzasadnij. Tak, państwo może wykazywać deficyt budżetowy i jednocześnie notować spadek stosunku długu publicznego do PKB. Nie jest to wcale sytuacja rzadka – występowała choćby w ostatnich latach w Polsce. Jeżeli deficyt budżetowy w danym roku jest względnie niski, a wzrost gospodarczy względnie szybki, to w ułamku przedstawiającym relację długu publicznego do PKB licznik rośnie wolniej niż mianownik, czyli cały ułamek maleje. Tak zachowywała się gospodarka amerykańska w okresie od zakończenia II wojny światowej mniej więcej do 1980 r. Czy jest możliwe, że państwo osiąga corocznie nadwyżkę budżetową, a mimo to dług publiczny (jako procent PKB) rośnie? Odpowiedź uzasadnij. Teoretycznie jest to możliwe, choć mało prawdopodobne. Wyobraźmy sobie przypadek państwa z niewielką nadwyżką budżetową osiągniętą w trakcie recesji, kiedy gospodarka się kurczy. Możliwa byłaby wówczas sytuacja, że w ułamku mierzącym relację długu do PKB spadek licznika byłby proporcjonalnie mniejszy niż spadek mianownika, więc stosunek długu publicznego do PKB wzrósłby. Załóżmy, że prezenty zostały opodatkowane według stawki 10% dla kwot do 100 tys. zł i 20% dla wszystkich kwot powyżej 100 tys. zł. Czy ten podatek będzie regresywny, czy progresywny? Progresywny. Osoby, które wręczają droższe prezenty, podlegające wyższej stawce podatkowej, zazwyczaj mają też większe dochody. Stawka podatku na ubezpieczenia społeczne w USA wynosi 6,2% od dochodów pracowników poniżej 113 tys. dol. i 0% powyżej tej kwoty. Czy podatek ten ma charakter progresywny, regresywny czy proporcjonalny? Podatek ma charakter regresywny, ponieważ osoby zamożne w ogóle nie płacą podatków od dochodu powyżej 113 000 dol. Gdy porównujemy odsetek całkowitego dochodu przeznaczony na podatki, okazuje się, że podatek na ubezpieczenia społeczne w USA uderza bardziej w osoby o niższych dochodach niż w osoby zamożniejsze. Sprawdź wiedzę Podaj kilka przykładów zmian w wydatkach państwa i podatkach, które stanowiłyby politykę fiskalną, i kilka przykładów takich zmian, których nie można byłoby zakwalifikować do tej kategorii. Czy wydatki i podatki rządu federalnego USA w ciągu ostatnich kilku dekad wykazywały tendencję wzrostową, czy spadkową? Jakie są główne kategorie wydatków budżetu państwa w Polsce? Jaka jest różnica między deficytem budżetowym, zrównoważonym budżetem i nadwyżką budżetową? Jaka jest różnica między podatkiem progresywnym, proporcjonalnym i regresywnym? Ćwicz myślenie krytyczne Dlaczego do analizy ekonomicznej lepiej jest wykorzystywać wydatki państwa mierzone jako odsetek PKB, a nie w walucie krajowej w cenach bieżących? Akcyza na papierosy i alkohol oraz w szerszym kontekście wszystkie podatki nakładane na konsumpcję są często krytykowane za swój regresywny charakter. Niemniej jednak wszyscy konsumenci płacą tę samą stawkę podatku na konkretne dobro niezależnie od swojego dochodu. Czy uważasz, że krytyka tego rozwiązania jest słuszna? Problemy W pewnym państwie w roku początkowym całkowity dług publiczny wynosi 3,5 mld dol. W pierwszym roku państwo notuje deficyt budżetowy w wysokości 400 mln dol. W drugim roku deficyt budżetu państwa jest równy 1 mld dol. W trzecim roku państwo osiąga nadwyżkę budżetową w wysokości 200 mln dol. Ile wynosi całkowity dług publiczny na koniec trzeciego roku? Bibliografia Kramer, Mattea, et. al. A People's Guide to the Federal Budget. National Priorities Project. Northampton: Interlink Books, 2012. Kurtzleben, Danielle. “10 States With The Largest Budget Shortfalls.” U.S. News & World Report . January 14, 2011. http://www.usnews.com/news/articles/2011/01/14/10-states-with-the-largest-budget-shortfalls. Miller, Rich, and William Selway. “U.S. Cities and States Start Spending Again.” BloombergBusinessweek , January 10, 2013. http://www.businessweek.com/articles/2013-01-10/u-dot-s-dot-cities-and-states-start-spending-again. Weisman, Jonathan. “After Year of Working Around Federal Cuts, Agencies Face Fewer Options.” The New York Times , October 26, 2013. http://www.nytimes.com/2013/10/27/us/politics/after-year-of-working-around-federal-cuts-agencies-face-fewer-options.html?_r=0. Chantrill, Christopher. USGovernmentSpending.com. “Government Spending Details: United States Federal State and Local Government Spending, Fiscal Year 2013.” http://www.usgovernmentspending.com/year_spending_2013USbn_15bs2n_20. budżet zrównoważony (ang. balanced budget ) sytuacja, gdy wydatki państwa są równe dochodom budżetowym deficyt budżetowy (ang. budget deficit ) sytuacja, gdy wydatki państwa są większe niż dochody budżetowe nadwyżka budżetowa (ang. budget surplus ) sytuacja, gdy wydatki państwa są mniejsze niż dochody budżetowe podatek dochodowy od osób prawnych (CIT) (ang. corporate income tax ) podatek nakładany na zyski przedsiębiorstw podatek od spadków i darowizn (ang. estate and gift tax ) podatek nakładany na kwoty dziedziczone w spadku lub przekazywane w postaci darowizn przez osoby fizyczne lub prawne innym podmiotom podatek akcyzowy (ang. excise tax ) rodzaj selektywnego podatku pośredniego nakładanego na niektóre, ściśle określone ustawowo produkty konsumpcyjne, np. paliwa silnikowe, papierosy lub alkohol podatek dochodowy od osób fizycznych (PIT) (ang. individual income tax , personal income tax ) podatek od dochodu (we wszystkich formach) uzyskiwanego przez osoby fizyczne krańcowa stawka podatkowa (ang. marginal tax rate ) stopa podatkowa, która odnosi się do kolejnej uzyskanej jednostki dochodu podatek progresywny (ang. progressive tax ) podatek, w którym osoby o wyższych dochodach płacą w postaci podatków większą ich część niż osoby o niskich dochodach podatek proporcjonalny (ang. proportional tax ) podatek, w którym każda osoba, niezależnie od poziomu zarobków, przeznacza na podatki taki sam odsetek uzyskiwanego dochodu podatek regresywny (ang. regressive tax ) podatek, w którym osoby o wyższych dochodach płacą w postaci podatków mniejszą ich część niż osoby o niskich dochodach", "section": "Wydatki państwa", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Deficyt i dług publiczny Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać budżet federalny USA w kategoriach rocznego i skumulowanego długu Wyjaśnić, w jaki sposób wzrost gospodarczy i recesja wpływają na możliwość powstania nadwyżki budżetowej i deficytu budżetowego. Po omówieniu dochodów budżetu państwa (ang. budget revenue ) i wydatków budżetowych przechodzimy do analizy deficytu i nadwyżki budżetowej, czyli różnicy między dochodami państwa (w tym wpływami podatkowymi) a wydatkami w ciągu roku podatkowego. W Stanach Zjednoczonych rozpoczyna się on 1 października, a kończy 30 września następnego roku, w Polsce zaś rok budżetowy pokrywa się z kalendarzowym. pokazuje saldo (nadwyżkę, równowagę lub deficyt) budżetu federalnego Stanów Zjednoczonych (jako procent PKB) od 1930 r. Gdy krzywa znajduje się powyżej osi poziomej, budżet państwa wykazuje nadwyżkę. Gdy krzywa schodzi poniżej osi poziomej, oznacza to deficyt budżetowy. Największy deficyt (jako procent PKB) wystąpił w okresie II wojny światowej. Wysokie deficyty notowano również w latach 30. i 80. XX w., na początku lat 90. XX w., a także podczas recesji w latach 2008–2009. Saldo budżetu federalnego USA (% PKB), 1929–2020 Rząd federalny od dziesięcioleci notuje deficyt budżetowy. Pod koniec lat 90. XX w. budżet przez krótki czas wykazywał nadwyżkę, po czym w pierwszej dekadzie XXI w. ponownie pojawił się deficyt, który był szczególnie głęboki podczas recesji w latach 2008–2009. (Źródło: Bank Rezerwy Federalnej w St. Louis (FRED) http://research.stlouisfed.org/fred2/series/FYFSGDA188S). Dług publiczny Innym użytecznym sposobem analizy deficytu budżetowego jest podejście wykorzystujące poziom skumulowanego zadłużenia. Dług publiczny (ang. national debt, public debt ) to całkowita kwota, którą rząd pożyczył i jeszcze nie spłacił. Natomiast deficyt budżetowy pokazuje, ile pieniędzy rząd pożyczył w jednym konkretnym roku. przedstawia stosunek długu publicznego do PKB w Stanach Zjednoczonych od 1966 r. Począwszy od drugiej połowy lat 60. XX w. dług publiczny w USA przez kolejne 20 lat nieustanie malał. Wysokie deficyty budżetowe w latach 80. i na początku lat 90. XX w. spowodowały gwałtowny wzrost relacji długu do PKB. Z kolei, kiedy w latach 1998–2001 rząd osiągnął nadwyżkę budżetową, dług publiczny znacznie się skurczył. W następnych latach, począwszy od 2002 r., ponownie pojawił się deficyt budżetowy, który doprowadził do wzrostu długu publicznego (liczonego jako odsetek PKB) – duży skok został zanotowany zwłaszcza w okresie recesji 2008–2009. Dług publiczny rządu federalnego USA (% PKB), 1966–2020 Dług publiczny rządu federalnego USA to skumulowana, niespłacona suma rocznych deficytów i nadwyżek budżetowych. Deficyt budżetowy nie zawsze oznacza wzrost relacji długu publicznego do PKB. W latach 60. i 70. XX w. rząd często notował niewielki deficyt budżetowy, ale ponieważ wzrost zadłużenia był niższy niż wzrost PKB, stosunek długu publicznego do PKB malał. Podczas recesji w latach 2008–2009 dług publiczny (w relacji do PKB) gwałtownie wzrósł. (Źródło: Economic Report of the President, Tabela B-20, http://www.gpo.gov/fdsys/pkg/ERP-2015/content-detail.html). Poniższa pokazuje, w jaki sposób rząd radzi sobie z długiem publicznym. Czym jest dług publiczny? Deficyt budżetu państwa powoduje, że rząd sprzedaje obligacje i bony skarbowe na rynku, aby pokryć różnicę między wydatkami a dochodami budżetu państwa. Wartość wszystkich pozostających w obiegu rządowych papierów dłużnych, które muszą zostać przez państwo odkupione, jest równa długowi publicznemu. Droga od deficytów do nadwyżek i z powrotem Dlaczego deficyty budżetowe nagle zmieniły się w nadwyżkę budżetową w latach 1998–2001, a następnie od 2002 r. znów pojawiły się deficyty? Dlaczego deficyt stał się tak bardzo wysoki po 2007 r.? sugeruje kilka odpowiedzi. Wykres przedstawia wcześniej prezentowane dane dotyczące całkowitych wydatków i dochodów podatkowych rządu federalnego USA w sposób umożliwiający odczytanie salda budżetowego od 1990 r. Całkowite wydatki i dochody podatkowe rządu federalnego w USA (% PKB), 1990–2020 Kiedy wydatki państwa przekraczają dochody podatkowe, różnica tych dwóch wielkości jest deficytem budżetowym. Kiedy dochody podatkowe są większe niż wydatki państwa, różnica jest nadwyżką budżetową. Podczas recesji, która rozpoczęła się pod koniec 2007 r., wydatki państwa były wyższe, a wpływy podatkowe niższe, co doprowadziło do gwałtownego wzrostu deficytu publicznego w roku 2009. Z analogiczną sytuacją mieliśmy do czynienia w czasie recesji wywołanej pandemią koronawirusa w roku 2020. (Źródło: Raport ekonomiczny Prezydenta, Tabele B-21 i B-1, http://www.gpo. gov/fdsys/pkg/ERP-2015/content-detail.html). Wydatki rządu federalnego USA (w % PKB) systematycznie spadały w latach 90. XX w. Najważniejszym powodem tego stanu rzeczy było zmniejszenie nakładów na obronę narodową z 5,2% PKB w 1990 r. do 3,0% PKB w roku 2000. Zmniejszyły się także wydatki rządu federalnego z tytułu odsetek (w % PKB) – o ok. 1 punkt procentowy. Dochody podatkowe na szczeblu federalnym znacznie wzrosły w późnych latach 90. XX w., skacząc z 18,1% PKB w 1994 r. do 20,8% PKB w 2000 r. Szybki rozwój gospodarczy pod koniec lat 90. ub. wieku doprowadził do znacznego wzrostu dochodów podatkowych. Podatki dochodowe od osób fizycznych zwiększają się wraz ze wzrostem dochodów gospodarstw domowych, z kolei podatki dochodowe od osób prawnych rosną wraz ze wzrostem zysków przedsiębiorstw. W tym samym czasie wydatki państwa na płatności transferowe, takie jak zasiłki dla bezrobotnych, bony żywnościowe i opieka społeczna, zmniejszyły się, ponieważ więcej osób pracowało. Tak gwałtowny wzrost dochodów podatkowych i spadek wydatków na płatności transferowe był w dużej mierze nieoczekiwany, nawet dla doświadczonych analityków budżetowych, stąd nadwyżka budżetowa była zaskoczeniem. Jednak na początku XXI w. wiele z tych korzystnych czynników wygasło. Dochody podatkowe spadły, głównie z powodu recesji, której początek odnotowano w marcu 2001 r. Kongres uchwalił serię obniżek podatków, a prezydent George W. Bush podpisał je i w 2001 r. weszły one w życie. Ponadto wydatki rządowe wzrosły z powodu zwiększenia wydatków na obronę narodową, opiekę zdrowotną, edukację, ubezpieczenia społeczne i programy wsparcia dla ludzi dotkniętych przez recesję i powolny wzrost gospodarczy, który po niej nastąpił. Budżet zaczął ponownie notować deficyt. Kiedy pod koniec 2007 r. rozpoczęła się recesja związana z globalnym kryzysem finansowym, wydatki państwa wzrosły, a wpływy podatkowe spadły do niespotykanego w historii poziomu, co doprowadziło do ogromnych niedoborów w budżecie. Długoterminowe prognozy budżetowe dla Stanów Zjednoczonych, o horyzoncie czasowym dłuższym niż 10-letni, przewidują ogromne deficyty. Wzrost deficytu budżetowego podczas recesji lat 2008–2009 wywołał negatywne długookresowe skutki. Do tego dochodzą niekorzystne następstwa pandemii koronawirusa oraz trudna sytuacja demograficzna. Głównym powodem tej ostatniej jest baby boom – wyjątkowo wysoki wskaźnik urodzeń, który rozpoczął się w 1946 r., zaraz po II wojnie światowej, i trwał przez mniej więcej dwie dekady. W 2010 r. pierwsze osoby urodzone w okresie powojennego wyżu demograficznego zaczęły osiągać wiek 65 lat, a w ciągu kolejnych dwóch dekad odsetek Amerykanów w wieku powyżej 65 lat znacznie wzrośnie. Oznacza to, że wpływy z podatków od wynagrodzeń, które są przeznaczane na finansowanie ubezpieczeń społecznych i programu Medicare, będą znacznie niższe niż przewidywane wydatki na te programy, jak pokazuje poniższa . Decyzja rządu o wzroście stawek podatkowych w celu wsparcia tych programów lub o obniżeniu poziomu wypłacanych z nich świadczeń zmieniłaby te niekorzystne długoterminowe trendy. Jakie są długookresowe prognozy budżetowe dla ubezpieczeń społecznych i programu Medicare? W 1946 r. tylko jeden na 13 Amerykanów miał ponad 65 lat. W 2000 r. stosunek ten wynosił już jeden do ośmiu. Do 2030 r. co piąty Amerykanin będzie w wieku ponad 65 lat. Ubezpieczenia społeczne ( Social Security ) i Medicare to dwa ogromne programy federalne w USA adresowane do osób starszych. Rosnąca liczba Amerykanów w starszym wieku powoduje wzrost wydatków na te programy, a także na program Medicaid . Obecny podatek od wynagrodzeń nałożony na pracowników, finansujący całość ubezpieczeń społecznych i część programu Medicare dotyczącą ubezpieczeń na wypadek hospitalizacji, nie wystarczy na pokrycie oczekiwanych kosztów. Jakie są więc możliwe opcje? Długoterminowe prognozy Biura Budżetowego Kongresu na 2009 r. wskazują, że łączne wydatki na ubezpieczenia społeczne i program Medicare wzrosną z 8,3% PKB w 2009 r. do ok. 13% PKB w roku 2035 r. i ok. 20% PKB w 2080. Sfinansowanie tych wydatków wymagać będzie pewnych zmian: (1) podatki będą musiały drastycznie wzrosnąć; (2) inne wydatki będą musiały drastycznie zmaleć; (3) wiek emerytalny lub wiek umożliwiający uzyskanie świadczenia Medicare trzeba będzie podwyższyć lub (4) rząd federalny będzie musiał akceptować bardzo wysokie deficyty budżetowe. Niektórzy sugerują zniesienie górnego limitu wynagrodzeń podlegających opodatkowaniu podatkiem od wynagrodzeń, tak aby osoby o bardzo wysokich dochodach musiały płacić podatek od całej kwoty swoich zarobków. Inni proponują finansowanie Social Security i Medicare nie w ramach systemu, w którym obecni pracownicy płacą na emerytów, a w ramach systemu kapitałowego, gdzie każdy pracownik ma indywidualne konto, na które wpłaca fundusze przez całe życie, a po przejściu na emeryturę opłaca z nich opiekę zdrowotną. Problem ten występuje nie tylko w Stanach Zjednoczonych. Zapewnienie odpowiedniego poziomu świadczeń emerytalnych i zdrowotnych rosnącemu odsetkowi osób starszych przy spadającym odsetku pracowników będzie jeszcze trudniejsze w wielu krajach europejskich (w tym w Polsce) i w Japonii. To, skąd wziąć pieniądze, aby wypłacić obiecane świadczenia osobom starszym, będzie trudną decyzją polityczną. W kolejnej części omówimy wykorzystanie polityki fiskalnej do przeciwdziałania cyklom koniunkturalnym. Ponadto przyjrzymy się polityce zrównoważonego budżetu, czyli sytuacji, w której wydatki i dochody państwa są równe. W wyjaśnimy wpływ polityki fiskalnej i zadłużenia państwa na oszczędności krajowe, a tym samym na wzrost gospodarczy i bilans handlowy. Podsumowanie Przez większą część XX w. rząd Stanów Zjednoczonych zaciągał długi w czasie wojny, a następnie spłacał je powoli w czasie pokoju. Jednak pod koniec stulecia, w latach 80. i na początku lat 90., mimo pokoju USA też mocno się zapożyczyły. Potem pojawił się okres nadwyżek budżetowych w latach 1998–2001, po którym nastąpił powrót do deficytów, szczególnie wysokich podczas recesji w latach 2008–2009. Deficyt budżetowy i nadwyżka budżetowa są mierzone w skali roku. Natomiast dług publiczny to pozostała do spłaty suma dotychczasowych sald budżetowych. Pytania sprawdzające Dług publiczny ma pewną cechę samonapędzania się. Istnieje bowiem jedna kategoria wydatków państwa, która automatycznie rośnie wraz z nim. Jakie to wydatki? Wraz ze wzrostem zadłużenia rosną również płatności odsetkowe, więc deficyt budżetowy rośnie, nawet jeśli inne wydatki państwa są stałe. Prawda czy fałsz (zadanie dotyczy gospodarki Stanów Zjednoczonych)?: Wydatki rządu federalnego w USA znacznie wzrosły w ostatnich dziesięcioleciach. Deficyty federalne były bardzo duże w latach 1995–2015. Skumulowany dług federalny (jako procent PKB) jest bliski osiągnięcia najwyższego poziomu w historii. Jako udział w PKB jest to fałsz. W dolarach nominalnych jest to prawda. Fałsz. Chociaż deficyty budżetowe były duże w latach 2003 i 2004 oraz utrzymywały się w późniejszych latach, rząd federalny wykazywał nadwyżki budżetowe w okresie 1998–2001. Fałsz. Sprawdź wiedzę Jak zmieniała się wysokość deficytów budżetowych w Stanach Zjednoczonych w ostatnich dekadach? Jaka jest różnica między deficytem budżetowym a długiem publicznym? Ćwicz myślenie krytyczne Czy w okresie szybkiego wzrostu gospodarczego rząd federalny zanotuje raczej nadwyżkę budżetową, czy deficyt budżetowy? Od czego jeszcze to zależy? Ekonomista Arthur Laffer zauważył, że w niektórych przypadkach wpływy z podatku dochodowego mogą wzrosnąć, gdy stawki podatkowe spadną. Dlaczego, twoim zdaniem, niekiedy tak właśnie się dzieje? Czy jest możliwe, aby w kraju notującym deficyt budżetowy stosunek długu publicznego do PKB malał? Odpowiedź uzasadnij. Czy w kraju może jednocześnie wystąpić nadwyżka budżetowa i wzrost relacji długu publicznego do PKB? Odpowiedź uzasadnij. Problemy Jeśli państwo notuje deficyt budżetowy w wysokości 10 mld dol. rocznie przez 10 lat, następnie nadwyżkę budżetową w wysokości 1 mld dol. przez 5 lat, a potem zrównoważony budżet przez kolejne 10 lat, to ile wynosi dług publiczny? Bibliografia Eisner, Robert. The Great Deficit Scares: The Federal Budget, Trade, and Social Security . New York: Priority Press Publications, 1997. Weisman, Jonathan, and Ashley Parker. “Republicans Back Down, Ending Crisis Over Shutdown and Debt Limit.” The New York Times , October 16, 2013. http://www.nytimes.com/2013/10/17/us/congress-budget-debate.html. Wessel, David. Red Ink: Inside the High-Stakes Politics of Federal Budget . New York: Crown Publishing Group, 2013. dług publiczny (ang. national debt , public debt ) całkowita skumulowana kwota środków, którą rząd pożyczył i jeszcze nie spłacił; inaczej mówiąc, skumulowana wartość sald budżetowych z przeszłości", "section": "Deficyt i dług publiczny", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Dyskrecjonalna polityka fiskalna wykorzystywana do walki z recesją, bezrobociem i inflacją Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, w jaki sposób ekspansywna polityka fiskalna wpływa na popyt globalny i gospodarkę Wyjaśnić, w jaki sposób restrykcyjna polityka fiskalna wpływa na popyt globalny i gospodarkę Polityka fiskalna polega na wykorzystaniu wydatków państwa i podatków do stymulowania gospodarki. Na wykresie z modelem AD-AS ekspansywna polityka fiskalna (ang. expansionary fiscal policy ), niezależnie od tego, czy polega na wzroście wydatków, czy obniżeniu podatków, przesuwa krzywą popytu globalnego (ang. aggregate demand ) w prawo, co oznacza wzrost popytu przy każdym poziomie cen. I analogicznie, restrykcyjna polityka fiskalna (ang. contractionary fiscal policy ), niezależnie od tego, czy jest realizowana poprzez spadek wydatków, czy wzrost podatków, przesuwa krzywą popytu globalnego w lewo, co jest tożsame ze spadkiem popytu, niezależnie od poziomu cen. W rozdziale o wzroście gospodarczym zostało powiedziane, że ilość i jakość naszych zasobów rośnie wraz ze wzrostem liczby ludności, a tym samym siły roboczej, ponieważ przedsiębiorstwa inwestują w nowy kapitał i ulepszają technologie. Rezultatem są regularne przesunięcia krzywej podaży globalnej w prawo, co przedstawia . Początkowa równowaga występuje w punkcie E 0 , czyli na przecięciu krzywej popytu globalnego AD 0 i krzywej podaży globalnej SAS 0 , tj. przy wielkości produkcji 200 i poziomie cen 90. Rok później krzywa podaży globalnej (ang. aggregate supply ) w związku ze wzrostem gospodarczym przesuwa się w prawo, do położenia SAS 1 , zaś krzywa popytu globalnego również przesuwa się w prawo, do AD 1 , powodując, że gospodarka znajdzie się na nowym poziomie potencjalnego PKB. W nowej równowadze (E 1 ) wielkość produkcji wynosi 206, a poziom cen jest równy 92. W kolejnym roku krzywa podaży globalnej ponownie przesuwa się w prawo, tym razem do położenia SAS 2 , przy jednoczesnym przesunięciu krzywej popytu globalnego w tym samym kierunku, do AD 2 . Równowaga występuje teraz w punkcie E 2 , gdzie wielkość produkcji i poziom cen wynoszą odpowiednio 212 i 94. Podsumowując, wykres przedstawia gospodarkę, która z roku na rok rośnie stabilnie, produkując każdego roku na poziomie swojego potencjalnego PKB przy relatywnie niskiej inflacji. Stabilnie rosnąca gospodarka W tej dobrze funkcjonującej gospodarce każdego roku krzywe podaży globalnej i popytu globalnego przesuwają się w prawo, a gospodarka przechodzi z punktu równowagi E 0 do E 1 i potem do E 2 . Każdego roku wielkość produkcji jest równa potencjalnemu PKB, a stopa inflacji jest niska (tj. występuje jedynie niewielki wzrost cen). Jeśli jednak zwiększenie popytu globalnego nie dorówna zwiększeniu podaży globalnej, wzrostowi gospodarczemu może towarzyszyć deflacja. Popyt globalny i podaż globalna nie zawsze zmieniają się w tym samym stopniu. Zastanów się, co powoduje zmiany popytu globalnego w czasie. Jeśli podaż globalna rośnie, zwiększają się także dochody. Prowadzi to zwykle do wzrostu wydatków konsumpcyjnych i inwestycyjnych, przesuwając krzywą popytu globalnego w prawo, ale w danym okresie krzywa ta nie musi przesunąć się o taką samą wielkość, jak krzywa podaży globalnej. Co się dzieje z wydatkami państwa i podatkami? Państwo każdego roku pokrywa swoje standardowe wydatki, takie jak obrona narodowa, ubezpieczenia społeczne i ochrona zdrowia, co pokazuje . Częściowo są one finansowane przez wpływy podatkowe. Okazuje się, że rezultatem wzrostu podaży globalnej może być wzrost popytu globalnego o więcej lub mniej, niż wynosi wzrost podaży. Może wystąpić nawet spadek popytu, z różnych powodów: gospodarstwa domowe zaczynają ograniczać konsumpcję; przedsiębiorstwa nie chcą tak dużo inwestować; maleje eksport. Na przykład w USA inwestycje przedsiębiorstw prywatnych w kapitał rzeczowy rozkwitły pod koniec lat 90. XX w., wzrastając z 14,1% PKB w 1993 r. do 17,2% PKB w 2000 r., po czym spadły z powrotem do 15,2% PKB w roku 2002. Jeśli natomiast wzrost popytu globalnego jest szybszy niż wzrost podaży globalnej, pojawia się inflacja. Cykle koniunkturalne, polegające na naprzemiennym występowaniu okresów ożywienia i recesji, są konsekwencją zmian popytu globalnego i podaży globalnej. Państwo może zastosować odpowiednią politykę fiskalną w celu zmniejszenia wahań cyklicznych. pokazuje, że bank centralny może wykorzystać politykę pieniężną do prowadzenia działań antycyklicznych, mających na celu łagodzenie wahań koniunkturalnych. Jeśli gospodarce grozi recesja, bank centralny stosuje ekspansywną politykę pieniężną, polegającą na zwiększeniu podaży pieniądza, zwiększeniu ilości i wartości kredytów oraz obniżeniu stóp procentowych, co powoduje przesunięcie krzywej popytu globalnego w prawo. Jeśli gospodarce grozi inflacja, bank centralny stosuje restrykcyjną politykę pieniężną, polegającą na ograniczeniu podaży pieniądza, zmniejszeniu ilości i wartości kredytów oraz podniesieniu stóp procentowych, co prowadzi do przesunięcia krzywej popytu globalnego w lewo. Natomiast polityka fiskalna to inne narzędzie polityki makroekonomicznej, służące do oddziaływania na popyt globalny za pomocą wydatków państwa i podatków. Ekspansywna polityka fiskalna Ekspansywna polityka fiskalna zwiększa popyt globalny w wyniku wzrostu wydatków państwa lub obniżki podatków. Wzrost popytu globalnego może nastąpić z powodu: (1) zwiększenia konsumpcji na skutek wzrostu dochodów rozporządzalnych gospodarstw domowych wywołanego niższym podatkiem dochodowym od osób fizycznych; (2) zwiększenia wydatków inwestycyjnych przedsiębiorstw na skutek wzrostu zysków po opodatkowaniu spowodowanego niższym podatkiem dochodowym od osób prawnych; oraz (3) zwiększenia zakupów dóbr i usług przez rząd centralny oraz samorządy (szczególnie największe aglomeracje). Restrykcyjna polityka fiskalna działa odwrotnie: obniża poziom popytu globalnego poprzez zmniejszanie konsumpcji i inwestycji (drogą podwyżki podatków) lub zmniejszanie wydatków państwa. Model AD-AS jest przydatny do oceny, czy prowadzona przez państwo ekspansywna lub restrykcyjna polityka fiskalna jest właściwa. Rozważmy sytuację przedstawioną na . Jest ona analogiczna do tej, która wystąpiła w Stanach Zjednoczonych podczas recesji w latach 2008–2009. Punkt przecięcia krzywej popytu globalnego (AD 0 ) i krótkookresowej krzywej podaży globalnej (SAS 0 ) występuje poniżej poziomu potencjalnego PKB reprezentowanego przez krzywą LAS. W równowadze E 0 pojawia się recesja i wzrasta bezrobocie. W takim przypadku ekspansywna polityka fiskalna polegająca na obniżeniu podatków lub wzroście wydatków państwa przesuwa krzywą popytu globalnego do położenia AD 1 , czyli w kierunku produkcji przy pełnym zatrudnieniu. Poziom cen rośnie do P 1 , co odpowiada produkcji potencjalnej przy popycie AD 1 . Ekspansywna polityka fiskalna Początkowa równowaga (E 0 ) reprezentuje recesję występującą przy wielkości produkcji (Y 0 ) poniżej poziomu potencjalnego PKB. Jednak wzrost popytu globalnego z AD 0 do AD 1 , wywołany ekspansywną polityką fiskalną, przesuwa gospodarkę do nowej równowagi E 1 na krzywej LAS, czyli na poziomie potencjalnego PKB. Ponieważ gospodarka pierwotnie produkowała poniżej poziomu potencjalnego PKB, wzrost poziomu cen z P 0 do P 1 powinien być stosunkowo niewielki. Jakie decyzje powinno podjąć państwo (obniżyć podatki, zwiększyć wydatki czy też zastosować kombinację obu tych posunięć), aby ekspansywna polityka fiskalna zadziałała najskuteczniej? Podczas globalnego kryzysu finansowego (2008–2009), który właściwie zaczął się pod koniec 2007 r., gospodarka USA zanotowała skumulowany spadek PKB o 3,1%. Może się to wydawać relatywnie umiarkowaną recesją, ale jest to jednocześnie więcej niż średnia roczna stopa wzrostu PKB. W tym samym okresie stopa bezrobocia podwoiła się, rosnąc z 5% do 10%. W efekcie było to najbardziej dotkliwe spowolnienie gospodarcze w historii Stanów Zjednoczonych od czasu Wielkiego Kryzysu lat 30. XX w. Wybór między obniżką podatków a zwiększeniem wydatków jest decyzją polityczną. W USA – nieco upraszczając skomplikowany obraz zależności politycznych – konserwatyści i republikanie wolą, aby ekspansywna polityka fiskalna była realizowana przez obniżki podatków, natomiast liberałowie i demokraci preferują wzrost wydatków państwa. W ponadpartyjnej próbie rozwiązania tej ekstremalnej sytuacji administracja prezydenta Baracka Obamy i Kongres Stanów Zjednoczonych wdrożyły na początku 2009 r. ekspansywny wariant polityki fiskalnej, który przełożył się na wzrost popytu globalnego o 830 mld dol. i obejmował zarówno obniżki podatków, jak i zwiększenie wydatków państwa. Jednocześnie jednak bodziec na poziomie federalnym został częściowo zniwelowany, gdy władze stanowe i lokalne, których budżety mocno ucierpiały w wyniku recesji, zaczęły ciąć wydatki. Konflikt dotyczący tego, jakiego narzędzia polityki fiskalnej należy użyć do oddziaływania na popyt globalny, może być frustrujący dla tych, którzy opowiadają się za ekonomią „liberalną” lub „konserwatywną” albo chcą wykorzystać modele ekonomiczne do polemiki ze swoimi politycznymi przeciwnikami. Jednak model AD-AS może być równie dobrze wykorzystany przez zwolenników mniejszego państwa, dążących do obniżenia podatków i wydatków publicznych, jak i zwolenników większego państwa, chcących podnieść wydatki i podatki. Badania ekonomiczne konkretnych programów podatkowych i wydatkowych mogą pomóc w podejmowaniu decyzji o tym, czy rząd powinien zmieniać podatki, czy raczej wydatki, i w jaki sposób. Niemniej jednak ostateczne decyzje dotyczące zmian w podatkach i wydatkach państwa w celu realizacji polityki makroekonomicznej są raczej decyzjami politycznymi niż czysto ekonomicznymi. Restrykcyjna polityka fiskalna Polityka fiskalna może również przyczynić się do zwiększenia popytu globalnego ponad potencjalny PKB, co wywołuje inflację. Jak pokazuje , bardzo duży deficyt budżetowy powoduje tak silny wzrost popytu globalnego, że punkt przecięcia krzywej popytu globalnego (AD 0 ) i krótkookresowej krzywej podaży globalnej (SAS 0 ) występuje w stanie równowagi E 0 , czyli przy poziomie produkcji powyżej potencjalnego PKB. Ekonomiści czasami nazywają taką sytuację „przegrzaniem gospodarki”, gdyż popyt jest tak wysoki, że istnieje presja na wzrost płac i cen, co wywołuje inflację. W tej sytuacji restrykcyjna polityka fiskalna obejmująca cięcia wydatków lub podwyżki podatków może pomóc zmniejszyć presję inflacyjną poprzez przesunięcie krzywej popytu globalnego w lewo, do położenia AD 1 . W rezultacie gospodarka przesunie się do nowego punktu równowagi E 1 znajdującego się na poziomie potencjalnego PKB, gdzie krzywa popytu globalnego przecina się z krzywą LAS. Restrykcyjna polityka fiskalna Gospodarka startuje z punktu równowagi przy produkcji Y 0 , czyli powyżej potencjalnego PKB. Ekstremalnie wysoki poziom popytu globalnego wywołuje presję inflacyjną. Restrykcyjna polityka fiskalna przesuwa krzywą popytu globalnego w dół, z położenia AD 0 do AD 1 , prowadząc do nowej wielkości produkcji w równowadze (Y 1 ) występującej przy potencjalnym PKB, gdzie krzywa AD 1 przecina się z krzywą LAS. Ponownie, model AD-AS nie mówi, w jaki sposób rząd powinien prowadzić restrykcyjną politykę fiskalną. Niektórzy mogą preferować cięcia wydatków, inni – podwyżki podatków, a jeszcze inni uważać, że zależy to od konkretnej sytuacji. Model dowodzi jedynie, że w tym konkretnym przypadku państwo powinno zmniejszyć popyt globalny. Podsumowanie Ekspansywna polityka fiskalna zwiększa poziom popytu globalnego poprzez wzrost wydatków państwa lub obniżenie podatków. Najskuteczniejsza jest wtedy, gdy gospodarka znajduje się w recesji, zaś wielkość produkcji jest niższa od poziomu potencjalnego PKB. Restrykcyjna polityka fiskalna prowadzi do spadku popytu globalnego poprzez cięcia wydatków państwa lub podwyżki podatków. Najlepiej sprawdza się wtedy, gdy gospodarka produkuje powyżej poziomu potencjalnego PKB. Pytania sprawdzające Co jest głównym celem stosowania restrykcyjnej polityki fiskalnej w okresie szybkiego wzrostu gospodarczego? Zahamowanie inflacji. Co jest głównym celem stosowania ekspansywnej polityki fiskalnej w czasie recesji? Zwiększanie zatrudnienia. Sprawdź wiedzę Jaka jest różnica między ekspansywną a restrykcyjną polityką fiskalną? Wskaż, w jakich warunkach gospodarczych rząd może zastosować ekspansywną politykę fiskalną, a kiedy może zastosować restrykcyjny wariant tej polityki. Ćwicz myślenie krytyczne Czy ekspansywna polityka fiskalna jest lepiej oceniana przez polityków, którzy są zwolennikami bardziej rozbudowanej roli państwa w gospodarce, czy też przez tych, którzy preferują jego znacznie bardziej ograniczoną rolę? Uzasadnij swoją odpowiedź. Problemy Jaki wariant polityki fiskalnej (ekspansywny czy restrykcyjny) wydaje się najbardziej odpowiedni w każdej z poniższych sytuacji? Odpowiedź zilustruj za pomocą modelu AD-AS. Recesja Załamanie na giełdzie negatywnie wpływające na nastroje konsumentów i przedsiębiorstw Niezwykle szybki wzrost eksportu Rosnąca inflacja Wzrost naturalnej stopy bezrobocia Wzrost cen ropy naftowej Bibliografia Alesina, Alberto, and Francesco Giavazzi. Fiscal Policy after the Financial Crisis (National Bureau of Economic Research Conference Report) . Chicago: University Of Chicago Press, 2013. Martin, Fernando M. “Fiscal Policy in the Great Recession and Lessons from the Past.” Federal Reserve Bank of St. Louis: Economic Synopses . no. 1 (2012). http://research.stlouisfed.org/publications/es/12/ES_2012-01-06.pdf. Bivens, Josh, Andrew Fieldhouse, and Heidi Shierholz. “From Free-fall to Stagnation: Five Years After the Start of the Great Recession, Extraordinary Policy Measures Are Still Needed, But Are Not Forthcoming.” Economic Policy Institute . Last modified February 14, 2013. http://www.epi.org/publication/bp355-five-years-after-start-of-great-recession/. Lucking, Brian, and Dan Wilson. Federal Reserve Bank of San Francisco, “FRBSF Economic Letter—U.S. Fiscal Policy: Headwind or Tailwind?” Last modified July 2, 2012. http://www.frbsf.org/economic-research/publications/economic-letter/2012/july/us-fiscal-policy/. Greenstone, Michael, and Adam Looney. Brookings. “The Role of Fiscal Stimulus in the Ongoing Recovery.” Last modified July 6, 2012. http://www.brookings.edu/blogs/jobs/posts/2012/07/06-jobs-greenstone-looney. restrykcyjna polityka fiskalna (ang. contractionary fiscal policy ) polityka fiskalna, która zmniejsza popyt globalny poprzez cięcia wydatków państwa i/lub podwyżki podatków ekspansywna polityka fiskalna (ang. expansionary fiscal policy ) polityka fiskalna, która zwiększa popyt globalny poprzez wzrost wydatków państwa i/lub obniżkę podatków", "section": "Dyskrecjonalna polityka fiskalna wykorzystywana do walki z recesją, bezrobociem i inflacją", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Automatyczne stabilizatory koniunktury Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać, w jaki sposób rząd może wykorzystać dyskrecjonalną (uznaniową) politykę fiskalną do stabilizowania gospodarki Objaśnić, czym są automatyczne stabilizatory koniunktury Zrozumieć, w jaki sposób rząd może wykorzystać koncepcję budżetu strukturalnego (budżetu pełnego zatrudnienia) do identyfikowania automatycznych stabilizatorów koniunktury Miliony amerykańskich bezrobotnych, którzy stracili posady w latach 2008–2009, pobierało zasiłki, w mniejszej lub większej części zastępujące ich uzyskiwane wcześniej dochody z pracy. O dyskrecjonalnej polityce fiskalnej (zwanej też uznaniową ) (ang. discretionary fiscal policy ) mówimy wtedy, gdy rząd uchwala nowe prawo wyraźnie zmieniające wysokość podatków lub wydatków państwa. Przykładem jest pakiet stymulacyjny z 2009 r. w USA, podatkowy program Polski Ład przygotowany przez rząd PiS w 2022 r., wprowadzenie do polskiego prawa programu Rodzina 500 Plus czy też trzynastej i czternastej emerytury. Zmiany wielkości podatków i wydatków państwa mogą również zachodzić automatycznie, dzięki automatycznym stabilizatorom koniunktury (ang. automatic stabilizers ), takim jak zasiłki dla bezrobotnych, które stymulują wzrost popytu globalnego w czasie recesji i ograniczają jego rozmiary w okresie silnego ożywienia. Łagodzenie recesji i ożywienia Rozważmy najpierw sytuację, gdy popyt globalny gwałtownie rośnie, powodując przesunięcie się punktu równowagi do poziomu produkcji powyżej potencjalnego PKB. Sytuacja ta zwiększa presję inflacyjną w gospodarce. Receptą w takim przypadku jest restrykcyjna polityka fiskalna, realizowana najczęściej poprzez kombinację wyższych podatków i niższych wydatków państwa. Do pewnego stopnia obie zmiany następują automatycznie. Jeśli chodzi o podatki, wzrost popytu globalnego oznacza, że pracownicy i przedsiębiorstwa w całej gospodarce zarabiają więcej. Ponieważ podatki zależą m.in. od wysokości dochodów osobistych i zysków przedsiębiorstw, wzrost popytu globalnego automatycznie zwiększa wpływy podatkowe. Dodatkowo, rosnąca inflacja, która zazwyczaj jest konsekwencją gwałtownego wzrostu popytu globalnego, również zwiększa dochody budżetu, tak jak to miało miejsce w Polsce w 2022 r. Jeśli chodzi o wydatki, większy popyt globalny oznacza zazwyczaj niższe bezrobocie i mniej zwolnień pracowników, a więc istnieje mniejsze zapotrzebowanie na wydatki państwa przeznaczane na zasiłki dla bezrobotnych, opiekę społeczną i inne programy zabezpieczenia społecznego. Ten sam mechanizm działa również w drugą stronę. Gdy popyt globalny gwałtownie spada i pojawia się recesja, receptą jest ekspansywna polityka fiskalna – mieszanka obniżek podatków i wzrostu wydatków państwa. Niższy popyt globalny i wyższe bezrobocie powodują spadek dochodów osobistych i zysków przedsiębiorstw, co powoduje automatyczne zmniejszenie kwoty należnych podatków. Wyższe bezrobocie i pogorszenie kondycji gospodarki prowadzą do zwiększenia wydatków państwa na zasiłki dla bezrobotnych, opiekę społeczną i inne tego typu programy. Na przykład w roku 2009 w USA pakiet stymulacyjny obejmował wydłużenie okresu pobierania zasiłku dla bezrobotnych. Jak sugeruje analiza modelu AD-AS, automatyczne stabilizatory osłabiają tempo wzrostu popytu globalnego w sytuacji, w której rząd wdraża ekspansywny wariant polityki fiskalnej, i zwiększają dynamikę wzrostu wydatków globalnych wtedy, gdy rząd decyduje się na restrykcyjny wariant polityki fiskalnej. Połączenie automatycznych stabilizatorów koniunktury i dyskrecjonalnej polityki fiskalnej spowodowało bardzo duży deficyt budżetowy w USA w 2009 r. Globalny kryzys finansowy, który rozpoczął się pod koniec 2007 r., oznaczał zmniejszenie aktywności podmiotów ekonomicznych generujących podatki. Większość ekonomistów, nawet tych, którzy są zaniepokojeni utrzymującymi się dużymi deficytami budżetowymi, jest znacznie mniej niechętnych lub wręcz popiera krótkookresowe (obejmujące kilka lat) wzrosty deficytów budżetowych podczas poważnych recesji i bezpośrednio po nich. Spojrzenie wstecz na historię gospodarczą pozwala znaleźć inne przykłady kluczowej roli automatycznych stabilizatorów koniunktury. Przypomnijmy, że w drugiej dekadzie XXI w. w Stanach Zjednoczonych okresy wzrostu gospodarczego między recesjami wydłużyły się (o czym mówiliśmy w ). Trzy najdłuższe fazy wzrostu gospodarczego w ciągu XX w. w Stanach Zjednoczonych miały miejsce w latach 60. i 80. oraz w okresie 1991–2001. Jednym z powodów, dla których w ostatnich dekadach gospodarka rzadziej wpadała w recesję, jest wzrost wydatków państwa i podatków w drugiej połowie XX w. Zatem zakres i skala automatycznego stabilizowania gospodarki ze strony wydatków państwa i podatków są obecnie większe niż w pierwszej połowie XX w. Na przykład ok. 1900 r. wydatki federalne w USA stanowiły mniej więcej 2% PKB. W 1929 r., tuż przed wybuchem Wielkiego Kryzysu, wydatki rządowe nadal wynosiły tylko 4% PKB. Mniejsze rozmiary państwa przed wybuchem II wojny światowej sprawiały, że automatyczne stabilizatory były znacznie słabsze niż w ostatnich kilku dekadach, kiedy wydatki rządowe w USA osiągały często poziom 20% PKB lub nawet wyższy. Budżet strukturalny W Stanach Zjednoczonych Biuro Budżetowe Kongresu (ang. Congressional Budget Office , CBO) oblicza każdego roku saldo budżetu strukturalnego (ang. standardized employment budget ). Pokazuje ono, jaki byłby wynik budżetu (deficyt lub nadwyżka), gdyby gospodarka produkowała na poziomie potencjalnego PKB, czyli w sytuacji, w której istniałoby tylko bezrobocie naturalne. W krajach UE analogiczne działania podejmuje Komisja Europejska. Oznacza to, że deficyt strukturalny nie uwzględnia wpływu automatycznych stabilizatorów. przedstawia rzeczywisty i strukturalny deficyt budżetowy w Stanach Zjednoczonych w ostatnich dziesięcioleciach. Odwiedź poniższą stronę internetową , aby dowiedzieć się więcej o Biurze Budżetowym Kongresu Stanów Zjednoczonych. Porównanie rzeczywistego i strukturalnego deficytu budżetowego w USA w latach 1965–2020 Kiedy gospodarka jest w recesji, deficyt strukturalny jest mniejszy niż deficyt rzeczywisty, ponieważ wielkość produkcji znajduje się poniżej potencjalnego PKB, a automatyczne stabilizatory zmniejszają podatki i zwiększają wydatki państwa. Kiedy gospodarka znajduje się w fazie szybkiego wzrostu, deficyt strukturalny (lub nadwyżka strukturalna) jest większy niż deficyt rzeczywisty (lub rzeczywista nadwyżka), ponieważ gospodarka produkuje na poziomie zbliżonym do potencjalnego PKB (lub nawet większym), więc automatyczne stabilizatory podnoszą podatki i zmniejszają zapotrzebowanie na wydatki państwa. (Źródła: Actual and Cyclically Adjusted Budget Surpluses/Deficits, http://www.cbo.gov/publication/43977; Economic Report of the President, Table B-1, http://www.gpo.gov/fdsys/pkg/ERP-2013/content-detail.html). Zauważmy, że w okresach recesji, takich jak wczesne lata 90. XX w., rok 2001 czy 2009, deficyt strukturalny był mniejszy niż deficyt rzeczywisty. Podczas recesji automatyczne stabilizatory zwiększają deficyt budżetowy, więc gdyby w gospodarce było pełne zatrudnienie, deficyt byłby mniejszy. Natomiast pod koniec lat 90. XX w. nadwyżka budżetu strukturalnego była niższa od nadwyżki rzeczywistego budżetu państwa. Różnica między deficytem lub nadwyżką strukturalną a deficytem lub nadwyżką rzeczywistą pokazuje skutki działania automatycznych stabilizatorów. Innymi słowy, dane na temat budżetu strukturalnego pozwalają ocenić, jaki byłby deficyt budżetowy, gdyby gospodarka produkowała na poziomie potencjalnego PKB. Automatyczne stabilizatory działają szybko. Niższe płace oznaczają, że z wypłaty od razu pobierane są mniejsze podatki. Wyższe bezrobocie lub ubóstwo oznaczają, że wydatki państwa w tych obszarach rosną od razu, gdy ludzie ubiegają się o należne im świadczenia. Chociaż automatyczne stabilizatory nieco kompensują zmiany popytu globalnego, nie wyrównują ich w całości ani nawet w większej części. W przeszłości automatyczne stabilizatory po stronie podatkowej i wydatkowej neutralizowały ok. 10% wszelkich początkowych zmian poziomu produkcji. Kompensacja może wydawać się nieduża, ale jest potrzebna. Automatyczne stabilizatory, podobnie jak amortyzatory w samochodzie, mogą być przydatne, jeśli zmniejszają wpływ największych wstrząsów, nawet jeśli nie eliminują ich całkowicie. Podsumowanie Polityka fiskalna ma częściowo charakter dyskrecjonalny (uznaniowy), co oznacza, że rząd arbitralnie wprowadza zmiany w podatkach lub wydatkach państwa w odpowiedzi na bieżące wydarzenia gospodarcze, a częściowo jest realizowana za pomocą automatycznych stabilizatorów, czyli takich zmian w podatkach i wydatkach państwa, które zachodzą automatycznie w określonej sytuacji i nie wymagają intencjonalnych działań decydentów ani zmian w prawie. Saldo budżetu strukturalnego to taki wynik budżetu państwa, który wystąpiłby, gdyby gospodarka produkowała w danym roku na poziomie potencjalnego PKB. Wielu ekonomistów i polityków krytykuje stosowanie dyskrecjonalnej polityki fiskalnej z różnych powodów, w tym obaw związanych z opóźnieniami czasowymi, wpływem na stopy procentowe oraz polityczną naturą decyzji fiskalnych. Pytania sprawdzające Czy podczas recesji rzeczywiste saldo budżetu (deficyt lub nadwyżka) jest większe, czy mniejsze niż saldo strukturalne? Rzeczywisty deficyt jest większy, m.in. dlatego, że wpływy z podatków są mniejsze, niż oczekiwano. Jaka jest główna przewaga automatycznych stabilizatorów koniunktury nad dyskrecjonalną polityką fiskalną? Automatyczne stabilizatory zaczynają działać bardzo szybko, podczas gdy wdrożenie polityki dyskrecjonalnej może zająć dużo czasu. Wyjaśnij, jak działają automatyczne stabilizatory koniunktury zarówno po stronie podatków, jak i wydatków państwa. Rozważ dwie sytuacje: a) gospodarka wytwarza mniej, niż wynosi potencjalny PKB, b) gospodarka produkuje więcej niż potencjalny PKB. Ponieważ w czasie recesji spada produkcja i maleją dochody, automatycznie zmniejszają się też wpływy podatkowe. Wiele programów pomocy społecznej i wsparcia bezrobotnych jest zaprojektowanych w taki sposób, aby osoby należące do określonych kategorii, takich jak „bezrobotni” lub „osoby o niskich dochodach”, kwalifikowały się do świadczeń od momentu, gdy w danej grupie się znajdą. Podczas recesji więcej osób trafia do tych kategorii i automatycznie dostaje świadczenia. Niższe podatki i wyższe wydatki, które występują w okresie recesji, są właśnie automatycznymi stabilizatorami koniunktury. Natomiast w przypadku ożywienia gospodarczego wzrastają średnie dochody w gospodarce, więc automatycznie rosną wpływy podatkowe. W takiej sytuacji mniej osób spełnia kryteria otrzymania pomocy dla bezrobotnych lub potrzebujących, zatem wydatki rządowe na pomoc dla bezrobotnych i opiekę społeczną automatycznie maleją. Ta kombinacja wyższych podatków i niższych wydatków państwa jest działaniem automatycznych stabilizatorów podczas okresu ożywienia. Sprawdź wiedzę Jaka jest różnica między dyskrecjonalną polityką fiskalną a automatycznymi stabilizatorami koniunktury? Dlaczego automatyczne stabilizatory koniunktury działają „automatycznie”? Co to jest budżet strukturalny? Ćwicz myślenie krytyczne Czy amerykański program Medicaid (pomoc rządu federalnego dla rodzin i osób o niskich dochodach) może być, twoim zdaniem, uznany za automatyczny stabilizator koniunktury? automatyczne stabilizatory koniunktury (ang. automatic stabilizers ) zmiany podatków i wydatków państwa, które nie wymagają podejmowania decyzji przez decydentów politycznych, a skutkują zmniejszeniem tempa spadku popytu globalnego podczas spowolnienia gospodarczego i recesji oraz ograniczeniem dynamiki wzrostu popytu globalnego, gdy gospodarka znajduje się w fazie ożywienia dyskrecjonalna polityka fiskalna (ang. discretionary fiscal policy ) polityka fiskalna wpływająca na popyt globalny, która polega na ustanowieniu przez rząd nowego prawa wyraźnie zmieniającego podatki lub poziom wydatków państwa uznaniowa polityka fiskalna zob. dyskrecjonalna polityka fiskalna budżet strukturalny (ang. standardized employment budget ) saldo budżetu państwa, które wystąpiłoby w danym roku, gdyby gospodarka produkowała na poziomie potencjalnego PKB", "section": "Automatyczne stabilizatory koniunktury", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Realne wyzwania wykorzystywania dyskrecjonalnej polityki fiskalnej Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać, w jaki sposób polityka fiskalna i polityka pieniężna są ze sobą powiązane Wskazać trzy przyczyny opóźnień, które często występują przy rozwiązywaniu problemów gospodarczych Zrozumieć prawne i polityczne wyzwania dotyczące mierzenia się z problemami ekonomicznymi Na początku lat 60. XX w. wielu czołowych ekonomistów uważało, że problemy związane z cyklem koniunkturalnym, bezrobociem cyklicznym i inflacją należą już do przeszłości. 31 grudnia 1965 r. na okładce „Time’a”, najważniejszego wówczas magazynu informacyjnego w Stanach Zjednoczonych, znalazło się zdjęcie Johna Maynarda Keynesa , a z opublikowanego w gazecie artykułu wynikało, że teorie keynesowskie wywarły „decydujący wpływ na światowe gospodarki”. W tekście pojawiło się stwierdzenie, że politycy gospodarczy „wykorzystywali teorie keynesowskie nie tylko po to, by uniknąć gwałtownych cykli koniunkturalnych z czasów przedwojennych, ale także po to, by osiągnąć fenomenalny wzrost gospodarczy i niezwykle stabilne ceny”. Ten szczęśliwy konsensus nie trwał jednak długo. Gospodarka USA doświadczyła recesji od grudnia 1969 r. do listopada 1970 r., jeszcze głębszego załamania gospodarczego od listopada 1973 r. do marca 1975 r., a następnie podwójnej recesji od stycznia do czerwca 1980 r. i od lipca 1981 r. do listopada 1982 r. Oczywiście oznaczało to, że zarówno bezrobocie, jak i inflacja wciąż potrafiły bardzo szybko rosnąć. Najwyraźniej problemy polityki makroekonomicznej nie zostały rozwiązane ostatecznie. Kiedy ekonomiści zaczęli się zastanawiać, co poszło nie tak, zidentyfikowali szereg problemów, które sprawiają, że dyskrecjonalna polityka fiskalna jest trudniejsza, niż się wydawało w cechujących się optymizmem latach 60. XX w. Polityka fiskalna i stopy procentowe Ponieważ polityka fiskalna wpływa na wartość pożyczek rządowych zaciąganych na rynkach finansowych (ang. financial capital markets ), oddziałuje nie tylko na popyt globalny, ale może również wywierać wpływ na stopy procentowe. Na początkowa równowaga (E 0 ) na rynku finansowym występuje przy wartości zaciągniętych pożyczek równej 800 mld dol. i stopie procentowej na poziomie 6%. Jednak wzrost deficytu budżetowego przesuwa krzywą popytu na kapitał finansowy z D 0 do D 1 . Nowa równowaga (E 1 ) występuje dla wartości pożyczek równej 900 mld dol. i stopie procentowej na poziomie 7%. Na podstawie wielu badań empirycznych można dojść do uzasadnionego wniosku, że wzrost deficytu budżetowego (lub spadek nadwyżki budżetowej) o 1 punkt procentowy w stosunku do PKB spowoduje wzrost długoterminowej stopy procentowej o 0,5–1,0 punktu procentowego. Polityka fiskalna i stopy procentowe Kiedy państwo pożycza pieniądze na rynku finansowym, krzywa popytu na kapitał finansowy przesuwa się z położenia D 0 do D 1 . Gdy punkt równowagi przemieszcza się z E 0 do E 1 , stopa procentowa rośnie z 6% do 7%. W ten sposób ekspansywna polityka fiskalna ukierunkowana na wzrost popytu globalnego może również prowadzić do wyższej stopy procentowej, co skutkuje zmniejszeniem popytu globalnego. I tutaj pojawia się pewien problem. Ekspansywna polityka fiskalna, obejmująca obniżki podatków lub wzrost wydatków państwa, ma na celu zwiększenie popytu globalnego. Jeśli prowadzi również do wyższych stóp procentowych, wówczas przedsiębiorstwa i gospodarstwa domowe będą mniej chętnie zaciągać pożyczki i wydawać pieniądze (dokładnie tak samo, jak działoby się w przypadku restrykcyjnej polityki pieniężnej), zmniejszając w ten sposób popyt globalny. Nawet jeśli bezpośredni wpływ ekspansywnej polityki fiskalnej na wzrost popytu nie zostanie w pełni stłumiony spadkiem popytu wynikającym z wyższych stóp procentowych, impuls fiskalny może się okazać słabszy, niż początkowo oczekiwano. Nazywamy to wypieraniem (ang. crowding out ). Efekt wypierania polega na tym, że pożyczki zaciągane przez państwo i jego wyższe wydatki skutkują wzrostem stóp procentowych, co zmniejsza poziom inwestycji przedsiębiorstw i konsumpcję gospodarstw domowych. Szerszy wniosek jest taki, że państwo musi koordynować politykę fiskalną i pieniężną. Jeśli ekspansywna polityka fiskalna ma działać dobrze, to jednocześnie bank centralny powinien obniżyć lub utrzymywać na niskim poziomie krótkoterminowe stopy procentowe. I odwrotnie, polityka pieniężna może także zmniejszyć prawdopodobieństwo wystąpienia scenariusza zdarzeń, w którym restrykcyjna polityka fiskalna doprowadzi do recesji. Długie i zmienne opóźnienia czasowe Państwo może relatywnie szybko i często zmieniać politykę pieniężną, ale zmiany polityki fiskalnej trwają znacznie dłużej. Wyobraź sobie, że gospodarka zaczyna zwalniać. Często potrzeba kilku miesięcy, zanim dane statystyczne wyraźnie zasygnalizują, że rozpoczęło się spowolnienie gospodarcze, i kilka kolejnych, aby potwierdzić, że to naprawdę recesja, a nie tylko jedno- czy dwumiesięczne zakłócenie w średnioterminowym trendzie wzrostowym. Czas potrzebny do stwierdzenia, że nastąpiła recesja, ekonomiści często nazywają opóźnieniem w rozpoznaniu (ang. recognition lag ).Po tym opóźnieniu politycy gospodarczy stają się świadomi problemu i proponują działania w zakresie polityki fiskalnej. Ustawy trafiają do różnych komisji parlamentarnych w celu przeprowadzenia rozmaitych analiz, negocjacji, głosowań, a następnie, jeśli zostaną przyjęte w komisjach i przez parlament, trafiają na biurko prezydenta i czekają na jego podpis. Wiele ustaw z zakresu polityki fiskalnej dotyczących wydatków państwa lub podatków wprowadza zmiany dopiero od następnego roku budżetowego lub stopniowo w czasie. Czas potrzebny na uchwalenie ustawy ekonomiści nazywają opóźnieniem w zastosowaniu (ang. legislative lag ). Wreszcie, gdy ustawa wejdzie w życie, zorganizowanie funduszy i ich transfer do odpowiednich agencji w celu wdrożenia programów również musi potrwać. Czas potrzebny na rozpoczęcie projektów nazywany jest opóźnieniem efektów (ang. implementation lag ). Co więcej, dokładna skala zmian, które rząd powinien wdrożyć, nigdy nie jest do końca jasna. Czy deficyt budżetu powinien się zwiększyć o pół punktu procentowego w stosunku do PKB? A może o punkt procentowy lub nawet bardziej? Na wykresie z modelem AD-AS łatwo jest naszkicować krzywą popytu globalnego przesuwającą się do poziomu potencjalnego PKB. W realnym świecie poziom produkcji potencjalnej znamy jedynie w przybliżeniu, a rzeczywisty wpływ cięcia wydatków lub podwyżki podatków na popyt globalny pozostaje zawsze przedmiotem pewnych kontrowersji. Nieznany jest również stan gospodarki w dowolnym punkcie czasowym. Na przykład w pierwszych dniach urzędowania prezydenta Baracka Obamy nikt nie znał prawdziwej skali deficytu budżetowego gospodarki Stanów Zjednoczonych. W czasie kryzysu finansowego z lat 2008–2009 gwałtowne załamanie systemu bankowego i sektora motoryzacyjnego sprawiło, że trudno było ocenić, jak bardzo skurczyła się amerykańska gospodarka. W związku z tym rozpoczęcie działań w ramach ekspansywnej polityki fiskalnej może nastąpić wiele miesięcy, a nawet ponad rok po początku recesji. I nawet wtedy pozostaje niepewność co do tego, o ile dokładnie należy zwiększyć lub zmniejszyć podatki i wydatki państwa. Kiedy politycy gospodarczy próbują wykorzystać antycykliczną politykę fiskalną do walki z recesją lub inflacją, ryzykują, że reagują na sytuację makroekonomiczną sprzed dwóch lub trzech lat za pomocą narzędzi, które mogą być niekorzystne dla gospodarki w danym momencie. George P. Schultz, profesor ekonomii, były sekretarz skarbu i dyrektor Biura Zarządzania i Budżetu, napisał kiedyś: „O ile ekonomista jest przyzwyczajony do opóźnień czasowych, polityk lubi natychmiastowe rezultaty. Napięcie bierze się stąd, że – jak wielokrotnie widziałem – zwłoka ekonomisty to zmora polityka”. Krótko- i długookresowe konsekwencje polityki fiskalnej Tymczasowa obniżka podatków lub tymczasowe zwiększenie wydatków państwa będą wpływać na sytuację w gospodarce jedynie w krótkim okresie (1–2 lata), a potem nastąpi powrót do sytuacji wyjściowej. Natomiast w przypadku trwałej obniżki podatków lub trwałego zwiększenia wydatków państwa oczekujemy utrzymania tego stanu w dającej się przewidzieć przyszłości. Wpływ tymczasowej i trwałej polityki fiskalnej na popyt globalny może być bardzo różny. Zastanów się, jaka byłaby twoja reakcja na decyzję rządu o tymczasowej obniżce podatków mającej obowiązywać tylko przez rok, a jaka na obniżkę trwałą. Większość ludzi i przedsiębiorstw reaguje silniej na zmianę trwałą niż tymczasową. Fakt ten stwarza nieuniknioną trudność w prowadzeniu antycyklicznej polityki fiskalnej. Właściwym działaniem powinna być ekspansywna polityka fiskalna z wysokim deficytem budżetowym w czasie recesji, a następnie restrykcyjna polityka fiskalna z nadwyżką budżetową w okresie korzystnej koniunktury. Jeśli jednak takie podejście jest jednoznacznie krótkookresowe, będzie miało mniejszy wpływ na gospodarkę niż polityka, która ma charakter trwały. Zmiana struktury gospodarki wymaga czasu Kiedy gospodarka wychodzi z recesji, zwykle nie powraca do stanu identycznego z tym, w jakim znajdowała się w momencie przed załamaniem koniunktury. Wewnętrzna struktura gospodarki ewoluuje bowiem i ulega zmianom. Na przykład znaczna część wzrostu gospodarczego w połowie pierwszej dekady XXI w. wystąpiła w sektorze budowlanym (zwłaszcza budownictwie jednorodzinnym) i finansowym. Kiedy jednak w 2007 r. ceny mieszkań zaczęły spadać, a wynikający z tego kryzys finansowy doprowadził do recesji (co omówiliśmy w ), obydwa sektory przeżyły kryzys. W ostatnich latach w Stanach Zjednoczonych z powodu presji zmian technologicznych i zagranicznej konkurencji także w przetwórstwie przemysłowym liczne miejsca pracy zostały zlikwidowane. Wiele osób, które straciły zatrudnienie podczas globalnego kryzysu finansowego z lat 2008–2009, już nigdy nie wróci na te same stanowiska w tych samych branżach. Gospodarka będzie się rozwijała w nowym kierunku, jak pokazuje poniższa . Polityka fiskalna może zwiększyć ogólny popyt, ale proces strukturalnych zmian gospodarczych – ekspansja nowych gałęzi przemysłu i przemieszczanie się pracowników do tych branż – wymaga czasu. Dlaczego znikają miejsca pracy? Ludzie mogą stracić pracę z różnych powodów, np. ze względu na recesję, ale także wskutek długoterminowych zmian w gospodarce, takich jak nowe technologie. Na przykład poprawa wydajności w produkcji samochodów może zmniejszyć liczbę potrzebnych pracowników i wyeliminować niektóre miejsca pracy w długim okresie. Internet stworzył pewne miejsca pracy, ale doprowadził także do likwidacji innych, od biur podróży po sprzedawców w księgarniach. Wiele z tych stanowisk pracy może już nigdy nie być potrzebnych. Krótkookresowa polityka fiskalna mająca na celu zmniejszenie bezrobocia może tworzyć miejsca pracy, ale nie zdoła wygenerować trwałego zatrudnienia pracowników na stanowiskach pracy, które przestały być potrzebne. W końcu ilu woźniców było niezbędnych w polskiej gospodarce w roku 1920, 1950 i 2000. Ograniczenia polityki fiskalnej Gospodarce, która produkuje poniżej poziomu potencjalnego PKB, polityka fiskalna może pomóc w zwiększeniu popytu globalnego, tak aby produkcja wzrosła do wolumenu bliższego pełnemu zatrudnieniu, obniżając w ten sposób bezrobocie. Jednak polityka fiskalna nie może sprawić, że produkcja przekroczy wielkość potencjalną bez wywołania inflacji. W takiej sytuacji bowiem bezrobocie staje się tak niskie, że brakuje pracowników i płace szybko rosną. Odwiedź poniższą stronę internetową , aby się dowiedzieć, jak polityka fiskalna wpływa na ożywienie gospodarcze. Realia polityczne i dyskrecjonalna polityka fiskalna Ostatni problem dyskrecjonalnej polityki fiskalnej wynika z trudności w wyjaśnieniu politykom, na czym ona w istocie polega. Niektórzy politycy żywią instynktowne przekonanie, że kiedy gospodarka zwalnia i dochody podatkowe maleją, nadszedł czas, aby zacisnąć pasa, zacząć liczyć każdy grosz i ograniczać wydatki. Jednak zgodnie z zasadami polityki antycyklicznej, kiedy gospodarka zwalnia, rząd powinien gospodarkę pobudzić, czyli podnieść wydatki i obniżyć podatki. Rekompensuje to spadek koniunktury w innych sektorach. I odwrotnie, kiedy ma miejsce ożywienie gospodarcze i dochody z podatków rosną, politycy często czują, że nadszedł czas na obniżki podatków i wzrost wydatków (dzielenie owoców wzrostu gospodarczego). Tyle że zasady prowadzenia polityki antycyklicznej są jasne: boom gospodarczy powinien być czasem na utrzymanie wysokich podatków i ograniczenie wydatków. Politycy zwykle wolą realizować ekspansywną niż restrykcyjną politykę fiskalną, co w okresie recesji jest uzasadnione. Jednak ci sami politycy mniej chętnie formułują komunikat, że w czasach dobrej koniunktury podatki powinny wzrosnąć, a wydatki zmaleć. Na przykład w okresie ożywienia gospodarczego późnych lat 90. XX w. i początku XXI w. PKB Stanów Zjednoczonych szybko rósł. Szacunki wielu agencji rządowych, takich jak Biuro Budżetowe Kongresu oraz Biuro Zarządzania i Budżetu, wykazały, że PKB przekraczał poziom potencjalny, a stopy bezrobocia były niezwykle niskie. Jednak żaden polityk głównego nurtu nie mówił głośno, że okres boomu gospodarczego może być odpowiednim momentem na cięcia wydatków lub podwyżki podatków. W lutym 2017 r. prezydent Trump przedstawił plany wzrostu wydatków na obronę narodową o 10% (tj. 54 mld dol.), zwiększenia inwestycji w infrastrukturę o 1 bln dol. oraz obniżenia podatków dochodowych od osób fizycznych i prawnych, a wszystko to przy utrzymaniu dotychczasowych nakładów na ubezpieczenia społeczne i program Medicare. Jedynym sposobem na realizację tego planu był znaczny wzrost deficytu budżetu federalnego w USA. Dyskrecjonalna polityka fiskalna: podsumowanie Ekspansywna polityka fiskalna pozwala wyjść z recesji, a restrykcyjna polityka fiskalna ułatwia obniżenie inflacji. Biorąc pod uwagę niepewność co do wpływu na stopy procentowe cięć podatkowych i wzrostu wydatków z budżetu, opóźnienia czasowe, różnice między tymczasową a trwałą polityką oraz nieprzewidywalne zachowania polityczne, wielu ekonomistów i polityków gospodarczych w połowie lat 90. XX w. uznało, że dyskrecjonalna polityka fiskalna jest nieskutecznym narzędziem stabilizowania koniunktury. Używanie jej w ekstremalnych okolicznościach, takich jak szczególnie głębokie lub długotrwałe załamanie gospodarcze (kryzys finansowy, recesja pandemiczna itp.), może mieć sens. W sytuacjach bardziej standardowych, kiedy skala recesji jest niewielka, lepszym rozwiązaniem jest realizacja polityki fiskalnej za pomocą automatycznych stabilizatorów koniunktury oraz wykorzystanie polityki pieniężnej jako narzędzia do wdrażania krótkookresowych działań antycyklicznych. Podsumowanie Ponieważ polityka fiskalna wpływa na ilość pieniędzy, jakie rząd pożycza na rynkach finansowych, oddziałuje nie tylko na popyt globalny, ale może także wywierać wpływ na stopy procentowe. Jeśli ekspansywna polityka fiskalna powoduje również wzrost stóp procentowych, to przedsiębiorstwa i gospodarstwa domowe mniej chętnie zaciągają pożyczki (kredyty) i wydają pieniądze na konsumpcję, co zmniejsza popyt globalny. Sytuację taką nazywamy wypieraniem. Biorąc pod uwagę niepewność co do zmian stóp procentowych, opóźnienia czasowe (opóźnienie w rozpoznaniu, zastosowaniu i opóźnienie efektów), różnice między krótko- i długookresowymi konsekwencjami polityki fiskalnej oraz nieprzewidywalne zachowania polityczne, wielu ekonomistów i polityków gospodarczych doszło do wniosku, że dyskrecjonalna polityka fiskalna jest nieskutecznym narzędziem stabilizowania koniunktury i lepiej stosować ją tylko w ekstremalnych sytuacjach. Pytania sprawdzające Co by się stało, gdyby ekspansywna polityka fiskalna została wdrożona w czasie recesji, ale z powodu opóźnienia zaczęła faktycznie działać dopiero po powrocie gospodarki do poziomu potencjalnego PKB? W wyniku zbyt dużych wydatków państwa wzrosłyby ceny. Co by się stało, gdyby restrykcyjna polityka fiskalna została wdrożona podczas boomu gospodarczego, ale z powodu opóźnienia zaczęła faktycznie działać dopiero wtedy, gdy gospodarka ponownie wpadła w recesję? Bezrobocie wzrosłoby jeszcze bardziej, w wyniku zbyt niskich wydatków państwa. Czy sądzisz, że typowe opóźnienia charakterystyczne dla polityki fiskalnej będą dłuższe, czy krótsze niż opóźnienia właściwe dla polityki pieniężnej? Uzasadnij swoją odpowiedź. Polityka pieniężna ma prawdopodobnie krótsze opóźnienia czasowe niż polityka fiskalna. Wyobraź sobie, że dane bezsprzecznie pokazują, iż gospodarka znajduje się w recesji lub jest jej bliska. Ekspansywna polityka pieniężna może być realizowana poprzez operacje otwartego rynku, które da się przeprowadzić dość szybko. Równie szybko można obniżyć stopy procentowe lub zwiększyć poziom rezerwy minimalnej. Natomiast polityka fiskalna jest realizowana poprzez akty prawne uchwalane przez parlamenty. Negocjowanie takich przepisów często trwa miesiącami, a nawet po ustaleniu ich ostatecznego kształtu potrzeba wielu miesięcy, aby programy większych wydatków lub niższych podatków zostały w pełni wdrożone i wywarły wpływ na gospodarkę. Sprawdź wiedzę Jakie są praktyczne słabości dyskrecjonalnej polityki fiskalnej? Ćwicz myślenie krytyczne Jaki problem może się pojawić w sytuacji, w której gospodarstwa domowe uznają, że obniżka podatków ma charakter tymczasowy i jej konsekwencje będą działać wyłącznie w krótkim okresie? Wyjaśnij mechanizm powodujący wzrost stóp procentowych w sytuacji, gdy rząd wprowadzi ulgę podatkową równą 300 zł dla każdego obywatela Polski. Bibliografia Leduc, Sylvain, and Daniel Wilson. Federal Reserve Bank of San Francisco: Working Paper Series. “Are State Governments Roadblocks to Federal Stimulus? Evidence from Highway Grants in the 2009 Recovery Act. (Working Paper 2013-16).” Last modified July 2013. http://www.frbsf.org/economic-research/files/wp2013-16.pdf. Lucking, Brian, and Daniel Wilson. “FRBSF Economic Letter-Fiscal Headwinds: Is the Other Shoe About to Drop?” Federal Reserve Bank of San Francisco . Last modified June 3, 2013. http://www.frbsf.org/economic-research/publications/economic-letter/2013/june/fiscal-headwinds-federal-budget-policy/. Recovery.gov. “Track the Money.” http://www.recovery.gov/Pages/default.aspx. Bastagli, Francesca, David Coady, and Sanjeev Gupta. International Monetary Fund. “IMF Staff Discussion Note: Income Inequality and Fiscal Policy.” Last modified June 28, 2012. http://www.imf.org/external/pubs/ft/sdn/2012/sdn1208.pdf. wypieranie (ang. crowding out ) mechanizm, w ramach którego większe wydatki państwa i jego większe zapotrzebowanie na pożyczki powodują wzrost stóp procentowych i w konsekwencji spadek inwestycji prywatnych oraz konsumpcji gospodarstw domowych opóźnienie efektów (ang. implementation lag ) okres potrzebny na przekazanie funduszy na realizację polityki fiskalnej do odpowiednich agencji rządowych w celu wdrożenia programów wydatkowych państwa opóźnienie w zastosowaniu (ang. legislative lag ) okres niezbędny na uchwalenie ustaw dotyczących danych programów fiskalnych opóźnienie w rozpoznaniu (ang. recognition lag ) okres, jaki mija od momentu rozpoczęcia recesji do chwili, kiedy politycy gospodarczy i ekonomiści zdają sobie z tego sprawę", "section": "Realne wyzwania wykorzystywania dyskrecjonalnej polityki fiskalnej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Polityka zrównoważonego budżetu: za i przeciw Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć argumenty za i przeciw zrównoważonemu budżetowi Wskazać krótko- i długookresowe konsekwencje deficytu budżetowego Przez wiele dziesięcioleci, począwszy od lat 30. XX w., różni ustawodawcy przedstawiali propozycje wymagające od rządu USA corocznego równoważenia budżetu. W 1995 r. zaproponowano poprawkę do konstytucji nakazującą prowadzenie polityki zrównoważonego budżetu. Została ona przyjęta przez Izbę Reprezentantów USA z dużym zapasem głosów, ale przepadła w Senacie, gdzie zabrakło jej tylko jednego głosu. (Aby zrównoważony budżet stał się poprawką do konstytucji, musiałby uzyskać co najmniej 2/3 głosów w Kongresie i zostać przyjęty przez co najmniej 3/4 stanowych legislatur). Większość ekonomistów na propozycję permanentnie zrównoważonego budżetu (ang. balanced budget ) reaguje rozbawieniem. W końcu ekonomiści wiedzą, że w krótkim okresie saldo budżetu wykazuje wahania zarówno w górę, jak i w dół w zależności od stanu koniunktury i kierunku działań automatycznych stabilizatorów. Recesja gospodarcza automatycznie prowadzi do większych deficytów lub mniejszych nadwyżek budżetowych, podczas gdy ekspansja powoduje mniejsze deficyty lub większe nadwyżki budżetowe. Wymóg, aby budżet był co roku zrównoważony, uniemożliwiłby działanie automatycznych stabilizatorów i zwiększał koszty wahań koniunkturalnych. Niektórzy zwolennicy poprawki dotyczącej zrównoważonego budżetu uważają, że skoro gospodarstwa domowe muszą równoważyć własne budżety, to rząd też powinien tak robić. Jednak analogia między zachowaniem rządu a zachowaniem gospodarstw domowych jest błędna. Większość gospodarstw domowych nie bilansuje przecież swoich budżetów co roku. W niektórych latach gospodarstwa domowe pożyczają pieniądze na zakup domów, samochodów, na opłacenie kosztów leczenia albo czesnego. W pozostałych latach spłacają kredyty i odkładają środki na kontach emerytalnych. Po przejściu na emeryturę wydają te oszczędności. Ponadto rządu nie można traktować tak jak gospodarstw domowych z wielu powodów, z których bodaj najważniejszym jest ten, że rząd ma obowiązek troszczyć się o stan gospodarki jako całego systemu. Zgodnie z keynesowską polityką makroekonomiczną (ang. Keynesian macroeconomic policy ), dla dobra całej gospodarki rząd musi działać przeciwnie do stanu koniunktury – wydawać pieniądze w trudnych czasach i oszczędzać, gdy jest dobrze. Nie ma też szczególnego powodu, by oczekiwać, że budżet państwa będzie zrównoważony w średnim okresie kilku lat. Na przykład utrzymując duże deficyty budżetowe, państwo może dokonać kluczowych długoterminowych inwestycji w kapitał ludzki i infrastrukturę , co zwiększy produktywność gospodarki w długim okresie. Decyzje te mogą okazać się dobre lub złe, ale nie zawsze są one irracjonalne. Polityka ciągłego deficytu budżetowego może utrzymywać się przez dziesięciolecia. Jak pokazują doświadczenia USA od końca II wojny światowej do ok. 1980 r., utrzymywanie deficytu budżetowego prawie co roku przez dziesięciolecia jest jak najbardziej możliwe i dopóki procentowe przyrosty zadłużenia są mniejsze niż procentowy wzrost PKB, udział długu publicznego w PKB będzie malał. Powyższa argumentacja absolutnie nie oznacza, że deficyty budżetowe są zawsze polityką rozsądną. W krótkim okresie rząd, który ma bardzo duży deficyt budżetowy, może doprowadzić do takiego wzrostu popytu globalnego, że w gospodarce pojawi się wysoka inflacja. Ponadto państwo może zaciągać pożyczki z niemądrych lub niepraktycznych powodów. W omawiamy, w jaki sposób duże deficyty budżetowe, poprzez zmniejszenie oszczędności krajowych, mogą w niektórych przypadkach ograniczyć wzrost gospodarczy, a nawet przyczynić się do międzynarodowych kryzysów finansowych. Wymóg równowagi budżetowej w każdym roku kalendarzowym jest jednak przesadną i błędną reakcją na obawę, że deficyty budżetowe mogą czasem stać się zbyt duże. Bez Parku Narodowego Yellowstone? Zamknięcie rządu (ang. government shutdown ) w 2013 r. w Stanach Zjednoczonych odsłoniło wiele aspektów związanych z polityką fiskalną na poziomie federalnym. W 2013 r. Republikanie i Demokraci nie mogli dojść do porozumienia co do tego, jaką politykę wydatków państwa należy prowadzić i jak duży powinien być dług publiczny. Ze względu na dotkliwość recesji lat 2008–2009 oraz wysoce ekspansywną politykę fiskalną prowadzoną w kolejnych latach deficyt budżetu federalnego i dług publiczny w Stanach Zjednoczonych były historycznie wysokie. Jednym ze sposobów ograniczenia wydatków federalnych i pożyczek zaciąganych przez rząd była odmowa podniesienia prawnego limitu zadłużenia federalnego lub uzależnienie tego kroku od odrzucenia ustawy o przystępnej cenie opieki zdrowotnej (Affordable Health Care Act). Ten spór doprowadził do dwutygodniowego zamknięcia rządu federalnego i przybliżył osiągnięcie terminu, w którym rząd nie byłby w stanie wykupić swoich obligacji skarbowych. W końcu jednak partie doszły do porozumienia i uniknięto bankructwa. Ten przykład wyraźnie pokazuje, jak ściśle budżet państwa jest powiązany z polityką. Podsumowanie Polityka zrównoważonego budżetu jest popularną ideą głoszoną przez różnych polityków, ale ekonomiczne zalety takiego rozwiązania są wątpliwe. Większość ekonomistów uważa, że polityka fiskalna musi być wystarczająco elastyczna, aby umożliwiła sfinansowanie nieprzewidzianych wydatków, związanych np. z prowadzeniem wojen czy zwalczeniem recesji. Chociaż utrzymujące się duże deficyty budżetowe rzeczywiście mogą stanowić problem, polityka zrównoważonego budżetu też nie jest dobrym rozwiązaniem, gdyż uniemożliwia pojawienie się nawet niewielkich, przejściowych deficytów, które w pewnych przypadkach mogą być konieczne do prowadzenia antycyklicznej polityki gospodarczej. Pytania sprawdzające W jaki sposób wymóg utrzymywania zrównoważonego budżetu wpłynąłby na decyzję rządu o obniżce podatków podczas recesji? Rząd musiałby uzupełnić brakujące wpływy podatkowe, podnosząc podatki w innych obszarach lub tnąc wydatki. W jaki sposób wymóg utrzymywania zrównoważonego budżetu zmieniłby działanie automatycznych stabilizatorów koniunktury? Programy, w których kwota wydatków nie jest ustalona sztywno, ale określana przez warunki makroekonomiczne, np. przyznawanie bonów żywnościowych w USA, straciłyby wiele na elastyczności, gdyby wzrost wydatków państwa musiał zostać zrównoważony odpowiednimi podwyżkami podatków lub cięciami wydatków w innych obszarach. Sprawdź wiedzę Jakie są argumenty za i przeciw polityce zrównoważonego budżetu? Ćwicz myślenie krytyczne Czy zgadzasz się ze stwierdzeniem, jakoby „w najlepszym interesie każdej gospodarki było bezwzględne utrzymywanie zrównoważonego budżetu w każdym roku obrachunkowym”? Uzasadnij swoją odpowiedź. Jakich działań oczekiwano by od amerykańskiego parlamentu i prezydenta podczas globalnego kryzysu finansowego z lat 2008–2009, gdyby poprawka do konstytucji wymagająca prowadzenia polityki zrównoważonego budżetu została ratyfikowana? Jaki miałoby to wpływ na stopę bezrobocia?", "section": "Polityka zrównoważonego budżetu: za i przeciw", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Prezydent Stanów Zjednoczonych Lyndon B. Johnson Prezydent Lyndon Johnson odegrał kluczową rolę w finansowaniu szkolnictwa wyższego. (Źródło: modyfikacja obrazu LBJ Museum & Library). Finansowanie szkolnictwa wyższego 8 listopada 1965 r. prezydent USA Lyndon B. Johnson podpisał Ustawę o szkolnictwie wyższym (ang. The Higher Education Act ). Jednym pociągnięciem pióra wdrożył programy pomocy finansowej, pożyczek studenckich i wsparcia zatrudnienia studentów, aby pomóc Amerykanom opłacić studia. W swoim wystąpieniu prezydent stwierdził: „Tutaj zostały zasiane ziarna, z których wyrosło moje mocne przekonanie, że dla jednostki edukacja jest drogą do sukcesu i spełnienia; dla narodu jest to droga do społeczeństwa nie tylko wolnego, ale i cywilizowanego, a dla świata jest to droga do pokoju – ponieważ to edukacja przedkłada rozsądek nad siłę”. Dodał, że ta ustawa „odpowiada za finansowanie szkolnictwa wyższego dla milionów Amerykanów. Jest ucieleśnieniem inwestycji Stanów Zjednoczonych w kapitał ludzki”. Od momentu podpisania ustawy przez Johnsona rząd kilkakrotnie ją nowelizował. Celem Ustawy o szkolnictwie wyższym było zbudowanie kapitału ludzkiego dzięki upowszechnieniu edukacji na poziomie uniwersyteckim. Wprowadzono trzy kryteria stosowane przy ocenie tego, na ile student kwalifikuje się do przyznania pomocy: dochód, forma studiów (stacjonarne czy niestacjonarne) i wysokość czesnego. Według „Amerykańskiego badania dotyczącego pomocy dla studentów szkół wyższych” (ang. National Postsecondary Student Aid Study – NPSAS: 12), w roku akademickim 2011/2012 ponad 70% wszystkich studentów studiów stacjonarnych otrzymało jakąś formę federalnej pomocy finansowej, 47% uzyskało granty, a kolejne 55% dostało pożyczki studenckie od rządu federalnego. Budżet na pomoc finansową został zwiększony nie tylko z powodu większej liczby studentów, ale także z powodu wzrostu wysokości czesnego i innych opłat za studia. Administracja Trumpa kwestionowała te podwyżki i całą koncepcję zarządzania przez rząd szkolnictwem wyższym. Zadaniem prezydenta i Kongresu jest zapewnienie równowagi między dyscypliną fiskalną a finansowaniem przez państwo ważnych wydatków, takich jak inwestycje w kapitał ludzki. Wprowadzenie do tematu skutków zadłużenia państwa Dzięki lekturze tego rozdziału dowiesz się: W jaki sposób zadłużenie państwa wpływa na poziom inwestycji i bilans handlowy Jakie są wzajemne relacje pomiędzy polityką fiskalną, inwestycjami i wzrostem gospodarczym Jaki jest wpływ zadłużenia państwa na wielkość prywatnych oszczędności Jakie są relacje pomiędzy polityką fiskalną i bilansem handlowym Rząd musi finansować wiele obszarów wymagających wsparcia finansowego. Wszelkie wydatki powinny być realizowane z uwzględnieniem dyscypliny fiskalnej i przy starannej analizie ich następstw. Kiedy rząd wydaje więcej, niż uzyskuje dzięki podatkom, pojawia się deficyt budżetowy, który powoduje, że rząd pożycza pieniądze i się zadłuża. Kiedy zadłużenie państwa jest szczególnie wysokie i trwałe, może to znacznie zmniejszyć ilość kapitału finansowego dostępnego dla przedsiębiorstw oraz doprowadzić do nierównowagi handlowej, a nawet kryzysów finansowych. W przedstawiliśmy pojęcia deficytu budżetowego i długu publicznego, a także sposób, w jaki rząd może wykorzystać politykę fiskalną do walki z recesją lub inflacją. Ten rozdział rozpoczyna się od przywołania ważnej tożsamości makroekonomicznej, jaką jest równość oszczędności i inwestycji, którą po raz pierwszy wprowadziliśmy w , aby pokazać, w jaki sposób zadłużenie państwa wpływa na inwestycje przedsiębiorstw w kapitał rzeczowy oraz na bilans handlowy. Przedłużający się okres występowania deficytów budżetowych może prowadzić do niższego wzrostu gospodarczego, po części dlatego, że fundusze, które rząd pożycza na finansowanie deficytu budżetowego, zazwyczaj nie są już dostępne dla inwestorów prywatnych. Co więcej, utrzymujący się wysoki deficyt budżetowy może prowadzić do niekorzystnych zjawisk gospodarczych, takich jak: wysoka inflacja, znaczny napływ kapitału finansowego z zagranicy, gwałtowny spadek kursu walutowego oraz poważne obciążenia systemu bankowego i finansowego danego kraju.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wpływ długu publicznego na bilans handlowy i inwestycje Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć implikacje tożsamości (równości) oszczędności i inwestycji dla strony popytowej i podażowej w gospodarce Ocenić, jaką funkcję pełnią nadwyżka budżetowa i nadwyżka w obrotach handlowych w równości pomiędzy inwestycjami i oszczędnościami Kiedy państwo pożycza pieniądze na rynkach finansowych, z makroekonomicznego punktu widzenia istnieją trzy możliwe źródła pozyskiwania przez nie środków: (1) wzrost oszczędności gospodarstw domowych, (2) zmniejszenie wolumenu pożyczek zaciąganych przez przedsiębiorstwa prywatne oraz (3) zwiększenie ilości środków pochodzących z zagranicy, np. od zagranicznych inwestorów finansowych. Zaczniemy od wyjaśnienia, dlaczego przynajmniej jedna z tych trzech opcji musi wystąpić, a następnie zbadamy, w jaki sposób stopy procentowe i kursy walutowe dostosowują się do nowej sytuacji. Tożsamość (równość) oszczędności i inwestycji Tożsamość oszczędności i inwestycji, którą po raz pierwszy wprowadziliśmy w , stanowi podstawę do zrozumienia zależności między źródłami popytu i podaży na rynkach kapitału finansowego. Źródłem tożsamości jest konstatacja, która zawsze musi być prawdziwa: ilość kapitału finansowego oferowanego na rynku musi być równa ilości, na którą zgłaszane jest zapotrzebowanie. W gospodarce zamkniętej występują dwa główne źródła kapitału finansowego: prywatne oszczędności pochodzące z danego kraju oraz oszczędności publiczne. Oszczędności całkowite = Oszczędności prywatne (S) + Oszczędności publiczne (T − G) W gospodarce otwartej istnieje jeszcze trzecie źródło oszczędności: napływ kapitału finansowego z zagranicy. Napływ oszczędności z zagranicy jest z definicji równy deficytowi handlowemu, jak wyjaśniliśmy w . Napływ zagranicznego kapitału inwestycyjnego możemy zapisać jako import (Z) minus eksport (X). Istnieją dwa główne źródła popytu na kapitał finansowy: inwestycje sektora prywatnego (I) oraz potrzeby pożyczkowe państwa. Pożyczki państwa w danym roku są równe deficytowi budżetowemu, który możemy zapisać jako różnicę między wydatkami państwa (G) a podatkami netto (T). Przedstawia to równanie (1): Podaż kapitału finansowego = Popyt na kapitał finansowy Oszczędności prywatne + Napływ oszczędności z zagranicy = Inwestycje prywatne + Deficyt budżetu państwa S + (Z − X) = I + (G − T) Państwo często wydaje więcej, niż uzyskuje z podatków, a zatem oszczędności publiczne (T - G) są ujemne. W konsekwencji państwo musi zaciągać pożyczki w kwocie (G - T), zamiast zwiększać oszczędności. W przypadku deficytu budżetowego państwo jest stroną zgłaszającą zapotrzebowanie na kapitał finansowy, a nie podmiotem dostarczającym kapitał na rynek. W kategoriach algebraicznych możemy zapisać tożsamość oszczędności i inwestycji w postaci równania (2): Inwestycje prywatne = Oszczędności prywatne + Oszczędności publiczne + Deficyt handlowy I = S + (T − G) + (Z − X) Zmianie dowolnego składnika tożsamości oszczędności i inwestycji musi towarzyszyć przynajmniej jedna zmiana innego elementu tego równania, ponieważ równość podaży i popytu wynika z samej definicji równowagi rynkowej. Jeżeli zmienia się saldo budżetu państwa, to zmianie muszą ulec prywatne oszczędności lub prywatne inwestycje, lub bilans handlowy (bądź jakaś kombinacja tych trzech elementów). pokazuje możliwe skutki zmiany salda budżetu państwa. Wpływ zmian salda budżetu na inwestycje, oszczędności i bilans handlowy Panel (a) pokazuje potencjalne skutki wzrostu deficytu budżetowego (lub spadku nadwyżki budżetowej). Panel (b) przedstawia potencjalne skutki spadku deficytu budżetowego (lub wzrostu nadwyżki budżetowej). Znaczenie nadwyżki budżetowej i nadwyżki handlowej Tożsamość oszczędności i inwestycji musi zachodzić zawsze, ponieważ na rynku kapitału finansowego, podobnie jak na każdym innym, wcześniej czy później ustala się stan równowagi, w którym wielkość zapotrzebowania i oferowany wolumen kapitału finansowego są sobie równe. Jednak wzór będzie wyglądać nieco inaczej, jeśli budżet państwa osiągnie deficyt zamiast nadwyżki lub jeśli bilans handlowy wykaże nadwyżkę zamiast deficytu. Na przykład w latach 1999–2000 budżet Stanów Zjednoczonych wykazywał nadwyżkę, chociaż gospodarka nadal doświadczała deficytów handlowych. Kiedy państwo osiąga nadwyżkę budżetową, jest dostarczycielem oszczędności, a nie pożyczkobiorcą, czyli na rynku kapitału finansowego znajduje się po stronie podaży, a nie popytu. W takiej sytuacji tożsamość oszczędności i inwestycji można zapisać jako równanie (3): Podaż kapitału finansowego = Popyt na kapitał finansowy Oszczędności prywatne + Deficyt handlowy + Nadwyżka budżetowa = Inwestycje prywatne S + (Z − X) + (T − G) = I Zauważ, że powyższe wyrażenie jest z matematycznego punktu widzenia takie samo jak równanie (2), z tym że strony oszczędnościowa i inwestycyjna tożsamości są po prostu odwrócone. W latach 60. XX w. rząd USA często wykazywał deficyty budżetowe, ale gospodarka zwykle notowała nadwyżki handlowe. Ponieważ nadwyżka handlowa oznacza, że gospodarka doświadcza odpływu netto kapitału finansowego, tożsamość oszczędności i inwestycji przybiera następującą postać: Podaż kapitału finansowego = Popyt na kapitał finansowy Oszczędności prywatne = Inwestycje prywatne + Odpływ oszczędności zagranicznych + Deficyt budżetowy S = I + (X − Z) + (G − T) Deficyt handlowy stanowi część podaży kapitału finansowego. Natomiast nadwyżka handlowa reprezentuje odpływ kapitału finansowego, który opuszcza dany kraj i jest inwestowany w innych częściach świata. Podaż kapitału finansowego = Popyt na kapitał finansowy Oszczędności prywatne = Inwestycje prywatne + Deficyt budżetowy + Nadwyżka handlowa S = I + (G − T) + (X − Z) Istota tych równań polega na tym, że tożsamość oszczędności i inwestycji jest zawsze spełniona. Podczas zapisywania tych zależności, jeszcze przed rozpoczęciem obliczeń, ważne jest, aby zrozumieć od strony ekonomicznej, co znajduje się po stronie podaży i popytu na rynku kapitału finansowego. Wtedy znacznie trudniej jest popełnić błąd przy zapisie równania. Jak widać na , zgodnie z danymi Amerykańskiego Biura Zarządzania i Budżetu (ang. Office of Management and Budget ), USA konsekwentnie utrzymywały deficyty budżetowe od 1970 r., z wyjątkiem okresu 1998–2001. Niepokojący jest bardzo szybki wzrost deficytu budżetowego po 2008 r., co częściowo odzwierciedla spadające dochody podatkowe oraz zwiększone wydatki państwa z powodu globalnego kryzysu finansowego. (Przypomnijmy, że T to podatki netto, a więc wpływy po odjęciu transferów. Kiedy rząd musi przekazać fundusze z powrotem do gospodarstw domowych jako dochody transferowe przeznaczone np. na finansowanie programu „Rodzina 500 Plus”, deficyt budżetowy rośnie). Utrzymujące się deficyty mają wpływ na przyszłą kondycję amerykańskiej gospodarki. Saldo budżetu federalnego Stanów Zjednoczonych, 1952–2020 (mld dol.) Stany Zjednoczone od ponad 30 lat, z wyjątkiem okresu 1998–2001, wykazują deficyt budżetowy. Wydatki na zbrojenia, wydatki na zabezpieczenie społeczne oraz spadek dochodów podatkowych w połączeniu ze zwiększonym wsparciem dla gospodarstw domowych podczas globalnego kryzysu finansowego i pandemii to główne czynniki wpływające na silny wzrost deficytu po 2008 r. (Źródło: Tabela 1.1, „Summary of Receipts, Outlays, and Surpluses or Deficits”, https://www.whitehouse.gov/omb/budget/Historicals). Rosnący deficyt budżetowy może skutkować spadkiem inwestycji krajowych, wzrostem prywatnych oszczędności lub wzrostem deficytu handlowego. W dalszej części rozdziału bardziej szczegółowo omawiamy każdy z tych scenariuszy. Podsumowanie Z tożsamości (równania) oszczędności i inwestycji wynika, że jeśli zmienia się deficyt budżetu państwa, to zmienić się muszą również prywatne oszczędności lub prywatne inwestycje w kapitał rzeczowy, lub bilans handlowy (albo też jakaś kombinacja tych trzech elementów). Pytania sprawdzające W pewnym kraju oszczędności prywatne wynoszą 600, nadwyżka budżetowa jest równa 200, a nadwyżka handlowa wynosi 100. Jaki jest poziom prywatnych inwestycji w tej gospodarce? Aby odpowiedzieć na to pytanie, wykorzystujemy tożsamość oszczędności i inwestycji. W naszym przypadku rząd ma nadwyżkę budżetową, więc nadwyżka budżetowa pojawia się po stronie podaży kapitału finansowego. Mamy zatem: Podaż kapitału finansowego = Popyt na kapitał finansowy S + (T − G) = I + (X − Z) 600 + 200 = I + 100 I = 700 W pewnej gospodarce nadwyżka budżetowa wynosi 1000, prywatne oszczędności są równe 4000, a inwestycje wynoszą 5000. Zapisz tożsamość oszczędności i inwestycji dla tej gospodarki. Ile wynosi saldo bilansu handlowego? Jeśli nadwyżka budżetowa zmieni się w deficyt budżetowy równy 1000, przy stałym poziomie prywatnych oszczędności i inwestycji, jakie będzie nowe saldo bilansu handlowego? Ponieważ rząd osiąga nadwyżkę budżetową, państwo dostarcza kapitału i wynik budżetu państwa znajduje się w równaniu po stronie podażowej. Poniższe równanie przedstawia tożsamość oszczędności i inwestycji dla tej gospodarki: Podaż kapitału finansowego = Popyt na kapitał finansowy S + (T − G) = I + (X − Z) Podstawiając podane wartości do równania przedstawionego w części (a), mamy (X - Z) = 0. Ponieważ rząd wykazuje deficyt budżetowy, państwo zgłasza zapotrzebowanie na kapitał i wynik budżetu państwa znajduje się w równaniu po stronie popytowej. Nie wiadomo z góry, czy gospodarka notuje deficyt handlowy, czy nadwyżkę handlową. Ale kiedy podstawiając wartości do wzoru, widzimy, że wielkość popytu na kapitał finansowy zaczyna przekraczać wielkość podaży, wiemy, że musi istnieć dodatkowy zasób kapitału finansowego dostarczonego przez inwestorów zagranicznych, aby obie strony równania były równe. Oznacza to deficyt handlowy w wysokości 2000. Ten przykład pokazuje, że dużemu deficytowi budżetowemu towarzyszy duży deficyt handlowy. Podaż kapitału finansowego = Popyt na kapitał finansowy S + (Z − X) = I + (G − T) 4000 + 2000 = 5000 + 1000 Sprawdź wiedzę Wykorzystując tożsamość oszczędności i inwestycji, wymień trzy możliwe reakcje gospodarki na wzrost deficytu budżetowego. Jak wzrost deficytu budżetowego wpływa na inwestycje sektora prywatnego w kapitał rzeczowy? Uzasadnij swoją odpowiedź. Ćwicz myślenie krytyczne Załóżmy, że nie występuje dyskrecjonalny (uznaniowy) wzrost wydatków rządowych. Wyjaśnij, w jaki sposób poprawiająca się koniunktura gospodarcza wpływa na wynik budżetu państwa, a co za tym idzie – na inwestycje i bilans handlowy. Wyjaśnij, w jaki sposób mniejsze inwestycje krajowe, które występują z powodu deficytu budżetowego, wpłyną na przyszły wzrost gospodarczy. W najnowszej historii Stanów Zjednoczonych kilka razy doszło do zamknięcia rządu. Wyjaśnij, w jaki sposób takie wydarzenie wpływa na zmienne występujące w równaniu przedstawiającym tożsamość inwestycji i oszczędności. Czy zamknięcie rządu może wpłynąć na deficyt budżetu państwa?", "section": "Wpływ długu publicznego na bilans handlowy i inwestycje", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Polityka fiskalna a bilans handlowy Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć pojęcie deficytów bliźniaczych w odniesieniu do deficytu budżetowego i deficytu handlowego Wyjaśnić związek pomiędzy deficytem budżetowym a kursami walutowymi Zrozumieć relację deficytu budżetowego i inflacji Wskazać możliwe przyczyny recesji Wynik budżetu państwa może wpływać na saldo bilansu handlowego. Jak wynika z , deficytowi handlowemu towarzyszy napływ netto zagranicznych inwestycji finansowych, zaś w przypadku nadwyżki handlowej występuje odpływ netto inwestycji finansowych. Jeden z kanałów, za pomocą którego deficyt budżetowy przekłada się na deficyt handlowy, przedstawia się następująco. Gdy państwo osiąga (zwiększa) deficyt budżetowy za pomocą jakiejś kombinacji niższych podatków i wyższych wydatków, popyt globalny w gospodarce rośnie. Zwiększa się także dochód, a część tego dodatkowego dochodu jest przeznaczona na zakup towarów importowanych, w efekcie czego rośnie import. Wyższy poziom importu przy niezmienionym eksporcie powoduje większy deficyt handlowy. Oznacza to, że zasoby waluty krajowej (złotych) wśród obcokrajowców rosną, ponieważ Polacy kupują więcej importowanych towarów. Cudzoziemcy wykorzystują te złote do inwestowania w Polsce, co prowadzi do napływu inwestycji zagranicznych. Tym samym jednym z możliwych źródeł finansowania deficytu budżetowego w Polsce jest zakup przez cudzoziemców skarbowych papierów wartościowych emitowanych przez polski rząd, dlatego też deficyt handlowy często towarzyszy deficytowi budżetowemu. Deficyty bliźniacze W połowie lat 80. XX w. ekonomiści oraz publicyści ekonomiczni często mówili o deficytach bliźniaczych, ponieważ zarówno deficyt budżetowy, jak i deficyt handlowy w USA znacznie wzrosły. Pokazuje to . Deficyt budżetu federalnego wzrósł z 2,6% PKB w 1981 r. do 5,1% PKB w roku 1985, co oznacza wzrost o 2,5 punktu procentowego (p.p.). W tym samym okresie deficyt handlowy zwiększył się z 0,5% PKB w 1981 r. do 2,9% PKB w roku 1985, co oznacza wzrost o 2,4 p.p. W połowie lat 80. XX w. napływ zagranicznego kapitału inwestycyjnego dorównywał znacznemu wzrostowi zadłużenia rządu, więc deficyt budżetu państwa i deficyt handlowy zmieniały się razem w tym samym kierunku. Deficyty budżetowe i deficyty handlowe w USA w latach 1960–2020 W pierwszej połowie lat 80. XX w. w Stanach Zjednoczonych nastąpił jednoczesny wzrost deficytów budżetowego i handlowego. Jednak od tego czasu przestały one zachowywać się w bliźniaczy sposób. Na początku lat 90. deficyt handlowy zmniejszył się przy jednoczesnym wzroście deficytu budżetowego. Następnie – pod koniec lat 90. – deficyt handlowy zwiększył się, podczas gdy budżetowy przekształcił się w nadwyżkę. W latach 2001–2005 oba deficyty wzrosły. Jednak w 2009 r. deficyt handlowy zmniejszył się, a deficyt budżetowy gwałtownie wzrósł. Oczywiście nikt nie powinien oczekiwać, że oba deficyty (budżetowy i handlowy) będą zawsze zmieniały się w tym samym kierunku, ponieważ inne składniki występujące w równaniu przedstawiającym tożsamość oszczędności i inwestycji (inwestycje i oszczędności prywatne) również często się zmieniają. Na przykład w USA pod koniec lat 90. XX w. wynik budżetu państwa przekształcił się z deficytu w nadwyżkę, ale deficyt handlowy pozostał relatywnie wysoki i wciąż rósł. W tym czasie napływ zagranicznych inwestycji finansowych wspierał gwałtowny wzrost inwestycji w kapitał rzeczowy realizowany przez amerykańskie przedsiębiorstwa. W latach 2001–2005 oba deficyty ponownie wykazały jednoczesny wzrost, ale w 2009 r. jedynie deficyt budżetowy gwałtownie wzrósł, zaś deficyt handlowy się zmniejszył. Deficyty budżetowy i handlowy są ze sobą powiązane, ale bardziej przypominają kuzynów niż bliźniaków. Deficyt budżetowy a kursy walutowe Kursy walutowe mogą również pomóc w wyjaśnieniu, dlaczego deficyty budżetowe są powiązane z deficytami handlowymi. przedstawia analizę z wykorzystaniem kursu walutowego dolara względem euro. W początkowej równowadze (E 0 ), gdzie na rynku walutowym popyt na dolary amerykańskie (D 0 ) przecina się z podażą dolarów (S 0 ), kurs wymiany wynosi 0,9 euro za dolara, a liczba dolarów w obrocie na rynku walutowym utrzymuje się na poziomie 100 mld dziennie (co w przybliżeniu odpowiadało obrotom dolara względem euro na rynkach walutowych w roku 2005). W takiej sytuacji deficyt budżetowy w USA wzrasta, a zagraniczne inwestycje finansowe stanowią ważne źródło jego finansowania. Międzynarodowi inwestorzy finansowi jako grupa będą zgłaszać zapotrzebowanie na więcej dolarów amerykańskich na rynkach walutowych w celu zakupu amerykańskich obligacji skarbowych i będą oferować do sprzedaży mniej posiadanych już dolarów. Popyt na dolary na rynku walutowym przesuwa się z D 0 do D 1 , a ich podaż spada z S 0 do S 1 . W nowej równowadze (E 1 ) kurs walutowy ulega aprecjacji do 1,05 euro za dolara, a liczba dolarów będących w obrocie na rynku walutowym – w tej konkretnej sytuacji opisanej na wykresie – nie zmienia się. Deficyt budżetowy a kursy walutowe Wyobraź sobie, że rząd USA zwiększa swoje zadłużenie, a środki pochodzą od europejskich inwestorów finansowych. Aby kupić amerykańskie obligacje skarbowe, europejscy inwestorzy muszą zgłosić zapotrzebowanie na więcej dolarów amerykańskich na rynkach walutowych, powodując przesunięcie krzywej popytu na dolary w prawo, z położenia D 0 do D 1 . Europejscy inwestorzy finansowi jako grupa będą również mniej skłonni dostarczać dolary amerykańskie na rynki walutowe, co spowoduje przesunięcie krzywej podaży dolarów z S 0 do S 1 . Kurs równowagi umacnia się z 0,9 euro za dolara w początkowym punkcie równowagi E 0 do 1,05 euro za dolara w nowym punkcie równowagi E 1 . Oczywiście silniejszy kurs walutowy utrudnia eksporterom sprzedaż swoich towarów za granicę, jednocześnie powodując, że import staje się tańszy. W rezultacie powstaje deficyt handlowy lub zmniejsza się nadwyżka handlowa. Zatem deficyt budżetowy może łatwo doprowadzić do napływu zagranicznego kapitału finansowego, umocnienia się kursu walutowego i pojawienia się deficytu handlowego. Można również wyobrazić sobie sytuację, w której stopy procentowe napędzają aprecjację kursu walutowego. Jak wyjaśniliśmy wcześniej na , deficyt budżetowy zwiększa popyt na krajowy kapitał finansowy, podnosząc krajowe stopy procentowe. Wyższe stopy procentowe przyciągają zagraniczny kapitał finansowy i powodują aprecjację kursu walutowego w odpowiedzi na wzrost popytu na dolary ze strony inwestorów zagranicznych i spadek podaży dolarów. Ze względu na wyższe stopy procentowe w Stanach Zjednoczonych Amerykanie uważają amerykańskie obligacje za bardziej atrakcyjne niż obligacje zagraniczne. Ponieważ Amerykanie kupują mniej obligacji zagranicznych, dostarczają na rynek walutowy mniej dolarów. Aprecjacja dolara amerykańskiego prowadzi do wzrostu deficytu handlowego (lub zmniejszenia nadwyżki handlowej). Powiązania między napływem kapitału zagranicznego, stopami procentowymi i kursami walutowymi to po prostu alternatywny sposób pokazania, że większy deficyt budżetowy może skutkować większym deficytem handlowym (nie należy jednak oczekiwać, że oba deficyty będą zmieniały się dokładnie o tę samą wielkość). Od deficytu budżetowego do międzynarodowego kryzysu gospodarczego Mechanizm, za pomocą którego odpływ międzynarodowego kapitału finansowego może powodować głęboką recesję, jest przedstawiony krok po kroku w . Kiedy międzynarodowi inwestorzy finansowi decydują się na wycofanie kapitału z kraju takiego jak Turcja, zwiększają podaż liry tureckiej i zmniejszają popyt na lirę, co nieuchronnie prowadzi do deprecjacji tej waluty. Gdy przedsiębiorstwa i rząd w Turcji pożyczają pieniądze na międzynarodowych rynkach finansowych, zwykle robią to etapami. Najpierw tureckie banki pożyczają środki w powszechnie akceptowanej na rynkach światowych walucie, np. dolarach amerykańskich lub euro, następnie wymieniają dolary lub euro na liry, a potem pożyczają pieniądze tureckim pożyczkobiorcom w lirach. Jeśli kurs liry ulegnie deprecjacji, tureckie banki nie będą w stanie spłacić międzynarodowych pożyczek, które są denominowane w dolarach amerykańskich lub euro. Malejący napływ zagranicznego kapitału inwestycyjnego i upadłość banków mogą gwałtownie obniżyć popyt globalny, co powoduje głęboką recesję. W ostatnich latach wiele krajów na całym świecie doświadczyło tego rodzaju kryzysów: Turcja w 2002 r., Meksyk w 1995 r., Tajlandia i kraje Azji Wschodniej w latach 1997–1998, Rosja w 1998 r. i Argentyna w roku 2002. W części z tych krajów wysokie deficyty budżetowe były dodatkowym źródłem kryzysu finansowego. Umiarkowany wzrost deficytu budżetowego, który prowadzi do umiarkowanego wzrostu deficytu handlowego i umiarkowanej aprecjacji kursu walutowego, niekoniecznie jest powodem do niepokoju. Ale powyżej pewnej wartości krytycznej, którą jednak trudno jest z wyprzedzeniem określić, duże deficyty budżetowe mogą być niebezpieczne dla międzynarodowych inwestorów. Jednym z powodów do niepokoju jest to, że pokaźne deficyty budżetowe mogą spowodować tak silny wzrost popytu globalnego, że w gospodarce pojawi się wysoka inflacja. Przykładem jest Turcja, w której bardzo wysokie ujemne salda budżetu spowodowały szybki wzrost stopy inflacji do dwucyfrowego poziomu. Ponadto ogromne deficyty budżetowe w pewnym momencie zaczynają budzić obawę, że rząd nie będzie w stanie spłacić zaciągniętych zobowiązań. W ciągu ostatnich 175 lat rząd Turcji sześciokrotnie nie był w stanie regulować swoich długów. Brazylia nie dokonała spłaty pożyczek siedem razy, Wenezuela – dziewięć razy, a Argentyna pięć razy. Ryzyko wysokiej inflacji lub niespłacania zagranicznych długów będzie niepokoić międzynarodowych inwestorów, ponieważ oba te czynniki oznaczają, że stopa zwrotu z inwestycji w danym kraju może okazać się niższa, niż oczekiwano. Jeśli międzynarodowi inwestorzy zaczną szybko wycofywać z danego kraju kapitał, może pojawić się scenariusz zawierający malejące gwałtownie inwestycje, deprecjację kursu walutowego, powszechne bankructwa banków i głęboką recesję. Poniższa przedstawia inne skutki bardzo wysokich deficytów budżetowych. Jakie są zagrożenia związane z trwale wysokimi deficytami budżetowymi w Stanach Zjednoczonych? Co może pójść nie tak, jeśli państwo notuje wysokie deficyty budżetowe w długim okresie? Według raportu Brookings Institution kluczowym ryzykiem związanym z dużym deficytem budżetowym jest zbyt wysoki wzrost długu publicznego w porównaniu ze wzrostem PKB. Wraz ze wzrostem zadłużenia państwa krajowa stopa oszczędności będzie spadać, pozostawiając mniej dostępnego kapitału finansowego na inwestycje prywatne. Wpływ trwale wysokich deficytów budżetowych na gospodarkę jest następujący: Wraz ze starzeniem się społeczeństwa będzie rosło zapotrzebowanie na usługi finansowane przez państwo, co może powodować wzrost deficytu budżetowego. Pożyczki zaciągane przez rząd i spłata odsetek od długu publicznego ograniczą zasoby dla krajowych inwestycji w kapitał ludzki i kapitał rzeczowy, co jest niezbędne dla utrzymania wysokiego tempa wzrostu gospodarczego w długim okresie. Stopy procentowe mogą zacząć rosnąć, co zwiększy również koszty finansowania długu publicznego, wywierając presję na rząd, aby zredukował deficyt budżetowy poprzez cięcia wydatków lub podwyżki podatków. Kroki te, bolesne politycznie, będą miały negatywny wpływ na popyt globalny w gospodarce. Rosnąca relacja długu do PKB powoduje niepewność na rynkach finansowych (również tych o charakterze globalnym), co może skłonić kraj do zastosowania polityki proinflacyjnej w celu zmniejszenia realnej wartości niespłaconego długu. Zmniejszy to jednak realne bogactwo i podważy zaufanie do zdolności kraju zarządzania swoimi wydatkami. W końcu, jeśli rząd zaciągnął pożyczkę oprocentowaną według stałej stopy (np. 5%) i pozwolił inflacji przekroczyć poziom 5%, to będzie w stanie spłacić swój dług przy ujemnej realnej stopie procentowej. Tradycyjne rozumowanie sugeruje, że istnieje ujemna zależność między utrzymującymi się deficytami budżetowymi, prowadzącymi do wysokiego poziomu długu publicznego, a długookresowym wzrostem gospodarczym. Mniej jasne jest to, jak ważna jest ta zależność, jak istotny jest to problem w porównaniu z innymi wyzwaniami makroekonomicznymi oraz jaki jest kierunek związku przyczynowo-skutkowego (czy to dług i deficyt prowadzą do zmniejszenia tempa wzrostu gospodarczego w długim okresie, czy odwrotnie – malejące tempo wzrostu gospodarczego prowadzi do pojawienia się deficytów i rosnącego zadłużenia publicznego; a może zarówno wzrost zadłużenia, jak i malejąca dynamika wzrostu gospodarczego są konsekwencją działania czynników trzecich). Należy jednak pamiętać, że związek między zadłużeniem a wzrostem gospodarczym jest ujemny i że w niektórych krajach może on być silniejszy niż w innych. Relacja ta jest jednak złożona, zaś próba kompleksowej odpowiedzi na pytanie o to, jakie są wszystkie uwarunkowania relacji pomiędzy wzrostem a długiem publicznym, wykracza poza zakres tematyczny niniejszego podręcznika. Wykorzystanie polityki fiskalnej do rozwiązania problemu nierównowagi handlowej Jeśli kraj doświadcza napływu zagranicznego kapitału inwestycyjnego przy jednoczesnym deficycie handlowym, ale jest to konsekwencja przede wszystkim tego, że zagraniczni inwestorzy dokonują długookresowych bezpośrednich inwestycji w krajowe przedsiębiorstwa, nie ma poważnych powodów do niepokoju. W końcu wiele państw o niskich dochodach na całym świecie z zadowoleniem przyjęłoby bezpośrednie inwestycje korporacji międzynarodowych, dzięki którym wzmocnieniu ulegną więzy z globalnymi sieciami produkcji i dystrybucji towarów i usług. W takim przypadku napływ zagranicznego kapitału inwestycyjnego i deficyt handlowy są odzwierciedleniem możliwości uzyskania wysokiej stopy zwrotu z inwestycji sektora prywatnego w gospodarce. Rządy powinny jednak wystrzegać się wysokich deficytów budżetowych i handlowych utrzymujących się w długim okresie. Niebezpieczeństwo pojawia się szczególnie wtedy, gdy napływ zagranicznego kapitału inwestycyjnego nie jest związany z długookresowymi kapitałowymi inwestycjami przedsiębiorstw, lecz obejmuje krótkookresowe inwestycje portfelowe, przede wszystkim w obligacje skarbu państwa. Kiedy napływ zagranicznych inwestycji finansowych osiągnie wysoki poziom, inwestorzy będą mieć się na baczności, obawiając się, że kurs walutowy danego kraju może spaść lub że rząd może nie być w stanie spłacić na czas swoich zobowiązań. Tak jak kilka spadających kamieni może wywołać gigantyczną lawinę, tak stosunkowo niewielka ilość niekorzystnych wiadomości o gospodarce może w takich warunkach spowodować ogromny odpływ krótkoterminowego kapitału finansowego. Zmniejszenie krajowego deficytu budżetowego nie zawsze będzie skuteczną metodą ograniczenia deficytu handlowego, ponieważ inne składniki wchodzące w skład równania przedstawiającego tożsamość oszczędności i inwestycji, np. prywatne oszczędności lub inwestycje, mogą też ulec zmianie. Jeśli główną przyczyną deficytu handlowego jest deficyt budżetowy, rządy powinny podjąć działania w celu zmniejszenia deficytów budżetowych, aby nie narazić swojej gospodarki na gwałtowny odpływ międzynarodowego kapitału finansowego, który mógłby doprowadzić do głębokiej recesji. Podsumowanie Rząd nie musi równoważyć budżetu co roku. Utrzymujący się przez długi czas wysoki deficyt budżetowy może jednak spowodować kilka negatywnych skutków makroekonomicznych. A będą to: przesunięcie w prawo krzywej popytu globalnego, co wywoła inflację; wypieranie prywatnych inwestycji spowalniające wzrost gospodarczy; uzależnienie się od napływu międzynarodowych inwestycji portfelowych, które tak łatwo i szybko, jak wpływają do danego kraju, mogą też z niego odpłynąć, wywołując kryzys gospodarczy o bardzo poważnych konsekwencjach. Pytania sprawdzające Pod koniec lat 90. XX w. Stany Zjednoczone przeszły od deficytu budżetowego do nadwyżki budżetowej przy jednoczesnym znacznym wzroście deficytu handlowego. Wykorzystując tożsamość oszczędności i inwestycji, określ, jak taka sytuacja wpłynęła na zmianę wartości inwestycji i/lub oszczędności. W tym przypadku tożsamość oszczędności i inwestycji wygląda następująco: Podaż kapitału finansowego = Popyt na kapitał finansowy (T − G) + (Z − X) + S = I Zarówno wzrost nadwyżki budżetu państwa, jak i wzrost deficytu handlowego zwiększyły podaż kapitału finansowego. Jeśli inwestycje w kapitał rzeczowy pozostały niezmienione, prywatne oszczędności musiały spaść; natomiast jeśli oszczędności pozostały niezmienione, inwestycje musiały wzrosnąć. W rzeczywistości pojawiły się oba efekty: pod koniec lat 90. XX w. w gospodarce Stanów Zjednoczonych oszczędności spadły, a inwestycje wzrosły. Sprawdź wiedzę W jakich warunkach większy deficyt budżetowy doprowadzi do deficytu handlowego? Ćwicz myślenie krytyczne Wyjaśnij, w jaki sposób przejście od deficytu budżetowego do nadwyżki budżetowej może wpłynąć na kurs walutowy. Opisz, jak plan zmniejszenia deficytu budżetowego może wpłynąć na studenta, młodego pracownika i rodzinę o średnich dochodach. Problemy Pokaż na wykresie, w jaki sposób deficyt budżetowy powoduje deficyt handlowy. (Wskazówka: Zacznij od analizy tego, co stanie się z kursem walutowym, gdy cudzoziemcy będą finansować większy dług publiczny). Pokaż na wykresie, w jaki sposób utrzymujący się deficyt budżetowy spowalnia tempo wzrostu gospodarczego. Załóżmy, że nowy rząd niepodległej już Tanzanii zatrudnił cię w 1964 r. Parlament Tanzanii, wolnej od rządów brytyjskich, zdecydował, że rocznie będzie wydawać 10 mln szylingów na szkoły, drogi i ochronę zdrowia. Szacujesz, że podatki netto wynoszą 8 mln szylingów rocznie. Rząd sfinansuje deficyt budżetowy, sprzedając 10-letnie obligacje skarbowe oprocentowane według stopy 12% rocznie. Parlament musi co roku dodawać odsetki od wyemitowanych obligacji do wydatków budżetowych. Załóżmy, że parlament nakłada dodatkowe podatki, aby sfinansować wzrost wydatków z tytułu odsetek, więc różnica między wydatkami państwa a dochodami podatkowymi wynosi zawsze 2 mln. Przyjmując, że budżet na szkoły, drogi i ochronę zdrowia nie ulegnie zmianie, oblicz wartość skumulowanego długu za 10 lat. Bibliografia The White House. “This is why it's time to make college more affordable.” Last modified August 20, 2013. http://www.whitehouse.gov/share/college-affordability. Rubin, Robert E., Peter R. Orszag, and Allen Sinai. “Sustained Budget Deficits: Longer-Run U.S. Economic Performance and the Risk of Financial and Fiscal Disarray.” Last modified January 4, 2004. http://www.brookings.edu/~/media/research/files/papers/2004/1/05budgetdeficit%20orszag/20040105.pdf.", "section": "Polityka fiskalna a bilans handlowy", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Jak dług publiczny wpływa na oszczędności prywatne Po przeczytaniu tego podrozdziału będziesz w stanie: Wykorzystać równoważność ricardiańską (teorię Ricardo) do oceny, w jaki sposób zadłużenie państwa wpływa na prywatne oszczędności Zilustrować równoważność ricardiańską na wykresie Zmiana salda budżetu państwa może wpłynąć na prywatne oszczędności. Wyobraź sobie, że ludzie obserwują stan finansów publicznych i odpowiednio dostosowują do niego swoje oszczędności. Na przykład ilekroć rząd ma deficyt budżetowy, ludzie mogą rozumować w ten sposób: „Cóż, wyższy deficyt budżetowy oznacza, że w przyszłości będę po prostu płacić większe podatki, aby spłacić zadłużenie państwa, więc zacznę oszczędzać już teraz”. Jeśli rząd osiąga nadwyżkę budżetową, ludzie mogą pomyśleć: „Przy nadwyżce budżetowej (lub niskim deficycie budżetowym) stopy procentowe spadają, więc oszczędzanie jest mniej atrakcyjne. Co więcej, kraj dysponujący nadwyżką budżetową będzie mógł w przyszłości pozwolić sobie na obniżkę podatków. Nie będę teraz zawracać sobie głowy oszczędzaniem”. Teoria, że racjonalnie działające gospodarstwa domowe mogą dostosowywać swoje oszczędności do sytuacji sektora publicznego (salda budżetu państwa), jest znana jako równoważność ricardiańska ( ekwiwalencja ) (ang. Ricardian equivalence ). Idea ta ma naukowe korzenie w pracach słynnego ekonomisty Davida Ricardo (1772–1823). Jeśli równoważność ricardiańska jest całkowicie prawdziwa, to w równaniu przedstawiającym tożsamość oszczędności i inwestycji każda zmiana salda budżetu państwa będzie całkowicie zrekompensowana odpowiednią zmianą oszczędności prywatnych. W rezultacie zmiany zadłużenia państwa nie będą miały żadnego wpływu ani na inwestycje w kapitał rzeczowy, ani na bilans handlowy. W rzeczywistości sektor prywatny tylko czasami i jedynie częściowo dostosowuje swoje oszczędności do salda budżetu państwa. pokazuje saldo budżetu USA oraz stopę prywatnych oszczędności (obejmującą zarówno gospodarstwa domowe, jak i przedsiębiorstwa) po roku 1980. Związek między tymi wielkościami nie jest wcale oczywisty. Na przykład w połowie lat 80. XX w. deficyt budżetu państwa był dość duży, ale nie nastąpił odpowiadający mu wzrost prywatnych oszczędności. Kiedy jednak pod koniec lat 90. XX w. pojawiła się nadwyżka budżetowa, nastąpił równoczesny spadek prywatnych oszczędności. Gdy deficyty budżetowe w latach 2008–2009 stały się bardzo duże, można było dostrzec pewne oznaki wzrostu oszczędności. Badania empiryczne obejmujące gospodarkę Stanów Zjednoczonych sugerują, że wzrostowi zadłużenia państwa o 1 dolara towarzyszy wzrost prywatnych oszczędności o ok. 30 centów. Podobne wnioski wynikają z analizy przeprowadzonej przez Bank Światowy pod koniec lat 90. XX w. na danych obejmujących budżety państwa i prywatne oszczędności w wielu krajach na całym świecie. Deficyt budżetu państwa i prywatne oszczędności w Stanach Zjednoczonych Ekwiwalencja ricardiańska sugeruje, że dodatkowe oszczędności prywatne równoważą każdy wzrost zadłużenia państwa, a spadek oszczędności prywatnych kompensuje spadek zadłużenia państwa. Okazuje się, że teoria ta tylko czasami jest prawdziwa. (Źródło: Bureau of Economic Analysis and Federal Reserve Economic Data). Oszczędności prywatne do pewnego stopnia rosną, gdy państwo boryka się z wysokimi deficytami budżetowymi, a zmniejszają się, gdy deficyt maleje lub pojawia się nadwyżka budżetowa. Jednak prywatne oszczędności nie kompensują w pełni negatywnych skutków zadłużenia państwa. Ponadto efekty kompensacji mogą znacznie się różnić w zależności od kraju i okresu analizy. Jeśli wzrost deficytu budżetowego jest finansowany przez międzynarodowych inwestorów finansowych, wówczas deficytowi budżetowemu może towarzyszyć deficyt handlowy. W niektórych krajach takie deficyty bliźniacze (ang. twin deficits ) doprowadziły do sytuacji, że międzynarodowi inwestorzy finansowi najpierw przekazywali pieniądze do innego kraju, powodując aprecjację jego waluty, a następnie wycofywali swoje fundusze, przyczyniając się do spadku jej wartości i kryzysu finansowego. Podsumowanie Zgodnie z równoważnością (ekwiwalencją) ricardiańską zmiany prywatnych oszczędności równoważą zmiany zadłużenia państwa. A zatem większe oszczędności prywatne skompensują wyższe deficyty budżetowe, a nadwyżkom budżetowym będą towarzyszyć mniejsze oszczędności prywatne. Jeśli teoria ta jest prawdziwa, to zmiany w poziomie zadłużenia państwa nie powinny mieć wpływu na prywatne inwestycje w kapitał rzeczowy ani na bilans handlowy. Dowody empiryczne sugerują jednak, że ta teoretyczna koncepcja prawdziwa jest tylko częściowo. Pytania sprawdzające Wyobraźmy sobie gospodarkę, w której obowiązuje równoważność ricardiańska. W gospodarce tej deficyt budżetowy wynosi 50, deficyt handlowy jest równy 20, prywatne oszczędności wynoszą 130, a inwestycje 100. Jeśli deficyt budżetowy zwiększy się do 70, jak wpłynie to na inne składniki występujące w równaniu przedstawiającym tożsamość oszczędności i inwestycji? Równoważność ricardiańska oznacza, że prywatne oszczędności zmieniają się dokładnie w taki sposób, aby skompensować wszelkie zmiany salda budżetu państwa. Jeśli zatem deficyt budżetowy rośnie o 20, oszczędności prywatne również rosną o 20, a deficyt handlowy się nie zmienia. Równanie przedstawiające tożsamość oszczędności i inwestycji w sytuacji początkowej (przed wzrostem deficytu budżetowego) jest zapisane poniżej. Zauważ, że jeśli jakakolwiek zmiana składnika (G - T) jest równoważona zmianą S, to pozostałe składniki tego równania nie ulegają zmianie. Jeśli zatem (G - T) wzrośnie o 20, to S również musi wzrosnąć o 20. Podaż kapitału finansowego = Popyt na kapitał finansowy S + (Z − X) = I + (G − T) 130 + 20 = 100 + 50 Sprawdź wiedzę Czym jest równoważność ricardiańska? Co wspólnego mają równoważność ricardiańska i koncepcja racjonalności podmiotów ekonomicznych? Ćwicz myślenie krytyczne Wyjaśnij, czy zgadzasz się z założeniem równoważności ricardiańskiej, zgodnie z którym racjonalni ludzie rozumują tak: „Cóż, wyższy deficyt budżetowy (nadwyżka budżetowa) oznacza, że w przyszłości będę po prostu płacił więcej (mniej) podatków na pokrycie zadłużenia państwa, więc już teraz zacznę oszczędzać (wydawać) pieniądze”. Uzasadnij swoją odpowiedź. Problemy Zilustruj koncepcję ekwiwalencji ricardiańskiej za pomocą wykresu przedstawiającego popyt na kapitał finansowy i jego podaż. równoważność ricardiańska (ang. Ricardian equivalence ) teoria, zgodnie z którą racjonalne gospodarstwa domowe dostosowują swoje oszczędności do zmian poziomu zadłużenia państwa ekwiwalencja ricardiańska zob. równoważność ricardiańska deficyty bliźniacze (ang. twin deficits ) jednoczesne występowanie deficytu handlowego i deficytu budżetowego", "section": "Jak dług publiczny wpływa na oszczędności prywatne", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Polityka fiskalna, inwestycje i wzrost gospodarczy Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić zjawisko wypierania i jego wpływ na inwestycje w kapitał rzeczowy Wskazać związek pomiędzy deficytem budżetowym a stopami procentowymi Zrozumieć, dlaczego wzrost gospodarczy jest powiązany z inwestycjami w kapitał rzeczowy, kapitał ludzki i technologię Głównym źródłem wzrostu gospodarczego są inwestycje w kapitał rzeczowy, kapitał ludzki i technologię, osadzone w środowisku gospodarczym, w którym ludzie i przedsiębiorstwa reagują na bodźce cenowe generowane przez efektywnie funkcjonujące rynki. Zadłużenie państwa może zmniejszyć kapitał finansowy dostępny dla prywatnych przedsiębiorstw chcących inwestować w kapitał rzeczowy. Z drugiej strony wydatki państwa mogą stymulować długookresowy wzrost gospodarczy poprzez zwiększenie nakładów na infrastrukturę, edukację lub na badania, co prowadzi do pojawienia się i rozwoju nowych technologii. Efekt wypierania Wyższy deficyt budżetowy zwiększa zapotrzebowanie państwa na kapitał finansowy. Jeśli prywatne oszczędności i bilans handlowy pozostają na niezmienionym poziomie, wówczas mniej kapitału finansowego będzie dostępne dla prywatnych podmiotów zainteresowanych wydatkami na kapitał rzeczowy. Kiedy pożyczki zaciągane przez państwo wykorzystują dostępny kapitał finansowy i zmniejszają jego zasób przeznaczony na finansowanie prywatnych inwestycji, mamy do czynienia z wypieraniem (ang. crowding out ). Aby lepiej zrozumieć efekt wypierania, przyjrzyjmy się gospodarce Stanów Zjednoczonych przed recesją, która rozpoczęła się pod koniec 2007 r. Na przykład w 2005 r. deficyt budżetowy w USA wynosił ok. 4% PKB. Prywatne inwestycje przedsiębiorstw oscylowały w ostatnich dziesięcioleciach w przedziale od 14% do 18% PKB. Jednak w każdym roku mniej więcej połowa amerykańskich inwestycji w kapitał rzeczowy miała charakter odtworzeniowy i służyła zastąpieniu maszyn i urządzeń, które się zużyły lub stały się technologicznie przestarzałe. Tylko mniej więcej połowa inwestycji skutkowała wzrostem ogólnej ilości kapitału rzeczowego w gospodarce. Inwestycje w nowy kapitał rzeczowy wynosiły zatem ok. 7–9% PKB. W takiej sytuacji nawet deficyt budżetowy rzędu 4% PKB może potencjalnie wyprzeć znaczną część nowych wydatków inwestycyjnych. I odwrotnie, mniejszy deficyt budżetowy lub wyższa nadwyżka budżetowa zwiększają pulę kapitału finansowego dostępnego dla inwestorów prywatnych. Odwiedź poniższą stronę internetową , aby zobaczyć zegar długu publicznego w USA. pokazuje wynik budżetu państwa i poziom inwestycji prywatnych w USA po roku 1980. Jeśli prawdą jest, że większy deficyt budżetowy powoduje spadek prywatnych inwestycji w kapitał rzeczowy, a mniejszy deficyt budżetowy lub większa nadwyżka budżetowa powodują wzrost takich inwestycji, obie krzywe na wykresie powinny zmieniać się mniej więcej w tym samym kierunku. Działo się tak pod koniec lat 90. XX w. i na początku XXI w. Saldo budżetu federalnego w Stanach Zjednoczonych przekształciło się z deficytu na poziomie 2,2% PKB w 1995 r. w nadwyżkę w wysokości 2,4% PKB w roku 2000, co oznacza poprawę o 4,6 punktu procentowego w relacji do PKB. W latach 1995–2000 prywatne inwestycje w kapitał rzeczowy wzrosły z 15% PKB do 18% PKB, czyli o 3 punkty procentowe. Kiedy ekspansywna polityka fiskalna rządu Stanów Zjednoczonych ponownie doprowadziła do deficytu budżetowego na początku XXI w., mniej kapitału finansowego było dostępne dla inwestycji prywatnych i ich stopa spadła w 2003 r. do ok. 15% PKB. Saldo budżetu państwa i inwestycje prywatne w USA Związek między prywatnymi oszczędnościami a przepływami międzynarodowego kapitału odgrywa istotną rolę w kształtowaniu wyniku budżetu państwa. W rezultacie pożyczki zaciągane przez państwo i inwestycje prywatne mogą być ze sobą skorelowane. Na przykład w latach 90. XX w. spadek zadłużenia państwa zmniejszył skalę efektu wypierania, dzięki czemu więcej funduszy było dostępnych na finansowanie inwestycji prywatnych. Deficyty budżetowe nie pochłaniają w całości krajowych inwestycji prywatnych, gdyż należy też uwzględnić prywatne oszczędności i napływ zagranicznych inwestycji finansowych. Na przykład w połowie lat 80. XX w. deficyt budżetowy Stanów Zjednoczonych znacznie wzrósł i nie towarzyszył mu spadek inwestycji prywatnych w tej samej skali. Prywatne inwestycje w środki trwałe (z wyłączeniem mieszkalnictwa) spadły z 1,94 bln dol. w 2008 r. do 1,64 bln dol. w roku 2009 głównie dlatego, że podczas recesji przedsiębiorstwom brakowało funduszy i motywacji do inwestowania. Według Biura Analiz Ekonomicznych wzrost inwestycji w latach 2009–2014 wyniósł średnio ok. 5,9% i osiągnął poziom 2,2 bln dol. – tylko nieznacznie powyżej wartości z 2008 r. W tym samym okresie stopy procentowe spadły z 3,94% do niecałych 0,25%, ponieważ Rezerwa Federalna podjęła dramatyczne działania zapobiegające recesji w postaci zwiększenia podaży pieniądza za pomocą obniżek krótkoterminowych stóp procentowych. Wydaje się, że wypieranie prywatnych inwestycji przez wydatki państwa nie występowało w czasie globalnego kryzysu finansowego. Jednak w miarę poprawy sytuacji gospodarczej i wzrostu stóp procentowych zadłużenie państwa może potencjalnie wywierać presję na stopy procentowe. Kanał stopy procentowej Załóżmy, że wzrost zadłużenia państwa oddziałuje na wolumen inwestycji prywatnych. Jak wpłynie to na stopy procentowe na rynkach finansowych? Na równowaga początkowa (E 0 ), w której krzywa popytu (D0) na kapitał finansowy przecina się z krzywą podaży (S 0 ), występuje przy stopie procentowej 5% i ilości kapitału finansowego odpowiadającej 20% PKB. Jednak wraz ze wzrostem deficytu budżetowego krzywa popytu na kapitał finansowy przesuwa się z położenia D 0 do D 1 . Nowa równowaga (E 1 ) występuje przy stopie procentowej równiej 6% i ilości kapitału finansowego odpowiadającej już 21% PKB. Deficyt budżetowy a stopy procentowe Na rynku finansowym wzrost zadłużenia państwa przesuwa krzywą popytu na kapitał finansowy w prawo, z położenia D 0 do D 1 . Punkt równowagi przesuwa się z E 0 do E 1 , a stopa procentowa wzrasta z 5% do 6%. Wyższa stopa procentowa jest jednym z kanałów oddziaływania, za pomocą którego wydatki państwa wypierają prywatne inwestycje. Badania empiryczne dotyczące zależności między zadłużeniem państwa a stopami procentowymi w Stanach Zjednoczonych sugerują, że wzrost deficytu budżetowego o 1 punkt procentowy w relacji do PKB prowadzi do wzrostu stóp procentowych o 0,5–1,0 punktu procentowego, przy pozostałych czynnikach niezmienionych. Z kolei wyższa stopa procentowa zwykle zniechęca przedsiębiorstwa do dokonywania inwestycji w kapitał rzeczowy. Jednym z powodów, dla których deficyt budżetu państwa wypiera inwestycje prywatne, jest wzrost stóp procentowych. Istnieją jednak badania empiryczne, które wskazują na ograniczony związek między tymi zmiennymi (przynajmniej w Stanach Zjednoczonych), ale i tak wraz ze wzrostem deficytu budżetowego niebezpieczeństwo związane z podwyżką stóp procentowych staje się bardziej realne. W tym momencie możesz zastanawiać się nad potencjalnymi działaniami amerykańskiego banku centralnego. Czy Bank Rezerwy Federalnej może zastosować ekspansywną politykę pieniężną w celu obniżenia stóp procentowych lub – jak w tym przypadku – zapobieżenia wzrostowi stóp procentowych? To interesujące pytanie podkreśla znaczenie współzależności polityki pieniężnej i fiskalnej. Wyobraź sobie, że rząd prowadzi politykę wysokiego deficytu budżetowego (ekspansywną politykę fiskalną), co powoduje wzrost stóp procentowych i wypieranie prywatnych inwestycji. Jeżeli deficyt budżetowy zwiększa popyt globalny w sytuacji, gdy gospodarka jest już blisko potencjalnego PKB, co wywołuje zagrożenie inflacją, bank centralny może zareagować i wprowadzić restrykcyjny wariant polityki monetarnej. W tej sytuacji podwyżka stóp procentowych na skutek wzrostu zadłużenia państwa będzie wzmocniona przez restrykcyjną politykę pieniężną i w efekcie wydatki publiczne mogą wyprzeć znaczną część inwestycji prywatnych. Jeżeli natomiast deficyt budżetowy zwiększa popyt globalny, gdy gospodarka wytwarza znacznie poniżej poziomu potencjalnego PKB, zagrożenie inflacją nie jest duże, więc bank centralny może zastosować ekspansywną politykę pieniężną. W takiej sytuacji wyższe stopy procentowe związane ze wzrostem zadłużenia państwa są w dużej mierze równoważone niższymi stopami procentowymi wynikającymi z ekspansywnej polityki pieniężnej, więc skala wypierania inwestycji prywatnych będzie niewielka. Jednak bank centralny, niezależnie od jego wpływu na to, co dzieje się w gospodarce, nie może zlekceważyć tożsamości oszczędności i inwestycji. Jeśli zadłużenie państwa rośnie, to albo muszą spaść prywatne inwestycje, albo wzrosnąć prywatne oszczędności lub deficyt handlowy. Prowadząc restrykcyjną lub ekspansywną politykę pieniężną, bank centralny może jedynie zwiększyć prawdopodobieństwo realizacji jednego z tych dwóch scenariuszy. Inwestycje publiczne w kapitał rzeczowy Państwo może bezpośrednio inwestować w kapitał rzeczowy, co obejmuje m.in. drogi i mosty, zaopatrzenie w wodę i kanalizację, porty morskie i lotnicze, szkoły i szpitale, elektrownie (w tym elektrownie wodne i farmy wiatrowe), urządzenia telekomunikacyjne i zbrojenia. W 2014 r. Stany Zjednoczone z budżetu federalnego wydały ok. 92 mld dol. na transport, w tym autostrady, transport zbiorowy i lotniska. pokazuje wydatki amerykańskiego rządu federalnego w 2014 r. na główne publiczne inwestycje w kapitał rzeczowy. W tabeli pominięte zostały inwestycje związane ze zbrojeniami oraz mieszkalnictwem, ponieważ koncentrujemy się na inwestycjach publicznych, które mają bezpośredni wpływ na dynamikę wzrostu produkcji w sektorze prywatnym. Wydatki na inwestycje w kapitał rzeczowy w Stanach Zjednoczonych w 2014 r. Wyszczególnienie Nakłady rządu federalnego w 2014 r. (mln dol.) Transport 91 915 Rozwój regionalny 20 670 Zasoby naturalne i środowisko 36 171 Edukacja, szkolenia, zatrudnienie i usługi społeczne 90 615 Inne 37 282 Ogółem 276 653 Tego rodzaju publiczne inwestycje w kapitał rzeczowy mogą zwiększyć produkcję i wydajność gospodarki. Gospodarka z dobrą siecią dróg oraz stabilnymi dostawami energii elektrycznej będzie w stanie wytworzyć więcej. Trudno jednak oszacować, jakie będą dokładne korzyści gospodarcze z inwestycji publicznych w kapitał rzeczowy, ponieważ rząd reaguje zarówno na bodźce polityczne, jak i ekonomiczne. Gdy przedsiębiorstwo inwestuje w kapitał rzeczowy, podlega dyscyplinie rynkowej: jeśli nie uzyska odpowiedniej stopy zwrotu z inwestycji, może stracić pieniądze, a nawet zbankrutować. W niektórych przypadkach inwestycje w kapitał rzeczowy są sposobem wydawania pieniędzy w okręgach o istotnym znaczeniu dla polityków (w amerykańskim slangu politycznym takie działania noszą nazwę „ prawa o beczce wieprzowiny ” [ang. pork barell legislation ]). Efektem mogą być niepotrzebne drogi lub biurowce. Nawet jeśli projekt jest pożyteczny i potrzebny, może być zrealizowany w sposób nadmiernie kosztowny, ponieważ lokalni kontrahenci, którzy wspierają polityków w czasie kampanii wyborczej i asygnują na ten cel pokaźne fundusze, oczekują później wyższego wynagrodzenia za świadczone przez siebie usługi. Czasami sytuacja jest odwrotna i rząd federalny lub władze lokalne nie dokonują niezbędnych inwestycji, ponieważ decyzja o wydatkach na infrastrukturę jest podejmowana na podstawie nie tylko ekonomicznych, lecz również politycznych przesłanek (musi przynosić korzyści mierzone np. wzrostem poparcia). Zarządzanie inwestycjami publicznymi w sposób efektywny kosztowo może być trudne. Jeśli rząd finansuje inwestycje w kapitał rzeczowy za pomocą wyższych podatków lub niższych wydatków publicznych w innych obszarach, nie musi się martwić o bezpośrednie wypieranie inwestycji prywatnych. Pośrednio jednak wyższe podatki od gospodarstw domowych mogą obniżyć poziom dostępnych oszczędności prywatnych i w efekcie mieć podobny skutek. Jeśli rząd finansuje inwestycje w kapitał rzeczowy za pomocą długu, może to się odbywać kosztem wypierania prywatnych inwestycji w kapitał rzeczowy, co jest niekorzystne dla gospodarki. Inwestycje publiczne w kapitał ludzki W większości krajów rząd odgrywa kluczową rolę w inwestycjach społeczeństwa w kapitał ludzki poprzez system publicznej edukacji. Wysoko wykształcona i wykwalifikowana siła robocza jest ważnym źródłem szybkiego tempa wzrostu gospodarczego. W krajach niżej rozwiniętych dodatkowe inwestycje w kapitał ludzki prawdopodobnie zwiększają produktywność i przyspieszają dynamikę wzrostu gospodarczego. W przypadku Stanów Zjednoczonych krytycy zastanawiają się, o ile jeszcze nakłady państwa na edukację muszą się zwiększyć, aby faktyczny poziom edukacji uległ poprawie. Wśród ekonomistów dyskusje na temat reformy edukacji często zaczynają się od niewygodnych faktów. Jak pokazuje , w Stanach Zjednoczonych wydatki na ucznia od przedszkola do ukończenia średniego szczebla edukacji zanotowały znaczny realny wzrost w okresie 1998–2010. Zgodnie z danymi US Census Bureau bieżące wydatki na ucznia w szkole podstawowej i średniej wzrosły z 5001 dol. w 1998 r. do 10 608 dol. w roku 2012. Jednak jak zmierzono za pomocą standardowych testów takich jak SAT, poziom osiągnięć akademickich uczniów w ostatnich dekadach niemal nie drgnął. W testach międzynarodowych uczniowie z USA pozostają w tyle za młodymi ludźmi z wielu innych krajów. (Oczywiście wyniki testów są niedoskonałą miarą poziomu wykształcenia z różnych powodów. Trudno byłoby jednak argumentować, że w amerykańskim systemie edukacji nie ma żadnych problemów, a testy są po prostu niedokładne lub w niewłaściwy sposób mierzą wiedzę i umiejętności akurat amerykańskich uczniów). Łączne wydatki na szkolnictwo podstawowe, średnie i zawodowe w USA w latach 1998–2020 Wykres pokazuje, że w analizowanym okresie wydatki państwa na edukację stale rosły aż do 2020 r. (z wyłączeniem okresu 2010–2012). (Źródło: Office of Management and Budget). Fakt, że zwiększone środki finansowe nie przyniosły wyraźnych wymiernych korzyści w wynikach studentów, skłonił niektórych ekspertów ds. edukacji do przemyśleń, czy problemy nie wynikają aby ze struktury szkolnictwa, a nie tylko z wielkości przeznaczanych na nie środków. Nie wszystkie wydatki na akumulację kapitału ludzkiego muszą być dokonywane przez państwo: wielu uczniów i studentów w Stanach Zjednoczonych pokrywa znaczną część kosztów swojej edukacji. Dla USA i innych krajów wysoko rozwiniętych główny nacisk kładziony jest obecnie na to, jak uzyskać większy zwrot z wydatków na edukację i poprawić wyniki przeciętnego absolwenta szkoły średniej, a nie na to, jak zwiększyć wydatki na tę dziedzinę. Jak polityka fiskalna może przyspieszyć postęp techniczny? Prace badawczo-rozwojowe (B+R) są siłą napędową powstawania i rozwoju nowych technologii. Według National Science Foundation federalne nakłady na badania i rozwój w Stanach Zjednoczonych kształtowały się na poziomie średnio 8,8% PKB. Około jednej piątej amerykańskich wydatków na B+R przeznacza się na badania związane z obronnością i przestrzenią kosmiczną. Chociaż wydatki na badania i rozwój ukierunkowane na obronę narodową mogą czasem prowadzić do powstania innowacji przynoszących korzyść konsumentom, prace badawczo-rozwojowe zorientowane na produkcję nowej broni mają mniejsze szanse na przyniesienie korzyści gospodarce cywilnej niż bezpośrednie wydatki cywilne na badania i rozwój. Polityka fiskalna może zachęcać do podejmowania prac badawczo-rozwojowych za pomocą bezpośredniego stymulowania wydatków lub poprzez ulgi podatkowe. Rząd może wydawać więcej pieniędzy na prace badawczo-rozwojowe prowadzone w swoich laboratoriach, a także rozszerzyć federalne dotacje na badania i rozwój przeznaczone dla uczelni wyższych, organizacji non profit i sektora prywatnego. Według danych National Science Foundation w 2014 r. fundusze federalne w Stanach Zjednoczonych były źródłem 135,5 mld dol. skierowanych na prace badawczo-rozwojowe, co stanowiło ok. 4% całkowitych wydatków budżetowych rządu federalnego. Polityka fiskalna może również wspierać badania i rozwój poprzez odpowiednie ulgi podatkowe, które umożliwiają przedsiębiorstwom płacenie niższych podatków w miarę zwiększania wydatków na sferę B+R. Polityka fiskalna, inwestycje i wzrost gospodarczy: podsumowanie Inwestycje w kapitał rzeczowy, kapitał ludzki i nowe technologie są niezbędne dla długookresowego wzrostu gospodarczego, co pokazuje . W gospodarce rynkowej przedsiębiorstwa prywatne realizują większość inwestycji w kapitał rzeczowy, a polityka fiskalna powinna być ukierunkowana na równoważenie salda budżetu w długim okresie (co jednak nie oznacza, że równowaga ma być koniecznie osiągana w każdym roku obrachunkowym!), by minimalizować ryzyko wypierania inwestycji sektora prywatnego. Efekty wielu działań prorozwojowych urzeczywistniają się stopniowo. W miarę jak społeczeństwo jest lepiej wykształcone, więcej inwestuje w kapitał rzeczowy oraz opracowuje i wdraża nowe technologie. Inwestycyjna rola sektora publicznego i prywatnego w gospodarce rynkowej Kapitał rzeczowy Kapitał ludzki Nowe technologie Sektor prywatny Nowe inwestycje w nieruchomości oraz maszyny i urządzenia Szkolenia pracownicze Prowadzenie prac badawczo-rozwojowych Sektor publiczny Infrastruktura publiczna Edukacja publiczna, szkolenia zawodowe Wspieranie badań i rozwoju poprzez zachęty dla sektora prywatnego i bezpośrednie wydatki na badania i rozwój Finansowanie szkolnictwa wyższego W latach 1982–2012 wzrost kosztów edukacji uniwersyteckiej znacznie przewyższył wzrost dochodów typowej amerykańskiej rodziny. Według zespołu badawczego prezydenta Obamy koszt czteroletniej edukacji na publicznym uniwersytecie (co odpowiada mniej więcej polskiemu licencjatowi) w ciągu ostatnich 30 lat wzrósł o 257%, gdy tymczasem dochody przeciętnego gospodarstwa domowego zwiększyły się o zaledwie 16%. Tocząca się debata na temat zrównoważonego budżetu i proponowanych cięć uwydatniła potrzebę zwiększenia inwestycji w kapitał ludzki dla rozwoju gospodarki w porównaniu z pogłębianiem i tak już znacznego poziomu zadłużenia rządu USA. Latem 2013 r. prezydent Obama przedstawił plan zwiększenia dostępności cenowej szkolnictwa wyższego, obejmujący zwiększenie wysokości grantów Pell Grant i liczby ich beneficjentów, nałożenie górnych limitów na oprocentowanie kredytów studenckich oraz zapewnienie ulg podatkowych na edukację. Ponadto plan wprowadza nowy system sprawozdawczości dla instytucji edukacyjnych, koncentrujący się na efektywności wydatków (np. poprzez pomiar liczby osób, które zdobyły tytuł licencjata w porównaniu z liczbą studentów rozpoczynających edukację). To, czy wszystkie te inicjatywy przyniosą skutek, dopiero się okaże, ale wskazują one na kreatywne podejście, które rząd może przyjąć, aby wypełnić swoje zobowiązania zarówno z perspektywy polityki publicznej, jak i fiskalnej. Podsumowanie Wzrost gospodarczy wynika z inwestycji w kapitał rzeczowy, kapitał ludzki i z postępu technicznego. Wydatki publiczne mogą wypierać inwestycje sektora prywatnego w kapitał rzeczowy, ale polityka fiskalna może również zwiększyć inwestycje w kapitał rzeczowy będący własnością publiczną, w kapitał ludzki (edukację) oraz na badania i rozwój. Możliwe metody poprawy poziomu wykształcenia społeczeństwa i zwiększenia akumulacji kapitału ludzkiego obejmują wyższe wydatki na płace dla nauczycieli i na inne potrzeby edukacyjne oraz reorganizację systemu edukacji, aby zwiększyć zachęty do efektywnego gospodarowania środkami. Stymulowanie prac badawczo-rozwojowych w celu przyspieszenia postępu technicznego może nastąpić w wyniku bezpośrednich wydatków państwa na badania i rozwój lub wprowadzenia ulg podatkowych dla przedsiębiorstw realizujących prace w obszarze B+R. Pytania sprawdzające Dlaczego wielu ekspertów ds. edukacji twierdzi, że dla amerykańskiego szkolnictwa lepsza jest zmiana systemu bodźców, a nie wzrost nakładów finansowych? Nie decydując, które rozwiązanie jest lepsze, wymień przykładowe sposoby zmiany systemu bodźców. Mimo że w ciągu ostatnich kilku dekad nakłady finansowe w przeliczeniu na jednego ucznia znacznie wzrosły, w tym samym czasie wyniki testów się pogorszyły. Skłoniło to wielu ekspertów do twierdzenia, że problemem nie są zasoby (a przynajmniej nie tylko zasoby), lecz sposób organizacji i zarządzania szkołami oraz motywacja zarówno uczniów, jak i nauczycieli. Istnieje wiele propozycji zmiany systemu bodźców, ale stosunkowo mało jest twardych dowodów na to, które propozycje ostatecznie się sprawdzą. Nie próbując oceniać, czy te propozycje są dobre, czy złe, po prostu wymieńmy niektóre z nich. A są to: regularne testowanie uczniów, nagradzanie nauczycieli lub szkół, które dobrze wypadły w takich testach, dodatkowe szkolenia dla nauczycieli, umożliwienie uczniom wyboru szkoły publicznej, umożliwienie nauczycielom i rodzicom otwierania nowych szkół, wręczanie uczniom bonów edukacyjnych, które mogą być wykorzystane na opłacenie czesnego w szkołach publicznych lub prywatnych. Jakie kroki może podjąć rząd, aby zachęcić przedsiębiorstwa do prac badawczo-rozwojowych? Rząd może finansować badania i rozwój za pomocą środków publicznych. Może również wprowadzić ulgi podatkowe dla przedsiębiorstw realizujących prace badawczo-rozwojowe. Sprawdź wiedzę W jaki sposób polityka fiskalna może stymulować wzrost gospodarczy? Wymień przykłady działań z zakresu polityki fiskalnej mających na celu zwiększenie akumulacji kapitału ludzkiego w społeczeństwie. Wymień przykłady działań z zakresu polityki fiskalnej mających na celu ulepszenie technologii, z których gospodarka będzie korzystała w przyszłości. Ćwicz myślenie krytyczne Wyjaśnij, dlaczego rząd może preferować zachęty inwestycyjne w obszarze B+R kierowane do prywatnych przedsiębiorstw, zamiast wydawać środki publiczne bezpośrednio na te cele. W jakich warunkach wypieranie nie hamuje długookresowego wzrostu gospodarczego? W jakich warunkach wypieranie spowalnia długookresowy wzrost gospodarczy? Co musi się stać, aby państwo mogło prowadzić politykę deficytu budżetowego przy całkowitym braku zjawiska wypierania? Problemy Podczas globalnego kryzysu finansowego niektórzy ekonomiści argumentowali, że stopy procentowe nie zmienią się w konsekwencji deficytu budżetowego, tak jak to jest standardowo prezentowane na wykresie popytu i podaży kapitału finansowego. Miało się tak stać ze względu na fakt, iż rząd zaczął inwestować, podczas gdy prywatne przedsiębiorstwa tego nie robiły. Korzystając z wykresu, wyjaśnij, w jaki sposób inwestycje publiczne równoważyły niedobór popytu. Bibliografia U.S. Department of Commerce: Bureau of Economic Analysis. “National Data: National Income and Product Accounts Tables.” Accessed December 1, 2013. http://www.bea.gov/iTable/iTable.cfm?ReqID=9&step=1#reqid=9&step=3&isuri=1&910=X&911=0&903=146&904=2008&905=2013&906=A. Board of Governors of the Federal Reserve System, “Selected Interest Rates (Daily) – H.15.” Accessed December 10, 2013. http://www.federalreserve.gov/releases/h15/data.htm. The White House. “Fiscal Year 2013 Historical Tables: Budget of the U.S. Government.” Accessed December 12, 2013. http://www.whitehouse.gov/sites/default/files/omb/budget/fy2013/assets/hist.pdf. The National Science Foundation. Accessed December 19, 2013. http://www.nsf.gov/.", "section": "Polityka fiskalna, inwestycje i wzrost gospodarczy", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Poszukiwanie pracy Targi pracy (na zdjęciu: Hawaje, USA) i urzędy pracy pomagają znaleźć optymalne dopasowanie pracowników i wolnych stanowisk. W kraju o wysokich dochodach, takim jak Stany Zjednoczone, stosowane są narzędzia polityki makroekonomicznej mające na celu kontrolowanie odsetka osób pozostających bez pracy. Przyczyn bezrobocia może być wiele i jest ono szczególnie dotkliwe w gospodarkach o niskich i średnich dochodach. (Źródło: modyfikacja pracy Daniela Ramireza/Flickr Creative Commons). Bezrobocie wśród ludzi młodych: trzy różne przypadki Chad Harding, młody mieszkaniec Kapsztadu w RPA, ukończył szkołę, zdając egzaminy z wysokimi ocenami. Jego przyszłość wydawała się obiecująca. Jednak podobnie jak wielu młodych ludzi w jego kraju napotkał trudności ze znalezieniem pracy. „Po prostu utknąłem w domu, czekając, aż coś się pojawi” – powiedział w wywiadzie dla BBC w 2012 r. W RPA 54,6% młodych kobiet i 47,2% mężczyzn było wówczas bezrobotnych. Problem ten nie ograniczał się jednak do RPA. Według Międzynarodowej Organizacji Pracy na świecie 73 mln młodych ludzi między 15. i 24. rokiem życia było w 2012 r. bez pracy. Według „Wall Street Journal” w Indiach 60% siły roboczej to osoby samozatrudnione, głównie z powodu regulacji na rynku pracy. Zgodnie z raportem Banku Światowego dotyczącym rozwoju gospodarczego ( World Bank Development Report ) w 2010 r. stopa bezrobocia wśród młodzieży w Indiach wynosiła 9,9%. W Hiszpanii (kraju znacznie bogatszym) wśród młodych kobiet i mężczyzn było to odpowiednio 39,8% i 43,2%. Bezrobocie wśród młodzieży jest poważnym problemem w wielu częściach świata. Jednak mimo widocznych podobieństw w kształtowaniu się tego wskaźnika w RPA, Hiszpanii i Indiach narzędzia polityki makroekonomicznej mające na celu jego zmniejszenie w tych trzech krajach są różne. W niniejszym rozdziale przeanalizujemy politykę makroekonomiczną na całym świecie, ze szczególnym uwzględnieniem narzędzi wykorzystywanych do zmniejszania bezrobocia, promowania wzrostu gospodarczego oraz stabilizacji inflacji i kursów walutowych. Następnie ponownie przyjrzymy się bezrobociu wśród ludzi młodych w RPA, Hiszpanii i Indiach. Wprowadzenie do tematu polityki makroekonomicznej na świecie Dzięki lekturze tego rozdziału dowiesz się: Jak bardzo kraje tworzące światową gospodarkę są zróżnicowane ekonomicznie W jaki sposób polityka ekonomiczna może przełożyć się na poprawę standardu życia społeczeństw Jakie mogą być przyczyny wysokiego bezrobocia w różnych krajach świata Jakie czynniki wywołują inflację w różnych gospodarkach Jakie obawy budzi niezrównoważony bilans handlowy Istnieją znaczące różnice w zamożności i wynikach gospodarczych krajów na całym świecie. Co je wyjaśnia? Czy państwa, prowadząc swoją politykę makroekonomiczną, kierują się podobnymi celami? Czy zastosowanie ram makroekonomicznych przedstawionych w tym podręczniku pozwoli nam zrozumieć wyniki gospodarcze poszczególnych krajów? Zajmijmy się tymi pytaniami po kolei. Wyjaśnianie różnic. Przypomnij sobie , w którym wyjaśnialiśmy różnice w strukturze i wydajności gospodarek, odwołując się do zagregowanej funkcji produkcji. Argumentowaliśmy, że różnice w produktywności, na które miały wpływ takie czynniki, jak kapitał fizyczny, kapitał ludzki i technologia, wyjaśniają zróżnicowanie przeciętnych dochodów na całym świecie. Każda gospodarka ma swoje charakterystyczne cechy ekonomiczne, instytucje, historię i realia polityczne, a to oznacza, że dostęp do tych „składników” będzie różny w zależności od kraju, podobnie zresztą jak jego wyniki gospodarcze. Na przykład Korea Południowa na początku lat 50. XX w. zainwestowała znaczne środki w edukację i technologię, aby zwiększyć wydajność swego rolnictwa. Część tych inwestycji była wynikiem szczególnych relacji politycznych ze Stanami Zjednoczonymi. Dzięki tym i wielu innym inicjatywom gospodarka tego kraju zdołała zbliżyć się do poziomu dochodów państw rozwiniętych, takich jak Japonia i Stany Zjednoczone. Podobne cele i ramy. Wiele gospodarek dobrze radzących sobie pod względem tempa wzrostu dochodu per capita miało – na dobre lub na złe – podobny cel: utrzymanie wzrostu i w miarę możliwości poprawę jakości życia swoich obywateli. Jakość życia w kraju jest pojęciem szerokim, ale jak można sobie wyobrazić, obejmuje m.in. niski poziom bezrobocia, stabilność cen (niski poziom inflacji) oraz swobodę produkcji i sprzedaży (również za granicę!) dóbr i usług. Wydaje się, że są to uniwersalne cele makroekonomiczne, o których mówiliśmy w i żaden kraj nie będzie prowadził polityki zmierzającej w przeciwnym kierunku. Analizując politykę makroekonomiczną na świecie, zaczynamy od porównania poziomu życia. Przyjrzymy się również takim wskaźnikom, jak bezrobocie, inflacja i handel zagraniczny w poszczególnych krajach. Pamiętaj, że każde państwo ma inne doświadczenia, dlatego chociaż zidentyfikowane przez nas cele mogą być podobne, konkretne gospodarki wymagają polityki makroekonomicznej dostosowanej do ich specyficznych uwarunkowań. Aby uzyskać więcej informacji na temat bezrobocia wśród młodzieży, odwiedź tę stronę internetową i przeczytaj artykuł Pokolenie bezrobotnych ( Generation Jobless ) w tygodniku „The Economist”.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Zróżnicowanie gospodarek na świecie Po przeczytaniu tego podrozdziału będziesz w stanie: Przeanalizować poziom produktu globalnego per capita jako miarę zróżnicowania poziomu życia pomiędzy krajami Wskazać progi przesądzające o dochodowej klasyfikacji gospodarek Wyjaśnić, w jaki sposób czynniki geograficzne, demograficzne, struktura przemysłu i instytucje gospodarcze wpływają na standard życia Gospodarki poszczególnych krajów na świecie są niezwykle zróżnicowane. Jeśli do skwantyfikowania tego zróżnicowania użyjemy kluczowego wskaźnika poziomu życia, czyli PKB per capita , szybko zauważymy, że analiza ilościowa tego problemu wiąże się z licznymi wyzwaniami i ograniczeniami. Jak wyjaśniliśmy w , musimy rozważyć użycie parytetu siły nabywczej lub „dolarów międzynarodowych” do przeliczenia przeciętnych dochodów w różnych krajach na porównywalne wielkości. Parytet siły nabywczej, jak to formalnie zdefiniowaliśmy w , uwzględnia fakt, że ceny tego samego towaru są silnie zróżnicowane w różnych krajach. W wyjaśniliśmy, jak zmierzyć PKB, wymieniliśmy wyzwania związane z wykorzystaniem PKB do porównywania poziomu życia oraz trudności wynikające z rozróżnienia pomiędzy wielkością gospodarki i wysokością dochodu na mieszkańca. Na przykład Chiny są drugą co do wielkości gospodarką na świecie, ustępując jedynie Stanom Zjednoczonym, a Japonia zajmuje miejsce trzecie. Jeśli jednak weźmiemy PKB Chin wynoszący 9,2 bln dol. i podzielimy go przez populację wynoszącą 1,4 mld, to PKB na mieszkańca wyniesie tylko 6900 dol., czyli znacznie mniej niż w Japonii (38 500 dol.) i Stanach Zjednoczonych (52 800 dol.). Pomijając kwestie pomiaru, warto powtórzyć, że celem działań państwa jest dążenie do zwiększenia PKB per capita w celu podniesienia ogólnego poziomu życia obywateli. Jak wyjaśniliśmy w , kraje mogą osiągnąć ten cel, opracowując kompleksową politykę, która zwiększy wydajność pracowników, podniesie wartość kapitału fizycznego przypadającego na jednego zatrudnionego i pozwoli na rozwój technologii. Produkt krajowy brutto per capita pozwala nam również sklasyfikować kraje według kryterium dochodowego. Najczęściej dzieli się je na trzy grupy: gospodarki o wysokich, średnich i niskich dochodach. Stosowną klasyfikację tworzy corocznie Bank Światowy. Kraje o niskich dochodach to te, w których PKB na mieszkańca wynosi poniżej 1080 dol. rocznie. W państwach o średnich dochodach PKB na mieszkańca plasuje się pomiędzy 1080 a 13 205 dol. Natomiast w krajach o wysokich dochodach PKB per capita przekracza poziom 13 205 dol. Zgodnie z klasyfikacją z 2022 r. w gospodarce światowej wyróżniono 27 krajów o niskich dochodach i 80 krajów o dochodach wysokich. Pozostałe 110 państw uwzględnionych w zestawieniu trafiło do grupy gospodarek o średnich dochodach. Choć w krajach tych żyje aż 75% populacji globu, wytwarzają one jedynie jedną trzecią światowego produktu. Jednocześnie prawie dwie trzecie wszystkich ludzi żyjących w ubóstwie stanowią mieszkańcy krajów o średnim poziomie dochodu. Procent światowego PKB i odsetek globalnej populacji Wykresy kołowe przedstawiają łączną wartość PKB (w 2022 r.) krajów przypisanych odpowiednio do grup o niskim, średnim i wysokim dochodzie. Do pierwszej kategorii zaliczane są państwa z dochodem per capita niższym niż 1080 dol. Dają one mniej niż 1% światowego PKB, choć żyje w nich niemal 9% globalnej populacji. W krajach o średnich dochodach na mieszkańca przypada suma z przedziału 1080–13 205 dol. Wypracowują one 36,5% produktu globalnego, a zamieszkuje je blisko 76% ludności świata. Kraje o wysokim dochodzie odpowiadają za 63% światowego PKB, mając łącznie prawie 16% światowej populacji. (Źródło: http://databank.worldbank.org/data/views/reports/tableview.aspx?isshared=true&ispopular=series&pid=20). Przegląd wartości PKB per capita mierzonego w porównywalnych dolarach międzynarodowych w krajach rozwijających się, zaprezentowany na , uwidacznia dość znaczne różnice między tymi gospodarkami. Jak pokazuje , nominalny PKB na mieszkańca w 2013 r. dla 588 mln ludzi żyjących w Ameryce Łacińskiej i w regionie Karaibów wyniósł 9536 dol., co znacznie przekracza przeciętny poziom PKB per capita w krajach Azji Południowej i Afryki Subsaharyjskiej. Z kolei populacja państw o wysokich dochodach, np. członków Unii Europejskiej lub USA i Kanady, dysponuje od trzech do czterech razy wyższym PKB na mieszkańca niż ludność Ameryki Łacińskiej. Mówiąc wprost, Ameryka Północna i Unia Europejska stanowią nieco ponad 9% światowej populacji, ale produkują i konsumują blisko 70% światowego PKB. Nominalny PKB per capita w dolarach amerykańskich (2008) Na całym świecie istnieje wyraźna nierównowaga w poziomie PKB per capita . Ameryka Północna, Japonia, Australia i Europa Zachodnia mają ten wskaźnik najwyższy, podczas gdy duże obszary świata osiągają znacząco niższy poziom produktu globalnego na jednego mieszkańca. Rosja i inne kraje byłego Związku Radzieckiego, a także Argentyna, Botswana, Brazylia, Chile, Gabon i Meksyk notują PKB na mieszkańca mieszczący się w przedziale 6000–12 600 dol. Chiny, choć są głównym motorem gospodarczym świata, znajdują się w przedziale 1900–3580 dol. Przeciętne dochody per capita w Egipcie, Indiach, Indonezji, Mongolii i Sudanie są niższe i zawierają się w przedziale 920–1850 dol. (Źródło: modyfikacja pracy Bsrboy/Wikimedia Commons). Regionalne porównanie nominalnego PKB per capita i liczby ludności w 2013 r. Region Ludność (w mln) Nominalne PKB per capita (w dol.) Azja Wschodnia i Pacyfik 2006,0 5536 Azja Południowa 1671,0 1482 Afryka Subsaharyjska 936,1 1657 Ameryka Łacińska i Karaiby 588,0 9536 Bliski Wschód i Afryka Północna 345,4 3456 Europa Wschodnia i Azja Środkowa 272,2 7118 (Source: http://databank.worldbank.org/data/home.aspx). Takie porównania między regionami prezentują oczywiście uproszczony obraz sytuacji. W końcu PKB per capita nie może w pełni oddać jakości życia. Duży wpływ na ów standard ma bowiem wiele innych czynników, takich jak: zdrowie, edukacja, stopień respektowania praw człowieka, jakość środowiska, przestępczość i bezpieczeństwo osobiste. Miary te ujawniają również bardzo duże różnice w poziomie życia w różnych regionach świata. Wiele z nich jest skorelowane z dochodem na mieszkańca, ale zdarzają się wyjątki. Na przykład oczekiwana długość życia w chwili urodzenia w wielu regionach o niskich dochodach jest zbliżona do krajów bardziej zamożnych. Dane pokazują również, że nikt nie może twierdzić, iż w jego kraju poziomu życia nie da się już poprawić. Na przykład w Europie i Ameryce Północnej pomimo bardzo wysokich dochodów nadal część społeczeństwa cierpi z powodu niedożywienia czy szerzej – ubóstwa. Ekonomiści wiedzą, że istnieje wiele czynników, które wpływają na poziom życia. Ludzie w krajach o wysokich dochodach mogą mieć bardzo mało czasu wolnego z powodu dużego obciążenia pracą, a także doświadczać społecznego wyalienowania. Mieszkańcy państw o niższych dochodach mogą mieć mocne sieci społeczne, ale dysponują niewielkimi zasobami materialnymi. Trudno zmierzyć te czynniki wpływające na standard życia. Organizacja Współpracy Gospodarczej i Rozwoju (OECD) opracowała OECD Better Life Index. Odwiedź tę stronę internetową, aby zobaczyć, jaki jest rzeczywisty komfort życia w wybranych krajach i na ile odpowiada on twoim wyobrażeniom. Różnice w statystykach ekonomicznych i innych miarach dobrobytu, choć znaczne, nie oddają w pełni przyczyn ogromnych dysproporcji ekonomicznych między krajami. Oprócz neoklasycznych determinant wzrostu, o których wspomnieliśmy wcześniej, można wskazać cztery dodatkowe czynniki, które zostały zidentyfikowane na podstawie badań empirycznych, a mianowicie: położenie geograficzne, demografia, struktura przemysłowa i instytucje. Różnice geograficzne i demograficzne Kraje wykazują różnice geograficzne: Jedne mają rozległe wybrzeża, inne są pozbawione dostępu do morza. Jedne mają duże rzeki, które od wieków były szlakami handlowymi, inne góry, stanowiące przeszkodę w handlu z sąsiednimi krajami. Jedne mają pustynie, inne lasy deszczowe. Różnice te w różny sposób (pozytywny i negatywny) oddziałują na handel, zdrowie i środowisko. Państwa mają także odmienne struktury demograficzne. W ciągu trzeciej dekady XXI w. w wielu krajach o wysokich dochodach odsetek osób w wieku poprodukcyjnym zbliży się do poziomu 50% lub nawet go przekroczy. Większość państw o niskich dochodach nadal ma znacznie wyższy odsetek młodzieży i młodych dorosłych, ale według przewidywań do 2050 r. relatywna liczba seniorów i w tej grupie będzie szybko wzrastać. Zmiany demograficzne znacząco wpłyną na poziom życia zarówno osób młodych, jak i starych. Różnice w strukturze przemysłu i instytucjach ekonomicznych Poszczególne kraje wykazują daleko idące różnice w strukturze przemysłu. W gospodarkach o wysokich dochodach tylko ok. 2% PKB pochodzi z rolnictwa, tymczasem średnia dla reszty świata to mniej więcej 12%. Różny jest też stopień urbanizacji. Kraje różnią się między sobą także architekturą instytucjonalną, czyli formalnymi i nieformalnymi regułami kształtującymi postępowanie podmiotów ekonomicznych. Niektóre gospodarki są wyjątkowo silnie zorientowane na rynek, podczas gdy inne wciąż wykorzystują mechanizmy centralnego planowania. Jedne kraje otwierają się na handel międzynarodowy, podczas gdy inne stosują cła i kontyngenty celne, aby ograniczyć swobodę wymiany z zagranicą. Są też narody targane długotrwałymi konfliktami zbrojnymi, inne zaś od lat żyją w pokoju. Istnieją również różnice w instytucjach politycznych, religijnych i społecznych. Żaden naród celowo nie dąży do niskiego poziomu życia, wysokiej stopy bezrobocia i inflacji lub znaczącego deficytu w bilansie handlowym. Jednak państwa różnią się pod względem priorytetów polityki gospodarczej i sytuacji, w których się znajdą, a zatem ich wybory polityczne również mogą się silnie różnić. W kolejnych podrozdziałach pokażemy, jak kraje o zróżnicowanym poziomie dochodów per capita podchodzą do czterech celów makroekonomicznych: wzrostu gospodarczego, niskiego bezrobocia, niskiej inflacji i zrównoważonego bilansu handlowego. Key Concepts and Summary Do głównych celów polityki makroekonomicznej większości państw należą: niski poziom bezrobocia i inflacji, a także stabilny bilans handlowy. Biorąc pod uwagę ich PKB per capita , ekonomiści wyróżniają trzy grupy: kraje o niskich, średnich i wysokich dochodach. W pierwszej grupie PKB per capita kształtuje się na poziomie poniżej 1080 dol. Kraje te wytwarzają mniej niż 1% światowego produktu, ale są zamieszkiwane przez blisko 9% światowej populacji. Kraje o średnich dochodach lokują się w przedziale 1080–13 205 dol. (wypracowują 36,5% dochodu globalnego i mają aż 75,7% globalnej populacji). W krajach o wysokich dochodach na jednego mieszkańca przypada więcej niż 13 205 dol. (odpowiadają one za 63% dochodu globalnego, choć zamieszkiwane są jedynie przez niecałe 16% globalnej populacji). Tego typu porównania pomijają oczywiście wewnętrzne zróżnicowanie pod względem PKB per capita w ramach poszczególnych grup. Self-Check Questions Korzystając z danych w , uszereguj siedem regionów świata według poziomu PKB, a następnie według wartości PKB per capita . PKB i ludność w siedmiu regionach świata Region Ludność (w mln) PKB per capita (w dol.) PKB = ludność × PKB per capita (w mln dol.) Azja Wschodnia i Pacyfik 2006,0 5536 10 450 032 Azja Południowa 1671,0 1482 2 288 812 Afryka Subsaharyjska 936,1 1657 1 287 650 Ameryka Łacińska i Karaiby 588,0 9536 5 339 390 Bliski Wschód i Afryka Północna 345,4 3456 1 541 900 Europa Wschodnia i Azja Środkowa 272,2 7118 1 862 384 Odpowiedzi przedstawiono w dwóch poniższych tabelach. Region PKB (w mln dol.) Azja Wschodnia i Pacyfik 10 450 032 Ameryka Łacińska i Karaiby 5 339 390 Azja Południowa 2 288 812 Europa Wschodnia i Azja Środkowa 1 862 384 Bliski Wschód i Afryka Północna 1 541 900 Afryka Subsaharyjska 1 287 650 Region PKB per capita (w dol.) Ameryka Łacińska i Karaiby 9536 Europa Wschodnia i Azja Środkowa 7118 Azja Wschodnia i Pacyfik 5536 Bliski Wschód i Afryka Północna 3456 Afryka Subsaharyjska 1657 Azja Południowa 1482 Azja Wschodnia i Pacyfik to region z najwyższą wartością PKB, ale w przeliczeniu na mieszkańca wartość ta daje mu dopiero trzecie miejsce, po Ameryce Łacińskiej i Karaibach oraz Europie Wschodniej i Azji Środkowej. Jakie są wady analizowania gospodarki światowej w ujęciu regionalnym? Region może mieć kilka krajów o wysokich dochodach, ale też kilka o dochodach niskich. Realny PKB na mieszkańca będzie się znacznie różnić w poszczególnych krajach, więc agregowanie danych dla regionu ma niewielki sens. Na przykład porównanie realnego PKB per capita dla USA, Kanady, Haiti i Hondurasu wygląda zupełnie inaczej niż spojrzenie na te same dane dla Ameryki Północnej jako całości. W związku z tym porównania regionalne są mocno uproszczone i mogą nie odzwierciedlać właściwie cech ekonomicznych poszczególnych krajów. Review Questions Za pomocą jakich głównych narzędzi ekonomiści mierzą poziom życia? Jakie są inne sposoby porównywania poziomu życia w krajach na całym świecie? Jakie są cztery inne czynniki, które określają ekonomiczny poziom życia na świecie? Critical Thinking Question Demografia może mieć istotne skutki ekonomiczne. Zarówno w Stanach Zjednoczonych, jak i w Polsce, odsetek ludzi w wieku poprodukcyjnym w populacji rośnie. Wskaż jedną korzyść ekonomiczną i jeden koszt ekonomiczny starzejącej się populacji, a także populacji bardzo młodej. Problems Wyszukaj następujące wielkości w bazie danych Banku Światowego (http://databank.worldbank.org/data/home.aspx) dla Indii, Hiszpanii i RPA za ostatni dostępny rok: realny PKB w dolarach międzynarodowych lub wg PPP, populacja, realny PKB per capita w dolarach międzynarodowych, śmiertelność niemowląt (na 1000 żywych urodzeń), wydatki na zdrowie per capita (bieżące dolary amerykańskie), oczekiwana długość życia w chwili urodzenia, ogółem (lata). Przygotuj wykres porównujący Indie, Hiszpanię i RPA na podstawie znalezionych danych. Opisz kluczowe różnice między krajami. Zaszereguj je do grup o wysokich, średnich bądź niskich dochodach. Wyjaśnij, co cię w tych danych zaskoczyło, a jakich wyników można się było spodziewać. References International Labour Organization. “Global Employment Trends for Youth 2013.” http://www.ilo.org/global/research/global-reports/global-employment-trends/youth/2013/lang--en/index.htm International Monetary Fund. “World Economic and Financial Surveys: World Economic Outlook—Transitions and Tensions.” Last modified October 2013. http://www.imf.org/external/pubs/ft/weo/2013/02/pdf/text.pdf. Nobelprize.org. “The Prize in Economics 1987 - Press Release.” Nobel Media AB 2013 . Last modified October 21, 1987. http://www.nobelprize.org/nobel_prizes/economic-sciences/laureates/1987/press.html. Redvers, Louise. BBC News Business. “Youth unemployment: The big question and South Africa.” Last modified October 31, 2012. http://www.bbc.co.uk/news/business-20125053. The World Bank. “The Complete World Development Report Online.” http://www.wdronline.worldbank.org/. The World Bank. “World DataBank.” http://databank.worldbank.org/data/home.aspx. Todaro, Michael P., and Stephen C Smith. Economic Development (11 th Edition) . Boston, MA: Addison-Wesley: Pearson, 2011, chap. 1–2.", "section": "Zróżnicowanie gospodarek na świecie", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wzrost poziomu życia Po przeczytaniu tego podrozdziału będziesz w stanie: Przeanalizować politykę ukierunkowaną na generowanie wysokiej stopy wzrostu gospodarczego w krajach o niskich dochodach dążących do podniesienia poziomu życia Dokonać oceny polityki ukierunkowanej na generowanie wysokiej stopy wzrostu gospodarczego w krajach o średnich dochodach, w szczególności tzw. azjatyckich tygrysach, wraz z ich naciskiem na rozwój technologii i rynków Przeanalizować działania krajów borykających się z trudnościami gospodarczymi, które chcą wprowadzić politykę wysokich stóp wzrostu gospodarczego Ocenić zasadność udzielania pomocy gospodarczej krajom o niskich dochodach Miejsca pracy powstają w gospodarkach, które zwiększają wolumen produkcji. Jakie jest podstawowe źródło wzrostu gospodarczego? Według większości ekonomistów, którzy zgadzają się z teorią wzrostu gospodarczego (ang. growth consensus ), fundamentem wzrostu gospodarczego czy też, inaczej rzecz ujmując, stałego przyrostu wolumenu produkcji dóbr i usług w gospodarce (o czym pisaliśmy w ) jest wzrost produktywności. Ten zaś wynika z powiększenia kapitału ludzkiego i rzeczowego oraz poprawy technologii, które współdziałają ze sobą w gospodarce rynkowej. W pogoni za wzrostem gospodarczym kraje i regiony startują jednak z różnych poziomów, co ilustrują przedstawione wcześniej w różnice w PKB per capita . Polityka wzrostu w krajach wysoko rozwiniętych Dla krajów o wysokich dochodach wyzwaniem w kwestii wzrostu gospodarczego jest ciągłe dążenie do uzyskania coraz bardziej wykształconej siły roboczej, która może tworzyć nowe technologie, inwestować w ich powstawanie oraz wykorzystywać je w procesie produkcji. W efekcie celem ich polityki gospodarczej zorientowanej na wzrost jest przesunięcie krzywej zagregowanej podaży w prawo (zob. ). Głównymi instrumentami polityki ukierunkowanej na osiągnięcie tego celu są: polityka fiskalna skoncentrowana na inwestycjach w kapitał ludzki, technologie oraz zakłady produkcyjne i ich wyposażenie. Kraje te uznają również, że wzrost gospodarczy osiągany jest najczęściej w stabilnym i zorientowanym na rynek otoczeniu gospodarczym. Z tego powodu stosują politykę pieniężną służącą utrzymaniu niskiej i stabilnej inflacji oraz minimalizowaniu ryzyka wahań kursów walutowych, jednocześnie zachęcając sektor przedsiębiorstw do konkurencji krajowej i międzynarodowej. Na początku drugiej dekady XXI w. wiele krajów o wysokich dochodach było jednak skupionych bardziej na perspektywie krótko- niż długoterminowej. Stany Zjednoczone, Unia Europejska i Japonia doświadczyły jednocześnie kryzysu finansowego i głębokiej recesji, a jej skutki – takie jak wysokie stopy bezrobocia – mogły się utrzymywać przez wiele lat. Większość rządów krajów rozwiniętych podjęła zdecydowane, a w niektórych przypadkach nawet kontrowersyjne kroki, aby pobudzić swoje gospodarki poprzez ekspansywną politykę fiskalną, kreując jednocześnie bardzo duże deficyty budżetowe. W konsekwencji w kolejnych latach państwa te musiały zaakceptować bardziej restrykcyjny wariant polityki fiskalnej, który połączył niższe wydatki rządowe z wyższymi podatkami. Podobnie wiele banków centralnych prowadziło wówczas silnie ekspansywną politykę pieniężną, obejmującą zarówno niemal zerowe stopy procentowe, jak i bezpośredni wzrost wartości kredytu przekładający się na szybko rosnącą podaż pieniądza gotówkowego. Na przykład w 2012 r. Shinzo Abe (zob. ), ówczesny nowo wybrany premier Japonii, przedstawił plan wydobycia swojego kraju z trwającej od dwóch dekad stagnacji gospodarczej. Obejmował on zarówno bodziec fiskalny, jak i wzrost podaży pieniądza. Na krótką metę program był całkiem skuteczny. Jednak według czasopisma „The Economist” przy długu publicznym, który zbliżył się do 240% PKB, drukowanie pieniędzy i wydatki na roboty publiczne mogły być wyłącznie rozwiązaniami krótkoterminowymi. Premier Japonii Shinzo Abe Premier Japonii wykorzystał politykę fiskalną i pieniężną do stymulowania gospodarki swojego kraju, co jednak przyniosło jedynie krótkoterminowe korzyści. (Źródło: modyfikacja pracy Chatham House/Flickr Creative Commons). Jak już zaznaczyliśmy w poprzednich rozdziałach, polityka ekonomiczna musi uwzględniać zarówno krótki, jak i długi okres. Wyzwaniem dla wielu krajów rozwiniętych w ciągu najbliższych kilku lat będzie wyjście z krótkoterminowej polityki, którą stosowały, aby zniwelować skutki recesji z lat 2008–2009 i ponownego załamania gospodarczego związanego z pandemią koronawirusa. Ponieważ powrót do stabilnych stóp wzrostu jest powolny, ponowna koncentracja wysiłków na nowych technologiach, edukacji i inwestycjach w kapitał fizyczny jest politycznie niezwykle trudna. Polityka wzrostu w gospodarkach o średnich dochodach Imponujące sukcesy gospodarcze charakterystyczne dla gospodarki światowej w ciągu ostatnich kilkudziesięciu lat są nierozerwalnie związane z grupą krajów określanych mianem azjatyckich tygrysów (ang. East Asian Tigers ): Koreą Południową, Tajlandią, Malezją, Indonezją i Singapurem. Lista ta czasami obejmuje również Hongkong i Tajwan, choć podmioty te – zgodnie z prawem międzynarodowym – są traktowane jako część Chin, a nie odrębne państwa. Wzrost gospodarczy tygrysów był fenomenalny, realny PKB per capita przez kilka dziesięcioleci zwiększał się średnio o 5,5% rocznie. W latach 80. ub. wieku także inne państwa zaczęły wykazywać oznaki konwergencji dochodowej (realnej). PKB w Chinach szybko rósł, często w tempie 8–10% rocznie. Podobnie w Indiach, których PKB w latach 90. zwiększał się mniej więcej o 5% rocznie, a w pierwszej dekadzie XXI w. jeszcze szybciej. Podobny proces był charakterystyczny dla krajów postsocjalistycznych, w tym Polski, wraz z rozpoczęciem procesu transformacji ustrojowej na początku ostatniej dekady XX w. Dodatkowo przyspieszył on wraz ze wstąpieniem tych krajów do UE. Znamy podstawowe przyczyny tak szybkiego tempa wzrostu: Chiny i „azjatyckie tygrysy” są zamieszkiwane przez najbardziej oszczędnych ludzi na świecie, notują więc stopę oszczędności na poziomie jednej trzeciej PKB, w porównaniu z mniej więcej jedną piątą PKB w krajach Ameryki Łacińskiej i Afryki. Państwa te wykorzystały wyższe oszczędności na inwestycje krajowe w celu zgromadzenia kapitału rzeczowego. Państwa te prowadziły politykę, która wspierała wysokie inwestycje w kapitał ludzki, najpierw rozwijając edukację na poziomie podstawowym, a następnie rozszerzając ją na poziomie średnim. Wiele z nich kładło nacisk na nauki ścisłe, które są przydatne w inżynierii i biznesie. Rządy tych krajów podjęły wysiłek poszukiwania nowych technologii, wysyłając studentów i komisje rządowe za granicę. W ten sposób dokonywały analizy najbardziej wydajnych przedsięwzięć przemysłowych w innych krajach. Stworzyły także politykę wspierania innowacyjnych firm, które chciały budować zakłady produkcyjne, aby wykorzystać dostępny i tani kapitał ludzki. Szczególnie Chiny i Indie uwolniły rynki od nadmiernej regulacji, zarówno w ramach ich własnych gospodarek krajowych, jak i zachęcając rodzime przedsiębiorstwa do aktywnego zaangażowania w gospodarce światowej. Ta kombinacja technologii, kapitału ludzkiego i kapitału rzeczowego w połączeniu z bodźcami wolnorynkowymi okazała się niezwykle silnym wsparciem dla szybkiego tempa wzrostu gospodarczego. Wyzwania, przed którymi stoją kraje o średnich dochodach, są dziedzictwem rządowej kontroli procesów gospodarczych, a tej z powodów politycznych w krótkim okresie nie można zlikwidować. W wielu z nich rząd mocno reguluje np. sektor bankowy i finansowy. Władze czasami faworyzowały także pewne branże, które otrzymywały nisko oprocentowane pożyczki lub dotacje rządowe. Gospodarki te odkryły, że nasilenie bodźców wolnorynkowych dla firm i pracowników jest kluczowym składnikiem przepisu na szybszy wzrost. Aby dowiedzieć się więcej o mierzeniu skumulowanego tempa wzrostu gospodarczego, przeczytaj poniższą ramkę. Co to jest „zasada 72”? Warto zatrzymać się na chwilę, aby przyjrzeć się tempu wzrostu „azjatyckich tygrysów”. Jeśli PKB na mieszkańca rośnie, powiedzmy, o 6% rocznie, to można zastosować wzór na procent składany, czyli (1 + 0,06) 30 , co oznacza, że poziom PKB na mieszkańca w danym kraju wzrośnie o wielokrotność 6% przez 30 lat. Inną strategią jest zastosowanie „ zasady 72 ”. Reguła ta jest przybliżeniem pozwalającym obliczyć czas podwojenia PKB per capita . Dzielimy liczbę 72 przez roczną stopę wzrostu, aby otrzymać przybliżoną liczbę lat potrzebną do podwojenia dochodu. Jeśli mamy 6% rocznego tempa wzrostu, podwojenie dochodów zajmie 72/6, czyli 12 lat. Zastosowanie tej zasady sugeruje, że kraj, którego PKB rośnie w tempie 6% średniorocznie, podwaja swój PKB co 12 lat. Oznacza to, że lider technologiczny, mający tempo wzrostu per capita na poziomie ok. 2% rocznie, podwoiłby swój dochód w ciągu 36 lat. Polityka wzrostu w krajach przeżywających trudności gospodarcze W Afryce Subsaharyjskiej czy regionie Ameryki Łacińskiej i Karaibów znajduje się wiele krajów doświadczających trudności gospodarczych i notujących niskie dochody. Istnieją polityki i recepty makroekonomiczne, które mogą złagodzić skrajne ubóstwo i niski poziom życia. Jednak wiele z tych krajów ma nieustabilizowaną sytuację ekonomiczną i prawną, nieefektywne rynki, a także cierpi na brak lub niedostateczny rozwój instytucji niezbędnych do uzyskania korzystnego klimatu dla szybkiego tempa wzrostu gospodarczego i przyciągnięcia inwestycji zagranicznych. Trudno tym samym postulować prowadzenie w tych krajach polityki analogicznej do tej, jaką realizują kraje wysoko rozwinięte. Bank Światowy swoim priorytetem uczynił walkę z ubóstwem i podniesienie ogólnego poziomu dochodów do 2030 r. Jedną z kluczowych przeszkód w osiągnięciu tego celu jest niestabilność polityczna, powszechna cecha krajów o niskich dochodach. przedstawia wartość PKB per capita dziesięciu gospodarek o najniższej, zgodnie z rankingiem Banku Światowego. Kraje te mają pewne cechy wspólne, z których najważniejszą jest fiasko wysiłków podejmowanych przez władze w celu zapewnienia ram prawnych dla wzrostu gospodarczego. W Afganistanie niedawno zakończyła się długotrwała okupacja prowadzona przez wojska koalicji pod przywództwem USA. Wojny domowe i etniczne nękają takie państwa jak Burundi i Somalia. W krajach o niskich dochodach powszechne są też gospodarki planowe, korupcja, podziały polityczne i wewnętrzne konflikty. Demokratyczna Republika Konga, niezwykle bogata w zasoby naturalne, ze względu na niestabilną sytuację polityczną nie była w stanie podnieść poziomu życia swoich obywateli. Dziesięć krajów o najniższych dochodach per capita w roku 2020 Wykres prezentuje wartość PKB per capita w dziesięciu krajach o najniższej wartości tego parametru na świecie. Są to odpowiednio: Burundi, Somalia, Mozambik, Madagaskar, Republika Środkowoafrykańska, Sierra Leone, Afganistan, Kongo, Niger i Sudan. (Źródło: http://databank.worldbank.org/data/views/reports/map.aspx#). Kraje o niskich dochodach znajdują się w niekorzystnej sytuacji, ponieważ wynagrodzenie czynników produkcji (przede wszystkim pracy, czyli płace), które pozwala na utrzymanie gospodarstw domowych, jest natychmiast wydawane na artykuły pierwszej potrzeby, takie jak żywność. Mieszkańcy tych krajów żyją za mniej niż 1080 dol. rocznie, czyli mniej niż 100 dol. miesięcznie. Brak oszczędności oznacza brak akumulacji kapitału oraz brak środków na inwestycje w kapitał rzeczowy i ludzki. Ostatnie badania przeprowadzone przez dwóch ekonomistów z MIT, Abhijita Bannerjee i Esther Duflo , potwierdziły, że gospodarstwa domowe w tych krajach są niejako uwięzione w strefie niskich dochodów, nie mogą bowiem zgromadzić wystarczającej ilości kapitału na inwestycje pozwalające wyrwać się z ubóstwa. Na przykład przeciętny obywatel Burundi, kraju o najniższych dochodach, utrzymuje się za 150 dol. rocznie (w cenach 2005 r.). Według danych Centralnej Agencji Wywiadowczej (CIA) przedstawionych w CIA Factbook w 2013 r. 90% populacji Burundi stanowili rolnicy uprawiający kawę i herbatę, będące głównym źródłem ich dochodu. Tylko co drugie dziecko uczęszczało do szkoły i, jak pokazuje , wiele z nich nie uczyło się w szkołach porównywalnych z tymi, które znamy z krajów rozwiniętych. CIA Factbook szacuje również, że 15% populacji Burundi jest zarażone wirusem HIV lub choruje na AIDS. Niestabilność polityczna utrudniła krajowi osiągnięcie istotnych postępów w zwiększaniu tempa wzrostu gospodarczego, czego najlepszym dowodem jest fakt, że zaledwie 2% gospodarstw domowych w tym kraju ma dostęp do energii elektrycznej, a 42% dochodu narodowego pochodzi z pomocy międzynarodowej. Brak środków na inwestycje w kapitał ludzki W krajach o niskich dochodach ludzie często przeznaczają całe wynagrodzenie na środki niezbędne do życia, nie mogą ich więc inwestować w kapitał rzeczowy lub ludzki. Uczniowie na tym zdjęciu uczą się w niezadaszonej przestrzeni, bez nowoczesnych pomocy dydaktycznych, nie mają też biurek i wygodnych krzeseł. (Źródło: Rafaela Printes/Flickr Creative Commons). Witryna World Factbook stanowi świetne źródło informacji nie tylko o gospodarce niemal wszystkich krajów na całym świecie. Inne kraje o niskich dochodach mają podobne historie. Państwa te przechodziły trudności z finansowaniem krajowymi oszczędnościami własnych inwestycji lub znalezieniem inwestorów zagranicznych gotowych wyłożyć pieniądze na niezbędny w ich gospodarkach kapitał fizyczny i infrastrukturę. Pomoc międzynarodowa i inwestycje zagraniczne stanowią znaczną część dochodów tych krajów, ale nie są wystarczające, aby możliwa była akumulacja środków niezbędnych do inwestowania w kapitał rzeczowy i ludzki. Czy jednak pomoc międzynarodowa zawsze przyczynia się do wzrostu gospodarczego? Kwestia ta bywa kontrowersyjna, jak pokazuje poniższa ramka. Czy pomoc międzynarodowa dla krajów o niskich dochodach jest skuteczna? Według Organizacji Współpracy Gospodarczej i Rozwoju (OECD) z krajów wysoko uprzemysłowionych (o najwyższych dochodach) do krajów o niskich dochodach przepływa ok. 134 mld dol. rocznie w postaci pomocy międzynarodowej. W stosunku do wielkości ich populacji lub gospodarek nie jest to kwota duża zarówno dla darczyńców, jak i obdarowanych. W przypadku krajów o niskich dochodach pomoc ta wynosi średnio 1,3% ich PKB. Jednak nawet ta stosunkowo niewielka kwota była źródłem znacznych kontrowersji. Zwolennicy dodatkowej pomocy międzynarodowej wskazują na niezwykłe cierpienie ludzi w krajach o niskich i średnich dochodach. W Afryce, Azji i na Karaibach dostrzegają niezaspokojone potrzeby i problemy, które można byłoby rozwiązać, budując szpitale, przychodnie i szkoły. Chcą pomóc w budowie infrastruktury umożliwiającej dostęp do czystej wody, kanalizacji, elektryczności i bitych dróg. Rzecznikami tej pomocy są formalne instytucje finansowane przez państwo, takie jak brytyjski Departament Rozwoju Międzynarodowego (DFID), lub niezależne organizacje pozarządowe (NGO), takie jak CARE International, które również otrzymują fundusze rządowe. Na przykład z powodu wybuchu epidemii zapalenia opon mózgowych w Etiopii w 2010 r. DFID przekazał znaczne fundusze etiopskiemu ministerstwu zdrowia na szkolenie pracowników służby zdrowia na wsi, a także na szczepionki. Pieniądze te pomogły ministerstwu uzupełnić braki w budżecie. Przeciwnicy zwiększonej pomocy nie kwestionują tego, że gigantyczną skalę ludzkiego cierpienia w tych krajach należy zmniejszyć, ale sugerują, że pomoc zagraniczna często okazywała się kontrowersyjnym narzędziem do realizacji tego celu. Na przykład według artykułu w „Attaché Journal of International Affairs” kanadyjska organizacja pomocy zagranicznej (CIDA) przekazała Tanzanii 100 mln dol. na uprawę pszenicy. Projekt rzeczywiście doprowadził do wzrostu produkcji tego zboża. Tyle że aby zrobić miejsce dla wspomnianego przedsięwzięcia, z terenów o powierzchni 60 000 ha wypędzono pasterzy, koczowników i innych mieszkańców. Niektórzy z nich odmówili opuszczenia ziemi i zostali pobici ze skutkiem śmiertelnym. Jak widać, czasami niezamierzone efekty uboczne wynikające z pomocy zagranicznej mogą być bardzo niekorzystne. Tym samym trudno ocenić, czy po uwzględnieniu wszystkich kosztów społecznych projekt ten przełożył się na jakikolwiek wzrost standardu życia w Tanzanii. William Easterly , profesor ekonomii na Uniwersytecie Nowego Jorku i autor książki „The White Man’s Burden”, twierdzi, że kraje często otrzymują pomoc z powodów politycznych i w końcu wyrządza ona więcej szkody niż pożytku. Jeśli rząd danego kraju stworzy w miarę stabilne i wolnorynkowe otoczenie makroekonomiczne, wówczas inwestorzy zagraniczni prawdopodobnie sami dostarczą środki finansowe na wiele dochodowych przedsięwzięć. Na przykład, jak donosi „The New York Times”, Facebook współpracuje z wieloma organizacjami w projekcie o nazwie Internet.org, aby zapewnić dostęp do internetu na odległych i ubogich obszarach świata, a Google rozpoczął własną inicjatywę o nazwie Project Loon. Pierwsze próby Facebooka zapewnienia dostępu do internetu za pośrednictwem telefonów komórkowych rozpoczęły się w stabilnych, wolnorynkowych krajach, takich jak: Indie, Brazylia, Indonezja, Turcja i Filipiny. Politycy są teraz rozsądniejsi w kwestii pomocy międzynarodowej niż jeszcze kilkadziesiąt lat temu. W szczególnych przypadkach, zwłaszcza jeśli pomoc międzynarodowa jest ukierunkowana na długoterminowe projekty inwestycyjne, pomoc zagraniczna może odegrać swoją skromną rolę w zmniejszaniu poziomu skrajnego ubóstwa, którego doświadczają setki milionów ludzi na całym świecie. Obejrzyj ten film , który prezentuje kwestię udzielania pomocy gospodarczej w Afryce w całej jej złożoności. Key Concepts and Summary Podstawy wzrostu gospodarczego w każdym kraju są takie same: wzrost wartości kapitału ludzkiego, kapitału rzeczowego i ciągły postęp technologiczny współdziałające w gospodarce wolnorynkowej. Kraje o wysokich dochodach zwykle koncentrują się na rozwoju i wykorzystaniu nowych technologii. Państwa o średnich dochodach skupiają wysiłki na akumulacji kapitału ludzkiego, korzystaniu w większym stopniu z importowanych technologii i rosnącym udziale w PKB wymiany handlowej z zagranicą. Niektóre z krajów rozwijających się w Azji Południowo-Wschodniej potrafiły umiejętnie połączyć swobodę rynkową z zaangażowaniem państwa w gospodarkę. Państwa o niskich dochodach, borykające się z wyzwaniami gospodarczymi, doświadczają poważnych problemów związanych z rozwojem społecznym i zdrowiem publicznym. Zmagają się również z brakiem inwestycji i pomocy międzynarodowej na rozbudowę infrastruktury, takiej jak drogi, szkoły i szpitale. Istnieje kilka pozytywnych przykładów, które można wskazać w kontekście rozwoju gospodarczego w krajach o niskich dochodach. Sugerują one, że kraje te mogą same z siebie stać się liderami technologicznymi. Jednak jest za wcześnie, aby twierdzić, czy projekty te zakończą się sukcesem. Kraje te muszą zrobić więcej, aby połączyć się z resztą światowej gospodarki i znaleźć technologie najkorzystniejsze dla wybranego przez nie modelu wzrostu. Self-Check Questions Utwórz tabelę, która identyfikuje polityki publiczne najkorzystniejsze dla kraju o wysokich dochodach, kraju o średnich dochodach i kraju o niskich dochodach. Poniższa tabela zawiera podsumowanie możliwych odpowiedzi. Kraje o wysokich dochodach Kraje o średnich dochodach Kraje o niskich dochodach Wspieraj edukację siły roboczej Twórz, inwestuj i wykorzystuj nowe technologie Przyjmij wariant polityki fiskalnej skoncentrowany na inwestycjach, w tym inwestycjach w kapitał ludzki, technologię oraz zakłady produkcyjne i ich wyposażenie Stwórz stabilne i rynkowe otoczenie gospodarcze Stosuj politykę pieniężną, która pozwoli utrzymać niską i stabilną inflację Zminimalizuj ryzyko wahań kursów walutowych, jednocześnie zachęcając do konkurencji krajowej i międzynarodowej Inwestuj w technologię, kapitał ludzki i kapitał rzeczowy Zapewnij zachęty dla podmiotów ekonomicznych wykorzystujące bodźce rynkowe Pracuj nad ograniczeniem zakresu rządowej kontroli nad działalnością gospodarczą Staraj się deregulować sektor bankowo-finansowy Ograniczaj protekcjonistyczną politykę w handlu zagranicznym Wyeliminuj ubóstwo i skrajny głód Wprowadź powszechną edukację podstawową Promuj równość płci Zmniejsz wskaźniki śmiertelności niemowląt Wdróż politykę zdrowotną ukierunkowaną na poprawę zdrowia matek Zwalczaj HIV/AIDS, malarię i inne choroby Zapewnij równowagę ekologiczną Rozwijaj globalne partnerstwo na rzecz rozwoju Użyj danych w tekście, aby porównać zalecenia dotyczące polityki ekonomicznej dla krajów o wysokim, średnim i niskim dochodzie. Kraje o niskich dochodach muszą przyjąć politykę rządową zorientowaną na rozwój rynków i mającą na celu edukację ludności. Po wykonaniu tego kroku kraje o niskich dochodach powinny skoncentrować się na wyeliminowaniu innych problemów społecznych hamujących wzrost. Kraje z problemami gospodarczymi, które utknęły w pułapce ubóstwa, muszą bardziej skupić się na zdrowiu i edukacji oraz stworzyć stabilne otoczenie rynkowe i polityczne. Będzie to stanowiło czynnik przyciągający pomoc międzynarodową i inwestycje zagraniczne. Kraje o średnich dochodach powinny dążyć do wzrostu kapitału rzeczowego i rozwoju innowacji, podczas gdy kraje wysoko uprzemysłowione muszą pracować nad utrzymaniem konkurencyjności swoich gospodarek poprzez innowacje i rozwój nowych technologii. Review Questions Jakie inne czynniki, poza wydajnością pracy, inwestycjami kapitałowymi i technologią, wpływają na wzrost gospodarczy kraju? W jaki sposób? Jakie strategie zastosowały „azjatyckie tygrysy”, aby wspierać wzrost gospodarczy? Critical Thinking Question Wyjaśnij, dlaczego trudno jest zebrać fundusze na inwestycje, gdy większość gospodarstw domowych w kraju pogrążonych jest w ubóstwie. Jak myślisz, dlaczego krajom o wysokich dochodach trudno jest osiągnąć wysokie stopy wzrostu? Problems Skorzystaj z „Reguły 72”, aby oszacować, ile czasu zajmie Indiom, Hiszpanii i RPA podwojenie dochodu per capita . Korzystając z nabytych umiejętności badawczych, pobierz następujące dane z bazy danych Banku Światowego (http://databank.worldbank.org/data/home.aspx) dla Indii, Hiszpanii i RPA za lata 2015–2022, jeśli są dostępne: a) liczba abonentów stacjonarnych telefonów, b) liczba abonamentów telefonii komórkowej, c) bezpieczne serwery internetowe (na milion osób), d) produkcja energii elektrycznej (kWh). Przygotuj wykres porównujący te trzy kraje. Opisz kluczowe różnice między nimi. References “Shinzo Abe’s Government Looks Likely to Disappoint on Fiscal Consolidation.” The Economist , May 4, 2013. http://www.economist.com/news/finance-and-economics/21577080-shinzo-abes-government-looks-likely-disappoint-fiscal-consolidation-dont. Banerjee, Abhijit V., and Esther Duflo. Poor Economics . “About the Book: Overview.” http://pooreconomics.com/about-book. CARE International. “About Us.” Accessed January 14, 2014. http://www.care-international.org/about-us.aspx. Central Intelligence Agency. “The World Factbook: Africa, Burundi.” Last modified November 12, 2013. https://www.cia.gov/library/publications/the-world-factbook/geos/by.html. Central Intelligence Agency. “The World Factbook: Africa, Democratic Republic of the Congo.” Last modified November 12, 2013. https://www.cia.gov/library/publications/the-world-factbook/geos/cg.html. Easterly, William. The White Man’s Burden: Why the West’s Efforts to Aid the Rest Have Done So Much Ill and So Little Good . Penguin Group (USA), 2006. Goel, Vindu. “Facebook Leads an Effort to Lower Barriers to Internet Access,” The New York Times. Last modified August 20, 2013. Google. “Project Loon.” http://www.google.com/loon/. GOV.UK. “Department for International Development.” https://www.gov.uk/government/organisations/department-for-international-development. The World Bank. “Millennium Development Goals.” http://www.worldbank.org/mdgs/. Todaro, Michael P., and Stephen C Smith. Economic Development (11 th Edition) . Boston, MA: Addison-Wesley: Pearson, 2011, chap. 3. Vercillo, Siera. “The Failures of Canadian Foreign Aid: Tied, Mismanaged and Uncoordinated.” The Attaché Journal of International Affairs . (2010). http://theattachejia.files.wordpress.com/2013/10/the-attache-2010-issue.pdf. azjatyckie tygrysy (ang. East Asian Tigers ) gospodarki Tajwanu, Singapuru, Hongkongu i Korei Południowej, które od wczesnych lat 60. do końca XX w. utrzymywały wysokie stopy wzrostu gospodarczego i napędzaną przez eksport szybką industrializację, co pozwoliło im zbliżyć się do liderów technologicznych z grupy krajów o wysokich dochodach teoria wzrostu gospodarczego (ang. growth consensus ) seria badań, które pokazują, że statystycznie 70% różnic w dochodach na osobę na świecie można wytłumaczyć różnicami w kapitale rzeczowym (relacji oszczędności i inwestycji) konsensus dotyczący wzrostu gospodarczego zob. teoria wzrostu gospodarczego kraj o wysokich dochodach (ang. high-income country ) kraj z dochodem na mieszkańca wynoszącym 13 250 dol. lub więcej; zazwyczaj posiadający wysoki poziom kapitału ludzkiego i rzeczowego kraj o niskich dochodach (ang. low-income country ) kraj, którego dochód na mieszkańca wynosi mniej niż 1080 dol. kraj o średnich dochodach (ang. middle-income country ) kraj z dochodem na mieszkańca pomiędzy 1080 a 13 205 dol., który wykazał pewną zdolność, nawet jeśli nie zawsze trwałą, doganiania liderów technologicznych o wysokim dochodzie", "section": "Wzrost poziomu życia", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przyczyny bezrobocia na świecie Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać i przeanalizować naturę i przyczyny bezrobocia Wyjaśnić pojęcie naturalnej stopy bezrobocia i zidentyfikować czynniki, które na nią wpływają Wytłumaczyć, w jaki sposób nieefektywne rynki pracy mogą prowadzić do takich samych problemów, jakie wywołuje bezrobocie Przyczyny bezrobocia w krajach o wysokich dochodach można kategoryzować, biorąc pod uwagę dwa różne jego rodzaje: bezrobocie cykliczne, pojawiające się w gospodarce w okresie recesji, oraz naturalną stopę bezrobocia powiązaną z charakterystyką rynku pracy, na którą składają się regulacje dotyczące zatrudniania oraz zakładania i prowadzenia działalności gospodarczej. Bezrobocie cykliczne Keynesowski model analizy makroekonomicznych zjawisk w gospodarce wskazuje, że z bezrobociem będącym konsekwencją recesji (cyklicznym) można sobie poradzić, stosując zarówno narzędzia polityki pieniężnej, jak i fiskalnej. Sposób prowadzenia polityki pieniężnej, który ma ograniczyć negatywne skutki recesji, w tym przede wszystkim bezrobocie, jest stosunkowo prosty: ekspansywna polityka pieniężna prowadząca do obniżki stóp procentowych i tym samym powiększająca wartość kredytu i ilość pieniądza w obiegu zwiększa zagregowany popyt. W czasie recesji ryzyko wzrostu inflacji jest zwykle stosunkowo niewielkie, więc nawet bank centralny, którego priorytetem jest walka z inflacją, może pozwolić sobie na obniżenie stóp procentowych. Jeśli chodzi o politykę fiskalną, automatyczne stabilizatory koniunktury, o których mówiliśmy w , powinny zadziałać samoczynnie, nawet jeśli doprowadzi to do zwiększenia deficytu budżetowego w czasie recesji. Wśród ekonomistów nie ma zgody co do tego, czy poza automatycznymi stabilizatorami koniunktury rządy w czasie recesji powinny stosować uznaniową politykę fiskalną polegającą na dodatkowych obniżkach podatków lub zwiększaniu wydatków. W przypadku szczególnie głębokich recesji (takich jak globalny kryzys finansowy lub recesja pandemiczna) argumenty przemawiające za wyjątkowo agresywnie ekspansywną polityką fiskalną są silniejsze, ale w przypadku relatywnie niewielkiej skali spadku wolumenu produkcji, biorąc pod uwagę opóźnienia w realizacji polityki fiskalnej, dyskrecjonalną politykę fiskalną kraje powinny stosować ostrożnie. Ekspansywna polityka fiskalna i monetarna nie potrafią bowiem zakończyć recesji tak, jak naciśnięcie przełącznika wyłącza lampę. Nawet po zakończeniu recesji i powrocie dodatniego tempa wzrostu gospodarczego może minąć kilka miesięcy, a nawet kilka lat, nim firmy z sektora prywatnego uznają, że klimat gospodarczy jest na tyle korzystny, że mogą ponownie zwiększać zatrudnienie. Naturalna stopa bezrobocia Stopa bezrobocia w krajach europejskich jest zazwyczaj wyższa niż w Stanach Zjednoczonych. W 2006 r., przed rozpoczęciem globalnego kryzysu finansowego, w USA wynosiła ona 4,6%, w porównaniu z 9% we Francji, 10,4% w Niemczech czy 7,1% w Szwecji. Fenomen wyższych stóp bezrobocia w krajach europejskich, którego korzenie sięgają początku lat 70. ub. wieku, możemy powiązać z czynnikami instytucjonalnymi. Gospodarki europejskie mają zazwyczaj wyższą naturalną stopę bezrobocia, ponieważ występuje w nich większa liczba regulacji i ograniczeń, które zniechęcają firmy do zwiększenia zatrudnienia, a osoby bezrobotne do podjęcia pracy. Rozwiązanie problemu naturalnej stopy bezrobocia jest proste w teorii, ale trudne w praktyce. Rząd może odegrać aktywną rolę, tworząc sieć zabezpieczeń w postaci zasiłków dla bezrobotnych i świadczeń socjalnych, jak również ograniczając swobodę przedsiębiorstw w zwalnianiu pracowników. Jednak te regulacje wynikające z dobrych intencji w niektórych przypadkach mogą stać się tak uciążliwe, że firmy decydują się na ograniczenie zatrudniania. Na przykład prawo, które nakłada wysokie koszty na firmę próbującą zredukować liczbę pracowników, sprawi, że przedsiębiorstwa będą się starały przede wszystkim unikać wzrostu zatrudnienia, jak ma to miejsce we Francji. Według „Business Week”: „Francja ma 2,4 razy więcej firm zatrudniających 49 pracowników niż 50”. Zgodnie bowiem z francuskim kodeksem pracy, gdy firma ma co najmniej 50 pracowników, kierownictwo musi utworzyć trzy rady pracownicze, wprowadzić uzgodniony z przedstawicielami załogi schemat podziału zysków i przedstawiać radom pracowniczym plany restrukturyzacji, jeśli firma zdecyduje się zwolnić pracowników ze względów ekonomicznych. To prawo pracy zasadniczo ogranicza zatrudnienie (lub podnosi naturalną stopę bezrobocia). Nieefektywne rynki pracy w krajach o niskich i średnich dochodach Kraje o niskich i średnich dochodach mają problemy związane z zatrudnieniem, które wykraczają poza kwestię bezrobocia w rozumieniu gospodarek o wysokich dochodach. Znaczna liczba pracowników w tych gospodarkach zaspokaja wiele własnych potrzeb poprzez uprawę roli, rybołówstwo lub polowanie. Wymieniają się towarami i handlują z innymi mieszkańcami oraz mogą podejmować szereg krótkoterminowych lub jednodniowych prac, czasami otrzymując zapłatę w postaci jedzenia lub schronienia, a czasami pieniędzy. Nie są oni „bezrobotni” w sensie, którego używamy w Stanach Zjednoczonych i UE, ale nie są też zatrudnieni w ramach regularnej płatnej pracy. Punktem wyjścia dla działalności gospodarczej jest podział pracy, w ramach którego ludzie specjalizują się w pewnych zadaniach i wymieniają efekty swojej pracy z innymi. Pracownicy, którzy nie są związani z rynkiem pracy, często nie są w stanie specjalizować się w żadnym konkretnym działaniu, którego rezultaty można zaoferować na rynku. Ponieważ ci pracownicy oficjalnie nie są zatrudnieni, często nie są uprawnieni do świadczeń socjalnych, takich jak ubezpieczenie na wypadek utraty pracy lub świadczenia z tytułu osiągnięcia wieku emerytalnego, o ile takie świadczenia w ich kraju w ogóle pracownikom przysługują. Kluczową polityką w państwach o średnim i niskim poziomie dochodów będzie zatem próba włączenia takich pracowników w formalne instytucje rynku pracy (system emerytalny!), a nie zwalczanie, niewielkiego zazwyczaj, oficjalnego bezrobocia. Ostatnie badania przeprowadzone przez ekonomistów specjalizujących się w ekonomii rozwoju sugerują, że jednym z kluczowych czynników umożliwiających obywatelom krajów o niskich dochodach uniknięcie lub wyjście z obszarów ubóstwa jest to, czy mogą oni podjąć regularną, płatną pracę. Key Concepts and Summary Problem bezrobocia cyklicznego możemy rozwiązać poprzez ekspansywną politykę fiskalną lub monetarną. Naturalna stopa bezrobocia może być trudniejszym wyzwaniem, ponieważ wiąże się z wyborami typu „coś za coś” w kwestii maksymalizacji zatrudnienia i ochrony miejsc pracy. O ile bezrobocie pozostaje istotnym problemem w państwach o wysokich i po części średnich dochodach, to już w krajach najbiedniejszych nacisk powinien być położony na instytucje rynku pracy. Ludzie w tych krajach nie są „bezrobotni” w sensie, którego używamy w Stanach Zjednoczonych i UE, ale nie są też zatrudnieni w ramach regularnej, płatnej pracy. Podczas gdy niektórzy z nich mogą mieć zarówno umowy o pracę, jak i pewne elementy zabezpieczenia socjalnego (ochrona finansowa i prawna w przypadku zwolnienia, możliwość korzystania z publicznych systemów emerytalnych), inni są częścią gospodarki barterowej i ta forma zdobywania środków do życia wyłącza ich z regulowanego formalnym prawem rynku pracy. Self-Check Questions Jakie narzędzia polityki makroekonomicznej umożliwiają ograniczenie lub nawet wyeliminowanie problemu bezrobocia cyklicznego? W przypadku recesji i wzrostu bezrobocia możemy skorzystać z ekspansywnej polityki fiskalnej (obniżenie podatków lub zwiększenie wydatków rządowych) lub ekspansywnej polityki pieniężnej (zwiększenie podaży pieniądza i obniżenie stóp procentowych). Obie polityki stymulują popyt globalny i produkcję, zmniejszając tym samym bezrobocie. Wyjaśnij, dlaczego naturalna stopa bezrobocia może być wyższa w krajach o niskich dochodach. Oprócz wysokiej naturalnej stopy bezrobocia wynikającej z regulacji rządowych za osoby bezrobotne można również uznać ludzi, którzy nie funkcjonują na rynku pracy (wytwarzają np. żywność wyłącznie na własne potrzeby lub są zatrudnieni w sposób całkowicie nienormowany), chociaż nie spełniają oni formalnej definicji naturalnej stopy bezrobocia. Review Questions Jakie problemy i wyzwania są związane z bezrobociem cyklicznym oraz bezrobociem naturalnym? Czy twoim zdaniem twierdzenie, że w krajach o niskich dochodach ludzie bez stabilnej pracy regulowanej przepisami prawa są bezrobotni, ma sens? Critical Thinking Question Czy twoim zdaniem można ochronić pracowników przed utratą pracy bez wywoływania negatywnego wpływu na rynek pracy? Wyjaśnij, co się stanie w kraju, który próbuje rozwiązać problem bezrobocia naturalnego za pomocą ekspansywnej polityki monetarnej i fiskalnej. Narysuj jeden diagram wykorzystujący model AD-AS, oparty na modelu keynesowskim, przedstawiając pożądany przez polityków scenariusz zdarzeń. Następnie narysuj drugi diagram AD-AS, oparty na modelu neoklasycznym, aby pokazać, jaki jest bardziej prawdopodobny schemat rozwoju wydarzeń. Problems Pobierz najświeższe dane o bezrobociu z bazy danych Banku Światowego (http://databank.worldbank.org/data/home.aspx) dla Indii, Hiszpanii i RPA za okres pięciu lat. Przygotuj wykres porównujący sytuację w tych trzech krajach na podstawie zgromadzonych danych. Opisz kluczowe różnice pomiędzy nimi. Przyporządkuj te kraje do grupy o wysokich, średnich i niskich dochodach. Wyjaśnij, co cię zaskoczyło, a co można było przewidzieć jeszcze przed zapoznaniem się z wartościami liczbowymi. Jak globalny kryzys finansowy z 2008 r. wpłynął na sytuację w Indiach, Hiszpanii i RPA? References Viscusi, Gregory, and Mark Deen. “Why France Has So Many 49-Employee Companies.” Business Week . Last modified May 3, 2012. http://www.businessweek.com/articles/2012-05-03/why-france-has-so-many-49-employee-companies.", "section": "Przyczyny bezrobocia na świecie", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przyczyny inflacji w różnych krajach i regionach Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować przyczyny i skutki inflacji w różnych państwach Wyjaśnić, dlaczego w krajach rozwijających się inflacja może mieć poziom nieco wyższy i mniej stabilny niż w krajach wysoko uprzemysłowionych Wydaje się, że decydenci z krajów o wysokich dochodach wyciągnęli wnioski z dotychczasowych zmagań z inflacją. Po pierwsze, cokolwiek stałoby się ze zagregowaną podażą i zagregowanym popytem w krótkim okresie, kraje te mogą zastosować politykę pieniężną, aby zapobiec utrwaleniu się inflacji w gospodarce w okresie średnim i długim. Po drugie, istnieje powszechnie akceptowany konsensus, zgodnie z którym utrwalenie się inflacji nie przynosi długoterminowych korzyści. Dopuszczenie do tego, aby inflacja stała się trwała i uporczywa, stanowi niepożądane ryzyko i konieczność wyboru typu „coś za coś” w momencie, w którym bank centralny rozpocznie działania mające przynieść obniżenie stopy inflacji. Gdy inflacja jest wysoka, firmy i osoby prywatne muszą poświęcać czas i wysiłek, aby znaleźć sposoby ochrony przed tym zjawiskiem, zamiast szukać lepszych rozwiązań dla swoich klientów. Krótko mówiąc, wydaje się, że gospodarki o wysokich dochodach osiągnęły zarówno konsensus polityczny, aby utrzymać inflację na niskim poziomie, jak też dysponują skutecznymi narzędziami ekonomicznymi, aby cel ten zrealizować. W wielu gospodarkach o średnich i niskich dochodach sytuacja w tym zakresie jest diametralnie różna. Na początku XXI w. w Turcji przez kilka lat występowała inflacja przekraczająca 50% rocznie. Białoruś miała inflację ok. 100% rocznie od 2000 do 2001 r. W latach 2008–2010 w Wenezueli i Mjanmie ceny rosły średnio od 20% do 30% rocznie. Indonezja, Iran, Nigeria, Federacja Rosyjska i Ukraina notowały inflację dwucyfrową przez niemal całą pierwszą dekadę XXI w. Zimbabwe natomiast doświadczyło hiperinflacji, z tempem wzrostu cen, które zwiększyło się z ponad 100% rocznie w połowie 2000 r. do kilku milionów procent w roku 2008. W tych krajach problem bardzo wysokiej inflacji wynikał na ogół z ogromnych deficytów budżetowych, które rząd finansuje, dodrukowując walutę krajową. Jest to przypadek „zbyt dużej ilości pieniędzy na zbyt małą ilość towarów”. Rząd Zimbabwe pokrywał powiększające się deficyty, coraz szybciej drukując banknoty o coraz większych nominałach. Pod koniec 2008 r. pieniądz emitowany w Zimbabwe był prawie bezwartościowy i nikt go nie akceptował, co ostatecznie skłoniło władze tego kraju do przyjęcia jako swojej waluty dolara amerykańskiego. To posunięcie przyniosło bardzo szybki spadek dynamiki wzrostu cen. W niektórych krajach bank centralny udziela pożyczek politycznie faworyzowanym firmom, właściwie dodrukowując pieniądz, co również prowadzi do wyższej inflacji. Wiele państw zdołało jednak utrzymać satysfakcjonujący poziom wzrostu gospodarczego przez dłuższy czas przy poziomie inflacji, który według najnowszych standardów krajów rozwiniętych wydawałby się bardzo wysoki, np. od 10% do 30% rocznie. W takich gospodarkach rządy indeksują stopą inflacji większość kontraktów, poziom płac i nominalne stopy procentowe. Indeksowanie umów płacowych i stóp procentowych oznacza, że będą one rosły wraz ze wzrostem inflacji, aby utrzymać siłę nabywczą wynagrodzeń i mniej więcej stały poziom realnych stóp procentowych. Gdy płace nie rosną wraz ze wzrostem cen, powoduje to spadek realnej stawki płac i obniżenie poziomu życia. Podobnie nominalne stopy procentowe, które nie są indeksowane, prowadzą do sytuacji, w której pożyczkodawcy otrzymają zwrot pożyczonego kapitału w zdewaluowanej walucie, która straciła znaczną część swojej siły nabywczej. Jest oczywiście możliwe – a czasami wręcz konieczne – aby w gospodarkach rozwijających się (ang. converging economy ) (krajach wykazujących zdolność doganiania liderów technologicznych pod względem poziomu PKB per capita ) stopa inflacji była podwyższona, co byłoby politycznie nie do przyjęcia w krajach o wysokim dochodzie. W końcu tylko wzrost cen np. usług może doprowadzić do wzrostu dochodu osób, które trudnią się ich świadczeniem, a bez wzrostu dochodu trudno wyobrazić sobie proces konwergencji dochodowej, czyli wyrównywania się poziomu PKB per capita w krajach o wysokich i średnich dochodach. Concepts and Summary Większość krajów o wysokim dochodzie zauważyło, że ich banki centralne mogą kontrolować inflację w średnim i długim okresie. Ponadto władze tych krajów zdają sobie sprawę z tego, że inflacja nie przynosi długoterminowych korzyści, a jedynie koszty, jeśli utrudnia przedsiębiorstwom koncentrowanie się na realnym wzroście wydajności. Jednak biedniejsze kraje mogą akceptować nieco wyższą i bardziej zmienną inflację, ponieważ międzynarodowe przepływy kapitału i towarów mogą destabilizować ich mniejsze gospodarki, które zwiększając poziom PKB per capita , muszą również zaakceptować wzrost cen dóbr i usług. Self-Check Questions W jaki sposób indeksacja umów płacowych stopą inflacji pomaga pracownikom? Indeksowanie umów płacowych oznacza, że wynagrodzenie rośnie wraz ze wzrostem cen. Pracownicy, których wynagrodzenia są indeksowane, utrzymują więc poziom życia na stałym realnym poziomie (ich płace zachowują swoją siłę nabywczą). Kiedy zarobki nie są indeksowane lub nie rosną wraz z inflacją, standard życia zatrudnionych maleje. Użyj modelu AD/AS, aby pokazać, w jaki sposób wzrost wydatków rządowych może prowadzić do wzrostu inflacji. Wzrost wydatków rządowych przesuwa krzywą AD w prawo, podnosząc zarówno poziom dochodu, jak i cen. Pokaż za pomocą modelu AD/AS, w jaki sposób rządy mogą wykorzystać politykę pieniężną do obniżenia poziomu cen. Spadek podaży pieniądza przesunie krzywą AD w lewo i obniży poziom dochodu i cen. Banki będą miały mniej pieniędzy do pożyczania. Stopy procentowe będą rosły, wpływając na konsumpcję i inwestycje, które są kluczowymi składnikami zagregowanego popytu. Review Questions Czy w najbliższej przyszłości inflacja będzie poważnym problemem przynajmniej dla niektórych gospodarek o wysokich dochodach? Czy w najbliższej przyszłości inflacja może stanowić problem przynajmniej dla niektórych gospodarek o niskich i średnich dochodach? Critical Thinking Questions Dlaczego zagrożenia inflacyjne w gospodarkach o wysokich dochodach są mniejsze niż w gospodarkach o niskich i średnich dochodach? Problems Pobierz najświeższe dane o inflacji z bazy danych Banku Światowego (http://databank.worldbank.org/data/home.aspx) dla Indii, Hiszpanii i RPA za okres pięciu lat. Na podstawie pozyskanych danych przygotuj wykres porównujący te kraje. Zaklasyfikuj je do grup państw o wysokich, średnich bądź niskich dochodach i opisz kluczowe różnice między nimi. Wyjaśnij, co okazało się dla ciebie zaskakujące, a czego można się było spodziewać przed analizą pozyskanych danych. gospodarka rozwijająca się (ang. converging economy ) gospodarka kraju, który wykazał się zdolnością doganiania liderów technologicznych pod względem poziomu PKB per capita , dzięki inwestycjom w kapitał rzeczowy i ludzki gospodarka konwergentna zob. gospodarka rozwijająca się gospodarka konwergująca zob. gospodarka rozwijająca się", "section": "Przyczyny inflacji w różnych krajach i regionach", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Obawy dotyczące pogorszenia konkurencyjności międzynarodowej Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić znaczenie bilansu handlowego i jego implikacje dla rynku walutowego Przeanalizować uwarunkowania międzynarodowego handlu towarami i usługami oraz międzynarodowych przepływów kapitału Wskazać i ocenić reformy gospodarcze zwiększające zakres stosowania i efektywność mechanizmów rynkowych W latach 50. i 60., a nawet w latach 70. ubiegłego wieku kraje o niskich i średnich dochodach często postrzegały otwartość na globalne przepływy towarów, usług i kapitału finansowego negatywnie. Państwa te obawiały się, że handel zagraniczny oznaczałby straty ekonomiczne, ponieważ partnerzy handlowi o wysokich dochodach „wykorzystywaliby” ich gospodarki, a ponadto utraciłyby one wewnętrzną kontrolę polityczną na rzecz potężnych interesów biznesowych międzynarodowych korporacji. To spojrzenie na handel międzynarodowy z czasem ewoluowało. W końcu w przypadku wielkich sukcesów gospodarczych ostatnich lat, czyli krajów takich jak Japonia, „azjatyckie tygrysy”, Chiny czy Indie, możliwości sprzedaży ich dóbr i usług na rynkach światowych były czynnikiem absolutnie kluczowym. Gospodarki europejskie również prosperują dzięki wysokiemu poziomowi wymiany handlowej w ramach rozszerzonej Unii Europejskiej. Z kolei podpisując północnoamerykański układ o wolnym handlu ( North American Free Trade Agreement – NAFTA ), który z dniem 1 lipca 2020 r. został oficjalnie zastąpiony umową o wolnym handlu między Stanami Zjednoczonymi, Meksykiem i Kanadą (USMCA), kraje sygnatariusze zobowiązały się do zmniejszenia barier handlowych i intensyfikacji wymiany. Wiele państw przekonało się bez żadnych wątpliwości, że symetryczne (wzajemne) zmniejszenie barier w handlu jest dla gospodarki niezwykle korzystne. Wiele mniejszych gospodarek światowych odrobiło jeszcze trudniejszą lekcję: jeśli nie uczestniczą aktywnie w handlu światowym, raczej nie dołączą do gospodarek rozwijających się, które osiągnęły sukces. Nie ma w historii świata przykładów małych krajów, które odcięły się od gospodarki światowej, a mimo to osiągnęły wysoki poziom życia. Choć prawie każdy kraj twierdzi obecnie, że jego celem jest jak największy udział w światowym handlu, możliwe negatywne konsekwencje takiego postępowania wciąż zdają się trapić władze niektórych państw. Użyteczne wydaje się podzielenie tych możliwych negatywnych konsekwencji na kwestie związane z handlem towarami i usługami oraz międzynarodowymi przepływami kapitału finansowego. Zagadnienia te są oczywiście powiązane, ale nie można ich traktować łącznie. Gospodarka może się charakteryzować wysoką relacją handlu zagranicznego do PKB, ale jeśli eksport i import są zrównoważone, przepływy netto portfelowych inwestycji zagranicznych do i z takiej gospodarki będą bliskie zeru. I odwrotnie, gospodarka może mieć tylko umiarkowany poziom handlu zagranicznego w stosunku do PKB, ale jednocześnie znaczną nierównowagę na rachunku obrotów bieżących. W związku z tym przydatne jest osobne rozważenie obaw artykułowanych w związku z międzynarodowym handlem towarami i usługami oraz w odniesieniu do międzynarodowych przepływów kapitału finansowego. Międzynarodowy handel towarami i usługami Istnieje długa lista obaw związanych z handlem zagranicznym: strach przed utratą miejsc pracy w krajowych przedsiębiorstwach, których produkcja będzie substytuowana przez import, zagrożenia dla środowiska, nieuczciwe praktyki na rynku pracy narażonym na konkurencję krajów z niższymi osłonami socjalnymi i wiele innych. Argumenty te omawiamy dość obszernie w . Spośród wszystkich argumentów uzasadniających ewentualne ograniczenia w handlu zagranicznym największe kontrowersje wśród ekonomistów budzi ten dotyczący ochrony gałęzi przemysłu na wczesnym etapie rozwoju ( omawia ten problem bardziej szczegółowo). W przeszłości niektóre kraje wprowadzały z pewnymi sukcesami takie osłony (w postaci ceł lub innych barier), ale znacznie częściej protekcjonistyczna ochrona dotyczy nie tyle gałęzi przemysłu, które dopiero rozwijają się w danym kraju i jeszcze nie osiągnęły silnej pozycji, ile ugruntowanych na krajowym rynku branż dysponujących znaczną siłą polityczną, które nie są w stanie sprostać konkurencji zagranicznej, w związku z czym ponoszą straty i zwalniają pracowników. Jeśli rząd zamierza faworyzować pewne gałęzie przemysłu, które pozostają na wczesnym etapie rozwoju (przynajmniej w danym kraju), musi to zrobić w taki sposób, aby z góry było wiadomo, kiedy skończy się ten swoisty „okres ochronny”, który przygotuje je na przyszłe samodzielne funkcjonowanie w ramach konkurencji rynkowej. Sytuacja, w której seria niekończących się dotacji rządowych i ochrona przed międzynarodową konkurencją w zasadzie nigdy się nie kończy, jest zdecydowanie szkodliwa. Międzynarodowe przepływy kapitału Przypomnij sobie twierdzenie z , że deficyt bilansu handlowego występuje wtedy, gdy import danego kraju przewyższa jego eksport. Aby doszło do deficytu handlowego, kraje trzecie muszą zapewnić pożyczki lub zrealizować inwestycje w kraju notującym ujemne saldo bilansu handlowego, na co są gotowe, ponieważ ostatecznie oczekują spłaty pożyczonych środków. Być może pamiętasz również, że nadwyżka w bilansie handlowym pojawia się wtedy, gdy eksport danego kraju przewyższa jego import. Aby zatem deficyt handlowy zamienił się w nadwyżkę handlową, eksport danego kraju musi wzrosnąć lub jego import spaść. Czasami dzieje się tak, gdy waluta traci na wartości. Na przykład gdyby Stany Zjednoczone miały deficyt handlowy, a dolar stracił na wartości, import stałby się droższy. To z kolei przyniosłoby korzyści zagranicznym podmiotom, które wcześniej udzieliły USA pożyczek lub zrealizowały w tym kraju inwestycje. Oczekiwany wzorzec nierównowagi handlowej w gospodarce światowej polegał na tym, że gospodarki o wysokich dochodach będą generować nadwyżki handlowe, co oznacza, że doświadczą odpływu netto kapitału zagranicznego, podczas gdy gospodarki o niskich i średnich dochodach będą miały deficyty handlowe, co oznacza, że odczują napływ netto kapitału zagranicznego. Ten międzynarodowy model inwestowania może być korzystny dla wszystkich stron. Inwestorzy w krajach o wysokich dochodach odnoszą korzyści, ponieważ mogą uzyskiwać wysoki zwrot ze swoich inwestycji, a także dlatego, że mogą je dywersyfikować, dzięki czemu są mniej narażeni na pogorszenie koniunktury we własnej gospodarce. Kraje o niskich dochodach z kolei, które doświadczają napływu kapitału, prawdopodobnie mają potencjał do szybkiego nadrabiania zaległości w rozwoju gospodarczym i mogą wykorzystać napływ międzynarodowego kapitału finansowego, aby pobudzić swoje inwestycje w kapitał rzeczowy i ludzki. Ponadto napływ kapitału finansowego często wiąże się z transferem umiejętności, wiedzy technologicznej i szkoleniami. Jednak w ciągu ostatnich kilku dekad ten optymistyczny scenariusz napotkał dwa ograniczenia. Pierwszym z nich były bardzo wysokie deficyty handlowe lub deficyty na rachunku obrotów bieżących w gospodarce USA (zob. ). Zamiast zapewniać inwestycje finansowe netto za granicą, gospodarka USA zasysała oszczędności z całego świata. Według Sebastiana Edwardsa , pracującego w ramach National Bureau of Economic Research , te znaczne deficyty handlowe w USA mogą być niemożliwe do utrzymania w długim okresie. Podczas gdy deficyty handlowe same w sobie nie są złe, kluczowe pytanie brzmi, czy amerykańskie władze zdecydują się na ich zmniejszanie stopniowo, czy też gwałtownie. W scenariuszu ich stopniowej redukcji eksport z USA może rosnąć szybciej niż import na przestrzeni wielu lat, wspomagany przez deprecjację dolara amerykańskiego. Niezamierzoną konsekwencją spowolnienia tempa wzrostu gospodarczego w okresie po wybuchu globalnego kryzysu finansowego był spadek deficytu obrotów bieżących USA z 6% przed recesją do 3% w ostatnim okresie. Inną możliwością byłaby strategia gwałtownego zmniejszenia deficytu bilansu handlowego USA przez rząd federalny. Oto jeden z możliwych scenariuszy: jeśli zagraniczni inwestorzy będą mniej skłonni do utrzymywania aktywów w dolarach amerykańskich, kurs dolara może się osłabić. Gdy spekulanci zauważą ten proces, mogą być skłonni wyprzedawać swoje aktywa dolarowe, co jeszcze bardziej osłabi amerykańską walutę. Słabszy dolar stymulowałby zagregowany popyt, czyniąc eksport tańszym, a import droższym. Oznaczałoby to jednocześnie wyższe ceny importowanych środków produkcji w całej gospodarce, przesuwając krótkookresową krzywą zagregowanej podaży w lewo. Skutkiem mógłby być gwałtowny wzrost inflacji, a gdyby Bank Rezerwy Federalnej prowadził restrykcyjną politykę pieniężną w celu jej obniżenia, mogłoby to również doprowadzić do recesji. Czasami można odnieść wrażenie, że gospodarka USA, ze swoimi ogromnymi rozmiarami, była i jest niewrażliwa na tego rodzaju nacisk ze strony rynków międzynarodowych. Oczywiście trudno jest nią wstrząsnąć, jednak nie jest wykluczone, że nawet gospodarka USA o wartości 17 bln dol. uległaby tego typu międzynarodowej presji. Drugie ograniczenie dotyczy sposobu, w jaki mniejsze gospodarki światowe powinny radzić sobie z możliwością nagłego napływu i odpływu zagranicznego kapitału finansowego. Być może najbardziej jaskrawy przykład potencjalnie destrukcyjnej siły międzynarodowych ruchów kapitałowych wystąpił w przypadku „azjatyckich tygrysów” w latach 1997–1998. Dzięki wysokiej dynamice wzrostu w ciągu poprzednich kilkudziesięciu lat gospodarki te cieszyły się dużym zainteresowaniem inwestorów zagranicznych. Jednak w połowie lat 90. inwestycje zagraniczne w tych krajach zaczęły rosnąć w niemal szaleńczym tempie. Wiele środków zostało przekazanych za pośrednictwem banków, które zapożyczały się w dolarach amerykańskich i udzielały pożyczek w walucie lokalnej. Wolumen kredytów bankowych zwiększał się w tempie min. 20% rocznie. Ten napływ kapitału zagranicznego spowodował, że inwestycje w tych gospodarkach przekroczyły poziom oszczędności krajowych, przez co deficyty na rachunku obrotów bieżących w tych krajach podskoczyły do 5–10% PKB. Gwałtowny wzrost wolumenu kredytów oznaczał, że banki w krajach Azji Południowo-Wschodniej nie najlepiej radziły sobie z rozróżnianiem kredytobiorców bezpiecznych i ryzykownych. Wielu z nich – reprezentujących nawet od 10% do 15% wartości wszystkich pożyczek i kredytów w niektórych z tych krajów – zaczęło mieć problemy ze spłatą swoich zobowiązań. W obawie przed stratami zagraniczni inwestorzy zaczęli wycofywać swoje pieniądze. Wraz z odpływem zagranicznych środków kursy walut w tych krajach załamały się, często spadając nawet o 50% w bardzo krótkim okresie (liczonym w miesiącach, a nie latach lub nawet kwartałach). Banki znalazły się w trudnej sytuacji: nawet jeśli reszta kredytów krajowych zostałaby spłacona, to biorąc pod uwagę osłabienie walut lokalnych w stosunku do dolara, nigdy nie byłyby one w stanie pokryć swojego zadłużenia w amerykańskiej walucie. Cały sektor bankowy zbankrutował. Brak kredytów i pożyczek w gospodarce przyczynił się do załamania zagregowanego popytu, powodując głęboką recesję. Jeśli odpływ międzynarodowego kapitału mógł wpędzić w recesję nawet „azjatyckie tygrysy”, z ich znakomitymi wynikami gospodarczymi, to nic dziwnego, że inne kraje o średnich i niskich dochodach na całym świecie czują się zaniepokojone. Co więcej, podobne epizody napływu, a następnie odpływu zagranicznego kapitału finansowego wstrząsnęły wieloma gospodarkami na całym świecie. Na przykład w ciągu ostatnich kilku lat Irlandia, Islandia i Grecja doświadczyły poważnych gospodarczych turbulencji, gdy zagraniczni kredytodawcy postanowili wstrzymać swoje inwestycje w tych krajach. Zwłaszcza w Grecji miało to niezwykle bolesne społecznie konsekwencje, a wprowadzone przez rząd pod wpływem Międzynarodowego Funduszu Walutowego (MFW) i Komisji Europejskiej środki zapobiegawcze wywołały protesty w całym kraju ( ). Protesty w Grecji Warunki gospodarcze w Grecji pogorszyły się po wybuchu globalnego kryzysu finansowego tak, że rząd musiał wprowadzić oszczędności, obniżyć płace i zwiększyć podatki. Masowe protesty stanowią tylko jedną z wielu konsekwencji takich posunięć. (Źródło: modyfikacja pracy Apostolosa/Flickr Creative Commons). Wiele krajów podejmuje kroki mające zmniejszyć ryzyko tego, że ich gospodarka ucierpi w przypadku ucieczki zagranicznego kapitału finansowego. Jednym ze sposobów ograniczenia potencjalnych negatywnych konsekwencji realizacji takiego scenariusza jest nakłanianie banków centralnych do utrzymywania wysokich rezerw walutowych, a także ścisła regulacja sposobu postępowania krajowych banków komercyjnych (ograniczająca liczbę i wartość ryzykownych kredytów i pożyczek). Najbardziej kontrowersyjne kroki w tym zakresie dotyczą kwestii kontroli lub ograniczenia przepływów kapitału zagranicznego. Gdyby jakiś kraj mógł zniechęcić krótkoterminowy kapitał spekulacyjny, a przyciągał jedynie kapitał inwestycyjny, angażujący się w średnim i długim okresie, uzyskałby znaczną odporność na wahania nastrojów globalnych inwestorów. Jeśli gospodarki biorą udział w światowym handlu dobrami i usługami, będą musiały uczestniczyć również w międzynarodowych przepływach kapitału i inwestycji finansowych. Powiązania te mogą przynieść gospodarce ogromne korzyści. Jednak każdy kraj, który doświadcza znacznego i trwałego deficytu handlowego, wraz z jednoczesnym napływem międzynarodowego kapitału finansowego netto, ma pewne powody do niepokoju. Podczas przywołanego wcześniej azjatyckiego kryzysu finansowego pod koniec lat 90. kraje, które w latach poprzedzających załamanie gwałtownie się rozwinęły dzięki napływowi międzynarodowego kapitału, doświadczyły potem głębokiej recesji, gdy kapitał ten bardzo szybko odpłynął. Reformy gospodarcze zwiększające zakres stosowania i efektywność mechanizmów rynkowych W ciągu ostatniego półwiecza poziom życia miliardów ludzi na całym świecie znacząco wzrósł. Taki postęp miał miejsce nie tylko w przypadku liderów technologicznych, takich jak Stany Zjednoczone, Kanada, kraje UE i Japonia, ale także dotyczył „azjatyckich tygrysów” oraz wielu krajów Ameryki Łacińskiej i Europy Wschodniej. Wyzwaniem dla większości tych gospodarek jest dalsze utrzymywanie wysokiej dynamiki wzrostu. Niestety, niektóre państwa (szczególnie w Afryce) popadły w stagnację i utknęły w pułapce ubóstwa. Gospodarki te muszą skoncentrować się na podstawach: zdrowiu, edukacji i rozwoju kapitału ludzkiego. Jak pokazuje , nowoczesna technologia pozwala na inwestycje w edukację i rozwój kapitału ludzkiego w sposób, który nie byłby możliwy jeszcze kilka lat temu. Technologia zasilana energią słoneczną Technologie wykorzystujące energię słoneczną i Wi-Fi umożliwiają uczniom i studentom zdobywanie wykształcenia nawet w odległych częściach kraju, pozbawionych dostępu do sieci elektrycznej. Ci studenci w Ghanie wspólnie używają laptopa zasilanego energią słoneczną. (Źródło: EIFL/Flickr Creative Commons). Poza kwestią wzrostu gospodarczego wszystkie pozostałe główne cele polityki makroekonomicznej – tj. niskie bezrobocie, niska inflacja i zrównoważony bilans handlowy – dotyczą sytuacji, w których z jakiegoś powodu gospodarka nie jest w stanie zrównoważyć sił podaży i popytu. Na przykład w przypadku wysokiego bezrobocia cyklicznego przecięcie zagregowanej podaży i zagregowanego popytu występuje na poziomie produkcji poniżej potencjalnego PKB. W przypadku wysokiej naturalnej stopy bezrobocia regulacje rządowe ograniczają skłonność przedsiębiorstw do zwiększania zatrudnienia, co z czasem prowadzi do opuszczania rynku pracy przez ludzi, których nikt nie chce zatrudnić. Inflacja z kolei może występować w sytuacji, w której zagregowany popyt przynajmniej na jakiś czas przewyższa zagregowaną podaż, tak że siła nabywcza jest zbyt duża w stosunku do zbyt małej ilości towarów. Z nierównowagą bilansu handlowego mamy do czynienia wtedy, gdy z powodu napływu lub odpływu kapitału zagranicznego netto oszczędności krajowe nie pokrywają się z inwestycjami krajowymi. Każda z tych sytuacji konfrontuje władze z wyborami politycznymi i gospodarczymi, których rozstrzygnięcie może być dość trudne. Bezrobocie wśród ludzi młodych: trzy różne przypadki Hiszpania i RPA w 2011 r. miały tak samo wysokie bezrobocie wśród młodzieży, ale przyczyny tego stanu rzeczy były różne. Bezrobocie młodzieży w Hiszpanii wzrosło z powodu globalnego kryzysu finansowego w latach 2008–2009 oraz wysokiego zadłużenia prywatnego i publicznego. Saldo na rachunku bieżącym Hiszpanii było ujemne, co oznaczało, że kraj zaciągał pożyczki. W celu obniżenia cyklicznego bezrobocia podczas recesji model keynesowski sugeruje wzrost wydatków rządowych – ekspansję fiskalną – lub luzowanie polityki pieniężnej. Żadna z tych opcji nie była dla Hiszpanii dostępna. Możliwości ekspansji fiskalnej ograniczało zadłużenie, co oznaczało, że ewentualny kapitał, który napłynąłby do Hiszpanii, zażądałby bardzo wysokich stóp procentowych jako wynagrodzenia. Ekspansja monetarna też nie była możliwa, ponieważ Hiszpania korzystała z euro i nie mogła samodzielnie zdewaluować swojej waluty, chyba że przekonałaby do tego całą UE. Co zatem można było zrobić? Czasopismo „The Economist”, podsumowując niektóre pomysły ekonomistów i decydentów, sugerowało, że jedyną realistyczną (choć bolesną) opcją dla Hiszpanii było obniżenie płac w sektorze publicznym, co pozwoliłoby zmniejszyć wydatki rządowe. W rezultacie rząd byłby w stanie obniżyć stawki podatkowe dla pracujących. Przy niższych płacach lub niższym efektywnym opodatkowaniu firmy zatrudniłyby więcej pracowników. Obniżyłoby to bezrobocie i pobudziło gospodarkę. Hiszpania mogła również zachęcać do większych inwestycji zagranicznych i starać się promować politykę wzrostu prywatnych oszczędności krajowych. Republika Południowej Afryki z kolei miała problem z naturalnym bezrobociem. Jest to interesujący przypadek, ponieważ bezrobocie wśród młodzieży wynikało głównie z faktu, że nie była ona gotowa do pracy. Ekonomiści powszechnie nazywają to problemem zdolności do zatrudnienia. Według wywiadów przeprowadzonych z południowoafrykańskimi firmami przez „The Economist” młodzi byli (i zapewne w dalszym ciągu są) inteligentni w sensie akademickim, ale brakowało im praktycznych umiejętności przydatnych w miejscu pracy. Pomimo dużego nacisku na zwiększenie inwestycji w kapitał ludzki działania te nie przyniosły jeszcze efektów. Niedawno rząd ujawnił plan dofinansowania bezrobotnej młodzieży, która odbywałaby szkolenie lub praktyki w południowoafrykańskich firmach. Rząd RPA ma możliwość zwiększenia wydatków budżetowych i dalszego finansowania inwestycji w edukację, szkolenia zawodowe i programy dla praktykantów. Republika Południowej Afryki może również poprawić klimat dla inwestycji zagranicznych ze strony liderów technologicznych, co pobudziłoby wzrost gospodarczy. Indie mają mniejszy problem z zatrudnieniem młodzieży, co pokazuje odsetek ludzi pozostających bez pracy. Należy jednak pamiętać, że biorąc pod uwagę ponadmiliardową populację tego kraju, w liczbach bezwzględnych jest to problem poważny. Według Kaushika Basu, piszącego dla BBC, „istnieje 45 ogólnokrajowych przepisów regulujących decyzje firm o zatrudnianiu i zwalnianiu pracowników i prawie czterokrotnie więcej na poziomie stanowym”. Regulacje te utrudniają firmom zwalnianie pracowników. Aby zachować elastyczność i móc reagować na bodźce rynkowe, indyjskie firmy zatrudniają więc mniejszą liczbę pracowników. Rząd Indii może wiele zrobić, aby rozwiązać ten problem, dostosowując krajowe prawo pracy do wymogów rosnącej populacji ludzi młodych. Zasadniczo rząd musi zrezygnować z wpływu na decyzje przedsiębiorstw o zatrudnianiu i zwalnianiu ludzi, aby rozwijające się indyjskie firmy mogły swobodnie dostosowywać zatrudnienie. Pracownicy indyjscy, podobnie jak ci w RPA, zwykle nie mają wysokich umiejętności. Rząd może więc zwiększyć wydatki na edukację, szkolenia zawodowe i programy podnoszące ich kwalifikacje. Wreszcie Indie mają znaczny deficyt na rachunku obrotów bieżących. Wynika on głównie z krótko- i długoterminowych przepływów kapitałowych. Aby uporać się z tym problemem, Indie eksperymentowały, znosząc ograniczenia dla obywateli w inwestowaniu za granicą. To krok we właściwym kierunku, który może ograniczyć deficyt na rachunku obrotów bieżących. Ostatnią możliwością jest poprawa funkcjonowania krajowych rynków kapitałowych, tak aby wielu samozatrudnionych Hindusów mogło uzyskać dostęp do kapitału i zrealizować swoje pomysły biznesowe. Jeśli więcej Hindusów zdobędzie kapitał na rozpoczęcie działalności, zatrudnienie – nie tylko wśród ludzi młodych – będzie rosnąć. Key Concepts and Summary Istnieje wiele uzasadnionych obaw związanych z możliwymi negatywnymi konsekwencjami wolnego handlu. Być może najlepszą odpowiedzią na nie jest to, że istnieją dobre sposoby, które pozwalają im zapobiegać, bez ograniczania skali przepływów towarowych na rynkach międzynarodowych, a tym samym utraty potencjalnych korzyści związanych z handlem zagranicznym. Istnieją dwa główne problemy związane z nierównowagą handlową na świecie. Pierwszym z nich jest niepewność, co stanie się w najbliższych latach z bardzo wysokim deficytem obrotów handlowych w USA – czy będzie on zmniejszany stopniowo, czy raczej gwałtownie. Drugim jest to, czy mniejsze kraje powinny podjąć pewne kroki w celu ograniczenia przepływów międzynarodowego kapitału w nadziei, że staną się mniej podatne na niekorzystne konsekwencje gospodarcze powodowane przez jego spekulacyjne napływy i odpływy. Self-Check Questions Co wspólnego mają międzynarodowe przepływy kapitału z nierównowagą handlową? Biorąc pod uwagę wysoki poziom aktywności na międzynarodowych rynkach finansowych, zazwyczaj uważa się, że przepływy finansowe są prawdziwą przyczyną nierównowagi handlowej. Na przykład Stany Zjednoczone miały ogromny deficyt handlowy na przełomie XX i XXI w., ponieważ przyciągały ogromne ilości kapitału zagranicznego. Mniejsze kraje, które również były w stanie zachęcić kapitał zagraniczny do inwestycji, obawiają się, że jeśli napływy nagle zamienią się w odpływy, wynikające z tego osłabienie ich waluty może załamać system bankowy i wywołać głęboką recesję. Użyj modelu rynku walutowego wraz z krzywymi popytu i podaży, aby określić, co stanie się z małą, otwartą gospodarką, która doświadczyła odpływu kapitału. W takiej sytuacji zmniejszy się popyt na krajową walutę (krzywa popytu na tę walutę przesunie się w lewo), obniżając jej kurs wymiany. Review Questions Jakie są główne problemy gospodarki USA związane z nierównowagą handlową? Jakie są główne problemy krajów o niskich i średnich dochodach (np. Polski) związane z nierównowagą handlową? Critical Thinking Question Wyjaśnij, dlaczego gospodarki rozwijające się mogą się opowiadać za ograniczaniem przepływów kapitału finansowego, ale nie za ograniczaniem handlu zagranicznego. References Edwards, S. (n.d.). “America’s Unsustainable Current Account Deficit.” National Bureau of Economic Research Digest . http://www.nber.org/digest/mar06/w11541.html. http://www.ustr.gov/trade-agreements/free-trade-agreements/north-american-free-trade-agreement-nafta. New Country Classifications | Data. (n.d.). Accessed January 14, 2014. http://data.worldbank.org/news/new-country-classifications. Office of the United States Trade Representative: Executive Office of the President. “North American Free Trade Agreement (NAFTA).” Why India’s Labour Laws are a Problem. (2006, May 18). BBC . May 18, 2006. http://news.bbc.co.uk/2/hi/south_asia/4984256.stm.", "section": "Obawy dotyczące pogorszenia konkurencyjności międzynarodowej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Czy iPhone to produkt Apple’a, czy Samsunga? Chociaż iPhone jest łatwo rozpoznawalny jako produkt amerykańskiej firmy Apple, 26% jego komponentów (wg łącznych kosztów produkcji) pochodzi od konkurencyjnego producenta telefonów – koreańskiego Samsunga. W handlu międzynarodowym często dochodzi do takich sytuacji, ponieważ każdy kraj lub firma stara się skupić na tym, co robi najlepiej. (Źródło: modyfikacja pracy Yutaka Tsutano Creative Commons). To w końcu czyj jest ten iPhone? iPhone to produkt globalny. Apple jest właścicielem marki, ale nie produkuje komponentów do swoich telefonów ani ich nie montuje. Montaż jest wykonywany przez tajwańską firmę Foxconn Corporation np. w jej fabryce w Shengzhou w Chinach. Samsung, firma elektroniczna i konkurent Apple’a, dostarcza wiele części, z których składają się iPhone’y. Stanowią one ok. 26% wartości tych smartfonów, licząc wg kosztów ich produkcji. Oznacza to, że Samsung jest zarówno największym poddostawcą, jak i największym konkurentem Apple’a. Dlaczego te dwie firmy współpracują ze sobą przy produkcji iPhone’ów? Aby zrozumieć logikę ekonomiczną stojącą za handlem międzynarodowym, zaakceptuj (podobnie jak zrobiły to te dwie globalne korporacje) fakt, że handel polega na wymianie korzystnej dla obu stron. Samsung jest jednym z największych na świecie dostawców części elektronicznych. Apple pozwala Samsungowi skupić się na wytwarzaniu najlepszych części, sam zaś koncentruje się na swojej największej sile – projektowaniu produktów, które są zaawansowane technologicznie, mają elegancki design i opinię przyjaznych w użyciu. Jeśli każda firma (a co za tym idzie – każdy kraj) skupi się na tym, co robi najlepiej, dzięki wymianie handlowej zyskają wszyscy. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Czym różni się przewaga absolutna od przewagi komparatywnej Co może się stać, jeśli jakiś kraj będzie dysponował absolutną przewagą w produkcji wszystkich dóbr Na czym polega handel wewnątrzgałęziowy pomiędzy gospodarkami znajdującymi się na zbliżonym poziomie rozwoju Jakie są korzyści związane z ograniczaniem barier w handlu międzynarodowym Żyjemy w zglobalizowanej gospodarce. Na twoim stole mogą pojawić się świeże owoce z Chile, francuski ser i gruzińska woda mineralna. Twój telefon komórkowy mógł zostać wyprodukowany na Tajwanie lub w Korei. Ubrania, które nosisz, mogą być projektowane we Włoszech, a produkowane w Bangladeszu. Zabawki, które dajesz w prezencie dziecku, mogą pochodzić z Indii. Samochód, którym jeździsz, został wyprodukowany w Japonii, Niemczech, Korei Południowej lub Słowacji. Benzyna w jego zbiorniku może być rafinowana z ropy naftowej pochodzącej z Arabii Saudyjskiej, Meksyku lub Nigerii. Jeśli twoja praca jest związana z rolnictwem, maszynami, samolotami, samochodami, instrumentami naukowymi lub wieloma innymi branżami technologicznymi, istnieje duże prawdopodobieństwo, że spora część produkcji twojego pracodawcy – a więc jego przychodów, z których opłacana jest twoja pensja – pochodzi ze sprzedaży na eksport. Wszystkich nas łączy handel międzynarodowy, a wielkość tego handlu w ciągu ostatnich kilkudziesięciu lat bardzo szybko rosła. Pierwsza fala globalizacji rozpoczęła się w XIX w. i trwała do początku I wojny światowej. W tym czasie globalny eksport w relacji do światowego PKB wzrósł z niespełna 1% PKB w 1820 r. do 9% w roku 1913. W 1995 r. laureat Nagrody Nobla Paul Krugman z Uniwersytetu Princeton napisał: Twierdzenie, że dopiero teraz wynaleźliśmy globalną gospodarkę, to zarozumiałość końca XX w. W rzeczywistości rynki światowe osiągnęły imponujący stopień integracji w drugiej połowie XIX stulecia. Rzeczywiście, jeśli ktoś chce ustalić konkretną datę powstania prawdziwie globalnej gospodarki, może przyjąć rok 1869, w którym ukończono budowę zarówno Kanału Sueskiego, jak i kolei Union Pacific. W przededniu I wojny światowej statki parowe i koleje stworzyły rynki dla standaryzowanych towarów, takich jak pszenica i wełna, handel którymi miał w pełni globalny zasięg. Nawet globalny przepływ informacji był wówczas lepszy, niż uważają współcześni obserwatorzy, skupieni na technologii elektronicznej. Pierwszy podmorski kabel telegraficzny został położony pod Atlantykiem w 1858 r., a do roku 1900 wszystkie główne regiony gospodarcze świata mogły skutecznie komunikować się w czasie rzeczywistym. Ta pierwsza fala globalizacji zatrzymała się na początku XX w. I wojna światowa zerwała wiele powiązań gospodarczych. Podczas Wielkiego Kryzysu w latach 30. wiele krajów niesłusznie próbowało ratować swoje gospodarki przed głęboką recesją poprzez ograniczenie handlu zagranicznego z innymi państwami. II wojna światowa dodatkowo utrudniła handel międzynarodowy. Po tym konflikcie globalne przepływy towarów i kapitału finansowego odbudowywały się powoli. Dopiero na początku lat 80. globalne siły gospodarcze w stosunku do wielkości gospodarki światowej ponownie stały się równie ważne, jak przed I wojną światową.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przewaga absolutna i komparatywna Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować przewagę absolutną, przewagę komparatywną i koszty alternatywne Wyjaśnić, jakie korzyści płyną z handlu opartego na specjalizacji produkcji Amerykański mąż stanu Benjamin Franklin (1706-1790) napisał kiedyś: „Żaden naród nigdy nie został zrujnowany przez handel”. Wielu ekonomistów wyraziłoby swoje nastawienie do handlu międzynarodowego w jeszcze bardziej pozytywny sposób. Istnieją przekonujące dowody na to, że handel międzynarodowy przynosi gospodarkom ogólne korzyści. Handel towarzyszył wzrostowi gospodarczemu w Stanach Zjednoczonych i na całym świecie. Wiele krajów, które w ciągu ostatnich kilku dekad osiągały szybki wzrost gospodarczy – np. Japonia, Korea Południowa, Chiny i Indie – dokonało tego poprzez radykalne ukierunkowanie swoich gospodarek na handel międzynarodowy. Współcześnie nie można podać przykładu państwa, które odcięłoby się od światowego handlu, a mimo to prosperowało. Również sukcesy gospodarcze Polski w XXI w. w jednoznaczny sposób związane są z członkostwem naszego kraju w Unii Europejskiej i nieograniczonym dostępem polskich przedsiębiorstw do gigantycznego rynku unijnego z czym wiąże się wzrost konkurencji między przedsiębiorstwami, poprawa efektywności produkcji oraz dostęp polskich konsumentów do znacznie szerszej palety dóbr i usług. Aby zrozumieć korzyści płynące z handlu lub powody, dla których w ogóle handlujemy, musimy zrozumieć koncepcje przewagi komparatywnej i absolutnej. W 1817 r. David Ricardo , biznesmen, członek brytyjskiego parlamentu i jeden z najwybitniejszych ekonomistów na przestrzeni wieków, napisał traktat zatytułowany „Zasady ekonomii politycznej i opodatkowania” („On the Principles of Political Economy and Taxation”). W tekście tym Ricardo argumentował, że specjalizacja i wolny handel przynoszą korzyści wszystkim partnerom handlowym, nawet tym, którzy mogą być stosunkowo nieefektywni. Aby zrozumieć, co ten genialny ekonomista miał na myśli, musimy być w stanie odróżnić przewagę absolutną od przewagi komparatywnej. Dany kraj ma przewagę absolutną (ang. absolute advantage ) nad innym w produkcji określonego dobra, jeśli do jego wytworzenia zużywa mniej zasobów. Absolutna przewaga może wynikać z naturalnych uwarunkowań. Na przykład wydobycie ropy naftowej w Arabii Saudyjskiej to w zasadzie kwestia „wywiercenia dziury”. Wydobycie ropy w innych krajach może wymagać długotrwałych poszukiwań i kosztownych technologii wydobywczych (np. budowania platform wiertniczych na morzu) – jeśli w ogóle mają one złoża ropy naftowej. Stany Zjednoczone i Ukraina dysponują jednymi z najżyźniejszych gleb na świecie, dzięki czemu uprawa kukurydzy i pszenicy jest tam łatwiejsza i tańsza niż na wielu innych obszarach. Klimat Gwatemali i Kolumbii szczególnie sprzyja uprawie kawy. Chile i Zambia mają jedne z największych kopalni miedzi na świecie. Jak twierdzą niektórzy, „geografia to przeznaczenie”. Chile będzie produkować miedź, a Gwatemala kawę, i będą nimi handlować. Kiedy każdy kraj ma produkt, którego inni potrzebują, a on może go wytworzyć przy nakładach niższych niż gdzie indziej, łatwo jest sobie wyobrazić, że wszystkie strony czerpią korzyści z handlu. Jednak myślenie o handlu tylko w kategoriach geograficznych i przewagi absolutnej jest niepełne. Handel zagraniczny tak naprawdę jest konsekwencją nie tyle przewag absolutnych, ile komparatywnych. W podręczniku „Mikroekonomia – Podstawy” w rozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/2-wprowadzenie-do-rozdzialu pisaliśmy, że kraj ma przewagę komparatywną (ang. comparative advantage ), gdy może wyprodukować dobro po niższych kosztach, wyrażonych w utraconym wolumenie produkcji innych dóbr. Pytanie, które każdy kraj lub firma powinni sobie zadać w trakcie analizy opłacalności handlu (w tym przede wszystkim handlu zagranicznego), brzmi: „Z czego musimy zrezygnować, aby wyprodukować to konkretne dobro?”. Nie powinno dziwić to, że koncepcja przewagi komparatywnej opiera się na idei kosztu alternatywnego (wprowadzonego we wspomnianym powyżej rozdziale). Jeśli np. Zambia koncentruje swoje zasoby na produkcji miedzi, nie może wykorzystać swojej siły roboczej, ziemi i zasobów kapitału do produkcji innych towarów, takich jak np. kukurydza. W rezultacie Zambia rezygnuje z produkowania kukurydzy. Jak obliczyć koszt takiej decyzji w odniesieniu do innych towarów? Uprość problem i przyjmij, że Zambia do produkcji miedzi i kukurydzy potrzebuje wyłącznie siły roboczej. Firmy produkujące miedź i kukurydzę mówią, że wydobycie tony miedzi zajmuje dwie godziny, a zebranie kwintala (100 kg) kukurydzy wymaga jednej godziny pracy. Oznacza to, że koszt alternatywny wytworzenia tony miedzi to dwa kwintale kukurydzy. W następnej części bardziej szczegółowo omówimy koncepcję przewagi absolutnej i komparatywnej oraz odniesiemy te pojęcia do handlu zagranicznego. Odwiedź tę stronę internetową, aby zapoznać się z listą tekstów i podcastów związanych z tematyką handlu międzynarodowego. Przewagi absolutna i komparatywna – przykład liczbowy Rozważmy hipotetyczny świat z dwoma krajami, Arabią Saudyjską i Polską, oraz dwoma produktami – ropą naftową i pszenicą. Dalej załóżmy, że konsumenci w obu krajach zgłaszają popyt na oba te towary (czyli chcą kupować oba dobra). Towary te są homogeniczne, co oznacza, że konsumenci i producenci nie potrafią odróżnić pszenicy i ropy pochodzących z różnych krajów. W obu państwach dostępny jest tylko jeden czynnik produkcji – praca mierzona liczbą godzin. Arabia Saudyjska może produkować ropę przy mniejszych nakładach pracy, podczas gdy Polska może w analogiczny (tańszy) sposób wytwarzać pszenicę. ilustruje przewagi tych dwóch krajów wyrażone jako liczba godzin potrzebnych do wyprodukowania jednej jednostki każdego towaru, czyli tzw. jednostkowe nakłady pracy (ang. unit labor input ). Zwróć uwagę, że jednostkowe nakłady pracy są w naszym przykładzie równe odwrotności produktywności pracy, czyli ilości towaru wyprodukowanego w czasie jednej godziny pracy. Ile godzin zajmuje wyprodukowanie ropy i pszenicy? Kraj Ropa (godziny na baryłkę) Pszenica (godziny na kwintal) Arabia Saudyjska 1 4 Polska 2 1 Załóżmy, że zarówno Arabia Saudyjska, jak i Polska dysponują zasobem 100 godzin pracy w ciągu jakiegoś okresu (zob. ). pokazuje wolumen każdego z dóbr, które Polska i Arabia Saudyjska są w stanie samodzielnie wyprodukować, za pomocą krzywych możliwości produkcyjnych (krzywych transformacji). Przypomnij sobie z rozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/2-wprowadzenie-do-rozdzialu , że krzywa możliwości produkcyjnych pokazuje maksymalną ilość dóbr, jaką każdy kraj może wyprodukować przy ograniczonych zasobach (w naszym przypadku są to pracownicy i poziom technologii). Możliwości produkcyjne przy założeniu całkowitej autarkii (bez handlu zagranicznego) Kraj Produkcja ropy naftowej przy 100 roboczogodzinach (baryłki) Produkcja pszenicy przy 100 roboczogodzinach (kwintale) Arabia Saudyjska 100 lub 25 Polska 50 lub 100 Krzywe możliwości produkcyjnych Panel (a) Arabia Saudyjska może wyprodukować maksymalnie 100 baryłek ropy przy zerowej produkcji pszenicy (punkt A) lub 25 kwintali pszenicy przy zerowej produkcji ropy naftowej (punkt B). Może również produkować inne kombinacje ilości ropy naftowej i pszenicy, jeśli chce konsumować oba towary, tak jak np. w punkcie C (60 baryłek ropy naftowej i 10 kwintali pszenicy). Panel (b) Jeśli Polska produkuje tylko ropę naftową, może wyprodukować maksymalnie 50 baryłek przy zerowej produkcji pszenicy (punkt A') lub, z drugiej strony, może wyprodukować maksymalnie 100 kwintali pszenicy przy zerowej produkcji ropy (punkt B'). Możliwe są również inne kombinacje produkcji ropy i pszenicy, takie jak np. w punkcie C'. Wszystkie punkty powyżej krzywych możliwości produkcyjnych są niemożliwe do wytworzenia przy obecnym poziomie zasobów (liczbie dostępnych godzin pracy) i technologii. Jak wcześniej wspomniano, konsumenci z Arabii Saudyjskiej, i z Polski chcieliby mieć dostęp zarówno do ropy naftowej, jak i pszenicy. Załóżmy, że zanim dojdzie do handlu (czyli w sytuacji, w której w obu gospodarkach występowałaby warunki autarkii (ang. autarchy ), oba kraje produkują i konsumują tak jak w punkcie C lub C' na . Zatem w warunkach autarkii gospodarka Arabii Saudyjskiej poświęci 60 godz. pracy na produkcję ropy, jak pokazuje . Biorąc pod uwagę informacje zawarte w , wybór ten oznacza, że wytworzy ona 60 baryłek ropy. Korzystając z pozostałych 40 godz. pracy, może wyprodukować tylko 10 kwintali pszenicy, ponieważ potrzebuje 4 godz. na uzyskanie 1 kwintala. Aby znaleźć się w punkcie C', gospodarka Polski poświęca 40 godz. pracy na wytworzenie 20 baryłek ropy, a pozostałe godziny pracy może przeznaczyć na wyprodukowanie 60 kwintali pszenicy. Produkcja w warunkach autarkii (bez handlu zagranicznego) Kraj Produkcja ropy (baryłki) Produkcja pszenicy (kwintale) Arabia Saudyjska (C) 60 10 Polska (C') 20 60 Całkowita światowa produkcja 80 70 Nachylenie krzywej możliwości produkcyjnych przedstawia koszt alternatywny produkcji ropy naftowej w przeliczeniu na pszenicę. Wykorzystując wszystkie swoje zasoby, Polska może wyprodukować 50 baryłek ropy naftowej lub 100 kwintali pszenicy, dlatego koszt alternatywny jednej baryłki ropy to 2 kwintale pszenicy – lub inaczej mówiąc, nachylenie krzywej wynoszące minus 1/2. Zatem na wykresie krzywej możliwości produkcyjnych w Polsce każdy wzrost produkcji ropy o jedną baryłkę oznacza spadek produkcji pszenicy o 2 kwintale. Arabia Saudyjska może wyprodukować 100 baryłek ropy lub 25 kwintali pszenicy. Koszt alternatywny uzyskania 1 baryłki ropy to strata 1/4 kwintala pszenicy (czyli 25 kg ziarna), który mogliby wytworzyć saudyjscy pracownicy. Zauważ, że w porównaniu z Polską Arabia Saudyjska musi poświęcić mniej pszenicy, aby wyprodukować 1 baryłkę ropy naftowej. podsumowuje te obliczenia. Koszt alternatywny i przewaga komparatywna Kraj Koszt alternatywny wyprodukowania jednej baryłki ropy naftowej (w kwintalach pszenicy) Koszt alternatywny wyprodukowania jednego kwintala pszenicy (w baryłkach ropy naftowej) Arabia Saudyjska ¼ 4 Polska 2 ½ Ponownie przypomnij sobie, że zdefiniowaliśmy przewagę komparatywną jako koszt alternatywny produkcji towarów. Ponieważ Arabia Saudyjska poświęca mniej pszenicy, by wytworzyć baryłkę ropy (1/2 < 2 w ) ma przewagę komparatywną w produkcji ropy. Polska poświęca mniej, by wytworzyć kwintal pszenicy, więc ma przewagę komparatywną w produkcji pszenicy. W tym przykładzie istnieje symetria między przewagą absolutną a komparatywną. Arabia Saudyjska potrzebuje mniej godzin pracy, aby wyprodukować baryłkę ropy naftowej (przewaga absolutna, zob. ), a także poświęca mniej innych dóbr, aby wydobywać ropę w porównaniu z Polską (przewaga komparatywna, zob. ). Taka symetria nie zawsze ma miejsce, jak pokażemy po pełnym omówieniu korzyści z handlu. Najpierw jednak przeczytaj poniższą ramkę, aby upewnić się, że rozumiesz, dlaczego krzywa możliwości produkcyjnych na powyższych wykresach jest przedstawiona jako linia prosta. Czy krzywa możliwości produkcyjnych może być prosta? Kiedy po raz pierwszy omawialiśmy krzywą możliwości produkcyjnych w rozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/2-wprowadzenie-do-rozdzialu , była ona wygięta na zewnątrz. Ten kształt odzwierciedlał zależność, zgodnie z którą przenoszenie nakładów z produkcji jednego dobra do produkcji drugiego – np. z edukacji do usług zdrowotnych – oznaczało wzrost kosztu alternatywnego. W tym rozdziale wykreślamy krzywe możliwości produkcyjnych jako linie proste, co oznacza, że koszty alternatywne są stałe. Kiedy przeniesiemy krańcową jednostkę pracy z uprawy pszenicy do produkcji ropy naftowej, spadek ilości pszenicy i wzrost ilości ropy są zawsze takie same. W rzeczywistości jest to możliwe tylko wtedy, gdy wkład dodatkowych pracowników w produkcję nie zmienia się wraz ze zmianą wolumenu produkcji (czyli nie działa prawo malejących korzyści krańcowych). Liniowa krzywa możliwości produkcyjnych jest mniej realistycznym modelem, ale jednocześnie upraszcza obliczenia. Dzięki temu łatwiej jest zrozumieć zależności określane jako przewaga absolutna i komparatywna. To cena uproszczenia, którą warto ponieść. Korzyści z handlu Zastanów się, jaka byłaby sytuacja Polski i Arabii Saudyjskiej, gdyby oba kraje zaczęły się specjalizować w produkcji tylko jednego dobra i podjęły wymianę handlową. Przed rozpoczęciem handlu Arabia Saudyjska produkuje/konsumuje 60 baryłek ropy i 10 kwintali pszenicy. Polska produkuje/konsumuje 20 baryłek ropy i 60 kwintali pszenicy. Biorąc pod uwagę jej obecny poziom produkcji, jeśli Polska może wymienić ilość pszenicy mniejszą niż 60 kwintali i w zamian otrzymać ilość ropy większą niż 20 baryłek, to kraj ten osiągnie korzyści z handlu (ang. gain from trade ). Dzięki handlowi Polska będzie mogła konsumować większą ilość obu dóbr niż bez specjalizacji i handlu. (Przypomnij sobie, że w rozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/1-wprowadzenie-do-rozdzialu zdefiniowano specjalizację w odniesieniu do pracowników i firm. Ekonomiści używają pojęcia specjalizacji również do opisania sytuacji, w której kraj przesuwa zasoby, aby skoncentrować się na produkcji dobra, które daje mu przewagę komparatywną). Podobnie jeśli Arabia Saudyjska może wymienić pewną ilość ropy mniejszą niż 60 baryłek i otrzymać w zamian ilość pszenicy większą niż 10 kwintali, to będzie miała większą ilość obu dóbr niż przed specjalizacją i handlem. ilustruje zakres transakcji, które przyniosłyby korzyści obu stronom. Zakres transakcji, które przynoszą korzyści zarówno Polsce, jak i Arabii Saudyjskiej Gospodarka Polski po specjalizacji odniesie korzyści, jeśli: Gospodarka Arabii Saudyjskiej po specjalizacji odniesie korzyści, jeśli: Eksportuje nie więcej niż 60 kwintali pszenicy Importuje co najmniej 10 kwintali pszenicy Importuje co najmniej 20 baryłek ropy naftowej Eksportuje mniej niż 60 baryłek ropy naftowej Poniższa ramka wyjaśnia źródła korzyści z handlu dla obu stron w oparciu o koncepcję kosztu alternatywnego. Jeśli Arabia Saudyjska chciałaby rozszerzyć krajową produkcję pszenicy w świecie bez handlu międzynarodowego, to w oparciu o koszty alternatywne musi zrezygnować z 4 baryłek ropy za każdy dodatkowy kwintal zboża. Gdyby Arabia Saudyjska znalazła sposób na rezygnację z mniej niż 4 baryłek ropy za dodatkowy kwintal pszenicy (lub równoważnie, by otrzymać więcej niż 1 kwintal pszenicy za 4 baryłki ropy), znalazłaby się w lepszej sytuacji. Jakie są koszty alternatywne handlu i płynące z niego korzyści? Zakres transakcji, które przyniosą korzyści każdemu krajowi, opiera się na alternatywnym koszcie wyprodukowania każdego dobra podlegającego wymianie handlowej. Polska może wyprodukować 100 kwintali pszenicy lub 50 baryłek ropy. Dla Polski koszt alternatywny wyprodukowania 1 baryłki ropy to 2 kwintale pszenicy. Jeśli podzielimy powyższe liczby przez 50, otrzymamy ten sam stosunek: 1 baryłka ropy odpowiada 2 kwintalom pszenicy, czyli (100/50 = 2 i 50/50 = 1). W handlu z Arabią Saudyjską, jeśli Polska zamierza wyeksportować 100 kwintali pszenicy, musi w zamian otrzymać (zaimportować) co najmniej 50 baryłek ropy, aby osiągnąć ten sam efekt. Oczywiście, aby czerpać korzyści z handlu, Polska musi być w stanie uzyskać więcej niż 0,5 baryłki ropy za swój kwintal pszenicy – bowiem tylko wtedy handel będzie miał sens. Przypomnijmy, że David Ricardo przekonywał, iż jeśli każdy kraj specjalizuje się w produkcji dóbr, dla których posiada przewagę komparatywną, odniesie korzyści z handlu, a całkowita globalna produkcja wzrośnie. W jaki sposób możemy zilustrować korzyści płynące z handlu opartego na przewadze komparatywnej i specjalizacji? przedstawia produkcję przy założeniu, że każdy kraj specjalizuje się w wytwarzaniu dóbr, dla których posiada przewagę komparatywną, i nie wytwarza żadnego innego dobra. To jest stuprocentowa specjalizacja. Specjalizacja prowadzi do wzrostu całkowitej światowej produkcji. (Porównaj całkowitą światową produkcję w z tą w .) Jak specjalizacja zwiększa wydajność Kraj Ilość wyprodukowana przy stuprocentowej specjalizacji – ropa naftowa (baryłki) Ilość wyprodukowana przy stuprocentowej specjalizacji – pszenica (kwintale) Arabia Saudyjska 100 0 Polska 0 100 Całkowita produkcja światowa 100 100 Co by się stało, gdybyśmy nie mieli pełnej specjalizacji, tak jak to zostało przedstawione w ? Czy nadal będziemy osiągać korzyści z handlu? Rozważmy inny przykład, w którym produkcja Polski i Arabii Saudyjskiej znajduje się odpowiednio w punktach C i C', tak jak pokazuje . Zastanów się, co się stanie, gdy kraje zaczną handlować, a Polska wyeksportuje 20 kwintali pszenicy do Arabii Saudyjskiej w zamian za 20 baryłek ropy. Krzywa możliwości produkcyjnych w Arabii Saudyjskiej Handel pozwala krajowi przesunąć się ponad krzywą krajowych możliwości produkcyjnych. Zaczynając w punkcie C, który pokazuje produkcję saudyjskiej ropy równą 60 baryłkom, zmniejszymy krajowe zużycie ropy w Arabii o 20 baryłek, ponieważ właśnie taka ilość ropy jest eksportowana do Polski i wymieniana na 20 kwintali pszenicy. Umożliwia to Arabii przesunięcie się do punktu D, gdzie konsumpcja ropy naftowej wynosi obecnie 40 baryłek, a konsumpcja pszenicy wzrosła do 30 kwintali (zob. ). Zauważ, że nawet bez stuprocentowej specjalizacji, jeśli cena względna, w tym przypadku 20 baryłek ropy za 20 kwintali pszenicy, jest wyższy niż koszt alternatywny krajowej produkcji, Saudyjczycy na handlu zyskają. Ponieważ punkt D (po dokonanej transakcji) znajduje się ponad krzywą możliwości produkcyjnych, dla Arabii Saudyjskiej handel jest korzystny. Odwiedź tę stronę internetową, aby zobaczyć wizualizacje danych związanych z pozbawionym barier handlem zagranicznym. Key Concepts and Summary Kraj ma absolutną przewagę w produkcji tych dóbr, na wytworzenie których poświęca mniej zasobów niż jego partnerzy handlowi. Kraj ma przewagę komparatywną, gdy może wyprodukować dane dobro po niższych kosztach alternatywnych (wyrażonych w ilości innych dóbr, które trzeba poświęcić, aby je wytworzyć). Kraje, które stawiają na specjalizację w produkcji, biorąc pod uwagę przewagi komparatywne, zyskują na handlu zagranicznym. Self-Check Questions Prawda czy fałsz: źródłem przewagi komparatywnej muszą być uwarunkowania naturalne, takie jak klimat i złoża mineralne. Uzasadnij swoje zdanie. Fałsz. Wszystko, co prowadzi do różnicy w poziomach produktywności między dwiema gospodarkami, może być źródłem przewagi komparatywnej. Na przykład wykształcenie pracowników, baza wiedzy inżynierów i naukowców w danym kraju, część podzielonego łańcucha wartości, w którym kraj posiada swoją specjalistyczną wiedzę, korzyści skali i inne czynniki. Brazylia może wyprodukować 100 funtów wołowiny lub 10 samochodów. Z kolei Stany Zjednoczone mogą wyprodukować 40 funtów wołowiny lub 30 samochodów. Który kraj ma absolutną przewagę w produkcji wołowiny? Który kraj ma absolutną przewagę w produkcji aut? Jaki jest koszt alternatywny wyprodukowania jednego funta wołowiny w Brazylii? Jaki jest koszt alternatywny wyprodukowania jednego funta wołowiny w Stanach Zjednoczonych? Brazylia ma absolutną przewagę w produkcji wołowiny, a Stany Zjednoczone mają absolutną przewagę w produkcji samochodów. Koszt alternatywny wyprodukowania jednego funta wołowiny w Brazylii wynosi 1/10 samochodu, zaś w Stanach Zjednoczonych jest to 3/4 auta. We Francji do wyprodukowania i jednego swetra, i jednej butelki wina potrzebny jest jeden pracownik. W Tunezji do wytworzenia jednego swetra potrzeba dwóch robotników, a do wyprodukowania jednej butelki wina trzech. Który kraj ma absolutną przewagę w produkcji swetrów, a który w produkcji wina? Uzasadnij swoją odpowiedź. Odpowiadając na takie pytania, często warto zacząć od uporządkowania informacji w tabeli takiej jak ta poniżej. Przedstawia ona jednostkowe nakłady pracy w produkcji obu dóbr. Kraj Jeden sweter Jedna butelka wina Francja 1 pracownik 1 pracownik Tunezja 2 pracowników 3 pracowników W tym przykładzie Francja ma absolutną przewagę w produkcji zarówno swetrów, jak i wina. Możesz to łatwo stwierdzić, ponieważ we Francji nakłady pracy niezbędne do tego, aby wyprodukować zarówno jeden sweter, jak i jedną butelkę wina, są mniejsze niż w Tunezji. Review Questions Czym jest przewaga absolutna? Czym jest przewaga komparatywna? W jakich warunkach przewaga komparatywna prowadzi do zysków z handlu zagranicznego? Jakie czynniki wspierające rozwój handlu międzynarodowego w XIX w. zidentyfikował Paul Krugman? Critical Thinking Questions Czy różnice w położeniu geograficznym różnych krajów mogą określać przewagi absolutne w handlu zagranicznym? Dlaczego Stany Zjednoczone nie mają przewagi absolutnej w produkcji kawy? Spójrz na . Oblicz koszty alternatywne produkcji swetrów i wina we Francji i Tunezji. Kto ma najniższy koszt alternatywny produkcji swetrów, a kto produkcji wina? Wyjaśnij, co to znaczy mieć niższy koszt alternatywny produkcji konkretnego dobra. Problems We Francji i Tunezji panuje klimat śródziemnomorski, który jest doskonały do uprawy zielonej fasoli i pomidorów. We Francji zebranie jednostki zielonej fasoli przez każdego pracownika zajmuje 2 godz., a jednostki pomidorów 2 godz. Tunezyjscy robotnicy potrzebują tylko 1 godz. na zebranie jednostki pomidorów i 4 godz. na zebranie jednostki zielonej fasoli. Załóżmy dla uproszczenia, że w każdym kraju jest tylko jeden dostępny pracownik, który pracuje 40 godz. tygodniowo. Narysuj krzywą możliwości produkcyjnych dla każdego kraju. Podpowiedź: pamiętaj, że krzywa transformacji ilustruje maksymalną wielkość produkcji, którą wszyscy dostępni pracownicy mogą wyprodukować w założonym na potrzeby analizy okresie, czyli w tym zadaniu w ciągu 40 godz. Wskaż, który kraj ma przewagę absolutną pod względem produkcji zielonej fasoli, a który pod względem produkcji pomidorów. Określ, który kraj dysponuje przewagą komparatywną. Z ilu jednostek pomidorów musiałaby zrezygnować Francja, aby zyskać na handlu z Tunezją? A z ilu jednostek fasoli? References Krugman, Paul R. Pop Internationalism . The MIT Press, Cambridge. 1996. Krugman, Paul R. “What Do Undergrads Need to Know about Trade?” American Economic Review 83, no. 2. 1993. 23-26. Ricardo, David. On the Principles of Political Economy and Taxation . London: John Murray, 1817. Ricardo, David. “On the Principles of Political Economy and Taxation.” Library of Economics and Liberty. http://www.econlib.org/library/Ricardo/ricP.html. przewaga absolutna (ang. absolute advantage ) sytuacja, w której dany kraj zużywa mniej zasobów do produkcji konkretnego dobra niż jego partnerzy handlowi; inaczej mówiąc – kiedy kraj jest bardziej wydajny w porównaniu z innym krajem korzyści z handlu (ang. gain from trade ) sytuacja, gdy w wyniku specjalizacji opartej na kosztach komparatywnych (alternatywnych) i handlu zagranicznym kraj dysponuje większym wolumenem zasobów w porównaniu ze stanem, w którym wszystkie dobra i usługi produkowałby sam (pełna autarkia) autarkia (ang. autarchy ) sytuacja, w której dany kraj nie prowadzi żadnej wymiany handlowej z zagranicą, a wszystkie jego potrzeby zaspokaja produkcja krajowa", "section": "Przewaga absolutna i komparatywna", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Co się stanie, gdy kraj ma przewagę absolutną w produkcji wszystkich dóbr? Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać związek pomiędzy kosztami produkcji a przewagą komparatywną Zidentyfikować sytuacje, w których handel jest wzajemnie korzystny Wskazać korzyści handlowe, biorąc pod uwagę koszty alternatywne Czy handel jest możliwy, jeśli jeden kraj ma przewagę absolutną w produkcji wszystkich dóbr? Jest to typowe dla państw o wysokich dochodach, które często mają dobrze wykształconych pracowników, zaawansowany technologicznie sprzęt i dysponują najnowocześniejszymi metodami produkcji. Kraj o wysokich dochodach może wytwarzać wszystkie produkty przy mniejszych nakładach czynników produkcji niż kraj o niskich dochodach. Jeśli jednak państwo o wysokich dochodach jest bardziej wydajne w produkcji wszystkich dóbr, to czy nadal będzie czerpało korzyści z handlu? Mając w pamięci to, co ponad 200 lat temu napisał David Ricardo, zapewne wiesz, że handel polega na wzajemnie korzystnej wymianie. Nawet gdy jeden kraj ma przewagę absolutną w produkcji wszystkich dóbr, handel nadal może przynieść korzyści obu stronom. Dzieje się tak, ponieważ zyski z handlu pochodzą ze specjalizacji zgodnie z teorią przewag komparatywnych. Możliwości produkcyjne i przewaga komparatywna Rozważmy przykład handlu pomiędzy Stanami Zjednoczonymi a Meksykiem opisany w . W tym przykładzie do wyprodukowania 1000 par butów potrzeba czterech pracowników w USA, zaś w Meksyku pięciu. Wyprodukowanie 1000 lodówek wymaga jednego robotnika w Stanach Zjednoczonych albo czterech w Meksyku. Stany Zjednoczone mają absolutną przewagę zarówno w produkcji butów, jak i lodówek. Oznacza to, że w USA potrzeba mniej pracowników niż w Meksyku, aby wyprodukować zarówno buty, jak i lodówki. Zasoby potrzebne do produkcji butów i lodówek Kraj Liczba pracowników potrzebnych do wyprodukowania 1000 par butów Liczba pracowników potrzebnych do wyprodukowania 1000 lodówek USA 4 1 Meksyk 5 4 Absolutna przewaga porównuje po prostu produktywność pracowników pomiędzy krajami, odpowiadając na pytanie o to, jakie nakłady są konieczne do produkcji określonej liczby butów w Meksyku, a jakie do wytworzenia tej samej liczby obuwia w USA. Przewaga komparatywna stawia to samo pytanie nieco inaczej. Zamiast porównywać, ilu pracowników potrzeba do wyprodukowania danego dobra, stawiane jest pytanie: „Z czego muszę zrezygnować, aby móc wyprodukować konkretne dobro (np. buty) w danym kraju?”. Innymi słowy, przewaga komparatywna wskazuje na to dobro, w przypadku którego przewaga absolutna jest relatywnie większa lub absolutna słabość relatywnie mniejsza. Stany Zjednoczone mogą wyprodukować 1000 par butów przy liczbie pracowników wynoszącej 4/5 tej w Meksyku (czterech na pięciu), ale mogą wytworzyć 1000 lodówek przy zaledwie 1/4 liczby pracowników, która jest potrzebna do tego samego procesu wytwórczego w Meksyku (jeden na czterech). A zatem Stany Zjednoczone mają przewagę komparatywną w produkcji lodówek (bowiem w tej dziedzinie ich przewaga absolutna jest większa niż w przypadku butów), zaś Meksyk dysponuje przewagą komparatywną w produkcji butów (gdyż tu jego strata absolutna w stosunku do Stanów Zjednoczonych jest mniejsza niż w przypadku lodówek). Obustronnie korzystny handel oparty na przewadze komparatywnej Kiedy dwa kraje zwiększają produkcję w obszarze swojej przewagi komparatywnej i handlują między sobą, oba mogą na tym skorzystać. Ponownie krzywa możliwości produkcyjnych jest użytecznym narzędziem do wizualizacji tych korzyści. Rozważmy sytuację, w której Stany Zjednoczone i Meksyk mają po 40 pracowników. pokazuje, że jeśli Stany Zjednoczone podzielą swoje zasoby pracy tak, aby 40 robotników produkowało buty, to ponieważ do wyprodukowania 1000 par butów potrzeba czterech robotników, w sumie zostanie wyprodukowanych 10 000 par butów. (Jeśli czterech robotników może wyprodukować 1000 par butów, to 40 robotników wyprodukuje 10 000 par). Jeśli 40 pracowników w Stanach Zjednoczonych produkuje lodówki, a każdy pracownik może wyprodukować 1000 lodówek, to w sumie wyprodukowanych zostanie 40 000 lodówek. Możliwości produkcyjne w warunkach pełnej specjalizacji bez handlu Kraj Produkcja butów (liczba par) przy wykorzystaniu 40 pracowników Produkcja lodówek (liczba sztuk) przy wykorzystaniu 40 pracowników USA 10 000 lub 40 000 Meksyk 8 000 lub 10 000 Na mocy definicji nachylenie krzywej możliwości produkcyjnych dla każdego kraju odzwierciedla koszt alternatywny wyprodukowania jednego dobra (lodówek) wyrażony w jednostkach drugiego dobra (parach butów) – gdy siła robocza jest przenoszona z produkcji jednego dobra do wytwarzania drugiego (zob. ). Krzywe możliwości produkcyjnych Panel (a) Zatrudniając 40 pracowników, Stany Zjednoczone mogą wytworzyć 10 000 par butów przy zerowej produkcji lodówek lub 40 000 lodówek przy zerowej produkcji butów. Panel (b) Dysponując 40 pracownikami, Meksyk może wytworzyć maksymalnie 8000 par butów przy zerowej produkcji lodówek lub 10 000 lodówek przy zerowej produkcji butów. Wszystkie pozostałe punkty leżące na krzywych możliwości produkcyjnych odzwierciedlają osiągalne dla obu gospodarek kombinacje produkcji butów i lodówek przy założeniu, że zarówno w USA, jak i w Meksyku dostępnych jest 40 pracowników. Punkt A na obu wykresach to sytuacja, w której kraje produkują i konsumują w warunkach pełnej autarkii (bez handlu). Punkt B to sytuacja, w której znajdą się w warunkach możliwości podjęcia pomiędzy nimi wymiany handlowej. Załóżmy, że w sytuacji pełnej autarkii każdy kraj preferuje kombinację produkcji butów i lodówek opisaną punktem A. przedstawia wolumen produkcji obu dóbr w Meksyku i USA dla tej właśnie kombinacji i łączną produkcję butów i lodówek w obu krajach. Całkowita produkcja obu dóbr w punkcie A na krzywej możliwości produkcyjnych w warunkach pełnej autarkii Kraj Produkcja butów (liczba par) Produkcja lodówek (liczba sztuk) USA 5000 20 000 Meksyk 4000 5000 Razem 9000 25 000 Kontynuując analizę w ramach tego scenariusza, załóżmy, że każdy kraj przenosi pewną ilość nakładów pracy w kierunku swojego obszaru przewagi komparatywnej. Na przykład Stany Zjednoczone przenoszą sześciu pracowników z produkcji butów do wytwarzania lodówek. W efekcie produkcja obuwia w USA spada o 1500 par (6/4 × 1000), a produkcja lodówek wzrasta o 6000 sztuk (czyli 6/1 × 1000). Meksyk również przenosi nakłady pracy w kierunku obszaru swojej przewagi komparatywnej, przesuwając 10 pracowników z produkcji lodówek do przemysłu obuwniczego. W rezultacie produkcja lodówek w Meksyku spada o 2500 (10/4 × 1000) sztuk, ale butów wzrasta o 2000 par (10/5 × 1000). Zauważmy, że kiedy oba kraje przesuwają produkcję w kierunku dobra, w przypadku którego dysponują przewagą komparatywną (czyli tego, w którym są relatywnie lepsze), ich łączna produkcja obu dóbr wzrasta, jak pokazano w . Zmniejszenie produkcji obuwia o 1500 par w Stanach Zjednoczonych jest z nawiązką zrekompensowane wzrostem wolumenu o 2000 par butów w Meksyku, podczas gdy zmniejszenie produkcji lodówek o 2500 w Meksyku jest z nawiązką równoważone przez dodatkowe 6000 lodówek wytworzonych w Stanach Zjednoczonych. Przesunięcie produkcji w kierunku dobra, w przypadku którego dany kraj dysponuje przewagą komparatywną, zwiększa całkowity wolumen produkcji obu dóbr Kraj Produkcja butów (liczba par) Produkcja lodówek (liczba sztuk) USA 3500 26 000 Meksyk 6000 2500 Razem 9500 28 500 Ten liczbowy przykład ilustruje konsekwencje istnienia przewagi komparatywnej: nawet jeśli jeden kraj ma absolutną przewagę pod względem produkcji wszystkich dóbr, a inny kraj wykazuje absolutną słabość pod względem produkcji wszystkich dóbr, oba mogą nadal czerpać korzyści z handlu. Mimo że Stany Zjednoczone osiągnęły przewagę absolutną w produkcji zarówno lodówek, jak i butów, z ekonomicznego punktu widzenia opłacalne jest specjalizowanie się w produkcji tego dobra (tych dóbr), w przypadku którego mają przewagę komparatywną. Stany Zjednoczone będą eksportować do Meksyku lodówki, a w zamian importować z tego kraju buty. Jak koszt alternatywny wyznacza granice opłacalności handlu zagranicznego Przykład ten pokazuje, że obie strony mogą skorzystać na specjalizacji w zakresie swoich przewag komparatywnych i handlu. Bazując na kosztach alternatywnych w tym przykładzie, możliwe jest określenie zakresu możliwych transakcji, które przyniosłyby korzyści każdemu krajowi zaangażowanemu w handel. Meksyk w warunkach pełnej autarkii i braku specjalizacji rozpoczął od produkcji 4000 par butów i 5000 lodówek (zob. i ). Następnie w podanym przykładzie liczbowym Meksyk przesunął produkcję w kierunku swojej przewagi komparatywnej i wyprodukował 6000 par butów, ale tylko 2500 lodówek. Jeśli zatem Meksyk będzie w stanie wyeksportować do 2000 par butów (rezygnując tym samym z ich konsumpcji) w zamian za import co najmniej 2500 lodówek (co przełoży się na dodatkową konsumpcję tego dobra w kraju), będzie w stanie konsumować większą ilość obu dóbr w porównaniu z pełną autarkią. Dzięki wymianie handlowej Meksyk znajdzie się w jednoznacznie lepszej sytuacji. Z kolei Stany Zjednoczone w warunkach pełnej autarkii i braku specjalizacji zaczęły od produkcji 5000 par butów i 20 000 lodówek. W tym przykładzie USA przesunęły produkcję w kierunku swojej przewagi komparatywnej, produkując tylko 3500 par butów, ale za to 26 000 lodówek. Jeśli Stany Zjednoczone będą w stanie wyeksportować do 6000 lodówek w zamian za import co najmniej 1500 par butów, dzięki wymianie handlowej skonsumują większe ilości obu dóbr i ich sytuacja się poprawi. Zakres transakcji, które mogą przynieść korzyści obu krajom, przedstawiono w . Na przykład wymiana handlowa, w ramach której Stany Zjednoczone eksportują 4000 lodówek do Meksyku w zamian za 1800 par butów, przyniosłaby korzyści obu krajom, ponieważ byłyby w stanie konsumować większe ilości obu towarów niż w warunkach pełnej autarkii. Zakres transakcji handlowych, na których skorzystają zarówno Stany Zjednoczone, jak i Meksyk Gospodarka USA odniesie korzyści po specjalizacji, jeśli: Gospodarka Meksyku odniesie korzyści po specjalizacji, jeśli: Eksportuje mniej niż 6000 lodówek Importuje co najmniej 2500 lodówek Importuje co najmniej 1500 par butów Eksportuje nie więcej niż 2000 par butów Handel pozwala zarówno Stanom Zjednoczonym, jak i Meksykowi skorzystać z niższych kosztów alternatywnych występujących w drugim kraju. Jeśli Meksyk chce produkować więcej lodówek w warunkach pełnej autarkii, musi zmierzyć się z krajowymi kosztami alternatywnymi i zredukować produkcję obuwia. Jeśli zamiast tego Meksyk produkuje więcej butów, a następnie kupuje lodówki wyprodukowane w USA, gdzie koszt alternatywny produkcji lodówek jest niższy, może wykorzystać niższy koszt alternatywny produkcji lodówek w Stanach Zjednoczonych. I odwrotnie, gdy Stany Zjednoczone specjalizują się w produkcji, w której mają przewagę komparatywną, czyli w produkcji lodówek, i kupują buty produkowane w Meksyku, handel międzynarodowy pozwala im na skorzystanie z niższych kosztów alternatywnych produkcji obuwia w Meksyku. Teoria przewag komparatywnych wyjaśnia, dlaczego kraje handlują: ponieważ mają różne przewagi komparatywne. To pokazuje, że zyski z handlu międzynarodowego wynikają z dążenia do korzystania z przewagi komparatywnej i produkcji po niższych kosztach alternatywnych. Poniższa ramka przedstawia, jak obliczyć przewagi absolutną i komparatywną oraz w jaki sposób wykorzystać te pojęcia do wyznaczania wielkości produkcji danego kraju. Obliczanie przewag absolutnej i komparatywnej W Kanadzie jeden pracownik może wyprodukować 20 baryłek ropy naftowej lub 40 m 3 drewna. W Wenezueli pracownik może wyprodukować 60 baryłek ropy lub 30 m 3 drewna. Kraj Ropa (baryłki) Drewno (m 3 ) Kanada 20 lub 40 Wenezuela 60 lub 30 Który kraj ma przewagę absolutną w produkcji ropy, a który w produkcji drewna? Który kraj ma przewagę komparatywną w produkcji ropy naftowej? Który kraj ma przewagę komparatywną w produkcji drewna? Czy w powyższym przykładzie przewaga absolutna jest tym samym, co przewaga komparatywna? W produkcji jakiego dobra powinna specjalizować się Kanada? W produkcji którego dobra powinna się specjalizować Wenezuela? Krok 1. Przygotuj tabelę jak . Krok 2. Aby obliczyć przewagę absolutną, spójrz na większą z liczb dla każdego produktu. Jeden pracownik w Kanadzie może wyprodukować więcej drewna (40 m 3 w porównaniu z 30 m 3 ), więc Kanada ma absolutną przewagę w produkcji drewna. Jeden pracownik w Wenezueli może wyprodukować 60 baryłek ropy, podczas gdy pracownik w Kanadzie wyprodukuje tylko 20 baryłek. Wenezuela ma więc przewagę absolutną w produkcji ropy naftowej. Krok 3. Aby obliczyć przewagę komparatywną, znajdź koszt alternatywny wytworzenia 1 baryłki ropy naftowej w obu krajach. Kraj o najniższym koszcie alternatywnym ma przewagę komparatywną. Przy takim samym nakładzie pracy Kanada może wyprodukować 20 baryłek ropy lub 40 m 3 drewna. W efekcie 20 baryłek ropy odpowiada 40 m 3 drewna: 20 baryłek ropy = 40 m 3 drewna. Podziel obie strony równania przez 20, aby obliczyć koszt alternatywny jednej baryłki ropy w Kanadzie. Ropa 20/20 = drewno 40/20. 1 baryłka ropy = 2 m 3 drewna. Wyprodukowanie jednej dodatkowej baryłki ropy w Kanadzie wiąże się z kosztem alternatywnym w postaci 2 m 3 drewna. Oblicz w ten sam sposób koszt alternatywny dla Wenezueli: 60 baryłek ropy = 30 m 3 drewna. Podziel obie strony równania przez 60. Koszt alternatywny 1 baryłki ropy w Wenezueli wynosi 0,5 m 3 drewna. Ponieważ 0,5 m 3 drewna < 2 m 3 drewna, Wenezuela ma przewagę komparatywną w produkcji ropy naftowej. Krok 4. Oblicz koszt alternatywny produkcji 1 m 3 drewna, odwracając liczby, ustawiając drewno po lewej stronie równania. W Kanadzie 40 m 3 drewna odpowiada pod względem czasu pracy 20 baryłkom ropy: 40 m 3 drewna = 20 baryłek ropy. Podziel każdą stronę równania przez 40. Koszt alternatywny 1 m 3 drewna to 0,5 baryłki ropy. W Wenezueli ekwiwalentny czas pracy pozwoli wyprodukować 30 m 3 drewna lub 60 baryłek ropy: 30 m 3 drewna = 60 baryłek ropy. Podziel każdą stronę przez 30. Koszt alternatywny 1 m 3 drewna to 2 baryłki ropy. Kanada ma niższy koszt alternatywny produkcji drewna. Krok 5. W tym przykładzie przewaga bezwzględna jest tym samym, co przewaga komparatywna. Kanada ma absolutną i komparatywną przewagę w produkcji drewna; Wenezuela ma absolutną i komparatywną przewagę w produkcji ropy naftowej. Krok 6. Kanada powinna specjalizować się w produkcji dobra, dla którego ma relatywnie niższy koszt alternatywny, czyli w produkcji drewna. Natomiast Wenezuela powinna postawić na wydobycie ropy naftowej. Kanada będzie eksportować drewno i importować ropę, zaś Wenezuela będzie wysyłać za granicę ropę, a sprowadzać drewno. Zastosowanie koncepcji przewagi komparatywnej na kempingu Aby zrozumieć intuicyjnie, w jaki sposób przewaga komparatywna może przynieść korzyści wszystkim stronom zaangażowanym w wymianę handlową, odłóżmy na chwilę na bok przykłady dotyczące gospodarek narodowych i przeanalizujmy sytuację szóstki przyjaciół, którzy wybierają się pod namiot. Wszystkie osoby mają szeroki wachlarz umiejętności i doświadczeń, ale jedna z nich, Jerzy, który odbył wcześniej wiele biwaków i jest świetnym sportowcem, ma przewagę we wszystkich aspektach biwakowania. Jest sprawniejszy w marszu z plecakiem, zbieraniu drewna na opał, pływaniu kajakiem, rozbijaniu namiotu, przyrządzaniu posiłków i zmywaniu naczyń. Skoro zatem Jerzy jest najlepszy we wszystkich czynnościach związanych z biwakowaniem, to czy nie on właśnie powinien wykonać całą pracę? Oczywiście, że nie! Nawet jeśli Jerzy zechce harować jak wół, podczas gdy inni siedzą wokół, nic nie robiąc, ma on do dyspozycji tylko 24 godziny na dobę. Jeśli wszyscy będą siedzieć i czekać, aż Jerzy wykona niezbędne czynności, to on sam nie dość, że będzie wyjątkowo nieszczęśliwym obozowiczem, to jeszcze nie zdoła zapewnić wystarczającej ilości dóbr do konsumpcji dla sześcioosobowej grupy. Koncepcja przewagi komparatywnej mówi, że wszyscy odniosą korzyści, jeśli wykorzystają swoje obszary przewagi komparatywnej – to znaczy czynność niezbędną w czasie biwakowania, w której ich produktywność jest najbliższa produktywności Jerzego. Na przykład może być tak, że Jerzy jest o 80% szybszy w rozpalaniu ognia i gotowaniu posiłków niż ktokolwiek inny, ale tylko o 20% lepszy w zbieraniu drewna opałowego i 10% sprawniejszy w rozbijaniu namiotów. W takim przypadku Jerzy powinien skupić się na rozpalaniu ognia i przygotowywaniu posiłków, a pozostali obozowicze powinni zająć się innymi zadaniami, każde z nich takim, przy którym ich strata produktywności w stosunku do innych jest najmniejsza. Jeśli obozowicze skoordynują swoje wysiłki zgodnie z posiadanymi przewagami komparatywnymi, wszyscy mogą na tym skorzystać. Key Concepts and Summary Nawet jeśli kraj charakteryzuje się wysokim poziomem produktywności w procesie wytwarzania wszystkich dóbr, nadal może czerpać korzyści z handlu zagranicznego. Korzyści z wymiany handlowej z innymi krajami powstają w wyniku przewagi komparatywnej. Specjalizując się w produkcji dóbr, których wytwarzanie pochłania względnie mniej zasobów w przeliczeniu na jednostkę produkcji, kraj może wytwarzać więcej i oferować ten dodatkowy wolumen dóbr na sprzedaż. Jeżeli inne kraje również specjalizują się w obszarze swojej przewagi komparatywnej i handlują, wszystkie państwa mogą skorzystać z niższych kosztów alternatywnych produkcji dóbr, w których się specjalizują, w innych krajach. Self-Check Question W Niemczech do wyprodukowania jednego telewizora potrzeba trzech pracowników, a do wytworzenia jednego dekodera telewizji kablowej czterech. W Polsce do wyprodukowania jednego telewizora potrzeba sześciu zatrudnionych, a do wykonania jednego dekodera 12. Kto ma przewagę absolutną w produkcji telewizorów? Kto ma przewagę absolutną w produkcji dekoderów? Uzasadnij swoją odpowiedź. Oblicz koszt alternatywny wyprodukowania jednego dodatkowego telewizora w Niemczech i w Polsce. (Twoje obliczenia mogą obejmować ułamki, co nie jest błędem). Który kraj ma przewagę komparatywną w produkcji telewizorów? Oblicz koszt alternatywny wyprodukowania jednego dekodera telewizji kablowej w Niemczech i w Polsce. Który kraj ma przewagę komparatywną w produkcji dekoderów? Czy w tym przykładzie przewaga absolutna jest tym samym, co przewaga komparatywna, czy może jest inaczej? W produkcji którego dobra powinny specjalizować się Niemcy? A Polska? W Niemczech do wyprodukowania zarówno telewizora, jak i dekodera potrzeba mniej pracowników niż w Polsce. Niemcy mają przewagę absolutną w produkcji obu dóbr. Produkcja dodatkowego telewizora w Niemczech wymaga trzech pracowników. Przeniesienie tych trzech niemieckich pracowników do produkcji telewizorów zmniejszy wolumen dekoderów o 3/4 urządzenia. Wyprodukowanie dodatkowego telewizora w Polsce wymaga sześciu pracowników, co oznacza, że kosztem alternatywnym telewizora jest zmniejszenie produkcji dekoderów o 6/12, czyli 1/2 urządzenia. Tym samym koszt alternatywny produkcji telewizorów jest w Polsce niższy, więc Polska ma przewagę komparatywną w produkcji telewizorów. Uwaga: nie pozwól, aby ułamki takie jak 3/4 lub 1/2 dekodera utrudniały ci analizę. Jeśli któryś kraj miałby zwiększyć produkcję telewizorów o znaczną liczbę – to znaczy dużo więcej niż o jednostkę – wtedy będziemy mówić o całych dekoderach, a nie o ułamkach. Można również dojść do takich samych wniosków, zauważając, że absolutna słabość Polski jest relatywnie mniejsza w przypadku telewizorów, ponieważ Polska potrzebuje dwa razy więcej pracowników do wyprodukowania telewizora, a trzy razy więcej pracowników do wyprodukowania dekodera telewizji kablowej, więc w obszarze produktu, dla którego występuje relatywnie mniejsza absolutna słabość, pojawia się przewaga komparatywna Polski. Wytworzenie dekodera w Niemczech wymaga czterech pracowników, a przeniesienie tych czterech pracowników z produkcji telewizorów wiąże się z kosztem alternatywnym 4/3 telewizora. Wytworzenie dekodera w Polsce wymaga 12 pracowników, a przeniesienie tych 12 ludzi z produkcji telewizorów wiąże się z kosztem alternatywnym dwóch telewizorów. Tym samym koszt alternatywny produkcji dekoderów jest w Niemczech niższy i właśnie w produkcji tego urządzenia pojawią się korzyści komparatywne Niemiec. W tym przykładzie przewaga absolutna różni się od przewagi komparatywnej. Niemcy mają absolutną przewagę w produkcji obu towarów, ale Polska ma przewagę komparatywną w produkcji telewizorów. Niemcy powinny, przynajmniej w pewnym stopniu, specjalizować się w produkcji dekoderów i je eksportować, natomiast importować telewizory. Polska odwrotnie, powinna, przynajmniej w pewnym stopniu, specjalizować się w produkcji telewizorów i je eksportować, natomiast sprowadzać dekodery telewizji kablowej. Review Questions Czy można mieć przewagę komparatywną w produkcji danego dobra, ale nie mieć w jego przypadku przewagi absolutnej? Uzasadnij swoją odpowiedź. W jaki sposób przewaga komparatywna prowadzi do korzyści z handlu? Critical Thinking Questions Na zajęciach jedna z osób należących do twojej grupy stwierdziła: „Biedne kraje, takie jak Malawi, nie mają przewagi absolutnej w przypadku żadnego dobra. Mają słabe gleby, niskie inwestycje w system edukacji, a tym samym pracowników o niskich kwalifikacjach, brakuje im kapitału i istotnych zasobów naturalnych. Ponieważ nie dysponują przewagą, nie mogą czerpać korzyści z handlu”. Jaka mogłaby być twoja odpowiedź? Spójrz na . Czy istnieje zakres transakcji, dla których nie występują korzyści z handlu zagranicznego? Właśnie wprowadzasz się do wynajętego mieszkania z kilkoma znajomymi. Wszyscy twoi współlokatorzy są jednak próżniakami i nie sprzątają po sobie. Z drugiej strony ty możesz sprzątać szybciej niż każdy z nich. Ustalasz, że o 70% szybciej zmywasz naczynia i o 10% szybciej odkurzasz. Wszystkie te zadania trzeba wykonywać codziennie. Jakie prace powinny przypaść w udziale twoim współlokatorom, abyś uzyskał(a) możliwie najwięcej wolnego czasu? Czy możesz sobie wyobrazić analogię handlową do tego problemu? Problems W Japonii jeden pracownik może wyprodukować 5 ton gumy lub 80 radioodbiorników. W Malezji jeden pracownik może wyprodukować 10 ton gumy lub 40 radioodbiorników. Kto ma przewagę absolutną w produkcji gumy i radioodbiorników? Uzasadnij swoją odpowiedź. Oblicz koszt alternatywny wyprodukowania 80 dodatkowych radioodbiorników w Japonii i Malezji (twoje obliczenia mogą obejmować ułamki, co nie jest błędem). Który kraj ma przewagę komparatywną w produkcji radioodbiorników? Oblicz koszt alternatywny wyprodukowania 10 dodatkowych ton gumy w Japonii i Malezji. Który kraj ma przewagę komparatywną w produkcji gumy? Czy w tym przykładzie każdy kraj ma przewagę absolutną i przewagę komparatywną w produkcji tego samego dobra? W produkcji którego dobra powinna specjalizować się Japonia? A Malezja? Przeanalizuj wartości liczbowe dla Kanady i Wenezueli z , która opisuje, ile baryłek ropy i m 3 drewna mogą wyprodukować pracownicy w obu krajach. Wykorzystaj je, aby odpowiedzieć na poniższe pytania. Narysuj krzywą możliwości produkcyjnych dla każdego kraju. Załóżmy, że w każdym kraju jest dostępnych 100 pracowników. Kanadyjczycy i Wenezuelczycy potrzebują zarówno ropy, jak i drewna. Kanadyjczycy chcą skonsumować co najmniej 2000 m 3 drewna. Zaznacz punkt na krzywej możliwości produkcyjnych, w którym mogą uzyskać co najmniej 3000 m 3 . Załóżmy, że Kanadyjczycy specjalizują się w pełni, ponieważ zorientowali się, że mają przewagę komparatywną w produkcji drewna. Są gotowi wyeksportować 1000 m3 drewna. Jakiej ceny wyrażonej w liczbie baryłek ropy powinni zażądać w zamian, aby wyjść na tym tak samo dobrze, jak w warunkach pełnej autarkii? A jaka powinna być cena, jeśli chcą zyskać na handlu z Wenezuelą? Czy kanadyjskie ceny, które wskazujesz w poprzednim podpunkcie, są również korzystne dla Wenezuelczyków? Wykorzystaj wykres krzywej możliwości produkcyjnych dla Wenezueli, aby pokazać, że Wenezuelczycy również mogą zyskać na handlu z Kanadą. Czy w może pojawić się cena, w przypadku której Wenezuelczycy mogą uznać handel z Kanadą za nieopłacalny? Uzasadnij swoją odpowiedź. References Bernstein, William J. A Splendid Exchange: How Trade Shaped the World . Atlantic Monthly Press. New York. 2008.", "section": "Co się stanie, gdy kraj ma przewagę absolutną w produkcji wszystkich dóbr?", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Handel wewnątrzgałęziowy między podobnymi gospodarkami Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować co najmniej dwie zalety handlu wewnątrzgałęziowego Wyjaśnić związek między korzyściami skali a handlem wewnątrzgałęziowym Koncepcja przewag absolutnych i komparatywnych pomaga zrozumieć kierunki globalnych przepływów dóbr i usług pomiędzy krajami. Na przykład dzięki znajomości obu pojęć łatwo wyjaśnić, dlaczego jesz świeże owoce z Chile lub Meksyku lub dlaczego regiony o niższej produktywności, takie jak Afryka i Ameryka Łacińska, są w stanie sprzedać znaczną część eksportowanych przez siebie dóbr do regionów o wyższej produktywności, takich jak Unia Europejska i Ameryka Północna. Jednak przewaga komparatywna, przynajmniej na pierwszy rzut oka, nie wydaje się szczególnie dobrze wyjaśniać innych mechanizmów powszechnie obserwowanych w handlu międzynarodowym. Wzrost skali handlu wewnątrzgałęziowego pomiędzy gospodarkami na podobnym poziomie rozwoju Teoria przewag komparatywnych mówi, że handel międzynarodowy powinien odbywać się pomiędzy gospodarkami, w których występują duże różnice w kosztach alternatywnych produkcji różnych dóbr. Tymczasem aż połowa całego światowego handlu obejmuje przepływy towarów pomiędzy dość podobnymi gospodarkami o relatywnie wysokim dochodzie, tj. Stanami Zjednoczonymi, Kanadą, Unią Europejską, Japonią, Meksykiem i Chinami (patrz ). Polska, która również klasyfikowana jest w tej samej grupie (zgodnie z danymi GUS za rok 2021) aż 86,4% wartości sprzedawanych za granicę dóbr i usług eksportuje do krajów rozwiniętych (w tym 75,1% do gospodarek UE), zaś importuje z krajów rozwiniętych 62,7% wartości kupowanych dóbr i usług (z krajów UE 54,1%). Największym partnerem handlowym Polski pozostają Niemcy. Eksport do tego kraju w 2021 r. osiągnął wartość blisko 83 mld euro, zaś wartość polskiego importu z Niemiec wyniosła 60,6 mld euro. (https://stat.gov.pl/files/gfx/portalinformacyjny/pl/defaultaktualnosci/5466/2/14/1/obroty_towarowe_handlu_zagranicznego_ogolem_i_wedlug_krajow_w_2021_r..pdf.) Struktura eksportu i importu USA (2015 r.) Kraj Odsetek eksportu z USA do danego kraju Odsetek importu z danego kraju do USA Unia Europejska 19,0 21,0 Kanada 22,0 14,0 Japonia 4,0 6,0 Meksyk 15,0 13,0 Chiny 8,0 20,0 (Źródło: https://www.census.gov/foreign-trade/Press-Release/current_press_release/ft900.pdf). Co więcej, koncepcja przewagi komparatywnej sugeruje, że każda gospodarka powinna w pewnym stopniu specjalizować się w produkcji określonych produktów, a następnie wymieniać te produkty na inne. Jednak duża część handlu zagranicznego to wymiana wewnątrzgałęziowa (ang. intra-industry trade ), czyli handel towarami w ramach tej samej gałęzi pomiędzy różnymi krajami. Na przykład Stany Zjednoczone samochody produkują i eksportują, a jednocześnie importują. przedstawia niektóre z największych kategorii eksportu i importu USA. We wszystkich tych kategoriach Stany Zjednoczone są zarówno znaczącym eksporterem, jak i importerem towarów. Według Bureau of Economic Analysis w 2014 r. USA wyeksportowały samochody o wartości 146 mld dol., a sprowadziły z zagranicy auta o wartości 327 mld dol. Około 60% handlu USA i 60% handlu europejskiego to wymiana wewnątrzgałęziowa. Wybrane kategorie eksportu i importu wewnątrzgałęziowego w USA w 2014 r. Wybrane dobra eksportowane z USA Wielkość eksportu (mld dol.) Wielkość importu (mld dol.) Samochody 146 327 Żywność i napoje 144 126 Dobra kapitałowe 550 551 Dobra konsumpcyjne 199 558 Dobra pośrednie 507 665 Pozostałe środki transportu 45 55 (Źródło: http://www.bea.gov/newsreleases/international/trade/tradnewsrelease.htm). Dlaczego podobne gospodarki o wysokich dochodach angażują się w handel wewnątrzgałęziowy? Jakie mogą być korzyści ekonomiczne z posiadania pracowników o dość podobnych umiejętnościach, wytwarzających samochody, komputery, maszyny i inne produkty, które są następnie wysyłane przez ocean z i do Stanów Zjednoczonych, Unii Europejskiej i Japonii? Istnieją dwa powody: (1) podział pracy, który prowadzi do uczenia się, innowacji i osiągania unikalnych umiejętności; oraz (2) korzyści skali. Korzyści ze specjalizacji i uczenia się Rozważmy kategorię „maszyny, urządzenia i sprzęt transportowy”, w ramach której gospodarka USA wykazuje wysoki poziom handlu wewnątrzgałęziowego. Istnieją różne rodzaje maszyn, a więc Stany Zjednoczone mogą eksportować maszyny do produkcji drewna, ale importować maszyny do obróbki fotograficznej. Podstawowy powód, dla którego kraj taki jak Stany Zjednoczone, Japonia czy Niemcy produkuje taki, a nie inny rodzaj maszyn, zwykle nie jest związany z amerykańskimi, niemieckimi lub japońskimi firmami i ich pracownikami, którzy ogólnie posiadają wyższy lub niższy poziom umiejętności. Po prostu, pracując nad bardzo specyficznymi i konkretnymi produktami, firmy w niektórych krajach rozwijają unikatowe umiejętności. Specjalizację w gospodarce światowej można zdefiniować niezwykle wąsko. W rzeczywistości w ostatnich latach obserwujemy trend w handlu międzynarodowym, który ekonomiści nazywają podziałem łańcucha tworzenia wartości (ang. splitting up the value chain ). Łańcuch tworzenia wartości (ang. value chain ) opisuje poszczególne etapy produkcji dobra. Jak wskazano na początku rozdziału, produkcja iPhone’a obejmuje zaprojektowanie telefonu w Stanach Zjednoczonych, dostarczenie podzespołów z Korei, montaż urządzenia w Chinach oraz reklamę i marketing w Stanach Zjednoczonych. W dużej mierze dzięki postępom poczynionym w technologii komunikacyjnej, wymianie informacji i transporcie łatwiej jest podzielić proces produkcyjny na etapy. Zamiast wytwarzania gotowego produktu od etapu surowców, takich jak stal, masy plastyczne czy guma, w jednej dużej fabryce, różne firmy działające w różnych miejscach, a nawet w różnych krajach, mogą podzielić pomiędzy siebie kolejne etapy procesu produkcyjnego. Ponieważ firmy dzielą pomiędzy siebie różne etapy łańcucha tworzenia wartości, handel międzynarodowy nie zawsze obejmuje gotowe produkty, takie jak samochody czy lodówki, które przemieszczają się pomiędzy poszczególnymi krajami. Często wiąże się on z wysyłką podzespołów lub części składających się na finalny produkt, takich jak, powiedzmy, deski rozdzielcze samochodów lub półki, które znajdują się w lodówkach, z jednej fabryki funkcjonującej w ramach międzynarodowego koncernu w kraju „A” do będącego własnością tego samego koncernu innego zakładu produkcyjnego w kraju „B”. Handel wewnątrzgałęziowy pomiędzy podobnymi państwami przynosi korzyści ekonomiczne, ponieważ pozwala pracownikom i firmom uczyć się i wprowadzać innowacje w zakresie określonych produktów – i często skupia się na bardzo wąsko definiowanych etapach łańcucha tworzenia wartości. Odwiedź tę stronę internetową, aby uzyskać interesujące informacje na temat montażu iPhone’a. Korzyści skali, konkurencja, różnicowanie produktów Drugim ważnym powodem, dla którego handel wewnątrzgałęziowy między podobnymi krajami przynosi korzyści ekonomiczne, są korzyści skali. Pojęcie korzyści skali (lub inaczej mówiąc, rosnących przychodów ze skali produkcji), które wprowadziliśmy w podrozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/6-wprowadzenie-do-rozdzialu , oznacza, że wraz ze wzrostem wolumenu produkcji przeciętne koszty produkcji spadają – przynajmniej do pewnego momentu. przedstawia korzyści skali dla zakładu produkującego tostery. Oś pozioma wykresu pokazuje wielkość produkcji danej firmy lub danego zakładu produkcyjnego. Oś pionowa – przeciętny koszt produkcji jednego tostera. Zakład produkcyjny S produkuje niewiele (30 jednostek) i osiąga przeciętny koszt produkcji jednego tostera równy 30 dol. Zakład M produkuje 50 tosterów i osiąga średni koszt produkcji tostera równy 20 dol. Zakład L produkuje 150 sztuk przy przeciętnym koszcie produkcji wynoszącym zaledwie 10 dol. Chociaż zakład V może wyprodukować 200 sztuk produktu, nadal uzyskuje taki sam koszt przeciętny jak zakład L. W tym przykładzie mały lub średni zakład, taki jak S lub M, nie będzie w stanie konkurować na rynku z producentem dużym lub bardzo dużym, takim jak L lub V, ponieważ firma, która zarządza zakładami L lub V, będzie w stanie produkować i sprzedawać swoje tostery po niższej cenie. W tym przykładzie korzyści skali działają do rozmiarów produkcji charakterystycznych dla zakładu L (150 sztuk), ale pomiędzy wolumenem produkcji fabryk L i V wzrost rozmiarów produkcji tosterów nie przekłada się na dalszy spadek przeciętnego kosztu produkcji. Korzyści skali Zakład produkcyjny S ma przeciętny koszt produkcji równy 30 dol. na toster. Zakład M wytwarza tostery po koszcie 20 dol. na sztukę. Zakład L ma przeciętny koszt produkcji jedynie 10 dol. na toster. Zakład V nadal produkuje po koszcie 10 dol. na toster. Tak więc zakład M może wytwarzać tostery taniej niż zakład S ze względu na korzyści skali (rosnące przychody ze skali produkcji), a zakłady L lub V mogą wytwarzać taniej niż S lub M ze względu na korzyści skali. Jednak korzyści skali wyczerpują się przy poziomie produkcji równym 150. Zakład V, mimo że jest większy, nie może produkować tosterów taniej niż zakład L. Koncepcja korzyści skali staje się szczególnie istotna w przypadku handlu międzynarodowego, gdy umożliwia jednemu lub dwóm dużym producentom zaopatrywanie całego kraju. Na przykład jedna duża fabryka samochodów mogłaby, korzystając z rosnących przychodów ze skali produkcji, zaspokoić cały popyt na nowe auta w gospodarkach o rozmiarach Belgii, Polski lub nawet Wielkiej Brytanii. Jeśli jednak w danym kraju znajduje się tylko jedna lub dwie duże fabryki produkujące samochody, a nie występuje handel międzynarodowy, konsumenci w tym kraju mają stosunkowo niewielki wybór między rodzajami aut (pomijając kolor lakieru i inne nieistotne opcje). Pomiędzy różnymi producentami samochodów będzie występować niewielka lub żadna konkurencja, a to prosta droga do obniżania jakości i wzrostu cen. Handel międzynarodowy stanowi sposób na połączenie niższych przeciętnych kosztów produkcji, które wynikają z korzyści skali, przy jednoczesnej silniejszej konkurencji, która prowadzi do niższych cen i większej różnorodności produktów dla konsumentów. Duże fabryki samochodów w różnych krajach mogą wytwarzać i sprzedawać swoje wyroby na całym świecie. Gdyby General Motors, Ford i Chrysler byli jedynymi graczami na amerykańskim rynku samochodowym, poziom konkurencji i wybór konsumentów byłyby znacznie mniejsze niż wtedy, gdy producenci z USA muszą stawić czoło konkurencji ze strony Toyoty, Hondy, Suzuki, Fiata, Mitsubishi, Nissana, Volkswagena, Hyundaia, BMW, Mercedesa i innych. Większa konkurencja niesie ze sobą innowacyjność i szybką reakcję na to, czego chcą konsumenci. Amerykańscy producenci samochodów wytwarzają teraz znacznie lepsze auta niż kilkadziesiąt lat temu, a główną przyczyną tego stanu rzeczy jest presja konkurencyjna, zwłaszcza ze strony firm z Azji Wschodniej i Europy. Dynamiczna przewaga komparatywna Źródła korzyści płynących z handlu wewnątrzgałęziowego pomiędzy podobnymi gospodarkami – a mianowicie uczenie się wynikające z korzyści skali, wysokiego stopnia specjalizacji i podziału łańcucha wartości – nie są sprzeczne z wcześniejszą teorią przewagi komparatywnej. Po prostu poszerzają tę koncepcję. W handlu wewnątrzgałęziowym klimat czy geografia nie określają poziomu produktywności pracowników. Nie determinuje go nawet ogólny poziom wykształcenia czy umiejętności. Przesądza o tym sposób, w jaki firmy angażują się w proces uczenia się coraz wydajniejszych sposobów produkcji specjalistycznych wyrobów, w tym korzystania z rosnących przychodów ze skali produkcji. W tej wizji przewaga komparatywna może być dynamiczna, to znaczy ewoluować i zmieniać się w czasie, gdy ktoś rozwija nowe umiejętności i gdy producenci dzielą łańcuch tworzenia wartości w nowy sposób. Ten tok myślenia sugeruje również, że kraje nie uzyskują żadnej przewagi komparatywnej na zawsze i muszą być elastyczne w reagowaniu na zmiany zachodzące w światowych procesach gospodarczych. Key Concepts and Summary Duża część światowego handlu odbywa się pomiędzy gospodarkami o wysokich dochodach, które są do siebie dość podobne pod względem poziomu wykształcenia pracowników i zaawansowania technologicznego. Kraje te praktykują handel wewnątrzgałęziowy, w ramach którego jednocześnie importują i eksportują te same produkty, takie jak samochody, maszyny i komputery. W przypadku handlu wewnątrzgałęziowego występującego pomiędzy gospodarkami o podobnych poziomach dochodów źródłem zysków są specjalizacja w zakresie bardzo konkretnych zadań oraz korzyści skali. Podział łańcucha wartości oznacza, że kilka etapów w ramach procesu produkcji konkretnego towaru odbywa się w różnych krajach na całym świecie. Self-Check Questions W jaki sposób kraj może czerpać korzyści ekonomiczne zarówno z importu, jak i eksportu tego samego dobra, np. samochodów? Istnieje wiele możliwych zalet handlu wewnątrzgałęziowego pomiędzy dwoma państwami. Obie gospodarki mogą skorzystać z silnej specjalizacji i efektów uczenia się przy produkcji niektórych rodzajów samochodów o określonych cechach, takich jak samochody o niskim zużyciu paliwa, samochody luksusowe, samochody sportowe, samochody dostawcze itd. Co więcej, kraje mogą skorzystać z rosnących przychodów ze skali produkcji, dzięki czemu duże firmy będą konkurować ze sobą, zapewniając klientom korzyści wynikające z rywalizacji i różnorodności. Ten sam argument dotyczy handlu między stanami USA, gdzie obywatele często kupują wyroby wykonane przez pracowników z innych stanów, mimo że podobny produkt jest wytwarzany w granicach ich stanu. Wszystkie państwa mogą czerpać korzyści z tego rodzaju konkurencji i handlu. pokazuje, jak zmieniają się przeciętne koszty produkcji półprzewodników („chipów” w pamięciach komputerów) wraz ze wzrostem skali ich produkcji w hipotetycznej fabryce. Na podstawie tych danych naszkicuj wykres przestawiający przeciętny koszt produkcji półprzewodników. W jaki sposób wykreślona przez ciebie krzywa ilustruje korzyści skali? Jeśli wymagana liczba półprzewodników w stanie równowagi wynosi 90 tys., czy ta gospodarka może w pełni wykorzystać korzyści skali? A jeśli wymagana liczba to 70 tys. półprzewodników? 50 tys. półprzewodników? 30 tys. półprzewodników? Wyjaśnij, w jaki sposób handel międzynarodowy umożliwia nawet małej gospodarce pełne wyzyskanie korzyści skali przy jednoczesnym korzystaniu z konkurencji i różnorodności wyrobów oferowanych przez kilku producentów. Liczba półprzewodników Przeciętny koszt całkowity (dol. za sztukę) 10 000 8 20 000 5 30 000 3 40 000 2 100 000 2 Zacznij od wykreślenia punktów na diagramie, a następnie połącz je linią. Poniższy wykres ilustruje średnie koszty produkcji półprzewodników. Krzywa ilustruje korzyści skali, pokazując, że wraz ze wzrostem wolumenu produkcji – to znaczy wzrostem produkcji w tej konkretnej fabryce – średni koszt spada. Korzyści skali istnieją do poziomu produkcji równego 40 tys. półprzewodników; przy wyższej produkcji średni koszt produkcji już się nie zmniejsza. Przy każdej wielkości popytu powyżej 40 tys. gospodarka ta może w pełni wykorzystać korzyści skali. Oznacza to, że jest w stanie produkować po najniższym koszcie jednostkowym. Rzeczywiście, jeśli wielkość popytu byłaby dość wysoka, np. 500 tys., wówczas mogłoby istnieć wiele różnych fabryk, a wszystkie w pełni korzystałyby z korzyści skali i konkurowały ze sobą. Jeśli wielkość popytu spadnie poniżej 40 tys., to sama gospodarka, bez handlu zagranicznego, nie jest w stanie w pełni wykorzystać korzyści skali. Najprostszą odpowiedzią na to pytanie jest spostrzeżenie, że mały kraj mógłby mieć wystarczająco dużą fabrykę, aby w pełni wykorzystać korzyści skali, a następnie eksportować większość produkcji. W przypadku półprzewodników do tego opisu pasują kraje takie jak Tajwan i Korea Południowa. Co więcej, kraj ten mógłby również importować półprzewodniki z innych państw, które również mają duże fabryki, czerpiąc w ten sposób korzyści z konkurencji i różnorodności. Nieco bardziej złożoną kwestią jest spostrzeżenie, że państwo może wykorzystywać korzyści skali, nie produkując półprzewodników, ale po prostu kupując je, wykonane po niskich kosztach, na całym świecie. Gospodarka, zwłaszcza małego kraju, może się wyspecjalizować i produkować kilka dóbr na naprawdę gigantyczną skalę, a następnie wymieniać je na inne wyroby wytwarzane masowo w innych państwach. Review Questions Czym jest handel wewnątrzgałęziowy? Jakie są dwa główne źródła korzyści ekonomicznych płynących z handlu wewnątrzgałęziowego? Co oznacza podział łańcucha tworzenia wartości? Critical Thinking Questions Czy handel wewnątrzgałęziowy jest sprzeczny z teorią przewag komparatywnych? Czy konsumenci odnoszą korzyści z handlu wewnątrzgałęziowego? Dlaczego handel wewnątrzgałęziowy może wydawać się zaskakujący z punktu widzenia przewagi komparatywnej? Problems Dzięki lekturze poprzednich rozdziałów podręcznika, jak również kursowi mikroekonomii wiesz już, że zmiany technologiczne przesuwają krzywe średniego kosztu. Narysuj wykres pokazujący, jak zmiany technologiczne mogą wpłynąć na handel wewnątrzgałęziowy. Weźmy pod uwagę dwa kraje: Koreę Południową i Tajwan. Tajwan może wyprodukować milion telefonów komórkowych dziennie przy cenie 10 dol. za sztukę, a Korea Południowa dziennie może wytworzyć 50 mln telefonów komórkowych po 5 dol. za sztukę. Załóżmy, że telefony są tego samego typu i jakości, a cena jest jedna. Jaka jest minimalna cena, po której oba kraje będą prowadzić handel? References U.S. Census Bureau. 2015. “U.S. International Trade in Goods and Services: December 2014.” Accessed April 13, 2015. http://www.bea.gov/newsreleases/international/trade/2015/pdf/trad1214.pdf. U.S. Census Bureau. U.S. Bureau of Economic Analysis. 2015. “U.S. International Trade in Goods and Services February 2015.” Accessed April 10, 2015. https://www.census.gov/foreign-trade/Press-Release/current_press_release/ft900.pdf. Vernengo, Matias. “What Do Undergraduates Really Need to Know About Trade and Finance?” in Political Economy and Contemporary Capitalism: Radical Perspectives on Economic Theory and Policy , ed. Ron Baiman, Heather Boushey, and Dawn Saunders. M. E. Sharpe Inc, 2000. Armonk. 177-183. handel wewnątrzgałęziowy (ang. intra-industry trade ) międzynarodowy handel towarami w ramach tej samej gałęzi przemysłu podział łańcucha tworzenia wartości (ang. splitting up the value chain ) sytuacja, w której wiele różnych etapów produkcji tego samego dobra odbywa się w zakładach przemysłowych zlokalizowanych w różnych krajach łańcuch produkcji zob. łańcuch tworzenia wartości łańcuch dostaw zob. łańcuch tworzenia wartości łańcuch tworzenia wartości (ang. value chain ) podzielony na etapy proces produkcyjny konkretnego produktu, od pozyskiwania surowców po sprzedaż detaliczną, reklamę i inne działania marketingowe", "section": "Handel wewnątrzgałęziowy między podobnymi gospodarkami", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Korzyści z ograniczenia barier w handlu międzynarodowym Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, dlaczego cła stanowią bariery w handlu zagranicznym Określić co najmniej dwie korzyści wynikające z ograniczania barier w handlu międzynarodowym Cła ( tariffs ) to opłaty (parapodatki), które państwa nakładają z różnych powodów na towary importowane. Niektóre z tych powodów obejmują ochronę wrażliwych branż (pozostających na wczesnym etapie rozwoju, związanych z bezpieczeństwem narodowym lub najbardziej zagrożonych konkurencją z importu), względy społeczne (ochrona środowiska naturalnego i rynków pracy) oraz walkę z dumpingiem, który bywa bardzo różnie definiowany, ale najczęściej jest rozumiany jako sprzedaż dóbr i usług po cenach niższych niż koszty wytworzenia. Tradycyjnie cła były używane po prostu jako narzędzie polityczne do ochrony interesów gospodarczych, społecznych i kulturalnych. Światowa Organizacja Handlu ( World Trade Organization , WTO ) jest zaangażowana w ograniczanie barier w handlu. Przedstawiciele różnych krajów spotykają się na forum WTO, aby negocjować zmniejszanie barier w handlu, takich jak cła. Negocjacje WTO odbywają się w „rundach”, w których wszystkie kraje negocjują jedną umowę mającą zwiększyć obroty handlowe, robią sobie rok lub dwa przerwy, a następnie zaczynają negocjować nową umowę. Obecna runda negocjacji nosi nazwę Rundy z Dohy, ponieważ została oficjalnie rozpoczęta w Dosze, stolicy Kataru, w listopadzie 2001 r. W 2009 r. ekonomiści Banku Światowego podsumowali ostatnie badania i stwierdzili, że Runda z Dohy zwiększy wielkość światowej produkcji dóbr i usług od 160 mld do 385 mld dol. rocznie, w zależności od dokładnych warunków umowy, które ostatecznie zostaną wynegocjowane. W zestawieniu z rozmiarami światowej gospodarki, która wytwarza obecnie produkty o wartości ponad 30 bln dol. rocznie, kwota ta może nie robić szczególnego wrażenia: jest to wzrost o 1% lub mniej. Ale zanim zbagatelizujesz te korzyści z handlu, pomyśl o dwóch kwestiach. Po pierwsze, korzyść w wysokości kilkuset miliardów dolarów jest wystarczająco duża, by zasługiwała na uwagę! Co więcej, pamiętaj, że wzrost ten nie jest jednorazowym wydarzeniem; utrzymywałaby się corocznie w przyszłości. Po drugie, szacunki korzyści mogą być zaniżone, ponieważ niektóre z nich nie są szczególnie dobrze mierzone w statystykach gospodarczych. Na przykład trudno jest zmierzyć potencjalne korzyści dla konsumentów wynikające z dostępności różnorodnych produktów i większego stopnia konkurencji między producentami. Być może najważniejszą niemierzalną korzyścią z wolnego handlu jest to, że wymiana towarowa pomiędzy krajami, zwłaszcza gdy firmy dzielą łańcuch wartości produkcji, często wiąże się z transferem wiedzy, który może obejmować umiejętności w zakresie produkcji, technologii, zarządzania, finansów i prawa. Kraje o niskich dochodach czerpią większe korzyści z handlu niż te o wysokich dochodach. Pod pewnymi względami dla gigantycznej gospodarki USA handel międzynarodowy jest już mniej ważny, ponieważ jej rynek wewnętrzny może okazać się wystarczający. Jednak wiele mniejszych gospodarek na całym świecie, w regionach takich jak Ameryka Łacińska, Afryka, Bliski Wschód i Azja, ma znacznie bardziej ograniczone możliwości handlu w ramach swojego terytorium lub w jego najbliższym regionie. Bez handlu międzynarodowego mogą mieć niewielkie możliwości czerpania korzyści z przewagi komparatywnej, specjalizacji w ramach globalnych łańcuchów tworzenia wartości lub korzyści skali. Co więcej, w mniejszych gospodarkach funkcjonuje mniej konkurencyjnych firm wytwarzających dobra i usługi, a zatem przedsiębiorstwa doświadczają słabszej presji, aby dostarczać towary i oferować ceny, które akceptują konsumenci. Korzyści gospodarcze z rozwoju handlu międzynarodowego są mierzone w setkach miliardów dolarów, a zyski z handlu międzynarodowego jako całości prawdopodobnie sięgają nawet bilionów dolarów. Potencjał zysków z handlu zagranicznego może być szczególnie wysoki w wypadku mniejszych krajów świata o niższym poziomie dochodów. Odwiedź tę stronę internetową, aby zapoznać się z listą niektórych korzyści płynących z handlu. Od handlu pomiędzy jednostkami do handlu międzynarodowego Większość ludzi jest w stanie uwierzyć, że osobiście nie byłoby im lepiej, gdyby próbowali hodować i uprawiać całą swoją żywność, wytwarzać własne ubrania, budować od podstaw własne samochody i domy itd. Wszyscy czerpiemy bowiem korzyści z życia w gospodarkach, w których ludzie i firmy mogą się specjalizować i handlować ze sobą. Korzyści płynące z handlu nie kończą się jednak na granicach państw. Wcześniej wyjaśniliśmy, że podział pracy może zwiększyć produkcję z trzech powodów: (1) pracownicy o różnych cechach mogą specjalizować się w rodzajach produkcji, w których mają przewagę komparatywną; (2) firmy i pracownicy, którzy specjalizują się w określonej produkcji, stają się bardziej produktywni dzięki nauce i doświadczeniu; oraz (3) pozwala wykorzystywać wzrost przychodów wynikający ze skali produkcji (korzyści skali). Te trzy powody występują od poziomu jednostki i kraju aż po poziom międzynarodowy. Jeśli zgadzasz się co do tego, że handel pomiędzy jednostkami i przedsiębiorstwami działającymi w jednym kraju jest ekonomicznie korzystny, powinno być dla ciebie zrozumiałe również to, że handel międzynarodowy przynosi analogiczne korzyści. Handel międzynarodowy obejmuje obecnie towary i usługi o wartości ok. 20 bln dol. przemieszczające się po całym świecie. Niezależnie od tego, jakie są globalne korzyści osiągane dzięki temu strumieniowi, handel zagraniczny z pewnością powoduje pewne zakłócenia w funkcjonowaniu rynków (pracy!) i wywołuje lokalne kontrowersje. W tym rozdziale przedstawiono jedynie argumenty uzasadniające tezę, iż handel międzynarodowy przynosi korzyści ekonomiczne wszystkim zaangażowanym weń krajom. W innych rozdziałach niniejszego podręcznika szczegółowo omówiono argumenty przemawiające za wprowadzaniem polityk publicznych ograniczających skalę handlu zagranicznego. To w końcu czyj jest ten iPhone? Apple wykorzystuje globalny łańcuch tworzenia wartości do produkcji iPhone’a. Teraz, gdy rozumiesz pojęcie przewagi komparatywnej, możesz łatwo pojąć, dlaczego proces projektowania iPhone’a odbywa się w USA. Stany Zjednoczone zbudowały przez lata przewagę komparatywną w dziedzinie projektowania i marketingu najnowocześniejszych wyrobów takich jak smartfony, dzięki czemu poświęcają mniej zasobów na projektowanie zaawansowanych technologicznie urządzeń w porównaniu z innymi krajami. Chiny mają przewagę komparatywną w zakresie montażu smartfonów, ze względu na bardzo duże zasoby wykwalifikowanej siły roboczej. Korea Południowa ma przewagę komparatywną w produkcji komponentów wykorzystywanych przy produkcji smartfonów. Korea koncentruje swoją produkcję, zwiększając jej skalę, ucząc się lepszych sposobów wytwarzania ekranów i mikroprocesorów komputerowych oraz wykorzystując innowacje, aby obniżyć średnie koszty produkcji. Apple z kolei czerpie korzyści, ponieważ może kupować te wysokiej jakości podzespoły po niższych cenach. Teraz zbuduj globalną „linię montażową” i otrzymasz urządzenie, które wszyscy znamy. Key Concepts and Summary Cła są nakładane na towary importowane w celu ochrony wrażliwych gałęzi przemysłu, ze względów społecznych (ochrona środowiska i rynków pracy) oraz z powodu walki z dumpingiem. Cła są również dość często narzędziem ochrony interesów pewnych wybranych grup producentów (UE chroni w ten sposób rodzime rolnictwo i przemysł motoryzacyjny). Tradycyjnie cła były wykorzystywane jako narzędzie polityczne do ochrony pewnych żywotnych interesów gospodarczych, społecznych i kulturalnych. WTO była i nadal jest forum spotkań krajów tworzących światową gospodarkę służącym negocjacjom, które mają prowadzić do zmniejszania barier (celnych i pozacelnych) w handlu. Korzyści z handlu międzynarodowego są bardzo duże, zwłaszcza dla mniejszych państw o niskich i średnich dochodach, ale dotyczą wszystkich gospodarek zaangażowanych w wymianę handlową. Self-Check Question Jeśli usunięcie barier handlowych jest tak korzystne dla międzynarodowego wzrostu gospodarczego, dlaczego kraj miałby nadal ograniczać handel niektórymi importowanymi lub eksportowanymi produktami? Kraj może ograniczyć handel importowanymi produktami, aby chronić własny przemysł, który jest ważny dla bezpieczeństwa narodowego. Na przykład państwa X i kraj Y mogą być rywalami geopolitycznymi, z których każdy ma ambicje zwiększenia siły politycznej i ekonomicznej. Nawet jeśli kraj Y dysponuje przewagą komparatywną w produkcji systemów obrony przeciwrakietowej, jest mało prawdopodobne, aby chciał eksportować te towary do kraju X. Czasami zdarza się i tak, że w przypadku niektórych państw produkcja określonego towaru jest kluczowym składnikiem tożsamości narodowej. W Japonii produkcja ryżu ma bardzo duże znaczenie kulturowe. Japonia może mieć trudności z importem ryżu z kraju takiego jak Wietnam, nawet jeśli Wietnam ma przewagę komparatywną (a zapewne i absolutną) w produkcji ryżu. Review Question Czy twoim zdaniem zyski z handlu międzynarodowego będą relatywnie ważniejsze dla dużych czy małych krajów? Critical Thinking Questions Jak myślisz, za czym lobbują kraje o niskich dochodach na spotkaniach Światowej Organizacji Handlu? Dlaczego kraj o niskich dochodach chciałby stosować bariery handlowe takie jak cła nakładane na import? Czy obszar przewagi komparatywnej danego kraju może się z czasem zmienić? Jakie czynniki mogłyby sprawić, że taka sytuacja wystąpiłaby w rzeczywistości? Problems Jeśli handel zagraniczny zwiększa światowy PKB o 1% rocznie, to jaki jest globalny wpływ tego wzrostu na rozmiary światowej gospodarki w perspektywie 10 lat? Jak ten wzrost ma się do rozmiarów rocznego PKB kraju takiego jak np. Sri Lanka? Przedyskutuj te relacje. Wskazówka: Oto kroki, które warto rozważyć, aby odpowiedzieć na postawione pytanie. Przejdź do bazy World Development Indicators (online) opublikowanych przez Bank Światowy. Znajdź aktualny poziom światowego PKB w dolarach międzynarodowych. Znajdź także PKB Sri Lanki w dolarach międzynarodowych. Po uzyskaniu tych dwóch wartości oblicz kwotę dodatkowego wzrostu światowych dochodów z tytułu handlu i porównaj tę liczbę z PKB Sri Lanki. References World Trade Organization. “The Doha Round.” Accessed October 2013. http://www.wto.org/english/tratop_e/dda_e/dda_e.htm. The World Bank. “Data: World Development Indicators.” Accessed October 2013. http://data.worldbank.org/data-catalog/world-development-indicators. cła (ang. tarffs ) opłaty (parapodatki), które państwa nakładają na importowane towary", "section": "Korzyści z ograniczenia barier w handlu międzynarodowym", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Konkurencja w produkcji płaskich ekranów Rynek płaskich wyświetlaczy w Stanach Zjednoczonych jest ogromny. Tamtejsi wytwórcy muszą konkurować z producentami z całego świata. (Źródło: modyfikacja pracy „Jemimus”/Flickr Creative Commons). Jakie są wady protekcjonizmu? Rządy ingerują w rynkową alokację dochodów, dóbr i usług oraz majątku dla osiągnięcia celów politycznych lub społecznych. Chociaż władze mogą ograniczyć wzrost cen niektórych produktów, nie są w stanie kontrolować tego, ile ludzie chcą kupować, ani wolumenu produkcji przedsiębiorstw. Nawet na rynkach poddanych kontroli w dalszym ciągu obowiązywać będą prawa popytu i podaży. Polityka handlowa może wprawdzie ograniczyć zakres i miejsce oddziaływania mechanizmów ekonomicznych, jednak osłabiane w jednym miejscu, dadzą o sobie znać w innym. Przykładem działania takiego mechanizmu jest produkcja i sprzedaż monitorów komputerowych, wyświetlaczy do laptopów, tabletów i telewizorów. Na początku lat 90. ub. wieku zdecydowana większość płaskich wyświetlaczy stosowanych w laptopach produkowanych w USA była importowana, głównie z Japonii. Niewielki, ale politycznie wpływowy amerykański przemysł płaskich wyświetlaczy poskarżył się w Departamencie Handlu na dumping obcych firm. Przedstawiciele amerykańskich przedsiębiorstw argumentowali wówczas, że Japończycy sprzedają wyświetlacze „poniżej wartości godziwej”, co utrudnia konkurowanie firmom z USA. Ten powód ochrony krajowego rynku jest zazwyczaj nazywany działaniem antydumpingowym. Inne argumenty przywołane przez amerykańskich producentów odwoływały się do kwestii bezpieczeństwa narodowego. Po wstępnym dochodzeniu przeprowadzonym przez Departament Handlu, którego efektem była konstatacja, że japońskie firmy faktycznie dumping stosowały, Komisja Handlu Międzynarodowego Stanów Zjednoczonych nałożyła 63-procentowe cło antydumpingowe (które można również uznać za swoisty parapodatek) na import płaskich wyświetlaczy z Japonii. Czy było to dla USA korzystne posunięcie? Przemyśl to i sprawdź, czy pod wpływem lektury niniejszego rozdziału twoje poglądy nie ulegną zmianie. Wprowadzenie do tematu globalizacji i protekcjonizmu Dzięki lekturze tego rozdziału dowiesz się: Dlaczego protekcjonizm może być uznany za rodzaj subwencji, jaką konsumenci danego dobra przekazują jego producentom W jaki sposób handel międzynarodowy wpływa na liczbę miejsc pracy, wysokość płac oraz warunki pracy Jakie argumenty mogą uzasadniać ograniczenia importu W jaki sposób polityka handlowa jest wdrażana na szczeblu globalnym, regionalnym i krajowym Z jakimi wyborami typu „coś za coś” mamy do czynienia w przypadku polityki handlowej Począwszy od drugiej połowy XX w. świat stał się znacznie bardziej zintegrowany, zwłaszcza pod względem ekonomicznym. W 1970 r. import i eksport stanowiły 11% PKB USA, podczas gdy obecnie jest to już 32%. Jednak Stany Zjednoczone, ze względu na rozmiary swojej gospodarki, są mniej uzależnione od handlu zagranicznego niż większość rozwiniętych państw świata. Na przykład według Banku Światowego 97% działalności gospodarczej Botswany jest związane z handlem zagranicznym (podobnie wysoki udział charakteryzuje gospodarkę Słowacji, która jest największym na świecie producentem samochodów per capita ). W tym rozdziale omówimy politykę handlową – prawa i strategie stosowane przez państwa do regulowania handlu międzynarodowego. Temat ten nie jest pozbawiony kontrowersji. Ponieważ gospodarka światowa podlega daleko idącej globalizacji, firmy i pracownicy w krajach o wysokich dochodach, takich jak Stany Zjednoczone, Japonia lub członkowie Unii Europejskiej, dostrzegają zagrożenie konkurencyjne ze strony firm z państw o średnich dochodach, takich jak Meksyk, Chiny czy Południowa Afryka, które mają niższe koszty życia, dlatego wypłacają swoim pracownikom niższe wynagrodzenia. Firmy i zatrudnieni w krajach o niskich dochodach niepokoją się z kolei, że ucierpią, jeśli będą musieli konkurować z bardziej produktywnymi pracownikami i zaawansowaną technologią, jaką dysponują gospodarki o wysokich dochodach. Z drugiej strony niektórzy ekolodzy obawiają się, że międzynarodowe firmy mogą ominąć przepisy dotyczące ochrony środowiska, przenosząc produkcję do państw, w których normy zanieczyszczeń są znacznie mniej restrykcyjne lub po prostu nie istnieją, co wprawdzie poprawi stan powietrza, wód i gleby w krajach rozwiniętych, za to drastycznie zmniejszy w nich liczbę miejsc pracy. Niektórzy politycy wyrażają obawy, że ich kraj może stać się nadmiernie zależny od importu kluczowych surowców, takich jak ropa naftowa, gaz ziemny czy metale ziem rzadkich, co w wypadku konfliktu zbrojnego może zagrozić bezpieczeństwu narodowemu. Wszystkie te wątpliwości skłaniają rządy do formułowania strategii politycznych polegających na ochronie zarówno bezpieczeństwa narodowego, jak i miejsc pracy, a tym samym dochodów ludności. Strategie te, mimo górnolotnego zazwyczaj brzmienia konkretnych przepisów w nich zawartych, sprowadzają się po prostu do ograniczenia importu. W niniejszym rozdziale przeanalizowano argumenty najczęściej przywoływane na obronę takiego sposoby postępowania. Najpierw jednak musimy zapoznać się z kilkoma kluczowymi pojęciami z obszaru polityki handlowej i zrozumieć, w jaki sposób model popytu i podaży odnosi się do handlu międzynarodowego.", "section": "Wprowadzenie do rozdziału", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Protekcjonizm: pośrednia subwencja od konsumentów dla producentów Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, czym jest protekcjonizm i jakie są jego trzy główne formy Przeanalizować protekcjonizm, wykorzystując modele popytu i podaży, z uwzględnieniem jego wpływu na równowagę makroekonomiczną Oszacować skutki funkcjonowania barier handlowych Kiedy rząd ustanawia przepisy mające na celu ograniczenie lub blokowanie handlu międzynarodowego, angażuje się w działania nazywane protekcjonizmem (ang. protectionism ). Polityka protekcjonistyczna najczęściej ma na celu ochronę krajowych producentów i pracowników przed zagraniczną konkurencją. Przybiera ona trzy główne formy: ceł, ograniczeń ilościowych importu (kwot importowych) oraz barier pozataryfowych. Przypomnij sobie z , że cła (ang. tariffs ) to opłaty (parapodatki) nakładane przez rządy na importowane towary i usługi. Dzięki nim import jest droższy dla konsumentów, co zniechęca ich do zakupu towarów z zagranicy. Na przykład w ostatnich latach duże telewizory z płaskim ekranem importowane do USA z Chin podlegały pięcioprocentowej stawce celnej. Innym sposobem kontrolowania handlu są kwoty importowe (ang. import quotas ), które są ilościowymi ograniczeniami nakładanymi na towary wwożone do danego kraju z zagranicy. Na przykład we wczesnych latach 80. XX w. administracja prezydenta R. Reagana nałożyła ograniczenia ilościowe na import japońskich samochodów. W latach 70. w wielu krajach rozwiniętych głęboki kryzys dotknął przemysł lekki. Produkcja tekstyliów nie wymaga wysoko wykwalifikowanych pracowników, dzięki czemu producenci mogli zakładać tańsze fabryki w krajach rozwijających się. Aby „zarządzać” utratą miejsc pracy i dochodów, państwa rozwinięte ustanowiły międzynarodową umowę handlową, tzw. Porozumienie Wielowłóknowe (ang. Multifiber Agreement ), która zasadniczo podzieliła rynek tekstyliów w krajach rozwiniętych pomiędzy importerów i nielicznych wciąż działających krajowych wytwórców. Porozumienie, które obowiązywało od 1974 do 2004 r., określało dokładną kwotę (kontyngent) importu tekstyliów z każdego kraju o niskich dochodach, którą każdy rozwinięty kraj zaakceptuje. Podobna sytuacja ma miejsce w przypadku importu do Stanów Zjednoczonych cukru, nadal podlegającego kontyngentom. Bariery pozataryfowe (ang. non-tariff barriers ) to zbiór metod, za pomocą których kraj może tworzyć zasady, przepisy, inspekcje i dokumenty służące temu, aby import był droższy lub trudniejszy; do metod tych należą wspomniane wcześniej kwoty importowe oraz np. subwencje. Przepis wymagający pewnych norm bezpieczeństwa może ograniczać import tak samo skutecznie, jak np. wysokie cła lub niskie kwoty importowe. Istnieją również bariery pozataryfowe w postaci przepisów określających tzw. reguły pochodzenia. Zasady te obejmują m.in. etykietę „Wyprodukowano w kraju X” jako tym, w którym miała miejsce ostatnia istotna zmiana cech danego produktu. Producent chcący ominąć ograniczenia importowe może próbować zmienić proces produkcyjny tak, aby ostatnie istotne przekształcenie danego dobra miało miejsce w jego kraju. Na przykład w przypadku niektórych tekstyliów proces produkcji rozpoczyna się w USA, następnie częściowo przetworzone produkty są wysyłane do innych państw, tam dalej przetwarzane i łączone z tekstyliami wyprodukowanymi w tych innych krajach, a następnie ponownie eksportowane do Stanów Zjednoczonych w celu ostatecznego zamknięcia procesu produkcji, aby uniknąć płacenia ceł lub aby uzyskać etykietę „Wyprodukowano w USA”. Mimo stosowania kwot importowych, ceł i innych barier pozataryfowych udział importowanej odzieży sprzedawanej w Stanach Zjednoczonych wzrósł z ok. 50% w 1999 r. do mniej więcej 75% obecnie. Amerykańskie Biuro Statystyki Pracy oszacowało, że liczba miejsc pracy w USA w branży tekstylnej i odzieżowej zmniejszyła się z 666 tys. w roku 2007 do 385 tys. w 2012, co stanowi spadek o 42%. Jednak gdyby w USA nie wprowadzono ceł, spadek byłby z pewnością jeszcze głębszy. Niemniej ochrona krajowych miejsc pracy za pomocą kwot importowych ma swoją cenę: protekcjonizm branży tekstylnej i odzieżowej zwiększa koszty importu, więc konsumenci co roku płacą miliony dolarów więcej płacą za kupowaną odzież. Kiedy dany kraj eliminuje bariery handlowe w jednej gałęzi, konsumenci wydają zaoszczędzone dzięki temu pieniądze na inne dobra i usługi. O ile zatem zniesienie barier handlowych w jednej branży prawdopodobnie spowoduje utratę części jej miejsc pracy, powstałe oszczędności konsumenci wydadzą w innych sektorach, a tym samym zwiększą liczbę miejsc pracy, jakich one potrzebują. Oczywiście, gdyby Stany Zjednoczone zmniejszyły swoje bariery w handlu tekstyliami, pracownicy w niektórych najbiedniejszych krajach świata, którzy znaleźliby zatrudnienie przy produkcji ubrań, znacznie poprawiliby swój standard życia. To powiedziawszy, przechodzimy do stwierdzenia, że istnieją dobre powody, aby do zmniejszania barier w handlu podchodzić ostrożnie. Pożary w fabrykach tekstyliów w Bangladeszu, które w latach 2012 i 2013 przyniosły straszliwą liczbę ofiar, są istotnym elementem tego równania. Zdając sobie sprawę z konieczności zawarcia kompromisu pomiędzy krajami w dziedzinie polityki handlowej, wiele państw w 1947 r. powołało Układ Ogólny w sprawie Taryf Celnych i Handlu (GATT), który omówimy bardziej szczegółowo w dalszej części rozdziału. Porozumienie to zostało od tego czasu zastąpione przez Światową Organizację Handlu (ang. World Trade Organization – WTO ), do której należy ok. 150 krajów, wytwarzających zdecydowaną większość globalnego PKB. Jest to podstawowy mechanizm międzynarodowy, za pomocą którego narody negocjują swoje zasady handlowe – w tym zasady dotyczące ceł, kwot importowych i barier pozataryfowych. W kolejnej części podrozdziału przeanalizujemy skutki takiego protekcjonizmu i przedstawimy prosty model pokazujący wpływ polityki handlowej na rynki. Analiza popytu i podaży w kontekście protekcjonizmu Dla nieekonomistów ograniczanie importu może wydawać się jedynie przesuwaniem obrotów na korzyść producentów krajowych, czyli zmniejszaniem przychodów importerów. Jednak taki sposób myślenia jest zbytnim uproszczeniem, przedsiębiorstwa bowiem nie działają w próżni. Firmy sprzedają swoje produkty konsumentom lub innym firmom (jeśli są dostawcami komponentów i półproduktów), których bariery handlowe również dotyczą. Analiza popytu i podaży w kontekście protekcjonizmu pokazuje, że nie jest to tylko kwestia dodatkowych krajowych zysków i zagranicznych strat, ale także polityka, która generuje powstanie znacznych kosztów wewnętrznych. Przyjrzyjmy się dwóm krajom, Brazylii i Polsce, które produkują cukier. Każdy kraj ma własne podaż i popyt na cukier, jak pokazują i . W Brazylii w warunkach autarkii cena cukru w równowadze wynosi w przeliczeniu z reala 12 centów za kilogram, a produkcja w równowadze – 30 ton. W analogicznej sytuacji w Polsce cena równowagi cukru wynosi w przeliczeniu ze złotego 24 centy za kilogram, a ilość równowagi – 80 ton. Te warunki równowagi oznaczamy jako punkty E na obu wykresach. Handel cukrem pomiędzy Brazylią i Polską W sytuacji, w której nie dochodzi do wymiany handlowej pomiędzy Polską i Brazylią, cena cukru w stanie równowagi w Brazylii wynosi 12 centów za kilogram i 24 centy za analogiczną ilość w Polsce. Gdy handel jest możliwy, firmy będą kupować tani cukier w Brazylii i sprzedawać go w Polsce. Doprowadzi to do wyższych cen w Brazylii i niższych w Polsce. Jeśli pominiemy koszty transakcyjne, ceny powinny zbliżyć się do 16 centów za kilogram, przy czym Brazylia wyeksportuje, a Polska zaimportuje 15 ton cukru. Jeżeli handel między krajami będzie tylko częściowo otwarty, cena i ilość ukształtują się pomiędzy sytuacjami wolnego handlu i braku handlu. Handel cukrem pomiędzy Brazylią i Polską Cena (w centach) Brazylia: wielkość podaży (tony) Brazylia: wielkość popytu (tony) Polska: wielkość podaży (tony) Polska: wielkość popytu (tony) 8 20 35 60 100 12 30 30 66 93 14 35 28 69 90 16 40 25 72 87 20 45 21 76 83 24 50 18 80 80 28 55 15 82 78 Jeśli handel międzynarodowy między Brazylią a Polską stanie się możliwy, firmy nastawione na zysk dostrzegą okazję: kupią tani cukier w Brazylii i sprzedadzą go po wyższej cenie w Polsce. Ponieważ cukier jest wysyłany z Brazylii do Polski, ilość cukru wyprodukowanego w Brazylii będzie większa niż jego krajowa konsumpcja (bo część produkcji trafia na eksport), a ilość wyprodukowana w Polsce będzie mniejsza niż wolumen jego konsumpcji (na którą składa się też import). Eksport do Polski zmniejszy podaż cukru w Brazylii, podnosząc tam jego cenę. Import do Polski zwiększy w niej podaż cukru, obniżając jego cenę w Polsce. Gdyby cena cukru w warunkach autarkii była taka sama w obu krajach, nie byłoby bodźców do prowadzenia handlu zagranicznego nawet wtedy, gdyby stał się on możliwy. Jak pokazuje równowaga handlowa występuje przy cenie 16 centów za kilogram. Brazylijscy plantatorzy wytwarzają wówczas 40 ton cukru, podczas gdy konsumenci w Brazylii kupują tylko 25 ton. Dodatkowe 15 ton cukru, na co wskazuje pozioma różnica między krzywą popytu a krzywą podaży w Brazylii, jest eksportowane do Polski. W tym drugim kraju przy rynkowej cenie 16 centów za kilogram rolnicy produkują 72 tony cukru, a konsumenci zgłaszają popyt w wysokości 87 ton. Nadwyżkę popytu w wysokości 15 ton ze strony polskich konsumentów, zilustrowaną poziomą różnicą między popytem a podażą krajową przy cenie 16 centów, zaspokaja cukier z importu. Wolny handel oznacza zazwyczaj redystrybucję dochodów, ale kluczową kwestią jest umiejętność dostrzeżenia wszystkich korzyści z handlu międzynarodowego, jak to pokazuje . W podrozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/3-wprowadzenie-do-rozdzialu przedstawiliśmy pojęcia nadwyżki konsumenta i producenta. na panelu (a) pokazuje, że producenci w Brazylii zyskują na sprzedaży większej ilości cukru po wyższej cenie, podczas gdy panel (b) dowodzi, że konsumenci w Polsce korzystają z niższej ceny i większej dostępności cukru. Konsumenci w Brazylii znajdują się w gorszej sytuacji (porównaj ich nadwyżkę konsumenta w warunkach bez handlu z nadwyżką konsumenta w przypadku wolnego handlu), podobnie jak polscy producenci cukru. Korzyści z handlu – wzrost sumy nadwyżki producenta i konsumenta (nadwyżki społecznej) – występują w każdym kraju. Oznacza to, że zarówno Polska, jak i Brazylia znajdują się w lepszej sytuacji niż wtedy, gdy wymiany nie prowadzą. Poniższa ramka wyjaśnia, w jaki sposób polityka handlowa może wpływać na kraje o niskich dochodach. Wolny handel cukrem Wolny handel pozwala na osiąganie korzyści. Całkowita nadwyżka wzrasta w obu krajach, jak pokazują dwa obszary zacienione na niebiesko. Istnieją jednak wyraźne efekty związane z redystrybucją dochodów. W państwie eksportującym dane dobro (cukier) producenci zyskują, podczas gdy konsumenci tracą; w kraju importującym z kolei konsumenci zyskują, tracą zaś producenci. Odwiedź tę stronę , aby dowiedzieć się więcej o światowym handlu cukrem. Dlaczego istnieją kraje o niskich dochodach? Dlaczego biedne państwa na świecie są biedne? Powodów jest wiele, ale jeden z nich zapewne cię zaskoczy: to polityka handlowa krajów o wysokich dochodach. Poniżej znajduje się jednoznaczny przegląd priorytetów społecznych, szeroko nagłośnionych przez międzynarodową organizację pomocową Oxfam International . Kraje o wysokich dochodach – głównie Stany Zjednoczone, Kanada, członkowie Unii Europejskiej i Japonia – dotują swoich rolników kwotami w łącznej wysokości ok. 360 mld dol. rocznie. Dla kontrastu, całkowita kwota pomocy zagranicznej pochodzącej z tych samych państw przeznaczona dla biednych krajów świata wynosi ok. 70 mld dol. rocznie, czyli mniej niż 20% wartości subsydiów rolniczych. Dlaczego ma to tak istotne znaczenie? Ponieważ wsparcie rolników w krajach o wysokich dochodach niszczy źródła utrzymania rolników w państwach o dochodach niskich. Nawet jeśli ich klimat i ziemia są odpowiednie do uprawy lub produkcji takich dóbr jak bawełna, ryż, cukier lub mleko, rolnikom z biednych krajów trudno jest konkurować. Subsydia rolnicze w krajach o wysokich dochodach powodują bowiem, że ich rolnicy zwiększają produkcję. Ten wzrost podaży obniża światowe ceny produktów rolnych poniżej kosztów produkcji. Jak to opisuje Michael Gerson z „Washington Post”: „Skutki w regionach uprawy bawełny w Afryce Zachodniej są dramatyczne (…) przyczyniając się do utrzymywania milionów Afrykanów na krawędzi niedożywienia. W niektórych najbiedniejszych krajach na Ziemi rolnicy uprawiający bawełnę należą do najbiedniejszych, zarabiając około dolara dziennie. Kto korzysta na obecnym systemie dopłat? Około 20 tys. amerykańskich producentów bawełny ze średnim rocznym dochodem przekraczającym 125 tys. dol.”. Jakby subsydia były niewystarczające, państwa o wysokich dochodach często blokują też eksport produktów rolnych z krajów o niskich dochodach. W niektórych przypadkach sytuacja staje się jeszcze gorsza, gdy rządy krajów bogatych, kupiwszy i zapłaciwszy za nadwyżkę produktów rolnych, rozdają te produkty w państwach biednych i całkowicie wypierają lokalnych rolników z rynku. Na przykład transfer nadwyżek mleka z Unii Europejskiej na Jamajkę przyniósł ogromne trudności tamtejszym hodowcom bydła mlecznego. Przekazywanie nadwyżek ryżu ze Stanów Zjednoczonych na Haiti sprawiło, że tysiące haitańskich rolników zbankrutowało. Koszty alternatywne protekcjonizmu ponoszą nie tylko konsumenci krajowi, ale także producenci zagraniczni – a w przypadku wielu produktów rolnych ci zagraniczni producenci są biednymi tego świata. Przyjrzyjmy się teraz, jakie są konsekwencje protekcjonizmu (ang. protectionism ). Polscy cukrownicy prawdopodobnie będą przekonywać, że gdyby tylko byli chronieni przed importem z Brazylii, Polska miałyby wyższą krajową produkcję cukru, więcej miejsc pracy w przemyśle cukrowniczym, a oni otrzymaliby za swój produkt wyższą cenę. Jeśli rząd Polski ustali wystarczająco wysoką stawkę celną na importowany cukier lub zerową kwotę importową, handel cukrem pomiędzy krajami może spaść do zera, a ceny w każdym kraju powrócą do poziomu sprzed rozpoczęcia wymiany. Ten przykład jest oczywiście hipotetyczny, bowiem wraz z wejściem Polski do UE kompetencje w ustalaniu polityki handlowej pomiędzy krajami członkowskimi UE i państwami trzecimi zostały przekazane Komisji Europejskiej. Możliwe jest również zablokowanie tylko niektórych transakcji. Załóżmy, że Polska ustanowi wartość kwoty importowej cukru wynoszącą 7 ton. Brazylia tylko tyle produktu będzie mogła wyeksportować. W rezultacie cena cukru w Polsce wyniesie 20 centów za kilogram w przeliczeniu ze złotych, co jest ceną, przy której wielkość popytu jest o 7 ton większa niż podaż krajowa. I odwrotnie, jeśli Brazylia może eksportować tylko 7 ton cukru, to cena cukru w Brazylii wyniesie 14 centów za kilogram w przeliczeniu z reali, co jest ceną, przy której krajowa podaż w Brazylii jest o 7 ton większa niż popyt krajowy. Ogólnie rzecz biorąc, kiedy kraj ustala niską lub średnią wysokość cła lub kwotę importową, cena i ilość w równowadze przyjmą wartości gdzieś pomiędzy tymi, które istniałyby w sytuacji bez handlu, a tymi z handlem całkowicie wolnym. Poniższa analizuje wpływ tych barier handlowych na sytuację rynkową. Skutki barier handlowych Przyjrzyjmy się uważnie skutkom ceł lub kwot importowych. Jeśli rząd Polski nałoży cło lub kontyngent wystarczający do wyeliminowania handlu z Brazylią, zachodzą wówczas dwa procesy. Polscy konsumenci płacą wyższą cenę, dlatego kupują mniejszą ilość cukru. Z kolei polscy plantatorzy buraków cukrowych (producenci cukru) uzyskują wyższą cenę i dostarczają większą ilość buraków. Możemy zmierzyć wpływ ceł na producentów i konsumentów w Polsce za pomocą dwóch koncepcji, które omówiliśmy w podrozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/3-wprowadzenie-do-rozdzialu : nadwyżki konsumenta i nadwyżki producenta. Podaż i popyt na cukier w Polsce W warunkach wolnego handlu równowaga znajduje się w punkcie A. Gdy nie ma handlu, równowaga występuje w punkcie E. Krok 1. Spójrz na , która pokazuje hipotetyczne kształtowanie się popytu i podaży tego produktu w Polsce. Krok 2. Zauważ, że w warunkach wolnego handlu rynek cukru jest w równowadze w punkcie A, gdzie krajowa wielkość popytu (Q d ) = wielkość podaży (krajowa podaż + import z Brazylii) po cenie P Handel . Krok 3. Zauważ również, że wartość importu jest równa odległości między punktami C i A. Krok 4. Przypomnijmy, że nadwyżka konsumenta to różnica pomiędzy ceną, którą konsumenci faktycznie zapłacili za dany produkt, i tą (wyższą), którą gotowi byliby za niego zapłacić. Graficznie jest to obszar pod krzywą popytu, ale powyżej poziomu wyznaczonego przez obowiązującą cenę rynkową. W tym przypadku nadwyżka konsumenta w Polsce jest równa polu trójkąta utworzonemu przez punkty P Handel , A i B. Krok 5. Przypomnijmy też, że nadwyżka producenta to w pewnym uproszczeniu inna nazwa zysku – dochód, który producenci uzyskują dzięki sprzedaży swojego produktu po cenie przewyższającej jednostkowe (przeciętne) koszty produkcji reprezentowane przez krzywą podaży. W tym przypadku nadwyżka producenta w warunkach handlu to obszar równy polu trójkąta utworzonego przez punkty P Handel , C i D. Krok 6. Załóżmy, że wprowadzono bariery w handlu, import jest niemożliwy, a cena rośnie do poziomu P Autarkia . Zobacz, co dzieje się z nadwyżką producenta i nadwyżką konsumenta. Przy wyższej cenie krajowa podaż rośnie z Q s do Q (punkt E na krzywej podaży krajowej). Ponieważ producenci sprzedają większą ilość po wyższej cenie, nadwyżka producenta wzrasta do obszaru równemu polu trójkąta P Autarkia , E i D. Krok 7. Porównaj obszary dwóch trójkątów, a zobaczysz wzrost nadwyżki producenta. Krok 8. Przeanalizuj nadwyżkę konsumenta. Konsumenci płacą teraz wyższą cenę, aby uzyskać mniejszą ilość (Q zamiast Q d ). Ich nadwyżka konsumenta kurczy się do obszaru trójkąta P Autarkia , E i B. Krok 9. Określ efekt netto. Nadwyżka producenta zwiększa się o obszar P Handel , C, E, P Autarkia . Większa jest jednak utrata nadwyżki konsumenta. Jest to obszar P Handel , A, E, P Autarkia . Innymi słowy, w wyniku ustanowienia barier handlowych konsumenci tracą więcej, niż zyskują producenci, a Polska ma niższą nadwyżkę społeczną. Kto czerpie korzyści, a kto płaci? Korzystając z modelu popytu i podaży, rozważ wpływ protekcjonizmu na producentów i konsumentów w każdym z tych dwóch krajów. Dla chronionych producentów, takich jak polscy cukrownicy, ograniczenie importu jest wyraźnie pozytywne. Bez konieczności zmierzenia się z produktami importowanymi są oni w stanie sprzedać więcej, po wyższej cenie. Dla konsumentów w kraju z chronionym towarem, w tym przypadku konsumentów cukru w Polsce, ograniczenie importu jest wyraźnie negatywne. Kupują bowiem mniejszą ilość dobra i płacą wyższą cenę w porównaniu z ceną i ilością zakupioną w warunkach wymiany handlowej. Poniższa ramka wyjaśnia, dlaczego dany kraj może zlecić produkcję za granicę nawet w przypadku produktu, którego właścicielem jest podmiot będący rezydentem danego kraju. Dlaczego amerykański produkt nie jest wytwarzany w Ameryce? W 1912 r. w Cleveland w stanie Ohio Clarence Crane wynalazł Life Saver – twardy cukierek z dziurką w środku. Począwszy od późnych lat 60. XX w. przez kolejnych 35 lat fabryka w Holland w stanie Michigan produkowała 46 mld cukierków Life Savers rocznie. Jednak w 2002 r. Kraft Company ogłosiła, że zamknie fabrykę w Michigan i przeniesie produkcję Life Savers za granicę, do kanadyjskiego Montrealu. Jednym z powodów takiego posunięcia było to, że kanadyjscy pracownicy otrzymują nieco niższe wynagrodzenie, zwłaszcza w zakresie kosztów opieki zdrowotnej i ubezpieczenia. Jednak najważniejszym czynnikiem, który skłonił właściciela marki do przeniesienia produkcji, było utrzymywanie przez rząd Stanów Zjednoczonych wysokich cen cukru z korzyścią dla producentów tego artykułu, dzięki połączeniu rządowego programu cen minimalnych i ścisłych kwot importowych na cukier. Według Koalicji na rzecz Reformy Cukru w latach 2009–2012 cena cukru rafinowanego w Stanach Zjednoczonych była od 64% do 92% wyższa niż cena światowa. Na produkcję Life Savers potrzeba ponad 100 ton cukru dziennie, ponieważ cukierki składają się z niego w 95%. Wiele innych firm wytwarzających cukierki również zmniejszyło wolumen produkcji w USA i rozszerzyło swoją działalność za granicą. W latach 1997–2011 przemysł wykorzystujący cukier w produkcji zlikwidował ok. 127 tys. miejsc pracy, ponad siedem razy więcej, niż wynosi całkowite zatrudnienie przy produkcji amerykańskiego cukru. Ale przemysł cukierniczy nie jest jedyną ofiarą wysokiego kosztu cukru. Konsumenci amerykańscy płacą ok. 1 mld dol. rocznie w ramach wyższych cen żywności z powodu podwyższonych kosztów produkcji cukru, zaś producenci cukru w państwach o niskich dochodach są wypierani z biznesu. Z powodu subsydiów cukrowych dla krajowych producentów i kwot importowych nie mogą oni sprzedawać swojej produkcji na amerykańskim rynku. Fakt, że polityka protekcjonistyczna podnosi ceny dla konsumentów w kraju ją stosującym, nie zawsze jest otwarcie przywoływany, ale nie jest kwestionowany. W końcu gdyby protekcjonizm nie przynosił korzyści rodzimym producentom, wprowadzenie takiej polityki w ogóle nie miałoby sensu. Protekcjonizm jest po prostu metodą dotowania producentów przez konsumentów. Dotacja ta jest pośrednia, bo konsumenci realizują ją poprzez wyższe ceny, a nie bezpośrednią subwencję rządową finansowaną z ich podatków. Jednak protekcjonizm działa jak subwencja. Amerykański satyryk Ambrose Bierce w swojej książce z 1911 r. zatytułowanej „The Devil’s Dictionary („Słownik diabła”) zdefiniował „cło” w ten sposób: „Cło – skala podatku od importu, mającego na celu ochronę krajowego producenta przed chciwością konsumentów”. Wpływ protekcjonizmu na producentów i konsumentów w kraju, z którego pochodzi ewentualny import, jest złożony. Kiedy rząd wykorzystuje kwoty importowe, aby narzucić częściowy protekcjonizm, brazylijscy producenci cukru otrzymują niższą cenę za towar, który sprzedają w Brazylii, ale wyższą za cukier, który mogą eksportować do Polski, UE lub USA. Zauważ, że część ciężaru protekcjonizmu ponoszonego przez krajowych konsumentów trafia w tym przypadku w ręce zagranicznych producentów. Brazylijscy konsumenci cukru wydają się korzystać z protekcjonizmu Polski (w szerszym kontekście krajów rozwiniętych), ponieważ obniża on cenę cukru, którą płacą (w porównaniu z sytuacją, w której całkowicie swobodny handel zagraniczny tym produktem by nie istniał). Z drugiej strony, przynajmniej niektórzy z brazylijskich konsumentów cukru pracują również jako producenci cukru, więc protekcjonizm zmniejsza ich dochody i liczbę dostępnych w tej branży miejsc pracy. Co więcej, gdyby zniknął handel pomiędzy Polską i Brazylią (w szerszym kontekście pomiędzy Brazylią i krajami rozwiniętymi), brazylijscy konsumenci utraciliby niższe ceny towarów importowanych z Polski lub krajów rozwiniętych, czego nie da się wprost pokazać w naszym przykładzie protekcjonizmu dotyczącym wyłącznie rynku cukru. Niezależnie od wpływu protekcjonizmu na kraje trzecie polityka taka oznacza, że rodzimi konsumenci produktu (konsumenci mogą obejmować gospodarstwa domowe lub przedsiębiorstwa) płacą wyższe ceny z korzyścią dla krajowych producentów tego produktu. Ponadto kiedy kraj stosuje podejście protekcjonistyczne, traci korzyści gospodarcze, które mógłby osiągnąć dzięki połączeniu przewagi komparatywnej, specjalizacji i korzyści skali, czyli koncepcji, które omawiamy w . Key Concepts and Summary Istnieją trzy narzędzia ograniczania skali handlu zagranicznego: cła, kwoty importowe (kontyngenty) i bariery pozataryfowe. Kiedy kraj nakłada ograniczenia na import, mówi się, że praktykuje protekcjonizm. Protekcjonizm podnosi cenę chronionego dobra na rynku krajowym, przez co krajowi konsumenci płacą za nie więcej, ale jego lokalni producenci więcej zarabiają. Self-Check Questions Wyjaśnij, w jaki sposób obniżenie ceł powoduje wzrost ilości towarów importowanych w równowadze i spadek ceny równowagi. Wskazówka : Rozważ sytuację przedstawioną w . Jest to przypadek odwrotny do przedstawionego w ramce. Obniżona stawka celna działa jak spadek kosztów produkcji, o czym świadczy przesunięcie krzywej podaży w dół (lub w prawo). Wyjaśnij, w jaki sposób subwencja na towary rolne takie jak cukier w kraju A niekorzystnie wpływa na dochody zagranicznych producentów cukru importowanego do kraju A. Subwencja działa jak obniżka kosztów. Przesuwa więc krzywą podaży w dół (lub w prawo), obniżając cenę cukru na rynku w kraju A. Jeśli subwencja jest wystarczająco duża, cena cukru może spaść poniżej kosztów produkcji, jakie ponoszą zagraniczni producenci, co oznacza, że stracą oni dochody, ponieważ nie będą w stanie wyprodukować i sprzedać swojego cukru (przy założeniu, że ich kraj nie jest w stanie zastosować analogicznego wsparcia). Review Questions Kogo i przed czym chroni polityka protekcjonistyczna? Wymień i zdefiniuj trzy narzędzia służące realizacji polityki protekcjonistycznej. Jak protekcjonizm wpływa na cenę chronionego dobra na rynku krajowym? Critical Thinking Questions Wykorzystując graficzny model, pokaż, że dla dowolnej wysokości cła istnieje równoważna kwota importowa, która daje ten sam efekt. Jaka jest zatem różnica między tymi dwoma rodzajami barier handlowych? Wskazówka : Nie da się tego dostrzec na wykresie. Zgodnie z informacją przedstawioną w łatwo zauważyć, że cło podnosi cenę importowanych towarów. Co ciekawe, cena rynkowa rośnie o kwotę niższą niż wartość cła. Kto płaci resztę kwoty cła? Czy możesz to pokazać na wykresie? Problems Załóżmy, że dwa kraje, Tajlandia (T) i Japonia (J), wytwarzają jeden produkt: aparaty fotograficzne. Popyt (D) i podaż (S) na aparaty w Tajlandii i Japonii są opisane przez następujące funkcje: Qd T = 60 – P Qs T = –5 + 1 4 P Qd J = 80 – P Qs J = –10 + 1 2 P P to cena mierzona we wspólnej walucie używanej w obu krajach, takiej jak baht tajlandzki. Oblicz cenę równowagi (P) i ilości (Q) w każdym kraju w sytuacji bez handlu. Załóżmy teraz, że mamy do czynienia z wolnym handlem. Cena w wolnym handlu sięga 56,36 bahtów. Kto eksportuje i importuje aparaty fotograficzne i w jakich ilościach? References Bureau of Labor Statistics. “Industries at a Glance.” Accessed December 31, 2013. http://www.bls.gov/iag/. Oxfam International. Accessed January 6, 2014. http://www.oxfam.org/. kwoty importowe (ang. import quotas ) ilościowe ograniczenia ustanawiające dokładny wolumen importu, który może być sprzedawany na terenie danego kraju ograniczenia ilościowe zob. kwoty importowe bariery pozataryfowe (ang. nontariff barriers ) sposoby ograniczania wielkości importu lub podnoszenia cen towarów importowanych stosowane przez dany kraj, inne niż nakładanie ceł, np. wymagania sanitarne, metody produkcji uwzględniające negatywne efekty zewnętrzne dla środowiska itd. protekcjonizm (ang. protectionism ) polityka państwa mająca na celu ograniczenie lub zablokowanie importu Światowa Organizacja Handlu (ang. World Trade Organization, WTO ) organizacja, której celem jest negocjowanie redukcji barier w handlu oraz rozpatrywanie skarg dotyczących naruszeń międzynarodowej polityki handlowej; następca Układu Ogólnego w sprawie Taryf Celnych i Handlu (GATT)", "section": "Protekcjonizm: pośrednia subwencja od konsumentów dla producentów", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Handel międzynarodowy i jego wpływ na miejsca pracy, płace i warunki pracy Po przeczytaniu tego rozdziału będziesz w stanie: Wytłumaczyć, jak handel międzynarodowy wpływa na rynek pracy Przeanalizować koszt alternatywny protekcjonizmu Wyjaśnić, jak handel międzynarodowy wpływa na płace oraz standardy i warunki pracy Import, przynajmniej teoretycznie, może zaszkodzić pracownikom na kilka różnych sposobów: zmniejszyć liczbę miejsc pracy, obniżyć płace lub pogorszyć warunki pracy. Rozważmy je po kolei. Mniej miejsc pracy? Na początku lat 90. Stany Zjednoczone negocjowały z Meksykiem Północnoamerykańską umowę o wolnym handlu (ang. North American Free Trade Agreement - NAFTA ) (1 lipca 2020 r. NAFTA została oficjalnie zastąpiona umową o wolnym handlu między Stanami Zjednoczonymi, Meksykiem i Kanadą – USMCA. Jest ona co do zasady podobna do umowy NAFTA). Porozumienie to obniżyło cła, kwoty importowe i inne bariery pozataryfowe w handlu między Stanami Zjednoczonymi, Meksykiem i Kanadą. Henry Ross Perot, niezależny kandydat na prezydenta USA w 1992 r., w czasie jednego ze swoich spotkań w ramach kampanii wyborczej powiedział, że gdyby Stany Zjednoczone rozszerzyły handel z Meksykiem, pojawiłby się „ogromny dźwięk ssania”, bo amerykańscy pracodawcy przenieśliby swoją działalność do Meksyku, by skorzystać z niższych płac. W końcu średnie zarobki w Meksyku wynosiły w tamtym czasie ok. jednej ósmej tych w Stanach Zjednoczonych. NAFTA została zaakceptowana przez Kongres, prezydent Bill Clinton podpisał ją i w roku 1995 weszła w życie. Przez następne sześć lat gospodarka Stanów Zjednoczonych odnotowała jeden z najszybszych przyrostów miejsc pracy w swojej historii i jednocześnie niskie bezrobocie. Ci, którzy obawiali się, że otwarty handel z Meksykiem doprowadzi do dramatycznego spadku zatrudnienia, nie mieli racji. Dla ekonomistów ten wynik nie był zaskoczeniem. W końcu trend globalizacyjny można obserwować już od dziesięcioleci, zaś porozumienie NAFTA nie było ani pierwszym, ani z pewnością ostatnim krokiem na tej drodze. Gdyby handel zagraniczny redukował liczbę dostępnych miejsc pracy, to Stany Zjednoczone powinny być świadkiem wieloletniego trendu stałej ich utraty. O ile gospodarka Stanów Zjednoczonych doświadcza wzrostów i spadków stóp bezrobocia – według Bureau of Labor Statistics od wiosny 2007 do końca 2009 r. stopa bezrobocia wzrosła z 4,4% do 10%, po czym na koniec roku 2016 spadła z powrotem do poziomu poniżej 5% – liczba miejsc pracy w amerykańskiej gospodarce w długim okresie nie maleje. W 1970 r. było ich 71 mln, zaś w 2014 r. – 145 mln. Protekcjonizm (ang. protectionism ) z pewnością ratuje miejsca pracy w określonej branży, która jest chroniona, ale z dwóch powodów prowadzi do ich utraty w innych gałęziach, pozbawionych ochrony. Po pierwsze, jeśli konsumenci płacą wyższe ceny za dobra i usługi wytwarzane w ramach chronionej branży, mają mniej pieniędzy do wydania na towary pochodzące z innych gałęzi przemysłu, co skutkuje spadkiem liczby miejsc pracy tamże. Po drugie, jeśli przedsiębiorstwa kupują półprodukty od firm cieszących się ochroną protekcjonistyczną, to muszą płacić za nie wyższą cenę, a wówczas tracą rynek na rzecz zagranicznych producentów, którzy wyższych cen płacić nie muszą. Spadek sprzedaży przekłada się na utratę miejsc pracy. Ukryty koszt alternatywny stosowania polityki protekcjonistycznej w celu ratowania miejsc pracy w jednej branży to miejsca pracy poświęcane w innych. Właśnie dlatego Komisja Handlu Międzynarodowego Stanów Zjednoczonych w swoim badaniu barier w handlu przewiduje, że ich zmniejszenie nie doprowadzi do ogólnego spadku zatrudnienia. Protekcjonizm przenosi miejsca pracy z branż pozbawionych ochrony do tych, które są chronione przed importem, ale nowych miejsc pracy nie tworzy. Ponadto koszty ratowania miejsc pracy poprzez protekcjonizm mogą być bardzo wysokie. W wielu różnych badaniach próbowano oszacować koszt ponoszony przez konsumentów (w postaci wyższych cen) odpowiadający jednemu miejscu pracy uratowanemu dzięki protekcjonizmowi. pokazuje próbkę wyników opracowanych przez ekonomistów z Banku Rezerwy Federalnej w Dallas. Uratowanie jednego stanowiska poprzez praktyki protekcjonistyczne zazwyczaj kosztuje znacznie więcej niż rzeczywiste wynagrodzenie pracownika na tym stanowisku. Na przykład badanie opublikowane w 2002 r. dowodzi, że stosowanie protekcjonizmu w celu zachowania jednego miejsca pracy w przemyśle tekstylnym i odzieżowym kosztowałoby przeciętnie 199 tys. dol. rocznie. Innymi słowy, ci pracownicy mogliby otrzymywać 100 tys. dol. rocznie za pozostawanie bez pracy, a koszt byłby wciąż o połowę niższy niż utrzymanie ich miejsca pracy w tej branży. Ten wynik nie dotyczy jedynie przemysłu tekstylnego. Produkt wytwarzany przez branżę chronioną taryfami lub kwotami importowymi Roczny koszt ochronionego miejsca pracy (w dol.) Cukier 826 000 Żywica polietylenowa 812 000 Nabiał 685 000 Mrożony zagęszczony sok pomarańczowy 635 000 Łożyska kulkowe 603 000 Narzędzia i maszyny 479 000 Torebki damskie 263 000 Wyroby ze szkła 247 000 Odzież i tekstylia 199 000 Obuwie gumowe 168 000 Obuwie damskie 139 000 (Źródło: Federal Reserve Bank of Dallas). Dlaczego ratowanie miejsc pracy dzięki polityce protekcjonistycznej kosztuje aż tyle? Podstawowym powodem jest to, że nie wszystkie dodatkowe pieniądze, które konsumenci płacą z powodu ceł lub kwot importowych, przeznaczane są na zachowanie miejsc pracy. Na przykład jeśli rząd nakłada cła na import stali, a więc nabywcy stali płacą za nią wyższą cenę, amerykańskie firmy stalowe osiągają większe zyski, kupują więcej sprzętu, oferują wyższe premie menedżerom, podnoszą płace obecnym zatrudnionym, a także unikają zwalniania pracowników. Tylko część wyższej ceny chronionej stali idzie na ratowanie miejsc pracy. Ponadto gdy branża jest chroniona, gospodarka jako całość traci korzyści płynące z wykorzystywania swojej przewagi komparatywnej – innymi słowy, produkowania tego, w czym jest najlepsza. Dlatego też część wyższej ceny, jaką konsumenci płacą za chronione dobra, to utracona efektywność ekonomiczna, którą możemy uznać za kolejną stratę, jak to omówiliśmy w rozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/10-wprowadzenie-do-rozdzialu . Na zderzakach samochodów w USA często można zauważyć naklejki, które mówią o zagrożeniu, jakie niektórzy pracownicy amerykańscy odczuwają wobec importowanych produktów: „Kupuj amerykańskie produkty – ocal amerykańskie miejsca pracy”. Jeśli samochodem kierowałby ekonomista, naklejka mogłaby głosić: „Zablokuj import – ocal miejsca pracy niektórych Amerykanów, zlikwiduj miejsca pracy innych Amerykanów, a także płać wyższe ceny”. Handel i płace Nawet jeśli handel nie zmniejsza liczby miejsc pracy, może wpływać na płace. Tutaj ważne jest oddzielenie zagadnienia średniego poziomu płac od kwestii dotyczących tego, czy zarobki niektórych pracowników mogą być wyższe lub niższe ze względu na handel zagraniczny. Ponieważ handel zwiększa wolumen produkcji w gospodarce, pozwalając firmom i pracownikom wykorzystywać ich przewagi komparatywne, spowoduje również wzrost średniego poziomu płac w gospodarce. Pracownicy, którzy mogą więcej wyprodukować, będą bardziej pożądani przez pracodawców, co przesunie popyt na ich pracę w prawo (do góry) i podniesie ich wynagrodzenia na rynku pracy. Natomiast bariery w handlu obniżą średni poziom płac w gospodarce. Jednak nawet jeśli handel zwiększy ogólny poziom płac, nadal niektórym pracownikom przyniesie on korzyści, a innym zaszkodzi. Zatrudnieni w branżach, które mają do czynienia z konkurencją ze strony produktów importowanych, mogą zauważyć, że popyt na siłę roboczą w ich gałęzi przemysłu spada i przesuwa się z powrotem w lewo, tak że ich płace maleją wraz ze wzrostem skali handlu międzynarodowego. I odwrotnie, pracownicy w sektorach, które czerpią korzyści ze sprzedaży na rynkach globalnych, mogą zaobserwować, że popyt na ich pracę przesuwa się w prawo (rośnie), a zatem handel zagraniczny ich płace podnosi. Odwiedź tę stronę , aby przeczytać artykuł na temat zagadnień związanych ze sprawiedliwym handlem (ang. fair trade ) kawą. Jedną z obaw dość powszechnie artykułowanych w związku z rosnąca skalą globalizacji (ang. globalization ), jest ta, że ów proces może być korzystny dla wysoko wykwalifikowanych i wysoko opłacanych pracowników w krajach rozwiniętych, ale jednocześnie nakładać koszty na pracowników nisko wykwalifikowanych i słabo opłacanych. W końcu wysoko wykwalifikowani pracownicy amerykańscy prawdopodobnie korzystają ze zwiększonej sprzedaży wyrafinowanych produktów, takich jak komputery, maszyny i leki, w których Stany Zjednoczone mają przewagę komparatywną. Tymczasem nisko wykwalifikowani pracownicy amerykańscy muszą teraz konkurować z wyjątkowo nisko opłacanymi pracownikami na całym świecie w ramach wytwarzania prostszych produktów, takich jak zabawki i ubrania. W rezultacie płace nisko wykwalifikowanych pracowników w USA prawdopodobnie spadną. Istnieje jednak wiele powodów, by sądzić, że chociaż globalizacja niektórym gałęziom przemysłu w USA pomogła, a innym zaszkodziła, jej negatywny wpływ nie skupił się na płacach nisko wykwalifikowanych Amerykanów. Po pierwsze, mniej więcej połowa handlu w USA to handel wewnątrzgałęziowy. Oznacza to, że Stany Zjednoczone handlują podobnymi towarami z innymi gospodarkami o wysokich dochodach, takimi jak Kanada, Japonia, kraje UE i Wielka Brytania. Na przykład w 2014 r. USA wyeksportowały ponad 2 mln samochodów, a także sprowadziły kilka milionów aut z innych krajów. Większość amerykańskich pracowników w tych branżach ma ponadprzeciętne umiejętności i płace – a wielu z nich radzi sobie całkiem nieźle w świecie globalizacji. Niektóre analizy sugerują, że handel wewnątrzgałęziowy między podobnymi krajami miał niewielki wpływ na pracowników krajowych, ale późniejsze badania wskazują, że wszystko zależy od elastyczności rynku pracy. Innymi słowy, kluczem jest elastyczność pracowników w znajdowaniu pracy w różnych branżach. Wpływ handlu na pracowników o niskich zarobkach zależy w dużej mierze od struktury rynku pracy i efektów pośrednich odczuwanych w innych częściach gospodarki. Na przykład w Stanach Zjednoczonych i Wielkiej Brytanii, ze względu na relatywnie niską skalę nieefektywności na rynku pracy, wpływ handlu zagranicznego na pracowników o niskich dochodach jest niewielki. Po drugie, wielu nisko wykwalifikowanych pracowników w USA zatrudnionych jest w usługach, których nie da się importować z krajów o niskich płacach. Usług związanych z pielęgnacją trawnika czy przeprowadzkami i sprzątaniem pokojów hotelowych nie można sprowadzić z krajów takich jak Chiny czy Bangladesz. Konkurencja ze strony importowanych produktów nie jest więc głównym ogranicznikiem zarobków osób zatrudnionych w usługach. I chociaż nasza dyskusja skupia się na płacach, warto podkreślić, że nisko opłacani pracownicy amerykańscy cierpią z powodu protekcjonizmu we wszystkich branżach – nawet tych, w których nie pracują. Na przykład przemysł spożywczy i odzieżowy to gałęzie chronione. Ci nisko opłacani pracownicy płacą zatem wyższe ceny za zaspokojenie swoich podstawowych potrzeb i ich siła nabywcza jest mniejsza. Korzyści i koszty rosnącej skali handlu zagranicznego, biorąc pod uwagę jego wpływ na wysokość płac, nie rozkładają się w gospodarce równomiernie. Jednak wzrost obrotów handlu międzynarodowego pomógł podnieść średnią produktywność pracowników amerykańskich, a tym samym średni poziom ich płac. Normy pracy i warunki pracy Pracownicy w wielu krajach o niskich dochodach na całym świecie pracują w warunkach, które zarówno w UE, jak i w Stanach Zjednoczonych byłyby nielegalne. Zatrudnieni w państwach takich jak Chiny, Tajlandia, Brazylia, RPA i Rumunia często otrzymują mniejsze wynagrodzenie, niż wynosi płaca minimalna w Stanach Zjednoczonych, Francji czy Luksemburgu. Na przykład w USA płaca minimalna wynosi 7,25 dol. za godzinę. Typowa płaca w wielu krajach o niskich dochodach może wynosić ok. 7,25 dol. dziennie, a często znacznie mniej. Co więcej, warunki pracy w krajach o niskich dochodach mogą być wyjątkowo nieprzyjemne, a nawet niebezpieczne. W najgorszych przypadkach przy produkcji wykorzystywana jest praca dzieci, a nawet niewolnicza. Te obawy dotyczące zagranicznych standardów pracy nie wpływają na większość handlu w USA, który jest wewnątrzgałęziowy i realizowany z innymi krajami o wysokim dochodzie, które mają standardy pracy podobne do amerykańskich, ale jest to jednak kwestia istotna społecznie i etycznie. W myśleniu o standardach pracy w innych krajach ważne jest rozróżnienie między tym, co jest naprawdę nie do przyjęcia, a tym, co jedynie wywołuje w nas dyskomfort. Większość ludzi, w tym ekonomiści, nie ma większych trudności ze stwierdzeniem, że praca sześciolatków zamkniętych w fabrykach lub niewolnicza praca na roli są niemoralne. Poparliby oni nawet bardzo daleko idące wysiłki na rzecz wyeliminowania takich praktyk – w tym wykluczenie importowanych produktów wytwarzanych przy użyciu takiej siły roboczej. Wiele spraw jest jednak mniej jednoznacznych. Artykuł opublikowany kilka lat temu w „New York Times” opisał przypadek Ahmeda Zii, 14-letniego chłopca z Pakistanu. Zarabiał on 2 dol. dziennie, pracując w fabryce dywanów. Szkołę porzucił w drugiej klasie. Czy zatem Stany Zjednoczone i inne kraje powinny odmówić zakupu dywanów wytwarzanych przez Ahmeda i jego kolegów z pracy? Gdyby fabryki dywanów miały zostać zamknięte, prawdopodobną alternatywą dla Ahmeda byłaby praca w gospodarstwie rolnym, a jak mówi Ahmed o swojej pracy przy tkaniu dywanów: „To daje znacznie więcej pieniędzy i jest mniej uciążliwe”. Inni pracownicy mogą mieć jeszcze mniej atrakcyjną alternatywę, np. grzebanie w śmieciach lub prostytucję. Prawdziwym problemem Ahmeda i wielu innych osób w krajach o niskich dochodach nie jest to, że globalizacja pogorszyła ich życie, ale raczej to, że mają tak mało dobrych alternatyw życiowych w porównaniu z pracą w fabryce dywanów. Stany Zjednoczone doświadczały podobnych problemów w XIX i na początku XX w. Podsumowując, gdy rządy Stanów Zjednoczonych i innych państw rozwiniętych lub obywatele tych państw kwestionują standardy pracy w krajach o niskich dochodach, wypada z pewną ironią zauważyć, że one same nie są liderami w kwestii przepisów chroniących pracowników. Według niedawnego badania Organizacji Współpracy Gospodarczej i Rozwoju (OECD) Stany Zjednoczone są jedynym z 41 krajów, które nie zapewniają obowiązkowego płatnego urlopu dla rodziców w związku z urodzinami dziecka. Z kolei w Polsce bardzo wiele osób (najwyższy obok Hiszpanii odsetek w całej UE) jest zatrudnionych na umowach nie gwarantujących osłony socjalnej (tzw. umowach śmieciowych). Wielu europejskich pracowników ma sześć tygodni lub więcej płatnego urlopu rocznie. W Stanach Zjednoczonych wakacje trwają często od jednego do trzech tygodni w roku. Gdyby kraje europejskie oskarżyły USA o stosowanie nieuczciwych standardów pracy do taniego wytwarzania produktów i ogłosiły, że wykluczą cały import ze Stanów Zjednoczonych, dopóki nie wprowadzą one płatnego urlopu rodzicielskiego i nie podwoją długości urlopu, Amerykanie byliby oburzeni. A przecież gdy amerykańscy protekcjoniści zaczynają mówić o ograniczeniu importu z biednych krajów ze względu na niskie płace i złe warunki pracy, przedstawiają bardzo podobny argument. Nie oznacza to, że warunki pracy w państwach o niskich dochodach nie są kwestią ważną. Jak najbardziej są. Jednak powiązanie warunków pracy w krajach o niskich dochodach z handlem odwraca uwagę od realistycznego pytania: jakie są dopuszczalne i możliwe do wyegzekwowania minimalne standardy pracy i przepisy ochrony pracowników na całym świecie. Key Concepts and Summary Wzrost skali handlu międzynarodowego przyczynia się do przesunięcia miejsc pracy z branż, w których dana gospodarka nie posiada przewagi komparatywnej, do gałęzi, w których taką przewagą dysponuje. Skala i zakres wpływu handlu zagranicznego na sytuację na rynku pracy ma wiele wspólnego ze strukturą tego rynku w danym kraju oraz procesem dostosowawczym w innych branżach. Handel światowy podnosi średni poziom płac poprzez wzrost wydajności. Jednak na ten wzrost średnich płac mogą się składać zarówno korzyści pracowników w niektórych zawodach i branżach, jak i straty zatrudnionych w innych gałęziach. Myśląc o warunkach pracy w krajach o niskich dochodach, warto nakreślić granicę między tym, co wywołuje w nas dyskomfort, a praktykami, które są moralnie nieakceptowalne. Na przykład niskie płace i długie godziny pracy w biednych krajach są nieprzyjemną kwestią, ale dla tamtejszych pracowników może to być najlepsza dostępna opcja. Praktyki takie jak praca dzieci i praca przymusowa są jednak absolutnie naganne, a wiele krajów odmawia importu produktów wytworzonych w gałęziach, gdzie taki stan rzeczy jest powszechny lub nawet akceptowalny. Self-Check Questions Wyjaśnij, w jaki sposób bariery handlowe ratują miejsca pracy w chronionych branżach, ale tylko dzięki zmniejszeniu liczby zatrudnionych w innych gałęziach gospodarki. Bariery handlowe podnoszą ceny towarów w branżach chronionych. Jeśli te produkty są wkładem do produkcji w innych gałęziach, podnosi to ich koszty produkcji, a następnie ceny, więc sprzedaż spada. Niższa sprzedaż prowadzi do mniejszego zatrudnienia. Dodatkowo jeśli chronione gałęzie są związane z wytwarzaniem dóbr konsumpcyjnych, ich klienci płacą wyższe ceny, co zmniejsza popyt na inne produkty konsumpcyjne, a tym samym prowadzi do redukcji zatrudnienia w branżach niechronionych. Wyjaśnij, w jaki sposób bariery handlowe podnoszą płace w chronionych branżach poprzez obniżanie średnich płac w całej gospodarce. Handel oparty na przewadze komparatywnej podnosi średnią stawkę płac w całej gospodarce, chociaż może obniżyć dochody branż substytuowanych importem. Oddalając się od przewagi komparatywnej danego kraju, bariery handlowe działają odwrotnie: dają przewagę pracownikom w branżach chronionych, jednocześnie obniżając średnią płacę w całej gospodarce. Jak handel międzynarodowy wpływa na warunki pracy w krajach o niskich dochodach? Handel zagraniczny, podnosząc średni poziom dochodów w gospodarce, przekłada się na polepszenie warunków pracy, chociaż warunki te mogą (jeszcze) nie odpowiadać regułom panującym w krajach o wysokim dochodzie. Czy miejsca pracy dla pracowników w krajach o niskich dochodach, które obejmują wytwarzanie produktów na eksport do krajów o wysokich dochodach, są zazwyczaj lepiej, czy gorzej opłacane w stosunku do kolejnej najlepszej alternatywy zatrudnienia? Zazwyczaj są lepiej opłacane niż kolejna najlepsza alternatywa. Jeśli firma Nike nie płaciłaby pracownikom przynajmniej tyle, ile zarobiliby, np. prowadząc na własne potrzeby gospodarstwo rolne, wielu z nich nigdy nie podjęłoby się pracy dla Nike. Jak bariery handlowe wpływają na średni poziom dochodów w gospodarce? Ponieważ bariery handlowe podnoszą ceny, realne dochody spadają. Przeciętny pracownik również zarabia mniej w porównaniu z sytuacją, w której takich barier nie ma. Jak koszt ratowania miejsc pracy w chronionych branżach ma się do płac zatrudnionych w nich pracowników? Koszt ten jest znacznie wyższy. Review Questions Czy handel międzynarodowy jako całość zwiększa łączną liczbę miejsc pracy, zmniejsza łączną liczbę miejsc pracy, czy też pozostawia łączną ich liczbę mniej więcej na tym samym poziomie? Czy handel zagraniczny może mieć mniej więcej taki sam wpływ na liczbę miejsc pracy w każdej branży? Jak handel międzynarodowy jako całość może wpłynąć na średni poziom płac? Czy handel zagraniczny może mieć mniej więcej taki sam wpływ na zarobki wszystkich? Critical Thinking Questions Jeśli bariery handlowe szkodzą przeciętnemu pracownikowi w gospodarce (z powodu niższych płac), dlaczego rządy państw rozwiniętych wciąż je tworzą lub utrzymują? Jak myślisz, dlaczego standardy i warunki pracy są gorsze w krajach o niskich dochodach niż w krajach takich jak Stany Zjednoczone czy państwa UE? References Bureau of Labor Statistics. “Data Retrieval: Employment, Hours, and Earnings (CES).” Last modified February 1, 2013. http://www.bls.gov/webapps/legacy/cesbtab1.htm. Dhillon, Kiran. 2015. “Why Are U.S. Oil Imports Falling?” Time.com. Accessed April 1, 2015. http://time.com/67163/why-are-u-s-oil-imports-falling/. Kristof, Nicholas. “Let Them Sweat.” The New York Times , June 25, 2002. http://www.nytimes.com/2002/06/25/opinion/let-them-sweat.html.", "section": "Handel międzynarodowy i jego wpływ na miejsca pracy, płace i warunki pracy", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Argumenty na rzecz ograniczenia importu Po przeczytaniu tego podrozdziału będziesz w stanie: Przeanalizować różne argumenty przemawiające za ograniczeniami importu, w tym antydumpingowy oraz te dotyczące przemysłu raczkującego (protekcjonizmu wychowawczego), ochrony środowiska, niebezpiecznych dóbr konsumpcyjnych, kwestii obronności i interesu narodowego Wyjaśnić pojęcia dumpingu i wyścigu do dna Ocenić znaczenie subiektywnego postrzegania przez kraje korzyści płynących z rozwoju handlu zagranicznego Jak już wcześniej zauważyliśmy, protekcjonizm automatycznie prowadzi do sytuacji, że krajowi konsumenci produktu, który mógłby być bez ograniczeń importowany, płacą za niego wyższe ceny, z korzyścią dla krajowych producentów tego produktu. Państwa prowadzące politykę protekcjonistyczną tracą korzyści gospodarcze możliwe do osiągnięcia dzięki połączeniu przewagi komparatywnej, specjalizacji i korzyści skali. Mając na uwadze te ogólne koszty, rozważmy teraz jeden po drugim argumenty przemawiające za wprowadzaniem ograniczeń w imporcie. Argument dotyczący przemysłu raczkującego Wyobraź sobie, że Bhutan chce rozwinąć własny przemysł komputerowy, ale nie ma firm zdolnych produkować komputery wystarczająco wysokiej jakości i po wystarczająco niskiej cenie, aby konkurować na światowych rynkach. Bhutańscy politycy, liderzy biznesu i pracownicy mają jednak nadzieję, że gdy lokalny przemysł będzie miał szansę na uzyskanie niezbędnych kompetencji, zanim zmierzy się z międzynarodową konkurencją, to krajowe przedsiębiorstwo lub grupa firm rozwinie umiejętności, techniki zarządzania, technologię i skalę działania, których potrzebuje, aby stać się branżą odnoszącą sukcesy. Tak więc argumentem uzasadniającym protekcjonizm (określany w tym kontekście jako wychowawczy ) w stosunku do przemysłu raczkującego (ang. infant industry ) jest zablokowanie importu na ograniczony i z góry zdefiniowany okres, aby dać danej branży czas na rozwój, zanim zacznie konkurować na równych warunkach w globalnej gospodarce. (W można znaleźć więcej informacji na temat argumentu dotyczącego przemysłu raczkującego). Argument przemysłu raczkującego jest teoretycznie uzasadniony, a nawet rozsądny: zapewnij danej branży krótkoterminowe wsparcie poprzez ochronę przed zagraniczną konkurencją, a następnie czerp długoterminowe korzyści z posiadania prężnego przemysłu. Implementacja tego pomysłu jest jednak trudna. W wielu krajach rozwijające się gałęzie przemysłu przeszły od „dzieciństwa” do „starości”, nigdy nie osiągnąwszy wystarczającej dochodowości. Tymczasem uchylenie protekcjonistycznych barier, które miały obowiązywać w krótkim i średnim okresie, często zajmowało niezwykle dużo czasu. Brazylia traktowała swój przemysł komputerowy jako raczkujący przez blisko 20 lat, począwszy od końca lat 70. aż do początku ostatniej dekady XX w. Próbując zbudować jego pozycję w gospodarce światowej, kraj w dużej mierze zabronił importu produktów komputerowych. Ta polityka gwarantowała wzrost sprzedaży brazylijskich komputerów. Jednak w połowie lat 80., z powodu braku międzynarodowej konkurencji, branża ta w Brazylii była zacofana i przestarzała. Zwykle pozostawała w tyle za światowymi standardami pod względem ceny i wydajności o 3–5 lat, co w tak szybko zmieniającej się gałęzi jest okresem bardzo długim. Po ponad 10 latach, w czasie których brazylijski sektor komputerowy nie zdołał osiągnąć konkurencyjnej pozycji na rynkach światowych, a brazylijscy konsumenci i branże, nie mogąc korzystać z nowoczesnych komputerów, ponieśli istotne koszty, Brazylia zrezygnowała ze swojej protekcjonistycznej polityki w stosunku do przemysłu komputerowego. Protekcjonizm nowo powstających gałęzi przemysłu zawsze oznacza koszty dla krajowych użytkowników danego produktu i zazwyczaj zapewnia niewielkie korzyści w postaci silniejszych, konkurencyjnych gałęzi gospodarki. Jednak kilka krajów Azji Wschodniej stanowi wyjątek. Japonia, Korea, Tajlandia i inne państwa tego regionu czasami zapewniały pakiet pośrednich i bezpośrednich subsydiów trafiających do niektórych branż, w tym ochronę przed zagraniczną konkurencją i pożyczki rządowe oprocentowane poniżej ceny rynkowej. W Japonii i Korei dotacje pomogły uruchomić krajowy przemysł stalowy i samochodowy. Dlaczego w Azji Wschodniej polityka protekcjonistyczna wdrażana wraz z systemem subsydiów dla przemysłu raczkującego działała dość dobrze? W badaniu Banku Światowego z początku 1990 r. przedstawiono trzy wytyczne dla krajów rozważających ochronę przemysłu raczkującego: Nie zapewniaj korzyści płynących z protekcjonizmu i innych subsydiów wszystkim branżom, ale skup się na kilku, w których twój kraj ma realną szansę na bycie producentem światowej klasy. Unikaj protekcjonizmu w obszarach takich jak np. produkcja komputerów lub technologie IT, bo wiele innych gałęzi opiera swoją konkurencyjność na najlepszych dostępnych produktach tej branży. Pomaganie temu sektorowi przez nakładanie wysokich kosztów na inne nie wydaje się korzystne dla całej gospodarki. Jasno określ, kiedy usuniesz bariery protekcjonistyczne chroniące przemysł raczkujący. W Korei w latach 70. i 80. ub. wieku powszechną praktyką było łączenie protekcjonizmu i subsydiów ze skalą sprzedaży eksportowej na rynkach światowych. Jeśli sprzedaż chronionego przemysłu do innych krajów wzrosła, to przemysł raczkujący odniósł sukces i rząd mógł stopniowo wycofywać się z mechanizmów ochronnych. Jeśli sprzedaż eksportowa nie wzrosła, oznaczało to porażkę polityki protekcjonistycznej i rząd również mógł stopniowo się z niej wycofywać. Tak czy inaczej, tego typu rozwiązania miały charakter tymczasowy. Przestrzeganie tych zasad jest łatwiejsze w teorii niż w praktyce. Kwestie polityczne często wpływają zarówno na wybór branż, które będą czerpać korzyści z cieplarnianych warunków, jak i czas wycofywania ograniczeń importowych i innych subsydiów. Ponadto jeśli rząd danego kraju chce kosztem swoich obywateli zapewnić subsydia kilku kluczowym branżom, ma do tego wiele narzędzi, takich jak bezpośrednie dotacje, pożyczki, ukierunkowane obniżki podatków oraz rządowe wsparcie badań i rozwoju nowych technologii. Innymi słowy, protekcjonizm nie jest jedynym ani nawet najlepszym sposobem wspierania kluczowych branż. Odwiedź tę stronę , aby obejrzeć prezentację Pankaja Ghemawata, który podaje w wątpliwość stopień integracji światowej gospodarki. Argument antydumpingowy Dumping to praktyka polegająca na sprzedaży towarów poniżej kosztów ich produkcji. Przepisy antydumpingowe (ang. anti-dumping laws ) blokują import takich towarów, nakładając cła, które podnoszą ich cenę do poziomu odzwierciedlającego rzeczywisty koszt ich wytworzenia. Ponieważ zgodnie z zasadami Światowej Organizacji Handlu (WTO) dumping nie jest dozwolony, kraje, które uważają, że są odbiorcami towarów oferowanych po cenach dumpingowych, mogą złożyć skargę do WTO. Liczba skarg antydumpingowych w ostatnich latach wzrosła, z ok. 100 spraw rocznie pod koniec lat 80. ubiegłego stulecia do ok. 200 na początku XXI w. Pewnie nie zaskoczy cię informacja, że przypadki zgłoszeń dumpingu mają charakter antycykliczny. W czasie recesji liczba zakładanych spraw rośnie, a w okresie ożywienia gospodarczego – maleje. Poszczególne kraje często wszczynają również własne dochodzenia antydumpingowe. Rząd USA wydał dziesiątki nakazów antydumpingowych. Na przykład w 2009 r. wśród towarów importowanych do USA objętych nakazami antydumpingowymi znajdowały się: makaron z Turcji, stalowe łączniki rurowe z Tajlandii, samoprzylepna taśma z Włoch, konserwowane grzyby i wyroby papierowe z Indii oraz cięta na wymiar stal i koncentrat soku jabłkowego z Chin. Dlaczego niektóre firmy uciekają się do dumpingu? Dlaczego zagraniczne firmy miałyby eksportować produkt po cenie niższej niż koszt jego produkcji, co prawdopodobnie oznacza ponoszenie strat? Na tak postawione pytanie można udzielić dwóch różnych odpowiedzi. Taką, która wyklucza złą wolę, i drugą, dopuszczającą całkowicie świadome działanie. Czasami w sprzedaży dóbr poniżej kosztu ich wytwarzania nie ma złych intencji. Przecież cena rynkowa determinowana jest przez wzajemną współzależność popytu i podaży, a nie tylko koszty produkcji. Może się zdarzyć, że popyt na dany produkt przesuwa się w lewo lub podaż przesuwa się w prawo, co obniża cenę rynkową nawet poniżej kosztów jego produkcji. Na przykład gdy lokalny sklep organizuje wyprzedaże, może oferować towary poniżej kosztów produkcji. Jeśli międzynarodowe firmy odkryją, że istnieje nadwyżka podaży stali, układów scalonych lub obrabiarek, która obniża ich cenę rynkową, a dobra te zostały już wyprodukowane i zalegają w magazynach, ich cena na światowym rynku może się okazać niższa od kosztów produkcji. Niekiedy jednak dumping jest częścią długoterminowej strategii, która pozwala osiągnąć w nie do końca legalny sposób pozycję monopolistyczną. Zagraniczne firmy sprzedają towary po cenach niższych od kosztów produkcji przez krótki okres, a kiedy wyeliminują krajową konkurencję, podnoszą ceny. Ekonomiści czasami nazywają takie ceny dumpingowymi, o czym mówimy w podrozdziale https://openstax.org/books/mikroekonomia-podstawy/pages/8-wprowadzenie-do-rozdzialu . Czy procedury antydumpingowe powinny być ograniczone? W kwestii procedur antydumpingowych pojawiają się dwa pytania. Czy takie działanie ma sens z punktu widzenia teorii ekonomii i czy jest to rozsądny sposób postępowania w kontekście polityki gospodarczej. Jeśli chodzi o teorię ekonomii, argumenty przemawiające za przepisami antydumpingowymi nie są zbyt mocne. Na rynku rządzonym przez popyt i podaż rząd nie gwarantuje, że firmy będą w stanie osiągnąć zysk. W końcu niskie ceny są trudne do zaakceptowania dla producentów, ale przynoszą korzyści konsumentom. Co więcej, chociaż w wielu przypadkach zagraniczni producenci wyparli firmy krajowe, nie ma udokumentowanych przykładów, żeby w kolejnym kroku podnieśli ceny. Zazwyczaj w dalszym ciągu ostro konkurują ze sobą i zapewniają konsumentom niskie ceny. Krótko mówiąc, trudno jest znaleźć dowody na stosowanie cen dumpingowych przez zagraniczne firmy eksportujące do krajów rozwiniętych. Nawet jeśli można argumentować, że rząd powinien czasami uchwalić przepisy antydumpingowe w krótkim okresie i pozwolić na wznowienie wolnego handlu wkrótce potem, pojawia się obawa, że procedury antydumpingowe często dotyczą bardziej samej polityki niż uważnej analizy konkretnego przypadku. Departament Handlu USA jest odpowiedzialny za obliczenie właściwego „kosztu produkcji”, co może być zarówno sztuką, jak i nauką. Na przykład jeśli firma zbudowała nową fabrykę dwa lata temu, to czy powinna wliczać część kosztów związanych z powstaniem tego zakładu do tegorocznych kosztów produkcji, czy nie? Kiedy firma znajduje się w kraju, w którym rząd kontroluje ceny, np. w Chinach, to jak można zmierzyć prawdziwy koszt produkcji? Gdy krajowy przemysł skarży się wystarczająco głośno, rządowe organy regulacyjne z dużym prawdopodobieństwem stwierdzą, że doszło do nieuczciwego dumpingu. Często dzieje się tak, że rodzimy przemysł składa skargę antydumpingową, rządy spotykają się i negocjują zmniejszenie importu, a następnie krajowi producenci rezygnują z pozwu. W takich przypadkach sprawy antydumpingowe wydają się zaledwie przykrywką dla nakładania ceł lub ustanawiania kwot importowych. W latach 80. ubiegłego wieku Stany Zjednoczone, Kanada, Unia Europejska, Australia i Nowa Zelandia uznały za zasadne prawie wszystkie wnioski antydumpingowe. Do 2000 r. kraje takie jak Argentyna, Brazylia, Korea Południowa, RPA, Meksyk i Indie składały większość wniosków antydumpingowych do WTO. Ponieważ liczba takich spraw wzrosła, a Stany Zjednoczone i Unia Europejska czują się celem działań antydumpingowych innych państw, WTO może zaproponować dodatkowe wytyczne, aby ograniczyć zasięg procedur antydumpingowych. Argument dotyczący ochrony środowiska W ciągu ostatnich kilku lat dyskusja o wpływie światowego handlu na środowisko naturalne (z argumentami odwołującymi się m.in. do śladu węglowego) rozgorzała z niezwykłą siłą. Prezes Sierra Club, organizacji lobbującej na rzecz ochrony środowiska, napisał kiedyś: „Konsekwencje globalizacji dla środowiska nie są dobre. (…) Globalizacja, jeśli dopisze nam szczęście, podniesie średnie dochody na tyle, byśmy mogli zapłacić za posprzątanie części bałaganu, którego narobiliśmy. Ale zanim osiągniemy ten stan, globalizacja może również zniszczyć wystarczającą liczbę ekosystemów naszej planety tak, że perspektywy życia staną się radykalnie zagrożone”. Gdyby wolny handel zagraniczny oznaczał zniszczenie samego życia, to nawet ekonomiści opowiedzieliby się za protekcjonizmem! Chociaż globalizacja – i wszelkiego rodzaju działalność gospodarcza – mogą stanowić zagrożenie dla środowiska naturalnego, wydaje się całkiem możliwe, że dzięki odpowiednim zabezpieczeniom możemy zminimalizować wpływ handlu międzynarodowego na globalny ekosystem. W niektórych przypadkach handel może nawet przynieść środowisku korzyści. Ogólnie rzecz biorąc, państwa o wysokich dochodach, takie jak Stany Zjednoczone, Kanada, Japonia i kraje Unii Europejskiej, mają stosunkowo surowe normy środowiskowe. Z kolei w krajach o średnim i niskim dochodzie – Brazylii, Nigerii, Indiach czy Chinach – standardy środowiskowe są niższe. Zarówno rządy, jak i społeczeństwa tych państw wyznają pogląd, zgodnie z którym ochrona środowiska to luksus. Gdy tylko ich mieszkańcy będą mieli wystarczająco dużo jedzenia, przyzwoitą opiekę zdrowotną i wyższą oczekiwaną długość życia, wtedy wydadzą więcej pieniędzy na takie kwestie jak oczyszczalnie ścieków, filtry zmniejszające zanieczyszczenia powietrza z fabrycznych kominów i parki narodowe w celu ochrony dzikiej przyrody. Ta luka w standardach ochrony środowiska między krajami o wysokich i niskich dochodach w świecie rosnącego globalnego handlu rodzi dwie niepokojące możliwości: scenariusz „wyścigu do dna” i pytanie o to, jak szybko standardy ochrony środowiska ulegną poprawie w państwach o niskich dochodach. Scenariusz wyścigu do dna Wyścig do dna (ang. race to the bottom ) jest scenariuszem globalnej degradacji środowiska. Nastawione na zysk przedsiębiorstwa międzynarodowe przenoszą produkcję z krajów dbających o środowisko do państw o niskich standardach w tym względzie, zmniejszając w ten sposób swoje koszty i zwiększając zyski. W obliczu takiego zachowania kraje obniżają swoje normy środowiskowe, aby przyciągnąć międzynarodowe firmy, które przecież zapewniają miejsca pracy i generują wzrost wartości wytwarzanych dóbr i usług. W rezultacie globalna produkcja koncentruje się tam, gdzie firmy mogą najbardziej zanieczyszczać środowisko bez konieczności ponoszenia dodatkowych kosztów, a prawodawcy w kwestii ochrony środowiska wszędzie prowadzą „wyścig do dna”. Chociaż ten scenariusz brzmi wiarygodnie, wydaje się, że nie opisuje on precyzyjnie otaczającej nas rzeczywistości. W istocie zachęty finansowe dla firm do przenoszenia produkcji do krajów ubogich w celu skorzystania z ich liberalnych przepisów ochrony środowiska nie wydają się szczególnie silne. Kiedy firmy decydują, gdzie ulokować nową fabrykę, biorą pod uwagę wiele różnych czynników: koszty pracy i kapitału finansowego, lokalizację (czy jest blisko wiarygodnych dostawców surowców i klientów), jakość sieci transportowych, komunikacyjnych i elektroenergetycznych, poziom opodatkowania oraz kompetencje i uczciwość lokalnych władz. Oczywiście koszt przestrzegania przepisów dotyczących ochrony środowiska też jest czynnikiem branym pod uwagę, ale zazwyczaj nie przekraczają one 1–2% kosztów całkowitych, z jakimi borykają się duże zakłady przemysłowe. Inne czynniki, które determinują lokalizację, są dla tych firm znacznie ważniejsze niż próba zaoszczędzenia na kosztach ochrony środowiska. Kiedy międzynarodowa firma decyduje się na budowę zakładu w kraju o niskich dochodach, w którym obowiązują szczątkowe przepisy dotyczące ochrony środowiska, zazwyczaj jest on podobny do tych działających w państwach bogatych, gdzie obowiązują bardziej rygorystyczne normy. Częściowo wynika to z faktu, że projektowanie zakładu przemysłowego jest zadaniem złożonym i kosztownym, więc jeśli zakład dobrze działa w kraju o wysokich dochodach, firmy wolą wszędzie stosować ten sam projekt. Przedsiębiorstwa zdają sobie również sprawę z tego, że jeśli spowodują katastrofę ekologiczną w kraju o niskich dochodach, prawdopodobnie będzie to oznaczało znaczne koszty związane z koniecznością opłacenia szkód, utratę zaufania i zmniejszenie sprzedaży. Budując wszędzie nowoczesne zakłady, minimalizują takie ryzyko. W wyniku tych uwarunkowań zakłady przemysłowe będące własnością podmiotów z krajów rozwiniętych działające w państwach o niskich dochodach często spełniają znacznie surowsze normy środowiskowe niż wymagane lokalnie. Naciski na kraje o niskich dochodach w celu wprowadzenia ostrzejszych standardów ochrony środowiska W niektórych przypadkach problemem nie jest to, że globalizacja wywiera presję na kraje o niskich dochodach, aby obniżyły swoje normy środowiskowe, ale skuteczność presji wywieranej na te kraje za pomocą polityki handlowej w celu przyjęcia przez nie znacznie ostrzejszych standardów w zakresie ochrony środowiska. Na przykład ograniczenia importu kości słoniowej w krajach o wysokich dochodach, wraz z silniejszymi wysiłkami rządów na rzecz zwalczania kłusownictwa, przyczyniły się do ograniczenia tego procederu w niektórych państwach afrykańskich. Byłoby jednak wysoce niedemokratyczne, gdyby dobrze odżywieni obywatele krajów o wysokich dochodach próbowali dyktować niedożywionym obywatelom państw biednych, jaką politykę wewnętrzną i priorytety muszą przyjąć lub jak powinni równoważyć cele środowiskowe z innymi priorytetami społecznymi. Co więcej, jeśli kraje o wysokich dochodach chcą zaostrzonych norm środowiskowych w państwach o niskich dochodach, mają wiele innych opcji oprócz groźby protekcjonizmu. Na przykład mogą płacić za sprzęt do zwalczania zanieczyszczeń w krajach biednych lub wspierać finansowo tamtejsze parki narodowe. Państwa o wysokich dochodach mogłyby też finansować badania, które pomogłyby ekologom z krajów biednych bardziej przekonująco uzasadnić korzyści ekonomiczne wynikające z ochrony środowiska. W końcu ochrona środowiska jest ważna dla dwóch branż o kluczowym znaczeniu dla wielu krajów o niskich dochodach, czyli rolnictwa i turystyki. Zwolennicy ochrony środowiska mogą ustanowić standardy etykietowania produktów informacjami w rodzaju: „Ten tuńczyk został złapany w sieć, która chroniła delfiny” lub „Ten produkt został wykonany wyłącznie z drewna, które nie pochodzi z lasów deszczowych”, aby poprzez nacisk ze strony konsumentów wzmocnić wartości ekologiczne. Organizacja Narodów Zjednoczonych również wspiera te wartości, sponsorując traktaty dotyczące takich kwestii, jak zmiany klimatyczne i globalne ocieplenie, ochrona bioróżnorodności, pustynnienie i zdrowie środowiskowe dna morskiego. Kraje, które mają wspólną granicę lub są położone w tym samym regionie, często podpisują również umowy środowiskowe dotyczące praw do powietrza i wody. WTO, coraz bardziej świadoma kwestii ochrony środowiska, również dba o to, by wzrost handlu nie powodował szkód dla globalnych ekosystemów. Argument dotyczący niebezpiecznych dóbr konsumpcyjnych Jednym z argumentów przemawiających za wykluczeniem niektórych importowanych produktów z lokalnych rynków jest to, że są one niebezpieczne dla konsumentów. Grupy zajmujące się prawami konsumentów ostrzegały czasem, że Światowa Organizacja Handlu będzie wymagać od krajów obniżenia standardów bezpieczeństwa i higieny importowanych produktów. Jednak WTO wyjaśnia swoje aktualne porozumienie w tej sprawie tak: „Pozwalamy krajom ustalać własne standardy”. Stwierdza również, że „przepisy muszą być oparte na racjonalnych (naukowych) argumentach. (…) I nie powinny arbitralnie lub bezpodstawnie dyskryminować krajów, w których panują identyczne lub podobne warunki”. Zgodnie zatem z zasadami WTO, Stany Zjednoczone i UE całkowicie legalnie uchwalają przepisy wymagające, aby wszystkie produkty spożywcze lub samochody sprzedawane w Stanach Zjednoczonych lub na terenie Unii Europejskiej spełniały określone normy bezpieczeństwa zatwierdzone przez rząd Stanów Zjednoczonych i Komisję Europejską, niezależnie od tego, czy inne kraje zdecydują się spełnić podobne standardy, czy nie. Jednak takie standardy muszą mieć jakieś podstawy naukowe. Niewłaściwe jest narzucanie jednego zestawu norm bezpieczeństwa i higieny dla towarów produkowanych w kraju, a innego dla importu lub jednego zestawu norm dla importu z Europy, a odmiennego dla importu z Ameryki Łacińskiej. W 2007 r. Mattel wycofał z amerykańskiego rynku prawie 2 mln zabawek sprowadzonych z Chin z powodu obaw o wysoki poziom ołowiu w wykorzystanej do ich produkcji farbie, a także niektóre części, które małe dziecko mogło odczepić i połknąć. Nie jest jasne, czy inne zabawki były kontrolowane pod tym samym kątem. W 2013 r. Japonia zablokowała import pszenicy z USA z powodu obaw, że dostawy mogą zawierać pszenicę genetycznie modyfikowaną (GMO). Obecnie nie dysponujemy jednak argumentami opartymi na wiedzy naukowej, które potwierdzałyby szkodliwy wpływ takiego ziarna na ludzi lub zwierzęta hodowlane. Argument dotyczący kwestii obronności i interesu narodowego Niektórzy twierdzą, że żaden kraj nie powinien zbytnio polegać na innych państwach w zakresie dostaw pewnych kluczowych produktów, takich jak ropa naftowa, lub specjalnych materiałów czy technologii mogących mieć zastosowanie w dziedzinach związanych z obronnością i bezpieczeństwem narodowym. Jednak po dokładniejszej analizie ten argument przemawiający za protekcjonizmem okazuje się raczej słaby. Na przykład w Stanach Zjednoczonych ropa naftowa dostarcza ok. 36% całej wykorzystywanej energii, a 25% ropy zużywanej w gospodarce kraju pochodzi z importu. Kilka razy w ciągu ostatnich kilku dekad, gdy polityczne zawirowania na Bliskim Wschodzie przesunęły krzywą podaży ropy silnie w lewo i gwałtownie podniosły jej cenę, skutki były odczuwalne w całej gospodarce USA. Nie jest to jednak zbyt przekonujący argument za ograniczaniem importu ropy. Jeśli Stany Zjednoczone muszą być chronione przed możliwym odcięciem dostaw, bardziej rozsądną strategią byłoby kupowanie 100% ropy naftowej za granicą już teraz i oszczędzanie zasobów krajowych na wypadek odcięcia dostaw zagranicznych w przyszłości. Przydatne może być również importowanie dodatkowej ropy i składowanie jej na zapas do wykorzystania w sytuacjach kryzysowych, jak zrobił to rząd Stanów Zjednoczonych, uruchamiając w 1977 r. strategiczne rezerwy ropy naftowej. Co więcej, mogłoby być konieczne zniechęcenie ludzi do używania ropy i rozpoczęcie potężnego programu poszukiwania alternatyw dla tego surowca. Prostym sposobem osiągnięcia tego celu byłoby podniesienie podatków nakładanych na paliwa węglowodorowe. Ponadto argumentacja, że skoro ropa jest bardzo ważna dla gospodarki Stanów Zjednoczonych, kraj ten powinien odciąć się od importu ropy i szybciej zużyć własne jej zasoby, jest pozbawiona sensu. Nieco inną kwestią jest ograniczanie importu technologii lub materiałów, które mogą mieć istotne znaczenie dla bezpieczeństwa narodowego i systemów uzbrojenia. Jeśli konstruktorzy broni nie są pewni, że nadal będą mieli dostęp do kluczowych produktów w czasie wojny, mogą unikać ich wykorzystywania, a jeśli jest to niemożliwe, zaprojektować broń i zgromadzić wystarczającą ilość najważniejszych, zaawansowanych technologicznie produktów, komponentów lub materiałów, które pozwolą prowadzić konflikt zbrojny. Dlatego m.in. USA dysponują tak pokaźnymi strategicznymi zapasami tlenków glinu, antymonu i boksytu, wolframu, ekstraktów roślinnych garbników i cynku (jakkolwiek w ostatnich latach wiele z tych zapasów zostało zredukowanych i sprzedanych). Czy uważasz, że każdy kraj jest zwolennikiem rozszerzania skali międzynarodowej wymiany handlowej? A co z USA? Treść następnej tabeli może cię zaskoczyć. Co naprawdę Stany Zjednoczone myślą o rozwijaniu handlu zagranicznego? Co ludzie na całym świecie myślą o rozwijaniu międzynarodowego handlu? Latem 2007 r. Fundacja Pew przebadała 45 tys. osób w 47 krajach. Jedno z zadanych wówczas pytań dotyczyło opinii na temat zacieśniania więzi handlowych pomiędzy państwami. pokazuje odsetek osób w różnych krajach, które udzieliły odpowiedzi „bardzo dobry” lub „raczej dobry” na pytanie o to, czy rosnąca skala wymiany handlowej to ich zdaniem pożądany trend. Dla tych, którzy myślą o Stanach Zjednoczonych jako o największym na świecie zwolenniku rozwoju swobodnego handlu zagranicznego, wyniki badania mogą być kłopotliwe. Sumując udziały tych, którzy twierdzą, że rosnące więzi handlowe między krajami są „bardzo dobre” lub „raczej dobre”, Amerykanie mieli najmniej przychylny stosunek do postępującej globalizacji, podczas gdy Chińczycy i mieszkańcy RPA uplasowali się najwyżej. W rzeczywistości spośród 47 krajów objętych badaniem Stany Zjednoczone zajęły najniższą pozycję pod tym względem. Dokonana przez respondentów ocena trendu zacieśniania więzów handlowych między krajami Kraj Bardzo dobry Raczej dobry Razem Chiny 38% 53% 91% Afryka Południowa 42% 43% 87% Korea Południowa 24% 62% 86% Niemcy 30% 55% 85% Kanada 29% 53% 82% Wielka Brytania 28% 50% 78% Meksyk 22% 55% 77% Brazylia 13% 59% 72% Japonia 17% 55% 72% USA 14% 45% 59% (Źródło: Pew Research Center). Ostatnim powodem, dla którego ekonomiści często sceptycznie podchodzą do argumentu dotyczącego obronności i interesu narodowego (ang. national interest argument ), jest to, że lobbyści i politycy mogą podciągnąć pod tę kategorię niemal każdy produkt. W 1954 r. Stany Zjednoczone zaniepokoiły się, że importują połowę wełny potrzebnej do produkcji mundurów wojskowych, więc uznały wełnę i moher za materiał strategiczny i zaczęły dotować hodowców. Chociaż w 1960 r. rząd usunął wełnę z oficjalnej listy materiałów strategicznych, dotacje na moher utrzymywały się przez prawie 40 lat. Rząd uchylił je dopiero w 1993 r., a następnie… przywrócił subsydia w 2002 r. Zbyt często interes narodowy może stać się pretekstem do udzielania subwencji i wprowadzania protekcjonistycznych rozwiązań sprzyjających konkretnym przedsiębiorstwom i branżom. W końcu to politycy, a nie bezpartyjni analitycy podejmują decyzje o tym, co stanowi kluczowy surowiec strategiczny. Key Concepts and Summary Istnieje szereg argumentów przemawiających za ograniczaniem importu. Odwołują się one do chęci ochrony przemysłów raczkujących, walki z cenami dumpingowymi, kwestii ochrony środowiska oraz bezpieczeństwa dóbr konsumpcyjnych, obronności i interesu narodowego. Protekcjonizm dotyczący branż raczkujących jest najczęściej uzasadniany tym, że rozwijające się gałęzie krajowe muszą być tymczasowo chronione przed zagraniczną konkurencją, aby mogły uzyskać potencjał umożliwiający im rywalizowanie na rynkach światowych. W niektórych przypadkach, zwłaszcza w Azji Południowo-Wschodniej, takie podejście się sprawdziło. Często jednak młode gałęzie przemysłu nigdy nie rozwijają się w takim stopniu, aby w istocie móc podjąć skuteczną konkurencję. Z drugiej strony argumenty przeciwko dumpingowi (czyli ustalaniu cen poniżej kosztów produkcji w celu wypchnięcia konkurentów z rynku) często wydają się po prostu wygodną wymówką usprawiedliwiającą protekcjonizm. Kraje o niskich dochodach zazwyczaj mają niższe standardy ochrony środowiska niż państwa zamożne, ponieważ troszczą się przede wszystkim o podstawowe potrzeby swoich obywateli, takie jak żywność, edukacja i opieka zdrowotna. Jednakże wyeliminowanie handlu, z wyjątkiem niewielkiej liczby skrajnych przypadków, wydaje się mało skuteczną metodą osiągania korzystnych efektów środowiskowych. Wreszcie są też argumenty dotyczące bezpieczeństwa i ochrony interesu narodowego. Zgodnie z zasadami Światowej Organizacji Handlu kraje mogą ustalać dowolne normy bezpieczeństwa produktów, ale muszą być one takie same zarówno dla produktów krajowych, jak i importowanych, a także mieć naukowe podstawy. Zwolennicy protekcjonizmu odwołujący się do interesu narodowego przekonują, że nierozsądne jest importowanie pewnych kluczowych towarów, bo jeśli naród stanie się od nich zależny, będzie narażony na ich politycznie motywowane odcięcie. Jednak często rozsądniej jest gromadzić zasoby i korzystać z zagranicznych dostaw, gdy są one dostępne, niż zapobiegawczo ograniczać import, aby się od niego nie uzależniać. Self-Check Questions Wyjaśnij, w jaki sposób ceny dumpingowe mogą być motywacją do sprzedawania importowanych produktów poniżej kosztów ich produkcji. Jeżeli dobra importowane można sprzedawać po wyjątkowo niskich cenach, firmy krajowe muszą dostosować się do tych cen, aby zachować konkurencyjność. Z definicji dopasowanie cen oznaczałoby jednak sprzedaż poniżej kosztów produkcji, a tym samym utratę przychodów i zysków. Firmy nie mogą bowiem wiecznie ponosić strat. Po opuszczeniu branży przez krajowych producentów importerzy mogą przejąć kontrolę nad rynkiem, podnosząc ceny do poziomu monopolu, aby pokryć poniesione wcześniej krótkoterminowe straty i osiągnąć długoterminowe zyski. Dlaczego kraje o niskich dochodach, takie jak Brazylia, Egipt czy Wietnam, mają niższe standardy ochrony środowiska niż państwa o wysokich dochodach, takie jak Niemcy, Japonia czy Stany Zjednoczone? Ponieważ kraje o niskich dochodach muszą zapewnić swoim mieszkańcom przede wszystkim dobra pierwszej potrzeby – żywność, odzież i schronienie. Innymi słowy, ochronę środowiska uważają za luksus. Wyjaśnij logikę argumentu wyścigu do dna i podaj prawdopodobny powód, dla którego jest ona wątpliwa. Kraje o niskich dochodach mogą konkurować o miejsca pracy, obniżając normy i ograniczając regulacje dotyczące ochrony środowiska, aby przyciągnąć do siebie produkcję przemysłową. Jednak chociaż zarządzanie zanieczyszczeniami stanowi dla firm obciążenie, jest ono niewielkie w porównaniu z innymi, takimi jak koszty pracy i infrastruktury. Dla firm kosztowna jest również lokalizacja z dala od swoich klientów. Jakie warunki dany kraj musi spełnić, aby do zablokowania importu wykorzystać argument dotyczący niebezpiecznych dóbr konsumpcyjnych? Decyzja nie powinna być arbitralna ani niepotrzebnie dyskryminująca. Powinna traktować firmy zagraniczne tak samo jak krajowe i opierać się na argumentach naukowych. Dlaczego argument dotyczący obronności i bezpieczeństwa narodowego nie jest dostatecznie przekonujący? Ograniczenie importu dzisiaj nie rozwiązuje problemu strategicznych zasobów. Może nawet pogarszać sytuację, ponieważ oznacza szybsze zużycie krajowych źródeł niż w przypadku korzystania z importu. Ponadto argument bezpieczeństwa narodowego może być wykorzystany do ochrony niemal każdego produktu, nie tylko dóbr rzeczywiście krytycznych dla tego obszaru. Załóżmy, że rynek jest doskonale konkurencyjny, a kraj eksportujący mały. Posługując się diagramem popytu i podaży, pokaż wpływ rosnących standardów bezpieczeństwa na sytuację eksportera zabawek z kraju o niskich dochodach, a następnie wpływ ceł. Czy oddziaływanie obu narzędzi z zakresu polityki protekcjonistycznej na ceny zabawek jest takie samo? Dlaczego podnoszenie standardów bezpieczeństwa jest wybierane chętniej niż nakładanie ceł? Efekt podniesienia standardów bezpieczeństwa może spowodować wzrost kosztów dla małego kraju eksportującego. Krzywa podaży zabawek przesunie się w lewo. Zmniejszy się eksport, a ceny zabawek wzrosną. Cła również podnoszą ceny. A zatem wpływ na cenę zabawek jest taki sam. Niemniej cła będą generować niekorzystne efekty również w innych sektorach, dlatego podnoszenie standardów bezpieczeństwa wydaje się korzystniejszą polityką. Review Questions Jakie są główne powody ochrony przemysłów raczkujących? Dlaczego trudno jest przestać je chronić? Co to jest dumping? Dlaczego zakazanie tego procederu jest prostsze w teorii niż w praktyce? Czym jest scenariusz wyścigu do dna? Czy zasady handlu międzynarodowego wymagają, aby wszystkie narody wprowadzały te same standardy bezpieczeństwa w przypadku dóbr konsumpcyjnych? Jaka jest logika protekcjonistycznego argumentu dotyczącego kwestii obronności i interesu narodowego w odniesieniu do niektórych produktów? Critical Thinking Questions Dlaczego dotacje bezpośrednie do kluczowych gałęzi przemysłu byłyby lepsze niż cła lub kwoty importowe? W jaki sposób rządy mogą zidentyfikować branże, które kwalifikują się do ochrony przemysłów raczkujących? Czy możesz zaproponować kilka kluczowych cech takich gałęzi? Dlaczego branże takie jak produkcja komputerów nie są dobrymi kandydatami do ochrony w początkowej fazie ich rozwoju w danym kraju? Teoria mikroekonomii twierdzi, że ekonomicznie racjonalne (i opłacalne) jest sprzedawanie dodatkowej produkcji, o ile cena pokrywa zmienne koszty produkcji. Jakie to ma znaczenie dla ustalenia, czy doszło do dumpingu? Jak myślisz, jak czuliby się Polacy, gdyby inne kraje zaczęły nakłaniać Polskę do podniesienia standardów ochrony środowiska? Czy uzasadnione jest narzucanie na towary importowane standardów bezpieczeństwa wyższych niż na towary wytwarzane na terenie danego kraju? Dlaczego argument dotyczący bezpieczeństwa produktów konsumpcyjnych może być skuteczniejszą strategią (z perspektywy kraju importującego) ograniczania importu niż stosowanie ceł lub kwot importowych? Dlaczego podatek nakładany na konsumpcję dóbr wykorzystujących strategiczne (z punktu widzenia bezpieczeństwa narodowego) zasoby może być skuteczniejszym podejściem niż bariery w imporcie? Problems Właśnie spoczęła na tobie odpowiedzialność za politykę handlową Malawi. Kawa jest nowym typem upraw w tym kraju, który dobrze się rozwija, a rynek eksportowy się powiększa. W związku z tym produkcja kawy w Malawi jest przemysłem raczkującym. Plantatorzy kawy próbują cię przekonać do wprowadzenia ochrony tej branży przed importem taniej kawy z Tanzanii. Jakie narzędzia wykorzystasz? Uzasadnij swoją odpowiedź. Kraina Pieprzu eksportuje stal do Krainy Okrętów Podwodnych. Informacje dotyczące wielkości popytu (Q d ) i podaży (Q s ) stali w każdym kraju w warunkach pełnej autarkii są wskazane w i . Kraina Pieprzu Cena (w dol.) Q d Q s 60 230 180 70 200 200 80 170 220 90 150 240 100 140 250 Kraina okrętów podwodnych Cena (w dol.) Q d Q s 60 430 310 70 420 330 80 410 360 90 400 400 100 390 440 Jaka byłaby cena i ilość stali w równowadze w każdym kraju w warunkach pełnej autarkii? Uzasadnij swoją odpowiedź. Jaka byłaby cena i ilość stali w równowadze w każdym kraju, gdyby zezwolono na handel? Uzasadnij swoją odpowiedź. Naszkicuj dwa diagramy podaży i popytu, po jednym dla każdego kraju, w warunkach pełnej autarkii. Na tych wykresach pokaż cenę równowagi oraz poziomy eksportu i importu po wprowadzeniu wymiany handlowej. Jeśli Kraina Okrętów Podwodnych nakłada antydumpingową kwotę importową na stal w wysokości 30, wyjaśnij ogólnie, czy przyniesie to korzyść, czy zaszkodzi konsumentom i producentom w każdym kraju. Czy twoja ogólna odpowiedź ulegnie zmianie, jeśli Kraina Okrętów Podwodnych narzuci kwotę importową na stal w wysokości 70? References Kohut, Andrew, Richard Wike, and Juliana Horowitz. “The Pew Global Attitudes Project.” Pew Research Center . Last modified October 4, 2007. http://www.pewglobal.org/files/pdf/258.pdf. Lutz, Hannah. 2015. “U.S. Auto Exports Hit Record in 2014.” Automotive News. Accessed April 1, 2015. http://www.autonews.com/article/20150206/OEM01/150209875/u.s.-auto-exports-hit-record-in-2014. przepisy antydumpingowe (ang. anti-dumping laws ) przepisy, które blokują import dóbr i usług sprzedawanych poniżej kosztów ich produkcji, i nakładają cła podnoszące cenę takich produktów do poziomu odzwierciedlającego pełne koszty ich wytwarzania dumping (ang. dumping ) sprzedaż towarów w obrocie międzynarodowym po cenach niższych od kosztów ich produkcji argument dotyczący obronności i interesu narodowego (ang. national interest argument ) argument, zgodnie z którym istnieją kluczowe produkty, których nie można importować (lub należy zmniejszać skalę ich importu), gdyż zależność w tej materii od zagranicy osłabia zdolności obronne danego kraju lub naraża na szwank (nieprecyzyjnie definiowany) interes narodowy wyścig do dna (ang. race to the bottom ) sytuacja, w której produkcja jest najchętniej lokalizowana w krajach o najniższych standardach ochrony środowiska, co wywiera presję na ich obniżanie w innych państwach przemysł raczkujący (ang. infant industry ) gałąź przemysłu znajdująca się na bardzo wczesnym etapie rozwoju", "section": "Argumenty na rzecz ograniczenia importu", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Jak rządy wdrażają politykę handlową: globalnie, regionalnie i na szczeblu krajowym Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić genezę i rolę Układu Ogólnego w sprawie Taryf Celnych i Handlu (GATT) oraz Światowej Organizacji Handlu (WTO) Omówić znaczenie i podać przykłady regionalnych porozumień handlowych Przeanalizować politykę handlową na poziomie krajowym Ocenić długoterminowe trendy dotyczące nakładania ograniczeń na międzynarodową wymianę handlową Kwestie właściwej reakcji polityk publicznych w dziedzinie globalizacji i handlu międzynarodowego są dyskutowane w różnych gremiach: na poziomie globalnym poprzez Światową Organizację Handlu, a także w ramach regionalnych umów handlowych pomiędzy zainteresowanymi krajami. Światowa Organizacja Handlu Światowa Organizacja Handlu (ang. World Trade Organization , WTO ) oficjalnie powstała w 1995 r., ale jej historia jest znacznie dłuższa. Po Wielkim Kryzysie i II wojnie światowej w niemal wszystkich krajach świata (z wyłączeniem bloku skupionego wokół ZSRR) dość powszechnie podzielaną potrzebą było stworzenie instytucji, które umożliwiłyby intensyfikację relacji ekonomicznych. Organizacja Narodów Zjednoczonych oficjalnie powstała w 1945 r. Bank Światowy, pomagający najbiedniejszym krajom świata, oraz Międzynarodowy Fundusz Walutowy, który zajmuje się kwestiami związanymi z międzynarodowymi transakcjami finansowymi, zostały utworzone rok później. Trzecią organizacją, której powstanie planowano, miała być Międzynarodową Organizacją Handlu zarządzająca międzynarodową wymianą handlową. Organizacji Narodów Zjednoczonych nie udało się jednak porozumieć w tej kwestii. Zamiast tego 30 października 1947 r. w Genewie 27 krajów podpisało Układ Ogólny w sprawie Taryf Celnych i Handlu (ang. General Agreement on Tariffs and Trade, GATT ) tworząc forum, na którym państwa mogły negocjować obniżki ceł i znoszenie innych barier w handlu. W 1995 r. GATT przekształcił się w WTO. Proces negocjacji w ramach GATT polegał na uzgodnieniu umowy o zmniejszeniu barier w handlu, podpisaniu tej umowy i po pewnym okresie rozpoczęciu kolejnej rundy negocjacji dotyczącej kolejnych zagadnień. W przedstawiono rundy rozmów w GATT, a obecnie w WTO. Zauważ, że wczesne rundy negocjacji GATT trwały stosunkowo krótko, obejmowały niewielką liczbę krajów i skupiały się prawie wyłącznie na obniżaniu ceł. Jednak od połowy lat 60. ub. w. rundy rozmów handlowych trwały znacznie dłużej, obejmowały rosnącą liczbę krajów i uwzględniały coraz szerszy zakres zagadnień. Rundy Negocjacyjne GATT i Światowej Organizacji Handlu Rok Nazwa rundy Główne tematy Liczba zaangażowanych krajów 1947 Genewska Obniżka taryf celnych 23 1949 z Annecy Obniżka taryf celnych 13 1951 z Torquay Obniżka taryf celnych 38 1956 Genewska II Obniżka taryf celnych 26 1960–61 Dillona Obniżka taryf celnych 26 1964–67 Kennedy'ego Taryfy celne, procedury antydumpingowe 62 1973–79 Tokijska Taryfy celne, bariery pozataryfowe 102 1986–94 Urugwajska Cła, bariery pozataryfowe, usługi, własność intelektualna, rozstrzyganie sporów, tekstylia, rolnictwo, utworzenie WTO 123 2001– z Dohy Rolnictwo, usługi, własność intelektualna, konkurencja, inwestycje, środowisko, rozstrzyganie sporów 147 Powolne tempo negocjacji GATT doprowadziło do powstania niezbyt śmiesznego żartu, jakoby skrót GATT tak naprawdę oznaczał milczącą zgodę na niekończące się rozmowy (Gentleman’s Agreement to Talk and Talk). Wolne tempo międzynarodowych rozmów handlowych jest jednak zrozumiałe, a nawet rozsądne. Zgoda tak licznej grupy krajów na jakikolwiek traktat to proces długotrwały. GATT często ustanawia odrębne zasady handlu dla niektórych branż, takich jak rolnictwo, a także dla niektórych krajów, takich jak państwa biedne. Były zasady, wyjątki od zasad, możliwości rezygnacji z zasad i precyzyjne sformułowania, o które w każdym przypadku trzeba było walczyć. Podobnie jak wcześniej GATT, WTO nie jest rządem światowym mającym uprawnienia do narzucania swoich postanowień. W 2014 r. WTO zatrudniała 640 osób, a jej roczny budżet od tego czasu wynosi 197 mln dol., co czyni ją mniejszą niż wiele dużych amerykańskich uniwersytetów. Regionalne umowy handlowe Na całym świecie różne kraje starają się tworzyć mechanizmy integracji gospodarczej. Należą do nich umowy o wolnym handlu (ang. free trade agreement ), w ramach których strony sygnatariusze zgadzają się na prowadzenie wymiany handlowej wolnej od ceł, kwot i kwot importowych, wspólne rynki (ang. common market ), których uczestnicy prowadzą wspólną zewnętrzną politykę handlową (nie tylko likwidują bariery w ramach handlu krajów tworzących wspólny rynek, ale uzgadniają też swoją politykę w stosunku do krajów pozostających poza nim), jak również pełne unie gospodarcze (ang. economic union ), w których oprócz wspólnego rynku koordynowana jest również polityka monetarna i fiskalna. Wiele krajów należy zarówno do Światowej Organizacji Handlu, jak i regionalnych porozumień handlowych. Najbardziej znanym regionalnym porozumieniem (nie tylko) handlowym jest Unia Europejska . Po zakończeniu II wojny światowej przywódcy kilku europejskich narodów (m.in. K. Adenauer z Niemiec, A. De Gasperi z Włoch, W. Churchill z Wielkiej Brytanii i Francuzi J. Monnet i R. Schuman) doszli do wniosku, że gdyby mogli ściślej powiązać swoje gospodarki, prawdopodobieństwo wybuchu kolejnego konfliktu zbrojnego byłoby znacznie mniejsze. Proces integracji zajął ponad 50 lat, od umowy o wolnym handlu, poprzez wspólny rynek, aż do pełnej unii gospodarczej, czyli obecnej Unii Europejskiej. UE ma wiele celów. Na przykład na początku 2000 r. wprowadziła wspólną walutę – euro i stopniowo wycofała większość dawnych krajowych walut, takich jak marka niemiecka i frank francuski, chociaż kilka krajów członkowskich (np. Dania, Szwecja, Czechy, Polska itd.) zachowało własny pieniądz. Innym kluczowym elementem unii, obejmującym wszystkie kraje bez wyjątku i wprowadzonym wcześniej, jest eliminacja barier w przepływie towarów, pracy i kapitału w Europie. Najważniejszą regionalną umową handlową na zachodniej półkuli jest Północnoamerykańska umowa o wolnym handlu (ang. North American Free Trade Agreement - NAFTA ). Z dniem 1 lipca 2020 r. NAFTA została oficjalnie zastąpiona umową o wolnym handlu między Stanami Zjednoczonymi, Meksykiem i Kanadą (USMCA). Jest ona zasadniczo podobna do oryginalnej NAFTA. Stany Zjednoczone uczestniczą również w niektórych mniej znaczących regionalnych umowach handlowych, takich jak Inicjatywa na rzecz Basenu Karaibskiego, która oferuje obniżone cła na import z tych krajów, oraz umowa o wolnym handlu z Izraelem. W ostatnich latach świat był świadkiem prawdziwego wysypu regionalnych porozumień handlowych. Obecnie mamy ich ok. 100. W wymieniono kilka bardziej znanych. Niektóre z nich to jedynie porozumienia uzgadniające wolę prowadzenia dalszych rozmów. Inne wyznaczają konkretne cele dotyczące redukcji ceł, kwot importowych i barier pozataryfowych. Jeden z ekonomistów określił obecne traktaty handlowe jako „miskę spaghetti”, tak bowiem wyglądałaby mapa z liniami łączącymi wszystkie kraje, które zawarły traktaty handlowe. Ekonomiści opowiadający się za wolnym handlem obawiają się, że niektóre z tych regionalnych porozumień mogą obiecywać wolny handel, ale w rzeczywistości stanowią sposób na ograniczanie handlu z krajami i regionami, które nie są sygnatariuszami umowy. W niektórych przypadkach regionalne umowy handlowe mogą nawet kolidować z szerszymi umowami Światowej Organizacji Handlu. Niektóre regionalne umowy handlowe Umowy handlowe Kraje członkowskie Współpraca Gospodarcza Azji i Pacyfiku (APEC) Australia, Brunei, Chile, Chińska Republika Ludowa, Tajwan, Filipiny, Hongkong, Indonezja, Japonia, Kanada, Malezja, Meksyk, Nowa Zelandia, Papua-Nowa Gwinea, Peru, Republika Korei, Rosja, Singapur, Stany Zjednoczone, Tajlandia, Wietnam Unia Europejska (UE) Austria, Belgia, Bułgaria, Chorwacja, Cypr, Czechy, Dania, Estonia, Finlandia, Francja, Grecja, Hiszpania, Holandia, Irlandia, Litwa, Luksemburg, Łotwa, Malta, Niemcy, Polska, Portugalia, Rumunia, Słowacja, Słowenia, Szwecja, Węgry, Włochy Umowa o wolnym handlu w Ameryce Północnej (NAFTA) Kanada, Meksyk, Stany Zjednoczone Stowarzyszenie Integracji Ameryki Łacińskiej (LAIA) Argentyna, Boliwia, Brazylia, Chile, Ekwador, Kolumbia, Meksyk, Paragwaj, Peru, Urugwaj, Wenezuela Stowarzyszenie Narodów Azji Południowo-Wschodniej (ASEAN) Brunei, Filipiny, Indonezja, Kambodża, Laos, Malezja, Mjanma, Singapur, Tajlandia, Wietnam Południowoafrykańska Wspólnota Rozwoju (SADC) Angola, Botswana, Kongo, Lesotho, Madagaskar, Malawi, Mauritius, Mozambik, Namibia, Seszele, RPA, Suazi, Tanzania, Zambia, Zimbabwe Polityka handlowa na poziomie krajowym Kolejny wymiar polityki handlowej, obok międzynarodowych i regionalnych umów handlowych, występuje na poziomie krajowym. Na przykład Stany Zjednoczone nakładają kwoty importowe na cukier z obawy, że taki import obniży cenę cukru, a tym samym zaszkodzi krajowym producentom tego produktu. Jednym z zadań Departamentu Handlu Stanów Zjednoczonych jest ustalenie, czy ma miejsce dumping ze strony innych krajów. Komisja Handlu Międzynarodowego Stanów Zjednoczonych – agencja rządowa – orzeka, czy dumping poważnie zaszkodził przemysłowi krajowemu. Jeśli tak, prezydent może nałożyć cła mające zrównoważyć nieuczciwie niską cenę. Często wydaje się, że na arenie polityki handlowej walka toczy się między przepisami krajowymi, które zwiększają protekcjonizm, a umowami międzynarodowymi, które próbują zmniejszyć jego skalę, takimi jak WTO. Dlaczego kraj miałby uchwalać prawa lub negocjować umowy, aby odciąć się od niektórych produktów zagranicznych, takich jak cukier czy tekstylia, jednocześnie negocjując ogólnie w celu zmniejszenia barier handlowych? Jedną z prawdopodobnych odpowiedzi jest to, że międzynarodowe umowy handlowe pozwalają krajom ograniczać wpływ grup nacisku. Członek Kongresu może powiedzieć przemysłowi lobbującemu za cłami lub kontyngentami na import: „Oczywiście, chciałbym ci pomóc, ale to nieznośne porozumienie WTO po prostu mi na to nie pozwala”. Jeśli konsumenci ponoszą największe koszty polityki protekcjonistycznej, dlaczego nie próbują ograniczyć skali jej stosowania? Najbardziej prawdopodobna odpowiedź jest taka, że łatwiej jest zorganizować małą grupę podmiotów wokół wąskiej kwestii, która przynosi im znaczne korzyści (czyli producentów jakiegoś towaru), niż dużą grupę, której potencjalne korzyści nie są zbyt duże (czyli konsumentów). To jest pytanie o teorię polityki handlowej. Odwiedź tę stronę i przeczytaj artykuł Jonathana Raucha na ten temat. Długoterminowe tendencje w dziedzinie barier handlowych Na paskach w programach informacyjnych polityka handlowa pojawia się głównie w kontekście sporów i napięć. Sprawy o „nieuczciwe” praktyki handlowe innych państw wnoszone są w ramach procedur rozstrzygania sporów do WTO, Unii Europejskiej, NAFTA i innych regionalnych porozumień handlowych. Politycy w krajowych ciałach ustawodawczych, podjudzani przez lobbystów, często grożą uchwaleniem ustaw, które „ustanowią uczciwe warunki gry” lub „zapobiegną nieuczciwemu handlowi” – chociaż większość takich aktów legislacyjnych to po prostu wnioski o wprowadzenie takich czy innych praktyk protekcjonistycznych. Mniej lub bardziej uzasadnione obawy o utratę miejsc pracy sprawiają, że protestujący na ulicach mogą sprzeciwiać się określonym zasadom opisującym wymianę handlową z zagranicą lub wręcz samej idei handlu międzynarodowego. Pomimo wszystkich kontrowersji w ciągu ostatnich 60 lat świat wyraźnie zmierza w kierunku niższych barier w handlu. Średni poziom ceł nakładanych przez kraje uprzemysłowione na importowane produkty w 1946 r. wynosił 40%. W roku 1990, po dziesięcioleciach negocjacji GATT, spadł do mniej niż 5%. Jednym z powodów, dla których środek ciężkości w ramach negocjacji GATT przesunął się z obniżania ceł we wczesnych rundach na szerszą listę postulatów, było to, że cła zostały już obniżone radykalnie i w tej dziedzinie nie pozostało wiele do zrobienia. Chociaż miary dotyczące kwot importowych i barier pozataryfowych są mniej dokładne niż te dotyczące ceł, na ogół wydają się utrzymywać również na niższym poziomie niż wcześniej. W związku z tym ostatnie półwiecze przyniosło zarówno radykalne zmniejszenie barier w handlu tworzonych przez rządy, takich jak cła, kwoty importowe i bariery pozataryfowe, jak i szereg osiągnięć technologicznych, które ułatwiły handel międzynarodowy, takich jak postępy w transporcie, komunikacji i zarządzaniu informacją. Rezultatem był potężny wzrost wolumenu handlu międzynarodowego. Trendy te mogą zostać zmienione przez dwa ważne wydarzenia, do których doszło w 2016 r.: głosowanie Wielkiej Brytanii za opuszczeniem UE oraz wybór Donalda Trumpa na prezydenta Stanów Zjednoczonych, którego administracja realizowała politykę podnoszenia barier handlowych (w 2018 r. USA zwiększyło do 25% cła na towary importowane z Chin). Podwyżka ceł została utrzymana przez kolejnego prezydenta, Joe Bidena (dane z września 2023). Czas pokaże, czy jesteśmy świadkami zmiany dotychczasowego trendu, czy jedynie obserwujemy przejściowe zaburzenia w liberalizacji relacji ekonomicznych na świecie. Key Concepts and Summary Państwa określają politykę handlową na wielu różnych poziomach: agencji działających w ramach administracji publicznej, aktów prawnych uchwalanych przez ustawodawców, negocjacji regionalnych pomiędzy niewielkimi grupami krajów (czasem tylko dwoma) oraz negocjacji globalnych za pośrednictwem Światowej Organizacji Handlu. W drugiej połowie XX w. w gospodarce światowej średni poziom barier handlowych znacznie się zmniejszył. Jednym z powodów, dla których kraje podpisują międzynarodowe umowy handlowe, aby zobowiązać się do wolnego handlu, jest zapewnienie sobie ochrony przed grupami lobbystycznymi działający na poziomie krajowym i regionalnym. Kiedy przemysł lobbuje za ochroną przed zagranicznymi producentami, politycy mogą wskazać, że z powodu traktatu handlowego mają związane ręce. Self-Check Questions Jaka jest różnica między strefą wolnego handlu, wspólnym rynkiem i unią gospodarczą? Strefa wolnego handlu oferuje wolny od ceł i innych barier handel między swoimi członkami, ale każdy kraj może określić własną politykę handlową w stosunku do krajów trzecich. Wspólny rynek wymaga wspólnej zewnętrznej polityki handlowej oprócz wolnego handlu w ramach grupy. Unia gospodarcza to wspólny rynek ze skoordynowaną polityką fiskalną i monetarną. Dlaczego kraje miałyby promować protekcjonistyczne prawa, a jednocześnie negocjować zasady wolnego handlu na arenie międzynarodowej? Umowy międzynarodowe mogą służyć jako polityczna przeciwwaga dla partykularnych krajowych interesów, zapobiegając w ten sposób silniejszym tendencjom protekcjonistycznym. Co może odpowiadać za znaczący wzrost handlu międzynarodowego w ciągu ostatnich 50 lat? Obniżenie ceł, likwidacja kwot importowych i innych barier handlowych, a także rozwój środków transportu i komunikacji sprawiły, że ludzie są bardziej świadomi tego, co jest dostępne w innych krajach świata. Review Questions Wymień kilka traktatów międzynarodowych, w ramach których państwa negocjują politykę handlową. Jaki jest ogólny trend dotyczący barier handlowych w ostatnich dziesięcioleciach: są one wyższe, niższe lub mniej więcej takie same? Skoro otwarcie się na wolny handel przynosi krajom korzyści, to dlaczego państwa po prostu nie eliminują swoich barier handlowych bez zawracania sobie głowy międzynarodowymi negocjacjami? Critical Thinking Questions Dlaczego twoim zdaniem ostatnie rundy GATT, a obecnie negocjacje WTO, stały się dłuższe i trudniejsze do rozstrzygnięcia? Aby odnieść sukces, unia gospodarcza wymaga rezygnacji z części politycznej autonomii. Jakie są przykłady władzy politycznej, z której państwa musiały zrezygnować, aby stać się członkami unii gospodarczej? References United States Department of Labor. Bureau of Labor Statistics. 2015. “Employment Situation Summary.” Accessed April 1, 2015. http://www.bls.gov/news.release/empsit.nr0.htm. United States Department of Commerce. “About the Department of Commerce.” Accessed January 6, 2014. http://www.commerce.gov/about-department-commerce. United States International Trade Commission. “About the USITC.” Accessed January 6, 2014. http://www.usitc.gov/press_room/about_usitc.htm. wspólny rynek (ang. common market ) umowa gospodarcza między krajami umożliwiająca swobodny przepływ dóbr i usług oraz czynników produkcji (pracy i kapitału) pomiędzy sygnatariuszami, przy jednoczesnej wspólnej zewnętrznej polityce handlowej unia gospodarcza (ang. economic union ) umowa gospodarcza między krajami uwzględniająca wszystkie zasady wspólnego rynku, a także koordynację polityki fiskalnej i pieniężnej umowa o wolnym handlu (ang. free trade agreement ) umowa gospodarcza między krajami umożliwiająca wolny od ceł handel pomiędzy krajami sygnatariuszami Układ ogólny w sprawie taryf celnych i handlu (ang. General Agreement on Tariffs and Trade, GATT ) forum, na którym państwa mogły negocjować obniżki ceł i innych barier w handlu międzynarodowym; prekursor Światowej Organizacji Handlu", "section": "Jak rządy wdrażają politykę handlową: globalnie, regionalnie i na szczeblu krajowym", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Kompromisy w polityce handlowej Pod przeczytaniu tego podrozdziału będziesz w stanie: Ocenić w pełni złożoność handlu międzynarodowego Wskazać powody, dla których handel międzynarodowy tak bardzo wpływa na gospodarkę rynkową Wyjaśnić pojęcie i znaczenie „przełomowej zmiany na rynku” Ekonomiści chętnie przyznają, że handel międzynarodowy to nie tylko sielanka i sukcesy. Z biegiem czasu przeciętny człowiek zyskuje na handlu międzynarodowym, zarówno jako pracownik, który ma większą produktywność i wyższe zarobki ze względu na korzyści płynące ze specjalizacji i przewagi komparatywnej, jak i jako konsument, mogący czerpać korzyści z zakupów bardziej różnorodnych towarów wytwarzanych na całym świecie, o wysokiej jakości, w atrakcyjnych cenach. „Przeciętna osoba” jest jednak lubianym przez ekonomistów konstruktem teoretycznym, a nie realnie istniejącym bytem – reprezentuje mieszankę tych, którym poszło bardzo dobrze, tych, którym poszło dobrze, i tych, którym poszło zupełnie źle. Politycy powinni koncentrować swoje wysiłki nie tylko na „przeciętnych osobach” i niewątpliwych historiach sukcesu, ale także na tych, którzy szczęścia nie mieli. Wśród ważnych kwestii związanych z handlem międzynarodowym należy jeszcze raz wskazać pracowników w innych krajach (szczególnie tych o średnich i niskich dochodach), środowisko naturalne, perspektywy dla nowych gałęzi przemysłu, jak również obronność i kluczowe interesy gospodarki narodowej. Wśród ekonomistów panuje powszechne przekonanie, że lepiej jest czerpać korzyści płynące z handlu zagranicznego, nawet jeżeli w konsekwencji trzeba będzie radzić sobie ze wskazanymi wyżej kosztami i wyborami typu „coś za coś” (ang. tradeoffs ), niż całkowicie rezygnować z wymiany handlowej z zagranicą, aby uniknąć konieczności ich ponoszenia. Aby uzyskać lepsze intuicyjne zrozumienie tego argumentu, wyobraźmy sobie hipotetyczną amerykańską firmę o nazwie Technotron. Technotron opracowuje nową technologię, która pozwala firmie zwiększyć wydajność i jakość swoich towarów przy mniejszej liczbie pracowników i tym samym przy niższych kosztach. W wyniku tej technologii inne amerykańskie firmy z tej branży stracą pieniądze i będą musiały zwolnić pracowników, a niektóre nawet zbankrutują. Czy rząd Stanów Zjednoczonych powinien chronić istniejące firmy i ich pracowników, zakazując Technotronowi korzystania z nowej technologii? Większość ludzi żyjących w gospodarkach zorientowanych na rynek sprzeciwiałaby się blokowaniu lepszych produktów, które obniżają koszt towarów i usług. Z pewnością istnieje sytuacja, w której społeczeństwo zapewnia tymczasowe wsparcie i pomoc tym, którzy znajdują się bez pracy. Wiele osób opowiada się za wsparciem w postaci rządowych programów zachęcających do przekwalifikowania się i nabywania dodatkowych umiejętności. Rząd może również wspierać wysiłki badawczo-rozwojowe, aby inne firmy mogły znaleźć sposoby na prześcignięcie Technotronu. Całkowite zablokowanie nowej technologii wydaje się jednak błędem. W końcu niewiele osób opowiedziałoby się za rezygnacją z elektryczności, ponieważ uderzy ona w producentów nafty i świec. Niewielu sugerowałoby powstrzymanie się od ulepszeń w technologii medycznej, ponieważ mogą one spowodować utratę pieniędzy przez firmy sprzedające pijawki i olej z węża. Krótko mówiąc, większość ludzi postrzega zakłócenia spowodowane zmianami technologicznymi jako konieczny koszt, który z pewnością warto ponieść. Teraz wyobraź sobie, że nowa „technologia” Technotronu jest niezwykle prosta: firma importuje po prostu to, co sprzedaje inny kraj. Innymi słowy, pomyśl o handlu zagranicznym jako o rodzaju innowacyjnej technologii. Obiektywnie rzecz biorąc, sytuacja jest teraz dokładnie taka sama jak wcześniej. Z powodu nowej technologii Technotronu – który w tym przypadku importuje towary z innego kraju – inne firmy z tej branży stracą pieniądze i zwolnią pracowników. Tak jak niewłaściwe i ostatecznie nierozsądne byłoby reagowanie na zakłócenia wywołane przez nową technologię jej zakazywaniem, tak samo niewłaściwe i ostatecznie niemądre byłoby reagowanie na zakłócenia w handlu międzynarodowym poprzez próby ograniczania jego skali. Oczywiście, niektórzy pracownicy i firmy z powodu handlu międzynarodowego ucierpią. W dynamicznej gospodarce rynkowej różne zaburzenia będę dotykać niektórych pracowników i przedsiębiorstwa. Zarządzanie przedsiębiorstwem może być lepsze lub gorsze. Pracownicy pewnej firmy mogą być mniej lub bardziej wydajni. Twardzi krajowi konkurenci mogą wywołać tyle samo zaburzeń, co twardzi konkurenci zagraniczni. Czasami nowy produkt jest hitem wśród konsumentów, a czasami porażką. Czasem firma ma szczęście, a czasem pecha. Dla niektórych firm handel międzynarodowy będzie oznaczał ogromne możliwości zwiększenia produktywności i miejsc pracy, innym przyniesie stres i ból. Zakłócenia wywołane przez handel międzynarodowy nie różnią się zasadniczo od wszystkich innych zakłóceń spowodowanych mechanizmami gospodarki rynkowej. Innymi słowy, analiza ekonomiczna pozbawionego barier handlu zagranicznego nie opiera się na przekonaniu, że międzynarodowa wymiana handlowa sprzyja wszystkim gałęziom lokalnego przemysłu, oraz oszczędza nam (producentom, konsumentom i politykom) konfrontacji z wyborami typu „coś za coś”. W rzeczywistości historia Technotronu zaczyna się od szczególnej przełomowej zmiany na rynku (ang. disruptive market change ) – nowej technologii (lub używając pojęcia wprowadzonego przez J. Schumpetera, po prostu innowacji) – która powoduje konieczność skonfrontowania się z nową sytuacją. Najlepsze rozwiązania z zakresu polityki publicznej przeciwdziałające lub łagodzące zakłócenia wywołane przez handel zagraniczny zazwyczaj nie uwzględniają praktyk protekcjonistycznych. Są to raczej sposoby rozwiązywania konkretnych problemów wynikających z tych zakłóceń, kosztów i kompromisów, przy jednoczesnym możliwie nieograniczonym czerpaniu korzyści z handlu międzynarodowego. Jakie są wady protekcjonizmu? Amerykański krajowy przemysł płaskich wyświetlaczy zatrudniał wielu pracowników, zanim ITC (komisja handlu międzynarodowego) nałożyła podatek od dumpingu na importowane substytuty. Wyświetlacze stanowią znaczną część kosztów produkcji laptopów, sięgającą nawet 50%. W związku z tym podatek antydumpingowy znacznie zwiększył koszt, a tym samym cenę laptopów produkowanych w USA. W wyniku decyzji ITC Apple przeniósł swoją krajową fabrykę komputerów Macintosh do Irlandii (gdzie już jedną miał). Toshiba zamknęła amerykańską fabrykę laptopów. A IBM porzucił plany otwarcia fabryki laptopów w Karolinie Północnej i postanowił zwiększyć moce produkcyjne w swoim zakładzie w Japonii. W tym przypadku zamiast ochronić interesy USA i zapewnić krajowym producentom przewagę nad produktami wytwarzanymi gdzie indziej podatek antydumpingowy przyniósł całkowicie niezamierzony efekt – przeniesienie do innych krajów produkcji dóbr wykorzystujących płaskie ekrany jako komponent wyrobów gotowych. Wiele osób straciło pracę, a większość produkcji płaskich wyświetlaczy odbywa się obecnie poza USA. Key Concepts and Summary Handel międzynarodowy z pewnością ma wpływ na podział dochodów. Trudno się temu dziwić. Wszystkie krajowe lub międzynarodowe konkurencyjne siły rynkowe są do pewnego stopnia destrukcyjne. Sukces rynkowy jednych zazwyczaj oznacza co najmniej kłopoty innych, a niekiedy wręcz konieczność wycofania się z danej branży. Rząd ma do odegrania swoją rolę w zabezpieczaniu pracowników przed zakłóceniami na rynku. Jednak tak jak na dłuższą metę nierozsądne byłoby ograniczanie powstawania w kraju nowych technologii i innych czynników wpływających na sytuację rynkową, tak niewskazane jest ograniczanie skali handlu zagranicznego. W obu przypadkach zakłócenia niosą ze sobą korzyści ekonomiczne, których skala znacznie przekracza potencjalne straty. Self-Check Questions Jak konkurencja, niezależnie od tego, czy krajowa, czy zagraniczna, może szkodzić przedsiębiorstwom? Konkurencja ze strony firm oferujących lepsze lub tańsze produkty może zmniejszyć zyski firmy i doprowadzić ją do wycofania się z prowadzonej działalności. W konsekwencji jej pracownicy tracą dochody, a nawet pracę. Jakie są korzyści z konkurencji? Konsumenci otrzymują lepsze i/lub tańsze produkty. Firmy z lepszymi lub tańszymi produktami zwiększają swoje zyski. Pracownicy tych firm zarabiają więcej. W sumie zyski przeważają nad stratami. Review Questions Kto zyskuje, a kto traci na handlu zagranicznym? Dlaczego handel międzynarodowy jest czynnikiem korzystnym, jeśli niektórzy ludzie z jego powodu ponoszą poważne straty? W jaki sposób rządy mogą pomóc ludziom, którzy tracą w związku z handlem zagranicznym? Critical Thinking Questions Wskaż przykłady innowacyjnych produktów, które zrewolucjonizowały wytwarzające je branże. Zasadniczo korzyści z handlu międzynarodowego dla danego kraju przewyższają koszty, bez względu na to, czy kraj importuje, czy eksportuje. W praktyce jednak nie zawsze możliwa jest pełna rekompensata kosztów poniesionych przez przegranych w danym kraju, na przykład pracowników tracących pracę z powodu importu z zagranicy. Czy twoim zdaniem oznacza to, że aby zapobiec takim kosztom, handel powinien zostać zahamowany? Ekonomiści czasami mówią, że protekcjonizm jest dopiero „drugim najlepszym” wyborem, jeśli myślimy o sposobach radzenia sobie z konkretnymi trudnościami wywołanymi przez handel zagraniczny. Istnieją bowiem inne instrumenty polityki gospodarczej, które działają bardziej bezpośrednio lub skuteczniej łagodzą dany problem, pozwalając jednocześnie osiągać korzyści z handlu zagranicznego. Wyjaśnij, dlaczego protekcjonizm jest „drugim najlepszym” wyborem w przypadku: pomocy pracownikom, którzy tracą stanowiska pracy, ochrony wybranych branż, ochrony środowiska, obrony narodowej. Handel ma wpływ na podział dochodów. Załóżmy na przykład, że z powodu przystąpienia Polski do UE wzrastają obroty handlowe pomiędzy Niemcami a Polską. Niemcy sprzedają lakiery i farby do Polski. Polska wysyła do Niemiec meble. Czy twoim zdaniem taki model handlu zwiększy lub zmniejszy liczbę miejsc pracy i płace w przemyśle lakierniczym w Niemczech? A co z branżą meblarską w tym kraju? Jak wpłynie to na przemysł lakierniczy i produkcję mebli w Polsce? Co musi się stać, aby łączna liczba osób bezrobotnych w obu krajach nie wzrosła? References E. Helpman, and O. Itskhoki, “Labour Market Rigidities, Trade and Unemployment,” The Review of Economic Studies , 77. 3 (2010): 1100-1137. M.J. Melitz, and D. Trefler. “Gains from Trade when Firms Matter.” The Journal of Economic Perspectives , 26.2 (2012): 91-118. Rauch, J. “Was Mancur Olson Wrong?” The American , February 15, 2013. http://www.american.com/archive/2013/february/was-mancur-olson-wrong. Office of the United States Trade Representative. “U.S. Trade Representative Froman Announces FY 2014 WTO Tariff-Rate Quota Allocations for Raw Cane Sugar, Refined and Specialty Sugar and Sugar-Containing Products.”Accessed January 6, 2014. http://www.ustr.gov/about-us/press-office/press-releases/2013/september/WTO-trq-for-sugar. The World Bank. “Merchandise trade (% of GDP).” Accessed January 4, 2014. http://data.worldbank.org/indicator/TG.VAL.TOTL.GD.ZS. World Trade Organization. 2014. “Annual Report 2014.” Accessed April 1, 2015. https://www.wto.org/english/res_e/booksp_e/anrep_e/anrep14_chap10_e.pdf. przełomowa zmiana na rynku (ang. disruptive market change ) nowy produkt lub technologia produkcji, które przełamują status quo na rynku, pozwalając innowatorom osiągnąć większe zyski, a dla innych przedsiębiorstw, niepotrafiących wprowadzić własnych innowacji, oznaczają utratę dochodów; innowacja powstaje dzięki wykorzystaniu postępów wiedzy innowacja zob. przełomowa zmiana na rynku", "section": "Kompromisy w polityce handlowej", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Matematyka zastosowana w tym podręczniku Istnieją niematematyczne sposoby przedstawiania modeli ekonomicznych, np. w formie tekstu. Ale po co walić pięścią w gwóźdź, skoro masz młotek? Matematyka ma pewną przewagę nad tekstem. Gdy redukujesz model do równań algebraicznych, systematyzujesz myślenie i unikasz niejasności. Oczywiście podejście matematyczne ma również wady. Modele matematyczne z konieczności opierają się na upraszczających założeniach, więc prawdopodobnie nie będą realistyczne. Modelom matematycznym brakuje również niuansów, które można znaleźć w modelach opisowych. Matematyka jest soildnym narzędziem na użytek ekonomistów. Jakie umiejętności matematyczne są ci potrzebne do zrozumienia tej książki? Odpowiedź brzmi: niewiele większe niż algebra i rozumienie wykresów na poziomie szkoły średniej. Musisz wiedzieć: Czym jest funkcja Jak interpretować równanie funkcji liniowej (tj. nachylenie i punkty przecięcia z osiami) Jak przesuwać funkcję liniową (tj. zmieniać jej nachylenie lub punkty przecięcia) Jak obliczyć i interpretować stopę wzrostu (tj. zmianę procentową) Jak czytać i modyfikować wykresy. Posługujemy się matematyką w najprostszym możliwym wydaniu, co przedstawiamy w tym dodatku. Jeśli znajdziesz w książce fragmenty matematyczne, których nie rozumiesz, wróć do tego dodatku. Jak większość rzeczy, korzyści z nauki matematyki zachowują się zgodnie z prawem malejących przychodów. Odrobina umiejętności matematycznych daje bardzo dużo; im bardziej zaawansowaną matematykę poznajesz, tym mniej dodatkowej wiedzy uzyskujesz. Prawdę mówiąc, jeśli zamierzasz studiować ekonomię, naucz się podstaw rachunku różniczkowego. Warto poświęcić na niego trochę czasu, gdyż pomoże ci szybciej zgłębić zaawansowaną ekonomię. Modele algebraiczne Modele ekonomiczne (lub fragmenty modeli) są często wyrażane za pomocą funkcji matematycznych. Czym jest funkcja? Funkcja (ang. function ) opisuje związek. Czasami związek jest definicją. Na przykład (używając słów), twoim profesorem jest Adam Smith. Można to wyrazić jako Profesor = Adam Smith. Można tez zapisać tak twoich przyjaciół: Przyjaciele = Robert + Szymon + Magda. W ekonomii funkcje często opisują przyczynę i skutek. Zmienna po lewej stronie równania jest zmienną objaśnianą („skutkiem”). Zmienne po prawej stronie są zmiennymi objaśniającymi („przyczynami”). Załóżmy na przykład, że średnia twoich ocen została opisana w następujący sposób: Średnia ocen = 0,25 × łączny wynik egzaminu + 0,25 × obecność na zajęciach + 0,50 × liczba godzin nauki Z powyższego równania wynika, że średnia ocena zależy od trzech czynników: łącznego wyniku egzaminu, obecności na zajęciach i liczby godzin nauki. Równanie wskazuje również, że czas nauki jest dwa razy ważniejszy (0,50) niż wynik matury (0,25) lub obecność na zajęciach (0,25). Jeżeli ten związek jest prawdziwy, to jak możesz podnieść średnią ocenę? Nie opuszczając zajęć i ucząc się więcej. Pamiętaj, że nie możesz nic zrobić z wynikiem egzaminu wstępnego lub matury, ponieważ jeśli jesteś już na studiach, to już go za sobą. Oczywiście modele ekonomiczne przedstawiają zależności z wykorzystaniem zmiennych ekonomicznych. Na przykład, Budżet = pieniądze wydane na książki z ekonomii + pieniądze wydane na muzykę, zakładając, że jedyne rzeczy, które kupujesz, to książki z ekonomii i muzyka. Większość związków opisywanych w niniejszym podręczniku jest wyrażonych w postaci równań liniowych: y = b + mx Graficzne przedstawianie równań Wykresy są przydatne do dwóch celów. Pierwszym jest wizualne przedstawienie równań, a drugim - wyświetlanie statystyk lub danych. W tej sekcji omówimy wizualne przedstawianie równań. Dla matematyka lub ekonomisty zmienna (ang. variable ) to wielkość, która może przyjąć pewien zakres wartości. W powyższym równaniu prostej x i y są zmiennymi, przy czym x znajduje się na osi poziomej, y na osi pionowej, zaś b i m to parametry określające kształt prostej. Aby zobaczyć, jak to działa, rozważ przykład liczbowy: y = 9 + 3x W powyższym równaniu, opisującym określoną funkcję liniową, parametr b wynosi 9, a parametr m jest równy 3. pokazuje wartości x i y zgodnie z tym równaniem. Równanie oraz wspomniane wartości są także zilustrowane na . Aby stworzyć tabelę, wstaw szereg różnych wartości x, a następnie oblicz odpowiadającą im wartość y. Rysunek przedstawia te punkty oraz poprowadzoną przez nie linię. Nachylenie, przecięcie i równanie funkcji liniowej y = 9 + 3x. Wartości dla zmiennych x i y x y 0 9 1 12 2 15 3 18 4 21 5 24 6 27 Funkcja liniowa Na wykresie zmienna x jest zaznaczona na osi poziomej, a zmienna y - na osi pionowej. Punkt przecięcia funkcji z osią y ma wartość 9. Nachylenie funkcji wynosi 3, co oznacza, że wzrost o 3 na osi pionowej przypada na każdy wzrost o 1 na osi poziomej. Nachylenie jest takie samo wzdłuż całej linii prostej. Powyższy przykład ilustruje, w jaki sposób parametry b i m w równaniu funkcji liniowej określają jej kształt i położenie. Parametr b to wyraz wolny i wskazuje na przecięcie funkcji z osią y. Dla x = 0 parametr b pokazuje punkt przecięcia funkcji z osią pionową (y). W naszym przykładzie przecięcie z osią pionową występuje przy wartości 9. Parametr m to nachylenie prostej. Nachylenie (ang. slope ) funkcji prostej jest zmianą wartości y przyjmowanych przez funkcję podzielone przez zmianę wartości argumentu x między dwoma dowolnymi punktami. W naszym przykładzie za każdym razem, gdy argument x zwiększa się o jeden, wartość y rośnie o trzy. A zatem nachylenie funkcji wynosi trzy (m = 3). Określenie punktu przecięcia z osią y oraz określenie nachylenia — czyli parametrów b i m — wystarczy do wyznaczenia konkretnej funkcji liniowej. Chociaż rzadko zdarza się, aby dane z prawdziwego świata układały się dokładnie jak linia prosta, często okazuje się, że funkcja liniowa może zapewnić rozsądne przybliżenie rzeczywistych danych. Interpretacja nachylenia Pojęcie nachylenia jest bardzo przydatne w ekonomii, ponieważ mierzy charakter związku między dwiema zmiennymi. Nachylenie dodatnie (ang. positive slope ) oznacza, że dwie zmienne są dodatnio ze sobą powiązane, tzn. gdy x rośnie, y także rośnie, a gdy x maleje, y również maleje. Na wykresie dodatnie nachylenie oznacza, że gdy poruszamy się wzdłuż funkcji liniowej z lewej do prawej strony, jej wartości y rosną. Zależność między wzrostem a masą ciała, pokazana na w dalszej części tego załącznika, jest dodatnia. W innych rozdziałach dowiesz się, że związek między ceną a wielkością podaży także jest dodatni, co oznacza, że przedsiębiorstwa wytwarzają więcej przy wyższej cenie. Nachylenie ujemne (ang. negative slope ) oznacza, że dwie zmienne są ze sobą ujemnie powiązane, tzn. gdy x rośnie, y maleje, a gdy x maleje, y rośnie. Gdy na wykresie poruszamy się od lewej do prawej strony wzdłuż funkcji liniowej o ujemnym nachyleniu, jej wartości y maleją. Zależność między wysokością nad poziomem morza a gęstością powietrza pokazana na w dalszej części tego załącznika, jest ujemna. Dowiemy się także, że zależność między ceną a wielkością popytu również jest ujemna, co oznacza, że konsumenci kupują mniej przy wyższej cenie. Nachylenie równe zero oznacza, że nie ma żadnego związku między x i y. Graficznie funkcja jest linią poziomą, czyli jej wartości nie zmieniają się przy zmianach argumentu. dotycząca stopy bezrobocia w dalszej części tego załącznika pokazuje typowy charakter wielu wykresów liniowych: niektóre fragmenty wykresu mają nachylenie dodatnie, inne - ujemne, a jeszcze inne mają nachylenie bliskie zeru. Nachylenie funkcji liniowej między dwoma punktami można przedstawić liczbowo. Zacznijmy od wyznaczenia jednego punktu jako „punktu początkowego”, a drugiego jako „punktu końcowego”. Następnie obliczamy zmianę wartości funkcji y oraz zmianę jej argumentu x między tymi dwoma punktami. Jako przykład, rozważmy nachylenie funkcji gęstości powietrza między punktami reprezentującymi wysokość 4000 m i 6000 m nad poziomem morza: Zmiana wartości y: Zmiana wartości zmiennej na osi pionowej (punkt końcowy minus punkt początkowy) = 0,100 – 0,307 = –0,207 Zmiana argumentu x: Zmiana wartości zmiennej na osi poziomej (punkt końcowy minus punkt początkowy) = 6000 – 4000 = 2000 Stąd nachylenie linii prostej między tymi dwoma punktami wskazuje, że od wysokości 4000 m do 6000 m gęstość powietrza spada o około 0,1 kg/m 3 na każde 1000 m. Załóżmy, że porównujemy kilka funkcji liniowych o różnym nachyleniu (m) i że rozważamy na moment tylko wartość bezwzględną m. Dla funkcji o dużych wartościach bezwzględnych m (np. y = 4 + 15x albo y = 4 – 10x ) linie proste będą bardziej strome niż dla m przyjmującego małe wartości (np. y = 4 + 3x lub y = 4 – 2x ). Gdy nachylenie jest dodatnie (czyli m = 15 lub m = 3 w powyższych przykładach), prosta rośnie w kierunku prawej górnej ćwiartki wykresu. Gdy nachylenie jest ujemne ( m = –10 lub m = –2 ), prosta maleje w kierunku prawej dolnej ćwiartki wykresu. Nachylenie zerowe to linia pozioma. Z kolei linia pionowa ma nieskończenie duże nachylenie. Załóżmy teraz, że punkt przecięcia funkcji z osią pionową przesuwa się w górę. Oznacza to jednoczesne przesunięcie całej funkcji równolegle w górę. Jeśli punkt przecięcia z osią pionową przesuwa się w dół, cała funkcja również przesuwa się równolegle w dół. Algebraiczne rozwiązywanie modeli Ekonomiści często używają modeli, aby odpowiedzieć na konkretne pytanie, np.: jaka będzie stopa bezrobocia, jeśli gospodarka będzie rosła w tempie 3% rocznie? Odpowiedź na konkretne pytanie wymaga rozwiązania „układu” równań opisujących dany model. Załóżmy, że popyt na pizzę wyraża następujące równanie: Q d = 16 – 2P gdzie Q d to liczba placków pizzy, którą konsumenci chcą kupić (tj. wielkość popytu), a P jest ceną pizzy. Załóżmy, że podaż pizzy dana jest równaniem: Q s = 2 + 5P gdzie Q s to liczba placków pizzy dostarczana przez producentów (tj. wielkość podaży). Załóżmy również, że na rynku pizzy działa tak, iż popyt jest równy podaży, czyli Q d = Q s Mamy teraz układ trzech równań z trzema niewiadomymi ( Q d = Q s i P), który możemy rozwiązać za pomocą algebry: Ponieważ Q d = Q s , możemy przyrównać do siebie równania popytu i podaży: Q d = Q s 16 – 2P = 2 + 5P Odjęcie liczby 2 z obu stron i dodanie 2P do obu stron daje: 16 – 2P – 2 = 2 + 5P – 2 14 – 2P = 5P 14 – 2P + 2P = 5P + 2P 14 = 7P 14 7 = 7P 7 2 = P Innymi słowy, cena każdej pizzy wyniesie 2 dol. Ile placków kupią konsumenci? Biorąc cenę 2 dol. i podstawiając ją do równania popytu, otrzymujemy: Q d = 16 – 2P = 16 – 2(2) = 16 – 4 = 12 Jeśli więc cena wyniesie 2 dol. za pizzę, konsumenci kupią 12 sztuk. Ile wytworzą producenci? Podstawiając cenę 2 dol. do równania podaży, otrzymujemy: Q s = 2 + 5P = 2 + 5(2) = 2 + 10 = 12 Jeśli więc cena wynosi 2 dol. za pizzę, producenci wytworzą 12 placków. Oznacza to, że obliczenia wykonaliśmy poprawnie, ponieważ Q d = Q s . Rozwiązywanie modeli za pomocą wykresów Jeśli algebra nie jest twoją mocną stroną, możesz uzyskać tę samą odpowiedź za pomocą wykresów. Wykreśl równania Q d i Q s w tym samym układzie współrzędnych jak pokazano na . Ponieważ P znajduje się na osi pionowej, najlepiej jest przekształcić każde równanie jako funkcję P. Krzywa popytu ma wtedy postać P = 8 – 0,5Q d , a krzywa podaży to P = –0,4 + 0,2Q s . Punkty przecięcia z osią pionową wynoszą 8 i –0,4, a nachylenie jest równe –0,5 dla krzywej popytu i 0,2 dla krzywej podaży. Jeśli starannie narysujesz obie funkcje, zobaczysz, że w miejscu ich przecięcia ( Q s = Q d ) cena wynosi 2 dol., a liczba placków jest równa 12, tak jak uzyskano na podstawie wcześniejszych obliczeń. Wykres popytu i podaży Równania Q d i Q s są przedstawione na rysunku jako linie proste. W niniejszej książce częściej będziemy używać wykresów niż algebry, ale już znasz matematykę opisującą wykresy. Stopy wzrostu Ze stopami wzrostu mamy często do czynienia w prawdziwym świecie. Stopa wzrostu (ang. growth rate ) to po prostu procentowa zmiana pewnej zmiennej. To może być twój dochód, wielkość sprzedaży przedsiębiorstwa lub PKB jakiegoś kraju. Wzór na obliczenie stopy wzrostu jest prosty: Zmiana procentowa = Zmiana ilości Ilość Załóżmy, że dostajesz 10 dol. za godzinę pracy. Jednak twój szef jest pod takim wrażeniem twojej pracy, że daje ci podwyżkę w wysokości 2 dol. za godzinę. Zmiana procentowa (lub stopa wzrostu) twojego wynagrodzenia wyniesie 2 dol./10 dol. = 0,20 lub 20%. Aby obliczyć stopę wzrostu jakiejś zmiennej w dłuższym okresie, np. średni roczny wzrost PKB w ciągu dekady lub więcej, mianownik jest zwykle definiowany nieco inaczej. W poprzednim przykładzie zdefiniowaliśmy ilość jako ilość początkową. Jest to właściwe podejście w przypadku jednookresowych obliczeń. Jeśli natomiast obliczamy wzrost w dłuższym horyzoncie czasowym, bardziej odpowiednie jest zdefiniowanie ilości jako średniej ilości w danym okresie. Trudniej to wyjaśnić słowami niż pokazać na przykładzie. Załóżmy, że PKB danego kraju wyniósł 1 bln dol. w 2005 r. i 1,03 bln dol. w 2006 r. Tempo wzrostu między 2005 a 2006 r. byłoby zmianą PKB (1,03 bln dol. – 1,00 bln dol.) podzieloną przez średni PKB w latach 2005–2006 (1,03 bln dol. + 1,00 bln dol. )/2. Innymi słowy: = 1,03 mld dol. – 1,00 mld dol. (1,03 mld dol. + 1,00 mld dol.) / 2 = 0,03 1,015 = 0,0296 = 2,96% Zauważ, że zmiana procentowa obliczana w stosunku do wielkości początkowej dla powyższych wartości wynosi: (1,03 bln dol. – 1,00 bln dol.) / 1,00 bln dol. = 0,30, co daje mamy 3-procentowy wzrost. Kilka rzeczy jest do zapamiętania: Dodatnia stopa wzrostu oznacza, że ilość rośnie. Mniejsza stopa wzrostu oznacza, że ilość rośnie wolniej. Większa stopa wzrostu oznacza, że ilość rośnie szybciej. Ujemna stopa wzrostu oznacza, że ilość maleje. Ta sama zmiana w czasie daje mniejszą stopę wzrostu. Jeśli co roku otrzymujesz podwyżkę 2 dol., w pierwszym roku stopa wzrostu wyniesie 2 dol./10 dol. = 20%, jak pokazano wyżej. Ale w drugim roku stopa wzrostu wyniosłaby 2 dol./12 dol. = 0,167 czyli 16,7%. W trzecim roku ta sama podwyżka o 2 dol. dałaby wzrost równy 2 dol./14 dol. = 14,2%. Morał tej historii jest taki: Aby utrzymać stałą stopę wzrostu, zmiana musi zwiększać się w każdym okresie. Graficzne przedstawianie danych i interpretacja wykresów Wykresy służą również do przedstawiania danych. Jest to jedna z metod prezentacji wartości liczbowych. Wykresy zamieniają szczegółowe informacje liczbowe w wizualną formę, gdzie zależności i tendencje można łatwiej dostrzec. Na przykład, które kraje mają większą lub mniejszą populację? Uważny czytelnik mógłby przeanalizować długą listę liczb reprezentujących populacje wielu krajów, ale przy ponad 200 krajach świata przeszukanie takiej listy wymaga koncentracji i czasu. Umieszczenie tych samych liczb na wykresie może ułatwić znalezienie pewnych wzorców. Ekonomiści używają wykresów zarówno do zwięzłej i czytelnej prezentacji danych liczbowych, jak i do budowania intuicyjnego zrozumienia relacji i powiązań. W tej książce używane są trzy rodzaje wykresów: liniowe, kołowe i słupkowe. Każdy z nich jest omówiony poniżej. Przedstawiamy również ostrzeżenia o tym, jak można manipulować wykresami, aby wpłynąć na postrzeganie przez Czytelnika zależności w danych. Wykresy liniowe Wykresy, które omówiliśmy do tej pory, nazywane są wykresami liniowymi (ang. line graphs ), ponieważ pokazują zależność między dwiema zmiennymi: jedną mierzoną na osi poziomej i drugą mierzoną na osi pionowej. Czasami przydatne jest pokazanie więcej niż jednego zbioru danych na tych samych osiach. Dane z przedstawiono na , która pokazuje związek między dwiema zmiennymi: wzrostem i medianą masy ciała amerykańskich chłopców i dziewczynek w pierwszych trzech latach życia. ( Mediana (ang. median ) oznacza, że połowa wszystkich dzieci waży więcej, a połowa mniej niż wynosi mediana.) Wykres liniowy przedstawia wysokość w calach na osi poziomej i wagę w funtach na osi pionowej. Na przykład, punkt A na rysunku pokazuje, że chłopiec o wzroście 28 cali (71 cm) będzie miał medianę masy ciała około 19 funtów (8,6 kg). Jedna linia na wykresie przedstawia zależność między wzrostem a masy ciała dla chłopców, a druga - dla dziewcząt. Ten rodzaj wykresu jest szeroko stosowany przez świadczeniodawców ochrony zdrowia do sprawdzenia, czy rozwój fizyczny dziecka przebiega mniej więcej w normie. Zależność między wzrostem a masą ciała u amerykańskich chłopców i dziewcząt Wykres liniowy przedstawia zależność między wzrostem a masą ciała u chłopców i dziewcząt od urodzenia do 3. roku życia. Na przykład, punkt A pokazuje, że chłopiec o wzroście 28 cali (71 cm) waży zazwyczaj 19 funtów (9,6 kg). Zależność między wzrostem a masą ciała amerykańskich chłopców i dziewcząt Chłopcy od dnia urodzenia do 36 miesięcy Dziewczynki od dnia urodzenia do 36 miesięcy Wzrost (cale) Masa ciała (funty) Wzrost (cale) Masa ciała (funty) 20,0 8,0 20,0 7,9 22,0 10,5 22,0 10,5 24,0 13,5 24,0 13,2 26,0 16,4 26,0 16,0 28,0 19,0 28,0 18,8 30,0 21,8 30,0 21,2 32,0 24,3 32,0 24,0 34,0 27,0 34,0 26,2 36,0 29,3 36,0 28,9 38,0 32,0 38,0 31,3 Nie wszystkie zależności w ekonomii są liniowe. Czasami mają one postać nieliniową. przedstawia kolejny przykład wykresu liniowego, bazującego na danych z . W tym przypadku wykres liniowy pokazuje rozrzedzenie powietrza podczas wspinaczki w górę. Oś pozioma rysunku przedstawia wysokość mierzoną w metrach nad poziomem morza. Oś pionowa ilustruje gęstość powietrza na poszczególnych wysokościach. Gęstość powietrza jest mierzona masą powietrza na metr sześcienny (czyli w przestrzeni wysokości, szerokości i długości jednego metra). Jak wynika z wykresu, ciśnienie powietrza jest największe na poziomie morza i zmniejsza się w miarę wzrostu wysokości. pokazuje, że metr sześcienny powietrza na wysokości 500 m waży w przybliżeniu jeden kilogram. Jednak wraz ze wzrostem wysokości gęstość powietrza maleje. Metr sześcienny powietrza na szczycie Mount Everestu, tj. na wysokości ok. 8828 m, waży zaledwie 0,023 kg. Rozrzedzenie powietrza na dużych wysokościach wyjaśnia, dlaczego wielu wspinaczy górskich musi używać butli z tlenem podczas ataku szczytowego. Zależność między wysokością nad poziomem morza a gęstością powietrza Wykres pokazuje zależność między wysokością mierzoną w m n.p.m. a gęstością powietrza mierzoną w kg/m 3 . Wraz ze wzrostem wysokości, gęstość powietrza maleje. Punktowi na szczycie Mount Everestu odpowiada wysokość około 8828 metrów nad poziomem morza (oś pozioma) i gęstość powietrza 0,023 kg/m 3 (oś pionowa). Zależność między wysokością a gęstością powietrza Wysokość (m) Gęstość powietrza (kg/m 3 ) 0 1,200 500 1,093 1000 0,831 1500 0,678 2000 0,569 2500 0,484 3000 0,415 3500 0,357 4000 0,307 4500 0,231 5000 0,182 5500 0,142 6000 0,100 6500 0,085 7000 0,066 7500 0,051 8000 0,041 8500 0,025 9000 0,022 9500 0,019 10000 0,014 Zależności między wzrostem a masą ciała oraz między wysokością nad poziomem morza a gęstością powietrza zilustrowane na obu rysunkach przedstawiają wartości średnie. Jeśli zbierzesz rzeczywiste dane o ciśnieniu powietrza na różnych wysokościach, ta sama wysokość w różnych lokalizacjach geograficznych będzie charakteryzowała się nieco inną gęstością powietrza, w zależności od czynników takich jak odległość od równika, lokalne warunki pogodowe i wilgotność powietrza. Podobnie przy pomiarach wzrostu i masy ciała u dzieci przedstawionych na wcześniejszym wykresie liniowym, dzieci o określonym wzroście miałyby w rzeczywistości różne masy ciała, niektóre powyżej średniej, a inne poniżej. W prawdziwym świecie takie zróżnicowanie danych jest naturalne. Zadaniem naukowca jest uporządkowanie danych w sposób, który pomoże zrozumieć typowe wzorce. Badanie statystyk, zwłaszcza w połączeniu ze statystykami komputerowymi i wykorzystaniem arkuszy kalkulacyjnych, jest bardzo pomocne w porządkowaniu danych, rysowaniu wykresów liniowych i poszukiwaniu typowych zależności. W przypadku większości kierunków ekonomicznych i społecznych kurs statystyki jest obowiązkowy. Niektóre wykresy liniowe ilustrują szereg czasowy (ang. time series ), gdzie oś pozioma przedstawia czas, a oś pionowa — inną zmienną. Wykres zawierający szereg czasowy pokazuje wahania zmiennej w czasie. przedstawia stopę bezrobocia w Stanach Zjednoczonych od 1975 r., gdzie stopę bezrobocia definiuje się jako odsetek osób aktywnych zawodowo, którzy chcą pracować i poszukują pracy, ale nie mogą jej znaleźć. Punkty odpowiadające stopie bezrobocia w poszczególnych latach są zaznaczone na wykresie oraz połączone linią pokazującą wzrosty i spadki stopy bezrobocia od 1975 r. Wykres liniowy ułatwia na przykład stwierdzenie, że najwyższa stopa bezrobocia w analizowanym okresie wyniosła poniżej 10% na początku lat 80. XX w. oraz w 2010 r.; ponadto malała ona w latach 90. XX w., po czym wzrosła i znów spadła na początku lat 2000., a następnie gwałtownie wzrosła w okresie recesji w latach 2008–2009. Stopa bezrobocia w USA, 1975–2014 Wykres ilustruje stopę bezrobocia. Na takim wykresie łatwo dostrzec okresy wysokiego i niskiego bezrobocia. Wykresy kołowe Wykres kołowy (ang. pie graph lub pie chart ) służy do pokazania, w jaki sposób dana wielkość jest podzielona na części. Koło reprezentuje całą grupę. Wycinki koła pokazują względne rozmiary poszczególnych podgrup. pokazuje podział populacji USA na dzieci, osoby w wieku produkcyjnym i osoby starsze w 1970 r., 2000 r. oraz wg prognoz na 2030 r. Dane są najpierw przedstawione w , a następnie na trzech wykresach kołowych. Pierwsza kolumna zawiera dane na temat całkowitej populacji USA w poszczególnych latach. Kolumny 2–4 dzielą całą populację na trzy grupy wiekowe — osoby w wieku do 18 lat, 19–64 lat oraz 65 lat i więcej. W kolumnach 2–4 pierwsza wartość pokazuje faktyczną liczbę osób w danej kategorii wiekowej, a wartość w nawiasie przelicza ją na odsetek całej populacji. Struktura ludności USA według wieku w latach 1970, 2000 i 2030 (prognoza) Rok Liczba ludności 19 lat i mniej 20–64 lata 65 lat i więcej 1970 205,0 mln 77,2 (37,6%) 107,7 (52,5%) 20,1 (9,8%) 2000 275,4 mln 78,4 (28,5%) 162,2 (58,9%) 34,8 (12,6%) 2030 351,1 mln 92,6 (26,4%) 188,2 (53,6%) 70,3 (20,0%) Wykresy kołowe przedstawiające strukturę ludności USA według wieku Trzy wykresy kołowe ilustrują podział całej populacji na trzy grupy wiekowe w trzech różnych latach. Na wykresie kołowym każdy wycinek koła reprezentuje udział w całości tj. odsetek. I tak 50% to połowa koła, a 20% to jedna piąta koła. Trzy wykresy kołowe na pokazują, że udział osób w wieku 65 lat i więcej w populacji USA rośnie. Wykresy kołowe pozwalają zorientować się co do względnej wielkości różnych grup wiekowych w latach 1970, 2000 i 2030 bez konieczności analizowania konkretnych liczb i wartości procentowych z tabeli. Niektóre typowe przykłady wykorzystania wykresów kołowych obejmują strukturę ludności według wieku, poziomu dochodów, pochodzenia etnicznego, religii i zawodu; strukturę przedsiębiorstw według wielkości, branży i liczby pracowników; czy też strukturę wydatków państwa lub dochodów podatkowych według głównych kategorii. Wykresy słupkowe Wykres słupkowy (ang. bar graph ) wykorzystuje wysokość słupków do porównywania ilości. przedstawia 12 najludniejszych krajów świata. ilustruje te same dane na wykresie słupkowym. Wysokość słupka odpowiada liczbie ludności kraju. Chociaż możesz zdawać sobie sprawę, że Chiny i Indie są najbardziej zaludnionymi krajami na świecie, to rzut oka na słupki dla Chin i Indii i słupki dla innych krajów pomaga zilustrować skalę różnicy między liczbą ludności w tych państwach. Największe kraje świata pod względem liczby ludności w 2015 r. (mln) Wykres przedstawia 12 krajów świata o największej liczbie ludności. Wysokość słupków pokazuje wielkość populacji w każdym kraju. Grupa największych 12 krajów świata pod względem liczby ludności Kraj Liczba ludności (mln) Chiny 1369 Indie 1270 USA 321 Indonezja 255 Brazylia 204 Pakistan 190 Nigeria 184 Bangladesz 158 Rosja 146 Japonia 127 Meksyk 121 Filipiny 101 Wykresy słupkowe można dzielić w sposób pozwalający na przedstawienie informacji podobnych do tych, które możemy uzyskać z wykresów kołowych. zawiera trzy wykresy słupkowe oparte na danych z na temat struktury wiekowej ludności USA w latach 1970, 2000 i 2030. (a) przedstawia trzy słupki dla każdego roku, reprezentujące całkowitą liczbę osób w poszczególnych przedziałach wiekowych w każdym roku. (b) uwzględnia tylko jeden słupek dla danego roku, ale poszczególne grupy wiekowe są teraz zaznaczone wewnątrz słupka. Na (c), nadal opartym na tych samych danych, oś pionowa mierzy odsetek a nie absolutną liczbę osób. W tym przypadku wszystkie trzy słupki mają tę samą wysokość, reprezentującą 100% populacji, przy czym każdy słupek jest podzielony według odsetka populacji należącego do poszczególnych grup wiekowych. Czasami czytelnikowi łatwiej jest przejrzeć kilka wykresów słupkowych, porównując zacienione obszary, niż analizować wykresy kołowe. Ludność USA na wykresach słupkowych Dane o populacji mogą być przedstawione na różne sposoby. Wykres (a) zawiera trzy słupki dla każdego roku, przedstawiające całkowitą liczbę osób w określonym przedziale wiekowym w poszczególnych latach. Wykres (b) zawiera tylko jeden słupek dla danego roku, ale różne grupy wiekowe są zaznaczone wewnątrz słupka. Z kolei na wykresie (c) oś pionowa mierzy wartości procentowe, a nie liczbę osób. Wszystkie trzy słupki na wykresie (c) mają tę samą wysokość, a każdy z nich jest podzielony według odsetka populacji należącego do danej grupy wiekowej. i pokazują, w jaki sposób słupki mogą reprezentować kraje lub lata oraz jak oś pionowa może uwzględniać wartości liczbowe lub procentowe. Wykresy słupkowe służą również do porównywania wielkości, ilości, stawek, odległości i innych zmiennych. Porównanie wykresów liniowych z wykresami kołowymi i słupkowymi Gdy znasz już wykresy kołowe, słupkowe i liniowe, skąd wiesz, którego wykresu użyć do swoich danych? Wykresy kołowe często lepiej niż wykresy liniowe pokazują strukturę podziału pewnej grupy. Jeśli jednak wykres kołowy ma zbyt wiele wycinków, jego interpretacja może być trudna. Wykresy słupkowe są szczególnie przydatne do porównywania wielkości liczbowych. Na przykład, jeśli badasz liczbę ludności różnych krajów jak na , wykresy słupkowe mogą dobrze pokazywać związki między wielkością populacji w wielu państwach. Mogą także wyraźnie ilustrować strukturę podziału ludności według różnych cech. Wykres liniowy jest często najlepszym sposobem zobrazowania związku między dwiema zmiennymi, które się zmieniają. Przykładowo wykres z szeregiem czasowym przedstawia zmiany danej wielkości w czasie (zmiany stopy bezrobocia). Wykresy liniowe są szeroko stosowane w ekonomii do przedstawiania ciągłych danych o cenach, płacach, kupowanych i sprzedawanych ilościach dóbr i usług, czy też wielkości gospodarki. Jak wykresy mogą wprowadzać w błąd? Wykresy nie tylko ujawniają tendencje, mogą również wpływać na sposób ich postrzegania. Rozważmy wykresy liniowe przedstawione na , i . Wszystkie wykresy przedstawiają stopę bezrobocia, ale z różnych perspektyw. Przedstawianie stóp bezrobocia na różne sposoby Zmiana szerokości i wysokości obszaru wykresu może wpłynąć na sposób postrzegania danych. Przedstawianie stóp bezrobocia na różne sposoby Zmiana szerokości i wysokości obszaru wykresu może wpłynąć na sposób postrzegania danych. Załóżmy, że ktoś chce pokazać, iż wzrost bezrobocia w 2009 r. nie był aż tak duży w perspektywie historycznej. Wówczas może przedstawić dane jak na (a). (a) zawiera informacje pokazane już wcześniej na , ale rozciąga oś poziomą tak, że staje się ona relatywnie dłuższa w stosunku do osi pionowej. Rozszerzając i spłaszczając wykres wydaje się, że wzrost bezrobocia nie był duży i był podobny do niektórych wcześniejszych wzrostów. Jeśli natomiast ktoś chce zmanipulować przekazem i pokazać, iż bezrobocie w 2009 r. znacznie zwiększyło się, to używając tych samych danych, rozciągnie oś pionową w stosunku do osi poziomej jak na (b), co spowoduje, że wszystkie wzrosty i spadki bezrobocia wydają się większe. Podobny efekt można osiągnąć bez zmiany długości osi, ale przez modyfikację skali na osi pionowej. Na (c) skala na osi pionowej jest od 0% do 30%, natomiast na (d) - od 3% do 10%. W porównaniu z , gdzie skala wynosi od 0% do 12%, na (c) wahania bezrobocia wydają się mniejsze, zaś na (d) - większe. Warto zdawać sobie także sprawę, że na postrzeganie danych prezentowanych na wykresie wpływa ograniczenie zmienności danych poprzez zmianę liczby zaznaczonych punktów. (e) przedstawia stopę bezrobocia według średnich pięcioletnich. Dzięki uśrednieniu rocznych wartości, funkcja na wykresie wydaje się gładsza i zawiera mniej ekstremów. Jednak w rzeczywistości stopa bezrobocia jest raportowana co miesiąc. (f) przedstawia miesięczne dane liczbowe od 1960 r., które wahają się bardziej niż średnia z pięciu lat. (f) jest również ilustracją tego, w jaki sposób wykresy mogą przedstawiać w zwięzłym stopniu olbrzymie ilości danych. Rysunek ten zawiera dane miesięczne od 1960 r., które na przestrzeni prawie 50 lat przekładają się na blisko 600 obserwacji. Analiza 600 wartości liczbowych w tabeli byłaby bardzo trudna. Wykres umożliwia bardzo szybki przekaz tego, co wynika z 600 danych liczbowych. Na percepcję informacji zawartych na wykresie wpływa także selektywne wybieranie punktów początkowych i końcowych. Mogą zaburzyć postrzeganie, czy zmienna faktycznie rośnie, czy spada w czasie. Pierwotne dane pokazują ogólną tendencję z niskim bezrobociem w latach 60. XX w., ale wyższym w połowie lat 70. XX w., na początku lat 80. XX w., na początku lat 90. XX w. oraz na początku i pod koniec pierwszej dekady XXI w. (g) pokazuje jednak wykres, który sięga tylko do 1975 r., co sprawia wrażenie, że bezrobocie stopniowo spadało w miarę upływu czasu aż do momentu, gdy recesja z 2009 r. przywróciła je z powrotem do „początkowego” poziomu. Jest to prawdopodobna interpretacja, jeśli rozpoczniemy analizę danych w punkcie kulminacyjnym przypadającym na połowę 1975 r. Tego rodzaju zabiegi sposobu prezentacji danych nie ograniczają się do wykresów liniowych. Na wykresie kołowym z ogromną liczbą małych wycinków koła i jednym dużym przez agregację poszczególnych kategorii można uzyskać większą przejrzystość rysunku, jednak w efekcie jednak niektóre kategorie będą wydawać się większe, a inne mniejsze. Z kolei przy tworzeniu wykresu słupkowego oś pionowa może być dłuższa lub krótsza, co spowoduje, że różnice w wysokości słupków będą sprawiać wrażenie mniejszych lub większych. Umiejętność poprawnego czytania wykresów i zachowanie czujności na wskazane wyżej manipulacje są ważne zarówno w ekonomii, jak i w życiu codziennym. Pamiętaj, aby nie wierzyć zawsze w pierwsze szybkie wrażenie uzyskiwane z wykresu. Patrz na wykres z ostrożnością. Kluczowe pojęcia i podsumowanie Matematyka jest narzędziem do zrozumienia ekonomii, a związki ekonomiczne można wyrazić matematycznie za pomocą wzorów lub wykresów. Równanie algebraiczne funkcji liniowej jest następujące: y = b + mx , gdzie x to zmienna na osi poziomej, y to zmienna na osi pionowej, b jest punktem przecięcia z osią y, zaś m jest nachyleniem. Nachylenie funkcji liniowej jest takie samo w każdym punkcie i wskazuje na charakter związku (dodatni, ujemny lub zerowy) między dwiema zmiennymi ekonomicznymi. Modele ekonomiczne można rozwiązywać algebraicznie lub graficznie. Wykresy umożliwiają wizualną ilustrację danych. Mogą przedstawiać wzorce, porównania, trendy czy też strukturę jakiejś grupy, kondensując dane liczbowe i zapewniając intuicyjne wyczucie pewnych relacji. Wykres liniowy pokazuje zależność między dwiema zmiennymi: jedną zaznaczoną na osi poziomej, a drugą na osi pionowej. Wykres kołowy pokazuje sposób podziału, np. sumy pieniędzy lub grupy osób. Rozmiar każdego wycinka koła reprezentuje odpowiedni odsetek całości. Wykres słupkowy wykorzystuje wysokość słupków do ilustracji związków, przy czym każdy słupek reprezentuje określoną jednostkę, np. kraj lub grupę osób. Słupki można również podzielić na segmenty, aby pokazać podgrupy. Każdy wykres to pojedyncza wizualna perspektywa na określony temat. Wrażenie, jakie wywiera, zależy od wielu czynników, takich jak uwzględniane dane i ramy czasowe, sposób podziału danych lub grup, względny rozmiar osi pionowej i poziomej, rozpoczęcie skali na osi pionowej od zera itp. Dlatego każdy wykres należy traktować nieco sceptycznie, pamiętając, że leżący u jego podstaw związek można interpretować w różny sposób. Pytania Wymień trzy rodzaje wykresów i krótko określ, kiedy najlepiej użyć danego typu wykresu. Czym jest nachylenie funkcji liniowej? Co reprezentują wycinki wykresu kołowego? Dlaczego wykres słupkowy jest najlepszym sposobem zilustrowania porównań? Jaka jest różnica między nachyleniem dodatnim, ujemnym i zerowym?", "section": "Matematyka zastosowana w tym podręczniku", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Model dochodowo-wydatkowy (Z niniejszym dodatkiem należy się zapoznać po pierwszym przeczytaniu .) Podstawowe idee ekonomii keynesowskiej zostały opracowane przed spopularyzowaniem modelu AD-AS. Od lat 30. do 70. XX wieku ekonomię keynesowską najczęściej wyjaśniano za pomocą innego modelu, znanego jako podejście wydatkowo-produkcyjne. Podejście to jest silnie zakorzenione w fundamentalnych założeniach ekonomii keynesowskiej: koncentruje się na całkowitej kwocie wydatków w gospodarce, bez wyraźnej wzmianki o zagregowanej podaży czy poziomie cen (chociaż, jak zobaczysz, można wyciągnąć pewne wnioski na temat zagregowanej podaży i poziomów cen na podstawie poniższego wykresu). Osie wykresu wydatki-produkcja Model wydatki-produkcja (ang. expenditure-output model ), nazywany także krzyżem keynesowskim (ang. Keynesian cross diagram), określa równowagę w punkcie, w którym całkowite lub zagregowane wydatki w gospodarce są równe ilości wytworzonej produkcji. Na osiach keynesowskiego wykresu przedstawionego na są: PKB na osi poziomej, jako miara wielkości produkcji oraz zagregowane wydatki, jako miara wydatków, na osi pionowej. Model wydatki-produkcja Model zagregowanych wydatków i produkcji przedstawia zagregowane wydatki na osi pionowej i realne PKB na osi poziomej. Linia pionowa pokazuje potencjalne PKB w przypadku pełnego zatrudnienia. Linia nachylona pod kątem 45° reprezentuje wszystkie punkty, w których zagregowane wydatki i produkcja są sobie równe. Wykres zagregowanych wydatków pokazuje, w jaki sposób wydatki ogółem, a więc wydatki zagregowane, rosną wraz ze wzrostem produkcji, czyli realnym PKB. Przecięcie zagregowanych wydatków i linii 45 stopni wyznacza równowagę. Równowaga ma miejsce w punkcie E 0 , gdzie zagregowane wydatki AE 0 są równe poziomowi produkcji Y 0 . Pamiętaj, że o PKB można myśleć na kilka równoważnych sposobów: PKB mierzy zarówno wartość wydatków na dobra finalne, jak i wartość wyprodukowanych dóbr finalnych. Przychody ze sprzedaży finanlnych dóbr i usług, które składają się na PKB, ostatecznie staną się dochodem dla pracowników, menedżerów oraz inwestorów i właścicieli firm. Suma wszystkich dochodów otrzymanych za tworzenie PKB nazywana jest dochodem narodowym (Y). W niektórych punktach poniższej dyskusji przydatne będzie odniesienie się do realnego PKB jako „dochodu narodowego”. Obie osie są mierzone w wartościach realnych (skorygowanych o inflację). Linia potencjalnego PKB i linia 45 stopni Krzyż keynesowski zbudowany jest z dwóch linii, które służą jako konceptualne ramy ukierunkowujące dyskusję. Pierwsza to pionowa linia pokazująca poziom potencjalnego PKB . Potencjalny PKB oznacza tutaj to samo, co na wykresach AD/AS: odnosi się do wielkości produkcji, którą gospodarka może wytworzyć przy pełnym zaangażowaniu pracy i kapitału rzeczowego. Drugą konceptualną linią na keynesowskim diagramie krzyżowym jest tzw. linia 45 stopni, która zaczyna się w początku układu współrzędnych i idzie w górę i w prawo. Linia ta, nachylona pod kątem 45°, reprezentuje zbiór punktów (1, 1), (2, 2), (3, 3), itd., gdzie wartość na osi pionowej jest równa wartości na osi poziomej. A więc, linia 45 stopni przedstawia zbiór punktów, w których poziom zagregowanych wydatków w gospodarce mierzony na osi pionowej jest równy poziomowi produktu lub dochodu narodowego w gospodarce mierzonego PKB na osi poziomej. Gdy gospodarka jest w równowadze, to musi być prawdą, że zagregowane wydatki w gospodarce są równe realnemu PKB – bo z definicji PKB jest miarą tego, ile ostatecznie wydaje się na zakup towarów i usług w gospodarce. Zatem równowaga obliczona za pomocą keynesowskiego krzyża zawsze znajduje się tam, gdzie zagregowane wydatki i produkcja są sobie równe - co ma miejsce tylko na linii 45 stopni. Krzywa zagregowanych wydatków Ostatnim elementem krzyża keynesowskiego lub wykresu wydatki-produkcja, jest krzywa zagregowanych wydatków (ang. aggregate expenditure schedule ), która pokazuje całkowite wydatki w gospodarce dla każdego poziomu realnego PKB. Przecięcie krzywej zagregowanych wydatków z linią 45 stopni – w punkcie E 0 na — pokaże równowagę gospodarki, ponieważ jest to punkt, w którym zagregowane wydatki są równe produkcji (lub realnemu PKB). Po zrozumieniu, co oznacza krzywa zagregowanych wydatków, powrócimy do zagadnienia równowagi i jej interpretacji. Budowanie krzywej zagregowanych wydatków Zagregowane wydatki są kluczem do zrozumienia modelu wydatki-produkcja. Funkcja zagregowanych wydatków pokazuje, w formie tabeli lub wykresu, w jaki sposób zagregowane wydatki w gospodarce rosną wraz ze wzrostem realnego PKB lub dochodu narodowego. Tak więc, myśląc o składnikach krzywej zagregowanych wydatków – konsumpcji, inwestycjach, wydatkach rządowych, eksporcie i imporcie – kluczową kwestią jest to, jak wydatki w każdej z tych kategorii dostosują się do wzrostu dochodu narodowego. Konsumpcja jako funkcja dochodu narodowego W jaki sposób wydatki konsumpcyjne rosną wraz ze wzrostem dochodu narodowego? Ludzie mogą swoje dochody przeznaczać na konsumpcję lub oszczędności (na razie pomińmy płacenie podatków). Przed takim wyborem staje każda osoba, która otrzymuje dodatkową złotówkę. Krańcowa skłonność do konsumpcji ( MPC ) (ang. marginal propensity to consume ) to część dodatkowego dolara dochodu, którą dana osoba decyduje się przeznaczyć na wydatki konsumpcyjne. Krańcowa skłonność do oszczędzania ( MPS ) (ang. marginal propensity to save ) to część dodatkowego dolara, którą dana osoba decyduje się zaoszczędzić. Zawsze prawdziwa jest zależność: MPC + MPS = 1 Jeśli zatem krańcowa skłonność do konsumpcji z krańcowej kwoty dochodu wynosi 0,9, to krańcowa skłonność do oszczędzania wynosi 0,1. Mając to na uwadze, rozważ zależność między dochodami, konsumpcją i oszczędnościami pokazaną na . (Zauważ, że używamy „Zagregowanych wydatków” na osi pionowej na tym i kolejnych rysunkach, ponieważ wszystkie wydatki na konsumpcję są częścią zagregowanych wydatków). Powszechnie przyjmuje się w tym modelu, że nawet przy zerowych dochodach ludzie muszą coś konsumować. W tym przykładzie konsumpcja wyniosłaby 600 dol., nawet gdyby dochód wynosił zero. Wtedy MPC wynosi 0,8, a MPS 0,2. Tak więc, gdy dochód wzrasta o 1000 dol., konsumpcja wzrasta o 800 dol., a oszczędności o 200 dol. Przy dochodzie w wysokości 4000 dol. całkowita konsumpcja wyniesie 600 dol., które zostałyby skonsumowane nawet bez dochodu, plus 4000 dol. pomnożone przez krańcową skłonność do konsumpcji wynoszącą 0,8, czyli 3200 dol., co daje w sumie 3800 dol. Całkowita kwota konsumpcji i oszczędności musi zawsze sumować się do całkowitej kwoty dochodu. (Problem zerowych dochodów i ujemnych oszczędności nie jest ważny w praktyce, ponieważ nawet społeczeństwa o niskich dochodach nie mają dochodów równych dosłownie zero, więc sprawa jest czysto hipotetyczna). Relacja między dochodem i konsumpcją, przedstawiona na i w , nazywana jest funkcją konsumpcji (ang. consumption function ). W jaki sposób w modelu wydatki-produkcja rośnie konsumpcja wraz z wzrostem dochodu narodowego? Produkcja na osi poziomej jest koncepcyjnie tym samym co dochód narodowy, ponieważ wartość całej produkcji końcowej, musi być dochodem dla kogoś, gdzieś w gospodarce. Przy zerowym dochodzie narodowym konsumuje się 600 dol. Następnie za każdym razem, gdy dochód wzrasta o 1000 dol., konsumpcja wzrasta o 800 dol., ponieważ w tym przykładzie krańcowa skłonność do konsumpcji wynosi 0,8. Przykład konsumpcji z jest także przedstawiony graficznie na . Aby obliczyć wielkość konsumpcji, pomnóż wielkość dochodu przez 0,8, co jest wartością krańcowej skłonności do konsumpcji, oraz dodaj kwotę 600 dol., która byłaby przeznaczona na konsumpcję, gdyby dochód był równy zero. Konsumpcja plus oszczędności muszą być równe dochodowi. Dochód Konsumpcja Oszczędności 0 600 –600 1000 1400 –400 2000 2200 –200 3000 3000 0 4000 3800 200 5000 4600 400 6000 5400 600 7000 6200 800 8000 7000 1000 9000 7800 1200 Funkcja konsumpcji (dol.) Istnieje szereg przyczyn innych niż zmiany dochodu mogących spowodować przesunięcie całej funkcji konsumpcji. Zostały one przedstawione wcześniej, w dyskusji na temat konsumpcji, i wymienione w . Funkcja konsumpcji może zmieniać położenie na dwa sposoby: cała funkcja konsumpcji przesuwa się równolegle w górę lub w dół lub może się zmieniać jej nachylenie na bardziej strome lub bardziej płaskie. Jeśli na przykład obniżka podatków powoduje, że konsumenci wydają więcej, ale nie wpływa to na ich krańcową skłonność do konsumpcji, to efektem będzie przesunięcie w górę. Wówczas nowa funkcja konsumpcji będzie równoległa do pierwotnej. Jednak zmiana preferencji gospodarstw domowych co do oszczędzania, która zmniejszyłaby krańcową skłonność do oszczędzania, spowodowałaby, że nachylenie funkcji konsumpcji stałoby się bardziej strome: to znaczy, że jeśli stopa oszczędności jest niższa, to każdy wzrost dochodu prowadzi do większego wzrostu konsumpcji. Inwestycje jako funkcja dochodu narodowego Decyzje inwestycyjne wybiegają w przyszłość i są oparte na oczekiwanych stopach zwrotu. Właśnie dlatego, że decyzje inwestycyjne zależą przede wszystkim od postrzeganych przyszłych warunków gospodarczych, nie zależą one od poziomu PKB w bieżącym roku. Tak więc, na krzyżu keynesowskim funkcję inwestycji można narysować jako linię poziomą przebiegającą na ustalonym poziomie wydatków inwestycyjnych. pokazuje funkcję inwestycji, w której wartość inwestycji jest ustalona na poziomie 500. Podobnie, jak funkcja konsumpcji pokazuje zależność między poziomami konsumpcji a realnym PKB (lub dochodem narodowym), tak funkcja inwestycji (ang. investment function ) pokazuje związek między poziomem inwestycji a realnym PKB. Funkcję inwestycji rysuje się jako linię poziomą, ponieważ inwestycje opierają się na stopach procentowych i oczekiwaniach co do przyszłości, a więc nie zmieniają się wraz ze zmianami poziomu bieżącego dochodu narodowego. W tym przykładzie nakłady inwestycyjne kształtują się na poziomie 500. Zmiany czynników, takich jak możliwości technologiczne, oczekiwania dotyczące krótkoterminowego wzrostu gospodarczego i stopy procentowe, spowodują przesunięcie funkcji inwestycji w górę lub w dół. Poziomy przebieg funkcji inwestycji nie oznacza, że poziom inwestycji nigdy się nie zmienia. Oznacza to tylko tyle, że na tym dwuwymiarowym wykresie poziom inwestycji na pionowej osi zagregowanych wydatków nie zmienia się w zależności od aktualnego poziomu realnego PKB z osi poziomej. Jednak wszystkie inne czynniki, które wpływają na inwestycje — nowe możliwości technologiczne, oczekiwania dotyczące krótkoterminowego wzrostu gospodarczego, stopy procentowe, ceny kluczowych nakładów i zachęty podatkowe dla inwestycji — mogą powodować przesunięcie poziomej funkcji inwestycji w górę lub w dół. Rządowe wydatki i podatki jako funkcja dochodu narodowego Na wykresie krzyża keynesowskiego wydatki rządowe przedstawione są jako pozioma linia, co widać na , gdzie wydatki te ustalono na poziomie 1300. Podobnie, jak w przypadku wydatków inwestycyjnych, ta pozioma linia nie oznacza, że wydatki rządowe są niezmienne. Oznacza to tylko tyle, że wydatki rządowe zmieniają się i uchwalona jest zmiana budżetu, a nie przesuwają się w przewidywalny sposób wraz ze zmianami wielkości realnego PKB pokazanego na osi poziomej. Funkcja wydatków rządowych. O poziomie wydatków rządowych decydują czynniki polityczne, a nie poziom realnego PKB w danym roku. Tak więc, wydatki rządowe są przedstawione jako linia pozioma. W tym przykładzie wydatki rządowe kształtują się na poziomie 1300 dol. Decyzja o zwiększeniu wydatków rządowych spowoduje przesunięcie tej poziomej linii w górę, podczas gdy decyzje o ograniczeniu wydatków spowodują jej przesunięcie w dół. Inaczej ma się sprawa z podatkami, ponieważ podatki często rosną lub spadają wraz z wielkością działalności gospodarczej. Na przykład podatki dochodowe są oparte na poziomie dochodów, a podatki od sprzedaży są oparte na kwocie dokonanej sprzedaży, a zarówno dochód, jak i sprzedaż są zwykle wyższe, gdy gospodarka się rozwija, i niższe, gdy gospodarka znajduje się w recesji. W celu zbudowania podstawowego krzyża keynesowskiego pomocne jest postrzeganie podatków jako proporcjonalnego udziału w PKB. Na przykład w Stanach Zjednoczonych rząd zwykle pobiera w sumie ok. 30–35% dochodu w postaci podatków federalnych, stanowych i lokalnych. koryguje wcześniejszą tabelę dotyczącą konsumpcji tak, aby uwzględniała podatki. Pierwsza kolumna przedstawia dochód narodowy. W drugiej kolumnie obliczone są podatki, które w tym przykładzie wynoszą 30%, czyli 0,3. Trzecia kolumna pokazuje dochód po opodatkowaniu, czyli całkowity dochód pomniejszony o podatki. W czwartej kolumnie obliczona jest konsumpcja w taki sam sposób jak poprzednio: dochód po opodatkowaniu pomnożony jest przez 0,8, czyli krańcową skłonność do konsumpcji, a następnie dodana jest kwota 600 dol., która zostałaby skonsumowana, nawet gdyby dochód wynosił zero. Po uwzględnieniu podatków krańcowa skłonność do konsumpcji jest zmniejszana o stawkę podatkową, więc każdy dodatkowy dolar dochodu powoduje mniejszy przyrost konsumpcji niż przed opodatkowaniem. Z tego powodu funkcja konsumpcji z uwzględnieniem podatków jest bardziej płaska niż funkcja konsumpcji bez podatków, co pokazano na . Funkcja konsumpcji przed i po uwzględnieniu opodatkowania. Górna krzywa jest taka sama, jak funkcja konsumpcji z . Dolna krzywa pokazuje funkcję konsumpcji, gdy najpierw trzeba zapłacić podatki od dochodu, a konsumpcja jest oparta na dochodzie po opodatkowaniu. Dochód Podatki Dochód po opodatkowaniu Konsumpcja Oszczędności 0 0 0 600 –600 1000 300 700 1160 –460 2000 600 1400 1720 –320 3000 900 2100 2280 –180 4000 1200 2800 2840 –40 5000 1500 3500 3400 100 6000 1800 4200 3960 240 7000 2100 4900 4520 380 8000 2400 5600 5080 520 9000 2700 6300 5640 660 Funkcja konsumpcji przed i po opodatkowaniu (dol.) Eksport i import jako funkcja dochodu narodowego Funkcja eksportu, która pokazuje zmiany eksportu wraz ze zmianami realnego PKB danego kraju, jest linią poziomą tak, jak w przykładzie na (a) gdzie eksport wynosi 840 dol. Ponownie, podobnie jak w przypadku wydatków inwestycyjnych i wydatków rządowych, pozioma funkcja eksportu nie oznacza, że eksport nigdy się nie zmienia. Oznacza to tylko, że nie zmieniają się one z powodu tego, co jest na osi poziomej – czyli wielkości produkcji krajowej – a zamiast tego są kształtowane przez poziom zagregowanego popytu w innych krajach. Większy popyt na eksport w innych krajach spowodowałby przesunięcie funkcji eksportu w górę; mniejszy popyt na eksport w innych krajach spowodowałby jego przesunięcie w dół. Funkcje eksportu i importu. (a) Funkcja eksportu jest narysowana jako linia pozioma, ponieważ eksport jest zdeterminowany przez siłę nabywczą innych krajów, a zatem nie zmienia się wraz z wielkością krajowej gospodarki. W tym przykładzie eksport jest ustalony na poziomie 840. Jednak eksport może się zmieniać w górę lub w dół, w zależności od zmian zakupów w innych krajach. (b) Funkcja importu jest rysowana po stronie ujemnej, ponieważ wydatki na produkty importowane są odejmowane od wydatków w gospodarce krajowej. W tym przykładzie krańcowa skłonność do importu wynosi 0,1, więc import oblicza się mnożąc poziom dochodu przez –0,1. Import jest krzywą opadającą na wykresie krzyża keynesowskiego, przy czym nachylenie jest określone przez krańcową skłonność do importu ( MPI ) (ang. marginal propensity to import ). Na panelu b) krańcowa skłonność do importu wynosi 0,1. Tak więc, jeśli realny PKB wynosi 5000 dol., import wynosi 500 dol.; jeśli dochód narodowy wynosi 6000 dol., import wynosi 600 dol., itd. Funkcja importu jest linią opadająca, ponieważ import jest odjęty od zagregowanych wydatków. Zmiana krańcowej skłonności do importu, być może w wyniku zmian preferencji, zmieniłaby nachylenie krzywej importu. Podejście algebraiczne w modelu wydatki-produkcja W modelu wydatki-produkcja lub krzyżu keynesowskim, równowaga pojawia się tam, gdzie krzywa zagregowanych wydatków (krzywa AE) przecina linię 45 stopni. Algebraicznie współrzędne tego punktu przecięcia można bardzo łatwo obliczyć. Wyobraź sobie gospodarkę o następujących cechach: Y = realne PKB lub dochód narodowy T = podatki = 0,3Y C = konsumpcja = 140 + 0,9(Y – T) I = inwestycje = 400 G = wydatki rządowe = 800 X = eksport = 600 M = import = 0,15Y Krok 1. Zapisz zagregowaną funkcję wydatków. W tym przypadku jest to: AE = C + I + G + X – M AE = 140 + 0,9(Y – T) + 400 + 800 + 600 – 0,15Y Krok 2. Równanie linii 45 stopni to zbiór punktów, w których PKB lub dochód narodowy na osi poziomej jest równy zagregowanym wydatkom na osi pionowej. Zatem równanie dla linii 45 stopni jest następujące: AE = Y. Krok 3. W następnym kroku znajdziemy rozwiązanie tych dwóch równań dla Y (lub AE, ponieważ będą sobie równe). Zapisz Y zamiast AE po prawej stronie równania: Y = 140 + 0,9(Y – T) + 400 + 800 + 600 – 0,15Y Krok 4. Wstaw 0,3Y zamiast T. Spowoduje to utworzenie równania z tylko jedną zmienną, Y. Krok 5. Rozwiąż równanie znajdując wartość Y. Y = 140 + 0,9(Y – 0,3Y) + 400 + 800 + 600 – 0,15Y Y = 140 + 0,9Y – 0,27Y + 1800 – 0,15Y Y = 1940 + 0,48Y Y – 0,48Y = 1940 0,52Y = 1940 0,52Y 0,52 = 1940 0,52 Y = 3730 Te ramy algebraiczne są elastyczne i przydatne w przewidywaniu, w jaki sposób zdarzenia gospodarcze i działania polityczne wpłyną na realny PKB. Krok 6. Załóżmy na przykład, że z powodu zmian względnych cen towarów krajowych i zagranicznych krańcowa skłonność do importu spada do 0,1. Oblicz wielkość produkcji w stanie równowagi, gdy krańcowa skłonność do importu zmieni się na 0,1. Y = 140 + 0,9(Y – 0,3Y) + 400 + 800 + 600 – 0,1Y Y = 1940 – 0,53Y 0,47Y = 1940 Y = 4127 Krok 7. Z powodu wzrostu zaufania w biznesie, inwestycje wzrastają do 500. Oblicz nowy produkt równowagi. Y = 140 + 0,9(Y – 0,3Y) + 500 + 800 + 600 – 0,15Y Y = 2040 + 0,48Y Y – 0,48Y = 2040 0,52Y = 2040 Y = 3923 Jeśli chodzi o kwestie polityczne, kluczowe pytania dotyczyłyby tego, jak dostosować poziomy wydatków rządowych lub stawki podatkowe, aby równowaga została osiągnięta przy pełnym zatrudnieniu. W takim przypadku niech parametry ekonomiczne będą następujące: Y = dochód narodowy T = podatki = 0,3Y C = konsumpcja = 200 + 0,9(Y – T) I = inwestycje = 600 G = wydatki rządowe = 1.000 X = eksport = 600 Y = import = 0,1(Y – T) Krok 8. Oblicz równowagę dla tej gospodarki (pamiętaj, że Y = AE). Y = 200 + 0,9(Y – 0,3Y) + 600 + 1000 + 600 – 0,1(Y – 0,3Y) Y – 0,63Y + 0,07Y = 2400 0,44Y = 2400 Y = 5454 Krok 9. Załóżmy, że poziom produkcji przy pełnym zatrudnieniu wynosi 6000. Jaki poziom wydatków rządowych byłby konieczny, aby osiągnąć ten poziom? Aby odpowiedzieć na to pytanie, wstaw 6000 jako wartość Y, ale pozostaw G jako niewiadomą i znajdź jej wartość. Zatem: 6000 = 200 + 0,9(6000 – 0,3(6000)) + 600 + G + 600 – 0,1(6000 – 0,3(6000)) Krok 10. Rozwiąż ten problem arytmetycznie. Odpowiedź brzmi: G = 1240. Innymi słowy, zwiększenie wydatków rządowych o 240, z pierwotnego poziomu 1000 do 1240, podniosłoby produkcję do poziomu pełnego zatrudnienia PKB. Rzeczywiście, na pytanie, o ile zwiększyć wydatki rządowe, aby produkcja równowagi wzrosła z 5454 do 6000, można odpowiedzieć bez wielkich obliczeń, po prostu używając wzoru na mnożnik. Równanie mnożnika w tym przypadku to: 1 1 – 0,56 = 2,27 Tak więc, zwiększenie produkcji o 546 wymagałoby wzrostu wydatków rządowych o 546/2,27 = 240, co odpowiada wynikowi obliczeń algebraicznych. Ta reguła algebraiczna jest bardzo elastyczna. Podatki na przykład można traktować jako pochodne decyzji politycznych (np. wydatki rządowe) i niezależną od dochodu narodowego. Import może opierać się na dochodzie przed opodatkowaniem, a nie na dochodzie po opodatkowaniu. Czasem pomocne może być analizowanie gospodarki bez eksportu i importu. W bardziej skomplikowanym podejściu można podzielić konsumpcję, inwestycje, administrację publiczną, eksport i import na mniejsze kategorie lub uwzględnić pewną zmienność stawek podatków, oszczędności i importu. Mądry ekonomista ukształtuje model tak, aby pasował do konkretnego przypadku będącego przedmiotem badania. Budowanie zagregowanej funkcji wydatków Wszystkie składniki globalnego popytu (ang. aggregate demand ) — konsumpcja, inwestycje, wydatki rządowe i bilans handlowy — są teraz na miejscu, aby zbudować krzyż keynesowski. pokazuje funkcję zagregowanych wydatków w oparciu o numeryczne ilustracje C, I, G, X i M, które były używane wcześniej w tekście. Pierwsze trzy kolumny w zostały przeniesione z wcześniejszej , która pokazała, jak wprowadzić podatki do funkcji konsumpcji. Pierwsza kolumna to realny PKB lub dochód narodowy, czyli to, co znajduje się na poziomej osi wykresu. W drugiej kolumnie obliczony jest dochód po opodatkowaniu, w oparciu o założenie, że 30% realnego PKB jest pobierane w podatkach. Trzecia kolumna wynika z przyjęcia MPC na poziomie 0,8. Jeśli więc dochód po opodatkowaniu wzrasta o 700 dolarów z jednego wiersza do drugiego, konsumpcja wzrasta o 560 dolarów (700 × 0,8) z jednego wiersza do drugiego. Inwestycje, wydatki rządowe i eksport nie zmieniają się wraz z poziomem bieżącego dochodu narodowego. Poprzednio inwestycje wyniosły 500 dol., wydatki rządowe 1300 dol., a eksport 840 dol., co daje łącznie 2640 dol. Ta wartość jest pokazana w czwartej kolumnie. W tym przykładzie import wynosi 0,1 realnego PKB, a poziom importu jest obliczany w piątej kolumnie. Ostatnia kolumna, zagregowane wydatki (ang. aggregate expenditures ), sumuje C + I + G + X – M. Krzywa zagregowanych wydatków (ang. aggregate expenditure line ) jest przedstawiona na . Krzyż keynesowski. Każda kombinacja dochodu narodowego i zagregowanych wydatków (konsumpcja po opodatkowaniu, wydatki rządowe, inwestycje, eksport i import) jest przedstawiona na wykresie. Równowaga występuje wtedy, gdy zagregowane wydatki są równe dochodowi narodowemu. Dzieje się tak, gdy krzywa zagregowanych wydatków przecina linię 45 stopni, przy realnym PKB w wysokości 6000 dol. Potencjalny PKB w tym przykładzie wynosi 7000 dol, więc równowaga występuje na poziomie produkcji lub realnego PKB poniżej poziomu potencjalnego PKB. Dochód narodowy Dochód po opodatkowaniu Konsumpcja Wydatki rządowe + Inwestycje + Eksport Import Zagregowane wydatki 3000 2100 2280 2640 300 4620 4000 2800 2840 2640 400 5080 5000 3500 3400 2640 500 5540 6000 4200 3960 2640 600 6000 7000 4900 4520 2640 700 6460 8000 5600 5080 2640 800 6920 9000 6300 5640 2640 900 7380 Równowaga dochodu narodowego i wydatków (w dol.) Funkcja zagregowanych wydatków jest tworzona przez nałożenie na siebie funkcji konsumpcji (po opodatkowaniu), funkcji inwestycji, funkcji wydatków rządowych, funkcji eksportu i funkcji importu. Punkt, w którym zagregowana funkcja wydatków przecina oś pionową, będzie określony przez poziom wydatków inwestycyjnych, rządowych i eksportowych, które nie zmieniają się wraz ze zmianami dochodu narodowego. Nachylenie w górę funkcji wydatków zagregowanych będzie określone przez krańcową skłonność do oszczędzania, stawkę podatkową i krańcową skłonność do importu. Wyższa krańcowa skłonność do oszczędzania, wyższa stawka podatkowa i wyższa krańcowa skłonność do importu sprawią, że nachylenie funkcji zagregowanych wydatków będzie bardziej płaskie — ponieważ z każdego dodatkowego dochodu więcej pójdzie na oszczędności, podatki lub import, a mniej na wydatki na towary i usługi krajowe. Równowaga występuje wówczas, gdy dochód narodowy jest równy zagregowanym wydatkom, co pokazano na wykresie jako punkt, w którym krzywa zagregowanych wydatków przecina linię 45 stopni. W tym przykładzie równowaga występuje przy 6000 dolarów. Równowagę tę można również odczytać z tabeli pod rysunkiem; jest to poziom dochodu narodowego, przy którym zagregowane wydatki są równe dochodowi narodowemu. Równowaga w krzyżu keynesowskim Mamy już krzywą zagregowanych wydatków, następnym krokiem jest powiązanie jej z dwoma pozostałymi elementami keynesowskiego krzyża. Zatem najpierw zinterpretujemy przecięcie funkcji zagregowanych wydatków i linii 45 stopni, a następnie odniesiemy ten punkt przecięcia do linii potencjalnego PKB. Gdzie pojawia się równowaga? Punkt, w którym zagregowana linia wydatków zbudowana z C + I + G + X – M przecina linię 45 stopni, będzie równowagą dla gospodarki. Jest to jedyny punkt na linii wydatków zagregowanych, w którym łączna kwota wydatków na zagregowany popyt jest równa całkowitemu poziomowi produkcji. Na ten punkt równowagi (E 0 ) występuje przy 6000, co można również odczytać z . Znaczenie słowa „równowaga” pozostaje takie samo, to znaczy: równowaga (ang. equilibrium ) jest punktem, w którym nie ma bodźców do odejścia od tego stanu. Aby zrozumieć, dlaczego punkt przecięcia funkcji zagregowanych wydatków z linią 45 stopni jest równowagą makroekonomiczną, rozważmy, co by się stało, gdyby gospodarka znalazła się na prawo od punktu równowagi E, powiedzmy, w punkcie H na , w którym produkcja jest wyższa niż w równowadze. Punkt H znajduje się poniżej linii 45 stopni, tak więc poziom zagregowanych wydatków w gospodarce jest mniejszy niż poziom produkcji. W rezultacie w punkcie H produkcja gromadzi się na stosie niesprzedanych dóbr i usług – nie jest to stan zrównoważony. Równowaga w krzyżu keynesowskim Jeśli produkcja była większa niż produkcja w stanie równowagi, np. w punkcie H, to produkcja realna jest większa niż zagregowane wydatki w gospodarce. To nie może się jednak utrzymać, ponieważ oznaczałoby to, że towary są produkowane, ale piętrzą się w magazynach. Gdyby produkcja była niższa niż produkcja w stanie równowagi, np. w punkcie L, to zagregowane wydatki byłyby większe niż produkcja. Ten stan rzeczy również nie może się utrzymać, ponieważ oznaczałoby to, że wydatki przekraczają liczbę produkowanych dóbr. Tylko w punkcie E może być równowaga, bo produkcja, czyli dochód narodowy i zagregowane wydatki, są sobie równe. Równowaga (punkt E) musi leżeć na linii 45 stopni, która jest zbiorem punktów, w których dochód narodowy i zagregowane wydatki są równe. I odwrotnie, rozważmy sytuację, w której poziom produkcji znajduje się w punkcie L — gdzie rzeczywista produkcja jest niższa niż równowaga. W takim przypadku poziom zagregowanego popytu w gospodarce jest powyżej linii 45 stopni, co wskazuje, że poziom zagregowanych wydatków w gospodarce jest większy niż poziom produkcji. Gdy zagregowany popyt opróżni półki sklepowe, nie można go dalej zaspokoić. Firmy zareagują zwiększeniem poziomu produkcji. Tak więc, równowaga musi być punktem, w którym produkcja i wydatki są w równowadze, a więc na przecięciu krzywej wydatków zagregowanych i linii 45 stopni. Znajdowanie równowagi zawiera pewne informacje o gospodarce. Model keynesowski zakłada, że istnieje pewien poziom konsumpcji nawet przy zerowym dochodzie. Kwota ta wynosi 236 – 216 = 20 [dol.]. Czyli 20 dol. zostanie skonsumowanych, gdy dochód narodowy wyniesie zero. Załóżmy, że podatki wynoszą 0,2 realnego PKB. Niech krańcowa skłonność do oszczędzania dochodu po opodatkowaniu będzie równa 0,1. Poziom inwestycji wynosi 70 dol., poziom wydatków rządowych to 80 dol., a poziom eksportu to 50 dol. Import stanowi 0,2 dochodu po opodatkowaniu. Biorąc pod uwagę te wartości, wypełnij i odpowiedz na następujące pytania: Jaka jest funkcja konsumpcji? Gdzie jest równowaga? Dlaczego nie ma równowagi przy dochodzie równym 300 dolarów? Jak wygląda porównanie wydatków i produkcji w tym punkcie? Dochód narodowy Podatki Dochód po opodatkowaniu Konsumpcja I + G + X Import Wydatki zagregowane 300 236 400 500 600 700 Krok 1. Oblicz wysokość podatków dla każdego poziomu dochodu narodowego (przypomnienie: PKB = dochód narodowy) na przykładzie: Dochód narodowy (Y) 300 dol. Podatki = 0,2 lub 20% × 0,2 Kwota podatków (T) 60 dol. Krok 2. Oblicz dochód po opodatkowaniu, odejmując kwotę podatku od dochodu narodowego dla każdego poziomu dochodu narodowego, korzystając z następującego przykładu: Dochód narodowy minus podatki 300 dol. –60 dol. Dochód po opodatkowaniu 240 dol. Krok 3. Oblicz konsumpcję. Krańcowa skłonność do oszczędzania wynosi 0,1. Oznacza to, że krańcowa skłonność do konsumpcji wynosi 0,9, ponieważ MPS + MPC = 1. Dlatego pomnóż 0,9 przez kwotę dochodu po opodatkowaniu, używając następującego przykładu: Dochód po opodatkowaniu 240 dol. MPC × 0,9 Konsumpcja 216 dol. Krok 4. Zastanów się, dlaczego w tabeli jest konsumpcja w wysokości 236 dolarów w pierwszym rzędzie. Jak wspomniano wcześniej, model keynesowski zakłada, że istnieje pewien poziom konsumpcji nawet bez dochodu. Kwota ta wynosi 236 – 216 = 20 [dol.]. Krok 5. Jest teraz wystarczająco dużo informacji, aby napisać funkcję konsumpcji. Funkcję konsumpcji można znaleźć, ustalając poziom konsumpcji przy dochodzie równym zero. Zapamiętaj, że: C = Konsumpcja przy zerowym dochodzie narodowym + MPC (dochód po opodatkowaniu) Niech C reprezentuje funkcję konsumpcji, Y - dochód narodowy, T - podatki. C = 20 dol. + 0,9(Y – T) = 20 dol. + 0,9(300 – 60) dol. = 236 dol. Krok 6. Wykorzystaj funkcję konsumpcji, aby znaleźć konsumpcję na każdym poziomie dochodu narodowego. Krok 7. Dodaj inwestycje (I), wydatki rządowe (G) i eksport (X). Pamiętaj, że nie zmieniają się one wraz ze zmianami dochodu narodowego: Krok 8. Znajdź import, który stanowi 0,2 dochodu po opodatkowaniu na każdym poziomie dochodu narodowego. Na przykład: Dochód po opodatkowaniu 240 dol. Import w wysokości 0,2 or 20% of Y – T × 0,2 Import 48 dol. Krok 9. Znajdź zagregowane wydatki, dodając C + I + G + X – I dla każdego poziomu dochodu narodowego. Twoja wypełniona tabela powinna wyglądać tak jak . Dochód narodowy (Y) Podatek = 0.2 × Y (T) Dochód po opodatkowaniu (Y – T) Konsumpcja C = 20 + 0.9(Y – T) I + G + X Minus import (M) Zagregowne wydatki AE = C + I + G + X – M 300 60 240 236 200 48 388 400 80 320 308 200 64 444 500 100 400 380 200 80 500 600 120 480 452 200 96 556 700 140 560 524 200 112 612 Krok 10. Odpowiedz na pytanie: Gdzie jest równowaga? Równowaga występuje tam, gdzie AE = Y. pokazuje, że równowaga występuje wówczas, gdy dochód narodowy jest równy łącznym wydatkom na poziomie 500 dol. Krok 11. Zapisz równowagę matematycznie, wiedząc, że dochód narodowy jest równy zagregowanym wydatkom. Y = AE = C + I + G + X – M = 20 dol. + 0,9(Y – T) + 70 dol. + 80 dol. + 50 dol. – 0,2(Y – T) = $220 + 0,9(Y – T) – 0,2(Y – T) Ponieważ T wynosi 0,2 dochodu narodowego, zastąp T wyrażeniem 0,2 Y, czyli: Y = 220 dol. + 0,9(Y – 0,2Y) – 0,2(Y – 0,2Y) = 220 dol. + 0,9Y – 0,18Y – 0,2Y + 0,04Y = 220 dol. + 0,56Y Znajdź wartość Y. Y = 220 dol. + 0,56Y Y – 0,56Y = 220 dol. 0,44Y = 220 dol. 0,44Y 0,44 = 220 dol. 0,44 Y = 500 dol. Krok 12. Odpowiedz na pytanie: Dlaczego przy dochodzie narodowym w wysokości 300 dol. gospodarka nie jest w równowadze? Przy dochodzie narodowym w wysokości 300 dol. łączne wydatki wynoszą 388 dol. Krok 13. Odpowiedz na pytanie: Jaki jest wynik porównania wydatków i produkcji na tym etapie? Zagregowane wydatki nie mogą w dłuższej perspektywie przekroczyć produkcji (PKB), ponieważ nie byłoby wystarczającej ilości towarów do kupienia. Luka recesyjna i inflacyjna Jeśli na krzyżu keynesowskim linia zagregowanych wydatków przecina linię 45 stopni na poziomie potencjalnego PKB, to gospodarka jest w dobrej kondycji. Nie ma recesji, a bezrobocie jest niskie. Ale nie ma żadnej gwarancji, że równowaga wystąpi na poziomie potencjalnego PKB. Równowaga może zachodzić przy PKB wyższym lub niższym od potencjalnego. Na panelu (a) pokazano sytuację, w której krzywa zagregowanych wydatków przecina linię 45 stopni w punkcie E 0 . Punkt E 0 odpowiada realnemu PKB w wysokości 6000 dol. i jest niższy od potencjalnego PKB wynoszącego 7000 dol. W tej sytuacji poziom zagregowanych wydatków jest zbyt niski, aby PKB osiągnął poziom pełnego zatrudnienia i wystąpi bezrobocie. Różnica między produkcją wyznaczoną przez równowagę w punkcie E 0 , która jest niższa od potencjalnego PKB, a poziomem potencjalnego PKB, nazywana jest luką recesyjną (ang. recessionary gap ) Ponieważ poziom równowagi na poziomie realnego PKB jest tak niski, firmy nie będą chciały zatrudniać pełnej liczby pracowników gotowych do podjęcia pracy, a bezrobocie będzie wysokie. Eliminowanie luk recesyjnych i inflacyjnych (a) Jeśli równowaga występuje przy produkcji mniejszej niż potencjalne PKB, wówczas powstaje luka recesyjna. Rozwiązaniem politycznym przy istnieniu luki recesyjnej jest przesunięcie krzywej zagregowanych wydatków w górę, z AE 0 do AE 1 , przy zastosowaniu polityki obniżenia podatków lub zwiększenia wydatków rządowych. Nowa równowaga E 1 zachodzi na poziomie potencjalnego PKB. (b) Jeśli równowaga ma miejsce przy produkcji większej niż potencjalne PKB, to powstaje luka inflacyjna. Rozwiązaniem politycznym dla luki inflacyjnej jest przesunięcie krzywej zagregowanych wydatków w dół z AE 0 do AE 1 , przy stosowaniu takiej polityki, jak podwyżka podatków lub cięcia wydatków. Wówczas nowa równowaga E 1 zachodzi na poziomie równym potencjalnemu PKB. Co może spowodować lukę recesyjną? Wszystko, co przesuwa krzywą zagregowanych wydatków w dół, jest potencjalną przyczyną recesji, np. spadek konsumpcji, wzrost oszczędności, spadek inwestycji, spadek wydatków rządowych lub wzrost podatków, spadek eksportu lub wzrost importu. Co więcej, gospodarka, która jest w równowadze z luką recesyjną, może w tej sytuacji pozostać i przez długi czas doświadczać wysokiego bezrobocia; pamiętajcie, równowaga polega na tym, że w gospodarce nie ma żadnego szczególnego powodu do dostosowywania cen lub ilości, które mogłyby zakończyć recesję. Właściwą reakcją na lukę recesyjną jest obniżenie przez rząd podatków lub zwiększenie wydatków, tak aby krzywa zagregowanych wydatków przesunęła się w górę z AE 0 do AE 1 . Po takim przesunięciu nowa równowaga E 1 będzie zachodziła przy PKB na poziomie potencjalnym, co widać na (a). I na odwrót, (b) pokazuje sytuację, w której krzywa zagregowanych wydatków (AE 0 ) przecina linię 45 stopni powyżej potencjalnego PKB. Luka pomiędzy realnym PKB w stanie równowagi E 0 a potencjalnym PKB nazywana jest luką inflacyjną (ang. inflationary gap ). Luka inflacyjna również wymaga pewnej interpretacji. Nadmiernie uproszczona interpretacja krzyża keynesowskiego mogłaby prowadzić do wniosku, że podniesiona wystarczająco wysoko funkcja zagregowanych wydatków spowoduje, że realny PKB będzie tak duży, jak tylko sobie tego życzymy — można nawet podwoić lub potroić potencjalny poziom PKB gospodarki. Ten wniosek jest wyraźnie błędny. Gospodarka napotyka pewne ograniczenia po stronie podaży dotyczące tego, ile może wyprodukować w danym czasie przy istniejących zasobach pracowników, kapitału fizycznego i ludzkiego, technologii i instytucji rynkowych. Lukę inflacyjną należy interpretować nie jako dosłowną prognozę wielkości realnego PKB, ale jako wskazówkę, o ile zagregowane wydatki w gospodarce przewyższają wydatki potrzebne do osiągnięcia potencjalnego PKB. Luka inflacyjna pokazuje, że skoro gospodarka nie jest w stanie wyprodukować wystarczającej ilości towarów i usług, aby zaspokoić dany poziom zagregowanych wydatków, to te wydatki spowodują inflacyjny wzrost poziomu cen. W ten sposób, chociaż zmiany poziomu cen nie pojawiają się wyraźnie w krzyżu keynesowskim, pojęcie inflacji jest zawarte w koncepcji luki inflacyjnej. Właściwą keynesowską odpowiedź na lukę inflacyjną przedstawia (b). Pierwotne przecięcie krzywej zagregowanych wydatków AE 0 i linii 45 stopni następuje przy 8000 dol., czyli powyżej poziomu potencjalnego PKB wynoszącego 7000 dol. Jeśli AE 0 przesunie się w dół do AE 1 , to nowa równowaga znajdzie się na poziomie E 1 , a gospodarka osiągnie poziom potencjalnego PKB, bez presji na inflacyjny wzrost cen. Rząd może doprowadzić do obniżenia zagregowanych wydatków podnosząc podatki nakładane na konsumentów lub firmy lub zmniejszając wydatki rządowe. Efekt mnożnikowy Keynesowska recepta na politykę ma jeszcze jeden aspekt. Załóżmy, że dla pewnej gospodarki przecięcie funkcji zagregowanych wydatków i linii 45 stopni znajduje się na poziomie PKB równym 700, podczas gdy poziom potencjalnego PKB dla tej gospodarki wynosi 800. O ile trzeba zwiększyć wydatki rządowe, aby gospodarka osiągnęła PKB zapewniające pełne zatrudnienie? Oczywistą może wydawać się odpowiedź: 800 – 700 = 100; a więc należy podnieść wydatki rządowe o 100. Ale ta odpowiedź jest błędna. Zmiana wydatków rządowych o na przykład 100 dolarów będzie miała większy niż 100 dolarów wpływ na poziom realnego PKB w równowadze. A to dlatego, że zmiana wartości zagregowanych wydatków krąży po gospodarce: gospodarstwa domowe kupują towary od firm, firmy płacą pracownikom i dostawcom, pracownicy i dostawcy kupują towary od innych firm, te firmy płacą swoim pracownikom i dostawcom, i tak dalej. W ten sposób pierwotna zmiana w zagregowanych wydatkach jest faktycznie wydatkowana więcej niż raz. Nazywa się to efektem mnożnikowym (ang. multiplier effect ): początkowy wzrost wydatków cyklicznie powtarza się w gospodarce i ma większy wpływ niż początkowa wydana kwota. Jak działa mnożnik? Aby zrozumieć działanie mnożnika, wróć do przykładu, w którym równowaga na wykresie krzyża keynesowskiego występuje przy wielkości realnego PKB równej 700 dol. (czyli 100 dol. mniejszej niż 800 dol. potrzebnych do osiągnięcia pełnego zatrudnienia, czyli potencjalnego PKB). Jeśli rząd wyda 100 dol., aby zlikwidować tę lukę, ktoś w gospodarce otrzyma te wydatki i potraktuje je jako dochód. Załóżmy, że podmioty, które otrzymują ten dochód, płacą 30% podatków, oszczędzają 10% dochodu po opodatkowaniu, wydają 10% całkowitego dochodu na import, a resztę wydają na towary i usługi produkowane w kraju. W obliczeniach przedstawionych na i w , z pierwotnych 100 dol. wydatków rządowych, 53 dol. pozostają do wydania na towary i usługi produkowane w kraju. Te 53 dol., gdy zostaną wydane, stają się dochodem dla kogoś, gdzieś w gospodarce. Ci, którzy otrzymują ten dochód, płacą również 30% podatków, oszczędzają 10% dochodu po opodatkowaniu i wydają 10% całkowitego dochodu na import, co pokazano na , gdzie w trzeciej rundzie wydano dodatkowe 28,09 dol. (czyli 0,53 × 53 dol.). Ludzie, którzy otrzymują ten dochód, płacą podatki, oszczędzają i kupują towary importowane, a kwota wydana w czwartej rundzie wynosi 14,89 dol. (czyli 0,53 × 28,09 dol.). Efekt mnożnikowy Pierwotny wzrost wydatków rządowych o 100 dol. powoduje wzrost łącznych wydatków o 100 dol. Ale te 100 dol. to dochód dla innych w gospodarce, a po tym, jak część zostanie zaoszczędzona, podatki zapłacone i kupione towary importowane, to w drugiej rundzie zostanie wydane 53 z tych 100 dol. Z kolei te 53 dol. to dochód dla innych. Tak więc początkowe wydatki rządowe w wysokości 100 dol. są pomnażane w kolejnych cyklach wydatków, ale wpływ każdego kolejnego cyklu staje się coraz mniejszy. Biorąc pod uwagę dane w tym przykładzie, pierwotny wzrost wydatków rządowych o 100 dol. powoduje wzrost łącznych wydatków o 213 dol.; dlatego mnożnik w tym przykładzie wynosi 213 dol./100 dol. = 2,13. Pierwotny wzrost zagregowanych wydatków w wyniku wzrostu wydatków rządowych 100 To stanowi dochód ludzi w całej gospodarce: zapłać 30% podatku; oszczędź 10% dochodu po opodatkowaniu; wydaj 10% dochodu na import. Wzrost zagregowanych wydatków w drugiej rundzie wyniesie… 70 – 7 – 10 = 53 To stanowi 53 dol. dochodu ludzi w gospodarce: zapłać 30% podatków; oszczędź 10% dochodu po opodatkowaniu; wydaj 10% dochodu na import. Wzrost zagregowanych wydatków w trzeciej rundzie wyniesie… 37,1 – 3,71 – 5,3 = 28,09 To daje 28,09 dol. dochodu ludzi w gospodarce: zapłać 30% podatków; oszczędź 10% dochodu po opodatkowaniu; wydaj 10% dochodu na import. Wzrost zagregowanych wydatków w czwartej rundzie wyniesie… 19,663 – 1,96633 – 2,809 = 14,89 Obliczanie efektu mnożnikowego Tak więc, w czasie pierwszych czterech rund obiegu zagregowanych wydatków pierwotny wzrost wydatków rządowych o 100 dolarów spowodował przyrost łącznych wydatków o 100 + 53 + 28,09 + 14,89 = 195,98 [dol.]. pokazuje te łączne zagregowane wydatki po pierwszych czterech rundach, a następnie łączne zagregowane wydatki po 30 rundach. Dodatkowy impuls do wzrostu zagregowanych wydatków maleje w każdej kolejnej rundzie wydatków. Po około 10 rundach dodatkowe przyrosty są naprawdę bardzo małe - prawie niewidoczne gołym okiem. Po 30 rundach dodatkowe przyrosty w każdej rundzie są tak małe, że nie mają większego znaczenia. Po 30 rundach skumulowana wartość początkowego wzrostu łącznych wydatków wynosi ok. 213 dol. Tak więc wzrost wydatków rządowych o 100 dol. po wielu cyklach, ostatecznie spowodował wzrost łącznych wydatków i realnego PKB o ok. 213 dol. W tym przykładzie mnożnik wynosi 213 dol./100 dol = 2,13. Obliczanie mnożnika Na szczęście dla każdego, kto nie nosi ze sobą komputera z arkuszem kalkulacyjnym do prognozowania wpływu pierwotnego wzrostu wydatków przez 20, 50 lub 100 rund wydatków, istnieje wzór na obliczenie mnożnika. Mnożnik = 1 1 – (MPC × (1 – Stopa podatkowa) + MPI) Dane z i to: Krańcowa skłonność do oszczędzania MPS = 30% Stawka podatkowa = 10% Krańcowa skłonność do importu MPI = 10% MPC = 1 – MPS, czyli MPC = 0,7. Dlatego mnożnik wydatków jest równy: Mnożnik wydatków = 1 1 – (0,7 – (0,10)(0,7) – 0,10) = 1 0,47 = 2,13 Zmiana wydatków o 100 dol. pomnożona przez mnożnik wydatków wynoszący 2,13 przekłada się na zmianę PKB równą 213 dol. Nieprzypadkowo wynik ten jest dokładnie taki, jak obliczono w po wielu cyklach wydatków w gospodarce. Wielkość mnożnika zależy od tego, jaka część krańcowego dolara dochodu jest przeznaczona na podatki, oszczędności i import. Te trzy czynniki są znane jako „wycieki”, ponieważ określają, ile popytu „wycieka” w każdej rundzie działania efektu mnożnikowego. Jeśli wycieki są stosunkowo małe, to każda kolejna runda działania efektu mnożnikowego będzie dawała większe przyrosty popytu, a sam mnożnik będzie wysoki. I odwrotnie, jeśli wycieki są stosunkowo duże, to każda początkowa zmiana popytu będzie skutkowała mniejszym efektem w drugiej, trzeciej i późniejszych rundach, a mnożnik będzie mały. Zmiany wielkości wycieków – zmiana krańcowej skłonności do oszczędzania, stawki podatkowej czy krańcowej skłonności do importu – zmienią wielkość mnożnika. Obliczanie skutków keynesowskich interwencji politycznych Wracając do pierwotnego pytania: o ile należy zwiększyć wydatki rządowe, aby całkowity wzrost realnego PKB wyniósł 100 dolarów? Jeśli celem jest zwiększenie zagregowanego popytu o 100 dolarów, a mnożnik wynosi 2,13, to wzrost wydatków rządowych w celu osiągnięcia tego celu powinien wynieść 100 dol./2,13 = 47 dol. Wydatki rządowe w wysokości ok. 47 dol., w połączeniu z mnożnikiem 2,13 (który jest, pamiętajmy, oparty na konkretnych założeniach dotyczących podatków, oszczędności i stóp importu), dają ogólny wzrost realnego PKB o 100 dol., przywracając gospodarkę do potencjalnego PKB równego 800 dol., jak pokazano na . Efekt mnożnikowy w modelu wydatki-produkcja Potęga efektu mnożnikowego polega na tym, że wzrost wydatków powoduje relatywnie większy wzrost produkcji w stanie równowagi. Wzrost wydatków to przesunięcie AE 0 do położenia AE 1 . Jednak przyrost produkcji w stanie równowagi, pokazany na osi poziomej, jest wyraźnie większy. Efekt mnożnikowy jest również widoczny na wykresie krzyża keynesowskiego. pokazuje omawiany przez nas przykład: luka recesyjna z równowagą na poziomie 700 dol., potencjalnym PKB równym 800 dol., nachylenie funkcji zagregowanych wydatków (AE 0 ) określone przy założeniu, że podatki stanowią 30% dochodu, a oszczędności wynoszą 0,1 dochodu do opodatkowania, a import stanowi 0,1 dochodu przed opodatkowaniem. Przy AE 1 krzywa zagregowanych wydatków przesuwa się w górę, aby osiągnąć potencjalny PKB. Teraz porównajmy przesunięcie w górę krzywej zagregowanych wydatków o 47 dol., z przesunięciem w prawo realnego PKB, o 100 dol. (zgodnie z tym, co zostało obliczone wcześniej). Wzrost realnego PKB jest ponad dwukrotnie większy niż wzrost funkcji wydatków zagregowanych. (Podobnie, jeśli spojrzysz wstecz na , zobaczysz, że pionowe przesunięcia krzywej zagregowanych wydatków są mniejsze niż zmiana produkcji w równowadze, która jest pokazana na osi poziomej. Ponownie jest to efekt mnożnikowy.) W ten sposób potęga działania mnożnika jest widoczna na wykresie modelu wydatki-produkcja, jak również w obliczeniach arytmetycznych. Mnożnik nie tylko wpływa na wydatki rządowe, ale ma zastosowanie do wszelkich zmian w gospodarce. Powiedzmy, że spada zaufanie biznesowe i spadają inwestycje, lub że gospodarka wiodącego partnera handlowego zwalnia, co powoduje spadek eksportu. Zmiany te zmniejszą zagregowane wydatki, a następnie będą miały jeszcze większy wpływ na realny PKB ze względu na efekt mnożnikowy. Przeczytaj poniższą ramkę, aby dowiedzieć się, w jaki sposób można zastosować efekt mnożnikowy do analizy ekonomicznego wpływu sportu zawodowego. W jaki sposób można wykorzystać mnożnik do analizy wpływu sportu zawodowego na gospodarkę? Przyciąganie profesjonalnych drużyn sportowych i budowa stadionów sportowych w celu tworzenia miejsc pracy i stymulowania rozwoju biznesu to strategia rozwoju gospodarczego przyjęta przez wiele społeczności w całych Stanach Zjednoczonych. W artykule „Public Financing of Private Sports Stadiums” James Joyner z Outside the Beltway przyjrzał się publicznemu finansowaniu drużyn NFL. Odkrycia Joynera potwierdzają wcześniejsze prace Johna Siegfrieda z Vanderbilt University i Andrew Zimbalista ze Smith College. Siegfried i Zimbalist wykorzystali mnożnik do analizy tego problemu. Wzięli pod uwagę wysokość płaconych podatków i wydatków lokalnych, aby sprawdzić, czy wystąpił pozytywny efekt mnożnikowy. Większość zawodowych sportowców i właścicieli drużyn sportowych jest bogata i płaci dużo podatków – powiedzmy, że 40% ich krańcowego dochodu jest odprowadzane jako podatki. Ponieważ sportowcy często dobrze zarabiają a ich kariery są krótkie, to załóżmy, że oszczędzają jedną trzecią swojego dochodu po opodatkowaniu. Wielu zawodowych sportowców nie mieszka przez cały rok w mieście, w którym gra, więc powiedzmy, że połowa pieniędzy, które wydają, jest wydawana poza tym obszarem. W tym przykładzie można uznać wydatki dokonane poza lokalną gospodarką jako ekwiwalent towarów importowanych dla gospodarki narodowej. Pomyśl teraz o pieniądzach wydawanych na lokalną rozrywkę inną niż sport zawodowy. Właściciele tych innych biznesów mają pewnie średnie dochody, niewielu z nich znajduje się w ekonomicznej stratosferze zawodowych sportowców. Ponieważ ich dochody są niższe, to płacą też niższe podatki – powiedzmy, że płacą tylko 35% swojego krańcowego dochodu w postaci podatków. Nie mają takiej samej zdolności ani potrzeby oszczędzania jak zawodowi sportowcy, więc załóżmy, że ich MPC wynosi 0,8. Wreszcie, ponieważ więcej z nich mieszka cały rok w jednym mieście, będą wydawać większą część swoich dochodów na towary lokalne — powiedzmy 65%. Jeśli te ogólne założenia są prawdziwe, to pieniądze wydawane na sport zawodowy będą miały mniejszy wpływ na lokalną gospodarkę niż pieniądze wydawane na inne formy rozrywki. Dla zawodowych sportowców z każdego zarobionego dolara 40 centów idzie na podatki, więc pozostaje 60 centów. Z tych 60 centów jedna trzecia jest zaoszczędzona. Z pozostałych 40 centów połowa zostaje wydana poza obszarem. Tylko 20 centów z każdego dolara trafia do lokalnej gospodarki w pierwszej rundzie. W przypadku lokalnej rozrywki z zarobionego dolara 35 centów idzie na podatki, pozostawiając 65 centów. Z tego oszczędzone jest 20%, a z pozostałych 52 centów 65% wydawane jest na szczeblu lokalnym, tak więc 33,8 centa z każdego dolara dochodu jest ponownie wykorzystywane w lokalnej gospodarce. Siegfried i Zimbalist przekonująco argumentują, że w ramach domowego budżetu ludzie mają ustaloną kwotę do wydania na rozrywkę. Jeśli to założenie jest prawdziwe, to pieniądze wydane na profesjonalne imprezy sportowe są pieniędzmi, które nie zostały wydane na inne formy rozrywki w danej metropolii. Ponieważ mnożnik jest niższy w przypadku sportu zawodowego niż w przypadku innych lokalnych form rozrywki, pojawienie się sportu zawodowego w mieście spowodowałoby realokację wydatków na rozrywkę w sposób, który powoduje kurczenie się lokalnej gospodarki zamiast wzrostu. Tak więc, ich odkrycia wydają się potwierdzać to, co donosi Joyner i co donoszą gazety w całym kraju. Szybkie wyszukiwanie w Internecie hasła „wpływ sportu na gospodarkę” przyniesie liczne prace kwestionujące tę strategię rozwoju gospodarczego. Mnożnikowe kompromisy: stabilność a siła polityki ekonomicznej Czy gospodarka jest zdrowsza gdy mnożnik jest wysoki czy niski? Przy wysokim mnożniku każda zmiana zagregowanego popytu będzie oznaczała znaczne zwiększanie się dodatkowych wydatków, a więc gospodarka będzie bardziej niestabilna. Z kolei przy niskim mnożniku zmiany zagregowanego popytu nie będą znacznie pomnażane, więc gospodarka będzie bardziej stabilna. Jednak przy niskim mnożniku zmiany polityki rządu w zakresie podatków lub wydatków będą miały mniejszy wpływ na wysokość produkcji realnej w równowadze. Przy wyższym mnożniku polityka rządu mająca na celu zwiększenie lub zmniejszenie zagregowanych wydatków będzie bardziej skuteczna. Tak więc, niski mnożnik oznacza bardziej stabilną gospodarkę, ale także słabszą skuteczność polityki makroekonomicznej rządu, podczas gdy wysoki mnożnik oznacza bardziej niestabilną gospodarkę, ale także gospodarkę, w której polityka makroekonomiczna rządu jest silniejsza. Kluczowe pojęcia i podsumowanie Model wydatki-produkcja oraz krzyż keynesowski pokazują, w jak sposób poziom zagregowanych wydatków (na osi pionowej) zmienia się wraz ze zmianami poziomu produkcji w gospodarce (pokazanym na osi poziomej). Ponieważ wartość produkcji w skali makro stanowi również dochód dla kogoś innego w gospodarce, oś pozioma może być również interpretowana jako dochód narodowy. Równowaga na wykresie wystąpi tam, gdzie krzywa zagregowanych wydatków przecina linię 45 stopni, która reprezentuje zbiór punktów, w których zagregowane wydatki w gospodarce są równe produkcji (lub dochodowi narodowemu). Równowaga w krzyżu keynesowskim może wystąpić przy PKB na poziomie potencjalnym, poniżej lub powyżej tego poziomu. Funkcja konsumpcji pokazuje rosnącą zależność między dochodem narodowym a konsumpcją. Krańcowa skłonność do konsumpcji (KSK lub MPC) to część dodatkowego dolara dochodu przeznaczona na konsumpcję. Wyższa krańcowa skłonność do konsumpcji oznacza bardziej stromą funkcję konsumpcji; niższa krańcowa skłonność do konsumpcji oznacza bardziej płaską funkcję konsumpcji. Krańcowa skłonność do oszczędzania (KSO lub MPS) to zaoszczędzona część każdego dodatkowego dolara dochodu. Zawsze zachodzi prawidłowość mówiąca, że MPC + MPS = 1. Funkcja inwestycji jest linią płaska, pokazująca, że inwestycje w bieżącym roku nie zależą od bieżącego poziomu dochodu narodowego. Jednak funkcja inwestycji będzie się przesuwać (w górę i w dół) w zależności od stopy zwrotu oczekiwanej w przyszłości. Wydatki rządowe także są poziomą linią na wykresie krzyża keynesowskiego, ponieważ ich poziom jest determinowany względami politycznymi, a nie bieżącym poziomem dochodu w gospodarce. Podatki w krzyżu keynesowskim uwzględniane są poprzez odpowiednie dostosowanie funkcji konsumpcji. Funkcja eksportu jest poziomą linią na wykresie krzyża keynesowskiego, ponieważ eksport nie podąża za zmianami dochodu krajowego, ale przesuwa się w wyniku zmian dochodów za granicą, a także zmian kursów walutowych. Funkcja importu jest linią opadającą, ponieważ co prawda import rośnie wraz z dochodem narodowym, ale import jest odejmowany od zagregowanego popytu. Wyższy poziom importu oznacza zatem niższy poziom wydatków na dobra krajowe. Na wykresie krzyża keynesowskiego równowaga może zachodzić na poziomie niższym niż potencjalne PKB, co nazywamy luką recesyjną, lub na poziomie wyższym od potencjalnego PKB, co określamy jako luka inflacyjna. Efekt mnożnikowy opisuje, w jaki sposób początkowa zmiana globalnego popytu generuje większy przyrost skumulowanego PKB. O wielkości mnożnika wydatków decydują trzy strumienie: wydatki na oszczędności, podatki i import. Wzór na mnożnik to: Mnożnik = 1 1 – (MPC × (1 – Stopa podatkowa) + MPI) Gospodarka z niższym mnożnikiem jest bardziej stabilna - w mniejszym stopniu wpływają na nią wydarzenia gospodarcze lub polityka rządu niż w przypadku gospodarki z wyższym mnożnikiem. Pytania sprawdzające Narysuj wykres funkcji zagregowanych wydatków z luką recesyjną. Poniższy rysunek przedstawia wykres krzywej zagregowanych wydatków z luką recesyjną. Naszkicuj model wydatki-produkcja z luką inflacyjną Poniższy rysunek przedstawia krzywą zagregowanych wydatków z luką inflacyjną. W danej gospodarce: Y = dochód narodowy Podatki = T = 0,25Y C = konsumpcja = 400 + 0,85(Y – T) I = 300 G = 200 X = 500 M = 0,1(Y – T) Znajdź równowagę dla tej gospodarki. Jeśli potencjalny PKB wynosi 3500, to jaka zmiana w wydatkach rządowych jest potrzebna, aby osiągnąć ten poziom? Rozwiąż to zadanie na dwa sposoby. Najpierw wstaw 3500 do równań i oblicz G. Potem rozwiąż to zadanie używając mnożnika. Najpierw zapisz równania. AE = 400 + 0,85(Y – T) + 300 + 200 + 500 – 0,1(Y – T) AE = Y Następnie wstaw Y w miejsce AE i 0,25Y w miejsce T Y = 400 + 0,85(Y – 0,25Y) + 300 + 200 + 500 – 0,1(Y – 0,25Y) Y = 1400 + 0,6375Y – 0,075Y 0,4375Y = 1400 Y = 3200 Jeśli pełne zatrudnienie będzie osiągnięte dla Y=3500, to jednym ze sposobów rozwiązania jest podstawienie 3500 w miejsce Y w całym równaniu, ale pozostawienie G jako obliczanej zmiennej. Y = 400 + 0,85(Y – 0,25Y) + 300 + G + 500 + 0,1(Y – 0,25Y) 3500 = 400 + 0,85(3500 – 0,25(3500)) + 300 + G + 500 – 0,1(3500 – 0,25(3500)) G = 3500 – 400 – 2231,25 – 1300 – 500 + 262,5 G = 331,25 Wartość G wynosząca 331,25 to przyrost o 131,25 z pierwotnego poziomu równego 200. Alternatywnie można rozwiązać to zadanie wykorzystując informacje, że z każdego wydanego dolara 0,25 idzie na podatki, pozostawiając 0,75, a z dochodu po opodatkowaniu 0,15 idzie na oszczędności a 0,1 na import. Ponieważ (0,75)(0,15) = 0,1123 i (0,75)(0,1) = 0,075, to oznacza, że z każdego wydanego dolara: 1 –0,25 –0,1125 –0,075 = 0,5625. Zatem, używając odpowiedniego wzoru, mnożnik wynosi: 1 1 – 0,5625 = 2,2837 Aby zwiększyć PKB w stanie równowagi o 300, potrzebna jest podwyżka o 300/2,2837, co ponownie daje 131,25. przedstawia dane pochodzące z wykresu krzyża keynesowskiego. Załóżmy, że stawka podatkowa wynosi 0,4 dochodu narodowego; MPC z dochodu po opodatkowaniu wynosi 0,8; inwestycje równe są 2000 dolarów a wydatki rządowe 1000 dolarów; eksport wynosi 2000 dolarów, a import stanowi 0,05 dochodu po opodatkowaniu. Jaki jest poziom produkcji w stanie równowagi w tej gospodarce? Dochód narodowy Dochód po opodatkowaniu Konsumpcja I + G + X Minus import Wydatki zagregowane 8000 4340 9000 10.000 11.000 12.000 13.000 Poniższa tabela jest już wypełniona. Wiersz odpowiadający równowadze jest wyróżniony kursywą. Dochód narodowy Dochód po opodatkowaniu Konsumpcja I + G + X Minus import Wydatki zagregowane 8000 4800 4340 5000 240 9100 9000 5400 4820 5000 270 9550 10.000 6000 5300 5000 300 10.000 11.000 6600 5780 5000 330 10.450 12.000 7200 6260 5000 360 10.900 13.000 7800 6240 5000 4390 11.350 Alternatywnym sposobem wyznaczenia równowagi jest obliczenie Y (Y = dochód narodowy), przy wykorzystaniu równania: Y = AE = C + I + G + X – M Y = 500 dol. + 0,8(Y – T) + 2,000 dol. + 1,000 dol. + 2,000 dol. – 0,05(Y – T) Po obliczeniach widzimy, że równowaga zachodzi przy produkcji równej Y = 10.000. Wyjaśnij, jak działa mnożnik. W przykładzie wykorzystaj MPC równe 80%. Mnożnik mówi o tym, ile razy ten sam dolar będzie się obracał w gospodarce. Wartość mnożnika opiera się na krańcowej skłonności do konsumpcji (MPC), która mówi, ile zostanie wydane z każdego otrzymanego dolara. Jeśli MPC wynosi 80%, to z każdego otrzymanego dolara zostanie wydane 0,80 dol. Te 0,80 dol. otrzymuje jakaś inna osoba. Następnie 80% z otrzymanych 0,80 dol., czyli 0,64 dol., zostanie wydane i tak dalej. Wpływ mnożnika jest osłabiony, gdy weźmie się pod uwagę wpływ podatków i wydatków na import. Aby wyprowadzić mnożnik, użyj wzoru 1/(1 – F); gdzie F jest równy odsetkowi oszczędności, podatków i wydatków na import. Sprawdź wiedzę Co przedstawione jest na osiach wykresu wydatki-produkcja? Co pokazuje linia 45 stopni? Co określa nachylenie krzywej konsumpcji? Czym jest krańcowa skłonność do konsumpcji i jaki jest jej związek z krańcową skłonnością do importu? Dlaczego funkcja inwestycji, funkcja wydatków rządowych i funkcja eksportu mają postać funkcji stałych? Dlaczego funkcja importu jest malejąca? Czym jest krańcowa skłonność do importu? Jakie są elementy składowe zagregowanej funkcji wydatków? Czy zwykle oczekuje się, że równowaga na wykresie krzyża keynesowskiego będzie równa lub zbliżona do potencjalnego PKB? Co to jest luka inflacyjna? A luka recesyjna? Co to jest efekt mnożnikowy? Dlaczego przy obliczaniu efektu mnożnikowego oszczędności, podatki i import są określane jako „wycieki\" lub „odpływy”? Czy gospodarka z wysokim mnożnikiem będzie bardziej czy mniej stabilna niż gospodarka z niskim mnożnikiem w odpowiedzi na zmiany w gospodarce lub polityce rządu? W jaki sposób ekonomiści wykorzystują mnożnik? Ćwicz myślenie krytyczne Co to oznacza, gdy zagregowana linia wydatków przecina linię 45 stopni? Innymi słowy, jak wytłumaczysz to przecięcie słowami? Który model, model AD/AS czy model AE, lepiej wyjaśnia związek między rosnącymi poziomami cen a PKB? Dlaczego? Jakie są powody, dla których gospodarka może znaleźć się w recesji, i jakie są odpowiednie działania rządu w celu złagodzenia recesji? Co powinien zrobić rząd, aby złagodzić presję inflacyjną, jeśli zagregowane wydatki są większe niż potencjalny PKB? Dwa kraje są w recesji. Kraj A ma MPC na poziomie 0,8, zaś kraj B ma MPC na poziomie 0,6. W którym kraju wydatki rządowe będą miały większy wpływ? Porównajmy dwie polityki: obniżkę podatku dochodowego lub zwiększenie wydatków rządowych na drogi i mosty. Jakie są krótko- i długoterminowe skutki takiej polityki dla gospodarki? Jaką rolę odgrywa rząd w stabilizowaniu gospodarki i jakie kompromisy należy wziąć pod uwagę? Jeśli istnieje luka recesyjna w wysokości 100 miliardów dolarów, czy rząd powinien zwiększyć wydatki o 100 miliardów dolarów, aby ją zlikwidować? Dlaczego? Jakie inne zmiany w gospodarce można ocenić za pomocą mnożnika? Bibliografia Joyner, James. Outside the Beltway. “Public Financing of Private Sports Stadiums.” Last modified May 23, 2012. http://www.outsidethebeltway.com/public-financing-of-private-sports-stadiums/. Siegfried, John J., and Andrew Zimbalist. “The Economics of Sports Facilities and Their Communities.” Journal of Economic Perspectives . no. 3 (2000): 95-114. http://pubs.aeaweb.org/doi/pdfplus/10.1257/jep.14.3.95.", "section": "Model dochodowo-wydatkowy", "book": "Makroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/makroekonomia-podstawy"}
{"text": "Przedmowa Podręcznik Mikroekonomia – Podstawy powstał po to, by bezpłatnie udostępnić studentom materiały dydaktyczne spełniające najwyższe standardy akademickie. Jest adaptacją podręcznika Principles of Microeconomics 2e stworzonego przez OpenStax, fundację non-profit działającą przy Rice University w Stanach Zjednoczonych. Został wydany w 2022 roku przez OpenStax Polska, fundację non-profit z siedzibą w Warszawie. O podręczniku Mikroekonomia – Podstawy Wierzymy, że przyszłość edukacji to swobodny i wygodny dostęp do najlepszych treści, równy dla wszystkich. Fundacja OpenStax Poland wspólnie z fundacją OpenStax realizują tę misję, tworząc wysokiej jakości podręczniki i udostępniając je studentom i wykładowcom. W ramach projektu opublikowano w języku polskim trzytomowy podręcznik Fizyka dla szkół wyższych (2018) oraz jednotomową Psychologię (2020). Mikroekonomia – Podstawy to polska adaptacja podręcznika Principles of Microeconomics 2e wydanego przez OpenStax. Dzięki aktualizacjom wprowadzonym przez polski zespół redakcyjny jest to jeden z najbardziej aktualnych podręczników do mikroekonomii na polskim rynku. Publikacja przygotowana została przez OpenStax Poland we współpracy z wykładowcami: Szkoły Głównej Handlowej w Warszawie, Uniwersytetu Gdańskiego, Uniwersytetu Ekonomicznego w Poznaniu, Uniwersytetu Ekonomicznego w Krakowie, Uniwersytetu Ekonomicznego we Wrocławiu, Uniwersytetu Ekonomicznego w Katowicach, Uniwersytetu Łódzkiego oraz Akademii Leona Koźmińskiego. Publikacja jest odpowiedzią na rosnące zapotrzebowanie na treści mające wysokie walory dydaktyczne, a zarazem atrakcyjne dla współczesnych studentów i dostępne online bez żadnych opłat. Podręcznik został wydany na otwartej licencji Creative Commons Uznanie autorstwa 4.0 Międzynarodowe (CC-BY 4.0). Gwarantuje ona całkowicie bezpłatne użytkowanie i niemal nieograniczone możliwości korzystania z publikacji: wolny dostęp, swobodne pobieranie i przekazywanie pliku PDF oraz legalne modyfikowanie kopii – zarówno tekstu, jak i ilustracji. Jeśli więc zamierzacie Państwo wykorzystać fragmenty publikacji np. do przygotowania własnych materiałów dydaktycznych, nie ma ku temu żadnych przeszkód prawnych ani technicznych, jedynym warunkiem jest powołanie się na źródło: Mikroekonomia – Podstawy , OpenStax Poland, 2022, www.OpenStax.org. Podręcznik jest dostępny w wersji cyfrowej (online oraz w pliku PDF) na stronie www.OpenStax.org. Podziękowania W pracę nad polskim wydaniem podręcznika zaangażowanych było 17 dydaktyków akademickich, trzech korektorów oraz redaktor językowy. Składamy serdeczne podziękowania wszystkim, którzy brali udział w tworzeniu tego otwartego podręcznika. W szczególności chcielibyśmy wyróżnić współpracowników, których udział był szczególnie znaczący. Są to: dr Piotr Maszczyk, Szkoła Główna Handlowa w Warszawie dr Bożena Horbaczewska, Szkoła Główna Handlowa w Warszawie prof. dr hab. Mariusz Próchniak, Szkoła Główna Handlowa w Warszawie Adaptacja podręcznika została sfinansowana z grantu przekazanego przez White Star Education Foundation. Serdecznie dziękujemy. Modyfikacje względem podręcznika Principles of Microeconomics 2e Podręcznik Mikroekonomia – Podstawy , podobnie jak Principles of Microeconomics 2e , przeznaczony jest do trwających jeden semestr zajęć z podstaw mikroekonomii. Treść dopasowano pod względem zakresu i układu do praktyki dydaktycznej większości uczelni prowadzących takie zajęcia. Niniejsza publikacja pomoże studentom poznać najważniejsze zagadnienia z dziedziny mikroekonomii. Publikacja została dostosowana do standardów nauczania przedmiotu na polskich uczelniach. Polskie wydanie wzbogacono o liczne adaptacje kulturowe. Ponadto, ze względu na różnorodność terminologii z zakresu mikroekonomii obowiązującej na polskich uczelniach, we współpracy z dydaktykami z wymienionych wyżej siedmiu uczelni wprowadziliśmy synonimy terminów w sekcji Kluczowe pojęcia na końcu każdego rozdziału. Zabieg ten sprawia, że podręcznik jest uniwersalny i odnajdzie się w nim student każdej uczelni w Polsce. Przygotowaliśmy także dodatkowy rozdział o wpływie katastrofy klimatycznej na rozwój przedsiębiorstw. Dla jasności przekazu i wygody studentów w obecnym wydaniu nie zostały natomiast uwzględnione te zagadnienia z Principles of Microeconomics 2e, które na polskich uczelniach typowo są prowadzone na kursie makroekonomii. Zakres materiału Zakres wiedzy prezentowanej w podręczniku Mikroekonomia – Podstawy został dopasowany do typowych zajęć akademickich z mikroekonomii ogólnej prowadzonych przez jeden semestr. Naszym celem było zaprezentowanie mikroekonomii jako dziedziny ciekawej i przystępnej, a poruszane zagadnienia staraliśmy się obrazować życiowymi przykładami. Publikacja zawiera następujące rozdziały: Rozdział 1. Wstęp do mikroekonomii Rozdział 2. Wybory w świecie rzadkości zasobów Rozdział 3. Popyt i podaż Rozdział 4. Elastyczność Rozdział 5. Wybory konsumenta Rozdział 6. Teoria podaży, kosztów i struktur rynku Rozdział 7. Konkurencja doskonała Rozdział 8. Monopol Rozdział 9. Konkurencja monopolistyczna i oligopol Rozdział 10. Wprowadzenie do rynku czynników produkcji Rozdział 11. Zawodność rynku – państwo a biznes Rozdział 12. Wpływ zmian klimatu na rozwój przedsiębiorstw Funkcje dydaktyczne Struktura podręcznika została przygotowana w sposób mający zachęcić czytelnika do aktywnego przetwarzania wiedzy. Każdy rozdział zawiera dodatkowe informacje przedstawione w czterech typach ramek: Do przemyślenia. Krótka analiza przypadku. Przedstawione w niej odniesienia do rzeczywistych zdarzeń pozwalają pokazać praktyczne zastosowanie wiedzy prezentowanej rozdziale. Treść analizy przypadku jest rozbita na dwa elementy: na początku i na końcu każdego rozdziału. Pierwsza część wprowadza czytelnika do omawianego zagadnienia, a druga część jest podsumowaniem analizy przypadku z wykorzystaniem wiedzy przedstawionej w rozdziale. Krok po kroku. Prowadzi czytelnika krok po kroku przez kolejne etapy rozwiązywania konkretnego problemu analitycznego albo obliczeniowego. Poznaj szczegóły. Mierzy się z popularnymi wśród studentów nieporozumieniami związanymi z wprowadzanym tematem. Zazwyczaj treść ramki jest pogłębieniem zagadnień z głównego tekstu. Sięgnij po więcej. Prowadzi do źródeł zewnętrznych jak popularne artykuły prasowe i materiały wideo, które mają nadać omawianemu zagadnieniu ciekawy kontekst i osadzić problem w realiach. Efektywne uczenie się i weryfikacja wiedzy Na końcu każdego rozdziału zamieszczone są zagadnienia do samodzielnej pracy. Pytania sprawdzające. Ćwiczenia mające ułatwić samodzielne sprawdzenie wiedzy i motywujące studenta do rozważań wykraczających poza zagadnienia wprowadzone w rozdziale. Rozwiązania do zadań znajdują się w osobnej sekcji na końcu książki. Sprawdź wiedzę. Nieskomplikowane pytania otwarte z wiedzy zawartej w rozdziale. Ćwicz myślenie krytyczne. Pytania koncepcyjne, w których czytelnik może sprawdzić rozumienie zagadnienia, stosując pozyskaną wiedzę w różnych kontekstach. Wymagają pogłębionej analizy, mają sprowokować do nieszablonowych rozważań. Problemy. Zadania dodatkowo sprawdzające wiedzę i umiejętności analityczne i obliczeniowe dotyczące wprowadzanych w rozdziale zagadnień. Zasoby dla studentów i wykładowców Na stronie OpenStax.org można znaleźć materiały dodatkowe w języku angielskim, przeznaczone zarówno dla studentów, jak i wykładowców — między innymi przewodniki użytkownika, slajdy dla prowadzących zajęcia i studentów. Aby uzyskać dostęp do materiałów dla wykładowców, należy posiadać zweryfikowane konto wykładowcy, o które można poprosić przy logowaniu na OpenStax.org. Zasoby te są dopasowane do podręcznika Principles of Microeconomics 2e . Format Podręcznik jest dostępny za darmo online oraz do pobrania w dokumencie PDF za pośrednictwem strony OpenStax.org. Zgłaszanie błędów Wszystkie podręczniki OpenStax Poland przechodzą rygorystyczny proces recenzji. Mimo to niektóre błędy mogły zostać przeoczone, co zdarza się w każdej profesjonalnej publikacji. Nasze książki są cyfrowe, dlatego możemy uaktualniać je, gdy zachodzi taka potrzeba. By zaproponować poprawkę, prosimy skorzystać z odnośnika na stronie podręcznika na OpenStax.org. Zgłoszone poprawki są analizowane przez ekspertów i wprowadzane do publikacji przez zespół redakcyjny. Twórcy podręcznika Autorzy Steven A. Greenlaw, University of Mary Washington Steven Greenlaw wykłada podstawy ekonomii od ponad 30 lat. w 1999 r. działalność dydaktyczna Greenlawa została wyróżniona przez jego macierzystą uczelnię nagrodą Grelleta C. Simpsona za Doskonałość w Nauczaniu Akademickim . Jest autorem Doing Economics: A Guide to Doing and Understanding Economic Research (Jak robić ekonomię: przewodnik po prowadzeniu badań) oraz artykułów o dydaktyce ekonomii m.in. w Journal of Economic Education , International Review of Economic Education . Greenlaw napisał także moduł Quantitative Writing for Starting Point: Teaching and Learning Economics opublikowany w portalu poświęconym najlepszym praktykom nauczania ekonomii. Mieszka w Alexandrii w stanie Wirginia w USA, razem z żoną Kathy mają troje dzieci. David Shapiro, Pennsylvania State University David Shapiro jest profesorem emerytowanym na wydziale Ekonomii, demografii oraz studiów nad tematyką kobiecości, gender i seksualności na University of Michigan. Obronił licencjat z Nauk politycznych i ekonomicznych na University of Michigan oraz dyplom i doktorat Nauk Ekonomicznych na Princeton University. Karierę akademicką rozpoczął w 1971 r. na Ohio State University, gdzie zajmował się badaniami kobiet i młodzieży na rynku pracy w USA. W latach 1978–1979 jako stypendysta Fulbrighta na Uniwersytecie w Kinszasie w Demokratycznej Republice Konga prowadził badania nad edukacją, zatrudnieniem i zachowaniami reprodukcyjnymi kobiet w Kinszasie, a później poszerzył zakres badań na cały region subsaharyjski. Shapiro zdobył najwyższe nagrody dla dydaktyków zarówno w Ohio State jak i Penn State. Waldemar Karpa, Akademia Leona Koźmińskiego Waldemar Karpa jest wieloletnim dydaktykiem i profesorem nadzwyczajnym w Katedrze Ekonomii Akademii Leona Koźmińskiego w Warszawie. Jest twórcą programu studiów i liderem kierunku Ekonomia na tejże uczelni. Systematycznie gości z wykładami gościnnymi w prestiżowych uczelniach zagranicznych. Magisterium i doktorat w dyscyplinie ekonomii międzynarodowej obronił na paryskiej Sorbonie (Université Paris 1 Panthéon-Sorbonne). Główną tematyką jego pracy naukowej są procesy innowacyjności w gospodarce, a w szczególności te zachodzące w obszarach ochrony zdrowia oraz tych skierowanych na niwelację negatywnych skutków zmian klimatycznych. Autor monografii, artykułów naukowych oraz opracowań na rzecz praktyki oraz prac o charakterze popularnonaukowym. W podręczniku Mikroekonomia – Podstawy jest autorem rozdziału Wpływ zmian klimatu na rozwój przedsiębiorstw. Piotr Maszczyk, Szkoła Główna Handlowa w Warszawie Piotr Maszczyk prodziekan Studium Magisterskiego Szkoły Głównej Handlowej w Warszawie oraz kierownik Zakładu Makroekonomii i Ekonomii Sektora Publicznego w Kolegium Gospodarki Światowej. Autor i współautor blisko 50 artykułów i opracowań naukowych z obszarów teorii ekonomii, ekonomii instytucjonalnej i transformacji ustrojowej w Europie Środkowej i Wschodniej, a także licznych ekspertyz. Posiada ponaddwudziestoletnie doświadczenie dydaktyczne na studiach licencjackich, magisterskich, doktorskich i podyplomowych, potwierdzone licznymi nagrodami przyznanymi zarówno przez JM Rektora SGH, jak i samych studentów, o czym świadczy dwukrotne wyróżnienie studencką nagrodą Inspiracja Roku. Maszczyk jest także laureatem Nagrody Ministra Nauki i Edukacji. Pracował także w Ministerstwie Finansów i Ministerstwie Rozwoju Regionalnego w randze radcy ministra. Jest stałym komentatorem ekonomicznym radia Tok FM i RdC. W podręczniku Mikroekonomia – Podstawy jest współautorem rozdziału Wpływ zmian klimatu na rozwój przedsiębiorstw oraz autorem adaptacji polskiego wydania. Redakcja naukowa polskiego wydania: dr Piotr Maszczyk, Szkoła Główna Handlowa w Warszawie Tłumaczenia: dr Bożena Horbaczewska, Szkoła Główna Handlowa w Warszawie (rozdziały: Popyt i podaż, Wprowadzenie do rynku czynników produkcji, Teoria podaży, kosztów i struktur rynku, Monopol, Dodatek C); dr Krystian Jaworski, Szkoła Główna Handlowa w Warszawie (rozdziały: Wstęp do mikroekonomii, Wybór w świecie rzadkości zasobów); prof. dr hab. Mariusz Próchniak, Szkoła Główna Handlowa w Warszawie (rozdziały: Elastyczność, Wybory konsumenta, Konkurencja doskonała, Konkurencja monopolistyczna i oligopol, Zawodność rynku – państwo a biznes, Dodatek A, Dodatek B) Recenzje naukowe polskiego wydania: dr Ewa Ignaciuk, Uniwersytet Gdański; dr hab. Jacek Jankiewicz, Uniwersytet Ekonomiczny w Poznaniu, dr Jakub Gazda, d. Uniwersytet Ekonomiczny w Poznaniu; prof. dr hab. Wojciech Giza, Uniwersytet Ekonomiczny w Krakowie; prof. dr hab. Bożena Borkowska, Uniwersytet Ekonomiczny we Wrocławiu; dr hab. Sławomir Czetwertyński, Uniwersytet Ekonomiczny we Wrocławiu; dr hab. Izabela Ostoj, Uniwersytet Ekonomiczny w Katowicach; dr hab. Jacek Pietrucha, Uniwersytet Ekonomiczny w Katowicach; prof. dr hab. Janina Godłów-Legiędź, Uniwersytet Łódzki; dr hab. Edyta Dworak, prof. Uniwersytetu Łódzkiego; dr Tomasz Grabia, Uniwersytet Łódzki; dr hab. Bolesław Rok, prof. Akademii Leona Koźmińskiego. Redakcja językowa: Sławomir Borkowski Korekta językowa: Marcin Kuźma, Ewa Jeżewska, Weronika Dulęba Okładka i ilustracje: Marta Sztuka Wsparcie redakcji: Marta Sztuka, Dorota Rokowska Zespół redakcyjny Principles of Microeconomics 2e Prowadzenie redakcji: Thomas Sigel Specjalne podziękowania redakcji podręcznika Principles of Microeconomics 2e dla Christiana Pottera z University of Mary Washington za szczegółowy research i aktualizacje danych w publikacji. Współautorstwo: Eric Dodge, Hanover College Cynthia Gamez, University of Texas at El Paso Andres Jauregui, Columbus State University Diane Keenan, Cerritos College Dan MacDonald, California State University, San Bernardino Amyaz Moledina, The College of Wooster Craig Richardson, Winston-Salem State University Ralph Sonenshine, American University Recenzje naukowe: Bryan Aguiar, Northwest Arkansas Community College; Basil Al Hashimi, Mesa Community College; Jennifer Ball, Washburn University; Emil Berendt, Mount St. Mary's University; Zena Buser, Adams State University; Douglas Campbell, The University of Memphis; Sanjukta Chaudhuri, University of Wisconsin-Eau; Claire Xueyu Cheng, Alabama State University; Robert Cunningham, Alma College; Rosa Lea Danielson, College of DuPage; Steven Deloach, Elon University; Debbie Evercloud, University of Colorado Denver; Sal Figueras, Hudson County Community College; Reza Ghorashi, Stockton University; Robert Gillette, University of Kentucky; George Jones, University of Wisconsin-Rock County; Charles Kroncke, College of Mount St. Joseph; Teresa Laughlin, Palomar Community College; Carlos Liard-Muriente, Central Connecticut State University; Heather Luea, Kansas State University; Charles Meyrick, Housatonic Community College; William Mosher, Nashua Community College; Michael Netta, Hudson County Community College; Nick Noble, Miami University; Joe Nowakowski, Muskingum University; Shawn Osell, University of Wisconsin, Superior; Mark Owens, Middle Tennessee State University; Sonia Pereira, Barnard College; Brian Peterson, Central College; Jennifer Platania, Elon University; Robert Rycroft, University of Mary Washington; Adrienne Sachse, Florida State College at Jacksonville; Hans Schumann, Texas A&M University; Gina Shamshak, Goucher College; Chris Warburton, John Jay College of Criminal Justice, CUNY; Mark Witte, Northwestern University; Chiou-nan Yeh, Alabama State University", "section": "Przedmowa", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Czy używasz mediów społecznościowych? Na funkcjonowanie gospodarki olbrzymi wpływ ma to, jak szybko informacje są wymieniane przez ludzi. Obecnie największe serwisy na rynku mediów społecznościowych, takie jak: Twitter, Facebook i Instagram, są najważniejszymi pośrednikami ułatwiającymi tę wymianę w przestrzeni infosfery. (Źródło: Johan Larsson/Flickr) Problem wyboru. Decyzje w erze mediów społecznościowych Opublikować czy nie opublikować? Każdego dnia stajemy przed niezliczonymi decyzjami, począwszy od tego, co zjeść na śniadanie, przez wybór sposobu dotarcia na uczelnię, po kwestie bardziej złożone, np.: Czy powinniśmy wybrać kolejną specjalizację i tym samym wydłużyć okres studiowania? Nasze zachowanie w obliczu tych wyborów zależy od zakresu informacji, którymi dysponujemy w danym momencie. Ekonomiści zwykle mówią w tym kontekście o „niedoskonałej informacji”, ponieważ rzadko mamy wszystkie dane potrzebne do podjęcia optymalnej decyzji. Ale mimo braku doskonałej informacji wciąż dokonujemy setek rozstrzygnięć dziennie. Obecnie dysponujemy dodatkowym narzędziem służącym do pozyskiwania i gromadzenia informacji – mediami społecznościowymi. Portale takie jak Facebook i Twitter zmieniają to, jakie filmy oglądamy, które produkty kupujemy, modyfikują sposoby dokonywania przez nas wyborów i spędzania wolnego czasu. Wpływają na niemal każdą naszą aktywność. Ilu z was wybrało uczelnię, nie sprawdzając najpierw jej strony i profilu na Facebooku lub Twitterze, aby uzyskać informacje i opinie na jej temat? Jak zauważysz podczas lektury tego podręcznika, na procesy zachodzące w gospodarce wpływa to, jak sprawnie informacje są rozpowszechniane w społeczeństwie, np. jak szybko wiadomości publikowane są na Facebooku i w innych mediach społecznościowych. „Ekonomiści najbardziej kochają duże i płynne rynki, które działają w warunkach doskonałej informacji” – stwierdziła Jessica Irvine, redaktor National Economics w News Corp Australia. Powyższe konstatacje prowadzą nas do tematu niniejszego rozdziału, którym jest wprowadzenie do świata podejmowania decyzji, przetwarzania informacji i zrozumienia zachowań na rynkach – świata ekonomii. Każdy rozdział w niniejszej książce zaczyna się od dyskusji na temat bieżących (czasami przeszłych) wydarzeń i powraca do nich na końcu, aby czytelnik mógł utrwalić sobie przyswojoną wiedzę. Wprowadzenie Dzięki lekturze tego rozdziału dowiesz się: Czym jest ekonomia i dlaczego jest ważna Jakie są różnice między mikro- a makroekonomią Jak ekonomiści wykorzystują teorie i modele do zrozumienia problemów ekonomicznych W jaki sposób może funkcjonować gospodarka w różnych systemach ekonomicznych Czym jest ekonomia i dlaczego warto poświęcać czas na jej studiowanie? W końcu istnieją inne dyscypliny naukowe, które możesz zgłębiać, i inne sposoby spędzania czasu. Jak to już zostało wspomniane, dokonywanie wyborów stanowi sedno tego, czym zajmują się ekonomiści, a decyzja o przeczytaniu tego podręcznika jest decyzją ekonomiczną, podobnie jak każdy inny dokonany przez ciebie wybór. Ekonomia prawdopodobnie jest czym innym niż myślisz. Nie chodzi w niej przede wszystkim o pieniądze czy finansowanie przedsiębiorstw. Nie sprowadza się do działalności biznesowej. Nie jest również matematyką. Czym zatem jest ekonomia? Otóż jest to zarówno jedna z nauk społecznych, jak i sposób postrzegania świata.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Czym jest ekonomia i dlaczego jest ona ważna? Po przeczytaniu tego podrozdziału będziesz w stanie: Wytłumaczyć, dlaczego warto studiować ekonomię Wyjaśnić relację między produkcją a podziałem pracy Ocenić znaczenie zjawiska rzadkości (ograniczoności) zasobów Ekonomia (ang. economics ) to nauka o tym, jak ludzie podejmują decyzje w obliczu rzadkości (ograniczoności) zasobów. Mogą to być decyzje indywidualne, decyzje rodzinne, decyzje biznesowe lub decyzje społeczne. Jeśli rozejrzysz się uważnie, zobaczysz, że rzadkość zasobów jest faktem. Rzadkość zasobów (ang. scarcity ) oznacza, że potrzeby w zakresie towarów, usług i surowców przekraczają dostępne zasoby, jeśli koszt ich pozyskania jest pomijalny (ich cena jest równa zero). Zasoby takie jak: siła robocza, narzędzia, ziemia i surowce są niezbędne do wytworzenia pożądanych przez nas dóbr i usług, ale ich podaż jest ograniczona. Oczywiście rzadkim zasobem jest również czas – każdy człowiek, bogaty czy biedny, ma tylko 24 godziny w ciągu doby, które może wykorzystać, aby zarobić na zakup towarów i usług albo też poświęcić je na rekreację lub sen. W danym momencie dostępna jest tylko skończona ilość zasobów. Istnieją dobra, których zasoby wydają się nieograniczone, np. powietrze czy energia słoneczna. Nazywane są one dobrami wolnymi, ale kryzys klimatyczny uświadamia nam, że nawet obfitość takich dóbr ma charakter względny. Pomyśl o tym w ten sposób: zgodnie z danymi Głównego Urzędu Statystycznego (GUS) w 2020 r. liczba osób aktywnych zawodowo w Polsce kształtowała się na poziomie bliskim 17 mln (w tym samym okresie osób biernych zawodowo było blisko 13,5 mln). Całkowita powierzchnia kraju wynosiła 312 679 km kw. Chociaż są to z pewnością liczby duże, nie są one nieskończone. Ponieważ zasoby te są ograniczone, podobnie rzecz się ma z ilością towarów i usług, które dzięki ich wykorzystaniu produkujemy (jakkolwiek, zgodnie z danymi GUS, produkcja dóbr i usług konsumpcyjnych w Polsce z roku na rok jest coraz większa). Jeśli dodamy do tego fakt, iż ludzkie potrzeby wprawdzie nie są nieograniczone (w końcu ile pączków w ciągu dnia jest w stanie zjeść człowiek), ale – również ze względu na to, że wciąż pojawiają się nowe produkty (przede wszystkim gadżety elektroniczne) – znacznie przekraczają dostępny zasób dóbr i usług, łatwo zauważyć, dlaczego rzadkość zasobów jest problemem. Rozwiązywanie tego problemu wymaga analizy nie tylko produkcji, ale także sposobu dzielenia dóbr (ich dostępności) między poszczególne jednostki i grupy. Dlatego przedmiot ekonomii – gospodarowanie rzadkimi zasobami – obejmuje produkcję i podział jej efektów w społeczeństwie. Podział dóbr w społeczeństwie rodzi kontrowersje, które także są przedmiotem analiz ekonomistów. W tym miejscu należy podkreślić specyficzną cechę ekonomii jako nauki społecznej. W ekonomii występują twierdzenia pozytywne, które opisują, jak ludzie działają (tzw. ekonomia pozytywna), i twierdzenia normatywne, dotyczące tego, jak być powinno (ekonomia normatywna). Temat ten zostanie rozwinięty w kolejnym rozdziale. Wprowadzenie do bazy danych FRED Dane liczbowe są bardzo ważne w ekonomii, ponieważ ilustrują problemy, które ekonomia stara się zrozumieć. Różne agencje rządowe publikują dane gospodarcze i społeczno-ekonomiczne. W tym podręczniku będziemy używać głównie danych z bazy FRED Banku Rezerwy Federalnej w St. Louis i danych dostępnych poprzez witrynę internetową Głównego Urzędu Statystycznego (GUS). Zarówno portal FRED , jak i GUS są bardzo przyjazne dla użytkownika. Umożliwiają wyświetlanie danych w tabelach lub na wykresach, a także łatwe pobieranie ich do postaci arkusza kalkulacyjnego, jeśli chcesz wykorzystać je do innych celów. Witryny FRED i GUS zawierają dane dotyczące kształtowania się w czasie prawie 400 tys. liczb obrazujących procesy gospodarcze w kraju i na świecie w szerokich kategoriach: Pieniądz, bankowość i finanse Demografia, zatrudnienie i rynek pracy (w tym rozkład dochodów) Rachunki narodowe (produkt krajowy brutto i jego składowe) Produkcja i działalność gospodarcza (w tym cykle koniunkturalne) Ceny i inflacja (w tym indeks cen towarów i usług konsumpcyjnych, indeks cen producentów oraz indeks kosztów zatrudnienia) Dane regionalne z USA i Polski Dodatkowo portal FRED zawiera również dane akademickie (w tym Penn World Tables i bazę danych NBER Macrohistory ) Aby uzyskać więcej informacji o tym, jak korzystać z FRED, zobacz filmy na YouTube, zaczynając od tego wprowadzenia. Rzadkość zasobów Kryzys bezdomności pokazuje, jak realnym problemem jest rzadkość zasobów. (Źródło: „daveynin”/Flickr Creative Commons) Jeśli nadal nie wierzysz, że rzadkość zasobów jest istotnym problemem, zastanów się nad następującymi kwestiami: Czy każdy potrzebuje jedzenia? Czy każdy potrzebuje przyzwoitego mieszkania? Czy każdy potrzebuje opieki zdrowotnej? W każdym kraju na świecie są ludzie głodni, dotknięci kryzysem bezdomności (którzy są zmuszeni nazywać ławki w parku swoimi łóżkami, jak pokazano na ), pozbawieni dostępu do usług medycznych. Z czego to wynika? Powodem jest rzadkość zasobów. Spróbujmy zgłębić kwestię rzadkości zasobów nieco dokładniej, ponieważ jest ona kluczowa dla zrozumienia tego, czym zajmuje się ekonomia. Problem rzadkości zasobów Pomyśl o wszystkich rzeczach, które konsumujesz: jedzeniu, mieszkaniu, odzieży, transporcie, opiece zdrowotnej i rozrywce. Jak zdobywasz te dobra? Sam ich nie produkujesz. Nabywasz je. Dlaczego stać cię na kupowane rzeczy? Bo pracujesz i otrzymujesz za to wynagrodzenie. Jeśli sam tego nie robisz, robi to ktoś inny, kto kupuje ci wszystkie niezbędne produkty. Jednak większość z nas nigdy nie uzyskuje wystarczającego dochodu, aby móc nabyć wszystko, czego pragnie. Dzieje się tak właśnie z powodu rzadkości zasobów. Jak zatem rozwiązać ten problem? Odwiedź tę stronę internetową , aby przeczytać o tym, jak Stany Zjednoczone radzą sobie z problemem rzadkości zasobów. Każde społeczeństwo, niezależnie od tego, jak zamożni są jego obywatele, musi dokonywać wyborów dotyczących sposobu wykorzystania swoich zasobów. Rodziny muszą zdecydować, czy wydadzą pieniądze na nowy samochód, czy na ekskluzywne wakacje. Jednostki samorządowe (gminy, powiaty i województwa) muszą określić, czy przeznaczyć większą część budżetu na policję i ochronę przeciwpożarową, czy na system oświaty. Państwa muszą dokonać wyboru, czy przeznaczyć więcej środków na obronę narodową, czy na ochronę środowiska. W większości przypadków w budżecie po prostu nie ma wystarczającej ilości pieniędzy, aby sfinansować wszystkie potrzeby. Jak najlepiej wykorzystać nasze ograniczone zasoby, aby uzyskać możliwie najwięcej towarów i usług? Istnieje kilka opcji. Po pierwsze, każdy z nas mógłby wyprodukować wszystko to, co sam konsumuje. Alternatywnie każdy mógłby wyprodukować część tego, co chciałby skonsumować, a resztę zapewnić sobie w drodze wymiany. Przyjrzyjmy się tym opcjom. Dlaczego sami nie wytwarzamy po prostu wszystkich rzeczy, które są nam niezbędne? Przypomnijmy sobie nieodległe przecież czasy, kiedy ludzie potrafili własnoręcznie zaspokoić znacznie więcej swoich potrzeb niż my dzisiaj, od budowania domów, przez uprawę roli i polowanie, po naprawę sprzętów domowych. Większość z nas nie wie, jak zrobić wszystkie – lub cokolwiek – z wymienionych wcześniej rzeczy, ale nie dlatego, że nie byliśmy w stanie się tego nauczyć. Raczej nie musimy tego robić, ponieważ żyjemy w społeczeństwie opartym na podziale i specjalizacji pracy. Na szczególne znaczenie podziału pracy zwrócił uwagę Adam Smith (1723–1790) w swoim dziele Bogactwo narodów . Adam Smith Adam Smith opisał ideę podziału procesu produkcyjnego na proste czynności. (Źródło: Wikimedia Commons) Podział i specjalizacja pracy Wielu autorów pisało o ekonomii stulecia przed Smithem, ale on jako pierwszy zajął się problemami gospodarczymi w sposób kompleksowy. Dlatego opublikowanie w 1776 r. jego dzieła znanego pod skróconym tytułem Bogactwo narodów uznane zostało za narodziny nowożytnej ekonomii. W pierwszym rozdziale Smith wprowadził pojęcie podziału pracy (ang. division of labor ), co oznaczało podział procesu wytwarzania danego produktu na szereg prostych cząstkowych czynności wykonywanych przez różnych pracowników, w miejsce sytuacji, w której jeden człowiek wykonuje wszystkie zadania związane z produkcją tego przedmiotu. Aby zilustrować ideę podziału pracy, Smith policzył, ile czynności składało się na wykonanie szpilki: przycięcie kawałka drutu na odpowiednią długość, wyprostowanie go, umieszczenie główki na jednym końcu i zaostrzenie drugiego oraz pakowanie szpilek, żeby wymienić tylko kilka z nich. Wierzcie lub nie, ale Smith naliczył 18 różnych zadań, które wykonywali różni ludzie, w celu wyprodukowania gotowych do sprzedaży szpilek! Nowoczesne przedsiębiorstwa, niezależnie od ich rozmiarów, również dokonują podziału zadań. Nawet stosunkowo prosty rodzaj działalności, jakim jest restauracja, dzieli proces produkcyjny polegający na serwowaniu posiłków gościom na szereg czynności wykonywanych przez wiele osób – szefa kuchni, specjalistów zajmujących się sosami i innymi elementami dań, mniej wykwalifikowaną pomoc kuchenną wykonującą proste działania, pracownika witającego klientów i zajmującego się rezerwacjami, kelnerów, sprzątaczy oraz menedżera do obsługi wypłat i rachunków, nie wspominając o ludziach odpowiedzialnych za zakupy żywności, mebli, sprzętu kuchennego i kontakty z właścicielem budynku, w którym restauracja się znajduje. Bardziej złożona działalność, taka jak fabryka wytwarzająca obuwie ( ) lub szpital, może opierać się na pracy osób zatrudnionych na setkach różnych stanowisk. Podział pracy Przykładem podziału pracy są pracownicy na linii montażowej. (Źródło: Nina Hale/Flickr Creative Commons) Dlaczego podział pracy zwiększa produkcję Kiedy już uda się podzielić proces produkcji dóbr lub usług na niezależne czynności wykonywane przez różne osoby, pracownicy i firmy mogą wytwarzać większą liczbę produktów. Analizując sposób funkcjonowania obserwowanych przez siebie wytwórców szpilek, Smith zauważył, że jeden pracownik wykonujący wszystkie 18 czynności może wyprodukować 20 szpilek dziennie, ale mała firma składająca się z 10 pracowników (niektórzy z nich musieliby wykonać dwa lub trzy zadania z grupy wszystkich związanych z wytwarzaniem szpilek) może wyprodukować 48 tys. szpilek dziennie. Dlaczego grupa robotników, z których każdy specjalizuje się w określonych zadaniach, może wytworzyć o wiele więcej niż ta sama liczba robotników, którzy próbują samodzielnie zrealizować cały proces produkcji określonego dobra lub usługi? Po pierwsze, specjalizacja (ang. specialization ) w konkretnym, cząstkowym obszarze pracy pozwala pracownikom skupić się na tych elementach procesu produkcyjnego, w których mają przewagę. (W kolejnych rozdziałach rozwiniemy tę ideę, wprowadzając i omawiając pojęcie przewagi komparatywnej (ang. comparative advantage ). Ludzie mają różne umiejętności, talenty i zainteresowania, więc niektóre czynności będą wykonywać lepiej i szybciej niż inni. We współczesnym świecie specjalizacja w wykonywaniu określonych zadań najczęściej jest wynikiem wyboru konkretnej ścieżki edukacyjnej, która z kolei kształtowana jest przez zainteresowania i uzdolnienia. Na przykład tylko ci, którzy mają wykształcenie medyczne, posiadają niezbędne kwalifikacje do pracy lekarza. W przypadku niektórych dóbr główny wpływ na specjalizację w ich produkcji ma umiejscowienie geograficzne przedsięwzięcia. Zdecydowanie łatwiej być sadownikiem w okolicach Grójca lub Warki niż na Suwalszczyźnie, z kolei hotel turystyczny prościej jest prowadzić w Augustowie niż w Warce czy Grójcu. W dużym mieście lub w jego pobliżu łatwiej jest przyciągnąć liczbę klientów wystarczającą do dobrego prosperowania pralni chemicznej lub kina, co na słabo zaludnionym obszarze wiejskim z pewnością będzie problemem. Bez względu na powód, jeśli ludzie specjalizują się w wytwarzaniu tego, co robią najlepiej, będą bardziej efektywni, niż gdyby koncentrowali się na wykonywaniu kilku różnych czynności, robiąc zarówno to, co umieją najlepiej, jak i to, w czym nie są zbyt biegli. Po drugie, pracownicy, którzy specjalizują się w określonych zadaniach, najczęściej uczą się produkować szybciej i osiągać wyższą jakość wytwarzanych produktów. Ten schemat odnosi się do różnych profesji i stanowisk, w tym pracowników linii montażowych, którzy składają samochody, fryzjerów układających wymyślne fryzury i lekarzy, którzy wykonują operacje serca. Wyspecjalizowani pracownicy często znają swoje zadania na tyle dobrze, że mogą proponować innowacyjne, czyli szybsze i lepsze sposoby wykonywania tej pracy. Podobny wzorzec występuje również w przedsiębiorstwach. W wielu przypadkach firma, która koncentruje się na jednym lub tylko kilku produktach (nazywanych czasami kluczowymi kompetencjami (ang. core competency ), odnosi większe sukcesy niż podmioty, które próbują wytwarzać szeroką gamę produktów. Po trzecie, specjalizacja pozwala przedsiębiorstwom wykorzystywać korzyści skali (ang. economies of scale ), co oznacza, że w przypadku wielu rodzajów dóbr wraz ze wzrostem poziomu produkcji średni koszt wytworzenia każdej jednostki spada. Na przykład jeśli fabryka wytwarza tylko 100 samochodów rocznie, każdy samochód będzie przeciętnie dość drogi w produkcji, gdyż będzie się ona odbywać w sposób chałupniczy. Jeśli jednak zakład produkuje 50 tys. samochodów na rok, może stworzyć zautomatyzowaną linię montażową z ogromnymi maszynami i pracownikami wykonującymi specjalistyczne zadania, a przeciętny koszt produkcji jednego auta będzie niższy. Ostatecznie dzięki temu, że pracownicy mogą skupić się na swoich preferencjach i talentach, nauczyć się lepiej wykonywać wyspecjalizowane zadania i pracować w większych organizacjach, społeczeństwo jako całość może produkować i konsumować znacznie więcej niż w sytuacji, w której każda osoba próbowałaby sama wytwarzać wszystkie zużywane przez siebie towary i usługi. Podział i specjalizacja pracy są sposobem radzenia sobie z rzadkością zasobów. Handel i rynki Aby zaspokoić różnorodne potrzeby w gospodarce opartej na podziale pracy, musimy za uzyskane wynagrodzenie kupować wszystkie potrzebne nam dobra. Innymi słowy, im bardziej zaawansowany podział pracy, tym większy zakres wymiany towarowej w ramach regionów, narodów i świata. Oznacza to, że pomyślność ekonomiczna zależy od umiejętności pokojowej współpracy. Podział pracy to także podział wiedzy. Aby odtwarzać muzykę, nie musisz nic wiedzieć o elektronice czy sposobach kompresji dźwięku – po prostu kupujesz smartfon lub tablet, pobierasz muzykę (lub logujesz się do serwisów streamingowych) i słuchasz. Nie musisz nic wiedzieć o sztucznych włóknach czy budowie maszyn do szycia, jeśli potrzebujesz kurtki – zwyczajnie kupujesz ją i nosisz. Możesz nie mieć pojęcia o silnikach spalinowych, a mimo to prowadzić samochód – po prostu wsiadasz i jedziesz. Zamiast próbować zdobyć całą wiedzę i umiejętności związane z produkcją wszystkich dóbr i usług, które chcesz konsumować, rynek pozwala ci nauczyć się wyspecjalizowanego zestawu umiejętności, a następnie wykorzystać otrzymywane wynagrodzenie do zakupu towarów, których potrzebujesz. W ten sposób nowoczesne społeczeństwo wykształciło silną gospodarkę. Korzyści ze studiowania ekonomii Teraz, gdy masz już ogólny pogląd na to, czym zajmuje się ekonomia, szybko omówmy, dlaczego warto ją studiować. Ekonomia, wbrew pozorom, nie jest zbiorem faktów do zapamiętania, chociaż istnieje wiele ważnych pojęć, których należy się nauczyć. Zamiast tego myśl o ekonomii jako zbiorze pytań, na które należy odpowiedzieć, lub łamigłówkach do rozwiązania. Co najważniejsze, ekonomia dostarcza narzędzi i wskazuje sposoby rozwiązania tych zagadek. Jeśli jeszcze nie zaraziliście się pasją do ekonomii, oto inne ważne powody, dla których warto ją studiować: Praktycznie każdy istotny problem, przed którym stoi dziś świat, od globalnego ocieplenia, przez ubóstwo, po konflikty w Syrii, Afganistanie, Somalii i na Ukrainie, ma wymiar ekonomiczny. Jeśli chcesz uczestniczyć w rozwiązywaniu tych problemów, musisz być w stanie je zrozumieć. Rola ekonomii jest tu zatem kluczowa. Trudno przecenić znaczenie ekonomii dla zaangażowania w sprawy publiczne i świadomości obywatelskiej. Jeśli chcesz w racjonalny sposób dokonywać wyborów, musisz rozumieć konsekwencje uchwalanych w parlamencie ustaw i innych przepisów prawa. Czy wiesz, jakie są konstytucyjne limity długu publicznego, czy rozumiesz pojęcie reguły fiskalnej, czy znasz kompetencje Narodowego Banku Polskiego? Podstawowa znajomość zasad rządzących światem ekonomii sprawia, że lepiej rozumiesz rzeczywistość wokół ciebie. Czytając artykuły o tematyce ekonomicznej, będziesz w stanie ocenić argumenty autora. Kiedy usłyszysz kolegów z grupy, współpracowników lub polityków mówiących o gospodarce i ekonomii, zdołasz odróżnić racjonalną argumentację od bzdur. Poznasz nowe sposoby myślenia o bieżących wydarzeniach, o decyzjach osobistych i biznesowych, a także o polityce. Nauka ekonomii nie wskaże zazwyczaj konkretnej odpowiedzi, ale pomoże naświetlić dostępne spektrum wyborów. Key Concepts and Summary Ekonomia stara się rozwiązać problem rzadkości zasobów, który polega na tym, że ludzkie zapotrzebowanie na towary i usługi przekracza dostępną podaż przy cenie równej zero. Dla nowoczesnej gospodarki charakterystyczny jest podział pracy, w ramach którego ludzie zarabiają dzięki specjalizacji w produkcji konkretnych dóbr i usług, a następnie wykorzystują swój dochód do zakupu produktów, których potrzebują. Podział pracy pozwala jednostkom i przedsiębiorstwom specjalizować się i produkować więcej z kilku powodów: a) Umożliwia podmiotom ekonomicznym skoncentrowanie się na tych rodzajach działalności, w których posiadają przewagę ze względu na czynniki naturalne i poziom umiejętności; b) Zachęca je do uczenia się i innowacji; c) Pozwala im na wykorzystanie zjawiska korzyści skali. Podział i specjalizacja pracy działają tylko wtedy, gdy podmioty ekonomiczne mogą kupić na rynkach to, czego same nie produkują. Nauka ekonomii ułatwia zrozumienie głównych problemów, z jakimi boryka się dzisiejszy świat, przygotowuje do bycia świadomym obywatelem i pomaga stać się wszechstronnym obserwatorem rzeczywistości. Self-Check Questions Co to znaczy, że zasoby są rzadkie? Czy możesz podać dwie przyczyny tego zjawiska? Rzadkość zasobów oznacza, że ludzkie zapotrzebowanie na towary i usługi przekracza dostępną podaż przy cenie równej zero. Podaż jest ograniczona, ponieważ zasoby służące do produkcji dóbr i usług są ograniczone czynnikami fizycznymi (dostępny areał gruntów rolnych, zasób surowców – ropy naftowej, rud metali). Popyt wprawdzie nie jest nieograniczony, ale biorąc pod uwagę dostępną podaż, suma ludzkich potrzeb niemal zawsze jest od niej większa. Mieszkańcy miasta Kowalewo lubią jeść szynkę, ale jej wytworzenie wymaga pracy 10 osób przez miesiąc. Jeśli w tej miejscowości mieszka 100 osób, jaka jest maksymalna liczba szynek, jaką mieszkańcy mogą zjeść w ciągu miesiąca? 100 osób / 10 osób na szynkę = maksymalnie 10 szynek miesięcznie, jeśli wszyscy mieszkańcy produkują szynkę. Ponieważ konsumpcja jest ograniczona tempem produkcji, maksymalna liczba szynek, które mieszkańcy mogą zjeść miesięcznie, wynosi 10. Pracownica firmy konsultingowej otrzymuje wynagrodzenie w kwocie 500 zł za godzinę. Lubi jeść warzywa, ale nie potrafi ich uprawiać. Dlaczego najbardziej opłacalne jest dla niej spędzanie czasu w pracy i kupowanie warzyw? Jej wynagrodzenie wskazuje, że jest bardzo produktywna jako konsultantka, ale jej wydajność w roli producenta warzyw jest bardzo niska. Czas spędzony w pracy przynosi jej znacznie większy dochód niż to, co mogłaby zaoszczędzić, gdyby zamiast kupować warzywa poświęcała czas na ich uprawę. Tak więc ze względów czysto ekonomicznych (pomijając choćby fakt, że uprawa warzyw może ją odprężać) powinna maksymalizować swój dochód z pracy (specjalizacja pracy) i kupować dzięki niemu ulubione warzywa. Programista mógłby sam pomalować swój dom, ale bardziej sensowne wydaje mu się zatrudnienie malarza, który zrobi to za niego. Wyjaśnij dlaczego. Programista jest lepszy w pisaniu kodu niż w malowaniu. Wykonując swoją pracę, zarabia więcej pieniędzy, niż zaoszczędziłby, gdyby w tym samym czasie sam pomalował swój dom. Oczywiście zakładając, że nie robiłby tego dla relaksu. Review Questions Wskaż trzy czynniki, które sprawiają, że podział pracy zwiększa poziom produkcji w gospodarce. Wymień trzy powody uzasadniające sensowność studiowania ekonomii. Critical Thinking Questions Załóżmy, że masz zespół składający się z dwóch pracowników: jeden jest piekarzem, a drugi szefem kuchni. Wyjaśnij, dlaczego twoja restauracja może produkować więcej posiłków w określonym czasie, jeśli każdy pracownik specjalizuje się w tym, co robi najlepiej, w porównaniu do sytuacji, w której każdy pracownik stara się robić wszystko samodzielnie, od przystawki aż po deser. Dlaczego podział pracy bez handlu nie działa? Czy możesz podać inne niż wymienione w tekście przykłady tzw. dóbr wolnych, czyli towarów lub usług, których nie brakuje, nawet jeśli ich cena wynosi zero? References Bureau of Labor Statistics, U.S. Department of Labor. 2015. \"The Employment Situation—February 2015.\" Dostęp: 27 marca 2015. http://www.bls. /news.release/pdf/empsit.pdf. Williamson, Lisa. “US Labor Market in 2012.” Bureau of Labor Statistics . Dostęp 1 grudnia 2013. http://www.bls.gov/opub/mlr/2013/03/art1full.pdf. podział pracy (ang. division of labor ) organizacja procesu produkcji, której istota polega na podziale zadań w ramach procesu produkcyjnego niezbędnego do wytworzenia dobra lub usługi ekonomia (ang. economics ) nauka badająca mechanizmy i uwarunkowania wyborów dokonywanych przez konsumentów i przedsiębiorców w warunkach rzadkości zasobów korzyści skali (ang. economies of scale ) sytuacja, w której średni (przeciętny) koszt wytworzenia każdej jednostki spada wraz ze wzrostem całkowitej produkcji rosnące korzyści skali (ang. economies of scale ) patrz: korzyści skali rzadkość zasobów (ang. scarcity ) sytuacja, w której ludzkie zapotrzebowanie na towary i usługi przekracza dostępną ilość oferowaną przy cenie równej zero specjalizacja (ang. specialization ) sytuacja, w której pracownicy lub przedsiębiorstwa w ramach całego procesu produkcyjnego koncentrują się na konkretnych zadaniach, z którymi radzą sobie najlepiej", "section": "Czym jest ekonomia i dlaczego jest ona ważna?", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Mikroekonomia i Makroekonomia Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać, czym zajmuje się mikroekonomia Określić zakres zainteresowań makroekonomii Ekonomia zajmuje się dobrem wszystkich ludzi, zarówno pracujących, jak i pozostających bez pracy, tych o wysokich i tych o niskich dochodach. Dla ekonomistów konstatacja, iż produkcja użytecznych dóbr i usług może stwarzać problemy związane z zanieczyszczeniem środowiska, jest oczywista. Ekonomiści analizują, jak inwestycje w edukację pomagają rozwijać umiejętności pracowników. Ludzie zajmujący się zawodowo ekonomią opracowują metody pozwalające stwierdzić, kiedy duże przedsiębiorstwa lub największe związki zawodowe działają w sposób korzystny dla całego społeczeństwa, a kiedy ich posunięcia przynoszą korzyść wyłącznie ich właścicielom lub członkom organizacji. Ekonomiści zastanawiają się również, jak wydatki rządowe, podatki i regulacje wpływają na decyzje dotyczące produkcji i konsumpcji. Powinno być już jasne, że ekonomia obejmuje znaczną liczbę zagadnień. Możemy podzielić ten obszar zainteresowań na dwie części. Mikroekonomia (ang. microeconomics ) skupia się na działaniach poszczególnych podmiotów w gospodarce, takich jak gospodarstwa domowe, pracownicy i przedsiębiorstwa. Makroekonomia (ang. macroeconomics ) natomiast koncentruje się na całościowym spojrzeniu na gospodarkę. Obszar jej zainteresowań tworzą zagadnienia takie, jak wzrost produkcji, liczba bezrobotnych, wzrost cen, saldo budżetu i szerzej – sektora finansów publicznych oraz poziom eksportu i importu. Mikroekonomia i makroekonomia nie są odrębnymi dyscyplinami naukowymi, ale raczej komplementarnymi sposobami analizowania tego, co dzieje się w gospodarce. W dalszej części tego rozdziału wrócimy jeszcze do kwestii rozróżnienia między mikro- a makroekonomią i pokażemy, w jaki sposób metoda pracy ekonomistów wpływa na obszar zainteresowań obu sposobów analizy. Aby zrozumieć, dlaczego obie perspektywy – mikro- i makroekonomiczna – są przydatne, rozważ problem badania ekosystemu biologicznego, jakim jest jezioro. Jedna z osób badających akwen może skupić się na konkretnych zagadnieniach: pewnych rodzajach glonów lub roślin; cechach poszczególnych ryb lub ślimaków; albo drzew porastających brzegi. Inna może potraktować obiekt badań całościowo: przeanalizować łańcuchy pokarmowe, zastanowić się, dzięki czemu ekosystem pozostaje w ogólnej równowadze i w jaki sposób zmiany w środowisku wpływają na tę równowagę. Oba podejścia są przydatne, przedmiotem obu jest to samo jezioro, ale punkty widzenia są różne. W podobny sposób mikro- i makroekonomia biorą pod lupę tę samą gospodarkę, ale każda z nich ma inną perspektywę. Niezależnie od tego, czy zajmujesz się zbiornikami wodnymi, czy ekonomią, spostrzeżenia mikro i makro powinny się ze sobą łączyć. Podczas badania jeziora mikrospostrzeżenia na temat poszczególnych gatunków ułatwiają zrozumienie zależności w ramach łańcucha pokarmowego, podczas gdy makrospostrzeżenia dotyczące zależności między biocenozą i biotopem pomagają wyjaśnić dostosowania anatomiczne i fizjologiczne poszczególnych roślin i zwierząt zamieszkujących ten ekosystem. W ekonomii na decyzje poszczególnych przedsiębiorstw wpływa to, czy gospodarka w skali makro działa sprawnie. Na przykład przedsiębiorstwa będą bardziej skłonne do zatrudniania pracowników, jeśli cała gospodarka będzie się dobrze rozwijać. Z kolei efekty makro ostatecznie zależą od decyzji mikroekonomicznych podejmowanych przez poszczególne gospodarstwa domowe i przedsiębiorstwa. Mikroekonomia Od czego zależy sposób wydatkowania przez gospodarstwa domowe i pojedyncze osoby ich budżetów? Jaka kombinacja towarów i usług będzie najlepiej odpowiadać ich potrzebom i pragnieniom, a przy tym uwzględniać ograniczenia budżetowe, w ramach których muszą funkcjonować? W jaki sposób ludzie decydują, czy chcą pracować, a jeśli tak, to czy zamierzają pracować w pełnym, czy niepełnym wymiarze godzin? Jak podejmowane są decyzje dotyczące tego, ile zaoszczędzić na przyszłość lub czy bezpiecznie jest pożyczać, aby wydawać więcej, niż się aktualnie zarabia? Jakie czynniki decydują o tym, co jest produkowane w danym przedsiębiorstwie i jaki będzie wolumen produkcji w konkretnym okresie? Co determinuje poziom cen, po jakich przedsiębiorstwo sprzedaje swoje towary? Co decyduje o tym, w jaki sposób przedsiębiorstwo będzie wytwarzać swoje produkty? Od czego zależy, ilu pracowników zatrudni? Jak firma będzie finansować własną działalność? W jakiej sytuacji zdecyduje się ją rozszerzyć, zawęzić, a nawet zakończyć? Ten podręcznik pozwoli na zapoznanie się z teorią zachowań konsumentów, sposobami i zasadami funkcjonowania przedsiębiorstw, pokaże sposób działania rynków pracy i rynków innych czynników produkcji. Umożliwi także odpowiedź na pytanie, dlaczego rynki czasami nie funkcjonują prawidłowo. Makroekonomia Od czego zależy poziom aktywności ekonomicznej w społeczeństwie? Innymi słowy, co decyduje o tym, ile dóbr i usług faktycznie produkuje dany kraj? Jakie czynniki determinują liczbę dostępnych w gospodarce miejsc pracy? Co wyznacza standard życia społeczeństwa? Co powoduje, że gospodarka przyspiesza lub zwalnia, notując wzrost lub spadek zatrudnienia? I wreszcie co sprawia, że gospodarka rozwija się w długim okresie? To tylko niektóre z zagadnień stanowiących przedmiot rozważań makroekonomistów, które są omawiane w każdym podręczniku do makroekonomii. Przekraczają one jednak obszar zainteresowania uwzględniony w niniejszej publikacji. Key Concepts and Summary Mikroekonomia i makroekonomia to dwa różne spojrzenia na gospodarkę. Perspektywa mikroekonomiczna skupia się na jej częściach składowych: jednostkach, firmach i gałęziach przemysłu. Perspektywa makroekonomiczna postrzega gospodarkę jako całość, koncentrując się na celach takich, jak ograniczanie bezrobocia czy inflacji i wzrost poziomu życia. Self-Check Questions Podaj przykład systemu istniejącego w realnym świecie innego niż ten przywołany w podręczniku, który mógłby posłużyć jako metafora mikro- i makroekonomii. Istnieje wiele systemów, które odpowiadałyby takiemu podziałowi, na przykład badanie planet (mikro) w Układzie Słonecznym (makro) lub układów słonecznych (mikro) w galaktyce (makro). Review Questions Jaka jest różnica między mikroekonomią a makroekonomią? Wskaż przykłady podmiotów gospodarczych. Jakie są główne cele makroekonomii? Critical Thinking Questions Makroekonomia jest sposobem analizy systemu, którego sposób działania jest wypadkową decyzji i postępowania bardzo wielu podmiotów mikroekonomicznych. Czy jest możliwe, aby zależności obserwowane na poziomie makroekonomicznym w zasadniczy sposób różniły się od reakcji podmiotów gospodarczych na jakiś bodziec na poziomie mikro? Podpowiedź : Pomyśl o zachowaniu tłumu. makroekonomia (ang. macroeconomics ) gałąź ekonomii, która koncentruje się na zagadnieniach dotyczących całej gospodarki, takich jak wzrost gospodarczy, bezrobocie, inflacja i bilans handlowy mikroekonomia (ang. microeconomics ) gałąź ekonomii, która koncentruje się na działaniach poszczególnych podmiotów w gospodarce, takich jak gospodarstwa domowe, pracownicy i przedsiębiorstwa", "section": "Mikroekonomia i Makroekonomia", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Jak ekonomiści wykorzystują teorie i modele do zrozumienia problemów ekonomicznych John Maynard Keynes, jeden z najbardziej wpływowych ekonomistów w czasach nowożytnych. (Źródło: Wikimedia Commons) Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić znaczenie teorii i modeli ekonomicznych Opisać różnice między współwystępowaniem (korelacją) i następstwem przyczynowo-skutkowym John Maynard Keynes (1883–1946), jeden z najwybitniejszych ekonomistów XX w., zwrócił uwagę, że ekonomia to nie tylko nauka, ale także sposób myślenia. Keynes ( ) napisał we wstępie do książki kolegi ekonomisty: „[Ekonomia] jest raczej metodą niż doktryną, aparatem usprawniającym działanie umysłu, techniką myślenia, która pomaga jej użytkownikowi wyciągać właściwe wnioski”. Innymi słowy, ekonomia uczy, jak myśleć, a nie – co myśleć. Obejrzyj ten film o Johnie Maynardzie Keynesie i jego wpływie na ekonomię. Ekonomiści patrzą na świat z innej perspektywy niż antropolodzy, biolodzy, historycy czy specjaliści jakiejkolwiek innej dyscypliny naukowej. Analizują zagadnienia i problemy za pomocą teorii ekonomicznych, opierających się na konkretnych założeniach dotyczących ludzkiego zachowania, bywa, że różnych niż te, które mógłby zastosować antropolog lub psycholog. Teoria (ang. theory ) to uproszczony obraz rzeczywistości. Celem teorii jest uchwycenie kluczowych zmiennych badanego zjawiska i ujawnienie charakteru zależności między tymi zmiennymi. Dobra teoria jest na tyle prosta, by można ją było zrozumieć, a jednocześnie wystarczająco złożona, aby uchwycić kluczowe cechy badanego obiektu lub zagadnienia. Czasami ekonomiści używają terminu model (ang. model ) zamiast teoria. Mówiąc ściśle, teoria jest bardziej abstrakcyjną formą, podczas gdy model jest empirycznym narzędziem umożliwiającym testowanie teorii. Zazwyczaj wykorzystujemy modele do testowania teorii, ale w tym podręczniku będziemy używać tych terminów zamiennie. Na przykład architekt, który projektuje duży budynek biurowy, często wykonuje fizyczny model – makietę – aby pokazać, jak cała dzielnica miasta będzie wyglądała po wzniesieniu nowego biurowca. Firmy często budują modele swoich nowych wyrobów, które są uproszczoną i niedopracowaną wersją produktu końcowego, ale mogą posłużyć jako ilustracja tego, jak będzie on funkcjonował. Przykładem prostego modelu, który jednak ilustruje skomplikowane zależności ekonomiczne, jest krzywa możliwości produkcyjnych, która została omówiona w kolejnym rozdziale niniejszego podręcznika. Zawiera ona niezbędny element upraszczający (wybór między dwoma produktami lub grupami produktów (edukacją i opieką zdrowotną) pozwala jednak na zilustrowanie i zrozumienie tak fundamentalnych zjawisk, jak koszt alternatywny, prawo malejących przychodów krańcowych czy przewaga komparatywna. Ekonomiści dysponują całym zestawem mniej lub bardziej skomplikowanych teorii, tak jak stolarz posiada zestaw narzędzi umożliwiających mu pracę. Kiedy dostrzegają interesujący problem ekonomiczny, do jego przeanalizowania próbują użyć jednej z dostępnych teorii. Wybór jest rzecz jasna konsekwencją całego dorobku tej dyscypliny, zgromadzonego i opisanego w książkach i artykułach naukowych. Oczywiście, czasami nie da się dokonać analizy za pomocą teorii już istniejących i należy stworzyć nową. Wbrew pozorom nie dzieje się tak zbyt często. Problemy ekonomiczne, w których kontekście nie da się wykorzystać choćby elementów dotychczasowych teorii, pojawiają się dość rzadko. Jest to o tyle ważne, że niekiedy analiza prostych zależności liczbowych pozwala snuć najbardziej fantastyczne przypuszczenia dotyczące relacji między różnymi parametrami ekonomicznymi a nieekonomicznymi (np. występowanie plam na Słońcu i zmiany cen akacji na giełdzie). Jeśli jednak te zależności (ekonomiści nazywają je korelacjami, czyli współwystępowaniem) nie są zakorzenione w spójnej teorii, najczęściej są odrzucane. Warto zapamiętać w tym kontekście jedno z najważniejszych prawideł dotyczących zależności ekonomicznych. Współwystępowanie dwóch zjawisk nie zawsze oznacza, że istnieje między nimi zależność przyczynowo-skutkowa. Istnienie takiej zależności musi zostać wykazane na podstawie spójnej teorii – istniejącej lub nowej. Ekonomiści lubią ilustrować swoje teorie różnego rodzaju diagramami (wykresami i równaniami matematycznymi), co pozwala na łatwiejsze zaprezentowanie opisywanych przez te teorie zależności. (Nie martw się. W tym podręczniku będziemy używać głównie wykresów). Nie jest tak, że ekonomiści najpierw wymyślają rozwiązanie problemu, a dopiero potem rysują wykres. Wykresy są dla nich narzędziami pozwalającymi szukać odpowiedzi. Niektóre problemy ekonomiczne można rozwiązywać bez odwoływania się do modeli i skomplikowanych teorii. Jeśli jednak będziesz dalej studiować ekonomię, szybko napotkasz problemy i zagadnienia, których analiza będzie wymagała wykorzystania nie tylko sformalizowanych teorii, lecz także wykresu, diagramu lub zestawu równań. Najbardziej znanymi teoriami ekonomicznymi są prawdopodobnie te dotyczące zależności między ceną a wielkością zapotrzebowania (popyt) oraz ceną a wielkością produkowaną i sprzedawaną przez przedsiębiorstwa (podaż). Key Concepts and Summary Głównymi narzędziami używanymi przez ekonomistów są teorie lub modele ekonomiczne. Teoria nie jest ilustracją rozwiązania problemu. Teoria jest raczej narzędziem służącym znalezieniu właściwego rozwiązania. Self-Check Question Podaj przykład problemu występującego współcześnie, który ma wymiar ekonomiczny i nie został wskazany w tym rozdziale. Takich problemów jest wiele. Rozważ epidemię AIDS. Dlaczego tak niewielu chorych w Afryce i Azji Południowo-Wschodniej jest leczonych lekami, które są wykorzystywane w skutecznej terapii w Stanach Zjednoczonych i Europie? Dzieje się tak dlatego, że ani ci pacjenci, ani ich kraje nie mają środków na zakup tych leków. Review Questions Jak John Maynard Keynes zdefiniował ekonomię? Critical Thinking Questions Dlaczego krytykowanie teorii jako „nierealistycznej” jest niesprawiedliwe lub pozbawione sensu? Załóżmy, że jako ekonomista zostaniesz poproszony o przeanalizowanie problemu, z którym nigdy wcześniej się nie spotkałeś. Załóżmy również, że nie dysponujesz konkretnym modelem służącym do jego analizy. Co powinieneś zrobić? Podpowiedź : Co w podobnej sytuacji zrobiłby stolarz? model (ang. model ) sposób przedstawienia problemu, który – jakkolwiek uproszczony – zawiera jednocześnie wystarczającą liczbę kluczowych cech pozwalających nam go zrozumieć teoria (ang. theory ) patrz: model", "section": "Jak ekonomiści wykorzystują teorie i modele do zrozumienia problemów ekonomicznych", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Jak zorganizować gospodarkę: przegląd systemów gospodarczych Po przeczytaniu tego podrozdziału będziesz w stanie: Porównać gospodarki tradycyjne, nakazowo-rozdzielcze i rynkowe Wyjaśnić pojęcie produktu krajowego brutto (PKB) Ocenić znaczenie i konsekwencje procesu globalizacji Zastanów się, jak złożonym systemem jest nowoczesna gospodarka. Obejmuje ona sferę produkcji dóbr i usług, organizację różnych sposobów ich sprzedaży i zakupu oraz zatrudnianie niezbędnych do wytworzenia czynników produkcji (pracowników, kapitału i ziemi). Aktywność gospodarcza każdego człowieka jest powiązana z aktywnością tysięcy, a nawet milionów innych podmiotów (ludzi i przedsiębiorstw). Kto organizuje i koordynuje ten system? Jaki mechanizm gwarantuje, że liczba wyprodukowanych telewizorów jest z grubsza równa wielkości zapotrzebowania na ten towar? Co, a może kto, sprawia, że w branży elektronicznej pracuje odpowiednia liczba pracowników? Kto dba o to, by telewizory były produkowane w najlepszy możliwy sposób? Jak to wszystko się dzieje? Ekonomiści rozróżniają trzy podstawowe modele organizacji funkcjonowania gospodarki. Pierwszym z nich jest gospodarka tradycyjna (ang. traditional economy ), która jest najstarszym systemem ekonomicznym, wciąż stosowanym w niektórych częściach Azji, Afryki i Ameryki Południowej. Tradycyjne gospodarki organizują swoją sferę ekonomiczną w sposób niezmienny od setek, a nawet tysięcy lat (tj. zgodnie z tradycją). Kolejne pokolenia, postępując zgodnie z tradycją i zwyczajami swoich przodków, naśladują dotychczasowe metody produkcji. Większość ludzi zajmuje się działalnością rolniczą. To, co każdy produkuje, określa również to, co konsumuje. Ponieważ sposobem życia rządzi tradycja, postęp i rozwój gospodarczy są w tym systemie niewielkie. Gospodarka nakazowo-rozdzielcza Starożytny Egipt był przykładem gospodarki nakazowo-rozdzielczej. (Źródło: Jay Bergesen/Flickr Creative Commons) Gospodarki nakazowo-rozdzielcze (ang. command economy ) funkcjonują inaczej – cały wysiłek jest w nich podporządkowany celom wyznaczanym przez władcę lub klasę rządzącą. Dobrym przykładem jest tu starożytny Egipt, gdzie duża część życia gospodarczego podporządkowana była budowie piramid, czyli grobowców faraonów, takich jak te na . Innym przykładem jest średniowieczny feudalizm: senior, będąc właścicielem lub dysponentem ziemi, przydzielał ja swoim wasalom i zapewniał im ochronę na wypadek wojny. W zamian wasale byli zobowiązani dostarczać seniorowi siłę roboczą i żołnierzy. W dwudziestym stuleciu w wielu krajach tzw. bloku wschodniego (w tym w Polsce) wprowadzono różne odmiany gospodarki nakazowo-rozdzielczej. W gospodarce nakazowo-rozdzielczej to państwo decyduje o tym, jakie dobra i usługi będą produkowane i jakie ceny będą za nie pobierane. Państwo decyduje również o tym, jakie metody produkcji zastosować i ustala wysokość wynagrodzeń (tzw. siatki płac) dla wszystkich lub zdecydowanej większości zatrudnionych. Państwo, na zasadach wyłączności, decyduje o organizacji i finansowaniu takich potrzeb, jak opieka zdrowotna i edukacja, za które korzystający z nich obywatele nie ponoszą bezpośrednich opłat (jest to tzw. konsumpcja zbiorowa finansowana ze środków publicznych). Spośród istniejących współcześnie krajów w największym stopniu zorganizowane zgodnie z zasadami gospodarki nakazowo-rozdzielczej są Kuba i Korea Północna.Gospodarka rynkowa Nic chyba nie obrazuje rynku lepiej niż wykresy wzrostów i spadków notowań giełdowych. Podczas gdy gospodarki nakazowo-rozdzielcze mają bardzo scentralizowany system podejmowania decyzji gospodarczych, w gospodarkach rynkowych jest on zdecydowanie bardziej zdecentralizowany. Rynek (ang. market ) to instytucja kojarząca nabywców i sprzedawców (którymi mogą być osoby fizyczne lub przedsiębiorstwa) konkretnego dobra lub usługi. Giełda nowojorska jest doskonałym przykładem rynku, który pozwala na zawieranie transakcji przez kupujących i sprzedających. W gospodarce rynkowej (ang. market economy ) podejmowanie decyzji jest zdecentralizowane. Gospodarki rynkowe opierają się na prywatnych przedsiębiorstwach (ang. private enterprise ): podmioty prywatne (jednostki lub grupy osób) posiadają i zarządzają środkami produkcji. Firmy dostarczają towary i usługi, zaspokajając popyt. (W gospodarce nakazowej zasobami i przedsiębiorstwami zarządza państwo). Podaż towarów i usług zależy od zapotrzebowania (popytu). Dochód danej osoby opiera się na jej zdolności do przekształcania zasobów (zwłaszcza pracy) w coś, co stanowi wartość dla społeczeństwa. Im bardziej społeczeństwo ceni pracę danej osoby, tym wyższy uzyskuje ona dochód (pomyśl w tym kontekście o znanych aktorach i sportowcach, np. Robercie Lewandowskim). W tym systemie podstawowym kryterium decyzji są ceny kształtowane przez mechanizm popytu i podaży, a głównym motywem działalności przedsiębiorstw jest zysk. Większość gospodarek w realnym świecie wykorzystuje elementy i rozwiązania ze wszystkich systemów (nakazowo-rozdzielczego i rynkowego, a nawet tradycyjnego). Ekonomiści używają w ich kontekście określenia „gospodarki mieszane”. Gospodarka USA znajduje się niemal na końcu spektrum systemów zorientowanych na zasady rynkowe. Z kolei wiele krajów w Europie i Ameryce Łacińskiej, choć wykorzystuje głównie mechanizmy rynkowe, w znacznie większym stopniu polega na decyzjach podejmowanych w sektorze publicznym (przez państwo) niż dzieje się to w USA. Chiny i Rosja w ciągu ostatnich kilku dekad systematycznie zwiększały zakres rozwiązań rynkowych w swoich gospodarkach, w dalszym ciągu jednak pozostają bliżej końca spektrum systemów zorientowanych na model nakazowo-rozdzielczy. Przedstawione poniżej dane Heritage Foundation klasyfikują kraje zgodnie ze stopniem wolności gospodarczej. Jakie kraje uważane są za wolne gospodarczo? Kto kontroluje decyzje gospodarcze? Czy ludzie mogą robić to, co chcą i pracować tam, gdzie chcą? Czy firmy mogą swobodnie produkować, kiedy chcą i co chcą, a także zatrudniać i zwalniać pracowników według własnego uznania? Czy banki mają swobodę wyboru, kto otrzyma pożyczki, czy też państwo kontroluje tego rodzaju decyzje? Każdego roku badacze z Heritage Foundation i „ Wall Street Journal ” przyglądają się 50 różnym wymiarom wolności gospodarczej, niemal we wszystkich krajach na całym świecie. Przyznają każdemu państwu ocenę na podstawie analizy zakresu wolności gospodarczej w każdej kategorii. Warto zauważyć, że chociaż indeks Heritage Foundation/WSJ jest szeroko cytowany przez badaczy i wykorzystywany w publikacjach naukowych i popularyzatorskich, należy go traktować jako tylko jeden z wielu punktów odniesienia. Niektórzy eksperci wskazują, że wybór kategorii i wyniki indeksu są politycznie stronnicze, a Heritage Foundation ma jednoznacznie konserwatywny profil ideologiczny. Jednak indeks i inne podobne do niego wskaźniki dostarczają użytecznych informacji umożliwiających dyskusję na temat zakresu wolności gospodarczej w różnych krajach. Raport Heritage Foundation z 2021 r. pt. „Indeks Wolności Gospodarczej\" zawiera klasyfikację 178 krajów na całym świecie. W znajdziesz kilka przykładów krajów o największym i najmniejszym zakresie wolności. Chociaż formalnie nie jest to odrębny podmiot prawa międzynarodowego, Hongkong uzyskał pewien stopień autonomii, tak że w statystykach ekonomicznych bywa traktowany jako odrębny kraj. Kilka państw nie znalazło się w rankingu z powodu skrajnej niestabilności politycznej (wojny, konflikty wewnętrzne), która uniemożliwiała ocenę zakresu wolności gospodarczej na ich terytoriach (m.in. Afganistan, Irak, Libia, Syria, Somalia i Jemen). Polska zajęła w rankingu 41 miejsce i została określona jako kraj o umiarkowanym zakresie wolności (ang. moderately free ). Spośród krajów postsocjalistycznych wyższe miejsca od Polski zajęły (poza Estonią i Gruzją) Litwa (15), Czechy (27), Łotwa (30), Armenia (32), Kazachstan (34), Bułgaria (35) i Azerbejdżan (38). Przypisane noty są oparte na szacunkach, jednak nawet te przybliżone miary mogą być przydatne do oceny omawianych trendów. W 2021 r. 89 ze 178 analizowanych krajów przesunęło się w kierunku większej wolności gospodarczej, chociaż jednocześnie 80 krajów pokonało drogę odwrotną. W ciągu ostatnich kilku dekad ogólną tendencją był rosnący zakres wolności gospodarczej na całym świecie. Wskaźnik wolności gospodarczej, 2021 Największa wolność gospodarcza Najmniejsza wolność gospodarcza 1. Singapur 167. Turkmenistan 2. Nowa Zelandia 168. Iran 3. Australia 169. Surinam 4. Szwajcaria 170. Timor Wschodni 5. Irlandia 171. Kiribati 6. Tajwan 172. Boliwia 7. Wielka Brytania 173. Erytrea 8. Estonia 174. Zimbabwe 9. Kanada 175. Sudan 10. Dania 176. Kuba 11. Islandia 177. Wenezuela 12. Gruzja 178. Korea Północna (Source: The Heritage Foundation, 2021 Index of Economic Freedom, Country Rankings, http://www.heritage.org/index/ranking) (Źródło: The Heritage Foundation, Indeks wolności gospodarczej 2021, Rankingi krajów, http://www.heritage.org/index/ranking) Przepisy prawa – zasady gry Wolność gospodarcza i państwo jako regulator działalności gospodarczej nie wykluczają się. Rynki i przepisy prawa zawsze pozostawały ze sobą w ścisłym związku. Całkowicie wolny rynek w realnym świecie nie istnieje, a przepisy prawa zawsze określają „reguły gry” w gospodarce. Te kraje, które są przede wszystkim zorientowane na rynek, mają mniej regulacji – w idealnym wariancie tylko te, które pozwalają utrzymać równe szanse dla wszystkich podmiotów gospodarczych. Przepisy regulują wówczas kwestie takie, jak ochrona własności prywatnej przed kradzieżą, ochrona ludzi przed przemocą, egzekwowanie zawartych umów, zapobieganie oszustwom i sposób pobierania podatków. I odwrotnie, nawet gospodarki oparte niemal całkowicie na mechanizmie nakazowo-rozdzielczym zachowują szczątkowe rynki umożliwiające kupowanie i sprzedawanie wybranych produktów, zostawiając tym samym swoim obywatelom ograniczony wybór tego, co chcą za zarobione pieniądze nabyć. Niemniej rządy tych krajów oczywiście w dalszym ciągu ustalają zarówno wolumen produkcji, jak i ceny większości wytwarzanych towarów. W związku z tym w gospodarkach silnie regulowanych często występuje szara strefa (ang. underground economy ), czyli czarne rynki, na których kupujący i sprzedający dokonują transakcji bez zgody i poza kontrolą państwa. Przykładem takiej szarej strefy był zakup walut poza systemem bankowym w Polsce przed 1989 r., który – jakkolwiek nielegalny – był jednocześnie niezwykle rozpowszechniony. Globalizacja Kontenerowce są jednym ze sposobów transportu towarów w gospodarce światowej. (Źródło: Raul Valdez/Flickr Creative Commons) Nasilenie trendów globalizacyjnych Dla ostatnich dziesięcioleci charakterystyczny był trend oznaczający nasilanie się globalizacji (ang. globalisation ), czyli rozszerzających się kulturowych, politycznych i ekonomicznych powiązań między ludźmi na całym świecie. Jednym z mierników globalizacji jest rosnąca wielkość i wartość transgranicznych zakupów dóbr i usług oraz transferu aktywów – innymi słowy, międzynarodowy handel i przepływy kapitału finansowego. Przyspieszająca globalizacja gospodarek jest napędzana wieloma czynnikami. Udoskonalenia w transporcie wodnym, których przykładem jest kontenerowiec na , oraz rozwijający się transport lotniczy obniżyły koszty przewozu towarów między krajami i kontynentami. Innowacje w informatyce i telekomunikacji sprawiły, że zarządzanie procesem produkcyjnym obejmującym fabryki położone w różnych krajach i na różnych kontynentach stało się łatwiejsze i tańsze. Wiele wartościowych dóbr utraciło swoją materialną formę lub może być dostarczane z pominięciem osobistego kontaktu sprzedawców i nabywców, np: oprogramowanie komputerowe, porady finansowe, planowanie podróży, muzyka, książki i filmy, projekty nowych budynków. Te i wiele innych produktów można coraz taniej przesyłać, wykorzystując sieci telekomunikacyjne i połączenia komputerowe. Wreszcie międzynarodowe umowy i traktaty obniżające cła i bariery pozataryfowe tworzą bodźce do wzrostu globalnej wymiany handlowej. przedstawia jedną z miar globalizacji. Zaprezentowano w niej odsetek krajowej produkcji, która została wyeksportowana, dla wybranej grupy krajów w latach 2015–2020, wg danych Banku Światowego. Eksport (ang. export ) to miara wartości dóbr i usług, które produkuje się w kraju i sprzedaje za granicą. Import (ang. import ) z kolei to wartość towarów, które zostały wytworzone za granicą, a następnie sprowadzone i sprzedane na terenie danego kraju. Natomiast produkt krajowy brutto (PKB) (ang. Gross Domestic Product (GDP) ) mierzy wielkość całkowitej produkcji wytworzonej na określonym obszarze (najczęściej na terenie kraju) w jednostce czasu (najczęściej spotykane jest ujęcie roczne). Relacja wartości eksportu i PKB pokazuje, jaka część całkowitej produkcji gospodarczej danego państwa jest sprzedawana w innych krajach. Miara globalizacji gospodarek różnych krajów jako relacja eksportu do PKB (%) Kraje 2015 2016 2017 2018 2019 2020 Kraje z wysokim dochodem USA 12,4 11,9 12,2 12,3 11,7 - Belgia 77,8 79,4 83,2 83,0 81,8 80,6 Niemcy 46,9 46,1 47,2 47,4 46,9 43,8 Kanada 31,9 31,5 31,5 32,4 31,9 30,0 Francja 30,6 30,3 31,0 31,7 31,8 28,0 Kraje ze średnim dochodem Słowacja 90,2 93,7 95,4 96,4 92,4 85,7 Węgry 87,6 86,5 86,0 83,9 82,3 79,7 Czechy 80,6 79,1 79,0 77,0 74,4 71,5 Polska 49,1 51,9 54,2 55,2 55,5 55,6 Meksyk 34,5 37,0 37,7 39,3 38,8 40,1 Korea Południowa 43,0 40,1 41,0 41,7 40,0 36,9 Brazylia 12,9 12,5 12,5 114,6 14,1 16,9 Kraje z niskim dochodem Chiny 21,4 19,6 19,7 19,1 18,5 18,5 Indie 19,8 19,2 18,8 19,9 18,4 18,1 Kamerun 22,3 19,2 18,6 19,3 20,2 15,5 Nigeria 10,7 9,2 13,2 15,5 14,2 8,8 (Źródło: http://databank.worldbank.org/data/) W ciągu ostatnich kilku dekad udział eksportu w PKB rósł w niemal wszystkich krajach. Warto jednak zwrócić uwagę, iż relacja eksportu do PKB jest zdecydowanie niższa w dużych krajach (takich jak USA) w porównaniu z małymi gospodarkami Belgii, Korei Południowej czy Kanady. Te ostatnie muszą po prostu prowadzić handel z innymi krajami, aby w pełni wykorzystać podział pracy, specjalizację i korzyści skali. W tym sensie globalizacja ma mniejszy wpływ na ogromną gospodarkę USA niż na większość innych krajów. Dodatkowo, rok 2020 oznaczał w większości krajów spadek relacji eksportu do PKB, co było oczywiście konsekwencją pandemii wywołanej przez koronawirusa. Dane zawarte w wskazują, że wiele krajów o średnich i niskich dochodach, takich jak Meksyk i Chiny, w ostatnich dekadach również doświadczyło gwałtownego nasilenia procesów globalizacyjnych. Gdyby astronauta na orbicie mógł założyć specjalne okulary, dzięki którym wszystkie transakcje gospodarcze na Ziemi byłyby dlań widoczne jako jaskrawe kolorowe linie, zobaczyłby planetę pokrytą siecią połączeń. . Pomimo nasilenia trendów globalizacyjnych w ostatnich latach można było również dostrzec narastający sprzeciw wobec tego procesu i jego konsekwencji, wyrażany przez mieszkańców wielu krajów, zaniepokojonych utratą miejsc pracy, malejącym zakresem decyzji podejmowanych przez lokalne rządy i wzrostem nierówności dochodowych. Najważniejszymi znakami tego sprzeciwu były głosowanie w Wielkiej Brytanii w 2016 r. za wyjściem z Unii Europejskiej (tj. Brexit) oraz wybór Donalda J. Trumpa na prezydenta USA. Po przeczytaniu tego rozdziału zapewne znacznie lepiej rozumiesz, czym zajmuje się ekonomia. Zanim jednak przejdziesz do dalszej lektury, koniecznie zapoznaj się z ważnym dodatkiem do tego rozdziału, . Jest on niezbędny do lepszego poznania sposobów wykorzystywania modeli w ekonomii. Decyzje w erze mediów społecznościowych Świat, w którym obecnie żyjemy, pozwala nam na niemal natychmiastowy dostęp do nieograniczonego zasobu informacji. Jeszcze pod koniec XX w. potencjalni nabywcy, niezależnie od tego, czy chodziło o zakup aparatu fotograficznego, samochodu czy akcji spółki giełdowej, skazani byli na mozolne wyszukiwanie informacji w źródłach papierowych i wypytywanie znajomych o ich doświadczenia z użytkowaniem konkretnego produktu. Informacja – np. dotycząca tego, która z dostępnych na rynku ofert ubezpieczenia nieruchomości jest dla nas najkorzystniejsza – była towarem, za który należało zapłacić. Obecnie porównywarki cenowe dokonują takiej analizy bezpłatnie i niemal w czasie rzeczywistym. Podobnie inwestorzy giełdowi niemal od razu dowiadują się o wszystkich zdarzeniach, które miały miejsce w niemal każdym zakątku globu, jeśli tylko ich wystąpienie może przełożyć się na kursy akcji lub ceny surowców na światowych giełdach. Fakt, że za tego typu informacje nie trzeba obecnie płacić (albo przynajmniej nie ponosi się ich bezpośredniego kosztu – pomyśl o różnego rodzaju witrynach internetowych, które otrzymują prowizję od sprzedawców, jeśli tylko nabywca zdecydował się na zakup, korzystając z ich aplikacji), nie zmienia tego, że w dalszym ciągu mamy tu do czynienia z decyzjami ekonomicznymi. W końcu nasz czas jest wciąż ograniczony (jest zasobem rzadkim), a my, zalewani niemal nieograniczoną ilością danych, musimy dokonać ich selekcji i odróżnić wiarygodne opinie i profesjonalne rekomendacje od nie do końca uczciwych przekazów marketingowych i ordynarnych oszustw. A zatem, jeśli zdecydujemy się wykorzystać nowoczesne media, w tym społecznościowe, do pozyskiwania informacji, zostaniemy skonfrontowani z licznymi wyborami. Które informacje uznać za istotne, a które pominąć? Czy dalej poszukiwać danych, czy poprzestać na tych, którymi już dysponujemy? To, wbrew pozorom, bardzo trudne decyzje, a podjęcie niewłaściwej może nas sporo kosztować. Witajcie w świecie ekonomii! Key Concepts and Summary Aktywność ekonomiczna społeczeństwa może przybrać formę gospodarki tradycyjnej, nakazowo-rozdzielczej lub rynkowej. W większości krajów występują rozwiązania z każdego z tych modeli. W ciągu ostatnich kilku dekad można było zaobserwować narastanie procesów globalizacyjnych, co było konsekwencją rozwoju sieci handlowych i finansowych przekraczających granice państw i powodujących coraz większą współzależność przedsiębiorstw i pracowników z różnych krajów. Self-Check Questions Rozdział definiuje przedsiębiorstwo prywatne jako element gospodarki rynkowej. Czym zatem będzie przedsiębiorstwo publiczne? Podpowiedź: Jest to element charakterystyczny dla systemu nakazowo-rozdzielczego. Przedsiębiorstwo publiczne oznacza, że czynniki produkcji (zasoby) są własnością państwa i są przez nie (państwo) zarządzane. Dlaczego Belgia, Francja, Włochy i Szwecja mają wyższy niż USA stosunek eksportu do PKB? Stany Zjednoczone są dużą gospodarką, w związku z czym dysponują znaczną liczbą krajowych odbiorców wytwarzanych towarów. Amerykańskie przedsiębiorstwa mogą wykorzystać specjalizację, korzyści skali i podział pracy, produkując wyłącznie na rynek wewnętrzny. (Z tej sam ej przyczyny Francja i Włochy mają niższe wskaźniki niż Belgia czy Szwecja). Dodatkowym powodem jest to, że każdy z pozostałych krajów jest członkiem Unii Europejskiej, w której handel między państwami członkowskimi odbywa się bez barier handlowych takich jak cła i kontyngenty. Review Questions Jakie są trzy sposoby, które mogą wykorzystać społeczeństwa, aby zorganizować swoją aktywność gospodarczą? Czym jest globalizacja? Jak twoim zdaniem mogła ona wpłynąć na gospodarkę światową w ciągu ostatniej dekady? Critical Thinking Questions Jak myślisz, dlaczego gospodarki większości współczesnych krajów są miksem rozwiązań rynkowych i nakazowo-rozdzielczych? Czy globalizacja przyniosła ci ekonomiczne korzyści? A może ci zaszkodziła? References The Heritage Foundation. 2015. \"2015 Index of Economic Freedom.\" Dostęp: 11 marca 2015. http://www.heritage.org/index/ranking. Garling, Caleb. “S.F. plane crash: Reporting, emotions on social media,” The San Francisco Chronicle . 7 lipca 2013. http://www.sfgate.com/news/article/S-F-plane-crash-Reporting-emotions-on-social-4651639.php. Irvine, Jessica. “Social Networking Sites are Factories of Modern Ideas.” The Sydney Morning Herald . 25 listopada, 2011.http://www.smh.com.au/federal-politics/society-and-culture/social-networking-sites-are-factories-of-modern-ideas-20111124-1nwy3.html#ixzz2YZhPYeME. Pew Research Center. 2015. \"Social Networking Fact Sheet.\" Dostęp: 11 marca, 2015. http://www.pewinternet.org/fact-sheets/social-networking-fact-sheet/. The World Bank Group. 2015. \"World Data Bank.\" Dostęp: 30 marca, 2014. http://databank.worldbank.org/data/. gospodarka nakazowo-rozdzielcza (ang. command economy ) gospodarka, w której decyzje gospodarcze są podejmowane przez władzę, a państwo jest właścicielem czynników wytwórczych eksport (ang. export ) sprzedaż wytwarzanych w kraju towarów za granicę globalizacja (ang. globalisation ) trend, w ramach którego wymiana gospodarcza w coraz większym stopniu przekracza granice państw produkt krajowy brutto (PKB) (ang. Gross Domestic Product (DGP) ) miara wartości całkowitej produkcji w gospodarce import (ang. import ) zakup towarów wyprodukowanych za granicą po to, żeby sprzedać je w kraju rynek (ang. market ) mechanizm interakcji między kupującymi i sprzedającymi, którego efektem są ceny stanowiące kryterium wyborów ekonomicznych. gospodarka rynkowa (ang. market economy ) gospodarka, w której decyzje gospodarcze są zdecentralizowane, podmioty prywatne władają czynnikami produkcji, a przedsiębiorstwa dostarczają towary i usługi w reakcji na popyt przedsiębiorstwo prywatne (ang. private enterprise ) podmiot, w którym osoba prywatna lub grupa takich osób jest właścicielem środków produkcji i wykorzystuje je do wytwarzania i/lub sprzedaży dóbr i usług gospodarka tradycyjna (ang. traditional economy ) zazwyczaj gospodarka oparta na produkcji rolnej, w której metody produkcji są niezmienne od wielu lat gospodarka zwyczajowa (ang. traditional economy ) patrz: gospodarka tradycyjna czarny rynek (ang. underground economy ) patrz: szara strefa szara strefa (ang. underground economy ) rynek lub rynki, na których kupujący i sprzedający dokonują transakcji z naruszeniem przepisów prawa", "section": "Jak zorganizować gospodarkę: przegląd systemów gospodarczych", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Wybory i kompromisy Uśredniając dane dla całych populacji, można przyjąć, że im wyższe wykształcenie ma człowiek, tym wyższe wynagrodzenie osiąga. Dlaczego zatem nie wszyscy ludzie decydują się na ukończenie studiów? Najprostszą odpowiedzią jest konieczność podejmowania wyborów i godzenia się na kompromisy. (Źródło: modyfikacja pracy autorstwa „Jim, the Photographer”/Flickr Creative Commons) Wybory... do jakiego stopnia? W 2019 r. mediany dochodów pracowników w Polsce były różne dla mężczyzn i kobiet, i wynosiły odpowiednio 5265 zł i 4210 zł brutto (po uśrednieniu 4737 zł brutto). Zgodnie z badaniem przeprowadzonym przez firmę Sedlak & Sedlak wysokość wynagrodzenia zależy również od stopnia wykształcenia pracownika. Uśredniona mediana zarobków kobiet i mężczyzn z tytułami magisterskimi w 2019 r. to 5200 zł miesięcznie brutto. Pomnóż tę wartość przez 12 miesięcy, a otrzymasz średnią pensję w wysokości 62 400 zł brutto rocznie. Tymczasem mediana miesięcznych zarobków pracownika pełnoetatowego z wykształceniem średnim lub pomaturalnym wynosiła 3925 zł brutto, dając 47 100 zł rocznie. Jak zarabiają osoby, które nie ukończyły szkoły średniej? W 2019 r. zarabiały tylko 3234 zł brutto miesięcznie i 38 808 zł rocznie. Innymi słowy, zgodnie z badaniem, które objęło ponad 161 tys. osób, zdobycie tytułu magistra zwiększało pensję przeciętnie o ok. 32% w stosunku do tego, co można było zarobić, rezygnując ze studiów magisterskich. Biorąc pod uwagę te statystyki, możemy oczekiwać, że wiele osób decyduje się pójść na studia i zdobyć przynajmniej tytuł licencjata. Uznając, że ludzie chcą poprawić swój status materialny, zakładamy, że dokonaliby wyborów zapewniających im jak największą możliwość konsumowania dóbr i usług. Jak się okazuje, rzeczywistość nie jest aż tak prosta. Zgodnie z danymi GUS w latach 2009–2019 liczba studentów w Polsce systematycznie się zmniejszała, z 1927,8 tys. osób w roku akademickim 2008/2009 do 1230,3 tys. w roku 2018/2019. Największą liczbę absolwentów – 497,5 tys. osób – odnotowano w roku akademickim 2010/2011. Od tego czasu można było zaobserwować spadek liczby absolwentów, do 327,7 tys. w roku akademickim 2017/2018. Te konstatacje prowadzą nas do tematu tego rozdziału, a mianowicie odpowiedzi na pytanie, w jaki sposób ludzie dokonują wyborów i jak ekonomiści wyjaśniają sposób podejmowania przez nich konkretnych decyzji. Wprowadzenie do tematu wyborów w świecie rzadkości zasobów Dzięki lekturze tego rozdziału dowiesz się: Jak ludzie dokonują wyborów w oparciu o ograniczenia budżetowe Co to jest krzywa możliwości produkcyjnych i czym są wybory społeczne Z jaką krytyką spotyka się sprowadzanie wyborów jednostek wyłącznie do kwestii ekonomicznych Kiedy przypomnisz sobie koncepcję rzadkości zasobów, łatwo zrozumiesz, że każdy wybór uwzględniający dobra, którymi zajmuje się ekonomia (czyli niemal wszystkie), wiąże się z kosztem („coś za coś”). W 1968 r. Rolling Stones nagrali piosenkę You Can’t Always Get What You Want („Nie zawsze możesz dostać to, czego chcesz”). Ekonomiści musieli zareagować na ten tytuł śmiechem, ponieważ od dziesięcioleci mówili to samo. Angielski badacz Lionel Robbins (1898–1984) w swoim Eseju o naturze i znaczeniu nauk ekonomicznych z 1932 r. w następujący sposób opisał, dlaczego nie zawsze otrzymuje się to, czego się chce: „Czas do naszej dyspozycji jest ograniczony. Doba ma tylko dwadzieścia cztery godziny. Musimy wybierać między różnymi aktywnościami, jakim możemy poświęcić ograniczony czas. (...) Gdziekolwiek się nie zwrócimy, jeśli wybierzemy jedną rzecz, musimy zrezygnować z innych, z których w innych okolicznościach nie chcielibyśmy zrezygnować. Niewystarczające zasoby na zaspokojenie postawionych celów są niemal wszechobecnym stanem ludzkiej natury”. Ponieważ ludzie żyją w świecie rzadkości zasobów, nie mogą mieć całego czasu, pieniędzy, rzeczy i doświadczeń, których pragną. Całe społeczeństwo również nie ma tego luksusu. W tym rozdziale będziemy kontynuować nasze rozważania na temat rzadkości zasobów i ekonomicznego sposobu myślenia, wprowadzając najpierw trzy ważne koncepcje: koszt alternatywny, podejmowanie decyzji w oparciu o wielkości krańcowe i malejące korzyści. Później zastanowimy się, czy ekonomiczny sposób myślenia dokładnie opisuje, w jaki sposób dokonujemy wyborów i jak powinniśmy ich dokonywać.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Jak ludzie dokonują wyborów w oparciu o ograniczenia budżetowe Po przeczytaniu tego podrozdziału będziesz w stanie: Wyprowadzić równanie i narysować linię ograniczenia budżetowego (linię budżetu) Wyjaśnić pojęcie kosztu alternatywnego Objaśnić działanie prawa malejącej użyteczności krańcowej Wytłumaczyć, jak analiza oparta na wartościach krańcowych wpływa na wybory dokonywane przez ludzi Rozważ wybór typowego konsumenta, mającego ograniczony dochód, jaki może wydać na rzeczy, których pragnie. Załóżmy, że Tomek co tydzień ma do wydania 60 zł, które może przeznaczyć albo na bilety autobusowe i dojazdy do pracy, albo na kanapki zjadane na drugie śniadanie. Kanapki kosztują 12 zł za sztukę, a bilety autobusowe 3 zł. Możliwości, którymi dysponuje Tomek, widzimy na . Linia ograniczenia budżetowego Tomka Każdy punkt na linii ograniczenia budżetowego reprezentuje dostępne dla Tomka kombinacje (koszyki) zakupów kanapek i biletów autobusowych, których całkowity koszt jest równy jego budżetowi wynoszącemu 60 zł. Relacja cen kanapek i biletów określa nachylenie linii ograniczenia budżetowego. W opisanym przypadku rezygnacja z jednej kanapki oznacza możliwość zakupu czterech dodatkowych biletów autobusowych. Oś pionowa na rysunku przedstawia liczbę kanapek, a pozioma – liczbę biletów autobusowych. Jeśli Tomek wydaje wszystkie swoje pieniądze na kanapki, może sobie pozwolić na pięć tygodniowo (60 zł tygodniowo / 12 zł za kanapkę = 5 kanapek tygodniowo). Jeśli jednak to zrobi, nie będzie go w ogóle stać na bilety. Punkt A na rysunku pokazuje taki wybór (zero biletów autobusowych i pięć kanapek). Alternatywnie, jeśli Tomek wyda wszystkie swoje pieniądze na bilety autobusowe, może sobie pozwolić na zakup 20 tygodniowo (60 zł tygodniowo / 3 zł za bilet = 20 biletów tygodniowo). Wtedy jednak nie będzie go stać na kanapki. Punkt F pokazuje ten alternatywny wybór (20 biletów autobusowych i ani jednej kanapki). Jeśli połączymy wszystkie punkty między A a F, otrzymamy linię ograniczenia budżetowego (zamiennie używa się również określenia ścieżka budżetu ) (ang. budget constraint ) Tomka. Pokazuje ona wszystkie kombinacje (koszyki) kanapek i biletów autobusowych, na które Tomek może sobie pozwolić, biorąc pod uwagę cenę obu towarów i jego budżet. Jeśli Tomek zachowuje się jak większość ludzi, postawi na kombinację zawierającą zarówno bilety autobusowe, jak i kanapki. Oznacza to, że wybierze punkt na linii ograniczenia budżetowego, który znajduje się między koszykami A a F. Każdy punkt wzdłuż (lub poniżej) linii ograniczenia budżetowego pokazuje kombinację konsumpcji kanapek i biletów autobusowych, na którą Tomek może sobie pozwolić. Każdy punkt powyżej tej linii nie jest dla niego dostępny, ponieważ przewyższa sumę, którą Tomek dysponuje. Linia ograniczenia budżetowego wyraźnie pokazuje wybór, z jakim boryka się Tomek, decydując o liczbie zakupionych kanapek i biletów autobusowych. Załóżmy, że konsumuje on obecnie koszyk dóbr przedstawiony w punkcie D, składający się z 12 biletów autobusowych i dwóch kanapek. Ile kosztowałaby Tomka jeszcze jedna kanapka? Odpowiedź „12 zł” byłaby naturalna, ale nie odzwierciedla ona sposobu myślenia ekonomistów. Zamiast tego ekonomiści pytają, z ilu biletów autobusowych Tomek musiałby zrezygnować, aby kupić jeszcze jedną kanapkę, nie przekraczając jednocześnie swojego budżetu. Ponieważ bilety autobusowe kosztują 3 zł, Tomek musiałby zrezygnować z czterech sztuk, aby pozwolić sobie na jeszcze jedną kanapkę. To jest prawdziwy koszt, z którym musi się skonfrontować Tomek. Pojęcie kosztu alternatywnego Ekonomiści używają terminu koszt alternatywny lub inaczej koszt utraconych możliwości (ang. opportunity cost ) do wskazania, z czego trzeba zrezygnować, aby uzyskać rzecz, której się pragnie. Koncepcja kosztu alternatywnego zakłada, że kosztem jednego dobra jest stracona możliwość zrobienia lub kupienia czegoś innego. Krótko mówiąc, koszt alternatywny to wartość następnej najlepszej z punktu widzenia konsumenta alternatywy. Dla Tomka koszt alternatywny zjedzenia kanapki to cztery bilety autobusowe, z których musiałby zrezygnować. Wybierze kanapkę lub nie, w zależności od tego, czy jej wartość przewyższa wartość utraconej alternatywy – w tym przypadku czterech biletów autobusowych. Zmagając się z ograniczonością zasobów, ludzie nieuchronnie stają w obliczu wyborów, zmuszeni rezygnować z rzeczy, których pragną, aby uzyskać inne, pożądane jeszcze bardziej. Zobacz tę witrynę , aby zapoznać się ze specyficznym przykładem kosztu alternatywnego – płaceniem komuś innemu za czekanie w kolejce. Każdy wybór ma swój koszt alternatywny. Jest to fundamentalna zasada ekonomii. Jeśli prześpisz swoje zajęcia z ekonomii w ostatnim rzędzie auli, kosztem alternatywnym tego wyboru będzie wiedza, której nie uzyskasz. Jeśli przeznaczasz swoje dochody na gry wideo, nie możesz ich wydawać na filmy. Jeśli zdecydujesz się poślubić jedną osobę, rezygnujesz z możliwości poślubienia kogokolwiek innego. Krótko mówiąc, z kosztem alternatywnym mamy do czynienia na co dzień, bo stanowi on część ludzkiej egzystencji. Poniższa ramka przedstawia analizę tego, jak krok po kroku wyznaczyć linię ograniczenia budżetowego. Zapoznaj się z nią, aby zrozumieć inne ważne pojęcie – nachylenie – które dokładniej wyjaśniamy w . Zrozumienie ograniczenia budżetowego Koncepcja ograniczenia budżetowego jest łatwa do zrozumienia, jeśli wykorzystasz podstawowe umiejętności z matematyki. objaśnia cały zakres wiedzy i umiejętności matematycznych, których prawdopodobnie będziesz potrzebować, aby w pełni wykorzystać informacje zawarte w niniejszym podręczniku. Dlatego jeśli matematyka nie jest twoją mocną stroną, lepiej zapoznaj się z tym dodatkiem. Krok 1: Równanie dla dowolnego ograniczenia budżetowego przedstawia się następująco: budżet = P 1 × Q 1 + P 2 × Q 2 gdzie P i Q to cena i ilość zakupionych dóbr (zakładamy, że analizujemy tylko dwa dobra), a budżet to kwota dochodu, który trzeba wydać. Krok 2. Zastosuj równanie ograniczenia budżetowego do wybranego scenariusza. W przypadku Tomka wygląda to następująco: budżet = P 1 × Q 1 + P 2 × Q 2 60 zł budżetu = 12 złotych za kanapkę × liczba kanapek + 3 złote za bilet × liczba biletów 60 zł = 12 zł × Q kanapki + 3 zł × Q bilety autobusowe Krok 3. Używając prostej algebry, możemy przekształcić tę zależność w znane ci równanie prostej: y = b + mx Dla Tomka jest to: 60 zł = 12 zł × Q kanapki + 3 zł × Q bilety autobusowe Krok 4. Uprość równanie. Zacznij od podzielenia obu stron równania przez 3: 60/3 = (12/3) × Q kanapki + (3/3) × Q bilety autobusowe 20 = 4 × Q kanapki + 1 × Q bilety autobusowe Krok 5. Odejmij jeden bilet autobusowy z obu stron: 20 – Q bilety autobusowe = 4 × Q kanapki Podziel każdą stronę równania przez 4, aby uzyskać odpowiedź: 5 – 0,25 × Q bilety autobusowe = Q kanapki albo Q kanapki = 5 – 0,25 × Q bilety autobusowe Krok 6. Zauważ, że to równanie pasuje do linii ograniczenia budżetowego na . Punkt przecięcia prostej z osią pionową wynosi 5, a jej nachylenie –0,25, tak jak mówi równanie. Jeśli do równania podstawisz 20 biletów autobusowych, dostaniesz 0 kanapek. Jeśli podstawisz do równania inne liczby reprezentujące bilety autobusowe, otrzymasz wyniki (patrz ), które są punktami wzdłuż linii ograniczenia budżetowego Tomka. Punkt Liczba kanapek (przy cenie 12 zł) Liczba biletów (przy cenie 3 zł) A 5 0 B 4 4 C 3 8 D 2 12 E 1 16 F 0 20 Krok 7. Zauważ, że nachylenie linii ograniczenia budżetowego zawsze pokazuje koszt alternatywny dobra, które znajduje się na osi poziomej. Dla Tomka nachylenie wynosi –0,25, co oznacza, że dla każdego zakupionego biletu autobusowego musi on zrezygnować z 1/4 kanapki. Mówiąc inaczej, na każde cztery kupione bilety Tomek musi zrezygnować z jednej kanapki. Zwróćmy uwagę na dwie ważne rzeczy. Po pierwsze, algebraiczny znak nachylenia prostej jest ujemny, co oznacza, że jedynym sposobem na uzyskanie większej ilości jednego dobra jest rezygnacja z drugiego. Po drugie, nachylenie definiujemy jako cenę biletów autobusowych (lub czegokolwiek, co znajduje się na osi poziomej na wykresie) podzieloną przez cenę kanapek (lub czegokolwiek, co znajduje się na osi pionowej), w tym przypadku 3 zł/12 zł = 0,25. Jeśli chcesz szybko określić koszt alternatywny, po prostu podziel przez siebie dwie ceny. Określenie kosztu alternatywnego W wielu przypadkach zasadne jest określanie kosztu alternatywnego jako ceny (ang. price ). Jeśli twój kuzyn kupi nowy rower za 3000 zł, to kwota ta mierzy wielkość „innej konsumpcji”, z której zrezygnował. Ze względów praktycznych nie ma specjalnej potrzeby zidentyfikowania konkretnego alternatywnego produktu lub produktów, które mógłby kupić za te 3000 zł, ale czasami cena mierzona w jednostkach pieniężnych może nie odzwierciedlać dokładnie prawdziwego kosztu alternatywnego. Ten problem może być szczególnie istotny, gdy w grę wchodzą koszty czasu. Rozważmy przykład szefa, który decyduje, że wszyscy pracownicy wezmą udział w dwudniowym wyjeździe integracyjnym. Koszt księgowy imprezy może obejmować wynajęcie zewnętrznej firmy konsultingowej, która poprowadzi szkolenie, a także zakwaterowanie i wyżywienie dla wszystkich uczestników. W tym przypadku pojawi się jednak również koszt alternatywny: podczas dwóch dni wyjazdu żaden z pracowników nie wykona swojej normalnej pracy. Uczęszczanie na prywatny uniwersytet to kolejny przypadek, w którym koszt alternatywny przewyższa koszt bezpośredni. Koszty uczestnictwa w zajęciach obejmują czesne, książki, zakwaterowanie i wyżywienie oraz inne wydatki. Jednak dodatkowo, w godzinach, w których uczęszczasz na zajęcia i studiujesz, nie możesz wykonywać płatnej pracy. W związku z tym koszt studiów na prywatnej uczelni wiąże się zarówno z kosztem bezpośrednim, jak i kosztem alternatywnym w postaci utraconych dochodów. Jaki jest koszt alternatywny zwiększonych środków bezpieczeństwa na lotnisku? Po porwaniach samolotów przez terrorystów 11 września 2001 r. rozważano wiele możliwych rozwiązań w celu poprawy bezpieczeństwa podróży lotniczych. Na przykład rząd federalny mógłby zatrudnić uzbrojonych „podniebnych szeryfów” (ang. sky marshals ), którzy incognito podróżowaliby z resztą pasażerów. Koszt stworzenia etatów dla funkcjonariuszy uczestniczących w każdej z lotniczych podróży wewnątrz USA wyniósłby ok. 3 mld dol. rocznie. Doposażenie wszystkich amerykańskich samolotów we wzmocnione drzwi kokpitu, aby utrudnić terrorystom przejęcie kontroli nad maszyną, kosztowałoby 450 mln dol. Zakup wysokiej klasy sprzętu bezpieczeństwa na lotniskach, takiego jak trójwymiarowe skanery bagażu i kamery połączone z oprogramowaniem do rozpoznawania twarzy, mógłby pochłonąć kolejne 2 mld dol. Jednak największy koszt poprawy bezpieczeństwa klientów linii lotniczych nie wiąże się z wydawaniem pieniędzy. Jest to koszt alternatywny dodatkowego czasu oczekiwania na lotnisku. Według Departamentu Transportu Stanów Zjednoczonych w 2015 r. system lotniczy (na połączeniach krajowych i międzynarodowych) obsłużył łącznie 895,5 mln pasażerów. Od czasu porwań z 11 września 2001 r. kontrole bezpieczeństwa stały się bardziej intensywne, a tym samym procedury trwają dłużej niż w przeszłości. Załóżmy, że średnio każdy pasażer spędza na lotnisku dodatkowe 30 minut podczas jednej podróży. Ekonomiści często przypisują jednostce czasu wartość, aby wyrazić koszt alternatywny utraconego czasu w pieniądzu. Ponieważ wielu podróżujących samolotem to stosunkowo dobrze opłacani ludzie biznesu, ostrożne szacunki określają średnią cenę czasu dla podróżujących samolotem na poziomie 20 dol. za godzinę. Według tych uproszczonych obliczeń koszt alternatywny opóźnień na lotniskach może wynieść nawet 800 mln × 0,5 godz. × 20 dol./godz., czyli 8 mld dol. rocznie. Jak widać, koszty alternatywne związane z wydłużonym czasem oczekiwania na podróż mogą być równie ważne jak koszty, które wiążą się z bezpośrednimi wydatkami poniesionymi na poprawę bezpieczeństwa. W niektórych przypadkach uświadomienie sobie kosztu alternatywnego może zmienić twoje zachowanie. Wyobraź sobie np., że codziennie w pracy wydajesz 24 zł na lunch. Doskonale wiesz, że przyniesienie obiadu z domu kosztowałoby tylko 8 zł dziennie, więc koszt alternatywny kupienia obiadu w restauracji wynosi 16 zł każdego dnia (koszt zakupu obiadu równy 24 zł minus 8 zł, które kosztowałby obiad z domu). 16 zł dziennie to niewiele. Jeśli jednak policzysz, jaki jest koszt jedzenia w restauracji w ciągu roku – 250 dni roboczych w roku × 16 zł dziennie, co daje 4000 zł – otrzymasz cenę przyzwoitych wakacji. Jeśli opiszesz koszt alternatywny jako „fajne wakacje” zamiast „16 zł dziennie”, możesz dokonać innych wyborów. Analiza wielkości krańcowych i malejąca użyteczność krańcowa Ramy ograniczeń budżetowych pomagają uświadomić sobie, że większość wyborów w świecie rzeczywistym nie polega na tym, aby skonsumować maksymalną ilość jednej lub drugiej rzeczy. Zamiast tego większość wyborów obejmuje analizę wielkości krańcowych (ang. marginal value analysis ), co oznacza zbadanie korzyści i kosztów wyboru trochę większej lub trochę mniejszej ilości danego dobra. Ludzie w naturalny sposób porównują koszty i korzyści, ale często patrzymy na łączne koszty i korzyści, podczas gdy optymalny wybór wymaga porównania, jak kształtują się koszty i korzyści podczas zmiany jednego wyboru na inny. Możesz myśleć o analizie wielkości krańcowych jako o „analizie zmian”. Analiza wielkości krańcowych jest szeroko stosowana w ekonomii. Przejdźmy teraz do pojęcia użyteczności (ang. utility ). Ludzie pragną towarów i usług, gdyż zaspokajają one ich potrzeby. Ekonomiści określają tę własność dóbr i usług jako użyteczność lub satysfakcję. Użyteczność, którą omawiamy w rozdziale o wyborach konsumenckich ( ), ma charakter subiektywny, ale to nie czyni jej mniej realną. Ekonomiści zazwyczaj zakładają, że im więcej jakiegoś dobra (np. kawałków pizzy) konsumujemy, tym większą użyteczność uzyskujemy (po prostu wolimy mieć więcej niż mniej). Jednocześnie użyteczność, jaką dana osoba uzyskuje ze skonsumowania pierwszej jednostki dobra, jest zazwyczaj większa niż użyteczność wynikająca ze skonsumowania piątej lub dziesiątej jednostki tego samego dobra. Kiedy Tomek dokonuje wyboru między kanapkami a biletami autobusowymi, kilka pierwszych przejazdów autobusem, na które się decyduje w ciągu dnia, może zapewnić mu dużą użyteczność. Być może pomogą mu one zdążyć jednego dnia zarówno na rozmowę o pracę, jak i zaplanowaną wcześniej wizytę u lekarza. Jednak późniejsze przejażdżki autobusem tego samego dnia wiążą się ze znacznie mniejszą użytecznością, ponieważ Tomkowi nigdzie się już nie spieszy i może przemieszczać się pieszo. Podobnie pierwsza kanapka, którą Tomek zdecyduje się kupić w ciągu dnia, będzie jego jedynym posiłkiem aż do wieczora, dzięki któremu zachowa koncentrację i trzeźwy umysł. Jeśli jednak Tomek codziennie je kanapki, ostatnich kilka z nich może smakować dość nijako. Zasada ogólna, zgodnie z którą konsumpcja pierwszych kilku jednostek jakiegokolwiek dobra zazwyczaj przynosi człowiekowi większą użyteczność niż konsumpcja kolejnych jednostek, jest powszechnym wzorcem. Ekonomiści nazywają ten wzorzec prawem malejącej użyteczności krańcowej (ang. law of diminishing marginal utility ), co oznacza, że gdy ktoś otrzymuje kolejne jednostki danego dobra, dodatkowa (lub krańcowa) użyteczność z konsumpcji każdej kolejnej jednostki maleje. Innymi słowy, pierwszy kawałek pizzy przynosi więcej satysfakcji niż szósty. Prawo malejącej użyteczności krańcowej wyjaśnia, dlaczego ludzie i społeczeństwa rzadko dokonują wyborów typu „wszystko albo nic”. Nie powiedziałbyś: „Moim ulubionym jedzeniem są lody, więc od teraz nie będę jeść nic innego”. Nawet jeśli twoje ulubione jedzenie zapewnia ci bardzo wysoki poziom użyteczności, gdy odżywiasz się wyłącznie tym produktem, dodatkowa lub krańcowa użyteczność z jego kilku ostatnich porcji nie będzie zbyt wysoka. Podobnie większość pracowników nie mówi: „Lubię wypoczynek, więc nigdy więcej nie będę pracował”. Pracownicy zdają sobie bowiem sprawę, że chociaż niektóre formy wypoczynku są bardzo przyjemne, połączenie czasu wolnego i braku dochodów nie jest już tak atrakcyjne. Ramy ograniczeń budżetowych sugerują, że kiedy ludzie dokonują wyborów w świecie rzadkości zasobów, używają analizy wielkości krańcowych i zastanawiają się, czy woleliby mieć trochę więcej, czy trochę mniej. Racjonalny konsument kupuje dodatkową jednostkę jakiegoś produktu, tylko jeśli użyteczność krańcowa płynąca z tego wyboru przekracza koszt alternatywny. Załóżmy, że Tomek przesuwa się w dół swojego ograniczenia budżetowego z punktu A do punktu B, a następnie do punktu C i dalej. W miarę kupowania coraz większej liczby biletów autobusowych zmniejsza się ich krańcowa użyteczność, natomiast koszt alternatywny, jakkolwiek stały, oznacza, że porównanie użyteczności kanapek i biletów stopniowo przechyla szalę na korzyść jedzenia. Wcześniej czy później koszt alternatywny przekroczy krańcową użyteczność związaną z konsumpcją dodatkowego przejazdu komunikacją miejską (dodatkowego biletu autobusowego). Jeśli Tomek postępuje racjonalnie, nie kupi więcej biletów, gdy ich użyteczność krańcowa zrówna się z kosztem alternatywnym. Chociaż nie możemy (jeszcze) stwierdzić dokładnie, ile biletów autobusowych kupi Tomek, ta liczba prawdopodobnie nie będzie równa maksymalnej liczbie biletów, na którą może sobie pozwolić, czyli 20. Koszty utopione Mechanizm ograniczenia budżetowego można wykorzystać do podjęcia decyzji odnoszących się do przyszłości: liczby/ilości towarów, które chcemy kupić, godzin, które przepracujemy lub części dochodu, jaki zaoszczędzimy. Ten proces decyzyjny abstrahuje jednak od naszych przeszłych wyborów. W związku z tym właściwy sposób analizy decyzji z wykorzystaniem ograniczenia budżetowego zakłada, że koszty utopione (ang. sunk costs ), które są kosztami poniesionymi w przeszłości niemożliwymi do odzyskania, nie powinny wpływać na dokonywany obecnie wybór. Rozważmy przypadek Heleny, która płaci 25 zł za obejrzenie filmu, ale po 30 minutach seansu już wie, że wybrała naprawdę kiepski film. Czy powinna zostać i obejrzeć pozostałą część tego wątpliwej jakości dzieła, bo zapłaciła za bilet, czy raczej powinna wyjść z kina? Pieniądze, które wydała, to koszt utopiony i jeśli kierownik kina nie wykaże się współczuciem, Helena nie otrzyma zwrotu pieniędzy. Jednak pozostanie na widowni oznacza konieczność ponoszenia kosztów alternatywnych związanych z jej utraconym czasem. Jej wybór ogranicza się do tego, czy spędzić następne 90 minut, cierpiąc z powodu „katastrofy filmowej\", czy zrobić coś – cokolwiek – innego. Lekcja, jaką możne przynieść koncepcja kosztów utopionych, jest taka: należy zapomnieć o pieniądzach i czasie, które zostały bezpowrotnie stracone, i skupić się na kosztach i korzyściach krańcowych możliwości, z których wciąż możemy skorzystać. Zarówno dla ludzi, jak i dla firm radzenie sobie z kosztami utopionymi może być frustrujące. Często oznacza bowiem przyznanie się do wcześniejszego błędu w ocenie. Na przykład wielu firmom trudno jest zrezygnować z nowego produktu, który ma słabe wyniki sprzedażowe, ponieważ wydały bardzo dużo pieniędzy na jego stworzenie i wprowadzenie na rynek. Niemniej jednak, biorąc pod uwagę kategorię kosztów utopionych w ocenie tego, czy w nowy produkt warto inwestować dodatkowy czas i zasoby, należy pominąć przeszłe wydatki i opierać się tylko na analizie przyszłych możliwych zdarzeń. Od modelu z dwoma dobrami do modelu z wieloma dobrami Wykres z ograniczeniem budżetowym uwzględniający tylko dwa dobra, jak większość modeli użytych w tej książce, nie jest realistyczny. Wszak we współczesnej gospodarce ludzie wybierają spośród tysięcy towarów. Jednak myślenie o modelu z wieloma produktami jest prostym rozszerzeniem tego, o czym mówiliśmy dotychczas. Zamiast rysować tylko jedno ograniczenie budżetowe, pokazując wybór między dwoma dobrami, możesz narysować wiele ograniczeń budżetowych, prezentujących możliwe kompromisy między wieloma różnymi parami towarów. Wykres z dwoma dobrami, który tutaj przedstawiliśmy, wyraźnie pokazuje jednak, że każdy wybór ma swój koszt alternatywny, co stanowi naprawdę realistyczny punkt odniesienia dla mechanizmów funkcjonujących w rzeczywistym świecie. Key Concepts and Summary Ekonomiści postrzegają rzeczywistość jako świat rzadkości zasobów, to znaczy świat, w którym potrzeby ludzi przekraczają zasób tego, co jest dostępne, przy cenie równej zero. W rezultacie zachowanie jednostek w kontekście dóbr ekonomicznych wiąże się z wyborami, w ramach których jednostki, firmy i społeczeństwo muszą zrezygnować z czegoś, czego wprawdzie pragną, aby uzyskać coś, czego pożądają bardziej. Linia ograniczenia budżetowego, która przedstawia różne kombinacje konsumpcji dwóch lub więcej dóbr, ilustruje zakres dostępnych wyborów. Relacja cen dwóch dóbr, między którymi dokonywany jest wybór, określa nachylenie linii ograniczenia budżetowego. Kombinacje dóbr znajdujące się powyżej linii ograniczenia budżetowego nie są osiągalne dla jednostek dokonujących wyboru. Koszt alternatywny pokazuje, z czego musimy zrezygnować, dokonując konkretnych wyborów. Czasami można go wyrazić kwotowo, ale często dobrze jest rozważyć również wartość utraconego czasu lub ocenić go przez pryzmat innych zasobów, które musimy poświęcić, decydując się na skorzystanie z danej opcji. Większość decyzji ekonomicznych to nie są wybory typu „wszystko albo nic”. Osoby podejmujące decyzje zazwyczaj analizują wartości krańcowe, zastanawiając się, jaki będzie układ korzyści i kosztów, jeśli zwiększą lub zmniejszą konsumpcję danego doba o relatywnie niewielką ilość. Prawo malejącej użyteczności krańcowej wskazuje, że gdy dana osoba otrzymuje więcej jednej rzeczy – niezależnie od tego, czy jest to określone dobro, czy inny zasób – dodatkowe korzyści związane z nabywaniem kolejnych jednostek mają tendencję do zmniejszania się. Ponieważ koszty utopione wystąpiły w przeszłości i ich odzyskanie jest niemożliwe, przy podejmowaniu bieżących decyzji należy je pomijać. Self-Check Questions Załóżmy, że miasto, w którym mieszka Tomek, w związku ze skokowym wzrostem cen paliw silnikowych i energii elektrycznej podniosło cenę biletów autobusowych do 6 zł za podróż (podczas gdy cena kanapek pozostała na poziomie 12 zł, a jego budżet to wciąż 60 zł tygodniowo). Narysuj nową linię ograniczenia budżetowego Tomka. Co się stało z kosztem alternatywnym biletów autobusowych? Koszt alternatywny biletów autobusowych to liczba kanapek, z których trzeba zrezygnować, aby kupić jeszcze jeden bilet autobusowy. Pierwotnie, gdy cena biletu wynosiła 3 zł za przejazd, ten koszt alternatywny wynosił 3 / 12 = 0,25 kanapki. Przy pierwotnych cenach jedna kanapka (12 zł) kosztuje tyle samo, co cztery bilety autobusowe (3 zł), więc koszt alternatywny kanapki to cztery bilety autobusowe, a koszt alternatywny biletu autobusowego to 0,25 (odwrotność kosztu alternatywnego kanapki). Wraz z nową, wyższą ceną biletów autobusowych koszt alternatywny wzrasta do 6 zł/12 zł lub 0,50. Można to zauważyć również na wykresie, ponieważ nachylenie nowej linii ograniczenia budżetowego jest bardziej strome j. Jeśli Tomek wydaje cały swój budżet na kanapki, wyższa cena biletów autobusowych nie ma znaczenia, więc przecięcie linii ograniczenia budżetowego z osią pionową jest w tym samym miejscu. Jeśli cały swój budżet przeznacza on na bilety autobusowe, to teraz może sobie pozwolić tylko na połowę dotychczasowych zakupów, więc przecięcie linii ograniczenia budżetowego z osią poziomą występuje przy dwa razy mniejszej wartości. Krótko mówiąc, linia ograniczenia budżetowego obraca się zgodnie z ruchem wskazówek zegara wokół punktu przecięcia z osią pionową, stając się bardziej stromą, co oznacza, że zwiększa się koszt alternatywny biletów autobusowych. Każdy punkt na linii ograniczenia budżetowego reprezentuje dostępne dla Tomka kombinacje (koszyki) zakupów kanapek i biletów autobusowych, których całkowity koszt jest równy jego budżetowi wynoszącemu 60 zł. Relacja cen kanapek i biletów autobusowych określa nachylenie linii ograniczenia budżetowego. W opisanym przypadku rezygnacja z jednej kanapki oznacza możliwość zakupu dwóch dodatkowych biletów. Review Questions Wyjaśnij, dlaczego rzadkość zasobów wiąże się z koniecznością dokonywania wyborów. Wytłumacz, dlaczego poszczególne osoby dokonują wyborów, które są odzwierciedlone przez kombinacje dóbr leżące na linii ograniczenia budżetowego, a nie poniżej lub powyżej niej. Critical Thinking Question Załóżmy, że miasto, w którym mieszka Tomek, podnosi ceny biletów autobusowych z 3 do 6 zł, a jednocześnie cena kanapek zwiększa się z 12 do 24 zł za sztukę (czy wspomnieliśmy, że w rodzinnym mieście Tomka inflacja osiągnęła naprawdę zastraszający poziom?). Dlaczego koszt alternatywny biletów autobusowych pozostaje niezmieniony? Załóżmy, że tygodniowy budżet Tomka wzrasta z 60 do 120 zł. Jaki wpływ na jego ograniczenie budżetowe mają wszystkie trzy zmiany? Wyjaśnij. Problems Wykorzystaj te informacje, aby odpowiedzieć na kolejne cztery pytania: Maria ma tygodniowy budżet w wysokości 24 zł do wydania na rzeczy, które lubi – czasopisma i ciasta. Jeśli cena każdego czasopisma wynosi 4 zł, jaka jest maksymalna liczba czasopism, które Maria może kupić w ciągu tygodnia? Jeśli cena ciasta wynosi 12 zł, jaka jest maksymalna liczba ciast, które Maria może kupić w ciągu tygodnia? Narysuj linię ograniczenia budżetowego Marii z ciastami na osi poziomej i czasopismami na osi pionowej. Jakie jest nachylenie linii ograniczenia budżetowego? Jaki jest koszt alternatywny zakupu ciasta przez Marię? Wyraź go zarówno w złotych, jak i w czasopismach. References Bureau of Labor Statistics, U.S. Department of Labor. 2015. “Median Weekly Earnings by Educational Attainment in 2014.” Dostęp: 27 marca, 2015. http://www.bls.gov/opub/ted/2015/median-weekly-earnings-by-education-gender-race-and-ethnicity-in-2014.htm. Robbins, Lionel. An Essay on the Nature and Significance of Economic Science . London: Macmillan. 1932. United States Department of Transportation. “Total Passengers on U.S Airlines and Foreign Airlines U.S. Flights Increased 1.3% in 2012 from 2011.” Dostęp: Październik 2013. http://www.rita.dot.gov/bts/press_releases/bts016_13 linia ograniczenia budżetowego (ang. budget constraint line ) graficzne przedstawienie wszystkich możliwych kombinacji (koszyków) dwóch dóbr, konsumowanych przez wybraną osobę, uwzględniające ceny tych dóbr i całkowicie wydatkowany budżet tego konsumenta linia budżetowa (ang. budget constraint line ) patrz: linia ograniczenia budżetowego ścieżka budżetu (ang. budget constraint line ) patrz: linia ograniczenia budżetowego prawo malejącej użyteczności krańcowej (ang. law of diminishing marginal utility ) w sytuacji, w której konsumujemy więcej dobra lub usługi, dodatkowa użyteczność, jaką uzyskujemy z kolejnych nabywanych jednostek, staje się zwykle mniejsza niż ta, którą przyniosła nam konsumpcja wcześniejszych prawo malejącego produktu krańcowego (ang. law of diminishing marginal utility ) patrz: prawo malejącej użyteczności krańcowej analiza wielkości krańcowych (ang. marginal value analysis ) podejmowanie decyzji w oparciu o małe zmiany analizowanych wielkości analiza marginalna (ang. marginal value analysis ) patrz: analiza wielkości krańcowych koszt alternatywny (ang. opportunity cost ) koszt związany z podjęciem konkretnej decyzji, którego miarą jest wszystko to, z czego musimy zrezygnować w następstwie jej podjęcia; koszt alternatywny mierzy wartość utraconych możliwości koszt utraconych możliwości (ang. opportunity cost ) patrz: koszt alternatywny koszty utopione (ang. sunk costs ) koszty, które ponieśliśmy w przeszłości i których nie możemy już odzyskać użyteczność (ang. utility ) satysfakcja, zadowolenie lub wartość, jaką uzyskuje się z konsumpcji dóbr i usług", "section": "Jak ludzie dokonują wyborów w oparciu o ograniczenia budżetowe", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Krzywa możliwości produkcyjnych i wybory społeczne Po przeczytaniu tego podrozdziału będziesz w stanie: Zinterpretować wykres krzywej możliwości produkcyjnych (krzywej transformacji) Odróżnić krzywą ograniczenia budżetowego (linię budżetu) i krzywą transformacji Wyjaśnić związki między kształtem krzywej możliwości produkcyjnych a prawem malejących przychodów krańcowych Porównać efektywność produkcyjną i alokacyjną Zdefiniować przewagę komparatywną Tak jak jednostki nie mogą mieć wszystkiego, czego zapragną, ale muszą dokonywać wyborów, tak społeczeństwo jako całość nie może mieć wszystkiego, czego mogłoby chcieć. W tej części rozdziału zostaną wyjaśnione ograniczenia, z jakimi boryka się społeczeństwo, przy użyciu modelu zwanego krzywą możliwości produkcyjnych lub inaczej krzywą transformacji (ang. production possibilities frontier (PPF) ). Istnieje więcej podobieństw niż różnic między wyborem jednostki a wyborem społecznym. Czytając ten rozdział, skup się na podobieństwach. Ponieważ społeczeństwo ma w danym momencie ograniczone zasoby (np. pracy, ziemi, kapitału finansowego i surowców), istnieje ściśle określona ilość towarów i usług, które może wyprodukować. Załóżmy, że społeczeństwo pożąda dwóch rzeczy: opieki zdrowotnej i edukacji. Sytuację tę pokazuje krzywa możliwości produkcyjnych na . Krzywa transformacji w zakresie opieki zdrowotnej i edukacji Ta krzywa możliwości produkcyjnych pokazuje wybór typu „coś za coś”, jeśli podejmowana jest decyzja o kierowaniu zasobów na opiekę zdrowotną lub edukację. W punkcie A wszystkie zasoby są przeznaczane na zapewnienie opieki zdrowotnej, zaś w punkcie B na ten cel kierowana jest większość środków. W punkcie D większość zasobów przydzielana jest systemowi edukacji, a w punkcie F temu celowi służą wszystkie środki. przedstawia „wielkość produkcji” opieki zdrowotnej na osi pionowej, a „wielkość produkcji” edukacji na osi poziomej. Gdyby społeczeństwo przeznaczyło wszystkie swoje zasoby na opiekę zdrowotną, znalazłoby się w punkcie A. Nie miałoby jednak żadnych zasobów na utrzymanie edukacji. Gdyby społeczeństwo chciało przeznaczyć wszystkie swoje środki na edukację, znaleźlibyśmy się w punkcie F. Alternatywnie, społeczeństwo mogłoby wybrać dowolną kombinację opieki zdrowotnej i edukacji na krzywej możliwości produkcyjnych. W efekcie krzywa możliwości produkcyjnych odgrywa taką samą rolę dla społeczeństwa, jak linia ograniczenia budżetowego dla Tomka. Społeczeństwo może wybrać dowolną kombinację dwóch dóbr na krzywej lub poniżej krzywej możliwości produkcyjnych. Jednak nie ma wystarczających zasobów, aby móc produkować kombinację, którą obrazuje dowolny punkt ponad tą krzywą. Co najważniejsze, krzywa możliwości produkcyjnych wyraźnie pokazuje kompromis między dostarczaniem opieki zdrowotnej i edukacji. Załóżmy, że społeczeństwo zdecydowało się na zapewnienie (wyprodukowanie) wolumenu obu dóbr, tak jak to ilustruje punkt B, i rozważa zwiększenie poziomu usług edukacyjnych. Ponieważ krzywa możliwości produkcyjnych jest nachylona ujemnie, jedynym sposobem, w jaki społeczeństwo może zapewnić sobie więcej edukacji, jest rezygnacja z części dostępnej opieki zdrowotnej. To jest wybór, którego trzeba dokonać. Załóżmy, że społeczność rozważa przejście z punktu B do punktu C. Jaki byłby koszt alternatywny dodatkowej jednostki edukacji? Koszt alternatywny to ilość opieki zdrowotnej, z której społeczeństwo musi zrezygnować. Podobnie jak w przypadku ograniczenia budżetowego Tomka, nachylenie (ang. slope ) krzywej możliwości produkcyjnych pokazuje koszt alternatywny. Jeśli uważnie czytasz niniejszy podrozdział, możesz spokojnie powiedzieć: „Hej, ta krzywa możliwości produkcyjnych to nic innego jak linia ograniczenia budżetowego”. Jeśli tak uważasz, przeczytaj sekcję poniżej. Jaka jest różnica między linią ograniczenia budżetowego a krzywą możliwości produkcyjnych? Istnieją dwie główne różnice między linią ograniczenia budżetowego a krzywą możliwości produkcyjnych. Pierwszą z nich jest to, że ograniczenie budżetowe jest linią prostą. Dzieje się tak dlatego, że jego nachylenie jest określone przez relację cen dwóch towarów, która to relacja z punktu widzenia indywidualnego konsumenta jest stała, więc nachylenie się nie zmienia. Krzywa możliwości produkcyjnych ma natomiast wypukły kształt ze względu na prawo malejących przychodów. W ten sposób nachylenie krzywej możliwości produkcyjnych jest różne w jej różnych punktach. Drugą istotną różnicę stanowi brak określonych liczb na osiach krzywej możliwości produkcyjnych. Nie ma konkretnych liczb, ponieważ nie znamy dokładnej ilości zasobów, jakimi dysponuje ta fikcyjna gospodarka, ani też nie wiemy, ile zasobów jest potrzebnych do wyprodukowania hipotetycznej jednostki opieki zdrowotnej, a ile do wytworzenia jednostki edukacji. Gdyby był to przykład ze świata rzeczywistego, dane byłyby dostępne. Niezależnie od tego, czy dysponujemy konkretnymi liczbami, czy nie, możemy zmierzyć koszt alternatywny dodatkowej edukacji, gdy społeczeństwo przechodzi z punktu B do punktu C na krzywej transformacji. Dodatkową ilość edukacji mierzymy odległością poziomą między B i C. Utracona ilość opieki zdrowotnej jest określona przez odległość pionową między punktami B i C. Nachylenie krzywej możliwości produkcyjnych między punktami B i C jest (w przybliżeniu) ilorazem wspomnianych odległości w pionie i odległości w poziomie. To jest koszt alternatywny wzrostu nakładów na edukację. Krzywa możliwości produkcyjnych i prawo rosnących kosztów alternatywnych Ograniczenia budżetowe, które przedstawiliśmy wcześniej w tym rozdziale, pokazując indywidualne wybory dotyczące ilości konsumowanych dóbr, były liniami prostymi. Linie te miały stałe nachylenie, gdyż względne ceny dwóch dóbr, które determinują nachylenie linii ograniczenia budżetowego, są dla wybierającego konsumenta stałe. Jednak krzywa możliwości produkcyjnych dla społeczeństwa wybierającego między opieką zdrowotną a edukacją został wykreślona jako wypukła. Dlaczego linia ta ma inny kształt? Aby to zrozumieć, zacznij rozważania od punktu A w lewym górnym rogu wykresu. W tym punkcie wszystkie dostępne zasoby są przeznaczane na opiekę zdrowotną i żadne nie trafiają na cele edukacyjne. Taki wybór byłby skrajny, a nawet zabawny. Na przykład dzieci codziennie odwiedzałyby lekarza, niezależnie od tego, czy byłyby chore, czy nie, ale nie chodziłyby do szkoły. Ludzie robiliby sobie niemal dowolne operacje plastyczne, ale nie mieliby żadnego wykształcenia (kto wówczas dokonywałby tych wszystkich operacji?). Teraz wyobraź sobie, że niektóre z tych zasobów zostają przekierowane z opieki zdrowotnej na edukację, tak że gospodarka znajduje się w punkcie B. Przekierowanie niektórych zasobów i przesunięcie gospodarki z punktu A do B powoduje stosunkowo niewielki spadek poziomu opieki zdrowotnej w społeczeństwie, ponieważ kilka dodatkowych (krańcowych) jednostek pieniężnych (złotych, dolarów) przeznaczanych na opiekę zdrowotną nie przynosi znaczących dodatkowych korzyści w tej dziedzinie. Jednak przeznaczenie tych pieniędzy na zorganizowanie edukacji, która jak dotychczas nie istniała, bo żadne zasoby nie były przeznaczone na zapewnienie tej usługi, może przynieść stosunkowo duże korzyści. Z tego powodu kształt krzywej możliwości produkcyjnych między punktami A i B jest dosyć płaski, co oznacza relatywnie niewielki spadek poziomu zdrowia publicznego i duży progres w poziomie edukacji. Przeanalizujmy teraz drugi koniec krzywej możliwości produkcyjnych (prawy dolny róg wykresu). Wyobraź sobie, że społeczeństwo zaczyna od wyboru D, w którym przeznacza się prawie wszystkie zasoby na system edukacji, a bardzo niewiele na opiekę zdrowotną, i przechodzi do punktu F, w którym przeznacza się wszystkie zasoby na edukację, a na opiekę zdrowotną żadnych. Aby lepiej to sobie wyobrazić, przyjmijmy, że za przesunięciem tej gospodarki z punktu D do F kryje się przekwalifikowanie kilku ostatnich lekarzy na nauczycieli przedmiotów ścisłych w liceum, kilku ostatnich pielęgniarek na szkolne bibliotekarki i przekształcenie dosłownie kilku ostatnich izb przyjęć w przedszkola. Korzyści dla edukacji wynikające z relokacji tych kilku ostatnich zasobów są bardzo małe. Jednak utracone korzyści dla ilości opieki zdrowotnej będą dość duże, zatem nachylenie krzywej między punktami D i F jest strome i pokazuje duży spadek dostępnego wolumenu opieki zdrowotnej przy niewielkim wzroście ilości edukacji. Lekcja, jaką można wyciągnąć z powyższego wywodu, jest raczej oczywista. Społeczeństwo bardzo rzadko (prawie nigdy) nie dokona skrajnego wyboru, oznaczającego przesunięcie wszystkich zasobów do produkcji wyłącznie edukacji (punkt F) lub opieki zdrowotnej (punkt A). Co więcej, korzyści z przeznaczenia dodatkowych środków na edukację zależą od tego, jak dużo środków jest już zaangażowanych w tę dziedzinę. Jeśli na edukację przeznacza się obecnie bardzo niewiele zasobów, to ich zwiększenie może przynieść stosunkowo duże korzyści. Z drugiej strony, jeśli na edukację przeznaczono już znaczną pulę zasobów, skierowanie na nią dodatkowych środków przyniesie relatywnie mniejsze korzyści. Ten wzorzec jest na tyle powszechny, że ekonomiści nadali mu nazwę: prawo rosnącego kosztu alternatywnego (ang. law of increasing opportunity cost ). Zgodnie z nim wraz ze wzrostem produkcji dobra lub usługi wzrasta również koszt alternatywny produkcji dodatkowej jednostki danego dobra. Dzieje się tak, ponieważ niektóre zasoby są lepiej przystosowane do produkcji konkretnych produktów, a w kontekście innych sprawdzają się znacznie gorzej. Gdy władze publiczne różnego szczebla zwiększają wydatki na ograniczenie przestępczości, początkowy przyrost wielkości tego specyficznego dobra, jakim jest bezpieczeństwo publiczne, jest znaczny. Jeśli po ulicach miasta chodzi tylko jeden funkcjonariusz, to zatrudnienie drugiego znacznie zwiększy bezpieczeństwo mieszkańców. Koszt alternatywny, jaki społeczność tego miasta ponosi w związku z subiektywnym wzrostem poczucia bezpieczeństwa, jest stosunkowo niewielki (wynagrodzenie i wyposażenie jednego policjanta). Z pewnością dzięki drugiemu funkcjonariuszowi spadnie też liczba przestępstw i wykroczeń, do jakich będzie dochodzić. Oznacza to, że koszt alternatywny ograniczenia przestępczości może być stosunkowo niewielki. Aby jednak osiągnąć po raz kolejny ten sam procentowy spadek liczby przestępstw i taki sam wzrost poczucia bezpieczeństwa, nie wystarczy zatrudnić następnego policjanta. Teraz zapewne potrzebny byłby co najmniej nowy dwuosobowy patrol, a może nawet koordynator na komisariacie, który przyjmowałby zgłoszenia obywateli. Tym samym koszt alternatywny ograniczania przestępczości zdecydowanie rośnie. Gdyby jakiekolwiek miasto w jakimkolwiek kraju na świecie postanowiło całkowicie wyeliminować każdy przejaw przestępczości (łącznie z łamaniem przepisów drogowych), oznaczałoby to gigantyczny koszt, a może nawet byłoby niemożliwe. Nachylenie krzywej możliwości produkcyjnych pokazuje, że gdy przeznaczamy więcej zasobów na zapewnienie edukacji, przesuwając się od lewej do prawej wzdłuż osi poziomej, początkowy wzrost kosztu alternatywnego jest dość niewielki, ale stopniowo rośnie. Zatem nachylenie krzywej w pobliżu punktu przecięcia z osią pionową jest stosunkowo płaskie. I odwrotnie, gdy przeznaczamy więcej zasobów na opiekę zdrowotną, przesuwając się od dołu do góry na osi pionowej, początkowe spadki kosztów alternatywnych są dość duże, ale potem stopniowo maleją. Tak więc nachylenie krzywej możliwości produkcyjnych jest stosunkowo strome w pobliżu punktu przecięcia z osią poziomą. W ten sposób prawo rosnącego kosztu alternatywnego powoduje, że krzywa możliwości produkcyjnych ma wypukły kształt. Efektywność produkcji i alokacji Ekonomiści nie roszczą sobie prawa do wskazywania społeczeństwu, jakiego wyboru powinno dokonać na krzywej możliwości produkcyjnych. W gospodarce rynkowej, z demokratycznym sposobem wyłaniania władz na różnych szczeblach, taki wybór będzie wiązał się z kombinacją decyzji podejmowanych przez jednostki, przedsiębiorstwa i państwo. Ekonomiści, korzystając ze swojej wiedzy, mogą jednak pokazywać, że niektóre wybory są jednoznacznie lepsze od innych. Ta obserwacja opiera się na koncepcji efektywności. W potocznym rozumieniu efektywność odnosi się do braku marnotrawstwa. Nieefektywna maszyna pracuje przy wysokich kosztach, zaś efektywna działa przy kosztach niższych, ponieważ nie marnuje energii ani materiałów. Nieefektywna organizacja nie potrafi niczego wytworzyć na czas i charakteryzuje się wysokimi i przekraczającymi założony limit kosztami działalności, podczas gdy ta efektywna realizuje określone plany, jest skoncentrowana na założonym celu i funkcjonuje w ramach budżetu. Krzywa możliwości produkcyjnych może obrazować dwa rodzaje efektywności: efektywność produkcji i efektywność alokacji. pokazuje te koncepcje, wykorzystując krzywą transformacji przedstawiającą wybór społeczeństwa między opieką zdrowotną i edukacją. Efektywność produkcji i alokacji Efektywność produkcji oznacza, że niemożliwe jest wyprodukowanie większej ilości jednego dobra bez zmniejszenia produkcji innego (innych). Zatem wszystkie wybory (koszyki dóbr) leżące na danej krzywej możliwości produkcyjnych (krzywej transformacji), takie jak B, C i D, charakteryzują się efektywnością produkcji, ale kombinacja R, która znajduje się pod krzywą transformacji, już nie. Natomiast efektywność alokacji oznacza, że konkretna kombinacja wytwarzanych dóbr – czyli konkretny wybór na krzywej możliwości produkcyjnych – przedstawia koszyk, którego społeczeństwo najbardziej pragnie. Efektywność produkcji (ang. productive efficiency ) oznacza, że biorąc pod uwagę dostępne zasoby i technologię, niemożliwe jest wyprodukowanie większej ilości jednego dobra bez zmniejszenia produkcji innego (innych). Wszystkie koszyki dóbr reprezentowane przez punkty leżące na krzywej transformacji (A, B, C, D i F) na charakteryzują się efektywnością produkcji. Gdy przesuwamy się między tymi kombinacjami, albo zwiększa się ilość dostarczonej opieki zdrowotnej i spada ilość edukacji, albo odwrotnie, zwiększa się zasób edukacji i spada ilość wytworzonej opieki zdrowotnej. Jednak każda kombinacja zilustrowana punktem leżącym poniżej krzywej możliwości produkcyjnych jest nieefektywna i wiąże się z marnotrawstwem, ponieważ jej wybór oznacza, że można wyprodukować więcej jednego dobra bez zmniejszania produkcji drugiego lub zwiększyć równocześnie produkcję obu tych dóbr. Na przykład punkt R przedstawia nieefektywną kombinację produkcji edukacji i opieki zdrowotnej, ponieważ przy wyborze koszyka C możliwe jest zwiększenie produkcji obu dóbr: ilość edukacji oznaczona na osi poziomej jest większa w punkcie C niż w punkcie R (E 2 jest większe niż E 1 ), a ilość opieki zdrowotnej oznaczona na osi pionowej jest również większa w punkcie C niż w punkcie R (H 2 jest większe niż H 1 ). Efektywność alokacji (ang. allocative efficiency ) oznacza, że konkretna kombinacja ilości dóbr i usług na krzywej możliwości produkcyjnych, na którą zdecydowało się społeczeństwo, reprezentuje najbardziej pożądany przez to społeczeństwo wybór. Kwestia określenia, czego w istocie społeczeństwo pragnie najbardziej, jest przedmiotem rozważań na zajęciach z politologii, socjologii, filozofii, a także ekonomii. Najbardziej podstawowa definicja efektywności alokacji oznacza, że producenci dostarczają taką ilość (liczbę) każdego produktu, jakiej żądają konsumenci. Tylko jeden z wyborów efektywnych produkcyjnie będzie spełniał definicję efektywności alokacyjnej dla całego społeczeństwa. Dlaczego społeczeństwo musi wybierać? W rozdziale dowiedzieliśmy się, że każde społeczeństwo boryka się z problemem rzadkości zasobów, czyli konfliktem między ograniczonymi zasobami a potrzebami, których nie da się za ich pomocą zaspokoić. Krzywa możliwości produkcyjnych ilustruje wybory związane z tym dylematem. Każda gospodarka może wykorzystać dwie drogi, aby zwiększyć produkcję wszystkich dóbr. Pierwszą jest odkrycie, że dotychczasowy sposób wykorzystywania zasobów był nieefektywny, zatem zmieniając go na bardziej efektywny, może wytwarzać większą ilość (liczbę) wszystkich produktów albo przynajmniej części z nich, nie obniżając jednocześnie poziomu produkcji pozostałych. W modelu możliwość ta zostanie zilustrowana przesunięciem punktu symbolizującego wybraną kombinację dóbr na krzywą możliwości produkcyjnych. Druga droga to wzrost – na przestrzeni lat – wolumenu zasobów, którymi dana gospodarka dysponuje (np. zwiększanie się dostępnej ilości pracy i kapitału). Gdy tak się dzieje, krzywa możliwości produkcyjnych będzie przesuwała się na zewnątrz układu współrzędnych i społeczeństwo będzie w stanie wyprodukować większą ilość wszystkich dóbr. Jednak odkrycie i wdrożenie nowych, bardziej efektywnych metod produkcji wymaga czasu, podobnie zresztą jak przyrost zasobu dóbr, które wykorzystujemy do wytwarzania innych towarów. A to oznacza, że wzrost gospodarczy ma charakter stopniowy. Dlatego społeczeństwo musi nieustannie dokonywać wyborów typu „coś za coś”. Dla rządzących proces ten często wiąże się z próbą określenia, w jakich obszarach dodatkowe wydatki mogą przynieść najwięcej korzyści, a w których ich redukcja wywoła najmniej szkód. Na poziomie przedsiębiorstw mechanizm rynkowy zapewnia koordynację procesu, w ramach którego firmy starają się wytwarzać dobra i usługi w ilości, jakości i cenie, jakich pożądają potencjalni klienci. Jednak zarówno w przypadku decyzji podejmowanych na szczeblu rządowym, jak i wywołanej mechanizmem rynkowym reakcji przedsiębiorstw, w krótkim okresie wzrost produkcji jednego dobra zazwyczaj powoduje kompensujący go spadek produkcji w innym segmencie gospodarki. Krzywa możliwości produkcyjnych i przewaga komparatywna Chociaż każde społeczeństwo musi wybrać, jaką ilość lub liczbę każdego dobra lub usługi chce skonsumować, nie musi samodzielnie wytwarzać każdego dobra, którego potrzebuje. Dość często ilość towaru, który dany kraj zdecyduje się wyprodukować lub też decyzja o tym, żeby w ogóle produkować dany towar, zależy od tego, jak drogie jest jego wytworzenie w porównaniu z zakupem za granicą. Jak to już wskazaliśmy wcześniej, kształt krzywej możliwości produkcyjnych danego kraju dostarcza nam informacji o wyborze dokonywanym między poświęceniem zasobów na produkcję jednego lub drugiego towaru. W szczególności jej nachylenie informuje nas o koszcie alternatywnym wytworzenia jeszcze jednej jednostki dobra reprezentowanego na osi poziomej w stosunku do drugiego dobra, przedstawionego na osi pionowej. Kraje mają zwykle różne koszty alternatywne produkcji określonego dobra, m.in. z powodu różnic klimatycznych, położenia geograficznego, posiadanych technologii lub umiejętności obywateli. Załóżmy, że dwa kraje, Polska i Brazylia, muszą podjąć decyzję o areale dwóch upraw: trzciny cukrowej i pszenicy. Ze względu na swoje warunki klimatyczne Brazylia może osiągnąć całkiem spore plony trzciny cukrowej z hektara, ale pszenicy relatywnie niewielkie. I odwrotnie, Polska może produkować duże ilości pszenicy z każdego hektara, ale bardzo niewiele (o ile w ogóle) trzciny cukrowej. Tym samym Brazylia ma niższy koszt alternatywny produkcji trzciny cukrowej (wyrażony w utraconej produkcji pszenicy) niż Polska. I odwrotnie: Polska ma niższy koszt alternatywny produkcji pszenicy niż Brazylia. Obie konstatacje można przedstawić za pomocą krzywych możliwości produkcyjnych wykreślonych dla tych dwóch krajów na . Krzywa możliwości produkcyjnych pszenicy i trzciny cukrowej dla Polski i Brazylii Krzywa możliwości produkcyjnych Polski jest bardziej płaska niż w przypadku Brazylii, co oznacza, że koszt alternatywny wytworzenia pszenicy (wyrażony jako utracona produkcja trzciny cukrowej) jest niższy w Polsce niż w Brazylii. I odwrotnie, koszt alternatywny wytworzenia trzciny cukrowej jest niższy w Brazylii. Polska ma przewagę komparatywną w przypadku pszenicy, a Brazylia w przypadku trzciny cukrowej. Gdy jakiś kraj może wyprodukować dobro przy niższym koszcie alternatywnym niż inny kraj, mówimy, że ma przewagę komparatywną (ang. comparative advantage ) w zakresie produkcji tego dobra. Przewaga komparatywna to nie to samo co przewaga absolutna, kiedy kraj może po prostu wyprodukować więcej danego dobra. W naszym przykładzie Brazylia ma absolutną przewagę pod względem produkcji trzciny cukrowej, a Polska ma absolutną przewagę pod względem produkcji pszenicy. Można to łatwo zauważyć, analizując skrajne punkty produkcji na krzywych możliwości produkcyjnych obu krajów. Gdyby Brazylia przeznaczyła wszystkie swoje zasoby na produkcję pszenicy, produkowałaby w punkcie A. Gdyby jednak zamiast tego przeznaczyła wszystkie swoje zasoby na produkcję trzciny cukrowej, produkowałaby znacznie więcej niż Polska w punkcie B. Nachylenie krzywej możliwości produkcyjnych informuje nas o koszcie alternatywnym wytworzenia dodatkowej jednostki pszenicy. Chociaż nachylenie nie jest stałe we wszystkich punktach na krzywej, jest całkiem oczywiste, że krzywa dla Brazylii jest znacznie bardziej stroma niż w przypadku Polski, a zatem koszt alternatywny wyprodukowania jednostki pszenicy jest ogólnie wyższy w Brazylii. Kiedy kraje angażują się w handel, specjalizują się w produkcji towarów, w których mają przewagę komparatywną, a część tej produkcji wymieniają na towary, w których przewagi komparatywnej nie mają. Dzięki wymianie handlowej producenci wytwarzają te towary, których koszt alternatywny jest najniższy, więc całkowita produkcja wzrasta, z korzyścią dla obu stron. Key Concepts and Summary Krzywa możliwości produkcyjnych określa zbiór wyborów, przed jakimi staje społeczeństwo, w odniesieniu do kombinacji dóbr i usług, które może wytworzyć, biorąc pod uwagę dostępne zasoby. Krzywa przybiera zazwyczaj postać linii wypukłej, a nie prostej. Wybory zilustrowane punktami leżącymi powyżej krzywej są nieosiągalne, a te leżące poniżej niej – nieefektywne. Z biegiem czasu rozwijająca się gospodarka będzie miała tendencję do przesuwania krzywej możliwości produkcyjnych coraz dalej na zewnątrz. Zgodnie z prawem malejących przychodów (ang. law of diminishing returns ), w miarę jak krańcowe przyrosty zasobów są przeznaczane na produkcję, krańcowy wzrost produkcji będzie coraz mniejszy. Wszystkie wybory na krzywej możliwości produkcyjnych charakteryzują się efektywnością produkcji: oznacza to, że niemożliwe jest wykorzystanie zasobów społeczeństwa do produkcji większej ilości jednego dobra bez zmniejszania produkcji drugiego. Konkretny wybór wzdłuż krzywej możliwości produkcyjnych, który odzwierciedla kombinację towarów preferowaną przez społeczeństwo, jest wyborem charakteryzującym się efektywnością alokacji. Kształt krzywej możliwości produkcyjnych może się różnić w zależności od kraju, bo różne państwa mają przewagi komparatywne w zakresie produkcji różnych towarów. Całkowita produkcja może wzrosnąć, jeśli kraje specjalizują się w produkcji towarów, w przypadku których mają przewagę komparatywną, i wymieniają część swojej produkcji na inne dobra. Self-Check Questions Wróć do przykładu z . Załóżmy, że nastąpiła poprawa technologii, która umożliwia poprawę standardu opieki zdrowotnej przy tej samej ilości użytych zasobów. Jak wpłynęłoby to na krzywą możliwości produkcyjnych, a w szczególności na koszt alternatywny zapewnienia edukacji? Ze względu na poprawę technologii punkt przecięcia krzywej z osią pionową znajdowałby się wyżej (przy większej ilości zapewnianej opieki zdrowotnej). Innymi słowy, krzywa możliwości produkcyjnych obróciłaby się zgodnie z ruchem wskazówek zegara wokół punktu przecięcia krzywej z osią poziomą. Sprawiłoby to, że krzywa byłaby bardziej stroma, co odpowiadałoby wzrostowi kosztu alternatywnego zapewnienia edukacji, ponieważ środki przeznaczone na zapewnienie edukacji oznaczałyby teraz rezygnację z większej ilości opieki zdrowotnej. Czy jakiś kraj może produkować w sposób, który stanowi alokację efektywną, ale jest nieefektywny pod względem produkcji? Nie. Efektywność alokacyjna wymaga efektywności produkcyjnej, ponieważ dotyczy wyborów na krzywej możliwości produkcyjnych. Jakie są podobieństwa między linią ograniczenia budżetowego konsumenta a krzywą możliwości produkcyjnych społeczeństwa, nie tylko te widoczne na wykresie, ale i interpretacyjne? Zarówno linia ograniczenia budżetowego, jak i krzywa możliwości produkcyjnych pokazują ograniczenia, w ramach których działamy. Obie ilustrują kompromis między posiadaniem większej ilości jednego dobra a mniejszej drugiego. Obie przedstawiają koszt alternatywny graficznie, jako nachylenie danej linii. Review Questions Czym jest przewaga komparatywna? Co ilustruje krzywa możliwości produkcyjnych? Dlaczego krzywa możliwości produkcyjnych jest zwykle rysowana jako linia wypukła, a nie prosta? Wyjaśnij, dlaczego społeczeństwa nie mogą dokonać wyboru powyżej swojej krzywej możliwości produkcyjnych i nie powinny dokonywać wyboru poniżej tej krzywej. Co to są malejące przychody krańcowe? Czym jest efektywność produkcji, a czym efektywność alokacji? Critical Thinking Questions W czasie II wojny światowej niemieckie fabryki zostały zniszczone. Niemcy poniosły również wiele ofiar w ludziach, zarówno wśród żołnierzy, jak i cywilów. Jak wojna wpłynęła na krzywą możliwości produkcyjnych Niemiec? Oczywiste jest, że nieefektywność produkcyjna jest marnotrawstwem, ponieważ zasoby są wykorzystywane w sposób, który prowadzi do wytworzenia mniejszej ilości dóbr i usług, niż byłoby to możliwe. Dlaczego marnotrawstwem jest również nieefektywność alokacji? efektywność alokacji (ang. allocative efficiency ) sytuacja, w której koszyk produkowanych towarów reprezentuje kombinację, której społeczeństwo pragnie najbardziej przewaga komparatywna (ang. comparative advantage ) sytuacja, w której kraj może wyprodukować dobro po niższych kosztach (wyrażonych za pomocą utraconej produkcji innych dóbr); gdy kraj ma niższy koszt alternatywny produkcji prawo malejących przychodów (ang. law of diminishing returns ) dodatkowe zasoby przeznaczone na produkcję dobra lub usługi przekładają się na malejącą, krańcową korzyść z tego dodatkowego wzrostu prawo malejącej produktywności krańcowej (ang. law of diminishing returns ) patrz: prawo malejących przychodów krzywa możliwości produkcyjnych (ang. production possibilities frontier ) diagram pokazujący efektywne kombinacje produkcji dwóch dóbr, które gospodarka może wytworzyć, biorąc pod uwagę dostępne zasoby krzywa jednakowego nakładu (ang. production possibilities frontier ) patrz: krzywa możliwości produkcyjnych krzywa transformacji (ang. production possibilities frontier ) patrz: krzywa możliwości produkcyjnych krzywa transformacji produktu (ang. production possibilities frontier ) patrz: krzywa możliwości produkcyjnych granica możliwości produkcyjnych (ang. production possibilities frontier ) patrz: krzywa możliwości produkcyjnych efektywność produkcji (ang. productive efficiency ) sytuacja, w której niemożliwe jest wyprodukowanie większej ilości jednego dobra (lub usługi) bez zmniejszenia ilości produkcji innego dobra (lub usługi)", "section": "Krzywa możliwości produkcyjnych i wybory społeczne", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Konfrontacja z zastrzeżeniami do podejścia ekonomicznego Po przeczytaniu tego podrozdziału będziesz w stanie: Samodzielnie ocenić racjonalność argumentów krytyków czysto ekonomicznego podejścia do procesu decyzyjnego Interpretować wykresy ilustrujące wybór typu „coś za coś” Rozróżniać stwierdzenia o charakterze normatywnym i pozytywnym Nawet jeśli zrozumiemy czysto ekonomiczne podejście do procesu podejmowania decyzji, możemy czuć się niekomfortowo podczas jego stosowania. Źródła ewentualnego dyskomfortu zwykle dzielą się na dwie kategorie zilustrowane następującymi stwierdzeniami: ludzie nie postępują w sposób, który pasuje do ekonomicznego sposobu myślenia, nawet jeśli ludzie postępowaliby w ten sposób, to – zdaniem niektórych – powinni starać się tego unikać. Rozważmy kolejno te argumenty. Pierwszy zarzut: ludzie, przedsiębiorstwa i społeczeństwo nie postępują zgodnie z zasadami opisywanymi przez ekonomistów Ekonomiczne podejście do procesu podejmowania decyzji wydaje się wymagać więcej informacji, niż posiada większość osób, i większej ostrożności, jaką mało kto faktycznie wykazuje. W końcu czy ty lub któryś z twoich znajomych wyznaczacie ograniczenie budżetowe i szepczecie pod nosem o maksymalizacji użyteczności, zanim pójdziecie do centrum handlowego? Czy członkowie polskiego parlamentu analizują krzywą możliwości produkcyjnych przed corocznym głosowaniem nad budżetem? Ludzie i społeczeństwa działają w sposób chaotyczny, który nie przypomina zgrabnych ograniczeń budżetowych lub płynnie wyginających się krzywych możliwości produkcyjnych. Jednak podejście ekonomiczne może być użytecznym sposobem analizy i zrozumienia kompromisów związanych z podejmowaniem decyzji. Aby docenić tę kwestię, wyobraź sobie przez chwilę, że grasz w koszykówkę, dryblujesz w prawo i rzucasz w lewo do kolegi z drużyny, który biegnie w kierunku kosza. Fizyk lub inżynier może określić prawidłową prędkość gracza i trajektorię podania, biorąc pod uwagę szybkość wszystkich obiektów znajdujących się na boisku oraz wagę i sprężystość piłki. Jednak grając w koszykówkę, nie wykonujesz żadnego z tych obliczeń. Po prostu podajesz piłkę, a jeśli jesteś dobrym graczem, zrobisz to z dużą dokładnością. Ktoś mógłby się spierać: „Równania naukowe dotyczące gry wymagają znacznie większej wiedzy z zakresu fizyki i o wiele bardziej szczegółowych informacji na temat prędkości poruszania się i ciężaru, niż w rzeczywistości posiada koszykarz, więc musi to być nierealistyczny opis tego, jak odbywają się podania w koszykówce”. Ta reakcja byłaby błędna. Fakt, że dobry gracz dzięki wprawie i umiejętnościom może rzucać piłką dokładnie, bez wykonywania obliczeń, nie oznacza przecież, że obliczenia te są błędne. Podobnie, z ekonomicznego punktu widzenia, ktoś, kto co tydzień robi zakupy spożywcze, ma dużą praktykę w budowaniu zestawu towarów zapewniającego mu wysoką użyteczność, nawet jeśli nie formułuje swoich decyzji w kategoriach ograniczenia budżetowego. Instytucje rządowe mogą działać niedoskonale i powoli, ale generalnie w demokratyczną formę rządów wpisana jest presja ze strony wyborców i organizacji społecznych, aby dokonywać wyborów, które są w największym stopniu preferowane przez członków społeczeństwa. Tak więc myśląc o ekonomicznych podstawach sposobu zachowania grup ludzi, przedsiębiorstw i całych społeczności, zasadne jest przeanalizowanie ich – w pierwszym kroku – za pomocą narzędzi pochodzących z arsenału ekonomistów. Temat ten zostanie rozwinięty w rozdziale o wyborach konsumenckich ( ) w części poświęconej ekonomii behawioralnej. Drugi zarzut: ludzie, przedsiębiorstwa i społeczeństwo nie powinny działać zgodnie z zasadami opisywanymi przez ekonomistów Ekonomiczny sposób opisu procesu podejmowania decyzji przedstawia ludzi jako egoistyczne indywidua. Dla niektórych krytyków tego podejścia, nawet jeśli interes własny jest właściwym opisem tego, jak ludzie faktycznie się zachowują, taki sposób postępowania jest niemoralny. Twierdzą oni, że opis rzeczywistości kładący nacisk na egoistyczne wybory może zachęcać do takiego właśnie postępowania, tymczasem ludzi należy raczej uczyć większej dbałości o innych. Na tak sformułowane zarzuty ekonomiści mają kilka odpowiedzi. Po pierwsze, ekonomia nie jest formą wychowania moralnego. Stara się ona raczej opisać zachowanie podmiotów gospodarczych tak, jak ono w istocie wygląda. Filozofowie dokonują rozróżnienia między stwierdzeniami pozytywnymi (ang. positive statement ), które opisują świat takim, jaki on jest, a stwierdzeniami normatywnymi (ang. normative statement ), które opisują, jaki świat być powinien – zdaniem tego, kto owe poglądy formułuje. Pozytywne stwierdzenia są oparte na faktach. Mogą być prawdziwe lub fałszywe, ale dają się przetestować, przynajmniej co do zasady. Wypowiedzi normatywne są subiektywnym wyrażeniem opinii. Nie możemy ich przetestować, dowodząc ich prawdziwości lub fałszu. Są po prostu poglądami opartymi na czyichś sądach wartościujących. Na przykład ekonomista może przeanalizować projekt rozbudowy systemu metra w Warszawie. Jeśli oczekiwane korzyści przewyższają koszty, stwierdzi, że projekt jest sensowny – to przykład analizy pozytywnej. Inny ekonomista, zajmujący się polską transformacją systemową, sformułuje opinię, zgodnie z którą wysokość zasiłków wprowadzonych na początku lat 90. XX w. powinna być wyższa, ponieważ Polska była wówczas krajem wystarczająco bogatym, by mogła sobie pozwolić na bardziej hojne wsparcie osób, które utraciły pracę – to przykład analizy normatywnej. Nawet jeśli granica między stwierdzeniami pozytywnymi a normatywnymi nie zawsze jest czytelna, analiza ekonomiczna stara się opierać na badaniu rzeczywistych ludzi tworzących rzeczywistą gospodarkę. Na szczęście jednak założenie, że jednostki kierują się wyłącznie własnym interesem, jest uproszczeniem dotyczącym ludzkiej natury. Dowodów nie musimy szukać daleko – znajdziemy je już w pracach Adama Smitha , ojca współczesnej ekonomii. Pierwsze zdanie jego książki Teoria uczuć moralnych (ang. The Theory of Moral Sentiments ) bardzo wyraźnie to ujmuje: Jakkolwiek samolubny może być człowiek, ewidentnie w jego naturze są zakorzenione pewne zasady, które powodują, że interesuje go zadowolenie innych osób, i czynią owo zadowolenie ważnym dla niego, chociaż nie czerpie on z tego niczego poza przyjemnością oglądania go. Jasne jest, że jednostki są zarówno egoistyczne, jak i altruistyczne. Po drugie, egoistyczne zachowanie i dążenie do zysku możemy nazwać inaczej, np. osobistym wyborem i wolnością. Możliwość dokonywania osobistych wyborów dotyczących zakupów, pracy i oszczędzania jest ważną wolnością osobistą. Niektórzy ludzie mogą wybierać związane z pracą pod presją wysoko płatne aktywności, aby móc dużo zarabiać i wydawać. Inni mogą przeznaczyć dużą część swoich zarobków na cele charytatywne lub ofiarować je przyjaciołom i rodzinie. Jeszcze inni mogą poświęcić się zajęciu wymagającemu czasu, energii i wiedzy, ale nieoferującemu wysokich korzyści finansowych, wykonując zawód nauczyciela w szkole podstawowej lub pracownika socjalnego. Wreszcie znajdą się i tacy, którzy wybiorą pracę pochłaniającą dużo czasu lub zapewniającą wysoki poziom dochodów, ale nadal pozostawiającą czas dla rodziny, przyjaciół i na kontemplację uroków życia. Niektórzy ludzie mogą postawić na zatrudnienie w dużej korporacji; inni mogą preferować prowadzenie własnego biznesu. Wolność ludzi do dokonywania własnych wyborów ekonomicznych ma wartość moralną, którą warto szanować. Czy diagram pod inną nazwą to jednak to samo? Kiedy studiujesz ekonomię, lawina wykresów i schematów może cię przytłaczać. Pamiętaj jednak, że twoim celem powinno być rozpoznanie ich wspólnej logiki, a nie zapamiętywanie każdego z nich. Ten rozdział wykorzystuje tylko jeden podstawowy diagram, chociaż przedstawiamy go z różnymi zestawami etykiet. Ograniczenie budżetu konsumenta i krzywa możliwości produkcyjnych dla społeczeństwa jako całości to ten sam podstawowy schemat. pokazuje linię ograniczenia budżetowego i krzywą możliwości produkcyjnych dla dwóch dóbr, Dobra 1 i Dobra 2. Schematy skupiające się na wyborach zawsze opierają się na trzech podstawowych zagadnieniach: rzadkości zasobów, wyborze typu „coś za coś\" i efektywności ekonomicznej. Pierwszym zagadnieniem jest rzadkość zasobów (ang. scarcity ). Niemożliwe jest posiadanie nieograniczonych ilości obu towarów. Nawet jeśli zmienią się ograniczenie budżetowe lub krzywa możliwości produkcyjnych, rzadkość zasobów w dalszym ciągu będzie ograniczać wolumen dóbr, jaki możemy nabyć. Drugim zagadnieniem są wybory typu „coś za coś” ( trade off ). Jak pokazano za pomocą linii ograniczenia budżetowego i krzywej możliwości produkcyjnych, jeśli chce się kupić jedno dobro lub też zwiększyć jego produkcję w gospodarce, trzeba zmniejszyć konsumpcję lub produkcję drugiego dobra. Konieczne jest ograniczenie konsumpcji jednego dobra, aby zyskać więcej drugiego. Szczegóły opisujące ten wybór mogą być oczywiście bardzo różne. W przypadku ograniczenia budżetowego parametry wyboru (z ilu jednostek jednego dobra trzeba zrezygnować, aby nabyć kolejną jednostkę drugiego ) są określone przez relację cen dwóch analizowanych dóbr. Relacja cen pozostaje stała, w związku z czym wybór można opisać za pomocą linii prostej. Z kolei wybór w przypadku krzywej możliwości produkcyjnych ilustruje linia wypukła, ponieważ zgodnie z prawem malejących przychodów, gdy przeznaczamy więcej zasobów na produkcję danego dobra, korzyści krańcowe mają tendencję do zmniejszania się. Niezależnie od konkretnego kształtu wykresu wybory typu „coś za coś” leżą u podstaw każdego z nich. Trzecim zagadnieniem jest efektywność ekonomiczna (ang. economic efficiency ), czyli czerpanie jak największych korzyści z ograniczonych zasobów. Wszystkie wybory odzwierciedlane przez kombinację dwóch dóbr, które ilustrują punkty położone na krzywej możliwości produkcyjnych, wykazują efektywność produkcji, ponieważ w takich przypadkach nie ma możliwości zwiększenia wytwarzania jednego dobra bez zmniejszenia produkcji drugiego. Sytuacja wygląda podobnie, gdy dana osoba dokonuje wyboru w ramach ograniczenia budżetowego. Wtedy również nie ma możliwości zwiększenia konsumpcji jednego dobra bez zmniejszenia spożycia drugiego. Wybór kombinacji dwóch produktów, która jest preferowana społecznie, lub wybór koszyka dwóch dóbr odzwierciedlającego preferencje konkretnej osoby na linii ograniczenia budżetowego będą charakteryzowały się efektywną alokacją zasobów. Schemat ograniczeń budżetowych / możliwości produkcyjnych będzie się jeszcze niejednokrotnie powtarzał w tej publikacji. Niektóre przykłady obejmują wykorzystanie takich diagramów do analizy handlu, ochrony środowiska i wzrostu gospodarczego, nierówności dochodów i produkcji oraz wyboru między konsumpcją a inwestycjami. Nie pozwól, aby różne etykiety cię zmyliły. Diagram ograniczeń budżetowych / możliwości produkcyjnych jest zawsze tylko narzędziem do uważnego przemyślenia wyboru typu „coś za coś” i efektywności w konkretnej sytuacji. Wybory typu „coś za coś” Zarówno zestaw możliwych wyborów konsumenta (ścieżka ograniczenia budżetowego), jak i krzywa możliwości produkcyjnych pokazują ograniczenia, w ramach których działają pojedynczy konsumenci i społeczeństwo jako całość. Oba wykresy ilustrują konsekwencje wyboru typu „coś za coś”, który powoduje, że więcej jednego dobra pozyskujemy zawsze kosztem zmniejszenia ilości drugiego. Po trzecie, egoistyczne zachowanie może prowadzić do pozytywnych rezultatów społecznych. Na przykład kiedy ludzie ciężko pracują, aby zarobić na życie, wytwarzają dobra. Konsumenci, którzy szukają najlepszych ofert, będą zachęcać przedsiębiorstwa do oferowania towarów dóbr i usług spełniających ich potrzeby. Adam Smith , pisząc swoje najważniejsze dzieło Bogactwo narodów, nazwał tę własność niewidzialną ręką (ang. invisible hand ). Opisując interakcje konsumentów i producentów w gospodarce rynkowej, Smith napisał: Każda osoba… na ogół rzeczywiście nie zamierza działać w imię interesu publicznego ani nie wie, jak bardzo swoim działaniem przyczynia się do jego urzeczywistnienia. Preferując wsparcie przemysłu krajowego względem przemysłu zagranicznego, dąży ona tylko do zapewnienia sobie bezpieczeństwa; a kierując tym przemysłem w taki sposób, aby jego produkt mógł mieć jak największą wartość, kieruje się ona tylko swoimi korzyściami. I jest w tym, jak w wielu innych przypadkach, prowadzona przez niewidzialną rękę, aby osiągać cel, który nie był częścią jej zamiarów… Realizując swój własny interes, często przyczynia się do realizacji interesu społeczeństwa skuteczniej niż wtedy, gdyby naprawdę zamierzała go promować. Metafora niewidzialnej ręki sugeruje, że z samolubnych działań jednostki może wyłonić się dobro społeczne. Po czwarte, nawet ludzie, którzy skupiają się na własnym interesie, podejmując wybory ekonomiczne, w innych sferach życia często postępują zupełnie inaczej. Na przykład prosząc pracodawcę o podwyżkę lub negocjując zakup samochodu, możesz skupić się wyłącznie na własnym interesie. Następnie możesz skoncentrować się na potrzebach innych ludzi, gdy zgłosisz się na ochotnika do czytania dzieciom książek w pobliskiej bibliotece, pomożesz przyjacielowi przeprowadzić się do nowego mieszkania lub przekażesz pieniądze na cele charytatywne. Interes własny jest rozsądnym punktem wyjścia do analizy wielu decyzji ekonomicznych bez konieczności sugerowania, że ludzie nigdy nie robią niczego, co nie przekłada się na ich wąsko rozumianą korzyść. Wybory... do jakiego stopnia? Czego się nauczyliśmy? Wiemy, że rzadkość zasobów wpływa na wszystkie dokonywane przez nas wybory. Ekonomista skonfrontowany z kwestią wyboru ścieżki edukacyjnej może argumentować, że ludzie nie decydują się na studia licencjackie i magisterskie, ponieważ nie mają wystarczających zasobów, które umożliwiłyby im taki wybór lub ponieważ ich dochody są zbyt niskie i/lub cena studiów jest zbyt wysoka. Stopień licencjata lub magistra może nie być dostępny w ich zestawie możliwości. Cena studiów może być zbyt wysoka nie tylko dlatego, że bezpośredni koszt w postaci czesnego (i być może również zakwaterowania i wyżywienia) jest zbyt wysoki. Ekonomista może również stwierdzić, że dla wielu osób pełny koszt alternatywny uzyskania tytułu licencjata lub magistra jest zbyt wysoki. Te osoby nie chcą lub nie są w stanie dokonać wyboru, który doprowadzi je wprawdzie do tytułu licencjata lub magistra i w przyszłości zapewni wyższe zarobki, ale oznacza również, że aby studiować, trzeba zrezygnować z pełnoetatowej pracy i związanego z nią dochodu. Statystyki, które przedstawiliśmy na początku rozdziału, ujawniają informacje o wyborach międzyokresowych (ang. intertemporal choice ). Ekonomista może powiedzieć, że ludzie nie decydują się na uzyskanie dyplomu magistra, ponieważ aby zrealizować swoje plany, musieliby pożyczyć pieniądze, a odsetki, które musieliby w związku z tym zapłacić, wpłyną na ich dzisiejsze decyzje. Może się również zdarzyć, że niektórzy ludzie przedkładają bieżącą konsumpcję nad zakupy w przyszłości, więc wolą pracować teraz za niższą pensję i cieszyć się kupowanymi dobrami, zamiast odkładać tę konsumpcję do czasu ukończenia studiów. Key Concepts and Summary Ekonomiczny sposób myślenia zapewnia użyteczne podejście do zrozumienia ludzkich zachowań. Ekonomiści dokonują starannego rozróżnienia między twierdzeniami pozytywnymi, które opisują świat takim, jaki on jest, a twierdzeniami normatywnymi, wskazującymi, jaki świat być powinien zdaniem osób wypowiadających te twierdzenia. Nawet jeśli ekonomiczna analiza korzyści i kosztów będących następstwem różnych zdarzeń lub decyzji politycznych prowadzi pośrednio lub wprost do konkluzji normatywnych, mówiących, jaki powinien być sposób organizacji różnych aspektów ludzkiej działalności, to jest zakorzeniona w pozytywnej analizie tego, jak faktycznie zachowują się ludzie, przedsiębiorstwa i rządy, a nie jak podmioty te powinny się zachowywać. Self-Check Questions Jednostki mogą nie działać w sposób racjonalny, wyrachowany, opisany przez ekonomiczny model podejmowania decyzji, uwzględniający użyteczność i koszty krańcowe, ale czy możesz wskazać sytuacje, w których zachowują się w przybliżeniu w ten właśnie sposób? Kiedy ludzie porównują koszt sztuki towaru w sklepie spożywczym lub cechy jednego produktu z własnościami innego zachowują się mniej więcej tak, jak opisuje model. Czy artykuł w gazecie wzywający do realizowania określonego wariantu polityki gospodarczej byłby przykładem stwierdzeń pozytywnych, czy normatywnych? Ponieważ artykuł apeluje o konkretne rozwiązania, które zdaniem jego autora należałoby wdrożyć, wypada go uznać za normatywny. Czy badanie naukowe dotyczące wpływu spożywania napojów bezalkoholowych na rozwój poznawczy dzieci miałoby charakter pozytywny, czy normatywny? Zakładając, że badanie nie zajmuje wyraźnego stanowiska na temat tego, czy spożywanie napojów gazowanych jest dobre, czy złe, ale po prostu przedstawia wyniki dociekań naukowych, należy je uznać za pozytywne. Review Questions Jaka jest różnica między stwierdzeniem pozytywnym a normatywnym? Czy ekonomiczny model podejmowania decyzji ma stanowić dosłowny opis tego, w jaki sposób jednostki, przedsiębiorstwa i państwa faktycznie podejmują decyzje? Wskaż cztery możliwe argumenty, które zaprzeczą poglądowi, jakoby ludzie nie powinni zachowywać się w sposób opisany w tym rozdziale. Critical Thinking Questions Jakie założenia dotyczące funkcjonowania gospodarki muszą być prawdziwe, aby mechanizm „niewidzialnej ręki rynku\" działał? W jakim stopniu te założenia są aktualne w realnym świecie? Czy twoim zdaniem ekonomiści mają jakieś wyróżniające ich umiejętności lub wiedzę umożliwiającą formułowanie twierdzeń normatywnych? Innymi słowy, mają oni oczywiście doświadczenie w formułowaniu twierdzeń pozytywnych (tj. jakie będą konsekwencje określonych działań ), np. na temat skutków określonej polityki gospodarczej, ale czy mają specjalne kompetencje pozwalające ocenić, czy polityka ta powinna być r ealizowana, czy nie? References Smith, Adam. “Of Restraints upon the Importation from Foreign Countries.” In The Wealth of Nations . London: Methuen & Co., 1904, first pub 1776), I.V. 2.9. Smith, Adam. “Of the Propriety of Action.” In The Theory of Moral Sentiments . London: A. Millar, 1759, 1. niewidzialna ręka (ang. invisible hand ) koncepcja Adama Smitha, w myśl której zachowanie jednostek zgodne z własnym interesem bardzo często prowadzi do pozytywnych skutków społecznych stwierdzenie normatywne (ang. normative statement ) stwierdzenie, które opisuje, jak powinien wyglądać świat zdaniem osoby, która to stwierdzenie wypowiada stwierdzenie pozytywne (ang. positive statement ) stwierdzenie, które opisuje świat takim, jaki on jest", "section": "Konfrontacja z zastrzeżeniami do podejścia ekonomicznego", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Targ owocowo–warzywny Ekologiczne warzywa i owoce, które są uprawiane i sprzedawane w tym samym regionie, teoretycznie powinny kosztować mniej niż żywność standardowa, ponieważ niższe są koszty ich transportu. Zazwyczaj jednak wcale tak nie jest. (Źródło: modyfikacja pracy autorstwa Natalie Maynor/Flickr Creative Commons) Dlaczego nie mamy wystarczająco dużo taniej żywności ekologicznej? Żywność ekologiczna (organiczna) jest coraz bardziej popularna, nie tylko w Polsce, ale na całym świecie. Do niedawna, aby kupić tego typu owoce i warzywa, konsumenci musieli wybierać się na zakupy do wyspecjalizowanych sklepów lub na targi produktów eko. Obecnie są one dostępne w większości warzywniaków i popularnych supermarketów. Krótko mówiąc, żywność ekologiczna stała się częścią normalnego handlu. Czy kiedykolwiek zastanawialiście się, dlaczego żywność organiczna kosztuje więcej niż standardowa? Dlaczego, powiedzmy, organiczne jabłka, choć są mniejsze i nie wyglądają tak ładnie, kosztują w Warszawie 10 zł za kilogram, podczas gdy za ich standardowy odpowiednik trzeba zapłacić 3–4 zł? Podobna relacja cen występuje w przypadku prawie wszystkich produktów ekologicznych dostępnych na rynku. Skoro duża część żywności organicznej jest produkowana lokalnie, to potrzeba mniej czasu i paliwa, aby dostarczyć ją na rynek. Czy w takim razie nie powinna być tańsza? Jakie czynniki przeciwdziałają spadkowi cen? Okazuje się, że czynniki te mają całkiem sporo wspólnego z zagadnieniami poruszanymi w niniejszym rozdziale, czyli popytem i podażą. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Czym są popyt, podaż oraz równowaga na rynku dóbr i usług Jakie czynniki wpływają na zmiany popytu i podaży na dobra i usługi W jaki sposób zmianie ulegają cena i ilość zapewniające równowagę na rynku oraz jakie cztery etapy składają się na ten proces Czym są ceny maksymalne i minimalne W czasie aukcji oferent płaci tysiące dolarów za suknię, którą nosiła Whitney Houston. Kolekcjoner wydaje małą fortunę na kilka rysunków wykonanych przez Johna Lennona. Ludzie zwykle reagują na podobne transakcje na dwa sposoby. Albo zdumiewa ich fakt, że ktoś jest gotów zapłacić tak wysokie kwoty za tego rodzaju dobra, albo uważają, że są to przedmioty rzadkie i pożądane, więc ceny wydają się im adekwatne. Odwiedź tę witrynę , aby zobaczyć, jak dziwne rzeczy (i za jakie pieniądze!) ludzie kupują tylko dlatego, że należały one do celebrytów (np. guma do żucia Britney Spears albo uwięziony w słoiku oddech Brada Pitta i Angeliny Jolie). Te przykłady w interesujący sposób pokazują związek popytu i podaży. Gdy ekonomiści rozmawiają o cenach, bardziej niż formułowanie sądów normatywnych interesuje ich próba zrozumienia tego, co w istocie determinuje ceny i dlaczego się one zmieniają. Rozważcie cenę dobra, z zakupami którego większość z nas ma do czynienia dość regularnie, a mianowicie paliwa. Dlaczego w październiku 2021 r. średnia cena litra oleju napędowego sięgała w Polsce niemal 6 zł? Dlaczego jeszcze rok wcześniej była o blisko 30% niższa? Aby wyjaśnić te ruchy cen, ekonomiści skupiają się na determinantach określających, jaką cenę nabywcy i sprzedawcy paliwa są gotowi zaakceptować. Jak się okazuje, ceny paliw w okresie letnim są prawie zawsze wyższe od cen w styczniu tego samego roku. Prawdopodobną przyczyną stojącą za tą zależnością jest fakt, że ludzie latem znacznie więcej podróżują, a więc są gotowi zapłacić za paliwo więcej. Z tego też powodu ceny paliw na stacjach benzynowych w miejscowościach wypoczynkowych – nad morzem, w górach, na Mazurach – zazwyczaj są wyższe niż w miejscach, które nie mają walorów turystycznych. Nie wyjaśnia to jednak gwałtownego wzrostu cen benzyny, z którym mieliśmy do czynienia w ciągu 2021 r. W czasie tych 12 miesięcy w grę wchodziły także inne czynniki, takie jak zmniejszenie podaży i zwiększenie popytu na ropę naftową. Ten rozdział wprowadza ekonomiczny model popytu i podaży – jeden z najważniejszych w całej ekonomii. Zaczniemy od określenia, w jaki sposób popyt i podaż determinują cenę i ilość będącą przedmiotem transakcji na rynkach dóbr i usług oraz w jaki sposób wahania popytu i podaży prowadzą do zmian tych cen i ilości oferowanych.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Podaż, popyt i równowaga na rynku dóbr i usług Po przeczytaniu tego podrozdziału będziesz w stanie: Wytłumaczyć pojęcia popytu, zapotrzebowania i prawa popytu Objaśnić pojęcia podaży, ilości oferowanej i prawa podaży Odróżnić krzywą popytu od krzywej podaży Omówić pojęcia równowagi rynkowej, ceny równowagi oraz ilości równowagi Najpierw zastanówmy się, co ekonomiści mają na myśli, gdy mówią o popycie i podaży, a później – w jaki sposób popyt i podaż wchodzą ze sobą w interakcje na rynku. Popyt na dobra i usługi Ekonomiści używają pojęcia popyt (ang. demand ) na określenie ilości jakiegoś dobra lub usługi, które konsumenci chcą i są w stanie nabyć po każdej możliwej cenie. Popyt wynika z ludzkich potrzeb i pragnień – jeśli czegoś nie potrzebujemy lub nie chcemy, to nie mamy potrzeby kupowania tego. O ile konsument może rozróżniać potrzeby i pragnienia, to dla ekonomistów są one dokładnie tym samym. Popyt wynika także ze zdolności do zapłaty. Jeśli nie stać cię na jakieś dobro, nie zgłaszasz na nie popytu. Zgodnie z tą regułą osoby bezdomne prawdopodobnie nie będą kupować mieszkań, a większość z nas nie zgłasza popytu na prywatne odrzutowce (jeśli w twoim przypadku jest inaczej, składamy ci serdeczne gratulacje). To, ile nabywca płaci za jednostkę określonego dobra lub usługi, nazywamy ceną (ang. price ). Ogólną liczbę jednostek tego dobra, którą konsumenci są skłonni nabyć po konkretnej cenie, nazywamy zapotrzebowaniem (ang. quantity demanded ). Wzrost ceny dobra lub usługi prawie zawsze zmniejsza zapotrzebowanie na te towary. I na odwrót, spadek ceny wiąże się ze wzrostem zapotrzebowania. Jeśli cena za litr benzyny wzrasta, ludzie szukają możliwości ograniczenia konsumpcji, np. poprzez łączenie kilku spraw do załatwienia przy okazji jednej podróży, organizowanie wspólnych przejazdów lub wybieranie transportu publicznego albo spędzanie weekendów i wakacji bliżej domu. Tę odwrotną zależność między ceną a zapotrzebowaniem ekonomiści nazywają prawem popytu (ang. law of demand ). Prawo popytu zakłada, że wszystkie pozostałe zmienne, które mogą wpływać na popyt (zostaną one wskazane w kolejnym podrozdziale), pozostają stałe, gdy zmienia się cena dobra. Można posłużyć się tu przykładem rynku paliw opisanego za pomocą tabeli lub wykresu. Tabelę pokazującą zapotrzebowanie przy każdym poziomie ceny, taką jak , ekonomiści nazywają rozkładem popytu (ang. demand schedule ). W opisywanym przypadku cenę mierzymy w złotych za litr benzyny, zaś zapotrzebowanie w milionach litrów w jakimś okresie (np. dziennie lub w ciągu roku) na pewnym obszarze geograficznym (w województwie lub kraju). Krzywa popytu (ang. demand curve ) pokazuje zależność między ceną a zapotrzebowaniem, tak jak na , gdzie na osi poziomej odłożona jest ilość paliwa (w mln l), a na osi pionowej cena (w zł/l). Zauważ, że jest to wyjątek od zasady przyjętej w matematyce, gdzie zmienna niezależna (x) prezentowana jest na osi poziomej, a zmienna zależna (y) na osi pionowej. Ekonomia to jednak nie matematyka. pokazuje więc rozkład popytu, a krzywą popytu. Są to dwa sposoby, za pomocą których można opisać tę samą relację między ceną a zapotrzebowaniem. Cena i zapotrzebowanie na benzynę Cena (zł/l) Zapotrzebowanie (mln l) 5,00 800 5,20 700 5,40 600 5,60 550 5,80 500 6,00 460 6,20 420 Krzywa popytu na benzynę Krzywa popytu pokazuje, że wraz ze wzrostem ceny zapotrzebowanie spada (i odwrotnie). Na wykresie zaznaczone zostały jako punkty kombinacje konkretnej ceny i ilości umieszczone w powyższej tabeli. Następnie punkty te zostały połączone, dzięki czemu powstała ciągła krzywa popytu. Ujemne nachylenie krzywej ilustruje prawo popytu – odwrotną zależność między ceną a wielkością zapotrzebowania Krzywe popytu wyglądają nieco inaczej dla różnych dóbr. Mogą być dość strome lub stosunkowo płaskie, liniowe lub zakrzywione, tak jak na . Prawie wszystkie krzywe popytu wykazują jednak podstawowe podobieństwo, jakim jest ich ujemne nachylenie. Krzywe popytu ilustrują prawo popytu: wraz ze wzrostem ceny spada zapotrzebowanie na dane dobro, zaś wraz ze spadkiem ceny zapotrzebowanie rośnie. Nie do końca radzisz sobie z różnymi rodzajami popytu? Przeczytaj następną . Czy popyt jest tym samym co zapotrzebowanie? W terminologii ekonomicznej popyt i zapotrzebowanie nie są tożsame. Gdy ekonomiści mówią o popycie, mają na myśli zależność między różnymi poziomami cen a liczbą (ilością) dóbr, na które zgłoszone jest zapotrzebowanie przy tych cenach. Ilustruje to zarówno tabela z rozkładem popytu, jak i krzywa popytu na . Natomiast gdy ekonomiści mówią o zapotrzebowaniu, mają na myśli tylko jeden, określony punkt na krzywej popytu lub jedną wielkość zapotrzebowania w tabeli z rozkładem popytu. Krótko mówiąc, popyt odnosi się do krzywej, a zapotrzebowanie dotyczy jednego (określonego) punktu na krzywej. Podaż dóbr i usług Gdy ekonomiści mówią o podaży (ang. supply ), mają na myśli ilość (liczbę) jakiegoś dobra lub usługi, jaką producent jest skłonny dostarczyć na rynek przy różnych poziomach ceny. Cena jest tym, co producent otrzymuje za sprzedaż jednej jednostki dobra (ang. good ) lub usługi (ang. service ). Wzrost ceny, kształtujący się na rynku w wyniku gry popytu z podażą, prawie zawsze powoduje wzrost ilości oferowanej (ang. quantity supplied ) tego dobra lub usługi, podczas gdy spadek ceny prowadzi do spadku ilości oferowanej. Rosnąca cena benzyny zachęca przedsiębiorstwa nastawione na zysk do podjęcia różnych działań: zintensyfikowania poszukiwań nowych złóż ropy naftowej, wydobycia większych ilości ropy z dotychczasowych pól, inwestowania w nowe rurociągi i tankowce, aby dostarczyć surowiec do rafinerii, budowy nowych zakładów przetwórstwa, zakupu nowych pojazdów dostarczających paliwo do stacji benzynowych, otwierania nowych stacji benzynowych albo wydłużania czasu pracy tych już istniejących. Ekonomiści nazywają tę dodatnią zależność między ceną a ilością oferowaną – a więc zależność, w ramach której wyższe ceny prowadzą do wzrostu ilości oferowanej, a niższe ceny powodują zmniejszenie ilości oferowanej – prawem podaży (ang. law of supply ). Prawo podaży zakłada, że wszystkie inne zmienne, które mogą wpływać na oferowaną ilość (zostaną one wskazane w kolejnym podrozdziale), pozostają stałe, gdy cena rynkowa (ang. market price ) się zmienia. Nie masz pewności, czy prawidłowo rozróżniasz różne typy podaży? Spójrz na . Czy podaż jest tym samym co ilość oferowana? W terminologii ekonomicznej podaż i ilość oferowana to dwie różne rzeczy. Gdy ekonomiści mówią o podaży, mają na myśli relacje między różnymi poziomami cen a ilościami oferowanymi przy tych cenach, a więc zależność, którą można zilustrować krzywą podaży albo rozkładem ilości oferowanych. Gdy ekonomiści mówią o ilości oferowanej, mają na myśli tylko określony punkt na krzywej podaży lub określoną ilość w tabeli z rozkładem ilości oferowanych. Krótko mówiąc, podaż odnosi się do całej krzywej, a ilość oferowana do jednego, konkretnego punktu na tej krzywej. przedstawia prawo podaży, również wykorzystując do celów ilustracyjnych rynek benzyny. Tak jak to miało miejsce w przypadku popytu, możemy zobrazować podaż, stosując tabelę lub wykres. Rozkład podaży (ang. supply schedule ) benzyny został zaprezentowany w , która wskazuje ilości oferowane przy różnych cenach. Podobnie jak w przypadku popytu cenę wyrażamy w zł/l benzyny, a ilość oferowaną w mln l. Krzywa podaży (ang. supply curve ) jest graficzną ilustracją relacji między ceną, pokazaną na osi poziomej, a ilością, zaznaczoną na osi pionowej. Rozkład podaży i krzywa podaży są dwoma różnymi sposobami zilustrowania tego samego zjawiska. Warto zauważyć, że osie pozioma i pionowa na wykresie krzywej podaży są takie same jak na wykresie krzywej popytu. Krzywa podaży benzyny Rozkład podaży jest tabelą, która pokazuje ilości benzyny oferowanej przy każdej cenie. Jeśli cena rośnie, ilość oferowana także rośnie. Krzywa podaży (S) powstała przez połączenie punktów z rozkładu podaży. Dodatnie nachylenie krzywej podaży ilustruje prawo podaży – wyższa cena prowadzi do większej ilości oferowanej i na odwrót Cena i podaż benzyny Cena (zł/l) Ilość oferowana (mln l) 5,00 500 5,20 550 5,40 600 5,60 640 5,80 680 6,00 700 6,20 720 Kształt krzywej podaży różni się nieco dla różnych produktów: bardziej stroma, bardziej płaska, liniowa lub zakrzywiona. Jednak prawie wszystkie krzywe podaży charakteryzują się podstawowym podobieństwem: mają dodatnie nachylenie i ilustrują prawo podaży: jeśli cena rośnie np. z poziomu 5 zł/l do poziomu 6,20 zł/l, to ilość oferowana zwiększa się z 500 mln l do 720 mln l. I odwrotnie, jeśli cena spada, to ilość oferowana się zmniejsza. Równowaga – tam, gdzie popyt i podaż się spotykają Ponieważ oba wykresy, krzywych popytu i podaży, mają odłożoną cenę na osi pionowej, a ilość na osi poziomej, krzywe podaży i popytu na to samo dobro lub usługę mogą być przedstawione na tym samym wykresie. Wzajemna interakcja popytu i podaży wyznacza cenę i ilość dobra, które będzie przedmiotem transakcji rynkowych. przedstawia wzajemne oddziaływanie popytu i podaży na rynku benzyny. Krzywa popytu (D) jest identyczna jak na . Krzywa podaży (S) ma taką samą postać jak na . natomiast zawiera informacje o ilości oferowanej i zapotrzebowaniu przy każdym poziomie ceny. Popyt i podaż na rynku benzyny Krzywa popytu (D) i krzywa podaży (S) przecinają się w punkcie równowagi E, przy cenie 5,40 zł/l i ilości równej 600 mln l. Jest to jedyny poziom ceny, dla którego zapotrzebowanie jest równe ilości oferowanej. Po cenie wyższej od ceny równowagi, np. 5,80 zł/l, ilość oferowana jest większa niż zapotrzebowanie, pojawia się zatem nadwyżka podaży. Przy cenie niższej od ceny równowagi, powiedzmy 5,20 zł/l, zapotrzebowanie przewyższa ilość oferowaną, występuje więc nadwyżka popytu. Cena, zapotrzebowanie i ilość oferowana Cena (zł/l) Zapotrzebowanie (mln l) Ilość oferowana (mln l) 5,00 800 500 5,20 700 550 5,40 600 600 5,60 550 640 5,80 500 680 6,00 460 700 6,20 420 720 Zapamiętaj: Jeśli dwie linie na wykresie się przecinają, zapewne coś to oznacza. Punkt, w którym krzywa podaży (S) i krzywa popytu (D) przecinają się na , tj. punkt E, nazywany jest punktem równowagi rynkowej (ang. equilibrium ). Cena równowagi (ang. equilibrium price ) jest jedynym poziomem ceny, przy którym zamierzenia konsumentów i plany producentów są zgodne – czyli ilość produktu, którą chcą nabyć konsumenci (zapotrzebowanie), jest równa ilości produktu, jaką producenci chcą sprzedać (ilość oferowana). Ekonomiści nazywają tę wielkość ilością równowagi (ang. equilibrium quantity ). Przy żadnej innej cenie zapotrzebowanie nie jest równe ilości oferowanej, a więc rynek nie znajduje się w równowadze. Na cena równowagi to 5,40 zł/l benzyny, zaś ilość równowagi to 600 mln l. Jeśli dysponujesz tylko tabelą z rozkładem popytu i podaży, a nie wykresem, także możesz znaleźć punkt równowagi, szukając w tabeli poziomu ceny, dla którego zapotrzebowanie i ilość oferowana są takie same. Jeśli na rynku mamy do czynienia z ceną i ilością równowagi, nie występują żadne bodźce, które mogłyby skłonić konsumentów i producentów do zmiany ich zachowania. Kiedy jednak rynek nie jest w równowadze, zaczynają działać siły ekonomiczne, które sprawią, że zarówno cena, jak i ilość zaczną się zmieniać w taki sposób, aby rynek osiągnął ten pożądany stan. Wyobraź sobie np., że cena za litr benzyny zostałaby podniesiona powyżej ceny równowagi, do 5,80 zł/l. Na została wykreślona przerywana linia dla tego właśnie poziomu ceny. Po wzroście ceny zapotrzebowanie spada z 600 mln l do 500 mln l. To oczywiste, że wyższa cena zmniejsza zainteresowanie paliwami wykazywane przez konsumentów, szukają oni bowiem alternatywnych sposobów zaspokajania swoich potrzeb. Dodatkowo przy wyższej cenie ilość benzyny dostarczonej na rynek zwiększa się z 600 mln l do 680 mln l. Producenci postrzegają ją jako bardziej atrakcyjną i są gotowi sprzedać znacznie większe ilości paliwa. Teraz zastanówmy się, w jaki sposób zapotrzebowanie i ilość oferowana oddziałują na siebie przy cenie wyższej od ceny równowagi. Zapotrzebowanie spada do 500 mln l, podczas gdy ilość oferowana wzrasta do 680 mln l. Analogiczna sytuacja wystąpi przy każdym poziomie ceny wyższym od ceny równowagi – ilość zaoferowana przewyższy zapotrzebowanie. Zjawisko to nazywamy nadwyżką podaży (ang. excess supply ). W sytuacji, w której taka nadwyżka wystąpi, niesprzedana benzyna będzie gromadzona na stacjach benzynowych, w cysternach samochodowych i kolejowych, rurociągach i rafineriach. Wytworzy to oczywiście presję na sprzedawców benzyny. Jeśli nadwyżka pozostaje niesprzedana, przedsiębiorstwa zaangażowane w produkcję i sprzedaż benzyny nie otrzymają wystarczająco dużo gotówki, aby zapłacić swoim pracownikom oraz pokryć inne wydatki. W takiej sytuacji niektórzy producenci będą chcieli obniżyć ceny, ponieważ lepiej jest sprzedać towar po niższej cenie niż nie sprzedać go w ogóle. Gdy tylko niektórzy sprzedawcy zaczną zmniejszać ceny, pozostali zrobią to samo, aby uniknąć strat. Takie zmniejszenie ceny pociągnie za sobą wzrost zapotrzebowania. Tak więc jeśli cena jest wyższa od ceny równowagi, bodźce wbudowane w mechanizmy popytu i podaży wygenerują presję, która wymusi spadek ceny i jej powrót do stanu równowagi. Teraz załóżmy, że cena zostanie obniżona o 20 gr i wyniesie 5,20 zł/l, czyli kształtować się będzie poniżej poziomu równowagi. Również i dla tej ceny na została wykreślona linia przerywana. Po obniżce ceny zapotrzebowanie wzrośnie z 600 mln l do 700 mln l, bo kierowcy będą teraz bardziej skłonni do wykorzystywania paliwa, np. mniej chętnie organizować będą wspólny transport z domu do pracy, porzucą myśli o zamontowaniu instalacji gazowej i chętniej będą kupować większe samochody zużywające więcej paliwa. Jednocześnie nowa, niższa cena ogranicza bodźce działające na producentów, aby produkować i sprzedawać benzynę, dlatego ilość oferowana na rynku spadnie z 600 mln l do 550 mln l. Gdy cena znajduje się poniżej poziomu równowagi, występuje nadwyżka popytu (ang. excess demand ), co oznacza, że przy tej cenie stymulowane przez nią zapotrzebowanie przewyższa ilość oferowaną, która z kolei zmniejszyła się pod wpływem spadku ceny. W tej sytuacji nabywcy benzyny będą jeździć na stacje benzynowe tylko po to, aby dowiedzieć się, że nie ma możliwości nabycia paliwa. Spółki naftowe i właściciele stacji benzynowych szybko zauważą, że mają możliwość zwiększenia swoich przychodów ze sprzedaży, oferując benzynę po wyższych cenach. W rezultacie cena będzie wzrastać aż do momentu, w którym osiągnie poziom zapewniający równowagę. Przeczytaj , w którym rozważania nad znaczeniem modelu popytu i podaży są kontynuowane. Key Concepts and Summary Rozkład popytu to przedstawione w formie tabelarycznej wielkości zapotrzebowania przy różnych poziomach ceny rynkowej. Krzywa popytu to graficzna ilustracja zależności między zapotrzebowaniem a ceną rynkową. Zgodnie z prawem popytu wyższa cena zazwyczaj oznacza niższe zapotrzebowanie. Rozkład podaży to z kolei przedstawione w formie tabeli ilości oferowane przez producentów przy różnych poziomach ceny rynkowej. Krzywa podaży ilustruje w formie graficznej zależność między ilością oferowaną a ceną. Prawo podaży mówi, że wyższa cena rynkowa zazwyczaj oznacza większe ilości oferowane na sprzedaż. Cena równowagi i ilość równowagi są wyznaczone przez punkt przecięcia się krzywych popytu i podaży, co oznacza, że zapotrzebowanie jest w nim równe ilości oferowanej. Jeśli cena rynkowa jest niższa od ceny równowagi, zapotrzebowanie przekracza ilość oferowaną. W konsekwencji pojawi się nadwyżka popytu. Jeśli zaś cena rynkowa przekracza cenę równowagi, wówczas ilość oferowana jest większa od zapotrzebowania, co prowadzi do pojawienia się nadwyżki podaży. W obu przypadkach mechanizmy wbudowane w popyt i podaż będą wpływać na cenę rynkową w taki sposób, aby wróciła ona do stanu równowagi. Self-Check Question Spójrz na . Załóżmy, że cena benzyny wynosi 5,60 zł/l. Czy zapotrzebowanie jest wyższe, czy niższe niż to, które występuje przy cenie równowagi równej 5,40 zł/l? Jaka jest ilość oferowana przy cenie 5,60 zł? Czy na rynku występuje nadwyżka popytu, czy też nadwyżka podaży? Ponieważ 5,60 zł/l jest ceną wyższą od ceny równowagi, to zapotrzebowanie będzie mniejsze i wyniesie 550 mln l, zaś ilość oferowana będzie wyższa i wyniesie 640 mln l. W rezultacie na rynku benzyny pojawi się nadwyżka podaży równa 640 – 550 = 90 mln l . Review Questions Co wpływa na poziom cen na rynku? Jak nabywcy na rynku zareagują na wyższe ceny, wziąwszy pod uwagę kształt krzywej popytu (jej ujemne nachylenie)? Czy krzywa popytu ma dokładnie taki sam kształt na wszystkich rynkach? Jeśli nie, jakie mogą być różnice? Czy krzywa podaży ma taki sam kształt na wszystkich rynkach? Jeśli nie, jakie mogą być różnice? Jaki jest związek między zapotrzebowaniem a ilością oferowaną przy cenie zapewniającej rynkową równowagę? Jaka jest relacja między tymi dwiema wielkościami, gdy na rynku występuje nadwyżka popytu, a jaka, gdy pojawi się nadwyżka podaży? W jaki sposób można zlokalizować punkt równowagi na wykresie popytu i podaży? Jeśli cena rynkowa jest wyższa od ceny równowagi, to spodziewasz się nadwyżki popytu, czy nadwyżki podaży? Jeśli cena rynkowa jest niższa od ceny równowagi, to spodziewasz się nadwyżki popytu, czy nadwyżki podaży? Dlaczego? Zakładając, że cena rynkowa kształtuje się powyżej ceny równowagi, wyjaśnij, w jaki sposób dochodzi do zmiany ceny i jej przesunięcia do poziomu zapewniającego równowagę. Rozumowanie powtórz dla sytuacji, w której cena rynkowa znajduje się poniżej punktu równowagi. Jaka jest różnica między popytem a zapotrzebowaniem na jakiś produkt, np. mleko? Wyjaśnij to, posługując się wykresem, na którym naszkicujesz krzywą popytu na mleko. Jaka jest różnica między podażą danego dobra (np. mleka) a jego ilością oferowaną? Różnicę tę również wyjaśnij za pomocą wykresu, na którym narysujesz krzywą podaży mleka. Critical Thinking Questions Spójrz na . Załóżmy, że rząd uznał benzynę za dobro niezbędne i zdecydował, że jej cena zostanie prawnie ograniczona do poziomu 5,30 zł/l. Jak myślisz, co stanie się w tej sytuacji na rynku benzyny? Wyjaśnij, dlaczego fałszywe jest następujące stwierdzenie: „Na rynku dóbr nikt nie chce zapłacić za dany produkt więcej, niż wynosi cena równowagi”. Wyjaśnij, dlaczego fałszywe jest następujące stwierdzenie: „Na rynku dóbr nikt nie chce sprzedawać po cenie niższej niż cena równowagi”. Problems Raz jeszcze przyjrzyj się . Załóż, że cena benzyny wynosi 5 zł/l. Czy zapotrzebowanie będzie mniejsze, czy większe niż przy cenie równowagi wynoszącej 5,40 zł/l? Czy ilość oferowana będzie mniejsza, czy też większa? Czy na rynku występuje nadwyżka popytu, czy nadwyżka podaży? Jeśli tak, to w jakiej wysokości? References Costanza, Robert, and Lisa Wainger. “No Accounting For Nature: How Conventional Economics Distorts the Value of Things.” The Washington Post . September 2, 1990. European Commission: Agriculture and Rural Development. 2013. \"Overview of the CAP Reform: 2014-2024.\" Accessed April 13, 205. http://ec.europa.eu/agriculture/cap-post-2013/. Radford, R. A. “The Economic Organisation of a P.O.W. Camp.” Economica . no. 48 (1945): 189-201. http://www.jstor.org/stable/2550133. krzywa popytu (ang. demand curve ) graficzna ilustracja relacji między ceną rynkową a zapotrzebowaniem na określone dobro lub usługę, przy czym na osi poziomej wskazana jest ilość, a na osi pionowej – cena rynkowa rozkład popytu (ang. demand schedule ) przedstawione w formie tabelarycznej dane prezentujące różne poziomy ceny rynkowej i odpowiadającą każdej z tych cen wielkość zapotrzebowania tabela popytu (ang. demand schedule ) patrz: rozkład popytu popyt (ang. demand ) relacja między ceną rynkową a zapotrzebowaniem na określone dobro lub usługę cena równowagi (ang. equilibrium price ) cena rynkowa, przy której zapotrzebowanie jest równe ilości oferowanej ilość równowagi (ang. equilibrium quantity ) wolumen, przy którym zapotrzebowanie jest równe ilości oferowanej przy określonej cenie rynkowej równowaga (ang. equilibrium ) sytuacja, w której zapotrzebowanie na dane dobro jest równe ilości oferowanej; kombinacja ceny rynkowej i ilości, przy której nie ma ani nadwyżki popytu, ani nadwyżki podaży, w związku z czym nie pojawia się presja ekonomiczna mogąca spowodować zmianę ceny lub ilości nadwyżka popytu (ang. excess demand ) sytuacja, w której przy danej cenie rynkowej zapotrzebowanie przewyższa ilość oferowaną niedobór podaży (ang. excess demand ) patrz: nadwyżka popytu niedobór rynkowy (ang. excess demand ) patrz: nadwyżka popytu nadwyżka podaży (ang. excess supply ) sytuacja, w której przy danej cenie rynkowej ilość oferowana przewyższa zapotrzebowanie niedobór popytu (ang. excess supply ) patrz: nadwyżka podaży nadwyżka rynkowa (ang. excess supply ) patrz: nadwyżka podaży prawo popytu (ang. law of demand ) zależność, zgodnie z którą wraz ze wzrostem ceny rynkowej zapotrzebowanie na dane dobro maleje, zaś przy spadku ceny rynkowej zapotrzebowanie na to dobro rośnie – przy założeniu, że pozostałe zmienne, które mogą wpływać na zapotrzebowanie, są stałe prawo podaży (ang. law of supply ) zależność, zgodnie z którą wraz ze wzrostem ceny rynkowej oferowana ilość danego dobra się zwiększa, zaś przy spadku ceny rynkowej oferowana ilość tego dobra maleje – przy założeniu, że pozostałe zmienne wpływające na ilość oferowaną do sprzedaży są stałe cena rynkowa (ang. market price ) kwota, którą płaci nabywca za jednostkę określonego dobra lub usługi zapotrzebowanie (ang. quantity demanded ) ilość jednostek dobra lub usługi, które konsumenci chcą nabyć po danej cenie rynkowej wielkość zapotrzebowania (ang. quantity demanded ) patrz: zapotrzebowanie ilość nabywana (ang. quantity demanded ) patrz: zapotrzebowanie ilość oferowana (ang. quantity supplied ) ilość jednostek dobra lub usługi, które producenci są gotowi sprzedać po określonej cenie rynkowej krzywa podaży (ang. supply curve ) graficzna ilustracja relacji między ceną rynkową a ilością oferowaną przez sprzedawców na rynku; na osi poziomej oznaczona jest ilość oferowana, a na osi pionowej – cena rynkowa tabela podaży (ang. supply schedule ) patrz: rozkład podaży rozkład podaży (ang. supply schedule ) dane przedstawione w formie tabelarycznej prezentujące różne poziomy ceny rynkowej i odpowiadającą każdemu z nich ilość oferowaną do sprzedaży podaż (ang. supply ) związek między ceną rynkową a oferowaną do sprzedaży ilością określonego dobra lub usługi", "section": "Podaż, popyt i równowaga na rynku dóbr i usług", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Pozacenowe determinanty popytu i podaży Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazywać czynniki wpływające na popyt Wykreślać krzywą popytu, a następnie pracować ze stworzonym wykresem Identyfikować czynniki wpływające na podaż Wykreślać krzywą podaży i pracować ze stworzonym wykresem W poprzednim podrozdziale zbadaliśmy, w jaki sposób cena wpływa na zapotrzebowanie i ilość oferowaną przez sprzedawców na rynku. Udało nam się również wyjaśnić koncepcje krzywych popytu i podaży. Jednak cena nie jest jedynym czynnikiem oddziałującym na decyzje kupujących i sprzedających. Zastanów się np., w jaki sposób popyt na produkty wykorzystywane w diecie wegetariańskiej kształtuje przekonanie podzielane przez rosnącą grupę konsumentów, iż unikanie mięsa jest korzystne dla naszego zdrowia. A jak na podaż diamentów wpłynie to, że ich producenci uruchomią kilka nowych kopalni tego cennego minerału? Jakie są zatem główne czynniki – obok ceny rynkowej – wpływające na popyt i podaż? Odwiedź tę witrynę internetową i przeczytaj krótką notatkę opisującą, jak strategie marketingowe mogą wpływać na podaż i popyt na różne produkty. Jakie czynniki wpływają na popyt? Popyt zdefiniowaliśmy jako ilość jakiegoś dobra lub usługi, którą konsumenci chcą i są w stanie kupić przy różnych poziomach ceny rynkowej. Zgodnie z tą definicją istnieją co najmniej dwa, łatwe do zidentyfikowania, czynniki, które kształtują popyt. Jeśli chcę coś kupić, to znaczy, że dane dobro lub usługa może zaspokoić potrzebę wynikającą z moich gustów i preferencji. Jeśli jestem palaczem, nałóg skłania mnie do zakupu papierosów lub tytoniu. Moje gusta i preferencje sprawiają, że palę, to z kolei powoduje, że odczuwam nieodpartą potrzebę dostarczenia mojemu organizmowi nikotyny, a tę potrzebę mogę zaspokoić, kupując paczkę papierosów. Jeśli jednak nie palę, nie jestem zainteresowany zakupem papierosów. Jeśli czegoś nie potrzebujesz ani nie chcesz, to po prostu tego nie kupisz. Z kolei stwierdzenie „są w stanie kupić\" jednoznacznie wskazuje, że dochód konsumentów jest również istotnym czynnikiem wpływającym na ich decyzje zakupowe. Profesorów zazwyczaj stać na lepsze lokum i środek transportu niż studentów, ponieważ mają większe dochody, jakkolwiek zarówno studenci, jak i wykładowcy zapewne tak samo mocno pragną mieć dach nad głową i możliwość nieskrępowanego przemieszczania się. Ceny towarów pokrewnych do dobra lub usługi, których zakup rozważamy, również mogą wpływać na popyt. Jeśli potrzebujesz nowego samochodu i poważnie rozważasz zakup fiata, cena skody lub opla nie pozostanie bez wpływu na twoją decyzję. Wreszcie struktura demograficzna populacji (liczba ludzi w konkretnym wieku) również oddziałuje na popyt. Im więcej dzieci rodzi się w danym kraju, tym większy pojawia się popyt na pieluchy i ubranka dla niemowląt. Z kolei wraz z dorastaniem tych dzieci popyt na mleko modyfikowane i środki pielęgnacji maluchów maleje, a rośnie na ubezpieczenie samochodów młodych kierowców i różnego rodzaju elektroniczne gadżety. Wskazane powyżej czynniki mają znaczenie zarówno dla popytu zgłaszanego przez konkretną osobę, jak i dla całego rynku. W jaki sposób każdy z nich wpływa na popyt i jak zilustrować ten wpływ na wykresie? Aby odpowiedzieć na te pytania, musimy najpierw wprowadzić i objaśnić założenie ceteris paribus . Założenie ceteris paribus Krzywa popytu (ang. demand curve ) lub krzywa podaży (ang. supply curve ) to relacja między dwiema i tylko dwiema zmiennymi: ilością na osi poziomej i ceną rynkową na osi pionowej. Założeniem leżącym u podstaw tworzenia krzywej popytu lub krzywej podaży jest to, że nie zmieniają się żadne istotne dla obu wielkości czynniki ekonomiczne inne niż rynkowa cena produktu. Ekonomiści nazywają to założenie ceteris paribus , co jest łacińskim wyrażeniem oznaczającym „inne rzeczy są stałe” lub „przy innych czynnikach niezmienionych\". Zależność opisana krzywą popytu lub podaży opiera się na założeniu ceteris paribus . Zmniejszenie ceny rynkowej wywołuje wzrost zapotrzebowania i spadek ilości oferowanej tylko wtedy, gdy wszystkie czynniki, które mogłyby wpłynąć na popyt i podaż, pozostają niezmienione. Jeśli dopuścimy zmianę jakiegokolwiek czynnika determinującego popyt lub podaż, wówczas prawa podaży i popytu oczywiście wciąż będą obowiązywać, ale efekt wzrostu lub spadku ceny wcale nie musi być zgodny z naszymi oczekiwaniami, jak pokazuje poniższa . Kiedy ceteris paribus ma zastosowanie? Klauzulę ceteris paribus stosujemy zazwyczaj wtedy, gdy chcemy dokładnie wskazać, jak zmiany cen wpływają na popyt lub podaż, ale założenie to możemy wykorzystać także w szerszym kontekście. W realnym świecie popyt i podaż zależą od znacznie większej liczby czynników niż tylko ceny rynkowe. Na przykład popyt zależy od dochodów konsumentów, a podaż zdeterminowana jest przez koszty wytworzenia produktu. W jaki sposób możemy przeanalizować wpływ, jaki wywiera na popyt lub podaż wiele czynników zmieniających się w tym samym czasie – powiedzmy, rosnące ceny rynkowe i spadające dochody? Ekonomiści radzą sobie z tym problemem, badając każdą ze zmiennych wpływających na popyt oddzielnie i zakładając, że pozostałe czynniki pozostają niezmienne. W poniższym przykładzie łatwo stwierdzić, że wzrost ceny rynkowej zmniejszy ilość, jaką konsumenci będą chcieli kupić (zakładając, że dochód i wszystkie inne czynniki wpływające na popyt pozostają stałe). Z kolei spadek dochodów zmniejsza kwotę, którą konsumenci mogą przeznaczyć na zakup tego konkretnego dobra, co zapewne również zmniejszy wielkość zapotrzebowania przy każdym poziomie ceny (ponownie przy założeniu, że cena i wszystkie inne zmienne determinujące popyt pozostają niezmienne). To właśnie w praktyce oznacza założenie ceteris paribus . W tym konkretnym przypadku, po przeanalizowaniu każdego czynnika oddzielnie, możemy połączyć wyniki. Ilość tego konkretnego dobra, na którą konsumenci zgłoszą popyt, spadnie ze względu na dwa czynniki: wyższą cenę i niższe dochody. W jaki sposób dochód wpływa na popyt? Wykorzystajmy dochód jako przykład tego, w jaki sposób czynniki inne niż cena rynkowa wpływają na popyt. pokazuje początkowe zapotrzebowanie na używane samochody jako D 0 . Na przykład w punkcie Q, gdzie cena wynosi 20 tys. zł za samochód, liczba aut, na które jest zapotrzebowanie, kształtuje się na poziomie 18 tys. D 0 pokazuje również, jak zmieniłoby się zapotrzebowanie na samochody przy wyższej lub niższej cenie. Gdyby cena samochodu wzrosła do 22 tys. zł, zapotrzebowanie spadłoby do 17 tys. sztuk (pokazuje to punkt R). Pierwotne położenie krzywej popytu D 0 , jak każdej krzywej popytu, opiera się na założeniu ceteris paribus , zgodnie z którym żadne inne istotne dla popytu czynniki nie ulegają zmianie. Teraz wyobraź sobie, że gospodarka rozwija się, rosną dochody wielu ludzi, co sprawia, że samochody stają się bardziej przystępne cenowo (przeciętny konsument za swój roczny dochód jest w stanie kupić nie jeden, ale dwa samochody). Jak wpłynie to na popyt? Jak możemy to pokazać na wykresie? Wracamy do . Cena samochodów nadal wynosi 20 tys. zł, ale przy wyższych dochodach zapotrzebowanie dla tego poziomu ceny rynkowej wzrosło teraz do 20 tys. aut, jak pokazuje to punkt S. W wyniku wzrostu poziomu dochodów krzywa popytu przesuwa się w prawo do nowego położenia D 1 , wskazując na wzrost popytu. pokazuje wyraźnie, że ten zwiększony popyt występuje przy każdym poziomie ceny rynkowej, nie tylko tym wyznaczonym przez punkty Q i S. A teraz wyobraź sobie, że gospodarka zwalnia, wielu ludzi traci pracę lub pracuje krócej, osiągając niższe dochody. W takim przypadku spadek dochodów spowodowałby zmniejszenie zapotrzebowania na samochody przy każdym poziomie ceny rynkowej, a krzywa popytu D 0 z pierwotnego położenia przesunęłaby się w lewo, do położenia D 2 . W naszym przykładzie cena 20 tys. zł oznacza zapotrzebowanie na poziomie 18 tys. samochodów dla pierwotnej krzywej popytu, ale tylko 14,4 tys. aut po przesunięciu popytu. Przesunięcia krzywej popytu: przykład rynku samochodów Zwiększony popyt oznacza, że przy każdym poziomie ceny rynkowej zapotrzebowanie jest większe, a więc krzywa popytu przesuwa się w prawo, z położenia D 0 do położenia D 1 . Zmniejszony popyt oznacza, że przy każdym poziomie ceny rynkowej zapotrzebowanie jest mniejsze, a zatem krzywa popytu przesuwa się w lewo, z położenia D 0 do położenia D 2 . Cena a przesunięcia krzywej popytu: przykład rynku używanych samochodów Cena (zł) Spadek zapotrzebowania do D 2 Pierwotne zapotrzebowanie (D 0 ) Wzrost zapotrzebowania do D 1 16 000 17 600 22 000 24 000 18 000 16 000 20 000 22 000 20 000 14 400 18 000 20 000 22 000 13 600 17 000 19 000 24 000 13 200 16 500 18 500 26 000 12 800 16 000 18 000 Gdy krzywa popytu przesuwa się, nie oznacza to, że zapotrzebowanie zgłaszane przez każdego indywidualnego nabywcę zmienia się w taki sam sposób. W naszym przykładzie nie każdy klient zainteresowany kupnem auta musiałby się zmierzyć ze zmianą dochodu w tym samym kierunku (wzrost albo spadek) i tym samym stopniu, co oznacza, że nie każdy zdecydowałby się na kupno samochodu przy wzroście dochodów w gospodarce lub przeciwnie, nie dokonałby zakupu, gdyby dochody w gospodarce się obniżyły. Przesunięcie krzywej popytu pokazuje zmianę dla całego rynku i jest wypadkową decyzji podejmowanych przez wszystkie osoby zainteresowane kupnem samochodu. W poprzednim podrozdziale dowodziliśmy, że wyższy dochód powoduje większy popyt przy każdym poziomie ceny rynkowej. Dotyczy to większości dóbr i usług. Ale dla pewnych produktów – takich jak luksusowe samochody, wakacje w egzotycznych miejscach i ekskluzywna biżuteria – efekt wzrostu dochodów może być szczególnie wyraźny. Dobro, na które popyt rośnie wraz ze wzrostem dochodu i spada wraz ze spadkiem dochodu, nazywane jest dobrem normalnym (ang. normal good ). Istnieje kilka wyjątków od tego wzorca. Wraz ze wzrostem dochodów wiele osób będzie kupować mniej artykułów spożywczych sprzedawanych pod marką własną supermarketów i dyskontów, a więcej tych opatrzonych logo producenta. Można się również spodziewać spadku popytu na samochody używane i wzrostu na nowe. Dobro, na które popyt spada wraz ze wzrostem dochodów i rośnie wraz z ich spadkiem, nazywane jest dobrem niższego rzędu (ang. inferior good ). Innymi słowy, gdy dochód rośnie, krzywa popytu na dobra niższego rzędu przesuwa się w lewo. Inne czynniki wpływające na przesunięcie krzywych popytu Dochód nie jest jedynym czynnikiem, który powoduje zmiany popytu. Inne czynniki przesuwające krzywą popytu to gusta i preferencje, struktura lub wielkość populacji, ceny dóbr pokrewnych, a nawet oczekiwania co do ceny danego dobra w przyszłości. Zmiana któregokolwiek z czynników określających, jaką ilość dobra lub usługi ludzie są skłonni kupić po danej cenie, spowoduje zmianę popytu. Graficznie nowa krzywa popytu leży po prawej stronie (wzrost) lub po lewej stronie (spadek) od pierwotnego położenia. Przyjrzyjmy się teraz wspomnianym wyżej czynnikom. Zmiana gustów i preferencji Po rozpoczęciu procesu transformacji systemowej w Polsce w 1989 r. doszło do znaczącej zmiany w strukturze konsumpcji polskich gospodarstw domowych. Ilość kupowanego masła zaczęła spadać, zaś ilość margaryny, na którą konsumenci zgłaszali popyt, systematycznie rosła. Podobną tendencję obserwowano w relacji popytu na mięso wieprzowe i drobiowe. Udział drobiu w zakupach przeciętnego gospodarstwa domowego rósł, zaś wieprzowiny malał. Tego typu zmiany odzwierciedlają transformację gustów i preferencji konsumentów, która skutkuje zmianami ilości dóbr i usług, na które zgłaszany jest popyt przy każdej cenie. Oznacza to, że przesuwają one krzywą popytu na to dobro w prawo w przypadku kurczaka (margaryny) i w lewo w przypadku wieprzowiny (masła). Zmiana gustów i preferencji może być konsekwencją zarówno powszechnej zmiany trybu życia – co będzie np. zwiększać popyt na produkty wegetariańskie i wegańskie – jak i intensywnych kampanii marketingowych. Pomyślmy w tym kontekście o wzroście popytu na margarynę, która w okresie PRL była powszechnie uważana za produkt zdecydowanie gorszy od masła, a dzięki reklamie w telewizji stała się wręcz synonimem nowoczesnego i zdrowego stylu życia. Zmiany struktury populacji Odsetek osób starszych (w wieku 65 lat i więcej) w populacji Polski systematycznie rośnie. W 1990 r. było to 10,2%, w 2010 r. 13,5%, zaś w roku 2019 już 18,1%. W kolejnych latach przewidywany jest jego dalszy wzrost, do 25,2% w 2030 r. (dane opublikowane przez GUS). W społeczeństwie z relatywnie większą liczbą dzieci, takim jak Polska przed rokiem 1990, występuje większy popyt na towary i usługi kupowane przez młodych rodziców – rowery trójkołowe, pieluchy i usługi związane z opieką nad małymi dziećmi. Z kolei społeczeństwo ze stosunkowo dużą liczbą osób starszych, takie jak Polska w 2030 r., będzie zgłaszało większe zapotrzebowanie na domy opieki i aparaty słuchowe. Podobnie zmiany w wielkości populacji mogą wpłynąć na popyt na mieszkania oraz wiele innych dóbr. Każda z tych zmian zostanie pokazana jako przesunięcie krzywej popytu. Zmiany cen dóbr pokrewnych Zmiany cen dóbr pokrewnych, takich jak dobra substytucyjne i komplementarne, również mogą wpływać na popyt na dany produkt. Dobro substytucyjne (ang. substitute good ) to towar lub usługa, które pozwalają zaspokoić tę samą lub podobną potrzebę, można je zatem wykorzystać jako zamiennik konkretnego produktu. Ponieważ książki elektroniczne (e-booki), takie jak ten podręcznik, stają się coraz bardziej dostępne, można oczekiwać spadku popytu na książki tradycyjne, drukowane. Niższa cena substytutu zmniejsza popyt na rozpatrywany produkt. Na przykład w ostatnich latach, gdy ceny tabletów dość szybko spadały, popyt na nie wzrósł (z powodu działania prawa popytu). Ponieważ ludzie kupują tablety jako substytut laptopów, nastąpił spadek popytu na komputery przenośne, co można zilustrować jako przesunięcie krzywej popytu na laptopy w lewo. Wyższa cena za dobro substytucyjne przynosi odwrotny skutek. Dobra komplementarne (ang. complementary good ) wzajemnie się uzupełniają, co oznacza, że często używamy ich razem, ponieważ konsumpcja jednego dobra zwiększa użyteczność (korzyści) z konsumpcji drugiego. Najczęściej przywoływane przykłady to: płatki śniadaniowe i mleko, notesy i długopisy lub ołówki, piłki golfowe i kije golfowe, benzyna i samochody oraz kawa i cukier lub mleczko. Jeśli cena kijów golfowych rośnie, to wskutek działania prawa popytu spada na nie popyt, a jednocześnie spada również popyt na dobra komplementarne, czyli piłki golfowe. Podobnie wyższa cena zimowych wakacji w górach przesunęłaby krzywą popytu na dobra komplementarne, jakimi są narty i kombinezony narciarskie, w lewo, podczas gdy niższa cena za dobra komplementarne miałaby skutek odwrotny. Zmiany oczekiwań dotyczące przyszłych cen i innych czynników wpływających na popyt Łatwo zrozumieć, w jaki sposób cena rynkowa dobra wpływa na zapotrzebowanie, jednak popyt na dany produkt będą również kształtować oczekiwania dotyczące przyszłego poziomu jego ceny, a także inne czynniki (gusta i preferencje, dochody itd.), które w przyszłości mogą determinować popyt na to dobro. Na przykład jeśli ludzie usłyszą, że nadchodzi powódź lub huragan, mogą wykupić ze sklepów baterie do latarek i wodę butelkowaną, słusznie zakładając, że po klęsce żywiołowej produktów tych nie wystarczy dla wszystkich. Jeśli zaś dowiedzą się, że cena dobra takiego jak kawa prawdopodobnie wzrośnie w przyszłości, mogą wybrać się do sklepu, aby zaopatrzyć się w kawę na zapas. Z kolei, jeśli konsumenci spodziewają się obniżki cen w przyszłości, wówczas wstrzymują bieżący popyt (np. na tablety), licząc, że później (np. w przyszłym roku) uda im się kupić to dobro taniej. Pokazujemy te zmiany popytu jako przesunięcia krzywej w prawo lub w lewo. Przesunięcie krzywej popytu (ang. shift in demand ) następuje wówczas, gdy zmiana jakiegoś czynnika ekonomicznego (innego niż cena rynkowa) powoduje, że zapotrzebowanie zmienia się przy każdym poziomie ceny rynkowej. Poniższa dokładnie ilustruje kierunek tych zmian. Zmiany popytu, przesunięcie krzywej popytu Zmiana popytu oznacza, że przy każdym poziomie ceny rynkowej zapotrzebowanie ulegnie zmianie. Poniżej znajduje się przykład przesunięcia krzywej popytu spowodowanego wzrostem dochodów. Krok 1. Narysuj krzywą popytu dla dobra normalnego, takiego jak pizza. Oznacz cenę (np. P 0 ). Zaznacz odpowiednią dla niej ilość Q 0 . Spójrz na przykład nakreślony na . Krzywa popytu Krzywa popytu może być wykorzystana do oceny tego, jaką ilość danego dobra konsumenci chcieliby kupić przy każdym poziomie ceny. Krok 2. Załóżmy, że dochód wzrośnie. Czy w wyniku tej zmiany konsumenci będą kupować mniej, czy więcej pizzy? Odpowiedź brzmi: więcej. Narysuj przerywaną linię poziomą biegnącą od wybranej ceny, przez pierwotne zapotrzebowanie, do nowego punktu z nową ilością Q 1 . Narysuj przerywaną linię pionową w dół do osi poziomej i oznacz nowy Q 1 . ilustruje wskazane powyżej posunięcia. Krzywa popytu a wzrost dochodu Wraz ze wzrostem dochodu konsumenci będą nabywali większe ilości dobra, co przesunie popyt w prawo. Krok 3. Teraz przesuń krzywą tak, aby jej wykres przechodził przez nowy wyznaczony punkt. Zobaczysz, że wzrost dochodu powoduje przesunięcie w górę (lub w prawo) krzywej popytu, w efekcie przy każdej cenie popyt będzie wyższy, jak to widać na . Krzywa popytu przesunięta w prawo Wraz ze wzrostem dochodu konsumenci będą nabywali większe ilości pizzy, co oznacza wzrost zapotrzebowania przy każdym poziomie ceny, czyli przesunięcie krzywej popytu w prawo. Podsumowanie: czynniki wpływające na popyt podsumowuje działanie sześciu czynników, które mogą przesunąć krzywe popytu. Kierunek strzałek wskazuje, czy przesunięcie krzywej popytu oznacza jego wzrost, czy też spadek. Zauważ, że zmiana ceny samego dobra lub usługi nie jest wymieniona wśród czynników, które mogą przesunąć krzywą popytu. Zmiana ceny towaru lub usługi powoduje ruch po krzywej popytu i zazwyczaj prowadzi do pewnej zmiany zapotrzebowania, ale nie wywołuje przesunięcia krzywej. Czynniki, które powodują przesunięcia krzywej popytu (a) Lista czynników, które mogą spowodować wzrost popytu z D 0 do D 1 . (b) Te same czynniki, ale działające w odwrotnym kierunku, mogą spowodować spadek popytu z D 0 do D 1 Gdy krzywa popytu się przesunie, przetnie się z krzywą podaży w innym punkcie, wskazując inną cenę i ilość równowagi. Jednak nie powinniśmy się spieszyć. Zanim omówimy to, jak zmiany popytu mogą wpływać na cenę i ilość równowagi, najpierw musimy przeanalizować możliwe czynniki wpływające na podaż i tym samym przesunięcie wykresu krzywej podaży. W jaki sposób koszty produkcji wpływają na podaż? Krzywa podaży pokazuje, jak zmieni się ilość oferowana wraz ze wzrostem lub spadkiem ceny rynkowej, przy założeniu ceteris paribus , zgodnie z którym żadne inne istotne dla podaży czynniki nie ulegają zmianie. Jeśli jakakolwiek ze zmiennych, które determinują podaż i nie są ceną rynkową, zmieni się, przesunie to całą krzywą podaży. Tak samo jak przesunięcie krzywej popytu, które opisaliśmy jako zmianę zapotrzebowania przy każdej cenie, przesunięcie krzywej podaży (ang. shift in supply ) oznacza zmianę ilości oferowanej przy każdym poziomie ceny rynkowej. Myśląc o czynnikach wpływających na podaż, pamiętajmy, co stanowi podstawowy cel działalności gospodarczej – to zysk (ang. profit ), który jest różnicą między przychodami a kosztami. Przedsiębiorstwo wytwarza towary i usługi, używając kombinacji pracy, kapitału finansowego, materiałów i maszyn (kapitału fizycznego), czyli tego, co nazywamy nakładami (ang. input ) lub czynnikami produkcji (ang. factor of production ). Jeśli koszty produkcji z punktu widzenia przedsiębiorstwa są niższe, a ceny towarów lub usług, które ono wytwarza, pozostają niezmienione, wówczas zyski rosną. Gdy zyski przedsiębiorstwa rosną, chętniej zwiększa ono produkcję, ponieważ im więcej towarów dostarczy na rynek, tym większy dochód osiągnie. Gdy koszty produkcji spadają, przedsiębiorstwo będzie chciało dostarczać większą ilość swoich produktów przy danym poziomie ceny. Zmianę tę możemy pokazać, przesuwając w prawo krzywą podaży. Potraktujmy jako przykład firmę kurierską, która dostarcza paczki i przesyłki na terenie danego miasta. Przedsiębiorstwo to może uznać, że koszt zakupu benzyny jest jedną z najważniejszych pozycji na liście jego kosztów. Jeśli cena benzyny spadnie, wówczas przedsiębiorstwo stwierdzi, że może dostarczać przesyłki taniej niż dotąd. Ponieważ niższe koszty przekładają się na wyższe zyski, firma ta może rozszerzyć zakres usług przy danej cenie na kolejne dzielnice miasta. Dzięki niższym cenom benzyny może teraz obsłużyć większy obszar i w ten sposób zwiększyć podaż swoich usług. I odwrotnie, jeśli przedsiębiorstwo poniesie wyższe koszty produkcji, będzie osiągać niższe zyski przy każdym poziomie ceny rynkowej swoich produktów. W rezultacie wyższy koszt produkcji zwykle powoduje, że przedsiębiorstwo oferuje do sprzedaży mniejsze ilości dóbr i usług przy każdym poziomie ceny rynkowej. W tym przypadku krzywa podaży przesuwa się w lewo. Rozważmy teraz podaż samochodów używanych zaprezentowaną za pomocą krzywej S 0 na . Punkt J wskazuje, że przy cenie równej 20 tys. zł liczba oferowanych aut wyniesie 18 tys. sztuk. Jeśli cena wzrośnie do 22 tys. zł za samochód ( ceteris paribus) , podaż wzrośnie do 20 tys. samochodów, co pokazuje punkt K na krzywej S 0 . Możemy oczywiście zaprezentować te same informacje za pomocą zestawienia takiego jak . Zmiany podaży: przykład rynku samochodów używanych Zmniejszona podaż oznacza, że przy każdej cenie rynkowej liczba oferowanych samochodów jest mniejsza, a więc krzywa podaży przesuwa się w lewo, z położenia S 0 do S 1 . Zwiększona podaż oznacza, że przy każdym poziomie ceny rynkowej liczba oferowanych aut jest większa, a więc krzywa podaży przesuwa się w prawo, z położenia S 0 do położenia S 2 . Ceny a zmiany podaży: przykład rynku samochodów używanych Cena (zł) Spadek liczby oferowanych aut do S 1 Początkowa liczba oferowanych aut (S 0 ) Wzrost liczby oferowanych aut do S 2 16 000 10 500 12 000 13 200 18 000 13 500 15 000 16 500 20 000 16 500 18 000 19 800 22 000 18 500 20 000 22 000 24 000 19 500 21 000 23 100 26 000 20 500 22 000 24 200 A teraz wyobraź sobie, że stawki najmu powierzchni biurowo-wystawienniczej, ważnego komponentu kosztów w ramach działalności sprzedawców używanych samochodów, rosną, przez co aktywność ta staje się droższa. Przy każdym poziomie ceny rynkowej sprzedawcy używanych aut zaoferują do sprzedaży ich mniejszą liczbę (część sprzedawców będzie bowiem zmuszona zawiesić działalność). Można to zilustrować, przesuwając krzywą podaży w lewo, z położenia S 0 do położenia S 1 , co będzie oznaczało, że przy każdym poziomie ceny rynkowej liczba oferowanych samochodów maleje. W tym przykładzie przy cenie 20 tys. zł zaoferowana liczba spada z 18 tys. sztuk na początkowej krzywej podaży (S 0 ) do 16,5 tys. na przesuniętej krzywej podaży S 1 . Nową wielkość wskazuje punkt L. I odwrotnie, jeśli stawki najmu powierzchni spadają, sprzedaż samochodów staje się tańsza. Przy każdym poziomie ceny rynkowej sprzedawcy aut mogą teraz oczekiwać wyższych zysków, więc zaoferują do sprzedaży większą liczbę samochodów. Przesunięcie krzywej podaży w prawo, z S 0 do S 2 , oznacza, że przy każdym poziomie ceny rynkowej zaoferowana liczba aut wzrosła. W naszym przykładzie przy cenie 20 tys. zł ilość oferowana wzrasta z 18 tys. na pierwotnej krzywej podaży (S 0 ) do 19,8 tys. na krzywej podaży S 2 . Nową wielkość wskazuje punkt M. Inne czynniki wpływające na podaż Na powyższym przykładzie można było zaobserwować, że zmiany cen nakładów w procesie produkcji wpływają na koszty produkcji, a tym samym na podaż. Przecież powierzchnia biurowo-wystawiennicza jest właśnie takim nakładem w procesie sprzedaży używanych samochodów. Na koszt wytwarzania dóbr i usług w przedsiębiorstwach oddziałuje również kilka innych elementów, takich jak zmiany pogody lub warunków naturalnych, nowe technologie produkcji i niektóre rodzaje polityki ekonomicznej państwa. Zmiany pogody i – w dłuższym horyzoncie czasowym – klimatu wpływają na koszty produkcji wielu produktów rolnych. Na przykład w 2014 r. Nizina Mandżurska w północno-wschodnich Chinach, która odpowiada za większość produkcji pszenicy, kukurydzy i soi w tym kraju, została dotknięta najpoważniejszą od 50 lat suszą. Drastyczny spadek ilości opadów zmniejsza podaż produktów rolnych, a to oznacza, że przy danej cenie rynkowej do sprzedaży zostanie zaoferowana mniejsza ilość towarów. Z drugiej strony szczególnie korzystna pogoda przesunęłaby krzywą podaży w prawo. Gdy przedsiębiorstwo opracuje nową technologię, która pozwala produkować taniej, krzywa podaży również przesunie się w prawo. Na przykład w latach 60. XX w. wielki projekt naukowy, zwany zieloną rewolucją, doprowadził do upowszechnienia wydajniejszych odmian podstawowych roślin, takich jak pszenica i ryż. Na początku lat 90. XX w. ponad dwie trzecie areału wykorzystywanego pod uprawę pszenicy i ryżu w krajach rozwijających się było obsiane ziarnem stworzonym dzięki zielonej rewolucji – w konsekwencji plony z hektara były dwukrotnie wyższe. Udoskonalenie technologiczne obniżające koszty produkcji przesunie krzywą podaży w prawo, dzięki czemu przy danej cenie można wyprodukować większą ilość. Polityka państwa również może zmieniać koszty produkcji, a tym samym krzywą podaży, poprzez podatki, regulacje i dotacje. Na przykład rząd Polski nakłada podatek akcyzowy na napoje alkoholowe. Wpływy z tego tytułu wyniosły w 2020 r. ponad 13,5 mld zł. Przedsiębiorstwa traktują podatki jako koszty działalności. Wyższe koszty zmniejszają podaż z powodów, które omówiliśmy powyżej. Innym przykładem polityki, która może wpływać na wysokość kosztów wytwarzania, jest szeroki wachlarz przepisów regulujących postępowanie przedsiębiorstw w zakresie ochrony środowiska lub bezpieczeństwa i higieny pracy. Konieczność dostosowania się do przepisów zwykle zwiększa koszty pojedynczego przedsiębiorstwa. Z drugiej strony ewentualna subwencja (ang. subsidy ) wypłacana przez władze różnego szczebla jest odwrotnością podatku. Z subwencją mamy do czynienia wtedy, kiedy państwo bezpośrednio wspiera przedsiębiorstwa, zasilając je środkami finansowymi, lub obniża wysokość podatków, gdy podejmują one działania pożądane przez władze. Z perspektywy przedsiębiorstwa podatki lub regulacje są dodatkowym kosztem produkcji, który przesuwa podaż w lewo, co prowadzi do zmniejszenia ilości oferowanej przy każdym poziomie ceny rynkowej. Z kolei dotacje rządowe obniżają koszty produkcji i zwiększają podaż oraz ilość oferowaną przy każdym poziomie ceny rynkowej, co przesuwa krzywą podaży w prawo. Następna pokazuje, jak przebiega ta zmiana. Zmiany podaży Wiemy, że krzywa podaży pokazuje minimalną cenę rynkową, jaką przedsiębiorstwo zaakceptuje, aby wyprodukować i sprzedać daną ilość produktu. Co dzieje się z krzywą podaży, gdy koszty produkcji rosną? Poniżej znajduje się przykład przesunięcia krzywej podaży spowodowanego wzrostem kosztów produkcji. (W i przedstawimy kilka innych koncepcji dotyczących podejmowania decyzji przez przedsiębiorstwo.) Krok 1. Narysuj wykres krzywej podaży pizzy. Wybierz ilość (np. Q 0 ). Jeśli narysujesz pionową linię od Q 0 do krzywej podaży, wyznaczysz cenę, którą wybierze przedsiębiorstwo. pokazuje ten przykład. Krzywa podaży Krzywą podaży można wykorzystać, aby pokazać minimalną cenę rynkową, jaką zaakceptuje przedsiębiorstwo przy produkcji określonej ilości towaru. Krok 2. Dlaczego przedsiębiorstwo wybrało tę, a nie inną cenę rynkową? Żeby to zrozumieć, warto sobie uświadomić, że cena składa się z dwóch części. Pierwsza z nich to koszt produkcji jednej pizzy. W tym przykładzie na koszt wyprodukowania pizzy składają się koszty składników (np. mąki, sosu, sera i szynki), koszt pieca do pizzy, czynsz za wynajmowane pomieszczenie i wynagrodzenie pracowników. Druga część ceny to oczekiwany zysk firmy wypracowany na jednym placku; jest on określany m.in. przez marżę zysku uzyskiwaną w ramach tego rodzaju działalności gospodarczej. (Oczekiwany zysk niekoniecznie jest tym samym co zysk ekonomiczny, zostanie to wyjaśnione w .) Po zsumowaniu tych dwóch składowych otrzymujemy cenę rynkową, jaką przedsiębiorstwo jest gotowe zaakceptować. Ilość Q 0 i związana z nią cena P 0 określają jeden punkt na krzywej podaży przedsiębiorstwa, co przedstawia . Wyznaczanie cen Jednostkowy koszt produkcji powiększony o oczekiwany zysk równy jest cenie rynkowej, jaką firma ustaliła za swój produkt przy danej wielkości produkcji. Krok 3. Załóżmy teraz, że koszt produkcji wzrasta. Być może ser stał się droższy o 1,75 zł w przeliczeniu na pizzę. Jeśli to prawda, firma będzie chciała podnieść cenę o ten wzrost kosztów (1,75 zł). Narysuj ten punkt na krzywej podaży bezpośrednio nad początkowym punktem wyznaczonym na krzywej, ale o 1,75 zł wyżej, jak to widać na . Rosnące koszty powodują wzrost cen rynkowych Krok 4. Przesuń krzywą podaży tak, aby przeszła przez nowy punkt, wyznaczony przez wyższe koszty jednostkowe. Zobaczysz, że wzrost kosztów powoduje przesunięcie w górę (lub w lewo) krzywej podaży, tak że przy każdej cenie zaoferowana ilość będzie teraz mniejsza, co widać na . Przesunięcie krzywej podaży Gdy jednostkowy koszt produkcji wzrasta, krzywa podaży przesuwa się w górę, w związku z czym dla każdego poziomu oferowanej liczby placków pizzy cena rynkowa wzrasta. Podsumowanie – czynniki wpływające na podaż Zmiany cen dóbr i usług wykorzystywanych do produkcji (nakładów), klęski żywiołowe, nowe technologie i zmiany polityki państwa znajdują odbicie w kosztach produkcji. To zaś ma wpływ na ilość produktów, jaką firmy są skłonne dostarczać przy każdym poziomie ceny rynkowej. podsumowuje działanie czterech czynników, które mogą przesuwać krzywe podaży dóbr i usług. Zauważ, że zmiana ceny rynkowej produktu do nich nie należy. Chociaż zmiana ceny dobra lub usługi zazwyczaj wywołuje zmianę ilości oferowanej, a więc ruch po krzywej podaży tego konkretnego dobra lub usługi, nie powoduje jednak przesunięcia samej krzywej podaży. Czynniki, które powodują przesunięcie krzywych podaży (a) Lista czynników, które mogą spowodować wzrost podaży z S 0 do S 1 . (b) Te same czynniki, ale działające w odwrotnym kierunku, mogą spowodować spadek podaży z S 0 do S 1 . Ponieważ krzywe popytu i podaży przedstawione są na dwuwymiarowym wykresie (z ceną rynkową i ilością odłożonymi na jego osiach), nieostrożny podróżnik po krainie ekonomii może odnieść błędne wrażenie, że nauka ta zajmuje się tylko czterema tematami: popytem, podażą, cenami i ilościami. Jednak popyt i podaż są tak naprawdę pojemnymi hasłami. Popyt obejmuje także wszystkie elementy, które wpływają na zapotrzebowanie przy każdym poziomie ceny rynkowej, a podaż obejmuje wszystko to, co wpływa na ilość zaoferowaną na rynku przy różnych poziomach ceny rynkowej. Uwzględnia także czynniki inne niż cena rynkowa, których zmiana przejawia się przesunięciami krzywych popytu lub podaży. W ten sposób dwuwymiarowy model popytu i podaży staje się potężnym narzędziem do analizy szerokiego katalogu czynników ekonomicznych. Key Concepts and Summary Ekonomiści często stosują założenie ceteris paribus , czyli „przy innych czynnikach niezmienionych”. Podczas badania ekonomicznego wpływu jednego zdarzenia na interesujący ich parametr traktują wszystkie inne czynniki, które również mogą determinować ten parametr, jako stałe (niezmienne). Czynniki, które mogą przesunąć krzywą popytu na dobra i usługi, powodując wzrost lub spadek zapotrzebowania przy każdym poziomie ceny rynkowej, obejmują zmiany: gustów i preferencji, liczby potencjalnych klientów, dochodów, cen dóbr substytucyjnych i komplementarnych oraz oczekiwań dotyczących przyszłych warunków i cen determinujących popyt. Czynniki, które mogą przesunąć krzywą podaży dóbr i usług, powodując wzrost lub spadek ilości oferowanej przy każdym poziomie ceny rynkowej, obejmują zmiany: cen nakładów (czynników produkcji), warunków naturalnych, technologii oraz regulacji prawnych, jak również wysokości podatków i dotacji rządowych. Self-Check Questions Dlaczego ekonomiści stosują założenie ceteris paribus ? Aby ułatwić analizę złożonych problemów. Ceteris paribus pozwala przyjrzeć się wpływowi tylko jednego czynnika na parametr, który próbujesz analizować. Po przeanalizowaniu wszystkich czynników oddzielnie ostateczna odpowiedź będzie sumą analiz cząstkowych. Analizując rynek farb, ekonomista konstatuje wymienione poniżej fakty. Określ, czy wpłyną one na wzrost, czy na spadek popytu, a może na wzrost bądź spadek podaży. Ostatnio pojawiły się nowe rozwiązania technologiczne pozwalające zmniejszyć koszty wytwarzania farb. Farba utrzymuje się dłużej na pomalowanych powierzchniach, dzięki czemu właściciele nieruchomości nie muszą ich teraz malować tak często jak wcześniej. Z powodu silnego gradobicia wiele osób musi ponownie pomalować swoje nieruchomości. To samo gradobicie uszkodziło kilka fabryk produkujących farby na tyle, że zostały one zamknięte na kilka miesięcy. Udoskonalenie technologii obniżające koszty produkcji spowoduje wzrost ilości oferowanej przy każdym poziomie ceny, czyli przesunięcie krzywej podaży w prawo (lub w dół). Poprawa jakości farby jest traktowana jako zmiana gustów lub preferencji na korzyść tego produktu, co oznacza, że konsumenci domagają się większej ilości farby przy dowolnym poziomie cenowym, więc krzywa popytu przesuwa się w prawo. Jeśli wydaje się to sprzeczne z intuicją, należy zauważyć, że w przyszłości popyt na trwalszą farbę spadnie, ponieważ konsumenci zasadniczo przeniosą popyt z przyszłości na moment obecny. Zwiększenie potrzeb powoduje wzrost zapotrzebowania, czyli przesunięcie krzywej popytu w prawo. Uszkodzenie fabryk oznacza, że obecnie przedsiębiorstwa nie są w stanie dostarczyć tak dużo farb jak poprzednio. Technicznie jest to wzrost kosztów produkcji. Tak czy inaczej krzywa podaży przesuwa się w lewo. Na rynek ropy naftowej wpływa wiele czynników. Postaraj się przewidzieć, jak każde z poniższych zdarzeń zmieni cenę rynkową i ilość równowagi. W każdym przypadku określ, w jaki sposób zdarzenie wpłynie na krzywe podaży i popytu. W razie potrzeby narysuj stosowny wykres. Samochody stają się coraz bardziej oszczędne, a zatem pokonują więcej kilometrów na jednym litrze paliwa. Zima jest wyjątkowo mroźna. U wybrzeży Norwegii dokonano ważnego odkrycia nowego złoża ropy naftowej. Gospodarki niektórych krajów wykorzystujących duże ilości ropy naftowej, takich jak Japonia, rozwijają się wolniej. Wojna na Bliskim Wschodzie zakłóca harmonogramy wydobycia ropy. Właściciele budynków instalują w nich dodatkową izolację termiczną. Cena energii pozyskiwanej za pomocą paneli słonecznych gwałtownie spada. Firmy chemiczne opracowują nowy rodzaj plastiku na bazie ropy naftowej, który nadaje się do bardzo wielu zastosowań. Bardziej oszczędne samochody oznaczają mniejsze zapotrzebowanie na paliwa. Powoduje to przesunięcie w lewo krzywej popytu na benzynę i olej napędowy, a tym samym także na ropę naftową. Ponieważ krzywa popytu przesuwa się w dół krzywej podaży, spada zarówno cena, jak i ilość równowagi. Niskie temperatury zwiększają zapotrzebowanie na olej opałowy. Powoduje to przesunięcie popytu na ten produkt, a tym samym na ropę naftową, w prawo. Ponieważ krzywa popytu przesuwa się w górę krzywej podaży, wzrasta zarówno cena rynkowa, jak i ilość równowagi. Odkrycie nowych złóż ropy naftowej sprawi, że będzie jej więcej. Można to pokazać jako przesunięcie w prawo krzywej podaży, co spowoduje spadek ceny równowagi wraz ze wzrostem ilości równowagi. (Krzywa podaży przesuwa się w dół po krzywej popytu, więc cena i ilość zachowują się zgodnie z prawem popytu. Jeśli cena spada, ilość rośnie). Jeśli gospodarka rozwija się wolniej, produkcja maleje i wymaga mniejszych nakładów, w tym energii, która jest wykorzystywana do wytwarzania praktycznie wszystkiego. Zmniejszenie popytu na energię przełoży się na spadek popytu na ropę naftową, czyli nastąpi przesunięcie w lewo krzywej popytu na to dobro. Ponieważ krzywa popytu przesuwa się w dół krzywej podaży, zarówno cena, jak i ilość równowagi spadną. Zakłócenie wydobycia ropy naftowej zmniejszy jej podaż. To przesunięcie w lewo krzywej podaży oznacza ruch w górę po krzywej popytu, powodując wzrost ceny i spadek ilości zapewniających równowagę na rynku. Lepsza izolacja zmniejszy zapotrzebowanie na ogrzewanie. To oznacza przesunięcie popytu na ropę naftową w lewo, a więc ruch w dół po krzywej podaży, a to skutkuje spadkiem ceny i ilości równowagi na rynku ropy. Energia słoneczna jest substytutem energii wytwarzanej z ropy naftowej. Jeśli więc energia słoneczna stanie się tańsza, popyt na ropę naftową spadnie, ponieważ konsumenci przestawią się z ropy naftowej na energię słoneczną. Spadek popytu na ropę naftową zostanie pokazany jako przesunięcie krzywej popytu w lewo. Gdy krzywa popytu przesuwa się w dół krzywej podaży, zarówno cena równowagi, jak i ilość wydobywanej ropy naftowej spadną. Nowy, popularny rodzaj plastiku zwiększy popyt na ropę. Jego wzrost zostanie pokazany jako przesunięcie krzywej popytu w prawo podnoszące cenę równowagi i ilość ropy będącej przedmiotem transakcji. Review Questions W jaki sposób ekonomiści radzą sobie z problemem wpływu wielu czynników na konkretny rynek w tym samym czasie? Wymień kilka czynników, które mogą spowodować przesunięcie krzywej popytu na rynku dóbr i usług. Wymień kilka czynników, które mogą spowodować przesunięcie krzywej podaży na rynku dóbr i usług. Critical Thinking Questions Przeanalizuj popyt na hamburgery. Jeśli cena dobra substytucyjnego (np. hot dogów) wzrośnie i cena dobra komplementarnego (np. bułek do hamburgerów) także pójdzie do góry, to czy możesz z całą pewnością powiedzieć, co stanie się z popytem na hamburgery? Dlaczego tak lub dlaczego nie? Zilustruj swoją odpowiedź wykresem. Jak sądzisz, jak starzenie się pokolenia powojennego wyżu demograficznego wpłynie na popyt na mleko? Uzasadnij swoją odpowiedź. Wiemy, że zmiana ceny produktu powoduje ruch wzdłuż krzywej popytu. Załóżmy, że konsumenci uważają, iż w przyszłości ceny będą rosły. Jak wpłynie to na popyt na produkt w teraźniejszości? Czy możesz to zilustrować za pomocą wykresu? Załóżmy, że istnieje podatek od słodzonych napojów gazowanych („opłata cukrowa\") wprowadzony, aby ograniczyć problem otyłości. Jak obniżka takiego podatku wpłynie na podaż tych napojów oraz na cenę i ilość w równowadze? Czy możesz to pokazać na wykresie? Podpowiedź: Przyjmijmy, że podatek ten jest pobierany od sprzedawców. Problems pokazuje informacje o popycie i podaży rowerów, przy czym liczba rowerów podana jest w tysiącach sztuk, a cena rynkowa w złotych. Cena (zł) Popyt Podaż 1200 50 36 1500 40 40 1800 32 48 2100 28 56 2400 24 70 Jakie jest zapotrzebowanie i liczba jednośladów oferowanych w cenie 2100 zł? Przy jakiej cenie liczba zaoferowanych do sprzedaży rowerów wynosi 48 tys.? Narysuj krzywe podaży i popytu na rowery. Czy możesz określić cenę i ilość równowagi na podstawie tego wykresu? Jak możesz określić cenę i ilość równowagi na podstawie powyższej tabeli? Ile wynosi ilość i cena równowagi? Gdyby cena była równa 1200 zł, to jaka byłaby liczba rowerów zaoferowana do sprzedaży i jakie byłoby zapotrzebowanie na rowery? Czy pojawi się wówczas nadwyżka podaży lub nadwyżka popytu? Jeśli tak, to jakiej wielkości? Na rynku komputerów w ostatnich latach cena, po której sprzedawano ten produkt, znacznie spadła. Jakie zmiany popytu i podaży mogą wyjaśnić ten efekt? Naszkicuj krzywe i przedstaw swoje uzasadnienie. Zwiększenie popytu Spadek popytu Wzrost podaży Spadek podaży References Landsburg, Steven E. The Armchair Economist: Economics and Everyday Life . New York: The Free Press. 2012. specifically Section IV: How Markets Work. National Chicken Council. 2015. \"Per Capita Consumption of Poultry and Livestock, 1965 to Estimated 2015, in Pounds.\" Accessed April 13, 2015. https://www.nationalchickencouncil.org/about-the-industry/statistics/per-capita-consumption-of-poultry-and-livestock-1965-to-estimated-2012-in-pounds/. Wessel, David. “Saudi Arabia Fears $40-a-Barrel Oil, Too.” The Wall Street Journal . May 27, 2004, p. 42. https://online.wsj.com/news/articles/SB108561000087822300. ceteris paribus założenie, zgodnie z którym wszystkie czynniki inne niż rozpatrywany są stałe dobra komplementarne (ang. complementary good ) dobra, które są używane razem, ponieważ konsumpcja jednego z nich zwiększa korzyści z konsumpcji (użyteczność) drugiego czynniki produkcji (ang. factors of production [or inputs ]) zasoby, takie jak praca, kapitał finansowy, ziemia wraz z surowcami oraz urządzenia (kapitał rzeczowy), które są używane do produkcji dóbr i usług dobro niższego rzędu (ang. inferior good ) dobro, na które popyt (zapotrzebowanie) spada wraz ze wzrostem dochodu i rośnie wtedy, gdy dochód spada dobro podrzędne (ang. inferior good ) patrz: dobro niższego rzędu nakłady (ang. factors of production [or inputs ]) patrz: czynniki produkcji dobro normalne (ang. normal good ) dobro, na które zapotrzebowanie rośnie wraz ze wzrostem dochodu oraz spada wraz ze zmniejszaniem się dochodu dobro zwykłe (ang. normal good ) patrz: dobro normalne zmiana popytu (ang. shift in demand ) następuje wówczas, gdy zmiana czynników ekonomicznych determinujących wielkość popytu (innych niż cena rynkowa danego dobra) powoduje, że zapotrzebowanie na dane dobro zmienia się przy każdym poziomie ceny rynkowej przesunięcie krzywej popytu (ang. shift in demand ) patrz: zmiana popytu zmiana podaży (ang. shift in supply ) następuje wówczas, gdy zmiana czynników ekonomicznych determinujących wielkość podaży (innych niż cena rynkowa danego dobra) powoduje, że oferowana przy każdym poziomie ceny rynkowej ilość tego dobra się zmienia przesunięcie krzywej podaży (ang. shift in supply ) patrz: zmiana podaży dobro substytucyjne (ang. substitute good ) dobro, które zaspokaja tę samą lub zbliżoną potrzebę co inne dobro, dzięki czemu można je wykorzystać jako zamiennik konkretnego produktu, stąd większa konsumpcja jednego z nich oznacza mniejszą konsumpcję drugiego", "section": "Pozacenowe determinanty popytu i podaży", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Czteroetapowy proces zmiany ceny i ilości równowagi na rynku Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować cenę i ilość zapewniające równowagę na rynku, wykorzystując do tego proces czteroetapowej analizy Wskazać na wykresie cenę i ilość równowagi Odróżnić przesunięcia krzywych popytu i podaży od ruchów po tych krzywych Wykreślać krzywe popytu i podaży oraz wskazywać cenę i ilość zapewniające równowagę, na podstawie danych z realnie istniejących rynków Rozważania zawarte w tym podrozdziale rozpocznijmy od analizy tego, jak pojedyncze zdarzenie wpływa na konkretny rynek. Może to być zmiana, która ma konsekwencje dla popytu, taka jak wzrost (lub spadek): dochodów, liczby ludności, cen dóbr substytucyjnych lub komplementarnych albo zmiana gustów i preferencji konsumentów lub oczekiwań dotyczących przyszłych cen. Może to być również zdarzenie, które wpływa na podaż, takie jak zmiana: warunków naturalnych, cen nakładów, technologii lub polityki państwa, determinująca koszty produkcji. Jak takie pojedyncze, konkretne zdarzenie gospodarcze wpływa na cenę i ilość równowagi na rynku? Spróbujemy odpowiedzieć na to pytanie, wykorzystując czteroetapowy proces. Etap 1. Narysuj model rynku uwzględniający krzywe popytu i podaży, tak jak wygląda on przed zmianą, którą chcesz analizować. Aby poprawnie wykorzystać ten model, potrzebujesz czterech standardowych elementów: prawa popytu, które mówi nam o nachyleniu krzywej popytu; prawa podaży, które wskazuje na nachylenie krzywej podaży; listy zmiennych przesuwających popyt oraz listy zmiennych wpływających na położenie krzywej podaży. Dzięki modelowi możesz znaleźć początkowe wartości ceny i ilości zapewniające równowagę na rynku. Etap 2. Oceń, czy zdarzenie ekonomiczne, które analizujesz, wpływa na popyt czy na podaż. Innymi słowy, czy zmiana ta znajduje się na liście czynników przesuwających krzywą popytu, czy może krzywą podaży? Etap 3. Oceń, czy czynnik wpływający na przesunięcie odpowiedniej krzywej oznacza wzrost, czy może spadek zapotrzebowania lub ilości oferowanej na rynku przy każdym poziomie ceny rynkowej. Następnie naszkicuj nową krzywą popytu lub podaży na wykresie z prawej lub lewej strony jej pierwotnego położenia. Etap 4. Zidentyfikuj nowy punkt równowagi rynkowej, a następnie porównaj pierwotną cenę i ilość równowagi z nowymi wartościami tych parametrów. Rozważmy jeden przykład wiążący się wyłącznie ze zmianą podaży i jeden związany wyłącznie z przesunięciem krzywej popytu. Następnie omówimy przypadek, w którym jednocześnie zmieniać się będzie położenie i krzywej popytu, i krzywej podaży. Dobra pogoda na połów łososi pacyficznych Przyjmijmy, że latem 2015 r. warunki pogodowe u wybrzeży Kalifornii sprzyjały komercyjnym połowom łososia. Ulewne deszcze oznaczały wyższy niż zwykle poziom wód w rzekach, co korzystnie wpływa na rozród tej ryby. Z kolei nieco niższe temperatury oceanu stymulowały rozwój planktonu, mikroskopijnych organizmów znajdujących się na początku oceanicznego łańcucha pokarmowego, zapewniając dostateczną ilość pożywienia dla wszystkich organizmów bytujących w tym regionie Pacyfiku. Ocean był spokojny podczas sezonu połowowego, więc komercyjne połowy mogły się odbywać przez wiele dni, dłużej niż zazwyczaj w tym okresie. Jak te warunki klimatyczne wpłynęły na ilość i cenę rynkową łososia? prezentuje cztery etapy analizy, które przedstawimy poniżej, aby pokazać, jak zmieniła się sytuacja na rynku łososi pacyficznych. także dostarcza użytecznych informacji pozwalających przeanalizować zmiany na tym rynku. Dobra pogoda na połów łososia: czteroetapowy proces analizy Nadzwyczaj dobra pogoda w okresie połowowym prowadzi do zmian ceny i ilości łososia będącego przedmiotem transakcji rynkowych. Połowy łososia (ilość w tys. ryb) Cena (dol./funt) Ilość oferowana w 2014 r. Ilość oferowana w 2015 r. Zapotrzebowanie 2,00 80 400 840 2,25 120 480 680 2,50 160 550 550 2,75 200 600 450 3,00 230 640 350 3,25 250 670 250 3,50 270 700 200 Etap 1. Narysuj wykres prezentujący rynek łososi pacyficznych wraz z krzywymi popytu i podaży dla roku 2014, czyli dla okresu ze standardową pogodą. Punkt przecięcia krzywej popytu D 0 i krzywej podaży S 0 wskazuje na pierwotną cenę równowagi na poziomie 3,25 dol. za funt łososia i ilość równowagi równą 250 tys. ryb. (Wskazana cena za funt to koszt, jaki ponoszą nabywcy komercyjni przy rybackim nabrzeżu. Konsumenci w sklepie spożywczym płacą cenę wyższą.) Przyjmijmy również upraszczające założenie, że każdy odławiany łosoś waży tyle samo. Etap 2. Czy omawiane zdarzenie wpłynęło na podaż czy na popyt? Wyjątkowo dobra aura to przykład naturalnych uwarunkowań wpływających na podaż. Etap 3. Czy podaż w wyniku omawianego zdarzenia zwiększyła się, czy też zmniejszyła? Korzystne warunki atmosferyczne to przykład zmiany, która zwiększa ilość oferowaną przy każdym poziomie ceny rynkowej. Krzywa podaży przesuwa się w związku z tym w prawo, przechodząc z pierwotnego położenia S 0 do nowego położenia S 1 , co pokazują i . Etap 4. Porównaj z pierwotną sytuacją nową cenę rynkową i ilość, które równoważą rynek. W nowym punkcie równowagi rynkowej E 1 cena spada z 3,25 dol. do 2,50 dol., a liczba łososi, które będą przedmiotem transakcji, wzrasta z 250 tys. do 550 tys. Zauważ, że zapotrzebowanie w punkcie równowagi wzrosło, mimo iż krzywa popytu nie przesunęła się. Podsumowując: wyjątkowo korzystne warunki pogodowe zwiększyły podaż kalifornijskiego łososia. W rezultacie liczba łososi, które zostały sprzedane na tym rynku, wzrosła, a ich cena rynkowa spadła. Gazety i internet Według Pew Research Center for People and the Press coraz więcej osób, zwłaszcza młodych, wiedzę o otaczającym świecie czerpie ze źródeł internetowych. Większość dorosłych Amerykanów, podobnie zresztą jak Polaków, ma już smartfony lub tablety, a ci, którzy nimi dysponują, wykorzystują je m.in. po to, aby uzyskać dostęp do informacji. W latach 2004–2012 odsetek Amerykanów, którzy deklarowali, że szukają wiadomości w źródłach cyfrowych, wzrósł z 24% do 39%. Jak wpłynęło to na zakupy prasy papierowej oraz oglądanie i słuchanie wiadomości radiowych i telewizyjnych? Analiza tego problemu w czterech etapach została zilustrowana na i opisana w poniższym fragmencie tekstu. Rynek prasy drukowanej: czteroetapowy proces analizy Zmiana przyzwyczajeń na korzyść cyfrowych źródeł informacji oddziałuje na rynek prasy drukowanej, co skutkuje przesunięciem krzywej popytu w lewo. W efekcie zmniejsza się zarówno ilość, jak i cena równowagi. Etap 1. Wykorzystaj krzywe popytu i podaży, aby pokazać, jak wyglądał ten konkretny rynek przed zmianą preferencji na korzyść cyfrowych źródeł informacji. Krzywa popytu D 0 i krzywa podaży S 0 pokazują pierwotne zależności między ceną rynkową a zapotrzebowaniem oraz między ceną rynkową a oferowaną na rynku ilością drukowanej prasy. W tym przypadku wykonujemy analizę bez wskazywania konkretnych wartości na obu osiach układu współrzędnych. Etap 2. Czy omawiana zmiana wpłynęła na podaż, czy na popyt? Zmiana gustów konsumentów, czyli wybieranie cyfrowych źródeł informacji zamiast tradycyjnych (drukowanej prasy, radia i telewizji), wpłynęło na zmianę popytu na te drugie. Etap 3. Czy wpływ na popyt był pozytywny, czy negatywny? Częstsze korzystanie z cyfrowych źródeł informacji będzie oznaczać mniejsze zapotrzebowanie na źródła tradycyjne przy każdym poziomie ceny rynkowej, powodując przesunięcie krzywej popytu na drukowaną prasę w lewo, z położenia D 0 do D 1 . Etap 4. Porównaj nowe cenę i ilość równowagi z pierwotnymi wielkościami. Nowa równowaga (w punkcie E 1 ) kształtuje się przy mniejszej ilości i niższej cenie niż w pierwotnym stanie równowagi (E 0 ). Spadek czytelnictwa prasy drukowanej miał swój początek przed rokiem 2004. Nakład gazet w USA osiągnął swój szczyt w 1973 r. i od tego czasu spadał z powodu konkurencji ze strony wiadomości telewizyjnych i radiowych. W 1991 r. 55% Amerykanów wskazywało, że wiadomości czerpie ze źródeł drukowanych, podczas gdy w 2012 r. twierdziło tak tylko 29% ankietowanych. W ostatnich dziesięcioleciach popyt na informacje radiowe zachowywał się według tego samego schematu, a odsetek Amerykanów słuchających wiadomości przez radio spadł z 54% w roku 1991 do 33% w 2012 r. Wiadomości telewizyjne przez ostatnie 15 lat utrzymały swój udział w rynku na poziomie ponad 50%. Czy sytuacja ta może pozostać niezmieniona w długim okresie, jeśli weźmiemy pod uwagę fakt, że dwie trzecie Amerykanów poniżej 30. roku życia twierdzi, że w ogóle nie ogląda programów informacyjnych w telewizji? Nawiasem mówiąc, podobne zależności, tyle że przesunięte w czasie o ok. 5–10 lat, można zaobserwować również w Polsce. Powiązania i szybkość dostosowań na realnych rynkach W realnym świecie wiele czynników wpływających na popyt i podaż może się zmieniać jednocześnie. Na przykład popyt na samochody może rosnąć z powodu powiększających się dochodów i coraz większej liczby ludności, a jednocześnie zmniejszać się z uwagi na rosnące ceny benzyny (dobra komplementarnego). Podobnie podaż samochodów może rosnąć dzięki nowym, innowacyjnym technologiom, które obniżają koszty produkcji, a jednocześnie maleć w wyniku wprowadzania regulacji zmuszających producentów do kosztownych działań służących ograniczeniu emisji zanieczyszczeń. Co więcej, rosnące dochody i liczba ludności czy zmiany cen benzyny wpłyną na wiele rynków, nie tylko ten, na którym handluje się samochodami. Jak ekonomista może uporządkować te wszystkie powiązane ze sobą zdarzenia? Odpowiedź leży w założeniu ceteris paribus. Najpierw oceń, jak każde zdarzenie z osobna wpływa na interesujące cię rynki, przyjmując klauzulę, zgodnie z którą wszystkie inne czynniki determinujące popyt i podaż pozostają na stałym poziomie. Następnie postaraj się sformułować wnioski dotyczące łącznego efektu wszystkich przeanalizowanych zmian cząstkowych. Przykład łączony Poczta Polska stoi przed trudnymi wyzwaniami. Wynagrodzenia pracowników tego przedsiębiorstwa rosną ze względu na wzrost kosztów utrzymania i podnoszenie płacy minimalnej. Jednocześnie coraz więcej osób korzysta z poczty elektronicznej i innych cyfrowych sposobów komunikowania się (SMS, Facebook, Twitter itd.). Jak zmiany te wpływają na przyszłą rentowność usług oferowanych przez Pocztę Polską? wraz z poniższymi objaśnieniami pokazuje cztery etapy analizy, która pozwoli odpowiedzieć na to pytanie. Wyższe wynagrodzenie dla pracowników poczty: czteroetapowy proces analizy (a) Wyższe wynagrodzenie za pracę powoduje przesunięcie krzywej podaży w lewo, a w efekcie spadek ilości usług równoważących rynek i wzrost ceny równowagi. (b) Zmiana gustów polegająca na coraz rzadszym korzystaniu z usług pocztowych powoduje przesunięcie krzywej popytu w lewo i w konsekwencji spadek ilości usług będących przedmiotem transakcji rynkowych oraz spadek ceny równowagi. Ponieważ wskazane wyżej zmiany oznaczają dwa różne, niezależne zakłócenia pierwotnego stanu równowagi na rynku usług pocztowych, aby ocenić, w jaki sposób punkt równowagi rynkowej przemieści się w ich konsekwencji, czteroetapową analizę trzeba przeprowadzić dwukrotnie. Najpierw należy zbadać skutki podwyższenia wynagrodzeń pracowników poczty, a później ocenić, w jaki sposób na rynek wpłynie rezygnacja wielu osób z tradycyjnych usług pocztowych i zwrot w kierunku cyfrowych form komunikacji. (a) pokazuje przesunięcie krzywej podaży. Przeanalizujmy tę zmianę, korzystając z czteroetapowego procesu. Etap 1. Wykorzystaj krzywe popytu i podaży, aby pokazać, jak wyglądał rynek usług pocztowych przed wystąpieniem analizowanego zjawiska. Krzywa popytu D 0 i krzywa podaży S 0 ilustrują pierwotne zależności. Etap 2. Czy opisana zmiana wpłynęła na podaż, czy na popyt? Wynagrodzenie za pracę to jedna z najważniejszych składowych kosztów produkcji. Zmiana tych kosztów spowodowała zmianę podaży usług świadczonych przez Pocztę Polską. Etap 3. Czy wpływ na podaż był pozytywny, czy negatywny? Wyższe wynagrodzenie za pracę oznacza zmniejszenie ilości usług pocztowych oferowanych przy każdym poziomie ceny rynkowej, co powoduje przesunięcie krzywej podaży usług pocztowych w lewo, z S 0 do S 1 . Etap 4. Porównaj nową cenę i ilość równowagi z pierwotnymi wartościami tych parametrów. Nowa równowaga (oznaczona jako punkt E 1 ) kształtuje się przy mniejszej ilości oferowanej na rynku i wyższej cenie niż w pierwotnym punkcie równowagi (E 0 ). (b) z kolei obrazuje przesunięcie krzywej popytu. Powtórzmy analizę w czterech krokach. Etap 1. Ponownie naszkicuj krzywe popytu i podaży, aby pokazać, jak wyglądał rynek usług pocztowych przed wystąpieniem analizowanego zjawiska. Krzywa popytu D 0 i krzywa podaży S 0 znajdują się w pierwotnych położeniach. Zauważ, że narysowany schemat jest niezależny od tego z panelu (a). Etap 2. Czy opisana zmiana wpłynęła na podaż, czy na popyt? Zmiana upodobań konsumentów, czyli preferowanie przesyłania wiadomości za pośrednictwem kanałów elektronicznych, spowoduje zmianę popytu na usługi pocztowe. Etap 3. Czy wpływ na popyt był pozytywny, czy może negatywny? Odejście od usług oferowanych przez Pocztę Polską na korzyść wiadomości cyfrowych spowoduje, że zapotrzebowanie na usługi pocztowe zmniejszy się przy każdym poziomie ceny rynkowej, tym samym przesuwając krzywą popytu w lewo, z położenia D 0 do D 1 . Etap 4. Porównaj nową cenę i ilość równowagi z pierwotnymi wartościami tych parametrów. Nowa równowaga (oznaczona jako punkt E 2 ) kształtuje się przy mniejszej ilości oferowanej na rynku i niższej cenie niż w przypadku pierwotnej równowagi (E 0 ). Ostatnim etapem w naszej analizie jednoczesnych zmian popytu i podaży jest sformułowanie wniosków dotyczących tego, co stanie się z ceną i ilością równowagi pod wpływem obu zmian zachodzących w tym samym okresie. Wykorzystamy do tego oba omówione wcześniej diagramy, które nałożymy na siebie, tak jak widać to na . Połączony efekt zmniejszonego popytu i zmniejszonej podaży Przesunięcia krzywych podaży i popytu doprowadzą do zmiany ceny równowagi i ilości równowagi. Wnioski przedstawiają się następująco: Wpływ na ilość: Konsekwencją wzrostu wynagrodzeń pracowników Poczty Polskiej są wyższe koszty produkcji usług pocztowych, a tym samym zmniejszenie ilości równowagi. Konsekwencją zmiany gustów konsumentów, polegającej na odejściu od tradycyjnych usług pocztowych, również jest zmniejszenie ilości równowagi. Ponieważ zarówno popyt, jak i podaż przesuwają się w lewo, wypadkową obu zmian jest spadek ilości usług pocztowych w równowadze (do poziomu Q 3 ). Łatwo to dostrzec na wykresie, ponieważ ilość Q 3 znajduje się z lewej strony ilości Q 0 . Wpływ na cenę: Ocena tego, jak obie analizowane zmiany wpłynęły na cenę równowagi, jest bardziej skomplikowana. Skutkiem wzrostu wynagrodzeń są wyższe koszty produkcji i wzrost ceny równowagi. Z kolei konsekwencją zmiany gustów konsumentów i zmniejszenia zapotrzebowania na usługi Poczty Polskiej jest obniżenie ceny równowagi. Te dwa efekty działają w przeciwnych kierunkach. Jeśli nie znamy skali przesunięcia krzywych popytu i podaży w wyniku obu analizowanych zmian, trudno jest jednoznacznie stwierdzić, jaka będzie ostateczna cena, która ukształtuje się na rynku. To zresztą wcale nie jest takie niezwykłe. Gdy obie krzywe się przesuwają, zazwyczaj możemy ustalić ogólny wpływ na cenę i ilość, ale dość trudno jest określić skalę omawianych zmian. Oznacza to, że jeśli analizowane zmiany działają w przeciwnych kierunkach, udzielenie ostatecznej odpowiedzi na pytanie, czy cena równowagi lub ilość spadła, czy wzrosła, może być trudne, a nawet niemożliwe. W naszym przykładzie określiliśmy ogólny wpływ omawianych zmian na ilość równowagi, ale już nie na cenę równowagi. W innych przypadkach może być odwrotnie. Jaka jest różnica między przesunięciami krzywych popytu i podaży a ruchami po krzywej popytu i podaży? Jednym z powszechnych błędów popełnianych przez wszystkich, którzy wykorzystują przedstawiony w tym rozdziale model popytu, jest mylenie przesunięcia krzywej popytu lub podaży z ruchem po krzywej popytu lub podaży. Jako ilustrację tego błędu wykorzystajmy następujący problem: czy susza zwiększy, czy zmniejszy ilość i cenę równowagi na rynku pszenicy. Ludwik, student zapisany na zajęcia wprowadzające do zagadnień ekonomicznych, mógłby rozumować w następujący sposób: „Cóż, jasne jest, że susza zmniejsza podaż, przesunę więc na wykresie krzywą podaży z pierwotnego położenia S 0 do S 1 (przesunięcie 1). Nowy punkt równowagi to E 1 , podczas gdy pierwotna równowaga oznaczona była jako punkt E 0 . Oznacza to zmniejszenie ilości równowagi i wzrost ceny równoważącej rynek. Ale przecież wyższa cena pszenicy skłoni rolników do zwiększenia oferowanej ilości tego zboża przy każdym poziomie ceny rynkowej, więc krzywa podaży przesunie się w konsekwencji w prawo, tak jak ilustruje to wykres, z położenia S 1 do S 2 (przesunięcie 2). Teraz równowaga przesuwa się z punktu E 1 do E 2 . Jednak wyższa cena zmniejsza również popyt, a zatem spowoduje przesunięcie tej krzywej z położenia D 0 do położenia D 1 (przesunięcie 3). Punkt równowagi ponownie się przemieszcza, tym razem z położenia E 2 do E 3 ”. Przesunięcia popytu i podaży a ruchy po krzywej popytu lub podaży Przesunięcie jednej z krzywych nigdy nie powoduje przesunięcia drugiej krzywej. Przesunięcie jednej z krzywych powoduje natomiast ruch wzdłuż drugiej krzywej. Mniej więcej w tym punkcie Ludwik zaczyna podejrzewać, że jego sposób rozumowania zmierza w niewłaściwym kierunku (przecież susza powinna sprawić, że ceny rynkowe pszenicy wzrosną, a nie spadną!). Zastanów się, jakie błędy w swojej analizie popełnił Ludwik, a następnie przeczytaj poniższą odpowiedź. Odpowiedź: Pierwszy punkt rozważań Ludwika jest poprawny: susza rzeczywiście spowoduje przesunięcie w lewo krzywej podaży pszenicy i doprowadzi do zmniejszenia ilości równowagi i wzrostu ceny. Odpowiada to ruchowi wzdłuż pierwotnej krzywej popytu (D 0 ), z punktu E 0 do E 1 . Pozostała część rozumowania Ludwika jest już błędna, ponieważ miesza on przesunięcia krzywej podaży ze zmianą ilości oferowanej na rynku pod wpływem zmiany ceny oraz przesunięcia krzywej popytu ze zmianą zapotrzebowania zgłaszanego przez potencjalnych nabywców pod wpływem zmiany ceny rynkowej. Wyższa cena rynkowa oczywiście zmniejszy zapotrzebowanie klientów na pszenicę i nie będzie to skutkiem przesunięcia samej krzywej popytu, ale przemieszczenia się punktu równowagi w górę po tej krzywej. Nie dojdzie również do drugiego przesunięcia krzywej podaży (przesunięcia 2), ponieważ zmiana ceny rynkowej dobra nigdy nie powoduje przesunięcia krzywej popytu lub podaży dla tego dobra, a jedynie ruch po krzywej. Jedyną konsekwencją suszy na rynku pszenicy jest przesunięcie krzywej podaży w lewo (z położenia S 0 do S 1 , co na wykresie oznaczone jest jako przesunięcie 1), które doprowadzi do wzrostu ceny rynkowej i spadku ilości równoważącej rynek (równowaga przesuwa się z punktu E 0 do E 1 ). Zastanów się nad sekwencją czasową analizowanych zdarzeń; które z nich występują wcześniej, a które później. Co jest przyczyną, a co skutkiem? Jeśli zachowasz odpowiednią kolejność rozważanych zdarzeń, masz większe szanse na poprawną analizę. W czteroetapowej analizie wpływu zdarzeń gospodarczych na cenę i ilość równowagi przejście od pierwotnej do nowej równowagi wydaje się natychmiastowe. Jednak w praktyce ceny i ilości dość często pozostają na poziomie odległym od wyobrażonego punktu równowagi. W rzeczywistości jeśli jakieś zdarzenie wpływa na konkretny rynek, przesuwając krzywe popytu i podaży, cena i ilość zmieniają się co do zasady w kierunku nowego punktu równowagi, ale niekoniecznie osiągają ten poziom. Zwłaszcza że sytuacja na rynku zmienia się dość często i przesunięcie cen oraz ilości w kierunku jednego punktu równowagi może zostać zakłócone przez zdarzenia, które wywołają ruch w odwrotnym kierunku. Key Concepts and Summary Korzystając z modelu rynku z krzywymi podaży i popytu do oceny wpływu jakiegoś zdarzenia na cenę i ilość równowagi, wykonaj cztery kroki: (1) naszkicuj wykres podaży i popytu, aby wiedzieć, jak wyglądał rynek przed analizowanym zdarzeniem; (2) zastanów się, czy wpływa ono na podaż, czy na popyt; (3) określ, czy wpływ ten jest ujemny, czy dodatni, i narysuj odpowiednią krzywą w nowym położeniu; (4) porównaj nową cenę i ilość równowagi z pierwotnymi wielkościami. Self-Check Questions Pomyśl o rynku pasażerskich usług lotniczych. Od sierpnia 2014 r. do stycznia 2015 r. cena paliwa do silników odrzutowych wzrosła o ok. 47%. Korzystając z czteroetapowej analizy, odpowiedz, jak twoim zdaniem wzrost cen paliwa wpłynął na cenę biletów lotniczych i liczbę podróży samolotem. Etap 1. Wykonaj rysunek z pierwotnym położeniem krzywych podaży i popytu. Zaznacz cenę i ilość równowagi. Etap 2. Czy to zdarzenie gospodarcze wpłynęło na podaż, czy na popyt? Paliwo do silników odrzutowych to element kosztów organizowania lotów pasażerskich, więc wzrost ceny paliwa do silników odrzutowych wpływa na podaż. Etap 3. Wzrost ceny paliwa lotniczego spowodował wzrost kosztów podróży lotniczych. Pokazujemy to jako przesunięcie w górę lub w lewo krzywej podaży. Etap 4. Przesunięcie krzywej podaży w lewo powoduje ruch w górę po krzywej popytu, zwiększając cenę równowagi biletów lotniczych i zmniejszając liczbę odbytych podróży samolotem. Cło to podatek nakładany na importowane towary. Załóżmy, że rząd Polski obniży cło na importowane telewizory. Korzystając z czteroetapowej analizy, ustal, jak obniżenie ceł wpłynie twoim zdaniem na cenę i ilość równowagi na rynku telewizorów. Etap 1. Narysuj wykres z początkowymi krzywymi podaży i popytu. Oznacz początkowe cenę i ilość równowagi. Etap 2. Czy omawiane zdarzenie gospodarcze wpłynęło na podaż, czy popyt? Cło jest traktowane jak koszt produkcji, a więc wpływa na podaż. Etap 3. Obniżenie ceł jest równoznaczne ze spadkiem kosztów produkcji, który możemy pokazać jako przesunięcie w prawo (lub w dół) krzywej podaży. Etap 4. Przesunięcie podaży w prawo powoduje ruch w dół po krzywej popytu, obniżając cenę równowagi i zwiększając ilość równowagi. Review Questions W jaki sposób należy dokonywać analizy rynku, na którym przesuwają się zarówno krzywa podaży, jak i krzywa popytu? Co powoduje ruch po krzywej popytu? Co powoduje ruch po krzywej podaży? Critical Thinking Questions Skorzystaj z czteroetapowego procesu, aby przeanalizować wpływ pojawienia się iPoda (lub innych przenośnych cyfrowych odtwarzaczy muzycznych) na cenę i ilość równowagi na rynku odtwarzaczy kasetowych Sony Walkman (lub innych przenośnych odtwarzaczy kaset audio). Wykorzystaj czteroetapowy proces do analizy wpływu zmniejszenia ceł importowych na iPody na cenę i ilość równowagi na rynku odtwarzaczy typu Sony Walkman. Załóżmy, że oba te wydarzenia miały miejsce w tym samym czasie. Połącz swoje analizy wpływu wynalezienia iPoda i obniżki ceł na ten produkt, aby określić prawdopodobny wpływ na cenę i ilość równowagi na rynku produktów typu Sony Walkman. Zilustruj swoją odpowiedź za pomocą odpowiednich wykresów. Problems przedstawia podaż i popyt na rynku żółtego sera. Narysuj odpowiedni wykres i znajdź punkt równowagi. Następnie w tabeli pokaż zmianę zapotrzebowania lub ilości oferowanej w każdej z następujących sytuacji. Narysuj również odpowiednie wykresy ilustrujące poniższe zdarzenia. Cena mleka, kluczowego surowca do produkcji sera, rośnie. W efekcie podaż sera spada o 80 kg przy każdym poziomie ceny. Opublikowane zostają wyniki badań, zgodnie z którymi jedzenie sera jest korzystne dla zdrowia, więc popyt wzrasta o 20% przy każdym poziomie ceny. Cena żółtego sera (zł/kg) Popyt Podaż 30 750 540 32 700 600 34 650 650 36 620 700 38 600 720 40 590 730 wskazuje podaż i popyt na bilety do kina w pewnym mieście (w tys. sztuk). Narysuj wykres popytu i podaży oraz znajdź punkt równowagi rynkowej. Następnie przedstaw w tabeli i wykreśl efekt dwóch zmian. Otwarcie w tym mieście trzech nowych klubów nocnych. Występują w nich modne zespoły muzyczne i nie ma opłat za wstęp, właściciele przybytków zarabiają wyłącznie na sprzedaży jedzenia i napojów. W rezultacie popyt na bilety do kina spada o 6 tys. sztuk przy każdym poziomie ceny Miasto znosi podatek nakładany na wszystkie lokalne przedsiębiorstwa rozrywkowe. W rezultacie liczba dostarczanych filmów przy każdym poziomie ceny rynkowej biletów wzrasta o 10%. Cena jednego biletu (zł) Popyt Podaż 25 26 16 26 24 18 27 22 20 28 21 21 29 20 22 References Pew Research Center. “Pew Research: Center for the People & the Press.” http://www.people-press.org/.", "section": "Czteroetapowy proces zmiany ceny i ilości równowagi na rynku", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Cena maksymalna i cena minimalna Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić pojęcia kontroli cen, ceny maksymalnej i ceny minimalnej Wskazać konsekwencje ustalania cen minimalnych i maksymalnych dla różnych grup społecznych Wszystkie dotychczasowe rozważania w niniejszym rozdziale prowadzone były przy założeniu, że rynki funkcjonują bez interwencji państwa (czasami w kontekście takiej sytuacji używa się pojemnego, lecz nieprecyzyjnego określenia „wolne rynki”). W tym podrozdziale przyjrzymy się zarówno antycypowanym, jak i rzeczywistym konsekwencjom podejmowanych przez państwo interwencji rynkowych, których celem jest zapobieżenie „zbyt wysokiemu” lub „zbyt niskiemu” poziomowi cen dóbr i usług. Ekonomiści uważają, że istnieje relatywnie niewielka liczba podstawowych reguł, które objaśniają sposób reakcji podmiotów gospodarczych w konkretnych sytuacjach. Omówiliśmy już dwie takie reguły, czyli prawo popytu i podaży. Państwo może przyjmować formalne regulacje wpływające w różny sposób na rynki, ale żadne przepisy nie mogą zanegować tych ekonomicznych reguł o najbardziej podstawowym charakterze. Wręcz przeciwnie, zazwyczaj owe reguły ujawniają się w tak nieoczekiwany sposób, iż może to zniweczyć intencje państwowego regulatora. To jeden z podstawowych wniosków wypływających z niniejszego podrozdziału. Ceny i ilości równoważące popyt i podaż na niektórych rynkach, szczególnie tych, na których handluje się produktami uważanymi za niezbędne, wzbudzają wiele kontrowersji. Czasami kontrowersje te są na tyle duże, że przekładają się na presję wywieraną przez opinię publiczną na polityków, którzy – aby utrzymać poparcie wyborców – mogą uchwalić przepisy zapobiegające „nadmiernemu” wzrostowi ceny określonego dobra lub przeciwnie, jej „zbyt gwałtownemu” spadkowi. Model wykorzystujący popyt i podaż pomaga zrozumieć, jak ludzie i przedsiębiorstwa zareagują na bodźce, które pojawią się wraz z wprowadzeniem przepisów mających służyć kontroli cen. Zwłaszcza że niektóre z tych reakcji mogą być całkowicie sprzeczne z intencją publicznego regulatora. Co szczególnie istotne, inne niż bezpośrednia kontrola cen narzędzia wpływające na równowagę rynkową mogą przynieść osiągnięcie pożądanych przez państwo celów bez negatywnych konsekwencji w postaci niechcianych kosztów i wyborów typu „coś za coś” (ang. trade off ). Cena maksymalna Prawa uchwalane przez państwo w celu ograniczenia swobody kształtowania cen rynkowych przez mechanizmy popytu i podaży nazywane są kontrolą cen (ang. price control ). Kontrola te może przyjąć postać ceny maksymalnej (ang. price ceiling ) lub ceny minimalnej (ang. price floor ). Cena maksymalna uniemożliwia wzrost cen rynkowych powyżej określonego poziomu („pułapu”), podczas gdy cena minimalna uniemożliwia spadek cen poniżej wyznaczonego poziomu („limitu”). Teraz, wykorzystując model rynku z popytem i podażą, omówimy, jaki wpływ na rynek ma ustanowienie cen maksymalnych. Następnie przejdziemy do analizy konsekwencji wprowadzenia cen minimalnych. Cena maksymalna wyznacza najwyższy poziom cen, który zgodnie ze stosownymi regulacjami państwowymi może być wykorzystany w legalnych transakcjach rynkowych. Państwo narzuca ceny maksymalne, aby koszt zakupu niektórych niezbędnych towarów lub usług był przystępny dla przeciętnego konsumenta. Na przykład w 2005 r. podczas huraganu Katrina cena wody butelkowanej, a więc artykułu absolutnie niezbędnego do przeżycia na terenach, które dotknęła ta klęska żywiołowa, wzrosła w Luizjanie powyżej 5 dol. za galon (ok. 3,8 l). W rezultacie wiele osób wzywało do kontroli cen tego artykułu, gdyż uznało, że są zbyt wysokie, wziąwszy pod uwagę siłę nabywczą mieszkańców Luizjany i to, jak potrzebny był to produkt. W tym konkretnym przypadku nie doszło do narzucenia ceny maksymalnej, ale istnieją inne przykłady, w których takie rozwiązanie zostało wprowadzone. Na wielu rynkach dóbr i usług liczba potencjalnych nabywców znacznie przewyższa liczbę potencjalnych dostawców. Konsumenci, którzy są również wyborcami, potrafią niekiedy na tyle skutecznie się zjednoczyć, że wywierają presję na polityków i wymuszają ograniczenie tempa wzrostu cen. W niektórych niemieckich miastach, takich jak Berlin, najemcy naciskali (skutecznie!) na rządzących, aby ci uchwalili przepisy dotyczące kontroli czynszów. Taki mechanizm zazwyczaj działa w ten sposób, że właściciele każdego roku mogą podnieść czynsze tylko o pewien maksymalny współczynnik. Podobne rozwiązania funkcjonują również w USA, m.in. w Nowym Jorku, Waszyngtonie czy San Francisco. Kontrola czynszów za pomocą mechanizmu ceny maksymalnej pojawia się w centrum debaty publicznej zawsze wtedy, gdy opłaty za wynajęcie lokum zaczynają gwałtownie rosnąć. Każdy człowiek potrzebuje miejsca do życia, na które będzie mógł sobie pozwolić. Może się to stać niemożliwe, gdy np. zmiana gustów sprawi, że jakaś dzielnica lub całe miasto stanie się bardziej popularnym miejscem do zamieszkania. Również wtedy, gdy przedsiębiorstwa funkcjonujące w określonej lokalizacji zwiększą skalę swojej działalności, przyciągając nowych pracowników. Przywołane zdarzenia powodują zazwyczaj wzrost popytu na mieszkania czynszowe, tak jak to widać na . Początkowy stan równowagi (E 0 ) leży na przecięciu krzywej podaży S 0 i krzywej popytu D 0 , co odpowiada cenie równowagi 500 dol. i liczbie 15 tys. mieszkań na wynajem (dla uproszczenia sytuacji przyjmijmy, że wszystkie mieszkania są takie same i wynajmujący żądają za nie tej samej kwoty czynszu). Konsekwencją wzrostu dochodów lub zmiany gustów jest przesunięcie na wykresie krzywej popytu na mieszkania czynszowe w prawo, zgodnie z danymi zawartymi w , z położenia D 0 do D 1 . Na tym rynku, przy nowej równowadze w punkcie E 1 , cena wynajmowanego mieszkania wzrosłaby do 600 dol., a liczba wynajętych mieszkań powiększyłaby się do 17 tys. Przykład ceny maksymalnej – kontrola czynszów na rynku mieszkań Początkowo przecięcie popytu i podaży występuje w punkcie E 0 . Jeśli krzywa popytu przesunie się z położenia D 0 do położenia D 1 , nowy punkt równowagi rynkowej ukształtuje się w E 1 – chyba że wprowadzenie ceny maksymalnej zapobiegnie wzrostowi ceny powyżej poziomu 500 dol. Jeśli cena nie może wzrosnąć, podaż pozostaje na poziomie 15 tys. mieszkań. Jednak pod wpływem czynników zwiększających popyt, zapotrzebowanie przy tej cenie rośnie do 19 tys. mieszkań, co oznacza, że pojawia się nadwyżka popytu w wysokości 4 tys. lokali. Kontrola czynszów Cena (dol.) Oferowana liczba mieszkań na wynajem Początkowe zapotrzebowanie na wynajmowane mieszkania Nowa wielkość zapotrzebowania na wynajmowane mieszkania 400 12 000 18 000 23 000 500 15 000 15 000 19 000 600 17 000 13 000 17 000 700 19 000 11 000 15 000 800 20 000 10 000 14 000 Załóżmy, że władze miejskie uchwalają prawo, na mocy którego czynsz za typowe mieszkanie nie może przekroczyć kwoty 500 dol., czyli nie może być wyższy niż pierwotna cena równowagi na tym rynku. Na pozioma linia przebiegająca przez wartość 500 dol. pokazuje tę mającą umocowanie prawne cenę maksymalną. Jednak wprowadzenie ceny maksymalnej nie unieważnia istnienia czynników, które spowodowały przesunięcie krzywej popytu w prawo. Przy administracyjnie ustalonym poziomie ceny, liczba mieszkań zaoferowanych na rynku pozostaje bez zmian i dalej wynosi 15 tys., ale zapotrzebowanie wzrosło i teraz kształtuje się na poziomie 19 tys. mieszkań. Innymi słowy, przy tej cenie zapotrzebowanie przewyższa ilość oferowaną, więc brakuje mieszkań na wynajem. Jak na ironię, ceny maksymalne miały pomóc najemcom, tymczasem po ich wprowadzeniu liczba wynajmowanych mieszkań obniża się w stosunku do hipotetycznej sytuacji, w której na rynku nie byłoby żadnego mechanizmu kontroli cen (gdyby czynsz kształtował się wyłącznie pod wpływem czynników wynikających z prawa popytu i podaży, to jego wysokość wzrosłaby do 600 dol. za mieszkanie, ale najemcy mieliby do dyspozycji aż 17 tys. lokali). Powyższa analiza wskazuje, że wprowadzenie cen maksymalnych nie musi oznaczać poprawy sytuacji dla wszystkich najemców i ogranicza dochody właścicieli. Może się przecież zdarzyć i tak, że niektórzy najemcy (lub potencjalni najemcy) stracą mieszkania, ponieważ właściciele zamiast zaoferować je indywidualnym klientom, przekształcą je w biura lub zaoferują podmiotom instytucjonalnym. Istnieje również możliwość, że nawet jeśli mieszkanie pozostanie na rynku wynajmu, właściciele wydadzą mniej na jego utrzymanie, w tym ogrzewanie, chłodzenie, ciepłą wodę i oświetlenie. Pierwsza zasada ekonomii mówi, że nie dostajesz niczego za darmo – wszystko ma koszt alternatywny. Tak więc jeśli najemcy uzyskują dostęp do „tańszych” – niż wynikałoby to z sytuacji zdeterminowanej czynnikami rynkowymi – mieszkań, zazwyczaj otrzymają również towar o niższej jakości. Z drugiej strony jednak wprowadzenie ceny maksymalnej pozwoli wynająć aż 15 tys. mieszkań po cenie 500 dol., co oznacza, że właśnie tyle gospodarstw domowych uzyska dach nad głową, ponosząc koszty niższe niż w sytuacji, w której ten mechanizm nie byłby wprowadzony. Czy zatem zawsze należy go stosować? Oczywiście, że nie. Ceny maksymalne zazwyczaj są korzystne dla pewnej grupy klientów (tych, którzy jednak wynajmą mieszkanie i zapłacą czynsz równy 500 dol.) i niekorzystne dla innej grupy (to ci, którzy byliby gotowi zapłacić czynsz równy 600 dol. i legalnie wynająć mieszkanie, ale nie mogą tego uczynić). Polityka państwa niezwykle rzadko prowadzi jednak do sytuacji, w której na konkretnych rozwiązaniach korzystają wszyscy. Zazwyczaj są zarówno ich beneficjenci, jak i ci, którzy ponoszą koszty. W żadnym przypadku nie oznacza to jednak, że instrumentów, które wiążą się z kosztami dla określonej grupy społecznej (takich jak cena maksymalna!) nigdy nie należy wprowadzać. Ceny maksymalne ustanawiane są w celu utrzymania niskich cen rynkowych, dzięki czemu wszyscy zainteresowani danym produktem mogą go kupić taniej w porównaniu z sytuacją, w której takich ograniczeń by nie było. Jednak gdy cena rynkowa nie może wzrosnąć do poziomu równowagi, zapotrzebowanie przewyższa ilość oferowaną, a zatem pojawia się nadwyżka popytu. Korzystają na tym ci, którym uda się kupić produkt po cenie określonej przez maksymalny pułap, ale ucierpią sprzedawcy produktu oraz ci, którzy nie są w stanie w ogóle go nabyć. Również jakość produktu, na który nałożona jest cena maksymalna, może ulec pogorszeniu. Cena minimalna Cena minimalna to najniższa cena, za jaką można legalnie nabyć jakieś dobro lub usługę. Być może najbardziej znanym przykładem ceny minimalnej jest płaca minimalna, której wysokość ma odzwierciedlać przekonanie, zgodnie z którym osoba pracująca w pełnym wymiarze godzin (w Polsce jest to 40 godzin tygodniowo) powinna dzięki swoim zarobkom utrzymać pewien minimalny standard życia. W 2021 r. minimalne wynagrodzenie w Polsce wynosiło 2800 zł brutto, a najniższa stawka godzinowa przyjmowała wartość 18,3 zł brutto. Jak łatwo zauważyć, płaca minimalna w Polsce znacznie przekracza wysokość dochodu, który wyznacza tzw. ubóstwo skrajne, wyliczane w oparciu o minimum egzystencji. Minimum egzystencji z kolei oznacza bardzo niski poziom zaspokojenia potrzeb. Konsumpcja poniżej tego poziomu utrudnia przeżycie i stanowi zagrożenie dla psychofizycznego rozwoju człowieka. Za minimum egzystencji uznawany był w 2020 r. dochód na poziomie 640 zł na osobę samotną i 1727 zł na rodzinę czteroosobową (dwoje rodziców z dwojgiem dzieci do lat 14). Wysokość płacy minimalnej jest sukcesywnie podnoszona w ostatnich latach, a jej wysokość w 2022 r. w Polsce wzrosła o ponad 200 zł, do poziomu 3010 zł brutto (minimalna stawka za godzinę pracy wyniosła 19,7 zł). Ceny minimalne są czasami nazywane „wsparciem cenowym”, ponieważ stanowią zabezpieczenie przed „nadmiernym” (przynajmniej zdaniem publicznego regulatora) spadkiem cen rynkowych. W wielu krajach funkcjonują regulacje mające na celu utrzymanie cen produktów rolnych powyżej pewnego minimalnego poziomu. Ceny produktów rolnych, a co za tym idzie również dochody gospodarstw domowych zajmujących się produkcją żywności, ulegają niekiedy znacznym wahaniom. Nawet jeśli przeciętnie dochody tych gospodarstw są na poziomie umożliwiającym pewien satysfakcjonujący poziom egzystencji, to w niektórych latach mogą być dość niskie. Celem, który przyświeca wprowadzeniu cen minimalnych, jest zapobieganie tym krótkookresowym wahaniom i stabilizowanie dochodów rolników. Najczęstszym sposobem wspierania cen są zakupy dokonywane przez rząd na rynku określonego produktu (zakupy interwencyjne). Rząd dokonując takich zakupów, zwiększa popyt, co pozwala utrzymać ceny wyższe niż w sytuacji, w której o ich poziomie decydują wyłącznie czynniki rynkowe. Zgodnie z uchwaloną w 2013 r. reformą wspólnej polityki rolnej Unia Europejska (UE) wydawała ok. 60 mld euro rocznie, czyli ok. 38% swojego budżetu, na wsparcie cenowe dla rolników europejskich w latach 2014–2020. pokazuje efekty działania programu finansowanego ze środków publicznych, który zapewnia utrzymanie cen powyżej poziomu równowagi na rynku pszenicy w Europie. Przy braku interwencji państwa cena ukształtowałaby się na poziomie zapewniającym równowagę popytu i podaży, tj. P 0 , co równocześnie zdeterminowałoby ilość równowagi na poziomie Q 0 . Punkt równowagi rynkowej oznaczony jest jako E 0 . Jednak polityka ukierunkowana na utrzymywanie wysokich cen na produkty rolne sprawia, że wprowadzona zostaje cena minimalna wyższa od ceny równowagi, tj. cena P f , której poziom wyznacza linia na wykresie. W rezultacie ilość oferowana (Q s ) jest większa od zapotrzebowania (Q d ). Gdy ilość oferowana przekracza zapotrzebowanie, pojawia się nadwyżka podaży (ang. excess supply ). Ekonomiści szacują, że w krajach o najwyższych dochodach na świecie, w tym w Stanach Zjednoczonych, UE i Japonii, wydaje się ok. 1 mld dol. dziennie na wspieranie rodzimych rolników. Jeśli rząd wprowadza cenę minimalną, musi wykupić nadwyżkę podaży (lub zapłacić prywatnym podmiotom za jej wykupienie). Skorzystają na tym rolnicy, których dochody wzrosną, ale zapłacą za to podatnicy, którzy poniosą koszty tej polityki, oraz konsumenci żywności (bo ceny artykułów rolnych będą wyższe). Ekonomiści zajmujący się tym sektorem przedstawili liczne propozycje zmniejszenia subsydiów na rynkach żywności, jednak w wielu krajach poparcie polityczne dla dopłat dla rolników pozostaje wciąż silne. Wynika to zapewne z faktu, że większość opinii publicznej postrzega ceny minimalne i inne subsydia jako wspieranie tradycyjnego wiejskiego stylu życia, lub też z działań silnego lobby rolników i przedsiębiorców związanych z przemysłem rolnym. Ceny na europejskim rynku pszenicy: przykład ceny minimalnej Przecięcie popytu (D) i podaży (S) znajdowałoby się w punkcie równowagi E 0 . Jednak cena minimalna ustalona na poziomie P f utrzymuje cenę powyżej P 0 i zapobiega jej spadkowi. Konsekwencją wprowadzenia ceny minimalnej jest to, że ilość oferowana Q s przekracza zapotrzebowanie Q d . Pojawia się więc nadwyżka podaży. Key Concepts and Summary Cena maksymalna zapobiega wzrostowi ceny powyżej pewnego poziomu określonego przez regulatora. Gdy cena maksymalna zostanie ustalona poniżej ceny równowagi, zapotrzebowanie przekroczy ilość oferowaną, co spowoduje powstanie nadwyżki popytu. Ceny minimalne z kolei zapobiegają spadkowi ceny poniżej określonego przez regulatora poziomu. Gdy cena minimalna zostanie ustalona powyżej ceny równowagi, ilość oferowana przekroczy zapotrzebowanie i powstanie nadwyżka podaży. Ceny minimalne i maksymalne często prowadzą do niezamierzonych przez wprowadzający je podmiot konsekwencji. Self-Check Questions Jaki jest wpływ ceny maksymalnej na popyt (zapotrzebowanie) na produkt? Jaki jest wpływ ceny maksymalnej na podaż (ilość oferowaną)? Dlaczego akurat cena maksymalna powoduje nadwyżkę popytu? Cena maksymalna (ustalona na poziomie niższym od ceny równowagi) spowoduje wzrost zapotrzebowania i spadek ilości oferowanej. Dlatego cena maksymalna prowadzi do nadwyżki popytu. Czy cena maksymalna zmienia cenę równowagi? Cena maksymalna jest ograniczeniem prawnym. Równowaga jest uwarunkowaniem ekonomicznym. Ludzie mogą, ale nie muszą, przestrzegać ceny maksymalnej, więc rzeczywista cena może być równa lub wyższa od ceny maksymalnej, ale cena maksymalna nie zmienia ceny równowagi. Jaki może być efekt ustalenia ceny minimalnej poniżej ceny równowagi? Cena minimalna jest ceną usankcjonowaną prawnie, podobnie jak cena maksymalna. W konsekwencji ich wprowadzenia nie ma możliwości zawierania legalnych transakcji po cenie, która jest niższa. Jeśli cena rynkowa kształtuje się na poziomie wyższym od ceny minimalnej, jej wprowadzenie nie będzie miało żadnego efektu, ponieważ i tak nikt nie będzie zawierał transakcji po cenie niższej od minimalnej. Review Questions Czy cena maksymalna ma wywołać wzrost, czy spadek ceny? W jaki sposób cena maksymalna ustalona poniżej poziomu równowagi wpływa na zapotrzebowanie i ilość oferowaną? Czy cena minimalna ma wpłynąć na wzrost, czy na spadek ceny? W jaki sposób cena minimalna ustalona powyżej poziomu równowagi wpływa na zapotrzebowanie i ilość oferowaną? Critical Thinking Questions W konsekwencji większości decyzji politycznych państwa pojawiają się wygrani (beneficjenci) i przegrani (ci, którzy ponoszą koszty). Jakie są skutki podniesienia płacy minimalnej? Ceny minimalne w rolnictwie skutkują koniecznością utrzymywania znacznych zapasów produktów rolnych. Jak myślisz, dlaczego rząd nie może po prostu rozdać ich biednym ludziom? Czy możesz zaproponować jakieś konkretne posunięcie, które doprowadzi do wzrostu liczby mieszkań oferowanych na sprzedaż lub wynajem na rynku? Problems Kraj o niskich dochodach postanawia ustalić cenę maksymalną na chleb, aby mieć pewność, że będzie on dostępny dla ludzi biednych. pokazuje popyt i podaż chleba. Jaka jest cena równowagi i ilość równowagi przed wprowadzeniem ceny maksymalnej? Jaka będzie nadwyżka popytu (tj. zapotrzebowanie minus ilość oferowana), jeśli cena maksymalna zostanie ustalona na poziomie 2,40 dol.? A jak będzie wyglądała sytuacja przy cenie na poziomie 2,00 dol.? A jak przy cenie 3,60 dol.? Cena (dol.) Popyt Podaż 1,60 9 000 5 000 2,00 8 500 5 500 2,40 8 000 6 400 2,80 7 500 7 500 3,20 7 000 9 000 3,60 6 500 11 000 4,00 6 000 15 000 cena maksymalna (ang. price ceiling ) poziom ceny określony przepisami prawa, powyżej którego nie może wzrosnąć cena rynkowa kontrola cen (ang. price control ) prawa uchwalane przez państwo w celu ograniczenia swobody kształtowania cen rynkowych przez siły popytu i podaży cena minimalna (ang. price floor ) poziom ceny określony przepisami prawa, poniżej którego nie może spaść cena rynkowa", "section": "Cena maksymalna i cena minimalna", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Popyt, podaż i efektywność Po przeczytaniu tego podrozdziału będziesz w stanie: Porównać nadwyżkę konsumenta, nadwyżkę producenta i nadwyżkę całkowitą (nazywaną również nadwyżką społeczną lub ekonomiczną) Objaśnić, dlaczego ceny minimalne i ceny maksymalne są źródłem nieefektywności Traktować popyt i podaż jako kluczowe elementy mechanizmu regulacji społecznych Model popytu i podaży (ang. demand and supply model ), który został przedstawiony w tym rozdziale, może zostać wykorzystany do objaśnienia pojęcia efektywności ekonomicznej. Jednym ze sposobów, w jaki ekonomiści definiują efektywność (ang. efficiency ), jest wskazanie, że efektywną jest sytuacja, w której nie można poprawić położenia ani jednego podmiotu bez pogorszenia sytuacji innego. I odwrotnie, sytuacja jest nieefektywna, jeśli możliwe jest poprawienie sytuacji choćby jednej osoby bez obciążania kosztami kogokolwiek innego. Jeśli popyt i podaż znajdują się w równowadze, sytuacja również jest efektywna: gospodarka (społeczeństwo) wykorzystuje w maksymalnym stopniu swoje ograniczone zasoby, a wszystkie możliwe korzyści z handlu zostają osiągnięte. Innymi słowy, przedmiotem transakcji jest optymalna ilość każdego dobra i usługi, którymi handluje się na rynku. Nadwyżka konsumenta, nadwyżka producenta, nadwyżka społeczna Pomyśl o rynku tabletów w pewnym mieście wojewódzkim, który został zilustrowany na . Cena równowagi to 800 zł, a ilość równowagi to 28 tys. Aby zorientować się, jakie są korzyści dla konsumentów, spójrz na fragment krzywej popytu, z lewej strony powyżej punktu równowagi . Ta część krzywej popytu wskazuje, że przynajmniej część nabywców byłaby skłonna zapłacić więcej niż 800 zł za tablet. Na przykład punkt J wskazuje, że gdyby cena wynosiła 900 zł, przedsiębiorstwa sprzedałyby 20 tys. tabletów. Konsumenci, którzy byliby gotowi zapłacić 900 zł za tablet, bo na taką właśnie kwotę oceniają użyteczność tego sprzętu, płacą cenę równowagi wynoszącą 800 zł. Skorzystali, bo zapłacili mniej, niż skłonni byliby uiścić. Pamiętaj, krzywa popytu pokazuje gotowość konsumentów do płacenia za różne ilości dobra. Kwota, którą ludzie byliby skłonni zapłacić, pomniejszona o kwotę, którą faktycznie zapłacili, nazywana jest nadwyżką konsumenta (ang. consumer surplus ). Nadwyżka konsumenta to obszar oznaczony na wykresie jako F, to znaczy obszar powyżej ceny rynkowej i poniżej krzywej popytu. Nadwyżka konsumenta i producenta Niemal trójkątny obszar oznaczony literą F pokazuje nadwyżkę konsumenta, która powstaje wówczas, gdy cena równowagi na rynku jest niższa niż ta, którą wielu konsumentów byłoby skłonnych zapłacić. Punkt J na krzywej popytu wskazuje, że nawet przy cenie 900 zł konsumenci kupiliby 20 tys. tabletów. Obszar oznaczony literą G reprezentuje nadwyżkę producenta. Nadwyżka producenta wskazuje, że cena równowagi jest wyższa niż cena, którą wielu producentów byłoby skłonnych zaakceptować za dostarczenie swoich produktów na rynek. Na przykład punkt K na krzywej podaży wskazuje, że przy cenie 450 zł przedsiębiorstwa byłyby skłonne zaoferować na rynku aż 14 tys. tabletów. Krzywa podaży pokazuje liczbę tabletów, jaką przedsiębiorstwa są skłonne zaoferować na rynku przy każdym poziomie ceny. Na przykład punkt K na reprezentuje 14 tys. tabletów, które przedsiębiorstwa byłyby w stanie dostarczyć na rynek po cenie 450 zł. Ci producenci, którzy byliby gotowi sprzedać tablety po 450 zł, ale otrzymują za nie cenę równowagi równą 800 zł, uzyskują dodatkowe korzyści mocno przewyższające to, co spodziewali się otrzymać, dostarczając dobro na rynek. Dodatkowa korzyść, jaką producenci uzyskują w związku ze sprzedażą dobra lub usługi, mierzona nadwyżką ceny, którą producent faktycznie otrzymał nad tą, którą byłby w stanie zaakceptować, nazywana jest nadwyżką producenta (ang. producer surplus ). Na nadwyżka producenta to obszar oznaczony jako G – czyli obszar między poziomem ceny rynkowej a odcinkiem krzywej podaży poniżej punktu równowagi rynkowej (E). Suma nadwyżki konsumenta i nadwyżki producenta to nadwyżka społeczna (ang. social surplus ), zwana także nadwyżką ekonomiczną (ang. economic surplus ) lub nadwyżką całkowitą (ang. total surplus ). Na nadwyżka społeczna to obszar będący sumą obszarów oznaczonych jako F i G. Nadwyżka społeczna dla ceny i ilości równoważących rynek jest większa, niż byłaby przy jakimkolwiek innym poziomie tych dwóch parametrów. Oznacza to, że równowaga rynkowa może być określona jako sytuacja efektywna ekonomicznie. Ponadto przy efektywnym poziomie produkcji (równoważącym na rynku popyt i podaż) niemożliwe jest uzyskanie większej nadwyżki konsumenta bez zmniejszenia nadwyżki producenta, a także niemożliwe jest osiągnięcie większej nadwyżki producenta bez zmniejszenia nadwyżki konsumenta. Ceny minimalne i maksymalne jako rozwiązania nieefektywne ekonomicznie Narzucenie ceny minimalnej lub maksymalnej uniemożliwi ustalenie na rynku ceny rynkowej i ilości, które zrównoważą popyt i podaż. Automatycznie oznaczać to będzie ukształtowanie się sytuacji nieefektywnej ekonomicznie. Co więcej, poza tym, że ceny minimalne i maksymalne oznaczają pojawienie się nieefektywnego rozwiązania (bo nadwyżka społeczna jest mniejsza, niż mogłaby być), to dodatkowo instrumenty te przenoszą część nadwyżki konsumenta na producentów lub część nadwyżki producenta na konsumentów. Wyobraź sobie, że kilka amerykańskich przedsiębiorstw pracuje nad nowym, skutecznym lekarstwem na ból pleców. Niestety, jak to bywa z nowymi medykamentami, zazwyczaj są one dość drogie. Jeśli rynek, na którym nowy środek będzie sprzedawany i kupowany, zostanie wyłączony spod ingerencji państwa, to cena równowagi wyniesie 600 dol. za miesięczną kurację, a leku będzie używać 20 tys. osób, tak jak zilustrowano to na panelu (a) . Pierwotny poziom nadwyżki konsumenta to obszar T + U, a nadwyżka producenta to obszar V + W + X. Jednak, biorąc pod uwagę naciski lobby pacjentów zainteresowanych nowym, obiecującym specyfikiem, rząd decyduje się na narzucenie ceny maksymalnej w wysokości 400 dol. za miesięczną kurację, aby uczynić lek bardziej przystępnym cenowo. Przy takiej cenie maksymalnej przedsiębiorstwa zaoferują na rynku ilość, która wystarcza tylko dla 15 tys. pacjentów. W rezultacie zachodzą dwie zmiany. Po pierwsze, pojawia się nieefektywność i zmniejsza się nadwyżka społeczna. Utrata nadwyżki społecznej, która następuje, gdy gospodarka produkuje nieefektywną ekonomicznie ilość dobra lub usługi, nazywana jest zbędną stratą społeczną (ang. deadweight loss ). Używając obrazowej analogii, to trochę tak, jak wyrzucanie przez okno pieniędzy, których nikt nie zdoła złapać i wykorzystać. Na (a) strata społeczna to obszar U + W. Oznacza to, że po wprowadzeniu ceny maksymalnej obszar reprezentujący nadwyżkę całkowitą zmniejszył się z poziomu T + U + V + W + X do poziomu T + V + X. W przypadku straty społecznej może się zdarzyć, że choć nadwyżka społeczna będzie mniejsza, to rozpatrywane oddzielnie nadwyżka konsumenta lub producenta będą wyższe. W tym przypadku jest to skutkiem wprowadzenia mechanizmu kontroli cen (ang. price control ), który powoduje zablokowanie możliwości zawarcia legalnej transakcji producentom i konsumentom. Drugą zmianą zachodzącą w efekcie wprowadzenia ceny maksymalnej (ang. price ceiling ) jest właśnie transfer części nadwyżki producenta na korzyść konsumentów. Po nałożeniu ceny maksymalnej nowa nadwyżka konsumenta wynosi T + V, natomiast nowa nadwyżka producenta to jedynie obszar X. Innymi słowy, cena maksymalna przenosi obszar nadwyżki (V) z producentów na konsumentów. Zauważ, że korzyść konsumentów jest mniejsza niż strata producentów, co jest tylko kolejnym sposobem zaprezentowania straty społecznej wynikającej ze zmniejszenia efektywności. Efektywność a cena minimalna i cena maksymalna Panel (a) Pierwotna cena równowagi wynosi 600 dol. przy ilości równowagi 20 tys. Nadwyżka konsumenta to T + U, a nadwyżka producenta to V + W + X. Po narzuceniu ceny maksymalnej na poziomie 400 dol. przedsiębiorstwa dostarczają ilość wystarczającą dla 15 tys. odbiorców. W rezultacie nowa nadwyżka konsumenta to T + V, podczas gdy nowa nadwyżka producenta to X. Panel (b) Pierwotnie równowaga zachodzi przy cenie 8 dol. i ilości 1800 biletów. Nadwyżka konsumenta to G + H + J, a nadwyżka producenta I + K. Przy cenie minimalnej równej 12 dol. zapotrzebowanie spada do 1400 biletów. W rezultacie nowa nadwyżka konsumenta to G, a nowa nadwyżka producenta H + I. (b) pokazuje działanie ceny minimalnej na przykładzie kin w pewnym mieście. Pierwotna cena równowagi wynosi 8 dol. za bilet, a zapotrzebowanie kształtuje się na poziomie 1800 biletów. Pierwotna nadwyżka konsumenta to G + H + J, a nadwyżka producenta I + K. Władze miasta obawiają się, że kina zbankrutują, co ograniczy ofertę rozrywki dostępnej dla obywateli i w dłuższym horyzoncie czasowym wywoła ich niezadowolenie, które zwróci się przeciw włodarzom. Postanawiają więc narzucić cenę minimalną na poziomie 12 dol. za bilet. W efekcie zapotrzebowanie na bilety do kin spada do poziomu 1400 biletów. Nowa nadwyżka konsumenta to G, a nowa nadwyżka producenta H + I. W efekcie cena minimalna powoduje przeniesienie obszaru H z nadwyżki konsumenta do nadwyżki producenta, ale jednocześnie prowadzi do zmniejszenia nadwyżki całkowitej o obszar J + K. Ta analiza pokazuje, że cena maksymalna, podobnie jak ustawa ustanawiająca kontrolę czynszów, przeniesie część nadwyżki producenta na konsumentów – co pomaga wyjaśnić, dlaczego konsumenci chętnie popierają takie regulacje. I odwrotnie, cena minimalna, taka jak gwarancja, że rolnicy otrzymają określoną cenę za swoje uprawy, przeniesie część nadwyżki konsumenta na producentów, co wyjaśnia, dlaczego sprzedawcy na tym rynku tak gwałtownie się jej domagają. Jednak zarówno ceny minimalne, jak i maksymalne blokują legalną możliwość zawarcia transakcji, które inaczej doszłyby do skutku, i powodują tym samym powstanie zbędnej straty społecznej. Usunięcie tych barier i przywrócenie swobody kształtowania się cen rynkowych wyznaczających ilość równowagi zwiększy nadwyżkę społeczną wypracowywaną przez gospodarkę. Popyt i podaż jako mechanizm regulacji społecznych Model popytu i podaży pozwala nam lepiej zrozumieć, że cena rynkowa nie jest zdeterminowana wyłącznie przez popyt albo tylko przez podaż, ale zostaje ukształtowana przez interakcję, w jaką wchodzą te dwa parametry. W 1890 r. słynny ekonomista Alfred Marshall napisał, że pytanie o to, czy cenę determinuje wyłącznie podaż, czy wyłącznie popyt, nie ma sensu. Byłoby bowiem równie sensowne, jak zastanawianie się: „czy to górne, czy dolne ostrze nożyczek przecina kawałek papieru”. Odpowiedź jest taka, że w proces cięcia (kształtowania cen) zawsze zaangażowane są oba „ostrza” – popytu i podaży. Dostosowania ceny i ilości równowagi na konkretnych rynkach w gospodarce rynkowej (kapitalistycznej) najczęściej rozgrywają się bez nacisków lub nadzoru ze strony państwa. Jeśli zbiory kawy w Brazylii są zmniejszone z powodu niespodziewanej w tym kraju fali mrozów, to krzywa podaży kawy przesuwa się w lewo i cena kawy rośnie. Niektórzy ludzie – nazwijmy ich „kawoszami” – nadal piją kawę i płacą wyższą cenę za każdą filiżankę. Inni zmieniają przyzwyczajenia i zaczynają pić więcej herbaty lub innych napojów bezalkoholowych. Żaden publiczny organ nie jest zaangażowany w ustalenie „optymalnej” ceny kawy ani podejmowanie decyzji, które przedsiębiorstwa będą mogły nabyć kawę od plantatorów, które supermarkety i w których miastach dostaną konkretne ilości kawy do sprzedania lub którym konsumentom ostatecznie wolno będzie pić ten napar. Takie dostosowania w odpowiedzi na zmiany cen zachodzą w gospodarce rynkowej cały czas, zwykle tak płynnie i szybko, że ledwo je zauważamy. Pomyśl o wszystkich sezonowych produktach spożywczych, które są szeroko dostępne i niedrogie w określonych porach roku (np. świeże truskawki na przełomie czerwca i lipca), ale droższe w pozostałych. Ludzie zmieniają swoją dietę, a restauracje menu w odpowiedzi na te wahania cen, bez zamieszania i fanfar. Zarówno dla gospodarki amerykańskiej, jak i dla polskiej, ale też dla gospodarki światowej jako całości rynki – to znaczy popyt i podaż – są fundamentalnym mechanizmem społecznym, który odpowiada na podstawowe pytania o to, co jest produkowane, jak jest produkowane i dla kogo jest produkowane. Dlaczego nie mamy wystarczająco dużo taniej żywności organicznej? Żywność ekologiczna (organiczna) jest uprawiana bez syntetycznych pestycydów, nawozów chemicznych czy genetycznie modyfikowanych nasion. W ostatnich dziesięcioleciach gwałtownie wzrosło zapotrzebowanie na produkty ekologiczne. Organic Trade Association poinformowało, że ich sprzedaż w Stanach Zjednoczonych wzrosła z 1 mld dol. w 1990 r. do 35,1 mld dol. w roku 2013, z czego ponad 90% stanowiły produkty spożywcze. Dlaczego zatem żywność ekologiczna jest droższa niż jej standardowe odpowiedniki? Odpowiedź na to pytanie jest dość łatwa, jeśli do jej udzielenia wykorzystamy model podaży i popytu. Ponieważ ludzie dowiedzieli się więcej o szkodliwym wpływie nawozów chemicznych, hormonów wzrostu, pestycydów i tym podobnych substancji stosowanych w uprawach przemysłowych, doszło do znaczącej zmiany preferencji konsumentów na korzyść bezpieczniejszej żywności ekologicznej. Ta zmiana gustów połączona ze wzrostem dochodów pozwoliła ludziom kupować droższe produkty i sprawiła, że żywność ekologiczna stała się bardziej popularna, a to doprowadziło do zwiększonego popytu. Ilustracją graficzną tych trendów byłoby przesunięcie krzywej popytu w prawo, co automatycznie oznacza przesunięcie w górę po krzywej podaży, ponieważ reakcją producentów na wzrost cen rynkowych byłoby zwiększenie ilości oferowanych na rynku. Oprócz ruchu po krzywej podaży doszło również do przesunięcia tej krzywej w prawo, bowiem z biegiem czasu liczba rolników zajmujących się uprawami ekologicznymi także wzrosła. Ponieważ zarówno popyt, jak i podaż przesunęły się w prawo, ilość żywności ekologicznej w równowadze jest zdecydowanie wyższa niż jeszcze 20–30 lat temu. Jednak cena warzyw i owoców ekologicznych spadłaby tylko wtedy, gdyby wzrost podaży był większy niż wzrost popytu. A to może potrwać, ponieważ dostosowanie po stronie podaży (wzrost areału upraw organicznych) następuje wolniej niż dostosowanie po stronie popytu. Koszt produkcji tej żywności może również w sposób trwały pozostać wyższy w porównaniu z uprawami przemysłowymi, ponieważ nawozy organiczne i naturalne metody zwalczania szkodników są droższe niż pestycydy i nawozy sztuczne. A więc ceny żywności ekologicznej mogą nigdy nie obniżyć się do poziomu jej standardowych odpowiedników. Na koniec konkretny przykład z rynku amerykańskiego: w kwietniu 2013 r. Environmental Working Group opublikowało zestawienie „parszywej dwunastki” owoców i warzyw, które zawierają szczególnie dużo pestycydów, nawet po umyciu. Wpisanie na tę listę truskawek doprowadziło do wzrostu popytu na truskawki ekologiczne, co skutkowało wzrostem zarówno ceny równowagi, jak i ilości truskawek organicznych będących przedmiotem transakcji rynkowych. Key Concepts and Summary Nadwyżka konsumenta to różnica między ceną, którą konsumenci są gotowi zapłacić w oparciu o swoje preferencje, a ceną równoważącą rynek. Nadwyżka producenta z kolei to różnica między ceną, przy której producenci są skłonni zaoferować swój produkt na rynku, biorąc pod uwagę koszty produkcji, a ceną równowagi rynkowej. Nadwyżka społeczna (całkowita, ekonomiczna) to suma nadwyżek konsumenta i producenta. Wartość całkowitej nadwyżki jest maksymalna, jeśli na rynku panuje równowaga. Przy każdym innym poziomie ceny i ilości nadwyżka ekonomiczna będzie mniejsza. Strata społeczna to zmniejszenie całkowitej nadwyżki, które jest konsekwencją zmniejszenia lub zwiększenia ilości będącej przedmiotem transakcji rynkowych w stosunku do poziomu równoważącego rynek. Self-Check Question Czy cena maksymalna zwiększa lub zmniejsza liczbę transakcji na rynku? Dlaczego? A co z ceną minimalną? Zakładając, że ludzie przestrzegają prawa i nie zawierają transakcji przy cenach wyższych od ceny maksymalnej, cena rynkowa będzie poniżej równowagi, co oznacza, że popyt (Q d ) będzie większy niż podaż (Q s ). W konsekwencji liczba transakcji spadnie do Q s . Analogicznie rozumując, przy cenie minimalnej cena rynkowa będzie wyższa od ceny równowagi, więc Q d będzie mniejsze niż Q s . Ponieważ limitem transakcji jest tutaj popyt, liczba transakcji spadnie do Q d . Należy zauważyć, że ponieważ zarówno ceny minimalne, jak i ceny maksymalne zmniejszają liczbę transakcji, nadwyżka społeczna także jest mniejsza. Jeśli cena minimalna przynosi korzyści producentom, to dlaczego zmniejsza nadwyżkę społeczną? Ponieważ straty dla konsumentów są większe niż korzyści dla producentów, efekt netto jest ujemny. Ponieważ utracona nadwyżka konsumenta jest większa niż dodatkowa nadwyżka producenta, nadwyżka społeczna spada. Review Questions Czym jest nadwyżka konsumenta? W jaki sposób można ją zilustrować, wykorzystując krzywe popytu i podaży? Co to jest nadwyżka producenta? W jaki sposób można ją zilustrować, wykorzystując krzywe popytu i podaży? Czym jest nadwyżka całkowita? W jaki sposób można ją zilustrować, wykorzystując krzywe popytu i podaży? Jaki jest związek między nadwyżką całkowitą a efektywnością ekonomiczną? Czym jest zbędna strata społeczna? Critical Thinking Questions Jakiego terminu użyłby ekonomista, aby zdefiniować sytuację, w której kupujący dostaje „dobrą ofertę” na jakiś produkt? Wyjaśnij, dlaczego dobrowolne transakcje poprawiają dobrobyt społeczny. Dlaczego na wolnym rynku nigdy nie dojdzie do transakcji w liczbie większej niż ta zapewniająca równowagę? Podpowiedź: Co byłoby potrzebne, aby transakcje zostały zawarte właśnie w tej liczbie? nadwyżka konsumenta (ang. consumer surplus ) dodatkowa korzyść, którą konsument otrzymuje dzięki zakupowi dobra lub usługi, mierzona różnicą między tym, ile byłby skłonny zapłacić, a ceną faktycznie przezeń zapłaconą zbędna strata społeczna (ang. deadweight loss ) strata nadwyżki społecznej, która pojawia się wówczas, gdy rynek produkuje nieefektywną ilość dóbr martwa renta (ang. deadweight loss ) patrz: zbędna strata społeczna nadwyżka ekonomiczna (ang. economic surplus ) patrz: nadwyżka społeczna nadwyżka producenta (ang. producer surplus ) dodatkowa korzyść, jaką otrzymuje producent, sprzedając dobro lub usługę, mierzona różnicą między ceną rzeczywiście uzyskaną przez producenta a ceną, którą byłby on gotowy zaakceptować nadwyżka całkowita (ang. total surplus ) patrz: nadwyżka społeczna", "section": "Popyt, podaż i efektywność", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Multimedia na żądanie Archiwalny zrzut witryny Netflix, Inc., amerykańskiego producenta filmowego oraz dostawcy internetowych usług streamingowych działającego w wielu krajach świata, w tym w Polsce. W USA serwis oferuje klientom również wysyłkę pocztą płyt DVD z filmami. Za usługę tę płaci się stałą opłatę abonamentową. (Źródło: modyfikacja pracy Traci Lawson/Flickr Creative Commons) Ile to będzie? Wyobraź sobie, że idziesz do ulubionej kawiarni, a kelner informuje cię o zmianie cen. Zamiast 6 zł za filiżankę kawy ze śmietanką i cukrem zapłacisz teraz 5 zł za kawę i ewentualnie po złotówce za śmietankę i wybrany słodzik, cukier lub miód. Jeśli nie chcesz zapłacić za kawę więcej niż dotychczasowe 6 zł, musisz wybrać pomiędzy śmietanką a czymś słodkim do kawy. Jeśli chcesz mieć jedno i drugie, musisz zapłacić o 1 zł więcej. Brzmi absurdalnie? Cóż, jest to sytuacja podobna do tej, w jakiej w 2011 r. znaleźli się klienci Netfliksa – platforma podniosła wówczas cenę za jeden ze swoich pakietów usług aż o 60%. Na początku 2011 r. klienci Netfliksa płacili ok. 10 dol. miesięcznie za pakiet składający się z usługi dostępu do streamingu treści wideo oraz możliwości korzystania z wypożyczalni DVD. W lipcu 2011 r. firma ogłosiła zmianę pakietu usług. Klienci, którzy chcieli zachować dostęp zarówno do streamingu, jak i wypożyczalni DVD, musieli zapłacić 15,98 dol. miesięcznie, co stanowiło wzrost ceny o niemal 60%. W 2014 r. przedsiębiorstwo podniosło również cenę subskrypcji usługi streamingu wideo z 7,99 do 8,99 dol. miesięcznie dla nowych klientów z USA. W tym samym roku Netflix zwiększył ponadto cenę korzystania z treści w standardzie 4K z 9 do 12 dol. miesięcznie. Jak na podwyżkę cen zareagowali klienci tego przedsiębiorstwa? Czy porzucili Netfliksa? Czy łatwość dostępu do innych dostawców treści wideo wpłynęła na sposób ich reakcji? Odpowiedzi na te pytania są przedmiotem analizy w niniejszym rozdziale. Skoncentrujemy się w nim na zmianie zapotrzebowania zgłaszanego przez konsumentów w reakcji na zmianę ceny rynkowej, czyli zjawisku, które ekonomiści nazywają elastycznością. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Czym jest elastyczność cenowa popytu i elastyczność cenowa podaży W jakich przypadkach elastyczność przyjmuje skrajne bądź stałe wartości Jakie są związki pomiędzy elastycznością a polityką cenową Względem jakich, poza ceną, parametrów można liczyć elastyczność popytu i podaży Każdy, kto zajmuje się ekonomią, zna prawo popytu: wyższa cena prowadzi do mniejszego zapotrzebowania, ceteris paribus . Jednak odpowiedź na pytanie o to, o ile niższa będzie wielkość zapotrzebowania w reakcji na wzrost ceny, nie jest już taka prosta. Podobnie prawo podaży mówi, że wyższa cena przynosi większą ilość oferowaną na rynku przez sprzedawców, ceteris paribus . Pytanie brzmi: o ile większą? W tym rozdziale wyjaśnimy, jak znaleźć odpowiedzi na te pytania i dlaczego są one niezwykle ważne w świecie realnych problemów ekonomicznych. Analizowanie tych zagadnień wymaga zrozumienia pojęcia elastyczności. Elastyczność (ang. elasticity ) to koncepcja ekonomiczna, która mierzy wrażliwość jednej zmiennej na zmiany innej zmiennej. Załóżmy, że zrzucasz dwa przedmioty z balkonu na drugim piętrze. Pierwszym jest piłka tenisowa, drugim – cegła. Który przedmiot odbije się wyżej? Oczywiście piłka tenisowa. Powiedzielibyśmy, że piłka tenisowa ma większą elastyczność. Rozważmy teraz przykład ekonomiczny. Podatek akcyzowy nałożony na papierosy jest przykładem instrumentu finansowego mającego zmniejszyć negatywne konsekwencje konsumpcji tego specyficznego dobra, które co prawda sprawia subiektywną przyjemność osobie uzależnionej od nikotyny, ale obiektywnie szkodzi zarówno samemu palaczowi, jak i całemu społeczeństwu. W 2021 r. w Polsce stawka podatku akcyzowego nałożonego przez ministra finansów na papierosy wyniosła 747,67 zł za 1 tys. sztuk. Zgodnie z planami rządu podatek akcyzowy miałby w 2022 r. wzrosnąć o 5%, co przełożyłoby się na średni wzrost ceny paczki papierosów o 30 gr. Kluczowe pytanie brzmi: jeśli taka propozycja zostanie ostatecznie wprowadzona w życie, o ile spadną zakupy papierosów? Podatki nakładane na wyroby tytoniowe służą dwóm celom: zwiększaniu dochodów podatkowych państwa i zniechęcaniu do konsumpcji papierosów. Jeżeli wyższy podatek skutecznie zmniejsza konsumpcję i powoduje duży spadek wielkości sprzedaży papierosów, wówczas wzrost podatku nie przyniesie państwu wyraźnie wyższych dochodów. Natomiast w sytuacji, w której wyższy podatek od papierosów nie doprowadzi do znacznego spadku popytu, państwo uzyska większe dochody. Tak więc gdy rząd próbuje określić skutki zmiany stawki podatku od papierosów, musi przeanalizować, w jakim stopniu podatek wpływa na liczbę kupowanych papierosów. To zagadnienie jest znacznie szersze i nie dotyczy jedynie państwa i zbieranych przez nie podatków. Każde przedsiębiorstwo boryka się bowiem z podobnymi problemami. Kiedy rozważa podniesienie ceny, musi określić, jak bardzo jej wzrost zmniejszy wielkość zapotrzebowania na to, co sprzedaje. I odwrotnie, gdy przedsiębiorstwo wystawia swoje produkty na sprzedaż, musi oczekiwać (lub mieć nadzieję), że niższa cena doprowadzi do znacznego wzrostu zapotrzebowania.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Elastyczność cenowa popytu i podaży Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczyć cenową elastyczność popytu Obliczyć cenową elastyczność podaży Zarówno krzywa popytu, jak i krzywa podaży pokazują zależność pomiędzy ceną rynkową a liczbą jednostek, na którą jest zapotrzebowanie lub która jest oferowana przez sprzedawców, ceteris paribus .. Elastyczność cenowa (ang. price elasticity ) to stosunek procentowej zmiany wielkości popytu (Q d ) lub podaży (Q s ) do wywołującej je procentowej zmiany ceny. Elastyczność cenowa popytu (ang. price elasticity of demand ) to procentowa zmiana wielkości zapotrzebowania na dane dobro lub usługę podzielona przez procentową zmianę ceny. Elastyczność cenowa podaży (ang. price elasticity of supply ) to procentowa zmiana ilości oferowanej podzielona przez procentową zmianę ceny. Aby w łatwy sposób wykorzystać kategorie elastyczności, możemy podzielić wartości, jakie przyjmuje ta zmienna, na trzy przedziały, klasyfikujące popyt lub podaż, dla których jest ona liczona, na elastyczne, nieelastyczne lub o elastyczności jednostkowej. Ponieważ w odniesieniu do większości dóbr i usług działa prawo popytu, tzn. że cena i wielkość zapotrzebowania zmieniają się w przeciwnych kierunkach, współczynnik elastyczności cenowej popytu jest zazwyczaj liczbą ujemną. Dlatego wartość współczynnika elastyczności cenowej popytu podaje się zwykle jako wartość bezwzględną, bez znaku ujemnego. W zestawieniu zawartym w znajdują się wartości bezwzględne współczynnika elastyczności cenowej popytu. Elastyczny popyt (ang. elastic demand ) lub elastyczna podaż (ang. elastic supply ) występują, gdy wartość współczynnika elastyczności cenowej popytu lub podaży jest większa niż 1, co oznacza, że reakcja zapotrzebowania lub ilości oferowanej na zmianę ceny jest silniejsza niż sama zmiana ceny. Elastyczności mniejsze niż 1 wskazują, że procentowa zmiana zapotrzebowania lub ilości oferowanej jest mniejsza niż wywołująca je zmiana ceny, co oznacza nieelastyczny popyt (ang. inelastic demand ) lub nieelastyczną podaż (ang. inelastic supply ). Elastyczności jednostkowe (ang. unitary elasticities ) wskazują na proporcjonalną (taką samą) zmianę zapotrzebowania lub ilości oferowanej w stosunku do wywołującej je zmiany ceny. Powyższe stwierdzenia podsumowuje . Trzy przypadki elastyczności Jeżeli... To... Zmienna jest klasyfikowana jako... % zmiana ilości > % zmiana ceny % zmiana ilości % zmiana ceny > 1 elastyczna % zmiana ilości = % zmiana ceny % zmiana ilości % zmiana ceny = 1 o elastyczności jednostkowej % zmiana ilości < % zmiana ceny % zmiana ilości % zmiana ceny < 1 nieelastyczna Zanim przeanalizujemy bardziej szczegółowo kwestie elastyczności, zapoznaj się z poniższym artykułem dotyczącym elastyczności popytu i cen biletów na finał rozgrywek futbolu amerykańskiego Super Bowl. Aby obliczyć elastyczność wzdłuż krzywej popytu lub podaży, ekonomiści używają średniej procentowej zmiany zarówno ilości, jak i ceny. Nazywa się to elastycznością łukową i jest reprezentowane następującymi równaniami: % zmiana ilości = Q 2 – Q 1 Q 2 + Q 1 /2 × 100 % zmiana ceny = P 2 – P 1 P 2 + P 1 /2 × 100 Zaletą metody łukowej pomiaru elastyczności (ang. midpoint method ) jest to, że uzyskuje się taką samą wartość elastyczności między dwoma punktami, niezależnie od tego, czy cena wzrasta, czy spada. Dzieje się tak, ponieważ do wzoru wchodzi w obu przypadkach ta sama podstawa (średnia ilość i średnia cena). Oczywiście, niekiedy liczy się również elastyczność punktową, wówczas zmiana wielkości zapotrzebowania (ilości oferowanej) jest odniesiona do wartości początkowej, a nie średniej z wartości początkowej i końcowej, tak jak w przypadku elastyczności łukowej. Obliczanie elastyczności cenowej popytu Obliczmy elastyczność cenową popytu między punktami A i B oraz między punktami G i H jak na . Obliczanie elastyczności cenowej popytu Elastyczność cenową popytu obliczamy jako procentową zmianę ilości podzieloną przez procentową zmianę ceny. Najpierw stosujemy wzór do obliczenia elastyczności, gdy cena spada z 70 jednostek pieniężnych w punkcie B do 60 w punkcie A: % zmiana ilości = 3000 – 2800 ( 3000 + 2800 ) /2 × 100 = 200 2900 × 100 = 6,9 % zmiana ceny = 60 – 70 ( 60 + 70 ) /2 × 100 = –10 65 × 100 = –15,4 elastyczność cenowa popytu = 6,9% –15,4% = –0,45 A zatem wartość bezwzględna elastyczności popytu między tymi dwoma punktami wynosi 0,45. Jest to wartość mniejsza od jedności, co oznacza, że popyt w tym przedziale jest nieelastyczny. Przypomnijmy, że elastyczność cenowa popytu jest zazwyczaj ujemna, ponieważ cena i wielkość zapotrzebowania z reguły zmieniają się w przeciwnych kierunkach (na krzywej popytu). Niemniej, zgodnie z konwencją przyjętą w tym podręczniku, będziemy traktować elastyczność jako wartość dodatnią. Z matematycznego punktu widzenia będziemy wykorzystywać wartość bezwzględną obliczonego wyniku. Od tej chwili ignorujemy ten szczegół, pamiętając o interpretowaniu elastyczności w kategoriach liczb dodatnich. Oznacza to, że wzdłuż krzywej popytu między punktem B i A zmiana ceny o 1% wywołuje zmianę zapotrzebowania o 0,45% (czyli o mniej niż 1%). Jednoprocentowa zmiana ceny wywołuje procentowo mniejszą zmianę zapotrzebowania. Na przykład wzrost ceny o 10% spowoduje spadek wielkości zapotrzebowania jedynie o 4,5%. Obniżenie ceny o 10% spowoduje wzrost wielkości zapotrzebowania jedynie o 4,5%. Poniższa przeprowadzi cię krok po kroku przez proces obliczania elastyczności cenowej popytu. Obliczanie elastyczności cenowej popytu Oblicz elastyczność cenową popytu na podstawie danych z dla wzrostu ceny z punktu G do H. Czy elastyczność wzrosła, czy spadła? Krok 1. Wiemy, że: elastyczność cenowa popytu = % zmiana ilości % zmiana ceny Krok 2. Na podstawie wzoru na elastyczność łukową wiemy, że: % zmiana ilości = Q 2 – Q 1 ( Q 2 + Q 1 )/2 × 100 % zmiana ceny = P 2 – P 1 ( P 2 + P 1 )/2 × 100 Krok 3. Możemy więc użyć wartości podanych na wykresie w obu równaniach: % zmiana ilości = 1600 – 1800 ( 1600 + 1800 )/2 × 100 = –200 1700 × 100 = –11,76 % zmiana ceny = 130 – 120 ( 130 + 120 )/2 × 100 = 10 125 × 100 = 8,0 Krok 4. Następnie możemy wykorzystać te wartości do obliczenia elastyczności cenowej popytu: elastyczność cenowa popytu = % zmiana ilości % zmiana ceny = –11,76 8 = –1,47 Wartość bezwzględna elastyczności popytu na odcinku między punktami G i H wynosi 1,47. Wartość elastyczności wyrażona w liczbach bezwzględnych wzrosła w miarę przesuwania się w górę wzdłuż krzywej popytu (ang. demand curve ) od punktów A i B do punktów G i H. Przypomnijmy, że elastyczność między punktami A i B wynosi 0,45. Popyt jest nieelastyczny między punktami A i B, a elastyczny między punktami G i H. To pokazuje nam, że elastyczność cenowa popytu zmienia się wzdłuż liniowej krzywej popytu. Obliczanie elastyczności cenowej podaży Załóżmy, że typowe mieszkanie jest wynajmowane za 2600 zł miesięcznie i po tej cenie właściciele wynajmują 10 tys. lokali, jak pokazano na . Kiedy cena wzrasta do 2800 zł miesięcznie, właściciele oferują na rynku 13 tys. lokali. O ile procent wzrasta liczba mieszkań oferowana na rynku? Jaka jest wrażliwość podaży na zmianę ceny? Elastyczność cenowa podaży Obliczamy elastyczność cenową podaży jako procentową zmianę ilości oferowanej na rynku przez sprzedawców podzieloną przez procentową zmianę ceny. Wykorzystując wzór na metodę łukową pomiaru elastyczności (ang. midpoint method ), mamy: % zmiana ilości = 13000 – 10000 ( 13000 + 10000 )/2 × 100 = 3000 11500 × 100 = 26,1 % zmiana ceny = 700 – 650 ( 700 + 650 )/2 × 100 = 50 675 × 100 = 7,4 elastyczność cenowa podaży = 26,1% 7,4% = 3,53 Podobnie jak elastyczność popytu, elastyczność podaży nie jest mierzona w żadnych jednostkach. Elastyczność to stosunek jednej zmiany procentowej do innej zmiany procentowej - nic więcej - i odczytujemy ją jako wartość bezwzględną. W tym przypadku wzrost ceny o 1% powoduje wzrost ilości oferowanej o 3,5%. Wartość współczynnika elastyczności cenowej podaży większa niż 1 oznacza, że procentowa zmiana ilości oferowanej jest większa niż procentowa zmiana ceny. Jeśli zaczynasz się zastanawiać, czy te obliczenia uwzględniają nachylenie krzywej, przeczytaj poniższą . Czy elastyczność jest nachyleniem krzywej? Częstym błędem jest mylenie nachylenia krzywej podaży lub popytu z jej elastycznością. Nachylenie to zmiana mierzona w jednostkach wzdłuż danej krzywej (zmiana y względem zmiany x). Na przykładna w każdym punkcie na krzywej popytu spadek ceny o 10 jednostek pieniężnych powoduje wzrost zapotrzebowania o 200 w porównaniu z punktem po lewej stronie. Nachylenie wynosi –10/200 wzdłuż całej krzywej popytu i nie zmienia się. Elastyczność cenowa zmienia się jednak wzdłuż krzywej. Elastyczność między punktami A i B wynosiła 0,45 i wzrosła do 1,47 między punktami G i H. Elastyczność to zmiana procentowa , która różni się sposobem obliczenia od nachylenia i ma inną interpretację. Kiedy znajdujemy się na górnym końcu krzywej popytu, gdzie cena jest wysoka, a wielkość zapotrzebowania – niska, niewielka zmiana wielkości zapotrzebowania (nawet o jednostkę) jest dość duża w ujęciu procentowym. Z kolei zmiana ceny (np. o 1 zł) będzie o wiele mniej istotna w ujęciu procentowym, niż byłaby na dolnym odcinku krzywej popytu. Natomiast na dolnej części krzywej popytu, gdzie wielkość zapotrzebowania jest wysoka, jej zmiana o jednostkę będzie niewielka w ujęciu procentowym. Tak więc na jednym końcu krzywej popytu, gdzie obserwujemy duże procentowe zmiany wielkości zapotrzebowania przy niewielkich procentowych zmianach ceny, wartość współczynnika elastyczności będzie wysoka, innymi słowy – popyt będzie względnie elastyczny. Natomiast na drugim krańcu krzywej popytu, nawet jeśli zmiana ceny jest analogiczna (czyli cena zmienia się o tyle samo jednostek pieniężnych) i wywołuje taką samą zmianę wielkości zapotrzebowania, to z uwagi na fakt, iż wartości zapotrzebowania są tu znacznie większe, a poziom cen niższy, procentowa zmiana wielkości zapotrzebowania jest mniejsza, a procentowa zmiana ceny – o wiele większa. Oznacza to, że na dole krzywej licznik ułamka będzie mały, a mianownik – duży, więc wartość współczynnika elastyczności będzie o wiele niższa, innymi słowy – popyt będzie nieelastyczny. Gdy poruszamy się wzdłuż krzywej popytu, ilość i cena rosną lub maleją w zależności od tego, czy przesuwamy się w górę, czy w dół. A zatem wartości procentowe np. dla zmiany ceny o jedną jednostkę pieniężną lub zmiany ilości o jednostkę będą się także zmieniać, co oznacza, że stosunek tych zmian procentowych, a co za tym idzie elastyczność, ulegną zmianie. Kluczowe pojęcia i podsumowanie Elastyczność cenowa mierzy reakcję zapotrzebowania lub ilości danego dobra oferowanej na rynku na zmianę jego ceny. Obliczamy ją jako względną (procentową) zmianę zapotrzebowania (lub ilości oferowanej na rynku) podzieloną przez względną (procentową) zmianę ceny. Popyt lub podaż mogą być elastyczne (bardzo wrażliwe), o elastyczności jednostkowej lub nieelastyczne (mało wrażliwe). Elastyczny popyt lub podaż wskazują, że zapotrzebowanie lub ilość oferowana reagują na zmiany cen w sposób bardziej niż proporcjonalny. Nieelastyczne popyt lub podaży to takie, w wypadku których dana względna zmiana ceny powoduje mniejszą co do skali względną zmianę wielkości zapotrzebowania i ilości oferowanej. Elastyczność jednostkowa oznacza, że dana procentowa zmiana ceny prowadzi do takiej samej procentowej zmiany zapotrzebowania lub ilości oferowanej. Pytania Self-Check Na podstawie danych z , dotyczących zapotrzebowania na używane smartfony, oblicz elastyczność cenową popytu przy wzroście ceny: na obszarze pomiędzy punktami B i C, D i E oraz G i H. Za każdym razem oceń, czy popyt jest elastyczny, nieelastyczny, czy może ma elastyczność jednostkową. Punkt P Q A 60 3000 B 70 2 800 C 80 2600 D 90 2400 E 100 2200 F 110 2000 G 120 1800 H 130 1600 Przesuwając się z punktu B do punktu C, cena wzrasta z 70 do 80 jednostek pieniężnych, a zapotrzebowanie spada z 2800 do 2600. A zatem popyt jest nieelastyczny, gdyż wartość współczynnika elastyczności cenowej popytu jest mniejsza niż 1. Przesuwając się z punktu D do punktu E - popyt jest nieelastyczny, gdyż wartość współczynnika elastyczności cenowej popytu jest mniejsza niż 1. Przesuwając się z punktu G do punktu H - popyt jest elastyczny, gdyż wartość współczynnika elastyczności cenowej popytu jest większa niż 1. Na podstawie danych z , odnoszących się do liczby budzików oferowanej na rynku, oblicz elastyczność cenową podaży przy wzroście ceny: na obszarze pomiędzy punktami J i K, L i M oraz N i P. Za każdym razem oceń, czy podaż jest elastyczna, nieelastyczna, czy może ma elastyczność jednostkową. Punkt P Q J 8 50 K 9 70 L 10 80 M 11 88 N 12 95 P 13 100 Przesuwając się z punktu J do punktu K, cena wzrasta z 8 do 9 jednostek pieniężnych, a ilość rośnie z 50 do 70. Czyli podaż jest elastyczna, tzn. jej elastyczność jest większa niż 1. Przesuwając się z punktu L do punktu M, cena wzrasta z 10 do 11 jednostek, podczas gdy liczba budzików oferowana na rynku rośnie z 80 do 88, co oznacza, że podaż ma elastyczność jednostkową. Przesuwając się z punktu N do punktu P, cena wzrasta z 12 do 13 jednostek, zaś liczba budzików oferowana na rynku rośnie z 95 do 100, podaż jest więc nieelastyczna - jej wartość jest mniejsza niż 1. Pytania Review Jaki jest wzór na elastyczność cenową popytu? Czym jest elastyczność cenowa popytu? Spróbuj to wyjaśnić własnymi słowami. Czym jest elastyczność cenowa podaży? Czy możesz to wyjaśnić własnymi słowami? Pytania Critical Thinking Transatlantyckie podróże lotnicze w klasie biznes mają szacunkową wartość współczynnika elastyczności cenowej popytu na poziomie 0,62, podczas gdy transatlantyckie podróże lotnicze w klasie ekonomicznej mają szacowaną wartość współczynnika elastyczności cenowej popytu na poziomie 0,12. Jak myślisz, dlaczego tak jest? Jaka jest zależność między wartością współczynnika elastyczności cenowej popytu a punktem na krzywej popytu? Na przykład gdy przesuwasz się w górę krzywej popytu, do wyższych cen i mniejszych ilości, co się dzieje z wartością współczynnika elastyczności cenowej popytu? Jak można to wytłumaczyć? Zadania Równanie krzywej popytu to P = 48 – 3Q. Ile wynosi wartość współczynnika elastyczności cenowej popytu przy zmianie zapotrzebowania z 5 do 6? Równanie krzywej popytu to P = 2/Q. Jaka jest wartość współczynnika elastyczności cenowej popytu, gdy cena spada z 5 do 4? Jaka jest wartość współczynnika elastyczności cenowej popytu, gdy cena spada z 9 do 8? Czy można by oczekiwać, że te odpowiedzi będą takie same? Równanie krzywej podaży to 4P = Q. Jaka jest wartość współczynnika elastyczności cenowej podaży przy wzroście ceny z 3 do 4? Jaka jest wartość współczynnika elastyczności cenowej podaży przy wzroście ceny z 7 do 8? Czy można by oczekiwać, że te odpowiedzi będą takie same? Równanie krzywej podaży to P = 3Q – 8. Ile wynosi wartość współczynnika elastyczności cenowej podaży przy zmianie ceny z 4 do 7? popyt elastyczny (ang. elastic demand ) wartość współczynnika elastyczności cenowej popytu jest większa niż 1, co wskazuje na wysoką wrażliwość zapotrzebowania na zmiany cen rynkowych podaż elastyczna (ang. elastic supply ) wartość współczynnika elastyczności cenowej podaży jest większa niż 1, co wskazuje na wysoką wrażliwość ilości oferowanej na rynku na zmiany cen rynkowych elastyczność (ang. elasticity ) koncepcja ekonomiczna, która mierzy wrażliwość jednej zmiennej na zmiany innej zmiennej popyt nieelastyczny (ang. inelastic demand ) wartość współczynnika elastyczności cenowej popytu jest mniejsza niż 1, co oznacza, że wzrost ceny rynkowej o 1 % prowadzi do zmiany zapotrzebowania o mniej niż 1 % (i odwrotnie); wskazuje to na słabą reakcję konsumentów na zmiany cen rynkowych podaż nieelastyczna (ang. inelastic supply ) wartość współczynnika elastyczności cenowej podaży jest mniejsza niż 1, co oznacza, że wzrost ceny rynkowej o 1% powoduje wzrost ilości oferowanej na rynku o mniej niż 1%; wskazuje to na słabą reakcję przedsiębiorstw na wzrost cen rynkowych (i analogicznie na spadek cen) elastyczność cenowa (ang. price elasticity ) zależność między względną zmianą ceny rynkowej a wynikającą z niej odpowiednią względną zmianą wielkości popytu lub podaży elastyczność cenowa popytu (ang. price elasticity of demand ) względna zmiana wielkości zapotrzebowania na dobro lub usługę podzielona przez względną zmianę ceny rynkowej elastyczność cenowa podaży (ang. price elasticity of supply ) względna zmiana ilości oferowanej podzielona przez względną zmianę ceny rynkowej elastyczność jednostkowa (ang. unitary elasticity ) sytuacja, w której zmiana ceny rynkowej dobra lub usługi powoduje jednakowo proporcjonalną zmianę wielkości zapotrzebowania lub ilości oferowanej na rynku; w przypadku elastyczności jednostkowej wartość współczynnika elastyczności cenowej jest równa 1", "section": "Elastyczność cenowa popytu i podaży", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Skrajne przypadki elastyczności Po przeczytaniu tego podrozdziału będziesz w stanie: Identyfikować doskonale elastyczne i doskonale nieelastyczne przypadki popytu i podaży Analizować wykresy doskonale elastycznych i doskonale nieelastycznych krzywych popytu, jak również wykres krzywej popytu o stałej elastyczności jednostkowej Popyt/podaż doskonale elastyczne (ang. perfectly elastic demand/supply ) lub inaczej nieskończenie elastyczne popyt/podaż (ang. infinitely elastic demand/supply ) [wykorzystywany jest również termin elastyczność doskonała (ang. perfect elasticity )] odnosi się do skrajnej sytuacji, w której wielkość zapotrzebowania (Q d ) lub ilość oferowana na rynku (Q s ) zmienia się o nieskończoną wartość w odpowiedzi na jakąkolwiek zmianę ceny rynkowej. W obu przypadkach krzywa podaży (ang. supply curve ) i krzywa popytu (ang. demand curve ) są poziome, jak pokazano na . Doskonale elastyczne krzywe podaży występują na realnych rynkach niezwykle rzadko, niemniej jednak dobra, które produkuje się wykorzystując stosunkowo łatwo dostępne nakłady i których produkcję można łatwo zwiększać, będą się charakteryzować wysoce elastycznymi krzywymi podaży (np. pizza, chleb, książki lub ołówki). Podobnie rzecz ma się z popytem doskonale elastycznym, który – jako teoretyczny koncept – występuje w modelu doskonale konkurencyjnego rynku, co zostanie omówione w jednym z kolejnych rozdziałów podręcznika. Jednak towary luksusowe, dobra, na które konsumenci wydają istotną część swoich dochodów, oraz dobra mające wiele substytutów prawdopodobnie będą charakteryzowały się wysoce elastycznymi krzywymi popytu. Przykładami takich dóbr są rejsy po Karaibach i sportowe samochody. Popyt i podaż doskonale elastyczne Linie poziome pokazują, że zarówno zapotrzebowanie, jak i ilość oferowana mogą przyjąć nieskończone wartości przy określonej cenie rynkowej. Wykres ilustruje przypadki doskonale (lub nieskończenie) elastycznych krzywych popytu (panel a) i podaży (panel b). Wielkość zapotrzebowania lub ilości oferowanej jest niezwykle czuła na zmiany cen rynkowych, przesuwając się od zera dla cen bliskich P do nieskończoności, gdy ceny osiągają poziom P. Popyt/podaż doskonale nieelastyczne (ang. perfectly inelastic demand/supply ), jak pokazuje , odnoszą się do skrajnego przypadku, w którym procentowa zmiana ceny, bez względu na jej wielkość, nie prowadzi do zmiany zapotrzebowania lub ilości oferowanej. Podczas gdy doskonale nieelastyczna podaż jest skrajnym przypadkiem, który wyłącznie jako teoretyczna koncepcja wykorzystywany jest w rozważaniach makroekonomicznych, towary, do których produkcji wykorzystuje się czynniki wytwórcze o ograniczonej podaży, najprawdopodobniej będą charakteryzować się wysoce nieelastycznymi krzywymi podaży. Przykładami są pierścionki z brylantami lub mieszkania w doskonałych lokalizacjach, takich jak te z widokiem na Central Park w Nowym Jorku lub warszawskie Łazienki. Podobnie, podczas gdy doskonale nieelastyczny popyt w zasadzie nie występuje na realnie istniejących rynkach, dobra zaspokajające najważniejsze potrzeby (żywność) i niemające bliskich substytutów mogą mieć wysoce nieelastyczne krzywe popytu. Tak jest w przypadku specjalistycznych leków i paliw silnikowych. Popyt i podaż doskonale nieelastyczne Pionowa krzywa podaży i pionowa krzywa popytu wskazują, że procentowa zmiana wielkości zapotrzebowania (panel a) lub ilości oferowanej na rynku (panel b) będzie wynosiła zero, niezależnie od skali względnych zmian ceny rynkowej. Stała elastyczność jednostkowa (ang. constant unitary elasticity ), zarówno dla krzywej podaży, jak i popytu, występuje, gdy dla każdych rozmiarów popytu lub podaży zmiana ceny rynkowej o 1% powoduje zmianę zapotrzebowania lub ilości oferowanej również o 1%. przedstawia krzywą popytu o stałej elastyczności jednostkowej. Korzystając z elastyczności łukowej, można obliczyć, że gdy pomiędzy punktami A i B na krzywej popytu cena zmienia się o 66,7%, to wielkość zapotrzebowania również zmienia się o 66,7%, stąd elastyczność wynosi 1. Między punktami B i C cena ponownie zmienia się o 66,7%, podobnie jak zapotrzebowanie. Między punktami C i D zmiany procentowe ceny rynkowej i zapotrzebowania też wynoszą 66,7%. Dla każdego punktu na krzywej popytu procentowa zmiana ceny jest równa procentowej zmianie zapotrzebowania, stąd elastyczność popytu w każdym punkcie wynosi 1. Zauważ, że w kategoriach absolutnych spadki ceny w miarę schodzenia w dół po krzywej popytu nie są identyczne. Cena spada o 8 jednostek pieniężnych przy przejściu z punktu A do B, ale tylko o 4, gdy przemieszczamy się z punktu B do C, i o 2 jednostki przy ruchu z punktu C do D. W rezultacie krzywa popytu o stałej elastyczności jednostkowej ma bardziej strome nachylenie po lewej stronie i bardziej płaskie po prawej oraz kształt wypukłej, zakrzywionej linii (hiperboliczny), a nie prostej. Krzywa popytu o stałej elastyczności jednostkowej Krzywa popytu o stałej elastyczności jednostkowej będzie zakrzywioną linią (matematycy nazwaliby ją hiperbolą równoosiową). Zwróć uwagę, że cena i wielkość zapotrzebowania zmieniają się o identyczną wielkość procentową między każdą parą punktów na krzywej popytu. W przeciwieństwie do krzywej popytu o stałej elastyczności jednostkowej, która ma kształt zakrzywionej linii, krzywa podaży o stałej elastyczności jednostkowej jest linią prostą przechodzącą przez początek układu współrzędnych. Między każdą parą punktów zaznaczonych na krzywej podaży występuje taka sama różnica w ilości oferowanej, równa w naszym przypadku 30. Natomiast wielkości procentowe, obliczone przy wykorzystaniu elastyczności łukowej, maleją w miarę przesuwania się z lewej strony do prawej: z 28,6% do 22,2% i 18,2%. Dzieje się tak, ponieważ przy obliczaniu procentowych zmian ilości oferowanej mianownik wyrażenia cały czas rośnie, podczas gdy wartość licznika nie ulega zmianie. Przyjrzyjmy się zmianom ceny przy ruchu w górę krzywej podaży na . Przesuwając się z punktu D do E, a następnie do punktu F i G, zmiana ceny jest każdorazowo taka sama w kategoriach absolutnych i wynosi 1,50 jednostki pieniężnej. Jednak zmiany cen w kategoriach procentowych, biorąc pod uwagę elastyczność łukową, maleją: z 28,6% do 22,2% i 18,2%. Ponownie wynika to z faktu, że mianownik wyrażenia służącego obliczeniu elastyczności cały czas rośnie (wraz ze wzrostem poziomu ceny rynkowej), natomiast licznik pozostaje na niezmienionym poziomie. Przy ruchu wzdłuż krzywej podaży o stałej elastyczności jednostkowej procentowe wzrosty ilości oferowanej, odkładane na osi poziomej, dokładnie odpowiadają procentowym wzrostom ceny rynkowej, odkładanym na osi pionowej, tak więc krzywa podaży ma stałą elastyczność jednostkową dla wszystkich tworzących ją punktów. Krzywa podaży o stałej elastyczności jednostkowej Krzywa podaży o stałej elastyczności jednostkowej jest linią prostą mającą swój początek w punkcie przecięcia osi układu współrzędnych. Między każdą parą punktów tworzących podaż procentowy wzrost ilości oferowanej jest taki sam jak procentowy wzrost ceny rynkowej. Kluczowe pojęcia i podsumowanie Popyt lub podaż doskonale elastyczne występują w skrajnym przypadku, w którym wielkość zapotrzebowania lub ilości oferowanej zmienia się o nieskończoną wartość w odpowiedzi na jakąkolwiek zmianę ceny rynkowej. Natomiast popyt lub podaż doskonale nieelastyczne występują w skrajnej sytuacji, w której procentowa zmiana ceny rynkowej, bez względu na jej wielkość, nie prowadzi do zmiany ani zapotrzebowania, ani ilości oferowanej. Stała elastyczność jednostkowa krzywej podaży lub popytu odnosi się do sytuacji, w której zmiana ceny o 1% zawsze powoduje analogiczną zmianę ilości oferowanej i zapotrzebowania. Pytania Self-Check Dlaczego krzywa popytu o stałej elastyczności jednostkowej jest wypukła? Krzywa popytu o stałej elastyczności jednostkowej jest wypukła, ponieważ aby utrzymać stałe względne tempo zmian cen, nie może ono pozostać niezmienne w kategoriach absolutnych. Po lewej stronie krzywej popytu występują wysokie ceny, zaś przy przesuwaniu się w prawą stronę spadki cen są coraz mniejsze. Powoduje to, że krzywa popytu jest stroma po lewej stronie i płaska po prawej, przyjmując zakrzywiony, wypukły kształt. Dlaczego krzywa podaży o stałej elastyczności jednostkowej jest linią prostą? Jest ona linią prostą, ponieważ krzywa ma nachylenie dodatnie i zarówno cena, jak i ilość rosną proporcjonalnie. Pytania Review Opisz ogólny wygląd krzywej popytu lub podaży o zerowej wartości współczynnika elastyczności cenowej. Opisz ogólny wygląd krzywej popytu lub podaży o wartości współczynnika elastyczności cenowej równej nieskończoności. Pytania Critical Thinking Czy możesz pomyśleć o rynku konkretnego produktu (lub branży), na którym występuje podaż o niemal nieskończonej elastyczności w krótkim okresie? Oznaczałoby to, że na tym rynku w odpowiedzi na wzrost ceny można zwiększać ilość oferowaną (Q s ) prawie bez ograniczeń . Problemy Podaż obrazów zmarłego w 1519 r. Leonarda da Vinci, który namalował m.in. Mona Lisę oraz Damę z gronostajem . jest nieelastyczna. Naszkicuj wykres podaży i popytu, zwracając uwagę na odpowiednie elastyczności, aby pokazać, że popyt na te obrazy określa ich cenę. Powiedzmy, że pewien stadion ma pojemność 70 tys. miejsc. Jaki kształt przyjmie krzywa podaży biletów na zawody sportowe na tym obiekcie? Uzasadnij odpowiedź. Kiedy czyjeś nerki zawodzą, osoba ta musi być poddawana dializom (chyba że otrzyma przeszczep nerki), inaczej umrze. Naszkicuj wykres podaży i popytu, zwracając uwagę na odpowiednie elastyczności, aby pokazać, że cenę dializy będzie determinować przede wszystkim podaż urządzeń umożliwiających ten zabieg. stała elastyczność jednostkowa (ang. constant unitary elasticity ) sytuacja, w której określona względna zmiana ceny rynkowej prowadzi do takiej samej względnej zmiany wielkości zapotrzebowania lub ilości oferowanej popyt doskonale elastyczny (ang. infinite elastic demand ) sytuacja, w której jakakolwiek zmiana ceny danego dobra powoduje nieskończenie silną reakcję konsumentów, w zakresie zmiany wielkości popytu na to dobro; w przypadku popytu doskonale elastycznego wartość współczynnika elastyczności cenowej popytu jest równa nieskończoności podaż doskonale elastyczna (ang. infinite elastic supply ) sytuacja, w której jakakolwiek zmiana ceny danego dobra powoduje nieskończenie silną reakcję producenta, w zakresie zmiany wielkości podaży; w przypadku podaży doskonale elastycznej wartość współczynnika elastyczności cenowej podaży wynosi nieskończoność popyt doskonale nieelastyczny (ang. perfectly inelastic demand ) zwany także popytem sztywnym, sytuacja, w której procentowa zmiana ceny danego dobra, bez względu na jej wielkość, nie prowadzi do zmiany wielkości popytu na to dobro podaż doskonale nieelastyczna (ang. perfectly inelastic supply ) zwana także podażą sztywną, sytuacja, w której procentowa zmiana ceny danego dobra, bez względu na jej wielkość, nie prowadzi do zmiany wielkości podaży tego dobra", "section": "Skrajne przypadki elastyczności", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Elastyczność a cena Po przeczytaniu tego podrozdziału będziesz w stanie: Przeanalizować, w jaki sposób zmiana ceny przy różnej wartości współczynnika elastyczności cenowej popytu wpływa na zmianę utargu przedsiębiorstwa Przewidzieć, w jaki sposób czynniki wpływające na elastyczność w krótkim i długim okresie wpływają na równowagę rynkową Objaśnić, w jaki sposób elastyczności popytu i podaży wpływają na rozkład obciążeń podatkowych ponoszonych przez nabywców i sprzedawców Wykorzystanie kategorii elastyczności jest przydatne z wielu powodów, z których najważniejszym jest polityka cenowa. Przeanalizujmy, jaki jest związek elastyczności z utargiem i cenami zarówno w długim, jak i krótkim okresie. Najpierw przyjrzyjmy się elastycznościom popytu na niektóre powszechnie nabywane w USA dobra i usługi. przedstawia wartości współczynnika elastyczności cenowej popytu na wybrane dobra i usługi, zaczerpnięte z różnych badań przeprowadzonych przez ekonomistów w Stanach Zjednoczonych, uszeregowane rosnąco. Wybrane wartości współczynnika elastyczności cenowej popytu w USA Dobra i usługi Wartość współczynnika elastyczności cenowej popytu Mieszkania 0,12 Transatlantyckie podróże lotnicze klasą ekonomiczną 0,12 Transport kolejowy w godzinach szczytu 0,15 Elektryczność 0,20 Taksówki 0,22 Benzyna 0,35 Transatlantyckie podróże lotnicze pierwszą klasą 0,40 Wino 0,55 Wołowina 0,59 Transatlantyckie podróże lotnicze klasą biznes 0,62 Artykuły AGD 0,63 Telewizja kablowa – pakiety podstawowe na obszarach wiejskich 0,69 Kurczaki 0,64 Napoje bezalkoholowe 0,70 Piwo 0,80 Nowe samochody 0,87 Transport kolejowy – poza szczytem 1,00 Komputery 1,44 Telewizja kablowa – pakiety podstawowe na obszarach miejskich 1,51 Telewizja kablowa – kanały premium 1,77 Posiłki w restauracji 2,27 Należy pamiętać, że popyt na dobra zaspokajające najważniejsze potrzeby, takie jak mieszkania i elektryczność, jest nieelastyczny, podczas gdy zapotrzebowanie na produkty, które zaspokajają potrzeby mniej istotne z punktu widzenia przeciętnego konsumenta, takie jak posiłki w restauracji, jest bardziej wrażliwy na zmiany ceny rynkowej. Jeśli cena posiłku restauracyjnego wzrośnie o 10%, wielkość zapotrzebowania zmniejszy się o 22,7%. Wzrost ceny rynkowej mieszkań o 10% spowoduje jedynie nieznaczny spadek zapotrzebowania – o 1,2%. Zwróć uwagę na ten artykuł , opisany w nim przykład elastyczności cenowej może dotyczyć ciebie. Czy podnoszenie ceny przynosi większy utarg? Wyobraź sobie, że zespół muzyczny występuje w hali z 15 tys. miejsc siedzących. Aby uprościć ten przykład, załóżmy, że członkowie zespołu zatrzymują dla siebie wszystkie pieniądze ze sprzedaży biletów. Przyjmijmy dalej, że zespół ponosi koszty swojego występu, ale te koszty, np. podróż i przygotowanie sceny, są takie same (stałe) bez względu na liczbę osób na widowni. Na koniec załóżmy, że wszystkie bilety mają tę samą cenę. (Wysnute tu wnioski dotyczą również sytuacji, gdy ceny biletów na niektóre miejsca są droższe niż na inne, ale obliczenia stają się wówczas bardziej skomplikowane). Członkowie zespołu wiedzą, że mają do czynienia z krzywą popytu o ujemnym nachyleniu; tzn. jeśli cena biletów wzrośnie, zapotrzebowanie spadnie i uda się sprzedać mniej biletów. W jaki sposób wyznaczyć cenę biletów tak, aby uzyskać największy utarg całkowity, który w tym przykładzie, ze względu na występowanie tylko stałych kosztów, będzie również oznaczał największe zyski? Zauważmy na marginesie, że decyzję, której warunki zostały naszkicowane w powyższym akapicie, ekonomiści nazywają czystym problemem sprzedaży (ang. pure selling problem ) i jest ona charakterystyczna dla wszystkich modeli biznesowych, w których – upraszczając – chodzi o to, żeby coś wypełnić. Podobnie jak w przypadku hali widowiskowej rzecz się ma ze środkami transportu (np. samolotem lub pociągiem), aulą wykładową, a także płatnym odcinkiem autostrady. Czy zespół powinien sprzedać więcej biletów po niższej cenie, czy raczej mniej biletów po cenie wyższej? Kluczową kwestią w rozważaniach nad zmaksymalizowaniem wpływów z utargu jest elastyczność cenowa popytu. Utarg całkowity to cena pomnożona przez liczbę sprzedanych biletów. Wyobraź sobie, że członkowie zespołu zaczynają zastanawiać się nad ustaleniem konkretnej ceny za bilet, co oczywiście zdeterminuje wielkość sprzedaży. Wybierając określoną cenę, można oczekiwać trzech różnych konsekwencji, przedstawionych w . Jeżeli popyt jest elastyczny przy danej cenie, zespół powinien ją obniżyć, ponieważ procentowy spadek ceny spowoduje większy procentowy wzrost sprzedanej liczby biletów, a tym samym zwiększenie utargu całkowitego. Jeśli jednak popyt dla wybranego poziomu ceny jest nieelastyczny, członkowie zespołu powinni ją podnieść, ponieważ procentowy wzrost ceny spowoduje wprawdzie spadek liczby sprzedanych biletów, ale o mniejszej skali, co umożliwi wzrost utargu. Jeśli popyt ma elastyczność jednostkową dla wybranego poziomu ceny, wówczas procentowa zmiana zapotrzebowania będzie identyczna jak umiarkowana procentowa zmiana ceny – tak więc członkowie zespołu uzyskają taki sam utarg niezależnie od tego, czy (umiarkowanie) zwiększą lub zmniejszą cenę biletu. Czy zespół uzyska większy utarg, podnosząc cenę biletów? Jeśli popyt jest . . . To . . . W związku z tym . . . Elastyczny % zmiana Q d > % zmiana P Dany procentowy wzrost P zostanie z nawiązką zniwelowany przez większy procentowy spadek Q, więc utarg całkowity (P × Q) spadnie. O elastyczności jednostkowej % zmiana Q d = % zmiana P Dany procentowy wzrost P zostanie zniwelowany przez dokładnie taki sam procentowy spadek Q, więc utarg całkowity (P × Q) pozostanie niezmieniony. Nieelastyczny % zmiana Q d < % zmiana P Dany procentowy wzrost P spowoduje mniejszy procentowy spadek Q, więc utarg całkowity (P × Q) wzrośnie. Co się stanie, jeśli zespół będzie obniżał cenę, ponieważ popyt wciąż będzie elastyczny, aż osiągnie poziom cen umożliwiający sprzedaż wszystkich 15 tys. miejsc i wypełnienie hali? Jeśli popyt pozostanie elastyczny przy tej liczbie, zespół może spróbować przenieść się do większej hali, aby uzyskać jeszcze większy wzrost utargu, związany z dalszymi obniżkami ceny. Jeśli jednak hala na 15 tys. miejsc jest jedyną dostępną lub też większa arena znacznie zwiększyłaby koszty organizacji koncertu, rozwiązanie to może nie zadziałać. Z drugiej strony, niektóre zespoły są tak sławne lub mają tak zagorzałych fanów, że popyt na bilety może być nieelastyczny aż do momentu, w którym hala jest pełna. Członkowie tych zespołów mogą, jeśli zechcą, podnosić cenę biletu nawet do poziomu, który uniemożliwi wyprzedaż wszystkich miejsc. Przyniesie to bowiem – jak na ironię – większy utarg niż w sytuacji, w której sprzedają wszystkie dostępne bilety, ale po niższej cenie. Dzieje się tak jednak dość rzadko. Zazwyczaj limitem cen, powyżej którego przestają one rosnąć, jest właśnie liczba dostępnych miejsc. Przecież fani, którzy – gdyby musieli – przeznaczyliby jeszcze więcej pieniędzy na bilet, mogą je wówczas wydać na koszulki lub gadżety związane z zespołem. Czy przedsiębiorstwa mogą przenosić koszty na konsumentów? Dla większości przedsiębiorstw najważniejszym obszarem ich codziennej aktywności są próby znalezienia takich sposobów produkcji, które umożliwią obniżenie kosztów działalności i tym samym zagwarantują wyższe zyski. Jednak w pewnych przypadkach cena kluczowego czynnika wytwórczego, na którą przedsiębiorstwo nie ma wpływu, może wzrosnąć. Na przykład wiele przedsiębiorstw chemicznych wykorzystuje ropę naftową jako najważniejszy surowiec do swojej produkcji, ale z oczywistych względów nie mają one kontroli nad ceną ropy na światowych rynkach. Dla kawiarni kluczowym czynnikiem wytwórczym jest kawa, ale nie kontrolują one cen jej ziaren na giełdach towarowych. Jeśli koszt kluczowego dla danego rodzaju produkcji czynnika wytwórczego wzrośnie, to czy przedsiębiorstwo może w całości przenieść tę podwyżkę na konsumentów, po prostu podnosząc ceny? I odwrotnie, jeśli wynalezione zostaną nowe i tańsze sposoby produkcji, to czy przedsiębiorstwo może przejąć wszystkie korzyści wynikające z tego faktu i zwiększyć swoje zyski, czy też rynek będzie wywierał presję, aby przynajmniej część obniżki kosztów zamieniła się w niższe ceny rynkowe dla nabywców? Kategoria elastyczności cenowej popytu odgrywa kluczową rolę w odpowiedzi na te pytania. Wyobraź sobie, że jako nabywca produktów farmaceutycznych czytasz w gazecie artykuł o tym, że nastąpił przełom technologiczny w produkcji aspiryny. Dodajmy tu, że Aspiryna to nazwa zastrzeżona dla kwasu acetylosalicylowego; może jej używać wyłącznie koncern Bayer AG, który jako pierwszy zsyntetyzował tę substancję. Inne przedsiębiorstwa posługują się swoimi nazwami i znakami towarowymi, np. w Polsce są to Etopiryna, Excedrin itd. Dzięki tej innowacji każda fabryka produkująca kwas acetylosalicylowy może teraz wytwarzać specyfik taniej. Co to odkrycie oznacza dla ciebie? przedstawia dwie możliwości. Na panelu (a) krzywa popytu jest bardzo stroma. W tym przypadku postęp technologiczny, który przesuwa krzywą podaży w prawo, z położenia S0 do S1, tak że równowaga przesuwa się z punktu E0 do E1, prowadzi do znacznego obniżenia ceny produktu przy stosunkowo niewielkim wpływie na sprzedawaną ilość. Na panelu (b) krzywa popytu jest niemal płaska. W tym przypadku postęp technologiczny prowadzi do znacznego wzrostu wielkości sprzedaży rynkowej po cenie bardzo zbliżonej do pierwotnej. Ogólnie rzecz biorąc, konsumenci odnoszą większe korzyści, gdy krzywa popytu jest raczej stroma, ponieważ wzrost podaży skutkuje znacznie niższą ceną dla konsumentów. Oczywiście, zależy to od preferencji konsumentów, czy przedkładają znaczny spadek ceny rynkowej przy nieznacznej zmianie wielkości produkcji, czy raczej pokaźny wzrost ilości oferowanej na rynku przez sprzedawców przy nieznacznym tylko spadku ceny. Rozkład korzyści będzie się również zmieniał w sytuacji, w której krzywa podaży będzie przesuwać się w lewo (np. na skutek wzrostu kosztów produkcji). Wówczas stroma krzywa popytu będzie się przekładała na znaczny wzrost cen. Wpływ obniżki kosztów na cenę równowagi rynkowej Postęp technologiczny powoduje przesunięcie podaży w prawo, z położenia S 0 do S 1 ; tzn. przy każdej cenie przedsiębiorstwa będą skłonne dostarczać większą ilość produktu. Jeżeli popyt jest nieelastyczny przy poszczególnych poziomach cen (jego krzywa ma stromy kształt), jak to zostało pokazane na panelu (a), konsekwencją postępu technologicznego prowadzącego do obniżenia kosztów będą znacznie niższe ceny i niewielki wzrost ilości równoważącej rynek. Jeżeli popyt jest elastyczny przy poszczególnych poziomach cen (jego krzywa ma niemal płaski kształt) (panel (b)), rezultatem będą tylko trochę niższe ceny i znaczny wzrost ilości oferowanej na rynku. Konsumenci uzyskują korzyści w obu przypadkach, z powodu większej ilości i niższej ceny, ale korzyść związana ze spadkiem ceny jest większa, gdy krzywa popytu ma stromy kształt, jak na panelu (a). W opisywanym przykładzie producenci aspiryny mogą znaleźć się w trudnym położeniu. Sytuacja przedstawiona na , przy wyjątkowo nieelastycznym popycie, oznacza, że nowy wynalazek może spowodować drastyczny spadek ceny przy niewielkich zmianach ilości będącej przedmiotem transakcji rynkowych. W rezultacie nowa technologia produkcji może prowadzić do spadku utargu, jaki przedsiębiorstwa uzyskują ze sprzedaży aspiryny. Jeśli jednak istnieje silna konkurencja między producentami aspiryny, każdy z nich może nie mieć innego wyboru, jak tylko wynajdować innowacyjne rozwiązania, które pozwolą mu obniżyć koszty produkcji. Ostatecznie jeśli tylko jedna firma nie wdroży nowej technologii redukującej koszty, inne przedsiębiorstwa, które to zrobią, mogą – obniżając ceny rynkowe – doprowadzić ją do bankructwa. Ponieważ popyt na żywność jest generalnie nieelastyczny, rolnicy często mogą spotkać się z sytuacją taką jak na (a). Oznacza to, że wzrost produkcji prowadzi do znacznego spadku cen, co może obniżyć utarg całkowity otrzymywany przez rolników. I odwrotnie, zła pogoda lub pogorszenie innych warunków, które determinują rozmiary produkcji rolnej, mogą gwałtownie podnieść ceny, tak że utarg całkowity rolnika wzrośnie. pokazuje, w jaki sposób zależności te wpływają na rynek kawy. Jak zmieniają się ceny kawy? Kawa jest rośliną uprawianą w wielu krajach świata. Pięcioro największych eksporterów stanowią, Brazylia, Wietnam, Kolumbia, Indonezja i Etiopia. W tych i innych państwach 20 mln rodzin jest uzależnionych od sprzedaży ziaren kawy jako swojego głównego źródła dochodu. Rodziny te są narażone na ogromne finansowe ryzyko, ponieważ światowa cena kawy potrafi podlegać bardzo gwałtownym zmianom, zarówno w górę, jak i w dół. Na przykład w 1993 r. światowa cena kawy wynosiła mniej więcej 50 centów za funt. W 1995 r. była już czterokrotnie wyższa i kształtowała się na poziomie 2 dol. Do 1997 r. spadła o połowę, do 1 dol. za funt. W 1998 r. podskoczyła z powrotem do 2 dol., by w 2001 r. ponownie zanurkować, do poziomu 46 centów za funt. Na początku 2011 r. cena wspięła się na wysokość 2,31 dol., a do końca roku 2012 znów spadła – do 1,31 dol. W czwartym kwartale 2021 r. cena kawy na rynkach światowych podlegała bardzo silnym wahaniom dziennym w przedziale 1,60–2 dol. za funt. Najważniejszym czynnikiem determinującym te silne wahania cenowe jest kombinacja nieelastycznego popytu i gwałtownych zmian podaży. Znaczenie ma również to, że kawa jest towarem wykorzystywanym do spekulacji, w związku z czym jej ceny zmieniają się także wtedy, gdy inwestorzy zwiększają (lub zmniejszają) zakupy surowca, spodziewając się w przyszłości wzrostu (lub spadku) zapotrzebowania. Elastyczność cenowa globalnego popytu na kawę wynosi z grubsza 0,3, czyli wzrost ceny kawy o 10% prowadzi do spadku zapotrzebowania na kawę o ok. 3%. Kiedy w 1994 r. brazylijskie zbiory kawy znacznie zmalały ze względu na niespodziewaną falę mrozu, krzywa podaży kawy przesunęła się w lewo przy nieelastycznym popycie, co doprowadziło do znacznego wzrostu cen. I odwrotnie, kiedy pod koniec lat 90. XX w. Wietnam wszedł na światowy rynek kawy jako główny producent, krzywa podaży przesunęła się w prawo. Przy nieelastycznym popycie ceny kawy drastycznie spadły. (a) przedstawia tę sytuację. Elastyczność decyduje również o tym, czy przedsiębiorstwa mogą przerzucić wyższe koszty na konsumentów. Relatywnie łatwe jest to w wypadku używek, na które popyt jest nieelastyczny. Na przykład popyt na papierosy charakteryzuje się bardzo niską wartością współczynnika elastyczności cenowej popytu wśród uzależnionych od nikotyny osób, które regularnie palą. Badania przeprowadzone przez ekonomistów w USA wskazują, że wzrost ceny papierosów o 10% prowadzi do zmniejszenia liczby wypalanych papierosów jedynie o mniej więcej 3%, a zatem elastyczność popytu na papierosy wynosi 0,3. Jeżeli państwo zwiększy podatki nałożone na papierosy, rezultatem będzie przesunięcie krzywej podaży z położenia S 0 do S 1 , tak jak na (a). Ponieważ jednocześnie równowaga przesuwa się z punktu E 0 do E 1 , ciężar opodatkowania spada głównie na konsumentów, w postaci wyższych cen. Wyższe podatki na papierosy zwiększają dochody podatkowe państwa, ale nie wpływają znacząco na wielkość konsumpcji papierosów. Jeśli celem państwa jest zmniejszenie liczby wypalanych papierosów, można go osiągnąć, wpływając na popyt, czyli przesuwając go w lewo dzięki finansowanym ze środków publicznych programom zniechęcającym do palenia bądź wspomagającym proces porzucania nałogu. Antynikotynowe kampanie reklamowe w istocie przyniosły pewne efekty w ograniczeniu palenia wśród ludności USA. Gdyby jednak popyt na papierosy był bardziej elastyczny, tak jak na (b), wzrost podatków przesuwający krzywą podaży z położenia S 0 do S 1 i równowagę z punktu E 0 do E 1 znacznie zmniejszyłby liczbę wypalanych papierosów. Popyt na papierosy wśród ludzi młodych, którzy dopiero zaczynają palić, wydaje się znacznie bardziej elastyczny niż w przypadku ludzi dorosłych – to znaczy, że w odpowiedzi na dany procentowy wzrost ceny rynkowej liczba palaczy wśród młodzieży zmniejszy się o większy procent niż liczba palaczy wśród dorosłych. Wpływ wzrostu kosztów na cenę równowagi rynkowej Wyższe koszty, które mogą być konsekwencją omawianego powyżej wzrostu opodatkowania papierosów, prowadzą do przesunięcia krzywej podaży w lewo. Przesunięcie to ma tę samą skalę na panelach (a) i (b). Jednak w przypadku nieelastycznego popytu, którym charakteryzują się ceny P 0 i P 1 wskazane na panelu (a), przedsiębiorstwa mogą w dużej mierze przenieść wzrost kosztów opodatkowania na konsumentów, co prowadzi do wyższej ceny rynkowej, bez znacznego spadku liczby papierosów kupowanych w stanie równowagi. Na panelu (b) popyt jest elastyczny przy cenach P 0 i P 1 , więc przesunięcie krzywej podaży skutkuje przede wszystkim znaczącym spadkiem liczby nabywanych papierosów i tylko nieznacznym wzrostem ceny rynkowej. Sytuacja konsumentów pogarsza się w obu wariantach, ale w przypadku popytu nieelastycznego (a) cierpią z powodu płacenia wyższej ceny za niemal tę samą ilość, podczas gdy w sytuacji popytu elastycznego (b) cierpią z powodu zmniejszenia konsumpcji przy zbliżonym poziomie cen (i prawdopodobnie muszą przenieść swoje wydatki na inny rynek). Elastyczność i rozkład obciążeń podatkowych Przykład podatków nakładanych na papierosy pokazał, że w sytuacji, w której popyt jest nieelastyczny, daniny nie są skutecznym narzędziem pozwalającym ograniczyć konsumpcję opodatkowanego dobra i prowadzą przede wszystkim do wzrostu cen rynkowych. To, w jakich proporcjach ciężar podatku obciąża konsumentów i producentów, nazywa się rozkładem obciążeń podatkowych (ang. tax incidence ). Zazwyczaj część podatku jest opłacana przez sprzedawców, a część przez nabywców na rynku opodatkowanego produktu. Jeśli jednak chcemy przewidzieć, która z tych dwóch stron poniesie większy ciężar, wystarczy zbadać elastyczność cenową popytu i podaży. W przykładzie z papierosami łatwo dostrzec, że obciążenie podatkiem spada głównie na nabywców, ponieważ popyt jest mniej elastyczny niż podaż. Jeśli popyt jest mniej elastyczny niż podaż, konsumenci ponoszą większość obciążeń podatkowych. Jeśli z kolei podaż jest mniej elastyczna niż popyt, większość obciążeń podatkowych spada na sprzedawców. Powyższy wniosek wydaje się dość oczywisty. Gdy popyt jest nieelastyczny, konsumenci słabo reagują na zmiany cen i wielkość zapotrzebowania zmniejsza się tylko nieznacznie po wprowadzeniu podatku. W przypadku papierosów popyt jest nieelastyczny, ponieważ konsumenci są uzależnieni od tego produktu. Producenci mogą zatem poprzez wyższe ceny przenieść ciężar podatku na konsumentów, bez znacznego spadku ilości równoważącej rynek. Podobnie dzieje się, gdy państwo wprowadza podatek na rynku o nieelastycznej podaży, takim jak np. hotele przy plaży. Właściciele hoteli nie mają wówczas innego wyjścia, jak tylko zaakceptować niższe ceny, zaś liczba zaoferowanych w równowadze miejsc hotelowych właściwie się nie zmieni. Ciężar podatku przechodzi teraz niemal w całości na sprzedawców. Gdyby podaż była elastyczna, a sprzedawcy mieli możliwość zmiany profilu działalności, reakcja podaży na wprowadzone opodatkowanie byłaby znacznie silniejsza, a ciężar podatku spadający na właścicieli hoteli mniejszy. Podatek doprowadziłby do znacznego zmniejszenia liczby oferowanych miejsc hotelowych przy zachowaniu niemal niezmienionego poziomu cen. przedstawia zależność między rozkładem obciążeń podatkowych a elastycznością popytu i podaży. Elastyczność i rozkład obciążeń podatkowych Nałożenie podatku akcyzowego (i innych podatków obciążających konsumpcję) prowadzi do powstania różnicy pomiędzy ceną rynkową (P c ) a przychodem jednostkowym otrzymywanym przez producentów (P p ). Pionowa odległość między P c i P p to stawka podatku nałożona na jednostkę towaru. P e to cena równowagi przed wprowadzeniem podatku. (a) Gdy popyt jest bardziej elastyczny niż podaż, obciążenie podatkowe konsumentów (P c – P e ) jest mniejsze niż obciążenie podatkowe producentów (P e – P p ). (b) Gdy podaż jest bardziej elastyczna niż popyt, obciążenie podatkowe konsumentów (P c – P e ) jest większe niż obciążenie podatkowe producentów (P e – P p ). Im bardziej elastyczne krzywe popytu i podaży, tym niższe dochody podatkowe. Na (a) podaż jest nieelastyczna, tak jak w przykładzie z hotelami przy plaży. Podczas gdy konsumenci mogą zdecydować się na inne sposoby spędzenia wakacji, hotelarze (sprzedawcy) nie są w stanie łatwo zmienić profilu działalności swoich przedsiębiorstw. Wprowadzając podatek, państwo przyczynia się do powstania różnicy (którą ekonomiści nazywają klinem podatkowym) między ceną rynkową płaconą przez konsumentów P c a przychodem jednostkowym otrzymywanym przez producentów P p . Innymi słowy, cena rynkowa, którą płacą nabywcy, w części jest zatrzymywana przez sprzedawców (przychód jednostkowy), zaś jej pozostała część trafia do państwa w formie podatku. Odległość między ceną rynkową P c a przychodem jednostkowym P p to stawka podatku. Nowa cena rynkowa to P c , ale sprzedawcy otrzymują tylko jej część (P p ), zaś resztę oddają państwu (P cp ). Ponieważ podatek możemy postrzegać jako składnik podnoszący koszty produkcji, analizowana sytuacja mogłaby zostać zobrazowana przez przesunięcie krzywej podaży w lewo, w taki sposób, aby przecinała popyt przy nowej cenie rynkowej (P c ), co prowadzi do ukształtowania się nowej ilości równowagi, tj. Q t . Dla uproszczenia jednak pomija przesunięcie krzywej podaży. Dochód podatkowy jest zdefiniowany jako zacieniony obszar na , który uzyskujemy, mnożąc stawkę podatku nałożonego na dobro lub usługę (w naszym przykładzie na papierosy) przez całkowitą liczbę sprzedanych produktów Q t . Obciążenie podatkowe konsumentów jest konsekwencją wzrostu ceny z początkowego poziomu P e do nowej ceny równowagi P c . Obciążenie podatkowe sprzedawców jest wyrażone jako różnica między początkową ceną równowagi P e a przychodem jednostkowym, który uzyskują po nałożeniu podatku (P p ). Na (a) ciężar podatku spada w nieproporcjonalnie dużym stopniu na sprzedawców, a większa część wpływów podatkowych (obszar zacieniony) wynika z niższego przychodu jednostkowego otrzymywanego przez sprzedających, a nie z wyższych cen płaconych przez kupujących. (b) pokazuje przykład rynku wyrobów tytoniowych, na który nałożono podatek akcyzowy i na którym podaż jest bardziej elastyczna niż popyt. Obciążenie podatkiem dotyka tym razem w nieproporcjonalnie dużym stopniu konsumentów, o czym świadczy duża różnica między płaconą przez nich nową ceną rynkową P ce . Sprzedawcy otrzymują wprawdzie niższy przychód jednostkowy w porównaniu z pierwotną ceną równowagi, ale różnica ta jest znacznie mniejsza niż zmiana ceny dla konsumentów. Na podstawie analizy wykorzystującej kategorie elastyczności popytu i podaży można również przewidzieć, czy podatek nałożony na konkretny rynek może wygenerować duże wpływy do budżetu. Im bardziej elastyczny popyt, tym bardziej prawdopodobne, że konsumenci zmniejszą zapotrzebowanie zamiast płacić wyższe ceny. Im bardziej elastyczna podaż, tym większe prawdopodobieństwo, że sprzedawcy zmniejszą ilość oferowaną, zamiast godzić się na niższe ceny. Na rynku, na którym zarówno popyt, jak i podaż są bardzo elastyczne, nałożenie podatku akcyzowego generuje niskie wpływy do budżetu. Niektórzy uważają, że podatki akcyzowe wpływają negatywnie głównie na konkretne branże, na które są nakładane. Na przykład akcyza na wyroby medyczne obowiązująca od 2013 r. w USA jest rozwiązaniem kontrowersyjnym, ponieważ może zmniejszać rentowność przedsiębiorstw rozpoczynających taką działalność, a tym samym negatywnie wpływać na skalę innowacji w branży medycznej. To z kolei niekorzystnie odbije się na wszystkich potencjalnych konsumentach nowoczesnych produktów medycznych. Jednak to, czy ciężar podatku spadnie głównie na producentów wyrobów medycznych, czy na pacjentów, zależy po prostu od elastyczności popytu i podaży. Wpływ długookresowy a krótkookresowy Wartości elastyczności są często niższe w krótkim niż w długim okresie. Jeśli chodzi o popyt rynkowy, czasami zmiana zapotrzebowania (Q d ) może być trudna w krótkim okresie, ale łatwiejsza w długim. Dobrym przykładem tych zależności jest sposób funkcjonowania rynku energii. W krótkim okresie bardzo trudno jest znacząco zmniejszyć zużycie surowców energetycznych. Owszem, można czasem zabrać się z kimś samochodem zamiast jechać własnym i ustawić domowy termostat na kilka stopni mniej, jeśli koszty paliwa, gazu lub ciepła wzrosną, ale to wszystko. Natomiast w długim okresie można zmienić samochód na małolitrażowy, poszukać pracy bliżej miejsca zamieszkania, kupić energooszczędne sprzęty AGD (żarówki!) lub poprawić izolację energetyczną domu. W efekcie popyt na energię jest w krótkim okresie raczej nieelastyczny, a w długim okresie dość elastyczny. j est przykładem opartym z grubsza na doświadczeniach historycznych, który pokazuje reakcję zapotrzebowania (Q d ) na zmiany cen w krótkim i długim okresie. W 1973 r. cena ropy naftowej była równa 12 dol. za baryłkę, a całkowita konsumpcja ropy w USA wynosiła 17 mln baryłek dziennie. W tym samym roku kraje będące członkami Organizacji Krajów Eksportujących Ropę Naftową (OPEC) wstrzymały eksport ropy do Stanów Zjednoczonych na sześć miesięcy, ponieważ arabscy członkowie organizacji chcieli w ten sposób ukarać USA za poparcie Izraela. OPEC nie przywrócił rozmiarów eksportu do pierwotnego poziomu aż do roku 1975 – posunięcie to możemy interpretować jako przesunięcie krzywej podaży w lewo na amerykańskim rynku ropy naftowej. (a) i (b) pokazują ten sam pierwotny punkt równowagi i identyczne przesunięcie krzywej podaży w lewo z położenia S 0 do S 1 . Jak zmiana podaży może wpłynąć na cenę lub ilość równowagi? Punkt przecięcia krzywej popytu D i krzywej podaży S 0 jest taki sam w na obu panelach (a) i (b) i został oznaczony jako E 0 . Również skala przesunięcia krzywej podaży w lewo, z położenia S 0 do S 1 , jest identyczna na obu panelach. Nowa równowaga (oznaczona jako punkt E 1 ) charakteryzuje się wyższą ceną i mniejszą ilością równowagi w stosunku do początkowych warunków równowagi (E 0 ) na obu panelach. Jednak analizowane na obu panelach ceny różnią się wartością współczynnika elastyczności cenowej popytu – na panelu (b) popyt jest elastyczny, zaś na na panelu (a) nieelastyczny. W rezultacie przesunięcie krzywej podaży może doprowadzić do ustalenia się nowej równowagi przy znacznie wyższym poziomie cen rynkowych w sytuacji nieelastycznego popytu, takiej jak na panelu (a), albo nowej równowagi z niewielkim wzrostem ceny oraz relatywnie dużym spadkiem równowagi przy bardziej elastycznym popycie, takim jak na panelu (b). (a) pokazuje nieelastyczny popyt na ropę w krótkim okresie podobny do tego, jaki istniał w Stanach Zjednoczonych w 1973 r. Na (a) nowa równowaga (E 1 ) występuje przy cenie 25 dol. za baryłkę, czyli przy mniej więcej dwukrotności ceny sprzed wstrzymania eksportu przez kraje OPEC i przy ilości równowagi wynoszącej 16 mln baryłek dziennie. (b) pokazuje, jaki byłby efekt, gdyby popyt na ropę w USA był bardziej elastyczny, co w dłuższej perspektywie byłoby bardziej prawdopodobne. Ta alternatywna równowaga (E 1 ) spowodowałaby wzrost ceny rynkowej tylko do poziomu 14 dol. za baryłkę i większy spadek ilości równowagi – do 13 mln baryłek dziennie. Na przykład w 1983 r. zużycie ropy naftowej w USA wyniosło 15,3 mln baryłek dziennie, czyli mniej niż w 1973 lub 1975 r. Zużycie ropy w USA spadło, mimo że gospodarka amerykańska mierzona wartością PKB była o około jedną czwartą większa w roku 1983 niż w 1973. Głównym powodem zmniejszenia zużycia ropy było to, że wyższe ceny energii pobudziły wysiłki na rzecz jej oszczędzania, a po dekadzie poprawiania izolacji energetycznej domów, używania mniej paliwożernych samochodów, bardziej wydajnych urządzeń i maszyn oraz innych działań oszczędzających paliwo popyt na energię stał się bardziej elastyczny. Po stronie podażowej rynku producentom towarów i usług zazwyczaj łatwiej jest zwiększać produkcję w perspektywie kilkuletniej niż w krótkim, kilkumiesięcznym okresie. W końcu w krótkim okresie zbudowanie nowej fabryki, zatrudnienie wielu nowych pracowników lub otwarcie nowych sklepów może być bardzo kosztowne lub wręcz niemożliwe. Jednak w czasie kilku lat wszystkie te działania stają się znacznie tańsze i łatwiejsze. Na większości rynków dóbr i usług wahania cen rynkowych są większe niż zmiany ilości równowagi w krótkim okresie, ale wahania ilości równowagi są zazwyczaj większe niż zmiany cen w długim okresie. Podstawową przyczyną jest to, że podaż i popyt są często nieelastyczne w krótkim okresie, więc zmiany w popycie lub podaży mogą spowodować stosunkowo większą zmianę ceny równowagi rynkowej. Ponieważ jednak podaż i popyt są bardziej elastyczne w długim okresie, długookresowe ruchy cen są bardziej stłumione, a ilość łatwiej dostosowuje się do zmian sytuacji rynkowej. Kluczowe pojęcia i podsumowanie Na rynkach dóbr i usług wielkości podaży i popytu często stosunkowo ociężale reagują na zmiany cen w krótkim okresie, natomiast w długim okresie skala reakcji jest już znacznie większa. W rezultacie popyt i podaż często (ale nie zawsze) są relatywnie nieelastyczne w krótkim okresie i stosunkowo elastyczne – w długim. Rozkład obciążeń podatkowych zależy od względnej elastyczności cenowej podaży i popytu. Gdy wartość współczynnika elastyczności cenowej podaży jest większa od wartości współczynnika elastyczności cenowej popytu, większość obciążeń podatkowych spada na nabywców, zaś gdy wartość współczynnika elastyczności cenowej popytu jest większa od wartości współczynnika elastyczności cenowej podaży, większość kosztów podatku ponoszą producenci. Wpływy do budżetu z tytułu podatku są tym większe, im bardziej nieelastyczny jest popyt i podaż. Pytania Self-Check Komisja Europejska nakłada na producentów samochodów obowiązek instalowania nowych urządzeń redukujących emisję zanieczyszczeń, co dla jednego pojazdu kosztuje średnio 2000 euro. W jakich warunkach producenci samochodów mogą przenieść prawie wszystkie te koszty na nabywców? W jakich warunkach producenci samochodów mogą przenieść tylko niewielką część tych kosztów na nabywców? Producenci samochodów mogą przenieść ten koszt na konsumentów, jeśli popyt na samochody jest nieelastyczny. Jeśli popyt na samochody jest elastyczny, to producenci muszą ponieść większość kosztów instalacji nowych urządzeń. Przyjmijmy, że zajmujesz się sprzedażą w koncernie farmaceutycznym, a twoje przedsiębiorstwo opracowało nowy lek, który powoduje, że łysym mężczyznom rosną włosy. Załóżmy, że przedsiębiorstwo chce uzyskać jak największy utarg ze sprzedaży tego medykamentu. Jeśli elastyczność cenowa popytu na produkt twojego przedsiębiorstwa przy obecnej cenie wynosi 1,4, czy radzisz podnieść cenę, obniżyć cenę czy utrzymać cenę na niezmienionym poziomie? A gdyby wartość współczynnika elastyczności cenowej popytu wynosiła 0,6? A gdyby była równa 1? Uzasadnij swoją odpowiedź. Jeśli współczynnik elastyczności cenowej popytu wynosi 1,4, należałoby doradzać przedsiębiorstwu obniżenie ceny produktu, ponieważ spadek ceny zostanie z nadwyżką skompensowany przez wzrost ilości sprzedawanego leku. Gdyby wartość współczynnika elastyczności cenowej popytu wynosiła 0,6, przedsiębiorstwo powinno podnieść cenę. Wzrost ceny bowiem z nadwyżką zrekompensuje spadek liczby sprzedanych jednostek i zwiększy utarg całkowity. Jeśli wartość współczynnika elastyczności cenowej popytu wynosi 1, utarg całkowity jest już maksymalny i należałoby rekomendować utrzymanie przez przedsiębiorstwo obecnego poziomu cen. Pytania Review Jeśli popyt jest elastyczny, to przesunięcia krzywej podaży będą miały większy wpływ na ilość czy cenę równowagi? Jeśli popyt jest nieelastyczny, to przesunięcia krzywej podaży będą miały większy wpływ na cenę czy ilość równowagi? Jeśli podaż jest elastyczna, to przesunięcia krzywej popytu będą miały większy wpływ na ilość czy cenę równowagi? Jeśli podaż jest nieelastyczna, to przesunięcia krzywej popytu będą miały większy wpływ na cenę czy ilość równowagi? Czy uważasz, że wartość współczynnika elastyczności cenowej popytu lub podaży będzie większa w krótkim, czy długim okresie? Dlaczego? W jakich okolicznościach ciężar podatku jest ponoszony w całości przez nabywców? Pytania Critical Thinking Czy uważasz, że podaż będzie odgrywać większą rolę w kształtowaniu ceny artykułów zaspokajających podstawowe potrzeby, takich jak żywność, czy raczej towarów luksusowych, takich jak perfumy? Odpowiedź uzasadnij. Wskazówka : Zastanów się, jaki jest popyt na obie grupy produktów. Miasto zbudowało most na rzece i postanawia opodatkować przejazd po nim. Przez rok miasto pobiera różne opłaty za przejazd, pozyskując informacje o liczbie kierowców i elastyczności popytu. Jeśli chce uzyskać jak największy utarg, na jakiej części krzywej popytu zdecyduje się pobierać opłaty: nieelastycznej, elastycznej czy o elastyczności jednostkowej? Odpowiedź uzasadnij. Jak podatek akcyzowy wpływa na cenę płaconą przez konsumentów oraz ilość równowagi rynkowej na rynku, na którym podaż jest doskonale nieelastyczna? Problemy Załóżmy, że podaż pracowników o niskich kwalifikacjach jest dość elastyczna, ale popyt pracodawców na takich pracowników jest nieelastyczny. Jeśli celem polityki jest zwiększenie zatrudnienia pracowników o niskich kwalifikacjach, czy lepiej jest skoncentrować się na działaniach w celu przesunięcia krzywej podaży niewykwalifikowanej siły roboczej, czy na działaniach mających na celu przesunięcie krzywej popytu na niewykwalifikowaną siłę roboczą? A jeśli celem polityki jest podniesienie płac dla tej grupy? Wyjaśnij swoje odpowiedzi za pomocą odpowiednich wykresów podaży i popytu. rozkład obciążeń podatkowych (ang. tax incidence ) sposób podziału zawartej w cenie kwoty podatku między nabywców i sprzedawców", "section": "Elastyczność a cena", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Pozacenowe parametry elastyczności Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczyć dochodową elastyczność popytu i mieszaną elastyczność cenową popytu Obliczyć elastyczność rynku pracy i rynku kapitałowego dzięki wykorzystaniu płacowej elastyczności podaży pracy i elastyczności oszczędności Wykorzystać koncepcję elastyczności do analizy realnych problemów gospodarczych Koncepcja elastyczności, czyli ocena tego, w jaki sposób względna zmiana jednej zmiennej powoduje względną zmianę innej zmiennej, nie dotyczy jedynie reakcji ilości oferowanej na rynku i zapotrzebowania na zmiany ceny danego dobra. Przypomnijmy, że popyt (Q d ) zależy nie tylko od ceny dobra, lecz również od dochodów, gustów i preferencji, cen dóbr pokrewnych itd. Podobnie podaż (Q s ) zależy nie tylko od wysokości cen rynkowych, lecz także od czynników determinujących koszty produkcji. Możemy zmierzyć elastyczność dla dowolnej determinanty podaży i popytu, nie tylko dla ceny. Elastyczność dochodowa popytu Elastyczność dochodowa popytu (ang. income elasticity of demand ) to procentowa zmiana wielkości popytu podzielona przez procentową zmianę dochodu. Elastyczność dochodowa popytu = % zmiana wielkości zapotrzebowania % zmiana dochodu Dla większości produktów elastyczność dochodowa popytu jest zazwyczaj dodatnia: to znaczy, że wzrost dochodu powoduje wzrost wielkości popytu. Takie zachowanie jest na tyle powszechne, że wykazujące je dobra nazywamy dobrami normalnymi (ang. normal goods ). Jednak w przypadku niektórych dóbr przy wzroście dochodu nabywcy zmniejszają swoje zapotrzebowanie i kupują mniej, np. hamburgerów (a więcej steków) czy taniego wina (a więcej importowanego piwa). Kiedy elastyczność dochodowa popytu jest ujemna, mamy do czynienia z dobrem niższego rzędu (ang. inferior good ). Czasami elastyczność dochodowa jest zbliżona do zera, wówczas popyt na dane dobra nie zmienia się wraz ze wzrostem dochodu. Przykładami dóbr, w wypadku których elastyczność dochodowa wynosi 0, są sól, sznurówki i trumny. Pojęcia dóbr normalnych i niższego rzędu wprowadziliśmy w . Wyższy poziom dochodu powoduje przesunięcie krzywej popytu na dobro normalne w prawo, co oznacza, że elastyczność dochodowa popytu jest dodatnia. To, jak daleko przesunie się popyt, zależy od wartości dochodowej elastyczności popytu. Wyższa elastyczność dochodowa oznacza większą skalę przesunięcia. Jednak dla dobra niższego rzędu, tzn. gdy elastyczność dochodowa popytu jest ujemna, wyższy poziom dochodu spowoduje przesunięcie krzywej popytu na to dobro w lewo. Ponownie to, jak bardzo przesuwa się krzywa, zależy od (ujemnej) wartości elastyczności dochodowej. W przypadku dóbr o elastyczności dochodowej równej zero, zmiana dochodu nie będzie przesuwać krzywej popytu ani w prawo, ani w lewo. Mieszana elastyczność cenowa popytu Zmiana ceny jednego dobra może zmienić popyt na inne. Jeśli dwa dobra są komplementarne, jak chleb i masło lub kawa i cukier, to spadek ceny jednego doprowadzi do wzrostu popytu na drugie. Jednak jeśli dwa dobra są substytutami, np. bilety lotnicze i kolejowe lub coca-cola i pepsi-cola, wówczas spadek ceny jednego dobra spowoduje, że ludzie będą zwiększać jego konsumpcję, zmniejszając jednocześnie zakupy drugiego. Tańsze bilety lotnicze przynoszą zmniejszenie liczby kupowanych biletów kolejowych i odwrotnie. Mieszana elastyczność cenowa popytu (ang. cross-price elasticity of demand ) pozwala ocenić, jaka relacja łączy dwa dobra. Mieszana elastyczność cenowa popytu jest zatem miarą względnej zmiany wielkości popytu na dobro A, jaka zachodzi pod wpływem określonej względnej zmiany ceny dobra B. Mieszana elastyczność cenowa popytu = % zmiana popytu na dobro A % zmiana ceny dobra B Dobra substytucyjne mają dodatnią mieszaną elastyczność cenową popytu: jeśli dobro A jest substytutem dobra B, jak kawa i herbata, wówczas wyższa cena dobra B będzie oznaczać większą konsumpcję dobra A. Dobra komplementarne mają z kolei ujemną mieszaną elastyczność cenową: jeśli dobro A jest komplementarne w stosunku do dobra B, tak jak kawa i cukier, to wyższa cena dobra B będzie oznaczać mniejszą konsumpcję dobra A. Elastyczność na rynkach pracy i kapitału finansowego Pojęcie elastyczności ma zastosowanie do wszystkich rynków, nie tylko do tych, na których handluje się dobrami i usługami konsumpcyjnymi. Na przykład na rynku pracy płacowa elastyczność podaży pracy (ang. wage elasticity of labor supply ) – czyli procentowa zmiana liczby przepracowanych godzin podzielona przez procentową zmianę płacy – będzie odzwierciedlać kształt krzywej podaży pracy. Konkretnie: Elastyczność podaży pracy = % zmiana wielkości podaży pracy % zmiana płacy Podaż pracy nastoletnich pracowników charakteryzuje się generalnie dość wysoką elastycznością płacową: tzn. dana względna zmiana wynagrodzeń prowadzi do większej względnej zmiany liczby przepracowanych godzin. I odwrotnie, płacowa elastyczność podaży pracy dorosłych pracowników w wieku 30 i 40 lat jest dość niska. Kiedy zarobki rosną lub spadają o określoną wartość wyrażoną w procentach, liczba godzin, które dorośli w sile wieku są skłonni przepracować, zmienia się, ale o względnie mniejszą wartość. Na rynku kapitału finansowego elastyczność oszczędności (ang. elasticity of savings ) – tj. procentowa zmiana wielkości oszczędności podzielona przez procentową zmianę stóp procentowych – opisuje kształt krzywej podaży kapitału finansowego. A zatem: Elastyczność oszczędności = % zmiana wielkości oszczędności finansowych % zmiana stopy procentowej Czasami rząd proponuje przepisy, które mają na celu zwiększenie wolumenu oszczędności poprzez oferowanie ulg podatkowych, tak aby stopa zwrotu (zarobek) z oszczędności był wyższy. W polskich warunkach oznaczałoby to zwolnienie oszczędności z tzw. podatku Belki. Taka polityka będzie miała stosunkowo duży wpływ na zwiększenie kwoty oszczędności, jeśli krzywa podaży kapitału finansowego jest elastyczna, ponieważ określony względny wzrost stopy zwrotu z oszczędności spowoduje silniejszy wzrost ich wolumenu. Jeśli jednak krzywa podaży kapitału finansowego jest wysoce nieelastyczna, wówczas względny wzrost stopy zwrotu z oszczędności spowoduje tylko niewielkie zwiększenie ich wolumenu. Kształt krzywej podaży kapitału finansowego budzi spory wśród ekonomistów, ale elastyczność oszczędności względem stopy procentowej, przynajmniej w krótkim okresie, jest dość niska. Rozszerzenie pojęcia elastyczności Pojęcie elastyczności wcale nie musi odnosić się tylko do typowej krzywej podaży lub popytu. Wyobraź sobie np., że badasz, czy urząd skarbowy powinien wydawać więcej pieniędzy na kontrolę zeznań podatkowych. Możemy sformułować to pytanie, wykorzystując pojęcie elastyczności, tj. mierząc elastyczność dochodów podatkowych względem wydatków na egzekucję podatkową. Inaczej mówiąc – jaka jest procentowa zmiana wielkości pobieranych podatków wynikająca z danej procentowej zmiany wydatków na egzekucję podatkową. Przy stosunkowo dużej liczbie różnych rodzajów elastyczności, które zdefiniowaliśmy w niniejszym rozdziale i z których wybrane znajdują się w , pojawia się możliwość pomyłki. Kiedy słyszysz sformułowania „elastyczność popytu” lub „elastyczność podaży”, odnoszą się one do elastyczności względem ceny. Czasami aby formułować myśli maksymalnie precyzyjnie, będziemy nazywać elastyczność popytu cenową elastycznością popytu lub elastycznością popytu względem ceny. Podobnie gdy ekonomiści czasami używają skróconego terminu „elastyczność podaży”, mają na myśli elastyczność cenową podaży lub elastyczność podaży względem ceny. Niezależnie jednak od kontekstu, pojęcie elastyczności zawsze odnosi się do względnej (wyrażonej w procentach) zmiany jednego parametru, prawie zawsze ceny lub zmiennej wyrażonej w kategoriach pieniężnych, oraz będącej efektem tej zmiany względnej zmiany innego parametru, zazwyczaj mierzącego ilość. Wzory na obliczanie elastyczności Elastyczność dochodowa popytu = % zmiana popytu % zmiana dochodu Mieszana elastyczność cenowa popytu = % zmiana popytu na dobro A % zmiana ceny dobra B Płacowa elastyczność podaży pracy = % zmiana wielkości podaży pracy % zmiana płacy Płacowa elastyczność popytu na pracę = % zmiana wielkości popytu na pracę % zmiana płacy Elastyczność oszczędności względem stopy procentowej = % zmiana oszczędności % zmiana stopy procentowej Elastyczność pożyczek względem stopy procentowej = % zmiana wielkości pożyczek % zmiana stopy procentowej Ile to będzie? Jak wzrost cen o 60% w 2011 r. zakończył się dla Netflixa? To była naprawdę szalona jazda po wyboistym gruncie. Przed podwyżką cen przedsiębiorstwo miało ok. 24,6 mln abonentów w USA. Po wzroście cen 810 tys. rozwścieczonych klientów anulowało subskrypcję, co zmniejszyło łączną liczbę abonentów do 23,79 mln. W czerwcu 2013 r. w Stanach Zjednoczonych było 36 mln subskrybentów usług streamingowych oferowanych przez Netfliksa. Był to wzrost o 11,4 mln od czasu podwyżki cen – średnio kwartalnie o mniej więcej 1,6 mln. Skala wzrostu była jednak mniejsza od tej, którą podmiot ten notował w czwartym kwartale 2010 i w pierwszym kwartale 2011 r. – wówczas miesięczne wzrosty liczby abonentów sięgały 2 mln. W pierwszym roku po wzroście cen abonamentu cena akcji przedsiębiorstwa (która jest w pewnym przybliżeniu miarą oczekiwań dotyczących przyszłości firmy) spadła z ok. 33,60 dol. do prawie 7,80 dol. Jednak pod koniec 2016 r. cena akcji wyniosła 123 dol. Dziś Netflix ma ponad 86 mln subskrybentów w 50 krajach. Co się stało? Oczywiście menedżerowie przedsiębiorstwa rozumieli działanie prawa popytu. Nie ukrywali, ogłaszając podwyżkę cen, że może to spowodować odejście ok. 600 tys. subskrybentów usług. Korzystając ze wzoru na elastyczność popytu, łatwo zauważyć, że przedstawiciele tej firmy oczekiwali nieelastycznej odpowiedzi w zakresie zmian wielkości popytu: = –600,000/[(24 miliony + 24,6 miliona)/2] 6/[(10 + 16)/2] = –600,000/24,3 miliona 6/13 = –0,025 0,46 = –0,05 Ponadto kierownictwo Netfliksa przewidywało, że podwyżka cen będzie miała niewielki wpływ na tempo napływu nowych klientów. Przedsiębiorstwo prognozowało uzyskanie do 1,29 mln nowych subskrybentów w trzecim kwartale 2011 r., co – jak łatwo zauważyć – oznaczało spadek dynamiki w stosunku do 4 mln nowych klientów, których udało się pozyskać w ciągu dwóch kwartałów poprzedzających podwyżkę. Dlaczego szacunki dotyczące liczby klientów, którzy mieli zrezygnować z subskrypcji po podwyżce cen, okazały się tak odległe od rzeczywistości? W ciągu ponad dwóch dekad od powstania Netfliksa wzrosła liczba bliskich, ale nie doskonałych, substytutów dla usług oferowanych przez to przedsiębiorstwo. Konsumenci w USA mieli teraz wybór – od Vudu, Amazon Prime, Hulu i Redbox po sklepy detaliczne. Jaime Weinman napisał, że kioski Redbox to „pięć minut jazdy samochodem dla mniej niż 68% Amerykanów i wygląda na to, że wiele osób nadal uważa, iż pięć minut jazdy jest wygodniejsze niż wczytywanie filmu online”. Wydaje się, że w 2012 r. wielu konsumentów nadal przedkładało możliwość wypożyczenia płyty DVD nad usługi streamingowe. Jakie błędy popełnił zarząd Netfliksa? Oprócz niewłaściwej oceny elastyczności popytu, która nie uwzględniała bliskich substytutów, wydaje się, że jego członkowie mogli również źle ocenić preferencje i gusty klientów. Jednak wraz ze wzrostem populacji i grupy młodych ludzi, zakładających swoje własne gospodarstwa domowe, usługi streamingowe znacznie zyskały na popularności. Netflix, który w 2011 r. był źródłem licznych dowcipów i zjadliwych uwag w nocnych talk-show, znów śmieje się jako ostatni. Kluczowe pojęcia i podsumowanie Elastyczność to koncepcja, która mierzy siłę reakcji dwóch zmiennych. Odnosi się do względnej zmiany jednego parametru podzielonej przez analogiczną zmianę drugiego. Elastyczność możemy wykorzystać przy analizie wielu zależności ekonomicznych. Na przykład elastyczność dochodowa popytu to względna zmiana popytu podzielona przez względną zmianę dochodu. Mieszana elastyczność cenowa popytu to względna zmiana popytu na jedno dobro podzielona przez względną zmianę ceny innego dobra. Podobnie jak na rynkach dóbr i usług, elastyczność ma też zastosowanie na rynkach pracy i kapitału finansowego. Płacowa elastyczność podaży pracy to względna zmiana wielkości podaży pracy podzielona przez analogiczną zmianę płacy. Elastyczność oszczędności względem stopy procentowej to względna zmiana wielkości oszczędności podzielona przez względną zmianę stóp procentowych. Pytania Self-Check Średni roczny dochód wzrasta z 25 tys. do 38 tys. jednostek pieniężnych, a ilość chleba konsumowanego przez przeciętnego człowieka w ciągu roku spada z 30 do 22 bochenków. Jaka jest elastyczność dochodowa konsumpcji chleba? Czy chleb jest dobrem normalnym, czy niższego rzędu? W tym przykładzie chleb jest dobrem niższego rzędu, ponieważ jego konsumpcja maleje wraz ze wzrostem dochodu. Załóżmy, że mieszana elastyczność cenowa jabłek względem ceny pomarańczy wynosi 0,4, a cena pomarańczy spada o 3%. Co stanie się z popytem na jabłka? Wzór na mieszaną elastyczność cenową popytu to: % zmiana popytu na jabłka / % zmianę ceny pomarańczy. Pomnożenie obu stron przez procentową zmianę ceny pomarańczy daje: % zmiana popytu na jabłka = mieszana elastyczność cenowa × % zmiana ceny pomarańczy = 0,4 × ( –3% ) = –1,2% czyli spadek popytu na jabłka o 1,2%. Pytania Review Jaki jest wzór na elastyczność dochodową popytu? Jaki jest wzór na mieszaną elastyczność cenową popytu? Jaki jest wzór na płacową elastyczność podaży pracy? Jaki jest wzór na elastyczność oszczędności względem stóp procentowych? Pytania Critical Thinking Ekonomiści definiują dobra normalne jako posiadające dodatnią elastyczność dochodową. Dobra normalne możemy podzielić na dwie grupy: te, dla których wartość współczynnika elastyczności dochodowej popytu jest mniejsza niż 1 i te, dla których wartość współczynnika elastyczności dochodowej popytu jest większa niż 1. Pomyśl o produktach, które pasują do każdej kategorii. Czy możesz zaproponować nazwy dla tych kategorii? Załóżmy, że możesz kupować buty pojedynczo, a nie parami. Jaka będzie według ciebie mieszana elastyczność cenowa dla lewych i prawych butów tej samej pary? Bibliografia Abkowitz, A. “How Netflix got started: Netflix founder and CEO Reed Hastings tells Fortune how he got the idea for the DVD-by-mail service that now has more than eight million customers. CNN Money . Last Modified January 28, 2009. http://archive.fortune.com/2009/01/27/news/newsmakers/hastings_netflix.fortune/index.htm. Associated Press (a). ”Analyst: Coinstar gains from Netflix pricing moves.” Boston Globe Media Partners, LLC . Accessed June 24, 2013. http://www.boston.com/business/articles/2011/10/12/analyst_coinstar_gains_from_netflix_pricing_moves/. Associated Press (b). “Netflix loses 800,000 US subscribers in tough 3Q.” ABC Inc . Accessed June 24, 2013. http://abclocal.go.com/wpvi/story?section=news/business&id=8403368 Baumgardner, James. 2014. “Presentation on Raising the Excise Tax on Cigarettes: Effects on Health and the Federal Budget.” Congressional Budget Office. Accessed March 27, 2015. http://www.cbo.gov/sites/default/files/45214-ICA_Presentation.pdf. Funding Universe. 2015. “Netflix, Inc. History.” Accessed March 11, 2015. http://www.fundinguniverse.com/company-histories/netflix-inc-history/. Laporte, Nicole. “A tale of two Netflix.” Fast Company 177 (July 2013) 31-32. Accessed December 3 2013. http://www.fastcompany-digital.com/fastcompany/20130708?pg=33#pg33 Liedtke, Michael, The Associated Press. “Investors bash Netflix stock after slower growth forecast - fee hikes expected to take toll on subscribers most likely to shun costly bundled Net, DVD service.” The Seattle Times . Accessed June 24, 2013 from NewsBank on-line database (Access World News). Netflix, Inc. 2013. “A Quick Update On Our Streaming Plans And Prices.” Netflix (blog). Accessed March 11, 2015. http://blog.netflix.com/2014/05/a-quick-update-on-our-streaming-plans.html. Organization for Economic Co-Operation and Development (OECC). n.d. “Average annual hours actually worked per worker.” Accessed March 11, 2015. https://stats.oecd.org/Index.aspx?DataSetCode=ANHRS. Savitz, Eric. “Netflix Warns DVD Subs Eroding; Q4 View Weak; Losses Ahead; Shrs Plunge.” Forbes.com , 2011. Accessed December 3, 2013. http://www.forbes.com/sites/ericsavitz/2011/10/24/netflix-q3-top-ests-but-shares-hit-by-weak-q4-outlook/. Statistica.com. 2014. “Coffee Export Volumes Worldwide in November 2014, by Leading Countries (in 60-kilo sacks).” Accessed March 27, 2015. http://www.statista.com/statistics/268135/ranking-of-coffee-exporting-countries/. Stone, Marcie. “Netflix responds to customers angry with price hike; Netflix stock falls 9%.” News & Politics Examiner , 2011. Clarity Digital Group. Accessed June 24, 2013. http://www.examiner.com/article/netflix-responds-to-customers-angry-with-price-hike-netflix-stock-falls-9. Weinman, J. (2012). Die hard, hardly dying. Maclean's, 125(18), 44. The World Bank Group. 2015. “Gross Savings (% of GDP).” Accessed March 11, 2015. http://data.worldbank.org/indicator/NY.GNS.ICTR.ZS. Yahoo Finance. Retrieved from http://finance.yahoo.com/q?s=NFLX mieszana elastyczność cenowa popytu (ang. cross-price elasticity of demand ) miara względnej zmiany popytu na dobro A w wyniku względnej zmiany ceny dobra B krzyżowa elastyczność cenowa popytu (ang. cross-price elasticity of demand ) patrz: mieszana elastyczność cenowa popytu elastyczność oszczędności (ang. elasticity of savings ) względna zmiana wielkości oszczędności podzielona przez względną zmianę stopy procentowej płacowa elastyczność podaży pracy (ang. wage elasticity of labor supply ) względna zmiana liczby przepracowanych godzin podzielona przez względną zmianę płacy", "section": "Pozacenowe parametry elastyczności", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Wybory inwestycyjne Na ogół decyzję o kontynuowaniu nauki na poziomie uniwersyteckim postrzegamy jako dobrą inwestycję, oczywiście jeśli możemy sobie na to pozwolić finansowo. Dzieje się tak niezależnie od kondycji, w jakiej znajduje się gospodarka naszego kraju. (Źródło: modyfikacja pracy Jasona Bache/Flickr Creative Commons) Entliczek, pentliczek, czerwony stoliczek... Globalny kryzys ekonomiczny, który w latach 2008–2012 dotknął większość gospodarek i nie bez kozery został nazywany największym po Wielkiej Depresji z lat 30. ubiegłego stulecia, wpłynął na dochody gospodarstw domowych na całym świecie. W wielu państwach liczba bezrobotnych gwałtownie wzrosła. Co prawda w krajach rozwiniętych system zabezpieczenia społecznego dzięki zasiłkom i transferom z budżetu gwarantował utrzymanie pewnego minimalnego standardu życia, ale rodziny nadal odnotowywały wyraźny spadek dochodu rozporządzalnego i musiały podejmować trudne decyzje dotyczące struktury i wielkości wydatków. Oczywiście w pierwszej kolejności redukowano wydatki najmniej istotne i te, które pozwalały zaspokoić mniej ważne potrzeby. Mimo tych uwarunkowań istniała jedna, szczególna kategoria wydatków, która odchyliła się od tego trendu, przejawiając w tym czasie powszechny wzrost na całym świecie – np. w USA było to aż 18%. Można byłoby podejrzewać, że chodzi tu o wzrost wydatków na żywność, gdyż drastyczny spadek dochodów z pewnością zredukował popyt na „jedzenie na mieście”, co oznaczałoby, że większe sumy zostaną przeznaczone na zakupy produktów w sklepach spożywczych, do późniejszego przyrządzenia dań w domu. Jednak przeprowadzona przez amerykański urząd statystyczny ( Bureau of Labor Statistics ) analiza wydatków na żywność w USA wykazała, że „rzeczywiste całkowite wydatki na żywność w amerykańskich gospodarstwach domowych w latach 2006–2009 spadły o 5%”. Czyli nie były to artykuły spożywcze. Jakiego zatem dobra (lub usługi) ludzie na całym świecie w czasie kryzysu pragnęli znacznie bardziej niż przed nim? A co ważniejsze – dlaczego? (Cierpliwości, dowiesz się tego na końcu rozdziału). To pytanie prowadzi nas do głównego tematu niniejszego rozdziału – analizy tego, jak konsumenci RZECZYWIŚCIE dokonują wyborów. Jest to proces znacznie bardziej skomplikowany niż nieracjonalne zastosowanie dziecięcej wyliczanki: „entliczek, pentliczek, czerwony stoliczek...”. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Jak ekonomiści objaśniają wybory dokonywane przez konsumentów W jaki sposób zmiany dochodu i cen dóbr wpływają na wybory konsumentów Dlaczego wybory konsumentów nie zawsze są racjonalne Mikroekonomia koncentruje się na zrozumieniu sposobów postępowania poszczególnych podmiotów gospodarczych, takich jak ludzie i przedsiębiorstwa. Ekonomiści uważają, że możemy analizować decyzje jednostek, np. jakie dobra i usługi kupować, jako wybory, których dokonujemy w ramach pewnych ograniczeń budżetowych. Generalnie konsumenci chcą jak najlepiej wykorzystać swój ograniczony budżet. W kategoriach ekonomicznych starają się zmaksymalizować całkowitą użyteczność lub satysfakcję z konsumpcji, biorąc pod uwagę ograniczenia budżetowe. Każdy ma swoje osobiste gusta i preferencje. Francuzi mawiają: Chacun à son goût , czyli „Każdy według własnego gustu”. Z kolei stare łacińskie powiedzenie stwierdza: De gustibus non est disputandum , czyli „O gustach się nie dyskutuje”. Jeśli jednak ludzie opierają swoje decyzje konsumpcyjne na własnych gustach i preferencjach, to w jaki sposób ekonomiści mogą analizować dokonywane przez nich wybory? Ekonomiczne wyjaśnienie tego, dlaczego ludzie dokonują tak różnych wyborów, zaczyna się od zaakceptowania obiegowej mądrości, zgodnie z którą gusty są kwestią osobistą. Jednak ekonomiści uważają również, że na dokonywane przez ludzi wybory wpływ mają ich dochody, ceny konsumowanych dóbr i usług oraz takie czynniki, jak np. miejsce zamieszkania. Niniejszy rozdział przedstawia ekonomiczną teorię opisującą sposób, w jaki konsumenci dokonują swoich wyborów przy ograniczonych dochodach. Analiza przedstawiona w tym rozdziale będzie opierać się na koncepcji ograniczenia budżetowego, którą wprowadziliśmy w . Teraz pokażemy również, w jaki sposób – dzięki teorii ekonomii i narzędziom, które wypracowała – przewidzieć reakcje konsumentów na zmiany cen lub dochodów, do których dostosowują oni swoje wybory. Po przeczytaniu tego rozdziału zapoznaj się z , aby dowiedzieć się więcej o prezentowaniu wyborów konsumenta i osiąganego poziomu użyteczności za pomocą krzywych obojętności.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wybory konsumpcyjne Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczyć użyteczność całkowitą Wskazać decyzje, które pozwolą na maksymalizację użyteczności Objaśnić pojęcie użyteczności krańcowej i znaczenie prawa malejącej użyteczności krańcowej Informacje na temat struktury konsumpcji polskich gospodarstw domowych można znaleźć w publikacjach Głównego Urzędu Statystycznego. ilustruje wzorce wydatków przeciętnego gospodarstwa domowego w Polsce w 2021 r. GUS publikuje tutaj dane dotyczące dochodu i wydatków na jedną osobę w gospodarstwie domowym. Pierwszy wiersz przedstawia miesięczny dochód rozporządzalny, czyli już po odjęciu podatków i innych obowiązkowych narzutów na dochody. Wiersz drugi wskazuje, że w 2021 r. przeciętne polskie gospodarstwo domowe składające się z czterech osób wydawało na konsumpcję nieco ponad 5264 zł w ciągu miesiąca. Tabela następnie dzieli konsumpcję na różne kategorie. Wzorce te będą się różnić dla poszczególnych gospodarstw domowych, w zależności od poziomu dochodów rodziny, głównego źródła dochodów (emeryci i renciści, pracujący na własny rachunek, rolnicy itd.), położenia geograficznego i preferencji. Zgodnie z subiektywną oceną sytuacji materialnej gospodarstw domowych w Polsce w 2021 r. (przywołaną przez GUS w tym samym badaniu, s. 14), ponad 53% z nich oceniło swoją sytuację materialną jako „dobą” i „raczej dobrą”, a kolejne 42% – jako „przeciętną”. Polskie wybory konsumpcyjne w 2021 r. Miesięczny dochód rozporządzalny na osobę 2061,93 zł Przeciętne miesięczne wydatki na osobę 1316,09 zł Żywność i napoje bezalkoholowe 347,45 zł Posiłki poza domem 47,38 zł Użytkowanie mieszkania lub domu i nośniki energii 250,06 zł Odzież i obuwie 57,91 zł Transport 123,71 zł Zdrowie 73,70 zł Rekreacja i kultura 78,97 zł Edukacja 14,48 zł Źródło: GUS, Sytuacja gospodarstw domowych w 2020 r. w świetle badania budżetów gospodarstw domowych Użyteczność całkowita i malejąca użyteczność krańcowa Aby zrozumieć sposób dokonywania wyborów przez gospodarstwo domowe, ekonomiści uwzględniają zarówno to, na jakie dobra i usługi konsumentów stać, jak również ich gusta i preferencje, które determinują poziom satysfakcji lub użyteczności całkowitej (ang. total utility ) płynącej z konsumenckich decyzji. Ilustracją ograniczeń nałożonych na decyzje konsumenta przez wysokość dochodu i ceny dóbr jest ograniczenie budżetowe (lub linia budżetu ) (ang. budget constraint lub budget line ). W przypadku linii ograniczenia budżetowego maksymalna możliwa do nabycia ilość jednego dobra zostaje odłożona na osi poziomej, a maksymalna ilość drugiego – na osi pionowej. Linia ograniczenia budżetowego pokazuje różne kombinacje dwóch dóbr, na które konsumenta stać przy danym dochodzie i cenach. Przyjrzyjmy się sytuacji Jana pokazanej na . Jan lubi kolekcjonować i nosić używane koszulki oraz oglądać stare filmy. przedstawia wykres, na którym liczbę koszulek oznaczono na osi poziomej, a liczbę filmów – na osi pionowej. Gdyby Jan miał nieograniczony dochód lub wspomniane dobra byłyby darmowe, mógłby je nabywać bez ograniczeń. Jednak Jan, jak każdy z nas, napotyka na ograniczenie budżetowe. Na swoje hobby ma do wydania łącznie 56 zł. Cena koszulki wynosi 14 zł, zaś cena filmu 7 zł. Zwróć uwagę, że przecięcie linii ograniczenia budżetowego z osią pionową występuje przy 8 filmach i zerowej liczbie koszulek (56 zł / 7 zł = 8). Punkt przecięcia linii ograniczenia budżetowego z osią poziomą ma wartość 4. To sytuacja, w której Jan wydaje wszystkie swoje pieniądze na koszulki i nie kupuje żadnych filmów (56 zł / 14 zł = 4). Nachylenie linii ograniczenia budżetowego jest równe (–8) / 4 = (–2). Poszczególne punkty wzdłuż linii ograniczenia budżetowego pokazują kombinacje (koszyki) koszulek i filmów, na które Jana stać. Wybór między dwoma dobrami konsumpcyjnymi Jan ma dochód w wysokości 56 zł. Film kosztuje 7 zł, a koszulka 14 zł. Punkty na linii ograniczenia budżetowego pokazują kombinacje liczb filmów i koszulek, na które stać Jana. Jan chce wybrać taką kombinację, która zapewni mu największą użyteczność (ang. utility ). Jest to termin, którego ekonomiści używają do opisania poziomu zadowolenia lub szczęścia danej osoby w konsekwencji jej wyborów konsumpcyjnych. Zacznijmy od założenia, które omówimy bardziej szczegółowo później: że Jan może zmierzyć swoją użyteczność za pomocą umownej jednostki zadowolenia zwanej utylem. (Ważne jest, aby pamiętać, że nie można porównywać zadowolenia różnych osób. Jeśli jedna osoba uzyskuje 20 utyli w związku z wypiciem filiżanki kawy, a druga tylko 10, nie oznacza to, że ta pierwsza lubi kawę dwa razy bardziej. Utyle są bowiem nie tylko miarą subiektywną, różną dla każdego człowieka. ale przede wszystkim jedynie porządkową (ich wartości pozwalają stwierdzić tylko, który koszyk konsumpcji jest bardziej, a który mniej preferowany przez konsumenta, sama bezwzględna różnica między wartościami nie ma żadnej interpretacji). pokazuje, jak użyteczność Jana jest związana z zakupami (konsumpcją) koszulek lub filmów. Pierwsza kolumna tabeli zawiera liczbę kupowanych koszulek. Druga kolumna przedstawia całkowitą użyteczność lub całkowitą satysfakcję, jaką Jan uzyskuje w związku z zakupem danej liczby koszulek. Typową cechą użyteczności całkowitej w tym przykładzie jest to, że konsumpcja dodatkowych jednostek dobra prowadzi do wzrostu użyteczności całkowitej, ale w coraz wolniejszym tempie. Trzecia kolumna przedstawia użyteczność krańcową (ang. marginal utility ), czyli dodatkową użyteczność wynikającą ze wzrostu konsumpcji o jednostkę. Wzór na użyteczność krańcową jest następujący: MU = zmiana użyteczności całkowitej zmiana konsumowanej ilości Zauważmy, że użyteczność krańcowa maleje w miarę kupowania dodatkowych jednostek danego dobra, co oznacza, że każda kolejna konsumowana jednostka zapewnia nabywcy mniejszą dodatkową użyteczność. Na przykład pierwsza koszulka, którą wybrał Jan, jest jego ulubioną i daje mu 22 utyle. Czwarta koszulka jest po prostu czymś do noszenia, gdy wszystkie inne ubrania są w praniu, i daje tylko 18 dodatkowych utyli . Jest to przykład prawa malejącej użyteczności krańcowej (ang. diminishing marginal utility ), zgodnie z którym dodatkowa użyteczność maleje z każdą kolejną nabywaną jednostką. Malejąca użyteczność krańcowa to kolejny przykład bardziej ogólnego prawa malejących przychodów, które omawialiśmy wcześniej w . Pozostała część przedstawia liczbę filmów, które Jan ogląda, oraz jego całkowitą i krańcową użyteczność związaną z oglądaniem każdego filmu. Całkowita użyteczność zachowuje się zgodnie z oczekiwaną prawidłowością: rośnie wraz ze wzrostem liczby oglądanych przez niego filmów. Krańcowa użyteczność również zachowuje się zgodnie z oczekiwanym wzorcem: każdy dodatkowy film przynosi mu mniejszy przyrost użyteczności niż poprzedni. Jan najbardziej chciał zobaczyć pierwszy film, dzięki czemu zapewnia mu on najwyższy poziom użyteczności lub satysfakcji. Piąty film, który ogląda, to tylko sposób zabicia czasu. Zauważ, że użyteczność całkowita jest również sumą użyteczności krańcowych. Przeczytaj , aby poznać sposób obliczania użyteczności całkowitej. Użyteczność całkowita i krańcowa Liczba koszulek Użyteczność całkowita Użyteczność krańcowa Liczba filmów Użyteczność całkowita Użyteczność krańcowa 1 22 22 1 16 16 2 43 21 2 31 15 3 63 20 3 45 14 4 81 18 4 58 13 5 97 16 5 70 12 6 111 14 6 81 11 7 123 12 7 91 10 8 133 10 8 100 9 uwzględnia każdy punkt na linii ograniczenia budżetowego z i sumuje całkowitą użyteczność Jana dla pięciu możliwych kombinacji koszulek i filmów. Znalezienie punktu z najwyższą użytecznością całkowitą Punkt Koszulki Filmy Użyteczność całkowita P 4 0 81 + 0 = 81 Q 3 2 63 + 31 = 94 R 2 4 43 + 58 = 101 S 1 6 22 + 81 = 103 T 0 8 0 + 100 = 100 Obliczanie użyteczności całkowitej Przyjrzyjmy się bardziej szczegółowo, jak Jan podejmuje decyzję. Krok 1. Zauważ, że w punkcie Q (dla przykładu) Jan konsumuje trzy koszulki i dwa filmy. Krok 2. Spójrz na . W trzecim wierszu drugiej kolumny widać, że trzy koszulki są warte 63 utyle . Podobnie, drugi wiersz piątej kolumny pokazuje, że dwa filmy są warte 31 utyli . Krok 3. Na podstawie tych informacji możesz obliczyć, że punkt Q ma całkowitą użyteczność równą 94 (63 + 31). Krok 4. Możesz powtórzyć te same obliczenia dla każdego punktu w , w której w ostatniej kolumnie podane są wartości użyteczności całkowitej. Dla Jana najwyższa użyteczność całkowita dla wszystkich możliwych kombinacji dóbr występuje w punkcie S, z całkowitą użytecznością 103, uzyskiwaną z konsumpcji jednej koszulki i sześciu filmów. Wybór przy wykorzystaniu użyteczności krańcowej Większość ludzi podchodzi do swoich wyborów, które maksymalizują użyteczność, krok po kroku. Podejście to opiera się na spojrzeniu na dostępne spektrum wyborów i porównywaniu użyteczności krańcowej związane z konsumowaniem mniejszej ilości jednego, a większej – drugiego dobra. Powiedzmy np., że Jan zaczyna myśleć o wydaniu wszystkich swoich pieniędzy na koszulki i wybiera punkt P, który odpowiada czterem koszulkom i rezygnacji z filmów, jak pokazuje . Jan wybiera punkt początkowy losowo, ponieważ od czegoś musi zacząć. Następnie rozważa rezygnację z ostatniej koszulki, czyli tej, która zapewnia mu najmniejszą krańcową użyteczność i planuje wykorzystać zaoszczędzone pieniądze na zakup dwóch filmów. śledzi krok po kroku serię decyzji, które może podjąć Jan ( Przypomnijmy : koszulka kosztuje 14 zł, film 7 zł, a dochód, który Jan przeznacza na te dwa dobra, wynosi 56 zł). Poniższa sekcja Work It Out wyjaśnia, w jaki sposób użyteczność krańcowa może wpływać na proces podejmowania decyzji. Podejście krok po kroku do maksymalizacji użyteczności Koszyk Zawartość Użyteczność całkowita Krańcowa korzyść i utrata użyteczności w porównaniu z poprzednim wyborem Wniosek Wybór 1: P 4 koszulki i 0 filmów 81 z 4 koszulek + 0 z 0 filmów = 81 – – Wybór 2: Q 3 koszulki i 2 filmy 63 z 3 koszulek + 31 z 2 filmów = 94 Strata 18 ze względu na 1 koszulkę mniej, ale korzyść 31 w związku z 2 filmami więcej; przyrost netto użyteczności: 13 Q jest preferowane w stosunku do P Wybór 3: R 2 koszulki i 4 filmy 43 z 2 koszulek + 58 z 4 filmów = 101 Strata 20 ze względu na 1 koszulkę mniej, ale korzyść 27 w związku z 2 filmami więcej; przyrost netto użyteczności: 7 R jest preferowane w stosunku do Q Wybór 4: S 1 koszulka i 6 filmów 22 z 1 koszulki + 81 z 6 filmów = 103 Strata 21 ze względu na 1 koszulkę mniej, ale korzyść 23 w związku z 2 filmami więcej; przyrost netto użyteczności: 2 S jest preferowane w stosunku do R Wybór 5: T 0 koszulek i 8 filmów 0 z 0 koszulek + 100 z 8 filmów = 100 Strata 22 ze względu na 1 koszulkę mniej, ale korzyść 19 w związku z 2 filmami więcej; ubytek netto użyteczności: 3 S jest preferowane w stosunku do T Podejmowanie decyzji poprzez porównanie użyteczności krańcowej Jan mógłby przeprowadzić następujący proces myślowy (jeśli myślałby, wykorzystując utyle ), aby podjąć decyzję o tym, ile koszulek i filmów kupić: Krok 1. W Jan widzi, że krańcowa użyteczność czwartej koszulki wynosi 18. Jeśli Jan zrezygnuje z czwartej koszulki, nie zyska 18 utyli . Krok 2. Rezygnacja z czwartej koszulki uwalnia jednak 14 zł (cena koszulki), pozwalając Janowi na zakup dwóch pierwszych filmów (po 7 zł za sztukę). Krok 3. Jan wie, że krańcowa użyteczność pierwszego filmu wynosi 16, a krańcowa użyteczność drugiego filmu jest równa 15. Tak więc, jeśli Jan przechodzi z punktu P do punktu Q, rezygnuje z 18 utyli (w związku z koszulką, której nie kupi), ale zyskuje 31 utyli (ze względu na filmy, które obejrzy). Krok 4. Zyskanie 31 i strata 18 utyli daje korzyść netto równą 13. To kolejny sposób na stwierdzenie, że całkowita użyteczność w punkcie Q (94 według ostatniej kolumny ) jest o 13 większa niż całkowita użyteczność w punkcie P (81). Krok 5. Dla Jana działaniem sensownym jest zatem rezygnacja z zakupu czwartej koszulki, aby obejrzeć dwa filmy. Jan wyraźnie preferuje punkt Q względem punktu P. Teraz powtórz krok po kroku ten sam proces podejmowania decyzji na podstawie użyteczności krańcowych. Jan zastanawia się nad rezygnacją z trzeciej koszulki i utratą użyteczności krańcowej 20 w zamian za zakup dwóch kolejnych filmów, które dadzą łączną użyteczność krańcową wynoszącą 27. Jan woli punkt R od punktu Q. A jeśli Jan będzie dalej zwiększał konsumpcję filmów kosztem nabywanych koszulek (przejście z punktu R do S)? Rezygnacja z drugiej koszulki oznacza utratę użyteczności krańcowej wynoszącą 21, a piąty i szósty film łącznie dawałyby korzyść w postaci użyteczności krańcowej wynoszącą 23. Tak więc Jan woli punkt S od R. Jeśli jednak Jan chciałby w dalszym ciągu zwiększać zakupy filmów, zmniejszając liczbę nabywanych koszulek (przejście z S do T), odkryje, że utrata użyteczności krańcowej w związku z rezygnacją z pierwszej koszulki wynosi 22, podczas gdy korzyść związana ze wzrostem użyteczności krańcowej z dwóch ostatnich filmów wynosi tylko 19. Gdyby Jan wybrał punkt T, jego użyteczność spadłaby do 100. Przechodząc przez te etapy myślenia o krańcowych korzyściach i kosztach, Jan ponownie stwierdza, że punkt S, z jedną koszulką i sześcioma filmami, jest wyborem, który zapewni mu najwyższy poziom całkowitej użyteczności. To podejście krok po kroku prowadzi do tego samego wniosku, niezależnie od kombinacji dwóch dóbr, od której Jan zaczynałby swoje rozumowanie. Możemy opracować bardziej systematyczną metodę korzystania z opisanego wyżej sposobu, koncentrując się na satysfakcji w przeliczeniu na 1 zł. Jeśli przedmiot kosztujący 5 zł daje 10 utyli , to jest wart 2 utyle z każdej wydanej złotówki. Użyteczność krańcowa ze złotego (ang. marginal utility per zloty ) to wartość dodatkowej użyteczności, którą uzyskuje Jan, podzielona przez cenę produktu. pokazuje użyteczność krańcową ze złotego uzyskiwaną przez Jana w związku z zakupami koszulek i filmów. użyteczność krańcowa ze złotego = użyteczność krańcowa cena Jeśli Jan chce zmaksymalizować użyteczność, jaką uzyskuje ze swojego ograniczonego budżetu, zawsze kupi przedmiot o największej użyteczności krańcowej ze złotego swoich wydatków (jeśli może sobie na to pozwolić, biorąc pod uwagę, ile pieniędzy mu jeszcze zostało). Jan zaczyna swoją analizę w momencie, w którym nie ma ani koszulek, ani filmów. Jeśli kupi koszulkę, użyteczność krańcowa z wydanego złotego wyniesie 1,6. Jeśli kupi film, użyteczność krańcowa z wydanego złotego wyniesie 2,3. Dlatego pierwszym zakupem Jana będzie film. Dlaczego? Ponieważ daje mu to największą użyteczność krańcową w przeliczeniu na złotego. Następnie Jan kupi kolejny film. Dlaczego? Ponieważ krańcowa użyteczność następnego filmu (2,14) jest większa niż krańcowa użyteczność kolejnej koszulki (1,6). Zauważ, że kiedy Jan nie ma koszulek, kolejna koszulka jest jego pierwszą. Jan będzie nadal kupował kolejne dobra o najwyższej użyteczności krańcowej ze złotego, dopóki nie wyczerpie swojego budżetu. Będzie kontynuował kupowanie filmów, ponieważ zapewniają mu większą „opłacalność”, aż do szóstego filmu, który daje taką samą krańcową użyteczność ze złotego jak pierwsza zakupiona koszulka. Jan ma akurat wystarczający budżet, aby kupić oba dobra. W sumie Jan kupi sześć filmów i jedną koszulkę. Użyteczność krańcowa ze złotego Liczba koszulek Użyteczność całkowita Użyteczność krańcowa Użyteczność krańcowa ze złotego Liczba filmów Użyteczność całkowita Użyteczność krańcowa Użyteczność krańcowa na złotego 1 22 22 22/14 = 1,6 1 16 16 16/7 = 2,3 2 43 21 21/14 = 1,5 2 31 15 15/7 = 2.,4 3 63 20 20/14 = 1,4 3 45 14 14/7 = 2,0 4 81 18 18/14 = 1,3 4 58 13 13/7 = 1,9 5 97 16 16/14 = 1,1 5 70 12 12/7 = 1,7 6 111 14 14/14 = 1,0 6 81 11 11/7 = 1,6 7 123 12 12/14 = 1,2 7 91 10 10/7 = 1,4 Zasada maksymalizacji użyteczności Powyższy proces podejmowania decyzji sugeruje regułę, której należy przestrzegać przy maksymalizacji użyteczności (ang. maximizing utility ). Ponieważ cena koszulek jest dwa razy większa niż cena filmów to, aby zmaksymalizować użyteczność, ostatnia koszulka, którą wybrał Jan, musi zapewniać dokładnie dwukrotność użyteczności krańcowej (MU) ostatniego filmu. Jeśli ostatnia koszulka przynosi mniej niż dwukrotna użyteczność krańcowa w porównaniu z ostatnim filmem, to koszulka zapewnia mniejszą „opłacalność” (tj. krańcową użyteczność z wydanego złotego), niż uzyskałby Jan, wydając te same pieniądze na filmy. Jeśli tak jest, Jan powinien wymienić koszulkę na więcej filmów, aby zwiększyć swoją użyteczność całkowitą. Jeśli ostatnia koszulka przynosi ponad dwa razy wyższą użyteczność krańcową niż ostatni film, to koszulka zapewnia większą „opłacalność” lub krańcową użyteczność ze złotego, niż gdyby pieniądze zostały wydane na filmy. W rezultacie Jan powinien kupić więcej koszulek. Zauważ, że przy optymalnym wyborze punktu S przez Jana użyteczność krańcowa pierwszej koszulki, równa 22, jest dokładnie dwukrotnością użyteczności krańcowej szóstego filmu, równej 11. Przy tym wyborze użyteczność krańcowa ze złotego jest taka sama dla obu dóbr. To charakterystyczny sygnał, że Jan znalazł punkt o najwyższej użyteczności całkowitej. Możemy to zapisać jako ogólną zasadę: Jeśli zawsze wybierasz przedmiot o największej użyteczności krańcowej z wydanego złotego aż do momentu, gdy twój budżet zostanie wyczerpany, to maksymalizacja użyteczności ma miejsce, gdy użyteczność krańcowa na wydanego złotego jest taka sama dla obu dóbr. MU 1 P 1 = MU 2 P 2 Rozsądny podmiot ekonomiczny zapłaci za coś dwa razy więcej tylko wtedy, gdy dany przedmiot zapewni mu dwa razy większą użyteczność niż alternatywny wybór. Zauważ, że wzór dla powyższej tabeli to: 22 14 = 11 7 1,6 = 1,6 Poniższa pokazuje krok po kroku wybory maksymalizujące użyteczność. Maksymalizacja użyteczności Ogólna zasada: MU 1 P 1 = MU 2 P 2 oznacza, że ostatni złoty wydany na każde dobro zapewnia dokładnie taką samą użyteczność krańcową. Tak jest w przypadku punktu S. A zatem: Krok 1. Gdybyśmy zamienili „złotego więcej filmów” na „złotego więcej koszulek”, użyteczność krańcowa uzyskana z dodatkowych koszulek dokładnie zrównoważyłaby użyteczność krańcową utraconą na skutek mniejszej liczby filmów. Innymi słowy, korzyść netto wyniosłaby zero. Krok 2. Produkty jednak zwykle kosztują więcej niż jedną jednostkę pieniężną, więc nie możemy wymieniać filmów o wartości 1 zł, gdyż takie nie istnieją. Najlepsze, co możemy zrobić, to wymienić dwa filmy na kolejną koszulkę, ponieważ w tym przykładzie koszulka kosztuje dwa razy więcej niż film. Krok 3. Jeśli zamienilibyśmy dwa filmy na jedną koszulkę, przenieślibyśmy się do punktu R (dwie koszulki i cztery filmy). Krok 4. Wybór 4 w pokazuje, że gdybyśmy przeszli do punktu R, zyskalibyśmy 21 utyli z jednej koszulki więcej, ale stracilibyśmy 23 utyle z dwóch filmów mniej, więc w punkcie R skończylibyśmy z mniejszą użytecznością całkowitą. Krótko mówiąc, powyższa ogólna zasada pokazuje nam wybór maksymalizujący użyteczność, który nazywa się równowagą konsumenta (ang. consumer equilibrium ). Jest jeszcze jeden, alternatywny sposób rozważania tych zagadnień. Możemy wyrazić ogólną zasadę determinującą sposób postępowania jednostek również następująco: stosunek cen dwóch dóbr powinien być równy stosunkowi użyteczności krańcowych . Kiedy podzielimy cenę pierwszego dobra przez cenę drugiego, w punkcie, w którym użyteczność jest maksymalna, będzie to równe użyteczności krańcowej pierwszego dobra podzielonej przez użyteczność krańcową drugiego. P 1 P 2 = MU 1 MU 2 Wzdłuż linii ograniczenia budżetowego ceny dwóch dóbr pozostają takie same, więc stosunek cen nie zmienia się. Jednak użyteczność krańcowa obu dóbr zmienia się wraz ze zmianami ich nabywanych ilości. Przy optymalnym wyborze jednej koszulki i sześciu filmów (punkt S) stosunek użyteczności krańcowej do ceny dla koszulek (22:14) odpowiada stosunkowi użyteczności krańcowej do ceny dla filmów (11:7). Mierzenie użyteczności za pomocą liczb Nasza dyskusja o użyteczności rozpoczęła się od przyjęcia założenia, że temu parametrowi jesteśmy w stanie przypisać wartości liczbowe, co może się wydawać założeniem wątpliwym. Możesz kupić w supermarkecie termometr okienny do pomiaru temperatury powietrza, ale nie ma sklepu, który sprzedaje utylimetry służące do pomiaru użyteczności. Owszem, mierzenie użyteczności za pomocą wartości liczbowych jest założeniem służącym przejrzystości wywodu, jednak bardziej istotne niż to, czy ktoś może dokładnie zmierzyć swoją użyteczność, jest fakt, że jednostki są w stanie zdecydować, którą z dwóch dostępnych alternatyw preferują. Aby to zrozumieć, cofnijmy się do analizy procesu stopniowego znajdowania punktu o najwyższej użyteczności całkowitej. Proces ten opiera się na porównaniu użyteczności krańcowej, którą zyskujemy i tracimy w wyniku wyborów różnych koszyków dwóch dóbr leżących wzdłuż linii ograniczenia budżetowego. Gdy Jan porównuje każdą kolejną kombinację leżącą wzdłuż jego ograniczenia budżetowego ze swoim poprzednim wyborem, liczy się nie to, jakie konkretne wartości przypisuje swojej użyteczności – ani czy w ogóle używa jakichś liczb – tylko to, że może osobiście wskazać, które koszyki preferuje. Tym samym opisany proces wyboru najwyższego poziomu użyteczności „krok po kroku” jest podobny do rzeczywistego sposobu, w jaki ludzie podejmują decyzje konsumpcyjne. Zastanawiamy się, które z możliwych do zakupu dóbr sprawią, że będziemy najszczęśliwsi. Myślimy, ile te rzeczy kosztują. Zastanawiamy się nad zakupem trochę większej ilości jednego produktu i rezygnacją z czegoś innego. Wybieramy to, co daje nam największą satysfakcję. Porównywanie koszyków dóbr leżących wzdłuż linii ograniczenia budżetowego oraz użyteczność całkowita i krańcowa to tylko zestaw narzędzi do analizy tego codziennego procesu. To dobra wiadomość, że konkretne wartości użyteczności nie mają kluczowego znaczenia, ponieważ trudno jest znaleźć dobry utylimetr . Nie martwmy się tym jednak – chociaż nie możemy dokładnie zmierzyć użyteczności związanej z konkretnymi wyborami, pod koniec następnego modułu przekształcimy naszą analizę w coś, co możemy zmierzyć – popyt. Kluczowe pojęcia i podsumowanie Analiza ekonomiczna zachowań gospodarstw domowych opiera się na założeniu, że konsumenci poszukują najwyższego poziomu użyteczności lub satysfakcji. Ludzie są jedynym sędzią własnej użyteczności. Ogólnie rzecz biorąc, większa konsumpcja dobra oznacza większą użyteczność całkowitą. Jednak dodatkowa użyteczność, jaką ludzie pozyskują z każdej dodatkowo konsumowanej jednostki, ma tendencję do zmniejszania się, zgodnie z zasadą malejącej użyteczności krańcowej. Koszyk maksymalizujący użyteczność przy uwzględnieniu ograniczenia budżetowego można znaleźć na kilka sposobów. Można zsumować całkowitą użyteczność każdej kombinacji leżącej na linii budżetowej i wybrać tę, która reprezentuje najwyższą wartość. Można losowo wybrać punkt początkowy i porównać krańcowe korzyści i straty użyteczności wynikające z przejścia do sąsiednich punktów – i w ten sposób ostatecznie wybrać preferowany koszyk. Jednak najlepszym i najszybszym sposobem identyfikacji koszyka maksymalizującego łączną użyteczność z konsumpcji jest porównanie stosunku użyteczności krańcowej do ceny dla pierwszego dobra ze stosunkiem użyteczności krańcowej do ceny dla drugiego dobra. Przy optymalnym wyborze te dwie relacje powinny być sobie równe. Pytania Self-Check Jerzy jest głęboko zakochany w Joannie. Niestety mieszka w okolicy, w której zasięg telefonii komórkowej jest bardzo słaby, w związku z czym, aby usłyszeć głos ukochanej, może zadzwonić do niej na telefon stacjonarny za 5 gr za minutę rozmowy lub pojechać do jej mieszkania, co wiąże się z wydatkiem 2 zł za benzynę spaloną w czasie podróży w obie strony. Jerzy dysponuje kwotą 10 zł, którą może przeznaczyć na podtrzymywanie kontaktu z Joanną w ciągu tygodnia. Aby dokonać optymalnego wyboru, Jerzy używa podręcznego utylimetru , który mierzy jego łączną całkowitą użyteczność z wizyt osobistych i rozmów telefonicznych. Korzystając z wartości w , wyznacz punkty na linii ograniczenia budżetowego Jerzego (przydatne może być wykonanie rysunku) i określ jego punkt maksymalizacji użyteczności. Podróże w obie strony Użyteczność całkowita Minuty rozmów telefonicznych Użyteczność całkowita 0 0 0 0 1 80 20 200 2 150 40 380 3 210 60 540 4 260 80 680 5 300 100 800 6 330 120 900 7 200 140 980 8 180 160 1040 9 160 180 1080 10 140 200 1100 Wiersze tabeli nie reprezentują koszyków dostępnych dla Jerzego przy danym ograniczeniu budżetowym, tzn. kombinacji podróży i minut rozmów telefonicznych, na które stać Jerzego z założonym budżetem. Jeśli Jerzy ma tylko 10 zł do wydania, a podróż w obie strony kosztuje 2 zł, zaś rozmowy telefoniczne kosztują 5 gr za minutę, może wydać cały swój dochód na pięć podróży w obie strony przy braku rozmów telefonicznych lub na 200 minut rozmów telefonicznych przy braku podróży, albo na dowolną pośrednią kombinację obu dóbr. Dla wyborów od zera do pięciu podróży w obie strony (kolumna 1) poniższa tabela pokazuje, na ile minut rozmów telefonicznych stać Jerzego przy jego dochodzie (kolumna 3). Wartości użyteczności całkowitej podano w poniższej tabeli. Podróże w obie strony Użyteczność całkowita z podróży Minuty rozmów telefonicznych Użyteczność całkowita z rozmów Użyteczność całkowita 0 0 200 1100 1100 1 80 160 1040 1120 2 150 120 900 1050 3 210 80 680 890 4 260 40 380 640 5 300 0 0 300 Zsumowanie całkowitej użyteczności z podróży w obie strony i rozmów telefonicznych w różnych punktach linii budżetowej daje całkowitą użyteczność w każdym punkcie na linii budżetowej. Najwyższa możliwa użyteczność znajduje się przy kombinacji jednej podróży i 160 minut rozmów telefonicznych i wynosi 1120. Na podstawie danych o całkowitej użyteczności Jerzego z wykorzystaj koncepcję użyteczności krańcowej, aby potwierdzić, że wskazany przez ciebie wybór liczby minut rozmów telefonicznych i podróży w obie strony maksymalizuje użyteczność Jerzego. Pierwszym krokiem jest wykorzystanie danych o użyteczności całkowitej do obliczenia użyteczności krańcowej, pamiętając, że użyteczność krańcowa jest równa zmianie użyteczności całkowitej podzielonej przez zmianę liczby podróży lub minut. Podróże w obie strony Użyteczność całkowita Użyteczność krańcowa podróży Minuty rozmów telefonicznych Użyteczność całkowita Użyteczność krańcowa minuty rozmowy 0 0 – 200 1100 – 1 80 80 160 1040 60/40 = 1,5 2 150 70 120 900 140/40 = 3,5 3 210 60 80 680 220/40 = 5,5 4 260 50 40 380 300/40 = 7,5 5 300 40 0 0 380/40 = 9,5 Zauważ, że nie możemy bezpośrednio porównywać użyteczności krańcowych, ponieważ jednostkami są podróże i minuty rozmów telefonicznych. Do porównania potrzebujemy wspólnego mianownika, którym jest cena. Po podzieleniu MU przez cenę otrzymujemy kolumny 4 i 8 w poniższej tabeli. Podróże w obie strony Użyteczność całkowita Użyteczność krańcowa podróży MU/P Minuty rozmów telefonicznych Użyteczność całkowita Użyteczność krańcowa minuty rozmowy MU/P 0 0 – – 200 1100 60/40 = 1,5 1.5/0,05 = 30 1 80 80 80/2 = 40 160 1040 140/40 = 3,5 3.5/0,05 = 70 2 150 70 70/2 = 35 120 900 220/40 = 5,5 5.5/0,05 = 110 3 210 60 60/2 = 30 80 680 300/40 =7,5 7.5/0,05 = 150 4 260 50 50/2 = 25 40 380 380/40 = 9,5 9.5/0,05 = 190 5 300 40 40/2 = 20 0 0 – – Zacznijmy od dołu tabeli, gdzie mamy kombinację pięciu podróży i żadnej rozmowy telefonicznej. Punkt wyjścia jest oczywiście przyjęty arbitralnie, ale liczby w tym przykładzie układają się najlepiej, jeśli zaczynamy właśnie od tego koszyka. Załóżmy, że rozważamy przejście w górę do następnej kombinacji. W tym punkcie (4 podróże, 40 minut rozmów) użyteczność krańcowa na złotówkę wydaną na podróże w obie strony wynosi 25. Użyteczność krańcowa na złotówkę wydaną na minuty rozmów telefonicznych wynosi 190. Ponieważ 25 < 190, otrzymujemy znacznie większą użyteczność za złotego wydanego na minuty rozmów telefonicznych, więc wybieramy ich więcej. W punkcie (3 podróże, 80 minut rozmów) MU/P RT wynosi 30 < 150, ale zauważmy, że różnica się zmniejsza. Kontynuujemy wymianę podróży na minuty rozmów telefonicznych, aż dojdziemy do punktu (1 podróż, 160 minut), co jest najlepszym wyborem z punktu widzenia Jerzego. Wartości MU/P są w tym punkcie tak bliskie, jak się da (40 w porównaniu z 70). Często w prawdziwym świecie nie jest możliwe uzyskanie dokładnie takich samych wartości MU/P dla obu produktów, więc należy wybrać wartości leżące możliwie najbliżej. Pytania Review Kto decyduje o tym, jaka użyteczność wiąże się z konsumpcją określonego dobra w przypadku konkretnej osoby? Czy oczekujesz, że całkowita użyteczność wzrośnie, czy spadnie wraz z konsumpcją dodatkowej jednostki danego dobra? Dlaczego? Czy oczekujesz, że krańcowa użyteczność wzrośnie, czy spadnie wraz z konsumpcją dodatkowej jednostki danego dobra? Dlaczego? Czy jest możliwe, aby użyteczność całkowita wzrosła, gdy użyteczność krańcowa maleje? Odpowiedź uzasadnij. Jeśli ludzie nie znają dokładnej wartości swojej użyteczności dla wszystkich możliwych do osiągnięcia poziomów konsumpcji, jak mogą znaleźć koszyk maksymalizujący ich użyteczność? Jaka jest reguła dotycząca stosunku użyteczności krańcowej do ceny dla dwóch dóbr przy wyborze ich optymalnej kombinacji? Dlaczego wybór nie może maksymalizować użyteczności, jeśli ten warunek nie jest spełniony? Pytania Critical Thinking Przypomnij sobie ostatnio dokonany zakup. Jak opisałbyś swój sposób myślenia przed tą decyzją? Zasady polityki czasem są inne niż zasady ekonomii. W dyskusjach na temat ustalania budżetów agencji rządowych w USA istnieje strategia zwana „zamknięciem Pomnika Waszyngtona”. Kiedy dany podmiot staje przed niepożądaną perspektywą dotyczących go cięć budżetowych, może zdecydować się na zamknięcie dobrze rozpoznawalnej atrakcji, z której korzysta wiele osób (np. Pomnika Waszyngtona). Wyjaśnij w kategoriach malejącej użyteczności krańcowej, dlaczego strategia Pomnika Waszyngtona nie jest właściwa. Wskazówka : Jeśli naprawdę starasz się znaleźć jak najlepszą drogę postępowania przy cięciach budżetowych, to powinieneś ograniczać w swoim budżecie wydatki na pozycje o najwyższej użyteczności krańcowej czy raczej te o najniższej użyteczności krańcowej? Czy przywołana strategia redukuje wydatki na pozycje o najwyższej, czy najniższej użyteczności krańcowej? Problemy Afrodyta, która żyje w starożytnej Grecji, czerpie użyteczność z czytania wierszy i jedzenia ogórków. Afrodyta uzyskuje 30 jednostek użyteczności krańcowej z pierwszego wiersza, 27 jednostek użyteczności krańcowej z drugiego wiersza, 24 jednostki użyteczności krańcowej z trzeciego wiersza itd., przy czym użyteczność krańcowa spada o trzy jednostki z każdym kolejnym wierszem. Afrodyta uzyskuje sześć jednostek użyteczności krańcowej za każdy z pierwszych trzech skonsumowanych ogórków, pięć jednostek użyteczności krańcowej za każdy z trzech kolejnych zjedzonych ogórków, cztery jednostki użyteczności krańcowej za każdy z kolejnych trzech skonsumowanych ogórków itd., przy czym użyteczność spada o jeden na każde trzy spożyte ogórki. Wiersz kosztuje trzy brązowe monety, a ogórek kosztuje tylko jedną brązową monetę. Afrodyta ma 18 brązowych monet. Narysuj ograniczenie budżetowe Afrodyty w zakresie wyboru między wierszami a ogórkami, umieszczając wiersze na osi pionowej, a ogórki na osi poziomej. Zacznij od wyboru zera wierszy i 18 ogórków i oblicz zmiany użyteczności krańcowej przy poruszaniu się po linii budżetowej do następnego koszyka, składającego się z jednego wiersza i 15 ogórków. Korzystając z procesu „krok po kroku\", opartego na użyteczności krańcowej, utwórz tabelę i wskaż punkt maksymalizujący użyteczność Afrodyty. Porównaj krańcową użyteczność obu dóbr i względne ceny w punkcie optymalnym, aby sprawdzić, czy zachodzi oczekiwana zależność. Wskazówka : Oznacz kolumny tabeli: 1) Wybór, 2) Krańcowa korzyść z większej liczby wierszy, 3) Krańcowa strata z mniejszej liczby ogórków, 4) Łączna korzyść lub strata, 5) Czy poprzedni wybór był optymalny? Oznacz wiersze tabeli: 1) 0 wierszy i 18 ogórków, 2) 1 wiersz i 15 ogórków, 3) 2 wiersze i 12 ogórków, 4) 3 wiersze i 9 ogórków, 5) 4 wiersze i 6 ogórków, 6) 5 wierszy i 3 ogórki, 7) 6 wierszy i 0 ogórków. Bibliografia GUS, Sytuacja gospodarstw domowych w 2020 r. w świetle badania budżetów gospodarstw domowych, link do raportu https://stat.gov.pl/obszary-tematyczne/warunki-zycia/dochody-wydatki-i-warunki-zycia-ludnosci/sytuacja-gospodarstw-domowych-w-2020-r-w-swietle-badania-budzetow-gospodarstw-domowych,3,20.html U.S. Bureau of Labor Statistics. 2015. “Consumer Expenditures in 2013.” Accessed March 11, 2015. http://www.bls.gov/cex/csxann13.pdf. U.S. Bureau of Labor Statistics. 2015. “Employer Costs for Employee Compensation—December 2014.” Accessed March 11, 2015. http://www.bls.gov/news.release/pdf/ecec.pdf. U.S. Bureau of Labor Statistics. 2015. “Labor Force Statistics from the Current Population Survey.” Accessed March 11, 2015. http://www.bls.gov/cps/cpsaat22.htm. ograniczenie budżetowe (ang. budget constraint ) pokazuje możliwe kombinacje dwóch dóbr, na które konsumenta stać przy danym poziomie dochodu i cenach równowaga konsumenta (ang. consumer equilibrium ) punkt na linii budżetowej, w którym konsument osiąga największą satysfakcję, związaną ze swoją konsumpcją; dzieje się tak, gdy stosunek cen dóbr, między którymi dokonuje wyboru, jest równy stosunkowi użyteczności krańcowych związanych z ich konsumpcją. optimum konsumenta (ang. consumer equilibrium ) patrz: równowaga konsumenta malejąca krańcowa użyteczność (ang. diminishing marginal utility ) powszechna reguła, zgodnie z którą każda kolejna jednostka konsumowanego dobra powoduje coraz mniejszy przyrost użyteczności całkowitej. Innymi słowy, dodatkowa satysfakcja z konsumpcji kolejnych jednostek danego dobra jest coraz mniejsza. użyteczność krańcowa (ang. marginal utility ) dodatkowa użyteczność (zmiana użyteczności całkowitej) uzyskana dzięki konsumpcji dodatkowej jednostki dobra użyteczność krańcowa ze złotego (ang. marginal utility per zloty ) dodatkowa satysfakcja z zakupu dobra przy danej cenie; użyteczność krańcowa/cena użyteczność całkowita (ang. total utility ) łączna satysfakcja płynąca z konkretnego wyboru konsumenckiego", "section": "Wybory konsumpcyjne", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Jak zmiany dochodów wpływają na wybory konsumentów Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić, w jaki sposób zmiana dochodu i cen wpływa na dokonywane przez konsumentów wybory Odróżnić efekt substytucyjny od dochodowego Wykorzystać zależności opisane prawem popytu do analizy wyborów konsumentów Zastosować instrumentarium służące opisowi maksymalizujących użyteczność wyborów do problemów, z jakimi konfrontują się przedsiębiorstwa i państwa Koncepcje użyteczności całkowitej i krańcowej, używane przez nas dotąd do omawiania wyborów konsumenckich dokonywanych przy ograniczeniu budżetowym, możemy wykorzystać również do rozpatrzenia, jak zmieniają się wybory konsumenta, gdy ograniczenie budżetowe przesuwa się w odpowiedzi na zmiany dochodu lub cen. Ponieważ możemy użyć ograniczenia budżetowego do analizy tego, jak zmienia się wielkość zapotrzebowania pod wpływem zmian cen, model ograniczenia budżetowego może zilustrować logikę leżącą u podstaw tworzenia krzywych popytu. Wpływ zmiany dochodów na wybory konsumentów Zacznijmy od konkretnego przykładu pokazującego, jak zmiany poziomu dochodów wpływają na wybory konsumentów. przedstawia ograniczenie budżetowe (ang. budget constraint ), które reprezentuje wybór Karoliny między biletami na koncert w cenie 50 zł za sztukę a noclegami w hotelu po 200 zł za noc. Karolina ma 1000 zł rocznie do wydania na te dwie przyjemności. Po przeanalizowaniu jej użyteczności całkowitej i krańcowej oraz zastosowaniu reguły decyzyjnej, zgodnie z którą stosunek użyteczności krańcowych do cen powinien być taki sam dla obu dóbr, Karolina wybiera punkt M z ośmioma koncertami i trzema noclegami jako kombinacją maksymalizującą jej użyteczność. Zmiana dochodów a wybory konsumenta Punkt maksymalizujący użyteczność przy początkowym ograniczeniu budżetowym to M. Przerywane linie poziome i pionowe przechodzące przez punkt M pozwalają od razu zobaczyć, czy ilość konsumowanych dóbr przy nowym ograniczeniu budżetowym jest większa, czy mniejsza. Przy nowym ograniczeniu budżetowym Karolina dokona wyboru takiego jak N, jeśli oba dobra są dobrami normalnymi. Jeśli noclegi są dobrem niższego rzędu, Karolina dokona wyboru takiego jak P. Jeśli bilety na koncert są dobrem niższego rzędu, Karolina wybierze kombinację bliską Q. Załóżmy teraz, że dochód Karoliny do wydania na te dwa dobra wzrasta do 2000 zł rocznie, powodując przesunięcie jej ograniczenia budżetowego w prawo. Jak wzrost dochodów zmienia jej wybór maksymalizujący użyteczność? Karolina ponownie weźmie pod uwagę użyteczność całkowitą i krańcową, jaką uzyskuje z biletów na koncert i noclegów, i poszuka swojego wyboru maksymalizującego użyteczność (ang. utility-maximizing choice ) na nowej linii budżetowej. Ale jaka będzie relacja jej nowego wyboru do poprzedniego? Możemy podzielić możliwe wybory wzdłuż nowego ograniczenia budżetowego na trzy grupy, których granice wskazują przerywane linie poziome i pionowe, przechodzące przez początkowy punkt równowagi (M). Wszystkie koszyki w lewym górnym rogu nowego ograniczenia budżetowego, znajdujące się na lewo od pionowej linii przerywanej, takie jak punkt P z dwoma noclegami i 32 biletami na koncert, uwzględniają mniej jednostek dobra z osi poziomej, ale znacznie więcej jednostek dobra z osi pionowej. Wszystkie koszyki na prawo od pionowej linii przerywanej i powyżej poziomej linii przerywanej – takie jak punkt N z pięcioma noclegami i 20 biletami na koncert – charakteryzują się większą konsumpcją obu dóbr. Wreszcie, wszystkie koszyki znajdujące się na prawo od pionowej linii przerywanej, ale poniżej poziomej linii przerywanej, takie jak punkt Q z czterema koncertami i dziewięcioma noclegami, uwzględniają mniej dobra z osi pionowej, ale znacznie więcej dobra z osi poziomej. Wszystkie te wybory są teoretycznie możliwe w zależności od osobistych preferencji Karoliny wyrażonych przez całkowitą i krańcową użyteczność, jaką otrzymałaby z konsumpcji obu dóbr. Gdy dochód rośnie, najczęstszą reakcją jest zakup większej ilości obu dóbr, np. punkt N, który znajduje się w prawym górnym rogu w stosunku do pierwotnego wyboru M, chociaż skala przyrostu konsumpcji danego dobra będzie się różnić w zależności od osobistych upodobań. I odwrotnie, gdy dochód maleje, najbardziej typową reakcją jest kupowanie mniejszej ilości obu dóbr. Jak zdefiniowaliśmy w oraz ponownie w , dobra i usługi nazywamy dobrami normalnymi (ang. normal goods ), gdy wzrost dochodu prowadzi do wzrostu ilości konsumowanego dobra, a spadek dochodu prowadzi do spadku konsumowanej ilości. Jednak, w zależności od preferencji Karoliny, wzrost dochodu może powodować wzrost konsumpcji jednego dobra, a spadek konsumpcji drugiego. Wybór taki jak P oznacza, że wzrost dochodu spowodował spadek liczby noclegów, podczas gdy w punkcie Q wzrost dochodu powoduje zmniejszenie liczby koncertów. Tak jak to już wskazaliśmy w dobra, na które popyt maleje wraz ze wzrostem dochodu (lub odwrotnie – popyt rośnie wraz ze spadkiem dochodu), nazywane są dobrami niższego rzędu. Przypomnijmy, że dobra niższego rzędu (ang. inferior good ) to takie, których konsumpcję ludzie zmniejszają wraz ze wzrostem dochodów, gdy już mogą sobie pozwolić na preferowane produkty droższe i lepsze. Na przykład gospodarstwo domowe o wyższych dochodach może zmniejszyć konsumpcję hamburgerów lub mniej chętnie kupować używane samochody, a zamiast tego jeść więcej steków i nabyć nowe auto. Jak zmiany cen wpływają na wybory konsumentów Aby przeanalizować możliwy wpływ zmiany ceny na konsumpcję, ponownie posłużmy się konkretnym przykładem. przedstawia sytuację Sebastiana, który dokonuje wyboru między zakupem kijów bejsbolowych bejsbolowych a zakupem aparatów fotograficznych. Podwyżka cen kijów bejsbolowych nie ma wpływu na możliwości zakupu aparatów, ale zmniejsza liczbę kijów, na które Sebastian może sobie pozwolić. Tak więc wzrost ceny kijów bejsbolowych, tj. dobra na osi poziomej, powoduje, że linia ograniczenia budżetowego obraca się do wewnątrz, czyli wokół punktu przecięcia z osią pionową. Podobnie jak w poprzedniej części, punkt M reprezentuje pierwotnie preferowany koszyk na początkowym ograniczeniu budżetowym, wybrany przez Sebastiana na podstawie jego użyteczności całkowitej i krańcowej oraz limitów wynikających z wysokości dochodu. W niniejszym przykładzie na osi poziomej i pionowej nie są zaznaczone jednostki liczbowe, więc dyskusja musi koncentrować się na ogólnym stwierdzeniu, czy Sebastian będzie konsumował mniej, czy więcej danego dobra, a nie na wartościach liczbowych. Jak zmiana ceny wpływa na wybory konsumenta Początkowym punktem maksymalizującym użyteczność jest M. Gdy cena kijów bejsbolowych rośnie, ograniczenie budżetowe obraca się zgodnie z ruchem wskazówek zegara. Linie przerywane pozwalają od razu zobaczyć, czy nowy koszyk zawiera mniej obu dóbr, czy też mniej jednego dobra, a więcej drugiego. Nowe możliwe wybory to mniej kijów bejsbolowych i więcej aparatów fotograficznych, tak jak w punkcie H, lub mniej obu dóbr, jak w punkcie J. Wybór K oznaczałby, że wyższa cena kijów nie zmieniła wielkości konsumpcji kijów, ale zmniejszyła liczbę nabywanych aparatów. Teoretycznie możliwe, ale mało prawdopodobne w prawdziwym świecie, są wybory takie jak L, gdzie wyższa cena kijów bejsbolowych oznacza ich większą konsumpcję. Po wzroście ceny Sebastian dokonuje wyboru zgodnie z nowym ograniczeniem budżetowym. Ponownie możemy podzielić jego wybory na trzy segmenty, wyznaczone przerywanymi liniami pionowymi i poziomymi. W górnej lewej części nowego ograniczenia budżetowego, w punkcie H, Sebastian kupuje więcej aparatów fotograficznych i mniej kijów bejsbolowych. W centralnej części nowego ograniczenia budżetowego, przy wyborze J, konsumuje mniejsze ilości obu dóbr. Na prawym końcu, przy koszyku L, kupuje więcej kijów, ale mniej aparatów. Typową odpowiedzią na wzrost ceny jest zmniejszenie konsumpcji dobra, które zdrożało. Dzieje się tak z dwóch powodów i oba mogą zachodzić jednocześnie. Efekt substytucyjny (ang. substitution effect ) występuje, gdy cena się zmienia i konsumenci mają motywację do konsumowania mniejszej ilości dobra o relatywnie wyższej cenie, a większej ilości dobra o relatywnie niższej cenie. Efekt dochodowy (ang. income efffect ) polega na tym, że wyższa cena oznacza w efekcie zmniejszoną siłę nabywczą dochodu (chociaż nominalny dochód się nie zmienia), co prowadzi do zakupu mniejszej ilości dobra (w przypadku dobra normalnego). W naszym przykładzie wyższa cena kijów bejsbolowych sprawia, że Sebastian kupuje mniej kijów z obu powodów. Jak silnie wzrost ceny kijów zmniejszy ich konsumpcję? sugeruje szereg możliwości. Sebastian może zareagować na wyższą cenę kijów bejsbolowych, kupując taką samą liczbę kijów, a mniejszą – aparatów fotograficznych. Wówczas nowym wyborem będzie punkt K na nowym ograniczeniu budżetowym, tuż poniżej pierwotnego punktu M. Alternatywnie Sebastian może zareagować, radykalnie ograniczając zakupy kijów i zamiast tego kupować więcej aparatów. Istotą analizy jest to, że nieroztropnie byłoby zakładać, iż zmiana ceny jednego dobra wpłynie WYŁĄCZNIE na jego konsumpcję. W naszym przykładzie, ponieważ Sebastian kupuje wszystkie produkty z tego samego budżetu, zmiana ceny kijów bejsbolowych może również wywołać efekt – pozytywny lub negatywny – zmiany jego zapotrzebowania na aparaty fotograficzne. A zatem zmiana ceny jednego dobra może wpłynąć, pozytywnie lub negatywnie, na wielkość konsumpcji wszystkich wybieranych dóbr. Krótko mówiąc, wyższa cena zazwyczaj powoduje zmniejszenie konsumpcji danego dobra, ale może również wpływać na konsumpcję innych dóbr. Przeczytaj artykuł o zmiennych cenach w automatach do sprzedaży (automatach vendingowych). Podstawy krzywych popytu Zmiana ceny dobra prowadzi do obrócenia się linii ograniczenia budżetowego. Obrót linii budżetu oznacza, że konsument chcąc osiągnąć najwyższą użyteczność, zmieni wielkość zapotrzebowania na dane dobro. W ten sposób logiczne podstawy prawa popytu – odzwierciedlające związek między cenami a wielkością zapotrzebowania – opierają się na działaniu jednostek dążących do maksymalizacji swojej użyteczności. (a) pokazuje ograniczenie budżetowe z wyborem między mieszkaniami a pozostałymi dobrami i usługami. (Umieszczenie pozostałych dóbr i usług na osi pionowej może być przydatnym podejściem w niektórych przypadkach, zwłaszcza gdy analiza koncentruje się na jednym konkretnym dobru). Preferowany wybór, który zapewnia najwyższą możliwą użyteczność na początkowej linii ograniczenia budżetowego, oznaczamy przez M 0 . Pozostałe trzy ograniczenia budżetowe reprezentują sukcesywnie wyższe ceny mieszkań – odpowiednio P 1 , P 2 i P 3 . W miarę jak linia ograniczenia budżetowego obraca się w kierunku osi pionowej, wybory maksymalizujące użyteczność oznaczamy jako M 1 , M 2 i M 3 , a wielkość zapotrzebowania na mieszkania spada z Q 0 do Q 1 , Q 2 i Q 3 . Podstawy tworzenia krzywej popytu: przykład mieszkań Panel (a) przedstawia wykres ograniczenia budżetowego. Gdy cena wzrasta z P 0 do P 1 , P 2 i P 3 , linia ograniczenia budżetowego obraca się zgodnie z ruchem wskazówek zegara. Wybór maksymalizujący użyteczność zmienia się z M 0 na M 1 , M 2 i M 3 . W efekcie wielkość zapotrzebowania na mieszkania zmienia się z Q 0 na Q 1 , Q 2 i Q 3 , ceteris paribus . Panel (b) pokazuje wyprowadzenie krzywej popytu. Krzywa popytu przedstawia każdą kombinację ceny mieszkań i wielkości zapotrzebowania na mieszkania, ceteris paribus . Liczba mieszkań jest taka sama w poszczególnych punktach paneli (a) i (b) wykresu. A zatem początkowa cena mieszkań (P 0 ) i początkowa liczba mieszkań (Q 0 ) pojawiają się na krzywej popytu jako punkt E 0 . Wyższa cena mieszkań (P 1 ) i odpowiadająca jej mniejsza wielkość zapotrzebowania na mieszkania (Q 1 ) pojawiają się na krzywej popytu jako punkt E 1 . Tak więc gdy cena mieszkań rośnie, linia ograniczenia budżetowego obraca się zgodnie z ruchem wskazówek zegara, a wielkość konsumpcji mieszkań spada, ceteris paribus . Zależność ta – spadek wielkości zapotrzebowania na mieszkania z Q 0 do Q 1 , Q 2 i Q 3 przy wzroście ceny mieszkań z P 0 do P 1 , P 2 i P 3 – jest przedstawiona na krzywej popytu na (b). Pionowe linie przerywane ciągnące się między górnym i dolnym panelem pokazują, że wielkość zapotrzebowania na mieszkania w poszczególnych punktach jest taka sama. Ostatecznie określamy kształt krzywej popytu na podstawie wyborów maksymalizujących użyteczność przy ograniczeniu budżetowym. Chociaż ekonomiści mogą nie być w stanie zmierzyć utyli , z pewnością mogą zmierzyć cenę i wielkość popytu. Zastosowania w polityce państwa i biznesie Koncepcja ograniczenia budżetowego służąca do dokonywania wyborów maksymalizujących użyteczność pokazuje, że ludzie mogą reagować na zmianę ceny lub dochodu na wiele różnych sposobów. Na przykład w IV kwartale 2021 r. i pierwszym kwartale roku 2022 ceny energii elektrycznej i gazu w Polsce znacznie wzrosły. Niektórzy ludzie zareagowali na tę sytuację zmniejszeniem zapotrzebowania na energię, np. przykręcając termostaty w swoich domach o kilka stopni i zakładając grubszy dres. Mimo to wiele rachunków za ogrzewanie domów wzrosło, więc ludzie dostosowali swoją konsumpcję również w inny sposób. Jak wiemy z , krótkookresowy popyt na ogrzewanie domu jest generalnie nieelastyczny. A zatem wiele gospodarstw domowych ograniczyło również wydatki na inne produkty, z których najłatwiej było im zrezygnować. Dla części z nich mógł to być obiad zjedzony poza domem, dla innych wakacje albo odłożenie w czasie zakupu nowej lodówki czy samochodu. Znacznie wyższe ceny gazu i prądu mogą mieć skutki wykraczające poza rynek energii, prowadząc do powszechnego zmniejszenia zakupów w pozostałych gałęziach gospodarki. Podobny problem pojawia się, gdy rząd nakłada podatki na niektóre produkty, takie jak benzyna, papierosy i alkohol. Powiedzmy, że podatek od alkoholu prowadzi do wyższej ceny w sklepie monopolowym. Wyższa cena alkoholu powoduje, że ograniczenie budżetowe obraca się w lewo, a spożycie napojów alkoholowych prawdopodobnie spadnie. Jednak ludzie mogą również zareagować na wyższą cenę napojów alkoholowych, ograniczając inne zakupy. Mogą np. zmniejszyć konsumpcję przekąsek w restauracjach, takich jak skrzydełka z kurczaka i frytki. Nierozsądne byłoby zakładanie, że podatek od napojów alkoholowych wpłynie wyłącznie na przemysł alkoholowy. Czy ma znaczenie, kto kontroluje dochody gospodarstwa domowego? W połowie lat 70. XX w. w Wielkiej Brytanii dokonano interesującej zmiany w polityce socjalnej. Wprowadzono program, który, podobnie jak jego polski odpowiednik Rodzina 500 Plus, obecnie zapewnia stałą kwotę wsparcia na każde dziecko, niezależnie od dochodu rodziny. Wcześniej jednak zasiłek na dziecko był alokowany poprzez ulgę podatkową, możliwą do wykorzystania przez głównego żywiciela rodziny – w tamtym czasie zwykle ojca. Nowe prawo przewidywało zasiłek na dziecko jako płatność gotówkową, zazwyczaj na rzecz matki. W wyniku tej zmiany gospodarstwa domowe uzyskiwały ten sam poziom dodatkowych dochodów i napotykały na te same ceny rynkowe, ale pieniądze częściej znajdowały się w portfelu matki niż ojca. Czy ta zmiana polityki wpłynęła twoim zdaniem na wzorce konsumpcji gospodarstw domowych? Podstawowe modele decyzji konsumpcyjnych, takie jak te, które badaliśmy w niniejszym rozdziale, zakładają, że nie ma znaczenia, które z rodziców – matka czy ojciec – otrzymuje pieniądze, ponieważ oboje dążą do maksymalizacji użyteczności rodziny jako całości. W efekcie model zakłada, że wszyscy w rodzinie mają te same preferencje. W rzeczywistości to, czy dochody są kontrolowane przez ojca, czy matkę, ma wpływ na konsumpcję w gospodarstwie domowym. Wiele badań przeprowadzonych w Wielkiej Brytanii i innych krajach wykazało, że kiedy matka kontroluje większą część dochodów, rodzina wydaje więcej na posiłki w restauracji, opiekę nad dziećmi i odzież damską, a mniej na alkohol i tytoń. Wyniki te sugerują, że przy udzielaniu pomocy rodzinom ubogim, zarówno w krajach o wysokich, jak i niskich dochodach, znaczenie ma nie tylko kwota wsparcia. Liczy się również to, który członek rodziny faktycznie otrzymuje środki. Model maksymalizacji użyteczności przy ograniczeniu budżetowym i jego zdolność do objaśniania rzeczywistości Interakcje między cenami, ograniczeniem budżetowym i osobistymi preferencjami determinują wybory gospodarstwa domowego. Elastyczna i użyteczna terminologia maksymalizacji użyteczności daje ekonomistom słownictwo umożliwiające połączenie tych elementów. Jednak nawet ekonomiści nie zakładają, że ludzie chodzą w kółko przed sklepem, bankiem lub siedzibą pracodawcy, myśląc o swoich użytecznościach krańcowych, zanim wejdą do środka, podejmą pracę lub złożą depozyt na koncie oszczędnościowym. Ekonomiści są przekonani, że ludzie szukają satysfakcji lub użyteczności i często decydują się na niewielkie ograniczenie konsumpcji jednych dóbr, by zwiększyć nieznacznie konsumpcję innych. Jeśli akceptujemy te założenia, wówczas idea maksymalizujących użyteczność gospodarstw domowych stojących w obliczu ograniczeń budżetowych staje się bardzo bliska rzeczywistości. Koncepcja ograniczenia budżetowego przypomina nam o wielu możliwych konsekwencjach zmian dochodów lub cen, a nie tylko o tych, które determinują zapotrzebowanie na jeden, konkretny produkt, co może wydawać się najbardziej oczywistym rodzajem oddziaływania. Kluczowe pojęcia i podsumowanie Koncepcja ograniczenia budżetowego sugeruje, że w przypadku zmiany dochodu lub cen możliwe są różne reakcje. Gdy dochód rośnie, jednostki będą zgłaszać zapotrzebowanie na większą ilość dóbr normalnych, ale mniejszą ilość dóbr niższego rzędu. Gdy cena dobra rośnie, gospodarstwa domowe zazwyczaj będą zgłaszać zapotrzebowanie na mniejszą ilość tego dobra – ale to, czy zechcą znacznie mniejszej, czy tylko nieco mniejszej ilości, zależy od osobistych preferencji. Ponadto wyższa cena jednego dobra może prowadzić do wzrostu lub spadku popytu na inne dobro. Pytania Self–Check Wskaż możliwe przyczyny, dla których spadek ceny danego dobra może prowadzić do wzrostu popytu na nie. Jest to przeciwieństwo przykładu wyjaśnionego w tekście. Spadek ceny wywołuje efekt substytucyjny i efekt dochodowy. Zgodnie z efektem substytucyjnym, gdy dane dobro jest tańsze w stosunku do innych towarów kupowanych przez konsumenta, będzie on skłonny zwiększyć jego konsumpcję (i zmniejszyć konsumpcję innych). Z kolei zgodnie z efektem dochodowym po spadku ceny konsument może kupić te same dobra, co wcześniej i nadal mieć pieniądze na zakup kolejnych dóbr. Z obu powodów spadek ceny powoduje wzrost popytu. Jako student pracujesz w niepełnym wymiarze godzin, ale twoi rodzice wysyłają ci również miesięczne kieszonkowe. Załóżmy, że w pewnym miesiącu zapomnieli przekazać ci pieniądze. Przedstaw na wykresie, jak wpłynie to na twoje ograniczenie budżetowe. Zakładając, że nabywasz tylko dobra normalne, co stanie się z zakupami, których dokonujesz? Jest to negatywny efekt dochodowy. Ponieważ kieszonkowe od rodziców nie dotarło, twoje miesięczne dochody są mniejsze niż zwykle, a ograniczenie budżetowe przesuwa się w kierunku początku układu współrzędnych. Jeśli kupujesz tylko dobra normalne, spadek dochodów oznacza, że będziesz kupować mniej każdego dobra. Pytania Review Czy można co do zasady bezpiecznie założyć, że zmiana ceny dobra zawsze będzie miała największy wpływ na wielkość popytu na dane dobro, a nie na wielkość popytu na inne dobra? Uzasadnij odpowiedź. Dlaczego zmiana dochodów powoduje równoległe przesunięcie ograniczenia budżetowego? Pytania Critical Thinking Efekt dochodowy zależy od elastyczności dochodowej popytu na każde kupowane dobro. Jeśli jedno z nabywanych dóbr ma ujemną elastyczność dochodową, czyli jest dobrem niższego rzędu, co można powiedzieć o elastyczności dochodowej drugiego kupowanego dobra? Zadania Jeśli spadek ceny jednego kupowanego dobra o 10% powoduje zwiększenie popytu na to dobro o 8%, to czy dalszy spadek ceny o 10% spowoduje wzrost wielkości popytu o kolejne 8%? efekt dochodowy (ang. income effect ) wyższa cena oznacza, że siła nabywcza dochodu zmalała, mimo że nominalny dochód się nie zmienił, może zmniejszać lub zwiększać zakupy danego dobra w zależności od tego, czy konsument postrzega je jako dobro niższego rzędu czy normalne efekt substytucyjny (ang. substitution effect ) gdy cena się zmienia, konsumenci mają motywację, aby konsumować mniej dobra o stosunkowo wyższej cenie, a więcej dobra o stosunkowo niższej cenie", "section": "Jak zmiany dochodów wpływają na wybory konsumentów", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Ekonomia behawioralna: inne podejście do wyborów konsumenckich Po przeczytaniu tego podrozdziału będziesz w stanie: Ocenić przyczyny, które uzasadniają dokonywanie wyborów międzyokresowych Zinterpretować międzyokresowe ograniczenie budżetowe Odpowiedzieć na pytanie, dlaczego ludzie w Stanach Zjednoczonych i w Polsce mają tendencję do oszczędzania relatywnie niewielkiego odsetka swojego dochodu Jak wiemy, ludzie czasami podejmują decyzje, które na pierwszy rzut oka wyglądają na irracjonalne, niezgodne z ich własnym, najlepiej pojętym interesem. Niektóre osoby wydają się wręcz celowo ignorować dostępne sposoby oszczędzania pieniędzy lub czasu. Tradycyjne modele ekonomiczne zakładają racjonalność podmiotów ekonomicznych, co oznacza, że teoretycznie ludzie powinni wykorzystywać wszystkie dostępne informacje oraz podejmować spójne i świadome decyzje, które leżą w ich najlepszym interesie. W rzeczywistości wykładowcy ekonomii często z satysfakcją zwracają swoim nowym studentom uwagę na tzw. nieracjonalne zachowania i przedstawiają ekonomię jako sposób na bardziej racjonalne podejście do procesu podejmowania decyzji. Jedna z nowych szkół ekonomicznych, znana jako ekonomia behawioralna (ang. behavioral economics ), twierdzi jednak, że tradycyjna metoda pomija pewien kluczowy element: nastawienie ludzi podejmujących decyzje. Na przykład o pieniądzach i związanych z nimi wyborach można myśleć w bardzo różny sposób, jeśli odczuwa się chęć zemsty, ma się poczucie straty albo negatywne podejście do życia. Tego typu uczucia nie są irracjonalne, to po prostu emocje wpływające na nasze codzienne wybory. Ponadto wybory dokonywane pod wpływem różnego rodzaju emocji można zrozumieć, jeśli zrozumie się środowisko, w którym funkcjonują ludzie podejmujący decyzje. Ekonomia behawioralna stara się rozszerzyć nasz sposób analizy procesu decyzyjnego poprzez włączenie do ekonomii elementów psychologii. Głównym narzędziem ekonomistów behawioralnych jest badanie, w jaki sposób określone kwoty pieniężne mogą być postrzegane przez jednostki w zależności od sytuacji, w której ludzie ci się znajdują. Postronny obserwator, który nie jest wyposażony w odpowiedni aparat analityczny, może uznać ich decyzje za niezrozumiałe. Sposób, w jaki funkcjonuje ludzki umysł, może wydawać się tradycyjnym ekonomistom niespójny, jednak w rzeczywistości jest o wiele bardziej złożony niż pozbawiona emocji maszyna porównująca koszty i korzyści. Tradycyjny ekonomista powie, że jeśli twój banknot dziesięciozłotowy gdzieś się zapodział, ale jednocześnie dysponujesz dodatkową wypłatą w wysokości 10 zł, to twój nastrój nie powinien się zmienić. W końcu (–10 zł) + 10 zł = 0 zł. Twoja sytuacja finansowa nie uległa zmianie. Jednak ekonomiści behawioralni przeprowadzili badania, które pokazują, że w podobnych okolicznościach wiele osób odczuwa negatywne emocje, takie jak gniew lub frustracja. Mamy bowiem tendencję do skupiania się bardziej na stratach niż na zyskach. Nazywamy to niechęcią (awersją) do strat (ang. loss aversion ). Zgodnie z wynikami badań przeprowadzonych przez Daniela Kahnemana i Amosa Tversky'ego, które opublikowano w 1979 r. w czasopiśmie Econometrica , strata 1 dol. dotyka ludzi 2,25 razy bardziej niż cieszy 1 dol. zysku. Ta zależność będzie miała daleko idące konsekwencje, np. dla sposobu funkcjonowania rynku kapitałowego, ponieważ inwestorzy będą znacznie silniej reagować na straty niż na zyski. Takie zachowanie wydaje się irracjonalne dla tradycyjnych ekonomistów, ale według ekonomistów behawioralnych jest spójne. Tradycyjni ekonomiści zakładają również, że ludzie mogą w pełni kontrolować swoje zachowanie. Jednak stoi to w sprzeczności z postępowaniem przynajmniej części z nas, o ile np. kupujemy papierosy w paczkach, a nie w kartonach (choć oznacza to, że za jednego papierosa płacimy więcej), wierząc, że w ten sposób ograniczymy palenie. Ktoś inny z kolei kupuje zamek do lodówki i nadpłaca podatki, aby w ten sposób zmusić się do ograniczenia jedzenia lub do oszczędzania. Innymi słowy, chronimy się przed najgorszymi pokusami, ale nie siłą naszej woli (co nie wiązałoby się z żadnym kosztem), tylko płacimy za to określoną, wcale niemałą, cenę. Ekonomiści behawioralni proponują rozwiązanie tego typu problemów (co pozwoli uniknąć przynajmniej części zachowań, które w ewidentny sposób nam szkodzą), ale raczej przez tworzenie bodźców skłaniających do racjonalnego zachowania, a nie przez obowiązkowe prawne regulacje. Na przykład niemal 20% nowych pracowników w USA nie zapisuje się od razu po rozpoczęciu pracy do programów emerytalnych, gdyż nie chcą myśleć o bardzo – przynajmniej z ich perspektywy – odległej przyszłości lub po prostu czują się przytłoczeni liczbą możliwych wyborów w tym zakresie. Aby zmniejszyć dolegliwość tego problemu, niektóre przedsiębiorstwa tworzą system, w którym nowy pracownik jest automatycznie zapisywany do systemu emerytalnego wybranego przez pracodawcę. Zatrudnionym pozostawiono oczywiście prawo zmiany systemu, ale korzysta z niego tylko niewielka grupa nowych pracowników. Dzięki temu młodzi ludzie zaczynają odkładać środki na emeryturę niemal od razu po rozpoczęciu pracy, co jest kluczowe dla wysokości ich przyszłego świadczenia. Innym obszarem podejmowania decyzji, który na pierwszy rzut oka wydaje się pozbawiony logiki, jest idea księgowania umysłowego lub przypisywanie pieniądzom różnych kategorii mentalnych, w kontekście których przyjmują one różną wartość. Ekonomiści zazwyczaj uważają, że pieniądze są wymienialne (ang. fungible ) lub mają taką samą wartość dla osoby, niezależnie od sposobu ich pozyskania. Możesz np. pomyśleć o 30 zł znalezionych na ulicy inaczej niż o 30 zł zarobionych przez godzinę pracy w barze szybkiej obsługi. Możesz traktować znalezione środki jako „szalone pieniądze”, w związku z czym nie będziesz dążyć do maksymalizowania ich użyteczności i postanowisz wydać je na głupstwa, np. kupisz za nie los na loterii lub kupon LOTTO. Do pewnego stopnia może się to wydawać dziwne, ponieważ te 30 zł dalej odpowiada godzinie twojej ciężkiej pracy. Jednak podejście „łatwo przyszło – łatwo poszło” zastępuje racjonalne myślenie ekonomiczne ze względu na sytuację lub kontekst, w którym zdobyło się pieniądze. A oto inny przykład związany z umysłową księgowością, który tradycyjnemu ekonomiście, zakładającemu racjonalne postępowanie, z pewnością wyda się niespójny. Ktoś może mieć dług na karcie kredytowej w wysokości 1000 zł (przy czym roczny koszt odsetek od tego zobowiązania to 15%), a zarazem posiadać 2000 zł na koncie oszczędnościowym, które przynosi tylko 2% rocznie w postaci odsetek. Oznacza to, że osoba ta płaci 150 zł rocznie wystawcy karty kredytowej, a jednocześnie pobiera tylko 40 zł rocznie tytułem odsetek bankowych od depozytu. Traci zatem 110 zł rocznie, co nie wydaje się rozsądne. „Racjonalną” decyzją byłaby spłata długu, ponieważ 1000 zł na koncie oszczędnościowym przy braku długu jest kwotą równoważną i przynosi dodatkowo 20 zł rocznie w postaci odsetek. Jednak często zdarza się, że ludzie ignorują ten sposób postępowania, ponieważ stratę na koncie oszczędnościowym wyceniają wyżej niż korzyść ze spłaty karty kredytowej. Nie traktują pieniędzy w kategoriach w pełni wymienialnych, co tradycyjni ekonomiści uznają za irracjonalne. Które podejście jest słuszne – ekonomistów behawioralnych czy tradycyjnych? Oba sposoby analizy rzeczywistości mają swoje zalety, ale ekonomistom behawioralnym trzeba oddać, że zidentyfikowali różne rodzaje zachowań, które ekonomiści tradycyjni traktowali wcześniej jako nieracjonalne, spróbowali je przeanalizować i wskazać powody ich występowania. Jeśli większość z nas jest zaangażowana w jakieś „irracjonalne zachowanie”, być może istnieją ku temu jakieś głębsze przyczyny. Warto zdawać sobie z nich sprawę i spróbować wyeliminować przynajmniej część z nich. Dokonywanie wyborów Jaką kategorię wydatków zwiększyli konsumenci na całym świecie podczas globalnego kryzysu? Wydatki na szkolnictwo wyższe. Według Organizacji Narodów Zjednoczonych do spraw Oświaty, Nauki i Kultury (UNESCO) liczba uczniów i studentów w college'ach i na uniwersytetach wzrosła o jedną trzecią w Chinach, o blisko dwie trzecie w Arabii Saudyjskiej, prawie podwoiła się w Pakistanie, potroiła w Ugandzie i wzrosła o 18% (czyli 3 mln) w Stanach Zjednoczonych. Dlaczego konsumenci w czasach kryzysu byli skłonni wydawać więcej na edukację? Zarówno ludzie, jak i państwa postrzegają szkolnictwo wyższe jako drogę do dobrobytu. Wielu uważa, że większe zarobki są ważną korzyścią płynącą z uczęszczania na studia. Po co wydawać pieniądze na studia w czasie recesji? Ponieważ jeśli jesteś bezrobotny lub zatrudniony w niepełnym wymiarze godzin, koszt alternatywny twojego czasu jest niski. Jeśli jesteś bezrobotny, nie musisz rezygnować z pracy i dochodów, idąc na studia. Jeśli nie przekonuje cię ta argumentacja, jeszcze raz sięgnij do i sprawdź, jak różnią się średnie zarobki Polaków z wykształceniem podstawowym i wyższym. Kluczowe pojęcia i podsumowanie Ludzie regularnie podejmują decyzje, które wydają się nieracjonalne, czyli sprzeczne z tradycyjną teorią konsumenta. Dzieje się tak, ponieważ tradycyjna teoria ignoruje stan umysłu lub uczucia ludzi, które silnie wpływają na ich zachowanie. Na przykład skłonni są oni przywiązywać znacznie większą wartość do jednostki pieniężnej (złotego, dolara lub euro) straconej niż zyskanej, mimo że kwoty są takie same. Podobnie wiele osób odkłada roczne rozliczenie podatków aż do ostatniej chwili, nawet gdy mogą być pewni otrzymania zwrotu nadpłaconej kwoty, udzielając w ten sposób rządowi darmowej pożyczki. Bibliografia Holden, Sarah, and Daniel Schrass. 2012. “The rose of IRAs in U.S Households’ Saving for Retirement, 2012.” ICI Research Perspective 18.8 (2012). http://www.ici.org/pdf/per18-08.pdf. Kahneman, Daniel and Amos Tversky. “Prospect Theory: An Analysis of Decision under Risk.” Econometrica 47.2 (March 1979) 263-291. Thaler, Richard H. “Shifting Our Retirement Savings into Automatic.” The New York Times , April 6, 2013. http://www.nytimes.com/2013/04/07/business/an-automatic-solution-for-the-retirement-savings-problem.html?pagewanted=all. UNESCO Institute for Statistics. “Statistics in Brief / Profiles” Accessed August 2013. http://stats.uis.unesco.org/unesco/TableViewer/document.aspx?ReportId=121 &IF_Language=en&BR_Country=5580. ekonomia behawioralna (ang. behavioral economics ) gałąź ekonomii (szkoła ekonomiczna), która stara się wzbogacić rozumienie sposobu podejmowania decyzji przez podmioty ekonomiczne, dzięki uwzględnieniu czynników psychologicznych, oraz badanie zmian postrzegania określonych kwot pieniężnych w zależności od sytuacji, w jakiej podmioty te się znajdują wymienialny (ang. fungible ) idea, że dobra, takie jak waluty, kruszec lub surowce, są w pełni zastępowalne, niezależnie od sytuacji, w jakiej znajduje się podmiot ekonomiczny, i zawsze przynoszą mu taką samą wartość wymienialność (ang. fungible ) patrz: wymienialny zastępowalność (ang. fungible ) patrz: wymienialny", "section": "Ekonomia behawioralna: inne podejście do wyborów konsumenckich", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Amerykańska firma Amazon zrewolucjonizowała rynek wydawniczy, upowszechniając sprzedaż książek za pośrednictwem internetu. Do niedawna Amazon nie prowadził sklepów stacjonarnych. (Źródło: modyfikacja pracy Williama Christiansena/Flickr Creative Commons) Książkowa potęga W niecałe 20 lat Amazon zmienił sposób kupowania, sprzedawania, a nawet czytania książek. Przed powstaniem tej firmy nabywcy kupowali książki przede wszystkim w małych, niezależnych księgarniach, które dysponowały ograniczonymi zapasami konkretnych pozycji. W ciągu ostatnich 10 lat niezależne księgarnie w większości zniknęły z rynku lub całkowicie zmieniły swój model biznesowy. Amerykańskie firmy Borders i Barnes & Noble (a w Polsce np. Empik) dawniej posiadały większe sklepy usytuowane w centrach miast. Borders zbankrutował, zaś Barnes & Noble ma problemy finansowe. Empik natomiast coraz większą część przychodów uzyskuje ze sprzedaży artykułów innych niż książki. Firma zamyka sklepy w galeriach handlowych i, podobnie jak inne polskie księgarnie, przestawia się sprzedaż książek przez elektroniczne kanały dystrybucji. Jak Amazon przyczynił się do tego, że księgarnie internetowe wyparły bardziej tradycyjne modele biznesowe? Dlaczego zdołał zmiażdżyć konkurencję? Głównym powodem sukcesu Amazona jest zmiana sposobu, w jaki ludzie nabywają i czytają książki: teraz kupuje się je przede wszystkim poprzez witryny internetowe, a tradycyjny papier jest stopniowo wypierany przez e-booki i audiobooki. Amazon najszybciej dostosował swój model działalności do zmieniających się zachowań konsumentów. Ponadto swoimi posunięciami biznesowymi – np. sprzedażą czytników elektronicznych poniżej kosztów wytwarzania lub wręcz oferowaniem ich gratis – wzmacniał te trendy. Pozwoliło to na zasadniczą obniżkę kosztów wytworzenia książek i oferowanie ich po cenach, których nie mogły zaproponować księgarnie stacjonarne. Lektura dalszej części niniejszego rozdziału powoli ci lepiej zrozumieć, w jak sposób wielkie firmy (takie jak Amazon ) i małe przedsiębiorstwa (takie jak twój ulubiony warzywniak) decydują o tym, ile produkować, co sprzedać i po jakiej cenie. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: W jaki sposób można zorganizować działalność gospodarczą Czym są koszty i zyski ekonomiczne, a także koszty i zyski księgowe Co determinuje poziom produkcji przedsiębiorstwa w krótkim i w długim okresie Jakie rodzaje kosztów przedsiębiorstwa ponoszą w krótkim i długim okresie Niniejszy rozdział jest pierwszym z czterech, w których przedstawiona jest teoria przedsiębiorstwa. Wyjaśnia ona, jak firmy działają i co to znaczy. Zdefiniujmy najpierw, co rozumiemy przez przedsiębiorstwo. Przedsiębiorstwo (producent, firma) (ang. firm ) to wydzielona prawnie jednostka organizacyjna łącząca nakłady pracy, kapitału, ziemi oraz surowców lub półproduktów, aby wytworzyć dobra i usługi, które zostaną następnie sprzedane na rynku. Jeśli przedsiębiorstwo jest dochodowe (przynosi zyski), wyroby gotowe mają większą wartość niż poniesione nakłady. Musimy pamiętać, że produkcja to coś więcej niż tylko wytwarzanie dóbr. To także każdy proces lub usługa, które tworzą wartość, w tym transport, dystrybucja, sprzedaż hurtowa i detaliczna. W ramach organizowania procesów produkcyjnych przedsiębiorstwo (a dokładniej jego kierownictwo) musi podejmować szereg ważnych decyzji, m.in.: Jaki produkt lub produkty powinno wytwarzać przedsiębiorstwo. W jaki sposób przedsiębiorstwo powinno produkować sprzedawane dobra lub usługi (jakie metody produkcji powinno wykorzystywać). Ile pracy i kapitału przedsiębiorstwo powinno zatrudnić. Jaka powinna być wielkość produkcji. Jaką cenę przedsiębiorstwo powinno pobierać za wytworzone produkty. Odpowiedzi na te pytania zależą od metod produkcji i kosztów, z jakimi ma do czynienia każde przedsiębiorstwo. I to właśnie jest tematem niniejszego rozdziału. Odpowiedzi zależą również od struktury rynku, na którym przedsiębiorstwa sprzedają swoje dobra i usługi. Struktury rynku (lub inaczej struktury konkurencji) to wielowymiarowe modele opisujące sposób konkurowania firm sprzedających te same lub podobne produkty. Poszczególne struktury rynku można odróżnić, odpowiadając na następujące pytania: Jaką siłę rynkową posiada każde przedsiębiorstwo w branży, czyli jaką swobodą dysponuje, kształtując cenę swojego produktu? Czy sprzedawane w danej gałęzi produkty są identyczne (homogeniczne), czy jednak różną się znacząco? Jak wysokie są koszty rozpoczęcia i zakończenia działalności w danej gałęzi, czyli jakie są bariery wejścia i wyjścia? Jak wielu jest sprzedawców w danej branży? pokazuje najważniejsze cechy różnych struktur rynku, które będziemy analizować w , oraz . Najważniejsze struktury rynku Przedsiębiorstwa wytwarzające różne produkty napotykają na różne rodzaje struktur rynku. Z jednej strony może to być konkurencja doskonała, gdy wiele przedsiębiorstw próbuje sprzedawać wielu nabywcom identyczne produkty. Na drugim biegunie znajduje się monopol, gdy tylko jedno przedsiębiorstwo sprzedaje konkretny produkt i w zasadzie nie ma żadnej konkurencji. Konkurencja monopolistyczna i oligopol znajdują się między tymi skrajnościami. Konkurencja monopolistyczna to sytuacja, w której wiele przedsiębiorstw sprzedaje podobne, ale nie identyczne produkty. Oligopol natomiast to układ, w którym relatywnie niewiele przedsiębiorstw sprzedaje identyczne lub podobne produkty, a wszystkie podmioty są od siebie silnie uzależnione. Najpierw przeanalizujemy to, w jaki sposób przedsiębiorstwa określają swoje koszty i oczekiwane zyski. Następnie omówimy źródła kosztów, zarówno w krótkim, jak i długim okresie. Zacznijmy jednak od tego, w jaki sposób można organizować działalność przedsiębiorstwa. Gospodarkę polską, podobnie zresztą jak amerykańską, charakteryzuje prywatna przedsiębiorczość oparta na prywatnej własności środków produkcji, jednak zarówno w gospodarce polskiej, jak i w amerykańskiej istnieją przedsiębiorstwa będące własnością publiczną (państwową lub komunalną). Prywatne przedsiębiorstwa mogą zostać zorganizowane w formie firm jednoosobowych (ang. sole proprietorships ) i spółek, zarówno takich, w których odpowiedzialność współwłaścicieli jest nieograniczona, wówczas noszą one nazwę spółek jawnych (ang. partnerships ), jak i ograniczona (ang. corporations ). Mówimy wówczas o spółkach kapitałowych , które dzielą się na spółki z ograniczoną odpowiedzialnością (ang. limited liabity company ) i spółki akcyjne (ang. joint stock company ). Organizacja przedsiębiorstwa Gdy myślimy o przedsiębiorstwach, często przychodzą nam na myśl korporacyjni giganci tacy jak Wal-Mart, Orlen, Microsoft czy Fiat. Jednak przedsiębiorstwa mają różne wielkości, co przedstawia . Zgodnie z danymi GUS na koniec września 2020 r. liczba podmiotów prowadzących działalność gospodarczą w Polsce przekraczała 4,1 mln. Nie oznacza to oczywiście, że w Polsce było wówczas aktywnych aż tyle firm. W statystykach GUS znajdują się bowiem podmioty, które zawiesiły wykonywanie działalności, podmioty, które zakończyły działalność, lecz informacja o tym fakcie nie dotarła do GUS, oraz podmioty, które nie są przedsiębiorstwami (fundacje, stowarzyszenia), ale prowadzą działalność gospodarczą. Z kolei wykorzystując dane Zakładu Ubezpieczeń Społecznych z tego samego okresu, liczbę podmiotów opłacających składki ubezpieczeniowe lub zdrowotne w ZUS można oszacować na 2,6 mln. W tej liczbie 120 tys. to podmioty sektora publicznego: urzędy, szkoły, domy dziecka itp. Z danych ZUS wynika również, iż tylko niespełna 900 tys. podmiotów zatrudnia pracowników (w tym podmioty sektora publicznego). 1,7 mln. to tzw. samozatrudnieni, czyli przedsiębiorcy odprowadzający składki za samych siebie. Niezależnie zatem od źródła danych, wniosek będzie taki sam: największa grupa polskich przedsiębiorstw to firmy jednoosobowe. Firmy jednoosobowe stanowią przedsiębiorstwa należące do jednego właściciela. Ma on prawo do całości dochodów, lecz ponosi również pełną odpowiedzialność za ewentualne straty. Każdy z nas może otworzyć punkt ksero, wynajmując lokal, maszyny biurowe oraz personel do obsługi klientów. Całość zysków przypada właścicielowi, ale w przypadku pojawienia się systematycznych strat musi on ogłosić bankructwo. Oznaczać to będzie, że straty będzie musiał pokryć, wykorzystując również osobisty majątek, taki jak dom, samochód czy sprzęt elektroniczny, które zostaną sprzedane, aby zaspokoić roszczenia wierzycieli. Natomiast jeśli punkt ksero funkcjonuje bez problemów, może się okazać, że niezbędne będą fundusze na rozszerzenie skali działalności, zakup nowych kserokopiarek i ploterów, nowy samochód dostawczy lub wynajęcie większego biura. Dobrym sposobem zebrania tych funduszy może być utworzenie z innymi osobami spółki jawnej. Spółka jawna (ang. partnership ) jest organizacją mającą cele gospodarcze, którą tworzą co najmniej dwie osoby będące jej współwłaścicielami. Dzielą one między siebie zyski i ponoszą wspólną, nieograniczoną odpowiedzialność za ewentualne straty. Spółka jawna jest spółką z nieograniczoną odpowiedzialnością, dlatego też w przypadku jej bankructwa właściciele muszą spłacić długi firmy, spieniężając, jeśli okaże się to konieczne, również swój majątek osobisty. Jest to jeden z najważniejszych powodów, dla których przedsiębiorstwa opierające swój sukces rynkowy na zaufaniu klientów, np. firmy oferujące usługi księgowe czy prawnicze, są zazwyczaj zorganizowane w formie spółki jawnej. Stanowi to bowiem gwarancję dla ich klientów, że wspólnicy są gotowi zaangażować swój prywatny majątek, gdyby sytuacja spółki tego wymagała. Każde przedsiębiorstwo w momencie startu potrzebuje określonej wielkości kapitału w celu sfinansowania zakupów umożliwiających prowadzenie działalności gospodarczej, zakupu surowców, maszyn lub opłacenia kampanii marketingowej. Spółki jawne najczęściej wykorzystują w tym celu środki własne osób zaangażowanych w ich działalność i ewentualnie kredyt bankowy. Natomiast przedsiębiorstwa wymagające dużych początkowych nakładów na zakup maszyn lub skomplikowanych linii produkcyjnych wymagają zainwestowania znacznie większych środków. Ze względu na komplikacje prawne unikają one formy spółki jawnej z dużą lub bardzo dużą liczbą udziałowców (spółka jawna przestaje istnieć w momencie, w którym jeden ze wspólników rezygnuje z prowadzenia działalności lub nie jest do niej zdolny, np. wskutek swojej śmierci). W ich sytuacji dogodną formą organizacji jest spółka kapitałowa (ang. corporation ). W takiej spółce, inaczej niż w spółce jawnej, osobowość prawna powstałego podmiotu jest oddzielona od osobowości prawnej jego właścicieli. Własność jest rozdzielona między akcjonariuszy (w przypadku spółek akcyjnych) lub udziałowców (w przypadku spółek z ograniczoną odpowiedzialnością – z o.o.). Pierwotnymi akcjonariuszami lub udziałowcami są osoby, które założyły przedsiębiorstwo, lecz potem sprzedały swój udział w przyszłych zyskach spółki innym osobom. W ten sposób liczba właścicieli może rosnąć niemal w nieograniczony sposób. Sprzedaż prawa do udziału w zyskach (czyli sprzedaż udziałów lub akcji) staje się źródłem nowych funduszy dla przedsiębiorstwa. W przeciwieństwie do spółki jawnej, spółki kapitałowe mogą zmieniać strukturę swoich udziałowców lub akcjonariuszy, a mimo to prowadzić działalność nieprzerwanie. W przypadku spółek notowanych na giełdzie (czyli publicznych spółek akcyjnych) akcje mogą zostać odsprzedane na rynku kapitałowym. Informacje o cenach akcji ukazujące się w mediach dotyczą właśnie warunków sprzedaży lub odsprzedaży akcji spółek publicznych. Jednak czasami nawet największe podmioty muszą wyemitować dodatkowe akcje w celu sfinansowania szczególnie dużych przedsięwzięć gospodarczych. Aby stać się akcjonariuszem spółki, trzeba nabyć jej akcje na giełdzie. Można dzięki temu uzyskać dochód z tytułu wypłacanej przez spółkę dywidendy (czyli udziału w tej części zysków, który nie jest przeznaczony na inwestycje) i osiągnąć zyski kapitałowe. Jeśli nabędziemy akcje jakiejś firmy za 150 zł za jedną, a w kolejnych dniach ich cena będzie rosła, to odsprzedając je po 160 zł, osiągniemy 10 zł zysku kapitałowego z jednej akcji. Oczywiście w przypadku spadku cen zamiast zysków notować będziemy straty kapitałowe. Akcjonariusze i udziałowcy spółek kapitałowych ponoszą jedynie ograniczoną odpowiedzialność za straty podmiotu, którego są współwłaścicielami. Nigdy nie będą zmuszeni do sprzedaży majątku osobistego, aby spłacić dług spółki. W najgorszym przypadku posiadane przez nich akcje lub udziały staną się bezwartościowym „kawałkiem papieru\" (obecnie akcje są zdematerializowane, więc ten „kawałek papieru” należy traktować metaforycznie). Ponieważ akcjonariusze spółek publicznych to bardzo szeroka grupa, często składająca się z tysięcy, a nawet milionów inwestorów, to na swoim walnym zgromadzeniu wybierają oni radę nadzorczą, która z kolei zatrudnia zarząd do prowadzenia bieżącej działalności firmy. Im więcej akcji posiada akcjonariusz, tym więcej głosów może oddać w wyborach do rady nadzorczej spółki. Teoretycznie rada nadzorcza powinna zapewniać, że działalność spółki prowadzona jest rzeczywiście w interesie jej właścicieli, czyli akcjonariuszy. Jednak najwyższe kierownictwo, czyli zarząd, ma silny głos w sprawie wyboru kandydatów do rady nadzorczej. Wydaje się, że niewielu akcjonariuszy ma wystarczającą wiedzę lub motywację osobistą, aby zużywać energię czy wydawać pieniądze na wskazywanie potencjalnych członków zarządu. Większość z nich, kupując akcje, swoją motywację opiera przede wszystkim, jeśli nie wyłącznie, na zyskach kapitałowych. Wielkość i liczba przedsiębiorstw w Polsce w 2020 r. Liczba zatrudnionych Liczba przedsiębiorstw (% ogólnej liczby przedsiębiorstw) Razem 2 597 672 (100%) 1 1 700 000 (65,4%) 2–9 739 000 (28,5%) 10–49 128 298 (4,9%) 50–249 26 256 (1%) 250 i więcej 4 118 (0,2%) (Źródło: GUS www.stat.gov.pl i ZUS www.zus.pl) długi okres (ang. long run ) okres, w którym wszystkie nakłady są zmienne", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Koszty całkowite i księgowe, zysk księgowy i zysk ekonomiczny Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać różnicę między kosztem księgowym a kosztem ekonomicznym Zrozumieć relację utargu i kosztów Każde przedsiębiorstwo, niezależnie od swoich rozmiarów i rodzaju działalności, dąży do osiągnięcia zysku: Zysk = Utarg całkowity – Koszty całkowite Utarg całkowity (ang. total revenue ) lub inaczej przychód całkowity ( przychód ze sprzedaży ) to środki, jakie przedsiębiorstwo uzyskuje ze sprzedaży wytwarzanych przez siebie produktów. Obliczamy go, mnożąc cenę produktu przez wolumen sprzedanej produkcji: Zysk = Cena × Ilość W kolejnych rozdziałach dowiedziemy, że przychody ze sprzedaży są funkcją popytu na produkty przedsiębiorstwa. Koszty całkowite (ang. total costs ) to wszystkie wydatki, jakie przedsiębiorstwo ponosi, produkując i sprzedając wytwarzane dobra i usługi. Przypomnijmy, że proces produkcji to przekształcanie nakładów w gotowe do sprzedaży dobra i usługi (wyroby gotowe). Pozyskanie każdego z tych nakładów wiąże się dla przedsiębiorstwa z pewnym kosztem. Suma wszystkich kosztów stanowi koszt całkowity. W tym rozdziale pokażemy, że koszty ponoszone przez przedsiębiorstwa w krótkim okresie różnią się od tych ponoszonych w długim okresie. Możemy rozróżnić dwa rodzaje kosztów: księgowe i ekonomiczne. Koszty księgowe (ang. explicit costs ) to koszty, które, jak sama nazwa wskazuje, są możliwe do ujęcia w księgach rachunkowych. Najczęściej mają formę rzeczywistych płatności dokonywanych przez przedsiębiorstwa. Niekiedy jednak koszty księgowe nie wiążą się bezpośrednio z żadnym wydatkiem. Takim kosztem jest amortyzacja (ang. amortisation ), czyli odpis związany z wykorzystaniem maszyny lub innego składnika kapitału rzeczowego, który jest użytkowany przez więcej niż jeden cykl produkcyjny. Najczęściej firmy dokonują pełnej płatności za taką maszynę przy jej zakupie, ale jako koszt traktują tylko część ceny. Koszt ten, czyli właśnie amortyzacja, będzie wpisywany w księgi rachunkowe przez cały okres, w którym dana maszyna jest eksploatowana, choć nie będzie już za sobą pociągał żadnego wydatku (ten opis jest oczywiście uproszczony, ale z uwagi na to, że niniejszy podręcznik traktuje o ekonomii, a nie o rachunkowości, możemy sobie na to pozwolić). Kosztami księgowymi są pensje wypłacane pracownikom lub czynsz za wynajęcie biura. Koszty ekonomiczne (ang. implicit costs ) są natomiast sumą kosztów księgowych oraz kosztów alternatywnych zasobów posiadanych i wykorzystywanych przez przedsiębiorstwo. W przypadku małych przedsiębiorstw zwykle są to zasoby wniesione przez właścicieli. Wartość pracy właściciela firmy, który nie pobiera za to wynagrodzenia, lub potencjalny dochód, jaki wiązałby się z wynajęciem części posiadanej przez tegoż właściciela i wykorzystywanej na działalność gospodarczą nieruchomości, to przykłady kosztów ekonomicznych. Te dwie definicje kosztu są ważne dla rozróżnienia dwóch koncepcji zysku: zysku księgowego i zysku ekonomicznego. Zysk księgowy (ang. accounting profit ) wyraża podejście oparte wyłącznie na kosztach księgowych. Obliczany jest jako różnica między utargiem całkowitym a kosztem księgowym. Natomiast zysk ekonomiczny (ang. economic profit ) to utarg całkowity pomniejszony o koszty ekonomiczne, czyli zarówno o koszty księgowe, jak i koszty alternatywne wykorzystywanych zasobów. Różnica jest o tyle istotna, że nawet jeśli przedsiębiorstwo płaci podatek dochodowy od zysku księgowego (zysku brutto), wcale nie oznacza to, że notuje zyski ekonomiczne. A właśnie ta kategoria decyduje o sukcesie przedsiębiorstwa. Obliczanie wartości kosztów oraz zysków księgowych i ekonomicznych Przeanalizujmy następujący przykład. Fryderyk obecnie pracuje w dużej kancelarii prawniczej. Rozważa jednak otwarcie w swoim rodzinnym, średniej wielkości mieście własnej firmy, w której – po rozkręceniu działalności – spodziewa się zarabiać 200 tys. zł rocznie. Aby prowadzić własną działalność gospodarczą, potrzebuje siedziby i jeszcze jednego pracownika wykonującego proste prace biurowe na pół etatu. Znalazł idealne biuro, które może wynająć za 50 tys. zł rocznie. Może też zatrudnić pracownika za 35 tys. zł rocznie. Jeśli te wielkości są dobrze oszacowane, to czy praktyka prawnicza Fryderyka będzie opłacalna? Krok 1. Najpierw musisz obliczyć koszty. Mając już wiedzę o kosztach księgowych, możesz je zsumować: Wynajęcie biura : 50 000 zł Wynagrodzenie pracownika : +35 000 zł ____________ Całkowite koszty księgowe : 85 000 zł Krok 2. Odjęcie kosztów księgowych od przychodów całkowitych pozwala obliczyć zysk księgowy. Przychody całkowite : 200 000 zł Całkowite koszty księgowe : –85 000 zł ____________ Zysk księgowy : 115 000 zł Obliczenia te uwzględniają jednak tylko koszty księgowe. Aby otworzyć własną praktykę, Fryderyk musiałby porzucić obecną pracę, w której zarabia rocznie 125 tys. zł. Jest to koszt alternatywny jego pracy, jaką wykonywałby jako właściciel firmy prawniczej. Krok 3. Aby określić zysk ekonomiczny, musisz od przychodów odjąć zarówno koszty księgowe, jak i alternatywne: Zysk ekonomiczny = przychody całkowite – koszty księgowe – koszty ekonomiczne = 200 000 zł – 85 000 zł – 125 000 zł = –10 000 zł rocznie Na prowadzeniu własnej firmy Fryderyk traciłby 10 tys. zł rocznie. Nie oznacza to, że z pewnością jej nie otworzy (w końcu może mu bardzo zależeć na tym, żeby zostać swoim własnym szefem), ale jeśli się na to zdecyduje, zarobi o 10 tys. zł mniej, niż utrzymując posadę w dużej kancelarii. Koszty ekonomiczne mogą obejmować również inne kategorie. Być może Fryderyk ceni sobie wolny czas, a założenie własnego przedsiębiorstwa wymagałoby od niego poświęcenia na pracę większej liczby godzin niż w korporacji prawniczej. W tym przypadku utracony czas wolny byłby również kosztem alternatywnym pomniejszającym zysk ekonomiczny. Teraz, gdy zapoznaliśmy się z podziałem kosztów na dwie zasadnicze kategorie, przyjrzyjmy się ich strukturze. Może się ona różnić w zależności od tego, czy analizujemy sytuację przedsiębiorstwa w długim, czy w krótkim okresie. Rozróżnienie to będzie przedmiotem naszych rozważań w kolejnych podrozdziałach. Key Concepts and Summary Przedsiębiorstwa prywatne są nastawione na osiąganie zysków. Zysk to różnica między utargiem (przychodami) a kosztami. Zysk księgowy wynika tylko z kosztów księgowych, zaś zysk ekonomiczny uwzględnia również koszty alternatywne wykorzystywanych zasobów (w tym pracy własnej właścicieli), czyli koszty ekonomiczne. Self-Check Questions Przedsiębiorstwo osiągnęło przychody ze sprzedaży w wysokości 1 mln zł. Na wynagrodzenia wydało 6oo tys. zł., 150 tys. zł to koszty kapitałowe, a 200 tys. zł – wydatki na zakup materiałów. Jaki był zysk księgowy tego przedsiębiorstwa? zysk księgowy = utarg całkowity minus koszty księgowe = 1 000 000 – ( 600 000 + 150 000 + 200 000 ) = 50 000 [ zł ] Kontynuując rozważania na temat przedsiębiorstwa przedstawionego w , przyjmijmy, że zakład należący do tego przedsiębiorstwa znajduje się na ziemi, która jest jego własnością. Można byłoby ją wydzierżawić za 30 tys. zł rocznie. Jaki zatem był zysk ekonomiczny tego przedsiębiorstwa? zysk ekonomiczny = zysk księgowy minus koszty ekonomiczne = 50 000 – 30 000 = 20 000 [ zł ] Review Questions Czym różnią się koszty księgowe od kosztów ekonomicznych? Jak myślisz, czy spłata odsetek od pożyczki udzielonej przedsiębiorstwu jest kosztem księgowym, czy kosztem ekonomicznym? Jaka jest różnica między zyskiem księgowym a zyskiem ekonomicznym? Critical Thinking Questions Małe przedsiębiorstwa „U sąsiada”, takie jak sklepy spożywcze w centrach miast, czasami istnieją, mimo że nie osiągają zysków ekonomicznych. Jak możesz to wyjaśnić? Problems Przedsiębiorstwo rozważa inwestycję, która przyniesie 6% zwrotu w stosunku rocznym. Gdyby zaciągnęło pożyczkę na jej sfinansowanie, musiałby od niej zapłacić 8% odsetek rocznie, ale obecnie ma gotówkę, więc nie będzie musiało pożyczać kapitału. Czy ów podmiot gospodarczy powinien dokonać tej inwestycji? Posłuż się obliczeniami. Wskazówka: Czy to zadanie da się rozwiązać, jeśli nie wiemy, jaką roczną stopę zwrotu firma może osiągnąć dzięki zainwestowaniu posiadanej gotówki? References 2010 U.S. Census. www.census.gov. American Community Survey. 2012. \"School Enrollment and Work Status: 2011.\" Accessed April 13, 2015. http://www.census.gov/prod/2013pubs/acsbr11-14.pdf. 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New York: Routledge, 2007. http://www.econ.ucsb.edu/~weinberg/grads.pdf. zysk księgowy (ang. accounting profit ) utarg całkowity pomniejszony o koszty księgowe zysk ekonomiczny (ang. economic profit ) utarg całkowity pomniejszony o koszty ekonomiczne, czyli koszty księgowe i koszty alternatywne wykorzystywanych zasobów koszty księgowe (ang. explicit costs ) koszty, które można zapisać w księgach rachunkowych, np. płatności dokonywane przez przedsiębiorstwo na wynagrodzenia personelu, czynsz, zakupy materiałów i surowców itd. przedsiębiorstwo (ang. firm ) wydzielona prawnie jednostka organizacyjna, która łączy nakłady pracy, kapitału, ziemi, surowców i półproduktów, aby wyprodukować dobra i usługi koszty ekonomiczne (ang. economic costs ) suma kosztów księgowych i kosztów alternatywnych zasobów wykorzystywanych przez przedsiębiorstwo w działalności gospodarczej, np. zarobków utraconych przez właściciela firmy, który świadczy na jej korzyść nieodpłatną pracę przedsiębiorstwo prywatne (ang. private firm ) sytuacja, w której podmioty prywatne są właścicielami całego przedsiębiorstwa lub większości jego akcji lub udziałów produkcja (ang. production ) proces łączenia nakładów w taki sposób, aby wyprodukować dobra i usługi, które następnie zostaną zaoferowane do sprzedaży na rynku, wartość produktów powinna być wyższa niż suma wartości nakładów i kosztów procesu produkcyjnego przychód całkowity (ang. total revenue ) patrz: utarg całkowity całkowite przychody ze sprzedaży (ang. total revenue ) patrz: utarg całkowity utarg całkowity (ang. total revenue ) środki, jakie przedsiębiorstwo uzyskuje ze sprzedaży wytworzonych dóbr i usług; definiowane jako iloczyn ceny oraz wolumenu produkcji (sprzedaży)", "section": "Koszty całkowite i księgowe, zysk księgowy i zysk ekonomiczny", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Produkcja w krótkim okresie Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić koncepcję funkcji produkcji Wymienić rodzaje nakładów i czynników produkcji Rozróżnić stałe i zmienne nakłady w procesie produkcji w krótkim okresie Dokonać rozróżnienia między produkcją w krótkim okresie a produkcją w długim okresie Odróżnić produkt krańcowy od całkowitego Przedstawić koncepcję malejącej produktywności krańcowej W tym podrozdziale chcemy zbadać związek między wytwarzanym przez przedsiębiorstwo wolumenem produkcji a kosztem jego wytworzenia. Wspomnieliśmy już, że koszt konkretnego dobra lub usługi zależy od tego, ile nakładów jest potrzebnych do ich wyprodukowania i ile te nakłady kosztują. Na pierwsze pytanie możemy odpowiedzieć, wprowadzając funkcję produkcji przedsiębiorstwa. Proces produkcji pizzy obejmuje takie elementy, jak: składniki potrzebne do przygotowania placka, wierzchnie dodatki, praca kucharza oraz narzędzia i materiały niezbędne do przygotowania i zaserwowania tego dania. (Źródło: Haldean Brown/Flickr Creative Commons) Produkcja to proces (lub znacznie częściej szereg procesów), który przedsiębiorstwo wykorzystuje do przekształcania nakładów (np. pracy, kapitału, surowców) w gotowe produkty, tj. dobra lub usługi oferowane przez firmę na rynku. Przeanalizujmy proces powstawania pizzy. Pizzaiolo (czyli kucharz formujący pizzę) potrzebuje mąki, wody i drożdży, aby zrobić ciasto. Następnie z pomidorów, przypraw i wody przygotowuje sos, którym posmaruje uformowany placek. Po nałożeniu nań sera i innych dodatków (szynki, grzybów, owoców morza itp.) pizza trafia do pieca. No właśnie, w pizzerii niezbędny jest piec opalany drewnem, jak również specjalna drewniana deska podobna do łopaty, która służy do wkładania i wyjmowania pizzy. Po upieczeniu pizzę pakuje się do pudełka (jeśli jest na wynos), a klient płaci za przygotowany produkt. Jakie są zatem nakłady (lub czynniki produkcji) wykorzystywane w procesie produkcji pizzy? Ekonomiści dzielą czynniki produkcji na kilka kategorii: Zasoby naturalne (ziemia i surowce) (ang. natural resources ). Składniki niezbędne do przygotowania pizzy to surowce. Należą do nich mąka, drożdże i woda do ciasta, pomidory i zioła do sosu oraz ser i inne dodatki, które dopełnią pizzę. Jeśli pizzeria korzysta z pieca opalanego drewnem, wówczas jako surowiec dodamy drewno. Gdyby piec był ogrzewany gazem ziemnym, do surowców zaliczylibyśmy gaz. Nie zapominajmy o elektryczności potrzebnej do oświetlenia kuchni. Gdybyśmy – zamiast procesu wytwarzania pizzy – analizowali proces produkcji zbóż, wśród zasobów naturalnych umieścilibyśmy ziemię, którą rolnik wykorzystuje pod uprawy. Praca (ang. labor ). W kontekście produkcji praca oznacza ludzki wysiłek, zarówno fizyczny, jak i umysłowy. Praca kucharza jest najważniejszym elementem tego czynnika produkcji. Pizzaiolo musi być wystarczająco silny, aby rozwałkować ciasto, włożyć pizzę i wyjąć ją z pieca, a jednocześnie wystarczająco zręczny, aby uformować w powietrzu cienki placek. Oczywiście musi też wiedzieć, jak zrobić pizzę, jak długo ją piec i znać inne tajniki wytwarzania pizzy. Pizzeria może również zatrudniać jedną osobę lub więcej do obsługi klientów, przyjmowania zamówień i inkasowania płatności. Kapitał (ang. capital ). Gdy ekonomiści stosują ten termin, nie mają na myśli kapitału finansowego (pieniędzy), lecz kapitał fizyczny, czyli maszyny, sprzęt i budynki, których używa się w trakcie produkcji. W przypadku pizzerii kapitał obejmuje piec do pizzy, przybory kuchenne wykorzystywane przez kucharza, budynek i pozostałe niezbędne wyposażenie (np. stoły i krzesła). Technologia (ang. technology ). Pojęcie to odnosi się do procesu lub procesów produkcji. W jakiej proporcji pizzaiolo łączy składniki, aby zrobić idealne ciasto na pizzę? Do jakiej temperatury powinien być nagrzany piec? Jak długo należy trzymać w nim pizzę? Jaki jest najlepszy dostępny na rynku piec opalany drewnem? A może jednak lepszy będzie gazowy? Czy restauracja powinna wyrabiać własne ciasto i sos, czy może lepiej je kupić (tak jak zazwyczaj dzieje się z deserami we włoskich knajpkach)? Przedsiębiorczość (ang. entrepreneurship ). Proces produkcji wymaga podjęcia wielu istotnych decyzji i dużej wiedzy, nawet w przypadku produktu tak nieskomplikowanego jak pizza. Kto podejmuje te decyzje? Ostatecznie to przedsiębiorca, osoba prowadząca działalność gospodarczą, musi się z nimi zmierzyć. Przedsiębiorczość to nic innego jak dostrzeganie potrzeb konsumentów i wymyślanie sposobów, które pozwolą zarobić pieniądze na ich zaspokajaniu. Mark Zuckerberg jako pierwszy zorientował się, że pieniądze będzie można zarobić na umożliwieniu ludziom dzielenia się z innymi szczegółami z prywatnego życia za pomocą specjalnie do tego zaprojektowanej aplikacji komputerowej. W ten sposób stworzył rynek, na którym działają media społecznościowe i niezależnie od tego, że młodzi ludzie znacznie częściej niż Facebooka używają teraz TikToka, jak również niezależnie od wątpliwości etycznych i prawnych związanych ze sprzedażą danych, które użytkownicy Facebooka dobrowolnie udostępniają w tej aplikacji, uczyniło to z Marka Zuckerberga jednego z najbogatszych ludzi na świecie. To chyba najlepszy przykład przedsiębiorczości w działaniu. Koszt produkcji pizzy (lub dowolnego innego produktu) zależy od ilości kapitału, pracy, surowców i innych niezbędnych czynników produkcji oraz ceny, którą musi zapłacić przedsiębiorca za każdy z nich. Przyjrzyjmy się zatem temu problemowi nieco dokładniej. Możemy podsumować nasze dotychczasowe rozważania w formie funkcji produkcji – wyrażenia matematycznego lub równania, które wyjaśnia relację między danymi wejściowymi a wynikami: Q = f [ N R , L , K , t , E ] gdzie NR to zasoby naturalne ( Natural Resources ), L to praca ( Labor ), K to kapitał ( Capital ), t to technologia ( Technology ) oraz E to przedsiębiorczość ( Entrepreneurship ). Funkcja produkcji daje odpowiedź na pytanie, jaką wielkość produkcji może wytworzyć przedsiębiorstwo przy różnych poziomach nakładów. Dla każdego produktu (pizzy, samochodu i zboża) można stworzyć specyficzną i unikalną funkcję produkcji. Ilość pracy wykorzystywanej przez rolnika do wyprodukowania kwintala pszenicy jest prawdopodobnie inna niż ilość pracy potrzebna do wyprodukowania samochodu. Każde przedsiębiorstwo może produkować w nieco inny sposób, więc nawet funkcje produkcji przedsiębiorstw z tej samej branży mogą być nieco inne (w jednej pizzerii wszystkie składniki pizzy wytwarzane będą w lokalu, zaś w drugiej ciasto i sos dostarczą poddostawcy). Pizzeria z konsumpcją na miejscu prawdopodobnie zużywa więcej pracy (kelnerów i osób zmywających zastawę stołową) niż restauracja produkująca wyłącznie na wynos. Możemy opisać te nakłady i czynniki produkcji (oraz wiążące się z nimi koszty) jako stałe lub zmienne . Stałe nakłady i czynniki produkcji (ang. fixed inputs ) to takie, których ilości nie można zwiększyć lub zmniejszyć w krótkim okresie. W przykładzie z pizzą nakładem stałym jest np. lokal. Gdy przedsiębiorca podpisze umowę najmu i zobowiąże się opłacać czynsz w jakimś okresie, nie może się z niej wycofać aż do momentu jej wygaśnięcia. W krótkim okresie nie da się również znaleźć kolejnej nieruchomości, którą od razu można wykorzystać jako pizzerię. Oznacza to, że również koszt najmu pomieszczeń jest stały. Stałe nakłady określają maksymalną zdolność produkcyjną przedsiębiorstwa w krótkim okresie. Przecież nawet jeśli będziemy powiększać zatrudnienie i kupować więcej surowców, to w jednym budynku nie da się zwiększać produkcji pizzy w nieskończoność. Analogicznie jest z potencjalnym produktem możliwym do wytworzenia w danym społeczeństwie, który zdefiniowany jest przez krzywą możliwości produkcyjnych. Wskazuje ona na maksymalną wielkość produkcji, jaką społeczeństwo może wytworzyć w danym momencie przy użyciu dostępnych zasobów. Zmienne nakłady i czynniki produkcji (ang. variable inputs ) można łatwo zwiększyć lub zmniejszyć w krótkim okresie. Aby zamówić więcej mąki, pomidorów i szynki, pizzaiolo może po prostu zadzwonić do dostawcy. Składniki do przygotowania placków są zatem nakładami zmiennymi. Właściciel może również dość szybko zatrudnić nową osobę do obsługi telefonicznych zamówień, ponieważ praca ta nie wymaga żadnych długo nabywanych umiejętności ani kwalifikacji. Ekonomiści zwykle używają skróconej formy funkcji produkcji: Q = f [ L , K ] , gdzie L reprezentuje wszystkie nakłady zmienne, zaś K – wszystkie nakłady stałe. Wynika to z przyjęcia założenia, zgodnie z którym w krótkim okresie łatwo jest zwiększać nakład pracy (Labor), natomiast powiększanie nakładu Kapitału nie jest możliwe. W konsekwencji ekonomiści analizują sytuację przedsiębiorstwa, w tym przede wszystkim poziom jego produkcji, w krótkim i w długim okresie. Krótki okres (ang. short run ) to czas, w którym przynajmniej niektóre czynniki produkcji są stałe. Dla pizzerii krótkim okresem będzie czas obowiązywania umowy najmu pomieszczeń, ponieważ związany bieżącą umową właściciel nie może wybrać innego lokalu. W długim okresie (ang. long run ) wszystkie nakłady i czynniki produkcji są zmienne. Po wygaśnięciu umowy najmu pomieszczeń na pizzerię właściciel może przenieść się do większego lub mniejszego lokalu, w zależności od popytu na przygotowywane przezeń placki. Przyjrzyjmy się produkcji w krótkim okresie na konkretnym przykładzie: ścinania drzew za pomocą piły spalinowej. Zasady rządzące produkcją w krótkim okresie można omówić na przykładzie drwali ścinających drzewa. Ponieważ na mocy definicji nakład kapitału jest stały w krótkim okresie, nasza funkcja produkcji ma postać: Q = f [ L , K − ] lub Q = f [ L ] To równanie w prosty sposób pokazuje, że wielkość produkcji (np. liczba drzew ścinanych dziennie) zależy tylko od wielkości zatrudnionej siły roboczej (np. liczby pracujących drwali), przy założeniu, że nakład kapitału jest stały (czyli dysponują oni jedną piłą spalinową). Możemy zilustrować funkcję produkcji konkretnymi wartościami, tak jak to zostało pokazane w . Krótkookresowa funkcja produkcji ściętych drzew Liczba drwali 1 2 3 4 5 Produkt całkowity (TP) 4 10 12 13 13 Produkt krańcowy (MP) 4 6 2 1 0 Warto zauważyć, że do naszych rozważań wprowadziliśmy nowe pojęcia. Produkcję (Q) możemy także nazwać produkcją całkowitą (TP – total product ), co oznacza wielkość produkcji wytworzoną przy danej ilości pracy i stałej ilości kapitału. W tym przykładzie jeden drwal używający piły może ściąć cztery drzewa w ciągu godziny. Dwóch drwali, mając do dyspozycji jedną piłę, może ściąć w tym samym okresie dziesięć drzew. Dzieje się tak dlatego, że podczas gdy pierwszy pracuje przy ścinaniu, drugi wyszukuje kolejne drzewa nadające się do ścięcia. Mogą się również zmieniać przy pracy, dzięki czemu mniej się męczą i pracują wydajniej. Powinniśmy również wprowadzić bardzo ważne pojęcie: produkt krańcowy (marginalny) (ang. marginal product ). Produkt krańcowy to dodatkowa produkcja, która zostaje wytworzona dzięki zatrudnieniu kolejnego pracownika. Produktu krańcowego nie należy jednak utożsamiać z konkretnymi dobrami lub usługami, które wytworzyła nowo zatrudniona osoba. Przecież dodatkowe 6 ściętych drzew w naszym przykładzie zostało wyprodukowane przez dwóch drwali. Przyrost produkcji był możliwy dzięki zatrudnieniu kolejnego pracownika, ale nie jest on efektem wyłącznie jego pracy. W ujęciu matematycznym produkt krańcowy to przyrost produktu całkowitego podzielony przez przyrost nakładu pracy: M P = Δ (T P) / Δ L W powyższej tabeli, ponieważ 0 pracowników ścina 0 drzew, produkt krańcowy pierwszego pracownika to cztery drzewa dziennie, ale produkt krańcowy drugiego pracownika to sześć drzew dziennie. Dlaczego tak się dzieje? Jak wskazaliśmy powyżej, wynika to z charakteru omawianego procesu produkcyjnego. Załóżmy, że dodamy do tej historyjki trzeciego drwala. Jaki będzie produkt krańcowy tej osoby? Co ta osoba wniesie do zespołu? Może na przykład dbać o dostarczanie paliwa, dzięki któremu piła mechaniczna działa, albo przynosić wodę, którą orzeźwiać się będą koledzy. Trzeci pracownik umożliwi również jeszcze częstsze zmiany przy ścinaniu, co uczyni pracę każdego z drwali szybszą. Wartości, które zostały wskazane w tabeli, pozwalają na sformułowanie niezwykle ważnego wniosku dotyczącego produkcji w krótkim okresie. Wraz ze wzrostem liczby zatrudnionych osób produkt krańcowy początkowo rośnie, ale wcześniej czy później nieuchronnie zaczyna maleć. Od pewnego poziomu zatrudnienia każdy kolejny pracownik nie przekłada się już na wzrost wielkości produkcji albo jego wpływ na produkt całkowity jest ujemny. Wniosek ten nazywany jest prawem malejącego produktu krańcowego (ang. law of diminishing marginal product ) i jest immanentną cechą produkcji w krótkim okresie. Koncepcja malejącej produktywności krańcowej jest bardzo podobna do malejącej użyteczności krańcowej, o której była mowa w rozdziale dotyczącym wyboru konsumenta. Obie z kolei są przykładami bardziej ogólnej koncepcji malejących przychodów krańcowych. Dlaczego produktywność krańcowa maleje? Dzieje się tak ze względu na stały nakład kapitału (szerzej – na nakłady stałych czynników produkcji). Wrócimy do tego zagadnienia, gdy w jednym z kolejnych podrozdziałów będziemy omawiać produkcję w długim okresie. Prawo malejącego produktu krańcowego możemy również przedstawić graficznie, na przykład tak, jak na i . wykorzystuje dane z . Natomiast przedstawia bardziej ogólne przypadki krzywych produktu całkowitego i krańcowego. Prawo malejącego produktu krańcowego: całkowita produkcja drzew w krótkim okresie (na górze), krańcowa produkcja drzew (na dole). Krzywe produktu całkowitego (na górze) i produktu krańcowego (na dole). Key Concepts and Summary Produkcja to seria toczących się w przedsiębiorstwie procesów, które prowadzą do przekształcania nakładów i czynników produkcji (np. pracy, kapitału, surowców itp.) w dobra i usługi, jakie będzie można zaoferować nabywcom na rynku. Zmiana nakładu stałych czynników produkcji (przede wszystkim kapitału) w krótkim okresie jest niemożliwa. Przyrost produkcji w krótkim okresie jest zatem konsekwencją rosnącego nakładu zmiennych czynników produkcji, przede wszystkim wzrostu liczby zatrudnionych pracowników. Produkt krańcowy to dodatkowa produkcja, którą przedsiębiorstwo uzyskuje, zatrudniając kolejne jednostki siły roboczej (dodatkowych ludzi). Dla każdej funkcji produkcji w krótkim okresie wzrost zatrudnienia powyżej pewnego poziomu doprowadzi do spadku produktu krańcowego – kolejni zatrudniani pracownicy będą przyczyniać się do coraz mniejszych przyrostów produkcji całkowitej. Z matematycznego punktu widzenia produkcja krańcowa to nachylenie krzywej produkcji całkowitej. Review Questions Co to jest funkcja produkcji? Jaka jest różnica między stałymi a zmiennymi nakładami (czynnikami produkcji)? malejąca produktywność krańcowa (ang. diminishing marginal productivity ) ogólna zasada, zgodnie z którą zatrudnianie kolejnych jednostek siły roboczej przy stałym zasobie kapitału prowadzi do coraz mniejszych przyrostów produktu całkowitego nakłady (koszty) stałe (ang. fixed inputs ) czynniki produkcji, których wielkości zatrudnienia w krótkim okresie nie można zwiększyć lub zmniejszyć produkt krańcowy (ang. marginal product ) zmiana wielkości produkcji całkowitej w przedsiębiorstwie wynikająca ze wzrostu zatrudnienia o jednostkę; matematycznie MP = Δ(TP) / ΔL", "section": "Produkcja w krótkim okresie", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Koszty w krótkim okresie Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć zależność między wielkością produkcji a kosztami Dopasować wynagrodzenie do każdego czynnika produkcji Przeanalizować koszty w krótkim okresie, wykorzystując kategorie kosztów całkowitych, kosztów stałych, kosztów zmiennych, kosztu krańcowego i kosztu przeciętnego Obliczyć zysk przeciętny Wskazać znaczenie zmienności kosztów dla wartości zysku przedsiębiorstwa W poprzednim podrozdziale wyjaśniliśmy już, że całkowite koszty zależą od wielkości nakładów, które przedsiębiorstwo wykorzystuje do wytworzenia konkretnego wolumenu swojej produkcji, oraz od kosztów tych nakładów. Funkcja produkcji przedsiębiorstwa wskazuje, jaki wolumen produkcji zostanie wytworzony przy danym poziomie nakładów. Na problem ten można jednak spojrzeć również z drugiej strony: ile i jakich nakładów potrzebuje przedsiębiorstwo, aby wyprodukować konkretną ilość produktów. Jest to pierwsza informacja, jakiej potrzebujemy, aby określić koszt całkowity. Przejdźmy teraz do drugiej, czyli do kosztu pozyskania konkretnych nakładów i czynników produkcji. Z każdym czynnikiem produkcji (lub nakładem) związany jest konkretny rodzaj wynagrodzenia za jego wykorzystanie. Płatności za wykorzystanie czynników produkcji są kosztem z punktu widzenia przedsiębiorstwa. Z kolei dla właściciela każdego z czynników produkcji te płatności są jego dochodami. Opłaty za wykorzystane czynniki produkcji obejmują: Ceny surowców. Należy jednak zaznaczyć, że w klasycznym ujęciu surowce (takie jak węgiel kamienny, ropa naftowa lub drewno) są elementem czynnika produkcji „ziemia” Rentę gruntową lub czynsz za grunt albo budynki (czynnik produkcji „ziemia”) Płace i wynagrodzenia za pracę Odsetki (procenty) i dywidendy za wykorzystanie kapitału finansowego (kredyty i inwestycje kapitałowe) Zysk za przedsiębiorczość (ang. profit for entrepreneurship ). Zysk jest wartością rezydualną, która pozostaje po odjęciu od przychodów wszystkich kosztów poniesionych przez przedsiębiorstwo. Choć traktowanie zysku jako „kosztu” może wydawać się dziwne, to właśnie zysk jest wynagrodzeniem przedsiębiorcy za podjęcie ryzyka działalności gospodarczej. Mamy teraz wszystkie informacje niezbędne do określenia kosztów działalności przedsiębiorstwa. Funkcja kosztu to wyrażenie lub równanie matematyczne, które pokazuje koszt wytworzenia różnych wielkości produkcji. Funkcja kosztów dla produkcji gadżetów (wszystkie wartości w tej i kolejnych tabelach w zł) Wielkość produkcji (Q) 1 2 3 4 Koszt 32,50 44 52 90 Możemy zauważyć, że koszt wzrasta, gdy przedsiębiorstwo zwiększa wolumen produkcji. Jest to dość intuicyjne, ponieważ wytwarzanie większej liczby produktów wymaga większych nakładów, których pozyskanie kosztuje więcej. Skąd pochodzą dane dotyczące kosztów? Wynikają one z funkcji produkcji przedsiębiorstwa i cen czynników produkcji. Znajdujące się powyżej omówienie kosztów związanych z konkretnymi czynnikami produkcji i nakładami w krótkim okresie bazuje na funkcji produkcji podobnej do tej, którą zastosowano w poprzednim podrozdziale w odniesieniu do ścinanych drzew – . Pracownicy (L) 1 2 3 3,25 4,4 5,2 6 7 8 9 Gadżety (Q) 0,2 0,4 0,8 1 2 3 3,5 3,8 3,95 4 Możemy wykorzystać informacje z funkcji produkcji do określenia kosztów produkcji. Musimy jednak wiedzieć, ilu pracowników jest potrzebnych do wyprodukowania każdej liczby gadżetów. Jeśli zamienimy kolejność wierszy w tabeli, przekształcimy funkcję produkcji tak, aby pokazała L = f(Q). Gadżety (Q) 0,2 0,4 0,8 1 2 3 3,5 3,8 3,95 4 Pracownicy (L) 1 2 3 3,25 4,4 5,2 6 7 8 9 Teraz skupimy się wyłącznie na rozmiarach produkcji wyrażonej w liczbach całkowitych, a więc eliminujemy z tabeli wartości ułamkowe. Załóżmy również, że każdy z pracowników, który produkuje gadżety, zarabia 10 zł za godzinę swojej pracy. Pomnożenie wiersza zawierającego dane o liczbie pracowników przez 10 zł (i eliminacja pustych pól) pozwoli nam oszacować koszt produkcji konkretnej liczby gadżetów. Gadżety (Q) - - - 1 2 3 - - - 4 Pracownicy (L) - - - 3,25 4,4 5,2 - - - 9 Gadżety (Q) 1,00 2,00 3,00 4,00 Pracownicy (L) 3,25 4,4 5,2 9 × godzinowa stawka płacy 10 10 10 10 = Koszt 32,50 44,00 52,00 90,00 To ta sama funkcja kosztów, od której zaczęliśmy! (Pokazana w .) Teraz, gdy mamy już ogólne pojęcie o źródłach kosztów i ich związku z wielkością produkcji, przejdźmy do szczegółów. Koszty przeciętne i krańcowe Koszt wytworzenia produkcji zależy od tego, ile pracy i kapitału fizycznego wykorzystuje przedsiębiorstwo. Lista kosztów związanych z produkcją samochodów będzie wyglądać zupełnie inaczej niż w przypadku produkcji oprogramowania komputerowego, strzyżenia włosów czy dostarczania posiłków typu fast food. Możemy mierzyć koszty na różne sposoby, a każdy zapewnia nieco inną perspektywę. Czasem przedsiębiorstwa muszą spojrzeć na jednostkowy koszt produkcji, a nie tylko na koszt całkowity. Istnieją dwa sposoby mierzenia kosztów jednostkowych. Najbardziej intuicyjny sposób to koszt przeciętny, czyli średni koszt wyprodukowania jednego dobra dla danych rozmiarów produkcji. Koszt przeciętny (ang. average cost ) definiujemy jako koszty całkowite podzielone przez liczbę wytworzonych produktów: A C = T C / Q . Jeśli wyprodukowanie dwóch gadżetów kosztuje łącznie 44 zł, to koszt przeciętny jednego gadżetu wynosi 44 / 2 = 22 [ zł ] . Innym sposobem mierzenia kosztu w przeliczeniu na jednostkę jest koszt krańcowy (ang. marginal cost ). Jeśli koszt przeciętny jest średnim kosztem na jednostkę wytworzonej produkcji, to koszt krańcowy jest kosztem wyprodukowania każdej dodatkowej jednostki produkcji. Bardziej formalnie, koszt krańcowy to koszt wytworzenia każdej kolejnej jednostki produkcji. Matematycznie koszt krańcowy to zmiana kosztu całkowitego podzielona przez zmianę wielkości produkcji: M C = Δ ( T C ) / Δ Q . Jeśli koszt pierwszego gadżetu to 32,50 zł, a koszt dwóch gadżetów 44 zł, wówczas koszt krańcowy drugiego produktu wynosi 44 – 32,50 = 11,50 [ zł ] . Poniżej znajduje się tabela z kosztami produkcji gadżetów rozbudowana o wartość kosztu przeciętnego i krańcowego. Rozszerzona funkcja kosztów produkcji gadżetów Wielkość produkcji 1 2 3 4 Koszt całkowity 32,50 44,00 52,00 90,00 Koszt przeciętny 32,50 22,00 17,00 22,50 Koszt krańcowy 32,50 11,50 8,00 38,00 Zauważ, że koszt krańcowy pierwszej jednostki produkcji jest zawsze taki sam jak koszt całkowity. Koszty stałe i zmienne Koszty całkowite (ang. total costs ) możemy podzielić na koszty stałe i koszty zmienne. Koszty stałe (ang. fixed costs ) to koszty stałych nakładów czynników produkcji (np. kapitału). Ponieważ nakłady stałe nie zmieniają się w krótkim okresie, koszty stałe to wydatki, które są niezależne od wielkości produkcji. Bez względu na to, czy produkujesz dużo, czy mało, koszty stałe są takie same. Jednym z przykładów kosztu stałego jest czynsz za fabrykę lub powierzchnię handlową. Po podpisaniu umowy najmu czynsz jest taki sam niezależnie od tego, ile wyprodukujesz; przynajmniej do czasu wygaśnięcia umowy. Koszty stałe związane są również z innymi nakładami i procesami produkcyjnymi: będą to np. koszty maszyn lub sprzętu do wytwarzania produktów, koszty badań i rozwoju nowych produktów, a nawet wydatki na reklamę popularyzującą markę. Wysokość kosztów stałych jest różna w różnych branżach, np. produkcja układów scalonych wykorzystywanych w komputerach wymaga budowy drogiej fabryki, ale lokalne przedsiębiorstwo zajmujące się przeprowadzkami i transportem może obejść się prawie bez kosztów stałych, jeśli będzie wynajmować ciężarówki tylko w te dni, w których prowadzi aktywną działalność. Koszty zmienne (ang. variable cost ) to koszty zmiennych nakładów czynników produkcji (np. pracy). Jedynym sposobem na zwiększenie lub zmniejszenie produkcji w krótkim okresie jest zwiększenie lub zmniejszenie tych nakładów. Dlatego koszty zmienne rosną lub maleją wraz ze zmianą wolumenu produkcji. Traktujemy pracę jako koszt zmienny, ponieważ wyprodukowanie większej ilości dóbr lub usług zazwyczaj wymaga większej liczby pracowników lub większej liczby godzin pracy. Koszty zmienne obejmują również koszt pozyskania surowców. Koszty całkowite to suma kosztów stałych i zmiennych. Spójrzmy na inny przykład. Pomyślmy o zakładzie fryzjerskim działającym pod nazwą Strzyżenie Owiec, którego koszty całkowite zostały przedstawione na . Dane dotyczące produkcji i kosztów znajdują się w . Koszty stałe prowadzenia salonu fryzjerskiego, łącznie z wynajęciem powierzchni i wyposażenia, wynoszą 160 zł dziennie. Koszty zmienne to koszty zatrudnienia fryzjerów, które w naszym przykładzie wynoszą 80 zł na fryzjera dziennie. Pierwsze dwie kolumny tabeli pokazują dzienną liczbę ostrzyżonych głów przy różnych poziomach zatrudnienia. Trzecia kolumna zawiera koszty stałe, które nie zmieniają się niezależnie od wielkości produkcji. Czwarta kolumna przedstawia koszty zmienne przy każdym z poziomów produkcji. Obliczamy je, mnożąc liczbę zatrudnionych pracowników przez ich płacę. Na przykład dwóch fryzjerów kosztuje: 2 × 80 = 160 [ zł ] . Zsumowanie kosztów stałych z trzeciej kolumny i kosztów zmiennych z czwartej kolumny daje łączne koszty w piątej kolumnie. Na przykład przy zatrudnieniu dwóch fryzjerów koszt całkowity wynosi: 160 + 160 = 320 [ zł ] . Produkcja i koszty całkowite zakładu fryzjerskiego Strzyżenie Owiec (kwoty w zł) Praca Liczba ostrzyżonych głów Koszty stałe Koszty zmienne Koszty całkowite 1 16 160 80 240 2 40 160 160 320 3 60 160 240 400 4 72 160 320 480 5 80 160 400 560 6 84 160 480 640 7 82 160 560 720 Nawet wtedy, gdy przedsiębiorstwo nic nie produkuje, musi pokrywać koszty stałe w wysokości 160 zł. Rozpoczęcie produkcji oznacza pojawienie się kosztów zmiennych, a koszty całkowite są sumą tych dwóch składowych. Przy zerowej produkcji koszty stałe wynoszą 160 zł. Wraz ze wzrostem jej wolumenu do kosztów stałych dodajemy koszty zmienne, a koszt całkowity jest sumą tych dwóch elementów. przedstawia związek między wielkością produkcji a kosztem jej wytworzenia. Wartość kosztów stałych jest odłożona na osi pionowej, w punkcie jej przecięcia z krzywą kosztów całkowitych. Jak widać, koszty stałe występują również wtedy, gdy przedsiębiorstwo nic nie produkuje. Na wykresie daje się zauważyć, że po rozpoczęciu produkcji koszty zmienne, a w konsekwencji również całkowite, rosną. Koszty zmienne mogą początkowo powiększać się w bardzo umiarkowanym tempie, ale w pewnym momencie zaczynają przyrastać coraz szybciej. Jest to spowodowane malejącą produktywnością krańcową – zależnością, którą omówiliśmy w poprzednim podrozdziale. Po zatrudnieniu pierwszego fryzjera pojawia się w ogóle jakikolwiek produkt, który definiujemy jako 16 ostrzyżonych głów. Tyle właśnie wynosi produkt krańcowy. Po zatrudnieniu kolejnego pracownika produkcja wzrasta z 16 do 40 ostrzyżonych głów, a zatem produkt krańcowy jest równy 24. Od tego momentu jednak produkt krańcowy maleje wraz z zatrudnianiem kolejnych pracowników. Gdy liczba fryzjerów wzrasta z dwóch do trzech, produkt krańcowy wynosi tylko 20, zaś gdy liczba zatrudnionych powiększa się z trzech do czterech, produkt krańcowy osiąga wartość jedynie 12. Aby zrozumieć, dlaczego tak się dzieje, weź pod uwagę, że jednoosobowy zakład fryzjerski to bardzo pracochłonny biznes. Jeśli w zakładzie zatrudniony jest tylko jeden fryzjer, to musi on robić wszystko: przywitać się z wchodzącymi klientami, odbierać telefony, strzyc włosy, sprzątać i przyjmować należności. Zatrudnienie drugiego pracownika zmniejsza problemy związane z odrywaniem się od strzyżenia i czesania głów oraz pozwala na podział pracy i specjalizację. Rezultatem może być wzrost produktu krańcowego. Jednak zatrudnianie kolejnych fryzjerów powoduje, że korzyści z przyjęcia do pracy każdego nowego pracownika są mniejsze, ponieważ specjalizacja pracy może postępować tylko do pewnego momentu. Dodanie szóstego, siódmego lub ósmego fryzjera tylko po to, by witał ludzi przy drzwiach lub zamiatał podłogę, będzie miało mniejszy wpływ na wielkość produkcji niż zatrudnienie drugiego. I z tego właśnie powodu produkt krańcowy wcześniej czy później zaczyna maleć. W rezultacie koszty całkowite zaczynają rosnąć szybciej wraz ze wzrostem produkcji. W pewnym momencie może się wręcz okazać, że zatrudnienie kolejnego pracownika generuje ujemny produkt krańcowy (tak dzieje się z siódmym fryzjerem w naszym hipotetycznym zakładzie), gdy pracownicy zaczną obijać się łokciami, przeszkadzać sobie w pracy i wchodzić nawzajem w drogę. Ten wzorzec malejącej produktywności krańcowej (ang. diminishing marginal productivity ) występuje powszechnie w działalności produkcyjnej. Rozważ teraz problem nawadniania upraw. Areał wykorzystywanych pól jest stałym czynnikiem produkcji, podczas gdy koszt pozyskania wody stanowi kluczowy element kosztów zmiennych. Gdy rolnik zwiększa ilość wykorzystywanej wody, wzrasta wydajność jego produkcji. Jednak dodawanie coraz większej ilości wody powoduje mniejsze przyrosty zbiorów z hektara, aż w pewnym momencie wody jest tak dużo, że uprawy po prostu gniją. Malejąca produktywność krańcowa pojawia się, ponieważ przy stałych nakładach części czynników produkcji (w tym przykładzie ziemia) każda dodatkowa jednostka nakładu zmiennego (np. woda) w coraz mniejszym stopniu przekłada się na wzrost produkcji. Przeciętny koszt całkowity, przeciętny koszt zmienny i koszt krańcowy Podział kosztów całkowitych na stałe i zmienne może również stanowić podstawę do innych spostrzeżeń. Pierwsze pięć kolumn w wykorzystuje explicite dane z poprzedniej tabeli, ale ostatnie trzy kolumny prezentują przeciętny koszt całkowity, przeciętny koszt zmienny i koszt krańcowy. Te nowe kategorie analizują koszty w przeliczeniu na jednostkę (a nie w ujęciu całkowitym) i są pokazane na . Krzywe kosztów dla zakładu fryzjerskiego Strzyżenie Owiec Możemy również przedstawić informacje o kosztach całkowitych (zarówno stałych, jak i zmiennych) w przeliczeniu na jednostkę produkcji. Przeciętny krótkookresowy koszt całkowity (SATC) obliczamy, dzieląc całkowite koszty przez wielkość produkcji. Krzywa przeciętnego kosztu całkowitego ma zwykle kształt litery U. Przeciętny krótkookresowy koszt zmienny (SAVC) obliczamy, dzieląc całkowite koszty zmienne przez wielkość produkcji. Krzywa przeciętnego kosztu zmiennego leży poniżej krzywej przeciętnego kosztu całkowitego i zazwyczaj również ma kształt litery U. Koszt krańcowy w krótkim okresie (SMC) obliczamy, dzieląc przyrost kosztów całkowitych przez wzrost produkcji, który ten przyrost spowodował. Krzywa kosztu krańcowego początkowo nieznacznie maleje wraz ze wzrostem produkcji, aby później zacząć szybko (bardziej niż wykładniczo) rosnąć. Różne rodzaje kosztów zakładu fryzjerskiego Strzyżenie Owiec (kwoty w zł) Praca Liczba ostrzyżonych głów Koszty stałe (FC) Koszty zmienne (VC) Koszty całkowite (TC) Koszt krańcowy (MC) Przeciętny koszt całkowity (SATC) Przeciętny koszt zmienny (SAVC) 1 16 160 80 240 15,00 15,00 5,00 2 40 160 160 320 3,33 8,00 4,00 3 60 160 240 400 4,00 6,67 4,00 4 72 160 320 480 6,67 6,67 4,44 5 80 160 400 560 10,00 7,00 5,00 6 84 160 480 640 20,00 7,62 5,71 Przeciętny koszt całkowity (ang. average total cost ) – czasami nazywany po prostu kosztem przeciętnym – jest kosztem całkowitym podzielonym przez wielkość produkcji. Ponieważ całkowite koszty ostrzyżenia 40 głów wynoszą 320 zł, to przeciętny koszt całkowity jednego strzyżenia wynosi 320 / 40, czyli 8 [zł]. Krzywe kosztu przeciętnego zwykle mają kształt litery U, tak jak to widać na . Krzywa przeciętnego kosztu całkowitego zaczyna się stosunkowo wysoko, ponieważ przy niskich poziomach produkcji koszty całkowite są zdominowane przez koszty stałe. Matematycznie – mianownik jest tak mały, że przeciętny koszt całkowity jest duży. Następnie przeciętny koszt całkowity spada, ponieważ koszty stałe rozkładają się na coraz większą liczbę wytworzonych produktów. Jednak wraz z dalszym wzrostem produkcji koszt przeciętny zaczyna rosnąć. Wraz z malejącą produktywnością krańcową koszty zmienne zaczynają przyrastać szybciej niż wolumen produkcji, co zwiększa również przeciętny koszt całkowity. Przeciętny koszt zmienny (ang. average variable cost ) otrzymujemy, dzieląc koszty zmienne przez wielkość produkcji. Na przykład koszt zmienny ostrzyżenia 80 głów wynosi 400 zł, więc przeciętny koszt zmienny to 400 / 80, czyli 5 [zł] za strzyżenie. Należy zauważyć, że dla każdego poziomu produkcji krzywa przeciętnego kosztu zmiennego zawsze będzie leżeć poniżej krzywej przeciętnego kosztu całkowitego ( ). Po prostu przeciętny koszt całkowity uwzględnia również koszty stałe, zatem musi być większy niż przeciętny koszt zmienny. Stąd dla Q = 80 ostrzyżonych głów przeciętny koszt całkowity to 8 zł na strzyżenie, podczas gdy przeciętny koszt zmienny to tylko 5 zł na strzyżenie. Jednak wraz ze wzrostem produkcji koszty stałe stają się relatywnie mniej istotne (ponieważ nie rosną one wraz z powiększającym się wolumenem produkcji), więc przeciętny koszt zmienny zbliża się wartością do przeciętnego kosztu całkowitego. Przeciętne koszty całkowity i zmienny mierzą koszt wytworzenia jednego produktu dla każdego wolumenu produkcji. Koszt krańcowy (ang. marginal cost ) niesie ze sobą nieco inną informację. Koszt krańcowy to dodatkowy koszt wytworzenia jeszcze jednej jednostki produkcji. Nie jest to koszt jednostkowy wszystkich wyprodukowanych jednostek. Interesuje nas tylko koszt związany z produkcją następnej jednostki (lub kilku następnych). Koszt krańcowy obliczamy, dzieląc zmianę całkowitych kosztów przez zmianę wyprodukowanej liczby produktów. Na przykład, gdy liczba ostrzyżonych głów wzrośnie z 40 do 60, to całkowite koszty wzrosną o 400 – 320, czyli 80 [zł]. Zatem koszt krańcowy każdej z tych dodatkowych 20 jednostek produkcji wyniesie 80 / 20, czyli 4 [zł] na strzyżenie. Krzywa kosztów krańcowych jest na ogół nachylona w górę, ponieważ malejące korzyści krańcowe oznaczają, że wytworzenie dodatkowych jednostek produkcji jest coraz bardziej kosztowne. Na wykresie widzimy również niewielki zakres produkcji, w którym krzywa kosztu krańcowego opada. Nas jednak najbardziej interesuje punkt, w którym wykresy krzywych kosztu krańcowego i kosztu przeciętnego przecinają się. O znaczeniu tego punktu (tych rozmiarów produkcji) piszemy w poniższej . Gdzie spotykają się koszty krańcowe i przeciętne? Krzywa kosztu krańcowego przecina krzywą kosztu przeciętnego w punkcie jej minimum, który występuje przy ilości 72 i koszcie 6,60 zł, tak jak to widać na . Przecięcie tych krzywych dokładnie w tym miejscu wynika z ekonomicznego znaczenia kosztów krańcowych i przeciętnych. Jeśli krańcowy koszt produkcji jest niższy od przeciętnego kosztu wyprodukowania poprzednich jednostek, tak jak w przypadku punktów na lewo od punktu przecięcia SMC z SATC, wówczas wyprodukowanie jeszcze jednej dodatkowej jednostki zmniejszy ogólne koszty, a krzywa SATC będzie w dalszym ciągu opadać. I odwrotnie, jeśli krańcowy koszt wyprodukowania dodatkowej jednostki jest wyższy od przeciętnego kosztu produkcji wcześniejszych jednostek, jak to ma miejsce w przypadku punktów na prawo od punktu przecięcia SMC z SATC, wtedy wyprodukowanie krańcowej jednostki zwiększy ogólne koszty, zaś krzywa SATC będzie nachylona w górę. Punkt przejścia między miejscem, w którym SMC ściąga SATC w dół, a miejscem, w którym ciągnie go w górę, musi nastąpić w minimalnym punkcie krzywej SATC. Koncepcja kosztu krańcowego „ciągnącego” przeciętny koszt w dół lub w górę może brzmieć abstrakcyjnie, ale pomyśl o własnych ocenach. Jeśli wynik z ostatniego (krańcowego) testu z ekonomii jest niższy niż średni wynik z poprzednich sprawdzianów, to ten krańcowy test obniża twoją średnią. Jeśli wynik z ostatniego testu jest wyższy niż średnia z poprzednich sprawdzianów, to krańcowy test podnosi twoją średnią. W ten sam sposób niskie koszty krańcowe produkcji najpierw obniżają koszty przeciętne, a następnie wyższe koszty krańcowe ciągną je w górę. Konkretne wartości liczbowe reprezentujące całkowity koszt przeciętny, przeciętny koszt zmienny i koszt krańcowy zmieniają się, co oczywiste, w przypadku różnych przedsiębiorstw. Jednak ogólne wzorce zmienności tych krzywych oraz stojące za nimi relacje i intuicja ekonomiczna nie ulegną zmianie niezależnie od tego, czy rozważamy funkcjonowanie zakładu fryzjerskiego, produkcję zboża, czy też wytwarzanie gadżetów. Lekcje płynące z alternatywnych metod mierzenia kosztów Podział kosztów całkowitych na koszty stałe, krańcowe i przeciętne jest przydatny, ponieważ każda z tych alternatywnych miar pozwala spojrzeć na sposób funkcjonowania przedsiębiorstwa w nieco inny sposób. Bez względu na wielkość produkcji utarg całkowity musi przekraczać koszty całkowite, jeśli przedsiębiorstwo ma osiągnąć zysk. Jednak, jak omówiliśmy to w , koszty stałe są często kosztami utopionymi (ang. sunk costs ), których przedsiębiorstwo nie może odzyskać. Powinny być zatem ignorowane podczas podejmowania decyzji o tym, co można zrobić, aby poprawić sytuację przedsiębiorstwa. Można natomiast zmienić wartość kosztów zmiennych, dzięki czemu przedsiębiorstwo ma szansę stać się dochodowe. Jest to przecież jedyna kategoria kosztów, które mogą się zmieniać w krótkim okresie, w związku z czym to one właśnie rosną lub maleją wraz ze wzrostem lub spadkiem wolumenu produkcji. Dlaczego koszty całkowite i koszt przeciętny nie są przedstawione na tym samym wykresie? Koszty całkowite, koszty stałe i koszty zmienne odzwierciedlają różne aspekty kształtowania się kosztów produkcji danego wolumenu. Mierzymy je w złotych (lub innych jednostkach pieniężnych). Natomiast koszt krańcowy, koszt przeciętny i przeciętny koszt zmienny są kosztami przeliczonymi na jednostkę produkcji. W poprzednim przykładzie mierzyliśmy je w złotych za ostrzyżoną głowę. Zatem umieszczanie wszystkich krzywych na tym samym wykresie nie miałoby sensu, ponieważ mierzymy je w różnych jednostkach (w złotych albo w złotych na jednostkę produkcji). To tak, jakby oś pionowa mierzyła dwie różne rzeczy. Ponadto, ze względów praktycznych, gdyby krzywe kosztu krańcowego, kosztu przeciętnego i przeciętnego kosztu zmiennego znajdowały się na tym samym wykresie co krzywe kosztów całkowitych, stałych i zmiennych, wówczas te trzy pierwsze linie byłyby prawie płaskie (nie wykazywałaby zmienności). Korzystając z danych z poprzedniego przykładu, całkowity koszt wyprodukowania 40 ostrzyżonych głów wynosi 320 zł. Jednak koszt przeciętny to 320 / 40, czyli 8 [zł]. Jeśli na tym samym wykresie umieścisz zarówno krzywą kosztów całkowitych, jak i krzywą kosztu przeciętnego, to zmienność kosztu przeciętnego będzie prawie niewidoczna. Koszt przeciętny informuje, czy przedsiębiorstwo może osiągać zyski przy danej cenie na rynku. Jeśli podzielimy zysk przez wielkość produkcji, otrzymamy zysk jednostkowy (ang. average profit ), nazywany również marżą zysku. Rozszerzone równanie zysku ma postać: zysk jednostkowy = zysk wielkość produkcji = przychód całkowity – koszt całkowity wielkość produkcji = przychód całkowity wielkość produkcji – koszt całkowity wielkość produkcji = przychód jednostkowy – koszt jednostkowy Jednak zauważ, że przychód jednostkowy = cena × wielkość produkcji wielkość produkcji = cena A zatem zysk jednostkowy = cena – koszt jednostkowy Tak właśnie definiujemy marżę zysku (ang. profit margin ) przedsiębiorstwa. Z tej definicji wynika, że jeśli cena rynkowa jest wyższa od kosztu przeciętnego, to zysk przeciętny, a tym samym zysk całkowity, będzie dodatni. Jeśli cena rynkowa jest niższa od kosztu przeciętnego, wówczas zyski będą ujemne. Możemy również porównać krańcowy koszt wytworzenia dodatkowej jednostki z krańcowym przychodem uzyskanym ze sprzedaży tej dodatkowej jednostki, aby pokazać, czy dodatkowa jednostka zwiększa całkowity zysk, czy nie. Tak więc koszt krańcowy pomaga producentom zrozumieć, w jaki sposób zwiększenie lub zmniejszenie produkcji wpłynie na ich zyski. Zróżnicowanie kosztów Struktura kosztów jest różna w różnych gałęziach gospodarki, a nawet w różnych przedsiębiorstwach działających w tej samej branży. Niektóre firmy mają wysokie koszty stałe, ale niskie koszty krańcowe. Rozważmy przykład operatora prywatnego odcinka autostrady (lub innego elementu infrastruktury: mostu, tunelu itd.). Koszty zbudowania odcinka autostrady, postawienia infrastruktury służącej do poboru opłat i ewentualnie wynagrodzenia personelu pracującego w punktach poboru opłat mają charakter stały. Nie zależą od tego, ile samochodów przejedzie płatnym odcinkiem drogi (co jest substytutem wielkości produkcji). Gdy autostrada zostanie oddana do użytku, może zapewnić wysokie przychody (z opłat wnoszonych przez kierowców) przy bardzo niskich kosztach zmiennych. W takim przypadku krzywa kosztów całkowitych może zaczynać się na wysokim poziomie ze względu na wysokie koszty stałe, ale potem może być dość płaska, aż do znacznych wielkości produkcji, co odzwierciedla niskie koszty zmienne eksploatacji. Jednak jeżeli ten odcinek stanie się popularny, duża liczba podróżnych będzie powodować korki, co będzie oczywiście wymagało rozbudowy zarówno punktów poboru opłat, jak i samej drogi. W przypadku innych przedsiębiorstw koszty stałe mogą być stosunkowo niskie. Weźmy jako przykład firmy, które zajmują się utrzymaniem czystości chodników i terenów zielonych. Jeśli chodzi o koszty stałe, to potrzebują one niewiele więcej niż samochód do transportu pracowników oraz kilka sztuk grabi i łopat. W jeszcze innych przedsiębiorstwach wartość produktu krańcowego może bardzo gwałtownie maleć. Jeśli zakład produkcyjny próbowałby działać 24 godziny na dobę przez siedem dni w tygodniu, to niewiele czasu pozostawałoby na rutynową konserwację sprzętu. Koszty krańcowe mogłyby drastycznie wzrosnąć, gdyby przedsiębiorstwo musiało naprawić lub wymienić zużyty sprzęt. Każde przedsiębiorstwo może stosunkowo łatwo zorientować się, jaki jest wpływ strony kosztowej na jego wynik finansowy, dzieląc swoje całkowite koszty na koszty stałe i zmienne, a następnie obliczając przeciętny koszt całkowity, przeciętny koszt zmienny i koszt krańcowy. Jednak podjęcie ostatecznej decyzji o wielkości produkcji maksymalizującej zysk i cenie rynkowej będzie wymagało połączenia informacji dotyczącej kosztów z analizą sprzedaży i przychodów. To z kolei wymaga przyjrzenia się strukturze rynku w branży, w której działa przedsiębiorstwo. Zanim w kolejnych rozdziałach przejdziemy do analizy struktur rynku, przeanalizujemy zmienność i rodzaje kosztów, jakie ponosi przedsiębiorstwo w perspektywie długoterminowej. Key Concepts and Summary Wykorzystanie każdego nakładu i czynnika produkcji (np. kapitału lub pracy) wiąże się z koniecznością poniesienia odpowiedniej płatności (np. odsetek lub dywidend za kapitał, jak również płacy za pracę). Koszt wyprodukowania określonego wolumenu produkcji jest pochodną ilości każdego z wykorzystanych czynników produkcji pomnożonej przez związaną z nim płatność. W perspektywie krótkookresowej możemy podzielić całkowite koszty przedsiębiorstwa na koszty stałe, które trzeba ponieść, zanim cokolwiek zostanie wyprodukowane, i które nie zmieniają się wraz ze wzrostem lub spadkiem wolumenu produkcji, oraz koszty zmienne, które ponoszone są w związku ze zmianami wielkości produkcji. Koszty stałe to koszty utopione: przedsiębiorstwo poniosło je w przeszłości i obecnie nie może ich uniknąć czy zmienić, a więc nie powinny odgrywać żadnej roli w decyzjach ekonomicznych dotyczących przyszłej produkcji lub cen. Koszty zmienne zwykle odzwierciedlają malejące przychody krańcowe, tak więc krańcowy koszt wytwarzania dodatkowych jednostek produkcji rośnie. Koszt krańcowy obliczamy, dzieląc zmianę kosztu całkowitego (lub zmianę kosztu zmiennego, co przecież oznacza to samo) przez zmianę wielkości produkcji dla określonego wolumenu. Koszt krańcowy zazwyczaj rośnie. Przedsiębiorstwo może porównać koszt krańcowy z dodatkowym przychodem, jaki uzyskuje ze sprzedaży kolejnej jednostki, aby dowiedzieć się, czy ta krańcowa jednostka produkcji zwiększa zysk. Przeciętny koszt całkowity obliczamy, dzieląc koszty całkowite przez wielkość produkcji dla każdego jej wolumenu. Krzywa przeciętnego kosztu całkowitego ma zazwyczaj kształt litery U. Jeśli przeciętny koszt całkowity jest niższy niż cena rynkowa, przedsiębiorstwo osiąga zyski. Przeciętny koszt zmienny obliczamy analogicznie, dzieląc koszty zmienne przez wielkość produkcji dla każdego jej wolumenu. Krzywa przeciętnego kosztu zmiennego ma zazwyczaj kształt litery U. Jeśli przeciętny koszt zmienny jest niższy niż cena rynkowa, to przedsiębiorstwo powinno kontynuować produkcję w krótkim okresie (ponieważ traktujemy koszty stałe jako utopione i niemożliwe do zmiany). Self-Check Questions Przedsiębiorstwo Jak Się Nie Przewrócisz produkuje narty dla początkujących. Koszty stałe wynoszą 30 zł. Wypełnij poniższą tabelę, obliczając koszty całkowite, przeciętny koszt zmienny, przeciętny koszt całkowity i koszt krańcowy. Liczba par nart Koszty zmienne Koszty stałe Koszty całkowite Przeciętny koszt zmienny Przeciętny koszt całkowity Koszt krańcowy 0 0 30 1 10 30 2 25 30 3 45 30 4 70 30 5 100 30 6 135 30 Liczba par nart Koszty zmienne Koszty stałe Koszty całkowite Przeciętny koszt zmienny Przeciętny koszt całkowity Koszt krańcowy 0 0 30 30 – – 1 10 30 40 10,00 40,00 10 2 25 30 55 12,50 27,50 15 3 45 30 75 15,00 25,00 20 4 70 30 100 17,50 25,00 25 5 100 30 130 20,00 26,00 30 6 135 30 165 22,50 27,50 35 Na podstawie odpowiedzi udzielonych na poprzednie pytanie wyobraź sobie sytuację, w której przedsiębiorstwo produkuje 5 par nart i sprzedaje każdą parę po 25 zł. Jakie będą zyski lub straty przedsiębiorstwa? Czy patrząc na koszt przeciętny, można – bez przeprowadzania obliczeń – stwierdzić, że przedsiębiorstwo zarabia lub traci pieniądze przy tej cenie? Czy przy danej wielkości produkcji i cenie szósta para nart zwiększa zyski (przyjmij, że cena pozostaje na tym samym poziomie)? Całkowity utarg w tym przykładzie będzie równy 125 i wynika z pomnożenia pięciu wyprodukowanych jednostek przez cenę jednostkową na poziomie 25 zł. Całkowity koszt produkcji pięciu sztuk wynosi 130 zł, tak więc dla tego poziomu produkcji przedsiębiorstwo notuje straty w wysokości 5 zł. Jeśli cena jest niższa niż koszt przeciętny, przedsiębiorstwo nie osiąga zysku. Przy danej produkcji koszt przeciętny to 26 zł. Tak więc na pierwszy rzut oka widać, że przedsiębiorstwo przynosi straty. Przy produkcji równej 5 jednostkom koszty krańcowe wynoszą 30 zł. Cena to 25 zł za parę nart. Tak więc szósta wyprodukowana para nart nie zwiększa, ale zmniejsza zyski, co sugeruje, że przedsiębiorstwo w żadnym wypadku nie powinno jej wytwarzać. Review Questions W jaki sposób obliczamy produkt krańcowy? Jaki kształt ma twoim zdaniem krzywa produkcji całkowitej i krzywa produkcji krańcowej? Jak nazywamy wynagrodzenie za czynniki produkcji, takie jak ziemia, praca i kapitał? Jak jest różnica między kosztami stałymi a kosztami zmiennymi? Critical Thinking Questions Popularną nazwą kosztu stałego jest „narzut”. Chodzi o to, że cena dobra lub usługi wyznaczona przez przedsiębiorstwo powinna nie tylko pokrywać koszty zmienne, ale też część kosztu stałego zdefiniowaną przez przeciętny koszt stały. Załóżmy, że przewidywany koszt stały to 1000 zł. Jak wygląda krzywa przeciętnych kosztów stałych? Wykorzystaj swoją odpowiedź, aby wyjaśnić, w jaki sposób koszt stały wpływa na cenę przy różnym wolumenie produkcji (co nazywane jest „rozkładaniem narzutu”). W jaki sposób koszty stałe wpływają na koszty krańcowe? Dlaczego ta zależność jest ważna? Krzywe kosztów przeciętnych (z wyjątkiem krzywej przeciętnego kosztu stałego) mają zwykle kształt litery U i najpierw maleją, a następnie rosną. Krzywe kosztu krańcowego mają ten sam kształt, choć może to być trudniejsze do zauważenia, ponieważ większa część krzywej kosztu krańcowego rośnie. Jak myślisz, dlaczego krzywe kosztu przeciętnego i krańcowego mają ogólnie rzecz biorąc ten sam kształt? Problems Wróć do . Jaki będzie zysk krańcowy wynikający ze zwiększenia liczby zatrudnianych fryzjerów z 4 do 5 i z 5 do 6? Czy twoja odpowiedź pasuje do schematu malejących przychodów krańcowych? Oblicz przeciętny koszt całkowity, przeciętny koszt zmienny i koszt krańcowy „wyprodukowania\" 60 i 72 ostrzyżonych głów. Na wykresie narysuj te trzy krzywe dla rozmiarów produkcji określonych przez przedział od 60 do 72 ostrzyżonych głów.", "section": "Koszty w krótkim okresie", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Produkcja w długim okresie Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć różnice między funkcją produkcji w krótkim a funkcją produkcji w długim okresie W długim okresie wszystkie czynniki produkcji (łącznie z kapitałem) są zmienne, a więc nasza funkcja produkcji ma postać: Q = f [ L , K ] Rozważmy sytuację przedsiębiorstwa, które zajmuje się przygotowywaniem korespondencji handlowej w różnych językach na zlecenie. Firma zatrudnia maszynistki, które będziemy traktować jako czynnik produkcji – praca. Wykorzystują one komputery, które są kapitałem przedsiębiorstwa. Na początku firma ma niewiele zleceń, tak że tylko jedna maszynistka i jeden komputer są zajęci przez cały dzień. Powiedzmy, że w ciągu jednego dnia firma jest w stanie przygotować pięć dokumentów. Załóżmy teraz, że następnego dnia przedsiębiorstwo otrzyma od dobrego klienta pilne zlecenie na przygotowanie 10 dokumentów. W świecie idealnym firma po prostu zatrudni dwie maszynistki i kupi dwa komputery, by wykonać zadanie w ciągu jednego dnia. To pozwoli wyprodukować dwa razy więcej dokumentów niż normalnie. Tyle że w krótkim okresie przedsiębiorstwo ma określony kapitał trwały, czyli tylko jeden komputer. Poniższa tabela przedstawia tę sytuację: Krótkookresowa funkcja produkcji przedsiębiorstwa przygotowującego dokumenty handlowe na zlecenie Maszynistki (L) 1 2 3 4 5 6 Produkt całkowity/dzień (TP) 5 7 8 8 8 8 Kapitał = 1 komputer Produkt krańcowy (MP) 5 2 1 0 0 0 W krótkim okresie jedynym zmiennym czynnikiem jest praca, więc jedynym sposobem zwiększenia produkcji jest zatrudnienie dodatkowych pracowników. Co może robić druga maszynistka? Co może wnieść do tego specyficznego procesu produkcyjnego? Być może będzie odbierała telefony, co często przeszkadza w maszynopisaniu. A co z trzecim pracownikiem? Może mógłby przynieść kawę dwóm pierwszym. Jeśli liczba maszynistek wzrasta, mogą się one częściej zmieniać przy komputerze, dzięki czemu będą pracować szybciej, bo ich wzrok nie będzie się męczył. W tabeli została wskazana produkcja całkowita analizowanej firmy, ale stosunkowo łatwo możesz obliczyć również produkcję krańcową dla tego przedsiębiorstwa. Zastanów się zatem, w którym momencie (np. po zatrudnieniu której maszynistki) zaczyna się zmniejszać produktywność krańcowa i, co ważniejsze, dlaczego. W tym przykładzie produktywność krańcowa zaczyna spadać wraz z zatrudnieniem drugiego pracownika. Oczywiście dlatego, że przedsiębiorstwo dysponuje stałym nakładem kapitału. Proces produkcyjny polegający na przygotowywaniu korespondencji handlowej na zlecenie działa najlepiej, kiedy każda maszynistka dysponuje swoim komputerem. Zwiększanie liczby pracowników bez powiększania liczby komputerów gwałtownie zmniejszy produktywność krańcową. Rozważmy teraz sytuację przedsiębiorstwa w długim okresie. Załóżmy, że zapotrzebowanie na usługi przedsiębiorstwa wzrasta w sposób trwały do 15 dokumentów dziennie. Co można zrobić, aby przedsiębiorstwo działało bardziej wydajnie? Jeśli popyt się potroi, to przedsiębiorstwo może nabyć dwa dodatkowe komputery, co dałoby nam nową funkcję produkcji w krótkim okresie. Została ona przedstawiona w czwartym i piątym wierszu . Długookresowa funkcja produkcji przedsiębiorstwa przygotowującego dokumenty handlowe na zlecenie Maszynistki (L) 1 2 3 4 5 5 Produkt całkowity/dzień (TP) 5 6 8 8 8 8 Kapitał = 1 komputer Produkt krańcowy (MP) 5 2 1 0 0 0 Produkt całkowity/dzień (TP) 5 10 15 17 18 18 Kapitał = 3 komputery Produkt krańcowy (MP) 5 5 5 2 1 0 Mając do dyspozycji większy zasób kapitału, przedsiębiorstwo może zatrudnić trzech pracowników i każdy z nich będzie generował taki sam produkt krańcowy (5 dokumentów dziennie). Mówiąc bardziej ogólnie – ponieważ wszystkie czynniki produkcji mają zmienny charakter, to długookresowa funkcja produkcji pokazuje efektywny sposób wytwarzania jej dowolnego wolumenu. Key Concepts and Summary W długim okresie nakłady wszystkich czynników produkcji są zmienne. Ponieważ malejąca produktywność krańcowa jest spowodowana stałym nakładem kapitału trwałego, w długim okresie zjawisko to nie występuje. Przedsiębiorstwa mogą wybrać optymalny zasób kapitału, aby wytworzyć pożądany wolumen produkcji. Self-Check Questions Jeśli dwóch malarzy jest w stanie pomalować 18 m 2 ściany w ciągu godziny, a trzech malarzy 25 m 2 , to jaki jest produkt krańcowy trzeciego malarza? Produkt krańcowy trzeciego malarza to 7 m 2 . produkt krańcowy = zmiana produkcji całkowitej/zmiana wielkości zatrudnienia zmiennego czynnika produkcji zmiana produktu całkowitego = 25 − 18 [ m 2 ] zmiana produktu całkowitego = 7 m 2 produkt krańcowy = 7 m 2 na 1 pracownika produkt krańcowy = 7 m 2 Review Questions W jaki sposób obliczamy następujące rodzaje kosztów: koszt krańcowy, przeciętny koszt całkowity i przeciętny koszt zmienny? Jaki kształt będą miały: krzywa kosztów stałych, krzywa kosztów zmiennych, krzywa kosztu krańcowego, krzywa przeciętnego kosztu całkowitego i krzywa przeciętnego kosztu zmiennego?", "section": "Produkcja w długim okresie", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Koszty w długim okresie Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczać koszty całkowite w długim okresie Identyfikować rosnące, malejące i stałe przychody ze skali produkcji Interpretować wykresy krzywych długo- i krótkookresowego kosztu przeciętnego Analizować wielkość produkcji i poziom kosztów w długim i w krótkim okresie Długi okres to horyzont analizy sposobu funkcjonowania przedsiębiorstwa, w którym firma może dostosować nakłady wszystkich czynników produkcji do swoich potrzeb, co automatycznie oznacza, że wszystkie koszty mają zmienny charakter. To, kiedy następuje przejście od krótkiego do długiego okresu (czy mówimy o perspektywie tygodni, miesięcy, czy lat), zależy od specyfiki danego przedsiębiorstwa i branży, w której ono działa – nie ma tu żadnych ścisłych reguł. Jeśli wynajmujesz samochody ciężarowe w swojej firmie transportowej i obowiązuje cię roczna umowa leasingowa, to długi okres należy rozumieć jako „więcej niż rok”, ponieważ po 12 miesiącach nie wiąże cię już bieżąca umową leasingu. Możesz ją w związku z tym renegocjować, zmniejszając lub zwiększając liczbę wynajmowanych samochodów za inną niż dotychczas stawkę najmu. W długim okresie żaden koszt nie ma stałego charakteru, każdy może się zmienić wraz ze zmianą wolumenu produkcji. Przedsiębiorstwo może budować nowe zakłady produkcyjne i kupować nowe maszyny lub zamykać istniejące obiekty i pozbywać się niepotrzebnych składników kapitału. Oznacza to, że w długim okresie przedsiębiorstwo może całkowicie swobodnie wybrać proces produkcji lub inaczej technologię produkcji (ang. production technology ). W tym kontekście pojęcie technologii (używane jest również pojęcie metoda produkcji ) odnosi się do wszystkich alternatywnych sposobów łączenia nakładów w celu uzyskania konkretnej ilości dóbr i usług. Desygnat tego pojęcia jest zatem inny niż w potocznym rozumieniu. Ekonomiści mówią o technologii, nie odnosząc się ani do konkretnego wynalazku (np. tablet), ani do opisanego przez inżynierów sposobu syntezy substancji chemicznych (np. nawozów sztucznych). W języku ekonomistów technologia to konkretny sposób łączenia pracy i kapitału, który umożliwia wytworzenie określonego wolumenu produkcji. Jeśli przedsiębiorstwo zajmuje się przygotowywaniem wykopów pod okablowanie, może wybrać technologię produkcji wykorzystującą głównie pracę (wówczas kopać będą ludzie za pomocą łopat) lub głównie kapitał (wówczas pracę wykona koparka i jej operator). Przedsiębiorstwo będzie poszukiwać i wybierać takie technologie produkcji, które pozwolą na uzyskanie pożądanego poziomu produkcji przy najniższych kosztach. W końcu niższe koszty prowadzą do wyższych zysków, przynajmniej jeśli łączne przychody pozostają niezmienione. Co więcej, przedsiębiorstwo musi mieć na uwadze, że jeśli nie wybierze najtańszej dostępnej technologii, to może zostać wypchnięte z rynku przez konkurentów, którzy będą produkować i sprzedawać takie same lub podobne produkty taniej. Wybór technologii produkcji Przedsiębiorstwo może realizować wiele elementów procesu produkcyjnego (zadań), wykorzystując różne kombinacje siły roboczej i kapitału fizycznego. Na przykład może zatrudniać pracowników, aby odbierali telefony i wiadomości od klientów, lub też zainwestować w zautomatyzowane systemy poczty głosowej i infolinię. Firma może zatrudnić urzędników do prowadzenia dokumentacji i sekretarki do zarządzania teczkami i szafkami na dokumenty lub zainstalować skomputeryzowany system ewidencji, który będzie wymagał mniejszej liczby pracowników, ale większej liczby komputerów i specjalistycznego oprogramowania. Przedsiębiorstwo może zatrudnić pracowników i kupić im wózki widłowe do transportowania surowców i gotowych wyrobów na terenie swojej fabryki lub postawić na roboty i zautomatyzowane pojazdy. Podmioty gospodarcze często zostają postawione przed wyborem między zakupem wielu małych maszyn, które wymagają grupy pracowników do obsługi każdej z nich, a zakupem jednego większego i droższego urządzenia, które wymaga zaangażowania tylko jednego lub dwóch pracowników. Krótko mówiąc, kapitał fizyczny i praca często mogą się wzajemnie zastępować (ekonomiści mówią wówczas o substytucyjnej relacji pracy i kapitału). Przeanalizujmy przykład władz lokalnych zatrudniających prywatną firmę do sprzątania parków publicznych. W przedstawiono trzy różne kombinacje nakładów siły roboczej i kapitału fizycznego potrzebne do uporządkowania jednego średniej wielkości parku. Pierwsza technologia produkcji ma charakter pracochłonny, oznacza konieczność zatrudnienia wielu pracowników i zaangażowania niewielu urządzeń. Dwie kolejne w znacznie większym stopniu wykorzystują kapitał i maszyny, mają więc bardziej kapitałochłonny charakter. Ponieważ wszystkie trzy metody produkcji pozwalają na osiągnięcie tego samego efektu, czyli uporządkowania parku miejskiego, przedsiębiorstwo nastawione na zysk wybierze technologię, która jest najmniej kosztowna, biorąc pod uwagę wynagrodzenia pracowników i stawki najmu maszyn. Trzy sposoby porządkowania parku Technologia produkcji 1 10 pracowników 2 maszyny Technologia produkcji 2 7 pracowników 4 maszyny Technologia produkcji 3 3 pracowników 7 maszyn Technologia produkcji 1 wykorzystuje najwięcej pracy i najmniej kapitału (maszyn), natomiast trzecia technologia produkcji polega w najmniejszym stopniu na pracy i w największym na kapitale. przedstawia kształtowanie się łącznych kosztów produkcji dla każdej z technologii, przy różnym poziomie wynagrodzenia pracowników. Ponieważ koszt robocizny wzrasta, przedsiębiorstwo ma silne bodźce do zastępowania pracy kapitałem. Kształtowanie się kosztów całkowitych przedsiębiorstwa wraz z rosnącymi kosztami pracy (wszystkie kwoty w zł) A: Koszt jednego pracownika 40, koszt jednej maszyny 80 Koszt pracy Koszt maszyn Koszt całkowity Łączny koszt technologii 1 10 × 40 = 400 2 × 80 = 160 560 Łączny koszt technologii 2 7 × 40 = 280 4 × 80 = 320 600 Łączny koszt technologii 3 3 × 40 = 120 7 × 80 = 560 680 B: Koszt jednego pracownika 55, koszt jednej maszyny 80 Koszt pracy Koszt maszyn Koszt całkowity Łączny koszt technologii 1 10 × 55 = 550 2 × 80 = 160 710 Łączny koszt technologii 2 7 × 55 = 385 4 × 80 = 320 705 Łączny koszt technologii 3 3 × 55 = 165 7 × 80 = 560 725 C: Koszt jednego pracownika 90, koszt jednej maszyny 80 Koszt pracy Koszt maszyn Koszt całkowity Łączny koszt technologii 1 10 × 90 = 900 2 × 80 = 160 1060 Łączny koszt technologii 2 7 × 90 = 630 4 × 80 = 320 950 Łączny koszt technologii 3 3 × 90 = 270 7 × 80 = 560 830 Przykład A ilustruje kształtowanie się kosztów całkowitych przedsiębiorstwa dla wynagrodzenia na poziomie 40 zł i stawki najmu maszyny równej 80 zł. W takiej sytuacji najtańsza jest technologia pierwsza, która w największym stopniu wykorzystuje względnie tanią siłę roboczą. W przykładzie B płace rosną do 55 zł, podczas gdy koszt najmu maszyn się nie zmienia. W takiej sytuacji najtańsza jest technologia druga. Jeśli płace wzrosną do poziomu 90 zł, a koszt maszyn pozostaje niezmieniony, wówczas najtańsza będzie trzecie technologia, która wykorzystuje tylko trzech, bardzo już kosztownych, pracowników. Ten przykład pokazuje, że gdy nakłady jednego z wykorzystywanych czynników produkcji stają się coraz droższe (w tym przypadku nakłady pracy), przedsiębiorstwa będą próbowały ograniczyć jego zatrudnienie i przestawią działalność na metody, które opierają się na relatywnie tańszych czynnikach produkcji (w naszym przypadku na kapitał). Schemat ten ma charakter uniwersalny i tłumaczy, dlaczego krzywa popytu na pracę (i każdy inny rodzaj nakładów i czynników produkcji) ma nachylenie ujemne. Im wyższe są bowiem koszty pracy, tym częściej przedsiębiorstwa nastawione na zysk będą starały się zastąpić ją kapitałem. Gdy międzynarodowy koncern, taki jak Coca-Cola lub McDonald's, otwiera rozlewnię lub sieć restauracji w kraju o wysokich kosztach pracy, takim jak Stany Zjednoczone, Kanada, Japonia, Francja lub Niemcy, prawdopodobnie użyje kapitałochłonnych technologii. Jednak ten sam pracodawca wykorzysta najpewniej technologie pracochłonne, gdy będzie wytwarzać swoje produkty lub oferować usługi w kraju o niższych kosztach produkcji, takim jak Meksyk, Chiny czy RPA. Jeśli dany proces produkcyjny umożliwia tylko bardzo ograniczoną substytucję pracy kapitałem (tak jak to się dzieje w przypadku przemysłu lekkiego – produkcji odzieży), fabryki będą lokowane głównie w krajach o taniej i bardzo taniej sile roboczej (w Indiach, Pakistanie, Bangladeszu, Wietnamie itd.). Schemat ten tłumaczy również, dlaczego w Polsce powstaje tak wiele przedsiębiorstw oferujących korporacjom międzynarodowym tzw. usługi biznesowe (księgowość, logistyka, informatyka etc.). W naszym kraju wykwalifikowana siła robocza jest wciąż znacznie tańsza niż w krajach tzw. starej UE, Stanach Zjednoczonych czy Wielkiej Brytanii. Korzyści skali (przychody ze skali produkcji) i korzyści zakresu (korzyści z produkcji łączonej) Gdy przedsiębiorstwo określi najmniej kosztowną technologię produkcji, może rozważyć kwestię optymalnej skali produkcji lub podjąć decyzję, jaki wolumen produkcji będzie wytwarzać. W wielu gałęziach pojawia się zjawisko określane przez ekonomistów jako korzyści skali lub rosnące przychody ze skali produkcji. Korzyści skali (ang. economies of scale ) odnoszą się do sytuacji, w której wraz ze wzrostem wolumenu produkcji przeciętny koszt wytwarzania maleje. To właśnie dzięki temu zjawisku super- i hipermarkety (takie jak działające w Polsce Auchan, Kaufland czy Leclerc), kupując większe partie towaru, są w stanie obniżać cenę płaconą producentom żywności i część tych korzyści – w postaci niższych cen detalicznych – oferować klientom. Małe sklepy z żywnością nie mają takiej siły przetargowej, dlatego zakupy spożywcze są w nich droższe. Podobnie, największe fabryki i zakłady produkcyjne mogą zazwyczaj obniżać koszty produkcji w stosunku do małych i średnich podmiotów. przedstawia koncepcję korzyści skali, wskazując na to, jak szybko – wraz ze wzrostem rozmiarów produkcji – maleje przeciętny koszt wytworzenia budzika. W przypadku małej fabryki, która tygodniowo produkuje tylko 1 tys. budzików, koszt wytworzenia jednego budzika kształtuje się na poziomie 12 zł (punkt S na wykresie). Dla średniej wielkości fabryki, której tygodniowy wolumen produkcji wynosi 2 tys. budzików, średni koszt wyprodukowania jednego to już tylko 8 zł (punkt M na wykresie). W przypadku dużej fabryki, która produkuje aż 5 tys. budzików tygodniowo, przeciętny koszt wytworzenia jednej sztuki to jedynie 4 zł (punkt L). Korzyści skali (rosnące przychody ze skali produkcji) Mała fabryka produkuje 1 tys. budzików tygodniowo przy przeciętnym koszcie 12 zł za sztukę (S). Średnia fabryka produkuje 2 tys. budzików tygodniowo przy koszcie przeciętnym równym 8 zł (punkt M). Duża fabryka produkuje 5 tys. budzików tygodniowo przy koszcie przeciętnym równym 4 zł (punkt L). Korzyści skali pojawiają się, gdy wzrost wolumenu produkcji prowadzi do obniżki kosztu przeciętnego. Kształt krzywej kosztu przeciętnego na może wydawać się podobny do kształtu krzywych, które zaprezentowaliśmy w tym rozdziale wcześniej. Zwróć jednak uwagę, że jest ona raczej nachylona w dół, niż przybiera kształt litery U. Należy też podkreślić, iż korzyści skali pojawiają się w długim okresie, gdy istnieje możliwość w pełni swobodnego dostosowania nakładu każdego z wykorzystywanych czynników produkcji. Linia na wykresie jest zatem krzywą długookresowego kosztu przeciętnego (LAC), a wcześniej wykreślaliśmy głównie krzywe krótkookresowego kosztu przeciętnego (SATC), w które wbudowane było założenie istnienia niezależnych od rozmiarów produkcji kosztów stałych. Możemy przedstawić jeszcze jeden ewidentny przykład korzyści skali, który związany jest z przemysłem chemicznym. W fabrykach produkujących chemikalia ze względu na charakter procesów produkcyjnych wykorzystuje się bardzo wiele rur. Koszt materiałów do produkcji rury jest związany z jej obwodem i długością. Powierzchnia przekroju rury determinuje z kolei objętość chemikaliów, które mogą przez nią przepływać w jednostce czasu (w ciągu sekundy lub godziny). Obliczenia w pokazują, że rura, do wyprodukowania której wykorzystuje się dwa razy więcej materiałów (czyli rura o dwukrotnie większym obwodzie) pozwala na tłoczenie w jednostce czasu czterokrotnie większej objętości substancji chemicznych. Dzieje się tak dlatego, że pole powierzchni koła (czyli przekrój rury) wzrasta wraz z kwadratem jego promienia. Porównanie obwodów i średnic rur: korzyści skali w przemyśle chemicznym Obwód (2πr) Przekrój (πr 2 ) 4-centymetrowa rura 12,5 cm 12,6 cm 2 8-centymetrowa rura 25,1 cm 50,2 cm 2 16-centymetrowa rura 50,2 cm 201 cm 2 Podwojenie kosztów produkcji rury związane z podwojeniem ilości materiałów (np. stali) niezbędnych do jej wytworzenia pozwala firmie chemicznej przetworzyć czterokrotnie więcej produktu. Oczywiście, źródła korzyści skali w zakładzie chemicznym są bardziej złożone, niż sugeruje to proste obliczenie. Inżynierowie projektujący zakłady chemiczne od dawna stosują „zasadę sześciu dziesiątych” – praktyczną regułę, która mówi, że zwiększenie wielkości produkcji w zakładzie chemicznym o np. 1% zwiększy koszty całkowite tylko o 0,6%. Innym przykładem wykorzystania rosnącej skali i zdywersyfikowanej struktury produkcji w celu obniżenia kosztów są korzyści zakresu, inaczej nazywane korzyściami produkcji łączonej. Korzyści zakresu (ang. economies of scope ) odnoszą się do sytuacji, w której łączny koszt produkcji dwóch różnych produktów jest niższy od sumy kosztów ich wytworzenia oddzielnie. Załóżmy np., że wyprodukowanie dwóch dóbr oddzielnie kosztuje odpowiednio 11 i 7 mln zł. Łączna produkcja obu dóbr w takich samych ilościach kosztuje zaś 15 mln zł. Istnieje wiele źródeł korzyści zakresu. Czasem w pojedynczym procesie produkcyjnym można otrzymać kilka różnych wyrobów. Hodowcy bydła i trzody chlewnej sprzedają zarówno mięso, jak i skóry. W istocie hodowla bydła tylko dla skór bądź tylko dla mięsa prawdopodobnie nie byłaby opłacalna. W innych przypadkach przy wytwarzaniu podstawowego wyrobu powstają nieuniknione produkty uboczne, które również można sprzedać (trociny przy produkcji desek). Jeszcze innym źródłem korzyści z produkcji łączonej jest niepełne wykorzystanie czynników wytwórczych. Jeśli firma dystrybuująca materiały budowlane ma wolne miejsce w swoim magazynie, może je odnająć i osiągać z tego tytułu dodatkowy przychód. Korzyści zakresu mogą również wynikać z posiadanego uniwersalnego know-how , które da się zastosować do wytwarzania różnych produktów (producenci soków łatwo mogą rozszerzyć strukturę produkcji na napoje gazowane). Kształt krzywych kosztu przeciętnego w długim okresie Podczas gdy w krótkim okresie przedsiębiorstwa mają ograniczoną swobodę w kształtowaniu nakładu wszystkich czynników produkcji, co oznacza, że znajdują się na konkretnej krzywej krótkookresowego kosztu przeciętnego (odpowiadającej wybranemu poziomowi kosztów stałych), to w długim okresie, gdy wszystkie koszty są zmienne, mogą napotykać bardzo różne krzywe długookresowych kosztów przeciętnych. W konsekwencji krzywa długookresowego kosztu przeciętnego (LAC) (ang. long-run average cost curve ) w rzeczywistości bazuje na wielu krzywych krótkookresowego przeciętnego kosztu całkowitego (SATC) (ang. short-run average total cost curve ), z których każda reprezentuje jeden określony poziom kosztów stałych. Mówiąc precyzyjniej: długookresowa krzywa kosztu przeciętnego będzie sumą krzywych krótkookresowego kosztu przeciętnego dla każdego poziomu produkcji, które pozwalają na zminimalizowanie kosztów produkcji. Poniższy wykres ( ) pokazuje, w jaki sposób konstruujemy długookresową krzywą kosztu przeciętnego w oparciu o krzywe krótkookresowego kosztu przeciętnego. Na wykresie pojawia się pięć krótkookresowych krzywych całkowitego kosztu przeciętnego. Każda krzywa SATC reprezentuje inny poziom kosztów stałych. Na przykład można sobie wyobrazić SATC 1 jako krzywą kosztu dla przedsiębiorstwa posiadającego tylko jedną małą fabrykę, SATC 2 jako koszty przeciętne dla tej samej firmy wykorzystującej dwa zakłady produkcyjne, SATC 3 jako koszty dla trzech fabryk, zaś SATC 4 i SATC 5 jako krzywe całkowitych kosztów przeciętnych dla tegoż przedsiębiorstwa posiadającego odpowiednio 4 i 5 zakładów produkcyjnych. Chociaż diagram pokazuje tylko pięć krzywych SATC, przypuszczalnie istnieje nieskończona liczba innych krzywych krótkookresowego przeciętnego kosztu całkowitego, które można narysować między wykreślonymi przez nas krzywymi. Pomyśl o tej grupie krótkookresowych krzywych kosztu przeciętnego jako o reprezentantach różnych możliwości wyboru z punktu widzenia przedsiębiorstwa, które planuje swój poziom inwestycji w kapitał fizyczny. Dzisiejsze decyzje dotyczące inwestycji kapitałowych spowodują ostatecznie powstanie różnych krótkookresowych krzywych całkowitego kosztu przeciętnego w przyszłości. Od krzywych krótkookresowego całkowitego kosztu przeciętnego do długookresowej krzywej kosztu przeciętnego Każda z pięciu różnych krzywych krótkookresowego kosztu przeciętnego (SATC) reprezentuje inny poziom kosztów stałych, od niskiego w SATC 1 do bardzo wysokiego poziomu kosztów stałych w SATC 5 . Inne krzywe SATC, których nie ma na wykresie, leżą między tymi, które są tutaj narysowane. Krzywa długookresowego kosztu przeciętnego (LAC) pokazuje najniższy koszt wytworzenia każdej wielkości produkcji, przy różnych poziomach kosztów stałych. LAC jest więc utworzona przez dolne krawędzie grupy krzywych SATC. Jeśli przedsiębiorstwo chciałoby wyprodukować ilość Q 3 , wybrałoby koszty stałe związane z krzywą SATC 3 . Długookresowa krzywa kosztu przeciętnego pokazuje koszt wytworzenia dowolnego wolumenu produkcji w długim okresie, gdy przedsiębiorstwo może wybrać pożądany nakład wszystkich czynników produkcji (a tym samym zdeterminować poziom przeciętnego kosztu całkowitego w krótkim okresie). Jeśli przedsiębiorstwo planuje wytwarzać w długim okresie produkcję równą Q 3 , powinno dokonać inwestycji, które pozwolą mu znaleźć się na SATC 3 , co umożliwi produkcję wolumenu Q 3 po najniższych kosztach. Trzymając się przykładu zilustrowanego wykresem, optymalną wielkością przedsiębiorstwa byłyby wówczas trzy fabryki. Przedsiębiorstwo, które zamierza produkować Q 3 , popełniłoby błąd, gdyby wybrało poziom kosztów stałych równy SATC 2 (dwa zakłady produkcyjne) lub SATC 4 (cztery fabryki). Dla SATC 2 nakład kapitału przekładający się na koszty stałe jest zbyt niski, aby wyprodukować Q 3 po najniższych możliwych kosztach. Produkcja Q 3 wymagałaby bardzo wysokich kosztów zmiennych (zatrudniania pracowników na trzy zmiany i w czasie weekendów) i spowodowała, że koszt przeciętny byłby bardzo wysoki. W SATC 4 nakład kapitału i tym samym poziom kosztów stałych jest zbyt wysoki, aby wyprodukować Q 3 po najniższych możliwych kosztach, w wyniku czego przeciętne koszty byłyby bardzo wysokie. Dla produkcji równej Q 3 po prostu nie trzeba budować czwartej fabryki, nie byłaby ona bowiem wykorzystana i zwiększyłaby jedynie koszty przedsiębiorstwa. Kształt długookresowej krzywej kosztu przeciętnego na jest dość typowy dla większości gałęzi. Lewa część długookresowej krzywej kosztu przeciętnego, która jest nachylona w dół od poziomu produkcji Q 1 do Q 2 i dalej do Q 3 , ilustruje rosnące przychody ze skali produkcji (korzyści skali). W tej części długookresowej krzywej kosztów przeciętnych większe rozmiary produkcji prowadzą do niższych kosztów przeciętnych. Pokazaliśmy to wcześniej na . W środkowej części długookresowej krzywej kosztów przeciętnych, tzn. w jej płaskiej części w okolicach Q 3 , wyczerpały się korzyści skali. W tej sytuacji dalsze zwiększanie nakładów nie zmienia w zasadzie przeciętnego kosztu produkcji. Nazywamy to stałymi przychodami ze skali produkcji (ang. constant returns to scale ). Na tym obszarze krzywej LAC przeciętny koszt produkcji nie zmienia się znacząco, gdy skala produkcji rośnie lub spada. Poniższa wyjaśnia, w jaki sposób malejące przychody krańcowe determinują kształt krzywej długookresowego kosztu przeciętnego. Jak połączyć korzyści ze skali z malejącymi przychodami krańcowymi Koncepcja korzyści skali, w której koszty przeciętne spadają wraz ze wzrostem produkcji, może wydawać się sprzeczna z ideą malejących przychodów krańcowych, zakładającą wzrost kosztu krańcowego wraz ze wzrostem produkcji. Jednak malejące przychody krańcowe odnoszą się tylko do krótkookresowej krzywej całkowitego kosztu przeciętnego, w której nakład zmiennego czynnika produkcji (np. pracy) rośnie, ale inne nakłady (takie jak kapitał) są stałe. Rosnące przychody ze skali produkcji odnoszą się zaś do długoterminowej krzywej kosztu przeciętnego, w której nakłady WSZYSTKICH czynników produkcji mogą się zmieniać. Tak więc jest możliwe (a nawet zdarza się dość często), że w danej branży pojawiają się zarówno malejące przychody krańcowe w krótkim okresie, jak i korzyści skali, gdy możliwe jest dostosowanie nakładu wszystkich czynników produkcji do potrzeb produkcyjnych przedsiębiorstwa. Zwróć uwagę na to, że prawa część długookresowej krzywej kosztu przeciętnego, biegnąca od poziomu produkcji Q 4 do Q 5 , wskazuje na sytuację, w której wraz ze wzrostem poziomu produkcji rosną również koszty przeciętne. Sytuacja taka określana jest przez ekonomistów jako niekorzyści skali lub malejące przychody ze skali produkcji (ang. diseconomies of scale ). Przedsiębiorstwo lub fabryka może tak się rozrosnąć, że zarządzanie podmiotem gargantuicznych rozmiarów okazuje się bardzo trudne, co skutkuje niepotrzebnie wysokimi kosztami. I choć kierownictwo wkłada wówczas wiele wysiłku w komunikację z pracownikami oraz między sobą, nie zawsze jest ona skuteczna; brak efektywnej komunikacji prowadzi do zakłóceń we właściwym przepływie materiałów i czynników produkcji. Taką sytuację ekonomiści określają jako menedżerskie niekorzyści skali. W realnym świecie istnieje niewiele przesadnie dużych fabryk, ponieważ przy bardzo wysokich kosztach produkcji nie są one w stanie długo konkurować z mniejszymi, bardziej elastycznymi i tym samym tańszymi zakładami produkcyjnymi. W niektórych gospodarkach planowych, takich jak gospodarka Związku Radzieckiego, np. elektrownie były tak duże, że wykazywały rażącą nieefektywność, ale mogły nadal działać, ponieważ nie miały konkurencji. Niekorzyści skali mogą również występować w całym przedsiębiorstwie, a nie tylko w pojedynczej fabryce. „Efekt Lewiatana” może uderzyć w przedsiębiorstwa, które stają się zbyt duże, aby działać efektywnie. Firmy, które będą potrafiły wyciągnąć wnioski z takiej sytuacji, ograniczą skalę działalności i zmniejszą koszty przeciętne, obniżając wolumen swojej produkcji. Jakie czynniki determinują liczbę i rozmiary przedsiębiorstw działających w danej gałęzi Kształt długookresowej krzywej kosztu przeciętnego ma wpływ na to, ile przedsiębiorstw będzie konkurować w branży i czy będą to podmioty gospodarcze tej samej wielkości czy różnych rozmiarów. Załóżmy, że gałąź zajmująca się produkcją artykułów AGD sprzedaje rocznie milion zmywarek w cenie nieznacznie przekraczającej 1,5 tys. zł za sztukę. Długookresowa krzywa kosztu przeciętnego z wyraźnie zaznaczonym minimum jest przedstawiona na panelu (a) . Punkt minimum krzywej LAC występuje przy wolumenie produkcji równym 10 tys. sztuk. Rynek zmywarek będzie się zatem składał ze 100 przedsiębiorstw tej samej wielkości. Gdyby któreś przedsiębiorstwo chciało dostarczać na rynek tylko 5 tys. zmywarek rocznie lub dla odmiany postanowiło zwiększyć podaż do 20 tys. zmywarek rocznie, koszty przeciętne produkcji w takich zakładach znacznie przekroczyłyby 1,5 tys. zł i te przedsiębiorstwa nie byłyby w stanie zaoferować konkurencyjnych cen rynkowych (czyli takich, które tylko nieznacznie przekraczają 1,5 tys. zł). Krzywa LAC a wielkość i liczba przedsiębiorstw Panel (a): Jeśli krzywa LAC ma wyraźnie zaznaczone minimum, przedsiębiorstwa będą dążyć do tego, aby ich produkcja była równa bądź jak najbliższa wolumenowi wyznaczającemu minimum długookresowego kosztu przeciętnego (10 tys. sztuk rocznie oznaczone jako punkt R). Dla każdego innego poziomu produkcji, np. 5 tys. lub 20 tys. sztuk rocznie, koszty przeciętne będą wyższe i tym samym cena rynkowa również będzie musiała wzrosnąć. Panel (b): Przedsiębiorstwa, które zaproponują produkcję między 5 tys. (punkt R) i 20 tys. sztuk rocznie (punkt S), będą miały identyczny koszt przeciętny w długim okresie (wskazuje na to płaski odcinek krzywej LAC), będą zatem mogły oferować swoje zmywarki po tej samej cenie. Wielkość produkcji przedsiębiorstw działających na rynku będzie się zatem kształtować między 5 tys. a 20 tys. sztuk rocznie. Dopiero dla rozmiarów produkcji poniżej 5 tys. i powyżej 20 tys. rocznie koszt przeciętny gwałtownie rośnie, wymuszając zażądanie niekonkurencyjnych cen rynkowych. Miasta jako przykład korzyści skali Dlaczego ludność i działalność gospodarcza są skoncentrowane w miastach (dużych aglomeracjach), a nie równomiernie rozłożone po całym kraju? Zasadniczy powód musi być związany z koncepcją korzyści skali – grupowanie działalności gospodarczej jest w wielu przypadkach bardziej produktywne niż jej rozpraszanie. Miasta zapewniają np. dużą liczbę klientów, dzięki czemu przedsiębiorstwa mogą korzystać z rosnących przychodów ze skali produkcji. Oferują także dużą grupę pracowników i dostawców, dzięki czemu przedsiębiorstwa mogą z łatwością zatrudniać fachowców i kupować potrzebne im specjalistyczne surowce. Stadiony sportowe, muzea i inne miejskie atrakcje mogą działać tylko wtedy, gdy mają dostęp do dużej bazy potencjalnych klientów. Miasta są wystarczająco duże, aby oferować szeroką gamę produktów, co przemawia do wielu kupujących. Czynniki te nie są oczywiście korzyściami skali w wąskim znaczeniu funkcji produkcji pojedynczego przedsiębiorstwa, ale są związane ze wzrostem ogólnej wielkości populacji i rynku na danym obszarze. Miasta są czasami nazywane „aglomeracyjnymi gospodarkami”. Czynniki aglomeracyjne pomagają wyjaśnić, dlaczego każda gospodarka w miarę rozwoju ma coraz większy odsetek ludności zamieszkującej obszary miejskie. W Stanach Zjednoczonych ok. 80% populacji żyje obecnie na obszarach metropolitalnych (w tym na przedmieściach wokół miast) w porównaniu do zaledwie 40% w 1900 r. W Polsce w roku 2018 w miastach mieszkało 60,1% populacji, zaś w największych ośrodkach (czyli tych z liczbą ludności powyżej 100 tys.) 28,1%. Jednak w biedniejszych krajach świata, w tym w dużej części Afryki, odsetek populacji na obszarach miejskich wynosi tylko ok. 30%. Jednym z wielkich wyzwań dla tych krajów w miarę wzrostu ich gospodarek będzie zarządzanie rozwojem wielkich miast. Jeśli miasta oferują korzyści ekonomiczne w formie rosnących przychodów ze swojej skali, to dlaczego wszyscy nie mieszkamy w jednym gigantycznym mieście? W pewnym momencie aglomeracyjne gospodarki muszą zmierzyć się z niekorzyściami skali. Na przykład zagęszczenie ruchu może osiągnąć punkt, w którym korzyści wynikające z zamieszkiwania w pobliżu wielu potencjalnych pracodawców, sklepów i placówek edukacyjnych są równoważone przez wydłużenie czasu potrzebnego na podróż do pracy, na zakupy i do centrów rozrywki. Duże zagęszczenie ludzi, samochodów i fabryk może oznaczać więcej śmieci oraz zanieczyszczenie powietrza i wody. Obiekty takie jak parki czy muzea mogą stać się przepełnione. Korzyści skali mogą dotyczyć także produkcji dóbr o ujemnej użyteczności, takich jak przestępczość czy prostytucja, ponieważ zagęszczenie ludzi i przedsiębiorstw, w połączeniu z większą anonimowością w miastach, ułatwia nie tylko legalne, ale również nielegalne działania. Przyszłość miast, zarówno w Stanach Zjednoczonych, Unii Europejskiej, jak i w innych krajach na całym świecie, będzie zdeterminowana przez ich zdolność do czerpania korzyści z rosnących przychodów z ich skali oraz minimalizowania lub równoważenia odpowiadających im niekorzyści skali. Na panelu (b) widać bardziej powszechny przypadek, gdy krzywa LAC ma płaski obszar stałych przychodów ze skali produkcji. W takiej sytuacji każde przedsiębiorstwo, które rocznie wytworzy między 5 tys. a 20 tys. zmywarek, będzie w stanie produkować przy mniej więcej tym samym poziomie kosztu przeciętnego. Biorąc pod uwagę to, że rynek będzie potrzebował miliona zmywarek rocznie w cenie nieznacznie wyższej od 1,5 tys. zł, może na nim funkcjonować od 200 producentów (tj. milion zmywarek będzie dostarczone przez przedsiębiorstwa produkujące po 5 tys. sztuk) do 50 (każdy z producentów dostarczy 20 tys. sztuk). Producenci będą zatem różnili się wielkością: od małych podmiotów wytwarzających 5 tys. sztuk rocznie do relatywnie dużych, z produkcją na poziomie 20 tys. sztuk. Przedsiębiorstwa z produkcją poniżej 5 tys. sztuk lub powyżej 20 tys. sztuk nie sprostają konkurencji, ponieważ ich koszty przeciętne będą zbyt wysokie. Jeśli zatem w jakiejś gałęzi funkcjonują wyłącznie przedsiębiorstwa o zbliżonych rozmiarach, można podejrzewać, że ich krzywe kosztu przeciętnego w długim okresie mają zbliżony kształt i wyraźnie zaznaczone minimum (panel (a) na ). Natomiast współistnienie małych i dużych przedsiębiorstw jest konsekwencją specyficznego kształtu ich krzywych LAC, z relatywnie dużym obszarem o stałych przychodach ze skali produkcji (panel (b) na – krzywa LAC z płaskim dnem). Stałe przychody ze skali produkcji zaznaczone jako płaskie dno krzywej LAC wykreślonej na panelu (b) na mogą być interpretowane na dwa sposoby. Zgodnie z pierwszą interpretacją, niezależnie od tego, czy w fabryce wytwarzanych jest 5 tys., czy też 20 tys. zmywarek rocznie, koszt przeciętny produkcji jednej sztuki jest taki sam. Natomiast druga interpretacja zakłada, że wszystkie przedsiębiorstwa dysponują fabrykami o zdolnościach produkcyjnych na poziomie 5 tys. zmywarek rocznie, tylko niektóre z nich mają jeden zakład, a inne aż cztery. Choć oba warianty występują w realnym świecie, to znacznie częściej występuje sytuacja, w której fabryki wytwarzające określone dobro mają mniej więcej te same zdolności produkcyjne, natomiast przedsiębiorstwa różnią się od siebie liczbą wykorzystywanych fabryk. Mimo wszystko bowiem, ze względu na malejące przychody krańcowe charakterystyczne dla większości procesów produkcyjnych, znacznie rzadsza jest sytuacja, w której fabryki o tak różnej skali rocznej produkcji (5 tys. i 20 tys. sztuk) będą charakteryzowały się tymi samymi kosztami przeciętnymi. Wzrost kosztów przeciętnych powyżej określonego wolumenu produkcji (w naszym przypadku powyżej 20 tys. zmywarek rocznie) wynika zaś najczęściej z menedżerskich niekorzyści skali. Im więcej bowiem zakładów produkcyjnych posiada przedsiębiorstwo, tym większe są koszty koordynacji procesu produkcyjnego między nimi. W dotychczasowych przykładach przyjmowaliśmy, że zapotrzebowanie na rynku jest dość duże (milion dóbr) w porównaniu z produkcją w punkcie minimum długookresowej krzywej kosztu przeciętnego (5 tys., 10 tys. lub 20 tys. sztuk). W takiej sytuacji rynek jest otwarty na konkurencję między wieloma przedsiębiorstwami. Co się jednak stanie, jeśli minimum długookresowej krzywej kosztu przeciętnego kształtuje się dla produkcji na poziomie 10 tys. sztuk rocznie i właśnie takie (albo wręcz nieco niższe) jest rynkowe zapotrzebowanie? Wróć do panelu (a) na , gdzie minimum długookresowej krzywej kosztu przeciętnego wynosi 10 tys., ale teraz wyobraź sobie, że liczba zmywarek, na które potencjalni klienci zgłaszają zapotrzebowanie przy cenie nieco wyższej od 1,5 tys. zł, wynosi tylko 30 tys. sztuk. W tej sytuacji łączna liczba przedsiębiorstw na rynku wyniosłaby trzy. Taką garstkę przedsiębiorstw na rynku nazywamy oligopolem, a rozdział dotyczący konkurencji monopolistycznej i oligopolu omawia strategie konkurencyjne, które mogą mieć zastosowanie, gdy rywalizuje ze sobą tak niewiele przedsiębiorstw. Możemy mieć do czynienia z jeszcze bardziej interesującą sytuacją. Ponownie rozważmy panel (a) na , z minimum krzywej LAC na poziomie produkcji równej 10 tys. sztuk, ale jednocześnie przyjmijmy, że zapotrzebowanie rynkowe wynosi tylko 5 tys. sztuk. (Dla uproszczenia wyobraź sobie, że ten popyt jest bardzo nieelastyczny, więc nie zmienia się wraz ze zmianami ceny.) W tej sytuacji rynek może równie dobrze skończyć z jednym przedsiębiorstwem – monopolistą – produkującym wszystkie 5 tys. sztuk. Gdyby jakiekolwiek przedsiębiorstwo próbowało przełamać ten monopol, produkując mniej niż 5 tys. sztuk, miałoby wyższy koszt przeciętny, a więc nie byłoby w stanie zaakceptować cen rynkowych bez ponoszenia strat. Inne specyficzne cechy rynku, na którym działa tylko jeden sprzedawca, omawia rozdział poświęcony monopolom. Zatem kształt długookresowej krzywej kosztów przeciętnych wskazuje, czy na rynku będą konkurowały przedsiębiorstwa tej samej, czy różnej wielkości. Jeśli krzywa LAC ma wyraźnie zaznaczone minimum, wówczas przedsiębiorstwa na rynku będą mniej więcej tej samej wielkości, ale gdy krzywa LAC ma płaskie dno, czyli obszar o stałych przychodach ze skali produkcji, wówczas przedsiębiorstwa na rynku mogą mieć różne rozmiary. Relacja między wielkością produkcji wyznaczającą minimum długookresowej krzywej kosztu przeciętnego a zapotrzebowaniem rynkowym przy cenie zbliżonej do minimum kosztu przeciętnego w długim okresie pozwoli przewidzieć, jaki będzie charakter konkurencji w danej gałęzi. Jeśli zapotrzebowanie znacznie przekracza wielkość produkcji w minimum LAC, wówczas będzie ze sobą konkurować wiele przedsiębiorstw. Jeśli zapotrzebowanie jest tylko nieznacznie wyższe niż wielkość produkcji przy minimum LAC, konkurencja ograniczy się do kilku przedsiębiorstw. Jeżeli zapotrzebowanie jest mniejsze niż wolumen produkcji przy minimum LAC, prawdopodobnie efektem będzie monopol. Zmieniające się wzorce długoterminowego kosztu przeciętnego Nowe technologie i metody produkcji mogą przesunąć długookresową krzywą kosztów przeciętnych w sposób, który zmieni rozkład i wielkość przedsiębiorstw w danej branży. Przez większą część XX w. zmiany technologii faworyzowały dużych producentów. Na przykład linia montażowa lub duży dom towarowy pozwalały obniżyć koszty jednostkowe produkcji samochodów lub sprzedaży żywności i innych artykułów pierwszej potrzeby. Korzyści skali zdawały się występować dla coraz większego odcinka krzywej długookresowego kosztu przeciętnego. Natomiast najnowsze technologie i metody produkcyjne nie prowadzą nieuchronnie do zwiększenia średniej wielkości przedsiębiorstw. Na przykład w ostatnich latach pojawiły się nowe sposoby wytwarzania energii elektrycznej na mniejszą skalę. Tradycyjne elektrownie węglowe musiały produkować od 300 do 600 MW energii, aby w pełni wykorzystać korzyści skali. Wysoko wydajne turbiny do produkcji energii elektrycznej ze spalania gazu ziemnego mogą wytwarzać energię elektryczną po konkurencyjnej cenie dla wolumenu na poziomie 100 MW lub mniejszym. Te nowe technologie stwarzają mniejszym przedsiębiorstwom możliwość wytwarzania energii elektrycznej równie wydajnie, jak to ma miejsce w dużych i bardzo dużych podmiotach. Innym przykładem zmiany technologicznej prowadzącej do zmniejszania rozmiarów zakładów przemysłowych może być branża oponiarska. Tradycyjna fabryka opon średniej wielkości produkuje ok. 6 mln wyrobów rocznie. Jednak w 2000 r. włoska firma Pirelli otworzyła nową fabrykę opon, w której wykorzystywanych jest wiele robotów i zautomatyzowanych ciągów produkcyjnych. Fabryka opon Pirelli produkowała tylko około miliona opon rocznie, ale po niższych kosztach przeciętnych niż tradycyjna fabryka opon średniej wielkości. W ostatnich latach rosły kontrowersje dotyczące tego, czy nowe technologie informacyjne i komunikacyjne doprowadzą do wzrostu, czy do zmniejszenia rozmiarów przedsiębiorstw. Z jednej strony nowe technologie mogą ułatwić małym podmiotom wyjście poza ich lokalny obszar geograficzny i znalezienie klientów w całym regionie, kraju, a nawet poza jego granicami. To może sprzyjać zwiększeniu się liczby małych podmiotów. Z drugiej strony być może nowe technologie informacyjno-komunikacyjne stworzą rynki, na których „zwycięzca bierze wszystko”, a więc jedno duże przedsiębiorstwo będzie zmierzało do kontrolowania dużej części całkowitej sprzedaży, tak jak zrobił to Microsoft, produkując oprogramowanie dla komputerów osobistych, lub Amazon, który zorganizował księgarnie internetowe. Co więcej, ulepszone technologie informacyjne i komunikacyjne mogą usprawnić zarządzanie wieloma różnymi zakładami i operacjami w skali całego kraju lub na całym świecie, a tym samym ułatwić działanie większym przedsiębiorstwom. Ta walka między małymi i dużymi podmiotami gospodarczymi będzie przedmiotem wielkiego zainteresowania ekonomistów, biznesmenów i decydentów politycznych w ciągu kolejnej dekady XXI w. Amazon Księgarnie tradycyjnie działały w punktach sprzedaży detalicznej, a zapasy książek znajdowały się na półkach lub na zapleczu. Czynsz w tych lokalizacjach był zazwyczaj bardzo wysoki, co ograniczało dostępną podaż książek do niezbędnego minimum (najczęściej były to przede wszystkim nowości wydawnicze i bestsellery). Do niedawna Amazon nie miał sklepów detalicznych. Sprzedawał tylko online i dostarczał zakupione książki pocztą. Obecnie firma prowadzi sklepy detaliczne w Kalifornii, Oregonie i stanie Waszyngton, a kolejne punkty powstaną w Illinois, Massachusetts, New Jersey i Nowym Jorku. Amazon posiada jednak podstawową przewagę nad swoimi stacjonarnymi konkurentami. Jest w stanie dostarczyć klientowi niemal każdą wydaną na terenie kraju lub nawet poza jego granicami książkę w relatywnie bardzo krótkim czasie i po niezwykle konkurencyjnej cenie. Dzieje się tak dlatego, że firma przechowuje swoje zapasy w ogromnych magazynach w niskoczynszowych lokalizacjach na całym świecie (w tym również w Polsce, co wciąż sytuuje nasz kraj po stronie niskich kosztów pracy). Magazyny są w wysokim stopniu skomputeryzowane, zrobotyzowane i zatrudniają stosunkowo słabo wykwalifikowanych pracowników, co zapewnia niskie przeciętne koszty sprzedaży. Amazon jest przykładem znaczących korzyści, jakie rosnąca skala produkcji może przynieść przedsiębiorstwu. Key Concepts and Summary Technologia (albo metoda) produkcji, to termin, jakim określa się konkretną kombinację nakładów czynników produkcji (przede wszystkim pracy i kapitału), pozwalającą na wytworzenie danego wolumenu produkcji. W długim okresie przedsiębiorstwa mogą w dowolny sposób zmieniać technologię produkcji, więc wszystkie koszty mają charakter zmienny. Przedsiębiorstwa, wybierając technologię (metodę produkcji), dążą do zminimalizowania kosztów całkowitych, będą więc zastępować nakłady drogich czynników produkcji tańszymi. Pojęcie korzyści skali (rosnących przychodów ze skali produkcji) odnosi się do sytuacji, w której wraz ze wzrostem rozmiarów produkcji spada długookresowy koszt przeciętny. Stałe przychody ze skali to z kolei sytuacja, w której koszt przeciętny jest niezależny od wolumenu produkcji. Niekorzyści skali oznaczają wzrost kosztu przeciętnego wraz ze wzrostem rozmiarów produkcji. Długookresowa krzywa kosztu przeciętnego (LAC) wskazuje przedsiębiorstwom najniższy możliwy koszt wytworzenia jednostki produkcji dla jej każdych rozmiarów i umożliwia tym samym wybór optymalnej technologii. Ujemne nachylenie LAC wskazuje na korzyści skali; jej płaski odcinek – na stałe przychody ze skali produkcji, zaś część nachylona w górę – na niekorzyści skali. Jeśli długookresowa krzywa kosztu przeciętnego ma wyraźnie zaznaczone minimum, to wszystkie przedsiębiorstwa konkurujące w branży powinny mieć te same rozmiary, czyli wytwarzać ten sam, wskazany przez minimum LAC, wolumen produkcji. Jeśli jednak LAC ma odcinek wskazujący na stałe przychody ze skali produkcji (płaskie dno), oznacza to, że koszt przeciętny nie zmienia się dla szerokiego zakresu rozmiarów produkcji; przedsiębiorstwa w gałęzi będą miały różne rozmiary, czyli będą dostarczać na rynek zróżnicowane ilości dóbr i usług. Rozmiary popytu rynkowego w połączeniu z typowym dla danej gałęzi kształtem długookresowej krzywej kosztu przeciętnego określą, ile przedsiębiorstw będzie działało w tej branży. Jeśli zapotrzebowanie na dany produkt na rynku jest znacznie większe niż wielkość produkcji wyznaczająca minimum LAC, to w gałęzi będzie konkurować wiele przedsiębiorstw. Jeżeli zapotrzebowanie jest mniejsze niż wielkość produkcji wskazana przez minimum LAC, wówczas branża najprawdopodobniej zostanie zmonopolizowana. Self-Check Questions Powróćmy do problemu przedstawionego w i Jeśli koszt robocizny pozostaje na poziomie 40 zł, ale stawka najmu maszyny spada do 50 zł, to jaki będzie całkowity koszt każdej z trzech metod produkcji? Którą metodę przedsiębiorstwo powinno zastosować i dlaczego? Nowa tabela prezentująca koszty całkowite każdej z technologii wygląda w sposób następujący (kwoty w zł): Koszt pracy Koszt maszyn Koszt całkowity Koszt technologii 1 10 × 40 = 400 2 × 50 = 100 500 Koszt technologii 2 7 × 40 = 280 4 × 50 = 200 480 Koszt technologii 3 3 × 40 = 120 7 × 50 = 350 470 Przedsiębiorstwo powinno wybrać wybrać trzecią technologię, ponieważ charakteryzuje się ona najniższymi kosztami całkowitymi. Ma to sens, gdyż przy niższych stawkach najmu maszyn można oczekiwać, że metody kapitałochłonne okażą się mniej kosztowne od tych opartych głównie na wykorzystaniu pracy. Załóżmy, że stawka najmu maszyny wzrośnie do 55 zł, podczas gdy koszt robocizny pozostanie na poziomie 40 zł. Jak wpłynie to na całkowite koszty trzech dostępnych metod produkcji? Na którą metodę przedsiębiorstwo powinno teraz postawić? Koszt pracy Koszt maszyn Koszt całkowity Koszt technologii 1 10 × 40 = 400 2 × 55 = 110 510 Koszt technologii 2 7 × 40 = 280 4 × 55 = 220 500 Koszt technologii 3 3 × 40 = 120 7 × 55 = 385 505 Przedsiębiorstwo powinno wybrać technologię drugą, ponieważ to ona pozwala obniżyć koszty całkowite produkcji do minimum. Jako że stawka najmu maszyn wzrosła (w porównaniu z poprzednim pytaniem), można się spodziewać przejścia firmy na technologię wykorzystującą mniej kapitału, a więcej pracy. Produkcja samochodów to branża charakteryzująca się znacznymi korzyściami skali. Załóżmy, że istnieje czterech krajowych producentów aut, ale popyt na samochody krajowe nie przekracza 2,5-krotności wolumenu produkcji wyznaczonego przez minimum długookresowej krzywej kosztu przeciętnego charakterystycznej dla tych czterech firm. Jak myślisz, co stanie się w tej gałęzi przemysłu w długim okresie? Taka sytuacja miała miejsce w Stanach Zjednoczonych w latach 70. XX w. Ponieważ popyt nie pozwala na osiągnięcie poziomu produkcji charakteryzującego się najniższymi kosztami przeciętnymi w długim okresie nawet dla trzech przedsiębiorstw, najpewniej jedno z nich będzie musiało się wycofać z branży, a kolejne będzie się zmagać z poważnymi problemami. Review Questions Czy w długim okresie istnieją jakiekolwiek koszty stałe? Odpowiedź krótko uzasadnij. Czy koszty stałe są kosztami utopionymi? Wyjaśnij ten problem. Czym są malejące przychody krańcowe w odniesieniu do kosztów? Które z poniższych kosztów mierzone są w przeliczeniu na jednostkę: koszty stałe, koszt przeciętny, przeciętny koszt zmienny, koszty zmienne i koszt krańcowy? Co to jest technologia w znaczeniu używanym przez ekonomistów? Jak przedsiębiorstwa zachowają się przy wyborze technologii, jeśli jeden z nakładów stanie się relatywnie droższy? Co to jest długookresowa krzywa kosztu przeciętnego? Jaka jest różnica między korzyściami skali, stałymi przychodami ze skali produkcji i niekorzyściami skali? Jaki kształt długookresowej krzywej kosztu przeciętnego ilustruje korzyści skali, stałe przychody ze skali produkcji i niekorzyści skali? Dlaczego przedsiębiorstwa na większości rynków będą wytwarzać wolumen produkcji zbliżony do minimum krzywej długookresowego kosztu przeciętnego? Critical Thinking Questions Jaki jest związek między produktem krańcowym a kosztem krańcowym? (Wskazówka: spójrz na krzywe.) Jak myślisz, dlaczego tak jest? Czy ta relacja jest taka sama w długim i w krótkim okresie? Oczywiste jest, że przedsiębiorstwa działają w krótkim okresie, ale czy w ogóle działają w długim okresie? Omów ten problem. Wróć do . W którym momencie w górnej połowie tabeli pojawia się malejąca produktywność krańcowa? A co w dolnej połowie tabeli? Jak to wytłumaczysz? W jaki sposób ulepszenie technologii, takie jak wysoko wydajne turbiny gazowe lub fabryka opon Pirelli, wpłynie na długookresową krzywą przeciętnego kosztu przedsiębiorstwa? Czy możesz narysować starą i nową krzywą w tym samym układzie współrzędnych? Jak taka zmiana technologii może oddziaływać na inne przedsiębiorstwa z danej branży? Czy działalność korporacji taksówkowych w dużych miastach charakteryzuje się znaczącymi korzyściami skali? Dlaczego tak lub dlaczego nie? Problems Mała firma odśnieżająca chodniki i podjazdy ma tej zimy 100 domów, które wykupiły abonament na jej usługi. Może ona wykorzystywać różne kombinacje nakładów kapitału i pracy: intensywną pracę przy ręcznych łopatach, mniej pracy przy odśnieżarkach i jeszcze mniej pracy przy traktorku z pługiem śnieżnym z przodu. Podsumowując, dostępne są następujące metody produkcji: Metoda 1: 50 jednostek pracy, 10 jednostek kapitału Metoda 2: 20 jednostek pracy, 40 jednostek kapitału Metoda 3: 10 jednostek pracy, 70 jednostek kapitału Jeśli zatrudnienie siły roboczej na zimę kosztuje 400 zł za jednostkę, a koszt najmu jednostki kapitału na okres zimowy kosztuje 1600 zł, to jaka jest optymalna (najtańsza) metoda produkcji? Jaką metodę powinno zastosować przedsiębiorstwo, jeśli koszt robocizny, w związku z podwyżką minimalnego wynagrodzenia, wzrośnie do 800 zł za jednostkę? stałe przychody ze skali produkcji (ang. constant returns to scale ) sytuacja, w której proporcjonalne zwiększenie wszystkich nakładów nie zmienia przeciętnego kosztu produkcji w długim okresie korzyści skali (ang. economies of scale ) sytuacja, w której długookresowy koszt przeciętny spada wraz ze wzrostem rozmiarów produkcji rosnące przychody ze skali produkcji (ang. economies of scale ) patrz: korzyści skali ekonomia skali (ang. economies of scale ) patrz: korzyści skali niekorzyści skali (ang. diseconomies of scale ) sytuacja, w której długookresowy koszt przeciętny rośnie wraz ze wzrostem wolumenu produkcji malejące przychody ze skali produkcji (ang. diseconomies of scale ) patrz: niekorzyści skali krzywa długookresowego kosztu przeciętnego (LAC) (ang. long-run average cost curve ) wskazuje najniższy możliwy koszt przeciętny dla każdego rozmiaru produkcji, dzięki czemu przedsiębiorstwo dokonuje wyboru optymalnej technologii technologia produkcji (ang. production technology ) konkretna metoda łączenia nakładów różnych czynników produkcji pozwalająca na wytworzenie określonego wolumenu produkcji metoda produkcji patrz: technologia produkcji krzywa krótkookresowego przeciętnego kosztu całkowitego (SATC) (ang. short-run average total cost curve ) wskazuje na przeciętny koszt całkowity w krótkim okresie; jest sumą przeciętnego kosztu stałego i przeciętnego kosztu zmiennego", "section": "Koszty w długim okresie", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału W zależności od liczby konkurentów i oferowanych cen rolnik może zdecydować się na uprawę innej rośliny. (Źródło: modyfikacja pracy Daniela X. O’Neil/Flickr Creative Commons) Liczba sprzedawców liczona na pęczki Część z was z pewnością kiedyś wykonywała odpłatnie proste prace na rzecz sąsiadów – myła samochody, kosiła trawniki albo opiekowała się dziećmi. Jeśli tak, to wasze usługi napotykały na silną konkurencję ze strony wielu innych młodych ludzi gotowych wykonywać te same prace. Wszyscy pobieraliście standardową stawkę przyjętą za świadczenie tego typu usług. Gdyby ktoś zażądał więcej, jego klienci po prostu porozumieliby się z kimś innym. Reguły te są bardzo podobne do warunków, z jakimi mają do czynienia rolnicy zajmujący się produkcją roślinną. Rozpoczęcie uprawy jest nieco trudniejsze i bardziej kosztowne niż opieka nad dziećmi lub koszenie trawnika, a konkurencja, z jaką rolnicy mają do czynienia, jest tak samo (a nawet bardziej) zacięta. Biorąc pod uwagę skalę światowej produkcji roślinnej, zmagają się z konkurencją ze milionami innych osób, ponieważ sprzedają identyczny produkt. W końcu pszenica ozima jest pszenicą ozimą niezależnie od tego, gdzie jest uprawiana. Ponadto jeśli trudno im zarobić na sprzedaży tego konkretnego zboża, mogą stosunkowo łatwo opuścić jego rynek i zasiać żyto lub kukurydzę. A zatem nie sprzedają rodzinnego gospodarstwa, lecz zmieniają rodzaj uprawy. Rozważmy przykład jednego z regionów Stanów Zjednoczonych, Środkowego Zachodu, który przez wiele pokoleń nazywany był „pszenicznym królestwem”. Według statystyk Departamentu Rolnictwa Stanów Zjednoczonych w 1997 r. w Dakocie Północnej pszenicą obsiano 4,7 mln ha, zaś kukurydzą tylko 315 tys. ha. Czy w ciągu kolejnych 20 lat struktura upraw uległa znaczącym przeobrażeniom? Jako że decyzja o zmianie upraw jest stosunkowo łatwa i tania, to czy rolnicy reagowali w ten sposób na fluktuacje względnych cen? Dowiemy się tego na końcu rozdziału. Tymczasem rozważmy główny temat tego rozdziału – rynek doskonale konkurencyjny. Jest to rynek, na którym nie istnieją bariery wejścia i wyjścia, co oznacza, że zarówno rozpoczęcie, jak i zakończenie działalności jest stosunkowo proste i tanie, w związku z czym liczbę sprzedawców można na nim liczyć na pęczki. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Na czym polega struktura rynku zwana konkurencją doskonałą i jakie jest jej znaczenie dla teorii ekonomii W jaki sposób przedsiębiorstwa działające na rynku doskonale konkurencyjnym podejmują decyzje o rozmiarach produkcji Co determinuje decyzje firm o wejściu (lub wyjściu) na rynek doskonale konkurencyjny w długim okresie Czy rynki doskonale konkurencyjne są efektywne Większość przedsiębiorstw musi zaakceptować dwa istotne fakty, które determinują ich działalność. Po pierwsze – nikt nie musi kupować wytwarzanych przez nich produktów. Po drugie – nawet klienci, którzy chcieliby nabyć te produkty, mogą zwrócić się do konkurentów. Firmy, które działają na rynkach doskonale konkurencyjnych, w największym stopniu mierzą się z tą rzeczywistością. W niniejszym rozdziale dowiesz się, w jaki sposób takie przedsiębiorstwa podejmują decyzje o tym, ile produkować, czy pozostać na rynku, jaki zysk uda się osiągnąć i wiele innych. Poszczególne branże (czyli grupy sprzedawców wytwarzające ten sam lub podobny produkt) różnią się między sobą pod względem liczby działających przedsiębiorstw, kosztów rozpoczęcia działalności oraz rodzaju sprzedawanego produktu (na ile jest on postrzegany przez potencjalnych nabywców jako standardowy). Modele opisujące sposób postępowania przedsiębiorstw w takich sektorach ekonomiści nazywają strukturami rynku (ang. market structure ). W tym rozdziale skupiamy się na strukturze rynku nazywanej konkurencją doskonałą. W kolejnych przyjrzymy się innym modelom: monopolowi, konkurencji monopolistycznej i oligopolowi.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Specyfika konkurencji doskonałej jako struktury rynku Po przeczytaniu tego podrozdziału będziesz w stanie: Scharakteryzować specyfikę rynków doskonale konkurencyjnych Objaśnić, jak przedsiębiorstwa działające w ramach tej struktury rynku zachowują się w długim i krótkim okresie Przedsiębiorstwa działają w ramach konkurencji doskonałej (ang. perfect competition ), gdy w ich gałęzi występują następujące warunki: (1) bardzo dużo przedsiębiorstw wytwarza identyczny produkt (produkty); (2) istnieje wielu nabywców kupujących produkt oraz wielu sprzedawców sprzedających produkt; (3) nabywcy i sprzedawcy mają wszystkie istotne informacje, aby podejmować racjonalne decyzje dotyczące kupowanego i sprzedawanego produktu; i wreszcie (4) – przedsiębiorstwa mogą wchodzić na rynek i opuszczać go bez ograniczeń, nie ponosząc przy tym żadnych kosztów – innymi słowy, nie istnieją bariery wejścia i wyjścia z gałęzi. Przedsiębiorstwo doskonale konkurencyjne (ang. perfectly competitive firm ) jest określane jako biorca ceny (w literaturze funkcjonuje również określenie cenobiorca ) (ang. price taker ), ponieważ presja konkurentów zmusza go do zaakceptowania obowiązującej na rynku ceny równowagi. Jeśli firma na rynku doskonale konkurencyjnym podniesie cenę swojego produktu nawet o grosz, nie będzie w stanie nic sprzedać, bo potencjalni nabywcy sięgną po tańsze produkty oferowane przez konkurentów. Kiedy plantator pszenicy, jak wspomnieliśmy w , chce znać aktualną cenę pszenicy, musi to sprawdzić, korzystając z ogólnodostępnych informacji podawanych przez media. W podobnej sytuacji jest każdy podmiot, który chce kupić pszenicę. Jeśli zaoferuje sprzedawcy cenę, która jest niższa od rynkowej, nikt nie będzie mu chciał sprzedać nawet kilograma. Cenę rynkową określają podaż i popyt na całym rynku, a nie decyzje pojedynczego rolnika lub nabywcy pszenicy. Oznacza to jednak, że ze względu na relatywnie niewielką ilość lub liczbę produktów oferowaną przez pojedyncze przedsiębiorstwo działające na tym rynku w stosunku do całej podaży rynkowej, może ono zwiększać lub zmniejszać produkcję bez zauważalnego wpływu na całkowitą wielkość podaży i cenę rynkową charakteryzujące konkretną gałąź. Tak jak wskazaliśmy powyżej, struktury rynku, w tym konkurencja doskonała, to modele opisujące działanie realnych przedsiębiorstw, ale – co jest charakterystyczne dla modeli – pokazują one pewien uproszczony obraz rzeczywistości. Producenci w bardzo wielu gałęziach gospodarki w istocie mają do czynienia z wieloma konkurencyjnymi firmami sprzedającymi bardzo podobne towary i często muszą działać jako cenobiorcy. Ekonomiści zwykle używają rynków rolnych jako przykładu gałęzi doskonale konkurencyjnych. Te same zboża uprawiane przez różnych rolników są postrzegane przez nabywców jako produkt całkowicie standardowy (choć oczywiście pewne różnice pomiędzy poszczególnymi plantatorami, np. w wilgotności ziarna, mogą się pojawić). Zgodnie z danymi publikowanymi przez Główny Urząd Statystyczny cena za tonę pszenicy konsumpcyjnej w sierpniu 2021 r. kształtowała się na poziomie ok. 800 zł, z bardzo niewielkimi różnicami w poszczególnych województwach odzwierciedlającymi zróżnicowanie kosztów transportu zboża do punktów skupu. Plantator pszenicy, który próbowałby ją sprzedawać po 900 zł za tonę, nie znalazłby nabywców. Przedsiębiorstwo doskonale konkurencyjne nie będzie sprzedawać także poniżej ceny równowagi. Dlaczego miałoby to robić, skoro może zbyć wszystko po wyższej cenie? Czy oferowanie pszenicy w cenie 700 zł za tonę miałoby jakikolwiek sens, jeśli właściciel elewatora za tę samą ilość zapłaci 800 zł? Innymi przykładami rynków rolnych, które działają w warunkach zbliżonych do doskonale konkurencyjnych, są małe przydrożne targowiska produktów rolnych i drobni rolnicy ekologiczni. Odwiedź stronę internetową , która pokazuje obecną wartość różnych towarów. Niniejszy rozdział prezentuje proces decyzyjny, który determinuje wielkość produkcji nastawionego na zysk przedsiębiorstwa działającego w warunkach konkurencji doskonałej. Firmy biorą pod uwagę swoje koszty, które omówiliśmy w . W krótkim okresie przedsiębiorstwo doskonale konkurencyjne będzie poszukiwać takiej wielkości produkcji, przy której zyski są największe lub, jeśli osiągnięcie zysków nie jest możliwe, straty są najmniejsze. W długim okresie zyski ekonomiczne przyciągną konkurencję, gdyż na rynek wejdą zwabione nimi kolejne przedsiębiorstwa. Z kolei straty ekonomiczne spowodują, że niektóre przedsiębiorstwa wyjdą z rynku. Ostatecznie rynki doskonale konkurencyjne osiągną długookresową równowagę , gdy zyski ekonomiczne każdego z działających na nim podmiotów zostaną zredukowane do zera. Wówczas żadne nowe przedsiębiorstwa nie będą chciały wejść na rynek, a istniejące przedsiębiorstwa nie będą chciały z niego wyjść. Kluczowe pojęcia i podsumowanie Przedsiębiorstwo doskonale konkurencyjne jest biorcą ceny, co oznacza, że musi zaakceptować rynkową cenę równowagi, po której sprzedaje swoje towary. Jeśli firma będzie chciała sprzedawać dobro lub usługę po cenie nawet niewiele wyższej od rynkowej, nikt nie zechce niczego od niej kupić. Na doskonale konkurencyjnym rynku działają tysiące sprzedawców, jest również bardzo wielu nabywców, produkty są traktowane przez konsumentów jako identyczne (homogeniczne) i nie ma żadnych barier utrudniających wejście do tej gałęzi i jej opuszczenie. Analiza sytuacji przedsiębiorstwa w krótkim okresie oznacza, że nakłady niektórych czynników produkcji są stałe. Długookresowa równowaga w gałęzi doskonale konkurencyjnej występuje wtedy, gdy zyski ekonomiczne wszystkich funkcjonujących w niej przedsiębiorstw spadły do zera. Oznacza to, że nie ma żadnych bodźców ani do wejścia do niej, ani do jej opuszczenia. Konkurencja doskonała to model opisujący rynek (gałąź gospodarki), na którym funkcjonuje bardzo wielu sprzedawców i nabywców, nie ma żadnych barier wejścia i wyjścia na ten rynek (co oznacza, że rozpoczęcie i zakończenie działalności nie wiąże się z żadnym kosztem), produkty będące przedmiotem transakcji są identyczne niezależnie od oferenta, a wszyscy producenci są biorcami cen. Pytania Self-Check Zgodnie z założeniami modelu konkurencji doskonałej, przedsiębiorstwa działające na takich rynkach są biorcami cen – tzn. muszą zaakceptować cenę równowagi określoną przez rynek. Jeśli sprzedajesz produkt na rynku doskonale konkurencyjnym, ale nie jesteś zadowolony z występującej na nim ceny, czy podniesiesz swoją choćby o grosz? Nie, nie podniesiesz ceny. Twój produkt jest dokładnie taki sam jak produkty wielu innych przedsiębiorstw działających na tym rynku. Jeśli twoja cena jest wyższa niż u konkurencji, klienci przestaną od ciebie kupować i wybiorą produkty oferowane przez inne podmioty. Stracisz całą sprzedaż. Czy rynek, na którym zleca się transport towarów samochodami ciężarowymi, miałby cechy gałęzi doskonale konkurencyjnej? Owszem, to możliwe, jednak wyłącznie wtedy, gdy na rynku tym dominują niezależni kierowcy ciężarówek będący właścicielami tylko jednego samochodu, a nie duże przedsiębiorstwa transportowe. Tacy niezależni przedsiębiorcy są z definicji mali (mają tylko jedną ciężarówkę) i dość liczni. Wszystko, co jest potrzebne, aby dostać się do gałęzi, to ciężarówka (choć nie jest to tani składnik aktywów, jednak nie trzeba go zaraz kupować, można skorzystać z długoterminowego najmu lub leasingu) i odpowiednie prawo jazdy. Aby wyjść z tego biznesu, wystarczy sprzedać ciężarówkę. Wszystkie ciężarówki są zasadniczo takie same, zapewniając transport z punktu A do punktu B. (Zakładamy, że nie mówimy o specjalistycznych pojazdach). Tacy niezależni kierowcy muszą zaakceptować obowiązującą stawkę za swoje usługi (są za mali, aby móc na nią wpływać), więc są również biorcami cen z rynku. Pytania Review Pojedyncze przedsiębiorstwo na rynku doskonale konkurencyjnym jest stosunkowo małe w porównaniu z resztą rynku. Co to oznacza? Jakie „małe” jest „małe”? Jakie są cztery podstawowe warunki determinujące istnienie konkurencji doskonałej? Wyjaśnij, w jaki sposób wpływają one na funkcjonowanie doskonale konkurencyjnego przedsiębiorstwa. Czym charakteryzuje się przedsiębiorstwo będące biorcą cen? Pytania Critical Thinking Znalezienie partnera życiowego to skomplikowany proces, który może zająć wiele lat. Niełatwo myśleć o tym procesie jak o części bardzo złożonego rynku z popytem i podażą partnerów. Spróbuj się jednak zastanowić, jak mógłby działać taki rynek, jakie byłyby jego najważniejsze cechy, np. koszty znalezienia partnera. Czy uważasz, że ten hipotetyczny rynek spełnia założenia konkurencji doskonałej? Czy możesz wymienić pięć przykładów realnie istniejących rynków doskonale konkurencyjnych? A jeśli nie – dlaczego ? struktura rynku (ang. market structure ) model opisujący funkcjonowanie przedsiębiorstw na rynku (w gałęzi) zdeterminowany przez liczbę sprzedawców i nabywców, istnienie (bądź nieistnienie) barier wejścia i wyjścia (rozumianych jako koszty rozpoczęcia i zamknięcia działalności) oraz rodzaj sprzedawanych produktów forma rynku (ang. market structure ) patrz: struktura rynku struktura konkurencji (ang. market structure ) patrz: struktura rynku konkurencja doskonała (ang. perfect competition ) model, w którym każde przedsiębiorstwo ma wielu konkurentów sprzedających identyczne produkty biorca ceny (ang. price taker ) przedsiębiorstwo na rynku doskonale konkurencyjnym, które musi zaakceptować rynkową cenę równowagi jako daną cenobiorca (ang. price taker ) patrz: biorca cen", "section": "Specyfika konkurencji doskonałej jako struktury rynku", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Jak przedsiębiorstwa doskonale konkurencyjne podejmują decyzje o produkcji Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczyć zysk przedsiębiorstwa dzięki porównaniu przychodu (utargu) całkowitego i kosztu całkowitego Zidentyfikować zyski i straty dzięki krzywej kosztu przeciętnego Wyjaśnić pojęcie ceny zamknięcia Określić najniższą cenę, przy której przedsiębiorstwo powinno kontynuować produkcję w krótkim okresie Przedsiębiorstwo doskonale konkurencyjne (ang. perfectly competitive firm ) musi podjąć tylko jedną ważną decyzję – jaką ilość swoich produktów wytworzyć. Aby zrozumieć ten problem decyzyjny, rozważ alternatywny sposób zapisu podstawowej definicji zysku (ang. profit ): zysk = utarg całkowity – koszt całkowity = ( cena ) ( wielkość produkcji ) – ( koszt przeciętny ) × ( wielkość produkcji ) Przedsiębiorstwo doskonale konkurencyjne nie ma wpływu na rynkową cenę swoich produktów i musi zaakceptować tę wyznaczoną przez rynkowe popyt i podaż. Z drugiej strony może ono sprzedać dowolną liczbę swoich dóbr lub usług bez konieczności obniżania ceny. Oznacza to, że firma doskonale konkurencyjna ma do czynienia z doskonale elastyczną krzywą popytu na swój produkt (tym samym jest to linia prosta, równoległa do poziomej osi układu współrzędnych). Nabywcy są skłonni kupić dowolną liczbę jednostek produktu po cenie rynkowej. Kiedy doskonale konkurencyjne przedsiębiorstwo decyduje, jaką ilość towaru wyprodukować, to ta ilość – wraz z rynkową ceną sprzedawanego produktu i cenami kupowanych czynników wytwórczych – określi utarg całkowity, koszty całkowite i ostatecznie poziom zysków firmy. Wyznaczanie maksymalnego zysku dzięki porównaniu utargu całkowitego i kosztu całkowitego Przedsiębiorstwo doskonale konkurencyjne może sprzedać dowolną ilość swojego produktu, o ile akceptuje jego cenę rynkową. Jak łatwo zauważyć, choćby dzięki równaniu zapisanemu powyżej, utarg całkowity zależy od sprzedanej ilości i pobieranej ceny. Jeśli firma sprzeda większą ilość, utarg całkowity wzrośnie. Jeśli cena rynkowa wzrasta, utarg całkowity również wzrasta, bez względu na wielkość sprzedaży. Analizę procesu podejmowania decyzji determinującego wielkość produkcji firmy działającej na doskonale konkurencyjnym rynku przeprowadzimy na przykładzie małego przedsiębiorstwa ogrodniczego, które produkuje maliny i sprzedaje je w postaci zamrożonej po 4 zł za opakowanie. Sprzedaż jednego opakowania owoców przyniesie 4 zł, dwóch opakowań 8 zł, trzech opakowań 12 zł itd. Jeśli cena mrożonych malin podwoi się, wówczas sprzedaż jednego opakowania malin przyniesie 8 zł, dwóch opakowań 16 zł, trzech opakowań 24 zł itd. pokazuje utarg całkowity (ang. total revenue ) i koszty całkowite (ang. total costs ) producenta malin, które w formie graficznej (odpowiednich krzywych) znajdują się także na . Oś pozioma pokazuje liczbę opakowań mrożonych malin. Oś pionowa przedstawia zarówno utarg całkowity, jak i koszty całkowite mierzone w złotych. Krzywa kosztu całkowitego przecina oś pionową przy wartości, która określa poziom kosztów stałych, a następnie rośnie wraz ze wzrostem rozmiarów produkcji (ma nachylenie dodatnie). Wszystkie wykreślone krzywe kosztów charakteryzują się zależnościami, które omówiliśmy w . Koszt całkowity i utarg całkowity producenta malin Utarg całkowity przedsiębiorstwa doskonale konkurencyjnego to linia prosta o nachyleniu dodatnim. Nachylenie jest równe cenie produktu. Koszt całkowity również rośnie, ale nieliniowo. Przy wyższych poziomach produkcji koszt całkowity zaczyna gwałtownie rosnąć z powodu malejących przychodów krańcowych. Maksymalny zysk występuje przy wielkości produkcji, dla której różnica między utargiem całkowitym a kosztem całkowitym jest największa. Koszt całkowity, utarg całkowity i zysk producenta malin (kwoty w zł) Liczba opakowań malin (Q) Koszt całkowity (TC) Utarg całkowity (TR) Zysk 0 62 0 −62 10 90 40 −50 20 110 80 −30 30 126 120 −6 40 138 160 22 50 150 200 50 60 165 240 75 70 190 280 90 80 230 320 90 90 296 360 64 100 400 400 0 110 550 440 −110 120 715 480 −235 Na podstawie krzywych utargu całkowitego i kosztu całkowitego przedsiębiorstwo doskonale konkurencyjne, takie jak plantator malin, może obliczyć wielkość produkcji, która zapewni mu najwyższy poziom zysku. Dla dowolnej wielkości produkcji utarg całkowity pomniejszony o koszt całkowity wyznacza wynik finansowy przedsiębiorstwa (zysk lub stratę). Jednym ze sposobów określenia najbardziej opłacalnej wielkości produkcji jest sprawdzenie, przy jakim wolumenie utarg całkowity przewyższa koszt całkowity o największą wartość. pokazuje utarg całkowity, koszt całkowity i zysk na podstawie danych z . Pionowa odległość między utargiem całkowitym a kosztem całkowitym to zysk. Na przykład, przy Q = 60 , TR = 240 i TC = 165 , różnica pomiędzy utargiem całkowitym i kosztem całkowitym wynosi 75, co jest wartością funkcji zysku dla tej wielkości produkcji. Firma nie osiąga zysku przy każdym poziomie produkcji. W naszym przykładzie koszty całkowite przekraczają utargi całkowite przy poziomach produkcji od 0 do mniej więcej 30, a więc w tym zakresie produkcji przedsiębiorstwo będzie ponosić straty. Przy wielkościach produkcji od 40 do 100 utargi całkowite przewyższają koszty całkowite, więc przedsiębiorstwo osiąga zyski. Natomiast przy każdej wielkości produkcji większej niż 100 całkowite koszty ponownie przekraczają całkowite utargi i przedsiębiorstwo notuje coraz większe straty. Zysk całkowity został zaprezentowany w ostatniej kolumnie . Maksymalny zysk występuje przy produkcji między 70 a 80 i wynosi 90 zł. Wyższa cena oznaczałaby, że utarg całkowity byłby większy dla każdego poziomu sprzedaży. Niższa cena oznaczałaby zaś, że utarg całkowity byłby mniejszy dla każdej wielkości sprzedaży. Co się stanie, jeśli cena spadnie na tyle, że linia utargu całkowitego znajdzie się poniżej krzywej kosztów całkowitych, czyli dla każdego poziomu produkcji łączne koszty będą wyższe niż utargi? W tym przypadku jedyne, co firma może zrobić, to zaakceptować straty. Jednak przedsiębiorstwo maksymalizujące zysk będzie preferować taką wielkość produkcji, dla której utarg całkowity jest najbliższy kosztom całkowitym, a zatem straty są najmniejsze. (W kolejnych podrozdziałach wskazane zostaną warunki, w których jedynym rozsądnym rozwiązaniem jest zamknięcie przedsiębiorstwa ponoszącego straty). Porównanie utargu krańcowego i kosztów krańcowych Analiza wykorzystująca utarg całkowity i koszt całkowity, którą opisaliśmy powyżej, nie jest jedynym sposobem określania poziomu produkcji maksymalizującego zysk. W tej sekcji przedstawiamy alternatywne podejście, które wykorzystuje utarg krańcowy i koszt krańcowy. Przedsiębiorstwa często nie mają niezbędnych danych, aby wyznaczyć krzywą kosztów całkowitych dla wszystkich poziomów produkcji. Nie mogą być pewne, jak wyglądałyby ich koszty całkowite, gdyby, powiedzmy, podwoiły produkcję lub zmniejszyły ją o połowę, ponieważ nigdy nie zdecydowały się na tak daleko idącą zmianę. Zamiast tego przedsiębiorstwa eksperymentują. Produkują nieco większą lub mniejszą ilość i obserwują, jak wpływa to na zyski. Z ekonomicznego punktu widzenia to praktyczne podejście do problemu maksymalizacji zysków oznacza zbadanie, w jaki sposób niewielkie zmiany produkcji wpływają na utarg krańcowy i koszt krańcowy. przedstawia krzywe utargu krańcowego i kosztu krańcowego w oparciu o wartości przychodu całkowitego i kosztu całkowitego z . Krzywa utargu krańcowego (ang. marginal revenue ) przedstawia dodatkowy przychód uzyskany ze sprzedaży kolejnego dobra lub usługi. Jak wspomniano wcześniej, przedsiębiorstwo doskonale konkurencyjne ma do czynienia z doskonale elastyczną krzywą popytu na swój produkt – co oznacza, że krzywa popytu przedsiębiorstwa jest linią poziomą leżącą na wysokości ceny rynkowej. Oznacza to również, że krzywa utargu krańcowego przedsiębiorstwa pokrywa się z linią jego popytu: za każdym razem, gdy konsument chce nabyć dodatkową jednostkę produkcji, przedsiębiorstwo sprzedaje ją po cenie rynkowej, zaś przychód wzrasta o stałą kwotę równą tej cenie. W naszym przykładzie za każdym razem, gdy przedsiębiorstwo sprzedaje opakowanie mrożonych malin, utarg rośnie o 4 zł. Wartości (w zł) przychodu całkowitego i przychodu krańcowego plantatora malin prezentuje . Powyższa zależność między utargiem krańcowym a ceną dotyczy tylko przedsiębiorstw działających w warunkach konkurencji doskonałej i będących biorcami cen, dla których: utarg krańcowy = cena Wzór na utarg krańcowy: utarg krańcowy = zmiana utargu całkowitego zmiana ilości Wartości przychodu całkowitego i przychodu krańcowego plantatora malin (kwoty w zł) Cena (P) Liczba opakowań malin (Q) Utarg całkowity Utarg krańcowy 4 1 4 – 4 2 8 4 4 3 12 4 4 4 16 4 Zauważ, że utarg krańcowy nie zmienia się, gdy firma produkuje więcej. Dzieje się tak, ponieważ w warunkach doskonałej konkurencji cena jest określana przez rynkowe podaż i popyt. Cena nie zmienia się, gdy plantator zwiększa produkcję i sprzedaż (przy założeniu, że ze względu na stosunkowo niewielki rozmiar tej i innych firm produkujących mrożone maliny zwiększenie jej podaży nie ma wpływu na całkowitą podaż na rynku, na którym ustalana jest cena). Ponieważ przedsiębiorstwo doskonale konkurencyjne jest biorcą ceny (cenobiorcą) może sprzedawać dowolną ilość po cenie ustalonej na rynku. Koszt krańcowy ( marginal cost ), czyli koszt dodatkowej sprzedanej jednostki, obliczamy, dzieląc zmianę kosztu całkowitego przez zmianę ilości. Wzór na koszt krańcowy jest następujący: koszt krańcowy = zmiana kosztu całkowitego zmiana ilości W przykładzie z producentem malin z , i koszt krańcowy na początku spada wraz ze wzrostem produkcji z 10 do 20, a później również 30 i 40 opakowań malin – jest to odzwierciedleniem rosnących przychodów krańcowych, co nie jest rzadkością przy niskich poziomach produkcji. Jednak w pewnym momencie koszty krańcowe zaczynają rosnąć, co znów odzwierciedla dość typową zależność związaną z malejącymi przychodami krańcowymi wraz ze wzrostem produkcji powyżej pewnego poziomu. Jeśli przedsiębiorstwo produkuje ilość, dla której MR > MC , np. 40 lub 50 opakowań malin, może zwiększyć zysk poprzez zwiększenie produkcji, ponieważ utarg krańcowy przekracza wówczas koszt krańcowy. Jeśli przedsiębiorstwo produkuje ilość, dla której MC > MR , np. 90 lub 100 opakowań, może zwiększyć zysk poprzez zmniejszenie produkcji, ponieważ spadek kosztu krańcowego będzie większy niż spadek utargu krańcowego. Wielkość produkcji maksymalizująca zysk występuje, gdy MR = MC (lub blisko tego punktu). Utargi krańcowe i koszty krańcowe producenta malin: pojedyncze przedsiębiorstwo Dla przedsiębiorstwa doskonale konkurencyjnego krzywa utargu krańcowego (MR) jest linią poziomą, ponieważ utarg krańcowy jest równy cenie dobra określonej przez rynek, jak pokazuje . Krzywa kosztu krańcowego (MC) może być początkowo nachylona w dół, jeśli dla niewielkich rozmiarów produkcji przychody krańcowe rosną, ale wraz ze wzrostem wolumenu produkcji uzyskuje dodatnie nachylenie, co odzwierciedla malejące przychody krańcowe. Utargi krańcowe i koszty krańcowe producenta malin: cały rynek Cena równowagi na rynku malin jest określana poprzez interakcję podaży i popytu i wynosi 4 zł. Utargi krańcowe i koszty krańcowe producenta malin (wartości kosztów, utargów i zysku w zł) Liczba opakowań malin (Q) Koszt całkowity (TC) Koszt krańcowy (MC) Utarg całkowity (TR) Utarg krańcowy (MR) Zysk 0 62 – 0 0 – 62 10 90 2.80 40 4 – 50 20 110 2.00 80 4 – 30 30 126 1.60 120 4 – 6 40 138 1.20 160 4 22 50 150 1.20 200 4 50 60 165 1.50 240 4 75 70 190 2.50 280 4 90 80 230 4.00 320 4 90 90 296 6.60 360 4 64 100 400 10.40 400 4 0 110 550 15.00 440 4 – 110 120 715 16.50 480 4 – 235 W niniejszym przykładzie krzywe przychodu krańcowego i kosztu krańcowego (ang. marginal cost ) przecinają się przy cenie 4 zł i produkcji na poziomie 80 opakowań. Gdyby nasz plantator zaczął od produkcji na poziomie 60 opakowań, a następnie eksperymentował ze zwiększeniem produkcji do 70, utarg krańcowy związany ze wzrostem produkcji i sprzedaży przewyższyłby koszt krańcowy – a więc zysk by się zwiększył. Plantator malin miałby zatem motywację do rozwijania produkcji. Przy poziomie produkcji równym 80 koszt krańcowy i utarg krańcowy są sobie równe, więc wzrost produkcji do tego poziomu nie wpływa na wielkość zysku, jest on taki sam jak dla produkcji na poziomie 70 opakowań. Gdyby jednak nasz przedsiębiorca dalej eksperymentował ze zwiększaniem produkcji z 80 do 90 opakowań, zauważyłby, że koszty krańcowe wzrostu produkcji są większe niż utargi krańcowe, a więc zyski spadają. Punkt maksymalizacji zysku dla przedsiębiorstwa doskonale konkurencyjnego występuje przy poziomie produkcji, dla którego utarg krańcowy jest równy kosztowi krańcowemu, tzn. gdy MR = MC . Na wykresie takim poziomem produkcji jest Q = 80 . Czy zysk jest maksymalny dla określonego poziomu, czy dla przedziału produkcji? wskazuje, że maksymalny zysk występuje dla każdego poziomu produkcji pomiędzy 70 a 80 opakowaniami. Ale MR = MC występuje tylko przy produkcji na poziomie 80 opakowań. Jak możemy wyjaśnić tę niewielką rozbieżność? Dopóki MR > MC , firma nastawiona na zysk powinna zwiększać produkcję. Natomiast rozszerzenie produkcji o strefę, w której MR < MC zmniejsza zyski ekonomiczne. To prawda, że zysk jest taki sam przy Q = 70 i Q = 80 , ale dopiero przekroczenie poziomu 80 opakowań prowadzi do spadku zysków. Tak więc MR = MC jest sygnałem do zaprzestania dalszego wzrostu produkcji, traktujemy go zatem jako pożądany poziom produkcji przedsiębiorstwa. Ponieważ utarg krańcowy przedsiębiorstwa doskonale konkurencyjnego jest równy cenie rynkowej (P), warunek maksymalizacji zysku dla przedsiębiorstwa doskonale konkurencyjnego możemy również określić jako konieczność wytwarzania wielkości produkcji, dla której P = MC . Obliczanie zysków i strat na podstawie krzywej kosztów przeciętnych Czy produkcja na poziomie, który zrównuje utarg krańcowy i koszt krańcowy (zgodnie z warunkiem MR = MC ), faktycznie prowadzi do osiągnięcia zysku ekonomicznego? Odpowiedź zależy od relacji ceny do przeciętnego kosztu całkowitego, czyli od zysku przeciętnego albo inaczej marży zysku (ang. profit margin ). Jeśli cena rynkowa jest wyższa niż przeciętny koszt produkcji dla danego wolumenu, wówczas marża zysku jest dodatnia i przedsiębiorstwo osiąga zysk. Natomiast jeśli cena rynkowa jest niższa niż przeciętny koszt produkcji, marża zysku jest ujemna i przedsiębiorstwo ponosi straty. Możesz pomyśleć, że w tej sytuacji przedsiębiorstwo będzie chciało natychmiast zakończyć działalności. Pamiętaj jednak, że firma poniosła już koszty stałe, takie jak zakup wyposażenia, więc może jeszcze przez jakiś czas produkować mimo ponoszonych strat. ponownie przedstawia przykład producenta malin. przedstawia trzy położenia, w jakich znaleźć się może to przedsiębiorstwo: (a) cena przecina się z kosztem krańcowym na poziomie wyższym od kosztu przeciętnego, (b) cena przecina się z kosztem krańcowym na poziomie równym kosztowi przeciętnemu oraz (c) cena przecina się z kosztem krańcowym na poziomie niższym od kosztu przeciętnego. Cena i koszt przeciętny producenta malin Na panelu (a) cena przecina koszt krańcowy powyżej krzywej kosztu przeciętnego. Ponieważ cena jest wyższa niż koszt przeciętny, przedsiębiorstwo osiąga zysk. Na panelu (b) cena przecina koszt krańcowy w punkcie minimum krzywej kosztu przeciętnego. Ponieważ cena jest równa kosztowi przeciętnemu, przedsiębiorstwo osiąga próg rentowności (nie ma zysków ekonomicznych). Na panelu (c) cena przecina koszt krańcowy poniżej krzywej kosztu przeciętnego. Ponieważ cena jest niższa niż koszt przeciętny, przedsiębiorstwo ponosi stratę. Rozważmy sytuację, w której cena wynosi 5 zł za opakowanie mrożonych malin. Regułą pozwalającą na maksymalizację zysku dla przedsiębiorstwa doskonale konkurencyjnego jest wytwarzanie takiego poziomu produkcji, dla którego Cena = MR = MC , a więc producent malin wyprodukuje ok. 85 opakowań, co jest oznaczone jako punkt E' na (a). Pamiętając, że powierzchnia prostokąta jest równa jego podstawie pomnożonej przez wysokość, utarg całkowity plantatora jest zatem równy polu prostokąta wyznaczonego przez połączenie początku układu współrzędnych, wielkości produkcji na poziomie 85 opakowań malin (podstawa), punktu E' (wysokość), ceny równej 5 zł i znów początku układu współrzędnych. Koszt przeciętny wyprodukowania 85 opakowań jest wyznaczony przez punkt C' i wynosi ok. 3,50 zł. Koszt całkowity jest równy produkcji na poziomie 85 opakowań pomnożonej przez koszt przeciętny równy 3,50 zł, co odzwierciedla pole prostokąta wyznaczonego przez połączenie początku układu współrzędnych, wielkości produkcji na poziomie 85 opakowań, punktu C', wartości kosztu przeciętnego (3,5 zł) odłożonej na osi pionowej i znów początku układu współrzędnych. Różnica między utargiem całkowitym a kosztem całkowitym to zysk. Tak więc zysk jest równy polu niebieskiego prostokąta. Obliczenia: zysk = utarg całkowity – koszt całkowity = 85 × 5,00 – 85 × 3,50 = 127,50 [zł] Możemy to także obliczyć w następujący sposób: zysk = (cena – koszt przeciętny) × ilość = 5,00 – 3,50 × 85 = 127,50 [zł] Rozważmy teraz (b), na którym cena spadła do 2,75 zł za opakowanie mrożonych malin. Przedsiębiorstwo doskonale konkurencyjne ponownie wybierze wielkość produkcji zgodnie z warunkiem: Cena = MR = MC , więc wyprodukowana ilość wyniesie 75. Przy tym poziomie ceny i wielkości produkcji krzywa kosztu krańcowego przecina się z krzywą kosztu przeciętnego, a cena otrzymywana przez przedsiębiorstwo jest dokładnie równa przeciętnemu kosztowi produkcji. Nazywamy to progiem rentowności (ang. break even point ). Utarg całkowity przedsiębiorstwa przy tej cenie jest równy polu prostokąta wyznaczonego przez połączenie początku układu współrzędnych, produkcji na poziomie 75 opakowań (podstawa), punktu E (wysokość), ceny na poziomie 2,75 i ponownie początku układu współrzędnych. Wartość funkcji kosztu przeciętnego odpowiadająca ilości Q = 75 , czyli punkt E, pokazuje koszt przeciętny wytworzenia danego wolumenu produkcji. Koszt całkowity jest równy ilości 75 pomnożonej przez koszt przeciętny na poziomie 2,75 zł, co jest pokazane jako pole prostokąta wyznaczonego przez połączenie początku układu współrzędnych, produkcji na poziomie 75, punktu E, wartości kosztu przeciętnego odłożonej na osi pionowej i ponownie początku układu współrzędnych. Jak widać, prostokąty określające utarg całkowity i koszt całkowity są takie same. Przedsiębiorstwo osiąga zatem zerowy zysk. Obliczenia są następujące: zysk = utarg całkowity – koszt całkowity = 75 × 2,75 – 75 × 2,75 = 0 [zł] Możemy to także obliczyć jako: zysk = (cena – koszt przeciętny) × ilość = (2,75 – 2,75) × 75 = 0 [zł] Na (c) cena rynkowa spadła jeszcze bardziej, do 2 zł za opakowanie mrożonych malin. Przy tej cenie utarg krańcowy przecina się z kosztem krańcowym przy produkcji równej 65. Utarg całkowity przedsiębiorstwa jest równy polu prostokąta wyznaczonego przez połączenie początku układu współrzędnych, produkcji na poziomie 65 opakowań (podstawa), punktu E” (wysokość), ceny 2 zł i ponownie początku układu współrzędnych. Koszt przeciętny wyprodukowania 65 opakowań jest oznaczony jako C” i wynosi ok. 2,73 zł. Całkowite koszty będą równe produkcji na poziomie 65 pomnożonej przez koszt przeciętny 2,73 zł, co ilustruje pole prostokąta wyznaczonego przez połączenie początku układu współrzędnych, produkcji na poziomie 65, punktu C”, wartości kosztu przeciętnego odłożonej na osi pionowej i ponownie początku układu współrzędnych. Porównując pola tych dwóch prostokątów, zauważymy, że utarg całkowity jest mniejszy niż koszt całkowity. A zatem, przedsiębiorstwo traci pieniądze, a strata (ujemny zysk) jest równa polu różowego prostokąta. Obliczenia są następujące: zysk = (utarg całkowity – koszt całkowity) = 65 × 2,00 – 65 × 2,73 = –47,45 [zł] lub: zysk = (cena – koszt przeciętny) × ilość = (2,00 – 2,73) × 65 = –47,45 [zł] Jeśli cena rynkowa, którą posługuje się firma doskonale konkurencyjna, wskazuje na wielkość produkcji, dla której koszt przeciętny jest niższy od tej ceny, przedsiębiorstwo osiągnie zyski. Natomiast jeśli cena rynkowa determinuje wytwarzanie wolumenu produkcji, dla którego koszt przeciętny jest równy cenie, co ma miejsce w punkcie minimum krzywej AC, przedsiębiorstwo zanotuje zerowe zyski. Wreszcie jeśli cena wskazuje na poziom produkcji, dla którego koszt przeciętny jest wyższy od tej ceny, przedsiębiorstwo poniesie straty. podsumowuje powyższe konstatacje. Jeżeli wówczas Cena > ATC przedsiębiorstwo osiąga zysk ekonomiczny Cena = ATC przedsiębiorstwo wykazuje zerowy zysk ekonomiczny (zysk normalny) Cena < ATC przedsiębiorstwo notuje stratę Który punkt przecięcia powinno wybrać przedsiębiorstwo? Przy cenie 2 zł za opakowanie mrożonych malin krzywa MR przecina wykres MC w dwóch punktach: Q = 20 i Q = 65 . Przedsiębiorstwom nigdy nie opłaca się wybierać poziomu produkcji na opadającej części krzywej kosztu krańcowego, ponieważ zysk jest wtedy niższy (strata jest większa) niż w sytuacji, w której produkcja byłaby większa. Jeśli koszt krańcowy maleje wraz ze wzrostem produkcji, a cena pozostaje na stałym poziomie, wówczas na pewno opłaca się zwiększać wolumen produkcji. Pojawi się bowiem nadwyżka ceny nad kosztem krańcowym, która pozwoli na wypracowanie zysku albo przynajmniej zmniejszenie straty. Stąd, prawidłowy wybór wielkości produkcji to Q = 65 . Cena zamknięcia Sytuacja, w której przedsiębiorstwo notuje straty, automatycznie nasuwa pytanie o to, czy nie powinno wstrzymać produkcji i w ten sposób uniknąć ich ponoszenia. Aby zrozumieć, dlaczego zakończenie działalności wcale nie musi być najkorzystniejszą opcją, powinniśmy sobie uświadomić, że wstrzymanie produkcji wprawdzie zredukuje koszty zmienne do zera, ale w krótkim okresie przedsiębiorstwo i tak nie uniknie kosztów stałych. Oznacza to, że nawet jeśli firma wytworzy zerową wielkość produkcji, wciąż będzie generować straty, ponieważ nadal będzie musiała opłacać koszty stałe. Jako przykład rozważmy sytuację Klubu dla Mam, który podpisał umowę z Centrum Handlowym na wynajem powierzchni za 10 000 zł miesięcznie. Jeśli firma zdecyduje się działać, jej koszty krańcowe związane z zatrudnieniem opiekunek dla dzieci wyniosą 15 000 zł miesięcznie. Jeśli to mikroprzedsiębiorstwo zostanie zamknięte, nadal będzie musiało opłacać czynsz, ale nie będzie wypłacać pensji pracownikom. przedstawia trzy możliwe scenariusze. W pierwszym z nich Klub dla Mam nie ma żadnych klientów, a zatem nie osiąga żadnych utargów. W takim przypadku ponosi straty w wysokości 10 000 zł równe kosztom stałym. W drugim scenariuszu klub ma klientów, którzy przynoszą utarg w kwocie 10 000 zł miesięcznie. Ostatecznie zatem firma ponosi stratę w wysokości 15 000 zł z powodu konieczności zatrudniania opiekunek zajmujących się maluchami. W trzecim scenariuszu Klub dla Mam osiąga utarg w wysokości 20 000 zł miesięcznie, czyli ponosi stratę w wysokości 5000 zł. We wszystkich trzech przypadkach Klub dla Mam osiąga stratę. A zatem w długim okresie, po tym, jak umowa najmu wygaśnie (i przy założeniu, że utargi nie wzrosną), firma powinna wstrzymać działalność. Jednak w krótkim okresie decyzje mogą być inne w zależności od wielkości strat i tego, czy firma jest w stanie zarobić na koszty zmienne. W scenariuszu pierwszym firma nie ma żadnych utargów, więc zatrudnienie opiekunek oznaczałoby pojawienie się kosztów zmiennych i powiększyłoby stratę. Firma powinna zatem zostać zamknięta i pokrywać tylko koszty stałe. W scenariuszu drugim kontynuowanie działalności również powiększałoby stratę, ponieważ przedsiębiorstwo nie generuje wystarczających utargów, aby pokryć wynikające z jego funkcjonowania koszty zmienne. Powinno więc natychmiast zostać zamknięte i ponosić tylko koszty stałe. Jeśli cena jest poniżej minimum przeciętnego kosztu zmiennego, firma musi zostać zamknięta nawet w krótkim okresie. Natomiast w scenariuszu trzecim utarg Klubu dla Mam jest na tyle wysoki, że strata zmniejsza się przy utrzymywaniu działalności, więc w krótkim okresie firma powinna funkcjonować. Czy Klub dla Mam powinien zostać zamknięty od razu, czy też dopiero po wygaśnięciu umowy najmu powierzchni (wszystkie kwoty wyrażone są w zł)? Scenariusz 1 Jeśli Klub zostanie zamknięty od razu, utarg wyniesie zero, przedsiębiorstwo nie będzie ponosić żadnych kosztów zmiennych, ale musi opłacać koszty stałe w wysokości 10 000 zł. zysk = utarg całkowity – (koszty stałe + koszty zmienne) = 0 – 10 000 = –10 000 Scenariusz 2 Klub dla Mam uzyskuje utarg 10 000 zł i ponosi koszty zmienne w kwocie 15 000 zł. Klub powinien zostać zamknięty od razu. zysk = utarg całkowity – (koszty stałe + koszty zmienne) = 10 000 – (10 000 + 15 000) = –15 000 Scenariusz 3 Klub dla Mam uzyskuje utarg w wysokości 20 000 zł i ponosi koszty zmienne w kwocie 15 000 zł. Klub powinien kontynuować działalność. zysk = utarg całkowity – (koszty stałe + koszty zmienne) = 20 000 – (10 000 + 15 000) = –5 000 Wróćmy do przykładu związanego z produkcją i sprzedażą malin. wskazuje, że kontynuowanie produkcji w krótkim okresie jest uzasadnione tylko wtedy, gdy cena przekracza przeciętny koszt zmienny. Jeżeli przedsiębiorstwo działa poniżej progu rentowności, w którym cena równa się kosztowi przeciętnemu, ponosi stratę, więc stoi przed dwiema możliwościami: kontynuować produkcję ze stratą lub wstrzymać działalność. Która opcja jest lepsza? Oczywiście ta, przy której strata pieniędzy jest najmniejsza. Przy cenie 2 zł za opakowanie malin, jak pokazuje (a), jeśli przedsiębiorstwo zdecyduje się działać, będzie produkować 65 opakowań malin i poniesie stratę w wysokości 47,45 zł (jak zostało to wyjaśnione w poprzedniej sekcji). Alternatywą byłoby wstrzymanie działalności i poniesienie straty równej kosztom stałym w wysokości 62 zł. Ponieważ strata w wysokości 47,45 zł jest w oczywisty sposób mniejsza niż strata w kwocie 62 zł, wybór maksymalizujący zysk (lub, jak w tym przypadku, minimalizujący stratę) polega na kontynuowaniu produkcji. Kluczowe jest to, że cena przewyższa przeciętne koszty zmienne. A zatem przy obecnej cenie przedsiębiorstwo jest w stanie pokryć wszystkie swoje koszty zmienne, a utarg wystarcza jeszcze na pokrycie części kosztów stałych. Tak więc strata jest równa tylko części kosztów stałych, których przedsiębiorstwo nie jest w stanie w całości opłacić, co jest rzecz jasna mniejszą kwotą niż łączna suma kosztów stałych. Gdyby jednak cena spadła do 1,50 zł za opakowanie, jak pokazuje (b) i gdyby firma zastosowała zasadę P = MR = MC , to wyprodukowałaby ilość równą 60. Cena jest jednak wówczas na poziomie niższym od przeciętnego kosztu zmiennego. Jeśli przedsiębiorstwo nie jest w stanie pokryć płac swoich pracowników (koszty zmienne) dzięki wypracowanemu utargowi, to musi zostać zamknięte. Przy tej cenie i poziomie produkcji utarg całkowity byłby równy 90 zł (ilość 60 pomnożona przez cenę 1,50 zł), a koszt całkowity wyniósłby 165 zł, prowadząc do strat w wysokości 75 zł. Jeśli przedsiębiorstwo zostanie zamknięte, musi opłacić tylko koszty stałe w kwocie 62 zł, więc wstrzymanie działalności jest lepszym rozwiązaniem niż sprzedawanie malin po cenie 1,50 zł za opakowanie. Cena zamknięcia dla producenta malin Na panelu (a) przedsiębiorstwo produkuje 65 sztuk. Ponosi stratę w wysokości 47,50 zł, ale cena znajduje się powyżej przeciętnego kosztu zmiennego, więc firma kontynuuje działalność. Na panelu (b) utarg całkowity wynosi 90 zł, a koszt całkowity 165 zł, co daje łączne straty w wysokości 75 zł. Jeśli przedsiębiorstwo zostanie zamknięte, musi opłacić tylko koszty stałe w wysokości 62 zł. Wstrzymanie działalności jest zatem lepszym rozwiązaniem niż sprzedaż po cenie 1,50 zł za opakowanie. Z wynika, że jeśli cena spadnie poniżej poziomu równego ok. 1,65 zł, czyli minimum przeciętnego kosztu zmiennego, przedsiębiorstwo musi wstrzymać działalność. Koszty produkcji ponoszone przez producenta malin (w zł) Liczba opakowań malin (Q) Przeciętny koszt zmienny (SAVC) Przeciętny koszt całkowity (SATC) Koszt krańcowy (SMC) 0 – – – 10 2,80 9,00 2,80 20 2,40 5,50 2,00 30 2,13 4,20 1,60 40 1,90 3,45 1,20 50 1,76 3,00 1,20 60 1,72 2,75 1,50 70 1,83 2,71 2,50 80 2,10 2,88 4,00 90 2,60 3,29 6,60 100 3,38 4,00 10,40 110 4,44 5,00 15,00 120 5,44 5,96 31,50 Punkt przecięcia krzywej przeciętnego kosztu zmiennego i krzywej kosztu krańcowego wskazujący cenę, poniżej której przedsiębiorstwo nie miałoby wystarczających utargów, aby pokryć swoje koszty zmienne, nazywa się ceną zamknięcia (ang. shutdown point ) Jeśli przedsiębiorstwo doskonale konkurencyjne napotyka na cenę rynkową na poziomie wyższym od ceny zamknięcia, to pokrywa z nawiązką swoje koszty zmienne. Przy cenie wyższej od ceny zamknięcia firma osiąga również wystarczający utarg, aby pokryć przynajmniej część kosztów stałych, więc powinna produkować, nawet jeśli ponosi stratę w krótkim okresie, ponieważ ta strata będzie mniejsza niż całkowity koszt stały. Jeśli jednak przedsiębiorstwo napotyka na cenę niższą od ceny zamknięcia, to nie pokrywa nawet swoich kosztów zmiennych. W tym przypadku kontynuowanie produkcji prowadzi do jeszcze większych strat i przedsiębiorstwo powinno natychmiast zaprzestać działalności. Podsumowując, jeżeli: cena < minimalny krótkookresowy przeciętny koszt zmienny, to przedsiębiorstwo wstrzymuje produkcję w krótkim okresie cena > minimalny krótkookresowy przeciętny koszt zmienny, to przedsiębiorstwo kontynuuje produkcję w krótkim okresie Krótkookresowe wyniki przedsiębiorstw doskonale konkurencyjnych Krzywe kosztu przeciętnego i przeciętnego kosztu zmiennego dzielą krzywą kosztu krańcowego na trzy segmenty jak obrazuje to . Przy danej cenie rynkowej doskonale konkurencyjne przedsiębiorstwo maksymalizujące zysk wybiera poziom produkcji, dla którego cena i utarg krańcowy (czyli te same wielkości dla firmy działającej w ramach konkurencji doskonałej) są równe kosztowi krańcowemu: P = MR = SMC . Zysk, strata, wstrzymanie działalności Krzywą kosztu krańcowego możemy podzielić na trzy segmenty w zależności od punktów jej przecięcia z krzywymi kosztu przeciętnego i kosztu zmiennego. Punkt, w którym SMC przecina SATC, nazywamy progiem rentowności. Jeśli przedsiębiorstwo napotyka na cenę rynkową, która jest na poziomie wyższym niż próg rentowności, to jest też ona wyższa niż koszt przeciętny i przedsiębiorstwo notuje zyski ekonomiczne. Jeśli cena znajduje się dokładnie na wysokości progu rentowności, przedsiębiorstwo osiąga zerowy zysk ekonomiczny. Jeśli cena spadnie do strefy pomiędzy ceną zamknięcia a progiem rentowności, przedsiębiorstwo ponosi stratę, ale powinno kontynuować działalność w krótkim okresie, ponieważ pokrywa nie tylko swoje koszty zmienne, lecz również część kosztów stałych. Jeśli cena spadnie poniżej poziomu ceny zamknięcia, przedsiębiorstwo powinno wstrzymać produkcję, jako że nie pokrywa nawet kosztów zmiennych. Najpierw rozważmy sytuację w segmencie położonym najwyżej na krzywej kosztu krańcowego, gdzie ceny są wyższe od progu rentowności, w którym koszt krańcowy (SMC) przecina się z kosztem przeciętnym (SATC). Przy każdej cenie powyżej tego punktu przedsiębiorstwo osiąga dodatni zysk w krótkim okresie. Jeśli cena spadnie dokładnie do poziomu odpowiadającemu progowi rentowności, gdzie przecinają się krzywe SMC i SATC, przedsiębiorstwo osiąga zerowy zysk ekonomiczny. Jeśli cena znajdzie się w strefie pomiędzy progiem rentowności, gdzie SMC przecina SATC, a ceną zamknięcia, gdzie SMC przecina SAVC, przedsiębiorstwo ponosi stratę w krótkim okresie, ale ponieważ utarg przedsiębiorstwa pokrywa nie tylko koszty zmienne, ale też część kosztów stałych, strata jest mniejsza niż w przypadku natychmiastowego zamknięcia firmy. Na koniec rozważmy cenę na poziomie równym lub niższym od ceny zamknięcia, gdzie SMC przecina SAVC. Przy każdej cenie z tego przedziału przedsiębiorstwo powinno natychmiast wstrzymać działalność, ponieważ nie jest w stanie pokryć nawet swoich kosztów zmiennych. Przy cenie zamknięcia utarg pokrywa w całości koszty zmienne, więc z punktu widzenia przedsiębiorstwa nie ma znaczenia, czy zostanie zamknięte, czy będzie produkować, gdyż w obu przypadkach strata będzie równa kosztom stałym. Koszt krańcowy i krzywa podaży przedsiębiorstwa Krzywa podaży przedsiębiorstwa doskonale konkurencyjnego to krzywa jego kosztów krańcowych powyżej punktu minimum przeciętnego kosztu zmiennego. Aby zrozumieć, dlaczego to zaskakujące spostrzeżenie jest prawdziwe, zastanów się, jaką zależność ilustruje w istocie krzywa podaży. Przedsiębiorstwo sprawdza cenę rynkową, a następnie patrzy na swoją krzywą podaży, aby zdecydować, jaką ilość wyprodukować. Teraz zastanów się, co to znaczy, że przedsiębiorstwo maksymalizuje swoje zyski, produkując ilość, dla której P = SMC . Ta reguła oznacza, że przedsiębiorstwo sprawdza cenę rynkową, a następnie patrzy na swój koszt krańcowy, aby określić wielkość produkcji, i upewnia się, że cena jest większa od minimalnego przeciętnego kosztu zmiennego. A zatem krzywa kosztu krańcowego powyżej punktu minimum na krzywej przeciętnego kosztu zmiennego jest krzywą podaży przedsiębiorstwa. Obejrzyj ten film , który pokazuje, jak susza w Stanach Zjednoczonych może wpływać na ceny żywności na całym świecie. Jak to stwierdziliśmy w , najważniejszymi czynnikami, które powodują przesunięcie krzywych podaży, są zmiany kosztów wytwarzania. Na przykład niższa cena kluczowych czynników wytwórczych lub nowe technologie obniżające koszty produkcji powodują przesunięcie krzywej podaży w prawo. Z kolei złe warunki atmosferyczne lub dodatkowe regulacje państwa mogą zwiększyć koszty wytwarzania niektórych towarów w sposób powodujący przesunięcie krzywej podaży w lewo. Możemy również interpretować przesunięcia krzywej podaży przedsiębiorstwa jako przesunięcia krzywej kosztów krańcowych. Zmiana kosztów produkcji, która zwiększa koszty krańcowe dla wszystkich poziomów produkcji – przesuwając wykres SMC w górę i w lewo – powoduje, że doskonale konkurencyjne przedsiębiorstwo będzie produkować mniej przy danej cenie rynkowej. I odwrotnie, zmiana kosztów produkcji, która zmniejsza koszty krańcowe dla każdego poziomu produkcji, powoduje przesunięcie wykresu SMC w dół i w prawo, w wyniku czego przedsiębiorstwo doskonale konkurencyjne zdecyduje się zwiększyć produkcję przy każdym poziomie ceny. Poniższa przedstawia odpowiedni przykład liczbowy. Przy jakiej cenie przedsiębiorstwo powinno kontynuować produkcję w krótkim okresie? Aby określić krótkookresową sytuację przedsiębiorstwa działającego w warunkach konkurencji doskonałej, wykonaj czynności opisane poniżej. Użyj danych z . Q P FC VC TC SAVC SATC SMC TR Zysk 0 28 20 0 - - - - - - 1 28 20 20 - - - - - - 2 28 20 25 - - - - - - 3 28 20 35 - - - - - - 4 28 20 52 - - - - - - 5 28 20 80 - - - - - - Krok 1. Określ strukturę kosztów przedsiębiorstwa. Dla danych całkowitych kosztów stałych i zmiennych oblicz koszt całkowity, przeciętny koszt zmienny, przeciętny koszt całkowity i koszt krańcowy. Postępuj zgodnie ze wzorami podanymi w . Obliczenia znajdują się w . Q P FC VC TC (FC + VC) SAVC (VC/Q) SATC (TC/Q) SMC (TC 2 − TC 1 )/(Q 2 − Q 1 ) 0 28 20 0 20 + 0 = 20 - - - 1 28 20 20 20 + 20 = 40 20/1 = 20,00 40/1 = 40,00 (40 − 20)/(1 − 0) = 20 2 28 20 25 20 + 25 = 45 25/2 = 12,50 45/2 = 22,50 (45 − 40)/(2 − 1) = 5 3 28 20 35 20 + 35 = 55 35/3 = 11,67 55/3 = 18,33 (55 − 45)/(3 − 2) = 10 4 28 20 52 20 + 52 = 72 52/4 = 13,00 72/4 = 18,00 (72 − 55)/(4 − 3) = 17 5 28 20 80 20 + 80 = 100 80/5 = 16,00 100/5 = 20,00 (100 − 72)/(5 − 4) = 28 Krok 2. Określ cenę rynkową, jaką przedsiębiorstwo otrzymuje za swój produkt. Ponieważ przedsiębiorstwo w konkurencji doskonałej jest biorcą ceny, cena rynkowa jest stała. Przy danej cenie oblicz utarg całkowity jako iloczyn ceny i ilości dla wszystkich poziomów produkcji. W naszym przykładzie cena wynosi 28 zł. Widać to w drugiej kolumnie . Ilość Cena Utarg całkowity (P × Q) 0 28 28 × 0 = 0 1 28 28 × 1 = 28 2 28 28 × 2 = 56 3 28 28 × 3 = 84 4 28 28 × 4 = 112 5 28 28 × 5 = 140 Krok 3. Oblicz zysk jako utarg całkowity pomniejszony o koszt całkowity co jest pokazane w . Ilość Utarg całkowity Koszt całkowity Zysk (TR−TC) 0 0 20 0 − 20 = −20 1 28 40 28 − 40 = −12 2 56 45 56 − 45 = 11 3 84 55 84 − 55 = 29 4 112 72 112 − 72 = 40 5 140 100 140 − 100 = 40 Krok 4. Aby znaleźć poziom produkcji maksymalizujący zysk, spójrz na kolumnę „Koszt krańcowy” (jak pokazuje ) i określ, dla jakiego poziomu produkcji koszt krańcowy jest równy cenie rynkowej. Wolumen produkcji, dla którego cena równa się kosztowi krańcowemu, to właśnie poziom maksymalizujący zysk. Q P FC VC TC SAVC SATC SMC TR Zysk 0 28 20 0 20 - - - 0 −20 1 28 20 20 40 20,00 40,00 20 28 −12 2 28 20 25 45 12,50 22,50 5 56 11 3 28 20 35 55 11,67 18,33 10 84 29 4 28 20 52 72 13,00 18,00 17 112 40 5 28 20 80 100 16,00 20,00 28 140 40 Krok 5. Po ustaleniu poziomu produkcji maksymalizującego zysk (w naszym przypadku produkcja równa 5) możesz spojrzeć na wielkość osiąganych zysków (w naszym przypadku 40 zł). Krok 6. Jeśli przedsiębiorstwo ponosi stratę, musi ustalić, czy ma kontynuować produkcję, dla której cena równa się utargowi krańcowemu i kosztowi krańcowemu, czy też wstrzymać działalność i ponosić tylko koszty stałe. Krok 7. Sprawdź, czy dla poziomu produkcji, dla którego utarg krańcowy jest równy kosztowi krańcowemu, cena rynkowa jest większa niż przeciętny koszt zmienny wytworzenia tej wielkości produkcji. Jeżeli P > SAVC i jednocześnie P < SATC , przedsiębiorstwo kontynuuje produkcję w krótkim okresie, ponosząc stratę ekonomiczną. Jeżeli P < SAVC , przedsiębiorstwo przestaje produkować i ponosi jedynie koszty stałe. W naszym przykładzie cena 28 zł jest wyższa niż przeciętny koszt zmienny wytworzenia 5 jednostek (16 zł), więc przedsiębiorstwo kontynuuje produkcję. Kluczowe pojęcia i podsumowanie Gdy przedsiębiorstwo doskonale konkurencyjne zwiększa produkcję, jego utarg całkowity systematycznie rośnie w stałym tempie określonym przez cenę rynkową. Zyski będą największe (lub straty najmniejsze) przy wielkości produkcji, dla której różnica między utargiem całkowitym a kosztem całkowitym jest największa (a gdy utargi są niższe niż koszty – gdy ta różnica jest najmniejsza). Alternatywnie zysk będzie największy, gdy utarg krańcowy, czyli cena dla przedsiębiorstwa doskonale konkurencyjnego, jest równy kosztowi krańcowemu. Jeśli cena rynkowa, którą napotyka przedsiębiorstwo doskonale konkurencyjne, jest wyższa niż koszt przeciętny dla wielkości produkcji maksymalizującej zysk, wówczas przedsiębiorstwo osiąga zysk. Jeśli cena rynkowa znajduje się poniżej kosztu przeciętnego dla wielkości produkcji maksymalizującej zysk, przedsiębiorstwo ponosi stratę. Jeśli cena rynkowa jest równa kosztowi przeciętnemu dla wielkości produkcji maksymalizującej zysk, przedsiębiorstwo osiąga zerowy zysk ekonomiczny. Punkt, w którym krzywa kosztu krańcowego przecina krzywą kosztu przeciętnego w minimum krzywej kosztu przeciętnego, nazywamy progiem rentowności. Jeśli cena rynkowa, którą napotyka przedsiębiorstwo doskonale konkurencyjne, jest niższa od przeciętnego kosztu zmiennego przy wielkości produkcji maksymalizującej zysk, wówczas przedsiębiorstwo powinno natychmiast wstrzymać działalność. Jeśli cena rynkowa, którą napotyka przedsiębiorstwo doskonale konkurencyjne, jest wyższa niż przeciętny koszt zmienny, ale niższa niż przeciętny koszt całkowity, to przedsiębiorstwo powinno kontynuować produkcję w krótkim okresie i wyjść z gałęzi w długim okresie (o ile oczywiście nie uda się zmienić struktury i wysokości napotykanych kosztów). Punkt, w którym krzywa kosztu krańcowego przecina krzywą przeciętnego kosztu zmiennego, nazywamy ceną zamknięcia. Pytania Self-Check Spójrz na . Co stanie się z zyskiem przedsiębiorstwa, jeśli cena rynkowa wzrośnie do 6 zł za opakowanie malin? Przy niezmienionych kosztach całkowitych zysk dla każdego poziomu produkcji wzrośnie. Liczba opakowań malin (Q) Koszt całkowity Koszt stały Koszt zmienny Utarg całkowity Zysk 0 62 62 - 0 -62 10 90 62 28 60 -30 20 110 62 48 120 10 30 126 62 64 180 54 40 144 62 82 240 96 50 166 62 104 300 134 60 192 62 130 360 168 70 224 62 162 420 196 80 264 62 202 480 216 90 324 62 262 540 216 100 404 62 342 600 196 Załóżmy, że cena rynkowa wzrasta do 6 zł, jak pokazuje . Co stałoby się z poziomem produkcji maksymalizującym zysk? Liczba opakowań malin (Q) Koszt całkowity Koszt stały Koszt zmienny Koszt krańcowy Utarg całkowity Utarg krańcowy 0 62 62 - - 0 - 10 90 62 28 2,80 60 6,00 20 110 62 48 2,00 120 6,00 30 126 62 64 1,60 180 6,00 40 144 62 82 1,80 240 6,00 50 166 62 104 2,20 300 6,00 60 192 62 130 2,60 360 6,00 70 224 62 162 3,20 420 6,00 80 264 62 202 4,00 480 6,00 90 324 62 262 6,00 540 6,00 100 404 62 342 8,00 600 6,00 Gdy cena rynkowa rośnie, zwiększa się utarg krańcowy. Przedsiębiorstwo zwiększa wówczas produkcję do punktu, w którym nowa cena zrównuje się z kosztem krańcowym, czyli do poziomu 90. Wyjaśnij, dlaczego przedsiębiorstwo maksymalizujące zysk nie zdecyduje się na produkcję ilości, dla której koszt krańcowy przewyższa utarg krańcowy. Jeśli koszt krańcowy przewyższa utarg krańcowy, przedsiębiorstwo zmniejsza swoje zyski wraz z każdą dodatkowo wytworzoną jednostką produkcji. Zysk będzie największy, gdy przedsiębiorstwo obniży produkcję do poziomu, w którym MR = MC . Krzywa kosztów krańcowych przedsiębiorstwa, powyżej krzywej przeciętnego kosztu zmiennego, jest jednocześnie krzywą podaży tej konkretnej firmy. Oznacza to, że przedsiębiorstwo będzie skłonne dostarczyć taką wielkość produkcji, dla której cena rynkowa równa się kosztowi krańcowemu. Co dzieje się z indywidualną krzywą podaży przedsiębiorstwa, jeśli koszty krańcowe wzrosną? Przedsiębiorstwo będzie skłonne dostarczyć mniej jednostek dobra przy każdej cenie. Innymi słowy, indywidualna krzywa podaży przedsiębiorstwa przesuwa się w lewo. Pytania Review W jaki sposób doskonale konkurencyjne przedsiębiorstwo decyduje o cenie, jakiej zażąda za swoje produkty? Co powstrzymuje doskonale konkurencyjne przedsiębiorstwo przed poszukiwaniem wyższych zysków poprzez zwiększanie ceny? Jak doskonale konkurencyjne przedsiębiorstwo oblicza utarg całkowity? Wyjaśnij krótko, jakie czynniki determinują kształt krzywej utargu krańcowego przedsiębiorstwa doskonale konkurencyjnego. Jakie dwie zasady stosuje przedsiębiorstwo doskonale konkurencyjne, aby określić wielkość produkcji maksymalizującą zysk? W jaki sposób krzywa kosztu przeciętnego pomaga określić wynik finansowy przedsiębiorstwa? Jakie dwie krzywe na wykresie funkcji kosztów przecinają się w punkcie oznaczonym jako „próg rentowności”? Czy przedsiębiorstwo powinno natychmiast wstrzymać produkcję w krótkim okresie, jeśli przynosi straty? W jaki sposób krzywa przeciętnego kosztu zmiennego pomaga przedsiębiorstwu zadecydować o natychmiastowym wstrzymaniu produkcji? Jakie dwie krzywe na wykresie funkcji krótkookresowych kosztów przecinają się w punkcie określanym jako „cena zamknięcia”? Pytania Critical Thinking Twoja firma działa na doskonale konkurencyjnym rynku. Powiedziano ci, że reklama może pomóc w zwiększeniu sprzedaży w krótkim okresie. Czy stworzyłbyś agresywną kampanię reklamową dla swojego produktu? Skoro przedsiębiorstwo doskonale konkurencyjne może sprzedawać tyle, ile chce po cenie rynkowej, dlaczego nie może zwiększyć swoich zysków, sprzedając bardzo dużą liczbę swoich produktów? Problemy Spółka Aaaby Kupić Akwarium sprzedaje małe akwaria po 200 zł za sztukę. Koszty stałe produkcji to również 200 zł. Całkowite koszty zmienne wynoszą 200 zł za jedno akwarium, 250 zł za dwie sztuki, 350 zł za trzy, 500 zł za cztery i 800 zł za pięć akwariów. Wykorzystując tabelę, oblicz utarg całkowity, utarg krańcowy, koszt całkowity i koszt krańcowy dla każdego poziomu produkcji (od jednej do pięciu jednostek). Jaka jest wielkość produkcji maksymalizująca zysk? Na jednym rysunku narysuj krzywe utargu całkowitego i kosztu całkowitego, na drugim wykreśl krzywe utargu krańcowego i kosztu krańcowego. Doskonale konkurencyjne przedsiębiorstwo Raj Dla Piesków sp. z o.o. sprzedaje zimowe okrycia dla czworonogów. Płaszcze są sprzedawane po 72 zł za sztukę. Koszty stałe produkcji wynoszą 100 zł. Całkowite koszty zmienne wynoszą 64 zł za jedno okrycie, 84 zł za dwie sztuki, 114 zł za trzy, 184 zł za cztery i 270 zł za pięć okryć. Wykorzystując tabelę, oblicz utarg całkowity, utarg krańcowy, koszt całkowity i koszt krańcowy dla każdego poziomu produkcji (od jednej do pięciu jednostek). Na jednym rysunku narysuj krzywe utargu całkowitego i kosztu całkowitego, na drugim wykreśl krzywe utargu krańcowego i kosztu krańcowego. Jaka jest wielkość produkcji maksymalizująca zysk? Firma komputerowa produkuje niedrogie, łatwe w obsłudze domowe systemy komputerowe i ponosi stałe koszty w wysokości 250 zł. Koszt krańcowy produkcji komputerów wynosi 700 zł za pierwszy komputer, 250 zł za drugi, 300 zł za trzeci, 350 zł za czwarty, 400 zł za piąty, 450 zł za szósty i 500 zł za siódmy komputer. Utwórz tabelę, która pokaże produkcję przedsiębiorstwa, koszt całkowity, koszt krańcowy, koszt przeciętny, koszt zmienny i przeciętny koszt zmienny. Jaka cena wyznacza próg rentowności tej firmy? Przy jakiej cenie przedsiębiorstwo powinno wstrzymać działalność? Jeśli przedsiębiorstwo sprzedaje komputery za 500 zł, to osiąga zysk czy stratę? Jak duży jest zysk lub strata? Narysuj wykres z krzywymi AC, MC i AVC, aby zilustrować odpowiedź i pokazać obszar zysku lub straty. Jeśli przedsiębiorstwo sprzedaje komputery za 300 zł, to osiąga zysk czy stratę? Jak duży jest zysk lub strata? Narysuj wykres z krzywymi AC, MC i AVC, aby zilustrować odpowiedź i pokazać obszar zysku lub straty. utarg krańcowy (ang. marginal revenue ) dodatkowy utarg (zmiana utargu całkowitego) uzyskany ze sprzedaży kolejnej jednostki produkcji przychód krańcowy (ang. marginal revenue ) patrz: utarg krańcowy cena zamknięcia (ang. shutdown point ) poziom ceny, dla którego krzywa kosztu krańcowego przecina krzywą przeciętnego kosztu zmiennego (AVC) w punkcie minimum tej krzywej; jeśli cena znajduje się poniżej tego punktu, przedsiębiorstwo powinno natychmiast zostać zamknięte próg rentowności (ang. break even point ) poziom produkcji, dla którego krzywa kosztów krańcowych przecina krzywą kosztu przeciętnego (AC) w punkcie minimum tej krzywej; jeśli cena jest na poziomie progu rentowności, przedsiębiorstwo osiąga zerowy zysk ekonomiczny", "section": "Jak przedsiębiorstwa doskonale konkurencyjne podejmują decyzje o produkcji", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Decyzje o wejściu i wyjściu w długim okresie Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić, jak decyzję pojedynczych przedsiębiorstw o wejściu lub wyjściu z gałęzi przekładają się na zerowe zyski ekonomiczne w długim okresie Opisać przebieg dostosowań na rynku doskonale konkurencyjnym w długim okresie Nie da się precyzyjnie określić granicy między krótkim a długim okresem za pomocą stopera czy nawet kalendarza. Różnice zależą od konkretnej firmy i gałęzi, dlatego rozróżnienie między krótkim a długim okresem jest bardziej techniczne: w krótkim okresie przedsiębiorstwa nie mogą w pełni swobodnie dostosowywać do swoich potrzeb nakładu wszystkich czynników produkcji, a w długim okresie taką swobodę już mają. Na konkurencyjnym rynku zyski są elementem zachęcającym przedsiębiorstwa do zwiększenia skali aktywności gospodarczej. Jeśli firma osiąga zysk w krótkim okresie, ma motywację do rozbudowy istniejących fabryk lub budowy kolejnych. Również nowe przedsiębiorstwa mogą rozpocząć produkcję i sprzedaż na rynku. Kiedy nowe firmy wchodzą do branży zachęcone zwiększonymi zyskami, jakie oferuje, nazywa się to wejściem lub decyzją o wejściu (ang. entry ). Z kolei straty są elementem, który powoduje ucieczkę przedsiębiorstw z gałęzi. Jeśli przedsiębiorstwo ponosi straty w krótkim okresie, wówczas albo będzie ograniczać wykorzystanie mocy wytwórczych, produkując ze stratą, albo po prostu się zamknie, w zależności od tego, czy jego utarg pokrywa koszty zmienne, czy też jest od nich niższy. Jednak w długim okresie firmy, które ponoszą straty, całkowicie zaprzestaną produkcji. Długookresowy proces wygaszania działalności w odpowiedzi na utrzymujące się straty nazywa się wyjściem lub decyzją o wyjściu (ang. exit ). Poniższa zawiera omówienie możliwych czynników powodujących straty przedsiębiorstw, a także determinant decyzji o wyjściu z gałęzi. Dlaczego przedsiębiorstwa przestają istnieć? Czy możemy powiedzieć cokolwiek o przyczynach, dla których przedsiębiorstwa wychodzą z gałęzi? Najważniejszą miarą przesądzającą o tym, czy firma ma dalej działać, są zyski ekonomiczne. W końcu ludzie zakładają firmy właśnie w celu osiągania zysków. Inwestują swoje pieniądze, czas, wysiłek i wiele innych zasobów, aby wyprodukować i sprzedać coś, co – jak mają nadzieję – w zamian da im profity. Niestety nie wszystkie przedsiębiorstwa odnoszą sukcesy, a wiele nowych startupów szybko zdaje sobie sprawę, że ich przedsięwzięcie biznesowe musi ostatecznie przestać istnieć. W modelu konkurencji doskonałej przedsiębiorstwa, które konsekwentnie nie mogą zarabiać, wyjdą z gałęzi, co jest łagodnym określeniem w istocie bolesnego i trudnego procesu. Gdy biznes upada, pracownicy tracą przecież pracę, inwestorzy pieniądze, a właściciele i menedżerowie marzenia. Każdego roku wiele firm bankrutuje. Amerykańska rządowa agencja odpowiedzialna za monitorowanie małych i średnich przedsiębiorstw ( Small Business Administration ) wskazuje, że w 2011 r. w USA pojawiło się 534 907 nowych podmiotów gospodarczych, ale równocześnie aż 575 691 upadło. Czasami przedsiębiorstwo bankrutuje z powodu złego sposobu zarządzania, niskiej produktywności pracy zatrudnionych ludzi albo silnej konkurencji krajowej bądź zagranicznej. Przedsiębiorstwa upadają również z innych przyczyn. Na przykład warunki popytu i podaży na rynku mogą zmienić się w nieoczekiwany sposób, co oznacza spadek cen pobieranych za sprzedawane produkty lub wzrost kosztów pozyskiwania nakładów. Przy setkach tysięcy lub nawet milionach przedsiębiorstw w gospodarkach różnych krajów upadek nawet niewielkiej części z nich dotknie wielu ludzi, a niepowodzenia biznesowe mogą być bardzo trudne dla bezpośrednio zaangażowanych pracowników i menedżerów. Jednak z punktu widzenia całego systemu wyjście przedsiębiorstwa z gałęzi jest czasami złem koniecznym, jeśli rynkowy mechanizm alokacji ma oferować elastyczne instrumentarium zaspokajania potrzeb klientów, utrzymywania niskich kosztów i kreowania nowych produktów. Jak decyzje przedsiębiorstw o wejściu i wyjściu z gałęzi prowadzą do zerowych zysków w długim okresie? Żadne przedsiębiorstwo doskonale konkurencyjne (ang. perfectly competitive firm ) działając samodzielnie, nie może wpłynąć na cenę rynkową. Jednak grupa wielu przedsiębiorstw wchodzących lub wychodzących z danej gałęzi wpłynie na ogólną podaż rynkową. Z kolei zmiana podaży odbije się na cenie rynkowej. Wejście i wyjście z rynku to siły napędowe procesu, który w długim okresie obniża cenę do poziomu minimalnych przeciętnych kosztów całkowitych, przez co wszystkie firmy działające w danej branży osiągają jedynie zerowy zysk ekonomiczny. Aby zrozumieć, jak krótkookresowe zyski przedsiębiorstwa doskonale konkurencyjnego znikają w długim okresie, wyobraź sobie następującą sytuację. Rynek jest w równowadze długookresowej (ang. long-run equilibrium ), wszystkie firmy osiągają zerowe zyski ekonomiczne, wytwarzając produkcję, dla której P = MR = LMC i P = LAC . Żadna firma nie ma motywacji do wejścia lub wyjścia z gałęzi. Załóżmy następnie, że popyt na produkt rośnie, a wraz z nim zwiększa się cena rynkowa. Istniejące w danej gałęzi gospodarki przedsiębiorstwa stoją teraz w obliczu wyższej ceny, więc zwiększają produkcję do nowego poziomu, dla którego P = MR = LMC . Spowoduje to chwilowy wzrost ceny rynkowej powyżej punktu minimum na krzywej kosztu przeciętnego, a zatem istniejące na rynku firmy będą osiągać zyski ekonomiczne. Ta perspektywa przyciągnie do gałęzi nowe przedsiębiorstwa. Wejście wielu nowych firm spowoduje przesunięcie krzywej podaży w prawo. Gdy krzywa podaży przesuwa się w prawo, cena rynkowa zaczyna spadać, a wraz z nią maleją zyski ekonomiczne nowych i istniejących firm. Dopóki na rynku nadal będą zyski, wejście na rynek będzie przesuwało podaż w prawo. Proces zostanie zatrzymany, gdy cena rynkowa spadnie do poziomu, dla którego żadne przedsiębiorstwo nie będzie już osiągać zysków. Z kolei krótkookresowe straty znikną dzięki odwrotnemu procesowi. Załóżmy, że rynek jest w długookresowej równowadze. Tym razem popyt spada, a wraz z nim maleje cena rynkowa. Istniejące w gałęzi przedsiębiorstwa mają teraz do czynienia z niższą ceną niż wcześniej, a ponieważ będzie ona poniżej krzywej kosztu przeciętnego, przedsiębiorstwa będą ponosić straty ekonomiczne. Niektóre firmy będą kontynuować produkcję według warunku: nowa cena P = MR = LMC , o ile uda im się pokryć swoje koszty zmienne. Inne zaś będą musiały natychmiast wstrzymać działalność, ponieważ nie zdołają pokryć swoich kosztów zmiennych. Wyjście wielu przedsiębiorstw z branży spowoduje przesunięcie krzywej podaży rynkowej w lewo. Gdy krzywa podaży przesuwa się w lewo, cena rynkowa zaczyna rosnąć, a straty ekonomiczne maleć. Proces ten kończy się, gdy cena rynkowa wzrośnie do poziomu zerowego zysku ekonomicznego, dla którego wszystkie istniejące w gałęzi przedsiębiorstwa nie tracą już pieniędzy. Tak więc podczas gdy doskonale konkurencyjne przedsiębiorstwo może notować zysk w krótkim okresie, w długim okresie proces wejścia będzie obniżał ceny, aż osiągnięty zostanie poziom zerowego zysku. I odwrotnie, doskonale konkurencyjne przedsiębiorstwo może ponosić stratę w krótkim okresie, ale firmy nie będą w stanie stale tracić pieniędzy. W długim okresie przedsiębiorstwa ponoszące straty mogą pozbyć się kosztów stałych, a ich wyjście z rynku spowoduje powrót ceny do poziomu zysku zerowego. W długim okresie procesy wejścia i wyjścia doprowadzą cenę na doskonale konkurencyjnych rynkach do progu rentowności (ang. break even point ), dla którego koszt krańcowy przecina koszt przeciętny. Długookresowe dostosowania i rodzaje branż Ilekroć w gałęzi doskonale konkurencyjnej następuje wzrost produkcji, koszty wytwarzania w istniejących i nowych przedsiębiorstwach mogą pozostać takie same, wzrosnąć, a nawet spaść. Dlatego możemy kategoryzować te branże jako: (1) gałęzie o stałych kosztach (gdy koszty w przedsiębiorstwach pozostają takie same wraz ze wzrostem produkcji), (2) gałęzie o rosnących kosztach (w miarę wzrostu produkcji koszty w przedsiębiorstwach rosną), lub (3) gałęzie o malejących kosztach (gdy produkcja rośnie, koszty maleją). W przypadku gałęzi o stałych kosztach (ang. constant cost industry ), ilekroć występuje wzrost popytu na rynku i wzrost ceny, krzywa podaży przesuwa się w prawo wraz z wejściem nowych przedsiębiorstw i zatrzymuje się w punkcie, w którym nowa długookresowa równowaga występuje przy tej samej cenie rynkowej co poprzednio. Jest to przypadek stałych przychodów ze skali, które omówiliśmy wcześniej w . Dlaczego jednak koszty pozostają takie same? W tego typu branżach krzywa podaży jest bardzo elastyczna. Firmy mogą z łatwością wyprodukować dowolną ilość, której zażądają konsumenci. Ponadto istnieje doskonale elastyczna podaż nakładów – np. przedsiębiorstwa mogą łatwo zwiększyć zatrudnienie pracowników bez wzrostu płac. Włączając w nasze rozważania przykład z , zwiększony popyt na etanol w ostatnich latach spowodował wzrost popytu na kukurydzę. W związku z tym wielu rolników przerzuciło się z uprawy pszenicy na uprawę kukurydzy. Rynki rolne są ogólnie dobrymi przykładami gałęzi o stałych kosztach. W gałęzi o rosnących kosztach (ang. increasing cost industry ) wraz ze wzrostem produkcji rynkowej stare i nowe przedsiębiorstwa doświadczają wzrostu kosztów, co sprawia, że nowy poziom zerowego zysku występuje przy wyższej cenie niż wcześniej. W tym przypadku przedsiębiorstwa mogą mieć np. do czynienia z czynnikami produkcji, których podaż jest ograniczona (takimi jak wykwalifikowana siła robocza), co oznacza, że wzrost produkcji i tym samym wzrost popytu na te czynniki będzie zwiększał ich cenę (wynagrodzenia pracowników) i podnosił koszty wytwarzania. Krzywa podaży gałęzi jest mniej elastyczna. W przypadku gałęzi o malejących kosztach (ang. decreasing cost industry ) wraz ze wzrostem produkcji rynkowej stare i nowe przedsiębiorstwa doświadczają niższych kosztów, co sprawia, że nowy poziom zerowego zysku występuje przy cenie niższej niż poprzednio. W tym przypadku branża i wszystkie funkcjonujące w niej przedsiębiorstwa doświadczają spadku przeciętnych kosztów całkowitych. Może to być spowodowane zmianą technologii w całej gałęzi lub wzrostem wykształcenia pracowników. Dobrym przykładem rynków o malejących kosztach są branże high-tech. na panelu (a) przedstawia proces dostosowawczy w gałęzi o stałych kosztach. Ilekroć w takiej gałęzi następuje wzrost produkcji, efekt długookresowy oznacza większą produkcję przy dokładnie tej samej cenie co wcześniej. Należy zauważyć, że podaż była w stanie wzrosnąć, aby sprostać zwiększonemu popytowi. Kiedy połączymy początkową i końcową równowagę długookresową, otrzymamy linię będącą krzywą długookresowej podaży (LRSS) na rynkach doskonale konkurencyjnych. W tym przypadku jest to pozioma linia. na panelu (b) i na panelu (c) przedstawiają odpowiednio gałęzie o rosnących i malejących kosztach. W przypadku branży o rosnących kosztach LRSS ma nachylenie dodatnie, natomiast w gałęzi o malejących kosztach LRSS ma nachylenie ujemne. Proces dostosowawczy w gałęzi o stałych, rosnących i malejących kosztach Na panelu (a) popyt wzrósł, a podaż się dostosowała. Zauważ, że wzrost podaży jest równy wzrostowi popytu. W rezultacie cena równowagi pozostaje taka sama przy wzroście ilości sprzedanych towarów. Na panelu (b) sprzedawcy nie byli w stanie zwiększyć podaży w stopniu odzwierciedlającym wzrost popytu. Brakowało niektórych nakładów lub zwiększyły się płace. Cena równowagi wzrosła. Na panelu (c) sprzedawcy z łatwością zwiększyli podaż w odpowiedzi na wzrost popytu. Tutaj nowa technologia lub korzyści skali spowodowały duży wzrost podaży skutkujący spadkiem ceny równowagi. Kluczowe pojęcia i podsumowanie W długim okresie przedsiębiorstwa reagują na istnienie zysków ekonomicznych w gałęzi doskonale konkurencyjnej, decydując się na rozpoczęcie w niej działalności (wejście), a podmioty, które już w niej funkcjonowały, zwiększając produkcję. I odwrotnie, przedsiębiorstwa reagują na straty w długim okresie, decydując się na wstrzymanie produkcji i wyjście z rynku. W konsekwencji, poziom cen na rynku doskonale konkurencyjnym będzie się zmieniał w taki sposób, aby każde przedsiębiorstwo, które działa w tej gałęzi miało tylko zyski normalne (osiągnęło próg rentowności, gdzie krzywa kosztu krańcowego przecina krzywą kosztu przeciętnego w punkcie jej minimum). Długookresowa krzywa podaży pokazuje wielkość produkcji wszystkich przedsiębiorstw w długim okresie w trzech różnych typach gałęzi doskonale konkurencyjnych: o stałych kosztach, rosnących kosztach i malejących kosztach. Pytania Self-Check Jeśli nowa technologia na doskonale konkurencyjnym rynku przyniesie znaczną redukcję kosztów produkcji, jak wpłynie to na ten rynek? Wraz z postępem technicznym, który przyniesie obniżenie kosztów produkcji, na rynku nastąpi proces dostosowawczy. Postęp techniczny spowoduje wzrost podaży poszczególnych przedsiębiorstw i całego rynku. Istniejące firmy będą przez jakiś czas osiągać większe zyski, co przyciągnie na rynek nowe podmioty. Proces wejścia zostanie wstrzymany, gdy tylko podaż na rynku wystarczająco wzrośnie (zarówno dzięki produkcji istniejących wcześniej, jak nowych firm), tak że zyski wrócą do poziomu zerowego. Rynek doskonale konkurencyjny znajduje się w równowadze długookresowej. Co stanie się z tym rynkiem, jeśli związki zawodowe będą w stanie wywalczyć podniesienie płac pracowników? Wraz ze wzrostem płac rosną koszty produkcji. Niektóre przedsiębiorstwa zaczną ponosić straty ekonomiczne i zostaną zamknięte. Krzywa podaży będzie przesuwała się w lewo, podnosząc cenę rynkową. Proces ten zakończy się, gdy wszystkie przedsiębiorstwa pozostające na rynku osiągną zerowe zyski ekonomiczne. Rezultatem będzie zmniejszenie produkcji rynkowej. Pytania Review Dlaczego firmy decydują się na wejście do danej gałęzi? Dlaczego firmy decydują się na wyjście z gałęzi? Czy proces wchodzenia i wychodzenia z gałęzi występuje w krótkim okresie, w długim okresie, w obu okresach czy w żadnym z nich? Jaką cenę w długim okresie będzie pobierała firma doskonale konkurencyjna? Dlaczego? Pytania Critical Thinking Wiele przedsiębiorstw co roku składa wniosek o upadłość, ale nadal działają. Dlaczego to robią, zamiast całkowicie wstrzymać działalność? Dlaczego zyski przedsiębiorstw w gałęzi doskonale konkurencyjnej mają tendencję do zanikania w długim okresie? Dlaczego straty przedsiębiorstw w gałęzi doskonale konkurencyjnej mają tendencję do zanikania w długim okresie? wejście (ang. entry ) długookresowy proces wchodzenia przedsiębiorstw do gałęzi w odpowiedzi na zyski, które w niej występują decyzja o wejściu (ang. entry ) patrz: wejście wyjście (ang. exit ) długookresowy proces ograniczania produkcji i wstrzymywania działalności przedsiębiorstw w odpowiedzi na straty występujące w danej gałęzi gospodarki decyzja o wyjściu (ang. exit ) patrz: wyjście równowaga długookresowa (ang. long-run equilibrium ) sytuacja, gdy wszystkie przedsiębiorstwa osiągają zerowe zyski ekonomiczne wytwarzając produkcję, dla której P = MR = LMC i P = LAC", "section": "Decyzje o wejściu i wyjściu w długim okresie", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Efektywność rynków doskonale konkurencyjnych Po przeczytaniu tego podrozdziału będziesz w stanie: Zastosować koncepcję efektywności produkcyjnej i efektywności alokacyjnej do rynków doskonale konkurencyjnych Porównać model konkurencji doskonałej i realnie istniejące rynki Kiedy połączymy analizę sposobu postępowania przedsiębiorstw maksymalizujących zysk na rynkach doskonale konkurencyjnych z analizą zachowania konsumentów maksymalizujących użyteczność, dostrzeżemy ciekawą zależność: wolumen produkcji na takim rynku charakteryzuje się zarówno efektywnością produkcyjną, jak i efektywnością alokacyjną (są to terminy, które zostały wprowadzone po raz pierwszy w ). Efektywność produkcyjna (ang. productive efficiency ) oznacza produkcję bez marnotrawstwa, zatem ilustrują ją punkty leżące na krzywej możliwości produkcyjnych. W długim okresie na rynku doskonale konkurencyjnym, ze względu na proces wejścia i wyjścia, cena rynkowa jest równa minimum długookresowej krzywej kosztów przeciętnych. Innymi słowy, przedsiębiorstwa produkują i sprzedają dobra w takiej ilości, która oznacza najniższy możliwy koszt przeciętny. Efektywność alokacyjna (ang. allocative efficiency ) oznacza, że spośród punktów leżących na krzywej możliwości produkcyjnych, wybrana kombinacja produkcji konkretnych dóbr jest społecznie preferowana – przynajmniej w pewnym określonym i specyficznym znaczeniu. Na rynku doskonale konkurencyjnym cena jest równa kosztowi krańcowemu. Pomyśl o cenie płaconej za jakieś dobro jako o mierze korzyści społecznych uzyskiwanych w związku z jego konsumpcją; w końcu gotowość do zapłaty określonej kwoty oznacza, ile dany towar jest wart dla kupującego. Następnie pomyśl o krańcowym koszcie wytworzenia tego samego dobra jako wartości, która nie tylko odzwierciedla wydatki ponoszone w związku z jego wyprodukowaniem przez konkretne przedsiębiorstwo, ale w szerszym kontekście – społeczny koszt wytworzenia tego produktu. Kiedy przedsiębiorstwa doskonale konkurencyjne przestrzegają zasady maksymalizacji zysku, wytwarzając ilość, dla której cena jest równa kosztowi krańcowemu, zapewniają w ten sposób, że społeczne korzyści uzyskiwane z produkcji dobra są równe społecznym kosztom produkcji. Aby lepiej pojąć, co ekonomiści rozumieją przez efektywność alokacyjną, warto zapoznać się z przykładem. Zacznijmy od założenia, że hurtowy rynek kwiatów jest doskonale konkurencyjny, więc P = MC . Zastanówmy się teraz, co by się stało, gdyby przedsiębiorstwa na tym rynku produkowały mniej kwiatów. Przy mniejszym wolumenie koszty krańcowe spadną, w związku z czym cena będzie od nich wyższa, czyli P > MC . W takiej sytuacji korzyść dla całego społeczeństwa związana z produkcją dodatkowego bukietu (krańcowej jednostki dobra), mierzona gotowością konsumentów do zapłaty za ów bukiet konkretnej ceny, byłaby wyższa niż koszt opłacenia nakładów pracy i kapitału rzeczowego potrzebnych do wytworzenia dodatkowego bukietu (krańcowej jednostki dobra). Innymi słowy, korzyści dla całego społeczeństwa z produkcji dodatkowego bukietu będą większe niż koszty. Rozsądne wydaje się zatem przesunięcie zasobów w ramach gospodarki i zwiększenie produkcji kwiatów kosztem produkcji warzyw lub owoców. I odwrotnie, zastanówmy się, jakie byłyby konsekwencje sytuacji, w której przedsiębiorstwa wyprodukowałyby większą ilość kwiatów niż ta wynikająca z warunku zapewniającego efektywność alokacyjną, tj. P = MC . Przy większej ilości koszty krańcowe produkcji wzrosną tak, że P < MC . Krańcowe koszty produkcji dodatkowego bukietu są więc większe niż korzyść dla społeczeństwa mierzona tym, ile ludzie są gotowi za ów bukiet zapłacić. Ponieważ koszty przewyższają korzyści, dla całego społeczeństwa sensowne będzie produkowanie mniejszej ilości kwiatów. Oznacza to, że zasoby wykorzystywane do produkcji kwiatów powinny zostać przesunięte do produkcji innych dóbr, np. warzyw lub owoców. Kiedy doskonale konkurencyjne przedsiębiorstwa maksymalizują zyski, produkując zgodnie z warunkiem P = MC , dodatkowo przyczyniają się do ukształtowania sytuacji, w której korzyści dla konsumentów z dokonywanych zakupów, mierzone ceną, którą są oni gotowi zapłacić, są równe kosztom społecznym dodatkowej produkcji mierzonym kosztami krańcowymi ponoszonymi przez przedsiębiorstwo. Występuje zatem efektywność alokacyjna. Na twierdzenia, że doskonale konkurencyjny rynek w długim okresie będzie charakteryzował się efektywnością produkcyjną i alokacyjną, powinniśmy spojrzeć z pewnym sceptycyzmem co do ich prawdziwości. Pamiętajmy, że ekonomiści używają pojęcia „efektywny” w pewnym określonym, specyficznym znaczeniu, a nie jako synonimu wyrażenia „pożądany pod każdym względem”. Przede wszystkim dlatego, że zdolność konsumentów do zapłaty za dane dobro odzwierciedla rozkład dochodów w danym społeczeństwie. Tak więc osoba bezdomna może nie mieć możliwości zapłaty za mieszkanie, ponieważ nie dysponuje wystarczającymi dochodami. Z punktu widzenia bezdomnego efektywność alokacyjna i produkcyjna będą nic nieznaczącymi stwierdzeniami, a nie rozwiązaniem ze wszech miar pożądanym. Konkurencja doskonała w długim okresie jest hipotetycznym punktem odniesienia. W przypadku struktur rynkowych takich jak monopol, konkurencja monopolistyczna i oligopol, które w świecie rzeczywistym występują znacznie częściej niż konkurencja doskonała, przedsiębiorstwa nie zawsze będą produkować przy minimalnym koszcie przeciętnym i nie zawsze ustalą cenę równą kosztowi krańcowemu. A zatem pozostałe struktury rynkowe nie zapewniają efektywności produkcyjnej ani alokacyjnej. Co więcej, na rzeczywistych rynkach występuje wiele elementów, które są dalekie od założeń modelu doskonałej konkurencji. Wymieńmy tu choćby zanieczyszczenie środowiska, nowe technologie, ubóstwo mogące sprawić, że niektórzy ludzie nie będą w stanie opłacić podstawowych potrzeb niezbędnych do przeżycia, programy rządowe takie jak obrona narodowa czy edukacja, dyskryminację na rynkach pracy oraz niedoskonałą informację, z którą muszą sobie radzić zarówno nabywcy, jak i sprzedawcy. Kwestie te omówimy w kolejnych rozdziałach. Jednak teoretyczna efektywność konkurencji doskonałej stanowi użyteczny punkt odniesienia do porównywania różnych zagadnień wynikających z problemów istniejących w rzeczywistym świecie. Liczba przedsiębiorstw liczona na pęczki Wystarcza szybki rzut oka na , żeby dostrzec olbrzymi wzrost produkcji kukurydzy w Dakocie Północnej będący konsekwencją ponadośmiokrotnego przyrostu areału tej uprawy w latach 1972–2021. Wziąwszy pod uwagę, że kukurydza zwykle daje dwa do trzech razy więcej buszli (buszel kukurydzy to ok. 31,75 kg łuskanych ziaren) z hektara niż pszenica, oczywiste jest, że nastąpił znaczny wzrost podaży kukurydzy. A jaka była przyczyna tego wzrostu? Zbieżność cen. Rok Kukurydza (mln ha) 1972 0,2 2021 1,7 Źródło: USDA Amerykański Urząd Statystyczny Rolnictwa Historycznie ceny pszenicy były wyższe niż ceny kukurydzy, kompensując niższe plony pszenicy z hektara. Jednak w ostatnich latach ceny pszenicy i kukurydzy wykazywały zbieżność. W kwietniu 2013 r. czasopismo Agweek poinformowało, że różnica wynosiła zaledwie 71 centów za buszel przeliczeniowy (waga buszla waha się w zależności od konkretnego zboża). Ponieważ różnica w cenach zmniejszała się, przejście na produkcję kukurydzy, charakteryzującej się większą wydajnością z hektara, było rozsądną decyzją biznesową. Erik Younggren, prezes Amerykańskiego Stowarzyszenia Plantatorów Pszenicy, powiedział w artykule w Agweek : „Nie sądzę, abyśmy kiedykolwiek zobaczyli ponownie kolejne kilometry falujących bursztynowych pól [pszenicy]”. (Dopóki ceny pszenicy nie wzrosną, będziemy w zamian widzieli najprawdopodobniej niekończące się pola kukurydzy). Kluczowe pojęcia i podsumowanie Stan długookresowej równowagi na rynkach doskonale konkurencyjnych oznacza efektywność alokacyjną i efektywność produkcyjną. Te dwie cechy mają ważne implikacje. Po pierwsze, zasoby są wykorzystywane w najlepszy z możliwych sposobów. Po drugie, sposób wykorzystania dostępnych zasobów zapewnia maksymalną satysfakcję możliwą do osiągnięcia przez społeczeństwo. Pytania Self-Check Efektywność produkcyjna i efektywność alokacyjna w długim okresie to dwie cechy rynku doskonale konkurencyjnego. Właśnie z ich powodu taki rynek nazywamy „doskonałym”. Jak można je wykorzystać do analizy innych struktur rynkowych, które uznajemy za niedoskonałe? Konkurencja doskonała nazywana jest tak, ponieważ w równowadze długookresowej jednocześnie osiągane są zarówno efektywność alokacyjna, jak i produkcyjna. Jeśli w ramach danej struktury rynku przedsiębiorstwa znajdujące się w stanie długookresowej równowagi nie minimalizują przeciętnych kosztów całkowitych i/lub nie ustalają ceny równej kosztowi krańcowemu, wówczas albo efektywność alokacyjna, albo produkcyjna (lub obie) nie są osiągane, a zatem rynek nie może być uznany za „doskonały”. Wyjaśnij, w jaki sposób zasada maksymalizacji zysku P = MC prowadzi do tego, że rynek doskonale konkurencyjny charakteryzuje się efektywnością alokacyjną. Pomyśl o cenie rynkowej jako o sposobie pomiaru korzyści dla społeczeństwa związanych z zakupem danego dobra. Z kolei o koszcie krańcowym pomyśl jako o koszcie ponoszonym przez społeczeństwo w związku z wytworzenia ostatniej jednostki tego dobra. Jeżeli P > MC , wówczas korzyści z wyprodukowania dodatkowych jednostek dobra przewyższają koszty, a więc społeczeństwo odniosłoby korzyści z wytworzenia większej ilości tego dobra. Jeżeli P < MC , to społeczne koszty produkcji ostatniej jednostki dobra przewyższają korzyści społeczne, a więc społeczeństwo powinno zmniejszyć produkcję tego dobra. Tylko jeśli P = MC , tj. przy warunku stosowanym przez przedsiębiorstwo doskonale konkurencyjne maksymalizujące zysk, koszty i korzyści dla społeczeństwa będą zbilansowane. A zatem takie rozwiązanie przyniesie społeczeństwu największe korzyści. Pytania Review Czy rynek doskonale konkurencyjny wykazuje efektywność produkcyjną? Dlaczego tak lub dlaczego nie? Czy rynek doskonale konkurencyjny wykazuje efektywność alokacyjną? Dlaczego tak lub dlaczego nie? Pytania Critical Thinking Zakładając, że na rynku papierosów panuje konkurencja doskonała, co w tym przypadku oznacza efektywność alokacyjna i produkcyjna? Jakie zjawiska nie mieszczą się w tych pojęciach w kontekście tego konkretnego rynku? Uzasadniając to, dlaczego doskonała konkurencja charakteryzuje się efektywnością alokacyjną, przyjmujemy, że cena, którą ludzie są gotowi zapłacić za dany produkt, reprezentuje korzyści dla społeczeństwa, a koszt krańcowy ponoszony przez przedsiębiorstwo w związku z produkcją tego dobra reprezentuje koszty dla społeczeństwa. Czy umiesz znaleźć jakieś koszty społeczne lub inne elementy, które nie są uwzględnione w koszcie krańcowym ponoszonym przez przedsiębiorstwo? Czy umiesz znaleźć jakiekolwiek korzyści społeczne, które nie są uwzględnione w cenie danego dobra? Bibliografia Index Mundi. n.d. “Wheat Monthly Price—U.S. Dollars per Metric Ton.” Accessed March 11, 2015. http://www.indexmundi.com/commodities/?commodity=wheat. Knutson, J. “Wheat on the Defensive in the Northern Plains.” Agweek, Associated Press State Wire: North Dakota (ND) . April 14, 2013. SBA Office of Advocacy. 2014. “Frequently Asked Questions: Advocacy: the voice of small business in government.” Accessed March 11, 2015. https://www.sba.gov/sites/default/files/advocacy/FAQ_March_2014_0.pdf.", "section": "Efektywność rynków doskonale konkurencyjnych", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Polityczna siła monopolu na rynku bawełny W połowie XIX w. południowe stany USA miały niemalże monopol na dostawy bawełny do Wielkiej Brytanii. Stany te usiłowały wykorzystać tę siłę ekonomiczną jako główny element siły politycznej i skłonić Wielką Brytanię do formalnego uznania Skonfederowanych Stanów Ameryki. (Źródło: modyfikacja pracy ashleylovespizza/Flickr Creative Commons) Reszta jest historią Wiele z otwierających kolejne rozdziały niniejszej publikacji studiów przypadków koncentruje się na wydarzeniach bieżących lub niedawnych. Tym razem jednak cofniemy się głębiej w przeszłość, aby zobaczyć, jak monopole kształtowały historię. Wiosną 1773 r. Kompania Wschodnioindyjska ( East India Company ), przedsiębiorstwo, które w swoim czasie było określane jako „zbyt duże, by upaść”, przeżywało trudności finansowe związane ze spadkiem cen herbaty na rynkach światowych. Aby wesprzeć upadającą spółkę, brytyjski parlament zatwierdził ustawę o herbacie ( Tea Act) . Prawo to podtrzymało opodatkowanie herbaty i uczyniło Kompanię Wschodnioindyjską jedynym uprawnionym dostawcą suszu herbacianego do kolonii amerykańskich. Nowe regulacje uderzyły w amerykańskich importerów tego produktu. W listopadzie mieszkańcy Bostonu mieli już dość. Odmówili zezwolenia na rozładunek herbaty, powołując się na zasadę, zgodnie z którą nakładanie podatków i opłat powinno być ściśle powiązane z emancypacją polityczną amerykańskich kolonii ( no taxation without representation ). Kilka gazet, w tym „The Massachusetts Gazette” , ostrzegało statki przypływające z herbatą: „Jesteśmy przygotowani i nie omieszkamy sprawić, by niepożądaną wizytę na pokładzie złożyli Mohawkowie”, co było ledwie zawoalowaną groźbą. W rzeczywistości napaści na brytyjskie statki dokonali koloniści przebrani za Indian. Teraz przenieśmy się w czasie do roku 1860. W przeddzień wojny secesyjnej istniał inny, niemal monopolistyczny dostawca o historycznym znaczeniu – amerykański przemysł bawełniany. W tym czasie stany południowe dostarczały większość bawełny importowanej do Wielkiej Brytanii. Południe, chcąc odłączyć się od Unii, usiłowało wykorzystać znaczną zależność Wielkiej Brytanii od amerykańskiej bawełny i wymóc na Brytyjczykach formalne dyplomatyczne uznanie Skonfederowanych Stanów Ameryki. To prowadzi nas do tematu niniejszego rozdziału: monopolu, czyli przedsiębiorstwa, które kontroluje całość lub zdecydowaną większość rynkowej podaży dobra lub usługi. Jak przedsiębiorstwa monopolistyczne zachowują się na rynku? Jaką siłą dysponują? Czy może ona mieć niezamierzone konsekwencje? Powrócimy do tego przykładu na końcu rozdziału, aby zobaczyć, jak monopole na rynkach herbaty i bawełny wpłynęły na historię Stanów Zjednoczonych. Wprowadzenie do rozdziału Z lektury tego rozdziału dowiesz się: Jak dzięki różnym barierom wejścia powstają monopole W jaki sposób maksymalizująca zysk firma monopolistyczna wybiera wielkość produkcji i określa cenę wyrobu Wiele osób sądzi, że menedżerowie najwyższego szczebla w przedsiębiorstwach są największymi zwolennikami konkurencji rynkowej, ale to przekonanie jest dalekie od prawdy. Pomyśl o tym w ten sposób: jeśli bardzo chcesz zdobyć złoty medal olimpijski, to czy wolisz być – dzięki ciężkiemu treningowi, dobrym trenerom i unikatowemu wyposażeniu – w znacznie lepszej formie od wszystkich innych konkurentów, czy też rywalizować z wieloma sportowcami równie dobrymi jak ty? Podobnie jeśli chcesz osiągnąć bardzo wysoki poziom zysków: wolisz zarządzać biznesem, który ma tylko niewielką konkurencję (lub nie ma jej wcale), czy borykać się z wieloma sprawnymi, konkurencyjnymi firmami, które próbują sprzedawać swoje wyroby twoim klientom? Być może masz już za sobą lekturę rozdziału o doskonałej konkurencji. W tym rozdziale przeanalizujemy przykład struktury rynku z drugiego bieguna, czyli monopol. Jeśli doskonała konkurencja to rynek, na którym pojedyncze przedsiębiorstwa nie mają żadnej siły wpływu i po prostu reagują na cenę rynkową, to monopol jest rynkiem bez konkurencji, a przedsiębiorstwo będące jedynym sprzedawcą danego produktu dysponuje pełnią siły monopolowej. Ponieważ monopol nie ma żadnej znaczącej konkurencji, może pobierać dowolną cenę, oczywiście uwzględniając zależności wynikające z krzywej popytu. Monopol z definicji odnosi się do pojedynczego przedsiębiorstwa, jednak w praktyce ludzie często używają tego terminu do opisu rynku, w którym jeden podmiot gospodarczy ma po prostu bardzo duży udział. Jest to podejście słuszne, gdyż czynnikiem, który odróżnia monopol od innych struktur rynku jest swoboda w kształtowaniu cen. Swoboda ta jest niezależna od tego, czy na rynku rzeczywiście działa tylko jedna firma, czy też takich podmiotów jest więcej, ale największy z nich ma udział wielokrotnie przekraczający względną sprzedaż wszystkich konkurentów razem wziętych. Jakkolwiek w ścisłym sensie tego typu struktura rynku nie jest monopolem, lecz oligopolem z liderem na rynku. Chociaż istnieje bardzo niewiele prawdziwych monopoli, to mamy z nimi do czynienia codziennie, często nie zdając sobie z tego sprawy: Totalizator Sportowy na terenie Polski, przedsiębiorstwa zajmujące się dystrybucją energii elektrycznej na rynkach lokalnych, wodociągowe i wywożące śmieci na terenie konkretnych jednostek samorządu terytorialnego (gmin i miast na prawach powiatów) – to jedynie kilka przykładów. Niektóre nowe leki są produkowane tylko przez jedno przedsiębiorstwo farmaceutyczne i nie istnieją żadne ich substytuty. Od połowy lat 90. XX w. do 2004 r. Departament Sprawiedliwości Stanów Zjednoczonych ścigał firmę Microsoft Corporation za instalację aplikacji Internet Explorer jako domyślnej przeglądarki internetowej w systemie operacyjnym Windows. Departament Sprawiedliwości argumentował, że Microsoft – posiadając niezwykle duży udział w rynku systemów operacyjnych i udostępniając bezpłatną przeglądarkę internetową – stosował nieuczciwą konkurencję w stosunku do producentów innych aplikacji tego typu, takich jak Netscape Navigator . Ponieważ prawie wszyscy użytkownicy indywidualni korzystali z systemu Windows, a za jego pośrednictwem również z Internet Explorera, niemal wyeliminowało to potrzebę poszukiwania innych przeglądarek i uniemożliwiło konkurentom zdobycie choćby przyczółka na rynku, dającego widoki na jakąkolwiek ekspansję w dłuższym okresie. W 2013 r. system Windows działał na ponad 90% najczęściej sprzedawanych komputerów osobistych w Stanach Zjednoczonych. W 2015 r. amerykański sąd federalny odrzucił z kolei zarzuty antymonopolowe wysunięte wobec Google Inc. (obecne Alphabet Inc. ), jakoby firma ta zawarła umowę z producentami urządzeń mobilnych (telefonów i tabletów), aby ci instalowali Google jako domyślną wyszukiwarkę. Niniejszy rozdział rozpoczyna się od opisu tego, w jaki sposób monopole są chronione przed konkurencją, np. przez prawo, które ją wyklucza, przez przewagi technologiczne oraz pewne specyficzne konfiguracje popytu i podaży. Następnie zostanie wyjaśniony sposób, w jaki monopolista wybiera maksymalizującą zysk wielkość produkcji i jak określa cenę swojego wyrobu. Przedsiębiorstwo monopolistyczne wciąż martwi się o to, czy konsumenci będą kupować jego produkty, czy też wydadzą pieniądze na coś zupełnie innego. Ale nie musi się już przejmować działaniami innych, konkurencyjnych przedsiębiorstw wytwarzających takie same lub podobne produkty. W rezultacie monopol nie przyjmuje cen z rynku, jak czyni to przedsiębiorstwo na rynku doskonale konkurencyjnym, bo ma możliwości wyznaczania ceny za swój produkt. O monopoliście mówimy, że jest twórcą cen.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Jak powstaje monopol: bariery wejścia Po przeczytaniu tego podrozdziału będziesz w stanie: Odróżnić monopol naturalny od monopolu opartego na przepisach prawa Objaśnić, w jaki sposób korzyści skali i kontrola nad zasobami naturalnymi prowadzą nieuchronnie do powstania monopoli Analizować znaczenie znaków handlowych, marek i patentów w promowaniu innowacji Identyfikować przykłady cen dumpingowych Brak konkurencji powoduje, że monopole mogą osiągać znaczne zyski ekonomiczne. Ich wysokość powinna pobudzać energiczne działania potencjalnych konkurentów, tak jak to zostało opisane w rozdziale traktującym o doskonałej konkurencji. Jednak ze względu na jedną szczególną cechę monopolu tak się nie dzieje. Bariery wejścia (ang. barriers to entry ) to przepisy prawa, rozwiązania technologiczne lub siły rynkowe, które zniechęcają potencjalnych konkurentów do wejścia na rynek opanowany przez monopolistę lub im to uniemożliwiają. Bariery wejścia mogą być relatywnie niewielkie i łatwe do pokonania, np. barierą wejścia na rynek detalicznego handlu żywnością będzie koszt wynajmu powierzchni handlowej, lub też bardzo restrykcyjne, np. istnieje skończona liczba częstotliwości radiowych dostępnych dla nadawców. Gdy przedsiębiorstwo zdobędzie prawa do wykorzystywania ich wszystkich, nowi konkurenci nie będą mogli wejść na rynek. Istnienie barier wejścia może prowadzić do powstania monopolu lub ograniczyć konkurencję do kilku przedsiębiorstw. Takie bariery mogą blokować wejście do gałęzi nowych producentów, nawet jeśli działające w niej przedsiębiorstwo lub przedsiębiorstwa osiągają zyski. Tak więc na rynkach chronionych znacznymi barierami wejścia nawet ponadprzeciętne zyski nie przełożą się na wzrost liczby funkcjonujących firm. Tym samym cena obowiązująca na takim rynku nie spadnie, a zyski ekonomiczne nawet w długim okresie nie zmniejszą się do poziomu zysków normalnych. Istnieją dwa rodzaje monopoli, wyróżnione na podstawie rodzaju barier wejścia chroniących rynki, na których monopole te działają. Pierwszym z nich jest monopol naturalny (ang. natural monopoly ), w którego przypadku bariery wejścia mają charakter pozaprawny. Drugim jest monopol oparty na przepisach prawa / prawny (ang. legal monopoly ), w którym zakaz konkurencji (lub jej poważne ograniczenie) wprost wynika z różnego rodzaju regulacji. Monopol naturalny Jeśli korzyści skali występują dla rozmiarów produkcji zdefiniowanych przez popyt rynkowy, może to stanowić istotny czynnik ograniczający konkurencję (wprowadziliśmy ten temat w ). przedstawia krzywą długookresowych kosztów przeciętnych typowego producenta samolotów. Dla produkcji o wielkości do 8 tys. sztuk rocznie i cenie P 0 przedsiębiorstwo napotyka rosnące przychody ze skali produkcji (korzyści skali), dla produkcji od 8 tys. do 20 tys. samolotów rocznie przychody ze skali produkcji są stałe, a dla produkcji większej niż 20 tys. maszyn rocznie przychody ze skali produkcji maleją (pojawiają się niekorzyści skali). Rozważmy teraz na wykresie krzywą popytu, która przecina długookresową krzywą kosztów przeciętnych (LAC) przy poziomie produkcji 5 tys. samolotów rocznie i przy cenie P 1 wyższej niż P 0 . W takiej sytuacji na rynku jest miejsce tylko dla jednego producenta. Jeśli drugie przedsiębiorstwo będzie próbowało wejść na rynek i produkować na przykład 4 tys. samolotów, to jego koszty przeciętne będą wyższe niż w przypadku obecnego już na rynku przedsiębiorstwa. A więc nowy podmiot nie będzie w stanie przedstawić konkurencyjnej oferty dla potencjalnych klientów. Jeśli nowe przedsiębiorstwo spróbuje wejść na rynek i produkować więcej, np. 8 tys. maszyn rocznie, to osiągnie niższe koszty przeciętne, ale nie sprzeda wszystkich wyprodukowanych samolotów z powodu niewystarczającego popytu na rynku. Ekonomia skali i monopol naturalny Na tym rynku krzywa popytu przecina długookresową krzywą kosztów przeciętnych (LAC) w jej opadającej części. Monopol naturalny powstaje wówczas, gdy zapotrzebowanie jest mniejsze niż minimalna wielkość produkcji pozwalająca osiągnąć najniższe koszty przeciętne (optimum techniczne), zaznaczone na krzywej długookresowych kosztów przeciętnych. Rynek, na którym korzyści skali występują dla rozmiarów produkcji zbliżonych do rynkowego zapotrzebowania, ekonomiści nazywają „monopolem naturalnym”. Takie struktury często powstają w gałęziach, w których krańcowy koszt pozyskania dodatkowego klienta jest bardzo niski w sytuacji, gdy koszty stałe zostały już poniesione. Skutkuje to pojawieniem się znacznych korzyści skali. Na przykład gdy firma wodociągowa ułoży już szkielet systemu rur w danej dzielnicy, koszt krańcowy świadczenia usługi dla kolejnej nieruchomości będzie dość niski. Podobnie gdy przedsiębiorstwo dystrybuujące energię elektryczną zainstaluje już linie przesyłowe w nowym rejonie, krańcowy koszt podłączenia do sieci jeszcze jednego domu stanie się minimalny. Wejście na rynek drugiego przedsiębiorstwa świadczącego usługi wodociągowe i inwestycja polegająca na położeniu konkurencyjnego systemu rur lub wejście na rynek drugiego przedsiębiorstwa energetycznego i dublowanie układu linii przesyłowych byłoby nie tylko bardzo kosztowne, ale i niepotrzebne. W tego typu gałęziach jeden sprzedawca, ze względu na korzyści skali, może obsłużyć cały rynek bardziej efektywnie niż wielu mniejszych producentów, którzy musieliby niezależnie od siebie inwestować w kapitał rzeczowy. Warto zwrócić uwagę, że brak ekonomicznego uzasadnienia dla istnienia konkurencji na takich rynkach tworzy presję na regulację działalności monopoli naturalnych przez państwo. Regulator publiczny najczęściej zastrzega sobie prawo do zatwierdzania nowych cen proponowanych przez naturalnego monopolistę, tak aby firma nie nadużywała swojej dominującej pozycji. Przykładem takiego regulatora w polskim środowisku prawnym jest Urząd Regulacji Energetyki (URE) odpowiedzialny za regulację gospodarki paliwowej i energetycznej. Naturalny monopol może również powstać na mniejszych, lokalnych rynkach produktów, których transport jest utrudniony lub kosztowny. Na przykład produkcja cementu charakteryzuje się korzyściami skali, gdyż zapotrzebowanie na cement na danym obszarze bywa zbliżone do ilości, którą może wyprodukować pojedyncza cementownia. Ponadto koszty transportu drogowego tego materiału są wysokie, a więc cementownia działająca na obszarze pozbawionym możliwości transportu wodnego może stać się naturalnym monopolistą. Kontrola zasobów Z inną odmianą monopolu mamy do czynienia wówczas, gdy przedsiębiorstwo kontroluje dostęp do zasobów jakiegoś surowca. W gospodarce amerykańskiej historycznym przykładem takiego monopolu była ALCOA – Aluminium Company of America – przedsiębiorstwo, które dysponowało większością złóż boksytu, kluczowego minerału używanego do produkcji aluminium. W latach 30. XX w., kiedy ALCOA kontrolowała większość podaży boksytów, inne firmy po prostu nie były w stanie wyprodukować wystarczającej ilości aluminium, aby z nią konkurować. Albo inny przykład: większość światowej produkcji diamentów kontrolowana jest przez DeBeers, międzynarodową firmę, która prowadzi działalność wydobywczą w RPA, Botswanie, Namibii oraz Kanadzie, wciąż aktywnie poszukuje nowych złóż na czterech kontynentach i jednocześnie kieruje ogólnoświatową siecią dystrybucji nieoszlifowanych diamentów. Choć w ostatnich latach firma ta napotyka rosnącą konkurencję, to jej wpływ na rynek diamentów jest nadal znaczny. Monopol oparty na przepisach prawa (prawny) W przypadku produkcji niektórych dóbr lub usług to państwo tworzy bariery wejścia, zakazując lub ograniczając konkurencję. Zgodnie z prawem Stanów Zjednoczonych żaden podmiot poza US Postal Service nie może dostarczać przesyłek pierwszej klasy. W Polsce z kolei, realizując monopol państwa, tylko Totalizator Sportowy może oferować klientom hazardowe gry liczbowe i produkty loteryjne. W wielu miastach obowiązują przepisy, które pozwalają gospodarstwom domowym na wybór tylko jednego przedsiębiorstwa energetycznego, jednego przedsiębiorstwa świadczącego usługi wodociągowe i jednego podmiotu wywożącego śmieci. Większość prawnych monopoli to firmy działające na rynku mediów, w jakie wyposażone są budynki (woda, energia elektryczna, gaz lub ciepło), dostarczające produkty niezbędne do codziennego życia, czyli dobra społecznie pożądane. Z drugiej strony prawny monopol jest w pewnym sensie potwierdzeniem tego, że przedsiębiorstwa te są najczęściej naturalnymi monopolami, ze względu na dostęp do kosztownej infrastruktury przesyłowej. Państwo, gwarantując tym podmiotom status monopolistów, zapewnia klientom dostęp do odpowiedniej ilości wysokiej jakości produktów lub usług, jednocześnie rezerwując sobie wpływ na te specyficzne rynki i prawo do kontroli cen. Promocja innowacji Wprowadzenie innowacji wymaga czasu i zasobów. Załóżmy, że przedsiębiorstwo farmaceutyczne inwestuje spore kwoty w badania i dzięki temu wynajduje lekarstwo na przeziębienie. W świecie niemal nieograniczonego dostępu do informacji inne przedsiębiorstwa mogłyby przejąć tę nową substancję i wyprodukować swój lek. A ponieważ nie poniosły kosztów badań, mogłyby zaoferować cenę rynkową poniżej poziomu wyznaczonego przez firmę, która opracowała nowe lekarstwo. Wziąwszy pod uwagę taki scenariusz, wiele przedsiębiorstw w ogóle nie zdecydowałoby się na prowadzenie jakiejkolwiek działalności w obszarze badań i rozwoju (BiR), co w rezultacie znacznie ograniczyłoby liczbę innowacji. Aby temu zapobiec, większość państw wprowadziła rozwiązanie zapewniające autorom i wynalazcom wyłączne prawo do ich odkryć na pewien ograniczony czas. Jest to patent (ang. patent ), który tylko wynalazcy przyznaje prawo do wytwarzania, używania lub sprzedaży wynalazku. W Polsce, podobnie jak w Stanach Zjednoczonych, wyłączne prawa patentowe obowiązują maksymalnie przez 20 lat. Chodzi o to, aby, zapewniając firmie-wynalazcy kontrolę nad rynkiem, umożliwić jej odzyskanie nakładów poniesionych na badania i rozwój, a następnie pozwolić innym przedsiębiorstwom na wytwarzanie tego konkretnego produktu i sprzedawanie go po niższej cenie już po wygaśnięciu patentu. W ten sposób nowy produkt stanie się tańszy i będzie dostępny dla szerszej grupy klientów. Znak towarowy (ang. trademark ) to nazwa konkretnego towaru, takiego jak banany Chiquita , samochody Chevrolet i czekolady Wedel, lub symbol (logo) identyfikujący dany produkt (trzy paski firmy Adidas, gwiazda Mercedesa lub żuraw LOT-u). W USA jest zarejestrowanych ok. 1,9 mln znaków towarowych. W przeciwieństwie do patentu wyłączne prawo do posługiwania się konkretnym znakiem towarowym można sobie zagwarantować na czas nieokreślony, o ile oczywiście symbol lub nazwa są przez przedsiębiorstwo aktywnie używane. Prawo patentowe obejmuje wynalazki, natomiast książki, piosenki i dzieła sztuki są chronione prawami autorskimi. Prawa autorskie ograniczają możliwości wykorzystywania (tj. powielania, kopiowania, prezentowania itd.) oryginalnych dzieł tylko do sytuacji, w których autor wyrazi na to zgodę. Jednak w niektórych obszarach, takich jak tworzenie nowego oprogramowania, nie jest jasne, czy należy stosować ochronę patentową, czy raczej prawo autorskie. Istnieje również zbiór praw znany jako tajemnica handlowa (ang. trade secret ). Nawet jeśli przedsiębiorstwo nie ma patentu na wynalazek, to konkurentom nie wolno kraść tych tajemnic. Jedną z najsłynniejszych tajemnic handlowych jest formuła Coca-Coli, a w Polsce dokładny przepis na wiele słodyczy sprzedawanych np. pod marką Wedel (Ptasie Mleczko). Receptury te nie są chronione ani prawem autorskim, ani prawem patentowym, stanowią po prostu tajemnicę konkretnych przedsiębiorstw. Jeśli zatem komuś udałoby się legalnie skopiować przepisy na wytwarzane przez te firmy produkty, mógłby je zgodnie z prawem sprzedawać, oczywiście pod inną marką. Podsumowując: kombinację wspomnianych wyżej patentów, znaków towarowych, praw autorskich i tajemnicy handlowej nazywamy własnością intelektualną (ang. intellectual property ), ponieważ oznacza ona prawa do pomysłu, koncepcji lub obrazu, a nie części majątku rzeczowego, takiego jak nieruchomości lub środki transportu. Wiele państw uchwaliło prawa chroniące własność intelektualną, chociaż okresy ochrony i szczegółowe przepisy dotyczące tych praw różnią się w zależności od kraju. Trwają międzynarodowe negocjacje prowadzone m.in. pod egidą Światowej Organizacji Własności Intelektualnej (WIPO) mające na celu zwiększenie harmonizacji prawa własności intelektualnej w różnych krajach. Chodzi o ustalenie zakresu, w jakim podmioty w danych państwach będą respektować zagraniczne patenty i prawa autorskie. W większości krajów rozwiniętych, w tym i w Polsce, monopole publiczne wynikające z przepisów prawa były jeszcze 50 lat temu znacznie bardziej powszechne niż obecnie. Przez większą część XX w. w Stanach Zjednoczonych telefoniczne usługi usługi lokalne i międzymiastowe mogła legalnie świadczyć tylko jedna firma – AT&T . Od lat 30. do 70. XX w. przepisy federalne ograniczały w USA możliwości swobodnego oferowania przez linie lotnicze usług na konkretnych trasach, jak również ustalania wysokości opłat pobieranych za bilety. Z kolei w Europie okres swobody świadczenia usług przewozów lotniczych zaczął się dopiero w XXI w. Inne przepisy ograniczały odsetki, jakie banki mogły wypłacać deponentom; jeszcze inne określały, jakie opłaty firmy przewozowe mogły pobierać od klientów. To, jakie produkty uważamy za media związane trwale z nieruchomościami, zależy w dużej mierze od dostępnej technologii. 50 lat temu firmy telekomunikacyjne świadczyły usługi lokalne i międzymiastowe, wykorzystując przewody. Nie było zatem uzasadnienia, aby wiele przedsiębiorstw budowało swoje sieci kablowe w miastach i na terenie całego kraju. AT&T straciło monopol na usługi międzymiastowe, gdy technologia świadczenia usług telefonicznych zmieniła się z przewodowej na transmisję radiową. Dzięki temu wiele przedsiębiorstw mogło korzystać z tego samego urządzenia do przesyłania informacji. To samo stało się z usługami lokalnymi, zwłaszcza w ostatnich latach, wraz z rozwojem systemów telefonii komórkowej. Z kolei rozwój technologii paneli fotowoltaicznych do pewnego stopnia ogranicza monopole związane z przesyłaniem energii. Jak widać, postęp techniczny i rozwój technologii przekładają się na ograniczenie skali funkcjonowania monopoli naturalnych, a w konsekwencji również tych, które cieszą się ochroną prawa. Pod koniec lat 70. XX w. w USA postęp techniczny, zmiana nastawienia opinii publicznej a także przedstawicieli władz federalnych i stanowych, doprowadziły do spopularyzowania przekonania, że rynki mogą zapewnić odpowiednią jakość świadczonych usług. Zapoczątkowało to proces deregulacji (ang. deregulation ), który trwał do lat 90. XX w. Konsekwencją tego procesu było zmniejszenie lub wręcz likwidacja ograniczeń nałożonych na swobodę świadczeń usług (zasady określające możliwości wejścia do branży, wolność wyznaczania cen itd.) w wielu gałęziach gospodarki, takich jak telekomunikacja, przewozy lotnicze, transport samochodowy, bankowość i energetyka. Mimo to nadal na całym świecie – od Europy, przez Amerykę Łacińską, Afrykę i Azję, a na Stanach Zjednoczonych kończąc – wiele rządów nadal kontroluje i ogranicza konkurencję (szczególnie zagraniczną) w branżach, które postrzegane są jako kluczowe, np. transporcie lotniczym i kolejowym, bankowości, telekomunikacji, przemyśle wydobywczym itp. Wejdź na tę stronę , aby dowiedzieć się, jak dziwaczne rzeczy zostały kiedyś opatentowane. Odstraszanie potencjalnych konkurentów Przedsiębiorstwa opracowały bardzo wiele sposobów tworzenia barier, które mają zniechęcać potencjalnych konkurentów do wchodzenia na rynek. Jedna z nich znana jest jako drapieżnictwo cenowe (w literaturze przedmiotu spotykane są również określenia: ceny dumpingowe lub antykonkurencyjne ) (ang. predatory pricing ) i polega na groźbie ogromnych obniżek cen, które zostałyby wprowadzone, gdyby konkurenci zdecydowali się na rozpoczęcie działalności na konkretnym rynku. Posługiwanie się cenami dumpingowymi jest nielegalne zarówno w USA, jak i w Polsce, ale proceder ten bardzo trudno udowodnić. Pomyśl o dużej linii lotniczej, która obsługuje większość lotów między dwoma miastami. Nowa, niewielka linia lotnicza również postanawia oferować swoje usługi na trasie między tymi dwoma ośrodkami. Duża linia natychmiast obcina ceny za to połączenie do poziomu, który wyklucza jakikolwiek zysk małej firmy. Niekiedy wystarczy jednoznacznie zadeklarować, że będzie się stosować tego typu strategię (wystarczy obniżyć ceny do poziomu kosztu przeciętnego, który w przypadku dużych podmiotów zazwyczaj jest niższy, w dodatku będzie to działanie legalne), żeby nikt nie próbował wejść na ten wąski rynek. Dzięki temu nie trzeba nawet obniżać cen w krótkim okresie, żeby podnosić je w okresie długim. To dlatego małe linie lotnicze często oskarżają większe o ustalanie antykonkurencyjnych cen (drapieżnictwo cenowe). Na początku XXI w. w USA ValuJet oskarżał o takie działanie Deltę, Frontier – linie United , a Reno Air przewoźnika Northwest . Z drugiej strony, aby taka strategia miała sens, poziom cen na trasach zmonopolizowanych przez duże linie lotnicze nie może być zbyt wysoki, a to jest korzystne dla klientów. Odbywa się to jednak kosztem coraz niższej jakości, czego najlepszym przykładem na rynku europejskim jest firma Ryanair i wprowadzane przez nią liczne opłaty za usługi, które inne linie lotnicze traktują jako standard. W niektórych przypadkach duże budżety reklamowe również mogą zniechęcać konkurencję. Jeśli jedynym sposobem na wprowadzenie na rynek krajowy nowego, odnoszącego sukcesy napoju jest przeznaczenie na jego marketing sum większych niż te przewidziane w budżetach na reklamę i promocję produktów sprzedawanych pod markami Coca-Cola i Pepsi Cola , to niewiele firm spróbuje to zrobić. Jeśli marka cieszy się renomą i popularnością wśród konsumentów, próba zastąpienia lidera rynkowego swoim produktem może być niezwykle kosztowna lub wręcz niemożliwa do realizacji. Podsumowanie barier wejścia wymienia bariery wejścia, które już omówiliśmy. Ich lista nie jest pełna, ponieważ przedsiębiorstwa wykazują się dużą kreatywnością w wymyślaniu praktyk biznesowych zniechęcających potencjalną konkurencję. Gdy na rynku istnieją bariery wejścia ograniczające swobodę świadczenia usług, model konkurencji doskonałej nie jest właściwym sposobem opisu funkcjonowania danej gałęzi gospodarki. Gdy bariery wejścia są wystarczająco wysokie, może to doprowadzić do powstania monopolu. Bariery wejścia Bariery wejścia Rola państwa Przykład Monopol naturalny Państwo często reaguje na taką sytuację, wprowadzając publicznego regulatora lub nawet nacjonalizując przedsiębiorstwo Przedsiębiorstwa wodociągowe i przesyłające energię elektryczną Kontrola zasobów naturalnych Nie DeBeers na rynku diamentów Monopol prawny Tak Poczta, monopole loteryjne, w przeszłości również regulacja zasad funkcjonowania linii lotniczych i transportu samochodowego Patenty, znaki towarowe, logotypy, prawa autorskie Tak, poprzez ochronę własności intelektualnej Nowe lekarstwa i oprogramowanie Odstraszanie potencjalnych konkurentów Do pewnego stopnia Drapieżnictwo cenowe, budowa silnych marek Key Concepts and Summary Bariery wejścia zniechęcają konkurentów do wejścia na rynek lub uniemożliwiają im to. Bariery te obejmują: korzyści skali, które – jeśli dotyczą rozmiarów produkcji równych popytowi rynkowemu – prowadzą do powstania naturalnego monopolu zaopatrującego cały rynek i niepozostawiającego miejsca dla innych wytwórców; kontrolę zasobów naturalnych; prawne ograniczenia konkurencji; ochronę patentów, znaków towarowych i praw autorskich; i wreszcie praktyki mające na celu odstraszenie konkurencji, takie jak drapieżnictwo cenowe (ceny dumpingowe lub inaczej antykonkurencyjne). Własność intelektualna odnosi się do chronionych przepisami prawa wartości niematerialnych (pomysłów i idei), a nie do fizycznych składników kapitału. Prawa chroniące własność intelektualną obejmują patenty, prawa autorskie, znaki towarowe i tajemnice handlowe. Self-Check Questions Określ, czy następujące rozwiązania są barierą wejścia narzuconą przez państwo, barierą wejścia, która nie jest egzekwowana przez państwo, czy też w ogóle nie są barierą wejścia. Opatentowany wynalazek Popularny, ale łatwy do skopiowania przepis na danie serwowane w restauracji Rynek, na którym rozmiary produkcji dające korzyści skali są bardzo małe w porównaniu z popytem Ugruntowana reputacja firmy, która zawsze znacznie obniża ceny w odpowiedzi na wejście na rynek nowego przedsiębiorstwa Dobrze rozpoznawalna marka starannie budowana przez wiele lat Patent jest narzuconą przez państwo barierą wejścia To nie jest bariera wejścia To nie jest bariera wejścia To jest bariera wejścia, ale nie jest egzekwowana przez państwo To jest bariera wejścia, ale nie jest bezpośrednio ustanowiona przez państwo Określ, czy następujące elementy są barierą wejścia narzuconą przez władze, barierą wejścia, która nie jest egzekwowana przez władze, czy też w ogóle nie są barierą wejścia. Miasto uchwala prawo określające, ile licencji na prowadzenie taksówek zostanie wydanych. Miasto uchwala prawo, zgodnie z którym wszyscy kierowcy taksówek muszą zdać test z bezpiecznej jazdy i posiadać ubezpieczenie Dobrze znane logo Prawa do eksploatacji źródła niezwykle czystej wody Branża, w której rosnące przychody ze skali produkcji występują aż do osiągnięcia wolumenu zdecydowanie przekraczającego popyt rynkowy To jest wprowadzona przez władze bariera wejścia. Jest to przykład prawa wprowadzonego przez władze, ale nie musi ono stanowić istotnej bariery wejścia, jeśli większość osób zainteresowanych prowadzeniem taksówki może bez problemu zdać ten test i nabyć ubezpieczenie. Znaki handlowe są chronione przepisami prawa, których egzekucją zajmuje się państwo, dlatego są barierami wejścia. Najprawdopodobniej nie jest to bariera wejścia, ponieważ jest wiele różnych sposobów pozyskiwania czystej wody. To jest bariera wejścia, ale nie jest wprowadzona przez rząd. Załóżmy, że lokalny zakład energetyczny, prawny monopol oparty na korzyściach skali, został podzielony na cztery przedsiębiorstwa równej wielkości. Celem było wyeliminowanie monopolu i promowanie konkurencji cenowej wśród dostawców energii elektrycznej. Jak myślisz, co stanie się z cenami? Ze względu na korzyści skali każde przedsiębiorstwo produkowałoby przy wyższym niż poprzednio koszcie przeciętnym. (Każde musiałoby zbudować własne linie przesyłowe). W rezultacie każde z przedsiębiorstw musiałoby podnieść ceny, aby pokryć wyższe koszty. Takie rozwiązanie byłoby przeciwskuteczne. Gdyby parlament pewnego kraju skrócił okres ochrony patentowej z 20 do 10 lat, co najprawdopodobniej stałoby się z inwestycjami prywatnych przedsiębiorstw w badania i rozwój? Krótsza ochrona patentowa sprawiłaby, że innowacje stałyby się mniej opłacalne, więc liczba badań i inicjatyw rozwojowych prawdopodobnie by się zmniejszyła. Review Questions Czym różni się monopol od doskonałej konkurencji? Co to jest bariera wejścia? Podaj kilka przykładów. Czym jest monopol naturalny? Co to jest monopol oparty na przepisach prawa (prawny)? Czym jest drapieżnictwo cenowe (ceny dumpingowe lub inaczej antykonkurencyjne)? Czym różni się własność intelektualna od innych rodzajów własności? Jakie prawne mechanizmy chronią własność intelektualną? W jakim sensie monopol naturalny jest „naturalny”? Critical Thinking Questions ALCOA nie ma już monopolu tak silnego jak kiedyś. Jak sądzisz, w jaki sposób doszło do osłabienia barier wejścia chroniących rynek, na którym działa to przedsiębiorstwo? Dlaczego leki generyczne są znacznie tańsze niż markowe? Przez wiele lat amerykański Departament Sprawiedliwości próbował rozbić duże firmy, takie jak IBM, Microsoft , a ostatnio Google , argumentując, że ich duże udziały w rynku w zasadzie czynią je monopolistami. Czy na globalnym rynku, na którym firmy amerykańskie konkurują z przedsiębiorstwami z innych krajów, ta polityka miałaby taki sam sens jak w kontekście wewnętrznym? Prawna ochrona własności intelektualnej ma na celu promowanie innowacji, ale niektórzy ekonomiści, np. Milton Friedman, twierdzili, że takie prawa nie są potrzebne. W Stanach Zjednoczonych nie ma ochrony własności intelektualnej przepisów kulinarnych ani projektów ubrań. Wziąwszy pod uwagę kondycję tych dwóch branż i mając na uwadze dyskusję na temat nieefektywności monopoli, czy możesz podać powody, dla których prawo własności intelektualnej może w niektórych sytuacjach zmniejszać innowacyjność? Problems Wróć do . Załóżmy, że P 0 to 10 zł, a P 1 to 11 zł. Załóżmy też, że nowe przedsiębiorstwo próbuje wejść na rynek, sprzedając 4 tys. sztuk produktu. To nowe przedsiębiorstwo ma taką samą krzywą LAC jak operator zasiedziały już na rynku. Na podstawie wykresu oszacuj, jaki byłby koszt przeciętny produkcji w nowej firmie. Jeśli przedsiębiorstwo zasiedziałe będzie nadal wytwarzać 6 tys. sztuk, jaką wielkość produkcji oba podmioty dostarczą na rynek? Oszacuj, co stanie się z ceną rynkową w wyniku dostarczania produktów na rynek przez obie firmy. Ile w przybliżeniu zarobi każda z nich? bariery wejścia (ang. barriers to entry ) przepisy prawa, rozwiązania technologiczne lub siły rynkowe, które uniemożliwiają potencjalnym konkurentom wejście na rynek lub zniechęcają ich do tego deregulacja (ang. deregulation ) zniesienie państwowych narzędzi kontroli nad podażą i cenami w wybranych branżach własność intelektualna (ang. intellectual property ) zbiór praw, w tym patentów, znaków towarowych, praw autorskich i tajemnic handlowych, które chronią prawo autorów wynalazków do ich produkcji i sprzedaży monopol oparty na przepisach prawa (ang. legal monopoly ) prawny zakaz konkurencji będący konsekwencją regulowanych monopoli ustanowionych przez państwo lub przepisów chroniących własność intelektualną monopol prawny patrz: monopol oparty na przepisach prawa monopol (ang. monopoly ) sytuacja, w której tylko jedno przedsiębiorstwo odpowiada za całą produkcję na rynku monopol naturalny (ang. natural monopoly ) rynek, na którym to czynniki ekonomiczne, takie jak korzyści skali lub kontrola nad kluczowymi zasobami, ograniczają efektywną konkurencję patent (ang. patent ) reguła, zgodnie z którą wynalazca otrzymuje wyłączne prawo do wytwarzania, używania lub sprzedaży swojego wynalazku przez pewien ograniczony okres (najczęściej 20 lat) ceny dumpingowe patrz: drapieżnictwo cenowe drapieżnictwo antykonkurencyjne patrz: drapieżnictwo cenowe drapieżnictwo cenowe (ang. predatory pricing ) strategia polegająca na zastosowaniu przez przedsiębiorstwo funkcjonujące na rynku dużych obniżek cen w krótkim okresie po to, by zniechęcić potencjalnych konkurentów do wejścia na zajęty przez nie rynek lub wyeliminować z niego konkurentów tajemnica handlowa (ang. trade secret ) utrzymywana przez przedsiębiorstwo w tajemnicy receptura produktu lub metoda produkcji znak towarowy (ang. trademark ) nazwa konkretnego towaru lub symbol (logo) identyfikujący dany produkt; może być używany wyłącznie przez firmę, która zarejestrowała ten znak towarowy", "section": "Jak powstaje monopol: bariery wejścia", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Jak maksymalizujący zyski monopol ustala produkcję i ceny Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić kształt krzywej popytu postrzeganej przez monopolistę i firmę doskonale konkurencyjną Przeanalizować kształt krzywej popytu na wyroby monopolisty oraz wskazać wielkość produkcji maksymalizującą jego zysk i utarg Obliczyć przychód krańcowy i koszt krańcowy Wyjaśnić pojęcie efektywności alokacyjnej w warunkach monopolu Wyobraźmy sobie przedsiębiorstwo monopolistyczne w pełni chronione barierami wejścia, tak że nie musi obawiać się konkurencji ze strony innych producentów. W jaki sposób taka firma wybierze wielkość produkcji maksymalizującą zysk i jaką cenę ustali? Zyski monopolisty, jak każdej firmy, będą równe sumie przychodów pomniejszonej o sumę kosztów. Możemy analizować koszty monopolu tak samo jak koszty ponoszone przez przedsiębiorstwo doskonale konkurencyjne – to znaczy badając koszt całkowity, koszt stały, koszt zmienny, koszt krańcowy, całkowity koszt przeciętny i przeciętny koszt zmienny. Jednak z uwagi na to, że monopol nie ma konkurencji, jego sytuacja i sposób podejmowania decyzji będą się różnić od położenia przedsiębiorstwa działającego na rynku doskonale konkurencyjnym. ( omawia problemy, które pojawiają się wraz z próbami definiowania rynku w sytuacji monopolu.) Krzywe popytu postrzegane przez przedsiębiorstwo doskonale konkurencyjne i monopolistę Przedsiębiorstwo działające na rynku doskonale konkurencyjnym jest cenobiorcą. Jego całkowity utarg obliczamy więc, mnożąc cenę rynkową przez wybraną wielkość produkcji. Krzywą popytu – tak jak ją postrzega przedsiębiorstwo na rynku doskonale konkurencyjnym – przedstawia (a). Płaska krzywa popytu oznacza, że przedsiębiorstwo na rynku doskonale konkurencyjnym może sprzedać albo stosunkowo małą ilość, jak Q l , albo stosunkowo dużą ilość, jak Q h , po tej samej cenie rynkowej P. Krzywa popytu dla doskonałej konkurencji i dla monopolu Panel (a) Dla przedsiębiorstwa na rynku doskonale konkurencyjnym krzywa popytu jest płaska. Taki jej przebieg oznacza, że firma może sprzedać małą (Q l ) lub dużą (Q h ) ilość swoich produktów po dokładnie tej samej cenie (P). Panel (b) W przypadku monopolisty jego krzywą popytu jest popyt rynkowy, który – dla większości towarów – ma nachylenie ujemne (opada). Tak więc jeśli monopolista wybierze wysoki poziom produkcji (Q h ), musi ustalić stosunkowo niską cenę (P l ). I odwrotnie, jeśli monopolista postawi na niski poziom produkcji (Q l ), może wówczas żądać wyższej ceny (P h ). Wyzwaniem dla monopolisty jest wybór takiej kombinacji ceny i ilości, która pozwoli na maksymalizację zysków. Jaka jest definicja rynku? Monopolista to przedsiębiorstwo, które sprzedaje wszystkie lub prawie wszystkie towary i usługi dostępne na danym rynku. Jednak jak zdefiniować „rynek”? W słynnej sprawie z 1947 r. amerykański rząd federalny oskarżył firmę DuPont o posiadanie monopolu na rynku celofanu, wskazując, że wyprodukowała ona 75% celofanu w Stanach Zjednoczonych. DuPont odpowiedział, że chociaż ma 75% udziału w rynku celofanu, to stanowi to mniej niż 20% udziału w „elastycznych materiałach opakowaniowych”, które obejmują wszystkie inne odporne na wilgoć papiery i folie. W 1956 r., po wielu latach kolejnych apelacji, Sąd Najwyższy Stanów Zjednoczonych uznał, że szersza definicja rynku jest właściwsza, i oddalił sprawę przeciwko spółce DuPont . Z drugiej strony, w lipcu 2010 r. liderzy na rynku sprzedaży książek niespecjalistycznych (czyli głównie beletrystyki), firmy Empik i Merlin, złożyły do polskiego Urzędu Ochrony Konkurencji i Konsumentów (UOKiK) wniosek o zgodę na połączenie. Podmioty dowodziły, że nawet po fuzji nie osiągną 40% udziału w sprzedaży całego rynku, co zgodnie z polskim prawem uznaje się za pozycję dominującą. UOKiK nie wyraził jednak zgody na tę operację (i ostatecznie nie doszła ona do skutku), argumentując, że wprawdzie nowe przedsiębiorstwo (o nazwie E-Newco) miałoby rynkowe udziały poniżej 40%, ale i tak uzyskałoby dominującą pozycję zarówno wobec ostatecznych klientów, jak i wydawców i firm fonograficznych. Głównym argumentem, który przywołał UOKiK, był ten, że połączenie doprowadziłoby do powstania faktycznego monopolu, gdyż inne działające w tej branży przedsiębiorstwa miałyby udziały w rynku kilkukrotnie mniejsze niż firma E-Newco. Dodatkowo UOKiK wskazywał, że ogólnopolska rozpoznawalność obu marek jest wysoka, a ponadto tylko te dwa podmioty mają dobrze rozwinięte sieci punktów osobistego odbioru. Pytania o to, jak zdefiniować rynek, pojawiają się do dziś. To prawda, że Microsoft w latach 90. XX w. miał dominujący udział w rynku komputerowych systemów operacyjnych, ale w 2014 r. udział Microsoftu w całym rynku oprogramowania i usług komputerowych, od gier po programy naukowe, wynosił tylko ok. 14%. Greyhound , firma świadcząca usługi autobusowych przewozów pasażerskich w USA, może i ma faktyczny monopol na tym rynku, ale jest to tylko niewielki udział w rynku transportu międzymiastowego w ogóle, tj. przewozów samochodami prywatnymi, samolotami i koleją. DeBeers jest monopolistą w handlu diamentami, ale ma znacznie mniejszy udział w całym rynku kamieni szlachetnych i jeszcze mniejszy w całym rynku biżuterii. W małym miasteczku może znajdować się tylko jedna stacja benzynową: czy jest ona wówczas „monopolem”, czy może konkuruje z punktami dystrybucji paliwa znajdującymi się w sąsiednich miejscowościach? Ogólnie rzecz ujmując, jeśli przedsiębiorstwo wytwarza produkt niemający bliskich substytutów, możemy je uznać za producenta monopolistycznego. Jeśli jednak nabywcy mają szereg identycznych lub podobnych opcji dostępnych w innych firmach, to nie mamy do czynienia z monopolistą. Tym niemniej spory o to, czy substytuty są dostatecznie bliskie, czy nie, często budzą emocje. Monopolista może żądać dowolnej ceny za swój produkt, ale popyt na sprzedawane przez niego dobra lub usługi tę swobodę jednak ogranicza. Żaden monopolista, nawet ten w pełni chroniony wysokimi barierami wejścia, nie może wymusić na konsumentach zakupu jego produktu. Ponieważ monopolista jest jedynym przedsiębiorstwem na rynku, jego indywidualna krzywa popytu pokrywa się krzywą rynkową, która (w przeciwieństwie do sytuacji przedsiębiorstwa na rynku doskonale konkurencyjnym) opada. pokazuje tę sytuację. Monopolista może wybrać np. punkt R z niską ceną (P l ) i dużą ilością (Q h ), albo punkt S z wysoką ceną (P h ) i małą ilością (Q l ) lub dowolny punkt pośredni. Ustalenie zbyt wysokiej ceny będzie skutkowało niską sprzedażą i nie przyniesie dużego utargu. I odwrotnie, ustalenie ceny zbyt niskiej może skutkować sprzedażą dużej ilości, ale ze względu na niską cenę również nie przyniesie dużego utargu. Wyzwaniem dla monopolisty jest maksymalizacja zysku dzięki znalezieniu optymalnej relacji między ceną, którą pobiera, a ilością, którą sprzedaje. Dlaczego jednak krzywa popytu dla przedsiębiorstwa działającego na rynku doskonale konkurencyjnym nie jest jednocześnie krzywą popytu rynkowego? Spójrz na kolejną , aby odpowiedzieć na to pytanie. Jaka jest różnica między popytem postrzeganym przez konkretne przedsiębiorstwo a popytem rynkowym? Krzywa popytu postrzegana przez przedsiębiorstwo działające na rynku doskonale konkurencyjnym nie jest tożsama z krzywą popytu rynkowego. Natomiast monopolista krzywą popytu traktuje jak popyt rynkowy. Dzieje się tak z uwagi na fakt, że każde przedsiębiorstwo z bardzo wielu działających na rynku doskonale konkurencyjnym dostrzega tylko popyt na sprzedawane przez siebie produkty, czyli maleńki wycinek całego popytu rynkowego. Natomiast monopol cały popyt rynkowy postrzega jak zapotrzebowanie na swoje produkty. Koszty całkowite i utarg całkowity monopolisty Wielkość zysków monopolisty przedstawione na za pomocą krzywych utargu całkowitego i kosztów całkowitych hipotetycznej firmy Tabletka Zdrowia. Krzywa kosztów całkowitych ma typowy kształt, taki jaki przedstawiliśmy w i jaki wykorzystywaliśmy w rozdziale poświęconym konkurencji doskonałej. Wartość kosztów całkowitych rośnie coraz bardziej wraz ze wzrostem wolumenu produkcji (krzywa kosztów jest coraz bardziej stroma), zgodnie z danymi z ostatniej kolumny w . Utarg całkowity i koszt całkowity dla monopolistycznego przedsiębiorstwa Tabletka Zdrowia Utarg całkowity monopolistycznego przedsiębiorstwa Tabletka Zdrowia najpierw rośnie, a następnie, wraz ze wzrostem sprzedaży powyżej poziomu równego 7, zaczyna spadać. Niski poziom produkcji oznacza stosunkowo niewielki utarg całkowity, ponieważ zapotrzebowanie jest niewielkie. Wysoki poziom produkcji przynosi ponownie relatywnie mniejsze przyrosty utargu, ponieważ duża ilość oferowana na rynku obniża cenę akceptowaną przez klientów. Krzywa kosztów całkowitych jest nachylona w górę. Zyski będą najwyższe przy takiej wielkości produkcji, przy której różnica między utargiem całkowitym a kosztem całkowitym jest największa. Poziom produkcji maksymalizujący zysk nie pokrywa się z poziomem produkcji maksymalizującym utarg, ponieważ zyski poza utargiem uwzględniają jeszcze koszty. Koszt całkowity i utarg całkowity firmy Tabletka Zdrowia (kwoty w zł) Wielkość produkcji (Q) Cena (P) Utarg całkowity (TR) Koszt całkowity (TC) 1 1200 1200 500 2 1100 2200 750 3 1000 3000 1000 4 900 3600 1250 5 800 4000 1650 6 700 4200 2500 7 600 4200 4000 8 500 4000 6400 Ponieważ dla monopolisty krzywa popytu opada, jedynym sposobem na zwiększenie sprzedaży jest obniżenie ceny. Sprzedawanie większej ilości produktów przekłada się na wzrost utargu, ale jednoczesne obniżanie ceny go zmniejsza. W związku z tym wielkość utargu całkowitego zmienia się niejednokierunkowo. Przyjrzyjmy się temu, korzystając z danych w , która wskazuje zapotrzebowanie dla określonych punktów na krzywej popytu i cenę dla każdej z analizowanych wielkości zapotrzebowania. W tabeli zaprezentowana została również wartość utargu całkowitego, czyli iloczyn ceny i wielkości produkcji. (W tym przykładzie dla uproszczenia podajemy wynik jako 1, 2, 3, 4 itd.; jeśli wolisz odrobinę więcej realizmu, możesz sobie wyobrazić, że to przedsiębiorstwo farmaceutyczne mierzy poziomy produkcji i odpowiadające im ceny dla tysiąca lub 10 tys. tabletek.) Na wykresie łatwo zauważyć, że utarg całkowity monopolisty ma kształt stylizowanej paraboli, najpierw rośnie, następnie się wypłaszcza, po czym maleje. W tym przykładzie utarg całkowity jest najwyższy dla produkcji na poziomie 6 lub 7. Jednak monopolista nie dąży do maksymalizacji utargu, ale do osiągnięcia najwyższego możliwego zysku. Nasza firma, której sytuacja jest zilustrowana na , największy zysk osiągnie przy takiej wielkości produkcji, dla której wykres utargu całkowitego jest najbardziej oddalony od krzywej kosztów całkowitych. Wydaje się, że to miejsce znajduje się na środku wykresu, ale gdzie dokładnie? Łatwiej jest znaleźć poziom produkcji maksymalizujący zysk, stosując podejście oparte na wartościach krańcowych (marginalnych), które zaraz przedstawimy. Utarg krańcowy i koszt krańcowy monopolisty W realnym świecie monopolista zwykle nie ma kompletnych informacji umożliwiających analizę krzywych utargu całkowitego lub kosztów całkowitych dla bardzo szerokiego spektrum produkcji i sprzedaży. W końcu przedsiębiorstwo nie wie dokładnie, co by się stało, gdyby rozmiary produkcji zwiększyły się dziesięciokrotnie lub spadły o 90%. Jednak monopolista zazwyczaj ma dość wiarygodne informacje o tym, jak niewielka zmiana produkcji wpłynie na jego krańcowe przychody i koszty. W końcu niewielkie zmiany wytwarzanej ilości dóbr lub usług są chlebem powszednim każdego przedsiębiorstwa, zaś konsekwencje takich umiarkowanych zmian łatwo jest ekstrapolować na podstawie obecnych doświadczeń. Monopolista może wykorzystać wiedzę o utargu krańcowym ( przychodzie marginalnym ) (ang. marginal revenue ) i kosztach krańcowych (ang. marginal costs ), aby znaleźć kombinację ilości oferowanej na rynku i ceny, która pozwoli zmaksymalizować zysk. prezentuje wartości utargu krańcowego i kosztu krańcowego przedsiębiorstwa Tabletka Zdrowia obliczone na podstawie kosztów całkowitych i utargu całkowitego przedstawionych w . Kształt obu krzywych jest typowy: krzywa kosztu krańcowego jest rosnąca, zaś krzywa utargu krańcowego opadająca, jak to widać na . Zauważ, że utarg krańcowy wynosi zero przy wielkości produkcji równej 7 i staje się ujemny przy produkcji powyżej tego poziomu. To, że utarg krańcowy może być zerowy lub ujemny, wydaje się sprzeczne z intuicją: czyż zwiększenie sprzedaży nie powinno oznaczać większego przychodu? Dla przedsiębiorstwa na rynku doskonale konkurencyjnym każda dodatkowo sprzedana jednostka powiększała utarg całkowity, gdyż utarg krańcowy (przychód marginalny) był nie tylko dodatni, ale również stały i równy cenie rynkowej. Jednak monopolista może sprzedać więcej i odnotować spadek utargu całkowitego ( przychodu całkowitego ) (ang. total revenue ). Gdy monopolista zwiększa zbyt o dodatkową jednostkę, osiąga pewien utarg krańcowy z jej sprzedaży i w konsekwencji utarg całkowity rośnie. Jednocześnie jednak jest zmuszony obniżyć cenę na wszystkie dotychczas sprzedawane jednostki (w końcu krzywa popytu opada). To z kolei będzie zmniejszać jego utarg całkowity. Wraz ze wzrostem ilości oferowanej na rynku relatywne znaczenie malejącej ceny staje się większe niż wpływ dodatkowego utargu ze sprzedaży jeszcze jednej sztuki produktu. Oznacza to, że wraz ze wzrostem sprzedaży utarg całkowity zaczyna maleć, zaś utarg krańcowy staje się ujemny. Utarg krańcowy i koszt krańcowy w przedsiębiorstwie monopolistycznym Tabletka Zdrowia W przypadku monopolu takiego jak Tabletka Zdrowia utarg krańcowy maleje wraz ze wzrostem produkcji i sprzedaży. Krzywa kosztów krańcowych jest nachylona w górę. Wyborem maksymalizującym zysk dla monopolu będzie produkcja na poziomie, przy którym utarg krańcowy jest równy kosztowi krańcowemu, czyli MR = MC . Jeśli monopol produkuje mniej, to MR > MC , a przedsiębiorstwo mogłoby osiągać wyższe zyski dzięki zwiększeniu produkcji. Jeśli przedsiębiorstwo produkuje więcej, to MC > MR , a zatem zyski mogłyby być wyższe dzięki zmniejszeniu produkcji. Koszty i utarg przedsiębiorstwa Tabletka Zdrowia (kwoty w zł) Wielkość produkcji (Q) Utarg całkowity (TR) Utarg krańcowy (MR) Koszt całkowity (TC) Koszt krańcowy (MC) 1 1200 1200 500 500 2 2200 1000 775 275 3 3000 800 1000 225 4 3600 600 1250 250 5 4000 400 1650 400 6 4200 200 2500 850 7 4200 0 4000 1500 8 4000 –200 6400 2400 Monopolista może określić cenę i wielkość produkcji maksymalizującą zysk dzięki analizie utargu krańcowego i kosztu krańcowego. Jeśli utarg krańcowy przekracza koszt krańcowy, przedsiębiorstwo powinno zdecydować się na wyprodukowanie tej dodatkowej jednostki. Na przykład dla produkcji równej 4 na utarg krańcowy wynosi 600, a koszt krańcowy 250, więc produkcja tej jednostki wyraźnie zwiększy zysk całkowity. Przy produkcji równej 5 utarg krańcowy wynosi 400, a koszt krańcowy 400, zatem produkcja tej jednostki oznacza, że całkowite zyski pozostają niezmienione. Jednak zwiększenie produkcji z 5 do 6 wiązałoby się z utargiem krańcowym wynoszącym 200 i kosztem krańcowym równym 850, a więc wytworzenie i sprzedaż tej jednostki faktycznie zmniejszy zyski. A zatem, na podstawie analizy wartości utargu i kosztu krańcowego zaprezentowanych w tabeli, monopolista może stwierdzić, że wielkość produkcji maksymalizująca zysk wynosi 5. Monopolista mógłby poszukiwać poziomu produkcji maksymalizującego zysk, obliczając wartości utargu krańcowego i kosztu krańcowego przy niewielkim wzroście produkcji i sprzedaży, a następnie albo zwiększać produkcję, dopóki utarg krańcowy nie przekroczy wartości kosztu krańcowego, albo zmniejszyć produkcję, jeśli koszt krańcowy stanie się większy niż utarg krańcowy. Zwróćmy uwagę, że taki sposób analizy nie wymaga obliczania wartości utargu całkowitego ani kosztów całkowitych. Zatem monopolista maksymalizujący zysk powinien kierować się zasadą zwiększania produkcji do poziomu, w którym utarg krańcowy zrówna się z kosztem krańcowym, czyli MR = MC . Ta wielkość jest łatwa do identyfikacji na wykresie, gdyż w tym punkcie krzywe MR i MC się przecinają. Maksymalizacja zysków Jeśli fakt, że wielkość produkcji, dla której utarg krańcowy zrównuje się z kosztem krańcowym, pozwala zmaksymalizować zysk przedsiębiorstwa, wydaje ci się sprzeczny z intuicją, przeanalizuj poniższy przykład liczbowy. Krok 1. Pamiętaj, że koszt krańcowy definiujemy jako zmianę kosztu całkowitego związaną z wytworzeniem dodatkowej jednostki produkcji. MC = zmiana kosztu całkowitego zmiana wielkości produkcji Krok 2. Zauważ w , że gdy produkcja wzrasta z jednej do dwóch jednostek, koszt całkowity zwiększa się z 500 zł do 775 zł. W rezultacie koszt krańcowy wyprodukowania drugiej jednostki wyniesie: MC = 775 zł – 500 zł 1 = 275 zł Krok 3. Pamiętaj, że analogicznie do kosztu utarg krańcowy to zmiana przychodu całkowitego wynikająca ze sprzedaży dodatkowej wyprodukowanej jednostki. MR = zmiana utargu całkowitego zmiana wielkości sprzedaży Krok 4. Zauważ w , że gdy produkcja wzrasta z jednej do dwóch jednostek, utarg całkowity wzrasta z 1200 zł do 2200 zł. W rezultacie utarg krańcowy ze sprzedaży drugiej jednostki wyniesie: MR = 2200 zł – 1200 zł 1 = 1000 zł Utarg krańcowy, koszt krańcowy, zysk krańcowy i całkowity (kwoty w zł) Wielkość produkcji (Q) Utarg krańcowy (MR) Koszt krańcowy (MC) Zysk krańcowy Zysk całkowity 1 1200 500 700 700 2 1000 275 725 1425 3 800 225 575 2000 4 600 250 350 2350 5 400 400 0 2350 6 200 850 −650 1700 7 0 1500 −1500 200 8 −200 2400 −2600 −2400 zawiera te same wartości kosztu krańcowego i utargu krańcowego, które znajdują się w . Pojawiają się jednak dwie dodatkowe kolumny: zysk krańcowy (ang. marginal profit ) to zysk możliwy do uzyskania z każdej dodatkowej sprzedanej jednostki; definiujemy go jako różnicę między utargiem krańcowym a kosztem krańcowym, i zysk całkowity, który jest sumą zysków krańcowych. Dopóki zysk krańcowy jest dodatni, produkcja i sprzedaż dodatkowej jednostki zwiększy zyski całkowite. Gdy zysk krańcowy staje się ujemny, produkcja i sprzedaż dodatkowej jednostki zmniejszy całkowite zyski. Całkowity zysk jest maksymalizowany, gdy utarg krańcowy równa się kosztowi krańcowemu. W tym przykładzie maksymalny zysk występuje przy 5 jednostkach produkcji. Przedsiębiorstwo działające na rynku doskonale konkurencyjnym również wyznaczy wolumen produkcji maksymalizujący zysk na poziomie, dla którego MR = MC . Kluczowa różnica polega na tym, że w przypadku przedsiębiorstwa na rynku doskonale konkurencyjnym utarg krańcowy jest równy cenie ( MR = P ) , podczas gdy dla monopolisty utarg krańcowy nie jest równy cenie, bo wraz ze zmianami wielkości produkcji, cena również się zmienia. Graficzne przedstawienie zysku monopolu Obliczenie wartości zysku, jeśli znany jest zarówno utarg całkowity, jak i koszt całkowity, jest bardzo łatwe. Wielkość zysków monopolisty można również zilustrować graficznie, tak jak na . Krzywe kosztu krańcowego i utargu krańcowego są takie same jak na poprzednim wykresie, a dodatkowo pokazane są: krzywa kosztów przeciętnych i krzywa popytu rynkowego na produkt monopolisty. zawiera dane liczbowe potrzebne do narysowania tych krzywych (kwoty w zł). Wielkość produkcji (Q) Cena (P) Utarg krańcowy (MR) Koszt krańcowy (MC) Koszt przeciętny (AC) 1 1200 1200 500 500 2 1100 1000 275 388 3 1000 800 225 333 4 900 600 250 313 5 800 400 400 330 6 700 200 850 417 7 600 0 1500 571 8 500 –200 2400 800 Graficzna ilustracja wartości zysków dla monopolistycznego przedsiębiorstwa Tabletka Zdrowia Na wykresie najpierw narysowano te same krzywe utargu krańcowego i kosztu krańcowego co na wykresie poprzednim. Następnie dodana została krzywa kosztu przeciętnego i krzywa popytu na produkty monopolisty. Przedsiębiorstwo Tabletka Zdrowia zaczyna od wyboru wielkości produkcji, dla której MR = MC . W tym przykładzie wynosi ona 5. Następnie monopolista decyduje, jaką cenę wyznaczyć, kierując się zależnościami z krzywej popytu. Pole dużego prostokąta ograniczone wybraną wielkością produkcji na osi poziomej i ceną odczytaną z krzywej popytu na osi pionowej wskazuje utarg całkowity tego przedsiębiorstwa. Jaśniejsze pole, które ograniczone jest przez wielkość produkcji na osi poziomej i koszt przeciętny dla wybranej wielkości produkcji na osi pionowej, wskazuje całkowity koszt przedsiębiorstwa. Duże pole utargu całkowitego minus mniejsze pole kosztu całkowitego daje ciemne pole ilustrujące zysk całkowity. Ponieważ wyznaczona przez monopolistę cena jest wyższa od kosztu przeciętnego, przedsiębiorstwo osiąga zyski większe od zera (zyski nadzwyczajne lub monopolowe). pokazuje trzyetapowy proces, w ramach którego monopolista: wybiera wielkość produkcji maksymalizującą zysk, decyduje, jaką cenę wyznaczyć, i określa swój utarg całkowity, koszt całkowity i zysk. Krok 1: Monopolista określa poziom produkcji maksymalizujący zysk Przedsiębiorstwo może wykorzystać krzywą popytu do obliczenia utargu całkowitego i na tej podstawie wyznaczyć swoją krzywą utargu krańcowego. Produkcja maksymalizująca zysk występuje dla wolumenu, dla którego zostanie spełniony warunek MR = MC , lub dla ostatniego poziomu produkcji, dla którego utarg krańcowy jest wciąż wyższy od kosztu krańcowego. Na warunek MR = MC występuje przy wielkości produkcji równej 5. Krok 2: Monopolista decyduje, po jakiej cenie sprzedawać produkt Monopolista będzie pobierał maksymalną cenę, jaką konsumenci są gotowi zapłacić. Linia przerywana poprowadzona od wielkości produkcji maksymalizującej zysk do krzywej popytu wskazuje cenę maksymalizującą zysk, która na wynosi 800 zł. Ta cena jest wyższa od poziomu kosztów przeciętnych dla tych rozmiarów produkcji, co oznacza, że przedsiębiorstwo realizuje zyski nadzwyczajne. Nadwyżka ceny nad kosztem krańcowym określana jest przez ekonomistów jako „siła monopolowa”. Monopolista taką siłą dysponuje, w przeciwieństwie do przedsiębiorstwa doskonale konkurencyjnego, które zrównuje cenę z kosztem krańcowym, zgodnie z warunkiem P = MR = MC . Krok 3: Obliczenie utargu całkowitego, kosztów całkowitych i zysku Utarg (przychód) całkowity to cały zacieniony obszar, którego szerokość wyznaczona jest przez wielkość produkcji i sprzedaży, a wysokość – przez cenę. Na jest to 5 × 800 = 4000 [ zł ] . Na dolna część tego pola, zacieniona nieco jaśniejszym odcieniem, wskazuje koszty całkowite; jest to wielkość produkcji na osi poziomej pomnożona przez koszt przeciętny na osi pionowej, zatem 5 × 330 = 1650 [ zł ] . Większe pole utargu całkowitego minus mniejsze pole kosztów całkowitych to zysk, zilustrowany przez intensywnie zacieniowane pole. Korzystając z danych, dostajemy 4000 – 1650 = 2350 [ zł ] . Na rynku doskonale konkurencyjnym brak barier wejścia w długim okresie zmniejszyłby ten zysk do zera. Jednak monopolistę i jego rynek takie bariery chronią. W praktyce jedną z oczywistych wskazówek świadczących o tym, że gałąź jest zmonopolizowana, są zyski ekonomiczne, które działające w niej przedsiębiorstwo regularnie notuje, robiąc cały czas to samo i nie przejmując się potencjalną konkurencją, która mogłaby te zyski ograniczyć lub zlikwidować. W jaki sposób monopol maksymalizujący zyski podejmuje decyzję o cenie swoich produktów W pierwszym kroku monopolista wybiera poziom produkcji Q 1 , przy którym zysk jest maksymalny; jest to wielkość spełniająca warunek MR = MC . W kroku drugim monopolista decyduje, jaką cenę wyznaczyć dla tego poziomu produkcji (Q 1 ). Może to łatwo zrobić, wykreślając linię prostą od Q 1 do punktu R na jego indywidualnej krzywej popytu (która jest tożsama z popytem rynkowym). W ten sposób monopolista określi cenę (P 1 ). W kroku trzecim monopolista oblicza swój zysk. Utarg całkowity to Q 1 pomnożone przez P 1 . Koszt całkowity zostanie określony przez pomnożenie wielkości produkcji Q 1 przez koszt przeciętny. Jest on wskazany przez punkt S na krzywej kosztu przeciętnego i wynosi P 2 . Zysk to utarg całkowity minus koszt całkowity, a więc zacieniony obszar na rysunku. Dlaczego utarg krańcowy monopolisty jest zawsze niższy od ceny? Krzywa utargu krańcowego (przychodu marginalnego) monopolisty zawsze leży poniżej krzywej popytu rynkowego. Aby zrozumieć dlaczego, pomyśl o zwiększeniu zapotrzebowania o jednostkę wraz z przesuwaniem się wzdłuż krzywej popytu. Zrób jeden krok w dół krzywej popytu do nieco większej ilości, ale nieco niższej ceny. Krzywa popytu zazwyczaj nie jest sekwencyjna: nie możemy najpierw sprzedać ilości Q 1 po wyższej cenie, a następnie sprzedać dodatkowe jednostki po cenie niższej (aby osiągnąć poziom Q 2 ). Krzywa popytu jest raczej warunkowa: jeśli naliczymy wyższą cenę, to sprzedamy Q 1 . Jeśli zamiast tego wyznaczymy cenę niższą (na wszystkie sprzedawane jednostki), możemy sprzedać Q 2 . Warto jednak zwrócić uwagę, że niekiedy monopolista jest w stanie sprzedawać ten sam produkt różnym klientom lub grupom klientów po zróżnicowanych cenach (pomyśl w tym kontekście np. o ulgowych biletach do kina dla uczniów i studentów). Takie działanie nosi nazwę różnicowania ceny (ang. differential pricing ). Jeśli przedsiębiorstwo jest w stanie sprzedawać swój produkt każdemu kolejnemu klientowi po innej cenie, mamy do czynienia z doskonałym różnicowaniem ceny (ang. perfect price discrimination ). Zwiększenie sprzedawanej ilości o jednostkę na utarg krańcowy wpływa dwojako. Po pierwsze, sprzedajemy dodatkową jednostkę po nowej cenie rynkowej. Po drugie, wszystkie poprzednie jednostki, które sprzedawaliśmy po wyższej cenie, teraz sprzedawane są taniej. Ze względu na nową, niższą cenę wszystkich sprzedawanych jednostek utarg krańcowy ze sprzedaży jednostki jest mniejszy niż jej cena, dlatego krzywa utargu krańcowego znajduje się poniżej krzywej popytu. Wskazówka : W przypadku krzywej popytu mającej postać linii prostej MR i popyt wychodzą z tego samego punktu na pionowej osi. Wraz ze wzrostem produkcji utarg krańcowy zmniejsza się dwa razy bardziej niż popyt, tak że punkt przecięcia MR z osią poziomą znajduje się w połowie odległości między punktem przecięcia krzywej popytu z osią poziomą a początkiem układu współrzędnych. Możesz to zobaczyć na . Ta sama zależność będzie charakterystyczna dla wszystkich przedsiębiorstw, dla których indywidualna krzywa popytu ma nachylenie ujemne, czyli dla wszystkich poza firmami doskonale konkurencyjnymi. Krzywa utargu krańcowego vs krzywa popytu dla monopolisty Ponieważ krzywa popytu rynkowego jest warunkowa, to krzywa utargu krańcowego monopolisty leży poniżej krzywej popytu Nieefektywność monopolu Większość ludzi krytykuje monopole, ponieważ wyznaczają zbyt wysokie ceny na oferowane przez siebie produkty. Ale ekonomiści wskazują raczej na fakt, iż monopole nie dostarczają na rynek dostatecznie dużych rozmiarów produkcji, które zapewniłyby efektywność alokacyjną. Aby zrozumieć, dlaczego monopol jest nieefektywny, warto porównać go ze wzorcowym modelem konkurencji doskonałej. Przypomnijmy, że efektywność alokacyjna (ang. allocative efficiency ) to koncepcja ekonomiczna odnosząca się do efektywności na poziomie społecznym (całego społeczeństwa). Oznacza wytwarzanie takiego wolumenu produkcji jakiegoś dobra lub usługi, dla którego społeczna korzyść krańcowa jest równa społecznemu kosztowi krańcowemu. Dla przedsiębiorstwa działającego w gałęzi doskonale konkurencyjnej warunek ten jest spełniony. Przedsiębiorstwo doskonale konkurencyjne produkuje i sprzedaje swoje towary w takiej ilości, dla której cena równa się kosztowi krańcowemu P = MC ) , przy czym cena rynkowa jest wyrażoną w pieniądzach miarą tego, jak bardzo kupujący cenią dane dobro, a koszt krańcowy (MC) jest pieniężną miarą tego, ile społeczeństwo musi poświęcić, aby to dobro wyprodukować. Przestrzeganie tej zasady zapewnia efektywność alokacyjną. Jeśli cena jest wyższa niż koszt krańcowy P > MC ) , wtedy krańcowa korzyść dla społeczeństwa (mierzona ceną) jest większa niż krańcowy koszt społeczny wyprodukowania dodatkowych jednostek, a więc produkcja powinna zostać zwiększona. Jednak w przypadku monopolu cena jest zawsze wyższa niż koszt krańcowy dla produkcji maksymalizującej zysk, jak to można zauważyć na przykład na . Tym samym działania monopolu przekładają się na pogorszenie sytuacji konsumentów, którzy będą mogli na rynku kupić mniejszą ilość i będą musieli zapłacić wyższą cenę, niż miałoby to miejsce na rynku doskonale konkurencyjnym. Problem nieefektywności monopoli jest często jeszcze bardziej skomplikowany niż omówione powyżej kwestie, szczególnie wtedy, gdy rozważymy bodźce do zwiększania efektywności tych przedsiębiorstw w długim okresie. Na firmy funkcjonujące na rynku działają równoważące się do pewnego stopnia siły. Z jednej strony bowiem przedsiębiorstwa mogą inwestować w działalność innowacyjną, licząc na to, że patenty, czy w szerszym kontekście własność intelektualna, pozwolą im na uzyskanie (lub wzmocnienie) pozycji monopolistycznej i osiąganie wysokich zysków, przynajmniej przez kilka lat, dopóki konkurencja nie nadrobi zaległości. A więc monopole mogą powstać z powodu presji konkurencyjnej wywieranej na przedsiębiorstwa. Jednak po ustanowieniu barier wejścia monopolista, który nie musi się już obawiać konkurencji, może po prostu wytwarzać te same produkty w ten sam sposób (niezależnie od tego, czy istnieją możliwości poprawy jakości sprzedawanych przez monopolistę wyrobów lub szanse na obniżenie kosztów procesów produkcyjnych), jednocześnie zapewniając sobie wystarczająco wysoką stopę zysku. John Hicks, zdobywca Nagrody Nobla z ekonomii w 1972 r., napisał w roku 1935: „Największą korzyścią z pozycji monopolistycznej jest spokojne życie” ( „The best of all monopoly profits is a quiet life” ). Oczywiście nie była to żadną miarą aprobata dla zachowania tego typu firm. Hicks miał na myśli to, że monopoliści mogą gromadzić zyski, nie troszcząc się specjalnie o satysfakcję swoich klientów. Gdy AT&T było wyłącznym dostawcą usług telefonii lokalnej i międzymiastowej w Stanach Zjednoczonych oraz produkowało większość sprzętu telefonicznego, plany taryfowe i modele telefonów właściwie się nie zmieniały. Było to wręcz źródłem gorzkich dowcipów, jakoby klient tej firmy mógł nabyć swój telefon w dowolnym kolorze pod warunkiem, że będzie to kolor czarny. Jednak w 1982 r., na skutek zainicjowanego przez amerykański rząd federalny postępowania sądowego, monopolista został podzielony na kilka mniejszych podmiotów: lokalne firmy telekomunikacyjne (tzw. baby bells ), przedsiębiorstwo świadczące usługi połączeń międzymiastowych i producenta sprzętu telefonicznego. Konsekwencją tego posunięcia była eksplozja innowacji. Udostępniono takie usługi, jak połączenie oczekujące, identyfikacja dzwoniącego numeru, połączenia trójstronne, pocztę głosową utrzymywaną dzięki infrastrukturze technicznej operatorów, a nie aparatom telefonicznym wyposażonym w rejestrację głosu, telefony komórkowe i bezprzewodowe połączenia z internetem. Firmy oferowały również szeroką gamę planów taryfowych, które pozwoliły obniżyć ceny połączeń dla większości klientów. Również aparaty telefonicznie stały się dostępne w szerokiej gamie kolorów i kształtów. Likwidacja monopolu telefonicznego przyniosła niższe ceny, bardziej dostępne usługi, a także falę innowacji ukierunkowanych na wzrost satysfakcji klientów. Reszta jest historią W przykładzie na początku rozdziału przedstawiliśmy Kompanię Wschodnioindyjską i Stany Skonfederowane jako monopolistycznych lub prawie monopolistycznych dostawców towarów. Znamy wynik wizyty kolonistów przebranych za Mohawków na statkach przewożących herbatę w porcie bostońskim, czyli „herbatki bostońskiej\". Jeśli zaś chodzi o przemysł bawełniany, wiemy również, że Wielka Brytania pozostała neutralna podczas wojny secesyjnej, nie opowiadając się po żadnej ze stron konfliktu. Czy monopolistyczny charakter tych przedsięwzięć gospodarczych miał niezamierzone historyczne konsekwencje? Czy rewolucja amerykańska zostałaby powstrzymana, gdyby Kompania Wschodnioindyjska zawróciła statki z herbatą do Anglii? Czy stany południowe mogły podjąć inne decyzje, gdyby nie były tak pewne, że „Królestwo Bawełny” wymusi dyplomatyczne uznanie Skonfederowanych Stanów Ameryki? Pewności co do tych kwestii nie będziemy mieć nigdy. Nie możemy cofnąć czasu i przetestować alternatywnych scenariuszy. Możemy jednak wziąć pod uwagę monopolistyczny charakter tych przedsiębiorstw, ocenić ich konsekwencje i zastanowić się, co mogłoby się wydarzyć w innych okolicznościach. Gdyby istniał wolny handel herbatą, być może koloniści patrzyliby na relację z Koroną Brytyjską inaczej. Na rynek amerykański przemycano by herbatę holenderską. Gdyby koloniści mogli ją swobodnie kupować, zapłaciliby niższe ceny i uniknęliby podatku. A co z monopolem na sprzedaż bawełny? Jedno na pięć miejsc pracy w Wielkiej Brytanii opierało się na importowanej z południowych stanów bawełnie, a Stany Skonfederowane były prawie jedynym jej dostawcą. Dlaczego Wielka Brytania zachowała neutralność podczas wojny secesyjnej? Na początku konfliktu po prostu ściągnęła ogromne zapasy bawełny, które były wykorzystywane do końca 1862 r. Dlaczego nie uznała Konfederacji po wyczerpaniu tych zapasów? Z dwóch powodów: Proklamacji Emancypacji i nowych źródeł bawełny. Po zniesieniu niewolnictwa w Wielkiej Brytanii w 1833 r. dyplomatyczne uznanie Skonfederowanych Stanów, które jednoznacznie popierały prawo do posiadania i handlu niewolnikami, było politycznie niemożliwe bez względu na to, czy magazyny bawełny były puste, czy nie. Ponadto w ciągu dwóch lat korzystania z zapasów amerykańskiej bawełny Wielka Brytania rozszerzyła import tego surowca z Indii, Egiptu i Brazylii. Sprzedawcy cieszący się pozycją monopolistyczną często nie dostrzegają zagrożeń dla swojego uprzywilejowanego statusu na rynku. Czy w przywołanych historycznych przykładach siła monopolu zaślepiła decydentów? Czy to w wyniku ich działań historia potoczyła się w sposób, jaki znamy? To całkiem możliwe. Key Concepts and Summary Monopolista nie jest cenobiorcą, ponieważ decydując, jaką ilość wyprodukuje, określa również cenę rynkową. Dla monopolisty utarg całkowity jest stosunkowo niski zarówno przy relatywnie małych, jak i przy znacznych rozmiarach produkcji i sprzedaży –początkowo ze względu na niewielki popyt, a później z powodu niskiej ceny rynkowej. Tak więc łączny utarg monopolisty wraz ze wzrostem produkcji najpierw rośnie, żeby później zacząć spadać. Krańcowy utarg monopolisty, czyli dodatkowy utarg ze sprzedaży kolejnych jednostek, maleje dla całych rozmiarów popytu, gdyż wraz ze wzrostem sprzedaży monopolista jest zmuszony obniżać cenę na coraz większy wolumen produkcji. Monopolista wybierze poziom produkcji maksymalizujący zysk przy rozmiarach, dla których MR = MC , a następnie wyznaczy cenę odczytaną z krzywej popytu rynkowego, który jest jednocześnie popytem na wyroby monopolisty. Zazwyczaj cena ta jest wyższa niż poziom kosztów przeciętnych, dzięki czemu monopolista realizuje zyski ekonomiczne. Firmy monopolistyczne wyznaczają produkcję na poziomie, który nie jest efektywny, bo nie produkują przy minimum krzywej kosztów przeciętnych. Monopoliści nie zapewniają również efektywności alokacyjnej, ponieważ sprzedają wyroby po cenie, która jest wyższa od kosztu krańcowego (dysponują siłą monopolową). W rezultacie podaż na rynkach zmonopolizowanych jest mniejsza, a cena wyższa niż w przypadku gałęzi doskonale konkurencyjnych. Monopoliści napotykają również na niewielkie bodźce skłaniające ich do inwestycji w innowacje, jako że nie muszą obawiać się wejścia na ich rynek nowych przedsiębiorstw. Self-Check Questions Załóżmy, że popyt na produkt monopolu spada tak, że jego cena maksymalizująca zysk jest niższa od średniego kosztu zmiennego. Jaką wielkość produkcji powinna zaoferować ta firma? Podpowiedź : Narysuj wykres. Jeśli cena spadnie poniżej AVC, przedsiębiorstwo nie będzie w stanie uzyskać przychodów wystarczających nawet na pokrycie kosztów zmiennych. W takim przypadku poniesie mniejsze straty, jeśli wstrzyma produkcję. Gdyby jednak postanowiło działać i wyprodukowało ilość, dla której MR = MC , ponosiłoby straty w wysokości sumy kosztów stałych i części kosztów zmiennych. Jeśli zakończy działalność, poniesie straty jedynie w wysokości kosztów stałych. Wyobraź sobie, że monopolista może żądać od każdego klienta innej ceny w zależności od tego, ile ten jest gotów zapłacić (czyli doskonale różnicuje ceny). Jak wpłynęłoby to na zyski monopolistów? Konsekwencją takiego działania byłby wzrost produkcji oferowanej na rynku przez monopolistę do poziomu, jaki zostałby osiągnięty w gałęzi doskonale konkurencyjnej. Nie pojawiłaby się jednak nadwyżka konsumenta, ponieważ każdy kupujący płaciłby dokładnie tyle, ile według niego wart jest ten konkretny produkt. Dlatego monopolista osiągałby w takiej sytuacji maksymalne możliwe do uzyskania zyski. Review Questions Czym różni się krzywa popytu postrzegana przez firmę doskonale konkurencyjną od krzywej popytu postrzeganej przez monopolistę? Jak można porównać krzywą popytu postrzeganą przez monopolistę z krzywą popytu rynkowego? Czy monopolista jest cenobiorcą? Wyjaśnij pokrótce. Jaki jest typowy kształt krzywej utargu całkowitego dla monopolisty? Dlaczego? Jaki jest typowy kształt krzywej utargu krańcowego dla monopolisty? Dlaczego? Jak monopolista może określić poziom produkcji maksymalizujący zysk, jeśli zna krzywe utargu całkowitego i kosztów całkowitych? Jak monopolista może określić poziom produkcji maksymalizujący zysk, jeśli zna swój utarg krańcowy i koszty krańcowe? Gdy monopolista określi wielkość produkcji maksymalizującą zysk, w jaki sposób decyduje o cenie? Czy monopolista zapewnia efektywność alokacyjną? Dlaczego tak lub dlaczego nie? Jak różnią się wielkość produkcji i cena określona przez monopolistę od wielkości produkcji i ceny uzyskiwanej przez firmę doskonale konkurencyjną? Critical Thinking Questions Wyobraź sobie, że zarządzasz małym przedsiębiorstwem i myślisz o wejściu na zmonopolizowany rynek. Monopolista posługuje się dość wysoką ceną, a z twoich obliczeń wynika, że możesz osiągnąć niezły zysk, pobierając 10% mniej niż on. Zanim zdecydujesz się na ten krok i rzucisz mu wyzwanie, jakie możliwe reakcje monopolisty musisz wziąć pod uwagę? O ile zmniejszą się zyski monopolistyczne w długim okresie w związku z wejściem na rynek nowych podmiotów? Problems Narysuj krzywe popytu, utargu krańcowego i kosztu krańcowego takie jak na . Określ wielkość produkcji, jaką monopol chce dostarczać, oraz cenę, jaką będzie pobierać. Załóżmy, że popyt na ten produkt gwałtownie wzrośnie. Narysuj nową krzywą popytu. Co dzieje się z utargiem krańcowym w wyniku wzrostu popytu? Co dzieje się z krzywą kosztu krańcowego? Zidentyfikuj nową ilość i cenę maksymalizującą zysk. Czy odpowiedź ma dla ciebie sens? Narysuj krzywe popytu, utargu krańcowego i kosztu krańcowego monopolisty. Zidentyfikuj poziom produkcji maksymalizujący jego zysk. Teraz pomyśl o nieco wyższym poziomie produkcji (powiedzmy Q 0 + 1 ). Czy zgodnie z wykresem istnieje jakiś konsument skłonny zapłacić więcej niż koszt krańcowy wzrostu produkcji? Jeśli tak, co to oznacza? References Aboukhadijeh, Feross. “Chapter 20: Girding for War – The North and the South, 1861-1865.” StudyNotes, Inc . Accessed July 7, 2013. http://www.apstudynotes.org/us-history/outlines/chapter-20-girding-for-war-the-north-and-the-south-1861-1865/. British Parliament. “(28 August 1833). Slavery Abolition Act 1833; Section LXIV.” Accessed July 2013. http://www.pdavis.nl/Legis_07.htm. Dattel, E. (nd). \"Cotton and the Civil War.\" Mississippi Historical Society . Accessed July 2013. http://mshistorynow.mdah.state.ms.us/articles/291/cotton-and-the-civil-war. Gartner. 2015. “Gartner Says Tablet Sales Continue to Be Slow in 2015.” Accessed March 12, 2015. http://www.gartner.com/newsroom/id/2954317. Grogan, David. 2015. “Federal Judge Finds AmEx’s Anti-Steering Rule Violates Antitrust Law.” American Booksellers Association. Accessed March 12, 2015. http://www.bookweb.org/news/federal-judge-finds-amex%E2%80%99s-anti-steering-rule-violates-antitrust-law. Massachusetts Historical Society. “The Coming of the American Revolution 1764-1776: The Boston Tea Party.” Retrieved from http://www.masshist.org/revolution/teaparty.php. Massachusetts Historical Society. “Whereas our Nation.” The Massachusetts Gazette , p. 2. Accessed July 2013 http://www.masshist.org/revolution/image-viewer.php?old=1&item_id=457&img_step=1&nmask=1&mode=large. Pelegrin, William. 2015. “Judge Overrules Antitrust Case Against Google, Says Setting Default Search Engines Is Fair.” Digital Trends. Accessed March 12, 2015. http://www.digitaltrends.com/mobile/judge-tosses-out-google-antitrust-lawsuit/. efektywność alokacyjna (ang. allocative efficiency ) optymalna wielkość produkcji dobra lub usługi spełniająca zależność, zgodnie z którą społeczna korzyść krańcowa związana z wyprodukowaniem kolejnej jednostki jest równa społecznemu kosztowi krańcowemu zysk krańcowy (ang. marginal profit ) zysk związany ze sprzedażą kolejnej jednostki produkcji obliczony jako różnica między przychodem krańcowym a kosztem krańcowym", "section": "Jak maksymalizujący zyski monopol ustala produkcję i ceny", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Konkurujące marki Rynek płynów do prania nie jest doskonale konkurencyjny, ale nie jest też zmonopolizowany. (Źródło: modyfikacja pracy autorstwa Pixel Drip/Flickr Creative Commons) Pokusa, aby przeciwstawić się prawu Płyny do prania i lód do napojów to produkty, które wydają się dość przyziemne, a może nawet nudne. Tak samo postrzegane są rynki, na których sprzedaje się i kupuje te dobra. W rzeczywistości wcale nudne nie są! Na obu tych rynkach doszło do sekretnych spotkań i tajnych porozumień godnych szpiegowskiej opowieści. We Francji w latach 1997–2004 czterech największych producentów płynów do prania ( Procter & Gamble , Henkel , Unilever i Colgate-Palmolive ) kontrolowało ok. 90% rynku tych produktów. Pracownicy wspomnianych firm spotykali się potajemnie w ustronnych paryskich kawiarniach, by wyeliminować konkurencję i zagwarantować poziom cen satysfakcjonujący wszystkich wtajemniczonych. Mniej więcej w tym samym czasie pięciu największych producentów lodu do napojów na Środkowym Zachodzie USA ( Home City Ice , Lang Ice , Tinley Ice , Sisler’s Dairy i Products of Ohio ) chciało osiągnąć analogiczne cele. Ich pracownicy również odbywali potajemne spotkania, na których dzielili między swoich pracodawców rynek lodu do napojów. W Polsce z kolei tajne porozumienie zawarli producenci farb (m.in. Tikkurila i Akzo Nobel) i właściciele marketów budowlanych (m.in. sieci Praktiker i Castorama ), którzy również starali się ograniczać konkurencję ze strony innych podmiotów i ustalić poziom cen zapewniający uczestnikom zmowy dodatkowe zyski. Gdyby przedsiębiorstwom zawierającym takie tajne porozumienia udało się osiągnąć swoje cele, zachowywałyby się jak jedno przedsiębiorstwo (monopolista na rynku), zapewniając sobie zyski monopolowe. Gdzie leży problem? Otóż w większości krajów świata, w tym w Polsce, Unii Europejskiej i Stanach Zjednoczonych, przedsiębiorstwa nie mogą w ten sposób dzielić rynków ani wspólnie ustalać cen. Tego typu działania są nielegalne. Opisane wyżej przypadki są przykładami rynków, które nie są ani konkurencją doskonałą, ani monopolem. To struktury rynkowe znajdujące się między tymi dwiema skrajnościami. Jak się zachowują? Dlaczego istnieją? Na końcu niniejszego rozdziału wrócimy do nielegalnych porozumień, by wyjawić, jakie były ich konsekwencje. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Jakie cechy wyróżniają strukturę rynku określaną jako konkurencja monopolistyczna Na czym polega specyfika oligopolu Konkurencja doskonała i monopol znajdują się na przeciwległych krańcach spektrum struktur rynku. W gałęzi doskonale konkurencyjnej istnieje wiele przedsiębiorstw sprzedających identyczne produkty, wszystkie firmy działają jako biorcy ceny, a ich rynek nie jest chroniony żadnymi barierami wejścia (nie ma również żadnych barier wyjścia). Jako biorców cen lub cenobiorców (ang. price takers ) określamy przedsiębiorstwa, które nie mają siły monopolowej. Muszą po prostu przyjąć cenę rynkową jako daną. Monopol zaś powstaje, gdy tylko jedno przedsiębiorstwo sprzedaje produkt, dla którego nie ma żadnych bliskich substytutów. W Polsce przez wiele lat monopolistą pozostawała Poczta Polska, ponieważ tylko to przedsiębiorstwo oferowało usługi polegające na przekazywaniu przesyłek pocztowych. Ostatecznie ten zagwarantowany prawem monopol na przesyłanie listów o masie poniżej 50 g wygasł z początkiem 2013 r. A co z ogromną większością realnie istniejących przedsiębiorstw, które znajdują się między tymi skrajnościami – firmami, które działają na rynkach niedoskonale konkurencyjnych (ang. imperfectly competitive )? Co determinuje ich zachowanie? Mają one większy wpływ na cenę niż przedsiębiorstwa doskonale konkurencyjne, ale nie tak silny jak monopol. Jaka zatem będzie ich strategia rynkowa? Jednym z dwóch podstawowych rodzajów rynku konkurencji niedoskonałej jest konkurencja monopolistyczna (ang. monopolistic competition ). Na rynkach konkurencji monopolistycznej działa duża liczba konkurujących ze sobą przedsiębiorstw. Sprzedawane przez nie produkty wprawdzie nieco się różnią, są jednak dość bliskimi substytutami. Rozważmy jako przykład Arkadię, jedno z centrów handlowych w Warszawie (choć równie dobrze mogłaby to być łódzka Manufaktura). Na początku 2022 r. w Arkadii mieściło się 97 sklepów, w których można było kupić artykuły określane przez właścicieli tego centrum jako moda (m.in. Bershka, Mango, Reserved i Zara). Dodatkowo, odzież można było też nabyć w istniejącym na terenie Arkadii supermarkecie i sklepach sprzedających akcesoria sportowe (np. Intersport i 4F). Większość rynków, na których sprzedaje się dobra konsumpcyjne ostatecznym nabywcom, zorganizowana jest na zasadach konkurencji monopolistycznej. Innym rodzajem niedoskonale konkurencyjnego rynku jest oligopol (ang. oligopoly ). Rynki oligopolistyczne to takie, na których funkcjonuje niewielka liczba przedsiębiorstw. Dobrym przykładem są producenci pasażerskich samolotów odrzutowych: Boeing, Airbus i Embrarer, którzy łącznie mają niemal 100% sprzedaży w tej gałęzi przemysłu. Innym przykładem jest amerykański (i polski!) przemysł napojów bezalkoholowych, na którym dominują Coca-Cola i PepsiCo . Oligopolem jest również światowy rynek samochodów osobowych, na którym działa kilkunastu producentów, a także polski rynek ubezpieczeń majątkowych (również kilkanaście podmiotów), na którym kupujemy ubezpieczenia aut. Oligopole charakteryzują się wysokimi barierami wejścia i współzależnością wszystkich działających na nich przedsiębiorstw. Podmioty na rynkach oligopolistycznych określają wolumen produkcji, ustalają ceny i podejmują inne decyzje strategiczne w oparciu o swoje przewidywania dotyczące zachowania konkurentów. W pierwszej części niniejszego rozdziału pokażemy, w jaki sposób firmy na rynku konkurencji monopolistycznej wybierają poziom produkcji i ceny pozwalające na maksymalizację zysku. W drugim podrozdziale omówimy z kolei strategie przedsiębiorstw oligopolistycznych, które stoją w obliczu dwóch sprzecznych bodźców: legalnej lub nielegalnej współpracy, która zamieni ich branżę w faktyczny monopol, lub twardej walki konkurencyjnej polegającej na zwiększaniu sprzedaży i obniżaniu cen. Przedsiębiorstwa działające na rynkach oligopolistycznych, w zależności od konkretnych warunków, niekiedy mogą również wykorzystywać elementy strategii monopolistów i przedsiębiorstw działających w warunkach konkurencji doskonałej.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Konkurencja monopolistyczna Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić znaczenie procesu różnicowania produktów Opisać, w jaki sposób przedsiębiorstwo działające na rynku konkurencji monopolistycznej wybiera wielkość produkcji i poziom cen Objaśnić, w jaki sposób pojęcia efektywności, a także wyjścia z rynku i wejścia na rynek, odnoszą się do konkurencji monopolistycznej Przeanalizować wpływ kampanii marketingowych na rynek konkurencji monopolistycznej Konkurencja monopolistyczna obejmuje wiele przedsiębiorstw konkurujących ze sobą, ale sprzedających produkty, które – choć zaspokajają tę samą lub bardzo zbliżoną potrzebę – różnią się od siebie. Najbardziej typowymi przykładami rynków, na których konkurencję można opisać za pomocą tego modelu, są sklepy odzieżowe, restauracje, sklepy spożywcze, producenci nabiału i piwa, czyli produktów, które są bardzo do siebie zbliżone (konia z rzędem temu, kto w tzw. ślepej próbie rozpozna rozmaite marki masła czy sera edamskiego), ale różnią się w percepcji konsumentów ze względu na reklamę i siłę marki. Pamiętajmy w tym kontekście, że w Polsce w 2020 r. działało blisko 65,5 tys. stałych i sezonowych placówek gastronomicznych. Gdy produkty są zróżnicowane (przynajmniej zdaniem potencjalnych nabywców), każde przedsiębiorstwo ma minimonopol na swój konkretny styl, smak lub nazwę marki. Większość z nas ma przecież ulubiony bar czy restaurację, choć trudno byłoby nam wyjaśnić postronnemu obserwatorowi, dlaczego na spotkanie z przyjaciółmi i rodzinny obiad wybieramy właśnie to konkretne miejsce. Jednak przedsiębiorstwa sprzedające tego typu dobra lub usługi, niezależnie od tego, jak bardzo klienci są przekonani o ich wyjątkowości, wciąż muszą rywalizować z podmiotami mającymi podobną ofertę. Termin „konkurencja monopolistyczna” ujmuje tę mieszankę minimonopolu i ostrej konkurencji, a poniższa opisuje jej pochodzenie. Kto wymyślił teorię konkurencji niedoskonałej? W 1933 r. dwoje ekonomistów niemal jednocześnie, ale niezależnie od siebie, opracowało teorię konkurencji niedoskonałej. Pierwszym był Edward Chamberlin z Uniwersytetu Harvarda, który opublikował książkę Economics of Monopolistic Competition . Drugą Joan Robinson z Cambridge University, autorka monografii The Economics of Imperfect Competition. Robinson następnie zainteresowała się makroekonomią i stała się wybitną keynesistką, a później ekonomistką postkeynesowską. (Więcej informacji o J. M. Keynesie znajdziesz w .) Różnicowanie produktów Przedsiębiorstwo może próbować odróżnić swoje produkty od oferty konkurencji na kilka sposobów: wykorzystując ich fizyczne cechy, lokalizację miejsca sprzedaży, aspekty niematerialne, jak również przez postrzeganie i renomę rynkową swoich dóbr i usług. Proces ten nazywamy różnicowaniem produktów (ang. product differentiation ). Fizyczne aspekty produktu obejmują wszystkie słyszane w reklamach zwroty typu: „niezwykle wytrzymała na odkształcenia”, „nieprzywierająca powierzchnia”, „na nowo zaprojektowane dla twojej wygody”, czy nawet „bielszy odcień bieli”. Różnicę między producentami może również stanowić lokalizacja przedsiębiorstwa. Na przykład stacja benzynowa znajdująca się przy ruchliwej arterii prawdopodobnie będzie notować większe obroty niż ta zlokalizowana na uboczu, ponieważ przejeżdża obok niej więcej samochodów. Podobnie bar szybkiej obsługi umiejscowiony w pobliżu uniwersytetu sprzeda więcej kanapek i frytek niż ten na obrzeżach miasta. Z kolei wytwórca podzespołów samochodowych zapewne uzna, że korzystne jest ulokowanie swojego zakładu w pobliżu fabryki samochodów. Różnicować produkty mogą również aspekty niematerialne, np.: obietnica zwrotu pieniędzy, jeśli produkt nam się nie spodoba, bezpłatna dostawa lub oferowanie (albo pośredniczenie w uzyskaniu) pożyczki na zakup danego dobra. Wreszcie różnice w postrzeganiu produktu mogą mieć całkowicie subiektywny charakter. Na przykład wiele osób nie potrafi odróżnić smaków popularnych odmian ketchupu lub majonezu, gdy nie widzi ich opakowania, ale nawyki i reklamy wyrobiły w nich silne preferencje w stosunku do określonych marek. Reklama może odgrywać rolę w kształtowaniu tych niematerialnych preferencji. Pojęcie różnicowania produktów jest ściśle związane ze stopniem różnorodności dóbr i usług dostępnych na rynku. Gdyby wszyscy członkowie społeczeństwa chcieli nosić tylko niebieskie dżinsy, jeść wyłącznie biały chleb i pić wodę z kranu, rynki odzieży, żywności i napojów byłyby znacznie bliższe konkurencji doskonałej. Różnorodność oferowanych stylów, smaków, lokalizacji i cech, która odzwierciedla potrzeby klientów, powoduje zróżnicowanie produktów i tym samym istnienie konkurencji monopolistycznej. Popyt na produkt przedsiębiorstwa w konkurencji monopolistycznej Popyt na produkt przedsiębiorstwa działającego w ramach w konkurencji monopolistycznej jest przypadkiem pośrednim między monopolem a konkurencją doskonałą, jakkolwiek stosunkowo bliskim konkurencji doskonałej. przypomina, że krzywa popytu (ang. demand curve ) na dobro lub usługę przedsiębiorstwa doskonale konkurencyjnego jest doskonale elastyczna (ang. perfectly elastic ) lub płaska, ponieważ firma doskonale konkurencyjna może sprzedać dowolną wielkość produkcji po cenie rynkowej (ang. market price ). W przeciwieństwie do tego krzywa popytu na produkt monopolisty jest nie tylko nachylona ujemnie, ale jest to również rynkowa krzywa popytu, ponieważ monopolista jest jedynym przedsiębiorstwem działającym na tym rynku. Natomiast z oczywistych względów krzywa popytu na produkty pojedynczego przedsiębiorstwa działającego w warunkach konkurencji (zarówno doskonałej, jak i monopolistycznej) różni się od rynkowej krzywej popytu. Krzywa popytu na produkt przedsiębiorstwa w konkurencji monopolistycznej nie jest płaska, lecz, podobnie jak to ma miejsce w monopolu, ma nachylenie ujemne, co oznacza, że przedsiębiorstwo może podnieść cenę bez utraty wszystkich klientów lub obniżyć cenę i zwiększyć wolumen sprzedaży. Ponieważ istnieje wiele bliskich substytutów, krzywa popytu na produkt przedsiębiorstwa w konkurencji monopolistycznej jest bardziej elastyczna niż krzywa popytu dla monopolu, który nie ma żadnych konkurentów. Jeśli monopolista podniesie cenę, niektórzy konsumenci zrezygnują z zakupu jego produktu, ale wtedy będą musieli zaspokoić swoją potrzebę w inny sposób (rezygnacja z monopolistycznej oferty transportu publicznego w ich mieście spowoduje, że zaczną np. chodzić pieszo lub dojeżdżać na uczelnię rowerem). Natomiast gdy na ten sam krok zdecyduje się firma działająca w ramach konkurencji monopolistycznej, niektórzy konsumenci zrezygnują z zakupu produktu, ale inni przeniosą popyt na podobne dobro lub usługę oferowane przez konkurentów (jeśli jedna z wielu korporacji taksówkowych podniesie ceny, mogą nie tylko całkowicie zaprzestać korzystania z taksówek, lecz również wybrać dojazdy z inną firmą). Jeśli zatem przedsiębiorstwo w konkurencji monopolistycznej podniesie cenę, straci więcej klientów niż monopolista, ale utrzyma się na rynku. Natomiast przedsiębiorstwo działające w ramach konkurencji doskonałej w przypadku podniesienia ceny nie sprzeda nic. Na pierwszy rzut oka krzywe popytu na produkty monopolisty i przedsiębiorstwa działającego w warunkach konkurencji monopolistycznej wyglądają podobnie – obie mają nachylenie ujemne. Jednak ich podstawowe znaczenie ekonomiczne jest inne, ponieważ monopolista napotyka na rynkową krzywą popytu, a przedsiębiorstwo działające w ramach konkurencji monopolistycznej nie. Krzywa popytu na produkt przedsiębiorstwa działającego w warunkach konkurencji monopolistycznej jest tylko jedną z wielu łącznie tworzących popyt dla całego rynku (gdyż na tym rynku działa wiele przedsiębiorstw). Czy rozumiesz tę różnicę? Jeśli tak, to jak sklasyfikujesz rynek piłek golfowych? Zastanów się, a następnie przejdź do . Czy piłki golfowe są naprawdę zróżnicowanymi produktami? Konkurencja monopolistyczna opisuje sytuację w gałęzi, w której działa wiele przedsiębiorstw, a każde z nich oferuje produkt różniący się – z punktu widzenia konsumenta – od dóbr i usług konkurentów. Amerykańskie Stowarzyszenie Golfa (USGA) prowadzi laboratorium, które testuje 20 tys. piłek golfowych rocznie. Istnieją ścisłe regulacje dotyczące parametrów piłki golfowej. Jej masa nie może przekraczać 1,62 uncji, a średnica nie może być mniejsza niż 1,68 cala (co oznacza odpowiednio 45,93 g i 42,67 mm, gdybyście się nad tym zastanawiali). Stowarzyszenie testuje również piłki, uderzając je z różnymi prędkościami. Na przykład test odległości polega na tym, że maszyna uderza piłkę tytanowym kijem i rozpędza do prędkości 120 mph (czyli 193 km/godz.). Jak wyjaśnia ośrodek testowy: „System USGA wykorzystuje następnie szereg czujników, które dokładnie mierzą trajektorię lotu piłki golfowej w pomieszczeniu. Na podstawie tych danych komputer oblicza siły nośne i oporu generowane przez prędkość, rotację i wzór wgłębień piłki. (...) Limit odległości, na jaki musi polecieć piłka, to 317 jardów (czyli bez mała 290 m)”. Ponad 1800 rodzajów piłek golfowych sprzedawanych pod różnymi markami przez ponad 100 firm spełnia standardy USGA. Piłki różnią się wzorem wgłębień i rodzajem plastiku na powierzchni oraz wewnątrz, a także innymi, niedostrzegalnymi dla laika elementami. Wszystkie te piłki muszą przejść te same testy USGA, więc podobieństwa między nimi są znacznie większe niż różnice. Innymi słowy, producenci piłek golfowych tworzą rynek będący konkurencją monopolistyczną. Wartość sprzedaży detalicznej piłek golfowych w USA wynosi ok. 500 mln dol. rocznie, co oznacza, że wiele dużych przedsiębiorstw ma silną motywację do przekonywania graczy, że piłki golfowe bardzo się między sobą różnią, a wybór konkretnego modelu ma ogromne znaczenie. To oczywiste, że Tiger Woods potrafi wskazać takie różnice. Jednak dla przeciętnego golfisty amatora, który gra kilka razy w sezonie – i który traci wiele piłek w lesie i w jeziorze, tak że wciąż musi kupować nowe – większość piłek golfowych jest prawie nie do rozróżnienia. Jak przedsiębiorstwo działające w ramach konkurencji monopolistycznej wybiera wielkość produkcji i cenę Przedsiębiorstwo działające w ramach konkurencji monopolistycznej decyduje o maksymalizujących zysk wielkości produkcji i cenie w sposób analogiczny jak monopolista. Ono również ma do czynienia z opadającą krzywą popytu, więc wybierze jedną z leżących na niej kombinacji ceny i wolumenu produkcji. Jako przykład maksymalizującego zysk przedsiębiorstwa działającego w ramach konkurencji monopolistycznej niech posłuży mała restauracyjka o nazwie Prawdziwie Polska Pizza, której specjalnością są placki z ketchupem, oscypkiem i wyborem polskich kiełbas. Chociaż Prawdziwie Polska Pizza musi konkurować z innymi pizzeriami i knajpkami oferującymi kuchnię polską i międzynarodową, to w kontekście tego rodzaju działalności mamy do czynienia ze zróżnicowanym produktem. Krzywa popytu, jaką napotyka firma, ma nachylenie ujemne, tak jak to zostało pokazane na i w dwóch pierwszych kolumnach . W jaki sposób maksymalizujące zysk przedsiębiorstwo działające w ramach konkurencji monopolistycznej wybiera wielkość produkcji i cenę Aby zmaksymalizować zysk, Prawdziwie Polska Pizza wybrałby wielkość produkcji (Q), dla której utarg krańcowy równa się kosztowi krańcowemu, czyli MR = MC . Będzie to 40 małych placków sprzedawanych po 16 zł za sztukę. Zestawienie dziennych utargów i kosztów firmy Prawdziwie Polska Pizza (kwoty w zł) Liczba placków Cena Utarg całkowity (TR) Utarg krańcowy (MR) Koszt całkowity (TC) Koszt krańcowy (MC) Koszt przeciętny (AC) 10 23 230 23 340 34 34 20 20 400 17 400 6 20 30 18 540 14 480 8 16 40 16 640 10 580 10 14,50 50 14 700 6 700 12 14 60 12 720 2 840 14 14 70 10 700 –2 1020 18 14,57 80 8 640 –6 1280 26 16 Aby policzyć utarg całkowity przedsiębiorstwa wskazany w trzeciej kolumnie , musimy pomnożyć cenę przez zapotrzebowanie właściwe dla każdego punktu na krzywej popytu. W czwartej kolumnie tabeli został wskazany utarg krańcowy, który jest obliczany jako iloraz zmiany utargu całkowitego i zmiany wielkości produkcji. Ostatnie trzy kolumny wskazują koszty całkowite, koszt krańcowy i koszt przeciętny. Koszt krańcowy obliczamy, dzieląc zmianę kosztów całkowitych przez zmianę wielkości produkcji, a koszt przeciętny ustalamy, dzieląc koszty całkowite przez wielkość produkcji. Więcej w poniższej . Jak przedsiębiorstwo działające w ramach konkurencji monopolistycznej ustala wielkość produkcji i cenę Proces wyboru wielkości produkcji i ceny, które maksymalizują zysk przedsiębiorstwa działającego w warunkach konkurencji monopolistycznej bardzo przypomina sposób, w jaki decyzje te podejmuje monopolista. Najpierw przedsiębiorstwo wybiera wielkość produkcji maksymalizującą zysk. Następnie decyduje, jaką cenę rynkową narzucić w tym konkretnym przypadku. Krok 1. Przedsiębiorstwo określa wielkość produkcji, która pozwala zmaksymalizować zysk. W tym przypadku firma Prawdziwie Polska Pizza wyznacza poziom produkcji, biorąc pod uwagę swoje utargi krańcowe i koszty krańcowe. Możliwe są dwa scenariusze: 1. Jeśli podmiot wytwarza wielkość produkcji, dla której utarg krańcowy jest wyższy niż koszt krańcowy, to powinien zwiększać produkcję, ponieważ każda dodatkowa jednostka podnosi zysk (dodatkowy utarg przewyższa dodatkowy koszt). W ten sposób firma będzie zwiększać produkcję aż do poziomu, w którym MR = MC . 2. Jeśli podmiot wytwarza wielkość produkcji, dla której koszt krańcowy jest wyższy niż utarg krańcowy, to każda dodatkowa pizza oznacza stratę, gdyż dodatkowy koszt związany z jej wytworzeniem jest większy niż dodatkowy utarg wynikający z jej sprzedaży. Tym samym przedsiębiorstwo zwiększy swoje zyski, zmniejszając produkcję aż do momentu, w którym MR = MC . W naszym przykładzie MR i MC przecinają się przy wielkości produkcji równej 40 plackom, co jest wolumenem maksymalizującym zysk przedsiębiorstwa. Krok 2. Przedsiębiorstwo w konkurencji monopolistycznej decyduje, jaką cenę narzucić. Kiedy określi wielkość produkcji maksymalizującą zysk, może spojrzeć na swoją krzywą popytu, aby wyznaczyć cenę pobieraną za tę konkretną liczbę placków. Na wykresie ilustrujemy ten proces jako pionową linię biegnącą w górę, od wielkości produkcji maksymalizującej zysk do krzywej popytu firmy. Spółka Prawdziwie Polska Pizza powinna pobierać cenę 16 zł za pizzę, przy wielkości sprzedaży równej 40 sztukom. Gdy przedsiębiorstwo wybierze cenę i wielkość produkcji, jest w stanie obliczyć utarg całkowity, koszty całkowite i zysk. Przy wolumenie produkcji równym 40 cena 16 zł leży powyżej krzywej kosztów przeciętnych, więc firma osiąga zyski ekonomiczne. Z wynika, że przy ilości 40 utarg całkowity przedsiębiorstwa wynosi 640 zł, a jego koszty całkowite 580 zł, więc zysk wynosi 60 zł. Na utarg całkowity przedsiębiorstwa to prostokąt o wymiarach odpowiadających ilości 40 na osi poziomej i cenie 16 na osi pionowej. Koszty całkowite przedsiębiorstwa to jasno zacieniony prostokąt o wymiarach odpowiadających takiej samej ilości 40 na osi poziomej, ale kosztowi przeciętnemu 14,50 zł na osi pionowej. Zysk to utarg całkowity pomniejszony o koszt całkowity, czyli zacieniony obszar powyżej krzywej kosztu przeciętnego. Chociaż proces podejmowania przez przedsiębiorstwo działające w ramach konkurencji monopolistycznej decyzji ilościowych i cenowych jest podobny do sposobu, w jaki decyzje te podejmuje monopolista, warto pamiętać o dwóch różnicach. Po pierwsze, mimo że zarówno monopolista, jak i monopolistyczny konkurent mają do czynienia z krzywymi popytu o ujemnym nachyleniu, krzywa popytu monopolisty jest rynkową krzywą popytu, natomiast krzywa popytu przedsiębiorstwa działającego w ramach konkurencji monopolistycznej jest silnie zdeterminowana zakresem, w jakim stara się ono odróżnić swój produkt od dóbr lub usług oferowanych przez konkurentów i od liczby tych konkurentów. Po drugie, w monopolu istnieją nieprzekraczalne bariery wejścia i monopolista nie obawia się zaistnienia nowych przedsiębiorstw w gałęzi. Natomiast monopolistyczny konkurent osiągający zysk ekonomiczny musi spodziewać się wejścia do branży firm oferujących zbliżony produkt. Przedsiębiorstwa działające w ramach konkurencji monopolistycznej a decyzje o wejściu do gałęzi Jeśli jakieś przedsiębiorstwo działające w ramach konkurencji monopolistycznej osiąga zysk ekonomiczny, to inne firmy będą chciały wejść na ten rynek. Doskonale zlokalizowana stacja benzynowa (np. przy drodze wylotowej z dużej aglomeracji) powinna bardzo poważnie obawiać się nie tylko otwarcia nowych punktów w najbliższej okolicy, ale również tego, że nowe stacje benzynowe będą oferować dodatkowo kawę i drobne przekąski lub możliwość umycia auta. Odnoszącą sukcesy restaurację z wyjątkowo smacznymi pierogami musi niepokoić możliwość, że inne punkty gastronomiczne będą próbowały skopiować przepis na to danie lub zaproponować smaczniejsze potrawy i darmowe napoje. Producent proszku do prania cieszącego się doskonałą reputacją musi mieć na uwadze, że konkurenci zapewne będą dążyć do utrwalenia wśród konsumentów pozytywnych opinii o swoich produktach. Wejście nowych przedsiębiorstw na konkretny rynek (np. detalicznej sprzedaży paliw, restauracji lub środków do prania) przesuwa krzywą popytu na produkty pojedynczego przedsiębiorstwa w konkurencji monopolistycznej. Gdy nowe firmy wejdą na rynek, wielkość zapotrzebowania przy każdym poziomie ceny dla wszystkich przedsiębiorstw sprzedających swoje dobra lub usługi na tym rynku spadnie, a tym samym ich krzywe popytu przesuną się w lewo. To przesunięcie doprowadzi do analogicznego ruchu krzywą utargu krańcowego, która również przesunie się w lewo. To z kolei przyniesie zmniejszenie wielkości produkcji dostarczanej przez każde z przedsiębiorstw na rynek, bowiem utarg krańcowy i koszt krańcowy zrównają się, wyznaczając mniejszy wolumen produkcji. Panel (a) na pokazuje sytuację, w której przedsiębiorstwo działające w ramach konkurencji monopolistycznej osiąga zysk przy początkowej krzywej popytu (D 0 ). Przecięcie krzywej utargu krańcowego (MR 0 ) i krzywej kosztu krańcowego (MC) następuje w punkcie S, odpowiadającym produkcji na poziomie Q 0 . Z krzywej popytu wynika, że dla tego wolumenu produkcji cena rynkowa będzie wynosić P 0 . Punkt T, oznaczający kombinację ceny P 0 i ilości Q 0 , leży powyżej krzywej kosztów przeciętnych, co oznacza, że firma osiąga dodatnie zyski ekonomiczne. Konkurencja monopolistyczna, wejście i wyjście z gałęzi Panel (a) Przy P 0 i Q 0 konkurent monopolistyczny osiąga zysk ekonomiczny. Jest to zrozumiałe, ponieważ jeśli podążysz wzdłuż linii przerywanej powyżej Q 0 , zobaczysz, że cena leży powyżej kosztu przeciętnego. Dodatnie zyski ekonomiczne przyciągają do gałęzi nowe podmioty, obniżając popyt pierwotnego przedsiębiorstwa do D 1 . W nowym punkcie równowagi (P 1 , Q 1 ) pierwotne przedsiębiorstwo osiąga zerowe zyski ekonomiczne, a bodźce skłaniające kolejne przedsiębiorstwa do wejście do gałęzi ustają. Na panelu (b) mamy pokazaną odwrotną sytuację. Przy P 0 i Q 0 firma notuje straty. Jeśli podążysz wzdłuż linii przerywanej nad Q 0 , zobaczysz, że koszt przeciętny jest wyższy niż cena. Straty – jeśli jest to sytuacja typowa dla wielu przedsiębiorstw w tej branży – skłaniają firmy do jej opuszczenia. Kiedy tak się dzieje, popyt na produkty przedsiębiorstwa, które zdecydowało się kontynuować działalność, wzrasta do D 1 , gdzie znów osiąga ono zerowy zysk ekonomiczny. W przeciwieństwie do monopolu, chronionego nieprzekraczalnymi barierami wejścia, przedsiębiorstwa działające w warunkach konkurencji monopolistycznej, jeśli tylko notują zyski ekonomiczne, muszą się liczyć z wejściem na ich rynek kolejnych podmiotów. Kiedy nowe firmy wchodzą na rynek, krzywe popytu przedsiębiorstw zasiedziałych w branży przesuwają się w lewo, z D 0 do D 1 , a związane z nią krzywe utargu krańcowego przesuwają się z MR 0 do MR 1 . Nowa produkcja maksymalizująca zysk to Q 1 , ponieważ przecięcie MR 1 i MC występuje teraz w punkcie U. Dla tego wolumenu produkcji i zgodnie z nową krzywą popytu cena rynkowa wynosi P 1 . Dopóki przedsiębiorstwa działające w danej gałęzi osiągają dodatnie zyski ekonomiczne, nowi konkurenci będą wchodzić na rynek, zmniejszając popyt i utarg krańcowy zasiedziałych firm. Długookresowa równowaga takiego przykładowego przedsiębiorstwa wskazana jest na wykresie przez punkt Y, w którym krzywa popytu na produkty działającego od dawna podmiotu jest styczna do krzywej kosztu przeciętnego. Gdy cena jest równa kosztowi przeciętnemu, zyski ekonomiczne wynoszą zero. Tak więc, chociaż przedsiębiorstwo w konkurencji monopolistycznej może osiągać dodatnie zyski ekonomiczne w krótkim okresie, to w długim okresie nowi producenci zwabieni owymi zyskami rozpoczną działalność w tej gałęzi i obniżą zyski ekonomiczne do zera. Pamiętaj, że zerowy zysk ekonomiczny nie jest równoznaczny z zerowym zyskiem księgowym (ang. accounting profit ). Zerowy zysk ekonomiczny oznacza, że zysk księgowy jest dodatni i równy kosztom alternatywnym kapitału i pracy zaangażowanych w działalność tego przedsiębiorstwa (jest równy temu, ile czynniki produkcji wykorzystane w firmie mogłyby zarobić, gdyby zostały wykorzystane w kolejny najlepszy sposób). Panel (b) na przedstawia z kolei sytuację odwrotną, w której typowe przedsiębiorstwo działające w warunkach konkurencji monopolistycznej ponosi straty. Sposób dostosowania do stanu długookresowej równowagi jest analogiczny jak w przypadku krótkookresowych zysków nadzwyczajnych. Straty ekonomiczne sprawiają, że część firm opuszcza gałąź, co powoduje wzrost popytu na produkty przedsiębiorstw kontynuujących działalność, a w konsekwencji stopniowo zmniejsza ich straty. Proces ten będzie trwał dopóty, dopóki typowe przedsiębiorstwo przestanie notować straty ekonomiczne, czyli jego krzywa popytu stanie się styczna do krzywej jego kosztu przeciętnego (punkt Z). Przedsiębiorstwa w konkurencji monopolistycznej mogą osiągać zysk ekonomiczny lub ponosić stratę w krótkim okresie, ale w długim swoboda wejścia i wyjścia z gałęzi doprowadzi zysk ekonomiczny do zera. Jednak zerowy zysk ekonomiczny w branży, w której mamy do czynienia z konkurencją monopolistyczną, nie oznacza sytuacji identycznej jak w długookresowej równowadze gałęzi doskonale konkurencyjnej. Różnice są związane zarówno z kryterium efektywności, jak i szerokością oferty rynkowej. Konkurencja monopolistyczna a efektywność Długookresowym rezultatem pełnej swobody wejścia i wyjścia na doskonale konkurencyjnym rynku jest to, że wszystkie firmy sprzedają po cenie określonej przez minimum kosztu przeciętnego (najniższy punkt na krzywej). Oznacza to, że doskonała konkurencja wykazuje efektywność produkcyjną (ang. productive efficiency ): dobra lub usługi są produkowane po najniższych możliwych kosztach przeciętnych. Jednak w warunkach konkurencji monopolistycznej konsekwencje niemal całkowitej swobody wejścia i wyjścia z gałęzi będą inne. Przedsiębiorstwa wyznaczą cenę, która znajdzie się na opadającej części krzywej kosztu przeciętnego (AC), a nie w punkcie jej minimum. Konkurencja monopolistyczna nie będzie zatem efektywna produkcyjnie. Na rynku doskonale konkurencyjnym każde przedsiębiorstwo wytwarza wolumen produkcji, dla którego cena jest równa kosztowi krańcowemu, zarówno w krótkim, jak i w długim okresie. Oznacza to, że konkurencja doskonała wykazuje również efektywność alokacyjną (ang. allocative efficiency ): społeczne korzyści z dodatkowej produkcji (dodatkowo wytworzonych jednostek), mierzone ceną tych jednostek, która odzwierciedla korzyść krańcową, są jednocześnie – z punktu widzenia społeczeństwa – równe kosztom krańcowym produkcji. Na rynku konkurencji monopolistycznej, podobnie jak na każdym innym, regułą maksymalizacji zysku jest zasada, zgodnie z którą koszt krańcowy i utarg krańcowy są sobie równe ( MR = MC ) , ale cena jest wyższa niż utarg krańcowy, ponieważ krzywa popytu na produkty pojedynczego przedsiębiorstwa ma nachylenie ujemne (firma taka dysponuje siłą monopolową). W sytuacji, w której cena przewyższa koszt krańcowy ( P > MC ) , co jest charakterystyczne dla równowagi długookresowej firm działających w ramach konkurencji monopolistycznej, mierzone ceną rynkową korzyści społeczne związane z wytworzeniem i sprzedażą dodatkowej jednostki produkcji przewyższają krańcowe koszty społeczne związane z produkcją tej jednostki. Ze społecznego punktu widzenia korzystne byłoby zatem zwiększanie produkcji aż do momentu, w którym malejąca cena i koszt krańcowy się zrównają. Przedsiębiorstwo będące monopolistycznym konkurentem nie ma jednak bodźców do zwiększania produkcji (perspektywy indywidualne i społeczne są w tym przypadku odmienne), co oznacza, że społeczeństwo traci korzyść netto z tych niewyprodukowanych jednostek. W monopolu sytuacja jest oczywiście analogiczna, ale ze względu na to, że konkurenci monopolistyczni dysponują znacznie mniejszą siłą monopolową (nadwyżka ceny nad kosztem krańcowym jest mniejsza), w warunkach konkurencji monopolistycznej nieefektywność alokacyjna jest mniejsza niż w monopolu. A zatem w warunkach konkurencji monopolistycznej wielkość produkcji będzie mniejsza, a cena większa niż dla konkurencji doskonałej, ale wolumen produkcji będzie wyższy, a cena niższa niż w hipotetycznej sytuacji monopolu na rynku. Zobacz kolejną , aby dowiedzieć się więcej na temat możliwych konsekwencji przesunięć krzywej popytu. Dlaczego przesunięcie krzywej popytu powoduje przesunięcie krzywej utargu krańcowego? Używamy iloczynu ceny i wielkości produkcji charakterystycznych dla każdego punktu tworzącego krzywą popytu przedsiębiorstwa, aby obliczyć jego utarg całkowity ( P × Q ) . W kolejnym kroku możemy obliczyć utarg krańcowy jako iloraz zmiany utargu całkowitego i zmiany wielkości produkcji. Przesunięcie krzywej popytu, które zmienia wielkość zapotrzebowania przy każdym poziomie ceny, a tym samym determinuje wartość utargu całkowitego, doprowadzi do przesunięcia krzywej utargu krańcowego. A zatem gdy w gałęzi monopolistycznie konkurencyjnej pojawiają się nowe podmioty, krzywa popytu na produkty zasiedziałych przedsiębiorstw przesunie się w lewo, ponieważ zapotrzebowanie na oferowane przez nie dobra lub usługi będzie mniejsze przy każdym poziomie ceny (część klientów przerzuci się na dobra i usługi konkurencyjne). Alternatywnie, aby utrzymać dotychczasową sprzedaż, zasiedziałe przedsiębiorstwa będą musiały obniżyć ceny. W konsekwencji utarg krańcowy będzie niższy dla każdej sprzedanej ilości, a krzywa utargu krańcowego przesunie się w lewo. I odwrotnie, wyjście z branży części przedsiębiorstw spowoduje przesunięcie w prawo krzywej popytu na produkty monopolistycznych konkurentów, którzy zdecydują się kontynuować produkcję, i w tę samą stronę przemieści się krzywa utargu krańcowego. Gałąź, która funkcjonuje zgodnie z zasadami konkurencji monopolistycznej, nie wykazuje efektywności produkcyjnej i alokacyjnej ani w krótkim okresie, kiedy przedsiębiorstwa osiągają zyski i straty ekonomiczne, ani w długim, kiedy przedsiębiorstwa osiągają zerowe zyski ekonomiczne. Korzyści z różnorodności i zróżnicowania produktów Mimo że konkurencja monopolistyczna nie zapewnia efektywności produkcyjnej ani alokacyjnej, sama w sobie przynosi korzyści konsumentom i społeczeństwu. Proces różnicowania produktów opiera się na innowacyjności i podążaniu za preferencjami nabywców. Większość z nas woli żyć w gospodarce z wieloma rodzajami ubrań, żywności i marek samochodów, a nie w świecie doskonałej konkurencji, gdzie wszyscy zawsze będą nosić jednakowe niebieskie dżinsy i białe koszule, jeść takie same mięsne pierogi ze skwarkami i jeździć identycznym modelem samochodu. Przeważająca część społeczeństwa preferuje rozwiązania, które sprawiają, że przedsiębiorstwa starają się znaleźć sposoby na przyciągnięcie klientów metodami takimi jak przyjazna obsługa, bezpłatna dostawa, gwarancja zwrotu środków i ciągłe udoskonalanie produktów, które zwiększa ich dostępne na rynku spektrum. Z drugiej strony, wielu z nas nie zdaje sobie sprawy, jak wiele kosztuje wszystkich ten – imponujący na pierwszy rzut oka – wybór. Jeśli nie potrafimy w pełni ocenić użyteczności związanej z zakupem danego produktu (tak dzieje się choćby z tzw. suplementami diety), to reklama nie tyle dostarcza nam użytecznych informacji, ile nami manipuluje. W końcu, na ile różnią się między sobą te wszystkie preparaty witaminowe i czy naprawdę potrzebujemy tak wielu marek na rynku? Ekonomiści od wielu lat usiłują, niestety z bardzo umiarkowanym powodzeniem, odpowiedzieć na pytanie o to, czy gospodarka rynkowa wytwarza optymalną ilość różnorodności. Krytycy rozwiązań opartych na nieskrępowanej wolności gospodarczej twierdzą, że społeczeństwo tak naprawdę nie potrzebuje dziesiątek różnych marek i modeli butów sportowych, rodzajów płatków śniadaniowych czy samochodów. Uważają, że znaczna część kosztów tak daleko posuniętego procesu różnicowania produktów, którego konsekwencją są późniejsze wydatki na reklamę i inne działania marketingowe, jest społecznie bezproduktywna, co oznacza, że większość ludzi byłaby równie zadowolona, gdyby dostępne spektrum wyborów było nawet znacznie mniejsze, jeśli doprowadziłoby to do obniżki cen (kilka zamiast kilkudziesięciu rodzajów żółtego sera, którego cena byłaby jednak znacznie niższa). Obrońcy rozwiązań rynkowych odpowiadają, że jeśli ludzie nie chcą kupować całej gamy zróżnicowanych produktów lub intensywnie reklamowanych marek, nikt ich do tego nie zmusza. Na rynku przecież może pojawić się produkt, który będzie wykorzystywał niską cenę jako swój atut podstawowy (tak jak marka Dosia, której proszki do prania były oceniane przez przeciętnego nabywcę jako równie skuteczne jak intensywnie reklamowane marki, w związku z czym „jeśli nie widać różnicy, to po co przepłacać”). Problem ten może nigdy nie zostać w pełni rozwiązany, po części dlatego, że podjęcie decyzji o optymalnej ilości różnorodności jest bardzo trudne, a po części z powodu faktu, że obie strony różnie wartościują to, co różnorodność oznacza dla konsumentów. Warto jednak zwrócić uwagę na postępującą zmianę preferencji konsumentów (szczególnie młodych), którzy – w związku z szeroko dyskutowanym problemem zmian klimatycznych – ograniczają konsumpcję i preferują znacznie mniejsze zróżnicowanie produktów dostępnych na rynku. Przeczytaj kolejną , aby zrozumieć rolę, jaką reklama odgrywa w konkurencji monopolistycznej. Jak reklama wpływa na konkurencję monopolistyczną Zgodnie z raportem opublikowanym przez Publicis Groupe Polska w lutym 2022 r. wartość netto rynku reklamowego w Polsce w 2021 r. przekroczyła po raz pierwszy w historii 10 mld zł i wyniosła 10505,9 mln zł (10,5 mld zł). Oznaczało to wzrost o 16,2% względem roku poprzedniego i aż o 7% w stosunku do roku przedpandemicznego. Blisko 90% tej kwoty to niemal w równych częściach wydatki na reklamę w telewizji i w internecie. Podobnie jak ma to miejsce w Stanach Zjednoczonych, urządzenia mobilne (telefony i tablety) zwiększają możliwości reklamodawców i umożliwiają niemal nieustanny dostęp do potencjalnych klientów. Reklama polega na wskazywaniu ludziom mniej lub bardziej realnych różnic między produktami sprzedawanymi przez różne podmioty lub po prostu na skutecznym przekonywaniu potencjalnych nabywców, że niektóre produkty są nie tylko w zasadniczy sposób inne, lecz również lepsze od wyrobów konkurentów. Ze względu na sposób rywalizowania przedsiębiorstw działających w ramach konkurencji monopolistycznej reklamy mogą zmniejszać elastyczność popytu na dobra lub usługi konkretnej firmy (dzięki czemu podniesienie ich cen może doprowadzić do wzrostu utargu) lub zwiększać zapotrzebowanie zgłaszane na produkty tego przedsiębiorstwa przy każdym poziomie ceny (co oznacza przesunięcie krzywej popytu w prawo). W obu przypadkach udana kampania reklamowa przełoży się na wzrost zysków – dzięki wyższym cenom, większej sprzedaży lub obu zjawiskom jednocześnie. Jednak ekonomiści i właściciele przedsiębiorstw od dawna podejrzewali, że znaczna część wydatków na reklamę może jedynie równoważyć analogiczne działania konkurentów. Ekonomista A.C. Pigou napisał w 1920 r. w swojej książce poświęconej ekonomii dobrobytu ( The Economics of Welfare ): „Może się zdarzyć, że nakłady na reklamę konkurujących monopolistów (czyli przedsiębiorstw, które teraz określilibyśmy jako rywalizujące na rynku konkurencji monopolistycznej) po prostu zneutralizują się nawzajem i pozostawią gałąź dokładnie taką, jaką byłaby bez reklam. Jeśli bowiem każdy z dwóch rywali podejmuje równe wysiłki, aby zyskać przychylność potencjalnych nabywców, łączny wynik jest taki sam, jak gdyby żaden z nich nie podjął choćby minimalnych starań ”. Kluczowe pojęcia i podsumowanie Pojęcie konkurencji monopolistycznej odnosi się do rynku, na którym wiele przedsiębiorstw sprzedaje zróżnicowane produkty. Proces różnicowania produktów może wykorzystywać ich fizyczne cechy, lokalizację miejsca sprzedaży, aspekty niematerialne, jak również postrzeganie i renomę rynkową. Krzywa popytu na produkty przedsiębiorstwa będącego monopolistycznym konkurentem ma nachylenie ujemne, co oznacza, że firma ta ma wpływ na cenę rynkową swoich produktów i sama wybiera kombinację ceny i wielkości sprzedaży. Jednak indywidualna krzywa popytu postrzegana przez przedsiębiorstwa funkcjonujące w ramach konkurencji monopolistycznej jest bardziej elastyczna niż krzywa popytu monopolisty, ponieważ podmioty te muszą konkurować z innymi firmami produkującymi i sprzedającymi dobra lub usługi zaspokajające tę samą potrzebę. Maksymalizujące zysk przedsiębiorstwo działające w ramach konkurencji monopolistycznej będzie poszukiwało takiej wielkości produkcji, dla której utarg krańcowy jest równy kosztowi krańcowemu ( MR = MC ) . Następnie wyznaczy cenę, którą odczyta ze swojej indywidualnej krzywej popytu. Jeśli przedsiębiorstwa działające w ramach konkurencji monopolistycznej będą osiągać zyski ekonomiczne, stworzy to bodźce zachęcające nowe podmioty do wchodzenia na ten rynek. Zachęty ustaną dopiero wtedy, gdy w długim okresie zyski ekonomiczne wszystkich konkurentów na rynku zostaną sprowadzone do zera. Jeśli przedsiębiorstwa działające w ramach konkurencji monopolistycznej będą ponosić straty ekonomiczne, wówczas część z nich zacznie opuszczać rynek. Proces ten ustanie dopiero wtedy, gdy w długim okresie wszystkie przedsiębiorstwa działające na rynku osiągną zerowy zysk ekonomiczny. Firmy będące monopolistycznymi konkurentami nie są efektywne produkcyjnie, ponieważ ich wolumen produkcji nie jest równy minimum długookresowego kosztu przeciętnego (nie produkują po najniższym możliwym koszcie). Nie są też efektywne alokacyjnie, ponieważ nie produkują zgodnie z warunkiem P = MC , lecz P > MC . A zatem przedsiębiorstwa działające w warunkach konkurencji monopolistycznej będą wytwarzały drożej (przy wyższych kosztach) mniejszy wolumen produkcji i sprzedawały go po wyższej cenie niż przedsiębiorstwa doskonale konkurencyjne. Gałęzie, w których występuje konkurencja monopolistyczna, oferują konsumentom korzyści w postaci większej różnorodności produktów, nabywcy są również beneficjentami nieustannego procesu ulepszania i uatrakcyjniania sprzedawanych dóbr i usług. Wśród ekonomistów istnieje jednak utrzymująca się różnica zdań dotycząca tego, czy gospodarka rynkowa nie generuje zbyt dużej różnorodności, co może przekładać się na znaczny wzrost kosztów wytwarzania i cen rynkowych. Pytania Self-Check Załóżmy, że dzięki udanej kampanii reklamowej przedsiębiorstwo działające w ramach konkurencji monopolistycznej odnotowuje wzrost popytu na swój produkt. Jak wpłynie to na oferowaną przez nie na rynku wielkość sprzedaży i cenę? Wzrost popytu można zilustrować przesunięciem krzywych popytu i utargu krańcowego w prawo. Przesunięcie krzywej utargu krańcowego (MR) spowoduje ruch w górę po krzywej kosztu krańcowego (MC) do nowego punktu przecięcia MR i MC przy wyższym poziomie produkcji. Nową cenę można odczytać, rysując linię od nowego poziomu produkcji do nowej krzywej popytu, a następnie do osi pionowej. Nowa cena powinna być wyższa. Wzrost oferowanej na rynku wielkości produkcji spowoduje ruch w górę, wzdłuż krzywej kosztu przeciętnego (wzrost kosztu przeciętnego). Cena jednak wzrośnie bardziej, powodując przyrost kwoty całkowitego zysku. Kontynuując rozważania w oparciu o sytuację zarysowaną w poprzednim pytaniu; w długim okresie dodatnie zyski ekonomiczne osiągane przez to konkretne przedsiębiorstwo wywołają reakcję ze strony innych działających w tej gałęzi lub firm spoza branży. Gdy przedsiębiorstwa te przejmą zysk podmiotu, który zrealizował udaną kampanię reklamową, co stanie się z poziomem jego produkcji i ceną? Dopóki analizowane przedsiębiorstwo będzie osiągało dodatnie zyski ekonomiczne, inne firmy będą dążyły do ich przejęcia. Te wysiłki zapewne doprowadzą do spadku popytu na produkty tego podmiotu, obniżenia się oferowanej przez nie ceny i wielkości produkcji pozwalającej zmaksymalizować zysk, co w zasadzie jest kontynuacją procesu opisanego w odpowiedzi na pytanie 1. W stanie równowagi długookresowej wszystkie przedsiębiorstwa działające w ramach konkurencji monopolistycznej osiągną zerowe zyski ekonomiczne. Pytania Review Jaki jest związek między procesem różnicowania produktów a konkurencją monopolistyczną? Czym różni się krzywa popytu na produkty przedsiębiorstwa działającego w ramach konkurencji monopolistycznej od krzywych popytu na produkty monopolisty i przedsiębiorstwa doskonale konkurencyjnego? W jaki sposób przedsiębiorstwo działające w ramach konkurencji monopolistycznej wybiera maksymalizujące zysk wielkość produkcji i cenę? W jaki sposób przedsiębiorstwo działające w ramach konkurencji monopolistycznej może stwierdzić, czy wybrany poziom ceny rynkowej przyniesie zyski, czy wygeneruje straty? Jeśli przedsiębiorstwa działające w ramach konkurencji monopolistycznej osiągają zyski lub straty ekonomiczne w krótkim okresie, to czy można oczekiwać, że sytuacja ta nie zmieni się w długim okresie? Dlaczego? Czy przedsiębiorstwo działające w ramach konkurencji monopolistycznej jest efektywne produkcyjnie? Czy jest efektywne alokacyjnie? Odpowiedź uzasadnij. Pytania Critical Thinking W jaki sposób, poza reklamowaniem swoich produktów, firma działająca na rynku konkurencji monopolistycznej może zwiększyć popyt na sprzedawane przez siebie dobra lub usługi? Wyjaśnij, dlaczego gałęzie, w których występuje konkurencja monopolistyczna, nigdy nie osiągają równowagi długookresowej. Wolisz efektywność czy różnorodność? Kosztem alternatywnym posiadania szerokiej oferty zróżnicowanych produktów jest to, że każdy z nich kosztuje więcej niż w hipotetycznej sytuacji, w której wszyscy producenci w danej gałęzi wytwarzaliby dokładnie takie samo dobro (np. buty). Albo stawiając sprawę nieco inaczej: Jaki jest właściwy zakres różnorodności? Czy możemy mieć np. zbyt wiele marek, modeli i fasonów butów? Problemy Firma Najlepsze Spa u Andżeliki zaczęła oferować relaksujący zabieg aromaterapii. Przedsiębiorstwo konsultuje z tobą, jaką cenę za ten zabieg wyznaczyć, aby zmaksymalizować zyski. Pierwsze dwie kolumny zawierają dane (cenę i wielkość zapotrzebowania) określające popyt na zabiegi. Trzecia kolumna pokazuje koszty całkowite świadczenia tej usługi. Dla każdego poziomu produkcji oblicz utarg całkowity, utarg krańcowy, koszt przeciętny i koszt krańcowy. Jaka liczba zabiegów pozwoli zmaksymalizować zysk i jaka będzie jego wysokość? Cena (w zł) Wielkość zapotrzebowania Koszt całkowity (TC) (w zł) 100 0 520 96 10 1100 92 20 1740 90 30 2440 88 40 3200 86,4 50 4020 84,8 60 4900 Bibliografia The United States Department of Justice. „Antitrust Division.” Accessed October 17, 2013. http://www.justice.gov/atr/. eMarketer.com. 2014. „Total US Ad Spending to See Largest Increase Since 2004: Mobile advertising leads growth; will surpass radio, magazines and newspapers this year. Accessed March 12, 2015. http://www.emarketer.com/Article/Total-US-Ad-Spending-See-Largest-Increase-Since-2004/1010982. Federal Trade Commission. „About the Federal Trade Commission.” Accessed October 17, 2013. http://www.ftc.gov/ftc/about.shtm. Kantar Media. “Our Insights: Infographic—U.S. Advertising Year End Trends Report 2012.” Accessed October 17, 2013. http://kantarmedia.us/insight-center/reports/infographic-us-advertising-year-end-trends-report-2012. Statistica.com. 2015. “Number of Restaurants in the United States from 2011 to 2014.” Accessed March 27, 2015. http://www.statista.com/statistics/244616/number-of-qsr-fsr-chain-independent-restaurants-in-the-us/. Federal Trade Commission. “About the Federal Trade Commission.” Accessed October 17, 2013. http://www.ftc.gov/ftc/about.shtm. różnicowanie produktów (ang. product differentiation ) proces polegający na odróżnieniu produktu sprzedawanego przez konkretne przedsiębiorstwo od dóbr i usług oferowanych przez konkurentów przedsiębiorstwa działające na rynkach niedoskonale konkurencyjnych (ang. imperfectly competitive ) przedsiębiorstwa i organizacje, które znajdują się między skrajnymi przypadkami konkurencji doskonałej i monopolu konkurencja monopolistyczna (ang. monopolistic competition ) sytuacja, w której na rynku konkuruje wiele przedsiębiorstw oferujących do sprzedaży podobne, ale różniące się od siebie (zróżnicowane) produkty oligopol (ang. oligopoly ) sytuacja, w której kilka dużych przedsiębiorstw odpowiada za całość lub zdecydowaną większość sprzedaży w gałęzi", "section": "Konkurencja monopolistyczna", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Oligopol Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić, dlaczego oligopole istnieją i jakie strategie przyjmują przedsiębiorstwa działające w ramach tej struktury rynku Porównać zmowę i konkurencję oraz wskazać najważniejsze różnice między tymi strategiami wykorzystywanymi przez przedsiębiorstwa Zinterpretować tabelę wypłat w grze „dylemat więźnia” Przeanalizować wybory społeczne związane z istnieniem konkurencji niedoskonałej Wiele dóbr i usług jest kupowanych przez ludzi na rynkach, które nie są doskonale konkurencyjne ani zmonopolizowane i nie występuje na nich konkurencja monopolistyczna. Są to rynki określane mianem oligopoli. Oligopol (ang. oligopoly ) występuje w gałęzi, w której niewielka liczba relatywnie dużych przedsiębiorstw odpowiada za całość lub większość wolumenu produkcji i sprzedaży. Znamy wiele przykładów oligopoli, obejmują one m.in. przemysł samochodowy, operatorów telewizji kablowej i linie lotnicze. Firmy oligopolistyczne mogą z jednej strony prowadzić bezpardonową walkę konkurencyjną, która obniży ich zyski niemal do zera, a z drugiej porozumieć się i w praktyce w ogóle nie konkurować. Jeśli oligopoliści ze sobą konkurują, mogą zachowywać się jak przedsiębiorstwa doskonale konkurencyjne i sprzedawać po cenie równej minimum długookresowych kosztów przeciętnych. Jednak jeśli zawrą zmowę, mogą skutecznie działać jak monopolista i zagwarantować sobie zyski ekonomiczne w długim okresie. W ramach oligopolu działa na tyle mało firm, że koszty zawarcia i utrzymywania takiego porozumienia są relatywnie niewielkie, w każdym razie w porównaniu z postrzeganymi korzyściami. Charakteryzując strategie firm konkurujących w ramach oligopolu, kładziemy największy nacisk na ich wzajemną współzależność. Wielkość sprzedaży, strategie marketingowe, cena rynkowa i zyski każdego z przedsiębiorstw w takim samym stopniu zależą od jego własnych decyzji, jak i od posunięć konkurentów. Przedsiębiorstwa oligopolistyczne zawsze również wystawione są na pokusę zawarcia zmowy w miejsce uczciwego konkurowania. Decyzja o ewentualnym porozumieniu będzie oczywiście pochodną analizy korzyści i kosztów związanych z każdym z tych dwóch wyborów. Jak powstają oligopole? Połączenie wysokich barier wejścia (w oligopolu są to najczęściej nakłady finansowe związane z rozpoczęciem działalności) oraz będącego odpowiedzią na potrzeby klientów procesu różnicowania produktów może stworzyć warunki do powstania oligopolu. Na przykład, aby produkować samochody lub telefony komórkowe, niezbędne są nie tylko gigantyczne wydatki na badania i rozwój, lecz również liczne zakłady produkcyjne. Oznacza to konieczność poniesienia bardzo wysokich nakładów przed rozpoczęciem produkcji. Z drugiej strony, zarówno samoloty, jak i komórki to dobra, które stosunkowo łatwo dają się różnicować. Stąd w obu gałęziach mamy do czynienia z globalnymi oligopolami. Niekiedy źródłem oligopolu jest polityka państwa, które może przyznać koncesje na świadczenie usług telefonii komórkowej nie jednemu (i nie 50), tylko trzem lub czterem podmiotom. Podobnie jak w kontekście monopolu naturalnego (ang. natural monopoly ), który pojawia się w gałęzi wówczas, gdy wielkość popytu rynkowego pozwala tylko jednemu przedsiębiorstwu na produkcję przy minimum długookresowych kosztów przeciętnych, również powstanie oligopolu może być konsekwencją specyficznej relacji między popytem rynkowym a kształtem krzywej kosztów przeciętnych typowego przedsiębiorstwa w danej gałęzi. W przypadku monopolu naturalnego na rynku jest miejsce tylko dla jednego przedsiębiorstwa, ponieważ żadna mniejsza firma nie może działać przy wystarczająco niskich kosztach przeciętnych, aby móc konkurować z podmiotem, który jako pierwszy zdołał obniżyć koszty, a żadna większa firma nie mogłaby sprzedać tego, co by wyprodukowała, wziąwszy pod uwagę wielkość popytu rynkowego. Wielkość zapotrzebowania (ang. quantity demanded ) na rynku może być jednak również dwu- lub trzykrotnie większa niż wielkość produkcji odpowiadająca minimum krzywej długookresowych kosztów przeciętnych typowego przedsiębiorstwa, co oznacza, że na rynku jest miejsce tylko dla dwóch lub trzech firm oligopolistycznych (i wówczas nie muszą one wytwarzać zróżnicowanych produktów). Ponownie, mniejsze przedsiębiorstwa miałyby wyższe koszty przeciętne i nie byłyby w stanie konkurować, podczas gdy dodatkowe duże przedsiębiorstwa wyprodukowałyby tak wiele, że nie byłyby w stanie sprzedać produkcji po opłacalnej cenie. Takie połączenie korzyści skali i popytu rynkowego tworzy barierę wejścia, która doprowadziła do powstania oligopolu Boeing-Airbus (zwanego również duopolem) dla szerokokadłubowych samolotów pasażerskich. Zróżnicowanie produktów stanowiące rdzeń konkurencji monopolistycznej może również odgrywać istotną rolę w tworzeniu oligopoli. Na przykład przedsiębiorstwa, które chciałyby wykreować rozpoznawalną w skali globalnej lub przynajmniej krajowej, markę, muszą się liczyć z tym, że wydatki na reklamę i promocję będą bardzo wysokie. Aby pozwolić sobie na tak pokaźne nakłady, firma musi osiągnąć pewien minimalny próg obrotu. Potencjalni konkurenci przedsiębiorstw wytwarzających napoje pod markami Coca-Cola i Pepsi nie tyle napotykają problem technologiczny (wytwarzanie napojów gazowanych nie jest wszak zbyt skomplikowane), ile finansowy. W końcu stworzenie marki i wysiłek marketingowy dorównujący temu, który jest charakterystyczny dla właścicieli marek Coca-Cola czy Pepsi , to ogromne finansowe wyzwanie. Zmowa czy konkurencja? Kiedy przedsiębiorstwa działające w ramach oligopolu podejmują decyzję dotyczącą optymalnej – z ich punktu widzenia – wielkości produkcji i ceny rynkowej, napotykają pokusę, aby zamiast konkurować, zachowywać się tak, jakby były monopolistą posiadającym wiele zakładów produkcyjnych. Działając razem i w porozumieniu, mogą ograniczać produkcję całej gałęzi, co doprowadzi do podwyższenia cen i pozwoli wypracować dodatkowy zysk ekonomiczny. Kiedy przedsiębiorstwa działają razem w celu zmniejszenia produkcji i utrzymania wysokich cen, nazywa się to zmową (ang. collusion ). Grupa przedsiębiorstw, które zawierają takie porozumienie (zmawiają się ze sobą), zmniejszają wolumen produkcji i podnoszą cenę rynkową, nazywana jest kartelem (ang. cartel ). Przeczytaj kolejną , aby dowiedzieć się więcej na temat różnic między zmową a kartelem. Zmowy i kartele: czym się od siebie różnią? W Polsce, podobnie jak w innych krajach Unii Europejskiej i w Stanach Zjednoczonych, zmowy przedsiębiorstw prowadzące do powstania karteli są nielegalne, ponieważ stanowią zachowanie antykonkurencyjne, co stanowi naruszenie prawa antymonopolowego (w Polsce zabrania ich art. 6 Ustawy z 16 lutego 2007 r. o ochronie konkurencji i konsumentów). Organizacją odpowiedzialną w naszym kraju za zwalczanie karteli jest Urząd Ochrony Konkurencji i Konsumentów (UOKiK). Problem egzekwowania prawa antymonopolowego leży w znalezieniu mocnych dowodów na istnienie zmowy. Kartele to formalne porozumienia mogące obejmować wielkość produkcji, poziom cen, politykę rabatową itd. Ponieważ formalne umowy kartelowe dostarczają niezbitych dowodów na zmowę, zdarzają się rzadko. Większość zmów ma charakter milczący, gdy przedsiębiorstwa domyślnie uświadamiają sobie, że konkurencja jest szkodliwa dla zysków. Ewentualne formalizowanie porozumienia narażałoby uczestniczących w nim pracowników przedsiębiorstw na odpowiedzialność prawną. Ekonomiści doskonale zdają sobie sprawę, że istnieją silne bodźce skłaniające przedsiębiorstwa do unikania konkurencji, podnoszenia cen i zwiększania zysków. Adam Smith napisał w Bogactwie narodów ( Wealth of Nations ) w 1776 r.: „Ludzie z tej samej branży rzadko spotykają się razem, nawet dla zabawy i rozrywki, ale (jeśli już tak się dzieje) rozmowa kończy się spiskiem przeciwko społeczeństwu lub jakimś sposobem na podniesienie cen”. Nawet jeśli oligopoliści uznają, że działając jako grupa, odnieśliby korzyści, gdyż doprowadziliby do monopolizacji swojej branży, każdy z podmiotów uczestniczących w zmowie konfrontuje się z pokusą, aby nieco zwiększyć rozmiary produkcji (w stosunku do uzgodnionego w ramach kartelu wolumenu) i osiągać nieco większy zysk, licząc na to, że inni uczestnicy zmowy dotrzymają porozumienia. Jeśli dostatecznie duża grupa oligopolistów ulegnie tej pokusie i zacznie zwiększać produkcję, wówczas cena rynkowa spadnie. W konsekwencji nawet relatywnie bardzo mała grupa oligopolistów (dwa lub trzy przedsiębiorstwa), zamiast stworzyć kartel, będzie tak zaciekle konkurować, że wszystkie osiągną zerowe zyski ekonomiczne, tak jakby były firmami działającymi w ramach konkurencji doskonałej. Dylemat więźnia Ze względu na wysoki stopień komplikacji sposobu postępowania przedsiębiorstw działających w ramach oligopolu, będący pochodną ich wzajemnych zależności, nie ma jednej, ogólnie przyjętej teorii (ani jednego modelu) opisującej sposób postępowania oligopolistów, tak jak było to w przypadku omówionych wcześniej struktur rynkowych. Zamiast tego ekonomiści wykorzystują teorię gier (ang. game theory ), tj. dział matematyki analizujący sytuacje, w których uczestnicy pewnych gier podejmują decyzje charakterystyczne dla danego problemu, zaś ich wypłaty zależą nie tylko od ich decyzji, lecz również od posunięć innych graczy. Teoria gier znalazła szerokie zastosowanie w naukach społecznych, również w zarządzaniu, prawie i strategii wojskowej. Dylemat więźnia (ang. prisoner's dilemma ) to gra, w której korzyści ze współpracy – z punktu widzenia biorących w niej udział podmiotów – są większe niż korzyści z forsowania wyłącznie własnego interesu (teoretycy teorii gier powiedzieliby, że strategia pokojowa jest lepsza niż strategia konfliktu). Nie zmienia to faktu, że gracze mimo wszystko dość często wybierają strategię konfliktu. Dzięki temu dylemat więźnia bardzo dobrze nadaje się do analizy decyzji oligopolistów. Pierwotny scenariusz gry przedstawia się w sposób następujący: Aresztowano dwóch kryminalistów (nazwijmy ich więźniem A i więźniem B), co do których istnieje bardzo silne podejrzenie, że dokonali poważnego przestępstwa. Niestety, policja nie dysponuje niepodważalnymi dowodami, które powiążą ich z tym zdarzeniem. Samo zatrzymanie ma związek z relatywnie błahym wykroczeniem, zagrożonym maksymalną karą dwóch lat więzienia. Kiedy więźniowie zostali zabrani na posterunek policji, obaj solidarnie milczeli i nie chcieli zeznawać. Zostali jednak umieszczeni w oddzielnych pomieszczeniach i do każdego z nich przyszedł śledczy, który wygłosił krótką przemowę: „Wiesz co? Twój partner w drugim pokoju sypie aż miło. Już zawarł umowę z prokuratorem, dzięki czemu otrzyma nadzwyczajne złagodzenie kary i po roku wyjdzie na wolność. Ty zaś, jak frajer, pójdziesz siedzieć aż na osiem lat. Nie bądź głupi i też nam wszystko opowiedz, dzięki czemu otrzymasz krótszy, pięcioletni wyrok\". Policjanci oczywiście nie wspomnieli o tym, że jeśli obaj wspólnicy zachowają milczenie, nie będzie ich można powiązać z poważnym przestępstwem i maksymalna kara, którą im grozi, to dwa lata za kratkami. Opisany za pomocą teorii gier problem decyzyjny, przed którym stoją dwaj więźniowie, został przedstawiony w . Aby zrozumieć dylemat, najpierw rozważmy wybory z punktu widzenia więźnia A. Jeśli wierzy on, że więzień B przyzna się do winy, to on sam także powinien się przyznać, aby nie utknąć w więzieniu na osiem lat. Jeśli jednak więzień A wierzy, że wspólnik nie pójdzie na współpracę z policją, wówczas pokusa, aby postępować samolubnie i przyznać się, by odsiedzieć tylko rok, stanie się nieodparta. Kluczową kwestią jest to, że więzień A ma motywację do przyznania się, bez względu na decyzję podjętą przez więźnia B! Więzień B ma te same opcje wyboru, a zatem będzie miał motywację do przyznania się bez względu na wybór dokonany przez więźnia A. Używając języka teorii gier, przyznanie się do winy jest zatem strategią dominującą w tej rozgrywce. Określenie to odnosi się do sposobu postępowania, który gracz (osoba lub przedsiębiorstwo) wybierze, niezależnie od decyzji drugiego gracza. Rezultat jest taki, że jeśli więźniowie kierują się wyłącznie własnym interesem (wybierają strategię konfliktu), obaj prawdopodobnie zdecydują się na współpracę z policją i dostaną łącznie 10 lat więzienia (tj. po 5 lat każdy). Gdyby solidarnie milczeli (wybrali strategię pokojową), łącznie spędziliby za kratkami tylko 4 lata (po dwa lata każdy). Stąd „dylemat” w nazwie gry. Czy postępować zgodnie ze strategią dominującą i sypać, czy utrzymać swoistą formę współpracy ze wspólnikiem, milczeć i spędzić w więzieniu tylko dwa lata (zamiast pięciu)? Dylemat więźnia Więzień B Milczenie (współpraca z drugim więźniem) Przyznanie się (brak współpracy z drugim więźniem) Więzień A Milczenie (współpraca z drugim więźniem) A siedzi 2 lata, B siedzi 2 lata A siedzi 8 lat, B siedzi 1 rok Przyznanie się (brak współpracy z drugim więźniem) A siedzi 1 rok, B siedzi 8 lat A siedzi 5 lat, B siedzi 5 lat Oligopolistyczna wersja dylematu więźnia Również przedsiębiorstwa działające w ramach oligopolu mogą mieć do czynienia z dylematem więźnia. Jeśli każdy z oligopolistów będzie współpracował i ograniczał produkcję, wszystkim firmom zaangażowanym w ten proceder uda się osiągnąć wysokie zyski monopolowe. Każdy oligopolista musi się jednak liczyć z tym, że podczas gdy sam ograniczy produkcję, inne przedsiębiorstwa zaczną zwiększać jej wolumen, wykorzystując wysoką cenę i realizując tym samym jeszcze wyższe zyski. ilustruje dylemat więźnia w kontekście decyzji podejmowanych przez dwóch oligopolistów, w tzw. duopolu (ang. duopoly ). Jeśli przedsiębiorstwa A i B zgodzą się na ograniczenie produkcji, to działając razem jak monopol, każde osiągnie 1000 zł zysku dziennie. Jednak dominującą strategią dla obu przedsiębiorstw jest zwiększenie produkcji (łamanie porozumienia); w takim przypadku każde z nich uzyska zysk równy jedynie 400 zł dziennie. Dylemat więźnia w oligopolu (wszystkie kwoty w zł) Przedsiębiorstwo B Ograniczenie produkcji (współpraca z drugim przedsiębiorstwem) Zwiększenie produkcji (brak współpracy z drugim przedsiębiorstwem) Przedsiębiorstwo A Ograniczenie produkcji (współpraca z drugim przedsiębiorstwem) A zarobi 1000, B zarobi 1000 A zarobi 200, B zarobi 1500 Zwiększenie produkcji (brak współpracy z drugim przedsiębiorstwem) A zarobi 1500, B zarobi 200 A zarobi 400, B zarobi 400 Czy duopoliści mogą sobie ufać? Rozważ sytuację przedsiębiorstwa A: Jeśli przedsiębiorstwo A podejrzewa, że firma B zerwie umowę i zwiększy produkcję, A również zawczasu zwiększy produkcję, ponieważ dla A zysk w wysokości 400 zł (w sytuacji, w której oba podmioty produkują dużo – prawy dolny róg ) jest korzystniejszy niż zysk w kwocie 200 zł (w sytuacji, w której firma A utrzyma produkcję na niskim poziomie, a B ją zwiększy – prawy górny róg tabeli). Jednak jeśli przedsiębiorstwo A zakłada, że firma B będzie współpracowała i utrzyma produkcję na niskim poziomie, wówczas przedsiębiorstwo A tym bardziej może wykorzystać okazję do osiągnięcia wyższych zysków przez zwiększenie produkcji. W końcu jeśli B zamierza produkować mało, to A może zarobić 1500 zł (dzięki dużej produkcji – dolny lewy róg tabeli), zamiast kontentować się zyskiem w kwocie 1000 zł (jeśli będzie ograniczać produkcję – górny lewy róg tabeli). W związku z tym przedsiębiorstwo A uzna za opłacalne zwiększanie produkcji zarówno wtedy, gdy firma B ją ogranicza, jak i wtedy, gdy B ją zwiększy. Przedsiębiorstwo B stoi w obliczu podobnych bodźców, które najprawdopodobniej doprowadzą je do zwiększenia produkcji. W konsekwencji dylemat więźnia, z jakim skonfrontowane zostają przedsiębiorstwa działające w ramach oligopolu, prowadzi do sytuacji, w której mimo iż przedsiębiorstwa A i B mogą osiągnąć najwyższe możliwe łączne zyski, współpracując w ograniczaniu produkcji i zachowując się jak monopolista, to każde z nich produkuje dużo i kończy z zyskami na poziomie 400 zł. Poniższa opisuje jeden ze szczególnie bulwersujących przypadków powstania kartelu w USA. Czym jest kartel lizynowy? Produkcja lizyny, czyli aminokwasu, którego hodowcy używają jako dodatku paszowego zapewniającego prawidłowy wzrost trzody chlewnej i drobiu, to gałąź o wartości sprzedaży równej w USA 600 mln dol. rocznie. Głównym amerykańskim producentem lizyny jest Archer Daniels Midland (ADM), ale na tym rynku działa również kilka innych dużych europejskich i japońskich firm. W pierwszej połowie lat 90. XX w. przedstawiciele największych światowych producentów lizyny przez pewien czas spotykali się w hotelowych salach konferencyjnych i ustalali dokładnie, jaka będzie wielkość produkcji każdej z firm uczestniczących w tej zmowie i jakiej ceny każda z nich zażąda za swój produkt. Jednak amerykańskie Federalne Biuro Śledcze (FBI) dowiedziało się o istnieniu tego kartelu i założyło podsłuch w telefonach pracowników zaangażowanych w jego tworzenie oraz w miejscach ich sekretnych spotkań. Na jednym z nagrań zarejestrowano wypowiedź, którą do uczestników spotkania, jakie odbyło się w 1994 r. w Mona na Hawajach, skierował Terry Wilson, prezes oddziału przetwórstwa kukurydzy w ADM: „Chcę jeszcze raz podkreślić bardzo prosty fakt. Jeżeli możemy sobie ufać, to OK, i jeśli mam pewność, że do końca roku pozwolicie mi sprzedać 67 tys. ton (lizyny), to zrobię to po uzgodnionych dzisiaj cenach [...]. Jedyna rzecz, o której musimy porozmawiać, ponieważ będziemy manipulowani przez [tu pada przekleństwo, którego nie chcemy cytować] kupujących – będą mądrzejsi od nas tylko wówczas, gdy im na to pozwolimy. Oni [klienci] nie są waszymi przyjaciółmi. Nie są moimi przyjaciółmi. Musimy się z nimi kontaktować, ale to nie są moi przyjaciele. Wy jesteście moimi przyjaciółmi. Chcę mieć z wami relacje bliższe niż z którymkolwiek z moich klientów. Bo to wy pozwalacie mi zarabiać pieniądze. [...] A wszystko, co chcę wam jeszcze raz powiedzieć, to... zapiszmy ceny na tablicy. Zgódźmy się wszyscy, że tak właśnie postąpimy, a potem wyjdźmy stąd i zróbmy to”. W czasie, w którym firmy utrzymywały zmowę, cena lizyny wzrosła dwukrotnie. Skonfrontowane z nagraniami FBI przedsiębiorstwo ADM przyznało się do winy w 1996 r. i zapłaciło grzywnę w wysokości 100 mln dol. Wielu czołowych menedżerów, zarówno z ADM, jak i innych firm, także zapłaciło grzywny w wysokości do 350 tys. dol. i zostało skazanych na 24–30 miesięcy więzienia. W innym nagraniu posiadanym przez FBI prezes ADM powiedział członkowi zarządu innej firmy uczestniczącej w zmowie, że ADM ma slogan, który – zgodnie z jego słowami – „przeniknął (jego) całą organizację”. Prezes sformułował go w ten sposób: „Nasi konkurenci to nasi przyjaciele. Naszymi wrogami są nasi klienci”. To hasło mogłoby stać się mottem karteli na całym świecie. Czy współpracę można wymusić? Jak podmioty, które mają do czynienia z dylematem więźnia, mogą uniknąć niepożądanej walki i współpracować ze sobą? Oczywistym rozwiązaniem byłoby znalezienie sposobu na ukaranie tych, którzy nie współdziałają. Prawdopodobnie najłatwiejszym z punktu widzenia oligopolistów uczestniczących w zmowie sposobem, jaki można sobie wyobrazić, byłoby podpisanie formalnej umowy o utrzymywaniu niskiej produkcji i wysokich cen (ze wskazaniem kar umownych). Gdyby jednak grupa przedsiębiorstw w jakimkolwiek kraju (Polsce, USA czy w ramach UE) podpisała taką umowę, byłoby to jawne złamanie prawa zagrożone sankcją karną. Niektóre organizacje międzynarodowe, np. zrzeszające kraje będące członkami Organizacji Krajów Eksportujących Ropę Naftową (OPEC – ang. Organization of Petroleum Exporting Countries ), podpisały umowy międzynarodowe, aby działać jak monopol, ograniczać produkcję i utrzymywać wysokie ceny w celu osiągania wysokich zysków z eksportu ropy. Jednak takie umowy między państwami znajdują się w szarej strefie prawa międzynarodowego i nie poddają się egzekucji. Jeśli np. Nigeria zdecyduje się sprzedawać więcej ropy i w ten sposób obniży jej cenę na światowych rynkach, Arabia Saudyjska nie może pozwać tego kraju do sądu i zmusić go do przestrzegania ustalonych limitów. Odwiedź stronę internetową Organizacji Krajów Eksportujących Ropę Naftową (OPEC) i dowiedz się więcej o tej organizacji, w tym o jej historii. Ponieważ oligopoliści nie mogą podpisać umowy, za złamanie której można byłoby dochodzić roszczeń, aby skutecznie działać jak monopolista, muszą nieustannie kontrolować się nawzajem i sprawdzać wielkość produkcji oraz ceny rynkowe każdego z uczestników zmowy. Model złamanej krzywej popytu (ang. kinked demand curve ) ilustruje jeden z możliwych sposobów wywierania presji, jakie przedsiębiorstwa mogą wobec siebie zastosować. Dzięki niemu oligopoliści mogą naśladować posunięcia konkurentów, jeśli ci obniżają ceny, i w specyficzny sposób karać tych, którzy zdecydują się na ich podnoszenie. pokazuje tę sytuację. Powiedzmy, że oligopolistyczna linia lotnicza uzgodniła z resztą kartelu, iż zapewni 10 tys. miejsc rocznie na trasie z Krakowa do Gdańska za cenę 500 zł. Porozumienie to sprawia, że krzywa popytu na usługi oferowane przez to konkretne przedsiębiorstwo łamie się właśnie w tym punkcie. Powodem, dla którego firma ma do czynienia ze złamaną krzywą popytu (czyli używając języka ekonomicznego, że popyt powyżej punktu złamania staje się bardzo elastyczny, zaś poniżej tego punktu niemal sztywny), jest reakcja rywali na ewentualne zmiany cen wprowadzane przez tę firmę. Jeśli analizowane przedsiębiorstwo zdecyduje się produkować więcej i obniżyć cenę, pozostali członkowie kartelu natychmiast postąpią podobnie i również obniżą ceny, a zatem niższa cena spowoduje bardzo niewielki wzrost wielkości sprzedaży (krzywa popytu ma bardzo niską elastyczność). Jeśli analizowane przedsiębiorstwo zdecyduje się na obniżkę cen do 300 zł za bilet (a zatem aż o 40%), jego sprzedaż wzrośnie do 11 tys. biletów rocznie (jedynie o 10%). Jeśli jednak ta sama linia lotnicza będzie chciała podnieść ceny do 550 zł za bilet, czyli o 10%, pozostali oligopoliści nie będą naśladować tego ruchu, co doprowadzi do spadku popytu na usługi oferowane przez analizowaną firmę aż o 50% (popyt na bilety będzie się kształtował na poziomie 5 tys. rocznie). Tak więc jeśli oligopoliści zawsze naśladują obniżki cen dokonywane przez współuczestników zmowy, ale nie podnoszą cen w ślad za takim posunięciem jednego z uczestników kartelu, żaden z nich nie będzie miał silnej motywacji do zmiany cen, ponieważ potencjalne korzyści z takiego ruchu są minimalne, o ile w ogóle się pojawiają. Ta strategia może działać jak cicha forma współpracy, dzięki której kartelowi udaje się z powodzeniem ograniczać produkcję, zwiększać ceny i pomnażać zyski monopolowe, nawet jeśli tworzące go podmioty nie zawrą umowy, której złamanie prowadziłoby do odpowiedzialności prawnej. Złamana krzywa popytu Przyjrzyjmy się przedsiębiorstwu będącemu członkiem kartelu, które – zgodnie z zawartą zmową – ma produkować 10 tys. sztuk jakiegoś dobra i sprzedawać je w cenie 500 zł. Pozostali członkowie kartelu mogą wymuszać na nim wywiązywanie się z tego porozumienia dzięki strategii, która prowadzi do złamania krzywej popytu na produkty oferowane przez analizowaną firmę. Jeżeli oligopolista spróbuje obniżyć cenę, żeby zwiększyć swoją produkcję i sprzedaż, inne firmy natychmiast zrobią to samo. Jeśli zatem przedsiębiorstwo obniży cenę do 300 zł, zwiększy swoją produkcję jedynie do 11 tys. sztuk. Z drugiej strony, jeśli oligopolista spróbuje podnieść swoją cenę, inne firmy nie powtórzą tego ruchu, więc gdy przedsiębiorstwo zwiększy cenę do 550 zł, jego sprzedaż gwałtownie spadnie (do 5 tys. sztuk). W ten sposób, poprzez strategię polegającą na naśladowaniu obniżek cen i ignorowaniu podwyżek, członkowie kartelu mogą wzajemnie się kontrolować, aby trzymać się uzgodnionych wcześniej wolumenów produkcji i cen. Wiele rzeczywistych oligopoli, podlegających presji ze strony otoczenia gospodarczego i prawnego, naciskom polityczny, a nawet wskutek rozbuchanego ego swoich menedżerów, przechodzi przez epizody współpracy i rywalizacji. Gdyby oligopoliści byli w stanie utrzymywać zmowy dotyczące cen i wielkości produkcji w długim okresie, osiągaliby zyski porównywalne z tymi, które są charakterystyczne dla monopolistów. Jednak każde przedsiębiorstwo działające w ramach oligopolu ma silną motywację, by produkować więcej, niż wynikałoby to z rzeczywistej bądź potencjalnej zmowy, i powiększać udział w rynku. Kiedy firmy zaczynają zachowywać się właśnie w ten sposób, łączna produkcja całej gałęzi, poziom cen rynkowych i zyski przedsiębiorstw są bardzo zbliżone do tych, które występują na konkurencyjnych rynkach. Wybory społeczne związane z istnieniem konkurencji niedoskonałej Konkurencja monopolistyczna jest prawdopodobnie najczęściej występującą strukturą rynku w najbardziej rozwiniętych gospodarkach świata (zarówno w USA, jak i w Polsce). Zapewnia silne bodźce do innowacji, ponieważ przedsiębiorstwa dążą do osiągania zysków w krótkim okresie, jednocześnie zdają sobie sprawę, że w długim okresie – dzięki bardzo niskim barierom ograniczającym możliwość rozpoczęcia produkcji przez nowe w gałęzi podmioty – zyski ekonomiczne spadną do zera. Jednak przedsiębiorstwa działające w ramach konkurencji monopolistycznej nie produkują wolumenu, który pozwala obniżyć koszt przeciętny do najniższego możliwego poziomu (nie osiągają optimum technologicznego). Ponadto nieustanne próby różnicowania produktów i zdobycia w ten sposób uwagi konsumentów mogą prowadzić do nadmiernych, ze społecznego punktu widzenia, wydatków na reklamę i marketing. Oligopol jest prawdopodobnie drugą, biorąc pod uwagę częstotliwość występowania, strukturą rynku w krajach rozwiniętych. Gdy oligopole powstają w konsekwencji opatentowanych innowacji lub istnienia szerokiego zakresu korzyści skali, ich funkcjonowanie może przekładać się na korzyści dla konsumentów. Istnienie dość wysokich kosztowych barier wejścia do zoligopolizowanych gałęzi umożliwia działającym w nich podmiotom osiąganie trwałych zysków ekonomicznych nawet w długim okresie. Oligopoliści zwykle nie dostarczają na rynek rozmiarów produkcji, które umożliwią im osiągnięcie minimum długookresowej krzywej kosztów przeciętnych. Gdy walka konkurencyjna w gałęzi oligopolistycznej ma ograniczony charakter, na przedsiębiorstwa funkcjonujące w ramach tej struktury rynkowej nie działają silne bodźce zmuszające je do dostarczania na rynek innowacyjnych produktów i wysokiej jakości usług. Podstawowym zadaniem państwa w odniesieniu do branż, w których istnieją warunki określane jako konkurencja niedoskonała, jest tworzenie takich bodźców i zachęt prowadzących do korzystnego – ze społecznego punktu widzenia – sposobu postępowania przedsiębiorstw (np. promowanie innowacji) i ograniczą do minimum strategie nakierowane na maksymalizowanie zysków, bez istotnych korzyści dla konsumentów (np. zmowy i kartele). W rozdziale poświęconym zaangażowaniu państwa w gospodarkę omówione są reguły, które rządzą politykami publicznymi w zakresie promowania konkurencji. Pokusa przeciwstawienia się prawu Przedsiębiorstwa oligopolistyczne działające w jednej gałęzi często współistnieją niczym pies z kotem, ale równie często potrafią godzić to z bliską, nielegalną współpracą. Francuscy producenci środków czystości zdecydowali się na takie właśnie postępowanie. Konsekwencje? Trudny i wątły związek. Wall Street Journal , donosząc o sprawie, napisał: „Zgodnie z oświadczeniem menedżera firmy Henkel skierowanego do [francuskiej antymonopolowej] komisji, producenci proszków do prania chcieli »ograniczyć intensywność konkurencji i uporządkować rynek«. Niemniej jednak na początku lat 90. XX w. wybuchła między nimi wojna cenowa”. Podczas spotkań menedżerów przedsiębiorstw produkujących środki czystości, trwających czasem ponad cztery godziny, firmy ustalały niezwykle skomplikowane sposoby wyznaczania cen, które każda z nich mogłaby zastosować. „Jeden z menedżerów [przedsiębiorstwa produkującego ten asortyment] opisywał »chaotyczne« spotkania, w czasie których każda ze stron próbowała ustalić, w jaki sposób inne nagięły ustalone wcześniej zasady”. Podobnie jak wiele innych karteli wcześniej, ten „mydlany” także się rozpadł – z powodu bardzo silnej pokusy, aby maksymalizować własne zyski, bez oglądania się na innych uczestników zmowy. Jak skończyła się ta mydlana opera? Po zakończeniu śledztwa prowadzonego przez francuskie organy antymonopolowe na koncerny Colgate-Palmolive , Henkel i Procter & Gamble została nałożona grzywna w łącznej wysokości 361 mln euro. Podobny los spotkał producentów lodu do napojów. Lód w workach to dobro doskonale substytucyjne. Nabywców zazwyczaj w ogóle nie obchodzi, jaka etykieta jest na worku. Zgadzając się na podział rynku i wspólne ustalanie cen, producenci lodu przeszli od doskonałej konkurencji do monopolu. W wyniku umów każde przedsiębiorstwo stało się jedynym dostawcą lodu w workach w danym regionie. Zyski były osiągane zarówno w długim, jak i krótkim okresie. Jak to określono w sentencjach wyroków sądowych: „Przedsiębiorstwa nielegalnie spiskowały, aby manipulować rynkiem”. Grzywny wyniosły ok. 600 tys. dol. i były wysokie, wziąwszy pod uwagę fakt, że worek lodu w większości regionów Stanów Zjednoczonych sprzedaje się za mniej niż 3 dol. W Polsce z kolei UOKiK rozbił kartel łączący producentów farb i markety budowlane (udało się to dzięki temu, że o zmowie władze zostały poinformowane przez kierownictwo firmy Castorama i nieco później przez producenta farb Tikkurila, który – o ironio – był jednym z inicjatorów powstania kartelu). Największa kara została nałożona na sieć Praktiker (39 mln zł). Producent farb dzięki współpracy zapłacił jedynie 9,3 mln, a Castorama w ogóle uniknęła odpowiedzialności. Mimo że w zdecydowanej większości krajów świata ustalanie cen i podział rynku są zachowaniami nielegalnymi, pokusa wyższych zysków sprawia, że zawieranie zmów i tworzenie karteli jest dość powszechne. Kluczowe pojęcia i podsumowanie Oligopol to struktura rynku, w ramach której kilka przedsiębiorstw dostarcza większość lub całość produkcji w danej gałęzi. Oligopoliści osiągają największe zyski, jeśli potrafią zjednoczyć się w kartel i działać jak monopolista, ograniczając produkcję i podnosząc cenę. Ponieważ każdy członek oligopolu może zwiększyć swoje zyski, łamiąc takie porozumienie, zmowy zazwyczaj przestają obowiązywać w średnim i długim okresie, zwłaszcza że mają nielegalny charakter i ich przestrzeganie nie może być egzekwowane na drodze prawnej. Dylemat więźnia jest przykładem zastosowania teorii gier do analizy postępowania firm działających w ramach oligopolu. Pokazuje on, dlaczego w pewnych sytuacjach wszystkie strony mogą bardziej skorzystać na współpracy niż na kierowaniu się własnym wąsko pojmowanym interesem. Wyzwaniem dla stron pozostaje jednak znalezienie sposobów egzekwowania i zachęcania do zawarcia ewentualnego porozumienia. Pytania Self-Check Przeanalizujmy poniższy wykres, który ilustruje sumaryczne krzywe popytu rynkowego, kosztu krańcowego i utargu krańcowego przedsiębiorstw działających w ramach oligopolu. W tym przypadku zakładamy, że przedsiębiorstwa te nie ponoszą żadnych kosztów stałych. Załóżmy, że przedsiębiorstwa te zmawiają się w celu stworzenia kartelu. Jaką cenę ustali kartel? Jaki wolumen produkcji wytworzą podmioty go tworzące? Jaki zysk osiągnie kartel? Załóżmy teraz, że kartel się rozpada i oligopoliści konkurują ze sobą tak energicznie, jak to możliwe, obniżając ceny i zwiększając produkcję. Jaka będzie wielkość produkcji i cena w tej gałęzi? Jakie będą łączne zyski wszystkich przedsiębiorstw w branży? Porównaj cenę równowagi, wielkość produkcji i zyski dla sytuacji, w której kartel powstał, i dla takiej, w której przedsiębiorstwa energicznie ze sobą konkurują. Jeśli przedsiębiorstwa stworzą kartel, będą działać jak monopol, wybierając wielkość produkcji, dla której MR = MC (Q kartel ). Przerywana linia prowadząca od wyznaczonego w ten sposób wolumenu produkcji do krzywej popytu wskazuje cenę rynkową, jaką ustalą uczestnicy zmowy (P kartel ). Zakładając, że koszty stałe są równe zeru oraz rozumiejąc pojęcia kosztów i zysków, możemy wywnioskować, że gdy krzywa kosztu krańcowego jest pozioma, koszt przeciętny jest stały i równy kosztowi krańcowemu. W ten sposób kartel osiągnie dodatnie zyski ekonomiczne równe powierzchni prostokąta z podstawą odpowiadającą wielkości produkcji wyznaczonej dla MC = MR i wysokością równą różnicy między ceną (odłożoną na krzywej popytu dla tego wolumenu produkcji) a kosztem przeciętnym, tak jak to pokazano na poniższym wykresie. Konkurując energicznie, przedsiębiorstwa będą zwiększać produkcję i obniżać cenę, dopóki będą w stanie generować zyski, czyli do momentu, w którym osiągnie ona poziom równy kosztowi przeciętnemu. Równowaga długookresowa wystąpi w punkcie, w którym koszt przeciętny jest równy popytowi, co odpowiada produkcji na poziomie Q konkurowanie . W wyniku energicznej konkurencji oligopol będzie osiągał zerowe zyski ekonomiczne (gdyż cena P konkurowanie jest równa kosztowi przeciętnemu), tak jak to pokazano na wykresie poniżej. P kartel > P konkurowanie . Q kartel < Q konkurowanie . Zysk ekonomiczny kartelu jest dodatni i wysoki. Zysk ekonomiczny dla sytuacji bezwzględnej konkurencji jest zerowy. Czasami oligopoliści działający w tej samej gałęzi to przedsiębiorstwa o różnych rozmiarach. Załóżmy, że mamy duopol, w którym przedsiębiorstwo A jest duże, a przedsiębiorstwo B małe. Pokazuje to dylemat więźnia w poniższej tabeli. Jeśli założymy, że oba przedsiębiorstwa znają tabelę wypłat, jaka równowaga zostanie najprawdopodobniej osiągnięta w tym przypadku? Przedsiębiorstwo B jest w zmowie z przedsiębiorstwem A Przedsiębiorstwo B oszukuje, sprzedając więcej Przedsiębiorstwo A jest w zmowie z przedsiębiorstwem B A zarabia 1000 zł, B zarabia 100 zł A zarabia 800 zł, B zarabia 200 zł Przedsiębiorstwo A oszukuje, sprzedając więcej A zarabia 1050 zł, B zarabia 50 zł A zarabia 500 zł, B zarabia 20 zł Przedsiębiorstwo B zdaje sobie sprawę, że gdy zacznie oszukiwać, to – w stosunku do stanu podtrzymywania zmowy – podwoi swoje zyski, przynajmniej do momentu, w którym przedsiębiorstwo A zauważy złamanie porozumienia i samo zacznie produkować więcej. Ponieważ jednak zyski przedsiębiorstwa A zaczną szybko spadać wraz ze wzrostem produkcji przedsiębiorstwa B, jest mało prawdopodobne, aby nie zorientowało się ono w sytuacji. A zatem przedsiębiorstwo A w odpowiedzi zapewne również zwiększy produkcję, przez co zyski przedsiębiorstwa B zmniejszą się o 90% kwoty, którą zyskało na oszustwie i 80% pierwotnej sumy zysków. Można domniemywać, że przedsiębiorstwo A uzna w tej sytuacji, że przedsiębiorstwo B raczej nie zaryzykuje oszustwa. Jeśli żadne z nich nie oszukuje, przedsiębiorstwo A zarabia 1000 zł. Jeśli przedsiębiorstwo A jako pierwsze zacznie oszukiwać (zakładając, że konkurent utrzyma niską produkcję), może tylko nieznacznie zwiększyć swoje zyski, ponieważ konkurent jest bardzo mały. Jeśli oba przedsiębiorstwa będą oszukiwać, przedsiębiorstwo A straci co najmniej 50% tego, co mogłoby zarobić w ramach kartelu. Możliwość niewielkiego zysku (50 zł) prawdopodobnie nie wystarczy, aby skłonić przedsiębiorstwo A do oszustwa, więc w tym przypadku najpewniej obie firmy będą trwać w zmowie. Pytania Review Czy przedsiębiorstwa w oligopolu działają bardziej jak pojedynczy monopolista, czy bardziej jak konkurenci? Odpowiedź krótko uzasadnij. Czy każda strona w dylemacie więźnia bardziej korzysta na współpracy, czy na dążeniu do własnego interesu? Odpowiedź krótko uzasadnij. Co powstrzymuje oligopolistów przed porozumieniem i realizowaniem strategii analogicznej do monopolu, pozwalającej na osiągnięcie najwyższych możliwych zysków? Pytania Critical Thinking Jak sądzisz, czy kształt złamanej krzywej popytu będzie bliższy kątowi prostemu, czy raczej normalnej krzywej popytu (złamanie będzie niemal niezauważalne), jeśli każde przedsiębiorstwo w kartelu będzie wytwarzało prawie identyczny produkt, jak w przypadku OPEC i ropy naftowej? A jeśli każde przedsiębiorstwo będzie wytwarzało nieco inny produkt? Odpowiedź uzasadnij. Kiedy OPEC drastycznie podniósł cenę ropy w pierwszej połowie lat 70. XX w., eksperci twierdzili, że jest mało prawdopodobne, aby kartel mógł utrzymać się w długim okresie, ponieważ bodźce skłaniające poszczególnych członków do oszukiwania staną się zbyt silne. Blisko 50 lat później OPEC nadal istnieje. Jak myślisz, dlaczego ta organizacja mimo wszystko była w stanie utrzymać spójność i kontynuować zmowę? Wskazówka : Możesz rozważyć powody nieekonomiczne. Problemy Marysia i Rafał to dwoje plantatorów, którzy jako jedyni dostarczają ekologiczną kukurydzę do lokalnego sklepu spożywczego. Wiedzą, że gdyby współpracowali (zmówili się) i produkowali mniej kukurydzy, mogliby podnieść cenę. Jeśli będą negocjować z odbiorcą niezależnie, każde z nich zarobi 100 zł dziennie. Jeśli zdecydują się współpracować i oboje zmniejszą produkcję, każde z nich zarobi 150 zł dziennie. Jeśli jedna osoba obniży produkcję, a druga nie, to ta, która obniży produkcję, nic nie zarobi, a druga przejmie cały rynek i zarobi 200 zł dziennie. W tabeli przedstawiono opcje dostępne dla Marysi i Rafała. Jaka jest najlepsza opcja dla Rafała, jeśli Marysia będzie współpracować i utrzymywać niską produkcję? Jeśli Marysia podejrzewa, że Rafał będzie oszukiwał, co powinna zrobić i dlaczego? Jaki jest rezultat tego konkretnego dylematu więźnia? Jaki byłby preferowany przez nich wybór, gdyby oboje mieli gwarancję współpracy? Objaśnienia tabeli: wszystkie kwoty wyrażone są w zł; A – Niezależne kontakty i negocjacje ze sklepem; B – Współpraca i zmniejszenie produkcji. (Komórki z wypłatami zawierają na pierwszym miejscu zarobki Rafała, a na drugim miejscu zarobki Marysi). Dylemat więźnia dla Marysi i Rafała (wszystkie kwoty w zł) Marysia A B Rafał A (100, 100) (200, 0) B (0, 200) (150, 150) Janinę i Błażeja zatrzymuje policja, oskarżając ich o napad na bank. Na komisariacie zostali umieszczeni w oddzielnych pomieszczeniach i są przesłuchiwani na okoliczność udziału w tym przestępstwie. Policja proponuje każdej z podejrzanych osób układ: jeśli przyzna się i wyda wspólnika, otrzyma niższy wyrok. Jeśli przyznają się oboje, każde z nich zostanie skazane na 30 lat więzienia. Jeśli żadne się nie przyzna, spędzą za kratkami po 20 lat. Jeśli tylko jedno z nich się przyzna, zostanie skazane na 15 lat więzienia, a osoba, która milczała, dostanie 35 lat. Tabela poniżej przedstawia opcje dostępne dla Janiny i Błażeja. Co powinna zrobić Janina, jeśli wierzy, że – niezależnie od okoliczności – Błażej będzie milczał? Co powinna zrobić, jeśli podejrzewa, że Błażej jednak się przyzna? Czy Janina dysponuje strategią dominującą? Czy Błażej ma taką strategię? Objaśnienia tabeli: A – Przyznać się i wydać wspólnika, B – Milczeć. (Na pierwszym miejscu wysokość wyroku dla Janiny, a na drugim miejscu wyrok dla Błażeja. Dylemat więźnia dla Janiny i Błażeja (wyroki w latach więzienia) Janina A B Błażej A (30, 30) (15, 35) B (35, 15) (20, 20) kartel (ang. cartel ) grupa przedsiębiorstw, które zmawiają się, aby dzielić rynek, ograniczać produkcję i podnosić ceny zmowa (ang. collusion ) sytuacja, w której przedsiębiorstwa działają razem w celu zmniejszenia produkcji i utrzymania wysokich cen porozumienie monopolistyczne (ang. collusion ) patrz: zmowa duopol (ang. duopoly ) rynek oligopolistyczny, na którym działają tylko dwa przedsiębiorstwa teoria gier (ang. game theory ) gałąź matematyki wykorzystywana m.in. przez ekonomistów do analizowania sytuacji, w których wypłaty przysługujące konkretnym graczom nie zależą wyłącznie od ich decyzji, lecz również od strategii stosowanych przez pozostałych uczestników gry złamana krzywa popytu (ang. kinked demand curve ) krzywa popytu na produkt będąca konsekwencją strategii oligopolistów, którzy decydują się na naśladowanie wyłącznie obniżek cen wprowadzanych przez któregokolwiek z nich i ignorowanie ewentualnych podwyżek dylemat więźnia (ang. prisoner’s dilemma ) gra, w ramach której korzyści ze współpracy są większe niż korzyści z forsowania wąsko rozumianego własnego interesu", "section": "Oligopol", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Ludzie często myślą o popycie i podaży wyłącznie w odniesieniu do dóbr i usług konsumpcyjnych, ale rynki pracy, np. pielęgniarek, i rynki kapitału również mogą być poddane takiej analizie. (Źródło: modyfikacja pracy „Fotos GOVBA\"/Flickr Creative Commons) Pokolenie wyżu demograficznego wkracza w jesień życia The Census Bureau , amerykański odpowiednik GUS-u, donosi, że w 2013 r. 20% populacji USA miało ponad 60 lat, co oznacza, że prawie 63 mln ludzi osiągnęło wiek, w którym będą potrzebować rozbudowanej opieki medycznej. W Polsce na koniec 2019 r. osób w wieku 60+ było 9 mln, a odsetek osób starszych w populacji naszego kraju wynosił 25,3%. Demografowie szacują, że w roku 2050 liczba seniorów zwiększy się do poziomu blisko 14 mln, link do danych znajdziesz tutaj . W USA 74 mln ludzi urodzonych w czasie powojennego wyżu demograficznego (czyli w latach 1946–1964) właśnie osiągnęło wiek emerytalny. Wraz z upływem czasu zaczną dotykać ich dość powszechne dla tej grupy wiekowej problemy zdrowotne, takie jak choroby serca, zapalenie stawów i choroba Alzheimera, które mogą wymagać przedłużającej się hospitalizacji lub domowej opieki pielęgniarskiej. Starzenie się pokolenia wyżu demograficznego oraz postęp w technologiach ratujących i przedłużających życie zwiększą zapotrzebowanie na opiekę zdrowotną i pielęgniarską. Dodatkowo popyt ten pobudzi The Affordable Care Act (ustawa o przystępnej cenie opieki), rozszerzający dostęp do opieki zdrowotnej dla milionów Amerykanów. Według Bureau of Labor Statistics (BLS) można oczekiwać, że liczba pracowników zatrudnionych w charakterze pielęgniarki i pielęgniarza w latach 2014–2024 w Stanach Zjednoczonych zwiększy się o 16%. Mediana rocznych wynagrodzeń (która w 2015 r. wyniosła 67 490 dol.) zapewne również wzrośnie. BLS prognozuje, że do 2022 r. pojawi się zapotrzebowanie na 439 tys. nowych etatów pielęgniarskich. Zgodnie z raportem przygotowanym przez Naczelną Izbę Pielęgniarek i Położnych w 2021 r. w Polsce zawody te wykonywało 261 tys. osób. Jednak w przeciwieństwie do prognoz formułowanych dla USA liczba pielęgniarek i położnych zatrudnionych w Polsce ma się zmniejszyć o 16 761 do 2025 r. i aż o 36 293 do roku 2030 niezależnie od rosnącego zapotrzebowania na opiekę; link do źródła . Te dane mówią nam – ekonomistom – że rynek pracowników służby zdrowia, a w szczególności pielęgniarek i pielęgniarzy, stanie przed poważnymi wyzwaniami. Wprowadzony wcześniej sposób analizy podaży i popytu pomoże nam ocenić, jakie będą konsekwencje przedstawionych wyżej czynników dla rynku pracy zawodów medycznych. Omówimy je na końcu niniejszego rozdziału. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Jakie czynniki wpływają na popyt i podaż na rynkach pracy Jakie zmienne determinują popyt i podaż na rynkach finansowych W jaki sposób mechanizm rynkowy tworzy efektywny system dystrybucji informacji wśród podmiotów ekonomicznych Prawa popytu i podaży nie dotyczą tylko rynków dóbr i usług. Odnoszą się do każdego rynku, na którym coś jest sprzedawane i kupowane, a więc również do rynków czynników produkcji, czyli pracy i kapitału. Rynki pracy to rynki pracowników lub miejsc pracy, a bardziej precyzyjnie – usług pracy. Rynki kapitałowe (usług finansowych) to rynki oszczędności lub pożyczek. Gdy myślimy o krzywych popytu i podaży na rynkach dóbr i usług, łatwo wyobrazić sobie, kto zgłasza popyt i kto zapewnia podaż: przedsiębiorstwa wytwarzają i sprzedają swoje produkty, a gospodarstwa domowe je kupują. Kim są nabywcy i sprzedawcy na rynkach pracy i usług finansowych? Na rynkach pracy stroną podażową są osoby poszukujące pracy, czyli oferujące swe usługi pracy, podczas gdy przedsiębiorstwa i inni pracodawcy zatrudniający zgłaszają na nią popyt. Na rynkach finansowych z kolei każdy podmiot, który oszczędza, tworzy podaż kapitału niezbędnego do realizacji procesów produkcyjnych, a każdy, kto pożycza ten kapitał od innych (osoba fizyczna, przedsiębiorstwo lub rząd), tworzy na niego popyt. Należysz do grona studentów, więc najprawdopodobniej albo już jesteś częścią rynku pracy (zapewne tworząc podaż, jakkolwiek możesz też kreować popyt, jeśli posiadasz własną firmę), albo wejdziesz na ten rynek w nieodległej przyszłości. Niniejszy rozdział pozwoli ci dostrzec, że rynki pracy i rynki finansowe możemy analizować za pomocą tych samych narzędzi, których używamy do analizy popytu i podaży na rynkach dóbr i usług konsumpcyjnych.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Podaż i popyt na rynku pracy Po przeczytaniu tego podrozdziału będziesz w stanie: Przewidywać kierunek i skalę przesunięcia krzywych popytu i podaży na rynku pracy Wyjaśnić wpływ postępu technicznego na popyt i podaż na rynku pracy Wytłumaczyć oddziaływanie płacy minimalnej na rynek pracy Na rynku pracy kształt krzywych popytu i podaży jest analogiczny do tego, jaki występuje na standardowym rynku dóbr i usług. Również prawo popytu działa w ten sam sposób: wyższa płaca (wynagrodzenie), czyli wyższa cena pracy, prowadzi do zmniejszenia zapotrzebowania na pracowników zgłaszanego przez pracodawców, podczas gdy niższa płaca spowoduje wzrost tego zapotrzebowania. Zasady działania prawa podaży również są niezmienne: wyższa cena (wynagrodzenie) prowadzi do wzrostu ilości pracy oferowanej na rynku; niższa cena prowadzi do spadku liczby chętnych do podjęcia zatrudnienia (lub oferowanych przez nich godzin pracy). Równowaga na rynku pracy W 2015 r. na terenie aglomeracji Minneapolis zatrudnionych było ok. 35 tys. dyplomowanych pielęgniarek (według BLS). Pracowały one dla różnych pracodawców: szpitali, gabinetów lekarskich, szkół, przychodni i domów opieki. pokazuje, jak popyt i podaż wyznaczają równowagę na tym konkretnym rynku pracy. Dane zawarte w przedstawiają wielkość oferty i zapotrzebowania na pracę pielęgniarek przy różnych poziomach wynagrodzenia (płacy). Przykład rynku pracy: popyt i podaż na rynku pracy pielęgniarek w aglomeracji Minneapolis Krzywa popytu na pracę zgłaszanego przez pracodawców (D), którzy chcą zatrudnić pielęgniarki, przecina się z krzywą podaży wykwalifikowanych pielęgniarek (S) w punkcie równowagi (E). Wynagrodzenie równowagi wynosi 70 tys. dol., a liczba zatrudnionych pielęgniarek równoważąca rynek to 34 tys. Przy płacy powyżej poziomu równowagi, wynoszącej np. 75 tys. dol., liczba osób chętny do pracy wzrasta do 38 tys., ale liczba pielęgniarek, na pracę których jest zapotrzebowanie, spada do 33 tys. Przy płacy wyższej od poziomu równowagi istniałaby nadwyżka podaży pracy pielęgniarek. Przy cenie pracy poniżej poziomu równowagi, wynoszącej np. 60 tys. dol., liczba oferowanych miejsc pracy spada do 27 tys., podczas gdy zapotrzebowanie wzrasta do 40 tys. osób. Przy płacy poniżej poziomu równowagi pojawiłaby się nadwyżka popytu. Popyt i podaż pielęgniarek w aglomeracji Minneapolis Roczne wynagrodzenie (dol.) Zapotrzebowanie Liczba ofert 55 000 45 000 20 000 60 000 40 000 27 000 65 000 37 000 31 000 70 000 34 000 34 000 75 000 33 000 38 000 80 000 32 000 41 000 Oś pozioma na wykresie prezentuje liczbę pielęgniarek. W tym przykładzie ilość pracy mierzymy liczbą pracowników, ale innym powszechnym sposobem jest pomiar wykorzystujący liczbę przepracowanych godzin. Oś pionowa pokazuje cenę, którą pracodawcy muszą zapłacić za pracę pielęgniarek. W realnym świecie ta cena byłaby równa płacy brutto, czyli wynagrodzeniu wpływającemu na konta pielęgniarek wraz z narzutami (podatki i składki np. na ubezpieczenie zdrowotne lub emerytalne) na płace. W Polsce pracodawcy dokładają 20,48% wynagrodzenia brutto dla każdego pracownika zatrudnionego na etacie. Dodatkowo od wynagrodzenia brutto pracownika odprowadzane są obowiązkowe składki w wysokości blisko 23%. Do tego należy jeszcze doliczyć podatek od dochodów osobistych, którego wymiar jest uzależniony od wynagrodzenia (płacy zasadniczej i wszystkich dodatków, np. premii, kwoty związanej z wysługą lat itd.). W tym przykładzie mierzymy cenę pracy wynagrodzeniem w ujęciu rocznym, chociaż w innych przypadkach możemy mierzyć ją płacą miesięczną lub tygodniową, a nawet stawką za godzinę. Wraz ze wzrostem wynagrodzenia pielęgniarek zapotrzebowanie na ich pracę spada. Niektóre szpitale i domy opieki mogą zmniejszyć liczbę nowo zatrudnianych pielęgniarek lub zwolnić te, które już pracują, gdyż nie będą skłonne płacić im wyższych wynagrodzeń. Pracodawcy, skonfrontowani z wyższymi płacami pielęgniarek, mogą również próbować zmniejszyć koszty i zakres obowiązków, inwestując w sprzęt zastępujący pielęgniarki, taki jak skomputeryzowane systemy diagnostyczne do monitorowania pacjentów, lub angażując pracowników o niższych kwalifikacjach, których płace będą niższe. Wraz ze wzrostem wynagrodzenia pielęgniarek wzrośnie liczba chętnych do podjęcia tej pracy. Jeśli ich płace w aglomeracji Minneapolis są wyższe niż w innych miastach, coraz więcej osób posiadających stosowne uprawnienia przeniesie się do tej metropolii, aby znaleźć w niej zatrudnienie. Więcej osób będzie też skłonnych do zdobycia wykształcenia umożliwiającego tę pracę, a dyplomowane pielęgniarki będą wydłużać czas pracy lub wręcz podejmować zatrudnienie na drugim etacie. Innymi słowy, w okolicy będzie więcej pielęgniarek szukających zajęcia. W stanie równowagi (ang. equilibrium ) zapotrzebowanie i ilość oferowana są sobie równe. Tak więc każdy pracodawca, który chce zatrudnić pielęgniarkę za płacę równowagi, może znaleźć osobę gotową do podjęcia pracy, a każda pielęgniarka, która chce pracować za takie wynagrodzenie, może znaleźć pracę. Na krzywa podaży (S) i krzywa popytu (D) przecinają się w punkcie równowagi (E). Liczba zatrudnionych pielęgniarek, która równoważy rynek pracy w tym mieście, wynosi 34 tys., a płaca równowagi kształtuje się na poziomie 70 tys. dol. rocznie. Ten przykład oczywiście stanowi uproszczenie rzeczywistości (podobnie jak każdy model ekonomiczny), koncentrując analizę na statystycznie uśrednionej pielęgniarce. W rzeczywistości rynek pracy pielęgniarek obejmuje wiele mniejszych rynków (segmentów), do których dostęp uzależniony jest np. od posiadania specjalistycznych kwalifikacji (położne) i doświadczenia. Jednak podobnie rzecz się ma z rynkami dóbr konsumpcyjnych. Rynek paliw, na którym wyznaczamy cenę równowagi, też składa się z segmentów obejmujących etyliny w wersji regularnej i premium, jak również olej napędowy lub gaz. Jednak omawianie średniej ceny benzyny, tak jak i średniej pensji pielęgniarek, może być nadal przydatne, ponieważ odzwierciedla typowe procesy zachodzące w większości segmentów składających się na ten konkretny rynek pracy. Trudno oczekiwać, aby płace pielęgniarek nie wzrosły w sytuacji, w której systematycznie zwiększa się wynagrodzenie położnych. Gdy cena pracy odchyli się od poziomu równowagi, mechanizm rynkowy będzie działał w taki sposób, by relatywnie szybko ów stan przywrócić. Na przykład gdyby cena pracy pielęgniarek w Minneapolis kształtowała się powyżej poziomu równowagi i wynosiła 75 tys. dol. rocznie, aż 38 tys. osób chciałoby podjąć tę pracę, ale pracodawcy gotowi byliby zatrudnić tylko 33 tys. pielęgniarek. Przy płacy powyżej poziomu równowagi powstaje nadwyżka podaży. W tej sytuacji, przy wielu kandydatach na każde miejsce pracy, pracodawcy będą mieli możliwość oferowania niższych płac. Wynagrodzenia pielęgniarek będą spadać, aż osiągną poziom równowagi. Z drugiej strony, jeśli wynagrodzenia będą niższe od poziomu równoważącego rynek, powiedzmy w wysokości 60 tys. dol. rocznie, powstanie nadwyżka popytu na pracę. Relatywnie niskie płace będą skłaniały pracodawców z Minneapolis do zwiększania zatrudnienia, ale popyt na 40 tys. pracowników napotka podaż w wysokości jedynie 27 tys. osób. Brak chętnych do podjęcia pracy będzie skłaniał pracodawców do stopniowego podnoszenia wynagrodzenia, aby eliminować wakaty i zapobiec zwalnianiu się pracowników już zatrudnionych. Z drugiej strony rosnące wynagrodzenie będzie przyciągać do tego miasta pielęgniarki i skłaniać młodych ludzi do kształcenia się w tym kierunku. Dzięki tym procesom cena i zatrudnienie na rynku pracy ponownie będą zmierzać w kierunku równowagi. Przesunięcia krzywej popytu na pracę Krzywa popytu na pracę pokazuje ilość pracy (liczbę pracowników lub godzin ich pracy), na jaką pracodawcy zgłaszają zapotrzebowanie przy każdym poziomie wynagrodzenia lub każdej stawce godzinowej, przy założeniu ceteris paribus . Zmiana płacy spowoduje zmianę ilości pracy, na którą jest zapotrzebowanie. Jeśli stawka wynagrodzenia wzrośnie, pracodawcy będą chcieli zatrudniać mniej pracowników. Ilość pracy, na którą jest zapotrzebowanie, zmniejszy się i nastąpi ruch w górę wzdłuż krzywej popytu. Jeśli płace spadają, pracodawcy są bardziej skłonni do zatrudniania większej liczby pracowników. Ilość pracy, na którą jest zapotrzebowanie, wzrośnie, co spowoduje ruch w dół wzdłuż krzywej popytu. Przesunięcia krzywej popytu na pracę mogą nastąpić z wielu różnych powodów. Jednym z nich jest to, że popyt na pracę zależy od popytu na wyprodukowane dzięki niej dobra lub usługi. Na przykład im więcej nowych aut chcą kupić konsumenci, tym większą liczbę pracowników będą chcieli zatrudnić producenci samochodów. Dlatego właśnie ekonomiści nazywają popyt na pracę i inne czynniki produkcji (kapitał) popytem pochodnym. Oto kilka przykładów pochodnego popytu na pracę: Popyt na szefów kuchni jest uzależniony od popytu na jedzenie w restauracjach. Popyt na farmaceutów jest uzależniony od popytu na leki. Popyt na adwokatów jest uzależniony od popytu na usługi prawne. Wraz ze wzrostem popytu na towary i usługi popyt na pracę wzrośnie, czyli przesunie się w prawo, aby sprostać potrzebom produkcyjnym pracodawców. Wraz ze spadkiem popytu na towary i usługi popyt na pracę zmniejszy się, czyli przesunie się w lewo. pokazuje, że oprócz konsekwencji pochodnego charakteru popytu na pracę może on również wzrosnąć lub spaść (przesunąć się) w odpowiedzi na kilka innych czynników. Czynniki, które mogą przesunąć krzywą popytu na pracę Czynniki Rezultaty Popyt na dobra i usługi Gdy popyt na produkowane dzięki wykorzystaniu pracy dobra i usługi rośnie, wzrasta zarówno ich cena, jak i rentowność procesu produkcyjnego. W rezultacie producenci zgłaszają większe zapotrzebowanie na siłę roboczą, aby zwiększyć wolumen produkcji. Poprawa poziomu wykształcenia i kwalifikacji pracowników Dobrze wyszkolona i wykształcona siła robocza (np. dzięki finansowanym przez państwo programom szkoleń) powoduje wzrost zapotrzebowania na pracę ze strony pracodawców. Wraz z rosnącymi umiejętnościami, kwalifikacjami i doświadczeniem rośnie również wartość produkcji, którą pracownicy są w stanie wytworzyć, co przesuwa popyt na pracę w prawo. Jeśli pracownicy mają tylko podstawowe wykształcenie i brak im doświadczenia, pracodawcy będą ich zatrudniać mniej chętnie, ponieważ będą musieli poświęcić znaczną ilość czasu i pieniędzy na szkolenia. Popyt na pracę przesunie się więc w lewo. Technologia Zmiany technologiczne mogą być zarówno substytucyjne, jak i komplementarne wobec pracy. Gdy postęp technologiczny umożliwia zmniejszenie zatrudnienia, mówimy o substytucyjnej relacji między technologią a pracą. Na przykład wprowadzenie komputerowych edytorów tekstu i drukarek znacznie zmniejszyło zapotrzebowanie na pracę maszynistek. To z kolei przesunęło krzywą popytu na osoby z takimi umiejętnościami w lewo. Ale wzrost dostępności i obniżenie kosztu wprowadzenia niektórych technologii może też zwiększyć popyt na pracę (mówimy wówczas o relacji komplementarnej). Zmiany technologiczne, które działają w ten sposób, zwiększają popyt na niektóre rodzaje pracy, powodując przesunięcie krzywej popytu w prawo. Masowe wykorzystanie oprogramowania do edycji tekstu zwiększyło zapotrzebowanie na specjalistów IT, którzy rozwiązują problemy użytkowników z oprogramowaniem i sprzętem. Podobnie pojawienie się silnika spalinowego i samochodów drastycznie zmniejszyło zapotrzebowanie na woźniców, ale zwiększyło popyt na pracę mechaników samochodowych i pracowników stacji benzynowych. Szersze zastosowanie nowych technologii zwiększy zapotrzebowanie na wykwalifikowanych pracowników, którzy wiedzą, jak ją wykorzystać do zwiększenia produktywności (ilości wytworzonych dóbr i usług) w miejscu pracy. Pracownicy, którzy nie dostosowują się do tych zmian, odczują spadek popytu na swoją pracę. Liczba przedsiębiorstw Wzrost liczby przedsiębiorstw wytwarzających dane dobro lub usługę spowoduje wzrost popytu na pracę, która jest niezbędna do ich wyprodukowania. Spowoduje to oczywiście przesunięcie krzywej popytu na pracę w prawo. Spadek liczby przedsiębiorstw wytwarzających dany towar zmniejszy popyt na pracę, co spowoduje przesunięcie krzywej popytu na pracę w lewo. Regulacje wprowadzane przez państwo Regulacje mogą zwiększyć lub zmniejszyć zapotrzebowanie na pracę przy każdym poziomie wynagrodzenia (płacy rynkowej). Państwo może nakazać, aby na każdym oddziale szpitalnym na jednego pacjenta przypadała jedna pielęgniarka, co zwiększy popyt na ich pracę. Gdyby natomiast regulacje zakazywały wykonywania określonych procedur medycznych położnym i dopuszczały do nich wyłącznie lekarzy, popyt na pracę położnych przesunąłby się w lewo. Cena i dostępność innych czynników produkcji (nakładów) Praca nie jest jedynym nakładem w procesie produkcyjnym. Na przykład sprzedawca w call center potrzebuje telefonu i terminala komputerowego, aby wprowadzać dane i rejestrować sprzedaż. Jeśli ceny innych czynników produkcji spadną, produkcja stanie się bardziej opłacalna, a wytwórcy będą potrzebować więcej siły roboczej, aby zwiększyć produkcję. Spowoduje to przesunięcie w prawo krzywej popytu na pracę. Oczywiście relacja ta jest symetryczna. Wyższe ceny innych nakładów obniżają popyt na pracę. Kliknij tu , aby przeczytać więcej o trendach i wyzwaniach dla pracy w XXI w. Przesunięcia krzywej podaży pracy Podaż pracy jest krzywą nachyloną dodatnio, która w związku z tym spełnia warunki prawa podaży albo odpowiada działaniu prawa podaży: im wyższa cena, tym większa ilość pracy oferowana na rynku, a im cena niższa, tym ta ilość jest mniejsza. Krzywa podaży ceteris paribus ilustruje wybór typu coś za coś między zaangażowaniem w pracę a wykorzystaniem czasu wolnego przy każdym poziomie wynagrodzeń. Im wyższa płaca, tym więcej osób jest skłonnych pracować i rezygnować z wypoczynku. zawiera listę niektórych czynników wpływających na wzrost lub spadek podaży pracy. Czynniki, którą mogą przesunąć krzywą podaży pracy Czynniki Rezultaty Liczba pracowników Zwiększenie liczby pracowników spowoduje przesunięcie krzywej podaży w prawo. Wzrost liczby osób zainteresowanych świadczeniem pracy może być spowodowany kilkoma czynnikami, takimi jak imigracja czy wzrost dzietności kobiet. Z kolei starzenie się społeczeństwa będzie miało odwrotny efekt. Polityka zachęcająca do imigracji zwiększy podaż pracy, natomiast zaostrzenie polityki migracyjnej ogranicza liczbę osób chętnych do podjęcia pracy. Populacja rośnie również, gdy liczba urodzeń przewyższa liczbę zgonów w ciągu roku. To ostatecznie zwiększy podaż siły roboczej, gdy młodzi ludzie osiągną wiek produkcyjny. Natomiast wysoka liczba osób, które przechodzą na emeryturę, zmniejszy podaż siły roboczej. Na liczbę pracowników wpływają też zmiany kulturowe, takie jak wzrost liczby kobiet podejmujących pracę zarobkową poza domem. Niezbędne kwalifikacje Im wyższy poziom wykształcenia i kwalifikacji jest niezbędny do świadczenia pracy, tym mniejsza jej podaż. Osób posiadających doktorat z matematyki jest mniej niż nauczycieli matematyki w szkołach średnich; podaż kardiologów jest mniejsza niż lekarzy pierwszego kontaktu, a liczba lekarzy jest mniejsza niż liczba pielęgniarek. Działania państwa Działania państwa również mogą wpływać na podaż pracy. Aktywność regulacyjna władz różnych szczebli może określić minimalny poziom wykształcenia, doświadczenia i kwalifikacji niezbędnych do świadczenia określonych rodzajów pracy. Gdy te wymagania zostaną zaostrzone, liczba wykwalifikowanych pracowników zmniejszy się przy każdym poziomie wynagrodzenia. Z drugiej strony, rząd może dofinansować szkolenia, a nawet obniżyć wymagany poziom kwalifikacji, np. zaoferować dotacje dla szkół pielęgniarskich lub studentów pielęgniarstwa i zezwolić na świadczenie porad prawnych absolwentom studiów prawniczych, którzy nie ukończyli aplikacji. Takie przepisy przesunęłyby krzywe podaży pielęgniarek i prawników w prawo. Ponadto polityka rządu zmieniająca względną atrakcyjność pracy w porównaniu z brakiem zatrudnienia również wpływa na podaż tego czynnika produkcji. Obejmuje ona m.in. wysokość i dostępność zasiłków dla bezrobotnych, długość płatnego urlopu rodzicielskiego, zasiłki na opiekę nad dzieckiem oraz inne programy socjalne. Przykładem może być wprowadzenie w Polsce programu Rodzina 500+, które zmniejszyło podaż pracy wśród kobiet posiadających dzieci. Długoterminowe zasiłki dla bezrobotnych mogą ich zniechęcać do poszukiwania pracy. Polityka socjalna państwa musi być zatem dogłębnie przemyślana, aby ograniczyć negatywne skutki dla rynkowej podaży pracy. Zmiana wynagrodzenia spowoduje ruch wzdłuż krzywych popytu na pracę lub podaży pracy, ale nie przesunie samych krzywych. Jednak inne wydarzenia, takie jak te, które zostały opisane w dwóch tabelach powyżej, spowodują przesunięcie albo popytu na pracę, albo jej podaży, a tym samym zmienią stan równowagi na rynku. Technologia i zróżnicowanie płac: czteroetapowy proces Różne trendy obserwowane w gospodarkach rynkowych prowadzą do zmian poziomu wynagrodzeń i wielkości zatrudnienia. Zastanów się, w jaki sposób nowe technologie informatyczne, takie jak sieci komputerowe i telekomunikacyjne, wpłynęły na sytuację pracowników wysoko wykwalifikowanych, a jak na sytuację tych, którzy nie posiadają specjalistycznego wykształcenia i umiejętności? Z punktu widzenia pracodawców zgłaszających zapotrzebowanie na siłę roboczą nowe technologie często zastępują pracowników o niskich kwalifikacjach, takich jak urzędnicy zajmujący się aktami, którzy kiedyś przeczesywali szafki pełne papierowych dokumentów potwierdzających zawarcie transakcji i podpisanie umów. Jednak te same nowe technologie ułatwiają pracę wysoko wykwalifikowanych pracowników, takich jak menedżerowie, którzy dzięki komputerom i sieciom teleinformatycznym są w stanie dotrzeć do większej ilości informacji i lepiej nadzorować zarówno pracowników, jak i procesy produkcyjne w różnych częściach kraju i świata. Jak nowe technologie wpłyną na płace pracowników o wysokich i niskich kwalifikacjach? W przypadku tego pytania czteroetapowy proces analizy wpływu zmian podaży lub popytu na rynek (wprowadzony w ) działa w następujący sposób: Krok 1. Jak wyglądały rynki pracowników o wysokich i niskich kwalifikacjach przed pojawieniem się nowych technologii? Na dwóch panelach S 0 to pierwotna krzywa popytu na pracę. Na każdym panelu pierwotny punkt równowagi E 0 występuje przy płacy W 0 i ilości Q 0 . Technologia i wynagrodzenia: zastosowanie modelu popytu i podaży Panel (a): Popyt na nisko wykwalifikowaną siłę roboczą przesuwa się w lewo, kiedy zmiana technologiczna umożliwi zastąpienie pracy wykonywanej wcześniej przez tych pracowników zautomatyzowanymi procesami. Panel (b): Nowe technologie mogą również zwiększyć zapotrzebowanie na wysoko wykwalifikowaną siłę roboczą w dziedzinach takich jak IT i telekomunikacja. Krok 2. Czy nowa technologia wpływa na podaż pracy oferowaną przez gospodarstwa domowe, czy na popyt na pracę ze strony przedsiębiorstw? Opisana tutaj zmiana technologii wpływa na popyt na pracę zgłaszany przez przedsiębiorstwa. Krok 3. Czy nowa technologia zwiększy, czy zmniejszy popyt na pracę? Na podstawie wcześniejszego opisu możemy założyć, że gdy pojawią się techniczne możliwości zastąpienia pracowników o niskich kwalifikacjach, popyt na taką pracę przesunie się w lewo, z D 0 do D 1 . Z kolei obniżenie cen zaawansowanych technologicznie urządzeń zwiększy atrakcyjność pracowników wykorzystujących je w swojej pracy, w związku z czym popyt na wysoko wykwalifikowaną siłę roboczą przesunie się w prawo, z D 0 do D 1 . Krok 4. Nowa równowaga na rynku pracowników o niskich kwalifikacjach ustali się w punkcie E 1 z płacą W 1 i ilością Q 1 , czyli dla niższych poziomów zarówno wynagrodzenia, jak i zatrudnienia w stosunku do pierwotnego punktu równowagi E 0 . Nowa równowaga na rynku pracowników o wysokich kwalifikacjach (E 1 ) będzie natomiast wskazywać na wyższy poziom płacy (W 1 ) i wyższą wielkość zatrudnienia (Q 1 ) w porównaniu z pierwotnym punktem równowagi (E 0 ). Zatem model popytu i podaży przewiduje, że nowe technologie komputerowe i telekomunikacyjne wpłyną na wzrost płac pracowników o wysokich kwalifikacjach, ale obniżą wynagrodzenia pracowników o niskich kwalifikacjach. Od lat 70. ubiegłego stulecia do roku 2005 w gospodarce amerykańskiej można było obserwować pogłębianie się luki płacowej między pracownikami o wysokich a pracownikami o niskich kwalifikacjach. Na przykład według National Center for Education Statistics w 1980 r. absolwent college'u zarabiał ok. 30% więcej niż absolwent szkoły średniej z porównywalnym doświadczeniem zawodowym. Ale w 2014 r. absolwent college'u zarabiał już ok. 66% więcej niż absolwent szkoły średniej, który przepracował tyle samo lat. Zdaniem wielu ekonomistów trend silnego różnicowania wysokość płac w gospodarce USA wynika w przeważającej mierze z postępu technologicznego. Podobne tendencje obserwowane są również w gospodarce Polski. Na tej stronie przeczytasz o dziesięciu umiejętnościach technicznych, które straciły znaczenie na dzisiejszym rynku pracy. Ograniczenia cenowe na rynku pracy – płaca minimalna W przeciwieństwie do rynków dóbr i usług narzędzie takie jak ceny maksymalne na rynkach pracy jest wykorzystywane niezwykle rzadko, ponieważ przepisy uniemożliwiające ludziom powiększanie ich dochodów, nie są popularne politycznie. Da się jednak wskazać kilka wyjątków od tej zasady. Po pierwsze zatem – rady nadzorcze lub akcjonariusze proponują ograniczenia dochodów kadry kierowniczej najwyższego szczebla. Po drugie zaś, stosowane są ograniczenia łącznej wysokości zarobków w klubach sportowych uniemożliwiające podnoszenie wynagrodzenia gwiazd piłki nożnej, koszykówki lub hokeja w nieskończoność (tzw. salary cap w USA i mechanizm finansowego fair play wprowadzony w klubach piłkarskich przez UEFA). Zupełnie inaczej wygląda sytuacja z cenami minimalnymi, które są narzędziem wykorzystywanym w celu podniesienia wynagrodzeń pracowników o niskich kwalifikacjach. Rządy większości krajów rozwiniętych (ale nie wszystkich, płacy minimalnej nie ma np. w Szwecji, w Niemczech zaś została ona wprowadzona dopiero w drugiej dekadzie XXI w.) ustalają płacę minimalną (ang. minimum wage ), czyli cenę minimalną pracy, która uniemożliwia obniżenie wynagrodzenia pracowników (zarówno definiowanego jako płaca miesięczna, jak i za godzinę pracy) poniżej wskazanego w prawie poziomu. W Polsce w ciągu ostatnich pięciu lat, tj. między rokiem 2018 a 2022, minimalna płaca za standardowy miesięczny okres pracy wzrosła z 2100 do 3010 zł brutto. Jednocześnie w tym samym okresie minimalne wynagrodzenie za godzinę pracy zostało zwiększone z kwoty 13,70 do 19,70 zł brutto. W Stanach Zjednoczonych poza minimalną płacą federalną funkcjonuje jeszcze jeden poziom ceny minimalnej na rynku pracy, tzw. płaca zapewniająca utrzymanie (ang. living wage ). Zwolennicy ustawy o płacy zapewniającej utrzymanie twierdzą, że płaca minimalna jest zbyt niska, aby zapewnić rozsądny poziom życia. Opierają ten wniosek na wyliczeniu, zgodnie z którymi jeśli ktoś pracuje 40 godzin tygodniowo przy płacy minimalnej 7,25 dol. za godzinę przez 50 tygodni w roku, to jego roczny dochód wynosi 14 500 dol., czyli mniej niż oficjalnie przyjęta przez rząd USA granica ubóstwa dla czteroosobowego gospodarstwa domowego. Federalna granica ubóstwa dla takiego gospodarstwa domowego wynosiła w 2015 r. 24 250 dol. Jeśli jedna z osób dorosłych nie pracuje, żeby zapewnić opiekę małoletnim dzieciom, dochody tej drugiej są znacznie poniżej granicy ubóstwa. Odkąd Baltimore uchwaliło w 1994 r. pierwszą ustawę o płacy zapewniającej utrzymanie, podobne rozwiązania przyjęło kilkadziesiąt miast. Rozporządzenia dotyczące płacy zapewniającej utrzymanie nie mają zastosowania do wszystkich pracodawców, ale określiły, że wszyscy pracownicy zatrudnieni w urzędach i przedsiębiorstwach komunalnych, jak również pracownicy przedsiębiorstw zatrudnianych przez miasto, otrzymują płacę nie mniejszą niż ustalona przez władze lokalne, która zwykle jest o kilka dolarów za godzinę wyższa niż płaca minimalna w USA. przedstawia sytuację kraju biorącego pod uwagę wprowadzenie płacy minimalnej. Wynagrodzenie oznaczone jest na osi pionowej, bo płaca jest ceną na rynku pracy. Przed uchwaleniem ustawy o płacy minimalnej płaca równowagi wynosiła 10 zł za godzinę, a zatrudnienie kształtowało się na poziomie 1200 pracowników. Jednak silny lobbing obywateli przekonuje parlamentarzystów do uchwalenia ustawy o płacy minimalnej, wymagającej od pracodawców płacenia nie mniej niż 12 zł za godzinę pracy. W odpowiedzi na wyższe zarobki 1600 pracowników zaczyna aktywnie poszukiwać pracy. Przy wyższej płacy pracodawcy są skłonni zatrudnić tylko 700 pracowników. Dla tego poziomu wynagrodzenia liczba chętnych do podjęcia pracy przewyższa zapotrzebowanie, a więc istnieje nadwyżka podaży pracy. Standard życia pracowników, którzy nadal mają pracę za wyższą płacę, uległ poprawie. Oni skorzystali na tej decyzji. Dla tych, którzy chcieli pracować przy dotychczasowej stawce, ale stracili posadę wraz z podwyżką, warunki życia się się pogorszyły. Oni ponoszą koszt decyzji o wprowadzeniu płacy minimalnej. pokazuje różnice w podaży i popycie na pracę przy różnych poziomach wynagrodzenia (płacy). Płaca minimalna Pierwotna równowaga na rynku pracy wyznaczona była w punkcie E, przy płacy równej 10 zł/godz. i liczbie 1200 pracowników. Narzucenie minimalnego poziomu płac na poziomie 12 zł/godz. prowadzi do nadwyżki podaży pracy. Przy tej płacy ilość oferowanej pracy wynosi 1600, a zapotrzebowanie jest równe 700. Płaca minimalna Wynagrodzenie (zł/godz.) Zapotrzebowanie na pracę Oferowana ilość pracy 18 1900 500 19 1500 900 20 1200 1200 21 900 1400 22 700 1600 23 500 1800 24 400 1900 Płaca minimalna w USA jest ustalona albo bardzo blisko płacy równowagi, albo nawet nieco poniżej. Około 1% amerykańskich pracowników faktycznie otrzymuje płacę minimalną. Innymi słowy, płace w zdecydowanej większości przypadków w USA są ustalane na rynku pracy, a nie w wyniku przyjęcia rządowego dolnego progu cenowego. Zupełnie inaczej sytuacja wygląda w Polsce. W 2022 r. minimalne wynagrodzenie pobierać będzie ok. 2,2 mln pracowników. Zważywszy, że zatrudnienie kształtuje się na poziomie ok. 16,5 mln osób, minimalne wynagrodzenie uzyskuje ok. 13% pracujących. Ekonomiści niejednokrotnie próbowali oszacować, o ile płaca minimalna zmniejsza zapotrzebowanie na pracowników o niskich kwalifikacjach. Najczęściej takie badania pokazują, że podwyżka płacy minimalnej o 10% zmniejszyłaby w USA zatrudnienie pracowników niewykwalifikowanych o 1–2%, co wydaje się stosunkowo niewielką redukcją. Niektóre badania nie wykazały żadnego wpływu wyższej płacy minimalnej na zatrudnienie w określonych godzinach i miejscach, chociaż analizy te są kontrowersyjne. Załóżmy, że płaca minimalna leży nieco poniżej poziomu równowagi. Płace mogą wahać się zgodnie z siłami rynkowymi powyżej tej granicy cenowej, ale nie będą mogły zejść poniżej dolnego pułapu. W tej sytuacji minimalna płaca nie jest wiążąca – to znaczy, że nie ma ona wpływu na sytuację na rynku. Jeśli płaca minimalna nieznacznie wzrośnie, to i tak nie będzie miała wpływu na wielkość zatrudnienia w gospodarce, o ile pozostanie poniżej płacy równowagi. A jeśli rząd podniesie płacę minimalną na tyle, aby wzrosła nieco powyżej płacy równowagi, stała się wiążąca i zaczęła oddziaływać, wystąpi tylko niewielka nadwyżka podaży pracy. Te spostrzeżenia pomagają wyjaśnić, dlaczego amerykańskie przepisy dotyczące płacy minimalnej historycznie miały niewielki wpływ na zatrudnienie. Działo się tak, ponieważ płaca minimalna była zwykle ustalana w pobliżu płacy równowagi dla pracowników o niskich kwalifikacjach, a czasem nawet poniżej tego poziomu, nie miała ona więc dużego wpływu na tworzenie nadwyżki podaży pracy. Gdyby jednak płaca minimalna wzrosła znacząco – powiedzmy, gdyby się podwoiła, by zrównać się z płacą zapewniającą utrzymanie, co rozważały niektóre miasta w USA – wówczas jej wpływ na zmniejszenie zapotrzebowania na pracę byłby znacznie większy. W Polsce z kolei wysokość płacy minimalnej w dalszym ciągu jest znacznie niższa niż produktywność większości pracowników, to znaczy, że są oni w stanie wytworzyć dobra i usługi o wartości znacznie przekraczającej poziom ich wynagrodzenia lub koszt ich pracy. Zapewne właśnie dlatego w naszym kraju wzrost płacy minimalnej nie przekłada się na wzrost stopy bezrobocia, która jest miarą nadwyżki podaży na rynku pracy. Poniższa bardziej szczegółowo opisuje niektóre argumenty za i przeciw zmianom płacy minimalnej. Jakie są możliwe konsekwencje podniesienia płacy minimalnej? Z prawa popytu wiemy, że wyższa płaca zmniejszy poziom zatrudnienia wśród pracowników o niskich kwalifikacjach, zarówno jeśli zdefiniujemy ilość pracy w kategoriach liczby pracujących osób, jak i przepracowanych godzin. Chociaż wielkości te mogą budzić zastrzeżenia, przyjmijmy, że podwyżka płacy minimalnej o 10% zmniejszy zatrudnienie takich pracowników o 2%. Czy ta zależność oznaczałaby, że nie należy podnosić płacy minimalnej o 10%? Niekoniecznie. Jeśli 98% osób otrzymujących za swą pracę minimalne wynagrodzenie dostanie podwyżkę o 10%, ale 2% straci pracę, to czy korzyści dla całego społeczeństwa będą większe niż straty? Na tak postawione pytanie trudno odpowiedzieć jednoznacznie, gdyż utrata pracy, nawet przez relatywnie małą grupę, może spowodować więcej szkód niż skromny wzrost dochodów dla większej liczby osób. Po pierwsze, musimy zastanowić się, którzy spośród pracowników otrzymujących płacę minimalną rzeczywiście stracą pracę w wyniku podwyżki minimalnego wynagrodzenia. Jeśli są to osoby posiadające małe dzieci na utrzymaniu, to ocenimy tę sytuację inaczej niż wtedy, gdy zwolnieni zostaną uczniowie szkół średnich, pozostający we wspólnym gospodarstwie domowym z rodzicami i dorabiający do kieszonkowego. Innym problemem jest to, że wielu pracowników otrzymujących płacę minimalną nie pracuje przez cały rok. Wyobraź sobie robotnika z minimalną pensją, który przez kilka wiosennych i letnich miesięcy wykonuje różne prace na pełen etat, a w okresach między tymi zajęciami jest bezrobotny. Pracownik w tej sytuacji otrzymuje 10-procentową podwyżkę płacy w okresie, w którym ma zatrudnienie, ale także przepracuje o 2% mniej czasu w ciągu roku, ponieważ wyższa płaca minimalna zmniejsza zapotrzebowanie zgłaszane na jego usługi przez pracodawców. Ogólnie rzecz biorąc, dochód tego pracownika wzrósłby, ponieważ podwyżka o 10% z nawiązką zrównoważyłaby mniejszą liczbę przepracowanego czasu. Podwyżkę płacy minimalnej dałoby się w tej sytuacji obronić. Oczywiście, przywołane wyżej argumenty nie dowodzą jednoznacznie, że podniesienie płacy minimalnej jest zawsze dobrym pomysłem. Istnieją przecież inne sposoby, które można wykorzystać, aby zwiększyć dochody takich pracowników (jednym z nich jest szeroko dyskutowana koncepcja bezwarunkowego dochodu podstawowego). Nauka, jaka płynie z tego splotu sprzecznych argumentów jest raczej taka, że złożone problemy społeczne rzadko mają jedno proste rozwiązanie. Nawet ci, którzy zgadzają się w kwestii możliwych konsekwencji zastosowania danych narzędzi dla zapotrzebowania i podaży pracy na rynku, mogą różnić się między sobą w ocenie tego, czy konkretna polityka na rynku pracy jest dobrą propozycją. Concepts and Summary Na rynku pracy gospodarstwa domowe tworzą stronę podażową, a przedsiębiorstwa popytową. Na rynku kapitału finansowego gospodarstwa domowe i przedsiębiorstwa mogą znajdować się po obu stronach rynku: są dostawcami kapitału finansowego, gdy oszczędzają lub dokonują inwestycji finansowych, oraz zgłaszają zapotrzebowanie na kapitał finansowy, gdy zaciągają pożyczki lub otrzymują kapitał za pośrednictwem rynków finansowych lub sektora bankowego. W analizie popytu i podaży na rynkach pracy możemy mierzyć cenę na podstawie otrzymywanego rocznego wynagrodzenia lub stawki godzinowej. Ilość pracy możemy mierzyć na różne sposoby, np. liczbą zatrudnionych pracowników lub przepracowanych godzin. Czynniki, które mogą przesunąć krzywą popytu na pracę, obejmują: zmianę zapotrzebowania na towar wytwarzany dzięki zatrudnieniu, zmianę procesu produkcyjnego (zużywanie mniejszej lub większej ilości tego czynnika produkcji) oraz zmianę polityki państwa wpływającą na ilość siły roboczej, jaką przedsiębiorstwa chcą zatrudnić przy danym poziomie wynagrodzeń. Popyt może również wzrosnąć lub spaść (przesunąć się) w odpowiedzi na zmiany w poziomie wykształcenia i doświadczenia pracowników, technologię, liczbę przedsiębiorstw oraz dostępność i ceny innych czynników produkcji, którymi można zastąpić pracę. Główne czynniki mogące przesunąć krzywą podaży pracy to: atrakcyjność pracy dla pracowników (w porównaniu z czasem wolnym), polityka państwa, która ogranicza lub zwiększa liczbę pracowników odpowiednio przeszkolonych do wykonywania konkretnej pracy, liczba pracowników w gospodarce oraz wymagane wykształcenie. Self-Check Questions Jakie zjawiska na rynku pracy powodują ruch wzdłuż krzywej popytu na pracę, a jakie przesunięcie tej krzywej? Zmiany stawki płac (ceny pracy) powodują ruch wzdłuż krzywej popytu. Zmiana jakiegokolwiek innego czynnika wpływającego na popyt na pracę (np. zmiany wielkości produkcji, modyfikacje procesu produkcyjnego wykorzystującego więcej lub mniej siły roboczej, regulacje rządowe) wywołuje przesunięcie krzywej popytu. Jakie zjawiska na rynku pracy powodują ruch wzdłuż krzywej podaży pracy, a jakie przesunięcie samej krzywej? Zmiany stawki płac (ceny pracy) powodują ruch wzdłuż krzywej podaży. Zmiana jakiegokolwiek innego czynnika wpływającego na podaż pracy (np. zmiany w postrzeganiu atrakcyjności pracy, polityka rządu promująca szkolenia w tej dziedzinie) wywołuje przesunięcie krzywej podaży. Review Questions Jak potocznie nazywana jest „cena” na rynku pracy? Czy gospodarstwa domowe stoją po stronie popytu, czy podaży na rynku dóbr i usług? Czy przedsiębiorstwa tworzą popyt, czy podaż na rynku towarów konsumpcyjnych? A co z rynkiem pracy i rynkiem finansowym? Wymień kilka czynników, które mogą spowodować przesunięcie krzywej popytu na rynku pracy. Wymień kilka czynników, które mogą spowodować przesunięcie krzywej podaży na rynku pracy. Critical Thinking Questions Poza popytem na pracę, jaki inny przykład popytu pochodnego możesz podać? Załóżmy, że wzrost płacy minimalnej o 5% powoduje analogiczną redukcję zatrudnienia. Jak wpłynie to na pracodawców i pracowników? Czy twoim zdaniem byłoby to korzystne rozwiązanie? W jakich okolicznościach płaca minimalna miałaby niewiążący charakter? Problems Oceń, czy podmioty oznaczone literami od a do f reprezentują stronę podażową, czy popytową (wskazówka: niektóre z nich mogą reprezentować obie strony na rynku dóbr i usług). Gospodarstwa domowe na rynku pracy. Przedsiębiorstwa na rynku dóbr. Przedsiębiorstwa na rynku finansowym. Gospodarstwa domowe na rynku dóbr. Przedsiębiorstwa na rynku pracy. Gospodarstwa domowe na rynku finansowym. Postaraj się przewidzieć, jak każde z poniższych zdarzeń wpłynie na płacę równowagi i liczbę pracowników przemysłu naftowego zatrudnionych w Teksasie. W każdym przypadku naszkicuj popyt i podaż, aby zilustrować swoją odpowiedź. Cena ropy naftowej rośnie. Wynaleziono nowy, tani i zautomatyzowany sprzęt do wierceń. Kilka dużych firm otwiera w Teksasie fabryki, oferując wiele dobrze płatnych miejsc pracy poza przemysłem naftowym. Rząd przyjmuje nowe, kosztowne z punktu widzenia przedsiębiorstw przepisy z zakresu bezpieczeństwa i higieny pracy (BHP). References American Community Survey. 2012. \"School Enrollment and Work Status: 2011.\" Accessed April 13, 2015. http://www.census.gov/prod/2013pubs/acsbr11-14.pdf. National Center for Educational Statistics. “Digest of Education Statistics.” (2008 and 2010). Accessed December 11, 2013. nces.ed.gov. płaca minimalna (ang. minimum wage ) cena minimalna pracy, która sprawia, że pracodawca nie może legalnie płacić zatrudnionym mniej niż określona stawka wynagrodzenia definiowana w ujęciu miesięcznym, tygodniowym lub godzinowym", "section": "Podaż i popyt na rynku pracy", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Rynek pracy Po przeczytaniu tego podrozdziału będziesz w stanie: Określić, jakie czynniki determinują popyt na pracę, jeśli przedsiębiorstwo sprzedaje swoje produkty na rynku doskonale konkurencyjnym Wyjaśnić, jakie czynniki determinują popyt na pracę, jeśli przedsiębiorstwo sprzedaje swoje produkty na rynkach konkurencji niedoskonałej Wskazać, jakie czynniki określają stawkę płac na rynku W poprzednim podrozdziale zdefiniowaliśmy rynek pracy jako jeden z rynków czynników produkcji (nakładów). Oczywiście nie istnieje jeden rynek pracy. Ekonomiści posługują się tym określeniem, żeby opisać rynki różniące się m.in. kwalifikacjami pracowników i rodzajem wykonywanej przez nich pracy (istnieje rynek pracowników sektora IT, rynek prawników i rynek robotników niewykwalifikowanych), zasięgiem (rynki lokalne, na których zatrudnienie uzyskują pracownicy handlu detalicznego, i globalny rynek oficerów i marynarzy floty handlowej) oraz stopniem regulacji wprowadzonej przez państwo (ściśle regulowany rynek lekarzy, pilotów samolotów i nauczycieli). Trzeba też wspomnieć o pozostającym praktycznie poza jakimikolwiek regulacjami rynkiem pracowników rolnych. Chociaż każdy rynek pracy jest inny, wszystkie działają w podobny sposób. Na przykład gdy płace rosną na jednym, zwykle w górę idą również na innych. Gdy ekonomiści mówią o rynku pracy, wskazują właśnie na te podobieństwa. Równowagę na rynku pracy określiliśmy jako konkretny poziom wynagrodzenia (płacy) oraz wielkość zatrudnienia. Wskazaliśmy na popyt i podaż na rynku pracy jako parametry wyznaczające poziom równowagi. Od czego zależy jednak wysokość wynagrodzenia, którą pracodawcy (przedsiębiorstwa) są skłonni zapłacić pracownikom? Dlaczego wraz ze wzrostem płac zapotrzebowanie na siłę roboczą maleje? Z drugiej zaś strony – jakie czynniki determinują dochód gospodarstw domowych? W krajach o gospodarce rynkowej, takich jak Stany Zjednoczone i Polska, dochód pochodzi ze sprzedaży lub wynajmu czynników produkcji (pracy, kapitału i ziemi). Mówiąc dokładniej, dochód jest funkcją dwóch czynników: tego, jaką ilość konkretnego czynnika produkcji posiadamy, oraz wartości, jaką społeczeństwo mu przypisuje (w społeczeństwie, w którym nikt już nie wykorzystuje transportu konnego do przewożenia ludzi i towarów, nawet najlepsi woźnice będą mieli problemy z uzyskaniem godziwego dochodu). Dla większości z nas najważniejszym zasobem, jaki posiadamy, jest nasza praca. Tak więc większość naszych dochodów to płace, prowizje, napiwki i inne dochody z pracy. Twój dochód z pracy zależy od tego, ile godzin musisz przepracować, oraz wynagrodzenia, jakie wypłaci ci pracodawca. Jednocześnie niektórzy z nas są właścicielami nieruchomości, z których mogą korzystać samodzielnie lub wynajmować innym użytkownikom. Niektórzy ludzie mają aktywa finansowe, takie jak lokaty bankowe, akcje i obligacje, za które otrzymują odsetki, dywidendy lub inną formę dochodu. Wysokość wynagrodzenia za czynniki produkcji (płaca za pracę, odsetki od kapitału finansowego) jest określana na poszczególnych rynkach. W dalszej części tego podrozdziału skupimy się na rynkach pracy, ale rynki innych czynników produkcji działają bardzo podobnie. Po lekturze pierwszego podrozdziału wiesz już, że na rynku pracy, podobnie jak na każdym innym, mamy do czynienia z popytem i podażą. Teraz spróbujmy się zastanowić, dlaczego właściwie przedsiębiorstwa zgłaszają zapotrzebowanie na pracę. Dlaczego pracodawca jest gotów zapłacić ci za twoje usługi? Nie dzieje się tak dlatego, że cię lubi lub czuje się do tego moralnie lub społecznie zobowiązany, to oczywiste. Pracodawca wypłaca ci wynagrodzenie, ponieważ twoja praca ma dla niego wartość – dzięki niej przedsiębiorstwo może coś wyprodukować, a następnie sprzedać i osiągnąć z tego tytułu przychód. Ile pracodawca jest gotów ci zapłacić? To zależy od twoich umiejętności i doświadczenia, czyli tego, jaka jest wartość twojej pracy (umiejętności, doświadczenia) z punktu widzenia przedsiębiorstwa. Jeśli przedsiębiorstwo chce maksymalizować zyski, nigdy nie zapłaci pracownikowi (w formie płac i dodatkowych świadczeń) więcej, niż wynosi wartość jego krańcowej produktywności dla tego przedsiębiorstwa. Nazywamy to pierwszą zasadą rynków pracy (ang. first rule of labor markets ). Załóżmy, oczywiście upraszczając i pomijając inne koszty produkcji, że przeciętny pracownik może wyprodukować dwa gadżety w ciągu godziny, a przedsiębiorstwo może sprzedać każdy gadżet po 4 zł. Wówczas pracownik generuje dla przedsiębiorstwa produkt wartości 8 zł w ciągu godziny, a maksymalizujący zysk pracodawca zapłaci pracownikowi co najwyżej 8 zł za godzinę, bo tyle jest warta jego praca z punktu widzenia przedsiębiorstwa. Przypomnij sobie definicję produktu krańcowego. Produkt krańcowy (ang. marginal product ) to dodatkowa produkcja, którą przedsiębiorstwo może wytworzyć, zwiększając liczbę pracowników o jednostkę. Ponieważ pracodawcy często zatrudniają pracowników na godziny, zdefiniujemy produkt krańcowy jako dodatkową produkcję, którą przedsiębiorstwo wytwarza, dodając do procesu produkcyjnego jeszcze jedną godzinę pracy. W tym rozdziale zakładamy, że pracownicy nie różnią się – mają takie same wykształcenie, doświadczenie i umiejętności oraz wkładają w pracę taki sam wysiłek. Zatem produkt krańcowy zależy od zasobów kapitału i technologii, jakimi pracownicy dysponują. Maszynistka wyposażona w komputer z odpowiednim oprogramowaniem i drukarką może w ciągu godziny przepisać więcej stron niż w sytuacji, gdyby miała do dyspozycji jedynie elektryczną maszynę do pisania. Zaś na elektrycznej maszynie zdołałaby przepisać więcej stron niż na maszynie ręcznej. Doświadczony operator z koparką jest w stanie wykopać w jednostce czasu dół o bez porównania większej kubaturze niż najsilniejszy nawet robotnik machający łopatą. Wziąwszy pod uwagę powyższe zależności, możemy zdefiniować popyt przedsiębiorstwa na pracę jako produkt krańcowy pracy (wyrażony w jednostkach fizycznych) pomnożony przez rynkową wartość tego produktu z punktu widzenia przedsiębiorstwa. Krańcowy produkt pracy Liczba pracowników (L) 1 2 3 4 Krańcowy produkt pracy (MP L ) 4 3 2 1 Krańcowy produkt pracy Ze względu na stały zasób kapitału, jakim dysponuje przedsiębiorstwo, krańcowy produkt pracy maleje wraz ze wzrostem zatrudnienia (co jest zgodne z prawem malejących przychodów krańcowych). Od czego zależy wartość produktu krańcowego wytworzonego dzięki zatrudnieniu kolejnego pracownika? Jeśli przyjmiemy, że pracodawca sprzedaje wytwarzane przez siebie dobra lub usługi na rynku doskonale konkurencyjnym, to wartość produkcji uzyskanej dzięki zatrudnieniu kolejnego pracownika będzie równa rynkowej cenie produktu. Zatem: popyt na pracę = MP L × P = wartość krańcowego produktu pracy ( MVP L ) Stosowne dane zawarte są w , która jest rozszerzoną wersją Wartość krańcowego produktu pracy Liczba pracowników (L) 1 2 3 4 Krańcowy produkt pracy (MP L ) 4 3 2 1 Cena produktu 4 4 4 4 Wartość krańcowego produktu pracy (MVP L ) 16 12 8 4 Zauważ, że z punktu widzenia przedsiębiorstwa wartość pracy wykonywanej przez każdego kolejnego pracownika jest mniejsza od wartości pracy tych, którzy zostali zatrudnieni wcześniej. Wartość krańcowego produktu pracy W przypadku przedsiębiorstw działających na doskonale konkurencyjnym rynku wartość dodatkowej wytworzonej i sprzedanej produkcji jest równa cenie, jaką przedsiębiorstwa otrzymują za powstały produkt. Ponieważ MP L spada wraz z zatrudnieniem każdego kolejnego pracownika, również wartość produktu krańcowego spada wraz ze wzrostem zatrudnienia. Popyt na pracę w warunkach doskonałej konkurencji na rynku dóbr Podstawowe pytanie, na jakie musi odpowiedzieć sobie każde przedsiębiorstwo, brzmi następująco: ile pracy (pracowników, godzin pracy) zatrudnić? Możemy zdefiniować doskonale konkurencyjny rynek pracy (nazywany inaczej rynkiem pracy konkurencji doskonałej lub doskonałym rynkiem pracy ) (ang. perfectly competitive labor market ) jako taki, na którym przedsiębiorstwa mogą w nieograniczony sposób zwiększać zatrudnienie, bez konieczności podnoszenia stawki płac dla kolejnych przyjmowanych pracowników. Pomyśl o sekretarkach i asystentkach w dużym mieście. Pracodawcy, którzy potrzebują tego rodzaju pracy, mogą bez problemów zatrudnić tyle pracownic, ile potrzebują, oferując im rynkową stawkę wynagrodzenia. Graficzne przedstawienie takiej sytuacji to pozioma krzywa podaży siły roboczej wykreślona na wysokości rynkowej stawki płac, tak jak to widać na . Biorąc pod uwagę płacę rynkową, przedsiębiorstwa maksymalizujące zysk zwiększają zatrudnienie do momentu, w którym płaca rynkowa nie zrówna się z MVP L . Optymalny poziom zatrudnienia dla przedsiębiorstw działających na doskonale konkurencyjnym rynku pracy Na doskonale konkurencyjnym rynku pracy przedsiębiorstwa mogą zwiększać zatrudnienie bez konieczności podnoszenia płacy dla kolejnych pracowników. W związku z tym zatrudnienie rośnie aż do poziomu wyznaczonego przez punkt L 1 , w którym rynkowa stawka płacy zrównuje się z wartością krańcowego produktu pracy. Popyt pochodny Ekonomiści opisują popyt na czynniki produkcji – takie jak praca – jako popyt pochodny (ang. derived demand ). Ponieważ popyt na pracę jest zdeterminowany przez krańcowy produkt pracy oraz cenę rynkową sprzedawanego dobra i opisany wzorem: MP L × P , jest on zależny od popytu na dobra i usługi, które wytwarza przedsiębiorstwo. Wzrost popytu na towary sprzedawane przez przedsiębiorstwo zwiększa ich rynkową cenę, co przekłada się na wzrost zgłaszanego przez firmę popytu na siłę roboczą i inne czynniki produkcji. Zatem popyt na pracę wyprowadzamy z popytu na dobra i usługi sprzedawane przez przedsiębiorstwa. Popyt na pracę w warunkach konkurencji niedoskonałej na rynku dóbr Jeśli pracodawca nie sprzedaje swojej produkcji na rynku doskonale konkurencyjnym, napotyka na opadającą krzywą popytu, co oznacza, że aby zbyć dodatkowe jednostki produkcji, musi obniżyć cenę. Dzieje się tak, jeśli przedsiębiorstwo jest monopolistą, oligopolistą lub działa w warunkach konkurencji monopolistycznej. W tej sytuacji wartość krańcowego produktu pracy każdego kolejnego pracownika określona jest przez przychód krańcowy, a nie cenę. Zatem popyt na pracę to iloczyn krańcowego produktu pracy i przychodu krańcowego. popyt na pracę = MP L × MR = krańcowy przychód z pracy ( MRP L ) Krańcowy przychód z pracy Liczba pracowników (L) 1 2 3 4 Krańcowy produkt pracy (MP L ) 4 3 2 1 Przychód krańcowy (MR) 4 3 2 1 Krańcowy przychód z pracy (MRP L ) 16 9 4 1 Krańcowy przychód z pracy W przypadku firm posiadających siłę monopolową (napotykających opadającą krzywą popytu na sprzedawane produkty) wartość dodatkowej sprzedanej produkcji jest krańcowym przychodem przedsiębiorstwa. Ponieważ MPL spada wraz ze wzrostem zatrudnienia, podobnie zresztą jak MR wraz z każdą dodatkową sprzedaną jednostką produkcji, krańcowe przychody przedsiębiorstwa spadają wraz ze wzrostem zatrudnienia. Biorąc pod uwagę stały poziom płacy rynkowej, przedsiębiorstwa maksymalizujące zysk będą zwiększać zatrudnienie pracowników do momentu, w którym płaca rynkowa zrówna się z przychodem krańcowym, jak to widać na . Optymalny poziom zatrudnienia dla przedsiębiorstw posiadających pewną siłę monopolową Przedsiębiorstwa, które dysponują pewną siłą monopolową (napotykające opadającą krzywą popytu na swoje produkty), wybierają liczbę pracowników wyznaczoną przez punkt L 2 , w którym płaca rynkowa zrównuje się z krańcowym przychodem z pracy. Ponieważ przychód krańcowy jest zawsze mniejszy od ceny, popyt na pracę przedsiębiorstwa, które posiada siłę monopolową, jest mniejszy niż popyt na pracę dla przedsiębiorstwa działającego na rynku doskonale konkurencyjnym (L 1 ). W rezultacie zatrudnienie w gałęziach zmonopolizowanych, zoligopolizowanych i takich, gdzie występuje konkurencja monopolistyczna, będzie niższe niż w gałęziach doskonale konkurencyjnych. Czy pracodawcy maksymalizujący zysk wykorzystują siłę roboczą? Jeśli jeszcze raz przyjrzysz się wykresom zaprezentowanym w niniejszym podrozdziale, łatwo zauważysz, że przedsiębiorstwa oferują swoim pracownikom płace, które są niższe niż wartość ich produktu pracy lub krańcowy przychód z ich pracy. Dokładniej rzecz ujmując, tylko ostatni zatrudniony pracownik otrzymuje wynagrodzenie, które jest równe korzyściom, jakie przedsiębiorstwo odnosi w związku z jego zatrudnieniem. Konstatacja ta prowadzi często do stwierdzenia, że pracodawcy wyzyskują pracowników, ponieważ nie płacą im tyle, ile są oni warci z punktu widzenia firmy. Zastanówmy się nad tym stwierdzeniem. Pierwszy pracownik jest dla przedsiębiorstwa wart x, a drugi y jednostek pieniężnych. Z czego jednak wynika ta różnica? Dzieje się tak ze względu na zasób kapitału i technologię, którą wykorzystują oni w swojej pracy. Różnica między wartością pracy kolejnych pracowników a ich wynagrodzeniem jest przeznaczana na opłacenie kosztów kapitału i technologii, bez których pracownicy nie mieliby gdzie i czym pracować. Nadwyżka pozwala także na osiągnięcie zysków właścicielom przedsiębiorstw i skłania ich do kontynuowania działalności. Gdyby nie zysk, nikt nie miałby pracy, bo nikomu nie opłacałoby się zakładać przedsiębiorstw. Oczywiście problem eksploatacji pracy jest realny (stąd zresztą narzędzia takie jak płaca minimalna, która została omówiona w poprzednim podrozdziale), ale jego natura jest znacznie bardziej skomplikowana niż nadwyżka krańcowego przychodu z pracy i wartości krańcowego produktu pracy nad stawką wynagrodzenia. Co determinuje stawkę płac na rynku? Z poprzedniego podrozdziału dowiedzieliśmy się, że na rynkach czynników produkcji krzywe popytu i podaży mają kształt analogiczny do tych, które są obserwowane na rynkach dóbr i usług konsumpcyjnych. Krzywa popytu na pracę jest opadającą funkcją stawki płac. Popyt na pracę to suma zapotrzebowania wszystkich przedsiębiorstw na pracę. Krzywa podaży pracy jest nachyloną w górę funkcją stawki płac. Jeśli wynagrodzenia za określony rodzaj pracy wzrosną na danym rynku pracy, osoby o odpowiednich umiejętnościach mogą zmienić pracę, a wakaty przyciągną osoby z innych regionów lub branż. Rynkowa podaż pracy to horyzontalna suma podaży pracy wszystkich pracowników. Rynkowa stawka płac Na konkurencyjnym rynku pracy płaca i poziom zatrudnienia w równowadze (mierzony liczbą pracowników lub liczbą przepracowanych godzin) są wyznaczone w punkcie, w którym podaż i popyt się przecinają. Key Concepts and Summary Przedsiębiorstwo potrzebuje pracy ze względu na jej wartość. Zatrudnieni pracownicy zwiększają produkcję przedsiębiorstwa, co oznacza, że ich praca jest źródłem przyrostu produktu, czyli produktu krańcowego. Wraz ze wzrostem zatrudnienia krańcowy produkt pracy maleje, zgodnie z prawem malejących przychodów krańcowych. Dla przedsiębiorstwa działającego na rynku dóbr i usług w warunkach doskonałej konkurencji wartość każdego kolejnego zatrudnionego pracownika będzie równa wartości krańcowego produktu jego pracy, którą definiujemy jako krańcowy produkt pracy pomnożony przez stałą cenę produktu. Dla przedsiębiorstwa, które nie działa na rynku doskonale konkurencyjnym, właściwym parametrem pozwalającym określić wartość pracownika dla firmy jest krańcowy przychód z pracy, który definiujemy jako iloczyn krańcowego produktu pracy i krańcowego przychodu. Firmy maksymalizujące zysk zatrudniają siłę roboczą do momentu, w którym rynkowa płaca jest równa korzyści związanej z zatrudnieniem ostatniego pracownika. Na konkurencyjnym rynku pracy płacę rynkową określamy poprzez interakcję między podażą a popytem na pracę. Self-Check Questions pokazuje różne poziomy zatrudnienia, produkt krańcowy dla każdego z tych poziomów oraz cenę, po której przedsiębiorstwo może sprzedawać produkcję, działając na rynku doskonale konkurencyjnym. Ilość pracy Krańcowy produkt pracy (MP L ) Cena produktu (zł) 1 10 4 2 8 4 3 7 4 4 5 4 5 3 4 6 1 4 Jaka jest wartość produktu krańcowego dla każdego poziomu zatrudnienia? Jeśli przedsiębiorstwo działa na doskonale konkurencyjnym rynku pracy, na którym obecna płaca rynkowa wynosi 12 zł, to jaki jest jego zysk, jeżeli wybrało ono optymalny poziom zatrudnienia? Dla przedsiębiorstwa działającego na doskonale konkurencyjnym rynku dóbr wartość produktu krańcowego to krańcowy produkt pracy pomnożony przez cenę za ten produkt. Na doskonale konkurencyjnym rynku pracy, gdzie obecna płaca rynkowa wynosi 12, przedsiębiorstwo maksymalizujące zysk będzie zatrudniać pracowników do momentu, w którym płaca rynkowa zrówna się z wartością krańcowego produktu pracy. W tym przypadku płaca rynkowa jest równa przychodowi krańcowemu, gdy wielkość zatrudnienia wynosi 5, ponieważ na tym poziomie przychód krańcowy wynosi 12. pokazuje różne poziomy zatrudnienia, produkt krańcowy na każdym z tych poziomów oraz krańcowy przychód monopolu. Ilość pracy Krańcowy produkt pracy (MP L ) Cena produktu (zł) 1 10 10 2 8 7 3 7 5 4 5 4 5 3 2 6 1 1 Jaki jest krańcowy przychód monopolu dla każdego poziomu zatrudnienia? Jeśli monopol działa na doskonale konkurencyjnym rynku pracy, na którym obecna płaca rynkowa wynosi 20 zł, to jaki jest jego zysk, jeśli poziom zatrudnienia jest optymalny? W przypadku przedsiębiorstw o pewnej sile monopolowej wartość dodatkowej sprzedanej produkcji jest krańcowym przychodem, a nie ceną. Dzieje się tak dlatego, że mają one do czynienia z opadającą krzywą popytu na produkty. To oznacza, że aby sprzedać dodatkową jednostkę produkcji, przedsiębiorstwo musi obniżyć jej cenę. Krańcowy przychód równa się krańcowemu produktowi pracy pomnożonemu przez przychód krańcowy. Przedsiębiorstwo maksymalizujące zysk będzie zatrudniało pracowników do momentu, w którym płaca rynkowa zrówna się z krańcowym przychodem z pracy. Jeśli obecna płaca rynkowa wynosi 20 zł, maksymalizujący zysk poziom zatrudnienia wynosi 4, ponieważ w tym momencie krańcowy przychód wynosi 20 zł. Review Questions Od czego zależy popyt na pracę w przedsiębiorstwie działającym na doskonale konkurencyjnym rynku dóbr? Co determinuje popyt na pracę w przedsiębiorstwie o pewnej sile monopolowej na rynku dóbr? Na czym polega doskonała konkurencja na rynku pracy? References AFL-CIO. “Training and Apprenticeships.” http://www.aflcio.org/Learn-About-Unions/Training-and-Apprenticeships. Central Intelligence Agency. “The World Factbook”. https://www.cia.gov/library/publications/the-world-factbook/index.html. Clark, John Bates. Essentials of Economic Theory: As Applied to Modern Problems of Industry and Public Policy . New York: A. M. Kelley, 1907, 501. United Auto Workers (UAW). “About: Who We Are.” http://www.uaw.org/page/who-we-are. United States Department of Labor: Bureau of Labor Statistics. “Economic News Release: Union Members Summary.” Last modified January 23, 2013. http://www.bls.gov/news.release/union2.nr0.htm. United States Department of Labor, Bureau of Labor Statistics. 2015. “Economic News; Union Members Summary.” Accessed April 13, 2015. http://www.bls.gov/news.release/union2.nr0.htm. pierwsza zasada rynków pracy (ang. first rule of labor markets ) pracodawca nigdy nie zapłaci pracownikowi więcej, niż wynosi wartość jego krańcowej produktywności z punktu widzenia przedsiębiorstwa doskonały rynek pracy patrz: doskonale konkurencyjny rynek pracy rynek pracy konkurencji doskonałej patrz: doskonale konkurencyjny rynek pracy doskonale konkurencyjny rynek pracy (ang. perfectly competitive labor market ) rynek pracy, na którym ani dostawcy siły roboczej, ani podmioty poszukujące pracowników nie mają żadnej siły rynkowej, zatem pracodawca może zwiększać zatrudnienie bez konieczności podnoszenia płac", "section": "Rynek pracy", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Płace i zatrudnienie na niedoskonale konkurencyjnym rynku pracy Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować siłę monopsonu Wyjaśnić, w jaki sposób na rynkach czynników produkcji, na których mamy do czynienia z konkurencją niedoskonałą, a siła przetargowa jest po stronie pracodawców, ustalane są wielkości zatrudnienia i poziom płac W rozdziałach poświęconych strukturom rynku zauważyliśmy, że chociaż ekonomiści często wykorzystują model konkurencji doskonałej, to w rzeczywistym świecie istnieje bardzo niewiele przykładów rynków doskonale konkurencyjnych. A co z rynkami pracy? Ile rynków pracy jest doskonale konkurencyjnych? Prawdopodobnie jest więcej przykładów doskonale konkurencyjnych rynków pracy niż takich rynków produktów, co jednak nie oznacza, że wszystkie rynki pracy są doskonale konkurencyjne. Kiedy osoba ubiegająca się o pracę negocjuje z pracodawcą warunki swojego zatrudnienia, często znajduje się w niekorzystnej sytuacji – potrzebuje pracy znacznie bardziej niż pracodawca tego konkretnego kandydata. John Bates Clark (1847–1938), nazywany pierwszym wielkim amerykańskim ekonomistą, napisał w 1907 r.: „Przy zawieraniu umowy o pracę pojedynczy robotnik jest zawsze w niekorzystnej sytuacji. Ma coś, co jest zmuszony sprzedać [aby przeżyć], a czego jego pracodawca nie ma obowiązku nabyć, ponieważ on [czyli pracodawca] może bez konsekwencji odrzucać konkretne kandydatury”. Istnieją dwa źródła niedoskonałej konkurencji na rynkach pracy. Są to źródła leżące po stronie popytu (czyli znaczna siła pracodawców) oraz po stronie podaży (siła leżąca po stronie pracowników). Konkurencyjny rynek pracy to taki, na którym istnieje wielu potencjalnych pracodawców chętnych do zatrudnienia ludzi posiadających określone umiejętności, powiedzmy sekretarek lub księgowych. Załóżmy jednak, że na rynku pracy jest tylko jeden pracodawca zainteresowany ludźmi konkretnej profesji. Ten pracodawca nie ma bezpośrednich konkurentów. Jeśli zaoferuje płace niższe niż te, które ukształtowałby się na doskonale konkurencyjnym rynku pracy, to potencjalni pracownicy nie będą mieli wielu innych opcji zatrudnienia. Jeśli będą chcieli podjąć tę konkretną pracę, muszą zaakceptować oferowaną stawkę płacy (choć oczywiście sekretarki wciąż mogą zatrudnić się w sklepie, a księgowi w magazynie). Przedsiębiorstwo wykorzystujące swoją siłę rynkową na rynku czynników produkcji nazywamy monopsonem (ang. monopsony ). Klasycznym przykładem monopsonu są miejskie zakłady komunikacyjne w średniej wielkości mieście. Jeśli kierowcy autobusów chcą pracować w swoim zawodzie, muszą zaakceptować stawkę, którą oferuje miejska spółka. To nie jedyny przykład monopsonu. Pomyśl o pielęgniarkach-instrumentariuszkach (czyli tych, które biorą udział w zabiegach chirurgicznych) w mieście mającym tylko jeden szpital. Pracodawcy, którzy mają pewną przewagę rynkową nad potencjalnymi pracownikami, nie są niczym niezwykłym. W końcu większość przedsiębiorstw zatrudnia wielu pracowników, nie uczestnicząc w grze konkurencyjnej. Jak siła rynkowa pracodawcy wpływa na rynek pracy? W pierwszym odruchu zapewne przyszła ci do głowy myśl, że w takiej sytuacji płace będą niższe niż na konkurencyjnym rynku. Sprawdźmy to. Wykorzystamy przykład monopsonu, czyli jedynego nabywcy pewnych umiejętności, ale wyniki będą zbliżone, choć mniej ekstremalne, dla każdego przedsiębiorstwa posiadającego pewną siłę monopolową na rynku pracy. Wróćmy do monopolu. Korzyść z bycia jedynym sprzedawcą polega na tym, że można zażądać za swoje produkty dowolnej ceny (monopolista jest w końcu „twórcą cen\"). Jednak jeśli monopolista chce sprzedać więcej dóbr lub usług, musi cenę obniżyć. Monopsonista napotyka w swej działalności podobne ograniczenia. Ponieważ monopson jest jedynym pracodawcą na rynku, może zaoferować potencjalnym pracownikom dowolną płacę. Jednak musi się skonfrontować z krzywą podaży siły roboczej. Jeśli chce zatrudnić więcej pracowników, musi podnieść im wynagrodzenie. Stwarza to dylemat, który możemy zrozumieć, wprowadzając nowe pojęcie: krańcowy koszt pracy (ang. marginal cost of labor ). Krańcowy koszt pracy to dodatkowy koszt, jaki przedsiębiorstwo ponosi w związku z zatrudnieniem kolejnego pracownika. Zobaczmy, jak to wygląda na przykładzie w . Krańcowy koszt pracy (kwoty w zł) Ilość pracy 1 2 3 4 5 Stawka płac (za godz.) 10 12 13 14 15 Całkowity koszt pracy 10 24 39 56 75 Krańcowy koszt pracy (MC L ) 10 14 15 17 19 W kontekście danych zawartych w powyższej tabeli warto podkreślić kilka istotnych zależności. Po pierwsze, krańcowy koszt pracy rośnie szybciej niż stawka płacy. W rzeczywistości dla dowolnej liczby pracowników (więcej niż jednego) krańcowy koszt pracy jest wyższy niż płaca. Dzieje się tak dlatego, że zatrudnienie jeszcze jednego pracownika wymaga płacenia wyższej stawki wynagrodzenia nie tylko jemu, lecz również wszystkim dotychczas zatrudnionym. Ilustracja graficzna tej zależności jest zaprezentowana na poniższym wykresie. Krańcowy koszt pracy Ponieważ na rynku w warunkach monopsonu działa tylko jeden podmiot zgłaszający popyt na pracę, napotyka on rynkową krzywą podaży pracy. Aby zwiększyć zatrudnienie, musi podnieść płacę nie tylko nowym pracownikom, ale wszystkim zatrudnionym, którym dotychczas płacił mniej. W rezultacie krańcowy koszt dodatkowej jednostki pracy jest wyższy niż płaca, a zatem dla każdego poziomu zatrudnienia (powyżej pierwszego pracownika) MC L znajduje się powyżej rynkowej podaży pracy. Rynek pracy w warunkach monopsonu Monopson będzie zatrudniał pracowników do momentu, w którym jego popyt na pracę zrówna się z krańcowym kosztem dodatkowej jednostki pracy. W konsekwencji wynagrodzenie ukształtuje się na poziomie W m , zaś wielkość zatrudnienia L m . Jeśli przedsiębiorstwo chce maksymalizować zyski, zatrudni liczbę pracowników wyznaczoną przez punkt L m , w którym popyt na pracę (D L ) zrówna się z wartością krańcowego produktu pracy lub krańcowym przychodem z pracy (MVP L lub MRP L ), tak jak to widać na . Następnie krzywa podaży pracy wskaże wysokość wynagrodzenia, które przedsiębiorstwo będzie musiało zapłacić, aby przyciągnąć daną grupę pracowników. Wysokość wynagrodzenia w tym konkretnym przypadku kształtuje się na poziomie W m . Jak ta sytuacja ma się do rynku doskonale konkurencyjnego? Rynek doskonale konkurencyjny odnalazłby równowagę tam, gdzie popyt na pracę zrówna się z podażą pracy ( D L = S L ) . Innymi słowy, w warunkach monopsonu pracodawcy zatrudniają mniej pracowników i płacą im niższe wynagrodzenie. Chociaż czysty monopson może być zjawiskiem relatywnie rzadkim, to wielu pracodawców dysponuje pewną siłą monopolową. Rezultaty dla pracodawców będą podobne, choć nie tak ekstremalne jak na rynkach monopsonistycznych. Key Concepts and Summary Monopson na rynku pracy to jedyny pracodawca, może więc oferować dowolną płacę, zależnie od rynkowej podaży siły roboczej. Oznacza to, że jeśli monopson proponuje zbyt niską płacę, może nie znaleźć wystarczającej liczby chętnych do pracy. Aby pozyskać więcej pracowników, musi ustalić wyższą płacę, a krańcowy koszt zatrudnienia dodatkowego pracownika jest wyższy niż płaca. Aby zmaksymalizować zyski, monopson będzie zatrudniał pracowników do momentu, w którym krańcowy koszt pracy zrówna się z jego popytem na pracę. Skutkuje to niższym poziomem zatrudnienia i wynagrodzeń niż zapewniałby doskonale konkurencyjny rynek pracy. Critical Thinking Questions Jaki jest krańcowy koszt pracy dla przedsiębiorstwa działającego na konkurencyjnym rynku pracy? Jak to wygląda w porównaniu z analogicznym parametrem (MC L ) dla monopsonu? Clune, Michael S. “The Fiscal Impacts of Immigrants: A California Case Study.” In The Immigration Debate: Studies on the Economic, Demographic, and Fiscal Effects of Immigration , edited by James P. Smith and Barry Edmonston. Washington, DC: National Academy Press, 1998, 120–182. http://www.nap.edu/openbook.php?record_id=5985&page=120. Smith, James P. “Immigration Reform.” Rand Corporation: Rand Review . http://www.rand.org/pubs/periodicals/rand-review/issues/2012/fall/leadership/immigration-reform.html. U.S. Department of Homeland Security: Office of Immigration Statistics. “ 2011 Yearbook of Immigration Statistics.” September 2012. http://www.dhs.gov/sites/default/files/publications/immigration-statistics/yearbook/2011/ois_yb_2011.pdf. monopson (ang. monopsony ) rynek na którym występuje tylko jeden nabywca, na rynku pracy oznacza to występowanie tylko jednego pracodawcy", "section": "Płace i zatrudnienie na niedoskonale konkurencyjnym rynku pracy", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Dyskryminacja na rynku pracy Po przeczytaniu tego podrozdziału będziesz w stanie: Przeanalizować różnice w poziomie wynagrodzeń wynikające z płci i pochodzenia etnicznego Objaśnić wpływ dyskryminacji płacowej na konkurencyjne rynki Dyskryminacja (ang. discrimination ) polega na działaniu opartym na przekonaniu, że członkowie określonej grupy zdefiniowanej za pomocą płci, rasy, pochodzenia etnicznego, wyznawanej religii lub jakiegokolwiek innego czynnika są gorsi wyłącznie ze względu na ten czynnik. Istnieje wiele rodzajów dyskryminacji, ale w tym podrozdziale nacisk zostanie położony na dyskryminację na rynkach pracy, która pojawia się wówczas, gdy pracownicy o tym samym poziomie umiejętności – określanym przez wykształcenie, doświadczenie i wiedzę specjalistyczną – otrzymują różne wynagrodzenie lub mają różne szanse na podjęcie pracy. Różnica między średnimi zarobkami dla różnych kobiet i mężczyzn lub ludzi o różnym pochodzeniu etnicznym sama w sobie nie dowodzi, że na rynku pracy występuje dyskryminacja. Musimy porównać te same cechy opisujące wydajność dla wszystkich zaangażowanych stron (pracowników). Dyskryminacja ze względu na płeć na rynku pracy ma miejsce wówczas, gdy pracodawcy płacą kobietom mniej niż mężczyznom, mimo że mają one porównywalny poziom wykształcenia, doświadczenie i wiedzę. Do dyskryminacji rasowej na rynku pracy dochodzi wtedy, gdy pracodawcy płacą odmiennym rasowo pracownikom mniej niż ich współpracownikom należącym do rasy będącej na danym terytorium w większości, mimo posiadania przez nich porównywalnego poziomu wykształcenia, doświadczenia i wiedzy. Aby wnieść pozew o dyskryminację np. ze względu na płeć, pracownica musi udowodnić, że pracodawca płaci jej mniej niż pracownikowi płci męskiej, który ma podobny zakres obowiązków, analogiczne wykształcenie, doświadczenie i kompetencje. Istnieją jednak czynniki, które mogą wpływać na obniżenie średnich zarobków kobiet. Na przykład na kobiety może spadać nieproporcjonalnie duża część obowiązków domowych. Jest też bardziej prawdopodobne, że matka małych dzieci opuści rynek pracy na kilka lat lub będzie pracowała w niepełnym wymiarze godzin. W rezultacie kobiety 30–40-letnie mają przeciętnie mniejsze doświadczenie zawodowe niż mężczyźni w tym samym wieku. W Stanach Zjednoczonych bezdzietne kobiety z takim samym jak mężczyźni wykształceniem i doświadczeniem otrzymują zazwyczaj porównywalną płacę. Jednak kobiety mające rodziny i dzieci zarabiają zazwyczaj od 7% do 14% mniej niż kobiety o podobnym wykształceniu i doświadczeniu zawodowym, ale nieposiadające dzieci. (Tymczasem żonaci mężczyźni zarabiają od 10% do 15% więcej niż samotni mężczyźni z porównywalnym wykształceniem i doświadczeniem zawodowym.) Czynniki wskazane powyżej tworzą swoisty mechanizm negatywnego sprzężenia zwrotnego, który obniża przeciętne płace kobiet. Ponieważ istnieje ryzyko, że pracownica zajdzie w ciążę i po urodzeniu dziecka odejdzie z pracy, pracodawcy są mniej skłonni do zatrudniania kobiet i w związku z tym mniej im płacą. W sytuacji, w której para decyduje się na dziecko, z pracy zrezygnuje osoba o niższych zarobkach, czyli najczęściej kobieta. Taka indywidualna, racjonalna skądinąd decyzja wzmacnia trend obserwowany w skali makro. Zapewne moglibyśmy nazwać różne wzorce obowiązków rodzinnych dyskryminacją, ale zarówno w Polsce, jak i w USA jest to przede wszystkim podział zakorzeniony w społecznych wzorcach dotyczących ról wypełnianych przez ojców i matki w wychowaniu dzieci, a nie dyskryminacja ze strony pracodawców przy podejmowaniu decyzji o zatrudnieniu i wynagrodzeniu. Rynki konkurencyjne i dyskryminacja Gary Becker (1930–2014), laureat Nagrody Nobla w dziedzinie ekonomii w 1992 r., był jednym z pierwszych badaczy, którzy analizowali dyskryminację w kategoriach ekonomicznych. Becker zwrócił uwagę na to, że chociaż konkurencyjne rynki mogą pozwalać niektórym pracodawcom na dyskryminację, to jednocześnie potrafią stwarzać przedsiębiorstwom maksymalizującym zysk zachęty do niedyskryminowania. Biorąc je pod uwagę, Becker badał, dlaczego dyskryminacja się utrzymuje. Jeśli przedsiębiorstwo działające na obszarze zamieszkiwanym przez dużą populację mniejszościową odmawia członkom tej mniejszości sprzedaży swoich produktów lub niechętnie ich zatrudnia, to redukuje własne zyski. Dzięki przedsiębiorstwom prowadzonym przez pracodawców odmawiających płacenia wynagrodzenia kobietom i/lub mniejszościom w oparciu o ich produktywność, inni – poszukujący zysku – pracodawcy mogą zatrudnić tych pracowników. Na rynku, na którym funkcjonuje wiele podmiotów, jeśli właścicielom przedsiębiorstw bardziej zależy na kolorze pieniędzy niż na kolorze skóry, istnieje silna motywacja do podejmowania decyzji dotyczących kupna, sprzedaży, zatrudniania i promocji w oparciu wyłącznie o czynniki ekonomiczne. Dlaczego zatem na konkurencyjnych rynkach dyskryminacja się utrzymuje? Gary Becker starał się wyjaśnić tę zagadkę. Impulsy dyskryminacyjne mogą pojawiać się na wielu poziomach: wśród menedżerów, pracowników i klientów. Rozważ sytuację menedżera, który nie jest osobiście uprzedzony, ale ma wielu pracowników lub klientów, którzy nie zaakceptują kobiety pracującej w „typowo męskim” zawodzie. Jeśli ten menedżer traktuje grupy mniejszościowe lub kobiety sprawiedliwie, może to odbić się na morale jego uprzedzonych współpracowników lub odstraszyć niektórych klientów. W takiej sytuacji polityka niedyskryminacji mogłaby zmniejszyć zyski firmy. W końcu przedsiębiorstwo jest częścią społeczeństwa i jeśli nie przestrzega jego norm, prawdopodobnie ucierpi. Same siły rynkowe raczej nie stłumią silnych postaw społecznych dotyczących dyskryminacji. Key Concepts and Summary Dyskryminacja na rynku pracy ma miejsce wtedy, gdy pracodawcy płacą zróżnicowane wynagrodzenia pracownikom mającym jednakowe wykształcenie, doświadczenie i umiejętności – ze względu na rasę, płeć, religię, wiek lub niepełnosprawność. W Stanach Zjednoczonych kobiety zarabiają średnio mniej niż pracownicy płci męskiej, z kolei czarnoskórzy otrzymują średnio niższe pensje niż biali. Istnieją pewne kontrowersje co do tego, które z niedyskryminacyjnych różnic w wykształceniu i doświadczeniu zawodowym mogą uzasadniać te różnice w zarobkach. Wolny rynek może pozwolić na dyskryminację, ale groźba utraty części zysków lub odejścia produktywnych pracowników stwarza również zachęty dla przedsiębiorstw, by zaniechały zachowań dyskryminacyjnych. Self-Check Questions pokazuje informacje o krzywej podaży pracy dla monopsonu, czyli stawki płacy oczekiwanej na każdym poziomie zatrudnienia. Liczba pracowników Płaca jednostkowa 1 1 2 3 3 5 4 7 5 9 6 11 Jaki jest krańcowy koszt pracy dla monopsonu przy każdym poziomie zatrudnienia? Jeśli każdy pracownik generuje przyrost utargu całkowitego o wartości 13 zł, to jaki jest zysk przedsiębiorstwa, które wybrało optymalny poziom zatrudnienia? Krańcowy koszt pracy to koszt, jaki przedsiębiorstwo ponosi z powodu zatrudnienia jeszcze jednego pracownika. Aby znaleźć krańcowy koszt pracy, należy najpierw ustalić całkowity koszt zatrudnienia dla każdej liczby pracowników, a następnie policzyć różnicę. Monopsonista będzie zwiększał zatrudnienie do momentu, w którym korzyść z zatrudnienia dodatkowego pracownika nie zrówna się z kosztem krańcowym jego zatrudnienia. Oznacza to, że optymalnym poziomem zatrudnienia we wskazanej sytuacji jest 4 pracowników. Wyjaśnij, w jaki sposób w każdej z poniższych sytuacji siły rynkowe mogą zachęcić przedsiębiorstwo do działania w mniej dyskryminacyjny sposób. Lokalne przedsiębiorstwo dostarczające kwiaty, prowadzone przez fanatycznego białego właściciela, zauważa, że wielu klientów to osoby czarnoskóre. Linia montażowa tradycyjnie zatrudnia tylko mężczyzn, ale ma trudności ze znalezieniem odpowiednio wykwalifikowanych pracowników. Stronniczy właściciel przedsiębiorstwa świadczącego usługi domowej opieki zdrowotnej chciałby płacić Latynosom pensje niższe niż innym pracownikom. Przedsiębiorstwa mają motywację do osiągania zysków, a więc powinny sprzedawać produkty wszystkim, bez względu na rasę, pochodzenie etniczne, religię czy płeć. Przedsiębiorstwo musi zatrudniać ludzi, aby się rozwijać i zwiększać sprzedaż. Może ono stwierdzić, że przyjmując pracowników tylko ze swojej tradycyjnej puli – powiedzmy, białych mężczyzn – nie znajdzie ich w wystarczającej liczbie. To dobra motywacja do tego, by zatrudniać kobiety i przedstawicieli różnych mniejszości. Przedsiębiorstwo zaniżające płace swoim pracownikom może ich stracić, gdyż odejdą do innego pracodawcy, oferującego lepsze wynagrodzenie. Ta presja rynkowa może zmienić podejście dyskryminującej firmy. Czy różnica w średnich zarobkach między kobietami a mężczyznami świadczy o dyskryminacji na rynku pracy? Uzasadnij swoją odpowiedź. Nie. Różnica w zarobkach sama w sobie nie świadczy o dyskryminacji, ponieważ nie porównuje płac mężczyzn i kobiet wykonujących tę samą pracę, mających takie samo wykształcenie, doświadczenie i wydajność. Review Questions Critical Thinking Questions Jeśli dyskryminacja nie jest opłacalna, dlaczego ciągle mamy z nią do czynienia? Czy na przedsiębiorstwo, które dyskryminowało mniejszości w przeszłości, powinny być dziś nałożone specjalne wymogi, które będą faworyzować przedstawicieli dyskryminowanej do niedawna mniejszości? Dlaczego tak lub dlaczego nie? dyskryminacja (ang. discrimination ) działania oparte na przekonaniu, że członkowie określonej grupy lub grup są w jakiś sposób gorsi wyłącznie ze względu na określony czynnik, np. rasę, płeć lub religię", "section": "Dyskryminacja na rynku pracy", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Popyt i podaż na rynku finansowym Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować sprzedawców i nabywców na rynku kapitału Wyjaśnić, jak stopy procentowe wpływają na popyt i podaż na rynku finansowym Omówić znaczenie przepisów antylichwiarskich Gospodarstwa domowe, organizacje non-profit i przedsiębiorstwa w Stanach Zjednoczonych zaoszczędziły w 2015 r. prawie 1,3 bln dol. (z kolei w Polsce we wrześniu 2021 r. oszczędności gospodarstw domowych szacowano na 1,94 bln zł i była to kwota o blisko 13% wyższa niż na koniec września poprzedniego roku). Gdzie te oszczędności trafiają i jak są wykorzystywane? Część zostaje przekazana do banków, które z kolei pożyczają te pieniądze gospodarstwom domowym lub podmiotom gospodarczym w formie pożyczek lub kredytów. (Zgodnie z polskim prawem pożyczka to środki pieniężne, które pożyczkobiorca może wykorzystać w dowolny sposób. Kredyt natomiast zawsze zaciągany jest na konkretny cel, np. zakup nieruchomości – domu lub mieszkania, ale też samochodu, sprzętu RTV i AGD itd.). Inna część zostaje zainwestowana w prywatne przedsiębiorstwa lub pożyczona instytucjom sektora finansów publicznych (państwu lub samorządom), zbierającym fundusze na takie cele jak budowa dróg lub finansowanie komunikacji zbiorowej. Niektóre przedsiębiorstwa reinwestują swoje oszczędności, kupując nowe maszyny, środki transportu, sprzęt komputerowy lub opłacając swoim pracownikom szkolenia. W tym podrozdziale omówimy, jak model popytu i podaży łączy podmioty, które mają do zaoferowania kapitał finansowy (ang. financial capital ) (tj. oszczędności) z jednostkami i organizacjami zgłaszającymi zapotrzebowanie na ten środek produkcji (tj. pożyczki i kredyty). Ci, którzy oszczędzają pieniądze (lub dokonują inwestycji finansowych, co de facto oznacza to samo), zarówno osoby fizyczne, jak i przedsiębiorstwa, stoją po stronie podaży na rynku finansowym. Natomiast ci, którzy zaciągają pożyczki lub biorą kredyty, znajdują się na tym rynku po stronie popytu. Kto tworzy popyt i podaż na rynku finansowym? Na każdym rynku dostawcy otrzymują określoną, uiszczaną przez nabywców cenę za sprzedane dobro. Na rynku finansowym dostawcy środków finansowych (pochodzących z oszczędności) oczekują założonej stopy zwrotu (wynagrodzenia za udostępniony kapitał), podczas gdy ci, którzy te środki pożyczają od innych (otrzymują fundusze), rozumieją, że muszą za to zapłacić. Ta zapłata może przybierać różne formy, w zależności od rodzaju inwestycji. Najprostszym przykładem stopy zwrotu jest stopa procentowa (ang. interest rate ). Na przykład, kiedy wpłacasz pieniądze na konto oszczędnościowe w banku, otrzymujesz odsetki od swojego depozytu. Odsetki, które bank ci wypłaca, są naliczane zgodnie z obowiązującą stopą procentową. Podobnie jeśli zaciągniesz kredyt na zakup samochodu lub pożyczkę na świąteczne zakupy, musisz zapłacić odsetki od pożyczonych pieniędzy. Spójrzmy na rynek pożyczek udzielanych za pomocą kart kredytowych. W 2015 r. prawie 200 mln Amerykanów posiadało takie karty (na koniec 2020 r. liczba kart kredytowych w portfelach Polaków szacowana była na 5,5 mln). Karty kredytowe pozwalają pożyczyć pieniądze od wystawcy karty i spłacić pożyczoną kwotę wraz z odsetkami. Większość z nich pozwala na spłatę pożyczki bez płacenia odsetek, jeśli nastąpi to w określonym czasie (tzw. okresie bezodsetkowym). Typowe oprocentowanie kredytu zaciągniętego za pomocą karty kredytowej w Polsce wynosi czterokrotność stopy lombardowej NBP (w kwietniu 2022 r. było to 20%). Na początku 2018 r. wysokość zadłużenia Polaków na kartach kredytowych była szacowana na blisko 700 mln zł. Na pokazany jest popyt i podaż na rynku pożyczek udzielanych za pośrednictwem kart kredytowych. Na osi poziomej przedstawiona jest ilość środków finansowych pożyczonych na tym rynku. Oś pionowa, czyli oś ceny, pokazuje stopę oprocentowania takich pożyczek. pokazuje ilość pieniędzy, których konsumenci potrzebują przy różnych poziomach stóp procentowych, oraz ilość pieniędzy, jaką przedsiębiorstwa obsługujące karty kredytowe (najczęściej banki) są skłonne dostarczyć. Popyt i podaż na rynku pożyczek na kartach kredytowych Na rynku pożyczek udzielanych poprzez karty kredytowe krzywa popytu (D) na środki finansowe przecina krzywą podaży (S) w punkcie równowagi (E). W równowadze stopa procentowa (czyli cena na tym rynku) wynosi 15%, a wartość pożyczonych środków pieniężnych to 600 mld zł. Cena równowagi wyznaczona jest przez zrównanie popytu i podaży. Przy stopie procentowej powyżej poziomu równowagi, np. 21%, ilość oferowanych na pożyczki środków finansowych wzrosłaby do 750 mld zł, ale zapotrzebowanie spadłoby do 480 mld zł (pojawiłaby się nadwyżka podaży). Przy stopie procentowej niższej od ceny równowagi, np. 13%, zapotrzebowanie na pożyczki wzrosłoby do 700 mld zł, ale ilość oferowanych środków zmniejszyłaby się do 510 mld zł (wystąpiłaby nadwyżka popytu). Popyt i podaż na rynku pożyczek z kart kredytowych Stopa procentowa (%) Zapotrzebowanie na pożyczki (mld zł) Ilość środków finansowych oferowanych na pożyczki (mld zł) 11 800 420 13 700 510 15 600 600 17 550 660 19 500 720 21 480 750 Na rynku finansowym nadal obowiązują prawa popytu i podaży. Zgodnie z prawem popytu (ang. law of demand ) wyższa stopa zwrotu (czyli wyższa cena) zmniejszy zapotrzebowanie. A więc wraz ze wzrostem stopy procentowej konsumenci zmniejszą wielkość zaciąganych pożyczek. Zgodnie z prawem podaży (ang. law of supply ) wyższa cena powoduje wzrost ilości oferowanej ( ceteris paribus ). W konsekwencji wraz ze wzrostem oprocentowania pożyczek na kartach kredytowych coraz więcej przedsiębiorstw będzie skłonnych je wydawać i zachęcać klientów do ich używania. I odwrotnie, jeśli oprocentowanie kart kredytowych spadnie, ilość środków pieniężnych dostarczonych na rynek kart kredytowych się zmniejszy, a zapotrzebowanie wzrośnie. Równowaga na rynku finansowym Na rynku pożyczek z kart kredytowych przedstawionym na krzywa podaży (S) i krzywa popytu (D) przecinają się w punkcie równowagi (E). Równowaga występuje przy stopie procentowej równej 15%, gdzie zapotrzebowanie na pożyczki i oferowana wielkość środków finansowych są sobie równe i wynoszą 600 mld zł. Jeśli stopa procentowa (pamiętajmy, że jest to cena na rynku finansowym) jest wyższa od poziomu równowagi, pojawi się nadwyżka oferowanej ilości pożyczek. Na przykład przy stopie procentowej 21% ilość dostarczonych na rynek środków wzrasta do 750 mld zł, podczas gdy zapotrzebowanie spada do 480 mld. Przy takiej stopie procentowej wystawcy kart chętnie udzielają pożyczek ich posiadaczom, ale stosunkowo niewiele osób lub podmiotów gospodarczych chce brać te pożyczki (przeciąga spłatę poza okres bezodsetkowy). W rezultacie niektóre firmy obsługujące karty kredytowe obniżą pobierane oprocentowanie (lub inne opłaty), aby przyciągnąć więcej klientów. Ta strategia zepchnie stopę procentową w dół, do poziomu równowagi. Jeżeli stopa procentowa jest poniżej poziomu równowagi, wówczas na tym rynku występuje nadwyżka popytu. Przy stopie procentowej równej 13% zapotrzebowanie na pożyczki na kartach kredytowych wzrasta do 700 mld zł, ale firmy obsługujące karty kredytowe są w stanie dostarczyć tylko 510 mld (w praktyce będą znacznie mniej chętne do oferowania kart kredytowych klientom i będą zmniejszać limity wydatków przypisane do konkretnych osób). W takiej sytuacji firmy zauważą, że mają wielu chętnych do wyrobienia karty kredytowej i zaciągnięcia pożyczki, co przełoży się na podniesienie oprocentowania, opłat i prowizji. Stopa procentowa będzie poddawana presji ekonomicznej pchającej ją w górę, w kierunku poziomu równowagi. W bazie danych FRED dostępne są informacje dotyczące ok. 20 różnych stóp procentowych w USA, w tym oprocentowania kart kredytowych, kredytów samochodowych, pożyczek osobistych, kredytów hipotecznych i innych. Możesz je znaleźć na tej stronie . Przesunięcia krzywych popytu i podaży na rynku finansowym Dostawcy środków finansowych na rynek kapitałowy stoją przed dwiema ważnymi decyzjami: ile zaoszczędzić i w jaki sposób alokować swoje oszczędności między różne rodzaje inwestycji finansowych. Omówimy kolejno każdą z nich. Uczestnicy rynku finansowego muszą zdecydować, kiedy wolą realizować swoją konsumpcję: teraz czy w przyszłości? Ekonomiści nazywają to podejmowaniem decyzji międzyokresowych (ang. intertemporal decision making ), ponieważ dotyczy spraw rozłożonych w czasie. W przeciwieństwie do decyzji o zakupach w sklepie spożywczym, te inwestycyjne lub dotyczące oszczędności podejmowane są w dłuższym horyzoncie czasowym i podmioty gospodarcze niechętnie je zmieniają. Większość pracowników oszczędza na emeryturę, ponieważ przyszłe dochody mogą okazać się niewystarczające, aby zaspokoić ich potrzeby. Z tego powodu zmniejszają bieżącą konsumpcję i zasilają rynki finansowe. A jeśli ich dochody rosną, to oszczędzają więcej. Zmiana postrzegania ich przyszłej sytuacji (np. rosnąca obawa przed popadnięciem w biedę po ustaniu aktywności zawodowej) powoduje zmianę wysokości ich dzisiejszych oszczędności. W przeciwieństwie do osób w sile wieku wielu studentów potrzebuje pieniędzy dzisiaj, gdy ich dochody są niskie (lub w ogóle ich nie mają), aby opłacić czesne za studia i koszty utrzymania po założeniu samodzielnego gospodarstwa domowego (wyprowadzce od rodziców). W rezultacie zaciągają pożyczki, zwiększając bieżącą konsumpcję, a więc zgłaszają zapotrzebowanie na kapitał na rynku finansowym. Po ukończeniu studiów i podjęciu pracy spłacają zaciągnięte pożyczki i wtedy maleją ich środki na bieżącą konsumpcję. Osoby fizyczne pożyczają także pieniądze na zakup domów lub samochodów. Przedsiębiorstwa z kolei poszukują środków finansowych, aby mieć kapitał niezbędny do sfinansowania budowy fabryk lub realizacji projektów badawczo-rozwojowych, których horyzont inwestycyjny może wynosić nawet kilka–kilkanaście lat. Tak więc gdy konsumenci i przedsiębiorstwa oceniają jako wysoce prawdopodobne, że będą w stanie spłacić zadłużenie w przyszłości, dzisiejszy popyt na pożyczki i kredyty przesunie się w prawo. Na przykład w czasie boomu technologicznego pod koniec lat 90. XX w. (tzw. bańki dotcomowej) wiele przedsiębiorstw nabrało pewności, że inwestycje w nową technologię przyniosą wysoką stopę zwrotu. Ich popyt na kredyty i pożyczki przesunął się w prawo. I odwrotnie, podczas kryzysu finansowego, który rozpoczął się w 2008 r., zapotrzebowanie na kredyty i pożyczki przy dowolnej stopie procentowej przesunęło się w lewo. Do tej pory szukaliśmy oszczędności, aby zapewnić dopływ kapitału na rynek. Zastanówmy się teraz, co wpływa na wybór instrumentów finansowych umożliwiających oszczędzanie/inwestowanie. Decydując się na konkretny produkt finansowy (lokatę, obligacje, akcje itd.), dostawcy kapitału będą musieli wziąć pod uwagę zarówno stopy zwrotu, jak i związane z nimi ryzyko. Jeśli inwestycja A stanie się bardziej ryzykowna lub stopa zwrotu związana z tą formą lokowania kapitału się zmniejszy, oszczędzający przesuną swoje środki finansowe do inwestycji B. Krzywa podaży środków finansowych dla inwestycji A przesunie się więc w lewo, podczas gdy krzywa podaży środków finansowych dla inwestycji B powędruje w prawo. Pułapy cenowe na rynku finansowym: przepisy dotyczące lichwy Jak zauważyliśmy wcześniej, miliony Amerykanów i Polaków posiadają karty kredytowe. Odsetki i opłaty za ich użytkowanie wynoszą rocznie dziesiątki miliardów dolarów i złotych. Nic więc dziwnego, że czasami pojawiają się naciski polityczne na ustalanie maksymalnego poziomu stóp procentowych lub opłat pobieranych przez firmy obsługujące karty kredytowe i udzielające pożyczek i kredytów. Przedsiębiorstwa te, a także banki, koncerny paliwowe, firmy telekomunikacyjne i sklepy detaliczne, odpowiadają, że wyższe stopy procentowe są konieczne, aby pokryć straty poniesione w związku z tymi klientami, którzy nie spłacają swoich zobowiązań w terminie. Zwracają również uwagę, że posiadacze kart mogą uniknąć płacenia odsetek, jeśli na czas spłacają zobowiązania z tytułu pożyczek z kart kredytowych. Pierwsza ustawa antylichwiarska w Polsce została wprowadzona 20 lutego 2006 r. Uchwalono ją z myślą o kredytobiorcach, którzy często zmuszani byli zwrócić bankowi nawet dwukrotność pożyczonej kwoty. Ustawa ta określała jasno, że odsetki od zobowiązań nie mogą być wyższe niż czterokrotność stopy lombardowej NBP (i tyle, jak to już zostało wskazane powyżej, zazwyczaj wynosi oprocentowanie pożyczek z kart kredytowych w Polsce). Zmiany w ustawie wprowadzono w roku 2015, a następnie w 2019 r., kiedy to pojawił się w niej zapis dotyczący ograniczenia pozaodsetkowych kosztów pożyczki do maksymalnie 10% jej wartości. Spójrz na rynek kart kredytowych zaprezentowany na . Oś pionowa pokazuje stopę procentową (która jest ceną na rynku finansowym). Popyt na rynku kart kredytowych generują gospodarstwa domowe i przedsiębiorstwa. Dostawcami tworzącymi podaż są firmy wydające karty kredytowe. Ten wykres nie zawiera konkretnych danych, ale skupia się na podstawowych relacjach ekonomicznych. Wyobraźmy sobie, że prawo nakłada pułap cenowy, który utrzymuje oprocentowanie pożyczek z kart kredytowych na poziomie R c , niższym od stopy procentowej równej R 0 , która ukształtowałaby się na rynku wolnym od ustawowej ingerencji. Zależności wbudowane w model popytu i podaży przewidują, że przy stopie procentowej niższej od stopy równowagi zapotrzebowanie na pożyczki z kart kredytowych wzrośnie z poziomu Q 0 do Q d ; jednak ilość oferowanych pożyczek z tych kart zmniejszy się z pierwotnego Q 0 do Q s . Przy cenie maksymalnej (R c ) zapotrzebowanie przewyższy ofertę. W efekcie wiele osób, które chcą otrzymać karty kredytowe i płacić obowiązujące oprocentowanie, spotka się z odmową. W konsekwencji liczba udzielonych pożyczek i ich wartość spadną. Stopy procentowe na rynku kart kredytowych: kolejny przykład pułapu cenowego Pierwotnie przecięcie popytu D i podaży S następuje w stanie równowagi w punkcie E 0 . Jednak maksymalny poziom odsetek, jakich kredytodawcy mogą zażądać, jest zgodnie z wprowadzonymi regulacjami równy R c , czyli kształtuje się poniżej stopy procentowej równoważącej rynek (R 0 ). Stopa procentowa nie może więc wzrosnąć do poziomu równowagi. Przy cenie maksymalnej zapotrzebowanie Q d przewyższa ilość oferowaną Q s . Na rynku istnieje nadwyżka popytu na kredyt (środki finansowe). W wielu krajach obowiązuje prawo antylichwiarskie (ang. anti-usury law ), które ustanawia górny limit dla wysokości stopy procentowej, jakiej mogą zażądać pożyczkodawcy. Jednak w wielu przypadkach limity te są zdefiniowane powyżej rynkowej stopy procentowej. Z taką sytuacją mamy do czynienia m.in. w Polsce. Jeśli limit oprocentowania pożyczek i kredytów został ustalony na poziomie 30%, to oprocentowanie nie może być wyższe, ale może kształtować się poniżej tego limitu. Maksymalny poziom oprocentowania nie będzie wówczas wiążący i nie będzie oddziaływał, chyba że cena równowagi (stopa procentowa) wzrośnie wystarczająco wysoko i przekroczy zdefiniowany przez ustawodawcę pułap cenowy. Key Concepts and Summary Ceną na rynkach finansowych jest stopa zwrotu, jaką podmioty dostarczające kapitał (pożyczkodawcy) spodziewają się uzyskać za zaoferowane pożyczkobiorcom środki finansowe. Najczęściej taką stopą zwrotu jest stopa procentowa. Natomiast wielkość produkcji na tym rynku to wartość pieniędzy przepływających od tych, którzy dostarczają środki finansowe, do tych, którzy ich potrzebują. Krzywa podaży środków finansowych przeznaczonych na konkretną inwestycję może ulec przesunięciu w związku z dwoma czynnikami: zmianą obecnego poziomu konsumpcji oraz zmianą poziomu ryzyka lub stopy zwrotu z tej konkretnej inwestycji w relacji do innych sposobów wykorzystania kapitału. Czynniki, które mogą zmienić popyt na środki finansowe, obejmują przede wszystkim przewidywania przedsiębiorców i konsumentów odnoszące się do przyszłości, ponieważ inwestycje finansowe wykorzystujące pożyczony kapitał ze swej istoty spłacane są w przyszłości. Self-Check Questions Jakie zjawiska na rynku finansowym powodują ruch wzdłuż krzywej popytu, a jakie jej przesunięcie? Zmiany stopy procentowej (tj. ceny środków finansowych) wywołują ruch wzdłuż krzywej popytu. Zmiana innych czynników determinujących popyt na środki finansowe (poza ceną, np. przewidywań odnośnie przyszłości) przesunęłaby całą krzywą popytu. Jakie zjawiska na rynku finansowym powodują ruch wzdłuż krzywej podaży, a jakie jej przesunięcie? Zmiany stopy procentowej (tj. ceny środków finansowych) wywołują ruch wzdłuż krzywej podaży. Zmiana jakichkolwiek innych czynników determinujących podaż pieniądza (dochodu pożyczkodawców, decyzji międzyokresowych) przesunęłaby krzywą podaży. Jeśli prawo dotyczące lichwy ogranicza stopy procentowe do maksymalnego poziomu 35%, to jaki byłby prawdopodobny wpływ tego prawa na kwotę udzielanych pożyczek i spłacanych odsetek? Jeżeli rynkowe stopy procentowe pozostają poniżej poziomu 35%, limit cenowy wprowadzony przez ustawodawcę nie będzie miał żadnego wpływu na sytuację rynkową. Gdyby jednak stopa procentowa w równowadze wzrosła powyżej 35%, wówczas pożyczkodawcy nie mogliby jej – przynajmniej legalnie – zastosować. Wartość udzielonych pożyczek i kredytów byłaby niższa niż poziom równowagi, a więc spowodowałoby to nadwyżkę popytu na rynku. Która z poniższych zmian na rynku finansowym doprowadzi do spadku stóp procentowych? wzrost popytu spadek popytu wzrost podaży spadek podaży Zdarzenia drugie i trzecie doprowadzą do spadku stóp procentowych. Przy niższym popycie pożyczkodawcy nie będą mogli pobierać tak wysokich opłat, a przy większej liczbie dostępnych pożyczek i kredytów konkurencja o pożyczkobiorców obniży stopy procentowe. Która z poniższych zmian na rynku finansowym doprowadzi do wzrostu liczby udzielonych i otrzymanych pożyczek? wzrost popytu spadek popytu wzrost podaży spadek podaży Zdarzenia pierwsze i trzecie zwiększą liczbę pożyczek. Większa liczba osób, które chcą pożyczyć, spowoduje udzielenie większej liczby pożyczek, podobnie jak wzrost liczby osób, które chcą udzielić pożyczek. Review Questions W jaki sposób ekonomiści definiują równowagę na rynku finansowym? Co byłoby oznaką nadwyżki popytu na rynku finansowym? Czy przepisy dotyczące lichwy pomogłyby, czy utrudniłyby rozwiązanie problemu nadwyżki popytu na rynku finansowym? Critical Thinking Questions Załóżmy, że wzrost gospodarczy w Polsce był wyższy niż w innych krajach regionu (w UE). Jaki byłby prawdopodobny wpływ tej sytuacji na polski rynek finansowy jako część unijnej gospodarki? Gdyby rząd pewnego kraju ustanowił pułap cenowy w wysokości 20% na stopy procentowe obciążające wszystkie pożyczki, kto wówczas zyskałby, a kto by stracił? Problems Zastanów się, jak każda z poniższych zmian ekonomicznych wpłynie na cenę i ilość równowagi na rynku kredytów mieszkaniowych. Wykorzystaj model popytu i podaży, aby uzasadnić swoje odpowiedzi. Wzrasta liczba osób w wieku, w którym najczęściej kupuje się domy. Ludzie zyskują pewność, że gospodarka się rozwija, a ich miejsca pracy są bezpieczne. Banki, które udzieliły kredytów mieszkaniowych, stwierdzają, że większa od oczekiwanej liczba osób nie spłaca tych kredytów. Z powodu groźby wojny ludzie zaczynają postrzegać przyszłość znacznie mniej optymistycznie. Ogólny poziom oszczędności w gospodarce maleje. Rząd zmienia przepisy bankowe w taki sposób, aby banki udzielały kredytów mieszkaniowych taniej i łatwiej. pokazuje wielkość oszczędności i wartość (w mln zł) kredytów na rynku kredytów mieszkaniowych, przy różnych stopach procentowych. Jaka jest stopa procentowa i wielkość pożyczek w równowadze na tym rynku? Jak możesz to określić? A teraz wyobraź sobie, że z powodu zmiany postrzegania sytuacji przez inwestorów zagranicznych krzywa podaży przesunie się tak, że podaż będzie o 10 mln mniejsza przy każdej stopie procentowej. Oblicz nową stopę procentową i nową ilość równowagi oraz wyjaśnij, czy kierunek zmiany stopy procentowej ma intuicyjny sens. Stopa procentowa Q s Q d 5% 130 170 6% 135 150 7% 140 140 8% 145 135 9% 150 125 10% 155 110 References CreditCards.com. 2013. http://www.creditcards.com/credit-card-news/credit-card-industry-facts-personal-debt-statistics-1276.php. stopa procentowa (ang. interest rate ) cena pożyczek na rynku finansowym; stopa zwrotu z inwestycji prawo antylichwiarskie (ang. anti-usury law ) prawo, które ustanawia górny limit oprocentowania, jakiego mogą żądać pożyczkodawcy za oferowany klientom kapitał", "section": "Popyt i podaż na rynku finansowym", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "System rynkowy jako efektywny mechanizm informacyjny Po przeczytaniu tego podrozdziału będziesz w stanie: Wykorzystać popyt i podaż do analizy poziomu cen i produkcji zapewniających równowagę na rynku Objaśnić, jaki jest wpływ wprowadzenia kontroli cen na stan równowagi rynkowej Ceny to podstawowy parametr określający sytuację na rynkach dóbr i usług, pracy oraz na rynku finansowym. Są one nośnikiem istotnych informacji, kluczowych z punktu widzenia podmiotów chcących zawrzeć transakcje na konkretnym rynku. W gospodarce rynkowej żadna agencja rządowa ani żaden system sztucznej inteligencji nie śledzą reakcji podmiotów ekonomicznych na zmiany cen. Każdy konsument reaguje zgodnie z własnymi preferencjami i ustalonym budżetem, a każdy producent dąży do maksymalizacji zysku. Poniższa objaśnia sposób funkcjonowania modeli popytu i podaży (ang. demand and supply model ). Dlaczego krzywe popytu i podaży są tak istotne? Model popytu i podaży jest drugą co do ważności koncepcją prezentowaną w ramach tego kursu mikroekonomii. (Najważniejszy jest model prezentujący sposób podejmowania decyzji w warunkach ograniczonych zasobów, który został przedstawiony w pierwszym rozdziale podręcznika.) Próby nauczenia się tego, na czym polega dzielenie dwóch liczb, metodą zapamiętywania ilorazu każdej możliwej kombinacji liczb byłyby chyba niezbyt mądre. Podobnie niemądre byłoby zapamiętywanie każdego konkretnego przykładu rynku z popytem i podażą, opisanego w tym podręczniku, czy w czasie całego kursu mikroekonomii. Znacznie rozsądniej jest potraktować ten model jako uniwersalne narzędzie do analizy czynników determinujących ceny i wielkość produkcji na KAŻDYM rynku. Twoim celem powinno być zrozumienie logiki podstawowego modelu, aby można było go używać do analizy dowolnego rynku. przedstawia typowe krzywe popytu i podaży. Na osi poziomej zaznaczone są różne miary określające ilość oferowaną na rynku: wielkość produkcji dóbr lub usług, ilość pracy i wartość środków finansowych. Oś pionowa pokazuje z kolei różne sposoby definiowania ceny rynkowej: cenę (dla dóbr i usług), płacę (na rynku pracy) i zwrot z kapitału (stopę procentową na rynku finansowym). Model popytu i podaży objaśnia, dlaczego na rynku mamy do czynienia z takimi, a nie innymi poziomami cen, płac i stóp procentowych. Aby przeprowadzić podobną analizę, zastanów się, jakie będzie zapotrzebowanie i jaka ilość oferowana na rynku przy każdym poziomie ceny rynkowej – to znaczy pomyśl o kształcie krzywych popytu i podaży – oraz o tym, jak wzajemna interakcja tych parametrów doprowadzi do równowagi rynkowej. Możemy również wykorzystać popyt i podaż, aby wyjaśnić, w jaki sposób konkretne czynniki o charakterze ekonomicznym (czyli szoki lub wstrząsy rynkowe) wpłyną na zmiany cen, płac i stóp procentowych. Dla każdego szoku istnieją tylko cztery możliwe scenariusze: przesunięcie krzywej popytu w prawo, przesunięcie krzywej popytu w lewo, przesunięcie krzywej podaży w prawo i przesunięcie krzywej podaży w lewo. Kluczem do oceny wpływu konkretnego zdarzenia na cenę i ilość równoważące rynek jest ustalenie, z którym ze wspomnianych scenariuszy mieliśmy do czynienia. Aby zrobić to poprawnie, trzeba wrócić do listy czynników przesuwających krzywe popytu i podaży. Jeśli w tym samym czasie pojawi się więcej niż jeden szok, ostateczny wpływ będzie zależał od skali przesunięcia każdej z krzywych. W przypadku współistniejących zmian ekonomiści izolują każdą z nich i analizują przy założeniu ceteris paribus . Krzywe popytu i podaży Rysunek przedstawia podstawowe krzywe popytu i podaży. Na osi poziomej odłożone są różne miary ilości oferowanej na różnych rynkach: wielkość produkcji dóbr lub usług, ilość pracy lub wartość środków finansowych. Na osi pionowej zaznaczono różne ujęcia cen rynkowych: cenę (na rynku dóbr i usług), płacę (na rynku pracy) lub stopę zwrotu (np. stopę procentową na rynku finansowym). Możemy użyć krzywych popytu i podaży, aby wyjaśnić, w jaki sposób konkretne zdarzenia w gospodarce (szoki rynkowe) wpłyną na poziomy cen, płac i stóp zwrotu. Wzrost ceny niektórych produktów sygnalizuje konsumentom ich niedobór na rynku (nadwyżkę popytu), dlatego mogą chcieć zaoszczędzić na ich zakupie. Na przykład jeśli myślisz o podróży samolotem do Włoch lub Francji, ale bilet na wybrany przez ciebie dzień okazuje się zbyt drogi, możesz rozważyć inne terminy. Cena może być wysoka, ponieważ planowałeś podróż w piątek w czasie szkolnych wakacji (choć sam nie masz jeszcze dzieci) lub w bezpośrednim sąsiedztwie świąt, czyli w okresie, w którym zapotrzebowanie na to specyficzne dobro jest szczególnie wysokie. Być może wzrósł koszt nakładów niezbędnych do produkcji tego dobra, bo zdrożało paliwo do silników odrzutowych, albo linia lotnicza tymczasowo podniosła cenę, aby zobaczyć, ile osób jest gotowych ją zapłacić. Być może wszystkie te czynniki występują jednocześnie. Nie musisz analizować rynku i rozkładać zmiany ceny na czynniki pierwsze. Wystarczy spojrzeć na cenę biletu i zdecydować, czy i kiedy ostatecznie chcesz lecieć. W ten sam sposób zmiany cen dostarczają użytecznych informacji producentom. Wyobraź sobie sytuację rolnika, który uprawia owies i dowiaduje się, że cena owsa wzrosła. Wyższa cena może być spowodowana wzrostem popytu, uzasadnionym nowymi badaniami naukowymi potwierdzającymi bez żadnych wątpliwości, że jedzenie owsa jest szczególnie zdrowe (nie tylko dla koni!). Być może cena zbóż zastępczych, takich jak kukurydza, wzrosła, a ludzie zareagowali, kupując więcej owsa. Producent owsa nie musi znać takich szczegółów, choć oczywiście powinien się nimi interesować, jeśli profesjonalnie zajmuje się tą konkretną działalnością. Musi być natomiast świadomy, że cena owsa wzrosła i że w rezultacie opłaca się zwiększyć jego produkcję. Sposoby reakcji każdego z konsumentów i producentów na zmiany cen nakładają się i zazębiają na rynkach dóbr konsumpcyjnych i czynników produkcji (pracy i kapitału). Zmiana na każdym z pojedynczych rynków może być następnie w pewnym stopniu odzwierciedlona przez przesunięcia krzywych popytu i podaży na innych rynkach. To, że ostatecznie efektem każdego z możliwych szoków będzie ustalenie równowagi na wszystkich rynkach w gospodarce, zaś kluczową rolę w tym procesie odgrywają ceny, pomaga wyjaśnić, dlaczego kontrola cen (ang. price control ) może być tak nieproduktywna. Proces ten nie unieważnia przecież czynników (szoków), które wpłynęły na zmianę ceny lub cen na konkretnym rynku (rynkach). Jest reakcją na objawy, a nie próbą zlikwidowania przyczyn. Jeśli państwo w arbitralny sposób ograniczy możliwość podnoszenia cen na rynku wynajmu mieszkań (zamiast pomyśleć o tym, jak zwiększyć dostępny zasób lokali), zachowa się jak osoba, która ból zęba próbuje zwalczyć połknięciem tabletki przeciwbólowej, zamiast pójść do dentysty. Ostatecznie i tak trzeba będzie zmierzyć się z przyczyną problemu, a nie łagodzić objawy jego występowania. Ceny pełnią funkcję analogiczną do starożytnych posłańców, którzy przynosili władcom złe wieści. Pokusa, aby zabić takiego posłańca, jest bardzo duża, ale jest to działanie kontrproduktywne, bo przecież to nie wina posłańca, że armia władcy poniosła w bitwie klęskę. Co więcej, zabicie posłańca miałoby niepożądany efekt uboczny: inni posłańcy odmawialiby przekazywania wiadomości temu władcy, co pozbawiałoby go dostępu do ważnych informacji. Dążenie do kontroli cen to próba „zabicia posłańca” lub przynajmniej zagłuszenia niepożądanego komunikatu o tym, że popyt i podaż w istotny sposób się zmieniają. Kontrola cen nie wpływa na podstawowe siły popytu i podaży, a to może mieć poważne reperkusje. Podczas chińskiego „Wielkiego skoku” pod koniec lat 50. XX w. rząd sztucznie utrzymywał ceny żywności na niskim poziomie, w wyniku czego 30–40 mln ludzi zmarło z głodu, ponieważ niskie ceny doprowadziły do obniżenia produkcji rolnej. Przypomnijmy, „Wielki skok” to była polityczna kampania zainicjowana przez przywódcę partii komunistycznej Mao Zedonga. Jej celem było przekształcenie kraju z rolniczego w przemysłowy poprzez wprowadzenie kolektywizacji i szybkiej industrializacji. Kontrola cen powoduje unieruchomienie informatora cenowego, jakim jest rynek, uniemożliwiając podmiotom w gospodarce dostęp do kluczowej informacji. Bez niej wszystkim, zarówno kupującym, jak i sprzedającym, trudno będzie reagować w elastyczny i właściwy sposób na zmiany zachodzące w całej gospodarce. Pokolenie wyżu demograficznego wchodzi w jesień życia Wzajemne interakcje podaży i popytu pomogą nam wyjaśnić, co dzieje się na rynkach pracy, i podpowiadają, że zapotrzebowanie na pracę pielęgniarek będzie rosło wraz ze wzrostem potrzeb zdrowotnych pokolenia wyżu demograficznego, tak jak zostało to zaprezentowane na . Wpływ tych nasilających się potrzeb spowoduje również, że mediana płac pielęgniarek będzie wyższa niż 67 490 dol., czyli poziom wynagrodzeń osób wykonujących ten zawód w 2015 r. Nowy punkt równowagi rynkowej (E 1 ) będzie wskazywał na wzrost zarówno płacy (do wysokości Pe 1 ), jak i liczby pracujących pielęgniarek (z Qe 0 do Qe 1 ). Wpływ rosnącego popytu na pracę pielęgniarek w latach 2014–2024 na równowagę rynkową W 2014 r. mediana pensji pielęgniarek w Stanach Zjednoczonych wynosiła 67 490 dol. Wraz ze wzrostem zapotrzebowania na ich usługi krzywa popytu przesuwa się w prawo (z D 0 do D 1 ), a liczba pielęgniarek zatrudnionych w stanie równowagi na rynku rośnie z Qe 0 do Qe 1 . Płaca równoważąca rynek rośnie z Pe 0 do Pe 1 . Załóżmy, że wraz ze wzrostem zapotrzebowania na pracę pielęgniarek jednocześnie kurczy się jej podaż, ze względu na rosnącą liczbę pielęgniarek przechodzących na emeryturę i wzrost czesnego na studiach na kierunku pielęgniarstwo. Przesunięcie krzywej podaży w lewo na pokazuje wpływ malejącej podaży usług pielęgniarek na rynek. Przesunięcia obu krzywych skutkują wyższymi płacami, ale ogólny wpływ na liczbę zatrudnionych pielęgniarek jest niejednoznaczny, ponieważ zależy od skali względnych przesunięć krzywych podaży i popytu. Wpływ malejącej podaży pracy pielęgniarek w latach 2014–2024 na równowagę rynkową Wzrost popytu na usługi pielęgniarek pokazany na prowadzi zarówno do wyższych wynagrodzeń, jak i większej liczby osób zatrudnionych w tym zawodzie. Wraz z odchodzeniem pielęgniarek na emeryturę podaż ich pracy spada ( ), powodując przesunięcie krzywej podaży w lewo i ponowny wzrost ich płac (do poziomu Pe 2 ). Efekt netto – jeśli chodzi o liczbę pielęgniarek zatrudnionych w stanie nowej równowagi – jest niepewny. W tym przykładzie liczba pielęgniarek pracujących w równowadze jest mniejsza niż Qe 1 , ale większa niż początkowe Qe 0 . Chociaż nie wiemy, czy liczba zatrudnionych pielęgniarek się zwiększy, czy zmniejszy do 2024 r., mamy pewność, że te, które będą pracować, otrzymają wyższe wynagrodzenie. Key Concepts and Summary System cen rynkowych zapewnia wysoce efektywny mechanizm dystrybuowania informacji o względnych niedoborach dóbr i usług, siły roboczej i środków finansowych. Uczestnicy rynku nie muszą wiedzieć, dlaczego ceny się zmieniły, a jedynie, że zmiany te wymagają od nich ponownego rozważenia wcześniejszych decyzji dotyczących zakupu lub sprzedaży. Mechanizmy kontroli cen, takie jak ceny minimalne i maksymalne, ukrywają informacje o realnej skali niedoborów na rynkach, a tym samym powodują niewłaściwą alokację zasobów. Self-Check Questions Zidentyfikuj najbardziej trafne stwierdzenie. Cena minimalna będzie miała największy wpływ na rynek, jeśli zostanie ustalona: znacznie powyżej ceny równowagi nieco powyżej ceny równowagi nieco poniżej ceny równowagi znacznie poniżej ceny równowagi Aby zilustrować swoją odpowiedź, naszkicuj wszystkie cztery warianty, wykorzystując krzywe popytu i podaży. Cena minimalna ustalona powyżej poziomu równowagi będzie miała wpływ na rynek, ponieważ podmioty ekonomiczne nie mogą zawierać legalnych transakcji z wykorzystaniem cen niższych niż minimalne. Jeśli cena rynkowa jest niższa od minimalnej, pojawi się znaczna nadwyżka podaży, taka jak na wykresie poniżej. Jeśli cena minimalna w dalszym ciągu jest wyższa niż cena równowagi, nadwyżka podaży będzie się utrzymywać, chociaż jej rozmiary będą mniejsze. Ilustruje to poniższy wykres. Cena minimalna ustalona poniżej poziomu równowagi nie będzie miała żadnego wpływu na rynek niezależnie od tego, czy będzie to niewielka, czy znaczna różnica. Cena rynkowa mieści się w limicie wyznaczonym przez regulacje państwa, w związku z tym transakcje będą zawierane po cenie rynkowej. Poniższe wykresy ilustrują te sytuacje. Największy wpływ na rynek będzie miała cena maksymalna ustalona: znacznie poniżej ceny równowagi nieco poniżej ceny równowagi znacznie powyżej ceny równowagi nieco powyżej ceny równowagi Aby zilustrować swoją odpowiedź, naszkicuj wszystkie cztery warianty, wykorzystując krzywe popytu i podaży. Cena maksymalna ustalona poniżej poziomu równowagi będzie miała wpływ na rynek, ponieważ podmioty ekonomiczne nie mogą zawierać legalnych transakcji z wykorzystaniem cen wyższych niż maksymalne. Jeśli cena rynkowa jest wyższa od maksymalnej, wówczas pojawi się nadwyżka popytu taka jak na wykresach poniżej. Rozmiary nadwyżki popytu zależą od tego, czy cena maksymalna jest dużo niższa niż równowaga rynkowa (znaczna nadwyżka popytu), czy tylko nieznacznie niższa (mała nadwyżka popytu). Poniższy wykres ilustruje te sytuacje. Cena maksymalna ustalona powyżej poziomu równowagi nie będzie miała żadnego wpływu na rynek, niezależnie od tego, czy będzie to niewielka, czy znaczna różnica. Cena rynkowa mieści się w limicie wyznaczonym przez regulacje państwa, w związku z tym transakcje będą zawierane po cenie rynkowej. Poniższe wykresy ilustrują te sytuacje. Wybierz poprawne stwierdzenie. Cena minimalna spowoduje przesunięcie: popytu podaży popytu i podaży żadne z powyższych Naszkicuj swoją odpowiedź na wykresie. Odpowiedź prawidłowa to „żadne z powyższych\". Przesunięcie popytu lub podaży oznacza, że przy każdej cenie popyt lub podaż są większe lub mniejsze dla każdego poziomu ceny. Cena minimalna nie powoduje takiego efektu. Jeśli jednak cena minimalna jest ustalona powyżej poziomu równowagi, wówczas ilość oferowana na rynku będzie większa niż zapotrzebowanie, co doprowadzi do nadwyżki podaży. Wybierz poprawne stwierdzenie. Cena maksymalna spowoduje przesunięcie: popytu podaży i popytu, i podaży żadne z powyższych Odpowiedź prawidłowa to „żadne z powyższych\". Przesunięcie popytu lub podaży oznacza, że przy każdej cenie popyt lub podaż są większe lub mniejsze dla każdego poziomu ceny. Cena maksymalna nie powoduje takiego efektu. Jeśli jednak cena maksymalna jest ustalona poniżej poziomu równowagi, wówczas zapotrzebowanie będzie większe niż ilość oferowana na rynku, co doprowadzi do nadwyżki popytu. Review Question Niezależnie od tego, czy rozważamy rynek dóbr i usług, czy rynek pracy, co stanie się z ceną i ilością równoważącą rynek dla każdego z czterech następujących zdarzeń: wzrost popytu, spadek popytu, wzrost podaży i spadek podaży? Critical Thinking Questions Dlaczego czynniki przesuwające popyt na dobra i usługi konsumpcyjne różnią się od czynników wpływających na położenie krzywej popytu na pracę? Dlaczego czynniki, które przesuwają krzywą podaży dóbr i usług, różnią się od tych, które przesuwają krzywą podaży pracy? Kilka lat temu, podczas dyskusji na temat budowy gazociągu do przesyłu gazu ziemnego z Alaski, Senat USA uchwalił ustawę przewidującą istnienie gwarantowanej ceny minimalnej za gaz ziemny przesyłany tym rurociągiem. Uzasadnienie pomysłu było takie, że prywatne przedsiębiorstwa mające gwarantowaną cenę za swój gaz będą bardziej skłonne robić odwierty w poszukiwaniu gazu na Alasce i płacić za budowę gazociągu. Korzystając z modelu popytu i podaży, postaraj się przewidzieć wpływ tej ceny minimalnej na cenę, zapotrzebowanie i ilość gazu oferowaną na rynku. Jakie są prawdopodobne, niezamierzone konsekwencje wprowadzenia ceny minimalnej na gaz ziemny? Zaproponuj politykę inną niż wprowadzenie ceny minimalnej, którą amerykański rząd może zastosować, by zachęcić firmy do prowadzenia poszukiwań złóż gazu ziemnego i budowy rurociągu na Alasce. Problems Wyobraź sobie, że aby zachować tradycyjny styl życia w małych rybackich wioskach, rząd postanawia ustanowić cenę minimalną ryb, która zagwarantuje wszystkim rybakom określone dochody związane z ich połowami. Korzystając z modelu popytu i podaży, spróbuj przewidzieć wpływ tej decyzji na cenę rynkową, zapotrzebowanie i ilość ryb oferowaną przez rybaków. Jakie są prawdopodobne, niezamierzone konsekwencje związane z wprowadzeniem tej ceny minimalnej? Zaproponuj inne niż cena minimalna ryb sposoby wsparcia, które umożliwią rybakom zachowanie dotychczasowego sposobu życia. Co się stanie z ceną i ilością kupowanego i sprzedawanego na rynku kakao, jeśli kraje, w których uprawia się kakaowce, dotknie ciężka susza, a jednocześnie opublikowane zostaną wyniki badań dowodzące korzystnego wpływu kakao na zdrowie ludzi? Swoją odpowiedź zilustruj wykresem wykorzystującym krzywe popytu i podaży.", "section": "System rynkowy jako efektywny mechanizm informacyjny", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Zdjęcie zrobione przez sondę kosmiczną Voyager I Głównym zadaniem sondy kosmicznej Voyager 1 wystrzelonej przez NASA 5 września 1977 r. było dostarczenie szczegółowych zdjęć Jowisza, Saturna i ich księżyców. Powyższa fotografia jest efektem pracy tego urządzenia. W sierpniu 2012 r. Voyager I jako pierwszy obiekt stworzony przez człowieka znalazł się w przestrzeni międzygwiezdnej i do roku 2025 będzie przekazywał na Ziemię dane dokumentujące jego podróż. Stworzenie tak innowacyjnego urządzenia, jakim jest sonda kosmiczna, jest wyzwaniem nie tylko technologicznym, ale także ekonomicznym. (Źródło: modyfikacja pracy NASA/JPL) Korzyści z misji sondy kosmicznej Voyager I Szybki rozwój technologii, który obserwujemy od 50. lat XX w., rozszerzył nam zakres dostępu do danych i umożliwił ich kompleksowe przetwarzanie. Dzięki niemu możemy m.in. komunikować się z mieszkańcami innych kontynentów oraz sprawne poruszać się po zatłoczonym mieście. Zaangażowanie gigantycznych środków prywatnych i publicznych w badania naukowe i rozwój nowych technologii i produktów zrewolucjonizowało nowoczesną gospodarkę. Aby to sobie uświadomić, wystarczy porównać Voyagera – jedno z największych osiągnięć ludzkości – ze smartfonem, który większość z nas na co dzień nosi w kieszeni. Pierwotnym zadaniem sondy Voyager I było przesłanie na Ziemię zdjęć Jowisza, Saturna i ich księżyców. To skomplikowane urządzenie, wystrzelone w kosmos w 1977 r., poleciało jednak dalej niż do odległych planet Układu Słonecznego. Mijało kolejne ciała niebieskie, aż na początku drugiej dekady XXI w. opuściło Układ Słoneczny i znalazło się w przestrzeni międzygwiezdnej. To największe osiągnięcie ówczesnej techniki zostało wyposażone przez Narodową Agencję Aeronautyki i Przestrzeni Kosmicznej Stanów Zjednoczonych (NASA) w procesor o maksymalnej dostępnej mocy obliczeniowej 8 tys. operacji na sekundę. Obecnie zwykły smartfon w ciągu sekundy wykonuje 14 mld operacji. Produkowane dziś przez prywatne przedsiębiorstwa telefony, komputery, tablety, telewizory, samobieżne odkurzacze a nawet maszyny umożliwiające prowadzenie dializ i mammografii zapewne nie powstałyby (lub nie powstałyby tak szybko), gdyby 50 lat temu NASA nie uruchomiła programu kosmicznego finansowanego z pieniędzy amerykańskich podatników. Wiele badań naukowych nie ma natychmiastowego przełożenia na wytworzenie gotowych do sprzedaży dóbr i usług, dlatego prowadzenie ich jest możliwe wyłącznie dzięki strumieniowi pieniędzy publicznych. Tak jak w przypadku programu sond kosmicznych Voyager, efektem tych działań są jednak nie tylko bezpośrednie korzyści związane z konkretnym zadaniem (poznawaniem kosmosu), lecz również wzrost dobrobytu całego społeczeństwa a nawet ludzkości. W ten sposób nowa wiedza i wynalazki stają się tym, co ekonomiści nazywają dobrem publicznym. Prowadzi to nas do tematu niniejszego rozdziału: obszarów, w których zaangażowanie wyłącznie podmiotów prywatnych przestaje być wystarczające, zaś wzrost dobrobytu (rozumianego jako pojawienie się dodatkowych korzyści i ograniczanie możliwych kosztów) oznacza konieczność włączenia się państwa w działalność gospodarczą. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: Czym są zawodności rynku Jakie są ekonomiczne uwarunkowania wyzwań związanych z zanieczyszczeniem środowiska naturalnego i polityką jego ochrony Dlaczego prywatne przedsiębiorstwa nie inwestują dostatecznych środków w rozwój technologii Czym są dobra publiczne W jaki sposób państwo reguluje działalność monopoli i zapewnia niezbędny poziom konkurencji rynkowej W jaki sposób asymetria informacji ogranicza efektywność rynku rozumianego jako mechanizm alokacji zasobów. Od pewnego czasu i w krajach rozwijających się, i w krajach rozwiniętych coraz wyraźniejsza staje się tendencja wzrostu znaczenia rynku jako głównego mechanizmu określania tego, co jest produkowane i sprzedawane, w jakiej ilości i po jakiej cenie. Jej najważniejszym przejawem jest wprowadzana w wielu państwach na szeroką skalę deregulacja, w efekcie której prywatne przedsiębiorstwa powiększają swój margines swobody w procesie podejmowania decyzji. Polityka, która rozstrzyganie dylematów gospodarczych pozostawia rynkowi, jest dość powszechnie akceptowana. Mechanizm rynkowy często jednak zawodzi. Mimo nieustannie rosnącego poziomu rozwoju i wzrostu dobrobytu społecznego nasze rzeki pozostają zanieczyszczone, ulice miast są coraz bardziej zatłoczone, zaś postęp techniczny, który jeszcze 50 lat temu miał zapewnić człowiekowi bazy na Marsie i uwolnienie od większość chorób i ograniczeń, spowolnił. Niemal egzystencjalnym problemem ludzkości staje się kwestia zmian klimatycznych, które mogą zagrozić fizycznym unicestwieniem miliardów ludzi w perspektywie najbliższego stulecia. W konsekwencji rola państwa w gospodarce wcale nie maleje. Wydaje się wręcz, że niektóre problemy ludzkości (poza kwestiami klimatycznymi można do nich zaliczyć również globalne pandemie) dają się rozwiązać wyłącznie dzięki współpracy na szczeblu globalnym. W niniejszym rozdziale przedstawimy różne formy i przejawy zawodności rynku, z powodu których nie zapewnia on należytej realizacji interesów społecznych. Przyjrzymy się również metodom wykorzystywanym zarówno przez państwo, jak i podmioty prywatne, aby zidentyfikowane ułomności korygować.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Negatywne efekty zewnętrzne związane z problemem zanieczyszczenia środowiska Po przeczytaniu tego podrozdziału będziesz w stanie: Objaśnić pojęcie i wskazać przykłady pozytywnych i negatywnych efektów zewnętrznych Opisać sytuację, w której pojawia się zawodność rynku Wytłumaczyć, dlaczego zanieczyszczenie środowiska jest negatywnym efektem zewnętrznym Rynki, np. rynek telefonii komórkowej, oferują efektywny sposób łączenia kupujących i sprzedających oraz określania, jakie dobra produkować, jak również dla kogo i w jaki sposób to robić. Fundamentem ekonomicznego sposobu myślenia jest zasada, że dobrowolne wymiany (transakcje rynkowe) przynoszą korzyści zarówno kupującym, jak i sprzedającym, dlatego w ogóle dochodzą one do skutku. Co się jednak dzieje, gdy zakupy dokonywane na rynku wpływają na podmioty trzecie, które nie są ani kupującymi, ani sprzedającymi? Jako przykład rozważmy sytuację organizatora koncertów, który w odległości pół kilometra od twojego miejsca zamieszkania chce zbudować scenę na świeżym powietrzu mającą służyć występom wykonawców muzyki disco polo. Będziesz słyszeć ich popisy, siedząc w swoim przydomowym ogródku (lub na balkonie), a może nawet w jadalni. W tym przypadku zarówno organizator koncertu, jak i nabywcy biletów mogą być całkiem zadowoleni z ich dobrowolnej wymiany, zaś twoje zdanie nie ma wpływu na to, czy ich transakcja zostanie zawarta i jakie będą jej warunki. Wpływ konkretnej wymiany rynkowej na stronę trzecią, która w niej nie uczestniczy, a więc znajduje się „na zewnątrz”, nazywa się efektem zewnętrznym (ang. externality ). Ponieważ efekty zewnętrzne oddziałują na podmioty niezaangażowane w transakcję rynkową, są one czasami nazywane efektami ubocznymi (ang. spillovers ). Efekty zewnętrzne mogą być negatywne (ujemne) lub pozytywne (dodatnie). Jeśli nienawidzisz muzyki disco polo, konieczność słuchania jej w każdy weekend jest negatywnym efektem zewnętrznym (ang. negative externality ). Jeśli zaś uwielbiasz ten gatunek, wówczas możliwość bezpłatnego słuchania tego typu utworów w domu będzie pozytywnym efektem zewnętrznym (ang. positive externality ). Zanieczyszczenie środowiska jako negatywny efekt zewnętrzny Zanieczyszczenie środowiska to negatywny efekt zewnętrzny. Ekonomiści przedstawiają koszty społeczne (ang. social costs ) produkcji, posługując się wykresem z krzywymi popytu i podaży. Koszty społeczne obejmują zarówno prywatne koszty produkcji, które ponosi firma, jak i koszty zanieczyszczeń, które przenoszone są na społeczeństwo. przedstawia popyt i podaż lodówek. Krzywa popytu (D) pokazuje wielkość zapotrzebowania na lodówki przy każdym poziomie ceny rynkowej. Krzywa podaży (S pryw ) wskazuje z kolei liczbę lodówek oferowaną do sprzedaży przez wszystkie przedsiębiorstwa w tej gałęzi przemysłu przy każdej cenie, zakładając, że przedsiębiorstwa biorą pod uwagę tylko swoje koszty prywatne i mogą całkowicie bezkosztowo emitować zanieczyszczenia. Równowaga rynkowa (E 0 ), czyli punkt zrównania podaży z popytem, występuje przy cenie 650 zł za lodówkę i wolumenie produkcji równym 45 tys. lodówek. Informacje te są zawarte w pierwszych trzech kolumnach . Koszty społeczne a rachunek ekonomiczny: przesunięcie krzywej podaży Jeśli przedsiębiorstwa wezmą pod uwagę tylko prywatne koszty produkcji, krzywą podaży rynkowej będzie S pryw , a równowaga ukształtuje się w punkcie E 0 . Po uwzględnieniu dodatkowych kosztów zewnętrznych (kosztu emisji zanieczyszczeń), w wysokości 100 zł za każdą wyprodukowaną lodówkę, krzywą podaży rynkowej będzie S społ , a nowym punktem równowagi – E 1 . Zmiana podaży po uwzględnieniu kosztu zanieczyszczeń (kwoty w zł) Cena Wielkość zapotrzebowania Liczba lodówek oferowana przed uwzględnieniem kosztów zanieczyszczeń Liczba lodówek oferowana po uwzględnieniu kosztów zanieczyszczeń 600 50 000 40 000 30 000 650 45 000 45 000 35 000 700 40 000 50 000 40 000 750 35 000 55 000 45 000 800 30 000 60 000 50 000 850 25 000 65 000 55 000 900 20 000 70 000 60 000 Producenci lodówek powodują zanieczyszczenie środowiska, co jest produktem ubocznym zastosowanej technologii, w ramach której zużywane są metale, tworzywa sztuczne, chemikalia i energia. Załóżmy, że koszt zanieczyszczeń powstałych przy produkcji jednej lodówki równy jest 100 zł. Koszty te są wynikiem niekorzystnego wpływu zanieczyszczeń na zdrowie ludzi, wartość nieruchomości, siedliska dzikiej przyrody, możliwości rekreacji lub z powodu innych negatywnych skutków, jakie ze sobą niosą. Na rynku, na którym nie ma ograniczeń dotyczących emisji zanieczyszczeń, przedsiębiorstwa mogą pozbywać się niektórych odpadów całkowicie za darmo. A teraz wyobraź sobie, że firmy produkujące lodówki muszą uwzględniać koszty zewnętrzne (ang. external costs ) zanieczyszczenia. Oznacza to, że firmy muszą brać pod uwagę nie tylko koszty pracy i materiałów, ale także koszty społeczne związane z wynikającymi z procesu produkcyjnego lodówek szkodami na zdrowiu i życiu ludzi oraz degradacją środowiska naturalnego. Jeśli przedsiębiorstwo musi zapłacić 100 zł za dodatkowe koszty zewnętrzne (ang. additional external costs ) zanieczyszczeń za każdym razem, gdy wytworzy lodówkę, produkcja staje się droższa i krzywa podaży przesuwa się w górę o odcinek równy 100 zł. Jak widać na i , nowa równowaga wystąpi w punkcie E 1 . Przedsiębiorstwa uzyskają cenę równą 700 zł za każdą lodówkę i wyprodukują 40 tys. sztuk tego dobra, a nową krzywą podaży będzie S społ . Krótko mówiąc, uwzględnienie dodatkowych kosztów zewnętrznych zanieczyszczeń skutkuje wyższą ceną, niższą produkcją i mniejszą ilością zanieczyszczeń. Poniższa poprowadzi cię przez kolejny przykład negatywnych efektów zewnętrznych, tym razem związany z grą na trąbce. Wyznaczanie ceny i wielkości produkcji równoważących rynek, na którym generowane są negatywne efekty zewnętrzne przedstawia podaż i popyt dla bardzo specyficznego podmiotu gospodarczego, który oferuje usługę na żądanie polegającą na grze na trąbce na ulicy. Produkcja jest mierzona średnią liczbą utworów wykonywanych w ciągu godziny. Popyt i podaż dla przedsiębiorstwa oferującego usługi grania na trąbce (cena w zł) Cena Wielkość zapotrzebowania Liczba utworów oferowana bez uwzględnienia kosztów związanych z efektami zewnętrznymi Liczba utworów oferowana po uwzględnieniu kosztów związanych z efektami zewnętrznymi 20 0 10 8 18 1 9 7 15 2,5 7,5 5,5 12 4 6 4 10 5 5 3 5 7,5 2,5 0,5 Krok 1. Określ negatywne efekty zewnętrzne. Aby to zrobić, pomyśl o tej specyficznej sytuacji i uwzględnij wszystkie osoby, które nie wykupiły tej usługi, a na które wykonywany na trąbce utwór może mieć wpływ. Negatywnym efektem zewnętrznym może być np. zwiększenie hałasu na obszarze, na którym działa firma. Krok 2. Określ początkową cenę i ilość równowagi, biorąc pod uwagę tylko koszty prywatne. Następnie wyznacz nową równowagę, uwzględniając pełne koszty społeczne. Pamiętaj, że równowaga występuje wtedy, gdy wielkość popytu jest równa wielkości podaży. Krok 3. Znajdź wiersz, dla którego wielkość zapotrzebowania (druga kolumna) jest równa ilości oferowanej bez ponoszenia kosztów efektów zewnętrznych (trzecia kolumna). Następnie odczytaj cenę równowagi w pierwszej kolumnie. W tym przypadku, gdy uwzględniamy tylko koszty prywatne, równowaga występuje przy cenie równej 10 zł i 5 utworach zagranych w ciągu godziny. Krok 4. Wyznacz cenę i liczbę utworów równoważącą rynek w sytuacji, w której zostaną uwzględnione dodatkowe koszty zewnętrzne. Spójrz na kolumny: „wielkość zapotrzebowania” (druga kolumna) i „liczba utworów oferowana po uwzględnieniu kosztów związanych z efektami zewnętrznymi” (czwarta kolumna), a następnie odczytaj cenę równowagi w pierwszej kolumnie. W tym przypadku równowaga występuje przy cenie 12 zł i tylko 4 utworach zagranych w ciągu godziny. Krok 5. Zastanów się, jak uwzględnienie efektów zewnętrznych wpływa na cenę i ilość równowagi. Wykonaj ten krok, porównując dwa stany równowagi. Jeśli przedsiębiorstwo jest zmuszone do ponoszenia dodatkowych kosztów zewnętrznych, usługi gry na trąbce stają się droższe i krzywa podaży przesuwa się w górę. Pamiętaj, że krzywa podaży reprezentuje decyzje produkcyjne przedsiębiorstw podejmowane na podstawie kosztów krańcowych, a krzywa popytu przedstawia korzyści uzyskiwane przez ludzi, którzy maksymalizują swoją prywatną użyteczność. Gdyby nie istniały żadne efekty zewnętrzne, koszty prywatne byłyby takie same jak koszty dla ogółu społeczeństwa, a korzyści prywatne byłyby takie same jak korzyści społeczne. A zatem przy braku efektów zewnętrznych równość popytu i podaży doprowadzi do zbilansowania się kosztów i korzyści społecznych. Jeśli jednak istnieją efekty zewnętrzne związane z zanieczyszczeniem środowiska, krzywa podaży nie reprezentuje już wszystkich kosztów społecznych. Ponieważ w przypadku występowania efektów zewnętrznych rynki nie uwzględniają wszystkich kosztów społecznych, a tylko niektóre z nich (wyłącznie koszty prywatne), ekonomiści traktują efekty zewnętrzne jako przykład zawodności rynku (ang. market failure ). Gdy występuje zawodność rynku, niemożliwe jest osiągnięcie efektywnej wielkości produkcji, ponieważ firmy nie uwzględniają wszystkich kosztów produkcji i/lub konsumenci nie uwzględniają – w przypadku pozytywnych efektów zewnętrznych – wszystkich korzyści związanych z zakupem dóbr (dokładna analiza konsekwencji istnienia pozytywnych efektów zewnętrznych znajdzie się w kolejnych podrozdziałach). Gdy mamy do czynienia z zanieczyszczeniem środowiska, społeczne koszty produkcji przewyższają społeczne korzyści dla konsumentów i rynek produkuje zbyt dużo. Możemy teraz sformułować pewien ogólny wniosek. Gdyby przedsiębiorstwa musiały ponosić społeczne koszty zanieczyszczeń, emitowałyby ich mniej, wytwarzałyby mniej produktów i pobierały wyższe ceny. W następnym podrozdziale przeanalizujemy, jak państwo może wymusić na przedsiębiorstwach uwzględnianie społecznych kosztów zanieczyszczeń. Kluczowe pojęcia i podsumowanie Produkcja może powodować szkody środowiskowe niezależnie od tego, czy jest ulokowana w krajach wysoko uprzemysłowionych, czy rozwijających się. Efekty zewnętrzne pojawiają się, gdy wymiana między kupującym a sprzedającym ma wpływ na podmioty trzecie, które nie uczestniczą w transakcji i nie otrzymują z tego tytułu rekompensaty lub nie płacą za powstałą korzyść. Efekt zewnętrzny, który jest również nazywany efektem ubocznym, może mieć negatywny lub pozytywny wpływ na stronę trzecią. Jeśli podmiot wywołujący negatywne efekty zewnętrzne musiałby uwzględnić koszty społeczne swoich działań, miałby bodźce do zmniejszenia produkcji niezależnie od tego, jaka jest przyczyna negatywnego efektu zewnętrznego. W przypadku pozytywnego efektu zewnętrznego strona trzecia uzyskuje korzyści dzięki transakcji między kupującym a sprzedającym, ale za owe korzyści nie płaci. W takim przypadku produkcja rynkowa jest zbyt mała, ponieważ sprzedawcy nie uwzględniają dodatkowych korzyści po stronie podmiotów trzecich. Jeśli strony transakcji, która generuje korzyści społeczne, otrzymywałyby jakąś rekompensatę, miałyby motywację do zwiększenia produkcji niezależnie od tego, jaka jest przyczyna pozytywnych efektów zewnętrznych. Pytania Self-Check Określ, czy następujące sytuacje są przykładem negatywnego, czy pozytywnego efektu zewnętrznego: Jesteś obserwatorem ptaków, a twój sąsiad postawił na podwórku kilka budek lęgowych, a także posadził drzewa i kwiaty, które przyciągają ptaki. Twój sąsiad maluje fasadę swojego domu na ohydny kolor. Inwestycje w prywatną edukację podnoszą standard życia w twoim kraju. Śmieci są wyrzucane w górnym biegu rzeki, nad którą – w jej dolnym biegu – stoi twój dom. Twój współlokator jest palaczem, a ty nie palisz. pozytywny efekt zewnętrzny negatywny efekt zewnętrzny pozytywny efekt zewnętrzny negatywny efekt zewnętrzny negatywny efekt zewnętrzny Określ, czy rynkowa krzywa podaży przesunie się w prawo, w lewo, czy też nie zmieni swojego położenia w następujących przypadkach: Przedsiębiorstwa działające w energochłonnej branży muszą zapłacić grzywnę za emisję dwutlenku węgla. Przedsiębiorstwa są pozywane za zanieczyszczanie wody w rzece. Elektrownie w pewnym mieście nie muszą przejmować się wpływem emisji swoich zanieczyszczeń na jakość powietrza. Przedsiębiorstwa, które stosują szczelinowanie do wydobywania ropy naftowej i gazu z łupków, są zobowiązane do usunięcia powstałych w czasie tej działalności szkód. krzywa podaży przesunie się w lewo krzywa podaży przesunie się w lewo krzywa podaży nie zmieni położenia krzywa podaży przesunie się w lewo Dla każdego z punktów w określ, czy cena równowagi wzrośnie, spadnie, czy pozostanie taka sama. cena wzrośnie cena wzrośnie cena pozostanie taka sama cena wzrośnie ilustruje podaż i popyt dla pewnego przedsiębiorstwa produkcyjnego. Trzecia kolumna przedstawia krzywą podaży nie uwzględniającą społecznych kosztów zanieczyszczeń. Czwarta kolumna przedstawia krzywą podaży w sytuacji, gdy firma musi wziąć pod uwagę społeczny koszt zanieczyszczeń. Określ punkt równowagi przed uwzględnieniem społecznych kosztów produkcji i po ich wkalkulowaniu. Cena (zł) Wielkość zapotrzebowania Wielkość produkcji oferowana bez ponoszenia kosztów zanieczyszczeń Wielkość produkcji oferowana po uwzględnieniu kosztów zanieczyszczeń 10 450 400 250 15 440 440 290 20 430 480 330 25 420 520 370 30 410 560 410 Początkowa równowaga (przed uwzględnieniem zewnętrznych kosztów zanieczyszczeń) występuje w punkcie, w którym prywatna krzywa podaży przecina krzywą popytu. A zatem początkowa równowaga ma miejsce przy cenie 15 zł i wielkości produkcji równej 440. Po uwzględnieniu dodatkowego zewnętrznego kosztu zanieczyszczeń produkcja staje się droższa, a krzywa podaży przesuwa się w górę. Nowa równowaga wystąpi przy cenie 30 zł i wielkości produkcji równej 410. Pytania Review Czym jest efekt zewnętrzny? Podaj przykład pozytywnego i negatywnego efektu zewnętrznego. Jaka jest różnica między kosztami prywatnymi a kosztami społecznymi? Czy na rynku, który nie jest w żaden sposób regulowany przez państwo, krzywa podaży przedsiębiorstw będzie uwzględniać koszty prywatne, koszty zewnętrzne, obydwa rodzaje kosztów, czy też żadne z nich? Odpowiedź uzasadnij. Problemy Na wykresie wskaż równowagę na rynku papierosów, zakładając, że nie istnieją żadne przepisy zakazujące palenia w miejscach publicznych. Oznacz cenę i ilość równoważące rynek jako P m i Q m . Rozbuduj model, aby pokazać wpływ negatywnego efektu zewnętrznego wynikającego z biernego palenia. (Wskazówka: w tym przypadku konsumenci, a nie producenci, tworzą negatywne efekty zewnętrzne). Oznacz optymalną ze społecznego punktu widzenia wielkość produkcji i cenę jako Q e i P e . Zacieniuj czystą stratę społeczną w stanie równowagi rynkowej. Spójrz na . Efekty zewnętrzne przy produkcji każdej lodówki były równe 100 zł. Jednak po uwzględnieniu zarówno kosztów prywatnych, jak i dodatkowych kosztów zewnętrznych cena rynkowa lodówki wzrosła tylko o 50 zł. Jeśli koszty zewnętrzne wynosiły 100 zł, to dlaczego po uwzględnieniu wszystkich kosztów cena wzrosła tylko o 50 zł? przedstawia podaż i popyt dla przedsiębiorstwa oferującego usługi grania na trąbce na ulicach miasta. Qs 1 to ilość oferowana bez uwzględnienia kosztów społecznych. Qs 2 to ilość oferowana po uwzględnieniu kosztów społecznych. Jakie są negatywne efekty zewnętrzne w tej sytuacji? Określ cenę i ilość w stanie równowagi, gdy bierzemy pod uwagę tylko koszty prywatne, a następnie po wkalkulowaniu pełnych kosztów społecznych. Jak uwzględnienie efektów zewnętrznych wpływa na cenę i wielkość produkcji równoważące rynek? P Qd Qs 1 Qs 2 20 0 10 8 18 1 9 7 15 2,5 7,5 5,5 12 4 6 4 10 5 5 3 5 7,5 2,5 0,5 Bibliografia Johnson, Oscar William. “Back on Track: Earth Day Success Story; The Chattanooga Choo-Choo No Longer Spews Foul Air.” Sports Illustrated . April 30, 1990. http://www.si.com/vault/1990/04/30/121923/back-on-track-earth-day-success-story-the-chattanooga-choo-choo-no-longer-spews-foul-air. U.S. Energy Information Administration. “Total Energy: Monthly Energy Review.” U.S. Department of Energy . Accessed December 19, 2013. http://www.eia.gov/totalenergy/data/monthly/. dodatkowy koszt zewnętrzny (ang. additional external cost ) dodatkowe koszty ponoszone przez podmioty, które nie są bezpośrednio zaangażowane w proces produkcji danego dobra efekt zewnętrzny (ang. externality ) sytuacja, w której wymiana (transakcja) rynkowa lub jakiekolwiek inne działania wpływają (pozytywnie lub negatywnie) na podmioty, które w nich nie uczestniczą (znajdują się „na zewnątrz”) zawodność rynku (ang. market failure ) sytuacja, gdy mechanizm rynkowy (rynek) sam z siebie nie prowadzi do efektywnej alokacji zasobów w sposób równoważący koszty i korzyści społeczne, produkcja jest zbyt duża lub zbyt mała ze społecznego punktu widzenia; efekty zewnętrzne są jednym z przykładów zawodności rynku błąd rynku (ang. market failure ) patrz: zawodność rynku defekt rynku (ang. market failure ) patrz: zawodność rynku negatywny efekt zewnętrzny (ang. negative externality ) sytuacja, w której podmiot, który nie uczestniczy w transakcji, ponosi jej koszty (obniża się jego użyteczność) bez jakiejkolwiek rekompensaty niekorzyści zewnętrzne (ang. negative externality ) por: negatywny efekt zewnętrzny koszty społeczne (ang. social costs ) koszty, które obejmują zarówno prywatne koszty ponoszone przez przedsiębiorstwa w trakcie procesu produkcyjnego, jak i dodatkowe koszty ponoszone przez podmioty, które nie są bezpośrednio zaangażowane w proces produkcyjny, np. koszty zanieczyszczenia środowiska efekt uboczny (ang. spillover ) zob. efekt zewnętrzny", "section": "Negatywne efekty zewnętrzne związane z problemem zanieczyszczenia środowiska", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Publiczne sposoby rozwiązania problemu negatywnych efektów zewnętrznych Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać narzędzia, jakie wykorzystuje państwo, aby ograniczyć lub wyeliminować skutki negatywnych efektów zewnętrznych Ocenić efektywność publicznych sposobów rozwiązywania problemu negatywnych efektów zewnętrznych Na przełomie lat 60. i 70. XX w. Stany Zjednoczone i pozostałe kraje o gospodarkach rynkowych zaczęły uchwalać kompleksowe przepisy dotyczące ochrony środowiska. Regulacje koncentrowały się zazwyczaj na ustaleniu progów dozwolonych emisji zanieczyszczeń dla konkretnych przedsiębiorstw i zakładów produkcyjnych. Przekroczenie ustanowionych progów skutkowało nałożeniem na podmioty kar finansowych. Inne przepisy zobowiązywały producentów różnego rodzaju dóbr do instalowania odpowiednich urządzeń ograniczających emisję szkodliwych substancji, np. na fabrycznych kominach i w silnikach spalinowych samochodów. Tego typu przepisy, które ustanawiają dopuszczalne limity emisji zanieczyszczeń i mogą szczegółowo określać, jakie technologie kontroli zanieczyszczeń przedsiębiorstwa muszą stosować, mieszczą się w kategorii systemu nakazowo-kontrolnego (ang. command-and-control regulation ). W efekcie takich regulacji rosną koszty produkcji, a firmy są zmuszone do uwzględnienia społecznych kosztów zanieczyszczeń przy podejmowaniu decyzji o wielkości produkcji. Systemy regulacji nakazowo-kontrolnej w dziedzinie ochrony środowiska wprowadzone w ostatnich dziesięcioleciach w krajach wysoko uprzemysłowionych przyniosły poprawę jakości powietrza i wody. Ekonomiści wskazują jednak na trzy wyzwania związane z tym sposobem regulacji. Po pierwsze, system nakazowo-kontrolny nie zachęca prywatnych podmiotów do działań wykraczających poza standardy wyznaczone przez konkretną ustawę, nawet jeśli można byłoby je przeprowadzić stosunkowo niewielkim kosztem. Gdy przedsiębiorstwa spełnią określony standard, nie mają motywacji do dalszej redukcji zanieczyszczeń. Po drugie, system nakazowo-kontrolny jest wysoce nieelastyczny. Zwykle wprowadza te same przepisy dla wszystkich emitentów, a często również obowiązek instalowania tej samej technologii kontroli zanieczyszczeń we wszystkich fabrykach. Zatem nie rozróżnia firm, dla których spełnienie norm lub nawet dalsze zmniejszenie emisji zanieczyszczeń byłoby łatwe i tanie, oraz tych, dla których może to być trudne i kosztowne. Przedsiębiorstwa nie mają bodźców, aby przeprowadzać ponowną analizę wykorzystywanych metod produkcji, dokonywać ewentualnych korekt i dzięki temu stosunkowo niewielkim kosztem jeszcze bardziej obniżać emisję zanieczyszczeń. Po trzecie, przepisy systemu nakazowo-kontrolnego są tworzone w ramach skomplikowanego procesu uzgodnień politycznych, a więc wynikają z różnych kompromisów między partiami politycznymi, władzami różnych szczebli i innymi lobbies. Działające na rynku od lat przedsiębiorstwa często argumentują (i starają się do tego sposobu myślenia przekonać polityków), że surowsze normy środowiskowe powinny mieć zastosowania wyłącznie do firm dopiero rozpoczynających działalność, a nie tych zasiedziałych w danej branży. W rezultacie wchodzące w życie przepisy dotyczące ochrony środowiska są zawiłe, mają wiele luk i wyjątków. Chociaż krytycy regulacji stosowanych w systemach nakazowo-kontrolnych akceptują ich cel, jakim jest zmniejszenie emisji zanieczyszczeń, nie uznają tego typu środków za najlepszy sposób na jego osiągnięcie. W następnym podrozdziale omówimy więc alternatywne podejście do ograniczania negatywnych efektów zewnętrznych w dziedzinie ochrony środowiska. Kluczowe pojęcia i podsumowanie Regulacje w systemie nakazowo-kontrolnym ustanawiają limity emisji zanieczyszczeń i/lub wymuszają stosowanie określonych technologii ich kontroli. Choć w wielu krajach w drugiej połowie XX w. poprawiły one stan środowiska, mają trzy podstawowe wady: nie zachęcają do dalszej redukcji emisji zanieczyszczeń, przekraczającej wyznaczone poziomy; oferują ograniczoną elastyczność co do tego, gdzie i jak zmniejszyć zanieczyszczenia; często zawierają też osłabiające ich skuteczność luki prawne które są konsekwencją negocjacyjnego trybu tworzenia tych rozwiązań. Pytania Self-Check Rozważ dwa podejścia do zmniejszania emisji CO 2 przez przemysł przetwórczy w Polsce. Pierwsze zakłada politykę zmuszającą producentów do stosowania z góry określonych technologii. Drugie określa jedynie technologie uznawane przez państwo za lepsze i wdrażanie właśnie tych wspomaga subsydiami. Które podejście mieści się w ramach systemu regulacji nakazowo-kontrolnych? Pierwsze rozwiązanie, ponieważ państwo wprowadza obowiązek dotyczący wszystkich producentów. Pytania Review Czym jest system regulacji nakazowo-kontrolnych w dziedzinie ochrony środowiska? Jakie są trzy zidentyfikowane przez ekonomistów wyzwania związane z systemem regulacji nakazowo-kontrolnych? Pytania Critical Thinking Czy twoim zdaniem organizacje zajmujące się ochroną środowiska (np. Greenpeace ) faworyzowałyby regulacje wykorzystujące system nakazowo-kontrolny jako najważniejszy sposób na zmniejszenie skali zanieczyszczeń? Uzasadnij swoją odpowiedź. Rozważ dwa sposoby ochrony słoni afrykańskich przed kłusownikami. W ramach pierwszego podejścia rządy tworzą ogromne parki narodowe, które mają wystarczające siedliska dla słoni i zabraniają mieszkańcom okolicznych terenów wstępu do parków, jak również szkodzenia słoniom lub ich siedliskom w jakikolwiek sposób. Zgodnie z drugim rządy tworzą mniejsze parki narodowe i wyznaczają 10 wiosek na obrzeżach każdego z takich obszarów jako oficjalne centra turystyczne – miejsca pobytu turystów i bazy wycieczek (których przewodnikami są przedstawiciele lokalnej ludności). Szczególną uwagę poświęć różnicom w sytuacji biednych mieszkańców terenów sąsiadujących z parkami narodowymi. Które podejście wydaje się skuteczniejsze, jeśli celem rządów jest odbudowa populacji słoni? system nakazowo-kontrolny (ang. command-and-control regulation ) przepisy wyznaczające dopuszczalne limity emisji zanieczyszczeń, a także określające szczegółowo, jakie technologie kontroli zanieczyszczeń należy stosować", "section": "Publiczne sposoby rozwiązania problemu negatywnych efektów zewnętrznych", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Prywatne sposoby rozwiązania problemu negatywnych efektów zewnętrznych Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać, w jaki sposób opłaty za emisję zanieczyszczeń wpływają na proces decyzyjny w przedsiębiorstwie Wyjaśnić znaczenie zbywalnych pozwoleń na emisję zanieczyszczeń i praw własności Ocenić, które z prywatnych sposobów rozwiązywania problemu negatywnych efektów zewnętrznych są najskuteczniejsze w konkretnych sytuacjach rynkowych Polityka ochrony środowiska wykorzystująca przede wszystkim prywatne (zorientowane na rynek) sposoby ograniczania skali emisji zanieczyszczeń, umożliwia przedsiębiorstwom zachowanie niezbędnego stopnia elastyczności. Trzema głównymi elementami tego podejścia są opłaty za emisję zanieczyszczeń, zbywalne zezwolenia na emisję tychże i lepiej zdefiniowane prawa własności. Wszystkie te działania, które omówimy w niniejszym podrozdziale, eliminują wskazane wcześniej wady regulacji w ramach systemu nakazowo-kontrolnego, aczkolwiek w różny sposób. Opłaty za emisję zanieczyszczeń Opłata za emisję zanieczyszczeń (ang. pollution charge ) to podatek od zanieczyszczeń nakładany na przedsiębiorstwo, które je emituje. Opłata taka stanowi dla firmy maksymalizującej zysk zachętę do redukcji emisji zanieczyszczeń, o ile koszt krańcowy redukcji emisji jest mniejszy niż wysokość podatku. Rozważmy tu przykład niewielkiego przedsiębiorstwa, które emituje do atmosfery 50 kg sadzy rocznie. Pył zawieszony w powietrzu powoduje choroby układu oddechowego oraz obciąża finansowo inne biznesy i mieszkańców obszaru, na którym działa ta firma. przedstawia koszty krańcowe ponoszone przez wspomniane przedsiębiorstwo w związku ze zmniejszeniem emisji zanieczyszczeń. Koszt krańcowy redukcji zanieczyszczeń, podobnie jak większość kosztów krańcowych, rośnie wraz ze wzrostem produkcji, przynajmniej w krótkim okresie. Zmniejszenie emisji cząstek sadzy o pierwsze 10 kg rocznie kosztuje firmę 300 zł. Redukcja o kolejne 10 kg wymaga już 500 zł nakładów, o trzecie – 900 zł, o czwarte 10 kg – 1500 zł, zaś całkowite wyeliminowanie emisji sadzy kosztowałoby dodatkowo 2,5 tys. zł. Taki schemat kształtowania się kosztów zmniejszania emisji zanieczyszczeń jest dość powszechny. Początkowo redukcję ilości wytwarzanych szkodliwych substancji można osiągnąć stosunkowo niewielkim kosztem, ale całkowite wyeliminowanie jakichkolwiek zanieczyszczeń wymaga już bardzo dużych nakładów finansowych. Opłata za emisję zanieczyszczeń Jeśli opłata za emisję zanieczyszczeń zostanie ustalona na poziomie 1000 zł za każde 10 kg sadzy, przedsiębiorstwo będzie miało motywację do zmniejszenia emisji zanieczyszczeń o 30 kg, ponieważ koszt redukcji emisji sadzy o kolejne 20 kg będzie wyższy (1500 zł + 2500 zł) niż opłata nałożona przez państwo (1000 zł + 1000 zł). Wyobraź sobie, że na przedsiębiorstwo została nałożona opłata za emisję zanieczyszczeń w wysokości 1000 zł za każde wypuszczone do atmosfery 10 kg sadzy rocznie. (W polskim systemie prawnym podatki mają charakter nieekwiwalentny, w związku z czym pozwolenie na emisję zanieczyszczeń będzie opłatą, a nie podatkiem, bo daje firmie wnoszącej tę płatność konkretne prawa. Podobnie składką, a nie podatkiem jest opłata, dzięki której zyskujemy prawo do korzystania z publicznych systemów opieki zdrowotnej i emerytalnego). Firma ma do wyboru albo emitować sadzę i wnosić narzuconą przez państwo opłatę, albo zmniejszyć ilość zanieczyszczeń, ponosząc odpowiednie koszty tej redukcji, co ilustruje powyższy wykres. O ile firma zmniejszy roczną skalę emisji zanieczyszczeń? Redukcja emisji sadzy o pierwsze 10 kg kosztuje 300 zł. To znacznie mniej niż 1000 zł opłaty, więc firma z pewnością zdecyduje się na redukcję emisji. Zmniejszenie emisji o kolejne 10 kg kosztuje 500 zł, czyli nadal mniej niż wartość opłaty, więc firma zadba o dalszą redukcję emisji. Ograniczenie skali wytwarzania sadzy o trzecie 10 kg kosztuje już 900 zł, czyli wciąż mniej niż 1000 zł podatku. Jednak ograniczenie emisji o czwarte 10 kg wymaga już 1500 zł nakładów, co znacznie przekracza wartość stosownej opłaty. W rezultacie firma zdecyduje się na redukcję emisji sadzy o 30 kg, ponieważ krańcowy koszt redukcji o tę wielkość jest mniejszy niż wartość opłat za emisję zanieczyszczeń. Przy opłacie w wysokości 1000 zł przedsiębiorstwo nie ma motywacji do zmniejszenia skali emisji sadzy o więcej niż 30 kg rocznie. Firma, która musi wnosić opłatę od emisji zanieczyszczeń, będzie miała motywację do znalezienia najtańszych technologii ograniczania skali wytwarzanych szkodliwych substancji. Przedsiębiorstwa mogące łatwo i tanio zmniejszyć emisję zanieczyszczeń zrobią to, aby zminimalizować kwotę płaconego podatku, zaś przedsiębiorstwa, które ponoszą wysokie koszty redukcji np. sadzy, zapłacą podatek od zanieczyszczeń. Jeśli podatek od zanieczyszczeń ma zastosowanie do każdego ich źródła, producenci mający poparcie polityczne nie uzyskują preferencji ani nie mogą korzystać z luk prawnych. Choć, jak łatwo zauważyć, politycy mogą mimo wszystko wprowadzić wyłączenia, zwalniając ze stosownej opłaty zakład znajdujący się np. w ich okręgu wyborczym. Jako przykład swoistej opłaty za produkcję zanieczyszczeń nakładanej na gospodarstwa domowe można wskazać dwa sposoby pobierania opłat za wywóz śmieci. Jedną z metod jest zryczałtowana kwota przypadająca na gospodarstwo domowe, niezależna od ilości wytworzonych śmieci (taka właśnie opłata obowiązuje m.in. w Warszawie i innych dużych miastach w Polsce). Alternatywnym podejściem jest wprowadzenie kilku poziomów rosnących opłat powiązanych z ilością produkowanych śmieci oraz oferowanie niższych stawek lub bezpłatnego odbioru odpadów posegregowanych i nadających się do recyklingu. Tak naprawdę opłaty za emisję zanieczyszczeń są uwzględnione w wielu regulacjach dotyczących ochrony środowiska, chociaż często nie są w nich wskazywane wprost. Na przykład zarówno w Polsce, jak i w pozostałych krajach UE czy Stanach Zjednoczonych nakładane są podatki na paliwa silnikowe (etylinę, olej napędowy i gaz LPG). Możemy postrzegać ten podatek jako opłatę za zanieczyszczenie powietrza przez samochody, a także jako źródło finansowania budowy i remontów sieci dróg publicznych. Podobnie zwrotna kaucja za szklane butelkę nadające się do recyklingu działa jak podatek od zanieczyszczeń. Stanowi ona zachętę do segregowania śmieci i ich przetwarzania, jeśli bowiem butelka zostanie wrzucona do kosza, opłaty nie będzie można odzyskać. W porównaniu z regulacjami istniejącymi w ramach systemu nakazowo-kontrolnego podatek od zanieczyszczeń zmniejsza ich emisję w bardziej elastyczny i efektywny kosztowo sposób. Zbywalne zezwolenia na emisję zanieczyszczeń Kiedy państwo lub organizacja międzynarodowa wprowadza program zbywalnych zezwoleń na emisję zanieczyszczeń (ang. marketable permit program ) (np. pozwolenia na emisję dwutlenku węgla w krajach UE), musi zacząć od ustalenia limitu dopuszczalnej ilości zanieczyszczeń, zgodnie z normami krajowymi lub międzynarodowymi. Na przykład może ustalić, że skala emisji CO 2 w ciągu roku może osiągnąć max. poziom 100 tys. ton. Każde zezwolenie umożliwia przedsiębiorstwu emisję jednej tony CO 2 , co oznacza, że wyemitowanych zostanie 100 tys. zezwoleń. Następnie zezwolenia na emisję ustalonej wcześniej ilości zanieczyszczeń są rozdzielane między przedsiębiorstwa albo bezpłatnie, zgodnie z przyjętym wcześniej algorytmem uzależnionym od wolumenu historycznej produkcji, albo w drodze aukcji. W tym drugim przypadku za każde zezwolenie firmy muszą zapłacić. Pamiętajmy o trzech kwestiach. Po pierwsze, zezwolenia mają na celu zmniejszenie całkowitej emisji zanieczyszczeń w pewnym okresie. Na przykład w pierwszym roku wyemitowane zezwolenia umożliwią łączną emisję 100 tys. ton dwutlenku węgla, ale w kolejnym już tylko 90 tys. ton, a w jeszcze następnym jedynie 80 tys. ton i tak aż do pożądanego poziomu docelowego (np. w ciągu 20 lat program ma przynieść zmniejszenie emisji CO 2 do zera). Po drugie, są to zezwolenia zbywalne, co oznacza, że przedsiębiorstwa mogą je kupować i sprzedawać. Po trzecie, system oparty na zbywalnych pozwoleniach działa skutecznie tylko wtedy, gdy pomijalną kwestią jest to, które przedsiębiorstwa ograniczą emisję gazu, a które kupią pozwolenia. Dzięki takiej a nie innej konstrukcji programu zbywalnych zezwoleń emisja dwutlenku węgla nie tylko zostanie ograniczona do pożądanego poziomu, ale odbędzie się po minimalnym koszcie. Przedsiębiorstwa będą bowiem kupować i sprzedawać te zezwolenia, porównując ich cenę na rynku z kosztem ograniczenia emisji CO 2 o jedną tonę. Jeśli koszt ograniczenia emisji dwutlenku węgla będzie niższy od ceny zezwolenia na rynku wtórnym, przedsiębiorstwo zdecyduje się na wdrożenie technologii bądź montaż urządzeń ograniczających emisję cieplarnianego gazu, zamiast kupować zezwolenie, lub – jeśli otrzymało od państwa pewną pulę bezpłatnie – sprzeda je na rynku wtórnym. Natomiast jeśli koszt ograniczenia emisji CO 2 przekroczy cenę zezwolenia, wówczas przedsiębiorstwo kupi je od państwa w czasie pierwotnej aukcji lub od innych firm na rynku wtórnym. Problemem pozostaje natomiast pierwotna alokacja zezwoleń. Pamiętajmy, że jeśli przedsiębiorstwo ogranicza emisję dwutlenku węgla, może się to odbić na wolumenie jego produkcji i tym samym przełożyć się np. na spadek zatrudnienia. Dlatego władzom krajów tworzących organizację międzynarodową (np. UE) lub władzom lokalnym będzie zależało na tym, żeby emisję CO 2 redukowały przedsiębiorstwa w innych krajach lub w innych województwach, stanach etc. Wówczas uda się zredukować efekt cieplarniany i jednocześnie ochronić miejsca pracy obywateli, którzy będą głosować na przedstawicieli władz krajowych lub regionalnych w kolejnych wyborach. Lepiej zdefiniowane prawa własności Jasno zdefiniowane i alokowane prawa własności również mogą zapewnić równowagę między działalnością gospodarczą a zanieczyszczeniem środowiska. Ronald Coase (1910–2013), zdobywca Nagrody Nobla w dziedzinie ekonomii w 1991 r., w przejrzysty sposób zilustrował przykład efektu zewnętrznego: obok pola rolnika biegnie tor kolejowy. Dość często przejeżdża po nim lokomotywa, z komina której wydobywają się iskry, co w niesprzyjających warunkach wywołuje pożar tego pola. Coase zadał pytanie o to, czyim obowiązkiem jest rozwiązanie tego problemu. Czy rolnik na własny koszt powinien zbudować bariery wzdłuż pola, aby nie dopuścić do zaprószenia ognia, czy też przewoźnik winien zainstalować w kominie lokomotywy specjalne urządzenie, które zapobiegnie przypadkowemu pożarowi. Coase zwrócił uwagę, że nie da się rozwiązać tego problemu, dopóki nie zdefiniuje się jasno praw własności (ang. property rights ), które jednoznacznie określą, kto komu powinien wypłacić odszkodowanie, a tym samym kto jest odpowiedzialny za zmniejszenie bądź wykluczenie prawdopodobieństwa pożaru. Czy rolnik ma prawo własności do swojego pola? Tak, to oczywiste. Czy kolej ma prawo własności do torów i lokomotywy? Na tak postawione pytanie również musi paść twierdząca odpowiedź. A zatem jasno zdefiniowane prawa własności wskażą nam stronę, która wyszuka i zapłaci za najmniej kosztowną metodę zmniejszenia ryzyka pożaru pola. Prawo własności określa, czy koszt ponosi rolnik, czy kolej. Podejście uwzględniające prawa własności jest bardzo istotne w sprawach dotyczących zagrożonych gatunków flory i fauny. Lista zagrożonych stworzeń powiększa się z roku na rok, a większość populacji roślin i zwierząt żyje na gruntach prywatnych. Ochrona tych gatunków wymaga uważnej analizy bodźców i praw własności. Odkrycie zagrożonego gatunku na gruntach prywatnych często wywołuje automatyczną reakcję rządu, który zabrania właścicielowi korzystania z ziemi w sposób mogącym zagrozić gatunkom umieszczonym na stworzonej przez państwo liście. Zastanów się nad możliwymi skutkami takiej polityki: jeśli przyznasz się rządowi, że masz na swoim terenie zagrożony gatunek, rząd skutecznie zabroni ci korzystania z twojej własności. Stąd pogłoski o posiadaczach ziemskich, którzy znalazłszy przedstawicieli zagrożonego gatunku, stosowali metodę „zastrzelić, zakopać i siedzieć cicho”. Inni celowo ścinali drzewa lub wykorzystywali grunty w sposób zniechęcający zagrożone zwierzęta do przebywania na ich terenie. Skuteczniejszym sposobem postępowania byłoby nakłonienie prywatnych właścicieli gruntów do ochrony zagrożonych gatunków znajdujących się na ich terenie oraz zapewnienie im bezpiecznych siedlisk. Na przykład państwo mogłoby płacić odszkodowania właścicielom, którzy utrzymują odpowiednie siedliska lub ograniczą użytkowanie swojej ziemi w celu ochrony zagrożonych gatunków. Gdy państwo chce nadzorować miliony hektarów prywatnej ziemi, polityka oparta na zachętach i elastyczności ponownie okazuje się lepszym rozwiązaniem niż regulacje w systemie nakazowo-kontrolnym. Jak skuteczne są prywatne (zorientowane na rynek) sposoby rozwiązywania problemów środowiskowych? Ekolodzy czasami obawiają się, że prywatne sposoby ograniczania negatywnych efektów zewnętrznych i oparta na nich polityka ochrony środowiska są jedynie wymówką dla rozluźnienia lub wyeliminowania ścisłych limitów emisji zanieczyszczeń i w efekcie pozwalają na wzrost ilości odpadów, ścieków i szkodliwych substancji w powietrzu. Prawdą jest, że jeśli opłaty za zanieczyszczanie są ustalane na bardzo niskim poziomie lub jeśli zbywalne zezwolenia nie uwzględniają znacznego zmniejszenia emisji zanieczyszczeń, wówczas narzędzia rynkowe nie będą funkcjonować dobrze. Jednak przepisy tworzone w oparciu o system nakazowo-kontrolny również mogą zawierać luki prawne lub liczne wyłączenia i w efekcie nie przekładać się na znaczącą redukcję zanieczyszczeń. Zaletą polityki zorientowanej na rynek nie jest to, że ogranicza ona emisję zanieczyszczeń w stopniu większym niż system nakazowo-kontrolny, lecz to, że dzięki bodźcom i elastyczności może doprowadzić do pożądanej redukcji zanieczyszczeń po najniższych dla społeczeństwa kosztach. Kluczowe pojęcia i podsumowanie Przykładami prywatnych (zorientowanych na rynek) narzędzi ograniczania problemu negatywnych efektów zewnętrznych w dziedzinie ochrony środowiska są: opłaty za emisję zanieczyszczeń, zbywalne zezwolenia na emisję zanieczyszczeń oraz lepiej zdefiniowane prawa własności. Dzięki działaniu mechanizmu rynkowego, nakładanym przez państwo opłatom o charakterze parapodatkowym i lepiej zdefiniowanym prawom własności podmioty generujące negatywne efekty zewnętrzne muszą skonfrontować się z pełnym kosztem społecznym swoich emisji zanieczyszczeń i odpadów. Pytania Self-Check Określ, czy poniższe działania z zakresu kontroli emisji zanieczyszczeń są przykładami systemu nakazowo-kontrolnego czy raczej zorientowanego na rynek. Opłata za emisję dwutlenku węgla zostaje nałożona na każde przedsiębiorstwo. Państwo wymaga, aby krajowi producenci samochodów zmniejszyli ilość zanieczyszczeń emitowanych przez samochody do 2025 r. Wyznaczone zostają krajowe standardy jakości wody. Miasto sprzedaje przedsiębiorstwom pozwolenia na emisję określonej ilości zanieczyszczeń. Państwo płaci rybakom za ochronę populacji łososia. działanie zorientowane na rynek system nakazowo-kontrolny system nakazowo-kontrolny działanie zorientowane na rynek działanie zorientowane na rynek Opłata za emisję zanieczyszczeń nałożona na przedsiębiorstwa nie jest elementem systemu regulacji nakazowo-kontrolnych. Dlaczego? Mimo że państwo nakłada takie opłaty, przedsiębiorstwa mają swobodę w zakresie wyboru technologii pozwalających na obniżenie skali emisji zanieczyszczeń i tym samym zmniejszenie kwoty opłat. Pytania Review Czym jest opłata za emisję zanieczyszczeń i jak zachęca ona przedsiębiorstwa do uwzględniania zewnętrznych kosztów zanieczyszczeń? Czym są zbywalne zezwolenia na emisję zanieczyszczeń i jak zachęcają one przedsiębiorstwa do uwzględniania zewnętrznych kosztów zanieczyszczeń? W jaki sposób można lepiej zdefiniować i alokować prawa własności? Dlaczego będą one wówczas zachęcać przedsiębiorstwa do uwzględniania zewnętrznych kosztów zanieczyszczeń? Pytania Critical Thinking Czy system zbywalnych zezwoleń na emisję zanieczyszczeń będzie funkcjonował dobrze, gdy na rynku działa kilka tysięcy przedsiębiorstw? Odpowiedź uzasadnij. Czy w systemie zbywalnych zezwoleń na emisję możliwe jest całkowite zredukowanie zanieczyszczeń? Odpowiedź uzasadnij. Czy redukcja emisji zanieczyszczeń do zera jest optymalnym celem polityki państwa? Odpowiedź uzasadnij. Bibliografia Environmental Protection Agency. “2006 Pay-As-You-Throw Programs.” Accessed December 20, 2013. http://www.epa.gov/epawaste/conserve/tools/payt/states/06comm.htm. zbywalne zezwolenie na emisję zanieczyszczeń (ang. marketable permit ) pozwolenie umożliwiające przedsiębiorstwu emisję określonej ilości zanieczyszczeń; firmy posiadające więcej zezwoleń, niż wynoszą ich potrzeby, mogą sprzedać nadmiar innym przedsiębiorstwom uprawnienia do emisji zanieczyszczeń (ang. marketable permit ) patrz: zbywalne zezwolenie na emisję zanieczyszczeń certyfikaty emisyjne (ang. marketable permit ) patrz: zbywalne zezwolenie na emisję zanieczyszczeń opłata za emisję zanieczyszczeń (ang. pollution charge ) opłata (parapodatek) nakładana na przedsiębiorstwo za emitowane przez nie zanieczyszczenia prawo własności (ang. property right ) prawo do posiadania i korzystania z własności, które oznacza, że podmioty naruszające to prawo będę zmuszone do wypłaty odszkodowania właścicielowi", "section": "Prywatne sposoby rozwiązania problemu negatywnych efektów zewnętrznych", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Dlaczego sektor prywatny nie inwestuje dostatecznych środków w innowacje Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować pozytywne efekty zewnętrzne związane z nowymi technologiami Wyjaśnić różnice pomiędzy prywatnymi i społecznymi korzyściami, a także wskazać przykłady jednych i drugich Obliczyć i przeanalizować stopy zwrotu Konkurencja rynkowa tworzy bodźce do wdrażania nowych technologii, ponieważ przedsiębiorstwo (ang. firm ) może osiągać wyższe zyski, znajdując sposób na obniżenie kosztów produkcji lub oferowanie klientom dóbr o pożądanych przez nich cechach. Jak powiedział Gregory Lee, dyrektor generalny firmy Samsung: „Nieustanne dążenie do innowacji jest kluczową zasadą naszej działalności i pozwala konsumentom odkrywać świat nowych możliwości dzięki rozwojowi technologii”. Innowacyjne przedsiębiorstwo wie, że dzięki opracowaniu nowej technologii będzie miało, co do zasady, tymczasową przewagę nad konkurentami, a tym samym zdolność do osiągania zysków nadzwyczajnych, zanim ci uzyskają dostęp do nowych rozwiązań. Jednak w niektórych przypadkach istnienie konkurencyjnych firm działających w tej samej branży może zniechęcać do rozwijania nowych technologii, zwłaszcza wtedy, gdy inne przedsiębiorstwa mogą szybko skopiować nowe pomysły. Przeanalizujmy sytuację koncernu farmaceutycznego, które decyduje się na opracowanie nowego specyfiku. Odkrycie leczniczego działania konkretnej substancji chemicznej, wykonanie niezbędnych testów klinicznych i wreszcie wprowadzenie produktu na rynek kosztuje średnio 800 mln dol. i trwa ponad dekadę. Jeśli projekt badawczo-rozwojowy (B+R) zakończy się niepowodzeniem – a każdy projekt z obszaru B+R ma na to sporą szansę – wówczas przedsiębiorstwo poniesie stratę i może zostać zmuszone do znacznego ograniczenia działalności lub nawet zbankrutować. Z kolei gdy projekt się powiedzie, konkurenci mogą znaleźć sposób na skopiowanie nowego pomysłu, ale bez konieczności finansowania kosztownych działań związanych z jego opracowywaniem. W efekcie innowacyjne przedsiębiorstwo będzie miało znacznie wyższe koszty związane z pracami B+R i w najlepszym przypadku osiągnie niewielką, przejściową przewagę nad konkurentami. Liczne badania prowadzone przez ekonomistów w wielu krajach i w różnych okresach wykazały, że firma wdrażająca nową technologię jako pierwsza (możemy ją nazwać pionierem) przechwytuje od jednej trzeciej do połowy łącznych korzyści ekonomicznych związanych z daną innowacją, podczas gdy resztę uzyskują inne przedsiębiorstwa, które zdecydują się ją wdrożyć (naśladowcy), i użytkownicy nowych wynalazków. Pozytywne efekty zewnętrzne nowych technologii Czy prywatne przedsiębiorstwa działające w ramach gospodarki rynkowej inwestują zbyt mało środków w badania i nowe technologie? Jeśli firma buduje nową fabrykę lub kupuje wyposażenie (środki transportu, maszyny, urządzenia itd.), uzyskuje wszystkie korzyści ekonomiczne wynikające z tych inwestycji. Jednak gdy firma przeznacza środki na badania nad nowymi technologiami, prywatne korzyści (ang. private benefits ), czyli jej przyszłe zyski, stanowią tylko część ogólnych korzyści społecznych związanych z tą aktywnością. Korzyści społeczne (ang. social benefits ) innowacji są równe sumie wartości wszystkich pozytywnych efektów zewnętrznych związanych z nową technologią lub produktem, na których mogą skorzystać inne przedsiębiorstwa lub społeczeństwo jako całość, oraz wartości prywatnych korzyści otrzymywanych przez przedsiębiorstwo, które opracowało nową technologię, dobro lub usługę. Pozytywne efekty zewnętrzne (ang. positive externalities ) są korzystnymi efektami ubocznymi działalności konkretnego podmiotu (osoby, przedsiębiorstwa, organizacji non-profit lub państwa) uzyskiwanymi bezpłatnie przez strony trzecie. Jeśli udało ci się wygospodarować czas i posprzątać pokój w akademiku poza kolejnością, to oczywiście masz w związku z tym pewną korzyść (przebywasz w czystym wnętrzu), ale jednocześnie skutkiem ubocznym twojej aktywności jest uporządkowana przestrzeń twoich współlokatorów. Rozważmy sytuację przedsiębiorstwa, które opracowuje swój przyszłoroczny budżet wydatków na sferę B+R. Ekonomiści i naukowcy pracujący dla tej firmy sporządzili listę potencjalnych projektów badawczo-rozwojowych i wiążących się z nimi szacunkowych stóp zwrotu ( Stopa zwrotu (ang. return rate ) jest oczekiwanym zyskiem z wdrożeniem projektu). Stosowne kalkulacje pokazuje . Opadająca w dół prywatna krzywa popytu (D pryw ) reprezentuje zapotrzebowanie firmy na kapitał finansowy i odzwierciedla gotowość przedsiębiorstwa do zaciągania pożyczek na finansowanie projektów badawczo-rozwojowych przy różnym poziomie rynkowych stóp procentowych. Załóżmy również, że efekty prac badawczo-rozwojowych planowanych przez to przedsiębiorstwo tworzą dodatkowe korzyści dla innych firm i gospodarstw domowych. W końcu wdrożone już innowacje dość często zachęcają inne podmioty do podejmowania kolejnych kreatywnych działań cennych dla społeczeństwa. Jeśli dodamy dodatkowe korzyści uzyskiwane przez społeczeństwo do prywatnego popytu firmy na kapitał finansowy, możemy narysować społeczną krzywą popytu na kapitał (D społ ), która znajduje się nad prywatną krzywą popytu (D pryw ). Gdyby przedsiębiorstwo mogło w pełni przejąć korzyści społeczne, czyniąc je w jakiś sposób niedostępnymi dla pozostałych podmiotów, prywatna krzywa popytu pokrywałaby się ze społeczną. Taka sytuacja występuje jednak stosunkowo rzadko. Zgodnie z i , jeśli aktualne oprocentowanie kredytu, który może zaciągnąć analizowane przedsiębiorstwo, wynosi 8%, a firma może uzyskiwać tylko prywatne korzyści z innowacji (nie jest w stanie przechwycić korzyści społecznych), to pożyczony przez nią kapitał finansowy przeznaczony na wydatki ze sfery B+R wyniesie 30 mln zł (punkt E 0 ). To, że przedsiębiorstwo nie może przechwycić korzyści społecznych, nie oznacza oczywiście, że przestają one istnieć. W konsekwencji przy tej samej rynkowej stopie procentowej (8%) optymalna – ze społecznego punktu widzenia – wartość inwestycji w prace badawczo-rozwojowe, wynosi 52 mln zł (punkt E 1 ). Przedsiębiorstwa prywatne rzadko jednak biorą pod uwagę społeczne korzyści związane ze swoją działalnością (ponieważ nie przekładają się one bezpośrednio na dochody właścicieli tych firm), co w konsekwencji prowadzi do sytuacji, w której przedsiębiorstwo przeznaczy na sferę B+R mniej, niż wynosi społecznie optymalny poziom, czyli mniej niż 52 mln zł. Technologia i pozytywne efekty zewnętrzne Przedsiębiorstwo ponosi koszt oprocentowania wykorzystywanego kapitału w wysokości 8%. Jeśli przedsiębiorstwo uzyskuje tylko prywatne korzyści z inwestowania w sferę B+R, to jego krzywą popytu na kapitał finansowy jest zilustrowana linią oznaczoną jako D pryw , a równowaga występuje w punkcie E 0 (popyt na kapitał w kwocie 30 mln zł). Ponieważ działalność badawczo-rozwojowa wiąże się z powstaniem dodatkowych korzyści społecznych, optymalna – z punktu widzenia całej zbiorowości – wartość inwestycji byłaby równa 52 mln zł(punkt E 1 ). Gdyby przedsiębiorstwo mogło przechwycić wszystkie społeczne korzyści z inwestycji dla siebie, popyt na kapitał byłby przedstawiony krzywą D społ , a wartość pożyczonych środków sięgnęłaby 52 mln zł. Popyt na kapitał i stopa zwrotu z inwestycji (kwoty w mln zł) Stopa zwrotu Popyt prywatny (D pryw ) Popyt społeczny (D społ ) 2% 72 84 4% 52 72 6% 38 62 8% 30 52 10% 26 44 Prywatny popyt przedsiębiorstwa na kapitał finansowy (krzywa D pryw ) odzwierciedla zyski osiągane przez przedsiębiorstwo. Jednak inne koncerny farmaceutyczne i inne podmioty z sektora ochrony zdrowia mogą skopiować nowe sposoby leczenia niektórych schorzeń oraz opracować konkurencyjne produkty. Korzyść społeczna związana z powstanie nowego leku lub całej kuracji uwzględnia wartość wszystkich pozytywnych efektów zewnętrznych danej innowacji. Jeśli przedsiębiorstwo byłoby w stanie przejąć dodatkowe korzyści społeczne dla siebie i nie dopuścić do nich innych firm, krzywa popytu przedsiębiorstwa na kapitał finansowy przesunęłaby się do położenia D społ . W efekcie przedsiębiorstwo chciałoby pożyczyć i zainwestować 52 mln zł. Jeśli jednak przedsiębiorstwo otrzymuje tylko 50 groszy z każdego złotego korzyści społecznych, nie wyda dostatecznie dużej sumy na tworzenie nowych technologii, zaś kwota inwestycji w sferę B+R będzie większa niż 30 mln, ale mniejsza niż 52 mln zł. Dlaczego warto inwestować w kapitał ludzki? Działalność inwestycyjna, niezależnie od tego, czy pieniądze wydatkowane są na wybudowanie nowej fabryki, zakup samolotów czy opracowanie nowego leku na raka, wiąże się z akceptacją mniejszego lub większego ryzyka. Wydatkując środki, przedsiębiorstwo nie ma przecież żadnej pewności, że korzyści związane z przeznaczonymi na projekt nakładami zmaterializują się w zakładanej wysokości, ani nawet czy w ogóle jakiekolwiek korzyści związane z konkretną inwestycją się pojawią. (Niektóre zakłady przemysłowe umieszczają obok budynków fabrycznych „cmentarzyska idei”, czyli symboliczne miejsca spoczynku pomysłów, które na etapie inwestycji wydawały się fantastyczne, ale nie przyniosły spodziewanych albo wręcz żadnych korzyści). Podobnie jest z inwestycjami w edukację, czyli w kapitał ludzki. Młode osoby wraz ze swoimi rodzinami przez wiele lat inwestują znaczne ilości czasu i pieniędzy w edukację. Wynika to z faktu, że podzielają one dość powszechne w społeczeństwie przekonanie, że wyższy poziom wykształcenia przyczynia się do zwiększenia przyszłej produktywności i w efekcie pozwala osiągać wyższe zarobki. Czy ta inwestycja w edukację naprawdę się opłaca? Ekonomiści niemal powszechnie twierdzą, że odpowiedź na powyższe pytanie brzmi „tak”. W rozdziale drugim podręcznika, poświęconym wyborom w świecie ograniczonych zasobów), znajdują się dane ilustrujące rosnącą średnią kwotę wynagrodzenia dla różnych poziomów wykształcenia w Polsce. Stopy zwrotu z inwestycji w edukację w Polsce, podobnie jak w krajach UE i Stanach Zjednoczonych, z pewnością są dodatnie. Co więcej, są one uzyskiwane głównie przez pracowników, więc są prywatnymi stopami zwrotu (ang. private rates of return ) z edukacji. Co zyskuje społeczeństwo dzięki inwestycjom w edukację dokonywanym przez konkretną osobę? W końcu jeśli rząd wydaje pieniądze podatników na subsydiowanie publicznego szkolnictwa, społeczeństwo powinno oczekiwać jakiegoś zwrotu z tych wydatków. Ekonomiści, np. George Psacharopoulos, odkryli, że w wielu krajach społeczna stopa zwrotu (ang. social rate of return ) z nauki jest dodatnia. W końcu inwestycje w edukację wiążą się z pozytywnymi efektami zewnętrznymi. Chociaż nie zawsze jest to łatwe do zmierzenia, zdaniem Waltera McMahona pozytywne efekty zewnętrzne edukacji zazwyczaj obejmują lepszy stan zdrowia ludności, niższy poziom przestępczości, czystsze środowisko i bardziej stabilne, demokratyczne rządy. Z uwagi na te właśnie uwarunkowania wiele krajów zdecydowało się wykorzystać pieniądze podatników do subsydiowania szkolnictwa podstawowego, średniego i wyższego. Edukacja w jednoznaczny sposób przynosi korzyści osobie, która decyduje się jak najdłużej kontynuować naukę. Jednak społeczeństwo, w którym większość ludzi jest dobrze wykształcona, także na tym korzysta, z uwagi na wskazane powyżej pozytywne efekty zewnętrzne. Inne przykłady pozytywnych efektów zewnętrznych Chociaż technologia może być najbardziej widocznym przykładem pozytywnego efektu zewnętrznego, nie jest jedynym. Na przykład szczepienia (zarówno te obowiązkowe, z kalendarza dla dzieci, jak i dobrowolne, np. przeciwko koronawirusowi) chronią nie tylko osobę, która przyjęła szczepionkę, ale mają pozytywny efekt uboczny w postaci ochrony innych osób (np. tych, które z uwagi na przeciwwskazania medyczne nie mogą się zaszczepić), korzystających z tzw. odporności populacyjnej. Modernizacja i renowacja (czasami wystarczy po prostu odmalowanie elewacji bądź troska o ogród) kilku domów w sąsiedztwie nie tylko zwiększa wartość tych konkretnych nieruchomości, ale korzystnie wpływa na ceny wszystkich domów w okolicy. W przypadku nowych technologii właściwą reakcją państwa jest wdrażanie takiej polityki w obszarze badań i rozwoju, aby przedsiębiorstwa, które generują pozytywne efekty zewnętrzne, mogły przejąć jak największą część korzyści społecznych. W przypadku szczepionek, np. przeciwko grypie, skuteczną polityką może być zapewnienie subsydiowania (lub wręcz pełnego finansowania) tym osobom, które zdecydują się na szczepienie. przedstawia rynek szczepionek przeciwko grypie. Rynkowa krzywa popytu (D rynk ) odzwierciedla jedynie prywatne korzyści krańcowe ( ang. marginal private benefits , MPB), które zaszczepione osoby uzyskują dzięki szczepionkom (wśród tych korzyści można wskazać przede wszystkim znacznie mniejsze prawdopodobieństwo zachorowania na grypę, a w przypadku choroby jej łagodniejszy przebieg, co oznacza, że zaszczepiona osoba krócej, o ile w ogóle, będzie przebywać na zwolnieniu lekarskim i nie utraci dochodów związanych z wypłatą niepełnego wynagrodzenia). Zakładając, że produkcja szczepionek nie generuje żadnych kosztów ubocznych, rynkowa krzywa podaży jest określona przez krańcowy koszt prywatny (ang. marginal private benefits lub marginal private cost , MPC). Liczba dawek szczepionki przeciw grypie, która stałaby się przedmiotem transakcji rynkowych, jest wyznaczona przez przecięcie MPB i MPC, czyli w punkcie, w którym popyt zrównuje się z podażą. W konsekwencji liczba szczepionek zapewniająca równowagę rynkową kształtuje się na poziomie Q rynk , a rynkowa cena szczepionki wynosi P rynk . Zwróć uwagę, że każdy z potencjalnych klientów porównuje swoją korzyść krańcową z ceną szczepionki i dla części z nich (np. tych, którzy mają relatywnie niską płacę) korzyści z przyjęcia szczepienia są mniejsze niż cena, którą musieliby za nie zapłacić. Jednak tak jak to już wskazaliśmy powyżej, decyzja każdej z osób, które przyjmują szczepionkę, generuje pozytywne efekty zewnętrzne dla całej populacji, zmniejszając prawdopodobieństwo transmisji choroby. Kiedy do prywatnych korzyści krańcowych dodamy te związane z pozytywnymi efektami zewnętrznymi, otrzymamy krańcową korzyść społeczną ( ang. marginal social benefit , MSB) szczepionek przeciw grypie, reprezentowaną przez krzywą D społ . Ponieważ krańcowa korzyść społeczna (MSB) jest większa niż prywatna korzyść krańcowa (MPB), optymalna – ze społecznego punktu widzenia – liczba szczepionek, które powinny zostać zakupione, jest większa niż ta wynikająca z rynkowych krzywych popytu i podaży (Q społ > Q rynk ), co oczywiście oznacza, że ich cena również wzrośnie i będzie równa P społ . Niestety większość z nas podejmując decyzję o szczepieniu, nie bierze pod uwagę pozytywnych efektów zewnętrznych, tak więc wielkość produkcji i konsumpcji szczepionek przeciw grypie będzie zbyt mała ze społecznego punktu widzenia. Jak państwo może zwiększyć produkcję i konsumpcję szczepień do poziomu optymalnego z punku widzenia interesów całego społeczeństwa? Jednym ze sposobów jest zapewnienie subsydium (np. w postaci bonów) każdemu obywatelowi, który chce się zaszczepić. Taki bon działałby jak dodatkowy „dochód”, który można wykorzystać tylko do zakupu szczepionki przeciw grypie. Jeśli wartość bonu byłaby równa dodatkowej korzyści społecznej ze szczepionki, produkcja w równowadze rynkowej zwiększyłaby się do poziomu Q społ , a cena do poziomu P społ , czyli do punktu zrównania się MSB z MSC. Producenci szczepionek na grypę otrzymywaliby cenę P społ za szczepionkę, a konsumenci mogliby zrealizować bon i płaciliby tylko cenę P subs . Przy takiej polityce subsydiowania przez państwo liczba szczepień przeciw grypie byłaby optymalna ze społecznego punktu widzenia. Rynek szczepionek przeciw grypie z uwzględnieniem dodatkowych korzyści (pozytywnych efektów zewnętrznych) Krzywa popytu rynkowego nie uwzględnia pozytywnych efektów zewnętrznych szczepień przeciwko grypie, więc produkcja będzie wynosiła tylko Q rynk . Jest to nieefektywna wielkość produkcji, ponieważ krańcowa korzyść społeczna przewyższa krańcowy koszt społeczny. Jeśli państwo zapewni konsumentom subsydium z tytułu zakupu szczepionki, a kwota subsydium będzie równa krańcowej korzyści społecznej pomniejszonej o krańcową korzyść prywatną, wówczas liczba szczepień wzrośnie do wolumenu optymalnego społecznie (Q społ ). Kluczowe pojęcia i podsumowanie Konkurencja rynkowa zachęca do wdrażania innowacji. Jeśli jednak nowe technologie można łatwo kopiować, pierwotny innowator traci motywację do dalszego inwestowania w badania i rozwój (B+R). Nowe technologie często wywołują pozytywne efekty zewnętrzne, co oznacza, że opracowanie nowej technologii przynosi korzyści także innym przedsiębiorstwom i całemu społeczeństwu. Społeczna korzyść wynikająca z innowacji, uwzględniająca efekty zewnętrzne, przewyższa zazwyczaj prywatną korzyść dla podmiotu, który stworzył i wdrożył nową technologię. Gdyby innowatorzy mogli przejąć większą część korzyści społecznych, mieliby większą motywację do inwestowania w sferę B+R. Pytania Self-Check Czy rynkowa krzywa popytu uwzględnia pozytywne efekty zewnętrzne? Odpowiedź uzasadnij. Nie. Rynkowa krzywa popytu uwzględnia tylko prywatne korzyści dla konsumentów. Pozytywne efekty zewnętrzne to korzyści uzyskiwane przez strony trzecie, a więc korzyści społeczne, które nie są ujmowane przez rynkową krzywą popytu (krzywą korzyści prywatnych). Załóżmy, że inwestycje firmy Samsung w badania i rozwój urządzeń cyfrowych zwiększyły zyski przedsiębiorstwa o 20%. Czy jest to korzyść prywatna, czy społeczna? Oczywiście firma Samsung uzyskuje korzyści z inwestycji, więc 20-procentowy wzrost zysków to korzyść prywatna. Jeśli Samsung nie będzie w stanie przejąć wszystkich korzyści, np. dlatego, że inne firmy szybko skopiują i wyprodukują substytuty jego produktów, wówczas inwestycja Samsunga przyniesie korzyści społeczne. Pracownicy pewnego przedsiębiorstwa skupują od ludzi przedmioty, które firma może później odsprzedać lub poddać recyklingowi, a które w przeciwnym wypadku trafiłyby do śmieci. Jakie korzyści będą większe: prywatne czy społeczne? Kiedy przedsiębiorstwo kupuje coś w celu odsprzedaży, korzysta na tym zarówno dane przedsiębiorstwo, jak i podmiot sprzedający. Gdyby było inaczej, strony nie dokonałyby transakcji. Jednak transakcja ta zmniejsza również ilość wyrzucanych śmieci, co obniża koszty ponoszone przez gospodarstwa domowe i/lub miasto. Tak więc korzyści społeczne są większe niż korzyści prywatne. Pytania Review W jaki sposób inwestycje przedsiębiorstw w badania i rozwój wywołują pozytywne efekty zewnętrzne? Czy popyt na kredyty i inwestycje w B+R będzie wyższy, czy niższy przy braku pozytywnych efektów zewnętrznych? Pytanie Critical Thinking Czy przedsiębiorstwu można zagwarantować uzyskanie wszystkich korzyści społecznych związanych z wdrożeniem do sprzedaży nowego wynalazku? Odpowiedź uzasadnij. Bibliografia Arias, Omar and Walter W. McMahon. “Dynamic Rates of Return to Education in the U.S.” Economics of Education Review . 20, 2001. 121–138. Biography.com. 2015. “Alan Turing.” Accessed April 1, 2015. http://www.biography.com/people/alan-turing-9512017. Canty Media. 2015. “The World: Life Expectancy (2015) – Top 100+.” Accessed April 1, 2015. http://www.geoba.se/population.php?pc=world&type=15. Hyclak, Thomas, Geraint Johnes, and Robert Thornton. Fundamentals of Labor Economics. Boston: Houghton Mifflin Company, 2005. McMahon, Walter. Education and Development: Measuring the Social Benefits. Oxford: Oxford University Press, 2000. National Institute of Health. 2015. “Global Competitiveness – The Importance of U.S. Leadership in Science and Innovation for the Future of Our Economy and Our Health.” Accessed April 1, 2015. http://www.nih.gov/about/impact/impact_global.pdf. National Science Foundation. 2013. “U.S. R&D Spending Resumes Growth in 2010 and 2011 but Still Lags Behind the Pace of Expansion of the National Economy.” Accessed April 1, 2015. http://www.nsf.gov/statistics/infbrief/nsf13313/. Psacharopoulos, George. “Returns to Investment in Education: A Global Update.” World Development 22, 1994. 1325–1343. Salientes-Narisma, Corrie. “Samsung Shift to Innovative Devices Pay Off.” Inquirer Technology . Accessed May 15, 2013. http://technology.inquirer.net/23831/samsungs-shift-to-innovative-devices-pays-off. pozytywne efekty zewnętrzne (ang. positive externalities or external benefits ) korzystne efekty uboczne wynikające z działalności osoby fizycznej, przedsiębiorstwa lub państwa uzyskiwane bezpłatnie przez strony trzecie dodatnie efekty zewnętrzne (ang. positive externalities or external benefits ) patrz: pozytywne efekty zewnętrzne korzyści zewnętrzne (ang. positive externalities or external benefits ) patrz: pozytywne efekty zewnętrzne korzyści prywatne (ang. private benefits ) korzyści, jakie uzyskuje osoba konsumująca dobro lub usługę; także korzyści uzyskiwane przez przedsiębiorstwo z wdrożenia nowego produktu lub technologii prywatna stopa zwrotu (ang. private rate of return ) stopa zwrotu uzyskiwana przez konkretną osobę lub podmiot, związana z wykorzystaniem jakiegoś zasobu, np. odsetki z lokaty bankowej korzyść społeczna (ang. social benefit ) suma korzyści prywatnych i korzyści związanych z istnieniem pozytywnych efektów zewnętrznych społeczna stopa zwrotu (ang. social rate of return ) stopa zwrotu uzyskiwana przez społeczeństwo w wyniku decyzji o konkretnym wykorzystaniu jakiegoś zasobu, np. zaangażowaniu środków publicznych w finansowanie edukacji", "section": "Dlaczego sektor prywatny nie inwestuje dostatecznych środków w innowacje", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Dobra publiczne Po przeczytaniu tego podrozdziału będziesz w stanie: Zidentyfikować dobra publiczne w oparciu o brak możliwości wykluczenia z ich konsumpcji i jej nierywalizacyjny charakter Wyjaśnić „problem gapowicza” Wskazać na źródła finansowania produkcji dóbr publicznych Chociaż nowe technologie tworzą pozytywne efekty zewnętrzne, dzięki którym nawet połowa korzyści społecznych związanych z powstającymi wynalazkami przenosi się na podmioty inne niż ich twórcy, wynalazcy i przedsiębiorcy zamieniający je w możliwe do sprzedaży dobra lub usługi nadal otrzymują pewien zwrot z swoich inwestycji. Może się jednak zdarzyć i tak, że pozytywne efekty zewnętrzne związane z konkretnym produktem są tak rozległe, że prywatne przedsiębiorstwa nie mogą oczekiwać przejęcia na wyłączność jakichkolwiek korzyści społecznych. Takie dobra lub usługi nazywamy dobrami publicznymi (ang. public goods ). Najczęściej przywoływanym w podręcznikach przykładem dobra publicznego są wydatki na obronę narodową. Jednak podobnymi cechami charakteryzować się będzie również latarnia morska i pokaz fajerwerków organizowany przez lokalne władze z okazji dni miasta. Zacznijmy od zdefiniowania cech dobra publicznego i omówienia, dlaczego te własności utrudniają lub wręcz uniemożliwiają prywatnym firmom dostarczanie dóbr publicznych. W kolejnym kroku zaś wyjaśnimy, jak państwo może rozwiązać ten problem. Definicja dobra publicznego Ekonomiści mają ściśle określoną definicję dobra publicznego i – co warto podkreślić szczególnie mocno – nie wszystkie dobra i usługi finansowane ze środków publicznych spełniają tę definicję. Aby zrozumieć cechy dobra publicznego, najpierw rozważmy zwykłe dobro prywatne, takie jak kawałek pizzy. Kawałek pizzy charakteryzuje się tym, że może go zjeść tylko jedna osoba. Jeśli zje go Lucyna, nie może tego zrobić Ludwik. I na odwrót. Oczywiście mogą się tym kawałkiem pizzy podzielić, ale jeśli konkretny kęs zostanie połknięty przez Ludwika, Lucyna nie będzie go już w stanie włożyć do ust. Dodatkowo, kawałek pizzy to produkt łatwy do zidentyfikowania i wyodrębnienia. Kupując kawałek pizzy, łatwo stwierdzić, co w istocie nabywamy i nikt, kto nie zapłaci za pizzę, nie może wejść w jej posiadanie (chyba że dostanie ją od innej osoby, ale ona przecież wcześniej musiała za placek zapłacić). Dobra publiczne natomiast charakteryzują się dwiema cechami, które sprawiają, że ich konsumpcja ma charakter całkowicie odmienny od zjedzenia kawałka pizzy. Ekonomiści mówią, że w kontekście dóbr publicznych nie ma możliwości wykluczenia kogokolwiek z ich konsumpcji, zaś sama konsumpcja ma nierywalizacyjny charakter. Brak możliwości wykluczenia z konsumpcji (ang. non-excludable ), oznacza, że nie da się (lub jest to tak kosztowne, że aż nieracjonalne) zabronić komukolwiek korzystania z danego dobra lub usługi. Jeśli Ludwik kupi dobro prywatne, takie jak ostatni kawałek pizzy w uczelnianej stołówce, może wykluczyć innych, np. Lucynę, z jedzenia tej pizzy. Po prostu zje ten konkretny kawałek. Jeżeli jednak państwo zapewnia obronę narodową, to obejmuje ona wszystkich. Nawet jeśli zdecydowanie nie zgadzasz się z polityką obronną swojego kraju lub z wielkością wydatków na obronę, siły zbrojne twojej ojczyzny nadal cię chronią. Nie możesz w żaden sposób zrezygnować z tej ochrony, a armia i flota nie mogą chronić wszystkich innych obywateli, poza tobą. Drugą cechą dobra publicznego jest nierywalizacyjny charakter konsumpcji (ang. non-rival ). Oznacza to, że gdy jedna osoba korzysta z dobra publicznego, inne również mogą z niego korzystać i nie ma to żadnego negatywnego wpływu na użyteczność któregokolwiek z konsumentów. W przypadku dobra prywatnego, np. pizzy, tak nie jest. Jeśli Ludwik zje pizzę, Lucyna zjeść jej nie może, czyli te dwie osoby są rywalami w konsumpcji. W przypadku dobra publicznego, np. obrony narodowej, konsumpcja obrony narodowej przez Ludwika nie zmniejsza ilości dobra pozostawionej Lucynie, więc w kontekście tego dobra publicznego rywalizacja się nie pojawia. Warto zwrócić uwagę, że istnieją dobra charakteryzujące się tylko jedną cechą dobra publicznego. Ekonomiści nazywają je mieszanymi dobrami publicznymi. Pomyśl o płatnych kanałach telewizyjnych. Przecież charakteryzują się one nierywalizacyjną konsumpcją. Jeśli Ludwik ogląda mecz lub odcinek serialu na takim kanale, bez żadnego uszczerbku może to zrobić również Lucyna. Niemniej w wypadku płatnego kanału telewizyjnego istnieje stosunkowo łatwy sposób wykluczenia potencjalnych użytkowników z ich konsumpcji. Tylko ci, którzy opłacili abonament, mogą się cieszyć filmami i relacjami sportowymi. Z drugiej strony istnieją też dobra, których konsumpcja ma charakter rywalizacyjny, ale nie ma możliwości technicznych pozwalających kogokolwiek z ich konsumpcji wykluczyć. Pomyśl o usługach oferowanych przez straż pożarną. Jeśli w mieście wybuchnie więcej niż jeden pożar, strażacy nie będą mogli od razu pojawić się przy każdym. Będą musieli wybrać, który zaczną gasić jako pierwszy. Nie ma natomiast możliwości, aby nie gasić pożaru w mieszkaniu kogoś, kto nie uiścił opłaty za usługi strażaków. Przecież ogień natychmiast przeniósłby się na mieszkania tych właścicieli, którzy stosowny abonament sobie wykupili. Aby temu zapobiec, strażacy będą gasili każdy pożar. Specyficzne cechy dóbr publicznych oznaczają, że większość z nich musi być dostarczana (lub przynajmniej finansowana) przez państwo. Tak jak to już zostało wskazane powyżej, usługi oferowane przez straż pożarną i policję muszą być finansowane przez państwo (władze lokalne), gdyż nie ma możliwości, aby niektórzy ludzie w sąsiedztwie mieli ochronę przed pożarami i włamaniami do ich domów, podczas gdy inni nie byliby chronieni w ogóle. Ochrona niektórych osób oznacza również ochronę innych. Pozytywne efekty zewnętrzne i dobra publiczne to pojęcia ściśle powiązane. Dobra finansowane przez państwo, takie jak ochrona policyjna lub szczepienia, wywołują pozytywne efekty zewnętrzne. Jednak nie wszystkie dobra i usługi, które generują silne efekty zewnętrzne, są dobrami publicznymi. Zarówno edukacja, jak i ochrona zdrowia to dobra prywatne, w ich kontekście – co w Polsce szczególnie łatwo zrozumieć – występuje zarówno konsumpcja rywalizacyjna, jak i łatwość wykluczenia z konsumpcji tych, którzy za dane dobro lub usługę nie zapłacą (dzięki temu działają prywatne szkoły podstawowe i uczelnie wyższe). Niemniej w ich wypadku pozytywne efekty zewnętrze są tak silne, że społeczeństwo decyduje się na ich finansowanie ze środków publicznych. Prywatne firmy mogą inwestować w nowe wynalazki, takie jak iPhone firmy Apple , i czerpać z nich zyski, jakkolwiek w dalszym ciągu ich powstanie będzie generować korzyści społeczne (w końcu wymyślenie przez Apple smartfona umożliwiło jego produkcję innym firmom technologicznym, co zwiększyło dostępność tego urządzenia). Patenty są próbą przekształcenia nowych wynalazków w dobra prywatne, z konsumpcją o charakterze rywalizacyjnym i możliwością wykluczenia z korzystania z tych dóbr. Dzięki temu w czasie ochrony patentowej nikt, poza wynalazcą, nie będzie mógł czerpać korzyści z ich produkcji i sprzedaży. Problem gapowicza w przypadku dóbr publicznych Prywatnym firmom trudno jest wytwarzać dobra publiczne i zarabiać na ich sprzedaży. Jeśli w przypadku danego dobra lub usługi nie ma możliwości wykluczenia kogokolwiek z jego konsumpcji (lub generuje to gigantyczne koszty), jak np. w przypadku obrony narodowej, to w jaki sposób przedsiębiorstwo może obciążyć ludzi opłatą za dostarczony produkt? Odwiedź niniejszą stronę internetową , aby przeczytać o związku między problemem gapowicza a „złą muzyką”. Kiedy ludzie podejmują decyzje o zakupie dobra publicznego, może pojawić się problem gapowicza (ang. free rider problem ). Potencjalni konsumenci mają bowiem silną motywację, aby pozwolić innym płacić za dobro publiczne, a następnie korzystać z tego dobra „na gapę”, czyli nie wnosząc za nie stosownej opłaty (tak jak gapowicze nie płacą za korzystanie z komunikacji miejskiej, która jest w części lub w całości finansowana wpływami z biletów). Problem gapowicza możemy wyrazić w kategoriach gry w „dylemat więźnia”, którą omawialiśmy w . Należy jednak zwrócić uwagę, że strategie graczy w przypadku płacenia za dobra publiczne będą nieco inne niż podejście uczestników kartelu. Zobacz poniższą . Dylemat więźnia a dobro publiczne Załóżmy, że dwie osoby, Renata i Sebastian, rozważają zakup dobra publicznego. Każda z nich musi się zmierzyć z pewnym dylematem. Krok 1. Renata rozumuje w ten sposób: Jeśli Sebastian nie zapłaci za dobro, byłabym głupia, gdybym ja za nie zapłaciła. Jeśli jednak Sebastian za nie zapłaci, ja już mogę nie płacić. Krok 2. A zatem niezależnie od decyzji podjętej przez Sebastiana, powinnam zdecydować się na niepłacenie (strategię egoistyczną) i mieć nadzieję na to, że zostanę gapowiczem, który skorzysta z dobra publicznego opłaconego przez Sebastiana. Krok 3. Sebastian dochodzi do tych samych wniosków. Krok 4. W konsekwencji dobro publiczne nigdy nie zostanie wytworzone i nie ma szans na przejście od strategii egoistycznych do strategii współpracy, co byłoby w rzeczywistości najlepsze dla Renaty i Sebastiana. Rola państwa w finansowaniu dóbr publicznych Kluczowym elementem w zapewnieniu finansowaniu dóbr publicznych jest znalezienie sposobu na wymuszenie wniesienia opłaty przez wszystkich beneficjentów, co zapobiegnie pojawieniu się problemu gapowicza. Jednym z takich sposobów może być finansowanie dóbr publicznych poprzez system podatkowy. Opłacanie podatków ma charakter przymusowy, w związku z czym – jeśli społeczeństwo zdecyduje się na finansowanie jakiegoś dobra publicznego z podatków – może wyeliminować problem gapowicza, nakładając na wszystkich swoich członków prawny obowiązek wnoszenia opłat. Jednak podatki i wymuszane przez państwo składki nie są jedynym sposobem finansowania dóbr publicznych. W niektórych przypadkach wytwarzanie dobra publicznego może odbywać się dzięki mechanizmowi rynkowemu. Pomyśl na przykład o programie radiowym lub telewizyjnym. Jest to dobro, z konsumpcji którego nie da się nikogo wykluczyć, ponieważ gdy sygnał jest nadawany, każdy posiadacz radia czy telewizora (lub też ich technologicznych ekwiwalentów, np. telefonu komórkowego lub komputera) może go odebrać. Konsumpcja programu radiowego i telewizyjnego ma również nierywalizacyjny charakter, ponieważ słuchacze nie przeszkadzają sobie wzajemnie w odbiorze konkretnych audycji. Ze względu na te cechy praktycznie niemożliwe jest bezpośrednie obciążenie konsumentów opłatami za słuchanie i oglądanie konwencjonalnych programów radiowych i telewizyjnych. Niemniej takie stacje i audycje wciąż istnieją. Radio i telewizja znalazły inny sposób na uzyskiwanie przychodów. Dzieje się to poprzez sprzedaż reklam, co jest pośrednim obciążaniem opłatą słuchaczy i widzów, w postaci zabierania im czasu. Ostatecznie konsumenci, którzy kupują reklamowane towary, płacą również za programy radiowe i telewizyjne, ponieważ przedsiębiorstwa wytwarzające reklamowane produkty wliczają opłaty za emisję reklam w koszty produkcji. Oczywiście w dalszym ciągu niektóre stacje telewizyjne, takie jak działające w Polsce Canal+ i HBO, pobierają regularną opłatę abonamentową za emisję programu bez reklam. Innym sposobem prywatnego finansowania dóbr publicznych jest działalność podmiotów, które korzystają na pojawieniu się konkretnego dobra lub usługi w tak istotny sposób, że opłaca się im je sfinansować, dzięki czemu inni potencjalni użytkownicy nie będą musieli wnosić żadnej opłaty. Rozważmy przykład dużego armatora, którego statki przepływają przez szczególnie niebezpieczny akwen, w związku z czym ponosi on wysokie koszty ubezpieczenia jego floty. Jeśli wybudowanie i opłacanie funkcjonowania radiolatarni na tym akwenie poprawi bezpieczeństwo w znaczący sposób, koszt ubezpieczenia zmniejszy się o wartość większą niż wydatki poniesione na budowę i eksploatację latarni morskiej, Armator zapewne zainwestuje środki w poprawę bezpieczeństwa, bo mu się to opłaci. Wszyscy inni użytkownicy tego akwenu będą natomiast cieszyć się poprawą bezpieczeństwa całkowicie za darmo. Niektóre dobra publiczne mają częściowo charakter świadczenia oferowanego bez konieczności wniesienia opłaty za użytkowanie, a częściowo wymagają uiszczenia takiej opłaty. Przykładem niech będzie publiczny park miejski, z którego można korzystać bezpłatnie, ale państwo (władze lokalne) pobiera opłatę za parkowanie samochodu, rezerwację niektórych terenów piknikowych lub możliwość sprzedaży żywności i napojów na przenośnym stoisku. Przeczytaj niniejszy artykuł , aby dowiedzieć się, za co według ekonomistów państwo powinno płacić. W innych przypadkach można użyć nacisków społecznych i osobistych apeli, a nie siły prawa, aby zmniejszyć liczbę gapowiczów i zebrać środki na sfinansowanie dobra publicznego. Na przykład sąsiedzi czasami tworzą stowarzyszenia, aby realizować projekty upiększające okolicę lub patrolować teren po zmroku w celu zmniejszenia przestępczości. W krajach o niskich dochodach, gdzie presja społeczna silnie zachęca osoby utrzymujące się z pracy na roli do udziału we wspólnych inicjatywach, okoliczni rolnicy mogą razem pracować nad dużym projektem nawadniania terenu, na czym zyskują wszyscy. Możemy postrzegać wiele działań związanych ze zbieraniem funduszy, w tym zbiórkę pieniędzy na lokalne organizacje charytatywne oraz na szkoły i uniwersytety, jako próbę wykorzystania presji społecznej do ograniczenia efektu gapowicza i uzyskania rezultatu, który przyniesie korzyści ogółowi. Wspólne zasoby i „tragedia wspólnego pastwiska” Tak jak to już zaznaczyliśmy wcześniej, poza czystymi dobrami publicznymi (miejski park) i dobrami prywatnymi (kawałek pizzy) możemy również mówić o mieszanych dobrach publicznych. Charakteryzują się one rywalizacyjnym charakterem konsumpcji, ale nie istnieją sposoby pozwalające wykluczyć kogokolwiek z konsumpcji takiego dobra, jeśli jest ona w jego kontekście w ogóle dopuszczalna. Przykładem niech będą ławice ryb (np. dorsza) na atlantyckich wodach międzynarodowych. Ponieważ każdy trawler rybacki ma prawo poławiać dorsza na wodach międzynarodowych, rybę tę możemy traktować jako dobro, z konsumpcji którego nikogo nie da się wykluczyć. Jednocześnie połowy mają charakter rywalizacyjny. Każda ryba wyłowiona np. przez statek portugalski nie zostanie złapana przez rybaków z Francji lub Kanady. Dobra charakteryzujące się rywalizacyjną konsumpcją i brakiem efektywnych sposobów wykluczania z niej ekonomiści nazywają wspólnymi zasobami lub dobrami wspólnej puli (ang. common resources ). Ponieważ wody międzynarodowe na Oceanie Atlantyckim są dostępne dla wszystkich rybaków, a każdy złowiony dorsz nie może być jednocześnie pozyskany przez kogoś innego, mają oni skłonność do nadmiernego wykorzystywania wspólnych zasobów, takich jak populacja tej smakowitej ryby. Problem nadmiernego wykorzystywania wspólnych zasobów nie jest nowy. Ekolog Garret Hardin w artykule z 1968 r. opublikowanym w czasopiśmie Science nazwał go „tragedią wspólnego pastwiska” (ang. Tragedy of the Commons ). Ekonomiści postrzegają to jako problem praw własności. Ponieważ nikt nie jest właścicielem oceanu ani ryb, które przemieszczają się swobodnie w jego wodach, nikt nie ma motywacji, aby chronić te zasoby i odpowiedzialnie je pozyskiwać. W celu rozwiązania problemu nadmiernych połowów morskich ekonomiści zazwyczaj opowiadają się za prostymi metodami, takimi jak licencje, limity połowów i skracanie ich sezonów. Kiedy populacja jakiegoś gatunku spada do krytycznie małych rozmiarów, rządy nawet zakazują połowów, dopóki biolodzy nie stwierdzą, że powróciła ona do poziomu gwarantującego przeżywalność. Kluczowe pojęcia i podsumowanie Dobro publiczne ma dwie kluczowe cechy: jego konsumpcja ma charakter nierywalizacyjny, a ponadto nikogo nie da się z niej wykluczyć, jako że jest to fizycznie niemożliwe lub tak kosztowne, że nieopłacalne (taniej jest pozwolić wszystkim chętnym na konsumpcję, niż tworzyć mechanizmy ograniczające dostęp dla tych, którzy nie wniosą opłaty). Natomiast nierywalizacyjny charakter konsumpcji oznacza, że gdy jedna osoba korzysta z danego dobra, nie ogranicza to jego użyteczności dla innych konsumentów. Rynki prywatne zazwyczaj nie dostarczają dóbr publicznych, ponieważ gapowicze będą próbowali konsumować dobro publiczne bez wnoszenia stosownej opłaty. Problem gapowicza można przezwyciężyć, wymuszając na wszystkich konsumentach zapłatę za użytkowanie dobra, np. poprzez przymus podatkowy wprowadzany przez państwo lub presję społeczną ze strony sąsiadów lub innej grupy odniesienia (koledzy z pracy, rodzina, znajomi). W pewnych sytuacjach również prywatne przedsiębiorstwa mogą dostarczać dobra publiczne (ogólnodostępne audycje telewizyjne i radiowe), tworząc alternatywne sposoby płacenia za wytwarzane dobra. Pytania Self-Check Z konsumpcji których z poniższych dóbr i usług nie da się nikogo wykluczyć? ochrona policyjna usługi streamingowe drogi szkolnictwo podstawowe usługi telefonii komórkowej Gdy obywatele są chronieni przed przestępcami dzięki patrolom policji pilnującym konkretnej okolicy, trudno jest kogoś wyłączyć z tej ochrony. Usługi streamingowe są – co do zasady – sprzedawane w płatnym abonamencie, więc tutaj wykluczyć z konsumpcji nie tylko się da, ale jest to relatywnie tanie. Po wybudowaniu drogi trudno jest wykluczyć ludzi z jej użytkowania (nie dotyczy to jednak dróg płatnych). Szkolnictwo pozostawia bardzo wiele możliwości wykluczania z konsumpcji (wstęp do budynku tylko po opłaceniu czesnego). Firmy sprzedające usługi telefonii komórkowej wykluczają z użytkowania tych, którzy nie płacą. Czy w wypadku poniższych dóbr pojawia się konsumpcja nierywalizacyjna? kawałek pizzy laptop radio publiczne lód w waflu Dwie osoby nie mogą jednocześnie zjeść tego samego kawałka pizzy – konsumpcja rywalizacyjna. Dwie osoby nie mogą jednocześnie korzystać z jednego laptopa – j. w. Każdy człowiek z odbiornikiem radiowym może słuchać radia publicznego, więc wiele osób może to robić w tym samym czasie – konsumpcja ma charakter nierywalizacyjny. Tak ja w przypadku pizzy lód może zjeść tylko jedna osoba, więc jest to dobro charakteryzujące się konsumpcją rywalizacyjną. // Moim zdaniem przykład do usunięcia – co do istoty identyczny z pierwszym. Pytania Review Jakie są dwie kluczowe cechy dóbr publicznych? Wymień dwa przykłady dóbr publicznych i wyjaśnij, dlaczego za takie je uważasz. Wyjaśnij, na czym polega problem gapowicza. Uzasadnij konieczność finansowania przez państwo obrony narodowej. Pytania Critical Thinking W jaki sposób stacje telewizji publicznej, takie jak TVP Info, próbują przezwyciężyć problem gapowicza? Dlaczego mecz ekstraklasy transmitowany przez stację Canal+ jest mieszanym dobrem publicznym, a mecz transmitowany przez TVP Sport lub Polsat jest dobrem publicznym? Podaj dwa przykłady dóbr/usług klasyfikowanych jako i prywatne, mimo że są finansowane ze środków publicznych (z podatków). Programy radiowe, system syren alarmowych, latarnie morskie i uliczne są dobrami publicznymi, ponieważ spełniają oba kryteria charakterystyczne dla tej grupy dóbr. Dlaczego zatem państwo finansuje syreny ostrzegające przed zagrożeniami, latarnie uliczne i morskie, a RMF Fm i Radia Zet już nie? Zadania Basia i Sylwia to siostry, które dzielą wspólną sypialnię. W ich pokoju dość łatwo powstaje bałagan, a rodzice zawsze każą im zrobić tam porządek. Jeśli Basia i Sylwia sprzątają sypialnię razem, zajmuje im to 2 godziny, po których ponownie cieszą się czystym pokojem. Jeśli Basia nie sprząta, a Sylwia robi to sama, poświęca na to 5 godzin, po których czuje się wykończona. Gdy sprząta tylko Basia, jej także zajmuje to 5 godzin i fizycznie ją wyczerpuje. Jeśli obie dziewczyny nie sprzątają, mają brudną sypialnię. Która sytuacja jest najkorzystniejsza z punktu widzenia Basi i Sylwii? Jaka jest najgorsza? (Tabela przedstawiająca wyniki gry w dylemat więźnia pomoże ci sformułować odpowiedź). Wiadomo skądinąd, że najkorzystniejsza – z punktu widzenia dziewczynek – sytuacja jest również najmniej prawdopodobna, a siostry wybiorą najpewniej najgorsze dla siebie rozwiązanie. Wyjaśnij, co w rozumowaniu Basi i Sylwii doprowadzi je do takiego właśnie wyboru. Bibliografia Cowen, Tyler. Average Is Over: Powering America Beyond the Age of the Great Stagnation . Dutton Adult, 2013. Hardin, Garret. “The Tragedy of the Commons.” Science 162 (3859): 1243–48 (1968). problem gapowicza (ang. free rider ) sytuacja, w której pojawiają się osoby zamierzające skorzystać z dobra publicznego bez wnoszenia stosownej opłaty; jeśli takich gapowiczów będzie zbyt wielu, dobro publiczne może nigdy nie zostać wytworzone brak możliwości wykluczenia z konsumpcji (ang. non excludable ) sytuacja, gdy wykluczenie kogoś z korzystania z danego dobra lub usługi jest niemożliwe lub na tyle kosztowne, że nie opłaca się wprowadzać takich rozwiązań; jedna z najważniejszych przyczyn problemu gapowicza nierywalizacyjny charakter konsumpcji (ang. nonrivalrous ) sytuacja, w której konsumpcja danego dobra lub usługi przez jedną osobę nie ogranicza możliwości wykorzystania go przez inne osoby (nie zmniejsza jego użyteczności) dobro publiczne (ang. public good ) dobro (lub usługa) cechujące się konsumpcją nierywalizacyjną i jednocześnie brakiem możliwości wykluczenia z niej kogokolwiek; z tego powodu produkcja takiego dobra zazwyczaj nie jest finansowana przez przedsiębiorstwa prywatne", "section": "Dobra publiczne", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Fuzje przedsiębiorstw Po przeczytaniu tego podrozdziału będziesz w stanie: Obliczać współczynniki koncentracji Policzyć Indeks Herfindahla-Hirschmana (HHI) Ocenić skuteczność regulacji antymonopolowych W poprzednich rozdziałach dotyczących teorii przedsiębiorstwa doszliśmy do trzech ważnych wniosków. Po pierwsze – konkurencja zapewniająca konsumentom niższe ceny i szeroką gamę innowacyjnych produktów jest korzystna dla konsumentów i społeczeństwa. Po drugie – produkcja na dużą skalę może znacznie obniżyć koszty przeciętne. I wreszcie po trzecie – rynki w świecie rzeczywistym rzadko są doskonale konkurencyjne. W rezultacie politycy gospodarczy muszą określić, jak bardzo należy interweniować, aby zrównoważyć potencjalne korzyści wynikające z dużej skali produkcji z potencjalną utratą konkurencji, która może wystąpić przy zwiększaniu się rozmiarów przedsiębiorstw, zwłaszcza poprzez fuzje. Fuzja (ang. merger ) przedsiębiorstw ma miejsce wtedy, gdy dwa dotychczas odrębne podmioty łączą się w jeden. Kiedy jedna firma kupuje inną, jest to przejęcie (ang. acquisition ). Przejęcie nie zawsze prowadzi do likwidacji wykupionego podmiotu – przejęte przedsiębiorstwo może kontynuować działalność pod dotychczasową nazwą. Zarówno fuzje, jak i przejęcia skutkują tym, że dwa, dotychczas odrębne przedsiębiorstwa uzyskują tych samych właścicieli, a zatem fuzje i przejęcia najczęściej analizuje się łącznie. Wyspecjalizowane urzędy działające na poziomie państw narodowych (w Polsce funkcję tę pełni Urząd Ochrony Konkurencji i Konsumentów) i organizacji międzynarodowych (dla całej UE jest to Komisja Europejska) rezerwują sobie prawo do zatwierdzania fuzji i przejęć, co oznacza, że mogą zgłosić wobec nich veto. Oczywiście, w gospodarce rynkowej przedsiębiorstwa mają swobodę dokonywania wyborów. Prywatne firmy generalnie mogą w sposób dowolny: zwiększać lub zmniejszać produkcję ustalać ceny otwierać, sprzedawać i zamykać zakłady produkcyjne lub punkty działalności zatrudniać i zwalniać pracowników rozpoczynać lub kończyć sprzedaż konkretnych produktów Jeśli właściciele przedsiębiorstwa chcą nabyć inną firmę, sprzedać swoją własność obcemu podmiotowi lub połączyć się z innym przedsiębiorstwem, posunięcia te wchodzą w zakres przywołanej wcześniej swobody w dokonywaniu wyborów ekonomicznych. Oczywiście właściciele i kadra kierownicza przedsiębiorstw prywatnych, podobnie jak wszyscy ludzie, czasami popełniają błędy. Mogą zdecydować się na zamkniecie rentownej fabryki. Mogą zacząć sprzedawać produkt, który doprowadzi ich przedsiębiorstwo do bankructwa lub narazi na poważne straty. Fuzja dwóch firm może czasami prowadzić do starcia osób o różnych charakterach, co pogarsza sytuację nowego podmiotu w stosunku do status quo ante . Nie zmienia to jednak faktu, iż gospodarka rynkowa opiera się na przekonaniu, że to właśnie właściciele przedsiębiorstw i wynajęci przez nich menedżerowie, a nie państwo, są w stanie najlepiej ocenić, czy ich działania doprowadzą do przyciągnięcia nowych klientów lub osiągnięcia wyższego zysku. Współczynnik koncentracji Urzędy regulacyjne od dziesięcioleci zmagały się z problemem pomiaru stopnia siły monopolowej przedsiębiorstw działających w danej gałęzi gospodarki. Początkowo stosowano współczynniki koncentracji (ang. concentration ratio ), które mierzą łączny udział w rynku (lub procent całkowitej sprzedaży gałęzi) największych przedsiębiorstw na nim działających (zwykle od czterech do ośmiu). Aby dowiedzieć się, w jaki sposób rosnąca koncentracja rynku może przekładać się na nieefektywność gospodarowania, zapoznaj się z . Załóżmy, że w pewnym mieście funkcjonuje 18 firm naprawiających szyby samochodowe, z udziałami w rynku przedstawionymi w . Udział w rynku (ang. market share ) to wielkość sprzedaży danego przedsiębiorstwa odniesiona do całkowitej sprzedaży gałęzi. Współczynnik koncentracji czterech przedsiębiorstw obliczamy, dodając udziały w rynku czterech największych firm: w tym przypadku 16 + 10 + 8 + 6 = 40 . Powyższy współczynnik koncentracji nie jest szczególnie wysoki, ponieważ cztery największe firmy dają łącznie mniej niż połowę produkcji gałęzi. Obliczanie współczynnika koncentracji na podstawie udziałów w rynku Jeżeli udziały w rynku usług naprawy szyb samochodowych wynoszą: Przedsiębiorstwo Naprawa Gładka Jak Po Szkle 16% Przedsiębiorstwo Doktor Szyba 10% Przedsiębiorstwo Twoja Szyba 8% 7 przedsiębiorstw, z których każde ma 6% udziału w rynku 42% 8 przedsiębiorstw, z których każde ma 3% udziału w rynku 24% to współczynnik koncentracji 4 przedsiębiorstw wynosi 16 + 10 + 8 + 6 = 40. Wykorzystanie współczynnika koncentracji pozwala ocenić to, na ile ewentualne decyzje podejmowane przez urzędy antymonopolowe są oparte na racjonalnych przesłankach. Na przykład gdyby doszło do połączenia dwóch najmniejszych firm na rynku usług naprawy szyb samochodowych w naszym hipotetycznym mieście, współczynnik koncentracji czterech przedsiębiorstw nie zmieniłby się. Oznacza to, że nie powinno być większych obaw, że intensywność konkurencji na rynku znacznie się zmniejszy. Trudno byłoby zatem obronić ewentualną negatywną decyzję dotyczącą tej fuzji. W przypadku fuzji dwóch największych firm (Naprawa Gładka Jak Po Szkle i Doktor Szyba) współczynnik koncentracji czterech przedsiębiorstw zwiększyłby się do poziomu 46 ( tj. 26 + 8 + 6 + 6 ) . Chociaż współczynnik koncentracji jest nieco wyższy, cztery największe firmy dostarczają nadal mniej niż połowę produkcji gałęzi, więc także ta fuzja nie powinna budzić niepokoju organów antymonopolowych. Odwiedź niniejszą stronę internetową , aby przeczytać artykuł o starciu Google z FTC. Indeks Herfindahla-Hirschmana (HHI) Współczynnik koncentracji to stosunkowo proste narzędzie, pokazujące tylko niektóre aspekty stopnia koncentracji produkcji lub sprzedaży w analizowanej gałęzi. Rozważmy teraz przykład dwóch branż, w których współczynnik koncentracji czterech przedsiębiorstw wynosi 80. Jednak w pierwszej gałęzi każda z pięciu firm kontroluje po 20% rynku, podczas gdy w drugiej największe przedsiębiorstwo kontroluje aż 77% rynku, a wszystkie pozostałe – po 1%. Chociaż współczynniki koncentracji czterech przedsiębiorstw są identyczne w obu branżach, znacznie większe zainteresowanie urzędu antymonopolowego powinna budzić ta druga, gdyż pomimo pozornej konkurencji, największe przedsiębiorstwo jest w niej faktycznym monopolistą (ma swobodę ustalania cen). Aby poradzić sobie z tymi ograniczeniami i uzyskać obraz koncentracji produkcji lub sprzedaży całej gałęzi, można wykorzystać indeks Herfindahla-Hirschmana (HHI) (ang. Herfindahl-Hirschman Index (HHI) ). Parametr ten obliczamy, sumując kwadraty udziałów w rynku wszystkich przedsiębiorstw działających w danej branży, jak to ilustruje poniższa Obliczanie HHI Krok 1. Obliczmy Indeks Herfindahla-Hirschmana dla monopolu ze 100-procentowym udziałem w rynku. Ponieważ w gałęzi jest tylko jedno przedsiębiorstwo, jego udział w rynku wynosi 100%. HHI jest równy 100 2 = 10 000 . Krok 2. W przypadku gałęzi o strukturze zbliżonej do konkurencji doskonałej, z dziesiątkami lub setkami bardzo małych przedsiębiorstw, wartość HHI może spaść do 100 lub nawet wartości dwucyfrowych. Dla przykładu obliczmy indeks dla gałęzi obejmującej 100 przedsiębiorstw, z których każde ma 1% udział rynku. W tym przypadku HHI wynosi 100 × ( 1 2 ) = 100 . Krok 3. Obliczmy Indeks Herfindahla-Hirschmana dla gałęzi z . Wynosi on: 16 2 + 10 2 + 8 2 + 7 × ( 6 2 ) + 8 × ( 3 2 ) = 744 . Krok 4. Zauważ, że duże firmy mają większy wpływ na wartość indeksu niż przedsiębiorstwa małe i bardzo małe. Krok 5. Wróćmy do wcześniejszego przykładu i porównajmy branżę, w której działa pięć przedsiębiorstw mających 20% udziału w rynku, z taką, w której jedna firma ma udział sięgający 77%, a pozostałe 23 firmy po 1%. Obie gałęzie mają ten sam współczynnik koncentracji czterech przedsiębiorstw równy 80. Jednak HHI dla pierwszej gałęzi wynosi 5 × ( 20 2 ) = 2000 , podczas gdy dla drugiej jest on znacznie wyższy: 77 2 + 23 × ( 1 2 ) = 5952 . Krok 6. Zauważ, że działające w drugiej gałęzi przedsiębiorstwo, będące faktycznym monopolistą, znacznie zwiększa wartość Indeksu Herfindahla-Hirschmana mierzącego koncentrację produkcji. Nowe kierunki polityki antymonopolowej Zarówno współczynnik koncentracji, jak i Indeks Herfindahla-Hirschmana mają pewne wady. Po pierwsze, opierają się na założeniu, że analizowana gałąź jest dobrze zdefiniowana, a jedyne pytanie dotyczy podziału produkcji pomiędzy działające w jej ramach podmioty. Po drugie, wykorzystują domniemanie, iż warunki konkurencji w różnych gałęziach są do siebie na tyle podobne, że do podjęcia decyzji o zgodzie na ewentualną fuzję lub przejęcie (czyli do oceny wpływu tego typu transakcji na intensywność konkurencji w danej branży) wystarczy znajomość jednej z dwóch miar koncentracji produkcji rynkowej. Jednak te założenia nie zawsze (a szczerze mówiąc, raczej rzadko) są prawdziwe. W odpowiedzi na te problemy urzędy antymonopolowe w ciągu dwóch ostatnich dziesięcioleci zmieniły swój sposób postępowania. Sporną kwestią jest często definicja rynku (ang. market ). Na przykład firma Microsoft na początku XXI w. miała dominujący udział w rynku komputerowych systemów operacyjnych. Jednak na całym rynku oprogramowania i usług komputerowych, od gier aż po programy naukowe, udział Microsoftu wyniósł w 2014 r. tylko ok. 14%. Wąsko zdefiniowany rynek będzie sprawiał wrażenie bardziej skoncentrowanego, podczas gdy rynek szeroko zdefiniowany będzie wyglądał na bardziej konkurencyjny, co oczywiście wpłynie na posunięcia urzędów antymonopolowych. Podobna sytuacja wystąpiła w Polsce w 2007 r. w czasie fuzji dwóch banków – Pekao SA i BPH. Definiując rynek, na którym podmioty te działały po prostu jako usługi bankowe, nowe przedsiębiorstwo nie zyskiwało dominującej pozycji. Jednak w momencie, w którym UOKiK dokonał rozróżnienia pomiędzy działalnością depozytową i kredytową i zdefiniował rynek w kategoria konkretnych rodzajów kredytów i pożyczek, okazało się, że nowy bank, który wyłoniłby się z fuzji Pekao SA i BPH, zyskałby dominującą pozycję na niektórych z tak wąsko zdefiniowanych rynków. W konsekwencji UOKiK wymusił na banku BPH sprzedaż części ze swoich oddziałów przed połączeniem z Pekao SA. W ciągu ostatnich kilkudziesięciu lat miały miejsce dwie szczególnie istotne zmiany, wpływające na sposób definiowania rynków: jedna koncentruje się na technologii, a druga na procesach globalizacyjnych (ang. globalization ). Obie zmiany są zresztą ze sobą powiązane. Wraz z ogromnym rozwojem technologii komunikacyjnych, przede wszystkim internetu, konsument może zamawiać książki lub artykuły dla zwierząt (a więc produkty, które zazwyczaj kupowane były na niewielkich lokalnych rynkach) w podmiotach operujących w skali całego kraju lub nawet całego światowego rynku. W rezultacie wiele lokalnych przedsiębiorstw handlu detalicznego ma do czynienia z coraz większą konkurencją. Efekt ten może być jeszcze silniejszy przy zakupach dóbr inwestycyjnych dokonywanych przez przedsiębiorstwa. Specjalne witryny internetowe przeznaczone dla transakcji B2B (ang. business-to-business ) umożliwiają kontakt nabywcom i dostawcom z dowolnego miejsca na świecie. Globalizacja zmieniła rozumienie granic rynków. Jeszcze w latach 70. XX w. powszechne było obliczanie współczynników koncentracji i indeksów HHI wyłącznie dla rynków krajowych. Obecnie w wielu gałęziach konkurenci działają przede wszystkim na rynkach globalnych. Kilkadziesiąt lat temu na amerykańskim rynku motoryzacyjnym dominowały trzy firmy: General Motors, Ford i Chrysler. Jednak w 2014 r. ich łączna produkcja stanowiła już mniej niż połowę sprzedaży samochodów w USA i firmy te musiały zmierzyć się z konkurencją ze strony zagranicznych producentów samochodów, takich jak Toyota, Honda, Nissan, Volkswagen, Mitsubishi i Mazda. Indeksy HHI wskazują, że większość głównych gałęzi gospodarki, w tym branża samochodowa, charakteryzuje się niższą koncentracją w skali globalnej niż w skali krajowej. Nowe podejście do polityki antymonopolowej polega na szczegółowej analizie sytuacji na konkretnych rynkach, w kontekście podmiotów zmieniających swoją strukturę własnościową, w miejsce prostego obliczania udziałów w sprzedaży całej branży. Punktem wyjścia jest wykorzystanie narzędzi statystycznych i danych rzeczywistych do oszacowania krzywych popytu (ang. demand curves ) i krzywych podaży (ang. supply curves ) przedsiębiorstw planujących fuzję lub przejęcie. Drugim krokiem jest określenie, jaki rodzaj konkurencji występuje w tej konkretnej branży. Może to być np. konkurowanie w celu obniżenia cen, zwiększenia produkcji, budowania marki za pomocą reklamy albo budowania reputacji opartej na standardach obsługi klienta lub jakości i niezawodności produktu. Dysponując wszystkimi elementami układanki, możliwe jest zbudowanie modelu statystycznego, na podstawie którego zostaną oszacowane prawdopodobne korzyści i koszty konkretnej fuzji lub przejęcia. Modele te opierają się oczywiście na subiektywnej ocenie ekspertów zatrudnianych przez urzędy antymonopolowe, tak więc mogą być przedmiotem sporów prawnych między nimi a chcącymi się połączyć przedsiębiorstwami. Kluczowe pojęcia i podsumowanie Fuzja polega na połączeniu się dwóch prywatnych przedsiębiorstw. Przejęcie polega na wykupieniu jednej firmy przez drugą. W obu przypadkach dwie wcześniej niezależne firmy stają się jednym podmiotem. Przepisy antymonopolowe mają na celu zapewnienie konkurencji na rynkach poprzez m.in. uniemożliwianie tworzenia się dużych przedsiębiorstw w wyniku fuzji i przejęć, regulowanie działań mogących ograniczać konkurencję lub dzielenie dużych przedsiębiorstw na mniejsze. Współczynnik koncentracji jest jednym ze sposobów pomiaru stopnia konkurencji na rynku. Współczynnik koncentracji czterech przedsiębiorstw obliczamy, dodając udziały w rynku – czyli odsetek całkowitej sprzedaży – czterech największych firm w gałęzi. Inną metodą pomiaru stopnia konkurencji na rynku jest indeks Herfindahla-Hirschmana (HHI). Obliczamy go jako sumę kwadratów udziałów rynkowych wszystkich przedsiębiorstw w danej gałęzi gospodarki. Globalizacja oraz rozwój nowych technologii komunikacyjnych i informacyjnych podniosły poziom konkurencji w wielu branżach poprzez wchodzenie na rynki lokalne przedsiębiorstw działających w skali globalnej. Pytania Self-Check Czy twoim zdaniem fuzja dwóch firm, które nie znajdują się w pierwszej czwórce pod względem wielkości sprzedaży w danej gałęzi, może wpłynąć zarówno na współczynnik koncentracji czterech przedsiębiorstw, jak i na Indeks Herfindahla-Hirschmana? Krótko uzasadnij swoją odpowiedź. Owszem, może. Zmiana indeksu HHI jest dość łatwa do wytłumaczenia, ponieważ parametr ten uwzględnia udziały w rynku wszystkich przedsiębiorstw. Fuzja jakichkolwiek dwóch firm działających w danej branży z pewnością zmieni jego wartość. W przypadku współczynnika koncentracji możliwe jest połączenie, powiedzmy, piątej i szóstej co do wielkości firmy na rynku, w wyniku czego powstanie nowe przedsiębiorstwo, które następnie znajdzie się w pierwszej czwórce pod względem wielkości. W takim przypadku fuzja dwóch przedsiębiorstw, które nie znajdują się w pierwszej czwórce, zmieni wartość współczynnika koncentracji czterech przedsiębiorstw. Czy to prawda, że na współczynnik koncentracji czterech przedsiębiorstw większy wpływ mają jedna lub dwie bardzo duże firmy, podczas gdy na wartość indeksu Herfindahla-Hirschmana jednakowy wpływ mają wszystkie firmy działające w gałęzi? Odpowiedź uzasadnij. Nieprawda, jest to rozumowanie błędne. Indeks HHI uwzględnia co prawda udziały w rynku wszystkich firm, ale podniesienie tych udziałów do kwadratu powoduje, że wpływ dużych przedsiębiorstw jest stosunkowo większy niż w przypadku współczynnika koncentracji. Kilka lat temu dwóch dalekobieżnych przewoźników autobusowych w USA: Greyhound Lines, Inc. i Trailways Transportation System chciało się połączyć. Jedną z możliwych definicji rynku w tym przypadku był „rynek międzymiastowych przewozów autobusowych”. Inną – „rynek transportu międzymiastowego”, uwzględniający też transport prywatnymi autami, wypożyczonymi samochodami, pociągami i samolotami. Jak myślisz, którą definicję preferowali przewoźnicy autobusowi i dlaczego? Przewoźnicy autobusowi preferowali szerszą definicję rynku (czyli drugą). Gdyby zastosowano wąską definicję, połączone przedsiębiorstwa autobusowe uzyskałyby niemal monopol na rynku „międzymiastowych przewozów autobusowych”. Jednocześnie jednak nowy podmiot kontrolował tylko niewielką część całego rynku transportu międzymiastowego, obejmującego wszystkie środki transportu. Na fuzję zatem zezwolono. Czy można oczekiwać, że w wyniku globalizacji i rozwoju nowych technologii informacyjno-komunikacyjnych definicje rynków stosowane przez urzędy antymonopolowe będą raczej szersze, czy węższe? Powszechnie oczekuje się, że definicje rynków zostaną poszerzone z powodu większej konkurencji ze strony firm działających w skali globalnej. Jednak poszerzenie tej definicji niekoniecznie oznacza, że urzędy antymonopolowe będą miały mniej pracy. Istnieje również obawa, że przedsiębiorstwa będące lokalnymi lub krajowymi monopolistami mogą wykorzystać nowe możliwości, aby rozszerzyć swój zasięg poza granice państwa, a władzom krajowym trudno będzie na to zareagować. Stąd zresztą powierzenie Komisji Europejskiej funkcji urzędu antymonopolowego działającego w skali całej UE. Pytania Review Czym jest fuzja przedsiębiorstw? Co to jest przejęcie? Jaki jest cel polityki antymonopolowej? Jak mierzymy współczynnik koncentracji czterech przedsiębiorstw? Co jego wysoka wartość oznacza dla intensywności konkurencji? Jak mierzymy Indeks Herfindahla-Hirschmana? Co dla intensywności konkurencji oznacza jego niska wartość? Dlaczego trudno jest zdefiniować rynek na użytek wyliczeń współczynników koncentracji i HHI? Pytania Critical Thinking Czy współczynnik koncentracji czterech przedsiębiorstw lub indeks HHI bezpośrednio mierzą intensywność konkurencji w gałęzi? Odpowiedź uzasadnij. Co świadczyłoby o silnej konkurencji między przedsiębiorstwami w gałęzi? Czy potrafisz wymienić dwie branże wysoce konkurencyjne? przejęcie (ang. acquisition ) zakup jednej firmy przez drugą przepisy antymonopolowe (ang. antitrust laws ) przepisy dające państwu prawo do blokowania pewnych fuzji i przejęć, a w niektórych przypadkach nawet do podziału dużych przedsiębiorstw na mniejsze współczynnik koncentracji (ang. concentration ratio (CR) ) narzędzie służące do pomiaru stopnia siły monopolowej największych przedsiębiorstw w gałęzi; mierzy, jaki jest udział w całkowitej sprzedaży branży największych firm, zazwyczaj od czterech do ośmiu głównych przedsiębiorstw współczynnik koncentracji czterech przedsiębiorstw (ang. four-firm concentration ratio ) udział czterech największych przedsiębiorstw w całkowitej sprzedaży danej gałęzi Indeks Herfindahla-Hirschmana (HHI) (ang. Herfindahl-Hirschman Index (HHI) ) parametr służący do pomiaru stopnia koncentracji danej branży, obliczany jako suma kwadratów udziałów w sprzedaży wszystkich działających w niej przedsiębiorstw Wskaźnik Herfindahla-Hirschmana (HHI) (ang. Herfindahl-Hirschman Index (HHI) ) patrz: Indeks Herfindahla-Hirschmana (HHI) udział w rynku (ang. market share ) relacja wielkości lub wartości sprzedaży danego przedsiębiorstwa i łącznej wielkości lub wartości sprzedaży całej gałęzi fuzja (ang. merger ) sytuacja, w której dwa niezależne przedsiębiorstwa łączą się w jeden podmiot", "section": "Fuzje przedsiębiorstw", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Regulacje monopolu naturalnego Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać właściwe strategie regulacyjne monopoli naturalnych Zinterpretować wykres prezentujący możliwe sposoby regulacji monopolu naturalnego Porównać regulacje cen oparte na poziomie kosztów i te wykorzystujące ceny maksymalne Obecnie większość monopoli, zarówno w Polsce, jak i w UE czy Stanach Zjednoczonych, ma charakter monopoli naturalnych, podlegających daleko idącej regulacji ze strony państwa. Monopol naturalny stanowi trudne wyzwanie dla urzędów odpowiedzialnych za politykę ochrony konkurencji, ponieważ struktura kosztów i popytu sprawia, że zapewnienie konkurencji w gałęzi, w której działa monopol naturalny, byłoby niezwykle kosztowne, a zatem nie niosłoby ze sobą korzyści dla konsumentów. Monopol naturalny (ang. natural monopoly ) powstaje, gdy koszt przeciętny maleje (istnieją rosnące przychody ze skali produkcji) dla rozmiarów produkcji określonych popytem rynkowym. Dzieje się tak zwykle wtedy, gdy koszty stałe stanowią decydujący komponent struktury kosztów (np. dla przedsiębiorstw zajmujących się przesyłem mediów – energii elektrycznej, wody czy gazu – kluczowym elementem kosztów są nakłady na budowę infrastruktury przesyłowej, czyli sieci elektrycznych, rurociągów i gazociągów). W rezultacie jedno przedsiębiorstwo jest w stanie zaspokoić cały popyt rynkowy po niższych kosztach niż zrobiłyby to dwie lub więcej firm. A zatem podział monopolu naturalnego (lub wymuszenie konkurencji poprzez wprowadzenie na rynek kolejnej firmy) doprowadziłby do wzrostu kosztów przeciętnych produkcji i zmusiłby przedsiębiorstwa do podniesienia cen. Właśnie przedsiębiorstwa dostarczające usługi użyteczności publicznej (media), np. wodę lub energię elektryczną, są typowymi przykładami monopoli naturalnych. Niewiele sensu miałby podział lokalnego przedsiębiorstwa wodociągowego na kilka konkurujących ze sobą firm, z których każda dysponowałaby własnym system rurociągów i stacji zaopatrzenia w wodę. Zainstalowanie czterech lub pięciu identycznych zestawów rur pod miastem, po jednym dla każdego przedsiębiorstwa wodociągowego, tak aby każde gospodarstwo domowe mogło wybrać sobie dostawcę wody, byłoby niezwykle kosztowne. Ten sam argument dotyczy dostaw energii elektrycznej przez wiele przedsiębiorstw, z których każde miałoby własną sieć przesyłową. Przed pojawieniem się telefonów komórkowych argumenty te odnosiły się również do możliwości działania na jednym rynku wielu różnych firm telekomunikacyjnych, z których każda posiadałaby własny system kabli biegnących pod ulicami miast. Możliwości regulacji monopolu naturalnego Jaka jest zatem właściwa polityka ochrony konkurencji w gałęziach, w których działają monopole naturalne? pokazuje przypadek monopolu naturalnego z krzywą popytu rynkowego, która przecina malejącą część krzywej kosztu przeciętnego (ang. average cost curve ). Punkty A, B, C i F reprezentują cztery główne sposoby regulacji działania monopolu naturalnego. Odpowiednie dane zawiera . Możliwości regulacji monopolu naturalnego Monopol naturalny maksymalizuje zysk, wytwarzając wielkość produkcji, dla której utarg krańcowy (MR) jest równy kosztowi krańcowemu (MC), a następnie na podstawie krzywej popytu rynkowego ustala cenę, jaką będzie pobierać za dostarczany na rynek wolumen produkcji. Monopolista wybierze punkt A, produkując ilość równą 4 i pobierając cenę 9,3. Gdyby urząd antymonopolowy podzielił firmę dokładnie na pół, to każdy z nowo powstałych podmiotów produkowałaby w punkcie B przy kosztach przeciętnych 9,75 i wielkości produkcji 2. Oznaczałoby to konieczność podniesienia cen, co najmniej do poziomu wyznaczonego przez poziom kosztu przeciętnego. Organ regulacyjny może też wymagać od firmy, aby zachowywała się jak typowe przedsiębiorstwo na rynku konkurencji doskonałej, czyli zrównała utarg krańcowy z popytem rynkowym (punkt C). Jeśli jednak przedsiębiorstwo będzie się działać w ten sposób i zacznie produkować wolumen równy 8 i sprzedawać go po cenie 3,5; poniesie stratę. Najbardziej prawdopodobnym wyborem jest zatem punkt F, w którym firma zrównuje cenę z kosztem przeciętnym, produkując na poziomie 6 i pobierając cenę równą 6,5. Możliwości regulacji monopolu naturalnego Wielkość produkcji Cena (P) Utarg całkowity * (TR) Utarg krańcowy (MR) Koszt całkowity (TC) Koszt krańcowy (MC) Koszt przeciętny (AC) 1 14,7 14,7 14,7 11,0 - 11,00 2 12,4 24,7 10,0 19,5 8,5 9,5 3 10,6 31,7 7,0 25,5 6,0 8,50 4 9,3 37,2 5,5 31,0 5,5 7,75 5 8,0 40,0 2,8 35,0 4,0 7,00 6 6,5 39,0 –1,0 39,0 4,0 6,50 7 5,0 35,0 –4,0 42,0 3,0 6,00 8 3,5 28,0 –7,0 45,5 3,5 5,70 9 2,0 18,0 –10,0 49,5 4,0 5,5 (*Utarg całkowity obliczamy, mnożąc cenę przez wielkość produkcji. Dla ułatwienia niektóre ceny zostały zaokrąglone). Pierwsza możliwość to pozostawienie monopolu naturalnego poza jakąkolwiek regulacją. W takim przypadku monopolista będzie po prostu maksymalizował swój zysk. Wybierze wielkość produkcji, dla której MR = MC (punkt P), przy wolumenie produkcji równym 4. Z krzywej popytu odczyta cenę dla tych rozmiarów produkcji (punkt A), która jest równa 9,3. Ponieważ cena jest większa niż koszt przeciętny dla wybranego wolumenu produkcji, monopol naturalny osiągnie zysk ekonomiczny. Druga możliwość to podział monopolu naturalnego na mniejsze, konkurujące ze sobą podmioty. Dla uproszczenia przyjmijmy, że analizowane przedsiębiorstwo zostało podzielone na dwa mniejsze. W konsekwencji zamiast jednej dużej firmy produkującej na poziomie 4 na rynku funkcjonują dwie mniejsze, z których każda produkuje wolumen równy 2. Ze względu na malejącą krzywą kosztu przeciętnego (AC), która jest charakterystyczna dla monopolu naturalnego, przeciętny koszt produkcji każdej z nowo powstałych firm, wytwarzającej wolumen na poziomie 2, wyniesie 9,75 (co ilustruje punkt B). Tymczasem średni koszt produkcji naturalnego monopolisty, wytwarzającego wolumen równy 4, wynosi tylko 7,75. W ten sposób gospodarka, w której działa naturalny monopolista, stałaby się mniej efektywna produkcyjnie, ponieważ dobro byłoby wytwarzane po wyższym koszcie przeciętnym. Przy malejącej krzywej kosztu przeciętnego dwie mniejsze firmy zawsze będą miały wyższe koszty przeciętne dla każdej wielkości produkcji niż jedna większa firma. Dodatkowo urzędy antymonopolowe powinny się obawiać, że rozbicie monopolu naturalnego na mniejsze przedsiębiorstwa może być dopiero pierwszym z serii wyzwań. Jeśli jedna z dwóch firm stanie się większa od drugiej, będzie miała niższe koszty przeciętne i może być w stanie wyprzeć konkurenta z rynku. Alternatywnie, dwie firmy mogą zacząć koordynować swoje działania i utrzymywać wysokie ceny. Tak czy inaczej rezultatem wcale nie musi być konkurencja, której oczekiwano. Trzecia możliwość polega na tym, że organ regulacyjny może ustalić konkretną cenę i wielkość produkcji w danej gałęzi. Stosowny urząd będzie starał się wybrać taki punkt na krzywej popytu rynkowego, który będzie odzwierciedlał poziom produkcji korzystny zarówno dla konsumentów, jak i dla ogółu społeczeństwa. Punkt C ilustruje taką kuszącą opcję: regulator wymaga od przedsiębiorstwa wyprodukowania takiej ilości, dla której koszt krańcowy zrównuje się z ceną, czyli wolumen równy 8 i ustalenia ceny na poziomie kosztu krańcowego, tj. 3,5. Ta opcja jest atrakcyjna, gdyż stanowi odzwierciedlenie sytuacji, która ukształtowałaby się w tej gałęzi w warunkach konkurencji doskonałej, co automatycznie przekłada się na większą produkcję i niższą cenę, niż w warunkach monopolu. Dodatkowo, przy wyborze produkcji opisanej jako punkt C pojawia się efektywna alokacja zasobów, ponieważ z punktu widzenia konsumentów wartość ostatniej jednostki kupionej i sprzedanej na rynku jest równa kosztowi krańcowemu jej wytworzenia. Rozwiązanie opisane punktem C, które zostałoby narzucone monopoliście, ma jednak również poważną wadę. Przy produkcji równej 8 sprzedawanej po cenie 3,5 przychody byłyby niższe od kosztów wytwarzania (cena równa 3,5 jest niższa od kosztu przeciętnego, który kształtuje się na poziomie 5,7) i przedsiębiorstwo ponosiłoby straty. Jeżeli państwo nie zaoferowałoby firmie stałej dotacji publicznej (a jest z tym wiele problemów politycznych), firma systematycznie traciłaby pieniądze i albo zostałaby zmuszona do wyjścia z gałęzi, albo po prostu by zbankrutowała. Być może najlepszą – z punktu widzenia państwowego regulatora – opcją jest punkt F, czyli ustalenie takiej ceny, przy której koszt przeciętny (AC) przecina krzywą popytu. Oznacza to produkcję na poziomie 6 i cenę równą 6,5. Takie rozwiązanie wydaje się sensowne nawet intuicyjnie – pozwala monopoliście naturalnemu pobierać cenę wystarczającą do pokrycia jego kosztu przeciętnego i tym samym gwarantuje mu zysk normalny umożliwiający dalsze działanie, ale jednocześnie zapobiega podnoszeniu cen przez to przedsiębiorstwo i osiąganiu nadzwyczaj wysokich zysków monopolowych, tak jak działoby się to w przypadku równowagi ustalonej w punkcie A. Oczywiście musimy pamiętać, że biorąc pod uwagę naciski polityczne, ograniczenia czasowe i niepełną informację, wyznaczenie w rzeczywistym świecie takiego (gwarantującego zysk normalny) poziomu produkcji i ceny jest znacznie trudniejsze, niż wskazanie punktu na wykresie. Szerszy opis problemów, które mogą wynikać z odgórnego ustalania cen, można znaleźć w rozdziale omawiającym ceny minimalne i maksymalne ( ). Regulacja cen oparta na kosztach a regulacje wykorzystujące ceny maksymalne Organy regulujące działalność przedsiębiorstw użyteczności publicznej (czyli najczęściej naturalnych monopoli) przez wiele dziesięcioleci stosowały podejście oparte na koszcie przeciętnym, czyli – wykorzystując przykład z punktu powyżej – wskazywały przedsiębiorstwom wielkość produkcji i cenę opisaną punktem F na . Obliczano koszt przeciętny produkcji dla przedsiębiorstw wodociągowych lub energetycznych, dodawano kwotę odpowiadającą normalnej stopie zysku oczekiwanego przez przedsiębiorstwo i na tej podstawie ustalano cenę dla konsumentów. Ta metoda była znana jako regulacja cen oparta na kosztach (ang. cost-plus regulation ). Regulacja cen w oparciu o koszty sama w sobie tworzy jednak liczne wyzwania. Jeśli producenci otrzymują zwrot kosztów powiększony o pewną marżę, to w zasadzie nie mają żadnych bodźców do obniżania wysokich kosztów działalności, ponieważ mogą po prostu przenosić je na konsumentów w postaci wyższych cen. Co gorsza, przedsiębiorstwa objęte regulacją cen opartą na kosztach mają nawet motywację do generowania wysokich kosztów poprzez budowę ogromnych fabryk lub zatrudnianie wielu pracowników, ponieważ cena, którą mogą pobierać, jest powiązana z ponoszonymi przez nie kosztami. Badania prowadzone przez wielu amerykańskich ekonomistów dowiodły, że wskazane wyżej problemy związane z regulacją cen w oparciu o koszty występowały w gospodarce USA w latach 60. i 70. Niemal regułą było wówczas tworzenie silnych grup nacisku złożonych z kadry kierowniczej i pracowników takich przedsiębiorstw, którzy byli zainteresowani utrzymywaniem wysokich wynagrodzeń i licznych pozapłacowych korzyści związanych z zatrudnieniem. Niekiedy dochodziło wręcz do dziedziczenia miejsc pracy w przedsiębiorstwach użyteczności publicznej, czyli przyjęcia zasady, że jeśli pracownik odchodził na emeryturę, pierwszeństwo w zatrudnieniu na jego miejsce mieli członkowie jego rodziny. Podobnych porozumień broniły liczne związki zawodowe funkcjonujące w takich firmach. W związku z tym w latach 80. i 90. XX w. coraz powszechniej wykorzystywanym podejściem stały się regulacje pułapów cenowych (ang. price cap regulation ), w ramach których organ regulacyjny wyznaczał maksymalną cenę, jaką przedsiębiorstwo mogło pobierać w ciągu kolejnych kilku lat. Powszechne było ustalanie limitów cenowych nieznacznie malejących wraz z upływem czasu. W takiej sytuacji, jeśli firma potrafiła znaleźć sposób na obniżkę kosztów w tempie szybszym niż obniżka limitów cenowych, mogła osiągnąć wysokie zyski. Jeśli jednak nie nadążała za zmianami pułapów cenowych lub miała pecha na rynku, ponosiła stratę. Po upływie kilku lat organy regulacyjne na nowo ustalały poziomy pułapów cenowych, analizując wyniki przedsiębiorstwa. Regulacja pułapów cenowych wymaga starannego wdrożenia. Nie zadziała, jeśli organy regulacyjne ustalą pułap cenowy na nierealistycznie niskim poziomie. Może także nie zadziałać przy nagłych zmianach sytuacji na rynku, gdy firma będzie skazana na ponoszenie strat bez względu na to, co zrobi. Na przykład jeśli ceny energii na rynkach światowych gwałtownie wzrosną, przedsiębiorstwo sprzedające gospodarstwom domowym gaz ziemny lub olej opałowy może nie być w stanie sprostać limitom cenowym, które wydawały się rozsądne jeszcze rok czy dwa lata wcześniej (taka sytuacja miała miejsce w Polsce i innych krajach UE w drugiej połowie 2021 r. w związku z działaniami podejmowanymi na rynku przez rosyjskiej koncerny znajdujące się pod kontrolą państwa). Niezbędne będzie wówczas podniesienie pułapów cenowych, do którego skądinąd doszło tak w Polsce, jak i w innych krajach UE. Co więcej, możliwość osiągania większych zysków lub ponoszenia strat – zamiast zapewnionego średniego poziomu zysku, co jest charakterystyczne dla regulacji cen w oparciu o koszty – może zachęcać monopol naturalny do zwiększania efektywności i innowacji. W przypadku monopolu naturalnego konkurencja rynkowa jest w zasadzie niemożliwa, o ile nie dojdzie do zasadniczego przełomu technologicznego (jakim był np. rozwój telefonii komórkowej), w związku z czym jeśli państwo chce ochronić konsumentów przed wysokimi cenami i niewielkim wolumenem produkcji, regulacje muszą zostać wprowadzone. Niemniej jednak próbując zaprojektować elastyczny i motywujący system regulacji za pomocą pułapów cenowych, państwo nie ma łatwego zadania. Kluczowe pojęcia i podsumowanie W przypadku monopolu naturalnego pojawienie się w gałęzi więcej niż jednego przedsiębiorstwa i tym samym konkurencja rynkowa są skrajnie nieprawdopodobne, dlatego państwo – dążąc do ochrony konsumentów przed wysokimi cenami i niskim wolumenem produkcji – będzie arbitralnie wyznaczać cenę i/lub wielkość produkcji. Typowymi przykładami firm podlegających regulacji są przedsiębiorstwa użyteczności publicznej dostarczające np. energię elektryczną lub wodę. Regulacja cen na podstawie kosztów oznacza, że przedsiębiorstwo ma prawo wyznaczyć cenę, która odzwierciedla poziom kosztu przeciętnego powiększony o niewielką marżę zysku. Natomiast regulacja pułapów cenowych występuje wtedy, gdy państwo ustala z kilkuletnim wyprzedzeniem górne limity cenowe, którymi będzie się posługiwał naturalny monopolista. W tym ostatnim przypadku firma może osiągać nawet wysokie zyski nadzwyczajne, jeśli uda jej się produkować po obniżonych kosztach lub dzięki działaniom marketingowym zwiększyć wolumen produkcji. Możliwa jest jednak również sytuacja odwrotna, czyli straty, o ile koszty okażą się wyższe od zakładanego poziomu i/lub sprzedaż będzie mniejsza, niż oczekiwano. Pytania Self-Check System miejskiego transportu publicznego, zwłaszcza jeśli obejmuje kolej, charakteryzuje się zazwyczaj dużymi korzyściami skali. Rozważmy dane dotyczące systemu transportu publicznego przedstawione w (popyt jest wyrażony w milionach pasażerów). Popyt: Liczba pasażerów 1 2 3 4 5 6 7 8 9 10 Cena 10 9 8 7 6 5 4 3 2 1 Utarg krańcowy 10 8 6 4 2 0 –2 –4 –6 –8 Koszty: Koszt krańcowy 9 6 5 3 2 3 4 5 7 10 Koszt przeciętny 9 7,5 6,7 5,8 5 4,7 4,6 4., 4,9 5,4 Narysuj krzywe: popytu, utargu krańcowego, kosztu krańcowego i kosztu przeciętnego. Czy mają one typowe kształty? Tak, wszystkie krzywe mają typowe kształty. Czy na podstawie swojego wykresu z możesz stwierdzić, że system transportu publicznego jest monopolem naturalnym? Odpowiedź uzasadnij. Tak, to jest monopol naturalny, ponieważ krzywa kosztu przeciętnego maleje dla rozmiarów zdefiniowanych przez popyt rynkowy (kiedy leży poniżej popytu rynkowego). Pytania Review Jeśli przedsiębiorstwa użyteczności publicznej są monopolami naturalnymi, jakie niebezpieczeństwa związane są z ich deregulacją? Jeśli przedsiębiorstwa użyteczności publicznej są monopolami naturalnymi, jakie niebezpieczeństwa wiążą się z ich podziałem na kilka odrębnych, konkurujących firm? Czym jest regulacja cen na podstawie kosztów? Czym jest regulacja pułapów cenowych? Pytania Critical Thinking W połowie XX w. główne miasta USA miały wielu konkurujących ze sobą przewoźników autobusowych. Dziś jest zwykle tylko jeden i działa jako dotowany, regulowany monopol. Jak myślisz, co spowodowało tę zmianę? Dlaczego miasta są skłonne dotować transport publiczny? Czy uważasz taką politykę za pożądaną? Uzasadnij swoją odpowiedź. Problemy Wykorzystaj do odpowiedzi na następujące pytania: Gdyby system transportu publicznego działał jak nieregulowany monopol, jaka byłaby wielkość produkcji i cena? Gdyby system transportu publicznego był regulowany tak, aby działać bez dotacji (tj. przy zerowym zysku ekonomicznym), jaka byłaby w przybliżeniu wielkość produkcji i cena? Gdyby system transportu publicznego był regulowany w taki sposób, aby zapewnić najbardziej efektywną alokacyjnie wielkość produkcji, ile wyniosłaby produkcja i cena? Jaka dotacja byłaby konieczna, aby umożliwić efektywne świadczenie usług komunikacyjnych? regulacja cen w oparciu o koszty (ang. cost-plus regulation ) organ regulacyjny pozwala regulowanej firmie na pokrycie kosztów i osiągnięcie normalnego poziomu zysku regulacja pułapów cenowych (ang. price cap regulation ) organ regulacyjny ustala górny limit cenowy, którego firma nie może przekroczyć w ciągu kolejnych kilku lat", "section": "Regulacje monopolu naturalnego", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Problem niedoskonałej informacji i asymetrii informacji Po przeczytaniu tego podrozdziału będziesz w stanie: Przeanalizować wpływ niedoskonałej informacji i asymetrii informacji na równowagę rynkową Ocenić rolę kampanii marketingowych w kreowaniu zjawiska asymetrii informacji Zidentyfikować sposoby służące ograniczaniu problemu niedoskonałej informacji Wyjaśnić, w jaki sposób niedoskonała informacja wpływa na jakość dóbr i usług, a także wielkość produkcji i cenę w warunkach równowagi rynkowej Zdefiniować zjawiska pokusy nadużycia i negatywnej selekcji Pomyślmy o zakupach dokonywanych przez wiele osób w internecie. Ten specyficzny kanał dystrybucji nie dość, że naraża nas na oszustwa (sprzedający w ogóle nie dostarczy nam produktu, za który zapłaciliśmy), to jeszcze nie pozwala nabywcy na kompleksową ocenę jakości, stanu technicznego i innych parametrów wpływających na cenę kupowanego dobra. W związku z tym wielu kupujących ma do czynienia z asymetrią informacji (ang. asymmetric information ), czyli sytuacją, gdy dwie strony zaangażowane w transakcję rynkową mają nierówny dostęp do informacji (jedna strona wie znacznie więcej niż druga). Ten sam mechanizm pojawia się na rynku używanych samochodów, antyków, usług turystycznych itd. Wiele transakcji odbywa się w warunkach niedoskonałej informacji (ang. imperfect information ), czyli w sytuacji, gdy nabywca, sprzedawca lub obie strony nie są w 100% pewne, jaka jest jakość kupowanych lub sprzedawanych produktów. Zacznijmy od kilku przykładów, które pokażą, jak niedoskonała informacja komplikuje transakcje na rynkach dóbr, pracy i kapitału finansowego (ang. financial capital market ). Niedoskonała informacja może łatwo doprowadzić do spadku ceny lub ilości sprzedawanych produktów. Jednak nabywca i sprzedawca mają również motywację do tworzenia mechanizmów, które pozwolą im dokonywać obopólnie korzystnych transakcji nawet w obliczu niedoskonałej informacji. Jeśli nie masz pewności, czym różni się asymetria informacji od niedoskonałej informacji, przeczytaj poniższą . Jaka jest różnica między niedoskonałą informacją a asymetrią informacji? Aby rynek osiągnął równowagę, sprzedający i kupujący muszą mieć pełną informację o cenie, jakości produktu i innych czynnikach istotnych dla transakcji. Jeśli informacje są ograniczone, kupujący i sprzedający mogą nie być w stanie przeprowadzić transakcji lub podjąć złe decyzje. Z niedoskonałą informacją mamy do czynienia wówczas, gdy kupujący i/lub sprzedający nie posiadają wszystkich informacji niezbędnych do podjęcia świadomej decyzji. Asymetria informacji występuje, gdy jedna strona, kupujący lub sprzedający, ma więcej informacji o jakości lub cenie produktu niż druga. W obu przypadkach (niedoskonała informacja i asymetria informacji) nabywca lub sprzedawca potrzebują narzędzi, aby podejmować bardziej świadome decyzje. Rynek tandety i inne przykłady niedoskonałej informacji Spróbujmy postawić się w sytuacji Marka, który zastanawia się nad kupnem używanego samochodu. Załóżmy, że Marek nie ma bladego pojęcia, jak działa silnik spalinowy, w związku z czym nie będzie w stanie zorientować się w ewentualnych usterkach. Jest gotów zainwestować swój czas w czytanie raportów konsumenckich lub sprawdzanie stron internetowych zawierających informacje o markach i modelach używanych aut oraz ich cenach. Mógłby również zapłacić mechanikowi za sprawdzenie wozu, który mu się spodoba. Jednak nawet poświęcając pieniądze i czas na zbieranie informacji, Marek nadal nie może być absolutnie pewien, że kupi używany samochód w dobrym stanie. Wie, że może nabyć auto, pojechać nim do domu, używać przez kilka tygodni i dopiero wtedy odkryć, że jego samochód to „tandeta” (angielskim terminem określającym taki produkt jest lemon , czyli cytryna, ze względu na to, że w starych automatach hazardowych, tzw. jednorękich bandytach, cytryny oznaczały przegraną). Wyobraź sobie, że Marek szuka używanego samochodu i znajduje dwa, które wyglądają bardzo podobnie, mają zbliżony przebieg, wiek i inne parametry (pojemność silnika, spalanie itd.) stanowiące o cenie. Jeden samochód kosztuje 40 tys., a drugi 46 tys. zł. Który z nich Marek powinien kupić? Gdyby Marek wybierał w świecie doskonałej informacji, odpowiedź byłaby prosta: powinien kupić auto tańsze. Jednak Marek działa w warunkach niedoskonałej informacji, w świecie, w którym sprzedawcy prawdopodobnie wiedzą więcej o problemach technicznych samochodu i mają motywację do ukrywania takich informacji. W końcu im więcej problemów ujawnią potencjalnemu nabywcy, tym niższa będzie cena samochodu. Co powinien zrobić Marek? Po pierwsze, musi zrozumieć, że nawet przy niedoskonałej informacji ceny nadal mają pewną wartość informacyjną. Używane samochody są zazwyczaj droższe u dealerów posiadających dobrą reputację. Tacy sprzedawcy, chcąc utrzymać swoją markę na rynku, starają się informować klientów o wszystkich potencjalnych problemach sprzedawanych aut, aby nie stracić renomy. Krótkookresowe korzyści ze sprzedaży szmelcu mogą bowiem spowodować szybką utratę reputacji i tym samym spadek zysków w długim okresie. U innych dealerów, o mniej ugruntowanej pozycji rynkowej, można znaleźć tańsze używane samochody, ale kupujący ponosi większe ryzyko, gdyż takie firmy mniej troszczą się o opinię klientów (konkurują ceną, a nie jakością). Najtańsze samochody pojawiają się zwykle w internetowych serwisach ogłoszeń, w których indywidualny sprzedawca nie ma żadnej reputacji. Podsumowując, niższe ceny niosą ze sobą większe ryzyko, więc Marek powinien ocenić, czy bardziej zależy mu na niskiej cenie, czy też woli zmniejszyć prawdopodobieństwo niedogodności wynikających z konieczności naprawy dopiero co kupionego samochodu. Podobne problemy z niedoskonałą informacją pojawiają się na rynku pracy i na rynku kapitału finansowego. Tym razem przeanalizujmy sytuację Grażyny, która stara się o pracę. Jej potencjalny pracodawca, podobnie jak nabywca używanego samochodu, obawia się nabycia „tandety”, czyli w tym przypadku zatrudnienia leniwego pracownika, który nie posiada wiedzy, kwalifikacji i umiejętności niezbędnych na wakującym stanowisku. Pracodawca może zebrać informacje o wykształceniu i doświadczeniu zawodowym Grażyny, jednak pewien stopień niepewności co do jej umiejętności i zaangażowania w wykonywane obowiązki pozostanie. W jaki sposób potencjalny pracodawca może sprawdzić takie cechy jak motywacja, terminowość i umiejętność współpracy z innymi? Przedstawiciele działów kadr często wykorzystują informacje o ukończonych szkołach i uczelniach w celu wstępnej selekcji kandydatów. Pracodawcy mogą uznać nagrody, wysoką średnią ocen i inne wyróżnienia jako oznakę gotowości do ciężkiej pracy, wytrwałości i nabytej wiedzy. Mogą też prosić o referencje od poprzednich pracodawców w celu sprawdzenia takich cech jak terminowość realizacji powierzonych zadań i etyka pracy. Jak niedoskonała informacja może wpłynąć na cenę i ilość w stanie równowagi rynkowej? Niedoskonała informacja może zniechęcić zarówno kupujących, jak i sprzedających do dokonania transakcji rynkowej. Nabywcy mogą nie chcieć uczestniczyć w wymianie, nie będąc w stanie sprawdzić jakości tego, co kupują. Z kolei sprzedawcy produktów wysokiej lub średniej klasy mogą być nieskorzy do udziału w transakcji z powodu trudności z udowodnieniem jakość oferowanych przez nich dóbr lub usług; w takiej sytuacji kupujący nie będą chcieli zapłacić wyższej ceny, nie mając gwarancji jakości nabywanych towarów. Rynek, na którym jest niewielu kupujących i sprzedających, ekonomiści nazywają czasem rynkiem wąskim (ang. thin market ). Natomiast rynek, na którym jest wielu kupujących i sprzedających, jest nazywany szerokim rynkiem (ang. thick market ). Kiedy informacja jest wysoce niedoskonała, a nabywcy i sprzedawcy niechętnie uczestniczą w wymianie, rynki mogą stać się bardzo wąskie, ponieważ tylko stosunkowo niewielka liczba kupujących i sprzedających może dojść do porozumienia i ustalić cenę transakcji. Jak cena zmienia postrzeganie jakości produktów w warunkach niedoskonałej informacji? W obliczu niedoskonałej informacji nabywca często uważa, że cena odzwierciedla jakość produktu. Na przykład kupujący, nawet jeśli nie jest ekspertem znającym się na elektronice i motoryzacji, może założyć, że droższy samochód lub gadżet elektroniczny muszą reprezentować wyższą jakość. Pomyśl o drogiej restauracji, w której jedzenie musi być dobre, bo jest drogie, lub o sklepie, w którym ubrania muszą być stylowe, ponieważ dużo kosztują. Albo o galerii, w której wystawa musi być świetna, skoro ceny biletów są wysokie. Jeśli zatrudniasz prawnika, możesz przypuszczać, że pobierający 400 zł za godzinę jest lepszy od tego, który życzy sobie tylko 150 zł. W takich przypadkach cena może być sygnałem jakości. Zwróć uwagę, że ten mechanizm działa tylko wówczas, gdy trudno jest obiektywnie ocenić jakość produktów. Cóż to bowiem znaczy świetna wystawa lub stylowe ubranie? Chcemy wierzyć, że płacimy za dane dobro wysoką cenę, bo ma ono wysoką jakość. Być może jest jednak tak, że pewne specyficzne produkty mają wysoką jakość, bo klienci bardzo dużo za nie płacą (najlepszym przykładem tego mechanizmu są dzieła sztuki, szczególnie nowoczesnej). Jeśli jednak potrafimy ocenić jakość konkretnego produktu (np. chleba), wtedy cena nie będzie dla nas sygnałem odzwierciedlającym jego jakość. Tyle że w tej sytuacji nie będziemy mieć do czynienia z niedoskonałą informacją. Kiedy nabywcy wykorzystują cenę rynkową do wyciągania wniosków na temat jakości produktów, rynki mogą mieć problem z osiągnięciem ilości i ceny równowagi. Wyobraź sobie pewną sytuację: oto dealer samochodów ma „na placu” dużo używanych aut, których nikt nie chce kupić. Postanawia więc obniżyć ceny, aby się ich wreszcie pozbyć. Na rynku z niedoskonałą informacją wielu kupujących może przypuszczać, że niższa cena oznacza samochody niskiej jakości. W efekcie niższa cena może wręcz zniechęcić potencjalnych klientów. I odwrotnie, dealer podnoszący ceny może założyć, że klienci uznają, iż większa cena oznacza wyższą jakość. W takiej sytuacji, w wyniku wzrostu cen, dealer może sprzedać więcej samochodów. (To, czy konsumenci zawsze zachowują się racjonalnie, przynajmniej z punktu widzenia ekonomisty, jest tematem poniższej ). Koncepcja, zgodnie z którą wyższe ceny mogą doprowadzić do wzrostu zapotrzebowania, a niższe przynieść jego spadek, stoi w sprzeczności z podstawowym modelem popytu i podaży (jaki nakreśliliśmy w ). Oczywiście, opisany powyżej mechanizm również ma swoje naturalne granice. W pewnym momencie, jeśli cena będzie wystarczająco wysoka, popyt spadnie. I odwrotnie, gdy cena spadnie do wystarczająco niskiego poziomu, kupujący będą widzieli sens zakupu dobra, nawet podejrzewając, że jakość produktu jest niska. Ponadto informacje rozprzestrzeniają się wśród nabywców na rynku. Zbyt droga restauracja, która pobiera wyższe ceny, niż wynikałyby to z jakości posiłków, nie będzie działać wiecznie. Choć liczba snobów, którzy kupią dobro lub usługę tylko dlatego, że jest ona modna, mogłaby nas zadziwić. Czy zachowanie konsumentów jest racjonalne? Ekonomiści głównego nurtu wiele naszych zachowań zwykli nazywać irracjonalnymi, ponieważ są one sprzeczne ze stosowanymi przez nich modelami maksymalizacji użyteczności (ang. utility maximization ). Typową reakcją takich badaczy jest ignorowanie tych zachowań i nazywanie ich anomalią lub niewyjaśnionymi dziwactwami. „Gdybyś tylko znał się na ekonomii, nie zachowywałbyś się tak irracjonalnie” – wydaje się mówić wielu tradycyjnych ekonomistów. Nurt znany jako ekonoma behawioralna (ang. behavioral economics ) zakwestionował takie podejście, ponieważ wiele tzw. dziwactw jest wśród nas zaskakująco popularnych. Na przykład konwencjonalny ekonomista powiedziałby, że jeśli ktoś zgubi dzisiaj 10 zł oraz otrzyma dodatkową wypłatę w tej samej kwocie, jego nastrój nie powinien się zmienić. Wszak ( –10 ) + 10 = 0 [ zł ] , więc sytuacja finansowa pozostaje taka sama. Jednak ekonomiści behawioralni przeprowadzili badania, które pokazują, że po wystąpieniu tych dwóch zdarzeń wiele osób odczuje negatywne emocje – gniew lub frustrację. Mamy bowiem tendencję do skupiania się bardziej na stracie niż na zysku. Ekonomiści Daniel Kahneman i Amos Tversky w słynnym artykule opublikowanym w czasopiśmie Econometrica w 1979 r. nazwali to „awersją (niechęcią) do strat” i wykazali, że strata 1 dolara boli nas 2,25 razy bardziej niż zysk w tej samej wysokości. Ma to istotne konsekwencję dla procesów inwestycyjnych, ponieważ ludzie są skłonni do przesadnych zachowań na rynku akcji, mocniej reagując na straty niż na zyski. Ekonomia behawioralna stara się również wyjaśnić, dlaczego ludzie podejmują pozornie irracjonalne decyzje w obliczu różnych sytuacji lub jakie schematy zachowań stosują przy ich podejmowaniu. Poniżej przedstawiamy popularny przykład: Wyobraź sobie, że masz okazję kupić budzik za 200 zł w sklepie A. Dowiadujesz się, że w sklepie B, znajdującym się po drugiej stronie ulicy, jest dokładnie taki sam budzik za 150 zł. Można powiedzieć, że warto poświęcić swój czas – pięciominutowy spacer – aby zaoszczędzić 50 zł. A teraz inny przykład: jesteś w sklepie A i kupujesz telefon za 3 tys. zł. Pięć minut drogi dalej, w sklepie B, ten sam telefon kosztuje 2950 zł. Znowu oszczędzasz 50 zł, wykonując pięciominutowy spacer. Czy jednak pójdziesz na drugą stronę ulicy? Zaskakujące jest, że prawdopodobnie tego nie zrobisz. Ekonomiści głównego nurtu powiedzieliby, że „50 złotych to 50 złotych” i że byłoby irracjonalne, aby pięciominutowy spacer za 50 zł w jednym przypadku podjąć, a w drugim już nie. Jednak ekonomiści behawioralni wskazali, że większość z nas dokonuje oceny względem punktu odniesienia – w tym przypadku ceny produktu – i myśli o zyskach i stratach w kategoriach procentowych, a nie w kategoriach samego poziomu zysku. Który pogląd jest właściwy? Oba mają swoje zalety, ale ekonomiści behawioralni przynajmniej podjęli próby opisania i wyjaśnienia zachowań, które były wcześniej uznawane za irracjonalne. Jeśli większość z nas przejawia jakieś „irracjonalne zachowanie”, być może istnieją głębsze przyczyny tego stanu rzeczy. Mechanizmy zmniejszające ryzyko związane z niedoskonałą informacją Jeśli sprzedajesz dobra takie jak antyki lub używane samochody, gdzie niedoskonała informacja może stanowić problem, jak możesz zachęcić potencjalnych nabywców do zawarcia transakcji? Z kolei gdybyś kupował towar w warunkach niedoskonałej informacji, co mogłoby cię skłonić do dokonania zakupu? Nabywcy i sprzedawcy na rynku dóbr wykorzystują reputację, a także gwarancje, rękojmie i umowy serwisowe do zagwarantowania określonej jakości produktu. Na rynku pracy wykorzystywane są świadectwa, licencje i certyfikaty zawodowe pokazujące kompetencje, wiedzę i umiejętności pracowników, zaś na rynku kapitału finansowego poręczyciele i zabezpieczenia majątkowe stanowią częściową gwarancję uniknięcia kosztu nieprzewidzianych szkodliwych zdarzeń. Na rynku dóbr sprzedawca może zaoferować gwarancję zwrotu pieniędzy (ang. money-back guarantee ). Jest to umowa, która działa jak obietnica jakości. Gwarancja zwrotu pieniędzy polega na tym, że jeśli nie spodoba nam się konkretny produkt, możemy go bez żadnych dodatkowych warunków zwrócić, często na koszt sprzedawcy. Jest to szczególnie istotne dla firm, które sprzedają towary za pośrednictwem katalogów wysyłkowych lub przez internet, w związku z czym klienci nie mogą zobaczyć i przymierzyć towaru przed jego zakupem. Gwarancja zachęca ludzi do kupna, nawet jeśli nie wiedzą, czy na pewno chcą dane dobro nabyć. Jest to nieodłączny element modelu biznesowego takich marek, jak e-obuwie lub Zalando. Sprzedawcy mogą zaoferować gwarancję (ang. warranty ), która jest obietnicą naprawy lub wymiany towaru, przynajmniej przez określony czas. Sprzedawca może również zawrzeć z nabywcą umowę serwisową (ang. service contract ), w ramach której, za dodatkową opłatą, zgadza się naprawiać przez określony czas wszystkie usterki zakupionego towaru. Umowy serwisowe występują często jako opcja przy zakupie dóbr wartościowych, np. samochodów, urządzeń gospodarstwa domowego, a nawet domów. Gwarancje, rękojmie i umowy serwisowe to przykłady pewnego rodzaju zabezpieczeń udzielanych przez sprzedawców. W wielu przypadkach firmy oferują również nieformalne zabezpieczenia. Na przykład niektóre kina mogą zwrócić koszt biletu widzowi, który wychodzi z seansu w ciągu pierwszych 20-30 minut i skarży się na film. Podobnie jest z restauracjami, które raczej nie gwarantują zwrotu pieniędzy ani nie oferują polityki wymiany towarów, ale często pozwalają swoim klientom na wymianę jednego dania na inne lub na obniżenie ceny rachunku, jeśli klient jest niezadowolony. Uzasadnieniem takich działań jest chęć pozyskania stałych klientów, którzy z kolei będą polecać firmę innym potencjalnym nabywcom. W związku z tym zbudowanie dobrej reputacji ma ogromne znaczenie. Gdy nabywcy wiedzą, że przedsiębiorstwu zależy na opinii klientów, jest mniej prawdopodobne, że otrzymają produkt niskiej jakości. Na przykład sklep spożywczy o ugruntowanej pozycji i dobrej reputacji może żądać wyższej ceny niż sprzedawca na lokalnym targu, którego klienci po dokonaniu zakupu mogą już nigdy więcej nie zobaczyć. Pracownicy mogą zmniejszyć lub nawet zlikwidować zjawisko niedoskonałej informacji, dostarczając potencjalnemu pracodawcy swój życiorys, rekomendacje z poprzednich miejsc pracy, świadectwa, dyplomy, transkrypty ocen i inne dowody poświadczające uzyskanie koniecznych na danym stanowisku kompetencji. Na rynku pracy (ang. labor market ) wykorzystywane są także licencje zawodowe (ang. occupational licenses ). Wydają je zwykle agencje rządowe i są one dowodem, że pracownik ma określone wykształcenie lub zdał stosowny egzamin. Do podjęcia pracy w zawodach takich jak lekarz, pielęgniarka, architekt czy prawnik licencja jest niezbędna. Licencje zawodowe mają również swoją wadę, ponieważ stanowią barierę wejścia do niektórych profesji. Utrudnia to nowym chętnym konkurowanie z osobami już pracującymi, co może prowadzić do wyższych płac i w efekcie do wyższych cen oraz gorszej sytuacji konsumentów. Jednak w wypadku wybranych stanowisk państwo uznało, że dodatkowe informacje dostarczane przez licencje przeważają nad ich negatywnym wpływem na konkurencję rynkową. Po stronie pracodawcy standardowym zabezpieczeniem przed zatrudnieniem leniwego i niekompetentnego pracownika jest nawiązanie z nim pierwszego stosunku pracy na czas określony, co powoduje, że pracodawca po upływie określonego terminu może nie przedłużyć zatrudnienia z dowolnego powodu lub nawet bez podania przyczyny. Czasami pracownicy w okresie próbnym otrzymują również niższe wynagrodzenie. Na rynku kapitału finansowego (ang. financial capital market ) bank, zanim udzieli kredytu, wymaga od potencjalnego kredytobiorcy wypełnienia formularzy dotyczących źródeł dochodów. Ponadto instytucja finansowa kontroluje historię kredytową danej osoby. Kolejnym sposobem jest wymaganie poręczyciela (ang. cosigner ), czyli innej osoby lub firmy, która prawnie zobowiązuje się do spłaty części lub całości pieniędzy, jeśli pierwotny kredytobiorca tego nie zrobi. Jeszcze innym narzędziem jest wymaganie zabezpieczenia (ang. collateral ), które bank ma prawo zająć i sprzedać w sytuacji, gdy kredytobiorca nie spłaci kredytu. Standardowym zabezpieczeniem kredytu zaciągniętego na zakup nieruchomości jest hipoteka, czyli wpis do księgi wieczystej poświadczający, że dom lub grunt został zakupiony na kredyt i kredytodawca ma prawo do uzyskania zwrotu pożyczonych środków od właściciela danej nieruchomości. Nabywcy dóbr i usług rzadko są ekspertami, którzy potrafią ocenić jakość używanych samochodów, usług oferowanych przez prawników czy racjonalne podstawy cen antyków i dzieł sztuki. Pracodawcy i pożyczkodawcy nie mają żadnych gwarancji, że potencjalni pracownicy będą poprawnie i terminowo wykonywać swoje obowiązki, a kredytobiorcy spłacą kredyty na czas. Jednak mechanizmy, które wskazaliśmy wyżej, mogą zmniejszyć ryzyko związane z niedoskonałą informacją, tak aby kupujący i sprzedający byli skłonni zawrzeć transakcję nawet wówczas, gdy nie dysponują pełną informacją o jej warunkach. Pokusa nadużycia i selekcja negatywna Pokusa nadużycia (ang. moral hazard ) występuje wówczas, gdy mając ubezpieczenie, ludzie zachowują się bardziej ryzykownie niż w sytuacji, w której by go nie mieli. Na przykład jeśli posiadasz ubezpieczenie zdrowotne pokrywające koszty wizyty u lekarza i zakupu niezbędnych medykamentów, z mniejszym prawdopodobieństwem podejmiesz środki ostrożności zapobiegające zarażeniu się chorobą, która może wymagać porady lekarskiej (podejmiesz choćby ryzykowne zachowania seksualne). Jeśli masz ubezpieczenie samochodu, będziesz mniej martwić się sposobem jego prowadzenia lub miejscem parkowania. gdyż ewentualna kolizja, stłuczka lub zarysowanie lakieru nie narazi cię na dodatkowe koszty. Firma, która nie ma ubezpieczenia, będzie chciała zainstalować najwyższej klasy systemy bezpieczeństwa i przeciwpożarowe w celu ochrony przed kradzieżą i pożarem. Natomiast jeśli jest ubezpieczona, może zainwestować jedynie w minimalny poziom zabezpieczeń przed wspomnianymi zagrożeniami. Nie można całkowicie wyeliminować pokusy nadużycia (występuje tu asymetria informacji między firmą ubezpieczeniową a jej klientem), ale przedsiębiorstwa działające na tym rynku mają pewne sposoby na ograniczenie jej negatywnych skutków. Jedną z metod eliminacji skrajnych przypadków pokusy nadużycia są śledztwa mające na celu zapobieganie oszustwom ubezpieczeniowym. Przedsiębiorstwa ubezpieczeniowe mogą również monitorować niektóre rodzaje zachowań swoich klientów. Na przykład zaoferować niższą stawkę ubezpieczeniową przedsiębiorstwu, jeśli zainstaluje ono najwyższej klasy systemy bezpieczeństwa i ochrony przeciwpożarowej oraz będzie przeprowadzało kontrolę tych systemów co najmniej raz w roku. Natomiast zjawisko negatywnej selekcji (ang. adverse selection ) odnosi się do sytuacji, w której nabywcy ubezpieczeń wiedzą lepiej niż przedsiębiorstwo ubezpieczeniowe, czy ubezpieczana aktywność wiąże się w ich przypadku z wysokim, czy niskim ryzykiem. Prowadzi to do asymetrii informacji, ponieważ osoby obarczone wysokim ryzykiem będą bardziej skłonne do zakupu ubezpieczenia, nie informując sprzedawcy o podwyższonym ryzyku. To z kolei narazi firmę ubezpieczeniową na straty, gdyż cena ubezpieczenia w niewłaściwy sposób odzwierciedli ryzyko związane z konkretnym podmiotem, który kupuje ubezpieczenie. Na przykład osoba kupująca ubezpieczenie zdrowotne lub ubezpieczenie na życie historię zdrowia swojej rodziny zna lepiej niż ubezpieczyciel, nawet jeżeli przeprowadzi on kosztowne śledztwo w tym zakresie. Z kolei właściciel auta kupujący jego ubezpieczenie wie, czy prowadzi je w sposób ryzykowny, czy raczej bezpieczny, natomiast firmie ubezpieczeniowej, o ile kierowca nie miał wcześniej wypadku lub kolizji, trudno jest zebrać informacje o tym, jak faktycznie jeździ. Korzyści z misji sondy Voyager I Chociaż pozytywne efekty zewnętrzne inwestycji publicznych związanych z organizowanymi przez NASA misjami sond kosmicznych (w tym sondy Voyager I) z pewnością są powodem do zadowolenia (w końcu to m.in. dzięki nim cieszymy się takimi produktami jak telefony komórkowe), powinniśmy mieć świadomość, że korzyści te nie są dzielone równo. Ekonomiści tacy jak Tyler Cowen, profesor na Uniwersytecie George'a Masona, jednoznacznie wskazali, że przepaść między tymi, którzy mają dostęp do szybko rozwijającej się technologii, a tymi, którzy jej nie mają, nieustannie się powiększa. Według Cowena, autora książki, Average Is Over: Powering America Beyond the Age of the Great Stagnation ( Koniec średniej; napędzanie Ameryki poza epoką wielkiej stagnacji , przyp tłum.), ta nierówność w dostępie do technologii i informacji pogłębi nierówność w umiejętnościach, a ostatecznie również w płacach i globalnych standardach życia. Tym większa rola państwa, które, m.in. za pomocą finansowania dóbr takich jak edukacja czy sfera B+R może przeciwdziałać powiększaniu się tej luki. Kluczowe pojęcia i podsumowanie Wiele osób dokonuje transakcji w warunkach niedoskonałej informacji, czyli w sytuacji, gdy nabywca, sprzedawca lub obie strony nie mają pewności, że wiedzą wszystko na temat jakości i cen rynkowych kupowanego lub sprzedawanego towaru. Gdy informacja o jakości produktu i warunkach transakcji jest niedoskonała, funkcjonowanie rynku może być utrudnione. „Tandeta” to produkt, który po zakupie okazuje się mieć jakość niższą niż ta deklarowana przez sprzedawcę. Gdy sprzedawca ma dokładniejsze informacje o jakości produktu niż nabywca, nabywca będzie się wahał przed zakupem w obawie przed otrzymaniem szmelcu. Istnieje wiele sposobów radzenia sobie z niedoskonałą informacją. Nabywcy mogą korzystać z możliwości zwrotu pieniędzy, gwarancji, rękojmi, umów serwisowych i reputacji. Na rynkach pracy pracodawcy mogą korzystać z życiorysów pracowników, rekomendacji i licencji zawodowych oraz zatrudniać na okres próbny. Na rynkach kapitału finansowego pożyczkodawcy mogą wymagać od pożyczkobiorców wypełniania szczegółowych wniosków o kredyt lub pożyczkę, weryfikować zdolność kredytową, wymagać poręczycieli i różnego rodzaju zabezpieczeń. W przypadku rynku ubezpieczeniowego szczególnie wyraźne są problemy związane z niedoskonałą informacją. W konsekwencji pojawiają się na nim zjawiska takie jak pokusa nadużycia i negatywna selekcja. Pytania Self-Check Dla każdej z poniższej sytuacji określ, czy stopień niedoskonałości informacji jest stosunkowo wysoki, czy niski: Zakup jabłek na przydrożnym stoisku Zakup obiadu w restauracji za rogiem Zakup używanego laptopa na wyprzedaży garażowej Zamówienie kwiatów przez internet Stopień niedoskonałości informacji jest stosunkowo niski; w końcu możesz zobaczyć jabłka, które chcesz kupić. Stopień niedoskonałości informacji jest stosunkowo niski. Pobliska restauracja ma prawdopodobnie pewną lokalną reputację. Stopień niedoskonałości informacji jest stosunkowo wysoki. Jak możesz stwierdzić, czy komputer jest naprawdę w dobrym stanie? Dlaczego jest sprzedawany? Stopień niedoskonałości informacji jest stosunkowo wysoki. Jak naprawdę wyglądają te kwiaty? Dlaczego na rynku pracy występuje asymetria informacji? Jakie narzędzia może wykorzystać pracodawca w celu znalezienia pracownika o pożądanych cechach? Na rynku pracy często występuje asymetria informacji, ponieważ pracodawcy nie mogą z całą pewnością określić wielu, kluczowych z ich punktu widzenia, cech pracowników przed ich zatrudnieniem. Pracownicy natomiast wiedzą, czy są energiczni, skrupulatni, czy terminowo wykonują powierzone im zadania itp. Dlatego pracodawcy często wykorzystują poziom wykształcenia w celu wstępnej selekcji kandydatów. Pracodawcy mogą nawet nie przeprowadzić rozmowy kwalifikacyjnej z kandydatem, jeśli nie ma on odpowiedniego wykształcenia lub nie ukończył renomowanej uczelni. Pracodawcy mogą również postrzegać nagrody, wysoką średnią ocen i inne wyróżnienia jako oznaki gotowości do ciężkiej pracy, wytrwałości i umiejętności. Mogą też wykorzystywać referencje do oceny kluczowych cech, takich jak inicjatywa, etyka pracy itd. Pytania Review Dlaczego nabywcom i sprzedawcom może być trudno uzgodnić cenę, gdy istnieje niedoskonała informacja? Co ekonomiści (i sprzedawcy używanych samochodów) rozumieją przez „tandetę” ? Jak w warunkach niedoskonałej informacji sprzedawca może zagwarantować potencjalnemu nabywcy odpowiednią jakość produktu? Jak w warunkach niedoskonałej informacji pracownik może zagwarantować potencjalnemu pracodawcy odpowiednią jakość swojej pracy? Jak w warunkach niedoskonałej informacji kredytobiorca może zagwarantować bankowi, że spłaci kredyt? Na czym polega problem pokusy nadużycia? W jaki sposób negatywna selekcja może utrudnić funkcjonowanie rynku ubezpieczeniowego? Pytania Critical Thinking Jesteś członkiem rady dyrektorów prywatnego liceum, które rekrutuje nowych nauczycieli przedmiotów ścisłych. Gdy myślisz o zatrudnieniu kogoś do pracy, jakich narzędzi możesz użyć, aby przezwyciężyć problem niedoskonałej informacji? W jaki sposób problem pokusy nadużycia mógł wpłynąć na bezpieczeństwo zawodników uprawiających dyscypliny takie jak futbol amerykański czy boks w sytuacji, w której przepisy bezpieczeństwa nałożyły na sportowców obowiązek noszenia strojów lepiej chroniących ciało? Bibliografia Center on Budget and Policy Priorities. 2015. “Policy Basics: Where Do Our Federal Tax Dollars Go?” Accessed April 1, 2015. http://www.cbpp.org/cms/?fa=view&id=1258. Consumer Reports. “Consumer Reports.org.” http://www.consumerreports.org/cro/index.htm. Federal Trade Commission. “About the Federal Trade Commission.” Last modified October 17, 2013. http://www.ftc.gov/ftc/about.shtm. Huffington Post. 2015. “HUFFPOLLSTER: Poll Shows Uptick In Obamacare Favorable Rating.” Accessed April 1, 2015. http://www.huffingtonpost.com/2015/03/19/affordable-care-act-fav_n_6900938.html. Kahneman, Daniel, and Amos Tversky. “Prospect Theory: An Analysis of Decision under Risk.” Econometrica . 47, no. 2 (1979): 263-291. http://www.princeton.edu/~kahneman/docs/Publications/prospect_theory.pdf. Rasmussen Reports, LLC. “Rasmussen Reports.” http://www.rasmussenreports.com/. asymetria informacji (ang. asymmetric information ) sytuacja, w której jedna strona transakcji ma więcej informacji dotyczących jej istotnych warunków niż druga strona zabezpieczenie (ang. collateral ) cenny składnik majątku – często nieruchomość lub dobro o wysokiej wartości – który kredytodawca ma prawo zająć i sprzedać, jeśli kredytobiorca nie spłaci kredytu poręczyciel (ang. cosigner ) osoba lub firma, która prawnie zobowiązuje się do spłaty części lub całości pożyczki (kredytu), jeśli pierwotny pożyczkobiorca tego nie zrobi niedoskonała informacja (ang. imperfect information ) sytuacja, w której nabywca, sprzedawca lub obaj jednocześnie nie są pewni jakości kupowanego lub sprzedawanego produktu gwarancja zwrotu pieniędzy (ang. money-back guarantee ) obietnica, że sprzedawca zwróci nabywcy pieniądze, najczęściej bez żadnych dodatkowych warunków licencja zawodowa (ang. occupational license ) licencja wydawana przez agencję rządową lub stowarzyszenie branżowe poświadczająca, że pracownik ma określone wykształcenie lub zdał stosowny egzamin umowa serwisowa (ang. service contract ) obietnica sprzedawcy – za dodatkową opłatą ponoszoną przez nabywcę – naprawy przez określony czas wszystkiego, co jest przewidziane w umowie gwarancja (ang. warranty ) obietnica naprawy lub wymiany towaru we wskazanym w umowie okresie negatywna selekcja (ang. adverse selection ) sytuacja, w której wśród osób ubezpieczających się zaczynają dominować te o wyższym poziomie ryzyka, co obciąża system ubezpieczeniowy ubezpieczenie (ang. insurance ) sposób ochrony przed stratami finansowymi polegający na tym, że ubezpieczeni dokonują regularnych wpłat na rzecz zakładu ubezpieczeń, a przedsiębiorstwo ubezpieczeniowe wypłaca odszkodowanie tej osobie, która poniosła szkody finansowe w wyniku zdarzenia objętego polisą pokusa nadużycia (ang. moral hazard ) sytuacja, w której ludzie dysponujący ubezpieczeniem związanym z wystąpieniem określonego zdarzenia są mniej skłonni do podejmowania działań mających je przed nim ochronić", "section": "Problem niedoskonałej informacji i asymetrii informacji", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wprowadzenie do rozdziału Palący problem Pożar buszu w Australii na przełomie 2019 i 2020 r. (Źródło: Pixabay) Uwaga, pożar! We wrześniu 2019 r. australijskie Biuro Meteorologiczne wydało ostrzeżenie o radykalnym wzroście zagrożenia pożarowego w Nowej Południowej Walii oraz Queenslandzie, gdzie już w latach 2017–2018 panowała susza. W pierwszej połowie roku 2019 opady w tych dwóch stanach były o 50% niższe od wieloletniej średniej, a na niektórych obszarach najniższe od 1900 r. Meteorologów zaalarmowała bardzo niska wilgotność ściółki oraz średnie temperatury wyższe o 10 °C od ubiegłorocznych. Zagrożenie zwiększał jeszcze porywisty wiatr. W takich warunkach zarzewiem pożogi mogło stać się uderzenie pioruna lub przypadkowa iskra. Niestety, ten negatywny scenariusz się ziścił. Już w październiku 2019 r. ogień trawił wiele hektarów buszu. W kolejnych miesiącach żywioł szybko się rozprzestrzeniał, mimo wysiłków tysięcy strażaków, wojska i ludności cywilnej. Według Biura Meteorologicznego był to największy znany pojedynczy pożar we wschodniej Australii w czasie sezonu letniego. Do marca 2020 ogień pochłonął 19 mln ha buszu, ponad 3 tys. domów i uśmiercił 33 osoby. Zabił też ponad miliard kręgowców (ssaków, ptaków i gadów) oraz trudną do oszacowania, gigantyczną liczbę bezkręgowców (głównie stawonogów). Dym i smog zatruły powietrze. Badacze ustalili, że w ciągu 19 tygodni trwania pożaru nastąpiło 417 nadmiarowych zgonów spowodowanych smogiem, doszło do 1124 hospitalizacji z powodu problemów z układem sercowo-naczyniowym oraz 2027, których przyczyną były problemy z układem oddechowym. Ponadto 1305 osób wymagało interwencji wywołanej nasilonymi objawami astmy. Wydawać by się mogło, że tak wielka katastrofa naturalna wywoła w Australii ogólnonarodową dyskusję na temat podejścia do paliw kopalnych (kraj ten jest przecież jednym z największych światowych eksporterów węgla kamiennego), zmian klimatycznych i kosztów związanych z dotychczasowym modelem funkcjonowania gospodarki. Właśnie ta problematyka jest przedmiotem rozważań niniejszego rozdziału. Wprowadzenie do rozdziału Dzięki lekturze tego rozdziału dowiesz się: na czym polegają zmiany klimatyczne jakie mogą być negatywne skutki zmian klimatu w jaki sposób zmiany klimatyczne wpływają na działalność przedsiębiorstw w jaki sposób pryncypia zrównoważonego rozwoju pomagają zaplanować i wdrożyć zieloną transformację przedsiębiorstw czym są zrównoważone produkty finansowe jaką rolę w procesie zielonej transformacji odgrywa sektor finansowy W poprzednim rozdziale przedstawiona została koncepcja negatywnych efektów zewnętrznych, czyli szkód, jakie powoduje działalność pojedynczych osób bądź przedsiębiorstw. Wiemy już, że podmioty wywołujące takie szkody nie ponoszą z ich powodu żadnych kosztów – te są najczęściej przerzucane na całe społeczeństwo. Zmiany klimatyczne są jednym z najważniejszych źródeł negatywnych efektów zewnętrznych. W kolejnych podrozdziałach zastanowimy się nad czynnikami, które zmiany te wywołują, ich najważniejszymi konsekwencjami dla sektora przedsiębiorstw, a także sposobami ograniczenia tych niekorzystnych zjawisk i wyeliminowania negatywnych skutków zmian klimatu. Na półkuli północnej od 2005 r. widać bardzo wyraźny trend kształtowania się średnich temperatur letnich miesięcy. Lektura raportu europejskiego programu badawczego Copernicus (Copernicus Climate Change Service) nie pozostawia żadnych złudzeń: klimat naszej planety ulega daleko idącym zmianom. Potwierdzeniem tego jest właśnie systematyczny wzrost średnich temperatur. Pomiary wskazują, iż średnia globalna temperatura w 2021 r. było o 0,3 °C wyższa od średniej temperatury notowanej w latach 1991–2020, oraz o 1,1°C–1,2°C wyższa od średnich poziomów z lat 1850–1900. Zacytujmy dyrektora Copernicusa, Carlo Buontempo: „Rok 2021 był kolejnym rokiem ekstremalnych temperatur, z najgorętszym latem w Europie, falami upałów w basenie Morza Śródziemnego, nie wspominając o bezprecedensowo wysokich temperaturach w Ameryce Północnej”. Latem 2021 r. można było również zaobserwować intensyfikację negatywnych skutków tych zmian. Wyjątkowo wysokie temperatury w regionie Morza Śródziemnego doprowadziły do licznych pożarów. Na Sycylii termometry wskazały 48,8°C – najwyższą temperaturę w historii pomiarów w Europie. W tym samym czasie inne kraje Starego Kontynentu nękane były przez groźne powodzie, które doprowadziły do śmierci łącznie kilkuset osób oraz do ogromnych strat ekonomicznych. Zdaniem naukowców zmiany klimatu, z którymi mamy do czynienia, zwiększyły ryzyko pojawienia klęsk żywiołowych o ponad 20%. W tym kontekście wydaje się oczywiste, że zmiany klimatu to jedno z największych wyzwań dla ludzkości w XXI w. Niepodważalne dane naukowe wskazują, że stoimy u progu katastrofy. Niebezpieczne zjawiska pogodowe, takie jak ulewne deszcze, powodzie, huragany, długotrwałe upały i susze, pojawiają się coraz częściej na każdej szerokości geograficznej. Klęski żywiołowe są najbardziej widocznymi, ale oczywiście nie jedynymi konsekwencja zmian klimatu. Spektrum zagrożeń z nimi związanych jest zdecydowanie szersze i dotyka niemal wszystkich sfer życia, w tym oczywiście gospodarki i sektora przedsiębiorstw. Decyzje obecnie podejmowane przez trzech regulatorów gospodarki (tj. konsumentów, przedsiębiorstwa i państwo) zdeterminowane są dotychczasową ścieżką rozwoju, a konsekwencje tych decyzji zdecydują o sytuacji klimatycznej planety w niedalekiej przyszłości. Dlatego tak ważne jest, żebyśmy wszyscy potrafili redefiniować nasze priorytety. Musimy sobie uświadomić, że wybory podejmowane w sferze konsumpcji (indywidualnej i zbiorowej) oraz produkcji wpływają na przyszłość całej ludzkości. Decyzje te mogą zapobiec lub przynajmniej ograniczyć skalę przyszłych zmian klimatycznych (działania te nazywane są jako mitygacją), a także dostosować zasady gospodarowania do zmieniającego się klimatu. Stawką jest nie tyle poprawa, co utrzymanie obecnego standardu życia ludzkości. Kluczową rolę mają tu do odegrania przedsiębiorstwa, które – inwestując w nowoczesne technologie, wybierając określone metody produkcji i strukturę asortymentu – mogą nie tylko ograniczyć zużycie surowców, ale także kształtować postawy i wybory konsumenckie. Innymi słowy, bez wprowadzenia zielonej transformacji firm dalszy rozwój globalnej gospodarki nie będzie możliwy. Bibliografia „2019–20 Australian bushfires—frequently asked questions: a quick guide”, 2019. https://www.aph.gov.au/About_Parliament/Parliamentary_Departments/Parliamentary_Library/pubs/rp/rp1920/Quick_Guides/AustralianBushfires. Rzeczpospolita. „2021 rok był piątym najcieplejszym rokiem w historii”, 12 styczeń 2022. https://klimat.rp.pl/planeta/art19279221-2021-rok-byl-piatym-najcieplejszym-rokiem-w-historii. „Agricultural Risk Management in the face of climate change”. Agriculture Global Practice Discussion Paper. The World Bank Group, październik 2015. https://openknowledge.worldbank.org/handle/10986/22897. Arriagada Borchers, Nicolas, Andrew J Palmer, David M J S Bowman, Geoffrey G Morgan, Bin B Jalaludin, i Fay H Johnston. „Unprecedented smoke- related health burden associated with the 2019–20 bushfires in eastern Australia”. The Medical journal of Australia 213, nr 6 (2020): 282–83. https://doi.org/10.5694/mja2.50545. Eckstein, D., Künzel, V., Schäfer, L. „Global Climate Risk Index 2021”. www.germanwatch.org/en/cri Blake, Eric S., i Ethan J. Gibney. „Deadliest, Costliest, and Most Intense United States Tropical Cyclones from1851 to 2010”. Technical Memorandum. Florida: National Weather Service National Hurricane Center, sierpień 2011. „BP boosts its renewables business in the US with 9GW solar acquisition from 7X Energy”. BP, 1 czerwiec 2021. https://www.bp.com/en/global/corporate/news-and-insights/press-releases/bp-boosts-its-renewables-business-in-the-us-with-9gw-solar-acquisition-from-7x-energy.html. Kim, Kyungbok, i Sang-Myung Lee. „Does Sustainability Affect Corporate Performance and Economic Development? Evidence from the Asia-Pacific Region and North America”. Sustainability 10, nr 4 (21 marzec 2018): 909. https://doi.org/10.3390/su10040909. Morenne, Benoit, i Kevin Hand. „How Skiing Can Survive Climate Change”. The Wall Street Journal, 10 luty 2020. https://www.wsj.com/articles/how-skiing-can-survive-climate-change-11612969209. Naumann, Gustavo, Carmelo Cammalleri, Lorenzo Mentaschi, i Luc Feyen. „Increased Economic Drought Impacts in Europe with Anthropogenic Warming”. Nature Climate Change 11, nr 6 (czerwiec 2021): 485–91. https://doi.org/10.1038/s41558-021-01044-3. „Special Climate Statement 71 — severe fire weather conditions in southeast Queensland and northeast New South Wales in September 2019”. Australian Government Bureau of Meteorology, 2019. http://www.bom.gov.au/climate/current/statements/scs71.pdf. Wajer, Jarosław, i Marcin Gul. „Biznes dla klimatu. Raport o zmianie priorytetów”. EY i ING, września 2021. https://www.ey.com/pl_pl/climate-change-sustainability-services/raport-ey-ing-biznes-dla-klimatu. Weaver, David. „Can Sustainable Tourism Survive Climate Change?” Journal of Sustainable Tourism 19, nr 1 (styczeń 2011): 5–15. https://doi.org/10.1080/09669582.2010.536242. Wobus, Cameron, Eric E. Small, Heather Hosterman, David Mills, Justin Stein, Matthew Rissing, Russell Jones, i in. „Projected Climate Change Impacts on Skiing and Snowmobiling: A Case Study of the United States”. Global Environmental Change 45 (lipiec 2017): 1–14. https://doi.org/10.1016/j.gloenvcha.2017.04.006.", "section": "Wprowadzenie do rozdziału", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Zmiany klimatu i ich negatywne konsekwencje Po przeczytaniu tego podrozdziału będziesz w stanie: Wskazać na najważniejsze czynniki determinujące obecne zmiany klimatu na Ziemi Objaśnić, jakie są społeczne i gospodarcze skutki zmian klimatycznych Zrozumieć, w jaki sposób zmiany klimatu zagrażają dotychczasowej działalności przedsiębiorstw Określić, które branże zostaną w największym stopniu dotknięte zjawiskiem zmian klimatycznych Zgodnie z najpowszechniej wykorzystywaną definicją zmiany klimatu (ang. climate change ) to przede wszystkim cykliczne wzrosty i spadki średniej temperatury naszego globu spowodowane m.in. zmianami stężenia gazów cieplarnianych w atmosferze, cyrkulacją mas powietrza (przede wszystkim nad powierzchnią oceanów), aktywnością Słońca oraz wulkanów. Na podstawie badań prowadzonych przez paleoklimatologów wiemy, że średnie temperatury na Ziemi zmieniają się od milionów lat ( ). Odchylenie globalnej średniej temperatury powierzchni Ziemi od średniej z lat 1850–1900 (średnie dekadowe). Dane z lat 1850–2000 to obserwacje, a z lat 1–1850 to rekonstrukcja. (Źródło: raport IPCC AR6) Jeśli ktokolwiek w tym momencie pomyślał, że skoro zmiany klimatu są stałym elementem historii Ziemi, to nie ma się czym przejmować, popełnia poważny błąd wynikający z ignorowania dwóch czynników. Owszem, zmiany średniej temperatury naszego globu występowały w przeszłości, ale ich tempo w XX w. jest bezprecedensowe. Klimatolodzy nie mają wątpliwości, że tak szybki wzrost średnich temperatur na Ziemi ma silny związek z rewolucją przemysłową i wykorzystaniem przez człowieka paliw kopalnych (węgla, ropy naftowej i gazu ziemnego), których zużycie szybko zwiększa stężenie dwutlenku węgla w atmosferze. Co gorsza, proces ten cały czas przyspiesza, m.in. dlatego, że wzrost średniej temperatury na półkuli północnej powoduje topnienie wiecznej zmarzliny (tj. stale zmrożonych gruntów) na północy Azji i Ameryki Północnej, co uwalnia do atmosfery związane w niej gazy: dwutlenek węgla i metan. Ponadto kurczenie się pokrywy lodowej w Arktyce powoduje, że kula ziemska zamiast odbijać w tych miejscach promieniowanie słoneczne, zaczyna je absorbować, co dodatkowo zwiększa tempo wzrostu średnich temperatur. Wszystko to sprawia, że zdaniem klimatologów w ciągu dwóch najbliższych dekad średni wzrost temperatury może przekroczyć 1,5 °C w stosunku do okresu przedprzemysłowego. Mogłoby się wydawać, że to niewiele, ale jest to wystarczająco dużo, by spowodować gwałtowny wzrost liczby, skali i konsekwencji katastrof naturalnych zagrażających życiu, zdrowiu i mieniu nas wszystkich. Wspomnieliśmy już, że temperatury na Ziemi fluktuują od setek milionów lat, jednak wcześniejsze zmiany klimatu występowały albo przed pojawieniem się człowieka na ziemi, albo w okresie, kiedy wytwory kultury materialnej były szczątkowe. Możemy się oczywiście pocieszać, że 500 mln lat temu średnie temperatury oceanów były o ponad 20 °C wyższe od obecnych i na Ziemi kwitło życie. Jest to jednak rozważanie prowadzące na manowce, ponieważ w tym czasie nie dość, że nie istniały jeszcze żadne miasta położone na wybrzeżach (którym zagrażałby wzrost poziomu mórz i oceanów), to po ziemi nie chodziły nawet dinozaury! Innymi słowy, jeśli nie zatrzymamy dotychczasowego trendu wzrostowego średniej temperatury naszego globu, to oczywiście Ziemia istnieć nie przestanie, natomiast ludzkość będzie miała przed sobą bardzo ponurą przyszłość. Zmiany temperatur na Ziemi od 500 mln lat do dzisiaj. Szara poprzeczna linia pokazuje temperaturę, powyżej której pokrywy lodowe na biegunach topią się i znikają. Największe ochłodzenie przypada na czas ewolucji naczelnych oraz człowieka. (Źródło: na podstawie Smithsonian Institution) Wyzwaniem dla klimatologów i osób, które zajmują się zjawiskiem zmian klimatycznych, jest również fakt, że wzrost średnich, globalnych temperatur nie dotyka wszystkich obszarów planety w takim samym stopniu. Co więcej, obszary, w których emisja gazów cieplarnianych jest najwyższa (uprzemysłowiona północ) nie pokrywają się z tymi, których konsekwencje tego procesu dotykają najmocniej. Nasilenie ekstremalnych zjawisk meteorologicznych (fale upałów, nawalne deszcze, susze, tropikalne cyklony itp.) największe jest w krajach Azji Południowo-Wschodniej oraz małych państwach wyspiarskich na Pacyfiku. Ze względu na specyficzne położenie i warunki geoklimatyczne posiadają one niewspółmiernie większą ekspozycję na klimatyczną katastrofę niż np. kontynent europejski. W związku z tą asymetryczną dystrybucją zagrożenia mieszkańcy krajów położonych w najbardziej uprzemysłowionych obszarach świata są – jak dotychczas – rzadziej konfrontowani z najbardziej niszczycielskimi konsekwencjami wzrostu średnich temperatur i tym samym dopiero zaczynają dostrzegać potrzebę podejmowania szybkich działań w kierunku mitygacji (ang. mitigation ) i adaptacji nadchodzących zmian. Zmiany klimatu pociągają za sobą konkretne skutki społeczne (w tym przede wszystkim zdrowotne) i gospodarcze, takie jak: brak możliwości prowadzenia upraw w wyniku pustynnienia areałów wykorzystywanych wcześniej pod działalność rolną, wyjaławianie łowisk, nasilenie niszczycielskich zjawisk pogodowych takich jak cyklony, powodzie i susze, oraz będące ich konsekwencją ubóstwo, choroby, niepokoje społeczne i fale migracji. Pełną systematykę skutków zmian klimatu przedstawia poniższa infografika ( ). Systematyka skutków zmian klimatycznych. (Źródło: na podstawie „ Lancet \", 2015) Na społeczną percepcję zmian klimatycznych wpływa też charakter debaty publicznej poświęconej konsekwencjom i sposobom przeciwdziałania tym zmianom. Do lat 70. XX w. ludzkość w zasadzie nie miała świadomości wzrostu średnich temperatur, a przekonanie o nieograniczoności zasobów naturalnych było powszechne. Dominował pogląd, zgodnie z którym eksploatacja paliw kopalnych – nawet intensywna – nie oddziałuje znacząco na klimat, a ten z kolei nie stanowi zagrożenia dla ekosystemu Ziemi oraz nie wpływa na życie społeczno-gospodarcze jej mieszkańców. Jednak wzrastająca częstotliwość występowania gwałtownych zjawisk meteorologicznych zmusiła międzynarodową społeczność naukową do zajęcia się problemem zmieniającego się klimatu. Pierwsze refleksje nad wpływem człowieka na klimat pojawiły się w latach 70. XX w., kiedy to Światowa Organizacja Meteorologiczna, Program Ochrony Środowiska Narodów Zjednoczonych oraz Międzynarodowa Rada Nauki zorganizowały konferencję, w trakcie której ponad 350 specjalistów z 53 krajów, reprezentujących różne dyscypliny nauki i działy gospodarki, wspólnie ogłosiło potrzebę precyzyjnego badania klimatu oraz monitorowania poziomu i dynamiki stężeń gazów w atmosferze. Niecałą dekadę później w kanadyjskim Toronto naukowcy całego świata wezwali rządy, organizacje międzynarodowe, ośrodki akademickie oraz organizacje samorządowe do „przedsięwzięcia konkretnych działań w celu powstrzymania kryzysu, do którego doprowadzi wzrost zanieczyszczenia atmosfery”. W tym samym 1988 roku powołano do istnienia Międzyrządowy Zespół do spraw Zmian Klimatu (IPCC), którego ustalenia zwieńczył wydany w 1990 r. raport stwierdzający, że działalność człowieka prowadzi do „znaczącego zwiększenia” stężenia gazów cieplarnianych w atmosferze. Kolejne trzy dekady wysiłków zmierzających do zrozumienia kwestii klimatycznych przyniosły stworzenie ramowej konwencji Narodów Zjednoczonych w sprawie klimatu (UNFCCC), organizowane corocznie od 1995 roku Konferencje Stron (COP), a także kolejne, coraz bardziej alarmujące raporty IPCC. Pierwsze realne efekty dyplomacji klimatycznej doprowadziły do przyjęcia w 1997 r. przez 41 państw Organizacji Współpracy Gospodarczej i Rozwoju tzw. protokołu z Kioto, zobowiązującego kraje rozwinięte do pierwszych ograniczeń emisji gazów cieplarnianych. Protokół wszedł w życie w lutym 2005 r., lecz nie został ratyfikowany przez jednego z największych emitentów dwutlenku węgla do atmosfery, czyli Stany Zjednoczone. W kolejnych latach cykliczne konferencje COP prowadziły do wprowadzania następnych, niewielkich zmian, aż do historycznego przyjęcia, w grudniu 2015 r., tzw. porozumienia paryskiego, którego celem jest powstrzymanie wzrostu globalnej temperatury „znacznie poniżej 2°C”. Ostatni szczyt COP26 w Glasgow w 2021 r. nie przyniósł niestety rewolucyjnych deklaracji dotyczących tempa wycofywania się z wykorzystania technologii opartych na węglu, choć należy przyznać, że pojawiło się kilka cennych inicjatyw związanych z odejściem od technologii węglowych w energetyce. Odwiedź tę stronę internetową i zapoznaj się z historią negocjacji dotyczących ograniczania tempa zmian klimatycznych i minimalizowania niekorzystnych konsekwencji tego zjawiska. Zmiany klimatu, które – jak to już zostało wskazane powyżej – w pełni zasługują na określenie kryzys klimatyczny (ang. climate crisis ) w olbrzymi sposób wpływają na to, jak żyjemy i pracujemy. Z raportu opublikowanego w 2019 r. przez Międzynarodową Organizację Pracy (ILO) wynika, że do 2030 r. 80 mln miejsc pracy na całym świecie będzie zagrożonych, jeśli ziszczą się prognozy dotyczące wzrostu średnich temperatur. Zgodnie z tą prognozą nieprzyjazne środowisko wpłynie także negatywnie na samą wydajność pracy. Prawie wszystkie branże są bezpośrednio lub pośrednio zagrożone skutkami zmian klimatu. Same Stany Zjednoczone z powodu globalnego wzrostu temperatury mogą stracić 520 mld dolarów w 22 sektorach. Analizę potencjalnych zagrożeń dla działalności przedsiębiorstw związanych ze zmianą klimatu rozpocznijmy od podziału ryzyk klimatycznych na trzy typy: materialne transformacyjne prawne Ryzyko materialne (ang. material risk ) związane ze zmianą klimatu są to zagrożenia bezpośrednio związane ze zjawiskami naturalnymi zachodzącymi na naszej planecie. Powodzie, cyklony, katastrofalne susze i pożary, czyli najbardziej niszczycielskie konsekwencje kryzysu klimatycznego, mogą spowodować fizyczne szkody dla ludzi, ich mienia oraz dla infrastruktury. Na przykład w latach 2000–2015 odsetek globalnej populacji zagrożonej powodziami wzrósł o blisko 25% w porównaniu z okresem 1970–2000. Ponadto Światowa Organizacja Zdrowia szacuje, że do 2030 r. ok. 700 mln ludzi będzie zagrożonych przesiedleniem w wyniku suszy. Nasilające się i występujące coraz częściej poważne zdarzenia pogodowe już dziś wywierają negatywny wpływ na działalność przedsiębiorstw. W 2017 r. w Stany Zjednoczone uderzył huragan Harvey, który spowodował szkody o wartości 125 mld dolarów. Z kolei straty spowodowane suszą, która nawiedziła UE w ostatnich latach, oszacowano na ok. 9 mld dolarów. Jeśli nie uda nam się ograniczyć tempa wzrostu średnich temperatur w Europie, straty te mogą sięgnąć poziomu 65 mld dolarów rocznie. Prognoza wpływu zmian klimatycznych na gospodarki światowe w 2050 r. wyrażone jako średni roczny ubytek dochodu narodowego (utracone PKB). (Źródło: na podstawie Economist Intelligence Unit) Na zagrożenia materialne szczególnie narażony jest przemysł rolny. Zarówno powodzie, jak i susze stanowią zagrożenie dla upraw i hodowli. Australijskie Biuro Meteorologiczne w raporcie z 2020 r. poinformowało, że w wyniku suszy spowodowanej zmieniającym się klimatem w ciągu ostatnich dwóch dekad przychody rolników spadły o ponad 23% w porównaniu ze średnimi historycznymi. W Polsce natomiast w latach 2001–2011 wskutek niekorzystnych zdarzeń pogodowych, takich jak susze i powodzie, odnotowano straty w wysokości 56 mld zł. Prognozuje się, że w przypadku niepodjęcia stosownych działań adaptacyjnych, straty te w latach 2021–2030 mogą w naszym kraju wynieść aż 120 mld zł. Bezpośrednie koszty zmian klimatycznych w Polsce w latach 2001–2011 (kwoty w zł). (Źródło: na podstawie danych IMGW) Kolejnym sektorem bezpośrednio narażonym na materialne ryzyko zmian klimatycznych jest turystyka. Ośrodki narciarskie dotkliwie odczuwają skutki mniejszych opadów śniegu i związanego z tym skrócenia sezonu narciarskiego. Prognozy sporządzone na przełomie pierwszej i drugiej dekady XX w. zakładają skrócenie sezonów w amerykańskich kurortach narciarskich o połowę w perspektywie 2050 roku i aż o 80% do roku 2090. Duże i popularne regiony turystyczne w Stanach Zjednoczonych, Turcji, Portugalii czy Australii dotykane są przez pożary, huragany i ulewne deszcze. Regiony, które coraz częściej są nawiedzane przez klęski żywiołowe, przestają być bezpiecznym miejscem na wakacje, co pociąga za sobą spadek dochodów z turystyki. Ryzyko transformacyjne ) (ang. transition risk ) wynika z prognozowanego wzrostu kosztów związanego z dostosowaniem działalności przedsiębiorstw do wymogów polityki klimatycznej (np. zmiany źródeł energii, wdrożenia nowych technologii pozwalających ograniczyć emisję gazów cieplarniach itp.) czy też innych regulacji mających na celu przeciwdziałanie zmianom klimatu. Ryzyko to może również wynikać ze zmian technologii i trendów konsumenckich mogących skutkować utratą reputacji marki, gdy konsumenci stają się coraz bardziej wyczuleni na społeczne i środowiskowe aspekty odpowiedzialnego prowadzenia biznesu. Badania opinii publicznej prowadzone w krajach wysoko uprzemysłowionych wskazują, że obywatele tych państw są coraz bardziej wrażliwi na kwestie ochrony środowiska. Tendencja ta najsilniejsza jest wśród ludzi młodych, u których troska o środowisko naturalne i własną przyszłość staje się motorem zmian modeli konsumpcji. Jeżeli przedsiębiorstwa nie będą w stanie dostosować się do tego trendu, grozi im zniknięcie z rynku, szczególnie w krajach OECD. Szczególną ekspozycję na ryzyko transformacyjne przejawiają firmy przemysłu ciężkiego, sektora wydobywczego i energetycznego, bazujące na zasobach wysokoemisyjnych (węgiel kamienny i brunatny, ropa naftowa i gaz ziemny) oraz technologiach z nimi związanych (np. pozyskiwanie ropy z piasków bitumicznych). Te trzy sektory gospodarki są odpowiedzialne za największą ilość emisji gazów cieplarnianych do atmosfery. Konieczne jest zatem przeprowadzenie zielonej transformacji tych sektorów, ograniczające ich uzależnienie od zasobów wysokoemisyjnych. W długiej perspektywie zasoby te skazane są na utratę swojej wartości, stając się tzw. aktywami osieroconymi. Niemniej jednak ekstrapolacja dotychczasowych trendów wskazuje, że całkowite odejście od paliw kopalnych w skali światowej zajmie jeszcze około 50 lat. Problemem dla wymienionych wyżej branż, jak i dla całej gospodarki jest tak duży globalny popyt na zasoby energetyczne, że nie da się go zaspokoić wyłącznie odnawialnymi źródłami energii. W Polsce ze względu na zobowiązania związane z członkostwem naszego kraju w UE całkowite odejście od węgla jest nieuchronne, ale proces ten będzie następował stopniowo, dzięki czemu ryzyko nagłego osierocenia aktywów węglowych raczej nie nastąpi. Mimo to już dziś możemy zaobserwować malejące zainteresowanie inwestorów (w tym przede wszystkim instytucjonalnych) akcjami spółek sektora wydobywczego, ponieważ, po pierwsze, chcą oni zminimalizować straty związane ze spadkiem cen akcji, a po drugie, przykładają coraz większą wagę do posiadania wizerunku odpowiedzialnego społecznie inwestora. Warto w tym miejscu zdecydowanie podkreślić, że zwiększenie tempa transformacji ekologicznej wyżej wymienionych sektorów w dużym stopniu zależy od umiejętnego wdrażania narzędzi polityki gospodarczej (jak np. podatek węglowy; rynek praw do emisji), a także jej umiejętnej koordynacji na poziomie międzynarodowym (Polska – Unia Europejska). Ryzyko prawne (ang. legal responsibility risk ) wynika z braku dostosowania się (lub ujawnienia działań adaptacyjnych) bądź też niestosowania się do zmieniających się wymogów prawnych i regulacyjnych. Liczba i natężenie sporów klimatycznych rośnie na całym świecie. Dzieje się tak głównie ze względu na rosnące naciski ze strony organów regulacyjnych. Jednocześnie również sami inwestorzy (posiadacze akcji) zabiegają o to, by firmy spełniały nowe, proekologiczne wymagania regulacyjne. Firmy, które zanieczyszczają środowisko, są oczywiście w większym stopniu narażone na spory sądowe. Dotyczy to także firm, które nie podejmują działań w perspektywie długookresowej i nie uwzględniają konsekwencji zmian klimatycznych w oferowanych przez siebie dobrach i usługach (np. firmy budowlane czy deweloperzy, którzy lekceważą kwestię energooszczędności wznoszonych przez siebie budynków). Dziesiątki największych światowych firm, w tym Nestlé, Delta Air Lines i Swatch, są wysoce narażone na ryzyko klimatyczne – ostrzegają inwestorzy zrzeszeni w Institutional Investors Group on Climate Change (IIGCC). Wezwali oni firmy do dalszego zwiększania wysiłków w celu przeciwdziałania zagrożeniom wynikającym ze zmian klimatu. Więcej o wytycznych IIGCC dotyczących działań biznesowych mających na celu rozwiązanie problemów związanych ze zmianami klimatu znajdziesz na https://www.iigcc.org/resource/building-resilience-to-a-changing-climate. Key Concepts and Summary Zmiany klimatu na kuli ziemskiej przejawiają się głównie wzrostem średnich temperatur. Zjawiska te, poparte szeregiem dowodów będących pochodną interdyscyplinarnych badań naukowych, są faktem, a nie hipotezą wymagająca weryfikacji. Choć ludzkości nie uda się już odwrócić tego niekorzystnego trendu, wciąż możemy ograniczyć jego skalę. Zmiany te wywierają szereg negatywnych skutków – dla środowiska przyrodniczego, ludzi oraz ich aktywności ekonomicznej. Przedsiębiorstwa są narażone na trzy rodzaje ryzyk związanych ze zmianą klimatu. Są to ryzyko materialne, transformacyjne i ryzyko związane z odpowiedzialnością prawną. Ograniczanie tempa i skutków zmian klimatycznych stało się przedmiotem globalnej debaty publicznej stosunkowo niedawno, bo pod koniec XX w. Jednak konkretne działania będące wynikiem tej debaty zaczęto wdrażać dopiero w ciągu ostatniej dekady poprzedniego stulecia. Sprzeciw Stanów Zjednoczonych i brak ratyfikacji protokołu z Kyoto przez USA sprawił jednak, że działania te mają bardzo ograniczone skutki. Dopiero porozumienie paryskie z 2015 r. nadało nowy impuls działaniom na rzecz powstrzymania katastrofy klimatycznej. zmiana klimatu (ang. climate change ) zmiana klimatu wywołana przez globalne ocieplenie odnosi się do długoterminowych warunków pogodowych na Ziemi, takich jak temperatura, poziom mórz i opady. Odkąd powstała nasza planeta – 4,5 mld lat temu – klimat na niej wielokrotnie ulegał drastycznym zmianom. Na przemian następowały okresy ocieplenia i ochłodzenia. Takie cykle zawsze utrzymywały się przez dziesiątki tysięcy lub miliony lat. W ciągu ostatnich 150 lat (w erze przemysłowej) temperatury rosły jednak szybciej niż kiedykolwiek ryzyko prawne (ang. legal responsibility risk ) ryzyko odpowiedzialności prawnej związane z zaniechaniem wdrożenia regulacji i norm związanych z zieloną transformacją mitygacja (ang. mitigation ) ograniczanie zmiany klimatu, ogół działań mających na celu zmniejszanie skali lub tempa globalnego ocieplenia oraz jego skutków. Mitygacja obejmuje działania zmierzające do zmniejszania emisji gazów cieplarnianych przez człowieka oraz rozwiązania geoinżynieryjne kryzys klimatyczny (ang. climate crisis ) sytuacja polegająca na realizacji ryzyk związanych ze zmianą klimatu ryzyko transformacyjne (ang. transition risk ) w kontekście zmian klimatycznych ryzyko transformacyjne jest nieodłączne dla zmieniających się strategii, polityk lub inwestycji, ponieważ społeczeństwo i przemysł pracują nad zmniejszeniem swojej zależności od węgla i wpływu na klimat ryzyko przejściowe patrz: ryzyko transformacyjne ryzyko materialne (ang. material risk ) zagrożenia życia i mienia związane z nasileniem się ekstremalnych zjawisk pogodowych", "section": "Zmiany klimatu i ich negatywne konsekwencje", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Sposoby reakcji na zagrożenia związane z ryzykiem klimatycznym Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, na czym polega adaptacja przedsiębiorstw do ryzyk klimatycznych Wskazać, jaki jest cel szacowania śladu węglowego w przedsiębiorstwach W poprzednim podrozdziale zostały zidentyfikowane ryzyka klimatyczne związane z działalnością przedsiębiorstw w szybko zmieniającym się środowisku. Skala opisanych zagrożeń wymusiła na firmach stworzenie metod i sposobów zarządzania tymi ryzykami, które pozwalają podmiotom budować odporność na zagrożenia klimatyczne. Obejmują one trzy zasadnicze kroki: identyfikację ryzyka biznesowego i strategicznego, opracowanie szczegółowej mapy zagrożeń, i wreszcie – wdrożenie strategii adaptacji i łagodzenia zagrożeń klimatycznych Dynamika i nieuchronność gospodarczych skutków kryzysu klimatycznego wymagają od firm zmiany sposobu zarządzania procesami adaptacji, w tym przede wszystkim zwiększania odporności na negatywne skutki zmian klimatu. Większość przedsiębiorstw działających w skali globalnej i regionalnej (czyli powyżej poziomu lokalnego) traktuje ryzyko klimatyczne jako podstawowe zagrożenie w realizacji swoich celów biznesowych. Do kluczowych elementów strategii włączają zatem mitygację tego ryzyka. Ponieważ skutki zmian klimatu i związane z nimi zagrożenia ulegają ciągłym modyfikacjom, analizy strategiczne dotyczące tych kwestii powinny być regularnie uaktualniane. Świadomość zagrożeń i ich skutków, a także regularne uaktualnianie strategicznych analiz w odpowiedzi na zmieniającą się sytuację, pozwoli firmom zaplanować oraz wdrożyć niezbędne działania adaptacyjne. Adaptacja przedsiębiorstw do zmian klimatu Dostosowanie przedsiębiorstw do zachodzących zmian klimatu jest kompleksowym i często długotrwałym procesem polegającym na antycypowaniu spowodowanych nimi ograniczeń oraz nowych możliwości. Adaptacja wymaga pogłębionej refleksji nad kluczowymi kwestiami, takimi jak: zarządzanie zasobami produkcyjnymi, sam proces wytwarzania czy też reakcje i zachowania partnerów biznesowych, ze szczególnym uwzględnieniem dostawców i klientów. Może również prowadzić do identyfikacji nowych ścieżek rozwoju poprzez dostosowanie produktów i usług do dynamicznie zmieniającego się otoczenia. Podstawą procesu adaptacji jest identyfikacja stopnia podatności/odporności przedsiębiorstwa na ryzyka klimatyczne i uwzględnienie rezultatu tejże w strategii rozwoju firmy. Tym samym stopień ekspozycji na ryzyko klimatyczne powinien stać się nieodłącznym elementem zewnętrznego wywiadu gospodarczego. Niezwykle pomocne przy realizacji tego celu mogą okazać się terytorialne analizy wrażliwości na zmiany klimatu. Jednym z najciekawszych narzędzi, które można tu wykorzystać, jest Indeks podatności na zmiany klimatu (ang. The Climate Change Vulnerability Index ) stworzony przez firmę doradczą Versik Maplecrost, który ocenia wrażliwość populacji na ekstremalne zdarzenia pogodowe i zmiany klimatu w ciągu najbliższych 30 lat. Uwzględnia on ekspozycję na zjawiska klimatyczne, wrażliwość na nie społeczeństw oraz zdolność poszczególnych krajów i regionów do przystosowania się do skutków zmian klimatu. Zapewniając spójną ocenę, indeks pomaga firmom oszacować ryzyko gospodarcze związane z prognozowaną zmianą klimatu. Dzięki tego typu narzędziom można stworzyć mapy obrazujące poziom wrażliwości na zmiany klimatyczne, takie jak schemat umieszczony poniżej. Aż 67 państw zidentyfikowano jako podatne lub bardzo podatne na zmiany klimatu. Dziś kraje te wytwarzają ok. 30% światowego produktu brutto. Negatywne skutki zmian klimatu mogą jednak obniżyć ten wkład do ok. 20%, co oczywiście oznaczać będzie gwałtowny spadek poziomu życia mieszkańców tych państw. Warto zauważyć, że zmiany klimatyczne mogą pogłębić problemy związane z łańcuchem tworzenia wartości. Zakłady produkcyjne będą bowiem przenoszone z regionów podatnych do tych, w których ekspozycja jest znacznie mniejsza; w lokalizacjach podatnych na zmiany klimatu nie będą również otwierane żadne nowe zakłady wytwórcze. Mapa świata przedstawia rozkład podatności na zmiany klimatu w latach 2000–2019. Kraje najbardziej narażone na skutki katastrofy klimatycznej, znaczone na czerwono. Źródło: (Na podstawie danych z raportu Global Climate Risk Index 2021, mapa przygotowana z wykorzystaniem aplikacji Datawrapper) Katastrofa klimatyczna zaciska pętlę ubóstwa Przyjrzyjmy się sytuacji producentów rolnych w Etiopii. Ten słabo uprzemysłowiony kraj o niskim PKB większość swojego dochodu wypracowuje w sektorze rolnym. Jednocześnie jest to jedno z państw najbardziej narażonych na skutki zmian klimatycznych. Wyjaławiające gleby coraz częstsze susze stanowią bezpośrednią konsekwencję postępujących zmian klimatu. W związku z tym znacząca część populacji Etiopii narażona jest na utratę dochodów, a wyrwanie się z pułapki ubóstwa będzie dla mieszkańców tego kraju coraz trudniejsze. Warto też zaznaczyć, że wśród państw szczególnie narażonych na zmiany klimatyczne znajdują się rynki niezwykle chłonne i dynamicznie się rozwijające, takie jak Chiny, Indie czy Nigeria. Zmiany klimatyczne, bezpośrednio dotykając populacje tych krajów (ponad 2,5 mld ludzi), bez wątpienia wymuszą działania adaptacyjne nie tylko działających na tych rynkach firm rodzimych, lecz również przedsiębiorstw zagranicznych. Tak oto zdolności adaptacyjne do zmian klimatycznych stopniowo stają się najważniejszym elementem pozycji konkurencyjnej firm na poziomie makro- i mikroekonomicznym. Ponadto przedsiębiorstwa zainteresowane nie tylko trwaniem, ale także rozwijaniem działalności w czasach zagrożenia klimatycznego powinny priorytetowo podchodzić do kształtowania odpowiedzialnych relacji ze swoimi interesariuszami – wewnętrznymi i zewnętrznymi. Specjaliści od zarządzania są zdania, że adaptacja do zmian klimatu nie jest problemem, który należy traktować w sposób wybiórczy, oderwany od całokształtu praktyk firmy. Musi ona stać się jednym z kluczowych elementów zarządzania. Działanie w duchu odpowiedzialności powinno oznaczać zapewnienie bezpieczeństwa pracownikom, współpracę z kontrahentami oraz – w idealnej sytuacji – koordynację podejmowanych aktywności firmy z władzami lokalnymi. Jest to niezwykle ważne zwłaszcza wtedy, gdy firma działa na obszarach podatnych na zmiany klimatu (np. w regionach przybrzeżnych, deltach rzek, strefach cyklonowych, na terenach z ograniczonym dostępem do wody, słabo rozwiniętą infrastrukturą i usługami lokalnymi). W takiej sytuacji plany adaptacyjne wymagają wzmożonej koordynacji między przedsiębiorstwami, społecznością lokalną, władzami oraz organami zajmującymi się regulacją rynków. Wyścig z czasem Już dziś możemy zauważyć ciekawe projekty adaptacyjne przedsiębiorstw. Koncern BP rozwija szereg projektów w dziedzinie energii słonecznej w USA, zaś Exxon zapowiedział zainwestowanie 3 mld dolarów w technologię wychwytywania dwutlenku węgla w celu zmniejszenia emisji tego gazu do atmosfery. Natomiast ośrodek narciarski Arosa w Szwajcarii, by zniwelować ryzyko fizyczne związane z krótszymi zimami i mniej obfitym śniegiem, inwestuje w zaawansowane technologie „rozsiewania chmur” oraz napędzane wiatrem maszyny śnieżne, które działają w temperaturach powyżej zera. Jednocześnie rozwija swoją ofertę na letni sezon turystyczny, by w jego trakcie zrekompensować sobie zimowe ubytki. Adaptacja w praktyce – od czego zacząć? Pierwszy krokiem do podjęcia działań adaptacyjnych w przedsiębiorstwie jest przeprowadzenie bilansu emisji gazów cieplarnianych. Umożliwi on lepsze oszacowanie i monitorowanie śladu węglowego oraz zarządzanie emisją w czasie. Pojęcie śladu węglowego (ang. carbon footprint ) odnosi się do ilości gazów cieplarnianych wyemitowanych w ciągu roku we wszystkich obszarach działalności firmy. W związku z tym ślad węglowy przedsiębiorstwa ujmuje pełny cykl emisyjny (ang. emissions cycle ), od zakupu surowców do produkcji po emisje związane z użytkowaniem produktu przez konsumenta końcowego. Obejmuje on także emisje pośrednie (ang. indirect emissions ), np. te związane ze zużyciem energii czy przemieszczaniem się pracowników (podróże pracownika między domem a pracą, podróże służbowe), a także te wynikające z wykorzystywania środków trwałych (powierzchnia biurowa i sprzęt komputerowy). Nietrudno zauważyć, że wraz ze wzrostem rozmiarów przedsiębiorstwa rośnie ilość danych, które należy uwzględnić w bilansie emisji gazów cieplarnianych (ang. carbon footprint ). Podobne prawidłowości występują w przypadku firm zajmujących się produkcją przemysłową, a zakres danych w ich przypadku będzie znacznie większy w porównaniu z podmiotami świadczącymi usługi. Należy zauważyć, że wszystkie dane niezbędne do stworzenia bilansu emisji gazów cieplarnianych powinny być stosunkowo łatwo dostępne w każdym przedsiębiorstwie. Obecnie w Polsce są jeszcze z tym problemy. W 2022 r. przedsiębiorstwa najczęściej dysponują jedynie informacją o strukturze paliw pochodzącą od dostawców energii. Polskie firmy rzadko posiadają dane o emisjach spowodowanych swoją bezpośrednią działalnością (m.in. o emisji spalin z silników samochodowych, maszyn produkcyjnych i instalacji grzewczych oraz wyciekach gazów cieplarnianych z urządzeń chłodzących i klimatyzacji). Niemal całkowicie brakuje jeszcze danych z emisji pośrednich, czyli wszystkich innych emisji nieujętych w poprzednich dwóch kategoriach. Wymóg raportowania danych niefinansowych, obejmujący także dane nt. śladu węglowego, obejmie wszystkie przedsiębiorstwa w Unii Europejskiej od 2026 r. Zazwyczaj oszacowania śladu węglowego generowanego przez konkretne przedsiębiorstwo dokonywane są w horyzoncie rocznym. Poniższa tabela zawiera przykładowe estymacje śladu węglowego w przedsiębiorstwie produkcyjnym. Ekwiwalent emisji CO 2 Obliczenia Wyniki (tona) Zakupiona energia elektryczna 14122000 kWh x 0,9762 kg/kWh 137858,96 Paliwa płynne 29760,59 x (3,236558 kg CO 2 x 1 + 1,25448 x 10 -4 kg CH 4 x 25 + 2,50896 x 10 -5 kg N 2 o x 298) x 10 -3 96345,45 LPG 1410,64 x (3,1662949 kg CO 2 x 1 + 5,0179 x 10 -5 kg CH 4 x 25 + 5,0179 x 10 -6 kg N 2 o x 298) x 10 -3 4470,37 Olej napędowy (diesel) 246,4 x (3,1605132 kg CO 2 x 1 + 1,27956 x 10 -4 kg CH 4 x 25 + 2,55912 x 10 -5 kg N 2 o x 298) x 10 -3 781,42 Benzyna 246,4 x (3,1605132 kg CO 2 x 1 + 1,27956 x 10 -4 kg CH 4 x 25 + 2,55912 x 10 -5 kg N 2 o x 298) x 10 -3 233,78 Suma całkowita 73 x (3,191487 kg CO 2 x 1 + 1,2921 x 10 -4 kg CH 4 x 25 + 2,5842 x 10 -5 kg N 2 o x 298) x 10 -3 239 689,98 Produkcja gładko powlekanego kartonu 269777,62 Ekwiwalent emisji CO 2 na tonę produktu 0,88847 Bilans emisji gazów cieplarnianych powstaje na podstawie informacji o: liczbie zużytych kWh energii, metrów sześciennych gazu i litrów paliw silnikowych, a także przejechanej przez flotę aut służbowych liczbie kilometrów, ilości wytworzonych odpadów płynnych, gazowych i stałych itd. Dane dotyczące aktywności przedsiębiorstwa mnoży się przez współczynniki emisji dla poszczególnych kategorii produktowych. Tworzenie bilansu emisji gazów cieplarnianych i tym samym szacowanie śladu węglowego przedsiębiorstwa nie wymaga oczywiście dokładności co do grama wyemitowanego dwutlenku węgla. Służy natomiast identyfikacji tych procesów, które w największym stopniu przekładają się na wzrost emisji gazów cieplarnianych. Celem jest oczywiście redukcja tejże, która zazwyczaj jest najłatwiejsza w obszarach z największą skalą produkcji dwutlenku węgla. Niezwykle istotną zaletą tworzenia bilansu emisji jest również wzrost świadomości ekologicznej i klimatycznej wśród właścicieli, kadry kierowniczej, pracowników i wszystkich innych interesariuszy przedsiębiorstwa. Szacując ślad węglowy, liderzy projektów biznesowych zdobywają niezbędną wiedzę o czynnikach, które w największym stopniu przyczyniają się do zmian klimatycznych, co ułatwia wdrażanie planów adaptacyjnych. Jak widać, bilans emisji gazów cieplarnianych służący oszacowaniu śladu węglowego jest swoistym audytem ekologicznym przedsiębiorstwa, pomagającym wyznaczyć kierunki i cele transformacji firmy. Nie jest to jednak narzędzie jedyne – inne zostały przedstawione w kolejnym podrozdziale. Key Concepts and Summary Szybko rosnąca skala zagrożeń klimatycznych wymusiła na przedsiębiorstwach stworzenie metod i sposobów zarządzania ryzykami związanymi ze zmianami klimatu. Narzędzia te pozwalają firmom budować odporność na zagrożenia klimatyczne. W pierwszym kroku przedsiębiorstwa muszą zidentyfikować zagrożenia dla prowadzonej przez siebie działalności, następnie opracować ich szczegółową mapę i wreszcie przygotować i wdrożyć strategię adaptacji i łagodzenia zagrożeń klimatycznych. Adaptacja przedsiębiorstw do zmian klimatu jest kompleksowym i długotrwałym procesem polegającym na antycypowaniu ograniczeń oraz identyfikowaniu nowych możliwości, które zmiany klimatu mogą przynieść firmom. Jednym z narzędzi wykorzystywanych w tym obszarze jest The Climate Change Vulnerability Index , czyli indeks podatności na zmiany klimatu, który ocenia wrażliwość populacji na ekstremalne zdarzenia pogodowe i zmiany klimatu w ciągu najbliższych 30 lat. Innym – bilans emisji gazów cieplarnianych i szacowanie śladu węglowego. emisje pośrednie (ang. indirect emissions ) emisje związane z cyklem produkcji danej firmy, które jednak nie zostały przez nią wygenerowane bezpośrednio (np. emisje związane z produkcją podzespołów bądź opakowań) cykl emisyjny (ang. emission cycle ) suma emisji gazów cieplarnianych związanych z tworzeniem łańcucha wartości w przedsiębiorstwie Indeks podatności na zmiany klimatu (ang. The Climate Change Vulnerability Index ) syntetyczny miernik pozwalający ocenić podatność populacji ludzkich na ekstremalne zjawiska klimatyczne i zmiany klimatu w ciągu najbliższych 30 lat. Indeks łączy narażenie na ekstremalne zjawiska klimatyczne i zmiany z obecną wrażliwością człowieka na te czynniki klimatyczne oraz zdolnością poszczególnych krajów do przystosowania się do skutków zmian klimatu. Miernik ten pomaga firmom obliczać ryzyko związane z przyszłą zmianą klimatu ślad węglowy patrz: bilans emisji gazów cieplarnianych bilans emisji gazów cieplarnianych (ang. carbon footprint ) metoda diagnostyczna pozwalająca oszacować wielkość emisji gazów cieplarnianych związanych z procesem produkcji (w firmie) bądź konsumpcji określonego dobra (np. w gospodarstwie domowym)", "section": "Sposoby reakcji na zagrożenia związane z ryzykiem klimatycznym", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Zrównoważony ład korporacyjny i ESG Po przeczytaniu tego podrozdziału będziesz w stanie: Scharakteryzować kryteria ESG Objaśnić, czym są z zrównoważone instrumenty finansowe (obligacje, pożyczki oraz aktywa finansowe) Wraz z wprowadzaniem na poziomie krajowym rekomendacji wynikających z porozumienia paryskiego coraz popularniejszym narzędziem stosowanym w przedsiębiorstwach jest tzw. zrównoważony ład korporacyjny (ang. sustainable corporate governance ), oparty na kryteriach ESG (ang. Environmental-Social-Governance ). Kryteria ESG to zestaw standardów umożliwiających ewaluację bilansu ekologicznego działalności przedsiębiorstw poprzez pomiar i ocenę niefinansowych danych środowiskowych, społecznych i zarządczych (patrz Rysunek 1). Ocena tychże danych jest oparta na metodologii wskaźnikowej, która pozwala ustalić, jak firma plasuje się w poszczególnych kategoriach (czyli np.: jaki ma ślad węglowy; czy dba o dobrostan pracowników, czy poprzez swoją działalność wywiera pożądany i pozytywny wpływ na społeczność lokalną). Niestety wciąż nie istnieją globalne wytyczne dotyczące zbierania i raportowania wskaźników ESG (np. instytucjom nadzorującym rynki kapitałowe lub urzędom zajmującym się nadzorowaniem konkretnych rynków lub ochroną antymonopolową). W konsekwencji nie ma jednolitych standardów, co uniemożliwia wiarygodne porównanie przedsiębiorstw działających (lub dokładniej: mających siedziby) w różnych krajach. W niektórych krajach (np. USA i Wielkiej Brytanii) w ramach oddolnych inicjatyw zmierzających do wypracowania katalogu dobrych praktyk w obszarze raportowania ESG osiągnięto pewne sukcesy, jednak brak harmonizacji dotyczącej „zielonej” taksonomii oraz sprawozdawczości w skali globalnej stwarza przestrzeń dla rozbieżnych interpretacji. Niejednokrotnie prowadzą one do nadużyć, gdy pewne praktyki kwalifikowane są jako zgodne z pryncypiami ESG, mimo że w rzeczywistości nie mają z nimi wiele wspólnego. Tam, gdzie nie obowiązują jednolite ustalenia dotyczące kryteriów ESG, część przedsiębiorstw oraz firm doradczych stosuje je w sposób niezwykle swobodny. W Unii Europejskiej wciąż nie zostały sformułowane spójne wytyczne dotyczące raportowania niefinansowych danych z obszaru kryteriów ESG, chociaż wprowadzenie tego typu regulacji jest już zapowiadane od kilku lat. Pamiętać należy, że podstawowym obszarem wykorzystania kryteriów ESG jest wsparcie inwestorów w ocenie historycznych wyników oraz perspektyw rozwoju przedsiębiorstw. Jednocześnie kryteria te stanowią dla przedsiębiorstw swoisty kierunkowskaz, który wskazuje na sposoby tworzenia i wdrażania strategii zrównoważonego rozwoju. Kryteria ESG: środowisko, ład społeczny i społeczna odpowiedzialność. (Źródło: opracowanie na podstawie raportu EY Biznes dla klimatu ) Więcej na temat koncepcji zrównoważonego rozwoju znajdziesz tutaj . Natomiast o konieczności i korzyściach z raportowania wskaźników ESG przeczytasz tu . Ocena działalności przedsiębiorstw przy użyciu wskaźników ESG jest niewątpliwie ważnym elementem pozwalającym firmom na lepszą adaptację do wszystkich klimatycznych ryzyk. Jednocześnie jednak każda zmiana, adaptacja i transformacja pociąga za sobą wymierne koszty, a dostosowanie organizacji do wyzwań klimatycznych może stanowić poważne obciążenie finansowe dla firm. Zastanówmy się zatem, w jaki sposób firmy mogą pozyskać fundusze na klimatyczną transformację. Wymiar finansowy transformacji klimatycznej przedsiębiorstw We wszystkich sektorach gospodarki obserwujemy zainteresowanie inwestorów przedsiębiorstwami, które respektują zalecenia ESG i adaptują się do nowej klimatycznej rzeczywistości. Tym samym widoczna jest także zasadnicza zmiana w podejściu inwestorów do inwestycji, decyzje o kierunkach inwestycji podejmowane są nie tylko w oparciu o kryterium maksymalizacji stopy zwrotu z inwestycji lecz także z troską o ich skutki środowiskowe i społeczne. Inwestowanie wg kryteriów ESG jest dziś związane przede wszystkim z lokowaniem kapitału w zrównoważone obligacje (ang. sustainable bonds ), zrównoważone pożyczki (ang. sustainable loans ) oraz zrównoważone aktywa finansowe (ang. sustainable equity ). Wszystkie te grupy produktów posiadają cechę wspólną: kapitał pozyskany przy ich użyciu powinien zostać spożytkowany zgodnie z celami zrównoważonego rozwoju przedsiębiorstw. Dla przykładu, kapitał pozyskany dzięki emisji zielonych obligacji pozwala finansować przedsięwzięcia związane m.in. z transformacją energetyczną, czy też z przyjaznym środowisku transportem. Co ciekawe, pierwsze emisje zielonych obligacji były wyłączną domeną organizacji międzynarodowych (pierwsze zrównoważone obligacje zostały wyemitowane przez Europejski Banku Inwestycyjny w 2007 r.); dziś w emisję tych instrumentów włączają się w coraz większym stopniu przedsiębiorstwa, szczególnie duże firmy, co przedstawia . Rodzaje zielonych obligacji wg regionów, dane na koniec 2019 r. (Źródło: Franklin Templeton Capital Markets Insights Group, Bloomberg) W 2018 r. wartość emisji zielonych obligacji przekroczyła 180 mld dol., a skumulowana wartość światowego portfela zrównoważonych produktów finansowych osiągnęła pułap 23 bln dol. (wzrost o 25% w porównaniu z rokiem 2014). Większość zielonych obligacji denominowanych jest w trzech walutach: dol. amerykańskich, euro oraz chińskim renminbi (juanach). Emitenci zielonych obligacji w podziale regionalnym. (Źródło: Bank Rozrachunków Międzynarodowych) Skumulowana wartość emisji zielonych obligacji (wartość denominacyjna w walutach obcych wyrażona w mld dol. amerykańskich). (Źródło: Bank Rozrachunków Międzynarodowych) Szczególnie warto podkreślić, że zielone obligacje emitowane w amerykańskich dolarach charakteryzują się wyższymi stopami zwrotu niż ich tradycyjne odpowiedniki. Co ciekawe, te denominowane w euro już nie są tak atrakcyjne i może świadczyć to o skłonności inwestorów w Europie do większej dywersyfikacji ryzyka portfela inwestycyjnego przez łączenie produktów tradycyjnych oraz zrównoważonych, co przedstawia . Stopy zwrotu z obligacji zielonych i tradycyjnych. (Źródło: Bank Rozrachunków Międzynarodowych) Wypracowane przez emitentów obligacji standardy emisji znacząco wpłynęły na wzrost przejrzystości transakcji, głównie dzięki wymogowi niezależnego przedemisyjnego audytu – tzw. drugiej opinii (ang. second opinion ). Jednocześnie należy pamiętać, że pozyskiwanie kapitału poprzez emisję obligacji jest wygodnym narzędziem dla dużych firm. W przypadku przedsiębiorstw małych i średnich emisja obligacji nie jest ekonomicznie opłacalna z powodu dość wysokich kosztów transakcyjnych tej operacji. Odpowiednim rozwiązaniem dla tej grupy przedsiębiorstw wydają się zrównoważone pożyczki (charakteryzujące się niskim oprocentowaniem i długim okresem kredytowania) oraz wszelkiego rodzaju wsparcie publiczne (granty, subsydia, obniżki podatków). W przypadku inwestorów poszukujących większej dywersyfikacji portfela zrównoważone indeksy giełdowe stają się coraz bardziej popularną opcją, a także metodą na klimatyczny hedging (ang. hedging of climate risks with financial portfolios ). Klimatyczne aktywa charakteryzują się niższą stopą zwrotu z inwestycji w porównaniu do stopy zwrotu oferowanej przez rynek w okresie, w którym klimat jest względnie stabilny, natomiast w momencie, w którym zmiany klimatu stają się coraz szybsze, ich stopa zwrotu jest wyższa od rynkowej, co sprawia, że ten typ inwestycji może być swoistym ubezpieczeniem od klęski klimatycznej. Jak już wspominaliśmy wcześniej, w świecie zrównoważonych finansów wciąż nie ma powszechnie obowiązujących zasad i definicji. Z tego też względu inwestorzy – także ci instytucjonalni – nie zawsze potrafią we właściwy sposób klasyfikować oferowanych im produktów inwestycyjnych. A to stwarza ryzyko tzw. greenwashingu , czyli tworzenia produktów, które są „zielone” tylko z nazwy. Jest to kolejny asumpt do tego, aby wdrożyć tak w Unii Europejskiej, jak i w skali globalnej jednolitą taksonomię zrównoważonych inwestycji. Mierzące się z szybko narastającymi zmianami klimatycznymi przedsiębiorstwa – aby zrealizować postawione im przez właścicieli i inwestorów cele – muszą wejść na ścieżkę zrównoważonego, przede wszystkim społecznie i środowiskowo, rozwoju. Nie jest to zadanie łatwe, jednak kierując się wskazówkami ESG oraz adaptując się do tworzonych w ramach polityki klimatycznej państwa mechanizmów wsparcia wiele firm już potrafi zmienić klimatyczne ryzyko w biznesową szansę. Niezależnie bowiem od tego, że wdrażanie zielonych rozwiązań stanowi poważne obciążenie finansowe i organizacyjne, to korzyści długookresowe związane z tą zmianą rekompensują poniesione koszty. Korzyści długookresowe to nie tylko zmiany wizerunkowe i poprawa pozycji konkurencyjnej, ale przede wszystkim satysfakcjonujące wyniki finansowe. Ponadto malejące z czasem koszty wdrażanie nowych technologii ułatwią zieloną transformację. Światowi liderzy zmian, firmy, które jako pierwsze zdecydowały się na wdrażanie strategii opartych na kryteriach ESG już dziś zaczynają otrzymywać od klientów swoistą premię za ryzyko w postaci większego zaufania i szerszego dostępu do preferencyjnych źródeł finansowania. Pionierzy, którzy w konsekwentny sposób zmieniają kulturę organizacyjną, stymulują wzrost stopnia identyfikacji pracowników z organizacją, dzięki czemu zielona zmiana jest szybciej przyjmowana na wszystkich szczeblach, a całość działań, od poziomu strategii do poziomu operacyjnego funkcjonuje w sposób spójny. Pamiętać również należy, że tempo wdrażania nowej strategii w przedsiębiorstwach nie może być wolniejsze od szybko rosnącej świadomości ekologicznej i poczucia odpowiedzialności za przyszłość naszej planety wśród potencjalnych klientów. Zmiany postaw konsumenckich są z kolei pochodną odpowiedzialnej polityki gospodarczej realizowanej przez państwo, które za swój cel powinno postawić edukację obywateli. Przez swoje wybory konsumpcyjne mogą oni stymulować i zachęcać przedsiębiorstwa do oferowania im produktów, których wytworzenie i konsumpcja nie uszczuplą dobrostanu materialnego i środowiskowego przyszłych pokoleń. Pożary wrócą! Chociaż klimatolodzy nie mają wątpliwości, że z powodu działalności człowieka i będących jej konsekwencją szybko postępujących zmian klimatu rekordowy pożar z 2019 r. może się w Australii powtórzyć już w ciągu kolejnych kilku lat, katastrofa ta nie doprowadziła do wprowadzenia żadnych istotnych zmian zarówno w skali wydobycia i sprzedaży węgla kamiennego, jak i podejścia samych Australijczyków do zmian klimatu. Zresztą problem ten nie dotyka wyłącznie mieszkańców tego najmniejszego z kontynentów. Europejczycy, szczególnie mieszkańcy Włoch i Hiszpanii, latem 2022 r. zmagali się z bezprecedensową falą upałów, która doprowadziła nie tylko suszy, ale także dużej liczby zgonów, zwłaszcza wśród ludzi starszych. Niestety w postawach ludzi wciąż dominuje perspektywa krótkookresowa, która pozwala wierzyć, że „jakoś to będzie” i „nigdy tak nie było, żeby jakoś nie było”. Choć psychologiczną motywację stojącą za takim właśnie sposobem myślenia można próbować sobie tłumaczyć, to zarówno krótko- jak i długookresowy koszt takiej niefrasobliwości jest gigantyczny. Mieszkańcy całego globu muszą w zasadniczy sposób zmienić swoje podejście do gospodarowania zasobami energetycznymi. W przeciwnym wypadku koszty dla ludzkości mogą okazać się przerażająco wysokie. Podsumowanie Kryteria ESG, czyli zestaw standardów umożliwiających ocenę tego, jak zbilansowana ekologicznie jest działalności przedsiębiorstwa, są narzędziem umożliwiającym wprowadzanie w firmach zrównoważonego ładu korporacyjnego. Brak jednolitych w skali globalnej wytycznych dotyczących zbierania i raportowania wskaźników ESG uniemożliwia wiarygodne porównanie przedsiębiorstw działających w różnych krajach. W konsekwencji pewne praktyki kwalifikowane są jako zgodne z pryncypiami zrównoważonego rozwoju i opisywane za pomocą ESG, w rzeczywistości nie mają ze zrównoważonym rozwojem wiele wspólnego. Jest to jedno ze źródeł greenwashingu. Dzięki wdrażaniu ładu korporacyjnego opartego na kryteriach ESG inwestorzy coraz chętniej lokują kapitał w zrównoważone obligacje, zrównoważone pożyczki oraz zrównoważone aktywa finansowe. Wszystkie te grupy produktów posiadają cechę wspólną: kapitał pozyskany przy ich użyciu powinien zostać spożytkowany zgodnie z celami zrównoważonego rozwoju przedsiębiorstw. Wypracowane przez emitentów obligacji standardy emisji znacząco wpłynęły na wzrost przejrzystości transakcji, głównie dzięki wymogowi niezależnego przedemisyjnego audytu. Pytania sprawdzające Czym są zmiany klimatu? Zmiany klimatu to cykliczne wzrosty i spadki średniej temperatury naszego globu spowodowane m.in. zmianami stężenia gazów cieplarnianych w atmosferze, cyrkulacją mas powietrza (przede wszystkim nad powierzchnią oceanów), aktywnością Słońca oraz wulkanów. Jakie działania powinny wdrożyć przedsiębiorstwa, aby w możliwie największym stopniu uodpornić się na zagrożenia związane ze zmianami klimatu? Poza dążeniem ku neutralności emisyjnej firmy powinny już dziś brać uwagę przyszłe zagrożenia klimatyczne, takie jak: stopień narażenia na ekstremalne zjawiska pogodowe, (które mogą zniszczyć infrastukturę materialną przedsiębiorstwa), czy też powstrzymywać się przed inwestycjami w aktywa osierocone. Lotnictwo cywilne to jeden z najbardziej emisyjnych sektorów gospodarki. Używając https://corporate.airfrance.com/en/co2/calculateur, sprawdź ślad węglowy pasażera podróżującego z Warszawy do Paryża. Decydując się na przelot z Warszawy do Paryża miej świadomość, że ponosisz odpowiedzialność za emisję 160 kg CO2 do atmosfery. To znaczny ślad węglowy. Pamiętaj więc, aby w krótkie trasy wybierać się mniej emisyjnym środkiem transportu zbiorowego, takim jak np. pociąg. Zastanów się, jak być odpowiedzialnym konsumentem. Czy w swoich decyzjach konsumpcyjnych masz na względzie dbałość o przyszłość naszej planety? Czy możesz podać przykład, jak Twoje decyzje zakupowe wpływają na działalność przedsiębiorstw? Konsumenci są najsilniejszym regulatorem w gospodarce. Gdy ich gusta i preferencje zakupowe się zmienią, przedsiębiorstwa będą musiały dostosować się do zmieniającego się popytu. Dlatego to właśnie konsumenci (gospodarstwa domowe) i ich wybory konsumenckie mogą przyspieszyć zieloną rewolucję. Zapobieganie dalszym negatywnym skutków zmian klimatycznych jest wyzwaniem dla całej ludzkości, dlatego w zielonej rewolucji może – i powinien – brać udział, starając się zmniejszyć swój ślad węglowy. Oszacuj swój ślad węglowy, wykorzystując to narzędzie . Zastanów się, jak możesz ów ślad obniżyć. Odpowiedzialna konsumentka i odpowiedzialny konsument mogą zrobić naprawdę wiele, by chronić środowisko i tym samym ograniczyć negatywne skutki zmian klimatycznych. Podstawą są odpowiedzialne wybory konsumenckie i nawyki związane z codzienną rutyną: ogranicz do minimum swoje zużycie plastiku, wybieraj lokalne i sezonowe produkty żywnościowe, ogranicz spożycie mięsa, zamiast kąpieli w wannie wybierz szybki prysznic. Sprawdź wiedzę Wymień etapy budowania strategii adaptacyjnej przedsiębiorstw w kontekście kryzysu klimatycznego. Przedstaw typologię skutków zmian klimatycznych. Dlaczego zmiany klimatyczne stanowią zagrożenie dla naszej planety? Wymień typy ryzyka klimatycznego, na które narażone są przedsiębiorstwa. Zastanów się, czy możesz podać przykłady ilustrujące te konkretne ryzyka. Na czym polega szacowanie śladu węglowego? Jaki jest jego cel? Wymień i scharakteryzuj kryteria ESG. Co to są zrównoważone produkty finansowe i czemu służą? Jaki zrównoważony produkt finansowy jest najbardziej odpowiednim źródłem finansowania małych i średnich przedsiębiorstw? Czym różnią się zielone obligacje od tych tradycyjnych? Ćwicz myślenie krytyczne W wstępie do tego rozdziału omówiliśmy bezpośrednie skutki zmian klimatycznych. Teraz zastanów się, jakie mogą być skutki pośrednie. Postaraj się je usystematyzować, podając przykłady. W rozdziale wspomnieliśmy, że zrównoważone raportowanie to ważny kierunkowskaz ułatwiający wprowadzanie zmian w przedsiębiorstwach. Zastanów się, jak ujednolicenie norm i przepisów związanych z tym procesem wpłynęłoby na tempo adaptacji klimatycznej przedsiębiorstw. Zapobieganie dalszym negatywnym skutków zmian klimatycznych jest wyzwaniem dla całej ludzkości, dlatego w zielonej rewolucji może – i powinien – brać udział, starając się zmniejszyć swój ślad węglowy. Oszacuj swój ślad węglowy, wykorzystując to narzędzie: https://footprintcalculator.henkel.com/en. Zastanów się, jak możesz ów ślad obniżyć. kryteria ESG (ang. Environment, Social and Governance criteria ) skrót oznaczający czynniki, w oparciu o które tworzone są ratingi i oceny pozafinansowe przedsiębiorstw, państw i innych organizacji. Składają się one z 3 elementów: E – Środowisko, S – Społeczna odpowiedzialność i G – Ład korporacyjny zrównoważone pożyczki (ang. sustainable loans ) forma finansowania działalności inwestycyjnej przedsiębiorstw w duchu zrównoważonego rozwoju zrównoważone obligacje (ang. sustainable bonds ) instrumenty dłużne stałego dochodu pozwalające na realizację projektów inwestycyjnych zgodnych z celami zrównoważonego rozwoju greenwashing w wolnym tłumaczeniu „ekościema”, „zielone mydlenie oczu” czy „zielone kłamstwo”: zjawisko polegające na wywoływaniu u klientów poszukujących towarów wytworzonych zgodnie z zasadami ekologii i ochrony środowiska wrażenia, że produkt lub przedsiębiorstwo go wytwarzająca są w zgodzie z naturą i ekologią zrównoważone aktywa finansowe (ang. sustainable equity ) Aktywa finansowe związane z praktyką zrównoważonego inwestowania, w duchu odpowiedzialności środowiskowej i społecznej biznesu. Aktywa te integrują kryteria środowiskowe, społeczne i ładu korporacyjnego (ESG) w procesie inwestycyjnym, w celu stymulowania zrównoważonego rozwoju całej gospodarki. Do aktywów tych zaliczamy: zrównoważone obligacje, zrównoważone pożyczki oraz zrównoważone fundusze inwestycyjne klimatyczny hedging (ang. hedging of climate risks with financial portfolios ) strategia inwestycyjna polegająca a budowaniu portfela aktywów finansowych złożonych z funduszy inwestycyjnych firm działających w duchu zrównoważonego rozwoju. Dzięki temu aktywa finansowe stają się swoistym ubezpieczeniem w czasach zwiększonego ryzyka klimatycznego, pozwalającym osiągnąć odporność na klimatyczny kryzys zrównoważone instrumenty finansowe patrz: zrównoważone aktywa finansowe", "section": "Zrównoważony ład korporacyjny i ESG", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Matematyka zastosowana w tym podręczniku Istnieją niematematyczne sposoby przedstawiania modeli ekonomicznych, np. w formie tekstu. Ale po co walić pięścią w gwóźdź, skoro masz młotek? Matematyka ma pewną przewagę nad tekstem. Gdy redukujesz model do równań algebraicznych, systematyzujesz myślenie i unikasz niejasności. Oczywiście podejście matematyczne ma również wady. Modele matematyczne z konieczności opierają się na upraszczających założeniach, więc prawdopodobnie nie będą realistyczne. Modelom matematycznym brakuje również niuansów, które można znaleźć w modelach opisowych. Matematyka jest soildnym narzędziem na użytek ekonomistów. Jakie umiejętności matematyczne są ci potrzebne do zrozumienia tej książki? Odpowiedź brzmi: niewiele większe niż algebra i rozumienie wykresów na poziomie szkoły średniej. Musisz wiedzieć: Czym jest funkcja Jak interpretować równanie funkcji liniowej (tj. nachylenie i punkty przecięcia z osiami) Jak przesuwać funkcję liniową (tj. zmieniać jej nachylenie lub punkty przecięcia) Jak obliczyć i interpretować stopę wzrostu (tj. zmianę procentową) Jak czytać i modyfikować wykresy. Posługujemy się matematyką w najprostszym możliwym wydaniu, co przedstawiamy w tym dodatku. Jeśli znajdziesz w książce fragmenty matematyczne, których nie rozumiesz, wróć do tego dodatku. Jak większość rzeczy, korzyści z nauki matematyki zachowują się zgodnie z prawem malejących przychodów. Odrobina umiejętności matematycznych daje bardzo dużo; im bardziej zaawansowaną matematykę poznajesz, tym mniej dodatkowej wiedzy uzyskujesz. Prawdę mówiąc, jeśli zamierzasz studiować ekonomię, naucz się podstaw rachunku różniczkowego. Warto poświęcić na niego trochę czasu, gdyż pomoże ci szybciej zgłębić zaawansowaną ekonomię. Modele algebraiczne Modele ekonomiczne (lub fragmenty modeli) są często wyrażane za pomocą funkcji matematycznych. Czym jest funkcja? Funkcja (ang. function ) opisuje związek. Czasami związek jest definicją. Na przykład (używając słów), twoim profesorem jest Adam Smith. Można to wyrazić jako Profesor = Adam Smith. Można tez zapisać tak twoich przyjaciół: Przyjaciele = Robert + Szymon + Magda. W ekonomii funkcje często opisują przyczynę i skutek. Zmienna po lewej stronie równania jest zmienną objaśnianą („skutkiem”). Zmienne po prawej stronie są zmiennymi objaśniającymi („przyczynami”). Załóżmy na przykład, że średnia twoich ocen została opisana w następujący sposób: Średnia ocen = 0,25 × łączny wynik egzaminu + 0,25 × obecność na zajęciach + 0,50 × liczba godzin nauki Z powyższego równania wynika, że średnia ocena zależy od trzech czynników: łącznego wyniku egzaminu, obecności na zajęciach i liczby godzin nauki. Równanie wskazuje również, że czas nauki jest dwa razy ważniejszy (0,50) niż wynik matury (0,25) lub obecność na zajęciach (0,25). Jeżeli ten związek jest prawdziwy, to jak możesz podnieść średnią ocenę? Nie opuszczając zajęć i ucząc się więcej. Pamiętaj, że nie możesz nic zrobić z wynikiem egzaminu wstępnego lub matury, ponieważ jeśli jesteś już na studiach, to już go za sobą. Oczywiście modele ekonomiczne przedstawiają zależności z wykorzystaniem zmiennych ekonomicznych. Na przykład, Budżet = pieniądze wydane na książki z ekonomii + pieniądze wydane na muzykę, zakładając, że jedyne rzeczy, które kupujesz, to książki z ekonomii i muzyka. Większość związków opisywanych w niniejszym podręczniku jest wyrażonych w postaci równań liniowych: y = b + mx Graficzne przedstawianie równań Wykresy są przydatne do dwóch celów. Pierwszym jest wizualne przedstawienie równań, a drugim - wyświetlanie statystyk lub danych. W tej sekcji omówimy wizualne przedstawianie równań. Dla matematyka lub ekonomisty zmienna (ang. variable ) to wielkość, która może przyjąć pewien zakres wartości. W powyższym równaniu prostej x i y są zmiennymi, przy czym x znajduje się na osi poziomej, y na osi pionowej, zaś b i m to parametry określające kształt prostej. Aby zobaczyć, jak to działa, rozważ przykład liczbowy: y = 9 + 3x W powyższym równaniu, opisującym określoną funkcję liniową, parametr b wynosi 9, a parametr m jest równy 3. pokazuje wartości x i y zgodnie z tym równaniem. Równanie oraz wspomniane wartości są także zilustrowane na . Aby stworzyć tabelę, wstaw szereg różnych wartości x, a następnie oblicz odpowiadającą im wartość y. Rysunek przedstawia te punkty oraz poprowadzoną przez nie linię. Nachylenie, przecięcie i równanie funkcji liniowej y = 9 + 3x. Wartości dla zmiennych x i y x y 0 9 1 12 2 15 3 18 4 21 5 24 6 27 Funkcja liniowa Na wykresie zmienna x jest zaznaczona na osi poziomej, a zmienna y - na osi pionowej. Punkt przecięcia funkcji z osią y ma wartość 9. Nachylenie funkcji wynosi 3, co oznacza, że wzrost o 3 na osi pionowej przypada na każdy wzrost o 1 na osi poziomej. Nachylenie jest takie samo wzdłuż całej linii prostej. Powyższy przykład ilustruje, w jaki sposób parametry b i m w równaniu funkcji liniowej określają jej kształt i położenie. Parametr b to wyraz wolny i wskazuje na przecięcie funkcji z osią y. Dla x = 0 parametr b pokazuje punkt przecięcia funkcji z osią pionową (y). W naszym przykładzie przecięcie z osią pionową występuje przy wartości 9. Parametr m to nachylenie prostej. Nachylenie (ang. slope ) funkcji prostej jest zmianą wartości y przyjmowanych przez funkcję podzielone przez zmianę wartości argumentu x między dwoma dowolnymi punktami. W naszym przykładzie za każdym razem, gdy argument x zwiększa się o jeden, wartość y rośnie o trzy. A zatem nachylenie funkcji wynosi trzy (m = 3). Określenie punktu przecięcia z osią y oraz określenie nachylenia — czyli parametrów b i m — wystarczy do wyznaczenia konkretnej funkcji liniowej. Chociaż rzadko zdarza się, aby dane z prawdziwego świata układały się dokładnie jak linia prosta, często okazuje się, że funkcja liniowa może zapewnić rozsądne przybliżenie rzeczywistych danych. Interpretacja nachylenia Pojęcie nachylenia jest bardzo przydatne w ekonomii, ponieważ mierzy charakter związku między dwiema zmiennymi. Nachylenie dodatnie (ang. positive slope ) oznacza, że dwie zmienne są dodatnio ze sobą powiązane, tzn. gdy x rośnie, y także rośnie, a gdy x maleje, y również maleje. Na wykresie dodatnie nachylenie oznacza, że gdy poruszamy się wzdłuż funkcji liniowej z lewej do prawej strony, jej wartości y rosną. Zależność między wzrostem a masą ciała, pokazana na w dalszej części tego załącznika, jest dodatnia. W innych rozdziałach dowiesz się, że związek między ceną a wielkością podaży także jest dodatni, co oznacza, że przedsiębiorstwa wytwarzają więcej przy wyższej cenie. Nachylenie ujemne (ang. negative slope ) oznacza, że dwie zmienne są ze sobą ujemnie powiązane, tzn. gdy x rośnie, y maleje, a gdy x maleje, y rośnie. Gdy na wykresie poruszamy się od lewej do prawej strony wzdłuż funkcji liniowej o ujemnym nachyleniu, jej wartości y maleją. Zależność między wysokością nad poziomem morza a gęstością powietrza pokazana na w dalszej części tego załącznika, jest ujemna. Dowiemy się także, że zależność między ceną a wielkością popytu również jest ujemna, co oznacza, że konsumenci kupują mniej przy wyższej cenie. Nachylenie równe zero oznacza, że nie ma żadnego związku między x i y. Graficznie funkcja jest linią poziomą, czyli jej wartości nie zmieniają się przy zmianach argumentu. dotycząca stopy bezrobocia w dalszej części tego załącznika pokazuje typowy charakter wielu wykresów liniowych: niektóre fragmenty wykresu mają nachylenie dodatnie, inne - ujemne, a jeszcze inne mają nachylenie bliskie zeru. Nachylenie funkcji liniowej między dwoma punktami można przedstawić liczbowo. Zacznijmy od wyznaczenia jednego punktu jako „punktu początkowego”, a drugiego jako „punktu końcowego”. Następnie obliczamy zmianę wartości funkcji y oraz zmianę jej argumentu x między tymi dwoma punktami. Jako przykład, rozważmy nachylenie funkcji gęstości powietrza między punktami reprezentującymi wysokość 4000 m i 6000 m nad poziomem morza: Zmiana wartości y: Zmiana wartości zmiennej na osi pionowej (punkt końcowy minus punkt początkowy) = 0,100 – 0,307 = –0,207 Zmiana argumentu x: Zmiana wartości zmiennej na osi poziomej (punkt końcowy minus punkt początkowy) = 6000 – 4000 = 2000 Stąd nachylenie linii prostej między tymi dwoma punktami wskazuje, że od wysokości 4000 m do 6000 m gęstość powietrza spada o około 0,1 kg/m 3 na każde 1000 m. Załóżmy, że porównujemy kilka funkcji liniowych o różnym nachyleniu (m) i że rozważamy na moment tylko wartość bezwzględną m. Dla funkcji o dużych wartościach bezwzględnych m (np. y = 4 + 15x albo y = 4 – 10x ) linie proste będą bardziej strome niż dla m przyjmującego małe wartości (np. y = 4 + 3x lub y = 4 – 2x ). Gdy nachylenie jest dodatnie (czyli m = 15 lub m = 3 w powyższych przykładach), prosta rośnie w kierunku prawej górnej ćwiartki wykresu. Gdy nachylenie jest ujemne ( m = –10 lub m = –2 ), prosta maleje w kierunku prawej dolnej ćwiartki wykresu. Nachylenie zerowe to linia pozioma. Z kolei linia pionowa ma nieskończenie duże nachylenie. Załóżmy teraz, że punkt przecięcia funkcji z osią pionową przesuwa się w górę. Oznacza to jednoczesne przesunięcie całej funkcji równolegle w górę. Jeśli punkt przecięcia z osią pionową przesuwa się w dół, cała funkcja również przesuwa się równolegle w dół. Algebraiczne rozwiązywanie modeli Ekonomiści często używają modeli, aby odpowiedzieć na konkretne pytanie, np.: jaka będzie stopa bezrobocia, jeśli gospodarka będzie rosła w tempie 3% rocznie? Odpowiedź na konkretne pytanie wymaga rozwiązania „układu” równań opisujących dany model. Załóżmy, że popyt na pizzę wyraża następujące równanie: Q d = 16 – 2P gdzie Q d to liczba placków pizzy, którą konsumenci chcą kupić (tj. wielkość popytu), a P jest ceną pizzy. Załóżmy, że podaż pizzy dana jest równaniem: Q s = 2 + 5P gdzie Q s to liczba placków pizzy dostarczana przez producentów (tj. wielkość podaży). Załóżmy również, że na rynku pizzy działa tak, iż popyt jest równy podaży, czyli Q d = Q s Mamy teraz układ trzech równań z trzema niewiadomymi ( Q d = Q s i P), który możemy rozwiązać za pomocą algebry: Ponieważ Q d = Q s , możemy przyrównać do siebie równania popytu i podaży: Q d = Q s 16 – 2P = 2 + 5P Odjęcie liczby 2 z obu stron i dodanie 2P do obu stron daje: 16 – 2P – 2 = 2 + 5P – 2 14 – 2P = 5P 14 – 2P + 2P = 5P + 2P 14 = 7P 14 7 = 7P 7 2 = P Innymi słowy, cena każdej pizzy wyniesie 2 dol. Ile placków kupią konsumenci? Biorąc cenę 2 dol. i podstawiając ją do równania popytu, otrzymujemy: Q d = 16 – 2P = 16 – 2(2) = 16 – 4 = 12 Jeśli więc cena wyniesie 2 dol. za pizzę, konsumenci kupią 12 sztuk. Ile wytworzą producenci? Podstawiając cenę 2 dol. do równania podaży, otrzymujemy: Q s = 2 + 5P = 2 + 5(2) = 2 + 10 = 12 Jeśli więc cena wynosi 2 dol. za pizzę, producenci wytworzą 12 placków. Oznacza to, że obliczenia wykonaliśmy poprawnie, ponieważ Q d = Q s . Rozwiązywanie modeli za pomocą wykresów Jeśli algebra nie jest twoją mocną stroną, możesz uzyskać tę samą odpowiedź za pomocą wykresów. Wykreśl równania Q d i Q s w tym samym układzie współrzędnych jak pokazano na . Ponieważ P znajduje się na osi pionowej, najlepiej jest przekształcić każde równanie jako funkcję P. Krzywa popytu ma wtedy postać P = 8 – 0,5Q d , a krzywa podaży to P = –0,4 + 0,2Q s . Punkty przecięcia z osią pionową wynoszą 8 i –0,4, a nachylenie jest równe –0,5 dla krzywej popytu i 0,2 dla krzywej podaży. Jeśli starannie narysujesz obie funkcje, zobaczysz, że w miejscu ich przecięcia ( Q s = Q d ) cena wynosi 2 dol., a liczba placków jest równa 12, tak jak uzyskano na podstawie wcześniejszych obliczeń. Wykres popytu i podaży Równania Q d i Q s są przedstawione na rysunku jako linie proste. W niniejszej książce częściej będziemy używać wykresów niż algebry, ale już znasz matematykę opisującą wykresy. Stopy wzrostu Ze stopami wzrostu mamy często do czynienia w prawdziwym świecie. Stopa wzrostu (ang. growth rate ) to po prostu procentowa zmiana pewnej zmiennej. To może być twój dochód, wielkość sprzedaży przedsiębiorstwa lub PKB jakiegoś kraju. Wzór na obliczenie stopy wzrostu jest prosty: Zmiana procentowa = Zmiana ilości Ilość Załóżmy, że dostajesz 10 dol. za godzinę pracy. Jednak twój szef jest pod takim wrażeniem twojej pracy, że daje ci podwyżkę w wysokości 2 dol. za godzinę. Zmiana procentowa (lub stopa wzrostu) twojego wynagrodzenia wyniesie 2 dol./10 dol. = 0,20 lub 20%. Aby obliczyć stopę wzrostu jakiejś zmiennej w dłuższym okresie, np. średni roczny wzrost PKB w ciągu dekady lub więcej, mianownik jest zwykle definiowany nieco inaczej. W poprzednim przykładzie zdefiniowaliśmy ilość jako ilość początkową. Jest to właściwe podejście w przypadku jednookresowych obliczeń. Jeśli natomiast obliczamy wzrost w dłuższym horyzoncie czasowym, bardziej odpowiednie jest zdefiniowanie ilości jako średniej ilości w danym okresie. Trudniej to wyjaśnić słowami niż pokazać na przykładzie. Załóżmy, że PKB danego kraju wyniósł 1 bln dol. w 2005 r. i 1,03 bln dol. w 2006 r. Tempo wzrostu między 2005 a 2006 r. byłoby zmianą PKB (1,03 bln dol. – 1,00 bln dol.) podzieloną przez średni PKB w latach 2005–2006 (1,03 bln dol. + 1,00 bln dol. )/2. Innymi słowy: = $1,03 bln – $1,00 bln ($1,03 bln + $1,00 bln) / 2 = 0,03 1,015 = 0,0296 = 2,96% Zauważ, że zmiana procentowa obliczana w stosunku do wielkości początkowej dla powyższych wartości wynosi: (1,03 bln dol. – 1,00 bln dol.) / 1,00 bln dol. = 0,30, co daje mamy 3-procentowy wzrost. Kilka rzeczy jest do zapamiętania: Dodatnia stopa wzrostu oznacza, że ilość rośnie. Mniejsza stopa wzrostu oznacza, że ilość rośnie wolniej. Większa stopa wzrostu oznacza, że ilość rośnie szybciej. Ujemna stopa wzrostu oznacza, że ilość maleje. Ta sama zmiana w czasie daje mniejszą stopę wzrostu. Jeśli co roku otrzymujesz podwyżkę 2 dol., w pierwszym roku stopa wzrostu wyniesie 2 dol./10 dol. = 20%, jak pokazano wyżej. Ale w drugim roku stopa wzrostu wyniosłaby 2 dol./12 dol. = 0,167 czyli 16,7%. W trzecim roku ta sama podwyżka o 2 dol. dałaby wzrost równy 2 dol./14 dol. = 14,2%. Morał tej historii jest taki: Aby utrzymać stałą stopę wzrostu, zmiana musi zwiększać się w każdym okresie. Graficzne przedstawianie danych i interpretacja wykresów Wykresy służą również do przedstawiania danych. Jest to jedna z metod prezentacji wartości liczbowych. Wykresy zamieniają szczegółowe informacje liczbowe w wizualną formę, gdzie zależności i tendencje można łatwiej dostrzec. Na przykład, które kraje mają większą lub mniejszą populację? Uważny czytelnik mógłby przeanalizować długą listę liczb reprezentujących populacje wielu krajów, ale przy ponad 200 krajach świata przeszukanie takiej listy wymaga koncentracji i czasu. Umieszczenie tych samych liczb na wykresie może ułatwić znalezienie pewnych wzorców. Ekonomiści używają wykresów zarówno do zwięzłej i czytelnej prezentacji danych liczbowych, jak i do budowania intuicyjnego zrozumienia relacji i powiązań. W tej książce używane są trzy rodzaje wykresów: liniowe, kołowe i słupkowe. Każdy z nich jest omówiony poniżej. Przedstawiamy również ostrzeżenia o tym, jak można manipulować wykresami, aby wpłynąć na postrzeganie przez Czytelnika zależności w danych. Wykresy liniowe Wykresy, które omówiliśmy do tej pory, nazywane są wykresami liniowymi (ang. line graphs ), ponieważ pokazują zależność między dwiema zmiennymi: jedną mierzoną na osi poziomej i drugą mierzoną na osi pionowej. Czasami przydatne jest pokazanie więcej niż jednego zbioru danych na tych samych osiach. Dane z przedstawiono na , która pokazuje związek między dwiema zmiennymi: wzrostem i medianą masy ciała amerykańskich chłopców i dziewczynek w pierwszych trzech latach życia. ( Mediana (ang. median ) oznacza, że połowa wszystkich dzieci waży więcej, a połowa mniej niż wynosi mediana.) Wykres liniowy przedstawia wysokość w calach na osi poziomej i wagę w funtach na osi pionowej. Na przykład, punkt A na rysunku pokazuje, że chłopiec o wzroście 28 cali (71 cm) będzie miał medianę masy ciała około 19 funtów (8,6 kg). Jedna linia na wykresie przedstawia zależność między wzrostem a masy ciała dla chłopców, a druga - dla dziewcząt. Ten rodzaj wykresu jest szeroko stosowany przez świadczeniodawców ochrony zdrowia do sprawdzenia, czy rozwój fizyczny dziecka przebiega mniej więcej w normie. Zależność między wzrostem a masą ciała u amerykańskich chłopców i dziewcząt Wykres liniowy przedstawia zależność między wzrostem a masą ciała u chłopców i dziewcząt od urodzenia do 3. roku życia. Na przykład, punkt A pokazuje, że chłopiec o wzroście 28 cali (71 cm) waży zazwyczaj 19 funtów (9,6 kg). Zależność między wzrostem a masą ciała amerykańskich chłopców i dziewcząt Chłopcy od dnia urodzenia do 36 miesięcy Dziewczynki od dnia urodzenia do 36 miesięcy Wzrost (cale) Masa ciała (funty) Wzrost (cale) Masa ciała (funty) 20,0 8,0 20,0 7,9 22,0 10,5 22,0 10,5 24,0 13,5 24,0 13,2 26,0 16,4 26,0 16,0 28,0 19,0 28,0 18,8 30,0 21,8 30,0 21,2 32,0 24,3 32,0 24,0 34,0 27,0 34,0 26,2 36,0 29,3 36,0 28,9 38,0 32,0 38,0 31,3 Nie wszystkie zależności w ekonomii są liniowe. Czasami mają one postać nieliniową. przedstawia kolejny przykład wykresu liniowego, bazującego na danych z . W tym przypadku wykres liniowy pokazuje rozrzedzenie powietrza podczas wspinaczki w górę. Oś pozioma rysunku przedstawia wysokość mierzoną w metrach nad poziomem morza. Oś pionowa ilustruje gęstość powietrza na poszczególnych wysokościach. Gęstość powietrza jest mierzona masą powietrza na metr sześcienny (czyli w przestrzeni wysokości, szerokości i długości jednego metra). Jak wynika z wykresu, ciśnienie powietrza jest największe na poziomie morza i zmniejsza się w miarę wzrostu wysokości. pokazuje, że metr sześcienny powietrza na wysokości 500 m waży w przybliżeniu jeden kilogram. Jednak wraz ze wzrostem wysokości gęstość powietrza maleje. Metr sześcienny powietrza na szczycie Mount Everestu, tj. na wysokości ok. 8828 m, waży zaledwie 0,023 kg. Rozrzedzenie powietrza na dużych wysokościach wyjaśnia, dlaczego wielu wspinaczy górskich musi używać butli z tlenem podczas ataku szczytowego. Zależność między wysokością nad poziomem morza a gęstością powietrza Wykres pokazuje zależność między wysokością mierzoną w m n.p.m. a gęstością powietrza mierzoną w kg/m 3 . Wraz ze wzrostem wysokości, gęstość powietrza maleje. Punktowi na szczycie Mount Everestu odpowiada wysokość około 8828 metrów nad poziomem morza (oś pozioma) i gęstość powietrza 0,023 kg/m 3 (oś pionowa). Zależność między wysokością a gęstością powietrza Wysokość (m) Gęstość powietrza (kg/m 3 ) 0 1,200 500 1,093 1000 0,831 1500 0,678 2000 0,569 2500 0,484 3000 0,415 3500 0,357 4000 0,307 4500 0,231 5000 0,182 5500 0,142 6000 0,100 6500 0,085 7000 0,066 7500 0,051 8000 0,041 8500 0,025 9000 0,022 9500 0,019 10000 0,014 Zależności między wzrostem a masą ciała oraz między wysokością nad poziomem morza a gęstością powietrza zilustrowane na obu rysunkach przedstawiają wartości średnie. Jeśli zbierzesz rzeczywiste dane o ciśnieniu powietrza na różnych wysokościach, ta sama wysokość w różnych lokalizacjach geograficznych będzie charakteryzowała się nieco inną gęstością powietrza, w zależności od czynników takich jak odległość od równika, lokalne warunki pogodowe i wilgotność powietrza. Podobnie przy pomiarach wzrostu i masy ciała u dzieci przedstawionych na wcześniejszym wykresie liniowym, dzieci o określonym wzroście miałyby w rzeczywistości różne masy ciała, niektóre powyżej średniej, a inne poniżej. W prawdziwym świecie takie zróżnicowanie danych jest naturalne. Zadaniem naukowca jest uporządkowanie danych w sposób, który pomoże zrozumieć typowe wzorce. Badanie statystyk, zwłaszcza w połączeniu ze statystykami komputerowymi i wykorzystaniem arkuszy kalkulacyjnych, jest bardzo pomocne w porządkowaniu danych, rysowaniu wykresów liniowych i poszukiwaniu typowych zależności. W przypadku większości kierunków ekonomicznych i społecznych kurs statystyki jest obowiązkowy. Niektóre wykresy liniowe ilustrują szereg czasowy (ang. time series ), gdzie oś pozioma przedstawia czas, a oś pionowa — inną zmienną. Wykres zawierający szereg czasowy pokazuje wahania zmiennej w czasie. przedstawia stopę bezrobocia w Stanach Zjednoczonych od 1975 r., gdzie stopę bezrobocia definiuje się jako odsetek osób aktywnych zawodowo, którzy chcą pracować i poszukują pracy, ale nie mogą jej znaleźć. Punkty odpowiadające stopie bezrobocia w poszczególnych latach są zaznaczone na wykresie oraz połączone linią pokazującą wzrosty i spadki stopy bezrobocia od 1975 r. Wykres liniowy ułatwia na przykład stwierdzenie, że najwyższa stopa bezrobocia w analizowanym okresie wyniosła poniżej 10% na początku lat 80. XX w. oraz w 2010 r.; ponadto malała ona w latach 90. XX w., po czym wzrosła i znów spadła na początku lat 2000., a następnie gwałtownie wzrosła w okresie recesji w latach 2008–2009. Stopa bezrobocia w USA, 1975–2014 Wykres ilustruje stopę bezrobocia. Na takim wykresie łatwo dostrzec okresy wysokiego i niskiego bezrobocia. Wykresy kołowe Wykres kołowy (ang. pie graph lub pie chart ) służy do pokazania, w jaki sposób dana wielkość jest podzielona na części. Koło reprezentuje całą grupę. Wycinki koła pokazują względne rozmiary poszczególnych podgrup. pokazuje podział populacji USA na dzieci, osoby w wieku produkcyjnym i osoby starsze w 1970 r., 2000 r. oraz wg prognoz na 2030 r. Dane są najpierw przedstawione w , a następnie na trzech wykresach kołowych. Pierwsza kolumna zawiera dane na temat całkowitej populacji USA w poszczególnych latach. Kolumny 2–4 dzielą całą populację na trzy grupy wiekowe — osoby w wieku do 18 lat, 19–64 lat oraz 65 lat i więcej. W kolumnach 2–4 pierwsza wartość pokazuje faktyczną liczbę osób w danej kategorii wiekowej, a wartość w nawiasie przelicza ją na odsetek całej populacji. Struktura ludności USA według wieku w latach 1970, 2000 i 2030 (prognoza) Rok Liczba ludności 19 lat i mniej 20–64 lata 65 lat i więcej 1970 205,0 mln 77,2 (37,6%) 107,7 (52,5%) 20,1 (9,8%) 2000 275,4 mln 78,4 (28,5%) 162,2 (58,9%) 34,8 (12,6%) 2030 351,1 mln 92,6 (26,4%) 188,2 (53,6%) 70,3 (20,0%) Wykresy kołowe przedstawiające strukturę ludności USA według wieku Trzy wykresy kołowe ilustrują podział całej populacji na trzy grupy wiekowe w trzech różnych latach. Na wykresie kołowym każdy wycinek koła reprezentuje udział w całości tj. odsetek. I tak 50% to połowa koła, a 20% to jedna piąta koła. Trzy wykresy kołowe na pokazują, że udział osób w wieku 65 lat i więcej w populacji USA rośnie. Wykresy kołowe pozwalają zorientować się co do względnej wielkości różnych grup wiekowych w latach 1970, 2000 i 2030 bez konieczności analizowania konkretnych liczb i wartości procentowych z tabeli. Niektóre typowe przykłady wykorzystania wykresów kołowych obejmują strukturę ludności według wieku, poziomu dochodów, pochodzenia etnicznego, religii i zawodu; strukturę przedsiębiorstw według wielkości, branży i liczby pracowników; czy też strukturę wydatków państwa lub dochodów podatkowych według głównych kategorii. Wykresy słupkowe Wykres słupkowy (ang. bar graph ) wykorzystuje wysokość słupków do porównywania ilości. przedstawia 12 najludniejszych krajów świata. ilustruje te same dane na wykresie słupkowym. Wysokość słupka odpowiada liczbie ludności kraju. Chociaż możesz zdawać sobie sprawę, że Chiny i Indie są najbardziej zaludnionymi krajami na świecie, to rzut oka na słupki dla Chin i Indii i słupki dla innych krajów pomaga zilustrować skalę różnicy między liczbą ludności w tych państwach. Największe kraje świata pod względem liczby ludności w 2015 r. (mln) Wykres przedstawia 12 krajów świata o największej liczbie ludności. Wysokość słupków pokazuje wielkość populacji w każdym kraju. Grupa największych 12 krajów świata pod względem liczby ludności Kraj Liczba ludności (mln) Chiny 1369 Indie 1270 USA 321 Indonezja 255 Brazylia 204 Pakistan 190 Nigeria 184 Bangladesz 158 Rosja 146 Japonia 127 Meksyk 121 Filipiny 101 Wykresy słupkowe można dzielić w sposób pozwalający na przedstawienie informacji podobnych do tych, które możemy uzyskać z wykresów kołowych. zawiera trzy wykresy słupkowe oparte na danych z na temat struktury wiekowej ludności USA w latach 1970, 2000 i 2030. (a) przedstawia trzy słupki dla każdego roku, reprezentujące całkowitą liczbę osób w poszczególnych przedziałach wiekowych w każdym roku. (b) uwzględnia tylko jeden słupek dla danego roku, ale poszczególne grupy wiekowe są teraz zaznaczone wewnątrz słupka. Na (c), nadal opartym na tych samych danych, oś pionowa mierzy odsetek a nie absolutną liczbę osób. W tym przypadku wszystkie trzy słupki mają tę samą wysokość, reprezentującą 100% populacji, przy czym każdy słupek jest podzielony według odsetka populacji należącego do poszczególnych grup wiekowych. Czasami czytelnikowi łatwiej jest przejrzeć kilka wykresów słupkowych, porównując zacienione obszary, niż analizować wykresy kołowe. Ludność USA na wykresach słupkowych Dane o populacji mogą być przedstawione na różne sposoby. Wykres (a) zawiera trzy słupki dla każdego roku, przedstawiające całkowitą liczbę osób w określonym przedziale wiekowym w poszczególnych latach. Wykres (b) zawiera tylko jeden słupek dla danego roku, ale różne grupy wiekowe są zaznaczone wewnątrz słupka. Z kolei na wykresie (c) oś pionowa mierzy wartości procentowe, a nie liczbę osób. Wszystkie trzy słupki na wykresie (c) mają tę samą wysokość, a każdy z nich jest podzielony według odsetka populacji należącego do danej grupy wiekowej. i pokazują, w jaki sposób słupki mogą reprezentować kraje lub lata oraz jak oś pionowa może uwzględniać wartości liczbowe lub procentowe. Wykresy słupkowe służą również do porównywania wielkości, ilości, stawek, odległości i innych zmiennych. Porównanie wykresów liniowych z wykresami kołowymi i słupkowymi Gdy znasz już wykresy kołowe, słupkowe i liniowe, skąd wiesz, którego wykresu użyć do swoich danych? Wykresy kołowe często lepiej niż wykresy liniowe pokazują strukturę podziału pewnej grupy. Jeśli jednak wykres kołowy ma zbyt wiele wycinków, jego interpretacja może być trudna. Wykresy słupkowe są szczególnie przydatne do porównywania wielkości liczbowych. Na przykład, jeśli badasz liczbę ludności różnych krajów jak na , wykresy słupkowe mogą dobrze pokazywać związki między wielkością populacji w wielu państwach. Mogą także wyraźnie ilustrować strukturę podziału ludności według różnych cech. Wykres liniowy jest często najlepszym sposobem zobrazowania związku między dwiema zmiennymi, które się zmieniają. Przykładowo wykres z szeregiem czasowym przedstawia zmiany danej wielkości w czasie (zmiany stopy bezrobocia). Wykresy liniowe są szeroko stosowane w ekonomii do przedstawiania ciągłych danych o cenach, płacach, kupowanych i sprzedawanych ilościach dóbr i usług, czy też wielkości gospodarki. Jak wykresy mogą wprowadzać w błąd? Wykresy nie tylko ujawniają tendencje, mogą również wpływać na sposób ich postrzegania. Rozważmy wykresy liniowe przedstawione na , i . Wszystkie wykresy przedstawiają stopę bezrobocia, ale z różnych perspektyw. Przedstawianie stóp bezrobocia na różne sposoby Zmiana szerokości i wysokości obszaru wykresu może wpłynąć na sposób postrzegania danych. Przedstawianie stóp bezrobocia na różne sposoby Zmiana szerokości i wysokości obszaru wykresu może wpłynąć na sposób postrzegania danych. Załóżmy, że ktoś chce pokazać, iż wzrost bezrobocia w 2009 r. nie był aż tak duży w perspektywie historycznej. Wówczas może przedstawić dane jak na (a). (a) zawiera informacje pokazane już wcześniej na , ale rozciąga oś poziomą tak, że staje się ona relatywnie dłuższa w stosunku do osi pionowej. Rozszerzając i spłaszczając wykres wydaje się, że wzrost bezrobocia nie był duży i był podobny do niektórych wcześniejszych wzrostów. Jeśli natomiast ktoś chce zmanipulować przekazem i pokazać, iż bezrobocie w 2009 r. znacznie zwiększyło się, to używając tych samych danych, rozciągnie oś pionową w stosunku do osi poziomej jak na (b), co spowoduje, że wszystkie wzrosty i spadki bezrobocia wydają się większe. Podobny efekt można osiągnąć bez zmiany długości osi, ale przez modyfikację skali na osi pionowej. Na (c) skala na osi pionowej jest od 0% do 30%, natomiast na (d) - od 3% do 10%. W porównaniu z , gdzie skala wynosi od 0% do 12%, na (c) wahania bezrobocia wydają się mniejsze, zaś na (d) - większe. Warto zdawać sobie także sprawę, że na postrzeganie danych prezentowanych na wykresie wpływa ograniczenie zmienności danych poprzez zmianę liczby zaznaczonych punktów. (e) przedstawia stopę bezrobocia według średnich pięcioletnich. Dzięki uśrednieniu rocznych wartości, funkcja na wykresie wydaje się gładsza i zawiera mniej ekstremów. Jednak w rzeczywistości stopa bezrobocia jest raportowana co miesiąc. (f) przedstawia miesięczne dane liczbowe od 1960 r., które wahają się bardziej niż średnia z pięciu lat. (f) jest również ilustracją tego, w jaki sposób wykresy mogą przedstawiać w zwięzłym stopniu olbrzymie ilości danych. Rysunek ten zawiera dane miesięczne od 1960 r., które na przestrzeni prawie 50 lat przekładają się na blisko 600 obserwacji. Analiza 600 wartości liczbowych w tabeli byłaby bardzo trudna. Wykres umożliwia bardzo szybki przekaz tego, co wynika z 600 danych liczbowych. Na percepcję informacji zawartych na wykresie wpływa także selektywne wybieranie punktów początkowych i końcowych. Mogą zaburzyć postrzeganie, czy zmienna faktycznie rośnie, czy spada w czasie. Pierwotne dane pokazują ogólną tendencję z niskim bezrobociem w latach 60. XX w., ale wyższym w połowie lat 70. XX w., na początku lat 80. XX w., na początku lat 90. XX w. oraz na początku i pod koniec pierwszej dekady XXI w. (g) pokazuje jednak wykres, który sięga tylko do 1975 r., co sprawia wrażenie, że bezrobocie stopniowo spadało w miarę upływu czasu aż do momentu, gdy recesja z 2009 r. przywróciła je z powrotem do „początkowego” poziomu. Jest to prawdopodobna interpretacja, jeśli rozpoczniemy analizę danych w punkcie kulminacyjnym przypadającym na połowę 1975 r. Tego rodzaju zabiegi sposobu prezentacji danych nie ograniczają się do wykresów liniowych. Na wykresie kołowym z ogromną liczbą małych wycinków koła i jednym dużym przez agregację poszczególnych kategorii można uzyskać większą przejrzystość rysunku, jednak w efekcie jednak niektóre kategorie będą wydawać się większe, a inne mniejsze. Z kolei przy tworzeniu wykresu słupkowego oś pionowa może być dłuższa lub krótsza, co spowoduje, że różnice w wysokości słupków będą sprawiać wrażenie mniejszych lub większych. Umiejętność poprawnego czytania wykresów i zachowanie czujności na wskazane wyżej manipulacje są ważne zarówno w ekonomii, jak i w życiu codziennym. Pamiętaj, aby nie wierzyć zawsze w pierwsze szybkie wrażenie uzyskiwane z wykresu. Patrz na wykres z ostrożnością. Kluczowe pojęcia i podsumowanie Matematyka jest narzędziem do zrozumienia ekonomii, a związki ekonomiczne można wyrazić matematycznie za pomocą wzorów lub wykresów. Równanie algebraiczne funkcji liniowej jest następujące: y = b + mx , gdzie x to zmienna na osi poziomej, y to zmienna na osi pionowej, b jest punktem przecięcia z osią y, zaś m jest nachyleniem. Nachylenie funkcji liniowej jest takie samo w każdym punkcie i wskazuje na charakter związku (dodatni, ujemny lub zerowy) między dwiema zmiennymi ekonomicznymi. Modele ekonomiczne można rozwiązywać algebraicznie lub graficznie. Wykresy umożliwiają wizualną ilustrację danych. Mogą przedstawiać wzorce, porównania, trendy czy też strukturę jakiejś grupy, kondensując dane liczbowe i zapewniając intuicyjne wyczucie pewnych relacji. Wykres liniowy pokazuje zależność między dwiema zmiennymi: jedną zaznaczoną na osi poziomej, a drugą na osi pionowej. Wykres kołowy pokazuje sposób podziału, np. sumy pieniędzy lub grupy osób. Rozmiar każdego wycinka koła reprezentuje odpowiedni odsetek całości. Wykres słupkowy wykorzystuje wysokość słupków do ilustracji związków, przy czym każdy słupek reprezentuje określoną jednostkę, np. kraj lub grupę osób. Słupki można również podzielić na segmenty, aby pokazać podgrupy. Każdy wykres to pojedyncza wizualna perspektywa na określony temat. Wrażenie, jakie wywiera, zależy od wielu czynników, takich jak uwzględniane dane i ramy czasowe, sposób podziału danych lub grup, względny rozmiar osi pionowej i poziomej, rozpoczęcie skali na osi pionowej od zera itp. Dlatego każdy wykres należy traktować nieco sceptycznie, pamiętając, że leżący u jego podstaw związek można interpretować w różny sposób. Pytania Wymień trzy rodzaje wykresów i krótko określ, kiedy najlepiej użyć danego typu wykresu. Czym jest nachylenie funkcji liniowej? Co reprezentują wycinki wykresu kołowego? Dlaczego wykres słupkowy jest najlepszym sposobem zilustrowania porównań? Jaka jest różnica między nachyleniem dodatnim, ujemnym i zerowym?", "section": "Matematyka zastosowana w tym podręczniku", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Krzywe obojętności Ekonomiści używają pojęć związanych z maksymalizacją użyteczności do opisu preferencji ludzi. W poziom użyteczności (ang. utility ) uzyskiwany przez daną osobę jest wyrażany w kategoriach liczbowych. Niniejszy załącznik przedstawia alternatywne podejście do opisu osobistych preferencji, czyli krzywe obojętności. Zastosowanie ich pozwala uniknąć konieczności używania liczb do pomiaru użyteczności. Odkładając na bok rozważania o przypisywaniu użytecznościom konkretnych wartości liczbowych, które przez wielu studentów i ekonomistów jest uważane za założenie nierealne, krzywe obojętności (ang. indifference curves ) pomagają wyjaśnić logikę modelu. Czym jest krzywa obojętności? Ludzie nie mogą tak naprawdę przypisywać wartości liczbowych swoim poziomom zadowolenia. Mogą jednak określić (i to robią), jakie koszyki dóbr dają im większą, mniejszą lub taką samą satysfakcję. Krzywa obojętności pokazuje kombinacje dóbr, które zapewniają identyczny poziom użyteczności lub satysfakcji. Przykładowo przedstawia trzy krzywe obojętności, które reprezentują preferencje Lilii dotyczące wyboru między swoimi dwiema ulubionymi czynnościami: jedzeniem pączków i czytaniem książek. Każda krzywa obojętności (U l , U m i U h ) reprezentuje określony poziom użyteczności. Najpierw zbadamy znaczenie pojedynczej krzywej obojętności, a następnie przyjrzymy się całej grupie krzywych obojętności. Krzywe obojętności Lilii Lilia uzyskuje identyczną użyteczność ze wszystkich koszyków dóbr na danej krzywej obojętności. Wszystkie punkty na najwyższej krzywej obojętności U h , takie jak F, zapewniają większą użyteczność niż punkty takie jak A, B, C i D na środkowej krzywej obojętności U m . Podobnie dowolne punkty na środkowej krzywej obojętności U m zapewniają większą użyteczność niż jakiekolwiek punkty na najniższej krzywej obojętności U l . Kształt krzywej obojętności Na krzywej obojętności U m są zaznaczone cztery punkty: A, B, C i D. Ponieważ krzywa obojętności reprezentuje zestaw koszyków, które mają ten sam poziom użyteczności, Lilia musi uzyskać taką samą użyteczność, zgodnie ze swoimi preferencjami, z dwóch książek i 120 pączków (punkt A), z trzech książek i 84 pączków (punkt B), z 11 książek i 40 pączków (punkt C) lub z 12 książek i 35 pączków (punkt D). Uzyskałaby również identyczną użyteczność z dowolnego niezaznaczonego punktu położonego na tej krzywej obojętności. Krzywe obojętności mają mniej więcej podobny kształt w dwóch aspektach: 1) są ujemnie nachylone oraz 2) wypukłe w kierunku początku układu współrzędnych. Innymi słowy, są bardziej strome po lewej i bardziej płaskie po prawej stronie. Ujemne nachylenie krzywej obojętności oznacza, że Lilia musi zrezygnować z jednego dobra, aby uzyskać większą ilość drugiego dobra, jednocześnie utrzymując stałą użyteczność. Gdy na przykład punkty A i B znajdują się na tej samej krzywej obojętności U m , oznacza to, że zapewniają Lilii ten sam poziom użyteczności. A zatem, użyteczność krańcowa (ang. marginal utility ), którą Lilia uzyskuje dzięki, powiedzmy, zwiększeniu konsumpcji książek z dwóch do trzech, musi być równa użyteczności krańcowej, którą traci, gdy jej konsumpcja pączków zmniejsza się ze 120 do 84 – w rezultacie jej ogólna użyteczność nie zmienia się między punktami A i B. Nachylenie krzywej obojętności to krańcowa stopa substytucji (ang. marginal rate of substitution ), czyli relacja, według której dana osoba jest gotowa wymienić jedno dobro na drugie zachowując jednocześnie stały poziom użyteczności. Krzywe obojętności, jak np. U m , są bardziej strome po lewej stronie i bardziej płaskie po prawej. Powodem takiego kształtu jest malejąca użyteczność krańcowa – w miarę jak osoba konsumuje więcej dobra, użyteczność krańcowa z każdej dodatkowej jednostki maleje. Porównaj różne koszyki, które zapewniają Lilii taką samą użyteczność wzdłuż krzywej obojętności U m : koszyki A i B oraz koszyki C i D. W obu przypadkach (przy przesuwaniu się z punktu A do B oraz z C do D) Lilia konsumuje o jedną książkę więcej, ale między punktami A i B jej konsumpcja pączków spada o 36 (ze 120 do 84), a między punktami C i D spada tylko o pięć (z 40 do 35). Przyczyną jest to, że koszyki A i C są różnymi punktami początkowymi, a zatem charakteryzują się różną użytecznością krańcową. W punkcie A Lilia ma mało książek i dużo pączków. Tak więc jej użyteczność krańcowa z dodatkowej książki jest stosunkowo wysoka, podczas gdy użyteczność krańcowa z dodatkowych pączków jest stosunkowo niska — więc relatywnie duża liczba utraconych pączków jest potrzebna do zrównoważenia przyrostu użyteczności z dodatkowej książki. Jednak w punkcie C Lilia ma wiele książek i tylko kilka pączków. Przy takim punkcie początkowym jej użyteczność krańcowa uzyskana z dodatkowych książek będzie stosunkowo niska, podczas gdy użyteczność krańcowa utracona z ostatnich pączków będzie stosunkowo wysoka – więc względnie niewielka liczba utraconych pączków jest potrzebna do zrównoważenia przyrostu użyteczności z dodatkowej książki. Krótko mówiąc, nachylenie krzywej obojętności zmienia się, ponieważ krańcowa stopa substytucji — czyli ilość jednego dobra, która może być wymieniona na drugie dobro przy jednoczesnym utrzymaniu stałej użyteczności — również się zmienia na skutek malejącej użyteczności krańcowej (ang. diminishing marginal utility ) obu dóbr. Mapa krzywych obojętności Każda krzywa obojętności przedstawia koszyki zapewniające taki sam poziom użyteczności. Każdy poziom użyteczności ma swoją własną krzywą obojętności. Tak więc preferencje Lilii są reprezentowane przez nieskończoną liczbę krzywych obojętności leżących na wykresie obok siebie, mimo że na pojawiają się tylko trzy krzywe obojętności, odzwierciedlające trzy poziomy użyteczności. Innymi słowy, wykres nie przedstawia nieskończonej liczby krzywych obojętności; należy pamiętać, że taka ich liczba istnieje. Wyższe krzywe obojętności reprezentują wyższy poziom użyteczności. Na krzywą obojętności U l można traktować jako „niski” poziom użyteczności; Um reprezentuje z kolei „średni” poziom użyteczności, a U h – „wysoki”. Wszystkie koszyki z krzywej obojętności U h są preferowane w stosunku do wszystkich koszyków leżących na krzywej obojętności U m , a te z kolei są preferowane w stosunku do wszystkich koszyków z krzywej U l . Aby zrozumieć, dlaczego wyższe krzywe obojętności są preferowane w stosunku do niższych, porównaj punkt B na krzywej obojętności U m z punktem F na krzywej obojętności U h . Punkt F charakteryzuje się większą konsumpcją zarówno książek (pięć wobec trzech), jak i pączków (100 w porównaniu do 84), więc punkt F jest wyraźnie lepszy od B. Biorąc pod uwagę definicję krzywej obojętności, że wszystkie punkty na krzywej mają ten sam poziom użyteczności, to jeśli punkt F na krzywej obojętności U h jest preferowany w stosunku do punktu B na krzywej obojętności U m , to wszystkie punkty na krzywej obojętności U h muszą mieć wyższą użyteczność niż wszystkie punkty na krzywej U m . Mówiąc bardziej ogólnie, dla dowolnego punktu na niższej krzywej obojętności, takiej jak U l , możesz znaleźć punkt na wyższej krzywej obojętności, takiej jak U m lub U h , który charakteryzuje się większą konsumpcją obu dóbr. Ponieważ koszyk na wyższej krzywej obojętności jest preferowany w stosunku do koszyka na niższej krzywej obojętności, a wszystkie koszyki na danej krzywej obojętności mają ten sam poziom użyteczności, musi być prawdą, że wszystkie punkty na wyższych krzywych obojętności mają większą użyteczność niż punkty leżące na niższych krzywych obojętności. Argumenty o kształcie krzywych obojętności oraz o wyższym lub niższym poziomie użyteczności nie wymagają żadnych liczbowych szacunków użyteczności, ani przez konsumenta, ani przez kogokolwiek innego. Opierają się jedynie na założeniu, że gdy ludzie mają mniej jednego dobra, potrzebują więcej innego dobra, aby to zrekompensować i utrzymać stały poziom użyteczności, a jak ludzie mają więcej danego dobra, to użyteczność krańcowa z dodatkowych jednostek maleje. Biorąc pod uwagę te łagodne założenia, można wyznaczyć mapę krzywych obojętności do opisu preferencji dowolnej osoby. Krzywe obojętności konkretnego konsumenta Każda osoba określa swoje preferencje i użyteczność. Tak więc, o ile krzywe obojętności mają ten sam ogólny kształt – są ujemnie nachylone oraz bardziej strome po lewej stronie i bardziej płaskie po prawej – konkretny kształt krzywych obojętności może być inny dla różnych osób. Na przykład, pokazuje preferencje Lilii. Krzywe obojętności dla innych osób przechodziłyby prawdopodobnie przez inne punkty. Maksymalizacja użyteczności za pomocą krzywych obojętności Ludzie poszukują najwyższego poziomu użyteczności, co oznacza, że chcą być na jak najwyższej krzywej obojętności. Jednak ludzie są ograniczeni wysokością swojego budżetu, który pokazuje, na jakie koszyki dóbr ich stać. Maksymalizacja użyteczności na najwyższej krzywej obojętności Wróćmy do wyborów Lilii między książkami a pączkami. Załóżmy, że książka kosztuje 6 dolarów, pączek – 50 centów, a Lilia ma 60 dolarów do wydania. Ta informacja stanowi podstawę do wyznaczenia linii budżetowej, co pokazano na . Wraz z linią budżetową (ang. budget line ) pokazane są trzy krzywe obojętności z . Jaki koszyk dóbr maksymalizuje użyteczność Lilii? Na rysunku przedstawionych jest kilka możliwości. Krzywe obojętności i ograniczenie budżetowe Krzywe obojętności pokazują preferencje Lilii. Jej ograniczenie budżetowe, uwzględniające ceny książek i pączków oraz dochód, reprezentuje linia prosta. Optymalnym wyborem Lilii jest punkt B, gdzie linia budżetowa jest styczna do krzywej obojętności U m . Lilia miałaby większą użyteczność w punkcie takim jak F na wyższej krzywej obojętności U h , ale linia budżetowa w żadnym punkcie nie dotyka wyższej krzywej obojętności U h , więc nie stać jej na taki wybór. Koszyk taki jak G jest dostępny dla Lilii, ale znajduje się na krzywej obojętności Ul, a zatem daje mniejszą użyteczność niż koszyk B, który znajduje się na krzywej obojętności U m . Koszyk F z pięcioma książkami i 100 pączkami jest wysoce pożądany, ponieważ znajduje się na najwyższej krzywej obojętności U h spośród krzywych pokazanych na rysunku. Jednak jest nieosiągalny, wziąwszy pod uwagę ograniczenie budżetowe Lilii. Koszyk H z trzema książkami i 70 pączkami na krzywej obojętności U l jest marnotrawstwem, ponieważ znajduje się wewnątrz ograniczenia budżetowego, a Lilia jako osoba maksymalizująca użyteczność zawsze będzie wolała koszyk leżący dokładnie na linii ograniczenia budżetowego. Punkty B i G znajdują się na linii budżetowej. Jednak punkt G z sześcioma książkami i 48 pączkami leży na niższej krzywej obojętności Ul niż punkt B z trzema książkami i 84 pączkami, znajdujący się na krzywej obojętności U m . Gdyby Lilia miała zacząć od punktu G, a następnie zastanowić się nad krańcową użytecznością pączków i książek, uznałaby, że kilka dodatkowych pączków przy mniejszej liczbie książek sprawiłoby jej większe zadowolenie, co skłoniłoby ją do przejścia w kierunku preferowanego wyboru B. Biorąc pod uwagę osobiste preferencje Lilii, określone przez jej krzywe obojętności, oraz zestaw koszyków, na które ją stać, co jest determinowane przez ceny i dochód, punkt B będzie wyborem maksymalizującym użyteczność. Najwyższa osiągalna krzywa obojętności dotyka linii budżetowej w jednym punkcie styczności. Ponieważ istnieje nieskończona liczba krzywych obojętności (nawet wtedy, gdy tylko kilka z nich jest narysowanych na rysunku), to zawsze będzie istnieć krzywa obojętności, która dotyka linii budżetowej w jednym punkcie styczności. Wszystkie wyższe krzywe obojętności, takie jak U h , będą znajdowały się całkowicie powyżej linii budżetowej i chociaż punkty na takiej krzywej obojętności zapewniłyby większą użyteczność, nie są one osiągalne biorąc pod uwagę ograniczenie budżetowe. Wszystkie niższe krzywe obojętności, jak U l , przecinają linię ograniczenia budżetowego w dwóch różnych miejscach. Kiedy jakaś krzywa obojętności przecina linię budżetową w dwóch punktach, to nad nią znajdzie się inna, wyższa i osiągalna krzywa obojętności, która dotyka linii budżetowej tylko w jednym punkcie styczności. Zmiany dochodu Wzrost dochodu powoduje przesunięcie ograniczenia budżetowego w prawo. Na wykresie nowe ograniczenie budżetowe (ang. budget constraint ) będzie teraz styczne do wyższej krzywej obojętności, reprezentującej wyższy poziom użyteczności. Zmniejszenie dochodów spowoduje przesunięcie ograniczenia budżetowego w lewo i w efekcie będzie ono styczne do niższej krzywej obojętności, reprezentującej obniżony poziom użyteczności. Jeśli dochód wzrośnie np. o 50%, o ile dokładnie zmieni się konsumpcja książek i pączków? Czy konsumpcja obu dóbr wzrośnie o 50%, czy też ilość jednego dobra znacznie wzrośnie, podczas gdy ilość drugiego dobra wzrośnie tylko trochę lub nawet spadnie? Ponieważ osobiste preferencje i kształt krzywych obojętności są różne dla różnych osób, reakcja na zmiany dochodu będzie także inna. Na przykład, rozważmy preferencje Michała i Nataszy na (a) i (b). Każdy z nich zaczyna z identycznym dochodem w wysokości 40 dol., który wydaje na jogurty kosztujące 1 dol. i wypożyczane filmy kosztujące 4 dol. Obydwoje konsumenci mają zatem identyczne ograniczenia budżetowe. Jednak, wziąwszy pod uwagę preferencje Michała, które zostały odzwierciedlone przez krzywe obojętności, jego wybór maksymalizujący użyteczność przy początkowym ograniczeniu budżetowym ma miejsce, gdy jego linia budżetowa jest styczna do najwyższej możliwej krzywej obojętności w punkcie W, z trzema filmami i 28 jogurtami, podczas gdy wybór maksymalizujący użyteczność Nataszy przy początkowym ograniczeniu budżetowym to punkt Y z siedmioma filmami i 12 jogurtami. Krzywe obojętności Michała i Nataszy Michał i Natasza mają początkowo do czynienia z takim samym ograniczeniem budżetowym, tj. takimi samymi cenami i dochodem. Jednak krzywe obojętności, które ilustrują ich preferencje, są różne. (a) Początkowy wybór Michała w punkcie W obejmuje więcej jogurtów i mniej filmów, a Michał reaguje na wzrost dochodu głównie zwiększeniem konsumpcji filmów w punkcie X. (b) I odwrotnie, początkowy wybór Nataszy (punkt Y) obejmuje względnie więcej filmów, a jej reakcją na wzrost dochodu jest duże zwiększenie konsumpcji jogurtów. Nawet jeśli ograniczenie budżetowe jest takie samo, osobiste preferencje mogą prowadzić do różnych początkowych wyborów i do różnych reakcji w odpowiedzi na zmianę dochodów. Załóżmy teraz, że dochód Michała i Nataszy rośnie do 60 dol., więc ich ograniczenie budżetowe przesuwa się w prawo. Jak pokazano na (a), nowy wybór maksymalizujący użyteczność Michała jest w punkcie X i obejmuje siedem filmów oraz 32 jogurty — tj. Michał decyduje się przeznaczyć większość dodatkowego dochodu na filmy. Z kolei nowy wybór maksymalizujący użyteczność Nataszy jest w punkcie Z i obejmuje osiem filmów oraz 28 jogurtów, czyli Natasza decyduje się wydać większość dodatkowego dochodu na jogurty. Jak widać, podejście oparte na krzywych obojętności pozwala uzyskać szereg różnych odpowiedzi. Jeśli oba dobra są dobrami normalnymi, typową reakcją na wyższy poziom dochodu jest zakup większej ich ilości, chociaż dokładna skala przyrostu konsumpcji jest kwestią osobistych preferencji. Jeśli jedno z dóbr jest dobrem niższego rzędu, odpowiedzią na wyższy dochód jest zakup mniejszej jego ilości. Odpowiedzi na zmiany cen: efekt substytucyjny i dochodowy Wyższa cena dobra powoduje przesunięcie ograniczenia budżetowego w lewo, tak że będzie ono styczne do niższej krzywej obojętności reprezentującej obniżony poziom użyteczności. I odwrotnie, niższa cena dobra powoduje, że linia budżetowa przesunie się w prawo, tak że będzie styczna do wyższej krzywej obojętności reprezentującej zwiększony poziom użyteczności. Od osobistych preferencji zależy, jak bardzo zmiana ceny zmieni wielkość zapotrzebowania na każde dobro. Każdy, kto stanie przed podjęciem decyzji zmiany ceny, doświadczy dwóch powiązanych ze sobą efektów: substytucyjnego i dochodowego. Efekt substytucyjny (ang. substitution effect ) polega na tym, że kiedy dobro staje się droższe, ludzie szukają substytutów. Jeśli pomarańcze drożeją, miłośnicy owoców ograniczą konsumpcję pomarańczy i będą jedli więcej jabłek, grejpfrutów lub rodzynek. I odwrotnie, gdy dobro staje się tańsze, ludzie konsumują go więcej. Jeśli pomarańcze tanieją, ludzie uruchamiają swoje maszyny do wyciskania soku pomarańczowego i zmniejszają konsumpcję innych produktów spożywczych, w tym innych owoców. Efekt dochodowy (ang. income effect ) odnosi się do tego, jak zmiana ceny dobra zmienia siłę nabywczą dochodu. Jeśli maleje cena dobra, które kupujesz, to w efekcie siła nabywcza twojego dochodu rośnie – możesz kupić więcej towarów. I odwrotnie, jeśli cena kupowanego przez ciebie dobra rośnie, siła nabywcza dochodu maleje. (Jednym z powszechnych źródeł nieporozumień jest to, że „efekt dochodowy” nie oznacza zmiany rzeczywistego dochodu. Odnosi się do sytuacji, w której zmienia się cena dobra, a tym samym zmieniają się ilości dóbr, które można kupić za stałą kwotę dochodu. Być może bardziej trafnym określeniem „efektu dochodowego” byłby „efekt siły nabywczej”, ale termin „efekt dochodowy” jest powszechnie używany i tak go będziemy nazywać w niniejszym podręczniku). Ilekroć zmienia się cena, konsumenci odczuwają jednocześnie efekt substytucyjny i dochodowy. Przy wykorzystaniu krzywych obojętności można zilustrować efekt substytucyjny i dochodowy na rysunku. Na Ola wybiera między dwoma dobrami: wizytami u fryzjera i pizzą. Wizyta u fryzjera kosztuje 20 dol., pizza 6 dol., a Ola ma 120 dol. do wydania. Efekt substytucyjny i dochodowy Początkowym wyborem jest A, czyli punkt styczności między początkowym ograniczeniem budżetowym a krzywą obojętności. Nowy punkt optymalny to B, czyli punkt styczności między nowym ograniczeniem budżetowym a dolną krzywą obojętności. Punkt C jest punktem styczności między linią przerywaną, której nachylenie pokazuje nową wyższą cenę wizyt u fryzjera, a początkową krzywą obojętności. Efekt substytucyjny jest przejściem z punktu A do C, co oznacza mniejszą liczbę wizyt u fryzjera i więcej pizzy. Efekt dochodowy to przesunięcie z punktu C do B. Odzwierciedla on zmniejszenie siły nabywczej, co powoduje przejście z wyższej krzywej obojętności do niższej krzywej obojętności przy niezmienionych cenach względnych. Efekt dochodowy skutkuje mniejszą konsumpcją obu dóbr. Zarówno efekt substytucyjny, jak i dochodowy powodują mniejszą liczbę wizyt u fryzjera. Natomiast w przypadku pizzy efekty substytucyjny i dochodowy znoszą się, a wielkość konsumpcji pizzy się nie zmienia. Cena wizyty u fryzjera wzrasta do 30 dol. Olek zaczyna od koszyka A oferującego większy zestaw możliwości (ang. opportunity set ) i znajdującego się na wyższej krzywej obojętności. Po wzroście ceny wizyt u fryzjera wybiera on punkt B oferujący mniejszy zestaw możliwości i znajdujący się na niższej krzywej obojętności. Punkt B (2 wizyty u fryzjera i 10 placków pizzy) znajduje się tuż pod punktem A (3 wizyty u fryzjera i 10 placków pizzy). Oznacza to, że na skutek wyższej ceny wizyt u fryzjera Olek ograniczył tylko strzyżenie, pozostawiając konsumpcję pizzy niezmienioną. Na rysunku linia przerywana i punkt C służą do wyznaczenia efektów: substytucyjnego i dochodowego. Aby to zrozumieć, zacznij myśleć o efekcie substytucyjnym próbując odpowiedzieć na następujące pytanie: Jak Olek zmieniłby swoją konsumpcję, gdyby zmieniły się ceny względne dwóch dóbr, ale zmiana cen względnych nie wpłynęłaby na jego użyteczność? Nachylenie ograniczenia budżetowego reprezentuje relację cen dwóch dóbr. A zatem, nachylenie początkowej linii budżetowej jest określane przez początkową relację cen, zaś nachylenie nowej linii budżetowej jest określane przez nową relację cen. Mając to na uwadze, linia przerywana jest wstawiana tak, aby była równoległa do nowego ograniczenia budżetowego, więc odzwierciedla nowe ceny względne, ale jest styczna do początkowej krzywej obojętności, czyli reprezentuje pierwotny poziom użyteczności lub siły nabywczej. A zatem, przejście z punktu początkowego A do punktu C jest efektem substytucyjnym. Efekt substytucyjny pokazuje wybór, jakiego dokonałby Olek, gdyby ceny względne uległy zmianie (co jest odzwierciedlone przez różne nachylenia początkowej linii budżetowej i linii przerywanej), ale gdyby siła nabywcza nie uległa zmianie (co wynika z faktu, że obie linie są styczne do początkowej krzywej obojętności). Efekt substytucyjny zachęca ludzi do odchodzenia od dobra, które stało się relatywnie droższe – w przypadku Olka są to wizyty u fryzjera zaznaczone na osi pionowej – w kierunku dobra, które stało się relatywnie tańsze – w tym przypadku pizzy na osi poziomej. Dwie strzałki, po jednej na każdej osi, oznaczone literą „s” i reprezentujące „efekt substytucyjny”, pokazują kierunek tego ruchu. Efekt dochodowy to ruch z punktu C do B. Efekt dochodowy pokazuje, jak Olek reaguje na zmniejszenie swojej siły nabywczej przesuwając się z wyższej krzywej obojętności na niższą krzywą obojętności, ale utrzymując stałe ceny względne (linia przerywana ma bowiem takie samo nachylenie jak nowe ograniczenie budżetowe). W tym przypadku, gdy cena jednego dobra wzrasta, siła nabywcza spada, więc efekt dochodowy oznacza, że konsumpcja obu dóbr powinna zmniejszyć się (jeśli oba dobra są dobrami normalnymi, co jest rozsądnym założeniem, chyba że istnieją powody, aby sądzić inaczej). Dwie strzałki, po jednej na każdej osi, oznaczone literą „d” i reprezentujące „efekt dochodowy”, pokazują kierunek tego ruchu. Przeanalizujmy teraz razem efekty: substytucyjny i dochodowy. Gdy cena wizyt u fryzjera rośnie, Olek chodzi mniej do fryzjera zarówno z powodu efektu substytucyjnego, jak i dochodowego. Oba efekty powodują, że po wzroście ceny konsumpcja usług fryzjerskich maleje. Wzrost cen usług fryzjerskich nie wpływa natomiast na wielkość konsumpcji pizzy. Efekt substytucyjny wyższej ceny wizyt u fryzjera oznacza, że pizza staje się relatywnie tańsza (w porównaniu z usługami fryzjerskimi) i Olek kupuje więcej placków pizzy na skutek działania samego efektu substytucyjnego. Z kolei efekt dochodowy wyższej ceny usług fryzjerskich oznacza, że Olek chce konsumować mniej obu dóbr, czyli kupuje mniej placków pizzy na skutek działania samego efektu dochodowego. Jak pokazano na , w tym konkretnym przypadku efekty: substytucyjny i dochodowy w zakresie konsumpcji pizzy wzajemnie się znoszą, więc Olek ostatecznie kupuje taką samą liczbę sztuk pizzy jak na początku. Dla różnych osób siła efektów: substytucyjnego i dochodowego jest różna i zależy od ich indywidualnych preferencji. Na przykład, jeśli efekt substytucyjny Olka polegający na zmniejszeniu zakupu usług fryzjerskich i zwiększeniu zakupów pizzy będzie szczególnie silny i przeważy nad efektem dochodowym, wówczas wyższa cena usług fryzjerskich doprowadzi do zwiększonej konsumpcji pizzy. Ten przypadek zostałby narysowany na rysunku tak, że punkt styczności między nowym ograniczeniem budżetowym a odpowiednią krzywą obojętności znajdowałby się poniżej punktu B (na prawo od niego). I odwrotnie, jeśli efekt substytucyjny nie byłby tak silny i byłby słabszy od efektu dochodowego, Olek konsumowałby mniej obu dóbr na skutek wzrostu ceny usług fryzjerskich. W tym przypadku jego optymalny wybór po zmianie ceny znajdowałby się na nowym ograniczeniu budżetowym powyżej punktu B (na lewo od niego). Chociaż efekty: substytucyjny i dochodowy są często omawiane jako sekwencja zdarzeń, należy pamiętać, że zachodzą jednocześnie w wyniku jednego zdarzenia – zmiany ceny. Chociaż można je analizować osobno, oba efekty zawsze występują w tym samym czasie. Zastosowanie krzywych obojętności do wyboru między pracą a czasem wolnym oraz do wyboru międzyokresowego Krzywe obojętności mają zastosowanie do wielu wyborów dokonywanych przez gospodarstwa domowe, w tym do podziału czasu między czas wolny a pracę oraz do wyboru międzyokresowego między obecną a przyszłą konsumpcją. W przypadku wyboru między pracą a czasem wolnym, krzywe obojętności pokazują kombinacje czasu wolnego i dochodu, które zapewniają określony poziom użyteczności. W wyborze międzyokresowym krzywe obojętności pokazują kombinacje obecnej i przyszłej konsumpcji, zapewniające określony poziom użyteczności. Ogólne zasady co do kształtów krzywych obojętności – ujemne nachylenie oraz większa stromość po lewej niż po prawej stronie – pozostają takie same. Wybór między pracą a czasem wolnym Patrycja otrzymuje wynagrodzenie w wysokości 12 dol. za godzinę pracy, ale dostaje podwyżkę do 20 dol. za godzinę. Odejmując czas poświęcony na obowiązki rodzinne i spanie, może przeznaczyć 80 godzin tygodniowo na pracę lub wypoczynek. Jak pokazano na , najwyższy poziom użyteczności Patrycji przy jej początkowym ograniczeniu budżetowym znajduje się w punkcie A, gdzie linia ograniczenia budżetowego jest styczna do dolnej krzywej obojętności (U l ). W punkcie A Patrycja ma 30 godzin czasu wolnego, a więc pracuje 50 godzin i uzyskuje dochód 600 dol. tygodniowo (czyli 50 godzin pracy po 12 dol. za godzinę). Następnie Patrycja dostaje podwyżkę do 20 dol. za godzinę, co przesuwa jej ograniczenie budżetowe w prawo. Jej nowy, maksymalizujący użyteczność wybór występuje w punkcie, w którym nowa linia ograniczenia budżetowego jest styczna do wyższej krzywej obojętności (U h ). W punkcie B Patrycja ma 40 godzin czasu wolnego i pracuje 40 godzin, uzyskując tygodniowy dochód 800 dol. (czyli 40 godzin pracy po 20 dol. za godzinę). Skutki zmiany płacy Patrycja zaczyna od punktu A, czyli od punktu styczności między początkowym ograniczeniem budżetowym a niższą krzywą obojętności U l . Wzrost płacy przesuwa jej ograniczenie budżetowe w prawo, dzięki czemu może teraz wybrać punkt B na krzywej obojętności Uh. Efektem substytucyjnym jest przejście z punktu A do C. Efekt substytucyjny powoduje, że Patrycja wybiera mniej czasu wolnego, który jest relatywnie droższy, i osiąga większy dochód, który jest relatywnie łatwiejszy do uzyskania. Efektem dochodowym jest przesunięcie z punktu C do B. Efekt dochodowy w tym przykładzie prowadzi do większej konsumpcji obu dóbr. Ostatecznie, w tym przykładzie dochód wzrasta z powodu zarówno efektu substytucyjnego, jak i dochodowego. Natomiast czas wolny maleje z powodu działania efektu substytucyjnego, ale rośnie z powodu działania efektu dochodowego, co prowadzi – w przypadku Patrycji – do ogólnego wzrostu ilości czasu wolnego. Efekty: substytucyjny i dochodowy są narzędziem ułatwiającym analizę reakcji Patrycji na wzrost płacy godzinowej. Linia przerywana pozwala na oddzielenie tych dwóch efektów na wykresie. Efekt substytucyjny pokazuje, jak Patrycja zmieniłaby czas pracy, gdyby – pozostając na tym samym poziomie użyteczności – jej płaca wzrosła, czyli gdyby dochód był relatywnie tańszy, a czas wolny relatywnie droższy. Nachylenie linii ograniczenia budżetowego na rysunku przedstawiającym wybór między pracą a czasem wolnym (ang. labor-leisure diagram ) jest określone przez stawkę płacy. W ten sposób linia przerywana reprezentuje wybór między pracą a czasem wolnym według nowej stawki płacy. Linia ta jest jednocześnie styczna do początkowej krzywej obojętności, pokazującej początkowy poziom użyteczności lub „siły nabywczej”. Przesunięcie z początkowego punktu A do punktu C, który jest punktem styczności między początkową krzywą obojętności a linią przerywaną, sugeruje, że z powodu wyższej płacy Patrycja woli mieć mniej czasu wolnego i osiągać większy dochód. Strzałki oznaczone literą „s” na osi poziomej i pionowej pokazują zmianę czasu wolnego i dochodu wynikającą z działania efektu substytucyjnego. Efekt dochodowy polega na tym, że wyższa płaca, przesuwając linię ograniczenia budżetowego w prawo, umożliwia Patrycji osiągnięcie wyższego poziomu użyteczności. Efekt dochodowy to przesunięcie z punktu C do B. Pokazuje on, jak zmienia się zachowanie Patrycji w odpowiedzi na wyższy poziom użyteczności lub „siły nabywczej” przy takiej samej stawce płac (co przedstawia linia przerywana równoległa do nowej linii ograniczenia budżetowego). Efekt dochodowy, zachęcający Patrycję do konsumowania większej ilości czasu wolnego i uzyskiwania większych dochodów, jest zilustrowany strzałkami na osi poziomej i pionowej . Łącząc te efekty, reakcją Patrycji na wyższą płacę jest przejście z punktu A do B. W efekcie Patrycja uzyskuje większy dochód. Dzieje się tak zarówno dlatego, że efekt substytucyjny wyższych płac sprawił, że dochód jest relatywnie tańszy, tj. łatwiejszy do uzyskania, jak i dlatego, że efekt dochodowy wyższych zarobków umożliwił osiągnięcie większego dochodu i większej ilości czasu wolnego. Przejście z punktu A do B wiąże się również ze zwiększeniem ilości czasu wolnego, ponieważ zgodnie z preferencjami Patrycji efekt dochodowy, który zachęca do zwiększenia konsumpcji czasu wolnego, jest silniejszy od efektu substytucyjnego, powodującego mniejszą konsumpcję czasu wolnego. przedstawia tylko preferencje Patrycji. Inni ludzie mogą dokonywać odmiennych wyborów. Na przykład osoba, dla której efekty: substytucyjny i dochodowy dokładnie się równoważą w zakresie zmiany ilości czasu wolnego, w wyniku wzrostu płacy wybierze punkt taki jak D, leżący dokładnie powyżej początkowego punktu A, co oznacza, że wszelkie korzyści z wyższej płacy przejawiają się w postaci wzrostu dochodu, a liczba godzin pracy nie zmienia się. Jeszcze inna osoba, dla której efekt substytucyjny przewyższy efekt dochodowy w zakresie zmiany ilości czasu wolnego, może w wyniku wzrostu płacy wybrać punkt taki jak F, gdzie reakcją na wyższe zarobki jest przepracowanie większej liczby godzin i uzyskanie znacznie większych dochodów. Aby przedstawić te różne preferencje, wystarczy narysować krzywą obojętności U h tak, aby była styczna do nowej linii ograniczenia budżetowego w punkcie D lub F, a nie w punkcie B. Wybór międzyokresowy Robert zaoszczędził 10 000 dol. Myśli o wydaniu części lub całości pieniędzy na obecne wakacje, a resztę odłoży na kolejny duży wyjazd wakacyjny za pięć lat. W ciągu tych pięciu lat spodziewa się osiągnąć łącznie 80-procentową stopę zwrotu. pokazuje ograniczenie budżetowe Roberta i jego krzywe obojętności dotyczące wyboru między obecną a przyszłą konsumpcją. Najwyższy poziom użyteczności, jaki Robert może osiągnąć przy swoim początkowym międzyokresowym ograniczeniu budżetowym, występuje w punkcie A, gdzie Robert wydaje 6000 dol. na bieżącą konsumpcję i oszczędza 4000 dol. na przyszłość, spodziewając się, że wraz ze skumulowanymi odsetkami będzie miał 7200 dol. na przyszłą konsumpcję (tj. 4000 dol. bieżących oszczędności powiększonych o 80-procentową stopę zwrotu). Jednak Robert właśnie zdał sobie sprawę z tego, że jego oczekiwana stopa zwrotu była nierealistycznie wysoka. Bardziej realistycznym oczekiwaniem jest uzyskanie w ciągu pięciu lat łącznego zwrotu w wysokości 30%. W efekcie międzyokresowe ograniczenie budżetowe obraca się w lewo, tak że początkowy, maksymalizujący użyteczność wybór nie jest już dostępny. Czy Robert zareaguje na niższą stopę zwrotu oszczędzając więcej czy mniej, czy też taką samą kwotę? Myślenie przy pomocy efektów: substytucyjnego i dochodowego ponownie ułatwia analizę skutków zmiany stopy procentowej. Linia przerywana, która pozwala na oddzielenie efektu substytucyjnego i dochodowego, ma takie samo nachylenie jak nowa linia ograniczenia budżetowego, czyli reprezentuje nową stopę procentową, ale jest styczna do początkowej krzywej obojętności, aby utrzymać użyteczność lub „siłę nabywczą” na niezmienionym poziomie. Efekt substytucyjny ilustruje zmianę konsumpcji spowodowaną tym, że niższa stopa zwrotu czyni przyszłą konsumpcję relatywnie droższą, a obecną relatywnie tańszą. Przejście z początkowego punktu A do punktu C pokazuje, w jaki sposób Robert w odpowiedzi na niższą stopę procentową ogranicza konsumpcję przyszłą na rzecz konsumpcji obecnej bez zmiany poziomu użyteczności. Strzałki reprezentujące efekt substytucyjny na osi poziomej i pionowej ilustrują kierunek działania efektu substytucyjnego. Zgodnie z efektem substytucyjnym, na skutek niższej stopy procentowej Robert powinien zwiększyć konsumpcję bieżącą, a zmniejszyć konsumpcję przyszłą. Robert ma także do czynienia z efektem dochodowym. Niższa stopa zwrotu przesuwa linię ograniczenia budżetowego w lewo, co oznacza spadek użyteczności lub „siły nabywczej” Roberta. Efekt dochodowy (przy założeniu dóbr normalnych) powoduje spadek konsumpcji obecnej i przyszłej. Działanie efektu dochodowego w postaci zmniejszenia konsumpcji ilustrują strzałki znajdujące się koło litery „d” przy osi poziomej i pionowej . Krzywe obojętności i międzyokresowe ograniczenie budżetowe Początkowy punkt optymalny to A, będący punktem styczności między początkowym ograniczeniem budżetowym a początkową krzywą obojętności Uh. Linia przerywana jest równoległa do nowego ograniczenia budżetowego, czyli jej nachylenie odzwierciedla niższą stopę procentową, ale jest styczna do początkowej krzywej obojętności. Przesunięcie z punktu A do C jest efektem substytucyjnym: w przypadku obniżenia stopy procentowej przyszła konsumpcja staje się relatywnie droższa, a obecna konsumpcja – relatywnie tańsza. Efekt dochodowy to przesunięcie z punktu C do B i przedstawia zmniejszenie użyteczności lub „siły nabywczej”, co powoduje przejście na niższą krzywą obojętności Ul, ale przy takiej samej relacji cen. Efekt dochodowy oznacza mniejszą obecną i przyszłą konsumpcję. Przesuwając się z punktu A do B, efekt substytucyjny dla konsumpcji obecnej jest silniejszy niż efekt dochodowy, więc efektem całkowitym jest zwiększenie obecnej konsumpcji. Zauważ, że dolna krzywa obojętności mogłaby równie dobrze być styczna do nowego ograniczenia budżetowego w punkcie D lub F, w zależności od osobistych preferencji. Patrząc na oba efekty łącznie, efekt substytucyjny zachęca Roberta do zwiększenia konsumpcji obecnej i zmniejszenia konsumpcji przyszłej, ponieważ obecna konsumpcja jest relatywnie tańsza. Z kolei efekt dochodowy zachęca go do zmniejszenia zarówno obecnej, jak i przyszłej konsumpcji, ponieważ niższa stopa procentowa przesuwa go na niższy poziom użyteczności. Wziąwszy pod uwagę preferencje Roberta, efekt substytucyjny jest silniejszy, więc na obniżenie stopy procentowej reaguje on zwiększeniem konsumpcji obecnej i zmniejszeniem oszczędności, wybierając punkt B. Jednak inni ludzie mogą mieć odmienne preferencje. W wyniku obniżenia stopy procentowej mogą wybrać ten sam poziom obecnej konsumpcji i ten sam poziom oszczędności jak w punkcie D lub zdecydować się na zmniejszenie konsumpcji obecnej i zwiększenie oszczędności jak w punkcie F. W przypadku tych odmiennych zestawów preferencji efekt dochodowy zmiany konsumpcji obecnej jest relatywnie silniejszy, a efekt substytucyjny – relatywnie słabszy. Wyznaczanie efektów substytucyjnych i dochodowych na rysunku Krzywe obojętności są narzędziem analitycznym pozwalającym na zobrazowanie wszystkich koszyków dóbr zapewniających taką samą użyteczność. Eliminują potrzebę przypisywania wartości liczbowych poziomom użyteczności i pomagają naświetlić proces podejmowania decyzji dotyczących maksymalizacji użyteczności. Umożliwiają również szczegółową analizę efektów zmian cen, płac lub stóp procentowych za pomocą efektów: substytucyjnego i dochodowego. Jeśli sprawia ci trudność wyznaczenie na rysunku efektów: substytucyjnego i dochodowego, tak aby wszystkie punkty styczności wyszły poprawnie, przydatna może być poniższa procedura. Krok 1. Zacznij od narysowania ograniczenia budżetowego, pokazującego wybór między dwoma dobrami – powiedzmy cukierkami i filmami. Wybierz punkt A, który będzie optymalnym koszykiem dóbr, dla którego krzywa obojętności jest styczna do linii ograniczenia budżetowego – często wygodniej jest jeszcze nie rysować tej krzywej obojętności, jak na . Krok 2. Załóżmy teraz, że cena filmów się zmienia – powiedzmy: rośnie. W efekcie linia ograniczenia budżetowego obraca się do wewnątrz. Wiesz, że wyższa cena przesunie konsumenta do niższego poziomu użyteczności, reprezentowanego przez niższą krzywą obojętności. Ale na tym etapie narysuj tylko nową linię budżetową ( ). Krok 3. Kluczową czynnością w wyznaczeniu efektów: substytucyjnego i dochodowego jest wstawienie linii przerywanej, równoległej do nowej linii ograniczenia budżetowego. Linia ta jest narzędziem graficznym, które pozwala rozróżnić dwie zmiany: (1) zmianę konsumpcji dwóch dóbr wynikającą ze zmiany relacji cen — przy niezmienionym poziomie użyteczności — będącą efektem substytucyjnym; oraz (2) zmianę konsumpcji dwóch dóbr wynikającą z przejścia z jednej krzywej obojętności na drugą — przy niezmienionych cenach względnych — będącą efektem dochodowym. W tym kroku wstawiana jest linia przerywana. Zauważ, że linia przerywana znajduje się blisko początkowego punktu A, ale przez niego nie przechodzi, co pokazuje . Krok 4. Teraz narysuj początkową krzywą obojętności, tak aby była styczna zarówno w punkcie A do początkowej linii budżetowej, jak i w punkcie C do linii przerywanej. Wielu studentów uważa, że najłatwiej jest najpierw wybrać punkt C, w którym początkowa krzywa obojętności jest styczna do linii przerywanej, a następnie narysować początkową krzywą obojętności przechodzącą przez punkty A i C. Efekt substytucyjny to ruch wzdłuż początkowej krzywej obojętności na skutek zmiany ceny przy niezmienionym poziomie użyteczności, czyli przejście z punktu A do C. Zgodnie z oczekiwaniami, efekt substytucyjny prowadzi do spadku konsumpcji dobra, które jest stosunkowo droższe, co pokazuje strzałka „s” (substytucja) na osi pionowej, oraz do zwiększenia konsumpcji dobra, które jest relatywnie tańsze, na co wskazuje strzałka „s” na osi poziomej ( ). Krok 5. Mając na uwadze działanie efektu substytucyjnego, wybierz teraz maksymalizujący użyteczność punkt B na nowej linii ograniczenia budżetowego. Wybierając punkt B, zastanów się, czy efekt substytucyjny czy dochodowy ma mieć większy wpływ na dobro z osi poziomej (w tym przypadku cukierki). Jeśli punkt B wybierzesz tak, że będzie znajdował się dokładnie poniżej punktu A (jak pokazano tutaj), wtedy efekt dochodowy będzie dokładnie równoważył efekt substytucyjny w zakresie zmiany ilości dobra z osi poziomej. Jeśli wstawisz punkt B tak, że będzie leżał trochę na prawo od początkowego punktu A, wtedy efekt substytucyjny przeważy nad efektem dochodowym. Jeśli wstawisz punkt B tak, że będzie leżał trochę na lewo od punktu A, to efekt dochodowy będzie silniejszy niż efekt substytucyjny. Efekt dochodowy to ruch z punktu C do B. Pokazuje on, jak zmienia się wybór konsumenta w wyniku spadku siły nabywczej i zmiany poziomu użyteczności, przy niezmienionej relacji cen. W przypadku dóbr normalnych, ujemny efekt dochodowy oznacza mniejszą konsumpcję każdego dobra, co pokazuje kierunek strzałek „d” (efekt dochodowy) na osi pionowej i poziomej ( ). Ćwicząc rysowanie efektów substytucyjnego i dochodowego, przeanalizuj następujące warianty: 1) cena spada zamiast rosnąć; 2) zmiana ceny wpływa na dobro z osi pionowej lub na dobro z osi poziomej, 3) efekt substytucyjny przewyższa efekt dochodowy lub efekt dochodowy przewyższa efekt substytucyjny albo oba efekty są sobie równe. Ostatnia uwaga: pomocną linię przerywaną można też narysować jako styczną do nowej krzywej obojętności i równoległą do początkowej linii budżetowej, a nie styczną do początkowej krzywej obojętności i równoległą do nowej linii budżetowej. Niektórzy studenci uważają to podejście za bardziej intuicyjne. Otrzymane odpowiedzi dotyczące kierunku i względnych rozmiarów efektów: substytucyjnego i dochodowego powinny być jednak takie same. Kluczowe pojęcia i podsumowanie Krzywe obojętności wraz z linią ograniczenia budżetowego znajdują się na rysunku przedstawiającym równowagę konsumenta, który dokonuje wyboru między konsumpcją dwóch dóbr. Wszystkie punkty wzdłuż danej krzywej obojętności zapewniają ten sam poziom użyteczności. Wyższe krzywe obojętności reprezentują wyższy poziom użyteczności. Krzywe obojętności mają nachylenie ujemne, ponieważ jeśli użyteczność ma pozostać taka sama we wszystkich punktach wzdłuż krzywej obojętności, zmniejszenie ilości dobra z osi pionowej musi być skompensowane wzrostem ilości dobra z osi poziomej (i na odwrót). Krzywe obojętności są bardziej strome po lewej i bardziej płaskie po prawej stronie z powodu malejącej użyteczności krańcowej. Wyborem maksymalizującym użyteczność przy danym ograniczeniu budżetowym jest punkt styczności linii ograniczenia budżetowego z krzywą obojętności. Zmiana ceny dowolnego dobra wywołuje dwa efekty: substytucyjny i dochodowy. Efekt substytucyjny powoduje, że maksymalizująca użyteczność osoba będzie kupowała mniej dobra, które jest relatywnie droższe, a więcej tego, które jest relatywnie tańsze. Efekt dochodowy powoduje, że maksymalizująca użyteczność osoba będzie kupowała więcej obu dóbr, jeśli użyteczność wzrasta, lub mniej obu dóbr, jeśli użyteczność maleje (gdy oba dobra są dobrami normalnymi). W modelu wyboru między pracą a czasem wolnym, zmiana płacy wywołuje dwa efekty: substytucyjny i dochodowy. Efektem substytucyjnym podwyżki płacy jest zwiększenie dochodu, ponieważ zarabianie pieniędzy jest „tańsze”, i zmniejszenie ilości czasu wolnego, ponieważ zwiększył się jego koszt alternatywny. Efektem dochodowym podwyżki płacy jest zwiększenie ilości czasu wolnego i dochodu, ponieważ oba dobra są dobrami normalnymi. Efekty: substytucyjny i dochodowy spadku płac są dokładnie odwrotne. W międzyokresowym modelu wyboru konsumpcji w czasie, każda zmiana stopy procentowej wywołuje dwa efekty: substytucyjny i dochodowy. Efektem substytucyjnym wzrostu stopy procentowej jest zwiększenie przyszłej konsumpcji, ponieważ oszczędzanie pieniędzy staje się tańsze, a także zmniejszenie konsumpcji obecnej (wzrost oszczędności), ponieważ koszt alternatywny konsumpcji bieżącej, którym jest utrata przyszłej konsumpcji, jest większy. Efektem dochodowym wzrostu stopy procentowej jest zwiększenie zarówno obecnej, jak i przyszłej konsumpcji, ponieważ są to dobra normalne. Efekty: substytucyjny i dochodowy spadku stopy procentowej są dokładnie odwrotne. Pytania Jaki jest preferowany punkt na krzywej obojętności? Dlaczego krzywe obojętności mają nachylenie ujemne? Dlaczego krzywe obojętności są strome po lewej stronie i bardziej płaskie po prawej? Ile krzywych obojętności ma dana osoba? Jak rozpoznać, które krzywe obojętności reprezentują wyższy, a które niższy poziom użyteczności? Co to jest efekt substytucyjny? Co to jest efekt dochodowy? Czy „efekt dochodowy” wiąże się ze zmianą dochodów? Odpowiedź uzasadnij. Czy zmiana ceny wywołuje zarówno efekt dochodowy, jak i efekt substytucyjny? Czy zmiana dochodu wywołuje zarówno efekt dochodowy, jak i efekt substytucyjny? Czy może w niektórych przypadkach wystąpić tylko efekt dochodowy lub tylko efekt substytucyjny? Odpowiedź uzasadnij. Który efekt jest większy: dochodowy czy substytucyjny?", "section": "Krzywe obojętności", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Wartość zaktualizowana W zostało wyjaśnione, że ceny akcji (ang. stocks ) i obligacji (ang. bonds ) zależą od przyszłych wydarzeń. Cena obligacji zależy od przyszłych płatności, których oczekuje się z tytułu tych obligacji, w tym zarówno płatności odsetek, jak i spłaty wartości nominalnej. Cena akcji zależy od oczekiwanych przyszłych zysków osiąganych przez przedsiębiorstwo. Pojęcie wartości zaktualizowana (PV) (ang. present discounted value (PDV) ), które jest zdefiniowana jako kwota, którą kupiec powinien być skłonny zapłacić dzisiaj za strumień oczekiwanych przyszłych płatności, może zostać wykorzystane do obliczenia adekwatnych cen akcji i obligacji. Aby odnieść wartość zdyskontowaną do przyszłej płatności, zastanów się, jaką sumę pieniędzy musisz mieć dzisiaj, aby jej wartość zrównała się z określoną kwotą w przyszłości. Ta kalkulacja będzie wymagała stopy procentowej (ang. interest rate ). Na przykład, jeśli stopa procentowa wynosi 10%, płatność w wysokości 110 dol. za rok będzie miała wartość dzisiejszą równą 100 dol. — to znaczy, możesz wziąć 100 dol. dzisiaj i mieć 110 dol. w przyszłości. Najpierw pokażemy, jak zastosować wartość dzisiejszą do obliczenia wartości akcji, a następnie do obligacji. Stosowanie wartości zaktualizowanej do obliczenia wartości akcji Rozważmy przypadek spółki Babble, która oferuje lekcje emisji głosu. Dla uproszczenia powiedzmy, że założyciel Babble ma 63 lata i planuje przejść na emeryturę za dwa lata, kiedy to spółka zostanie rozwiązana. Spółka sprzedaje 200 akcji, a zyski mają wynieść 15 mln dol. w bieżącym okresie, 20 mln dol. za rok i 25 mln dol. za dwa lata. Wszystkie zyski będą wypłacane akcjonariuszom w formie dywidendy, gdy tylko zostaną one zrealizowane. Wziąwszy pod uwagę te wszystkie informacje, policzmy, ile inwestor zapłaci za akcje tej spółki? Inwestor finansowy, myśląc o tym, jaka jest dzisiejsza wartość przyszłych płatności, będzie musiał wybrać stopę procentową. Ta stopa procentowa będzie odzwierciedlać stopę zwrotu z innych dostępnych możliwości inwestycji finansowych, czyli koszt alternatywny zainwestowania kapitału finansowego, a także premię za ryzyko (tj. stosowana jest wyższa stopa procentowa, jeśli ta inwestycja wydaje się szczególnie ryzykowna). W tym przykładzie powiedzmy, że inwestor finansowy decyduje, że odpowiednia stopa procentowa do wyceny przyszłych płatności wynosi 15%. pokazuje, jak obliczyć dzisiejszą wartość przyszłych zysków. Dla każdego okresu, w którym świadczenie ma być odbierane, zastosuj wzór: Wartość dzisiejsza = Wartość przyszła otrzymana w określonym roku w przyszłości (1 + stopa procentowa) liczba lat t Obliczanie dzisiejszej wartości akcji Płatności od spółki Wartość dzisiejsza 15 mln dol. obecnie 15 mln dol. 20 mln dol. za 1 rok 20 mln dol./(1 + 0,15) 1 = 17,4 mln dol. 25 mln dol. za 2 lata 25 mln dol./(1 + 0,15) 2 = 18,9 mln dol. Razem 51,3 mln dol. Następnie zsumuj wszystkie dzisiejsze wartości uzyskane w kolejnych okresach, aby poznać ostateczną odpowiedź. Obliczona wartość dzisiejsza pozwala odpowiedzieć na pytanie, ile określona kwota w przyszłości jest warta dzisiaj, biorąc pod uwagę 15% stopę procentową. Zwróć uwagę, że poszczególne obliczenia PV należy wykonać osobno dla kwot otrzymanych w różnym czasie w przyszłości. Następnie podziel PV łącznych zysków przez liczbę akcji, w tym przypadku jest ich 200. A więc: 51,3 mln/200 = 0,2565 mln. Cena za akcję powinna wynosić około 256 500 dol. Oczywiście, w prawdziwym świecie oczekiwane zyski to tylko przypuszczenie, a nie twarde dane. Podjęcie decyzji o tym, jaką stopę procentową zastosować do dyskontowania, może być trudne. Należy wziąć pod uwagę zarówno potencjalne zyski kapitałowe z przyszłej sprzedaży akcji, jak i dywidendy, które mogą zostać wypłacone. Różnice opinii w tych kwestiach są właśnie powodem, dla którego niektórzy inwestorzy finansowi chcą kupić akcje, które inni chcą sprzedać: są bardziej optymistycznie nastawieni do przyszłości. Jednak koncepcyjnie wszystko sprowadza się do tego, ile jesteś gotów zapłacić dzisiaj, aby uzyskać strumień płatności w przyszłości. Stosowanie wartości zaktualizowanej do obliczenia wartości obligacji Podobna kalkulacja działa w przypadku obligacji. wyjaśnia, że jeśli stopa procentowa spadnie już po emisji obligacji, a inwestor ma zagwarantowaną wyższą stopę, to wartość rynkowa tej obligacji będzie większa. I odwrotnie, jeśli stopa procentowa wzrośnie po emisji obligacji, a inwestor ma jest zagwarantowaną niższą stopę, to obligacja będzie sprzedawana za mniejszą kwotę. Kalkulacja wartości bieżącej potwierdza te oczekiwania. Pomyśl o zwykłej dwuletniej obligacji. Została wyemitowana na 3000 dol. wartości nominalnej z oprocentowaniem równym 8%. Tak więc, po pierwszym roku obligacja przynosi odsetki w wysokości 240 dol. (czyli 3000 × 8%). Pod koniec drugiego roku obligacja daje 240 dol. odsetek plus 3000 dol. z wykupu wartości nominalnej. Oblicz, ile ta obligacja jest warta w chwili obecnej, jeśli stopa dyskontowa wynosi 8%. Następnie przelicz wszystko ponownie, aby sprawdzić, co się zmieni, jeśli stopy procentowe wzrosną, a właściwa stopa dyskontowa wyniesie 11%. Aby przeprowadzić te obliczenia, spójrz na strumień płatności otrzymywanych z obligacji w przyszłości i ustal, jaka jest ich wartość dzisiejsza. Obliczenia z zastosowaniem wzoru na wartość bieżącą przedstawiono w . Obliczanie dzisiejszej wartości obligacji, kwoty w dol. Strumień płatności (dla stopy procentowej równej 8%) Dzisiejsza wartość (dla stopy procentowej równej 8%) Strumień płatności (dla stopy procentowej równej 11%) Dzisiejsza wartość (dla stopy procentowe równej 11%) 240 płatność po pierwszym roku 240/(1 + 0,08) 1 = 222,20 240 płatność po pierwszym roku 240/(1 + 0,11) 1 = 216,20 3,240 płatność po drugim roku 3240/(1 + 0,08) 2 = 2777,80 3240 płatność po drugim roku 3240/(1 + 0,11) 2 = 2629,60 Razem 3000 Razem 2845,80 Pierwsze obliczenia pokazują, że dzisiejsza wartość obligacji o wartości nominalnej równej 3000 dol., wyemitowanej po stopie procentowej 8%, wynosi zaledwie 3000 dol. To tyle pieniędzy ostatecznie otrzymuje pożyczkobiorca. Obliczenia potwierdzają, że dzisiejsza wartość bieżąca dla pożyczkodawcy jest taka sama. Obligacja przenosi pieniądze w czasie, od tych, którzy chcą oszczędzać obecnie do tych, którzy chcą teraz pożyczyć, ale dzisiejsza wartość tego, co otrzymuje pożyczkobiorca, jest identyczna z dzisiejszą wartością tego, co zostanie spłacone pożyczkodawcy. Drugie podejście do obliczeń pokazuje co się stanie, jeśli stopa procentowa wzrośnie z 8% do 11%. Wysokość płatności odsetkowych wykazanych w pierwszej kolumnie, obliczone dla 8% stopy procentowej, nie ulegają zmianie. Jednak dzisiejsza wartość tych płatności, zdyskontowana teraz wyższą stopą procentową, jest niższa. Mimo że przyszłe płatności w dolarach, które są wypłacane z tytułu odsetek od obligacji, nie uległy zmianie, to osoba, która chce sprzedać obligację, stwierdzi, że wartość jej inwestycji spadła. I ponownie – obliczenia dokonywane w prawdziwym świecie są często bardziej złożone, m.in. dlatego, że zmienia się rynkowa stopa procentowa, ale i ryzyko związane z tym, czy pożyczkobiorca w ogóle spłaci pożyczkę. W każdym razie, cena obligacji jest zawsze dzisiejszą wartością strumienia przyszłych oczekiwanych płatności. Inne zastosowania Wartość zaktualizowana jest szeroko stosowanym narzędziem analitycznym poza światem finansów. Za każdym razem, gdy przedsiębiorstwo zastanawia się nad dokonaniem inwestycji w kapitał rzeczowy, musi porównać obecne koszty dokonania tej inwestycji z obecną zdyskontowaną wartością przyszłych korzyści z tej inwestycji. Gdy rząd rozważa instalację urządzeń zwiększających bezpieczeństwo na autostradzie, musi porównać koszty ponoszone w chwili obecnej z korzyściami uzyskanymi w przyszłości. Niektóre akademickie spory dotyczące polityki środowiskowej, np. o to, jak bardzo zmniejszyć emisje dwutlenku węgla ze względu na ryzyko, że mogą one doprowadzić do globalnego ocieplenia w przyszłości, wynikają z tego, w jaki sposób porównuje się obecne koszty kontroli zanieczyszczeń z korzyściami możliwymi do uzyskania w dłuższej perspektywie. Ktoś, kto wygra na loterii prawo do otrzymania ciągu płatności w czasie kolejnych 30 lat, może być zainteresowany poznaniem jego dzisiejszej wartości. Zawsze, gdy ciąg kosztów i korzyści rozciąga się od teraźniejszości do różnych momentów w przyszłości, wartość dzisiejsza staje się nieodzownym narzędziem analizy.", "section": "Wartość zaktualizowana", "book": "Mikroekonomia – Podstawy", "subject": "Social Sciences", "source": "https://openstax.org/details/books/mikroekonomia-podstawy"}
{"text": "Przedmowa Podręcznik Psychologia powstał po to, by bezpłatnie udostępnić studentom materiały dydaktyczne spełniające najwyższe standardy akademickie. Jest adaptacją podręcznika Psychology 2e stworzonego przez OpenStax, fundację non-profit działającą przy Rice University w Stanach Zjednoczonych. Został wydany w 2020 roku przez OpenStax Poland, fundację non-profit z siedzibą w Warszawie. Przedmowa do wydania polskiego Wierzymy, że przyszłość edukacji to swobodny i wygodny dostęp do najlepszych treści, równy dla wszystkich. Fundacja OpenStax Poland wspólnie z fundacją OpenStax realizują tę misję, tworząc wysokiej jakości podręczniki i udostępniając je studentom i wykładowcom. W ramach projektu opublikowano już trzytomowy podręcznik Fizyka dla szkół wyższych (2018) w języku polskim. Psychologia to polska adaptacja Psychology 2e, podręcznika wydanego wiosną 2020 roku. To jeden z najbardziej aktualnych podręczników psychologii na polskim rynku. Publikacja przygotowana została przez OpenStax Poland we współpracy z wykładowcami z Uniwersytetu Warszawskiego, Uniwersytetu Jagiellońskiego, Uniwersytetu Śląskiego w Katowicach oraz SWPS Uniwersytetu Humanistycznospołecznego i jest odpowiedzią na rosnące zapotrzebowanie na treści mające wysokie walory dydaktyczne, a zarazem atrakcyjne dla współczesnych studentów. Podręcznik został wydany na otwartej licencji Creative Commons Uznanie autorstwa 4.0 Międzynarodowe (CC-BY 4.0) . Gwarantuje ona całkowicie bezpłatne użytkowanie i niemal nieograniczone możliwości korzystania z publikacji: wolny dostęp, swobodne przekazywanie pliku PDF oraz legalne modyfikowanie kopii – zarówno tekstu, jak i ilustracji. Jeśli więc zamierzacie Państwo wykorzystać fragmenty publikacji np. do przygotowania własnych materiałów dydaktycznych, nie ma ku temu żadnych przeszkód prawnych ani technicznych, jedynym warunkiem jest powołanie się na źródło: „Psychologia”, OpenStax Poland, 2020, www.openstax.org. Podręcznik jest dostępny w wersji cyfrowej (online oraz w pliku PDF) na stronie OpenStax.org. Podziękowania W pracę nad podręcznikiem zaangażowanych było 12 pracowników naukowych z Uniwersytetu Warszawskiego, Uniwersytetu Jagiellońskiego, Uniwersytetu Śląskiego w Katowicach oraz SWPS Uniwersytet Humanistycznospołeczny. Składamy serdeczne podziękowania wszystkim, którzy brali udział w tworzeniu tego otwartego podręcznika. W szczególności chcielibyśmy wyróżnić w tym gronie Państwa, którzy okazali nam szczególną pomoc. Są to: dr hab. Joanna Czarnota-Bojarska, Uniwersytet Warszawski, prof. dr hab. Ewa Wojtyna, Uniwersytet Śląski w Katowicach, dr hab. Aleksandra Gruszka-Gosiewska, Uniwersytet Jagielloński, prof. dr hab. Michał Wierzchoń, Uniwersytet Jagielloński. Adaptacja podręcznika została sfinansowana z grantu przekazanego przez The Brian D. Patterson USA-International Foundation. Serdecznie dziękujemy. O podręczniku i jego modyfikacjach względem Psychology 2e Psychologia , podobnie jak podręcznik Psychology 2e , na którym się opiera, przeznaczona jest do zajęć z psychologii ogólnej, trwających 1 semestr. Treść dopasowano pod względem zakresu i kolejności do praktyki dydaktycznej większości uczelni prowadzących takie zajęcia. Niniejsza publikacja pomoże studentom poznać kluczowe pojęcia z dziedziny psychologii. Publikacja została dostosowana do standardów nauczania przedmiotu na polskich uczelniach. Polskie wydanie wzbogacono o obszerne modyfikacje w rozdziałach „Emocje i motywacje” oraz „Osobowość”. Uwzględniono w nich m.in. nieco odmienne podejście do dydaktyki tematu oraz dokonania uznanych polskich psychologów. Rozdziały „Badania”, „Psychologia społeczna” oraz „Terapie i leczenie” zawierają obszerne uzupełnienia odnoszące się do polskich realiów. Rozdział „Psychologia pracy i organizacji” został stworzony w całości od nowa, jego autorką jest dr hab. Joanna Czarnota-Bojarska. Zakres materiału Zakres wiedzy prezentowanej w podręczniku Psychologia został dopasowany do typowych zajęć akademickich z psychologii ogólnej prowadzonych przez 1 semestr. Staraliśmy się zaprezentować psychologię jako dziedzinę ciekawą, przystępną i poruszającą aktualne problemy. Wstęp do psychologii Prowadzenie badań Biopsychologia Stany świadomości Wrażenia zmysłowe i spostrzeganie Uczenie się Myślenie i inteligencja Pamięć Psychologia rozwojowa Emocje i motywacje Osobowość Psychologia społeczna Psychologia pracy i organizacji Stres Zaburzenia psychiczne Terapia i leczenie Funkcje dydaktyczne Struktura podręcznika jest uporządkowana, każdy rozdział zawiera dodatkowe informacje przedstawione w ramkach: Sięgnij po więcej przedstawia czytelnikowi dodatkowe źródła wiedzy, zwykle w postaci klipów wideo. Poznaj szczegóły to informacje pogłębiające temat, często są to dyskusje, przykłady albo opisy badań naukowych. Co o tym sądzisz jest miejscem, w którym poruszane są tematy mogące wywoływać kontrowersję i mające zachęcać czytelnika do krytycznego myślenia. Połącz wątki zawiera wiadomości wykorzystywane w innych obszarach wiedzy poruszonych w tej publikacji albo odwołujące się do wiedzy ogólnej czytelnika. Zasoby dla studentów i wykładowców Na stronie OpenStax.org można znaleźć materiały dodatkowe w języku angielskim, przeznaczone zarówno dla studentów, jak i wykładowców — między innymi przewodniki użytkownika, slajdy, a także arkusze odpowiedzi i rozwiązań dla prowadzących zajęcia i studentów. Aby uzyskać dostęp do materiałów dla wykładowców, należy posiadać zweryfikowane konto instruktorskie, o które można poprosić przy logowaniu na OpenStax.org. Zasoby te są ściśle dopasowane do podręcznika. Twórcy Psychologii wydanej przez OpenStax Poland Autor dr hab. Joanna Czarnota-Bojarska – autorka rozdziału „Psychologia pracy i organizacji” w niniejszej publikacji. Wykładowca na Wydziale Psychologii Uniwersytetu Warszawskiego, specjalizuje się w tematyce związanej z psychologią organizacji, autorka wielu publikacji naukowych Redaktorzy i autorzy uzupełnień treści prof. dr hab. Ewa Czerniawska – wykładowca i pracownik naukowy na Wydziale Psychologii Uniwersytecie Warszawskim, specjalizuje się w psychologii uczenia się i pamięci, autorka 9 książek i licznych artykułów naukowych dr Agata Kudlik - psycholog, certyfikowany psychoterapeuta poznawczo–behawioralny, terapeuta schematu, wykładowca akademicki, doktor nauk społecznych w dziedzinie psychologii dr Dorota Karwowska – wykładowca i pracownik naukowy na Wydziale Psychologii Uniwersytetu Warszawskiego dr Agnieszka Małkowska-Szkutnik – pedagog, psycholog, wykładowca i pracownik naukowy Wydziału Pedagogicznego Uniwersytetu Warszawskiego, członek polskiego zespołu Health Behaviour In School-Aged Children a WHO Collaborative Study Recenzenci dr hab. Joanna Czarnota-Bojarska, Uniwersytet Warszawski prof. dr hab. Michał Wierzchoń, Uniwersytet Jagielloński prof. dr Ewa Wojtyna, Uniwersytet Śląski dr hab. Aleksandra Gruszka-Gosiewska, Uniwersytet Jagielloński dr hab. Henryk Majczyński, Instytut Biologii Doświadczalnej im. M. Nenckiego PAN dr Krzysztof T. Piotrowski, Uniwersytet Jagielloński dr Zuzanna Toeplitz, Uniwersytet Warszawski dr Marta Roczniewska, SWPS Uniwersytet Humanistycznospołeczny Konsultacja Paweł Szczuciński – lekarz ze specjalizacją w dziedzinie psychiatrii i pediatrii, konsultacja fragmentu dotyczącego informacji o lekach w rozdziale Terapie i leczenie Korekta językowa Anna Grabarczyk, Monika Hryniewicka, Marcin Kuźma, Elżbieta Nowacka-Kuźma, Katarzyna Siedlecka Tłumacze Anna Czechowska, Nika Fronc-Iniewicz, Magdalena Kroenke, Monika Olasek, Magdalena Skrzypek, Magdalena Szwedowska, Małgorzata Załoga Redakcja techniczna Patryk Bojarski Ilustracje Marta Sztuka Wsparcie redakcji Marta Sztuka, Dorota Rokowska Zgłaszanie błędów Wszystkie podręczniki OpenStax przechodzą rygorystyczny proces recenzji. Mimo to niektóre błędy mogły zostać przeoczone, co zdarza się w każdej profesjonalnej publikacji. Nasze książki są cyfrowe, dlatego możemy uaktualniać je, ilekroć zachodzi taka potrzeba. By zaproponować poprawkę, prosimy skorzystać z odnośnika na stronie podręcznika na OpenStax.org. Zgłoszone poprawki są oceniane przez ekspertów. Format Niniejsza publikacja jest dostępna za darmo na stronie internetowej OpenStax.org oraz w pliku PDF dostępnym do pobrania z tejże strony. Podręcznik zostanie również wydrukowany w niewielkim nakładzie i będzie można go znaleźć w bibliotekach uczelni partnerskich. O projekcie OpenStax OpenStax to fundacja charytatywna z siedzibą w Rice University w Stanach Zjednoczonych. Misją fundacji jest ułatwianie studentom dostępu do edukacji. Pierwszy otwarty podręcznik fundacja wydała w 2012 roku. Od tamtej pory jej oferta podręczników rozrosła się do ponad 40 pozycji w języku angielskim. Korzystają z nich setki tysięcy studentów na całym świecie. OpenStax realizuje swoją misję dzięki hojności innych organizacji charytatywnych. Darowizny oraz usługi i zasoby otrzymywane na preferencyjnych warunkach od innych partnerów pozwalają nam pokonywać najczęściej występujące bariery utrudniające osiągnięcie sukcesu zarówno studentom jak i wykładowcom. Autorzy Psychologii 2e Główni autorzy Dr Rose Spielman – autor wiodący Psychology 2e, wykładowca i certyfikowana terapeutka z 20-letnim doświadczeniem. Pracowała na Quinnipiac University, Housatonic Community College oraz w Goodwin College William J. Jenkins, Mercer University Marilyn D. Lovett, Spelman College Współautorzy Mara Aruguete, Lincoln University Laura Bryant, Eastern Gateway Community College Barbara Chappell, Walden University Kathryn Dumper, Bainbridge State College Arlene Lacombe, Saint Joseph’s University Julie Lazzara, Paradise Valley Community College Tammy McClain, West Liberty University Barbara B. Oswald, Miami University Marion Perlmutter, University of Michigan Mark D. Thomas, Albany State University Recenzenci Patricia G. Adams, Pitt Community College Daniel Bellack, Trident Technical College Christopher M. Bloom, Providence College Jerimy Blowers, Cayuga Community College Salena Brody, Collin College David A. Caicedo, Borough of Manhattan Community College, CUNY Bettina Casad, University of Missouri–St. Louis Sharon Chacon, Northeast Wisconsin Technical College James Corpening Frank Eyetsemitan, Roger Williams University Tamara Ferguson, Utah State University Kathleen Flannery, Saint Anselm College Johnathan Forbey, Ball State University Laura Gaudet, Chadron State College William Goggin, University of Southern Mississippi Jeffery K. Gray, Charleston Southern University Heather Griffiths, Fayetteville State University Mark Holder, University of British Columbia Rita Houge, Des Moines Area Community College Colette Jacquot, Strayer University John Johanson, Winona State University Andrew Johnson, Park University Shaila Khan, Tougaloo College Cynthia Kreutzer, Georgia State University Perimeter College at Clarkston Campus Carol Laman, Houston Community College Dana C. Leighton, Texas A&M University—Texarkana Thomas Malloy, Rhode Island College Jan Mendoza, Golden West College Christopher Miller, University of Minnesota Lisa Moeller, Beckfield College Amy T. Nusbaum, Heritage University Jody Resko, Queensborough Community College (CUNY) Hugh Riley, Baylor University Juan Salinas, University of Texas at Austin Brittney Schrick, Southern Arkansas University Phoebe Scotland, College of the Rockies Christine Selby, Husson University Sally B. Seraphin, Centre College Brian Sexton, Kean University Nancy Simpson, Trident Technical College Jason M. Smith, Federal Bureau of Prisons – FCC Hazelton Robert Stennett, University of Georgia Jennifer Stevenson, Ursinus College Eric Weiser, Curry College Jay L. Wenger, Harrisburg Area Community College Alan Whitehead, Southern Virginia University Valjean Whitlow, American Public University Rachel Wu, University of California, Riverside Alexandra Zelin, University of Tennessee at Chattanooga", "section": "Przedmowa", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Psychologia jest dyscypliną naukową zajmującą się ludzkim umysłem i zachowaniem. (Źródło: „tło” modyfikacja pracy Nattachai Noogure'a; źródło „lewa góra”: modyfikacja pracy Marynarki Wojennej USA: „góra środek lewe” modyfikacja pracy Petera Shanksa; źródło „góra środek prawe”: modyfikacja pracy „devinf”/Flickr; źródło „prawa góra”: modyfikacja pracy Quintero Sinisterra; źródło „dół lewy”: modyfikacja pracy Gabriela Rocha; źródło „dół środek lewy”: modyfikacja pracy Caleba Roenigka; źródło „dolne, środek po prawej” modyfikacja pracy Staffan Scherz; źródło: „prawy dół”: modyfikacja pracy Czech Provincial Reconstruction Team). Clive Wearing (ur. 1938), uznany muzyk, utracił umiejętność tworzenia nowych wspomnień w wyniku choroby, na którą zapadł w wieku 46 lat. O ile mężczyzna nadal potrafi bezbłędnie grać na pianinie, to nie jest w stanie zapamiętać, co jadł na śniadanie zaledwie kilka godzin wcześniej (Sacks, 2007). James Wannerton przeżywa doznania zmysłowe powiązane z dźwiękiem słów. Imię jego byłej dziewczyny smakuje według niego jak rabarbar (Mundasad, 2013). John Nash (1928-2015) to wybitny matematyk i laureat nagrody Nobla. Mimo piastowania funkcji profesora na Massachusetts Institute of Technology (MIT) zwykł opowiadać innym, że w artykułach publikowanych w „ New York Times ” zakodowane są wiadomości od istot pozaziemskich skierowane do niego. Naukowiec zaczął również słyszeć głosy i stał się podejrzliwy wobec otaczających go ludzi. Wkrótce po tym u Nasha zdiagnozowano schizofrenię i został on przyjęty do państwowego szpitala psychiatrycznego (O’Connor i Robertson, 2002). Nash był bohaterem filmu z 2001 roku pt. Piękny umysł. Dlaczego te wszystkie osoby miały takie doświadczenia? Jak działa ludzki mózg? Jakie powiązania istnieją między wewnętrznymi procesami zachodzącymi w mózgu a zachowaniami danej osoby? 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Careers in clinical, counseling, or school psychology; mental health counseling; clinical social work; marriage & family therapy and related professions . Pobrane z: http://www.indiana.edu/~psyugrad/advising/docs/Careers%20in%20Mental%20Health%20Counseling.pdf. Ignaszak, M. (2016). Jak zostać psychologiem klinicznym? Pobrane z: http://pytaniaiodpowiedzi.pl/jak-zostac-psychologiem-klinicznym/. Jang, K. L., Livesly, W. J., Vernon, P. A. (1996). Heritability of the Big Five personality dimensions and their facets: A twin study. Journal of Personality , 64 , 577–591. Knekt, P. P., Lindfors, O., Härkänen, T., Välikoski, M., Virtala, E., Laaksonen, M. A., Marttunen, M., Kaipainen, M., Renlund, C.; Helsinki Psychotherapy Study Group. (2008). Randomized trial on the effectiveness of long- and short-term psychodynamic psychotherapy and solution-focused therapy on psychiatric symptoms during a 3-year follow-up. Psychological Medicine: A Journal of Research In Psychiatry And The Allied Sciences , 38 , 689–703. Landers, R. N. (2011, June 14). Grad school: Should I get a PhD or Master’s in I/O psychology? [Web log post]. Pobrane z: http://neoacademic.com/2011/06/14/grad-school-should-i-get-a-ph-d-or-masters-in-io-psychology/#.UuKKLftOnGg. Macdonald, C. (2013). Health psychology center presents: What is health psychology? Pobrane z: http://healthpsychology.org/what-is-health-psychology/. McCrae, R. R., Costa, P. T. (2008). Empirical and theoretical status of the five-factor model of personality traits. W: G. J. Boyle, G. Matthews, D. H. Saklofske (red.). The Sage handbook of personality theory and assessment. Vol. 1 . Personality theories and models . London: Sage. Michalski, D., Kohout, J., Wicherski, M., Hart, B. (2011). 2009 Doctorate Employment Survey . APA Center for Workforce Studies. Pobrane z: http://www.apa.org/workforce/publications/09-doc-empl/index.aspx. Miller, G. A. (2003). The cognitive revolution: A historical perspective. Trends in Cognitive Sciences , 7 , 141–144. Ministerstwo Nauki i Szkolnictwa Wyższego, Biuletyn Informacji Publicznej (2019). Pobrane z: http://www.bip.nauka.gov.pl/komunikaty-rzecznika-prasowego-mnisw/znamy-ranking-najpopularniejszych-kierunkow-studiow-w-roku-akademickim-2018-2019.html. Munakata, Y., McClelland, J. L., Johnson, M. H., Siegler, R. S. (1997). Rethinking infant knowledge: Toward an adaptive process account of successes and failures in object permanence tasks. Psychological Review , 104 , 689–713. Mundasad, S. (2013). Word-taste synaesthesia: Tasting names, places, and Anne Boleyn . Pobrane z: http://www.bbc.co.uk/news/health-21060207 Munsey, C. (2009). More states forgo a postdoc requirement. Monitor on Psychology , 40 , 10. Najpopularniejsze kierunki studiów 2019.Rzeczpospolita, Pobrane z: https://www.rp.pl/Edukacja-i-wychowanie/307129976-Najpopularniejsze-kierunki-studiow-2019.html. National Association of School Psychologists. (n.d.). Becoming a nationally certified school psychologist (NCSP). Pobrane z: http://www.nasponline.org/CERTIFICATION/becomeNCSP.aspx. Nicolas, S., & Ferrand, L. (1999). Wundt’s laboratory at Leipzig in 1891. History of Psychology , 2 , 194–203. Norcross, J. C. (n.d.) Clinical versus counseling psychology: What’s the diff? Pobrane z: http://www.csun.edu/~hcpsy002/Clinical%20Versus%20Counseling%20Psychology.pdf. Norcross, J. C., Castle, P. H. (2002). Appreciating the PsyD: The facts. Eye on Psi Chi , 7 , 22–26. O'Connor, J. J., Robertson, E. F. (2002) John Forbes Nash. Press. O’Hara, M. (n.d.). Historic review of humanistic psychology. Pobrane z: http://www.ahpweb.org/index.php?option=com_k2&view=item&layout=item&id=14&Itemid=24. Person, E. S. (1980). Sexuality as the mainstay of identity: Psychoanalytic perspectives. Signs , 5 , 605–630. Rantanen, J., Metsäpelto, R. L., Feldt, T., Pulkkinen, L., Kokko, K. (2007). Long-term stability in the Big Five personality traits in adulthood. Scandinavian Journal of Psychology , 48 , 511–518. Riggio, R. E. (2013). What is industrial/organizational psychology? Psychology Today. Pobrane z: http://www.psychologytoday.com/blog/cutting-edge-leadership/201303/what-is-industrialorganizational-psychology. Sacks, O. (2007). A neurologists notebook: The abyss, music and amnesia. The New Yorker. Pobrane z: http://www.newyorker.com/reporting/2007/09/24/070924fa_fact_sacks?currentPage=all. Schnyder, U., Bryant, R. A., Ehlers, A., Foa, E. B., Hasan, A., Mwiti, G., Kristensen, Ch. H., Neuner, F., Oe, M., Yule, W. (2016). Culture-sensitive psychotraumatology. European Journal of Psychotraumatology, 7, doi: 10.3402/ejpt.v7.31179. Shedler, J. (2010). The efficacy of psychodynamic psychotherapy. American Psychologist , 65 (2), 98–109. Soldz, S., Vaillant, G. E. (1999). The Big Five personality traits and the life course: A 45-year longitudinal study. 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Vogels, S. R. (2014). The Milgram experiment: Its impact and interpretation. Social Cosmos , 5(1) , 15 - 21. Volkmann-Raue, S, Luck, H. E. (2014). Najwybitniejsze kobiety w psychologii XX wieku. Gdańsk: GWP Gdańskie Wydawnictwo Psychologiczne.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Czym jest psychologia Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować i opisać, czym jest psychologia Zrozumieć zalety edukacji w zakresie psychologii Skąd się bierze kreatywność? Dlaczego niektórzy zostają dotknięci bezdomnością? Czym są uprzedzenia i dyskryminacja? Co to jest świadomość? Psycholodzy zajmują się poszukiwaniem odpowiedzi na tego typu pytania, prowadząc badania naukowe nad umysłowością i zachowaniami. Pierwszym krokiem metody naukowej jest postawienie hipotezy będącej próbą wyjaśnienia badanego zagadnienia. Hipoteza powinna wpisywać się w teorię naukową, która jest aktualnym i zweryfikowanym licznymi badaniami zbiorem ustaleń dotyczących określonego obszaru wiedzy. Badacz następnie przeprowadza obserwację lub eksperyment, mające sprawdzić trafność hipotezy. Wynik i analiza badań są publikowane lub prezentowane podczas konferencji naukowej po to, by inni badacze mogli, po pierwsze: zreplikować wyniki otrzymane przez badacza (i tym samym sprawdzić poprawność procesu badawczego), a po drugie: by mogli wykorzystać je w swoich badaniach. Naukowcy badają to, co jest mierzalne. Na przykład hipoteza, że ptak śpiewa, ponieważ jest szczęśliwy, nie może być sprawdzona w sposób naukowy, ponieważ nie potrafimy zmierzyć poziomu szczęścia ptaka. Należy wówczas zadać inne pytanie, na przykład o aktywność określonego obszaru mózgu ptaka, ponieważ ją potrafimy zmierzyć dostępnymi metodami. Jeśli tę samą hipotezę zastosujemy do ludzi („śpiewają, gdy czują się szczęśliwi”), będzie ona dobrym punktem wyjścia do badania naukowego, ponieważ możemy o poczuciu szczęścia porozmawiać z badaną jednostką. Metody naukowe pozwalają zbadać wyłącznie zjawiska mierzalne, nie ma zaś możliwości zdobycia wiedzy na temat wartości czy moralności. To jeden z powodów, dla których naukowe rozumienie umysłu podlega ograniczeniom – wszak myśli, czy też sposobu ich przeżywania, nie da się bezpośrednio „złapać” ani zmierzyć. Metoda naukowa opiera się na metodzie empirycznej. Metoda empiryczna (ang. empirical method ) polega na obserwacji i prowadzeniu eksperymentów; w odróżnieniu od metod opartych wyłącznie na formach argumentacji logicznej lub teorii ukutych przez wcześniejszych badaczy (obecnych np. w takich naukach jak logika, matematyka etc.). Psychologia została uznana za niezależną dziedzinę nauki pod koniec XIX wieku. Wcześniej zagadnienia dotyczące funkcjonowania umysłu były domeną filozofii. W związku z tym, że u źródeł każdego zachowania leży uwarunkowanie biologiczne, określone obszary psychologii zalicza się do nauk przyrodniczych, takich jak biologia. Żaden organizm biologiczny nie funkcjonuje samodzielnie, w izolacji od otoczenia, a na nasze zachowanie wpływ mają interakcje z innymi. Dlatego też psychologię zalicza się również do nauk społecznych. Dlaczego warto uczyć się psychologii? Niekiedy studenci po raz pierwszy wybierają zajęcia z psychologii, bo są zainteresowani pomocą innym i chcą dowiedzieć się więcej o sobie samych - dlaczego zachowują się w określony sposób. Inni studenci decydują się na takie zajęcia, bo są zobowiązani do zaliczenia puli zajęć ogólnouniwersyteckich. Wiele osób psychologia tak wciąga, że ostatecznie wybierają ją jako główny przedmiot swoich studiów. Studia psychologiczne od wielu lat cieszą się w Polsce niesłabnącą popularnością. W 2019 roku o przyjęcie na studia z psychologii na Uniwersytecie Warszawskim ubiegało się 2,4 tys. kandydatów, o jedno miejsce rywalizowało 15 osób. Dla porównania, na Uniwersytecie Jagiellońskim było 1799 kandydatów (osiem osób na miejsce), na Uniwersytecie Łódzkim 1100 (11 osób na miejsce), na Uniwersytecie Adama Mickiewicza w Poznaniu 1705 osób (11 osób na miejsce) („Rzeczpospolita”, 2019). Zgodnie z danymi Ministerstwa Nauki i Szkolnictwa Wyższego (2019) psychologia uplasowała się na trzecim miejscu jako najchętniej wybierany kierunek (po informatyce i zarządzaniu). Wykształcenie psychologiczne przydaje się w wielu obszarach. Studenci psychologii zdobywają umiejętność krytycznego myślenia i praktycznego stosowania metod naukowych. Myślenie krytyczne to umiejętność zdystansowanego podejścia i wykorzystania wiedzy naukowej w analizie informacji. Ocena wartości informacji – jej wiarygodności i przydatności – to niezwykle ważna umiejętność we współczesnym świecie obfitującym w mnogość (jeśli nie nadmiar) danych. Część tych informacji jest niedopowiedziana albo celowo przeinaczona (tzw. fake news ) dla wywołania określonego efektu u odbiorcy (np. niepewności) i uzyskania określonych celów (politycznych, marketingowych etc.). Umiejętność myślenia krytycznego pozwala spojrzeć na dane zagadnienie sceptycznie, rozpoznać sprzeczności poprzez wykorzystanie logiki, zadawanie odpowiednich pytań i obserwację. Dzięki nauce psychologii studenci są w stanie zrozumieć złożone czynniki wpływające na nasze zachowanie. Są oni w stanie rozróżnić wpływ genów, środowiska i doświadczenia na zachowanie człowieka. Tym samym mogą sprawdzić się jako przyszli specjaliści w wielu dziedzinach: marketingu, pomocy psychologicznej, pracy wychowawczej, resocjalizacyjnej itd. Obejrzyj krótkie wideo na temat pytań do rozważenia przed wyborem studiów psychologicznych. Podsumowanie Termin „psychologia” wywodzi się z wyrazów psyche (oznaczającego duszę) i logo s (oznaczającego naukę o danej dziedzinie). W związku z tym psychologię definiuje się jako naukę o umyśle i zachowaniach. Studenci psychologii uczą się myślenia krytycznego, poznają działanie i zastosowanie w praktyce metod naukowych oraz są w stanie zauważyć różnorodność ludzkich zachowań i ich przyczyny. Review Questions Którą z poniższych umiejętności studenci psychologii mogą pozyskać w trakcie studiów? myślenie krytyczne stosowanie metod naukowych krytyczna ocena źródeł informacji wszystkie z powyższych D Psyche jest greckim słowem, które oznacza ________. istotę duszę zachowanie miłość B Zanim psychologię uznano za dyscyplinę naukową, tematyką umysłu zajmowała się ________. biologia chemia filozofia fizyka C W metodzie naukowej hipoteza to ________. obserwacja pomiar test proponowane wyjaśnienie D Critical Thinking Questions Dlaczego twoim zdaniem zajęcia z psychologii są obowiązkowe na tak wielu różnych kierunkach uniwersyteckich? Zajęcia z psychologii poruszają szereg tematów, które mogą być przydatne w wielu różnych dziedzinach. W tekście powyżej wspomniano o wiedzy i umiejętnościach, które poznają studenci psychologii. Znajomość psychologii bywa pomocna w sytuacjach intensywnych interakcji między ludźmi. Dlaczego część osób może mieć sceptyczny stosunek do tego, czy psychologia jest dziedziną nauki? Jednym z celów psychologii jest nauka o ludzkim umyśle. Ponieważ psychologia nie dysponuje bezpośrednimi sposobami obserwacji przejawów ludzkiej psychiki (np. myśli, uczuć, przekonań), część osób kwestionuje jej charakter jako metody empirycznej. Personal Application Question Co w twoim przypadku zdecydowało o rozpoczęciu nauki psychologii? Czego chcesz się dowiedzieć? metoda empiryczna (ang. empirical method ) metoda zdobywania wiedzy w oparciu o obserwację lub eksperyment, w odróżnieniu od metody opierającej się wyłącznie na założeniach teoretycznych psychologia (ang. psychology ) dziedzina nauki zajmująca się umysłem i zachowaniem", "section": "Czym jest psychologia", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Historia psychologii Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć znaczenie Wundta i Jamesa w rozwoju psychologii Docenić wpływ Freuda na psychologię Zrozumieć podstawowe założenia psychologii Gestalt Docenić ważną rolę, jaką behawioryzm odegrał w historii psychologii Zrozumieć podstawowych założeń humanizmu Zrozumieć, w jaki sposób rewolucja poznawcza przeniosła uwagę psychologii z powrotem na umysł Psychologia to stosunkowo młoda dziedzina nauki, której eksperymentalne korzenie sięgają XIX wieku. Jak już wspomniano, każdy, kto był zainteresowany zgłębianiem tematów związanych z umysłem przed XIX wiekiem, czynił to w obszarze filozofii. Za ojców psychologii jako odrębnej dziedziny naukowej i dyscypliny akademickiej wyodrębnionej z filozofii uznaje się Wilhelma Maximiliana Wundta (1832-1920) i Williama Jamesa (1842-1910). W tym rozdziale prezentujemy przegląd paradygmatów, które wywarły wpływ na psychologię od czasów Wundta i Jamesa po dzień dzisiejszy. Wundt i strukturalizm Wilhelm Wundt to niemiecki naukowiec, którego jako pierwszego człowieka w historii nazwano psychologiem. W 1873 roku opublikował swoją słynną książkę pt. Zasady psychologii fizycznej , a w 1879 roku założył na Uniwersytecie w Lipsku pionierskie laboratorium psychologiczne . Wundt postrzegał psychologię jako dziedzinę nauki przyrodniczej zajmującą się badaniem świadomego doświadczenia i uważał, że celem psychologii było rozpoznanie składników świadomości oraz zbadanie sposobu, w jaki składniki te łączą się, by stać się świadomie przeżywanym przez daną osobę doświadczeniem. Wundt stosował metodę introspekcji (samoobserwacji) (ang. introspection ) (nazywając ją „wewnętrzną percepcją”), czyli procesu, w którym dana osoba relacjonuje swoje własne doświadczenia w sposób najbardziej obiektywny z możliwych, traktując ludzki umysł tak, jak traktuje się każdy inny aspekt natury podlegający naukowej obserwacji. Wundt starał się uczynić z introspekcji (z natury subiektywnej) metodę naukową, tj. używał bodźców powtarzalnych (w założeniu miały wywoływać za każdym razem takie samo doświadczenie u osoby badanej), a uczestnikami jego badań były osoby wyszkolone w obserwacji własnych przeżyć wewnętrznych. Wundt mierzył m.in. czas reakcji badanych (Danzinger, 1980) – dziś nazwalibyśmy to zbieraniem obserwowalnych danych. Ponadto był orędownikiem poglądu, że osoby badane powinny mieć prawo do świadomego udziału w badaniu (Danzinger, 1980) – tzn. znać jego założenia i przebieg. Jest to warunek etyczny prowadzenia badań naukowych, obowiązujący również współcześnie. Postulował także, że badania psychologiczne (zrozumienie natury ludzkiej) powinny ujmować kontekst kulturowy i tradycje, w jakich wychowywał się i wzrastał dany człowiek. Ukoronowaniem tych poglądów, tożsamych z podejściem współczesnej psychologii kulturowej, było 10-tomowe dzieło Völkerpsychologie. Eine Untersuchung der Entwicklungsgesetze von Sprache, Mythos und Sitte (Psychologia ludów. Badanie praw rozwoju języka, mitów i obyczajów , 1900 do 1920). Wundt, a potem jego uczeń, Edward Titchener (1867-1927), rozwinęli swoje poglądy na psychikę w duchu strukturalizmu (ang. structuralism ) – stanowiska metodologicznego zakładającego, że do zrozumienia zjawisk potrzebne jest uchwycenie struktury, w której one występują, lub budowa takiego modelu, który wyjaśnia ich rolę w ich środowisku. Co ważne, zarówno Wundt, jak i Titchener koncentrowali się raczej na składowych procesów umysłowych niż na ich funkcji. Strukturalizm wyróżniał trzy podstawowe elementy procesów psychicznych pojawiające się w świadomości człowieka: wrażenia (zmysłowe reakcje na bodźce docierające do organizmu), wyobrażenia (obrazy tworzone w umysłach), afekty (uczucia towarzyszące wrażeniom lub wyobrażeniom). W laboratorium na Uniwersytecie w Lipsku Wundt wraz ze studentami ( ) prowadzili doświadczenia dotyczące m.in. czasów reakcji na bodziec. Osoba badana, często umieszczona w innym pomieszczeniu niż badacz, poddawana była działaniu określonego bodźca (światło, obraz lub dźwięk). Reakcję na bodziec badany miał sygnalizować wciśnięciem przycisku, a specjalna aparatura mierzyła czas reakcji. Wundt był w stanie zmierzyć czas reakcji z dokładnością do jednej tysięcznej sekundy (Nicolas i Ferrand, 1999). (a) Wilhelmowi Wundtowi przypisuje się miano jednego z ojców psychologii. Był twórcą pierwszego laboratorium badawczego w dziedzinie psychologii. (b) Na zdjęciu Wundt siedzi w swoim laboratorium w Niemczech w otoczeniu współpracowników. Mimo wysiłków Wundta do wyszkolenia badaczy do stosowania procesu introspekcji, proces ten pozostawał w znacznej mierze działaniem subiektywnym i wielokrotnie dochodziło do różnic zdań między członkami zespołu. James i funkcjonalizm William James (1842-1910) był pierwszym amerykańskim psychologiem, który przyjął inną perspektywę na temat tego, co powinno być przedmiotem zainteresowania psychologii jako nauki ( ). Jamesowi znana była teoria ewolucji i selekcji naturalnej Darwina, którą potraktował jako wyjaśnienie charakterystyki danego organizmu. Kluczem do zrozumienia tej teorii było założenie, że proces selekcji naturalnej prowadzi do przetrwania organizmów, które mają zdolność adaptacji do określonych warunków panujących w ich środowisku (oraz adekwatnego zachowania). Proces adaptacji polega na tym, że dana cecha organizmu spełnia funkcję umożliwiającą mu przetrwanie i rozmnażanie, ponieważ została ona wyłoniona w drodze selekcji naturalnej. Zdaniem Jamesa, celem psychologii było badanie funkcji zachowania w świecie. Tym samym, jego podejście zostało nazwane funkcjonalizmem (ang. functionalism ). Przedmiotem rozważań funkcjonalizmu był sposób, w jaki aktywność umysłowa pomaga organizmowi dostosować się do swojego środowiska. Bardziej zatem skupiał się na roli danego procesu psychicznego niż na jego składowych (w odróżnieniu od Wundta i strukturalizmu). Funkcjonalizm ma też drugie, bardziej subtelne znaczenie: funkcjonalistów bardziej interesowało działanie całego umysłu, a nie jego poszczególnych części. Podobnie jak Wundt, James także uważał, że introspekcja może być metodą, dzięki której da się zbadać aktywność umysłową, jednak James zdecydował się na zastosowanie także bardziej obiektywnych metod badawczych, m.in. wykorzystywał w swoich badaniach urządzenia rejestrujące oraz badania konkretnych wyników aktywności umysłowej, anatomii i fizjologii (Gordon, 1995). Podejście naukowe Jamesa dobrze ilustruje ten cytat: Nie mogę wręcz sobie wyobrazić, cóż pozostałoby z uczucia strachu, gdyby nie owo przyspieszone bicie serca, spłycony oddech, drżenie warg, uczucie nóg jak z waty, gęsiej skórki i skurczu jelit. Czy można nacieszyć się w pełni własną wściekłością, wyzbywszy się uczucia wrzenia w piersiach, krwi uderzającej do głowy, falowania nozdrzy, zgrzytania zębami, przemożnej chęci gwałtownego działania? Czy można jej prawdziwie doznawać ze spokojnymi mięśniami nóg, równym oddechem i kamienną twarzą? „ The principles of psychology ” Zasady Psychologii (James, 1890). Innymi słowy, podobnie jak dzieje się to we współczesnej metodologii badań psychologicznych, James starał się przekładać pojęcia psychologiczne (strach) na obiektywne, obserwowalne i mierzalne dane (reakcje fizjologiczne). Autoportret Williama Jamesa, pierwszego amerykańskiego psychologa. Freud i teoria psychoanalityczna Prawdopodobnie jedną z najbardziej wpływowych, a zarazem znanych postaci w historii psychologii jest Zygmunt Freud (1856–1939) ( ). Freud był austriackim neurologiem zafascynowanym pacjentami cierpiącymi na „histerię” i nerwice. Histerią nazywano dawniej dolegliwości obejmujące szereg objawów, od fizycznych po psychiczne, z których żaden nie był wywołany żadną konkretną chorobą fizyczną (dziś u tych osób zdiagnozowalibyśmy prawdopodobnie zaburzenia psychosomatyczne). Freud ukuł teorię, że wiele problemów jego pacjentów miało swój początek w ich nieświadomości. Zdaniem Freuda nieświadomość była zbiorem uczuć i popędów, z których człowiek nie zdaje sobie sprawy. Pozyskanie dostępu do nieświadomości miało w związku z tym kluczowe znaczenie terapeutyczne dla pacjentów. Freud uważał, że można uzyskać wgląd do nieświadomości przez analizę marzeń sennych, badanie pierwszych skojarzeń przychodzących na myśl człowiekowi w określonych tematach oraz pozornie omyłkowych przejęzyczeń. Teoria psychoanalityczna (ang. psychoanalytic theory ) koncentruje się na roli nieświadomości człowieka, jak również na jego doświadczeniach z dzieciństwa, i to właśnie ta perspektywa zdominowała obszar psychologii klinicznej na kolejnych kilka dekad (Thorne i Henley, 2005). (a) Zygmunt Freud miał duży wpływ na rozwój psychologii. (b) W jednej z wielu książek jego autorstwa, tj. Wstępie do psychoanalizy z 1917 roku, zaprezentował swoje przemyślenia na temat terapii psychoanalitycznej. Idee propagowane przez Freuda miały ogromny wpływ na rozwój psychologii, a temat ten zostanie omówiony szerzej w rozdziałach poświęconych rozwojowi psychologicznemu człowieka, teorii osobowości oraz psychoterapii. Współcześnie właściwie żadna z uznanych szkół psychoterapii nie podważa wpływu doświadczeń z wczesnego dzieciństwa na rozwój psychiki (a w konsekwencji na dalsze funkcjonowanie człowieka), jak również na istnienie pewnych nieuświadomionych struktur psychiki (np. schematów, zasad na życie, skryptów rodzinnych). Jednak nie każda forma psychoterapii zajmuje się analizą i przepracowywaniem dzieciństwa pacjenta. Psychoanaliza, podczas której pacjent opowiada psychoterapeucie o swoich doświadczeniach i o sobie, nie została wymyślona przez Freuda, ale był on popularyzatorem tej metody psychoterapeutycznej. Wiele z pozostałych teorii stworzonych przez Freuda budzi jednak kontrowersje. Zdaniem Drew Westena (1998), profesora psychologii na Uniwersytecie w Michigan, znaczna część krytyki koncentruje się na podważaniu starszych pism Freuda, bez uwzględniania jego późniejszych książek i wypowiedzi. Westen uważa, że krytycy zdają się nie dostrzegać sukcesu, jakim cieszyły się ogólne teorie, które Freud stworzył lub rozwinął. Wymienia tu znaczenie wpływu doświadczeń z dzieciństwa na decyzje podejmowane przez człowieka w życiu dorosłym, roli nieświadomości, która w opozycji do świadomej motywacji kieruje naszym zachowaniem, faktu, że motywacje mogą być ambiwalentne i wywoływać wewnętrzne konflikty mające wpływ na zachowanie, skutki reprezentacji mentalnej nas samych i innych ludzi, jakimi kierujemy się w naszych interakcjach ze światem zewnętrznym, czy rozwoju osobowości człowieka na przestrzeni lat życia. Skuteczność współczesnych wersji Freudowskiego podejścia klinicznego została empirycznie potwierdzona (Knekt et al., 2008; Shedler, 2010). Niektóre bieżące nurty psychoterapii (np. terapia psychoanalityczna, terapia psychodynamiczna) uwzględniają analizę nieświadomych poglądów pacjenta na siebie i na relacje, wykorzystując w tym celu charakterystykę relacji terapeutycznej (tj. relacji pomiędzy pacjentem a psychoterapeutą). Znaczenie historyczne Freuda i jego wpływ na rozwój praktyki klinicznej zasługują na uwzględnienie go w omówieniu rozwoju nurtów w psychologii na przestrzeni dziejów. Wertheimer, Koffka, Köhler, i psychologia Gestalt Max Wertheimer (1880–1943), Kurt Koffka (1886–1941) i Wolfgang Köhler (1887–1967) to trzej niemieccy psychologowie, którzy w latach 20. i na początku 30. XX wieku wyemigrowali z nazistowskich Niemiec do Stanów Zjednoczonych ze względu na coraz częstsze represje. Przypisuje się im zapoznanie psychologów amerykańskich z teorią psychologii Gestalt. Słowo Gestalt tłumaczy się mniej więcej jako „całość”. Nurt psychologiczny Gestalt, przeciwnie niż wcześniej prezentowane, ujmuje psychikę i funkcjonowanie człowieka całościowo. Doświadczenie zmysłowe da się oczywiście rozłożyć na poszczególne części składowe (jak chcieli strukturaliści czy fundamentaliści), ale sposób postrzegania danej sytuacji przez człowieka wynika z działania tych wszystkich składowych w całości, a nie oddzielnie. Na przykład piosenka składa się z pojedynczych nut granych przez różne instrumenty, ale prawdziwy charakter utworu odbierany jest w kontekście powiązań tych nut, czyli melodii, rytmu i harmonii, które łącznie tworzą (Thorne i Henley, 2005). Niestety, wspomniani psychologowie Gestalt byli zmuszeni porzucić znaczną część swoich badań, a po przeprowadzce do Stanów Zjednoczonych nie mieli możliwości kontynuowania ich na szerszą skalę. To właśnie te czynniki, wraz z rozwojem podejścia behawioralnego (które jest omówione jako następne) w Stanach Zjednoczonych, miały wpływ na to, że teoria psychologii Gestalt nie zyskała takiego rozgłosu i uznania w Stanach Zjednoczonych, jakimi cieszyły się w ojczyźnie Wertheimera, Koffki i Köhlera (Thorne i Henley, 2005). Mimo to kilka teorii wywodzących się z psychologii Gestalt nadal ma się dobrze. Dotyczy to m.in. założenia, że jednostka jest pewną całością, a nie sumą indywidualnie wymierzonych części, stało się ono jednym z najważniejszych fundamentów teorii humanizmu wyłonionej pod koniec XX wieku. Idee psychologii Gestalt nadal wywierają wpływ na badania doznań i percepcji. Strukturalizm, Freud i psychologowie nurtu Gestalt zajmowali się w taki czy inny sposób opisywaniem i próbą zrozumienia doświadczeń wewnętrznych człowieka. Jednak inni badacze podważali teorię, że doświadczenie wewnętrzne może stanowić przedmiot pracy badawczej, i skupili się wyłącznie na badaniu zachowania jako realnego i dającego się zaobserwować wyniku procesów mentalnych. Mowa o behawiorystach. Pawłow, Watson, Skinner i behawioryzm Jedne z pierwszych badań behawioralnych zachowań zostały przeprowadzone przez rosyjskiego fizjologa Iwana Pawłowa (1849–1936). Przedmiotem zainteresowań badawczych Pawłowa była fizjologia wydzielania śliny u psów. W trakcie prowadzenia badań zaobserwował, że można sprawić, by psy zaczynały wydzielać ślinę nie tylko w trakcie posiłku, ale także w reakcji na bodziec obojętny, który posiłek poprzedzał (dzwonek, lampkę). Tym samym Pawłow opisał formę uczenia się zachowań zwaną „odruchem bezwarunkowym”, w którym zwierzę lub człowiek prezentował odruchowe (automatyczne i fizjologiczne) reakcje na pewne bodźce, a z czasem uczył się reagować w taki sam sposób na inny bodziec powiązany przez badacza z bodźcem pierwotnym (np. dzwonek poprzedzający jedzenie). Odruch ślinienia się mógł zostać wywołany innym bodźcem (pierwotnie obojętnym), takim jak konkretny dźwięk, który był odtwarzany wielokrotnie w powiązaniu z bezwarunkowym bodźcem w postaci jedzenia. Po nauczeniu się przez zwierzę reakcji ślinienia na drugi bodziec (dźwięk), można było zaniechać wywoływania reakcji przez bodziec bezwarunkowy (jedzenie). Pierwotnie obojętny bodziec (dźwięk) stawał się bodźcem warunkowym, a wywoływana przez niego reakcja (ślinienie) - reakcją warunkową. Idea „warunkowania klasycznego” Pawłowa jest jedną z form uczenia się, którymi zajmują się behawioryści. John Broadus Watson (1878–1958) to amerykański psycholog, którego najbardziej znane osiągnięcia datuje się na początki XX wieku, gdy pracował on na Johns Hopkins University ( ). O ile Wundt i James w swoich badaniach zajmowali się możliwościami zrozumienia świadomego doświadczenia, o tyle Watson uważał, że badanie świadomości z założenia jest obarczone błędem. Obiektywna analiza umysłu była jego zdaniem niemożliwa. Watson twierdził, że psychologia, wbrew swojej nazwie, powinna badać to, co dostępne obserwacji, czyli zachowanie i jego zewnętrzne przyczyny. Psychika była dla Watsona niedostępną „czarną skrzynką”, a radykalni behawioryści odmawiali jej w ogóle znaczenia. Watson postanowił skupić się bezpośrednio na zachowaniach, które można zaobserwować, i opracowaniu sposobów ich kontroli. To podejście polegające na obserwacji i kontroli zachowań nazwano behawioryzmem (ang. behaviourism ). Jednym z głównych obszarów badawczych behawiorystów było wyuczone zachowanie i jego interakcje z wrodzonymi cechami danego organizmu. W doświadczeniach behawioralnych często wykorzystywano zwierzęta, kierując się założeniem, że to, co odkryto w badaniach nad zachowaniem zwierząt, będzie miało w pewnym stopniu odzwierciedlenie w zachowaniach człowieka. Klasycznym już cytatem Watsona jest zdanie pochodzące z jego publikacji: Dajcie mi dziecko spłodzone przez dowolną parę rodziców i dajcie mi pełną kontrolę nad środowiskiem, w jakim będzie ono wzrastać – a sprawię, że wyrośnie na wybitnego uczonego, artystę, politycznego przywódcę, czy też, jeśli tylko będę tego chciał, zostanie pospolitym przestępcą (Watson, 1913, s. 163). Ilustruje ono podstawowe przekonania Watsona nt. kluczowej roli zachowania oraz możliwości jego dowolnego niemal kształtowania. John B. Watson jest uznawany za ojca behawioryzmu. Behawioryzm zdominował psychologię doświadczalną na wiele dekad, a jego wpływ odczuwany jest w tym obszarze do dzisiaj (Thorne i Henley, 2005). To w znacznej mierze behawioryzm doprowadził do uznania psychologii za dziedzinę nauki dzięki zastosowaniu obiektywnych metod, możliwości bezpośredniej obserwacji i zbierania danych oraz, w szczególności, badań doświadczalnych. Ponadto teorie behawioralne są wykorzystywane w nurcie terapii poznawczo-behawioralnej. Modyfikacja zachowań jest często stosowana w środowisku szkolnym oraz w pracy resocjalizacyjnej. Behawioryzm przyczynił się także do rozwoju badań nad wpływem środowiska na zachowanie człowieka. Burrhus Frederic Skinner (1904–1990), amerykański psycholog ( ), również był behawiorystą i koncentrował się na badaniu wpływu, jaki na zachowanie mogą mieć konsekwencje danego działania. Zdaniem B. F. Skinnera, podstawowymi czynnikami wpływającymi na zachowanie są wzmocnienie i kara. Urządzenie na ilustracji poniżej to tzw. klatka Skinnera, czyli pudełko warunkowania sprawczego, które nadal jest używane przez badaczy zajmujących się badaniami nad zachowaniem (Thorne i Henley, 2005). (a) Burrhus Frederic Skinner jest najbardziej znany ze swojej teorii warunkowania sprawczego. (b) Zmodyfikowane wersje pudełka warunkowania sprawczego, czyli klatki Skinnera, są wciąż często stosowane w warunkach doświadczalnych. (Źródło: modyfikacja pracy „Silly rabbit”/Wikimedia Commons). Klatka Skinnera (ang. Skinner box ) to pudełko, w którym zwierzę jest odizolowane od otoczenia i ma do dyspozycji wskaźnik zachowania, np. przycisk lub dźwignię. Gdy zwierzę wciska przycisk lub porusza dźwignią, mechanizm klatki albo pozytywnie wzmacnia to działanie (np. podanie pożywienia), albo wymierza karę (np. dźwiękiem) oraz wytwarza bodziec warunkujący (np. światło), który jest powiązany ze wzmocnieniem lub karą. Badania Skinnera nad pozytywnym i negatywnym wzmacnianiem wyuczonych zachowań miały długotrwały wpływ na psychologię, choć wraz z rozwojem psychologii poznawczej wpływ ten malał. Mimo to uczenie poprzez warunkowanie jest nadal stosowane w terapii modyfikacji zachowań ludzkich. Maslow, Rogers i humanizm Na początku XX wieku amerykańska psychologia zdominowana była przez teorie behawiorystyczne i psychoanalityczne. Grupa psychologów uznawała obydwie te perspektywy za ograniczone, a przy tym nie zgadzała się, żeby miały one dominujący wpływ na całą dziedzinę psychologii. Sprzeciwiali się teorii determinizmu (zgodnie z którą wszystkie działania człowieka są warunkowane nieświadomością) propagowaną przez Freuda. Nie byli też przekonani do redukcjonizmu, czy upraszczania, które z kolei wyznawali behawioryści (psychika ograniczająca się do zachowania), ani do założeń deterministycznych behawioryzmu (ludzkie zachowanie jako powstałe pod wpływem zarówno czynników genetycznych jak i środowiskowych). Niektórzy psychologowie zaczęli formułować własne teorie, w których podkreślali znaczenie osobistej kontroli, intencjonalności oraz ludzkiej predyspozycji do „czynienia dobra” jako szczególnie istotnych dla określenia własnej tożsamości oraz wyboru zachowań. Tak zrodziła się koncepcja humanizmu. Humanizm (ang. humanism ) to perspektywa w psychologii podkreślająca potencjał dobra, który jest cechą wrodzoną człowieka (wizja człowieka jako z natury dobrego). Dwóch najbardziej znanych propagatorów psychologii humanistycznej to Abraham Maslow i Carl Rogers (O’Hara, n.d.). Abraham Maslow (1908–1970) jest najbardziej znany z opracowanej hierarchii potrzeb ludzkich mających wpływ na motywację (wybór zachowań) ( ). Mimo że ta koncepcja będzie przedmiotem bardziej szczegółowych rozważań w jednym z dalszych rozdziałów, zaprezentujemy tu jednak krótkie omówienie tego tematu. Maslow twierdził, że po zaspokojeniu podstawowych potrzeb zapewniających przetrwanie (np. pożywienia, wody, schronienia), motywacjami do działania będą potrzeby znajdujące się wyżej w hierarchii (np. potrzeby społeczne). Zdaniem Maslowa potrzeby na najwyższym poziomie piramidy dotyczą samospełnienia, procesu pozwalającego człowiekowi na zrealizowanie w pełni swojego potencjału. W tym podejściu widać wyraźnie koncentrację na pozytywnych aspektach natury ludzkiej, co jest charakterystyczne dla perspektywy humanistycznej (Thorne i Henley, 2005). Psychologowie humanistyczni odrzucali co do zasady podejście badawcze oparte na doświadczeniach redukcjonistycznych, głęboko zakorzenionych w naukach przyrodniczych i fizycznych, ponieważ ich zdaniem w ten sposób pomijano całość człowieka. Maslow i Rogers jako pierwsi zaczęli przywiązywać wagę do humanistycznych programów badawczych. Program ten zakładał przede wszystkim stosowanie metod jakościowych (w odróżnieniu od ilościowych, tj. opartych na pomiarach). Obecnie psychologia humanistyczna łączy obie metody badawcze, swobodnie sięgając po metody ilościowe, m.in. do badania poziomu szczęścia, samoidentyfikacji, mediacji oraz rezultatów psychoterapii humanistycznej. Piramida Maslowa, czyli teoria hierarchii potrzeb. Carl Rogers (1902–1987) podobnie do Maslowa podkreślał istnienie wrodzonego potencjału dobra u człowieka. ( ). Rogers stosował metodę terapeutyczną znaną jako nurt psychoterapii skoncentrowanej na pacjencie, by pomagać swoim pacjentom w poradzeniu sobie z problemami, z którymi zgłaszali się na psychoterapię. W odróżnieniu od psychoanalizy, w której terapeuta odgrywa istotną rolę w interpretowaniu tego, jak świadome doświadczenia odzwierciedlają to, co dzieje się w nieświadomości pacjenta, w podejściu Rogersa to pacjent przejmuje ster nad sesją. Rogers uważał, że psychoterapeuta powinien posiadać trzy cechy, które zapewnią maksymalizację skuteczności tej metody: bezwarunkowo pozytywny stosunek do pacjenta, autentyczność i empatię. Bezwarunkowo pozytywny stosunek do pacjenta oznacza, że psychoterapeuta w pełni akceptuje pacjenta takim, jaki jest, bez względu na to, co ten mówi. Rogers uważał, że o ile te warunki są spełnione, ludzie są bardziej skłonni do radzenia sobie i przepracowywania swoich problemów (Thorne i Henley, 2005). Carl Rogers opracował metodę psychoterapii skoncentrowanej na pacjencie, która miała duży wpływ na praktykę kliniczną. (Źródło: „Didius”/Wikimedia Commons). Humanizm miał znaczący wpływ na całą psychologię. Zarówno Maslow, jak i Rogers to nazwiska znane studentom psychologii (dowiesz się o nich więcej w kolejnych rozdziałach), a ich teorie cieszyły się uznaniem wielu badaczy. Ponadto podejście Rogersa do terapii skoncentrowane na pacjencie jest do dzisiaj stosowaną metodą w wielu szkołach psychoterapii, np. humanistycznej czy trzeciej fali terapii poznawczo-behawioralnej (terapia schematu, terapia ACT) (O’Hara, n.d.). Obejrzyj krótki materiał wideo , w którym Carl Rogers opowiada o swoim podejściu do terapii, i zobacz, na czym polega ono w praktyce. Rewolucja poznawcza Dominacja behawioryzmu i koncentracja na zewnętrznym zachowaniu odciągnęły uwagę psychologów od umysłu na dość długi czas. Wczesne prace psychologów humanistycznych przekierowały uwagę na człowieka jako całość, istotę świadomą i samoświadomą. W latach 50. XX wieku zaczęły pojawiać się nowe nurty w lingwistyce, neuronauce i informatyce, i to ta nowa perspektywa ożywiła zainteresowanie badaczy umysłem, który miał na nowo stać się przedmiotem badań. To przeniesienie obszaru zainteresowań w nauce psychologicznej nosi miano „rewolucji kognitywnej” czy „poznawczej” (Miller, 2003). W 1967 roku został wydany pierwszy podręcznik autorstwa Ulrica Neissera pt. Psychologia poznawcza, który stał się podstawową lekturą dla zwolenników nowego podejścia (Thorne i Henley, 2005). Mimo że żadnej konkretnej osobie nie przypisuje się rozpoczęcia tej rewolucji, to w pierwszych latach rozwoju tego ruchu jednym z najbardziej wpływowych propagatorów kongitywizmu był Noam Chomsky (ur. 1928) ( ). Chomsky, amerykański lingwista i filozof, profesor językoznawstwa, nie był zadowolony z tego, że behawioryzm miał tak znaczący wpływ na psychologię. Uważał, że uczynienie z zachowania centralnego punktu zainteresowań psychologii było podejściem krótkowzrocznym oraz że ta dziedzina nauki powinna na nowo zająć się badaniem kwestii związanych z funkcjonowaniem umysłu. Według Chomsky'ego tylko w ten sposób psychologia mogła w jakiś sposób przyczynić się do zrozumienia ludzkiego zachowania (Miller, 2003). Noam Chomsky jest jednym z największych propagatorów idei rewolucji kognitywnej. W 2010 roku w Pensylwanii powstał mural upamiętniający naukowca. (Źródło: Robert Moran). Psychologia europejska nigdy nie była pod takim wpływem behawioryzmu jak amerykańska, a co za tym idzie, rewolucja poznawcza przyczyniła się do ponownego nawiązania porozumienia między psychologami z Europy i z Ameryki. Co więcej, psychologowie zaczęli współpracować z badaczami z innych dziedzin, m.in. antropologami, lingwistami, informatykami i neuronaukowcami. To interdyscyplinarne podejście zyskało miano „nauk kognitywistycznych”, a jego wpływ i znaczenie dla tej perspektywy badawczej są nadal zauważalne we współczesnej psychologii (Miller, 2003). Psychologia feministyczna Nauka psychologii miała zarówno pozytywny, jak i negatywny wpływ na ludzki dobrostan. Dominacja w zachodnim świecie naukowym białych mężczyzn spowodowała, że także psychologia w swoich wczesnych stadiach rozwijała się w kontekście uprzedzeń tych naukowców, co skutkowało dyskryminacją członków społeczeństwa, którzy nie byli mężczyznami ani nie mieli jasnej skóry. Kobiety, członkowie mniejszości etnicznych oraz osoby o nieheteronormatywnej orientacji seksualnej doświadczali trudności w wejściu do świata nauki psychologicznej, a co za tym idzie, byli pozbawieni możliwości wniesienia swojego wkładu w jej rozwój, a tym samym w społeczeństwo, w którym żyli i pracowali. Osoby te doświadczały dyskryminacji także z powodu postaw prezentowanych przez białych przedstawicieli nauki płci męskiej. Do lat 60. XX wieku psychologia była w znacznej mierze dziedziną, w której kobiety były praktycznie nieobecne (Crawford i Marecek, 1989). Niewielu kobietom udawało się praktykować w dziedzinie psychologii, przez co miały one niewielki wkład w jej rozwój. Co więcej, uczestnikami doświadczeń psychologicznych byli w znacznej większości mężczyźni, przez co nie brano pod uwagę różnic międzypłciowych w badaniach psychologicznych, a kobiety nie były wystarczająco ciekawym obiektem zainteresowań badawczych. Artykuł autorstwa Naomi Weisstein, opublikowany po raz pierwszy w 1968 roku (Weisstein, 1993), stał się zalążkiem rewolucji feministycznej w psychologii, została w nim skrytykowana psychologia jako nauka. Autorka szczególnie krytycznie oceniła psychologów mężczyzn za opracowanie psychologii kobiet przez pryzmat męskich uprzedzeń i bez przeprowadzenia adekwatnych badań w celu weryfikacji cech psychologicznych przypisywanych przez nich kobietom. Weisstein podała przykłady wypowiedzi uznanych psychologów z lat 60. XX wieku, takich jak Brunon Bettleheim: „...należy przede wszystkim zdać sobie sprawę, że o ile kobiety chcą być dobrymi naukowcami czy inżynierami, to czego chcą najbardziej, to być towarzyszkami mężczyzn i matkami”. Krytyka opublikowana przez Weisstein stanowiła podbudowę psychologii feministycznej, która zrodziła się niedługo później. Nurt ten miał na celu uwolnić się od maskulinizacji wiedzy na temat psychologii kobiet i oddać należny im głos w rozwoju tej nauki. Crawford i Marecek (1989) wyróżniają kilka postulatów w rozwoju psychologii, które można zbiorczo nazwać psychologią feministyczną. Jej celem jest ponowna ocena i odkrycie wpływu kobiet na historię psychologii, badanie różnic między płciami oraz kwestionowanie postaw maskulinizacyjnych, które nie mogą wpływać na podejście do wiedzy i do nauki. Kobiety w psychologii Kobiety wnosiły wkład w psychologię od momentu jej powstania jako kierunku studiów. Margaret Floy Washburn (1871-1939) była pierwszą kobietą, która uzyskała stopień doktora psychologii (1894 rok). Prowadziła badania eksperymentalne nad zachowaniem zwierząt oraz nad percepcją mowy. Jest autorką The Animal Mind: A Textbook of Comparative Psychology (1908 rok), książki stanowiącej podsumowanie kilkudziesięciu lat jej doświadczenia naukowego. Dzieło opisuje liczne czynności poznawcze, poczynając od zmysłów i percepcji, w tym słuchu, wzroku, kinestetyki i dotyku. Późniejsze rozdziały książki koncentrują się na świadomości i wyższych procesach psychicznych. Jednak głównym tematem książki jest zachowanie zwierząt. Inna psycholożka, Mary Whiton Calkins (1863-1930), zaczynała pracę jako nauczycielka greki w uczelni dla kobiet Wellesley College , wkrótce potem jednak poświęciła się psychologii - założyła w college'u laboratorium badań psychologicznych. W czasie studiów psychologii na Uniwersytecie Harvarda współpracowała z Williamem Jamesem i Hugo Münsterbergiem (1863-1917), pracę naukową na temat pamięci pisała pod kierunkiem Williama Jamesa. Zajmowała się procesami zapamiętywania, m.in. prawem początku i końca w przypominaniu (Madigan i O’Hara, 1992). Opracowała technikę pamięciową skojarzeń parzystych (dziś zwanych łańcuchowymi). Technika ta polega na zapamiętywaniu informacji za pomocą siły „żywych obrazów” tworzonych w umyśle, które składają się na oryginalną historyjkę, ułatwiającą przypomnienie sobie wszystkiego w odpowiedniej kolejności. Narzędziem generowania interesujących opowieści jest wyobraźnia i skojarzenia. Zainteresowania Calkins obejmowały także teorię psychologiczną, a konkretnie wpływ strukturalizmu i funkcjonalizmu na obraz samego siebie człowieka ( self psychology ) (Calkins, 1906). Mary Cover Jones (1897-1987) była psychologiem rozwojowym oraz pionierką terapii behawioralnej. Przeprowadziła badanie, które uważała za kontynuację rozpoczętego przez Johna Broadusa Watsona studium Małego Alberta (o tym badaniu dowiesz się w rozdziale dotyczącym nauki). Jones zastanawiała się, czy techniki używane przez Watsona, mogłyby być użyte w przeciwnym celu, tj. nie w wywoływaniu, ale w uwalnianiu dzieci od strachu. Idąc dalej tym tokiem rozumowania, przeprowadziła badanie znane jako studium Małego Piotrusia, gdzie wykorzystała prawa uczenia się i habituacji do wyleczenia 3-letniego chłopca, Piotrusia, z jego silnego lęku przed królikami (Jones, 1924). Tym samym jest pionierką techniki systematycznej desensytyzacji, używanej do dziś z powodzeniem w terapiach różnego rodzaju fobii. Postaci wybitnych kobiet w psychologii było więcej, by wymienić tylko psychoanalityczki Karen Horney (1885-1952), Annę Freud (1895-1982) i Melanie Klein (1882-1960). Karen Horney była niemiecką psychoanalityczką i lekarzem psychiatrą, najbardziej popularną przedstawicielką koncepcji psychodynamicznych, współtwórczynią neopsychoanalizy. W 1932 roku wyemigrowała do Stanów Zjednoczonych, gdzie wraz z Erichem Frommem założyła Amerykański Instytut Psychoanalityczny. W swoich pracach podkreślała społeczno-kulturowe uwarunkowania rozwoju osobowości i zaburzeń, dystansując się od biologizmu koncepcji Zygmunta Freuda. Jej najsłynniejsze dzieło to Neurotyczna osobowość naszych czasów (1937). Anna Freud, to najmłodsza córka Zygmunta i Marty Freudów, austriacko-brytyjska terapeutka dziecięca, członek Wiedeńskiego Instytutu Psychoanalizy od roku 1922 i jego dyrektorka w latach 1925-1938. Rozwinęła teorię psychoanalityczną swego ojca, koncentrując się na psychologii ego i mechanizmach obronnych osobowości. Melanie Klein to brytyjska psycholog i psychoanalityk pochodzenia austriackiego. Znacząco rozwinęła techniki pracy terapeutycznej z dziećmi, która miała wpływ na psychologię dziecka i współczesną psychoanalizę. Była główną przedstawicielką nurtu teorii relacji z obiektem w Wielkiej Brytanii. Z polskich psycholożek wymienić można: Józefę Joteyko (1866-1928), Marię Grzegorzewską (1897-1967) oraz Alinę Szemińską (1907-1986). Józefa Joteyko była polską psycholożką, pedagożką oraz fizjolożką, wraz z Marią Grzegorzewską była współtwórczynią Państwowego Instytutu Pedagogiki Specjalnej w Warszawie (istnieje do dziś, obecnie pod nazwą Akademii Pedagogiki Specjalnej-APS). Była przewodniczącą belgijskiego towarzystwa neurologicznego oraz wielokrotną laureatką Paryskiej Akademii Nauk. Maria Grzegorzewska to polska pedagożka, psycholożka, profesor, uważana za twórczynię pedagogiki specjalnej w Polsce. Naczelnym hasłem jej (i założonego przez nią instytutu) było: „Nie ma kaleki – jest człowiek”). Do końca życia łączyła pracę naukową, dydaktyczną, praktyczną oraz administracyjną. Kierowała Państwowym Instytutem Pedagogiki Specjalnej, Państwowym Instytutem Nauczycielskim oraz Katedrą Pedagogiki Specjalnej Uniwersytetu Warszawskiego. Alina Szemińska była polską psycholożką, pedagożką, wykładowczynią Uniwersytetu Warszawskiego. Wraz z Jeanem Piagetem (1896-1980) prowadziła badania nad zdolnościami dzieci do budowy reprezentacji mentalnych, niezależnie od obiektów, ich różnorodności, a także ich właściwości percepcyjnych. Po dramatycznych przejściach wojennych, pobycie w getcie, więzieniu gestapo oraz w nazistowskim obozie koncentracyjnym Auschwitz, po wojnie zajęła się pracą z dziećmi, tj. poradnictwem psychologicznym. Od 1947 roku wykładała w Instytucie Pedagogiki w Warszawie, a pięć lat później objęła tam kierownictwo Zakładu Psychologii. Od roku 1956 Szemińska pracowała na Wydziale Pedagogicznym UW (przemianowanym w 1969 roku na Wydział Psychologii i Pedagogiki, a w roku 1981 wyodrębnionym jako Wydział Psychologii Uniwersytetu Warszawskiego) na stanowisku zastępcy profesora, a później – starszego wykładowcy. Prowadziła wykłady z psychologii rozwojowej i seminarium magisterskie. Więcej o wybitnych kobietach w psychologii możesz dowiedzieć się z książki Volkmann-Raue i Lucka Najwybitniejsze kobiety w psychologii XX wieku . Psychologia wielokulturowa Kultura ma ogromny wpływ zarówno na indywidualnego człowieka, jak i na psychologię jako dziedzinę nauki (by wymienić tylko dziedzinę psychologii społecznej), choć skutki oddziaływania kultury na psychologię nie zostały dotąd dogłębnie zbadane. Istnieje ryzyko, że teorie psychologiczne oraz dane zgromadzone w badaniach z udziałem osób białych i ze świata zachodniego mogą nie mieć zastosowania wobec ludzi i grup społecznych wywodzących się z innych kultur (Betancourt i López, 1993). Jedną z trudności, z którą musi mierzyć się psychologia międzykulturowa, jest to, że w ramach poszukiwania różnic między cechami psychologicznymi charakterystycznymi dla różnych kultur konieczne jest odejście od zastosowania wyłącznie prostej statystyki opisowej (Betancourt i López, 1993). Oznacza to, że dziedzina ta nadal pozostaje nauką o charakterze opisowym, a nie poszukującą przyczyn i skutków. Za przykład niech posłuży badanie Franko i współpracowników (2012) nad charakterystyką osób szukających terapii z powodu zaburzeń odżywiania (napadowego objadania się). Badano przedstawicieli trzech społeczności etnicznych: Latynosów, Afroamerykanów i białych Amerykanów. Wykazano, że pacjenci latynoscy zgłaszali najsilniejsze objawy napadowego objadania się spośród wszystkich grup, biali Amerykanie przeżywali najsilniejszy stres związany z wagą i wyglądem ciała, Afroamerykanie z kolei mieli najwyższe wskaźniki w próbach kontroli jedzenia (Franko et al., 2012). Wykazano istnienie znacznych różnic między tymi grupami etnicznymi pacjentów w przebiegu i charakterystyce ich zaburzeń odżywiania, ale badanie nie jest w stanie powiedzieć nic nt. przyczyn tych różnic, poza konkluzją, że owszem, istnieją. Psychologowie międzykulturowi rozwinęli teorie i badania nad charakterystyką różnych populacji, często odmienną, mimo iż ich przedstawiciele zamieszkują ten sam kraj. Rozwinięto także porównania funkcjonowania psychologicznego populacji z różnych państw. Jako przykład można tu chociażby wymienić badania nad przeżywaniem traumy i objawami stresu traumatycznego u przedstawicieli różnych kultur (Schnyder et al., 2016). W 1920 roku Cecil Sumner (1895-1954) zapisał się w historii jako pierwszy Afroamerykanin, który zdobył tytuł doktora psychologii w Stanach Zjednoczonych. Sumner był także założycielem programu studiów psychologicznych na Uniwersytecie Howarda, który wykształcił nowe pokolenie afroamerykańskich psychologów (Black et al., 2004). Znaczna część pracy i wkładu tych psychologów poświęcona była testowaniu inteligencji oraz promowaniu innowacyjnych metod edukacji, dostosowanych do dzieci z różnych środowisk kulturowych. Przykładowo, amerykański psycholog George Isidore Sánchez (1906-1972) zwracał uwagę, że różnice językowe i kulturowe nie pozwalają dzieciom z kultur odmiennych niż biała osiągać adekwatnych wyników w nauce i w testach inteligencji. Sánchez rozwijał swoje teorie podczas pracy na Uniwersytecie w Teksasie, a także wdrażał adekwatne metody edukacji dla dzieci z różnych środowisk (Black et al., 2004). Dwoje innych uznanych afroamerykańskich badaczy i psychologów to Mamie Philips Clark (1917-1983) i jej mąż Kenneth Clark (1903-1983). Najbardziej znane z ich badań to te przeprowadzone na dzieciach pochodzenia afroamerykańskiego z wykorzystaniem lalek. Badania te dowiodły istnienia kontrastu między afroamerykańskimi dziećmi uczęszczającymi do wydzielonych dla nich szkół w Waszyngtonie a tymi uczęszczającymi wspólnie z białymi dziećmi do integracyjnych szkół w Nowym Jorku. W eksperymencie wykorzystywano dwie identyczne lalki różniące się jedynie kolorem skóry i włosów. Jedna lalka była biała z żółtymi włosami, a druga była brązowa z czarnymi włosami. Dziecku zadawano pytania dotyczące lalek, np. którą lalką chciałoby się pobawić, która z nich jest ładna, która mu się nie podoba etc. Eksperyment wykazał wyraźną preferencję dla białej lalki wśród wszystkich dzieci biorących udział w badaniu. Odkrycia te ujawniły tzw. zinternalizowany (uwewnętrzniony) rasizm u dzieci afroamerykańskich oraz poczucie nienawiści do siebie, poczucie to było silniejsze wśród dzieci poddanych segregacji niż wśród uczęszczających do szkół integracyjnych. Prace Clarków miały istotny wpływ na rozstrzygnięcie w słynnej sprawie Brown kontra Rada Edukacji i orzeczenia Sądu Najwyższego Stanów Zjednoczonych, że zasada segregacji rasowej w edukacji publicznej była niekonstytucyjna. Wnioski płynące z badań Clarków znalazły zastosowanie w działaniach opieki społecznej, a samo małżeństwo założyło pierwszą poradnię wychowawczą dla dzieci w Harlemie (American Psychological Association, 2019). Posłuchaj podcastu poniżej na temat badań prowadzonych przez Clarków i ich wpływu na rozstrzygnięcie sprawy prowadzonej przed Sądem Najwyższym. Posłuchaj podcastu o wpływie badań psychologów afroamerykańskich na słynną sprawę z dziedziny praw obywatelskich Brown kontra Rada Edukacji . Podsumowanie Zanim Wundt i James podjęli tematy związane z psychologią, kwestie dotyczące ludzkiego umysłu były domeną filozofów. Jednak zarówno Wundt, jak i James przyczynili się do wyodrębnienia psychologii jako osobnej dyscypliny naukowej. Wundt był strukturalistą, czyli wierzył, że nasze doświadczenie poznawcze można najlepiej zrozumieć przez rozłożenie go na części składowe. Uważał, że najskuteczniejszą metodą wykorzystywaną do tego celu jest introspekcja. William James był pierwszym amerykańskim psychologiem będącym propagatorem funkcjonalizmu. Według założeń tego nurtu psychologii aktywność umysłu prowadziła do wytworzenia reakcji adaptacyjnej w celu dostosowania się do środowiska. Podobnie do Wundta, James również stosował metodę introspekcji, chociaż jego podejście badawcze uwzględniało także bardziej obiektywne metody. Zygmunt Freud uważał, że zrozumienie nieświadomego umysłu miało kluczowe znaczenie dla zrozumienia działań świadomych. Jego zdaniem było to istotne w szczególności dla pacjentów cierpiących na różne odmiany histerii i nerwic. Freud postrzegał analizę marzeń sennych, obserwację przejęzyczeń i wolnych skojarzeń jako środki pozwalające na uzyskanie wglądu do nieświadomości człowieka. Teoria psychoanalityczna była dominującym nurtem psychologii klinicznej w kolejnych dekadach w Europie. Psychologia Gestalt odegrała duże znaczenie w Europie. Nurt ten przyjmuje holistyczne spojrzenie na człowieka i jego doświadczenia. Po dojściu do władzy nazistów w Niemczech Wertheimer, Koffka i Köhler osiedlili się w Stanach Zjednoczonych. Mimo że ci naukowcy ostatecznie porzucili badania w dziedzinie psychologii, to im przypisuje się wprowadzenie do amerykańskich nauk psychologicznych teorii Gestalt. Niektóre z zasad stosowanych w psychologii Gestalt są nadal stosowane w badaniu doznań i percepcji. Jednym z najbardziej wpływowych nurtów w historii psychologii był behawioryzm, kładący nacisk jedynie na obserwowalne zachowania i reakcje. Celem psychologów behawioralnych było uczynienie psychologii obiektywną dziedziną nauki, co chcieli osiągnąć w drodze badań zachowań i umniejszania wagi procesów mentalnych niedających się zaobserwować. Za ojca behawioryzmu uznaje się najczęściej Johna Watsona, choć wpływ badań prowadzonych przez B.F. Skinnera na współczesne rozumienie zasad rządzących warunkowaniem sprawczym jest znaczny. Wraz z rosnącą dominacją teorii behawiorystycznych i psychoanalitycznych w obszarze psychologii część naukowców coraz silniej nie zgadzała się z obrazem człowieka, jaki wyłaniał się z tych nurtów. Skutkiem tego sprzeciwu było powstanie nurtu humanistycznego w psychologii. Humanizm zakłada, że wszyscy ludzie mają wrodzony potencjał dobra. Największy wpływ na rozwój psychologii humanistycznej mieli Maslow i Rogers. Lata 50. XX wieku to okres początków zmian w psychologii. Nauka, której głównym przedmiotem zainteresowań był behawioryzm, zaczęła wracać do źródeł, czyli badań nad procesami umysłowymi. Powstanie neuronauki i informatyki było jednym z motorów tych zmian. Ostatecznie nastała rewolucja kognitywna, a wraz z nią przekonanie, że to dzięki badaniu procesów poznawczych można naprawdę zrozumieć zachowania ludzkie. Review Questions Na podstawie lektury rozdziału odpowiedz, który z teoretyków poparłby następujące stwierdzenie: „Zjawisko percepcji można zbadać najlepiej przez rozłożenie doświadczenia na części składowe”. William James Max Wertheimer Carl Rogers Noam Chomsky B ________ jest znany z opracowania własnej hierarchii potrzeb. Noam Chomsky Carl Rogers Abraham Maslow Zygmunt Freud C Rogers uważał, że autentyczność, empatia i ________ w procesie terapeutycznym są warunkami koniecznymi do zrozumienia przez pacjenta jego problemów. strukturalizm funkcjonalizm Gestalt bezwarunkowo pozytywne odniesienie D Klatka warunkowania sprawczego (tzw. klatka ________) to urządzenie wykorzystywane do badania zasad rządzących warunkowaniem sprawczym. Skinnera Watsona Jamesa Koffki A Critical Thinking Questions Jak zmieniał się przedmiot zainteresowań badawczych psychologii na przestrzeni lat od XIX wieku? Początkowo psychologię definiowano jako badania naukowe nad umysłem lub procesami umysłowymi. Z czasem psychologia zaczęła coraz bardziej zajmować się badaniem zachowań. Jednak wraz z nastaniem rewolucji poznawczej w centrum uwagi psychologów ponownie znalazły się procesy umysłowe, które uznano za istotne dla zrozumienia zachowań człowieka. Reakcją na jaki nurt w psychologii było podejście behawioralne? Behawioryści badali w sposób obiektywny zachowania dające się zaobserwować, po części w opozycji do psychologów skoncentrowanych na badaniu umysłu (wg behawiorystów badanie tego, czego nie można bezpośrednio zobaczyć). Personal Application Questions Zygmunt Freud to prawdopodobnie najbardziej znana postać w psychologii. W jakich obszarach lub sytuacjach można według ciebie spotkać się z odniesieniami do Freuda lub jego teorii na temat roli nieświadomości w kształtowaniu świadomych zachowań? behawioryzm (ang. behaviourism ) kierunek skupiający się na obserwowaniu i kontroli zachowań funkcjonalizm (ang. functionalism ) kierunek zajmujący się tym, jak aktywność psychiczna pomaga organizmowi spełniać określone funkcje i tym samym dostosować się do środowiska humanizm (ang. humanism ) podejście w psychologii podkreślające, że człowiek jest największą wartością i ma w sobie potencjał innych wartości, w tym dobra introspekcja (ang. introspection ) proces, podczas którego człowiek obserwuje i bada własne przeżycia psychiczne, próbując rozumieć wszystkie ich elementy (w praktyce relacjonowanie na bieżąco swojego strumienia świadomości) teoria psychoanalityczna (ang. psychoanalytic theory ) kierunek skoncentrowany na wpływie nieświadomości na świadome zachowania strukturalizm (ang. structuralism ) kierunek, zgodnie z którym wszelkie doznania psychiczne można zrozumieć jako kombinację prostych zdarzeń, czyli elementów, a zasadniczą strukturę ludzkiej psychiki można ujawnić przez analizowanie wszystkich podstawowych elementów wrażeń i innych doświadczeń, które tworzą życie psychiczne jednostki", "section": "Historia psychologii", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Psychologia współczesna Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Docenić różnorodność zainteresowań psychologii Zrozumieć podstawowe zainteresowania w każdym z opisanych obszarów psychologii Wykazać znajomość niektórych głównych pojęć lub ważnych postaci w każdym z opisanych obszarów psychologii Współczesna psychologia to szeroka i zróżnicowana dziedzina nauki, na którą wpływ miały wszystkie historyczne nurty opisane w poprzednim podrozdziale. W tym podrozdziale znajdziesz przegląd głównych nurtów psychologii współczesnej przedstawionych w kolejności, w jakiej są one omawiane dalej w niniejszym podręczniku. Nie jest to katalog zamknięty, ale wystarczający do zapoznania się z podstawowymi obszarami badań psychologicznych i praktyki dzisiejszych psychologów. Psychobiologia i psychologia ewolucyjna Jak sugeruje nazwa, psychobiologia (ang. biopsychology ) bada wpływ biologii na nasze zachowanie. Psychobiologia jest szeroką dziedziną nauki, wielu psychobiologów stawia sobie za cel zrozumienie, w jaki sposób budowa i funkcjonowanie układu nerwowego są powiązane z zachowaniem ( ). Często łączą oni strategie badawcze stosowane zarówno w psychologii, jak i w fizjologii (Carlson, 2013). Psychobiolodzy badają wpływ budowy i funkcji układu nerwowego na zachowanie. Rysunek schematycznie przedstawia budowę (a) ośrodkowego i (b) obwodowego układu nerwowego. Zainteresowania badawcze psychobiologów obejmują szereg zagadnień, m.in. narządy zmysłów, układ ruchu, sen, zmiany fizjologiczne i behawioralne w wyniku zażywania i nadużywania narkotyków, działanie układu trawiennego, układu rozrodczego, rozwój neurologiczny, plastyczność układu nerwowego i biologiczne korelacje zaburzeń psychicznych. Ze względu na bardzo szeroką tematykę psychobiologii w jej badania zaangażowani są specjaliści z różnych dziedzin (biolodzy, lekarze, fizjolodzy i chemicy). Takie interdyscyplinarne podejście do badań układu nerwowego (głównie centralnego układu nerwowego) nazywane jest neuronauką. Łączy w sobie wiedzę medyczną, biologiczną, biochemiczną, biofizyczną, informatyczną i psychologiczną. Psychobiologia jest jedną z powiązanych z nią dziedzin (Carlson, 2013). O ile psychobiologia koncentruje się przede wszystkim na fizjologicznych przyczynach zachowań człowieka lub innych organizmów, o tyle psychologia ewolucyjna zajmuje się badaniem podstawowych przyczyn warunkujących zachowania. Jako podstawowe przyczyny zachowania możemy wskazać optymalne przystosowanie się i funkcjonowanie organizmu w jego środowisku, a także reprodukcję. Wskaźnikiem adaptacji do środowiska będzie m.in. dane zachowanie czy cecha anatomiczna, przekazywane następnym pokoleniom w genach. Badanie zachowania w kontekście ewolucji ma swoje początki w teorii Karola Darwina (1809-1882), jednego z twórców teorii ewolucji. Darwin miał świadomość tego, że zachowanie musi mieć charakter adaptacyjny i temu tematowi poświęcił swoje książki Pochodzenie człowieka (1871) oraz O wyrazie uczuć u człowieka i zwierząt (1872). Psychologia ewolucyjna (ang. evolutionary psychology ), a w szczególności psychologia ewolucyjna człowieka powraca do łask w ostatnich dekadach. Aby podlegać ewolucji w drodze doboru naturalnego, dane zachowanie musi mieć konkretne podłoże genetyczne. Ogólnie rzecz biorąc, oczekujemy, że jeśli dane zachowanie jest uwarunkowane genetycznie, to we wszystkich kulturach ludzkich powinno ono być wyrażane podobnie, ponieważ różnice genetyczne między poszczególnymi populacjami ludzkimi są niewielkie. Podejście przyjęte przez większość psychologów ewolucyjnych zakłada, że da się przewidzieć skutek zachowania w określonej sytuacji w oparciu o teorię ewolucji, tj. przydatność takiego zachowania dla przetrwania, a następnie jego powielenie w drodze doboru naturalnego. Psychologowie ewolucyjni prowadzą obserwacje i eksperymenty w celu weryfikacji, czy skutki takich zachowań odpowiadają tym wskazanym w teorii ewolucji. Warto mieć świadomość, że tego rodzaju badania nie dają wiarygodnych dowodów na to, że zachowania mają charakter adaptacyjny, ponieważ brakuje w nich danych na temat tego, czy określone zachowanie jest uwarunkowane genetycznie, a nie tylko kulturowo (Endler, 1986). Dowiedzenie, że jakaś cecha, w szczególności występująca u ludzi, jest skutkiem działania teorii doboru naturalnego, to niezwykle trudne zadanie. Być może właśnie dlatego niektórzy psychologowie ewolucyjni zazwyczaj przyjmują założenie a priori, że zachowania, które badają, są uwarunkowane genetycznie (Confer et al., 2010). Jedną ze słabości psychologii ewolucyjnej jest to, że nasze cechy uległy ewolucji pod wpływem oddziaływania pewnych czynników środowiskowych i społecznych występujących na przestrzeni dziejów (kilkanaście tysięcy lat), a nie posiadamy pełnej wiedzy na temat tego, co to były za czynniki. Z tego względu przewidywanie, które z zachowań mają charakter adaptacyjny, jest niezwykle trudne. Cechy behawioralne niekoniecznie są cechami adaptacyjnymi w warunkach dzisiejszych, choć mogły mieć taki charakter w warunkach występujących w przeszłości. Istnieje wiele obszarów związanych z zachowaniem ludzkim, dla których można znaleźć odpowiedź w historii ewolucji. Są to między innymi: pamięć, dobór partnerów, relacje między krewnymi, przyjaźń i współpraca, rodzicielstwo, organizowanie się społeczności i pozycja w społeczeństwie (Confer et al., 2010). Psychologowie ewolucyjni zaobserwowali, że między ludźmi istnieją wyraźne międzykulturowe podobieństwa w zakresie oczekiwań. Przykładowo, w badaniu dotyczącym preferencji w wyborze partnera prowadzonym na grupie kobiet i mężczyzn należących do 37 różnych kręgów kulturowych, Buss (1989) odkrył, że dla kobiet ważniejszy był potencjał zarobkowy przyszłego partnera, podczas gdy mężczyźni uważali za istotniejsze czynniki związane z potencjałem rozrodczym (młodość i atrakcyjność). Generalnie założenia badawcze były porównywalne z założeniami teorii ewolucyjnych, choć zaobserwowano różnice pomiędzy przedstawicielami niektórych kręgów kulturowych. Doznania i percepcja Badacze zainteresowani fizjologią i psychologią postrzegania rzeczywistości zajmują się badaniem wrażeń zmysłowych (ang. sensation ) oraz spostrzegania (ang. perception ) ( ). Badania nad wrażeniami (doznaniami) i spostrzeganiem (percepcją) są w znacznym stopniu interdyscyplinarne. Wyobraź sobie, że idziesz między budynkami, udając się na kolejne zajęcia. Otaczają cię widoki, dźwięki, odczuwasz zapachy, możesz dotknąć budynku, drzewa i poczuć ich fakturę. Doświadczasz również doznań związanych z temperaturą powietrza, ponadto idąc, utrzymujesz równowagę ciała. Te wszystkie czynniki leżą w zakresie zainteresowań badacza zajmującego się tematyką doznań i percepcji. Gdy patrzysz na ten rysunek, widzisz albo kaczkę, albo królika. Informacja, która dociera do zmysłów, jest taka sama, ale percepcja tych informacji może się znacząco różnić. W jednym z dalszych rozdziałów podręcznika, w którym znajduje się omówienie wyników badań nad doznaniami i percepcją, dowiesz się też, że sposób odbierania świata nie jest tylko prostą sumą informacji sensorycznych, jakie do nas docierają. Nasze doświadczenie (percepcja) ma bardzo złożony charakter, a wpływ na nie mają różne czynniki, m.in. to, na czym skupiamy uwagę w danej chwili, nasze wcześniejsze doświadczenia, a nawet krąg kulturowy, z jakiego się wywodzimy. Psychologia poznawcza W poprzednim podrozdziale była już mowa o tym, że rewolucja poznawcza (kognitywna) miała ogromny wpływ na psychologów i skłoniła ich do powrotu do badań nad definicyjnym zagadnieniem psychologii, tj. badania umysłu i procesów poznawczych leżących u podstaw zachowań (po dominacji behawioryzmu, który zajmował się tylko zachowaniem). Psychologia poznawcza (ang. cognitive psychology ) to obszar psychologii, który zajmuje się badaniem procesów poznawczych, czyli percepcji oraz procesów myślowych, oraz ich związku z naszymi działaniami. Podobnie do psychobiologii, psychologia poznawcza obejmuje szeroki zakres tematyczny i często w ramach tej dziedziny dochodzi do współpracy osób specjalizujących się w różnych dyscyplinach naukowych. Właśnie dlatego ukuto termin „kongnitywistyka” – w celu opisania interdyscyplinarnego charakteru tej dziedziny badawczej (Miller, 2003). Kognitywistyka zajmuje się obserwacją i analizą działania zmysłów, fizjologii mózgu i funkcjonowania umysłu, w szczególności ich modelowaniem. Znajduje się na pograniczu wielu dziedzin (psychologii poznawczej, neurobiologii, filozofii umysłu, sztucznej inteligencji, lingwistyki, logiki i fizyki). Psychologowie poznawczy zajmują się m.in. funkcjonowaniem uwagi, rozwiązywaniem problemów, używaniem języka i funkcjonowaniem pamięciowym. Podejścia stosowane w badaniach tych kwestii są równie zróżnicowane. W związku z tym psychologia poznawcza została omówiona w więcej niż tylko jednym rozdziale podręcznika. Inne aspekty związane z psychologią poznawczą znajdziesz w dalszych rozdziałach poświęconych procesom myślowym, pamięci, rozwoju życia człowieka, psychologii społecznej i psychoterapii. Psychologia rozwojowa Psychologia rozwojowa (ang. developmental psychology ) to dziedzina psychologii zajmująca się rozwojem człowieka w ciągu jego życia. Psychologów specjalizujących się w psychologii rozwojowej interesują procesy powiązane z dojrzewaniem fizycznym i psychicznym. Przedmiotem ich badań są zmiany fizyczne zachodzące w organizmie ludzkim z wiekiem oraz zmiany zachodzące w umiejętnościach poznawczych, rozumowaniu moralnym, zachowaniach społecznych i w przejawach funkcjonowania psychicznego człowieka. Pierwsi psychologowie rozwojowi skupiali się przede wszystkim na obserwacji zmian podczas dojrzewania i dostarczyli nauce wielu ważnych informacji na temat różnic pomiędzy dziećmi a dorosłymi w zakresie umiejętności fizycznych, poznawczych czy społecznych. Przykładowo, badania prowadzone przez Jeana Piageta (1896–1980) ( ) dowiodły, że małe dzieci nie mają świadomości stałości przedmiotu. Pojęcie „stałości przedmiotu” odnosi się do zrozumienia, że fizyczne przedmioty istnieją dalej, nawet jeżeli je przed nami schowano. Gdyby pokazać dorosłej osobie zabawkę, a następnie schować ją za zasłoną, to osoba ta wiedziałaby, że zabawka nadal istnieje. Jednak małe dzieci zachowują się tak, jakby schowana zabawka przestała realnie istnieć. Nie ma przy tym zgody wśród badaczy odnośnie do wieku, w którym człowiek rozwija umiejętność rozumienia stałości przedmiotu; wskazywany jest przedział wiekowy między drugim a trzecim rokiem życia (Munakata et al., 1997). Jean Piaget jest znany ze swoich teorii dotyczących zmian umiejętności poznawczych zachodzących u człowieka wraz z procesem dojrzewania. Choć Piaget zajmował się zmianami poznawczymi zachodzącymi u człowieka w wieku dziecięcym i młodzieńczym, to coraz więcej psychologów rozwojowych opowiada się za rozszerzeniem badań na zmiany, których doświadczamy na dalszych etapach życia. Dzięki temu dowiadujemy się, jak zmieniały się całe populacje demograficzne w państwach rozwiniętych. Wraz ze stopniowym wzrostem długości życia człowieka, rośnie liczba osób w podeszłym wieku. Według danych GUS przybywa mieszkańców Polski w wieku 65 lat i starszych. W końcu 2019 roku ich liczba wyniosła ponad 8,4 mln, a ich udział w ogólnej populacji wzrósł do 21,9%. (wobec odpowiednio 5,7 mln, tj. niespełna 15 %, w 2000 r.). W 2050 roku Polska stanie się jednym z krajów w Europie o najbardziej zaawansowanym procesie starzenia się populacji. Osoby w wieku 65 lat i starsze będą w Polsce wówczas stanowiły 31,5% populacji (GUS, 2020). Psychologia osobowości Psychologia osobowości (ang. Personality psychology ) zajmuje się badaniem stałej struktury psychicznej człowieka, tj. osobowości – stosunkowo stałych cech psychicznych, schematów myślenia czy wrażliwości psychicznej jednostki, które nadają względną spójność jej zachowaniu. W rozwój wczesnych teorii osobowości wnieśli wkład m.in. Zygmunt Freud, Abraham Maslow (była o nich mowa w podrozdziale o historii psychologii) oraz Gordon Allport (1897-1967). Badacze ci podjęli próbę wyjaśnienia, w jaki sposób następuje rozwój osobowości u człowieka. Freud był zdania, że osobowość jest wynikiem wewnętrznych konfliktów między świadomymi a nieświadomymi częściami umysłu, które zachodzą przez całe życie. W szczególności Freud twierdził, że człowiek przechodzi różne etapy rozwoju psychoseksualnego. Według tej teorii osobowość dorosłego tworzy się w wyniku rozwiązania różnych wewnętrznych konfliktów, które koncentrowały się wokół rozwoju psychoseksualnego i zmiany znaczenia stref erogennych (dostarczających przyjemności): od oralnych (u niemowlęcia) do genitalnych (u dorosłego człowieka). Podobnie do wielu teorii Freuda i ta koncepcja budziła kontrowersje i nie została w żaden sposób udowodniona naukowo (Person, 1980). W ostatnich latach badania dotyczące osobowości przyjęły bardziej ilościowy charakter. Mniej skupiają się na wyjaśnianiu sposobów, w jaki rozwija się osobowość człowieka, bardziej zaś na rozpoznaniu cech osobowości (ang. personality traits ): na pomiarach tych cech (np. ekstrawersji) oraz określaniu ich interakcji w celu przewidzenia zachowania człowieka w danej sytuacji. Bada się na przykład wpływ interakcji wysokiego poziomu ekstrawersji i wysokiego poziomu ugodowości na zachowania asertywne. Cechy osobowości to relatywnie trwałe schematy myślowe i schematy zachowań. Na przestrzeni lat powstały różne teorie mające określić liczbę cech wchodzących w skład opisu osobowości. Obecnie dominuje pogląd, że do zbadania różnych wariantów osobowości ludzkiej wystarcza pięć wymiarów cech. Te wymiary osobowości nazywa się „Wielką piątką” lub pięcioczynnikowym modelem osobowości (ang. Five Factor Model ). Te pięć cech osobowości wyróżniono na podstawie wieloletnich analiz dostępnych danych naukowych oraz zastosowania skomplikowanych modeli statystycznych. Obejmują one sumienność, ugodowość, neurotyczność, otwartość na doświadczenie i ekstrawersję ( ). Każda z tych cech okazuje się stosunkowo niezmienna przez cały okres życia człowieka (np. Rantanen et al., 2007; Soldz i Vaillant, 1999; McCrae i Costa, 2008) i jest uwarunkowana genetycznie (np. Jang et al., 1996). Każdy z wymiarów Wielkiej piątki pokazany jest na rysunku powyżej. Opisy osobowości z niskim poziomem danej cechy znajdują się po lewej stronie, a opisy osobowości z wysokim poziomem danej cechy – po stronie prawej. Psychologia społeczna Psychologia społeczna (ang. social psychology ) zajmuje się interakcjami i relacjami między ludźmi. Badania psychologii społecznej obejmują szeroki zakres tematyczny, m.in. różnice w sposobach wyjaśniania naszych własnych zachowań w porównaniu z zachowaniami innych osób, uprzedzenia, atrakcyjność społeczną czy sposoby rozwiązywania konfliktów międzyludzkich. Psychologowie społeczni starają się także zbadać, jak obecność innych ludzi wpływa na nasze schematy myślowe i zachowanie. Istnieje wiele ciekawych badań prowadzonych w obszarze psychologii społecznej i możesz o nich przeczytać w dalszych rozdziałach tego podręcznika. Na razie jednak omówimy jedno z najbardziej kontrowersyjnych badań psychologicznych w historii, mianowicie eksperyment Milgrama. Stanley Milgram (1933–1984) to amerykański psycholog społeczny najbardziej znany ze swoich badań w obszarze uległości. W 1961 roku zbrodniarz nazistowski Adolf Eichmann oskarżony o popełnienie masowych zbrodni przeciw ludzkości stanął przed sądem. Wiele osób zastanawiało się, jak członkowie nazistowskiego aparatu terroru byli w stanie prowadzić swą zbrodniczą działalność na terenach okupowanych państw czy w licznych obozach koncentracyjnych. Wytłumaczenia, jakoby jedynie wykonywali rozkazy zwierzchników, nie brzmiały przekonująco. W tym czasie większość psychologów zgadzała się, że niewiele osób zadawałoby ból i cierpienie tylko dlatego, że otrzymały takie polecenie. Milgram postanowił przeprowadzić badanie w celu weryfikacji powyższego założenia ( ). Milgram dowiódł, że niemal dwie trzecie badanych było skłonnych zadawać innemu człowiekowi wstrząsy elektryczne o śmiertelnym natężeniu tylko dlatego, że otrzymali takie polecenie od osoby, którą postrzegali jako autorytet (w tym przypadku była to osoba w kitlu laboratoryjnym). Jednocześnie warto pamiętać, że badani nie mieli możliwości wycofania się z badania. W rzeczywistości nikt w tym doświadczeniu nie ucierpiał – eksperyment Milgrama był sprytnym fortelem, bo w roli osób, którym badani mieli wymierzać kary, wystąpiły osoby współpracujące z Milgramem. Otrzymały one jasne i konkretne wytyczne co do swojego zachowania i reakcji, jakie miały prezentować w trakcie doświadczenia (Hock, 2009). Niejako przy okazji badań Milgrama, które wiązały się z oszustwem i możliwością wywołania negatywnych skutków emocjonalnych u badanych, opracowano kodeks etyczny dla badaczy. Głównym celem wprowadzonych wytycznych było zapobieżenie sytuacjom, w których mogło dojść do wprowadzenia badanych w błąd, chyba że podanie prawdziwego celu eksperymentu mogłoby wpłynąć na jego wyniki (po przeprowadzeniu badania uczestnik musi jednak zostać poinformowany o jego prawdziwym celu – jest to tzw. procedura odkłamania). Wprowadzono także wymóg uzyskania świadomej zgody badanych na udział w eksperymencie. Sam eksperyment Milgrama został poddany szerokiej analizie oraz krytyce, a jego późniejsze replikacje (oraz modyfikacje) zarówno potwierdziły tezy autora, jak i im zaprzeczyły. Więcej na ten temat możesz przeczytać choćby w artykule Voegels „ The Milgram experiment: Its impact and interpretation ” (2014). Treść ogłoszenia dotyczącego naboru do doświadczenia Stanleya Milgrama. Ogłoszenie zaczyna się zdaniami: „Zapłacimy ci 4 dolary za godzinę twojego czasu. Poszukujemy osób do badań nad pamięcią\". Psychologia pracy i organizacji Psychologia pracy i organizacji (ang. industrial-organizational psychology ) to dziedzina psychologii, która zajmuje się zastosowaniem teorii psychologicznych, zasad i wyników badań w kontekście pracy oraz funkcjonowania organizacji. Psychologowie z taką specjalizacją często są angażowani do zadań związanych z zarządzaniem zasobami ludzkimi, strukturą organizacyjną i środowiskiem pracy. Firmy często korzystają z usług psychologów pracy i organizacji w procesach rekrutacyjnych oraz w celu stworzenia warunków pracy, które przełożą się na wysoką wydajność i skuteczność pracowników. Poza praktycznym zastosowaniem teorii w tym kontekście psychologia pracy i organizacji zajmuje się także badaniami naukowymi w środowisku pracy i organizacji (Riggio, 2013). Psychologia zdrowia Psychologia zdrowia (ang. health psychology ) zajmuje się wpływem interakcji czynników biologicznych, psychologicznych i społeczno-kulturowych na zdrowie. To podejście nosi miano biopsychospołecznego modelu zdrowia (ang. biopsychosocial model ) ( ). Celem pracy psychologów zdrowia jest pomaganie ludziom w osiągnięciu poprawy stanu zdrowia przez wywieranie wpływu na kształt polityki państwa w tym zakresie, prowadzenie działań edukacyjnych, interwencyjnych oraz badania naukowe. Psychologowie zdrowia mogą prowadzić badania nad związkami zdrowia z genetyką, zachowaniami, relacjami z innymi oraz stresem. Opracowują również metody pomagające ludziom w zmianie szkodliwych zdrowotnie wzorców zachowań (MacDonald, 2013). Biopsychospołeczny model zdrowia zakłada, że stan zdrowia człowieka jest warunkowany interakcją trzech czynników: biologicznego, psychologicznego i społecznego. Psychologia sportu i aktywności fizycznej Psychologowie specjalizujący się w psychologii sportu i aktywności fizycznej (ang. sport and exercise psychology ) zajmują się między innymi badaniem aspektów psychologicznych osiągania wyników sportowych, w tym motywacją i lękiem związanym ze startem w zawodach, a także wpływem aktywności sportowej na stan psychiczny i emocjonalny sportowców. Zainteresowania badawcze psychologii sportu wykraczają jednak poza zagadnienia sportu i wysiłku fizycznego, dotyczą bowiem także kwestii związanych z wydajnością psychiczną i fizyczną osób pracujących w trudnych warunkach, np. strażaków, żołnierzy, artystów performatywnych czy chirurgów. Psychologia kliniczna Psychologia kliniczna (ang. clinical psychology ) to obszar psychologii, który koncentruje się na diagnostyce i leczeniu zaburzeń psychicznych oraz problematycznych zachowań. W związku z tym uważa się, że ma charakter bardziej praktyczny niż teoretyczny, jednak część psychologów klinicznych zajmuje się także prowadzeniem badań naukowych. Poradnictwo psychologiczne (ang. counseling psychology ) to obszar psychologii, który koncentruje się na poprawie emocjonalnych, społecznych, zawodowych i pozostałych aspektów życia osoby zdrowej psychicznie. Nie należy mylić go z psychoterapią (tj. złożonym i specjalistycznym procesem leczenia zaburzeń psychicznych). Poradnictwo psychologiczne ma raczej charakter doraźny i krótkoterminowy (np. konkretne wskazówki wychowawcze dla rodziców agresywnego trzylatka, wskazówki polepszenia komunikacji dla pary w kryzysie etc.). Jak wspomniano już wcześniej, teorie sformułowane przez Zygmunta Freuda i Carla Rogersa miały znaczny wpływ na kształt relacji pomiędzy terapeutą a pacjentem (od milczącej i wycofanej postawy terapeuty w psychoanalizie po otwartą i żywą postawę terapeuty humanistycznego). O ile pewne aspekty teorii psychoanalitycznych nadal znajdują zastosowanie w pracy terapeutycznej współczesnych psychoterapeutów wykształconych w nurcie terapii psychodynamicznej, to zaproponowane przez Rogersa podejście do terapii (ang. therapy ) stawiające w centrum uwagi pacjenta miało duży wpływ na działalność psychologów klinicznych w ogóle. Obecnie większość szkół psychoterapeutycznych akcentuje znaczenie dobrej relacji terapeutycznej dla osiągnięcia zmiany w terapii, a jej elementami są takie cechy postawy terapeuty jak: wsparcie, empatia, zainteresowanie pacjentem i jego problemami, spójność i autentyczność – tj. wszystkie cechy postulowane przez Rogersa. Psychoterapeuci pracujący w nurcie poznawczo-behawioralnym biorą pod uwagę w pracy terapeutycznej funkcjonowanie procesów poznawczych oraz ich wzajemny związek (na rysunku pokazany został związek między myślami, emocjami i zachowaniem). Na obecny kształt psychologii klinicznej wpływ wywarły także behawioryzm i rewolucja kognitywistyczna, przyczyniając się do rozwoju nurtu psychoterapii behawioralnej, psychoterapii poznawczej oraz psychoterapii poznawczo-behawioralnej ( ). Kwestie związane z diagnozą i leczeniem zaburzeń psychicznych i problematycznych schematów zachowań będą szczegółowo omówione w dalszej części podręcznika. Bez wątpienia psychologia kliniczna jest obszarem psychologii najczęściej obecnym w mediach popularnych i wiele osób błędnie zakłada, że zadania i praktyka psychologii to niemal wyłącznie praca z pacjentami i psychoterapia. Psychologia sądowa Psychologia sądowa ( śledcza ) (ang. forensic psychology ) to obszar psychologii, w którym stosuje się dorobek naukowy i praktyczny psychologii w kwestiach związanych z wymiarem sprawiedliwości. Przykładowo psychologowie sądowi (i psychiatrzy sądowi) zajmują się oceną, czy dana osoba jest w stanie wziąć udział w postępowaniu sądowym, wydają opinię na temat stanu umysłowego oskarżonych w momencie popełnienia przestępstwa, pełnią rolę konsultantów w sprawach o ustalenie opieki nad dziećmi, doradzają w procesie wydawania wyroków i zaleceń korekcyjnych. Występują także jako konsultanci w sprawach, w których przesłuchiwani są naoczni świadkowie zbrodni oraz dzieci (American Board of Forensic Psychology, 2014). W tym kontekście pełnią rolę biegłych sądowych wzywanych przez sąd czy jedną ze stron do opracowania ekspertyzy na podstawie przeprowadzonych badań i swojego doświadczenia zawodowego. Psychologowie zatrudniani jako biegli sądowi muszą mieć specjalistyczną wiedzę prawniczą na temat działania systemu prawa i na temat zasad wydawania opinii w kontekście sądowym, a nie tylko w ramach psychologii. Profilerzy kryminalni to z kolei mały odsetek psychologów, którzy współpracują z organami ścigania w charakterze konsultantów, np. tworzą profil osobowości, motywów i możliwych dalszych zachowań sprawcy przestępstwa. Podsumowanie Psychologia to różnorodna dyscyplina wiedzy, na którą składa się kilka głównych poddziedzin charakteryzujących się odmiennymi podejściami badawczymi. Psychobiologia zajmuje się badaniem biologicznych podstaw zachowania. Doznania zmysłowe i percepcja to tematy, którymi zajmuje się poddziedzina psychologii badająca sposób postrzegania informacji płynących do nas za pośrednictwem zmysłów i tym, jak te informacje są przetwarzane w doświadczenia postrzegania świata wokół nas. Psychologia poznawcza bada związek między procesami myślenia a zachowaniem, a psychologowie rozwojowi zajmują się badaniem fizycznych i psychicznych zmian zachodzących w ciągu całego życia człowieka. Psychologia osobowości koncentruje się na cechach osobowości, tj. względnie stałych schematach myśli i emocji, mających wpływ na zachowanie. Psychologia pracy i organizacji, psychologia zdrowia, sportu, sądowa i kliniczna uznawane są za dziedziny psychologii stosowanej. Psychologowie pracy i organizacji stosują koncepcje psychologiczne w kontekście środowisk zawodowych. Psychologowie zdrowia poszukują sposobów na poprawę stanu zdrowia człowieka, a psychologowie kliniczni zajmują się diagnostyką i leczeniem zaburzeń psychicznych i problematycznych zachowań. Psychologowie sportu i aktywności fizycznej badają związki między myślami, emocjami a osiągnięciami w sporcie, wysiłkiem i aktywnością fizyczną. Psychologowie sądowi zajmują się zastosowaniem teorii i praktyki psychologicznych w ramach wymiaru sprawiedliwości. Review Questions Naukowiec zainteresowany tym, jaki związek mają zmiany zachodzące w komórkach hipokampu (części mózgu odpowiedzialnej za uczenie się i pamięć) z kształtowaniem się pamięci prawdopodobnie jest specjalistą w dziedzinie ________. psychobiologii psychologii zdrowia psychologii klinicznej psychologii społecznej A Względnie stały zestaw schematów myślowych i cech psychicznych człowieka wpływający na zachowanie nazywany jest ________. etapem psychoseksualnym rozwoju stałością obiektu osobowością percepcją C W kontrowersyjnym eksperymencie psychologicznym Milgrama dotyczącym uległości, prawie ________ uczestników badania było skłonnych na polecenie osoby będącej autorytetem aplikować drugiej osobie wstrząsy, o których wiedzieli, że mogą prowadzić do śmierci. 1/3 2/3 3/4 4/5 B Badacz zainteresowany czynnikami, które powodują, że dana osoba jest najlepszym kandydatem na dane stanowisko, to psycholog ________. osobowości kliniczny społeczny pracy i organizacji D Critical Thinking Questions Mając na uwadze ogromną różnorodność poszczególnych obszarów w psychologii opisanych w tym podrozdziale, jak twoim zdaniem są one połączone? Mimo że różne perspektywy psychologiczne mają różne obiekty zainteresowań i stosuje się w nich różne podejścia badawcze, to wszystkie mają na celu zrozumienie i/lub zmianę schematów myślowych oraz/lub zachowania. Jakie potencjalne zastrzeżenia etyczne wiążą się z eksperymentem Milgrama na temat uległości? Wiele osób kwestionowało etyczność tego doświadczenia. Mimo że ostatecznie nikt nie ucierpiał, to wiele osób podważało założenie, jakoby wiedza na temat tego, czy ktoś jest skłonny zadawać ból lub zabić drugą osobę, nie miała wpływu na postrzeganie siebie i na zdrowie psychiczne uczestników badania. Co więcej, oszustwo i nie podanie uczestnikom adekwatnych informacji przed badaniem i po nimi nadal budzi wiele kontrowersji. Personal Application Question Gdy znasz już w skrócie główne obszary badawcze psychologii? Która z nich wydaje cię się najbardziej warta głębszego poznania? Dlaczego ta, a nie inna? psychobiologia (ang. psychobiology ) badania wpływu biologii na zachowania biopsychospołeczny model zdrowia (ang. biopsychosocial health model ) podejście, zgodnie z którym interakcja czynników biologicznych, psychologicznych i społecznych wpływa na zdrowie człowieka psychologia kliniczna (ang. clinical psychology ) dział psychologii stosowanej skoncentrowany na diagnozie i leczeniu zaburzeń psychicznych i zachowania psychologia poznawcza (ang. cognitive psychology ) dział psychologii skoncentrowany na badaniu procesów poznawczych, procesów myślenia oraz ich związków z doświadczeniami i działaniami poradnictwo psychologiczne (ang. psychological counselling ) dział psychologii skoncentrowany na wzmacnianiu emocjonalnych, społecznych, zawodowych i pozostałych aspektów życia osoby zdrowej psychicznie; nie jest psychoterapią! psychologia rozwojowa (ang. developmental psychology ) dział psychologii skoncentrowany na naukowym badaniu rozwoju człowieka w cyklu życia psychologia sądowa ( psychologia śledcza ) (ang. forensic psychology ) dział psychologii stosowanej skoncentrowany na stosowaniu teorii i praktyki psychologii w obszarach związanych z wymiarem sprawiedliwości psychologia osobowości (ang. personality psychology ) dział psychologii skoncentrowany na badaniu osobowości, tj. względnie stałych wzorców myślenia i cech warunkujących określone zachowania cechy osobowości (ang. personality trait) względnie stałe, charakterystyczne dla jednostki, ogólne tendencje do określonych zachowań, emocji i sądów, przejawiających się w różnych sytuacjach psychologia sportu i aktywności fizycznej (ang. psychology of sport and physical activity ) dział psychologii stosowanej skoncentrowany na interakcjach między czynnikami psychicznymi i emocjonalnymi a sprawnością fizyczną w sporcie, aktywnościach fizycznych i innych zajęciach ruchowych", "section": "Psychologia współczesna", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Kariera zawodowa psychologa Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć wymagania edukacyjne dotyczące kariery w środowisku akademickim Zrozumieć wymagania związane z karierą w środowisku akademickim Poznać możliwości kariery poza środowiskiem akademickim Tematyka, jakiej psychologowie podejmują się w pracy zawodowej, jest bardzo różnorodna. W Polsce prawo do wykonywania zawodu psychologa uzyskuje się jedynie po ukończeniu pięcioletnich magisterskich studiów psychologicznych (licencjat z psychologii jest niewystarczający, o czym mówi Ustawa z dnia 8 czerwca 2001 o zawodzie psychologa i samorządzie zawodowym psychologów). Jeśli zależy ci na karierze naukowej w tej dziedzinie, musisz uzyskać stopień doktora nauk społecznych w dziedzinie psychologii. Można go zdobyć na dwa sposoby: kontynuując naukę na czteroletnich studiach doktoranckich, kończących się one obroną pracy doktorskiej, lub doktoryzując się z tzw. „wolnej stopy”, tj. zajmując się wyłącznie badaniami naukowymi niezbędnymi do doktoratu oraz pisaniem pracy, bez udziału w zajęciach i bez świadczenia pracy dydaktycznej. Wymogi uzyskania stopnia doktora różnią się w zależności od kraju, a nawet od uczelni, przy czym zazwyczaj osoby ubiegające się o uzyskanie tego stopnia muszą napisać i obronić rozprawę doktorską. W Polsce dysertacja (ang. dissertation ) jest rozbudowaną pracą, zawierającą: opis tematu badawczego, wartości edukacyjnych i praktycznych wynikających z zajęcia się nim, szczegółową i rozbudowaną część teoretyczną (opis dostępnych badań i teorii stanowiących podstawę do określenia problemu badawczego doktoratu), wreszcie – opis własnych badań: ich założeń, hipotez i uzyskanych wyników. Wymogiem każdej pracy doktorskiej jest uzasadnienie jej wkładu w rozwój psychologii. Praca doktorska podlega obronie przed komisją złożoną z dwóch recenzentów, specjalistów w danej dziedzinie. Recenzenci mają prawo do pytań i uwag krytycznych, a doktorant – do odpowiadania na nie. Warunkiem przyznania stopnia doktora jest pozytywna opinia i rekomendacja wszystkich recenzentów ( ). Stopień doktora zazwyczaj przyznawany jest podczas uroczystości; świeżo upieczony doktor nakłada na siebie togę. (Źródło: Public Affairs Office Fort Wainwright). Po uzyskaniu stopnia doktora można się ubiegać o zatrudnienie na uczelni. Pracownicy naukowi zatrudnieni na uczelniach zazwyczaj dzielą swój czas zawodowy między prowadzenie badań, nauczanie i pracę na rzecz swojej instytucji (np. udział w różnych komisjach naukowych, wydawanie ekspertyz, publikację artykułów, recenzję innych prac naukowych etc.). Czas poświęcany każdemu z tych zadań jest bardzo różny w zależności od uczelni. Nierzadko pracownicy naukowi przenoszą się na kolejne uniwersytety, aby znaleźć dla siebie najlepsze środowisko akademickie. W poprzednim podrozdziale omówiono główne nurty psychologii, jakimi zajmują się wydziały psychologii w kraju; w związku z tym, w zależności od zdobytego doświadczenia, absolwent studiów psychologicznych może łączyć pracę naukową z inną specjalizacją praktyczną (np. psychologią kliniczną, psychologią biznesu etc.). Zapotrzebowanie na psychologów ze stopniem doktora na rynku pracy. Inne ścieżki kariery w środowisku akademickim Niekiedy na uczelniach brakuje pełnoetatowych pracowników naukowych, którzy mogliby poprowadzić oferowane przez te uczelnie kursy dydaktyczne. W takich przypadkach często zaprasza się wykładowców i nauczycieli z odpowiednim wykształceniem spoza uczelni, którzy zazwyczaj prowadzą działalność psychologiczną poza środowiskiem uniwersyteckim. Takie osoby nie zawsze muszą legitymować się stopniem doktora, wymaganym przez większość uczelni prowadzących 5-letni program studiów na kierunku psychologia. Ponadto wiele różnych wydziałów mających w swoim programie studiów zajęcia z psychologii poszukuje kadry do ich prowadzenia. Pewna grupa osób, które uzyskały stopień doktora, interesuje się prowadzeniem zajęć w środowisku akademickim, ale nie chce być dydaktykami. Osoby te mogą być zatrudniane na stanowiskach o charakterze wyłącznie badawczym. Takie możliwości oferują przede wszystkim duże uniwersytety prowadzące rozbudowaną działalność badawczą lub instytucje stricte badawcze (np. Polska Akademia Nauk). W niektórych obszarach psychologii osoby, które niedawno uzyskały stopień doktora, często szukają zatrudnienia w ramach programów rozwoju po zdobyciu stopnia naukowego doktora (ang. postdoctoral training programs ), tzw. post doc., dostępnych dla planujących dalszą karierę naukową. W praktyce polega to na tym, że osoby mające stopień naukowy doktora oraz doświadczenie akademickie zatrudniane są w ramach grantów do udziału w konkretnych projektach naukowych, mogących trwać nawet kilka lat. W większości przypadków po ukończeniu jednego lub dwóch takich programów można otrzymać propozycję stałego zatrudnienia na uczelni. Ścieżki kariery poza środowiskiem akademickim Psychologia zwykle kojarzy się z szeroko rozumianą ochroną zdrowia psychicznego, tj. pracą kliniczną z pacjentami (choć nie są to jedyne możliwości zawodowe po tych studiach). Osoby, które chcą rozpocząć praktykę w zakresie psychologii klinicznej, mogą wybrać specjalizację z psychologii klinicznej. Specjalizacja kliniczna jest jedną z głównych specjalizacji psychologii praktycznej. Zajmuje się profilaktyką, diagnostyką i terapią zaburzeń psychicznych oraz zaburzeń zachowania. W kręgu zainteresowań tej dziedziny psychologii leży przede wszystkim psychika człowieka chorego oraz mechanizmy związane z powstawaniem chorób i to, jak różne choroby wpływają na funkcjonowanie umysłu. Do uzyskania specjalizacji z tej dziedziny wymagany jest minimum rok praktycznej pracy na stanowisku psychologa w placówce ochrony zdrowia psychicznego. Następnie kandydat musi ukończyć czteroletnie studia podyplomowe z psychologii klinicznej oraz odbyć wielomiesięczne staże (trwające nawet 1,5 roku). Specjalizacja składa się z dwóch części: podstawowej i specjalizacyjnej. W bloku podstawowym osoba specjalizująca się zdobywa podstawową wiedzę oraz umiejętności, które dotyczą zastosowania psychologii klinicznej w czterech działach medycyny: 1) psychiatrii, 2) pediatrii, 3) neurologii i 4) chorobach somatycznych. W bloku szczegółowym osoba specjalizująca się wybiera jedną ze ścieżek specjalistycznych, aby pogłębić wiedzę i umiejętności szczegółowe, które są właściwe dla zaburzeń oraz chorób wybranego działu medycyny. Szczegółowy program kształcenia specjalizacji psychologia kliniczna określają wytyczne Ministerstwa Zdrowia (Ignaszak, 2016). Po jego ukończeniu i obronie uzyskujesz tytuł psychologa klinicznego (ang. clinical psychologist ). Inną możliwością specjalizacyjną jest psychoterapia. Jeśli interesuje cię praca psychoterapeuty, musisz zdobyć umiejętności i uprawnienia do prowadzenia psychoterapii – specjalistycznej metody leczenia problemów i dolegliwości, w przypadku których ważną rolę odgrywają czynniki psychiczne. Podkreślmy ważne i kluczowe rozróżnienie: psycholog nie jest psychoterapeutą. Psycholog to osoba, która ukończyła 5-letnie studia psychologiczne i obroniła magisterium. Studia psychologiczne mają przede wszystkim walor teoretyczny – przygotowują absolwenta do rozumienia zjawisk zachodzących w ludzkiej psychice, jednak zwykle uwzględniają jedynie kilka tygodni lub miesięcy praktyk (jeśli w ogóle). Osoba po studiach psychologicznych nie ma uprawnień ani tym bardziej umiejętności do prowadzenia psychoterapii! Psycholog kliniczny również nie jest psychoterapeutą, mimo że ukończył kilka lat specjalizacji. Psycholog kliniczny może oczywiście pracować w szpitalu, poradni zdrowia psychicznego czy ośrodku interwencji kryzysowej. Jego główne zadanie polega na wspieraniu i towarzyszeniu osobom w chorobie. Chodzi o wsparcie psychologiczne dla osób zmagających się z różnymi chorobami somatycznymi, które z definicji negatywnie wpływają na psychikę. Zaliczają się do nich zwłaszcza różne choroby przewlekłe, takie jak niewydolność serca, przewlekła obturacyjna choroba płuc, cukrzyca, choroby neurologiczne, nowotwory czy utrata sprawności ruchowej. Nierzadko psycholodzy kliniczni zajmują się prowadzeniem oddziaływań terapeutycznych – do tego jednak celu specjaliści z tej dziedziny muszą nabyć specjalistyczne uprawnienia. Aby zostać psychoterapeutą, musisz ukończyć całościowe, czteroletnie szkolenie z zakresu psychoterapii w jednej z wybranych, uznanych szkół psychoterapii – tj. posiadających dorobek praktyczny i/lub naukowy, w tym udokumentowane dowody naukowe na skuteczność prowadzenia psychoterapii w wybranym nurcie. W Polsce uznanych jest pięć szkół psychoterapii: psychodynamiczna, poznawczo-behawioralna, systemowa, humanistyczna oraz interpersonalna. Poza ukończeniem studiów z psychoterapii musisz spełnić szereg dodatkowych kryteriów: odbyć własną psychoterapię, prowadzić praktykę psychoterapeutyczną (zwykle minimum przez dwa lata), regularnie uczestniczyć w superwizji (przyglądać się własnej pracy klinicznej z bardziej doświadczonym specjalistą w celu wzbogacania własnych umiejętności pomocy) oraz zdać wymagane egzaminy i pozytywnie przejść ocenę prezentowanej pracy z pacjentem (przedstawienie opisu teoretycznego i nagrania sesji terapeutycznej z pacjentem). Co jeszcze warto wiedzieć o tej ścieżce kariery? Szkoła psychoterapii jest sporym wydatkiem. W realiach polskich jest to koszt rzędu 30–40 tys. złotych w ciągu czterech lat. W Polsce obecnie nie ma uregulowanej sytuacji prawnej dotyczącej wymagań, które musi spełniać osoba nazywająca siebie psychoterapeutą. Od kilku lat w opracowaniu jest ustawa o niektórych zawodach medycznych, lecz nie została jeszcze uchwalona. Projekt ustawy zakłada, iż zawód psychoterapeuty będzie mogła wykonywać „osoba, która ukończyła szkołę wyższą i uzyskała tytuł magistra lub magistra pielęgniarstwa lub lekarza, oraz ukończyła szkolenie podyplomowe w zakresie psychoterapii” (Ustawa z dnia 8 czerwca 2001 r. o zawodzie psychologa i samorządzie zawodowym psychologów, Dz. U. Nr 73, poz. 763). Ze względu na brak uchwalonej ustawy powstały pozaustawowe kryteria, które musi spełniać osoba, by mogła zajmować się psychoterapią – jest to ukończenie co najmniej 2 lat szkolenia psychoterapeutycznego oraz praca pod superwizją osoby posiadającej certyfikat superwizora psychoterapii. Na koniec warto dokonać także rozróżnienia między psychoterapeutą a psychiatrą. Psychiatra to absolwent studiów medycznych, z tytułem lekarza, w trakcie lub po ukończeniu podyplomowej specjalizacji z psychiatrii. Prawo do wykonywania zawodu (z nadaniem odpowiedniego numeru) lekarz otrzymuje po zakończeniu specjalizacji. Lekarz psychiatra posiada wymagane kwalifikacje do udzielania świadczeń zdrowotnych, w szczególności polegających na: badaniu stanu zdrowia, rozpoznawaniu chorób i zapobieganiu im, leczeniu i rehabilitacji chorych, udzielaniu porad lekarskich, a także wydawaniu opinii i orzeczeń lekarskich (art. 9 ust. 1 Ustawy z dnia 11 września 2015 r. o zdrowiu publicznym, Dz. U. z 2019 r. poz. 2365 oraz z 2020 r. poz. 322. Warto pamiętać, że praca po studiach psychologicznych to nie tylko praca stricte kliniczna. Obszarów, w których psycholog może znaleźć pracę, jest naprawdę sporo. Poniżej wymieniono niektóre: psycholog dziecięcy (praca w szkołach i innych placówkach edukacyjnych oraz w poradniach psychologiczno-pedagogicznych: wsparcie, diagnoza i profilaktyka trudności edukacyjnych, psychologicznych i socjalizacyjnych wśród dzieci) psycholog zwierząt – behawiorysta (praca ze zwierzętami towarzyszącymi człowiekowi, np. psami, końmi, kotami, w celu korygowania ich nieprawidłowych zachowań i nauki pożądanych umiejętności; praca z opiekunami zwierząt) psycholog sportu (praca ze sportowcami w celu poprawy m.in. ich motywacji oraz radzenia sobie ze stresem związanym z aktywnością sportową, zawodami etc.) psycholog zdrowia (profilaktyka i promocja zdrowia, np. kształtowanie zdrowych nawyków żywieniowych, aktywności fizycznej etc.; praca z problemami w tym zakresie) psycholog pracy (rekrutacja, diagnoza i rozwój pracowników, np. prowadzenie działań nakierowanych na rozpoznanie i wspieranie specyficznych potrzeb danego zespołu, organizacji etc.) psycholog transportu (diagnostyka psychologiczna i psychomotoryczna pod kątem możliwości prowadzenia pojazdów mechanicznych) szkoleniowiec – coach (szeroko rozumiane wspieranie rozwoju osobowości, np. poprzez warsztaty rozwijające umiejętności komunikacyjne, interpersonalne, asertywność, radzenie sobie ze stresem, zarządzanie emocjami, zarządzanie czasem etc.; coach z definicji pracuje z osobami zdrowymi, bez zaburzeń psychicznych) diagnosta (diagnozuje i opisuje funkcjonowanie psychiczne, np. przeprowadza specjalistyczne testy psychologiczne w celu diagnozy stanu zdrowia psychicznego w szpitalach i innych placówkach ochrony zdrowia psychicznego; sporządza z nich raporty, nie zajmuje się terapią!) psycholog sądowy (wydaje opinie psychologiczne, które następnie mogą zostać wykorzystane przez sąd do orzekania wyroków w sprawach rodzinnych, alimentacyjnych, rozwodowych i innych; może pracować jako biegły sądowy). Podsumowanie Aby rozpocząć karierę naukową na uczelni, konieczne jest posiadanie stopnia doktora. Jednakże istnieje szereg pozaakademickich ścieżek kariery dostępnych dla absolwentów psychologii. Umiejętności nabyte w trakcie edukacji uniwersyteckiej pierwszego stopnia w zakresie psychologii są bardzo przydatne w wielu miejscach pracy. Należy pamiętać, że studia psychologiczne dają przede wszystkim wiedzę teoretyczną. Dalszy rozwój praktyczny w dziedzinie psychologii wymaga ukończenia specjalistycznych kursów i zdobycia umiejętności, co wymaga dużego nakładu czasu, wysiłku i finansów. Review Questions Jeżeli ktoś chce zostać wykładowcą psychologii na uniwersytecie prowadzącym studia 5-letnie, musi posiadać tytuł/stopień ________ psychologii licencjata w zakresie nauk ścisłych licencjata w zakresie nauk humanistycznych magistra doktora nauk społecznych D Aby pracować w charakterze psychoterapeuty, należy ukończyć studia psychologiczne posiadać tytuł naukowy doktora ukończyć podyplomowe szkolenie z psychoterapii prowadzić badania w zakresie psychoterapii C Critical Thinking Questions Dlaczego uniwersyteckie zajęcia z psychologii są tak przydatne w wielu zawodach? Studia psychologiczne z jednej strony wykształcają umiejętność krytycznego myślenia, w tym analizowania przedstawionych argumentów i wyników badań. Psychologia jako dziedzina nauki i wiedzy o człowieku w bardzo szerokim zakresie wyjaśnia funkcjonowanie jednostki, grupy i zbiorowości. Tym samym wiedza psychologiczna pomaga lepiej rozumieć świat. Ponadto na zajęciach praktycznych rozwijane są podstawowe umiejętności psychologiczne (m.in. umiejętności komunikacyjne, asertywność, aktywne słuchanie, empatia etc.). Przydaje się ona w wielu środowiskach pracy. Personal Application Question Która z opisanych ścieżek kariery wydaje ci się najciekawsza? dysertacja (ang. dissertation pisemna praca naukowa (praca dyplomowa) przygotowana w celu uzyskania stopnia naukowego doktor nauk humanistycznych, dr (ang. doctor, Ph. D. ) stopień akademicki nadawany w wielu dyscyplinach naukowych na uczelniach wyższych program rozwoju po zdobyciu stopnia naukowego doktora (ang. post doc) umożliwia młodym naukowcom kontynuowanie rozwoju programów badawczych i pogłębianie umiejętności badawczych pod nadzorem innych specjalistów w danej dziedzinie; najczęściej ma charakter zatrudnienia w ramach konkretnego programu badawczego, na który uzyskano finansowanie (grant) psycholog (ang. psychologist ) absolwent 5-letnich studiów psychologicznych, który obronił tytuł magistra psychologii; posiada uprawnienia do wykonywania usług psychologicznych, tj. do: diagnozy psychologicznej, opiniowania, orzekania, udzielania pomocy psychologicznej, prowadzenia badań naukowych w dziedzinie psychologii lub działalności dydaktycznej w tym zakresie psycholog kliniczny (ang. clinical psychologist) specjalizacja, w której główny nacisk jest kładziony na pracę z pacjentem w kontekście klinicznym; psycholog, który ukończył dodatkowe 4- lub 5-letnie szkolenie specjalistyczne po zakończeniu studiów psychologicznych, jest profesjonalnie przygotowany do profilaktyki, diagnostyki i wsparcia psychologicznego (nie terapii!) zaburzeń psychicznych występujących w chorobach somatycznych psychoterapeuta (ang. psychotherapist ) absolwent 4-letnich podyplomowych studiów z psychoterapii; musi posiadać wykształcenie wyższe na poziomie magisterskim, choć niekoniecznie psychologiczne; poza odbyciem studiów podyplomowych do uzyskania tytułu zawodowego psychoterapeuty konieczne jest spełnienie szeregu wymogów (m.in. własna psychoterapia, dwuletni staż pracy z pacjentami, regularna superwizja, zdanie wymaganych egzaminów)", "section": "Kariera zawodowa psychologa", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Jak treści telewizyjne wpływają na zachowanie dzieci? (Źródło: modyfikacja pracy „antisocialtory”/Flickr). Zastanawiało cię kiedyś, czy przemoc, którą oglądasz w telewizji, wpływa na twoje zachowanie? Czy po obejrzeniu w telewizji brutalnych scen jesteśmy bardziej skłonni do agresywnych zachowań w rzeczywistym świecie? A może oglądanie fikcyjnej przemocy zmniejsza w nas skłonność do agresji i sprzyja pokojowemu nastawieniu? Wreszcie – jaki wpływ na dzieci mają przekazy medialne? Psycholog zainteresowany wpływem scen przemocy w telewizji na zachowanie może zadawać sobie właśnie takie pytania. Od starożytności ludzie zastanawiają się nad wpływem innowacji na nasze zachowania i procesy myślowe. Na przykład grecki filozof Sokrates bał się, że pismo – będące wówczas innowacją – zmniejszy zdolność ludzi do zapamiętywania, ponieważ będą oni polegać na pisemnych notatkach zamiast na swojej pamięci. W obecnym świecie szybko zmieniających się technologii wciąż pojawiają się nowe pytania o ich wpływ. Zastanawiamy się, jakie następstwa będzie miało korzystanie z towarzyszących nam na co dzień technologii – stosowanych w samochodach (np. nawigacji) i domach (inteligentnych systemów zarządzania domem) czy pozwalających spędzać czas w wirtualnej rzeczywistości (smartfonów, tabletów, komputerów i konsol do gier). Opinie różnych osób na te tematy, jakkolwiek stanowcze, mogą się od siebie diametralnie różnić. W jaki sposób możemy poznać odpowiedzi oparte nie na opiniach, lecz na obiektywnych faktach, na powyższe pytania? Z pomocą przychodzą wyniki badań psychologicznych. References American Cancer Society. (n.d.). History of the cancer prevention studies . Retrieved from http://www.cancer.org/research/researchtopreventcancer/history-cancer-prevention-study. Arnett, J. (2008). The neglected 95%: Why American psychology needs to become less American. American Psychologist, 63 (7) , 602–614. 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(2013, May 13). Same-sex marriage support solidifies above 50% in U.S. Gallup Politics. Retrieved from http://www.gallup.com/poll/162398/sex-marriage-support-solidifies-above.aspx. Kobrin, J. L., Patterson, B. F., Shaw, E. J., Mattern, K. D., & Barbuti, S. M. (2008). Validity of the SAT for predicting first-year college grade point average (Research Report No. 2008-5). Retrieved from https://research.collegeboard.org/sites/default/files/publications/2012/7/researchreport-2008-5-validity-sat-predicting-first-year-college-grade-point-average.pdf. Kosydar-Bochenek, J., Lewandowski, B., Ozga, D., Woźniak, K. (2016). Przegląd narzędzi diagnostycznych i metod pomiaru zespołu stresu pourazowego (Posttraumatic Stress Disorder, PTSD) z możliwością wykorzystania wśród ratowników medycznych. Pielegniarstwo XXI wieku, 15, 45-49. Lewin, T. (2014, March 5). A new SAT aims to realign with schoolwork. New York Times . Retreived from http://www.nytimes.com/2014/03/06/education/major-changes-in-sat-announced-by-college-board.html. Lowcock, E. C., Cotterchio, M., Anderson, L. N., Boucher, B. A., & El-Sohemy, A. (2013). High coffee intake, but not caffeine, is associated with reduced estrogen receptor negative and postmenopausal breast cancer risk with no effect modification by CYP1A2 genotype. Nutrition and Cancer, 65 (3), 398–409. doi:10.1080/01635581.2013.768348. Lowry, M., Dean, K., & Manders, K. (2010). The link between sleep quantity and academic performance for the college student. Sentience: The University of Minnesota Undergraduate Journal of Psychology, 3 (Spring), 16–19. Retrieved from http://www.psych.umn.edu/sentience/files/SENTIENCE_Vol3.pdf. Lynam, D. R., Milich, R., Zimmerman, R., Novak, S. P., Logan, T. K., Martin, C., . . . Clayton, R. (1999). Project DARE: No effects at 10-year follow-up. Journal of Consulting and Clinical Psychology, 67 (4), 590–593. doi:10.1037/0022-006X.67.4.590. Massimini, M., Peterson, M. (2009). Information and Communication Technology: Affects on U.S. College Students. Cyberpsychology: Journal of Psychosocial Research on Cyberspace, 3, Article 3. McKie, R. (2010, June 26). Chimps with everything: Jane Goodall’s 50 years in the jungle. The Guardian . Retrieved from http://www.theguardian.com/science/2010/jun/27/jane-goodall-chimps-africa-interview. Narodowe Centrum Nauki (2016). Zalecenia rady narodowego centrum nauki dotyczące badań z udziałem ludzi. https://www.ncn.gov.pl/sites/default/files/pliki/2016_zalecenia_Rady_NCN_dot_etyki_badan.pdf. Neil, A. L., Christensen, H. (2009). Efficacy and Effectiveness of School-Based Prevention and Early Intervention Programs for Anxiety. Clinical Psychology Review, 29, 208- 215. Offit, P. (2008). Autism's false prophets: Bad science, risky medicine, and the search for a cure . New York: Columbia University Press. Perkins, H. W., Haines, M. P., & Rice, R. (2005). Misperceiving the college drinking norm and related problems: A nationwide study of exposure to prevention information, perceived norms and student alcohol misuse. J. Stud. Alcohol, 66 (4), 470–478. Peters-Scheffer, N., Didden, R., Korzilius, H., Sturmey, P. (2011). A meta-analytic study on the effectiveness of comprehensive ABA-based early intervention programs for children with autism spectrum disorders. Research in Autism Spectrum Disorders, 5, 60-69. Rodgers, J. L., Shrout, P. E. (2018). Psychology’s replication crisis as scientific opportunity: A précis for policymakers. Policy Insights from the Behavioral and Brain Sciences, 5, 134–141. Rothstein, J. M. (2004). College performance predictions and the SAT. Journal of Econometrics, 121 , 297–317. Rotton, J., & Kelly, I. W. (1985). Much ado about the full moon: A meta-analysis of lunar-lunacy research. Psychological Bulletin, 97 (2), 286–306. doi:10.1037/0033-2909.97.2.286. Santelices, M. V., & Wilson, M. (2010). Unfair treatment? The case of Freedle, the SAT, and the standardization approach to differential item functioning. Harvard Education Review, 80 , 106–134. Sears, D. O. (1986). College sophomores in the laboratory: Influences of a narrow data base on social psychology’s view of human nature. Journal of Personality and Social Psychology, 51 , 515–530. Shaw, Ch., M., Tan, S. A. (2015). Integration of Mobile Technology in Educational Materials Improves Participation: Creation of a Novel Smartphone Application for Resident Education. Journal of Surgical Education 72, 670 - 673. Shrout, P. E, Rodgers, J. L. (2018). Psychology, Science, and Knowledge Construction: Broadening Perspectives From the Replication Crisis. Annual Review of Psychology, 4, 487-510. Tuskegee University. (n.d.). About the USPHS Syphilis Study . Retrieved from http://www.tuskegee.edu/about_us/centers_of_excellence/bioethics_center/about_the_usphs_syphilis_study.aspx. Weiss DS, Marmar CR. The impact of event scale – revised. In: Wilson JP, Keane TM, editors. Assessing psychological trauma and PTSD. New York: Guilford Press; 1997. pp. 399–411. Żukowski, Ł. (2017). Etyczne i prawne aspekty dopuszczalności przeprowadzania doświadczeń na zwierzętach. Przegląd Prawa i Administracji, Tom 108: Prawna ochrona zwierząt, 141 - 156.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Dlaczego badania są ważne? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, w jaki sposób badania naukowe odpowiadają na pytania dotyczące zachowania Omówić, w jaki sposób badania naukowe wpływają na politykę publiczną Docenić znaczenie badań naukowych w podejmowaniu osobistych decyzji Badania naukowe są kluczowym narzędziem pozwalającym zrozumieć złożony świat wokół nas. Bez badań musielibyśmy polegać wyłącznie na intuicji, autorytecie innych lub szczęśliwym trafie. Mimo że wiele osób wierzy w swoje zdolności obiektywnej obserwacji i rozumienia otaczającego świata, w historii zapisały się liczne przykłady, jak bardzo potrafimy się mylić, gdy ignorujemy konieczność poparcia naszych twierdzeń dowodami. Przez stulecia ludzie byli przekonani, że Słońce krąży wokół płaskiej Ziemi, że kontynenty nie przemieszczają się oraz że choroby psychiczne spowodowane są opętaniem ( ). Systematyczne badania naukowe pozwalają nam wyzbyć się powziętych z góry przekonań czy przesądów oraz zyskać obiektywny obraz samych siebie i otaczającego nas świata. Niektórzy nasi przodkowie w różnych stronach świata przez wiele stuleci wierzyli, że trepanacja – wykonywanie w czaszce otworu takiego jak powyżej – umożliwia złym duchom opuszczenie ciała, a co za tym idzie, wyleczenie z choroby psychicznej lub innych zaburzeń. (Źródło: „taiproject”/Flickr). Celem wszystkich naukowców jest lepsze zrozumienie świata. Psychologowie skupiają uwagę na zrozumieniu zachowań oraz procesów poznawczych (umysłu) i fizjologicznych (ciała), które leżą u ich podstaw. Inaczej niż w przypadku części metod stosowanych w celu zrozumienia zachowania (np. intuicji, doświadczeń osobistych), badania naukowe muszą dostarczać dowodów potwierdzających dane twierdzenia. Wiedza naukowa jest empiryczna ( doświadczalna ) (ang. empirical ), tzn. oparta na obiektywnych, konkretnych dowodach, które można obserwować wielokrotnie, niezależnie od tego, kim jest obserwator. Choć możemy postrzegać zachowanie, to umysłu już nie. Jeśli ktoś płacze, widzimy jego zachowanie, jednak przyczynę tego zachowania stwierdzić jest dużo trudniej. Czy obserwowana osoba płacze ze smutku, z bólu czy ze szczęścia? Czasem możemy poznać przyczynę czyjegoś zachowania, gdy po prostu zapytamy: „Dlaczego płaczesz?”. Jednak zdarzają się sytuacje, w których dana osoba albo nie czuje się swobodnie, odpowiadając na takie pytanie, albo nie chce bądź nie jest w stanie na nie odpowiedzieć. Niemowlę na przykład nie wyjaśni nam, dlaczego płacze. Z tego powodu psycholog musi wykazać się kreatywnością w wyjaśnianiu powodów ludzkiego zachowania. Ten rozdział opisuje, jak tworzy się naukę i jak ważną rolę odgrywa ona w podejmowaniu decyzji zarówno w życiu osobistym, jak i w sferze publicznej. Zastosowanie wyników badań Wskazanie, które teorie są uznawane przez środowisko naukowe, a które nie, może być trudne, szczególnie w tak rozległej dziedzinie jak psychologia. Obecnie mamy dostęp do ogromnej ilości informacji. Poszukiwanie danych dotyczących dowolnego tematu badawczego w internecie może nam przynieść wiele sprzecznych ze sobą wyników badań. W takich przypadkach środowisko naukowe poszukuje wspólnego stanowiska, ale zanim zostanie ono osiągnięte, może minąć sporo czasu (i wiele kolejnych badań). Intensywny rozwój nowych technologii skłania badaczy do pytania, czy w ostatecznym rozrachunku korzystanie z nich pomaga nam, czy szkodzi. Wnioski naukowe są tu niejednoznaczne. Przykładowo, badanie aplikacji na smartfony przeznaczonej dla studentów odbywających staż z chirurgii wykazało, że korzystanie z niej może zwiększyć ich zaangażowanie i poprawić wyniki testów (Shaw i Tan, 2015). Z kolei badanie innej aplikacji ujawniło, że negatywnie wpływała na sen, komunikację oraz zarządzanie czasem korzystających z niej studentów na studiach licencjackich (Massimini i Peterson, 2009). Oczywiście, by wyciągnąć rzetelne wnioski, należałoby porównać parametry obu aplikacji, sposób ich użytkowania czy wreszcie charakterystykę samych studentów. Udzielenie obiektywnej odpowiedzi na pytanie o wpływ nowych technologii na wiedzę, uczenie się i zdrowie psychiczne studentów wymaga przeprowadzenia dalszych badań. Oznacza to, że powinniśmy krytycznie podchodzić do napotykanych informacji i zachowywać zdrowy sceptycyzm. Każdą opinię powinniśmy oceniać pod wieloma względami: jaką specjalistyczną wiedzą dysponuje osoba, która ją wygłasza, co może zyskać, gdy teza okaże się prawdziwa, czy przedstawione dowody potwierdzają tezę oraz co na ten temat sądzą inni naukowcy. Staje się to szczególnie ważne, gdy weźmiemy pod uwagę, ile informacji w reklamach czy w internecie przedstawianych jest jako „udowodnione naukowo”, podczas gdy są to tak naprawdę tylko opinie kilku osób próbujących sprzedać produkt lub nakłonić nas do przyjęcia ich punktu widzenia. Powinniśmy być świadomymi odbiorcami udostępnianych nam informacji, ponieważ decyzje podejmowane na ich podstawie mają znaczące konsekwencje. Mogą np. wpływać na politykę i wydatki publiczne. Wyobraź sobie, że wybrano cię na prezydenta miasta i masz za zadanie zaplanować wydatki w budżecie. Musisz m.in. zdecydować, czy kontynuować finansowane wcześniej programy interwencyjne pomagające dzieciom pochodzącym ze środowisk zagrożonych marginalizacją społeczną. Dzieci te mają specjalne potrzeby lub mierzą się z innymi ograniczeniami. Wspierające je programy obejmują szeroki zakres usług mających za zadanie optymalizację rozwoju dzieci i osiągnięcie przez nie sukcesu w szkole i w późniejszym życiu. Chociaż założenia tych programów brzmią atrakcyjnie, to przed wyłożeniem na nie pieniędzy publicznych chcesz mieć pewność, że okażą się także skuteczne. Tu z pomocą przychodzą psychologowie i inni naukowcy, którzy przeprowadzili wiele badań potwierdzających skuteczność takich programów (Neil i Christensen, 2009; Peters-Scheffer et al., 2011). Konkretne programy mogą różnić się skutecznością. Ich krótkoterminowe efekty są wyraźniej widoczne, istnieją jednak przesłanki, by wierzyć, że wiele z nich przynosi uczestnikom również długoterminowe korzyści (Barnett, 2011). Jako odpowiedzialny zarządca miasta będziesz zapewne poszukiwać wyników badań, aby dowiedzieć się, które programy są najbardziej skuteczne. Jakie założenia musi spełniać efektywny program wsparcia? Zapoznanie się z obiektywnymi dowodami lepiej przygotowuje do podjęcia decyzji, na który z programów przeznaczyć środki publiczne. Korzystanie z badań naukowych przy podejmowaniu decyzji jest pomocne dla każdego. Wyobraź sobie, że twoja przyjaciółka właśnie dowiedziała się, że ma raka piersi lub że u któregoś z członków twojej rodziny zdiagnozowano autyzm. W obu przypadkach zapewne zechcesz dowiedzieć się, jakie metody leczenia są najskuteczniejsze i wywołują najmniej działań niepożądanych. Jak to zrobisz? Zapewne porozmawiasz ze swoim lekarzem i omówisz z nim wyniki badań naukowych dotyczących różnych metod leczenia. Oczywiście będziesz zachowywać krytyczne spojrzenie i upewnisz się, że w miarę możliwości posiadasz wszystkie najważniejsze informacje. To badania naukowe pozwalają nam odróżnić fakty od opinii. Fakt (ang. fact ) to możliwa do zaobserwowania rzeczywistość, a opinia ( pogląd ) (ang. opinion ) to osobiste osądy, wnioski lub nastawienie badacza, które mogą być trafne lub nie. W społeczności naukowej fakty można określić, posługując się wyłącznie dowodami zebranymi w badaniach empirycznych. Badania naukowe jako proces Wiedza naukowa rozwija się w procesie zwanym metodą naukową (ang. scientific method ). Teorie i hipotezy są konfrontowane z rzeczywistością (podczas obserwacji empirycznych). Obserwacje te rodzą nowe idee, które następnie również konfrontowane są z rzeczywistością i tak dalej. W tym rozumieniu proces naukowy jest cykliczny. W tym cyklu posługujemy się dwoma rodzajami rozumowania: dedukcją i indukcją. W rozumowaniu dedukcyjnym ( dedukcji ) (ang. deductive reasoning ) pomysły sprawdzane są empirycznie; w rozumowaniu indukcyjnym (ang. inductive reasoning ) empiryczne obserwacje prowadzą do powstania nowych hipotez lub założeń ( ). Te procesy są nierozłączne niczym wdech i wydech, jednak różne podejścia naukowe kładą różny nacisk na dedukcję i indukcję. Badania psychologiczne oparte są na rozumowaniu indukcyjnym i dedukcyjnym. W nauce rozumowanie dedukcyjne zaczyna się od uogólnienia – hipotezy, na której podstawie wyciągamy logiczne wnioski o otaczającym nas świecie. Jeśli hipoteza jest prawdziwa, wówczas logiczne wnioski wynikające z rozumowania dedukcyjnego również będą prawdziwe. Wywód oparty na rozumowaniu dedukcyjnym mógłby wyglądać następująco: wszystkie organizmy żywe potrzebują energii do życia (to nasza hipoteza). Kaczki są organizmami żywymi. Tym samym kaczki potrzebują energii do życia (logiczny wniosek). W tym przykładzie hipoteza jest prawdziwa, tym samym wniosek też jest prawdziwy. Jednak czasami błędna hipoteza może prowadzić do logicznego, lecz błędnego wniosku. Rozważ taki wywód: wszystkie ptaki latają (błędna przesłanka). Struś jest ptakiem. Wnioskujemy zatem, że struś potrafi latać. Naukowcy wykorzystują rozumowanie dedukcyjne, by empirycznie sprawdzić swoje hipotezy. Wracając do powyższego przykładu, badacze mogliby opracować badanie, by przetestować następującą hipotezę: jeśli każdy żywy organizm potrzebuje energii do życia, kaczki również będą potrzebowały energii do życia. Rozumowanie dedukcyjne zaczyna się od uogólnienia, które jest konfrontowane z obserwacjami rzeczywistości; rozumowanie indukcyjne zaś działa w odwrotnym kierunku. Rozumowanie indukcyjne wykorzystuje obserwacje empiryczne w celu stworzenia szerokiego uogólnienia. W przeciwieństwie do rozumowania dedukcyjnego, konkluzje sformułowane w ramach rozumowania indukcyjnego mogą być prawdziwe lub nie niezależnie od prawdziwości obserwacji, na których zostały oparte. Na przykład stwierdzasz, że twoje ulubione owoce – jabłka, banany i pomarańcze – rosną na drzewach; tym samym zakładasz, że wszystkie owoce rosną na drzewach. To przykład rozumowania indukcyjnego. Oczywiście istnienie truskawek, porzeczek i kiwi dowodzi, że to uogólnienie nie jest prawdziwe, mimo że zostało oparte na wielu bezpośrednich obserwacjach. Naukowcy wykorzystują rozumowanie indukcyjne do formułowania teorii, które generują hipotezy, a te z kolei są sprawdzane przez rozumowanie dedukcyjne. Tym samym nauka oparta jest zarówno na procesach dedukcyjnych, jak i indukcyjnych. Na przykład studia (opisy) przypadków, o których przeczytasz w następnym podrozdziale, są w przeważającym stopniu oparte na obserwacjach empirycznych. Zatem są ściśle powiązane z procesami indukcyjnymi, ponieważ badacze zbierają ogromne ilości obserwacji i szukają pośród tych danych interesujących reguł (nowych idei). Badania eksperymentalne zaś kładą nacisk na rozumowanie dedukcyjne. Powiedzieliśmy, że teorie i hipotezy to idee, ale jakiego rodzaju? Teoria (ang. theory ) to rozbudowany zbiór przemyśleń, proponujących wyjaśnienie obserwowanych zjawisk. Teorie są wielokrotnie konfrontowane z rzeczywistością, ale zazwyczaj są zbyt rozbudowane, by można było je sprawdzić od razu w całości; dlatego badacze stawiają hipotezy, by przetestować wybrane aspekty (części) danej teorii. Hipoteza (ang. hypothesis ) to możliwe do zweryfikowania stwierdzenie określające, jaka zmiana zajdzie w otaczającym świecie, jeśli nasz pomysł okaże się prawdziwy. Hipoteza często ujmowana jest w formę stwierdzenia (np. „Jeśli będę się uczyć całą noc, dostanę pozytywną ocenę z egzaminu”). Hipotezy są niezwykle ważne, ponieważ stanowią pomost między sferą idei a rzeczywistością. W trakcie testowania konkretnych hipotez teorie są modyfikowane i doprecyzowywane, by odzwierciedlały i uwzględniały wyniki testów ( ). Metoda naukowa polega na stawianiu hipotez, przeprowadzaniu badań i tworzeniu lub modyfikowaniu teorii w oparciu o wyniki. By przekonać się, jak funkcjonuje ten proces, rozważmy konkretną teorię oraz hipotezę, którą można postawić w oparciu o nią. Jak przeczytasz w następnym rozdziale, teoria emocji Jamesa-Langego zakłada, że emocje jako doświadczenia psychiczne są wynikiem fizjologicznego pobudzenia kojarzonego ze stanem emocjonalnym. Wyobraź sobie, że wychodząc z domu, widzisz na chodniku agresywnego węża. Twoje serce zaczyna bić szybciej i robi ci się niedobrze. Zgodnie z teorią Jamesa-Langego te fizjologiczne zmiany wywołałyby u ciebie poczucie strachu. Na podstawie tej teorii można postawić hipotezę, że osoba nieodczuwająca fizjologicznego pobudzenia wywołanego widokiem węża nie doświadczy strachu. Każda hipoteza naukowa jest możliwa do podważenia ( falsyfikowalna ) (ang. falsifiable ), tj. można udowodnić, że nie jest prawdziwa. Zapewne pamiętasz z pierwszego rozdziału, że Zygmunt Freud (1856–1939) miał wiele pomysłów na wyjaśnienie ludzkich zachowań ( ). Jednak idee te są krytykowane, ponieważ wiele z nich nie jest falsyfikowalnych, np. trudno wyobrazić sobie badanie empiryczne, które obaliłoby (lub potwierdziło) istnienie id, ego i superego: trzech aspektów osobowości opisanych we Freudowskich teoriach. Mimo to teorie Freuda są bardzo często przedstawiane w podręcznikach do psychologii ze względu na ich znaczenie w historii psychologii osobowości i psychoterapii, pozostają również podwalinami współczesnych form terapii. Wiele aspektów teorii (a) Freuda, na przykład (b) podział osobowości na id, ego i superego, jest krytykowanych jako nienaukowe, ponieważ nie są falsyfikowalne. W szerszym ujęciu poglądy Freuda stanowią jednak dziś punkt wyjścia dla wielu psychologicznych przemyśleń, na przykład nad nieświadomą naturą większości psychologicznych procesów. W przeciwieństwie do teorii Freuda, teoria Jamesa-Langego pozwala na postawienie falsyfikowalnych hipotez, na przykład przedstawionej poniżej. Niektóre osoby z ciężkimi uszkodzeniami kręgosłupa nie są w stanie poczuć tych reakcji organizmu, które często towarzyszą emocjonalnym doświadczeniom. Tym samym moglibyśmy przetestować naszą hipotezę, określając, w jaki sposób różnią się doświadczenia osób potrafiących odczuć fizjologiczne pobudzenie od doświadczeń osób, które takiego pobudzenia nie odczuwają. Takie badanie naukowe zostało przeprowadzone. Osoby niemogące poczuć pobudzenia fizjologicznego nadal odczuwały emocje, aczkolwiek były one mniej intensywne niż u osób zdrowych (Chwalisz et al., 1988). Uzależnienie zasadności danej teorii od możliwości jej falsyfikacji pozwala mieć większą pewność co do jej rzetelności. Zazwyczaj informacja zostanie wielokrotnie sprawdzona, zanim zaakceptuje ją społeczność naukowa. Summary Naukowcy starają się zrozumieć i wyjaśnić funkcjonowanie otaczającego nas świata. W tym celu formułują teorie, na podstawie których można postawić sprawdzalne (falsyfikowalne) hipotezy. Teorie, które zostaną pozytywnie zweryfikowane, są zachowywane i doprecyzowywane, a te, na podstawie których sformułowano hipotezy, które w badaniach empirycznych okazały się błędne, są porzucane lub modyfikowane. W ten sposób badania naukowe pozwalają naukowcom odróżnić fakty od zwykłych opinii. Sprawdzone informacje będące wynikiem badań pomagają w podjęciu mądrych decyzji, zarówno w sferze publicznej, jak i prywatnej. Review Questions Hipotezy naukowe są ________ i falsyfikowalne. obserwowalne oryginalne możliwe do udowodnienia możliwe do testowania D ________ są definiowane jako obserwowalna rzeczywistość. Zachowania Fakty Opinie Teorie B Wiedza naukowa jest ________. intuicyjna empiryczna definitywna subiektywna B Krytyka teorii Freuda wynika z tego, że ________. były zbyt ograniczone były zbyt bulwersujące były zbyt ogólne nie były sprawdzalne D Critical Thinking Questions Metoda naukowa jest często opisywana jako samokorygująca i systematyczna (ang. self-correcting and cyclical ). Krótko opisz, w jaki sposób rozumiesz samokorygujący i systematyczny charakter metody naukowej. Systematyczność i samokorekcja metody naukowej wynikają przede wszystkim z empirycznej natury nauki. Teorie są próbami wyjaśnienia zjawisk w otaczającym nas świecie. Na podstawie teorii stawiamy konkretne hipotezy, które są następnie weryfikowane. W efekcie zostaną zmodyfikowane lub doprecyzowane, by ponownie postawić na ich podstawie hipotezy, które zostaną ponownie przetestowane. Taki cykliczny proces umożliwia otrzymanie coraz dokładniejszych (i przypuszczalnie prawdziwych) informacji. Specjaliści zajmujący się zdrowiem przestrzegają przed ogromną liczbą problemów zdrowotnych wynikających z otyłości. Dlatego, co zrozumiałe, wiele osób chce schudnąć, by osiągnąć odpowiednią masę ciała. Na rynku istnieje wiele programów, usług i produktów, które pomagają osobom pragnącym zrzucić kilogramy. Jeśli twój przyjaciel rozważałby kupno takiego produktu czy usługi albo wzięcie udziału w takim programie, w jaki sposób upewnisz się, że jest w pełni świadomy potencjalnych konsekwencji swojej decyzji? Jakiego typu informacje byłyby dla ciebie konieczne do podjęcia decyzji o zmianie trybu życia i przeznaczeniu na ten cel pieniędzy? Przyjaciel powinien przede wszystkim krytycznie odnieść się do przekazywanej wiedzy. Pamiętajmy, że celem producentów środków czy programów obiecujących utratę wagi jest zysk. Jeśli dany środek jest reklamowany jako skuteczny, co stanowi potwierdzenie tej skuteczności? Czy istnieją obiektywne dane naukowe, czy jedynie subiektywne opinie? Jeśli reklamujący produkt/program odnoszą się do danych naukowych, jakiego typu są te dane? Czy mówią one o związku przyczynowo - skutkowym, czy o współwystępowaniu (korelacji)? Na jak licznej próbie przeprowadzone były badania? Czy środki na schudnięcie obiecują cudowny efekt bez twojego wysiłku? Każde proste rozwiązanie złożonych problemów powinno wzmóc naszą czujność. rozumowanie dedukcyjne ( dedukcja ) (ang. deductive reasoning ) wnioski są przewidywane na podstawie przesłanki ogólnej empiryczny ( doświadczalny ) (ang. empirical ) oparte na obiektywnych, konkretnych dowodach, które można obserwować wielokrotnie, niezależnie od tego, kto jest obserwatorem fakt (ang. fact ) obiektywna i weryfikowalna obserwacja ustalona na podstawie dowodów zebranych w badaniach empirycznych falsyfikowalna hipoteza ( falsyfikowalne ) (ang. falsifiable ) uprzednio wysnute wnioski, które mogą być obalone przez wyniki eksperymentu hipoteza (ang. hypothesis ) wstępne i możliwe do sprawdzenia stwierdzenie o związku między co najmniej dwiema zmiennymi rozumowanie indukcyjne (ang. inductive reasoning ) wyciąganie wniosków na podstawie obserwacji opinia ( pogląd ) (ang. opinion ) osobiste osądy, wnioski lub nastawienia badacza, które mogą, lecz nie muszą być trafne teoria (ang. theory ) dobrze rozbudowany zbiór przemyśleń proponujących wyjaśnienie obserwowanych zjawisk", "section": "Dlaczego badania są ważne?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Metody badawcze Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać różne metody badawcze stosowane przez psychologów Omówić mocne i słabe strony studiów przypadków, obserwacji naturalistycznych, ankiet i badań archiwalnych Porównać podejście do badań podłużnych i przekrojowych Porównać i skontrastować korelację i przyczynowość Istnieje wiele metod badawczych, którymi psychologowie mogą się posłużyć, by zrozumieć, opisać i wyjaśnić zachowania oraz powiązane z nimi procesy poznawcze i biologiczne. Niektóre metody opierają się na obserwacji. Inne zakładają interakcję między badaczem a badanymi i mogą przybierać różne formy: od serii prostych pytań, przez obszerne wywiady, po w pełni kontrolowane eksperymenty. Każda z tych metod badawczych ma swoje wady i zalety i każda jest odpowiednia dla konkretnych zagadnień. Na przykład badania opierające się głównie na obserwacji generują ogromną ilość informacji, lecz możliwość odniesienia tych informacji do większej populacji jest ograniczona ze względu na mały rozmiar próby. Badania oparte na ankietach umożliwiają badaczom uzyskanie danych od relatywnie dużej próby, dzięki czemu łatwiej generalizować wnioski i odnosić do większej populacji. Jednak dane zebrane w ramach ankiet mają swoje ograniczenia i są narażone na problemy typowe dla danych deklaratywnych (np. badani mogą mijać się z prawdą). Niektórzy naukowcy prowadzą badania archiwalne, wykorzystując istniejące zapisy. Ten dość niedrogi sposób pozyskiwania danych może pozwolić zgłębić wiele zagadnień, jednak badacze wykorzystujący tę metodę nie mają żadnej kontroli nad tym, jaki rodzaj danych i w jaki sposób został zebrany. Wszystkie dotychczas opisane metody są z natury korelacyjne. Oznacza to, że badacze mogą odkryć ważne zależności między dwiema lub więcej interesującymi ich zmiennymi. Jednakże na podstawie wyników badania korelacyjnego nie można wysnuć twierdzeń o przyczynowości. Badanie korelacyjne może wykazać związek między zmiennymi, ale jedyny sposób, w jaki badacz może udowodnić, że jest to związek przyczynowo-skutkowy, stanowi przeprowadzenie eksperymentu. W metodzie eksperymentalnej, która zostanie omówiona dalej w tym rozdziale, badacz zachowuje kontrolę nad interesującymi go zmiennymi. Jednak eksperymenty, pomimo ogromnego potencjału badawczego, są często przeprowadzane w sztucznym otoczeniu. Ponadto na wiele pytań, które zadają sobie psychologowie, nie można odpowiedzieć w drodze eksperymentu ze względów etycznych (np. na pytania o wpływ stresu pourazowego). Badanie kliniczne a opis przypadku W 2011 roku z artykułu w „New York Times” świat dowiedział się o Kriście i Tatianie Hogan (ur. 2006), kanadyjskich bliźniaczkach syjamskich zrośniętych głowami. Badania wykazały, że dziewczynki mają wspólną część mózgu (wzgórze), będącą ważnym ośrodkiem przesyłania bodźców zmysłowych. Większość z nich przechodzi najpierw przez wzgórze, zanim zostanie przesłana do przetworzenia w korze mózgowej. Jeśli chcesz dowiedzieć się więcej o Kriście i Tatianie, obejrzyj film CBC opowiadający o ich życiu. W wyniku tego połączenia bliźniaczki mogą nawzajem odczuwać te same wrażenia zmysłowe. Na przykład jeśli Krista ogląda zabawny program w telewizji, Tatiana śmieje się, nawet jeśli sama go nie widzi. Ta wyjątkowa zdolność wzbudziła zainteresowanie wielu neuronaukowców, którzy próbują zrozumieć, w jaki sposób mózg przetwarza bodźce zmysłowe. Jednocześnie, mimo wspólnego odbioru części wrażeń zmysłowych i kontroli motorycznej, Krista i Tatiana pozostają dwiema odrębnymi osobami, co dodatkowo dostarcza wielu danych do badań nad mózgiem i umysłem. Zważywszy na to, jak rzadki jest to przypadek, dopóki dziewczynki oraz ich rodzina będą wyrażać zgodę, naukowcy będą obserwować bliźniaczki (Dominus, 2011). Badania obserwacyjne naukowcy mogą prowadzić metodą badania klinicznego (ang. clinical study ) lub opisu (studium) przypadku (ang. case study ); podczas tych ostatnich skupiają się na jednej lub co najwyżej kilku osobach. Niektórzy naukowcy poświęcają karierę na badanie 10–20 osób. Dlaczego? Koncentrując uwagę na małej liczbie osób, mogą dogłębnie je poznać. Żadna inna metoda badawcza nie dostarcza takiej ilości informacji jak badanie kliniczne czy studium przypadku. Pozwalają one bardzo dobrze zrozumieć konkretny przypadek i badane zjawisko. Skoro studia przypadku dostarczają tak dużej ilości informacji, to dlaczego nie są częściej wykorzystywane? Otóż ich największa zaleta jest zarazem słabością. Osoby, na których skupiają się opisy przypadku, są dla badaczy interesujące właśnie dlatego, że różnią się od większości ludzi. Skoro celem badaczy jest wyjaśnienie ogólnych prawidłowości w zachowaniach czy w psychice, to skupienie uwagi na jednej czy kilku osobach może utrudniać generalizację obserwacji. Generalizacja (ang. generalizing ) oznacza odniesienie wyników danego badania do większej części społeczeństwa (czyli tzw. populacji ogólnej). Jak już mówiliśmy, opis przypadku dostarcza ogromnej ilości informacji, jednak z uwagi na wyjątkową charakterystykę badanych możliwości odniesienia uzyskanej wiedzy do przeciętnego człowieka są ograniczone. Obserwacja naturalna By zrozumieć, skąd bierze się określone zachowanie, można obserwować je w naturalnym otoczeniu. Jednak ludzie, którzy wiedzą, że są obserwowani, mogą zmieniać swoje zachowania w nieprzewidziany sposób, by ukryć swoje naturalne zachowania. A zatem w jaki sposób badacze uzyskują wiarygodne informacje? Wyobraź sobie, że wykładowca prosi o uniesienie dłoni wszystkich, którzy zawsze myją ręce po wyjściu z toalety. Najprawdopodobniej niemal każdy obecny podniesie rękę. Ale czy naprawdę wierzysz, że mycie rąk po wyjściu z toalety jest powszechne? To zjawisko bardzo podobne do wspomnianego wcześniej w tym rozdziale: wiele osób nie czuje się swobodnie, odpowiadając szczerze na pytania. Jeśli chcesz się dowiedzieć, ile osób naprawdę myje ręce, to istnieją inne możliwości. Załóżmy, że wyślemy jedną z osób z grupy do łazienki, by zobaczyła, czy wszyscy rzeczywiście myją ręce po wyjściu z toalety. Czy nasz obserwator wtopi się w otoczenie, jeśli założy na siebie biały kitel i usiądzie z notesem? Chcemy raczej, by pozostawał on niezauważalny, dlatego może na przykład stać przy jednej z umywalek i udawać, że zakłada soczewki kontaktowe, obserwując dyskretnie otoczenie i zbierając istotne dla nas dane. Tego typu badania obserwacyjne nazywamy obserwacją naturalną ( obserwacją w warunkach naturalnych ) (ang. naturalistic observation ). Obserwacja naturalna to obserwacja czyjegoś zachowania w jego naturalnym otoczeniu. By lepiej zrozumieć wykluczenie towarzyskie, Suzanna Fanger wraz ze współpracownikami na University of Texas obserwowała zachowanie przedszkolaków na placu zabaw. W jaki sposób obserwatorzy pozostali niezauważeni w czasie badania? Założyli niektórym dzieciom bezprzewodowe mikrofony (o których szybko zapomniały) i obserwowali je z daleka, robiąc notatki. Ponadto dzieci w tym konkretnym przedszkolu („przedszkole eksperymentalne”) były przyzwyczajone do obecności obserwatorów na placu zabaw (Fangeret al., 2012). Obserwator musi być dyskretny, na ile to możliwe: jeśli ludzie wiedzą, że są obserwowani, to maleje prawdopodobieństwo, że będą zachowywać się naturalnie. Jeśli masz co do tego wątpliwości, pomyśl, jak różniłoby się twoje zachowanie za kierownicą w następujących sytuacjach: w pierwszym przypadku jedziesz pustą autostradą w środku dnia; w drugim na tej samej pustej autostradzie jedzie za tobą radiowóz ( ). Obecność policji na drodze może wpływać na twoje zachowanie za kierownicą. (Źródło: Michael Gill). Należy zaznaczyć, że obserwacja naturalna nie ogranicza się tylko do badań z udziałem ludzi. Najbardziej znane przykłady obserwacji naturalnej to takie, w których badacze udali się w teren, aby obserwować zwierzęta w ich naturalnym środowisku. Tak jak w przypadku badań z udziałem ludzi, badacze trzymają się na odległość, by unikać kontaktu z badanymi zwierzętami, ponieważ mogłoby to wpłynąć na ich naturalne zachowanie. Naukowcy posługują się tą techniką, badając hierarchie społeczne i interakcje wśród zwierząt: od świstaków po goryle. Informacje zebrane podczas takich badań są nieocenioną pomocą w zrozumieniu sposobu, w jaki zwierzęta organizują swoje społeczności i komunikują się między sobą. Antropolog Jane Goodall (ur. 1934) poświęciła niemal pięćdziesiąt lat życia na obserwację zachowań szympansów w Afryce ( ). Niektórzy naukowcy krytykowali Goodall za nadawanie szympansom imion, zamiast oznaczania ich liczbami – uważali bowiem, że używanie imion mogło zmniejszyć emocjonalny dystans, niezbędny dla zachowania obiektywizmu badania (McKie, 2010). To przykład problemu, który może napotkać badacz podczas obserwacji naturalnej. (a) Jane Goodall zrobiła karierę, prowadząc obserwacje naturalne zachowań (b) szympansów. (Źródło: „Jane Goodall”: modyfikacja pracy Erika Hersmana; „szympans”: modyfikacja pracy „Afrika Force”/Flickr.com). Największą zaletą obserwacji naturalnej jest wiarygodność i trafność (ang. validity ) informacji zebranych w naturalnym, niezakłóconym otoczeniu. Dzięki naturalnemu zachowaniu badanych obserwacja pozwala na uzyskanie większej trafności środowiskowej i realizmu niż jakiekolwiek inne podejście. W odpowiednio przeprowadzonym badaniu nie ma ryzyka, że zachowanie ludzi lub zwierząt ulegnie zmianie tylko dlatego, że podlegają oni obserwacji. Niektórzy sądzą, że programy typu reality show dają nam możliwość podglądania autentycznych zachowań ludzi. Jednak kamerzyści śledzący bohaterów oraz wypytywanie przed kamerą o osobiste sprawy stanowią pogwałcenie zasady dyskretnej obserwacji. Zważywszy na okoliczności, można wątpić w naturalność i prawdziwość obserwowanych w tych programach zachowań. Największą wadą obserwacji naturalnej jest trudność jej zorganizowania i kontroli. Na przykładzie badania w toalecie, wyobraź sobie, że stoisz w niej cały dzień, by obserwować praktyki mycia rąk i nikt nawet do niej nie wchodzi. W przypadku obserwacji zwierząt – co się stanie, jeśli stado goryli, które obserwujesz od wielu tygodni, nagle przeniesie się w nowe miejsce podczas twojej nieobecności czy nieuwagi? Obserwacja naturalna ma swoją cenę. Jako badacz nie masz żadnej kontroli, kiedy (lub czy) zaistnieje możliwość zaobserwowania danego zachowania. Ponadto tego typu badanie obserwacyjne wymaga znacznego nakładu czasu, pieniędzy oraz po prostu wiele szczęścia. Dlatego czasami badania prowadzone są na podstawie obserwacji ustrukturyzowanej. W takim przypadku badani obserwowani są podczas wykonywania konkretnego, zaplanowanego zadania. Doskonałym przykładem obserwacji ustrukturyzowanej jest procedura obcej sytuacji autorstwa Mary Ainsworth (1913-1999) (przeczytasz o niej więcej w rozdziale o psychologii rozwoju). Procedura obcej sytuacji stosowana jest do obserwacji stylów przywiązania się dziecka do opiekuna. Według scenariusza tej procedury opiekun wprowadza dziecko do pokoju pełnego zabawek. Procedura obcej sytuacji składa się z kilku faz: obca osoba wchodzi do pokoju, opiekun opuszcza pokój, opiekun wraca do pokoju. Zachowanie dziecka jest dokładnie monitorowane w każdej fazie, lecz to reakcja na powrót opiekuna w najlepszy sposób charakteryzuje styl przywiązania dziecka. Innym potencjalnym problemem związanym z badaniem obserwacyjnym jest stronniczość obserwatora (ang. observer bias ). Zazwyczaj obserwatorzy są w dużym stopniu zaangażowani w projekt badawczy i mogą nieświadomie wypaczać swoje obserwacje, by odpowiadały celom i oczekiwaniom badaczy. Żeby uniknąć takiego braku obiektywizmu, badacze powinni się posługiwać jasnymi kryteriami określania typów obserwowanych zachowań oraz sposobu ich klasyfikacji. Ponadto badacze często porównują obserwacje tego samego zdarzenia poczynione przez różnych obserwatorów, by sprawdzić zgodność ocen między oceniającymi (ang. inter-rater reliability ). Zgodność ocen między oceniającymi to sposób zwiększenia rzetelności badania poprzez ocenę spójności obserwacji różnych obserwatorów. Ankiety Psychologowie często tworzą ankiety umożliwiające im zbieranie danych. Ankieta (ang. survey ) to lista pytań, na które mają odpowiedzieć uczestnicy badania; może być przeprowadzona w formie papierowej, elektronicznej lub werbalnie ( ). Zazwyczaj wypełnienie ankiety nie zabiera dużo czasu, a łatwość jej przeprowadzenia pozwala w prosty sposób zebrać dużą ilość danych od dużej liczby osób. Ankiety umożliwiają badaczom zebranie danych od większych prób populacji niż w przypadku innych metod badawczych. Próba (ang. sample ) to zbiór osób wybranych z populacji (ang. population ). Populacja to grupa osób, którymi zainteresowani są naukowcy. Badają oni próbę i starają się odnosić uzyskane wyniki do konkretnej populacji, czyli je generalizować. Ankieta może być przeprowadzona na wiele sposobów, m.in. drogą elektroniczną, jak ankieta powyżej. (Źródło: Robert Nyman). Ankieta ma zarówno mocne, jak i słabe strony, jeśli porównamy ją z opisem przypadku. Ankieta pozwala zebrać informacje od większej liczby osób. Większa próba z kolei lepiej odzwierciedla prawdziwe zróżnicowanie populacji, umożliwiając tym samym generalizację wniosków. Zatem jeśli nasza próba jest wystarczająco duża i zróżnicowana, możemy założyć, że dane zebrane w ramach ankiety możemy odnosić do konkretnej populacji z większą pewnością niż w przypadku danych zebranych podczas opisu przypadku. Jednak ze względu na większą liczbę badanych nie jesteśmy w stanie zebrać równie dokładnych informacji o każdej osobie. Kolejną potencjalną słabością ankiety jest coś, o czym wspominaliśmy już wcześniej w tym rozdziale: badani nie zawsze udzielają prawdziwych odpowiedzi. Mogą kłamać, źle pamiętać lub odpowiadać w sposób, który – ich zdaniem – przedstawi ich w lepszym świetle. Na przykład mogą powiedzieć, że piją mniej alkoholu niż faktycznie. Dzięki ankietom możemy uzyskać odpowiedzi na nieograniczoną liczbę pytań. Jako przykład może posłużyć badanie przeprowadzone przez Jenkins i współpracowników (2012) na temat negatywnego nastawienia Amerykanów do amerykańskiej społeczności imigrantów pochodzenia arabskiego po atakach terrorystycznych z 11 września 2001 roku. Zespół Jenkinsa chciał ustalić, czy i w jakim stopniu niemal dziesięć lat po atakach negatywne nastawienie do tej grupy wciąż było żywe. W badaniu 140 uczestników wypełniło ankietę składającą się z 10 pytań. Wśród nich znalazły się bezpośrednie pytania o jawne uprzedzenia względem osób o odmiennym pochodzeniu etnicznym. Ankieta zawierała również pytania nie wprost o to, jakie jest prawdopodobieństwo, że badany wejdzie w interakcję z osobą z danej mniejszości w różnych sytuacjach (na przykład: „Jakie jest prawdopodobieństwo, że przedstawisz się imigrantowi arabskiego pochodzenia?”). Wyniki badań sugerowały, że badani nie chcą przyznać, że są uprzedzeni względem jakiejkolwiek grupy etnicznej. Jednakże wykazano wyraźne różnice w odpowiedziach na pytania dotyczące interakcji z imigrantami pochodzenia arabskiego (mniejsza chęć do kontaktu) w stosunku do innych grup etnicznych. To dowodzi, że badani skrywali pewne uprzedzenia względem imigrantów pochodzenia arabskiego, mimo deklaracji, iż tak nie jest (Jenkins et al., 2012). Badania archiwalne Niektórzy naukowcy uzyskują dostęp do dużej ilości danych bez jakiejkolwiek interakcji z badanymi. W poszukiwaniu odpowiedzi na interesujące ich problemy badawcze posługują się zapisami archiwalnymi. Metodę tę nazywamy badaniami archiwalnymi (ang. archival research ). Badania archiwalne polegają na studiowaniu archiwalnych zapisów lub zestawów danych w poszukiwaniu interesujących nas wzorców i relacji. Na przykład mając dostęp do uniwersyteckiej dokumentacji wszystkich studentów z ostatnich 10 lat, badacz mógłby policzyć, ile czasu zajęło im skończenie studiów, jakie były wymiary godzinowe kierunków, jakie oceny uzyskali studenci i w jakie zajęcia ponadprogramowe się angażowali. Takie badania archiwalne mogłyby wykazać, kto ma największe szanse skończyć studia oraz zidentyfikować czynniki ryzyka dla zagrożonych studentów ( ). Badacz prowadzący badania archiwalne studiuje zapisy zarchiwizowane w formie (a) papierowej lub (b) elektronicznej. (Źródło „papierowe akta”: modyfikacja pracy „Newtown graffiti”/Flickr; „komputer”: modyfikacja pracy INPIVIC Family/Flickr). Porównawszy badania archiwalne z innymi metodami, zauważymy wiele znaczących różnic. Przede wszystkim prowadzący badania archiwalne nigdy nie kontaktuje się bezpośrednio z uczestnikami. Tym samym inwestycja czasu i pieniędzy jest w tym przypadku znacznie mniejsza. Jednakże badacze nie mają żadnej kontroli nad tym, jakie dane były zbierane. Dlatego też pytania, na które naukowcy szukają odpowiedzi w konkretnym badaniu, muszą być zadane w taki sposób, by można było na nie znaleźć odpowiedź w istniejących zbiorach danych. Co więcej, nie ma żadnej gwarancji co do spójności zapisów z różnych źródeł, a to może sprawić, że porównanie różnych zestawów danych będzie problematyczne. Badania podłużne i przekrojowe Czasami chcemy dowiedzieć się, jak ludzie zmieniają się na przestrzeni lat, np. obserwując, prowadząc badania nad rozwojem człowieka. Badając tę samą grupę uczestników wielokrotnie przez dłuższy czas, prowadzimy tak zwane badania podłużne (ang. longitudinal research ). Możemy na przykład zbadać nawyki żywieniowe grupy uczestników w wieku 20 lat, po czym przeprowadzić ponowne badanie, kiedy będą mieli 30 lat, i następne 10 lat później. Kolejną metodą są badania poprzeczne ( przekrojowe ) (ang. cross-sectional research ), w których badacz porównuje występowanie danego zjawiska w kilku populacjach jednocześnie. Posługując się ponownie przykładem badań nawyków żywieniowych, badacz mógłby porównać nawyki w różnych grupach wiekowych. Zamiast badać jedną grupę przez 20 lat, by dowiedzieć się, jak z dekady na dekadę zmieniają się jej nawyki żywieniowe, bada się grupy dwudziesto-, trzydziesto- i czterdziestolatków, a następnie porównuje je ze sobą. Badania przekrojowe wymagają krótkoterminowej inwestycji, ale ograniczają je różnice dzielące różne pokolenia (kohorty) niemające de facto związku z wiekiem, będące odzwierciedleniem społecznych i kulturowych doświadczeń różnych pokoleń, sprawiających, że te różnią się od siebie nawzajem. By zilustrować ten problem, rozważmy następujące wyniki badań. W ostatnich latach odnotowano znaczący wzrost poparcia dla małżeństw homoseksualnych. Wiele badań dotyczących tego zagadnienia dzieli uczestników na różne grupy wiekowe; zazwyczaj młodsze osoby są małżeństwom homoseksualnym bardziej przychylne (Jones, 2013). Czy oznacza to, że z wiekiem stajemy się mniej otwarci na małżeństwa homoseksualne, czy też starsi uczestnicy badań patrzą na nie inaczej ze względu na uwarunkowania społeczne, w jakich dorastali? Problem ten nie istnieje w przypadku badań podłużnych, ponieważ badamy tę samą grupę uczestników przez cały czas trwania projektu; badacze nie muszą martwić się różnicami między kohortami, mogącymi wpłynąć na wyniki. Badania podłużne wykorzystuje się często w pracach nad chorobami, mających zidentyfikować ich czynniki ryzyka. Tego typu badania obejmują często dziesiątki tysięcy badanych, których obserwuje się przez wiele dziesięcioleci. Zważywszy na ogromną liczbę uczestników, badacze mogą być pewni, że wyniki będzie można odnosić do większych populacji. Badanie nad nowotworami „Cancer Prevention Study-3 (CPS-3)” jest jednym z serii badań podłużnych sponsorowanych przez Amerykańskie Towarzystwo Onkologiczne (ang. American Cancer Society ), mających na celu określenie przewidywalnych czynników ryzyka nowotworów. Na początku badania uczestnicy wypełniają ankietę dotyczącą stylu życia i historii rodziny, która ma dostarczyć informacji o czynnikach mogących wywoływać nowotwór lub mu zapobiegać. Następnie co kilka lat uczestnicy otrzymują do uzupełnienia dodatkową ankietę. W efekcie badanie monitoruje setki tysięcy uczestników w ciągu 20 lat, co pozwala dowiedzieć się, którzy z nich zachorują na nowotwór, a którzy nie. Powyższe badanie dostarczyło pierwszych naukowych dowodów na obecnie powszechnie znany związek między wzrostem zachorowalności na raka a paleniem papierosów (Amerykańskie Towarzystwo Onkologiczne, b.d.) ( ). Badania podłużne, takie jak badanie nad nowotworami „Cancer Prevention Study-3 (CPS-3)” pomagają lepiej zrozumieć związek między paleniem papierosów a występowaniem nowotworów i innych chorób. (Źródło: CDC/Debora Cartagena). Tak jak w przypadku innych metod badawczych, również badania podłużne mają swoje ograniczenia. Przede wszystkim wymagają ogromnych nakładów czasowych ze strony badaczy i uczestników. Zważywszy na to, że wiele badań podłużnych trwa nawet dziesiątki lat, ich wyniki są znane dopiero po upływie długiego czasu. Oprócz czasu, badania podłużne wymagają również znaczących nakładów finansowych. Wielu badaczy nie jest w stanie zdobyć środków koniecznych do doprowadzenia takiego projektu do końca. Ponadto uczestnicy takich badań muszą chcieć kontynuować udział przez cały czas, co może okazać się problematyczne: ludzie się przeprowadzają, zakładają rodziny, zmieniają nazwiska, chorują. Niektórzy mogą po prostu nie czuć potrzeby kontynuowania uczestnictwa w projekcie. Trzeba też brać pod uwagę, że część uczestników wieloletnich badań podłużnych umiera. W efekcie wskaźnik rezygnacji z udziału w badaniach (ang. attrition ), tj. spadek liczby osób badanych spowodowany odejściem części uczestników, w przypadku badań podłużnych jest dość wysoki i zwiększa się z czasem ich trwania. Badacze mają świadomość, że wielu z zakwalifikowanych porzuci badanie przed jego zakończeniem, dlatego na początku projektu rekrutują dużą liczbę uczestników. W miarę postępu badania badacze regularnie sprawdzają, czy próba jest nadal reprezentatywna, i w razie konieczności dokonują niezbędnych korekt. Summary Opisy przypadków polegają na badaniu jednego lub kilku uczestników przez dłuższy czas. Choć ta metoda pozwala uzyskać szczegółowe informacje, to możliwość generalizacji wniosków z takich obserwacji do większej populacji może być problematyczna. Obserwacja naturalna polega na obserwowaniu zachowań w naturalnym otoczeniu i pozwala na zebranie wiarygodnych informacji na podstawie rzeczywistych sytuacji. Obserwacja naturalna charakteryzuje się jednak ograniczonymi możliwościami kontroli badania i często wymaga dużego nakładu czasu i funduszy. Badacze starają się, by stosowane przez nich metody pozyskiwania danych były zarazem rzetelne (spójne i powtarzalne) i trafne (dokładne). Ankiety mogą być przeprowadzane na różne sposoby i umożliwiają szybkie zebranie dużej ilości informacji. Jednakże szczegółowość danych zebranych w ankiecie jest ograniczona w porównaniu z badaniami klinicznymi czy opisami przypadku. Badania archiwalne polegają na studiowaniu wyników już istniejących badań w poszukiwaniu odpowiedzi na postawione pytania. Badania podłużne to niezwykle przydatna metoda dla badaczy pragnących sprawdzić, jak ludzie zmieniają się z upływem czasu. Badania poprzeczne porównują różne segmenty populacji w danym czasie. Review Questions Zygmunt Freud opracował swoją teorię rozwoju osobowości na podstawie prowadzonych przez długi czas dogłębnych wywiadów z kilkoma klientami. Tego typu podejście nazywamy _______. badaniem archiwalnym opisem przypadku obserwacją naturalną ankietą B ________ polega na obserwacji zachowań uczestników badania w ich naturalnym otoczeniu. Badanie archiwalne Opis przypadku Obserwacja naturalna Ankieta C Ważnym ograniczeniem opisu przypadku jest _________. mało szczegółowy charakter pozyskanych informacji brak kontroli badacza nad przebiegiem badania brak możliwości odniesienia wyników do większej populacji brak zgodności ocen między oceniającymi C Zaletą obserwacji naturalnej jest ________. pozyskiwanie danych w rzeczywistym otoczeniu szybkość i łatwość przeprowadzenia badania możliwość upewnienia się, że dane zbierane są w najbardziej efektywny sposób możliwość określenia relacji przyczynowo-skutkowej A Wykorzystywanie istniejących zapisów w poszukiwaniu odpowiedzi na zadane w badaniu pytanie nazywamy ________. obserwacją naturalną ankietą badaniem podłużnym badaniem archiwalnym D ________ polega na obserwacji grupy uczestników badania przez długi czas. Badanie archiwalne Badanie podłużne Obserwacja naturalna Badanie przekrojowe B ________ to lista stworzonych przez badacza pytań, które można przedstawić osobie badanej. Archiwum Opis przypadku Obserwacja naturalna Ankieta D Badania podłużne są utrudniane przez wysoki wskaźnik ________. maskowania obserwacji rezygnacji uczestników generalizacji C Critical Thinking Questions W tym podrozdziale bliźniaczki syjamskie Kirsta i Tatiana zostały przedstawione jako potencjalne uczestniczki opisu przypadku. W jakich innych okolicznościach możesz uznać to konkretne podejście badawcze za szczególnie zasadne i dlaczego? Opis przypadku jest szczególnie zasadny w badaniu rzadkich sytuacji. Na przykład jeśli badanie miałoby dotyczyć dysocjacyjnego zaburzenia osobowości, opis przypadku osób ze zdiagnozowanym dysocjacyjnym zaburzeniem osobowości byłyby najodpowiedniejszą metodą badawczą. Programy typu reality show próbują przedstawić realistyczny obraz zachowań ich bohaterów. W tym podrozdziale tłumaczyliśmy, dlaczego tak nie jest. Jakie zmiany można wprowadzić w sposobie realizacji tego typu programów, by stanowiły bardziej rzetelne odzwierciedlenie realnych zachowań? Zachowania obserwowane w tego typu programach mogłyby być bardziej realistyczne, gdyby kamery zamontowano w ukrytych miejscach lub gdyby osoby występujące w tych programach nie wiedziały, kiedy są nagrywane. Która z omawianych w tym podrozdziale metod badawczych jest najlepszym sposobem na zbadanie skuteczności programu profilaktycznego mającego zapobiegać spożywaniu alkoholu i innych używek? Dlaczego? Idealną metodą zbadania skuteczności takiego programu byłyby badania podłużne, ponieważ umożliwiłyby obserwację uczniów w miarę dorastania i dowiedzenie się, czy udział w programie wpłynął na ich wybory dotyczące alkoholu i narkotyków. W jakich innych obszarach badawczych, poza badaniami biomedycznymi, dobrze sprawdziłyby się zarówno badania podłużne, jak i archiwalne? Odpowiedzi mogą być różne. Wymienione metody można zastosować m.in. w opartych na danych działów HR badaniach nad procedurami zatrudniania, jak również w badaniach monitorujących byłych więźniów w celu ustalenia, czy czas spędzony w więzieniu miał jakikolwiek pozytywny wpływ na prawdopodobieństwo ponownego popełnienia przestępstw w przyszłości. Personal Application Questions Twój przyjaciel pracuje na pół etatu w lokalnym sklepie zoologicznym i coraz bardziej zaczęło go interesować, w jaki sposób psy komunikują się między sobą. Rozważa odwiedzenie miejscowej kliniki weterynaryjnej, by tam obserwować, jak psy zachowują się wobec siebie w poczekalni. Czy po przeczytaniu tego rozdziału uważasz, że jest to dobry sposób na poznanie tych interakcji? Czy masz inną propozycję, która umożliwiłaby zebranie trafniejszych danych? Jesteś na studiach, dlatego zapewne zwracasz uwagę na uzyskiwane oceny. Kiedy chcesz dowiedzieć się, jaka jest relacja między uzyskaną średnią ocen ze studiów a powodzeniem w późniejszym życiu, to jaką metodę wybierzesz i jakich zasobów będziesz potrzebować, by przeprowadzić takie badanie? badania archiwalne (ang. archival research ) metoda badawcza, która wykorzystuje istniejące zapisy archiwalne lub zestawy danych w poszukiwaniu odpowiedzi na problemy badawcze lub ciekawych wzorców i relacji międzyludzkich wskaźnik rezygnacji z udziału w badaniach (ang. attrition rate ) zmniejszenie się liczby osób badanych spowodowane wycofaniem się części uczestników w trakcie badania badania kliniczne lub opis przypadku (ang. clinical or case studies ) badania obserwacyjne skupiające się na małej grupie osób (kilka do kilkanaście) lub jednej osobie badanie poprzeczne ( przekrojowe ) (ang. cross-sectional research ) porównuje występowanie danego zjawiska w kilku populacjach jednocześnie generalizacja (ang. generalization ) wnioskowanie, że wyniki dla danej próbki odnoszą się do większej populacji zgodność ocen między oceniającymi (ang. inter-rater reliability ) miara zgodności między obserwatorami na temat sposobu rejestrowania i klasyfikowania określonego zdarzenia badania podłużne (ang. longitudinal research ) badania, w których ta sama grupa osób jest wielokrotnie badana przez dłuższy czas obserwacja naturalna ( w warunkach naturalnych ) (ang. naturalistic observation ) obserwacja czyjegoś zachowania w jego naturalnym otoczeniu stronniczość obserwatora (ang. observer bias ) zniekształcenia obserwacji spowodowane dostosowaniem ich przez obserwatora do własnych oczekiwań populacja (ang. population ) grupa osób charakteryzująca się danymi właściwościami/cechami (np. populacja studentów, populacja osób w wieku 40 lat etc.) próba (ang. sample ) podzbiór osób zakwalifikowanych do badania ankieta (ang. survey ) lista pytań, na które mają odpowiedzieć uczestnicy badania − przedstawiona w kwestionariuszach w formie papierowej, elektronicznie lub przeprowadzana w formie wywiadu; taka forma badania umożliwia naukowcom zebranie danych od dużej liczby osób", "section": "Metody badawcze", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Analiza wyników Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, co współczynnik korelacji mówi nam o związku między zmiennymi Dostrzec, że korelacja nie wskazuje na związek przyczynowo-skutkowy pomiędzy zmiennymi Omówić naszą tendencję do poszukiwania zależności pomiędzy zmiennymi, które tak naprawdę nie istnieją Wyjaśnić losowe pobieranie próbek i przydział uczestników do grup eksperymentalnych i kontrolnych Omówić, w jaki sposób stronniczość eksperymentatora lub uczestnika może wpłynąć na wyniki eksperymentu Zidentyfikować zmienne niezależne i zależne Czy wiesz, że gdy wzrasta sprzedaż lodów, wzrasta również ogólny wskaźnik przestępczości? Czy to możliwe, że rozkoszowanie się ulubionymi lodami sprowadza ludzi na złą drogę? A może po popełnieniu przestępstwa ludzie lubią zjeść ten przysmak? Nie ma wątpliwości, że istnieje relacja między wzrostem sprzedaży lodów i liczbą przestępstw (np. Harper, 2013), jednak stwierdzenie, że jedno wynika z drugiego, byłoby absurdalne. Dużo bardziej prawdopodobne jest, że sprzedaż lodów i liczba przestępstw są związane z temperaturą powietrza. Kiedy jest ciepło, ludzie częściej wychodzą z domów i wchodzą ze sobą w interakcje. Zdarza się przy tym, że wyprowadzają się nawzajem z równowagi, co czasem prowadzi do przestępstw. Gdy na zewnątrz jest ciepło, częściej też kupujemy sobie zimne smakołyki, na przykład lody. W jaki sposób stwierdzić, czy związek między dwoma zjawiskami rzeczywiście istnieje? A jeśli istnieje, to w jaki sposób możemy odróżnić, czy jest wynikiem współwystępowania czy też przyczynowości? Badanie korelacyjne Korelacja (ang. correlation ) oznacza, że istnieje współwystępowanie (współzmienność) między dwiema zmiennymi lub większą ich liczbą (na przykład spożyciem lodów a liczbą przestępstw), lecz ten związek nie musi być związkiem przyczynowo-skutkowym (o czym piszemy poniżej). Jeżeli dwie zmienne są skorelowane, oznacza to jedynie, że zmiana wartości jednej zmiennej wiąże się ze zmianą wartości drugiej. Możemy zmierzyć korelację, obliczając współczynnik korelacji. Współczynnik korelacji (ang. correlation coefficient ) to wartość od −1 do +1 wskazująca siłę i kierunek korelacji między zmiennymi. Współczynnik korelacji najczęściej oznaczany jest symbolem r . Liczba we współczynniku korelacji wskazuje siłę związku. Im bliższa 1 (niezależnie od znaku) jest wartość współczynnika, tym silniejsza jest korelacja między zmiennymi. Im wartość jest bliższa 0, tym słabszy jest związek między zmiennymi. Na przykład współczynnik korelacji równy 0,9 oznacza zdecydowanie silniejszą korelację niż współczynnik 0,3. Jeśli zmienne nie są w ogóle skorelowane, to współczynnik jest równy 0. Znak „plus” lub „minus” współczynnika korelacji wskazuje kierunek związku ( ). Korelacja dodatnia ( pozytywna ) (ang. positive correlation ) oznacza, że dwie zmienne zmieniają się w tym samym kierunku. Innymi słowy – jeśli jedna zmienna rośnie, druga również rośnie; i odwrotnie, jeśli jedna zmienna maleje, druga też maleje. Korelacja ujemna ( negatywna ) (ang. negative correlation ) oznacza, że dwie zmienne zmieniają się w przeciwnych kierunkach. Jeśli dwie zmienne są negatywnie skorelowane, jedna zmienna maleje, a druga rośnie i na odwrót. Lody i przestępstwa to przykład korelacji dodatniej, ponieważ obie zmienne wzrastają, gdy robi się cieplej. Innymi przykładami korelacji dodatniej są związek między wzrostem a masą ciała człowieka, a także związek między wiekiem a liczbą zmarszczek. Można przypuszczać, że zmęczenie w ciągu dnia jest negatywnie skorelowane z liczbą godzin przespanych poprzedniej nocy: kiedy ilość snu maleje, uczucie zmęczenia rośnie. Na przykład u studentów z University of Minnesota wykryto słabą negatywną korelację ( r =-0,29) między średnią liczbą dni w tygodniu, kiedy spali mniej niż pięć godzin a średnią ich ocen (Lowry et al., 2010). Pamiętaj, że korelacja negatywna nie oznacza braku korelacji, ale mówi o kierunku zależności między zmiennymi. Brak korelacji wykazalibyśmy zapewne między ilością snu a rozmiarem buta. Korelacje mogą mieć wartość predykcyjną. Wyobraź sobie, że jesteś członkiem komisji rekrutacyjnej renomowanego uniwersytetu. Komisja otrzymała ogromną liczbę aplikacji, jednak uczelnia może przyjąć jedynie niewielki procent kandydatów. W jaki sposób zdecydujesz, kto powinien zostać przyjęty? Możesz spróbować skorelować średnią ocen obecnych studentów z ich wynikami ze standardowego testu dla uczniów szkół średnich. Identyfikacja najsilniejszych korelacji dla obecnych studentów może pomóc w typowaniu kandydatów, którzy z dużym prawdopodobieństwem osiągną równie dobre wyniki. Wykres punktowy to graficzne przedstawienie siły i kierunku korelacji. Im silniejsza korelacja, tym punkty danych bardziej układają się w linię prostą. W powyższych przykładach widzimy (a) korelację pozytywną między wzrostem a masą ciała, (b) korelację negatywną między zmęczeniem a liczbą przespanych godzin oraz (c) brak korelacji między rozmiarem buta a liczbą przespanych godzin. Zobacz, na czym polega korelacja pozytywna i negatywna, manipulując tym interaktywnym wykresem punktowym . Korelacja nie oznacza przyczynowości Badanie korelacyjne jest przydatne, ponieważ pozwala określić siłę i kierunek związku między dwiema zmiennymi. Jednak samo ustalenie istnienia korelacji niewiele mówi o związku przyczynowo-skutkowym (ang. cause-and-effect relationship ). Czasami zmienne są skorelowane, ponieważ istnieje między nimi związek przyczynowo-skutkowy. Czasami jednak to inny czynnik, zwany zmienną zakłócającą (ang. confounding variable ), powoduje systematyczne zmiany interesujących nas zmiennych. W przykładzie z lodami i przestępstwami zmienną zakłócającą jest temperatura, która może być odpowiedzialna za związek między naszymi zmiennymi. W takim przypadku możemy mówić o tzw. korelacji pozornej – zmienne na poziomie obserwacji czy analiz są ze sobą związane, ale w rzeczywistości odpowiada za to trzecia, inna zmienna (zakłócająca). Więcej o korelacji pozornej poniżej. Nawet jeśli nie jesteśmy w stanie jednoznacznie wskazać zmiennych zakłócających, to nie powinniśmy zakładać, że korelacja między dwiema zmiennymi oznacza, że jedna z nich powoduje zmianę drugiej. Może to być szczególnie deprymujące, gdy związek przyczynowo-skutkowy wydaje się intuicyjny i oczywisty. Weźmy pod uwagę omawiane już wcześniej badanie przeprowadzone przez Amerykańskie Towarzystwo Onkologiczne, które jako jedno z pierwszych wykazało związek między paleniem papierosów a zachorowaniami na raka. Założenie, że palenie powoduje raka wydaje się uzasadnione, jednak gdy jego sprawdzenie ograniczymy wyłącznie do badania korelacyjnego (ang. correlational research ), wówczas takie stwierdzenie będzie nadużyciem. Na podstawie badań korelacyjnych możemy bowiem wnioskować tylko o współwystępowaniu dwóch zmiennych, ale nie o tym, co jest przyczyną, a co skutkiem. Niestety ludzie często niesłusznie wysnuwają wnioski o przyczynowości na podstawie korelacji. Tego typu stwierdzenia są popularne w reklamach i wiadomościach. Na przykład jedno z badań wykazało, że osoby jedzące regularnie płatki śniadaniowe częściej osiągają prawidłową masę ciała niż osoby, które rzadko jedzą płatki (Frantzen et al., 2013; Barton et al., 2005). Zgadnij, w jaki sposób producenci płatków przedstawiali te wyniki. Czy jedzenie płatków naprawdę powoduje utrzymanie prawidłowej masy ciała? Może są inne wyjaśnienia? Na przykład że osoby o odpowiedniej wadze częściej jedzą śniadanie niż osoby otyłe lub takie, które próbują schudnąć, opuszczając posiłki ( ). Badanie korelacyjne jest nieocenione w znajdowaniu związków między zmiennymi, jednak, jak wspomnieliśmy, jego wadą jest brak możliwości ustalenia przyczynowości. Psychologowie dążą do ustalenia przyczyn i skutków, ale można tego dokonać wyłącznie za pomocą eksperymentu. Następny podrozdział opisuje, jak eksperymenty naukowe eliminują i weryfikują alternatywne wyjaśnienia, by pozwolić badaczom zrozumieć, w jaki sposób zmiana jednej zmiennej powoduje (jest przyczyną) zmianę drugiej. Czy jedzenie płatków naprawdę jest przyczyną prawidłowej masy ciała badanych? (Źródło: Tim Skillern). Korelacja iluzoryczna Pokusa wyciągnięcia błędnych wniosków przyczynowo-skutkowych opartych na badaniu korelacyjnym to nie jedyny przypadek złej interpretacji danych. Często popełniamy błąd zwany korelacją iluzoryczną. Jest on szczególnie częsty w przypadku niesystematycznych obserwacji. Korelacja pozorna (ang. illusory correlation ) zachodzi, gdy dostrzegamy nieistniejące związki między dwiema zmiennymi. Znanym przykładem korelacji pozornej jest rzekomy wpływ faz Księżyca na zachowanie człowieka. Wiele osób jest głęboko przekonanych, że zmienia się ono w zależności od faz Księżyca, a dokładniej, że ludzie zachowują się dziwnie podczas pełni ( ). Wiele osób wierzy, że pełnia Księżyca powoduje dziwne zachowanie u ludzi, jednak wierzenia te nie mają poparcia w badaniach naukowych. (Źródło: Cory Zanker). Nie ma wątpliwości, że Księżyc wywiera silny wpływ na naszą planetę. Pływy morskie są ściśle związane z oddziaływaniem grawitacyjnym naszego naturalnego satelity. Dlatego wielu osobom logiczne wydaje się, że Księżyc wpływa również na nas. W końcu nasze ciała są w dużej mierze zbudowane z wody. Jednakże metaanaliza blisko 40 badań jednoznacznie dowodzi, że związek między fazą Księżyca a naszym zachowaniem nie istnieje (Rottoni Kelly, 1985). Choć w trakcie pełni możemy zwracać większą uwagę na dziwne zachowanie ludzi, to odsetek przypadków dziwnych zachowań pozostaje podobny podczas wszystkich faz Księżyca. Dlaczego tak chętnie wierzymy w podobne korelacje pozorne? Często o nich słyszymy lub czytamy i po prostu przyjmujemy je za prawdę. Czasami mamy przeczucie, w jaki sposób coś funkcjonuje, i szukamy dowodów, by potwierdzić nasze oczekiwania, ignorując dowody, które mogłyby im zaprzeczyć. Mamy wówczas do czynienia z błędem konfirmacji (in. efektem potwierdzenia ) (ang. confirmation bias ). Choć możemy mieć wrażenie, że będziemy umieli wykorzystać takie związki, by lepiej zrozumieć lub przewidzieć zjawiska otaczającego nas świata, korelacje pozorne mogą mieć znaczące konsekwencje. Na przykład korelacje pozorne, w których pewne zachowania niesłusznie przypisano określonym grupom, są odpowiedzialne za wykształcenie uprzedzeń, a te z kolei prowadzą do zachowań dyskryminujących (Fiedler, 2004). Przyczynowość: przeprowadzanie eksperymentów i wykorzystywanie danych Jak już wiesz, jedynym sposobem na ustalenie istnienia związku przyczynowo-skutkowego między dwiema zmiennymi jest przeprowadzenie eksperymentu (ang. experiment ). Eksperyment w kontekście naukowym ma inne znaczenie niż w życiu codziennym. W potocznej mowie często używamy słowa „eksperyment”, by powiedzieć, że próbujemy coś zrobić po raz pierwszy, na przykład eksperymentując z nową fryzurą lub nowym przepisem w kuchni. Jednak w kontekście naukowym eksperyment wiąże się ze ścisłymi wymaganiami dotyczącymi jego planowania i przeprowadzenia. Hipoteza eksperymentu Aby przeprowadzić eksperyment, badacz musi postawić konkretną hipotezę (ang. hypothesis ), którą chce przetestować. Jak już wiesz, hipotezy mogą być formułowane na podstawie obserwacji otaczającego nas świata lub dokładnej analizy istniejących już badań. Na przykład jeśli uważasz, że wykorzystywanie nowych technologii w nauczaniu ma negatywny wpływ na wyniki studentów w nauce, to praktycznie masz już hipotezę mówiącą, że wykorzystanie nowych technologii powoduje spadek efektywności nauczania. Jaka jest geneza tej konkretnej hipotezy? Może ona wynikać z obserwacji, że twoi koledzy używający laptopów do notatek uzyskują niższe wyniki na egzaminach niż ci, którzy notują ręcznie. Albo ci, którzy odbywają zajęcia online, mają mniejszą wiedzę niż ci pracujący bezpośrednio z nauczycielem. Tego typu osobiste obserwacje często prowadzą do formułowania konkretnych hipotez. Jednak by precyzyjnie przetestować naszą hipotezę, nie możemy bazować na własnych ograniczonych obserwacjach czy przypadkowych dowodach. By dowiedzieć się, czy nasza hipoteza znajdzie poparcie w rzeczywistych danych, musimy przeprowadzić eksperyment. Planowanie eksperymentu Podstawowy plan eksperymentu opiera się na dwóch grupach: grupie eksperymentalnej i grupie kontrolnej. Obie grupy z założenia są takie same z jedną różnicą: grupa eksperymentalna (ang. experimental group ) zostaje poddana manipulacji eksperymentalnej – czyli działaniu testowanej zmiennej (w tym przypadku programowi nauczania z zastosowaniem nowych technologii), a grupa kontrolna (ang. control group ) nie zostaje jej poddana. Ponieważ manipulacja eksperymentalna jest jedyną różnicą między grupą eksperymentalną a grupą kontrolną, to możemy z dużą dozą pewności stwierdzić, że wszelkie różnice między nimi wynikają z manipulacji eksperymentalnej, a nie z przypadku. W naszym przykładzie wpływu nowych technologii na naukę studencka grupa eksperymentalna uczy się algebry z użyciem programu komputerowego, a następnie przechodzi test sprawdzający wiedzę. Grupa kontrolna uczy się algebry w tradycyjny sposób, a następnie podchodzi do tego samego testu. Ważne, by grupa kontrolna była traktowana tak samo jak grupa eksperymentalna, z wyjątkiem niepoddania grupy kontrolnej manipulacji eksperymentalnej. Dobrze by było, abyśmy zadbali o odpowiednią liczebność grup badawczych (im większa, tym jesteśmy bardziej uprawnieni do generalizacji wniosków) oraz o równoliczność obu grup – eksperymentalnej i kontrolnej. Nie ma ścisłych wytycznych, co do konkretnej liczby osób w grupach. Pamiętajmy jednak, że dane zabrane od kilku czy kilkunastu uczestników stanowią raczej studia przypadków, a nie badania naukowe. Musimy również precyzyjnie określić, tj. zoperacjonalizować, co będzie wyznacznikiem opanowania algebry. Operacjonalizacja zmiennych (ang. operational definition ) to opis, w jaki sposób będziemy mierzyć zmienne. Ważne, by to, co i jak badacz mierzy w danym eksperymencie, było jasno określone i całkowicie zrozumiałe. Aby zoperacjonalizować opanowanie algebry, możemy użyć testu sprawdzającego materiał przyswajany przez dwie grupy. Możemy też poprosić uczestników z obu grup, aby zaprezentowali przyswojony materiał, np. rozwiązali zestaw takich samych zadań. Jakkolwiek określimy efekty uczenia się, ważne, by zdefiniować je w taki sposób, by ktokolwiek, kto usłyszy o naszych badaniach po raz pierwszy, wiedział dokładnie, co rozumiemy przez „opanowanie algebry”. Pozwoli to innym odnieść się do naszych wyników oraz umożliwi ewentualne powtórzenie naszego eksperymentu. Gdy już zdefiniujemy, co rozumiemy przez „użycie technologii w nauczaniu” oraz co uznajemy za „opanowanie algebry przez uczestników eksperymentu”, powinniśmy określić, w jaki sposób przeprowadzimy eksperyment. W omawianym przypadku możemy np. zaprosić uczestników do udziału w 45-minutowych zajęciach z algebry (prowadzonych z użyciem programu komputerowego lub w sposób tradycyjny, w sali przez wykładowcę), a następnie dać obu grupom taki sam test do rozwiązania w czasie 30 minut. Najlepiej, żeby osoby oceniające test nie wiedziały, kto był w grupie eksperymentalnej, a kto w grupie kontrolnej, by uniknąć tzw. efektu oczekiwań eksperymentatora (ang. experimenter bias ). Efekt ten oznacza ryzyko wypaczenia wyników badania przez oczekiwania badacza. Pamiętaj, że przeprowadzenie eksperymentu wymaga dokładnego planowania, a osoby zaangażowane w projekt badawczy są, co zrozumiałe, przywiązane do swoich hipotez i zainteresowane ich udowodnieniem. Jeśli oceniający test będą wiedzieli, kto był w danej grupie, może to wpłynąć na sposób ich oceny, np. interpretację mało czytelnego pisma lub drobne pomyłki. Jeśli obserwatorzy nie wiedzą, kto był w danej grupie, można uniknąć tego typu wypaczeń. Mamy wówczas do czynienia z badaniem metodą pojedynczo ślepej próby (ang. single-blind study ), gdzie oceniający test nie wiedzą, którą grupę oceniają (eksperymentalną czy kontrolną), natomiast badacz opracowujący eksperyment ma tę wiedzę. W badaniu z podwójnie ślepą próbą (ang. double-blind study ) oceniający nie wiedzą, nad testem jakiej grupy pracują, a uczestnicy, do jakiej grupy należą. Dlaczego badacz chciałby przeprowadzić badanie, w którym nikt nie wie, czy test pochodzi z grupy eksperymentalnej czy z grupy kontrolnej? Dlatego, że dzięki temu wynik nie ulega wpływowi oczekiwań ani badacza ani uczestników. Dzięki temu można zneutralizować efekt placebo (ang. placebo effect ). Efekt placebo występuje, gdy oczekiwania lub przekonania ludzi wpływają na ich doświadczenie lub nawet je determinują. Innymi słowy, samo oczekiwanie, że coś się wydarzy, może sprawić, że tak właśnie się stanie. Efekt placebo jest zazwyczaj opisywany w związku z testowaniem skuteczności nowych leków. Wyobraź sobie, że pracujesz w firmie farmaceutycznej i opracowaliście nowy lek na depresję. By udowodnić, że jest skuteczny, przeprowadzasz eksperyment z dwiema grupami: grupa eksperymentalna otrzymuje nowy lek, a grupa kontrolna dostaje substancję neutralną. Badanie prowadzisz według procedury podwójnie ślepej próby. Uczestnicy nie wiedzą, czy dostali lek, czy nie, oraz szyfrujesz dane uczestników, żeby podczas badania nie wiedzieć, kto był w grupie eksperymentalnej, a kto w kontrolnej. Po co ta podwójnie ślepa próba? Wyobraź sobie, że uczestnik tego badania dostaje tabletkę, która – jego zdaniem – poprawi mu nastrój. Ponieważ oczekuje on, że tabletka poprawi nastrój, może poczuć się lepiej po samym zażyciu tabletki, a nie dlatego, że zawierała jakąkolwiek substancję czynną — to właśnie nazywamy efektem placebo. By upewnić się, że jakiekolwiek zmiany w nastroju są spowodowane lekiem, a nie oczekiwaniami, grupa kontrolna otrzymuje placebo (nieaktywną substancję, np. tabletkę z cukru). Dzięki temu każdy otrzymuje tabletkę i ani badacz, ani uczestnicy nie wiedzą, kto dostał lek, a kto cukier. Wszelkie różnice nastroju między grupą eksperymentalną a grupą kontrolną można teraz przypisać lekowi, a nie oczekiwaniom eksperymentatora czy uczestnika ( ). Podanie placebo grupie kontrolnej zapobiega wypaczeniom spowodowanym oczekiwaniami eksperymentatora. (Źródło: Elaine i Arthur Shapiro). Zmienne zależne i niezależne Podczas eksperymentu próbujemy zbadać, czy zmiana jednego parametru powoduje zmianę innego parametru. By się tego dowiedzieć, musimy zwrócić uwagę na kolejne dwa ważne czynniki każdego eksperymentu badawczego: zmienną niezależną i zmienną zależną. Zmienna niezależna (ang. independent variable ) jest modyfikowana lub kontrolowana przez eksperymentatora. W dobrze zaplanowanym badaniu zmienna niezależna jest jedyną istotną różnicą między grupą eksperymentalną a grupą kontrolną. W naszym przykładzie dotyczącym wpływu nowych technologii na naukę algebry zmienną niezależną jest sposób nauki uczestników (komputerowy lub tradycyjny) ( ). Zmienna zależna (ang. dependent variable ) to zmienna, którą mierzy badacz, aby sprawdzić, jaki wpływ miała na nią zmienna niezależna. W naszym przykładzie zmienną zależną jest stopień opanowania algebry przez uczestników. Podczas eksperymentu manipulacje zmienną niezależną powinny wywołać zmianę zmiennej zależnej. (Źródło „karabin maszynowy”: modyfikacja pracy Daniela Oinesa; źródło „zabawkowy pistolet”: modyfikacja pracy Emrana Kassima). Oczekujemy, że w trakcie eksperymentu zmienna zależna ulegnie zmianie pod wpływem zmiennej niezależnej. Innymi słowy, że zmienna zależna zależy od zmiennej niezależnej. Dobrym sposobem na zapamiętanie związku między zmienną niezależną i zależną jest następujące pytanie: Jaki wpływ zmienna niezależna wywiera na zmienną zależną? W naszym przykładzie: jaki wpływ będzie miał sposób nauki (tradycyjny lub komputerowy) na wyniki testu z algebry? Wybór uczestników eksperymentu i przypisywanie ich do grup Kiedy nasz eksperyment jest już zaplanowany, należy zakwalifikować do udziału w badaniu osoby reprezentujące interesującą nas populację. Uczestnicy (osoby badane) (ang. participants ) to podmioty badań psychologicznych i, jak sama nazwa wskazuje, osoby, które są zaangażowane w badanie psychologiczne i aktywnie uczestniczą w tym procesie. W badaniach psychologicznych uczestnikami są często studenci. W rzeczywistości ogromna większość badań z różnych dyscyplin psychologii opierała się na studentach (Sears, 1986; Arnett, 2008). Lecz czy studenci są rzeczywiście reprezentatywni dla ogółu populacji? Są młodsi, lepiej wyedukowani, bardziej liberalni i mniej zróżnicowani niż ogół populacji. Choć wybór studentów jako podmiotów badań jest ogólnie przyjętą praktyką, to poleganie na tak ograniczonej puli uczestników może być problematyczne, ponieważ utrudnia generalizowanie wyników – tj. odnoszenie ich do szerszej populacji. Nasz hipotetyczny eksperyment wymaga udziału studentów. Jeśli to możliwe, powinniśmy wybrać próbę losową (istnieją różne rodzaje prób, ale na potrzeby tego rozdziału skupimy się na próbie losowej). Próba losowa (ang. random sample ) to podzbiór większej populacji, w którym każdy członek tej grupy ma równe szanse na bycie wybranym. Próby losowe są preferowane, ponieważ przy wystarczająco dużej liczbie uczestników można w sposób uzasadniony przypuszczać, że grupa wybrana do udziału w badaniu jest reprezentatywna dla szerszej populacji. Oznacza to, że rozkład procentowy cech w próbce (np. płeć, poziom inteligencji, status socjoekonomiczny i inne cechy mogące wpłynąć na wyniki) jest zbliżony do rozkładu w szerszej populacji. W naszym przykładzie przyjmujemy, że interesującą nas populacją są studenci matematyki. Populacja studentów matematyki jest bardzo duża, więc potrzebujemy ją zawęzić; możemy zdecydować, że interesują nas studenci matematyki w wybranym mieście. By próba była bardziej reprezentatywna dla tej populacji, powinniśmy wybrać studentów z różnych części miasta, o różnej sytuacji rodzinnej, zarobkowej itd. Mając tak określoną, możliwą do przebadania populację, możemy zgłosić się do lokalnych uczelni i wybrać losową próbę około 200 studentów, którzy wezmą udział w eksperymencie. Podsumowując, ponieważ nie jesteśmy w stanie przebadać wszystkich studentów matematyki na danym obszarze, chcemy znaleźć takich, którzy będą odzwierciedlali różnorodność całej tej populacji. Dzięki grupie reprezentatywnej możemy generalizować wyniki eksperymentu bez obaw, że nasza próbka (b) okaże się tendencyjna. Badacze mogą pracować z (a) szeroką populacją lub (b) próbą, która jest podzbiorem większej populacji. (Źródło „tłum”: modyfikacja pracy Jamesa Cridlanda; źródło „uczniowie”: modyfikacja pracy Laurie Sullivan). Następnym krokiem jest podział uczestników na grupę eksperymentalną i grupę kontrolną przez dobór losowy. Dzięki doborowi ( przydziałowi losowemu ) (ang. random assignment ) wszyscy uczestnicy z takim samym prawdopodobieństwem mogą zostać włączeni do grupy eksperymentalnej, jak i do kontrolnej. Istnieje oprogramowanie, które losowo przydziela każdego z badanych do grupy eksperymentalnej lub kontrolnej. Dobór losowy jest kluczowy dla rzetelnego planu eksperymentu (ang. experimental design ). Przy dużej próbie (rzędu kilkuset osób) dobór losowy niemal wyklucza systematyczne różnice między grupami. Na przykład niemal niemożliwe byłoby otrzymanie jednej grupy złożonej wyłącznie z mężczyzn z danej klasy społecznej. To ważne, ponieważ jeśli grupy różniłyby się od siebie istotnie, nie wiedzielibyśmy, z czego wynikają różnice zaobserwowane podczas eksperymentu. Czy istniały już wcześniej, czy też zostały spowodowane manipulacją eksperymentalną? Dobór losowy pozwala założyć, że wszelkie różnice zaobserwowane między grupą eksperymentalną a grupą kontrolną wynikają z manipulacji zmienną niezależną (tą, której wpływ chcemy zbadać, w tym przypadku sposobem nauki algebry). Wykorzystaj to narzędzie online , by szybko wygenerować losowe liczby i dowiedzieć się więcej o próbach losowych i doborze losowym. Problemy, które trzeba wziąć pod uwagę Choć eksperymenty pozwalają badaczom wykazać związek przyczynowo-skutkowy, one także mają swoje ograniczenia. Miarodajne eksperymenty wymagają modyfikacji zmiennej niezależnej, co może być problematyczne w przypadku wielu pytań badawczych. Na przykład wyobraź sobie, że chcesz się dowiedzieć, jaki wpływ ma płeć (zmienna niezależna) na pamięć przestrzenną (zmienna zależna). Możesz na podstawie zadania sprawdzającego pamięć przestrzenną szukać różnic między kobietami a mężczyznami, ale nie możesz bezpośrednio kontrolować płci osoby. Tego typu badanie kwalifikujemy jako quasi-eksperymenty i przyznajemy, że w danych okolicznościach nie mamy możliwości ustalenia związku przyczynowo-skutkowego. Eksperymenty są również ograniczone zasadami etycznymi. Nie wolno np. przeprowadzić eksperymentu sprawdzającego, czy przemoc wobec dzieci prowadzi do ich niższej samooceny w dorosłym życiu. By przeprowadzić taki eksperyment, należałoby losowo przypisać część jego uczestników do grupy, która doświadczałaby przemocy, a to byłoby nieetyczne. Interpretowanie wyników eksperymentów Po zebraniu danych z obu grup, eksperymentalnej i kontrolnej, przeprowadzamy ich analizę statystyczną (ang. statistical analysis ), by dowiedzieć się, czy istnieją istotne różnice między nimi. Analiza statystyczna określa m.in. prawdopodobieństwo, że dana różnica między grupami może być przypadkowa (a co za tym idzie, bez znaczenia). Przykładowo, jeśli zbadamy efektywność suplementów diety i nie zaobserwujemy istotnych statystycznie różnic między grupą eksperymentalną (przyjmującą dany specyfik) a kontrolną (otrzymującą placebo), to możemy wnioskować, że konkretne suplementy są nieskuteczne. Generalnie w psychologii różnice między grupami są postrzegane jako istotne statystycznie, jeśli prawdopodobieństwo, że są one przypadkowe (grupy tak naprawdę nie różnią się od siebie) wynosi 5% lub mniej. Innymi słowy, chodzi o ograniczenie do maksymalnie 5% prawdopodobieństwa fałszywie potwierdzonych hipotez. Najsilniejszą stroną eksperymentów jest możliwość uzyskania pewności, że jakakolwiek znacząca zmiana wyników jest spowodowana zmienną niezależną. Taką możliwość zapewnia losowy dobór uczestników do próby oraz takie planowanie eksperymentu, które ograniczy efekt oczekiwań eksperymentatora i uczestników. Dzięki temu tworzymy grupy o podobnym składzie, które traktowane są w ten sam sposób. Tym samym jakakolwiek różnica między grupami może zostać przypisana zmiennej niezależnej, co umożliwia nam stwierdzenie przyczynowości. Jeśli wykażemy, że wykorzystanie nowych technologii w nauczaniu daje takie same wyniki jak metody tradycyjne (a może nawet jest pod pewnymi względami skuteczniejsze), to możemy generalizować te wnioski i wykorzystać je np. w planowaniu efektywnej edukacji. Publikowanie badań Gdy psycholog zakończy projekt badawczy, zazwyczaj chce podzielić się uzyskanymi przez siebie wynikami z innymi naukowcami. Robi to za pośrednictwem publikacji pracy poświęconej swojemu badaniu w czasopismach naukowych. Czasopisma naukowe zazwyczaj publikują recenzowane artykuły naukowe (ang. peer-reviewed journal article ) skierowane do osób zawodowo zajmujących się daną dziedziną oraz naukowców aktywnie zaangażowanych w pracę naukową. Recenzowany artykuł jest czytany i oceniany przez kilku innych naukowców (zazwyczaj anonimowo) mających doświadczenie i znaczny dorobek w danej dziedzinie. Recenzenci przekazują informacje zwrotne, tj. swoje uwagi odnośnie do nadesłanej pracy, autorowi oraz redaktorowi danego czasopisma. Recenzenci skupiają się na istnieniu solidnych przesłanek do przeprowadzenia badania, jasnym opisie procedury badawczej oraz przestrzeganiu zasad etycznych. Jeśli występują jakiekolwiek nieścisłości czy naruszenia w zastosowanych metodach badawczych, założeniach czy interpretacji wyników, zwracają na nie uwagę. Ponadto recenzenci wypowiadają się na temat wartości, jaką przedstawia badanie dla rozwoju danej dyscypliny. Pozwala to na uniknięcie duplikowania wyników badań w literaturze naukowej oraz, do pewnego stopnia, gwarantuje, że każdy nowy artykuł przedstawia nowe informacje. Na koniec redaktor pisma zbiera wszystkie opinie recenzentów i decyduje, czy artykuł zostanie opublikowany w nadesłanej formie (rzadki przypadek), z poprawkami czy w ogóle nie zostanie zaakceptowany do publikacji. Recenzje zapewniają w pewnym stopniu kontrolę jakości badań psychologicznych. Źle przemyślane lub źle przeprowadzone badania zostają odrzucone, a nawet dobrze zaplanowane badanie może zostać ulepszone dzięki sugerowanym poprawkom. Recenzje gwarantują również, że badanie zostanie opisane wystarczająco jasno, by zapewnić jego powtarzalność ( replikowalność ) (ang. replicatability ), tak by inni naukowcy mogli powtórzyć dany eksperyment przy użyciu różnych prób w celu określenia rzetelności wykonania badania. Czasami powtórki badań są wzbogacane o dodatkowe kryteria, które rozszerzają pierwotne wyniki. W każdym przypadku replikacja zapewnia nowe dowody w danym obszarze badawczym. Udane powtórzenia opublikowanego badania sprawiają, że naukowcy są bardziej skłonni posługiwać się jego wynikami, a wielokrotnie nieudane powtórzenia skutkują zazwyczaj wątpliwościami co do słuszności oryginalnego artykułu i zachęcają naukowców do opierania się na innych dowodach. W ostatnich latach mamy do czynienia z tzw. „kryzysem replikacji” (ang. replication crisis ), który dotknął wiele dziedzin nauki, w tym psychologię. Niektórych z najbardziej znanych wyników badań (prowadzonych przez słynnych naukowców) nie udało się zreplikować (zob. dyskusja w: Shrout i Rodgers, 2018). Nawet zdobywczyni Nagrody Nobla, amerykańska chemiczka Frances Arnold, wycofała opublikowany artykuł, ponieważ miała trudności z odtworzeniem swoich wyników (3 stycznia 2020 r.). Tego rodzaju przypadki skłoniły niektórych naukowców do współpracy i bardziej otwartej wymiany, a niektórzy twierdzą, że obecny „kryzys” w rzeczywistości służy podwyższeniu standardów tworzenia nauki i dostarczania rzetelnych wyników (Aschwanden, 2018; Rodgers i Shrout, 2018). Mit wiążący szczepionki z autyzmem i wycofanie opublikowanych badań W 1998 roku zespół kierowany przez Andrew Wakefielda opublikował w prestiżowym czasopiśmie „The Lancet” badanie, które wskazywało, że szczepionki dla dzieci powodują autyzm . Po latach dochodzeń, badań oraz batalii sądowych dowiedziono, że publikacja ta była spreparowanym oszustwem, w efekcie została wycofana z obiegu. Opublikowana praca naukowa może zostać wycofana, gdy przedstawione w niej dane zostaną zakwestionowane, np. z powodu błędnego planu badawczego lub falsyfikacji wyników. Społeczność naukowa zostaje jednocześnie poinformowana, że dana publikacja nie była rzetelna. Wycofanie może zostać zainicjowane przez badacza prowadzącego, jego współpracowników, instytucję macierzystą badacza lub przez redakcję pisma, w którym pierwotnie ukazał się artykuł. W przypadku badania na temat szczepionek i autyzmu wycofanie nastąpiło z powodu istotnego konfliktu interesów. Okazało się, że dla głównego badacza ustalenie związku między dziecięcymi szczepionkami a autyzmem wiązało się z korzyściami finansowymi (Offit, 2008). Niezliczone, zakrojone na szeroką skalę badania epidemiologiczne dowodzą, że szczepionki nie są przyczyną autyzmu i że szczepienie dzieci jest bezpieczne oraz konieczne dla zdrowia jednostki i całego społeczeństwa. Mimo to praca Wakefielda wyrządziła ogromną szkodę – w świadomości społecznej nadal funkcjonuje mit o szkodliwości szczepień. Rodzice nie szczepią dzieci z obawy przed nieistniejącym zagrożeniem, stwarzając realne zagrożenie epidemiczne dla swoich dzieci i dla populacji. W efekcie z roku na rok rośnie liczba zachorowań np. na odrę, jedną z najgroźniejszych chorób wirusowych, które dzięki szczepieniom niemal udało się wyeliminować. ( ). Aby uzyskać więcej informacji o tym, jak przebiegała sprawa badań nad szczepionkami i autyzmem oraz o jej konsekwencjach, przeczytaj książkę Paula Offita Fałszywi prorocy autyzmu: zła nauka, ryzykowna medycyna i poszukiwanie lekarstwa (ang. Autism's False Prophets: Bad Science, Risky Medcine, and the Search for a Cure ). W świadomości społecznej nadal funkcjonuje mit, jakoby szczepionki powodowały autyzm. Źródłem tego mitu jest praca naukowa oparta na sfałszowanych danych. Fałszerstwo zostało udowodnione ponad wszelką wątpliwość i artykuł wycofano z czasopisma, w którym go pierwotnie opublikowano. (Źródło: modyfikacja pracy UNICEF Sverige). Rzetelność i trafność Rzetelność i trafność to wartości o ogromnym znaczeniu dla każdego procesu zbierania danych. Rzetelność (ang. reliability ) danych oznacza możliwość dokładnego powtórzenia wyniku. W kontekście badań psychologicznych oznacza to, że każdy instrument czy narzędzie wykorzystane do gromadzenia danych można wielokrotnie wykorzystać w dokładny i powtarzalny sposób. Istnieje wiele różnych rodzajów rzetelności. Niektóre z nich obejmują: Spójność między oceniającymi (ang. inter-rater reliability ), tj. stopień, w jakim dwóch lub więcej obserwatorów jest zgodnych w swoich wnioskach. Spójność wewnętrzną (ang. internal consistency ), tj. stopień, w jakim różne pozycje w testach, które mierzą to samo, korelują ze sobą. Spójność testu w czasie (ang. test-retest reliability ), tj. stopień, w jakim wyniki danego testu pozostają spójne przy kolejnych pomiarach danej osoby. Niestety, dokładny pomiar nie jest zawsze równoznaczny z poprawnym pomiarem. By zilustrować ten problem, posłużmy się przykładem wagi kuchennej, którą wykorzystamy do zmierzenia masy zjadanych co rano płatków śniadaniowych. Jeśli waga nie jest dobrze skalibrowana, będzie za każdym razem spójnie zawyżała lub zaniżała masę ważonych płatków. Choć waga bardzo dokładnie podaje wyniki (np. ta sama ilość odważanych płatków daje za każdym razem ten sam wynik), to jednak wyniki nie są poprawne. I tu w grę zaczyna wchodzić trafność. Trafność (ang. validity ) odnosi się do stopnia, w jakim dany instrument czy narzędzie mierzy to, co ma mierzyć. Podobnie jak w przypadku rzetelności testu, istnieje kilka rodzajów trafności. Najważniejsze z nich wymieniono poniżej: Trafność ekologiczna (ang. ecological validity ) to stopień, w jakim wyniki uzyskane z badań lub eksperymentów są reprezentatywne dla warunków w szerszym świecie; na przykład badania psychologiczne przeprowadzane wyłącznie wśród studentów uniwersytetów mogą mieć niską trafność ekologiczną, gdy dotyczą całej populacji. Trafność teoretyczna (ang. construct validity ) to cecha narzędzia pomiarowego obejmująca możliwie wyczerpującą liczbę logicznie ze sobą powiązanych pojęć i wskaźników, które mogą zostać wykorzystane do pomiaru jakiegoś obiektu, zjawiska itp. Narzędzie cechujące się trafnością teoretyczną powinno zatem umożliwiać pomiar badanego obiektu lub zjawiska w jego pełnym wymiarze. Na przykład jedno z najpowszechniej wykorzystywanych narzędzi do pomiaru objawów stresu pourazowego (PTSD) , Skala Wpływu Zdarzeń (ang. Impact of Event Scale (IES) , w wersji pierwotnej ujmowało jedynie dwa z trzech definicyjnych objawów PTSD (obecność intruzji i unikania). Dopiero w zrewidowanej wersji IES - R (Weissi Marmar) uwzględniono trzy kluczowe wymiary PTSD, tj. intruzje, unikanie oraz pobudzenie – przejawiające się nadmierną czujnością oraz powracającymi, nieprzyjemnymi emocjami (Kosydar - Bochenek et al., 2016). Trafność fasadowa (ang. face validity ), tj. stopień, w jakim dana zmienna faktycznie wychwytuje lub mierzy to, co ma być zmierzone, czyli jest adekwatna do przedmiotu badania. Przykładem trafności fasadowej może być liczba przeczytanych recenzji książek i filmów w określonym czasie jako wskaźnik zainteresowania życiem kulturalnym. Akceptacja prawa do aborcji może być wskaźnikiem poglądów liberalnych i w tym sensie taki wskaźnik również cechowałby się trafnością fasadową. Poparcie dla partii prawicowej może być trafnym wskaźnikiem poglądów konserwatywnych itd. Podczas gdy każdy trafny pomiar jest siłą rzeczy rzetelny, tak odwrotność tego twierdzenia nie zawsze jest prawdą. Badacze starają się wykorzystywać instrumenty, które są zarazem bardzo rzetelne i trafne. Podsumowanie Korelacja opisywana jest za pomocą współczynnika korelacji r , który przyjmuje wartości od –1 do +1. Współczynnik korelacji wskazuje kierunek korelacji (dodatnia lub ujemna) oraz siłę związku między dwiema lub więcej zmiennymi. Korelacja nie mówi nam nic o przyczynowości bez względu na to, jak silny jest związek między zmiennymi. Mówi jedynie o współwystępowaniu zmiennych. Jedynym sposobem na wykazanie przyczynowości jest przeprowadzenie eksperymentu. Ludzie często popełniają błąd, twierdząc, że korelacje istnieją, podczas gdy nie mają one miejsca (mówimy wtedy o tzw. korelacji pozornej). Badacze mogą sprawdzać hipotetyczne związki przyczynowo-skutkowe, przeprowadzając eksperymenty. W idealnym eksperymencie uczestnicy są wybierani losowo z populacji, której dotyczy eksperyment. Następnie są losowo przydzielani do grup. Czasami badacze i uczestnicy nie wiedzą, kto został przypisany do jakiej grupy, by uniknąć wpływu oczekiwań na wyniki eksperymentu. W dobrze zaplanowanym eksperymencie jedyną różnicą między grupą eksperymentalną a grupą kontrolną jest działanie manipulacji eksperymentalnej w pierwszej grupie. Każda grupa przechodzi przez wszystkie fazy eksperymentu, ale każda doświadcza w innym stopniu oddziaływania zmiennej niezależnej: grupa eksperymentalna zostaje poddana manipulacji eksperymentalnej, a grupa kontrolna nie. Następnie badacz mierzy zmiany zachodzące w zmiennej zależnej w każdej grupie. Kiedy dane z obu grup zostaną zebrane, poddaje się je analizie statystycznej, by określić, czy zaistniały istotne różnice między grupami. Psychologowie prezentują wyniki swoich badań w czasopismach naukowych. Publikowane w ten sposób badania są sprawdzone przez recenzentów – specjalistów z danej dziedziny. Ponadto do opublikowanych wyników mogą się odnieść wszyscy zainteresowani psychologowie. W ten sposób kontroluje się rzetelność prowadzonych badań. Replikacja badań odgrywa ważną rolę w potwierdzaniu słuszności opublikowanego badania. W dłuższym czasie tylko te wyniki, które dają się wielokrotnie powtórzyć, zostają przyjęte przez społeczność naukową. Review Questions Wzrost i masa ciała są skorelowane dodatnio (pozytywnie). Oznacza to, że: Nie ma związku między wzrostem a masą. Zazwyczaj im ktoś jest wyższy, tym jest szczuplejszy. Zazwyczaj im ktoś jest niższy, tym jest cięższy. Zazwyczaj im większy wzrost, tym większa masa. D Który ze współczynników korelacji wskazuje na najsilniejszy związek między zmiennymi? –0,90 –0,50 +0,80 +0,25 A Które zdanie najlepiej ilustruje korelację ujemną między liczbą godzin spędzonych przed telewizorem na tydzień przed egzaminem a oceną z egzaminu? Zbyt długi czas oglądania telewizji skutkuje słabymi wynikami z egzaminu. Mądrzy studenci oglądają mniej telewizji. Oglądanie telewizji wpływa na przygotowanie studentów do egzaminu. Studenci, którzy oglądają więcej telewizji, mają gorsze wyniki z egzaminów. D Współczynnik korelacji wskazuje najsłabszą korelację, gdy ________. jest najbliższy 0 jest najbliższy –1 jest dodatni jest ujemny A ________ oznacza, że każda osoba z danej populacji ma taką samą szansę zostać poproszona o udział w badaniu. Operacjonalizacja Efekt placebo Dobór losowy Próba losowa D ________ podlega kontroli eksperymentatora. ________ podlega pomiarowi i analizie statystycznej. Zmienna zależna; Zmienna niezależna Zmienna niezależna; Zmienna zależna Efekt placebo; Efekt oczekiwań eksperymentatora Efekt oczekiwań eksperymentatora; Efekt placebo B Badacze muszą ________ ważne aspekty ich badania, by inni dokładnie zrozumieli, w jaki sposób te aspekty zostały zdefiniowane. losowo przydzielać losowo wybierać operacjonalizować generalizować C Czasami badacze stosują wśród uczestników z grupy kontrolnej ________, by kontrolować efekty oczekiwań uczestników względem eksperymentu. zmienną zależną zmienną niezależną analizę statystyczną substancję placebo (neutralną) D Critical Thinking Questions W tym podrozdziale opisywaliśmy badanie, które wskazywało, że istnieje korelacja między jedzeniem płatków a masą ciała. Producenci płatków w swoich reklamach przedstawiają tę informację w sposób sugerujący, że jedzenie większej ilości płatków skutkuje prawidłową masą ciała. Dlaczego tak robią i jakie argumenty można wysunąć, by obalić ten rzekomy związek przyczynowo-skutkowy? Producenci płatków próbują zarobić jak najwięcej, więc formułują wyniki badań w sposób, który przyniesie im zyski. Jednak istnieje możliwość, że osoby jedzące mniej tłuste śniadania mają większą świadomość zdrowotną i podejmują inne działania, które pomagają im zachować zdrową masę ciała. Badanie opublikowane ostatnio w czasopiśmie „Nutrition and Cancer” ( „ Odżywianie i Nowotwory”) wykazało korelację ujemną między spożyciem kawy a rakiem piersi. Dokładniej dowiedziono, że kobiety pijące więcej niż pięć filiżanek kawy dziennie miały mniejsze prawdopodobieństwo zachorowania na raka piersi niż kobiety, które nigdy nie piły kawy (Lowcock et al., 2013). Wyobraź sobie, że czytasz w gazecie artykuł o tym badaniu zatytułowany „Kawa chroni przed rakiem”. Dlaczego ten tytuł wprowadza w błąd i dlaczego bardziej precyzyjny tytuł nie przykuwałby uwagi równie skutecznie? Użycie słowa „chroni” sugeruje przyczynowość korelacji. Jeśli tytuł byłby bardziej precyzyjny, nie przykułby tak bardzo uwagi, ponieważ wskazanie, że dwie rzeczy są ze sobą powiązane, jest mniej nośne niż powiedzenie, że jedna powoduje zmianę drugiej. Czasami uzyskanie losowej próbki może być bardzo trudne. Wielu badaczy alternatywnie wykorzystuje dobór wygodny. Popularnym przykładem doboru wygodnego jest przeprowadzenie badania z udziałem studentów psychologii. Jakie są konsekwencje wykorzystania tego typu próbki? Jeśli badanie jest ograniczone do studentów psychologii, to znaczącej redukcji ulega możliwość generalizacji wyników do szerszej populacji. Ponadto próbka złożona ze studentów psychologii może zostać uznana za niereprezentatywną dla studentów uniwersytetu, a tym bardziej dla szerszej populacji. Recenzja to ważny etap publikowania wyników badania w wielu dyscyplinach naukowych. Proces ten jest zazwyczaj przeprowadzany anonimowo: autor recenzowanego artykułu nie wie, kto recenzuje jego pracę, a recenzenci nie wiedzą, kto jest jej autorem. Dlaczego anonimowość recenzji jest ważna? Anonimowość zapobiega wpływowi osobistych uprzedzeń lub sympatii na opinię recenzenta. I odwrotnie, dzięki anonimowości recenzent może być szczery w swoich ocenach artykułu, bez obawy o odwet. Wszyscy mamy od czasu do czasu skłonności do tworzenia korelacji iluzorycznych (pozornych). Pomyśl o korelacji iluzorycznej, w którą osobiście wierzysz, lub takiej, w którą wierzy twój przyjaciel albo ktoś z rodziny. Jak myślisz, czym jest ona spowodowana i co można zrobić, by ją obalić? Czy zadajesz sobie pytania na temat zachowań ludzi lub zwierząt, na które warto byłoby poznać odpowiedź? Postaw hipotezę i krótko opisz, w jaki sposób można by przeprowadzić eksperyment, by odpowiedzieć na takie pytanie. związek przyczynowo-skutkowy (ang. cause-and-effect relationship ) zmiany jednej zmiennej wpływają na zmiany drugiej zmiennej; można określić go tylko poprzez eksperymentalny projekt badawczy błąd konfirmacji ( efekt potwierdzenia ) (ang. confirmation bias ) tendencja do ignorowania dowodów niezgodnych z oczekiwaniami oraz preferowania tych, które potwierdzają nasze oczekiwania zmienna zakłócająca (ang. confounding variable ) nieprzewidziany czynnik, który wpływa na zmienne będące przedmiotem badań, co często daje fałszywe wyniki, jakoby zmiany jednej zmiennej powodowały zmiany drugiej - w rzeczywistości to właśnie czynnik zakłócający jest przyczyną wystąpienia zmian w obu zmiennych (np. dodatnia korelacja między temperaturą a liczbą przestępstw, dodatnia korelacja między wyznawanymi wartościami a dzietnością etc.) grupa kontrolna (ang. control group ) grupa niepoddana działaniu manipulacji eksperymentalnej. Służy do porównania i kontroli czynników losowych, które mogą wpływać na wyniki badania – dzięki utrzymywaniu tych czynników na stałym poziomie w obydwu grupach (kontrolnej i eksperymentalnej) manipulacja eksperymentalna staje się jedyną różnicą między grupami korelacja (ang. correlation ) związek między co najmniej dwiema zmiennymi; jeżeli dwie zmienne są w tym związku, to zmiana wartości jednej zmiennej wiąże się ze zmiennością drugiej zmiennej. Korelacja mówi jedynie o współwystępowaniu obu zmiennych, a nie o związku przyczynowo-skutkowym współczynnik korelacji (ang. correlation coefficient ) liczba od −1 do +1 wskazująca siłę i kierunek korelacji między zmiennymi, najczęściej przedstawiana jako r zmienna zależna (ang. dependent variable ) zmienna poddawana działaniu manipulacji; podlega pomiarowi w badaniach, aby sprawdzić, jak duży wpływ miała na nią zmienna niezależna badanie z podwójnie ślepą próbą (ang. double-blind study ) eksperyment, w którym zarówno badacze, jak i uczestnicy nie wiedzą, do której grupy zostali przydzieleni badani (kontrolnej czy eksperymentalnej) grupa eksperymentalna (ang. experimental group ) grupa poddana działaniu manipulacji eksperymentalnej; manipulacja eksperymentalna jest jedynym czynnikiem różnicującym między grupą eksperymentalną a grupą kontrolną, więc wszelkie różnice między grupami wynikają raczej z manipulacji eksperymentalnej niż z przypadku efekt oczekiwań eksperymentatora (ang. experimenter bias ) oczekiwania badacza wypaczające wyniki badania korelacja pozorna ( iluzoryczna ) (ang. illusory correlation ) dostrzeganie nieistniejących związków między dwiema zmiennymi (lub takich, za które w rzeczywistości odpowiedzialne są inne zmienne) zmienna niezależna (ang. independent variable ) zmienna, na którą eksperymentator ma wpływ lub która jest przez niego kontrolowana; w starannie przeprowadzonym badaniu zmienna niezależna jest jedyną istotną różnicą między grupą eksperymentalną a grupą kontrolną korelacja ujemna (ang. negative correlation ) dwie zmienne zmieniające się w różnych kierunkach, tzn. jedna zmienna rośnie, podczas gdy druga maleje, np. poziom zmęczenia i stopień koncentracji uwagi operacjonalizacja zmiennych (ang. operationalizing ) określenie, jakie wskaźniki są odpowiednie dla określenia poziomu zmiennej i wybór tych wskaźników dla celów badania empirycznego. Na przykład poziom stresu może być operacjonalizowany jako szybkość tętna, stopień pocenia się, napięcie mięśni etc. uczestnicy (ang. participants ) osoby biorące udział w badaniach eksperymentalnych recenzowany artykuł naukowy (ang. peer-reviewed scientific article ) artykuł przeczytany przez kilku innych naukowców (zazwyczaj anonimowo), mających doświadczenie w danej dziedzinie, którzy przekazują informacje zwrotne dotyczące jakości pracy, zanim zostanie ona zaakceptowana do publikacji efekt placebo (ang. placebo effect ) sytuacja, w której stan uczestnika badania ulega poprawie, mimo że podany preparat wcale nie był lekiem (nie zawierał substancji aktywnych). Osoba nie wie, że środek, który przyjęła, nie ma bezpośredniego działania leczniczego. Wierzy w to, iż preparat ma jej pomóc, i rzeczywiście niekiedy zdarza się, że dzięki sile sugestii zaczyna czuć się lepiej. Zjawisko to bazuje na wpływie oczekiwań na subiektywne doświadczanie objawów korelacja dodatnia (ang. positive correlation ) dwie zmienne zmieniają się w tym samym kierunku, tzn. obie rosną albo obie maleją, np. nasilenie objawów depresji i nasilenie objawów lęku dobór losowy ( przydział losowy ) (ang. random sampling ) taki dobór uczestników z populacji do próby badawczej, w którym wszystkie charakterystyki populacji mają równe szanse dostania się do próby (a następnie mają taką samą szansę na przydzielenie do grup eksperymentalnych lub kontrolnych) próba losowa (ang. random sample ) podzbiór większej populacji, w którym każdy członek populacji ma równe szanse na bycie wybranym; próba losowa sprzyja uzyskiwaniu grup badawczych charakteryzujących się rozkładem zbliżonym do rozkładu populacji (np. pod względem płci, wykształcenia, statusu ekonomicznego etc.) rzetelność (ang. reliability ) cecha oznaczająca powtarzalność i dokładność pomiaru; rzetelność, obok trafności, jest jednym z podstawowych kryteriów jakości badania naukowego - pojęcie to odnosi się do różnych terminów z zakresu metodologii nauk: można mówić o rzetelności testu, wyników badania czy wręcz badania naukowego jako całości powtarzalność ( replikowalność ) (ang. replicatability ) powtarzanie danego eksperymentu na różnych próbach w celu określenia rzetelności wykonania badania badanie metodą pojedynczo ślepej próby (ang. single-blind study ) eksperyment, w którym prowadzący badanie wie, którzy uczestnicy należą do grupy eksperymentalnej, a którzy znajdują się w grupie kontrolnej (ale nie wiedzą tego sami uczestnicy) analiza statystyczna (ang. statistical analysis ) analiza matematyczna danych uzyskanych w badaniu; określa m.in. prawdopodobieństwo, że dana różnica między grupami może być dziełem przypadku lub mieć istotne znaczenie trafność (ang. validity ) zakres, w którym pomiar rzeczywiście odzwierciedla zjawisko, do którego się odwołuje. Trafność jest jednym z podstawowych kryteriów jakości narzędzia naukowego; pojęcie to odnosi się do różnych terminów z zakresu metodologii nauk: można mówić o trafności wskaźnika, testu, wyników badania czy wręcz badania naukowego jako całości", "section": "Analiza wyników", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Etyka Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić sposób regulacji badań z udziałem ludzi Podsumować procesy świadomej zgody i podsumowania Wyjaśnić, w jaki sposób regulowane są badania z udziałem zwierząt W dzisiejszych czasach naukowcy są zgodni, że dobre badania to badania etyczne, szanujące godność człowieka i jego bezpieczeństwo. Jednak, jak przeczytasz poniżej, nie zawsze tak było. Współcześni badacze muszą wykazać, że prowadzone przez nich badanie jest etyczne. W tym podrozdziale powiemy, jak względy etyczne wpływają na planowanie i sposób przeprowadzania badań. Badania z udziałem ludzi Każdy eksperyment, w którym ludzie są podmiotem badania, musi spełnić wiele surowych wymagań, mających zagwarantować bezpieczeństwo uczestników. W Polsce każda instytucja badawcza (zatem także uczelnie wyższe) powołuje własne komisje etyczne, których zadaniem jest opiniowanie projektów badawczych. W skład tych komisji wchodzą pracownicy naukowi danej jednostki. W Polsce dla dużych projektów badawczych finansowanych przez instytucje państwowe (a nie ze środków wewnętrznych uczelni) wiążąca jest opinia komisji etycznej z konkretnego ośrodka naukowego. Taką instytucją jest m.in. Narodowe Centrum Nauki (NCN). Narodowe Centrum Nauki rekomenduje opiniowanie projektów badawczych przez jednostki naukowe pod kątem etycznym zwłaszcza w pięciu przypadkach: Badania, w których uczestnikami są osoby mające ograniczoną zdolność do wyrażenia świadomej zgody na udział w badaniu, a także odmowy w trakcie badania, np. dzieci do 12. roku życia, osoby z niepełnosprawnością intelektualną, więźniowie etc. Badania, w których mają wziąć udział osoby szczególnie podatne na urazy psychiczne i zaburzenia zdrowia psychicznego, np. chorzy terminalnie, ofiary katastrof, traum wojennych etc. Badania polegające na aktywnej interwencji w zachowanie człowieka, zmierzające do zmiany tego zachowania, np. treningi poznawcze, psychoterapia, treningi umiejętności etc. Co ważne i wyraźnie zaznaczone, dotyczy to również sytuacji, gdy zamierzona interwencja ma przynieść korzyść badanemu, np. usprawnić jego pamięć. Badania dotyczące kontrowersyjnych kwestii (np. aborcji, in vitro, kary śmierci) albo wymagające zachowania szczególnej delikatności (np. przekonań religijnych lub postaw wobec grup mniejszościowych). Badania długotrwałe, męczące, wyczerpujące fizycznie lub psychicznie. (Narodowe Centrum Nauki, 2016). Komisja bioetyczna spotyka się regularnie, by zapoznawać się z propozycjami eksperymentów z udziałem ludzi. (Źródło: modyfikacja pracy Lowndes Area Knowledge Exchange (LAKE)/Flickr). Aby eksperyment został zaakceptowany przez komisję, musi spełnić określone wymogi. Przede wszystkim przed przystąpieniem do badania każdy jego uczestnik musi podpisać oświadczenie o świadomej zgodzie na udział w badaniu. Formularz świadomej zgody (ang. informed consent ) zawiera informację, czego uczestnik może się spodziewać podczas eksperymentu, jakie ryzyko jest z nim związane oraz jakie może mieć konsekwencje. Uczestnik zostaje również poinformowany, że jego udział w badaniu jest całkowicie dobrowolny oraz że ma możliwość wycofania się w każdej chwili bez jakichkolwiek zobowiązań. Ponadto świadoma zgoda gwarantuje całkowitą poufność zebranych w eksperymencie danych. W przypadku badań z udziałem osób poniżej 18. roku życia wymagana jest świadoma zgoda rodziców lub prawnych opiekunów. Na procedurę, w trakcie której osoby na podstawie uzyskanych informacji decydują, czy uczestniczyć w badaniu, składają się cztery czynniki (wg Frankfort-Nachmias i Nachmias, 2001): kompetencja, dobrowolność, pełna informacja i zrozumienie. 1) Kompetencja zakłada, że decyzje podjęte przez osoby dojrzałe, sprawne intelektualnie, odpowiedzialne, którym ponadto udzielono wszelkich potrzebnych informacji na temat badania, są decyzjami właściwymi i niekwestionowanymi. W przypadku, kiedy uczestnikami badania są osoby ze swej natury niebędące w stanie dokładnie zrozumieć zagadnień danego eksperymentu (np. z poważnymi zaburzeniami intelektualnymi/psychicznymi lub dzieci), należy podjąć dalsze kroki. Jeśli eksperyment może przynieść bezpośrednie korzyści dla osób biorących w nim udział (np. jeśli badany jest wpływ terapii), wówczas o możliwości uczestniczenia w badaniu zadecydować mogą opiekunowie prawni. Natomiast jeśli sytuacja badawcza nie zakłada ewentualnych korzyści dla osób badanych, a wręcz przeciwnie, wiąże się z pewnymi obciążeniami natury fizycznej czy emocjonalnej, to badanie nie powinno się odbyć. 2) Dobrowolność opiera się na założeniu, że udział osób w danym eksperymencie powinien być dobrowolny. Innymi słowy, decyzja o udziale w badaniu powinna zostać podjęta bez jakichkolwiek elementów przymusu, manipulacji czy nakłaniania. W naturalnych sytuacjach warunek taki wydaje się łatwy do spełnienia, jednak w przypadku badań przeprowadzanych np. w więzieniach, szpitalach czy szkołach dobrowolny udział uczestników nie jest już taki oczywisty. Nawet w sytuacji studentów, którym za udział w badaniach przyznawane są punkty za zajęcia (a na niektórych uczelniach wręcz mają obowiązek uczestnictwa), warunek dobrowolności jest dyskusyjny. 3) Pełna informacja zakłada poinformowanie uczestnika o wszelkich przewidywanych skutkach badania, zarówno pozytywnych, jak i negatywnych. Ponadto ważne jest udzielenie informacji o możliwości przerwania badania w dowolnym momencie, szczegółowe omówienie procedury badawczej oraz odpowiedź na wszelkie pytania. Co ważne, często sam badacz nie dysponuje całościową wiedzą na temat badania, np. nie jest w stanie przewidzieć wszelkich możliwych następstw. 4) Zrozumienie opiera się przede wszystkim na takim sposobie przedstawienia treści związanych z przebiegiem i celami badania, aby mieć pewność, że uczestnik właściwie je zrozumiał i otrzymał wyjaśnienie wszystkich swoich wątpliwości. Nacisk położony jest tu przede wszystkim na dostosowanie przekazu do danej osoby. Odwiedź tę stronę , by zobaczyć przykład formularza zgody świadomej. O ile w świadomej zgodzie opis tego, co dokładnie będą robili uczestnicy podczas eksperymentu, powinien być możliwie dokładny i wyczerpujący, o tyle czasami konieczne jest maskowanie. Kiedy znajomość dokładnych założeń badania mogłaby wpłynąć na wyniki eksperymentu, nie zdradza się ich uczestnikom. Maskowanie (ang. deception ) polega na celowym zatajeniu prawdziwego celu badania, a czasami nawet na wprowadzeniu w błąd uczestników, żeby zachować integralność eksperymentu, jednak nie w stopniu, który mógłby zostać uznany za szkodliwy. Na przykład jeśli jesteśmy zainteresowani tym, w jaki sposób opinia o innych zależy od ich ubioru, wówczas w opisie eksperymentu moglibyśmy uciec się do maskowania, by znajomość celu badania nie wpłynęła na odpowiedzi uczestników. W przypadkach, w których badacze posłużyli się maskowaniem, na koniec badania uczestnicy muszą przejść procedurę wyjaśniania prawdziwego celu badania, czyli tzw. procedurę odkłamania (ang. debriefing ), podczas której otrzymują pełne i zgodne z prawdą informacje o celu eksperymentu, o sposobie, w jaki zebrane dane zostaną wykorzystane, o powodach, dla których maskowanie było konieczne, oraz możliwościach uzyskania dodatkowych informacji na temat badania. Często procedura odkłamania zawiera także spotkanie z uczestnikami eksperymentu, w trakcie którego następuje omówienie ewentualnego wpływu badania na ich dobrostan psychiczny oraz – w razie konieczności – zapewnienie im wsparcia psychologicznego. Badania z udziałem zwierząt Wielu psychologów prowadzi badania z udziałem zwierząt. Badacze często wykorzystują gryzonie ( ) lub ptaki jako przedmioty swoich eksperymentów – Amerykańskie Towarzystwo Psychologiczne (APA) szacuje, że są one wykorzystywane w 90% wszystkich badań z udziałem zwierząt (ang. animal research ) z dziedziny psychologii (Amerykańskie Towarzystwo Psychologiczne, n.d.). Ponieważ wiele podstawowych procesów u zwierząt i ludzi jest w wystarczającym stopniu podobnych, zwierzęta są akceptowane w zastępstwie człowieka w badaniach, w których udział ludzi zostałby uznany za nieetyczny. Badania dotyczące zwierząt dopuszczają nieco większą swobodę badawczą, na przykład w kontekście zadawania cierpienia. W przypadku ludzi jest to czynnik bezwzględnie uniemożliwiający przeprowadzenie badania – projekt, w którym zaznaczone jest, że dana jednostka może odczuwać cierpienie (różnie rozumiane), zostaje wykluczony i nie dopuszcza się do jego realizacji; natomiast w przypadku zwierząt mówi się o zminimalizowaniu w jak największym stopniu cierpienia oraz dopuszczeniu takich badań do realizacji tylko w wyjątkowych, głęboko uzasadnionych przypadkach (Frankfort-Nachmias i Nachmias, 2001). Szczury, jak ten na zdjęciu, często są obiektami badań z udziałem zwierząt. Nie oznacza to, że badacze prowadzący eksperymenty z udziałem zwierząt nie podlegają wymogom etycznym. Wręcz przeciwnie, humanitarne i etyczne traktowanie zwierząt jest podstawowym wymogiem dla tego typu badań. Badacze muszą je zaplanować w taki sposób, by zminimalizować ból i stres, którego w ich efekcie doświadczą zwierzęta. W Polsce każdy projekt badawczy z udziałem zwierząt (podobnie jak z udziałem ludzi) musi uzyskać pozytywną opinię komisji etyki właściwej dla danej jednostki. Ponadto obowiązują nadrzędne ustawy, takie jak Ustawa z 21 stycznia 2005 roku o doświadczeniach na zwierzętach oraz Ustawa z dnia 15 stycznia 2015 roku o ochronie zwierząt wykorzystywanych do celów naukowych lub edukacyjnych. W szczególności ostatnia z wymienionych poświęcona jest opisywanemu zagadnieniu, a jej postanowienia stanowią wykonanie Dyrektywy Parlamentu Europejskiego i Rady 2010/63/UE z dnia 22 września 2010 roku w sprawie ochrony zwierząt wykorzystywanych do celów naukowych (Żukowski, 2017). Przywołana powyżej ustawa, pozostając w zgodności z zaleceniami Unii Europejskiej, przewiduje: ograniczenie doświadczeń na zwierzętach do minimum przy założeniu zwiększenia wykorzystania metod alternatywnych, określenie celów, które uzasadniają prowadzenie na zwierzętach procedur doświadczalnych zgodnie z zakresem systemu nadzoru etycznego w celu wykonania przepisu ustawy, ustalenie pochodzenia gatunków zwierząt dopuszczonych do wykorzystania w celach naukowych (ogranicza się udział np. zwierząt dzikich, bezdomnych oraz ssaków naczelnych), określenie niezbędnych kwalifikacji personelu naukowego i technicznego, który bierze udział w projektowaniu i przeprowadzaniu doświadczeń oraz sprawuje nadzór nad dobrostanem zwierząt, jak również osób, które wchodzą w skład komisji etycznych, określenie kryteriów oceny etycznej projektów doświadczeń i normalizację procedury takiej oceny, określenie sankcji, zmiany w strukturze i sposobie funkcjonowania komisji etycznych ds. doświadczeń na zwierzętach. Ogólnie rzecz biorąc, standardy w badaniach nad zwierzętami dążą do wprowadzenia trzech kluczowych zasad: 1) zastąpienia ( replacement ), 2) zmniejszenia ( reduction ) oraz 3) doskonalenia ( refinement ). Zasada zastąpienia przewiduje, że badania z udziałem zwierząt należy prowadzić tylko w przypadkach, kiedy nie jest możliwe lub jest nieracjonalne zastosowanie innej metody badawczej. Zasada zmniejszenia zakłada wykorzystanie jak najmniejszej liczby zwierząt w procedurach doświadczalnych i naukowych. Sposobem na zmniejszenie tej liczby jest m.in. wielokrotne przeprowadzanie procedur na tych samych zwierzętach, o ile nie wiąże się to z pogorszeniem ich dobrostanu. Zasada doskonalenia polega na poprawie zarówno metod hodowli, jak i samych procedur badawczych tak, aby wykluczyć lub zminimalizować potencjalny ból, stres i cierpienie zwierzęcia (Żukowski, 2017). Summary Etyka w badaniach naukowych wciąż ewoluuje. Praktyki, które były akceptowane lub tolerowane w przeszłości, dziś są uznawane za nieetyczne. Podczas eksperymentów z udziałem ludzi badacze muszą przestrzegać podstawowych wymogów etycznych. Każdy eksperyment z udziałem ludzi musi uzyskać akceptację komisji etycznej danej jednostki naukowej. Udział w nim jest dobrowolny i wymaga świadomej zgody uczestników. Jeśli w ramach eksperymentu posłużono się maskowaniem, to każdy uczestnik musi przejść procedurę wyjaśniania prawdziwego celu badania po jego zakończeniu (procedurę odkłamania). Badania z udziałem zwierząt również odbywają się z zachowaniem wysokich standardów etycznych. Badacze wykorzystujący zwierzęta jako obiekty eksperymentów muszą zaplanować badania tak, by wynikający z nich ból został zminimalizowany. Badania z udziałem zwierząt również wymagają zgody komisji etycznej, są także regulowane rozporządzeniami państwowymi. Review Questions Badacze mogą posłużyć się ________, jeśli przedstawienie uczestnikom wszystkich szczegółów badania mogłoby wypaczyć ich odpowiedzi. świadomą zgodą maskowaniem etyką procedurą wyjaśniania prawdziwego celu badania B Udział osoby w projekcie badawczym musi być ________. losowy wynagrodzony dobrowolny publiczny C Przed wzięciem udziału w eksperymencie uczestnik powinien przeczytać i podpisać ________. świadomą zgodę procedurę wyjaśniania prawdziwego celu badania formularz IRB formularz etyczny A Critical Thinking Questions Niektórzy uważają, że badania z udziałem zwierząt są z natury złe pod względem etycznym, ponieważ w przeciwieństwie do ludzi, zwierzęta nie mogą wyrazić zgody na udział. Czy zgadzasz się z tym poglądem? Biorąc pod uwagę, że zwierzęta nie wyrażają zgody na udział w projektach badawczych, jakiego typu działania mogą zapewnić im możliwie najbardziej humanitarne traktowanie? Brak możliwości uzyskania zgody od zwierząt biorących udział w badaniach nakłada dodatkową odpowiedzialność na badacza, który musi zapewnić im możliwie najbardziej humanitarne traktowanie oraz szanować ich poświęcenie dla postępu nauki. Podobnie jak ludzie zwierzęta również powinny korzystać z efektów badań, tak jak to ma miejsce chociażby w przypadku coraz bardziej zaawansowanej medycyny weterynaryjnej. Na końcu poprzedniego podrozdziału twoim zadaniem było zaplanowanie prostego eksperymentu, by uzyskać odpowiedź na nurtujące cię pytanie. Jakie etyczne zagadnienia musisz wziąć pod uwagę, by twój eksperyment był zgodny z etycznymi oczekiwaniami społeczności naukowej? Badanie powinno zostać zaplanowane w taki sposób, by odpowiadało zasadom opisanym w tym podrozdziale. W odniesieniu do ludzi są to zasady dotyczące procedury informowania: kompetencja, dobrowolność, pełna informacja i zrozumienie, a w odniesieniu do zwierząt dążenie do zadbania o jak najlepszy dobrostan, w tym wyeliminowania (lub zminimalizowania) cierpienia. Personal Application Questions Zastanów się nad postępami, jakie poczyniło nasze społeczeństwo dzięki badaniom z udziałem zwierząt. W jaki sposób ty, twój przyjaciel lub członek twojej rodziny skorzystaliście osobiście z efektów tego typu badań? procedura odkłamania (procedura wyjaśniania prawdziwego celu badania) (ang. debriefing) jeśli eksperyment psychologiczny zakładał zatajenie celu badania przed uczestnikami, to po jego zakończeniu otrzymują oni pełne i zgodne z prawdą informacje o eksperymencie oraz o jego wynikach maskowanie (ang. deception) celowe wprowadzenie w błąd uczestników badania w celu zachowania integralności eksperymentu zgoda świadoma (ang. informed consent ) udzielenie zgody na udział w badaniu poprzedzone informacją, czego uczestnik może się spodziewać podczas eksperymentu, jakie ryzyko jest z nim związane oraz jakie może mieć konsekwencje komisja etyczna (ang. ethical commission ) zrzeszenie naukowców i członków społeczności uniwersyteckiej, które analizuje wnioski dotyczące badań naukowych z udziałem ludzi i zwierząt oraz opiniuje je pod kątem zachowania zasad etyki. W Polsce funkcję tę pełnią komisje bioetyczne przy instytucjach zajmujących się badaniami naukowymi (np. w ramach wydziału psychologii danej uczelni)", "section": "Etyka", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie W zależności od wyboru technik obrazowania otrzymujemy różne informacje na temat funkcjonowania mózgu. Od lewej: obraz uzyskany metodą pozytonowej tomografii emisyjnej (PET), tomografii komputerowej (TK) i czynnościowego rezonansu magnetycznego (fMRI). (Źródło: obraz po lewej: modyfikacja za amerykańskim Departamentem Zdrowia i Usług Społecznych, Narodowy Instytut Zdrowia (National Institutes of Health, NIH); obraz środkowy: modyfikacja za „Aceofhearts1968”, Wikimedia Commons; obraz po prawej: modyfikacja pracy Kim J., Matthews N. L., Park S.). Czy zdarzyło ci się kiedyś rozłożyć jakieś urządzenie na czynniki pierwsze, żeby dowiedzieć się, jak działa? Wielu z nas kiedyś tak zrobiło, żeby naprawić zepsuty mechanizm, albo nawet z czystej ciekawości. Wnętrze maszyny często bardzo różni się od tego, co nazywamy interfejsem użytkownika. Przecież zwiększając głośność w smartfonie, mało kto na co dzień myśli o obwodach i mikroczipach; chcemy tylko uzyskać odpowiednie natężenie dźwięku. Podobnie jest z ludzkim ciałem. Wewnętrzne mechanizmy często różnią się od zewnętrznych przejawów ich działania. Zadaniem psychologów jest odnalezienie związku między tym, co na zewnątrz, a tym, co w środku, np. odkrycie, w jaki sposób wyładowania milionów neuronów stają się myślą. W tym rozdziale spróbujemy wyjaśnić biologiczne mechanizmy warunkujące ludzkie zachowania. Te fizjologiczne i anatomiczne fundamenty stanowią podstawę wielu dziedzin psychologii. Z tego rozdziału nauczysz się, w jaki sposób genetyka wpływa zarówno na naszą fizjologię, jak i na cechy psychiczne. Poznasz budowę i działanie układu nerwowego. Na koniec dowiesz się, jak współdziała on z układem wewnątrzwydzielniczym. References Arnst, C. (2003, November). Commentary: Getting rational about health-care rationing. Bloomberg Businessweek Magazine . Retrieved from http://www.businessweek.com/stories/2003-11-16/commentary-getting-rational-about-health-care-rationing. Berridge, K. C., & Robinson, T. E. (1998). What is the role of dopamine in reward: Hedonic impact, reward learning, or incentive salience? Brain Research Reviews , 28 , 309–369. Chandola, T., Brunner, E., & Marmot, M. (2006). Chronic stress at work and the metabolic syndrome: A prospective study. BMJ , 332 , 521–524. Comings, D. E., Gonzales, N., Saucier, G., Johnson, J. P., & MacMurray, J. P. (2000). The DRD4 gene and the spiritual transcendence scale of the character temperament index. Psychiatric Genetics , 10 , 185–189. Confer, J. C., Easton, J. A., Fleischman, D. S., Goetz, C. D., Lewis, D. M. G., Perilloux, C., & Buss, D. M. (2010). Evolutionary psychology: Controversies, questions, prospects, and limitations. American Psychologist , 65 , 110–126. Gaines, C. (2013, August). An A-Rod suspension would save the Yankees as much as $37.5 million in 2014 alone. Business Insider . Retrieved from http://www.businessinsider.com/an-a-rod-suspension-would-save-the-yankees-as-much-as-375-million-in-2014-2013-8. Gardner, E. L. (2011). Addiction and brain reward and antireward pathways. Advances in Psychosomatic Medicine , 30 , 22–60. George, O., Le Moal, M., & Koob, G. F. (2012). Allostasis and addiction: Role of the dopamine and corticotropin-releasing factor systems. Physiology & Behavior , 106 , 58–64. Glaser, R., & Kiecolt-Glaser, J. K. (2005). Stress-induced immune dysfunction: Implications for health. Nature Reviews Immunology , 5 , 243–251. Gong, L., Parikh, S., Rosenthal, P. J., & Greenhouse, B. (2013). Biochemical and immunological mechanisms by which sickle cell trait protects against malaria. Malaria Journal . Advance online publication. doi:10.1186/1475-2875-12-317. Hardt, O., Einarsson, E. Ö., & Nader, K. (2010). A bridge over troubled water: Reconsolidation as a link between cognitive and neuroscientific memory research traditions. Annual Review of Psychology, 61 , 141–167. Macmillan, M. (1999). The Phineas Gage Information Page. Retrieved from http://www.uakron.edu/gage. March, J. S., Silva, S., Petrycki, S., Curry, J., Wells, K., Fairbank, J., .Burns, B., Domino, M., McNulty, S., Vitiello, B., Severe, J. (2007). The treatment for adolescents with depression study (TADS): Long-term effectiveness and safety outcomes. Arch Gen Psychiatry, 64 , 1132–1143. Mustanski, B. S., DuPree, M. G., Nievergelt, C. M., Bocklandt, S., Schork, N. J., & Hamer, D. H. (2005). A genome wide scan of male sexual orientation. Human Genetics , 116 , 272–278. National Institute on Drug Abuse. (2001, July). Anabolic steroid abuse: What are the health consequences of steroid abuse? National Institutes of Health . Retrieved from http://www.drugabuse.gov/publications/research-reports/anabolic-steroid-abuse/what-are-health-consequences-steroid-abuse. Squire, L. R. (2009). The legacy of patient H. M. for neuroscience. Neuron , 61 , 6–9. Tienari, P., Wynne, L. C., Sorri, A., et al. (2004). Genotype-environment interaction in schizophrenia spectrum disorder: long-term follow-up study of Finnish adoptees. British Journal of Psychiatry , 184 , 216–222. University of Utah Genetic Science Learning Center. (n.d.). What are genetic disorders? Retrieved from https://learn.genetics.utah.edu/content/disorders.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Genetyka człowieka Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić podstawowe zasady teorii ewolucji na drodze doboru naturalnego Omówić różnice między genotypem a fenotypem Omówić, w jaki sposób interakcje gen-środowisko są krytyczne dla wyrażania cech fizycznych i psychicznych Psychologowie studiują genetykę, by lepiej zrozumieć biologiczne podstawy niektórych zachowań. I chociaż organizm każdego z nas jest zbudowany z tych samych elementów – mózgu, komórek z materiałem genetycznym – przejawem ich funkcjonowania jest bardzo szeroki wachlarz zachowań, myśli i reakcji. Dlaczego z dwojga ludzi zakażonych tym samym zarazkiem jedno przeżywa, a drugie poddaje się chorobie? Jak choroby genetyczne przekazywane są z pokolenia na pokolenie? Czy choroby psychiczne takie jak depresja lub schizofrenia mogą mieć podłoże genetyczne? Do jakiego stopnia cechy psychiczne mogą wpływać na takie choroby jak otyłość dziecięca? By znaleźć odpowiedzi na te pytania, zacznijmy od choroby genetycznej zwanej anemią sierpowatą (ang. sickle-cell anemia ) i zastanówmy się, jak może ona objawiać się u dwóch chorujących na nią sióstr. Anemia sierpowata to genetyczna przypadłość, w której czerwone krwinki (erytrocyty), prawidłowo okrągłe, przybierają kształt sierpa ( ). Zmiana kształtu (w wyniku zmienionej budowy hemoglobiny – białka transportującego tlen we krwi) wpływa na funkcję: krwinki sierpowate mogą zatykać drobne naczynia krwionośne, tamując w nich przepływ krwi. Skutkiem jest wysoka gorączka, silny ból, obrzęk i uszkodzenie tkanek oraz niedokrwistość. Prawidłowe erytrocyty swobodnie przepływają przez naczynia krwionośne, podczas gdy te sierpowate tworzą zatory blokujące przepływ krwi. Wiele osób z anemią sierpowatą – nosicieli wywołującej ją mutacji genetycznej – umiera w młodym wieku. Choć dobór naturalny sugerowałby, że chorzy mają niski współczynnik przeżywalności, a zatem choroba z czasem powinna stawać się coraz rzadsza, w rzeczywistości tak nie jest. Mimo negatywnych efektów związanych z tą genetyczną mutacją kodujący ją gen pozostaje stosunkowo rozpowszechniony wśród osób pochodzenia afrykańskiego. Dlaczego? Spróbujmy to wyjaśnić na przykładzie dwóch młodych kobiet. Niech jedna ma na imię Luwi, a druga Sena. Są siostrami i mieszkają w wiosce w Zambii. Luwi jest nosicielką genu anemii sierpowatej, Sena – nie. Nosiciele mają jedną kopię genu wywołującego chorobę, ale w normalnych okolicznościach nie chorują. Objawy pojawiają się u nich, tylko jeśli są bardzo odwodnieni albo niedotlenieni (np. podczas wysokogórskiej wspinaczki). Uważa się, że nosiciele są odporni na malarię (często śmiertelną chorobę rozpowszechnioną w tropikach), ponieważ zmiany w ich krwi i układzie odpornościowym uniemożliwiają rozwój zarodźcowi malarii (Gong, Parikh, Rosenthal, Greenhouse, 2013). Pełnoobjawowa anemia sierpowata (wynikająca z posiadania dwóch kopii felernego genu) takiej ochrony nie zapewnia. W drodze powrotnej ze szkoły obie siostry zostają pogryzione przez zakażone pasożytem malarii komary. Luwi jest odporna na zakażenie malarią, gdyż jest nosicielką genu anemii sierpowatej. Tymczasem Sena zapada na malarię i po dwóch tygodniach umiera. Luwi żyje dalej, zostaje matką i może przekazać mutację swoim dzieciom. Jeśli chcesz dowiedzieć się więcej o mutacji DNA wywołującej anemię sierpowatą, wejdź na tę stronę internetową . W Polsce od 1968 roku malaria praktycznie nie występuje, więc zmutowany gen nie ma żadnej wartości: jego obecność ujawnia się głównie w postaci problemów zdrowotnych, niewielkich u nosicieli, ciężkich przy pełnoobjawowej chorobie, a nie daje żadnych korzyści. Sytuacja w innych rejonach świata jest jednak odmienna. W Afryce, gdzie malaria jest powszechna, posiadanie mutacji anemii sierpowatej jest dla nosicieli korzystne. Powyższa historia dotycząca malarii pasuje do teorii ewolucji poprzez dobór naturalny (ang. theory of evolution by natural selection ) sformułowanej przez Karola Darwina (1809–1882) ( ). Najprościej rzecz ujmując, teoria ta głosi, że przeżywają organizmy lepiej przystosowane do środowiska i to one rozmnażają się, podczas gdy gorzej przystosowane po prostu wymierają. W naszym przykładzie z malarią widzimy, że u Luwi mutacja ma duży walor adaptacyjny w jej afrykańskiej ojczyźnie; gdyby jednak mieszkała w Polsce (gdzie malaria praktycznie nie występuje), stałaby się kosztownym brzemieniem; jej potomkowie z dużym prawdopodobieństwem zachorowaliby na anemię, a i u niej samej zapewne pojawiłyby się niewielkie problemy zdrowotne. (a) W roku 1859 Karol Darwin przedstawił w swojej książce O powstawaniu gatunków teorię ewolucji poprzez dobór naturalny. (b) W książce jest tylko jedna rycina: diagram pokazujący, jak gatunki ewoluują w czasie dzięki doborowi naturalnemu. Dwa punkty widzenia na genetykę i zachowanie Łatwo pomylić dwie dziedziny zajmujące się zależnościami między genami a środowiskiem. Chodzi o psychologię ewolucyjną (ang. evolutionary psychology ) i genetykę behawioralną (ang. behavioral genetics ); w polskiej literaturze psychologicznej używany jest też termin genetyka zachowania . Co je różni? W obu dziedzinach uznaje się, że geny nie tylko kodują określone cechy, ale także mają swój wkład w pewne schematy poznawcze i behawioralne. Psychologia ewolucyjna skupia się na tym, jak uniwersalne wzorce zachowań i procesy poznawcze ewoluowały w czasie. Chodzi o to, że zmienność w zachowaniu i poznaniu sprawia, że poszczególne osobniki odnoszą większy lub mniejszy sukces reprodukcyjny i przekazują te geny kolejnym pokoleniom. Psychologowie ewolucyjni badają różnorodne zjawiska psychologiczne, które mogły wyewoluować jako przystosowania, np. reakcję ucieczki, preferencje żywieniowe, wybór partnera i zachowania kooperacyjne (Confer et al., 2010). Podczas gdy psychologowie ewolucyjni skupiają się na uniwersalnych wzorcach, które ewoluowały przez miliony lat, genetycy behawioralni badają, jak poprzez interakcje genów i środowiska indywidualne różnice pojawiają się tu i teraz. Studiując ludzkie zachowania, genetycy behawioralni często odwołują się do badań bliźniąt i dzieci adoptowanych. Badania na bliźniętach porównują częstość, z jaką określona cecha behawioralna jest obecna u bliźniąt jednojajowych i dwujajowych (inaczej monozygotycznych i dizygotycznych). Z kolei badania na dzieciach adoptowanych porównują tę częstość u dzieci wychowywanych w biologicznych rodzinach w stosunku do dzieci wychowywanych w rodzinach adopcyjnych. Oba podejścia dostarczają informacji na temat względnego znaczenia genów i środowiska dla występowania określonej cechy. Obejrzyj wywiad ze znanym psychologiem ewolucyjnym (ang. evolutionary psychologist ) Davidem Bussem, a dowiesz się, jak psycholog podchodzi do ewolucji i jak takie podejście wpisuje się w nauki społeczne. Zmienność genetyczna Zmienność genetyczna między osobnikami jest tym, co przyczynia się do adaptacji gatunku do środowiska. U ludzi ta zmienność zaczyna się od komórki jajowej, około stu milionów plemników i zapłodnienia. Płodne kobiety jajeczkują mniej więcej co miesiąc, uwalniając komórkę jajową z pęcherzyka w jajniku. Gdy komórka jajowa wędruje z jajnika przez jajowód do macicy, plemnik ma szansę ją zapłodnić. Zarówno komórka jajowa, jak i plemnik zawierają po 23 chromosomy. Chromosomy (ang. chromosome ) to długie łańcuchy materiału genetycznego znanego jako kwas deoksyrybonukleinowy (DNA) (ang. deoxyribonucleic acid ). DNA ma kształt helisy (spirali) i jest zbudowane z nukleotydów. W każdym chromosomie fragment łańcucha DNA o charakterystycznej sekwencji nukleotydów tworzy gen (ang. gene ). Geny kontrolują całkowicie lub częściowo szereg widocznych cech, takich jak kolor oczu, włosów itp. Pojedynczy gen może mieć różne odmiany, zwane allelami. Allel (ang. allele ) to swoista wersja genu. Zatem określony gen może kodować taką cechę, jak kolor włosów, zaś różne allele tego genu sprawiają, że każdy z nas ma taki a nie inny kolor. Gdy dochodzi do przeniknięcia plemnika do komórki jajowej, zawarte w nich chromosomy łączą się, tworząc 23 pary chromosomów. Każde z rodziców dostarcza zatem potomkowi połowy genetycznej informacji; fizyczne cechy dziecka (nazywane fenotypem) są więc efektem interakcji materiału genetycznego pochodzącego od rodziców (zwanego genotypem). Genotyp (ang. genotype ) osoby to inaczej zespół jej wszystkich genów odziedziczony po rodzicach, fenotyp (ang. phenotype ) zaś to zespół cech (fizjologicznych, anatomicznych, psychicznych itp.) danej osoby, będących skutkiem interakcji genotypu i środowiska ( ). (a) Genotyp to inaczej struktura genetyczna danej osoby, jest złożony z materiału genetycznego (DNA) odziedziczonego po rodzicach. (b) Fenotyp opisuje cechy widoczne z zewnątrz, takie jak kolor włosów, skóry, wzrost i budowa ciała. (Źródło: (a) modyfikacja pracy Caroline Davis; (b) modyfikacja pracy Cory Zanker). Większość cech to efekt działania wielu genów, ale są i takie, które kontroluje tylko jeden. Na przykład na to, czy będziemy mieć dołek w podbródku (ang. cleft chin ), wpływa tylko jeden gen, dziedziczony po każdym z rodziców. Nazwijmy gen dołka w podbródku „B”, a gen braku dołka – „b”. Dołek w podbródku to cecha dominująca, co oznacza, że niezależnie od tego, czy dominujący allel (ang. dominant allele ) odziedziczymy po jednym (Bb), czy też po obojgu rodzicach (BB), nasz fenotyp będzie świadczyć o jego występowaniu (będziemy mieli dołek w podbródku). Gdy ktoś ma dwa allele identyczne, określany jest mianem homozygoty (ang. homozygous ) względem tego allelu. Z kolei gdy ktoś ma dwa różne allele tego samego genu, to takiego osobnika nazywa się heterozygotą (ang. heterozygous ). Gładki podbródek to cecha recesywna, co znaczy, że taki fenotyp uwidoczni się tylko u kogoś, kto jest homozygotą względem tego recesywnego allelu (ang. recessive allele ) (bb). Wyobraźmy sobie, że kobieta z dołkiem w podbródku zostaje partnerką mężczyzny, który takiego dołka nie ma. Jaki podbródek będą mieć ich dzieci? To zależy od tego, jaką kombinację alleli ma każde z rodziców. Jeśli kobieta jest homozygotą (BB), jej potomstwo zawsze będzie mieć podbródek z dołeczkiem. Jeśli jednak jest dla tego genu heterozygotą (Bb), sprawa się nieco komplikuje. Ojciec ma gładki podbródek, więc musi być homozygotą dla recesywnego allelu (bb), a to daje potomstwu 50% szans na dołek w podbródku i drugie tyle na podbródek gładki ( ). (a) Kwadrat Punnetta (ang. Punnett square ) to narzędzie wykorzystywane do przewidywania, w jaki sposób geny będą oddziaływać ze sobą przy tworzeniu nowych pokoleń. Duże B oznacza allel dominujący, a małe b – recesywny. W przypadku takim, jak dołek w podbródku, gdzie B koduje obecność dołka (allel dominujący), gdy w parze alleli jest choć jeden dominujący (B), można oczekiwać fenotypu z dołkiem w podbródku. Gładki podbródek można zaobserwować tylko wtedy, gdy osobnik posiada dwie kopie allelu recesywnego, bb. (b) Zdjęcie mężczyzny z dołkiem w brodzie. Anemia sierpowata to tylko jedna z licznych chorób genetycznych wywołanych obecnością dwóch genów recesywnych. W przypadku fenyloketonurii (ang. phenylketonuria ) (PKU) dotknięty nią osobnik nie posiada enzymu przekształcającego szkodliwe aminokwasy w nieszkodliwe związki. Bez leczenia grożą mu poważne deficyty poznawcze, drgawki i podwyższone ryzyko rozmaitych zaburzeń psychicznych. PKU jest cechą recesywną, więc by dziecko było dotknięte chorobą, każde z rodziców musi posiadać przynajmniej jedną kopię takiego recesywnego allelu ( ). Do tej pory omówiliśmy cechy, za które odpowiada tylko jeden gen, ale niewiele ludzkich cech jest kontrolowanych w taki sposób. Większość cech jest wielogenowych (poligenowych) (ang. polygenic ), czyli jest warunkowana przez więcej niż jeden gen. Przykładami cech wielogenowych są: wzrost, kolor skóry czy masa ciała. W tym kwadracie Punnetta „N” oznacza prawidłowy allel, zaś „p” – allel recesywny związany z PKU. Jeśli połączą się ze sobą dwa osobniki heterozygotyczne względem tego allelu, ich potomstwo ma 25% szans na ujawnienie się fenotypu tej choroby. Skąd się biorą geny odpowiedzialne za takie choroby jak PKU? Ich źródłem są mutacje. Mutacją (ang. mutation ) nazywamy nagłą, stałą zmianę w genie. Choć wiele mutacji jest szkodliwych, a nawet śmiertelnych, raz na jakiś czas pojawia się taka, która daje właścicielowi przewagę nad tymi, którzy takiej mutacji nie posiadają. Przypomnij sobie, że zgodnie z teorią ewolucji osobniki najlepiej przystosowane do środowiska, w którym żyją, płodzą więcej potomstwa i mają większą szansę na przekazanie swoich genów przyszłym pokoleniom. By taki proces mógł mieć miejsce, musi zachodzić konkurencja. Mówiąc dokładniej: musi istnieć różnorodność genetyczna (a co za tym idzie różnorodność cech fenotypowych) wymuszająca zmienność przystosowań do środowiska. Gdyby populacja składała się z identycznych osobników, każda nagła, duża zmiana otoczenia w taki sam sposób wpływałaby na wszystkich. Nie byłoby różnic. Nie byłoby selekcji. Różnorodność genów i kodowanych przez nie cech sprawia, że w obliczu takich zmian środowiska niektóre osobniki radzą sobie nieco lepiej niż inne. To daje najlepiej przystosowanym zauważalną przewagę, jeśli chodzi o skuteczne rozmnażanie się i przekazywanie genów. Ludzka różnorodność W tym rozdziale koncentrujemy się na biologii. W dalszych częściach podręcznika dowiesz się więcej na temat psychologii społecznej oraz zagadnień rasy, uprzedzeń i dyskryminacji. Na poziomie biologicznym pojęcie rasy jest słabym konstruktem. Gdy na przełomie tysiącleci przeprowadzono sekwencjonowanie ludzkiego genomu, liczni naukowcy stwierdzili, że pojęcie rasy jest bezużyteczne w badaniach genetycznych, a jego stosowanie może przynieść szkody i cierpienie. Kategorie rasowe, które część naukowców uważa za użyteczne dla badań nad ludzką różnorodnością, okazują się jednak w dużej mierze nietrafne. Kolor skóry, oczu i budowa włosów jednostki zależy od jej genotypu, ale zmienność genetyczna w obrębie danej rasy jest znacznie większa niż pomiędzy różnymi rasami. W niektórych przypadkach nadmierna koncentracja na zagadnieniu rasy może prowadzić do zawyżonej lub zaniżonej częstości diagnozowania takich chorób jak anemia sierpowata czy mukowiscydoza. Niektórzy uważają, że należy odróżnić rasę i dziedziczenie po przodkach, i skupić się na tym ostatnim. Ułatwiłoby to zrozumienie ludzkiej różnorodności genetycznej (Yudell, Roberts, DeSalle, Tishkoff, 2016). Interakcje geny–środowisko Geny nie działają w próżni. Choć wszyscy jesteśmy żywymi organizmami, istniejemy w środowisku, które jest niezwykle istotne w określaniu nie tylko tego, kiedy i jak nasze geny dochodzą do głosu, ale także tego, jaka kombinacja genów da jaką cechę. Każdy z nas uczestniczy w wyjątkowej interakcji między własnym genotypem a środowiskiem, w którym żyje. Jednym ze sposobów opisu tej interakcji jest koncepcja zakresu (normy) reakcji. Zakres reakcji (ang. range of reaction ) oznacza, że nasze geny wyznaczają granice, w ramach których możemy działać, otoczenie zaś oddziałuje z genami, by określić, gdzie dokładnie w tych granicach się znajdziemy. Jeśli np. genotyp osobnika predysponuje go do osiągnięć intelektualnych, i taki osobnik będzie się wychowywać w bogatym, stymulującym otoczeniu, będzie mieć większe szanse na osiągnięcie pełni swojego potencjału, niż gdyby wzrastał w ubogim otoczeniu, pozbawionym bodźców stymulujących. Zgodnie z koncepcją zakresu reakcji geny wyznaczają nieprzekraczalne granice potencjału, a środowisko określa, ile z tego potencjału uda się osiągnąć. Niektórzy nie zgadzają się z tą teorią i twierdzą, że geny nie wyznaczają granic potencjału jednostki. Inną perspektywę interakcji między genami a środowiskiem daje koncepcja korelacji genotyp–środowisko (ang. genetic environmental correlation ). Najprościej rzecz ujmując, mówi ona, że nasze geny wpływają na otoczenie zewnętrzne, a otoczenie wpływa na ekspresję naszych genów ( ). Nie chodzi tylko o interakcję między nimi, jak w teorii o zakresie reakcji, ale o wzajemne wpływy. Np. dziecko koszykarza z ligi pewnie od wczesnego dzieciństwa będzie trenować ten sport, co może pozwolić mu wykorzystać wrodzone zdolności. Jak widać, geny, które dziecko dostało od rodzica, wpływają na otoczenie, w którym ono wzrasta, otoczenie zaś jest dobrze przygotowane, by pomóc dziecku wykorzystać genetyczny potencjał. Natura i wychowanie działają wspólnie, niczym elementy skomplikowanej ludzkiej układanki. Stajemy się tym, kim jesteśmy, dzięki interakcji naszych genów ze środowiskiem (puzzle: modyfikacja pracy Cory Zanker; domy: modyfikacja pracy Bena Saltera; DNA: modyfikacja pracy NHGRI). Inne podejście do interakcji genów ze środowiskiem reprezentuje epigenetyka (ang. epigenetics ). Bada ona nie sam genotyp, lecz to, jak jeden i ten sam zestaw genów może się uaktywniać na różne sposoby. Innymi słowy naukowcy badają, w jaki sposób ten sam genotyp może dawać różne fenotypy. Jak już wcześniej wspomniano, na ekspresję genów często wpływa środowisko i to w sposób nie do końca oczywisty. Bliźnięta jednojajowe (ang. identical twins ) na przykład mają taki sam genotyp: powstają z pojedynczej, zapłodnionej komórki jajowej, która dzieli się na dwa organizmy, więc materiał genetyczny jest w obu dokładnie taki sam; w przeciwieństwie do nich bliźnięta dwujajowe (ang. fraternal twins ) powstają z dwóch niezależnych komórek jajowych zapłodnionych przez dwa różne plemniki, więc ich materiał genetyczny różni się tak samo jak u rodzeństwa w różnym wieku. Ale nawet przy identycznych genach pozostaje niewiarygodna zmienność ekspresji tych genów w ciągu życia każdego z bliźniaków jednojajowych. Czasem jedno ulega jakiejś chorobie, a drugie nie. Przykład? Aliya, jedna z pary bliźniąt jednojajowych, zmarła na raka w wieku 7 lat, natomiast jej siostra, dziś dziewiętnastoletnia, nigdy raka nie miała. Choć geny obu dziewcząt były identyczne, ich fenotypy różniły się na skutek różnic w ekspresji informacji genetycznej w czasie. Hipotezy epigenetyki dotyczące interakcji genów ze środowiskiem bardzo różnią się od tych związanych z zakresem reakcji. Dla epigenetyka genotyp nie jest bowiem czymś stałym i niezmiennym. Odwiedź tę stronę i obejrzyj interesujące wideo na temat badań epigenetycznych na bliźniętach. Geny wpływają nie tylko na nasze cechy fizyczne. Naukowcy znaleźli związki między genami a szeregiem zmiennych, od podstawowych cech osobowości przez orientację seksualną po duchowość (przykłady znajdziesz np. u: Mustanski et al., 2005; Comings, Gonzales, Saucier, Johnson, MacMurray, 2000). Geny są też związane z temperamentem i szeregiem zaburzeń psychicznych, takich jak depresja i schizofrenia. Więc choć to prawda, że stanowią dla naszych komórek, tkanek i narządów coś w rodzaju biologicznej matrycy, wywierają też znaczący wpływ na nasze doświadczenia i zachowania. Mając w pamięci trzy poglądy na interakcję genów ze środowiskiem, przyjrzyjmy się teraz poniższym danym dotyczącym schizofrenii. Który pogląd twoim zdaniem najlepiej wyjaśnia te dowody? W badaniu obejmującym oddane do adopcji dzieci wykazano, że te z nich, które wzrastały w zaburzonym środowisku rodzinnym, a ich matki biologiczne cierpiały na schizofrenię, miały wyższe ryzyko rozwoju schizofrenii (ang. schizophrenia ) lub innej psychozy niż którakolwiek z innych grup uczestniczących w badaniu. u dzieci adoptowanych, których biologiczne matki cierpiały na schizofrenię (wysokie ryzyko genetyczne) i wzrastały w zaburzonym środowisku rodzinnym, ryzyko rozwoju schizofrenii wynosiło 36,8% u dzieci adoptowanych, których biologiczne matki cierpiały na schizofrenię (wysokie ryzyko genetyczne) i wzrastały w zdrowym otoczeniu, ryzyko rozwoju schizofrenii wynosiło 5,8% u dzieci adoptowanych niskiego ryzyka (biologiczne matki nie cierpiały na schizofrenię), które wzrastały w zaburzonym środowisku rodzinnym, ryzyko rozwoju schizofrenii wynosiło 5,3% u dzieci adoptowanych niskiego ryzyka (biologiczne matki nie cierpiały na schizofrenię), które wzrastały w zdrowym otoczeniu, ryzyko rozwoju schizofrenii wynosiło 4,8% (Tienari et al., 2004) To badanie pokazuje, że adoptowane dzieci o wysokim ryzyku genetycznym były szczególnie narażone na rozwój schizofrenii wtedy, gdy wzrastały w zaburzonym środowisku rodzinnym. Wspiera ono pogląd, że do rozwoju tej choroby potrzebna jest zarówno podatność genetyczna, jak i stres środowiskowy, i że same geny nie decydują o rozwoju schizofrenii. Podsumowanie Geny to fragmenty cząsteczki DNA kodujące określoną cechę. Odmienne wersje jednego genu nazywamy allelami. Czasem allele możemy sklasyfikować jako dominujące bądź recesywne. Allel dominujący zawsze daje dominujący fenotyp. By ujawnił się fenotyp recesywny, osobnik musi być homozygotą względem allelu recesywnego. Geny wpływają zarówno na cechy fizyczne, jak i psychiczne. O tym, jak i kiedy gen się ujawni (fachowo: ulegnie ekspresji) i jaki będzie tego efekt (zarówno w zakresie cech fizycznych, jak i psychicznych), decyduje interakcja genów ze środowiskiem, w którym żyjemy. Review Questions Nagła, trwała zmiana w sekwencji DNA to ________. allel chromosom epigenetyka mutacja D ________ to inaczej struktura genetyczna odziedziczona po rodzicach, ________ zaś określa jego cechy fizyczne. Genotyp; fenotyp Fenotyp; genotyp DNA; gen Gen; DNA A ________ to dziedzina skupiająca się na genach i ich ekspresji. psychologia społeczna psychologia ewolucyjna epigenetyka psychobiologia C Ludzie mają ________ par(y) chromosomów. 15 23 46 78 B Critical Thinking Questions Teoria ewolucji przez dobór naturalny wymaga zmienności określonej cechy. Po co potrzebna jest ta zmienność i skąd się ona bierze? Zmienność jest niezbędna, by zaszedł proces doboru naturalnego. Gdyby wszystkie osobniki były identyczne pod względem danej cechy, nie byłoby między nimi względnych różnic w sukcesie reprodukcyjnym, bo każdy byłby jednakowo przystosowany do środowiska pod względem tej cechy. Jednym z podstawowych źródeł zmienności są mutacje, ale drugim ważnym jest rozmnażanie płciowe, gdyż kolejne pokolenie dziedziczy materiał genetyczny po połowie po każdym z rodziców. Personal Application Questions Dziedziczysz połowę materiału genetycznego od każdego z rodziców, ale przecież różnisz się od obojga. Zastanów się i zapisz podobieństwa i różnice między tobą a twoimi rodzicami. Jak myślisz, w jaki sposób twoje indywidualne środowisko i doświadczenia przyczyniły się do zaistnienia niektórych różnic, jakie dostrzegasz? allel (ang. allele ) jedna z wersji genu chromosom (ang. chromosome ) długi łańcuch materiału genetycznego kwas deoksyrybonukleinowy (DNA) (ang. deoxyribonucleic acid ) cząsteczka w kształcie helisy, zbudowana z par podjednostek zwanych nukleotydami allel dominujący (ang. dominant allele ) allel, który ujawnia się w fenotypie danego osobnika epigenetyka (ang. epigenetics ) dziedzina genetyki zajmująca się badaniem interakcji genotyp‒środowisko, wyjaśniająca np. dlaczego ten sam genotyp może mieć różną ekspresję bliźnięta dwujajowe (ang. fraternal twins ) bliźnięta, które rozwijają się z dwóch różnych komórek jajowych zapłodnionych przez dwa plemniki, więc ich materiał genetyczny różni się tak samo jak u rodzeństwa, które nie jest z ciąży bliźniaczej gen (ang. gene ) odcinek DNA całkowicie lub częściowo kontrolujący cechy organizmu korelacja genotyp–środowisko (ang. genetic environmental correlation ) pogląd na temat interakcji genotyp–środowisko, według którego geny wpływają na środowisko człowieka, a środowisko wpływa na ekspresję jego genów genotyp (ang. genotype ) struktura genetyczna odziedziczona po rodzicach heterozygotyczny (ang. heterozygous ) składający się z dwóch różnych alleli homozygotyczny (ang. homozygous ) składający się z dwóch identycznych alleli bliźnięta jednojajowe (ang. identical twins ) bliźnięta, które rozwijają się z tego samego plemnika i tej samej komórki jajowej mutacja (ang. mutation ) nagła i trwała zmiana genu fenotyp (ang. phenotype ) obserwowalne cechy danej osoby, będące skutkiem interakcji genotypu i i środowiska cecha wielogenowa (poligenowa) (ang. polygenic trait ) cecha uwarunkowana wieloma genami zakres reakcji (norma reakcji genotypu) (ang. range of reaction ) wyznaczone przez geny granice, w ramach których może się zmieniać dana cecha allel recesywny (ang. recessive allele ) allel, którego fenotyp ujawni się tylko w przypadku homozygoty recesywnej teoria ewolucji poprzez dobór naturalny (ang. theory of evolution by natural selection ) teoria, według której przetrwają i będą się rozmnażać organizmy lepiej od pozostałych przystosowane do środowiska", "section": "Genetyka człowieka", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Komórki układu nerwowego Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozpoznać podstawowe części neuronu Opisać, w jaki sposób neurony komunikują się ze sobą Wyjaśnić, w jaki sposób leki działają jako agoniści lub antagoniści danego układu neuroprzekaźników Psychologowie próbujący zrozumieć ludzki umysł interesują się także funkcjonowaniem układu nerwowego. Wiedza o tym, jak funkcjonują ludzkie komórki i narządy (przede wszystkim takie jak mózg), pomaga nam zrozumieć biologiczne podstawy ludzkiej psychiki. Układ nerwowy (ang. nervous system ) składa się z dwóch podstawowych rodzajów komórek nerwowych: komórek glejowych (zwanych też glejem) i neuronów. Tych pierwszych jest dziesięć razy więcej i tradycyjnie sądzono, że pełnią wobec neuronów funkcje podtrzymujące, zarówno mechanicznie, jak i metabolicznie. Komórki glejowe (ang. glial cells ) stanowią rusztowanie, na którym opierają się neurony, pomagają im kontaktować się ze sobą, by umożliwić przepływ informacji, zapewniają izolację, przenoszą składniki odżywcze i odbierają produkty przemiany materii, a także uczestniczą w odpowiedzi immunologicznej. Z kolei neurony (in. komórki nerwowe ) (ang. neurons ) to połączone ze sobą elementy integrujące i przekazujące informacje niezbędne do wypełniania wszelkich zadań układu nerwowego. W tym podrozdziale omówimy pokrótce budowę i funkcje neuronów. Struktura neuronów Neurony to główny element układu nerwowego. W chwili narodzin mamy ich około 100 miliardów. Podobnie jak inne komórki, neurony także składają się z wielu różnych części, a każda ma swoje zadania ( ). Zewnętrzna powierzchnia komórki nerwowej to błona półprzepuszczalna (ang. semipermeable membrane ). Pozwala ona przechodzić do wnętrza małym i pozbawionym ładunku elektrycznego cząsteczkom, ale zatrzymuje większe lub silnie naładowane elektrycznie molekuły i jony. Na rysunku pokazany jest wzorcowy neuron, który ulega mielinizacji. Jądro komórki nerwowej znajduje się w ciele komórki (łac. soma ), perikarionie , czyli neurocycie. Każdy perikarion ma wypustki zwane dendrytami (ang. dendrite ). Neuron to pojedyncza jednostka przetwarzania informacji, dendryty zaś służą jako wejścia, przez które docierają sygnały z innych neuronów. Sygnały te w postaci impulsów elektrycznych przechodzą przez perikarion i biegną dalej głównym „wyjściem” komórki, czyli aksonem (ang. axon , zwany również neurytem lub wypustką osiową ), który kończy się licznymi kolbkami synaptycznymi (ang. terminal buttons ). Każda z nich zawiera pęcherzyki synaptyczne (ang. synaptic vesicles ), w których znajdują się neuroprzekaźniki (ang. neurotransmitters ), związki chemiczne przekazujące informacje w układzie nerwowym. Długość aksonów waha się od kilku milimetrów do ponad metra. Niektóre z nich pokryte są tłuszczową substancją, zwaną osłonką mielinową (inaczej: mieliną lub otoczką mielinową ) (ang. myelin sheath ), którą tworzą komórki glejowe. Mielina pokrywa akson i działa jak izolator, zwiększając szybkość, z jaką przepływa impuls elektryczny. Osłonka mielinowa nie jest jednolita. Ma małe, poprzeczne do osi aksonu, przerwy występujące na całej jego długości, zwane przewężeniami Ranviera. Impuls elektryczny przemieszcza się wzdłuż takiego aksonu skokowo – od jednego przewężenia do następnego, dzięki czemu porusza się znacznie szybciej niż w aksonie bez osłonki mielinowej (nawet 100 razy). Osłonka mielinowa ma kluczowe znaczenie dla prawidłowego funkcjonowania neuronów w układzie nerwowym: jej utrata może zaburzać ich prawidłowe działanie. By to zrozumieć, posłużmy się przykładem. Fenyloketonuria, omawiana poprzednio choroba o podłożu genetycznym, powoduje ubytek mieliny i zaburzenia w istocie białej struktur korowych i podkorowych. Choroba ta objawia się różnymi symptomami, takimi jak upośledzenie funkcji poznawczych, występowanie ruchów mimowolnych i napady padaczkowe (Anderson i Leuzzi 2010, Huttenlocher, 2000). Z kolei w stwardnieniu rozsianym (SM), chorobie autoimmunologicznej, dochodzi do masowej utraty osłonek mielinowych okrywających aksony w całym układzie nerwowym. Prowadzi to do zaburzeń szybkości transmisji informacji między neuronami, co w rezultacie daje szereg takich objawów, jak zawroty głowy, zaburzenia równowagi, utrata kontroli ruchowej i zaburzenia w sferze seksualnej. Choć niektóre terapie mogą nieco zmienić przebieg choroby i łagodzić pewne objawy, do tej pory nie ma sposobu jej wyleczenia. U osób zdrowych sygnał z neuronu szybko przemieszcza się wzdłuż aksonu do zakończeń synaptycznych, gdzie z pęcherzyków synaptycznych uwalniane są neuroprzekaźniki do szczeliny synaptycznej pokazane na . Szczelina synaptyczna (ang. synaptic cleft ) to maleńka szczelina między dwoma neuronami, a zarazem miejsce, w którym zachodzi komunikacja międzyneuronalna. Gdy neuroprzekaźniki zostają uwolnione z kolbki synaptycznej (przez tzw. błonę presynaptyczną) do szczeliny, przechodzą przez nią i wiążą się z odpowiednimi receptorami znajdującymi się na błonie postsynaptycznej dendrytu kolejnego neuronu. Receptory (ang. receptor ), białka na powierzchni komórki, z którymi wiążą się neuroprzekaźniki, różnią się kształtem, a różne kształty odpowiadają różnym neuroprzekaźnikom. Skąd neuroprzekaźnik wie, z którym receptorem się związać? Oba mają coś, co można nazwać mechanizmem klucza i zamka. Każdy neuroprzekaźnik pasuje do określonego receptora niczym klucz do zamka. Oznacza to, że zwiąże się z każdym receptorem, do którego będzie pasować. (a) Szczelina synaptyczna znajduje się między zakończeniem jednego neuronu a dendrytem drugiego neuronu. (b) Obraz ze skaningowego mikroskopu elektronowego pokazuje sztucznie wybarwione zakończenie aksonu (zielony) i pęcherzyki synaptyczne (pomarańczowy i niebieski). Każdy z pęcherzyków zawiera około 10 tys. cząsteczek neuroprzekaźnika. (Źródło (b): modyfikacja pracy Tiny Carvalho, NIH-NIGMS; dane skali za: Matt Russel). Komunikacja między neuronami Skoro już wiemy, jak wygląda budowa neuronu, jakie są jego składowe i jaką rolę odgrywają one w komunikacji między neuronami, przyjrzyjmy się bliżej samemu sygnałowi; temu, jak biegnie w neuronie, a potem przeskakuje do następnego i kolejnych neuronów. Zacznijmy od błony. Neuron znajduje się w środowisku płynnym – jest otoczony płynem zewnątrzkomórkowym, a sam zawiera płyn wewnątrzkomórkowy (cytoplazmę). Błona neuronu oddziela od siebie te dwie przestrzenie płynowe – to ważne zadanie, bo impuls elektryczny biegnący w neuronie jest zależny od różnicy potencjałów elektrycznych płynu wewnątrz- i zewnątrzkomórkowego. Energię dla impulsu zapewnia właśnie różnica ładunków po obu stronach błony, nazywana potencjałem błonowym (ang. membrane potential ). Ładunek elektryczny płynów wynika z obecności rozpuszczonych w nich naładowanych cząstek (jonów). Półprzepuszczalność błony komórek nerwowych w pewnej mierze hamuje ruch tych naładowanych cząstek; w rezultacie niektóre z nich gromadzą się na zewnątrz, a inne wewnątrz neuronów. Pomiędzy impulsami potencjał błonowy utrzymuje komórkę w stanie gotowości – to tzw. potencjał spoczynkowy (ang. resting potential ). Jony leżą po obu stronach błony komórkowej trochę jak naciągnięte gumki, które czekają na to, by z nich strzelić. Gnają na drugą stronę błony, gdy tylko neuron się uaktywnia i błona otwiera swoje kanały (takie jak napięciowo-zależne kanały jonowe), które pozwalają na ruch jonów przez błonę. Jony przepływają z miejsc o większym gradiencie stężeń w tzw. transporcie biernym, ale mogą też przechodzić przez błonę komórkową wbrew gradientowi stężeń; taką sytuację nazywamy transportem aktywnym. Gdy neuron jest w spoczynku, stężenie jonów sodowych (Na + ) jest wyższe na zewnątrz komórki, więc „chcą” one dostać się do środka. Z kolei jonów potasu (K + ) jest więcej we wnętrzu neuronu, więc „chciałyby” one przedostać się na zewnątrz ( ). Dodatkowo wnętrze komórki nerwowej ma ładunek ujemny w przeciwieństwie do przestrzeni na zewnątrz. Zapewnia to dodatkową siłę pomagającą jonom sodowym przechodzić do wnętrza komórki. W stanie spoczynku jony Na + (niebieskie pięciokąty) osiągają wyższe stężenie na zewnątrz komórki, w płynie zewnątrzkomórkowym (oznaczonym na niebiesko), podczas gdy jonów K + (fioletowe kwadraty) jest więcej blisko błony komórkowej, ale w cytoplazmie, czyli płynie wewnątrzkomórkowym. Inne cząstki, jak jony chlorkowe (żółte kółka) i ujemnie naładowane białka (brązowe kwadraty), przyczyniają się do tego, że na zewnątrz neuronu wypadkowy ładunek jest dodatni, a w jego cytoplazmie – ujemny. Gdy neuron otrzyma sygnał z dendrytów – na skutek związania się neuroprzekaźników z sąsiednich neuronów z receptorami na powierzchni błony postsynaptycznej – gwałtownie zmienia swój stan ( ). Otwierają się kanały, czyli „bramki” w błonie komórkowej, pozwalając na napływ do wnętrza jonów sodowych. To efekt zarówno różnicy ładunków, jak i stężeń. Napływ dodatnio naładowanych jonów zmienia ładunek wnętrza neuronu na bardziej dodatni. Po przekroczeniu pewnej wartości potencjału, określanej mianem progu pobudzenia (ang. threshold of excitation ), neuron uaktywnia się i rozpoczyna się potencjał czynnościowy: otwiera się o wiele więcej kanałów, co wywołuje ogromny napływ jonów sodowych do wnętrza komórki i gwałtowny dodatni wzrost potencjału czynnościowego aż do osiągnięcia szczytu (maksimum). Na szczycie iglicy potencjału kanały sodowe zamykają się, a otwierają potasowe. Przez odpływ dodatnio naładowanych jonów potasowych komórka zaczyna szybką repolaryzację. Na początku potencjał wchodzi w fazę hiperpolaryzacji i staje się nieco bardziej ujemny od spoczynkowego, potem ładunki wyrównują się, a neuron wraca do stanu spoczynkowego. Powrót stężenia jonów Na + i K + do stanu równowagi następuje w wyniku działania tzw. pompy sodowo-potasowej (ang. sodium-potassium pump ). Zmiany napięcia błony komórkowej w czasie wystąpienia potencjału czynnościowego. Dodatni skok to potencjał czynnościowy (ang. action potential ): impuls elektryczny, który najczęściej biegnie od ciała komórki wzdłuż aksonu do jego wypustek końcowych. Impuls elektryczny porusza się wzdłuż aksonu niczym fala; w każdym punkcie część jonów sodowych, które wnikają do wypustki, dyfunduje do następnego odcinka aksonu, zwiększając ładunek powyżej potencjału progowego i wywołując napływ kolejnych jonów sodowych. Potencjał czynnościowy przemieszcza się aż do końcowych wypustek synaptycznych aksonu. Potencjał czynnościowy działa na zasadzie zjawiska „wszystko albo nic” (ang. all-or-none ). Najprościej rzecz ujmując, chodzi o to, że nadchodzący z innego neuronu impuls albo jest wystarczająco silny, by przekroczyć próg pobudzenia, albo nie. Nie ma stanów pośrednich, a potencjału czynnościowego nie sposób wygasić, gdy już się wytworzy. Można to porównać do wysłania SMS-a. Możesz zastanawiać się nad jego wysłaniem, jak długo chcesz, ale wiadomość nie zostanie wysłana, dopóki nie wciśniesz przycisku „wyślij”. A kiedy już to zrobisz, nie można jej cofnąć. Potencjał czynnościowy ze względu na swoje właściwości przez cały czas, na każdym odcinku aksonu jest odtwarzany i przekazywany w 100%. Trochę jak lont podpalony w baterii sztucznych ogni, tak i impuls elektryczny nie słabnie, biegnąc wzdłuż aksonu. Własność „wszystko albo nic” wyjaśnia fakt, że uderzenie w palec u nogi boli tak samo, jak uderzenie w nos. Jak już wcześniej mówiliśmy, gdy potencjał czynnościowy dociera do zakończeń aksonu, pęcherzyki synaptyczne uwalniają neuroprzekaźniki do szczeliny synaptycznej. Neuroprzekaźniki wędrują przez szczelinę i wiążą się z receptorami na dendrytach sąsiedniego neuronu. Cały proces powtarza się w sąsiednim neuronie (zakładając, że sygnał będzie dostatecznie silny, by wywołać potencjał czynnościowy) i w kolejnych. Gdy impuls zostanie przekazany, nadmiar neuroprzekaźników odpływa ze szczeliny synaptycznej, rozpada się na nieaktywne pochodne lub zostaje zreabsorbowany w procesie określanym mianem wychwytu zwrotnego (ang. reuptake ). Wychwyt zwrotny polega na przepompowaniu neuroprzekaźnika z powrotem do neuronu, z którego został uwolniony, co pozwala na oczyszczenie z niego szczeliny synaptycznej ( ). Oczyszczenie szczeliny służy zarówno przygotowaniu synapsy na kolejny sygnał, jak i regulacji produkcji samego neuroprzekaźnika (wypełnione pęcherzyki synaptyczne sygnalizują, że nie trzeba wytwarzać dodatkowych porcji neuroprzekaźnika). Wychwyt zwrotny polega na przeniesieniu neuroprzekaźnika ze szczeliny synaptycznej z powrotem do zakończenia synaptycznego aksonu, skąd został wcześniej uwolniony. Komunikacja między neuronami często jest określana jako zdarzenie elektrochemiczne. Podróż potencjału czynnościowego wzdłuż aksonu to zdarzenie elektryczne, przechodzenie neuroprzekaźnika przez szczelinę synaptyczną zaś stanowi chemiczną składową procesu. W układzie nerwowym występują również innego typu połączenia między neuronami. W połączeniach typu elektrycznego, bo o nich mowa, dwa neurony kontaktują się ze sobą przez tzw. synapsę elektryczną (ang. electric synapse ), w której następuje przepływ prądu z jednego neuronu do drugiego poprzez złącze szczelinowe (ang. gap junction ). Synapsy elektryczne są znacznie szybsze, ale jest ich w mózgu o wiele mniej niż opisanych poprzednio synaps jonowych (Connors i Long, 2004). By dokładniej zobaczyć komunikację między neuronami, obejrzyj ten film . Neuroprzekaźniki a leki Istnieje wiele typów neuroprzekaźników uwalnianych przez różne neurony. Ogólnie rzecz biorąc, możemy mówić o podstawowych funkcjach powiązanych z różnymi neuroprzekaźnikami ( ). Gros wiedzy, jaką mają psychologowie na temat funkcji neuroprzekaźników, pochodzi z badań nad działaniem leków w chorobach psychicznych. Psychologowie, którzy przyjmują perspektywę biologiczną (ang. biological perspective ) i skupiają się na fizjologicznych przyczynach zachowań, uważają, że zaburzenia psychiczne takie jak depresja czy schizofrenia są związane z nierównowagą w zakresie jednego lub kilku układów neuroprzekaźników. Z tej perspektywy leki psychotropowe mogą łagodzić objawy związane z tymi schorzeniami. Leki psychotropowe (ang. psychotropic medications ) stosuje się w leczeniu zaburzeń psychicznych, przywracając równowagę neuroprzekaźników w mózgu. Główne neuroprzekaźniki i ich wpływ na zachowanie. Neuroprzekaźnik Uczestniczy w Potencjalny wpływ na zachowanie Acetylocholina praca mięśni, pamięć wzrost pobudzenia, poprawa zdolności poznawczych Beta-endorfina ból, przyjemność spadek napięcia i niepokoju Dopamina nastrój, sen, uczenie się wzrost przyjemności, zahamowanie apetytu Kwas gamma-aminomasłowy (GABA) czynność mózgu, sen spadek napięcia i niepokoju Glutaminian pamięć, uczenie się lepsza pamięć i uczenie się Noradrenalina serce, jelita, sprawność umysłu wzrost pobudzenia, spadek apetytu Serotonina nastrój, sen wyrównanie nastroju, hamowanie apetytu Leki psychoaktywne mogą być dla danego neuroprzekaźnika agonistami lub antagonistami. Agonista (ang. agonist ) to taka cząsteczka chemiczna, która naśladuje działanie neuroprzekaźnika, łącząc się z odpowiednim receptorem, a zatem nasila jego działanie. Antagonista (ang. antagonist ) blokuje lub upośledza prawidłową aktywność neuroprzekaźnika, wypierając go z receptorów lub blokując łączenie się z nimi. Leki działające agonistycznie lub antagonistycznie są stosowane w celu wyrównania zaburzeń równowagi neuroprzekaźników leżących u podstaw choroby danego człowieka. Na przykład choroba Parkinsona, postępujące schorzenie degeneracyjne układu nerwowego, wiąże się z niedoborem dopaminy. Z tego względu często stosowaną strategią terapeutyczną jest podawanie agonistów dopaminy (ponieważ sama dopamina nie przechodzi przez barierę krew–mózg). Agoniści dopaminy, np. L-dopa, czyli lewodopa – umożliwiają wytworzenie dopaminy w mózgu. Część objawów schizofrenii można łączyć z nadaktywnością układu przekaźnictwa dopaminy. Leki przeciwpsychotyczne stosowane w leczeniu tych objawów są właśnie antagonistami dopaminy – blokują jej działanie, wiążąc się z receptorami, ale ich nie aktywując. Efekt? Dopamina uwolniona przez jedną komórkę nerwową nie może przekazać informacji neuronom sąsiadującym. W przeciwieństwie do agonistów i antagonistów, które działają dzięki wiązaniu się z receptorami, inhibitory wychwytu zwrotnego nie pozwalają niewykorzystanym neuroprzekaźnikom wrócić do neuronu wyjściowego. Sprawia to, że więcej cząsteczek neuroprzekaźnika pozostaje w szczelinie synaptycznej na dłużej, wzmacniając działanie danego neuroprzekaźnika. I tak depresję, wiązaną od dawna z obniżeniem stężenia serotoniny, często leczy się selektywnymi inhibitorami wychwytu zwrotnego serotoniny (SSRI). Hamując wychwyt zwrotny, SSRI wzmacniają działanie serotoniny, dając jej więcej czasu na interakcję z receptorami na dendrytach. Do najpopularniejszych SSRI na rynku należą: Prozac, Paxil i Zoloft. Bardzo podobną budowę do serotoniny ma narkotyk LSD (dietyloamid kwasu lizergowego). Wpływa on na te same neurony i te same receptory, co serotonina. Leki psychotropowe nie stanowią szybkiego rozwiązania problemów osób cierpiących na zaburzenia psychiczne. Często trzeba je przyjmować przez wiele tygodni, zanim zaobserwuje się poprawę, a wiele leków psychoaktywnych ma poważne działania niepożądane. Do tego reakcja na te leki jest bardzo indywidualna. By zwiększyć szanse na sukces, chorzy przyjmujący leki jednocześnie uczęszczają na psychoterapię lub terapię behawioralną. Niektóre badania wskazują, że łączenie różnych form terapii jest bardziej efektywne niż każda z nich z osobna (patrz np. March et al., 2007). Podsumowanie Układ nerwowy tworzą dwa typy komórek: glejowe i neurony. Komórki glejowe pełnią głównie funkcję pomocniczą. Dla wszystkich funkcji układu nerwowego kluczową rolę odgrywa komunikacja między neuronami. Umożliwiają ją wyspecjalizowane struktury neuronów. Perikarion to część komórki nerwowej zawierająca jej jądro; odchodzą od niej drzewkopodobne wypustki zwane dendrytami. Najdłuższą wypustką neuronu jest akson. Aksony często są pokryte osłonką mielinową, która zwiększa szybkość przewodzenia sygnałów nerwowych. Na końcu aksonu znajdują się zakończenia synaptyczne zawierające pęcherzyki synaptyczne wypełnione neuroprzekaźnikami. Komunikacja między neuronami ma charakter elektrochemiczny. Dendryty zawierają receptory dla neuroprzekaźników uwalnianych przez sąsiednie neurony. Jeśli sygnały z tych neuronów są wystarczająco silne, wzbudzają potencjał czynnościowy, który mknie wzdłuż aksonu do zakończeń synaptycznych i tam uwalnia neuroprzekaźniki do szczeliny synaptycznej. Potencjały czynnościowe działają na zasadzie „wszystko albo nic”, a ich mechanizm zasadza się na ruchu jonów Na + i K + przez błonę komórkową. Różne neuroprzekaźniki mają różne działanie. Zaburzenia psychiczne często wiążą się z zaburzeniami równowagi określonego neuroprzekaźnika. W celu przywrócenia tej równowagi przepisuje się pacjentom leki psychotropowe. Leki te mogą działać w określonym układzie neuroprzekaźników jako agoniści lub antagoniści. Review Questions ________ odbiera(ją) sygnały przychodzące z innych neuronów. perikarion zakończenia synaptyczne osłonka mielinowa dendryty D ________ nasila lub naśladuje działanie określonego neuroprzekaźnika/układu neuroprzekaźników. akson SSRI agonista antagonista C Stwardnienie rozsiane charakteryzuje się m.in. rozpadem ________. perikarionu osłonek mielinowych pęcherzyków synaptycznych dendrytów B Potencjał czynnościowy obejmuje ruch jonów Na + ________ komórki, a jonów K + ________ komórki. do wnętrza; na zewnątrz na zewnątrz; do wnętrza do wnętrza; do wnętrza na zewnątrz; na zewnątrz A Critical Thinking Questions Kokaina działa na przekaźnictwo synaptyczne na dwa sposoby: upośledza wychwyt zwrotny dopaminy i zwiększa jej uwalnianie do szczeliny synaptycznej. Czy kokainę należy zaliczyć do agonistów, czy antagonistów dopaminy? Dlaczego? Jako inhibitor wychwytu zwrotnego, kokaina blokuje normalną aktywność dopaminy w receptorach. Działanie polegające na zwiększeniu wydzielania dopaminy do szczeliny synaptycznej jest działaniem agonistycznym, ponieważ naśladuje i wzmacnia działanie tego neuroprzekaźnika. Kokainę należy uznać za agonistę dopaminy, gdyż hamując jej rozpad enzymatyczny, wydłuża potencjalny czas aktywności w synapsie. Takie leki jak lidokaina i nowokaina blokują kanały sodowe. Innymi słowy, zapobiegają przechodzeniu jonów sodowych przez błonę neuronu. Dlaczego ten właśnie efekt sprawia, że są to skuteczne środki miejscowo znieczulające? Potencjał czynnościowy zapoczątkowuje napływ jonów Na+ do wnętrza neuronu. Zahamowanie go sprawia, że w neuronach danego obszaru nie wystąpią potencjały czynnościowe. W rezultacie żadna informacja o bodźcu bólowym nie zostanie przeniesiona do mózgu. Personal Application Question Czy tobie lub komuś z twojej rodziny przepisano kiedykolwiek lek psychotropowy? Jeśli tak, czy wystąpiły jakieś działania niepożądane spowodowane jego przyjmowaniem? potencjał czynnościowy (ang. action potential ) sygnał elektryczny w komórce nerwowej, który najczęściej biegnie od ciała komórki i przesuwa się wzdłuż aksonu agonista (ang. agonist ) lek naśladujący lub wzmacniający działanie neuroprzekaźnika zjawisko „wszystko albo nic” (ang. all-or-none ) sygnał pochodzący z innego neuronu może być albo wystarczający, albo niewystarczający do osiągnięcia progu pobudzenia i wywołania potencjału czynnościowego antagonista (ang. antagonist ) lek, który blokuje lub utrudnia normalną aktywność danego neuroprzekaźnika akson ( neuryt , wypustka osiowa ) (ang. axon ) najdłuższa wypustka neuronu, przewodząca impulsy na zewnątrz komórki perspektywa biologiczna (ang. biological perspective ) pogląd, że zaburzenia psychiczne takie jak depresja i schizofrenia są związane z brakiem równowagi w jednym lub kilku układach neuroprzekaźników dendryt (ang. dendrites) rozgałęziona wypustka neuronu, która odbiera sygnały pochodzące od innych neuronów komórka glejowa (ang. glial cells ) komórka układu nerwowego, która zapewnia fizyczne i metaboliczne zaplecze neuronom, w tym izolację neuronalną i komunikację oraz transport składników odżywczych i ubocznych produktów przemiany materii potencjał błonowy (ang. membrane potential ) różnica potencjałów elektrycznych po obu stronach błony komórkowej osłonka mielinowa ( otoczka mielinowa , mielina ) (ang. myelin sheath ) substancja tłuszczowa izolująca aksony neurony ( komórki nerwowe ) (ang. neurons) pobudliwe komórki w układzie nerwowym służące do integracji i przesyłania informacji; są niezbędne dla wszystkich zadań układu nerwowego neuroprzekaźnik (ang. neurotransmitter ) związek chemiczny będący przekaźnikiem w układzie nerwowym leki psychotropowe (ang. psychotropic medications ) substancje psychoaktywne, które łagodzą objawy psychiczne, przywracając równowagę neuroprzekaźników receptor (ang. receptor ) białko na powierzchni komórki, do którego przyłączają się neuroprzekaźniki potencjał spoczynkowy (ang. resting potential ) stan gotowości potencjału błony komórkowej neuronu pomiędzy sygnałami wychwyt zwrotny (ang. reuptake ) przepompowanie neuroprzekaźnika z powrotem do neuronu, który go uwolnił błona półprzepuszczalna (ang. semipermeable membrane ) błona komórkowa, która umożliwia przechodzenie przez nią mniejszych cząsteczek lub cząsteczek bez ładunku elektrycznego, a zatrzymuje cząsteczki większe lub posiadające ładunek elektryczny perikarion (ciało komórki, neurocyt) (łac. soma ) część neuronu zawierająca jądro komórki oraz cytoplazmę szczelina synaptyczna (ang. synaptic cleft ) mała przerwa między dwoma neuronami; miejsce komunikacji między tymi komórkami pęcherzyk synaptyczny (ang. synaptic vesicle ) fragment komórki nerwowej, w którym magazynowane są neuroprzekaźniki kolbka synaptyczna (ang. terminal button) zakończenie aksonu zawierające pęcherzyki synaptyczne próg pobudzenia (ang. threshold of excitation ) poziom potencjału elektrycznego w błonie, którego przekroczenie wywołuje potencjał czynnościowy", "section": "Komórki układu nerwowego", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Składowe układu nerwowego Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać różnicę między ośrodkowym i obwodowym układem nerwowym Wyjaśnić różnicę pomiędzy somatycznym i autonomicznym układem nerwowym Wyróżnić część współczulną i przywspółczulną autonomicznego układu nerwowego Układ nerwowy (ang. nervous system ) można podzielić na dwie główne składowe: ośrodkowy układ nerwowy (OUN) (ang. central nervous system (CNS) ) i obwodowy układ nerwowy (ang. peripheral nervous system (PNS) ). Jak pokazano na , OUN składa się z mózgu i rdzenia kręgowego, obwodowy układ nerwowy zaś łączy go z resztą ciała. W tym podrozdziale omówimy dokładniej obwodowy układ nerwowy; mózgiem i rdzeniem kręgowym zajmiemy się później. Układ nerwowy człowieka ma dwie główne składowe: (a) ośrodkowy układ nerwowy i (b) obwodowy układ nerwowy. Obwodowy układ nerwowy Obwodowy układ nerwowy składa się z grubych wiązek włókien nerwowych, zwanych nerwami, które przenoszą impulsy nerwowe między ośrodkowym układem nerwowym a mięśniami i narządami (w tym narządami zmysłów) zlokalizowanymi w rozmaitych częściach ciała poza OUN. Obwodowy układ nerwowy również można podzielić na dwie części: somatyczną i wegetatywną (autonomiczną). Somatyczny układ nerwowy (ang. somatic nervous system ) odpowiada za aktywności tradycyjnie uznawane za świadome lub zależne od woli. Przekazuje informacje czuciowe i ruchowe z i do OUN; składają się nań neurony ruchowe i czuciowe. Neurony ruchowe, które przekazują informacje z OUN do mięśni, biegną włóknami odśrodkowymi ( eferentnymi – po łacinie efferens oznacza „odprowadzający”). Neurony czuciowe przesyłające informacje do OUN biegną we włóknach dośrodkowych ( aferentnych – z łaciny afferens „doprowadzający”). Każdy nerw jest wiązką włókien nerwowych tworzącą swoistą dwukierunkową drogę szybkiego ruchu i zawiera tysiące aksonów, zarówno do, jak i odśrodkowych. Autonomiczny układ nerwowy ( wegetatywny układ nerwowy ) (ang. autonomic nervous system ) kontroluje czynność narządów wewnętrznych i gruczołów dokrewnych. Uważa się, że pozostaje on poza naszą świadomą kontrolą. Można go podzielić na część sympatyczną (współczulną) i parasympatyczną (przywspółczulną) ( ). Współczulny układ nerwowy (ang. sympathetic nervous system ) odpowiada za przygotowanie organizmu do walki lub ucieczki – aktywności związanych ze stresem; przywspółczulny układ nerwowy (ang. parasympathetic nervous system ) kieruje ciałem w rutynowych, codziennych aktywnościach. Te dwie składowe wzajemnie się dopełniają, działając wspólnie na rzecz utrzymania homeostazy organizmu. Homeostaza (ang. homeostasis ) to inaczej stan równowagi, w którym parametry takie jak temperatura ciała są utrzymywane w optymalnych granicach. Współczulny i przywspółczulny układ nerwowy działają przeciwstawnie na wiele układów. Współczulny układ nerwowy ulega aktywacji, gdy jesteśmy zestresowani lub pobudzeni. Naszym przodkom jego aktywność pozwalała przetrwać. Wyobraźmy sobie na przykład, że nasz prapraprzodek, polując na króliki czy inną drobną zwierzynę, nagle wszedł na teren niedźwiedzicy z młodymi. Gdy ją zauważył, w jego organizmie zaszedł szereg szybkich zmian – jako bezpośredni efekt aktywacji układu współczulnego – przygotowujących go do stawienia czoła nagłemu zagrożeniu. W takiej sytuacji źrenice się rozszerzają, tętno i ciśnienie krwi rosną, pęcherz się rozluźnia, wątroba pompuje do krwi glukozę, a adrenalina rusza do krwiobiegu. Taki zestaw zmian fizjologicznych to reakcja „walcz lub uciekaj” (ang. fight or flight response ). Udostępnia organizmowi rezerwy energetyczne i usprawnia jego procesy percepcyjne, by mógł skutecznie walczyć albo uciec w bezpieczne miejsce. Aby dowiedzieć się więcej, obejrzyj to wideo na temat mechanizmu „walcz lub uciekaj”. Taka reakcja z pewnością miała zasadnicze znaczenie dla przetrwania naszych przodków, którzy żyli w świecie pełnym rzeczywistych, fizycznych niebezpieczeństw. Jednakże wiele sytuacji pobudzenia, z jakimi mamy do czynienia we współczesnym świecie, ma raczej podłoże psychiczne. Pomyśl na przykład, jak się czujesz, gdy przedstawiasz prezentację przed pełną salą albo gdy czekasz na ważny egzamin. Nie jesteś w sytuacji fizycznego zagrożenia, a mimo to ewolucja sprawiła, że reagujesz na te sytuacje tak samo jak na szablozębnego tygrysa – uruchamiasz reakcję walki lub ucieczki. W obecnych warunkach ten rodzaj reakcji nie jest nawet w części tak przydatny, jak był niegdyś. Nasz organizm stawiany co dnia w stresogennych sytuacjach, w których nie może ani walczyć, ani uciec, zaczyna odczuwać negatywne konsekwencje zdrowotne. Niedawne badania sugerują, że do konsekwencji stałej, powtarzanej ekspozycji na stres należą m.in. zwiększona podatność na chorobę wieńcową (Chandolaet al., 2006) oraz obniżenie odporności (Glaser i Kiecolt-Glaser, 2005). Gdy zagrożenie zostaje zneutralizowane, pałeczkę przejmuje układ przywspółczulny, który przywraca ciało do stanu równowagi. Serce zwalnia, ciśnienie spada, źrenice zwężają się, odzyskujemy kontrolę nad pęcherzem, a wątroba na powrót zaczyna gromadzić glukozę w postaci glikogenu na gorsze czasy. Summary Mózg i rdzeń kręgowy tworzą ośrodkowy układ nerwowy. Obwodowy układ nerwowy składa się z części somatycznej i autonomicznej (wegetatywnej). Somatyczny układ nerwowy przekazuje impulsy czuciowe i ruchowe z i do OUN. Autonomiczny układ nerwowy kontroluje czynność narządów i gruczołów dokrewnych; można go podzielić na dwie części: współczulną (sympatyczną) i przywspółczulną (parasympatyczną). Aktywacja układu sympatycznego przygotowuje nas do walki lub ucieczki, podczas gdy pobudzenie części parasympatycznej wiąże się z funkcjonowaniem organizmu w niestresujących, codziennych warunkach. Review Questions To, że kontrolujemy ruchy nóg, gdy przechodzimy przez pokój, to efekt działania ________ układu nerwowego. autonomicznego somatycznego współczulnego przywspółczulnego B Gdy pobudzony jest nasz ________, czujemy się w miarę zrelaksowani. somatyczny układ nerwowy sympatyczny układ nerwowy parasympatyczny układ nerwowy rdzeń kręgowy C Ośrodkowy układ nerwowy składa się z ________. współczulnego i przywspółczulnego układu nerwowego narządów i gruczołów dokrewnych somatycznego i autonomicznego układu nerwowego mózgu i rdzenia kręgowego D Aktywacja układu współczulnego jest związana z ________. rozszerzeniem źrenic magazynowaniem glukozy w wątrobie przyspieszeniem tętna A i C D Critical Thinking Questions Jakie są skutki obniżenia odporności spowodowanego przewlekłą ekspozycją na stres? Przewlekły stres może zwiększać podatność na zakażenia wirusowe i bakteryjne, a także nasilać ryzyko raka. W rezultacie może uruchomić błędne koło, w którym stres zwiększa ryzyko chorób, choroba zaś nasila stres. Przyjrzyj się , pokazującemu efekty pobudzenia współczulnego układu nerwowego. Jaką rolę odgrywają one w reakcji walki lub ucieczki? Większość z tych efektów wpływa bezpośrednio na dostępność energii, redystrybucję kluczowych zasobów i poprawę percepcji zmysłowej. Osobnik, u którego się one uaktywnią, będzie lepiej przygotowany do walki lub ucieczki. Personal Application Questions Zapewne nie doświadczasz codziennie realnego, fizycznego zagrożenia, np. ze strony drapieżników. Jednakże nikt nie jest wolny od stresu. Jakie sytuacje najczęściej są dla ciebie jego źródłem? Co możesz zrobić, by zminimalizować negatywne skutki tych konkretnych czynników stresowych w twoim życiu? autonomiczny układ nerwowy ( wegetatywny układ nerwowy ) (ang. autonomic nervous system ) układ, który kontroluje narządy wewnętrzne oraz gruczoły człowieka ośrodkowy układ nerwowy (ang. central nervous system (CNS) ) mózg i rdzeń kręgowy reakcja na zagrożenie ( reakcja „walcz lub uciekaj” ) (ang. fight or flight response) aktywacja układu współczulnego (autonomicznego układu nerwowego), umożliwiająca dostęp do rezerw energii i zwiększonej wrażliwości czuciowej, by odeprzeć zagrożenie lub uciec w bezpieczne miejsce homeostaza (ang. homeostasis) stan równowagi, czyli kiedy warunki biologiczne organizmu (np. temperatura ciała) są utrzymywane na optymalnym poziomie przywspółczulny ( parasympatyczny ) układ nerwowy (ang. parasympathetic nervous system ) układ związany z rutynowymi, codziennymi aktywnościami ciała obwodowy układ nerwowy (ang. peripheral nervous system (PNS)) nerwy i zwoje nerwowe łączące mózg i rdzeń kręgowy z mięśniami, organami i ośrodkami czuciowymi na obrzeżach ciała somatyczny układ nerwowy (ang. somatic nervous system ) układ, który przekazuje informacje sensoryczne i ruchowe do i z centralnego układu nerwowego współczulny ( sympatyczny ) układ nerwowy (ang. sympathetic nervous system ) układ odpowiedzialny za mobilizację organizmu w sytuacjach stresowych", "section": "Składowe układu nerwowego", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Mózg i rdzeń kręgowy Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić funkcje rdzenia kręgowego Rozpoznać półkule i płaty mózgu Opisać rodzaje technik dostępnych klinicystom i badaczom w celu obrazowania lub skanowania mózgu Mózg to niewiarygodnie skomplikowany organ, złożony z miliardów połączonych ze sobą neuronów i komórek glejowych. Składa się z dwóch oddzielonych od siebie półkul. Choć każda półkula pełni określone funkcje, to wzajemne oddziaływania wszystkich obszarów mózgu stanowią podstawy myśli i zachowań. W tym podrozdziale omówimy ogólną organizację mózgu i funkcje związane z jego poszczególnymi obszarami. Zaczniemy od części OUN, którą możemy uznać za przedłużenie mózgu, czyli od rdzenia kręgowego. Rdzeń kręgowy (ang. spinal cord ) jest jednym z elementów łączących mózg ze światem zewnętrznym. Mózg działa poprzez rdzeń, który jest czymś w rodzaju stacji przekaźnikowej, tyle że niezwykle złożonej. Nie tylko przekierowuje informacje z i do mózgu, ale także ma własny system zautomatyzowanych reakcji, zwanych odruchami. Najwyżej położona część rdzenia łączy się z pniem mózgu, kontrolującym podstawowe procesy życiowe, takie jak oddychanie i trawienie. Drugi koniec rdzenia, w przeciwieństwie do powszechnego poglądu, nie ciągnie się aż do podstawy kręgosłupa, lecz kończy zaraz pod żebrami. Rdzeń kręgowy jest podzielony na 30 segmentów, z których każdy odpowiada jednemu kręgowi kręgosłupa. Każdy jest też połączony nerwami obwodowymi z określoną częścią ciała. Nerwy wychodzą z rdzenia na poziomie każdego kręgu. Te czuciowe niosą informacje z mięśni i narządów – ruchowe zaś wysyłają je do mięśni i narządów. W każdym segmencie informacje wędrują z i do mózgu. Niektóre sygnały czuciowe wywołują natychmiastową reakcję w samym rdzeniu, bez jakiegokolwiek udziału mózgu. Przykładami mogą być: odruch kolanowy i reakcja cofania od gorącego przedmiotu. Gdy impuls czuciowy spełnia określone parametry, rdzeń kręgowy zapoczątkowuje odruch bezwarunkowy. Sygnał przechodzi z nerwu czuciowego do prostego ośrodka przetwarzania, z którego wychodzi komenda ruchowa. Oszczędza to sekundy, gdyż informacje nie muszą wędrować do mózgu, być tam przetwarzane i wracać. W sytuacjach zagrożenia odruchy rdzeniowe pozwalają ciału reagować naprawdę błyskawicznie. Rdzeń kręgowy jest chroniony przez kręgi kostne i amortyzowany przez płyn mózgowo-rdzeniowy, ale urazy i tak się zdarzają. Gdy dojdzie do uszkodzenia na jakimś poziomie, wszystkie segmenty położone niżej zostają odcięte od informacji z mózgu, co wywołuje paraliż. Innymi słowy, im niżej jest uszkodzenie, tym mniejszy obszar ciała będzie dotknięty paraliżem. Neuroplastyczność Bob Woodruff, reporter stacji ABC, doznał poważnego urazu mózgu po tym, jak bomba wybuchła w pobliżu jego auta w trakcie przygotowywania materiału informacyjnego podczas konfliktu w Iraku. Na skutek tego wypadku cierpiał na liczne deficyty poznawcze, w tym obejmujące pamięć i mowę. Długotrwała i intensywna terapia procesów poznawczych sprawiły, że reporter odzyskał utracone funkcje (Fernandez, 2008, 16 października). Jednym z czynników, który umożliwił odzyskanie funkcji, jest neuroplastyczność. Jej istotą jest zdolność układu nerwowego do zmian i adaptacji. Neuroplastyczność może zajść na skutek różnych okoliczności: osobistego doświadczenia, procesów rozwojowych, czy, jak w powyższym przykładzie, w reakcji na uszkodzenie mózgu. Neuroplastyczność może obejmować powstawanie nowych synaps, zanikanie nieużywanych synaps, zmiany w komórkach glejowych, a nawet powstawanie nowych neuronów (w procesie neurogenezy). Dzięki neuroplastyczności nasze mózgi ciągle zmieniają się i adaptują, i chociaż układ nerwowy jest bardziej plastyczny w młodszym wieku, przypadek Woodruffa pokazuje, że może się on w znaczący sposób zmieniać także u dorosłych. Półkule mózgowe Najbardziej zewnętrzna warstwa mózgu, czyli kora mózgowa (in. kora mózgu) (ang. cerebral cortex ), jest nierówna; tworzy ją sieć fałdów znanych jako zakręty (łac. gyrus ) oraz doliny, czyli bruzdy (łac. sulcus ), co pokazano na . Te zakręty i bruzdy wyznaczają obszary, dzięki którym możemy podzielić mózg na ośrodki czynnościowe. Najgłębsza bruzda, szczelina podłużna (ang. longitudinal fissure ), dzieli go na dwie półkule (ang. hemisphere ): prawą i lewą. Powierzchnia mózgu jest nierówna, tworzą ją zakręty i bruzdy. Głębokie bruzdy zwane są szczelinami. Należy do nich np. szczelina podłużna mózgu, która dzieli mózg na dwie półkule: prawą i lewą. (Źródło: modyfikacja pracy Bruce’a Blausa). Między półkulami istnieje pewna specjalizacja czynnościowa określana mianem lateralizacji (ang. lateralization ). Chodzi głównie o funkcje związane z mową i językiem, wiemy też, że lewa półkula kontroluje prawą połowę ciała, a prawa – lewą. Dekady badań nad lateralizacją, prowadzonych przez Michaela Gazzanigę i współpracowników, sugerują, że liczne funkcje mogą w pewnej mierze podlegać dominacji półkulowej, począwszy od rozumowania przyczynowo-skutkowego, a na rozpoznawaniu samego siebie kończąc (Gazzaniga, 2005). Na przykład lewa półkula okazuje się ważniejsza dla powstawania skojarzeń pamięciowych, selektywnej uwagi i pozytywnych emocji. Natomiast prawa półkula ma przewagę w przypadku percepcji wysokości dźwięków, pobudzenia i negatywnych emocji (Ehret, 2006). Należy jednak wskazać, że wyniki badań nad dominacją półkul w odniesieniu do różnych zachowań nie są jednoznaczne. Z tego powodu należy raczej analizować to, jak obie półkule współdziałają, aby wywołać określone zachowanie, niż przypisywać niektóre zachowania którejś z nich (Banich i Heller, 1998). Obie półkule łączy gruba wiązka włókien nerwowych określanych jako spoidło wielkie (łac. corpus callosum ) (inaczej: ciało modzelowate ), złożone z około 200 mln aksonów. Spoidło wielkie pozwala przekazywać informacje przetwarzane w jednej półkuli do drugiej półkuli. Większość z nas nie zdaje sobie sprawy z różnych ról, jakie obie półkule odgrywają na co dzień, ale są i tacy, którzy poznali ich możliwości aż za dobrze. W niektórych przypadkach ciężkiej padaczki lekarze decydują się na przecięcie spoidła wielkiego, by ograniczyć rozprzestrzenianie się synchronicznych wyładowań neuronalnych ( ). Taka terapia jest skuteczna, ale w rezultacie poddana jej osoba ma rozdzielone półkule mózgowe. Po operacji zaczyna niekiedy przejawiać nietypowy wachlarz zachowań. Nie potrafi np. nazwać tego, co widzi w lewym polu widzenia, gdyż ta informacja jest skierowana tylko do prawej półkuli, w której w zasadzie nie występują ośrodki mowy. Umie jednak odtworzyć widziany rysunek lewą ręką, również kontrolowaną przez prawą półkulę. Za to gdy lewa półkula (w której głównie występują ośrodki mowy) „zobaczy” obrazek narysowany lewą ręką, pacjent może go nazwać (przyjmując, że lewa półkula umie zinterpretować to, co narysowała ręka). (a, b) Lewą i prawą półkulę mózgu łączy spoidło wielkie. (c) Badacz rozkłada mózg owcy, by pokazać spoidło wielkie między półkulami. (Zdjęcie (c): modyfikacja pracy Aarona Bornsteina) Wiele z tego, co wiemy o funkcjach różnych obszarów mózgu, pochodzi z badań osób, u których uszkodzenie tego narządu wywołało zmiany zachowania. Naukowcy badają np. zmiany w zachowaniu po udarze, by dowiedzieć się, jaką rolę odgrywają określone obszary mózgu. Udar niedokrwienny, wywołany przerwaniem dopływu krwi do jakiejś części mózgu, prowadzi do utraty funkcji w tym obszarze. Uszkodzenie może być ograniczone do niewielkiego fragmentu tkanki i wtedy daje badaczom szanse połączenia ewentualnych zmian w zachowaniu z tym konkretnym rejonem. Rodzaj deficytów, jakie można obserwować po udarze, w dużej mierze zależy od tego, który obszar uległ uszkodzeniu. Weźmy Theonę, inteligentną, samodzielną, 62-letnią kobietę. Niedawno przeszła udar przedniej części prawej półkuli. W rezultacie jest jej bardzo trudno poruszać lewą nogą (jak już wiesz, prawa półkula kontroluje lewą stronę ciała, a główne ośrodki ruchowe zlokalizowane są w przedniej części mózgu, w płatach czołowych). U Theony doszło też do zmian w zachowaniu. Na przykład gdy odwiedza dział warzywny supermarketu, zdarza jej się zjadać winogrona, truskawki albo jabłka z tacek bez płacenia. Takie zachowanie, którego przed udarem zapewne by się wstydziła, to efekt uszkodzenia innego regionu płata czołowego – tzw. kory przedczołowej, związanej z osądami, rozumowaniem i panowaniem nad popędami. Struktury przodomózgowia Kora mózgowa obu półkul to część przodomózgowia (ang. forebrain ) ( ), które stanowi największą część mózgu. Poza korą należy do niego szereg innych struktur nazywanych podkorowymi, gdyż... leżą pod korą. Możemy wśród nich wyróżnić: wzgórze, przysadkę mózgową i układ limbiczny (na który składa się wiele struktur). Kora, stanowiąca zewnętrzną powierzchnię mózgu, jest związana z procesami wyższego rzędu: świadomością, myśleniem, emocjami, rozumowaniem, mową i pamięcią. Każdą półkulę mózgu można podzielić na cztery płaty, z których każdy pełni inne funkcje. Mózg dzieli się na trzy zasadnicze części: przodomózgowie, śródmózgowie i tyłomózgowie. Płaty mózgu W każdej z półkul wyróżniamy cztery płaty: czołowy, ciemieniowy, skroniowy i potyliczny ( ). Płat czołowy (ang. frontal lobe ) leży z przodu i rozciąga się aż do szczeliny zwanej bruzdą środkową (bruzdą Rolanda). Płat ten jest związany z myśleniem, kontrolą ruchu, emocjami i mową. Należą do niego: kora ruchowa (ang. motor cortex ), zaangażowana w planowanie i koordynację ruchów, kora przedczołowa (ang. prefrontal cortex ), odpowiedzialna za wyższe funkcje poznawcze, oraz ośrodek Broki ( obszar Broki ) (ang. Broca’s area ), zawiadujący generowaniem mowy. Płaty mózgu. Osoby z uszkodzeniem ośrodka Broki mają ogromne trudności z wyartykułowaniem jakichkolwiek zrozumiałych dźwięków mowy ( ). Przykładowo: Padma pracowała jako inżynier elektryk, była aktywnym członkiem lokalnej społeczności i kochającą, zaangażowaną matką. Dwadzieścia lat temu przeżyła wypadek samochodowy, w którym uszkodzeniu uległ jej ośrodek Broki. Zupełnie straciła zdolność mówienia i wypowiadania się w logiczny, zrozumiały sposób. Jej usta i struny głosowe są w najlepszym porządku, a mimo to nie umie wydobywać z siebie słów. Gdy ktoś daje jej wskazówki, potrafi z nich korzystać, ale nie odpowiada. Potrafi czytać, ale nie pisać. Rutynowe czynności, jak pójście do sklepu po mleko, nie sprawiają jej trudności, ale gdyby sytuacja tego od niej wymagała, nie potrafiłaby o nic zapytać ani porozmawiać. Prawdopodobnie najsłynniejszym przypadkiem uszkodzenia płata czołowego jest historia mężczyzny nazwiskiem Phineas Gage (1823–1860). 13 września 1848 roku pracował on jak co dzień jako kierownik budowy torów kolejowych w Vermont. Wraz z zespołem miał wysadzać skały stojące na drodze planowanej linii kolejowej. Do ubijania materiałów wybuchowych w zagłębieniach strzelniczych wykorzystywano metalowy pręt. Niestety za którymś razem pręt wywołał iskrę, a ta – zapłon ładunku, który wybuchł Gage’owi w twarz, pręt zaś przebił mu czaszkę ( ). Mężczyzna nie stracił przytomności, choć przez dłuższą chwilę leżał w kałuży własnej krwi, a z jego czaszki wydobywały się fragmenty mózgu. Był w stanie wstać, mówić i chodzić o własnych siłach. Jednak ludzie zauważyli, że w ciągu kilku miesięcy po wypadku bardzo się zmienił. Wielu przyjaciół twierdziło wręcz, że przestał być sobą. Przed urazem Gage był dobrze wychowanym, spokojnym człowiekiem, a po nim zaczął zachowywać się dziwacznie i nieodpowiednio. Takie zmiany mogły wynikać z utraty umiejętności kontroli własnego zachowania – funkcji pełnionej przez płaty czołowe. Oprócz uszkodzenia samego płata czołowego późniejsze badania drogi, którą przeszedł pręt, pozwoliły zidentyfikować również prawdopodobne uszkodzenia dróg łączących płat czołowy z innymi strukturami mózgu, w tym układem limbicznym. Zniszczenie połączeń między ośrodkami w płatach czołowych odpowiedzialnymi za funkcje planowania oraz ośrodkami w układzie limbicznym odpowiedzialnymi za procesy emocjonalne sprawiło, że Gage miał trudności z kontrolowaniem zachowań emocjonalnych. Są jednak dane wskazujące, że wyraźne zmiany w osobowości mężczyzny zostały wyolbrzymione i mocno ubarwione. Przypadek Gage’a zdarzył się w szczytowym momencie dziewiętnastowiecznej debaty, w której spierano się, czy określone funkcje mózgu mają specyficzną lokalizację. Naukowcy starali się znaleźć potwierdzenie swoich poglądów niezależnie od tego, po której stronie opowiadali się w tym sporze, opierając się na bardzo ograniczonych informacjach o samym Gage’u, rozmiarach uszkodzeń mózgu oraz życiu mężczyzny sprzed i po wypadku (Macmillan, 1999). (a) Phineas Gage trzyma w rękach pręt, który przebił mu czaszkę w wypadku podczas budowy linii kolejowej w 1848 roku. (b) Kora przedczołowa lewej półkuli mózgu Gage’a została poważnie uszkodzona. Pręt wszedł w twarzoczaszkę po lewej stronie, przeszedł za okiem i wyszedł przez szczyt czaszki, zanim spadł na ziemię jakieś 25 metrów dalej. (Źródło: zdjęcie (a): modyfikacja pracy Jacka i Beverly Wilgus). Bezpośrednio za płatem czołowym znajduje się płat ciemieniowy (ang. parietal lobe ), zaangażowany w przetwarzanie informacji zmysłowych. Tworzy go kora somatosensoryczna (ang. somatosensory cortex ), nieodzowny element przetwarzania informacji czuciowych z całego organizmu, takich jak dotyk, temperatura i ból. Kora somatosensoryczna jest zorganizowana somatotopowo, to znaczy, że na jej powierzchni odzwierciedlone są relacje przestrzenne między obszarami ciała ( ). Na przykład obszar przetwarzający informacje czuciowe z dłoni leży w sąsiedztwie obszaru przetwarzającego informacje czuciowe z nadgarstka. Organizacja przestrzenna kory somatosensorycznej odzwierciedla stosunki przestrzenne między poszczególnymi obszarami ciała. Płaty skroniowe (ang. temporal lobe ) leżą po bokach mózgu, w okolicach skroni. Odpowiadają za słyszenie, pamięć, uczucia i niektóre aspekty mowy. To tu zlokalizowana jest kora słuchowa (ang. auditory cortex ), główny obszar uczestniczący w przetwarzaniu informacji słuchowych. Tu także znajduje się ośrodek Wernickego (ang. Wernicke’s area ), kluczowy dla rozumienia mowy. Można powiedzieć, że podczas gdy ludzie z uszkodzonym ośrodkiem Broki mają problem z wypowiedzeniem choćby jednego zrozumiałego słowa, ci z urazem ośrodka Wernickego mówią słowa w sposób zrozumiały, ale ich wypowiedzi są pozbawione sensu ( ). Problemy z mową mogą wynikać zarówno z uszkodzenia ośrodka Broki, jak i Wernickego. Rodzaj deficytów jest jednak ściśle związany z miejscem uszkodzenia. Płat potyliczny (ang. occipital lobe ) jest zlokalizowany z tyłu czaszki; mieści się tu pierwszorzędowa kora wzrokowa, odpowiedzialna za odczytywanie przychodzących z oczu bodźców wzrokowych. Kora potyliczna jest zorganizowana retinotopowo, co oznacza, że istnieje ścisły związek między położeniem obiektu w polu widzenia a pozycją, jaką reprezentacja tego obiektu zajmuje w korze wzrokowej. Więcej o przetwarzaniu informacji wzrokowych w płatach potylicznych dowiesz się, ucząc się o wrażeniach zmysłowych i percepcji w podrozdziale Wzrok. Inne obszary przodomózgowia Inne obszary przodomózgowia to położone pod korą wzgórze i układ limbiczny. Wzgórze (łac. thalamus ) to stacja przekaźnikowa mózgu. Wszystkie szlaki zmysłowe, z wyjątkiem węchowego, przechodzą przez wzgórze, zanim dotrą do innych obszarów mózgu, gdzie odbywa się ich przetwarzanie ( ). Wzgórze to stacja przekaźnikowa mózgu; tu krzyżuje się większość szlaków zmysłowych, zanim dotrze do miejsc przetwarzania informacji. Układ limbiczny (ang. limbic system ) bierze udział w przetwarzaniu emocji i śladów pamięciowych. Co ciekawe, szlak węchowy biegnie bezpośrednio do układu limbicznego, więc nie dziwi fakt, że zapachy wywołują reakcje emocjonalne w takim stopniu, w jakim nie może wywołać ich żaden inny bodziec. Układ limbiczny składa się z szeregu struktur; trzy najważniejsze to hipokamp (łac. hippocampus ), ciało migdałowate (łac. amygdala ) i podwzgórze (łac. hypothalamus ) ( ). Hipokamp, parzysty narząd, jest niezbędny w procesie uczenia się i zapamiętywania. Ciało migdałowate jest kluczowe w doświadczaniu emocji i nadawaniu wspomnieniom emocjonalnego znaczenia. Podwzgórze reguluje wiele procesów z zakresu homeostazy, w tym temperaturę ciała, apetyt i ciśnienie krwi. Jest także stacją przekaźnikową między układem nerwowym a wewnątrzwydzielniczym oraz nadzoruje popęd seksualny i zachowania reprodukcyjne. Układ limbiczny jest zaangażowany w procesy pamięciowe i reakcje emocjonalne. Przypadek Henry’ego Molaisona (H.M.) W 1953 roku Henry Gustav Molaison (1926–2008) (H. M.) był dwudziestosiedmiolatkiem z ciężką padaczką. Aby ograniczyć rozległość występujących u niego napadów padaczki, wykonano u niego operację mózgu polegającą na usunięciu hipokampu i ciała migdałowatego. Po zabiegu napady padaczkowe rzeczywiście stały się mniej uciążliwe, ale sama operacja wywołała nieoczekiwane i tragiczne skutki uboczne. H.M. utracił zdolność tworzenia wielu typów nowych wspomnień. Nie potrafił np. zapamiętać nowych faktów w rodzaju „kto jest obecnym prezydentem”. Był w stanie nabywać nowe umiejętności, ale później zapominał, że je posiada. Na przykład uczył się korzystać z komputera, a później nie pamiętał, żeby kiedykolwiek widział to urządzenie. Nie potrafił zapamiętać nowych twarzy ani zdarzeń, nawet tuż po ich zajściu. Badacze byli nim zafascynowani i do dziś H. M. jest uznawany za jednego z najlepiej przebadanych pacjentów w historii medycyny i psychologii (Hardt, Einarsson, Nader, 2010; Squire, 2009). Jego historia pozwoliła wejrzeć głęboko w mózg i ustalić, jaką rolę odgrywa hipokamp w konsolidacji nowych śladów pamięciowych w pamięci deklaratywnej (świadomej). Znany muzyk Clive Wearing utracił zdolność zapamiętywania nowych wspomnień po tym, jak jego hipokamp uległ uszkodzeniu w wyniku choroby. Sylwetka muzyka jest przedstawiona w pierwszych minutach filmu . Struktury śródmózgowia i tyłomózgowia Śródmózgowie (ang. midbrain ) tworzą struktury zlokalizowane głęboko w mózgu, między przodo- a tyłomózgowiem. W tej części leży centrum układu siatkowatego (ang. reticular formation ), który jednak rozciąga się dalej, w górę do przodomózgowia i w dół do tyłomózgowia. Twór siatkowaty odgrywa istotną rolę w regulacji świadomości, pobudzenia, aktywności ruchowej i cyklu sen–czuwanie. W śródmózgowiu znajdują się też substancja czarna (istota czarna) (łac. substantia nigra ) i pole brzuszne nakrywki (ang. ventral tegmental area (VTA) ) przedstawione na . W obu tych obszarach zlokalizowane są komórki wytwarzające dopaminę i oba odgrywają istotną rolę w sterowaniu ruchem. Degeneracja substancji czarnej i VTA występuje w chorobie Parkinsona. Oprócz tego obie struktury wpływają na nastrój, doświadczanie przyjemności i... uzależnienia (Berridge i Robinson, 1998; Gardner, 2011; George et al., 2012). Istota czarna oraz pole brzuszne nakrywki są umiejscowione w śródmózgowiu. Tyłomózgowie (ang. hindbrain ) leży z tyłu czaszki i wygląda jak przedłużenie rdzenia kręgowego. Składa się z rdzenia przedłużonego, mostu i móżdżku ( ). Rdzeń przedłużony (łac. medulla ) kontroluje automatyzmy autonomicznego układu nerwowego, takie jak oddychanie, ciśnienie krwi czy bicie serca. Zgodnie z nazwą most (ang. pons ) łączy tyłomózgowie z resztą mózgu oraz bierze udział w regulacji aktywności mózgu podczas snu. Pień mózgu (ang. brain stem ) w ujęciu klinicznym złożony jest z trzech pięter ośrodkowego układu nerwowego: śródmózgowia, mostu i rdzenia przedłużonego. Tyłomózgowie tworzą: most, rdzeń przedłużony i móżdżek. Móżdżek (łac. cerebellum ) (czyli „mały mózg”) otrzymuje informacje z mięśni, ścięgien, stawów oraz struktur zlokalizowanych w uchu wewnętrznym. Dzięki nim kontroluje równowagę, koordynację ruchów i wyuczone sekwencje ruchowe. Uważa się też, że ta część mózgu pełni istotną funkcję w przetwarzaniu niektórych typów śladów pamięciowych, a w szczególności tzw. pamięci proceduralnej, związanej z uczeniem się i pamiętaniem, jak wykonywać określone czynności. Przypomnij sobie, że H. M. nie umiał zapisać nowych zdarzeń w pamięci deklaratywnej, ale potrafił uczyć się nowych czynności, prawdopodobnie dlatego, że jego móżdżek pozostał nietknięty. Śmierć mózgu i sztuczne podtrzymywanie czynności życiowych Jaka decyzja wydałaby ci się najlepsza, gdyby bliska ci osoba została uznana za będącą w stanie śmierci mózgowej, ale jej ciało byłoby podtrzymywane przy życiu dzięki maszynerii medycznej? Kto powinien podejmować decyzję o odłączeniu odżywiania? Czy w podejmowaniu takich decyzji powinien odgrywać rolę koszt podtrzymywania życia? 25 lutego 1990 roku Terri Schiavo (1963–2005), mieszkanka Florydy, doświadczyła zatrzymania czynności serca, najprawdopodobniej wywołanego napadem bulimii. Udało się przywrócić jej podstawowe czynności życiowe, ale jej mózg zbyt długo był pozbawiony tlenu. Badania wskazywały, że kora mózgowa nie wykazuje żadnej aktywności i że doszło do jej ciężkiego i trwałego zaniku. Stwierdzono, że kobieta jest w stanie wegetatywnym. Opinie ekspertów medycznych były jednoznaczne: Terri nigdy nie będzie się samodzielnie poruszać, mówić ani w ogóle reagować. By utrzymać ją przy życiu, konieczne było założenie jej sondy do karmienia (zgłębnika dojelitowego); nie było szans, by jej stan się kiedykolwiek poprawił. Bywało, że Schiavo poruszała oczami albo wydawała jakieś dźwięki. Dlatego mimo opinii lekarzy jej rodzice wierzyli, że jest to sposób, w jaki próbuje się z nimi komunikować. Po 12 latach mąż Terri postanowił to przerwać; przekonywał, że jego żona nie chciałaby być utrzymywana przy życiu w takim stanie, bez możliwości odczuwania, bez aktywności mózgu. Jej rodzice jednak sprzeciwiali się odłączeniu sondy, przez którą była karmiona. Sprawa trafiła do sądów, zarówno stanowego, jak i federalnego. W 2005 roku wydano orzeczenie zgodne ze stanowiskiem męża i 18 marca Terri Schiavo usunięto sondę do karmienia. Kobieta zmarła 13 dni później. Dlaczego Schiavo poruszała oczyma i wydawała dźwięki? Choć te części jej mózgu, które odpowiadały za myślenie, ruchy dowolne i uczucia zostały nieodwracalnie zniszczone, pień mózgu pozostał nienaruszony. Jej móżdżek i most zawiadywały oddychaniem i sprawiały, że czasem poruszała oczami albo wydawała dźwięki. Przez 15 lat, gdy była podłączona do aparatury, koszty jej leczenia mogły przekroczyć nawet 7 mln dolarów (Arnst, 2003). Pytania, które tu zadaliśmy, poruszyły opinię publiczną wiele lat temu, ale są aktualne i dziś. W roku 2013 stwierdzono śmierć mózgu u 13-letniej dziewczynki; było to powikłanie po operacji migdałków. Rodzice walczyli w sądzie o sztuczne utrzymywanie jej przy życiu, gdyż polityka szpitala wobec osób, u których stwierdzono śmierć mózgu, była inna. W kolejnym skomplikowanym przypadku z lat 2013–14 ciężarną sanitariuszkę z Teksasu sztucznie utrzymywano przy życiu przez wiele tygodni, mimo że stwierdzono u niej śmierć mózgu i wbrew woli jej małżonka, który twierdził, że sama kobieta nie chciałaby tego rodzaju pomocy. W jej przypadku pierwszeństwo miało prawo stanowe, które nakazywało ochronę życia płodu, dopóki lekarze nie stwierdzili, że i on nie ma szans na przeżycie. Decyzje stojące za reakcją personelu medycznego wobec osób uznanych za zmarłe w wyniku śmierci mózgowej są bardzo złożone. A co ty sądzisz o tych kwestiach? Obrazowanie mózgu Wiesz już, że uszkodzenie mózgu może dostarczyć informacji o funkcjach różnych jego obszarów. Coraz częściej jednak te same informacje możemy uzyskać dzięki technikom obrazowania mózgu (ang. brain imaging ), badając osoby, które nie doświadczyły żadnych uszkodzeń tego organu. W tym podrozdziale przyjrzymy się bliżej niektórym z tych technik, zarówno wykorzystującym promieniowanie rentgenowskie, jak i pola magnetyczne czy aktywność elektryczną mózgu. Techniki oparte na promieniowaniu Tomografia komputerowa (TK) (ang. computerized tomography (CT) ) to obraz utworzony z wielu zdjęć rentgenowskich danej części ciała (w tym mózgu) ( ). Promienie X, przechodząc przez tkanki o różnej gęstości, są tłumione w różnym stopniu, dzięki czemu komputer może stworzyć całkowity obraz badanego obszaru. TK często jest wykorzystywana do stwierdzenia, czy w mózgu badanej osoby rozwija się guz albo czy dochodzi do znaczącego zaniku tkanki mózgowej. Obraz TK może ujawnić guzy mózgu. (a) Obraz po lewej ukazuje zdrowy mózg, podczas gdy (b) ten po prawej – mózg z guzem w lewym płacie czołowym. (Źródło: ilustracja (a): modyfikacja pracy „Aceofhearts1968”/Wikimedia Commons; ilustracja (b): modyfikacja pracy Rolanda Schmitta i in.). Pozytonowa tomografia emisyjna (ang. positron emission tomography (PET) ) tworzy obrazy żywego, aktywnego mózgu ( ). Osoba poddawana takiemu badaniu najpierw wypija (albo wstrzykuje się jej) płyn z nieznacznie radioaktywną substancją, tzw. znacznikiem. Gdy znacznik znajdzie się w krwiobiegu, można monitorować jego ilość w dowolnym obszarze mózgu. Wiadomo, że wzrost aktywności obszaru mózgu powoduje wzrost przepływu krwi przez ten obszar, a więc i wzrost stężenia znacznika. Komputer pozwala rejestrować ruchy znacznika i tworzy mapę aktywnych i nieaktywnych obszarów mózgu podczas określonego zachowania. Obrazy PET nie są zbyt szczegółowe, nie pozwalają na dokładne zobrazowanie aktywności w czasie i są związane z narażeniem mózgu na promieniowanie. Dlatego technikę tę zastępuje się obrazowaniem czynnościowym rezonansem magnetycznym (fMRI). Jednakże w połączeniu z tomografią komputerową badanie PET wciąż jest wykorzystywane w niektórych sytuacjach. Techniki TK/PET pozwalają np. lepiej zobrazować aktywność receptorów neuroprzekaźnika i otwierają nowe możliwości w badaniach nad schizofrenią. Hybrydowa technologia TK/PET to szczegółowy obraz struktur mózgu (TK) i jego aktywności (PET). Obraz PET ujawnia aktywność różnych obszarów mózgu. (Źródło: Departament Zdrowia i Opieki Społecznej, Narodowy Instytut Zdrowia) Techniki wykorzystujące pola magnetyczne W rezonansie magnetycznym (ang. magnetic resonance imaging (MRI) ) uczestnik jest umieszczany wewnątrz urządzenia wytwarzającego silne pole magnetyczne. Pole to porządkuje atomy wodoru w komórkach. Po wyłączeniu pola atomy te wracają do pierwotnego położenia, emitując przy tym pole elektromagnetyczne. Tkanki o różnej gęstości wysyłają sygnały o różnym natężeniu, które komputer przetwarza i obraz badanego obszaru wyświetla na ekranie monitora. Czynnościowy rezonans magnetyczny (ang. functional magnetic resonance imaging (fMRI) ) działa na tej samej zasadzie, ale pokazuje zmiany aktywności mózgu w czasie, śledząc przepływ krwi i poziom wysycenia jej tlenem. fMRI dostarcza bardziej szczegółowych obrazów budowy mózgu, z większą dokładnością czasową niż w przypadku techniki PET ( ). Przy tak dużym poziomie szczegółowości MRI i fMRI często wykorzystuje się do porównywania mózgów osób zdrowych z mózgami osób ze zdiagnozowanymi zaburzeniami psychicznymi. Takie porównanie pomaga określić strukturalne i czynnościowe różnice między populacjami ludzi zdrowych i chorych. fMRI pokazuje zmiany aktywności mózgu w czasie. Rysunek przedstawia pojedynczą klatkę zarejestrowaną w czasie badania. (Źródło: modyfikacja pracy Kim J., Matthews N.L., Park S.). Aby dowiedzieć się więcej o MRI i fMRI, zajrzyj do tego wirtualnego laboratorium . Techniki wykorzystujące aktywność elektryczną W badaniach mózgu ważną rolę odgrywa analiza potencjałów elektrycznych tego narządu, która pozwala na bardzo dokładną rejestrację czasowych zmian aktywności przy niezbyt precyzyjnym ustaleniu miejsca jej występowania. Takie informacje o elektrycznej aktywności mózgu daje elektroencefalografia (ang. electroencephalography (EEG) ). Na głowę badanego nakłada się specjalny czepek z odpowiednio rozmieszczonymi elektrodami ( ). Sygnały odbierane z elektrod pozwalają stworzyć wykres aktywności mózgu, tzw. fale mózgowe, rejestrując zmianę ich amplitudy (wysokość) z dokładnością do milisekund. Stosując odpowiednie techniki obliczeniowe, określa się częstotliwość składowych danego sygnału. Tego typu informacje są szczególnie przydatne naukowcom badającym wzorce snu u osób z jego zaburzeniami. W nowoczesnej aparaturze EEG wykorzystuje się wieloelektrodowe czepki, które umożliwiają precyzyjną rejestrację aktywności elektrycznej mózgu. (Źródło: SMI Eye Tracking). Podsumowanie Mózg składa się z dwóch półkul, z których prawa kontroluje lewą połowę ciała i na odwrót. Korę mózgową każdej z półkul można podzielić na płaty: czołowy, ciemieniowy, skroniowy i potyliczny. Oprócz kory mózgowej do przodomózgowia należą też wzgórze (stacja przekaźnikowa dla wrażeń zmysłowych) i układ limbiczny (system łączący pamięć i emocje). Śródmózgowie zawiera twór siatkowaty, kluczowy w regulacji cyklu snu i czuwania, oraz substancję czarną i pole brzuszne nakrywki. Te struktury odgrywają rolę w kontroli ruchów, doświadczaniu przyjemności i uzależnieniach. W tyłomózgowiu kryją się struktury pnia mózgu (rdzeń przedłużony, most i śródmózgowie) kontrolujące funkcje odruchowe, takie jak oddychanie czy ciśnienie krwi. Należy doń również móżdżek, który koordynuje ruchy ciała i przetwarza niektóre rodzaje wspomnień. Dawniej, by zdobyć informacje o roli poszczególnych obszarów mózgu, trzeba było badać osoby, u których doszło do uszkodzenia mózgu. Dziś dzięki postępom technologii można zbierać takie informacje z badań obrazowych ukazujących zarówno strukturę mózgu, jak i jego czynność. Najważniejsze z tych badań to TK (CT), PET, MRI, fMRI i EEG. Review Questions ________ to stacja przekaźnikowa, gdzie trafiają informacje ze wszystkich zmysłów oprócz węchu, zanim zostaną przekazane do innych obszarów mózgu w celu dalszej obróbki. ciało migdałowate hipokamp podwzgórze wzgórze D Uszkodzenie ________ upośledza zdolność rozumienia mowy, lecz zdolność wypowiadania słów pozostawia nietkniętą. ciała migdałowatego ośrodka Broki ośrodka Wernickego płata potylicznego C Pole magnetyczne do tworzenia obrazów badanej tkanki wykorzystuje ________. EEG (elektroencefalograf) MRI (rezonans magnetyczny) PET (pozytonowa tomografia emisyjna) TK (tomografia komputerowa) B Które z poniższych nie jest częścią przodomózgowia? wzgórze hipokamp ciało migdałowate substancja czarna D Critical Thinking Questions Przed pojawieniem się nowoczesnych technik obrazowania naukowcy i klinicyści, chcąc dowiedzieć się, jak zmiany w różnych obszarach mózgu prowadzą do określonych zmian w zachowaniu, musieli polegać na wynikach sekcji osób z urazem mózgu. Jakie są ograniczenia takiego podejścia? Takie same jak w przypadku wszystkich innych danych kazuistycznych. Dodatkowo przebyty uraz mógł wywołać zmiany w innych obszarach mózgu, a to z kolei mogło się przyczynić do zaburzeń zachowania. Osoba przeprowadzająca sekcję mogła nie wiedzieć o takich zmianach, jeśli miały one charakter czynnościowy, a nie morfologiczny. Które z omawianych technik można wziąć pod uwagę w celu określenia, w jaki sposób aktywność tworu siatkowatego wpływa na sen i czuwanie? Uzasadnij. Najbardziej przydatnymi do tego zadania technikami są fMRI i PET, gdyż dostarczają one jednocześnie informacji na temat budowy i aktywności mózgu. Personal Application Questions Znasz już H. M. i jego zaburzenia pamięci, będące skutkiem obustronnego usunięcia hipokampa i ciała migdałowatego. Czy jest ci znana postać, rzeczywista lub fikcyjna, która cierpiała na zaburzenia pamięci? W czym była podobna do poznanego w tym podrozdziale H. M., a pod jakimi względami różniła się od niego? ciało migdałowate (jądro migdałowate) (ang. amygdala) część układu limbicznego zaangażowana w doświadczanie emocji i pamięć emocjonalną kora słuchowa (ang. auditory cortex ) obszar kory mózgowej w płacie skroniowym odpowiedzialny za przetwarzanie informacji słuchowych ośrodek Broki ( obszar Broki ) (ang. Broca’s area ) rejon w lewej półkuli mózgu, w którym zachodzą procesy związane z generowaniem mowy móżdżek (łac. cerebellum ) część tyłomózgowia, która kontroluje równowagę, koordynację, ruch i zdolności ruchowe oraz wybrane funkcje poznawcze dotyczące zapamiętywania kora mózgowa (kora mózgu) (ang. cerebral cortex ) warstwa tkanki nerwowej pokrywająca półkule mózgowe; odpowiedzialna za zaawansowane zdolności umysłowe, np. myślenie abstrakcyjne tomografia komputerowa (TK) (ang. computerized tomography (CT)) badanie radiologiczne, w którym uzyskuje się prześwietlenia danego obszaru ciała pacjenta ciało modzelowate ( spoidło wielkie mózgu ) (łac. corpus callosum ) grube pasmo włókien nerwowych łączących dwie półkule mózgu elektroencefalografia (ang. electroencephalography (EEG)) rejestrowanie aktywności elektrycznej mózgu za pomocą elektrod umieszczonych na skórze głowy przodomózgowie (ang. forebrain ) największa część mózgu, zawierająca między innymi korę mózgową, wzgórze i układ limbiczny płat czołowy (ang. frontal lobe ) część kory mózgowej zaangażowana w rozumowanie, kontrolę motoryczną, emocje i język; zawiera korę ruchową czynnościowy rezonans magnetyczny (ang. functional magnetic resonance imaging (fMRI)) służy do badania zmiany aktywności metabolicznej w czasie zakręt kory mózgowej (łac. gyrus ) uwypuklenia na powierzchni kory mózgowej półkula mózgowa (ang. hemisphere ) lewa lub prawa połowa mózgu tyłomózgowie (ang. hindbrain ) część mózgu zawierająca m.in. rdzeń, most i móżdżek hipokamp (łac. hippocampus ) parzysta struktura w płacie skroniowym powiązana z uczeniem się i pamięcią podwzgórze (łac. hypothalamus ) część podkorowa mózgowia regulująca motywację i zachowania seksualne oraz szereg procesów homeostatycznych; służy jako łącznik między układem nerwowym a układem hormonalnym lateralizacja (ang. lateralization ) specjalizacja czynnościowa półkul mózgowych; każda półkula odpowiada za konkretne funkcje układ limbiczny (ang. limbic system ) układ struktur mózgowych zaangażowanych w procesy emocjonalne i pamięć szczelina podłużna mózgu (ang. longitudinal fissure ) najgłębsza bruzda w korze mózgu rezonans magnetyczny (ang. magnetic resonance imaging (MRI) ) nieinwazyjne obrazowanie tkanek za pomocą pola magnetycznego rdzeń przedłużony (łac. medulla ) struktura tyłomózgowia kontrolująca zautomatyzowane procesy, takie jak oddychanie, ciśnienie krwi i tętno śródmózgowie (ang. midbrain ) część mózgu umiejscowiona między przodomózgowiem a tyłomózgowiem; zawiera twór siatkowaty (układ siatkowaty) kora ruchowa (ang. motor cortex ) obszar kory mózgowej zaangażowany w planowanie i koordynację ruchu płat potyliczny (ang. occipital lobe ) część kory mózgowej związana z przetwarzaniem wizualnym; zawiera pierwotną korę wzrokową płat ciemieniowy (ang. parietal lobe ) część kory mózgowej zaangażowana w przetwarzanie różnych bodźców zmysłowych; zawiera pierwotną korę somatosensoryczną most (ang. pons ) część tyłomózgowia łącząca mózg i rdzeń kręgowy zaangażowana w regulację aktywności mózgu podczas snu pozytonowa tomografia emisyjna (ang. positron emission tomography (PET)) metoda obrazowania polega na wprowadzaniu do ciała pacjenta łagodnie radioaktywnej substancji i monitorowaniu zmian w przepływie krwi do różnych obszarów ciała kora przedczołowa (ang. prefrontal cortex ) obszar płata czołowego odpowiedzialny za funkcjonowanie poznawcze wyższego poziomu układ siatkowaty (ang. reticular formation ) część śródmózgowia ważna dla regulacji cyklu snu i czuwania, pobudzenia, czujności i aktywności ruchowej kora somatosensoryczna (ang. somatosensory cortex ) ośrodek niezbędny do przetwarzania informacji sensorycznych z całego ciała, takich jak dotyk, temperatura i ból istota czarna (łac. substantia nigra ) część śródmózgowia, w której wytwarzana jest dopamina; odpowiada za kontrolę ruchu bruzda (łac. sulcus ) wgłębienia lub rowki w korze mózgowej płat skroniowy (ang. temporal lobe ) część kory mózgowej związana ze słuchem, pamięcią, emocjami i niektórymi aspektami mowy; zawiera pierwotną korę słuchową wzgórze (łac. thalamus ) obszar mózgu, który przesyła informacje o bodźcach zmysłowych pole brzuszne nakrywki (ang. ventral tegmental area (VTA)) część śródmózgowia, w której wytwarzana jest dopamina; odpowiada za regulację nastroju i uzależnień oraz za funkcjonowanie układu nagrody ośrodek Wernickego (ang. Wernicke’s area) część mózgu, w której zachodzą procesy rozumienia mowy pień mózgu (ang. brain stem ) struktura regulująca podstawowe procesy życiowe ciało migdałowate (jądro migdałowate) (ang. amygdala) struktura w mózgu, której głównym zadaniem jest regulacja emocji takich jak strach i agresja; bierze również udział w przechowywaniu wspomnień", "section": "Mózg i rdzeń kręgowy", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Układ hormonalny Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wymienić główne gruczoły układu hormonalnego Wskazać hormony wydzielane przez każdy gruczoł Opisać rolę każdego hormonu w regulacji funkcji organizmu Układ wewnątrzwydzielniczy (inaczej dokrewny , hormonalny lub endokrynny ) (ang. endocrine system ) to zestaw gruczołów wytwarzających substancje chemiczne – hormony (ang. hormones ) ( ). Podobnie jak neuroprzekaźniki, hormony są chemicznymi przekaźnikami i żeby przesłać sygnał, muszą się związać z receptorem. W przeciwieństwie do neuroprzekaźników jednak nie muszą być wydzielane w bezpośrednim sąsiedztwie komórek docelowych. Zamiast tego są uwalniane do krwiobiegu i wędrują z krwią po całym ciele, oddziałując na wszystkie komórki posiadające odpowiednie receptory. Dlatego neuroprzekaźniki działają miejscowo, hormony zaś – całościowo. Działanie hormonów jest bardziej opóźnione niż neuroprzekaźników, ale efekt ich działania trwa dłużej. Główne gruczoły układu wewnątrzwydzielniczego. Hormony regulują różne funkcje organizmu. Same są kontrolowane przez wzajemne interakcje podwzgórza (w ośrodkowym układzie nerwowym) i przysadki (w układzie hormonalnym). Zaburzenia równowagi hormonalnej są przyczyną licznych chorób. W tym podrozdziale przyjrzymy się głównym gruczołom tworzącym układ wewnątrzwydzielniczy i wydzielanym przez nie hormonom. Gruczoły wewnątrzwydzielnicze Przysadka (ang. pituitary gland ) odchodzi od podwzgórza u podstawy mózgu i ściśle z podwzgórzem współpracuje. Często jest określana mianem „gruczołu nadrzędnego”, ponieważ wydzielane przez nią hormony przekaźnikowe kontrolują pracę wszystkich pozostałych gruczołów dokrewnych, choć ona sama głównie realizuje instrukcje płynące z podwzgórza. Poza hormonami przekaźnikowymi wydziela też hormon wzrostu , uśmierzające ból endorfiny i wiele hormonów regulujących ilość płynów w organizmie. Zlokalizowana w szyi tarczyca (ang. thyroid gland ) uwalnia hormony odpowiedzialne za wzrost, metabolizm i apetyt. W nadczynności (chorobie Gravesa–Basedowa) tarczyca wydziela nadmiar hormonu zwanego tyroksyną, co wywołuje pobudzenie, wytrzeszcz oczu i chudnięcie. W niedoczynności obniżony poziom tyroksyny prowadzi do ciągłego zmęczenia, a chorzy często uskarżają się na marznięcie. Na szczęście zaburzenia czynności tarczycy najczęściej daje się opanować farmakologicznie, przywracając równowagę wydzielanych przez nią hormonów. Nadnercza (ang. adrenal glands ) są położone nad nerkami i wydzielają hormony odpowiedzialne za reakcję na stres: adrenalinę (epinefrynę) i noradrenalinę (norepinefrynę). Trzustka (ang. pancreas ) jest narządem wewnętrznym, który wydziela hormony regulujące poziom glukozy we krwi: insulinę i glukagon . Hormony te są niezbędne do utrzymania stabilnych stężeń glukozy w ciągu dnia; insulina obniża poziom cukru, a glukagon go podnosi. Osoby cierpiące na cukrzycę (ang. diabetes ) wytwarzają niewystarczające ilości insuliny i muszą przyjmować leki pobudzające jej wydzielanie lub zastępujące ten hormon; muszą też kontrolować ilość spożywanych węglowodanów. Gonady (ang. gonad ) wydzielają hormony płciowe, ważne dla rozmnażania się, odpowiedzialne za motywację i zachowania seksualne. Żeńskie gonady to jajniki (ang. ovaries ), a męskie – jądra (ang. testicles ). Jajniki wydzielają m.in. estrogeny i progesteron , a jądra – androgeny , takie jak testosteron . Główne gruczoły dokrewne i ich działanie Gruczoły dokrewne Wydzielane przez nie hormony Działanie Przysadka mózgowa Tyreotropina, somatotropina, kortykotropina, folikulotropina, luteotropina, prolaktyna, wazopresyna, oksytocyna, melanotropina Regulacja uwalniania hormonów, regulacja wzrostu kości długich, regulacja ciśnienia osmotycznego krwi Tarczyca Tyroksyna, trójjodotyronina Regulacja metabolizmu komórkowego, łaknienia, gospodarki wapniem i syntezy białek Szyszynka Melatonina Regulacja rytmów biologicznych, np. rytmu okołodobowego Nadnercza Aldosteron, kortyzol, androgeny, dopamina, noradrenalina, adrenalina Regulacja reakcji organizmu na stres, gospodarki węglowodanowej, stężenia sodu i potasu we krwi, układu immunologicznego Trzustka Glukagon, insulina, somatostatyna, polipeptyd trzustkowy Regulacja stężenia glukozy we krwi Jajniki Estrogen, progesteron Regulacja popędu płciowego, cyklu miesięcznego i ciąży Jądra Androgeny, m.in. testosteron Regulacja popędu płciowego i dojrzewania plemników Sportowcy i sterydy anaboliczne Choć zakazane przez większość profesjonalnych związków sportowych, sterydy anaboliczne wciąż są stosowane przez sportowców, zarówno amatorów, jak i zawodowców. Substancje z tej grupy mają zwiększać wydolność organizmu i poprawiać wyniki sportowe. Naśladują działanie hormonów sterydowych wytwarzanych przez organizm, takich jak testosteron i jego pochodne. Sterydy anaboliczne zwiększają masę mięśniową, siłę i wytrzymałość, przez co podnoszą szanse na zwycięstwo. Warto jednak pamiętać, że nie każdy, kto ich używa, osiąga oczekiwane efekty. Co ważniejsze – zażywanie preparatów poprawiających wydolność nie jest pozbawione ryzyka. Użycie sterydów anabolicznych powiązano z licznymi potencjalnie negatywnymi skutkami, od czysto kosmetycznych (jak trądzik) po zagrażające życiu (jak zawał serca). Zażywanie tych substancji prowadzi też do głębokich zmian nastroju i może nasilać agresję (National Institute on Drug Abuse, 2001). Amerykański baseballista Alex Rodriguez (A-Rod) stał się przedmiotem medialnej burzy z powodu zażywania nielegalnych sterydów. Gdy był pod ich wpływem, nikt nie mógł się z nim równać. Sukcesy pozwoliły mu wynegocjować kontrakt, dzięki któremu został najlepiej opłacanym zawodnikiem zawodowej ligi baseballu. Choć Rodriguez utrzymywał, że przez wiele lat nie zażywał sterydów, w 2014 został zawieszony aż na 211 meczów – do gry wrócił po około dwóch latach, do tego musiał zapłacić 20 mln kary. Co sądzisz o sportowcach stosujących doping? Dlaczego używanie środków dopingujących powinno być zakazane? A może twoim zdaniem nie powinno? Jaką radę można dać sportowcowi, który rozważa zastosowanie dopingu? Summary Gruczoły układu endokrynnego wydzielają hormony, które sterują procesami zachodzącymi w organizmie. Łącznikiem między układem nerwowym a wewnątrzwydzielniczym jest podwzgórze. Kontroluje ono czynność przysadki mózgowej. Przysadka jest gruczołem nadrzędnym, regulującym działanie wszystkich pozostałych gruczołów wewnątrzwydzielniczych. Tarczyca wydziela tyroksynę, odpowiedzialną za wzrost i podstawowe procesy metaboliczne; nadnercza – hormony zaangażowane w odpowiedź organizmu na stres; trzustka jest źródłem insuliny i glukagonu, regulujących poziom glukozy we krwi, a jajniki i jądra produkują hormony płciowe, odpowiedzialne za popęd seksualny i zachowania związane z reprodukcją. Review Questions Dwa podstawowe hormony wydzielane przez trzustkę to: estrogen i progesteron noradrenalina i adrenalina tyroksyna i oksytocyna glukagon i insulina D ________ wydziela hormony przekaźnikowe, które regulują pracę innych gruczołów dokrewnych. jajnik tarczyca przysadka trzustka C Adrenalina wydzielana jest przez ________. nadnercza tarczyca przysadka gruczoł nadrzędny A Hormony regulujące równowagę wodną organizmu wydzielane są przez ________. nadnercza przysadka jądra tarczyca B Critical Thinking Questions Wydzielanie hormonów często regulowane jest na zasadzie ujemnego sprzężenia zwrotnego. Oznacza to, że uwolniony hormon sprawia, że podwzgórze i przysadka przestają wysyłać sygnały niezbędne do wydzielania dalszych porcji hormonu. Większość doustnych środków antykoncepcyjnych zawiera niewielkie dawki estrogenów i/lub progestagenów. Dlaczego taka metoda antykoncepcji jest skuteczna? Wprowadzenie do organizmu stosunkowo niewielkich, lecz stałych ilości hormonów płciowych hamuje czynność podwzgórza i przysadki w mechanizmie negatywnego sprzężenia zwrotnego. Zapobiega to zmianom stężeń estrogenów i progesteronu niezbędnym do wywołania owulacji i zagnieżdżenia zapłodnionej komórki jajowej. Przekaźniki chemiczne są wykorzystywane zarówno w układzie nerwowym, jak i hormonalnym. Jakie cechy tych dwóch układów są wspólne? Co je różni? Który z nich działa szybciej, a który wywołuje bardziej długotrwałe zmiany? Oba układy wykorzystują przekaźniki chemiczne, które muszą związać się z receptorem, aby zadziałać. Różni je odległość miejsca uwalniania od tkanki docelowej. W przypadku neuroprzekaźników wychwyt zwrotny i rozkład enzymatyczny niemal natychmiast oczyszczają synapsę. Hormony muszą zostać zmetabolizowane w wątrobie. Dlatego neuroprzekaźnictwo przesyła informacje o wiele szybciej, a przekaz hormonalny trwa znacznie dłużej i zależy od zmian stężenia hormonu w krwiobiegu. Personal Application Questions Znając negatywne skutki zdrowotne zażywania sterydów anabolicznych, zastanów się, dlaczego niektórzy chcą je stosować? nadnercze (ang. adrenal gland ) gruczoł wydzielania wewnętrznego położony nad nerkami, który wydziela hormony biorące udział w reakcji na stres cukrzyca (ang. diabetes ) choroba związana z niewystarczającą produkcją insuliny układ hormonalny (układ dokrewny) (ang. endocrine system ) układ gruczołów wytwarzających substancje chemiczne zwane hormonami gonada (ang. gonad ) wydziela hormony płciowe, które są ważne w procesie rozmnażania i pośredniczą zarówno w motywacji seksualnej, jak i w zachowaniach seksualnych hormon (ang. hormone ) związek chemiczny wydzielany przez gruczoły wydzielania wewnętrznego trzustka (ang. pancreas ) narząd wydzielający hormony regulujące poziom cukru we krwi przysadka mózgowa (ang. pituitary gland ) gruczoł dokrewny wytwarzający i wydzielający hormony, które m.in. regulują poziom płynu w organizmie i zawiadują aktywnością innych gruczołów w układzie hormonalnym tarczyca (ang. thyroid gland ) gruczoł wydzielania wewnętrznego; wydziela hormony regulujące metabolizm, wzrost i apetyt", "section": "Układ hormonalny", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Sen, którego wszyscy doświadczamy, jest cichą i nieodgadnioną przerwą w codziennym życiu. Obraz olejny autorstwa szwajcarskiego malarza Alberta Ankera zatytułowany Zwei schlafende Mädchen auf der Ofenbank („Dwie dziewczynki śpiące na kominku”) pochodzi z 1895 roku. W naszym życiu regularnie i znacząco zmienia się stopień, w jakim jesteśmy świadomi otoczenia oraz własnych stanów wewnętrznych. Gdy nie śpimy, jesteśmy uważni oraz świadomi wielu rzeczy i sytuacji wokół nas. Nasze doświadczenia radykalnie się zmieniają, kiedy wchodzimy w głęboki sen, a następnie, kiedy śnimy. W tym rozdziale zajmiemy się stanami świadomości ze szczególnym uwzględnieniem snu. Opiszemy kolejne jego fazy, a także zaburzenia. Na końcu omówimy odmienne stany świadomości powstające w wyniku używania substancji psychoaktywnych oraz zastosowania hipnozy i medytacji. References Aggarwal, S. K., Carter, G. T., Sullivan, M. D., ZumBrunnen, C., Morrill, R., & Mayer, J. D. (2009). 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Neuroscience Letters , 520 , 165–173.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Czym jest świadomość? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć, czym jest świadomość Wyjaśnić, w jaki sposób rytmy dobowe biorą udział w regulacji cyklu snu i czuwania oraz w jaki sposób cykle dobowe mogą zostać zakłócone Omówić pojęcie długu snu Świadomość (ang. consciousness ) to stan psychiczny, w którym jednostka zdaje sobie sprawę z oddziałujących na nią bodźców wewnętrznych i zewnętrznych. Bodźce wewnętrzne to np. ból, głód, pragnienie, senność, a także myśli i emocje. Natomiast świadomość bodźców zewnętrznych dotyczy m.in. dostrzegania światła słonecznego, odczuwania temperatury w pomieszczeniu czy też słyszenia głosu przyjaciela. Na co dzień doświadczamy różnych stanów świadomości oraz różnych stopni przytomności umysłu. Można nawet pokusić się o opisanie świadomości jako kontinuum przechodzenia od stanu pełnej świadomości do głębokiego snu. Sen (ang. sleep ) to stan charakteryzujący się relatywnie niskim poziomem aktywności oraz obniżoną świadomością sensoryczną, odmienny od stanu relaksu, który występuje podczas czuwania. Czuwanie (ang. wakefulness ) charakteryzuje się wysokim poziomem świadomości sensorycznej, obecnością myśli oraz zachowań. Pomiędzy tymi dwiema skrajnościami znajdują się takie stany świadomości, jak sen na jawie, odurzenie alkoholem lub narkotykami, medytacja czy hipnoza, a także odmienne stany świadomości wynikające z deprywacji snu. Doświadczać możemy również stanów nieświadomości, np. wynikających z podania anestetyków w celach medycznych. Nawet obudzeni i przytomni często nie jesteśmy w pełni świadomi otoczenia. Przykładowo: czy zdarzyło ci się zamyślić podczas powrotu samochodem z pracy lub szkoły do domu i de facto nie myśleć w ogóle o kierowaniu pojazdem? Można zaangażować się w złożony proces obsługiwania pojazdu mechanicznego i wcale nie być tego świadomym. Wszystkie wspomniane procesy, podobnie jak większość zachowań psychologicznych, mają podłoże biologiczne. Rytmy biologiczne Rytm biologiczny (ang. biological rhythm ) to wewnętrzny cykl procesów życiowych. Cykl menstruacyjny to przykład rytmu biologicznego – powtarzający się, okresowy schemat zmian w ciele. Pełen cykl menstruacyjny trwa ok. 28 dni, czyli miesiąc księżycowy, choć większość cyklów jest znacznie krótsza. Innym przykładem cyklu jest dobowa zmiana temperatury ciała ( ). Stan czuwania powiązany jest z wyższą temperaturą ciała niż sen. Dobowe zmiany temperatury ciała w ciągu 28 godzin; pomiar przeprowadzony na grupie ośmiu młodych mężczyzn. Temperatura ciała wzrasta w ciągu dnia, osiągając maksimum po południu, i spada w trakcie snu do najniższej wartości podczas wczesnych godzin porannych. (Źródło: Waterhouse et al., 2012). Ten zachodzący codziennie schemat zmian temperatury jest jednym z przykładów rytmu okołodobowego. Rytm okołodobowy (in. rytm dobowy , cykl dobowy ) (ang. circadian rhythm ) to cykl procesów życiowych zachodzący w czasie dwudziestu czterech godzin. Cykl snu i czuwania, powiązany z naturalnym cyklem światła i ciemności na naszej planecie, jest prawdopodobnie najbardziej oczywistym przykładem rytmu dobowego. Fluktuacjom podlegają również tętno, ciśnienie krwi czy stężenie cukru we krwi. Niektóre z cyklów dobowych mają wpływ na zmiany stanów świadomości. Jeśli procesy życiowe są cykliczne, czy istnieje coś takiego jak zegar biologiczny (ang. biological clock )? Zegar biologiczny zlokalizowany jest w obszarze podwzgórza zwanym jądrem nadskrzyżowaniowym (ang. suprachiasmatic nucleus (SCN) ). Jądro nadskrzyżowaniowe przetwarza informacje odbierane przez światłoczułe neurony, których zakończenia (aksony) znajdują się w siatkówce naszego oka. Sygnałem tym jest dostępność światła, która umożliwia zsynchronizowanie wewnętrznego zegara ze światem zewnętrznym (Klein et al., 1991; Welsh et al., 2010) ( ). Jądro nadskrzyżowaniowe (suprachiasmatic nucleus – SCN) pełni w mózgu funkcję zegara biologicznego. Zegar synchronizuje się zgodnie z informacjami uzyskanymi z siatkówki oka. Ważnym mechanizmem związanym z pracą zegara biologicznego jest zachowanie homeostazy. Homeostaza (ang. homeostasis ) to zdolność do utrzymywania równowagi w organizmie. Dzięki mechanizmom homeostazy organizm jest w stanie sam regulować wiele zachodzących w nim procesów biologicznych, jak regulacja temperatury czy ciśnienia krwi. To właśnie za sprawą tych mechanizmów czując głód, dążymy do jego zaspokojenia. Głównym ośrodkiem w mózgu odpowiedzialnym za utrzymywanie homeostazy jest umiejscowione nad przysadką mózgową podwzgórze . Problemy z rytmami okołodobowymi U większości osób rytm okołodobowy skorelowany jest ze światem zewnętrznym. Ludzie zwykle sypiają w nocy i czuwają w ciągu dnia. Ważnym regulatorem cyklu snu i czuwania jest hormon zwany melatoniną (ang. melatonin ). Uważa się, że szyszynka – znajdujący się wewnątrz mózgu gruczoł wydzielający melatoninę – zaangażowana jest w regulację różnych cyklów życiowych oraz pracę układu odpornościowego podczas snu (Hardeland et al., 2006). Melatonina wydzielana jest pod wpływem ciemności, natomiast światło hamuje jej uwalnianie. W cyklach snu i czuwania istnieją indywidualne różnice pomiędzy jednostkami. Niektóre osoby twierdzą, że są tak zwanymi rannymi ptaszkami, inne zaś uważają się za nocne marki. Te osobnicze różnice w dobowych rytmach aktywności nazywane są chronotypem, a badania potwierdzają istnienie różnic w regulacji snu u tzw. skowronków (rannych ptaszków) i sów (nocnych marków) (Taillard et al., 2003). Regulacja snu (ang. sleep regulation ) to kontrolowanie przez mózg procesu przełączania się pomiędzy okresami snu i czuwania, jak również synchronizowanie tego cyklu ze światem zewnętrznym. Obejrzyj ten krótki film o tym, czym jest rytm okołodobowy i w jaki sposób wpływa na sen. Zaburzenia snu Bez względu na to, czy ktoś jest skowronkiem, sową, czy kimś pomiędzy nimi, są sytuacje, w których zegar biologiczny tej osoby przestaje funkcjonować zgodnie ze środowiskiem zewnętrznym. Jednym z powodów może być przemieszczanie się między strefami czasowymi, co skutkuje zwykle zespołem nagłej zmiany strefy czasowej, popularnie zwanym jet lagiem . Zespół nagłej zmiany strefy czasowej (ang. jet lag ) to zestaw objawów występujących w wyniku niedopasowania wewnętrznego rytmu okołodobowego i środowiska. Najważniejsze symptomy zespołu nagłej zmiany strefy czasowej to zmęczenie, wyczerpanie, złe samopoczucie, irytacja oraz bezsenność (ang. insomnia ) (czyli trwała trudność w zasypianiu lub utrzymywaniu stanu snu przez przynajmniej trzy noce w tygodniu w ciągu jednego miesiąca) (Roth, 2007). Osoby, które pracują w trybie zmianowym, również są podatne na zaburzenia rytmu okołodobowego. Praca w systemie zmianowym (ang. rotating shift work ) to taki rodzaj pracy, w którym osoba pracuje na zmianę wcześnie rano lub późno w nocy. Na przykład w poniedziałek praca zaczyna się o 7:00 i trwa do 15:00, we wtorek osoba pracuje od 3:00 rano do 11:00, a we środę od 11:00 do 19:00. W takich przypadkach schemat godzin pracy zmienia się tak często, że niemożliwe staje się utrzymanie normalnego rytmu okołodobowego. Nierzadko powoduje to zaburzenia snu oraz prowadzi do wystąpienia symptomów depresji lub niepokoju. Praca w trybie zmianowym typowa jest dla służby zdrowia i sektora produkcji i usług, a pracownicy, którym towarzyszy uczucie wycieńczenia i pobudzenia, stają się bardziej podatni na popełnianie błędów w trakcie wykonywania zadań (Gold et al., 1992; Presser, 1995). Ponadto praca zmianowa może wpływać na stosunki społeczne, w tym relacje z najbliższymi, co pokazują badania jakościowe pielęgniarek w średnim wieku, przeprowadzone w celu zestawienia doświadczeń osób pracujących w systemie rotacyjnej pracy zmianowej (West et al., 2009). Kilkanaście pielęgniarek potwierdziło, że godziny ich pracy wpłynęły na relacje z członkami rodziny. Jedna z nich powiedziała: Jeśli twój partner pracuje od 9:00 do 17:00, to szansa na spędzanie z nim czasu – wartościowego czasu – gdy czujesz się kompletnie wyczerpana, jest wyzwaniem. To był jeden z problemów, które napotykałam w codziennym życiu (West et al., 2009, s. 114). Zakłócenia rytmu dobowego mogą mieć negatywne konsekwencje, na szczęście istnieją sposoby na ponowne dostrojenie zegara biologicznego do środowiska zewnętrznego. Niektóre z tych sposobów, na przykład wykorzystanie jasnego światła, takiego jak na , zmniejszają problemy związane z jet lagiem lub rotacyjną pracą zmianową. Ponieważ zegar biologiczny jest regulowany światłem, ekspozycja na jasne światło podczas pracy zmianowej oraz przebywanie w ciemnościach w czasie przerw pomagają w zwalczaniu bezsenności oraz objawów niepokoju i depresji (Huang et al. 2013). Urządzenia takie jak to dostarczają odpowiednich dawek jasnego światła i pomagają utrzymywać regularny cykl okołodobowy. Sprawdzają się zarówno u osób pracujących na nocne zmiany, jak i u tych źle znoszących okresowe wahania ilości światła zewnętrznego o różnych porach roku. Obejrzyj ten film i poznaj sposoby radzenia sobie z jet lagiem . Niedostateczna ilość snu Niedostateczna ilość snu spowodowana pracą lub wymogami dnia codziennego prowadzi do skumulowanego efektu niedoboru snu (ang. sleep debt ). Skutkuje to obniżonym poziomem koncentracji i mentalnej produktywności. Interesujące jest to, że od momentu wynalezienia światła elektrycznego liczba przesypianych przez ludzi godzin znacznie się zmniejszyła. Oczywiście, wygodnie jest móc rozjaśniać naturalną ciemność, lecz dobroczynna elektryczność powoduje również, że cierpimy z powodu niedostatecznej ilości snu, ponieważ jesteśmy bardziej aktywni w nocy niż nasi przodkowie. W rezultacie wielu z nas śpi w nocy mniej niż 7–8 godzin i doświadcza chronicznego niedoboru snu. Istnieją ogromne różnice w zapotrzebowaniu na sen, niemniej według National Sleep Foundation największą potrzebę snu mają noworodki (12 –18 godzin dziennie), zaś u dorosłych ten przedział wynosi od 7 do 9 godzin. Jeśli kładziesz się na krótką drzemkę i natychmiast zasypiasz, z dużym prawdopodobieństwem można powiedzieć, że masz niedobór snu. Według dostępnych badań studenci to grupa, która nagminnie doświadcza skumulowanego efektu niedoboru snu (Hicks et al., 2001; Hicks et al., 1992; Miller et al., 2010), stąd ty i twoi koledzy oraz koleżanki prawdopodobnie na co dzień musicie sobie radzić z tego rodzaju deficytem. W 2015 roku National Sleep Foundation zaktualizowała dane dotyczące liczby godzin snu tak, by lepiej odzwierciedlały indywidualne różnice. Te nowe zalecenia dla danego wieku pokazuje . Zapotrzebowanie na sen w zależności od wieku. Wiek Zalecane Może być wystarczające Niezalecane 0–3 miesiące 14–17 godzin od 11–13 do 18–19 godzin mniej niż 11 godzin więcej niż 19 godzin 4–11 miesięcy 12–15 godzin od 10–11 do 16–18 godzin mniej niż 10 godzin więcej niż 18 godzin 1–2 lata 11–14 godzin od 9–10 do 15–16 godzin mniej niż 9 godzin więcej niż 16 godzin 3–5 lat 10–13 godzin od 8–9 do 14 godzin mniej niż 8 godzin więcej niż 14 godzin 6–13 lat 9–11 godzin od 7–8 do 12 godzin mniej niż 7 godzin więcej niż 12 godzin 14–17 lat 8–10 godzin od 7 do 11 godzin mniej niż 7 godzin więcej niż 11 godzin 18–25 lat 7–9 godzin od 6 do 10–11 godzin mniej niż 6 godzin więcej niż 11 godzin 26–64 lata 7–9 godzin od 6 do 10 godzin mniej niż 6 godzin więcej niż 10 godzin ≥65 lat 7–8 godzin od 5–6 do 9 godzin mniej niż 5 godzin więcej niż 9 godzin Skumulowany efekt niedoboru snu oraz deprywacja snu niosą ze sobą ogromne negatywne konsekwencje psychologiczne i fizjologiczne ( ). Jak powiedziano już wcześniej, brak snu powoduje spadek koncentracji oraz pogorszenie funkcji poznawczych. Dodatkowo skutkiem deprywacji snu są objawy podobne do depresji. Wspomniane dolegliwości mogą wystąpić zarówno w wyniku skumulowanego niedoboru snu, jak i w odpowiedzi na poważniejsze okresy deprywacji snu. Może cię to zdziwi, ale deprywacja snu zwiększa ryzyko otyłości, zwiększonego ciśnienia krwi i poziomu hormonów stresu oraz pogorszenia funkcjonowania układu odpornościowego (Banks i Dinges, 2007). Człowiek z niedoborem snu zwykle zasypia znacznie szybciej niż osoba bez niedoboru. Często zasypia natychmiast, gdy tylko przestanie się ruszać (na przykład przed telewizorem lub za kierownicą samochodu). Dlatego właśnie osoby cierpiące z powodu deprywacji snu stanowią zagrożenie dla siebie i innych, siadając za kółkiem lub pracując przy obsłudze niebezpiecznych maszyn. Według niektórych badań deprywacja snu wpływa na funkcje poznawcze i motoryczne tak samo albo nawet silniej niż odurzenie alkoholem (Williamson i Feyer, 2000). Niektóre z negatywnych konsekwencji deprywacji snu. Najbardziej oczywiste są te poznawcze, jednak zbyt mała ilość snu wpływa niekorzystnie również na wiele innych układów w organizmie. (Źródło: modyfikacja pracy Mikaela Häggströma). Jeśli chcesz ocenić własne nawyki dotyczące snu, przeczytaj ten artykuł traktujący o potrzebach związanych ze snem. Zapotrzebowanie na sen zmienia się wraz z wiekiem. Jako małe dzieci śpimy ponad 16 godzin dziennie. Im starsi jesteśmy, tym mniej śpimy. Według pewnej metaanalizy (ang. meta-analysis ) (czyli badania polegającego na zestawieniu danych zawartych w wielu publikacjach) wykonanej w ostatnim dziesięcioleciu, w wieku 65 lat śpimy średnio mniej niż 7 godzin dziennie (Ohayon et al., 2004). Skoro ilość czasu poświęcanego na sen zmienia się wraz z wiekiem, prawdopodobnie podobnym zmianom będzie podlegał skumulowany efekt niedoboru snu. Podsumowanie Stany świadomości zmieniają się nie tylko w ciągu dnia, lecz także nieustannie przez całe nasze życie. Ważnymi czynnikami tych zmian są rytmy biologiczne, a przede wszystkim rytm okołodobowy regulowany przez jądro nadskrzyżowaniowe (SCN). Zegar biologiczny człowieka na ogół zsynchronizowany jest ze środowiskiem zewnętrznym, a światło jest rodzajem wskazówki pozwalającej go odpowiednio ustawić. Podróże wiążące się z pokonywaniem wielu stref czasowych lub rotacyjna praca zmianowa prowadzą do zaburzenia rytmu okołodobowego, co może powodować bezsenność, nadmierną senność oraz zmniejszoną uważność. W zaburzeniach rytmu okołodobowego skuteczna okazuje się terapia jasnym światłem. Osoby, które nie dostarczają sobie odpowiedniej ilości snu, mogą odczuwać z tego powodu negatywne skutki psychologiczne i fizyczne. Review Questions Zegar biologiczny ciała zlokalizowany jest w ________. hipokampie wzgórzu podwzgórzu przysadce mózgowej C O ________ mówimy wtedy, gdy występuje chroniczny brak snu. jet lagu rotacyjnej pracy zmianowej rytmie okołodobowym skumulowanym efekcie niedoboru snu D Rytm ________ trwa mniej więcej 24 godziny. biologiczny okołodobowy rotacyjny świadomy B ________ to jeden ze sposobów przestawiania własnego zegara biologicznego. Wystawianie się na światło i ciemność Spożywanie kawy Spożywanie alkoholu Ucinanie sobie drzemek A Critical Thinking Questions Praca w służbie zdrowia często wiąże się z rotacyjną pracą zmianową. Dlaczego jest to problematyczne? Co można zrobić, by poradzić sobie z potencjalnymi problemami? Zważywszy, że rotacyjna praca zmianowa może prowadzić do wyczerpania oraz zmniejszenia efektywności mentalnej, osobom pracującym w takich warunkach częściej zdarza się popełniać błędy w pracy. Konsekwencje takich sytuacji w służbie zdrowia są dość oczywiste. Należy informować osoby związane ze środowiskiem medycznym o korzyściach, jakie płyną z używania dodatkowego światła. Ludzie są istotami, które czuwają w dzień i śpią w nocy. Z kolei wiele gryzoni prowadzi nocny tryb życia. Jak myślisz, dlaczego różne zwierzęta mają odmienne cykle snu i czuwania? Różne gatunki mają różną historię ewolucyjną i odmiennie dostosowały się do środowiska. Istnieje kilka możliwych wyjaśnień dziennego bądź nocnego trybu życia gatunków. Być może w przypadku ludzi w godzinach wieczornych, gdy natężenie światła spadał, ich życie było bardziej zagrożone. Sensowne zatem było szukanie schronienia o tych porach. Z kolei gryzonie muszą się mierzyć z zagrożeniem ze strony wielu drapieżników, a bycie aktywnym w nocy zmniejsza na przykład zagrożenie ze strony ptaków, które podczas polowań posługują się głównie wzrokiem. Personal Application Questions Doświadczamy zmian w zegarze biologicznym każdej wiosny i jesieni, gdy przestawiamy zegarki z czasu zimowego na letni i na odwrót. Do czego łatwiej ci się przystosować – do utraty godziny czy do jej zyskania? Jak myślisz, dlaczego? Co robisz, by dostosować się do zmian w twoim tygodniowym kalendarzu? Czy doświadczasz skumulowanego efektu niedoboru snu, gdy rozpoczyna się czas zimowy lub kończy czas letni? rytm biologiczny (ang. biological cycle ) wewnętrzny cykl aktywności biologicznej rytm okołodobowy ( rytm dobowy , cykl dobowy ) (ang. circadian rhythm ) rytm biologiczny trwający około 24 godzin świadomość (ang. consciousness ) zdawanie sobie sprawy z bodźców wewnętrznych i zewnętrznych homeostaza (ang. homeostasis ) stan równowagi organizmu, w którym warunki biologiczne (np. temperatura ciała) są utrzymywane na optymalnym poziomie bezsenność (ang. insomnia ) uporczywe problemy z zasypianiem i utrzymaniem snu trwające co najmniej przez trzy noce w tygodniu w ciągu jednego miesiąca zespół nagłej zmiany strefy czasowej (ang. jet lag ) zespół objawów spowodowanych podróżowaniem z jednej strefy czasowej do drugiej, wynikający z rozbieżności między wewnętrznymi cyklami dobowymi człowieka a jego środowiskiem melatonina (ang. melatonin ) hormon uwalniany przez gruczoł wydzielania wewnętrznego, który służy jako ważny regulator cyklu snu i czuwania metaanaliza (ang. meta-analysis ) badanie, które zestawia wyniki innych badań dotyczących jednego obszaru szyszynka (ang. pineal gland ) gruczoł dokrewny, który uwalnia melatoninę, zlokalizowany wewnątrz mózgu praca w systemie zmianowym (ang. rotating shift work ) harmonogram pracy zmieniający się w ciągu doby w rytmie codziennym lub cotygodniowym sen (ang. sleep ) stan charakteryzujący się stosunkowo niskim poziomem aktywności fizycznej i zmniejszoną świadomością zmysłową, co różni go od okresów odpoczynku, które występują podczas czuwania skumulowany efekt niedoboru snu (ang. sleep debt ) długotrwały zespół objawów niewystarczającej ilości snu regulacja snu (ang. sleep regulation ) kontrola mózgu nad przełączaniem się między snem a czuwaniem, a także koordynacja tego cyklu ze środowiskiem zewnętrznym jądro nadskrzyżowaniowe (ang. suprachiasmatic nucleus (SCN) ) obszar podwzgórza mózgu, w którym znajduje się zegar biologiczny organizmu czuwanie (ang. wakefulness ) wysoki poziom świadomości zmysłowej związany z aktywnością", "section": "Czym jest świadomość?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Rola snu Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać obszary mózgu zaangażowane w sen Zrozumieć mechanizm wydzielania hormonów związanych ze snem Opisać kilka teorii mających na celu wyjaśnienie funkcji snu Wymienić i opisać trzy teorie wyjaśniające rolę snu Przesypiamy mniej więcej jedną trzecią życia. Wziąwszy pod uwagę, że średnia długość życia mieszkańca Stanów Zjednoczonych wynosi od 73 do 79 lat (Singh i Siahpush, 2006), to w stanie snu spędza on mniej więcej 25 lat. Podobne statystyki dotyczą również Polski, gdzie przeciętna długość życia mężczyzn wynosi ok. 74 lat, a w przypadku kobiet 82 lata (GUS 2018). Niektóre zwierzęta w ogóle nie śpią (kilka gatunków ryb oraz płazów), u innych, na przykład żyraf, obserwuje się długie okresy bez snu i bez wyraźnych negatywnych tego konsekwencji, a jeszcze inne, takie jak szczury, umierają po dwóch tygodniach deprywacji snu (Siegel, 2008). Dlaczego poświęcamy tak dużo czasu na sen? Czy jest dla nas koniecznością? W tym podrozdziale zastanowimy się nad odpowiedziami na te pytania i przedstawimy różne koncepcje dotyczące powodów występowania snu u ludzi. Czym jest sen? Wiesz już, że stan snu charakteryzuje się niskim poziomem aktywności fizycznej i ograniczoną świadomością bodźców zmysłowych. Według Siegla (2008) definicja snu musi zawierać również wzmiankę na temat zależności mechanizmów okołodobowych oraz homeostatycznych regulujących sen. Homeostatyczną regulację snu potwierdza występowanie okresów odsypiania po deprywacji snu. Nadrabianie snu REM (ang. sleep rebound ) polega na tym, że przy kolejnej okazji do zaśnięcia osoba z deprywacją snu zasypia szybciej. Sen charakteryzuje się określonymi schematami aktywności mózgu, które można przedstawić graficznie za pomocą elektroencefalografii (EEG), a różne fazy snu rozróżniamy właśnie dzięki tej technice ( ). Fragment polisomnogramu (uzyskanego podczas badania polisomnograficznego), czyli zapisu zmian parametrów kilku zmiennych fizycznych podczas snu. Oś pozioma pokazuje upływ czasu w sekundach, a zapis obejmuje 30 sekund. Umiejscowienie zestawów elektrod, które rejestrowały każdy sygnał, opisano na osi pionowej. W czerwonej ramce widać wykres EEG, czyli zapis czynności bioelektrycznej mózgu (fale mózgowe są charakterystyczne dla poszczególnych faz snu). Inne krzywe pokazują pozostałe dane związane ze snem, takie jak temperatura ciała, napięcie mięśniowe oraz tętno. Cykle snu i czuwania są kontrolowane przez wiele współpracujących ze sobą obszarów mózgu, m.in. wzgórze, podwzgórze oraz most. Jak już wspomniano, częścią podwzgórza jest jądr⁠o nadskrzyżowaniowe (SCN) – „zegar biologiczny” ciała – oraz inne jądra, które w połączeniu ze wzgórzem regulują sen wolnofalowy. Most odgrywa ważną rolę w regulacji fazy snu zwanej REM - o której będzie mowa w dalszych rozdziałach (National Institutes of Health, b.d.). Sen jest również ważny z punktu widzenia gospodarki hormonalnej. Kiedy śpimy, następuje regulacja wydzielania hormonów z wielu gruczołów dokrewnych, m.in. melatoniny , folikulotropiny (hormonu folikulotropowego, FSH) stymulującej dojrzewanie pęcherzyków jajnikowych, lutropiny (hormonu luteinizującego, LH) oraz hormonu wzrostu (National Institutes of Health, b.d.). Wiesz już, że podczas snu szyszynka wydziela melatoninę ( ). Uważa się, że melatonina odgrywa istotną rolę w regulacji różnych cyklów biologicznych oraz układu odpornościowego (Hardeland et al., 2006). Podczas snu przysadka mózgowa wydziela zarówno FSH, jak i LH, hormony istotne dla właściwego funkcjonowania układu rozrodczego (Christensen et al., 2012; Sofikitis et al., 2008), oraz hormon wzrostu pobudzający fizyczny wzrost, dojrzewanie organizmu i inne procesy metaboliczne (Bartke et al., 2013). Podczas snu szyszynka i przysadka wydzielają do krwi hormony. Dlaczego śpimy? Wiemy już, że sen odgrywa ważną rolę w życiu człowieka, a deprywacja snu wiąże się z licznymi niekorzystnymi konsekwencjami. Wydawałoby się zatem, że powinniśmy w pełni rozumieć, dlaczego właściwie śpimy. Niestety, tak nie jest. Na szczęście dysponujemy kilkoma hipotezami starającymi się wyjaśnić funkcję snu u ludzi. Adaptacyjna funkcja snu Jedna z popularnych teorii dotyczących funkcji snu przyjmuje perspektywę psychologii ewolucyjnej. Psychologia ewolucyjna (ang. evolutionary psychology ) to dyscyplina nauki, która bada, w jaki sposób uniwersalne wzorce zachowań oraz procesy poznawcze ewoluowały w wyniku doboru naturalnego (ang. natural selection ). Zróżnicowanie oraz umiejętności adaptacyjne w zakresie procesów poznawczych i zachowania wpływają na sukces w reprodukcji i przekazywaniu informacji genetycznych potomstwu. Według jednej z hipotez ewolucyjnych celem snu jest przede wszystkim odzyskanie zasobów zużytych w ciągu dnia. Podobnie jak sen zimowy u niedźwiedzi, który służy przetrwaniu w okresie niedoboru zasobów w środowisku, nocny sen ludzi może być spowodowany koniecznością zmniejszenia nakładów energetycznych. Jest to nieco intuicyjne wyjaśnienie zjawiska zapadania w sen, gdyż istnieje mało badań je potwierdzających. Konkurencyjna hipoteza sugeruje, że tego rodzaju energetyczne potrzeby można by z łatwością zaspokajać, stosując okresy odpoczynku i braku aktywności (Frank, 2006; Rial et al., 2007). Z innych badań natomiast wyłania się negatywna korelacja między wymaganiami energetycznymi a ilością czasu spędzoną na spaniu (Capellini et al., 2008). Jeszcze inna ewolucyjna hipoteza dotycząca snu zakłada, że nawyki spania wyewoluowały jako adaptacyjna reakcja na zagrożenie drapieżnikami, które wzrasta w nocy. Zatem śpimy w bezpiecznych miejscach, by zmniejszyć prawdopodobieństwo niebezpieczeństwa. I znów jest to dość intuicyjne, choć interesujące wyjaśnienie powodów, dla których śpimy. Być może nasi przodkowie spędzali długie godziny pogrążeni we śnie, aby ograniczyć czas wystawiania się na ataki potencjalnych drapieżników. Jednakże badania porównawcze pokazują, że powiązania między ryzykiem ataku drapieżników a snem są niezwykle złożone i niejednoznaczne. Niektóre prace sugerują, że gatunki bardziej zagrożone atakiem drapieżników śpią krócej niż inne gatunki (Capellini et al., 2008), natomiast według innych nie ma żadnej zależności między czasem, w którym osobnik danego gatunku głęboko śpi, a ryzykiem ze strony drapieżników (Lesku et al., 2006). Możliwe zatem, że sen nie pełni jednej, uniwersalnej funkcji adaptacyjnej, a u różnych gatunków wyewoluowały różne nawyki snu w reakcji na zróżnicowaną presję ewolucyjną. Omawialiśmy już negatywne skutki deprywacji snu, warto zatem również wspomnieć o wielu korzyściach związanych z odpowiednią ilością snu. Według National Sleep Foundation są to m.in.: utrzymywanie zdrowej masy ciała, zmniejszenie poziomu stresu, poprawa nastroju czy koordynacji motorycznej oraz wiele korzyści powiązanych z funkcjami poznawczymi i tworzeniem wspomnień. Poznawcza funkcja snu Istnieje również hipoteza, według której sen ma ogromne znaczenie dla funkcji poznawczych i tworzenia wspomnień (Rattenborg et al., 2007). Wiemy, że deprywacja snu wpływa negatywnie na procesy poznawcze oraz wywołuje deficyty pamięci (Brown, 2012), obniża zdolność koncentracji uwagi, podejmowania decyzji oraz korzystania ze wspomnień w pamięci długotrwałej. Ponadto te negatywne skutki pogłębiają się wraz ze zwiększaniem deprywacji snu (Alhola i Polo-Kantola, 2007). Dodatkowo sen wolnofalowy po nauczeniu się nowej umiejętności może poprawić skuteczność wykorzystania jej w praktyce (Huber et al., 2004) i wydaje się konieczny do tworzenia wspomnień (Stickgold, 2005). Zrozumienie wpływu snu na funkcje poznawcze wyjaśnia, dlaczego zakuwanie przez całą noc do testu może wcale nie być skuteczne, a nawet przynieść skutek przeciwny do zamierzonego. Obejrzyj ten krótki film ze wskazówkami dotyczącymi snu dla studentów. Mówi się również o tym, że sen przynosi wiele innych korzyści poznawczych. Badania wskazują m.in. na pozytywny wpływ snu na zwiększenie zdolności kreatywnego myślenia (Cai et al., 2009; Wagner et al., 2004), nauki języków (Fenn et al., 2003; Gómez et al., 2006) i wnioskowania dedukcyjnego (Ellenbogen et al., 2007). Pewne aspekty snu prawdopodobnie mają też wpływ nawet na przetwarzanie informacji emocjonalnych (Walker, 2009). W tym filmie znajdziesz informacje na temat powiązań między snem a pamięcią. Summary Sporą część naszego życia poświęcamy na sen, a w naszych mózgach rozwinęły się złożone układy kontrolujące różne jego aspekty. Podczas snu wydzielanych jest kilka hormonów ważnych z punktu widzenia procesów wzrostu oraz dojrzewania. Choć powód, dla którego śpimy, nadal pozostaje tajemnicą, niektóre badania sugerują, że sen odgrywa istotną rolę w uczeniu się i zapamiętywaniu. Review Questions Podczas snu hormon wzrostu wydzielany jest do krwi przez ________. szyszynkę tarczycę przysadkę mózgową trzustkę C ________ odgrywa(ją) rolę w kontrolowaniu snu wolnofalowego. Podwzgórze Wzgórze Most Podwzgórze i wzgórze D ________ to hormon wydzielany przez szyszynkę, odgrywający rolę w regulowaniu rytmów życiowych oraz układu odpornościowego. Hormon wzrostu Melatonina LH FSH B Uważa się, że ________ ma szczególne przełożenie na poprawę wykonywania ostatnio przyswojonych umiejętności. melatonina sen wolnofalowy deprywacja snu hormon wzrostu B Critical Thinking Questions Jeśli teorie, które mówią o tym, że człowiek potrzebuje snu, by odbudować zasoby energetyczne i zregenerować się po całym dniu różnorakiego wysiłku, są poprawne, co można byłoby powiedzieć o związku między całkowitą ilością snu jednostki a jej poziomem aktywności? Te jednostki (lub gatunki), które wydatkują największe ilości energii, potrzebowałyby najdłuższych okresów snu. W jaki sposób naukowcy stwierdzają, czy określone partie mózgu biorą udział w procesie regulacji snu? W celu stwierdzania, w jaki sposób aktywacja lub dezaktywacja danego obszaru mózgu wpływa na zachowanie, naukowcy mogą obserwować osoby z uszkodzonymi partiami mózgu lub wykorzystywać techniki stymulacji mózgu. Ponadto mogą wspierać się również wszelkimi technikami neuroobrazowania, takimi jak funkcjonalne obrazowanie metodą rezonansu magnetycznego (fMRI) lub tomografia komputerowa. Opisz poszczególne ewolucyjne teorie dotyczące snu i przedstaw argument za tą, która – twoim zdaniem – poparta jest najbardziej przekonującymi dowodami. Jedna z ewolucyjnych teorii snu mówi o tym, że sen jest konieczny do odbudowania zasobów zużytych w ciągu dnia. Według innej teorii ludzkie wzorce snu wyewoluowały jako adaptacyjna odpowiedź na zagrożenie ze strony drapieżników, które rośnie w ciemności. Pierwsza teoria nie ma podstaw empirycznych, natomiast druga zarówno poparta jest niektórymi badaniami, jak i wykluczana przez inne. Personal Application Question Czy kiedykolwiek zdarzyło ci się doświadczyć (lub być może znasz taką osobę) znacznych okresów deprywacji snu spowodowanych zwykłą bezsennością, wysokim poziomem stresu lub będących działaniem niepożądanym zażywania lekarstw? Jakie były w takim przypadku konsekwencje braku odpowiedniej ilości snu? psychologia ewolucyjna (ang. evolutionary psychology ) dyscyplina badająca ewolucję uniwersalnych wzorców zachowań i procesów poznawczych w wyniku doboru naturalnego nadrabianie snu REM (ang. sleep rebound ) osoby pozbawione snu przy nadarzaniu się kolejnych możliwości do zapadnięcia w sen przechodzą krótszą fazę latencji (krótszy czas upływa od momentu położenia się do snu do momentu zaśnięcia)", "section": "Rola snu", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Fazy snu Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozróżnić sen REM i nie-REM Opisać różnice pomiędzy trzema fazami snu innego niż REM Zrozumieć rolę, jaką sen REM i i fazy snu inne niż REM odgrywają w uczeniu się i zapamiętywaniu Sen nie jest stanem jednorodnym. Wyróżnia się kilka jego etapów, które można rozróżnić dzięki odmiennym wzorcom aktywności elektrycznej mózgu. Wzorce te można przedstawić graficznie dzięki elektroencefalografii. Fale różnią się zarówno częstotliwością, jak i amplitudą ( ). Sen człowieka można podzielić na dwa główne etapy: fazę z szybkimi ruchami gałek ocznych (REM) oraz bez szybkich ruchów gałek ocznych (NREM). Sen paradoksalny (in. faza REM ) (ang. rapid eye movement phase (REM) ) charakteryzują błyskawiczne ruchy gałek ocznych pod zamkniętymi powiekami. Fale mózgowe w tym stadium przypominają fale mózgowe podczas czuwania. Natomiast sen wolnofalowy (ang. non-REM (NREM) ) składa się czterech faz, które od siebie i od stanu czuwania różnią się wykresami bioelektrycznej aktywności mózgu. Pierwsze cztery fazy snu to etap NREM, natomiast faza piąta i ostatnia to REM. W tym podrozdziale opiszemy każdą z tych faz snu oraz charakterystyczne dla niej wzorce fal aktywności elektrycznej mózgu. Aktywność elektryczna mózgu zmienia się gwałtownie między poszczególnymi fazami snu (Źródło: Estee Dardik, za zgodą Cambridge Community Development Department). Fazy snu NREM Początkowa faza snu NREM znana jest jako pierwsza faza snu. Pierwsza faza snu (ang. stage 1 sleep ) jest etapem przejściowym między czuwaniem a snem, gdy powoli zasypiamy. W tej fazie następuje spowolnienie tętna i oddechu. W tej fazie pojawiają się zarówno fale alfa, jak i theta. W początkowym momencie pierwszej fazy snu występują fale alfa (ang. alpha waves ) ( ). Ten wzorzec aktywności elektrycznej mózgu przypomina pracę mózgu kogoś, kto jest niezwykle rozluźniony, nie mniej jednak świadomy. Im dłużej osoba trwa w pierwszej fazie snu, tym bardziej zwiększa się częstotliwość występowania fal theta (ang. theta waves ). Mają one jeszcze niższą częstotliwość (4–7 Hz) i wyższą amplitudę niż fale alfa. Dość ławo jest obudzić osobę z pierwszej fazy snu – większość ludzi obudzona w tej fazie odpowiada, że wcale nie spała. Aktywność bioelektryczna mózgu zmienia się gwałtownie między poszczególnymi fazami snu. Przechodząc do drugiej fazy snu (ang. stage 2 sleep ), ciało wchodzi w stan głębokiego rozluźnienia. Wciąż dominują tu fale theta, ale przerywane są krótkimi wybuchami czynności elektrycznej mózgu, zwanymi wrzecionami sennymi ( ). Wrzeciono snu (ang. sleep spindle ) to szybka eksplozja fal mózgowych o wyższej częstotliwości, które prawdopodobnie są istotne dla uczenia się i zapamiętywania (Fogel i Smith, 2011; Poe et al., 2010). Dodatkowo cechą charakterystyczną drugiej fazy snu jest występowanie zespołów K. Zespół K (ang. K-complex ) to pojedyncza fala o bardzo wysokiej amplitudzie, która w pewnych przypadkach może występować jako reakcja na bodźce pochodzące ze środowiska zewnętrznego. Zatem zespoły K mogą stanowić most do wyższych poziomów pobudzenia związanych z bodźcami ze środowiska zewnętrznego (Halász, 1993; Steriade i Amzica, 1998). Druga faza snu charakteryzuje się występowaniem zarówno wrzecion sennych, jak i zespołów K. Trzecią fazę snu (ang. stage 3 sleep ) i czwartą fazę snu (ang. stage 4 sleep ) często określa się mianem snu głębokiego lub wolnofalowego, ponieważ charakteryzują się występowaniem fal o niskiej częstotliwości (do 4 Hz) i wysokiej amplitudzie – fal delta (ang. delta waves ) ( ). W tym czasie tętno i częstotliwość oddechu znacznie spadają. Znacznie trudniej jest obudzić osobę, która znajduje się w trzeciej lub czwartej fazie snu niż będącą w fazach wcześniejszych. Interesujące, że badani, którzy w trzeciej i czwartej fazie snu mają podwyższoną częstotliwość występowania fal alfa (zwykle kojarzonych raczej z czuwaniem i pierwszą fazą snu), po przebudzeniu – bez względu na to, jak długo spali – twierdzą, że wcale nie czują się wypoczęci (Stone et al., 2008). (a) Fale delta, o niskiej częstotliwości i wysokiej amplitudzie, charakteryzują (b) trzecią i czwartą fazę snu wolnofalowego. Sen REM Jak już wspominaliśmy, sen REM to faza snu charakteryzująca się szybkimi ruchami gałek ocznych. Pojawiające się w tej fazie fale mózgowe podobne są do tych obserwowanych u osób w stanie czuwania, co widać na . To podczas niej śnimy. Cechą charakterystyczną tej fazy jest również paraliż układu mięśniowego, z wyjątkiem tych jego partii, które są odpowiedzialne za krążenie i oddychanie. Zatem podczas snu REM u zdrowego człowieka nie obserwuje się żadnych ruchów mięśni zależnych od woli. Należy jednak pamiętać, że podczas tej fazy snu utrzymywane są inne procesy życiowe niewymagające zaangażowania świadomości. Tę fazę snu nazywa się również snem paradoksalnym ze względu na wysoką aktywność mózgu przy jednoczesnym braku napięcia mięśniowego. Podobnie jak NREM, sen REM ważny jest z punktu widzenia różnych aspektów uczenia się i zapamiętywania (Siegel, 2001). (a) Okres szybkich ruchów gałek ocznych zaznaczony jest krótką czerwoną linią. Fale mózgowe powiązane ze snem REM – w czerwonej ramce na rysunku (a) – przypominają te występujące podczas czuwania (b). Ludzie pozbawieni możliwości snu REM, którym następnie pozwala się spać bez dalszych zakłóceń, spędzają więcej czasu w fazie REM, co przypomina próbę odzyskania straconego czasu REM. Dotyczy to zarówno sytuacji, w której dochodzi do deprywacji snu, jak również zakłóceń w ramach samej fazy REM. Zjawisko to nosi nazwę nadrabiania fazy snu REM i wydaje się wskazywać na to, że również sen REM podlega regulacji homeostatycznej. Niezależnie od roli w procesach związanych z uczeniem się oraz zapamiętywaniem sen REM prawdopodobnie pełni także ważną funkcję w przetwarzaniu emocji i ich regulacji. Z tego punktu widzenia sen REM może być adaptacyjną reakcją na stres u osób niecierpiących na depresję, zmniejszając emocjonalną wagę przykrych i nieprzyjemnych wydarzeń, które występują w okresach czuwania (Suchecki et al., 2012). Podczas gdy deprywacja snu zasadniczo przynosi wiele negatywnych konsekwencji (Brown, 2012), skutki deprywacji REM wydają się nieco mniej jednoznaczne (Siegel, 2001). Niektórzy uważają nawet, że deprywacja REM w niektórych sytuacjach może być korzystna. Jak pokazują wybrane badania, osoby cierpiące na depresję wcześniej wchodzą w tę fazę snu i znacznie dłużej w niej pozostają. Uważa się zatem, że jej skrócenie może korzystnie wpływać na ich stany emocjonalne. Udowodniono na przykład, że skrócenie fazy REM przynosi złagodzenie objawów u osób z ciężką depresją; wiele skutecznych leków antydepresyjnych wygasza tę fazę (Riemann et al., 2001; Vogel, 1975). Należy jednak wspomnieć o badaczach, którzy kwestionują powyższe odkrycia, sugerując, że deprywacja snu nieograniczona do fazy REM jest tak samo skuteczna, a nawet skuteczniejsza w wyciszaniu symptomów depresji u niektórych pacjentów. W każdym razie nie do końca rozumiemy jeszcze, dlaczego u niektórych pacjentów deprywacja snu sprzyja poprawie nastroju (Giedke i Schwärzler, 2002). Według ostatnich odkryć może ona zmieniać przetwarzanie informacji emocjonalnych w taki sposób, że różnego rodzaju bodźce jawią się jako pozytywne (Gujar et al., 2011). Poniższy hipnogram ( ) pokazuje przechodzenie konkretnej osoby przez fazy snu. Hipnogram to wykres faz snu w kolejności, w której występują w danym wycinku snu. Ten hipnogram pokazuje, jak zmieniają się kolejne fazy snu u konkretnej osoby. Obejrzyj to wideo opisujące różne fazy snu. Marzenia senne Znaczenie nadawane marzeniom sennym zależy od kultury i od czasów. Pod koniec XIX wieku austriacki psychiatra Zygmunt Freud (1856-1939) doszedł do wniosku, że dzięki snom można zyskać dostęp do nieświadomości. Jego zdaniem analiza marzeń sennych mogłaby pomóc ludziom zwiększyć samoświadomość oraz uzyskać rozeznanie potrzebne w radzeniu sobie z problemami codziennego życia. Freud dokonał rozróżnienia na jawną i utajoną treść snów. Treść jawna (ang. manifest content ) to rzeczywista treść snu, natomiast treść utajona (lub treść ukryta ) (ang. latent content ) to jego zamaskowane znaczenie. Przykładowo zgodnie z koncepcją Freuda kobieta, która śni o tym, że goni ją wąż, ujawnia lęk przed fizyczną bliskością, gdyż wąż w tej teorii reprezentowałby penisa. Freud nie był jedynym teoretykiem zajmującym się snami. Dwudziestowieczny szwajcarski psychoterapeuta Carl Gustav Jung (1875–1961) w swoim podejściu uwzględnił szerszą gamę zjawisk, opartych nie tylko na indywidualnych doświadczeniach, lecz także na tych o charakterze społecznym. Uważał, że marzenia senne pozwalają dostroić się do nieświadomości zbiorowej. Opisywana przez Junga nieświadomość zbiorowa (ang. collective unconsciousness ) to teoretyczna skarbnica informacji dzielonych przez wszystkich ludzi. Według niego określone symbole występujące w snach odzwierciedlają uniwersalne wzorce, inaczej archetypy, o znaczeniu podobnym dla wszystkich ludzi bez względu na kulturę i miejsce zamieszkania. Natomiast badaczka snu i marzeń sennych Rosalind Cartwright (ur. 1922) uważa sny za odzwierciedlenie wydarzeń ważnych z perspektywy życia śpiącej osoby. W odróżnieniu od idei Freuda i Junga jej koncepcje dotyczące snów znalazły swoje potwierdzenie w dowodach empirycznych. Wraz z kolegami opublikowała wyniki badania, w którym kobiety w trakcie procesu rozwodowego kilkukrotnie w okresie pięciu miesięcy proszono o opisywanie stopnia, w jakim myślały o byłych małżonkach. Te same kobiety budzono w fazie snu REM w celu szczegółowego zrelacjonowania treści snów. Występowała znacząca pozytywna korelacja między częstotliwością myśli o byłych partnerach na jawie i liczbą przypadków, kiedy pojawiali się jako bohaterowie ich snów (Cartwright et al., 2006). Badania (Horikawa et al., 2013) ujawniły nowe techniki, dzięki którym naukowcy mogą skutecznie wykrywać i klasyfikować obrazy wizualne podczas snów z wykorzystaniem fMRI, czyli funkcjonalnego obrazowania metodą rezonansu magnetycznego, by mierzyć neuronalną aktywność mózgu. Dzięki temu w tym obszarze pojawiają się nowe możliwości prowadzenia badań. Naukowcy poszukują również powodów, dla których śnimy. Według Hobsona (2009) śnienie może reprezentować stan protoświadomości. Pośród wielu dowodów neurobiologicznych John Hobson cytuje też badania dotyczące świadomego śnienia i traktuje je jako szansę na lepsze zrozumienie marzeń sennych. Świadomy sen ( przytomny sen ) (ang. lucid dream ) to stan śnienia, w którym są obecne pewne aspekty stanu czuwania. W świadomym śnie osoba uświadamia sobie, że śni, i dzięki temu może kontrolować jego przebieg (LaBerge, 1990). Summary Różne fazy snu charakteryzują się aktywnością mózgu o różnych wzorcach fal mózgowych. Gdy przechodzimy ze stanu czuwania w stan snu, fale alfa zastępowane są falami theta. W drugiej fazie snu pojawiają się wrzeciona senne i zespoły K. Trzecia i czwarta faza snu to tak zwany sen długofalowy, charakteryzujący się przewagą fal delta. Podczas fazy REM, czyli snu z szybkimi ruchami gałek ocznych, następuje paraliż mięśni zależnych od woli i pojawiają się marzenia senne. Zarówno sen NREM, jak i REM wydają się odgrywać ważną rolę w uczeniu się i zapamiętywaniu. Marzenia senne mogą odzwierciedlać ważne z punktu widzenia osoby śniącej wydarzenia z dnia codziennego. Według innej teorii śnienie jest stanem protoświadomości lub rzeczywistości wirtualnej umysłu, która staje się pomocna, gdy znajdujemy się w stanie czuwania. Review Questions ________ inaczej nazywa się fazą/fazami wolnofalową/wolnofalowymi snu. Pierwszą fazę snu Drugą fazę snu Trzecią i czwartą fazę snu Fazę snu REM C Wrzeciona senne oraz zespoły K najczęściej występują w ________ snu. pierwszej fazie drugiej fazie trzeciej i czwartej fazie fazie REM B Symptomy ________ mogą ulec poprawie dzięki deprywacji fazy REM. schizofrenii choroby Parkinsona depresji zespołu lęku uogólnionego C Treść ________ snu to prawdziwe znaczenie snu. utajona jawna zbiorowej nieświadomości ważna A Critical Thinking Questions Freud uważał, że sny dają wgląd w naturę nieświadomego umysłu. Według niego treść jawna snu dostarcza wskazówek dotyczących nieświadomości danej jednostki. Jak potencjalnie można by skrytykować tego rodzaju perspektywę? Przedmiot najostrzejszej krytyki stanowi subiektywna natura analizy snów. Zadaniem psychoanalityków jest pomoc pacjentom w interpretacji prawdziwego znaczenia snów. Nie ma jednak sposobu potwierdzenia, czy dana interpretacja jest poprawna, czy też nie. Stwierdzenie „czasami cygaro jest po prostu cygarem” (które zwykle, choć nie ma na to żadnych dowodów, przypisuje się Freudowi) dobitnie pokazuje, że nie istnieje żaden systemowy, obiektywny system analizy marzeń sennych. Niektórzy twierdzą, że lunatykowanie i mówienie we śnie to wynik odgrywania treści snu przez śpiącą osobę. Dlaczego to wyjaśnienie jest raczej mało prawdopodobne? Marzenia senne pojawiają się podczas fazy snu REM. Jedną z charakterystycznych cech tej fazy jest paraliż mięśni zależnych od woli, co sprawia, że fizyczne odgrywanie snu staje się mało prawdopodobne. Personal Application Question Badacze uważają, że jedną z najważniejszych funkcji snu jest poprawa zapamiętywania oraz przyswajania wiedzy. W jaki sposób ta informacja mogłaby ci pomóc podczas studiów? Jakie zmiany dasz radę wprowadzić w swoim sposobie nauki oraz nawykach związanych ze snem, by zmaksymalizować skuteczność przyswajania treści przedstawianych na zajęciach? fale alfa (ang. alpha waves ) fala mózgowa o stosunkowo niskiej częstotliwości i stosunkowo wysokiej amplitudzie, która się synchronizuje; jest charakterystyczna dla początkowej fazy snu fale delta (ang. delta waves ) fala mózgowa o niskiej częstotliwości i wysokiej amplitudzie, charakterystyczna dla fazy 3. i 4. snu nieświadomość zbiorowa (ang. collective unconsciousness ) według Carla Gustava Junga: magazyn informacji wspólny dla wszystkich ludzi różnych kultur zespoły K (ang. K-complex ) charakterystycznie wysoka amplituda aktywności mózgu występująca w 2. fazie snu, która może pojawić się w reakcji na bodźce środowiskowe treść utajona ( treść ukryta ) (ang. latent content ) wg poglądu na temat funkcji snów Zygmunta Freuda: ukryte znaczenie snu świadomy sen ( przytomny sen ) (ang. lucid dream ) świadomość śnienia i umiejętność kontroli przebiegu snu treść jawna (ang. manifest content ) wg poglądu na temat funkcji snów Zygmunta Freuda: fabuła wydarzeń, które występują podczas snu sen wolnofalowy (ang. non-REM (NREM) ) faza snu poza okresami szybkiego ruchu gałek ocznych (REM) faza REM, sen paradoksalny (ang. rapid eye movement phase (REM) ) okres snu charakteryzujący się falami mózgowymi bardzo podobnymi do tych, które występują podczas czuwania, oraz ruchami gałek ocznych pod zamkniętymi powiekami wrzeciono snu (ang. sleep spindle ) gwałtowny skok fal mózgowych o wysokiej częstotliwości podczas 2. fazy snu, który może być ważny dla uczenia się i pamięci faza 1. snu (ang. stage 1 sleep ) pierwszy etap snu; faza przejściowa, która zachodzi między czuwaniem a snem; okres, w którym dana osoba zasypia faza 2. snu (ang. stage 2 sleep ) drugi etap snu, w którym ciało przechodzi w stan głębokiego relaksu; charakteryzuje się pojawianiem się wrzecion snu faza 3. snu (ang. stage 3 sleep ) trzeci etap snu; głęboki sen charakteryzujący się falami delta o niskiej częstotliwości i wysokiej amplitudzie faza 4. snu (ang. stage 4 sleep ) czwarty etap snu; głęboki sen charakteryzujący się falami delta o niskiej częstotliwości i wysokiej amplitudzie fale theta (ang. theta waves ) fala mózgowa o niskiej częstotliwości i niskiej amplitudzie, charakterystyczna dla fazy 1. i 2. snu", "section": "Fazy snu", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zaburzenia snu Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać objawy i sposoby leczenia bezsenności Rozpoznać objawy różnych parasomnii Opisać objawy i metody leczenia bezdechu sennego Rozpoznać czynniki ryzyka związane z zespołem nagłej śmierci łóżeczkowej (SIDS) i kroki, aby temu zapobiec Omówić objawy i metody leczenia narkolepsji Wiele osób prędzej czy później doświadcza kłopotów ze snem. W zależności od populacji i zaburzeń, które są badane, w jakimś okresie życia cierpi na nie od 30% do 50% osób (Bixler et al., 1979; Hossain i Shapiro, 2002; Ohayon, 1997, 2002; Ohayon i Roth, 2002). W tym podrozdziale opiszemy kilka zaburzeń z obszaru snu oraz niektóre z możliwych metod ich leczenia. Bezsenność Bezsenność, czyli przewlekła trudność w zasypianiu lub utrzymaniu snu, jest najczęściej występującym zaburzeniem snu. U osób cierpiących na tę przypadłość między położeniem się do łóżka a faktycznym zaśnięciem mija zwykle dużo czasu. Ponadto w nocy budzą się od kilku do kilkunastu razy i znów mają kłopoty z zaśnięciem. Jak już wspominaliśmy, jednym z kryteriów bezsenności jest doświadczanie tych objawów co najmniej przez trzy noce w tygodniu w ciągu jednego miesiąca (Roth, 2007). Zazwyczaj osoby cierpiące na bezsenność doświadczają również zwiększonego niepokoju związanego z niemożnością zaśnięcia. Powoduje to błędne koło, ponieważ większy niepokój prowadzi do nadmiernego pobudzenia, ono zaś jeszcze bardziej utrudnia zaśnięcie. Chroniczna bezsenność prawie zawsze wiąże się z uczuciem przemęczenia, towarzyszą jej również symptomy depresji. Do bezsenności może przyczyniać się wiele czynników, m.in. wiek, zażywanie narkotyków, ruch, kondycja psychiczna oraz nawyki związane ze snem. Nic więc dziwnego, że istnieje wiele różnych form leczenia bezsenności. Niektóre osoby borykające się z tym problemem ograniczają użycie stymulujących używek (na przykład kofeiny) lub zwiększają ilość ruchu w ciągu dnia. Inne sięgają po lekarstwa bez recepty lub na receptę. Należy jednak czynić to w ostateczności, gdyż wiele leków nasennych prowadzi do uzależnienia i zmienia naturalny cykl snu i czuwania, przyczyniając się tylko do pogłębienia bezsenności. Osoby, u których podejmowane na własną rękę działania nie przynoszą pożądanych rezultatów, a na domiar złego pogarszają jakość życia, powinny udać się po wsparcie do profesjonalistów. W przypadku bezsenności pomagają niektóre formy psychoterapii, np. terapia poznawczo-behawioralna. Terapia poznawczo-behawioralna (ang. cognitive-behavioral therapy (CBT) ) to terapia, która koncentruje się na procesach poznawczych i problematycznych zachowaniach. Leczenie bezsenności w takim przypadku uwzględniałoby techniki zarządzania stresem oraz zmianę zachowań, które mogą przyczyniać się do bezsenności (np.: ograniczenie czasu czuwania w łóżku). Udowodniono, że terapia poznawczo-behawioralna jest skuteczna i w leczeniu bezsenności przynosi pożądane rezultaty (Savard et al., 2005; Williams et al., 2013). Parasomnie Parasomnie (ang. parasomnia ) to grupa zaburzeń snu charakteryzujących się występowaniem niepożądanych oraz nieprawidłowych zachowań motorycznych lub doświadczeń. Parasomnie występują zarówno w fazie REM, jak i NREM snu. Lunatyzm, zespół niespokojnych nóg, lęki nocne – to wszystko przykłady parasomnii (Mahowald i Schenck, 2000). Lunatyzm Lunatykowanie (inaczej zwane lunatyzmem , somnambulizmem lub sennowłóctwem – ang. sleepwalking ) to sytuacja, w której śpiąca osoba angażuje się w relatywnie złożone zachowania: od spacerowania po okolicy po prowadzenie samochodu. Podczas epizodów somnambulizmu osoba często ma otwarte oczy, ale nie reaguje na próby komunikacji podejmowane przez innych. Lunatykowanie zwykle występuje podczas snu wolnofalowego, lecz może też zachodzić w innych jego stadiach (Mahowald i Schenck, 2000). W przeszłości somnambulizm leczony był farmakologicznie za pomocą różnorodnych środków, począwszy od benzodiazepin, a skończywszy na lekach przeciwdepresyjnych. Jednakże skuteczność tego rodzaju terapii została zakwestionowana. Guilleminault ze współpracownikami (2005) odkrył, że benzodiazepiny nie zapobiegają lunatykowaniu. Okazało się również, że u wszystkich jego somnambulicznych pacjentów, którzy w trakcie snu mieli również problemy z oddychaniem, odnotowano znaczące obniżenie się liczby epizodów lunatykowania po skutecznym wyleczeniu problemów oddechowych. Lunatyczna obrona? 16 stycznia 1997 roku Scott Falater usiadł z żoną i dziećmi do obiadu, w trakcie którego opowiadał im o trudnościach ze skomplikowanym projektem w pracy. Po zjedzeniu posiłku przygotował materiały potrzebne mu nazajutrz do poprowadzenia próby chóru, a potem, przed położeniem się do łóżka, podjął próbę zreperowania pompy basenowej. Następnego poranka obudziło go szczekanie psów oraz nieznajome głosy dochodzące z parteru domu. Gdy zszedł, by zbadać, co się dzieje, stanął oko w oko z grupą policjantów, którzy zaaresztowali go pod zarzutem zamordowania żony (Cartwright, 2004; CNN, 1999). Ciało Yarmilli Falater znaleziono w przydomowym basenie z czterdziestoma czterema ranami kłutymi zadanymi nożem. Policję wezwał sąsiad po tym, jak zobaczył Falatera stojącego nad ciałem żony, a następnie wciągającego je do basenu. Po przeszukaniu domu i przyległego terenu funkcjonariusze policji w bagażniku samochodu Falatera znaleźli ubrudzone krwią ubrania oraz nóż. Miał on również plamy z krwi na szyi. Niesamowite jest to, że Falater nie pamiętał, by w jakikolwiek sposób skrzywdził żonę. Według zeznań dzieci i teściów stosunki małżeńskie Falaterów układały się bardzo dobrze. Nie potrafili podać żadnego sensownego motywu zbrodni (Cartwright, 2004). Scott Falater jako dziecko regularnie lunatykował, a raz nawet zareagował gwałtowną przemocą wobec siostry, która chciała uniemożliwić mu opuszczenie domu w piżamie. Nie stwierdzono u niego żadnych widocznych anomalii w mózgu ani zaburzeń psychologicznych. Wydawało się zatem, że Scott Falater swoją żonę zabił podczas snu, a w każdym razie właśnie na somnambulizm powoływał się podczas swojej obrony w procesie o morderstwo żony (Cartwright, 2004; CNN, 1999). W czerwcu 1999 roku ława przysięgłych uznała Falatera za winnego morderstwa pierwszego stopnia (CNN, 1999). Jednakże znane są inne przypadki, w których obrona na podstawie lunatyzmu była skuteczna. Jakkolwiek przerażająco by to brzmiało, wielu badaczy zajmujących się snem uważa, że osoba cierpiąca na zaburzenia snu podczas epizodu lunatykowania jest w stanie zabić (Broughton et al., 1994; Cartwright, 2004; Mahowald et al., 2005; Pressman, 2007). Zaburzenia zachowania podczas fazy snu REM Zaburzenia zachowania w czasie snu REM (ang. REM sleep behavior disorder (RBD) ) mają miejsce wtedy, gdy nie występuje zachodzący normalnie w fazie snu REM paraliż mięśni. Osoby zmagające się z RBD wykazują wysoki poziom aktywności fizycznej podczas fazy REM, szczególnie w trakcie nieprzyjemnych snów. Zachowania te są bardzo zróżnicowane. Może to być na przykład kopanie, uderzanie pięściami, drapanie, krzyk oraz zachowania typowe dla przestraszonych lub zaatakowanych zwierząt. Osoby cierpiące na tę przypadłość mogą zranić siebie lub śpiącego obok partnera. Ponadto tego rodzaju zachowania zakłócają normalny cykl snu, choć dotknięte zaburzeniem osoby nie pamiętają żadnych szczegółów dotyczących tych epizodów (Arnulf, 2012). Zaburzenia zachowania podczas fazy snu REM są często powiązane z wieloma chorobami neurodegeneracyjnymi, takimi jak choroba Parkinsona. Powiązania są tak silne, że – według niektórych – występowanie RBD może pomóc w diagnozie i leczeniu wielu chorób z tej grupy (Ferini-Strambi, 2011). W leczeniu RBD najczęściej stosuje się klonazepam, środek przeciwlękowy o właściwościach uspokajających. Podaje się go niezależnie lub w połączeniu z melatoniną (hormonem wydzielanym przez szyszynkę). Częścią procesu leczenia jest również modyfikacja strefy przeznaczonej do spania tak, by stała się bezpieczniejszym miejscem dla osób cierpiących na RBD (Zangini et al., 2011). Inne parasomnie Osoba z zespołem niespokojnych nóg (ang. restless leg syndrome ) odczuwa nieprzyjemne uczucie w nogach podczas okresów bezczynności lub w trakcie zasypiania. Dyskomfort mija wskutek celowego poruszania nogami, co oczywiście wzmacnia tylko trudność w zasypianiu lub utrzymaniu stanu snu. Syndrom niespokojnych nóg jest dość powszechną przypadłością, występującą równocześnie z wieloma innymi chorobami, na przykład chroniczną chorobą nerek czy cukrzycą (Mahowald i Schenck, 2000). Na rynku dostępnych jest sporo leków stosowanych w zespole niespokojnych nóg: benzodiazepiny, opiaty oraz leki przeciwpadaczkowe (Restless Legs Syndrome Foundation, b.d.). Lęki nocne (ang. night terrors ) powodują panikę, dlatego często towarzyszą im krzyki oraz próby ucieczki z danego miejsca (Mahowald i Schenck, 2000). Osoby doświadczające tych lęków wydają się nie spać, ale zwykle nie potrafią przypomnieć sobie żadnych szczegółów tego, co się zdarzyło, a próby pocieszenia ich w trakcie napadu są bezskuteczne. Najczęściej ponownie szybko zasypiają. Lęki nocne mają miejsce podczas fazy snu REM (Provini et al., 2011). Nie ma potrzeby ich leczenia, chyba że ich podłożem są konkretne stany medyczne lub psychologiczne (Mayo Clinic, b.d.). Zespół bezdechu sennego Zespół bezdechu sennego (ang. sleep apnea ) charakteryzuje się okresowym ustawaniem wentylacji (wdechu i wydechu) płuc u śpiącej osoby. Ustanie wentylacji może trwać 10–20 sekund lub dłużej i często jest połączone z krótkimi momentami pobudzenia. Podczas gdy osoby cierpiące na bezdech senny mogą nie być świadome tych powtarzalnych zaburzeń snu, często narzekają na większe zmęczenie. Powodem, dla którego szukają pomocy, są skargi osób, z którymi dzielą łóżko, na ich głośne nocne chrapanie, któremu mogą, ale nie muszą towarzyszyć długie przerwy w oddychaniu (Henry i Rosenthal, 2013). Tego rodzaju objawy występują częściej u ludzi otyłych i mogą dodatkowo powodować nasilenie chorób układu krążenia (Sánchez-de-la-Torre et al., 2012). Choć bezdech senny rzadko występuje u osób szczupłych, wizyta lekarska zalecana jest bez względu na masę ciała wszystkim, którzy podczas snu głośno chrapią lub z trudem łapią powietrze. Choć ludzie często nie są świadomi, że cierpią na bezdech senny, to jednak mogą zdawać sobie sprawę z nieprzyjemnych konsekwencji niewystarczającej ilości snu. Pewien mężczyzna na przykład uważał, że z powodu bezdechu sennego miał trzy wypadki samochodowe w ciągu sześciu tygodni. „I wszystkie z MOJEJ winy. A w dwóch z nich dopiero po fakcie zorientowałem się, że coś jest nie tak!” (Henry i Rosenthal, 2013, s. 52). Nierzadko osoby z niezdiagnozowanym lub nieleczonym bezdechem sennym obawiają się, że brak snu wpłynie negatywnie na ich karierę, co świetnie ilustruje zdanie wypowiedziane przez innego pacjenta: „W mojej pracy premiuje się szybkość myślenia i sprawność umysłową, a ja bywałem naprawdę śpiący… miałem kłopoty z koncentracją… Dochodziło już naprawdę do przerażających sytuacji” (Henry i Rosenthal, 2013, s. 52). Diagnozuje się dwa rodzaje zespołu bezdechu sennego: obturacyjny i centralny. Obturacyjny bezdech senny (ang. obstructive sleep apnea ) występuje wtedy, gdy bezdech pojawia się w wyniku zablokowania dróg oddechowych podczas snu, a powietrze nie może dostać się do płuc. W centralnym bezdechu sennym (ang. central sleep apnea ) zatrzymanie oddychania wynika z czasowej przerwy w dopływie impulsów nerwowych z mózgu do mięśni oddechowych (White, 2005). Jednym z najbardziej powszechnych sposobów leczenia bezdechu sennego jest leczenie za pomocą tzw. aparatu CPAP (stałe dodatnie ciśnienie w drogach oddechowych) (ang. continuous positive airways pressure (CPAP) ). Aparat ten składa się z maski zakrywającej usta i nos podłączonej do pompy, która wtłacza powietrze do dróg oddechowych, zmuszając je do pozostania otwartymi, jak pokazano na . Nowsze modele masek są mniejsze i zakrywają tylko nos. Skuteczność tego rodzaju terapii jest niezwykle duża zarówno u osób cierpiących na łagodną, jak i ostrą formę bezdechu sennego (McDaid et al., 2009). Jedną z podobnych metod, której skuteczności dowiodły już badania z podwójnie ślepą próbą, jest wykorzystanie urządzenia EPAP ( expiratory positive air pressure ) wytwarzającego dodatnie ciśnienie wydechowe w drogach oddechowych tylko podczas wydechu (Berry et al., 2011). (a) Typowe urządzenie CPAP wykorzystywane w leczeniu bezdechu sennego, umocowane na głowie przy pomocy pasków z maską zakrywającą nos i usta (b). SIDS W przypadku zespołu nagłego zgonu łóżeczkowego (SIDS) (ang. sudden infant death syndrome (SIDS) ), zwanego powszechnie nagłą śmiercią łóżeczkową, niemowlę podczas snu przestaje oddychać i umiera. Najbardziej narażone są dzieci poniżej pierwszego roku życia, częściej chłopcy niż dziewczynki. Wyróżnia się tu kilka czynników ryzyka, m.in. przedwczesny poród, palenie papierosów w domu oraz hipertermię. U niemowląt, które umierają nagłą śmiercią łóżeczkową, obserwuje się też różnice zarówno w strukturze mózgu, jak i jego funkcjonowaniu (Berkowitz, 2012; Mage i Donner, 2006; Thach, 2005). Dzięki licznym badaniom dotyczącym nagłej śmierci łóżeczkowej istnieje wiele zaleceń, które skutecznie pomagają jej unikać ( ). Przede wszystkim niemowlęta należy do snu kłaść na wznak, w łóżeczku nie powinny znajdować się żadne przedmioty, które mogłyby prowadzić do uduszenia, jak koce, poduszki czy ochraniacze (poduszki zakrywające szczebelki łóżeczka, stanowiące ochronę przed uderzeniem się). Niemowlętom nie należy również zakładać do snu czapeczek, które często prowadzą do przegrzania ciała, a domownicy powinni powstrzymać się od palenia papierosów w mieszkaniu. W ostatnich latach te i podobne zalecenia zmniejszyły liczbę przypadków nagłej śmierci łóżeczkowej (Mitchell, 2009; Task Force on Sudden Infant Death Syndrome, 2011). Celem kampanii „Safe to Sleep” (Bezpieczny sen) jest edukowanie społeczeństwa na temat sposobów minimalizowania ryzyka wystąpienia nagłej śmierci łóżeczkowej. Kampania jest współfinansowana przez National Institute of Child Health and Human Development. Narkolepsja Osoba cierpiąca na narkolepsję (ang. narcolepsy ) nie potrafi oprzeć się zaśnięciu nawet w najmniej odpowiednich momentach. Nagłe, mimowolne napady snu powiązane są z katapleksją (ang. cataplexy ), czyli brakiem napięcia mięśniowego lub jego obniżeniem, a w niektórych przypadkach z całkowitym paraliżem mięśni zależnych od woli. Jest to stan podobny do tego, który występuje u zdrowych osób podczas fazy snu REM (Burgess i Scammell, 2012; Hishikawa i Shimizu, 1995; Luppi et al., 2011). Epizody narkoleptyczne przypominają okresy snu REM, gdyż ok. jedna trzecia pacjentów ze zdiagnozowaną narkolepsją podczas napadów snu doświadcza bardzo żywych, podobnych do marzeń sennych halucynacji (Chokroverty, 2010). Co zaskakujące, epizody narkoleptyczne wywoływane są często przez stany podwyższonego pobudzenia lub stres. Typowy napad trwa od jednej, dwóch minut do pół godziny. Po przebudzeniu osoba zwykle czuje się odświeżona i wypoczęta (Chokroverty, 2010). Oczywiście powtarzające się napady mimowolnego snu zaburzają wykonywanie pracy lub uczestniczenie w zajęciach szkolnych, a w niektórych sytuacjach powodują poważne uszkodzenia i obrażenia ciała, na przykład podczas jazdy samochodem lub obsługi maszyn i innych niebezpiecznych urządzeń. Standardowo w leczeniu narkolepsji wykorzystuje się leki psychostymulujące, na przykład amfetaminę (Mignot, 2012). Stymulują one ośrodkowy układ nerwowy i zwiększają jego aktywność. Narkolepsję wiąże się ze zmniejszonym poziomem neuroprzekaźnika hipokretyny w pewnych obszarach mózgu (De la Herrán-Arita i Drucker-Colín, 2012; Han, 2012), a tradycyjne leki stymulujące nie mają bezpośredniego wpływu na ten układ neuroprzekaźnikowy. Istnieje zatem duże prawdopodobieństwo, że nowa generacja leków na narkolepsję będzie wpływać również i na ten układ. Wśród osób cierpiących na narkolepsję istnieje ogromne zróżnicowanie zarówno pod względem objawów, jak i skuteczności obecnie dostępnych metod leczenia. Świetnie widać to na przykładzie studium przypadku autorstwa McCarty’ego (2010), dotyczącym pięćdziesięcioletniej kobiety, która szukała pomocy w związku z trwającą kilka lat nadmierną sennością występującą w ciągu dnia. Mimowolnie zasypiała w niedogodnych lub niebezpiecznych sytuacjach, m.in. podczas jedzenia, spotkań z przyjaciółmi i prowadzenia samochodu. W chwilach emocjonalnego pobudzenia narzekała na swego rodzaju słabość odczuwaną po prawej stronie ciała. Choć nie doświadczała podobnych do snu halucynacji, po badaniu snu zdiagnozowano u niej narkolepsję. Jej przypadek katapleksji ograniczającej się tylko do prawej połowy ciała był dość nietypowy. Początkowe próby leczenia jej tylko z zastosowaniem leku stymulującego nie przyniosły rezultatów, dopiero gdy zaczęto podawać go w połączeniu z popularnym środkiem antydepresyjnym, jej stan uległ znacznej poprawie. Summary Wiele osób w pewnym momencie życia doświadcza kłopotów ze snem lub cierpi na jego zaburzenia. Bezsenność to powszechna przypadłość polegająca na trudnościach w zasypianiu lub utrzymaniu snu. W parasomniach, do których zalicza się RBD, lunatyzm, zespół niespokojnych nóg oraz lęki nocne, w trakcie snu pojawiają się niepożądane zachowania ruchowe lub doświadczenia. Zespół bezdechu sennego objawia się zatrzymaniem przepływu powietrza w trakcie snu, a zespół nagłego zgonu łóżeczkowego skutkuje śmiercią niemowlęcia, które śpiąc, nagle przestaje oddychać. Narkolepsja powoduje ataki wyjątkowej senności podczas czuwania, tak silnej, że osoby dotknięte tym zaburzeniem praktycznie nie mogą powstrzymać się od zaśnięcia. Często towarzyszą jej katapleksja i halucynacje. Review Questions ________ to utrata napięcia mięśniowego lub kontroli nad mięśniami często towarzysząca narkolepsji. RBD CPAP Katapleksja Bezsenność C Osoba może cierpieć na ________, jeśli następuje czasowa przerwa w dopływie impulsów z mózgu do mięśni regulujących oddychanie. centralny bezdech senny obturacyjny bezdech senny narkolepsję SIDS A Najpopularniejsza metoda leczenia ________ polega na wykorzystaniu leków na bazie amfetaminy. bezdechu sennego RBD SIDS narkolepsji D ________ to inna nazwa lunatyzmu. Bezsenność Somnambulizm Katapleksja Narkolepsja B Critical Thinking Questions Jednym z zaleceń terapeutów dla osób cierpiących na bezsenność jest skrócenie czasu czuwania w łóżku. Jak myślisz, dlaczego dłuższe czuwanie w łóżku przed snem może później pogarszać zdolność danej osoby do zaśnięcia? Odpowiedzi mogą być różne. Jedno z możliwych wyjaśnień związane jest z uczeniem asocjacyjnym. Jeśli łóżko reprezentuje miejsce socjalizowania się, uczenia się, jedzenia i tym podobnych, to może stać się przestrzenią podwyższonego poziomu pobudzenia, a co za tym idzie, utrudniać zaśnięcie o odpowiedniej porze. Inne wyjaśnienie to odwołanie do błędnego koła, o którym często wspomina się w przypadku bezsenności. Jeżeli osoba ma kłopoty z zasypianiem i to powoduje jej niepokój, dobrym pomysłem byłoby zabranie jej z miejsca, w którym normalnie śpi, by uniknąć kojarzenia go z niepokojem. Jakie są podobieństwa i różnice między narkolepsją z katapleksją a fazą REM snu? Podobieństwa to m.in. paraliż mięśni oraz hipnagogiczne halucynacje występujące podczas epizodów narkolepsji. Do różnic zaliczyć można niekontrolowaną naturę ataków oraz fakt, że pojawiają się one w sytuacjach, w których normalnie sen nie występuje (np. w chwilach podwyższonego pobudzenia lub nadmiernych emocji). Personal Application Question Jakie czynniki mogłyby spowodować bezsenność w twoim przypadku? katapleksja (ang. cataplexy ) brak napięcia mięśniowego lub osłabienie mięśni poprzecznie prążkowanych, a w niektórych przypadkach całkowity paraliż tych mięśni centralny bezdech senny (ang. central sleep apnea ) zaburzenie snu polegające na przerwach w oddychaniu z powodu zakłóceń w dopływie impulsów nerwowych wysyłanych z mózgu do mięśni oddechowych terapia poznawczo-behawioralna (ang. cognitive-behavioral therapy (CBT) ) forma psychoterapii, która koncentruje się na procesach poznawczych i problemowych zachowaniach; jest czasami stosowana w leczeniu zaburzeń snu, takich jak bezsenność stałe dodatnie ciśnienie w drogach oddechowych (ang. continuous positive airways pressure) metoda leczenia bezdechu sennego za pomocą urządzenia, którego częścią jest maska umieszczana na nosie i ustach śpiącego pacjenta i podłączona do pompy wtłaczającej powietrze do dróg oddechowych narkolepsja (ang. narcolepsy ) zaburzenie snu polegające na mimowolnych napadach snu lęki nocne (ang. night terrors ) zaburzenie snu, w którym osoba śpiąca doświadcza uczucia paniki i może krzyczeć lub próbować uciec z miejsca, w którym się znajduje obturacyjny bezdech senny (ang. obstructive sleep apnea ) zaburzenie snu polegające na epizodach ustawania oddechu podczas snu, spowodowane zablokowaniem dróg oddechowych zaburzenia zachowania w czasie snu REM (ang. REM sleep behavior disorder (RBD) ) zaburzenie snu, w którym nie występuje paraliż mięśni związany z fazą snu REM; śpiący wykazują dużą aktywność fizyczną podczas snu REM, szczególnie pod wpływem niepokojących snów zespół niespokojnych nóg (ang. restless leg syndrome ) zaburzenie snu występujące podczas zasypiania; pacjent cierpi na nieprzyjemne odczucie w nogach, które może złagodzić poprzez poruszanie nimi zespół bezdechu sennego (ang. sleep apnea ) zaburzenie snu polegające na przerwach w oddychaniu lunatykowanie ( somnambulizm , sennowłóctwo ) (ang. sleepwalking ) zaburzenie snu, w którym osoba śpiąca przejawia złożone zachowania, np. porusza się po pokoju zespół nagłego zgonu niemowląt, (ang. sudden infant death syndrome (SIDS)) nagła śmierć niemowlęcia (dziecka poniżej 12. miesiąca życia) podczas snu, bez wyraźnej przyczyny medycznej", "section": "Zaburzenia snu", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Używanie substancji psychoaktywnych Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać kryteria diagnostyczne zaburzeń związanych z używaniem substancji psychoaktywnych Zidentyfikować układy neuroprzekaźników, na które wpływają różne kategorie leków Opisać, jak różne kategorie narkotyków wpływają na zachowanie i doświadczenie Podczas gdy wszyscy regularnie doświadczamy odmiennych stanów świadomości w postaci snu, niektóre osoby zażywają narkotyki i inne substancje, by wejść w nie celowo. W tym podrozdziale zaprezentujemy informacje dotyczące stosowania różnego rodzaju substancji psychoaktywnych oraz problemów z tym związanych. Na końcu krótko opiszemy działania niektórych z dobrze obecnie znanych i często zażywanych narkotyków. Zaburzenia związane z używaniem substancji psychoaktywnych Piąte wydanie Diagnostycznego i statystycznego podręcznika zaburzeń psychicznych (ang. Diagnostic and Statistical Manual of Mental Disorders (DSM-5) ) publikowanych przez Amerykańskie Towarzystwo Psychiatryczne jest wykorzystywane przez klinicystów do diagnozowania osób cierpiących z powodu różnych zaburzeń psychicznych. Zgodnie z klasyfikacją osoba o zaburzeniach wywołanych używaniem substancji psychoaktywnych stosuje większe ilości substancji niż zamierzała na początku i kontynuuje ich przyjmowanie pomimo doświadczania negatywnych tego konsekwencji. U osób, u których zdiagnozowano zaburzenia spowodowane zażywaniem substancji psychoaktywnych, obserwuje się kompulsywny schemat przyjmowania substancji połączony z uzależnieniem zarówno fizycznym, jak i psychicznym. Uzależnienie fizyczne (ang. physical dependence ) wywołuje zmiany w normalnych funkcjach organizmu – uzależniony doświadcza objawów abstynencyjnych po przerwaniu przyjmowania substancji. Z drugiej strony osoba uzależniona psychicznie (ang. psychological dependence ) wykazuje raczej emocjonalną niż fizyczną potrzebę używania narkotyku i może wykorzystywać go, aby złagodzić niepokój psychiczny. Tolerancja (ang. tolerance ) związana jest z uzależnieniem fizjologicznym, a jej wzrost oznacza, że osoba potrzebuje coraz większych ilości substancji, aby osiągnąć efekt, którego wcześniej doświadczała przy mniejszych dawkach. Zwiększenie tolerancji powoduje, że człowiek zwiększa dawki substancji do niebezpiecznego poziomu, który może prowadzić do przedawkowania i śmierci. Odstawienie (ang. withdrawal ) jest zaprzestaniem przyjmowania substancji. Powoduje objawy abstynencyjne, zwykle przeciwne do tych wywoływanych przez narkotyk. Na przykład odstawienie środków uspokajających skutkuje nieprzyjemnym pobudzeniem. Osoby, u których diagnozuje się zaburzenia związane z używaniem substancji psychoaktywnych, oprócz objawów abstynencyjnych rozwijają również tolerancję. Uzależnienie psychiczne, inaczej głód narkotykowy, zostało dodane jako kolejne kryterium diagnostyczne zaburzeń związanych z używaniem substancji w DSM-5. Jest to ważny czynnik diagnostyczny, ponieważ możemy rozwijać tolerancję oraz doświadczać objawów abstynencyjnych w przypadku różnych substancji, których nie nadużywamy. Innymi słowy samo fizyczne uzależnienie nie wystarczy, by określić, czy ktoś cierpi na zaburzenia związane z użyciem substancji psychoaktywnych, czy też nie. Kategorie substancji psychoaktywnych Skutki przyjmowania wszystkich substancji psychoaktywnych są wynikiem ich interakcji z endogenicznymi układami neuroprzekaźników. Wiele z tych substancji i ich wzajemnych powiązań zostało przedstawionych na . Jak już wiesz, substancje psychoaktywne mogą działać jako agoniści lub antagoniści konkretnych układów neuroprzekaźników. Agonista (ang. agonist ) generuje reakcję układu neuroprzekaźników, natomiast antagonista (ang. antagonist ) ją blokuje. Rysunek przedstawia różne kategorie substancji psychoaktywnych oraz ich wzajemne powiązania. (Źródło: modyfikacja pracy Derricka Snidera). Alkohol i inne trankwilizery Etanol, czyli substancja obecna w napojach, które zwykliśmy nazywać napojami alkoholowymi, należy do kategorii substancji psychoaktywnych zwanych trankwilizerami ( ). Trankwilizer (ang. depressant ) ma działanie uspokajające – spowalnia działanie ośrodkowego układu nerwowego. Inne tego typu substancje to m.in. barbiturany i benzodiazepiny. Cechą wspólną tych środków jest to, że są agonistami receptorów kwasu gammaaminomasłowego (GABA). Ponieważ neuroprzekaźniki GABA wpływają uspokajająco na mózg, agoniści receptorów GABA również dają taki efekt, stąd te rodzaje substancji psychoaktywnych często przepisuje się w przypadku lęków i bezsenności. Zależny od GABA kanał chlorkowy jest umiejscowiony w błonie komórkowej niektórych neuronów. Kanał posiada wiele skupisk receptorów wiążących alkohol, barbiturany oraz benzodiazepiny, które w ten sposób wpływają na układ nerwowy. Wiązanie cząsteczek tych substancji otwiera kanał chlorkowy, powodując napływ ujemnych jonów chloru (Cl - ) do ciała komórki nerwowej. Zmiana jej potencjału elektrycznego na ujemny powoduje zahamowanie reakcji komórki nerwowej, stąd pobudzenie receptorów GABA ma wyciszający wpływ na mózg. Nadmierne spożywanie alkoholu skutkuje różnorodnymi zmianami na poziomie świadomości. W małych ilościach alkohol przynosi ożywienie i euforię. Przy większych dawkach mówi się o uczuciu uspokojenia. Ogólnie rzecz biorąc, spożyciu alkoholu towarzyszy spowolnienie czasu reakcji, utrata ostrości widzenia, osłabienie poziomu koncentracji oraz zahamowań zachowania. Przy nadmiernym spożyciu osoba może doświadczyć całkowitej utraty świadomości, jak również trudności w przypomnieniu sobie tego, co działo się w czasie upojenia alkoholowego (McKim i Hancock, 2013). Alkohol spożywany przez kobiety w ciąży może prowadzić do wystąpienia u dziecka szeregu wad i symptomów rozwojowych określanych terminem spektrum alkoholowych uszkodzeń płodu (ang. fetal alcohol spectrum disorder (FASD) ) lub alkoholowego zespołu płodowego (ang. fetal alcohol syndome (FAS) ). Systematyczne używanie substancji działających depresyjnie na ośrodkowy układ nerwowy, takich jak alkohol, prowadzi do fizycznego uzależnienia. Powoduje ono, że nadużywająca ich osoba będzie doświadczać efektu tolerancji oraz objawów abstynencyjnych. W przypadku tych substancji możliwe jest również uzależnienie psychiczne. Można zatem stwierdzić, że mają one dość wysoki wskaźnik właściwości uzależniających. Odstawienie opisanych wyżej środków wiąże się z bardzo nieprzyjemnymi doświadczeniami i w przypadku osób, które mają za sobą długą historię przyjmowania dużych dawek alkoholu czy barbituranów, może zagrażać życiu. Warto zatem, by osoby starające się wyjść z uzależnienia od tych substancji robiły to wyłącznie przy wsparciu specjalistów. Stymulanty Stymulanty (ang. stimulants ) to substancje pobudzające ośrodkowy układ nerwowy, zwiększające ogólny poziom aktywności nerwowej. Wiele z nich pełni funkcję agonistów dopaminy. Dopamina odgrywa ważną rolę w układzie nagrody i odczuwania łaknienia, zatem narkotyki, które wpływają na układ dopaminowy, mają duże właściwości uzależniające. Do tej kategorii należą kokaina, amfetaminy (łącznie z metamfetaminą (ang. methamphetamine )), katynony (na przykład sole do kąpieli), MDMA ( ecstasy ), nikotyna i kofeina. Kokainę można przyjmować na wiele różnych sposobów. Popularne metody to wciąganie przez nos, rozpuszczanie w wodzie i wstrzykiwanie oraz przyjmowanie doustne. Kokaina wolnozasadowa, zwana crackiem, jest silnie działającym narkotykiem, który przyjmuje się w postaci wziewnej. Podobnie jak wiele innych substancji stymulujących, kokaina działa jako agonista układu neuroprzekaźników dopaminy, blokując wychwyt zwrotny dopaminy w synapsach. Crack – kokaina w kryształkach Crack ( ) uważa się za najbardziej uzależniającą formę kokainy, ponieważ można go palić i bardzo szybko dociera do mózgu. Jego zwykle niższa cena powoduje, że częściej wybierają go osoby z biedniejszych warstw społecznych. W latach 80. XX w. prawo zostało zmienione tak, by użytkownicy tej formy kokainy za jej posiadanie karani byli surowiej niż ci używający proszku kokainowego. Doprowadziło to do fali dyskryminujących wysokich wyroków sądowych dla zubożałych mieszkańców dużych miast pochodzących z mniejszości etnicznych. W ostatnim czasie zasadność tych regulacji została podana w wątpliwość, szczególnie w świetle badań, które kwestionują wcześniejsze założenia i wskazują na to, że crack nie prowadzi do większego uzależnienia niż kokainowy proszek (Haasen i Krausz, 2001; Reinerman, 2007). Kryształki cracku pali się, by osiągnąć stan euforii. Przyjmowanie narkotyku drogą wziewną powoduje, że szybciej dociera on do mózgu, co często wzmacnia doświadczenia użytkownika. (Źródło: modyfikacja pracy Departamentu Sprawiedliwości Stanów Zjednoczonych). Przeczytaj ten interesujący artykuł opisujący mity dotyczące cracku. Amfetaminy działają na podobnej zasadzie co kokaina, ale oprócz blokowania zwrotnego wychwytu dopaminy w szczelinie synaptycznej stymulują również jej wydzielanie ( ). Z jednej strony amfetaminy są często nadużywane, a z drugiej – lekarstwa na ich bazie często przepisywane są dzieciom z diagnozą zespołu nadpobudliwości psychoruchowej z deficytem uwagi (ang. attention deficit hyperactivity disorder (ADHD) ). Na pierwszy rzut oka może wydawać się, że leczenie zaburzeń nadpobudliwości poprzez podawanie substancji pobudzających przynosi efekty odwrotne do zamierzonych, lecz efekt terapeutyczny wynika ze zwiększenia aktywności neuroprzekaźnikowej w konkretnych obszarach mózgu odpowiadających za kontrolę impulsów. Kokaina i amfetaminy działają m.in. poprzez blokowanie wychwytu zwrotnego dopaminy ze szczeliny synaptycznej do komórki presynaptycznej. W ostatnich latach coraz bardziej rozpowszechniona staje się metamfetamina. Metamfetamina to taki rodzaj amfetaminy, który można pozyskać z ogólnie dostępnych składników (np. z pseudoefedryny występującej w wielu środkach na przeziębienie i grypę sprzedawanych bez recepty). Pomimo ostatnich zmian w prawie amerykańskim, których celem było utrudnienie pozyskiwania pseudoefedryny, metamfetamina wciąż jest łatwo dostępną i względnie niedrogą substancją pobudzającą (Shukla et al., 2012). Osoby zażywające kokainę, amfetaminę, katynony oraz MDMA poszukują stanu euforii (ang. euphoric high ), uniesienia oraz przyjemności. Regularne przyjmowanie tych stymulantów ma niezwykle negatywne skutki dla ludzkiego organizmu. Może wywołać objawy fizyczne takie jak nudności, zwiększenie ciśnienia krwi i tętna. Ponadto uzależnieni doświadczają niepokoju, halucynacji oraz paranoi (Fiorentini et al., 2011). Długotrwałe przyjmowanie tych narkotyków prowadzi również do zmian w normalnym funkcjonowaniu mózgu. Powoduje np. ogólne zmniejszenie ilości neuroprzekaźników należących do grupy monamin, takich jak dopamina, noradrenalina i serotonina. Jednym z powodów kompulsywnego użycia tych substancji jest m.in. pragnienie odtworzenia przez organizm normalnych poziomów tych neuroprzekaźników (Jayanthi i Ramamoorthy, 2005; Rothman et al., 2007). Kofeina to kolejna substancja pobudzająca, którą można nazwać najbardziej rozpowszechnionym narkotykiem na świecie, lecz jej moc w porównaniu z innymi stymulantami opisanymi w tym podrozdziale jest raczej nikła. Wykorzystuje się ją do utrzymania podwyższonego poziomu czujności i pobudzenia. Można ją znaleźć w wielu powszechnie używanych lekarstwach (np. wspierających utratę wagi), napojach, pożywieniu, a nawet kosmetykach (Herman i Herman, 2013). Kofeina ma pośredni wpływ na układ dopaminowy, ale jej główny mechanizm działania polega na antagonizowaniu działania adenozyny (Porkka-Heiskanen, 2011). Mimo że kofeinę (ang. caffeine ) uważa się za względnie bezpieczną substancję psychoaktywną, podwyższane przez nią ciśnienie krwi może prowadzić do bezsenności, niepokoju, drgania mięśni, nudności, nieregularności tętna, a nawet śmierci (Reissig et al., 2009; Woltet al., 2012). W 2012 roku Kromann i Nielson opisali przypadek czterdziestoletniej kobiety, która doświadczała objawów chorobowych nadużywania kofeiny. W przeszłości spożywała kofeinę, aby poprawić sobie nastrój i zwiększyć poziom energii. W ciągu kilku lat zwiększyła konsumpcję kofeiny do tego stopnia, że spożywała trzy litry napojów gazowanych w ciągu dnia. Przyjmowała również przepisane przez lekarza środki przeciwdepresyjne, lecz jej stan psychiczny zamiast się poprawiać, pogarszał się. Zdrowie fizyczne również uległo pogorszeniu – miała oznaki choroby układu krążenia oraz cukrzycę. Gdy zgłosiła się do przychodni na leczenie zaburzeń nastroju, okazało się, że ma wszystkie symptomy diagnostyczne uzależnienia i poradzono jej, by radykalnie zmniejszyła dzienną dawkę kofeiny. Gdy udało się jej zejść poniżej 3 litrów napojów gazowanych dziennie, jej zdrowie psychiczne i fizyczne stopniowo zaczęło się poprawiać. Pomimo powszechnego spożycia kofeiny i ogromnej liczby osób, które przyznają się, że cierpią na uzależnienie od tej substancji, był to pierwszy opis uzależnienia od napojów gazowanych w literaturze naukowej. Nikotyna jest substancją niezwykle uzależniającą, a użycie wyrobów tytoniowych wiąże się ze zwiększonym ryzykiem chorób układu krążenia, udaru oraz różnych form raka. Efekt nikotynowy spowodowany jest interakcją z receptorami acetylocholinowymi. Acetylocholina pełni rolę neuroprzekaźnika w neuronach ruchowych. W ośrodkowym układzie nerwowym zaangażowana jest w mechanizmy pobudzenia i nagrody. Nikotyna jest powszechnie używana w wyrobach tytoniowych takich jak papierosy czy tytoń do żucia, stąd istnieje ogromne zainteresowanie rozwojem skutecznych programów rzucania palenia. Do tej pory stworzono wiele różnych terapii zastępowania nikotyny oraz narzędzi psychoterapeutycznych w celu wspierania osób uzależnionych w rozstaniu się z nałogiem. Programy rzucania palenia są skuteczne na krótką metę, nie jest jednak pewne, czy ich efekty utrzymują się w dłuższej perspektywie (Cropley et al., 2008; Levitt et al., 2007; Smedslund et al., 2004). Opioidy Opioidy (in. opiaty ) (ang. opioid ) to kategoria substancji psychoaktywnych, do której należą heroina, morfina, metadon oraz kodeina. Mają one właściwości przeciwbólowe. Człowiek posiada endogenny opioidowy układ neuroprzekaźnikowy – ciało wytwarza niewielkie ilości opioidów, które łączą się z receptorami opioidowymi, powodując zmniejszenie bólu i uczucie euforii. Zatem opioidy, które naśladują ten wrodzony mechanizm analgezji, są substancjami o wysokim potencjale uzależnienia. Naturalne opioidy, nazywane opiatami, są pochodnymi opium, czyli substancji pozyskiwanej z maku lekarskiego. Obecnie na rynku istnieje kilka syntetycznych wersji opioidów, potocznie nazywanych opiatami, skutecznie uśmierzających ból i nadużywanych. Według badania wykonanego na zlecenie National Institues of Drug Abuse nieodpowiednie używanie i nadużywanie hydrokodonu oraz oksykodonu, czyli lekarstw przeciwbólowych, staje się powoli znaczącym problemem zdrowia społecznego w Stanach Zjednoczonych (Maxwell, 2006). W 2013 roku amerykańska Agencja Żywności i Leków (FDA) zaleciła zwiększenie kontroli nad ich wykorzystaniem medycznym. W przeszłości najczęściej nadużywanym opioidem była heroina ( ). Przyjmuje się ją, wciągając przez nos, paląc lub wstrzykując dożylnie. Podobnie jak w przypadku innych opisanych powyżej stymulantów, przyjęcie heroiny początkowo skutkuje uczuciem euforii i ekscytacji, po którym następuje okres pobudzenia i zdenerwowania. Regularne dożylne podawanie heroiny pozostawia ślady po wkłuciach na przedramionach, a osoby przyjmujące ją (oraz inne narkotyki) w ten sposób narażone są na większe ryzyko zarażenia gruźlicą i wirusem HIV. (a) Typowy sprzęt do przygotowania i przyjmowania heroiny z jednorazowymi igłami. (b) Heroina podgrzewana na łyżeczce nad świecą. (Źródło (a): modyfikacja pracy Todda Huffmana). Substancje psychoaktywne zawierające opioidy mają nie tylko zastosowanie przeciwbólowe, lecz znaleźć je można również w lekarstwach na kaszel oraz tych zapobiegających nudnościom i biegunkom. Wziąwszy pod uwagę, że odstawienie każdego narkotyku wiąże się z doświadczaniem efektów przeciwnych do wywoływanych przez sam narkotyk, nie powinno dziwić, że odstawienie opioidów wywołuje objawy przypominające ciężką postać grypy. By ułatwić skuteczne odstawienie opioidów, osobom borykającym się z objawami abstynencyjnymi podaje się metadon. Metadon (ang. methadone ) jest syntetycznym opioidem niewywołującym takiej euforii jak heroina i jej pochodne, stosowanym w metadonowych klinikach odwykowych (ang. methadone clinics ). W łagodzeniu objawów abstynencyjnych po odstawieniu opioidów wykorzystuje się z dużą skutecznością również inne substancje, m.in. półsyntetyczny opioidowy lek: buprenorfinę. Kodeina (ang. codeine ) jest opioidem o względnie słabym działaniu. Często przepisuje się ją na lekki ból, a w niektórych krajach można ją dostać bez recepty. Podobnie jak inne opioidy, może uzależniać. Nadużywanie leków na receptę zawierających opioidy staje się istotnie coraz większym światowym problemem (Aquina et al., 2009; Casati et al., 2012). Halucynogeny Halucynogeny (ang. hallucinogen ) należą do grupy substancji psychoaktywnych, które powodują głębokie zmiany w doświadczeniach na poziomie zmysłów i postrzegania ( ). W niektórych przypadkach zażywający je doznają intensywnych i jaskrawych halucynacji wzrokowych. Narkotyki z tej grupy często powodują halucynacje na poziomie doznań cielesnych (np. można mieć wrażenie, że jest się olbrzymem) oraz skutkują wypaczoną percepcją upływu czasu. Substancje halucynogenne często wywołują psychodeliczne, jaskrawe obrazy, podobne do przedstawionego na rysunku. (Źródło: modyfikacja pracy „new 1lluminati”/Flickr). W obrębie grupy halucynogeny różnią się od siebie niezwykle, jeśli chodzi o oddziaływanie na układy neuroprzekaźnikowe. Meskalina i LSD są agonistami serotoniny, natomiast Fencyklidyna (inaczej znana jako PCP - anielski pył) oraz ketamina (legalnie stosowana jako środek znieczulający) antagonistami receptora NMDA (N-metylo-D-asparaginowego). Przyjmuje się, że te substancje nie mają tak dużego potencjału uzależnieniowego jak inne typy substancji psychoaktywnych opisanych w tym podrozdziale. Jeśli chcesz dowiedzieć się więcej na temat najczęściej nadużywanych leków na receptę i narkotyków sprzedawanych na ulicy, zapoznaj się ze spisem powszechnie nadużywanych narkotyków Commonly Abused Drugs Chart oraz powszechnie nadużywanych lekarstw na receptę Commonly Abused Prescription Drugs Chart przygotowanym przez National Institute on Drug Abuse. Medyczne zastosowanie marihuany Choć w wielu miejscach na świecie posiadanie i używanie marihuany jest nielegalne, to w niektórych krajach europejskich i niektórych stanach USA dopuszcza się posiadanie małych ilości marihuany w celach rekreacyjnych ( ). W Polsce uprawianie, posiadanie i zażywanie tej substancji jest nielegalne z wyjątkiem wykorzystania jej w celach medycznych. Marihuana medyczna to marihuana przepisywana przez lekarza w celu leczenia konkretnego schorzenia. Na przykład osobom w trakcie chemioterapii przepisuje się marihuanę, aby stymulować zmniejszający się apetyt i zapobiegać nadmiernej utracie wagi, które są skutkami ubocznymi tej formy leczenia. Obiecująca wydaje się również skuteczność marihuany w terapii wielu innych chorób (Mather et al., 2013; Robson, 2014; Schicho i Storr, 2014). Sklepy z marihuaną medyczną stają się coraz powszechniejsze w Stanach Zjednoczonych. (Źródło: Laurie Avocado). Regulacje prawne odnośnie medycznego wykorzystania marihuany w Polsce obowiązują od 1 listopada 2017 roku. Mimo kilku lat działania ustawy dostęp do tego leku jest znacznie utrudniony z wielu powodów. Jednym z nich jest prawo polskie, które zakazuje produkcji marihuany na terenie kraju. W związku z tym produkty na bazie marihuany muszą być sprowadzane z innych krajów, w których jest ona uprawiana. Niezależnie od uwarunkowań prawnych w środowisku naukowym zdania na temat korzyści marihuany dla zdrowia są podzielone z powodu braku kontrolowanych badań na dużą skalę (Bostwick, 2012). Wielu naukowców w Stanach Zjednoczonych usiłuje wpłynąć na rząd federalny i skłonić go do złagodzenia obecnych regulacji dotyczących marihuany i jej klasyfikacji, by możliwe było prowadzenie szerszych badań nad efektami jej wykorzystania w medycynie (Aggarwal et al., 2009; Bostwick, 2012; Kogan i Mechoulam, 2007). W Polsce takie badania są rzadkością, głównie ze względu na obowiązujące regulacje prawne. Do niedawna Departament Sprawiedliwości Stanów Zjednoczonych aresztował osoby wykorzystujące marihuanę w celach medycznych i konfiskował jej zapasy. Jednakże w drugiej połowie 2013 roku wydał oświadczenie o tym, że powstrzyma się od kwestionowania stanowych regulacji dotyczących medycznego wykorzystania marihuany. Ta zmiana polityki może wynikać z rekomendacji środowisk naukowych i odzwierciedlać zmieniającą się świadomość opinii publicznej na temat tej substancji psychoaktywnej. Podobne sytuacje również zdarzają się w Polsce, choć w naszym kraju większym problemem jest utrudniony dostęp chorych do tego leku. Summary W piątym wydaniu Diagnostycznego i statystycznego podręcznika zaburzeń psychicznych ( DSM-5 ) zaburzenia wywołane użyciem substancji psychoaktywnych zdefiniowane są jako kompulsywne przyjmowanie substancji pomimo związanych z tym negatywnych konsekwencji. Ważnym aspektem tych zaburzeń jest psychiczne i fizyczne uzależnienie. Alkohol, barbiturany i benzodiazepiny wpływają depresyjnie na ośrodkowy układ nerwowy (OUN), a konkretnie na układ neuroprzekaźnikowy GABA. Kokaina, amfetaminy, katynony oraz MDMA należą do stymulantów, czyli pobudzają OUN i są agonistami dopaminy, podczas gdy nikotyna i kofeina reagują odpowiednio z acetylocholiną i adenozyną. Opiaty są silnymi narkotycznymi środkami przeciwbólowymi, oddziałującymi na endogenny opioidowy układ przekaźnikowy. Substancje halucynogenne powodują wyraźne zmiany w doświadczeniach zmysłowych i percepcyjnych. Halucynogeny wpływają na różne układy neuroprzekaźnikowe. Review Questions ________ występuje(ą) wtedy, gdy osoba używająca narkotyku potrzebuje coraz więcej danej substancji, by doświadczyć tych samych jej efektów. Objawy abstynencyjne Uzależnienie psychiczne Tolerancja Wychwyt zwrotny C Kokaina blokuje wychwyt zwrotny ________. GABA glutaminianu acetylocholiny dopaminy D ________ to termin odnoszący się do głodu narkotykowego. Uzależnienie psychiczne Antagonizm Agonizm Uzależnienie fizyczne A LSD wpływa na układ neuroprzekaźnikowy ________. dopaminy serotoniny acetylocholiny noradrenaliny B Critical Thinking Questions Negatywny wpływ alkoholu i nikotyny na ludzkie zdrowie jest bardzo dobrze udokumentowany. Z drugiej strony narkotyk taki jak marihuana uważany jest przez wielu specjalistów za bezpieczny, a nawet bezpieczniejszy niż te legalne substancje psychoaktywne. Jak myślisz, dlaczego w wielu częściach Stanów Zjednoczonych marihuana nadal jest nielegalna? Jednym z powodów takiej sytuacji może być kulturowo uwarunkowana akceptacja alkoholu i tytoniu oraz ich długa obecność w społeczeństwie. Na pewno w grę wchodzą również pieniądze. Uprawa tytoniu oraz produkcja alkoholu na dużą skalę są uregulowanymi i opodatkowanymi procesami. Biorąc pod uwagę, że marihuana jest rośliną łatwą w uprawie, trudniej będzie uregulować produkcję pozyskiwanych z niej substancji. Jednak podejście do marihuany się zmienia i jest prawdopodobne, że jej nielegalny status wkrótce ulegnie zmianie. Dlaczego tworzenie programów edukujących społeczeństwo na temat niebezpieczeństwa, jakie niesie ze sobą używanie produktów zawierających tytoń, jest tak samo ważne, jak programów pomagających rozstać się z nałogiem? Biorąc pod uwagę, że dostępne obecnie programy rozstawania się z nałogiem nie zawsze są skuteczne na dłuższą metę, programy profilaktyczne mogą stać się najlepszym pomysłem na przyszłość i rozwiązać ogromne problemy zdrowotne związane z używaniem tytoniu. Personal Application Question W pewnych okresach życia wiele osób eksperymentuje z różnego rodzaju substancjami psychoaktywnymi. Jak myślisz, co motywuje ludzi do używania substancji zmieniających świadomość? kodeina (ang. codeine ) opiat o stosunkowo niskiej sile działania często przepisywany w leczeniu bólu o niewielkim nasileniu trankwilizer ( środek uspokajający ) (ang. depressant ) lek, który służy do tłumienia aktywności ośrodkowego układu nerwowego stan euforii (ang. euphoric high ) uczucie intensywnego uniesienia i przyjemności m.in. po zażyciu leków halucynogen (ang. hallucinogen ) jedna z grup leków powodujących głębokie zmiany w doznaniach czuciowych i zmysłowych, często wywołuje realistyczne halucynacje metadon (ang. methadone ) opioid syntetyczny, który jest mniej euforogenny niż heroina i podobne leki lub narkotyki; stosowany do leczenia objawów odstawienia u użytkowników opiatów metamfetamina (ang. methamphetamine ) rodzaj amfetaminy, którą można wytworzyć z pseudoefedryny, leku sprzedawanego bez recepty; często produkowana i nadużywana opiat ( opioid ) (ang. opioid ) kategoria leków o silnych właściwościach przeciwbólowych; opiaty są produkowane z żywicy maku lekarskiego; ta kategoria obejmuje heroinę, morfinę, metadon i kodeinę uzależnienie fizyczne (ang. physical dependence ) zmiany w normalnym funkcjonowaniu organizmu spowodowane odstawieniem lub zaprzestaniem stosowania leku bądź narkotyku uzależnienie psychiczne (ang. psychological dependence ) potrzeba zażycia leku lub narkotyku, który może złagodzić cierpienie psychiczne; jej podłożem są w większym stopniu potrzeby emocjonalne niż fizyczne stymulant ( środek pobudzający ) (ang. stimulants ) środek pobudzający; lek, narkotyk lub inna substancja psychoaktywna, która zwiększa ogólny poziom aktywności neuronalnej; zalicza się do nich m.in.: kofeinę, nikotynę, amfetaminy i kokainę tolerancja na substancję (ang. tolerance ) zjawisko adaptacji organizmu do danej substancji; wiąże się z koniecznością zwiększenia ilości leku lub narkotyku w celu uzyskania pożądanego efektu odstawienie (ang. withdrawal ) zespół negatywnych objawów doświadczanych podczas odstawiania leków i narkotyków", "section": "Używanie substancji psychoaktywnych", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Inne stany świadomości Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować hipnozę i medytację Znaleźć podobieństwa i różnice między hipnozą i medytacją Stan naszej świadomości zmienia się podczas przechodzenia ze stanu czuwania do stanu snu. Na stan świadomości możemy również wpływać za pomocą substancji psychoaktywnych. W tym podrozdziale omówimy stany hipnotyczne i medytacyjne jako jeszcze inne przykłady odmiennych stanów świadomości. Hipnoza Hipnoza (ang. hypnosis ) to stan skrajnej koncentracji uwagi na sobie samym i zminimalizowania uwagi poświęcanej bodźcom zewnętrznym. Klinicysta, by zmienić myśli i postrzeganie pacjenta, może wykorzystać techniki relaksacyjne i sugestię. Hipnozę wykorzystuje się również do uzyskania dostępu do informacji, które uważa się za ukryte głęboko w pamięci. W przypadku osób szczególnie podatnych na sugestię hipnoza może okazać się niezwykle skuteczną techniką, a badania z wykorzystaniem neuroobrazowania potwierdzają, że stany hipnotyczne powodują zmiany w funkcjonowaniu mózgu (Del Casale et al., 2012; Guldenmund et al., 2012). W przeszłości do hipnozy podchodzono z podejrzliwością z powodu sposobu, w jaki przedstawiano ją w mediach oraz w popkulturze ( ). Ważne zatem, by dokonać rozróżnienia na hipnozę jako empirycznie potwierdzoną formę podejścia terapeutycznego oraz jako formę rozrywki. W przeciwieństwie do popularnego wyobrażenia, osoby poddające się hipnozie zwykle wyraźnie pamiętają to doświadczenie i kontrolują własne zachowanie. Hipnozę można wykorzystywać również do wzmocnienia wspomnień lub umiejętności, lecz tego rodzaju wzmocnienia przynoszą dość ograniczone rezultaty terapeutyczne (Raz, 2011). Popularne sposoby przedstawiania hipnozy doprowadziły do powstania błędnych wyobrażeń na jej temat. W jaki sposób hipnoterapeuta wprowadza pacjenta w stan hipnozy? Choć oczywiście w każdym procesie występują pewne różnice, poniższe cztery kroki wydają się niezmienne we wprowadzaniu osób w stan podatności na sugestię, który uważa się za element stanu hipnotycznego (National Research Council, 1994). Oto one: Uwagę osoby poddającej się hipnozie kieruje się na jedną rzecz, na przykład głos hipnoterapeuty lub tykający zegarek. Uczestnikowi tworzy się komfortowe warunki oraz poleca się, by się rozluźnił. Sugeruje mu się, by był otwarty na proces hipnozy, zaufał hipnoterapeucie i przestał się kontrolować. Zachęca się go również do wykorzystania w procesie własnej wyobraźni. Ludzie różnią się poziomem podatności na hipnozę, lecz z przeglądu obecnie dostępnych badań wynika, że większość osób wykazuje umiarkowaną podatność (Kihlstrom, 2013). Hipnoza w połączeniu z innymi technikami wykorzystywana jest z wielu terapeutycznych powodów i w pewnym stopniu jest skuteczna w leczeniu bólu, depresji oraz niepokoju, w rzucaniu palenia i redukcji masy ciała (Alladin, 2012; Elkins et al., 2012; Golden, 2012; Montgomery et al., 2012). Bada się również możliwość wykorzystania hipnozy w edukacji, sprawdzając, czy potęga sugestii może wpłynąć na procesy uczenia się (Wark, 2011). Ponadto istnieją pewne dowody na potwierdzenie faktu, że hipnoza może zmieniać procesy, które kiedyś uważano za automatyczne i pozostające poza świadomą kontrolą, takie jak czytanie (Lifshitz et al., 2013; Raz et al., 2002). Należy też wspomnieć o innych badaczach, według których automatyczność tych procesów pozostaje nienaruszona (Augustinova i Ferrand, 2012). Jak działa hipnoza? W odpowiedzi na to pytanie pojawiły się dwie teorie. Według jednej hipnoza jest stanem dysocjacji, natomiast druga postrzega ją jako wejście w pewną rolę społeczną. Zgodnie z poglądem dysocjacyjnym hipnoza jest wynikiem zdysocjowanego stanu świadomości, podobnego do tego z przykładu z prowadzeniem samochodu, gdy osoba wykonująca tę czynność jest tylko w minimalnym stopniu świadoma procesu kierowania pojazdem, gdyż jej świadomość skoncentrowana jest na czymś innym. Teorię tę wspierają badania Ernesta Hilgarda (1904-2001) z zakresu hipnozy i bólu. Podczas eksperymentów wprowadzał pacjentów w stan hipnozy i wkładał ich dłonie do zimnej wody. Uczestnikom mówiono następnie, że nie będą czuć bólu, ale mogą wcisnąć przycisk, jeśli jednak go poczują. Uczestnicy mówili, że nie czują bólu, lecz mimo to wciskali przycisk, co sugeruje dysocjację świadomości podczas stanu hipnotycznego (Hilgard i Hilgard, 1994). W społeczno-poznawczym podejściu do hipnozy pojawia się zupełnie inny tok myślenia. Zgodnie z nim ludzie w stanie hipnotycznym po prostu wchodzą w społeczną rolę osoby zahipnotyzowanej. Z rozdziału poświęconego psychologii społecznej dowiesz się, że to, jak zachowują się ludzie, może być uzależnione od ich przekonań na temat tego, jak w danej sytuacji powinno wyglądać ich zachowanie. Dla niektórych zachowania osoby zahipnotyzowanej nie wynikają z odmiennego lub zdysocjowanego stanu świadomości, lecz są rezultatem przyjmowania przekonań, jakie dana osoba żywi na temat danej roli społecznej. Medytacja Medytacja (ang. meditation ) to akt koncentracji na pojedynczym celu (np. oddechu lub powtarzalnym dźwięku) w celu zwiększenia uważności. Podczas gdy hipnoza jest wynikiem interakcji terapeuty oraz osoby poddawanej leczeniu, medytację można wykonywać samemu. Często jednak osoby pragnące nauczyć się medytować przechodzą trening, podczas którego uczą się technik pozwalających na wejście w stan medytacji. Stan medytacji jest stanem odmiennej świadomości, co pokazują wykresy EEG osób rozpoczynających swoją przygodę z medytacją, jednakże wzorce fal mózgowych osób zaawansowanych w medytacji mogą reprezentować rzadkie stany świadomości (Fell, Axmacher i Haupt, 2010). Istnieją różne techniki medytacyjne, można jednak zaryzykować stwierdzenie, że nadrzędnym celem medytacji jest oczyszczenie umysłu w celu osiągnięcia stanu odprężenia i uważności (Chen et al., 2013; Lang et al., 2012). Ostatnimi czasy popularność zdobywa medytacja mindfulness . W jednej z jej odmian uwaga medytującego skierowana jest na proces wewnętrzny lub znajdujący się na zewnątrz przedmiot (Zeidan et al., 2012). Techniki medytacyjne czerpią z doświadczeń duchowych i religijnych ( ). Badania pokazują, że medytacja pomaga obniżyć ciśnienie krwi, a według American Heart Association w połączeniu z nieco bardziej tradycyjnymi metodami leczenia można ją wykorzystywać w radzeniu sobie z nadciśnieniem tętniczym, choć nie istnieją wystarczające dane do stworzenia formalnych zaleceń (Brook et al., 2013). Wydaje się, że podobnie jak hipnoza, medytacja jest pomocna w zarządzaniu stresem, poprawie jakości snu (Caldwell et al., 2010), leczeniu zaburzeń nastroju i lękowych (Chen et al., 2013; Freeman et al., 2010; Vøllestad et al., 2012) oraz uwalnianiu się od bólu (Reiner et al., 2013). (a) Posąg medytującego Buddy jako symbol jednej z wielu religii i tradycji duchowych, w których medytacja odgrywa istotną rolę. (b) Osoby praktykujące medytację mogą doświadczać zmienionych stanów świadomości. (Źródło: (a) modyfikacja pracy Jima Eplera; (b) modyfikacja pracy Caleba Roenigka). Jesteś zestresowany? Myślisz, że medytacja mogłaby ci pomóc? Ten instruktażowy film pokazuje, jak wykorzystać techniki medytacji buddyjskiej do zmniejszania stresu. Natomiast w tym filmie przedstawione zostały wyniki badania z wykorzystaniem neuroobrazowania u osób praktykujących szczególne techniki medytacji mindfulness. Summary Hipnoza to silne skupienie uwagi na sobie, podczas którego następują sugerowane przez inną osobę zmiany zachowania i doświadczania rzeczywistości. Z kolei medytacja to głębokie odprężenie przy jednoczesnej koncentracji uwagi. Zarówno stan hipnotyczny, jak i medytacyjny mogą być odmiennymi stanami świadomości potencjalnie wykorzystywanymi do leczenia różnych zaburzeń fizycznych i psychicznych. Review Questions ________ najbardziej skuteczna jest u osób, które są podatne na sugestię. Hipnoza Medytacja Uważna świadomość Terapia kognitywna A ________ ma swoje korzenie w praktyce religijnej/duchowej. Hipnoza Medytacja Terapia kognitywna Terapia behawioralna B Medytacja może być pomocna w ________. radzeniu sobie z bólem kontrolowaniu stresu leczeniu grypy radzeniu sobie z bólem i kontrolowaniu stresu D Z badań wynika, że ________ może wpływać na procesy kognitywne takie jak uczenie się. hipnoza medytacja uważna świadomość progresywna relaksacja A Critical Thinking Questions Co można by zyskać dzięki prowadzeniu badań w kontekście potencjalnych korzyści, jakie dla zdrowia może mieć hipnoza? Koszty leczenia oraz leków nieustannie rosną. Jeśli można by rozwinąć alternatywne, względnie niedrogie metody radzenia sobie z różnego rodzaju chorobami i zaburzeniami, korzyści byłyby niepomierne. Jakiego rodzaju badania byłyby najbardziej przekonujące dla udowodnienia skuteczności medytacji w leczeniu niektórych rodzajów fizycznych i psychicznych zaburzeń? Najbardziej przekonującym rozwiązaniem byłyby badania z podwójnie ślepą próbą. Minimalnym wymaganiem dla badania, które mogłoby przynieść obiektywne informacje, byłaby randomizacja (randomizowane badanie kliniczne) (randomised controlled trial - RTC). Personal Application Question Jaka sytuacja skłoniłaby cię do rozważenia hipnozy i/lub medytacji jako potencjalnego sposobu leczenia? Jaki rodzaj informacji należy zgromadzić przed podjęciem decyzji dotyczącej wykorzystania tych metod? hipnoza (ang. hypnosis) stan wyjątkowego skupienia uwagi na określonych bodźcach z pominęciem innych bodźców zewnętrznych, któremu towarzyszy okresowe zawieszenie możliwości krytycznego osądu sytuacji medytacja (ang. meditation) stan relaksu przy zachowaniu świadomości i skupienia umysłu", "section": "Inne stany świadomości", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Przechodzień na ulicy przedstawionej na fotografii podlega oddziaływaniu wielu bodźców, które przetwarza i odczuwa jako liczne doznania zmysłowe. (Źródło: modyfikacja pracy Cory'ego Zankera). Wyobraź sobie, że stoisz na rogu ulic. Dostrzegasz wszechobecny ruch samochodów i ludzi udających się w sobie tylko znanych kierunkach, słyszysz dźwięk melodii wygrywanej przez ulicznego grajka lub sygnał klaksonu rozlegający się w oddali, dociera do ciebie zapach spalin i jedzenia sprzedawanego w pobliżu oraz czujesz twardość chodnika pod stopami. Polegamy na naszych układach zmysłowych, które przekazują nam istotne informacje o otoczeniu. Wykorzystujemy je, aby poruszać się w środowisku i wchodzić z nim w interakcje, aby znaleźć pożywienie, schronienie, podtrzymywać stosunki towarzyskie i unikać potencjalnie niebezpiecznych sytuacji. 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{"text": "Czym różnią się wrażenia zmysłowe i spostrzeganie Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Odróżnić doznanie od percepcji Opisać pojęcia progu bezwzględnego i progu różnicowego Omówić rolę, jaką w percepcji odgrywają uwaga, motywacja i adaptacja sensoryczna Co to znaczy, że „coś czujemy”? Receptory zmysłowe to wyspecjalizowane neurony, które reagują na określone rodzaje bodźców. Gdy informacje zmysłowe zostaną odebrane przez receptor zmysłowy, pojawia się wrażenie zmysłowe (ang. sensation ). Na przykład światło, które wpada do oka, wywołuje zmiany chemiczne w komórkach wyściełających tylną część oka. Komórki te wysyłają komunikaty w postaci potencjałów czynnościowych (o czym można było dowiedzieć się z rozdziału o biopsychologii) do ośrodkowego układu nerwowego. Przekształcenie energii bodźca zmysłowego w potencjał czynnościowy to tak zwana transdukcja ( przetwarzanie ). Wrażenia zmysłowe Zapewne już od czasów szkoły podstawowej wiesz, że mamy pięć zmysłów: wzrok, słuch, węch, smak i dotyk. Okazuje się jednak, że taki podział jest nadmiernym uproszczeniem. Oprócz wymienionych powyżej mamy także układy zmysłowe, które przekazują informacje o równowadze (układ przedsionkowy), położeniu ciała i ruchu ( propriocepcja i kinestezja ), bólu ( nocycepcja ) i temperaturze ( termocepcja ). Wrażliwość danego układu zmysłowego na odpowiedni bodziec można wyrazić jako próg absolutny. Próg absolutny (ang. absolute threshold ) to minimalne natężenie bodźca, przy którym jest on wykrywany w 50% przypadków. Można to sobie też wyobrazić, zadając pytanie, jak przyćmione może być światło lub jak cichy może być dźwięk, aby w połowie przypadków nadal mogły zostać dostrzeżone. Wrażliwość naszych receptorów zmysłowych bywa niezwykła. Oszacowano, że w pogodną noc najbardziej wrażliwe komórki zmysłowe w tylnej części oka potrafią wykryć płomień świecy z odległości około 48 kilometrów (30 mil) (Okawa i Sampath, 2007). W ciszy komórki włoskowate (komórki receptorowe w uchu wewnętrznym) mogą wykryć tykanie zegarka z odległości około 6 metrów (20 stóp) (Galanter, 1962). Wiadomość, która dociera na poziomie poniżej tego progu, to wiadomość podprogowa. Odbieramy ją, ale nie jesteśmy jej świadomi. To tak zwane przekazy podprogowe (ang. subliminal message ). Przez lata wiele spekulowano na temat wykorzystania komunikatów podprogowych w reklamie, muzyce rockowej i nagraniach samomotywacyjnych. W warunkach laboratoryjnych wykazano, że ludzie potrafią przetwarzać i reagować na informacje poza świadomością. Ale to nie znaczy, że jesteśmy tym wiadomościom posłuszni jak zombie; w rzeczywistości ukryte przekazy mają niewielki wpływ na zachowanie poza laboratorium badawczym (Kunst-Wilson i Zajonc, 1980; Rensink, 2004; Nelson, 2008; Radel et al., 2009; Loersch et al., 2013). Progi absolutne zwykle mierzy się w ściśle kontrolowanych warunkach, w sytuacjach optymalizowanych pod kątem wrażliwości na bodziec. W niektórych przypadkach bardziej interesuje nas, jaka zmiana bodźca jest potrzebna, aby można było wykryć tę różnicę. Nazywamy to ledwie dostrzegalną różnicą (ang. just noticeable difference (JND) ) lub progiem różnicy (ang. difference threshold ). W przeciwieństwie do progu absolutnego próg różnicy zmienia się w zależności od natężenia bodźca. Na przykład wyobraź sobie, że jesteś w bardzo ciemnej sali kinowej. Jeśli ktoś z widowni otrzyma wiadomość na komórkę, co sprawi, że ekran telefonu się zaświeci, to jest duża szansa, że wiele osób zauważy zmianę oświetlenia na sali. Jednak gdy ta sama sytuacja wydarzy się na jasno oświetlonym stadionie w czasie meczu, wówczas bardzo niewiele osób to zauważy. Jasność ekranu telefonu nie zmienia się, ale możliwość jej wykrycia zmienia się w zależności od kontekstu. Ernst Heinrich Weber (1795-1878) stworzył tę teorię zmiany progu różnicy w latach 30. XIX wieku i jest ona znana jako „prawo Webera”: ledwie dostrzegalna różnica pomiędzy bodźcami jest stałym ułamkiem natężenia pierwotnego bodźca, co pokazuje powyższy przykład. Spostrzeganie Nasze receptory zmysłowe stale gromadzą informacje ze środowiska. Jednak to, jak interpretujemy odebrane informacje, wpływa na nasze interakcje ze światem. Spostrzeganie (percepcja) (ang. perception ) odnosi się do sposobu, w jaki informacje zmysłowe są organizowane, interpretowane i świadomie doświadczane. Postrzeganie obejmuje przetwarzanie zarówno oddolne, jak i odgórne. Przetwarzanie oddolne (ang. bottom-up processing ) odnosi się do faktu, że percepcja budowana jest na bazie informacji zmysłowych. Z drugiej strony, na interpretację informacji zmysłowych wpływają nasza wiedza, doświadczenia i myśli. To nazywamy przetwarzaniem odgórnym (ang. top-down processing ). Pokazano to na (Egeth i Yantis, 1997; Fine i Minnery, 2009; Yantis i Egeth, 1999). Przetwarzanie oddolne zachodzi, gdy odbieramy podstawowe cechy zmysłowe bodźców i dokonujemy ich integracji. Przetwarzanie odgórne i oddolne Wyobraź sobie, że siedzisz z kilkorgiem przyjaciół w zatłoczonej restauracji, jedząc lunch i rozmawiając. Jest bardzo głośno i koncentrujesz swoją uwagę na twarzy przyjaciółki, aby usłyszeć, co mówi. Nagle rozlega się dźwięk tłuczonego szkła i uderzenia metalowych naczyń o podłogę. To kelner upuścił dużą tacę. Chociaż twoja uwaga skupiała się na jedzeniu i rozmowie, na pewno te głośne dźwięki przebiły się przez twoje filtry uwagowe i przyciągnęły twoją uwagę. Nie było wyboru: trzeba było je zauważyć. Pochwycenie uwagi zostało spowodowane przez hałas z zewnątrz, ma zatem charakter oddolny. Z drugiej strony procesy typu góra-dół są na ogół ukierunkowane na cel, powolne, zamierzone, wymagające wysiłku i pozostające pod kontrolą (Fine i Minnery, 2009; Miller i Cohen, 2001; Miller i D'Esposito, 2005). Na przykład jeśli wypadło ci z pamięci, gdzie masz klucze, to jak zaplanujesz ich poszukiwania? Jeśli są one na żółtym breloczku, zapewne zaczniesz szukać czegoś o określonym rozmiarze w kolorze żółtym na blacie, stoliku kawowym itd. Nie będziesz szukać czegoś żółtego na wiatraku na suficie, gdyż wiesz, że klucze na ogół nie znajdują się w takich miejscach. Poszukiwanie żółtego przedmiotu o określonym rozmiarze w niektórych miejscach, a nie w innych ma charakter odgórny - jest pod twoją kontrolą i wynika z twojego doświadczenia. Innymi słowy: wrażenia zmysłowe to proces fizyczny, spostrzeganie zaś to proces psychologiczny. Na przykład gdy wchodzisz do kuchni i czujesz słodki zapach piekących się w piekarniku bułeczek cynamonowych, za wrażenia zmysłowe odpowiadają receptory węchowe wykrywające zapach cynamonu, ale spostrzeganie to na przykład „Mmm, pachnie jak bułeczki, które babcia piekła, gdy wszyscy zjeżdżali się na święta”. Choć dla spostrzegania niezbędne są wrażenia zmysłowe, to nie wszystkie odbierane przez narządy zmysłów wrażenia prowadzą do spostrzegania. W rzeczywistości często nie spostrzegamy bodźców, które pozostają względnie stałe przez długi czas. Nazywamy to adaptacją sensoryczną (ang. sensory adaptation ). Wyobraź sobie, że wchodzisz do sali ze starym zegarem ściennym. Na początku słyszysz jego tykanie, ale gdy zaczynasz rozmawiać z innymi studentami lub słuchasz, jak profesor wita grupę, twoja świadomość przestaje rejestrować tykanie. Zegar nadal tyka i ta informacja wciąż wpływa na receptory twojego układu słuchowego. Fakt, że już nie spostrzegasz dźwięku, to właśnie adaptacja sensoryczna – pokazuje to, że wrażenia zmysłowe i spostrzeganie to różne zjawiska, choć powiązanie między nimi jest bliskie. Istnieje pewien czynnik, który wpływa na wrażenia zmysłowe i spostrzeganie: to uwaga. Uwaga odgrywa istotną rolę w określaniu, co jest wrażeniem zmysłowym, a co jest spostrzegane. Wyobraź sobie, że jesteś na przyjęciu, wokół rozbrzmiewają muzyka, rozmowy i śmiech. Wdajesz się w ciekawą dyskusję z przyjacielem i zupełnie nie zwracasz uwagi na szum wokół. Gdyby ktoś przerwał wam rozmowę i zapytał o piosenkę, która właśnie się skończyła, najpewniej nie będziesz w stanie odpowiedzieć na to pytanie. Sprawdź, jak działa ślepota pozauwagowa, rozwiązując ten test uwagi selektywnej Simonsa i Chabrisa (1999). Jedna z najciekawszych demonstracji znaczenia uwagi w postrzeganiu otoczenia pochodzi ze słynnego badania przeprowadzonego przez Daniela Simonsa i Christophera Chabrisa (1999). W tym badaniu uczestnicy oglądali trwające około minuty wideo z ludźmi ubranymi na biało i czarno, podającymi sobie piłkę do koszykówki. Uczestników poproszono, aby policzyli, ile razy drużyna w białych strojach podała piłkę. W trakcie filmu między zawodnikami chodziła osoba ubrana w czarny strój goryla. Prawie połowa osób, które oglądały film, jej nie zauważyła, choć była wyraźnie widoczna przez dziewięć sekund. Uczestnicy byli tak skupieni na liczeniu podań białej drużyny, że zignorowali dopływ pozostałych informacji wzrokowych. Niezauważenie czegoś, co jest doskonale widoczne, z powodu braku uwagi to tak zwana ślepota pozauwagowa (ang. inattentional blindness ). W podobnym eksperymencie naukowcy badali ślepotę pozauwagową, prosząc uczestników o obserwowanie obrazów poruszających się po ekranie komputera. Badani mieli skupiać się albo na białych, albo na czarnych obiektach, ignorując drugi kolor. Gdy na ekranie pojawił się czerwony krzyż, mniej więcej jedna trzecia uczestników badania go nie zauważyła ( ) (Most et al., 2000). Prawie jedna trzecia uczestników badania nie zauważyła czerwonego krzyża na ekranie, ponieważ skupiali się na czarnych lub białych figurach. (Źródło: Cory Zanker). Motywacja także może wpływać na spostrzeganie. Pewnie znasz taką sytuację: czekasz na bardzo ważny telefon, idziesz pod prysznic i wydaje ci się, że słyszysz dzwonek, ale okazuje się, że telefon wcale nie dzwonił. Jeśli tak, to wiesz, jak motywacja, aby wykryć istotny bodziec, może zmienić naszą zdolność do odróżnienia faktycznego bodźca zmysłowego od szumu tła. O zdolności identyfikacji bodźca występującego w szumie mówi tak zwana teoria detekcji sygnałów (ang. signal detection theory ). Pozwala ona także wyjaśnić, dlaczego matkę budzi najcichsze kwilenie dziecka, ale nie inne dźwięki, które słyszy podczas snu. Teoria detekcji sygnałów ma praktyczne zastosowania na przykład dla zwiększania dokładności kontrolerów ruchu lotniczego. Kontrolerzy muszą być w stanie wykryć samoloty wśród wielu sygnałów (pulsujących punktów) widocznych na ekranie radaru i monitorować te samoloty, gdy poruszają się po niebie. W rzeczywistości oryginalna praca badacza, który stworzył teorię detekcji sygnałów, skupiała się na poprawie czujności kontrolerów ruchu lotniczego na pulsujące sygnały radaru oznaczające samoloty (Swets, 1964). Na spostrzeganie mogą też wpływać nasze przekonania, wartości, uprzedzenia, oczekiwania i doświadczenie życiowe. Jak okaże się później w tym rozdziale, osoby pozbawione widzenia obuocznego w krytycznych okresach rozwoju mają problem ze spostrzeganiem głębi (Fawcett et al., 2005). Wspólne doświadczenia ludzi z danym kontekstem kulturowym mogą mieć duży wpływ na spostrzeganie. Na przykład Marshall Segall, Donald Campbell oraz Melville Herskovits (1963) opublikowali wyniki wielonarodowego badania, w którym pokazali, że osoby z kultur zachodnich są bardziej podatne na określone rodzaje złudzeń wzrokowych niż osoby z kultur niezachodnich, a w stosunku do niektórych innych złudzeń jest odwrotnie. Jednym z takich złudzeń, na które bardziej podatni są ludzie z kultur zachodnich, jest złudzenie Müllera-Lyera (ang. Muller-Lyer illusion ) ( ): wydaje się, że linie mają różne długości, ale tak naprawdę są tak samo długie. W złudzeniu Müllera-Lyera wydaje się, że linie mają różne długości, choć tak naprawdę są identyczne. (a) Strzałki na końcach linii sprawiają, że linia po prawej stronie wydaje się dłuższa, choć w rzeczywistości linie mają taką samą długość. (b) Po umieszczeniu na obrazie trójwymiarowym linia po prawej stronie może wydawać się dłuższa, choć obie linie mają taką samą długość. Te różnice w spostrzeganiu były spójne z różnicami w rodzajach cech środowiska, jakie ludzie z danego kontekstu kulturowego napotykają w życiu codziennym. Na przykład ludzie z kultur zachodnich doświadczają kontekstu budynków z prostymi liniami, co w badaniu Segalla nazwano światem stolarskim (ang. carpentered world ) – zbudowanym z prostopadłościanów (Segall et al., 1966). Dla odmiany ludzie z kultur niezachodnich, bez postrzegania „stolarskiego”, na przykład lud Zulusów z Południowej Afryki, gdzie wioski składają się z okrągłych chat ustawionych w okręgi, są mniej podatni na to złudzenie (Segall et al., 1999). Czynniki kulturowe wpływają nie tylko na wzrok. Badania wykazały, że zdolność identyfikowania zapachu i tego, w jakim stopniu jest on przyjemny, różni się dla różnych kultur (Ayabe-Kanamura et al., 1998). Dzieci opisywane przez psychologów jako „poszukiwacze wrażeń” z większym prawdopodobieństwem preferowały intensywne smaki wytrawne (Liem et al., 2004), co sugeruje, że niektóre aspekty osobowości mogą wpływać na spostrzeganie, będące podstawą preferencji. Co więcej, osoby z pozytywnym podejściem do potraw ze zmniejszoną zawartością tłuszczu z większym prawdopodobieństwem ocenią wyżej smak potraw oznaczonych jako potrawy z obniżoną zawartością tłuszczu niż osoby, które podchodzą mniej pozytywnie do takich produktów (Aaron et al., 1994). Podsumowanie Wrażenia zmysłowe występują, gdy receptory wykryją bodziec zmysłowy. Spostrzeganie wiąże się z organizacją, interpretacją i świadomym doświadczaniem wrażeń zmysłowych. Wszystkie układy zmysłowe mają progi absolutne i różnicowe, oznaczające odpowiednio minimalne natężenie bodźca niezbędne do jego wykrycia w 50% przypadków oraz różnicy między nimi. Adaptacja sensoryczna, uwaga selektywna i teoria detekcji sygnałów mogą pomóc wyjaśnić, co jest spostrzegane, a co nie. Dodatkowo na nasze spostrzeganie wpływa wiele czynników, w tym motywacja, przekonania, wartości, uprzedzenia, kultura i doświadczenie życiowe. Pytania sprawdzające ________ odnosi się do minimalnej ilości energii bodźca niezbędnej do jego wykrycia w 50% przypadków. Próg absolutny Próg różnicowy Ledwo zauważalna różnica Transdukcja A Zmniejszona wrażliwość na niezmienny bodziec to ________. transdukcja próg różnicowy adaptacja sensoryczna ślepota pozauwagowa C ________ wiąże się z przekształceniem energii bodźca czuciowego w impulsy nerwowe. Adaptacja sensoryczna Ślepota pozauwagowa Próg różnicowy Transdukcja D ________ zachodzi, gdy informacje zmysłowe są organizowane, interpretowane i świadomie doświadczane. Wrażenie zmysłowe Spostrzeganie Transdukcja Adaptacja czuciowa B Myśl krytycznie Nie wszystko, co dociera do naszych zmysłów, postrzegamy. Jak sądzisz, czy możliwe jest spostrzeganie bez wrażeń zmysłowych? To dobry moment, aby studenci pomyśleli o doniesieniach o percepcji pozazmysłowej. Innym ciekawym tematem do rozważenia byłoby zjawisko kończyny fantomowej opisywane przez osoby po amputacji. Podaj własny przykład, jak może zmieniać się ledwie zauważalna różnica w zależności od natężenia bodźca. Jest wiele możliwych przykładów, choćby wykrywanie różnicy masy. Jeśli dwie osoby trzymają standardowe koperty, z których jedna zawiera małą monetę, a druga jest pusta, to różnicę masy można łatwo zauważyć, ale jeśli te koperty włożymy do dwóch ważących tyle samo książek, to o wiele trudniej będzie wskazać cięższą kopertę. Pytanie do pracy własnej Pomyśl o sytuacji, gdy coś umknęło twojej uwadze, bo skupiona ona była na czymś innym. Czy zaskoczyło cię to przeoczenie, gdy ktoś na nie wskazał? próg absolutny (ang. absolute threshold ) minimalna ilość energii bodźca, która musi być obecna, aby bodziec został wykryty w 50% przypadków przetwarzanie oddolne (ang. bottom-up processing ) proces percepcyjny budowany z danych zmysłowych ślepota pozauwagowa (ang. inattentional blindness ) spowodowane brakiem uwagi niedostrzeżenie czegoś, co jest doskonale widoczne próg różnicy ( ledwie dostrzegalna różnica ) (ang. just noticeable difference (JND)) najmniejsza zmiana bodźca wymagana do wykrycia różnicy spostrzeganie ( percepcja ) (ang. perception ) sposób, w jaki są interpretowane i świadomie doświadczane informacje zmysłowe wrażenia zmysłowe (ang. sensation ) proces przekazywania informacji zmysłowych zapoczątkowany wykryciem ich przez receptor sensoryczny adaptacja sensoryczna (ang. sensory adaptation ) zanik spostrzegania bodźców, które przez dłuższy czas się nie zmieniają teoria detekcji sygnałów (ang. signal detection theory ) zmiana w zdolności wykrywania bodźców zależna od aktualnego stanu umysłu przekaz podprogowy (ang. subliminal message ) informacja pojawiająca się poniżej progu świadomości przetwarzanie odgórne (ang. top-down processing ) na interpretację wrażeń zmysłowych wpływa dostępna wiedza, doświadczenia i myśli transdukcja ( przetwarzanie ) (ang. transduction ) zamiana energii bodźców zmysłowych na potencjał czynnościowy", "section": "Czym różnią się wrażenia zmysłowe i spostrzeganie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Fale i długości fal Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać ważne cechy fizyczne form falowych Pokazać, jak właściwości fizyczne fal świetlnych są powiązane z doświadczeniem percepcyjnym Pokazać, jak właściwości fizyczne fal dźwiękowych są powiązane z doświadczeniem percepcyjnym Bodźce wzrokowe i słuchowe docierają do nas w postaci fal. Choć te dwa rodzaje bodźców bardzo różnią się pod względem budowy, to przebiegi fal mają pewne cechy wspólne, które są szczególnie ważne dla spostrzegania wzrokowego i słuchowego. W tym rozdziale opiszemy fizyczne własności fal, a także związane z nimi doświadczenia percepcyjne. Amplituda i długość fali Dwie fizyczne charakterystyki fali to amplituda i długość fali ( ). Amplituda (ang. amplitude ) fali to odległość od linii środkowej do górnego punktu grzbietu (ang. peak ) lub od linii środkowej do dolnego punktu wgłębienia ( doliny (ang. trough ). Długość fali (ang. wavelength ) odnosi się do długości fali mierzonej od jednego szczytu do drugiego. Amplituda, czyli wysokość fali, jest mierzona od linii środkowej do szczytu (grzbietu) albo od linii środkowej do wgłębienia (doliny). Długość fali jest mierzona od szczytu do szczytu. Długość fali bezpośrednio wiąże się z częstotliwością danego przebiegu fal. Częstotliwość (ang. frequency ) określa, ile fal przechodzi przez dany punkt w określonym czasie i często wyrażana jest w hercach (ang. hertz ) (Hz), czyli cyklach na sekundę. Fale o większej długości mają mniejszą częstotliwość, a fale o mniejszej długości mają większą częstotliwość ( ). Fale o różnych długościach i powiązanych z nimi częstotliwościach. Czerwona fala na górze ilustracji ma największą długość (i najniższą częstotliwość). Fala na dole ilustracji ma najmniejszą długość (i najwyższą częstotliwość). Fale świetlne Światło widzialne (ang. visible spectrum ) to część większego widma elektromagnetycznego (ang. electromagnetic spectrum ), którą możemy zobaczyć. Jak pokazuje , widmo elektromagnetyczne obejmuje całe promieniowanie elektromagnetyczne, jakie występuje w środowisku, w tym promieniowanie gamma, fale rentgenowskie, światło ultrafioletowe, widzialne, podczerwone, mikrofale i fale radiowe. Widmo widzialne dla człowieka to fale o długości w zakresie od 380 do 740 nm. To bardzo niewiele, ponieważ nanometr (nm) to miliardowa część metra. Inne gatunki zwierząt mogą wykrywać inne zakresy widma elektromagnetycznego. Na przykład pszczoły widzą promieniowanie ultrafioletowe (Wakakuwa et al., 2007), a niektóre węże, jak grzechotniki, oraz niektóre owady wykrywają promieniowanie podczerwone. Światło widoczne dla ludzi to jedynie niewielka część widma elektromagnetycznego. U ludzi długość fali świetlnej wiąże się ze spostrzeganiem koloru ( ). W obrębie widma widzialnego doświadczanie koloru czerwonego jest wywoływane w naszym oku i mózgu przez fale długości około 640 nm. Zieleń jest falą około 500 nm, a fale mające około 450 nm długości rejestrujemy jako barwę fioletową. Fal dłuższych niż czerwona oraz fal krótszych niż fioletowa po prostu nie widzimy. Doświadczanie jasności i natężenia barw przez człowieka jest procesem dość skomplikowanym i opisywanym jakościowo. Można je powiązać z amplitudą fali (im większa amplituda fal, tym jaśniejszy widzimy obraz), jednak będzie to zależność opisana z dużym przybliżeniem. Precyzyjny termin definiujący to zjawisko ilościowo jest używany przez inżynierów i nosi nazwę „natężenia światła”; stosuje się go np. do opisu światła emitowanego przez lasery wykorzystywane w przemyśle. Różne długości fali świetlnej wiążą się z postrzeganiem różnych kolorów. (Źródło: modyfikacja pracy Johannesa Ahlmanna). Fale dźwiękowe Podobnie jak w przypadku fal świetlnych nasze postrzeganie dźwięku jest ściśle związane z fizycznymi właściwościami fal dźwiękowych. Fale dźwiękowe o wysokiej częstotliwości są postrzegane jako dźwięki wysokie, fale dźwiękowe o niskiej częstotliwości zaś jako niskie dźwięki. Zakres słyszalny częstotliwości dźwięku wynosi 20-20 000 Hz, przy czym najbardziej wrażliwi jesteśmy na dźwięki ze środka tego zakresu. Podobnie jak w przypadku światła widzialnego zakres słyszalności fal dźwiękowych jest różny dla różnych gatunków zwierząt. Na przykład kurczęta mają bardzo ograniczony zakres słyszalności: od 125 do 2000 Hz. Myszy słyszą dźwięki o częstotliwości od 1000 do 91 000 Hz, a wieloryby bieługi od 1000 do 123 000 Hz. Psy i koty domowe słyszą dźwięki w zakresie odpowiednio 70–45 000 Hz i 45–64 000 Hz (Strain, 2003). Głośność konkretnego dźwięku jest blisko powiązana z amplitudą fali dźwiękowej. Wyższe amplitudy oznaczają głośniejszy dźwięk. Głośność mierzona jest w decybelach (ang. decibel ) (dB), w logarytmicznej skali natężenia dźwięku. Typowa rozmowa odpowiada głośności około 60 dB; koncert rockowy może mieć głośność nawet 120 dB ( ). Szept w odległości 1,5 m lub szum liści to dźwięk na granicy naszego zakresu słyszalności; dźwięki takie jak odgłosy klimatyzacji okiennej, normalnej rozmowy czy nawet ruchu na ulicy są w zakresie tolerancji. Jednak w zakresie od około 80 dB do 130 dB istnieje ryzyko uszkodzenia słuchu: to dźwięk robota kuchennego, kosiarki elektrycznej, ciężarówki (z odległości 7,5 m), przejazdu metra (z odległości 6 m), muzyki rockowej na żywo i pracującego młota pneumatycznego. Wartość progowa wywołująca ból to około 130 dB, jest to dźwięk wydawany przez startujący odrzutowiec lub wystrzał z rewolweru (Dunkle, 1982). Rysunek przedstawia głośność często występujących dźwięków. (Źródło „samoloty”: modyfikacja pracy Maxa Pfandla; źródło „koncert”: modyfikacja pracy Christiana Holméra; źródło „blender”: modyfikacja pracy Jo Brodie; źródło „samochód”: modyfikacja pracy NRMA New Cars/Flickr; źródło „rozmowa”: modyfikacja pracy Joi Ito; źródło „liście”: modyfikacja pracy Aurelijusa Valeiša). Nasza percepcja głośności konkretnej fali dźwiękowej zależy od jej amplitudy, czyli im wyższa amplituda, tym głośniejszy jest dźwięk. Gdy jednak będziemy słuchać różnych dźwięków, które mają identyczną amplitudę, okaże się, że jedne dźwięki odbieramy jako głośniejsze, a inne jako cichsze. Ten krótki film pokazuje, jak częstotliwość i amplituda wpływają na nasze postrzeganie głośności dźwięku. Oczywiście różne instrumenty muzyczne mogą zagrać ten sam ton z taką samą głośnością, a mimo to brzmią zupełnie inaczej. Nazywamy to tembrem dźwięku. Tembr (ang. timbre ) odnosi się do czystości dźwięku i wpływa na niego złożona interakcja częstotliwości, amplitudy i czasu nadejścia fal dźwiękowych. Summary Światło i dźwięk to fale o określonych właściwościach fizycznych, takich jak amplituda, długość. Długość fali i częstotliwość są odwrotnie proporcjonalne, czyli dłuższe fale mają mniejszą częstotliwość, a krótsze fale mają większą częstotliwość. W układzie wzrokowym długość fali światła wiąże się z kolorem, a amplituda z jasnością. W układzie słuchowym częstotliwość dźwięku wiąże się z jego wysokością, a amplituda z głośnością. Review questions Która z poniższych opcji prawidłowo dopasowuje nasze postrzeganie kolorów, gdy przechodzimy od mniejszej do większej długości fali? czerwony – pomarańczowy – żółty żółty – pomarańczowy – czerwony żółty – czerwony – pomarańczowy pomarańczowy – żółty – czerwony B Światło widzialne to światło w zakresie około ________. 400–700 nm 200–900 nm 20–20 000 Hz 10–20 dB A Widmo elektromagnetyczne obejmuje ________. fale radiowe promieniowanie rentgenowskie światło podczerwone wszystkie powyższe D Zakres słyszalny dla ludzi to ________. 380–740 Hz 10–20 dB mniej niż 300 dB 20–20 000 Hz D Jakość dźwięku, na którą wpływa częstotliwość, amplituda i czas dotarcia fali dźwiękowej, to ________. wysokość ton elektromagnetyzm tembr D Critical thinking Jak sądzisz, dlaczego różne gatunki zwierząt mają odmienne zakresy wrażliwości na bodźce wzrokowe i słuchowe w porównaniu z ludźmi? Różne gatunki zwierząt ewoluowały tak, aby możliwie najlepiej dopasować się do swoich nisz środowiskowych. Na przykład pszczoły potrzebują do przeżycia roślin kwitnących. Widzenie w świetle ultrafioletowym może być pomoce w lokalizowaniu kwiatów. Promieniowanie ultrafioletowe wskazuje na środek kwiatu, gdzie znajdują się pyłek i nektar. Podobne argumenty można wysunąć w przypadku widzenia w podczerwieni u węży (które dzięki tej zdolności wykrywają obecność swoich ofiar), a także dla różnic w zakresach słyszalnych u gatunków opisanych w tym rozdziale. Jak sądzisz, dlaczego ludzie są szczególnie wrażliwi na dźwięki o częstotliwości przypadającej na środek zakresu częstotliwości słyszalnych? Ponownie można tu wysunąć argument ewolucyjny. Biorąc pod uwagę fakt, że ludzki głos przypada na środek tego zakresu, a także znaczenie komunikacji między ludźmi, można wysnuć wniosek, że jest to przystosowanie adaptacyjne: zakres słyszalny odpowiada temu konkretnemu rodzajowi bodźca. Pytanie do pracy własnej Jeśli w dzieciństwie towarzyszyło ci zwierzę domowe, to z pewnością zdarzały się sytuacje, gdy wydawało się, że zwierzak jakby słyszy coś, czego ty nie słyszysz. Po przeczytaniu tego rozdziału być może domyślasz się, co to mogło być. Jak wytłumaczysz to koledze, który nie uczestniczył w takich zajęciach? amplituda (ang. amplitude ) odległość maksymalnego wychylenia od położenia równowagi w ruchu falowym decybel (dB) (ang. decibel ) logarytmiczna jednostka natężenia dźwięku widmo elektromagnetyczne (ang. electromagnetic spectrum ) zakres częstości obserwowanego promieniowania elektromagnetycznego częstotliwość (ang. frequency ) liczba drgań fali w jednostce czasu herc (Hz) (ang. hertz ) liczba drgań fali na sekundę; miara częstotliwości grzbiet fali (ang. peak ) maksimum wychylenia fali wysokość dźwięku (ang. pitch ) postrzeganie częstotliwości dźwięku tembr (ang. timbre ) barwa dźwięku dolina fali (ang. trough ) najniższy punkt fali światło widzialne (ang. visible spectrum ) ta część widma elektromagnetycznego, którą widzi człowiek długość fali (ang. wavelength) odległość między dwoma najbliższymi grzbietami fali", "section": "Fale i długości fal", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wzrok Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać podstawową anatomię układu wzrokowego Omówić wpływ pręcików i czopków na różne aspekty widzenia Opisać, w jaki sposób sygnały jednooczne i obuoczne są wykorzystywane w postrzeganiu głębi Układ wzrokowy buduje umysłową reprezentację świata, który jest wokół nas ( ). Dzięki temu możemy poruszać się z powodzeniem w przestrzeni fizycznej i wchodzić w interakcje z istotnymi osobami i przedmiotami w naszym środowisku. Ten rozdział opisuje podstawowe cechy anatomii i funkcjonowanie układu wzrokowego. Dodatkowo omówimy naszą zdolność postrzegania kolorów i głębi. Nasze oczy przyjmują informacje sensoryczne, które pomagają nam zrozumieć świat wokół nas. (Źródło „na górze po lewej”: modyfikacja pracy „rajkumar1220”/Flickr; źródło „na górze po prawej”: modyfikacja pracy Thomasa Leutharda; źródło „w środku po lewej”: modyfikacja pracy Demietricha Bakera; źródło „na środku po prawej”: modyfikacja pracy „kaybee07„/Flickr; źródło „na dole po lewej”: modyfikacja pracy „Isengardt”/Flickr; źródło „na dole po prawej”: modyfikacja pracy Willema Heerbaarta). Anatomia układu wzrokowego Głównym narządem wzroku (ang. vision ) jest oko ( ). Fale świetlne przechodzą przez rogówkę i wchodzą do oka przez źrenicę. Rogówka (ang. cornea ) to przezroczysta powłoka oka. Pełni funkcję bariery między wewnętrzną częścią oka a światem zewnętrznym i bierze udział w skupianiu fal świetlnych, które wchodzą do wnętrza oka. Źrenica (ang. pupil ) to niewielki otwór w oku, przez który przechodzi światło. Wielkość źrenicy może się zmieniać w zależności od natężenia światła i od pobudzenia emocjonalnego. Źrenice rozszerzają się, gdy doświadczamy pozytywnych emocji lub przebywamy w otoczeniu o niskim natężeniu światła. Natomiast zwężone źrenice są naszą reakcją na silne światło i negatywne emocje. Zmiany wielkości źrenicy kontrolują mięśnie połączone z tęczówką (ang. iris ), czyli kolorową częścią oka. Schemat budowy oka. Po przedostaniu się przez źrenicę światło przechodzi przez soczewkę (ang. lens ), zakrzywioną, przezroczystą strukturę, która skupia fale świetlne. Soczewka połączona jest z mięśniami zmieniającymi jej kształt, dzięki czemu możliwe jest skupianie światła pochodzącego od przedmiotów znajdujących się w różnej odległości. U osoby z prawidłowym widzeniem soczewka dokładnie skupia obrazy na niewielkim wgłębieniu w tylnej części oka, zwanym plamką żółtą (ang. fovea ). Jest ona częścią siatkówki (ang. retina ), wrażliwej na światło wyściółki oka. Plamka żółta zawiera liczne, ściśle ułożone komórki fotoreceptorowe ( ). W naszych oczach znajdują się dwa rodzaje komórek fotoreceptorowych [ fotoreceptory (ang. photoreceptor )]: czopki i pręciki. Czopki (ang. cone ) to wyspecjalizowany rodzaj fotoreceptorów, który działa najskuteczniej w jasnym świetle. Są bardzo wrażliwe na drobne szczegóły i zapewniają dużą rozdzielczość przestrzenną. Biorą też bezpośredni udział w postrzeganiu przez ludzi kolorów. Podczas gdy czopki są skoncentrowane w plamce żółtej, pręciki ( komórki pręcikonośne ) (ang. rod ) są rozmieszczone w pozostałej części siatkówki. To wyspecjalizowane fotoreceptory, które pracują dobrze przy słabym oświetleniu i nie zapewniają takiej rozdzielczości przestrzennej ani widzenia barw jak czopki, ale biorą udział w widzeniu w warunkach niewielkiego oświetlenia, a także w postrzeganiu ruchu w peryferycznym polu widzenia. Dwa rodzaje fotoreceptorów. Czopki są przedstawione na zielono, a pręciki na niebiesko. Wszyscy doświadczamy różnic w czułości pręcików i czopków na światło, gdy przechodzimy z miejsca dobrze oświetlonego do zaciemnionego. Wyobraź sobie, że idziesz obejrzeć najnowszy film w jasny, letni dzień. Gdy wchodzisz z jasno oświetlonego lobby do ciemnej sali kinowej, masz problem z dostrzeżeniem czegokolwiek. Po kilku chwilach zaczynasz przyzwyczajać się do ciemności i widzisz wnętrze sali. W jasnym otoczeniu funkcje wzroku były zdominowane głównie przez aktywność czopków. Po przejściu do ciemnego otoczenia dominuje aktywność pręcików, ale występuje pewne opóźnienie w przejściu między tymi fazami. Jeśli pręciki nie przetwarzają światła w impulsy nerwowe tak łatwo i wydajnie, jak powinny, mamy do czynienia z trudnościami w widzeniu przy słabym oświetleniu, a schorzenie to nazywamy „ślepotą zmierzchową” (pot. „kurzą ślepotą”). Pręciki i czopki są połączone (za pośrednictwem kilku interneuronów) z komórkami zwojowymi siatkówki. Aksony komórek zwojowych siatkówki zbiegają się i wychodzą z tylnej części oka, tworząc nerw wzrokowy (ang. optic nerve ). Nerw wzrokowy przenosi informacje wzrokowe z siatkówki do mózgu. W polu widzenia znajduje się pewien punkt zwany plamką ślepą (ang. blind spot ): jeśli światło z małego obiektu zostanie skupione na plamce ślepej, to nie widzimy go. Nie mamy świadomości istnienia plamki ślepej z dwóch powodów. Po pierwsze, każde oko nieco inaczej postrzega pole widzenia: dlatego plamki ślepe nie nakładają się. Po drugie, nasz układ wzrokowy uzupełnia obraz w plamce ślepej, więc choć nie możemy reagować na informacje wzrokowe pojawiające się w tej części pola widzenia, nie jesteśmy świadomi, że te informacje nie są dostępne. Nerwy wzrokowe wychodzące z każdego oka krzyżują się tuż poniżej tkanki mózgowej w punkcie zwanym skrzyżowaniem wzrokowym (ang. optic chiasm ). Jak przedstawia , skrzyżowanie wzrokowe to struktura w kształcie litery X, która znajduje się tuż poniżej kory mózgowej w przedniej części mózgu. W punkcie skrzyżowania wzrokowego informacje z prawego pola widzenia (które pochodzą z obojga oczu) są przesyłane do lewej strony mózgu, a informacje z lewego pola widzenia są przesyłane do prawej części mózgu. Skrzyżowanie wzrokowe w przedniej części mózgu oraz szlaki do płata potylicznego w tylnej części mózgu, gdzie wrażenia wzrokowe są przetwarzane w sensowne spostrzeżenia. Gdy informacje wzrokowe trafią do mózgu, są przesyłane za pośrednictwem licznych struktur do płata potylicznego w tylnej części mózgu, gdzie rozpoczyna się ich przetwarzanie. Informacje wzrokowe mogą być przetwarzane w dwóch równoległych drogach (grzbietowej i brzusznej), które można ogólnie opisać jako droga „co” i droga „gdzie/jak”. Droga „co” bierze udział w rozpoznawaniu i identyfikacji przedmiotów, droga „gdzie/jak” zaś zajmuje się lokalizacją w przestrzeni i możliwością interakcji z danym bodźcem wzrokowym (Milner i Goodale, 2008; Ungerleider i Haxby, 1994). Na przykład gdy widzisz piłkę toczącą się po ulicy, droga „co” identyfikuje obiekt, natomiast droga „gdzie/jak” identyfikuje położenie lub ruch w przestrzeni. Etyka badań na zwierzętach David Hubel (1926-2013) i Torsten Wiesel (ur. 1924) otrzymali w roku 1981 Nagrodę Nobla w zakresie medycyny za badania nad układem wzrokowym. Współpracowali oni przez ponad dwadzieścia lat i dokonali znaczących odkryć na temat podłoża neuronalnego percepcji wzrokowej (Hubel i Wiesel, 1959, 1962, 1963, 1970; Wiesel i Hubel, 1963). W badaniach wykorzystywali zwierzęta, przeważnie koty i małpy. Stosowali różne metody badawcze, w tym wprowadzanie cienkich elektrod, za pomocą których rejestrowali, kiedy pojedyncza komórka ulega aktywizacji. Dokonali licznych odkryć, m.in. odkryli, że pewne komórki mózgowe reagują na linie o określonym ukierunkowaniu (zwanym dominacją wzrokową) i dokonali mapowania sposobu ułożenia w korze wzrokowej tych komórek w postaci kolumn i hiperkolumn. W niektórych badaniach zaszywali jedno oko nowo narodzonych kociąt i badali ich rozwój w zakresie widzenia. Odkryli występowanie okresu krytycznego w rozwoju widzenia. Jeśli kocięta były pozbawione możliwości odbierania bodźców przez jedno oko, inne obszary kory wzrokowej uzupełniały obszar normalnie wykorzystywany przez zaszyte oko. Inaczej mówiąc, połączenia neuronalne istniejące w chwili narodzin mogą zaniknąć, jeśli nie będą otrzymywały informacji zmysłowych. Co sądzisz na temat zaszywania oka kociętom w celach badawczych? Wielu miłośników zwierząt uznałoby to za brutalne nadużycie i działanie nieetyczne. A jeśli ich wyniki pozwoliłyby przeprowadzić badania, dzięki którym dzieci urodzone z określonymi deficytami uniknęłyby ślepoty i mogły mieć normalny wzrok? Czy wówczas uznasz, że należy wykonać takie badanie? Czy zgodzisz się na takie badanie, nawet jeśli oznaczałoby to uczynienie jakiejś krzywdy kotom? Jakie byłoby twoje zdanie, gdyby chodziło o twoje dziecko, a jakie gdyby opieka nad zwierzętami była zajęciem, którym zajmujesz się zawodowo? Tak jak właściwie wszystkie kraje uprzemysłowione, Stany Zjednoczone, a także Polska, zezwalają na prowadzenie eksperymentów medycznych na zwierzętach, z kilkoma ograniczeniami (przy założeniu, że występuje wystarczające uzasadnienie naukowe). Rolą uregulowań prawnych nie jest zakazanie tego rodzaju testów, ale ograniczenie niepotrzebnego cierpienia zwierząt dzięki określeniu standardów traktowania zwierząt w laboratoriach. Jak wyjaśnia Stephen Latham, dyrektor Interdyscyplinarnego Centrum Bioetyki na Yale (2012), podejścia legislacyjne do badań na zwierzętach są różne w różnych krajach: od silnej regulacji i monitorowania przez władze wszystkich badań, po samoregulacje zależne od etyki naukowców. W Wielkiej Brytanii występuje pierwsze podejście, natomiast w Japonii to drugie. Stany Zjednoczone są pośrodku, łącząc stopniowo oba podejścia. Nie ma wątpliwości, że badania medyczne są wartościowe i ważne dla praktyki. Natomiast otwarte pozostaje pytanie, czy wykorzystywanie w nich zwierząt jest konieczne albo też stanowi najlepsze działanie dla uzyskania rzetelnych wyników. Alternatywę może stanowić wykorzystywanie baz danych pacjentów i stosowanych przez nich leków, wirtualne podawanie leków, komputerowe modele i symulacje oraz nieinwazyjne techniki obrazowania, jak rezonans magnetyczny i tomografia komputerowa („Animals in Science/Alternatives”, n.d.). Inne techniki, jak mikrodawkowanie, stosowane są u ludzi, nie zaś zwierząt, i służą do zwiększania dokładności i rzetelności wyników testów. Coraz bardziej dostępne są także metody in vitro oparte na hodowaniu ludzkich komórek i tkanek, komórek macierzystych oraz metody testowania genetycznego. Obecnie w Stanach Zjednoczonych, na poziomie lokalnym, pracownie, które wykorzystują zwierzęta i otrzymują środki federalne na badania muszą posiadać Instytucjonalny Komitet Opieki nad Zwierzętami i ich Wykorzystywaniem (Institutional Animal Care and Use Committee - IACUC), który dba o przestrzeganie wytycznych NIH. W skład takiego komitetu muszą wchodzić badacze, administratorzy, weterynarz i co najmniej jedna osoba niepowiązana z daną instytucją, czyli obywatel. Komitet przeprowadza także inspekcje laboratoriów i sprawdza protokoły. Analogiczne rozwiązania są stosowane w Polsce, gdzie konieczne jest powoływanie komisji etycznych w przypadku badań z udziałem zwierząt. Postrzeganie koloru i głębi Nie widzimy świata w czerni i bieli. Nie widzimy go też jako przestrzeni dwuwymiarowej (2D), czyli płaskiej (tylko wysokość i szerokość, bez głębokości). Przyjrzyjmy się teraz, jak działa widzenie barwne i jak postrzegamy trzy wymiary (wysokość, szerokość i głębokość). Widzenie barwne Osoby widzące prawidłowo mają trzy różne rodzaje czopków, które odpowiadają za widzenie barwne (ang. color vision ). Każdy z tych rodzajów czopków jest najbardziej czuły na odmienne długości fal świetlnych. Zgodnie z teorią trichromatyczną ( teorią trzech barw ), (ang. trichromatic theory of color vision ), którą przedstawia , wszystkie kolory w widmie można uzyskać, łącząc czerwień, zieleń i kolor niebieski. Spośród trzech rodzajów czopków każdy reaguje na jeden z tych kolorów. Czułość czopków na kolory: niebieski, zielony i czerwony u osoby niemającej zaburzeń widzenia. (Źrodło: modyfikacja pracy Vanessy Ezekowitz) Ślepota na barwy: osobista historia Kilka lat temu ubrałem się na oficjalne wyjście i poszedłem do kuchni, gdzie siedziała moja siedmioletnia córka. Ta popatrzyła na mnie i powiedziała z dezaprobatą: „Nie możesz tak się ubrać”. Zapytałem: „Czemu nie?”. Odpowiedziała, że mam niedopasowane kolory ubrań. Często narzekała, że mam kłopoty z trafnym wyborem koloru koszul, spodni i skarpetek, ale tym razem była szczególnie krytyczna. Jestem samotnym ojcem, więc żeby skonsultować się z kimś dorosłym, pojechałem do najbliższego sklepu odzieżowego i zapytałem ekspedientkę, czy moje ubrania do siebie pasują. Powiedziała, że mam na sobie jasnozielone spodnie, jaskrawopomarańczową koszulę, a krawat brązowy. Popatrzyła na mnie wnikliwie i stwierdziła: „To nie może do siebie pasować”. Przez kilka następnych dni pytałem swoich współpracowników i przyjaciół, czy moje ubrania do siebie pasują. Usłyszałem od nich, że sądzili, iż mam „niepowtarzalny styl”. Udałem się do okulisty, który dał mi tego typu test ( ). Okazało się, że cierpię na daltonizm, nie różnicuję większości barw zielonych, brązowych i czerwonych. Na szczęście oprócz niedopasowanego ubrania nie wywołuje to większych problemów w moim codziennym życiu. Test Ishihary pozwala określić percepcję barw w oparciu o to, czy badany potrafi dostrzec liczby ukazujące się w okręgu kropek o różnych kolorach i różnej wielkości. (Źródło http://www.wellcome.ac.uk) Niektóre postaci deficytów barwnego widzenia występują bardzo rzadko, jak na przykład widzenie w szarościach (tylko odcienie czarnego i białego). Dotknięci tym deficytem widzenia mają tylko pręciki, co oznacza bardzo słabą ostrość widzenia. Najczęstszym dziedzicznym zaburzeniem związanym z chromosomem X jest ślepota na barwy czerwoną i zieloną (Birch, 2012). Około 8% mężczyzn pochodzenia europejskiego, 5% mężczyzn pochodzenia dalekowschodniego, 4% mężczyzn pochodzenia afrykańskiego i mniej niż 2% rdzennych mężczyzn amerykańskich, australijskich i polinezyjskich ma ten deficyt (Birch, 2012). Dla porównania jedynie około 0,4% kobiet o korzeniach europejskich ma to zaburzenie (Birch, 2012). Teoria trichromatyczna to nie jedyna istniejąca teoria — drugą znaczącą teorią widzenia barwnego jest tak zwana teoria procesów przeciwstawnych (ang. opponent-process theory ). Według tej teorii barwa jest zakodowana w parach przeciwnych: czarny – biały, żółty – niebieski i zielony – czerwony. Podstawowym założeniem jest to, że niektóre komórki układu wzrokowego są wzbudzane przez jeden z kolorów przeciwstawnych i hamowane przez drugi kolor z pary. Czyli komórki wzbudzane światłem o długości odpowiadającej kolorowi zielonemu będą hamowane przez światło czerwone i odwrotnie. Jedną z implikacji teorii przetwarzania przeciwstawnego jest to, że nie spostrzegamy koloru zielonkawoczerwonego i żółtawoniebieskiego. Inną implikacją jest fakt, że spostrzeganie prowadzi do powstawania powidoków negatywnych ( obrazów następczych ). Powidok (ang. afterimage ) opisuje kontynuację wrażenia wzrokowego po usunięciu bodźca. Na przykład gdy zerkniesz na Słońce, a następnie odwrócisz wzrok, nadal możesz widzieć plamę światła, choć bodziec (światło słoneczne) został usunięty. Gdy bodziec wiąże się z kolorem, pary kolorów zidentyfikowane w teorii procesów przeciwstawnych prowadzą do powstawania powidoków w negatywie. Możesz przetestować tę koncepcję za pomocą flagi, którą przedstawia . Wpatruj się w białą kropkę przez 30–60 sekund, a następnie przenieś wzrok na czystą kartkę białego papieru. Co widzisz? To jest właśnie powidok w negatywie. Stanowi on empiryczne potwierdzenie teorii procesów przeciwstawnych w widzeniu barwnym. Jednak te dwie teorie — teoria trichromatyczna i teoria procesów przeciwstawnych — nie wykluczają się wzajemnie. Badania wykazały, że dotyczą innych poziomów układu wzrokowego. W przypadku przetwarzania wzrokowego na siatkówce zastosowanie ma teoria trzech barw: czopki reagują na trzy różne długości fal świetlnych, które odpowiadają kolorom: czerwonemu, niebieskiemu i zielonemu. Ale gdy sygnał przemieści się poza siatkówkę i jest w drodze do mózgu, komórki reagują w sposób zgodny z teorią procesów przeciwstawnych (Land, 1959; Kaiser, 1997). Ten film opisuje widzenie barwne bardziej szczegółowo. Postrzeganie głębi Nasza zdolność do postrzegania zależności przestrzennych w przestrzeni trójwymiarowej (3D) to tak zwane postrzeganie głębi (ang. depth perception ). Dzięki postrzeganiu głębi możemy określić położenie przedmiotów jako pojawiających się przed lub za innymi elementami, powyżej, poniżej lub obok innych elementów. Nasz świat jest trójwymiarowy, więc logiczne jest, że nasza psychiczna reprezentacja świata ma właściwości trójwymiarowe. Wykorzystujemy różne wskazówki w danej scenie wzrokowej, aby określić nasze poczucie głębi. Niektóre z tych wskazówek to dwuoczne wskazówki (ang. binocular cue ), oparte na wykorzystaniu obojga oczu. Przykładem takiej wskazówki dwuocznej jest rozbieżność w widzeniu dwuocznym ( widzenie stereoskopowe , binokularne ) (ang. binocular disparity ), czyli nieco inny obraz świata odbierany przez każde z naszych oczu. Aby doświadczyć tej różnicy w obrazie, możesz wykonać proste ćwiczenie: wyciągnij przed siebie rękę, wyprostuj jeden z palców i skup na nim wzrok. Teraz, nie ruszając głową, zamknij lewe oko, potem je otwórz i zamknij prawe oko, nie ruszając głową. Zauważysz, że palec jakby przesuwa się, gdy zmieniasz oko, którym patrzysz, właśnie dlatego, że każde oko widzi go trochę inaczej. Na tej samej zasadzie działają filmy 3D: specjalne okulary pozwalają, aby dwa trochę różniące się od siebie obrazy były widziane niezależnie przez lewe i prawe oko. Gdy oglądasz film i twój mózg przetwarza te informacje, masz wrażenie, że w twoją stronę biegnie zwierzę lub osoba. Choć aby doświadczyć głębi w trójwymiarowym świecie, polegamy na wskazówkach obuocznych, możemy też postrzegać głębię na obrazach wyświetlonych na płaskim ekranie 2D. Przypomnij sobie widziane obrazy i zdjęcia, Wychwytujesz głębię na tych obrazach, choć bodziec wzrokowy jest dwuwymiarowy. W trakcie tego procesu polegamy na wielu wskazówkach jednoocznych (ang. monocular cues ), czyli takich, które wymagają użycia tylko jednego oka. Jeśli uważasz, że nie można dostrzec głębi tylko jednym okiem, zauważ, że nie wpadasz na przedmioty, gdy idziesz, patrząc jednym okiem — tak naprawdę wskazówek jednoocznych jest więcej niż obuocznych. Przykładem wskazówki jednoocznej jest to, co nazywamy perspektywą linearną. Perspektywa linearna ( zbieżna ) (ang. linear perspective ) dotyczy faktu, że postrzegamy głębię, gdy widzimy dwie równoległe linie, które zdają się zbiegać na obrazie ( ). Inne jednooczne wskazówki dotyczące głębi to częściowe nałożenie przedmiotów, ich względna wielkość i bliskość horyzontu. Na dwuwymiarowych obrazach, takich jak powyższy, postrzegamy głębię za pośrednictwem wskazówek jednoocznych, na przykład perspektywy linearnej, gdzie równoległe linie zbiegają się, tak samo jak droga zwęża się w oddali. (Źródło: Marc Dalmulder). Ślepota stereoskopowa Bruce Bridgeman urodził się z ekstremalnym przypadkiem leniwego oka, co doprowadziło u niego do ślepoty stereo, czyli niemożności reagowania na wskazówki obuoczne związane z głębią. Musiał polegać wyłącznie na wskazówkach jednoocznych, ale przez większość życia nie rozumiał trójwymiarowego charakteru świata wokół siebie. Wszystko zmieniło się pewnej nocy w 2012 roku, kiedy oglądał z żoną film. Film, który oglądali małżonkowie, był zrealizowany w technologii 3D, a Bruce, choć uważał to za stratę pieniędzy, zapłacił za okulary 3D, gdy kupował swój bilet. Gdy tylko film się zaczął, Bruce włożył okulary i doświadczył czegoś zupełnie nowego. Po raz pierwszy w życiu dostrzegł pełną głębię świata wokół siebie. Co ciekawe, zdolność do postrzegania głębi pozostała także po wyjściu z kina. W naszym układzie nerwowym są komórki, które reagują na obuoczne wskazówki związane z głębią. Zwykle dla ich przetrwania konieczna jest aktywacja na wczesnym etapie rozwoju, więc specjaliści znający przypadek Bruce'a (oraz innych osób podobnych do niego) przyjmują, że na jakimś etapie rozwoju Bruce musiał doświadczyć przynajmniej przez jakiś czas widzenia obuocznego. To wystarczyło, aby komórki reagujące na wskazówki obuoczne przetrwały w układzie wzrokowym. Tajemnicą pozostaje, dlaczego potrzeba było prawie 70 lat, aby doszło do ich aktywacji u Bruce'a (Peck, 2012). Podsumowanie Fale świetlne przechodzą przez rogówkę i wnikają do oka przez źrenicę. Soczewka oka skupia światło tak, aby obraz został zogniskowany w obszarze siatkówki zwanym plamką żółtą. Plamka żółta zawiera czopki, które zapewniają wysoki poziom ostrości widzenia i najlepiej działają w warunkach dobrego oświetlenia. Pręciki znajdują się w całej siatkówce i działają najlepiej w warunkach słabego oświetlenia. Informacje wzrokowe opuszczają oko przez nerw wzrokowy. Informacje z każdego pola widzenia są przesyłane do przeciwnej strony mózgu w skrzyżowaniu wzrokowym. Przechodzą następnie przez liczne obszary w mózgu, docierając ostatecznie do płata potylicznego, gdzie rozpoczyna się ich przetwarzanie. Postrzeganie barw opisują dwie teorie. Teoria trichromatyczna zakłada, że trzy różne grupy czopków są dostrojone do nieco innych długości fal świetlnych i że to kombinacja aktywności tych rodzajów czopków prowadzi do widzenia przez nas kolorów. Teoria procesów przeciwstawnych w widzeniu barwnym zakłada, że kolor jest przetwarzany w parach przeciwstawnych i daje efekt powidoków negatywnych. Głębię postrzegamy dzięki kombinacji wskazówek obuocznych i jednoocznych. Pytania sprawdzające ________ to niewielkie wgłębienie w siatkówce, które zawiera czopki. Skrzyżowanie wzrokowe Nerw wzrokowy Plamka żółta Tęczówka C ________ pracują najlepiej w warunkach dobrego oświetlenia. Czopki Pręciki Zwojowe komórki siatkówki Bruzdy kory wzrokowej A ________ wskazówki głębi wymagają użycia obojga oczu. Jednooczne Obuoczne Perspektywa linearna Akomodacyjne B Jeśli będziesz wpatrywać się w zieloną kropkę przez stosunkowo długi czas, a następnie przeniesiesz wzrok na biały ekran, zobaczysz negatywny powidok w kolorze ________. niebieskim żółtym czarnym czerwonym D Myśl krytycznie Porównaj dwie teorie postrzegania barw. Czy całkowicie się od siebie różnią? Teoria trichromatyczna i teoria procesów przeciwstawnych nie wykluczają się wzajemnie. Badania pokazują, że dotyczą różnych poziomów układu nerwowego. W przypadku przetwarzania wzrokowego na siatkówce zastosowanie ma teoria trzech barw: czopki reagują na trzy różne długości fal świetlnych, odpowiadające kolorom czerwonemu, zielonemu i niebieskiemu. Ale gdy sygnał wyjdzie poza siatkówkę i jest w drodze do mózgu, komórki reagują zgodnie z teorią procesów przeciwstawnych. Kolor nie jest fizyczną właściwością środowiska. Jak sądzisz, jaką funkcję pełni widzenie barwne (jeśli ma jakąś funkcję)? Widzenie barwne prawdopodobnie ma wiele celów adaptacyjnych. Jedna z popularnych hipotez sugeruje, że widzenie barwne pozwalało naszym przodkom łatwiej odróżnić zgniłe owoce i warzywa od świeżych. Pytanie do pracy własnej Przyjrzyj się swoim zdjęciom lub innym obrazom. Czy znajdziesz na nich przykłady perspektywy linearnej jako potencjalnej wskazówki głębi? powidok ( obraz następczy ) (ang. afterimage ) przedłużenie wrażenia wzrokowego po zaniknięciu bodźca wskazówka dwuoczna (ang. binocular cue ) wskazówka głębi zależna od stosowania obu oczu rozbieżność w widzeniu dwuocznym ( widzenie stereoskopowe , binokularne ) (ang. binocular disparity ) rejestrowanie nieco innego obrazu przez każde oko, spowodowane rozmieszczeniem oczu w czaszce plamka ślepa (ang. blind spot ) punkt zbiegania się nerwów w siatkówce, który nie rejestruje obrazu czopek (ang. cone ) fotoreceptor wyspecjalizowany do wykrywania koloru, najlepiej działa w warunkach jasnego światła rogówka (ang. cornea ) przezroczysta powłoka na oku postrzeganie głębi (ang. depth perception ) zdolność postrzegania głębi plamka żółta (ang. fovea ) małe wgłębienie w siatkówce zawierające czopki tęczówka (ang. iris ) barwna część błony gałki ocznej soczewka (ang. lens ) zakrzywiona, przezroczysta część oka, która skupia wpadające do oka światło perspektywa linearna ( zbieżna ) (ang. linear perspective ) postrzeganie głębi płaskiego obrazu, gdy dwie linie równoległe wydają się zbiegać wskazówka jednooczna (ang. monocular cue) wskazówka głębi wymagająca tylko jednego oka teoria procesów przeciwstawnych (ang. opponent-process theory) kolor jest kodowany w parach przeciwstawnych: czarno-biały, żółto-niebieski i czerwono-zielony skrzyżowanie wzrokowe (ang. optic chiasm ) miejsce w kształcie litery X, które znajduje się tuż poniżej powierzchni brzusznej mózgu; to połączenie nerwów wzrokowych z obojga oczu i oddzielenie informacji z danej strony pola widzenia i przesłanie jej do przeciwnej strony mózgu nerw wzrokowy (ang. optic nerve ) przenosi informacje wzrokowe z siatkówki do mózgu fotoreceptor (ang. photoreceptor ) komórka czuła na światło źrenica (ang. pupil ) mały otwór okalany przez tęczówkę oka, przez który przechodzi światło siatkówka (ang. retina ) wrażliwa na światło wyściółka oka pręcik ( komórka pręcikonośna ) (ang. rod ) fotoreceptor wyspecjalizowany do rejestrowania słabych bodźców świetlnych teoria trzech barw (ang. trichromatic theory of color vision ) widzenie kolorów jest możliwe dzięki aktywności trzech rodzajów czopków wrażliwych na fale światła czerwonego, niebieskiego i zielonego", "section": "Wzrok", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Słuch Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać podstawową anatomię i funkcję układu słuchowego Wyjaśnić, w jaki sposób kodujemy i postrzegamy wysokość dźwięku Omówić, w jaki sposób lokalizujemy dźwięk Nasz układ słuchowy przekształca drgania powietrza w dźwięki. Przekłada się to na naszą zdolność słyszenia dźwięków natury, doceniania piękna muzyki oraz komunikowania się ze sobą za pośrednictwem mowy. W tym rozdziale omówimy podstawowe cechy anatomiczne i funkcje układu słuchowego. Poznamy sposób przekształcania bodźca zmysłowego w impulsy nerwowe, dowiemy się, gdzie w mózgu te informacje są przetwarzane, jak postrzegamy wysokość dźwięku oraz dlaczego wiemy, skąd dźwięk pochodzi. Anatomia układu słuchowego Ucho można podzielić na trzy części: zewnętrzne, środkowe i wewnętrzne. Ucho zewnętrzne składa się z małżowiny usznej (ang. pinnea ), czyli widocznej części ucha, wystającej z głowy, z kanału słuchowego oraz błony bębenkowej (ang. tympanic membrane ). Ucho środkowe zawiera trzy maleńkie kości zwane kosteczkami słuchowymi (ang. ossicles ), czyli młoteczek (ang. malleus ) (łac. malleus ), kowadełko (ang. incus ) (łac. incus ) i strzemiączko (ang. stapes ) (łac. stapes ). Ucho wewnętrzne zawiera strukturę zwaną ślimakiem oraz kanały półkoliste biorące udział w utrzymaniu równowagi i ruchu (układ przedsionkowy). Zwój ślimakowy (ślimak) (ang. cochlea ) to wypełniona płynem struktura w kształcie ślimaka, która zawiera czuciowe komórki receptorowe (komórki włoskowate) układu słuchowego ( ). Ucho dzieli się na ucho zewnętrzne (małżowina uszna i błona bębenkowa), środkowe (kosteczki słuchowe: młoteczek, kowadełko i strzemiączko) oraz wewnętrzne (ślimak i błona podstawna). Fale dźwiękowe przemieszczają się w kanale słuchowym i uderzają w błonę bębenkową, wywołując jej wibracje. Te wibracje powodują ruch trzech kosteczek. Strzemiączko naciska na cienką błonę w ślimaku, zwaną okienkiem owalnym. Gdy strzemiączko naciśnie na okienko owalne, płyn wewnątrz ślimaka zaczyna się poruszać, co z kolei stymuluje komórki włoskowate (inaczej: rzęskowe , rzęsate ) (ang. hair cells ), czyli słuchowe komórki receptorowe znajdujące się w uchu wewnętrznym w błonie podstawnej. Błona podstawna (ang. basilar membrane ) to cienki pasek tkanki w ślimaku. Stymulacja komórek włoskowatych przez fale przenoszone przez płyn wypełniający ślimak ma charakter mechaniczny. Gdy komórki włoskowate zostaną pobudzone, generują impuls nerwowy, który przemieszcza się wzdłuż nerwu słuchowego do mózgu. Informacje słuchowe są przesyłane do wzgórka dolnego blaszki czworaczej, środkowego ciała kolankowego we wzgórzu i wreszcie do kory słuchowej w płacie skroniowym mózgu, gdzie są przetwarzane. Podobnie jak w przypadku układu wzrokowego istnieją dowody wskazujące, że informacje dotyczące rozpoznawania i lokalizacji dźwięku są przetwarzane równolegle (Rauschecker i Tian, 2000; Renier et al., 2009). Postrzeganie wysokości dźwięku Różne częstotliwości fal dźwiękowych wiązane są z różnicami w naszym postrzeganiu wysokości dźwięku. Dźwięki o małej częstotliwości są niższe, a dźwięki o większej częstotliwości są wyższe. W jaki sposób układ słuchowy różnicuje wysokość dźwięku? Zaproponowano kilka teorii opisujących postrzeganie wysokości dźwięku. Omówimy dwie z nich: teorię czasową i teorię miejsca w różnicowaniu wysokości dźwięku. Teoria czasowa (ang. temporal theory ) zakłada, że częstotliwość jest kodowana przez poziom aktywności neuronu czuciowego. To oznacza, że dana komórka włoskowata generuje potencjały czynnościowe związane z określoną częstotliwością fali dźwiękowej. Choć jest to dość intuicyjne wyjaśnienie, wykrywamy tak szerokie spektrum częstotliwości (20–20 000 Hz), że częstotliwość potencjałów czynnościowych wyzwolonych przez komórki włoskowate nie mogłaby pokryć całego zakresu. Ze względu na właściwości kanałów sodowych w błonie nerwowej, biorących udział w generowaniu potencjałów czynnościowych, istnieje wartość progowa określająca maksymalne tempo wzbudzania potencjałów czynnościowych. Komórka włoskowata nie może wyzwalać potencjałów czynnościowych szybciej niż po pewnym określonym czasie (Shamma, 2001). Teoria miejsca w różnicowaniu wysokości dźwięku (ang. place theory of pitch perception ) sugeruje, że różne fragmenty błony podstawnej są wrażliwe na dźwięki o różnej częstotliwości. Dokładniej, podstawa błony podstawnej reaguje najlepiej na wysokie częstotliwości, a jej szczyt – na niskie. Dlatego komórki włoskowate znajdujące się w podstawie błony będą oznaczone jako receptory wysokich dźwięków, te zaś na jej szczycie będą receptorami niskich dźwięków (Shamma, 2001). W rzeczywistości obie teorie wyjaśniają różne aspekty postrzegania wysokości dźwięku. Przy częstotliwościach do około 4000 Hz jasne jest, że zarówno częstotliwość potencjałów czynnościowych, jak i miejsce w błonie przyczyniają się do postrzegania wysokości dźwięku. Jednak dźwięki o dużo wyższej częstotliwości można odkodować wyłącznie za pomocą wskazówek dotyczących miejsca w błonie podstawnej (Shamma, 2001). Lokalizacja źródła dźwięku Zdolność lokalizowania źródła dźwięku w środowisku to ważna funkcja zmysłu słuchu (ang. hearing ). Zdolność ta może być rozumiana podobnie jak postrzeganie głębi w polu widzenia. Tak samo jak wskazówki obuoczne i jednooczne zapewniały informacje o głębi, tak system słuchowy wykorzystuje informacje wpadające do obojga uszu i do każdego ucha z osobna, aby lokalizować dźwięk. Każda małżowina uszna reaguje odmiennie na napływające fale dźwiękowe, w zależności od umiejscowienia źródła dźwięku względem naszego ciała. Ta interakcja dostarcza wskazówki jednousznej, która pomaga w lokalizowaniu dźwięków pochodzących ponad, pod, przed lub za nami. Fale dźwiękowe odbierane przez oboje uszu są identyczne, zatem wskazówki jednouszne mają w tym przypadku zasadnicze znaczenie (Grothe, Pecka i McAlpine, 2010). Z drugiej strony, wskazówki dwuuszne dostarczają informacji o lokalizacji dźwięku na osi poziomej na podstawie różnic we wzorcach wibracji błony bębenkowej pomiędzy obu uszami. Jeśli dźwięk pochodzi z lokalizacji niecentralnej, dostarcza dwa rodzaje wskazówek dwuusznych: międzyuszne różnice natężenia dźwięku i międzyuszne różnice czasu. Międzyuszna różnica natężenia dźwięku (ang. interaural level difference ) odnosi się do tego, że dźwięk pochodzący z twojej prawej strony ma większe natężenie w prawym uchu niż lewym z powodu osłabienia fali dźwiękowej w trakcie jej przemieszczania się przez głowę. Międzyuszna różnica czasu (ang. interaural timing difference ) odnosi się do niewielkiej różnicy czasu, w jakim dana fala dźwiękowa dociera do każdego ucha ( ). Określone obszary mózgowe monitorują te różnice, aby pomóc określić, skąd na osi poziomej pochodzi dźwięk (Grothe et al., 2010). Lokalizowanie dźwięku opiera się zarówno na wskazówkach jednousznych, jak i obuusznych. (Źródło „samolot”: modyfikacja pracy Maxa Pfandla). Ubytek słuchu Głuchota (ang. deafness ) to częściowa lub całkowita niezdolność słyszenia. Niektórzy ludzie rodzą się głusi, czyli występuje u nich głuchota wrodzona (ang. congenital deafness ). U innych dochodzi do przewodzeniowego ubytku słuchu (ang. conductive hearing loss ) spowodowanego starzeniem, predyspozycjami genetycznymi lub wpływem środowiska, w tym narażeniem na wysoki poziom dźwięku (niedosłuch indukowany hałasem, patrz ), przebyciem chorób (np. ospa lub odra) lub uszkodzeniem wywołanym toksynami (obecnymi w pewnych rozpuszczalnikach i metalach). Czynniki środowiskowe, które mogą prowadzić do przewodzeniowego ubytku słuchu, to m.in. regularne narażenie na głośną muzykę lub na odgłosy urządzeń budowlanych. (a) Muzycy rockowi i (b) pracownicy budowlani są narażeni na niedosłuch tego typu. (Źródło a: modyfikacja pracy Kenny'ego Suna; źródło b: modyfikacja pracy Nicka Allena). Biorąc pod uwagę mechaniczny charakter procesu, w trakcie którego bodziec w postaci fali dźwiękowej jest przekazywany z błony bębenkowej przez kosteczki słuchowe do okienka owalnego w ślimaku, wystąpienie pewnego stopnia niedosłuchu jest nieuniknione wraz z upływem lat. W przypadku przewodzeniowego ubytku słuchu problemy ze słuchem wiążą się z upośledzeniem drgania błony bębenkowej lub ruchu kosteczek słuchowych. Te problemy często leczy się aparatami słuchowymi, które wzmacniają docierające fale dźwiękowe, aby zwiększyć prawdopodobieństwo wzbudzenia drgań błony bębenkowej lub ruchu kosteczek słuchowych. Gdy problem ze słuchem wiąże się z niezdolnością przekazania sygnałów nerwowych ze ślimaka do mózgu, mówimy o odbiorczym ubytku słuchu (ang. sensorineural hearing loss ). Jedną z chorób prowadzących do odbiorczego ubytku słuchu jest choroba Ménière’a (ang. Ménière’s disease ). Choć nie została jeszcze dobrze poznana, to wiadomo, że prowadzi do degeneracji struktur ucha wewnętrznego, co może spowodować ubytek słuchu, szumy uszne (ciągłe dzwonienie lub brzęczenie), zawroty głowy (łac. vertigo ) (uczucie wirowania) i wzrost ciśnienia w uchu wewnętrznym (Semaan i Megerian, 2011). Tego rodzaju niedosłuchu nie można leczyć aparatami słuchowymi, ale niektórzy pacjenci kwalifikują się do zabiegu wszczepienia implantu ślimakowego. Implanty ślimakowe (ang. cochlear implant ) to urządzenia elektroniczne składające się z mikrofonu, procesora mowy i układu elektrod. Urządzenie odbiera napływające informacje dźwiękowe i bezpośrednio stymuluje nerw słuchowy, aby przesłać je do mózgu. Ten film przedstawia zabieg wszczepienia implantu ślimakowego i wyjaśnia zasadę działania takiego implantu. Kultura głuchych W Stanach Zjednoczonych i innych miejscach na całym świecie, także w Polsce, ludzie głusi mają własny język, szkoły i zwyczaje. Nazywamy to kulturą głuchoty (ang. deaf culture ). W Stanach Zjednoczonych osoby niesłyszące posługują się często amerykańskim językiem migowym (ASL, ang. American Sign Language ). ASL nie ma komponentów werbalnych i opiera się wyłącznie na znakach i gestach wizualnych. Głównym trybem komunikacji jest miganie. Jedną z wartości kultury głuchych jest kontynuacja tradycji takich jak używanie języka migowego zamiast uczenia dzieci niesłyszących mówienia, czytania z ruchu warg czy wykonania operacji wszczepienia implantu ślimakowego. Gdy u dziecka zostanie zdiagnozowana głuchota, rodzice muszą podjąć trudne decyzje. Czy zapisać dziecko do zwykłej szkoły, nauczyć je werbalizować komunikaty i czytać z ruchu warg? Czy może wysłać je do szkoły dla dzieci niesłyszących, gdzie nauczy się języka migowego i będzie rozwijało się w kulturze głuchych? Czy sądzisz, że rodzice mogą w różny sposób podchodzić do podejmowania tych decyzji w zależności od tego, czy sami także są głusi? Podsumowanie Fale dźwiękowe są przekazywane do kanału słuchowego i wywołują drgania błony bębenkowej. Te drgania powodują ruch kosteczek słuchowych. Strzemiączko naciska na okienko owalne ślimaka, co wywołuje ruch płynu w ślimaku. W efekcie komórki włoskowate znajdujące się w błonie podstawnej powiększają się, przez co wysyłają impulsy nerwowe do mózgu za pośrednictwem nerwu słuchowego. Postrzeganie wysokości dźwięku i lokalizacja dźwięku to ważne aspekty słyszenia. Nasza zdolność do postrzegania wysokości dźwięku zależy zarówno od częstości, z jaką komórki włoskowate w błonie podstawnej wysyłają impulsy, jak i od ich położenia w błonie. W przypadku lokalizacji źródła dźwięku w środowisku wykorzystywane są zarówno wskazówki jednouszne, jak i obuuszne. Niektóre osoby rodzą się głuche, u innych zaś ubytek słuchu może rozwinąć się z wiekiem, na skutek predyspozycji genetycznych i/lub przyczyn środowiskowych. Utrata słuchu wynikająca z braku drgania błony bębenkowej lub z braku ruchu kosteczek słuchowych to przewodzeniowy ubytek słuchu. Utrata słuchu związana z brakiem przesyłania impulsów przez nerw słuchowy do mózgu to odbiorczy ubytek słuchu. Pytania sprawdzające Komórki włoskowate znajdujące się blisko podstawy błony podstawnej reagują najlepiej na dźwięki o ________. niskiej częstotliwości wysokiej częstotliwości małej amplitudzie dużej amplitudzie B Trzy kosteczki słuchowe w uchu środkowym to ________. młoteczek, kowadełko i strzemiączko malleus , incus i stapes ossicle , pinnea i cochlea a i b D Aparaty słuchowe mogą działać skutecznie w przypadku ________. choroby Ménière'a odbiorczego ubytku słuchu przewodzeniowego ubytku słuchu międzyusznej różnicy czasu C Wskazówki, które wymagają użycia obojga uszu, to wskazówki ________. jednooczne jednouszne obuoczne obuuszne D Myśl krytycznie Pamiętając to, co wiesz już o lokalizacji dźwięku, zastanów się, w jaki sposób lokalizacja dźwięku ułatwia przeżycie z perspektywy ewolucyjnej. Lokalizacja dźwięku mogła pozwolić ludziom pierwotnym na zlokalizowanie zdobyczy i chronienie się przed drapieżnikami. W jaki sposób można wykorzystać teorie wysokości dźwięku oparte na miejscu (lokalizacji) i czasie do wyjaśnienia naszej zdolności do postrzegania wysokości fal dźwiękowych o częstotliwości do 4000 Hz? Wysokość dźwięku poniżej tego progu może być kodowana za pomocą połączenia miejsca (lokalizacji) i częstotliwości wysyłania impulsów przez poziom aktywności neuronu czuciowego. Generalnie komórki włoskowate znajdujące się w pobliżu szczytu błony podstawnej sygnalizują, że mamy do czynienia z dźwiękiem niskim. Jednak różnice w częstotliwości wysyłania impulsów przez komórki włoskowate w tej lokalizacji pozwalają na bardziej szczegółowe rozróżnienie między dźwiękami niskimi, średnimi i wysokimi w szerszym kontekście niskich częstotliwości dźwięku. Pytanie do pracy własnej Który ze zmysłów – twoim zdaniem – jest bardziej przydatny we współczesnym świecie: wzrok czy słuch, a który lepiej się sprawdzał w czasach prehistorycznych? błona podstawna (ang. basilar membrane ) błona w ślimaku ucha, która zawiera komórki włoskowate służące jako receptory czuciowe układu słuchowego zwój ślimakowy (ślimak) (ang. cochlea ) wypełniona płynem ślimakokształtna struktura zawierająca komórki receptorów czuciowych układu słuchowego implant ślimakowy (ang. cochlear implant ) urządzenie elektroniczne składające się z mikrofonu, procesora mowy i elektrod, które bezpośrednio stymulują nerw słuchowy do przekazywania informacji do mózgu przewodzeniowy ubytek słuchu (ang. conductive hearing loss ) zaburzenia wibracji błony bębenkowej i/lub ruchu kosteczek słuchowych głuchota wrodzona (ang. congenital deafness ) występująca od urodzenia niemożność rejestracji bodźców słuchowych głuchota (ang. deafness ) częściowa lub całkowita niezdolność słyszenia komórka włoskowata (ang. hair cells ) słuchowe komórki receptorowe w uchu wewnętrznym kowadełko (ang. incus ) kosteczka ucha środkowego znajdująca się w jamie bębenkowej międzyuszna różnica natężenia dźwięku (ang. interaural level difference ) dźwięk dochodzący z jednej strony jest bardziej intensywny w uchu z tej samej strony niż w drugim z powodu tłumienia fali dźwiękowej przechodzącej przez głowę międzyuszna różnica czasu (ang. interaural timing difference ) mała różnica w czasie, w którym fala dźwiękowa dociera do każdego ucha młoteczek (ang. malleus ) kosteczka ucha środkowego choroba Ménière’a (ang. Ménière’s disease ) powoduje zwyrodnienie struktur ucha wewnętrznego, mogące prowadzić do utraty słuchu, szumu w uszach, zawrotów głowy i wzrostu ciśnienia w uchu wewnętrznym małżowina uszna (ang. pinnea ) widoczna, wystająca z głowy część ucha teoria miejsca (lokalizacji) w różnicowaniu wysokości dźwięków (ang. place theory of pitch perception) różne części błony podstawnej są wrażliwe na dźwięki o różnych częstotliwościach odbiorczy ubytek słuchu (ang. sensorineural hearing loss ) niepowodzenie w przesyłaniu sygnałów nerwowych ze ślimaka do mózgu strzemiączko (strzemionko) (ang. stapes ) kosteczka ucha środkowego teoria wysokości dźwięku oparta na czasie (ang. temporal theory of pitch perception ) częstotliwość dźwięku jest kodowana przez poziom aktywności neuronu czuciowego błona bębenkowa (ang. tympanic membrane ) cienka membrana w kształcie stożka, która oddziela ucho zewnętrzne od ucha środkowego zawroty głowy (ang. vertigo ) uczucie wirowania", "section": "Słuch", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Inne zmysły Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać podstawowe funkcje zmysłów chemicznych Wyjaśnić podstawowe funkcje układów sensorycznych: somatosensorycznego, nocyceptywnego i termoceptywnego Omówić podstawowe funkcje zmysłów przedsionkowego, proprioceptywnego i kinestetycznego Od lat wzrok i słuch wzbudzały zainteresowanie i często były przedmiotem badań naukowych. Choć nadal dużo musimy się dowiedzieć o funkcjonowaniu tych układów, rozumiemy je o wiele lepiej niż pozostałe zmysły. W tym podrozdziale omówimy zmysły chemiczne (smak i węch) oraz zmysły somatyczne (zmysł dotyku, temperatury, bólu, równowagi i położenia ciała). Zmysły chemiczne Smak (ang. taste ) i węch (ang. smell ) nazywamy zmysłami chemicznymi, ponieważ właściwe dla nich receptory zmysłowe reagują na cząsteczki znajdujące się w pokarmie, który jemy, lub w powietrzu, którym oddychamy. Między zmysłami chemicznymi istnieje silna zależność: na odczuwanie smaku potrawy wpływa kombinacja jej właściwości smakowych i zapachowych. Smak Powszechne jest przekonanie o istnieniu czterech podstawowych smaków: słodkiego, słonego, kwaśnego i gorzkiego. Jednak badania pokazują, że rozróżniamy co najmniej sześć rodzajów smaku. Piątym smakiem jest umami. Słowem umami (ang. umami ), które po japońsku oznacza „pyszny, bardzo smaczny”, opisujemy smak glutaminianu monosodowego (Kinnamon i Vandenbeuch, 2009). Istnieje też coraz więcej dowodów naukowych świadczących o tym, że mamy komórki receptorowe odpowiedzialne za wyczuwanie tłuszczu w pożywieniu (Mizushige et al., 2007). Cząsteczki spożywanych przez nas pokarmów i napojów rozpuszczają się w ślinie i oddziałują z receptorami smaku na języku i w jamie ustnej oraz w gardle. Kubki smakowe (ang. taste buds ) to zgrupowania receptorowych komórek smakowych z podobnymi do włosków wypustkami, które wystają z centralnego pora kubka smakowego ( ). Kubki smakowe żyją od dziesięciu dni do dwóch tygodni, więc nawet jeśli zniszczysz część z nich, parząc sobie język, to efekt nie będzie długotrwały, bo kubki smakowe odrosną. Cząsteczki poszczególnych smaków wiążą się z receptorami w wypustkach i powodują zmiany chemiczne w komórkach czuciowych, co prowadzi do powstania impulsów nerwowych przesyłanych do mózgu za pośrednictwem różnych nerwów, w zależności od lokalizacji danego receptora. Informacje smakowe są przekazywane do rdzenia przedłużonego, wzgórza i układu limbicznego, a także do kory smakowej znajdującej się pod obszarem, w którym nakładają się płaty czołowy i skroniowy (Maffei et al., 2012; Roper, 2013). (a) Kubki smakowe składają się z wielu pojedynczych smakowych komórek receptorowych, które przesyłają informacje do nerwów. (b) Mikrografia przedstawiająca powierzchnię języka. (Źródło a: modyfikacja pracy Jonasa Töle; źródło b: dane na pasku skali od Matta Russella). Zapach Komórki receptorów węchowych (ang. olfactory receptor ) znajdują się w błonie śluzowej w górnej części nosa. Małe włosowate wypustki tych receptorów służą jako miejsca, gdzie cząsteczki zapachowe rozpuszczone w śluzie oddziałują z receptorami chemicznymi znajdującymi się na tych wypustkach ( ). Gdy cząsteczka zapachowa zwiąże się z konkretnym receptorem, zmiany chemiczne w komórce powodują wysłanie sygnałów do opuszki węchowej (ang. olfactory bulb ): jest to podobna kształtem do bulwy struktura w przedniej części płata czołowego, gdzie zaczynają się nerwy węchowe. Z opuszki węchowej informacje są wysyłane do określonych obszarów w układzie limbicznym i do pierwotnej kory węchowej, która znajduje się bardzo blisko kory smakowej (Lodovichi i Belluscio, 2012; Spors et al., 2013). Receptory węchowe to podobne do włosków elementy, które wyrastają z opuszki węchowej do błony śluzowej jamy nosowej. Zakres wrażliwości węchu jest różny dla różnych gatunków zwierząt. Badania sugerują, że psy potrafią u człowieka wywęszyć gwałtowny spadek stężenia glukozy we krwi, a nawet rozwijający się nowotwór (Wells, 2010). Niezwykłe zdolności węchowe psów mogą wynikać z większej liczby genów odpowiedzialnych za receptory zapachów (od 800 do 1200 genów), w porównaniu z niespełna 400, jakie występują u ludzi i innych ssaków naczelnych (Niimura i Nei, 2007). Zwierzęta o bardzo dobrze rozwiniętym węchu określamy jako makrosmatyczne, natomiast te, dla których węch jest mniej istotny – jako mikrosmatyczne. Występują także zwierzęta pozbawione zmysłu węchu, czyli anosmatyczne, jak walenie. Wiele zwierząt reaguje na komunikaty przekazywane przez inne osobniki tego samego gatunku za pomocą feromonów (ang. pheromone ) (Wysocki i Preti, 2004). Do tego rodzaju komunikacji dochodzi również pomiędzy gatunkami, np. w przypadku feromonów markujących. Komunikacja za pośrednictwem feromonów w obrębie gatunku często wiąże się z przekazaniem informacji o rozrodczym potencjale ewentualnego partnera/partnerki. Na przykład gdy samica szczura jest gotowa do krycia, wydziela feromony mające przyciągnąć uwagę samców znajdujących się w pobliżu. Aktywacja feromonowa stanowi zatem jeden z istotnych elementów wzbudzania zachowań seksualnych u samców szczurów (Furlow, 1996, 2012; Purvis i Haynes, 1972; Sachs, 1997). Istnieje też wiele badań (i kontrowersji) dotyczących ludzkich feromonów (Comfort, 1971; Russell, 1976; Wolfgang-Kimball, 1992; Weller, 1998). Dotyk, termocrepcja i nocycepcja W skórze znajdują się receptory, które reagują na rozmaite bodźce związane z dotykiem ( ). Te receptory to ciałka Meissnera ( ciałka dotykowe ), ciałka Vatera-Paciniego ( ciałka blaszkowate ), dyski Merkla i ciałka Ruffiniego. Ciałka Meissnera (ang. Meissner’s corpuscle ) reagują na nacisk i wibracje o niskiej częstotliwości, a ciałka Vatera–Paciniego (ang. Vater-Pacinian corpuscles ) wykrywają lekki nacisk i wibracje o wyższych częstotliwościach. Dyski Merkla (ang. Merkel’s disks ) reagują na lekki nacisk, ciałka Ruffiniego (ang. Ruffini corpuscles ) zaś wykrywają rozciąganie (Abraira i Ginty, 2013). W skórze człowieka znajdują się różne rodzaje receptorów czuciowych. Każdy z nich wyczulony jest na określony rodzaj bodźców związanych z dotykiem. Oprócz receptorów funkcje czuciowe w skórze pełnią także liczne wolne zakończenia nerwowe. Reagują one na różne rodzaje bodźców dotykowych i służą jako receptory czuciowe dla zmysłów termorecepcji (ang. thermoception ) ( czucia temperatury ) oraz nocycepcji ( odczuwanie bólu ) (ang. nociception ) (sygnały wskazujące potencjalne uszkodzenie i być może ból) (Garland, 2012; Petho i Reeh, 2012; Spray, 1986). Informacje zmysłowe pochodzące od receptorów i wolnych zakończeń nerwowych przekazywane są w górę rdzenia kręgowego i przesyłane do określonych obszarów rdzenia przedłużonego, wzgórza i wreszcie do kory somatyczno-sensorycznej, znajdującej się w zakręcie zaśrodkowym płata ciemieniowego. Postrzeganie bólu Ból to nieprzyjemne doznanie zawierające składowe zarówno fizyczne, jak i psychiczne. Odczuwanie bólu jest mechanizmem adaptacyjnym, ponieważ dzięki niemu dowiadujemy się o urazie i motywuje nas do odsunięcia się od przyczyny urazu. Ponadto odczuwanie bólu sprawia, że prawdopodobieństwo dodatkowego urazu jest mniejsze, gdyż bolące części ciała bardziej oszczędzamy. Ból sygnalizujący uszkodzenie tkanki to tak zwany ból zapalny (ang. inflammatory pain ). Natomiast ból wynikający z uszkodzenia neuronów w obwodowym lub ośrodkowym układzie nerwowym jest nazywany bólem neuropatycznym (ang. neuropathic pain ). Nie w każdym przypadku można usunąć źródło bólu. Należy w takiej sytuacji ulżyć cierpieniu chorego. Liczne opcje leczenia bólu tworzą pełne spektrum: od terapii relaksacyjnej, przez stosowanie leków przeciwbólowych, po głęboką stymulację mózgu. Najskuteczniejsza opcja terapeutyczna dla danej osoby będzie zależeć od wielu czynników, w tym od nasilenia i uporczywości bólu, a także od wszelkich występujących u niej schorzeń medycznych i psychologicznych. Niektóre osoby rodzą się bez zdolności odczuwania bólu. To bardzo rzadkie zaburzenie genetyczne zwane wrodzoną niewrażliwością na ból (ang. congenital insensitivity to pain ) [inaczej analgezja wrodzona (ang. congenital analgesia )]. Choć osoby z analgezją wrodzoną mogą wykrywać różnice temperatury i nacisku, to nie czują bólu. W efekcie często dochodzi u nich do poważnych urazów. Dzieci często poważnie kaleczą jamę ustną i język, ponieważ wciąż się mocno gryzą. Co nie jest zaskakujące, prognozowany czas przeżycia osób z tym zaburzeniem jest o wiele krótszy niż osób bez tej dysfunkcji w związku z częstymi urazami i wtórnymi zakażeniami miejsc dotkniętych urazem (U.S. National Library of Medicine, 2013). Ten film opowiada o wrodzonej niewrażliwości na ból. Zmysł równowagi, propriocepcja i kinestezja Zmysł równowagi (ang. vestibular sense ), zwany także przedsionkowym , wpływa na naszą zdolność utrzymania równowagi i pozycji ciała. Jak pokazuje , główne narządy czuciowe (łagiewka, woreczek i trzy kanały półkoliste) tego układu znajdują się obok ślimaka w uchu wewnętrznym. Narządy układu przedsionkowego wypełnione są płynem i mają komórki włosowate (podobne do komórek włoskowatych występujących w układzie słuchowym), które reagują na ruch głowy i siłę ciążenia. Pod wpływem stymulacji komórki włoskowate wysyłają sygnały do mózgu za pośrednictwem nerwu przedsionkowego. Choć w normalnych warunkach nie jesteśmy świadomi informacji zmysłowych pochodzących od układu przedsionkowego, jego znaczenie staje się oczywiste, gdy cierpimy na chorobę lokomocyjną lub zawroty głowy związane z zakażeniami ucha wewnętrznego (Khan i Chang, 2013). Główne narządy czuciowe układu przedsionkowego znajdują się obok ślimaka w uchu wewnętrznym. Są to łagiewka, woreczek i trzy kanały półkoliste (tylny, przedni i poziomy). Poza zachowaniem równowagi układ przedsionkowy gromadzi informacje niezbędne do kontrolowania ruchu i odruchów, wywołujących zmiany w różnych częściach naszego ciała, kompensujące zmiany jego położenia. Dlatego zarówno zmysł propriocepcji (ang. proprioception ) (percepcja pozycji ciała), jak i kinestezji (ang. kinesthesia ) (percepcja ruchu ciała w przestrzeni) wchodzą w interakcję z informacjami dostarczanymi przez zmysł równowagi. Te układy zmysłowe gromadzą też informacje pochodzące z receptorów reagujących na rozciągnięcie i napięcie w mięśniach, stawach, skórze i ścięgnach (Lackner i DiZio, 2005; Proske, 2006; Proske i Gandevia, 2012). Informacje proprioceptywne i kinestetyczne są przekazywane do mózgu przez rdzeń kręgowy. Pewne obszary korowe, a także móżdżek, odbierają informacje od narządów czuciowych układów proprioceptywnego i kinestetycznego oraz wysyłają je do nich. Podsumowanie Smak i węch to zmysły chemiczne wykorzystujące receptory znajdujące się głównie na języku i w nosie, pobudzane przez cząsteczki – odpowiednio: smakowe i zapachowe – do przesyłania informacji do mózgu w celu ich przetworzenia. Nasza zdolność do postrzegania zarówno dotyku, temperatury, jak i bólu wiąże się z wieloma receptorami i wolnymi zakończeniami nerwowymi, które znajdują się w skórze i różnych tkankach organizmu. Zmysł równowagi pomaga nam zachować równowagę dzięki reakcji komórek włoskowatych w łagiewce, woreczku i kanałach półkolistych, reagują one na zmiany położenia głowy i sił oddziałujących na nasz organizm, np. siły ciążenia czy siły odśrodkowej. Nasze układy proprioceptywny i kinestetyczny dostarczają informacji o postawie ciała i o jego ruchu za pośrednictwem receptorów wykrywających rozciągnięcie i naprężenie mięśni, stawów, ścięgien i skóry. Pytania sprawdzające Komunikaty chemiczne przesyłane między dwoma osobnikami danego gatunku, aby przekazać informacje dotyczące statusu rozrodczego, to tak zwane ________. hormony feromony dyski Merkla ciałka Meissnera B Który smak jest związany z glutaminianem monosodowym? słodki gorzki umami kwaśny C ________ grają rolę receptorów czuciowych wykrywających bodźce związane z temperaturą i bólem. Wolne zakończenia nerwowe Ciałka Vatera-Paciniego Ciałka Ruffiniego Ciałka Meissnera A Która z poniższych struktur bierze udział w utrzymaniu równowagi i pozycji ciała? nerw słuchowy nocyceptory opuszka węchowa układ przedsionkowy D Myśl krytycznie U wielu osób występują nudności podczas podróży samochodem, samolotem lub łodzią. Jak można to wyjaśnić, odwołując się do interakcji informacji zmysłowej? W czasie podróży samochodem często otrzymujemy informacje wzrokowe sugerujące, że jesteśmy w ruchu, nasz układ przedsionkowy zaś wskazuje, że nie poruszamy się (zakładając, że podróżujemy ze względnie stałą prędkością). Zwykle te dwa zmysły przekazują spójne informacje, ale rozbieżność może prowadzić do nudności. W przypadku podróży samolotem lub łodzią doznania zmysłowe będą podobne, tzn. informacja wzrokowa może wskazywać na brak ruchu, natomiast układ przedsionkowy na poruszanie się. Gdyby ktoś powiedział ci, że oddałby wszystko, aby nie czuć bólu po poważnym urazie, jaka byłaby twoja odpowiedź po przeczytaniu tego rozdziału? Ból pełni ważną funkcję, niezbędną dla naszego przeżycia. Choć bodźce bólowe mogą być uciążliwe, to doświadczenia ludzi cierpiących na wrodzoną niewrażliwość na ból w aż nazbyt oczywisty sposób pokazują konsekwencje braku odczuwania bólu. Jak sądzisz, czy kobiety odczuwają ból inaczej niż mężczyźni? Dlaczego? Badania wykazały, że kobiety i mężczyźni faktycznie w różny sposób odczuwają ból i mają na niego inną tolerancję. Kobiety raczej lepiej znoszą ból niż mężczyźni. Niektóre wyjaśnienia odwołują się do doświadczenia narodzin dziecka. Mężczyźni przeważnie zachowują spokój w obliczu bólu i nie szukają pomocy. Badania wykazują także, że różnice w odczuwaniu bólu w zależności od płci mogą być odmienne w różnych kulturach. Pytanie do pracy własnej Jak wcześniej wspomniano, smak potrawy to interakcja między informacjami smakowymi a węchowymi. Przypomnij sobie sytuację, gdy twój nos był zatkany z powodu przeziębienia lub grypy. Jak zmienił się smak potraw jedzonych w tym czasie? wrodzona niewrażliwość na ból ( analgezja wrodzona ) (ang. congenital analgesia ) zaburzenie genetyczne, które powoduje niezdolność do odczuwania bólu bolesny stan zapalny (ang. inflammatory pain ) proces świadczący o uszkodzeniu tkanki zmysł kinestetyczny ( kinestezja ) (ang. kinesthesia ) czucie położenia ciała i ruchu ciała w przestrzeni ciałko dotykowe ( ciałko Meissnera ) (ang. Meissner’s corpuscle) receptor dotykowy, który reaguje na ciśnienie i wibracje o niskiej częstotliwości dysk Merkla (ang. Merkel’s disk) receptor dotykowy, który reaguje na lekki dotyk ból neuropatyczny (ang. neuropathic pain ) ból spowodowany uszkodzeniem neuronów obwodowego lub ośrodkowego układu nerwowego odczuwanie bólu ( nocycepcja ) (ang. nociception ) sygnał czuciowy wskazujący na możliwość uszkodzenia tkanki opuszka węchowa (ang. olfactory bulb ) owalny twór w przedniej części płata czołowego, gdzie zaczynają się nerwy węchowe receptor węchowy (ang. olfactory receptor ) komórka czuciowa systemu węchowego ciałko blaszkowate ( ciałko Vatera–Paciniego ) (ang. Vater-Pacinian corpuscle ) receptor dotykowy, który wykrywa krótkotrwały nacisk i wibracje o wyższej częstotliwości feromon (ang. pheromone ) sygnał chemiczny wysłany przez organizm w celu komunikacji propriocepcja (ang. proprioception ) postrzeganie pozycji ciała ciałko Ruffiniego (ang. Ruffini corpuscle) termoreceptor skóry, receptor ciepła kubek smakowy (ang. taste bud) zbiór komórek receptora smaku z wystającymi z niego włoskowatymi wypustkami (rzęskami) czucie temperatury ( termorecepcja ) (ang. thermoception ) postrzeganie temperatury smak umami (ang. umami ) smak glutaminianu sodu zmysł równowagi ( układ przedsionkowy ) (ang. vestibular sense ) zmysł odpowiedzialny za utrzymywanie równowagi i pozycji ciała", "section": "Inne zmysły", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zasady postrzegania w psychologii Gestalt Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić relację figura-podstawa Zdefiniuj zasady grupowania Gestalt Opisać, jak na zestaw percepcyjny wpływają cechy i stan psychiczny jednostki Max Wertheimer (1880-1943) na początku XX wieku opublikował pracę, w której opisał, jak ludzie dostrzegają ruch w szybko zmieniających się nieruchomych obrazach. Wertheimer i jego asystenci: Wolfgang Köhler (1887-1967) oraz Kurt Koffka (1886-1941), którzy później zostali jego współpracownikami, uważali, że percepcja obejmuje więcej niż prostą kombinację bodźców zmysłowych. To przekonanie doprowadziło do powstania nowego ruchu w psychologii, znanego jako psychologia Gestalt , (ang. Gestalt psychology ). W polskiej literaturze psychologicznej używana jest także nazwa psychologia postaci . Słowo Gestalt oznacza dosłownie postać, formę lub wzór, ale jego użycie odzwierciedla ideę, że całość różni się jakościowo od sumy swoich części. Innymi słowy, mózg tworzy percepcję, która jest czymś więcej niż sumą dostępnych bodźców zmysłowych, i robi to w sposób przewidywalny. Psychologowie pracujący w nurcie Gestalt przełożyli te przewidywalne sposoby na zasady, które opisują, jak organizujemy informacje zmysłowe. W efekcie psychologia Gestalt zyskała ogromny wpływ na myślenie o wrażeniach zmysłowych i spostrzeganiu (Rock i Palmer, 1990). Jedną z zasad Gestalt jest relacja figura–tło (ang. figure-ground relationship ). Zgodnie z tą zasadą mamy tendencję do dzielenia naszego świata wizualnego na figury i tło. Figura to przedmiot lub osoba znajdujące się w centrum pola widzenia, tło zaś to drugi plan. Jak pokazuje , nasza percepcja może być znacząco różna, w zależności od tego, co będzie postrzegane jako figura, a co jako tło. Uważa się, że nasza zdolność do interpretowania informacji zmysłowej zależy od tego, co w danym przypadku nazwiemy figurą, a co tłem, choć to założenie było kwestionowane (Peterson i Gibson, 1994; Vecera i O’Reilly, 1998). Zasada figura–tło wyjaśnia, dlaczego ten obraz może być postrzegany jako wazon lub jako dwie twarze. Inną zasadą Gestalt opisującą organizację bodźców zmysłowych w znaczące spostrzeżenia jest bliskość (ang. proximity ). Ta zasada zakłada, że obiekty będące blisko siebie grupowane są razem, co pokazuje . Zasada bliskości Gestalt sugeruje, że widzisz (a) jeden blok kropek po lewej stronie i (b) trzy kolumny po prawej stronie. Sposób, w jaki odczytujemy tekst, to kolejna ilustracja zasady bliskości. Na przykład czytamy to zdanie w ten sposób, an iewt aki. Grupujemy litery danego słowa razem, ponieważ nie ma między nimi przerw, i zauważamy słowa, ponieważ są między nimi przerwy. Oto jeszcze kilka przykładów: Cz yje steśwst ani eprzecz yta ćtozd anie? C ozna cząt esł owa? Do grupowania przedmiotów w polu widzenia możemy też użyć zasady podobieństwa (ang. similarity ). Zgodnie z nią podobne obiekty będą grupowane razem ( ). Na przykład gdy oglądasz mecz piłkarski, grupujesz graczy na podstawie koloru ich strojów. Gdy obserwujemy akcję pod bramką, możemy wyodrębnić dwie drużyny, grupując piłkarzy na podstawie tego kryterium. Patrząc na ten układ kropek, najprawdopodobniej widzimy naprzemienne rzędy kropek w różnych kolorach. Grupujemy kropki zgodnie z zasadą podobieństwa. Dodatkowe dwie zasady Gestalt to prawo ciągłości (ang. continuity ) (inaczej dobra kontynuacja (ang. good continuation )) oraz prawo domknięcia (ang. closure ). Prawo ciągłości sugeruje, że z większym prawdopodobieństwem będziemy postrzegać ciągłe, gładkie linie, nie zaś nieciągłe, łamane linie ( ). Zasada domknięcia (ang. principle of closure ) głosi, że organizujemy postrzegane przez nas obiekty raczej w kompletne całości, nie zaś w serię części ( ). Dobra kontynuacja sugeruje, że z większym prawdopodobieństwem widzimy tu dwie przecinające się linie niż cztery linie spotykające się w środku. Domknięcie sugeruje, że dostrzeżemy tu pełne koło i prostokąt, nie zaś tylko serię segmentów. Ten film przedstawia ilustracje zasad Gestalt zaczerpnięte z prawdziwego świata. Według teoretyków psychologii Gestalt postrzeganie wzorców (ang. pattern perception ), czyli nasza zdolność do rozróżnienia figur i kształtów, zachodzi zgodnie z opisanymi powyżej zasadami. Prawdopodobnie masz pewność, że to, co postrzegasz, dokładnie odzwierciedla rzeczywistość, ale nie zawsze tak jest. Nasze postrzeganie wykorzystuje hipotezy percepcyjne (ang. perceptual hypothesis ) – oparte na wiedzy wybory, jakich dokonujemy, interpretując informacje zmysłowe. Te hipotezy mają wiele źródeł, w tym naszą osobowość, doświadczenia i oczekiwania. Za pomocą tych hipotez tworzymy nastawienie percepcyjne. Na przykład badania pokazały, że osoby, u których poprzedzano percepcję dwuznacznych figur wskazówkami słownymi, dokonywały tendencyjnej interpretacji tych figur (Goolkasian i Woodbury, 2010). Głębia percepcji: tendencyjność, uprzedzenia i czynniki kulturowe Ten podrozdział pokazał, że percepcja to złożony proces. Percepcja, budowana na wrażeniach zmysłowych, ale podlegająca wpływom doświadczenia, tendencyjności, uprzedzeń oraz kultury (ang. culture ), może być różna u poszczególnych osób. Badania sugerują, że na percepcję wpływają utajone uprzedzenia (ang. prejudice ) rasowe oraz stereotypy (ang. stereotypes ). Na przykład w kilku badaniach wykazano, że uczestnicy mający jasną skórę identyfikują broń szybciej i z większym prawdopodobieństwem spostrzegają przedmioty niebędące bronią jako broń, gdy obraz przedstawiający broń zostanie zaprezentowany jednocześnie z obrazem osoby o ciemnej skórze (Payne, 2001; Payne et al., 2005). Co więcej, decyzje osób rasy białej o strzeleniu do uzbrojonego celu w grze wideo są podejmowane szybciej, gdy cel jest ciemnoskóry (Correll et al., 2002; Correll et al., 2006). To badanie jest bardzo ważne, jeśli weźmiemy pod uwagę liczbę głośnych przypadków z ostatnich kilku dziesięcioleci, kiedy młode osoby o ciemnej skórze zostały zabite przez ludzi, którzy twierdzili, że osoby faktycznie nieuzbrojone były uzbrojone i/lub stanowiły zagrożenie dla ich bezpieczeństwa. Powyższy przykład dotyczy Stanów Zjednoczonych, ale opisuje powszechne zjawisko znaczenia stereotypów i uprzedzeń dla trafności percepcji. Podsumowanie Teoretycy zajmujący się psychologią Gestalt mieli ogromny wpływ na badania nad wrażeniami zmysłowymi i percepcją. Zasady Gestalt, takie jak relacja figura–tło, grupowanie na podstawie bliskości lub podobieństwa, prawo dobrej kontynuacji i domknięcia, wykorzystuje się do wyjaśniania, w jaki sposób organizujemy informacje zmysłowe. Nasza percepcja nie jest niezawodna; mogą na nią wpływać tendencyjność, uprzedzenia i inne czynniki. Pytania sprawdzające Zgodnie z zasadą ________ przedmioty występujące blisko siebie są zwykle grupowane razem. podobieństwa dobrej kontynuacji bliskości domknięcia C Nasza tendencja do postrzegania obiektów jako kompletnych całości, nie zaś serii elementów, to zasada ________. domknięcia dobrej kontynuacji bliskości podobieństwa A Zgodnie z prawem ________ z większym prawdopodobieństwem dostrzeżemy gładkie linie niż linie przerywane i łamane. domknięcia dobrej kontynuacji bliskości podobieństwa B Element obrazu wzrokowego, na którym skupiamy uwagę, to ________. domknięcie zestaw percepcyjny tło figura D Myśl krytycznie Głównym założeniem psychologii Gestalt jest to, że całość różni się jakościowo od sumy swoich części. Co to znaczy w kontekście percepcji? Oznacza to, że percepcji nie można zrozumieć w pełni przez proste złożenie poszczególnych elementów. Relacje, jakie istnieją między częściami (ustalone zgodnie z zasadami opisanymi w tym podrozdziale), są ważne dla organizacji i interpretacji informacji zmysłowej w złożone doświadczenie percepcyjne. Przyjrzyj się poniższemu rysunkowi. W jaki sposób można wpłynąć na to, że ludzie zobaczą kaczkę (albo królika)? Aby wpłynąć na to, co z większym prawdopodobieństwem ludzie zobaczą, można wykorzystać ich oczekiwania. Na przykład, jeśli opowiesz im historię o małym zajączku, a następnie pokażesz ten rysunek, wówczas raczej zobaczą linie wytyczające królika. Pytanie do pracy własnej Czy kiedykolwiek zdarzyła ci się taka sytuacja: w radiu leci piosenka, którą zaczynasz śpiewać, ale później orientujesz się, że słowa są zupełnie inne? Czy po takim zdarzeniu zmieniło się twoje postrzeganie tej piosenki? domknięcie (ang. closure) organizowanie percepcji w obiekty kompletne (całościowe), a nie jako serii osobnych części, np. mózg rozpoznaje figurę nawet wtedy, gdy widzi jedynie jej część relacja figura–tło (ang. figure-ground relationship ) interpretowanie pola widzenia jako figury i tła psychologia postaci (psychologia Gestalt) (ang. Gestalt psychology) obszar psychologii oparty na koncepcji, która odróżnia całość od sumy jej części ciągłość widzenia (ang. continuity) zjawisko, w którym mózg uzupełnia brakujące informacje, np. przerwaną linię widzimy jako ciągłą postrzeganie wzorców (ang. pattern perception) umiejętność rozróżniania figur i kształtów hipoteza percepcyjna (ang. perceptual hypothesis) oparta na wiedzy interpretacja informacji sensorycznych zasada domknięcia (ang. principle of closure) organizowanie pola percepcyjnego w kompletne obiekty zamiast w zbiory elementów zasada bliskości (ang. principle of proximity ) obiekty znajdujące się blisko siebie są grupowane razem jako powiązane ze sobą zasada podobieństwa (ang. principle of similarity ) tendencja do grupowania obiektów, które są do siebie podobne pod względem określonej cechy", "section": "Zasady postrzegania w psychologii Gestalt", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Młode żółwie morskie zaraz po wykluciu się wiedzą, jak trafić do oceanu i potrafią pływać. Ludzie po urodzeniu nie potrafią nawet chodzić, a co dopiero pływać (i surfować). (Źródło: „żółw” modyfikacja pracy Becky Skiby, USFWS; „surfer: modyfikacja pracy Mike'a Bairda). Letnie słońce świeci jasno na bezludnej plaży. Z piasku wyłania się maleńka szara główka, a następnie kolejna i jeszcze kolejna. Wkrótce na plaży aż kłębi się od żółwiątek z gatunku Caretta ( ). Żółwiki te dokładnie wiedzą, co mają zrobić, chociaż wykluły się zaledwie kilkanaście minut temu. Chociaż ich płetwy nie są jeszcze wystarczająco sprawne w poruszaniu się po gorącym piasku, zwierzątka instynktownie kontynuują spacer w kierunku wody. Na niektóre z nich szybko rzucą się krążące w górze mewy, inne zaś staną się obiadem dla głodnych krabów wyskakujących ze swoich nor. Mimo czających się niebezpieczeństw coś popycha żółwiątka do porzucenia bezpiecznych schronień i szukania oceanu. Niedaleko tej samej plaży Ben i jego syn, Julian, pływają po oceanie na deskach surfingowych. Zbliża się fala, więc Julian przykuca na desce, a następnie podskakuje i surfuje kilka sekund na fali, traci równowagę i, płynąc obok deski, obserwuje swojego ojca sprawnie ślizgającego się po fali. W przeciwieństwie do małych żółwiątek morskich, które bez pomocy rodziców potrafią znaleźć ocean i pływać, my – ludzie – nie rodzimy się z umiejętnością pływania (czy surfowania); jesteśmy jednak dumni z naszej zdolności uczenia się. I rzeczywiście: przez tysiące lat w różnych kulturach stworzyliśmy instytucje poświęcone wyłącznie edukacji. Ale czy kiedykolwiek zadawaliście sobie pytanie, jak to się dzieje, że potrafimy się uczyć? Jakie procesy sprawiają, że zaczynamy gromadzić wiedzę? W tym rozdziale przyjrzymy się podstawowym rodzajom uczenia się. References Anderson, C. A., & Gentile, D. A. (2008). Media violence, aggression, and public policy. In E. Borgida & S. Fiske (Eds.), Beyond common sense: Psychological science in the courtroom (p. 322). Malden, MA: Blackwell. Bandura, A., Ross, D., & Ross, S. A. (1961). Transmission of aggression through imitation of aggressive models. Journal of Abnormal and Social Psychology, 63 , 575–582. Cangi, K., & Daly, M. (2013). The effects of token economies on the occurrence of appropriate and inappropriate behaviors by children with autism in a social skills setting. West Chester University: Journal of Undergraduate Research . Retrieved from http://www.wcupa.edu/UndergraduateResearch/journal/documents/cangi_S2012.pdf Carlson, L., Holscher, C., Shipley, T., & Conroy Dalton, R. (2010). Getting lost in buildings. Current Directions in Psychological Science, 19 (5), 284–289. Cialdini, R. B. (2008). Influence: Science and practice (5th ed.). Boston, MA: Pearson Education. Chance, P. (2009). Learning and behavior (6th ed.). Belmont, CA: Wadsworth, Cengage Learning. DeAngelis, T. (2010). ‘Little Albert’ regains his identity. Monitor on Psychology, 41 (1), 10. Franzen, H. (2001, May 24). Gambling, like food and drugs, produces feelings of reward in the brain. Scientific American [online]. Retrieved from http://www.scientificamerican.com/article.cfm?id=gamblinglike-food-and-dru Fryer, R. G., Jr. (2010, April). Financial incentives and student achievement: Evidence from randomized trials. National Bureau of Economic Research [NBER] Working Paper, No. 15898 . Retrieved from http://www.nber.org/papers/w15898 Garcia, J., & Koelling, R. A. (1966). Relation of cue to consequence in avoidance learning. Psychonomic Science, 4 , 123–124. Garcia, J., & Rusiniak, K. W. (1980). What the nose learns from the mouth. In D. Müller-Schwarze & R. M. Silverstein (Eds.), Chemical signals: Vertebrates and aquatic invertebrates (pp. 141–156). New York, NY: Plenum Press. Gershoff, E. T. (2002). Corporal punishment by parents and associated child behaviors and experiences: A meta-analytic and theoretical review. Psychological Bulletin, 128 (4), 539–579. doi: 10.1037//0033-2909.128.4.539 Gershoff, E.T., Grogan-Kaylor, A., Lansford, J. E., Chang, L., Zelli, A., Deater-Deckard, K., & Dodge, K. A. (2010). Parent discipline practices in an international sample: Associations with child behaviors and moderation by perceived normativeness. Child Development, 81 (2), 487–502. Hickock, G. (2010). The role of mirror neurons in speech and language processing. Brain and Language, 112 , 1–2. Holmes, S. (1993). Food avoidance in patients undergoing cancer chemotherapy. Support Care Cancer, 1 (6), 326–330. Hunt, M. (2007). The story of psychology . New York, NY: Doubleday. Huston, A. C., Donnerstein, E., Fairchild, H., Feshbach, N. D., Katz, P. A., Murray, J. P., . . . Zuckerman, D. (1992). Big world, small screen: The role of television in American society . Lincoln, NE: University of Nebraska Press. Hutton, J. L., Baracos, V. E., & Wismer, W. V. (2007). Chemosensory dysfunction is a primary factor in the evolution of declining nutritional status and quality of life with patients with advanced cancer. Journal of Pain Symptom Management, 33 (2), 156–165. Illinois Institute for Addiction Recovery. (n.d.). WTVP on gambling . Retrieved from http://www.addictionrecov.org/InTheNews/Gambling/ Jacobsen, P. B., Bovbjerg, D. H., Schwartz, M. D., Andrykowski, M. A., Futterman, A. D., Gilewski, T., . . . Redd, W. H. (1993). Formation of food aversions in cancer patients receiving repeated infusions of chemotherapy. Behaviour Research and Therapy, 31 (8), 739–748. Kirsch, SJ (2010). Media and youth: A developmental perspective. Malden MA: Wiley Blackwell. Lefrançois, G. R. (2012). Theories of human learning: What the professors said (6th ed.). Belmont, CA: Wadsworth, Cengage Learning. Miller, L. E., Grabell, A., Thomas, A., Bermann, E., & Graham-Bermann, S. A. (2012). The associations between community violence, television violence, intimate partner violence, parent-child aggression, and aggression in sibling relationships of a sample of preschoolers. Psychology of Violence, 2(2), 165–78. doi:10.1037/a0027254 Murrell, A., Christoff, K. & Henning, K. (2007) Characteristics of domestic violence offenders: associations with childhood exposure to violence. Journal of Family Violence, 22 (7), 523-532. Pavlov, I. P. (1927). Conditioned reflexes: An investigation of the physiological activity of the cerebral cortex (G. V. Anrep, Ed. & Trans.). London, UK: Oxford University Press. Rizzolatti, G., Fadiga, L., Fogassi, L., & Gallese, V. (2002). From mirror neurons to imitation: Facts and speculations. In A. N. Meltzoff & W. Prinz (Eds.), The imitative mind: Development, evolution, and brain bases (pp. 247–66). Cambridge, United Kingdom: Cambridge University Press. Rizzolatti, G., Fogassi, L., & Gallese, V. (2006, November). Mirrors in the mind. Scientific American [online], pp. 54–61. Roy, A., Adinoff, B., Roehrich, L., Lamparski, D., Custer, R., Lorenz, V., . . . Linnoila, M. (1988). Pathological gambling: A psychobiological study. Archives of General Psychiatry, 45 (4), 369–373. doi:10.1001/archpsyc.1988.01800280085011 Skinner, B. F. (1938). The behavior of organisms: An experimental analysis . New York, NY: Appleton-Century-Crofts. Skinner, B. F. (1953). Science and human behavior . New York, NY: Macmillan. Skinner, B. F. (1961). Cumulative record: A selection of papers . New York, NY: Appleton-Century-Crofts. Skinner’s utopia: Panacea, or path to hell? (1971, September 20). Time [online]. Retrieved from http://www.wou.edu/~girodm/611/Skinner%27s_utopia.pdf Skolin, I., Wahlin, Y. B., Broman, D. A., Hursti, U-K. K., Larsson, M. V., & Hernell, O. (2006). Altered food intake and taste perception in children with cancer after start of chemotherapy: Perspectives of children, parents and nurses. Supportive Care in Cancer, 14 , 369–78. Thorndike, E. L. (1911). Animal intelligence: An experimental study of the associative processes in animals. Psychological Monographs, 8 . Tolman, E. C., & Honzik, C. H. (1930). Degrees of hunger, reward, and non-reward, and maze performance in rats. University of California Publications in Psychology, 4 , 241–256. Tolman, E. C., Ritchie, B. F., & Kalish, D. (1946). Studies in spatial learning: II. Place learning versus response learning. Journal of Experimental Psychology, 36 , 221–229. doi:10.1037/h0060262 Watson, J. B. & Rayner, R. (1920). Conditioned emotional reactions. Journal of Experimental Psychology, 3 , 1–14. Watson, J. B. (1919). Psychology from the standpoint of a behaviorist . Philadelphia, PA: J. B. Lippincott. Yamamoto, S., Humle, T., & Tanaka, M. (2013). Basis for cumulative cultural evolution in chimpanzees: Social learning of a more efficient tool-use technique. PLoS ONE, 8 (1): e55768. doi:10.1371/journal.pone.0055768", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Na czym polega proces uczenia się? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, czym wyuczone zachowania różnią się od instynktów i odruchów Zdefiniować uczenie się Rozpoznać i zdefiniować trzy podstawowe formy uczenia się – warunkowanie klasyczne, warunkowanie instrumentalne i uczenie się przez obserwację Noworodki ssą pierś matki. Psy strząsają wodę z mokrego futra, łososie płyną pod prąd rzeki, aby odbyć tarło, pająki przędą skomplikowane sieci, a ptaki budują gniazda i migrują, kiedy zbliża się zima. Co łączy te pozornie niepowiązane zachowania? Wszystkie one są zachowaniami niewyuczonymi . Zarówno instynkty, jak i odruchy są wrodzonymi (niewyuczonymi) zachowaniami istot żywych. Odruchy (ang. reflex ) to reakcje motoryczne lub neuronalne na określone bodźce pochodzące z otoczenia. Są zazwyczaj prostsze od instynktów, wiążą się z aktywnością określonych części ciała i układów (np. odruch kolanowy i skurcz źrenicy w jasnym świetle) oraz angażują bardziej prymitywne obszary ośrodkowego układu nerwowego (np. rdzeń kręgowy oraz rdzeń przedłużony). Instynkty (ang. instinct ) to zaś wrodzone zachowania, które w przeciwieństwie do odruchów są wywoływane przez szerszy kontekst zdarzeń, takich jak dojrzewanie i zmiana pór roku. Są to bardziej złożone wzorce zachowań, obejmujące ruch organizmu jako całości (np. aktywność seksualna i migracja), którymi zajmują się wyższe ośrodki mózgowe. Zarówno odruchy, jak i instynkty pomagają organizmowi dostosować się do otoczenia bez konieczności uczenia się. Na przykład każdy zdrowy noworodek ma odruch ssania. Nikt nie uczy dziecka ssać, tak jak nikt nie uczy żółwiątka morskiego przemieszczać się w kierunku oceanu. Uczenie się, podobnie jak odruchy i instynkty, pozwala istotom żywym przystosować się do środowiska. W przeciwieństwie do instynktów i odruchów zachowania wyuczone wiążą się ze zmianami i doświadczeniem: uczenie się (ang. learning ) jest względnie trwałą zmianą zachowania lub wiedzy wynikającą z indywidualnego doświadczenia. Inaczej niż w przypadku omawianych wcześniej zachowań wrodzonych uczenie się wymaga zdobywania wiedzy i umiejętności poprzez doświadczenie. Powróćmy do scenki z surfowaniem: Julian będzie musiał przez długi czas trenować na desce surfingowej, zanim nauczy się pływać na falach jak jego ojciec. Nauka surfowania, a także czegokolwiek innego, co wymaga złożonego procesu uczenia się (np. studiowanie wszystkich działów psychologii), obejmuje złożoną interakcję procesów świadomych i nieświadomych. Zazwyczaj badano uczenie się pod kątem jego najprostszych składowych — skojarzeń, które nasze umysły automatycznie tworzą między wydarzeniami. Umysły mają naturalną skłonność do łączenia zdarzeń występujących blisko siebie lub kolejno po sobie. Uczenie się skojarzeniowe (inaczej uczenie się asocjacyjne ) (ang. associative learning ) pojawia się, gdy człowiek tworzy powiązania między bodźcami lub zdarzeniami, które współwystępują w danym środowisku. Jak niedługo wyjaśnimy, uczenie się asocjacyjne (skojarzeniowe) jest kluczowe dla wszystkich trzech podstawowych rodzajów uczenia się omówionych w tym rozdziale; warunkowanie klasyczne zwykle angażuje procesy nieświadome, warunkowanie sprawcze (czasami określane jako instrumentalne ) przeważnie łączy się z procesami świadomymi, a uczenie się przez obserwację do wszystkich podstawowych procesów skojarzeniowych, zarówno świadomych, jak i nieświadomych, dorzuca warstwy społeczną i poznawczą. Te rodzaje uczenia się zostaną omówione szczegółowo w dalszej części rozdziału. Poniżej przedstawiamy krótką charakterystykę mechanizmów uczenia się. W warunkowaniu klasycznym, znanym również jako warunkowanie pawłowowskie (od nazwiska jego odkrywcy Iwana Pawłowa (1849-1936)) jednostki uczą się kojarzyć zdarzenia — lub bodźce — które współwystępują wielokrotnie. Doświadczamy tego procesu w całym naszym życiu codziennym. Na przykład podczas burzy na niebie można zobaczyć błyskawicę, a następnie usłyszeć huk gromu. To naturalne, że na odgłos grzmotu podskakujemy (taka reakcja na hałaśliwe dźwięki jest odruchem). A skoro błyskawica niezawodnie zapowiada zbliżający się grom, możesz skojarzyć te dwa zjawiska i podskakiwać, gdy zobaczysz błyskawicę. Naukowcy zajmujący się psychologią badają ten proces asocjacyjny, koncentrując się na tym, co można zobaczyć i zmierzyć obiektywnie, czyli na zachowaniach i ich wyzwalaczach (reakcjach i bodźcach). Badacze zastanawiają się więc, czy jeśli określony bodziec wyzwala określony odruch, to możemy użyć innego bodźca, aby wywołać ten sam odruch. W warunkowaniu sprawczym osobniki uczą się kojarzyć zdarzenia: zachowanie i jego konsekwencje (wzmocnienie lub karanie). Przyjemne konsekwencje (wzmocnienia) zachęcają do określonego zachowania w przyszłości, podczas gdy karanie zniechęca do danego zachowania. Wyobraź sobie, że uczysz swojego psa Hodora siadania na komendę. Mówisz mu, żeby usiadł, i dajesz przysmak, kiedy to zrobi. Po wielokrotnych doświadczeniach Hodor zaczyna kojarzyć czynność siadania z otrzymaniem przekąski. Uczy się w ten sposób, że konsekwencją siedzenia jest to, że dostaje swój psi biszkopt ( ). I odwrotnie, jeśli karzesz psa za przejawy jakiegoś zachowania, warunkujesz go do unikania tego zachowania (np. gdy doznaje lekkiego porażenia prądem podczas przekraczania granicy niewidzialnego ogrodzenia elektrycznego). W warunkowaniu sprawczym reakcja powiązana jest z konsekwencją. Ten pies właśnie nauczył się, że pewne jego zachowania skutkują zdobyciem przysmaku. (Źródło: Crystal Rolfe). W przeciwieństwie do warunkowania klasycznego i sprawczego, w którym nauka odbywa się tylko poprzez bezpośrednie, osobiste doświadczanie, uczenie się przez obserwację jest procesem patrzenia na innych, a następnie naśladowania tego, co oni robią (a więc uczeniem się z obserwacji doświadczeń innych). Wiele z procesów uczenia się u ludzi i u zwierząt zachodzi właśnie za pośrednictwem obserwacji. Aby uzyskać wyobrażenie o tym, jak wysoką skuteczność niesie za sobą nauka przez obserwację, zastanów się nad sytuacją Bena i jego syna Juliana (o których była mowa we wprowadzeniu do tego rozdziału). Jak samo patrzenie może pomóc Julkowi nauczyć się surfowania zamiast samodzielnego ćwiczenia metodą prób i błędów? Obserwując ojca, Julek może naśladować ruchy, które pozwalają utrzymać się na desce, i unikać tych, które skutkują utratą równowagi. Przypomnij sobie swoje doświadczenia; każdy z nas uczy się przez obserwację. Dwa rodzaje warunkowania omówione w tym rozdziale są częścią szczególnego nurtu w psychologii, zwanego behawioryzmem , który omówimy w następnym podrozdziale. Te podejścia nie reprezentują jednak całego pojmowania uczenia się. Odrębne nurty postrzegania uczenia się – np. koncentrujące się na pamięci i poznaniu – wykształciły się w różnych podejściach teoretycznych; dlatego kolejne rozdziały pozwolą pełniej zrozumieć ten temat. Z biegiem czasu nurty te zaczęły się zbiegać. Na przykład w tym rozdziale dowiesz się, jak zaczęto przypisywać większą rolę poznaniu w behawioryzmie, którego bardziej radykalni zwolennicy upierali się kiedyś, że zachowania są wywoływane przez środowisko, bez jakiegokolwiek zaangażowania myśli. Streszczenie Instynkty i odruchy są zachowaniami wrodzonymi — występują naturalnie i nie wymagają uczenia się. Natomiast uczenie się jest zmianą zachowania lub wiedzy wynikającą z doświadczenia. W rozdziale zostały opisane trzy główne rodzaje uczenia się: warunkowanie klasyczne, warunkowanie sprawcze i uczenie się przez obserwację. Zarówno warunkowanie klasyczne, jak i sprawcze są formami uczenia się skojarzeniowego, w którym powstają powiązania między współwystępującymi zdarzeniami. Uczenie się przez obserwację polega na tym, na co wskazuje jego nazwa: jest nauką na podstawie obserwacji zachowania innych. Pytania kontrolne Która z poniższych sytuacji jest przykładem odruchu pojawiającego się w pewnym momencie rozwoju człowieka? dziecko jadące na rowerze nastolatek prowadzący życie towarzyskie niemowlę ssące pierś małe dziecko stawiające pierwsze kroki C Uczenie się to stosunkowo trwała zmiana zachowania, która ________. jest wrodzona pojawia się w wyniku doświadczenia indywidualnego występuje tylko u ludzi zachodzi poprzez obserwowanie innych B Dwa rodzaje uczenia się skojarzeniowego to ________ i ________. warunkowanie klasyczne; warunkowanie sprawcze warunkowanie klasyczne; warunkowanie pawłowowskie warunkowanie sprawcze; uczenie się przez obserwację warunkowanie sprawcze; warunkowanie uczenia się A W ________ bodziec lub doświadczenie pojawiają się przed zachowaniem, a następnie zostają z nim połączone. uczeniu się poznawczym uczeniu się przez obserwację warunkowaniu sprawczym warunkowaniu klasycznym D Istotne kwestie do przemyślenia Porównaj ze sobą warunkowanie klasyczne i sprawcze. W czym są podobne do siebie? A czym się różnią? Zarówno warunkowanie klasyczne, jak i sprawcze wymagają uczenia się przez skojarzenie. W warunkowaniu klasycznym reakcje są mimowolne i automatyczne; przeciwnie zaś w warunkowaniu sprawczym, gdzie mają charakter wyuczony. W warunkowaniu klasycznym wydarzenie wywołujące zachowanie (bodziec) występuje przed nim lub równocześnie z nim; w warunkowaniu sprawczym zdarzenie, które kieruje zachowaniem (konsekwencja), następuje po tym zachowaniu. Oprócz powyższych różnic warunkowanie klasyczne oznacza, że jednostka tworzy związek między mimowolną (odruchową) reakcją a bodźcem, natomiast warunkowanie sprawcze oznacza, że człowiek lub zwierzę tworzy związek między zachowaniem a konsekwencją. Jaka jest różnica między odruchem a zachowaniem wyuczonym? Odruchy to zachowania, z którymi ludzie rodzą się, czyli od początku umieją je wykonywać, np. ssanie lub rumienienie się; aktywności te zachodzą automatycznie w reakcji na bodźce pochodzące ze środowiska. Zachowania wyuczone to czynności, które nie są wrodzone i ludzie muszą się ich nauczyć, np. pływanie i surfowanie. Zachowania wyuczone nie są automatyczne (chociaż mogą z czasem ulec automatyzacji); pojawiają się w konkretnej sytuacji w wyniku praktyki lub powtarzającego się doświadczenia. Pytania dotyczące zastosowania osobistego Jaka jest twoja osobista definicja uczenia się? Jak twoje objaśnienie tego procesu ma się do definicji uczenia się przedstawionej w tekście? Jakich czynności udało ci się nauczyć dzięki procesowi warunkowania klasycznego? Co zawdzięczasz warunkowaniu sprawczemu, a co uczeniu się przez obserwację? Jak wyglądała ta nauka? uczenie się skojarzeniowe, uczenie się asocjacyjne (ang. associative learning ) rodzaj uczenia się, które polega na łączeniu pewnych bodźców lub zdarzeń współwystępujących w środowisku (warunkowanie klasyczne i sprawcze) instynkt (ang. instinct ) wiedza niewyuczona, wrodzona, obejmująca złożone wzorce zachowania; uważa się, że instynkty są bardziej rozpowszechnione u zwierząt niższych niż u ludzi uczenie się (ang. learning ) zmiana zachowania lub wiedzy będąca wynikiem doświadczenia indywidualnego odruch (ang. reflex ) niewyuczona, automatyczna reakcja organizmu na bodziec pochodzący ze środowiska", "section": "Na czym polega proces uczenia się?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Warunkowanie klasyczne Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, jak zachodzi warunkowanie klasyczne Podsumować procesy nabywania, wymierania, spontanicznego odzyskiwania, uogólniania i dyskryminacji Czy nazwisko Iwan Pawłow (1849–1936) coś ci mówi? Nawet jeśli dopiero zaczynasz studiować psychologię, to prawdopodobnie obiło ci się ono o uszy i kojarzysz słynny termin psy Pawłowa . Pawłow, naukowiec rosyjski, przeprowadził szerokie badania na psach, ale to eksperymenty nad warunkowaniem (ang. conditioning ) klasycznym rozsławiły go najbardziej ( ). Jak to omówiliśmy pokrótce w poprzednim podrozdziale, warunkowanie klasyczne (ang. classical conditioning ) jest procesem, w którym uczymy się kojarzyć bodźce z reakcjami i dzięki temu działać w sposób przewidywalny. Badania Iwana Pawłowa nad układem trawiennym psów niespodziewanie doprowadziły go do odkrycia procesu uczenia się, znanego obecnie jako warunkowanie klasyczne . Pawłow zupełnie przypadkowo odkrył, jak zachodzi proces uczenia się. Był bowiem fizjologiem, a nie psychologiem. Fizjolodzy badają procesy życiowe organizmów od poziomu molekularnego do poziomu komórek, układów narządów i wreszcie - całych organizmów. Obszarem zainteresowań Pawłowa był układ trawienny (Hunt, 2007). W prowadzonych na przełomie XIX i XX w., do 1903 r., badaniach nad psami Pawłow mierzył objętość śliny wytworzonej w reakcji na różne pokarmy. Po pewnym czasie zauważył, że psy zaczęły się ślinić nie tylko podczas spożywania jedzenia, lecz także na widok jedzenia, na widok pustej miski na jedzenie, a nawet na dźwięk kroków nadchodzących asystentów laboratoryjnych (Pawłow, 1927). Wytwarzanie w pysku śliny potrzebnej do spożywania pokarmu jest odruchowe, więc nie ma potrzeby uczenia się go. Jednakże psy instynktownie nie ślinią się na widok pustej miski ani na odgłos kroków. Te niezwykłe reakcje zaintrygowały Pawłowa, który zaczął się zastanawiać, z czego wynikają te psie (jak je nazwał) wydzieliny psychiczne (Pawłow, 1927). Aby zbadać to zjawisko w obiektywny sposób, badacz zaplanował serię starannie kontrolowanych eksperymentów sprawdzających, które bodźce mogą spowodować ślinienie się psów. Potrafił wyszkolić psy do ślinienia się w reakcji na bodźce, które nie miały nic wspólnego z jedzeniem, takie jak dźwięk dzwonka, światło i dotknięcie łapy psa. Przeprowadziwszy te eksperymenty, Pawłow zdał sobie sprawę, że istoty żywe mają dwa rodzaje reakcji na otoczenie: (1) bezwarunkowe (niewyuczone) reakcje lub odruchy i (2) warunkowe (wyuczone) reakcje. W eksperymentach Pawłowa psy śliniły się za każdym razem, gdy podawano im proszek mięsny. Proszek mięsny w tej sytuacji to bodziec bezwarunkowy (ang. unconditioned stimulus ), czyli bodziec wywołujący reakcję w organizmie. Ślinienie się psów to reakcja bezwarunkowa ( odruch bezwarunkowy ) (ang. unconditioned response ): naturalna (niewyuczona) reakcja na dany bodziec (proszek mięsny). Można przedstawić bodziec i reakcję psów przed warunkowaniem w następujący sposób: proszek mięsny (bodziec bezwarunkowy) → ślinienie się (odruch bezwarunkowy, reakcja bezwarunkowa) W warunkowaniu klasycznym bodziec neutralny jest prezentowany bezpośrednio przed bodźcem bezwarunkowym. Pawłow używał dźwięku (na przykład dzwonka), a następnie dawał psom proszek mięsny ( ). Dźwięk dzwonka to bodziec obojętny (ang. neutral stimulus ), czyli bodziec, który w normalnych warunkach nie wywołuje reakcji. Przed warunkowaniem psy nie śliniły się po usłyszeniu dźwięku, ponieważ dzwonek nie wywoływał w nich żadnych skojarzeń z pożywieniem (psy nie jedzą dzwonków). dźwięk (bodziec obojętny) + proszek mięsny (bodziec bezwarunkowy) → → ślinienie się (odruch bezwarunkowy, reakcja bezwarunkowa) Kiedy Pawłow za każdym razem łączył dźwięk z podaniem proszku mięsnego, bodziec poprzednio obojętny (dźwięk) również zaczął wywoływać ślinienie się psów. Zatem bodziec obojętny zmienił się w bodziec warunkowy (ang. conditioned stimulus ), który wywołuje reakcję po wielokrotnym połączeniu go z bodźcem bezwarunkowym. W końcu psy zaczęły ślinić się na sam dźwięk dzwonka, tak jak wcześniej śliniły się, słysząc kroki asystentów. Zachowanie spowodowane przez bodziec warunkowy to tzw. reakcja warunkowa ( odruch warunkowy ) (ang. conditioned response ). W eksperymentach Pawłowa psy nauczyły się kojarzyć dźwięk (bodziec warunkowy) z karmieniem i zaczęły się ślinić (reakcja warunkowa) w oczekiwaniu na jedzenie. dźwięk (bodziec obojętny) → ślinienie się (odruch bezwarunkowy, reakcja bezwarunkowa) Przed warunkowaniem bodziec bezwarunkowy (pożywienie) wywołuje reakcję bezwarunkową (ślinienie się), a bodziec obojętny (dzwonek) nie wyzwala reakcji. Podczas warunkowania bodziec bezwarunkowy (pożywienie) jest podawany wielokrotnie zaraz po pojawieniu się bodźca obojętnego (dzwonka). Po uwarunkowaniu sam bodziec obojętny wywołuje reakcję warunkową (ślinienie się), stając się tym samym bodźcem warunkowym. Obejrzyj ten film , aby dowiedzieć się więcej o Pawłowie i jego psach. Zastosowanie warunkowania klasycznego w prawdziwym życiu Jak działa warunkowanie klasyczne w codziennym życiu? Rozpatrzmy przypadek Moniki, u której zdiagnozowano nowotwór. Bezpośrednio po pierwszej chemioterapii zwymiotowała. Tak też działo się po każdym podaniu leków w trakcie chemioterapii. Leczenie okazało się skuteczne i nowotwór wszedł w fazę remisji. Jednak gdy co pół roku Monika przychodzi na wizytę kontrolną w gabinecie swojego lekarza onkologa, odczuwa mdłości. W tym przypadku leki stosowane w trakcie chemioterapii są bodźcem bezwarunkowym, wymiotowanie jest reakcją bezwarunkową, gabinet lekarski – bodźcem warunkowym po powiązaniu z bodźcem bezwarunkowym, a mdłości reakcją warunkową. Przypuśćmy, że Monice leki w trakcie chemioterapii podawano za pomocą strzykawki. Po wejściu do gabinetu Monika widziała strzykawkę, a następnie dostawała leki. Zatem skojarzy z podaniem leku nie tylko gabinet lekarski, lecz także strzykawkę i będzie reagować mdłościami również na jej widok. Jest to przykład warunkowania wyższego rzędu (czyli drugiego rzędu), w którym bodziec warunkowy (gabinet lekarza) służy do warunkowania innego bodźca (strzykawka). Trudno jest osiągnąć warunkowanie wyższego rzędu niż drugi. Na przykład: gdyby za każdym razem, kiedy Monika otrzymywała leki za pomocą strzykawki, w gabinecie lekarza dzwonił dzwonek, zapewne nigdy nie miałaby mdłości po usłyszeniu dzwonka. Przypuśćmy, że masz kota o imieniu Tygrysek, który jest dość rozpieszczony. Trzymasz jego jedzenie w osobnej szafce, a także masz specjalny, elektryczny otwieracz do konserw, którego używasz tylko do otwierania puszek z kocią karmą. Przed każdym swoim posiłkiem Tygrysek słyszy charakterystyczny dźwięk otwieracza („wyr-wyr-wyr”), a następnie dostaje jedzenie. Tygrysek szybko uczy się, że kiedy usłyszy „wyr-wyr-wyr”, dostanie pokarm. Jak sądzisz, co zrobi Tygrysek, gdy usłyszy dźwięk wydawany przez otwieracz? Prawdopodobnie będzie podekscytowany i pobiegnie do miejsca, gdzie przygotowujesz mu karmę. To jest przykład warunkowania klasycznego. Co jest w tej sytuacji: bodźcem bezwarunkowym, bodźcem warunkowym, reakcją bezwarunkową i reakcją warunkową? Co się stanie, jeśli szafka, w której trzymasz jedzenie Tygryska, zacznie skrzypieć przy otwieraniu? W takiej sytuacji Tygrysek słyszy najpierw skrzypienie (szafki), następnie „wyr-wyr-wyr” (elektrycznego otwieracza do konserw), a potem dostaje jedzenie. Tygrysek z czasem będzie pobudzony już wtedy, gdy usłyszy skrzypienie szafki. Łączenie nowego bodźca obojętnego (skrzypienia) z bodźcem warunkowym („wyr-wyr-wyr”) to tzw. warunkowanie wyższego rzędu (ang. higher-order conditioning ) lub warunkowanie drugiego rzędu (ang. second-order conditioning ). Oznacza to, że używasz bodźca warunkowego (otwieracza do puszek) do warunkowania innego bodźca (skrzypiącej szafki) ( ). Trudno jest osiągnąć bardziej skomplikowane warunkowanie niż drugiego rzędu. Na przykład: kiedy zadzwoni dzwonek, otworzysz szafkę (skrzypienie), użyjesz otwieracza do konserw („wyr-wyr-wyr”), a następnie nakarmisz Tygryska, kot prawdopodobnie nigdy nie zainteresuje się samym dźwiękiem dzwonka. W warunkowaniu wyższego rzędu konkretny bodziec warunkowy jest skojarzony z nowym bodźcem obojętnym (bodźcem drugiego rzędu) tak, że ostatecznie nowy bodziec również wywołuje reakcję warunkową, już bez konieczności obecności początkowego bodźca warunkowego. Warunkowanie klasyczne w Stingray City Kate i jej małżonek niedawno spędzili wakacje na Kajmanach i zarezerwowali wycieczkę łodzią do Stingray City, gdzie mogli pływać z ogończami amerykańskimi i karmić je. Kapitan łodzi opowiedział im, jak to się stało, że ten gatunek zazwyczaj samotnych płaszczek przyzwyczaił się do interakcji z ludźmi. Otóż około 40 lat temu rybacy zaczęli czyścić ryby i muszle ślimaków (bodziec bezwarunkowy) na piaszczystej mierzei w pobliżu rafy koralowej, a duża liczba ogończy przypływała, aby zjeść (reakcja bezwarunkowa) to, co rybacy wrzucali do wody. Trwało to latami. Pod koniec lat osiemdziesiątych wiadomość o dużej grupie tych płaszczek rozprzestrzeniła się wśród nurków, którzy następnie zaczęli je karmić własnoręcznie. Z czasem ogończe amerykańskie w tej okolicy zostały uwarunkowane klasycznie, podobnie jak psy Pawłowa. Teraz kiedy słyszą dźwięk silnika łodzi (bodziec obojętny, który stał się bodźcem warunkowym), wiedzą, że będą jeść (reakcja warunkowa). Gdy tylko Kate i jej małżonek dotarli do Stingray City, ich łódź wycieczkową otoczyło kilkadziesiąt ogończy. Para wślizgnęła się do wody z torebkami kalmarów – ulubionym przysmakiem tych płaszczek. Ławica płaszczek potrącała i ocierała się o ich nogi jak głodne koty ( ). Kate mogła karmić i przytulać te niesamowite stworzenia. Kiedy jednak zniknęły wszystkie kalmary, płaszczki odpłynęły. Dodajmy tu na marginesie, że choć pływanie z ogończami czy manatami pewnie dla większości z nas byłoby wielką atrakcją turystyczną, to zalecamy powściągliwość w realizacji tego marzenia i sugerujemy pozostanie na łodzi. Kontakt fizyczny z dzikimi zwierzętami jest zbyt dużą ingerencją w ich środowisko naturalne. Kate w Stingray City na Kajmanach, trzymająca w rękach ogończę amerykańską. Te płaszczki zostały uwarunkowane klasycznie, aby kojarzyć dźwięk silnika łodzi z żywnością dostarczaną przez turystów. (Źródło: Kathryn Dumper). Warunkowanie klasyczne występuje także u ludzi, już nawet u niemowląt. Na przykład: Sara kupuje swojej sześciomiesięcznej córce Angelinie mleko dla niemowląt pakowane w niebieskie pojemniki. Za każdym razem, gdy Sara wyjmuje pojemnik z mlekiem, Angelina ożywia się, próbuje sięgnąć po jedzenie i najprawdopodobniej ślini się. Dlaczego Angelina jest podekscytowana widokiem opakowania mleka? Co jest tutaj: bodźcem bezwarunkowym, bodźcem warunkowym, reakcją bezwarunkową i reakcją warunkową? Do tej pory wszystkie przykłady dotyczyły karmienia, ale warunkowanie klasyczne wykracza poza podstawową potrzebę jedzenia. Rozważmy wspomniany w poprzednim podrozdziale przykład psa, którego właściciele zainstalowali niewidzialny elektryczny płot, tzw. elektrycznego pastucha. Mały wstrząs elektryczny (bodziec bezwarunkowy) wywołuje dyskomfort (reakcja bezwarunkowa). Gdy bodziec bezwarunkowy (porażenie prądem) jest połączony z bodźcem obojętnym (linia graniczna podwórka), pies kojarzy dyskomfort (reakcja bezwarunkowa) z brzegami podwórka (bodziec warunkowy) i pozostaje w wyznaczonych mu granicach. W opisanej sytuacji brzegi działki wywołują u psa lęk i niepokój, które są jego reakcją warunkową. Spójrzmy na zabawną stronę warunkowania; obejrzyj wideoklip z serialu telewizyjnego „Biuro” ( The Office ), w którym Jim warunkuje Dwighta, by ten oczekiwał od niego miętówki za każdym razem, gdy komputer Jima wydaje określony dźwięk. Procesy ogólne w warunkowaniu klasycznym Teraz, po zapoznaniu się z kilkoma przykładami, gdy już wiesz, jak działa warunkowanie klasyczne, przyjrzyjmy się niektórym zaangażowanym w nie procesom ogólnym. W warunkowaniu klasycznym początkowy okres uczenia się znany jest jako nabywanie (in. przyswajanie , akwizycja ) (ang. acquisition ), kiedy istota żywa uczy się łączyć bodziec obojętny z bodźcem bezwarunkowym. Podczas nabywania bodziec obojętny zaczyna wywoływać reakcję warunkową, a w końcu bodziec obojętny staje się bodźcem warunkowym, zdolnym do samodzielnego wywołania reakcji warunkowej. Aby doszło do uwarunkowania, ważny jest czas. Zwykle pomiędzy prezentacją bodźca warunkowego i bodźca bezwarunkowego powinna być bardzo krótka przerwa. W zależności od tego, co jest warunkowane, optymalny odstęp wynosi zaledwie pięć sekund (Chance, 2009) czy zaledwie 250 do 700 milisekund dla odruchu mrugania. Jednak w przypadku innych rodzajów warunkowania odstęp ten może wynosić nawet kilka godzin. Awersja pokarmowa (ang. taste aversion ) jest właśnie rodzajem warunkowania, w którym może upłynąć kilka godzin między bodźcem warunkowym (spożycie czegoś) a bodźcem bezwarunkowym (nudności lub choroba). Oto przykład, jak on działa. Pomiędzy zajęciami twój przyjaciel i ty w pośpiechu kupujecie lunch z wózka z jedzeniem w miasteczku studenckim. Jecie na spółkę curry z kurczakiem i biegniecie na następne zajęcia. Kilka godzin później czujesz mdłości i robi ci się niedobrze. Chociaż twojemu przyjacielowi nic nie dolega, a ty stwierdzasz u siebie grypę żołądkową (za twoją chorobę nie jest więc odpowiedzialne jedzenie), rozwija się u ciebie awersja pokarmowa; kiedy następnym razem będziesz w restauracji i ktoś zamówi curry, od razu poczujesz się niedobrze. Mimo że danie z kurczaka nie wywołało u ciebie choroby, rozpoznajesz u siebie awersję pokarmową: doszło do uwarunkowania niechęci do konkretnego jedzenia po pojedynczym złym doświadczeniu. Jak to możliwe, że warunkowanie zadziałało po jednym zdarzeniu i wydłużonym odstępie czasu między zdarzeniem a bodźcem negatywnym? Badania nad awersjami pokarmowymi sugerują, że reakcja ta może być ewolucyjną adaptacją — wspomaga ona organizmy w szybkim uczeniu się unikania szkodliwych pokarmów (Garcia i Rusiniak, 1980; Garcia i Koelling, 1966). Może to nie tylko przyczynić się do przetrwania gatunków poprzez dobór naturalny, ale może również pomóc nam opracować strategie dotyczące wyzwań, na przykład jak zaradzić nudnościom wywołanym przez niektóre metody leczenia u pacjentów chorych na raka (Holmes, 1993; Jacobsen et al., 1993; Hutton et al., 2007; Skolin et al. , 2006). W tym ostatnim przypadku dokonuje się warunkowania awersyjnego na jeden konkretny pokarm, dzięki czemu maleje ryzyko uogólnionej awersji pokarmowej. Garcia i Koelling (1966) wykazali nie tylko, że warunkowana może być awersja pokarmowa, ale też że istnieją biologiczne ograniczenia związane z uczeniem się przez warunkowanie. Badacze poddawali dwie grupy szczurów warunkowaniu, które miało skojarzyć albo smak z zatruciem, albo światło i dźwięk z zatruciem. Okazało się, że wszystkie szczury poddane skojarzeniu określonego smaku i zatrucia nauczyły się unikać tego smaku. Jednocześnie żadne z badanych zwierząt wystawionych na warunkowanie zatrucia światłem i dźwiękiem nie nauczyło się unikania tych bodźców. Praca Garcii i Koellinga dostarcza kolejnych dowodów na to, że mechanizm warunkowania klasycznego może mieć udział w zapewnieniu przetrwania gatunków, ponieważ pomaga uczyć się unikania tych bodźców, które stanowią prawdziwe zagrożenie dla zdrowia i dobrostanu. Robert Rescorla (ur. 1940) wykazał, jak silnie organizm może nauczyć się przewidywania bodźca bezwarunkowego na podstawie warunkowego. Rozważmy dwie sytuacje. Tata Ani zawsze podaje kolację o 18:00. Mama Bartka w jedne dni przygotowuje kolację o 17:00 lub o 18:00, a w pozostałe dni o 19:00. Dla Ani 18:00 jest zawsze porą jedzenia, więc robi się wtedy głodna, nawet jeśli niedawno jadła przekąskę. Natomiast u Bartka skojarzenie 18:00 z jedzeniem nie wykształci się, ponieważ godzina 18:00 nie zawsze oznacza kolację podaną do stołu. Rescorla wraz z Alanem Wagnerem (1934-2018) z Yale University opracowali model matematyczny, za pomocą którego można obliczyć prawdopodobieństwo wystąpienia warunkowania na podstawie siły bodźca warunkowego dla przewidywania pojawienia się bodźca bezwarunkowego i innych czynników. Zaproponowane przez nich wyrażenie matematyczne obecnie nosi nazwę modelu Rescorla-Wagnera (Rescorla i Wagner, 1972). Kiedy już ustalimy związek między bodźcem bezwarunkowym a bodźcem warunkowym, to w jaki sposób likwidujemy to skojarzenie i sprawiamy, że pies, kot lub dziecko przestają na niego reagować? W przypadku Tygryska wyobraź sobie, co by się stało, gdybyśmy przestali używać elektrycznego otwieracza do otwierania kociego jedzenia i zaczęli używać go tylko do otwierania jedzenia ludzkiego. Teraz Tygrysek usłyszy dźwięk otwieracza, ale nie dostanie pokarmu. Według terminologii warunkowania klasycznego pojawi się bodziec warunkowy, ale już nie bodziec bezwarunkowy. Pawłow badał ten scenariusz w swoich eksperymentach z psami: dzwonił dzwonkiem, nie dając psom proszku mięsnego. Wkrótce psy przestały reagować na dźwięk. Wygaszanie (ang. extinction ) jest osłabianiem reakcji warunkowej, gdy bodziec bezwarunkowy nie jest już prezentowany razem z bodźcem warunkowym. Po zaaplikowaniu samego bodźca warunkowego pies, kot lub inne stworzenie żywe będzie wykazywać coraz słabszy odruch, aż w końcu nastąpi brak reakcji. Według terminologii warunkowania klasycznego nastąpi stopniowe osłabienie i zanik reakcji warunkowej. Co się dzieje, gdy reakcja warunkowa nie jest przez jakiś czas wykonywana — kiedy to, co nauczone, leży w uśpieniu? Jak właśnie zostało powiedziane, Pawłow ustalił, że kiedy wielokrotnie pojawiał się dzwonek (bodziec warunkowy) bez proszku mięsnego (bodziec bezwarunkowy), następowało wygaszanie; psy przestawały się ślinić na odgłos dzwonka. Jednak po kilku godzinach odpoczynku od tego treningu wygaszania psy znów zaczęły się ślinić, gdy Pawłow uruchomił dzwonek. Jak myślisz, jak zmieniłoby się zachowanie Tygryska, gdyby twój elektryczny otwieracz do konserw zepsuł się i przestał być używany przez kilka miesięcy? Kiedy w końcu naprawisz urządzenie i znów zaczniesz go używać do otwierania kociej karmy, Tygrysek przypomni sobie związek między otwieraczem do puszek a swoim jedzeniem i na ten dawny dźwięk, podekscytowany, pobiegnie do kuchni. Zachowanie psów Pawłowa i Tygryska obrazuje koncepcję, którą Pawłow zdefiniował jako spontaniczne odnowienie (ang. spontaneous recovery ), czyli ponowne pojawienie się reakcji warunkowej, wygaszonej jakiś czas wcześniej ( ). Wykres przedstawiający nabywanie, wygaszanie i spontaniczne odnowienie reakcji warunkowej. Krzywa rosnąca pokazuje, że reakcja warunkowa szybko wzmacnia się poprzez powtarzanie skojarzonego bodźca warunkowego z bodźcem bezwarunkowym (nabywanie). Następnie krzywa opada, co pokazuje, jak słabnie reakcja warunkowa, gdy pojawia się tylko bodziec warunkowy (wygaszanie). Po zaprzestaniu warunkowania lub po przerwie odruch warunkowy pojawia się ponownie (spontaniczne odnowienie). Oczywiście procesy te dotyczą również ludzi. Załóżmy na przykład, że każdego dnia, gdy przechodzisz przez kampus studencki, mija cię furgonetka z lodami. Dzień po dniu słyszysz muzykę (bodziec obojętny) płynącą z tej lodziarni na kółkach i w końcu przystajesz, aby kupić sobie lody czekoladowe. Zaczynasz je lizać (bodziec bezwarunkowy) i natychmiast ślinka napływa ci do ust (reakcja bezwarunkowa). To początkowy okres uczenia się, nazywany nabywaniem, kiedy zaczynasz łączyć bodziec obojętny (dźwięk z furgonetki) z bodźcem bezwarunkowym (smakiem lodów czekoladowych w ustach). Podczas nabywania reakcja warunkowa wzmacnia się poprzez powtarzanie pary bodziec warunkowy–bodziec bezwarunkowy. Kilka dni i kilka porcji lodów później zauważasz, że masz więcej śliny w ustach (reakcja warunkowa), gdy tylko usłyszysz muzyczkę dobywającą się z furgonetki — czyli na długo przed tym, zanim zabierzesz się za konsumowanie swoich lodów. Aż tu pewnego dnia idziesz ulicą i słyszysz melodyjkę (bodziec warunkowy) zbliżającej się lodziarni. Oczywiście ślinka napłynie ci do ust (reakcja warunkowa), jednak gdy dotrzesz do furgonetki, ku twemu wielkiemu rozczarowaniu dowiesz się, że nie ma już lodów! Przez kilka następnych dni mijasz pojazd i słyszysz dobywającą się z niego muzykę, nie zatrzymujesz się jednak i nie kupujesz lodów, żeby się nie spóźnić na zajęcia. Na dźwięk tej charakterystycznej melodyjki ślinisz się z każdym dniem coraz mniej, aż pod koniec tygodnia na odgłos tej muzyczki już nie napływa ci ślinka. Ten przykład obrazuje wygaszanie. Reakcja warunkowa słabnie, gdy pojawia się sam bodziec warunkowy (dźwięk z furgonetki), bez następującego po nim bodźca bezwarunkowego (lody czekoladowe rozpływające się w ustach). Nadchodzi weekend, a ty nie musisz iść na zajęcia, więc nie spotykasz już furgonetki z lodami. W poniedziałek rano udajesz się zwykłą drogą do miasteczka studenckiego. Za rogiem znów słyszysz lodziarnię. Jak myślisz, co się stanie? Tak, znów poczujesz smak śliny w ustach. Dlaczego? Po przerwie w warunkowaniu ponownie pojawi się reakcja warunkowa, co wskazuje na spontaniczne odnowienie. Nabywanie i wygaszanie obejmują odpowiednio wzmocnienie i osłabienie wyuczonego połączenia. Dwa inne procesy uczenia się — różnicowanie bodźców i ich generalizacja — biorą udział w określaniu, które bodźce będą wywoływać te wyuczone reakcje. Wszystkie zwierzęta (w tym także ludzie) muszą rozróżniać bodźce — na przykład rozpoznać, które dźwięki zwiastują zagrożenie, a które nie — aby mogły odpowiednio reagować (na przykład uciekać, jeśli dźwięk kojarzy się z zagrożeniem). Zjawisko uczenia się przez organizm odmiennego reagowania na różne podobne bodźce znane jest jako różnicowanie bodźców (ang. stimulus discrimination ). Według terminologii warunkowania klasycznego organizm wykazuje reakcję warunkową na sam tylko bodziec warunkowy. Psy Pawłowa umiały odróżniać dźwięk podstawowy, który rozbrzmiewał bezpośrednio przed karmieniem, od innych dźwięków (np. dzwonka do drzwi), ponieważ pozostałe odgłosy nie zapowiadały podania jedzenia. Podobnie Tygrysek rozróżniał dźwięk otwieracza do puszek i odgłos miksera elektrycznego, a więc gdy pracował mikser, kotek nie przybiegał do kuchni w poszukiwaniu jedzenia, bo wiedział, że go nie dostanie. W pierwszym przykładzie, u Moniki cierpiącej na nowotwór, występuje różnicowanie między onkologami i lekarzami innych specjalizacji. Pacjentka nauczyła się nie odczuwać mdłości, gdy odwiedza np. lekarza pierwszego kontaktu. Przeciwieństwem różnicowania bodźców jest generalizacja bodźców (ang. stimulus generalization ), kiedy organizm wykazuje reakcję warunkową na bodźce podobne do bodźca warunkowego. Im bardziej jakiś bodziec podobny jest do bodźca warunkowego, tym bardziej prawdopodobne jest, że wystąpi reakcja warunkowa. Na przykład jeśli odgłosy miksera elektrycznego są bardzo podobne do dźwięku elektrycznego otwieracza do puszek, to Tygrysek może przybiec także, gdy usłyszy mikser. Ale jeśli nie nakarmisz go wtedy, a nadal karmisz go po włączeniu otwieracza do puszek, wówczas kot szybko nauczy się rozróżniać te dwa dźwięki (pod warunkiem że są wystarczająco odmienne, aby dało się je rozróżnić). Monika zaś odczuwa mdłości, gdy odwiedza innych onkologów czy lekarzy innych specjalności przyjmujących w tym samym budynku co jej onkolog. Czasami warunkowanie klasyczne może prowadzić do habituacji. Habituacja (ang. habituation ) zachodzi, gdy uczymy się nie reagować na bodziec, który pojawia się wielokrotnie niezmieniony. Ponieważ taki bodziec pojawia się w kółko, uczymy się nie skupiać na nim uwagi. Wyobraź sobie na przykład, że twój sąsiad lub współlokator nieustannie włącza telewizję. Ten hałas w tle rozprasza uwagę i utrudnia ci koncentrację podczas nauki. Z czasem jednak przyzwyczajasz się do hałasu telewizora i w końcu prawie go nie będziesz zauważać. Behawioryzm John Broadus Watson (1878–1958), którego portret zamieszczono na , jest uważany za założyciela behawioryzmu. Behawioryzm to szkoła myślenia, która powstała w pierwszej połowie XX wieku i obejmuje także elementy warunkowania klasycznego Pawłowa (Hunt, 2007). W wyraźnej opozycji do Zygmunta Freuda (1856-1939), który uważał, że przyczyny zachowania są ukryte w nieświadomości, Watson opowiedział się za ideą, że wszystkie zachowania można badać jako zwykły związek bodźca i reakcji, bez względu na procesy wewnętrzne. Watson argumentował, że aby psychologia stała się prawomocną nauką, musi odwrócić swoje zainteresowanie od wewnętrznych procesów psychicznych, ponieważ nie można ich zobaczyć ani zmierzyć metodami naukowymi. Postulował, żeby zamiast tego koncentrowała się na zachowaniach postrzegalnych na zewnątrz, które można obserwować i mierzyć. John B. Watson zastosował zasady warunkowania klasycznego w badaniu emocji. Na koncepcję Watsona wpłynęły prace Pawłowa. Według Watsona zachowanie człowieka, podobnie jak zachowanie zwierząt, jest przede wszystkim wynikiem reakcji warunkowych. Podczas gdy praca Pawłowa z psami polegała na warunkowaniu odruchów, Watson wierzył, że te same zasady można rozszerzyć na uwarunkowanie ludzkich emocji (Watson, 1919). Tak rozpoczęła się praca Watsona i jego asystentki, Rosalie Rayner (1898-1935), z dzieckiem nazywanym Małym Albertem. Poprzez eksperymenty wykonywane na tym dziecku Watson i Rayner (1920) zademonstrowali, w jaki sposób można warunkować strach. W 1920 roku Watson stał na czele wydziału psychologii na Uniwersytecie Johna Hopkinsa. Dzięki swojej pozycji na uniwersytecie poznał matkę Małego Alberta, Arvillę Merritte, która pracowała w miasteczku studenckim w szpitalu (DeAngelis, 2010). Watson zaproponował jej dolara za to, żeby jej syn stał się przedmiotem eksperymentów nad warunkowaniem klasycznym. W eksperymentach tych u Małego Alberta warunkowano reakcję strachu wobec różnych obiektów. Na początku pokazywano mu bodźce obojętne, takie jak: królik, pies, małpa, maski, wata bawełniana oraz biały szczur. Chłopiec nie bał się żadnego z nich. Następnie Watson, z pomocą Rayner, uwarunkował Małego Alberta, aby skojarzył te bodźce z emocją — strachem. Na przykład Watson wręczył chłopcu białego szczura i dziecko radośnie się nim bawiło. Następnie Watson wydawał głośny dźwięk, uderzając młotkiem w metalowy pręt zawieszony za głową Małego Alberta za każdym razem, gdy chłopiec dotykał szczura. Dziecko było przerażone tym dźwiękiem i — okazując odruchowy strach przed nagłymi głośnymi dźwiękami — zaczynało płakać. Watson wielokrotnie łączył głośny dźwięk z białym szczurem. Wkrótce Mały Albert zaczął bać się samego białego szczura. Czym były w tym eksperymencie bodziec bezwarunkowy, bodziec warunkowy, reakcja bezwarunkowa i reakcja warunkowa? Kilka dni później Mały Albert zaczął przejawiać generalizację bodźca — zaczął bać się innych futrzanych rzeczy: królika, futrzanego płaszcza, a nawet maski świętego Mikołaja pokazanej na . Watsonowi udało się uwarunkować reakcję lęku u Małego Alberta, pokazując tym samym, że emocje mogą stać się reakcjami warunkowymi. Zamiarem Watsona było wywołanie fobii — uporczywego, nadmiernego lęku przed określonym przedmiotem lub sytuacją — poprzez samo tylko warunkowanie, a tym samym przeciwstawienie się poglądowi Freuda, że fobie są spowodowane głębokimi, ukrytymi konfliktami w umyśle. Jednak nie ma dowodów na to, że Mały Albert doświadczył fobii w późniejszych latach. Matka wyprowadziła się, kończąc tym samym eksperyment. Chociaż badania Watsona dostarczyły nowego wglądu w proces warunkowania, według dzisiejszych standardów były nieetyczne. Poprzez generalizację bodźca Mały Albert zaczął się bać obiektów futrzanych, jak się okazało, także Watsona w masce świętego Mikołaja. Zobacz sceny z eksperymentu Johna Watsona , w których Mały Albert był warunkowany, by reagować strachem na przedmioty futrzane. Podczas oglądania filmu przyjrzyj się dokładnie reakcjom dziecka oraz sposobowi, w jaki Watson i Rayner prezentują bodźce przed warunkowaniem i po nim. Czy na podstawie tego, co widzisz, twoje wnioski byłyby takie same jak wnioski tych naukowców? Reklama i uczenie się skojarzeniowe Marketingowcy są ekspertami w stosowaniu zasad uczenia się skojarzeniowego. Przypomnij sobie telewizyjne reklamy samochodów. Do wielu z nich zatrudniono atrakcyjne modelki. Kojarzenie modelki z reklamowanym samochodem sprawia, że pojazd staje się pożądany (Cialdini, 2008). Być może zastanawiasz się, czy ta technika reklamowa rzeczywiście działa. Według Cialdiniego (2008) mężczyźni oglądający reklamę samochodu, w której występowała atrakcyjna modelka, ocenili później samochód jako szybszy, bardziej atrakcyjny i lepiej zaprojektowany niż mężczyźni oglądający reklamę tego samego pojazdu bez udziału modelki. Czy zauważyłeś, jak szybko reklamodawcy zrywają umowy ze znanym sportowcem po skandalu z jego udziałem? Z punktu widzenia reklamodawcy sportowiec przestaje kojarzyć się z pozytywnymi odczuciami, dlatego nie można go wykorzystywać jako bodźca bezwarunkowego do uzależnienia ludzi od kojarzenia pozytywnych uczuć (reakcja bezwarunkowa) z ich produktem (bodziec warunkowy). Korzystając z wiedzy, jak działa uczenie się asocjacyjne (skojarzeniowe), poszukaj w telewizji, czasopismach lub Internecie reklam wykorzystujących ten mechanizm. Podsumowanie Pionierska praca Pawłowa z psami znacznie przyczyniła się do poszerzenia naszej wiedzy na temat uczenia się. W eksperymentach badał on jeden z rodzajów uczenia się asocjacyjnego, który nazywamy obecnie warunkowaniem klasycznym. W warunkowaniu klasycznym ludzie lub zwierzęta uczą się łączyć zdarzenia, które powtarzają się razem, a naukowcy badają, w jaki sposób reakcja bezwarunkowa na bodziec może być odwzorowana na inny bodziec — ćwicząc powiązanie między dwoma bodźcami. Eksperymenty Pawłowa pokazują, jak powstają powiązania bodziec—reakcja. Watson, twórca behawioryzmu, był pod dużym wpływem pracy Pawłowa. Badał warunkowanie reakcji emocjonalnych u ludzi poprzez warunkowanie strachu u niemowlęcia zwanego Małym Albertem. Na podstawie tego badania stwierdził, że warunkowanie klasyczne może wyjaśnić rozwój niektórych reakcji lękowych u ludzi. Pytania kontrolne Bodźcem, który początkowo nie wywołuje reakcji w organizmie, jest________. bodziec bezwarunkowy bodziec obojętny bodziec warunkowy reakcja bezwarunkowa B W eksperymentach Watsona i Rayner Mały Albert był warunkowany, żeby bać się białego szczura, a potem zaczął się bać innych owłosionych, nie tylko białych, przedmiotów. Był to przykład________. warunkowania wyższego rzędu nabywania różnicowania bodźców generalizacji bodźców D Wygaszanie następuje, gdy________. bodziec warunkowy jest prezentowany wielokrotnie, ale nie łączy się z bodźcem bezwarunkowym bodziec bezwarunkowy jest prezentowany wielokrotnie, ale nie łączy się z bodźcem warunkowym bodziec obojętny jest prezentowany wielokrotnie, ale nie łączy się z bodźcem bezwarunkowym bodziec obojętny jest prezentowany wielokrotnie, ale nie łączy się z bodźcem warunkowym A W pracy Pawłowa z psami „wydzieliny psychiczne” były ________. reakcją bezwarunkową reakcją warunkową bodźcem bezwarunkowym bodźcem warunkowym B Istotne kwestie do przemyślenia Jeśli dźwięk wydawany przez toster, gdy wyskakuje z niego grzanka, powoduje, że ślina napływa ci do ust, to czym są tu bodziec bezwarunkowy, bodziec warunkowy i reakcja warunkowa? Grzanki to bodziec bezwarunkowy; dźwięk tostera to bodziec warunkowy; ślinienie się na ten dźwięk to reakcja warunkowa. Wyjaśnij, dlaczego procesy generalizacji bodźca i różnicowania bodźca są uważane za przeciwieństwa. W generalizacji bodźca człowiek lub zwierzę reaguje na nowe bodźce, które są podobne do pierwotnego bodźca warunkowego. Na przykład pies szczeka, gdy dzwoni dzwonek do drzwi. Następnie będzie szczekał, gdy zadźwięczy minutnik piekarnika, ponieważ minutnik brzmi bardzo podobnie do dzwonka do drzwi. Z kolei różnicowanie bodźców występuje wtedy, gdy człowiek lub zwierzę uczy się reakcji na określony bodziec, ale nie reaguje w ten sam sposób na inne, podobne bodźce. W tym przypadku pies będzie szczekał, gdy usłyszy dzwonek do drzwi, ale nie będzie szczekał, gdy usłyszy dźwięk minutnika piekarnika, ponieważ brzmią inaczej; a pies potrafi rozróżnić te dwa dźwięki. W jaki sposób bodziec obojętny staje się bodźcem warunkowym? Dzieje się tak poprzez proces nabywania. Człowiek lub zwierzę uczy się łączyć bodziec obojętny z bodźcem bezwarunkowym. Podczas fazy nabywania bodziec obojętny zaczyna wywoływać reakcję warunkową, więc staje się bodźcem warunkowym. Pod koniec fazy nabywania następuje uczenie się, a bodziec obojętny staje się bodźcem warunkowym, który może już samodzielnie wywołać reakcję warunkową. Pytania do zastosowania osobistego Czy potrafisz podać przykład ze swojego życia, w jaki sposób warunkowanie klasyczne wywołało pozytywną reakcję emocjonalną, np. poczucie szczęścia lub rozemocjonowanie? A może masz także przykład negatywnej reakcji emocjonalnej, np. strachu, lęku lub gniewu? nabywanie ( przyswajanie , akwizycja ) (ang. acquisition ) w warunkowaniu klasycznym początkowy okres uczenia się, kiedy człowiek lub zwierzę zaczyna łączyć bodziec obojętny z bodźcem bezwarunkowym, aż bodziec obojętny zacznie wywoływać reakcję warunkową warunkowanie klasyczne (ang. classical conditioning ) uczenie się, w którym bodziec lub doświadczenie pojawiają się przed zachowaniem, a następnie zostają dopasowane do zachowania lub z nim powiązane reakcja warunkowa ( odruch warunkowy ) (ang. conditioned response ) reakcja wywołana przez bodziec warunkowy bodziec warunkowy (ang. conditioned stimulus ) bodziec, który wywołuje reakcję z powodu swojego powiązania z bodźcem bezwarunkowym wygaszanie (ang. extinction ) osłabienie reakcji warunkowej, gdy bodziec bezwarunkowy nie jest już wiązany z bodźcem warunkowym habituacja (ang. habituation ) uczenie się niereagowania na bodziec, który jest niezmienny i powtarzany warunkowanie wyższego rzędu (ang. higher-order conditioning ) (także: warunkowanie drugiego rzędu) wykorzystywanie bodźca warunkowego do warunkowania bodźca obojętnego bodziec obojętny (ang. neutral stimulus ) bodziec, który początkowo nie wywołuje reakcji spontaniczne odnowienie (ang. spontaneous recovery ) ponowne pojawienie się reakcji warunkowej, wygaszonej jakiś czas wcześniej różnicowanie bodźców (ang. stimulus discrimination ) zdolność do odmiennego reagowania na bodźce różniące się od bodźca warunkowego generalizacja bodźców (ang. stimulus generalization ) pojawianie się reakcji warunkowej na bodźce podobne do bodźca warunkowego reakcja bezwarunkowa ( odruch bezwarunkowy ) (ang. unconditioned response ) naturalne (niewyuczone) zachowanie wywołane przez dany bodziec bodziec bezwarunkowy (ang. unconditioned stimulus ) bodziec wywołujący reakcję bezwarunkową", "section": "Warunkowanie klasyczne", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Warunkowanie sprawcze Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować warunkowanie instrumentalne Wyjaśnić różnicę pomiędzy wzmocnieniem a karą Rozróżnić harmonogramy zbrojenia Poprzednia część tego rozdziału koncentrowała się na rodzaju uczenia się asocjacyjnego znanego jako warunkowanie klasyczne. W warunkowaniu klasycznym jakiś bodziec w otoczeniu automatycznie wyzwala reakcję, a eksperymentatorzy trenują jednostkę, aby reagowała w taki sam sposób na inny bodziec. Teraz przechodzimy do drugiego rodzaju uczenia się asocjacyjnego, a jest nim warunkowanie sprawcze (ang. operant conditioning ). W warunkowaniu sprawczym zwierzęta i ludzie uczą się kojarzyć zachowanie z jego konsekwencją ( ). Konsekwencja przyjemna sprawia, że dane zachowanie będzie częściej powtarzane w przyszłości. Na przykład delfin Duszek z National Aquarium w Baltimore wykonuje salto w powietrzu, gdy jego trener dmucha w gwizdek. Dla delfina konsekwencją wykonania salta jest posiłek: ryba. Porównanie warunkowania klasycznego i sprawczego. Warunkowanie klasyczne Warunkowanie sprawcze Podejście do warunkowania Bodziec bezwarunkowy (np. jedzenie) jest skojarzony z bodźcem obojętnym (np. dźwiękiem dzwonka). Bodziec obojętny staje się bodźcem warunkowym, który wywołuje reakcję warunkową (ślinienie). Zachowanie jest nagradzane lub karane w celu odpowiedniego wzmocnienia lub osłabienia go; tak by uczący się osobnik częściej wykazywał w przyszłości zachowanie pożądane. Czas pojawienia się bodźca Bodziec występuje bezpośrednio przed reakcją. Bodziec (wzmocnienie albo karanie) występuje wkrótce po reakcji. Psycholog Burrhus Frederic Skinner (1904-1990) zauważył, że warunkowanie klasyczne ogranicza się do zachowań wywoływanych odruchowo i nie uwzględnia nowych zachowań, takich jak jazda na rowerze. Zaproponował teorię opisującą, jak takie zachowania powstają. Skinner uważał, że zachowanie jest motywowane konsekwencjami, jakie nas za nie dosięgają: wzmocnieniami i karami. Zaproponowana przez niego koncepcja, że uczenie się jest wynikiem konsekwencji, opiera się na prawie efektu, które po raz pierwszy zaproponował Edward Thorndike (1874–1949). Prawo efektu (ang. law of effect ) mówi, że zachowania, po których następują konsekwencje satysfakcjonujące dla osobnika, częściej się powtarzają, a zachowania, po których następują konsekwencje nieprzyjemne, powtarzają się rzadziej (Thorndike, 1911). Innymi słowy: jeśli człowiek lub zwierzę podejmuje działanie, które przynosi pożądany przezeń rezultat, to istnieje większe prawdopodobieństwo, że zrobi to ponownie. Jeśli organizm zrobi coś, co nie przyniesie korzystnego dla niego rezultatu, to istnieje mniejsze prawdopodobieństwo, że zrobi to ponownie. Przykładem działania prawa efektu jest zatrudnienie. Jednym z powodów (i często głównym), dla którego przychodzimy do pracy, jest to, że dostajemy za to wynagrodzenie. Jeśli pracodawca przestanie nam płacić, prawdopodobnie przestaniemy się pojawiać w pracy, nawet jeśli ją bardzo lubimy. Na podstawie prawa efektu Thorndike’a Skinner zaczął przeprowadzać eksperymenty naukowe na zwierzętach (głównie szczurach i gołębiach), aby ustalić, w jaki sposób jednostki uczą się poprzez warunkowanie sprawcze (Skinner, 1938). Umieszczał zwierzęta w urządzeniu w formie skrzynki, znanej obecnie jako klatka Skinnera lub skrzynka problemowa ( ). Klatka Skinnera zawiera dźwignię (dla szczurów) lub tarczę (dla gołębi), które zwierzę może naciskać lub dziobać w celu otrzymania nagrody: pokarmu pojawiającego się w dozowniku. Głośniki i lampki mogą być wiązane z niektórymi zachowaniami. Nagrywarka zlicza liczbę reakcji zwierzęcia. (a) B.F. Skinner opracował metodologię badania warunkowania sprawczego, aby systematycznie sprawdzać, w jaki sposób zachowania są wzmacniane lub osłabiane w zależności od ich konsekwencji. (b) W klatce Skinnera szczur naciska dźwignię w komorze warunkowania sprawczego, aby otrzymać nagrodę – jedzenie. (Źródło: modyfikacja pracy „Silly rabbit”/Wikimedia Commons). Obejrzyj ten krótki wideoklip , żeby dowiedzieć się więcej o warunkowaniu sprawczym: Skinner udziela tu wywiadu i demonstruje warunkowanie gołębi. Dyskutując o warunkowaniu sprawczym, używamy kilku codziennych słów — pozytywny , negatywny , wzmocnienie i karanie — w szczególny sposób. W warunkowaniu sprawczym określenia pozytywne i negatywne nie są równoznaczne z dobrem i złem, ale oznaczają, że warunkowanie pozytywne polega na dodaniu czegoś w celu zwiększenia lub zmniejszenia repertuaru zachowań, a warunkowanie negatywne – na zabraniu czegoś w celu zwiększenia lub zmniejszenia repertuaru zachowań. Wzmacnianie (ang. reinforcement ) oznacza, że wzmagasz jakieś zachowanie, a karanie oznacza, że starasz się je osłabić. Zarówno wzmocnienie, jak i karanie może być pozytywne lub negatywne. Wszystkie wzmocnienia (pozytywne lub negatywne) zwiększają prawdopodobieństwo reakcji behawioralnej. Wszystkie kary (pozytywne lub negatywne) zmniejszają prawdopodobieństwo reakcji behawioralnej. Teraz spójrzmy na kombinację tych czterech terminów: wzmacnianie pozytywne, wzmacnianie negatywne, karanie pozytywne i karanie negatywne ( ). Pozytywne i negatywne wzmacnianie i karanie. Wzmacnianie Karanie Pozytywne Coś zostało dodane, żeby zwiększyć prawdopodobieństwo jakiegoś zachowania. Coś zostało dodane , żeby zmniejszyć prawdopodobieństwo jakiegoś zachowania. Negatywne Coś zostało usunięte, żeby zwiększyć prawdopodobieństwo jakiegoś zachowania. Coś zostało usunięte, żeby zmniejszyć prawdopodobieństwo jakiegoś zachowania. Wzmacnianie Najbardziej skutecznym sposobem nauczenia osoby lub zwierzęcia nowego zachowania jest wzmacnianie pozytywne. Pozytywne wzmacnianie (ang. positive reinforcement ) oznacza podanie pożądanego bodźca, aby zwiększyć prawdopodobieństwo danego zachowania. Na przykład ojciec pięcioletniego Janka dał mu jako nagrodę nowy zestaw do rysowania, gdy syn posprzatął swój pokój. Zatrzymajmy się na chwilę. Niektórzy mogliby powiedzieć: „Dlaczego mam nagradzać moje dziecko za zrobienie tego, co należy do jego obowiązków?”. Zauważ jednak, że jesteśmy stale i konsekwentnie nagradzani. Nasze wynagrodzenia są nagrodami, podobnie jak wysokie oceny i przyjęcie nas do preferowanej szkoły. Pochwała za dobrze wykonane zadanie i zdanie egzaminu na prawo jazdy również są nagrodami. Pozytywne wzmacnianie jako narzędzie uczenia jest niezwykle skuteczne. W niektórych szkołach stwierdzono, że jednym z najskuteczniejszych sposobów podwyższenia ocen z czytania uczniów mających osiągnięcia poniżej średniej jest płacenie im za czytanie. I tak uczniowie drugiej klasy w Dallas otrzymywali 2 dolary za każdym razem, gdy przeczytali książkę i zdali krótki quiz na jej temat. W wyniku tych nagród znacznie wzrosły ich umiejętności czytania (Fryer, 2010). Co sądzisz o takim programie? Skinner, gdyby żył, prawdopodobnie uznałby to za świetny pomysł, ponieważ był zdecydowanym zwolennikiem stosowania zasad warunkowania sprawczego do nauczania i wychowania w szkole. Poza klatką, Skinner wynalazł także maszynę uczącą (Skinner, 1961) — wczesny prekursor nauczania wspomaganego komputerowo — która została zaprojektowana, aby nagradzać małe kroki w nauce. Jego maszyna ucząca sprawdzała wiedzę uczniów podczas pracy nad różnymi przedmiotami szkolnymi. Jeśli uczniowie odpowiedzieli poprawnie na pytania, otrzymywali natychmiastowe wzmocnienie pozytywne i mogli kontynuować; jeśli odpowiedzieli niepoprawnie, nie otrzymywali żadnego wzmocnienia. Chodziło o to, aby uczniowie spędzili na studiowaniu materiału dodatkowo trochę czasu, aby zwiększyć szansę na otrzymanie wzmocnienia następnym razem (Skinner, 1961). Gdy chodzi o wzmacnianie negatywne (ang. negative reinforcement ), to usuwa się niepożądany bodziec, aby zwiększyć częstość danego zachowania. Na przykład producenci samochodów stosują zasady wzmacniania negatywnego w systemach pasów bezpieczeństwa, które wydają dźwięk „piii, piii, piii”, dopóki ich nie zapniesz. Irytujący dźwięk ustaje, gdy przejawiasz pożądane zachowanie. Zwiększa to prawdopodobieństwo, że zapniesz pas także w przyszłości. Wzmacnianie negatywne jest również często stosowane w treningu koni. Jeźdźcy wywierają nacisk — ciągnąc wodze lub ściskając nogi — a następnie usuwają nacisk, gdy koń przejawia pożądane zachowanie, takie jak skręcanie lub przyspieszanie. Nacisk jest bodźcem nieprzyjemnym, który koń chce usunąć. Karanie Wiele osób myli negatywne wzmacnianie z karą w warunkowaniu sprawczym, ale są to dwa bardzo różne mechanizmy. Pamiętaj, że wzmacnianie, nawet gdy jest negatywne, zawsze zwiększa prawdopodobieństwo zachowania; z kolei karanie (ang. punishment ) zawsze zmniejsza prawdopodobieństwo danego zachowania. W przypadku karania pozytywnego (ang. positive punishment ) podajesz bodziec niepożądany, aby zmniejszyć częstość zachowania. Przykładem kary pozytywnej jest zwrócenie uwagi uczniowi, aby przestał pisać SMS-y na zajęciach. W takim przypadku bodziec (zwrócenie uwagi) ma na celu ograniczenie niepożądanego zachowania (esemesowanie podczas lekcji). Kiedy zachodzi karanie negatywne (ang. negative punishment ), usuwany jest bodziec przyjemny, aby zmniejszyć powtarzalność zachowania. Na przykład, gdy dziecko źle się zachowuje, rodzic może wyłączyć telewizor podczas emisji ulubionego programu dziecka. W takim przypadku bodziec przyjemny (oglądanie programu) jest usuwany w celu zmniejszenia prawdopodobieństwa zachowania. Kara, szczególnie gdy jest natychmiastowa, to jeden ze sposobów zmniejszenia częstości zachowań niepożądanych. Wyobraź sobie na przykład, że twój ośmioletni syn Tomek uderzył swojego młodszego brata. Każesz Tomkowi napisać 100 razy „Nie uderzę mojego brata” (kara pozytywna). Jest możliwe, że nie powtórzy już takiego zachowania. Dzisiaj takie metody są powszechne, w przeszłości jednak dzieci często podlegały karom fizycznym, takim jak klapsy. Ważne jest, aby zdawać sobie sprawę, że stosowanie kar fizycznych wobec dzieci ma dwie podstawowe wady. Po pierwsze, taka kara może uczyć strachu. Tomek może stać się bojaźliwy z tego powodu, ujawniając lęk przed innymi bodźcami, ale może też bać się osoby, która wymierzyła karę – ciebie, jego rodzica. Podobnie dzieci karane przez nauczyciela mogą obawiać się go i próbować unikać szkoły (Gershoff et al., 2010). W Polsce, która jest sygnatariuszem Konwencji o prawach dziecka, stosowanie kar fizycznych jest zakazane. Takie zapisy znajdujemy w kodeksie rodzinnym i opiekuńczym. Jednak, co zastanawiające, ustawodawca nie zawarł sankcji za ich stosowanie. Po drugie, wadą kar fizycznych jest prawdopodobieństwo wywołania w dziecku zachowań agresywnych i skłonności do aspołecznych zachowań oraz przestępstw (Gershoff, 2002). Gdy dzieci widzą, że ich rodzice uciekają się do klapsów, kiedy złoszczą się i czują się sfrustrowani, mogą zachowywać się tak samo, gdy to one złoszczą się i czują się sfrustrowane. Na przykład rozzłościło cię złe zachowanie Marysi i dajesz jej klapsa, ale w następstwie tego zdarzenia Marysia może zacząć bić swoich przyjaciół, gdy nie będą dzielić się z nią zabawkami (w takiej sytuacji może także zadziałać mechanizm uczenia się przez obserwację). Ponieważ jednak karanie pozytywne może być w niektórych sytuacjach skuteczne, zwłaszcza gdy ma na celu natychmiastową eliminację zachowań zagrażających zdrowiu lub życiu, Skinner zasugerował, aby bardzo rozważnie podchodzić do decyzji o karaniu, ważąc jego potencjalne negatywne skutki. Dzisiejsi psychologowie i eksperci od wychowania wolą wzmacnianie niż karanie — zalecają uchwycenie momentu, gdy dziecko robi coś dobrego, a następnie nagrodzenie go za to (wzmocnienie tego zachowania). Zwróćmy jednak uwagę, że karanie jest obecne w życiu społecznym na różnych poziomach. Kary mogą wymierzać różne instytucje, sądy, służby (mandat za przekroczenie prędkości to kara), pracodawcy itd. Kształtowanie W swoich eksperymentach nad warunkowaniem sprawczym Skinner często stosował podejście zwane kształtowaniem (ang. shaping ). Zamiast nagradzać tylko zachowanie docelowe, w kształtowaniu nagradzamy kolejne przybliżenia zachowania docelowego. Do czego potrzebne jest kształtowanie? Pamiętaj, że aby wzmacnianie zadziałało, jednostka musi najpierw przejawiać pożądane zachowanie. Kształtowanie jest potrzebne, ponieważ jest bardzo mało prawdopodobne, żeby człowiek lub zwierzę przejawiali spontanicznie bardziej złożone zachowania. W kształtowaniu zachowania dzieli się je na wiele małych, osiągalnych kroków. Konkretne kroki zastosowane w tym procesie są następujące: Wzmocnij każdą reakcję, która przypomina pożądane zachowanie. Następnie wzmocnij reakcję, która bardziej przypomina pożądane zachowanie. Jednocześnie nie wzmacniaj już wcześniej wzmocnionego zachowania. Następnie zacznij wzmacniać zachowanie, które jeszcze bardziej przypomina to pożądane. Kontynuuj wzmacnianie zachowań coraz bliższych zachowania pożądanego. W końcu wzmacniaj tylko pożądane zachowanie. Kształtowanie jest często stosowane w nauczaniu złożonych zachowań lub łańcucha zachowań. Skinner używał kształtowania, aby nauczyć gołębie nie tylko stosunkowo prostych zachowań, takich jak dziobanie tarczy w skrzynce problemowej, lecz także wielu nietypowych zachowań, takich jak obracanie się w kółko, chodzenie „po ósemce”, a nawet gra w ping-ponga; technika ta jest obecnie powszechnie stosowana przez trenerów zwierząt. Ważną częścią kształtowania jest różnicowanie bodźców. Przypomnij sobie psy Pawłowa — badacz wyszkolił je, aby reagowały na dźwięk dzwonka, a nie na podobne dźwięki lub odgłosy. Różnicowanie jest również ważne w warunkowaniu sprawczym i w kształtowaniu zachowania. Zobacz wideoklip o gołębiach Skinnera grających w ping-ponga. Łatwo zobaczyć, jak skuteczne jest kształtowanie w uczeniu zachowań zwierząt, ale w jaki sposób kształtowanie działa u ludzi? Rozważmy sytuację rodziców, których celem jest, aby ich dziecko nauczyło się sprzątać swój pokój. Używają kształtowania, aby pomóc mu opanować kolejne kroki wiodące do tego celu. Zamiast skupiać się na całym zadaniu sprzątania, ustanawiają jego etapy i wzmacniają każdy krok. Najpierw dziecko sprząta jedną zabawkę. Potem sprząta pięć zabawek. Następnie decyduje, czy wziąć dziesięć zabawek, czy odłożyć na miejsce książki i ubrania. Po czym układa wszystko oprócz dwóch zabawek. Wreszcie sprząta cały pokój. Wzmocnienia pierwotne i wtórne Do usprawnienia nauki mogą być wykorzystywane nagrody takie jak naklejki, pochwały, pieniądze, zabawki i inne. Wróćmy jeszcze raz do szczurów Skinnera. Jak szczury nauczyły się naciskać dźwignię w skrzynce Skinnera? Za każde naciśnięcie dźwigni nagradzano je jedzeniem. Dla zwierząt jedzenie jest oczywistym wzmocnieniem. Co może być dobrym wzmocnieniem dla ludzi? Obiecujesz synowi Marcinowi zabawkę, jeśli posprząta swój pokój. A co w przypadku Joachima, który gra w piłkę? Jeśli dasz mu cukierka za każdym razem, gdy zdobędzie gola, wprowadzisz wzmocnienie pierwotne (ang. primary reinforcer ). Wzmocnienie pierwotne to wzmocnienie o wrodzonych właściwościach wzmacniających; tego rodzaju wzmocnienia nie są wyuczone. Wzmocnieniami pierwotnymi są między innymi woda, jedzenie, sen, schronienie, seks i dotyk, a także przyjemność, gdyż organizmy nie tracą popędu do tych rzeczy. Dla większości ludzi wejście do jeziora w upalny dzień jest wzmocnieniem, bo woda chłodzi ciało (zaspokaja potrzebę fizyczną) i kontakt z nią jest przyjemny. Zabawka i cukierek w powyższych przykładach stanowią wzmocnienia pierwotne, gdyż same z siebie dostarczają przyjemności. Wzmocnienie wtórne (ang. secondary reinforcer ) nie ma żadnej nieodłącznej wartości i nabywa właściwości wzmacniające tylko w połączeniu ze wzmocnieniem pierwotnym. Pochwała związana z emocjami jest jednym z przykładów wzmocnienia wtórnego, np. kiedy wołasz „Świetny strzał!” za każdym razem, gdy Joachim strzela gola. Kolejnym przykładem są pieniądze — są coś warte tylko wtedy, gdy można użyć ich do zakupu innych rzeczy albo do zaspokojenia naszych podstawowych potrzeb (jedzenie, woda, schronienie — lub innych, będących wzmocnieniami pierwotnymi), albo dostarczają innych wzmocnień wtórnych. Gdybyś znalazł się na bezludnej wyspie pośrodku Oceanu Spokojnego i miał stos pieniędzy, nie byłyby one do niczego przydatne, bo nie można byłoby ich na nic wydać. Naklejki na tablicy motywacyjnej jako nagroda za dobre zachowanie są także wzmocnieniami wtórnymi. Zamiast naklejek czasami stosuje się żetony, które można wymienić na nagrody i wyróżnienia. Na użyciu tego rodzaju wzmocnień są zbudowane całe systemy kierowania zachowaniem, zwane ekonomią żetonową. Stwierdzono, że ekonomia żetonowa jest bardzo skuteczna w modyfikowaniu zachowań w różnych środowiskach, takich jak szkoły, więzienia i szpitale psychiatryczne. Na przykład badanie przeprowadzone przez Cangi i Dale (2013) wykazało, że korzystanie z ekonomii żetonowej zwiększyło częstotliwość odpowiednich zachowań społecznych i zmniejszyło częstotliwość niewłaściwych w grupie dzieci w wieku szkolnym z autyzmem. Dzieci z autyzmem mają tendencję do zachowań destrukcyjnych, takich jak szczypanie i bicie. Kiedy dzieci biorące udział w badaniu wykazywały odpowiednie zachowanie (powstrzymywały się od bicia i szczypania), otrzymywały żeton „spokojnych rąk”. Kiedy uderzyły lub uszczypnęły kogoś, traciły żeton. Dzieci mogły następnie wymieniać określoną liczbę żetonów na minuty zabawy. Kształtowanie zachowania u dzieci Rodzice i nauczyciele często używają kształtowania, aby zmienić zachowanie dziecka. Kształtowanie zachowania wykorzystuje zasady warunkowania sprawczego do modyfikowania zachowania, tak aby niepożądane zachowania były zamieniane na bardziej akceptowalne społecznie. Niektórzy nauczyciele i rodzice tworzą tablicę motywacyjną z naklejkami, gdzie pojawiają się opisy zachowań ( ). Tablice motywacyjne z naklejkami są rodzajem ekonomii żetonowej, którą opisano wcześniej. Za każdym razem, gdy dzieci zachowują się dobrze, otrzymują naklejkę, a za określoną liczbę naklejek dostają nagrodę lub wzmocnienie. Celem jest zwiększenie liczby zachowań akceptowalnych i zmniejszenie liczby zachowań niewłaściwych. Pamiętaj, że dużo lepiej jest wzmocnić pożądane zachowania niż zastosować karę. Nauczyciele podczas lekcji mogą wzmacniać wiele zachowań uczniów, np. podnoszenie ręki, ciche chodzenie po korytarzu, odrabianie zadań domowych. W domu rodzice mogą stworzyć tablicę motywacyjną, która nagradza dzieci za takie rzeczy jak odkładanie zabawek na miejsce, mycie zębów i pomoc przy obiedzie. Aby kształtowanie zachowania było skuteczne, wzmocnienie musi być powiązane z zachowaniem; wzmocnienie musi także mieć znaczenie dla dziecka i być stosowane konsekwentnie. Warto jednak mieć na uwadze, że metoda ta opiera się na motywacji zewnętrznej. Należy jednocześnie wspierać rozwój motywacji wewnętrznej, która sprawia, że dziecko chętniej podejmuje działania i ma większe poczucie sprawczości. Tablice motywacyjne są rodzajem wzmocnienia pozytywnego i narzędziem kształtowania zachowania. Gdy dziecko widoczne na zdjęciu zdobędzie określoną liczbę naklejek za wykazanie pożądanego zachowania, zostanie nagrodzone wyjściem na lody. (Źródło: Abigail Batchelder). Kolejną popularną, choć krytykowaną przez psychologów dziecięcych, techniką stosowaną w kształtowaniu zachowania u dzieci jest tzw. time-out. Najtrafniejszym, choć nie idealnym, tłumaczeniem tego terminu na polski jest wykluczenie . Działa na zasadzie kary negatywnej; kiedy dziecko wykazuje niepożądane zachowanie, zostaje mu odebrana pożądana aktywność ( ). Powiedzmy na przykład, że Zosia i jej brat Mariusz bawią się klockami. Zosia rzuca klockami w brata, więc ostrzegasz ją, że jeśli zrobi to ponownie, to będzie musiała wyjść z pokoju. Kilka minut później rzuca znowu klockami w Mariusza. Wypraszasz Zosię z pokoju na kilka minut. Kiedy wraca, nie rzuca już klockami. W dawniejszych czasach stosowanym w szkołach rodzajem tej kary było odesłanie ucznia do kąta. Warto zdawać sobie sprawę, że metoda time-out nie uwzględnia emocji i potrzeb dziecka, wyłącznie skupiając się na jego zachowaniu. Wyproszone z pokoju dziecko zostaje pozostawione samo ze swoimi emocjami, tymczasem dorosły powinien towarzyszyć dziecku podczas stosowania technik wyciszających i wspierać je. Jest kilka ważnych punktów, o których należy pamiętać, jeśli planuje się wprowadzić tę technikę kształtowania zachowania. Po pierwsze, upewnij się, że dziecko jest wykluczane z lubianej przez siebie zabawy i umieszczane w mniej pożądanym miejscu. Jeśli dana aktywność jest nielubiana przez dziecko, technika przyniesie skutek odwrotny, ponieważ dla dziecka bardziej pożądane będzie nieuczestniczenie w tej zabawie. Po drugie, ważna jest długość wymuszonej przerwy. Ogólnie przyjęta zasada to jedna minuta przerwy na każdy rok życia dziecka, więc pięcioletnia Zosia jest trzymana poza pokojem pięć minut. Ustawienie minutnika pomaga dzieciom orientować się, jak długo będzie trwało wykluczenie. Opiekun dziecka powinien zachować spokój, kiedy wyprasza dziecko, i zignorować je, jeśli domaga się uwagi dorosłego – uwaga opiekuna może wzmocnić jego złe zachowanie. Na zakończenie czasu wykluczenia opiekun powinien przytulić dziecko lub powiedzieć mu coś miłego. Wykluczenie jest formą kary negatywnej często stosowaną przez opiekunów. Kiedy dziecko źle się zachowuje, zostaje odsunięte od upragnionej zabawy, aby osłabić jego niepożądane zachowanie. Na przykład: (a) kiedy dziecko podczas zabawy na placu zabaw z przyjaciółmi popchnęło inne dziecko; (b) wówczas za złe zachowanie zostanie wykluczone z zabawy na krótki czas. (Źródło a: modyfikacja pracy Simone’a Ramelli; źródło b: modyfikacja pracy „JefferyTurner”/Flickr). Rozkłady wzmocnień Najlepsze efekty w uczeniu osiąga się, stosując wzmacnianie pozytywne. Na przykład Skinner za pomocą tej techniki nauczył szczury naciskać dźwignię w skrzynce problemowej. Na początku eksperymentu głodny szczur mógł przypadkowo uderzyć dźwignię w klatce, po czym do skrzynki wpadły kulki jedzenia. Jak myślisz, co zrobił głodny szczur po zjedzeniu tej porcji karmy? Znów nacisnął dźwignię i dostał kolejną porcję jedzenia. Za każdym razem naciśnięcie dźwigni skutkowało pojawianiem się karmy. Wzmacnianie ciągłe (ang. continuous reinforcement ) zachodzi wtedy, kiedy jednostka otrzymuje wzmocnienie za każdym razem, gdy wykazuje dane zachowanie. Ten rozkład wzmocnień jest najszybszym sposobem nauczenia określonego zachowania, a szczególnie skuteczny okazuje się w przypadku wprowadzania całkowicie nowego zachowania. Spójrzmy na psa, który nauczył się siadać na rozkaz. Za każdym razem, gdy siada, dajesz mu smakołyk. Ważne jest tutaj wyczucie czasu: odniesiesz największe sukcesy, jeśli podasz wzmocnienie natychmiast po tym, jak pies usiądzie, aby mógł powiązać docelowe zachowanie (siadanie) z konsekwencją (otrzymanie smakołyku). Obejrzyj ten wideoklip , w którym lekarka weterynarii dr Sophia Yin kształtuje zachowanie psa, wykonując czynności opisane powyżej. Na zakończenie ćwiczenia określonego zachowania badacze i trenerzy często wybierają inny rodzaj rozkładu wzmocnień — wzmacnianie sporadyczne (ang. partial reinforcement ) — które zwane także bywa wzmacnianiem przerywanym . Jest to sytuacja, gdy osoby lub zwierzęcia nie wzmacnia się za każdym razem, kiedy zachowuje się w sposób oczekiwany. Istnieje kilka różnych rodzajów rozkładów wzmocnień ( ), które są opisane jako stałe lub zmienne oraz według proporcji lub odstępów czasowych. Pojęcie stałe odnosi się do liczby reakcji pomiędzy wzmocnieniami lub ilości czasu między wzmocnieniami mających charakter ustalony i niezmienny. Pojęcie zmienne odnosi się do liczby reakcji lub ilości czasu między wzmocnieniami niemającymi charakteru stałego, czyli właśnie zmiennych. Interwał oznacza, że rozkład opiera się na czasie między wzmocnieniami, a według proporcji oznacza, że rozkład opiera się na liczbie reakcji pomiędzy wzmocnieniami. Rozkłady wzmocnień. Rozkład wzmocnień Opis Wynik Przykład O stałych odstępach czasowych Wzmocnienie jest dostarczane w przewidywalnych odstępach czasu (np. po 5, 10, 15 i 20 minutach). Umiarkowana częstotliwość reakcji, ze znaczącymi przerwami po wzmocnieniach. Pacjent w szpitalu korzysta z leku przynoszącego ulgę w bólu, lek jest brany przez pacjenta w ustalonych przez lekarza odstępach czasu. O zmiennych odstępach czasowych Wzmocnienie jest dostarczane w nieprzewidywalnych odstępach czasu (np. po 5, 7, 10 i 20 minutach). Umiarkowany, lecz stały poziom reagowania. Sprawdzanie konta na Facebooku. Według stałych proporcji Wzmocnienie jest dostarczane po przewidywalnej liczbie reakcji (np. po 2, 4, 6 i 8 reakcjach). Wysoki poziom reagowania, z przerwami po wzmocnieniach Akord — pracownik fabryki otrzymuje zapłatę za każdą n-tą liczbę wyprodukowanych przedmiotów. Według zmiennych proporcji Wzmocnienie jest dostarczane po nieprzewidywalnej liczbie reakcji (np. po 1, 4, 5 i 9 reakcjach). Wysoki i stabilny poziom reagowania. Hazard. Teraz zestawimy ze sobą te cztery terminy. Rozkład wzmocnień o stałych odstępach czasowych (ang. fixed interval reinforcement schedule ) zachodzi wtedy, kiedy zachowanie jest nagradzane po określonym czasie. Janina poddaje się poważnej operacji w szpitalu. Spodziewa się, że podczas rekonwalescencji będzie odczuwać ból i potrzebować leków na receptę w celu jego złagodzenia. Kobieta dostaje kroplówkę dożylną ze środkiem przeciwbólowym, którą sama uruchamia. Jej lekarz ustala limit: jedna dawka na godzinę. Janina naciska guzik, gdy ból staje się trudny do wytrzymania, i dostaje dawkę leku. Ponieważ nagroda (złagodzenie bólu) występuje tylko w określonym odstępie czasowym, nie miałoby sensu zachowanie, które nie będzie nagrodzone. Rozkład wzmocnień o zmiennych odstępach czasowych (ang. variable interval reinforcement schedule ) zachodzi wtedy, kiedy osoba lub zwierzę otrzymuje wzmocnienia w różnych odstępach czasu, które są nieprzewidywalne. Powiedzmy, że Mikołaj jest kierownikiem restauracji typu fast food. Do jego restauracji co jakiś czas przychodzi ktoś z działu kontroli jakości. Jeśli restauracja jest czysta, a obsługa pracuje szybko, wszyscy na tej zmianie otrzymują premię. Mikołaj nigdy nie wie, kiedy pojawi się kontroler jakości, dlatego zawsze stara się utrzymywać restaurację w czystości i dzięki motywowaniu pracowników zapewnia klientom szybką i uprzejmą obsługę. Jego wydajność w zakresie szybkiej obsługi i utrzymywania czystej restauracji jest stała, ponieważ chce, aby jego załoga otrzymywała premie. Rozkład wzmocnień według stałych proporcji (ang. fixed ratio reinforcement schedule ) zachodzi wtedy, kiedy istnieje pewna liczba reakcji, które muszą wystąpić, zanim zachowanie zostanie nagrodzone. Karolina sprzedaje okulary w sklepie optycznym i dostaje prowizję od każdej sprzedanej pary. Stara się sprzedawać każdemu klientowi więcej niż jedną parę okularów, np. okulary zapasowe, bo w ten sposób zwiększa swój przychód. To, czy klient naprawdę potrzebuje dodatkowych okularów, jest dla niej kwestią drugorzędną, gdyż zależy jej wyłącznie na prowizji. Zauważmy, że premia Karoliny nie zależy też bezpośrednio od jakości sprzedawanego towaru, na który Karolina nie ma wpływu. Wybór rozkładu wzmocnień zależy od celu, do którego dążymy. Lepszy efekt w jakości działania uzyskuje się przy rozkładach o zmiennych odstępach czasowych. Przykładem mogą być karty lojalnościowe, np. darmowa każda co któraś kawa. Im bliżej przewidywanej nagrody, tym większa motywacja do działania. Sprzedawczyni nie ma oczywiście wpływu na jakość okularów, ale ma wpływ na jakość obsługi, która może przyczynić się do tego, że klient kupi więcej lub chętniej wróci do sklepu. Rozkład wzmocnień według zmiennych proporcji (ang. variable ratio reinforcement schedule ) zachodzi wtedy, kiedy liczba reakcji potrzebnych do nagrody jest różna. Jest to najpotężniejszy rozkład wzmacniania sporadycznego. Przykładem rozkładu wzmocnień o zmiennych proporcjach jest hazard. Wyobraź sobie, że Sara — mądra i oszczędna kobieta — po raz pierwszy odwiedza kasyno. Nie jest hazardzistką, ale z ciekawości wrzuca monetę do jednorękiego bandyty, a potem jeszcze raz i znowu, ale nic się nie dzieje. Po jeszcze kilku straconych monetach jej zainteresowanie zanika i Sara zamierza opuścić lokal. Ale wtem zapalają się lampki automatu do gry, rozdzwaniają się dzwonki i Sara wygrywa 50 monet. Tak już lepiej! Sara powraca do gry z nowym zainteresowaniem, a kilka minut później przegrywa całą swoją wygraną, a nawet jest na minusie. To rozsądny czas, aby zrezygnować. A jednak Sara wciąż wkłada pieniądze do automatu, ponieważ nigdy nie wiadomo, kiedy nadejdzie kolejne wzmocnienie. Nieustannie wierzy, że po następnej monecie może wygrać dużą kwotę. Ponieważ rozkład wzmocnień w większości rodzajów hazardu zachodzi według zmiennych proporcji, ludzie nieustannie próbują i mają nadzieję, że następnym razem wygrają duże pieniądze. Jest to jeden z powodów, dla których hazard jest tak uzależniający i tak odporny na wygaszanie. W warunkowaniu sprawczym wygaszanie wzmocnionego zachowania następuje w pewnym momencie po zaprzestaniu jego wzmacniania, a prędkość, z jaką to się dzieje, zależy od rozkładu wzmocnień. W rozkładzie według zmiennych proporcji punkt wygaszania przychodzi bardzo powoli, jak to opisano powyżej. W pozostałych rozkładach wzmocnień wygaszanie może jednak nastąpić szybko. Na przykład jeśli Janina naciśnie przycisk podania leku przeciwbólowego przed wyznaczonym czasem, to nie otrzyma leku. Ma rozkład wzmocnień o stałych odstępach czasowych (dawka co godzinę), więc wygaszanie następuje szybko, jeśli wzmocnienie nie nastąpi w oczekiwanym czasie. Spośród rozkładów wzmocnień ten według zmiennych proporcji jest najbardziej wydajny i najodporniejszy na wygaszanie. Natomiast ten o stałych odstępach czasowych jest najmniej produktywny i najłatwiejszy do wygaszenia ( ). Cztery rozkłady wzmocnień dają różne wzorce reakcji. Rozkład według zmiennych proporcji jest nieprzewidywalny i skutkuje wysokim i stałym poziomem reagowania, z niewielką przerwą po wzmocnieniu lub bez niej (np. hazardzista). Rozkład według stałych proporcji jest przewidywalny i daje wysoki poziom reagowania, z krótką przerwą po wzmocnieniu (np. sprzedawczyni okularów). Rozkład o zmiennych odstępach czasowych jest nieprzewidywalny i zapewnia umiarkowany, stały poziom reagowania (np. kierownik restauracji). Rozkład o stałych odstępach czasowych skutkuje reagowaniem, którego wykres ma kształt ściegu muszelkowego, odzwierciedlając znaczną przerwę po wzmocnieniu (np. pacjentka chirurgiczna), taki wykres jest określany jako krzywa schodkowa . Hazard i umysł „Jeżeli kasyno nie potrafi przekonać stałego klienta do oddania pieniędzy bez korzyści dla siebie, może osiągnąć ten sam efekt, zwracając część pieniędzy temu klientowi w rozkładzie według zmiennych proporcji”. Powiedział w 1953 r. Skinner. Skinner podaje hazard jako przykład siły rozkładu wzmocnień według zmiennych proporcji dla utrzymywania wzorca zachowań nawet po długim czasie bez ekspozycji na wzmocnienie. Badacz był tak pewny swojej wiedzy na temat uzależnienia od hazardu, że utrzymywał nawet, że może zamienić gołębia w patologicznego hazardzistę („Skinner’s Utopia,” 1971). Faktycznie, wzmacnianie według zmiennych proporcji skutkuje wytworzeniem się trwałych zachowań. Wyobraź sobie częste napady złości u dziecka, którym rodzic raz uległ. Nawet taka jednorazowa nagroda sprawia, że wyeliminowanie tego typu zachowań staje się niemal niemożliwe. Najnowsze badania na szczurach nie wspierają koncepcji Skinnera, jakoby sam trening z zastosowaniem wzmocnień według zmiennych proporcji prowadził do patologicznego hazardu (Laskowski i et al., 2019). Jednakże inne badania wskazują, że hazard może oddziaływać na mózg w taki sam sposób jak niektóre substancje uzależniające. Może w związku z tym wystąpić efekt wynikający z jednoczesnego pojawienia się określonych związków chemicznych w mózgu i rozkładu wzmocnień według zmiennych proporcji, co może prowadzić do problemów z hazardem. Zwłaszcza najnowsze badania wykazują związek między hazardem a aktywacją ośrodków nagrody w mózgu, które wykorzystują dopaminę (neuroprzekaźnik) (Murch i Clark, 2016). Z badań tych płynie też kolejny ciekawy wniosek, że hazardziści nawet nie muszą wygrywać, żeby odczuć wzmożony efekt działania dopaminy w mózgu. Nawet otarcie się o wygraną, bycie „tuż-tuż”, a nie tylko sama wygrana, wzmaga aktywność w pobudzanych dopaminą ośrodkach nagrody (Chase i Clark, 2010). Przedstawione tu działanie mózgu jest niemal identyczne z działaniem wywołanym uzależniającymi narkotykami takimi jak kokaina i heroina (Murch i Clark, 2016). Wykazane na gruncie neuronauki podobieństwa między hazardem a zażywaniem kokainy czy heroiny sprawiły, że obecnie w DSM-5 patologiczny hazard jest rozpatrywany jako uzależnienie, a wcześniej klasyfikowano go jako zaburzenie kontroli impulsów. Hazard oprócz dopaminy zaprzęga do działania także inne neuroprzekaźniki: noradrenalinę i serotoninę (Potenza, 2013). Noradrenalina uwalnia się, gdy czujemy stres, podniecenie lub dreszczyk emocji, więc prawdopodobnie nałogowi hazardziści wykorzystują hazard, by podnieść u siebie zbyt niskie stężenie tego neuroprzekaźnika. Podobnie zbyt niskie stężenie serotoniny może przyczyniać się do zachowań kompulsywnych, z nałogowym hazardem włącznie (Potenza, 2013). Cytowane tu badania sugerują, że mózgi patologicznych hazardzistów mogą różnić się od mózgów pozostałych ludzi; możliwe, że różnica ta w jakiś sposób doprowadziła hazardzistów do nałogu hazardu. Bardzo trudno jest jednak tę zależność udowodnić doświadczalnie, ponieważ eksperyment polegający na wywołaniu uzależnienia od hazardu w grupie losowo wybranych osób byłby nieetyczny. W związku z tym być może występuje odwrotna zależność: uprawianie hazardu w jakiś sposób modyfikuje stężenia neuroprzekaźników w mózgach niektórych hazardzistów. Możliwe jest również istnienie innego czynnika albo występowanie zmiennej zakłócającej, które oddziałują zarówno na uzależnienie od hazardu, jak i na różnice w wydzielaniu niektórych neuroprzekaźników w mózgu. Niektóre wyniki badań sugerują, że patologiczni gracze wykorzystują hazard, aby zrekompensować sobie anormalnie niskie stężenie hormonu noradrenaliny, która jest związana ze stresem i wydziela się w chwilach podniecenia i dreszczu emocji. (Źródło: Ted Murphy). Poznanie i uczenie się utajone Skrajni behawioryści, tacy jak Skinner i Watson, koncentrowali się wyłącznie na badaniu zachowania, a nie na poznaniu (np. myśleniu czy oczekiwaniach). Skinner był silnie przywiązany do przekonania, że poznanie nie ma znaczenia, dlatego określano go jako radykalnego behawiorystę. Uważał on, że umysł jest „czarną skrzynką”, pozostaje niepoznawalny, a tym samym niemożliwe jest jego badanie. Natomiast inny behawiorysta, Edward C. Tolman (1886–1959) miał na ten temat odmienne zdanie. W eksperymentach na szczurach wykazał, że organizmy mogą się uczyć, nawet jeśli nie otrzymują natychmiastowego wzmocnienia (Tolman i Honzik, 1930; Tolman, Ritchie et al. Kalish, 1946). Odkrycie to sugerowało poznawczy aspekt uczenia się i było sprzeczne z panującym wówczas przekonaniem, że skuteczne uczenie się wymaga natychmiastowego wzmocnienia. Tolman umieszczał głodne szczury w labiryncie i nie nagradzał ich za znalezienie drogi wyjścia. Stworzył także grupę kontrolną, która była nagradzana jedzeniem na końcu labiryntu. Niewzmocnione szczury poznawały labirynt, w wyniku czego wytworzyły mapę poznawczą (in. mapę wyobrażeniową ) (ang. cognitive map ): mentalny obraz układu labiryntu, wyobrażenie, które powstało w ich umyśle ( ). Po 10 sesjach w labiryncie bez wzmocnień na końcu labiryntu zostało umieszczone jedzenie. Gdy tylko szczury dowiedziały się o jedzeniu, potrafiły do niego znaleźć drogę tak szybko jak zwierzęta z grupy kontrolnej. To zjawisko jest znane jako uczenie się utajone (ang. latent learning ): uczenie się, które zachodzi, ale nie jest możliwe do zaobserwowania w zachowaniu, dopóki nie ma powodu, aby je wykazać. Psycholog Edward Tolman odkrył, że szczury używają mapy poznawczej do przemieszczania się przez labirynt. Czy masz doświadczenie w pokonywaniu różnych poziomów w grach wideo? Jeśli tak, nauczyły cię one, kiedy skręcać w lewo lub w prawo, poruszać się w górę lub w dół. Tym samym nauczyły cię polegać na mapie poznawczej, tak jak robią to szczury w labiryncie. (Źródło: modyfikacja pracy „FutUndBeidl”/Flickr). Uczenie się utajone zachodzi również u ludzi. Dzieci mogą uczyć się, obserwując działania swoich rodziców, ale demonstrują to dopiero później, gdy zajdzie taka potrzeba. Załóżmy na przykład, że tata Romka codziennie odwozi go do szkoły. W ten sposób Romek uczy się drogi z domu do szkoły. Nigdy nie pojechał tam samodzielnie, więc nie miał okazji wykazać, że się tego nauczył. Gdy pewnego ranka tata Romka nie może zawieźć chłopca do szkoły, dziecko samodzielnie pokonuje rowerem tę samą trasę, którą tata wiózłby go samochodem. To obrazuje uczenie się utajone. Romek nauczył się drogi do szkoły, ale nie musiał wykazywać się tą wiedzą wcześniej. To miejsce jest jak labirynt Czy kiedykolwiek zdarzyło ci się zgubić w budynku i nie móc znaleźć drogi powrotnej? Może to być frustrujące, ale nie jest niczym nowym – od czasu do czasu każdy z nas gubi się w miejscach takich jak muzeum, szpital czy biblioteka uniwersytecka. Ilekroć pojawiamy się w nowym miejscu, budujemy sobie mentalne przedstawienie – mapę poznawczą – danego miejsca, tak jak szczury Tolmana zbudowały mapę poznawczą swojego labiryntu. Topografia niektórych budynków jest myląca, ponieważ wiele pomieszczeń wygląda w nich podobnie lub dostarczają wąskiej perspektywy wzrokowej. Z tego powodu często trudno jest przewidzieć, co jest za rogiem, lub zdecydować się, czy należy skręcić w lewo, czy w prawo, aby wyjść z budynku. Psycholożka Laura Carlson (2010) sugeruje, że to, co umieszczamy na mapie poznawczej, może wpłynąć na nasz sukces w poruszaniu się po otoczeniu. Podsuwa pomysł, żeby zaraz po wejściu do budynku zwracać uwagę na określone cechy pomieszczenia, takie jak: zdjęcie na ścianie, fontanna, posąg lub ruchome schody; takie postępowanie dodaje kolejne informacje do naszej mapy poznawczej, można ich później użyć, aby znaleźć drogę wyjścia z budynku. Obejrzyj wideoklip , żeby dowiedzieć się więcej o badaniach Carlson nad mapą poznawczą oraz poruszaniem się po budynkach. Podsumowanie Warunkowanie sprawcze zostało opisane w pracach B.F. Skinnera i jest rodzajem uczenia się, w którym motywacja do określonego zachowania następuje po wystąpieniu tego zachowania. Zwierzę lub człowiek ponosi konsekwencję po określonym zachowaniu się. Konsekwencją jest albo wzmocnienie, albo ukaranie. Każde wzmocnienie (pozytywne lub negatywne) zwiększa prawdopodobieństwo reakcji behawioralnej. Każda kara (pozytywna lub negatywna) zmniejsza prawdopodobieństwo reakcji behawioralnej. Kilka rodzajów rozkładów wzmocnień służy do nagradzania zachowania w zależności od stałych lub zmiennych odstępów czasowych oraz według stałych lub zmiennych proporcji. Review Questions ________ zachodzi wtedy, gdy pozbawiasz osobę przyjemnego bodźca w celu powstrzymania jej zachowania. Wzmacnianie pozytywne Wzmacnianie negatywne Karanie pozytywne Karanie negatywne D Który rzeczownik z poniższych nie jest przykładem wzmocnienia pierwotnego? pożywienie pieniądze woda seks B Nagradzanie kolejnych przybliżeń do zachowania docelowego jest ________. kształtowaniem wygaszaniem pozytywnym wzmacnianiem negatywnym wzmacnianiem A Według którego rozkładu wzmocnień automaty do gry nagradzają graczy pieniędzmi? według stałych proporcji według zmiennych proporcji o stałych odstępach czasowych o zmiennych odstępach czasowych B Istotne kwestie do przemyślenia Co to jest klatka Skinnera i do czego służy? Klatka Skinnera to komora do warunkowania sprawczego, służąca do szkolenia zwierząt takich jak szczury i gołębie, aby przejawiały określone zachowania, np. naciskanie dźwigni. Kiedy zwierzęta zachowują się w sposób, jakiego się od nich oczekuje, otrzymują nagrodę: pożywienie lub wodę. Jaka jest różnica między wzmacnianiem negatywnym a karaniem? W przypadku wzmacniania negatywnego odbierasz niepożądany bodziec w celu zwiększenia częstości określonego zachowania (np. zapięcie pasa bezpieczeństwa przerywa denerwujący dźwięk w samochodzie i zwiększa prawdopodobieństwo jego zapięcia w przyszłości). Karanie ma na celu ograniczenie określonego zachowania (np. karcenie dziecka za wbiegnięcie na ulicę, aby zmniejszyć prawdopodobieństwo takiego niebezpiecznego zachowania). Co to jest kształtowanie i w jaki sposób można użyć kształtowania, aby nauczyć psa turlania się? Kształtowanie to metoda warunkowania sprawczego, w której nagradzasz kolejne przybliżenia do pożądanego zachowania. Jeśli chcesz nauczyć psa turlania się, możesz najpierw nagrodzić go, gdy usiądzie, potem – kiedy się położy, a potem – gdy się przewróci na plecy. W końcu nagrodzisz go tylko wtedy, gdy ukończy całą tę sekwencję: leżenie, przewrócenie się na plecy, a następnie przewrócenie na drugą stronę. Pytania do zastosowania osobistego Wyjaśnij różnicę między wzmacnianiem negatywnym a karaniem i podaj kilka przykładów każdego z nich na podstawie własnych doświadczeń. Pomyśl o jakimś swoim zachowaniu, które pragniesz zmienić. Jakiego kształtowania zachowania, a konkretnie wzmocnienia pozytywnego, możesz użyć, aby zmienić swoje zachowanie? Co stanowi dla ciebie wzmocnienie pozytywne? mapa poznawcza ( wyobrażeniowa ) (ang. cognitive map ) wyobrażenie reprezentujące otoczenie wzmacnianie ciągłe (ang. continous reinforcement ) każdorazowe nagradzanie zachowania, gdy tylko się ono pojawia rozkład wzmocnień o stałych odstępach czasowych (ang. fixed interval reinforcement schedule ) nagradzanie zachowania po upływie określonego, stałego czasu rozkład wzmocnień według stałych proporcji (ang. fixed ratio reinforcement schedule ) nagradzanie danego zachowania poprzedzone pojawieniem się określonej liczby reakcji uczenie się utajone (ang. latent learning ) uczenie się następuje, ale może nie być widoczne (może się nie ujawniać), dopóki nie znajdzie się powód, aby je zademonstrować prawo efektu (ang. law of effect ) człowiek powtarza zachowanie, po którym doznał przyjemnych konsekwencji, a zniechęca się do zachowań, po których nastąpiły konsekwencje nieprzyjemne karanie negatywne (ang. negative punishment ) pozbawienie przyjemnego bodźca w celu zahamowania lub powstrzymania jakiegoś zachowania wzmacnianie negatywne (ang. negative reinforcement ) usunięcie nieprzyjemnego bodźca w celu wzmocnienia jakiegoś zachowania warunkowanie sprawcze (ang. operant conditioning ) rodzaj uczenia się, w którym bodziec (doświadczenie lub wzmocnienie) następuje dopiero po określonym zachowaniu wzmacnianie sporadyczne (ang. partial reinforcement ) nieregularne nagradzanie pożądanego zachowania karanie pozytywne (ang. positive punishment ) wprowadzenie nieprzyjemnego bodźca w celu powstrzymania lub zahamowania jakiegoś zachowania wzmacnianie pozytywne (ang. positive reinforcement ) wprowadzenie przyjemnego bodźca w celu wzmocnienia jakiegoś zachowania wzmocnienie pierwotne (ang. primary reinforcer ) wzmacnia zachowanie, odwołując się do podstawowych potrzeb (np. jedzenie, woda, schronienie, seks) karanie (ang. punishment ) wdrożenie konsekwencji w celu powstrzymania jakiegoś zachowania wzmacnianie (ang. reinforcement ) wdrożenie konsekwencji w celu wzmocnienia jakiegoś zachowania wzmocnienie wtórne (ang. secondary reinforcer ) nie odwołuje się do potrzeb podstawowych, odnosi skutek wzmacniający tylko wtedy, gdy łączy się z jakąś korzyścią (nagrodą) w postaci np. pieniędzy, punktów promocyjnych, żetonów pokerowych kształtowanie (ang. shaping ) nagradzanie kolejnych kroków zbliżających do zachowania docelowego rozkład wzmocnień o zmiennych odstępach czasowych (ang. variable interval reinforcement schedule ) nagradzanie zachowania po upływie nieprzewidywalnego czasu rozkład wzmocnień według zmiennych proporcji (ang. variable ratio reinforcement schedule ) nagradzanie zachowania poprzedzone wystąpieniem zmiennej liczby reakcji", "section": "Warunkowanie sprawcze", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Uczenie się przez obserwację (modelowanie) Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować uczenie się przez obserwację Omówić etapy procesu modelowania Wyjaśnić prospołeczne i antyspołeczne skutki uczenia się przez obserwację Poprzednie części tego rozdziału koncentrowały się na warunkowaniu klasycznym i sprawczym, które są formami uczenia się przez skojarzenie. Uczenie się przez obserwację (ang. observational learning ) to proces, w którym uczymy się, obserwując innych, a następnie naśladując lub modelując to, co oni robią lub mówią. Może kiedyś szukałeś w serwisie YouTube filmu pokazującego, jak wykonać jakąś czynność? Osoby, których zachowanie jest naśladowane, to tzw. modele (ang. model ). Badania sugerują, że uczenie się przez naśladowanie wymaga specjalnego rodzaju neuronu, zwanego neuronem lustrzanym (Rizzolatti et al., 2002; Rizzolatti et al., 2006). Należy jednak zauważyć, że wysuwane są wątpliwości dotyczące istnienia i funkcjonowania tego rodzaju komórek, np. w książce Hickocka (2010) „Mit neuronów lustrzanych” (polskie wydanie: 2016). Ludzie i zwierzęta potrafią uczyć się przez obserwację. W wyrażeniu „małpa widzi, małpa robi” jest dużo prawdy ( ). Podczas badania społecznego uczenia się szympansów badacze dali kartony soków i słomek dwóm grupom małp przebywających w niewoli. Pierwsza grupa zanurzyła słomkę w pojemniku z sokiem, a następnie wyciągnęła słomkę i wyssała niewielką ilość soku, która była na końcu słomki. Druga grupa ssała bezpośrednio przez słomkę, uzyskując znacznie więcej soku. Jak myślisz, co się stało, gdy pierwsza grupa obserwowała drugą grupę? Wszystkie szympansy z pierwszej grupy zmieniły sposób picia na zasysanie przez słomkę. W prosty sposób, poprzez obserwację innych szympansów i naśladowanie ich zachowania, nauczyły się, że jest to bardziej wydajna metoda uzyskiwania soku (Yamamoto, Humlei Tanaka, 2013). Ten czepiak nauczył się pić wodę z plastikowej butelki, widząc zachowanie modelowane przez człowieka (Źródło: U.S. Air Force, Senior Airman Kasey Close). Naśladownictwo (ang. imitation ) jest znacznie bardziej oczywiste u ludzi, ale czy jest ono naprawdę najszczerszą formą pochlebstwa? Zastanów się nad doświadczeniem Klary w uczeniu się na podstawie obserwacji. Dziewięcioletni syn Klary, Janek, wpadł w kłopoty w szkole i był nieposłuszny w domu. Klara obawiała się, że Janek skończy w więzieniu, tak jak jej dwaj bracia. Pewnego dnia, po kolejnej naganie od nauczyciela, Klara z bezsilności zbiła syna pasem. Tej samej nocy, kiedy kładła dzieci do łóżka, zauważyła, że jej czteroletnia córka Anna wzięła pasek i zbiła swojego misia. Do kobiety dotarło wówczas, że musi znaleźć inne metody dyscyplinowania swoich dzieci. Podobnie jak Edward C. Tolman (1886-1959), którego eksperymenty na szczurach zasugerowały element poznawczy w uczeniu się, poglądy psychologa Alberta Bandury na temat uczenia się różniły się od poglądów skrajnych behawiorystów. Albert Bandura (ur. 1925) i inni naukowcy zaproponowali odmianę behawioryzmu zwaną teorią społecznego uczenia się , która uwzględnia procesy poznawcze. Według Bandury czysty behawioryzm nie potrafi wyjaśnić, dlaczego uczenie się może przebiegać bez zewnętrznego wzmocnienia. Uważał, że wewnętrzne stany umysłowe również muszą odgrywać rolę w uczeniu się, a uczenie się przez obserwację wymaga znacznie więcej niż tylko naśladowania. Naśladowca po prostu kopiuje to, co robi model. Uczenie się przez obserwację jest znacznie bardziej złożone. Według Lefrançois (2012) istnieje kilka sposobów uczenia się poprzez obserwację: Uczysz się nowej reakcji. Po zaobserwowaniu, jak twój kolega z pracy został zrugany przez szefa za spóźnienie, zaczynasz wychodzić z domu 10 minut wcześniej, aby się nie spóźnić. Ty decydujesz, czy naśladować model, czy nie – w zależności od tego, jakie konsekwencje poniósł model. Czy pamiętasz Julka i jego ojca, którzy surfowali w oceanie? Julian obserwował, jak jego ojciec z powodzeniem wskakuje na fale na desce, by potem podjąć samodzielną próbę surfowania. Ale Julian może też nauczyć się, że nie wolno dotykać gorącego pieca, kiedy zobaczy, że ojciec w ten sposób się poparzył. Uczysz się ogólnej zasady, którą możesz zastosować w innych sytuacjach. Bandura opisał trzy rodzaje modeli: żywe, werbalne i symboliczne. Model żywy demonstruje zachowanie osobiście jak wtedy, gdy Ben stanął na desce surfingowej, aby Julian mógł zobaczyć, jak to się robi. Werbalny model nie wykonuje zachowania, ale wyjaśnia je lub opisuje, tak jak wtedy gdy trener piłki nożnej każe młodym zawodnikom kopnąć piłkę bokiem stopy, a nie palcem. Symbolicznym modelem mogą być fikcyjne postacie lub prawdziwi ludzie, którzy demonstrują zachowania w książkach, filmach, programach telewizyjnych, grach wideo lub źródłach internetowych ( ). (a) Uczniowie jogi uczą się przez obserwację, gdy ich instruktorka demonstruje prawidłową postawę i ruch (model na żywo). (b) Modele nie muszą być obecne, aby zachodziło uczenie się: dzięki modelowaniu symbolicznemu dziecko może nauczyć się danego zachowania, obserwując, jak ktoś demonstruje je w telewizji. (Źródło a: modyfikacja pracy Tony’ego Cecali; źródło b: modyfikacja pracy Andrew Hyde’a). Uczenie się utajone i modelowanie są stale używane w świecie marketingu i reklamy. Ta reklama przedstawia Dereka Jetera, gracza baseballu nowojorskiej drużyny Yankees . Reklama była emitowana w tej części kraju, w której Jeter jest bardzo popularnym sportowcem. Jaką wiadomość wysyłają reklamodawcy, umieszczając go w reklamie? Jak sądzisz, czy ten spot jest skuteczny? Kroki w procesie modelowania Oczywiście nie uczymy się nowego zachowania tylko poprzez obserwowanie modela. Albert Bandura opisał konkretne kroki w procesie modelowania, jakie należy wykonać, jeśli nauka ma się powieść. Są to: uwaga, przechowanie, reprodukcja i motywacja. Po pierwsze, musisz skupić się na tym, co robi model — musisz uważać. Następnie musisz potrafić zapamiętać i zachować w pamięci to, co obserwujesz; to jest przechowanie. Kolejny etap to umiejętność wykonania zachowania zaobserwowanego i zapisanego w pamięci; to właśnie reprodukcja. Wreszcie musisz mieć motywację. Musisz chcieć powielić to zachowanie, a to, czy masz motywację, zależy od tego, co stało się z modelem. Jeśli widzisz, że model został wzmocniony za dane zachowanie, będziesz mieć silniejszą motywację do kopiowania tego zachowania. Znamy to zjawisko jako wzmocnienie zastępcze (ang. vicarious reinforcement ). Z kolei jeśli widzisz, jak model jest karany, twoja motywacja do naśladowania jego zachowania spadnie. To zjawisko znane jest jako kara zastępcza (ang. vicarious punishment ). Wyobraź sobie na przykład, że czteroletnia Alicja obserwowała, jak jej starsza siostra Kasia bawiła się produktami do makijażu ich matki, a potem widziała, jak Kasia została ukarana wykluczeniem po wejściu matki do pokoju. Gdy ich matka opuściła pokój, Alicja miała ochotę bawić się w makijaż, ale nie chciała zostać ukarana. Jak myślisz, co zrobiła? Nie tylko wzmocnienia zastępcze decydują o tym, czy nowe zachowanie będzie powtarzane w przyszłości, najważniejsze jest faktycznie otrzymane wzmocnienie. Bandura badał zachowania modelujące, w szczególności kiedy u dzieci modelowano gwałtowne i agresywne zachowania dorosłych (Bandura et al., 1961). Przeprowadził eksperyment z dużą lalką o wyglądzie klauna, którą nazwał Bobo. Okazało się, że na zachowanie dzieci decydujący wpływ miały konsekwencje, jakie spotkały nauczycielkę za zachowania wobec lalki. W jednym ze scenariuszy nauczycielka używała wobec lalki agresji słownej i fizycznej, a badane dziecko patrzyło na to zachowanie. Badacze zaobserwowali tu dwa rodzaje reakcji dzieci na zachowanie nauczycielki. Skłonność do zachowań agresywnych u dzieci malała, gdy widziały, że nauczycielkę spotkała kara za jej zachowanie. Kiedy natomiast nauczycielka była wychwalana lub jej zachowanie było ignorowane, dzieci naśladowały jej agresję słowną i fizyczną. Zarówno oryginalne badania Bandury z początku lat sześćdziesiątych ubiegłego wieku, jak i liczne późniejsze replikacje wykazały, że modelowanie zachowań agresywnych u dzieci dokonywane przez dorosłych może być bardzo skuteczne. Warto dodać, że przeważnie stwierdza się wyższą częstość zachowań agresywnych u chłopców niż u dziewcząt oraz że oglądanie agresywnego modela tej samej płci przyczynia się do wyższej częstości zachowań agresywnych. Obejrzy ten wideoklip , aby zobaczyć fragment słynnego eksperymentu z lalką Bobo, a także wywiad z Albertem Bandurą. Jakie są implikacje tego badania? Bandura doszedł do wniosku, że obserwujemy i uczymy się, a ta nauka może mieć zarówno skutki prospołeczne (ang. prosocial ), jak i aspołeczne (ang. antisocial ). Modele prospołeczne mogą być wykorzystywane do zachęcania do zachowań akceptowanych społecznie. W szczególności rodzice powinni wziąć to odkrycie pod uwagę. Jeśli chcesz, aby twoje dzieci czytały, czytaj im. Niech widzą, że czytasz. Trzymaj książki w domu. Rozmawiaj o swoich ulubionych książkach. Jeśli chcesz, aby twoje dzieci prowadziły zdrowy styl życia, pozwól im zobaczyć, że dobrze się odżywiasz i ćwiczysz, a także wspólnie spędzajcie czas na aktywnościach fizycznych. To samo dotyczy rozwijania cech takich jak życzliwość, uprzejmość i uczciwość. Dzieci postrzegają i uczą się od rodziców, przejmują ich wzorce moralne. Zachowuj więc spójność i nie dawaj swoim dzieciom rad: „Rób to, co mówię, a nie to, co robię”, ponieważ dzieci mają tendencję do naśladowania tego, co robisz, a nie tego, co mówisz. Wiele osób publicznych, np. Mahatma Gandhi (1869-1948), Jurek Owsiak (ur. 1953) czy Janina Ochojska (ur. 1955), jest postrzeganych jako modele prospołeczne, które potrafią zainspirować społeczeństwo do zmiany. Kto był twoim modelem prospołecznym? Warto również wspomnieć o aspołecznym efekcie uczenia się poprzez obserwację. Na przykładzie Klary przedstawionym na początku tego podrozdziału pokazaliśmy, że jej córka kopiuje zaobserwowane agresywne zachowanie matki. Wskazuje się tu przyczynę, dlaczego dzieci maltretowane same często stosują przemoc w dorosłym życiu (Murrell et al., 2007). Około 30% krzywdzonych dzieci staje się krzywdzącymi rodzicami (amerykański Departament Zdrowia i Opieki Społecznej, 2013). Mamy tendencję do robienia tego, co znamy. Dzieci, które dorastają w atmosferze przemocy, które widzą, że ich rodzice radzą sobie ze złością i frustracją poprzez agresję, uczą się tych zachowań. Tworzy się błędne koło, które trudno przerwać. Analogiczne wnioski dotyczące Polski wynikają z badań i sondaży prowadzonych głównie przez organizacje pozarządowe. Niektóre badania sugerują, że agresywne programy telewizyjne, filmy i gry wideo również mogą mieć skutki antyspołeczne ( ), chociaż należy przeprowadzić dalsze badania, aby zrozumieć korelacyjne i przyczynowe aspekty przemocy i zachowań w mediach. Niektóre badania wykazały związek między oglądaniem przemocy i agresją u dzieci (Anderson i Gentile, 2008; Kirsch, 2010; Miller et al., 2012). Ustalenia te nie zaskakują, skoro dziecko kończące szkołę średnią było narażone na oglądanie około 200 000 aktów przemocy, w tym zabójstw, rabunków, tortur, bombardowań, pobić i gwałtów za pośrednictwem różnych mediów (Huston et al., 1992). Należy sądzić, że od tego czasu liczba ta nie uległa zmniejszeniu, a nawet wzrosła. Oglądanie przemocy w mediach może nie tylko wpływać na zachowanie agresywne poprzez przenoszenie takiego sposobu zachowania do świata rzeczywistego. Naukowcy sugerują, że wielokrotna ekspozycja na akty przemocy znieczula ludzi na agresję. Psychologowie pracują nad zrozumieniem tej dynamiki. Czy gry wideo mogą powodować przemoc? Psycholodzy badają ten temat. (Źródło: „woodleywonderworks”/Flickr). Obejrzyj ten wideoklip na temat związków między agresywnymi grami wideo a agresywnym zachowaniem. Agresywne media i agresja Czy oglądanie przemocy w mediach lub granie w gry zawierające przemoc powoduje wzrost agresji? Wczesne badania Alberta Bandury sugerowały, że przemoc w telewizji wzmaga agresję u dzieci, nowsze badania potwierdziły te wnioski. Na przykład badania Craiga Andersona (ur. 1952) i współpracowników (Anderson et al., 2015; Anderson et al., 2010; Bushman et al., 2016) dostarczyły licznych dowodów na rzecz hipotezy o związku przyczynowym między liczbą godzin ekspozycji na przemoc w mediach a agresywnymi myślami i zachowaniami. Natomiast badania Christophera Fergusona (ur. 1950) i innych badaczy sugerują, że chociaż może występować związek pomiędzy ekspozycją na przemoc w mediach a agresją, to dotychczasowe badania nie uwzględniały innych czynników ryzyka agresji, w tym zdrowia psychicznego i życia rodzinnego (Ferguson, 2011; Gentile, 2016). A co ty o tym myślisz? Summary Według Bandury nauka może odbywać się poprzez obserwowanie innych, a następnie modelowanie tego, co robią lub mówią. Nazywa się to uczeniem się przez obserwację . Istnieją pewne kroki w procesie modelowania, które należy wykonać, aby nauka była skuteczna. Kroki te obejmują uwagę, przechowanie, reprodukcję i motywację. Bandura pokazał, że dzieci uczą się wielu rzeczy zarówno dobrych, jak i złych, po prostu obserwując swoich rodziców, rodzeństwo i innych ludzi. Pytania powtórkowe Osoba prezentująca zachowanie traktowane jako przykład nazywana jest________. nauczycielem modelem instruktorem trenerem B W badaniu Bandury z wykorzystaniem lalki Bobo, kiedy dzieci, które oglądały agresywne zachowanie modelujące, zostały umieszczone w pokoju z lalką oraz innymi zabawkami, ________. zignorowały lalkę bawiły się grzecznie lalką bawiły się klockami do konstrukcji kopały lalkę i rzucały nią D Jaka jest poprawna kolejność kroków w procesie modelowania? uwaga, przechowanie, reprodukcja, motywacja motywacja, uwaga, reprodukcja, przechowanie uwaga, motywacja, przechowanie, reprodukcja motywacja, uwaga, przechowanie, reprodukcja A Kto opisał uczenie się przez obserwację? Iwan Pawłow John Watson Albert Bandura Burrhus Frederic Skinner C Critical Thinking Questions Jaki jest wpływ modelowania prospołecznego i modelowania aspołecznego? Modelowanie prospołeczne może zachęcić innych do angażowania się w pomocne i zdrowe zachowania, natomiast modelowanie aspołeczne może skłonić innych do gwałtownych, agresywnych i niezdrowych zachowań. Basia ma 17 lat. Jej matka i ojciec co wieczór piją alkohol. Mówią córce, że picie jest złe, że ona nie powinna tego robić. Basia idzie na imprezę, na której podawane jest piwo. Jak myślisz, co zrobi Basia? Dlaczego? Basia najprawdopodobniej będzie piła na przyjęciu, ponieważ zaobserwowała, że rodzice piją regularnie. Dzieci zwykle podążają za tym, co robią rodzice, a nie za tym, co mówią. Personal Application Question Czego udało ci się nauczyć dzięki obserwacji kogoś innego? model (ang. model) osoba prezentująca zachowanie, które służy jako przykład (podczas uczenia się przez obserwację) uczenie się przez obserwację (ang. observational learning) rodzaj uczenia się, które polega na obserwowaniu zachowania innych osób kara zastępcza (ang. vicarious punishment) obserwator jest świadkiem wymierzenia kary za określone zachowania modela; w efekcie obniża się prawdopodobieństwo naśladowania zachowań modela przez obserwatora wzmocnienie zastępcze (ang. vicarious reinforcement) obserwator jest świadkiem przyznania nagrody za określone zachowania modela; w efekcie wzrasta prawdopodobieństwo naśladowania zachowań modela przez obserwatora radykalny behawioryzm (ang. radical behaviorism ) odmiana behawioryzmu stworzona przez B.F. Skinnera, która zakłada, że nawet złożone wyższe funkcje umysłowe, jak ludzki język, są wyłącznie asocjacjami bodziec-reakcja", "section": "Uczenie się przez obserwację (modelowanie)", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Myślenie jest ważną częścią ludzkiego doświadczenia, procesem, który interesuje ludzi od wieków. Obecnie stanowi jeden z obszarów badań psychologicznych. Takie dzieła jak XIX-wieczny obraz Dziewczyna z książką autorstwa José Ferraza de Almeidy Júniora, XX-wieczna rzeźba Myśliciel Auguste’a Rodina oraz pochodzący z X wieku obraz Shike Myślący Huike pokazują fascynację ludzkim myśleniem. (Źródło: zdjęcie w środku: modyfikacja pracy Jasona Rogersa; zdjęcie po prawej: modyfikacja pracy Tang Zu-Minga). Dlaczego tak trudno porzucić nawyki takie jak sięganie po dzwoniący telefon nawet w najmniej odpowiednich momentach, np. podczas prowadzenia samochodu? Jak ktoś, kto nigdy w życiu nie widział i nie dotykał śniegu, ma go sobie wyobrazić? W jaki sposób małe dzieci przyswajają język bez żadnego formalnego nauczania? Odpowiedzi na takie pytania poszukują psychologowie badający zjawisko myślenia. Psychologowie poznawczy zajmują się również inteligencją. Czym jest i dlaczego nie jest jednakowa u wszystkich ludzi? Czy „mądrość życiowa” to rodzaj inteligencji, a jeśli tak, jakie ma związki z innymi rodzajami inteligencji? Co tak naprawdę mierzą testy inteligencji? Odpowiedzi na te i inne pytania przedstawimy w niniejszym rozdziale, poświęconym myśleniu i inteligencji. W innych rozdziałach omówiliśmy podstawowe procesy poznawcze, takie jak percepcja, uczenie się i pamięć. Teraz skupimy się na procesach poznawczych wyższego rzędu. W ramach tej dyskusji uwzględnimy myślenie oraz pokrótce przeanalizujemy rozwój kompetencji językowych i posługiwanie się językiem. Omówimy również kwestię rozwiązywania problemów i zagadnienie kreatywności. Rozdział zakończymy rozważaniami na temat tego, jak mierzy się inteligencję oraz w jaki sposób biologia i nasze otoczenie wzajemnie na siebie oddziałują, kształtując jej poziom. 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Effectiveness of occupational therapy in remediating handwriting difficulties in primary students: Cognitive versus multisensory interventions. Unpublished master’s thesis, University of Victoria, Victoria, British Columbia, Canada). Pobrane z: http://dspace.library.uvic.ca:8080/bitstream/handle/1828/49/Zwicker%20thesis.pdf?sequence=1.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Czym jest poznanie? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać poznanie Rozróżnić koncepcje i prototypy Wyjaśnić różnicę między pojęciami naturalnymi i sztucznymi Opisać, w jaki sposób schematy są zorganizowane i zbudowane Wyobraź sobie, że wszystkie twoje myśli to przedmioty fizyczne szybko przemieszczające się w umyśle. Jak to możliwe, że mózg potrafi przeskakiwać z jednej myśli do drugiej w zorganizowany, uporządkowany sposób? Mózg nieustannie przyswaja, przetwarza, planuje, porządkuje i zapamiętuje – cały czas jest aktywny. Jednak na co dzień w znacznej mierze tej aktywności nie zauważamy. To zaledwie jeden aspekt złożonych procesów składających się na poznanie. Najprościej mówiąc, poznanie (ang. cognition ) to myślenie. Obejmuje procesy związane z percepcją, wiedzą, rozwiązywaniem problemów, ocenianiem, językiem i pamięcią. Naukowcy badający procesy poznawcze próbują zrozumieć, w jaki sposób integrujemy, organizujemy i wykorzystujemy nasze świadome doświadczenia poznawcze, nie zdając sobie sprawy z podświadomej pracy, jaką wykonuje nasz mózg (np. Kahneman, 2011). Poznanie Codziennie po przebudzeniu zaczynamy myśleć – np. rozmyślamy nad zadaniami, które nas czekają w danym dniu. W jakiej kolejności powinniśmy wykonać swoje obowiązki? Czy najpierw iść do banku, do pralni, czy do sklepu spożywczego? Czy można coś zrobić, zanim pójdziemy na zajęcia, czy pewne zadania będą musiały poczekać, aż wrócimy z uczelni? Takie myśli są przykładem tego, jak poznanie wygląda w praktyce. Ten niezwykle złożony proces jest nieodzowną cechą ludzkiej świadomości, mimo że nie doświadczamy świadomie wszystkich jego aspektów. Psychologia poznawcza (ang. cognitive psychology ) to dziedzina psychologii zajmująca się badaniem tego, w jaki sposób ludzie myślą. Naukowcy zajmujący się tą dyscypliną próbują wyjaśnić, jak i dlaczego myślimy w określony sposób. Poddają analizie relacje pomiędzy ludzkim myśleniem, emocjami, twórczością, językiem i rozwiązywaniem problemów oraz innymi procesami poznawczymi. Psychologowie poznawczy, wraz z psychologami zajmującymi się różnicami indywidualnymi, dążą m.in. do opisania i zmierzenia różnych rodzajów inteligencji, analizują, dlaczego niektórzy ludzie rozwiązują problemy lepiej niż inni, oraz w jaki sposób inteligencja emocjonalna wpływa na sukces zawodowy. Ponadto skupiają się na tym, jak grupujemy myśli i informacje pobrane z otoczenia w sensowne kategorie pojęciowe, o czym porozmawiamy później. Pojęcia i prototypy Układ nerwowy człowieka obsługuje niezliczone strumienie informacji. Zmysły służą jako forum wymiany między umysłem a środowiskiem zewnętrznym, otrzymując bodźce i przekładając je na impulsy nerwowe przekazywane do mózgu. Następnie mózg przetwarza te informacje i wykorzystuje ich odpowiednie elementy do tworzenia myśli, które później zostają wyrażone słowami lub są przechowywane w pamięci. Aby jeszcze bardziej skomplikować ten proces, mózg nie zbiera informacji wyłącznie z otoczenia. Podczas tworzenia myśli odwołuje się również do emocji oraz zapisanych w pamięci wspomnień i wiedzy ( ), które mają ogromny wpływ na nasz sposób myślenia i zachowanie. Nasz mózg odbiera wrażenia i informacje, filtruje je przez emocje, wspomnienia i wiedzę, a na końcu przetwarza w myśli. Aby uporządkować tę zdumiewającą ilość informacji, mózg stworzył coś na kształt szafki na dokumenty, w której przechowywane są różne segregatory nazywane pojęciami. Pojęcia (ang. concepts) są kategoriami lub grupami informacji lingwistycznych, obrazów, idei czy wspomnień, takich jak życiowe doświadczenia. Pod wieloma względami pojęcia przypominają wielkie idee powstające dzięki obserwacji szczegółów, ich grupowaniu i łączeniu w struktury poznawcze. Używamy ich, by znaleźć zależności między różnymi elementami naszych doświadczeń oraz żeby informacje w naszym umyśle pozostawały uporządkowane i dostępne. Pojęcia podpowiada nam pamięć semantyczna (więcej na jej temat dowiesz się z następnego rozdziału). Występują w każdym aspekcie naszego życia. Jednak jednym z miejsc, w których najłatwiej je zauważyć, jest klasa szkolna, gdzie są wprost przekazywane i omawiane. Przykładowo, gdy uczysz się o historii Polski, poznajesz nie tylko poszczególne wydarzenia, które miały miejsce w Europie w minionych latach. Przyswajasz dużą ilość informacji, przysłuchując się dyskusjom i biorąc w nich udział, analizując mapy i czytając naoczne relacje żyjących wtedy ludzi. Nasz mózg analizuje te szczegóły i tworzy ogólne wyobrażenie na temat historii państwa i kontynentu. W toku tego procesu gromadzi szczegółowe dane, które w efekcie pozwalają lepiej zrozumieć różne powiązane pojęcia, takie jak demokracja, władza i wolność. Pojęcia mogą być złożone i abstrakcyjne, jak np. sprawiedliwość, lub bardziej konkretne, jak gatunki ptaków. Przykładowo pojęciami abstrakcyjnymi w psychologii są stadia rozwoju poznawczego dziecka opisane przez Jeana Piageta (1896-1980). Pewne pojęcia, np. tolerancja, są uzgadniane przez wiele osób, ponieważ przez wiele lat były używane w różny sposób. Inne pojęcia, takie jak charakterystyka idealnego przyjaciela lub rodzinnych tradycji urodzinowych, są osobiste i subiektywne. Dzięki temu pojęcia dotykają każdego aspektu naszego życia, począwszy od codziennej rutyny. Inna technika porządkowania informacji stosowana przez nasz mózg to identyfikacja prototypów utworzonych pojęć. Prototyp (ang. prototype ) stanowi najbardziej typowy przykład danego pojęcia. Przykładowo prototypem dla kategorii obywatelskiego nieposłuszeństwa mogłoby być zachowanie Rosy Parks (1913-2005). Jej pokojowy bojkot segregacji w miejskim autobusie w Montgomery w stanie Alabama jest rozpoznawalnym symbolem tego aktu. Podobnym symbolem może być również Mahatma Gandhi (1869-1948) ( ). Dla Polaków byliby to działacze podziemnej Solidarności w stanie wojennym. Współcześnie zaś ekolodzy walczący ze zmianami klimatycznymi. W 1930 roku Mahatma Gandhi stanął na czele pokojowego protestu przeciwko brytyjskim podatkom nałożonym na sól w Indiach. Mahatma Gandhi w pacyfistyczny sposób walczył o niepodległość Indii, żądając jednocześnie, by liderzy buddyzmu, hinduizmu, islamu i chrześcijaństwa – zarówno z Indii, jak i Wielkiej Brytanii – pokojowo ze sobą współpracowali. Mimo że nie zawsze udawało mu się uniknąć wokół siebie przemocy, jego życie to niezłomny przykład prototypu obywatelskiego nieposłuszeństwa (Constitutional Rights Foundation, 2013). Pojęcia naturalne i sztuczne W psychologii pojęcia dzieli się na naturalne i sztuczne. Pojęcia naturalne (ang. natural concepts ) powstają „naturalnie” podczas zdobywania przez nas doświadczeń - zarówno bezpośrednich, jak i pośrednich. Na przykład jeśli ktoś mieszka w Polsce, zapewne widział padający śnieg, delikatny śnieżek tworzący cienką warstwę na samochodzie, i odgarniał biały puch, myśląc przy tym „To idealny śnieg do jazdy na nartach”. W dzieciństwie rzucał się śnieżkami z przyjaciółmi i zjeżdżał na sankach z najbardziej stromej górki w okolicy. Krótko mówiąc, zna śnieg, wie, jak wygląda, pachnie, smakuje i jaki jest w dotyku. Jeśli jednak ktoś przez całe życie mieszka na wyspie Saint Vincent na Morzu Karaibskim, zapewne nigdy nie widział śniegu na własne oczy, a tym bardziej go nie smakował, nie wąchał i nie dotykał. Taka osoba zna śnieg pośrednio – widziała zdjęcia z padającym śniegiem albo oglądała filmy osadzone w śnieżnej scenerii. Tak czy inaczej śnieg jest pojęciem naturalnym. Jest to pojęcie, które można zrozumieć dzięki bezpośredniej obserwacji lub styczności z nim ( ) (a) Pojęcie śniegu to przykład pojęcia naturalnego, czyli takiego, które rozumiemy poprzez bezpośrednią obserwację i doświadczenie. (b) Z kolei pojęcia sztuczne to pojęcia jasno zdefiniowane, a więc wyróżniane na podstawie określonych, zawsze tych samych właściwości, jak na przykład kształty i figury geometryczne. (Źródło: (a) modyfikacja pracy Maartena Takensa; (b) modyfikacja pracy „Shayan (USA)”/Flickr). Sztuczne pojęcie (ang. artificial concept ) jest definiowane zestawem określonych właściwości. Przykładem pojęć sztucznych mogą być cechy kształtów geometrycznych, takich jak kwadraty i trójkąty. Trójkąt ma zawsze trzy kąty i trzy boki. Kwadrat ma cztery równe boki i cztery kąty proste. Wzory matematyczne, np. na obliczenie pola (długość × szerokość), to sztuczne pojęcia definiowane konkretnym zestawem właściwości, które są zawsze takie same. Pojęcia sztuczne mogą wpłynąć na lepsze zrozumienie danego tematu, dzięki temu, że są na sobie nadbudowywane. Przykładowo, zanim poznamy pojęcie „pola kwadratu” (i wzór do jego obliczenia), musimy zrozumieć, czym jest kwadrat. Gdy już znamy pojęcie „pola kwadratu”, możemy zrozumieć pojęcia pól innych figur geometrycznych. Zastosowanie pojęć sztucznych do określenia pewnej idei ma zasadnicze znaczenie dla komunikacji z ludźmi i angażowania się w zawiłe procesy myślowe. Według Goldstone'a i Kerstena (2003) pojęcia są jak klocki, które można łączyć w niezliczone konfiguracje, by tworzyć złożone myśli. Schematy Schemat (ang. schema ) to konstrukt myślowy złożony z grupy lub zestawu powiązanych pojęć (Bartlett, 1932). Mimo że istnieje wiele różnych rodzajów schematów, wszystkie mają jedną wspólną cechę: są sposobem porządkowania informacji, który umożliwia mózgowi wydajniejszą pracę. Po aktywacji schematu mózg natychmiast uruchamia wszystkie związane z nim informacje, tj. przyjmuje wszystkie założenia związane z daną osobą lub obserwowanym obiektem. Wyróżniamy kilka rodzajów schematów. schemat roli społecznej (ang. role schema ) koduje typowe zachowania ludzi w określonych rolach (Callero, 1994). Wyobraź sobie, że spotykasz strażaka. W takiej sytuacji twój mózg automatycznie aktywuje „schemat strażaka” i z założenia przyjmuje, że osoba ta jest odważna, bezinteresowna i zorientowana na dobro wspólne. Nie znasz tego człowieka, a jednak nieświadomie tak go oceniasz. Schematy pomagają również uzupełnić braki w informacjach otrzymywanych ze świata zewnętrznego. Chociaż pozwalają na skuteczniejsze przetwarzanie informacji, ze stosowaniem schematów mogą wiązać się pewne problemy, i to niezależnie od tego, czy są trafne. Być może ten konkretny strażak wcale nie jest odważny, tylko pracuje w straży pożarnej, żeby opłacić rachunki, a jednocześnie studiuje, bo chce zostać bibliotekarzem w dziecięcej bibliotece. Schemat zdarzeń (ang. event schema ), zwany również skryptem poznawczym (ang. cognitive script ), to zestaw zachowań sprawiających wrażenie rutyny. Zastanów się, co robisz, gdy wsiadasz do windy ( ). Otwierają się drzwi, czekasz, aż wysiadający na danym piętrze opuszczą windę. Następnie wchodzisz do środka, odwracasz się w stronę drzwi i naciskasz odpowiedni guzik. Nigdy nie stajesz plecami do drzwi, prawda? A gdy jedziesz zatłoczoną windą i nie możesz odwrócić się twarzą w kierunku drzwi, to zapewne czujesz się niekomfortowo. Co ciekawe, schematy zdarzeń mocno różnią się w zależności od kultury i kraju. W Polsce ludzie na powitanie podają sobie rękę, natomiast w Tybecie witają się z drugą osobą, pokazując jej język, a w Belize – przybijając sobie „żółwika” (Cairns Regional Council, b.d.). Jaki schemat zdarzeń wykonujesz, jadąc windą? (Źródło: „Gideon”/Flickr). W związku z tym, że schematy zdarzeń są automatyczne, trudno je zmienić. Wyobraź sobie, że jedziesz samochodem z pracy lub uczelni do domu. Ten schemat zdarzeń obejmuje wejście do auta, zamknięcie drzwi, zapięcie pasów, a następnie włożenie kluczyka do stacyjki. Być może wykonujesz ten skrypt dwa lub trzy razy dziennie. Podczas jazdy słyszysz, że dzwoni telefon. Schemat zdarzeń, który zwykle pojawia się w takim momencie, uwzględnia zlokalizowanie telefonu, odebranie go lub odpisanie na ostatniego SMS-a. Zatem, niewiele myśląc, sięgasz po komórkę, która jest – załóżmy – w kieszeni, torbie albo na siedzeniu pasażera. Ten silny schemat zdarzeń to wynik twojego wzorca zachowań i przyjemnego bodźca, jaki dla mózgu stanowi sygnał dzwonka lub SMS-a. Ponieważ jest to schemat, niezmiernie trudno nam powstrzymać się od sięgnięcia po telefon, mimo iż wiemy, że robiąc to, narażamy życie własne i innych osób (Neyfakh, 2013) ( ). Pisanie SMS-ów podczas prowadzenia samochodu jest niebezpieczne, ale niektórym ludziom trudno jest oprzeć się temu schematowi zdarzeń. Pamiętasz przykład z windą? Wydaje się niemal niemożliwe, by wsiąść do niej i nie odwrócić się twarzą do drzwi. Nasz silny schemat zdarzeń dyktuje nam zachowanie w windzie, podobnie jak w przypadku postępowania z telefonem. Najnowsze badania sugerują, że nawyk, czy inaczej schemat zdarzenia, zerkania na telefon w różnych sytuacjach znacznie utrudnia powstrzymanie się podczas jazdy od sprawdzenia, kto dzwonił (Bayer i Campbell, 2012). Jako że esemesowanie i prowadzenie auta stało się w ostatnich latach groźną epidemią, psychologowie analizują, w jaki sposób pomóc ludziom wyłączyć ten „schemat telefonu”, gdy siedzą za kierownicą. Tego typu schematy zdarzeń przyczyniają się do tego, jak trudno nam zerwać z wieloma nawykami. Podczas dalszej analizy zagadnienia myślenia należy pamiętać, że pojęcia i schematy bardzo mocno oddziałują na nasze zrozumienie świata. Summary W tym podrozdziale zapoznałaś się z psychologią poznawczą, która bada poznanie, czyli zdolność mózgu do myślenia, postrzegania, planowania, analizowania i zapamiętywania. Pojęcia i odpowiadające im prototypy pomagają nam szybko uporządkować myśli, tworząc kategorie, w które grupujemy nowe informacje. Ponadto tworzymy schematy, czyli grupy powiązanych pojęć. Niektóre schematy dotyczące rutynowego myślenia i zachowania, pomagają nam odpowiednio postępować w różnych sytuacjach bez konieczności zastanawiania się nad nimi. Schematy pojawiają się w sytuacjach społecznych i rutynie dnia codziennego. Review Questions Psychologia poznawcza to dziedzina psychologii zajmująca się badaniem ________. ludzkiego rozwoju ludzkiego myślenia ludzkiego zachowania ludzkiego społeczeństwa B Który z poniższych przykładów stanowi prototyp pojęcia przywództwa w drużynie sportowej? menadżer sprzętu sędzia kapitan drużyny najspokojniejszy członek drużyny C Który z poniższych przykładów jest pojęciem sztucznym? ssaki pole trójkąta kamienie szlachetne nauczyciele B Schemat zdarzeń nazywamy również __________ poznawczym. stereotypem pojęciem skryptem prototypem C Critical Thinking Questions Opisz schemat zdarzeń możliwy do zaobserwowania podczas wydarzenia sportowego. Odpowiedzi mogą być różne. Podczas oglądania meczu koszykówki zwyczajowo kibicuje się swojej drużynie, mając na sobie klubowe barwy i siedząc za jej ławką. Wyjaśnij, dlaczego schematy zdarzeń mają tak ogromny wpływ na ludzkie zachowanie. Schematy zdarzeń są zakorzenione w strukturze zbiorowości społecznej. Oczekujemy, że w pewnych konkretnych sytuacjach ludzie będą zachowywać się w określony sposób. Sami również trzymamy się tych norm społecznych. Postępowanie wbrew schematowi zdarzeń jest niekomfortowe – przypomina w pewnym stopniu łamanie zasad. Personal Application Question Opisz pojęcie naturalne, które bardzo dobrze znasz, ale które ciężko byłoby zrozumieć innej osobie. Wyjaśnij, dlaczego byłoby to takie trudne. sztuczne pojęcie (ang. artificial concept ) pojęcie zdefiniowane przez konkretny zestaw cech charakterystycznych poznanie (ang. cognition ) myślenie, w tym percepcja, uczenie się, rozwiązywanie problemów, osąd i pamięć psychologia poznawcza (ang. cognitive psychology ) dziedzina psychologii poświęcona badaniu każdego aspektu ludzkiego poznania pojęcie (ang. concept ) termin lub zestaw informacji dotyczący języka, przedmiotów, koncepcji, doświadczeń życiowych schemat poznawczy ( schemat postępowania ) (ang. cognitive schema ) umysłowa reprezentacja doświadczeń dotyczących typowych zdarzeń, osób lub obiektów, obejmująca również zestawy związanych z nimi zachowań, które za każdym razem są wykonywane w taki sam sposób schemat zdarzeń ( skrypt poznawczy ) (ang. cognitive script lub event schema ) zestaw zachowań, które są wykonywane w ten sam sposób za każdym razem; nazywany bywa również skryptem poznawczym pojęcie naturalne (ang. natural concept ) przechowywane w umyśle informacje tworzone „naturalnie”, tzn. poprzez doświadczenia prototyp (ang. prototype ) najbardziej typowy egzemplarz kategorii lub pojęcia schemat roli społecznej (ang. role schema ) zbiór oczekiwań społecznych określających zachowania osoby odgrywającej daną rolę społeczną schemat (ang. schema ) konstrukcja (reprezentacja) umysłowa stworzona z grupy lub zbioru powiązanych ze sobą pojęć", "section": "Czym jest poznanie?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Język Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować język i wykazać się znajomością elementów języka Zrozumieć rozwój języka Wyjaśnić związek między językiem a myśleniem Język (ang. language ) to system znaków i usystematyzowanych zasad ich porządkowania, który służy ludziom do porozumiewania się między sobą. Język jest zatem formą komunikacji, jednak nie każdy rodzaj komunikacji jest językiem. Wiele gatunków zwierząt komunikuje się ze sobą poprzez pozy, ruchy, zapachy i odgłosy. Taka komunikacja jest kluczowa dla grup, które muszą wchodzić w interakcję i rozwijać relacje społeczne z innymi przedstawicielami tego samego gatunku. Panuje jednak powszechne przekonanie, że to właśnie język sprawia, że ludzie wyróżniają się na tle pozostałych gatunków zwierząt (Corballis i Suddendorf, 2007; Tomasello i Rakoczy, 2003). W niniejszym podrozdziale dowiemy się, dlaczego język jest szczególną formą komunikacji, w jaki sposób nabywamy kompetencje językowe oraz jak wpływa on na nasz sposób myślenia. Komponenty języka Język, zarówno mówiony, pisany, jak i migowy, ma określone komponenty: leksykon i gramatykę. Leksykon (ang. lexicon ) to zasób słów danego języka, czyli słownictwo . Gramatyka (ang. grammar ) to zestaw reguł stosowanych do przekazywania znaczenia za pomocą słownictwa (Fernández i Cairns, 2011). Dla przykładu w języku polskim tryb przypuszczający tworzy się, dodając do formy przeszłej czasownika cząstkę „-by”. Słowa powstają z połączenia różnych fonemów. Fonem (ang. phoneme ) (np. wyrażony głoską /t/) to podstawowa jednostka systemu dźwiękowego danego języka. Łącząc się, fonemy tworzą morfemy (ang. morpheme ), czyli najmniejsze jednostki języka wyrażające jakieś znaczenie (np. „ja”). Natomiast słowo (wyraz) to połączenie morfemów lub pojedynczy morfem. Do budowy wypowiedzi wykorzystujemy semantykę i składnię, które są częścią gramatyki danego języka. Semantyka (ang. semantics ) odnosi się do procesów, dzięki którym wydobywamy znaczenie słów. Składnia (ang. syntax ) zaś to sposób łączenia słów w zdania (Chomsky, 1965; Fernández i Cairns, 2011). Do organizowania słownictwa w oryginalny i kreatywny sposób wykorzystujemy zasady gramatyczne. Dzięki temu możemy przekazywać informacje na temat pojęć konkretnych i abstrakcyjnych. Możemy rozmawiać o naszym bezpośrednim, namacalnym otoczeniu, jak również o powierzchni planet, których nie widzimy. Możemy dzielić się naszymi najskrytszymi myślami, planami na przyszłość i spierać się o wartość kształcenia uniwersyteckiego. Możemy udzielać szczegółowych instrukcji dotyczących przygotowania posiłku, naprawy samochodu lub rozpalenia ogniska. Dzięki używaniu języka możemy tworzyć, organizować i wyrażać idee, schematy i sztuczne pojęcia. Rozwój języka Biorąc pod uwagę niesamowitą złożoność języka, można przypuszczać, że opanowanie go jest szczególnie trudnym zadaniem. Rzeczywiście może tak być w przypadku osób, które próbują nauczyć się drugiego języka w dorosłym życiu. Jednak małe dzieci opanowują język z dużą łatwością i w krótkim czasie. B.F. Skinner (1957) zasugerował, że język jest przyswajany dzięki uzyskiwaniu wzmocnień. Noam Chomsky (1965) skrytykował to behawiorystyczne podejście, twierdząc, że mechanizmy leżące u podłoża nabywania języka są uwarunkowane biologicznie. Rozwój umiejętności językowych odbywa się bez żadnej formalnej nauki i przebiega w bardzo podobny sposób u dzieci z bardzo odmiennych kultur i środowisk. Wydaje się zatem, że rodzimy się z biologiczną predyspozycją do przyswajania języka (Chomsky, 1965; Fernández i Cairns, 2011). Ponadto wygląda na to, że istnieje kluczowy (tzw. krytyczny) okres dla nauki języka, przypadający na najwcześniejsze lata życia. Natomiast łatwość przyswajania i opanowywania nowych języków maleje, gdy ludzie się starzeją (Johnson i Newport, 1989; Lenneberg, 1967; Singleton, 1995). Dzieci zaczynają poznawać język od najmłodszych lat ( ). Okazuje się, że proces ten zachodzi jeszcze zanim przyjdziemy na świat. Noworodki preferują głos matki i wydaje się, że są w stanie odróżnić język, którym się ona posługuje, od innych. Niemowlęta są ponadto wyczulone na języki używane w ich otoczeniu i wolą filmy, na których twarze poruszają się synchronicznie z nagranym głosem od filmów z niezsynchronizowanym dźwiękiem (Blossom i Morgan, 2006; Pickens, 1994; Spelke i Cortelyou, 1981). Etapy rozwoju języka i komunikacji. Etap Wiek Rozwój komunikacji językowej 1 0–3 miesiące komunikacja przedintencjonalna 2 3–8 miesięcy komunikacja przedintencjonalna; zainteresowanie innymi 3 8–13 miesięcy komunikacja intencjonalna; towarzyskość 4 12–18 miesięcy pierwsze słowa 5 18–24 miesiące proste dwuwyrazowe zdania 6 2–3 lata zdania złożone z trzech lub więcej słów 7 3–5 lat zdania złożone; umiejętność konwersacji Przypadek Genie Jesienią 1970 roku pracownik socjalny z okolic Los Angeles natknął się na 13-letnią dziewczynkę, która była zaniedbywana i wychowywała się w warunkach przemocy. Dziewczynka, znana jako Genie, większość życia spędziła przywiązana do nocnika lub przykuta do łóżeczka w małym, ciemnym, zamkniętym pokoju. Przez ponad dziesięć lat Genie nie miała praktycznie żadnych kontaktów społecznych i dostępu do świata zewnętrznego. W wyniku tych rażących zaniedbań dziewczynka nie potrafiła wstawać, przeżuwać pokarmów ani mówić (Fromkin et al., 1974; Rymer, 1993). Policja umieściła ją w ośrodku opiekuńczym. Po zabraniu z niekorzystnego środowiska, umiejętności Genie znacznie się poprawiły. Dość szybko okazało się, że potrafi do pewnego stopnia przyswajać język, mimo że była znacznie starsza niż zakładała hipoteza okresu krytycznego, którą w tamtych latach postulowano (Fromkin et al., 1974). Genie udało się nabyć zaskakująco duży zakres słownictwa w stosunkowo krótkim czasie. Jednak nigdy nie opanowała gramatycznych aspektów języka (Curtiss, 1981). Prawdopodobnie brak możliwości uczenia się języka w okresie krytycznym uniemożliwił Genie jego pełne opanowanie. (Zobacz też podrozdział Co to jest psychologia rozwojowa? ) Jak wspomnieliśmy wyżej, każdy język ma własny zestaw fonemów używanych do tworzenia morfemów, słów itd. Dzieci potrafią rozróżniać dźwięki wyrażane głoskami i składające sie na określony wyraz (na przykład słyszą różnicę między „z” w słowie „wizja” i „s” w słowie „misja”). Na bardzo wczesnym etapie rozwoju są w stanie rozróżniać dźwięki wszystkich języków świata, nawet te niewystępujące w ich środowisku. Niemniej około 1. roku życia dzieci potrafią wyróżnić jedynie fonemy obecne w języku/językach ze swojego otoczenia (Jensen, 2011; Werker i Lalonde, 1988; Werker i Tees, 1984). Więcej informacji o tym, jak z wiekiem dzieci tracą umiejętność rozróżniania wszystkich używanych przez ludzi fonemów, znajdziesz na tej stronie . Po kilku pierwszych miesiącach życia dzieci wchodzą w etap nazywany gaworzeniem, podczas którego wypowiadają pojedyncze sylaby i stale je powtarzają. Z czasem rośnie liczba kombinacji artykułowanych sylab. W tym okresie dzieci raczej nie próbują się komunikować za pomocą wypowiadanych sylab. Równie chętnie gaworzą, gdy są same, jak w towarzystwie opiekunów (Fernández i Cairns, 2011). Co ciekawe, dzieci wychowywane w środowisku, w którym używany jest język migowy, również na tym etapie zaczynają gaworzyć przy użyciu gestów rąk (Petitto et al., 2004). Na ogół dziecko wypowiada pierwsze słowo między 12. a 18. miesiącem życia i przez kilka kolejnych miesięcy pozostaje na etapie „jednowyrazowego” rozwoju języka. Dzieci znają wtedy wiele słów, ale tworzą wyłącznie jednowyrazowe wypowiedzi. Zasób słownictwa ogranicza się do znanych przedmiotów lub zdarzeń, w większości składa się z rzeczowników. Mimo to jego wypowiedzi mają zazwyczaj szersze znaczenie (Fernández i Cairns, 2011). Przykładowo dziecko mówiące: „ciastko” może pokazywać ciastko lub o nie prosić. Wraz z rozwojem słownictwa dziecko wypowiada proste zdania i bardzo szybko uczy się nowych słów. Ponadto zaczyna wykazywać zrozumienie określonych zasad rządzących językiem. Nawet popełniane czasem przez dzieci błędy stanowią dowód na to, jak dobrze te reguły są im znane. Widzimy to na przykład w postaci nadmiernej generalizacji (ang. overgeneralization ). W tym kontekście odnosi się ona do rozszerzenia reguł językowych i nieuwzględniania wyjątków od tych reguł. Na przykład w języku angielskim „s” na końcu rzeczownika oznacza zazwyczaj liczbę mnogą, czyli mówimy „one dog” (jeden pies), ale „two dogs” (dwa psy). Małe dzieci nadmiernie uogólniają tę regułę i stosują ją do wyjątków, dodając „s” do rzeczowników odmienianych nieregularnie, i mówią np. „two gooses” (dwie gęsi) zamiast „two geese” lub „three mouses” (trzy myszy) zamiast „three mice”. Polskie dziecko może zastosować typowe schematy odmiany rzeczowników i czasowników do wyjątków i powiedzieć: „widziałam piesa” zamiast „widziałam psa” (jako analogia do odmiany „kot” – „kota”) czy „chcem” zamiast „chcę” (przez analogię do „jem”). Jak widać, dzieci znają i rozumieją reguły języka, nawet jeśli jeszcze do końca nie opanowały wyjątków od nich (Moskowitz, 1978). Język a myślenie Granice mego języka wskazują granice mego świata. - Ludwig Wittgenstein (1889-1951), Traktat logiczno-filozoficzny (1921) Gdy mówimy jednym językiem, uznajemy, że słowa stanowią reprezentację myśli, ludzi, miejsc i zdarzeń. Dany język przyswajany przez dzieci jest związany z ich kulturą i środowiskiem. Ale czy same słowa mogą wpływać na sposób myślenia o różnych rzeczach? Psychologowie od dawna analizują kwestię, czy język kształtuje myśli i czyny, czy to nasze myśli i przekonania kształtują język, którym się posługujemy. Dwaj badacze, Edward Sapir (1884-1939) i Benjamin Lee Whorf (1897-1941), zajęli się tym tematem w latach 40. XX wieku. Chcieli się dowiedzieć, jak nawyki językowe danej społeczności zachęcają jej członków do interpretowania rzeczywistości w określony sposób (Sapir, 1941/1964). Sapir i Whorf zasugerowali, że język determinuje myślenie. Na przykład w niektórych językach występuje kilka określeń miłości, podczas gdy w języku angielskim jedno. Czy ma to wpływ na sposób myślenia o miłości (Whorf, 1956)? W późniejszych latach inni badacze uznali to podejście za zbyt kategoryczne, zarzucając koncepcji Sapira i Whorfa brak empiryzmu (Abler, 2013; Boroditsky, 2011; van Troyer, 1994). Obecnie nadal prowadzone są badania i dyskusje nad związkiem między językiem a myśleniem. Doskonałym przykładem jest tu obszerna praca Johna Harolda Leavitta (ur. 1956): Linguistic Relativities: Language Diversity and Modern Thought , wydana przez Cambridge University Press w 2015 roku. Znaczenie języka Czy jeśli ktoś biegle włada więcej niż jednym językiem, jego myśli są inne w zależności od języka, w którym się wypowiada? Może znasz jakieś słowa, których nie da się przetłumaczyć na polski. Na przykład portugalskie słowo saudade powstało w XV wieku, gdy portugalscy żeglarze opuszczali swoje domy i wypływali eksplorować morza w kierunku Afryki i Azji. Ci, którzy zostali, opisywali wspomnianym słowem różne uczucia ( ), w tym uczucie pustki, utraty, nostalgię, tęsknotę, ale i ciepłe wspomnienia oraz nadzieję. Przykładowo, w języku polskim nie ma jednego wyrazu, który zawierałby w sobie wszystkie te emocje. Czy uważasz, że takie słowa jak saudade potwierdzają to, że różne języki tworzą odmienne wzorce myślenia u ludzi? Te dwie prace obrazują słowo saudade . (a) Saudade de Nápoles , co można przetłumaczyć jako „tęskniąc za Neapolem”, obraz namalowany przez Berthę Worms (1868-1937) w 1895 roku. (b) Almeida Júnior namalował Saudade w 1899 roku. Z badań wynika, że język może faktycznie wpływać na nasz sposób myślenia. Koncepcję tę nazywamy determinizmem lingwistycznym . Jeden z najnowszych dowodów potwierdzających to zjawisko odwołuje się do różnic w sposobie mówienia i myślenia o czasie u osób władających językiem angielskim i mandaryńskim. Osoby mówiące po polsku czy po angielsku wypowiadają się na temat czasu, używając określeń opisujących zmiany w wymiarze poziomym. Mówią np. „Jestem do tyłu z pracą” lub „Nie wybiegaj myślami tak daleko w przód”. Tymczasem użytkownicy mandaryńskiej odmiany języka chińskiego, którzy także opisują czas w kontekście poziomym, często stosują również określenia związane z układem pionowym. Zdarza się, że przeszłość plasują „u góry”, a przyszłość „na dole”. Okazuje się, że te różnice językowe przekładają się na różnice w wynikach osiąganych w testach sprawdzających, jak szybko dana osoba rozpoznaje zależności czasowe. Szczególnie przy zadaniach opartych na układzie pionowym osoby władające mandaryńskim szybciej rozpoznawały zależności czasowe między miesiącami. Boroditsky (2001) traktuje te wyniki jako potwierdzenie faktu, że zwyczaje językowe stymulują zwyczaje myślowe (s. 12). Można próbować doszukiwać się związków między sposobami myślenia o czasie i przyjmowanym w danej kulturze układem pisania: od lewej do prawej lub z góry na dół, jednak należy pamiętać, że pismo powstało znacznie później niż język mówiony, czyli być może pismo odzwierciedla myślenie, natomiast na pewno nie na odwrót. Chcąc sprawdzić, jak język wpływa na myślenie, Berlin i Kay (1969) porównali sposób myślenia i mówienia o kolorach osób posługujących się językiem angielskim i przedstawicieli plemienia Dani mieszkającego w Papui-Nowej Gwinei. Plemię to używa dwóch słów określających kolor: jedno oznacza „jasny” , a drugie – „ciemny”. Dla odmiany, w języku angielskim jest 11 podstawowych terminów opisujących barwy (czarny, biały, czerwony, żółty, zielony, niebieski, brązowy, fioletowy, różowy, pomarańczowy, szary). Badacze założyli, że liczbę określeń barw może ograniczać sposób, w jaki członkowie plemienia Dani je postrzegają. Okazało się jednak, że – mimo dysponowania znacznie mniejszym zasobem słów – lud Dani rozróżnia kolory tak samo sprawnie jak osoby mówiące po angielsku (Berlin i Kay, 1969). Najnowszy przegląd badań mający na celu określenie, w jaki sposób język może wpływać na postrzeganie kolorów, sugeruje, że język oddziałuje na zjawiska percepcyjne, szczególnie w lewej półkuli mózgu. Zapewne pamiętasz z wcześniejszych rozdziałów, że u większości ludzi lewa półkula jest powiązana z językiem. Natomiast prawa półkula mózgu (mniej lingwistyczna) jest mniej podatna na językowy wpływ na percepcję (Regier i Kay, 2009). Summary Język to służący komunikacji system znaków złożony z leksykonu (słownictwa) i zasad gramatycznych. Przyswajanie języka odbywa się naturalnie i swobodnie w pierwszych latach życia. Proces ten zachodzi w przewidywalnej kolejności u ludzi na całym świecie. Język ma istotny wpływ na myślenie, a koncepcja jego wpływu na poznanie nadal pozostaje obszarem wielu badań i dyskusji psychologicznych. Review Questions ________ to zbiór ogólnych zasad porządkowania słów w znaczące zdania. Determinizm lingwistyczny Leksykon (słownictwo) Semantyka Składnia D ________ to najmniejsza jednostka języka posiadająca znaczenie. Leksykon (słownictwo) Fonem Morfem Składnia C Znaczenie słów i fraz określa się, stosując zasady ________. leksyki fonemów nadmiernej generalizacji semantyki D ________ jest podstawową jednostką dźwiękową języka mówionego. Składnia Fonem Morfem Gramatyka B Critical Thinking Questions W jaki sposób słowa przedstawiają zarówno nasze myśli, jak i wartości? Ludzie mówią o rzeczach, które są dla nich ważne, lub o rzeczach, o których najwięcej myślą. Zatem to, o czym mówimy, odzwierciedla nasze wartości. Dlaczego błędy gramatyczne u dzieci mogą być wskaźnikiem przyswajania języka? Błędy gramatyczne wynikające z nadmiernej generalizacji określonych reguł danego języka sugerują, że dziecko rozpoznaje daną zasadę, nawet jeśli nie wychwytuje niuansów czy wyjątków związanych z jej stosowaniem. Personal Application Question Podaj przykłady wpływu języka na procesy poznawcze. gramatyka (ang. grammar ) zbiór reguł służących do przekazywania znaczenia za pomocą słownictwa język (ang. language ) system znaków i reguł ich porządkowania, którego celem jest komunikacja leksykon ( słownictwo ) (ang. lexicon ) słownictwo wykorzystywane w danym języku morfem (ang. morpheme ) najmniejsza jednostka języka, która ma określone znaczenie nadmierna generalizacja (ang. overgeneralization ) rozszerzenie reguły istniejącej w danym języku na wyjątki od tej reguły fonem (ang. phoneme ) podstawowa jednostka dźwiękowa danego języka semantyka (ang. semantics ) znaczenie słów składnia (ang. syntax ) sposób, w jaki słowa są organizowane w zdania", "section": "Język", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Rozwiązywanie problemów Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać strategie rozwiązywania problemów Zdefiniować algorytm i heurystykę Wyjaśnić niektóre typowe przeszkody na drodze do skutecznego rozwiązywania problemów i podejmowania decyzji Jak podwoić proporcje składników z przepisu na ciasto do pizzy? Rozwiązanie tego problemu jest dość proste: wystarczy pomnożyć wszystkie składniki przez dwa i gotowe. Zdarza się jednak, że stajemy przed problemami bardziej złożonymi. Masz do przygotowania z dnia na dzień pilny raport, musisz go za chwilę wydrukować, ale drukarka przestała działać. Co należy zrobić? Po pierwsze, zidentyfikować problem, a następnie zastosować strategię rozwiązania go. Strategie rozwiązywania problemów Jak podchodzisz do problemu, niezależnie od tego, czy jest to złożone zadanie matematyczne, czy zepsuta drukarka? Zanim znajdziesz rozwiązanie, jasno określ problem, czyli zidentyfikuj, co w tej sytuacji stanowi faktyczną trudność. Następnie zastanów się, jaka strategia rozwiązania problemu będzie najskuteczniejsza w tym konkretnym przypadku. Strategia rozwiązywania problemu (ang. problem-solving strategy ) to plan działania zmierzający do znalezienia rozwiązania ( ). Dobrze znaną strategią jest metoda prób i błędów (ang. trial and error ). Podejście to opisuje powiedzenie: „Jeśli nie uda ci się rozwiązać problemu za pierwszym razem, próbuj ponownie i jeszcze raz”. W przypadku niedziałającej drukarki możesz sprawdzić poziom tuszu, a jeśli to nie zadziała, możesz zobaczyć, czy papier się nie zakleszczył. Może się również okazać, że drukarka nie jest podłączona do komputera albo wtyczka zasilania została wyłączona z kontaktu. Stosując metodę prób i błędów, testujesz różne rozwiązania, aż znajdziesz to właściwe. Metoda ta jest powszechna, chociaż nie zalicza się do najbardziej skutecznych. Strategie rozwiązywania problemów. Metoda Opis Przykład Prób i błędów próbowanie różnych rozwiązań, dopóki znajdzie się odpowiednie dla danego problemu ponowne uruchomienie telefonu, wyłączenie WiFi, wyłączenie Bluetootha w celu zdiagnozowania, dlaczego telefon nie działa Algorytm schemat rozwiązywania problemów krok po kroku instrukcja instalowania nowego oprogramowania na komputerze Heurystyka ogólne ramy rozwiązywania problemów strategia cofania się; dzielenie zadania na poszczególne etapy Kolejną strategią jest algorytm (ang. algorithm ), czyli schemat rozwiązywania problemu dostarczający instrukcji krok po kroku, by uzyskać pożądany efekt (Kahneman, 2011). Algorytm można porównać do przepisu z bardzo szczegółowymi wskazówkami, którego zastosowanie za każdym razem daje taki sam rezultat. Codziennie korzystamy z algorytmów zaimplementowanych w silnikach wyszukiwarek internetowych takich jak Google. Algorytmy te m.in. decydują, które witryny pojawiają się jako pierwsze na liście wyszukanych wyników. Facebook również stosuje algorytmy do ustalenia, które posty mają być wyświetlone na tablicy. Uczymy się licznych algorytmów przez całe życie i stosujemy je nieustannie zarówno świadomie, jak i nieświadomie, począwszy od reguł gramatycznych, na procedurach rozwiązywania zadań matematycznych kończąc. Istnieje również heurystyczna metoda rozwiązywania problemów. Podczas gdy algorytm musi być dokładnie zastosowany, abyśmy uzyskali prawidłowy rezultat, heurystyka (ang. heuristic ) stanowi ogólne wskazówki ułatwiające rozwiązanie problemu (Tversky i Kahneman, 1974). Możemy potraktować ją jak skrót myślowy wykorzystywany do rozwiązania problemu. Przykładem metody heurystycznej jest zasada „spod dużego palca” - bez wiedzy czy głębszego zastanowienia się. Mimo że oszczędza ona czas i energię w procesie podejmowania decyzji, nie zawsze prowadzi do racjonalnego rozwiązania. W zależności od sytuacji używane są różne rodzaje heurystyk, ale impuls do ich zastosowania pojawia się, gdy spełniony jest jeden z poniższych warunków (Pratkanis, 1989): gdy mamy nadmiar informacji, gdy czas na podjęcie decyzji jest ograniczony, gdy decyzja, którą należy podjąć, nie jest ważna, gdy dostęp do informacji w procesie podejmowania decyzji jest ograniczony, gdy odpowiednia heurystyka sama od razu przychodzi nam do głowy. Strategia cofania się (ang. working backwards ) to przydatna metoda heurystyczna, w której zaczynasz rozwiązywać problem, skupiając się na celu. Załóżmy, że mieszkasz w Toruniu i otrzymujesz zaproszenie na ślub, który ma się odbyć w sobotę o 16.00 w Olsztynie. Musisz odpowiednio zaplanować trasę i czas wyjazdu, biorąc pod uwagę ewentualne korki. Jeżeli chcesz dojechać na ślub na 15.30, a bez korków dojazd do Olsztyna zajmuje 2,5 godziny, to o której godzinie musisz wyjść z domu? Prawdopodobnie nawet nie myślisz o tym, że regularnie stosujesz heurystykę cofania się do planowania różnych czynności w ciągu dnia. Kolejna przydatna heurystyka to zasada realizacji dużego celu lub zadania poprzez podzielenie go na kilka mniejszych etapów. Metoda ta jest często stosowana na studiach przy większych projektach badawczych lub długich pracach pisemnych. Przykładowo studenci robią burzę mózgów, rozwijają tezę lub główny temat, po czym analizują go, porządkują informacje, tworząc konspekt, piszą wersję roboczą, następnie ją modyfikują i edytują, opracowują wersję końcową, porządkują bibliografię, czytają całą pracę i oddają gotowy projekt. Duże zadanie rozłożone na kilka mniejszych etapów staje się mniej przytłaczające. Rozwiązywanie zagadek Umiejętność rozwiązywania problemów możemy poprawiać, ćwicząc. Służą do tego popularne łamigłówki i zadania, np. sudoku. Sudoku to najczęściej diagram w kształcie kwadratu podzielonego na mniejsze kwadraty (9 × 9 pól). Poniżej znajduje się proste sudoku ( ) w diagramie 4 × 4. Aby rozwiązać zagadkę, należy uzupełnić puste pola cyframi 1, 2, 3 lub 4. Zasady są następujące: w każdym pogrubionym kwadracie, w każdym rzędzie i kolumnie suma cyfr musi wynieść 10. Jednak dana cyfra może pojawić się w danym kwadracie, rzędzie i kolumnie tylko raz. Zmierzcie czas podczas rozwiązywania tej łamigłówki i porównajcie go z wynikami kolegów i koleżanek z grupy. Ile czasu zajęło ci rozwiązanie tej łamigłówki? (Rozwiązanie znajdziesz na końcu tego podrozdziału). Oto inna popularna łamigłówka ( ), która odwołuje się do umiejętności rozumowania przestrzennego. Połącz wszystkie dziewięć kropek czterema liniami prostymi, nie odrywając ołówka od kartki papieru. Udało się? (Rozwiązanie znajdziesz na końcu tego podrozdziału). Po rozszyfrowaniu tej zagadki na pewno zapamiętasz jej rozwiązanie. A teraz przyjrzyj się poniższej łamigłówce logicznej o nazwie „Zagadkowa waga” ( ). Jej autor, Sam Loyd (1841-1911), przez całe życie tworzył i udoskonalał niezliczone ilości zagadek (Cyclopedia of Puzzles, b.d.). Jakie kroki doprowadziły cię do rozwiązania zagadki przedstawionej na archiwalnej ilustracji? (Tłumaczenie tekstu z ilustracji: Skoro teraz szale wagi się równoważą/ a także równoważą się przy takim ułożeniu/ ile szklanych kulek potrzeba do uzyskania równowagi przy takim obciążeniu?). Prawidłową odpowiedź znajdziesz na końcu tego podrozdziału. Pułapki na drodze do rozwiązania problemu Nie wszystkie problemy da się skutecznie rozwiązać. Kiedy tak się dzieje? Albert Einstein (1879-1955)powiedział: „Szaleństwem jest robić wciąż to samo i oczekiwać odmiennych rezultatów”. Wyobraź sobie osobę w pokoju z czterema wyjściami. Drzwi, które dotąd zawsze były otwarte, są teraz zamknięte. Osoba, przyzwyczajona do wychodzenia z pokoju tymi konkretnymi drzwiami, próbuje się przez nie wydostać, mimo że trzy pozostałe wyjścia są otwarte. Człowiek ten czuje się uwięziony, jednak wystarczy, że otworzy inne drzwi zamiast za wszelką cenę próbować wyjść przez te zamknięte. Nastawienie umysłowe (ang. mental set ) to sytuacja, w której usilnie dążysz do rozwiązania problemu w sposób, który wcześniej był skuteczny, ale ewidentnie nie sprawdza się tym razem. Fiksacja funkcjonalna (ang. functional fixedness ) to rodzaj nastawienia umysłowego, w którym nie dostrzegasz możliwości zastosowania przedmiotu w sposób odbiegający od jego pierwotnego przeznaczenia. Duncker (1945) przeprowadził przełomowe badanie nad fiksacją funkcjonalną. Uczestnicy eksperymentu otrzymali świeczkę, paczkę zapałek i pudełko pinezek. Zostali poproszeni o wykorzystanie tych przedmiotów do takiego przymocowania świeczki do ściany, aby wosk nie kapał na stół. Aby rozwiązać ten problem musieli przełamać swoją fiksacje funkcjonalną ( ). Podczas misji Apollo 13 na Księżyc inżynierowie z centrum dowodzenia NASA musieli pokonać fiksację funkcjonalną, by uratować życie astronautów na pokładzie statku kosmicznego. Eksplozja w module rakiety uszkodziła kilka systemów. Przez problemy z filtrami i rosnący poziom dwutlenku węgla astronautom groziło zatrucie. Inżynierowie doradzili im, by użyli rezerwowych plastikowych torebek, taśmy i przewodów pneumatycznych do stworzenia prowizorycznego filtra powietrza, co ostatecznie uratowało im życie. W klasycznym eksperymencie Dunckera uczestnicy otrzymywali przedmioty przedstawione w (A) i byli proszeni o rozwiązanie problemu. Rozwiązanie zamieszczono w dolnej części rysunku (B). Zobacz scenę z filmu Apollo 13 , w której inżynierowie z NASA otrzymują zadanie wymagające przezwyciężenia fiksacji funkcjonalnej. Badacze analizowali, czy kultura wpływa na fiksację funkcjonalną. W pewnym eksperymencie uczestnicy z grupy plemion Jiwaro w Ekwadorze zostali poproszeni o użycie przedmiotu do celu innego niż jego pierwotne przeznaczenie. Opowiedziano im historię o niedźwiedziu i króliku oddzielonych rzeką i poproszono, aby spośród przedmiotów takich jak łyżka, filiżanka, gumki do ścierania itd. wybrali jeden, który mógłby pomóc zwierzętom się spotkać. Łyżka była jedynym wystarczająco długim przedmiotem, by sięgnąć na drugi brzeg wyimaginowanej rzeki. Jednak gdy prezentowano ją w sposób obrazujący jej normalne użycie, wybór tego przedmiotu do rozwiązania problemu zajmował uczestnikom więcej czasu (German i Barrett, 2005). Badacze chcieli sprawdzić, czy ekspozycja na mocno wyspecjalizowane narzędzia mieszkańców krajów uprzemysłowionych, wpływa na łatwość przełamywania fiksacji funkcjonalnej. Ustalono, że fiksacja funkcjonalna występuje zarówno w kulturach uprzemysłowionych, jak i nieuprzemysłowionych (German i Barrett, 2005). Do podejmowania odpowiednich decyzji wykorzystujemy wiedzę i logiczne myślenie, które zazwyczaj są pewne i trafne. Czasem jednak ulegamy różnym błędom poznawczym lub osobom manipulującym sytuacją. Załóżmy na przykład, że razem z trójką przyjaciół chcesz wynająć mieszkanie. Dysponujecie łącznym budżetem 1600 zł. Pośrednik pokazuje wam w tej cenie tylko dość zniszczone lokale, a następnie bardzo ładne mieszkanie, ale za 2000 zł. Czy poprosisz każdego z przyjaciół o wyższą składkę na czynsz, żeby wynająć lokum za 2000? Dlaczego pośrednik pokazywał mieszkania w złym stanie i jedno atrakcyjne? Prawdopodobnie chciał rzucić wyzwanie twojemu efektowi zakotwiczenia (ang. anchoring bias ). Pojawia się on, gdy przy podejmowaniu decyzji lub rozwiązywaniu problemu skupiasz się na jednej informacji, traktując ją jako swój punkt odniesienia. W powyższym przykładzie tak bardzo koncentrujesz się na kwocie, jaką chcesz wydać, że możesz nie zauważyć, jakie mieszkania są dostępne w danym przedziale cenowym. Efekt potwierdzenia (in. błąd konfirmacji ) (ang. confirmation bias ) to tendencja do skupiania się na informacji, która potwierdza twoje przekonania. Przykładowo, jeśli uważasz, że twój profesor jest niemiły, dostrzegasz wszystkie przypadki jego nieuprzejmego zachowania, ignorując liczne życzliwe gesty. Błąd pewności wstecznej (ang. hindsight bias ) prowadzi do przekonania, że zdarzenie, które właśnie miało miejsce, można było przewidzieć, choć w rzeczywistości wcale tak nie było. Innymi słowy, żywimy przekonanie, że od początku wiemy, że tak to wszystko się potoczy. Heurystyka reprezentatywności (ang. representative bias ) opisuje tendencyjny sposób myślenia, w którym nieświadomie traktujemy kogoś lub coś jako stereotypowego przedstawiciela swojej kategorii. Na przykład zakładasz, że twój profesor spędza czas wolny, czytając książki i prowadząc intelektualne rozmowy, bo fakt, że może grać w siatkówkę albo chodzić do wesołego miasteczka, nie pasuje do stereotypu profesora. Jest jeszcze heurystyka dostępności (ang. availability heuristic ) polegająca na podejmowaniu decyzji z wykorzystaniem przykładu, informacji lub niedawnego doświadczenia, czyli łatwo dostępnego w pamięci rozwiązania, mimo że niekoniecznie najlepiej pasuje ono do danej sytuacji. Błędy poznawcze „utrwalają to, co zostało już ustalone – wspierają naszą wcześniejszą wiedzę, przekonania, nastawienia i hipotezy” (Aronson, 1995; Kahneman, 2011). Zestawienie tych błędów przedstawia . Zwróćmy uwagę, że efekty zakotwiczenia, potwierdzenia i wstecznej pewności prowadzą do niepoprawnego rozwiązania, natomiast heurystyka reprezentatywności i dostępności mogą, ale nie muszą, przyczyniać się do podejmowania niewłaściwych decyzji. Zestawienie błędów decyzyjnych. Błąd Opis Efekt zakotwiczenia tendencja do koncentrowania się przy podejmowaniu decyzji lub rozwiązywaniu problemu na jednej konkretnej, najczęściej pierwszej informacji Efekt potwierdzenia tendencja do koncentrowania się na informacjach, które potwierdzają istniejące przekonania Błąd pewności wstecznej przekonanie ujawniające się po zaistnieniu zdarzenia, że dana sytuacja była do przewidzenia Heurystyka reprezentatywności nieświadome traktowanie kogoś lub czegoś stereotypowo Heurystyka dostępności tendencja do koncentrowania się na łatwo dostępnym w pamięci, ale niekoniecznie trafnym precedensie lub przykładzie Wejdź na tę stronę i zobacz pouczający teledysk nagrany przez nauczyciela w celu wyjaśnienia studentom psychologii tych i innych błędów poznawczych. Czy udało ci się ustalić, ile kulek trzeba położyć na wadze na ? Dziewięć. A jak ci poszło z zagadkami na i ? Oto odpowiedzi ( ). Rozwiązania zagadek z i . Summary Istnieje wiele różnych strategii rozwiązywania problemów. Do typowych zaliczamy metodę prób i błędów, stosowanie algorytmów i heurystyki. Do złożonych problemów warto podejść etapowo i podzielić je na mniejsze kroki, które, realizowane pojedynczo, doprowadzą do końcowego całościowego rozwiązania. Przeszkodami w rozwiązywaniu problemów mogą być nastawienie umysłowe, fiksacja funkcjonalna i różnego rodzaju tendencyjności w myśleniu ograniczające zdolność do podejmowania trafnych decyzji. Review Questions Określona formuła, która gwarantuje rozwiązanie problemu to________. algorytm heurystyka nastawienie umysłowe metoda prób i błędów A Przepis w formie ogólnych wskazówek, jak rozwiązać problem, to________. algorytm heurystyka nastawienie umysłowe metoda prób i błędów B Który rodzaj efektu polega na ograniczeniu się do jednego aspektu problemu? efekt zakotwiczenia efekt potwierdzenia heurystyka reprezentatywności heurystyka dostępności A Który rodzaj błędu polega na wykorzystaniu stereotypu przy podejmowaniu decyzji? efekt zakotwiczenia efekt potwierdzenia heurystyka reprezentatywności heurystyka dostępności C Critical Thinking Questions Czym jest fiksacja funkcjonalna i jak jej przezwyciężenie pomaga rozwiązywać problemy? Fiksacja funkcjonalna występuje, gdy nie dostrzegasz możliwości wykorzystania danej rzeczy w sposób odbiegający od jej pierwotnego przeznaczenia. Na przykład, gdy potrzebujesz czegoś do podtrzymania plandeki w czasie deszczu, a masz do dyspozycji tylko widły, musisz wyzbyć się przeświadczenia, że służą one wyłącznie do prac w ogrodzie, i uświadomić sobie, że można je wetknąć w ziemię, zarzucić na nie plandekę i dzięki temu przytrzymać ją w górze. W jaki sposób algorytm oszczędza czas i energię podczas rozwiązywania problemu? Algorytm to potwierdzona formuła uzyskania pożądanego rezultatu. Oszczędza czas, ponieważ postępując zgodnie z nim, rozwiążesz problem bez konieczności poszukiwania sposobu rozwiązania. Nie trzeba wszystkiego wymyślać od początku. Personal Application Question Czy zauważasz u siebie któryś z omówionych powyżej błędów przy podejmowaniu decyzji? W jaki sposób wpłynął on na twoją decyzję w przeszłości i jak możesz wykorzystać tę świadomość do poprawy zdolności podejmowania decyzji w przyszłości? algorytm (ang. algorithm ) strategia rozwiązywania problemów będąca zbiorem ściśle określonych wskazówek efekt zakotwiczenia (ang. anchoring bias ) chwyt heurystyczny polegający na skupieniu się (zafiksowaniu) w procesie decyzyjnym lub podczas rozwiązywania problemów na pojedynczym punkcie odniesienia heurystyka dostępności (ang. availability heuristic ) błąd heurystyczny polegający na podjęciu decyzji tylko na podstawie łatwo dostępnych informacji błąd konfirmacji (efekt potwierdzenia) (ang. confirmation bias ) błąd heurystyczny polegający na koncentrowaniu się na informacjach, które potwierdzają istniejące przekonania fiksacja funkcjonalna (ang. functional fixedness ) nastawienie uniemożliwiające wymyślenie innego zastosowania przedmiotu niż to, do którego został przeznaczony heurystyka poznawcza (ang. heuristic ) skrót myślowy, który przyśpiesza rozwiązanie problemu błąd pewności wstecznej (ang. hindsight bias ) skłonność do przekonania, że wydarzenie, którego doświadczyliśmy, zostało przez nas przewidziane nastawienie umysłowe (ang. mental set ) ciągłe, mimo że nieskuteczne, używanie starej metody rozwiązywania problemu strategia rozwiązywania problemu (ang. problem-solving strategy ) metoda rozwiązywania problemów heurystyka reprezentatywności (ang. representative bias ) błąd heurystyczny polegający na przyporządkowaniu osób lub obiektów do danej grupy bez istotnych podstaw do takiego osądu metoda prób i błędów (ang. trial and error ) strategia rozwiązywania problemów, w której kolejne próby uwzględniają poprawki wynikające z wcześniej popełnionych błędów, aż do znalezienia właściwego rozwiązania strategia cofania się (ang. working backwards ) metoda działania, w której na początku pracy nad rozwiązaniem problemu należy skupiać się na oczekiwanym rezultacie, a potem na tym, jak ten zamierzony efekt osiągnąć", "section": "Rozwiązywanie problemów", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Czym jest inteligencja i twórczość? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować inteligencję Omówić triarchiczną teorię inteligencji Wskazać różnicę pomiędzy teoriami inteligencji Wyjaśnić czym jest inteligencja emocjonalna Zdefiniować twórczość Przy kuchennym stole siedzi 4,5-letni chłopiec z ojcem, który czyta mu na głos nową bajkę. Ten przewraca stronę, by czytać dalej, ale zanim zacznie, chłopiec mówi: „Zaczekaj, tato!”. Wskazuje na słowa na kolejnej stronie i głośno czyta: „Dalej, kotku! Dalej!” Zaskoczony ojciec spogląda na syna. „Potrafisz to przeczytać?” – pyta. „Tak, tatusiu!”. Pokazuje słowa i czyta jeszcze raz: „Dalej, kotku! Dalej!”. Ojciec wcale nie uczył syna czytać, jednak dziecko wciąż zadawało pytania o litery, słowa i symbole, które widziało w samochodzie, sklepie czy telewizji. Tata był ciekaw, co jeszcze syn zrozumiał, i postanowił zrobić eksperyment. Wziął kartkę i napisał na niej kilka prostych słów, takich jak: mama , tata , pies , ptak , but , auto , owoc . Położył listę przed chłopcem i poprosił go o przeczytanie tych wyrazów. „Mama, tata, pies, ptak, but, auto, owoc” – przeczytał chłopiec, zwalniając, by wyraźnie wymówić ptak. A potem zapytał: „Dobrze, tato?”. „Oczywiście! Bardzo dobrze, synku!”. Ojciec mocno uścisnął chłopca i wrócił do czytania bajki o kotku, cały czas zastanawiając się, czy zdolności jego syna są oznaką wyjątkowej inteligencji, czy mieszczą się w typowym schemacie rozwoju językowego. Podobnie jak ojciec w przytoczonym przykładzie, psychologowie rozważają, co składa się na inteligencję i jak można ją zmierzyć. Klasyfikacja inteligencji Czym właściwie jest inteligencja? Od początków psychologii sposób definiowania przez badaczy pojęcia inteligencji wielokrotnie się zmieniał. Brytyjski psycholog Charles Spearman (1863-1945) twierdził, że na inteligencję składa się jeden główny czynnik zwany g (od „general”), który można mierzyć i porównywać u poszczególnych osób. Spearman koncentrował się na podobieństwach między różnymi zdolnościami intelektualnymi, przykładając jednocześnie mniejszą wagę do tego, co czyni je wyjątkowymi. Podobne podejście można było jednak zauważyć na długo przed rozwojem współczesnej psychologii u starożytnych filozofów, np. Arystotelesa (Cianciolo i Sternberg, 2004). Inni psychologowie uważali, że zamiast jednego czynnika, na inteligencję składa się szereg odrębnych zdolności. W latach 40. XX wieku Raymonda Bernarda Cattella (1905-1998) zaproponował teorię dzielącą inteligencję ogólną na dwa komponenty: inteligencję skrystalizowaną i płynną (Cattell, 1963). Inteligencja skrystalizowana (ang. crystallized intelligence ) to nabyta wiedza i umiejętność korzystania z niej. Gdy zapamiętujesz i przywołujesz informacje, wykorzystujesz inteligencję skrystalizowaną. Używasz jej stale podczas zajęć na uczelni, pokazując, że masz opanowany materiał. Inteligencja płynna (ang. fluid intelligence ) obejmuje umiejętność dostrzegania złożonych zależności i rozwiązywania problemów. Powrót do domu nieznaną trasą z powodu robót drogowych będzie bazował właśnie na tym rodzaju inteligencji. Inteligencja płynna pomaga radzić sobie ze złożonymi, abstrakcyjnymi wyzwaniami dnia codziennego, podczas gdy inteligencja skrystalizowana przydaje się przy rozwiązywaniu konkretnych, prostych problemów (Cattell, 1963). Inni teoretycy i psychologowie są zdania, że inteligencję należy definiować w bardziej praktyczny sposób. Na przykład: jakie rodzaje zachowań pomagają w radzeniu sobie w życiu? Jakie umiejętności przekładają się na sukces? To, że ktoś potrafi wymienić po kolei wszystkich królów Polski, może zaskoczyć towarzystwo na imprezie, ale czy ta wiedza sprzyja powodzeniu życiowemu? Robert Sternberg (ur. 1949) rozwinął jeszcze inną koncepcję, którą nazwał triarchiczną teorią inteligencji (ang. triarchic theory of intelligence ). Według niej na inteligencję składają się trzy aspekty (Sternberg, 1988): inteligencja praktyczna, twórcza i analityczna ( ). Teoria Sternberga rozróżnia trzy rodzaje inteligencji: praktyczną, twórczą i analityczną. Zgodnie z teorią Sternberga inteligencję praktyczną (ang. practical intelligence ) porównuje się czasem do „mądrości życiowej”. Bycie inteligentnym praktycznie oznacza, że znajdujesz rozwiązania, które sprawdzają się w życiu codziennym, na podstawie wiedzy wynikającej z własnych doświadczeń. Ten rodzaj inteligencji występuje niezależnie od tradycyjnie rozumianego IQ (ilorazu inteligencji). Osoby uzyskujące wysokie wyniki w testach inteligencji praktycznej mogą, ale nie muszą osiągać podobnych wyników w badaniach inteligencji twórczej i analitycznej (Sternberg, 1988). Historia o strzelaninie w Virginia Tech idealnie ilustruje przypadki wysokiego i niskiego poziomu inteligencji praktycznej. Tuż przed tym incydentem jedna ze studentek wyszła z zajęć i poszła do sąsiedniego budynku po coś do picia. Chciała wrócić do sali, jednak gdy dotarła do swojego budynku, zobaczyła, że drzwi są zablokowane łańcuchem od wewnątrz. Zamiast zastanowić się, dlaczego wejście jest zaryglowane, wyszła na zewnątrz, podeszła do okna swojej klasy i wczołgała się przez nie do środka. Naraziła się w ten sposób na potencjalny atak zamachowca, ale na szczęście nic jej się nie stało. W tym samym czasie dwóch studentów przechodziło przez kampus i usłyszało strzały. Jeden z kumpli powiedział: „Chodźmy sprawdzić, co się dzieje”. Drugi odpowiedział: „Nie ma mowy! Uciekajmy jak najdalej stąd”. Tak też zrobili i uniknęli zagrożenia. Studentka, która wczołgała się przez okno, wykazała się pewną dozą inteligencji twórczej, ale zabrakło jej zdrowego rozsądku. Jej inteligencja praktyczna była na niskim poziomie. Student, który zachęcił znajomego do ucieczki z miejsca strzelaniny, wykazał się znacznie wyższym poziomem tej inteligencji. Inteligencja analityczna (ang. analytical intelligence ) jest ściśle związana z rozwiązywaniem problemów akademickich i obliczeniowych. Sternberg twierdzi, że przejawia się ona zdolnością do przeprowadzania analizy, oceny, osądu, porównania i kontrastowania. Na przykład, podczas czytania powieści klasycznej na zajęcia z literatury trzeba zazwyczaj porównać motywację poszczególnych bohaterów książki albo przeanalizować tło historyczne. Natomiast np. na zajęciach z fizjologii uczysz się o różnych procesach, dzięki którym ludzkie ciało zużywa mikroelementy do budowy tkanek. Próbując zrozumieć to zagadnienie, używasz inteligencji analitycznej. Głowiąc się nad trudnym zadaniem matematycznym, używasz tego rodzaju inteligencji do przeanalizowania różnych aspektów problemu i jego rozwiązywania krok po kroku. Inteligencja twórcza (ang. creative intelligence ) charakteryzuje się wymyślaniem lub wyobrażaniem sobie rozwiązania jakiegoś problemu lub sytuacji. Twórczość w tym kontekście może oznaczać znalezienie nowego rozwiązania dla niespodziewanego problemu, stworzenie pięknego dzieła sztuki lub przemyślanego opowiadania. Wyobraź sobie, że jesteś z przyjaciółmi na biwaku w lesie i uświadamiasz sobie, że zapomnieliście turystycznego ekspresu do kawy. Ten, kto wymyśli sposób na zaparzenie wszystkim kawy, wykaże się wyższym poziomem inteligencji twórczej. Teoria inteligencji wielorakich (ang. Multiple Intelligences Theory ) została opracowana przez Howarda Gardnera (ur. 1943) – psychologa z Harvardu i byłego ucznia Erika Eriksona (1902-1994). Teoria Gardnera, dopracowywana przez ponad 30 lat, jest najnowszą koncepcją wśród teorii inteligencji. Według niej każdy człowiek posiada przynajmniej osiem typów inteligencji. Niektóre może mieć rozwinięte bardziej, a inne mniej (Gardner, 1983). zawiera charakterystykę tych rodzajów inteligencji. Inteligencje wielorakie. Rodzaj inteligencji Charakterystyka Przykładowa profesja Inteligencja językowa rozpoznaje różne funkcje języka, różne dźwięki i znaczenia słów, łatwo przyswaja wiele języków dziennikarz, pisarz, poeta, nauczyciel Inteligencja matematyczno-logiczna dostrzega prawidłowości matematyczne, wykazuje duże zdolności do rozumowania i logicznego myślenia naukowiec, matematyk Inteligencja muzyczna rozumie i rozróżnia rytm, wysokość i ton dźwięków; potrafi grać na wielu instrumentach i śpiewać kompozytor, wykonawca Inteligencja ruchowa wykazuje dużą zdolność do kontrolowania ruchów ciała i wykorzystywania go do wykonywania różnych ćwiczeń ruchowych tancerz, sportowiec, trener, instruktor jogi Inteligencja wizualno-przestrzenna umiejętność dostrzegania relacji między obiektami i ich przemieszczania się w przestrzeni choreograf, rzeźbiarz, architekt, lotnik, marynarz Inteligencja interpersonalna umiejętność zrozumienia i wrażliwość na różne stany emocjonalne innych osób doradca, pracownik opieki społecznej, sprzedawca Inteligencja intrapersonalna zdolność do rozpoznawania własnych uczuć i motywacji, a także wykorzystywania ich do kierowania swoim zachowaniem i osiągania osobistych celów kluczowy element sukcesów osobistych Inteligencja przyrodnicza zdolność do doceniania świata przyrody i interakcji z innymi gatunkami biolog, ekolog, działacz na rzecz ochrony środowiska Teoria Gardnera jest stosunkowo nową koncepcją, która ciągle jeszcze wymaga dodatkowego potwierdzenia empirycznego. Zaproponowane przez autora podejście kwestionuje tradycyjną ideę inteligencji, w zamian włączając w nią większą gamę różnorodnych zdolności. Niektórzy badacze uważają jednak, iż Gardner zwyczajnie przemianował opisane w innych teoriach „style poznawcze” (tj. preferowane sposoby odbierania informacji, podejmowania decyzji, uczenia się bądź rozwiązywania problemów) na różne „inteligencje” (Morgan, 1996). Co więcej, niezwykle trudno jest opracować trafne sposoby mierzenia poszczególnych postulowanych przez Gardnera inteligencji (Furnham, 2009; Gardner i Moran, 2006; Klein, 1997). Inteligencję inter- i intrapersonalną Gardnera często łączy się w jeden rodzaj – inteligencję emocjonalną (ang. emotional intelligence ). Składa się na nią umiejętność zrozumienia własnych i cudzych emocji, okazywania empatii, rozumienia relacji i zachowań społecznych, a także kontrolowania własnych emocji i odpowiedniego, zgodnego z normami kulturowymi, reagowania (Parker et al., 2009). Osoby, które cechuje wysoka inteligencja emocjonalna, mają zazwyczaj dobrze rozwinięte umiejętności społeczne. Niektórzy badacze, jak np. Daniel Goleman (ur. 1946), autor książki Inteligencja emocjonalna , twierdzą, że ten typ inteligencji jest lepszym wyznacznikiem sukcesu niż „tradycyjna” inteligencja ogólna (Goleman, 1995). Trzeba jednak podkreślić, że koncepcja inteligencji emocjonalnej jest wciąż szeroko dyskutowana: niektórzy badacze zwracają uwagę na nieścisłości w jej definiowaniu i opisie, a także kwestionują istniejące wyniki badań. Jest to bowiem koncept złożony, który trudno jednoznacznie zdefiniować i zmierzyć empirycznie (Locke, 2005; Mayer et al., 2004). Aktualnie za najbardziej szczegółową teorię inteligencji uznaje się teorię zdolności poznawczych Raymonda Bernarda Cattella, Johna Leonarda Horna (1928-2006) i Johna Bissella Carrolla (1916-2003) - w skrócie CHC (Schneider i McGrew, 2018). Ma ona charakter hierarchiczny: zdolności ogólne umieszczone są na szczycie, zdolności szerokie w środku, a wąskie (specyficzne) - na dole. Tylko te ostatnie mogą podlegać bezpośredniemu pomiarowi, jednak są powiązane w obrębie pozostałych zdolności. Na samej górze mieści się inteligencja ogólna, pośrodku takie zdolności jak płynne rozumowanie, pamięć krótkotrwała i szybkość przetwarzania. Na samym dole znajdują się specyficzne postaci zdolności poznawczych. Na przykład pamięć krótkotrwała jest podzielona na zakres pamięci oraz pojemność pamięci roboczej. Ponadto pojęcie inteligencji może różnić się znaczeniem i wartością między różnymi kulturami. Na małej wyspie, gdzie prawie wszyscy żywią się tym, co złowią, liczy się wiedza o łowieniu ryb i naprawie łodzi. Sprawny wędkarz zostałby zapewne uznany przez innych mieszkańców za inteligentnego. A gdyby do tego potrafił naprawiać łodzie, o jego inteligencji byłoby pewnie głośno na całej wyspie. A jakie wartości mają znaczenie np. dla rodzin włoskich, irlandzkich czy szwedzkich? W Irlandii wyznacznikiem kultury jest m.in. gościnność i opowiadanie zabawnych historii. Ktoś z talentem gawędziarskim będzie prawdopodobnie uchodził w irlandzkiej kulturze za osobę inteligentną. Pomyśl przez chwilę o swojej rodzimej kulturze i ważnych dla niej wartościach. W niektórych kulturach duży nacisk kładzie się na pracę grupową. W takich społecznościach cele grupy są ważniejsze niż osiągnięcia jednostki. Gdy ktoś trafia do takiej kultury, to skuteczność wpisania się w jej wartości, świadczy o jego inteligencji kulturowej (ang. cultural intelligence ), nazywanej również kompetencjami kulturowymi. Twórczość Twórczość (lub kreatywność ) (ang. creativity ) to zdolność generowania, tworzenia lub odkrywania nowych pomysłów, rozwiązań i możliwości. Osoby twórcze często posiadają ogromną wiedzę na dany temat, pracują nad nim latami, szukają nowatorskich rozwiązań, czerpią z porad i pomocy innych specjalistów, a także podejmują ryzyko „płynięcia pod prąd”. Chociaż twórczość zazwyczaj utożsamia się ze sztuką, w rzeczywistości jest ona ważną formą zdolności - a zdaniem niektórych badaczy, wręcz inteligencji - wspierającą ludzi z różnych dyscyplin w odkrywaniu nowych rzeczy. Twórczość można odnaleźć w każdej dziedzinie życia, od sposobu dekoracji domu po nowy sposób zrozumienia, jak działa komórka. Twórczość często ocenia się, mierząc zdolności człowieka w zakresie myślenia dywergencyjnego (in. myślenia rozbieżnego ) (ang. divergent thinking ). Ten tryb myślenia polega na poszukiwaniu wielu rozwiązań problemu, a więc myśleniu w wielu kierunkach jednocześnie. Takie otwarte podejście do zadania prowadzi nierzadko do znalezienia unikatowych, różnorodnych rozwiązań danego problemu. Dla odmiany myślenie konwergencyjne (in. myślenie zbieżne ) (ang. convergent thinking ) polega na podążaniu w kierunku tylko jednej opcji czy rozwiązania, co zwykle prowadzi do udzielenia „właściwej”, lecz typowej odpowiedzi. Podobnie działa rozwiązanie problemu w oparciu o algorytm (Cropley, 2006; Gilford, 1967). Twórczość Dr Tom Steitz (1940-2018), profesor biochemii i biofizyki na Uniwersytecie Yale, poświęcił swoją karierę na analizę struktury i określonych aspektów cząsteczek RNA oraz tego, w jaki sposób ich interakcje mogą pomóc w produkcji antybiotyków oraz ochronie przed chorobami. W 2009 roku za całokształt swojej pracy został uhonorowany Nagrodą Nobla w dziedzinie chemii. Napisał tak: „Gdy patrzę wstecz na rozwój i postęp mojej kariery na polu naukowym, przypomina mi się, jak istotne jest wsparcie mentorskie na wczesnym etapie czyjejś kariery i nieustanne bezpośrednie rozmowy, debaty i dyskusje z kolegami we wszystkich fazach prowadzonych badań. Wyjątkowe odkrycia, spostrzeżenia i pomysły nie powstają w próżni” (Steitz, 2010, par. 39). Jak pokazuje komentarz Steitza, oczywiste wydaje się, że twórczość, będąca cechą indywidualną, czerpie z interakcji z innymi. Zastanów się, czy twoja twórczość została kiedyś pobudzona rozmową ze znajomym lub kolegą z klasy. Na czym polegał wpływ tej osoby na ciebie, jaki problem udało ci się dzięki temu rozwiązać? Summary Inteligencja to złożona cecha psychiczna. Powstało wiele teorii wyjaśniających, czym jest i jak działa. Sternberg stworzył triarchiczną teorię inteligencji, natomiast Gardner założył, że inteligencja przyjmuje wiele różnych form. Jeszcze inni psychologowie koncentrują się na znaczeniu inteligencji emocjonalnej. Ponadto wydaje się, że pewnym aspektem inteligencji jest również twórczość, jednak niezmiernie trudno obiektywnie ją mierzyć. Review Questions Inteligencja płynna cechuje się________. umiejętnością przywoływania informacji umiejętnością tworzenia nowych rzeczy umiejętnością zrozumienia różnych kultur i komunikowania się z nimi umiejętnością dostrzegania złożonych zależności i rozwiązywania problemów D Który z poniższych rodzajów inteligencji nie zalicza się do inteligencji wielorakich Gardnera? twórcza wizualno-przestrzenna językowa muzyczna A Który teoretyk zaproponował triarchiczną teorię inteligencji? Goleman Gardner Sternberg Steitz C Który rodzaj inteligencji w największym stopniu wykorzystujesz podczas analizy danych w poszukiwaniu tendencji statystycznej? praktyczną analityczną emocjonalną twórczą B Critical Thinking Questions Opisz sytuację, w której potrzebne byłoby ci wykorzystanie inteligencji praktycznej. Jestem z przyjaciółmi na mieście i robi się późno. Muszę wrócić do domu o ustalonej godzinie, ale nie mam czym. Chcę skontaktować się z rodzicami, ale mój telefon się rozładował. Wchodzę więc do pobliskiego sklepu spożywczego i wyjaśniam sytuację sprzedawcy. Pozwala mi skorzystać ze sklepowego telefonu, żeby zadzwonić do rodziców i poprosić ich, by przyjechali po mnie i znajomych i porozwozili ich do domów. Opisz sytuację, w której inteligencja kulturowa mogłaby ci pomóc w lepszej komunikacji. Będąc na kursie językowym w Hiszpanii, zwiedzam Madryt. Mój hiszpański jest dobry, ale nie mam pewności co do niektórych aspektów mimiki i mowy ciała rodowitych użytkowników tego języka. Znajdując się w niezręcznej sytuacji społecznej, nie angażuję się w nią od razu. Zamiast tego trzymam się na uboczu i obserwuję, co robią inni, a dopiero później reaguję. Personal Application Question Jaką rolę w życiu osobistym odgrywa, twoim zdaniem, inteligencja emocjonalna? inteligencja analityczna (ang. analytical intelligence ) inteligencja utożsamiana z rozwiązywaniem problemów teoretycznych oraz obliczeniowych myślenie konwergencyjne ( myślenie zbieżne ) (ang. convergent thinking ) myślenie zmierzające do odkrycia jednego poprawnego rozwiązania problemu inteligencja twórcza (ang. creative intelligence ) rodzaj inteligencji, której istotą jest umiejętność generowania nowych produktów (wytworów), idei lub wymyślania nowych, odkrywczych rozwiązań problemów twórczość, kreatywność (ang. creativity ) zdolność do tworzenia czy odkrywania nowych i wartościowych idei, rozwiązań i możliwości inteligencja skrystalizowana (ang. crystallized intelligence ) rodzaj inteligencji obejmujący wiedzę nabytą i umiejętność korzystania z niej inteligencja kulturowa (ang. cultural intelligence ) zdolność, dzięki której przedstawiciele jednej kultury mogą zrozumieć przedstawicieli innej kultury i nawiązywać z nimi kontakt myślenie dywergencyjne ( myślenie rozbieżne ) (ang. divergent thinking ) myślenie w wielu kierunkach jednocześnie dawniej utożsamiane z twórczością, obecnie uznawane za jeden z jej aspektów, ponieważ często prowadzi do niestandardowego rozwiązania problemu inteligencja emocjonalna (ang. emotional intelligence ) umiejętność rozumienia emocji i motywacji u siebie i u innych inteligencja płynna (ang. fluid intelligence ) rodzaj inteligencji polegający na zdolności dostrzegania złożonych powiązań i rozwiązywania problemów teoria inteligencji wielorakich (ang. Multiple Intelligences Theory ) teoria Gardnera zakładająca, że każdy człowiek jest wyposażony w co najmniej osiem rodzajów inteligencji inteligencja praktyczna (ang. practical intelligence ) mądrość życiowa i zdrowy rozsądek, znana też jako umiejętność przetrwania triarchiczna teoria inteligencji (ang. triarchic theory of intelligence ) teoria inteligencji Sternberga wyróżniająca trzy aspekty inteligencji: praktyczny, twórczy i analityczny", "section": "Czym jest inteligencja i twórczość?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Pomiar inteligencji Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, w jaki sposób opracowywane są testy inteligencji Opisać historię stosowania testów IQ Opisać cele i zalety testów inteligencji Prawdopodobnie znasz termin „IQ” i utożsamiasz go z zagadnieniem inteligencji, ale co tak naprawdę ten skrót oznacza? IQ to iloraz inteligencji (ang. intelligence quotient ), który opisuje wynik zdobyty w teście mierzącym inteligencję. Jak podawaliśmy wcześniej, psychologowie opisują inteligencję (a ściślej mówiąc: inteligencje) na różne sposoby. Podobnie testy IQ – narzędzia mające ją mierzyć – stanowiły i nadal stanowią przedmiot licznych dyskusji dotyczących ich konstrukcji i wykorzystywania. Kiedy można stosować testy IQ? Czego możemy dowiedzieć się z ich wyników i jak można wykorzystywać te informacje? Chociaż bez wątpienia testowanie inteligencji dostarcza wielu korzyści, trzeba także zauważyć ich ograniczenia oraz kontrowersje, które wzbudzają. Na przykład, testy IQ były czasami używane jako argumenty na rzecz niegodnych celów, jak ruch eugeniczny (Severson, 2011). Niesławny wyrok Sądu Najwyższego Stanów Zjednoczonych w sprawie Buch przeciw Bell zalegalizował przymusową sterylizację niektórych osób określanych jako „słabych umysłowo” na podstawie tego rodzaju testów, czego wynikiem było około 65 000 przypadków sterylizacji (Buck v. Bell, 274 U.S. 200; Ko, 2016). Aktualnie tylko psychologowie mogą przeprowadzać testy IQ, a zakup testu wymaga potwierdzenia przez nich posiadania formalnych kwalifikacji psychologicznych. Inne osoby pracujące w tym obszarze, jak pracownicy socjalni czy psychiatrzy nie mają prawa do przeprowadzania testów IQ. Analogiczne regulacje obowiązują w Polsce. W niniejszym podrozdziale zajmiemy się tym, co mierzą testy na inteligencję, jak są punktowane i jak powstają. Mierzenie inteligencji Wygląda na to, że – gdy koncentrujemy się na tradycyjnej, akademickiej definicji – rozumienie pojęcia inteligencji jest w pewien sposób ograniczone. Jak w takim razie można ją zmierzyć? I w jaki sposób podczas pomiaru inteligencji dbamy o to, by uchwycić to, co faktycznie chcemy zmierzyć? Innymi słowy, skąd wiemy, że testy IQ stanowią trafny pomiar inteligencji? W kolejnych akapitach przeanalizujemy, jak powstawały testy psychologiczne i prześledzimy historię ich stosowania. Test IQ od ponad stu lat był utożsamiany z pomiarem inteligencji. Pod koniec XIX wieku sir Francis Galton (1822-1911) opracował pierwszy ogólny test na inteligencję (Flanagan i Kaufman, 2004). Mimo że nie był psychologiem, jego wkład w ideę testowania inteligencji jest nadal doceniany (Gordon, 1995). Rzetelne testowanie inteligencji (może pamiętasz z poprzednich rozdziałów, że o rzetelności badania mówimy, gdy daje spójne wyniki) rozpoczęło się na poważnie na początku XX wieku dzięki badaczowi o nazwisku Alfred Binet (1857-1911) ( ). Został on poproszony przez francuski rząd o opracowanie testu na inteligencję dla dzieci w celu określenia, którym z nich mogą grozić trudności w szkole. Składało się na niego wiele zadań ustnych. Niedługo później amerykańscy badacze zdali sobie sprawę z wartości tego typu testów. Lewis Terman (1877-1956), profesor z Uniwersytetu Stanforda, zmodyfikował pracę Bineta, ujednolicając sposób przeprowadzania testu, i przebadał tysiące dzieci w różnym wieku, aby ustalić średni wynik dla każdego przedziału wiekowego. W rezultacie test został znormalizowany i wystandaryzowany, co oznacza, że był przeprowadzany konsekwentnie na odpowiednio dużej, reprezentatywnej próbie populacji (która zostanie omówiona w dalszej części rozdziału). Standaryzacja (ang. standardization ) oznacza, że sposób przeprowadzania, wyniki i ich interpretacja są spójne. Normalizacja (ang. norming ) obejmuje realizację testu na dużej grupie, aby zebrane dane umożliwiały porównanie np. grup wiekowych. Dane uzyskane w ten sposób stanowią normy lub wyniki referencyjne, względem których interpretowane są przyszłe wyniki. Normy nie są oczekiwaniami odnośnie do tego, co dana grupa powinna wiedzieć. Odzwierciedlają natomiast to, co ta grupa naprawdę wie. Normalizacja i standaryzacja testu gwarantują, że kolejne wyniki będą rzetelne. Ta nowa wersja testu została nazwana Skalą Inteligencji Stanford-Binet (Stanfordzka Skala Bineta) (Terman, 1916). Co ciekawe, jego zaktualizowana wersja jest powszechnie stosowana również obecnie. (a) Francuski psycholog Alfred Binet opracował jeden z pierwszych testów na inteligencję. (b) Reprodukcja jednego z zadań ze Skali Inteligencji Bineta-Simona z 1908 roku. Dzieci rozwiązujące test miały wskazać, która twarz z danej pary jest ładniejsza. W 1939 roku David Wechsler (1896-1981) – amerykański psycholog, który poświęcił część swojej kariery na pracę z weteranami I wojny światowej – opracował nowy test IQ. Wechsler połączył kilka elementów z innych testów na inteligencję stosowanych między rokiem 1880 a I wojną światową. Komponenty te zestawił w szereg zadań sprawdzających umiejętności werbalne i niewerbalne, gdyż uważał, że inteligencja to „ogólna zdolność człowieka do świadomego działania, racjonalnego myślenia i skutecznego radzenia sobie z otoczeniem” (Wechsler, 1958, s. 7). Swój test nazwał Skalą Inteligencji Wechslera-Bellevue (Wechsler, 1981). To połączenie elementów różnych testów stało się jedną z najchętniej używanych metod pomiaru inteligencji w historii psychologii. Mimo że w późniejszych latach nazwę zmieniono na Skalę Inteligencji Wechslera dla dorosłych (WAIS) , a sam test wielokrotnie aktualizowano, jego założenia pozostają praktycznie niezmienione od momentu jego powstania (Boake, 2002). Obecnie stosowane są trzy testy na inteligencję, które zawdzięczamy Wechslerowi: Skala Inteligencji Wechslera dla dorosłych – wydanie czwarte (WAIS-IV) , Skala Inteligencji Wechslera dla dzieci (WISC-V) oraz Skala Inteligencji Wechslera dla dzieci w wieku przedszkolnym i szkolnym – wydanie czwarte (WPPSI-IV) . Testy te są powszechnie stosowane w szkołach i różnych społecznościach na całym świecie, w tym także oczywiście w Polsce. Podlegają okresowej normalizacji i standaryzacji w ramach rekalibracji ( ). Test WISC-V składa się z 14 podtestów obejmujących pięć wskaźników przekładających się na wynik IQ. Należą do nich: rozumienie werbalne, przetwarzanie wzrokowo-przestrzenne, rozumowanie, pamięć robocza i szybkość przetwarzania. Po ukończeniu testu badani otrzymują ocenę każdego z tych wskaźników oraz wynik IQ w pełnej skali. Taka metoda oceny odzwierciedla koncepcję, zgodnie z którą na inteligencję składa się wiele umiejętności z różnych dziedzin poznawczych, i koncentruje się na procesach myślowych wykorzystywanych przez dziecko do znalezienia odpowiedzi na każde z pytań testu. Okresowe rekalibracje pozwoliły dostrzec ciekawe zjawisko o nazwie efekt Flynna (ang. Flynn effect ). Efekt ten, nazwany tak od nazwiska Jamesa Flynna (ur. 1934), który jako jeden z pierwszych go opisał, polega na tym, że każde następne pokolenie ma znacznie wyższy iloraz inteligencji niż poprzednie. Sam Flynn twierdzi jednak, że wyższe wyniki IQ niekoniecznie oznaczają, że młodsze generacje są bardziej inteligentne (Flynn et al., 2012). Warto też dodać, że pojawiły się doniesienia badawcze wskazujące na odwracanie się omawianego trendu i spadek IQ w kolejnych pokoleniach mieszkańców Norwegii i Wielkiej Brytanii. W ramach procesu rekalibracji test WISC-V przeprowadzono na tysiącu dzieci w Stanach Zjednoczonych, a wyniki uzyskiwane obecnie przez dzieci są porównywane z wynikami ich rówieśników. Niemniej otwarte pozostaje pytanie, na ile trafne są testy inteligencji. Z pewnością da się zauważyć, że większość współczesnych wersji takich testów obejmuje kompetencje werbalne i niewerbalne. Nadal jednak dyskusji podlegają konkretne umiejętności, które powinny być oceniane przy pomiarze IQ, stopień, w jakim każdy test faktycznie mierzy inteligencję danej osoby, oraz sposób wykorzystywania wyników tych testów (Gresham i Witt, 1997; Flynn et al., 2012; Richardson, 2002; Schlinger, 2003). Przestępcy niepełnosprawni intelektualnie a kara śmierci Atkins przeciw Wirginii to przełomowa sprawa w Sądzie Najwyższym Stanów Zjednoczonych. 16 sierpnia 1996 roku dwaj mężczyźni, Daryl Atkins i William Jones, obrabowali, porwali, a następnie zabili Erika Nesbitta, pilota Sił Powietrznych Stanów Zjednoczonych. Psycholog kliniczny zbadał Atkinsa i zeznał podczas rozprawy, że jego IQ wynosiło 59. Średni wynik to 100. Psycholog stwierdził u Atkinsa lekkie upośledzenie umysłowe. Ława przysięgłych uznała Atkinsa za winnego i skazała go na śmierć. Atkins i jego prawnicy wnieśli jednak apelację do Sądu Najwyższego. W czerwcu 2002 roku Sąd Najwyższy uchylił poprzedni wyrok i orzekł, że egzekucje przestępców upośledzonych umysłowo to „okrutne i nadzwyczajne kary”, sprzeczne z 8. poprawką do Konstytucji. W uzasadnieniu Sąd napisał: Kliniczne określenie opóźnienia umysłowego wymaga nie tylko funkcji intelektualnych poniżej przeciętnej, ale również sporych ograniczeń w zakresie zdolności adaptacyjnych. Osoby opóźnione umysłowo często wiedzą, jaka jest różnica między dobrem a złem, i są zdolne stanąć przed sądem. Jednak ze względu na swoje upośledzenie z definicji mają ograniczone zdolności rozumienia i przetwarzania informacji, porozumiewania się, wyciągania wniosków z błędów i doświadczeń, logicznego myślenia, kontrolowania impulsów, a także rozumienia reakcji innych osób. Ich braki nie uzasadniają zwolnienia z sankcji karnych, ale ograniczają ich odpowiedzialno ść (Atkins przeciw Wirginii, 2002, par. 5) . Sąd wskazał również, że uzyskano konsensus organów ustawodawczych przeciwko egzekucjom osób opóźnionych umysłowo, który powinien obowiązywać we wszystkich stanach. Wyrok Sądu Najwyższego pozostawił stanom możliwość ustalenia własnych definicji opóźnienia umysłowego i niepełnosprawności intelektualnej. W związku z tym w poszczególnych stanach obowiązują różne przepisy dotyczące tego, kto może być stracony. W sprawie Atkinsa ława przysięgłych uznała, że dzięki częstym kontaktom z prawnikami otrzymał on stymulację intelektualną, jego IQ rzekomo wzrosło i był teraz wystarczająco mądry, by można było wykonać na nim wyrok kary śmierci. Wyznaczono mu datę egzekucji, a następnie ją wstrzymano, gdyż odkryto, że prawnicy współwinnego, Williama Jonesa, przygotowali Jonesa do „złożenia pasujących do dowodów zeznań przeciwko Atkinsowi” (Liptak, 2008). Po ujawnieniu tego wykroczenia Atkins został skazany na dożywocie. Sprawa Atkins przeciw Wirginii (2002) zwraca uwagę na kilka kwestii dotyczących społecznych przekonań na temat inteligencji. Sąd Najwyższy uznał w tym przypadku, że niepełnosprawność intelektualna ma wpływ na podejmowanie decyzji i tym samym powinna determinować rodzaj kary wymierzanej dotkniętej nią przestępcom. Jednak gdzie należy wyznaczyć granicę niepełnosprawności intelektualnej? W maju 2014 roku Sąd Najwyższy orzekł w podobnej sprawie ( Hall przeciw Florydzie ), że wynik IQ nie może być wykorzystany do ostatecznego ustalenia tego, czy więzień kwalifikuje się do kary śmierci (Roberts, 2014). Ponieważ w Polsce nie jest stosowana kara śmierci, opisany powyżej problem, specyficzny dla Stanów Zjednoczonych, nie występuje. Polskie prawo karne stanowi, że upośledzenie umysłowe może być przesłanką orzeczenia niepoczytalności lub poczytalności ograniczonej. Krzywa dzwonowa Wyniki testów inteligencji rozkładają się zgodnie z krzywą dzwonową (czyli wykresem w kształcie dzwonu), zwanej też rozkładem Gaussa. Taki wykres przedstawia normalny rozkład cechy, w tym przypadku inteligencji, w populacji ogólnej. Wiele cech ludzkich wykazuje taki rozkład. Gdyby na przykład ustawić twoje koleżanki, studentki, według wzrostu, prawdopodobnie dużą grupę stanowiłyby dziewczyny średniego wzrostu. W przypadku Amerykanek byłoby to 162–167 cm. Grupa ta przypadłaby na środek krzywej dzwonowej, reprezentując przeciętny wzrost mieszkanki Stanów Zjednoczonych ( ). Mniej kobiet plasowałoby się bliżej wzrostu 150 cm. Podobnie sprawa wyglądałaby w przypadku kobiet o wzroście powyżej przeciętnej, czyli około 180 cm. Krzywą dzwonową wyznacza się na podstawie dużej próby. Gdy próba jest mała, maleją szanse na to, że krzywa dzwonowa będzie reprezentatywna dla populacji. Próba reprezentatywna (ang. representative sample ) to podzbiór populacji, który dokładnie reprezentuje ogół społeczeństwa. Jeśli zmierzysz wzrost dziewczyn tylko w swojej grupie, nie będzie to próba reprezentatywna. Mogłoby się zdarzyć, że twoja grupa składa się z koszykarek, które postanowiły zapisać się razem na dany kurs. Ponieważ koszykarki są zazwyczaj wyższe niż przeciętne kobiety, dziewczyny w twojej grupie nie byłyby odpowiednią próbą reprezentatywną dla populacji kobiet. Jednak, gdyby próba obejmowała wszystkie kobiety z twojej uczelni, prawdopodobnie ich wzrost ułożyłby się w naturalną krzywą dzwonową. Bardzo podobne wartości dotyczą Polek, których średni wzrost wynosi około 165 cm. W którym przedziale wzrostu się mieścisz: poniżej średniego, średnim czy powyżej średniego? Te same zasady mają zastosowanie do wyników testów na inteligencję. Osoby poddawane takim testom zdobywają wynik nazywany ilorazem inteligencji (IQ). W ciągu wielu lat powstały różne rodzaje tych testów, ale sposób interpretacji wyników pozostaje taki sam. Średni wynik IQ w teście na inteligencję wynosi 100. Odchylenie standardowe (ang. standard deviation ) przedstawia, jak dane rozkładają się w badanej populacji, i pokazuje kontekst dla dużych zestawów danych. Odchylenie standardowe wskazuje, na ile wynik umieszczony na krzywej dzwonowej odbiega od średniej ( ). Przy współczesnych testach IQ jedno odchylenie standardowe wynosi 15 punktów. Zatem wynik 85 zostałby opisany jako „jedno odchylenie standardowe poniżej średniej”. Każdy wynik IQ w zakresie jednego odchylenia standardowego powyżej i poniżej średniej (między 85 a 115) uznaje się za przeciętny. Takie wyniki IQ ma 68% populacji. Większość ludzi ma IQ wynoszące od 85 do 115. Tylko 2,2% populacji ma IQ poniżej 70 (American Psychological Association [APA], 2013). Analogiczne statystyki dotyczą właściwie całego świata. Wynik 70 lub niższy wskazuje na istotne opóźnienie funkcji poznawczych. W połączeniu z poważnymi zaburzeniami adaptacyjnymi u danej osoby stwierdza się niepełnosprawność intelektualną (American Association on Intellectual and Developmental Disabilities, 2013). Dawniej taki stan nazywano opóźnieniem umysłowym, jednak obecnie stosowanym terminem jest „niepełnosprawność intelektualna”, która może występować w stopniu lekkim, umiarkowanym, znacznym i głębokim ( ). Kryteria dla każdej podgrupy są wymienione w Podręczniku diagnostycznym i statystycznym zaburzeń psychicznych ( DSM ), używanym nie tylko w Stanach Zjednoczonych, ale i na całym świecie (APA, 2013). Charakterystyka zaburzeń poznawczych. Podtyp niepełnosprawności intelektualnej Procent osób z niepełnosprawnością intelektualną danego podtypu w całej grupie osób niepełnosprawnych intelektualnie Opis W stopniu lekkim około 85% umiejętność czytania, pisania i liczenia na poziomie 9-12-latka; osoba może pracować i mieszkać sama W stopniu umiarkowanym około 10% podstawowe umiejętności czytania i pisania; umiejętności samoobsługi; osoba wymaga pewnego nadzoru W stopniu znacznym około 5% umiejętności samoobsługi; osoba wymaga nadzoru w codziennym otoczeniu i funkcjonowaniu W stopniu głębokim poniżej 1% osoba może być zdolna do komunikacji werbalnej lub niewerbalnej; wymaga intensywnego nadzoru Na przeciwnym końcu skali inteligencji mamy osoby, których IQ jest na najwyższym poziomie. Zgodnie z krzywą dzwonową do tej kategorii zalicza się około 2% populacji. Uznaje się, że ludzie są szczególnie utalentowani lub obdarzeni wyjątkową inteligencją w danej dziedzinie, jeśli ich IQ wynosi 130 lub więcej. Wiele lat temu panowało powszechne przekonanie, że ludzie z wysokim ilorazem inteligencji są nieprzystosowani społecznie. Koncepcja ta została obalona przez wyniki przełomowego badania na utalentowanych dzieciach. W 1921 roku Lewis Terman (1877-1956) rozpoczął badanie obserwacyjne ponad 1500 dzieci z IQ przekraczającym 135 (Terman, 1925). Wyniki tej analizy pokazały, że dzieci te zdobyły dobre wykształcenie, osiągnęły sukces w dorosłym życiu i były w rzeczywistości dobrze przystosowane do funkcjonowania w społeczeństwie (Terman i Oden, 1947). Ponadto badanie Termana potwierdziło, że jego uczestnicy plasowali się ponad przeciętną również pod względem budowy fizycznej i atrakcyjności, wbrew wcześniejszemu powszechnemu przekonaniu, że bardzo inteligentni ludzie to „słabeusze”. Część osób z bardzo wysokim IQ decyduje się przystąpić do Mensy – organizacji zajmującej się identyfikowaniem, badaniem i wspieraniem inteligencji. Jej członkowie muszą mieć iloraz inteligencji zaliczający ich do górnych 2% populacji. Przy ubieganiu się o przyjęcie do tego zacnego grona mogą też zostać poproszeni o zdanie dodatkowych egzaminów. Język, który nie wyklucza Dawniej osoby z ilorazem inteligencji poniżej 70 oraz ze znacznymi trudnościami adaptacyjnymi i społecznymi uznawano za opóźnione umysłowo. Gdy po raz pierwszy zastosowano to określenie, nie nosiło ono znamion społecznego piętna. Jednak z czasem poniżające słowo „opóźniony” wypłynęło poza zakres terminu diagnostycznego. Określenie to było często stosowane jako drwina, zwłaszcza wśród młodych ludzi, aż w końcu „opóźniony umysłowo” i „opóźniony” stały się obelgami. W związku z powyższym klasyfikacja zaburzeń psychicznych Amerykańskiego Towarzystwa Psychiatrycznego, stosowana także w Polsce, określa obecnie to rozpoznanie nazwą „niepełnosprawność intelektualna”. W wielu stanach w USA istniały niegdyś Wydziały ds. Opóźnienia Umysłowego obsługujące osoby ze zdiagnozowanym tego typu zaburzeniem poznawczym, jednak większość z nich zmieniła nazwę na Wydział ds. Niepełnosprawności Rozwojowych lub inną o podobnym wydźwięku. Amerykańska Administracja Zabezpieczenia Społecznego nadal stosuje określenie „opóźnienie umysłowe”, jednak rozważa wyeliminowanie go ze swojego programu (Goad, 2013). W Polsce stosowane jest powszechnie określenie „niepełnosprawność intelektualna”. Wcześniej w niniejszym rozdziale omówiliśmy kwestię oddziaływania języka na nasz sposób myślenia. Czy sądzisz, że zmiana nazwy wydziału ma jakikolwiek wpływ na to, jak ludzie postrzegają osoby z niepełnosprawnościami rozwojowymi? Czy inna nazwa dodaje ludziom godności, a jeśli tak, to w jaki sposób? Czy wpływa to na zmianę oczekiwań względem osób z niepełnosprawnościami rozwojowymi lub poznawczymi? Jeśli tak, to dlaczego? Po co mierzyć inteligencję? Testowanie IQ jest jak najbardziej uzasadnione w środowisku edukacyjnym czy klinicznym. Dzieci, u których obserwuje się trudności w nauce lub poważne problemy z zachowaniem, mogą być poddawane takim testom w celu sprawdzenia, czy trudności te wynikają po części z ilorazu inteligencji, który odbiega od średniej dla grupy wiekowej dziecka. Bez testów IQ – lub innych narzędzi do pomiaru inteligencji – dzieci i dorośli wymagający dodatkowego wsparcia mogą nie zostać skutecznie zdiagnozowani. Co więcej, testy IQ są wykorzystywane w sądach do określenia, czy istnieją okoliczności wyjątkowe lub łagodzące, które w jakiś sposób uniemożliwiają oskarżonemu udział w postępowaniu sądowym. Ludzie stosują również wyniki testów na inteligencję do uzyskania świadczeń z tytułu niepełnosprawności. Poniższy przykład pokazuje przydatność i korzyści wynikające z testowania inteligencji. Candace, 14-letnia uczennica mająca problemy w szkole, została skierowana przez sąd na badania psychologiczne. Uczyła się w dziewiątej klasie ze standardowym programem nauczania i oblewała każdy przedmiot. Wcześniej nie była wybitną uczennicą, ale zawsze zdawała do następnej klasy. Często zdarzało jej się wyzywać nauczycieli, którzy odpytywali ją na lekcjach. Wdawała się również w bójki z kolegami i miała na koncie kilka kradzieży w sklepach. Gdy Candace przyjechała na badania, od razu przyznała, że nienawidzi wszystkiego, co ma związek ze szkołą, łącznie z nauczycielami i innymi pracownikami, budynkiem i pracami domowymi. Jej rodzice powiedzieli, że – ich zdaniem – wszyscy dokuczają córce, bo jest innej rasy niż nauczyciele i większość uczniów. Gdy zapytano ją, dlaczego wyzywa nauczycieli, Candace powiedziała: „Pytają mnie tylko wtedy, gdy nie znam odpowiedzi. Nie chcę za każdym razem mówić, że nie wiem, i robić z siebie idiotki przed kolegami i koleżankami z klasy. Nauczyciele mnie poniżają”. Candace dostała zestaw testów do rozwiązania, w tym test IQ, w którym uzyskała 68 punktów. Co iloraz inteligencji Candace mówi o jej zdolnościach do osiągania dobrych wyników i sukcesów w ramach normalnego programu nauczania bez dodatkowego wspomagania? Summary W tym podrozdziale przedstawiono historię testów na inteligencję i niektóre wyzwania związane z jej testowaniem. Testy na inteligencję zaczęły być stosowane dzięki Alfredowi Binetowi. Następnie David Wechsler opracował testy przeprowadzane do dziś: WAIS-IV i WISC-V. Krzywa dzwonowa pokazuje zakres wyników obejmujących średnią inteligencję, jak również odchylenia standardowe. Review Questions Aby dany test został uznany za znormalizowany i wystandaryzowany, należy przeprowadzić go na________. grupie rówieśników próbie reprezentatywnej dzieciach z niepełnosprawnością umysłową dzieciach o przeciętnej inteligencji B Przeciętny wynik osoby o średnim IQ wynosi ________. 70 130 85 100 D Kto opracował najczęściej obecnie stosowany test IQ? sir Francis Galton Alfred Binet Lewis Terman David Wechsler D Klasyfikacja zaburzeń psychicznych Amerykańskiego Towarzystwa Psychiatrycznego używa obecnie określenia ________ jako rozpoznanie stanu wcześniej nazywanego opóźnieniem umysłowym. autyzm i niepełnosprawności rozwojowe obniżona inteligencja niepełnosprawność intelektualna zakłócenie poznawcze C Critical Thinking Questions Dlaczego, twoim zdaniem, różni teoretycy w odmienny sposób definiowali inteligencję? Z uwagi na złożoność procesów poznawczych ich pomiar stanowi spore wyzwanie. Badacze przyjmują różne podejścia do definiowania inteligencji, próbując w ten sposób kompleksowo ją opisać i zmierzyć. Porównaj korzyści testu na inteligencję Stanford-Binet i testów Wechslera. Test IQ Wechslera-Bellevue połączył w sobie szereg podtestów badających zdolności werbalne i niewerbalne, aby w ten sposób dać rzetelny, opisowy wynik pomiaru ilorazu inteligencji. Mimo że test Stanford-Binet był znormalizowany i wystandaryzowany, koncentrował się bardziej na umiejętnościach werbalnych niż innych procesach poznawczych. Personal Application Question Wróćmy do opisanego powyżej przypadku Candace. Czy – twoim zdaniem – Candace skorzystała, czy ucierpiała na tym, że ciągle „przepychano” ją do następnej klasy? efekt Flynna (ang. Flynn effect ) zjawisko polegające na tym, że każde następne pokolenie ma znacznie wyższe IQ niż pokolenie poprzednie iloraz inteligencji (IQ) (ang. intelligence quotient ) wynik testu mierzącego wybrane typy inteligencji normalizacja (ang. norming ) zabieg statystyczny pozwalający na wskazanie relacji wyników surowych uzyskanych za pomocą danego narzędzia do średniego wyniku w danej populacji w celu ustalenia norm populacyjnych; normalizacja wymaga przeprowadzenia badania normalizacyjnego, obejmującego zebranie danych w dużej populacji próba reprezentatywna (ang. representative sample ) podzbiór ludności, który w sposób trafny opisuje (reprezentuje) populację ogólną odchylenie standardowe (ang. standard deviation ) miara zmienności opisująca różnicę między zbiorem wyników a ich średnią standaryzacja (ang. standardization ) określenie dla danego testu sposobu przeprowadzenia badania, techniki obliczania wyników, ich oceny i interpretacji", "section": "Pomiar inteligencji", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Źródła inteligencji Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać wpływ genetyki i środowiska na inteligencję Wyjaśnić związek między wynikami IQ a statusem społeczno-ekonomicznym Opisać różnicę pomiędzy trudnościami w uczeniu się a zaburzeniami rozwojowymi Mała dziewczynka, córka pary nastolatków, mieszka z babcią na wsi w stanie Missisipi. Żyją w skrajnym ubóstwie, ale za wszelką cenę starają się wiązać koniec z końcem. Dziewczynka uczy się czytać, mając zaledwie 3 lata. Gdy jest trochę starsza, chce zamieszkać z matką, więc jako 6-latka przeprowadza się do Wisconsin. W wieku 9 lat zostaje zgwałcona. Przez kilka kolejnych lat jest ofiarą regularnego molestowania przez krewnych płci męskiej. Jej życie się rozsypuje. Wewnętrzną pustkę i poczucie osamotnienia wypełniają narkotyki i seks. Matka wysyła ją wtedy do Nashville, żeby zamieszkała z ojcem, który stosuje wobec niej surowe zasady wychowawcze. Z czasem dziewczyna wychodzi na prostą. Zaczyna odnosić sukcesy w szkole, a w wieku 19 lat staje się najmłodszą i pierwszą afroamerykańską prezenterką wiadomości („Dates and Events”, b.d.). Już jako dorosła kobieta – Oprah Winfrey – zostaje ikoną mediów znaną zarówno ze swej inteligencji, jak i empatii. Wysoka inteligencja: natura czy wychowanie? Skąd się bierze wysoki poziom inteligencji? Niektórzy badacze twierdzą, że dziedziczymy ją po rodzicach. Do określenia odziedziczalności (ang. heritability ) inteligencji naukowcy zajmujący się tym tematem wykorzystują zazwyczaj badania na bliźniętach. Jednym z najbardziej znanych tego typu badań jest studium rozdzielonych bliźniąt z Minnesoty. W toku prowadzonej analizy badacze odkryli, że korelacja między wynikami w testach inteligencji uzyskiwanymi przez bliźnięta jednojajowe – zarówno te wychowywane razem, jak i osobno – jest wyższa niż w przypadku wychowującego się razem rodzeństwa lub bliźniąt dwujajowych (Bouchard et al., 1990). Badanie to sugeruje, że inteligencja ma podłoże genetyczne ( ). Jednocześnie inni psychologowie uważają, że inteligencję kształtuje środowisko, w którym dziecko się rozwija. Gdyby rodzice dostarczali dzieciom bodźców intelektualnych, zanim przyjdą one na świat, prawdopodobnie czerpałyby one korzyści z tej stymulacji, co z pewnością miałoby odzwierciedlenie w poziomie inteligencji. Zależności między wynikami IQ osób a pokrewieństwem i dorastaniem osobno lub razem sugerują genetyczne podłoże inteligencji. W rzeczywistości słuszne są niektóre aspekty obu tych teorii. Jak sugerują wyniki jednego z badań, chociaż genetyka wydaje się kontrolować poziom inteligencji, wpływ otoczenia stabilizuje lub zmienia przejawy zdolności poznawczych (Bartels et al., 2002). Istnieją z pewnością uwarunkowania, które sprzyjają rozwojowi inteligencji, ale nie należy ignorować genetycznego podłoża wysokiego IQ. Jednak, podobnie jak w przypadku wszystkich cech dziedzicznych, nie zawsze można wyodrębnić, jak i kiedy wysoki poziom inteligencji jest przekazywany następnym pokoleniom. Zakres reakcji (ang. range of reaction ) to teoria, zgodnie z którą każdy reaguje na otoczenie w unikatowy sposób, warunkowany przez jego kod genetyczny. Oznacza to, że twój potencjał genetyczny jest cechą stałą, ale to, czy zrealizujesz go w pełni, zależy od doświadczanej stymulacji, szczególnie w dzieciństwie. Przeanalizuj następujący scenariusz: para adoptuje dziewczynkę o przeciętnym genetycznym potencjale intelektualnym. Wychowuje ją w mocno stymulującym środowisku. Co się stanie z córką tej pary? Prawdopodobnie długotrwałe pobudzanie przez otoczenie pozytywnie wpłynie na jej osiągnięcia intelektualne w przyszłości. A co by było w odwrotnym przypadku? Co się wydarzy, gdy dziecko o bardzo silnym podłożu genetycznym inteligencji zostanie umieszczone w środowisku, które go nie stymuluje? Co ciekawe, jak wynika z długookresowych badań osób szczególnie uzdolnionych, „skrajnie optymalne i skrajnie patologiczne środowiska są reprezentowane nieproporcjonalnie często w doświadczeniach osób kreatywnych”. Jednak osoby pochodzące z rodzin okazujących im wsparcie częściej deklarowały, że są szczęśliwe (Csikszentmihalyi i Csikszentmihalyi, 1993, s. 187). Kolejnym wyzwaniem związanym z ustaleniem źródła wysokiej inteligencji jest niejasna natura struktur społecznych. Problematyczne jest stwierdzenie, że pewne grupy etniczne uzyskują lepsze wyniki w testach IQ niż inne – możliwe, że wyniki te nie mają nic wspólnego z poziomem intelektu poszczególnych grup. Podobnie sytuacja wygląda ze statusem socjoekonomicznym. Dzieci dorastające w biedzie częściej doświadczają codziennego stresu niż dzieci, które mają zaspokojone podstawowe potrzeby, jak poczucie bezpieczeństwa, dach nad głową czy pożywienie. Takie obawy mogą negatywnie wpływać na sposób funkcjonowania i rozwój mózgu, co przekłada się na niższe IQ. Mark Kishiyama i jego współpracownicy stwierdzili, że u dzieci żyjących w biedzie obserwuje się gorsze funkcjonowanie mózgu w części przedczołowej, porównywalne do dzieci z uszkodzoną boczną korą przedczołową (Kishiyama et al., 2009). Dyskusja na temat podstaw inteligencji i czynników na nią wpływających rozgorzała w 1969 roku, gdy psycholog edukacyjny Arthur Jensen (1923-2012) opublikował w magazynie „Harvard Educational Review” artykuł pt. Jak bardzo można wpłynąć na poprawę IQ i osiągnięć . Jensen przeprowadził testy na inteligencję wśród różnych grup studentów, a wyniki doprowadziły go do stwierdzenia, że to genetyka determinuje IQ. Postawił również tezę, że na inteligencję składają się dwa rodzaje umiejętności: na poziomie I i poziomie II. Według jego teorii poziom I odpowiada za uczenie się mechaniczne, natomiast poziom II jest odpowiedzialny za zdolności pojęciowe i analityczne. Jak pokazują wyniki jego badań, poziom I jest taki sam w całym gatunku ludzkim. Jednak poziom II różni się w zależności od grupy etnicznej (Modgil i Routledge, 1987). Najbardziej kontrowersyjny wniosek Jensena to sugestia, że inteligencja na poziomie II jest najwyższa u osób rasy azjatyckiej, następnie u przedstawicieli rasy białej, a na końcu u Afroamerykanów. Robert Williams był jednym z tych, którzy wyniki Jensena określili mianem dyskryminacji rasowej (Williams, 1970). Interpretacja Jensena uzyskanych przez niego danych wywołała oczywiście silną reakcję w Stanach Zjednoczonych, tym bardziej że był to czas znacznych zmian społecznych związanych z rugowaniem dyskryminacji rasowej w USA (Fox, 2012). Jego koncepcja nie była jednak ani odosobniona, ani szczególnie wyjątkowa. Plasowała go raczej w gronie wielu psychologów opowiadających się za różnicami rasowymi w zakresie ilorazu inteligencji i zdolności poznawczych. Rushton i Jensen (2005) przeanalizowali trzy dekady badań nad zależnościami między rasą a zdolnościami poznawczymi. U podstaw wniosków Jensena leży przekonanie o dziedzicznej naturze inteligencji i miarodajności testów IQ. Jeśli jednak uważasz, że inteligencja to coś więcej niż poziom I i II oraz że testy IQ nie uwzględniają różnic socjoekonomicznych i kulturowych między ludźmi, zapewne odrzucisz wnioski Jensena, gdyż stanowią one jedynie wąskie okno, przez które obserwujemy złożony i zróżnicowany obraz ludzkiej inteligencji. A teraz historia powiązana z przedstawioną wyżej teorią. W 1979 roku rodzice afroamerykańskich uczniów wnieśli pozew przeciwko stanowi Kalifornia. Ich zdaniem testy użyte do identyfikacji uczniów z zaburzeniami w uczeniu się były tendencyjne z perspektywy kulturowej, gdyż znormalizowano i standaryzowano je na dzieciach rasy białej (Larry P. v. Riles, 1979). W wyniku metod stosowanych przez ten stan opóźnienie umysłowe u dzieci pochodzenia afroamerykańskiego stwierdzano nieproporcjonalnie często. W rezultacie wielu uczniów było błędnie uznawanych za opóźnionych umysłowo. Jak można przeczytać w streszczeniu sprawy Larry P. przeciw Riles : Naruszając Tytuł VI Ustawy o prawach obywatelskich z 1964 roku, zapisy Ustawy dotyczącej rehabilitacji osób niepełnosprawnych z 1973 roku oraz Ustawy o edukacji dla wszystkich niepełnosprawnych dzieci z 1975 roku, oskarżeni stosowali standardowe testy na inteligencję, nieobiektywne pod względem rasowym i kulturowym, mające dyskryminujący wpływ na dzieci czarne i niemające walidacji do celów służących wyłącznie stałemu umieszczaniu dzieci rasy czarnej w odrębnych, stygmatyzowanych klasach z ograniczonymi perspektywami edukacyjnymi dla tzw. osób opóźnionych umysłowo z problemami w nauce. Ponadto przytoczone prawa federalne zostały naruszone przez powszechne stosowanie przez oskarżonych mechanizmów kwalifikacji, które razem wzięte nie posiadają walidacji i skutkują znaczną nadreprezentacją dzieci czarnych w klasach specjalnych, o których mowa powyżej ( Larry P. przeciw Riles , par. 6). Ponownie pokazuje to ograniczenia testów na inteligencję. Czym są trudności w uczeniu się? Trudności w uczeniu się to zaburzenie poznawcze wpływające na różne obszary poznania, w szczególności na umiejętności językowe i czytanie. Należy podkreślić, że zaburzenia te różnią się od niepełnosprawności intelektualnej. Trudności w uczeniu się to pewien rodzaj upośledzenia neurologicznego, a nie ogólna niepełnosprawność intelektualna czy rozwojowa. Osoba z trudnościami w przyswajaniu języka ma problemy z rozumieniem i używaniem języka mówionego, podczas gdy osoba doświadczająca problemów z czytaniem, mająca np. dysleksję, z trudem przetwarza tekst czytany. Często trudności w uczeniu się rozpoznawane są dopiero w chwili rozpoczęcia nauki szkolnej. Jednym z mylących aspektów tych zaburzeń jest to, że zazwyczaj dotykają one dzieci z przeciętnym lub ponadprzeciętnym ilorazem inteligencji. Jednocześnie trudności w uczeniu się współwystępują z innymi zaburzeniami, np. z zespołem nadpobudliwości psychoruchowej z deficytem uwagi (ang. attention deficit hyperactivity disorder (ADHD) ). Pewnego rodzaju trudności w uczeniu się występują u 30%–70% osób ze zdiagnozowanym ADHD (Riccio et al., 1994). Przyjrzyjmy się trzem przykładom częstych trudności tego typu: dysgrafii, dysleksji i dyskalkulii. Dysgrafia Dzieci z dysgrafią (ang. dysgraphia ) cierpią na zaburzenie uczenia się związane z trudnościami w czytelnym pisaniu. Ogromnym wyzwaniem jest dla nich pisanie ręczne. Dzieci te mają również zazwyczaj duże problemy z przelewaniem myśli na papier (Smits-Engelsman i Van Galen, 1997). Trudności te nie są zbieżne z IQ danej osoby. Oznacza to, że zgodnie z ilorazem inteligencji i/lub zdolnościami w innych dziedzinach dziecko z dysgrafią powinno potrafić pisać, ale nie potrafi. Dzieci z dysgrafią mogą mieć również niższe zdolności przestrzenne. Uczniowie z dysgrafią potrzebują odpowiedniego wsparcia, by mogli radzić sobie w szkole. Może to być np. zapewnienie alternatywnych metod oceny, aby mogli zaprezentować swoją wiedzę (Barton, 2003). Na przykład ucznia z dysgrafią można dopuścić do egzaminu ustnego zamiast do tradycyjnego testu pisemnego. Leczenie odbywa się zazwyczaj we współpracy z terapeutą zajęciowym, mimo że pojawiają się pewne wątpliwości co do skuteczności takiej terapii (Zwicker, 2005). Dysleksja Dysleksja (ang. dyslexia ) to najczęściej spotykane zaburzenie w uczeniu się u dzieci. Dyslektyk nie potrafi poprawnie analizować wyglądu i brzmienia liter. U takich osób neurologiczny mechanizm przetwarzania dźwięków nie funkcjonuje w odpowiedni sposób. W rezultacie dzieci dyslektyczne nie rozumieją analogii między dźwiękiem a literą. Dziecko z dysleksją może mieszać litery w wyrazach i zdaniach. Charakterystyczną cechą tego zaburzenia jest odwracanie liter, jak w przykładzie pokazanym na . Ponadto, podczas czytania zdarza się dzieciom pomijać całe słowa. Dyslektyk może mieć również trudności z ortografią. W związku z zaburzonym sposobem przetwarzania liter i dźwięków przez mózg uczenie się czytania jest dla takiej osoby frustrującym doświadczeniem. Niektóre osoby z dysleksją radzą sobie, zapamiętując kształty większości słów, ale tak naprawdę nigdy nie opanowują umiejętności czytania (Berninger, 2008). Różne warianty słowa „teapot” (czajniczek) napisane przez dyslektyków. Dyskalkulia Dyskalkulia (ang. dyscalculia ) polega na trudnościach w uczeniu się czy rozumieniu materiału arytmetycznego. Często jej pierwsze oznaki zauważane są, gdy dziecko ma kłopoty z określeniem, ile jest przedmiotów w małym zbiorze bez zliczania ich. Inne symptomy obejmują np. trudności z zapamiętywaniem materiału matematycznego, organizowaniem liczby czy różnicowaniem między cyframi, symbolami matematycznymi i zapisanymi liczbami, jak w przypadku „3” i „trzy”. Summary Genetyka i środowisko mają wpływ na inteligencję i wyzwania związane z niektórymi trudnościami w uczeniu się. Na poziom inteligencji człowieka korzystnie oddziałuje bogata stymulacja ze strony otoczenia, dostarczana od najmłodszych lat. Jednak osoby o wysokim ilorazie inteligencji mogą wykazywać wrodzoną odporność na działanie szkodliwych czynników, która pozwala im pokonywać przeszkody ze strony środowiska wychowawczego. Trudności w uczeniu się stanowią spore wyzwanie dla dzieci uczących się czytać i pisać. W przeciwieństwie do niepełnosprawności rozwojowej, trudności w uczeniu się mają ściśle neurologiczny charakter i nie są związane z poziomem inteligencji. Przykładowo, uczniowie dyslektyczni mogą mieć ogromne trudności z nauką czytania, ale ich poziom inteligencji bywa przeciętny lub ponadprzeciętny. Review Questions Skąd się bierze wysoka inteligencja? z uwarunkowań genetycznych z uwarunkowań środowiskowych zarówno A i B ani A, ani B C Arthur Jensen twierdził, że ________. za inteligencję odpowiedzialna jest wyłącznie genetyka za inteligencję odpowiedzialne jest wyłącznie środowisko poziom inteligencji określa rasa testy IQ nie uwzględniają statusu socjoekonomicznego A Czym są trudności w uczeniu się? zaburzeniem rozwojowym zaburzeniem neurologicznym zaburzeniem emocjonalnym zaburzeniem intelektualnym B Które z poniższych twierdzeń jest prawdziwe? Bieda zawsze wpływa na to, czy ludzie są w stanie osiągnąć pełen potencjał intelektualny. Inteligencję jednostki determinuje wyłącznie poziom inteligencji jej rodzeństwa. Środowisko, w którym człowiek dorasta, jest najsilniejszym wyznacznikiem jego późniejszej inteligencji. Na poziom inteligencji danej osoby wpływa łącznie wiele czynników. D Critical Thinking Questions Jakie istnieją dowody na to, że czynnik genetyczny wpływa na iloraz inteligencji? Badania bliźniąt wyraźnie sugerują, że IQ ma podłoże genetyczne. Innymi poszlakami są opisy przypadków, niepotwierdzone badaniami, osób bardzo inteligentnych pochodzących z trudnych środowisk, które mimo to odnoszą sukcesy w dorosłym życiu. Opisz zależność między inteligencją a trudnościami w uczeniu się i niepełnosprawnością intelektualną. Trudności w uczeniu się to konkretne problemy neurologiczne zachodzące w mózgu, niezależne od inteligencji. Niepełnosprawność intelektualna jest zaburzeniem całościowym związanym z inteligencją. Personal Application Question Czy uważasz, że twój poziom inteligencji jest wyższy dzięki bodźcom ze środowiska, w którym przyszło ci dorastać? Dlaczego? dysgrafia (ang. dysgraphia) zaburzenie uczenia się, które powoduje znaczne trudności w czytelnym pisaniu dysleksja (ang. dyslexia) zaburzenie uczenia się, w którym litery nie są poprawnie przetwarzane przez mózg dyskalkulia (ang. dyscalculia) trudności w uczeniu się czy rozumieniu materiału arytmetycznego zakres reakcji (ang. range of reaction) niepowtarzalna reakcja każdej osoby na środowisko, zależna od uwarunkowań genetycznych", "section": "Źródła inteligencji", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Zdjęcia mogą przywołać wspomnienia i sprawić, że ponownie będziemy przeżywać minione chwile. (Źródło: modyfikacja pracy Cory Zanker). Moglibyśmy uczyć się najlepiej na świecie, ale cóż by nam przyszło ze zdobytej wiedzy, gdybyśmy nie zapamiętywali tego, czego się nauczyliśmy? Jak wyglądałby twój dzień, gdyby pamięć odmówiła ci posłuszeństwa? Trzeba by codziennie dochodzić do tego, jak należy się ubierać, codziennie na nowo odkrywać, jak działają guziki i suwaki. Ktoś bliski musiałby ci tłumaczyć, jak szczotkować zęby i jak wiązać sznurowadła. Ale jak tu poprosić o pomoc, skoro nie potrafisz rozpoznawać twarzy swoich bliskich? Chwila... Czy to aby naprawdę twój dom? Oj, burczy ci w brzuchu i czujesz głód. Chcesz coś zjeść, ale nie masz pojęcia, skąd się bierze żywność ani jak ją przyrządzić. To naprawdę zaczyna być stresujące. Może lepiej wrócić do łóżka? Ale moment... Czym jest łóżko? 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{"text": "Jak działa pamięć Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omów trzy podstawowe funkcje pamięci Opisać trzy etapy przechowywania pamięci Opisać i rozróżnić pamięć proceduralną i deklaratywną oraz pamięć semantyczną i epizodyczną Pamięć jest systemem przetwarzania informacji, dlatego często jej działanie porównujemy z działaniem komputera. Pamięć (ang. memory ) to zestaw procesów wykorzystywanych do kodowania, przechowywania i wydobywania informacji ( ). Kodowanie obejmuje wprowadzenie informacji do pamięci. Przechowywanie to zachowywanie zakodowanych informacji. Trzecią funkcją pamięci jest wydobywanie informacji z pamięci i wprowadzanie ich do świadomości. Obejrzyj to wideo , jeśli chcesz poznać więcej niezwykłych faktów na temat pamięci. Kodowanie Nasz mózg otrzymuje informacje w procesie zwanym kodowaniem ( przyswajaniem ) (ang. encoding ), czyli wprowadzaniem informacji do pamięci. Otrzymawszy ze zmysłów informacje z otoczenia, mózg je oznacza, czyli koduje. Taką informację łączymy z innymi elementami i wiążemy nowe pojęcia z już przechowywanymi w umyśle. Kodowanie informacji może być automatyczne lub kontrolowane. Gdyby ktoś cię spytał, co było dziś na śniadanie, prawdopodobnie przypomnisz to sobie bez wysiłku. Ten rodzaj przetwarzania nazywamy automatycznym lub bezwysiłkowym. Tak zapamiętujemy czas, przestrzeń, częstotliwość czy znaczenie słów. Przetwarzanie automatyczne (ang. automatic processing ) odbywa się bez świadomego wysiłku, Innym przykładem może być przypomnienie sobie ostatnich przygotowań do egzaminu. Ale co było wtedy do nauczenia? Zapamiętanie tych informacji zapewne wymagało od ciebie wiele wysiłku i skupienia uwagi. Taki rodzaj przetwarzania nazywamy kontrolowanym (lub wysiłkowym ) (ang. effortful processing ) ( ). Gdy opanowujesz nową umiejętność, np. prowadzenie samochodu, musisz włożyć wiele wysiłku i uwagi, by zapamiętać, jak hamować, jak skręcać, jak obsługiwać skrzynię biegów i tak dalej. Gdy już nauczysz się prowadzić, dodatkowe umiejętności z tego zakresu przyswajasz automatycznie (Źródło: Robert Couse-Baker). Jakie sposoby zapewniają najskuteczniejsze kodowanie ważnych informacji? Nawet najprostsze zdanie łatwiej zapamiętać, jeśli ma ono dla nas sens (Anderson, 1984). Przeczytaj poniższe zdania (Bransford i McCarrell, 1974), odwróć wzrok i policz od 30 do zera trójkami, a potem spróbuj je zapisać (tylko bez podglądania!). Nuty były fałszywe, bo szwy się rozeszły. Podróż nie uległa opóźnieniu z powodu rozbicia butelki. Stóg siana miał znaczenie, gdyż materiał się rozdarł. Jak ci poszło? Każde z tych zdań z osobna zapewne wydało ci się zagmatwane i trudno było ci je sobie dokładnie przypomnieć. Teraz spróbuj zapisać je ponownie, używając następujących podpowiedzi: kobza , chrzest statku , skok ze spadochronem . Policz od 40 do zera czwórkami i sprawdź, jak dobrze udało ci się zapamiętać je tym razem. Czy zdania nie wydają się teraz łatwiejsze do zapamiętania? Wszystko przez to, że zostały podane w kontekście. Materiał lepiej się zapamiętuje, jeśli nadamy mu sens. Istnieją trzy rodzaje kodowania. Kodowanie słów i ich znaczenia jest znane jako kodowanie semantyczne (ang. semantic encoding ). Kodowanie semantyczne nie jest jednak ograniczone tylko do słów, ale dotyczy wszelkich informacji niosących znaczenie. Jako pierwszy opisał je w 1935 roku William Bousfield (1854-1943) na podstawie wyników eksperymentu, w którym prosił badanych o zapamiętywanie słów. Zestaw słów sprawiał wrażenie, że są one niepowiązane, ale faktycznie należały one do czterech kategorii znaczeniowych. Co ciekawe, badani przywoływali je zgodnie z podziałem na kategorie, co wskazywało, że podczas zapamiętywania mogli jednak zwracać uwagę na ich znaczenie. Zapamiętywanie obrazów nazywamy kodowaniem wzrokowym (ang. visual encoding ), a dźwięków, zwłaszcza słów - kodowaniem akustycznym (ang. acoustic encoding ). Żeby zorientować się, na czym polega kodowanie wizualne, przeczytaj poniższą listę wyrazów: samochód, poziom, pies, prawda, książka, wartość . Jak sądzisz, które z nich byłoby ci najłatwiej zapamiętać i odtworzyć po pewnym czasie? Prawdopodobnie łatwiej byłoby ci przypomnieć sobie samochód , psa i książkę , a trudniej poziom , prawdę i wartość . Dlaczego? Bo łatwiej przywołać z pamięci konkretne obrazy niż same słowa. Czytając słowa samochód , pies albo książka , tworzysz w umyśle odpowiadające im obrazy. Te wyrazy mają swoje konkretne odpowiedniki. Tymczasem abstrakcyjne pojęcia, jak wolność , prawda i wartość , nie mają obrazowych odpowiedników. Słowa, którym odpowiadają obrazy, są zapamiętywane zarówno wzrokowo, jak i semantycznie (Paivio, 1986), a przez to zapamiętujemy je skuteczniej. Określamy to jako podwójne kodowanie . Teraz zajmijmy się kodowaniem akustycznym. Przyjmijmy, że jedziesz samochodem i nagle w radiu zaczynają grać piosenkę, którą słyszysz po raz pierwszy od co najmniej 10 lat. Zaczynasz śpiewać do wtóru i okazuje się, że pamiętasz każde słowo. W Stanach Zjednoczonych dzieci często uczą się alfabetu poprzez piosenkę, w ten sposób zapamiętują także liczbę dni w każdym miesiącu: Thirty days has September, / April, June, and November; / All the rest have thirty-one, / Save February, with twenty-eight days clear, / And twenty-nine each leap year. W polskim systemie edukacyjnym od piosenek popularniejsze są wierszyki, np.: Pamiętają mali, duzi,/ że dwanaście sztuk to tuzin”. Zapamiętanie faktów jest łatwiejsze dzięki kodowaniu akustycznemu, czyli kodowaniu dźwięków, jakie towarzyszą tym słowom. To jeden z powodów, dla których małe dzieci większość wiadomości przyswajają poprzez piosenkę, rym i rytm. Jak myślisz, który z tych trzech typów kodowania najlepiej pozwoliłby zapamiętać informacje werbalne? W latach 70. XX wieku psychologowie Fergus Craik i Endel Tulving (1975) przeprowadzili serię eksperymentów, w których uczestnikom prezentowano słowa razem z dotyczącymi ich pytaniami. Pytania wymagały od badanych przetwarzania słów na jednym z trzech poziomów. Żeby wymusić przetwarzanie wzrokowe, pytano np. o krój czcionki, którą zapisano dane słowo. Przy przetwarzaniu akustycznym – o brzmienie, jakie ma słowo albo o kojarzący się z nim rym, przy przetwarzaniu semantycznym zaś – o znaczenie słowa. Po zakończeniu prezentacji przeprowadzano niezapowiedziany sprawdzian pamięciowy. Słowa kodowane semantycznie były zapamiętywane lepiej niż kodowane wzrokowo lub akustycznie. Kodowanie semantyczne wymaga głębszego przetwarzania niż wzrokowe czy akustyczne. Craik i Tulving stwierdzili, że najlepiej przetwarzamy informacje werbalne dzięki kodowaniu semantycznemu, szczególnie jeśli zastosujemy coś, co nazywamy efektem odniesienia do Ja . Efekt odniesienia do Ja (ang. self-reference effect ) to tendencja jednostki do lepszego zapamiętywania tego, co dotyczy niej samej, w przeciwieństwie do informacji mniej osobiście istotnej (Rogers, Kuiper i Kirker, 1977). Czy kodowanie semantyczne może być korzystne podczas zapamiętywania pojęć zawartych w tym rozdziale? Przechowywanie Gdy już informacja zostanie zakodowana, musimy ją jakoś przechować. Nasze mózgi robią to bezustannie. Przechowywanie (ang. storage ) oznacza stworzenie dla informacji trwałej bazy. Żeby informacja trafiła do magazynu pamięci (czyli do pamięci trwałej), musi przejść przez trzy odrębne fazy: pamięci sensorycznej (inaczej: rejestr sensoryczny lub pamięć ultrakrótkotrwała), pamięci krótkotrwałej i wreszcie pamięci długotrwałej (inaczej: trwałej). Taki podział zaproponowali jako pierwsi Richard Atkinson i Richard Shiffrin (1968). Ich model ludzkiej pamięci ( ), nazwany modelem Atkinsona i Shiffrina (ang. Atkinson and Shiffrin's model ) opiera się na założeniu, że przetwarzamy informacje na podobnej zasadzie, jak robią to komputery. Zgodnie z modelem pamięci Atkinsona i Shiffrina, żeby informacja została zachowana w pamięci długotrwałej, musi przejść przez rejestr sensoryczny i pamięć krótkotrwałą. Model Atkinsona i Shiffrina nie jest jedyny. Na przykład Baddeley i Hitch (1974) zaproponowali model pamięci roboczej, w którym pamięć krótkotrwała przybiera różne formy. W ich modelu zachowywanie wspomnień w pamięci krótkotrwałej przypomina otwieranie różnych plików w komputerowym katalogu i dodawanie tam nowych informacji. Pliki w pamięci roboczej mają ograniczoną pojemność dla przechowywanych informacji. Typ pamięci krótkotrwałej (czy też pliku komputerowego) zależy od rodzaju otrzymanej informacji. Istnieją wspomnienia w postaci wizualno-przestrzennej (obrazowej) i takie o materiale mówionym albo pisanym (słownym). Wszystkie są przechowywane w trzech systemach pamięci krótkotrwałej: szkicowniku (notesie) wizualno-przestrzennym, buforze epizodycznym i pętli fonologicznej (Baddeley, 2004). W tym modelu kontrolę nad przepływem informacji do i z tych trzech systemów krótkoterminowych sprawuje centralny system wykonawczy (centralny mechanizm wykonawczy), jak również jest on odpowiedzialny za przenoszenie informacji do pamięci długotrwałej. W ten sposób ujęta jest jeszcze jedna, niezwykle istotna funkcja pamięci - przetwarzanie informacji. Rejestr sensoryczny W modelu Atkinsona i Shiffrina bodźce z otoczenia najpierw przechodzą przez rejestr sensoryczny (ang. sensory memory ), przechowujący krótkotrwałe wrażenia zmysłowe, takie jak obrazy, dźwięki czy smaki. Takie przechowanie trwa zaledwie ułamek sekundy lub kilka sekund. Ciągle jesteśmy bombardowani informacjami zmysłowymi. Nie możemy zachować wszystkich ani nawet większej części z nich. Zresztą większość nie ma żadnego wpływu na nasze życie. Na przykład, jak była ubrana pani profesor na ostatnim wykładzie? Jeśli strój jest odpowiedni do sytuacji, to nie ma to dla ciebie żadnego znaczenia. Informacje płynące ze zmysłów o dźwiękach, obrazach, zapachach, a nawet teksturach odrzucamy jako nieistotne. Dopiero jeśli uznamy, że w jakiś sposób są dla nas ważne, przenosimy je do magazynu pamięci krótkotrwałej. Pamięć krótkotrwała Pamięć krótkotrwała (ang. short-term memory (STM) to miejsce czasowego przechowywania informacji zmysłowych, w którym są one przetwarzane; czasami nazywa się ją też pamięcią roboczą ( operacyjną , pracującą ), chociaż oba te rodzaje pamięci nie są tym samym . . Pamięć krótkotrwała stanowi element pamięci roboczej. Pobiera informacje z pamięci zmysłowej i czasami wiąże je z czymś, co już istnieje w pamięci długotrwałej. Przechowywanie danych w pamięci roboczej trwa od 15 do 30 sekund. Pomyśl o pamięci krótkotrwałej jak o informacji, która pojawia się na ekranie komputera: dokumencie, arkuszu kalkulacyjnym czy stronie internetowej. Możesz ją przenieść do pamięci trwałej (zapisać na twardym dysku) albo odrzucić (skasować dokument lub zamknąć stronę internetową). Ten krok nazywamy powtarzaniem (ang. rehearsal ). Świadome utrwalanie informacji, które chcemy zapamiętać, przenoszenie ich z pamięci krótkotrwałej do długotrwałej, nazywamy konsolidacją śladów pamięciowych (ang. memory consolidation ). Dzięki powtarzaniu informacje są przenoszone z pamięci krótkotrwałej do długotrwałej. Przykładem aktywnego powtarzania (ang. active rehersal ) jest śpiewanie piosenki ABC przez dzieci uczące się angielskiego, która pozwala zapamiętać kolejność liter w alfabecie. Natomiast tzw. powtarzanie opracowujące (ang. elaborative rehearsal) polega na łączeniu nowych informacji z tymi, które już znamy. Możesz je zastosować, gdy spotkasz kogoś na imprezie i chcesz zanotować adres tej osoby, ale musisz polegać wyłącznie na swojej pamięci, bo twój telefon ma rozładowaną baterię. By zapamiętać nazwę ulicy, możesz np. uświadomić sobie, że autobus, którym jeździsz na uczelnię, zatrzymuje się na przystanku, na którym widnieje nazwa tej właśnie zapamiętywanej przez ciebie ulicy. Craik i Lockhart (1972) zaproponowali hipotezę poziomów przetwarzania (ang. levels of processing hopothesis ), zgodnie z którą im głębiej o czymś myślisz, tym lepiej to zapamiętujesz. Możesz spytać, ile informacji nasza pamięć potrafi przetwarzać jednocześnie. Żeby zbadać pojemność i trwałość swojej pamięci krótkotrwałej, poproś znajomą osobę, by przeczytała ci kolejne losowe ciągi cyfr od najkrótszego do najdłuższego ( ), rozpoczynając każdy ciąg od słów: „Jesteś gotowy/ Jesteś gotowa?” i kończąc go słowem „Odtwórz”, po którym powinieneś spróbować zapisać dany ciąg z pamięci w podanej kolejności. Popracuj z tymi ciągami liczb tak jak opisano powyżej, by dowiedzieć się, jak długi ciąg cyfr potrafisz zapamiętać i odtworzyć. Zapisz najdłuższy ciąg, który udało ci się powtórzyć bezbłędnie. Dla większości będzie to mniej więcej 7 cyfr, plus lub minus 2. W roku 1956 George Miller dokonał przeglądu badań nad pojemnością pamięci krótkotrwałej i stwierdził, że ludzie są w stanie zapamiętać od 5 do 9 elementów, bitów uznał więc, że pojemność pamięci krótkotrwałej wynosi „magiczną liczbę siedem”. Jednak nowsze badania wykazały, że pojemność pamięci operacyjnej wynosi 4 plus lub minus 1 (Cowan, 2010). Na ogół przypominanie jest nieco łatwiejsze dla losowych ciągów cyfr niż dla losowych ciągów liter (Jacobs, 1887) i często lepsze dla informacji, które słyszymy (kodowanie akustyczne) niż dla tych, które widzimy (kodowanie wizualne) (Anderson, 1969). Zanikanie śladów pamięciowych (ang. memory trace decay ) oraz ich nakładanie się , czyli interferencja (ang. memory trace interference ) to dwa czynniki mające wpływ na utrzymanie informacji w pamięci krótkotrwałej. Peterson i Peterson (1959) badali pamięć krótkotrwałą za pomocą trzyliterowych sekwencji (trigramów), np. CLS, które uczestnik miał przypominać sobie po czasie od 3 do 18 sekund. Okazało się, że po 3 sekundach uczestnicy pamiętali około 80% trigramów, a po 18 sekundach zaledwie 10% trigramów. Na tej podstawie badacze sformułowali hipotezę, że pamięć krótkotrwała zanika po 18 sekundach. W tym 18-sekundowym okresie ślady pamięciowe stają się coraz mniej aktywne i informacja ulega zapomnieniu. Jednak Keppel i Underwood (1962) po przeanalizowaniu tylko pierwszej próby zadania z trigramami ustalili, że na utrzymywanie się pamięci krótkotrwałej ma wpływ również interferencja proaktywna, która polega na tym, że zapamiętana wcześniej informacja utrudnia zapamiętywanie nowej. Zanikanie śladów pamięciowych oraz interferencja proaktywna wpływają na przechowywanie informacji w pamięci krótkotrwałej. Gdy wreszcie informacja zostanie przekazana do pamięci długotrwałej, musi ulec konsolidacji zarówno na poziomie synaptycznym, co trwa kilka godzin, jak i w systemie pamięciowym, co może trwać tydzień lub dłużej. Pamięć długotrwała Pamięć długotrwała (ang. long-term memory (LTM) ) to inaczej przechowywanie informacji na stałe. W przeciwieństwie do pamięci krótkotrwałej, pojemność LTM jest nieograniczona. Przechowuje wszystko to, co pamiętasz, a zdarzyło się wcześniej niż kilka minut temu. Trudno jest prowadzić rozważania nad pamięcią długotrwałą bez zastanowienia się, jak jest ona ustrukturalizowana. A teraz szybki test: jakie pierwsze słowo przychodzi ci do głowy, gdy słyszysz „dżem truskawkowy”? Czy jest to „bułka”? Jeśli tak, prawdopodobnie twój mózg skojarzył dżem i bułkę. Przyjmuje się, że wspomnienia są zorganizowane w postaci sieci semantycznych (skojarzeniowych) (Collins i Loftus, 1975). Sieć semantyczna składa się z pojęć, które są – jak już pewnie wiesz z wcześniejszej lektury – lingwistycznymi kategoriami informacji, obrazów, idei i wspomnień takich jak doświadczenia życiowe. Chociaż doświadczenia i zdobyta wiedza mogą mieć wpływ na organizację pojęć, uważa się, że są one uporządkowane w umyśle w sposób hierarchiczny (Anderson i Reder, 1999, Johnson i Mervis, 1997, 1998; Palmer, Jones, Hennessy, Unze, i Pick, 1989; Rosch, Mervis, Gray, Johnson, i Boyes-Braem, 1976; Tanaka i Taylor, 1991). Pokrewne pojęcia są ze sobą powiązane, a siła tego połączenia zależy od tego, jak często występowały wspólnie. Sieci semantyczne u każdego z nas są różne i zależą od naszych osobistych doświadczeń. Istotne dla procesu zapamiętywania jest spostrzeżenie, że aktywacja któregokolwiek fragmentu sieci semantycznej również w pewnym stopniu aktywuje pojęcia z nim połączone. Proces ten nosi nazwę rozprzestrzeniania się aktywacji (ang. spreading activation ) (Collins i Loftus, 1975). Zaktywizowanie pewnego fragmentu sieci ułatwia dostęp do skojarzonych z nim pojęć, ponieważ zostały one już częściowo zaktywizowane. Gdy przypominasz sobie wcześniejsze wydarzenia, aktywujesz jakieś pojęcie. Dzięki temu powiązane z nim pojęcia mogą być łatwiej przypomniane, bo już są częściowo aktywne. Aktywacja jednak nie rozprzestrzenia się tylko w jednym kierunku. Gdy coś sobie przypominasz, zwykle możesz skorzystać z kilku ścieżek, które pozwolą ci dostać się do określonego zasobu twojej pamięci. Im więcej masz wypracowanych połączeń z danym pojęciem, tym większa jest szansa, że lepiej je zapamiętasz. Istnieją dwa rodzaje pamięci długotrwałej: pamięć jawna ( świadoma ) (ang. explicit memory ) i pamięć utajona ( nieświadoma ) (ang. implicit memory ) schematycznie przedstawione na . Istotny dla zrozumienia, czym oba rodzaje pamięci się różnią, jest odmienny wpływ na obie z nich takich czynników jak: starzenie się, niektóre rodzaje urazów mózgu oraz określone zaburzenia psychiczne. W pamięci jawnej przechowujemy wspomnienia, które staramy się aktywnie zapamiętać i przywołać. Gdy na przykład uczysz się do egzaminu z chemii, wiedza, którą zdobywasz, stanie się częścią twojej pamięci jawnej. Posługując się analogią komputerową, informacje w LTM są zapisane na twardym dysku. Nie masz ich na pulpicie (w pamięci krótkotrwałej), ale możesz je przywołać, gdy tylko zechcesz, przynajmniej przez większość czasu. Nie wszystkie wspomnienia w pamięci trwałej są silne. Niektóre można sobie przypomnieć tylko dzięki odpowiednim wskazówkom. Łatwo zapewne będzie ci odpowiedzieć na pytanie: „Które miasto jest stolicą Polski?”, ale trudniej przywołać z pamięci nazwę restauracji, w której jedliście obiad podczas zeszłorocznych wakacji w Grecji. Łatwiej ci będzie przypomnieć ją sobie dzięki wskazówce, np. że nazwa pochodzi od nazwiska właściciela, z którym rozmawialiście o piłce nożnej, bo odkryliście, że to wasza wspólna pasja. Pamięć jawna jest czasami określana jako deklaratywna, gdyż zawarte w niej informacje mogą być ujęte w słowach. Pamięć jawna dzieli się na pamięć epizodyczną i semantyczną. Pamięć epizodyczna (ang. episodic memory ) jest rodzajem pamięci deklaratywnej, która gromadzi informacje o tym, czego doświadczyliśmy osobiście, tzw. epizody. Może to być na przykład wspomnienie twoich ostatnich urodzin. Zwykle wspomnienia epizodyczne mają charakter narracji, opowiadania. Pojęcie pamięci epizodycznej po raz pierwszy zaproponowano w latach 70. XX wieku (Tulving, 1972). Od tamtej pory Endel Tulving (ur. 1927) i inni badacze pod wpływem dowodów naukowych przeformułowali swoją teorię. Obecnie uważają, że pamięć epizodyczna dotyczy tego, co zdarzyło się w określonym miejscu i czasie; obejmuje co, gdzie i kiedy każdego zapamiętanego zdarzenia (Tulving, 2002). Zawiera nie tylko wspomnienie wizualne, lecz także poczucie, że znamy to, co pamiętamy (Hassabis i Maguire, 2007). Ponadto pamięć epizodyczną cechuje poczucie subiektywnego czasu, świadomość autonoetyczna i odniesienie do Ja . Występuje, zdaniem Tulvinga, tylko u ludzi i pojawia się w rozwoju ontogenetycznym później niż pamięć semantyczna. Pamięć semantyczna (ang. semantic memory ) to wiedza na temat słów, pojęć i tych wszystkich faktów, które są oparte na wiedzy językowej. Na ogół informacje z tej pamięci są odtwarzane jako fakty. Semantyczna oznacza mająca związek z językiem i wiedzą na temat języka . Na przykład odpowiedzi na takie pytania jak „czym jest psychologia” czy „na jakim kontynencie leży Polska” są przechowywane w pamięci semantycznej. Przypomnieć jednak należy, jak wspomniano wcześniej, że wiedza semantyczna dotyczy wszelkich treści, którym możemy nadać znaczenie, czyli nie jest ograniczona do języka. Pamięć utajona z kolei przechowuje wspomnienia będące poza świadomością. Chociaż wspomnienia te są nabywane bez naszej wiedzy i nie jesteśmy w stanie świadomie ich odtworzyć, fakt ich przechowywania ujawnia się w wykonaniu niektórych zadań (Roediger, 1990; Schacter, 1987). Do badania pamięci utajonej wykorzystuje się zadania stawiające wysokie wymagania poznawcze, jak uczenie się sztucznej gramatyki (Reber, 1976), pamiętanie słów (Jacoby, 1983; Jacoby i Witherspoon, 1982) oraz uczenie się ukrytych zależności czy zasad (Greenspoon, 1955; Giddan i Eriksen, 1959; Krieckhaus i Eriksen, 1960). Wracając do metafory komputerowej, pamięć utajona przypomina programy działające w tle, których wpływu nie jesteśmy świadomi. Pamięć utajona może ujawniać się zarówno w obserwowalnych zachowaniach, jak i w wykonywaniu zadań poznawczych, jednak nie można jej wyrazić słowami. Wyróżnia się kilka rodzajów pamięci utajonej, w tym proceduralną, torowanie i warunkowanie emocjonalne. Większość autorów prac z zakresu psychologii pamięci za Larrym Squire'em (ur. 1941) uznaje, że szerszym pojęciem jest pamięć niedeklaratywna , obejmująca wymienione powyżej rodzaje pamięci, w tym pamięć utajoną. Pamięć długotrwała dzieli się na dwie główne kategorie: deklaratywną i utajoną (niedeklaratywną). Deklaratywna obejmuje pamięć epizodyczną i semantyczną. Pamięć utajona obejmuje pamięć proceduralną i to, czego uczymy się poprzez warunkowanie. Pamięć proceduralna (ang. procedural memory ) jest często badana za pomocą obserwowalnych zachowań (Adams, 1957; Lacey i Smith,1954; Lazarus i McCleary, 1951). Przechowuje ona informacje o tym, jak wykonywać określone czynności i wiedzę na temat umiejętności, jak mycie zębów, jazda na rowerze czy prowadzenie samochodu. Na pewno pierwsze próby jazdy na rowerze czy prowadzenia samochodu nie były zbyt udane, ale po roku ćwiczenia każdy z nas był w tym znacznie lepszy. Skuteczniejsza jazda na rowerze wynikała z nauczenia się utrzymywania równowagi. Na początku myśli się o trzymaniu prosto, ale po nabyciu wprawy po prostu się to czyni. Co więcej, potrafisz utrzymać równowagę, ale trudno byłoby opisać słowami, jak to robisz. Podobnie dzieje się w trakcie nauki prowadzenia samochodu. Początkowo trzeba stale świadomie myśleć o wielu czynnościach, natomiast później wykonywane są one automatycznie. Często w początkowych etapach uczenia się umiejętności potrzebujemy wskazówek słownych podawanych przez inne osoby. Jednak rezultatem dalszego ćwiczenia jest wiedza przechowywana w pamięci utajonej. Innym rodzajem pamięci utajonej jest utajone torowanie (Schacter, 1992). W torowaniu ekspozycja na jakiś bodziec wpływa na sposób reagowania na inny bodziec. Bodźcami mogą być słowa czy obrazy, stosowane w celu wywołania określonej reakcji lub wspomożenia rozpoznawania. Na przykład niektórzy ludzie lubią pikniki, wyjazd na łono natury, rozkładanie obrusu na trawie i spożywanie pysznych kanapek. A teraz popatrz na poniższe litery i ułóż z nich słowo. ŁOSMA Jakie słowo udało się ułożyć? Jest prawdopodobne, że „masło”. Po przeczytaniu takiego tekstu: „Niektórzy ludzie lubią prace ogrodowe. Jesienią grabią liście i opatulają krzaki na zimę”, zapewne tym słowem byłaby „słoma”, a nie masło. Czy pamiętasz wcześniejszą dyskusję na temat sieci semantycznych? Ludziom łatwiej przychodzi do głowy słowo „masło” po przeczytaniu o pikniku, gdyż masło jest skojarzone z kanapkami i piknikiem. „Masło” podległo torowaniu dzięki aktywizacji sieci semantycznej. Analogicznie słowo „słoma” podległo torowaniu przez ogród. Torowanie odpowiada także za to, że na słowo „dżem truskawkowy” prawdopodobnie powiesz „bułka”. Utajone warunkowanie emocjonalne stanowi rodzaj pamięci zaangażowany w reakcje emocjonalne warunkowane za pomocą warunkowania klasycznego (Olson i Fazio, 2001). Takie skojarzenia emocjonalne nie mogą być świadomie opisane ani przywołane, ale mogą być powiązane z różnymi bodźcami. Na przykład specyficzne zapachy potrafią wywołać u niektórych osób jakąś reakcję emocjonalną. Jeśli jakiś zapach wywołuje u ciebie dobry lub zły nastrój, a nie wiesz, dlaczego tak się dzieje, jest to utajona reakcja emocjonalna. Podobnie wiele osób reaguje na jakąś konkretną piosenkę w sposób emocjonalny. Także w tym przypadku mamy do czynienia z utajoną reakcją emocjonalną (Yang, Xu, Du, Shi, Fang, 2011). Czy potrafisz zapamiętać wszystko, co kiedykolwiek udało ci się zrobić lub powiedzieć? Wspomnienia epizodyczne są przez niektórych psychologów, np. Tulvinga, nazywane autobiograficznymi. Jednak większość badaczy zwraca uwagę, że pamięć autobiograficzna zawiera także dane o charakterze semantycznym, proceduralnym i emocjonalnym, jak podstawowe dane na własny temat, uogólnione wspomnienia powtarzających się zdarzeń czy ustosunkowania do innych osób. Sprawdźmy szybko twoją pamięć autobiograficzną. Czy pamiętasz swoje ubranie sprzed pięciu lat? Co było u ciebie na obiad 10 kwietnia 2009 r.? Odpowiedź na te pytania może być trudna, jeśli nie niemożliwa. Czy pamiętasz wszystkie zdarzenia, jakie przeżyłeś w ciągu dotychczasowego życia? Posiłki, rozmowy, wybór stroju, pogodę itp.? Najprawdopodobniej nikomu z nas nie udałoby się odtworzyć wszystkich takich zdarzeń. Potrafi to jednak amerykańska aktorka Marilu Henner, najlepiej znana z telewizyjnego show Taxi . Ma ona zadziwiającą, niezwykle dokładną pamięć autobiograficzną ( ). Fantastyczna pamięć autobiograficzna Marilu Henner określana jest mianem hipermnezji (źródło: Mark Richardson). Bardzo niewielu ludzi potrafi przypominać sobie swoją przeszłość tak dokładnie; do dziś znamy tylko 12 osób z takimi zdolnościami, a tylko kilka z nich przebadano (Parker, Cahill i McGaugh 2006). I choć hipermnezja (ang. hyperthymesia ) ujawnia się zwykle w okresie dojrzewania, wydaje się, że dwójka dzieci w USA ma wspomnienia z okresu dużo wcześniejszego niż 10. urodziny. Przeważnie tzw. amnezja dziecięca obejmuje okres do 3.-6. roku życia. Obejrzyj to wideo na temat wyjątkowej pamięci autobiograficznej z telewizyjnego show 60 Minutes . Wydobywanie Sporo wysiłku kosztowało cię zakodowanie (dzięki przetwarzaniu kontrolowanemu) i przechowanie ważnych informacji do zbliżającego się egzaminu. Jak je wydobyć z magazynu, gdy będą potrzebne? Proces pobierania informacji z magazynu pamięci i uświadamiania ich sobie znany jest pod nazwą wydobywania (ang. retrieval ). Nieco przypomina otwieranie dokumentu, który został przez ciebie wcześniej zapisany na twardym dysku. Z powrotem masz go na pulpicie i możesz na nim pracować. Nasza zdolność do wydobywania informacji z magazynu pamięci długotrwałej jest kluczowa w codziennym funkcjonowaniu. Żeby wiedzieć, jak coś zrobić: od mycia zębów i czesania, przez dojazd do pracy, po wiedzę, jak robić to, co robisz w pracy, gdy już do niej dojedziesz – musisz umieć wydobywać informacje zapisane w pamięci. Istnieją trzy sposoby odzyskiwania informacji z magazynu pamięci długotrwałej: odtwarzanie (reprodukcja), rozpoznawanie i ponowne uczenie się. O odtwarzaniu myślimy najczęściej, gdy mówimy o odzyskiwaniu informacji; oznacza ono, że umiemy informację wydobyć bez podpowiedzi. Odtwarzanie (ang. recall ) wykorzystujesz, np. pisząc esej na egzaminie. Rozpoznawanie (ang. recognition ) to identyfikacja wcześniej zapamiętanej informacji po jej ponownym napotkaniu. Zdolność ta obejmuje proces porównywania. W teście wielokrotnego wyboru właściwą odpowiedź często możesz odnaleźć, właśnie posługując się metodą rozpoznawania. Przykład? Powiedzmy, że wracasz do rodzinnego miasta po 10 latach od ukończenia podstawówki na zjazd absolwentów. Pewnie nie rozpoznasz wszystkich kolegów i koleżanek z klasy, ale wielu przypomnisz sobie, przeglądając album ze zdjęciami. Trzecim sposobem odzyskiwania informacji jest, zgodnie z nazwą, powtórne uczenie się (ang. relearning ). To przyswajanie informacji wcześniej już wyuczonej. Przykład? Katarzyna w szkole średniej uczyła się hiszpańskiego, ale później nie miała okazji, żeby posługiwać się tym językiem. Teraz ma 31 lat i pracodawca zaproponował jej pracę w filii w mieście Meksyk. Żeby się przygotować, poszła na kurs hiszpańskiego w lokalnym ośrodku kultury. Zdziwiła się, jak łatwo idzie jej nauka po 13 latach braku kontaktu z językiem. To właśnie przykład ponownego uczenia się. Podsumowanie Pamięć to system lub proces magazynowania tego, czego się nauczyliśmy, aby mogło zostać wykorzystane w przyszłości. Ma ona trzy podstawowe funkcje: kodowanie, przechowywanie i wydobywanie informacji. Kodowanie to wprowadzenie informacji do układu pamięci w wyniku automatycznego lub kontrolowanego jej przetwarzania. Przechowywanie informacji to jej magazynowanie. Wydobywanie informacji z magazynu pamięci do świadomości może polegać na odtwarzaniu, rozpoznawaniu lub ponownym uczeniu się. Koncepcja, że informacja jest przetwarzana w trzech systemach pamięciowych, to model pamięci Atkinsona i Shiffrina. Najpierw bodźce z otoczenia docierają do rejestru sensorycznego, gdzie przebywają przez maksymalnie kilka sekund. Te z nich, które dostrzegamy i zwracamy na nie uwagę, przechodzą do pamięci krótkotrwałej. Zgodnie z tym modelem, jeśli będziemy daną informację powtarzać, to przejdzie ona do pamięci długotrwałej i będzie tam przechowywana bezterminowo. Inne modele pamięci, jak Baddeley'a i Hitcha, sugerują, że między pamięcią roboczą a długotrwałą istnieje rodzaj sprzężenia zwrotnego. Pamięć długotrwała ma praktycznie nieograniczoną pojemność. Dzieli się na pamięć utajoną i jawną. Pytania sprawdzające Inna nazwa pamięci krótkotrwałej to ________ rejestr sensoryczny pamięć epizodyczna pamięć robocza pamięć niedeklaratywna C Pojemność pamięci długotrwałej to ________. jeden–dwa bity informacji siedem bitów, plus/minus dwa ograniczona ilość informacji w zasadzie nieograniczona ilość informacji D Trzy funkcje pamięci to ________. przetwarzanie automatyczne, przetwarzanie kontrolowane i przechowywanie kodowanie, przetwarzanie i przechowywanie przetwarzanie automatyczne, przetwarzanie kontrolowane i odzyskiwanie kodowanie, przechowywanie i wydobywanie D Critical Thinking Questions Porównaj pamięć deklaratywną z niedeklaratywną oraz pokaż różnice między nimi. Obie są rodzajami pamięci trwałej. Wspomnienia deklaratywne to takie, które świadomie próbujemy zapamiętać, a potem sobie przypomnieć. Pamięć deklaratywna dzieli się na epizodyczną (wydarzenia z życia osobistego) i semantyczną (słowa, pojęcia i wiedza ogólna). Wspomnienia niedeklaratywne to takie, które pozostają poza świadomością, tworzone z działań i zachowań. Pamięć niedeklaratywna obejmuje pamięć proceduralną oraz rzeczy, których uczymy się przez warunkowanie klasyczne. Nazwij i opisz trzy fazy pamięci zgodnie z modelem pamięci Atkinsona i Shiffrina. Zgodnie z modelem Atkinsona i Shiffrina wspomnienia przechodzą przez trzy fazy pamięci. Pierwszą jest rejestr sensoryczny; o bardzo krótkim czasie trwania: 1-2 sekundy. Jeśli na nic, co w niej jest, nie zwrócimy uwagi, to zostanieto zignorowane. W przeciwnym razie trafi do pamięci krótkotrwałej. Przechowuje ona ok. 7 bitów informacji przez mniej więcej 20 sekund. Zgromadzone tu dane są albo zapominane, albo przekazywane do pamięci długotrwałej w procesie powtarzania. Pamięć długotrwała przechowuje wspomnienia bezterminowo i ma praktycznie nieograniczoną pojemność. Porównaj i pokaż różnice między automatycznym i kontrolowanym kodowaniem informacji. Informacja jest kodowana metodą przetwarzania automatycznego lub kontrolowanego. Automatyczne odnosi się do wszelkich informacji, które przechodzą do pamięci długotrwałej bez naszego świadomego wysiłku. Obejmuje np. takie informacje jak czas, miejsce i częstotliwość — np. twoją zdolność do zapamiętania, co jadłeś na śniadanie albo że w zeszłym tygodniu dwa razy wpadłeś na znajomego w supermarkecie. Przetwarzanie kontrolowane odnosi się do kodowania informacji w wyniku świadomego wysiłku. Materiał, którego uczysz się do testu, przyswajasz właśnie w wyniku przetwarzania kontrolowanego. Personal Application Questions Opisz coś, co już zostało przez ciebie opanowane, a co teraz znajduje się w twojej pamięci proceduralnej. Wyjaśnij, jak udało ci się tego nauczyć. Opisz coś, czego udało ci się nauczyć w szkole średniej, a co teraz znajduje się w twojej pamięci semantycznej. kodowanie akustyczne (ang. acoustic encoding ) zapamiętywanie dźwięków, słów i muzyki za pomocą słuchu model pamięci Atkinsona i Shiffrina (ang. Atkinson and Shiffrin's model ) model pamięci, który zakłada, że informacje są przetwarzane za pomocą trzech systemów: pamięci sensorycznej, krótkotrwałej i długotrwałej przetwarzanie automatyczne (ang. automatic processing ) kodowanie szczegółów informacji takich jak czas, przestrzeń, częstość i znaczenie słów; nie wymaga uwagi pamięć deklaratywna (ang. declarative memory ) rodzaj długotrwałej pamięci wydarzeń i faktów doświadczanych osobiście przetwarzanie kontrolowane ( wysiłkowe ) (ang. effortful encoding ) kodowanie informacji wymagające wysiłku i skupienia uwagi powtarzanie opracowujące (ang. elaborative rehearsal ) myślenie na temat znaczenia nowej informacji i jej związku z wiedzą przechowywaną w pamięci kodowanie ( przyswajanie ) (ang. encoding ) wprowadzanie informacji do systemu pamięci pamięć epizodyczna (ang. episodic memory ) rodzaj pamięci deklaratywnej, gromadzącej informacje o wydarzeniach doświadczonych osobiście; znana również jako pamięć autobiograficzna pamięć jawna ( świadoma ) (ang. explicit memory ) wspomnienia, które tworzymy i odtwarzamy w sposób świadomy pamięć utajona ( nieświadoma ) (ang. implicit memory ) wspomnienia niebędące częścią świadomości pamięć długotrwała (ang. long-term memory (LTM)) magazyn, w którym informacje przechowywane są długotrwale pamięć (ang. memory ) system lub proces przechowywania treści uzyskanych w wyniku uczenia, umożliwiający korzystanie z nich w przyszłości konsolidacja śladów pamięciowych (ang. memory consolidation ) proces utrwalania informacji (zapamiętywania) i aktywnego przenoszenia informacji z pamięci krótkotrwałej do pamięci długotrwałej interferencja proaktywna (ang. proactive interference ) wcześniej zapamiętane informacje utrudniają przywołanie tych zapamiętanych później pamięć proceduralna (ang. procedural memory ) rodzaj pamięci długotrwałej odpowiedzialnej za wykonywanie działań (umiejętności) wymagających wytrenowania, takich jak mycie zębów, prowadzenie samochodu i pływanie odtwarzanie (ang. recall ) dostęp do informacji bez pomocy wskazówek rozpoznawanie (ang. recognition ) identyfikowanie informacji wyuczonych wcześniej po ponownym natknięciu się na nie, zazwyczaj na podstawie jakiejś wskazówki powtarzanie (ang. rehearsal) powtarzanie informacji w celu zapamiętania ich powtórne uczenie się (ang. relearning ) uczenie się informacji, które kiedyś już były przyswojone wydobywanie (ang. retrieval ) akt przenoszenia informacji z pamięci długotrwałej do świadomości efekt odniesienia do Ja (ang. self-reference effect ) tendencja do lepszego pamiętania informacji odnoszących się do siebie niż do wiadomości, które mają mniejsze znaczenie osobiste kodowanie semantyczne (ang. semantic encoding ) odbieranie słów i ich znaczeń pamięć semantyczna (ang. semantic memory ) rodzaj pamięci deklaratywnej zawierający słowa, pojęcia oraz fakty i wiedzę, którym możemy nadać znaczenie rejestr sensoryczny (ang. sensory memory ) magazyn przechowywania krótkich doświadczeń zmysłowych, takich jak obrazy, dźwięki i smaki pamięć krótkotrwała ( robocza , operacyjna , pracująca ) (ang. short-term memory (STM)), working memory ) przechowuje ok. siedmiu porcji informacji (elementów znaczeniowych) zanim zostaną one zapomniane lub zapamiętane, a także informacje, które zostały wydobyte i właśnie są używane przechowywanie (ang. storage ) tworzenie trwałego zapisu informacji kodowanie wzrokowe (ang. visual encoding ) odbieranie i zapamiętywanie obrazów", "section": "Jak działa pamięć", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Obszary mózgu zaangażowane w procesy pamięciowe Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić funkcje mózgu związane z pamięcią Rozpoznać rolę hipokampa, ciała migdałowatego i móżdżku Czy wspomnienia są przechowywane tylko w jednym, konkretnym obszarze mózgu, czy też w wielu różnych obszarach? Karl Lashley (1890-1958) zaczął badać tę kwestię 100 lat temu. Uszkadzał mózgi szczurów i małp, aby znaleźć dowody na istnienie engramów (ang. engram ): grup neuronów stanowiących „fizyczną reprezentację pamięci” (Josselyn, 2010). Najpierw Lashley (1950) uczył szczury znajdowania wyjścia z labiryntu. Potem przy użyciu dostępnych wtedy narzędzi — a konkretnie lutownicy — uszkadzał im różne obszary kory mózgowej. Próbował w ten sposób wymazać engramy, oryginalne ślady pamięciowe, jakie miałyby powstawać u szczurów w trakcie uczenia się przemieszczania się w labiryncie. Lashley nie znalazł dowodów na istnienie engramów, a zwierzęta niezależnie od wielkości i umiejscowienia uszkodzenia znajdowały wyjście z labiryntu. Na podstawie wniosków z uszkadzania mózgu i reakcji szczurów naukowiec sformułował hipotezę ekwipotencjalności (ang. equipotentiality hypothesis ): gdy część jakiegoś obszaru mózgu zaangażowanego w procesy pamięciowe zostanie uszkodzona, wówczas inne części tego samego obszaru mogą przejąć jej funkcje (Lashley, 1950). Choć wczesne prace Lashleya nie potwierdziły istnienia engramów, to współcześni psychologowie robią postępy w ich lokalizacji. Na przykład noblista Eric Kandel (ur. 1929) poświęcił dziesiątki lat na badania synapsy, podstawowej struktury mózgu, i jej roli w kontrolowaniu przepływu informacji przez obwody neuronalne niezbędne do przechowywania wspomnień (Mayford et al., 2012). Liczni badacze twierdzą, że w procesy pamięciowe jest zaangażowany cały mózg. Ale od czasu prac Lashley'a innym badaczom udało się bardziej precyzyjnie określić związki między mózgiem i pamięcią. Uważają oni, że pamięć jest zlokalizowana w wybranych obszarach mózgowych i można wskazać, które konkretnie neurony są zaangażowane w tworzenie śladów pamięciowych. Kluczowe obszary biorące udział w procesach pamięciowych to: ciało migdałowate, hipokamp, móżdżek i kora przedczołowa ( ). Ciało migdałowate jest zaangażowane w odczuwanie strachu i formowanie związanych z nim wspomnień. Hipokamp odgrywa rolę w pamięci deklaratywnej i epizodycznej oraz w procesie odzyskiwania wspomnień. Móżdżek przetwarza wspomnienia proceduralne (ruchowe), np. te, które sprawiają, że umiemy grać na pianinie. Kora przedczołowa wydaje się odgrywać rolę w pamięci semantycznej. Ciało migdałowate Głównym zadaniem ciała migdałowatego (ang. amygdala ) jest regulacja emocji takich jak strach i agresja, które są wyzwalane przez hormony stresu. Jednocześnie ciało migdałowate bierze udział w przechowywaniu wspomnień. Połączenie obu funkcji tego obszaru mózgu sprawia, że sposób przechowywania wspomnień staje się zależny od hormonów stresu. Jedna z badaczek prowadziła badania nad reakcją strachu u szczurów (Josselyn, 2010). Wykorzystała ona warunkowanie klasyczne; połączyła neutralny dźwięk z rażeniem prądem, wywołując u szczurów reakcję strachu. Po uwarunkowaniu zwierzęta za każdym razem, kiedy słyszały dźwięk, zamierały w bezruchu (to u szczurów reakcja obronna, zwana też „zastyganiem”), co świadczyło o tym, że pamiętają doznane wstrząsy elektryczne. Następnie Josselyn wywołała śmierć komórek nerwowych w bocznej części ciał migdałowatych, obszarze odpowiedzialnym za wspomnienia strachu. Wykazała, że pamięć strachu zanikła (została wymazana). Ze względu na rolę w przetwarzaniu informacji nacechowanych emocjami ciało migdałowate jest też zaangażowane w konsolidację śladów pamięciowych – proces przenoszenia świeżo nabytej wiedzy do pamięci długotrwałej. Wydaje się, że ta część mózgu ułatwia kodowanie wspomnień na głębszym poziomie, jeśli są one zabarwione emocjonalnie. W tej prelekcji TED ( Technology, Entertainment and Design ), zatytułowanej A mouse, A laser beam, A manipulated memory , Steve Ramirez i Xu Liu z Massachusetts Institute of Technology (MIT) opowiadają o wykorzystaniu promieni laserowych do manipulowania pamięcią strachu u szczurów. Dowiedz się, dlaczego ich opublikowana w „Science” praca wywołała takie poruszenie w mediach. Hipokamp Naukowcy pracowali także nad ustaleniem, jaką rolę w przetwarzaniu informacji odgrywa hipokamp (ang. hippocampus ) ( ). Wykazali oni, że uszkodzenie tej części mózgu u szczurów wywołuje upośledzenie pamięci i uniemożliwia rozpoznawanie przedmiotów czy znalezienie wyjścia z labiryntu. Zdaniem badaczy hipokamp jest zaangażowany w procesy pamięciowe, ściśle rzecz biorąc – w wydobywanie wspomnień oraz w zadania przestrzenne (gdy trzeba przypomnieć sobie jakąś mapę umysłową) (Clark et al., 2000). Innym zadaniem hipokampu jest przekazywanie informacji do rejonów korowych, które nadają im znaczenie i łączą z już posiadanymi wspomnieniami. Ta struktura odgrywa też rolę w konsolidacji śladów pamięciowych – procesie przekazywania nowo zapamiętanych danych do pamięci długotrwałej. Uszkodzenie hipokampu nie pozwala skutecznie przetwarzać nowych, deklaratywnych wspomnień. Pacjentowi znanemu przez lata tylko z inicjałów H. M. w wieku 27 lat (w roku 1953) usunięto oba płaty skroniowe (a więc i oba hipokampy), by opanować napady padaczkowe, na które od lat cierpiał (Corkin et al., 1997). W efekcie w znacznym stopniu uszkodzeniu uległa jego pamięć deklaratywna. Chory nie umiał tworzyć nowych wspomnień semantycznych, lecz zachował te, które nabył przed operacją. Pomimo tak poważnych problemów H. M. żył stosunkowo długo, gdyż zmarł w roku 2008. Więcej na temat H.M. można było przeczytać w podrozdziale Mózg i rdzeń kręgowy . Móżdżek i kora przedczołowa Po utracie hipokampu można – dzięki móżdżkowi (ang. cerebellum ) – wciąż tworzyć nowe wspomnienia niedeklaratywne (proceduralne, ruchowe i powstające drogą warunkowania klasycznego) ( ). W eksperymentach dotyczących warunkowania klasycznego często wykorzystuje się warunkowanie odruchu mrugania w reakcji na podmuch powietrza na gałkę oczną, zarówno u zwierząt, np. królików, jak i u ludzi. Gdy badacze uszkodzili królikom móżdżki, okazało się, że zwierzęta nie potrafiły nauczyć się mrugania w reakcji na podmuch w oko (Steinmetz, 1999; Green et al., 2000). Inni naukowcy badali sposób przetwarzania i przechowywania informacji u ludzi, wykorzystując do tego neuroobrazowanie, w tym tomografię pozytonową (PET, ang. positron emission tomography (PET) ). Z badań tych wynika, że pewną rolę odgrywa w tym przetwarzaniu kora przedczołowa. W jednym z eksperymentów badani mieli wykonać jedno z dwóch zadań: albo odnajdywać literę a w różnych słowach (co uznano za zadanie percepcyjne), albo dokonać rozróżnienia rzeczowników żywotnych i nieżywotnych (zadanie semantyczne) (Kapur et al., 1994). Potem badanych pytano, które słowa już wcześniej widzieli. Przypominanie szło o wiele lepiej w przypadku zadania semantycznego niż percepcyjnego. W badaniach PET stwierdzono, że w pierwszym rodzaju zadania pobudzenie lewej dolnej kory przedczołowej było o wiele silniejsze niż w drugim. W innej pracy kodowanie powiązano z aktywnością lewego rejonu czołowego, a odzyskiwanie informacji - z prawym rejonem czołowym (Craik et al., 1999). Neuroprzekaźniki Wydaje się, że w pamiętanie zaangażowane są też swoiste neuroprzekaźniki, takie jak adrenalina , dopamina , serotonina , glutaminian i acetylocholina (Myhrer, 2003). Naukowcy wciąż spierają się, jaką rolę odgrywają poszczególne neuroprzekaźniki (ang. neurotransmitter ) w procesach pamięciowych (Blockland, 1996). Choć nadal nie znamy odpowiedzi na to pytanie, to wiemy, że zależna od nich komunikacja między neuronami ma kluczowe znaczenie dla tworzenia nowych wspomnień. Cykliczna aktywność neuronów prowadzi do wzrostu liczby neuroprzekaźników w synapsach, jak również do zwiększenia liczby połączeń synaptycznych i ich efektywności. Tak zachodzi konsolidacja wspomnień. Powszechny jest pogląd, że silne emocje pobudzają tworzenie trwałych wspomnień. Ten efekt nosi nazwę koncepcji pobudzenia emocjonalnego (ang. arousal theory ) (Christianson, 1992). Silne uczucia mogą powodować uwalnianie neuroprzekaźników i hormonów, co wzmacnia wspomnienie; dlatego lepiej pamiętamy zdarzenia związane z silnymi emocjami niż te, które były dla nas obojętne. Pod wpływem stresu mózgi zwierząt i ludzi wydzielają więcej glutaminianu, a to pomaga w lepszym zapamiętaniu stresujących wydarzeń (McGaugh, 2003). Efekt ten znany jest pod nazwą „pamięć fleszowa”. Pamięć fleszowa (ang. flashbulb memory ) to niezwykle wyraźne pamiętanie ważnego zdarzenia ( ). Sondaż Pew Research Center z 2011 roku wykazał, że 10 lat po atakach terrorystycznych z 11 września 2001 roku aż 97% Amerykanów, którzy w dniu zamachów mieli więcej niż 8 lat, twierdziło, że dobrze pamięta, gdzie i kiedy dowiedzieli się o tych tragicznych zdarzeniach. A czy ty pamiętasz moment, w którym dotarła do ciebie informacja o zamachu na prezydenta Gdańska, Pawła Adamowicza dokonanym 13 stycznia 2019 roku? Większość ludzi pamięta, gdzie była, gdy dowiedziała się o atakach z 11 września 2001 roku. To przykład wspomnienia fleszowego: zachowującego, niezwykłe wydarzenie wiążące się z bardzo silnymi emocjami. (Źródło: Michael Foran). Fałszywe wspomnienia Nawet wspomnienia fleszowe dotyczące niezwykle ważnych zdarzeń z czasem stają się coraz mniej precyzyjne. Przykład? Prezydent George W. Bush był pytany trzy razy o to, jak dowiedział się o atakach terrorystycznych z 11 września. W styczniu 2002 roku, zaledwie 4 miesiące po zdarzeniu, jego odpowiedź brzmiała: Siedziałem tu z moim szefem personelu. Najpierw, gdy weszliśmy do klasy, zobaczyłem samolot wlatujący w pierwszy budynek. Telewizor był włączony. I pomyślałem „to musiał być błąd pilota”, i zadziwiło mnie, że ktokolwiek mógł popełnić tak straszny błąd. (Greenberg, 2004) Choć prezydent tak mówił, to w rzeczywistości nikt poza ludźmi, którzy byli na ulicach w pobliżu wież, nie widział uderzenia pierwszego samolotu. Nie nagrano go, bo dopóki nie uderzył w wieżę WTC, w Nowym Jorku trwał zwyczajny wtorkowy poranek. Ludzka pamięć nie przypomina rejestracji kamerą wideo. Nawet jeśli chodzi o wspomnienie fleszowe, jest ona ulotna. Poszczególne elementy wspomnień (czas, obrazy, zapachy...) są przechowywane w odmiennych lokalizacjach mózgowych. W trakcie wydobywania elementy te muszą zostać złożone w jedną całość, który to proces jest określany jako „rekonstrukcja” wspomnienia. Każdy z elementów może stać się źródłem błędu. Fałszywe wspomnienia polegają na tym, że ludzie pamiętają coś, co w rzeczywistości nie miało miejsca. Osoby biorące udział w jednym z badań twierdziły, że przypominają sobie jakieś słowo, choć naprawdę nigdy go nie słyszały (Roediger i McDermott, 2000). Czy pamiętasz swoje zajęcia w momencie informacji o katastrofie smoleńskiej? Był wtedy ktoś razem z tobą? Coś wtedy robiliście? O czym rozmawialiście? Czy możesz skontaktować się z tymi osobami? Czy ich wspomnienia są takie same jak twoje, czy też odmienne? Podsumowanie Począwszy od Karla Lashley'a, badacze i psychologowie poszukiwali engramów – fizycznych śladów pamięciowych. Lashley ich nie znalazł, ale zasugerował, że wspomnienia są rozmieszczone w całym mózgu, a nie gromadzone w konkretnych obszarach. Dziś wiemy, że szczególną rolę w przetwarzaniu i przechowywaniu różnych typów wspomnień odgrywają trzy obszary: móżdżek, hipokamp i ciało migdałowate. Rolą móżdżku jest przetwarzanie śladów proceduralnych, hipokamp to miejsce, gdzie kodowane są nowe informacje, a ciało migdałowate pomaga określić, które wspomnienia zachować i gdzie je umieścić w zależności od tego, czy niosą ze sobą silny, czy niewielki ładunek emocjonalny. Zdarzenia o dużym ładunku emocjonalnym mogą uwalniać neuroprzekaźniki i hormony wzmacniające wspomnienia, dlatego lepiej pamiętamy zdarzenia, którym towarzyszyły emocje niż ubogie w nie. Dowodem na to są tzw. wspomnienia fleszowe: nasza zdolność do pamiętania ważnych dla nas zdarzeń. Jednak nawet w przypadku zdarzeń, które osobiście przeżyliśmy, pamięć autobiograficzna nie zawsze jest dokładna. Review Questions Fizyczny ślad pamięciowy to ________. engram efekt Lashleya paradygmat Deese'a-Roedigera-McDermott wspomnienie fleszowe A Niezwykle wyraziste wspomnienie ważnego zdarzenia to ________. engram teoria pobudzenia wspomnienie fleszowe hipoteza ekwipotencjalności C Critical Thinking Questions Co może się stać z twoją pamięcią, jeśli uszkodzeniu ulegnie hipokamp? Hipokamp wydaje się być czymś w rodzaju stacji przetwarzania wspomnień deklaratywnych. Uszkodzenie tego obszaru może sprawić, że nie będziesz mógł tworzyć nowych wspomnień tego typu, ale wciąż będziesz nabywać wspomnienia niedeklaratywne (proceduralne, ruchowe i powstające dzięki warunkowaniu klasycznemu). Personal Application Questions Opisz wspomnienie fleszowe jakiegoś znaczącego wydarzenia z twojego życia. koncepcja pobudzenia emocjonalnego (ang. arousal theory ) silne emocje powodują powstawanie silnych wspomnień, a słabsze emocje tworzą słabsze wspomnienia engram (ang. engram ) fizyczny ślad pamięciowy hipoteza ekwipotencjalności (ang. equipotentiality hypothesis ) niektóre części mózgu mogą przejmować tworzenie i przechowywanie wspomnień od innych, uszkodzonych części mózgu pamięć fleszowa (ang. flashbulb memory ) wyjątkowo wyraźne wspomnienie ważnego wydarzenia", "section": "Obszary mózgu zaangażowane w procesy pamięciowe", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Kłopoty z pamięcią Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Porównać i rozróżnić dwa rodzaje amnezji Omówić i ocenić wiarygodność zeznań naocznych świadków Omówić błąd kodowania Omówić różne błędy pamięci Porównać i rozróżnić dwa rodzaje interferencji Możesz zachwycać się swoją umiejętnością zapamiętywania dat urodzin i wieku wszystkich przyjaciół oraz członków rodziny albo tym, że potrafisz przywołać z pamięci szczegóły przyjęcia w McDonaldzie, jakie wyprawiono ci na piąte urodziny. Wszyscy jednak czasem odczuwamy frustrację, a bywa, że zażenowanie, gdy pamięć nas zawodzi. W tym podrozdziale skupimy się na mechanizmach zapominania. Rozpoczniemy od bardzo poważnych zaburzeń pamięci, amnezji, które jednak, na szczęście, nie dotykają większości ludzi. Amnezja Amnezja (ang. amnesia ) (inaczej: niepamięć) oznacza utratę pamięci długotrwałej. Może być efektem choroby, urazu fizycznego albo psychicznego. Endel Tulving (2002) razem ze współpracownikami z University of Toronto przez wiele lat badał pacjenta K. C., u którego ciężka amnezja była skutkiem urazu głowy doznanego w wypadku samochodowym. Tulving pisał: Niezwykłą cechą umysłu K. C. jest jego całkowita niemożność przypomnienia sobie jakichkolwiek zdarzeń, okoliczności czy sytuacji z własnego życia. Jego amnezja obejmuje całe jego przeszłe życie, od narodzin aż do dnia dzisiejszego. Jedynym wyjątkiem są zdarzenia, jakich doświadcza w ciągu ostatniej minuty lub dwóch (Tulving, 2002, str. 14). Amnezja następcza Istnieją dwa główne typy amnezji: następcza i wsteczna ( ). Amnezja następcza często stanowi konsekwencję urazu mózgu, np. spowodowanego uderzeniem w głowę, interwencją chirurgiczną, lub uszkodzenia mózgu w procesie chorobowym. W przypadku amnezji następczej (ang. anterograde amnesia ) chory nie jest w stanie zapamiętywać nowych informacji, choć pamięta dane i zdarzenia sprzed urazu. Ten typ zazwyczaj wiąże się z uszkodzeniem hipokampu (McLeod, 2011). Wskazuje to, że uraz mózgu uniemożliwia przesyłanie informacji z pamięci krótkotrwałej do pamięci długotrwałej, czyli nie dochodzi do konsolidacji śladów pamięciowych. Wiele osób cierpiących na ten rodzaj niepamięci nie potrafi tworzyć nowych wspomnień epizodycznych ani semantycznych, ale wciąż potrafi budować wspomnienia proceduralne (Bayley i Squire, 2002). Tak było w przypadku omawianego wcześniej pacjenta H. M. Uszkodzenie mózgu w wyniku zabiegu chirurgicznego wywołało amnezję następczą. H. M. mógł np. czytać wciąż to samo czasopismo i nie pamiętać, że czytał je kiedykolwiek wcześniej; za każdym razem było dla niego nowe. Nie pamiętał też osób, które poznał po operacji. Gdyby przedstawiono cię temu pacjentowi, a potem na kilka minut wywołano z pokoju, to po powrocie H. M. nie pamiętałby cię. Kiedy jednak przez kilka dni kładziono przed nim te same puzzle, to choć nie pamiętał, że wcześniej je układał, w kolejnych dniach robił to coraz szybciej (zadziałał tu mechanizm powtórnego uczenia się) (Corkin, 1965, 1968). Schemat przedstawia oś czasową dla amnezji wstecznej i następczej. Kłopoty z pamięcią obejmujące okres sprzed urazu i uniemożliwiające wydobywanie informacji zapisanej wcześniej w pamięci długotrwałej określamy mianem „amnezji wstecznej”. Te zaś, które dotyczą okresu po urazie i uniemożliwiają tworzenie nowych wspomnień – „amnezją następczą”. Amnezja wsteczna Amnezja wsteczna (ang. retrograde amnesia ) oznacza utratę dostępu do wspomnień zdarzeń, które nastąpiły przed urazem fizycznym lub psychicznym. Osoby z tym rodzajem niepamięci nie potrafią sobie przypomnieć niektórych, a niekiedy nawet żadnych zdarzeń ze swojej przeszłości. Trudno im też przypomnieć sobie wspomnienia epizodyczne. Pomyśl, jakie byłyby twoje odczucia po obudzeniu się w szpitalu, a przy twoim łóżku stałyby osoby twierdzące, że są twoim mężem/twoją żoną, dziećmi albo rodzicami, a ty nie możesz tego skojarzyć? Jesteś po wypadku, w którym doszło do urazu głowy, i teraz cierpisz na amnezję wsteczną. Nie pamiętasz niczego sprzed tego wypadku, sprzed momentu obudzenia się w szpitalu. Taki opis może wyglądać jak scenariusz hollywoodzkiego filmu. Hollywood bowiem od ponad stu lat, od filmu Garden of Lies z 1915 roku aż po bliższe nam szpiegowskie thrillery o Jasonie Bournie, fascynuje się niepamięcią. Jednak rzeczywistość osób cierpiących na tę przypadłość jest daleka od wizji filmowych. Były gracz NFL Scott Bolzan (ur. 1962) upadł, uderzył się w głowę i w jednej chwili wymazaniu z jego pamięci uległo 46 lat życia. Stanowi on jeden z najbardziej skrajnych opisanych przypadków niepamięci wstecznej. Inny znany przypadek to Clive Wearing (ur. 1938), brytyjski muzyk, który doznał rozległej amnezji na skutek opryszczkowego zapalenia mózgu. Tworzenie i odtwarzanie wspomnień Tworzenie nowych wspomnień określane jest czasem jako ich konstruowanie (ang. construction ) a proces ich przywoływania z zasobów pamięci – jako rekonstruowanie (ang. reconstruction ). Tyle że odtwarzając wspomnienia, mamy tendencję do ich modyfikowania. Wyciągnięty z pamięci długotrwałej do roboczej ślad pamięciowy sprzed lat jest podatny na zmiany. W procesie wydobywania starych wspomnień i łączenia ich z późniejszymi to, co pamiętamy z przeszłości, może zostać rozszerzone o nowe zdarzenia lub zniekształcone. Dzieje się tak, mimo że ludzie zwykle nie zamierzają świadomie zniekształcać faktów (Roediger and DeSoto, 2015). Podatność na sugestię Gdy ktoś jest świadkiem zbrodni, szczegóły, jakie zapamiętał, mogą być bardzo pomocne w ujęciu sprawcy. Świadkom łatwo jednak (nawet przypadkowo) ulec sugestii, bo ludzka pamięć jest ulotna. Podatność na sugestię (ang. suggestibility ) określa sytuację, gdy nieprawdziwe informacje z zewnątrz sprawiają, że tworzymy fałszywe wspomnienia. Jesienią 2002 roku w okolicach Waszyngtonu snajper strzelał do ludzi będących na stacji benzynowej, wychodzących z hipermarketu czy po prostu idących ulicą. Do ataków dochodziło w różnych miejscach przez ponad trzy tygodnie, w sumie zginęło dziesięć osób. Można sobie wyobrazić, że przez cały ten czas ludzie w mieście byli przerażeni. Bali się wychodzić z domów, na zakupy czy nawet do sąsiadów. Policja i FBI intensywnie poszukiwały sprawcy. W tym celu założono specjalną infolinię. Stróże prawa otrzymali na nią ponad 140 tysięcy zgłoszeń, wytypowano ok. 35 tysięcy podejrzanych (Newseum, n.d.). Większość zgłoszeń okazała się fałszywa. Za wartościową uznano dopiero informację, że na miejscu jednej ze strzelanin ktoś zauważył białego vana. Po konferencji prasowej zorganizowanej przez naczelnika policji na infolinię zadzwoniło kilku innych naocznych świadków, by powiedzieć, że oni też widzieli białego vana uciekającego z miejsca strzelaniny. W tym czasie i w tamtym rejonie znajdowało się ponad 70 tys. białych vanów. Policja i cała społeczność skupiły się wyłącznie na takich autach, ponieważ uwierzono relacjom naocznych świadków. Inne wskazówki zignorowano. Gdy w końcu ujęto podejrzanych, okazało się, że poruszali się oni niebieskim sedanem. Ten przykład pokazuje, jak bardzo jesteśmy podatni na siłę sugestii pochodzącej np. z tego, co oglądamy w wiadomościach. Możemy też twierdzić, że pamiętamy coś, co zostało nam jedynie przez kogoś zasugerowane. To właśnie siła sugestii jest źródłem fałszywych wspomnień. Fałszywe zeznania naocznego świadka Choć pamięć jest ulotna, a proces odzyskiwania wspomnień może prowadzić do zniekształceń, policjanci, prokuratorzy i sądy często w śledztwach i procesach polegają na zeznaniach naocznych świadków. Tymczasem fałszywa identyfikacja i takież zeznania mogą prowadzić do skazania niewinnej osoby ( ). Badając sprawy, w których dowód z badania DNA doprowadził do oczyszczenia podejrzanego z zarzutów, organizacja Projekt Niewinność odkryła, że główną przyczyną skazania niewłaściwej osoby była mylna identyfikacja przez naocznego świadka. (Źródło: Benjamin N. Cardozo School of Law, Yeshiva University, 2009). Jak dochodzi do takich sytuacji? W 1984 roku brutalnie zgwałcono 22-letnią Jennifer Thompson, studentkę z Karoliny Północnej, grożąc jej nożem. W trakcie gwałtu dziewczyna starała się zapamiętać każdy szczegół wyglądu twarzy i ciała napastnika, przyrzekłszy sobie, że jeśli przeżyje, doprowadzi do jego skazania. Policja sporządziła portret pamięciowy napastnika, a studentce pokazano sześć zdjęć. Wybrała dwa. Na jednym z nich był Ronald Cotton. Dziewczyna patrzyła na fotografię przez jakieś 5 minut, a potem powiedziała „Tak, to ten”, po czym dodała jeszcze „Myślę, że to ten facet”. Gdy prowadzący sprawę detektyw dopytywał, czy jest pewna, potwierdziła. Potem pytała policjanta, czy dobrze jej poszło, a on umocnił ją w tym przekonaniu, mówiąc, że świetnie się sprawiła. Ten rodzaj niezamierzonych wskazówek i sugestii, jakich mogą udzielać policjanci, potrafi sprawić, że naoczny świadek zidentyfikuje niewłaściwego podejrzanego. Prokurator okręgową zaniepokoił brak pewności ofiary przy pierwszym okazaniu, doprowadziła więc do kolejnego, w trakcie którego pokazano studentce siedmiu mężczyzn. Jennifer powiedziała, że waha się między numerem 4 a 5, ale w końcu zdecydowała, że to piątka - Ronald Cotton: „najbardziej go przypomina”. Chłopak miał wtedy 22 lata. Do rozpoczęcia procesu dziewczyna była już absolutnie pewna, że została zgwałcona przez Ronalda Cottona. Zeznając przed sądem, była tak przekonująca, że jej zeznanie doprowadziło do skazania. Jak doszła od „Myślę, że to był ten facet” i „Najbardziej go przypomina” do takiej pewności? Gary Wells i Deah Quinlivan (2009) twierdzą, że to efekt sugestywności policyjnych procedur, takich jak ustawianie osób do identyfikacji w taki sposób, by podejrzany był bardziej z przodu niż inni, co sugeruje ofierze, kogo ma wybrać, i utwierdzanie jej w wyborze słowami „Dobry wybór” albo „Znalazłaś go”. Po tym, jak Cotton został skazany za gwałt, trafił do więzienia z wyrokiem dożywocia plus 50 lat. Po 4 latach udało się wznowić proces. Jennifer Thompson ponownie zeznawała przeciw niemu i tym razem wyrok brzmiał: podwójne dożywocie. Po 11 latach w więzieniu test DNA wykazał w końcu, że to nie Cotton był gwałcicielem, że jest niewinny i że przez ponad 10 lat odsiadywał wyrok za zbrodnię, której nie popełnił. Jeśli chcesz dowiedzieć się więcej o Ronaldzie Cottonie i ułomnościach pamięci, obejrzyj część 1 i część 2 tego świetnego programu 60 Minutes . Historia Ronalda Cottona nie jest, niestety, jedyną. Zdarza się, że oskarżony zostaje skazany na śmierć, a później oczyszczony z zarzutów. Projekt Niewinność to organizacja non-profit, która wspiera niesłusznie skazanych, w tym i takich, których skazano na podstawie zeznań naocznych świadków. Chcesz dowiedzieć się więcej? Odwiedź stronę http://www.innocenceproject.org. Zachowując wspomnienia naocznego świadka: przypadek Elizabeth Smart Zestawmy teraz przypadek Cottona z tym, co przytrafiło się Elizabeth Smart (ur. 1987). Gdy Elizabeth miała 14 lat i spała w swoim łóżku, ktoś wdarł się do jej rodzinnego mieszkania i uprowadził, grożąc nożem. Jedynym świadkiem przestępstwa była jej dziewięcioletnia, przerażona przebiegiem zdarzeń siostra, Mary Katherine. W kolejnych tygodniach FBI i policja z Salt Lake City pracowały z dziewczynką bardzo ostrożnie. Nikt nie chciał w żaden sposób na nią wpływać ani zrobić czegoś, co mogłoby zaszczepić w niej fałszywe wspomnienia. Nie okazano jej podejrzanych ani nie proszono, by pomogła sporządzić portret pamięciowy. Służby wiedziały, że jeśli zaczną igrać z pamięcią Mary Katherine, mogą nigdy nie odnaleźć Elizabeth. Przez długi czas sprawa niemal nie posuwała się do przodu. I nagle, po jakichś 4 miesiącach od porwania, Mary Katherine po raz pierwszy przypomniała sobie, że głos porywacza słyszała już wcześniej przed feralną nocą (raz pracował w jej rodzinnym domu jako złota rączka), a potem udało jej się zidentyfikować ten głos. Rodzina skontaktowała się z prasą i inne osoby też go rozpoznały. Został schwytany, a Elizabeth Smart wróciła do rodziców po dziewięciu miesiącach śledztwa. Efekt dezinformacji Psycholog poznawcza Elizabeth Loftus (ur. 1944) prowadziła szeroko zakrojone badania nad pamięcią. Interesowały ją fałszywe wspomnienia, jak również odzyskane wspomnienia o molestowaniu w dzieciństwie. Loftus jest też odkrywczynią paradygmatu efektu dezinformacji (ang. misinformation effect paradigm ), zgodnie z którym ekspozycja na fałszywą informację może wywołać zakłócenia w prawidłowym odtwarzaniu wcześniej zapamiętanego zdarzenia. Zdaniem Loftus w związku z efektem dezinformacji u naocznego świadka wspomnienie zdarzenia może się zmieniać. Żeby sprawdzić prawdziwość tej teorii, Loftus wraz z Johnem Palmerem (1974) poprosili 45 amerykańskich studentów o określenie szybkości samochodów uczestniczących w wypadku. Za każdym razem pytanie formułowano w inny sposób ( ). Uczestnikom pokazywano scenki wypadków samochodowych, kazano im odgrywać rolę naocznego świadka i opisywać, co się stało. Pytano ich: „Jak szybko jechały samochody zanim uległy zmiażdżeniu / stuknięciu w siebie / wpadły na siebie / walnęły się / miały stłuczkę?”. Okazało się, że uczestnicy odmiennie oceniali szybkość samochodów zależnie od tego, jakim słowem opisano zdarzenie. Ci, którym powiedziano, że auta roztrzaskały się, oceniali ich prędkość na o wiele wyższą niż ci, którzy dostali informację, że samochody miały stłuczkę. Pośrednia informacja o prędkości, wynikająca z podanego słowa, miała więc wpływ na to, jak uczestnicy zapamiętywali wypadek. Po tygodniu byli pytani, czy widzieli rozbite szkło (na oryginalnych filmach niczego takiego nie było). I znów ci, którym podano słowo „zmiażdżone”, ponad dwa razy częściej informowali, że pamiętają rozbite szkło. Loftus i Palmer wykazali w ten sposób, że pytanie sugerujące nie tylko każe im oceniać prędkość aut jako większą, ale nawet sprawia, że widzą rozbite szkło, którego nie było. Gdy świadkom zdarzenia zadaje się pytania sugerujące, ich pamięć tego zdarzenia może ulec zniekształceniu. (Źródło: zdjęcie (a): modyfikacja pracy Roba Younga). Kontrowersje wokół odzyskiwania tłumionych wspomnień Badacze opisali również, jak można „przypomnieć” sobie wspomnienia nie tylko pojedynczych słów, lecz także całych wydarzeń, które w rzeczywistości wcale nie miały miejsca. Z tym zagadnieniem wiąże się zjawisko wypierania traumatycznych zdarzeń. Zjawisko to jest głównym tematem dziedziny psychologii zapoczątkowanej przez Zygmunta Freuda (1856-1939), a otaczające go kontrowersje są żywe do dziś. Wydobywanie nieprawdziwych wspomnień jest określane jako syndrom fałszywych wspomnień autobiograficznych (ang. false memory syndrome ), szeroko opisywany w mediach, przede wszystkim dlatego, że dotyczy wspomnień zdarzeń, przy których nie było niezależnych świadków. Często jedynymi osobami, które wiedzą o danym zdarzeniu, są sprawca i ofiara, dzieje się tak np. w przypadku wykorzystywania seksualnego. W dyskusji na ten temat po jednej stronie stoją ci, którzy po latach od molestowania odzyskali wspomnienia. Badacze twierdzą, że niektóre przeżycia z dzieciństwa są tak traumatyczne i dręczące, że dziecko musi je zamknąć z dala od świadomości, by móc wieść w miarę normalne życie. Uważają, że tłumione wspomnienia mogą pozostawać w uśpieniu nawet dziesiątki lat, a potem zostać wydobyte w idealnym stanie, np. dzięki hipnozie czy technikom wspomaganej wizualizacji (Devilly, 2007). Z badań wynika, że wyparcie wspomnień o byciu wykorzystywanym w dzieciństwie jest u dorosłych całkiem powszechne. Jedno z dużych badań prowadzone przez Johna Briere'ego i Jona Conte'ego (1993) ujawniło, że 59% z 450 mężczyzn i kobiet, którzy wymagali terapii z powodu molestowania ich przed 18. rokiem życia, zapomniało o tych przeżyciach. Ross Cheit (2007) zasugerował, że wyparcie tych wspomnień stanowi przyczynę psychologicznych napięć w życiu dorosłym. Dlatego właśnie, z myślą o ofiarach seksualnego wykorzystywania w dzieciństwie, powołano Recovered Memory Project. Jego celem jest pomoc pokrzywdzonym w przypomnieniu sobie traumatycznych zdarzeń, by można było rozpocząć proces zabliźniania ran psychicznych (Cheit, 2007; Devilly, 2007). Z drugiej strony inni badacze, np. wspomniana już Elizabeth Loftus , podważają tezę, że jednostki mogą wyprzeć traumatyczne wspomnienia z dzieciństwa, w tym wykorzystywania seksualnego, a potem przypominać sobie te zdarzenia dzięki hipnozie, technikom wspomaganej wizualizacji czy regresji wiekowej. Loftus nie twierdzi, że wykorzystywanie seksualne się nie zdarza; kwestionuje jednak dokładność takich wspomnień i podchodzi sceptycznie do procesu zadawania pytań stosowanych w celu ich wydobycia, gdyż nawet najmniejsza sugestia ze strony terapeuty może wywołać efekt dezinformacji. Naukowcy Stephen Ceci i Maggie Brucks (1993, 1995) prosili trzylatki, by wykorzystując anatomicznie dokładne lalki, pokazały, gdzie dotykał ich lekarz pediatra podczas ostatniego badania. 55% dzieci wskazało na genitalia / okolice odbytu lalki, nawet jeśli lekarz nie badał tamtych okolic. Od czasu, gdy w latach 70. Loftus opublikowała pierwsze badania na temat wpływu sugestii na zeznania naocznych świadków, socjologowie, policjanci, terapeuci i prawnicy zdają sobie sprawę z błędów popełnianych w trakcie przesłuchań. W efekcie podjęto kroki, by zmniejszyć wpływ sugestii na świadków. Jednym z nich jest zmiana sposobu zadawania pytań. Gdy przesłuchujący używają neutralnego, mniej sugerującego języka, dzieci dokładniej przypominają sobie, co się stało i kto brał w tym udział (Goodman, 2006; Pipe, 1996; Pipe et al., 2004). Kolejną zmianą jest modyfikacja prowadzenia okazań. Zaleca się, by osoba pokazująca zdjęcia potencjalnych przestępców nie wiedziała, który z nich jest podejrzanym. W ten sposób zmniejsza się ryzyko, że nieświadomie zasugeruje się coś świadkowi. Do tego w niektórych stanach USA sędziowie informują obecnie członków ławy przysięgłych o możliwości mylnej identyfikacji podejrzanego. A wszędzie na świecie sędziowie mogą odrzucić zeznanie naocznego świadka, jeśli uznają je za niewiarygodne. Zapominanie „Mam świetną pamięć do zapominania” - żartował dziewiętnastowieczny szkocki powieściopisarz Robert Louis Stevenson. Termin zapominanie (ang. forgetting ) oznacza utratę informacji zapisanej kiedyś w pamięci trwałej. Wszyscy czasem zapominamy: datę urodzin ukochanej osoby, czyjeś imię albo gdzie położyliśmy kluczyki od samochodu. Wiesz już, że pamięć jest ulotna, a zapominanie bywa powodem frustracji i zażenowania. Jednak właściwie dlaczego zapominamy? Żeby odpowiedzieć na to pytanie, przyjrzymy się temu zjawisku bliżej i z różnych perspektyw. Błąd kodowania Czasem zapominanie zaczyna się jeszcze przed uruchomieniem procesu zapamiętywania. Nazywamy to błędem kodowania . Nie można przecież pamiętać czegoś, czego nigdy nie wprowadziliśmy do zasobów pamięci. To trochę jak próba odnalezienia w czytniku książki, której nigdy tam nie załadowaliśmy. Często, by coś zapamiętać, musimy zwracać uwagę na szczegóły i aktywnie skupiać się na przetwarzaniu informacji (kodowanie kontrolowane). W wielu przypadkach tego nie robimy. Każdy Amerykanin wielokrotnie widział monetę o nominale 10 centów. Czy jednak potrafi precyzyjnie odtworzyć wygląd awersu? Gdy to pytanie zadali Raymond Nickerson i Marilyn Adams (1979), odkryli, że większość Amerykanów nie umie wskazać właściwej monety. To najprawdopodobniej efekt błędu kodowania. Większość nigdy nie zadała sobie trudu, by zapamiętać szczegóły tej monety. Na co dzień wystarcza przecież zapamiętanie cech pozwalających odróżnić ją od innych nominałów. Jeśli nie zakodujemy jakiejś informacji, nie może ona trafić do pamięci długotrwałej, a zatem nie możemy jej sobie potem przypomnieć. Która z tych monet odpowiada rzeczywistym 10 centom? (a), (b), (c), czy (d)? Prawidłowa odpowiedź to (c). Błędy pamięci Psycholog Daniel Schacter (2001), znany badacz pamięci, przedstawił siedem sposobów, na to, że nasza pamięć może nas zwieść. Nazwał je siedmioma grzechami pamięci (ang. seven sins of memory ) i podzielił na trzy grupy: zapominanie, zniekształcanie i ingerencje ( ). Siedem grzechów pamięci wg Schactera. Grzech Typ Opis Przykład nietrwałość zapominanie dostęp do wspomnień słabnie z czasem zapominanie dawnych zdarzeń roztargnienie zapominanie zapominanie wywołane nieuwagą zapominanie, gdzie się położyło telefon blokowanie zapominanie czasowo zablokowany dostęp do śladu pamięciowego gdy mamy coś „na końcu języka” błędna atrybucja zniekształcanie mylenie źródła wspomnień branie marzeń lub snów za wspomnienia z rzeczywistości podatność na sugestię zniekształcanie fałszywe wspomnienia np. efekt pytań naprowadzających tendencyjność zniekształcanie wspomnienia są zniekształcane przez aktualne poglądy i wierzenia dopasowywanie wspomnień do obecnych poglądów uporczywość ingerencja niezdolność do wyrzucenia z pamięci niechcianych wspomnień traumatyczne zdarzenia Spójrzmy na pierwszy z grzechów pamięci: nietrwałość (ang. transcience ), czyli fakt, że wspomnienia z czasem bledną w naszym umyśle. Przykład? Nauczyciel zadał uczniom przeczytanie Ferdydurke . Sebastian wrócił do domu i powiedział mamie, że musi przeczytać tę lekturę. „Och, uwielbiałam ją!” – zawołała mama. Chłopiec zapytał ją więc, o czym opowiada powieść. Po chwili wahania kobieta powiedziała „Hm, pamiętam, że czytałam ją w liceum i że główny bohater miał na imię Józio, i że jego nauczycielem był profesor Pimko, ale – szczerze mówiąc – niewiele więcej”. Nathan zastanawiał się, czy jego mama naprawdę przeczytała tę książkę, a ona sama była zdziwiona, że tak niewiele z niej pamięta. To, co się stało, to rozpad śladów pamięciowych; nieużywane informacje z czasem bledną i znikają. W 1885 roku niemiecki psycholog Hermann Ebbinghaus (1850-1909) przeanalizował na sobie proces zapamiętywania. Najpierw starał się zapamiętać zestawy bezsensownych sylab. Potem sprawdzał, ile zapamiętał (ile pozostało w jego pamięci), gdy próbował ponownie nauczyć się tego samego zestawu. Testy przeprowadzał w różnych odstępach czasowych: od 20 minut po 30 dni od pierwszego zapamiętania. Efektem badań jest słynna krzywa zapominania ( ). Z powodu błędów przechowywania przeciętny człowiek po 20 minutach traci połowę z zapamiętanych informacji, a po 4 godzinach – aż 70% (Ebbinghaus, 1885/1964). Pamięć świeżych zdarzeń słabnie szybko, ale potem jej poziom się stabilizuje. Chociaż pierwotne badanie Ebbinghausa obejmowało tylko jednego badanego, zostało przeprowadzone z wielkim rygoryzmem metodologicznym, a niezliczone późniejsze replikacje potwierdziły sformułowane przez niego wnioski. Krzywa zapominania Ebbinghausa pokazuje, jak szybko nowe informacje ulatują z pamięci. Wciąż gubisz telefon? Zdarzyło ci się wracać do domu, by sprawdzić, czy na pewno kuchenka jest wyłączona lub wtyczka od żelazka wyjęta z kontaktu? A może czasami uświadamiasz sobie w pół drogi do pokoju, że właściwie nie pamiętasz, po co tam idziesz? Większość z nas odpowiedziałaby pozytywnie przynajmniej na jedno z tych pytań, a wielu – na wszystkie. Nie ma się jednak co martwić, to powszechna przypadłość. Każdy jest podatny na błąd zwany roztargnieniem ( ang. absentmindedness ). Te luki w pamięci wywołane są chwilowym brakiem skupienia lub tym, że w trakcie jakiejś czynności nasz umysł jest zajęty czymś innym. Psycholożka Cynthia przypomina sobie, kiedy ostatnio popełniła grzech roztargnienia. Kiedy jako biegła przygotowywałam oceny psychologiczne, za każdym razem, gdy wchodziłam do budynku sądu, dostawałam jednorazowy identyfikator z paskiem magnetycznym, który otwierał zamknięte dla innych drzwi. Jak możecie sobie wyobrazić, w sądzie taki identyfikator jest wiele wart i nikt nie chciałby, żeby się zgubił albo – co gorsza – dostał w ręce przestępcy. Pod koniec dnia oddawałam identyfikator. Któregoś razu, gdy już niemal kończyłam ocenę, zadzwonili z przedszkola mojej córki z informacją, że jest chora i trzeba po nią przyjechać. Był sezon grypowy, nie wiedziałam, jak córka się czuje, byłam bardzo zaniepokojona. Skończyłam ewaluację w 10 minut, spakowałam swoją teczkę i wybiegłam odebrać dziecko. Gdy już wiozłam ją do domu, nie mogłam sobie przypomnieć, czy zwróciłam przepustkę, czy też zostawiłam ją na stole. Niezwłocznie zadzwoniłam do sądu, by to sprawdzić, i okazało się, że oddałam ją jak zwykle. Dlaczego tego nie pamiętałam? (zapiski osobiste, 5 września, 2013) A kiedy tobie ostatnio zdarzyło się być roztargnionym? „Poszliśmy na film Niepamięć , z tym słynnym aktorem... jak on się nazywa... Grał w tych wszystkich filmach... Skazani na Shawshank i trylogii Mroczny rycerz . Chyba nawet dostał Oscara. O kurczę, mam przed oczyma jego twarz, słyszę jego głos, ale nie mogę sobie przypomnieć nazwiska! Będzie mnie to teraz prześladować, dopóki sobie nie przypomnę!”. Ten błąd pamięci jest szczególnie frustrujący, bo informację mamy w zasadzie na końcu języka. Zdarzyło ci się tak kiedyś? Jeśli tak, to masz za sobą błąd zwany blokowaniem (ang. blocking ): chwilowo nie masz dostępu do przechowywanej informacji ( ). Blokowanie to inaczej zjawisko „mam to na końcu języka”. Wiemy, że to wspomnienie jest w nas, tylko nie możemy go przywołać, np. nie potrafimy sobie przypomnieć nazwiska tak słynnego aktora jak Morgan Freeman. (Źródło: modyfikacja pracy D. Miller). Teraz przyjrzyjmy się trzem błędom zniekształcania: błędnej atrybucji, podatności na sugestię i tendencyjności. Z błędną atrybucją (ang. misattribution ) mamy do czynienia, gdy mylimy się co do źródła zapamiętanych informacji. Powiedzmy, że Aleksander spotykał się z Łucją i razem obejrzeli pierwszy film z serii Hobbit . Potem się rozstali i Aleksander obejrzał drugi film z tej serii z kimś innym. A potem znów do siebie wrócili i któregoś dnia rozmawiali o tym, jak różni się książka od filmu. Aleksander powiedział do Łucji: „Fajnie mi się z tobą oglądało drugi film; pamiętam, jak podskoczyłaś na fotelu przy tej strasznej scenie”. Dopiero gdy Łucja popatrzyła na niego gniewnie i z zadziwieniem, Aleksander uświadomił sobie, że właśnie dokonał błędnej atrybucji. A co, jeśli ktoś padł ofiarą gwałtu krótko po tym, jak oglądał program telewizyjny? Czy jest możliwe, żeby przez błędną atrybucję przypisał gwałt osobie, którą oglądał na ekranie? To właśnie przytrafiło się Donaldowi Thomsonowi (1901-1970). Australijski ekspert ds. wiarygodności naocznych świadków, Donald Thomson, wystąpił w programie na żywo, gdzie wypowiadał się na ten temat. Niedługo potem został aresztowany, postawiony do okazania razem z innymi mężczyznami i zidentyfikowany przez ofiarę jako gwałciciel. Policja oskarżyła go o napaść, mimo że do gwałtu doszło w czasie, gdy Thomson był w telewizji. Odrzucono jego alibi, choć tysiące ludzi widziały go w tym czasie w towarzystwie innych panelistów, w tym zastępcy komendanta miejscowej policji... W końcu śledczy odkryli, że gwałciciel zaatakował kobietę w czasie, gdy ta oglądała program z Thomsonem. Sąd oczyścił eksperta z zarzutów. Kobieta pomyliła twarz gwałciciela z twarzą, którą właśnie oglądała na ekranie telewizora. (Źródło: Baddeley, 2004, str. 133). Kolejnym błędem zniekształcania jest podatność na sugestię (ang. suggestibility). To błąd podobny do błędnej atrybucji; też obejmuje fałszywe wspomnienia, ale różni się od wyżej opisanego. W błędnej atrybucji sami tworzymy fałszywe wspomnienie, tak jak zrobiła to ofiara gwałtu w przypadku Thomsona. Sugestia wymaga, by fałszywe wspomnienie podał nam ktoś z zewnątrz, np. terapeuta albo policjant przesłuchujący nas w charakterze świadka i zadający naprowadzające pytania. Wspomnienia mogą też ulec tendencyjności (ang. bias ). To ostatni z błędów zniekształcania. Schacter (2001) twierdzi, że emocje i pogląd na świat mogą zniekształcać wspomnienia przeszłych wydarzeń na kilka sposobów. Błąd stereotypu obejmuje wypaczenia związane z rasą i płcią. Przykład? Gdy Amerykanom pochodzenia azjatyckiego i europejskiego (kaukaskiego) prezentowano listę imion, częściej błędnie zapamiętywali imiona stereotypowo afroamerykańskie (np. Jamal, Tyrone) jako powiązane z zawodem koszykarza, natomiast imiona stereotypowo kojarzone z osobami białymi (jak Greg, Howard) – jako powiązane z zawodem polityka (Payne, Jacoby i Lambert, 2004). Błąd egocentryzmu obejmuje przypisywanie samemu sobie ważniejszej roli niż w rzeczywistości (Payne et al., 2004). Czy naprawdę to my przed laty zdobyliśmy zwycięskiego gola w ważnym meczu, czy tylko przy nim asystowaliśmy? Błąd pewności wstecznej zachodzi, gdy po fakcie mamy wrażenie, że od zawsze wiedzieliśmy, jak coś się skończy. Znany jest też jako fenomen „ja to od początku przeczuwałem”. Do tego typu zniekształceń pamięci przyczynia się rekonstrukcyjny charakter wspomnień (Carli, 1999). Generujemy fałszywe wspomnienia, które wydają się potwierdzać naszą rzekomą nieomylność. Czy zdarzyło ci się kiedyś, że w głowie uporczywie wybrzmiewały ci dźwięki piosenki? Albo powracały w myślach wspomnienia wstrząsającego zdarzenia, o którym lepiej byłoby zapomnieć? Stan, gdy wspomnienie wciąż powraca i nie można go wyrzucić z głowy do tego stopnia, że nie da się skupić na niczym innym, określamy mianem uporczywości (ang. persistence ). To siódmy i ostatni grzech pamięci wg Daniela Schactera (ur. 1952). Tak naprawdę to błąd naszej pamięci wyzwalający wspomnienia (szczególnie te przykre) bez naszej woli, a często wbrew niej ( ). Dzieje się tak, gdy np. w drodze do pracy jesteś świadkiem strasznego wypadku drogowego i potem nie możesz się skupić na pracy, bo cały czas przez głowę przelatują ci tamte dramatyczne sceny. Wielu weteranów wojennych pamięta straszne zdarzenia, o których wolałoby zapomnieć. (Źródło: Department of Defense; zdjęcie zrobił tech. sgt Michael R. Holzworth - U.S. Air Force). Interferencja Bywa, że informacja tkwi gdzieś w zasobach pamięci, ale z jakiegoś powodu nie mamy do niej dostępu. Taką sytuację nazywamy interferencją. Istnieją dwa jej typy: proaktywna i retroaktywna ( ). Zdarzyło ci się może zmienić numer telefonu albo przeprowadzić się pod nowy adres, ale jeszcze przez jakiś czas podawać ludziom stary (i już nieaktualny) numer lub adres, a na początku nowego roku nieświadomie wpisywać w dokumentach stary? To przykłady interferencji proaktywnej (ang. proactive interference ): gdy stare informacje utrudniają przywołanie nowych, świeżo zapamiętanych. Z kolei interferencja retroaktywna (ang. retroactive interference ) zachodzi, gdy świeżo zakodowana informacja utrudnia przywołanie starszych wspomnień. Przykład? W tym tygodniu uczymy się o pamięci, w tym o mechanizmie wypierania niechcianych wspomnień według Freuda. W następnym zgłębiamy rozwój w biegu życia i teorię Eriksona rozwoju psychospołecznego. Efekt? W kolejnym tygodniu nie możemy przypomnieć sobie poglądów Freuda na temat zapominania, bo pamiętamy tylko teorię Eriksona. Czasem zapominanie wynika z niemożności odzyskania informacji. Może to być skutkiem interferencji proaktywnej albo retroaktywnej. Podsumowanie Każdy z nas bywa skonsternowany, sfrustrowany, a nawet zażenowany tym, że pamięć go zawodzi. Pamiętajmy, że jest ona elastyczna i podatna na błędy. To dlatego zeznania naocznych świadków są z reguły mało wiarygodne. Istnieje wiele przyczyn zapominania. Urazy głowy lub choroby mogą wywoływać bardzo poważne problemy z pamięcią: amnezję, której istotą jest zapominanie. Inna przyczyna to błąd kodowania informacji. Przecież nie można pamiętać czegoś, czego się nigdy nie włożyło do magazynu pamięci. Schacter opisał siedem grzechów pamięci, które odgrywają rolę w zapominaniu. Czasami informacje są kodowane, lecz nie możemy ich odzyskać z powodu interferencji. Z interferencją proaktywną mamy do czynienia, gdy starsze dane utrudniają przywołanie tych świeżo zapamiętanych. Retroaktywna zaś występuje, gdy świeższe wspomnienia utrudniają wydobycie tych dawniejszych. Review Questions ________ zachodzi, gdy we wspomnieniach przeszłych wydarzeń przedstawiamy się w lepszym świetle, niż to było w rzeczywistości. Błąd stereotypu Błąd egocentryzmu Błąd pewności wstecznej Błąd wzmocnienia B Zjawisko „mam to na końcu języka” nosi też nazwę ________. uporczywości błędnej atrybucji nietrwałości blokowania D Tworzenie nowych wspomnień jest też nazywane ________, proces odzyskiwania starych zaś ________. konstruowaniem; rekonstruowaniem rekonstruowaniem; konstruowaniem tworzeniem; odtwarzaniem odtwarzaniem; tworzeniem A Critical Thinking Questions Porównaj dwa typy interferencji i podaj występujące między nimi różnice. Wyodrębniamy dwa rodzaje interferencji: retroaktywną i proaktywną. Oba należą do typów zapominania zależnych od niemożności poprawnego rekonstruowania informacji. W interferencji retroaktywnej nowe dane utrudniają wydobycie z zasobów tych starszych. W proaktywnej jest odwrotnie: stare informacje utrudniają rekonstruowanie świeżo zapamiętanych. Porównaj dwa typy amnezji i podaj różnice między nimi. Wyróżniamy amnezję wsteczną i amnezję następczą. W obu dochodzi do utraty danych z pamięci trwałej z powodu choroby, urazu fizycznego lub psychicznego. W amnezji następczej dotknięta nią osoba nie potrafi zapamiętywać nowych danych, ale pamięta to, co zapamiętała przed urazem. We wstecznej jest na odwrót: chory traci dostęp do pamięci zdarzeń sprzed urazu. Personal Application Questions Który z siedmiu grzechów pamięci wg Schactera jest i twoim udziałem? Podaj przykład na każdy z nich. Przysięgli przywiązują dużą wagę do zeznań naocznych świadków. Wyobraź sobie, że jesteś adwokatem reprezentującym oskarżonego o napad na market. Oskarżenie powołało wielu naocznych świadków zdarzenia. Co należałoby powiedzieć przysięgłym na temat rzetelności takich zeznań? roztargnienie (ang. absentmindedness ) błędy pamięciowe wywołane przez brak uwagi lub skupianie się na czymś innym amnezja (ang. amnesia ) utrata pamięci długotrwałej na skutek choroby, urazu fizycznego lub traumy psychicznej amnezja następcza (ang. anterograde amnesia ) utrata pamięci zdarzeń występujących po urazie mózgu tendencyjność (ang. bias ) sytuacja, gdy uczucia i postrzeganie świata zniekształcają pamięć przeszłych wydarzeń blokowanie (ang. blocking ) błąd pamięci polegający na braku dostępu do przechowywanej informacji konstruowanie (ang. construction ) tworzenie nowych wspomnień syndrom fałszywych wspomnień autobiograficznych (ang. false memory syndrome ) przywoływanie wspomnień autobiograficznych niezgodnych z faktycznym przebiegiem zdarzeń zapominanie (ang. forgetting ) utrata informacji z pamięci długotrwałej błędna atrybucja (ang. misattribution ) błąd pamięci polegający na pomyleniu źródła informacji paradygmat efektu dezinformacji (ang. misinformation effect paradigm ) po ekspozycji na nieprawdziwą informację może powstać błędne wspomnienie oryginalnego zdarzenia uporczywość (ang. persistence ) błąd pamięci polegający na mimowolnym przywoływaniu niechcianych wspomnień, szczególnie nieprzyjemnych rekonstruowanie (ang. reconstruction ) proces przywoływania starszych wspomnień, który może zostać zakłócony przez nowe informacje interferencja retroaktywna (ang. retroactive interference ) świeżo zakodowane informacje utrudniają odtwarzanie zapamiętanych wcześniej amnezja wsteczna (ang. retrograde amnesia ) utrata pamięci zdarzeń sprzed urazu mózgu podatność na sugestię (ang. suggestibility) błędna informacja pochodząca z zewnętrznego źródła, prowadząca do powstawania fałszywych wspomnień nietrwałość (ang. transience ) błąd pamięci polegający na słabnięciu wspomnień wraz z upływem czasu", "section": "Kłopoty z pamięcią", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Sposoby na poprawę pamięci Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozpoznawać i stosować strategię poprawiające pamięć Rozpoznawać i stosować skuteczne techniki uczenia się Większości z nas zdarzają się problemy z pamięcią i prawie wszyscy chcielibyśmy ją usprawnić, żeby nigdy nie mieć wątpliwości, gdzie położyliśmy kluczyki od samochodu albo – co ważniejsze – zapamiętać cały materiał, z jakiego będziemy odpytywani na egzaminie. W tym podrozdziale przyjrzymy się niektórym metodom usprawniania pamięci i strategiom skuteczniejszego uczenia się. Strategie usprawniania pamięci Jakie są proste sposoby na usprawnienie pamięci, w tym przywoływanie wspomnień? Żeby informacja nie zgubiła się w drodze z pamięci krótkotrwałej do magazynu pamięci długotrwałej, możesz zastosować jedną ze strategii zapamiętywania (ang. memory enhancing strategy ). Taką jak powtarzanie (ang. rehearsal ), czyli świadome powtarzanie danych, które chcemy zapamiętać (Craik i Watkins, 1973). Przypomnij sobie naukę tabliczki mnożenia z podstawówki: 6 · 6 = 36, 6 · 7 = 42, a 6 · 8 = 48. Zapamiętywanie takich faktów odbywa się właśnie przez powtarzanie. Inną strategią jest grupowanie (ang. chunking ), określane także jako porcjowanie, czyli organizowanie informacji w łatwiej przyswajalne fragmenty (Bodie et al., 2006). Grupowanie przydaje się, gdy chcemy zapamiętać takie informacje, jak daty i numery telefonów. Zamiast próbować zapamiętać 127555046, pamiętasz ten numer jako 12-755-50-46. Jeśli więc spotkasz na przyjęciu interesującą osobę i chcesz zapamiętać numer jej telefonu, naturalną rzeczą będzie podzielenie go na kawałki oraz powtarzanie ich w myślach, czyli zastosowanie strategii powtarzania. Zagraj w tę zabawę , w której znajdują zastosowanie strategie zapamiętywania. Pamięć można także wzmacniać dzięki stosowaniu powtarzania opracowującego (ang. elaborative rehearsal ): techniki, w której zapamiętując, myślisz o znaczeniu nowej informacji i próbujesz ją powiązać z tym, co już znasz i masz w magazynie pamięci (Tigner, 1999). Powtarzanie opracowujące obejmuje zarówno wiązanie zapamiętywanych danych z wiedzą przechowywaną w pamięci, jak i powtarzanie tych informacji. Wracając do naszego przykładowego numeru, możesz przywołać z pamięci, że 12 to kierunkowy do Krakowa i okolic, a osoba, której telefon próbujesz zapamiętać, jest właśnie z Krakowa. To pewnie sprawi, że lepiej zapamiętasz numer, a informacja przejdzie do magazynu pamięci długotrwałej. Mnemotechniki (ang. mnemonic devices ) to sposoby, dzięki którym łatwiej nam uporządkować informacje, które chcemy zakodować ( ). Szczególnie przydatne są, gdy pragniemy przywołać z pamięci duże pakiety danych: kroki, fazy, etapy czy części systemu (Bellezza, 1981). Bartek chce nauczyć się kolejności planet w Układzie Słonecznym, ale ma z tym problem. Jego przyjaciółka Kasia sugeruje mu mnemotechnikę: niech po prostu zapamięta obco brzmiące nazwisko: Mr. VEM J. SUN. Kolejne litery kryją nazwy planet (oczywiście po angielsku): M ercury, V enus, E arth, M ars, J upiter, S aturn, U ranus i N eptune. Po polsku moglibyśmy użyć np. zdania-podpowiedzi: M arysia W oli Z jeść M arsa, J uż S obie U patrzyła N akrycie. Mnemotechniki pomagają zapamiętywać imiona, równania czy kolejność wykonywania działań matematycznych. Ta mnemotechnika wykorzystująca kostki palców pomaga zapamiętać, jaka jest liczba dni w każdym miesiącu. Kostki reprezentują te miesiące, które mają po 31 dni, pozostałym miesiącom odpowiadają dołki pomiędzy nimi. (Źródło: modyfikacja pracy Cory Zanker). Przykład takiej mnemotechniki mogliśmy zobaczyć w serialu Współczesna rodzina. Phil Dunphy wyjaśnia tam, jak zapamiętuje nazwiska: Wtedy spotkałem tego faceta imieniem Karl. Jasne, mogłem to imię zapomnieć, ale właśnie wtedy miałem na sobie koszulkę zespołu Grateful Dead. Jaki zespół gra podobnie jak Grateful Dead? Phish. Fish to ryba, gdzie żyją ryby? W oceanie. A co jeszcze żyje w oceanie? Koral. No halo: Koarl (Wrubel i Spiller, 2010). Wydaje się, że im bardziej aktywna lub niezwykła mnemotechnika, tym lepiej pomaga w zapamiętywaniu. Kluczowe jest znalezienie takiej, która sprawdzi się w twoim przypadku. Obejrzyj fascynujący wykład TED zatytułowany Feats of Memory Anyone Can Do ( Zadziwiające możliwości pamięci, dostępne dla każdego ). Wykład wygłasza Joshua Foer (ur. 1982), pisarz naukowy, który niechcący został pamięciowym mistrzem USA (U. S. Memory Champion). Wyjaśnia w nim zasady mnemotechniki znanej jako pałac pamięci (inaczej: rzymski pokój, metoda loci, metoda miejsc). Strategie stosowane w celu usprawnienia pamięci obejmują także pisanie ekspresyjne i głośne wypowiadanie słów. Ta pierwsza metoda pomaga poszerzyć pamięć krótkotrwałą, szczególnie jeśli piszesz o traumatycznych wydarzeniach z własnego życia. Masao Yogo i Shuji Fujihara (2008) prosili badanych, by ci regularnie pisali w sesjach po 20 minut. Mieli opisywać jakieś traumatyczne wydarzenie, siebie w najlepszej możliwej przyszłości albo coś, co nie wzbudzało w nich głębszych uczuć. Badacze stwierdzili, że już po 5 tygodniach takie proste zadanie pisania poprawiało pojemność pamięci krótkotrwałej, ale tylko wtedy, gdy uczestnicy opisywali traumatyczne zdarzenia. Psychologowie nie wiedzą, dlaczego tak się dzieje, ale to działa. A co, jeśli chcesz zapamiętać zwykłą listę zakupów? Po prostu powtórz ją na głos. W serii badań (MacLeod et al., 2010) wykazano, że głośne wypowiadanie słowa poprawia jego zapamiętywanie, ponieważ zwiększa jego rozróżnialność (dystynktywność). Mówienie na głos nazw przypadkowych rzeczy do kupienia brzmi głupio? Ta mnemotechnika działa nawet wtedy, kiedy tylko bezdźwięcznie poruszasz ustami. Wśród badanych stosujących tę metodę zapamiętywanie słów poprawiało się o ponad 10%. Zastosuj te techniki, ucząc się do egzaminu. Jak uczyć się skutecznie? Oto kilka strategii i sugestii, które mogą pomóc ci udoskonalić proces uczenia się ( ). Kluczem jest wybranie tej strategii, która najlepiej sprawdzi się w twoim przypadku. Techniki pamięciowe mogą pomagać w uczeniu się. (Źródło: Barry Pousman). Wykorzystuj powtarzanie opracowujące: w znanej pracy Fergus Craik i Robert Lockhart (1972) sformułowali hipotezę, że informacje, które przetwarzamy głębiej, przechodzą do pamięci długotrwałej. Ich teoria o poziomach przetwarzania (ang. levels of processing ) głosi, że jeśli chcemy zapamiętać jakieś dane, powinniśmy je dokładnie przemyśleć i starać się powiązać z już posiadanymi informacjami oraz wspomnieniami, by nadać im głębsze znaczenie. Jeśli np. próbujemy zapamiętać, że hipokamp odgrywa rolę w przetwarzaniu informacji, możemy wyobrazić sobie hipopotama ze świetną pamięcią i dzięki temu lepiej zapamiętamy, za co odpowiada hipokamp. Jest to przykład powtarzania opracowującego. A gdy wymyślamy zastosowania poznawanej teorii psychologicznej, wykorzystujemy jeszcze głębszy poziom przetwarzania. Zastosuj efekt odniesienia do Ja : gdy wykorzystujesz powtarzanie opracowujące, wiedz, że zadziała jeszcze lepiej, jeśli materiał, który chcesz zapamiętać, zyska dla ciebie znaczenie osobiste. Innymi słowy – zastosuj efekt odniesienia do ja . Zrób notatki własnymi słowami. Spisz definicje z podręcznika, a potem przeformułuj je. Odnieś materiał do czegoś, czego co już zostało opanowane na innych zajęciach albo wymyśl, jak możesz wykorzystać tę wiedzę w życiu. Gdy to robisz, budujesz sieć wskazówek, dzięki którym łatwiej ci będzie później odzyskać ten materiał z magazynu pamięci, gdy okaże się potrzebny. Nie zapominaj o krzywej zapominania : jak wiesz, informacje, które zapamiętujesz, szybko ulatują z pamięci. Nawet jeśli sądzisz, że znasz materiał, powtórz go tuż przed egzaminem. To zwiększa prawdopodobieństwo, że informacja pozostanie w pamięci. Przeuczenie (dodatkowe powtarzanie materiału po jego zapamiętaniu) pomaga zapobiegać osłabianiu wspomnień. Stosuj powtarzanie rozłożone w czasie : powtarzaj z przerwami, zamiast zakuwać wszystko na raz. Konsolidacja śladów pamięciowych wymaga czasu, a powtarzanie rozłożone w czasie ją umożliwia. Ponadto zakuwanie może doprowadzić do powstania tak silnych powiązań między pojęciami, że utrudni dostęp do innych informacji. Utrwalaj, utrwalaj, utrwalaj : powtarzaj materiał w zaplanowanych odstępach czasowych. Porządkuj notatki i ucz się z nich, przerabiaj też pytania egzaminacyjne i rozwiązuj quizy. Staraj się powiązać nowe dane z tymi, które już dobrze znasz. Ucz się skutecznie : studenci często używają podkreślaczy, ale podkreślanie nie jest zbyt skuteczne, gdyż sprawia, że spędzają zbyt wiele czasu nad tym, co już umieją. Lepiej używać różnego rodzaju fiszek. Po jednej stronie zapisywać pytania, po drugiej odpowiedzi. Podczas nauki podziel fiszki na te, na które udało ci się odpowiedzieć, i te, na które odpowiedź była błędna. Wróć do tych z błędną odpowiedzią i prowadź dalej sortowanie, aż wszystkie fiszki znajdą się w kategorii „poprawna odpowiedź”. Pamiętaj o interferencji : by zmniejszyć ryzyko interferencji, ucz się w ciszy i unikaj rozpraszania (np. odgłosami telewizora czy muzyką). Ruszaj się : wiesz oczywiście, że ruch to zdrowie, ale czy wiesz, że pozytywnie wpływa także na umysł? Z badań wynika, że regularny wysiłek aerobowy (wszystko to, co podwyższa tętno) poprawia pamięć (van Praag, 2008). Pobudza też neurogenezę, czyli tworzenie nowych komórek nerwowych w hipokampie, obszarze odpowiedzialnym za uczenie się i zapamiętywanie. Wysypiaj się : gdy śpisz, twój mózg wciąż pracuje. Podczas snu porządkuje i konsoliduje informacje, które mają trafić do pamięci długotrwałej (Abel i Bäuml, 2013). Stosuj mnemotechniki : jak wyjaśnialiśmy w tym podrozdziale, mnemotechniki często pomagają nam zapamiętywać i odtwarzać informacje. Jedną z mnemotechnik są akronimy, czyli skrótowce utworzone z pierwszych liter słów, które chcemy zapamiętać. Przykład? Łatwo będzie zapamiętać największe polskie rzeki dzięki skrótowcowi WOW – Wisła, Odra, Warta. Z kolei posługując się metodą pierwszych liter, tworzymy - od pierwszych liter słów, które chcemy zapamiętać - inne słowa, które układają się w zabawną wypowiedź. Na przykład w zapamiętaniu kolorów tęczy pomoże nam zdanie „Czemu patrzysz żabo zielona na głupiego fanfarona?” (czerwony, pomarańczowy, żółty, zielony, niebieski, granatowy, fioletowy). W wersji angielskiej może to być: „Richard of York gave battle in vain”. Są też przyśpiewki i rymowanki zawierające kluczowe słowa związane z jakimś problemem, np. „- uje się nie kreskuje, bo dostaje się dwóje”. Aby zapamiętać kolejność działań arytmetycznych, można wykorzystać poniższy wierszyk: Najpierw matematyczny asie, wykonuj działania w nawiasie. Następnie dziel i mnóż, a wynik jest tuż-tuż. Na koniec dodawaj i odejmuj, i o wynik się nie przejmuj. Podsumowanie Jest wiele sposobów walki z nieuchronnymi potknięciami naszej pamięci. Niektóre, jak mnemotechniki, utrwalanie, odniesienie do Ja i wysypianie się, można stosować w codziennych sytuacjach. Pomogą ci też skuteczniej się uczyć. Review Questions Gdy uczysz się grać na pianinie, zdanie „Ewa Gotuje Herbatę Dla Franka” pomaga zapamiętać nuty E, G, B, D i F tworzące klucz wiolinowy. To przykład ________. rymowanki akronimu metody pierwszych liter akustyki C Z badania Yogo i Fujihary (2008) wynika, że jeśli chcemy poprawić swoją pamięć krótkotrwałą, powinniśmy znaleźć czas, by opisywać ________. najlepszą możliwą przyszłość dla siebie traumatyczne wydarzenia ze swojego życia cokolwiek listę zakupów B Efekt odniesienia do Ja to ________. sprawianie, że materiał, który próbujemy przyswoić, staje się dla nas osobiście znaczący tworzenie zdania z pierwszych liter słów, które próbujemy zapamiętać tworzenie słowa z pierwszych liter słów, które próbujemy zapamiętać wypowiadanie na głos słów, które próbujemy zapamiętać A Wspomagacze pamięci, pomagające nam uporządkować informacje, które chcemy zakodować, to ________. mnemotechniki strategie wspomagające pamięć utrwalanie znaczeniowe przetwarzanie wysiłkowe A Critical Thinking Questions Czym jest efekt odniesienia do Ja i jak może nam pomóc skuteczniej się uczyć? Efekt odniesienia do Ja bazuje na fakcie, że każdy lepiej zapamiętuje informacje, które odnoszą się do niego osobiście, niż takie, które nie mają dla niego znaczenia. Możesz wykorzystać ten efekt, by odnieść zapamiętywany materiał do czegoś, co już umiesz z innych zajęć, albo wymyślić jego zastosowanie w twoim życiu. Takie działanie tworzy sieć wskazówek, które pomogą odzyskać wyuczony materiał z magazynu pamięci, gdy będziesz tego potrzebować. Razem z koleżanką z pokoju uczyłyście się wczoraj wieczorem do testu z psychologii. Myślisz, że opanowałaś materiał, ale prosisz, żebyście powtórzyły go jeszcze raz jutro rano, na godzinę przed egzaminem. Koleżanka prosi cię, żebyś wyjaśniła, dlaczego – twoim zdaniem – to dobry pomysł. Co jej powiesz? Przypomnij jej o krzywej zapominania Ebbinghausa: informacje, które zapamiętujemy, szybko ulatują z pamięci. Nawet jeśli uważasz, że opanowałaś materiał, powinnaś go powtórzyć przed samym egzaminem, by zwiększyć szanse na zachowanie informacji w pamięci. Przeuczenie pomaga zapobiegać zapominaniu. Personal Application Questions Stwórz mnemotechnikę, która pomoże ci zapamiętać jakiś termin albo pojęcie z tego podrozdziału. Jaką skuteczną technikę uczenia się stosujesz? W czym jest podobna do strategii przedstawionych w tym podrozdziale albo czym się od nich różni? grupowanie (porcjowanie) (ang. chunking) organizowanie informacji w łatwe do przyswojenia grupy lub porcje poziomy przetwarzania (ang. levels of processing) informacje, które są przetwarzane na głębszym poziomie (przez nadawanie znaczenia informacjom), stają się bardziej znaczące i dlatego lepiej zakotwiczają się w pamięci strategia zapamiętywania (ang. memory enhancing strategy) technika przenoszenia informacji z pamięci krótkotrwałej do pamięci długotrwałej mnemotechniki (ang. mnemonic device) techniki pomagające zorganizować informacje w celu lepszego zapamiętania", "section": "Sposoby na poprawę pamięci", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Co się w tobie zmieniło od czasów dzieciństwa? Co się nie zmieniło? Jak będzie wyglądało twoje życie za 25 lat, a jak za lat 50? Badania nad rozwojem człowieka zgłębiają, co się zmienia, a co pozostaje niezmienne w trakcie życia. (Źródło: modyfikacja pracy Giles'a Cooka). Oto historia twojego życia. Ten rozdział możesz potraktować jako fascynującą opowieść o twoim wzrastaniu i rozwoju, które sprawiły, że jesteś właśnie taką a nie inną osobą. Pochylimy się również nad tym, co cię jeszcze czeka. To historia twojego rozwoju ( ) od narodzin aż do śmierci. W niemowlęctwie i wczesnym dzieciństwie wzrastanie i rozwój uznajemy za oczywistość, lecz rozwój każdego z nas trwa nieprzerwanie, minuta po minucie, do końca życia. To, kim jesteśmy dziś, i to, kim będziemy w przyszłości, zależy od połączenia uwarunkowań genetycznych, wpływu środowiska, kultury, relacji osobistych i wielu innych czynników, które oddziałują na każdym etapie życia. 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(2017). Warszawa: Główny Urząd Statystyczny.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Co to jest psychologia rozwojowa? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować i rozróżnić trzy domeny rozwoju: fizyczną, poznawczą i psychospołeczną Omówić normatywne podejście do rozwoju Zrozumieć trzy główne kwestie związane z rozwojem: ciągłość i nieciągłość, jeden wspólny kierunek rozwoju lub wiele unikalnych kierunków rozwoju oraz spór „natura a wychowanie” \"Kiedy krąg nieba tęcza obleka Serce z radości mi rośnie! Tak było w życia mojego wiośnie, Tak jest i teraz gdym wzrósł w człowieka, Niech i tak będzie, gdy się doczeka Wiek mój starości, lub umrzeć wolę. Dziecię jest ojcem człowieka; I daj mi Boże, niech w jednem kole Rodzinnych uczuć dni me zespolę. (William Wordsworth, 1802; źródło tłum.: Przegląd Poznański, tom V, 1847, red. dr Szafarkiewicz) „Dziecię jest ojcem człowieka”, pisze William Wordsworth (1770-1850). Możemy doszukać się tu interpretacji związanej z psychologią rozwojową i badaniem wpływu doświadczeń z dzieciństwa na ukształtowanie osoby dorosłej. W jakim stopniu dzieciństwo wpływa na dorosłość? Jak dziecko różni się od dorosłego, którym się staje? Na tego typu pytania próbują odpowiedzieć psychologowie rozwojowi, badając to, w jaki sposób człowiek się zmienia i rośnie, od poczęcia, przez dzieciństwo i dojrzewanie, po dorosłość, aż do śmierci. Rozwój postrzegany jest jako trwający całe życie proces, który można rozpatrywać z trzech perspektyw: fizycznej, poznawczej, psychospołecznej. Rozwój fizyczny (ang. physical development ) obejmuje wzrastanie i zmiany zachodzące w ciele i mózgu, rozwój zmysłów, motoryki oraz zdrowie i dobrostan człowieka. Rozwój poznawczy (ang. cognitive development ) odnosi się do uczenia, uwagi, pamięci, języka, myślenia, wnioskowania i kreatywności. Rozwój psychospołeczny (ang. psychosocial development ) dotyczy emocji, osobowości i relacji społecznych. W tym rozdziale omówimy każdy z tych obszarów. Metody badawcze psychologii rozwojowej W podrozdziale Metody badawcze (rozdział „Prowadzenie badań”) omówiliśmy różne metody badawcze wykorzystywane przez psychologów. Psychologowie rozwojowi posługują się wieloma z nich, by lepiej zrozumieć, jak z upływem czasu człowiek zmienia się pod względem psychicznym i fizycznym. Są to m.in. obserwacja naturalna (ang. naturalistic observation ), opis przypadku (ang. case study ), badania kwestionariuszowe (ang. surveys ) czy eksperyment (ang. experiment ). Obserwacja naturalna polega na obserwowaniu zachowania w naturalnym środowisku. Psychologowie rozwojowi mogą na przykład obserwować, w jaki sposób dzieci zachowują się na placu zabaw, w żłobku czy w domu. Zaletą tej metody jest poznanie zachowania dziecka w jego naturalnym otoczeniu, a wadą – bardzo ograniczona kontrola rodzaju i częstości obserwowanych zachowań. Opis przypadku to metoda polegająca na zebraniu możliwie wszechstronnych informacji o badanym, co pozwala na to, by lepiej zrozumieć fizyczne i psychologiczne zmiany zachodzące w ciągu jego życia. To podejście jest doskonałym sposobem badania przypadków rzadko występujących, lecz może być narażone na brak obiektywizmu i nadinterpretacje badacza. Zwykle brakuje także możliwości, aby na podstawie opisu np. jednego dziecka formułować uogólnienia dotyczące całej populacji. Często przytaczanym przykładem wykorzystania tej metody w badaniach nad rozwojem człowieka jest przeprowadzona przez Zygmunta Freuda (1856-1939) analiza zachowania dziecka znanego jako mały Hans (1903-1973) (Freud, 1909/1949). Wysnute z niej wnioski pomogły Freudowi w sformułowaniu teorii o rozwoju psychoseksualnym dziecka, o której dowiesz się więcej w dalszej części rozdziału. Mała Genie (ur. 1957), której opis przypadku omawialiśmy w podrozdziale Czym jest poznanie?, stanowi kolejny przykład wykorzystania szczegółowej obserwacji jednej osoby do opisania kamieni milowych w rozwoju człowieka. W przypadku Genie zaniedbanie i przemoc, jakiej doświadczyła, sprawiły, że w wieku 13 lat, kiedy opuściła dysfunkcyjne otoczenie, nie potrafiła mówić. Gdy nauczyła się języka, psychologowie mieli możliwość porównania, jak różnią się możliwości nauki języka na późnym etapie rozwoju od typowych przypadków nabywania tych umiejętności w wieku niemowlęcym i we wczesnym dzieciństwie (Fromkinet al., 1974; Curtiss, 1981). W badaniu kwestionariuszowym badani proszeni są o przekazanie informacji na temat własnych przemyśleń, doświadczeń czy przekonań. Ta popularna metoda pozwala zebrać dużą ilość informacji w relatywnie krótkim czasie, jednak trafność zebranych w ten sposób danych zależy nie tylko od szczerości badanych, lecz także od poziomu ich wiedzy na własny temat. Ponadto dane te są powierzchowne w porównaniu z dogłębnymi informacjami uzyskanymi w wyniku przeprowadzenia wywiadu w ramach opisu przypadku. Przykładem dużych badań przy użyciu kwestionariusza jest badanie przeprowadzone przez Ruth W. Howard (1900-1997), która w 1947 roku obroniła doktorat na podstawie kwestionariuszy przeprowadzonych wśród 229 rodzeństw trojaczków. Było to wówczas największe badanie dotyczące trojaczków. Ruth W. Howard była pionierką w swojej dziedzinie – pierwszą ciemnoskórą kobietą, która uzyskała tytuł doktora psychologii (American Psychological Association, 2019). Eksperymenty umożliwiają manipulowanie zmienną niezależną oraz kontrolę nad losowymi i stałymi zmiennymi zakłócającymi (pobocznymi). Dzięki temu badania eksperymentalne pozwalają psychologom rozwojowym na formułowanie stwierdzeń o przyczynowości, czyli o wpływie niektórych zmiennych na proces rozwojowy. Ponieważ jednak eksperyment musi odbywać się w ściśle kontrolowanych warunkach, badacze muszą wziąć pod uwagę to, na ile zachowanie obserwowane w warunkach laboratoryjnych odwzorowuje prawdziwe zachowanie badanego w jego naturalnym otoczeniu. W dalszej części tego rozdziału przedstawimy eksperymenty, w których badacze stawiali przed niemowlętami i małymi dziećmi różnego typu zadania sytuacyjne, by określić, w jakim wieku rozwijają się konkretne zdolności poznawcze. Na przykład w badaniach Jeana Piageta (1896-1980) dzieci obserwowały płyn przelewany z niskiego, pękatego naczynia do wysokiego i wąskiego. Odpowiedzi dzieci na pytanie, czy w którymś naczyniu jest więcej płynu, pomogły psychologom ustalić, w jakim wieku dziecko zaczyna rozumieć, że objętość płynu pozostaje ta sama, mimo że zmienia się kształt naczynia. We wszystkich trzech obszarach rozwoju: fizycznym, poznawczym i psychospołecznym stosuje się również podejście normatywne (ang. normative approach ). Jego podstawą jest pytanie: „Co jest normą w rozwoju?”. W pierwszej połowie XX wieku psychologowie normatywni przebadali dużą liczbę dzieci w różnym wieku, by ustalić normy, tj. zakres wiekowy (np. od 5. do 6. miesiąca życia), w którym większość dzieci osiąga kolejne kamienie milowe w rozwoju (ang. developmental milestones ) w każdej z trzech ww. dziedzin (Gesell, 1933, 1939, 1940; Geselli Ilg, 1946; Hall, 1904). Choć dzieci rozwijają się w różnym tempie, to możemy posłużyć się tymi ogólnymi wytycznymi, by porównać dzieci w tym samym wieku i określić przybliżony wiek, w którym powinny osiągnąć umiejętności charakterystyczne dla danego okresu w rozwoju, zwane kamieniami milowymi (np. raczkowanie, chodzenie, pisanie, ubieranie się, nazywanie kolorów, mówienie zdaniami czy początek dojrzewania). Nie wszystkie zmiany mają charakter uniwersalny, co znaczy, że nie wszystkie staną się udziałem każdego człowieka we wszystkich kulturach. Fizyczne kamienie milowe, takie jak dojrzałość płciowa, są uniwersalne, jeśli nie występują zaburzenia rozwoju. Społeczne kamienie milowe, jak wiek, w którym dziecko rozpoczyna edukację szkolną, nie są uniwersalne, lecz dotyczą większości osób w danej kulturze (ang. culture ) (Gesell, Ilg, 1946). Na przykład w krajach rozwiniętych dzieci rozpoczynają naukę w szkole w wieku 5–7 lat. W krajach rozwijających się, takich jak Nigeria, dzieci często rozpoczynają edukację później lub w ogóle jej nie zaczynają (Huebler, 2005; United Nations Educational, Scientific and Cultural Organization, 2013). By lepiej zrozumieć podejście normatywne, wyobraź sobie Luizę i Klarę, które są bliskimi przyjaciółkami i mają dzieci w podobnym wieku. Córka Luizy ma 14 miesięcy, a syn Klary 12 miesięcy. Zgodnie z podejściem normatywnym średni wiek, w którym dzieci zaczynają chodzić, to 12 miesięcy. Jednak czternastomiesięczna córka Luizy jeszcze nie chodzi. Luiza zwierza się Klarze, że martwi się, czy jej dziecko rozwija się prawidłowo. Klara jest zaskoczona, ponieważ jej syn zaczął chodzić, gdy miał 10 miesięcy. Czy Luiza powinna być zaniepokojona? Czy powinna się martwić, jeśli jej córka nadal nie będzie chodzić w wieku 15 lub 18 miesięcy? Centra Kontroli i Prewencji Chorób (ang. CDC – Centers for Disease Control and Prevention ) to agencja rządu federalnego Stanów Zjednoczonych. CDC opisały kamienie milowe w rozwoju dzieci między 2. miesiącem a 5. rokiem życia. Po zapoznaniu się z nimi pobierz aplikację albo PDF i rozwiąż quiz, by sprawdzić, ile z nich pamiętasz. Jeśli jesteś rodzicem i niepokoisz się rozwojem swojego dziecka, skontaktuj się z pediatrą. Teoretyczne podstawy psychologii rozwojowej Istnieje wiele teorii dotyczących rozwoju człowieka. Pamiętaj, że psychologia rozwojowa skupia się na tym, jak ludzie się zmieniają, i zwróć uwagę, że wszystkie podejścia prezentowane w tym rozdziale zajmują się zagadnieniem rozwoju, ale w różny sposób odpowiadają na podstawowe pytania dotyczące procesu rozwojowego: czy rozwój jest płynny, czy też następuje etapami (ciągły vs skokowy), czy schemat, zgodnie z którym odbywa się rozwój, jest taki sam dla wszystkich, czy może występuje wiele różnych schematów rozwoju (jedna vs wiele ścieżek rozwoju), w jaki sposób geny i środowisko wpływają na rozwój (natura a wychowanie)? Czy rozwój jest ciągły, czy skokowy? Rozwój ciągły (ang. continuous development ) to pogląd, zgodnie z którym rozwój jest procesem kumulacyjnym: stopniowym doskonaleniem posiadanych umiejętności ( ). W tym przypadku zmiana zachodzi płynnie (liniowo). Pomyśl na przykład o fizycznym wzroście dziecka: z każdym rokiem przybywa mu centymetrów. Natomiast teorie, wg których rozwój jest skokowy (ang. discontinuous ), uznają, że rozwój przebiega określonymi etapami, zachodzącymi w określonym wieku. W tym przypadku zmiana dokonuje się gwałtowniej, np. kiedy dziecko uzyska zdolność pojmowania stałości obiektu. Rozwój ciągły można zobrazować jako stały wzrost. Rozwój skokowy zakłada, że zmiany zachodzą w odrębnych etapach. Jedna czy wiele ścieżek rozwojowych? Czy rozwój przebiega tak samo u wszystkich dzieci (tj. istnieje jeden schemat rozwoju), czy też rozwój przebiega inaczej dla każdego dziecka, w zależności od jego uwarunkowań genetycznych i środowiskowych (tj. istnieje wiele ścieżek rozwoju)? Czy występuje więcej podobieństw czy różnic między rozwojem ludzi z różnych stron świata? Jak bardzo kultura i geny wpływają na zachowanie dziecka? Teorie stadiów rozwoju zakładają, że etapy rozwoju są uniwersalne. Na przykład międzykulturowe badania nad rozwojem języka wykazały, że dzieci z różnych części świata w podobnej kolejności osiągają kolejne kamienie milowe w rozwoju języka (Gleitmani Newport, 1995). Niemowlęta z różnych kręgów kulturowych najpierw głużą, a potem gaworzą. Zaczynają gaworzyć mniej więcej w tym samym wieku i wypowiadają pierwsze słowa ok. 12. miesiąca życia (Kurcz, 2000). Lecz przecież warunki, w których dorastamy, mogą być bardzo zróżnicowane i wywierać na nas unikalny wpływ. Na przykład badacze byli kiedyś przekonani, że rozwój motoryczny przebiega wg jednego schematu we wszystkich kulturach. Jednak sposoby opieki nad dziećmi różnią się w zależności od kultury, w związku z tym jedne dzieci szybciej, a inne wolniej osiągają kolejne kamienie milowe rozwoju ruchowego, takie jak siedzenie, raczkowanie czy chodzenie (Karasik et al., 2010). Indianie Ache w Paragwaju większość czasu spędzają na przemierzaniu lasów. Matki noszą swoje dzieci i rzadko je odkładają, by nie stała im się krzywda. W rezultacie dzieci zaczynają chodzić ok. 23.–24. miesiąca życia, czyli dużo później niż niemowlęta z kultur zachodnich, gdzie pierwsze samodzielne kroki stawiane są ok. 12. miesiąca życia. Jednak z czasem matki Indian Ache dają dzieciom większą swobodę poruszania się i ok. 9. roku życia ich motoryka jest bardziej rozwinięta niż u dzieci w Stanach Zjednoczonych w tym samym wieku. Dzieci Ache potrafią wspinać się na ponad siedmiometrowe drzewa i torować sobie maczetami drogę przez las (Kaplan, Dove, 1987). Jak widać, na rozwój wpływa wiele czynników, które sprawiają, że czas wykształcenia różnych zdolności motorycznych może się różnić w zależności od kultury. Jednak rozwój motoryczny jako taki występuje we wszystkich kulturach: wszyscy uczymy się siadać, chodzić, biegać i skakać ( ). Wszystkie dzieci na świecie uwielbiają się bawić. Czy to na (a) Florydzie, czy (b) w Republice Południowej Afryki, dzieci lubią kopać w piasku, cieszyć się słońcem i morzem. (Źródło (a): modyfikacja pracy „Visit St.Pete/Clearwater”/Flickr; źródło (b): modyfikacja pracy „stringer_bel/Flickr”). Jak natura i wychowanie wpływają na rozwój? Czy jesteśmy tym, kim jesteśmy, ze względu na naturę (ang. nature ) (biologię i geny), czy też ze względu na wychowanie (ang. nurture ) (środowisko i kulturę)? To odwieczne pytanie znane jest w psychologii jako spór „natura a wychowanie” . Jego źródłem jest próba zrozumienia, jaki wpływ na naszą osobowość i zachowanie mają geny i czynniki biologiczne, a w jaki sposób kształtują je nasze środowisko (w tym rodzice i rówieśnicy) oraz kultura. Pytamy np.: dlaczego biologiczne rodzeństwo zachowuje się czasami jak ich rodzice — czy ze względu na geny, czy na środowisko ich wczesnego dzieciństwa i to, czego nauczyło się od rodziców? Co w przypadku adoptowanych dzieci — czy są bardziej podobne do swoich biologicznych czy adopcyjnych rodzin? I jak to możliwe, że rodzeństwo czasem tak różni się między sobą? Wszyscy rodzimy się z określonymi cechami odziedziczonymi po rodzicach, np. kolorem oczu, wzrostem, niektórymi cechami charakteru. Jednak poza podstawowym genotypem zachodzi również głębsza interakcja między genami a środowiskiem. Doświadczenia indywidualne wpływają na to, czy i w jaki sposób określone cechy się uwidocznią, i odwrotnie: nasze geny wpływają na funkcjonowanie w środowisku (Diamond, 2009; Lobo, 2008; Oniszczenko i Dragan, 2008). W tym rozdziale wykażemy, że natura i wychowanie wzajemnie na siebie oddziałują i razem wpływają na to, kim się stajemy. Lecz spór, jak silny jest wpływ każdego z tych czynników, wciąż pozostaje nierozstrzygnięty. Jak status społeczno-ekonomiczny wpływa na rozwój? Luka w osiągnięciach to stała różnica ocen, wyników testów i egzaminów szkolnych między uczniami z grup o różnym statusie społeczno-ekonomicznym. Badania wykazują, że luki w osiągnięciach wynikają w dużej mierze z różnic społeczno-ekonomicznych między rodzinami badanych dzieci. Dzieci z rodzin o niskim statusie zawodowym mają znacznie gorsze wyniki w wielu obszarach edukacyjnych niż rówieśnicy z rodzin o średnim i wysokim statusie zawodowym. Wypadają też znacznie gorzej na egzaminach, mają niższe średnie ocen na zakończenie roku i dużo częściej nie kończą studiów. Psychologowie Betty Hart i Todd Risley (2006) poświęcili całą swoją karierę na obserwację zdolności nauki języka we wczesnym dzieciństwie i rozwoju kompetencji językowych dzieci z rodzin o różnych statusach zawodowych. W jednym z badań podłużnych wykazali, że chociaż wszyscy rodzice biorący udział w badaniu angażowali się w życie swoich dzieci, to rodzice o średnim i wyższym statusie zawodowym robili to inaczej niż rodzice o niskim statusie zawodowym. Po przeanalizowaniu 1300 godzin interakcji rodzic–dziecko badacze odkryli, że rodzice o średnim i wyższym statusie zawodowym dużo więcej rozmawiają ze swoimi dziećmi już w wieku niemowlęcym. Do 3. roku życia dzieci z rodzin o wysokim statusie zawodowym znały niemal dwa razy więcej słów niż ich rówieśnicy z rodzin o niskim statusie zawodowym (Harti Risley, 2003). Przed rozpoczęciem przedszkola dzieci z rodzin o wysokim statusie zawodowym uzyskują o 60% lepsze wyniki z testów osiągnięć niż ich rówieśnicy z rodzin o niskim statusie zawodowym (Lee, Burkam, 2002). Z czasem luka rośnie. Istnieją różne propozycje rozwiązania tego problemu. Eksperci z University of Chicago pracują z rodzinami o niskim statusie zawodowym, odwiedzając ich domy i zachęcając, by rodzice na co dzień więcej rozmawiali ze swoimi dziećmi. Inni tworzą przedszkola, w których dzieci ze środowisk o różnych statusach zawodowych uczą się w jednej grupie. Badania przeprowadzone w tych przedszkolach wykazały, że dzieci z rodzin o niskim statusie zawodowym poczyniły znaczący postęp w rozwoju kompetencji językowych, najprawdopodobniej w wyniku uczęszczania do wyspecjalizowanego przedszkola (Schechteri Byeb, 2007). Jakie inne działania mogą pomóc w zmniejszeniu luki osiągnięć? Jakiego rodzaju przedsięwzięcia mogłyby pomóc dzieciom z twojej dzielnicy lub okolicy? Summary Psychologia rozwojowa bada, w jaki sposób zmieniamy się i rośniemy, od poczęcia do śmierci. Tą subdyscypliną psychologii zajmują się psychologowie rozwojowi. Psychologia rozwojowa postrzega rozwój jako trwający całe życie proces, który można naukowo zbadać z perspektywy trzech obszarów rozwoju: fizycznego, poznawczego i psychospołecznego. Istnieje wiele teorii dotyczących rozwoju człowieka. Skupiają się one na następujących zagadnieniach: czy rozwój jest ciągły, czy skokowy; czy jest jeden schemat rozwoju, czy wiele; jaki wpływ na rozwój ma natura, a jaki wychowanie? Review Questions Pogląd, że rozwój jest procesem kumulacyjnym, w którym stopniowo doskonalimy posiadane umiejętności, znany jest jako ________. natura wychowanie rozwój ciągły rozwój skokowy C Psychologowie rozwojowi badają wzrastanie i rozwój człowieka w trzech obszarach. Który z poniższych nie jest jednym z tych obszarów? rozwój poznawczy rozwój psychologiczny rozwój fizyczny rozwój psychospołeczny B Jak definiujemy psychologię rozwojową? nauka badająca, jak rośniemy i zmieniamy się od poczęcia do śmierci nauka badająca, jak rośniemy i zmieniamy się w niemowlęctwie i dzieciństwie nauka badająca fizyczny, poznawczy i psychospołeczny rozwój dzieci nauka badająca emocje, osobowość i relacje społeczne A Critical Thinking Questions Opisz spór „natura a wychowanie” i podaj przykład cechy, którą może kształtować zarówno natura, jak i wychowanie. Spór „natura a wychowanie” ma na celu wyjaśnienie, czy osobowość i zachowanie człowieka są wynikiem oddziaływania czynników genetycznych i czynników biologicznych, czy też są kształtowane przez środowisko, w tym przez rodziców, rówieśników, oraz kulturę. Obecnie psychologowie są zgodni, że zarazem natura, jak i wychowanie wpływają na to, kim jesteśmy, lecz debata na temat stopnia wpływu jednego i drugiego trwa. Przykładem cechy kształtowanej zarówno przez naturę, jak i wychowanie może być nauka chodzenia przez dziecko. Natura determinuje, kiedy pojawia się biologiczna zdolność chodzenia, lecz, jak wykazały obserwacje kultury Indian Ache, kultura wpływa na to, kiedy dziecko opanuje tę umiejętność. Porównaj rozwój ciągły i skokowy. Rozwój ciągły to pogląd, zgodnie z którym rozwój jest procesem kumulacyjnym: zmiany zachodzą stopniowo. Rozwój skokowy zakłada, że rozwój przebiega etapowo, a zmiany są gwałtowne. Dlaczego kamienie milowe w rozwoju dziecka powinny być postrzegane jedynie jako ogólne wskazówki dotyczące rozwoju dziecka zgodnie z normą? Dzieci rozwijają się w różnym tempie. Niektóre dzieci mogą zacząć chodzić i mówić już w wieku 8 miesięcy, podczas gdy inne robią to dopiero po pierwszych urodzinach. Każde dziecko rozwija się w innym środowisku, które wpływa na to, kiedy osiąga kolejne etapy rozwoju. Ważne jest także to, że wiek osiągnięcia kolejnych kamieni milowych rozwoju określamy, wskazując przedział wiekowy (np. między 6. a 8. miesiącem życia), a nie konkretny miesiąc czy rok. Personal Application Questions Twoja trzyletnia córka nie potrafi jeszcze korzystać z nocnika. Czy opierając się na swojej wiedzy z podejścia normatywnego, uważasz to za powód do zmartwienia? Uzasadnij. rozwój poznawczy (ang. cognitive development ) dziedzina psychologii rozwojowej zajmująca się uczeniem się, uwagą, pamięcią, językiem, myśleniem, wnioskowaniem i kreatywnością rozwój ciągły (ang. continuous development ) pogląd, zgodnie z którym rozwój jest procesem kumulacyjnym: stopniowym doskonaleniem posiadanych umiejętności kamienie milowe w rozwoju dziecka (ang. developmental milestones ) umiejętności charakterystyczne dla danego okresu w rozwoju rozwój skokowy (ang. discontinuous development ) pogląd, zgodnie z którym rozwój przebiega określonymi etapami zachodzącymi w określonym wieku natura (ang. nature ) geny i biologia podejście normatywne (ang. normative approach ) badanie rozwoju z wykorzystaniem norm lub przeciętnego wieku, w którym większość dzieci osiąga określone etapy rozwoju (kamienie milowe) rozwój fizyczny (ang. physical development ) zmiany zachodzące w ciele i mózgu, włącznie z rozwojem zmysłów i motoryki rozwój psychospołeczny (ang. psychosocial development ) rozwój sfery emocji, osobowości i relacji społecznych człowieka", "section": "Co to jest psychologia rozwojowa?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Teorie psychologii rozwojowej Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić teorię rozwoju psychoseksualnego Freuda Opisać główne zadania rozwoju psychospołecznego dzieci i dorosłych według Eriksona Omówić pogląd Piageta na rozwój poznawczy i zastosuj etapy do zrozumienia procesów poznawczych w dzieciństwie Opisać teorię rozwoju moralnego Kohlberga Porównać i rozróżnić mocne i słabe strony głównych teorii rozwoju Powstało wiele teorii opisujących sposób, w jaki rosną i rozwijają się niemowlęta i dzieci, aby stać się szczęśliwymi, zdrowymi dorosłymi. W tym podrozdziale omówimy najważniejsze z nich. Teoria rozwoju psychoseksualnego Zygmunt Freud (1856-1939) uważał, że osobowość i zachowanie są kształtowane we wczesnym dzieciństwie. Sądził, że rozwój jest skokowy i że w dzieciństwie człowiek musi przejść szereg faz rozwojowych, a brak odpowiedniego wychowania i opieki rodzicielskiej w danej fazie może skutkować zatrzymaniem się lub fiksacją w tej fazie. Freud mówił o pięciu fazach rozwoju psychoseksualnego (ang. psychosexual development ). Twierdził, że w każdej z nich: oralnej, analnej, fallicznej, latencji i genitalnej, dziecięce popędy zaspokojenia przyjemności skupiają się na innej części ciała będącej tzw. strefą erogenną. Choć większość twierdzeń Freuda nie zostało popartych współczesnymi badaniami, to nie sposób nie docenić wkładu, jaki badacz ten wniósł w rozwój psychologii. Współcześni psychologowie kwestionują fazy rozwoju psychoseksualnego jako wyjaśnienie rozwoju osobowości, lecz dzięki teorii Freuda wiemy, że osobowość kształtowana jest w pewnym stopniu przez doświadczenia z dzieciństwa. Fazy rozwoju psychoseksualnego zostaną szczegółowo omówione w rozdziale dotyczącym osobowości. Teoria rozwoju psychospołecznego Erik Erikson (1902-1994) ( ), autor kolejnej teorii stadiów rozwoju, czerpał z teorii Freuda, ale zmodyfikował ją, by stworzyć własną teorię rozwoju psychospołecznego (ang. psychosocial development ). Koncepcja Eriksona kładzie nacisk na społeczny, a nie seksualny charakter rozwoju. Podczas gdy Freud uważał, że osobowość kształtuje się tylko w dzieciństwie, Erikson sądził, że rozwija się ona przez całe życie. Według niego interakcje z innymi mają wpływ na nasze poczucie tożsamości, co nazywał tożsamością ego (ang. ego identity ). Erik Erikson sformułował teorię rozwoju psychospołecznego. W każdym stadium wg Eriksona człowiek musi rozwiązać kryzys, by zaadaptować się do wymagań społecznych i pomyślnie zaspokoić swoje potrzeby rozwojowe. Według Eriksona naszą motywację stanowi potrzeba osiągnięcia kompetencji w spełnianiu oczekiwań i wymagań otoczenia społecznego w różnych sferach życia. Zgodnie z teorią rozwoju psychospołecznego od niemowlęctwa do dorosłości przechodzimy osiem stadiów rozwojowych. W każdym z nich doświadczamy konfliktu – kryzysu, z którym musimy sobie poradzić. Pomyślne rozwiązanie każdego z konfliktów rozwojowych pozwala na wykształcenie zdolności adaptacyjnych na wyższym poziomie, a także pomaga poradzić sobie lepiej z następnymi kryzysami. Nierozwiązanie kryzysu prowadzi do poczucia nieprzystosowania i utrudnia rozwiązywanie następnych kryzysów. Według Eriksona (1963) podstawą prawidłowego rozwoju człowieka, nie tylko w okresie niemowlęctwa (od narodzin do 12. miesiąca życia), jest bazalne zaufanie . Podstawowym efektem kryzysu w tym stadium może być nabycie zaufania do świata (przede wszystkim do opiekunów) lub przeciwnie – brak takiego zaufania. Niemowlęta zależą od swoich opiekunów, dlatego opiekunowie wyczuleni i wrażliwi na potrzeby dziecka pomagają mu rozwinąć poczucie zaufania. Dziecko zaczyna postrzegać świat jako bezpieczny i przewidywalny. Opiekunowie, którzy ignorują potrzeby dziecka, mogą wykształcić w nim niepokój i strach; dziecko będzie postrzegać świat jako nieprzewidywalny i niebezpieczny. We wczesnym dzieciństwie (1–3 lata) dzieci zaczynają odkrywać świat, uczą się, że są w stanie kontrolować swoje działania i wpływać na otoczenie, by uzyskać zamierzony efekt. Uczą się także kontrolować własne potrzeby fizjologiczne, co określane jest często jako „trening czystości”. Zaczynają wyraźnie preferować niektóre elementy otoczenia, np. pokarmy, zabawki czy ubrania. Uczą się także panować nad własnym ciałem. Podstawowym konfliktem, który dziecko musi rozwiązać na tym etapie rozwoju, jest autonomia versus wstyd i zwątpienie. To stadium „ja to zrobię”, w którym dziecko próbuje uzyskać niezależność. Na przykład możemy zaobserwować rodzące się poczucie autonomii u dwulatki, która chce sama zdecydować, co założy, i sama chce się ubrać. Choć jej stroje mogą nie być odpowiednie na daną okoliczność, to jej wkład w tak podstawowe decyzje ma wpływ na rozwój poczucia niezależności. Jeśli dziecku odmawia się takiej możliwości wpływania na otoczenie, to może się u niego zrodzić zwątpienie we własne zdolności, co z kolei może prowadzić do niskiej samooceny i poczucia wstydu. To także okres, w którym dziecko jest chwalone za właściwe załatwianie swoich potrzeb fizjologicznych – dzięki czemu czuje się niezależne. Czuje się ganione i zawstydzane, jeśli nie zapanuje nad potrzebą fizjologiczną, co powoduje zwątpienie we własne możliwości. W okresie przedszkolnym (3–6 lat) dzieci potrafią inicjować działania i kontrolować swój świat za pośrednictwem interakcji społecznych i zabawy, a także starają się poszerzyć swoją wiedzę o świecie, podejmując liczne działania eksploracyjne. Według Eriksona dzieci w wieku przedszkolnym muszą rozwiązać konflikt „inicjatywa versus poczucie winy”. Mogą sobie z nim poradzić, ucząc się planować i osiągać cele, także poprzez interakcję z innymi. Te, którym się to uda, wykształcą pewność siebie i przekonanie o celowości własnych działań. Porażka w tym stadium – nieudane lub stłumione inicjatywy dziecka – może skutkować poczuciem winy. Zgodnie z tą tezą nadopiekuńczy rodzice mogą stłumić inicjatywę dziecka. Negatywny wpływ na kształtowanie się poczucia kompetencji mają także opiekunowie mający tendencje do karania dziecka za nieudane próby własnej działalności (szkody wywołane przez dziecko w ramach działań eksploracyjnych). W wieku szkolnym (6–12 lat) dzieci stają przed konfliktem „produktywność versus poczucie niższości”. Zaczynają porównywać się z rówieśnikami, by przekonać się, jak wypadają na ich tle. Wykształcają wówczas poczucie dumy i samorealizacji przez osiągnięcie nowych umiejętności szkolnych, sportowych oraz interakcje społeczne i życie rodzinne. Gdy nie dorównują innym, czują się nie dość dobre i rozwijają poczucie niższości. Sukcesy w szkole są podstawą do tworzenia wysokiej samooceny, a także samoakceptacji. Porażki mogą stać się przyczyną zaniżonej samooceny, kompleksów i poczucia niższości. Co mogą zrobić rodzice i nauczyciele, by pomóc dzieciom wykształcić poczucie kompetencji oraz wiarę w siebie i swoje możliwości? W okresie dorastania (12–18 lat) dzieci stają przed konfliktem „tożsamość versus dyfuzja ról”. Według Eriksona głównym zadaniem nastolatka jest rozwinięcie poczucia tożsamości. W tym czasie większość nastolatków próbuje znaleźć odpowiedzi na pytania typu „Kim jestem?” i „Co chcę robić w życiu?”. Dokonują różnych wyborów, by sprawdzić, co najbardziej im odpowiada, tym samym budują tożsamość. Osoby nastoletnie, które pomyślnie przejdą to stadium, wykształcają silne poczucie własnej tożsamości i pozostają wierne swoim przekonaniom i wartościom, nawet w obliczu problemów i konfrontacji z innymi punktami widzenia. Co dzieje się z nastolatkami, które nie podejmują świadomych poszukiwań własnej tożsamości lub tymi, które są zmuszone dostosować się do rodzicielskiej wizji ich przyszłości? Będą miały problemy z określeniem, kim są i czego naprawdę chcą w życiu, co wpłynie na ich zaniżone poczucie własnej wartości i doświadczenie dyfuzji ról. Takie osoby nie są pewne swojej tożsamości ani tego, co chciałyby robić w przyszłości. Mają trudność ze znalezieniem swojej życiowej roli, czyli z podjęciem zobowiązań zawodowych, a także osobistych (tworzenie związków intymnych). We wczesnej dorosłości (między 20. a 40. rokiem życia) człowiek staje przed konfliktem „intymność versus izolacja”. Rozwinąwszy poczucie tożsamości w okresie dorastania, osoba taka odczuwa gotowość, by dzielić życie z innymi. Erikson twierdził, że trzeba mieć silne poczucie tożsamości, by zbudować intymną relację z innymi. Dorośli, którzy w okresie dorastania nie wykształcili pozytywnego obrazu siebie, mogą czuć się samotni i emocjonalnie odizolowani. Brak silnego poczucia tożsamości prowadzi do lęku przed uzależnieniem się od innego człowieka – a w konsekwencji do braku umiejętności wchodzenia w związki intymne. Osoby przekraczające 40. rok życia są w okresie środkowej dorosłości, trwającym do 60. roku życia. Konfliktem do rozwiązania jest wówczas „generatywność versus stagnacja”. Generatywność polega na stworzeniu dzieła swojego życia i przyczynieniu się do rozwoju innych przez działania takie jak samorealizacja w ramach życia zawodowego, wolontariat, bycie mentorem czy wychowywanie dzieci. Ci, którzy nie rozwiążą tego konfliktu pozytywnie, mogą doświadczyć stagnacji, przejawiającej się powierzchownymi relacjami z innymi, brakiem produktywności i zainteresowania samorozwojem, a przede wszystkim poczuciem znudzenia życiem. Od ok. 65. roku życia do śmierci przechodzimy okres zwany późną dorosłością. Konflikt w tym stadium to „integralność ego versus rozpacz”. Erikson twierdził, że w tym czasie ludzie zastanawiają się nad swoim życiem, starając się podsumować swoje osiągnięcia życiowe i albo odczuwają satysfakcję – są zadowoleni z życia i spełnieni, albo mają poczucie klęski (porażki). Ludzie, którzy są dumni ze swoich dokonań, rozwijają poczucie integralności ego i potrafią patrzeć na przemijające życie bez żalu. Co więcej, nie odczuwają lęku przed śmiercią. Osoby, które niepomyślnie przechodzą to stadium, uważają, że zmarnowały życie. Skupiają się na myśleniu „co by było, gdyby...”. Na koniec życia stają się zgorzkniałe, przygnębione i zrozpaczone, świadome, że już niczego zmienić się nie da – coraz bardziej boją się śmierci. podsumowuje stadia rozwoju wg teorii Eriksona. Stadia rozwoju psychospołecznego wg Eriksona. Stadium Wiek (lata) Konflikt Opis 1 0–1 bazalne zaufanie vs brak bazalnego zaufania bazalne zaufanie (lub jego brak) w to, że podstawowe potrzeby, takie jak zapewnienie pokarmu i troska, zostaną zaspokojone 2 1–3 autonomia vs wstyd/zwątpienie rozwój poczucia niezależności w wielu działaniach 3 3–6 inicjatywa vs poczucie winy podejmowanie inicjatywy w niektórych działaniach – może skutkować poczuciem winy, jeśli inicjatywy nie są uznane przez opiekunów lub gdy granice w ich podejmowaniu zostają przekroczone 4 7–11 produktywność vs poczucie niższości rozwój wiary w swoje możliwości (w przypadku osiągnięcia kompetencji i odniesienia sukcesów) lub poczucia niższości (w przypadku braku kompetencji i przeżywania porażek) 5 12–18 tożsamość vs dyfuzja ról poszukiwanie i rozwój własnej tożsamości 6 19–39 intymność vs izolacja nawiązanie intymnych relacji z innymi (partnerami seksualnymi oraz z przyjaciółmi) 7 40–64 kreatywność vs stagnacja wkład w społeczeństwo i bycie członkiem rodziny 8 65– integralność ego vs rozpacz podsumowanie swojego życia, zrozumienie jego sensu i ocena własnej drogi życiowej. Koncepcja rozwoju poznawczego Jean Piaget (1896–1980) definiował rozwój w postaci stadiów ( ). W przeciwieństwie do Freuda i Eriksona nie patrzył na rozwój z perspektywy psychoanalitycznej czy psychospołecznej, ale skupiał się na rozwoju poznawczym dziecka, choć warto pamiętać, że dostrzegał silny związek między rozwojem poznawczym i emocjonalnym. Uważał, że myślenie jest centralnym aspektem rozwoju oraz że dzieci są z natury dociekliwe. Twierdził jednak, że dzieci nie myślą i nie rozumują tak jak dorośli – dziecko nie myśli gorzej – myśli inaczej (Piaget, 1930, 1932). Zgodnie z jego koncepcją rozwoju zdolności poznawcze rozwijają się w różnych stadiach, co jest przykładem teorii rozwoju skokowego (ang. developmental stage theory ). W miarę jak dziecko zbliża się do nowego etapu, następuje znacząca zmiana w sposobie jego myślenia i rozumowania. Jean Piaget poświęcił ponad 50 lat życia na badanie dzieci i ich rozwoju poznawczego. Piaget uważał, że dzieci budują schematy poznawcze, które ułatwiają im zrozumienie świata. Schematy poznawcze (ang. scheme ) to konstrukty (modele myślowe) używane, by pomagać w kategoryzowaniu i interpretowaniu informacji. Do czasu osiągnięcia dorosłości dzieci tworzą schematy poznawcze niemal dla wszystkiego. Kiedy uczą się nowej informacji, dostosowują swoje schematy, wykorzystując dwa procesy: asymilację (ang. assimilation ) i akomodację (ang. accommodation ) . Najpierw asymilują nową informację lub doświadczenie zgodnie z dotychczasowymi schematami. Asymilacja ma miejsce, gdy dziecko przyswaja informację podobną do tej, którą już zna. Akomodacja następuje, gdy dziecko zmienia schematy, bazując na nowej informacji. Ten proces trwa w miarę, jak dzieci doświadczają współdziałania ze środowiskiem. Na przykład 2-letni Błażej wytworzył schemat psa, ponieważ jego rodzina ma labradora retrievera. Kiedy chłopiec widzi psa w swoich pełnych obrazków książeczkach, mówi: „Patrz mamo, pies!”. Tym samym dokonuje ich asymilacji do swojego schematu psa. Pewnego dnia Błażej widzi po raz pierwszy owcę i mówi: „Patrz mamo, pies!”. Wykształciwszy podstawowy schemat: pies to zwierzę z czterema łapami i sierścią, Błażej myśli, że wszystkie czworonożne stworzenia z futrem to psy. Gdy mama wyjaśnia, że zwierzę na obrazku to owca, a nie pies, Błażej musi dostosować swój schemat psa i wprowadzić do niego więcej informacji, bazując na swoich doświadczeniach. Schemat psa wytworzony przez Błażeja był zbyt szeroki, ponieważ nie wszystkie czworonożne zwierzęta z sierścią to psy. Błażej modyfikuje więc schemat psa i tworzy nowy dla owiec, a być może także schemat czworonożnych zwierząt z sierścią. Tak jak Freud i Erikson, Piaget uważał, że rozwój odbywa się w następujących po sobie stadiach odpowiadających przedziałom wiekowym. Sformułował on koncepcję rozwoju poznawczego, który odbywa się w czterech stadiach: sensoryczno-motorycznym, przedoperacyjnym, operacji konkretnych i operacji formalnych ( ). Stadia rozwoju intelektualnego wg Piageta. Wiek (lata) Stadium Opis Rozwijane umiejętności 0–2 sensoryczno-motoryczne doświadcza świata przez zmysły i działanie stałość obiektu; lęk przed obcymi 2–6 przedoperacyjne używa słów i obrazów do reprezentacji rzeczy, lecz nie rozumuje logicznie zabawa w udawanie; egocentryzm; rozwój języka 7–11 operacji konkretnych rozumie konkretne zdarzenia i analogie logiczne; wykonuje działania arytmetyczne zasada zachowania stałości; operacje umysłowe, np. matematyczne 12– operacji formalnych operacje formalne, rozumowanie abstrakcyjne hipotetyzowanie; myślenie abstrakcyjne; rozumowanie moralne Pierwsze stadium to stadium sensoryczno-motoryczne (ang. sensorimotor stage ), które trwa mniej więcej do 2. roku życia. W jego trakcie dzieci uczą się otaczającego ich świata za pośrednictwem zmysłów i aktywności motorycznej. Małe dzieci wkładają do buzi rzeczy, by sprawdzić, czy są jadalne, a gdy już potrafią wziąć przedmioty do ręki, potrząsają lub uderzają nimi, by przekonać się, czy wydają dźwięki. Między 5. a 8. miesiącem życia dziecko rozwija stałość reprezentacji obiektu (ang. object permanence ), czyli świadomość, że nawet jeśli coś znika z pola widzenia, to nadal istnieje (Bogartzet al., 2000). Według Piageta niemowlęta we wczesnym stadium rozwoju nie zapamiętują obiektów, które zniknęły im z oczu. Piaget badał reakcje niemowląt, którym pokazano zabawkę po raz pierwszy, po czym schowano ją pod kocem. Niemowlęta, które wykształciły stałość reprezentacji obiektu, sięgały po schowaną zabawkę, co oznacza, że wiedziały, że nadal istnieje, podczas gdy niemowlęta, które nie rozwinęły jeszcze stałości reprezentacji obiektu, sprawiały wrażenie zdezorientowanych. Poświęć chwilę na obejrzenie krótkiego filmu pokazującego różne etapy wykształcania stałości obiektu. Według Piageta mniej więcej w tym samym okresie, w którym dzieci rozwijają świadomość stałości obiektu, zaczynają również wykazywać lęk przed obcymi. Dzieci mogą dawać temu wyraz poprzez płacz, odwracanie się od osoby obcej, kurczowe trzymanie się opiekuna lub wyciąganie ramion do osób, które znają, np. rodziców. Lęk przed obcymi wynika z niemożliwości asymilacji obcej osoby do istniejącego schematu. Obawę u dziecka wywołuje niemożność przewidzenia, jak będzie wyglądało zetknięcie z nieznajomym. Drugim stadium rozwoju wg koncepcji Piageta jest stadium przedoperacyjne (ang. preoperational stage ), które trwa od ok. 2. do 7. roku życia. Dzieci potrafią wówczas wykorzystywać symbole, by reprezentować pojęcia, obrazy i myśli, dlatego też w tym okresie lubią bawić się w udawanie („zabawa na niby”). Ręce stają się skrzydłami samolotu, kiedy dziecko pędzi po pokoju. Trzymając w ręku patyk, dziecko może przemienić się w dzielnego rycerza z mieczem. W stadium przedoperacyjnym dzieci zaczynają również używać języka, ale nie rozumieją logiki dorosłych i nie potrafią umysłowo manipulować informacją (termin „operacyjny” odnosi się do logicznej manipulacji informacją, dlatego to stadium nazywa się „przedoperacyjnym”). Dziecięca logika opiera się na ich osobistej, dotychczasowej wiedzy o świecie, nie zaś na wiedzy ogólnej. Na przykład tata dał 10-letniej Kasi kawałek pizzy, drugi kawałek pizzy dał jej 3-letniemu bratu Karolowi. Kawałek Karola został pokrojony na pięć mniejszych, więc chłopiec powiedział siostrze, że ma więcej pizzy niż ona. Dzieci na tym etapie nie potrafią przeprowadzać operacji umysłowych, ponieważ nie rozumieją jeszcze zasady zachowania stałości (ang. conservation ), idei, że nawet po zmianie wyglądu jakiejś rzeczy, nadal posiada ona ten sam rozmiar, objętość czy liczbę tak długo, jak niczego nie dodajemy ani nie usuwamy. Ten film pokazuje 4–5-letniego chłopca w stadium przedoperacyjnym, który rozwiązuje zadania Piageta dotyczące zasady zachowania stałości. W tym stadium dzieci zazwyczaj wykazują egocentryzm (ang. egocentrism ) w myśleniu, co oznacza, że nie są w stanie przyjąć punktu widzenia innych. Dziecko na tym etapie uważa, że każdy widzi, myśli i czuje dokładnie tak jak ono. Wróćmy jeszcze raz do Karola i Kasi. Zbliżają się urodziny Kasi, więc jej mama zabrała Karola do sklepu z zabawkami, by wybrał prezent dla siostry. Karol wybrał figurkę Iron Mana, myśląc, że skoro jemu się podoba, to będzie też podobała się siostrze. Egocentrycznie myślące dziecko nie potrafi przyjąć punktu widzenia innych, dlatego przypisuje im swój punkt widzenia. Piaget opracował ćwiczenie „Trzy góry” , by określić stopień egocentryzmu w myśleniu dziecka. Dziecko ogląda trójwymiarową makietę gór ze swojego punktu widzenia. Następnie ma za zadanie powiedzieć, jak tę samą scenę widzi osoba patrząca z innej perspektywy. Obejrzyj krótki film udostępniony przez University of Minnesota i Muzeum Nauki w Minnesocie (ang. Science Musuem of Minnesota ), w którym dzieci wykonują ćwiczenie „Trzy góry”. Trzecim etapem rozwoju poznawczego wg Piageta jest stadium operacji konkretnych (ang. concrete operational stage ), które ma miejsce między 7. a 11. rokiem życia. W tym stadium dzieci potrafią myśleć logicznie o rzeczywistych (konkretnych) wydarzeniach, dobrze posługują się liczbami i zaczynają wykorzystywać strategie zapamiętywania. Umieją wykonywać działania matematyczne i rozumieją przekształcenia, np. że dodawanie jest przeciwieństwem odejmowania, a mnożenie przeciwieństwem dzielenia. Na tym etapie dzieci rozumieją już zasadę zachowania stałości. Nawet jeśli coś zmienia kształt, masę, objętość czy liczbę, pozostaje tą samą rzeczą. Na przykład jeśli przelejemy wodę z wysokiej, wąskiej do niskiej i pękatej szklanki, to ilość wody się nie zmieni. Pamiętasz historię Kasi, Karola i pizzy? Skąd Kasia wiedziała, że brat nie ma racji, mówiąc, że ma więcej pizzy niż ona? Dzieci w stadium operacji konkretnych rozumieją również zasadę odwracalności (ang. reversibility ), w myśl której przedmioty mogą ulegać zmianom, a potem wrócić do pierwotnego kształtu lub stanu. Co więcej, potrafią przeprowadzić tę operację w myśli. Przywołajmy ponownie przykład wody – możemy ją ponownie przelać z niskiej, pękatej szklanki do wysokiej i wąskiej i wciąż mieć tę samą ilość (ze stratą kilku kropel). Czwartym, ostatnim stadium, zgodnie z teorią Piageta, jest stadium operacji formalnych (ang. formal operational stage ), które trwa od 11. roku życia do dorosłości. Podczas gdy dzieci w stadium operacji konkretnych potrafią myśleć logicznie o konkretnych wydarzeniach, w stadium operacji formalnych umieją również zrozumieć abstrakcyjne konstrukty i sytuacje hipotetyczne. Nastolatki na tym etapie mają zdolność posługiwania się myśleniem abstrakcyjnym w celu rozwiązania danego problemu. W czasie dorastania ponownie pojawia się egocentryzm w myśleniu. Na przykład piętnastolatka z pryszczem na twarzy może uważać, że jest on ogromny i bardzo widoczny, niesłusznie sądząc, że inni na pewno postrzegają świat tak jak ona. Po stadium operacji formalnych Podobnie jak w przypadku innych twórców teorii rozwoju, wiele twierdzeń Piageta spotkało się z krytyką popartą wynikami późniejszych badań. Na przykład wiele współczesnych badań potwierdza, że rozwój jest raczej ciągły, a nie podzielony na wyraźne stadia zaproponowane przez Piageta (Couragei Howe, 2002; Siegler, 2005, 2006). Wielu innych autorów sugeruje, że dzieci osiągają kamienie milowe znacznie wcześniej niż opisywał to Piaget (Baillargeon, 2004; de Hevia i Spelke, 2010). Według Piageta najwyższym stadium rozwoju intelektualnego jest stadium operacji formalnych, które trwa między 11. a 20. rokiem życia. Badacz nie dostrzegał zmian poznawczych w okresie dorosłości. Wielu psychologów rozwojowych nie zgadza się z Piagetem, proponując piąte stadium rozwoju intelektualnego nazywane stadium operacji postformalnych (ang. postformal stage ) (Basseches, 1984; Commons, Bresette, 2006; Sinnott, 1998). W tym stadium decyzje podejmowane są na podstawie sytuacji i okoliczności. Gdy dorośli tworzą zasady zależne od kontekstu, logika zintegrowana jest z emocjami. Tym, co odróżnia dorosłego w stadium operacji postformalnych od osoby dorastającej w stadium operacji formalnych, jest sposób, w jaki radzi sobie ona z problemami nacechowanymi emocjonalnie. Po osiągnięciu dorosłości zmieniają się zdolności rozwiązywania problemów: zastanawiamy się głębiej nad wieloma aspektami naszego życia, takimi jak relacje z innymi, praca czy polityka (Labouvie-Vief, Diehl, 1999). Dzięki tej zmianie osoby w stadium operacji postformalnych potrafią czerpać z przeszłych doświadczeń, które pomagają im rozwiązać obecne problemy. Strategie rozwiązywania problemów z wykorzystaniem operacji postformalnych zmieniają się w zależności od sytuacji. Co to oznacza? Dorośli rozumieją np., że to, co wydaje się idealnym rozwiązaniem konfliktu z kolegą z pracy, może nie być najlepszym rozwiązaniem konfliktu z kimś bliskim. Całkowicie nowym nurtem jest badanie ograniczeń poznawczych występujących wraz z procesami starzenia się (Engle et al., 2006) – niezwykle ważne ze względu na wydłużanie się życia ludzkiego. Neurokonstruktywizm W ostatnich latach pojawiło się więcej badań i koncepcji na temat wzajemnego i obustronnego wpływu genów i środowiska (Newcombe, 2011). Jedno z takich podejść, neurokonstruktywizm, zakłada, że neuronalny rozwój mózgu wpływa na rozwój poznawczy, a sytuacje, których dziecko doświadcza, mogą wpłynąć na przebieg rozwoju ścieżek neuronalnych. Zachowanie każdego z nas zależy od tego, jak pojmujemy rzeczywistość. Interakcja między sieciami neuronalnymi i poznawczymi zachodzi na wszystkich poziomach oraz pomiędzy nimi, czyli między: genami, neuronami, mózgiem, ciałem i środowiskiem społecznym. Interakcje te – w zależności od doświadczeń zdobywanych przez całe nasze życie – kształtują określone reprezentacje umysłowe (Westermann, Mareschal, Johnson, Sirois, Spratling i Thomas, 2007). Weźmy np. dziecko, którego genetyczną predyspozycją jest trudny temperament. Jego rodzice mogą mu jednak stworzyć warunki, w których będzie ono zachęcane do wyrażania siebie w możliwie najmniej konfliktowy czy roszczeniowy sposób, a wskutek tych doświadczeń w mózgu dziecka utworzą się odpowiednie połączenia neuronalne. Jego mózg przekazuje ciału, jak ma ono reagować na otoczenie. Następnie wzajemne oddziaływanie sieci neuronalnych i poznawczych wpływa na geny (np. łagodząc temperament), ciało (np. zmniejszając skłonność do wysokiego ciśnienia tętniczego) i środowisko społeczne (np. poszukiwanie podobnych ludzi). Społeczno-kulturowa teoria rozwoju Rosyjski psycholog Lew Wygotski (1896-1934) zaproponował teorię mówiącą, że podstawowy wpływ na nasz rozwój ma tło kulturowe. Na nie zaś składają się doświadczenia historyczne społeczeństwa, w którym wzrastamy. Kształtują one język, którym mówimy, oraz nasz sposób myślenia i postrzegania świata. Teoria rozwoju moralnego Ważnym zadaniem zaczynającym się w dzieciństwie i trwającym do wieku młodzieńczego jest nauka odróżniania dobra od zła. Psycholog Lawrence Kohlberg (1927-1987), bazując na wnioskach Piageta na temat rozwoju poznawczego i na sformułowanej przez niego teorii rozwoju moralnego, stworzył własną teorię rozwoju moralnego (ang. theory of stages of moral development ). Kohlberg uważał, podobnie jak Piaget, że rozwój moralny, tak jak rozwój poznawczy, następuje etapami. W celu opracowania swojej teorii Kohlberg stawiał przed osobami w różnym wieku dylematy moralne, a następnie analizował odpowiedzi, by potwierdzić dane stadium rozwoju moralnego. Zanim przeczytasz o stadiach rozwoju moralnego, zastanów się przez chwilę, jaka byłaby twoja odpowiedź na jeden z najbardziej znanych kohlbergowskich dylematów moralnych, znany jako dylemat Heinza (ang. Heinz dilemma ): W Europie żyła kobieta śmiertelnie chora na raka. Istniał jeden lek, który według lekarzy mógł ją uratować. Lek był odmianą radu i został niedawno odkryty przez aptekarza z jej miasta. Wyprodukowanie leku było drogie, ale cena ustalona przez aptekarza dziesięciokrotnie przekraczała cenę produkcji. Aptekarz płacił 200 dolarów za rad, a żądał 2000 dolarów za niewielką dawkę leku. Mąż chorej kobiety, Heinz, pożyczył pieniądze od wszystkich, których znał, ale udało mu się uzbierać zaledwie około 1000 dolarów, czyli połowę ceny leku. Wyjaśnił aptekarzowi, że jego żona jest umierająca i poprosił go, by sprzedał mu lek taniej lub pozwolił zapłacić później. Aptekarz powiedział: „Nie, odkryłem ten lek i zamierzam na nim zarobić pieniądze”. Zdesperowany Heinz włamał się do apteki i ukradł lek dla swojej żony. Czy Heinz postąpił słusznie? (Kohlberg, 1969, p.379) Jak rozstrzygniesz ten dylemat? Kohlberga nie interesowało, czy odpowiesz „tak” czy „nie”; interesował go sposób rozumowania, który prowadził do wyboru konkretnej odpowiedzi. Po przedstawieniu badanym tego i różnych innych dylematów moralnych Kohlberg analizował ich odpowiedzi i klasyfikował je jako przejawy różnych etapów rozwoju moralnego (ang. stages of moral reasoning ) ( ). Według Kohlberga człowiek rozwija się od stadium moralności przedkonwencjonalnej (przed 9. rokiem życia) do moralności konwencjonalnej (wczesne dorastanie), a następnie w kierunku moralności postkonwencjonalnej (po osiągnięciu stadium operacji formalnych), którą w pełni rozwijają tylko niektórzy. W najwyższym stadium Kohlberg umieścił odpowiedzi osób, których rozumowanie zakładało, że Heinz słusznie ukradł lek, ponieważ życie jego żony było ważniejsze niż zysk aptekarza. Ludzkie życie ma wyższą wartość niż chciwość aptekarza. Ale uzasadnienie musiało zawierać informację, że podstawą rozumowania jest przyjęta przez daną osobę konkretna hierarchia wartości. Kohlberg wyróżnił trzy poziomy rozwoju moralnego: przedkonwencjonalny, konwencjonalny i postkonwencjonalny: każdy poziom dzieli się na coraz bardziej złożone stadia rozwoju moralnego. Należy powiedzieć, że nawet osoby opierające się czasami na bardzo złożonych postkonwencjonalnych przesłankach, w dokonywaniu niektórych wyborów mogą się kierować prostszymi, przedkonwencjonalnymi przesłankami. Wielu psychologów zgadza się z teorią rozwoju moralnego Kohlberga, lecz zaznacza, że moralne rozumowanie bardzo różni się od moralnego postępowania. W niektórych sytuacjach robimy coś innego niż mówimy. Inaczej: słowa słowami, a czyny czynami. Co więcej, zarówno Piaget i Kohlberg zakładali, że podejmujemy decyzje moralne w oparciu o analizę poznawczą. Współcześni badacze są raczej skłonni przypuszczać, że większość naszych decyzji jest podejmowana w ułamku sekundy, a więc opiera się na mechanizmach automatycznych. W jaki sposób teoria Kohlberga dotyczy kobiet, a w jaki mężczyzn? Kohlberg (1969) uważał, że więcej mężczyzn niż kobiet przechodzi w rozwoju moralnym poza stadium czwarte. Stwierdził nawet, że kobiety wydają się być na niższym od mężczyzn poziomie w rozumowaniu moralnym. Te twierdzenia nie zostały przychylnie przyjęte przez Carol Gilligan (ur. 1936), asystentkę Kohlberga, która przedstawiła swoje poglądy na rozwój moralny. W przełomowej książce „Innym głosem: Teoria psychologiczna a rozwój kobiet” Gilligan (1982) skrytykowała teorię swojego byłego mentora, ponieważ została ona oparta wyłącznie na badaniach białych mężczyzn i chłopców z klasy wyższej. Zaprzeczała niższemu poziomowi rozumowania moralnego kobiet – twierdziła jednak, że kobiety i mężczyźni rozumują inaczej. Dziewczynki i kobiety skupiają się bardziej na utrzymaniu więzi i wadze relacji interpersonalnych. Tym samym w przypadku dylematu Heinza wiele dziewczynek i kobiet odpowiada, że Heinz nie powinien kraść leku. Zgodnie z ich rozumowaniem, jeśli to zrobi, zostanie aresztowany i znajdzie się w więzieniu, a co za tym idzie – on i jego żona zostaną rozdzieleni i możliwe, że żona umrze, gdy on będzie w zamknięciu. Summary Powstało wiele teorii opisujących, w jaki sposób rosną i rozwijają się niemowlęta i dzieci, aby stać się szczęśliwymi, zdrowymi dorosłymi. Zygmunt Freud uważał, że przechodzimy wiele faz psychoseksualnych, w których skupiamy się na różnych strefach erogennych. Erik Erikson zmodyfikował koncepcję Freuda, tworząc teorię rozwoju psychospołecznego. Erikson twierdził, że interakcje społeczne i pomyślne rozwiązanie konfliktów kształtują poczucie tożsamości. Jean Piaget przedstawił koncepcję rozwoju poznawczego, w której wyjaśnił, w jaki sposób myślą i rozumują dzieci na poszczególnych stadiach rozwoju. Natomiast Lawrence Kohlberg, opierając się na założeniach zaproponowanych przez Piageta, skupił się na rozwoju moralnym. Twierdził, że człowiek przechodzi przez trzy poziomy rozumowania moralnego, których podstawą jest rozwój poznawczy. Review Questions Świadomość, że nawet jeśli coś znika z naszego pola widzenia, to nadal istnieje, nazywamy ________. egocentryzmem stałością obiektu zasadą zachowania stałości odwracalnością B Kto z wymienionych psychologów jest autorem teorii rozwoju moralnego? Zygmunt Freud Erik Erikson John Watson Lawrence Kohlberg D Jakie główne zadanie stoi przed nastolatkiem w okresie dorastania zgodnie z teorią rozwoju psychospołecznego Eriksona? rozwój autonomii poczucie kompetencji wykształcenie tożsamości nawiązanie relacji intymnych C Critical Thinking Questions Jaka jest różnica między asymilacją a akomodacją? Podaj przykład każdej z nich. Asymilacja ma miejsce, gdy przyswajajmy informację podobną do tej, którą już znamy. Akomodacja występuje, kiedy zmieniamy schemat poznawczy w oparciu o nową informację. Przykładem asymilacji może być wykształcony przez dziecko z rodziny posiadającej golden retrievera schemat psa, który zostaje rozszerzony, gdy rodzina adoptuje dwa psy innych ra. Przykładem akomodacji może być ten sam schemat psa, który zostaje skorygowany przez wyłączenie innych czteronożnych zwierząt z sierścią, takich jak owce czy lisy. Dlaczego Carol Gilligan krytycznie odnosiła się do teorii rozwoju moralnego Kohlberga? Gilligan krytykowała Kohlberga, ponieważ jego teoria oparta została na odpowiedziach białych mężczyzn i chłopców z klasy wyższej, przez co była nieobiektywna. Kohlberg uważał, że kobiety są na niższym stadium rozumowania moralnego, choć ich nie badał, a więc nie miał podstaw naukowych do tego typu twierdzeń. Gilligan zaprzeczyła jego wnioskom, twierdząc, że rozumowanie kobiet nie jest gorsze, tylko inne. Czym jest egocentryzm w myśleniu? Podaj przykład. Egocentryzm w myśleniu to niezdolność przyjęcia punktu widzenia innej osoby. Tego typu rozumowanie jest charakterystyczne dla dzieci w stadium przedoperacyjnym rozwoju poznawczego. Przykładem egocentrycznego myślenia może być sytuacja, kiedy dziecko widzi, że jego mama płacze i daje jej swoją ulubioną maskotkę, by poczuła się lepiej, ponieważ jemu zawsze to pomaga. Personal Application Questions Zastosowania Wyjaśnij, w jaki sposób znajomość głównych teorii rozwoju pomogłaby ci poradzić sobie z poniższymi problemami: Twoja będąca niemowlęciem córka wkłada wszystko do buzi, włącznie z jedzeniem dla psa. Twój ośmioletni syn ma słabe oceny z matematyki; jedyne, co go interesuje, to piłka nożna. Twoja dwuletnia córka nie chce zakładać wybranych przez ciebie ubrań, przez co poranne ubieranie zmienia się w dwudziestominutową wojnę. Twój sześćdziesięcioletni sąsiad ma przewlekłą depresję i uważa, że zmarnował swoje życie. Twoja osiemnastoletnia córka postanowiła nie iść na studia, za to wyprowadza się do innego miasta, by zostać instruktorką tańca. asymilacja (ang. assimilation ) zmiana schematu poznawczego poprzez dodanie informacji podobnych do tych, które osoba już zna, tzn. dodanie informacji do istniejącego schematu poznawczego akomodacja (dostosowanie) (ang. accommodation ) zmiana schematu poznawczego przez dostosowanie schematów w celu wprowadzenia nowych informacji, różnych od dotychczasowych doświadczeń; następuje tworzenie nowych schematów poznawczych stadium operacji konkretnych (ang. concrete operational stage ) trzecie stadium w koncepcji rozwoju intelektualnego Piageta; trwa mniej więcej od 7. do 11. roku życia; dzieci potrafią myśleć logicznie o rzeczywistych (konkretnych) zdarzeniach, potrafią posługiwać się operacjami umysłowymi (np. odwracalność) zasada zachowania stałości (ang. conservation ) idea, że nawet po zmianie wyglądu jakiejś rzeczy nadal posiada ona ten sam rozmiar, objętość czy też liczbę tak długo, jak niczego nie dodajemy ani nie usuwamy egocentryzm (ang. egocentrism ) trudność w przyjęciu punktu widzenia innych osób; występuje u dzieci w przedoperacyjnym stadium rozwoju stadium operacji formalnych (ang. formal operational stage ) czwarte stadium w koncepcji rozwoju intelektualnego Piageta; rozpoczyna się ok. 11. roku życia; dzieci potrafią myśleć abstrakcyjnie i rozważać hipotetyczne sytuacje stałość reprezentacji obiektu (ang. object permanence ) świadomość, że nawet jeśli coś znika z pola widzenia, to nadal istnieje stadium przedoperacyjne (ang. preoperational stage) drugie stadium w koncepcji rozwoju intelektualnego Piageta; od 2. do 7. roku życia dzieci uczą się używać symboli i języka, ale nie prowadzą operacji myślowych i często myślą nielogicznie rozwój psychoseksualny (ang. psychosexual development ) zaproponowany przez Freuda proces, w którym zaspokajanie popędów skupia się na różnych strefach erogennych w miarę jak człowiek przechodzi przez kolejne z pięciu faz życia rozwój psychospołeczny (ang. psychosocial development) zaproponowany przez Eriksona proces, w którym ludzie uczą się spełniać oczekiwania społeczne w miarę jak przechodzą kolejno przez osiem etapów życia, od niemowlęctwa do dorosłości odwracalność (ang. reversibility ) zasada, w myśl której przedmioty mogą ulegać zmianom, a potem wrócić do pierwotnego kształtu lub stanu (np. przekłutą piłkę można skleić i znów napompować) schemat poznawczy (ang. scheme ) (konstrukt – model myślowy), pojęcie używane, by pomagać w kategoryzowaniu i interpretowaniu informacji stadium sensoryczno-motoryczne (ang. sensorimotor stage ) pierwsze stadium w koncepcji rozwoju intelektualnego Piageta (od narodzin do ukończenia dwóch lat); dziecko poznaje świat za pośrednictwem zmysłów i aktywności motorycznej etapy rozwoju moralnego (ang. stages of moral reasoning ) koncepcja zaproponowana przez Kohlberga; według niej ludzie przechodzą przez trzy etapy rozwoju moralnego: moralność przedkonwencjonalną, konwencjonalną i postkonwencjonalną", "section": "Teorie psychologii rozwojowej", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Stadia rozwoju Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać etapy rozwoju prenatalnego i znaczenie opieki prenatalnej Ocenić rozwój fizyczny, poznawczy i emocjonalny, który ma miejsce od niemowlęctwa do dzieciństwa Porównać i rozróżnić rozwój fizyczny, poznawczy i emocjonalny, który ma miejsce w okresie dojrzewania Zbadać rozwój fizyczny, poznawczy i emocjonalny, który ma miejsce w wieku dorosłym Jak już mówiliśmy na początku tego rozdziału, psychologowie rozwojowi często dzielą rozwój na trzy obszary: rozwój fizyczny, poznawczy i psychospołeczny. Podobnie jak w omawianych wcześniej teoriach, w tym podrozdziale rozwój człowieka został podzielony na różne etapy zależne od wieku. Przeanalizujemy rozwój w okresach: prenatalnym, niemowlęcym, dziecięcym, dorastania i dorosłości. Rozwój prenatalny Jak to wszystko się zaczęło? Od pojedynczej komórki do narodzin rozwój prenatalny (ang. prenatal development ) to uporządkowana sekwencja zmian. Wyróżniamy trzy stadia rozwoju prenatalnego: okres zygoty, zarodkowy i płodowy. Przeanalizujmy, co dzieje się na każdym z tych etapów. Okres zygoty (1.–2. tydzień ciąży) Gdy w jednym z wcześniejszych rozdziałów omawialiśmy psychobiologię, mówiliśmy o genetyce i DNA. DNA matki i ojca jest przekazywane potomstwu w chwili poczęcia. Do zapłodnienia (ang. fertilization ) dochodzi w chwili, gdy plemnik wnika do komórki jajowej, w wyniku czego powstaje zygota ( ). Zygota (ang. zygote ) to początkowo jedna komórka, będąca efektem połączenia plemnika i komórki jajowej. Na tym etapie określone zostają cechy uwarunkowane genetycznie. W pierwszym tygodniu po zapłodnieniu zygota dzieli się, przekształcając się z jednej komórki w dwie, następnie cztery, potem osiem komórek itd. Proces podziału komórki i wszystkich komórek ciała (somatycznych) nazywamy mitozą (ang. mitose ). Podział komórek prowadzący do powstania komórek płciowych – plemników i komórek jajowych – nazywamy mejozą (ang. meiosis ). Z badań wynika, że mniej niż połowa zygot przeżywa dwa pierwsze tygodnie (Hall, 2004). Po 5 dniach mitozy jest około 100 komórek, a po 9 miesiącach – miliardy. Przy kolejnych podziałach komórki się specjalizują, tworząc różne narządy i części ciała. W chwili poczęcia plemnik zapładnia komórkę jajową. Okres zarodkowy (3.–8. tydzień ciąży) Po 7–10 dniach podziału, kiedy zygota liczy 150 komórek, kończy się jej wędrówka wzdłuż jajowodu i zagnieżdża się ona w śluzówce macicy. Po zagnieżdżeniu wielokomórkowy organizm zyskuje miano embrionu ( zarodka ) (ang. embryo ). Rozpoczyna się tworzenie naczyń krwionośnych łączących zarodek z krwiobiegiem matki. Zaczyna powstawać łożysko (ang. placenta ). Następuje rozwój podstawowych części zarodka, które w przyszłości staną się głową i tułowiem. Podczas okresu zarodkowego zaczyna bić serce, powstają i zaczynają funkcjonować podstawowe narządy. Formuje się cewa nerwowa, z której wykształcą się rdzeń kręgowy oraz mózg. Okres płodowy (9.–40. tydzień ciąży) Od ok. 9. tygodnia ciąży zarodek zaczynamy nazywać płodem (ang. fetus ). Na tym etapie jest wielkości fasolki i wraz z zanikiem „ogona” zaczyna przybierać kształt człowieka. Między 9. a 12. tygodniem ciąży zaczynają się różnicować narządy płciowe, przybierając postać charakterystyczną dla danej płci. W 16. tygodniu płód mierzy ok. 11 cm. Palce u rąk i nóg są całkowicie wykształcone, widoczne są linie papilarne. W 6. miesiącu płód waży do 700 g. Ma rozwinięty słuch, więc reaguje na dźwięki z zewnątrz, np. na głos czy muzykę. Narządy wewnętrzne takie jak płuca, serce, żołądek i jelita, są wystarczająco rozwinięte, by dziecko urodzone przedwcześnie na tym etapie miało szansę przeżyć poza łonem matki. W trakcie okresu płodowego rośnie i rozwija się mózg, którego objętość między 16. a 28. tygodniem zwiększa się niemal dwukrotnie. Około 36. tygodnia płód jest niemal w pełni ukształtowany. Waży ok. 2,7 kg i ma ok. 47 cm wzrostu, a w 37. tygodniu wszystkie narządy są wystarczająco rozwinięte, by dziecko mogło przeżyć poza organizmem matki. Płód w dalszym ciągu rośnie. Około 40. tygodnia przychodzi czas narodzin. Rozwój płodu na poszczególnych etapach przedstawia . Podczas okresu płodowego rozwija się mózg dziecka, a ciało przybiera na wadze i wzroście aż do osiągnięcia pełnego rozwoju. Czynniki wpływające na rozwój w okresie prenatalnym Na każdym etapie okresu prenatalnego na rozwój płodu mogą wpływać czynniki genetyczne, środowiskowe i stan zdrowia matki, która powinna być objęta opieką prenatalną (ang. prenatal care ). W jej trakcie monitoruje się zdrowie matki i płodu ( ). Według Narodowego Instytutu Zdrowia w Stanach Zjednoczonych (ang. National Institute of Health ) ([NIH], 2013) oraz w Polsce, zgodnie z Rozporządzeniem Ministra Zdrowia z dnia 16 sierpnia 2018 r. w sprawie standardu organizacyjnego opieki okołoporodowej (Dz. U. z 2018 r., poz. 1756), rutynowa opieka prenatalna zmniejsza ryzyko wystąpienia powikłań zdrowotnych u matki i płodu podczas ciąży. Kobiety, które zamierzają zajść w ciążę lub mogą zajść w ciążę, powinny omówić swoje plany z lekarzem. Ten może zalecić na przykład suplementację kwasem foliowym, który pomaga zapobiegać wadom cewy nerwowej u płodu, lub monitorowanie diety czy wysiłku fizycznego. Coraz więcej badań wskazuje, że szanse rozwojowe w okresie prenatalnym zależą także od zdrowia ojca. Kobieta w ciąży podczas badania w ramach opieki prenatalnej. (Źródło: Amerykańska Agencja Międzynarodowego Rozwoju (ang. United States Agency for International Development )). Substancje odżywcze i tlen są dostarczane płodowi przez łożysko; przedostają się przez nie wszystkie substancje, które trafiają do krwiobiegu matki, łącznie ze spożywanymi przez nią lekami oraz z substancjami zanieczyszczającymi środowisko, w którym przebywa matka. Teratogen (ang. teratogen ) to biologiczny, chemiczny lub fizyczny czynnik środowiskowy uszkadzający zarodek lub płód. Istnieją różne typy teratogenów. Alkohol i większość leków przedostają się z krwią przez łożysko i wpływają na płód. Badania potwierdzają, że spożywanie nawet niewielkiej ilości alkoholu podczas ciąży jest główną możliwą do uniknięcia przyczyną upośledzeń intelektualnych dzieci (Maieri West, 2001). Alkohol spożywany przez matkę w czasie ciąży może powodować spektrum poalkoholowych wrodzonych zaburzeń rozwojowych (FASD) (ang. fetal alcohol spectrum disorders (FASD) ) mających wpływ na życie dziecka ( ). Zmiany w rozwoju fizycznym u dzieci z FASD mogą obejmować m.in. zmniejszony obwód głowy i charakterystyczne rysy twarzy. Pod względem rozwoju poznawczego dzieci mają problemy z myśleniem przyczynowo-skutkowym, są impulsywne, częściej występuje u nich ADHD, mają trudności z uczeniem się i niższy iloraz inteligencji. Skutki tych problemów rozwojowych utrzymują się i widoczne są w okresie dorosłości (Streissguth et al., 2004). Co więcej, wyniki badań przeprowadzonych na zwierzętach wskazują, że spożywanie alkoholu przez matkę w czasie ciąży może mieć związek z nadużywaniem alkoholu w dorosłym życiu dziecka (Youngentob et al., 2007). Rysy twarzy w płodowym zespole alkoholowym. Części twarzy Możliwe skutki płodowego zespołu alkoholowego obwód głowy obwód głowy poniżej normy oczy mniejsze niż przeciętne szpary oczne, zmarszczka kącika oka nos zapadnięty grzbiet nosa, krótki nos środkowa część twarzy mniejsza niż przeciętna wielkość środkowej części twarzy wargi i rynienka podnosowa wąska górna warga, wygładzona rynienka podnosowa Palenie papierosów jest również uznawane za teratogen, ponieważ nikotyna przedostaje się przez łożysko do płodu. Palenie obniża też nasycenie tlenem krwi matki oraz płodu. Według Centrów Kontroli i Prewencji Chorób (ang. Centers for Disease Control and Prevention ) (2013) palenie papierosów w czasie ciąży może wywołać przedwczesny poród, niską masę urodzeniową dziecka, urodzenie martwego dziecka i nagłą śmierć łóżeczkową (ang. sudden infant death syndrome (SIDS) ). Heroina, kokaina, metamfetamina, niemal wszystkie leki na receptę i większość leków bez recepty uznawane są za teratogeny. Niemowlęta urodzone z uzależnieniem od heroiny potrzebują jej tak samo jak uzależniony dorosły. Dziecko trzeba stopniowo odzwyczajać od narkotyku pod nadzorem medycznym, w innym przypadku grożą mu zaburzenia mogące spowodować śmierć. Innymi teratogenami są np. promieniowanie rentgenowskie, wirusy takie jak HIV, opryszczka czy różyczka. Współcześnie w wielu krajach, w tym w Polsce, kobiety mają dużo mniejsze ryzyko zachorowania na różyczkę, ponieważ większość z nich w dzieciństwie została zaszczepiona, co chroni je przed chorobą. Każdy narząd płodu rozwija się na określonym etapie ciąży, zwanym okresem wrażliwym ( krytycznym ) (ang. critical/sensitive period ) ( ). W badaniu z udziałem naczelnych z FASD wykazano, że moment, w którym rozwijający się płód jest wystawiony na działanie alkoholu, może znacząco wpłynąć na pojawienie się charakterystycznych rysów twarzy związanych z alkoholowym zespołem płodowym. W szczególności badanie wskazuje, że ekspozycja na alkohol do 19. lub 20. dnia ciąży może prowadzić do znaczących zmian morfologicznych w twarzy dziecka (Ashley, Magnuson, Omnell, Clarren, 1999). Określono też okresy, podczas których poszczególne części mózgu są szczególnie narażone na teratogenne działanie alkoholu (Tran, Kelly, 2003). Czy kobiety zażywające narkotyki w czasie ciąży powinny być karane więzieniem? Kobiety zażywające narkotyki i pijące alkohol podczas ciąży mogą wyrządzić swoim dzieciom krzywdę na całe życie. Niektórzy opowiadają się za obowiązkowymi kontrolami ciężarnych, które w przeszłości zażywały narkotyki i, jeśli kobieta kontynuuje ich zażywane, aresztowaniem jej, osądzeniem i zamknięciem w więzieniu (Figdori Kaeser, 1998). Takie rozwiązanie zostało wypróbowane w Charleston w Południowej Karolinie zaledwie 20 lat temu. Nosiło nazwę Międzyagencyjnej Polityki Zarządzania Nadużywaniem Substancji Psychoaktywnych Podczas Ciąży (ang. Interagency Policy on Management of Substance Abuse During Pregnancy ) i miało katastrofalne skutki. Międzyagencyjna polityka była stosowana u pacjentek kliniki położnictwa Medical University of South Carolina (MUSC), która przyjmuje przede wszystkim pacjentów ubogich lub z państwowym ubezpieczeniem zdrowotnym. Nie była zaś stosowana u pacjentek prywatnych klinik położniczych. Polityka wymagała zapoznania pacjentki ze szkodliwymi skutkami nadużywania substancji podczas ciąży. [...] Ponadto ostrzegano pacjentki, że w ochronę płodu i nowo narodzonego dziecka przed skutkami nadużywania narkotyków mogą zostać zaangażowane: policja Charleston, prokurator Dziewiątego Sądu Obwodowego (Solicitor of the Ninth Judicial Court) oraz Oddział ds. Ochrony Departamentu Pomocy Społecznej (ang. Protective Services Division of the Department of Social Services (DSS) ). (Jos, Marshall, Perlmutter, 1995, pp. 120–121) Wspomniana polityka zniechęcała kobiety do korzystania z opieki prenatalnej czy jakiejkolwiek opieki społecznej. Była stosowana wyłącznie w przypadku kobiet o niskich dochodach, co spowodowało liczne pozwy sądowe. Program został zniesiony po pięciu latach. W tym czasie aresztowano 42 kobiety. Agencja federalna wykazała później, że program obejmował eksperymentowanie na ludziach bez ich zgody oraz bez nadzoru amerykańskiej komisji bioetycznej. Jakie były wady programu i w jaki sposób można je poprawić? Jakie są etyczne konsekwencje oskarżenia kobiety w ciąży o krzywdzenie dziecka? W Polsce w zakresie pomocy skierowanej do kobiet w ciąży uzależnionych od substancji psychoaktywnych obowiązują Międzynarodowe standardy profilaktyki uzależnień (ang. International standards on drug use prevention ). Odnoszą się one do różnych okresów rozwojowych i uwzględniają m.in. okres prenatalny, tym samym zobowiązując do podejmowania działań wobec kobiet w ciąży. Ich założenia zwracają szczególną uwagę na motywowanie młodych kobiet z grup ryzyka do podejmowania profesjonalnej terapii uzależnień. Jedną ze strategii uznanych za skuteczne są wizyty domowe pielęgniarki środowiskowej lub pracownika socjalnego w domu ciężarnej. Podkreśla się konieczność systematyczności wizyt i objęcia kobiety pomocą do osiągnięcia przez dziecko 2 lat (Ostaszewski, 2016). Od niemowlęctwa do dzieciństwa Noworodek waży średnio ok. 3,5 kg. Wszystkie zdrowe dzieci rodzą się z odruchami wrodzonymi (ang. newborn refelexes ) będącymi reakcjami na określony rodzaj bodźca. Odruchy wrodzone pomagają dziecku przeżyć do czasu, gdy rozwiną bardziej złożone zachowania; są kluczowe do przetrwania. U prawidłowo rozwijającego się noworodka większość z nich zanika ok. 4.–5. miesiąca. Przyjrzyjmy się niektórym z tych odruchów. Odruch toniczno-szyjny (ang. rooting reflex ) jest odpowiedzią noworodka na cokolwiek, co dotknie jego policzka: kiedy pogłaszczemy noworodka po policzku, odruchowo odwróci w tę stronę głowę i zacznie ssać. Odruch ssania (ang. sucking reflex ) to automatyczne ruchy ssące, które noworodki wykonują ustami. Gdy na przykład położymy palec na dłoni noworodka, zauważymy odruch chwytania (ang. grasping reflex ) – dziecko automatycznie łapie wszystko, co dotknie jego dłoni. Zaś odruch Moro ( odruch obejmowania ) (ang. Moro reflex ) jest odpowiedzią noworodka na gwałtowną zmianę położenia ciała. Dziecko prostuje kończyny i rozkłada ramiona, po czym przyciąga je do siebie w geście obejmowania. Poświęć 2 minuty na obejrzenie krótkiego filmu pokazującego różne odruchy noworodka. Co widzą, słyszą i czują niemowlęta? Wiele z wrodzonych preferencji niemowlęcia ułatwia interakcję z opiekunami i innymi ludźmi. Choć wzrok jest najsłabiej rozwiniętym zmysłem, niemowlę wykazuje już preferencję do patrzenia na twarze. Zaledwie kilkudniowe noworodki wolą słuchać głosu człowieka niż innych dźwięków. Dłużej słuchają głosów ludzkich niż odgłosów, które nie są mową (Vouloumanosi Werker, 2004). Ponadto wolą słuchać głosu matki niż obcych głosów (Millsi Melhuish, 1974). Przeprowadzono eksperyment, w którym trzytygodniowe niemowlęta dostały smoczki z nagranym głosem matki lub obcym głosem. Kiedy niemowlęta usłyszały głos matki, ssały smoczek mocniej (Millsi Melhuish, 1974). Niemowlęta mają też dobrze rozwinięty zmysł węchu. Potrafią np. odróżnić zapach matki od zapachu innych osób. W badaniu przeprowadzonym przez MacFarlane (1978) jednotygodniowe noworodki karmione piersią zostały położone między dwoma gazikami. Jeden pochodził z biustonosza obcej matki karmiącej, a drugi z biustonosza matki dziecka. Ponad 2/3 jednotygodniowych noworodków obróciło się do gazika z zapachem matki. Rozwój fizyczny W okresie noworodkowym, niemowlęcym i wczesnego dzieciństwa rozwój fizyczny jest bardzo szybki ( ). Noworodki ważą średnio od 2,3 kg do 4,5 kg, a ich masa ciała zazwyczaj wzrasta dwukrotnie po 6 miesiącach i trzykrotnie po roku. Po 2 latach dzieci ważą 4 razy więcej niż po urodzeniu, co oznacza, że dwulatek powinien ważyć między 9 kg a 18 kg. Średnia długość ciała noworodka to 50 cm, po 12 miesiącach wzrasta do 75 cm, a po 2 latach do 87 cm (Wieloośrodkowe Badania nad Rozwojem Fizycznym z inicjatywy Światowej Organizacji Zdrowia (ang. WHO Multicentre Growth Reference Study (MGRS) ), 2006). Od urodzenia po wczesne dzieciństwo dzieci bardzo szybko przechodzą zmiany fizyczne (Źródło [od lewej]: modyfikacja pracy Kerry'ego Ceszyka; modyfikacja pracy Kristi Fausel; modyfikacja pracy „devinf”/Flickr; modyfikacja pracy Rose Spielman). W niemowlęctwie i dzieciństwie wzrastanie nie następuje w jednostajnym tempie (Carel, Lahlou, Roger, Chaussain, 2004). Ulega ono spowolnieniu między 4. a 6. rokiem życia. W tym czasie dziecko przybiera 2–3 kg i rośnie o 5–8 cm rocznie. Po ukończeniu 8.–9. roku życia dziewczynki rosną szybciej niż chłopcy w wyniku skoku pokwitaniowego. Okres ten trwa do około 12. roku życia, kiedy pojawia się pierwsza miesiączka. Czas wystąpienia pierwszej menstruacji jest uwarunkowany genetycznie. W wieku 10 lat dziewczynka waży średnio 40 kg, a chłopiec średnio 38 kg. Mózg rozwija się przez całe życie. Neurogeneza – proces powstawania nowych komórek nerwowych – dzieli się na neurogenezę embrionalną (okres prenatalny) oraz postnatalną. Współcześnie coraz większą uwagę zwraca się na czynniki wspierające procesy neurogenezy mózgu, szczególnie te związane ze stylem życia (Cortright, 2018). Jednak proces neurogenezy jest najintensywniejszy w okresie prenatalnym i właśnie wtedy powstaje większość neuronów. Następnie w okresie noworodkowym i niemowlęcym każda droga nerwowa tworzy tysiące nowych połączeń. Ten okres szybkiego rozwoju układu nerwowego nazywany jest synaptogenezą . Szlaki nerwowe rozwijają się nadal w okresie dorastania. Po okresie szybkiego rozwoju układu nerwowego następuje okres przycinania synaptycznego, gdy zredukowana zostaje liczba połączeń neuronalnych. Uważa się, że dzięki przycinaniu synaptycznemu mózg może funkcjonować bardziej efektywnie dzięki opanowywaniu bardziej złożonych operacji (Hutchinson, 2011). Synaptogeneza trwa przez całe życie, ale najintensywniejsza jest podczas pierwszych kilku lat życia. Stanowi ona podstawę neuroplastyczności mózgu. Rozwój mózgu zachodzi dzięki plastyczności rozwojowej. W sytuacji trudności rozwojowych lub uszkodzenia ośrodkowego układu nerwowego znaczenia nabiera plastyczność naprawcza (Borkowska i Domagalska, 2008). Mózg małego dziecka jest bardzo plastyczny i szybko się rozwija, m.in. dzięki odpowiednim oddziaływaniom ze strony środowiska. Z drugiej strony należy pamiętać, że w tym okresie jest szczególnie narażony na czynniki ryzyka. Mózg szybko rośnie. Na przykład mózg 2-latka stanowi 55% mózgu dorosłego, a mózg 6-latka już 90% (Tanner, 1978). We wczesnym dzieciństwie (3–6 lat) szybko rosną płaty czołowe. Przypomnij sobie, jak omawialiśmy role czterech płatów mózgu. Płaty czołowe są odpowiedzialne za planowanie, rozumowanie, pamięć oraz kontrolę impulsów. Tym samym w chwili, gdy dziecko osiąga wiek szkolny, potrafi kontrolować swoją uwagę i zachowanie. W okresie wczesnoszkolnym płaty czołowe, skroniowe, potyliczne i ciemieniowe stają się większe. Okresy wzrostu mózgu w dzieciństwie pokrywają się z etapami rozwoju intelektualnego Piageta, zatem znaczące zmiany w funkcjonowaniu układu nerwowego są odpowiedzialne za rozwój poznawczy (Kolbi Whishaw, 2009; Overman et al., 1992). Warto jednak pamiętać, że pełną dojrzałość mózg – szczególnie płaty czołowe – osiąga dopiero w wieku 20–25 lat. Rozwój motoryczny następuje w uporządkowanej kolejności wraz z przejściem od odruchów wrodzonych (np. ssania) do bardziej zaawansowanych funkcji motorycznych. Na przykład dzieci najpierw uczą się utrzymywać głowę, następnie siadać z pomocą, potem bez pomocy opiekuna, po czym zaczynają raczkować i chodzić. Motoryka (ang. motor skills ) oznacza zdolność poruszania się i manipulowania przedmiotami. Mała motoryka (ang. fine motor skills ) odnosi się do sprawności ruchowej rąk w zakresie koordynowania czynności wymagających precyzji; ważny jest tu także proces koordynacji oko-ręka (np. chwytanie zabawki, pisanie ołówkiem, używanie łyżki). Motoryka duża (ang. gross motor skills ) odnosi się do sprawności fizycznej całego ciała wykorzystywanej podczas poruszania się (np. utrzymywanie równowagi, bieganie czy skakanie). W miarę rozwoju motoryki dziecko powinno osiągać kolejne etapy rozwoju ( ). Dla każdego kamienia milowego określony został średni wiek oraz przedział wiekowy, w którym powinien on zostać osiągnięty. Przykładem kamienia milowego jest siadanie. Wymaga ono zarówno koordynacji, jak i siły mięśni. Średnio dzieci siadają same w wieku 7 miesięcy. 90% niemowląt osiąga ten kamień milowy między 5. a 9. miesiącem życia. Innym przykładem może być trzymanie główki. Średnio dzieci osiągają ten kamień milowy w wieku 6 tygodni, a 90% niemowląt między 3. tygodniem a 4. miesiącem życia. Jeśli rozwój dziecka wykazuje opóźnienia w zakresie wielu kamieni milowych, rodzic lub opiekun powinien przedyskutować taką sytuację z pediatrą. Niektóre opóźnienia rozwojowe można rozpoznać i zniwelować dzięki wczesnej interwencji. Kamienie milowe w rozwoju motorycznym dziecka w 1. roku życia. (Opracowano na podstawie: Brzezińska et al., 2016). Miesiąc życia Osiągnięcia rozwojowe dziecka 1.-3. utrzymuje uniesioną główkę przez kilka sekund; utrzymuje uniesioną główkę w leżeniu na brzuchu; chwyta i trzyma grzechotkę podaną przez inną osobę 4. obraca się z pleców na boki; opiera się na przedramionach w leżeniu na brzuchu; celowo sięga po przedmioty 5. obraca się z brzucha na plecy; unosi się do siedzenia podtrzymywane za ręce 6. siedzi z podtrzymywaniem; obraca się z pleców na brzuch; schwytany całą dłonią przedmiot przekłada z ręki do ręki 7. siedzi samodzielnie; bawi się swoimi stopami; sprężynuje, tzn. podskakuje przytrzymywane pod pachami; trzyma dwa przedmioty w dwóch rękach; manipuluje przedmiotem trzymanym w ręce 8. stoi podtrzymywane 9.-10. raczkuje; stoi przy meblach; upuszcza przedmioty w sposób celowy; manipuluje przedmiotami - wyjmuje mniejsze z większych 11. chodzi bokiem, np. przy meblach; chodzi do przodu przytrzymywane przez drugą osobę; próbuje stać samodzielnie; precyzyjnie chwyta przedmiot 12. chodzi samodzielnie Umiejętności dziecka od drugiego do piątego roku życia. Wiek (lata) Motoryczny Indywidualny/społeczny Językowy Poznawczy 2 kopie piłkę; wchodzi po schodach i schodzi z nich bawi się z innymi dziećmi; naśladuje dorosłych pokazuje przedmioty, które nazywa; składa zdania z 2–4 wyrazów Rozpoznaje kształty i kolory; rozumie 2-stopniowe polecenia 3 wspina się i biega; jeździ na rowerku z trzema kółkami bawi się naprzemiennie; wyraża wiele emocji; nazywa znane mu rzeczy, używa zaimków bawi się w udawanie (zabawa na niby); manipuluje zabawkami złożonymi z części (dźwignia, uchwyt) 4 łapie piłkę; używa nożyczek woli bawić się z innymi niż samo; ma swoje preferencje i zainteresowania zna na pamięć piosenki i wierszyki nazywa kolory i liczby; zaczyna pisać litery 5 podskakuje; używa widelca i łyżki odróżnia fikcję od rzeczywistości; lubi aprobatę kolegów i koleżanek; samodzielnie się ubiera mówi wyraźnie; używa pełnych zdań liczy do 10 lub więcej; pisze niektóre litery i przerysowuje podstawowe kształty Rozwój poznawczy Oprócz szybkiego rozwoju fizycznego u małego dziecka występuje również znaczący rozwój zdolności poznawczych. Piaget sądził, że zdolność dzieci do umysłowej reprezentacji przedmiotu (tzw. stałość przedmiotu), np. rozumienie, że grzechotka wydaje dźwięk, gdy się nią potrząśnie, jest umiejętnością poznawczą, którą dziecko rozwija powoli w miarę dorastania i współdziałania z otoczeniem. Dziś psychologowie rozwojowi uważają, że Piaget nie miał racji. Badacze udowodnili, że nawet bardzo małe dzieci rozwijają schematy poznawcze w odniesieniu do różnych przedmiotów na długo przed zetknięciem z nim (Baillargeon, 1987; Baillargeon, Li, Gertner, Wu, 2011). Na przykład dzieci w wieku zaledwie 3 miesięcy wykazywały oczekiwanie co do właściwości niektórych przedmiotów, które jedynie widziały i z którymi nie miały wcześniejszej styczności. Podczas jednego z badań trzymiesięcznym niemowlętom pokazano ciężarówkę zjeżdżającą z górki po torze. Obok toru ciężarówki ustawiono pudełko, które wydawało się bryłą, lecz w rzeczywistości było otwarte na wylot. Ciężarówka, jak można było się spodziewać, przejechała obok pudełka. Następnie pudełko zostało umieszczone na torze, na drodze przejazdu ciężarówki. Ciężarówka, oczywiście, bez problemu przejechała przez niewidoczny dla dziecka otwór w pudełku. Niemowlęta spędziły zdecydowanie więcej czasu na przyglądaniu się temu zaskakującemu dla nich zdarzeniu niż na oglądaniu pierwszej sytuacji ( ). Baillargeon (1987) uznał, że dzieci wiedzą, że obiekty stałe nie mogą przez siebie przenikać. Wyniki tych badań sugerują, że bardzo małe dzieci posiadają stałość reprezentacji przedmiotu, co według Piageta (1954) było poza ich zdolnościami poznawczymi ze względu na ograniczoną ilość własnych doświadczeń. W badaniu Baillargeona niemowlęta obserwowały ciężarówkę (a) zjeżdżającą po pustym torze, (b) zjeżdżającą po torze, obok którego stała przeszkoda (pudełko), i (c) zjeżdżającą z górki i przejeżdżającą przez coś, co wydawało się przeszkodą. Tak jak dzieci osiągają kamienie milowe w rozwoju fizycznym, tak też istnieją kamienie milowe w rozwoju poznawczym. Ich znajomość jest bardzo pomocna, gdy mamy do czynienia z dzieckiem zdobywającym nowe umiejętności myślenia, rozwiązywania problemów i komunikowania. Na przykład niemowlęta kręcą głową, by powiedzieć „nie”, w wieku około 6–9 miesięcy i reagują na polecenia typu „zrób pa pa” lub „wyślij buziaka” około 9.–12. miesiąca. Pamiętacie definicję stałości reprezentacji obiektu Piageta? Możemy przyjąć, że dziecko w wieku ok. 8 miesięcy będzie rozumiało, że rzecz nadal istnieje, nawet jeśli znika z pola widzenia. Ponieważ dzieci między 12. a 24. miesiącem życia wykształciły już stałość reprezentacji obiektu, lubią bawić się np. w chowanego, bo rozumieją, że ktoś, kto wychodzi z pokoju, do niego wróci (Loop, 2013). Dzieci w tym wieku potrafią również pokazywać obrazki w książkach i szukać w odpowiednich miejscach, gdy poprosi się je o znalezienie czegoś. Dzieci w wieku przedszkolnym (3–5 lat) wciąż rozwijają się pod względem poznawczym. Potrafią nie tylko liczyć, nazywać kolory, powiedzieć, jak mają na imię i ile mają lat, lecz także podejmować samodzielnie niektóre decyzje, np. w kwestii swojego ubrania. Dzieci w wieku przedszkolnym rozumieją podstawowe zasady czasu i chronologii (np. „przed” i „po”) oraz potrafią powiedzieć, co wydarzy się dalej w bajce. Zaczynają doceniać humor w opowiadanych historiach. Ponieważ umieją myśleć symbolicznie, lubią bawić się w udawanie i wymyślają złożone postaci i historie. Jednym z najbardziej znanych przykładów rozwoju poznawczego dzieci w wieku przedszkolnym jest ich ogromna ciekawość. Dzieci w tym wieku uwielbiają pytać „dlaczego”. W tym wieku zachodzi ważna zmiana w rozwoju poznawczym. Pamiętacie, że Piaget opisywał dzieci między 2. a 3. rokiem życia jako egocentryczne w znaczeniu braku świadomości istnienia innych punktów widzenia? Między 3. a 5. rokiem życia dzieci zaczynają rozumieć, że inni ludzie mają myśli, uczucia i że są one inne niż ich własne. Nazywamy to teorią umysłu (ang. theory-of-mind (TOM) ). Wprowadzony pod koniec XX wieku termin „teoria umysłu” odnosi się do umiejętności rozumienia zachowania swojego i innych osób oraz przewidywania zachowania i jego konsekwencji. Na przykład dziecko, które ogląda książkę i chce pokazać drugiej osobie ilustrację w niej zawartą, rozumie, że musi skierować książkę w stronę tej osoby. Oznacza to, że najpierw musi przyjąć punkt widzenia drugiej osoby, żeby zrozumieć, iż jej perspektywa jest inna (Trempała, 2011). Zadania dotyczące fałszywych przekonań są przydatne w określaniu etapu rozwoju teorii umysłu u dzieci. Obejrzyj film pokazujący zadanie na fałszywe przekonania. W późnym dzieciństwie (6–11 lat) nadal rozwijają się umiejętności poznawcze. Procesy myślowe stają się bardziej logiczne i zorganizowane ( ). Dzieci w tym wieku rozumieją, czym jest przeszłość, teraźniejszość i przyszłość, dzięki temu potrafią planować i starać się zrealizować cel. Ponadto potrafią przeprowadzać złożone operacje myślowe, jak dodawanie i odejmowanie czy dostrzeganie relacji przyczynowo-skutkowych. Jednak czas skupienia uwagi dziecka w tym wieku jest zazwyczaj bardzo ograniczony. Zaczyna się znacznie wydłużać od ok. 11. roku życia aż do okresu dorosłości. Dzieci w okresie późnego dzieciństwa (6–11 lat) rozumieją pojęcia szczęścia i uczciwości, więc potrafią przestrzegać zasad gry. (Źródło: Edwin Martinez). Jednym z bardzo dobrze zbadanych aspektów rozwoju poznawczego jest rozwój mowy. Jak wspomnieliśmy wcześniej, kolejność, w jakiej dzieci uczą się struktur językowych, jest jednakowa u wszystkich dzieci niezależnie od kultury (Hatch, 1983). Jak już także wcześniej wspomnieliśmy, niektórzy badacze sugerują, że dzieci posiadają biologiczne predyspozycje do przyswajania języka. Rozwój umiejętności komunikacyjnych rozpoczyna się jeszcze przed narodzeniem. W chwili urodzenia dzieci rozpoznają głos matki i potrafią odróżnić język lub więcej języków, którymi mówi ich matka, od obcych języków. Wykazują też preferencje do twarzy, które poruszają się synchronicznie ze słyszanymi słowami (Blossomi Morgan, 2006; Pickens, 1994; Spelkei Cortelyou, 1981). Dzieci komunikują się za pomocą gestów na długo przed tym, zanim zaczną mówić. Istnieją dowody, że używanie gestów zwiastuje rozwój języka (Iversoni Goldin-Meadow, 2005) – zaczynają głużyć niemal od razu. (Głużenie to wydawanie jednosylabowych dźwięków złożonych ze spółgłoski i samogłoski (np. „ gu” lub „ ba” )). Co interesujące, dzieci naśladują dźwięki z języków zasłyszanych w swoim otoczeniu. Dziecko, którego rodzice mówią po francusku, będzie głużyło inaczej niż dziecko rodziców mówiących po hiszpańsku lub w urdu. Po okresie głużenia dziecko zaczyna gaworzyć. Zaczyna się ono od powtarzania sylab, np. ma-ma , da-da lub ba-ba . Gdy dziecko ma około 12 miesięcy, oczekujemy pierwszego słowa ze znaczeniem, a ok. 18. miesiąca – łączenia słów w znaczące sekwencje. Około 2. roku życia dziecko używa między 50 a 200 słów, w wieku 3 lat zna do 1000 słów i komunikuje się zdaniami. We wczesnym dzieciństwie zasób słów rośnie bardzo szybko, co bywa określane mianem „eksplozji”. Twierdzono, że w tym czasie dziecko powiększa słownictwo w tempie 10–20 nowych słów tygodniowo. Najnowsze badania wykazują, że choć u części dzieci następuje taka eksplozja, to jest to zjawisko dalekie od powszechności (jak opisano w pracy Gangeri Brent, 2004). Szacuje się, że pięciolatek rozumie ok. 6000 słów, w mowie posługuje się 2000, potrafi też definiować słowa i pytać o ich znaczenia. Dzieci w tym wieku potrafią rymować i nazywać dni tygodnia. Siedmiolatkowie mówią płynnie oraz używają języka potocznego i utartych fraz (Stork, Widdowson, 1974). Co leży u źródła ogromnej zdolności przyswajania języka przez dzieci? Behawiorysta Burrhus Frederic Skinner (1904-1990) uważał, że uczymy się języka w odpowiedzi na wzmocnienia lub informację zwrotną, jak aprobata rodziców lub zostanie zrozumianym. Na przykład gdy dwulatek chce poprosić o sok, może powiedzieć „ja sok”. Mama może podać mu wówczas szklankę soku jabłkowego. Noam Chomsky (1957) skrytykował teorię Skinnera, wysuwając twierdzenie, że wszyscy rodzimy się z wrodzoną zdolnością nauki języka. Chomsky nazwał ją mechanizmem przyswajania języka (ang. language acquisition device (LAD) ). Kto ma rację? Zarówno Chomsky, jak i Skinner. Pamiętaj, że jesteśmy efektem działań zarówno natury, jak i wychowania. Obecnie badacze uważają, że przyswajanie języka jest po części wrodzone, a po części wyuczone poprzez interakcje z naszym środowiskiem językowym (Gleitmani Newport, 1995; Storki Widdowson, 1974). Przywiązanie Rozwój psychospołeczny następuje, gdy dzieci tworzą relacje, wchodzą w interakcje z innymi, rozumieją swoje uczucia i kierują nimi. W rozwoju społecznym i emocjonalnym tworzenie przywiązania jest bardzo ważne i stanowi najważniejszy kamień milowy w okresie niemowlęctwa. Przywiązanie (ang. attachment ) to długotrwały związek (lub więź) z innymi osobami. Psychologowie rozwojowi próbują dowiedzieć się, w jaki sposób niemowlęta osiągają ten kamień milowy. Szukają odpowiedzi na pytania: Jak powstają więzi między opiekunami a niemowlęciem? Jak zaniedbanie wpływa na te więzi? Z czego wynikają różne wzorce przywiązania dzieci? Harry Harlow (1905-1981), John Bowlby (1907-1990) i Mary Ainsworth (1913-1999) wykonali badania mające odpowiedzieć na te pytania. W latach 50. Harlow przeprowadził serię eksperymentów z udziałem małp. Odseparował nowo narodzone małpy od ich matek. Każdy noworodek dostał dwie „matki zastępcze”. Jedną zrobioną z drutu, z przymocowaną butelką mleka, i drugą bardziej miękką, wykonaną z materiału, która nie podawała mleka. Badanie wykazało, że małpy wolały miękką, przytulną matkę z materiału, nawet jeśli nie zapewniała jedzenia. Noworodki spędzały czas, wtulając się w materiałową małpę i udawały się do drucianej tylko wtedy, gdy były głodne. Przed tym badaniem przypuszczano, że dzieci przywiązują się do osób, które zapewniają im pożywienie. Jednak Harlow (1958) dowiódł, że więź matki i dziecka to nie tylko pożywienie. Poczucie komfortu i bezpieczeństwa to podstawowy budulec więzi między opiekunem a dzieckiem, pozwalający na zdrowy rozwój psychospołeczny. Badania Harlowa zostały przeprowadzone przed wprowadzeniem współczesnych norm etycznych. Dziś jego eksperyment powszechnie uznawany jest za nieetyczny, a nawet okrutny. Obejrzyj film przedstawiający autentyczne nagrania badania Harlowa z udziałem małp. Bazując na badaniach Harlowa i innych, John Bowlby sformułował teorię przywiązania (ang. attachment theory ). Zdefiniował przywiązanie jako emocjonalną więź, którą niemowlę wykształca względem matki (Bowlby, 1969). Dziecko musi wykształcić taką więź z głównym opiekunem, by móc prawidłowo rozwijać się społecznie i emocjonalnie. Ponadto Bowlby uważał, że taka więź jest bardzo silna i trwa przez całe życie (1988). Bezpieczna baza (ang. secure base ) to obecność rodzica, która daje dziecku poczucie bezpieczeństwa w czasie, gdy eksploruje ono otoczenie. Bowlby twierdził, że do wykształcenia bezpiecznego wzorca przywiązania konieczne jest spełnienie dwóch warunków: opiekun musi odpowiadać na fizyczne, społeczne i emocjonalne potrzeby dziecka oraz opiekun i dziecko muszą wchodzić w przyjemne dla obojga interakcje (Bowlby, 1969) ( ). Więź między matką a dzieckiem budowana jest przez przyjemne dla obojga interakcje. (Źródło: Peter Shanks). Podczas gdy Bowlby uważał, że przywiązanie jest procesem działającym na zasadzie „wszystko albo nic”, badanie Mary Ainsworth (1970) wykazało, że tak nie jest. Ainsworth chciała się dowiedzieć, czy dzieci przywiązują się w różny sposób, a jeśli tak, to dlaczego. Wykorzystywała w tym celu eksperyment nazwany „procedurą obcej sytuacji”, przez który badała przywiązanie między matkami i niemowlętami (1970). W procedurze obcej sytuacji matkę (lub głównego opiekuna) oraz dziecko (12–18 miesięcy) umieszczano razem w pokoju, w którym dostępne były zabawki; opiekun i dziecko spędzali w nim jakiś czas sami. Po czasie, w którym dziecko mogło zapoznać się z otoczeniem i eksplorować je, do pokoju wchodziła obca osoba. Następnie matka zostawiała dziecko z obcą osobą. Po kilku minutach wracała, by pocieszyć dziecko. Na podstawie reakcji dzieci na rozłąkę z opiekunem i jego powrót Ainsworth wyróżniła trzy wzorce przywiązania między rodzicem i dzieckiem: bezpieczny lękowo-unikający lękowo-ambiwalentny (lękowo-oporny) (Ainsworth i Bell, 1970). Czwarty wzorzec przywiązania, nazywany zdezorganizowanym, został opisany później (Maini Solomon, 1990). Najczęstszym wzorcem przywiązania – uznawanym również za najzdrowszy – jest pierwszy z wymienionych, czyli bezpieczny wzorzec przywiązania (ang. secure attachment ) ( ). W tym wzorcu dziecko przedkłada rodzica nad obcą osobę. Osoba, do której przywiązane jest dziecko, stanowi dla niego bezpieczną bazę do eksplorowania otoczenia i jest tym, u kogo szuka pomocy w sytuacji stresowej. Dzieci wykazujące bezpieczny wzorzec przywiązania denerwowały się, gdy ich opiekunowie opuszczali pokój, lecz gdy wracali, były szczęśliwe na ich widok i opiekunowi łatwo było je uspokoić. Opiekunowie dzieci z przywiązaniem bezpiecznym są wrażliwi i reagują na potrzeby dziecka. Rodzic dziecka wykazującego bezpieczny wzorzec przywiązania jest dla niego bazą umożliwiającą bezpieczne odkrywanie świata. (Źródło: Kerry Ceszyk). Dziecko z lękowo-unikającym wzorcem przywiązania (ang. avoidant attachment ) w procedurze obcej sytuacji nie odpowiada na działania rodzica, rodzic nie stanowi dla niego bezpiecznej bazy. Gdy wychodził, dziecko nie było tym zaniepokojone i reagowało na rodzica tak samo jak na obcą osobę. Gdy rodzic wracał, dziecko bardzo wolno okazywało pozytywną reakcję. Ainsworth wnioskowała, że opiekunowie dzieci z lękowo-unikającym wzorcem przywiązania byli najprawdopodobniej nieczuli, odrzucający i ignorujący potrzeby swoich dzieci (Ainsworth et al. 1978). W przypadkach lękowo-ambiwalentnego (lękowo-opornego) wzorca przywiązania (ang. resistant attachment ) w procedurze obcej sytuacji dzieci stale upewniały się o obecności rodzica, ale następnie odrzucały próby rodzica służące ich uspokojeniu (Ainsworthi Bell, 1970). Dzieci o tym wzorcu przywiązania nie próbowały zapoznać się z zabawkami w pokoju, bo za bardzo się bały. Podczas odseparowania w ramach procedury obcej sytuacji były bardzo wzburzone i złe na rodzica. Gdy rodzic wracał, trudno było mu uspokoić dziecko. Lękowo-ambiwalentny (lękowo-oporny) wzorzec przywiązania jest efektem niespójnych odpowiedzi opiekunów na potrzeby dziecka. Dzieci o zdezorganizowanym wzorcu przywiązania (ang. disorganized attachment ) podczas procedury obcej sytuacji zachowywały się niespójnie. Zastygały bez ruchu, biegały po pokoju w nieskoordynowany sposób lub uciekały, gdy opiekun wracał do pokoju (Main i Solomon, 1990). Ten wzorzec przywiązania obserwuje się najczęściej u dzieci, które były maltretowane. Badania wykazują, że takie dzieci tracą zdolność regulacji emocji. Choć twierdzenia Ainsworth znalazły potwierdzenie w późniejszych badaniach, spotkały się również z krytyką. Niektórzy badacze wykazali, że temperament dziecka może mieć duży wpływ na jego wzorzec przywiązania (Gervai, 2009; Harris, 2009), inni zauważyli, że wzorce przywiązania różnią się w zależności od kultury – czynnika, który w badaniach Ainsworth nie został wzięty pod uwagę (Rothbaumet al., 2000; van Ijzendoorn, i Sagi-Schwartz, 2008). Obejrzyj film pokazujący procedurę obcej sytuacji. Spróbuj rozpoznać, który styl przywiązania wykazuje Lisa. Samoświadomość Tak jak przywiązanie jest najważniejszym kamieniem milowym w rozwoju psychospołecznym w okresie niemowlęctwa, tak najważniejszym psychospołecznym kamieniem milowym w dzieciństwie jest rozwój poczucia tożsamości. Niemowlęta nie posiadają samoświadomości – nie rozumieją, kim są. Jeśli posadzimy niemowlę przed lustrem, wyciągnie rączki do swojego odbicia, myśląc, że to inne dziecko. Dopiero w wieku ok. 18 miesięcy zrozumie, że odbicie w lustrze to ono. Skąd to wiemy? W eksperymencie powszechnie znanym jako „test lustra” badacz namalował czerwoną kropkę na nosach dzieci przed posadzeniem ich przed lustrem (Amsterdam, 1972). Dzieci w wieku 18 miesięcy dotykały swoich nosów, gdy zauważyły farbę, zdziwione, że mają kropkę na twarzy. Takie zachowanie obserwowane u ludzi i kilku gatunków zwierząt uważane jest za dowód, że badane osobniki rozpoznają siebie (Archer, 1992). Dzieci w wieku 24–36 miesięcy potrafią nazwać i/lub wskazać siebie na zdjęciach, wyraźnie wykazując, że się rozpoznają. Rozwinąwszy samoświadomość, dzieci między 2. a 4. rokiem życia wykazują ogromny rozwój zachowań społecznych. Lubią się bawić z innymi dziećmi, ale z trudnością przychodzi im dzielenie się swoimi rzeczami, potrafią też powiedzieć, czy są dziewczynką, czy chłopcem (Chick, Heilman-Houser, Hunter, 2002). W wieku 4 lat dzieci potrafią współpracować z innymi dziećmi, dzielić się, gdy się je o to poprosi, i nie odczuwają większego niepokoju, gdy oddzieli się je od rodziców. Dzieci w tym wieku wykazują autonomię, inicjują działania i realizują plany. Osiągnięcie sukcesu w tych dziedzinach sprzyja rozwojowi poczucia tożsamości. Dzieci w wieku 6 lat potrafią identyfikować siebie jako członka grupy. Dzieci w wieku szkolnym porównują się z rówieśnikami i odkrywają, że są bardziej kompetentne w niektórych dziedzinach, a w innych mniej (przypomnij sobie konflikt rozwojowy „produktywność versus poczucie niższości” w koncepcji Eriksona). W tym wieku dzieci rozpoznają cechy swojej osobowości, jak również inne cechy, które chciałyby mieć. Na przykład 10-letnia Julka mówi: „Jestem nieśmiała. Chciałabym być bardziej rozmowna, jak moja koleżanka Ola”. Rozwój samoświadomości jest ważny dla prawidłowego rozwoju osobowości. Dzieci o pozytywnej samoświadomości są zazwyczaj bardziej pewne siebie, lepiej radzą sobie w szkole, są bardziej niezależne i chętne do podejmowania nowych wyzwań (Maccoby, 1980; Ferrer, Fugate, 2003). Kształtowanie samoświadomości zaczyna się, wg Eriksona, w okresie wczesnego dzieciństwa, kiedy dzieci zaczynają wykształcać autonomię i zyskują pewność siebie w działaniach. Rozwój samoświadomości w szkole podstawowej odbywa się m.in. wówczas, gdy dzieci porównują się z innymi. Jeśli porównanie jest dla nich pomyślne, czują się kompetentne i są zmotywowane do dalszej pracy, by osiągnąć więcej. Samoświadomość podlega ponownej ocenie w eriksonowskim okresie dorastania, gdy wykształca się tożsamość. Przyswajają wówczas informacje dotyczące swoich silnych i słabych stron, uwewnętrzniając niektóre, a niektóre odrzucając. Osoby nastoletnie, które pomyślnie wykształciły tożsamość, potrafią wnieść pozytywny wkład w społeczeństwo (Erikson, 1968). Fenomenologiczny wariant teorii systemów ekologicznych Pierwsze badanie psychologiczne wykorzystane przez Sąd Najwyższy USA zostało opublikowane w 1950 roku przez pionierski zespół Kenneth Clark (1903-1983) i Mamie Philips Clark (1917-1983). Naukowcy poddali obserwacji wybór lalek przez czarnoskóre dzieci. Badanie pokazało szkodliwy wpływ segregacji rasowej i stanowiło argument dowodowy w sprawie Browns i NAACP (Narodowego Stowarzyszenia na rzecz Wspierania Ludności Kolorowej) przeciwko systemowi edukacji. Spostrzeżenie, że badane dzieci częściej wybierały lalkę białą niż czarną, zarówno w stanach północnych, jak i południowych, doprowadziło badaczy do wniosku, że dzieci mają zaburzone postrzeganie siebie (Clark i Clark, 1950). Nowsze badania wykazały jednak, że wybór lalek przez czarnoskóre dzieci nie był podyktowany ich wysokim bądź niskim poczuciem własnej wartości lub świadomością własnego wizerunku. Rogers i Meltzoff (2017) udowodnili, że w zróżnicowanej etnicznie populacji dziesięciolatków własna identyfikacja płciowa jest dla nich ważniejsza niż kolor skóry; jednocześnie tożsamość rasowa jest istotniejsza dla przedstawicieli mniejszości etnicznych niż dla dzieci o białym kolorze skóry. U dziesięcioletnich dzieci świadomość przynależności etnicznej dopiero się kształtuje. Natomiast wśród nastolatków należących do mniejszości etnicznych tożsamość rasowa, etniczna lub kulturowa jest już bardzo ważna i w dużym stopniu zależy od środowiska rodzinnego – to z domu wynosi się informacje o pozytywnych aspektach życia, w określonym kręgu kulturowym czy etnicznym. Opracowano kilka teorii wyjaśniających zachowania młodzieży należących do mniejszości etnicznych. Jedną z takich teorii jest fenomenologiczny wariant teorii systemów ekologicznych (ang. Phenomenological Variant of Ecological Systems Theory (PVEST) ) zaproponowany przez Margaret Beale Spencer (ur. 1944). Jest to połączenie fenomenologii i modelu U. Bronfenbrennera. Istotą podejścia fenomenologicznego jest nadawanie znaczenia własnym doświadczeniom, np. czarnoskórzy chłopcy mają inne doświadczenia w środowisku edukacyjnym niż dziewczęta, więc przypisują tym doświadczeniom inne znaczenia. Model Urie Bronfenbrennera (1917-2005) sugeruje natomiast, że rozwój zachodzi w oparciu o interakcje między środowiskami, takimi jak szkoła, rodzina i społeczność (Bronfenbrenner, 1977). Z badania z udziałem czarnoskórych nastolatków (Spencer, Dupree i Hartmann, 1997) wynika, że niechęć do nauki wiąże się z brakiem popularności wśród rówieśników, zarówno dziewcząt, jak i chłopców. Ponadto u chłopców silniejszy stres szkolny łączy się z mniej negatywnym nastawieniem do nauki – prawdopodobnie dlatego, że bardziej skupiają się oni na środowisku szkolnym niż na kwestiach osobistych. Dzieje się tak, gdy młodzież dostrzega, że nauczyciele mają wobec niej pozytywne oczekiwania. Naukowcy wyjaśniają tę obserwację modelem PVEST: zmiany postaw następują pod wpływem oczekiwań wyrażanych przez środowisko (tu m.in. nauczycieli), po czym obserwuje się sprzężenie zwrotne: nauczyciele, widząc pozytywny efekt swoich działań, wzmacniają pozytywny przekaz. Co mogą zrobić rodzicie, by pomóc dziecku wykształcić prawidłowo samoświadomość? Diana Baumrind (1971, 1991) uważa, że wpływ na to może mieć styl wychowania. Sposób wychowania może być znaczącym czynnikiem w rozwoju społeczno-emocjonalnym dziecka. Badaczka opracowała teorię opisującą cztery style wychowania: autorytatywny, autorytarny, permisywny i niezaangażowany. W autorytatywnym stylu wychowania (ang. authoritative style ) rodzice mają racjonalne wymagania i wyznaczają spójne ograniczenia, wykazują się ciepłem i zaangażowaniem uczuciowym, słuchają opinii dziecka. Rodzice ustalają reguły i wyjaśniają, dlaczego je określają. Są elastyczni i gotowi do zrobienia wyjątku od reguły w niektórych przypadkach – na przykład czasowe rozluźnienie godzin snu, pozwalające na nocne pływanie z rodziną podczas wakacji. Z czterech stylów wychowania styl autorytatywny jest stylem najbardziej propagowanym we współczesnych społeczeństwach kultury zachodniej. Dzieci wychowywane zgodnie z nim mają zazwyczaj wysoką samoocenę i rozwinięte umiejętności społeczne. Jednak skuteczny styl wychowania zależy od kultury i, jak zaznacza Small (1999), autorytatywny styl wychowania niekoniecznie jest preferowany i odpowiedni w innych kulturach. W autorytarnym stylu wychowania (ang. authoritarian style ) rodzice kładą duży nacisk na podporządkowanie i posłuszeństwo. Rodzice są często stanowczy, ściśle kontrolują dzieci i okazują niewiele ciepła. W przeciwieństwie do autorytatywnego stylu w stylu autorytarnym rodzice zapewne nie poluzowaliby godzin kładzenia się spać i pobudki podczas wakacji, ponieważ uważają, że zasady zostały ustalone i oczekują, by były przestrzegane. Ten styl wychowania może wykształcić dziecko niespokojne, wycofane i nieszczęśliwe. Jednak należy zaznaczyć, że styl autorytarny w niektórych grupach etnicznych może być, w niektórych obszarach życia, równie korzystny co styl autorytatywny (Russell et al., 2010). Na przykład pierwsze pokolenie dzieci Amerykanów pochodzenia chińskiego wychowane przez autorytarnych rodziców radziło sobie w szkole równie dobrze jak ich rówieśnicy wychowani przez rodziców autorytatywnych (Russell et al., 2010). Gdy rodzice stosują permisywny styl wychowania (ang. permissive style ), to dziecko dyktuje warunki i robi, co chce. Rodzice permisywni stawiają niewiele wymagań i rzadko są konsekwentni. Zazwyczaj okazują bardzo dużo troski i miłości i czasami są bardziej przyjaciółmi niż rodzicami. W naszym przykładzie z wakacyjnymi godzinami spania rodzice permisywni mogą nie ustalić godzin snu – pozwalają dziecku zdecydować, kiedy chce iść spać, bez względu na to, czy są wakacje czy nie. Nie zaskakuje zatem, że dzieci wychowane przez permisywnych rodziców są zazwyczaj niezdyscyplinowane. Ponadto permisywny styl wychowania ma negatywny wpływ na oceny w szkole (Dornbusch et al., 1987). Może on skutkować również innymi, niebezpiecznymi zachowaniami, na przykład nadużywaniem alkoholu (Bahr, Hoffman, 2010) lub niebezpiecznymi zachowaniami seksualnymi, zwłaszcza wśród dziewcząt (Donenberg et al., 2002), oraz zwiększoną liczbą zachowań destrukcyjnych wśród chłopców (Parent et al., 2011). Istnieją jednak pewne pozytywne efekty płynące z wychowania przez permisywnych rodziców. Ich dzieci mają zazwyczaj wyższą samoocenę, lepsze umiejętności społeczne oraz deklarują niższy poziom depresji (Darling, 1999). W niezaangażowanym stylu wychowania (ang. univolved style ) rodzicie są obojętni i niezaangażowani, bywają określani jako zaniedbujący. Nie odpowiadają na potrzeby dziecka i stawiają im relatywnie niewiele wymagań. Może być to spowodowane silną depresją, nadużywaniem środków odurzających lub też innymi czynnikami, np. przesadnym skupieniem rodzica na pracy. Rodzice niezaangażowani mogą zaspokajać podstawowe potrzeby dzieci, lecz niewiele więcej. Dzieci wychowane w taki sposób są zazwyczaj emocjonalnie wycofane, bojaźliwe, niespokojne oraz źle radzą sobie w szkole. Wykazują również zwiększone ryzyko nadużywania substancji psychoaktywnych (Darling, 1999). Jak widać, style wychowania mogą wpłynąć na przystosowanie dziecka, ale czy jego temperament może wpływać na sposób wychowania? Temperament (ang. temperament ) to wrodzone cechy mające wpływ na to, jak myślimy, zachowujemy się i reagujemy na bodźce ze środowiska. Dzieci z łatwym temperamentem wykazują pozytywne emocje, dobrze adaptują się do zmian i potrafią kontrolować swoje emocje. Zaś dzieci z bardziej wymagającym temperamentem (tzw. temperament wolno rozgrzewający się) wykazują negatywne emocje, mają trudności z adaptowaniem się do zmian oraz z kontrolą emocji. Dzieci z trudnym temperamentem są zazwyczaj dużo większym wyzwaniem dla rodziców, nauczycieli i innych opiekunów (Thomas, 1984). Tym samym możliwe, że spokojne dzieci (tj. towarzyskie, łatwo adaptujące się i łatwe do uspokojenia) ułatwiają rodzicom wychowanie pełne troski i wrażliwości, podczas gdy wymagające, drażliwe dzieci mają negatywny wpływ na rodziców, powodując ich wycofanie (Sanson, Rothbart, 1995). Ważna rola zabawy i wakacji Według Amerykańskiej Akademii Pediatrycznej (2007) swobodna zabawa stanowi integralną część rozwoju dziecka. Rozwija kreatywność, umiejętności rozwiązywania problemów oraz relacje społeczne. Zabawa pozwala również na rozwinięcie teorii umysłu, dzięki wyobrażaniu sobie siebie na miejscu innych. Zabawa na świeżym powietrzu umożliwia dzieciom bezpośrednie doświadczanie otaczającego je świata. Mogą zbierać znalezione na podwórku „skarby” i rozwijać hobby. Zabawa na świeżym powietrzu może zwiększyć ich upodobanie do wysiłku fizycznego, co wpływa na zdrowy rozwój serca i mózgu. Badania wykazują, że obecnie dzieci coraz mniej bawią się na dworze (Clements, 2004). Zapewne nie będzie to zaskakujące, że mniejsza aktywność fizyczna w połączeniu z łatwym dostępem do wysokokalorycznego jedzenia o małej wartości odżywczej przyczyniają się do alarmującego wzrostu poziomu dziecięcej otyłości (Karniki Kanekar, 2012). W Polsce, według danych opublikowanych przez Instytut Matki i Dziecka, wśród dzieci w wieku szkolnym co piąty chłopiec i co siódma dziewczynka obciążeni są otyłością (Karneyet al., 2014) Coraz częściej dzieci mają zbyt wiele zajęć dodatkowych, a przez to za mało czasu na swobodną zabawę. W Stanach Zjednoczonych w niektórych szkołach skraca się wakacje, by zapewnić uczniom dodatkowe lekcje i lepiej przygotować ich do egzaminów. Co sądzisz o stosowaniu takich praktyk? Dorastanie „Dorastanie” to pojęcie, które zawdzięczamy rozwojowi społecznemu. Przed rewolucją przemysłową dzieci uznawane były za dorosłych w momencie, gdy osiągały dojrzałość fizyczną. Współcześnie okres między dzieciństwem a dojrzałością został wydłużony i nazwany „dorastaniem”. Dorastanie ( wiek młodzieńczy , adolescencja ) (ang. adolescence ) to okres rozwoju rozpoczynający się pokwitaniem i kończący we wczesnej dorosłości (która zostanie omówiona później). Dorastanie jest uznawane za czas, w którym rozwija się niezależność od rodziców, choć nastolatki nadal pozostają pod ich opieką ( ). Typowy przedział wiekowy dorastania to 12–18/20 lat. W odniesieniu do okresu dorastania należy przyjąć, że granice jego zakończenia są umowne ze względu na duże różnice indywidualne w realizacji zadań rozwojowych. W tym okresie również wyróżnia się fizyczne, poznawcze i psychospołeczne kamienie milowe. Rówieśnicy wywierają największy wpływ na nasz rozwój w okresie dorastania. (Źródło: Sheila Tostes). Rozwój fizyczny Dorastanie zaczyna się pokwitaniem. O ile kolejność zmian fizycznych związanych z pokwitaniem jest możliwa do przewidzenia, o tyle moment ich nadejścia i tempo postępowania mogą być bardzo różne. W tym okresie zachodzi wiele zmian fizycznych, jak adrenarche (ang. adrenarche ) i gonadarche (ang. gonadarche ), czyli dojrzewanie odpowiednio nadnerczy i gruczołów płciowych. W tym czasie rozwijają się również pierwszorzędowe i drugorzędowe cechy płciowe. Pierwszorzędowe cechy płciowe (ang. primary sexual characteristics ) to gonady: jajniki u kobiet oraz jądra u mężczyzn. Drugorzędowe cechy płciowe (ang. secondary sexual characteristics ) to fizyczne objawy dojrzewania płciowego niezwiązane bezpośrednio z narządami płciowymi, jak powiększenie piersi i bioder u dziewcząt oraz pojawienie się owłosienia na twarzy i obniżenie głosu u chłopców. U dziewczynek pojawia się pierwsza miesiączka ( menstruacja , menarche ) (ang. menarche ), zwykle ok. 12.–13. roku życia, a u chłopców spermarche (ang. spermarche ), pierwszy wytrysk (polucja) ok. 13.–14. roku życia. W czasie pokwitania obie płcie doświadczają szybkiego wzrostu ciała (tzw. skoku pokwitaniowego). U dziewcząt zaczyna się on między 8. a 13. rokiem życia, a dorosły wzrost zostaje osiągnięty między 10. a 16. rokiem życia. Chłopcy zaczynają gwałtownie rosnąć trochę później, zazwyczaj między 10. a 16. rokiem życia, a dorosły wzrost osiągają między 13. a 17. rokiem życia. Na ostateczny wzrost mają wpływ zarówno geny, jak i środowisko (np. odżywianie, przyjmowane leki, przebyte choroby). Ponieważ tempo rozwoju fizycznego jest kwestią indywidualną, pokwitanie może być powodem do dumy lub wstydu. Wcześnie dojrzewający chłopcy są zazwyczaj silniejsi, wyżsi i lepiej zbudowani niż dojrzewający później. Zazwyczaj są też bardziej popularni, pewni siebie i niezależni, ale też wykazują większe ryzyko nadużywania substancji psychoaktywnych oraz wczesnej inicjacji seksualnej (Flannery et al., 1993; Kaltiala-Heino et al., 2001). Wcześnie dojrzewające dziewczęta mogą być ofiarami docinków lub słyszeć komentarze wyrażające podziw, co czasami wywołuje u nich zażenowanie związane z brakiem akceptacji dla zmian w rozwijającym się ciele. Takie dziewczęta wykazują większe ryzyko depresji, nadużywania substancji psychoaktywnych i zaburzeń odżywiania (Ge et al., 2001; Graber et al., 1997; Striegel-Moore i Cachelin, 1999). Późno dojrzewający chłopcy i dziewczęta (tj. rozwijający się wolniej niż rówieśnicy) mogą być zaniepokojeni brakiem oczekiwanych zmian w rozwoju fizycznym. Negatywne emocje są szczególnym problemem w przypadku późno dojrzewających chłopców, u których występuje większe ryzyko depresji i konfliktu z rodzicami (Graber et al., 1997). Tacy chłopcy mogą też stać się ofiarami dręczenia (Pollacki Shuster, 2000). Warto w tym miejscu dodać, że zmiany zachodzące w ciele chłopców – wzrost masy mięśniowej, charakterystyczna męska, trójkątna sylwetka, najczęściej wpływają na podwyższenie samooceny. Jedynym elementem męskiego pokwitania mogącym powodować problemy jest mutacja. W przypadku dziewcząt ciało zmienia się w sposób, który jest często trudny do zaakceptowania, w związku z panującymi wzorcami kulturowymi – powiększenie bioder i przyrost tkanki tłuszczowej mogą być przyczyną obniżenia samooceny. Do czasu pokwitania komórki mózgowe wciąż namnażają się w płatach czołowych. Możliwe, że osoby nastoletnie podejmują ryzykowne działania i doświadczają wybuchów emocjonalnych właśnie ze względu na to, że płaty czołowe ich mózgu wciąż się rozwijają i nie osiągnęły pełnej dojrzałości ( ). Pamiętamy, że ta część mózgu jest odpowiedzialna za ocenę sytuacji, kontrolę emocji i planowanie oraz że podlega rozwojowi aż do wczesnej dorosłości i (Casey et al., 2005). Badania nad specyfiką mózgu nastolatków trwają. W 2007 roku Galvan, Hare, Voss, Glover i Casey opublikowali analizę wpływu aktywności mózgu na podejmowanie ryzykownych i impulsywnych zachowań oraz postrzegania ryzyka u nastolatków. Badacze, wykorzystując czynnościowy rezonans magnetyczny (fMRI), ustalili, że aktywność ośrodków nagrody w mózgu nie koreluje z zachowaniami impulsywnymi oraz postrzeganiem ryzyka. Korelacja z aktywnością tych struktur mózgowych pojawia się natomiast przy podejmowaniu ryzykownych zachowań. Badanie zakwestionowało również popularny pogląd, jakoby nastolatki były bardziej impulsywne niż dzieci czy dorośli. Mózg człowieka rośnie do 20. roku życia, szczególnie ważny jest rozwój płata czołowego. W reportażu „Wewnątrz mózgu nastolatka” (ang. „Inside the Teenage Brain” ) (2013) z cyklu Frontline, neuronaukowiec Jay Giedd powiedział „Oczekiwanie, że [nastolatkowie] będą mieli równie dobre jak dorośli umiejętności organizacyjne i podejmowania decyzji, zanim ich mózgi w pełni się rozwiną, jest cokolwiek niesprawiedliwe”. Obejrzyj fragment „Rozwój mózgu nastolatka” , by dowiedzieć się więcej o rozwijającym się w czasie dorastania mózgu. Rozwój poznawczy W okresie dojrzewania rozwijamy złożone umiejętności myślenia. Niektórzy badacze uważają, że jest to związane ze zwiększoną szybkością i skutecznością przetwarzania, a nie ze wzrostem możliwości umysłowych – innymi słowy, wynika to z poprawy istniejących umiejętności, a nie z rozwoju nowych (Bjorkland, 1987; Case, 1985). W okresie dojrzewania nastolatkowie wychodzą poza myślenie na poziomie konkretnym i zaczynają myśleć abstrakcyjnie. Przypomnijmy, że Piaget nazwał ten etap „fazą operacji formalnych”. Myślenie nastolatków cechuje również zdolność do rozważania różnych punktów widzenia, wyobrażania sobie hipotetycznych sytuacji, dyskutowania na tematy filozoficzne (np. polityki, religii czy sprawiedliwości) oraz tworzenia nowych idei ( ). W związku z tym dość powszechne jest kwestionowanie przez nastolatków autorytetów lub podważanie ustalonych norm społecznych. Empatia kognitywna ( poznawcza ) (ang. cognitive empathy ), nazywana również teorią umysłu (którą omawialiśmy wcześniej w związku z egocentryzmem), to zdolność spojrzenia na problem z perspektywy innych ludzi i przejmowania się ich losem (Shamay-Tsoory et al., 2005). Empatia poznawcza zaczyna rozwijać się w okresie dorastania i odgrywa ważną rolę w rozwiązywaniu problemów w życiu społecznym i unikaniu konfliktów. Według jednego z badań podłużnych poziom empatii poznawczej zaczyna rosnąć ok. 13. roku życia u dziewcząt i 15. roku życia u chłopców (Van der Graaff et al., 2013). Nastolatkowie, którzy twierdzili, że ich ojcowie ich wspierają i mogą z nimi rozmawiać o swoich problemach, łatwiej przyjmowali punkt widzenia innych (Miklikowska et al., 2011). Myślenie nastolatków charakteryzuje się zdolnością logicznego rozumowania i rozwiązywania hipotetycznych zadań, takich jak projektowanie, planowanie i budowanie. (Źródło: U.S. Army RDECOM). Rozwój psychospołeczny Osoby nastoletnie kontynuują rozwój swojego poczucia tożsamości dzięki relacjom z innymi. Erikson określił konflikt dorastania jako „tożsamość versus dyfuzja ról”. Jego zdaniem najważniejsze pytania, jakie zadaje sobie nastolatek, to: „Kim jestem?” i „Kim chcę być?”. Niektórzy nastolatkowie przyjmują postawy i wartości, których oczekują od nich ich rodzice. Inni rozwijają tożsamość pozostającą w sprzeczności z wzorcami przekazywanymi przez rodziców, lecz zgodną z postawami rówieśników. To bardzo częsty przypadek, ponieważ relacje z rówieśnikami stają się centralnym punktem życia nastolatków. Nie musi to być jednak trwały układ, a jedynie próba odnalezienia się w grupie rówieśniczej, z którą nastolatek spędza większość czasu. W trakcie kształtowania tożsamości nastolatkowie oddalają się od swoich rodziców, a zbliżają do rówieśników (Shanahan et al., 2007). Choć spędzają mniej czasu z rodzicami, to większość pozytywnie określa swoje uczucia do nich (Moore et al., 2004). Ciepła i zdrowa relacja rodzic–dziecko ma pozytywne efekty w postaci lepszych ocen i mniejszej liczby problemów z zachowaniem w szkole (Hair et al., 2005). Okazuje się, że wbrew stereotypowym poglądom większość nastolatków nie przechodzi okresu „burzy i naporu” tak dramatycznie, jak opisywał go Granville Stanley Hall (1846-1924), pionier badań nad rozwojem nastolatków. Tylko niewielka część z nich wchodzi w poważniejsze konflikty z rodzicami (Steinberg i Morris, 2001), a większość sprzeczek ma małe znaczenie. Na przykład w badaniu z udziałem ponad 1800 rodziców i nastolatków z różnych grup etnicznych i kulturowych Barber (1994) wykazał, że konflikty dotyczyły codziennych spraw, takich jak praca domowa, pieniądze, godzina powrotu do domu, sposób ubierania się, pomoc w domu czy towarzystwo. Tego typu kłótnie stają się coraz rzadsze wraz z rozwojem nastolatka (Galambos i Almeida, 1992) i mogą mieć pozytywny wpływ, wspomagając rozwój asertywności. Wczesna dorosłość Następnym stadium rozwoju jest wczesna dorosłość (ang. emerging adulthood ), często nazywana okresem wchodzenia w dorosłość . To relatywnie niedawno zdefiniowany okres życia trwający od 18. do ok. 25. roku życia, opisywany jako czas przejściowy, w którym poszukiwanie tożsamości skupia się na realizacji zadań rozwojowych związanych z rozpoczynaniem pracy zawodowej oraz z nawiązywaniem satysfakcjonującej i długotrwałej relacji intymnej. Kiedy człowiek staje się dorosły? Jest wiele odpowiedzi na to pytanie. W Polsce ludzie są prawnie uznawani za dorosłych w wieku 18 lat. Lecz istnieje wiele różnych definicji dorosłości. Na przykład w socjologii osoba uznawana jest za dorosłą, gdy zaczyna sama się utrzymywać, wybiera drogę kariery, bierze ślub lub zakłada rodzinę. Wiek, w jakim osiągamy te kamienie milowe, różni się w zależności od danej osoby i kultury. Na przykład w Malawi, w Afryce, Njemile wzięła ślub w wieku 14 lat i urodziła pierwsze dziecko w wieku 15 lat. W jej kulturze jest uznawana za osobę dorosłą. Dzieci w Malawi podejmują dorosłe zobowiązania, takie jak małżeństwo czy praca (np. noszenie wody, opieka nad dziećmi czy praca na roli), już w wieku 10 lat. To wyraźny kontrast w porównaniu z kulturami Zachodu, gdzie niezależność osiągana jest coraz później, co tym samym opóźnia wejście w dorosłe życie. Dlaczego wchodzenie w dorosłość w kulturze zachodniej zabiera dwudziestolatkom tyle czasu? Wydaje się, że wczesna dorosłość to efekt zarówno kultury, jak i obecnych czasów (Arnett, 2000). Ludzie w krajach rozwiniętych żyją dłużej, więc mogą sobie pozwolić na dodatkowe kilka lat na rozpoczęcie kariery i założenie rodziny. Rolę grają również zmiany na rynku pracy. Pięćdziesiąt lat temu młody człowiek po maturze mógł od razu rozpocząć pracę i zacząć wspinać się po szczeblach kariery. Te czasy minęły. Obecnie nawet na niewykwalifikowane stanowiska często trzeba mieć maturę (Arnett, 2000). Ponadto wielu studentów studiuje i pracuje jednocześnie. Po uzyskaniu dyplomu wyższej uczelni duża część dorosłych wraca do domu rodzinnego, ponieważ ich zarobki nie pozwalają na pokrycie kosztów własnego mieszkania. Najważniejszym powodem późnego wchodzenia w dorosłość mogą być zmieniające się oczekiwania kulturowe. Młodzi ludzie więcej czasu poświęcają na odkrywanie różnych możliwości, wielokrotnie zmieniają kierunki studiów i pracę, co opóźnia karierę i wchodzenie w związki małżeńskie, a to sprawia, że zaczynają dorosłe życie później niż ich rodzice (Arnett, 2000). Zmieniły się też oczekiwania społeczne, przede wszystkim w kulturze zachodniej – rodzice większy nacisk kładą na uzyskanie niezależności ekonomicznej – pracy, własnego mieszkania – niż na znalezienie partnera i założenie rodziny. Przynosi to paradoksalny efekt – młodzi dorośli mieszkają z rodzicami nierzadko do 30.–35. roku życia (Rosochacka-Gmitrzak, 2017). Dorosłość Dorosłość zaczyna się ok. 20. roku życia i dzieli się na trzy etapy: wczesną, średnią i późną. Każdy etap niesie ze sobą inne wyzwania. Rozwój fizyczny Gdy wchodzimy w okres wczesnej dorosłości (od 20. roku życia do wczesnych lat 40.), jesteśmy w pełni dojrzali fizycznie, choć wzrost i masa ciała mogą jeszcze trochę wzrosnąć. We wczesnej dorosłości fizyczne możliwości, w tym siła mięśni, zdolności czuciowe i funkcjonowanie serca, są na najwyższym poziomie. Większość profesjonalnych sportowców ma w tym okresie najlepszą formę. Wiele kobiet we wczesnej dorosłości rodzi dzieci, więc mogą one przybrać na wadze, zmienia się też wygląd ich piersi. Średnia dorosłość przypada między 40. a 65. rokiem życia ( ). Stopniowo tracimy sprawność fizyczną. Skóra traci elastyczność i pojawiają się zmarszczki, jedne z pierwszych oznak starzenia. W tym okresie pogarsza się ostrość wzroku. Kobiety doświadczają stopniowego spadku płodności, w miarę zbliżania się menopauzy (ustania menstruacji) ok. 50. roku życia. Zarówno mężczyźni, jak i kobiety zazwyczaj przybierają na wadze: mężczyźni w okolicach brzucha, a kobiety w okolicach bioder oraz ud. Włosy przerzedzają się i siwieją. Spadek sprawności fizycznej w okresie dorosłości można zminimalizować dzięki odpowiednim ćwiczeniom, odżywianiu i aktywnemu stylowi życia. (Źródło: modyfikacja pracy Petra Stevensa). Uznaje się, że późna dorosłość rozpoczyna się ok. 65. roku życia. To ostatnie stadium fizycznych zmian. Skóra nadal traci elastyczność, pogarsza się czas reakcji i zmniejsza siła mięśni. Węch, smak, słuch i wzrok, tak wyostrzone u dwudziestolatka, znaczne się pogarszają. Również mózg może już nie funkcjonować na optymalnym poziomie. W tym wieku mogą pojawiać się zaburzenia związane z utratą pamięci, w późniejszym czasie mogą (ale nie muszą!) wystąpić demencja i inne choroby neurodegeneracyjne, np. choroba Alzheimera. Starzenie się nie oznacza, że człowiek nie może podejmować nowych wyzwań, uczyć się nowych umiejętności i w dalszym ciągu się rozwijać. Obejrzyj tę inspirującą opowieść o Neilu Ungerze , który w wieku 60 lat zaczął jeździć na deskorolce. Rozwój poznawczy Ponieważ dorosłość trwa wiele lat (więcej niż którekolwiek inne stadium), doświadczamy w jej trakcie licznych zmian poznawczych. Badania wykazują, że rozwój poznawczy w dorosłości to bardzo złożony, wciąż zmieniający się proces, który może być nawet bardziej dynamiczny niż rozwój poznawczy w niemowlęctwie i wczesnym dzieciństwie (Fischer et al., 2003). Mamy dobrą wiadomość dla mózgu w średnim wieku. Obejrzyj ten krótki film , by dowiedzieć się, jaką. W przeciwieństwie do zdolności fizycznych, które osiągają szczyt około 25. roku życia, a następnie ulegają pogorszeniu, zdolności poznawcze pozostają na stałym poziomie przez wczesną i średnią dorosłość. Inteligencja skrystalizowana (informacje, umiejętności i strategie, które opanowaliśmy w trakcie życia pełnego doświadczeń) zazwyczaj utrzymuje się na tym samym poziomie w miarę upływu lat, a nawet może wzrosnąć. Dorośli osiągają relatywnie stabilne lub coraz lepsze wyniki w testach inteligencji do 35.–55. roku życia (Bayley i Oden, 1955). W późnej dorosłości zaczynamy jednak doświadczać spadku w innym obszarze naszych zdolności poznawczych – inteligencji płynnej (zdolność przetwarzania informacji, rozumowanie i pamięć). Procesy te ulegają spowolnieniu. Jak możemy opóźnić objawy spadku zdolności poznawczych? Ważną rolę odgrywa tu aktywność fizyczna i umysłowa ( ). Badania wykazują, że dorośli angażujący się w aktywności stymulujące ich umysłowo i fizycznie doświadczają mniejszego spadku zdolności poznawczych oraz rzadziej cierpią na łagodne zaburzenia poznawcze i demencję (Hertzog et al., 2009; Larson et al., 2006; Podewils et al., 2005). Czynności umysłowe, takie jak gra w madżonga, szachy lub inne gry, mogą pomóc w utrzymaniu sprawności umysłowej. (Źródło: Philippe Put). Zespół Forstmanna opublikował w 2011 roku badanie porównujące sprawność mózgu osób starszych i młodych. W jego trakcie uczestnicy mieli wskazywać kierunek przemieszczania się kropek na ekranie; mierzono szybkość reakcji i poprawność odpowiedzi. Naukowcy odkryli, że starsi uczestnicy popełniali w zadaniu więcej błędów i wynik podawali wolniej niż młodzi. Przyczyną osiągania gorszych rezultatów było zwyrodnienie na szlaku kortykostriatalnym (jest to obwód neuronalny łączący korę mózgową i prążkowie), które obniża możliwości poznawcze. Zwykle przypisuje się je osobom starszym, mogą być od nich niezależne i wynikać z mniejszej sprawności mózgu. Inni badacze odkryli natomiast podobieństwa w zdolności rozmieszczania elementów w przestrzeni u dzieci w wieku 6–7 lat oraz u osób w wieku powyżej 80 lat. Według Ruggiero, D'Errico i Iachini (2016) jest to spowodowane neurodegeneracją u osób starszych i niedojrzałością mózgu u małych dzieci. Zmiany w mózgu obniżające funkcje poznawcze, zwane demencją, dotykają wiele osób w podeszłym wieku. Jedną z form demencji jest choroba Alzheimera, początkowo badana przez Solomona Cartera Fullera (1872-1953). Jest to choroba o podłożu genetycznym; powoduje ona obumieranie komórek w mózgu, czego następstwem są poważne problemy z pamięcią. Chory może nawet zapomnieć, jak się chodzi, mówi oraz je. Ryzyko wystąpienia choroby nasila ekspozycja na ołów, żelazo i cynk, a zmniejsza stosowanie diety śródziemnomorskiej (Arora, Mittal i Kakkar, 2015). Chociaż nie opracowano jeszcze leku na chorobę Alzheimera, jest nadzieja na zastosowanie skutecznej rehabilitacji z wykorzystaniem wirtualnej rzeczywistości (Jimenez-Mixco, Arredondo i Cabrera-Umpierrez, 2015). Według badaczy technologia ta powinna zawierać ćwiczenia związane z wykonywaniem codziennych czynności, pamięci oraz mówienia. Rozwój psychospołeczny Istnieje wiele teorii dotyczących społecznych i emocjonalnych aspektów starzenia się. Wśród czynników zdrowego starzenia można wymienić aktywność, więzi społeczne oraz kulturę osobistą. Według wielu teoretyków, między innymi George'a Vaillanta (2002), który przebadał i przeanalizował dane zbierane przez ponad 50 lat, warunkiem jest stałe poszukiwanie i znajdowanie sensu istnienia. We wczesnej i średniej dorosłości sens odnajdujemy w pracy (Sternsi Huyck, 2001) i w życiu rodzinnym (Markus et al., 2004). To obszary, do których Erikson odnosił się, mówiąc o twórczości i intymności. Jak już mówiliśmy, dorośli często definiują siebie przez to, co robią — pracę zawodową albo hobby. W tym okresie zdobywamy możliwość uzyskania najwyższych dochodów, lecz satysfakcja z pracy wynika bardziej z jej interesującego charakteru, kontaktu z ludźmi, możliwości rozwoju i pewnej dozy niezależności (Mohri Zoghi, 2006) niż zarobków (Iyengar et al., 2006) oraz budowania czegoś, „co po mnie zostanie”. Więcej o tym, w jaki sposób sytuacja w pracy lub jej brak wpływa na samopoczucie dorosłego, piszemy w podrozdziale Stres w pracy. Badania dowodzą, że pozytywne relacje z bliskimi w dorosłym życiu zapewniają dobre samopoczucie (Ryffi Singer, 2009). Większość dorosłych w Stanach Zjednoczonych identyfikuje się przez swoje relacje z rodziną – szczególnie z małżonkami, dziećmi i rodzicami (Markus et al., 2004). Choć wychowywanie dzieci może być stresujące, szczególnie gdy są młode, to badania wykazują, że rodzice otrzymują w końcu nagrodę za swój trud, ponieważ dorosłe dzieci mają pozytywny wpływ na samopoczucie rodziców (Umberson et al., 2010). Dowiedziono, że stabilne małżeństwo również sprzyja dobremu samopoczuciu w całym okresie dorosłości (Vaillant, 2002). Innymi czynnikami pozytywnego starzenia się są więzi społeczne i wsparcie otoczenia. Teoria selektywności socjoemocjonalnej (ang. socioemotional selectivity theory ) sugeruje, że z wiekiem mamy coraz mniej przyjaciół (odchodzą z naturalnej przyczyny śmierci) i społecznego wsparcia, ale więzi, które pozostają, są równie silne, jeśli nie silniejsze niż w młodszych latach (Carstensen, 1992) ( ). Wsparcie otoczenia odgrywa ważną rolę w okresie późnej dorosłości. (Źródło: Gabriel Rocha). Obejrzyj film , by dowiedzieć się więcej o starzeniu się w Ameryce. Summary Podczas zapłodnienia komórka jajowa i plemnik łączą się, tworząc zygotę, która zaczyna się dzielić. Podział zygoty stanowi początek pierwszego okresu rozwoju prenatalnego (okresu zygoty), który trwa ok. dwóch tygodni. Następnie zygota zagnieżdża się w śluzówce macicy, rozpoczynając drugi etap rozwoju prenatalnego (okres zarodkowy), który trwa około sześciu tygodni. W zarodku zaczynają rozwijać się części ciała i niektóre narządy oraz wykształca się cewa nerwowa, z której następnie rozwinie się mózg i rdzeń kręgowy. Trzeci etap rozwoju prenatalnego (okres płodowy) rozpoczyna się w 9. tygodniu i trwa do narodzin. W tym okresie organizm szybko się rozwija. Ważne, by na każdym etapie ciąży kobieta była otoczona opieką prenatalną, by zmniejszyć ryzyko powikłań zdrowotnych u matki i jej rozwijającego się dziecka. Noworodek waży ok. 3,5 kg. Lekarze oceniają odruchy wrodzone, takie jak ssanie, odruch toniczno-szyjny czy odruch Moro. Nasze umiejętności fizyczne, poznawcze i psychospołeczne rozwijają i zmieniają w miarę osiągania kolejnych stadiów rozwoju, od niemowlęctwa po późną dorosłość. Możliwość rozwinięcia się przywiązania do opiekunów w okresie niemowlęcym jest podstawowym warunkiem prawidłowego rozwoju. Udowodniono, że styl wychowania ma wpływ na przyszłość dziecka. Przejście z okresu dorastania do dojrzałości może być wyzwaniem ze względu na moment, w którym następuje pokwitanie, oraz przedłużającą się wczesną dorosłość (okres wchodzenia w dorosłość). Choć spadek zdolności fizycznych rozpoczyna się już w średniej dorosłości, to spadek zdolności poznawczych zaczyna się znacznie później. Ćwiczenia aktywizujące ciało i umysł mogą pomóc utrzymać dobrą kondycję fizyczną i poznawczą w miarę upływu lat. Wsparcie społeczne zapewniane przez rodzinę i przyjaciół odgrywa ważną rolę w pozytywnym przeżywaniu lat późnej dorosłości. Review Questions Która z poniższych jest odpowiednią kolejnością rozwoju prenatalnego? zygota, płód, zarodek płód, zarodek, zygota płód, zygota, zarodek zygota, zarodek, płód D Okres rozwoju prenatalnego, w którym rozwijający się narząd lub układ jest najbardziej podatny na uszkodzenia przez teratogeny, nazywamy ________. okresem krytycznym mitozą zapłodnieniem ciążą A Jak nazywa się jednokomórkowa struktura powstała w wyniku połączenia plemnika i komórki jajowej podczas zapłodnienia? zarodek płód zygota niemowlę C Użycie nożyczek, by wyciąć kształt z papieru, to przykład ________. motoryki dużej motoryki małej motoryki wielkiej motoryki niewielkiej B W jakim ze stylów przywiązania rodzic jest dla dziecka bazą, z której może ono odkrywać otaczający je świat? bezpiecznym pozabezpiecznym lękowo-unikającym pozabezpiecznym lękowo-ambiwalentnym pozabezpiecznym zdezorganizowanym A Płaty czołowe osiągają pełnię rozwoju ________. w chwili urodzenia na początku okresu dorastania na końcu okresu dorastania ok. 25. roku życia D Critical Thinking Questions Podaj przykłady teratogenów i szkód, jakie mogą spowodować w okresie prenatalnym. Alkohol jest teratogenem. Spożywanie go może spowodować upośledzenie umysłowe dziecka. Dziecko może mieć również zmiany morfologiczne, np.: mniejszy obwód głowy i atypowe rysy twarzy, charakterystyczne dla spektrum. Innym teratogenem jest nikotyna. Palenie podczas ciąży może prowadzić do małej masy urodzeniowej, przedwczesnego porodulub urodzenia martwego dziecka. Czym jest opieka prenatalna i dlaczego jest ważna? Opieka prenatalna to opieka medyczna nad kobietą w ciąży, w trakcie której monitoruje się zdrowie matki i płodu. Opieka prenatalna jest ważna, ponieważ może zmniejszyć ryzyko powikłań zdrowotnych u matki i dziecka podczas ciąży. Opisz, co się dzieje w okresie zarodkowymi w okresie płodowym. W okresie zarodkowym podstawowe części embrionu zaczynają się rozwijać, by z czasem stać się głową, klatką piersiową i tułowiem. Zaczyna bić serce, wykształcają się narządy i zaczynają funkcjonować. Wzdłuż grzbietu wykształca się cewa nerwowa, z której rozwinie się rdzeń kręgowy i mózg. W okresie płodowym w dalszym ciągu rozwijają się ciało i mózg. Wykształcają się palce u rąk i nóg, narządy zmysłów oraz narządy wewnętrzne. Co sprawia, że cecha osobista staje się cechą osobowości? Określona cecha musi stanowić część powtarzalnego wzorca zachowania, by stała się stałą lub przewidywalną cechą osobowości. Opisz kilka odruchów wrodzonych. W jaki sposób mogą one pomóc w przeżyciu? Odruch ssania to automatyczne ruchy wykonywane przez niemowlę ustami. Może on pomóc w przeżyciu, ponieważ ułatwia dziecku pobór pokarmu. Odruch toniczno-szyjny to odpowiedź noworodka na cokolwiek, co dotknie jego policzka. Kiedy pogłaszczemy noworodka po jednym z policzków, odruchowo odwróci on w tę stronę głowę i zacznie ssać. Ten odruch może pomóc dziecku w przeżyciu, ponieważ pomaga znaleźć źródło pokarmu. Porównaj cztery style wychowania i opisz, jakich skutków dla rozwoju dziecka możemy się spodziewać po każdym z nich. W autorytatywnym stylu wychowania dziecko ma wyznaczone racjonalne wymagania i spójne ograniczenia. Rodzice wykazują się ciepłem i zaangażowaniem uczuciowym, słuchają opinii dziecka, a dziecko wykształca pozytywne nawyki. Dzieci wychowywane w stylu autorytatywnym mają zazwyczaj wysoką samoocenę i rozwinięte umiejętności społeczne. Innym stylem wychowania jest styl autorytarny. Rodzice autorytarni kładą duży nacisk na posłuszeństwo i przestrzeganie zasad, są często stanowczy, ściśle kontrolują dzieci i okazują niewiele ciepła. Ten styl wychowania może wykształcić dziecko niespokojne, wycofane i nieszczęśliwe. Trzeci styl wychowania nazywamy permisywnym: rodzice stawiają niewiele wymagań, rzadko są konsekwentni, dają dziecku dużo swobody i mało wsparcia. Dzieci wychowane przez permisywnych rodziców są zazwyczaj niezdyscyplinowane, co może skutkować trudnościami w uczeniu się lub nadużywaniem substancji psychoaktywnych. Dzieci wychowane w tym stylu mają wysoką samoocenę, lepsze umiejętności społeczne i są mniej skłonne do depresji. Czwartym stylem jest styl niezaangażowany, w którym rodzicie są obojętni i niezaangażowani, bywają określani jako zaniedbujący. Dzieci wychowane w tym stylu są zazwyczaj emocjonalnie wycofane, bojaźliwe i niespokojne. Źle radzą sobie w szkole i wykazują również zwiększone ryzyko nadużywania substancji psychoaktywnych. Czym jest wczesna dorosłość (wchodzenie w dorosłość) i co przyczyniło się do wyróżnienia tego nowego stadium rozwoju? Wczesna dorosłość to relatywnie niedawno zdefiniowany okres życia trwający od 18. do ok. 25. roku życia, opisywany jako czas przejściowy, w którym poszukiwanie tożsamości skupia się na pracy i związkach intymnych. Według Arnett zmieniające się oczekiwania kulturowe ułatwiają opóźnienie realnej dorosłości. Młodzi ludzie poświęcają więcej czasu na odkrywanie różnych możliwości, wielokrotnie zmieniają kierunki studiów i pracę, dlatego opóźniają podejmowanie zobowiązań dotyczących stałych związków oraz pracy zawodowej, co sprawia, że zaczynają dorosłe życie zdecydowanie później niż ich rodzice. Personal Application Questions Który styl wychowania odpowiada sposobowi, w jaki cię wychowano? Podaj jeden lub dwa przykłady, by uzasadnić swoją odpowiedź. Jak opiszesz swoje doświadczenie dorastania: jako okres dumy czy wstydu? Dlaczego? Twoja przyjaciółka, palaczka, właśnie dowiedziała się, że jest w ciąży. Co powiesz jej na temat palenia w ciąży? Wyobraź sobie, że opiekujesz się ciężarnymi kobietami w szpitalu. Twoja pacjentka Anna słyszała, że dobrym pomysłem jest odtwarzanie muzyki nienarodzonemu dziecku. Chce się dowiedzieć, kiedy jej dziecko wykształci zdolność słyszenia. Co jej powiesz? dorastanie, wiek młodzieńczy , adolescencja (ang. adolescence ) okres rozwoju rozpoczynający się z pokwitaniem i kończący się we wczesnej dorosłości adrenarche (ang. adrenarche) dojrzewanie nadnerczy; zwiększone wydzielanie androgenów kory nadnerczy w okresie poprzedzającym dojrzewanie przywiązanie (ang. attachment ) długotrwały związek lub więź z innymi osobami autorytarny styl wychowania (ang. authoritarian style) rodzice kładą nacisk na podporządkowanie, posłuszeństwo i przestrzeganie zasad; często ich postawy są usztywnione i nie okazują dziecku zbyt wiele czułości autorytarny styl wychowania (ang. authoritarian style) rodzice mają racjonalne wymagania i wyznaczają spójne ograniczenia; wykazują się ciepłem i zaangażowaniem uczuciowym; słuchają opinii dziecka lękowo-unikający wzorzec przywiązania (ang. avoidant attachment ) charakteryzuje się brakiem reakcji dziecka na działania rodzica; rodzic nie jest dla dziecka bezpieczną bazą; jeśli rodzic odchodzi, dziecko nie wykazuje niepokoju; po powrocie rodzica długo nie okazuje pozytywnej reakcji empatia kognitywna (empatia poznawcza) (ang. cognivite empathy ) zdolność do spojrzenia na problem z perspektywy innych ludzi i do przejmowania się ich losem poczęcie (ang. conception ) moment, gdy plemnik zapładnia komórkę jajową, efektem zapłodnienia jest zygota okres wrażliwy (okres krytyczny) (ang. sensitive/critical period ) okres w rozwoju prenatalnym, w którym rozwijają się określone narządy i układy zdezorganizowany wzorzec przywiązania (ang. disorganized attachment ) w konfrontacji z rodzicem dziecko zachowuje się niespójnie; ten styl przywiązania widuje się najczęściej u dzieci doświadczających przemocy embrion, zarodek (ang. embryo ) wielokomórkowy organizm we wczesnych stadiach rozwoju prenatalnego wczesna dorosłość (wchodzenie w dorosłość) (ang. emerging adulthood ) niedawno zdefiniowany okres życia trwający od 18. do ok. 25. roku życia; okres przejściowy, w którym poszukiwanie tożsamości przejawia się rozpoczynaniem pracy zawodowej, budowaniem niezależności finansowej, wchodzeniem w relacje intymne motoryka mała (ang. fine motor skills ) sprawność ruchowa rąk w zakresie koordynowania czynności wymagających precyzji, z wykorzystaniem koordynacji oko-ręka (np. chwytanie zabawki) gonadarche (ang. gonadarche ) dojrzewanie gruczołów płciowych motoryka duża (ang. gross motor skills ) sprawność fizyczna całego ciała wykorzystywana podczas poruszania się (np. utrzymywanie równowagi) menarche (ang. menarche ) pierwsza miesiączka; zwykle występuje ok. 12.–13. roku życia mitoza (ang. mitose ) proces podziału komórki motoryka (ang. motor skills ) zdolność poruszania się i manipulowania przedmiotami odruchy wrodzone (ang. newborn refelexes ) reakcje odruchowe noworodka, które pojawiają się w odpowiedzi na określony rodzaj bodźca; zanikają w pierwszej połowie pierwszego roku życia, np. odruch toniczno-szyjny, odruch ssania, odruch chwytania permisywny styl wychowania (ang. permissive style ) rodzice stawiają dziecku niewiele wymagań; rzadko są konsekwentni; okazują dziecku troskę i miłość, są bardziej przyjaciółmi niż rodzicami łożysko (ang. placenta ) narząd łączący macicę z rozwijającym się płodem; zapewnia tlen oraz substancje odżywcze niezbędne wzrastającemu w macicy dziecku opieka prenatalna (ang. prenatal care ) opieka medyczna nad kobietą w ciąży, w czasie której monitoruje się zdrowie jej i płodu pierwszorzędowe cechy płciowe (ang. primary sexual characteristics ) gonady: jajniki u kobiet, jądra u mężczyzn. lękowo-ambiwalentny (lękowo-oporny) wzorzec przywiązania (ang. resistant attachment ) dziecko z jednej strony stale upewnia się o obecności rodzica i gwałtownie protestuje w przypadku możliwości rozstania, z drugiej – okazuje gniew i opór, gdy rodzic próbuje wejść z nim w interakcję drugorzędowe cechy płciowe (ang. secondary sexual characteristics ) fizyczne objawy dojrzewania płciowego, zmiany cielesne (sylwetki i głosu) bezpieczny wzorzec przywiązania (ang. secure attachment ) opiekun stanowi dla dziecka bezpieczną bazę, dzięki której może ono prowadzić eksplorację otoczenia i otrzymywać pomoc w trudnej sytuacji bezpieczna baza (ang. secure base ) obecność rodzica, która daje niemowlęciu/małemu dziecku poczucie bezpieczeństwa w czasie, gdy ono eksploruje otoczenie teoria selektywności socjoemocjonalnej (ang. socioemotional selectivity theory) teoria, według której z wiekiem mamy coraz mniej przyjaciół i społecznego wsparcia, ale więzi, które pozostają, są równie silne, jeśli nie silniejsze niż w młodszym wieku spermarche (ang. spermarche ) pierwszy męski wytrysk (polucja), występuje ok. 13.-14. roku życia temperament (ang. temperament ) wrodzone cechy mające wpływ na to, jak myślimy, zachowujemy się i reagujemy na bodźce ze środowiska teratogen (ang. teratogen ) biologiczny, chemiczny lub fizyczny czynnik środowiskowy uszkadzający zarodek lub płód niezaangażowany styl wychowania (ang. univolved style ) rodzice są obojętni i niezaangażowani, czasem określa się ich jako zaniedbujących; nie spełniają potrzeb dziecka i mają wobec niego stosunkowo niewiele wymagań zygota (ang. zygote ) efekt połączenia plemnika i komórki jajowej w trakcie zapłodnienia; zygota jest pojedynczą komórką, jednak szybko zaczyna się dzielić, tworząc w kolejnych etapach zarodek i łożysko", "section": "Stadia rozwoju", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Kres życia Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić opiekę hospicyjną Opisać pięć etapów żałoby Krytycznie omówić kwestie dotyczące testamentów życia, nakazów „nie reanimować” (DNR) i opieki hospicyjnej Każda historia ma swój koniec. Śmierć jest naturalnym zakończeniem ludzkiego życia ( ). Na to, jak postrzegamy śmierć, wpływają nasza kultura i indywidualne uwarunkowania. W niektórych kulturach jest ona akceptowana jako naturalna część życia. Natomiast jeszcze ok. 50 lat temu w kulturze zachodniej lekarze nie informowali pacjentów, że są umierający, i większość zgonów następowała w szpitalach. Pierwszym bodźcem do zmiany tego stanu rzeczy było założenie w 1967 roku w Wielkiej Brytanii pierwszego współczesnego hospicjum (ang. hospice ) przez C⁠icely Saunders (⁠1⁠9⁠1⁠8⁠-⁠2⁠00⁠5⁠). Hospicjum jest miejscem opieki nad osobami nieuleczalnie chorymi. Pozwala na godną śmierć dzięki zapewnieniu leczenia bólu i komfortowego otoczenia, zwykle poza szpitalem. W 1974 roku Florence Wald (⁠19⁠17⁠-2⁠00⁠8⁠) założyła pierwsze hospicjum w Stanach Zjednoczonych. Dziś hospicja zapewniają opiekę 1,65 mln Amerykanów i ich rodzinom. W Polsce, według danych Głównego Urzędu Statystycznego, opieką hospicyjną obejmowanych jest rocznie ok. 100 tys. osób (Zdrowie i Ochrona zdrowia w 2016 r., 2017). Dzięki opiece hospicyjnej wielu nieuleczalnie chorych ludzi może spędzić ostatnie dni życia w domu. W wielu kulturach cmentarz jest miejscem pochówku ciała człowieka po śmierci. (Źródło: Christina Rutz). Badania wykazują, że opieka hospicyjna jest korzystna dla pacjentów (Brumley et al., 2003; Brumley et al., 2007; Godkin et al., 1984) oraz ich rodzin (Rhodes et al., 2008). Pacjenci hospicyjni deklarują większą satysfakcję z tego rodzaju opieki, ponieważ mogą pozostawać w domu i nie muszą w pełni polegać na opiece obcych osób (Brumley et al., 2007). Ponadto pacjenci hospicyjni żyją zazwyczaj dłużej niż osoby niebędące pod opieką hospicjum (Connor et al., 2007; Temel et al., 2010). Członkowie rodziny otrzymują wsparcie emocjonalne i są regularnie informowani o leczeniu i stanie zdrowia ukochanej osoby. Zredukowany zostaje również spoczywający na nich ciężar opieki (McMillan et al., 2006). Zarówno pacjenci, jak i członkowie ich rodzin odczuwają większe wsparcie ze strony pozostałej części rodziny, większe wsparcie społeczne i ogólnie lepiej sobie radzą, gdy znajdują się pod opieką hospicjum (Godkin et al., 1984). Jak sądzisz, jaka byłaby twoja reakcja, gdyby zdiagnozowano u ciebie śmiertelną chorobę, na przykład nowotwór złośliwy? Elizabeth Kübler-Ross (1969), która pracowała z założycielami pierwszych hospicjów, opisała psychologiczny proces akceptowania własnej śmierci. Wyróżniła pięć etapów reakcji na wiadomość o bliskiej i nieuchronnej śmierci: zaprzeczenie, gniew, targowanie się, depresję i akceptację. Większość osób doświadcza tych etapów, lecz mogą one występować w różnej kolejności. Nie wszyscy ludzie doświadczają wszystkich etapów. Należy zaznaczyć, że niektórzy psychologowie uważają, że im bardziej osoba umierająca sprzeciwia się śmierci, tym bardziej prawdopodobne jest, że pozostanie na etapie zaprzeczenia. To może utrudnić jej spokojne odchodzenie. Inni psychologowie są zdania, że walka z chorobą do samego końca jest dla niektórych mechanizmem adaptacyjnym, pozwalającym lepiej radzić sobie z zaistniałą sytuacją. Warto przy tym pamiętać, że nieuleczalna choroba nie jest jedyną przyczyną odejścia ludzi w starszym wieku. Nie wszyscy cierpią i muszą być poddawani zabiegom medycznym. Dla większości ważne jest przede wszystkim, aby nie umierać w samotności, wśród obcych (Cicirelli, 2002). Niezależnie, czy z powodu choroby, czy sędziwego wieku, osoby skonfrontowane ze śmiercią nie zawsze doświadczają negatywnych emocji przedstawionych w teorii Kübler-Ross (Nolen-Hoeksemai Larson, 1999). Badania wykazały, że osoby wierzące lepiej radzą sobie ze śmiercią dzięki nadziei, którą daje wiara w życie pozagrobowe, oraz dzięki wsparciu wspólnot religijnych (Hood et al., 1996; McIntosh et al., 1993; Paloutzian, 1996; Samarel, 1991; Wortmani Park, 2008). Wyrazistym przykładem osoby, która nadała znaczenie swojemu umieraniu, był Randy Pausch (1960-2008), uwielbiany i szanowany profesor Carnegie Mellon University. W wieku 45 lat zdiagnozowano u niego terminalne stadium raka trzustki z prognozą 3–6 miesięcy życia. Pausch postanowił wykorzystać pozostały mu czas, żyjąc w sposób, który dawał mu satysfakcję. Zamiast popadać w gniew i depresję, wygłosił sławny dziś, ostatni wykład zatytułowany „Jak naprawdę zrealizować swoje dziecięce marzenia”. We wzruszającym, lecz niepozbawionym humoru przemówieniu podzielił się swoimi spostrzeżeniami na temat m.in. dostrzegania w innych dobra, pokonywania przeszkód i doświadczania braku grawitacji. Pomimo śmiertelnej choroby przeżył ostatni rok życia z radością i nadzieją, pokazując, że nasze plany na przyszłość wciąż mają znaczenie, nawet jeśli wiemy, że umieramy. W Polsce przykładem osoby, która dzieliła się doświadczeniem przeżywania śmiertelnej choroby w sposób świadomy i często niepozbawiony humoru, był ks. Jan Kaczkowski (1977-2016) (Kaczkowski i Jabłońska, 2017; Kaczkowski i Żyłka, 2015). Naprawdę zrealizować swoje dziecięce marzenia to ostatni wykład Randy'ego Pauscha. Posłuchaj tego inspirującego przemówienia. W związku z tym, że wiedza o procedurach i praktykach medycznych rośnie, niektórzy chcą być pewni, że ich życzenia w tych kwestiach będą znane wcześniej. Dzięki temu, jeśli taka osoba zostanie sparaliżowana lub z innego powodu nie będzie w stanie sama przedstawić swojej woli, ma pewność, że jej bliscy będą wiedzieli, czego sobie życzy. W tym celu można sporządzić testament życia ( oświadczenie pro futuro ) (ang. living will ) lub oświadczenie woli (ang. advance directive ), które są dokumentami prawnymi w formie pisemnej, szczegółowo określającymi działania medyczne, jakich życzy sobie sporządzająca je osoba. Na przykład osoba w terminalnym stadium choroby może nie chcieć być poddawana procedurom przedłużającym życie, może też dołączyć zalecenie „nie reanimować” (DNR) (ang. do not resuscitate (DNR) ) i poinformować o tym rodzinę oraz bliskich przyjaciół. Dokument „nie reanimować” poświadcza, że jeśli sporządzająca go osoba przestanie oddychać lub jej serce przestanie bić, personel medyczny (lekarze, pielęgniarki) mają NIE podejmować jej reanimacji. Testament życia może uwzględniać pełnomocnictwo ds. opieki zdrowotnej (ang. health care proxy ), które wyznacza określoną osobę do podejmowania decyzji medycznych w imieniu pacjenta, jeśli ten nie będzie w stanie robić tego samodzielnie. Na chęć sporządzenia testamentu życia i zalecenia „nie reanimować” często wpływ mają religia, kultura i wychowanie. Nie zawsze jest on także respektowany przez system prawny obowiązujący w konkretnym państwie. Summary Śmierć wyznacza koniec naszego życia. Stając w obliczu śmierci, możemy różnie reagować. Kübler-Ross opracowała teorię pięciu etapów reakcji na wiadomość o bliskiej i nieuchronnej śmierci jako sposób wyjaśnienia tego procesu. Wiele ludzi skonfrontowanych ze śmiercią wybiera opiekę hospicyjną, która pozwala im na spędzenie ostatnich dni życia w domu, w komfortowym otoczeniu. Review Questions Kto stworzył pierwsze współczesne hospicjum? Elizabeth Kübler-Ross Cicely Saunders Florence Wald Florence Nightingale B Wskaż poprawną kolejność etapów reakcji na wiadomość o bliskiej i nieuchronnej śmierci według teorii Kübler-Ross: zaprzeczenie, targowanie się, gniew, depresja, akceptacja gniew, depresja, targowanie się, akceptacja, zaprzeczenie zaprzeczenie, gniew, targowanie się, depresja, akceptacja gniew, akceptacja, zaprzeczenie, depresja, targowanie się C Critical Thinking Questions Problemy do rozwiązania Opisz pięć etapów umierania i podaj przykład, w jaki sposób chory mógłby zareagować na każdy z nich. Pierwszy etap to zaprzeczenie. Chory dowiaduje się, że umiera i albo nie traktuje tego poważnie, albo próbuje uciec od rzeczywistej sytuacji. Może wówczas powiedzieć: „Ja nie mogę mieć raka. Dbam o siebie. To musi być pomyłka”. Następnym etapem jest gniew. Chory zdaje sobie sprawę, że zostało mu niewiele czasu i że może nie mieć możliwości realizacji swoich planów. „To niesprawiedliwe. Obiecałem wnukom, że pojedziemy do Disneylandu, a teraz już nie będę mógł ich tam zabrać”. Trzeci etap to targowanie się. Na tym etapie chory próbuje opóźnić nieuniknione, negocjując lub błagając o dodatkowy czas, zazwyczaj Boga, członków rodziny czy personel medyczny. „Boże, daj mi jeszcze jeden rok, żebym mógł pojechać z wnukami na wycieczkę. Są za młodzi, żeby zrozumieć, co się dziejei dlaczego nie mogę zabrać ich na tę wycieczkę”. Czwarty etap to depresja. Chory jest smutny z powodu zbliżającej się śmierci. „Nie mogę uwierzyć, że mam tak umrzeć. Ten ból jest nieznośny. Co się stanie z moją rodziną, gdy mnie zabraknie?”. Ostatnim etapem jest akceptacja. Ten etap osiągany jest zazwyczaj w ostatnich dniach lub tygodniach przed śmiercią. Chory godzi się, że śmierć jest nieunikniona. „Muszę zrobić wszystko, by pożegnać się ze wszystkimi, których kocham”. Jaki jest cel opieki hospicyjnej? Hospicjum zapewnia wsparcie medyczne, społeczne i duchowe umierającym osobom i ich rodzinom. Personal Application Questions Zastosowania Czy kiedykolwiek spotkała cię śmierć bliskiej osoby? Jeśli tak, które z opisanych w tym podrozdziale treści mogłyby pomóc ci w przeżywaniu żałoby i radzeniu sobie ze smutkiem? Gdyby zdiagnozowano u ciebie terminalne stadium choroby, czy zdecydował(a)byś się na opiekę hospicyjną, czy szpitalną? Uzasadnij. hospicjum (ang. hospice) miejsce opieki nad osobami nieuleczalnie chorymi; pozwala na godną śmierć; zapewnia leczenie przeciwbólowe w komfortowym otoczeniu, zwykle poza szpitalem oświadczenie woli (ang. advance directive) mający moc prawną pisemny dokument szczegółowo określający, jak osoba, której dotyczy, chce być w przyszłości leczona (patrz: „testament życia/oświadczenie pro futuro ”) nie reanimować (ang. do not resuscitate (DNR)) dokument o mocy prawnej poświadczający, że osoba, której dotyczy, nie chce być reanimowana ani poddawana zabiegom resuscytacyjnym, jeśli jej serce przestanie bić pełnomocnictwo ds. opieki zdrowotnej (ang. health care proxy) dokument ustanawiający określoną osobę władną podejmować decyzje medyczne w imieniu pacjenta, jeśli ten nie będzie w stanie robić tego samodzielnie testament życia, oświadczenie pro futuro (ang. living will) dokument w formie pisemnej szczegółowo określający działania medyczne, jakich życzy sobie sporządzająca go osoba; może uwzględniać pełnomocnictwo dotyczące opieki zdrowotnej", "section": "Kres życia", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Emocje mogą zmieniać się w mgnieniu oka, zwłaszcza w odpowiedzi na niespodziewane zdarzenia. Zaskoczenie, strach, złość i smutek to emocje, które pojawiły się u ludzi w następstwie ataku bombowego podczas maratonu bostońskiego 15 kwietnia 2013 roku. (Źródło: modyfikacja pracy Aarona „Tango” Tanga). Czym są emocje i na ile są one uniwersalne? W niniejszym rozdziale omówimy, jak rozwijały się teorie emocji, jaka jest rola oceny poznawczej w doświadczaniu tego stanu. Zajmiemy się także wyjaśnieniem, jak przebiega uświadomiona i nieuświadomiona kontrola emocji u jednostki. Pokażemy różnicę między nastrojem a emocjami oraz przedstawimy teorię wyjaśniającą, jak z emocji prostych wynikają emocje złożone. Zajmiemy się również opisem badań, które miały odpowiedzieć na pytanie: czy uśmiechanie się daje poczucie szczęścia lub czy poczucie szczęścia wywołuje uśmiech na twarzy. Przedyskutujemy adekwatność stosowania trójstopniowej organizacji mózgu i podejmiemy się prezentacji, w których obszarach mózgu, zgodnie z najnowszą wiedzą, powstają emocje. Drugim głównym tematem tego rozdziału są motywacje. Opowiemy, czym one są oraz kiedy działamy po to, żeby przywrócić homeostazę, a kiedy po to, żeby ją zaburzyć. Przedstawimy teorie wyjaśniające, skąd się biorą nasze motywacje, m.in. jakie motywuje nas poczucie własnej skuteczności i na czym polega motywacja wewnętrzna i zewnętrzna. Poruszymy także temat seksualności, ponieważ pociąg seksualny często jest źródłem motywacji do działania. Bibliografia Ahima, R.S., i Antwi, D.A. (2008) Brain regulation of appetite and satiety. Endocrinology and Metabolism Clinics of North America, 37 , 811–823. Allen, L.S., i Gorski, R.A. (1992) Sexual orientation and the size of the anterior commissure in the human brain. Proceedings of the National Academy of Sciences, USA, 89 , 7199–7202. American Psychiatric Association. (2013). 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New York, NY: McGraw-Hill.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Emocje Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić główne teorie emocji Opisać rolę, jaką odgrywają struktury limbiczne w przetwarzaniu emocji Opisać substancji, która obejmuje strukturę limbiczną w działaniu Emocje odczuwamy wszyscy, choć każdy z nas trochę inaczej. Zapewne zgodzimy się z tym, że życie w świecie wyczyszczonym z emocji byłoby potwornie nudne. Silne emocje towarzyszą nam, gdy się zakochujemy oraz gdy przeżywamy zawód miłosny, gdy oglądamy scenę przemocy na filmie, spodziewamy się trudnej rozmowy z rodzicem albo przyjaciółką, gdy śpieszymy się na pociąg lub gdy oglądamy mecz. Wzbudzanie określonych emocji (zwykle przyjemnych jak radość czy poczucie szczęścia i spełnienia) jest powszechnie wykorzystywane w przekazach reklamowych nastawionych na sprzedaż produktów. Wzbudzanie emocji nieprzyjemnych (lęk, wzburzenie, niepokój) w odbiorcach należy natomiast do środków marketingu politycznego. Emocje u małych dzieci potrafią zmieniać się bardzo szybko, od stanu (a) ekstremalnej radości do (b) ekstremalnego smutku. (Źródło: modyfikacja pracy Kerry Ceszyk). Czym zatem są tak dobrze nam znane emocje (ang. emotion )? To subiektywny stan psychiczny. Jego pojawienie się natychmiastowo uruchamia realizację związanego z określoną emocją schematu działania zwanego programem emocjonalnym , jednocześnie hamując realizację prowadzonych w tym momencie innych programów. Na odczuwanie przez nas emocji składają się cztery czynniki: nasze subiektywne doświadczenia, ekspresja, ocena poznawcza i reakcje fizjologiczne (Levenson, Carstensen, Friesen i Ekman, 1991). Jednak, co będzie omówione w dalszej części tego rozdziału, dokładna kolejność występowania tych czynników nie jest ustalona. Subiektywne doświadczenie jest bodźcem zewnętrznym, który nie musi pochodzić ze świata zewnętrznego – wyobraźmy sobie, że kogoś na myśl o wojnie ogarnia smutek, mimo że sam wojny nigdy nie doświadczył. Ekspresja to werbalny bądź niewerbalny sposób wyrażania emocji (Gross, 1999). W ramach oceny poznawczej natomiast jednostka próbuje określić, w jaki sposób dana sytuacja na nią wpłynie (Roseman i Smith, 2001). Reakcje fizjologiczne (somatyczne), czyli czwarta składowa emocji, to: zmiany wyrazu twarzy, gesty, „ściskanie w żołądku”, „motyle w brzuchu”, „miękkie nogi”, przyśpieszenie tętna, pocenie się itp. (Soussignan, 2002). W mowie potocznej określenia „emocja” i „nastrój” bywają używane zamiennie, nie daj się więc zmylić zwyczajowemu znaczeniu tych słów. Dla psychologa emocje i nastrój to różne stany afektywne, a podstawowe różnice między nimi są następujące: czas trwania, intensywność, obiekt, wpływ na działanie. Omówmy te różnice po kolei. Czas trwania. Ekspresja emocji, czyli subiektywne zmiany somatyczne (np. przyśpieszenie bicia serca, nagły skurcz brzucha) trwają krótko: od kilku sekund do kilkunastu minut. Myśli dotyczące emocji, które też „wlicza się” do stanu afektywnego zwanego emocją, i będące świadomym opisywaniem przeżyć, trwają od kilku minut do kilku godzin. Nie da się więc jednoznacznie powiedzieć, ile dokładnie trwa emocja, można jednak przyjąć, że odczuwamy ją od kilku sekund do kilku godzin. Nastrój natomiast jest stanem trwającym od kilku godzin, a czasem tygodni do nawet kilku miesięcy. Intensywność. Emocje odczuwamy bardzo silnie i mają one swój „koloryt”, są bardzo różnorodne. Można odczuwać strach i złość, i choć obie te emocje będą należały do grupy emocji negatywnych, potrafimy je wyraźnie odróżnić. Gdy natomiast mówimy o nastroju, potrafimy tylko wskazać, czy jest on podwyższony (pozytywny) czy obniżony (negatywny) i natężenie tych odczuć jest dużo słabsze. Obiekt. W przypadku emocji zazwyczaj wiemy, co jest ich powodem. Gdy rozzłościsz się, bo kolega po raz kolejny zapomniał podlać kwiaty podczas twojej nieobecności w mieszkaniu i wszystkie zwiędły, wiesz, na kogo się złościsz: na kolegę. W przypadku odczuwania radosnego nastroju nie wiesz, co jest jego powodem. Obiekt nie jest znany, zwykle nie wiemy, w odpowiedzi na jakie wydarzenia się pojawił. Wpływ na działanie. Emocje aktywują specyficzny program, nadają mu priorytet i hamują inne programy, o czym wspomnieliśmy już wyżej. Nastrój nie wywołuje takich reakcji, co wcale nie znaczy, że nie ma na nas żadnego wpływu. Gdy jesteśmy w określonym nastroju, mamy tendencję do działań zgodnych z tym nastrojem. Podwyższony nastrój sprawia, że podejmujemy bardziej otwarte działania, gdyż jesteśmy nastawieni optymistycznie. Gdy mamy obniżony nastrój, stajemy się np. bardziej podejrzliwi. Nie znaczy to jednak, że będąc w nastroju pozytywnym, mamy tendencję do działań ryzykownych, a w nastroju negatywnym - działamy asekuracyjnie. Jest to dość złożona kwestia i liczne badania na ten temat nie przynoszą jednoznacznej odpowiedzi. Nastrój (ang. mood ) w związku z powyższym opisem, to długotrwały, mniej intensywny od emocji stan afektywny, który nie pojawia się w odpowiedzi na konkretne zdarzenie. Nastrój nie musi być świadomie rozpoznany i nie nosi znamion intencjonalności charakterystycznych dla emocji (Beedie, Terry, Lane i Devonport, 2011). Więcej informacji na temat nastroju i jego zaburzeniach znajdziesz w części Zaburzenia nastroju. Teorie emocji Emocje to odczuwanie szczytu radości lub głębi rozpaczy, złości, gdy zostaliśmy zdradzeni przez kogoś, strachu, gdy coś nam grozi, albo zaskoczenia, gdy zdarza się coś niespodziewanego. Skąd te różnorodne emocje się biorą, jaką pełnią funkcję? Psycholodzy stosują różne podejścia do opisu emocji. Poniżej przedstawimy w skrócie najbardziej historycznie znane teorie emocji, opierające się na poszczególnych aspektach emocji. Najpierw omówimy mechanizmy i przyczyny ich powstawania w ciele (aspekt biologiczny). Następnie zajmiemy się rolą emocji (aspekt poznawczy), po czym przedstawimy rodzaje emocji i ich funkcje (aspekt społeczny). Podejście fizjologiczne i jego krytyka Nasze stany emocjonalne to połączenie fizjologicznego pobudzenia, oceny psychologicznej i subiektywnych doświadczeń. Łącznie nazywamy je komponentami emocji (ang. components of emotion ). Na ich ocenę wpływają nasze doświadczenia, pochodzenie i kultura, dlatego różni ludzie mogą w podobnych okolicznościach odczuwać odmienne emocjonalne doświadczenia. W ostatnim stuleciu zaproponowano różne teorie (zob. ) mające wyjaśnić, gdzie leży źródło emocji. Warto tu jednocześnie zauważyć, że omawiany w poniższych przykładach proces emocjonalny reakcji na niebezpieczeństwo (którym jest jadowity wąż w ogrodzie) jest bardzo prosty. Trudno jest za ich pomocą opisać złożone stany emocjonalne, jakimi są uczucia. Z tego powodu psycholodzy poszukują wyjaśnień skomplikowanych procesów, rozwijając m.in. teorie omawiane poniżej. Teoria Jamesa-Langego (ang. James-Lange theory of emotion ) opracowana niezależnie przez Williama Jamesa (1842-1910) oraz Carla Langego (1834-1900) zakłada, że emocje powstają z pobudzenia fizjologicznego. Przypomnij sobie dyskusję na temat układu współczulnego i reakcji „walcz lub uciekaj” w sytuacji zagrożenia (por. rozdział Biopsychologia). Jeśli zetkniesz się z jakimś niebezpieczeństwem, np. z jadowitym wężem w ogrodzie, twój układ współczulny będący częścią autonomicznego układu nerwowego ( wegetatywnego układu nerwowego ) (ang. autonomic nervous system ) zainicjuje znaczne pobudzenie fizjologiczne, co spowoduje szybsze bicie serca i przyśpieszony oddech. Według teorii emocji Jamesa-Langego strach pojawiłby się dopiero po wystąpieniu tego fizjologicznego pobudzenia. Co więcej, różnym uczuciom towarzyszą odmienne wzorce pobudzenia. Teoria ta nie została jednak potwierdzona przez badaczy. Chwalisz, Diener i Gallagher (1988), a przed nimi Hohmann (1966) przeprowadzili badanie doświadczeń emocjonalnych u osób z uszkodzonym rdzeniem kręgowym. Stwierdzili, że jednostki z mniejszą świadomością pobudzenia AUN spowodowane uszkodzeniem rdzenia kręgowego, odczuwały emocje mniej intensywnie. Wyniki te zostały podważone przez inne badanie (Bernard, 1991), w którym osoby z uszkodzonym rdzeniem kręgowym raportowały odczuwanie emocji po urazie rdzenia kręgowego silniej niż przed urazem. Zaproponowana przez Jamesa i Langego teoria, jakoby fizjologiczne pobudzenie pojawiające się przy różnych rodzajach emocji było na tyle odrębne, by skutkowało tak szerokim spektrum doświadczanych przez nas emocji, zostało podważone również na gruncie teoretycznym. Walter Cannon (1871-1945) i jego uczeń Philip Bard (1898–1977) opracowali teorię Cannona-Barda (ang. Cannon-Bard theory of emotion ), według której emocje tworzą się w mózgu (wg Cannona we wzgórzu), a nie za pośrednictwem AUN i narządów wewnętrznych. Teoria ta również głosi, że różne stany emocjonalne są powiązane z tym samym pobudzeniem fizjologicznym oraz że pobudzenie fizjologiczne i doświadczenie emocjonalne pojawiają się równocześnie i niezależnie (Lang, 1994). Zatem podczas spotkania z jadowitym wężem strach poczujesz dokładnie w tym samym momencie, gdy ciało uruchomi reakcję „walcz lub uciekaj”. Ta reakcja emocjonalna będzie odrębna i niezależna od pobudzenia fizjologicznego, mimo że pojawiają się one razem. Również ta teoria została zweryfikowana w późniejszych badaniach. Wynika z niej, że źródłem emocji jest nie tylko wzgórze (więcej o tym poniżej). Również, w przeciwieństwie do tego, co sugerował Cannon, poszczególnym stanom emocjonalnym odpowiadają specyficzne wzorce pobudzenia fizjologicznego, a pobudzenie fizjologiczne i doświadczenie emocjonalne nie występują jednocześnie. Diagram obrazujący główne założenia teorii Jamesa-Langego, Cannona-Barda oraz dwuczynnikowej teorii Schachtera-Singera (źródło: zdjęcie węża – modyfikacja pracy „tableatny”/Flickr; zdjęcie twarzy – modyfikacja pracy Cory’ego Zankera). Rola oceny poznawczej w doświadczaniu emocji G. Marañon Posadillo, hiszpański lekarz, wykorzystał swoje badania nad psychologicznymi skutkami działania adrenaliny do opracowania modelu doświadczania emocji. Warto wspomnieć, że zaproponowany przez niego model został opublikowany przed publikacją również opartej na badaniach działania adrenaliny dwuczynnikowej teorii Schachtera-Singera (Cornelius, 1991). Dwuczynnikowa teoria Schachtera-Singera (ang. Schachter-Singer two-factor theory of emotion ) to propozycja teorii emocji, uwzględniająca zarówno pobudzenie fizjologiczne, jak i doświadczenie emocjonalne. Zakłada ona, że na emocje składają się dwa czynniki – fizjologiczny i poznawczy. Innymi słowy pobudzenie fizjologiczne jest interpretowane, aby wywołać doświadczenie emocjonalne. Wracając do naszego przykładu z jadowitym wężem w ogrodzie, według teorii dwuczynnikowej wąż powoduje aktywację układu współczulnego, która w tym przypadku otrzymuje etykietę strachu, więc naszym doświadczeniem jest strach. Gdyby została do tego zdarzenia przypisana etykietka „radość”, doświadczysz takiego właśnie uczucia. Dwuczynnikowa teoria Schachtera-Singera polega na etykietowaniu doświadczeń fizjologicznych; nadawanie tych etykiet jest jednym z rodzajów oceny poznawczej. Ocena poznawcza (ang. cognitive appraisal ) to rozpoznanie przez jednostkę, że określona sytuacja ma znaczenie z punktu widzenia jej celów i interesów. Schachter i Singer uważali, że ocena poznawcza sytuacji ma kluczowe znaczenie dla doświadczania emocji, ponieważ samo pobudzenie fizjologiczne daje doświadczenia niespecyficzne dla określonej emocji. Bez włączenia oceny poznawczej możliwe byłoby zatem błędne przypisanie pobudzenia do jakiegoś doświadczenia emocjonalnego (Schachter i Singer, 1962). Eksperyment Schachtera i Singera Schachter i Singer przeprowadzili w 1962 roku pomysłowy eksperyment mający sprawdzić poprawność proponowanej przez nich teorii. Uczestnicy płci męskiej zostali losowo przypisani do czterech grup i zostali poinformowani, że uczestniczą w testach preparatu witaminowego. Badanym w trzech grupach podano zastrzyki adrenaliny, a w czwartej grupie podano placebo. Eksperymentatorzy w pierwszej grupie przekazali, że wstrzyknięta substancja może spowodować skutki uboczne jak przyspieszone bicie serca i pocenie się rąk itp., opisując rzeczywiste działanie adrenaliny na współczulny układ nerwowy. Drugiej grupie nie podano żadnych informacji na temat działania badanego „preparatu witaminowego”, a trzeciej grupie powiedziano, że może spowodować on swędzenie czy ból głowy. Po otrzymaniu zastrzyków uczestnicy czekali w pomieszczeniu z drugą osobą. Byli poinformowani, że to również ochotnik biorący udział w tym badaniu preparatu witaminowego, tymczasem osoba ta była zatrudniona przez badaczy i jej zadaniem było odgrywanie euforii lub złości (Schachter i Singer, 1962). Uczestnicy badania, którym uprzednio powiedziano, że mogą odczuwać objawy pobudzenia fizjologicznego (badani z pierwszej grupy), zapytani o zmiany emocjonalne doświadczone w związku z euforią lub złością (w zależności od tego, jak zachowywał się ich współtowarzysz), nie stwierdzili żadnych tego typu reakcji. Natomiast mężczyźni z pozostałych dwóch grup, którzy nie spodziewali się pobudzenia fizjologicznego w następstwie zastrzyku, częściej przyznawali się do odczuwania euforii lub złości w zależności od zachowania współtowarzysza. Mimo że wszyscy, którym podano zastrzyk adrenaliny, doświadczyli takiego samego pobudzenia fizjologicznego, tylko ci, którzy się go nie spodziewali, wykorzystali kontekst do interpretacji pobudzenia jako zmiany stanu emocjonalnego (Schachter i Singer, 1962). Zależność między naszym doświadczaniem emocji i ich poznawczym przetwarzaniem, a także kolejnością ich występowania nadal pozostaje przedmiotem badań i dyskusji. Richard S. Lazarus (1922-2002) (1991) opracował teorię poznawczo-relacyjną (ang. cognitive-mediational theory ) zwaną teorią Lazarusa (1991), która zakłada, że odczuwanie emocji ma związek ze złożoną oceną poznawczą bodźca. Wg Lazarusa ocena poznawcza składa się z dwuetapowej oceny pierwotnej oraz oceny wtórnej . Pierwszy etap oceny pierwotnej to odpowiedź na pytanie, czy zdarzenie ma związek z moimi celami i interesami. Jeśli nie ma związku, emocja się nie pojawia. Jeśli dostrzegamy taki związek, ustalamy, czy jego efekt będzie dla mnie dobry czy zły (to jest drugi etap oceny pierwotnej). Po czym następuje ocena wtórna z pytaniem: co mogę zrobić w obecnej sytuacji. Chociaż proces ten jest wyraźnie podzielony na etapy, wg twórcy teorii zachodzi on płynnie. Odkrycie znaczenia oceny poznawczej Pierwszą teoretyczką, która przystąpiła do poszukiwania wyjaśnień znaczenia oceny poznawczej w doświadczaniu emocji była Magda Blondiau Arnold (1903-2002). Kluczowym w teorii oceny jest spostrzeżenie, że po bodźcu lub zdarzeniu najpierw pojawia się ocena poznawcza (sprawdzenie, czy sytuacja jest dla nas korzystna czy nie). Jeśli sytuacja jest korzystna, mamy tendencję do podejmowania działania; jeśli niekorzystna – mamy tendencję do unikania. Po tych fazach pojawia się emocja, a za nią podążają działania sterowane przez emocje (Frijda, 1988; Lazarus, 1991). Jeśli myślisz, że jakaś sytuacja jest przyjemna, będziesz odczuwać więcej pozytywnych emocji z nią związanych, niż gdy najpierw oceniasz tę sytuację negatywnie. Teoria oceny wyjaśnia, dlaczego na tę samą sytuację dwie osoby potrafią zareagować odczuwaniem dwóch całkiem odmiennych emocji. Wyobraź sobie na przykład, że wykładowca psychologii wyznaczył cię do przygotowania prezentacji na temat emocji. Może to wywołać u ciebie pozytywne myśli, bo dostaniesz szansę wykazania się i znajdziesz się w centrum uwagi. Wówczas doświadczysz uczucia radości. Jeśli jednak nie lubisz występować publicznie, ocenisz sytuację negatywnie i poczujesz silny dyskomfort. Robert Zajonc (1923-2008) zaproponował koncepcję, która stoi w opozycji do teorii Lazarusa. Zajonc (1980) twierdzi, że we wzbudzaniu emocji procesy poznawcze nie biorą udziału. Mamy bowiem możliwość blokowania procesów poznawczych, np. wyłączając telewizor. Nie potrafimy jednak zablokować odczuwania silnych emocji, a blokowanie zachowań uruchamianych przez procesy związane z określoną emocją niekiedy jest bardzo trudne. Zajonc twierdzi, że bardzo często emocja pojawia się zanim nastąpi poznanie. Teoria ta znajduje poparcie chociażby w badaniach wpływu reklam na konsumenta albo w znanym nam wszystkim odczuciu „pierwszego wrażenia”, które wywiera na nas nowo poznana osoba. Potrafimy polubić kogoś lub jakiś produkt, zanim uzyskamy więcej informacji na jego temat. Regulacja emocji Wróćmy do opisanego w przykładu z wykładowcą, który prosi cię o przygotowanie prezentacji. Nawet jeśli nie lubisz występować publicznie, zapewne dasz sobie z tym radę. Dzięki regulacji emocji (ang. emotion regulation ), czyli procesowi, który rozpoczyna, kształtuje i podtrzymuje doświadczanie emocji, tu i teraz staniesz na katedrze i zaczniesz przemawiać. Regulacja emocji może mieć charakter uświadomiony (podmiotowy) oraz nieuświadomiony (automatyczny). Automatyczna regulacja emocji (ARE) (ang. automatic emotion regulation ) zachodzi u nas w trybie ciągłym, w dużej części dokonuje się bez naszego aktywnego myślenia. Mauss z zespołem podczas badań tego rodzaju regulacji emocji ustaliła, że automatyczna regulacja emocji może wpłynąć na każdą ze składowych w procesie odczuwania emocji i może oddziaływać na: zadania, w których bierzesz udział, twoją ocenę sytuacji, wybór, którego dokonujesz, by zaangażować się emocjonalnie, oraz na twoje zachowania po tym, jak tych emocji już doświadczysz. (Mauss, Bunge i Gross, 2007, Mauss, Levenson, McCarter, Wilhelm i Gross, 2005). ARE jest podobna do innych automatycznych procesów poznawczych, w których uruchamiane są struktury wiedzy mające wpływ na nasze funkcjonowanie. Wspomniane struktury wiedzy to m.in. pojęcia, programy i wzorce. Według koncepcji ARE proces automatycznej kontroli zachodzi u każdego z nas. Działa na zasadzie schematu, a regulacja emocji, która pojawia się w ramach tego procesu, nie wymaga celowego myślenia. ARE można porównać do jazdy na rowerze. Jeśli już raz tę czynność opanujesz, możesz z niej korzystać bez zastanowienia. Automatyczna regulacja emocji może przyjąć postać adaptacyjną lub nieadaptacyjną, co pozostaje nie bez znaczenia dla naszego stanu zdrowia (Hopp, Troy i Mauss, 2011). Mauss z zespołem badaczy ustaliła, że przyjmowanie określonych strategii działania może zmniejszyć odczuwanie negatywnych emocji, co z kolei może wpłynąć na poprawę zdrowia psychicznego (Mauss, Cook, Cheng i Gross, 2007; Mauss, Cook, i Gross, 2007; Shallcross, Troy, Boland i Mauss, 2010; Troy, Shallcross i Mauss, 2013; Troy, Wilhelm, Shallcross i Mauss, 2010). Mauss zasugerowała również, że chociaż problematyczne bywają sposoby pomiaru emocji, większość najczęściej mierzonych zagadnień związanych z emocjami, pozostaje według niej przydatna (Mauss et al., 2005; Mauss i Robinson, 2009). Zastosowanie całkiem odmiennego podejścia do badania emocji zmienia jednak nasze dotychczasowe rozumienie tego zagadnienia. Na tym wideo dr Lisa Feldman Barrett wyjaśnia, jak są skonstruowane emocje; na tej stronie dostępne jest tłumaczenie transkrypcji na język polski. Po około 30 latach badań interdyscyplinarnych Lisa Feldman Barrett (ur. 1963) przyznała, że nadal nie rozumiemy, czym są emocje (więcej w notce powyżej). Według Barrett emocje nie zostały wbudowane w mózg w trakcie naszych narodzin i są tworzone na podstawie naszych doświadczeń. Emocje wg tej teorii są domysłami, które budują nasze doświadczanie świata. W rozdziale Czym jest poznanie? pisaliśmy, że pojęcia to kategorie lub zbiory informacji lingwistycznych, obrazów, idei lub wspomnień jak doświadczenia życiowe. Barret rozszerzyła tę definicję, by włączyć w nią emocje jako pojęcia - domysły (Barrett, 2017). W zależności od naszych domysłów, dwa identyczne stany fizjologiczne mogą przejawiać się innymi stanami emocjonalnymi. Na przykład twój mózg domyśla się nieprzyjemnego odczucia w żołądku, gdy znajdujesz się w piekarni, może wytworzyć uczucie głodu. Jednak ten sam domysł w sytuacji, gdy czekasz na wynik ważnego badania medycznego, może u ciebie wytworzyć obawę. To pokazuje, że z tego samego odczucia fizjologicznego mogą zostać wytworzone dwie emocje. W związku z tym zamiast traktować emocje jako coś niepodlegającego kontroli, możesz nad nimi panować i na nie wpływać. Siła uśmiechu Czy uśmiechanie się daje poczucie szczęścia lub czy poczucie szczęścia wywołuje uśmiech na twarzy? Badacze postawili hipotezę mimicznego sprzężenia zwrotnego (ang. facial feedback hypothesis ), by ustalić, czy mimika może wpływać na doświadczenie emocjonalne jednostki (Adelman i Zajonc, 1989; Boiger i Mesquita, 2012; Buck, 1980; Capella, 1993; Soussignan, 2001; Strack, Martin i Stepper, 1988). Okazuje się, że stłumienie możliwości reakcji mimicznych na emocje zmniejsza natężenie doświadczania niektórych emocji (Davis, Senghas i Ochsner, 2009). W badaniu (Havas, Glenberg, Gutowski, Lucarelli i Davidson, 2010) ostrzykiwano partie twarzy uczestników preparatem z jadu kiełbasianego (botoksem), by unieruchomić określone mięśnie twarzy i ograniczyć ich mimikę. Okazało się, że zwiotczenie mięśni powodujących zafrasowaną minę (m.in. marszczenie brwi), zmniejsza odczuwanie stanów depresyjnych osób cierpiących na depresję. Jeszcze inne badanie wykazało, że intensywność mimiki ma wpływ na reakcję emocjonalną (Soussignan, 2002; Strack, Martin i Stepper, 1988). Innymi słowy, jeśli na nieistotne wydarzenie zareagujesz tak szerokim uśmiechem jak przy wygranej na loterii, odczujesz znacznie większą radość niż przy wątłym uśmiechu, na jaki to wydarzenie faktycznie zasługuje. Co ciekawe, Soussignan (2002) zaobserwował różnice w reakcji fizjologicznej w zależności od stopnia natężenia tego samego uśmiechu. Złożoność emocji Klasyczne teorie emocji zajmowały się wyjaśnianiem mechanizmów powstawania najprostszych emocji, wyzwolonych programami uciekaj (emocja strachu) albo walcz (emocja wściekłości). W ostatnim czasie psycholodzy, wykorzystując techniki obrazowania pracy mózgu, wskazali siedem emocji: panika, strach, wściekłość, żądza, poszukiwanie, opieka, zabawa. Zestaw tych siedmiu emocji częściowo pokrywa się z siedmioma uniwersalnymi ekspresjami mimicznymi, z których każda emocja utożsamiana jest z odmiennym wyrazem twarzy. Są to: radość, zdziwienie, smutek, strach, wstręt, pogarda i złość ( ) (Ekman i Keltner, 1997). Wydaje się, że nasza zdolność do rozpoznawania wyrazu twarzy i wyrażania emocji za pomocą mimiki jest uniwersalna we wszystkich kręgach kulturowych. Nawet osoby od urodzenia niewidome okazują emocje za pomocą takich samych ekspresji mimicznych, mimo że nigdy nie widziały ich u innych ludzi. To oznacza, że wzorzec aktywności mięśni twarzy zaangażowanych w wyrażanie emocji jest uniwersalny W zasadzie koncepcję tę zaproponowano już pod koniec XIX wieku w książce Karola Darwina O wyrazie uczuć u człowieka i zwierząt (1872) . Rozbieżności w obu tych zestawach emocji pokazują, jak ważna jest metoda pozyskania tych informacji. Pierwszy zestaw został stworzony na podstawie badania obszarów mózgu odpowiedzialnych za uruchamianie programów związanych z określonymi emocjami, a drugi zestaw jest przejawem ekspresji emocjonalnej. Siedem uniwersalnych mimicznych ekspresji emocji. (Źródło: modyfikacja pracy Cory’ego Zankera). Uniwersalność i zaburzenia w rozpoznawaniu emocji Paul Ekman (1972) przeprowadził pionierskie badanie z udziałem jednego z mieszkańców Nowej Gwinei, należącego do grupy przedstawicieli kultury przedpiśmiennej, którzy posługują się narzędziami kamiennymi i nie mieli kontaktu z ludźmi spoza swojego kręgu kulturowego. Ekman poprosił mężczyznę o zaprezentowanie, jaki miałby wyraz twarzy w następujących sytuacjach: (1) odwiedził go przyjaciel, (2) właśnie zmarło jego dziecko, (3) szykuje się do walki, (4) nadepnął na rozkładające się szczątki świni. Ekspresje mimiczne emocji mężczyzny okazały się uniwersalne. Spotkanie to zainspirowało Ekmana do dalszej pracy nad mimiką, po powrocie z Nowej Gwinei Ekman poświęcił badaniom tej dziedziny ponad 40 lat. Trudności z rozpoznawaniem stanów emocjonalnych innych osób mają dzieci z zaburzeniami ze spektrum autyzmu. Badania pokazują, że może to wynikać z nieumiejętności rozróżniania niewerbalnych wyrazów emocji (np. mimiki) (Hobson, 1986). Co więcej, istnieją dowody sugerujące, że osoby z autyzmem mają również problem z wyrażaniem emocji tonem głosu i za pomocą wyrazów twarzy (Macdonald et al., 1989). Trudności z rozpoznawaniem i wyrażaniem emocji mogą przyczyniać się do ograniczonych interakcji społecznych i komunikacji charakterystycznych dla autyzmu. Dlatego też bada się szereg różnych podejść terapeutycznych zmierzających do rozwiązania tych problemów. Nadzieję na pomoc osobom autystycznym w przetwarzaniu informacji dotyczących emocji dają różnorodne programy edukacyjne, terapia poznawczo-behawioralna oraz leczenie farmakologiczne (Bauminger, 2002; Golan i Baron-Cohen, 2006; Guastella et al., 2010). Na niedoskonałość sposobu, w jaki pozyskujemy informacje na temat emocji na podstawie opisu doświadczanych emocji zwrócił także uwagę Robert Plutchik (1927-2006). Według Plutchika emocje nie są jedynie etykietą jak „złość”, „wstręt” czy „strach\"”, a pozyskiwanie informacji na podstawie wywiadu o emocjach przez nas doświadczanych jest podejściem zbyt niedokładnym. Opis stanu emocjonalnego przez badanych może się więc składać z takich elementów jak: zmiany fizjologiczne („uczucie braku apetytu”), postawy wobec siebie („uczucie, że jest się kimś nieistotnym”) oraz impuls do działania („czuję, że się rozpłaczę”). Innym przykładem trudności z pozyskiwaniem informacji na temat emocji jest celowe błędne podanie przez uczestnika badania opisu doświadczanej przez niego emocji. W przedstawionym wyżej eksperymencie ( ) wykazano, że uczestnicy w grupie z osobą odgrywającą złość faktycznie czuli złość, ale badaczowi mówili, że czują euforię, ponieważ nie chcieli się przyznać publicznie do prawdziwej emocji w obawie przed gorszą oceną w badaniu końcowym. Plutchik twierdzi również m.in., że umiejętność celnego opisu emocji zależy również od zakresu słownictwa badanego. Ponadto emocje rzadko występują w czystej postaci, zwykle są mieszaniną innych emocji i trudno je opisać w sposób prosty i jednoznaczny (Plutchik, 2009). Uprawniona wydaje się w związku z tym konkluzja, że emocje to hipotetyczny konstrukt albo wnioskowanie na podstawie przesłanek należących do różnych kategorii. Są nimi ustne opisy doświadczanych uczuć, ekspresja behawioralna, reakcje w grupie rówieśniczej itp. Emocje można opisywać, używając subiektywnych wyrażeń należących do języka potocznego (szczęście, smutek, wstręt). Można też odnieść się do emocji z perspektywy behawioralnej (uderzanie, bicie, krzyk, ucieczka, płacz, wymiotowanie). Perspektywa reakcji emocjonalnych na otoczenie, czyli język funkcjonalny, to trzeci sposób opisu emocji. W ujęciu funkcjonalnym efektem ucieczki jest ochrona jednostki, a efektem ataku złości jest zniszczenie obiektu, efektem smutku i płaczu jest próba uzyskania wsparcia od innych (Plutchik, 2009). Trzy sposoby opisywania emocji wg Plutchika (Plutchik, 2009). Język subiektywny Język behawioralny Język funkcjonalny strach, przerażenie wycofanie, uciekanie ochrona złość, wściekłość atakowanie, bicie zniszczenie radość, ekstaza spółkowanie, posiadanie rozmnażanie się smutek, żal płacz, wołanie o pomoc reintegracja akceptacja, zaufanie łączenie się w pary, uwodzenie przynależność obrzydzenie, wstręt wymiotowanie, defekacja odrzucenie przewidywanie, oczekiwanie badanie, mapowanie odkrywanie zaskoczenie, zdumienie zatrzymywanie, blokowanie orientowanie się Plutchik z przedstawionego w tabeli zestawienia wyciąga trzy główne wnioski: Emocja może mieć różny stopień natężenia (strach, przerażenie). Emocje mogą być do siebie zbliżone (wstyd, poczucie winy) albo bardzo od siebie odległe (radość i obrzydzenie). Emocje mają charakter polarny – radość jest przeciwstawna do smutku, nienawiść do miłości. Wskazał on następnie osiem podstawowych emocji ułożonych w pary (diady) przeciwieństw: gniew-strach, wstręt-akceptacja, smutek-radość, zaskoczenie-oczekiwanie. Zastosujemy teraz dość nietypowe, ale obrazowe porównanie, które ułatwi, mamy nadzieję, zrozumienie modelu emocji zaproponowanego przez Plutchika. Koło emocji wg Plutchnika. Wyobraźmy sobie pełną w środku bryłę w kształcie podobnym do stożka. Na płaskiej części bryły (na kolistej podstawie stożka) nanosimy nazwy par przeciwstawnych emocji podstawowych. Następnie przeciwstawnym emocjom przypisujemy przeciwstawne kolory, na wzór koła barw. Od razu można zauważyć, że te przeciwstawne emocje się znoszą, podobnie jak połączenie przeciwstawnych barw daje kolor czarny albo szary. Wyobraźmy sobie teraz, że na każdą emocję precyzyjnie kładziemy krople odpowiednio zabarwionej wody i patrzymy, jak barwniki rozchodzą się w głąb bryły. Jeśli pokroimy teraz bryłę na plastry, zobaczymy, że im dalej od miejsca, gdzie barwniki zostały zakroplone, tym kolory są mniej intensywne. Jest to analogia do bryły emocji Plutchika, która przedstawia zależności między emocjami i ich nasileniem: emocje znajdujące się w kolejnych coraz mniejszych „plasterkach” są coraz słabsze i coraz trudniej je od siebie odróżnić. Według Plutchika emocje mogą być tak słabe, że stają się nierozróżnialne (analogia wierzchołka bryły, do którego nie dotarł żaden barwnik). Plutchik, posiłkując się tą samą analogią koła barw, które było podstawą stożkowatej bryły, przedstawia nie tylko emocje podstawowe, lecz także emocje złożone. Gdy zmieszamy emocje sąsiadujące ze sobą, np. zaskoczenie i smutek, otrzymamy emocję drugiego rzędu – rozczarowanie, podobnie radość i oczekiwanie da optymizm. Summary Emocje to subiektywne doświadczenia, na które składają się fizjologiczne pobudzenie i ocena poznawcza. Do wyjaśnienia naszych doświadczeń emocjonalnych zaproponowano różne teorie. Teoria Jamesa-Langego zakłada, że emocje pojawiają się jako funkcja pobudzenia fizjologicznego. Teoria Cannona-Barda utrzymuje, że doświadczenie emocjonalne pojawia się równocześnie z pobudzeniem fizjologicznym, ale jest od niego niezależne. Dwuczynnikowa teoria Schachtera-Singera sugeruje, że pobudzenie fizjologiczne otrzymuje etykietę poznawczą w zależności od kontekstu, a te dwa czynniki łącznie prowadzą do doświadczenia emocjonalnego. Teoria poznawczo-relacyjna Lazarusa przyjmuje, że doświadczanie emocji ma związek z dwuetapową oceną poznawczą bodźca (ocena pierwotna i ocena wtórna). Ocena pierwotna jest dwuetapowa. Najpierw oceniany jest związek zdarzenia z moimi celami i interesami. Jeśli go nie ma, emocja się nie pojawia. Jeśli związek istnieje, dochodzi do oceny efektu zdarzenia (dobry efekt czy zły). Ocena wtórna poszukuje odpowiedzi: co mogę zrobić w obecnej sytuacji. Zajonc w opozycji do Lazarusa twierdzi, że procesy poznawcze nie biorą udziału we wzbudzaniu emocji, ponieważ procesy poznawcze możemy zablokować (np. wyłączając telewizor), ale nie mamy możliwości zablokować odczuwania silnych emocji. Regulacja emocji to proces, który rozpoczyna, kształtuje i podtrzymuje doświadczanie emocji. Regulacja emocji może mieć charakter uświadomiony (podmiotowy) oraz nieuświadomiony (automatyczny). Plutchik zaproponował opis emocji z wykorzystaniem analogii do koła barw. Według Plutchika emocje można opisywać, używając subiektywnych wyrażeń należących do języka potocznego, perspektywy behawioralnej oraz języka funkcjonalnego. Review Questions Teorii Lazarusa w doświadczaniu emocji zachodzi jednoetapowa ocena poznawcza zachodzi dwuetapowa ocena poznawcza ocena poznawcza jest wyłączona z tego procesu emocje są opisywane z użyciem analogii do koła barw B Teorii Zajonca w doświadczaniu emocji zachodzi jednoetapowa ocena poznawcza zachodzi dwuetapowa ocena poznawcza ocena poznawcza jest wyłączona z tego procesu emocje są opisywane z użyciem analogii do koła barw C Według teorii ________ doświadczenia emocjonalne wynikają z pobudzenia fizjologicznego. Jamesa-Langego Cannona-Barda dwuczynnikowej Schachtera-Singera Darwina A Która z poniższych teorii emocji sugeruje, że wariografy powinny dość dokładnie rozróżniać pewne emocje od innych? teoria Cannona-Barda teoria Jamesa-Langego dwuczynnikowa teoria Schachtera-Singera teoria Darwina B Critical Thinking Questions Wyobraź sobie, że zaraz po zażyciu leku hamującego aktywację układu współczulnego znajdujesz koło nogi jadowitego węża. Co na temat twojego doświadczenia w takiej sytuacji przewiduje teoria Jamesa-Langego? Teoria Jamesa-Langego zakłada, że nie czułabym strachu, ponieważ nie doświadczyłabym fizjologicznego pobudzenia niezbędnego do wywołania stanu emocjonalnego. Dlaczego nie można wyciągnąć wniosków przyczynowych dotyczących zależności między objętością hipokampa a zespołem stresu pourazowego? Dostępne badania mają charakter korelacyjny. Nie można wykluczyć, że mniejsza objętość hipokampa predysponuje ludzi do wystąpienia zespołu stresu pourazowego lub że wynika ona z tego zaburzenia. Wnioski przyczynowe można wyciągnąć wyłącznie po przeprowadzeniu eksperymentów. Personal Application Question Pomyśl o radosnej sytuacji w swoim życiu (gdy drużyna, której kibicujesz, po bardzo wymagających rozgrywkach zdobyła mistrzostwo kraju) albo o sytuacji wywołującej w tobie obawy (np. przed wygłoszeniem prezentacji przed setką obcych osób). Jak opiszesz sposób, w jaki fizycznie manifestowało się u ciebie pobudzenie? Czy dostrzegasz różnice w pobudzeniu fizjologicznym związanym z każdym z tych stanów emocjonalnych? teoria emocji Cannona-Barda (ang. Cannon-Bard theory of emotion ) zgodnie z nią fizjologiczne pobudzenie i doświadczenie emocjonalne zachodzą w tym samym czasie poznawczo-transakcyjny paradygmat stresu (ang. cognitive-mediational theory ) nasze emocje zależą od oceny bodźca składowe emocji (ang. components of emotion ) fizjologiczne pobudzenie, ocena i subiektywne doświadczenie kulturowy wzorzec emocji (ang. cultural display rule ) jeden z kulturowo swoistych standardów określających akceptowalne rodzaje i natężenie emocji emocja (ang. emotion ) subiektywny stan często określany mianem uczuć hipoteza mimicznego sprzężenia zwrotnego (ang. facial feedback hypothesis ) wyraz (własnej) twarzy ma wpływ na nasze emocje teoria emocji Jamesa-Langego (ang. James-Lange theory of emotion) emocje są efektem fizjologicznego pobudzenia dwuczynnikowa teoria Schachtera-Singera (ang. Schachter-Singer two-factor theory of emotion) zakłada, że na emocje składają się dwa rodzaje czynników: fizjologiczny i poznawczy", "section": "Emocje", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Biologia emocji Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać, w jaki sposób reguluje się głód i jedzenie Rozróżnić poziom nadwagi i otyłości oraz związane z nimi konsekwencje zdrowotne Wyjaśnić konsekwencje zdrowotne wynikające z anoreksji i bulimii W jaki sposób reagujemy na emocje? Jak złożone są te procesy? U człowieka w programie reakcji na emocję biorą udział złożone systemy samoregulacji, o których zaledwie wspomnieliśmy w poprzednim podrozdziale. Badacze jak Cannon w latach 20. i 30. XX wieku poszukiwali jednego miejsca w mózgu odpowiedzialnego za powstawanie emocji. Model trójstopniowej organizacji mózgu MacLean (1913-2007) podjął próbę wyjaśnienia procesów powstawania emocji i motywacji na podstawie ewolucji i budowy mózgu. W latach 60. XX wieku zaproponował model trójstopniowej organizacji mózgu . Opierała się ona na obserwacji, że mózg ssaków, w tym i człowieka, składa się z trzech odrębnych obszarów. Według MacLeana obszar położony najgłębiej pochodzi od gadów. Obszar położony nad nim, nazwany przez MacLeana obszarem limbicznym (1952), mieliśmy odziedziczyć po wczesnych ssakach, a trzeci, położony najbardziej na zewnątrz, miał wyewoluować dopiero u ssaków współczesnych. Zgodnie z teorią MacLeana mózg gadzi (ang. reptilianor R-complex ) jest „samolubny”, odpowiada za zachowania niewerbalne i działanie automatyczne. Mózg paleossaków (ang. paleomammailan complex ) odgrywa kluczową rolę w zachowaniach rodzicielskich, karmieniu i zachowaniach ukierunkowanych na rozmnażanie się. Procesy wyższego rzędu jak posługiwanie się językiem, myślenie racjonalne i abstrakcyjne oraz poznanie zachodzą natomiast wyłącznie w mózgu ssaków współczesnych (ang. neomammalian complex ). Krytyka modelu MacLeana Dość prosta teoria zaproponowana przez MacLeana zyskała szerokie uznanie u przedstawicieli różnych dziedzin nauki, nie znalazła jednak poparcia wśród ekspertów nauk o mózgu. Wraz z postępem badań teoria o trójstopniowej organizacji mózgu poddana została zdecydowanej krytyce. Zgodnie z wiedzą o ewolucji organizmów, struktury nazywane przez MacLeana mózgiem gadzim były obecne już u ryb bezszczękowych. Wbrew temu, co twierdził, należące do tego obszaru jądra podstawne są zaangażowane w inicjację i kontrolę ruchów zależnych od woli (ang. voluntary movement ). Potwierdzają to obserwacje osób z zaburzeniami tego obszaru mózgu, u chorych na Parkinsona albo pląsawicę Huntingtona. U osób tych upośledzona jest kontrola ruchów zależnych od woli (Reiner, 1990). Zgodnie z aktualną wiedzą układ limbiczny pojawił się ewolucyjnie wcześniej niż u pierwszych ssaków. Elementy układu limbicznego: przegroda, ciało migdałowate i hipokamp posiadają już ptaki, gady i płazy. Obecna jest też u nich kora zakrętu obręczy. Funkcje wiązane z tymi obszarami – np. zachowania rodzicielskie są obecne również u gadów (krokodyle opiekują się młodymi), większości ptaków (Reiner, 1990). Nawet niektóre płazy (drzewołazy) opiekują się potomstwem. Podobnie kora nowa wcale nie występuje po raz pierwszy u współczesnych ssaków. Kora nowa (w postaci niedużej struktury w przodomózgowiu) była już obecna u wczesnych ssaków 65 mln lat temu (Kaas, 2011). Jej elementy mają również ptaki, gady, ryby kostno- i chrzęstnoszkieletowe. Struktury te biorą u nich udział w postrzeganiu, podejmowaniu decyzji, uczeniu się, używaniu narzędzi, tworzeniu konceptów (szczególnie u ptaków). U niessaków struktura ta ma inną budowę co kora nowa, co wyjaśnia, dlaczego wcześniej nie była ona u tych zwierząt zauważona (Reiner, 1990). Powstawanie emocji w mózgu Według aktualnego stanu wiedzy obszarami, które są kluczowe dla procesów emocjonalnych, są: ciało migdałowate i hipokamp w układzie limbicznym. Więcej o budowie mózgu przeczytasz w podrozdziale Mózg i rdzeń kręgowy. Układ limbiczny Wcześniej wspominaliśmy już o układzie limbicznym (ang. limbic system ), czyli obszarze mózgu zaangażowanym w emocje i pamięć ( ). Składa się on z podwzgórza, wzgórza, ciała migdałowatego i hipokampa. Podwzgórze bierze udział w aktywacji układu współczulnego, stanowiącej część reakcji emocjonalnej. Wzgórze to centrum przekaźnikowe, którego neurony dokonują projekcji zarówno do ciała migdałowatego, jak i wyższych obszarów korowych w celu dalszego przetwarzania. Ciało migdałowate odgrywa rolę w przetwarzaniu informacji emocjonalnych i wysyłaniu ich do struktur korowych (Fossati, 2012). W hipokampie następuje integracja doświadczenia emocjonalnego z poznaniem (Femenía, Gómez-Galán, Lindskog i Magara, 2012). Układ limbiczny, złożony m.in. z podwzgórza, wzgórza, ciała migdałowatego i hipokampa, odpowiada za procesy emocjonalne i pamięć. Otwórz interaktywny stymulator mózgu w technologii 3D, żeby odświeżyć sobie wiedzę na temat poszczególnych części mózgu i ich funkcji. Rozpocznij, klikając przycisk „Start Exploring”. Aby przejść do układu limbicznego, kliknij znak plusa w menu po prawej stronie. Ciało migdałowate Ciało migdałowate (ang. amygdala ) jest przedmiotem dużego zainteresowania badaczy próbujących zrozumieć biologiczne podłoże emocji, w szczególności strachu i lęku (Blackford i Pine, 2012; Goosens i Maren, 2002; Maren, Phan i Liberzon, 2013). Składa się ono z licznych podjąder, w tym kompleksu podstawno-bocznego i jądra środkowego ( ). Kompleks podstawno-boczny (ang. basolateral complex ) ma gęstą sieć połączeń z różnymi obszarami czuciowymi w mózgu. Odgrywa zasadniczą rolę przy klasycznym warunkowaniu i przypisywaniu wartości emocjonalnej pamięci i procesach uczenia się. Jądro środkowe (ang. central nucleus ) odpowiada za skupienie uwagi i jest połączone z podwzgórzem i różnymi obszarami pnia mózgu, dzięki czemu reguluje funkcjonowanie autonomicznego układu nerwowego i układów hormonalnych (Pessoa, 2010). Rysunek przedstawia budowę kompleksu podstawno-bocznego i jądra środkowego ciała migdałowatego. Jak pokazują badania, młode szczury pod nieobecność matki wykazują zwiększoną aktywność ciała migdałowatego. Gdy podawano im bodźce zapachowe, którym towarzyszył wstrząs elektryczny, szczury przejawiały awersję do podawanego im zapachu, co sugeruje, że uczyły się go bać. Jednak gdy to samo badanie prowadzono w obecności matki młodych szczurów, badane osobniki wykazywały upodobanie do wykorzystanego w eksperymencie zapachu. Wiązało się to z brakiem podwyższonej aktywności ciała migdałowatego. Sugeruje to, że obecność lub nieobecność matki (a zatem stopień pobudzenia ciała migdałowatego) decydował o tym, czy młode szczury uczyły się bać zapachu, czy też uczyły się wykazywać nim zainteresowanie (Moriceau i Sullivan, 2006). Raineki, Cortés, Belnoue i Sullivan (2012) dowiedli, że u szczurów negatywne doświadczenia z pierwszych lat życia mogą wpływać na zmianę funkcjonowania ciała migdałowatego i prowadzić w późniejszym wieku do wzorców zachowania imitujących zaburzenia nastroju u ludzi. W badaniu tym małe szczury w ciągu 8–12 dni po narodzinach były dobrze lub źle traktowane. Stosowano dwie formy złego traktowania. Pierwsza wiązała się z nieodpowiednim legowiskiem. Szczurza matka miała w klatce za mało materiału, by stworzyć legowisko, przez co spędzała dużo czasu z dala od potomstwa, poświęcając go raczej na budowanie gniazda niż opiekę nad małymi. Druga forma złego traktowania miała związek z opisanym powyżej eksperymentem uczenia asocjacyjnego, które obejmowało kojarzenie zapachów ze wstrząsem elektrycznym pod nieobecność matki. W tym samym czasie grupa kontrolna znajdowała się z matką w odpowiednio wyściełanej klatce i nic nie zakłócało im spokoju. Małe szczury, które były źle traktowane, w okresie dojrzewania częściej wykazywały objawy podobne do depresji w porównaniu z próbą kontrolną. Zachowania te utożsamiono ze zwiększoną aktywacją ciała migdałowatego. Badania na ludziach również sugerują zależność między ciałem migdałowatym a zaburzeniami nastroju lub stanami lękowymi. Zmiany w strukturze i funkcjonowaniu ciała migdałowatego zaobserwowano u nastolatków, u których stwierdzono ryzyko wystąpienia różnych zaburzeń nastroju i stanów lękowych lub je zdiagnozowano (Miguel-Hidalgo, 2013; Qin et al., 2013). Zauważono również, że różnice czynnościowe w ciele migdałowatym mogą stanowić biomarker do odróżnienia osób cierpiących na chorobę dwubiegunową od pacjentów z epizodem dużej depresji (Fournier, Keener, Almeida, Kronhaus i Phillips, 2013). Hipokamp Jak już wcześniej wspomnieliśmy, w przetwarzanie emocjonalne zaangażowany jest również hipokamp (ang. hippocampus ). Podobnie jak w przypadku ciała migdałowatego badania wykazały, że budowa i funkcjonowanie hipokampa mają związek z różnymi zaburzeniami lękowymi lub zaburzeniami nastroju. U osób cierpiących na zespół stresu pourazowego (PTSD) obserwuje się istotne zmniejszenie objętości kilku części hipokampa, co może wynikać z obniżonego poziomu neurogenezy i rozgałęzień dendrytowych (czyli odpowiednio tworzenia nowych neuronów i tworzenia nowych dendrytów w istniejących neuronach) (Wang et al., 2010). Mimo że takie badania korelacyjne uniemożliwiają wyciągnięcie wniosków przyczynowych, analizy potwierdzają poprawę na poziomie behawioralnym i zwiększenie objętości hipokampa u osób cierpiących na PTSD po zastosowaniu terapii farmakologicznej lub terapii poznawczo-behawioralnej (Bremner i Vermetten, 2004; Levy-Gigi, Szabó, Kelemen i Kéri, 2013). Summary Układ limbiczny to emocjonalny obwód mózgu złożony z ciała migdałowatego, podwzgórza, wzgórza i hipokampa. Struktury te odgrywają rolę w prawidłowym przetwarzaniu emocji, jak również mają związek z zaburzeniami nastroju i zaburzeniami lękowymi. Zwiększoną aktywność ciała migdałowatego wiąże się z warunkowaniem strachu. Zmiany w strukturze hipokampa stwierdza się u osób narażonych lub cierpiących na zaburzenia nastroju. Wykazano, że objętość hipokampa zmniejsza się u osób z zespołem stresu pourazowego. kompleks podstawno-boczny (ang. basolateral complex ) część mózgu (konkretnie ciał migdałowatych) posiadająca gęstą sieć połączeń z różnymi obszarami czuciowymi w mózgu; nieodzowna w klasycznym warunkowaniu oraz przy przypisywaniu wspomnieniom ładunku emocjonalnego jądro migdałowate środkowe (ang. central nucleus ) część mózgu zaangażowana w skupienie uwagi; ma połączenia z podwzgórzem i ośrodkami pnia mózgu, wspólnie z którymi kontroluje aktywność autonomicznego układu nerwowego i układu hormonalnego wariograf ( poligraf ) (ang. polygraph ) wykrywacz kłamstw; test mierzący fizjologiczne pobudzenie jednostki w trakcie odpowiedzi na serię pytań", "section": "Biologia emocji", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Motywacja Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować motywację wewnętrzną i zewnętrzną Zrozumieć, że ograniczenia, ograniczenia popędu, cechy charakterystyczne i motywy społeczne są stosowane jako teorie motywacji Wyjaśnić podstawowe pojęcia związane z hierarchią potrzeb Maslowa Dlaczego robimy to, co robimy? Jakie motywacje leżą u podstaw naszego zachowania? Motywacja (ang. motivation ) opisuje pragnienia i potrzeby, które kierują naszym zachowaniem tak, abyśmy osiągnęli zamierzony cel. Motywacja kieruje dążeniem do zaspokojenia naszych potrzeb fizjologicznych, na przykład głodu czy pragnienia. Wówczas mówimy o motywacji, która ma przywrócić naszą homeostazę (równowagę). Gdy nasze warunki bytowe są zapewnione, a mimo to pragniemy poprawić swój dobrostan, również kieruje nami motywacja. Wówczas jednak motywacja nie będzie bazowała na przywróceniu homeostazy, a na zaburzeniu jej. Teorie motywacji William James (1842–1910) w istotny sposób przyczynił się do wczesnych badań nad motywacją. James wysnuł teorię, że zachowaniem kierują instynkty, które pomagają nam przetrwać ( ). Z biologicznego punktu widzenia instynkt (ang. instinct ) to charakterystyczny dla danego gatunku wzorzec zachowania, którego nie da się nauczyć. James i jemu współcześni toczyli spór dotyczący dokładnej definicji instynktu. James zaproponował spis kilkudziesięciu ludzkich instynktów, a wielu żyjących ówcześnie badaczy stworzyło własne, odmienne listy. Za prawdziwe instynkty w czasach Jamesa uznano takie ludzkie zachowania, jak opieka matki nad dzieckiem, potrzeba jedzenia, gdy jest się głodnym, czy polowanie na ofiarę. Pogląd, że ludzkim zachowaniem kierują instynkty, był dość mocno krytykowany ze względu na niezaprzeczalną rolę uczenia się w kształtowaniu różnego rodzaju ludzkich zachowań. W rzeczywistości już na początku XX wieku wykazano w drodze eksperymentu, że pewne instynktowne zachowania wynikają z uczenia asocjacyjnego (przypomnij sobie warunkowanie strachu w eksperymencie Johna Watsona z „Małym Albertem”) (Faris, 1921). (a) William James zaproponował teorię motywacji, według której zachowaniem kierują instynkty. (b) U ludzi obejmują one takie zachowania jak niemowlęcy odruch szukania piersi i ssania (źródło (b): modyfikacja pracy „Mothering Touch”/Flickr). Inna wczesna teoria motywacji sugerowała, że w kierowaniu zachowaniem szczególnie istotne jest utrzymanie homeostazy. Homeostaza (ang. homeostasis ) to tendencja do zachowania równowagi czy optymalnego poziomu w danym układzie biologicznym. Obszar mózgu będący ośrodkiem kontroli organizmu otrzymuje dane z receptorów (tj. kompleksów neuronów), po czym kieruje efektorami (którymi mogą być inne neurony) w celu skorygowania wykrytego braku równowagi. Zgodnie z teorią popędu (ang. drive theory ) odchylenia od homeostazy są motorem powstawania potrzeb fizjologicznych. Potrzeby te skutkują stanami popędu psychologicznego, który kieruje zachowaniem tak, by zaspokoić potrzeby i – ostatecznie – przywrócić homeostazę. Znasz to uczucie. Jeśli minęło już kilka godzin od śniadania, czujesz, że kurczy ci się żołądek, organizm wykrywa zmianę poziomu glukozy, aminokwasów i wolnych kwasów tłuszczowych we krwi i zaczyna być wytwarzany hormon grelina. Hormon ten wywołuje fizjologiczną potrzebę i odpowiadający jej stan popędu - głód. Pcha on cię do poszukiwania jedzenia i jego konsumpcji. Tuż po spożyciu posiłku żołądek jest pełny, poziom greliny, glukozy i innych składników krwi wysyła organizmowi sygnał „jestem najedzony” (więcej w ). Co ciekawe, teoria popędu podkreśla również rolę nawyków w podejmowanej odpowiedzi behawioralnej. Nawyk (ang. habit ) to wzorzec zachowania, w który regularnie się angażujemy. Gdy podejmujemy zachowania, które skutecznie redukują dany popęd, z większym prawdopodobieństwem postąpimy tak samo, gdy popęd ten pojawi się w przyszłości (Graham i Weiner, 1996). Mechanizm zaspokajania głodu Podstawę głodu stanowi szereg mechanizmów fizjologicznych. Pusty żołądek się kurczy, a wtedy zazwyczaj człowiek odczuwa głód. Informacja chemiczna trafia do mózgu, dając sygnał do inicjacji zachowań związanych z żywieniem. Gdy obniża się poziom glukozy we krwi, trzustka i wątroba wytwarzają szereg sygnałów chemicznych, które wywołują uczucie głodu (Konturek et al., 2003; Novin, Robinson, Culbreth i Tordoff, 1985) i tym samym inicjują podjęcie czynności jedzenia. Większość ludzi po zjedzeniu posiłku odczuwa sytość (ang. satiation ), czyli uczucie pełności i zadowolenia, a potrzeba zaspokojenia głodu ustaje. Podobnie jak w przypadku podjęcia zachowania związanego z jedzeniem, sytość również regulują mechanizmy fizjologiczne. Gdy poziom glukozy we krwi wzrasta, trzustka i wątroba wysyłają sygnały wyłączające uczucie głodu i chęć jedzenia (Drazen i Woods, 2003; Druce, Small i Bloom, 2004; Geary, 1990). Ruchy perystaltyczne jelit również dostarczają do mózgu ważne sygnały na temat zaspokojenia głodu (Woods, 2004), a komórki tłuszczowe wydzielają leptynę (ang. leptin ) – hormon sytości. W mózgu zintegrowane są różne sygnały związane z odczuciem głodu i sytością zaangażowane w regulację odżywiania Badania sugerują, że szczególnie ważnymi miejscami tej integracji są niektóre obszary podwzgórza i tyłomózgowia (Ahima i Antwi, 2008; Woods i D’Alessio, 2008). Ostatecznie aktywność mózgu decyduje o tym, czy podejmujemy zachowania związane z zaspokojeniem głodu, czy nie ( ). Sygnał uczucia głodu i sytości jest kierowany z mózgu. Rozszerzenie teorii popędu uwzględnia fakt, że potencjalnym czynnikiem motywującym może być poziom pobudzenia. Jak zapewne przypominacie sobie z rozdziału o uczeniu się, według tych teorii istnieje optymalny poziom pobudzenia, który wszyscy staramy się utrzymać ( ). Jeśli jest on za niski, stajemy się znudzeni i szukamy jakiejś stymulacji. Z kolei gdy jest on za wysoki, podejmujemy zachowania mające na celu zmniejszenie tego pobudzenia (Berlyne, 1960). Większość studentów doświadczyła w swojej karierze akademickiej potrzeby utrzymania optymalnego poziomu pobudzenia. Pomyśl, ile stresu studenci odczuwają na koniec letniego semestru. Czują się przytłoczeni nadmierną liczbą egzaminów, prac i dużych projektów, które muszą ukończyć w terminie. Prawdopodobnie tęsknią za odpoczynkiem i relaksem, który ich czeka w czasie wakacyjnej przerwy. Jednak zaraz po zakończeniu sesji dość szybko zaczynają czuć znudzenie. Zazwyczaj do czasu rozpoczęcia nowego semestru jesienią wielu studentów wręcz cieszy się, że wraca na uczelnię. Właśnie tak w praktyce wygląda teoria pobudzenia. Wykres przedstawia koncepcję optymalnego pobudzenia w odniesieniu do wydajności wykonywania zadania. Wydajność jest maksymalna przy optymalnym poziomie pobudzenia, a obniża się przy jego zbyt niskim i zbyt wysokim poziomie. Jaki zatem jest optymalny poziom pobudzenia? Jaki poziom przekłada się na najlepszą wydajność pracy? Badania wykazują, że najlepsze jest na ogół umiarkowane pobudzenie, natomiast w przypadku bardzo wysokiego lub niskiego pobudzenia wydajność słabnie (Yerkes i Dodson, 1908). Zastanów się nad poziomem pobudzenia, jaki towarzyszy ci podczas przygotowania do egzaminu z tych zajęć. Jeśli jest bardzo niski i wiąże się z nim znudzenie i apatia, najpewniej ucierpi na tym wydajność. Bardzo wysoki poziom, podobnie jak silny niepokój, może być paraliżujący i pogarszać wyniki. Podobnie zawodnicy drużyny piłkarskiej biorący udział w turnieju. Są faworytami do wygranej z dużą przewagą w pierwszym meczu, więc zaczynają grać z niskim poziomem pobudzenia, co sprawia, że mogą zostać łatwo pokonani przez mniej doświadczoną drużynę. Niemniej optymalny poziom pobudzenia to bardziej złożona kwestia niż tylko stwierdzenie, że najlepszy jest zawsze średni poziom pobudzenia. Badacze Robert Yerkes (1876-1956) i John Dodson (1879-1955) odkryli, że optymalny poziom pobudzenia zależy od złożoności i trudności zadania, które ma zostać wykonane ( ). Zależność ta nosi nazwę prawa Yerkesa-Dodsona (ang. Yerkes-Dodson law ), zgodnie z którym proste zadanie wykonuje się najlepiej, gdy poziom pobudzenia jest stosunkowo wysoki, natomiast zadania złożone są realizowane z największą wydajnością przy niższym poziomie pobudzenia. Wykonanie zadania jest najlepsze przy średnim poziomie pobudzenia, przy czym trudne zadania najlepiej wykonywać przy niższym poziomie pobudzenia, a proste – przy wyższym. Poczucie własnej skuteczności i motywy społeczne Poczucie własnej skuteczności (ang. self-efficacy ) to wiara jednostki w możliwość wykonania przez nią zadania, na którą może składać się wcześniejsza udana realizacja takiego samego lub podobnego zadania. Albert Bandura (1994) wysnuł teorię, że poczucie własnej skuteczności u danej osoby odgrywa zasadniczą rolę w motywowaniu zachowania. Bandura twierdzi, że motywacja wypływa z oczekiwań, które mamy w odniesieniu do konsekwencji naszych zachowań, co ostatecznie sprawia, że docenienie naszej możliwości zaangażowania się w dane zachowanie decyduje o tym, co robimy i jakie cele sobie postawimy. Na przykład jeśli szczerze wierzysz w swoje zdolności do osiągnięcia najwyższego poziomu wymagań, z większym prawdopodobieństwem podejmiesz się ambitnych zadań i nie pozwolisz, by przeciwności zniechęciły cię do doprowadzenia danego zadania do końca. Wielu teoretyków skupiło się w swoich badaniach na zrozumieniu motywów społecznych (McAdams i Constantian, 1983; McClelland i Liberman, 1949; Murray et al., 1938). Wśród nich znajdują się potrzeba osiągnięć, przynależności i intymności. To właśnie potrzeba osiągnięć napędza wydajność i skuteczność. Potrzeba przynależności zachęca do pozytywnych interakcji z innymi, a potrzeba intymności sprawia, że dążymy do tworzenia głębokich, znaczących relacji. Henry Murray i jego współpracownicy (1938) przypisali te potrzeby do domen. Na przykład potrzeba osiągnięć i uznania zalicza się do domeny ambicji. Dominacja i agresja zostały uznane za potrzeby w domenie władzy, a zabawa – w domenie przywiązania do ludzi. Hierarchia potrzeb Maslowa Podczas gdy wcześniej opisywane teorie motywacji odnoszą się do podstawowych popędów biologicznych, cech jednostki lub sytuacji społecznych, Abraham Maslow (1943) zaproponował hierarchię potrzeb (ang. hierarchy of needs ), która obejmuje cały zakres motywów, od biologicznych, przez indywidualne, po społeczne. Potrzeby te często przedstawia się w formie piramidy ( ). Rysunek przedstawia hierarchię potrzeb Maslowa. W niektórych wersjach między potrzebą szacunku i uznania a potrzebą samorealizacji zawiera ona dodatkowo potrzeby poznawcze i estetyczne. Z kolei jeszcze inne piramidy uwzględniają na szczycie potrzebę samotranscendencji. U podstaw piramidy znajdują się wszystkie potrzeby fizjologiczne niezbędne do przeżycia. Po nich następują podstawowe potrzeby bezpieczeństwa, bycia kochanym i poczucia przynależności, a także poczucia własnej wartości i pewności siebie. Na szczycie piramidy mamy samorealizację, stanowiącą zasadniczo potrzebę osiągnięcia pełnego potencjału, którą można zrealizować tylko wtedy, gdy zaspokojone są potrzeby z niższych poziomów piramidy. Dla Maslowa i innych przedstawicieli psychologii humanistycznej samorealizacja odzwierciedla humanistyczny nacisk na pozytywne aspekty ludzkiej natury. Maslow zasugerował, że jest to ciągły, trwający całe życie proces i tylko niewielki odsetek ludzi osiąga stan samorealizacji (Francis i Kritsonis, 2006; Maslow, 1943). Zdaniem Maslowa (1943) każdy musi zaspokoić potrzeby na niższych poziomach, zanim zajmie się tymi na szczycie piramidy. Przykładowo jeśli ktoś ma trudności ze znalezieniem wystarczającej ilości jedzenia, by zaspokoić swoje potrzeby żywieniowe, z niewielkim prawdopodobieństwem będzie poświęcał nadmiernie dużo czasu na rozmyślanie, czy inni postrzegają go jako dobrego człowieka. Zamiast tego całą energię skieruje na znalezienie czegoś do jedzenia. Niemniej należy podkreślić, że teoria Maslowa jest krytykowana za subiektywność i nieuwzględnienie fenomenów występujących w prawdziwym świecie (Leonard, 1982). Inne badania poświęcono kwestii zaproponowanej przez Maslowa u schyłku życia, zakładającej, że nad samorealizacją jest jeszcze poziom samotranscendencji, reprezentujący dążenie do sensu i celu poza sobą (Koltko-Rivera, 2006). Przykładowo ludzie czasem decydują się na samopoświęcenie, wyrażając w ten sposób swoje poglądy polityczne lub próbując wpłynąć na poprawę warunków życia innych. Mahatma Gandhi, znany na całym świecie orędownik niepodległości, biorący udział w pokojowych protestach, kilkakrotnie uczestniczył w strajkach głodowych w proteście przeciwko brytyjskiej dominacji nad Indiami. Ludzie są gotowi się głodzić lub w inny sposób narażać się na niebezpieczeństwo, wykazując przy tym motywację na wyższym poziomie, wykraczającą poza własne potrzeby. Zapoznaj się z tym interaktywnym ćwiczeniem ilustrującym ważne koncepcje hierarchii potrzeb Maslowa. Motywacja wewnętrzna i zewnętrzna Motywacja może być wywołana czynnikami wewnętrznymi motywacja wewnętrzna (ang. intrinsic motivation ) lub czynnikami zewnętrznymi motywacja zewnętrzna (ang. extrinsic motivation ) (wywołana czynnikami zewnętrznymi) ( ). Podłożem zachowań motywowanych wewnętrznie jest wywołane nimi poczucie osobistej satysfakcji. Natomiast podstawą zachowań motywowanych zewnętrznie jest chęć uzyskania korzyści pochodzącej z zewnątrz, od innych ludzi. Motywacja wewnętrzna pochodzi z wnętrza jednostki, a motywacja zewnętrzna z jej otoczenia zewnętrznego. Zastanów się, dlaczego jesteś teraz na studiach. Czy dlatego, że lubisz się uczyć i chcesz uzyskać wyższe wykształcenie, by zyskać gruntowną edukację? Jeśli tak, to kieruje tobą motywacja wewnętrzna. Jednak jeśli studiujesz, bo chcesz zdobyć tytuł, żeby mieć większe szanse na dobrze płatną pracę lub spełnić oczekiwania rodziców, to twoja motywacja ma bardziej zewnętrzny charakter. W rzeczywistości nasze motywacje są zazwyczaj mieszaniną czynników wewnętrznych i zewnętrznych, a z biegiem czasu ich dobór może się zmieniać (często w sposób, który wydaje się być sprzeczny z intuicją). Stare angielskie przysłowie mówi: „Wybierz zawód, który kochasz, a nigdy nie będziesz musiał pracować”, co oznacza, że jeśli lubisz swoje zajęcie, wcale nie odczuwasz, że... pracujesz. Niektóre badania sugerują jednak, że nie zawsze tak jest (Daniel Esser, 1980; Deci, 1972; Deci, Koestner i Ryan, 1999). Okazuje się, że uzyskanie pewnego rodzaju zewnętrznego wzmocnienia (tj. wynagrodzenia) za zaangażowanie w czynności, które lubimy, sprawia, że zaczynamy myśleć o nich jak o pracy i nie dostarczają nam już takiej samej przyjemności. W rezultacie nie jesteśmy skłonni poświęcać tyle czasu, angażując się w te „przeklasyfikowane” czynności przy braku jakiegokolwiek zewnętrznego wzmocnienia. Oto przykład: Odessa uwielbia piec, więc robi to w wolnym czasie. Często po wyłożeniu towarów na półki w sklepie spożywczym, w którym pracuje, wieczorami pichci ciasta, co sprawia jej dużą przyjemność. Gdy z działu piekarniczego w jej sklepie odchodzi pracownik, Odessa aplikuje na to stanowisko i zostaje przyjęta. Mimo że nowa praca bardzo jej się podoba, po kilku miesiącach nie ma już tak dużej ochoty na przygotowywanie wypieków w wolnym czasie. Pieczenie stało się pracą, która zmieniła motywację do tej czynności ( ). Odessa doświadczyła tzw. efektu nadmiernego uzasadnienia, który sprawia, że motywacja wewnętrzna maleje, gdy pojawia się motywacja zewnętrzna. Może to doprowadzić do wygaszenia motywacji wewnętrznej i bazowania w dalszym działaniu na nagrodach zewnętrznych (Deci et al., 1999). Badanie sugeruje, że gdy coś, co uwielbiamy robić, np. dekorowanie ciast, staje się naszą pracą, nasza wewnętrzna i zewnętrzna motywacja do tego działania może ulec zmianie. (Żródło: Agustín Ruiz). Inne badania ujawniają, że motywacja wewnętrzna może być podatna na działanie wzmocnienia zewnętrznego i że odpowiednio dobrane wzmocnienia, np. w formie pochwał, mogą nawet wzmacniać motywację wewnętrzną (Arnold, 1976; Cameron i Pierce, 1994). W takim przypadku motywacja Odessy do pieczenia w wolnym czasie może pozostać wysoka, jeśli na przykład klienci regularnie komplementują jej wypieki lub talent do dekorowania ciast. Te pozorne rozbieżności we wnioskach badaczy można wyjaśnić, uwzględniając kilka czynników. Na przykład wzmocnienie rzeczowe (tj. pieniądze) i wzmocnienie słowne (tj. pochwały) mogą w bardzo różny sposób wpływać na daną osobę. W istocie nagrody materialne (czyli pieniądze) mają zwykle bardziej negatywny wpływ na motywację wewnętrzną niż te niematerialne (pochwały). Co więcej, kluczowe są oczekiwania jednostki w stosunku do zewnętrznego czynnika motywującego. Jeśli ktoś oczekuje nagrody zewnętrznej, wtedy motywacja wewnętrzna do danego zadania zwykle maleje. Jeśli jednak nie ma takich oczekiwań, a motywacja zewnętrzna stanowi zaskoczenie, wtedy motywacja wewnętrzna do określonej czynności ma tendencję do utrzymania się (Deci et al., 1999). Kulturowy aspekt motywacji Na motywację mogą wpływać również czynniki kulturowe. W kulturach kolektywistycznych, gdzie nacisk kładzie się na dobrostan grupy a nie na dobrostan jednostki, powszechne jest np. podejmowanie działań na rzecz członków rodziny (Nisbett, Peng, Choi i Norenzayan, 2001). Tego typu skupienie się na potrzebach innych osób w grupie zapewnia szerszą perspektywę, uwzględniającą zarówno sytuacyjne, jak i kulturowe wpływy na zachowanie. W związku z tym w kolektywistycznym kręgu kulturowym prawdopodobieństwo zniuansowanych przyczyn zachowań jest większe niż w kulturze indywidualistycznej (więcej informacji o kulturach kolektywistycznej i indywidualistycznej znajdziesz w rozdziale Psychologia społeczna ). W środowisku akademickim studenci z większym prawdopodobieństwem doświadczają motywacji wewnętrznej do nauki, gdy mają poczucie przynależności i czują szacunek w klasie. Tę internalizację można zwiększyć, gdy mniejszą wagę przyłoży się do kwestii oceniania podczas zajęć oraz gdy studenci czują, że mają pewną kontrolę nad swoim środowiskiem uczenia się. Ponadto stawianie przed nimi zadań wymagających, ale wykonalnych, wraz z uzasadnieniem zaangażowania w różne projekty edukacyjne może zwiększyć wewnętrzną motywację do ich realizacji (Niemiec i Ryan, 2009). Przyjrzyjmy się przykładowi Pawła, studenta pierwszego roku prawa, który zapisał się na dwa kursy: prawo rodzinne i prawo karne. Profesor od prawa rodzinnego prowadzi zajęcia w niezbyt przyjemny sposób: lubi na poczekaniu zadawać studentom trudne pytania, przez co często czują się poniżeni lub zakłopotani. Oceny przyznawane są wyłącznie na podstawie testów i egzaminów, a wykładowca wywiesza wyniki na drzwiach. Natomiast profesor od prawa karnego umożliwia dyskusje podczas zajęć i pełne szacunku debaty w małych grupach. Znaczna część końcowej oceny zależy nie od egzaminu, a od opracowanego przez studenta projektu badawczego poświęconego wybranemu przez niego problemowi z zakresu prawa karnego. Badanie sugeruje, że Paweł będzie mniej zmotywowany wewnętrznie na kursie prawa rodzinnego, gdzie studenci są onieśmieleni podczas zajęć, a nacisk kładziony jest na ocenę nauczyciela. Paweł prawdopodobnie doświadczy większej motywacji wewnętrznej na kursie prawa karnego, gdzie warunki zachęcają do współpracy i poszanowania pomysłów, a dodatkowo studenci mają większy wpływ na swoje kształcenie. Summary Powstało wiele teorii dotyczących motywacji. Te zorientowane na uwarunkowania biologiczne odnoszą się do sposobów motywowania zachowania przez instynkty i potrzebę utrzymania homeostazy w organizmie. Bandura postulował natomiast, że nasze zachowanie motywuje poczucie własnej skuteczności. Istnieje też sporo teorii koncentrujących się na różnorodnych motywach społecznych. Hierarchia potrzeb Abrahama Maslowa pokazuje zależność między różnymi motywacjami, od potrzeb fizjologicznych na niskim poziomie po potrzeby samorealizacji na wysokim. Motywacja do zaangażowania w określone zachowanie może wynikać z czynników wewnętrznych i zewnętrznych. Review Questions Potrzeba ________ odnosi się do utrzymania pozytywnych relacji z innymi ludźmi. osiągnięć przynależności intymności władzy B Hierarchię potrzeb zaproponował __________. William James David McClelland Abraham Maslow Albert Bandura C ________ to wiara jednostki w możliwość realizacji danego zadania. Potrzeby fizjologiczne Poczucie własnej wartości Samorealizacja Poczucie własnej skuteczności D Karol co tydzień kosi trawnik u swojego sąsiada w podeszłym wieku. Dostaje za to 20 zł. Jaki to rodzaj motywacji? zewnętrzna wewnętrzna popęd biologiczna A Critical Thinking Questions Jak zwolennik teorii pobudzenia mógłby wyjaśnić wizytę w parku rozrywki? Koncepcja optymalnych poziomów pobudzenia jest zbliżona do teorii popędu kierującego motywacją. Przypuszczalnie wszyscy dążymy do utrzymania pobudzenia na średnim poziomie. Jeśli nie jesteśmy wystarczająco pobudzeni, czujemy znudzenie. Z kolei przy nadmiernym pobudzeniu odczuwamy stres. Atrakcje w parku rozrywki zapewniają większe pobudzenie (zakładamy jednak, że nie stanowią one dużego zagrożenia dla bezpieczeństwa danej osoby, które wywoływałoby stan paniki) prowadzące do uzyskania indywidualnego optymalnego poziomu pobudzenia. Ludzie wybierają różne atrakcje dostępne w parku, w zależności od określonych progów pobudzenia. Ktoś może uznać na przykład zwykłą przejażdżkę po wodzie za optymalnie pobudzającą, a ekstremalny rollercoaster to dla tej osoby zdecydowanie za dużo, podczas gdy inni uznają właśnie tę drugą atrakcję za optymalnie pobudzającą. Uczelnie często stosują pewien system nagród dla poprawy zachowań adaptacyjnych. Dlaczego może to niekorzystnie wpływać na studentów wewnętrznie zmotywowanych do nauki? Jakie konsekwencje edukacyjne będzie miało potencjalne zmniejszenie motywacji wewnętrznej do danego zadania poprzez zastosowanie nagród? Spodziewamy się, że nastąpi odejście od nauki dla nauki na rzecz nauki dla zdobycia pewnej nagrody. Podważy to fundamenty, na których zasadzają się tradycyjne instytucje szkolnictwa wyższego. W przypadku studenta zmotywowanego zewnętrznymi nagrodami uzależnienie od nich może stanowić problem w późniejszym życiu (po ukończeniu szkoły), gdy nauka nie jest już zazwyczaj w żaden sposób nagradzana. Personal Application Question Przychodzą ci do głowy przykłady, w jaki sposób hierarchia potrzeb Maslowa wpłynęła na twoje zachowanie? teoria popędu (ang. drive theory ) według niej potrzeby fizjologiczne są efektem zaburzeń homeostazy organizmu, których skutkiem jest psychiczny popęd zmierzający do zaspokojenia potrzeby, a ostatecznie do przywrócenia homeostazy motywacja zewnętrzna (ang. extrinsic motivation ) motywacja, której źródłem są czynniki zewnętrzne i nagrody nawyk (ang. habit ) schemat zachowań, w które angażujemy się regularnie hierarchia potrzeb (ang. hierarchy of needs ) spektrum potrzeb od najbardziej podstawowych, biologicznych, przez społeczne, po samorealizację instynkt (ang. instinct ) swoisty gatunkowo, wrodzony a nie wyuczony schemat zachowań motywacja wewnętrzna (ang. intrinsic motivation ) motywacja oparta raczej na wewnętrznych czynnikach niż na zewnętrznych bodźcach (np. nagrodach) motywacja (ang. motivation ) pragnienia lub potrzeby, które kierują nasze działania ku określonemu celowi poczucie własnej skuteczności (ang. self-efficacy ) wiara jednostki we własne możliwości i zdolności do wykonania zadania prawo Yerkesa-Dodsona (ang. Yerkes-Dodson law ) proste zadania są wykonywane najlepiej, gdy poziom pobudzenia jednostki jest stosunkowo wysoki; złożone zadania zaś – gdy jest niższy", "section": "Motywacja", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Sfera seksualna Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć podstawowe mechanizmy biologiczne regulujące zachowania i motywację seksualną Docenić znaczenie badań Alfreda Kinseya na temat ludzkiej seksualności Docenić wkład badań Williama Mastersa i Virginii Johnson w nasze zrozumienie cyklu reakcji seksualnych Zdefiniować orientację seksualną i tożsamość płciową Seks stanowi ważną część naszego życia i często jest źródłem motywacji do działania. Z ewolucyjnego punktu widzenia powód jest oczywisty – przedłużenie gatunku. Jednak w zachowaniach seksualnych u ludzi chodzi o coś więcej niż rozmnażanie. W niniejszym rozdziale zaprezentujemy przegląd badań poświęconych ludzkim zachowaniom seksualnym i ich motywacji. Omawiamy również kwestie związane z płcią i orientacją seksualną. Fizjologiczne mechanizmy zachowań seksualnych i motywacji Większość naszej wiedzy na temat fizjologicznych mechanizmów rządzących zachowaniem seksualnym i motywacją pochodzi z badań na zwierzętach. Jak już wiesz, istotną rolę w zachowaniach motywowanych, do których naturalnie zalicza się seks, odgrywa podwzgórze. Udowodniono, że uszkodzenia obszaru podwzgórza zwanego przyśrodkowym polem przedwzrokowym całkowicie uniemożliwiają fizyczną zdolność do podejmowania zachowań seksualnych u samców szczurów. Co ciekawe, uszkodzenia tego obszaru nie wpływają na motywację samców. Mimo fizycznej niezdolności zachowania seksualnego samce wciąż podejmują próby uzyskania dostępu do aktywnej seksualnie samicy ( ). Obserwacja ta sugeruje, że zdolność do podejmowania zachowań seksualnych i motywacja do takiego postępowania są wywoływane przez różne układy neuronalne. Samiec szczura, który nie może podjąć zachowań seksualnych, nadal szuka aktywnej seksualnie samicy, co sugeruje, że zdolność do angażowania się w takie zachowania i motywacja tym kierująca są sterowane różnymi układami w mózgu. (Źródło: Jason Snyder). Badania na zwierzętach pokazują, że szczególne znaczenie dla motywacji seksualnej mają struktury układu limbicznego, takie jak ciało migdałowate i jądro półleżące. Uszkodzenie tych obszarów prowadzi do słabszej motywacji do podjęcia zachowań seksualnych, przy czym zdolność do ich realizacji nie zostaje w żaden sposób zaburzona ( ) (Everett, 1990). Podobną rozbieżność między motywacją a zdolnościami seksualnymi zaobserwowano również u samic szczurów (Becker, Rudick i Jenkins, 2001; Jenkins i Becker, 2001). Część podwzgórza – przyśrodkowe pole przedwzrokowe – odpowiada za zdolność do podejmowania zachowań seksualnych, ale nie wpływa na motywację seksualną. Dla odmiany ciało migdałowate i jądro półleżące odpowiadają za motywację do zachowań seksualnych, bez wpływu na zdolność do ich podejmowania. Mimo że zachowania seksualne u ludzi są znacznie bardziej złożone niż te obserwowane u szczurów, badania pokazują pewne podobieństwa zachodzące między ludźmi i zwierzętami. Ogólnoświatowa popularność leków na zaburzenia erekcji (Conrad, 2005) zdaje się potwierdzać fakt, że również u ludzi występuje rozbieżność między motywacją a zdolnością do podejmowania zachowań seksualnych. Ponadto zaburzenia związane z funkcją podwzgórza często utożsamia się z hipogonadyzmem (osłabioną czynnością gruczołów płciowych) i ograniczonymi funkcjami seksualnymi (np. zespół Pradera-Williego). Zważywszy na rolę podwzgórza w funkcjach endokrynnych, nie dziwi fakt, że hormony wydzielane przez układ dokrewny również odgrywają ważną rolę w motywacji i zachowaniach seksualnych. Przykładowo wiele zwierząt nie wykazuje żadnych sygnałów motywacji seksualnej, gdy ich gruczoły nie wydzielają odpowiedniej kombinacji hormonów płciowych. Mimo że u ludzi wygląda to inaczej, istnieją liczne dowody na to, że motywacja seksualna, zarówno mężczyzn, jak i kobiet, różni się w zależności od poziomu testosteronu (Bhasin, Enzlin, Coviello i Basson, 2007; Carter, 1992; Sherwin, 1988). Badanie Kinseya Do końca lat 40. XX wieku dostęp do rzetelnych, potwierdzonych empirycznie informacji o seksie był ograniczony. Mimo braku przeszkolenia w tym zakresie za autorytet we wszystkich kwestiach dotyczących seksu uchodzili lekarze. Prawdopodobnie większość wiedzy na temat seksu, którą ludzie wtedy posiadali, pochodziła z własnych doświadczeń lub rozmów z rówieśnikami. Dr Alfred Kinsey (1894-1956) z Uniwersytetu Indiany, przekonany o korzyściach, jakie przyniesie ludziom bardziej otwarty dialog na tematy dotyczące ludzkiej seksualności, rozpoczął zakrojone na szeroką skalę badanie tego zagadnienia ( ). Wyniki podjętych przez niego wysiłków opublikowano w dwóch książkach – Sexual Behavior in the Human Male i Sexual Behavior in the Human Female – wydanych odpowiednio w roku 1948 i 1953 (Bullough, 1998). W 1947 roku Alfred Kinsey założył na Uniwersytecie Indiany Kinsey Institute for Research, Sex, Gender and Reproduction, widoczny na zdjęciu z 2011 roku. Instytut Kinseya przez kilkadziesiąt lat był ośrodkiem ważnych badań psychologicznych. W tamtym czasie raporty Kinseya były sporą sensacją. Amerykańskie społeczeństwo nigdy wcześniej nie miało dostępu do wyników tak szeroko zakrojonych badań nad swoimi zachowaniami seksualnymi. Książki przepełnione danymi statystycznymi i żargonem naukowym sprzedawały się zaskakująco dobrze, a ludzie zaczęli podejmować otwarte rozmowy na temat ludzkiej seksualności. Jak się pewnie domyślasz, nie wszyscy byli zadowoleni z tej publikacji. W niektórych arabskich krajach książki te zostały nawet zakazane. Ostatecznie kontrowersje doprowadziły do wstrzymania przez Fundację Rockefellera dofinansowania na dalsze badania Kinseya (Bancroft, 2004). Mimo ogólnej krytyki wobec badań Kinseya za liczne błędy w doborze próby i nieścisłości statystyczne (Jenkins, 2010) nie ulega wątpliwości, że badanie to miało spory wpływ na ukształtowanie późniejszych analiz ludzkich zachowań seksualnych i motywacji. Kinsey opisał dość zróżnicowany zakres zachowań seksualnych i doświadczeń ochotników biorących udział w jego badaniu. Zachowania, które wcześniej uznawano za niezwykle rzadkie lub problematyczne, okazały się dużo bardziej powszechne i mniej groźne niż pierwotnie zakładano (Bancroft, 2004; Bullough, 1998). Zobacz trailer filmu Kinsey z 2004 roku poświęconego życiu i pracy Alfreda Kinseya. Wyniki badań Kinseya ujawniły między innymi, że kobiety są zainteresowane seksem i doświadczone w tym zakresie w równym stopniu co mężczyźni. Okazuje się, że zarówno panowie, jak i panie masturbują się bez negatywnych skutków dla zdrowia oraz że dość powszechne są akty homoseksualne (Bancroft, 2004). Kinsey stworzył również kontinuum nazywane skalą Kinseya, która nadal jest często wykorzystywana do klasyfikowania orientacji seksualnej jednostki (Jenkins, 2010). Badanie Mastersa i Johnson W 1966 roku William Masters (1915-2001) i Mary Virginia Johnson (1925-2013) wydali książkę opisującą wyniki badań nad reakcjami fizjologicznymi podczas zachowań seksualnych, w których udział wzięło blisko 700 osób. W przeciwieństwie do Kinseya, który zgromadził dane na podstawie rozmów z uczestnikami i ankiety, Masters i Johnson obserwowali ludzi odbywających stosunki płciowe w różnych pozycjach, masturbujących się ręcznie lub przy użyciu dostarczonych gadżetów. W tym czasie badacze odnotowywali pomiary wskaźników fizjologicznych, takich jak ciśnienie krwi i częstość oddechów, a także sygnały pobudzenia seksualnego, np. nawilżenie pochwy i obrzmienie członka związane z erekcją. W ramach swojego badania Masters i Johnson przyjrzeli się łącznie prawie 10 000 aktów seksualnych (Hock, 2008). Na podstawie pracy badawczej Mastersa i Johnson powstał serial Masters of Sex , Zobacz trailer pierwszego sezonu tego filmu. Opierając się na poczynionych obserwacjach, Masters i Johnson podzielili cykl reakcji seksualnej (ang. sexual response cycle ) na cztery fazy, dość zbliżone u kobiet i mężczyzn: podniecenie, faza plateau, orgazm i odprężenie ( ). Faza podniecenia (ang. excitement ) to etap pobudzenia cyklu reakcji seksualnej, charakteryzujący się erekcją penisa lub łechtaczki oraz nawilżeniem i rozszerzeniem pochwy. W fazie plateau u kobiet dochodzi do dalszego obrzmienia pochwy i zwiększonego przepływu krwi do warg sromowych, natomiast mężczyźni mają pełen wzwód, podczas którego często wydobywa się preejakulat. Zarówno mężczyźni, jak i kobiety doświadczają w tym czasie zwiększonego napięcia mięśni. Orgazm (ang. orgasm ) u kobiet cechuje się rytmicznymi skurczami miednicy i macicy, którym towarzyszy podwyższone napięcie mięśniowe. U mężczyzn natomiast skurcze miednicy następują wraz z nagromadzeniem płynu nasiennego w okolicy cewki moczowej, który ostatecznie wytryskuje pod wpływem skurczów mięśni narządów płciowych (ejakulacja). Odprężenie seksualne (ang. resolution ) to faza dość szybkiego powrotu do stanu braku pobudzenia, któremu towarzyszy spadek ciśnienia krwi i rozluźnienie mięśni. Podczas gdy wiele kobiet jest w stanie szybko powtórzyć cykl reakcji seksualnej, u mężczyzn w ramach tej fazy musi minąć dłuższy okres refrakcji (ang. refractory period ). Terminem tym określa się pewien czas następujący po orgazmie, w którym człowiek nie jest w stanie doświadczyć kolejnego. U panów długość okresu refrakcji mocno różni się w zależności od indywidualnych uwarunkowań. U niektórych może trwać zaledwie kilka minut, a u innych nawet cały dzień. Wraz z wiekiem okresy te wydłużają się. Wykres przedstawia różne fazy cyklu reakcji seksualnej opisane przez Mastersa i Johnson. Oprócz spostrzeżeń na temat cyklu reakcji seksualnej i możliwości doświadczania wielokrotnych orgazmów przez kobiety podczas swojego badania Masters i Johnson zebrali również ważne informacje dotyczące anatomii układu rozrodczego. Analiza wykazała często przytaczaną średnią długość penisa w stanie spoczynku i podczas wzwodu (odpowiednio 7,4 cm i 15 cm), a także obaliła istniejące od dawna przekonanie o zależności między rozmiarem męskiego członka w stanie erekcji a zdolnością mężczyzny do zaspokojenia seksualnego partnerki. Co więcej, ustalili, że pochwa ma bardzo elastyczną budowę, która dopasowuje się do penisów różnej wielkości (Hock, 2008). „Sztuka kochania” W roku 1978 w Polsce ukazała się publikacja, która wzbudziła niezwykłe zainteresowanie opinii publicznej. Był to poradnik seksuologiczny „Sztuka kochania”, napisany przez polską lekarkę Michalinę Wisłocką. Wisłocka w swojej książce opisywała nie tylko metody antykoncepcji, różnego rodzaju pozycje seksualne oraz zabawy miłosne, ale również wskazywała na sposoby zaspokojenia seksualnego dostępne osobom samotnym. Poradnik odniósł ogromny sukces wydawniczy i dla wielu pokoleń stanowił „kultową” pozycję; w 2016 roku ukazało się wydanie wznowione i zaktualizowane. W 2017 roku powstał film fabularny opowiadający o losach Wisłockiej. Orientacja seksualna Orientacja seksualna (ang. sexual orientation ) to pociąg emocjonalny i seksualny danej osoby do przedstawicieli tej samej płci ( homoseksualność (ang. homosexual )), płci przeciwnej ( heteroseksualność (ang. heterosexual )), obu płci ( biseksualność (ang. bisexual )), wszystkich płci ( panseksualizm , ang. pansexual ), brak pociągu ( aseksualność , ang. asexual ). Większość ludzi określa swoją orientację jako heteroseksualną, jednak spora grupa deklaruje się jako osoby homoseksualne, biseksualne, panseksualne, aseksualne oraz inne. Badania sugerują, że w Stanach Zjednoczonych od 3% do 10% populacji jest orientacji homoseksualnej (Kinsey, Pomeroy i Martin, 1948; LeVay, 1996; Pillard i Bailey, 1995). Wyniki badań w polskich sondażach wykazują podobne szacunki. W tym raporcie znajdziesz więcej informacji na ten temat. Od 3% do 10% populacji dorosłych określa się jako osoby homoseksualne. (Źródło: Till Krech). Kwestia orientacji seksualnej od dawna fascynuje badaczy, którzy dążą do określenia, co przyczynia się do tego, że jedna osoba jest hetero-, a inna homoseksualna. Przez wiele lat panowało przekonanie, że różnice te wynikają z różnych doświadczeń socjalizacyjnych i rodzinnych. Jednak badania niezmiennie pokazują, że pochodzenie i doświadczenia nie różnią się znacznie u osób hetero- i homoseksualnych (Bell, Weinberg i Hammersmith, 1981; Ross i Arrindell, 1988). Przedstawiono również mechanizmy genetyczne i biologiczne, a bilans zgromadzonych wyników badań wskazuje na to, że na orientację seksualną wpływa podstawowy komponent biologiczny. Przykładowo w ciągu ponad 25 minionych lat badania ujawniły wpływ genów na orientację seksualną (Bailey i Pillard, 1991; Hamer, Hu, Magnuson, Hu i Pattatucci, 1993; Rodriguez-Larralde i Paradisi, 2009). Niektórzy badacze oszacowali, że geny odpowiadają za co najmniej połowę zmiennych obserwowanych przy orientacji seksualnej (Pillard i Bailey, 1998). Inne badania wskazują na różnice w strukturze i działaniu mózgu osób hetero- i homoseksualnych (Allen i Gorski, 1992; Byne et al., 2001; Hu et al., 2008; LeVay, 1991; Ponseti et al., 2006; Rahman i Wilson, 2003a; Swaab i Hofman, 1990), a nawet na różnice w podstawowej budowie ciała i jego funkcjonowaniu (Hall i Kimura, 1994; Lippa, 2003; Loehlin i McFadden, 2003; McFadden i Champlin, 2000; McFadden i Pasanen, 1998; Rahman i Wilson, 2003b). Podsumowując, dane w znacznym stopniu sugerują, że z orientacją seksualną po prostu się rodzimy. Nieporozumienia związane z orientacją seksualną Niezależnie od sposobu określania orientacji seksualnej badania jasno pokazują, że nie jest to wybór, ale raczej stała cecha danej osoby, której nie da się zmienić. Deklaracje na temat skutecznej terapii konwersyjnej osób homoseksualnych są mocno krytykowane przez środowiska naukowe, z uwagi na poważne zastrzeżenia dotyczące koncepcji badania, rekrutacji uczestników i interpretacji danych. Nie ma zatem wiarygodnych naukowych dowodów potwierdzających, że człowiek może zmienić swoją orientację seksualną (Jenkins, 2010). Dr Robert Spitzer, autor jednego z najczęściej przywoływanych przykładów skutecznej terapii konwersyjnej, przeprosił za swoje błędy zarówno środowiska naukowe, jak i homoseksualne, a wiosną 2012 roku publicznie wycofał swój artykuł w otwartym liście do wydawcy czasopisma Archives of Sexual Behavior (Carey, 2012). Spitzer napisał w nim: Chciałem napisać coś, co potwierdzi, że w znacznym stopniu zgadzam się z główną krytyką mojego badania (...) Z pewnością środowisku LGBT [w oryginale: „gay community”, przyp. red.] należą się moje przeprosiny za nieudowodnione twierdzenia na temat skuteczności terapii reparatywnej. Ponadto przepraszam wszystkie osoby homoseksualne, które poświęciły czas i energię na tego typu terapię w dowolnej formie, wierząc, że udowodniłem jej skuteczność w przypadku „bardzo zmotywowanych” jednostek (Becker, 2012, par. 2, 5). Powołując się na badanie sugerujące nie tylko, że terapia konwersyjna gejów jest nieskuteczna, ale również potencjalnie szkodliwa, w całych Stanach Zjednoczonych podjęto kroki prawne zmierzające do uznania jej za nielegalną (np. jest ona obecnie zabroniona w stanie Kalifornia). Wiele organizacji wydaje oświadczenia przeciwko stosowaniu takich praktyk (Human Rights Campaign, b.d.). Przeczytaj przeprosiny dr. Spitzera oraz ich omówienie w Psychiatry Online . Tożsamość płciowa Ze względu na stereotypowe podejście do homoseksualności wiele osób łączy orientację seksualną z tożsamością płciową. W rzeczywistości są to dwie różne, choć powiązane ze sobą kwestie. Tożsamość płciowa (ang. gender identity ) odnosi się do poczucia bycia mężczyzną lub kobietą. Zazwyczaj, jednak nie zawsze, odpowiada ona naszej płci chromosomalnej i fenotypowej. Gdy człowiek nie czuje się komfortowo, utożsamiając swoją płeć z płcią biologiczną, dochodzi u niego do zjawiska zwanego dysforią płciową. Dysforia płciowa (ang. gender dysphoria ) to kategoria diagnostyczna uwzględniona w piątym wydaniu Diagnostycznego i statystycznego podręcznika zaburzeń psychicznych ( DSM-5 ) obejmująca jednostki, które nie utożsamiają się z płcią, którą większość ludzi im przypisuje. Aby można było mówić o tym zjawisku w kontekście kryteriów diagnostycznych DSM-5 , dysforia musi utrzymywać się przez co najmniej pół roku i prowadzić do cierpienia lub zaburzeń. W celu przypisania do takiej kategorii dziecko musi wyrazić chęć posiadania innej płci. Bardzo dużo osób z rozpoznaną dysforią płciową żyje w zgodzie ze swoją tożsamością płciową. Oznacza to, że noszą ubrania typowe dla płci przeciwnej i przyjmują, że taka właśnie jest ich płeć. Osoby te poddają się również terapii hormonalnej korekty płci (ang. transgender hormone therapy ), by ich ciało bardziej przypominało płeć przeciwną. W niektórych przypadkach decydują się nawet na operacje zmiany wyglądu zewnętrznych narządów płciowych, aby odpowiadały ich tożsamości płciowej ( ). Mimo że zmiany te wydają się drastyczne, osoby z dysforią płciową podejmują te kroki, gdyż uważają, że ich ciało to błąd natury, który należy naprawić. Wiedza na temat identyfikacji płciowej oraz jej odbiór społeczny nieustannie ewoluują. Młodzi ludzie obecnie mają większe szanse na otwarte wyrażanie, czym jest dla nich identyfikacja płciowa niż kiedyś starsze pokolenia. Z najnowszych badań wynika, że większość milenialsów (urodzonych około roku 2000) postrzega identyfikację płciową jako płynne spektrum a nie sztywny dwubiegunowy podział na kobiety i mężczyzn. 12% tej grupy identyfikuje u siebie transpłciowość lub brak zgodności z płcią biologiczną. Ponadto więcej niż połowa dzisiejszych amerykańskich 13-20-latków zna osoby, które wobec siebie używają zaimków neutralnych płciowo (w języku angielskim: „ they/them ”) (Kennedy, 2017). Już sama zmiana na poziomie języka wskazuje, że milenialsi i pokolenie Z inaczej pojmują tożsamość płciową niż wcześniejsze pokolenia. Za tą zmianą wprowadzaną przez młodych podążają inne, zauważalne w wielu obszarach życia codziennego: od regulaminu używania toalet publicznych po polityki marketingowe sprzedaży detalicznej. Niektóre sieci sklepów z artykułami dla dzieci odchodzą na przykład od eksponowania ubrań i zabawek w różowych i niebieskich alejkach. Choć zmiany zaczynają być widoczne w przestrzeni publicznej, osoby spoza tradycyjnej identyfikacji płciowej nadal muszą mierzyć się z trudnościami. Nawet ci, którzy tylko nieznacznie odbiegają od norm ugruntowanych przez tradycję, mogą stać się obiektami dyskryminacji a nawet przemocy. Laverne Cox jest pierwszą transpłciową aktorką i modelką, która gra rolę osoby transpłciowej w serialu. Cox, jako osoba prywatna, działa również na rzecz społeczności LGBTQ+. (Źródło: modyfikacja pracy KOMUnews_Flickr/Flickr) Posłuchaj krótkiego wywiadu z Laverne Cox o jej przemianie oraz sposobie, w jaki odmawia odpowiedzi na pytanie przekraczające jej barierę prywatności. Czynniki kulturowe a orientacja seksualna i tożsamość płciowa Na problemy związane z orientacją seksualną i tożsamością płciową w znacznym stopniu wpływają czynniki społeczno-kulturowe. Orientację seksualną i płeć w odmienny sposób definiuje się w różnych kulturach. W Stanach Zjednoczonych czy w Polsce za normę uznaje się heteroseksualność, jednak istnieją społeczności, w których okresy homoseksualnych relacji uznaje się za element prawidłowego rozwoju i dojrzewania. Na przykład w niektórych regionach Nowej Gwinei oczekuje się, że młodzi chłopcy będą przez pewien czas podejmować zachowania seksualne z innymi chłopcami, gdyż jest to niezbędne, by stali się mężczyznami (Baldwin i Baldwin, 1989). W Europie i Stanach Zjednoczonych tradycyjnie w kulturze wyróżnia się dwie płcie: mężczyzn albo kobiety. Natomiast w innych kulturach tradycyjnie występują dodatkowe warianty płci. Na przykład w Tajlandii są mężczyźni, kobiety i kathoey – osoby, które w kulturze zachodniej określilibyśmy mianem osób interseksualnych lub transseksualnych (Tangmunkongvorakul, Banwell, Carmichael, Utomo i Sleigh, 2010). Międzypłciowość (ang. intersex ) to szerokie pojęcie odnoszące się do osób, których ciała posiadają niejednoznaczną płeć (Hughes et al, 2006) i może zaistnieć w dowolnym okresie życia (Creighton, 2001). Osoba międzypłciowa może urodzić się z męskimi i żeńskimi narządami płciowymi, albo mogą wystąpić u niej pewne różnice w chromosomach X i Y, które nie mają reprezentacji w pierwszo- lub drugorzędowych cechach płciowych, czyli pozostają niewidoczne. Przypadek Davida Reimera W sierpniu 1965 roku Janet i Ronald Reimer z miasta Winnipeg w Kanadzie powitali na świecie bliźniaków, Bruce’a i Briana. Po kilku miesiącach u maluchów zdiagnozowano problemy z układem moczowym, a lekarze w ramach leczenia zalecili obrzezanie chłopców. Awaria sprzętu medycznego wykorzystywanego do tej procedury doprowadziła do nieodwracalnego uszkodzenia prącia Bruce’a. Zrozpaczeni rodzice szukali porady w sprawie synka. Przez przypadek para dowiedziała się o doktorze Johnie Money’u z Uniwersytetu Johnsa Hopkinsa i jego teorii neutralności psychoseksualnej (Colapinto, 2000). Money poświęcił wiele czasu na badania osób transseksualnych i urodzonych z obojnaczymi narządami płciowymi. Wykorzystując wyniki swojej pracy, opracował teorię neutralności psychoseksualnej, zgodnie z którą w momencie narodzin każdy ma neutralną tożsamość płciową i zaczyna ją sobie uświadamiać dopiero z chwilą opanowywania języka. Ponadto Money twierdził, że sposób naszej socjalizacji w pierwszych latach życia ma znacznie większy wpływ na określenie tożsamości płciowej niż biologia (Money, 1962). Lekarz zaproponował Janet i Ronaldowi, by przywieźli dzieci na Uniwersytet Johnsa Hopkinsa, i przekonał ich, że powinni wychowywać Bruce’a jak dziewczynkę. Nie mając wiele innych opcji do wyboru, rodzice wyrazili zgodę na usunięcie Bruce’owi jąder i traktowanie go jak dziewczynki. Wrócili do Kanady z synem Brianem i jego nową siostrą, Brendą. Otrzymali też szczegółową instrukcję, by nigdy nie ujawniać Brendzie, że urodziła się jako chłopiec (Colapinto, 2000). Na początku dr Money ogłosił w środowisku naukowym wielki sukces tego naturalnego eksperymentu, który – jak się wydawało – w pełni potwierdzał jego teorię neutralności psychoseksualnej (Money, 1975). Rzeczywiście na podstawie pierwszych wywiadów z dziećmi można było stwierdzić, że Brenda jest typową dziewczynką, która lubi bawić się „dziewczyńskimi” zabawkami i robić „dziewczyńskie” rzeczy. Money nie ujawnił jednak informacji, która przeczyła sukcesowi tego przypadku. W rzeczywistości rodzice Brendy mieli ciągłe obawy, że ich córka nie zachowuje się jak większość dziewczynek, i do czasu, gdy Brenda zbliżyła się do nastoletniego wieku, rodzina była już niemal pewna, że dziewczyna z trudem utożsamiała się z płcią żeńską. Co więcej, Brenda miała coraz większe opory przed dalszymi wizytami u doktora Moneya, do tego stopnia, że w pewnym momencie zagroziła popełnieniem samobójstwa, jeśli rodzice każą jej się z nim ponownie zobaczyć. Wtedy Janet i Ronald wyjawili córce prawdę na temat jej płci. Mimo początkowego zaskoczenia Brenda przyznała, że teraz wszystko układa się w sensowną całość, i ostatecznie jako nastolatka zdecydowała, że chce być mężczyzną. W ten sposób stała się Davidem Reimerem. David czuł się dość swobodnie w roli mężczyzny. Zawierał nowe znajomości i myślał o przyszłości. Mimo że w wyniku kastracji był bezpłodny, pragnął być ojcem. W 1990 roku poślubił samotną matkę i doskonale odnalazł się w nowej roli męża i ojca. W roku 1997 Davidowi uświadomiono, że Money nadal posługiwał się jego przypadkiem na potwierdzenie swojej teorii neutralności psychoseksualnej. Skłoniło to Davida i jego brata do upublicznienia swoich doświadczeń i zdyskredytowania publikacji doktora. Z jednej strony rewelacje te wywołały burzę w środowisku naukowym, ale z drugiej pociągnęły za sobą szereg niefortunnych zdarzeń, które ostatecznie doprowadziły do popełnienia przez Davida samobójstwa w 2004 roku (O’Connell, 2004). Ta smutna historia potwierdza złożoność zagadnienia tożsamości płciowej. Mimo że przypadek Reimera był początkowo prezentowany jako potwierdzenie tego, że socjalizacja przewyższa biologię w kontekście tożsamości płciowej, prawda na jego temat przyczyniła się do tego, że środowiska naukowe i medyczne stały się bardziej ostrożne w postępowaniu z przypadkami interseksualnych dzieci i rozpatrywania ich wyjątkowych okoliczności. Tego typu historie zachęciły do podjęcia kroków zapobiegających wyrządzaniu niepotrzebnej krzywdy i cierpienia dzieciom mającym problemy z tożsamością płciową. Na przykład w 2013 roku w Niemczech zaczęło obowiązywać prawo pozwalające rodzicom dzieci interseksualnych na uznanie ich płci jako nieokreślonej, aby to dziecko mogło samo wybrać płeć, gdy w pełni rozwinie się u niego tożsamość płciowa (Paramaguru, 2013). Obejrzyj reportaż na temat doświadczeń Davida Reimera i jego rodziny. Summary Podwzgórze i struktury układu limbicznego odgrywają istotną rolę w zachowaniu seksualnym i motywacji. Dowody potwierdzają, że nasza motywacja do podejmowania zachowań seksualnych i zdolność do tego są odrębnymi, ale powiązanymi ze sobą procesami. Alfred Kinsey przeprowadził zakrojone na szeroką skalę badanie, które wykazało niesamowitą różnorodność ludzkiej seksualności. William Masters i Virginia Johnson obserwowali ochotników uprawiających seks i na tej postawie stworzyli koncepcję cyklu reakcji seksualnej. Mimo że pojęcia orientacji seksualnej i tożsamości płciowej są często mylone, stanowią one oddzielne, choć powiązane zagadnienia. Review Questions Badania na zwierzętach sugerują, że u samców szczurów kluczowym obszarem odpowiedzialnym za zdolność do podejmowania zachowań seksualnych, ale nie za motywację do takiego działania jest __________. jądro półleżące ciało migdałowate przyśrodkowe pole przedwzrokowe podwzgórza hipokamp C Podczas fazy ________ w cyklu reakcji seksualnej u ludzi występują rytmiczne skurcze miednicy, którym towarzyszą skurcze macicy u kobiet i ejakulacja u mężczyzn. podniecenia plateau orgazmu odprężenia C Który z poniższych wniosków nie wynikał z badania Kinseya? Popęd seksualny i zdolności seksualne mogą być odrębnymi funkcjami. Kobiety czerpią taką samą przyjemność z seksu co mężczyźni. Zachowania homoseksualne są dość powszechne. Masturbacja nie pociąga za sobą negatywnych skutków. A Jeśli osoba czuje się niekomfortowo, utożsamiając się z płcią biologiczną, uznaje się, że doświadcza ona ________. homoseksualności biseksualności heteroseksualności dysforii płciowej D Critical Thinking Questions Mimo że przeprowadzono wiele badań na temat rozwoju orientacji seksualnej u ludzi, ich wiarygodność jest krytykowana przez osoby, które twierdzą, że grupy osób biorących udział w badaniach nie są reprezentatywne. Czy, twoim zdaniem, obawy te mogą być uzasadnione? Zważywszy na piętno związane z byciem osobą nieheteroseksualną, uczestnicy otwarcie przyznający się do swojej homoseksualności lub biseksualności w projektach badawczych mogli nie być w pełni reprezentatywną próbą całej populacji nieheteroseksualnej. Nie ma rzetelnych naukowych dowodów na to, że terapia konwersyjna osób homoseksualnych rzeczywiście działa. Jakie dowody przekonałyby cię, że dana osoba skutecznie zmieniła swoją orientację seksualną? Odpowiedzi będą różne, jednak należy podkreślić, że do potwierdzenia udanej konwersji potrzeba czegoś więcej niż tylko deklaracji danej osoby. Oprócz zapewnienia, że tego typu terapie są bezpieczne, potrzebne byłyby długotrwałe, obiektywne manifestacje faktycznej zmiany zarówno pod względem pociągu seksualnego, jak i rzeczywistych zachowań danej osoby. Personal Application Question Obecnie zagadnienia dotyczące orientacji seksualnej regularnie pojawiają się w debatach politycznych. Co sądzisz na temat legalizacji małżeństw jednopłciowych? biseksualność (ang. bisexual) stan, w którym osoba odczuwa pociąg emocjonalny i fizyczny zarówno do osób tej samej, jak i przeciwnej płci podniecenie (ang. excitement) faza cyklu aktywności seksualnej obejmująca stan podniecenia płciowego zaburzenia tożsamości płciowej (ang. gender dysphoria) kategoria diagnostyczna w DSM-5 ; obejmuje osoby, które nie identyfikują się z własną płcią biologiczną tożsamość płciowa (ang. gender identity) poczucie jednostki, że jest mężczyzną lub kobietą heteroseksualność (ang. heterosexual) uczuciowy i erotyczny pociąg do osób płci przeciwnej homoseksualność (ang. homosexual) uczuciowy i erotyczny pociąg do osób tej samej płci orgazm (ang. orgasm) szczytowa faza cyklu aktywności seksualnej związana z rytmicznymi skurczami mięśni (i ejakulacją/wytryskiem) plateau (ang. plateau ) faza cyklu aktywności seksualnej przypadająca między fazą podniecenia płciowego a orgazmem okres refrakcji (ang. refractory period ) czas tuż po orgazmie, kiedy jednostka nie jest w stanie doświadczyć kolejnego orgazmu odprężenie seksualne (ang. resolution ) faza cyklu aktywności seksualnej przypadająca po orgazmie; w tej fazie ciało wraca do stanu sprzed pobudzenia orientacja seksualna (ang. sexual orientation) uczuciowy i erotyczny pociąg do osób płci przeciwnej, własnej lub obu cykl reakcji seksualnej (ang. sexual response cycle) dzieli się na cztery fazy: pobudzenie, plateau, orgazm i odprężenie terapia hormonalna zmiany płci (ang. transgender hormone therapy ) użycie hormonów, by ciało osoby danej płci zaczęło przypominać ciało osoby płci przeciwnej", "section": "Sfera seksualna", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Co sprawia, że dwie istoty ludzkie mają różne osobowości? (Źródło: modyfikacja pracy Nicolasa Alejandro). Ojciec Williama Jeffersona Blythe'a III zginął w wypadku samochodowym trzy miesiące przed narodzinami chłopca. William (Bill) wychowywał się w Hope w stanie Arkansas pod opieką matki, Virginii Dell, oraz dziadków. Gdy skończył 4 lata, matka wyszła za mąż za Rogera Clintona Jr. – alkoholika i damskiego boksera. Sześć lat później urodziła drugiego syna, Rogera. Bill przyjął później nazwisko ojczyma i został 42. prezydentem Stanów Zjednoczonych. Podczas gdy piął się po politycznej drabinie, jego przyrodni brat Roger Clinton spędzał czas w więzieniu, kilkukrotnie aresztowany za posiadanie narkotyków, zmowę w celu rozprowadzania kokainy oraz jazdę samochodem pod wpływem alkoholu. Dwaj bracia byli wychowywani przez te same osoby, a jednak obrali dwie zupełnie inne ścieżki życiowe. Dlaczego dokonali takich, a nie innych wyborów? 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{"text": "Czym jest osobowość? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować osobowość Opisać wczesne teorie dotyczące rozwoju osobowości Osobowość (ang. personality ) odnosi się do wewnętrznie spójnych, trwałych cech i wzorców, które powodują, że jednostki myślą, czują i zachowują się w określony sposób. Nasza osobowość czyni nas unikatowymi istotami ludzkimi. Każdy człowiek ma swój specyficzny zespół długotrwale utrzymujących się cech i sposobów interakcji z innymi ludźmi i światem zewnętrznym. O osobowości mówi się, że jest trwała, stabilna i niełatwo poddaje się zmianom. Zarówno polskie słowo osobowość , jak i angielskie personality pochodzą od łacińskiego słowa persona . W starożytnej Grecji persona oznaczała maskę noszoną przez aktora. Maska teatralna wykorzystywana była do zobrazowania konkretnej cechy osobowości danej postaci ( ). Szczęśliwy, smutna, niecierpliwy, nieśmiała, bojaźliwy, ciekawa, pomocna... Jakie cechy opisują twoją osobowość? Perspektywa historyczna Ludzie zastanawiają się, czym jest osobowość, od przynajmniej dwóch tysięcy lat. Przyjmuje się, że pierwszym z nich był Hipokrates, który czynił to już w IV wieku p.n.e. (Fazeli, 2012). Według niego cechy osobowości i powiązane z nimi zachowania zależą od czterech odrębnych temperamentów związanych z istnieniem czterech soków ciała (humorów): temperament choleryczny (żółć z wątroby), temperament melancholijny (czarna żółć z nerek), temperament sangwiniczny (czerwona krew z serca) oraz temperament flegmatyczny (flegma z płuc) (Clark i Watson, 2008; Eysenck i Eysenck, 1985; Lecci i Magnavita, 2013; Noga, 2007). Wieki później, bazując na teorii Hipokratesa, wpływowy grecki filozof Galen, właściwie Claudius Galenus (129-210) zasugerował, że zarówno choroby, jak i cztery temperamenty można wyjaśnić istnieniem nierównowagi w humorach oraz że każda osoba charakteryzuje się jednym z temperamentów. Osoby choleryczne są ambitne, śmiałe, namiętne. Melancholicy są wycofani, bojaźliwi i nieszczęśliwi. Sangwinicy cechują się radosnym, optymistycznym podejściem do życia i chęcią do angażowania się, natomiast flegmatyków można opisać jako spokojnych, rzetelnych i rozważnych (Clark i Watson, 2008; Stelmack i Stalikas, 1991). Teoria Galena wywarła olbrzymi wpływ na rozwój nauk medycznych w kolejnym tysiącleciu i była niezwykle popularna jeszcze w średniowieczu (więcej w podrozdziale Temperament ). W 1780 roku niemiecki lekarz Franz Gall (1758-1828) zasugerował, że na cechy osobowości, charakter i zdolności umysłowe danej osoby wpływają odległości pomiędzy uwypukleniami i zagłębieniami czaszki ( ). Jego zdaniem pomiar tych odległości mógł dostarczyć informacji o rozmiarze poszczególnych części mózgu i stanowić podstawę do określenia, czy dany człowiek jest przyjacielski, dumny, uprzejmy, czy ma zdolności do języków obcych, a nawet czy ma mordercze zapędy. Początkowo ciesząca się dużym uznaniem, frenologia (ang. phrenology ) zaczęła być jednak dyskredytowana z powodu braku dowodów empirycznych i zyskała miano pseudonauki (Fancher, 1979). Frenologia okryła się złą sławą w czasach nazistowskich, gdy wykorzystywano ją do prześladowania ludności. Na podstawie pomiaru czaszki w sposób arbitralny – i dodajmy z całą mocą: w sprzeczności z nauką i zdrowym rozsądkiem – decydowano o pochodzeniu żydowskim bądź aryjskim ludzi, co w ówczesnych czasach było równoznaczne z wydaniem wyroku śmierci lub ocaleniem życia. Pseudonauka, której przedmiotem było określanie cech ludzkich na podstawie pomiarów czaszki, nazywa się frenologią. (a) Gall stworzył rysunek z dokładnie wyrysowanymi obszarami głowy odpowiadającymi określonym cechom lub właściwościom (Hothersall, 1995). (b) Litografia z 1825 roku pokazująca Galla podczas badania czaszki młodej kobiety (Źródło b: modyfikacja pracy Wellcome Library, London). W kolejnych stuleciach inni badacze przyczyniali się do rozwoju wiedzy o temperamencie, szczególnie Immanuel Kant (1724-1808) w XVIII wieku i psycholog Wilhelm Wundt (1832-1920) w XIX wieku (Eysenck, 2009; Stelmack i Stalikas, 1991; Wundt, 1874/1886) ( ). Kant zgodził się z Galenem, że każdą jednostkę ludzką można zakwalifikować do jednej z czterech wskazanych przez Galena kategorii i że w żaden sposób się one na siebie nie nakładają (Eysenck, 2009). Stworzył listę cech do opisywania osobowości osób mających jeden z czterech temperamentów. Wundt poszedł dalej i zaproponował bardziej złożoną metodę opisu osobowości wykorzystującą wykres z dwiema krzyżującymi się osiami: silne emocje/słabe emocje oraz powolne zmiany emocji/szybkie zmiany emocji (por. Temperament ). Pionowa oś wskazuje intensywność reakcji emocjonalnej: temperamenty melancholijne i choleryczne oraz flegmatyczne i sangwiniczne. Oś pozioma natomiast pokazuje szybkość reakcji emocjonalnych: temperamenty choleryczne i sangwiniczne oraz melancholijne i flegmatyczne (Eysenck, 2009). Opierając się na galenowskiej teorii czterech temperamentów, Kant zaproponował listę słów opisujących cechy każdego z nich. Wundt natomiast umieścił cechy w układzie współrzędnych tworzącym dwuwymiarową typologię temperamentu. Psychodynamiczna perspektywa osobowości Zygmunta Freuda (1856-1939) była pierwszą wszechstronną teorią osobowości wyjaśniającą szerokie spektrum zachowań normalnych i anormalnych. Według Freuda siłami kształtującymi osobowość są nieświadome popędy motywowane seksualnością oraz agresją w połączeniu z seksualnymi doświadczeniami z dzieciństwa. Podejście freudowskie zainspirowało wielu innych badaczy, którzy je modyfikowali i na tej podstawie tworzyli własne teorie. Teoretycy ci, określani mianem neofreudystów, generalnie zgadzali się z Freudem, że w rozwoju osobowości liczą się przede wszystkim doświadczenia z okresu dzieciństwa, lecz umniejszali wpływ seksualności na rzecz otoczenia społecznego i oddziaływania czynników kulturowych. Podejście do osobowości zaproponowane przez Freuda i jego zwolenników było dominującą teorią osobowości w pierwszej połowie XX wieku. Potem pojawiły się jeszcze inne teorie osobowości: między innymi humanistyczna, socjobiologiczna, ewolucyjna i kulturowa oraz uczenia się i cech. Niektóre z nich omówimy w tym rozdziale. Obejrzyj ten film , by zapoznać się z krótkim podsumowaniem różnych podejść psychologicznych do osobowości. Summary Osobowość jest przedmiotem ludzkich badań od ponad 2000 lat. Uważa się, że ich pionierem był Hipokrates. Wśród nieco bardziej współczesnych podejść znajduje się psychodynamiczna teoria Freuda, według której na osobowość mają wpływ doświadczenia z dzieciństwa. W reakcji na nią powstały kolejne teorie, między innymi humanistyczna, biologiczna i kulturowa oraz uczenia się i cech. Review Questions Osobowość uważa się za ________. coś, co jest nietrwałe i zmienne. wzorzec krótkotrwałych cech. coś, co jest niestabilne i nietrwałe. coś, co jest stabilne, trwałe i z trudem poddaje się zmianie. D Spójne i trwałe cechy i wzorce, które powodują, że jednostki konsekwentnie myślą, czują i zachowują się w pewien konkretny sposób, nazywa się ________. psychodynamicznymi temperamentem humorami osobowością D ________ przypisuje się autorstwo pierwszej wszechstronnej teorii osobowości. Hipokratesowi Gallowi Wundtowi Freudowi D Pseudonauka, która cechy osobowości uzależniała od określonych pomiarów pomiędzy różnymi częściami czaszki, nazywa się ________. frenologią psychologią fizjologią psychologią osobowości A Critical Thinking Questions Co sprawia, że jakaś cecha staje się częścią osobowości danej osoby? Dana cecha lub właściwość musi być częścią trwałego wzorca zachowania i w ten sposób stać się przewidywalną i stabilną cechą charakteru. Personal Application Questions Spróbuj opisać swoją osobowość. Czy uważasz, że twoi przyjaciele i rodzina opisaliby cię w podobny sposób? Dlaczego tak i dlaczego nie? Jak mógłby wyglądać opis twojej osobowości zamieszczony w internetowym serwisie randkowym? Jakie są niektóre z twoich pozytywnych i negatywnych cech osobowości? Jak myślisz, w jaki sposób wpłyną one na twój wybór pracy? osobowość (ang. personality) wewnętrznie spójne, trwałe cechy i wzorce, które powodują, że jednostki myślą, czują i zachowują się w określony i unikatowy sposób", "section": "Czym jest osobowość?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Freud i perspektywa psychodynamiczna Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Scharakteryzować założenia psychodynamicznego spojrzenia na rozwój osobowości Zdefiniować i opisać naturę oraz funkcję id, ego i superego Zdefiniować i opisać mechanizmy obronne Zdefiniować i opisać psychoseksualne etapy rozwoju osobowości Zygmunt Freud (1856-1939) to przypuszczalnie najbardziej kontrowersyjny psycholog teoretyk, którego koncepcje bywają błędnie interpretowane. Czytając jego prace, trzeba pamiętać, że był przede wszystkim lekarzem, a nie psychologiem. Gdy pobierał edukację wyższą, wydziały psychologiczne jeszcze nie istniały. Freudowi trzeba oddać jednak, że jako pierwszy systematycznie badał i poddawał analizie teoretycznej działanie nieświadomego umysłu i robił to w sposób przypominający podejście stosowane we współczesnej psychologii. Na początku swojej kariery Freud pracował z wiedeńskim lekarzem Josefem Breuerem. Zafascynował go wtedy przypadek jednej z pacjentek Breuera, Berthy Pappenheim, występującej w literaturze pod pseudonimem Anna O. (Launer, 2005). Gdy Anna O. opiekowała się umierającym ojcem, zaczęły u niej występować: częściowy paraliż, bóle głowy, zamazany obraz, amnezja oraz halucynacje (Launer, 2005). W czasach Freuda zespół takich symptomów nazywano histerią. Kobieta zwróciła się po pomoc do Breuera. Podczas trwającego dwa lata leczenia (1880-1882) Breuer odkrył, że samo pozwolenie Annie na mówienie o swoich doświadczeniach wydawało się zmniejszać jej nasilenie objawów. Kobieta zaczęła nazywać ten proces „leczącą rozmową” (Launer, 2005). Mimo iż Freud nigdy nie poznał Anny O., wspólnie z Breuerem na podstawie jej historii leczenia wydali w 1895 książkę Studia nad histerią . Na podstawie dostarczonych przez Breuera opisów postępów terapii Anny O. Freud doszedł do wniosku, że jej histeria była wynikiem nadużyć seksualnych w dzieciństwie, a te traumatyczne doświadczenia zostały później usunięte z jej świadomości. Breuer nie zgadzał się Freudem, więc ich drogi się rozeszły. Poziomy świadomości Freud kontynuował badania nad terapią rozmową oraz rozwijał swoją teorię osobowości. Chcąc rozróżnić między koncepcją świadomego i nieświadomego doświadczenia, Freud porównał umysł do góry lodowej ( ). Twierdził, że tylko jedna dziesiąta umysłu jest świadoma, reszta zaś nieświadoma. Nieświadomość (ang. unconsciousness ) odnosi się do mentalnej aktywności, do której nie mamy dostępu (Freud, 1923). Według badacza to właśnie w niej trzymane są wszystkie nieakceptowalne pragnienia i popędy, a trafiają tam one wskutek procesu zwanego wyparciem. Mówimy na przykład rzeczy, których nie chcemy powiedzieć, bezwiednie zastępując pewne słowa innymi. Obecnie takie przejęzyczenie określa się mianem freudowskiej pomyłki. Freud sugerował, że przejęzyczenia de facto wyrażają prawdziwe seksualne lub agresywne pragnienia, które w sposób przypadkowy uwalniają się z nieświadomości. Tego rodzaju błędy językowe są dość powszechne. Traktując je jako odzwierciedlenie nieświadomych pragnień, współcześni lingwiści odkryli, że najczęściej zdarzają się, gdy jesteśmy zmęczeni, zdenerwowani lub znacznie poniżej naszego optymalnego poziomu funkcjonowania poznawczego (Motley, 2002). Freud uważał, że jesteśmy świadomi tylko niewielkiej części aktywności naszego umysłu, a jej większość pozostaje ukryta w naszej nieświadomości. Informacje pochodzące z nieświadomości wpływają na nasze zachowanie, choć nie zdajemy sobie z tego sprawy. Według koncepcji Freuda osobowość rozwija się wskutek poszukiwania równowagi jednostki między dwiema siłami: biologicznym popędem agresji i przyjemności oraz zinternalizowaną kontrolą nad tymi popędami. Łatwiej zrozumieć tę ideę, wyobraziwszy sobie trzy systemy oddziałujące na siebie w umyśle. Freud nazwał je: id, ego i superego ( ). Ego poszukuje kompromisu między popędem agresji i przyjemności id oraz moralną kontrolą superego. Nieświadome id (łac. id ) jest repozytorium najbardziej prymitywnych popędów i towarzyszy nam od dnia narodzin. Odpowiada za impulsy głodu, pragnienia i seksu. Freud założył, że działa ono zgodnie z „zasadą przyjemności”. Id poszukuje bowiem natychmiastowej gratyfikacji, czyli zaspokojenia swoich potrzeb. Dzięki interakcjom z rodzicami oraz innymi osobami ze swojego otoczenia dziecko rozwija ego i superego, które pomagają kontrolować id. Superego (łac. superego ) rozwija się w procesie uspołeczniania, gdy dziecko uczy się norm społecznych i odróżniania dobra i zła. Superego to swoiste sumienie, moralny kompas wskazujący zachowania odpowiednie w danej sytuacji. W swoim dążeniu do perfekcji superego nieustannie ocenia zachowania i albo wywołuje w jednostce poczucie dumy, albo – gdy ta nie osiąga ideału – poczucie winy. Ego (ang. ego ), w odróżnieniu od instynktownego id oraz pryncypialnego superego, jest racjonalną częścią osobowości. Freud uważał je za prawdziwe Ja ( self ) oraz za taką część osobowości, która jest widoczna dla innych. Zadaniem ego jest znalezienie równowagi między wymaganiami id oraz superego w kontekście rzeczywistości. Id i superego pozostają w nieustannym konflikcie, gdyż id pragnie natychmiastowego spełnienia swoich potrzeb bez względu na konsekwencje, a superego stoi na straży usankcjonowanych społecznie zachowań. Ego natomiast usiłuje zrównoważyć ich wykluczające się wymagania. Stara się spełniać pragnienia id, działając zgodnie z tym, co faktycznie osiągalne, by uchronić jednostkę przed poczuciem winy. Relację tę Freud nazwał „zasadą rzeczywistości”. Freud twierdził, że osoba o silnym ego, potrafiącym znaleźć kompromis pomiędzy id i superego ma zdrową osobowość, natomiast jakakolwiek nierównowaga w tym systemie może prowadzić do nerwicy (ang. neurosis ), czyli skłonności do negatywnych emocji, niepokoju oraz zaburzeń i niezdrowych zachowań. Zatem osoba, którą zdominowało id, może być narcystyczna i impulsywna, zaś taka, u której przeważa superego, może nieustannie odczuwać poczucie winy i odmawiać sobie nawet społecznie akceptowanych przyjemności. Jeśli zaś superego jest słabe lub niewykształcone, istnieje wysokie prawdopodobieństwo psychopatii. Nadmiernie dominujące superego można dostrzec u podmiotu, który jest niezwykle kontrolujący i całkowicie nieświadomy własnych potrzeb emocjonalnych ukrytych za pryncypialnym postrzeganiem rzeczywistości lub u neurotyka nieustannie i do przesady wykorzystującego mechanizmy obronne ego. Mechanizmy obronne Freud uważał, że lęk wynika z niezdolności ego do skutecznego zarządzenia konfliktem między id a superego. By przywrócić między nimi równowagę i zminimalizować lęk, umysł nieświadomie stosuje mechanizmy obronne ego (ang. defense mechanisms ) ( ). Innymi słowy: w sytuacji wywołującej lęk uruchamiamy mechanizmy obronne, z których nie zdajemy sobie sprawy. Co więcej, działanie tych mechanizmów zniekształca rzeczywistość. Zdaniem Freuda z mechanizmów obronnych ego korzysta każdy z nas, ale dopiero nadużywanie ich może prowadzić do problemów. Mechanizmy obronne są nieświadomymi zachowaniami ochronnymi, których celem jest zmniejszenie poziomu lęku. Powiedzmy, że Marcin gra w szkolnej drużynie piłki nożnej. Odczuwa pociąg fizyczny do mężczyzn. Na poziomie świadomym uważa jednak, że bycie gejem jest amoralne i gdyby rodzina i przyjaciele dowiedzieli się, że jest homoseksualistą, wyparliby się go; stałby się outsiderem. Istnieje w nim zatem konflikt między świadomym przekonaniem (bycie gejem jest niemoralne i skutkuje odrzuceniem przez najbliższych i rówieśników) a nieświadomymi pragnieniami (pociąg fizyczny do mężczyzn). Myśl o byciu gejem powoduje w nim silny lęk. Marcin może próbować zmniejszyć ten lęk, zachowując się zgodnie z wypaczonym stereotypem „prawdziwego twardego mężczyzny”, rzucając dowcipami o gejach i szykanując kolegę, który ma skłonności homoseksualne. W ten sposób nieświadome impulsy Marcina zostaną schowane jeszcze głębiej. Istnieje kilka mechanizmów obronnych. Wyparcie (ang. repression ) polega na usunięciu ze świadomości wspomnień i myśli powodujących lęk. Można porównać to do sytuacji, w której twój samochód wydaje niepokojące odgłosy, a ty, ponieważ nie masz pieniędzy na naprawę i nie chcesz się tym teraz zajmować, pogłaśniasz radio, aby te odgłosy zagłuszyć, aż w końcu o nich zapominasz. Podobnie jest z ludzką psychiką – jeśli jakieś wspomnienie sprawia zbyt wiele bólu, można je usunąć ze świadomości (Freud, 1920). Takie wyparte wspomnienie może jednak dawać o sobie znać w innych zachowaniach pozornie z nim niezwiązanych. Innym mechanizmem obronnym jest reakcja upozorowana (ang. rection formation ), która polega na wyrażaniu uczuć i myśli oraz na podejmowaniu zachowań przeciwnych do faktycznych. Przykładem tej reakcji jest wspomniane zachowanie Marcina, który szykanował kolegę geja, choć sam czuł pociąg fizyczny do mężczyzn. W regresji (ang. regression ) jednostka ucieka się do zachowań odpowiednich dla młodszego wieku. Na przykład czterolatek, który nie chce mieć młodszego rodzeństwa, może zachowywać się jak niemowlę i powrócić do picia z butelki. Natomiast projekcja (ang. projection ) jest niechęcią do zmierzenia się z własnymi nieświadomymi uczuciami poprzez przerzucenie ich na kogoś innego. Do pozostałych mechanizmów obronnych należą racjonalizacja (ang. rationalization ), przemieszczenie (ang. displacement ) i sublimacja (ang. sublimation ). Ten film zawiera krótki opis mechanizmów obronnych według Freuda. Fazy rozwoju psychoseksualnego Freud postrzegał wczesne dzieciństwo jako najważniejszy okres formowania się osobowości. Uważał, że doświadczenia z tego okresu kształtują nie tylko cechy osobowości, ale wpływają również na zachowania w dorosłości. Według niego rozwój człowieka w tym wczesnym etapie przebiega w pięciu fazach i przechodzi je każdy z nas. Jeśli w którejś z nich jednostka nie otrzyma odpowiedniej opieki i troski, może się w niej się zatrzymać lub rozwinąć fiksację objawiającą się nawet w życiu dorosłym. W każdej fazie rozwoju psychoseksualnego (ang. psychosexual stage of development ) potrzeby przyjemności, których źródłem jest id, koncentrują się na różnych częściach ciała zwanych strefami erogennymi. Freud wyróżnił pięć odrębnych faz tego rozwoju: oralną, analną, falliczną, okres latencji oraz fazę genitalną ( ). Freudowska teoria rozwoju psychoseksualnego nadal wzbudza duże kontrowersje. Staje się nieco bardziej zrozumiała, gdy pozna się kontekst polityczny, społeczny i kulturowy Wiednia przełomu XIX i XX wieku. Perspektywę Freuda kształtował ówczesny klimat niezrozumienia ludzkiej seksualności i traktowania jej jako tabu. Freud uznał więc, że negatywne stany emocjonalne (nerwice) wynikają właśnie z wyparcia nieświadomych popędów: seksualnego i agresji. Dla Freuda wystarczającym powodem do traktowania faz psychorozwojowych jako uniwersalnych doświadczeń wczesnego dzieciństwa były własne zapiski oraz interpretacje doświadczeń i marzeń sennych jego pacjentów. Fazy rozwoju psychoseksualnego według Freuda. Faza/okres Wiek (lata) Strefa erogenna Główny konflikt Przykład fiksacji w dorosłości Oralna 0–1 usta odstawienie od piersi lub butelki palenie, obżarstwo Analna 1–3 odbyt trening czystości porządek, bałaganiarstwo Falliczna 3–6 genitalia kompleks Edypa lub kompleks Elektry próżność, nadmierna ambicja Latencji 6–12 brak brak brak Genitalna 12+ genitalia brak brak Faza oralna W fazie oralnej (ang. oral stage ), trwającej od narodzin do mniej więcej roku, zaspokojenie przychodzi poprzez usta. Jedzenie oraz przyjemność związana ze ssaniem (sutka, smoczka i kciuka) odgrywają ważną rolę w życiu dziecka. Około pierwszych urodzin dziecko odstawiane jest od butelki lub piersi i ten proces może prowadzić do konfliktu, jeśli nie zostanie odpowiednio przeprowadzony przez opiekunów. Według Freuda osoba dorosła, która pali papierosy, nałogowo pije alkohol, obżera się lub obgryza paznokcie, doświadcza fiksacji oralnej. Być może została odstawiona od butelki lub piersi zbyt późno lub zbyt wcześnie i stąd wykształciła mechanizmy, których celem jest zmniejszenie lęku. Faza analna W toku rozwoju dziecko przechodzi z fazy oralnej do fazy analnej (ang. anal stage ), która trwa mniej więcej od pierwszego do trzeciego roku życia. Na tym etapie człowiek doświadcza przyjemności w obszarze odbytu oraz pęcherza moczowego, zatem przedmiotem konfliktu jest trening czystości i to, jak podchodzą do niego rodzice. Ci, którzy stosują pochwały oraz nagrody, uzyskują pozytywne rezultaty i pomagają dziecku poczuć się kompetentnym. Natomiast rodzice stosujący nieprzyjemne i surowe metody podczas nauki korzystania z toalety, mogą doprowadzić do fiksacji w tej fazie i spowodować u potomstwa rozwój osobowości analno-retencyjnej. Osobowość analno-retencyjna (ang. anal-retentive personality ) charakteryzuje się skąpstwem i uporem, kompulsywną potrzebą porządku i czystości oraz dążeniem do perfekcji. Jeśli, ucząc korzystania z toalety, rodzice są zbyt pobłażliwi, również mogą spowodować fiksację i wykształcić u dziecka osobowość analno-ekspulsywną (ang. anal-expulsive personality ), której cechami typowymi są bałaganiarstwo, niedbałość, brak organizacji oraz wybuchy emocji. Faza falliczna Trzecia faza rozwoju, faza falliczna (ang. fallic stage ), trwa mniej więcej od trzeciego do szóstego roku życia i odpowiada wiekowi, gdy dziecko staje się świadome własnego ciała i różnic fizycznych między dziewczynkami a chłopcami. Strefami erogennymi stają się łechtaczka i penis. Konflikt pojawia się, gdy dziecko zaczyna odczuwać pociąg do rodzica przeciwnej płci i zazdrość oraz nienawiść wobec rodzica tej samej płci. W tym wieku chłopcy zazdrośnie kochają matkę i pragną zastąpić u jej boku ojca, którego postrzegają jako rywala o jej uwagę. Jednocześnie boją się, że ojciec ukarze ich za te uczucia, więc odczuwają lęk kastracyjny. Freud nazwał ten dynamizm kompleksem Edypa (ang. Oedipus complex ). Rozwiązanie konfliktu polega na tym, że chłopiec zaczyna identyfikować się z ojcem, by w pośredni sposób móc posiąść matkę. Brak rozwiązania konfliktu może skutkować fiksacją i rozwojem próżnej i nadmiernie ambicjonalnej osobowości. W tej fazie dziewczynki doświadczają podobnego konfliktu noszącego nazwę kompleksu Elektry (ang. Electra complex ). Choć powszechnie za jego autora uważa się Freuda, zaproponował go de facto jego uczeń Carl Gustav Jung (Jung i Kerenyi, 1963). Dziewczynka pożąda uwagi ojca i pragnie zająć miejsce matki. Jung uważał również, że dziewczynki doświadczają uczucia złości wobec matki, która nie zapewniła im członka, i są o niego zazdrosne, stąd termin zazdrość o członka . Choć początkowo Freud traktował kompleks Elektry jako odpowiednik kompleksu Edypa u chłopców, później go odrzucił. Mimo to pozostaje on jednym z fundamentów teorii freudowskiej, co zawdzięcza się głównie kontynuatorom badań Freuda (Freud, 1931/1968; Scott, 2005). Okres latencji Po zakończeniu fazy fallicznej dążenia seksualne zarówno u chłopców, jak i dziewczynek zostają stłumione na okres latencji ( utajenia ) (ang. latency period ), który trwa mniej więcej od szóstego roku życia aż do okresu dojrzewania. Nie uważa się go za fazę rozwoju, gdyż dzieci w tym czasie skupiają się na innych celach, takich jak szkoła, przyjaźń, hobby i sport. Czas spędzają głównie z rówieśnikami tej samej płci, co przyczynia się do konsolidacji tożsamości płciowej. Faza genitalna Ostatnią opisaną przez Freuda fazą rozwoju psychoseksualnego jest faza genitalna (ang. genital stage ), która zaczyna się w okresie dojrzewania. W tym okresie wraz z ponownym ujawnianiem się kazirodczych pragnień raz jeszcze następuje seksualne przebudzenie. Młoda osoba jednak przekierowuje te popędy na innych, społecznie akceptowalnych partnerów (którzy często przypominają rodzica przeciwnej płci). Osoby w tej fazie wykazują dojrzałe zainteresowanie seksualne, które Freud definiował jako silne pożądanie osoby przeciwnej płci. O jednostce, która przeszła przez wszystkie fazy rozwoju psychoseksualnego i dotarła do fazy genitalnej bez żadnych fiksacji, można powiedzieć, że jest zrównoważonym i zdrowym dorosłym. Choć większość koncepcji Freuda nie znajduje poparcia we współczesnych badaniach, nie można pomijać jego ogromnego wkładu w dziedzinę psychologii. To właśnie Freud zwrócił uwagę na to, że doświadczenia wczesnego dzieciństwa w dużej mierze kształtują nasze życie mentalne, którego w znacznej części nie jesteśmy świadomi. Jego koncepcje położyły podwaliny pod pracę przyszłych pokoleń psychologów. Summary Zygmunt Freud uważany jest za ojca pierwszej wszechstronnej teorii osobowości. Był pionierem, odkrył, że gros ludzkiej aktywności umysłowej zachodzi poza naszą świadomością. Zaproponował podział osobowości na trzy obszary: id, ego i superego, gdzie zadaniem ego jest równoważyć popęd agresji i przyjemności id oraz zasady superego. Stworzył również koncepcję rozwoju osobowości poprzez różne fazy psychoseksualne. Każda faza to przyjemność pochodząca z innej strefy erogennej oraz inne konflikty rozwojowe. Nieskuteczne rozwiązanie konfliktu w danej fazie prowadzi do powstania fiksacji i pojawienia się niezdrowych cech osobowości. Przejście przez wszystkie fazy i wykonanie zadań rozwojowych związanych z każdą z nich kształtuje zdrowego dorosłego człowieka. Review Questions Id działa zgodnie z zasadą ________ . rzeczywistości przyjemności natychmiastowej gratyfikacji winy B Mechanizm obronny ego polegający na tym, że osoba, która doświadcza lęku, powraca do niedojrzałych zachowań pochodzących z wcześniejszych faz rozwojowych, nazywa się ________. represją regresją reakcją upozorowaną racjonalizacją B Kompleks Edypa pojawia się w fazie/okresie ________ rozwoju psychoseksualnego. oralnej analnej fallicznej latencji C Critical Thinking Questions Jakie mogą być powiązania popularnego określenia „córeczka tatusia” z kompleksem Elektry? Ponieważ w kompleksie Elektry chodzi o to, że córka rywalizuje z rodzicem tej samej płci o uwagę rodzica płci przeciwnej, określenie \"córeczka tatusia\" może sugerować nadmiernie bliską więź córki z ojcem i zdystansowaną - a nawet wrogą - relację z matką. Opisz osobowość człowieka, u którego rozwinęła się fiksacja w fazie analnej. Jeśli rodzice stosują nieprzyjemne i surowe metody podczas uczenia dziecka korzystania z toalety, mogą doprowadzić do powstania u niego fiksacji i rozwinięcia się osobowości analno-retencyjnej. Taka osoba jest skąpa, uparta, wykazuje dużą potrzebę zachowywania czystości i dąży do perfekcji. Rodzicielska pobłażliwość w tym obszarze również nie jest dobra. Według Freuda również powoduje fiksację i pojawienie się osobowości analno-ekspulsywnej. Jako osoba dorosła taki człowiek jest bałaganiarzem, brakuje mu umiejętności organizacji i łatwo wybucha. Personal Application Questions Jakich mechanizmów obronnych używasz, a jakie rozpoznajesz u innych? faza analna (ang. anal stage ) faza rozwoju psychoseksualnego, w której dziecko czerpie przyjemność z mikcji (oddawania moczu) i defekacji świadomość (ang. consciousness ) aktywność mózgu (myśli, uczucia i wspomnienia), do której w każdej chwili mamy dostęp mechanizm obronny (ang. defense mechanism ) nieświadome zachowania obronne wypracowane, by zmniejszyć niepokój ego przemieszczenie (ang. displacement ) mechanizm obronny ego, w którym jednostka przenosi niewłaściwe impulsy lub zachowania na bardziej akceptowalny lub mniej zagrażający obiekt ego (ang. ego ) aspekt osobowości reprezentujący jaźń, czyli część osobowości postrzeganą przez innych faza genitalna (ang. genital stage ) faza rozwoju psychoseksualnego, skupiająca się na dojrzałych zainteresowaniach seksualnych id (ang. id ) aspekt osobowości obejmujący najprymitywniejsze popędy i chęci, takie jak głód, pragnienie czy seks okres utajenia ( latencji ) (ang. latency period ) faza rozwoju psychoseksualnego, w której uczucia o charakterze seksualnym są uśpione neuroza (ang. neurosis ) tendencja do doświadczania negatywnych emocji faza oralna (ang. oral stage ) faza rozwoju psychoseksualnego, w której obiektem przyjemności niemowlęcia są usta faza falliczna (ang. phallic stage ) faza rozwoju psychoseksualnego, w której dziecko skupia się na genitaliach projekcja (ang. projection ) mechanizm obronny ego, w którym w chwilach niepokoju jednostka ukrywa swoje nieakceptowalne popędy lub zachowania ,przypisując je innym osobom fazy rozwoju psychoseksualnego (ang. psychosexual stages of development) fazy rozwoju dziecka, w których popęd ku przyjemności jest skierowany na określone rejony ciała, zwane strefami erogennymi racjonalizacja (ang. rationalization ) mechanizm obronny ego, w którym w chwilach niepokoju jednostka usprawiedliwia swoje zachowanie reakcja upozorowana (ang. reaction formation ) mechanizm obronny ego, w którym w chwilach niepokoju jednostka zmienia nieakceptowalne popędy lub zachowania na ich przeciwieństwa regresja (ang. regression ) mechanizm obronny ego, w którym w chwilach niepokoju jednostka powraca do wcześniejszych, bardziej niedojrzałych zachowań represja ( wyparcie ) (ang. repression ) mechanizm obronny ego, w którym myśli i wspomnienia powiązane z doświadczaniem niepokoju są spychane do podświadomości sublimacja (ang. sublimation ) mechanizm obronny ego, w którym nieakceptowalne popędy są przekierowywane ku bardziej stosownym działaniom superego (ang. superego ) aspekt osobowości odzwierciedlający normy społeczne i służący jako kompas moralny; sumienie nieświadomość (ang. unconsciousness ) aktywność psychiczna, z której nie zdajemy sobie sprawy i do której nie mamy dostępu", "section": "Freud i perspektywa psychodynamiczna", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Neofreudyści: Adler, Erikson, Jung i Horney Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić pojęcie kompleksu niższości Omówić podstawowe różnice między poglądami Eriksona i Freuda na osobowość Omówić ideę Junga dotyczące nieświadomości zbiorowej i archetypów Omówić twórczość Karen Horney, w tym jej wersję na temat „zazdrości o penisa” Freuda Wielu uczniów i zwolenników Freuda modyfikowało jego koncepcje i na ich podstawie tworzyło własne teorie osobowości. Zwykło określać się ich mianem neofreudystów. Zgadzali się oni z Freudem, że w rozwoju człowieka ważne są doświadczenia z dzieciństwa, lecz przykładali mniejszą wagę do wpływu seksualności na osobowość, zamiast tego skupiając się na wpływie czynników społecznych oraz kulturowych. W tym podrozdziale przedstawiamy podejścia czterech najbardziej znanych neofreudystów: Alfreda Adlera, Erika Eriksona, Carla Gustava Junga i Karen Horney. Alfred Adler Alfred Adler (1870-1937), współpracownik Freuda i pierwszy przewodniczący Wiedeńskiego Towarzystwa Psychologicznego (zamkniętego kręgu znajomych Freuda) był również pierwszym teoretykiem z tego grona, który przedstawił inne niż freudowskie ujęcie teorii osobowości ( ). Stworzone przez niego podejście psychologiczne zwane psychologią indywidualną ( adleryzmem ) (ang. individual psychology ) koncentruje się na potrzebie kompensowania poczucia niższości. Adler jest również autorem koncepcji kompleksu niższości (ang. inferiority complex⁠ ) powiązanego z brakiem poczucia wartości jednostki i jej niemożnością osiągnięcia standardów narzuconych przez inne osoby lub społeczeństwo (Adler, 1937, 1956). Idea poczucia niższości jest najważniejszą koncepcją Adlera odróżniającą jego podejście od podejścia Freuda. Uczeń nie podzielał poglądów mistrza dotyczących roli popędów w kształtowaniu działań człowieka. Za główny motor napędowy ludzkich działań uważał dziecięce doświadczenie poczucia niższości i chęć pokonania go (Adler, 1930, 1961). Dążenie to, jego zdaniem, jest źródłem motywacji dla naszych myśli, emocji i zachowań. Alfred Adler zaproponował koncepcję kompleksu niższości. Adler dużą wagę przykładał również do relacji społecznych, postrzegając rozwój dziecka w kategorii rozwoju społecznego, a nie do proponowanych przez Freuda faz psychoseksualnych. Skupiał się na więziach łączących ludzi jako gatunek i potrzebie działania mającego na celu poprawę życia społeczności. Pisał: „Szczęście ludzkości zależy od wspólnej pracy, od życia w taki sposób, by każdy człowiek stawiał przed sobą cel pracy dla wspólnego dobra” (Adler, 1964, s. 255), a główny cel psychologii definiował jako „rozpoznanie równych praw i godności jednostek” (Adler, 1961, s. 691). W zgodzie z tym tokiem myślenia zidentyfikował trzy podstawowe zadania społeczne, które stoją przed każdym człowiekiem: zawodowe (kariera, praca), społeczne (przyjaźnie) i uczuciowe (znalezienie partnera odpowiedniego do długotrwałej relacji opartej na miłości). W przeciwieństwie do Freuda, który koncentrował się na seksualnych motywach ludzkiego działania, Adler w rozwoju człowieka podkreślał potrzeby społeczne, jak również raczej świadomą niż nieświadomą motywację, gdyż te trzy wymienione powyżej zadania są powszechnie znane i realizowane przez ogół ludzi. Nie oznacza to oczywiście, że całkowicie odrzucał istnienie procesów nieświadomych, po prostu świadomość działań była wiodącym czynnikiem jego koncepcji. Znacznym wkładem Adlera do teorii osobowości była jego koncepcja kolejności narodzin . Zasugerował, że najstarsze dzieci w rodzinie, które po początkowym okresie niepodzielnej uwagi rodziców muszą się nią podzielić z młodszym rodzeństwem, kompensują jej brak, kładąc nadmierny nacisk na osiągnięcia i perfekcję. Najmłodsze dzieci natomiast często są rozpieszczone, a środkowe dostają okazję do minimalizowania negatywnej dynamiki zachodzącej między najstarszymi i najmłodszymi. Pomimo ogromnej popularności, jaką cieszy się koncepcja kolejności urodzenia Adlera, badania nie potwierdzają zasadności tej hipotezy. Koncepcja kolejności narodzin Adlera, to hipoteza bardzo znana lecz niepotwierdzona badaniami. Kliknij w ten link i zapoznaj się z jej krótkim podsumowaniem. Erik Erikson Erik Erikson (1902-1994) poznał córkę Freuda, Annę Freud , gdy zrezygnował ze studiów w akademii sztuk pięknych. To właśnie ona zachęciła go do pójścia w kierunku psychologii. Erikson w 1933 roku uzyskał dyplom Wiedeńskiego Instytutu Psychoanalitycznego i, pod wpływem nasilającego się w Europie nazizmu, w tym samym roku wyemigrował do Stanów Zjednoczonych. W późniejszym okresie swojej kariery – co już wiesz z rozdziału Co to jest psychologia rozwojowa? – Erikson zaproponował teorię psychologiczną, według której osobowość jednostki rozwija się przez całe jej życie, a nie jak twierdził Freud, tylko w dzieciństwie. W swoim podejściu podkreślał wagę relacji społecznych istotnych w każdym okresie rozwoju i, podobnie jak inni neofreudyści, traktował popędy seksualne jako mniej istotne. Zidentyfikował osiem etapów rozwoju i zachodzące na nich konflikty lub zadania rozwojowe ( ). Rozwój zdrowej osobowości oraz poczucie kompetencji zależy wg niego od pomyślnego ukończenia wszystkich etapów. Etapy rozwoju psychospołecznego według Erika Eriksona. Etap Wiek (lata) Zadanie rozwojowe Opis 1 0–1 bazalne zaufanie vs brak bazalnego zaufania bazalne zaufanie (lub jego brak) w to, że podstawowe potrzeby, takie jak zapewnienie pokarmu i troska, zostaną zaspokojone 2 1–3 autonomia vs wstyd/zwątpienie rozwój poczucia niezależności w wielu działaniach 3 3–6 inicjatywa vs poczucie winy podejmowanie inicjatywy w niektórych działaniach – może skutkować poczuciem winy, jeśli inicjatywy nie są uznane przez opiekunów lub gdy granice w ich podejmowaniu zostają przekroczone 4 7–11 produktywność vs poczucie niższości rozwój wiary w swoje możliwości (w przypadku osiągnięcia kompetencji i odniesienia sukcesów) lub poczucia niższości (w przypadku braku kompetencji i przeżywania porażek) 5 12–18 tożsamość vs dyfuzja ról poszukiwanie i rozwój własnej tożsamości 6 19–39 intymność vs izolacja nawiązanie intymnych relacji z innymi (z partnerami seksualnymi oraz z przyjaciółmi) 7 40–64 kreatywność vs stagnacja wkład w społeczeństwo i bycie członkiem rodziny 8 65– integralność ego vs rozpacz podsumowanie swojego życia, zrozumienie jego sensu i ocena własnej drogi życiowej. Carl Gustav Jung Carl Gustav Jung (1875-1961) był szwajcarskim psychiatrą i protegowanym Freuda, twórcą teorii, którą sam nazwał psychologią analityczną (ang. analytical psychology ). Koncentruje się ona na równoważeniu przeciwstawnych sił: nieświadomych i świadomych myśli i doświadczeń. Według Junga dojrzały człowiek nieprzerwanie uczy się, jak stawać się świadomym nieświadomych elementów psyche i integrować je ze świadomością. Proces ten zachodzi głównie w drugiej połowie życia. Carla G. Junga interesowało odkrywanie zbiorowej nieświadomości. Rozstanie Junga z Freudem spowodowane było brakiem zgody w dwóch kwestiach. Po pierwsze, podobnie jak Adler i Erikson, Jung nie uważał popędów seksualnych za główne źródło motywacji zachowań jednostki. Po drugie, choć zgadzał się z Freudem w kwestii istnienia indywidualnej nieświadomości, uważał, że istnieje również zbiorowa nieświadomość i nią przede wszystkim się zajmował. Zbiorowa nieświadomość (ang. collective unconsciousness ) to uniwersalna wersja indywidualnej nieświadomości, zawierająca wzorce psychiczne lub ślady pamięciowe wspólne wszystkim ludziom (Jung, 1928). Tego rodzaju symboliczne motywy, które Jung nazwał archetypami (ang. archetypes ), pojawiają się jako uniwersalne wątki w różnych kulturach: w literaturze, sztuce i marzeniach sennych (Jung, 1928). Według Junga odzwierciedlały one wspólne dla wszystkich ludzi doświadczenia, takie jak mierzenie się ze śmiercią, stawanie się niezależnym czy podążanie ku mistrzostwu. Jung (1964) uważał, że każdy człowiek dzięki biologii dysponuje tymi samymi motywami, a w folklorze i bajkach każdej kultury świata obecne są te same typy symboli, np.: bohater, dziewica, mędrzec, błazen. Dla Junga integracja nieświadomych aspektów archetypicznych jest częścią procesu indywiduacji występującego w drugiej połowie życia. Zainteresowanie tematem indywiduacji niezaprzeczalnie stawiało Junga w roli antagonisty Freuda i jego przekonania o tym, że osobowość kształtuje się tylko i wyłącznie pod wpływem zdarzeń z przeszłości. Junga można zatem traktować jako prekursora ruchu humanistycznego, dla którego tak ważna była indywiduacja i orientowanie się ku przyszłości. Czy archetypy są uwarunkowane genetycznie? Jung porównywał ludzkie reakcje na archetypy do instynktownych reakcji zwierząt. Nie istnieją jednak dowody na biologiczne pochodzenie archetypów, które skłaniałyby naukowców do zaklasyfikowania ich do kategorii podobnej do zwierzęcych reakcji instynktownych (Roesler, 2012). Od czasu sformułowania tej koncepcji upłynęło około 100 lat i nastąpił ogromny postęp w genetyce. Badacze odkryli, że dzieci rodzą się z pewnymi umiejętnościami, między innymi zdolnością do przyswajania języków, sprawdzili też, że symboliczne informacje (jak archetypy) nie są zakodowane w genomie, a dzieci nie potrafią odczytywać przekazów symbolicznych. Te odkrycia skłaniają naukowców do odrzucenia koncepcji biologicznego pochodzenia archetypów. Badania wskazują też, że archetypy pochodzą bezpośrednio z naszego doświadczenia i odzwierciedlają cechy lingwistyczne i kulturowe (Young-Eisendrath, 1995). Zdaniem współczesnych jungistów na zbiorową nieświadomość oraz archetypy wpływ mają czynniki wrodzone i środowiskowe, źródłem sporu jest natomiast rola i stopień oddziaływania różnych typów tych czynników (Sotirova-Kohli et al. 2013). Jung postulował również, że ludzie demonstrują dwa podejścia do życia: ekstrawersję lub introwersję (Jung, 1923) ( ). Ta koncepcja uważana jest za najważniejszy wkład Junga do psychologii osobowości, gdyż korzystają z niej prawie wszystkie modele opisujące osobowość. Jeśli jesteś ekstrawertykiem, energii dodaje ci przebywanie z ludźmi. Lubisz spędzać czas w ich towarzystwie i ci to służy. Jeśli jesteś introwertykiem, z dużym prawdopodobieństwem, że jesteś osobą cichą i wycofaną, choć nie wyklucza to przyjaźni; jednak energię czerpiesz z własnej wewnętrznej aktywności psychicznej. Zdaniem Junga naszym celem jest samorealizacja, będąca poszukiwaniem równowagi między ekstrawersją i introwersją. Typowe zachowania introwertyków i ekstrawertyków. Introwertycy Ekstrawertycy Energii dodaje im przebywanie w samotności. Energii dodaje im przebywanie z innymi. Unikają uwagi. Poszukują uwagi. Mówią powoli i cicho. Mówią szybko i głośno. Myślą, zanim coś powiedzą. Myślą na głos. Trzymają się jednego tematu. Przeskakują z tematu na temat. Wolą komunikację na piśmie. Wolą komunikować się ustnie. Z łatwością utrzymują koncentrację. Łatwo się dekoncentrują. Są ostrożni. Najpierw działają, potem myślą. Jung zaproponował też koncepcję persony, czyli maski, jaką przybieramy na użytek społeczny. Świadomie tworzymy personę na podstawie doświadczeń świadomych i informacji zawartych w zbiorowej nieświadomości. Czemu służy persona? Według Junga jest to kompromis pomiędzy tym, kim naprawdę jesteśmy (naszym prawdziwym Ja) a tym, czego oczekuje od nas społeczeństwo. Ukrywamy przed nim te obszary nas samych, które nie spełniają oczekiwań społecznych. Koncepcja Junga dotycząca ekstrawersji i introwersji stanowi fundament jednego z narzędzi oceny osobowości, jakim jest skala Myers-Briggs (Myers-Briggs Type Indicator, MBTI). Dzięki kwestionariuszowi można poznać swój stopień ekstrawersji i introwersji, myślenia i odczuwania, intuicji i poznania, osądzania i obserwacji. Na tej stronie znajdziesz zmodyfikowany test opierający się na na MBTI. Cechy te również mają swą reprezentację w innych znanych kwestionariuszach osobowości, takich jak EPQ-R Hansa J. Eysencka (1985) oraz model Wielkiej Piątki Costa i McCrae (1992); link do artykułu omawiającego model. Karen Horney Karen Horney (1885-1952) była jedną z pierwszych kobiet, które studiowały psychoanalizę i pracowały tą metodą z pacjentami. Podczas wielkiego kryzysu gospodarczego na przełomie lat 20. i 30. XX wieku Horney wyemigrowała z Niemiec do Stanów Zjednoczonych i zaczęła odchodzić od nauk Freuda. Podobnie jak Jung uważała, że każda jednostka ma potencjał samorealizacji, zatem celem psychoanalizy nie powinno być odkrywanie dysfunkcyjnych wzorców pochodzących z wczesnego dzieciństwa, lecz pomaganie ludziom w podróży w stronę zdrowego Ja. Horney kwestionowała również sugerowaną przez Freuda dziewczęcą zazdrość o penisa oraz inne męskie cechy fizyczne. Jej zdaniem każda zazdrość ma uwarunkowania kulturowe związane z większymi przywilejami, którymi zwykle cieszą się w społeczeństwie mężczyźni, co powoduje, że różnice pomiędzy osobowościami mężczyzn i kobiet wynikają z realiów kulturowych, a nie biologicznych. Sugerowała istnienie po stronie mężczyzn zazdrości o macicę, rozumianą jako zazdrość o możliwość wydania na świat potomstwa. Teorie Horney skupiały się na temacie nieświadomego lęku. Twierdziła, że prawidłowy rozwój może zostać zablokowany przez tak zwany lęk podstawowy wynikający z niezaspokojonych potrzeb, takich jak dziecięce doświadczenia osamotnienia lub izolacji. W jaki sposób dzieci uczą się radzić sobie z tym lękiem? Horney zaproponowała trzy style radzenia sobie z nim: „ku”, „od” i „przeciwko” ( ). Styl „ku” polega na zabieganiu o pochwały i uzależnianiu się od innych. Dzieci stosujące ten styl stają się zależne od rodziców oraz innych opiekunów i robią wszystko, by zmniejszyć lęk poprzez pozyskanie ich uwagi i miłości (Burger, 2008). Kiedy dorastają, skłonne są wykorzystywać tę samą strategię w bliskich relacjach, wyrażając intensywną potrzebę miłości i akceptacji (Burger, 2008). Styl „przeciwko” opiera się na agresji i asertywności. Dzieci posługujące się tym stylem są przekonane, że walka jest najlepszym sposobem radzenia sobie z niekorzystną sytuacją w domu, a uczucie niepewności w środowisku rówieśniczym zagłuszają, napastując lub zastraszając inne dzieci (Burger, 2008). W dorosłym życiu te osoby w relacjach używają raniących słów i komentarzy, i wykorzystują innych (Burger, 2008). W stylu „od” strategia polega w dużej mierze na utrzymywaniu dystansu i izolowaniu się. Lęk zwalczany jest za pomocą wycofania się ze świata. Takie dzieci potrzebują dużo prywatności i wydają się samowystarczalne. Kiedy dorastają nadal unikają miłości i przyjaźni i wybierają ścieżki kariery niewymagające nadmiernych interakcji z innymi (Burger, 2008). Style radzenia sobie według Karen Horney. Styl Opis Przykład „ku” zależność i przynależność dziecko poszukujące pozytywnej uwagi i miłości od rodzica; dorosły potrzebujący miłości „przeciwko” agresja i manipulacja dziecko walczące lub zastraszające inne dzieci; dorosły szorstki, nieuprzejmy, słownie raniący innych i ich wykorzystujący „od” dystans i izolacja dziecko wycofane i wyizolowane; dorosły samotnik Horney uważała, że trzy powyższe style pokazują sposoby, za pomocą których standardowo radzimy sobie z codziennymi problemami. Jeśli korzystamy z nich w sposób nieelastyczny i kompulsywny, mogą się stać strategiami neurotycznymi i doprowadzić do naszej alienacji ze społeczeństwa. Summary Neofreudyści to grupa psychologów, których prace opierały się na koncepcjach Zygmunta Freuda. Zgadzali się z nim, że w rozwoju osobowości liczą się doświadczenia z dzieciństwa, lecz minimalizowali wagę seksualności, koncentrowali się za to na wpływie środowiska i czynników kulturowych. Do wybitnych neofreudystów należą m.in. Alfred Adler, Carl Gustav Jung, Erik Erikson i Karen Horney. Ich koncepcje są obecnie poddawane ostrej krytyce, gdyż pochodzą bardziej z dziedziny filozofii niż twardych badań naukowych. Na przykład wnioski Junga dotyczące istnienia zbiorowej nieświadomości bazują na mitologii, legendach, marzeniach sennych i sztuce. Ponadto, podobnie jak Freud w przypadku teorii psychoanalitycznej, tak i freudyści budowali swoje teorie osobowości w oparciu o informacje kliniczne pochodzące od ich własnych pacjentów – co sprawia, że nie bazowali na obiektywnych danych. Review Questions Powszechne repozytorium obrazów, koncepcji i pomysłów dziedziczonych z pokolenia na pokolenie nazywa się ________. archetypami intuicją zbiorową nieświadomością typami osobowości C Critical Thinking Questions Opisz różnicę pomiędzy ekstrawertykami a introwertykami w kontekście interakcji międzyludzkich. Ekstrawertycy czerpią energię z relacji z innymi ludźmi, natomiast introwertycy ładują baterie w kontakcie z samymi sobą. Opisz podejście Karen Horney do koncepcji zazdrości o penisa stworzonej przez Freuda. Horney nie podzielała poglądu Freuda, jakoby kobiety odczuwały zazdrość o penisa oraz inne typowo męskie cechy fizyczne. Uważała, że zazdrość ma raczej podłoże kulturowe ze względu na większe przywileje, jakimi cieszyła się męska część społeczeństwa, a różnice między kobiecymi a męskimi osobowościami wynikają nie z biologii, lecz uwarunkowań społecznych. Sugerowała też istnienie po stronie mężczyzn zazdrości o macicę i możliwość wydawania na świat potomstwa. Personal Application Questions Czy zgadzasz się z opisem swojej osobowości zgodnie z teorią kolejności urodzenia Adlera opisaną tutaj ? Podaj przykłady za i/lub przeciw. Czy postrzegasz siebie jako ekstrawertyka, czy jako introwertyka? Czy to zależy od sytuacji? Podaj przykłady ilustrujące twoją odpowiedź. Wybierz historię/opowieść, która cieszy się popularnością, np. Harry Potter lub Gwiezdne Wojny. Wyjaśnij ją, posługując się jungowską koncepcją archetypów. psychologia analityczna (ang. analytical psychology ) teoria Junga skupiająca się na równowadze przeciwnych sił w obrębie osobowości jednostki oraz na znaczeniu nieświadomości zbiorowej archetyp (ang. archetype ) w teorii C.G. Junga wzorzec istniejący w nieświadomości zbiorowej, wspólny dla kultur i społeczeństw nieświadomość zbiorowa (ang. collective unconsciousness ) popularne trendy psychologiczne przekazywane z pokolenia na pokolenie psychologia indywidualna ( adleryzm ) (ang. individual psychology ) szkoła psychologii założona przez Adlera, skupiająca się na ludzkim popędzie do kompensacji poczucia niższości kompleks niższości (ang. inferiority complex ) jednostka ma poczucie, że nie jest nic warta i nie może się równać z innymi ani ze standardami przyjętymi w danej społeczności", "section": "Neofreudyści: Adler, Erikson, Jung i Horney", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Podejście poznawcze Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Scharakteryzować podejście behawiorysty do osobowości Scharakteryzować poznawcze spojrzenie na osobowość Omówić społeczne poznawcze spojrzenie na osobowość W przeciwieństwie do podejścia psychodynamicznego proponowanego przez Freuda i neofreudystów, gdzie osobowość rozumiana jest przede wszystkim jako ukryte procesy wewnętrzne, podejścia bazujące na uczeniu się, koncentrują się na możliwym do zaobserwowania zachowaniu i na mierzalnych zjawiskach, które można badać metodami naukowymi. Podejście behawioralne Behawioryści nie uznają biologicznego determinizmu. Według nich cechy osobowości nie są wrodzone, lecz kształtują się pod wpływem wzmocnień i sygnałów płynących ze środowiska. Zachowania ludzi są spójne i uzależnione od tego, czego się wcześniej nauczyli. Burrhus Frederic Skinner (1904-1990) był rygorystycznym behawiorystą, gdyż uważał, że za całość ludzkiego zachowania – również za trwałe i systematyczne wzorce zachowania badane przez teoretyków osobowości – odpowiada środowisko. Jak zapewne pamiętasz z podrozdziału Warunkowanie sprawcze , wg B.F. Skinnera ludzie przejawiają spójne wzorce zachowań, ponieważ wykazują skłonność do uczenia się określonych reakcji (Skinner, 1953). Innymi słowy, uczymy się naszych zachowań. Zachowania, które prowadzą do korzystnych konsekwencji, podejmujemy częściej, rzadziej natomiast przejawiamy zachowania mające następstwa negatywne. Skinner uważał, że osobowość rozwija się przez całe życie, ponieważ nasze reakcje zmieniają się w zależności od pojawiających się okoliczności. Rozważmy przykład młodej kobiety Grety, która uwielbia ryzyko. Szybko jeździ samochodem, uprawia ryzykowne sporty takie jak paralotniarstwo i nurkowanie głębinowe. Kobieta zmienia swoje zachowanie po wyjściu za mąż i urodzeniu dzieci, ponieważ zmianie ulega system wzmocnień i kar w jej środowisku. Nadmierna szybkość jazdy i sporty ekstremalne nie są już wzmacniane, zatem Greta przestaje się w nie angażować, a nawet sama zaczyna siebie opisywać jako osobę roztropną i rozważną. Podejście społeczno-poznawcze Albert Bandura (ur. 1925) zgadzał się ze Skinnerem co do tego, że osobowość rozwija się poprzez uczenie się (ang. learning ), lecz odrzucał jego rygorystycznie behawioralne podejście, gdyż za kluczowe w uczeniu się uważał myślenie i wyciąganie wniosków. Stworzył społeczno-poznawczą teorię osobowości (ang. social-cognitive theory ), która różnic indywidualnych w osobowości upatruje w sposobach uczenia się i poznawania świata. Jej ważnymi, powiązanymi ze sobą elementami są: wzajemny determinizm, uczenie się poprzez obserwację oraz poczucie własnej sprawczości. Wzajemny determinizm W przeciwieństwie do postulatu Skinnera, by za jedyny czynnik determinujący zachowanie uznać środowisko zewnętrzne, Bandura (1990) zaproponował koncepcję wzajemnego determinizmu (ang. reciprocal determinism ), w którym procesy poznawcze, zachowanie i ich kontekst, wzajemnie na siebie wpływają ( ). Termin procesy poznawcze odnosi się w tym modelu do wszystkiego, co zostało wcześniej przyswojone: przekonań, oczekiwań oraz cech osobowości. Zachowanie oznacza wszystko, co robimy, za co możemy zostać nagrodzeni lub ukarani, a kontekst sytuacyjny to po prostu środowisko lub sytuacja, łącznie z nagradzającymi lub karzącymi bodźcami. Koncepcja wzajemnego determinizmu wg Bandury: zachowanie, procesy poznawcze oraz kontekst sytuacyjny wpływają na siebie nawzajem. Wyobraźmy sobie na przykład, że jesteś w wesołym miasteczku, w którym jedną z atrakcji jest bungee jumping. Czy zdecydujesz się skoczyć z mostu z elastyczną liną przymocowaną do nóg? W tym przykładzie zachowanie to skok na linie. Do procesów poznawczych mających wpływ na zachowanie można zaliczyć twoje przekonania i wartości oraz wcześniejsze doświadczenia z podobnymi zachowaniami. Kontekst zaś to struktura wzmocnień. Zgodnie z modelem wzajemnego determinizmu w tej sytuacji działają wszystkie te czynniki. Uczenie się poprzez obserwację Głównym wkładem Bandury do teorii uczenia się była koncepcja mówiąca o tym, że uczymy się niejako z drugiej ręki, bo podglądając zachowania innych oraz wynikające z tych zachowań konsekwencje. Bandura nazwał to uczeniem się przez obserwację (ang. observational learning ). Uważał, że ma ono wpływ na kształtowanie się osobowości. Uczymy się nie tylko pojedynczych zachowań, lecz również wzorców zachowań obserwowanych u innych osób. Opierając się na behawioralnej koncepcji wzmocnienia, Bandura zasugerował, że decyzja dotycząca naśladowania zachowania modelu zależy od tego, czy konsekwencją zachowania modelu będzie wzmocnienie, czy kara. W ten sposób dowiadujemy się, które zachowania są akceptowane i nagradzane w danej kulturze, a które odrzucane lub uznawane za anormalne, toteż karane. W teorii uczenia się przez obserwację wyraźnie widoczne są założenia wzajemnego determinizmu. Czynniki osobiste determinują wybór zachowań w środowisku, które decydujemy się naśladować. Z kolei wydarzenia pochodzące ze środowiska są przetwarzane poznawczo zgodnie z innymi czynnikami osobistymi. Jeśli dla jednostki znajdowanie się w centrum uwagi jest wzmocnieniem, będzie ona chętniej naśladować np. błazenadę, jeśli takie zachowanie modela doprowadziło do wzmocnienia. Inna osoba może postrzegać błazenadę negatywnie, mimo zainteresowania, które to zachowanie wzbudza, albo dlatego, że znajdowanie się w centrum zainteresowania jest dla niej niepożądane (np. postrzega je w kategoriach bycia poddanym wzmożonej kontroli). W tym przypadku niezależnie od powodu naśladownictwo zachowania (błazenady) jest mało prawdopodobne. Poczucie sprawstwa Bandura (1977, 1995) studiował wiele czynników poznawczych i osobistych, które mają wpływ na uczenie się i rozwój osobowości, a w ostatnim czasie koncentrował się na poczuciu własnej skuteczności. Przekonanie o własnej skuteczności (ang. self-efficacy ) to poziom zaufania do własnych umiejętności, rozwijany w oparciu o doświadczenia społeczne. Poczucie sprawstwa przekłada się na to, jak podchodzimy do wyzwań i realizowania celów. W uczeniu się przez obserwację przekonanie o własnej skuteczności jest czynnikiem poznawczym. Wpływa on na dobór zachowań, które decydujemy się naśladować, oraz na końcowy efekt naszych działań. Osoby o wysokim poczuciu własnej skuteczności postrzegają cele jako osiągalne, w pozytywny sposób podchodzą do wyzwań, traktując je po prostu jako zadania o wyższym poziomie trudności, mocno angażują się w wykonywane czynności i szybko podnoszą się po porażkach. Natomiast osoby o niskim poczuciu własnej skuteczności działania unikają zadań, które stanowią dla nich wyzwanie, ponieważ wątpią w możliwość odniesienia sukcesu, mają tendencję do koncentrowania się na porażkach i problemach, a w obliczu niepowodzenia tracą przekonanie co do swoich możliwości. Poczucie własnej skuteczności może się wiązać z konkretnymi sytuacjami: ktoś na przykład może być pewny swoich umiejętności na zajęciach z języka polskiego, a niekoniecznie z matematyki. Julian Rotter i umiejscowienie kontroli Julian Rotter (1916-2014) zaproponował koncepcję umiejscowienia kontroli, wprowadzając do rozważań kolejny czynnik poznawczy mający wpływ na uczenie się i rozwój osobowości. Podczas gdy poczucie własnej skuteczności odnosi się do wiary we własne umiejętności, poczucie umiejscowienia kontroli (ang. locus of control ) odzwierciedla przekonania dotyczące kontroli nad własnym życiem. Zdaniem Rottera ludzie mają wewnętrzne lub zewnętrzne umiejscowienie kontroli ( ). Jednostki z wewnętrznym umiejscowieniem kontroli wierzą, że to, co się im przytrafia, jest bezpośrednim wynikiem ich wysiłków i działań. Podmioty z zewnętrznym umiejscowieniem kontroli są przekonane, że zależą od tego, co jest poza ich kontrolą: od innych ludzi, szczęścia lub losu. Powiedzmy, że wybierasz wyjście na obiad z przyjaciółmi zamiast uczenia się do kolokwium z psychologii. Kolokwium oblewasz. Jeśli masz wewnętrzne umiejscowienie kontroli, prawdopodobnie przyznasz, że powodem negatywnej oceny był po prostu brak przygotowania i postanawiasz przyłożyć się do nauki. Jeśli natomiast masz zewnętrzne umiejscowienie kontroli, możesz dojść do wniosku, że test był zbyt trudny i że nie warto się uczyć do kolejnego, bo i tak go oblejesz. Badacze odkryli, że ludzie z wewnętrznym umiejscowieniem kontroli mają lepsze wyniki w nauce, osiągają więcej w pracy, są bardziej niezależni, zdrowsi, łatwiej radzą sobie w życiu i rzadziej cierpią na depresję niż osoby z zewnętrznym umiejscowieniem kontroli (Benassi, Sweeney i Dufour, 1988; Lefcourt, 1982; Maltby, Day i Macaskill, 2007; Whyte, 1977, 1978, 1980). Umiejscowienie kontroli zachodzi na kontinuum, od wewnętrznego do zewnętrznego. Walter Mischel i spór: osoba czy sytuacja Walter Mischel (1930-2018) był uczniem Juliana Rottera i przez wiele lat wykładał na uniwersytecie Stanforda, gdzie pracował również Albert Bandura. Mischel prowadził analizę empirycznej literatury psychologicznej z kilku dekad dotyczącej przewidywania zachowań na podstawie cech charakterologicznych. Wnioski, które wysnuł, zatrzęsły posadami psychologii osobowości. Odkrył, że badania nie potwierdzają głównego założenia, jakoby zachowania jednostki – wynikające przecież z jej trwałych cech osobowości – były zawsze spójne, niezależnie od sytuacji. Jego raport wywołał w środowisku psychologów zajmujących się osobowością trwający kilkadziesiąt lat spór, czy zachowania ludzi zależą od stałych i trwałych cech, czy raczej dyktowane są warunkami sytuacyjnymi. Zasugerował, że być może szukamy stałości i spójności w nieodpowiednich miejscach. Odkrył, że choć zachowanie ludzi nie jest stałe w różnych sytuacjach, jest stałe w ramach klas sytuacji, co oznacza, że zachowanie jednostki będzie podobne w analogicznych sytuacjach. Za chwilę, czytając o jego słynnym już teście pianki, odkryjesz również stałość zachowania w podobnych sytuacjach nawet po upływie dłuższego czasu. Jednym z najważniejszych dokonań Mischela w dziedzinie psychologii osobowości były jego koncepcje dotyczące samoregulacji . Według Lena Lecciego i Jeffreya Magnavity (2013) samoregulacja jest procesem identyfikowania celu lub zestawu celów i dążenia do ich osiągnięcia, dzięki informacji zwrotnej zarówno wewnętrznej (np. myśli i uczuć), jak i zewnętrznej (np. reakcji osób lub przedmiotów znajdujących się w środowisku). Samoregulacja zwana jest również silną wolą , którą często rozumie się jako zdolność do odraczania gratyfikacji. Oto przykład: nastoletnia córka Agaty upiekła smakowicie wyglądające minibabeczki z truskawką. Agata nie dała się skusić na więcej niż jedną, ponieważ trenuje do biegu na pięć kilometrów i chce być w dobrej formie. Czy jesteś w stanie oprzeć się małej nagrodzie teraz, by uzyskać większą potem? Na to właśnie pytanie szukał odpowiedzi Mischel, przeprowadzając słynny dziś test pianki marshmallow (ang. marshmallow test ). Mischel opracował ten test, aby zbadać samoregulację u małych dzieci. Wraz ze współpracownikami umieszczali przedszkolaka w pokoju, w którym na stole leżał talerzyk ze słodką pianką cukrową. Dziecku mówiono, że może zjeść piankę od razu lub poczekać, aż dorosły wróci do pokoju, i dostać kolejną. Jeśli dziecko zaczeka, będzie mogło zjeść dwie pianki zamiast jednej (Mischel, Ebbesen i Raskoff, 1972). Badanie przeprowadzono na grupie kilkuset przedszkolaków i okazało się, że stopień samokontroli u małych dzieci jest różny. Po kilkunastu latach, gdy dzieci biorące udział w teście osiągnęły wiek licealny, Mischel rozesłał do ich rodziców kwestionariusze, by dowiedzieć się, jak radzą sobie w życiu. Dzieci o większej samoregulacji w wieku przedszkolnym (te, które czekały na powrót dorosłego, by dostać dwie pianki) miały wyższe wyniki w teście SAT (polski odpowiednik matury), lepsze relacje z rówieśnikami i raczej nie nadużywały substancji psychoaktywnych, a jako dorośli wchodziły w bardziej stabilne związki (Mischel, Shoda i Rodriguez, 1989; Mischel i in., 2010). Natomiast dzieciom o mniejszej samokontroli w wieku przedszkolnym, czyli tym, które od razu zjadały słodką piankę, w liceum wiodło się gorzej: sprawiały problemy i w obszarze nauki, i zachowania. Nowsze badanie na większej i bardziej reprezentatywnej próbie (Watts, Duncan i Quan, 2018) wykazało powiązanie między zdolnością do zastosowania opóźnionej gratyfikacji w dzieciństwie z pomiarem osiągnięć w dorosłości. Jednak badacze wykazali także, że powiązanie nie było aż tak silne, jak to wynikało z badania Mischela, oraz że odznaczało się dużą podatnością na czynniki sytuacyjne, m.in. sytuację rodzinną i środowisko. Wyniki badania sugerują, że dzięki włączeniu czynników sytuacyjnych możliwe będzie lepsze poznanie wzorców zachowań. Aby dowiedzieć się więcej na temat testu pianki marshmallow i obejrzeć badanie przeprowadzone z udziałem dzieci w Kolumbii, obejrzyj wystąpienie Joachima de Posada w TEDTalks . Dziś, chcąc zrozumieć zachowania człowieka, większość psychologów bierze pod uwagę zarówno okoliczności, jak i predyspozycje osobiste. Według Mischela (1993) ludzie są istotami przetwarzającymi sytuacje. Dzieci w teście pianki przetwarzały lub interpretowały strukturę nagród w danej sytuacji w sposób bardzo indywidualny. W swoim podejściu do osobowości Mischel podkreśla wagę zarówno sytuacji, jak i postrzegania jej przez jednostkę. Sytuacje nie determinują zachowania ludzi. Jest ono wynikiem interpretacji sytuacji dokonanej za pomocą procesów poznawczych. Summary Według teoretyków behawioralnych na kształt osobowości wpływają wzmocnienia i konsekwencje pojawiające się pod wpływem zachowań w środowisku zewnętrznym. Ludzie zachowują się w sposób spójny, wynikający z tego, czego się wcześniej nauczyli. Wybitny behawiorysta Burrhus Frederic Skinner uważał, że jednostki wykazują się spójnymi wzorcami zachowań, ponieważ rozwinęły skłonności do określonych reakcji. Walter Mischel koncentrował się na wpływie osobistych celów na proces samoregulacji. Albert Bandura mówił, że środowisko jednostki może determinować jej zachowanie, ale i sama jednostka może jednocześnie wpływać na środowisko swoimi myślami i czynami, co nazywa się wzajemnym determinizmem. Podkreślał również wagę uczenia się przez obserwację innych. Uważał, że ten rodzaj uczenia się odgrywa rolę w procesie kształtowania się osobowości. Rozwijał też koncepcję poczucia własnej skuteczności, to jest wiary we własne umiejętności. Natomiast Julian Rotter wprowadził pojęcie poczucia umiejscowienia kontroli, które odnosi się do ludzkich przekonań na temat mocy sprawczej, jaką mają we własnym życiu. Jego zdaniem poczucie umiejscowienia kontroli rozciąga się na kontinuum od wewnętrznego do zewnętrznego. Review Questions Inna nazwa dla samoregulacji to ________. poczucie własnej skuteczności silna wola wewnętrzne umiejscowienie kontroli zewnętrzne umiejscowienie kontroli B Poziom wiary w swoje umiejętności nazywa się ________. poczuciem własnej skuteczności koncepcją Ja samokontrolą poczuciem własnej wartości A Jola uważa, że zła ocena z pracy pisemnej z psychologii to wynik niechęci pani profesor. Najprawdopodobniej Jola charakteryzuje się _______ umiejscowieniem kontroli. wewnętrznym zewnętrznym wrodzonym nabytym B Critical Thinking Questions Porównaj pod kątem osobowości osobę z wysokim poczuciem własnej skuteczności z osobą mającą niskie poczucie własnej skuteczności. Osoby, które mają wysokie poczucie własnej skuteczności, uważają, że ich wysiłki się liczą. Postrzegają cele jako będące w ich zasięgu, w pozytywny sposób podchodzą do wyzwań, traktując je po prostu jako zadania o wyższym poziomie trudności, mocno angażują się w wykonywane czynności i szybko podnoszą się po porażkach. Natomiast osoby o niskim poczuciu własnej skuteczności wierzą, że ich wysiłki nie przekładają się na rezultaty. Unikają zadań, które stanowią dla nich wyzwanie, ponieważ wątpią w możliwość odniesienia sukcesu, mają tendencję do koncentrowania się na porażkach i problemach, a w obliczu niepowodzenia tracą wiarę w swoje możliwości. Porównaj podejście do rozwoju osobowości Skinnera z podejściem Freuda. Skinner nie podzielał przekonania Freuda o wpływie dzieciństwa na kształtowanie się osobowości. Uważał, że osobowość rozwija się przez całe życie, a nie tylko w ciągu kilku jego pierwszych lat, a reakcje ludzi zmieniają się, gdy natrafiają na nowe sytuacje. Dlatego właśnie jego zdaniem osobowość zmienia się wraz z upływem czasu. Personal Application Questions Czy masz wewnętrzne, czy zewnętrzne umiejscowienie kontroli? Podaj przykłady na uzasadnienie swojej odpowiedzi. poczucie umiejscowienia kontroli (ang. locus of control ) wiara w kontrolę, jaką mamy nad własnym życiem; zewnętrzny punkt umiejscowienia kontroli to wiara, że efekty naszych działań są poza naszą kontrolą; zewnętrzny punkt umiejscowienia kontroli to wiara, że sami kontrolujemy efekty naszych działań determinizm dwustronny (ang. reciprocal determinism ) wiara, że środowisko jednostki może wpływać na jej zachowanie, ale że również ludzie mogą mieć wpływ na środowisko poprzez swoje myśli i zachowania poczucie własnej skuteczności (ang. self-efficacy ) poczucie wiary we własne możliwości teoria społecznego uczenia się (ang. social-cognitive theory ) teoria osobowości podkreślająca, że zarówno percepcja, jak i uczenie się są źródłem indywidualnych różnic ludzkich osobowości", "section": "Podejście poznawcze", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Podejścia humanistyczne Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić wkład Abrahama Maslowa i Carla Rogersa w rozwój osobowości Humanizm (ang. humanism ), zwany „trzecią siłą” w psychologii, jest odpowiedzą na pesymistyczny determinizm psychoanalizy, koncentrującej się głównie na zaburzeniach psychologicznych oraz na behawiorystyczne podejście do człowieka, zawężając postrzeganie go do istoty wyłącznie reagującej na sygnały otoczenia. Humaniści nie twierdzą, że behawioryzm i psychoanaliza są błędne. Według nich nie biorą one jednak pod uwagę głębi i znaczenia ludzkiego doświadczenia oraz nie zauważają wrodzonej zdolności istot ludzkich do inicjowania zmian we własnym rozwoju i transformacji osobistych doświadczeń. Humanistów interesuje zdrowy, wieloaspektowy rozwój człowieka. Jeden z pierwszych przedstawicieli tego podejścia, Abraham Maslow , badał ludzi twórczych i produktywnych, m.in. Alberta Einsteina, Eleanorę Roosevelt, Thomasa Jeffersona oraz Abrahama Lincolna. Odkrył (Maslow, 1950, 1970), że mają oni pewne cechy wspólne: są otwarci, kreatywni, kochający, spontaniczni, współczujący, troszczą się o innych i akceptują samych siebie. W podrozdziale Motywacja przedstawiliśmy jedną z najlepiej znanych teorii humanistycznych, czyli hierarchię potrzeb Maslowa. Mówi o tym, że ludzi łączą określone potrzeby, od najbardziej podstawowych, jak zaspokojenie potrzeb fizjologicznych ,po potrzebę dotyczącą samorealizacji, czyli osiągnięcie naszego najwyższego ludzkiego potencjału. Maslow odróżniał potrzeby, które motywują nas do działania w celu wypełnienia niedostatków oraz potrzeby, które inspirują nas do wzrastania. Wierzył, że źródłem wielu problemów emocjonalnych i behawioralnych jest brak zaspokojenia opisanych przez niego potrzeb. Innym teoretykiem tej dziedziny był Carl Rogers (1902-1987). Jedną z jego głównych koncepcji związanych z osobowością był obraz siebie (koncepcja samego siebie, Ja) (ang. self-concept ), czyli nasze myśli i uczucia wobec siebie, będące odpowiedzią na pytanie „kim jestem?”. Odpowiedź zwykle ujawnia sposób, w jaki podmiot się postrzega. Jeśli postrzeganie się ma wydźwięk pozytywny, pewnie jednostka czuje się ze sobą dobrze i postrzega świat jako bezpieczne i wspierające miejsce. Rogers podzielił też Ja na dwie kategorie: idealne i rzeczywiste. Ja idealne (ang. ideal self) to osoba, którą chcesz się stać, Ja realne (ang. real self ) to ktoś, kim faktycznie jesteś. Zdaniem Rogersa musimy osiągnąć zgodność pomiędzy obydwoma Ja. Doświadczamy zgodności (ang. congruence ), gdy nasze myśli o Ja realnym i Ja idealnym są podobne, innymi słowy - wtedy, kiedy nasz własny obraz Ja jest poprawny. Wysoka zgodność prowadzi do wyższego poczucia własnej wartości i zdrowszego, bardziej produktywnego życia. Dziecko osiąga większą zgodność, gdy rodzice dostarczają mu bezwarunkowej pozytywnej akceptacji lub bezwarunkowej miłości. Rogers (1980) pisał tak: „Gdy ludzie są akceptowani i doceniani, rozwijają wobec siebie nastawienie pełne troski” (s. 116). Jeśli jednak pomiędzy Ja idealnym a Ja realnym występuje duża niespójność, osoba doświadcza stanu, który Rogers nazwał brakiem zgodności (ang. incongruence ), który może prowadzić do zaburzeń. Zarówno teorie Rogersa, jak i Maslowa koncentrują się na wyborach jednostek i odrzucają deterministyczną rolę biologii człowieka. Summary Psychologowie reprezentujący podejście humanistyczne - Abraham Maslow i Carl Rogers - koncentrowali się na potencjale wzrostu zdrowych ludzi, gdyż uważali, że ludzie po prostu pragną osiągnąć samorealizację. Zarówno koncepcje jednego, jak i drugiego badacza przyczyniły się do lepszego zrozumienia Ja. Podkreślali oni wagę wolnej woli i samostanowienia, a także pragnienie każdego człowieka do stania się najlepszą możliwą wersją siebie. Review Questions Obraz ja to ________. poziom zaufania do własnych zdolności wszystkie myśli i uczucia osoby dotyczące jej samej przekonanie, że rezultaty naszych działań są pod naszą kontrolą przekonanie, że rezultaty naszych działań są poza naszą kontrolą B Koncepcja mówiąca o tym, że stosunek ludzi do samych siebie powinien być spójny z ich czynami, nazywa się ________. zbieżnością świadomością spójnością zgodnością D Personal Application Questions Odpowiedz na pytanie „kim jestem?”. Na podstawie tego, co powiesz, oceń, czy masz negatywny, czy pozytywny obraz siebie. Jakie doświadczenia na niego wpłynęły? spójność (ang. congruence ) stan, w którym obraz Ja idealnego jest bliski obrazowi ja realnego Ja idealne (ang. ideal self ) osoba, którą chcielibyśmy być niespójność (ang. incongruence ) stan, w którym nasz obraz ja idealnego bardzo różni się od ja realnego Ja realne (ang. real self ) osoba, którą w rzeczywistości jesteśmy obraz siebie (ang. self-concept ) nasze myśli i uczucia o nas samych", "section": "Podejścia humanistyczne", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Teorie cech Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić wczesne teorie cech Cattella i Eysencka Omówić czynniki Wielkiej Piątki i opisać osobę, która ma wysokie i niskie wyniki w każdym z pięciu czynników Zgodnie z teoriami cech (ang. trait theories ) na osobowość człowieka składają się cechy (ang. traits ) lub charakterystyczne sposoby zachowania. Czy jesteś raczej towarzyska, czy nieśmiała? Pasywny czy agresywny? Jesteś optymistą czy pesymistą? Masz zmienne nastroje, czy jesteś zrównoważona? Wcześni teoretycy starali się opisać wszystkie cechy osobowości. Według jednego z nich, Gordona Allporta (Allport i Odbert, 1936), w języku angielskim istnieją tysiące słów opisujących charakterystyczne cechy ludzi: talenty i zdolności, stany emocjonalne i zachowania. Allporta podzielił je na trzy kategorie: dominujące, centralne i wtórne. Cecha dominująca (ang. cardinal trait ) to taka, która w osobowości, a zatem i życiu wybija się na plan pierwszy: skąpstwo u Ebenezera Scrooge'a lub odwaga w przypadku Supermana. Cechy dominujące są niezwykle rzadkie – niewielka liczba ludzi ma osobowości zdominowane przez pojedynczą cechę. Zwykle na osobowość składa się wiele różnych cech. Cechy centralne (ang. central traits ) to ogólne cechy, które tworzą podstawę osobowości i w działaniu pojawiają się najczęściej (np. lojalność, życzliwość, zgodność, przyjacielskość, podejrzliwość, dzikość i zrzędliwość). Cechy wtórne (ang. secondary traits ) nie są ani tak oczywiste, ani tak spójne jak cechy centralne. Występują zwykle w określonych sytuacjach i opisują preferencje i postawy, na przykład złość w sytuacji, gdy jest się łaskotanym, spanie tylko na lewym boku lub zamawianie sałatki z sosem podanym osobno. Można też nie być osobą lękliwą, lecz czuć pewną nerwowość podczas publicznych wystąpień. Chcąc nieco ułatwić posługiwanie się listą cech, Raymond Cattell (1946, 1957) ograniczył ją do 171 pozycji. Opisywanie osobowości za pomocą cech nie polega jednak na ustaleniu, czy jednostka określoną cechę posiada, czy nie, bo takie proste kategoryzowanie nie odzwierciedliłoby unikatowości jednostki. Według Cattella osobowości ludzi składają się z tych samych cech, tylko w innym natężeniu. Cattell (1957) zidentyfikował 16 czynników lub wymiarów osobowości zdrowej: ciepło, rozumowanie, stabilność emocjonalną, agresywność, energiczność, poczucie obowiązku, społeczną śmiałość, wrażliwość, czujność, poziom abstrakcji, prywatność, niepokój, otwartość na zmiany, niezależność, perfekcjonizm i napięcie ( ). Na ich podstawie stworzył narzędzie do pomiaru osobowości, popularnie zwane kwestionariuszem 16PF (lub szesnastoczynnikowym kwestionariuszem osobowości). Tak jak wspomniano powyżej, za pomocą kwestionariusza nie ustala się zero-jedynkowo występowania konkretnej cechy, lecz mierzy się natężenie jej występowania na skali. Na przykład poziom ciepła pokazuje, jak bardzo troskliwie i życzliwie traktujesz innych. Jeśli na skali tej cechy uzyskasz niski wynik, w relacjach zachowujesz chłód i dystans. Wysoki wynik na tej skali powiązany jest z dawaniem wsparcia i pociechy innym. Czynniki osobowości mierzone za pomocą kwestionariusza 16PF. Czynnik Niski wynik Wysoki wynik A rezerwa serdeczność B konkretność w rozumowaniu abstrakcyjność w rozumowaniu C zmienność emocjonalna zrównoważenie emocjonalne E uległość dominacja F powaga żywość G brak przestrzegania norm przestrzeganie norm H nieśmiałość śmiałość I użyteczność wrażliwość L ufność czujność M konkretność w działaniu abstrakcyjność w działaniu N autentyczność skrytość O pewność siebie bojaźliwość Q 1 tradycyjność otwartość na zmiany Q 2 nastawienie na grupę w myśleniu i działaniu samodzielność w myśleniu i działaniu Q 3 tolerancja nieporządku perfekcyjność Q 4 odprężenie napięcie Wejdź w ten link , by wykonać ocenę osobowości bazującą na szesnastoczynnikowym kwestionariuszu Cattella i poznać dominujące cechy swojej osobowości. Psychologowie Sybil Eysneck (ur. 1927) i Hans Eysneck (1916-1997) ( ) byli teoretykami osobowości i koncentrowali się na wrodzonych cechach osobowości wynikających z uwarunkowań biologicznych, w tym genetycznych. Uważali, że osobowość w dużym stopniu wynika z biologii i ma dwa główne wymiary przedstawione na . Pierwszy wymiar mierzy m.in. potrzeby kontaktów społecznych jednostki, zawierające się między dwoma biegunami: ekstrawersją i introwersją. Drugi wymiar opisuje emocjonalność podmiotu, w kontinuum między neurotyzmem a stabilnością emocjonalną (Eysenck, 1990, 1992, Eysenck i Eysenck, 1963). Sybil i Hans Eysenckowie uważali, że cechy osobowości mają podłoże biologiczne i w dużym stopniu są dziedziczone (źródło: „Sirswindon\"/Wikimedia Commons). Zgodnie z ich teorią ludzie z wysokim wynikiem w kierunku ekstrawersji są towarzyscy, kontaktowi i chętni do nawiązywania relacji z innymi, natomiast osoby mające wysoki wynik w kierunku introwersji charakteryzują się większą potrzebą przebywania w samotności, angażowania się w czynności wykonywane samodzielnie i ograniczania interakcji międzyludzkich. W wymiarze neurotyzm–stabilność osoby z wysokim wynikiem w kierunku neurotyzmu mają skłonności do niepokoju, mają nadreaktywny współczulny układ nerwowy i nawet przy minimalnym poziomie stresu ich ciała i emocje szybko reagują walką lub ucieczką. W przeciwieństwie do nich, osoby z wysokim wynikiem w kierunku stabilności emocjonalnej do uruchomienia reakcji „walcz lub uciekaj” potrzebują znacznie silniejszej stymulacji. W oparciu o te dwa wymiary Eysenckowie stworzyli teorię dzielącą ludzi pod kątem osobowości na cztery kategorie (ćwiartki na wykresie). Do wyraźnego podobieństwa między tą teorią a opisywanymi wcześniej czterema humorami (melancholijnym, cholerycznym, flegmatycznym i sangwinicznym) Hipokratesa–Galena wrócimy w podrozdziale Temperament . Tamże pochylimy się również nad teoriami temperamentu, które bezpośrednio czerpią z podejścia Eysencków. Eysenckowie opisali dwa wymiary odpowiadające za zróżnicowanie osobowości: ekstrawersję – introwersję oraz neurotyzm – stabilność. Po pewnym czasie Eysenckowie dodali trzeci wymiar: psychotyzm (Eysenck, Eysenck i Barrett, 1985). Osoby z wysokim wynikiem w skali psychotyzmu są niezależnie myślącymi nonkonformistami. Są zimni, impulsywni, antyspołeczni i wrogo nastawieni. Natomiast osoby z niskim wynikiem w tej skali cechują się kontrolą impulsów – są altruistyczne, empatyczne, współpracujące i konwencjonalne (Eysenck, Eysenck i Barrett, 1985). Według jednych naukowców 16 czynników Cattella to zbyt dużo do opisu osobowości, a według innych trzy wymiary Eysencków to zbyt mało. Powstał w związku z tym pięcioczynnikowy model osobowości (PMO) (ang. Five Factor Model) , który plasuje się gdzieś między nimi. Współcześnie jest to najpopularniejsza teoria w obszarze psychologii osobowości i najtrafniejsza i najbardziej precyzyjna metoda opisu podstawowych wymiarów cech. Wspomniane pięć czynników, czyli tak zwana wielka piątka, to: otwartość na doświadczenie, ekstrawersja, sumienność (zwana też niezawodnością), ugodowość i neurotyzm (określany czasem jako emocjonalność) ( ). Aby zapamiętać te pięć czynników, można zastosować mnemotechniczny skrót (od nazw angielskich) OCEAN ( Openness, Conscientiousness, Extraversion, Agreeableness, Neuroticism ). W modelu pięcioczynnikowym, podobnie jak w modelach Cattella lub Eysencka, wszystkie cechy występują u każdego z nas, lecz w różnym natężeniu. Otwartość na doświadczenie charakteryzuje się wyobraźnią, uczuciami, działaniem i pomysłami. Osoby, które osiągają wysoki wynik na tej skali, zwykle są ciekawe świata i innych ludzi oraz mają wiele zainteresowań. Sumienność to: samodyscyplina, rozwaga i dążenie do celu. Osoby o wysokim wyniku na tej skali są pracowite i godne zaufania. W sporej liczbie badań pojawia się pozytywna korelacja między sumiennością i sukcesami w nauce (Akomolafe, 2013; Chamorro-Premuzic i Furnham, 2008, Conrad i Patry, 2012, Noftle i Robins, 2007, Wagerman i Funder, 2007). Ekstrawersję cechuje towarzyskość, asertywność, poszukiwanie pobudzenia i ekscytacji oraz ekspresja emocjonalna. Osoby, które osiągają na tej skali wysoki wynik, postrzegane są przez innych jako rozmowne, ciepłe i zainteresowane innymi. Wysokie wyniki zarówno w obszarze otwartości, jak i ekstrawersji, a co za tym idzie – ciekawość oraz potrzeba wrażeń – przekładają się na potrzebę wypraw w nieznane albo uprawianie sportów ekstremalnych (Tok, 2011). Czwarta cecha to ugodowość, czyli skłonność do bycia życzliwym i uprzejmym, współpracującym oraz rzetelnym. Osoby z niskim wynikiem na tej skali opisuje się często jako źle wychowane i niechętne do współpracy, choć jedno z ostatnich badań pokazało, że mężczyźni z niskim wynikiem ugodowości zarabiają więcej niż ci z wyższym wynikiem (Judge, Livingston i Hurst, 2012). Ostatnia cecha z wielkiej piątki to neurotyzm, czyli skłonność do doświadczania nieprzyjemnych emocji. Osoby z wysokim wynikiem na skali neurotyzmu częściej niż inne doświadczają negatywnych emocji i poczucia winy oraz opisywane są jako gniewne, impulsywne i wrogo nastawione. Watson i Clark (1984) odkryli, że wysoki poziom neurotyzmu często idzie w parze z podniesionym poziomem lęku i uczuciem bycia nieszczęśliwym. W przeciwieństwie do nich, osoby uzyskujące niski wynik na tej skali są raczej spokojne i zrównoważone emocjonalnie. W pięcioczynnikowym modelu osobowości każda cecha występuje u każdej osoby i oceniania jest na skali od wysokiego poziomu do niskiego. Każda cecha wielkiej piątki ma wymiar dwubiegunowy, czyli zawiera się między dwoma ekstremami. Większość ludzi plasuje się gdzieś pomiędzy tymi biegunami. Należy zaznaczyć, że choć postulowane cechy są względnie stałe w ciągu życia, podlegają minimalnym wahaniom. Badania pokazują, że sumienność wzrasta w okresie wczesnej i średniej dorosłości, gdy uczymy się lepiej zarządzać relacjami osobistymi i obszarem zawodowym (Donnellan i Lucas, 2008). Podobnie ugodowość, która najwyższa jest pomiędzy 50. a 70. rokiem życia (Terracciano, McCrae, Brant i Costa, 2005). Neurotyzm i ekstrawersja wraz z wiekiem nieco maleją (Donnellan i Lucas, 2008, Terracciano et al. 2005). Udowodniono, że cechy z wielkiej piątki występują bez względu na różnice etniczne, kulturowe oraz wiek i prawdopodobnie w dużej mierze mają podłoże biologiczne i genetyczne (Jang, Livesley i Vernon, 1996; Jang et al. 2006, McCrae i Costa, 1997; Schmitt et al. 2007). Summary Teorie cech osobowości starają się wyjaśnić ludzką osobowość poprzez identyfikowanie stabilnych i charakterystycznych cech i zachowań. Hołdujący im badacze zidentyfikowali ważne wymiary osobowości. Pięcioczynnikowy model osobowości jest najpowszechniej uznawaną i stosowaną teorią cech. Do tych pięciu czynników, które występują na skali, należą: otwartość, sumienność, ekstrawersja, ugodowość i neurotyzm. Review Questions Zgodnie z teorią Eysencków osoby, które osiągają wysoki wynik na skali neurotyzmu, cechują się ________. spokojem stabilnością towarzyskością lękliwością D Critical Thinking Questions Na ile stabilne są cechy wielkiej piątki w ciągu życia jednostki? Cechy wielkiej piątki są względnie stałe, choć występują niewielkie odchylenia w górę i w dół. Naukowcy odkryli, że sumienność wzrasta w okresie wczesnej i średniej dorosłości, kiedy rośnie umiejętność radzenia sobie z relacjami osobistymi i pracą. Ugodowość również zwiększa się wraz z wiekiem, osiągając swój szczyt pomiędzy 50. a 70. rokiem życia. Im natomiast jesteśmy starsi, neurotyzm i ekstrawersja maleją. Porównaj osobowość osób, z których jedna osiąga wysoki, a druga niski wynik na skali ugodowości. Osoba o wysokim wyniku jest raczej uprzejma, współpracująca, rzetelna i z natury miła. Osobę o wyniku niskim można by opisać jako kogoś, kto jest nieuprzejmy i niechętny do współpracy. Z taką osobą trudno jest się porozumieć i wspólnie działać. Personal Application Questions Przyjrzyj się cechom osobowości z wielkiej piątki opisanym na . Jak uważasz, w jakich obszarach możesz uzyskać wysoki wynik, a w jakich niski? pięcioczynnikowy model osobowości (PMO) (ang. Five Factor Model ) teoria, zgodnie z którą na osobowość składa się pięć cech: otwartość na doświadczenie, sumienność, ekstrawersja, ugodowość i neurotyzm cechy (ang. traits ) charakterystyczne wzorce zachowań", "section": "Teorie cech", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Socjobiologiczna koncepcja osobowości Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić wyniki badania przeprowadzonego w Minnesocie na temat bliźniąt wychowywanych oddzielnie pod kątem ich związku z osobowością i genetyką Omówić temperament i opisać trzy temperamenty niemowlęce zidentyfikowane przez Thomasa i Chess Omówić ewolucyjne spojrzenie na rozwój osobowości W jakim zakresie nasza osobowość jest wrodzona, czyli uwarunkowana biologicznie, a w jakim stopniu wynika ze środowiska i kultury, w których przychodzimy na świat i jesteśmy wychowywani? W psychologii ewolucyjnej wyjaśnień przystosowań specyficznych dla gatunków i dla różnic płciowych poszukuje się na gruncie ewolucji biologicznej i kulturowej. Badacze tego nurtu skupiają się na problemach takich jak: zachowania agresywne, unikanie i pokonywanie zagrożeń, konkurencja w zdobywaniu zasobów, strategie doboru partnera, sukces reprodukcyjny, opieka nad potomstwem oraz współpraca z innymi, często spokrewnionymi przedstawicielami gatunku. Stałe cechy charakterystyczne dla gatunku, jak np. umiejętność posługiwania się mową czy trzymania widelca, nie wydają się w tych kwestiach decydujące dla zachowań jednostek. W ujęciu psychologii ewolucyjnej różnice adaptacyjne wyewoluowały, by zapewnić osobnikom przetrwanie i sukces reprodukcyjny. Choć koncepcja ta ma już długą historię, dopiero w ostatnich latach pojawiły się możliwości analityczne związane m.in. z sekwencjonowaniem genomu, które pozwalają rozkwitnąć tej dziedzinie w obszarze eksperymentalnym. Również dopiero na przełomie XX i XXI wieku powstały przekonujące prace na temat różnic indywidualnych u gatunków innych niż człowiek. Dobrze udokumentowane różnice indywidualne występują w: cechach jednostki (np. dominacja, uległość, ugodowość i agresja), inteligencji (ogólnej, orientacji przestrzennej, itp.), wyborze strategii doboru partnera (krótko-, długoterminowa), preferencjach w zakresie poglądów politycznych (konserwatywne, liberalne), stopniu religijności, typie budowy ciała i innych. Badacze wykazali, że wiele różnic indywidualnych ma element dziedziczności – niektóre cechy dziedziczone są z pokolenia na pokolenie nawet w 50%. Dziedziczenie cech, które badacze nazywają stabilnością cech w czasie, przynosi skutek ewolucyjny – przeżycie, sukces reprodukcyjny, rodzicielstwo. Obszary różnic indywidualnych W obrębie danego gatunku osobniki tej samej płci znacznie różnią się od siebie i stosują różne strategie adaptacyjne. Według Davida M. Bussa (ur. 1953) poszukiwanie różnic indywidualnych w kontekście biologicznym wymaga poruszenia m.in. aspektów związanych ze świadomością ograniczoności czasu i energii, którymi dysponuje jednostka, strategiach podejmowanych przy współzawodnictwie o zasoby, doboru strategii adaptacyjnej w zależności od środowiska oraz od puli genów. Teoria historii życia (ang. life-history theory ) opiera się na dwóch podstawowych założeniach: każdy osobnik ma skończony czas życia i skończone zasoby energii. W trakcie życia wkłada wysiłek w rozwiązanie różnych problemów adaptacyjnych, a zaangażowanie się we wszystkie dostępne problemy jest niemożliwe. Gdy jednostka skupia się na pewnym problemie adaptacyjnym, nie ma możliwości skoncentrować się na rozwiązaniu innych problemów, ponieważ czas i energia, którymi dysponuje, są ograniczone. Według tej teorii energia osobnika może być przeznaczana na wzrost i utrzymanie ciała w dobrej formie, co skutkuje większym zasobem energii w przyszłości. Energia może być również lokowana w procesie związanym z reprodukcją, na którą składa się skuteczny wybór partnera i utrzymanie go co najmniej do czasu zapłodnienia. Jednostka może także pożytkować energię w działaniach związanych z rodzicielstwem bądź innych formach angażowania się w opiekę nad spokrewnionymi osobnikami, co w efekcie prowadzi do skutecznego przekazania materiału genetycznego. Wybory problemów adaptacyjnych, które jednostka może rozwiązać w ramach dostępnego jej ograniczonego czasu i energii, zawsze są kompromisem. Decyzje podmiot podejmuje, mając na uwadze swoje predyspozycje i własną oczekiwaną długość życia. Gdy osobnik spodziewa się, że będzie żył krótko, łatwiej podejmuje decyzje skutkujące szybkim wyczerpaniem jego zasobów: podejmuje działania ryzykowne oraz silne współzawodnictwo i częste zmiany partnerów. Jednostki, które przyjmują strategię długoterminową, wybierają rozwiązania mniej ryzykowne, a w sferze reprodukcyjnej są monogamistami. Mężczyźni wysoce atrakcyjni dla kobiet poświęcają znacznie więcej wysiłku na zabezpieczenie swojego sukcesu reprodukcyjnego niż w opiekę nad potomstwem; podobne zachowania obserwuje się również u niektórych gatunków ptaków. Badania wskazują, że takie zachowanie ma również uzasadnienie biologiczne: wysoki poziom testosteronu ułatwia sukces reprodukcyjny, jednak opieka nad potomstwem skutkuje obniżeniem poziomu tego hormonu (Buss, 2009). W parze z teorią historii życia idzie teoria kosztownego sygnalizowania atutów (ang. costly signaling theory ). Kosztowne sygnalizowanie eksponuje się przy analizie współzawodnictwa między osobnikami danego gatunku. Jednostki wysyłają innym osobnikom sygnały zawierające informacje o pożądanych walorach jako: partnera reprodukcyjnego, przyjaciela, koalicjanta. Im sygnalizowana wartość jednostki jest wyższa, tym większe ma on szanse na zdobycie oczekiwanej pozycji w grupie. Przykładem jej komplementarności z teorią historii życia są zachowania samca, który nie może pozwolić sobie na wysyłanie sygnałów świadczących o jego wysokiej jakości w kategorii krótkoterminowego partnera seksualnego. By zapewnić sobie sukces reprodukcyjny, zastosuje on strategię łączenia się w związki długotrwałe. Gdy natomiast osobnik ma niewielkie szanse na znalezienie partnera, podejmuje decyzję o inwestowaniu we wspieranie swoich bliskich. Rywalizacja, która opiera się na sygnałach samodzielnie przekazywanych przez jednostki zaangażowane we współzawodnictwo, sprzyja stosowaniu przez te osobniki różnego rodzaju gier pozorów i oszustw. To z kolei wykształca w społeczności mechanizmy wykrywania kłamstw. Pojawiają się przystosowania, na przykład mechanizm wykrywania oszusta. Zapobiega to byciu wykorzystanym podczas wymiany wynikającej z umowy społecznej. Zdolności w wykrywaniu oszusta są jednak nierównomiernie rozłożone w grupie społecznej. W związku z tym pewne jednostki będą bardziej narażone na wykorzystywanie niż inne, co z kolei sprzyja rozwojowi adaptacji ewolucyjnej. W podejściu ewolucyjnym badacze zauważyli, że w sytuacji, gdy możliwe jest jednoczesne podjęcie dwóch lub więcej strategii, bardziej korzystne dla osobnika jest zastosowanie strategii innej niż wybrali pozostali. Ustalono także, że zachowania rywalizacyjne pojawiają się najczęściej tam, gdzie jest dużo zasobów (m.in. jedzenie, terytorium, potencjalni partnerzy). U gatunków tworzących sieci społeczne sam fakt istnienia społeczności prowadzi do tworzenia się nisz adaptacyjnych, w których różne osobowości mogą odnosić sukcesy. Na tej podstawie opracowana została analiza kosztów i korzyści w zależności od środowiska bazująca na pięcioczynnikowym modelu osobowości (por. podrozdział Teorie cech). Według Bussa ekstrawersja przynosi np. korzyści w skutecznym znalezieniu partnerek w perspektywie krótkoterminowej, a kosztem tej adaptacji jest na przykład narażenie zdrowia w związku z przemocą skierowaną przez zazdrosne osobniki (Buss, 2009). Rola genów i środowiska W podejściu socjobiologicznym widoczne są trzy główne nurty związane z genetyką: dziedziczenie cech, wpływ genów na osobowość jednostki oraz wpływ środowiska na geny. Genom człowieka składa się z 22–25 tys. genów, w których zapisany jest całkowity potencjał jednostki. Mówi się tu o potencjale, ponieważ geny mogą pozostawać uśpione, nie musi dochodzić do ich ekspresji. Minesockie badanie bliźniąt Klasycznym już badaniem, które rzuciło światło na kwestie dziedziczenia cech jest tzw. minesockie badanie bliźniąt. Przeprowadzono je w latach 1979-1999 na próbie 350 par jednojajowych i dwujajowych bliźniąt wychowywanych razem i osobno. Z tego trwającego 20 lat badania wynikło, że bliźnięta jednojajowe, bez względu na to, czy wychowywały się w jednej rodzinie czy w różnych, wykazywały znaczne podobieństwa osobowości (Bouchard, 1994; Bouchard et al. 1990; Segal, 2012). Między innymi na tej podstawie określono odziedziczalność (ang. heritability ) wielu cech, która opisuje stopień, w jakim różnice między osobnikami tej samej populacji są uwarunkowane genetycznie. Niektóre z cech analizowanych w minesockim badaniu bliźniąt miały wskaźnik odziedziczalności wyższy niż 50%. Były to między innymi predyspozycje przywódcze, posłuszeństwo wobec autorytetów, poczucie dobrostanu, wyobcowanie, odporność na stres i podatność na strach. Obecnie, na podstawie licznych innych badań genetycznych bliźniąt, przyjmuje się, że odziedziczalność cech wynosi 30–60%. Dominuje też konsensus, że cech osobowości nie determinuje pojedynczy gen, lecz setki genów, które w skomplikowany sposób ze sobą oddziałują. Z powodu ogromnej złożoności oddziaływań genów między sobą ustalenie faktycznej odziedziczalności jest trudne; badacze nazywają ją odziedziczalnością ukrytą . Zwir i współpracownicy (2020) ustalili, że interakcje ponad 700 genów mają udział w kształtowaniu się autoregulacyjnych komponentów osobowości istotnych dla zdrowia psychicznego jednostki, czyli cech osobowości takich jak: samokierowanie, współpraca i samotranscendencja. Wskazane przez badaczy zestawy genów modulują określone procesy molekularne w mózgu związane z celowym ustalaniem celów, autorefleksją, empatią, uczeniem się epizodycznym oraz pamięcią. Według badania opisanego powyżej wskazane zestawy genów odpowiadają określonym cechom osobowości w znacznej mierze niezależnie od wpływów środowiskowych. Inni badacze z kolei próbują wyjaśnić proces kształtowania się cech osobowości, poszukując efektów oddziaływania środowiska na geny. Czynnikami epigenetycznymi (ang. epigenetic factors ), czyli zewnętrznymi czynnikami, które wpływają na ekspresję genów, mogą być pojedyncze różnice środowiskowe (wsparcie rodzicielskie, trudne wydarzenia życiowe i dostępność zasobów) oraz czynniki kontekstowe. W związku z tym – wg tego podejścia – w zależności od zaistniałych okoliczności, mimo podobieństw genotypowych u jednostek mogą wykształcić się różne cechy osobowości. Fisher (2018) zaproponował, że takim czynnikiem kontekstowym dla ekstrawersji i neurotyzmu może być klimat. Posłużymy się tym przykładem, żeby pokrótce zarysować tok rozumowania, zaznaczając, że nadal jest to kwestia w dużym stopniu niewyjaśniona, wymagająca dalszych badań. Zespół Fishera badał wpływ klimatu na ekspresję ekstrawersji i neurotyzmu u jednostek z określonymi zestawami wariancji genów. Powiązanie tych cech osobowości z określonymi genami jest możliwe, ponieważ obie te cechy są zależne od funkcjonowania układu nagrody jednostki, a układ nagrody z kolei ma uwarunkowaną genetycznie wrażliwość na dopaminę. Obserwowana w populacji zmienność genów odpowiedzialnych za gospodarkę dopaminą jest powiązana z różnicami w czynności ciała prążkowanego, obszarze kory przedczołowej i układu limbicznego, które biorą udział w procesach podejmowania decyzji, uczenia się przez wzmocnienie i ocenę ryzyka (Fisher R. et al. 2018). Fisher, opierając swoje badanie na teorii wzmocnienia, ustalił, że pozytywne i negatywne doświadczenia mogą być przetwarzane inaczej w stresie spowodowanym gorącym lub zimnym klimatem niż w klimacie łagodnym. Prowadzi to kształtowania się różnych profili osobowości w zależności od warunków zewnętrznych. Osoby o wysoko funkcjonalnej gospodarce dopaminą (ekstrawertycy) w klimacie bardzo wymagającym są silniej wzmacniane nagrodami niż negatywnym doświadczeniem ryzyka, co wpływa na silniejszy rozwój tendencji do dążenia niż w klimacie łagodnym. Natomiast osoby z nisko funkcjonalną gospodarką dopaminą (neurotycy) w stresującym środowisku (ostry klimat) mogą silniej rozwinąć się w kierunku zachowań unikowych, niż w klimacie łagodnym (Fisher R. et al. 2018). Inne spojrzenie na to zagadnienie przedstawiamy w następnym podrozdziale: Kulturowe uwarunkowania osobowości. Wzajemne relacje między genami, środowiskiem i cechami osobowości pozostają zagadką odkrywaną z trudem, fragment po fragmencie. Zważywszy jednak, że pełną sekwencję genomu człowieka uzyskano dopiero w 2004 roku, a od tego czasu tempo postępu odkryć w genetyce nieustannie przyśpiesza, oraz że badania nad tą tematyką są prowadzone w wielu ośrodkach naukowych, nadzieja na przełomowe odkrycia w tej dziedzinie jest w pełni uzasadniona. W jakim stopniu osobowość jest zdeterminowana przez naszą pulę genetyczną? Obejrzyj to wideo i dowiedz się więcej. Summary Wzajemne relacje między genami, środowiskiem i cechami osobowości nadal nie są w pełni poznane. Niektóre z aspektów osobowości w dużej mierze wynikają z genetyki, jednakże czynniki środowiskowe (na przykład interakcje w rodzinie) oraz proces dojrzewania mogą wpływać na sposoby ekspresji dziecięcej osobowości. Badacze obecnie potrafią wykazać, że odziedziczalność cech osobowości wynosi 30–60%. Ponieważ dominuje przekonanie, że na cechy osobowości wpływają nie tyle pojedyncze geny, co wzajemne oddziaływanie ze sobą wielu fragmentów genów, obecnie mówi się o ukrytej odziedziczalności. Poznanie współczynnika faktycznej odziedziczalności jest jeszcze przed nami. Review Questions Zgodnie z wynikami minesockiego badania bliźniąt wychowywanych osobno bliźnięta jednojajowe bez względu na to, czy wychowywały się razem, czy też nie, miały ________ osobowości. nieco różne bardzo różne nieco podobne bardzo podobne D Personal Application Questions Z badań wiemy, że wiele cech naszej osobowości uwarunkowanych jest genetycznie. Podaj przykłady cech, które z dużym prawdopodobieństwem przekazali ci w genach rodzice. W jaki sposób modelowanie (środowisko) wpłynęło na twoją osobowość? odziedziczalność (ang. heritability ) odsetek różnic między ludźmi przypisywany cechom genetycznym", "section": "Socjobiologiczna koncepcja osobowości", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Kulturowe uwarunkowania osobowości Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić różnice osobowościowe ludzi z kultur kolektywistycznych i indywidualistycznych Omówić trzy podejścia do badania osobowości w kontekście kulturowym Na kształt osobowości wpływa wiele czynników. Kultura, czyli przekonania, zwyczaje, tradycje oraz sztuka obecne w danym społeczeństwie są jednymi z ważniejszych czynników środowiskowych. Przekazywane są one poprzez język, jak również modelowanie zachowań kulturowo akceptowanych (nagradzanych) i nieakceptowanych (karanych) (Triandis i Suh, 2002). Mając to na uwadze, psychologowie zaczęli się zastanawiać nad rolą kultury w kształtowaniu ludzkiej osobowości, między innymi nad tym, czy cechy osobowości pozostają od niej niezależne. Obecnie wydaje się, że istnieją zarówno uniwersalne, jak i kulturowo specyficzne aspekty osobowości. Badania pokazują, że nasilenie danej cechy osobowości jest skorelowane z kulturą, w której żyje jednostka. Przyjrzyjmy się cechom z wielkiej piątki (sumienności, neurotyzmowi, otwartości na doświadczenia, ugodowości i ekstrawersji) i ich powiązaniom kulturowym. Jak dowiesz się, studiując psychologię społeczną, kultury azjatyckie są bardziej kolektywne, a ich przedstawiciele w mniejszym stopniu są ekstrawertykami. Przedstawiciele kultur Ameryk: Środkowej i Południowej uzyskują wyższe wyniki na skali otwartości na doświadczenie, natomiast Europejczycy na skali neurotyzmu (Benet-Martinez i Karakitapoglu-Aygun, 2003). Badacze dostrzegają też regionalne różnice osobowościowe ( ). Rentfrow, Jost, Gosling, i Potter (2009) zaobserwowali nakładanie się regionów geograficznych i charakterystyk osobowości na terenie Stanów Zjednoczonych, które wykracza poza dyżurne wyjaśnienia, jak: religia, różnorodność rasowa i wykształcenie. Skłonność do otwartości lub sumienności w określonym stanie może służyć jako przesłanka do przewidywania wyników wyborów, wskazując, że istnieje korelacja między regionami geograficznymi a różnicami osobowościowymi między liberałami a konserwatystami, które prowadzą do kształtowania się poglądów politycznych, aktywności ekonomicznej i przedsiębiorczości. W Stanach Zjednoczonych przeanalizowali odpowiedzi ponad 15 milionów osób i odkryli istnienie trzech różnych typów osobowościowych: Typ 1, w rejonie północnego Środkowego Zachodu oraz Głębokiego Południa, zdominowany jest przez osoby o „przyjacielskiej i konwencjonalnej” osobowości. Typ 2, głównie na Zachodzie, stanowią osoby, które są bardziej rozluźnione, stabilne emocjonalnie, spokojne i kreatywne. Amerykanów zaliczanych do typu 3, wywodzących się między innymi z północnego wschodu, cechują neurotyzm, dość niska ekstrawersja i ugodowość. Osoby mieszkające na terenach należących do typu 2. i 3. ogólnie są bardziej otwarte na doświadczenie niż mieszkańcy obszaru 1. (Rentfrow et al, 2013). Badacze odkryli trzy różne regionalne typy osobowości w Stanach Zjednoczonych. Na północnym Środkowym Zachodzie i Głębokim Południu ludzie są przyjacielscy i konwencjonalni. Na zachodzie są swobodni, stabilni emocjonalnie i kreatywni, natomiast na północnym wschodzie zestresowani, podatni na irytację i przygnębienie (Rentfrow i in., 2013). Jednym z możliwych wyjaśnień różnic regionalnych jest migracja selektywna (Rentfrow i in., 2013). Migracja selektywna (ang. selective migration ) to koncepcja mówiąca, że ludzie przenoszą się do miejsc kompatybilnych z ich osobowością i potrzebami. Na przykład osoba z wysokim wynikiem na skali ugodowości prawdopodobnie chciałaby mieszkać blisko rodziny i przyjaciół i osiedliłaby się lub pozostała w miejscu, które spełnia te warunki. W przeciwieństwie do niej ktoś, kto uzyskał wysoki wynik na skali otwartości, prawdopodobnie wolałby mieszkać w miejscu uważanym za innowacyjne i różnorodne (np. w Kalifornii). Osobowość w kulturach indywidualistycznych i kolektywistycznych Kultury indywidualistyczne i kolektywistyczne kładą nacisk na inne wartości podstawowe. Ludzie z kultur indywidualistycznych za ważne uważają niezależność, rywalizację i osobiste osiągnięcia. Należą do nich osoby z krajów cywilizacji zachodniej, takich jak Stany Zjednoczone, Anglia, Australia oraz Polska (Oyserman, Coon i Kemmelmier, 2002). Z kolei dla mieszkańców kultur kolektywistycznych – osób z Azji, Afryki i Ameryki Południowej – ważne są harmonia, szacunek i stawianie potrzeb grupy ponad potrzebami jej poszczególnych członków (Hofstede, 2001; Triandis, 1995). Różnice te manifestują się na poziomie osobowości. Yang (2006) odkrył na przykład, że osoby z kultur indywidualistycznych posiadły więcej cech o wydźwięku bardziej osobistym, a osoby z kultur kolektywistycznych charakteryzowały się cechami bardziej społecznymi. Freweri Bleus (1991) przeprowadzili badanie za pomocą kwestionariusza osobowości wg Eysenka (ang. Eysenk Personality Inventory ) wśród studentów z Papui Nowej Gwinei, należącej do kolektywistycznego kręgu kulturowego. Odkryli, że wynik kwestionariusza osobowości stawał się adekwatny dopiero, gdy analizowano go w kontekście społeczeństwa kolektywistycznego. Podobnie Dana (1986) zauważył, że prowadzenie testów osobowości wśród rdzennych Amerykanów często przebiega bez prawidłowego rozpoznania kulturowego i bez podania wartości referencyjnych swoistych dla konkretnych grup etnicznych. W związku z tym, by móc poprawnie interpretować wyniki, osoby przeprowadzające testy powinny mieć ponadprzeciętną wiedzę o historii, różnicach etnicznych, kulturze współczesnej i o zachodzeniu przemian kulturowych. Podejścia do badania osobowości w kontekście kulturowym Istnieją trzy podejścia do badania osobowości w kontekście kulturowym: emic, etic i model mieszany. Model emiczny (emic) (ang. emic model ) stanowi próbę wglądu w zachowania przedstawicieli danej kultury na podstawie definicji i norm stosowanych przez nich samych. Model etyczny (etic) (ang. etic model ) bazuje na uniwersalnych pojęciach spoza badanej kultury. Oba te terminy wymyślił i zdefiniował lingwista Kenneth Pike (1912-2000) na gruncie analizy językoznawczej (1954). Antropolog Marvin Harris (1927-2001) w latach 60. XX wieku rozwinął te pojęcia i wprowadził do badań różnych kultur. W poprzednich podrozdziałach (por. Teorie cech ) pisaliśmy, że badacze wykorzystali podejście kulturowo-porównawcze (etyczne), by sprawdzić uniwersalność pięcioczynnikowego modelu (ang. Five Factor Model ) McCrae'a i Costy. Odkryli jego zasadność w wielu kulturach świata, a wielka piątka okazała się stabilna u ich przedstawicieli (McCrae i Costa, 1997; McCrae i in., 2005). Eysenck także prowadził szeroko zakrojone badania międzykulturowe nad uniwersalnością cech opisanych w jego modelu. Podejście emiczne było odpowiedzią na dominację podejścia zachodniego w badaniu osobowości w innych kontekstach kulturowych (Cheung i in., 2011). Ponieważ kwestionariusze osobowości oparte na zachodnich założeniach nie są w stanie w pełni objąć konstruktów osobowości funkcjonujących w innych kulturach, model emiczny pozwala na opracowanie narzędzi do oceny osobowości, które są spójne z badaną kulturą. Trzecie podejście do międzykulturowych badań osobowości to podejście połączone. Jest swoistym mostem pomiędzy psychologią Zachodu a jej rdzennymi odpowiednikami i jego celem jest zrozumienie uniwersalnych, jak również kulturowo uwarunkowanych różnic osobowościowych (Cheung et al. 2011). Summary Kultura, w której żyjesz, jest jednym z najważniejszych czynników środowiskowych wpływających na kształt osobowości. Zachodnie koncepcje osobowości mogą nie mieć zastosowania w innych kulturach, a badania wskazują na to, że nasilenie cech osobowości ma między innymi podłoże kulturowe. Kultury indywidualistyczne i kolektywistyczne kładą nacisk na inne wartości podstawowe. Przedstawiciele kultur indywidualistycznych za ważne uważają niezależność, rywalizację i osobiste osiągnięcia, zaś mieszkańcy obszarów uważanych za kultury kolektywistyczne cenią sobie harmonię, szacunek i przedkładają potrzeby grupy ponad potrzeby indywidualne. Do badania osobowości w kontekście kulturowym można wykorzystywać trzy różne podejścia: kulturowo-porównawcze, autochtoniczne i połączone, wykorzystujące elementy dwóch pozostałych. Review Questions Stany Zjednoczone uważane są za kulturę ________ . kolektywistyczną indywidualistyczną tradycjonalną nietradycyjną B Koncepcja, zgodnie z którą ludzie przenoszą się do miejsc spójnych z ich osobowością i potrzebami, znana jest jako ________. migracja selektywna osobowość zorientowana indywidualnie osobowość zorientowana społecznie indywidualizm A Critical Thinking Questions Dlaczego rozważanie kulturowo uwarunkowanych różnic w osobowości może być ważne? Ponieważ kultura wpływa na osobowość, zachodnie koncepcje osobowości mogą nie przystawać do innych kultur. Ponadto tworzone na Zachodzie sposoby pomiaru osobowości niekoniecznie muszą mieć zastosowanie podczas zbierania danych od przedstawicieli innych kultur. Personal Application Questions Z badań Rentfrowa i jego współpracowników wynika, że osobowości nie rozkładają się w sposób przypadkowy, lecz tworzą odrębne geograficzne typy. W oparciu o to, gdzie mieszkasz, zastanów się, czy zgadzasz się, czy nie z cechami przypisywanymi osobom mieszkającym w tej części kraju? Odpowiedź uzasadnij. kultura (ang. culture ) ogół wierzeń, zwyczajów, sztuki i tradycji charakterystyczny dla danej społeczności migracja selektywna (ang. selective migration ) koncepcja, że przeprowadzając się, ludzie wybierają miejsca pasujące do ich osobowości i potrzeb model emiczny (ang. emic model ) bazuje na wglądzie w zachowania przedstawicieli danej kultury na podstawie definicji i norm stosowanych przez nich samych model etyczny (ang. etic model ) bazuje na uniwersalnych pojęciach spoza badanej kultury", "section": "Kulturowe uwarunkowania osobowości", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Temperament Czym jest temperament i w jakiej relacji pozostaje w stosunku do osobowości? Psycholodzy dysponują licznymi teoriami osobowości, część z nich omówiliśmy w poprzednich fragmentach tego rozdziału. Wniosek, jaki z nich płynie, jest następujący: nie ma wśród psychologów konsensusu co do definicji konstrukcji psychicznej człowieka. Istnieją jednak obszary, w których badacze są zgodni. Temperament jest składnikiem osobowości, ujawnia się już u bardzo małych dzieci i jest względnie stały w porównaniu z innymi czynnikami, które składają się na osobowość (Rothbart, 2011). Psycholodzy przyznają, że temperament ma podłoże biologiczne i jest częściowo zdeterminowany genetycznie. Ponadto poprzedniki cech temperamentu dostrzegamy również u zwierząt. Podejścia historyczne Jak zostało wspomniane w podrozdziale Czym jest osobowość? , pierwsze ujęcie zachowań wynikających z cech osobowości zaproponował Hipokrates w 370 roku p.n.e., a jego koncepcja została rozwinięta przez Galena sześćset lat później. Według teorii Hipokratesa–Galena osobowość człowieka zależy od istnienia czterech soków ciała, zwanych również humorami. Są nimi: żółć z wątroby, czarna żółć z nerek, czerwona krew oraz flegma z płuc. Zachowanie równowagi między tymi podstawowymi płynami miało zapewniać stan zdrowia fizycznego (stąd np. pochodziła stosowana jeszcze w XIX wieku koncepcja upuszczania krwi). Uczeni powiązali zwiększoną obecność soków u jednostki z istnieniem czterech temperamentów: cholerycznego, melancholijnego, sangwinicznego oraz flegmatycznego. Nazewnictwo to – co jest rzeczą bezprecedensową – przetrwało dwa tysiące lat i jest żywe zarówno w mowie potocznej, jak i w leksykonie psychologów. Empiryczne badania nad temperamentem zostały podjęte na przełomie XIX i XX wieku. Iwan Pawłow podczas rozpoczętych w 1923 r. wieloletnich badań nad warunkowaniem nazwanym później warunkowaniem klasycznym w odróżnieniu od warunkowania sprawczego (o eksperymentach prowadzonych przez Pawłowa pisaliśmy tutaj: Warunkowanie klasyczne ) dostrzegł osobniczą zmienność reakcji psów i przypisał ją właściwościom układu nerwowego, jakimi są: siła pobudzenia i hamowania procesów nerwowych oraz równowaga i ruchliwość procesów nerwowych. Według Pawłowa komórki nerwowe osobników mają różne właściwości funkcjonalne. Zdolność do wytrzymywania trwającego krótko silnego pobudzenia albo długotrwałego niskiego pobudzenia, manifestuje się sposobem reakcji jednostki na bodziec: reakcja ta może być adekwatna, nadmierna lub zbyt słaba. Siłą procesu hamowania i ruchliwością procesów nerwowych Pawłow tłumaczył adekwatność zachowań związanych z powstrzymywaniem lub opóźnieniem reakcji oraz z reagowaniem na szybko zachodzące zmiany bodźców. Pewne konstrukty zaproponowane przez Pawłowa przetrwały, a teorie powstałe na ich podwalinach służą pomiarowi cech układu nerwowego u dorosłych ludzi. Temperament u dzieci i dorosłych W rozdziale poświęconym psychologii rozwoju człowieka wspomnieliśmy o badaniach Thomasa i Chess. Wyodrębnili dziewięć cech temperamentu u dzieci (1977): aktywność, rytmiczność, zbliżanie się-wycofywanie, łatwość przystosowania, próg reagowania, siła reakcji, jakość nastroju, roztargnienie, zakres uwagi i wytrwałość. Na ich podstawie zidentyfikowali (1977) trzy dziś już uznawane za klasyczne typy temperamentów u dzieci: łatwy, trudny i wolno rozgrzewający się (por. Stadia rozwoju ). Jednakże czynniki środowiskowe (na przykład rodzaj interakcji w rodzinie) oraz proces dojrzewania mogą wpływać na ekspresję dziecięcego temperamentu (Carter i in., 2008). Narzędzia psychometryczne mierzące konstelacje wspomnianych cech pozwalają ustalić, czy dziecko ma temperament łatwy, wolno rozgrzewający się, czy trudny. Współczesne badania i teorie postulują, że na temperament u dzieci składają się dwie cechy: reaktywność i samoregulacja (Rothbart, Ahadi i Evans, 2000). Reaktywność to fizjologiczna pobudliwość układu nerwowego w odpowiedzi na nowe lub stanowiące wyzwanie czynniki zewnętrzne, samoregulacja natomiast to zdolność do kontrolowania tej reakcji (Rothbart i Derryberry, 1981; Rothbart et al., 2011). Jedna osoba na przykład natychmiast reaguje na nowy bodziec dużym poziomem niepokoju, a druga niemal go nie zauważa, co jest wynikiem ich poziomu reaktywności. Niektórzy będą potrafili w miarę łatwo ten niepokój u siebie obniżyć, na przykład odwracając uwagę od źródła niepokoju, inni zaś nie; za tę zdolność odpowiadają właśnie mechanizmy samoregulacji. Regulacyjna teoria temperamentu (RTT) Jednym z kontynuatorów podejścia Pawłowa w badaniach nad temperamentem był Jan Strelau (1931-2020), wybitny polski psycholog, autor regulacyjnej teorii temperamentu (RTT) (ang. Regulative Theory of Temperament (RTT) ). W swoich pracach wykorzystał koncepcje wypracowane przez Eysencka (por. podrozdział Teorie cech ), dla którego temperament i inteligencja są składowymi osobowości (Eysenck terminów temperament i osobowość często używał zamiennie). Teoria sformułowana przez Strelaua jest wielowymiarowa, zakłada, że temperament przejawia się we wszystkich zachowaniach człowieka, ponieważ jest własnością formalną (czyli dotyczy sposobu a nie treści zachowania), i jest zauważalny już w niemowlęctwie. Pierwotna forma temperamentu jest wynikiem ewolucji biologicznej, w związku z czym czynniki genetyczne odgrywają znaczącą rolę w determinowaniu temperamentu jednostki. Cechy temperamentu są względnie stałe, przy czym w trakcie życia jednostki ulegają powolnej zmianie spowodowanej wpływem interakcji mechanizmów biologicznych odpowiedzialnych za temperament i wpływów środowiskowych. Według Strelaua temperament reguluje zachowanie w dwóch aspektach: energetycznym i czasowym. Charakterystyka energetyczna obejmuje cechy przejawiające zdolność gromadzenia i rozładowywania energii przez jednostkę. Charakterystyka czasowa natomiast opisuje zdolność szybkiej zmiany zachowań. W tym kontekście temperament pełni funkcję regulacyjną, moderując sytuacje, stymulacje oraz zachowania. Temperament określa zapotrzebowanie jednostki na stymulację oraz decyduje o tym, jak duża jest dawka stymulacji. Według modelu RTT każdy z nas uczy się, jak w optymalny dla siebie sposób stymulację tę regulować, przy czym doświadczenie pokazuje, że nie zawsze się to nam udaje. Zapotrzebowanie na stymulację jest wyznaczone przez nasz poziom reaktywności. Wysoki poziom reaktywności wiąże się z niskim zapotrzebowaniem na bodźce, natomiast niski poziom reaktywności wykazują jednostki z wysokim zapotrzebowaniem na bodźce. Poziom aktywności wpływa z kolei na ilość podejmowanych działań dostarczających stymulacji. Obie te cechy: reaktywność i aktywność zostały wyodrębnione już w początkowym kształcie teorii (1985) jako należące do charakterystyki energetycznej. Na późniejszym etapie prac nad teorią RTT (Zawadzki, Strelau, 1997) zdefiniowano siedem cech, których kombinacje odzwierciedlają opisane wyżej charakterystyki. Cechami z domeny charakterystyki energetycznej są: wrażliwość sensoryczna (zdolność reagowania na subtelne, delikatne bodźce zmysłowe), reaktywność emocjonalna (sposób reagowania na bodźce emocjonalne), wytrzymałość (utrzymanie adekwatnych reakcji w warunkach silnej lub długotrwałej stymulacji zewnętrznej), aktywność (podejmowanie działań dostarczających stymulacji). Do domeny charakterystyki czasowej należą: żwawość (zdolność do szybkiego reagowania i utrzymywania wysokiego tempa aktywności), perseweratywność (tendencja do powtarzania i kontynuowania zachowań), rytmiczność (tendencja do utrzymywania regularnego trybu życia nawet gdy nie wymagają tego okoliczności) Strelau przyjmuje, że postulowane przez niego wymiary są ze sobą skorelowane i wzajemnie od siebie zależne. Jest to podejście odmienne od stosowanego w popularnych modelach, tzn. w wielkiej trójce Eysencka (ang. Eysenck's big three ) (ekstrawersja, neurotyzm i psychotyzm) i w modelu pięcioczynnikowym (ang. Five Factor Model ) (otwartość na doświadczenie, sumienność, ekstrawersja, ugodowość i neurotyzm), gdzie zakłada się, że cechy występują od siebie niezależnie (por. Teorie cech ). Summary Alexander Thomas i Stella Chess wyodrębnili dziewięć cech temperamentu u dzieci (1977): aktywność, rytmiczność, zbliżanie się–wycofywanie, łatwość przystosowania, próg reagowania, siła reakcji, jakość nastroju, roztargnienie, zakres uwagi i wytrwałość. Na ich podstawie zidentyfikowali trzy dziś już uznawane za klasyczne typy temperamentów u dzieci: łatwy, trudny i wolno rozgrzewający się. Według teorii RTT opracowanej przez Jana Strelaua temperament reguluje zachowanie w dwóch aspektach: energetycznym i czasowym. Charakterystyka energetyczna obejmuje cechy przejawiające zdolność gromadzenia i rozładowywania energii przez jednostkę. Charakterystyka czasowa natomiast opisuje zdolność szybkiej zmiany zachowań. W tym kontekście temperament pełni funkcję regulacyjną jednostki, moderując sytuacje, jej stymulacje oraz zachowania. Review Questions Sposób reagowania na świat, który ujawnia się już w niemowlęctwie, łącznie z poziomem aktywności danej osoby, nazywa się ________. cechami temperamentem odziedziczalnością osobowością B Małgosia ma osiemnaście miesięcy. Często płacze, trudno ją uspokoić, a w nocy wielokrotnie się budzi. Thomas i Chess powiedzieliby, że jest ona ________. łatwym dzieckiem trudnym dzieckiem wolno rozgrzewającym się dzieckiem dzieckiem z kolką B Przez temperament rozumie się ________. wrodzone, genetycznie uwarunkowane różnice na poziomie osobowości charakterystyczne sposoby zachowania sumienność, przychylne nastawienie, neurotyzm, otwartość i ekstrawersję stopień introwersji-ekstrawersji A Critical Thinking Questions W jaki sposób różnice w temperamencie pomiędzy rodzicem a dzieckiem mogą wpływać na życie rodzinne? Rodzica o pogodnym i spokojnym usposobieniu może irytować trudne dziecko. Jeśli natomiast i rodzic i dziecko mają trudne temperamenty, ich wzajemne relacje mogą charakteryzować się częstymi kłótniami i nieporozumieniami. temperament (ang. temperament ) sposób, w jaki jednostka reaguje na świat; obejmuje poziom aktywności, już od wczesnego dzieciństwa regulacyjna teoria temperamentu (RTT) (ang. Regulative Theory of Temperament (RTT)) teoria zaproponowana przez Jana Strelaua; temperament reguluje zachowanie w aspektach: energetycznym i czasowym", "section": "Temperament", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Ocena osobowości Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić Wielofazowy Inwentarz Osobowości w Minnesocie Rozpoznać i opisać popularne testy projekcyjne stosowane w ocenie osobowości Robert, Michał i Nat są kumplami ze szkoły; wszyscy trzej chcą zostać policjantami. Robert jest cichy i nieśmiały, niepewny siebie, stąd zwykle poddaje się kierownictwu innych ludzi. Jest uprzejmy i życzliwy, lecz brak mu motywacji. Michał jest głośny, uparty i buńczuczny. Typowy lider, ciężko pracuje, bywa impulsywny, a w weekendy imprezuje. Z kolei Nat jest refleksyjny, rozsądny i ogólnie lubiany. Można mu ufać. Czasem jednak trudność sprawia mu szybkie podejmowanie decyzji. Który z tych trzech młodych mężczyzn byłby najlepszym policjantem? Jakie cechy lub właściwości osobowości są potrzebne, by być dobrym policjantem? Jakie zaś sprawiłyby, że ktoś stałby się złym lub niebezpiecznym stróżem prawa? Praca policyjna cechuje się dużym poziomem stresu, a większość organów ścigania chce mieć pewność, że zatrudnia odpowiednich ludzi. Różnego rodzaju testy osobowości bardzo często wykorzystywane są zatem podczas procesów rekrutacyjnych do firm i organizacji, w sprawach karnych, podczas procesów cywilnych o przyznanie prawa do opieki nad dzieckiem oraz do oceny zaburzeń psychologicznych. W tym podrozdziale poznasz niektóre z najpopularniejszych typów testów osobowości. Kwestionariusze osobowości Kwestionariusz osobowości (ang. self-report inventories ) to rodzaj obiektywnego testu wykorzystywanego do oceny osobowości. Zwykle składa się z pytań i zdań, przy których wskazuje się odpowiedzi na wielostopniowej skali (na przykład od 1 do 5, gdzie 1 to „zdecydowanie się nie zgadzam”, a 5 „zdecydowanie się zgadzam”). Ten format odpowiedzi po raz pierwszy został zaproponowany przez Rensisa Likerta (1932), w związku z czym jest nazywany skalą Likerta ( ). Kwestionariusz jest łatwy w wykonaniu i przeprowadza się go samodzielnie, co wpływa na niski koszt badania. Udzielając odpowiedzi, osoby badane mogą jednak świadomie bądź nieświadomie modyfikować swoje wyniki, żeby otrzymać rezultat bardziej pożądany społecznie, wyolbrzymiony lub w inny sposób zafałszowany. Na przykład kandydat do pracy podczas testu rekrutacyjnego może modyfikować wyniki, by pokazać się przyszłemu pracodawcy w pozytywnym świetle. Większość kwestionariuszy osobowości zawiera tego rodzaju stwierdzenia i rozmieszczone na skali odpowiedzi. Jednym z powszechnie stosowanych kwestionariuszy jest Minesocki Wielowymiarowy Kwestionariusz Osobowości (MMPI) (ang. Minnesota Multiphasic Personality Inventory ), po raz pierwszy opublikowany w 1943 roku. Wtedy zawierał 504 twierdzeń ocenianych na skali prawda/fałsz. Poprawiona wersja, MMPI-2 z 1989 roku, składa się z 567 twierdzeń. Pierwotny test MMPI opracowano na podstawie małej, ograniczonej próby składającej się głównie z farmerów z Minnesoty i pacjentów oddziałów psychiatrycznych. Poprawioną wersję inwentarza przygotowano na bardziej reprezentatywnej próbie krajowej. Badanie MMPI-2 zajmuje od 60 do 120 minut. Wynikiem testu jest opracowanie profilu klinicznego opisującego natężenie występowania 10 cech: hipochondrii, depresji, psychopatii (zaburzenia psychopatyczne/socjopatyczne), męskości/kobiecości, paranoi, psychastenii (cechy obsesyjne/kompulsywne), schizofrenii, hipomanii oraz introwersji społecznej. Istnieje również podskala do przewidywania czynników ryzyka nadużycia alkoholu. W 2008 roku test ponownie zaktualizowano i stworzono wersję MMPI-2_⁠-RF . To badanie trwa o połowę krócej niż poprzednie i zawiera tylko 338 stwierdzeń ( ). Mimo znacznego skrócenia czasu badania nowym kwestionariuszem, poprzednia wersja MMPI-2 wciąż jest częściej używana. Test zwykle przeprowadza się przy pomocy komputera. Choć MMPI stworzono na potrzeby badania zaburzeń psychicznych, obecnie korzysta się z niego również podczas rekrutacji do wszelkich organów ścigania, na studia, do firm, a nawet w trakcie terapii małżeńskiej (Ben-Porath i Tellegen, 2008). Tego rodzaju stwierdzenia, oceniane jako prawda lub fałsz, znajdują się w inwentarzu MMPI. Oprócz skal klinicznych testy zawierają również skale rzetelności (ang. reliability scale ) i trafności (Przypomnij sobie koncepcje rzetelności i trafności z rozdziału poświęconego badaniom psychologicznym Analiza wyników). Jedna ze skal trafności, skala kłamstwa (ang. lie scale ), nazywana czasem skalą aprobaty społecznej (skala „L”, od ang. lie – kłamstwo), składa się z 15 stwierdzeń i wykorzystywana jest do wykrywania świadomych prób przedstawiania się w lepszym świetle (badany ukrywa problemy psychologiczne). Na przykład jeśli ktoś odpowiada „tak” w przypadku kilku nierealistycznie pozytywnych twierdzeń, jak na przykład „W życiu nie skłamałem”, prawdopodobnie stara się wypaść lepiej niż w rzeczywistości. Z kolei określanie poziomu rzetelności to sposób sprawdzania, na ile wyniki uzyskiwane za pomocą danego narzędzia są powtarzalne. Innymi słowy chodzi o to, by upewnić się, że jeśli zrobisz test MMPI-2-RF dzisiaj i ponownie za 5 lat, twoje wyniki będą podobne. Beutler, Nussbaum i Meredith (1988) poprosili nowo zatrudnionych policjantów o wypełnienie MMPI na początku pracy i po upływie dwóch lat od rozpoczęcia służby. Po dwuletnim stażu odpowiedzi policjantów wskazywały zwiększoną podatność na alkoholizm, nasilenie symptomów somatycznych (dziwne, niewyjaśnione skargi na stan fizyczny) oraz niepokoju. Rezultaty testu przeprowadzonego po kolejnych 2 latach (po 4 latach od początku pracy) wskazywały na ryzyko wystąpienia nieprawidłowości o podłożu alkoholowym. Wyniki tych badań mogą wskazywać na dwie możliwości. Z jednej strony mogą mówić o nietrwałości czasowej narzędzia. Z drugiej strony mogą wskazywać na fakt, że nawet wyniki mocno ugruntowanych narzędzi mogą zmieniać się w czasie pod wpływem różnego rodzaju uwarunkowań. Kwestionariusz FCZ-KT Do pomiaru temperamentu zgodnie z teorią RTT Strelau i Bogdan Zawadzki (ur. 1957) opracowali kwestionariusz FCZ-KT (Formalna Charakterystyka Zachowania-Kwestionariusz Temperamentu). Narzędzie zostało dostosowanie do badań temperamentu osób dorosłych w różnych obszarach kulturowych. Na jego podstawie powstała również wersja kwestionariusza dla dzieci (Oniszczenko, Radomska, 2002). Testy projekcyjne Inną metodą oceny osobowości są testy projekcyjne (ang. projective testing ), które opierają się na jednym z mechanizmów obronnych zaproponowanych przez Freuda – projekcji – jako formie odkrycia i oceny procesów nieświadomych. Testy tego rodzaju są metodami pośrednimi, czyli takimi, w których nie pytamy osoby o jej cechy, ale raczej obserwujemy jej myśli i zachowanie. Testy te są w znacznie mniejszym stopniu obarczone aprobatą społeczną, gdyż osoba nie jest pewna, co jest dokładnym przedmiotem badania. W odróżnieniu od inwentarzy osobowości, testy te ujawniają to, co osoba myśli w danym momencie, a nie to, jak chce być postrzegana. W teście projekcyjnym przedstawia się badanej osobie szereg kart z niejednoznacznymi bodźcami i prosi się ją o ich interpretację poprzez opowiedzenie historii, opisanie obrazka lub dokończenie zdania. Wiele testów projekcyjnych przeszło procedury standaryzacji (na przykład Exner, 2002) i można je wykorzystywać do sprawdzania, czy badany ma niestandardowe skojarzenia, wysoki poziom niepokoju lub skłonności do zachowań ekstremalnych i agresywnych. Do takich testów należą test Rorschacha, test apercepcji tematycznej (TAT), test TEMAS ( Tell-Me-A-Story , Opowiedz mi historię), test niedokończonych zadań Rottera (RISB). Warto jednak pamiętać, że w ostatnich latach testy te budzą spore kontrowersje w kontekście diagnozy stałych cech osobowości. Zgodnie z obecną wiedzą wiele z nich może być z powodzeniem stosowanych jako element diagnozy pokazujący sposób myślenia osoby, jednakże nie powinny być wykorzystywane jako jedyne źródło postępowania diagnostycznego (Goldstein, n.d.). Test Rorschacha ang. (ang. Rorschach Inkblot Test ) został stworzony w 1921 roku przez szwajcarskiego psychologa Hermana Rorschacha (1884-1922). Test składa się z kilku tablic zawierających symetryczne plamy atramentowe, które są pokazywane przez psychologa pacjentowi. Psycholog prosi pacjenta o odpowiedź na pytanie „Co to może być?”. Interpretacja osoby badanej ujawnia jej nieświadome uczucia i procesy (Piotrowski, 1987; Weiner, 2003). Test Rorschacha został poddany standaryzacji przy użyciu systemu Exner i do niedawna miał zastosowanie w badaniu depresji, psychozy oraz niepokoju. W ostatnich latach jednakże nie zaleca się jego stosowania ze względu na znaczne trudności wynikające z jego stosowania w diagnozie stanów psychologicznych. Test apercepcji tematycznej (TAT) (ang. cmlnle:reference=\"Thematic Apperception Test (TAT)\" Thematic Apperception Test ) opracowali w latach 30. XX wieku amerykański psycholog Henry Murray (1893-1988) oraz psychoanalityczka Christian Morgan (1897-1967). Osobie badanej pokazuje się od 8 do 12 niejednoznacznych rysunków i prosi o opowiedzenie historii o każdym z nich. Te historie pozwalają zajrzeć do społecznego świata danej osoby i odkryć jej nadzieje, lęki, zainteresowania i cele. Format opowieści pozwala na zmniejszenie oporu pacjenta przed ujawnianiem nieświadomych szczegółów osobistych (Cramer, 2004). W przeszłości Test TAT wykorzystywano w badaniach klinicznych do oceny zaburzeń psychologicznych, a ostatnio też w procesach psychoterapeutycznych jako pomoc w samorozumieniu oraz samorozwoju. Wśród klinicystów właściwie nie istnieje jeden przyjęty sposób przeprowadzania testu i jest on dość nisko oceniany na skali rzetelności i trafności (Aronow, Weiss i Rezinkoff, 2001; Lilienfeld, Wood i Garb, 2000). Pomimo tych mankamentów test TAT jest jednym z najczęściej używanych testów projekcyjnych. Jego wadą, oprócz trwałości osądów, są również ilustracje przedstawiające stosunkowo uniwersalne sytuacje społeczne, jednakże umiejscowione w zupełnie innej epoce. Test niedokończonych zadań Rottera (RISB) (ang. Rotter Incomplete Sentence Blank (RISB) ) został stworzony przez Juliana Rottera (1916-2014) w 1950 roku (przypomnij sobie koncepcję poczucia umiejscowienia kontroli). Test ten składa się z trzech formatów: dla dzieci, młodzieży i dorosłych. Zawiera 40 niedokończonych zdań, które należy dokończyć tak szybko, jak to tylko możliwe ( ). Średni czas wypełnienia testu to około 20 minut, odpowiedzi składają się z jednego lub dwóch słów. Test ten był stosowany do wykrywania jednostek nieprzystosowanych, które należy objąć pomocą terapeutyczną. Przypomina nieco test skojarzeń (ang. word association test ) i podobnie jak inne testy projekcyjne zakłada, że odpowiedzi ujawnią pragnienia, lęki i wewnętrzne konflikty. Test zdań niedokończonych Rottera wykorzystywany jest przy naborze na studia do selekcji osób mających problemy w dopasowaniu się oraz w doradztwie zawodowym (Holaday, Smith i Sherry, 2010; Rotter i Rafferty 1950). Powyższe niekompletne zdania podobne są do tych wykorzystywanych w teście RISB. Jak je dokończysz? Przez wiele lat tradycyjne testy projekcyjne wykorzystywano w multikulturowych ocenach osobowości, jednak okazało się, że stronniczość ograniczała ich użyteczność (Hoy-Watkins i Jenkins-Moore, 2008). Trudno jest oceniać osobowość i styl życia przedstawicieli różnych grup etnicznych i kulturowych z wykorzystaniem instrumentów bazujących na danych z innej kultury lub rasy (Hoy-Watkins i Jenkins-Moore, 2008). Kiedy test TAT przeprowadzano na Afroamerykanach, otrzymywano krótsze opowieści i zauważano niższy poziom identyfikacji kulturowej (Duzant, 2005). Konieczne okazało się stworzenie testów do oceny osobowości, które brały pod uwagę takie czynniki jak rasa, język czy poziom akulturacji (Hoy-Watkins i Jenkins-Moore, 2008). Robert Williams (1930-2020) był twórcą pierwszego testu projekcyjnego adresowanego do konkretnej kultury, odzwierciedlającego codzienne doświadczenia mieszkańców USA o czarnym kolorze skóry (Hoy-Watkins i Jenkins-Moore, 2008). Uaktualniona wersja tego narzędzia nosi nazwę testu tematów odnoszących się do osób o czarnej karnacji (C-TCB) (ang. Contemporized-Themes Concerning Blacks ). Test (Willliams, 1972) C-TCB zawiera 20 kolorowych obrazków pokazujących sceny z życia Afroamerykanów. Rezultatem porównania C-TCB z testem TAT dedykowanym Afroamerykanom były dłuższe opowieści, wyższy poziom pozytywnych uczuć i silniejsza identyfikacja z obrazkami z C-TCB (Hoy, 1997; Hoy-Watkins i Jenkins-Moore, 2008). Multikulturowy test apercepcji tematycznej (TEMAS) (ang. Multicultural Thematic Apperception Test (TEMAS) ) to kolejne narzędzie zaprojektowane z myślą o mniejszościach etnicznych, szczególnie młodzieży latynoamerykańskiej. Akronim TEMAS pochodzi od zdania Tell-Me-a-Story, czyli opowiedz mi historię , ale jest też grą słów, gdyż po hiszpańsku oznacza motywy/tematy . W teście wykorzystuje się obrazki i podpowiedzi powiązane z kulturą mniejszości etnicznej skłaniające badanego do opowiadania historii (Constantino, 1982). Summary Testy osobowości to narzędzia opracowane w celu oceny osobowości. Ich założenia bazują głównie na niezmienności cech osobowości. Jednakże należy pamiętać, że ich wykorzystanie ma swoje ograniczenia. Można wykorzystywać je do wielu celów, między innymi do diagnozowania problemów psychologicznych lub oceny kandydatów na pracowników lub na studia. Istnieją dwa typy testów osobowości: inwentarze osobowości, w których osoby badane dokonują samooceny, oraz testy projekcyjne. Test MMPI jest jednym z najpopularniejszych inwentarzy osobowości, w którym kilkaset stwierdzeń trzeba ocenić jako prawdziwe lub fałszywe. Na podstawie odpowiedzi tworzony jest kliniczny profil osoby badanej. Testy projekcyjne wykorzystują nieoczywiste obrazy lub inne nieoczywiste bodźce, by wydobyć nieświadome lęki, pragnienia i konflikty wewnętrzne. Przykładami testów projekcyjnych są: test plam atramentowych Rorschacha, test apercepcji tematycznej (TAT), test uwspółcześnionych tematów odnoszących się do osób czarnoskórych (C-TCB). Oba typy testów mają swoje wady i zalety. Tradycyjne testy inwentarzowe obarczone są sporym błędem wynikającym z aprobaty społecznej, związanym ze stosowaniem pytań samoopisowych. Testy projekcyjne natomiast nie ujawniają trwałych właściwości diagnostycznych ze względu na fakt, że uruchamiają dostępne w danym czasie skojarzenia, a nie trwałe konstrukty. Dlatego też przy diagnozie osobowości nie stosuje się jednej metody diagnostycznej. Review Questions Który z poniższych testów NIE jest testem projekcyjnym? Minesocki Wielowymiarowy Inwentarz Osobowości (MMPI) Test plam atramentowych Rorschacha Test apercepcji tematycznej (TAT) Test niedokończonych zadań Rottera (RISB) A Test oceny osobowości, w którym badany reaguje na niejednoznaczny bodziec, ujawniając nieświadome uczucia, impulsy i pragnienia, nazywa się ________. kwestionariuszem osobowości testem projekcyjnym Minesockim Wielowymiarowym Inwentarzem Osobowości (MMPI) testem Myers-Briggs (MBTI) B Który z testów osobowości zawiera zestaw twierdzeń wymagających udzielenia przez badanego odpowiedzi prawda/fałsz? Minesocki Wielowymiarowy Inwentarz Osobowości (MMPI) Test apercepcji tematycznej (TAT) Test niedokończonych zadań Rottera (RISB) Test Myers-Briggs (MBTI) A Critical Thinking Questions Z jakiego powodu przyszły pracodawca mógłby chcieć oceniać kandydatów przy pomocy testów osobowości? Testy osobowości pomagają pracodawcom przewidzieć reakcje i postawy osób wobec różnych sytuacji charakterystycznych dla danej pracy i w ten sposób wybrać najodpowiedniejszych kandydatów. Jest to szczególnie ważne przy rekrutacji osób do pracy o zwiększonym czynniku ryzyka, np. w policji. Testy osobowości mogą również ujawniać pożądane cechy kandydatów, np. szczerość, motywację i sumienność. Z jakiego powodu klinicysta mógłby przeprowadzać test projekcyjny? Dzięki testowi projekcyjnemu klinicysta uzyskałby informacje na temat nieuświadomionych marzeń, lęków oraz wewnętrznych konfliktów osoby badanej, gdyż tego rodzaju testy tworzone są po to, by ujawniać nieświadome motywacje i postawy. Test projekcyjny pomaga również diagnozować zaburzenia psychologiczne. Personal Application Questions Na ile obiektywnie jesteś w stanie ocenić własne odpowiedzi w inwentarzu osobowości? Jak myślisz, jak samoocena mogłaby wpływać na trafność testu? Minesocki Wielowymiarowy Kwestionariusz Osobowości (MMPI) (ang. Minnesota Multiphasic Personality Inventory (MMPI)) test osobowości złożony z szeregu pytań, na które można odpowiedzieć „tak” lub „nie”; przydatny w ustaleniu profilu klinicznego jednostki test projekcyjny (ang. projective test) ocena osobowości, w której jednostka reaguje na dwuznaczne bodźce, ujawniając ukryte uczucia, impulsy i pragnienia test Rorschacha (ang. Rorschach Inkblot Test ) test projekcyjny wykorzystujący serię symetrycznych plam atramentowych, które psycholog przedstawia badanemu; nie zaleca się stosowania testów ze względu na niską precyzję wyników test niedokończonych zadań Rottera (ang. Rotter Incomplete Sentence Blank (RISB)) test projekcyjny podobny do testu skojarzeń słownych; badany ma dokończyć zdania, a celem jest ujawnienie jego nieuświadomionych pragnień, lęków i problemów, migracja selektywna test wielokulturowej apercepcji tematycznej TEAMS (ang. Multicultural Thematic Apperception Test) test projekcyjny, stworzony jako kulturowo znaczący dla mniejszości, szczególnie młodzieży latynoskiej, wykorzystujący obrazy i historie związane z kulturą mniejszości test apercepcji tematycznej (TAT) (ang. Thematic Apperception Test (TAT)) test projekcyjny, w którym ludziom przedstawia się dwuznaczne obrazy i każe im wymyślać na ten temat historie; celem jest ujawnienie nieuświadomionych pragnień, lęków i problemów Formalna Charakterystyka Zachowania – Kwestionariusz Temperamentu (FCZ-KT) (ang. The Formal Characteristics of Behavior – Temperament Inventory (FCB-TI) ) kwestionariusz służący do badania temperamentu wg teorii RTT Jana Strelaua", "section": "Ocena osobowości", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Siedemnastoletni Trayvon Martin został zastrzelony w 2012 roku przez George'a Zimmermana, wolontariusza pełniącego służbę wartowniczą w swojej okolicy. Czy śmierć nastolatka była wynikiem aktu samoobrony, czy uprzedzeń na tle rasowym? To pytanie stało się przedmiotem gorącej debaty, w której po obu stronach stanęły setki osób broniących swojego stanowiska. (Źródło (z lewej): modyfikacja pracy Davida Shankbone'a; źródło (z prawej): modyfikacja pracy Fibonacci Blue/Flickr). Ludzie różnią się między sobą i czasami te różnice utrudniają im porozumiewanie się. Przejmującym przykładem jest historia Trayvona Martina (1995-2012), czarnoskórego 17-latka, który został zastrzelony w 2012 roku przez George'a Zimmermana (ur. 1983) pełniącego wolontariacką sąsiedzką służbę wartowniczą w dzielnicy zamieszkanej w większości przez białych Amerykanów. Spotkany na ulicy nastolatek ubrany w bluzę z kapturem wzbudził podejrzenie Zimmermana, który poszedł za chłopcem. W wyniku sprzeczki, która przerodziła się w przepychankę, Zimmerman zastrzelił Martina. Zimmerman później zeznał, że strzał padł w akcie samoobrony. Martin nie miał przy sobie broni. Podczas procesu, jaki odbył się na Florydzie, ława przysięgłych orzekła, że Zimmerman nie jest winien zabójstwa ani nieumyślnego zabójstwa. Sprawa wywołała protesty wielu grup społecznych, oskarżały one sprawcę o brutalną zbrodnię motywowaną profilowaniem rasowym dokonaną na nieuzbrojonym czarnoskórym mężczyźnie. Zimmerman, sam będący synem Peruwianki i Niemca, został oskarżony o rasizm. Skąd biorą się tego rodzaju konflikty? Być może podsycają je przekazy medialne. Niektóre przekazy medialne były krytykowane za nadmierne podkreślanie kwestii polityki rasowej. Warto podkreślić, że mimo takich konfliktów ludzie potrafią także współpracować, by zmieniać świat na lepsze. 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{"text": "Czym zajmuje się psychologia społeczna? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować psychologię społeczną Opisać wpływ sytuacyjny i dyspozycyjny na zachowanie Opisać podstawowy błąd atrybucji Wyjaśnić stronniczość aktora-obserwatora Opisać skłonność do egoizmu Wyjaśnić hipotezę sprawiedliwego świata Psychologia społeczna (ang. social psychology ) zajmuje się wszelkimi rodzajami interakcji między ludźmi oraz przygląda się oddziaływaniu kontekstu sytuacyjnego na zjawiska społeczne. Psychologowie społeczni twierdzą, że myśli, emocje i zachowania człowieka w dużym stopniu zależą od sytuacji społecznych: ludzie mogą zmieniać swoje zachowanie, by dostosować się do określonego kontekstu społecznego. Obszar zainteresowania psychologów społecznych jest niezwykle szeroki i obejmuje wiele różnych aspektów naszego funkcjonowania psychicznego. Badacze zajmujący się tą dziedziną przyglądają się zjawiskom na poziomie intrapersonalnym i interpersonalnym. Tematyka relacji intrapersonalnych (dotyczących jednostki) (ang. intrapersonal ) obejmuje emocje i nastawienie, osobowość i poznanie społeczne (to, w jaki sposób myślimy o sobie i o innych). Zagadnienia interpersonalne (dotyczące diad i grup) (ang. interpersonal ) obejmują chęć niesienia pomocy ( ), agresję, uprzedzenia, atrakcyjność interpersonalną i bliskie związki oraz procesy grupowe i relacje międzygrupowe. Psychologia społeczna zajmuje się wszelkimi rodzajami interakcji między ludźmi, począwszy od tego, jak się łączymy w pary i grupy, poprzez sytuacje konfrontacyjne, po współpracę i niesienie pomocy innym, czego przykładem jest powyższe zdjęcie. (Źródło: Sgt. Derec Pierson, U.S. Army). W ramach psychologii społecznej nie istnieją ogólne teorie wyjaśniające wszystkie zagadnienia związane z naszym funkcjonowaniem społecznym i wpływami społecznymi na nasze zachowanie. Jednakże w ramach tej dziedziny można wyróżnić kilka podejść teoretycznych skoncentrowanych na innych aspektach funkcjonowania społecznego (Wojciszke, 2019). Podejściami tymi są: perspektywa poznawcza, motywacyjna, teorii uczenia się, społeczno-kulturowa oraz ewolucjonistyczna. Przedmiotem zainteresowania badaczy przyjmujących perspektywę poznawczą jest rola, jaką ma interpretacja aktualnej sytuacji dla myśli, emocji, pamięci i zachowania człowieka. Perspektywa ta koncentruje się na zrozumieniu procesu przetwarzania informacji w ramach posiadanych przez ludzi struktur wiedzy, takich jak np. ich oczekiwania, schematy myślenia i ich wpływu na ostateczną interpretację sytuacji. Zwraca się tu uwagę, że każda sytuacja może być zinterpretowana w różny sposób przez osoby biorące udział w tym samym zdarzeniu. W ramach tego podejścia badane jest, jak ludzie kształtują swoją wiedzę o świecie, jak ją organizują, wydobywają z pamięci, w jaki sposób interpretują i zapamiętują informacje (Wojciszke, 2019). Perspektywa motywacyjna koncentruje się na motywach, jakie ludzie posiadają, podejmując swoje działania. W ramach tego podejścia zakłada się, że ludzie działają na zasadzie minimalizowania wysiłku (czy też minimalizowania strat) oraz maksymalizacji zysków. Jednakże należy pamiętać, że owe zyski i straty dla każdego z nas mogą być bardzo różne, bowiem powiązane mogą być one z różnymi potrzebami i innymi motywami. Wsród takich motywów silnie determinujących nasze zachowanie może być motyw utrzymania pozytywnego wizerunku własnej osoby lub np. potrzeba więzi społecznych (Wojciszke, 2020). Perspektywa teorii uczenia się koncentruje swoją uwagę na wyjaśnianiu ludzkich zachowań przy uwzględnieniu przeszłych doświadczeń. Badacze w ramach tego podejścia zakładają, że to jak się zachowujemy, jest wynikiem procesów uczenia się na podstawie doświadczeń innych osób lub własnych (Wojciszke, 2019). Perspektywa społeczno-kulturowa zakłada, że nasze myśli, emocje i zachowanie uwarunkowane są kontekstem społecznym i kulturowym, z którego pochodzimy. W ramach tego podejścia człowiek jest wynikiem socjalizacji. Badacze reprezentujący to podejście podkreślają, że różne grupy społeczne, społeczeństwa czy szeroko rozumiana kultura dostarcza nam różnych norm i wartości, które mogą regulować nasz sposób widzenia świata i nasze zachowania (Wojciszke, 2019). Natomiast z perspektywy ewolucjonistycznej nasze zachowania wyjaśnia się, skupiając uwagę na ewolucji gatunku i zachowaniach będących jej wynikiem. Badacze w ramach tego podejścia upatrują przyczyn naszych zachowań w przeszłości i w zachowaniach naszych przodków. Wskazują oni, że przyczyną powszechnych lęków przed wężami czy pająkami jest nasza przeszłość ewolucyjna. Nasi przodkowie, przejawiając podobne lęki w zamierzchłej przeszłości, mieli większe szanse uniknięcia niebezpieczeństwa, przez co również mieli większe szanse na przetrwanie. Z poziomu ewolucyjnego podobnie tłumaczone są też inne zjawiska, jak np. preferowanie wysokoenergetycznych potraw czy nawet nasze wybory partnerów (Wojciszke, 2019). Choć żadna z przytoczonych powyżej perspektyw nie daje pełnego wytłumaczenia naszego funkcjonowania w świecie społecznym, to jednak pozwala wyjaśnić niektóre zjawiska w tym świecie występujące. Niezależnie od przyjętej perspektywy teoretycznej badacze zajmujący się psychologią społeczną stosują różne metody badań, począwszy od eksperymentów po obserwację. W ramach tej dziedziny preferowanym sposobem weryfikacji wiedzy jest eksperyment naturalny. Eksperyment naturalny odbywa się w środowisku naturalnym osób badanych, w którym wprowadzane są niewielkie zmiany. Metoda ta pozwala badaczom uchwycić nie tylko zjawisko będące przedmiotem badania, ale również kontekst sytuacyjny i kulturowy, w jakim dane zjawisko jest badane. Mniej rzetelną, ale często wykorzystywaną w psychologii społecznej metodą badań jest obserwacja. Obserwacja umożliwia analizę badanego zjawiska bez modyfikacji środowiska naturalnego, w jakim jest ona dokonywana. W kolejnych rozdziałach przyjrzymy się, jak opisane wyżej perspektywy teoretyczne i różne metody badań wyjaśniają zjawiska społeczne. Summary Psychologia społeczna zajmuje się różnego rodzaju zjawiskami związanymi z naszym funkcjonowaniem społecznym. W ramach tej dziedziny nie istnieje żadna ogólna teoria wyjaśniająca wszystkie zagadnienia powiązane z naszym funkcjonowaniem wśród innych osób. Jednakże można wymienić kilka perspektyw, które rzucają światło na różne aspekty życia społecznego. Są to perspektywy: poznawcza, motywacyjna, teorii uczenia się oraz ewolucjonistyczna. Review Questions Psychologia społeczna jako dziedzina skupia się na ________ w przewidywaniu ludzkich zachowań. cechach osobowości predyspozycjach genetycznych czynnikach biologicznych czynnikach sytuacyjnych D psychologia społeczna (ang. social psychology ) dziedzina psychologii badająca zachowanie człowieka wobec innych ludzi oraz wpływ innych ludzi i grup społecznych na zachowanie osoby, a także funkcjonowanie grup", "section": "Czym zajmuje się psychologia społeczna?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Atrybucje Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać role społeczne i ich wpływ na zachowanie Wyjaśnić, czym są normy społeczne i jaki mają wpływ na zachowanie Zdefiniować skrypt Opisać wnioski i uwagi krytyczne dotyczące eksperymentu więziennego Zimbardo w Stanford Psycholodzy społeczni w poszukiwaniu czynników wpływających na nasze zachowania i działania jako główny czynnik wskazują środowisko. Sytuacyjne i dyspozycyjne czynniki wpływu na zachowanie Zachowanie jest efektem uwarunkowań środowiskowych (np. różnic kulturowych, ról społecznych lub obecności obserwatorów) oraz cech danej osoby (np. osobowości). Poszczególne dyscypliny psychologii często skupiają się na ściśle wyodrębnionym wpływie lub zachowaniu. Tymczasem w podejściu sytuacyjnym ( sytuacjonizmie ) (ang. situationism ), preferowanym przez tradycyjnych psychologów społecznych, przyjmuje się, że nasze zachowanie i działania są zdeterminowane przez nasze bezpośrednie otoczenie i środowisko. Z kolei inne podejście, zwane podejściem dyspozycyjnym (ang. dispositionism ), zakłada, że nasze zachowanie jest motywowane czynnikami wewnętrznymi (Heider, 1958). Czynnik wewnętrzny (ang. internal factor ) to atrybut danej osoby i obejmuje m.in. cechy osobowości i temperament czy możliwości intelektualne. Psychologowie społeczni zazwyczaj przyjmują podejście sytuacyjne, podczas gdy psychologowie osobowości są zwolennikami perspektywy dyspozycyjnej. Tezę, że zachowanie człowieka jest funkcją cech osoby i sytuacji, sformułował Kurt Lewin w roku 1936 (Lewin, 1936). Współczesne podejścia w psychologii społecznej przy badaniu zachowań ludzkich uwzględniają zarówno sytuację, jak i osobowość człowieka (Fiske et al., 2010). Społeczna psychologia osobowości powstała właśnie w celu badania złożonych interakcji między czynnikami wewnętrznymi a sytuacyjnymi, mającymi wpływ na zachowanie człowieka (Mischel, 1977; Richard et al., 2003). Podstawowy błąd atrybucji W kulturze zachodniej dominującym podejściem do wyjaśniania zachowań człowieka jest perspektywa dyspozycyjna. Jak sądzisz, dlaczego tak się dzieje? Przejawiamy skłonność do myślenia, że potrafimy kontrolować swoje zachowania, a zatem jakakolwiek ich zmiana musi wynikać z czynników wewnętrznych, takich jak osobowość, przyzwyczajenia lub temperament. Zdaniem niektórych psychologów społecznych ludzie mają tendencję do przywiązywania zbyt wielkiego znaczenia do czynników wewnętrznych, którymi tłumaczą zachowania innych, czyli dokonują ich atrybucji (ang. attribution ). Człowiek często zakłada, że zachowanie drugiej osoby jest jej cechą, i nie docenia siły wpływu sytuacji na zachowanie. Niekiedy nie potrafimy rozpoznać, czy zachowanie drugiej osoby zostaje spowodowane czynnikami sytuacyjnymi, czyli jest uwarunkowane jej stanem . Takie błędne założenie nosi nazwę podstawowego błędu atrybucji (ang. fundamental attribution error ) (Ross, 1977; Riggio i Garcia, 2009). Aby lepiej zrozumieć ten problem, wyobraź sobie następującą sytuację: Jan wraca do domu i po otworzeniu drzwi widzi żonę, która wita go miło i pyta, jak mu minął dzień. Zamiast odpowiedzieć równie miłym powitaniem, Jan wrzeszczy do żony: „Daj mi spokój!”. Dlaczego Jan nakrzyczał na żonę? Jak ktoś, kto popełnia podstawowy błąd atrybucji, może wytłumaczyć zachowanie Jana? Najczęstszą odpowiedzią, z jaką można się spotkać, jest stwierdzenie, że Jan jest złym, złośliwym lub nietowarzyskim człowiekiem (jego cechy). Zakłada się, że przyczyną takiego zachowania są czynniki wewnętrzne (dyspozycyjne). Wyobraź sobie jednak, że Jan został właśnie zwolniony z pracy z powodu redukcji etatów. Czy wówczas wytłumaczenie zachowania Jana byłoby inne? Po chwili namysłu być może wytłumaczylibyśmy je tym, że Jan przeżywał frustrację i zawód z powodu utraty pracy, czyli był w złym nastroju (jego stan). Właśnie w ten sposób można wyjaśnić zachowanie Jana, odwołując się do czynników zewnętrznych lub sytuacyjnych. Podstawowy błąd atrybucji jest tak mocno zakorzeniony w naszym umyśle, że ludzie często pomijają oczywisty wpływ sytuacyjny na zachowanie. Klasyczny przykład tego zjawiska stanowi szereg eksperymentów znanych jako „badanie gospodarza teleturnieju” (Ross et al., 1977). W badaniu wzięli udział studenci, którym przypisano losowo rolę zadającego pytania – gospodarza teleturnieju – lub jego uczestnika. Osoby mające pełnić funkcję gospodarzy opracowały trudne pytania, na które znały odpowiedzi, a następnie zadawały je uczestnikom. Uczestnicy udzielali poprawnych odpowiedzi tylko w 4 na 10 przypadków ( ). Po wykonaniu tego zadania uczestników badania poproszono o ocenę własnej wiedzy ogólnej w stosunku do przeciętnego studenta. Osoby zadające pytania nie oceniły poziomu swojej wiedzy ogólnej wyżej niż uczestnicy, ale uczestnicy dali wyższe noty zadającym pytania niż samym sobie. W kolejnym badaniu obserwatorzy takiej samej interakcji również ocenili zadających pytania jako posiadających większą wiedzę ogólną niż uczestnicy. Okoliczności miały oczywisty wpływ na wyniki. Osoby zadające pytania same je ułożyły, więc miały bezdyskusyjną przewagę. Zarówno uczestnicy teleturnieju, jak i obserwatorzy dokonali wewnętrznej atrybucji wyników. Doszli do wniosku, że zadający pytania muszą być bardziej inteligentni niż ci, którzy mieli na nie odpowiadać. W badaniu „gospodarza teleturnieju” ludzie mieli tendencję do ignorowania wpływu sytuacji i błędnie wnioskowali, że zadający pytania mają większą wiedzę niż oni sami. (Źródło: Steve Jurvetson). Często uważa się, że podstawowy błąd atrybucji ma ogromny wpływ na to, jak tłumaczymy zachowania innych ludzi (co widać na powyższym przykładzie). Należy jednak wspomnieć, że niektórzy badacze sugerowali, iż podstawowy błąd atrybucji nie ma aż tak wielkiego znaczenia, jakie mu się często przypisuje. W istocie, w analizie 173 opublikowanych badań wykazano, że znaczenie dla oceny wpływu podstawowego błędu atrybucji ma szereg czynników (np. wysoki poziom idiosynkrazji postaci i stopień wyjaśnienia zdarzeń hipotetycznych) (Malle, 2006). Czy podstawowy błąd atrybucji to zjawisko powszechne? Prawdopodobnie każdy z nas może przywołać przykłady popełnienia podstawowego błędu atrybucji. Czy przedstawiciele kultur innych niż zachodnia także popełniają ten błąd? Niekoniecznie. Najsilniejszą tendencję do popełniania podstawowego błędu atrybucji przejawiają ludzie wychowani w kulturze indywidualistycznej (ang. individualistic culture ), czyli w kulturze, która jest skoncentrowana na indywidualnych osiągnięciach i autonomii. W związku z tym wyjaśnienie zachowania w ramach tej kultury przypisywane będzie osobie: jej cechom, a nie sytuacji, w jakiej się ona znalazła. Natomiast ludzie żyjący w kulturze kolektywistycznej (ang. collectivist culture ), czyli w kulturze, która koncentruje się na relacjach międzyludzkich, tj. na stosunkach w rodzinie, wśród przyjaciół i społeczności ( ), podstawowy błąd atrybucji popełniają rzadziej (Markus i Kitayama, 1991; Triandis, 2001). Ludzie wychowani w kulturach kolektywistycznych, takich jak niektóre kultury w Azji, są bardziej skłonni podkreślać wagę relacji z innymi niż skupiać się wyłącznie na jednostce. Czynności takie jak: (a) przygotowywanie posiłku, (b) przebywanie z przyjaciółmi oraz (c) granie w gry angażują ludzi w życie grupowe. (Źródło (a): modyfikacja pracy Ariana Zwegersa; źródło (b): modyfikacja pracy „conbon33”/Flickr; źródło (c): modyfikacja pracy Anji Disseldorp). Dlaczego tak się dzieje? Kultury kolektywistyczne, które istnieją przede wszystkim w Azji, Ameryce Łacińskiej i Afryce, koncentrują się na grupie, a nie na jednostce (Nisbett et al., 2001). To skupienie uwagi na innych poszerza perspektywę analizy zachowania, pozwalając na uwzględnienie zarówno wpływów sytuacyjnych, jak i kulturowych. W związku z tym bardziej prawdopodobne jest, że osoby żyjące w kulturze kolektywistycznej zaprezentują bardziej zniuansowaną odpowiedź na pytanie o przyczyny zachowania innych osób. Porównanie cech kultury indywidualistycznej i kolektywistycznej znajduje się w . Cechy kultury indywidualistycznej i kolektywistycznej. Kultura indywidualistyczna Kultura kolektywistyczna orientacja na osiągnięcia orientacja na relacje koncentracja na autonomii jednostki koncentracja na autonomii grupy perspektywa dyspozycyjna perspektywa sytuacyjna niezależność współzależność analityczny sposób myślenia holistyczny sposób myślenia Tendencyjność typu aktor–obserwator Wróćmy do naszego wcześniejszego przykładu z Janem, który stracił pracę, a zewnętrzny obserwator o tym nie wiedział. Naiwny obserwator mógłby dokonać atrybucji wewnętrznej nieprzyjemnego zachowania Jana i przypisać ją dyspozycji mężczyzny zamiast sytuacji, w której się znalazł. Dlaczego nie doceniamy wpływu sytuacji na zachowania innych ludzi? Jednym z powodów jest często brak dodatkowych informacji pozwalających na właściwe wyjaśnienie czyjegoś zachowania. Jedyna informacja, jaką możemy mieć, to ta zaobserwowana. W sytuacji braku danych mamy tendencję do zakładania, że czyjeś zachowanie jest wywołane dyspozycją, czyli czynnikami wewnętrznymi. Gdy zaś chodzi o wytłumaczenie naszych własnych zachowań, dysponujemy większą pulą informacji. Jeżeli wrócilibyśmy z pracy lub uczelni w złym nastroju i wyładowali swoją złość na psie lub domowniku, to jak byśmy się wytłumaczyli? Moglibyśmy np. powiedzieć, że jesteśmy bardzo zmęczeni lub źle się czujemy i potrzebujemy chwili odosobnienia – czyli podalibyśmy wytłumaczenie sytuacyjne. Tendencyjność typu „aktor-obserwator” (ang. actor-observer bias ) to zjawisko polegające na tym, że nasze zachowania tłumaczymy naciskami zewnętrznymi, a zachowania innych ludzi – ich wewnętrznymi motywami (podstawowy błąd atrybucji) (Jones i Nisbett, 1971; Nisbett et al., 1973; Choi i Nisbett, 1998). Jako aktor posiadamy więcej informacji tłumaczących nasze zachowanie. Gdy jednak występujemy w roli obserwatora, dysponujemy niewieloma informacjami, dlatego mamy tendencję do przyjmowania perspektywy dyspozycyjnej. W jednym z badań dotyczących błędu atrybucji typu aktor-obserwator zbadano powody, jakie wymieniali mężczyźni zapytani, za co lubią swoje dziewczyny i za co lubią swoje dziewczyny ich przyjaciele (Nisbett et al., 1973). Jak przedstawiono na , odpowiedzi dotyczące ich własnych powodów lubienia swojej dziewczyny dużo częściej uwzględniały czynniki zewnętrzne (sytuacyjne, np. „Lubię moją dziewczynę, bo przygotowała miłą niespodziankę”). Natomiast częstość podawania własnych cech dyspozycyjnych (np. „Potrzebuję towarzystwa”) była zdecydowanie niższa. Następnie badanych zapytano, dlaczego ich przyjaciel lubi swoją dziewczynę. Odpowiedzi wskazujących na przyczynę sytuacyjną było niemal tyle samo co wskazujących na przyczynę dyspozycyjną. Wyniki badania potwierdzają, że człowiek w roli aktora zazwyczaj podaje niewiele wewnętrznych przyczyn, ale sporo sytuacyjnych powodów. W innej sytuacji – jako obserwatorzy zachowań przyjaciół – wymieniamy porównywalną liczbę wyjaśnień natury wewnętrznej i zewnętrznej. Tendencyjność typu aktor–obserwator uwidacznia się w porównaniu sytuacji, gdy uczestnik badania podaje własne wyjaśnienie, dlaczego lubi swoją dziewczynę, z tą, kiedy poproszony zostaje o podanie przyczyn, dla których znajomy lubi swoją dziewczynę. Egotyzm atrybucyjny Egotyzm atrybucyjny polega na dokonaniu atrybucji w taki sposób, że postrzegamy siebie w pozytywnym świetle (np. przez wewnętrzną atrybucję przyczyn sukcesów i tłumaczenie porażek wpływem czynników zewnętrznych). Gdy uda nam się dobrze wykonać jakieś zadanie, na przykład zdamy egzamin na dobrą ocenę, to w naszym własnym interesie jest wytłumaczenie sukcesu raczej w sposób dyspozycyjny („Mam dużą wiedzę”) niż sytuacyjny („Egzamin był łatwy”). Skłonność jednostki do przypisywania sobie sukcesu w przypadku pozytywnych zdarzeń przez dokonanie dyspozycyjnej (wewnętrznej) atrybucji, a z drugiej strony – przypisywanie winy za porażkę czynnikom sytuacyjnym (zewnętrznym) – nazywamy egotyzmem atrybucyjnym (ang. self-serving bias ) (Miller i Ross, 1975). Skłonność ta ma za zadanie chronić nasze poczucie własnej wartości. Można sobie wyobrazić, że gdyby ludzie zawsze dokonywali atrybucji sytuacyjnej dla swojego zachowania, to z jednej strony nigdy nie byliby w stanie przypisać sobie samym sukcesu i nie mogliby cieszyć się ze swoich osiągnięć, a z drugiej strony w przypadku porażki nie mogliby uczyć się na własnych błędach. Aby lepiej zrozumieć egotyzm atrybucyjny, przyjrzyjmy się głębiej zjawisku atrybucji , czyli poszukiwaniu przyczyn danego zachowania. Jeden z modeli atrybucji wyróżnia jej trzy główne wymiary: poczucie umiejscowienia kontroli (wewnętrzne lub zewnętrzne), stabilność (stabilny lub niestabilny) i sterowalność (sterowalny lub niesterowalny). W tym kontekście stabilność odnosi się do zakresu, w jakim okoliczności będące przyczyną danego zachowania podlegają zmianom. Okoliczności uznaje się za stałe, jeżeli istnieje niewielkie prawdopodobieństwo ich modyfikacji. Sterowalność dotyczy zakresu, w jakim okoliczności powiązane z danym zachowaniem mogą być kontrolowane. Oczywiste jest zatem, że kwestie, nad którymi mamy kontrolę, nazywamy sterowalnymi (Weiner, 1979). Zastanówmy się nad tym, w jaki sposób tłumaczymy zwycięstwa naszej ulubionej drużyny sportowej. Badania wskazują, że zazwyczaj dokonujemy wewnętrznej, stabilnej i sterowalnej atrybucji zwycięstwa ( ) (Grove et al., 1991). Przykładowo możemy powiedzieć, że nasza drużyna jest utalentowana (atrybucja wewnętrzna), ciężko pracuje (stabilna) i wykorzystuje skuteczne techniki (sterowalna). Natomiast w przypadku porażek ulubionej drużyny mamy tendencję do dokonywania atrybucji zewnętrznej, niestabilnej i niesterowalnej. Przykład przegraną tłumaczymy tym, że w przeciwnej drużynie jest więcej bardziej doświadczonych graczy lub że sędziowie byli niesprawiedliwi (atrybucja zewnętrzna), przeciwnicy grali na własnym boisku (niestabilna), a z powodu niskiej temperatury nasza drużyna nie zagrała na miarę swoich możliwości (niesterowalna). Mamy tendencję do żywienia przekonania, że drużyna, której kibicujemy, wygrywa, bo jest lepsza, a przegrywa z powodów od niej niezależnych (Roesch i Amirkham, 1997). (Źródło: „TheAHL”/Flickr). Hipoteza sprawiedliwego świata Jedną z konsekwencji skłonności kultur zachodnich do wyjaśniania zachowań ludzkich w sposób dyspozycyjny jest zjawisko obarczania winą ofiary (Jost i Major, 2001). Kiedy ludzie doświadczają trudności, często są postrzegani jako (przynajmniej częściowo) odpowiedzialni za taki stan rzeczy. Hipoteza sprawiedliwego świata , (ang. just-world hypothesis ) to pogląd zakładający, że ludzie otrzymują to, na co zasłużyli (Lerner i Miller, 1978). W celu utrzymania przekonania, że świat jest sprawiedliwym miejscem do życia, często uważamy, że dobrym ludziom przytrafiają się dobre rzeczy, a złym ludziom – złe (Jost et al., 2004; Jost i Major, 2001). Przekonanie, że na świecie panuje sprawiedliwość i ludzie otrzymują to, na co zasługują, pozwala nam sądzić, że świat jest w istocie przewidywalny i że mamy nad swoim życiem jakąś kontrolę (Jost et al., 2004; Jost i Major, 2001). Przykładowo, jeżeli chcesz mieć powodzenie w życiu, musisz ciężko pracować i konsekwentnie piąć się po drabinie sukcesu. Czy wiara w hipotezę sprawiedliwego świata może mieć negatywne konsekwencje? Jedną z nich jest tendencja do obarczania biednych winą za ich trudną sytuację życiową i materialną. Jak zazwyczaj tłumaczy się problem biedy? Często słyszy się wyjaśnienia takie jak: „Biedni są leniwi i nie chce im się pracować”, czy „Biedni po prostu chcą żyć na koszt państwa”. Te przykłady wyjaśnień natury dyspozycyjnej dobrze obrazują istnienie podstawowego błędu atrybucji. Obwinianie biednych za ich biedę pomija wagę czynników sytuacyjnych, takich jak wysoki wskaźnik bezrobocia, recesja, ograniczone możliwości nauki, a także rodzinny cykl biedy ( ). Wnioski z innego badania wskazują, że ludzie, którzy wierzą w hipotezę sprawiedliwego świata, mają negatywny stosunek do bezrobotnych i osób chorych na AIDS (Sutton i Douglas, 2005). W wielu krajach ofiary przemocy na tle seksualnym są często obwiniane za przestępstwo, którego na nich dokonano. Na szczęście istnieją organizacje i grupy wsparcia takie jak Domestic Violence Ended (DOVE) w USA, Nowe Życie Bez Przemocy skierowane dla Polaków w Wielkiej Brytanii czy fundacje stowarzyszone w Antyprzemocowej Sieci Kobiet (ASK) w Polsce (patrz ramka poniżej), które pomagają ofiarom tego rodzaju przemocy. Gdzie szukać pomocy W Polsce istnieją różne niewielkie stowarzyszenia i fundacje pomagające ofiarom przemocy, np. organizacje stowarzyszone w Antyprzemocowej Sieci Kobiet (ASK); link do strony ASK . W Wielkiej Brytanii pomocy można szukać w pod tym linkiem . Pracownicy tej organizacji towarzyszą ofiarom podczas rozpraw sądowych, by np. zapewnić, że winę za gwałt poniesie sprawca, a nie ofiara przemocy. Ludzie przekonani o istnieniu sprawiedliwego świata często obwiniają biednych za ich status materialny, całkowicie pomijając przyczyny sytuacyjne i kulturowe, które doprowadziły ich do biedy. (Źródło: Adrian Miles). Summary Psychologia społeczna jest dyscypliną psychologii, która bada oddziaływanie czynników sytuacyjnych na sposób myślenia ludzi, ich emocje i zachowania. Psychologowie klasyfikują przyczyny ludzkich zachowań na czynniki wewnętrzne, takie jak cechy osobowości, i na zewnętrzne, takie jak kultura i inne czynniki społeczne. Zachowania powinno się jednak tłumaczyć, stosując oba podejścia. Przeciętny człowiek ma skłonność do przywiązywania nadmiernej wagi do wyjaśnień natury dyspozycyjnej cudzego zachowania i pomijania znaczenia wpływu czynników sytuacyjnych, czyli popełnia podstawowy błąd atrybucji. Zjawisko to częściej pojawia się w kulturach indywidualistycznych niż kolektywistycznych. Ponadto nasze wytłumaczenia zachowań innych osób mogą być błędne z powodu braku wystarczających danych na temat motywacji innych ludzi do podejmowania określonych zachowań oraz naturalnej skłonności do wzmacniania swojej własnej wartości kosztem innych. Review Questions Dokonywanie atrybucji wewnętrznej dla własnych sukcesów i atrybucji zewnętrznej dla swoich porażek to przykład ________. tendencyjności typu „aktor–obserwator” podstawowego błędu atrybucji egotyzmu atrybucyjnego hipotezy sprawiedliwego świata C Kultury kolektywistyczne cechuje ________, a kultury indywidualistyczne ________. podejście dyspozycyjne; podejście sytuacyjne podejście sytuacyjne; podejście dyspozycyjne autonomia; harmonia grupowa hipoteza sprawiedliwego świata; podstawowy błąd atrybucji B Tendencja typu „aktor–obserwator” zakłada, że posiadamy więcej informacji na temat ________. wpływu czynników sytuacyjnych na zachowanie wpływu na nasze własne zachowanie wpływu na zachowanie innych ludzi wpływu czynników dyspozycyjnych na zachowanie B Critical Thinking Questions Dokonaj krytycznej analizy wpływu czynników sytuacyjnych i dyspozycyjnych i podaj przykłady każdego z nich. Wyjaśnij, w jaki sposób czynniki sytuacyjne mogą tłumaczyć niewłaściwe zachowania. Podejście sytuacyjne zakłada, że nasze zachowanie jest zdeterminowane przez sytuację. Przykładowo, osoba, która spóźnia się do pracy, tłumaczy spóźnienie korkami na drodze. W podejściu dyspozycyjnym uważa się, że na zachowanie wpływ mają cechy osobowości danej osoby. Przykładowo, podczas stłuczki kierowca, któremu zajechano drogę, będzie twierdził, że ten drugi kierowca jest agresywny. W związku z tym podejście sytuacyjne zazwyczaj polega na szukaniu wytłumaczenia niewłaściwego zachowania, a podejście dyspozycyjne zwykle sprowadza się do obwiniania osoby, która dopuściła się niewłaściwego zachowania. Podaj przykład tego, jak ludzie pochodzący z kultur indywidualistycznych i kolektywistycznych mogliby tłumaczyć swoją wygraną w ważnych zawodach sportowych. Ludzie wychowani w kulturze indywidualistycznej mają skłonność do dokonywania atrybucji sukcesów sportowych własnej ciężkiej pracy i talentowi. Osoby z kultur kolektywistycznych przypisują częściej wygraną wspólnemu wysiłkowi całej drużyny i wsparciu trenera. Personal Application Questions Podaj przykład z własnego życia, w którym na twoje zachowanie miały wpływ czynniki sytuacyjne. Poszukaj przykładu sportowca znanego z mediów – zawodnika lub trenera – którego cechuje egotyzm atrybucyjny w odniesieniu do zwycięstw i porażek. Przykładami mogą być sytuacje, w których ktoś obwinia sędziego i jego złe decyzje za porażkę, a zwycięstwo przypisuje własnej ciężkiej pracy i talentowi. tendencyjność typu „aktor–obserwator” (ang. actor-observer bias ) sytuacja, w której nasze zachowania tłumaczymy naciskami zewnętrznymi, zaś zachowania innych ludzi – ich wewnętrznymi motywami atrybucja (ang. attribution ) wytłumaczenie dla zachowania innych osób kultura kolektywistyczna (ang. collectivist culture ) kultura skupiająca się na relacjach społecznych z innymi: rodziną, przyjaciółmi, członkami społeczności podejście dyspozycyjne (ang. dispositionism ) powszechny wśród psychologów osobowości pogląd, zgodnie z którym nasze zachowanie jest efektem czynników wewnętrznych, takich jak cechy osobowości i temperament podstawowy błąd atrybucji (ang. fundamental attribution error ) tendencja do przeceniania wpływu czynników wewnętrznych na zachowanie i umniejszania znaczenia sytuacji kultura indywidualistyczna (ang. individualistic culture ) kultura nakierowana na indywidualne osiągnięcia i autonomię czynnik wewnętrzny (ang. internal factor ) wewnętrzny atrybut jednostki, taki jak cecha osobowości czy temperament hipoteza sprawiedliwego świata (ang. just-world hypothesis ) przekonanie głoszące, że ludzie spotyka w życiu to, na co zasługują egotyzm atrybucyjny (ang. self-serving bias ) skłonność do przypisywania własnych sukcesów czynnikom wewnętrznym, a porażek – czynnikom zewnętrznym podejście sytuacyjne ( sytuacjonizm ) (ang. situationism ) promowany przez psychologów społecznych pogląd, że zachowania i działania są określane przez środowisko i bezpośrednie otoczenie", "section": "Atrybucje", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Role i normy społeczne Psychologia społeczna bada, jak ludzie wzajemnie wpływają na swoje myśli, emocje i zachowania. Omówiliśmy już, jak kształtują nasze zachowanie czynniki sytuacyjne takie jak środowisko czy kultura. W tym podrozdziale skupimy się na innych czynnikach sytuacyjnych: rolach społecznych, normach społecznych oraz skryptach (ang. scripts ). Pokażemy także, jak środowisko staje się źródłem informacji i jak powinniśmy postąpić w określonej sytuacji. Wpływ tych czynników sytuacyjnych na nasze zachowanie rodzi poważne konsekwencje, np. może zaważyć na decyzji, czy pomożemy obcej osobie w sytuacji zagrożenia albo jak zachowamy się w nieznanym otoczeniu. Role społeczne Jednym z kluczowych czynników determinujących nasze zachowanie są role społeczne, jakie odgrywamy. Rola społeczna (ang. social role ) to społecznie zdefiniowany wzorzec zachowań, którego oczekuje się od jednostki w określonych sytuacjach społecznych lub w ramach grupy (Hare, 2003). Każdy z nas odgrywa kilka ról społecznych. Można być jednocześnie studentem, rodzicem, nauczycielem, córką albo synem, żoną albo mężem i na przykład ratownikiem wodnym. Jaki wpływ na nasze zachowanie mają te różne role społeczne? Role społeczne zdefiniowane są kulturowo. Oznacza to, że niemal każdy w danej kulturze wie, jakiego zachowania oczekuje się od osób przyjmujących dane role. Przykładowo, jaka jest rola społeczna studenta? Wystarczy rozejrzeć się po sali uniwersyteckiej, żeby zobaczyć skupionych studentów uważnie słuchających wykładu, robiących notatki i wertujących w ciszy podręcznik ( ). Z pewnością znajdą się też studenci odbiegający swoim zachowaniem od oczekiwanej normy pilności, np. piszący SMS-y pod ławką lub scrollujący portale społecznościowe. W obu przypadkach osoby te biorą udział w zajęciach, czego m.in. oczekuje się od osoby pełniącej rolę społeczną studenta. Bycie studentem jest tylko jedną z ról społecznych człowieka. (Źródło: „University of Michigan MSIS”/Flickr). Przyjmowane role społeczne i powiązane z nimi zachowania mogą różnić się w zależności od okoliczności i miejsca. Jaką rolę podejmie córka lub syn podczas spotkania z rodzicami? Jak się będzie w związku z tym zachowywać? A jak ta sama osoba zachowa się w roli pracownika biurowego? Prawdopodobnie jej zachowanie będzie inne w każdej z tych sytuacji. Być może wśród rodziny czuje się ona bardziej swobodnie i beztrosko, opowiada dowcipy i nawet się wygłupia. Natomiast w biurze zapewne mówi w sposób bardziej formalny i mimo że zachowuje się przyjaźnie, jest poważna i skupiona na wykonywaniu swoich zadań. To przykłady tego, jak role społeczne wpływają na nasze zachowania i kierują naszym postępowaniem w takim zakresie, w jakim tożsamość i osobowość mogą ulegać modyfikacjom w ramach danego kontekstu (Malloy et al., 1997). Normy społeczne Jak już zostało powiedziane, role społeczne są definiowane jako wzorzec zachowań oczekiwany społecznie od jednostki pełniącej konkretną rolę. Ta powszechna wiedza wynika z norm społecznych. Norma społeczna (ang. social norm ) to oczekiwania grupy względem jej członków określające, jakie poglądy i zachowania uznaje się w tej grupie za właściwe i akceptowalne (Deutsch i Gerard, 1955; Berkowitz, 2004). Jak mamy się zachowywać? O czym mamy rozmawiać? Jak powinniśmy się ubierać? Omawiając role społeczne, wspominaliśmy o tym, że istnieją normy społeczne określające zachowanie oczekiwane od osób przyjmujących role studentów i normy społeczne obowiązujące w środowisku pracy, które stosuje się wobec osób pełniących role pracowników. Normy społeczne istnieją wszędzie, np. w rodzinach, w gangach i na portalach społecznościowych. Jakie normy społeczne obowiązują na Facebooku? Dzieci, młodzież i normy społeczne Moja 11-letnia córka Ania powiedziała mi niedawno, że potrzebuje nowych szortów i bluzek na lato, i poprosiła, abyśmy pojechały do centrum handlowego, do sklepu z odzieżą popularną wśród nastolatków. Zauważyłam, że wiele dziewcząt nosi ubrania z tego sklepu, więc próbowałam zażartować. Powiedziałam: „Na wszystkich koszulkach widnieje napis »Aero«. Jeżeli pójdziesz w takiej bluzce do szkoły, a wszystkie inne dziewczynki też będą miały na sobie takie topy, to, gdybyście akurat mieli zastępstwo, czy zastępujący nauczyciel nie pomyśli, że wszystkie macie na imię Aero?”. Córka odpowiedziała w sposób typowy dla 11-latek: „Mamo, to nie jest zabawne. Możemy już jechać na zakupy?”. Spróbowałam zastosować inną taktykę. Zapytałam Anię, czy posiadanie ubrań z tego sklepu uczyni ją popularną w klasie. „Nie, nie uczyni mnie to popularną. Tak się teraz wszyscy ubierają. Te ubrania sprawią, że poczuję się dobrze” – odpowiedziała. W jaki sposób metka czy logo na ubraniu może sprawić, że poczujemy się lepiej? Przypomnij sobie, czym jest ciągły rozwój (ang. continuous development ). Co powoduje, że nastolatki chcą się dopasować do reszty ( )? Czy to się zmienia z czasem? Wróćmy myślami do czasów nauki w szkole średniej albo rozejrzyjmy się po kampusie uniwersyteckim. Jaka marka odzieży jest najczęściej wybierana przez uczniów i studentów? Jak media kształtują naszą potrzebę przynależności? Młodzi ludzie bardzo chcą być niezależni, ale jednocześnie zależy im na byciu częścią grupy rówieśniczej. (Źródło: Monica Arellano-Ongpin). Skrypty Dzięki istnieniu ról społecznych ludzie zazwyczaj wiedzą, jakie zachowanie jest od nich oczekiwane w określonych, znanych sytuacjach. Skrypt to wiedza jednostki na temat kolejności zdarzeń w określonych okolicznościach (Schank i Abelson, 1977). Jak się zachowujemy w pierwszym dniu szkoły, wchodząc do windy czy będąc w restauracji? Przykładowo, w Polsce i w wielu innych krajach Europy czy w Stanach Zjednoczonych, jeżeli chcemy przywołać kelnera, staramy się nawiązać z nim kontakt wzrokowy. Natomiast w Brazylii przyjęte jest, aby w tym celu wydawać dźwięk „psst”. Jak widzimy, między skryptami występują różnice kulturowe. Polakowi psyknięcie na kelnera, typowe dla kultury brazylijskiej, może wydawać się niegrzeczne, z kolei Brazylijczykowi próby nawiązania kontaktu wzrokowego z obsługą mogą wydać się mało skuteczne. Skrypty to istotne źródła informacji na temat tego, jak mamy się zachować w różnych sytuacjach. Co by było, gdyby ktoś znalazł się w nowej dla niego sytuacji i nie miał skryptu, zgodnie z którym mógłby postępować? Powstałaby niezręczna i dezorientująca sytuacja. Jak możemy poznać normy społeczne obowiązujące w nieznanej nam kulturze? Stanfordzki eksperyment więzienny Słynny stanfordzki eksperyment więzienny (ang. Stanford Prison Experiment ) przeprowadzony przez psychologa społecznego Philipa Zimbardo (ur. 1933) i jego współpracowników wykazał, jaki wpływ na życie człowieka wywierają role społeczne, normy społeczne i skrypty. Latem 1971 roku w jednej z kalifornijskich gazet pojawiło się ogłoszenie zapraszające wolontariuszy płci męskiej do udziału w eksperymencie na temat psychologicznych skutków życia w więzieniu. Zgłosiło się 70 ochotników, którzy następnie przeszli przez sito testów i badań psychologicznych mających wyeliminować kandydatów z problemami psychiatrycznymi, chorobami, uzależnionych od narkotyków lub takich, którzy mieli na koncie wyroki karne. Ostatecznie do eksperymentu zakwalifikowano 24 zdrowych studentów Uniwersytetu Stanforda. Każdy z nich otrzymał wynagrodzenie w wysokości 25 dolarów za każdy dzień uczestnictwa w badaniu. Uczestnikom zostały przypisane losowo role więźnia lub strażnika. Zwróć uwagę na istotę czynnika losowego w doborze ról w eksperymencie. W podziemiach budynku Wydziału Psychologii na Uniwersytecie Stanforda zbudowano atrapę więzienia. Uczestnicy, którym przydzielono rolę więźniów, zostali zaaresztowani w swoich domach przez policjantów z miasta Palo Alto, przewiezieni na komisariat, a następnie do zaaranżowanego więzienia. Eksperyment był zaplanowany na 7 tygodni. Ku zdumieniu badaczy zarówno „więźniowie”, jak i „strażnicy” zaczęli odgrywać swoje role z dużym zaangażowaniem. W 2. dniu badania część więźniów wszczęła bunt, a strażnicy, próbując opanować rebelię, grozili więźniom użyciem pałek policyjnych. Stosunkowo szybko strażnicy zaczęli traktować więźniów w coraz bardziej sadystyczny sposób, pozbawiając ich zupełnie prywatności, odbierając podstawowe wygody, takie jak materace do spania, przydzielając im poniżające zadania oraz urządzając nocne zbiórki. Z kolei więźniowie zaczęli przejawiać oznaki znacznego lęku i bezradności – wkrótce wręcz zaczęli przyjmować przemoc ze strony strażników jako coś normalnego. Nawet Philip Zimbardo, profesor z Uniwersytetu Stanforda, który opracował badanie i był jego kierownikiem, zdał sobie sprawę, że sam zachowywał się tak, jakby więzienie było prawdziwe, a on naprawdę pełnił funkcję jego nadzorcy. Eksperyment przerwano po zaledwie 6 dniach z powodu pogarszającego się zachowania uczestników. Zimbardo tłumaczył swoją decyzję w ten sposób: Wtedy stało się jasne, że musimy zakończyć badanie. Stworzyliśmy niezwykle silnie oddziałującą sytuację – sytuację, w której więźniowie wycofywali się i zachowywali patologicznie i w której niektórzy ze strażników zachowywali się sadystycznie. Nawet „dobrym” strażnikom brakowało sił, by zainterweniować, i żaden nie zrezygnował podczas trwania eksperymentu. Powinno się też zauważyć, że żaden ze strażników ani razu nie spóźnił się na swoją zmianę, zjawił się chory, wyszedł wcześniej czy zażądał dodatkowej opłaty za przepracowane nadgodziny. (Zimbardo, 2013). Stanfordzki eksperyment więzienny pokazał, jaką siłę oddziaływania mają role społeczne, normy społeczne i skrypty na zachowanie człowieka. „Strażnicy” i „więźniowie” wypełniali swoje zobowiązania przez zachowywanie się w sposób zwyczajowo do tych ról przypisany: strażnicy wydawali rozkazy, a więźniowie je wykonywali. Zgodnie z normą społeczną strażnicy muszą zachowywać się autorytarnie, a więźniowie mają być ulegli. Gdy więźniowie wszczęli bunt, złamali te normy społeczne, co doprowadziło do zamieszek. Działania, jakie wykonywali strażnicy i więźniowie, były zgodne ze znanymi im skryptami. Przykładowo, strażnicy poniżali więźniów, zmuszając ich do robienia pompek i pozbawiając wszelkiej prywatności. Więźniowie zbuntowali się, rzucając poduszkami i niszcząc sprzęty w swoich celach. Niektórzy więźniowie tak zaangażowali się w eksperyment, że zaczęli ujawniać objawy załamania nerwowego, jednak Zimbardo utrzymywał, że żaden z uczestników nie poniósł długotrwałych szkód w związku z badaniem (Alexander, 2001). Stanfordzki eksperyment więzienny wiążą pewne paralele ze sposobem traktowania więźniów przez wojska amerykańskie i pracowników CIA w więzieniu Abu Ghraib w czasie wojny z Irakiem w 2003 i 2004 roku. Nadużycia, których dopuścili się strażnicy w Abu Ghraib, zostały udokumentowane przez nich samych ( ). Iraccy więźniowie byli ofiarami nadużyć ze strony Amerykanów, którzy ich pojmali i osadzili w więzieniu Abu Ghraib podczas drugiej wojny w Iraku. (Źródło: Departament Obrony Stanów Zjednoczonych). Wejdź na tę stronę , by wysłuchać wywiadu radia NPR z Philipem Zimbardo. Badacz opowiada w nim o podobieństwach między stanfordzkim eksperymentem więziennym a więzieniem Abu Ghraib w Iraku. Summary Zachowanie ludzi jest w znacznej mierze determinowane przez role i normy społeczne oraz skrypty. Po to, by wiedzieć, jak się zachować w danej sytuacji, ludzie dzielą się swoją wiedzą kulturową na temat oczekiwanego zachowania osoby odgrywającej określoną rolę społeczną. Normy społeczne decydują o tym, co jest właściwe dla każdej z ról. Każdej roli społecznej towarzyszy skrypt, który pomaga człowiekowi nauczyć się wzorca stosownych zachowań w danej sytuacji. Słynny stanfordzki eksperyment więzienny jest przykładem na to, jak ogromny wpływ na role społeczne, normy i skrypty, którymi kierujemy się w określonych okolicznościach, mają czynniki sytuacyjne, nawet jeżeli nasze działanie jest niezgodne z tym, jak postępujemy na co dzień. Review Questions ________ to zestaw oczekiwań grupy dotyczących tego, jak jej członkowie powinni się zachować i co myśleć. Rola społeczna Norma społeczna Skrypt Atrybucja B W pierwszym dniu treningu piłki nożnej Jerzy zakłada t-shirt, szorty i korki, a następnie wybiega na boisko, by dołączyć do reszty drużyny. Jego zachowanie odzwierciedla ________. skrypt wpływ społeczny prawidłową postawę sportową normatywne zachowanie A Kiedy nastolatki kupują ubrania, zazwyczaj chcą zachować się zgodnie z normami społecznymi, co jest motywowane chęcią ________. wykonania poleceń rodziców zaoszczędzenia pieniędzy przynależności wyglądania dobrze C W stanfordzkim eksperymencie więziennym nawet kierownik badania nadmiernie wczuł się w rolę naczelnika więzienia. To przykład tego, jak bardzo ________ może/mogą wpływać na zachowanie. skrypty normy społeczne konformizm role społeczne D Critical Thinking Questions Dlaczego „dobrzy” strażnicy w stanfordzkim eksperymencie więziennym nie sprzeciwiali się przemocowym zachowaniom innych strażników? Czy studenci odgrywający rolę więźniów byli po prostu słabymi ludźmi? Dlaczego pogodzili się ze złym traktowaniem? „Dobrzy” strażnicy pełnili swoje role społeczne i nie sprzeciwiali się nadużyciom, jakich dopuszczali się inni strażnicy, ze względu na powagę sytuacji. Ponadto zachowanie naczelnika więzienia sankcjonowało złe traktowanie więźniów przez strażników. Więźniowie nie byli słabi psychicznie; zostali zakwalifikowani do badania, ponieważ uznano ich za zdrowych, stabilnych psychicznie ludzi. Brak władzy przypisany do ich roli społecznej skłonił ich do przyjęcia uległej postawy typowej dla więźniów. Skrypt, którym kierowali się więźniowie, zakładał zgodę na nadużycia ze strony osób w pozycji autorytetu, szczególnie dotyczących kar za nieposłuszeństwo. Opisz, w jaki sposób role społeczne, normy społeczne i skrypty ujawniły się w stanfordzkim eksperymencie więziennym. Jak można zastosować tę wiedzę w codziennym życiu? Czy znasz inne, współczesne przykłady sytuacji, w których ludzie mieli odgrywać określoną rolę i stosowali przemoc? Role społeczne silnie oddziaływały na uczestników: pod ich wpływem zachowywali się stosownie do przypisanej im roli, tj. więźnia, strażnika lub naczelnika. Skrypty określiły konkretne zachowania, które przejawiali strażnicy i więźniowie, takie jak poniżanie i pasywność. Normy społeczne panujące w środowisku więziennym sankcjonowały stosowanie przemocy wobec więźniów. Eksperyment ten można odnieść do innych sytuacji, w których normy społeczne, role społeczne i skrypty regulują nasze zachowania, np. do grup przestępczych. Bardziej aktualnym przykładem jest sprawa nadużyć, których dopuścili się żołnierze amerykańscy zatrudnieni jako strażnicy więzienni, wobec więźniów osadzonych w więzieniu Abu Ghraib w Iraku. Personal Application Questions Weź udział w nabożeństwie odprawianym w innym obrządku religijnym, niż jest ci znany, i zobacz, jak się czujesz i zachowujesz, nie znając odpowiedniego skryptu. Możesz też wziąć udział w ważnym wydarzeniu osobistym, w którym nigdy wcześniej nie brałeś udziału, np. w bar micwie (uroczystość przejścia w dorosłość w kulturze żydowskiej), quinceañerze (w niektórych kulturach w Ameryce Łacińskiej wydaje się uroczyste przyjęcia z okazji 15. urodzin dziewczynek) albo wydarzeniu sportowym w dyscyplinie, której nie znasz, np. wyścigach konnych czy walkach byków. Zaobserwuj i zapisz swoje emocje oraz zachowania w takim nieznajomym otoczeniu, do którego nie masz odpowiedniego skryptu. Czy jesteś cichym obserwatorem zdarzeń, czy też prosisz kogoś o pomoc w wyjaśnieniu zachowań uczestników wydarzenia? Opisz, w jaki sposób twoje zachowanie zmieniłoby się, gdybyś jeszcze kiedyś w przyszłości miał wziąć udział w podobnym spotkaniu. Wymień i opisz co najmniej trzy role społeczne, które odgrywasz. Dlaczego je odgrywasz? Jakich ról oczekuje się od ciebie, ale sprzeciwiasz się im? skrypt (ang. script ) wiedza jednostki na temat kolejności zdarzeń w określonych okolicznościach norma społeczna (ang. social norm ) oczekiwania grupy względem jej członków określające, jakie poglądy i zachowania uznaje ona za właściwe i akceptowalne rola społeczna (ang. social role ) społecznie zdefiniowany wzorzec zachowań oczekiwanych od jednostki w określonych sytuacjach społecznych lub w ramach grupy stanfordzki eksperyment więzienny (ang. Stanford Prison Experiment ) projekt badawczy przeprowadzony w 1971 roku; miał za zadanie zbadać psychologiczne efekty symulacji życia więziennego; eksperyment potwierdził siłę ról i norm społecznych oraz skryptów", "section": "Role i normy społeczne", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Postawy i ich zmiana Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować postawę Opisać, jak postawy ludzi zmieniają się wewnętrznie w wyniku dysonansu poznawczego Wyjaśnić, jak nastawienie ludzi zmienia się zewnętrznie poprzez perswazję Opisać peryferyjne i centralne drogi perswazji Psychologowie społeczni zbadali sposób, w jaki czynniki sytuacyjne mogą wpływać na nasze zachowania. Teraz skupimy się na tym, jak czynniki sytuacyjne mogą modelować nasze postawy i poglądy. Postawa (ang. attitude ) to osąd lub uczucie względem osoby, idei lub obiektu: na ogół pozytywne lub negatywne. Człowiek ma określoną postawę względem wielu rzeczy, od produktów, które kupuje w supermarkecie, przez stosunek do ludzi na świecie, aż po politykę. Zazwyczaj postawa może być korzystna lub niekorzystna, pozytywna lub negatywna (Eagly i Chaiken, 1993). Postawy mają trzy elementy składowe: komponent afektywny (emocje wobec obiektu postawy), komponent behawioralny (zachowanie wobec obiektu postawy) oraz komponent kognitywny (poglądy i wiedza dotyczące obiektu postawy) (Rosenberg i Hovland, 1960). Przykładowo pozytywna może być postawa wobec kwestii recyklingu. Powinna ona generować pozytywne emocje względem recyklingu, wyrażane np. w wypowiedziach takich jak: „Segregacja odpadów sprawia, że dobrze się czuję” lub „Lubię mieć świadomość, że mam choć mały wkład w zmniejszenie liczby śmieci na wysypiskach”. Oczywiście taka postawa powinna mieć odzwierciedlenie w zachowaniu. Faktycznie segregujemy śmieci tak często, jak możemy. Wreszcie będzie się przekładała na wiedzę i myślenie (np. „Wiem, do którego pojemnika wyrzucić opakowanie po jogurcie” lub „Umiem wytłumaczyć innym, dlaczego segregowanie odpadów jest ważne”). Nasze postawy i poglądy determinowane są nie tylko przez czynniki zewnętrzne. My sami również mamy na nie wpływ i możemy sprawować nad nimi kontrolę. Podobnie jak w przypadku zachowania, nasze nastawienie i myśli nie zawsze ulegają zmianie pod wpływem presji sytuacyjnej, ale my sami możemy je świadomie modyfikować dzięki posiadaniu wolnej woli. W tej części rozdziału omówimy warunki, pod jakimi moglibyśmy zmienić nasze postawy i poglądy. Co to jest dysonans poznawczy? Psychologowie społeczni wykazali, że dobre samopoczucie i wysokie poczucie własnej wartości stanowią silny czynnik motywacyjny ludzkiego zachowania (Tavris i Aronson, 2008). Posiadanie pozytywnego zdania na własny temat jest stosunkowo uniwersalnym zjawiskiem. Pozytywny stosunek do własnej osoby to jeden z adaptacyjnych motywatorów naszego funkcjonowania. Niekiedy nasze zachowanie, postawy i poglądy ulegają zmianie, gdy doświadczamy zagrożenia, które mogłoby zachwiać naszym poczuciem własnej wartości lub naszym pozytywnym obrazem własnej osoby. Psycholog Leon Festinger (1957) ukuł termin dysonans poznawczy (ang. cognitive dissonance ), który zdefiniował jako „psychologiczny niepokój w sytuacji niespójności między różnymi procesami poznawczymi lub między procesami poznawczymi a zachowaniem powiązany z poczuciem własnej wartości”. Teoria dysonansu poznawczego Festingera zakłada, że jeżeli pojawia się konflikt związany z zachowaniem, poglądem lub wierzeniem sprzecznym z naszym pozytywnym obrazem własnej osoby, to przeżywamy dyskomfort psychiczny (dysonans). Przykładowo, jeżeli ktoś uważa, że palenie papierosów jest szkodliwe dla zdrowia, ale mimo to nadal pali, przeżywa konflikt między swoim przekonaniem a zachowaniem ( ). Dysonans poznawczy wywołują sprzeczne poglądy i zachowania. Palenie papierosów mimo świadomości, że są szkodliwe dla zdrowia, skutkuje pojawieniem się dysonansu poznawczego. Aby zredukować dyskomfort wywołany dysonansem, można zmienić swoje zachowanie, tj. rzucić palenie, lub zmienić swój pogląd, czyli umniejszać skutki palenia dla zdrowia. (Źródło „papierosy”: modyfikacja pracy CDC/Debora Cartagena; „plaster”: modyfikacja „RegBarc\"/Wikimedia Commons; „palenie”: modyfikacja pracy Tima Parkinsona). Późniejsze badania wykazały, że tylko sprzeczne elementy poznawcze, które zagrażają obrazowi samego siebie, mogą wywołać dysonans (Greenwald i Ronis, 1978). Na podstawie wyników badań uzupełniających okazało się, że dysonans jest nie tylko nieprzyjemny psychicznie (Croyle i Cooper, 1983), ale także może wywołać pobudzenie fizjologiczne i aktywować obszary mózgu istotne dla tworzenia emocji i funkcjonowania poznawczego (van Veen et al., 2009). Kiedy doświadczamy dysonansu poznawczego, odczuwamy motywację do jego zmniejszenia, ponieważ wywołuje w nas dyskomfort psychiczny, fizyczny i intelektualny. Możemy zredukować dysonans poznawczy przez uzgodnienie elementów poznawczych, poglądów i zachowań oraz doprowadzenie ich do stanu harmonii. Jest to możliwe poprzez: zmianę nieprzystającego zachowania (np. zaprzestanie palenia), zmianę elementów poznawczych: racjonalizację lub negację (np. tłumaczymy sobie, że ryzyko dla zdrowia maleje, gdy palimy papierosy z filtrem), dodanie nowego elementu poznawczego (np. „Palenie zmniejsza mój apetyt, więc nie będę miał nadwagi, co jest dobre dla zdrowia”). Klasycznym przykładem dysonansu poznawczego jest sytuacja Marka, dwudziestolatka powołanego do wojska. Podczas obozu szkoleniowego jest budzony o 5 rano, przez co cierpi na chroniczne niedospanie. Jego przełożeni często na niego krzyczą. Na domiar złego pogryzły go pluskwy. Często podczas ćwiczeń zostaje poturbowany i jest fizycznie przemęczony, co prowadzi do wyczerpania psychicznego ( ). Sytuacja tylko się pogarsza. Rekruci, którzy wytrzymują do 11. tygodnia obozu, muszą odbyć 54-godzinny nieprzerwany trening. Żołnierzom podczas wyczerpującego szkolenia towarzyszy dysonans poznawczy. (Źródło: Tyler J. Bolken). Nie dziwi zatem, że Marek jest nieszczęśliwy. Nikt nie lubi tak się czuć. W tego rodzaju sytuacji ludzie mogą zmieniać swoje poglądy, postawy lub zachowania. W tym przypadku Marek nie ma możliwości zmiany swojego zachowania. Zaciągnął się bowiem do armii na 4 lata i nie może po prostu zrezygnować. Jeżeli Marek nie przestanie myśleć o tym, jak bardzo czuje się przygnębiony, będzie musiał przeżyć z takim nastawieniem całe 4 lata. Nieustannie będzie też przeżywał dysonans poznawczy. Innym wyjściem z tej niedoli byłaby zmiana poglądów lub postaw. Może sobie powiedzieć: „Jestem coraz silniejszy, zdrowszy i mam lepszy czas reakcji. Uczę się dyscypliny i tego, jak bronić siebie i swój kraj. To, co robię, jest naprawdę ważne”. Jeżeli pogląd ten stanie się jego własnym, wówczas Marek zrozumie, że faktycznie staje się silniejszy dzięki tym wyzwaniom. W konsekwencji poczuje się lepiej i nie będzie już odczuwał dyskomfortu psychicznego wywołanego dysonansem poznawczym. Wpływ inicjacji Przykład z wojska pokazuje, że trudny proces inicjacji (ang. initiation ) w grupie sprawia, że grupa ta wydaje się nam bardziej atrakcyjna, niejako w związku z uzasadnieniem wysiłku, który wykonaliśmy, by się w niej znaleźć. Takie zachowanie wynika z faktu, że raczej nie chcemy mieć poczucia, że straciliśmy czas i zmarnowaliśmy siły, by dołączyć do grupy, którą ostatecznie opuścimy. Klasyczny eksperyment przeprowadzony przez Aronsona i Millsa (1959) dowiódł tej potrzeby uzasadnienia wysiłku. W ramach badania studenci zgłaszali się na ochotnika do uczestnictwa w funkcjonującej na kampusie uniwersyteckim grupie, która miała spotykać się regularnie w celu prowadzenia rozmów na temat psychologii seksu. Członków grupy przypisano losowo do jednej z trzech podgrup: z brakiem inicjacji, łatwą inicjacją i trudną inicjacją. Po pierwszym spotkaniu, które celowo poprowadzono w nieciekawy sposób, uczestnicy mieli za zadanie ocenić, jak bardzo byli zadowoleni z udziału w grupie. Uczestnicy, którzy przeszli trudny proces inicjacji, oceniali grupę wyżej niż osoby z dwóch pozostałych podgrup ( ). Uzasadnienie wysiłku ma znaczący wpływ na to, czy dana osoba jest zadowolona z grupy. Studenci, którzy doświadczyli trudnej inicjacji, byli bardziej zadowoleni z grupy niż pozostali studenci ze względu na potrzebę uzasadnienia wysiłku. Podobny wpływ wykazano w późniejszym badaniu mającym określić, jak wysiłek podjęty przez studenta wpływa na ocenę zajęć. Heckert, Latier, Ringwald-Burton i Drazen (2006) przeprowadzili badanie na 463 studentach studiów licencjackich jednego z uniwersytetów na Środkowym Zachodzie Stanów Zjednoczonych. Zapytali ich o to, jak wiele wysiłku wymagało od nich zaliczenie danych zajęć. Dodatkowo poprosili studentów o dokonanie oceny różnych aspektów zajęć. Po przeczytaniu wcześniejszych akapitów nie powinno być zaskakujące, że zajęcia, z którymi wiązał się największy wysiłek, były oceniane jako bardziej wartościowe niż zajęcia, których zaliczenie nie wiązało się z tak ciężką pracą. Ponadto studenci wskazywali również, że nauczyli się więcej na zajęciach wymagających od nich więcej wysiłku, niezależnie od oceny, jaką otrzymali na zaliczenie tych zajęć (Heckert et al., 2006). Czy poza przykładami z armii i o inicjacji do grupy przychodzą ci na myśl jakieś inne przykłady dysonansu poznawczego? Oto kolejny z nich: Andrzej i Maria mieszkają w Warszawie, gdzie koszty życia są znacznie większe niż w innych miastach Polski. Andrzej pracuje zdalnie z domu, a Maria nie pracuje zawodowo. Wynajmują małe mieszkanie na Powiślu za 2500 złotych miesięcznie. Maria kupuje ubrania w komisach odzieżowych i stara się oszczędzać, jak tylko może. Małżonkowie narzekają, że nigdy nie mają pieniędzy i że nie mogą kupić sobie nic nowego. Zapytani o to, dlaczego nie przeprowadzą się do tańszego miejsca, skoro Andrzej i tak pracuje zdalnie, odpowiadają, że Powiśle jest piękne, uwielbiają spacery nad Wisłą i czują się tu swobodnie. Jak można zastosować teorię dysonansu poznawczego do wyborów, jakich dokonują Andrzej i Maria? Perswazja W poprzedniej części podrozdziału powiedzieliśmy, że motywacja do zmniejszenia dyskomfortu spowodowanego dysonansem poznawczym prowadzi do zmiany postaw, zachowań oraz/lub wiedzy w celu ich uspójnienia. Perswazja (ang. persuasion ) to proces zmiany nastawienia do czegoś w oparciu o konkretną formę komunikacji. Znaczna część perswazji, której doświadczamy, pochodzi z zewnątrz. Jak ludzie przekonują innych do zmiany postawy, poglądów i zachowań ( )? Jaki komunikat mógłby skłonić cię do zmiany twojej postawy, poglądów lub zachowania? Z próbami perswazji stykamy się na każdym kroku. Perswazja nie ogranicza się wyłącznie do reklam; konfrontujemy się z nią w codziennym życiu. (Źródło: Robert Couse-Baker). Poddziedzina psychologii zajmująca się badaniem zjawisk perswazji i wpływu społecznego dostarcza nam szeregu informacji na temat tego, jak człowiek może ulegać perswazji ze strony innych ludzi. Model Hovlanda-Yale Zagadnienie perswazji było jednym z najszerzej badanych obszarów psychologii (Fiske et al., 2010). Podczas II wojny światowej Carl Hovland (1919-1961) na zlecenie armii amerykańskiej prowadził szeroko zakrojone badania na ten temat. Po wojnie kontynuował swoje eksperymenty już na Uniwersytecie Yale. W wyniku tej pracy powstał model zwany modelem Hovlanda-Yale (ang. Hovland-Yale model ), który opisuje warunki, w jakich ludzie są skłonni zmieniać swoje postawy. Hovland wskazał, że skuteczność perswazyjna komunikatu zależy od interakcji różnych czynników, z których podstawowe to: cechy nadawcy komunikatu, cechy samego komunikatu (treść, kanał przekazu) oraz cechy odbiorcy komunikatu (Hovland et al., 1953). Najważniejsze cechy nadawcy komunikatu warunkujące skuteczność perswazyjną to jego wiarygodność (Hovland i Weiss, 1951) i atrakcyjność fizyczna (Eagly i Chaiken, 1975; Pettyet al., 1997). W związku z tym osoby, które są wiarygodne lub mają wiedzę na jakiś temat i są postrzegane jako godne zaufania, mają większą siłę perswazji niż osoby mniej wiarygodne. Podobnie, bardziej atrakcyjne osoby mają większy dar przekonywania niż te mniej atrakcyjne. Wykorzystanie znanych aktorów lub sportowców do reklamowania produktów w telewizji i w prasie opiera się właśnie na tej zasadzie. Od wiarygodności nadawcy komunikatu zależy też natychmiastowość i długoterminowość perswazji (Kumkale i Albarracín, 2004). Cechy samego komunikatu, które mają wpływ na jego siłę perswazyjną, obejmują: subtelność (treści o charakterze istotnym, ale nie oczywistym) (Petty i Cacioppo, 1986; Walster i Festinger, 1962), wielostronność (tj. dotyczą więcej niż jednego aspektu) (Crowley i Hoyer, 1994; Igou i Bless, 2003; Lumsdaine i Janis, 1953), wyczucie czasu (Haugtvedt i Wegener, 1994; Miller i Campbell, 1959) i to, czy przedstawia stanowisko obu stron. Komunikaty, które są bardziej subtelne, są także bardziej przekonujące od komunikatów bezpośrednich. Argumenty przedstawiane na początku mają większą siłę przekonywania, jeżeli są prezentowane jeden za drugim. Jednakże jeżeli pojawia się przerwa po pierwszym komunikacie, a odbiorca jeszcze nie uległ perswazji, to ostatni zaprezentowany komunikat zazwyczaj ma większą siłę perswazyjną (Miller i Campbell, 1959). Cechy odbiorcy, które wpływają na podatność na perswazję, to uważność (Albarracín i Wyer, 2001; Festinger i Maccoby, 1964), inteligencja, poczucie własnej wartości (Rhodes i Wood, 1992) oraz wiek (Krosnick i Alwin, 1989). Aby ulec perswazji, odbiorcy muszą uważnie słuchać. Osoby o niższym poziomie inteligencji jest łatwiej przekonać niż te bardziej inteligentne; osoby o umiarkowanym poczuciu własnej wartości są bardziej podatne na perswazję niż osoby o wysokim lub niskim poczuciu wartości (Rhodes i Wood, 1992). Młodsze osoby (w przedziale wiekowym 18–25 lat) łatwiej ulegają perswazji niż osoby starsze. Model dwutorowości perswazji Szczególnie popularnym modelem obrazującym dynamikę perswazji jest tzw. model dwutorowości perswazji lub model ELM (Petty i Cacioppo, 1986). Model dwutorowości perswazji (ang. Elaboration Likelihood Model (ELM) ) uwzględnia zmienne z modelu Hovlanda-Yale — czyli bierze pod uwagę cechy źródła komunikatu perswazyjnego, treść tego komunikatu oraz cechy odbiorcy — w celu oceny tego, kiedy następuje zmiana postawy. W modelu dwutorowości perswazji wyróżniamy dwie główne drogi odgrywające istotną rolę w procesie przekazu komunikatu perswazyjnego: drogę centralną i drogę peryferyjną ( ). Perswazja może przebiegać jedną z dwóch dróg, a trwałość jej skutku zależy od obranej drogi. Centralna droga perswazji (ang. central route ) oparta jest na argumentach i charakteryzuje się podejściem logicznym oraz wykorzystuje dane i fakty w celu przekonania odbiorcy o wysokiej wartości argumentu. Przykładowo, sprzedawca samochodów, chcąc przekonać klienta do zakupu, będzie podkreślał bezpieczeństwo pojazdu i jego niewielkie zużycie paliwa. Przyjmuje zatem bezpośrednią drogę perswazji opartej na argumentach, która koncentruje się na jakości informacji. Aby perswazja oparta na argumentach była skuteczna w zmienianiu postaw, myśli i zachowań, użyty argument musi być mocny. Jeżeli to się uda, skutkiem będzie trwała zmiana postawy. Perswazja oparta na argumentach sprawdza się najlepiej, gdy odbiorca przekazu myśli analitycznie i ma czas oraz motywację do namysłu. Z punktu widzenia reklamodawcy, jakie produkty będą się najlepiej sprzedawały dzięki wykorzystaniu centralnej drogi perswazji? Jacy odbiorcy będą najbardziej skłonni kupić taki produkt? Przykładem może być zakup komputera. Prawdopodobnie szczególny wpływ wywrą komunikaty podkreślające jakość sprzętu, szybkość procesora czy pojemność pamięci. Peryferyjna droga perswazji (ang. peripheral route ) to sytuacja, gdy jedna osoba przekonuje drugą do czegoś, wykorzystując skojarzenia lub sygnały pośrednie mające pozytywnie nacechować przesłanie (Petty i Cacioppo, 1986). Zamiast koncentrować się na faktach i jakości produktu, peryferyjna droga perswazji buduje skojarzenia z pozytywnymi cechami, takimi jak pozytywne emocje i polecenie przez celebrytów. Przykładowo, zaangażowanie popularnego sportowca do reklamowania butów sportowych to powszechna technika wykorzystywana do przekonania młodych ludzi do zakupu obuwia. Ta droga do osiągnięcia zmiany postawy nie wymaga wiele wysiłku ani przetwarzania informacji. Odbiorca wcale nie musi być zmotywowany do przetworzenia komunikatu. W rzeczywistości peryferyjna droga perswazji nie musi nawet zostać zauważona przez odbiorcę, co widać na przykładzie strategii lokowania produktów. Lokowanie produktów polega na umieszczaniu produktów z wyraźnie widoczną marką lub logotypem w programie telewizyjnym, serialu lub filmie w celach promocyjnych (Gupta i Lord, 1998). Jednym z przykładów takiego działania jest polska edycja programu Masterchef, w którym uczestnicy korzystają z produktów produkowanych przez sponsorów programu. Jakie inne produkty można skutecznie sprzedawać z wykorzystaniem pośredniej drogi perswazji? Na przykład odzież: często projektanci mody przesyłają swoje wyroby celebrytom, by ci prezentowali je na różnego rodzaju wydarzeniach czy w mediach społecznościowych. Droga peryferyjna jest skuteczna w perswazji mającej zmienić słabiej utrwalone lub mniej ważne postawy. Dlatego przeważnie jest wykorzystywana w reklamie produktów tańszych i częściej kupowanych, takich jak odzież lub żywność. Zachęcając do zakupu produktów, które kupuje się rzadziej i które są bardziej kosztowne, np. samochody, mieszkania, częściej używa się argumentów odwołujących się do centralnej drogi perswazji. Metoda stopy w drzwiach Naukowcy przeprowadzili szereg badań nad strategiami perswazji w sprzedaży produktów i zmiany postaw, poglądów i zachowań. Jedną ze skutecznych strategii jest tzw. metoda stopy w drzwiach (Cialdini, 2001; Plineret al., 1974). Wykorzystując metodę stopy w drzwiach (ang. foot-in-the-door technique ), ten, kto chce przekonać drugą osobę do wykonania dużej przysługi lub kosztownego zakupu, najpierw sprawia, że osoba ta godzi się na wykonanie małej przysługi lub dokonanie zakupu małego produktu. Robi to tylko po to, by później zażądać większej przysługi lub nakłonić do większego zakupu. Skuteczność metody stopy w drzwiach zbadano w eksperymencie przeprowadzonym przez Freedmana i Frasera (1966). Wykazał on, że uczestnicy, którzy najpierw zgodzili się na postawienie na swoich podwórkach małej tabliczki wyrażającej poparcie dla kandydata w wyborach lub podpisanie petycji, byli bardziej skłonni do postawienia później większej reklamy niż ludzie, którzy odmówili spełnienia pierwszej prośby ( ). Badanie prowadzone nad tą metodą wykorzystuje się także do przedstawienia reguły konsekwencji (Cialdini, 2001). Mówi ona, że nasze wcześniejsze zachowania często determinują późniejsze decyzje i przejawiamy tendencję do bycia konsekwentnym po tym, jak już raz podjęliśmy się określonego zachowania. Metoda stopy w drzwiach polega na tym, że najpierw prosi się kogoś o błahostkę (a) noszenie znaczka popierającego kandydata w kampanii wyborczej, a następnie prosi się tę osobę o coś poważniejszego, np. (b) ustawienie tablic wyborczych przed własnym domem. (Źródło (a): modyfikacja pracy Joe Crawforda; źródło (b): modyfikacja pracy „shutterblog”/Flickr). Metodę stopy w drzwiach często stosują nastolatki, gdy proszą rodziców o zgodę na niewielką zmianę zasad (np. przesunięcie terminu powrotu do domu o pół godziny), a dopiero później o coś poważniejszego. Spełnienie przez rodzica pierwszej prośby zwiększa prawdopodobieństwo wyrażenia przez niego zgody na późniejszą, poważniejszą prośbę. Oczywiście, metoda stopy w drzwiach nie wyczerpuje środków perswazyjnych wykorzystywanych w marketingu, reklamie i życiu codziennym. Inną znaną metodą oddziaływania jest np. metoda drzwiami w twarz , (ang. door-in-the-face (DITF) ), która polega na wysunięciu jako pierwszej bardzo trudnej do spełnienia prośby, po której następuje prośba właściwa – drobniejsza niż poprzednia. Na przykład, chcąc pożyczyć od kogoś 100 PLN, najpierw poproś go o 1000 PLN. Dzięki metodzie drzwiami w twarz istnieje duża szansa, że uzyskasz oczekiwane 100 PLN pożyczki. Istnieje wiele innych metod, z którymi możesz się zapoznać bardziej szczegółowo np. w książce „Techniki wpływu społecznego” Dariusza Dolińskiego (2019). Summary Postawa to nasza ocena różnego rodzaju zjawisk. Nasze postawy i poglądy ulegają wpływom nie tylko czynników zewnętrznych, ale także wewnętrznych, nad którymi mamy kontrolę. Wewnętrznym procesem prowadzącym do zmiany postawy jest dysonans poznawczy, czyli napięcie, jakiego doświadczamy, gdy nasze myśli, emocje i zachowanie są sprzeczne ze sobą. W celu zmniejszenia dyskomfortu psychicznego wywołanego dysonansem poznawczym ludzie mogą zmieniać swoje zachowania, postawy lub wiedzę albo dodawać nowe elementy poznawcze do swojej postawy. Istnieją dwie główne drogi perswazji. Perswazja oparta na argumentach wykorzystuje fakty i informacje do przekonania potencjalnych odbiorców komunikatu. Peryferyjna droga perswazji natomiast wykorzystuje pozytywne skojarzenia z cechami takimi jak piękno, sława i pozytywne emocje. Review Questions Bardzo ważnym elementem postawy jest _________ świadomość ocena przewidywalność automatyzm B Dysonans poznawczy wywołuje dyskomfort, ponieważ zaburza nasze poczucie ________. zależności nieprzewidywalności konsekwencji władzy C Aby perswazja oparta na argumentach była skuteczna, odbiorca musi być ________ i ________. analityczny; zmotywowany uważny; szczęśliwy inteligentny; pozbawiony emocji łatwowierny; rozkojarzony A Przykłady sygnałów wykorzystywanych w peryferyjnej drodze perswazji to wszystkie z poniższych oprócz ________. polecania przez celebrytów pozytywnych emocji atrakcyjnych modelek i modeli faktów D Critical Thinking Questions Podaj przykład (inny niż użyty w podręczniku) dysonansu poznawczego i sposobu poradzenia sobie z nim. Jednym z przykładów może być wybór uniwersytetu - np. wybór między uczelnią państwową blisko domu a uczelnią o większej renomie w innym mieście lub nawet kraju. W związku z tym, że wszystkie te uczelnie są dla danej osoby atrakcyjne, może ona doświadczyć dysonansu poznawczego podczas podejmowania decyzji. W celu uzasadnienia wyboru uczelni publicznej blisko domu taka osoba może zmienić swoje myślenie na temat innych renomowanych szkół, uznając, że są one zbyt daleko od domu i że jakość nauczania na nich nie jest tak odległa od tej, jaką reprezentuje miejscowa uczelnia. Mogłaby także zmienić swoje postawy wobec renomowanych uczelni i uznać, że tamtejsi studenci są zbyt sztywni i nastawieni na rywalizację i trudno byłoby się z nimi zakolegować. Wyobraź sobie, że pracujesz dla agencji reklamowej i poproszono cię o opracowanie kampanii reklamowej mającej na celu zwiększenie sprzedaży napoju Sirar. Jak mogłaby wyglądać reklama wykorzystującą perswazję opartą na argumentach, a jak ta wykorzystująca peryferyjną drogę perswazji? Odpowiedzi na to pytanie jest wiele. Przykładowo w reklamie wykorzystującej perswazję opartą na argumentach może występować lekarz wymieniający logiczne argumenty przemawiające za piciem tego produktu. Mógłby on cytować badania, w których dowiedziono, że napój jest lepszy niż konkurencyjne z powodu obniżonej kaloryczności, nieszkodliwości dla zdrowia itp. Reklama wykorzystująca peryferyjną drogę perswazji mogłaby przedstawiać niezwykle atrakcyjną parę pijącą produkt podczas relaksu na pięknej słonecznej plaży. Personal Application Questions Dysonans poznawczy często pojawia się po podjęciu ważnej decyzji. Przypomnij sobie decyzję, która ostatnio wywołała u ciebie dysonans, i opisz, jak został on rozwiązany. Opisz sytuację, w której ty albo ktoś, kogo znasz, wykorzystał metodę stopy w drzwiach, by uzyskać czyjąś zgodę. postawa (ang. attitude ) ocena lub uczucie względem osoby, idei lub obiektu; na ogół pozytywne lub negatywne centralna droga perswazji (ang. central route ) logiczne argumenty, wykorzystywanie faktów i danych do przekonania ludzi o wartości głoszonego poglądu dysonans poznawczy (ang. cognitive dissonance ) psychologiczny niepokój powstały na bazie sprzeczności między różnymi zachowaniami, poglądami lub wierzeniami osoby, a także sprzeczności zachowania lub deklaracji z pozytywnym obrazem siebie metoda stopy w drzwiach (ang. foot-in-the-door technique ) technika perswazji polegająca na zachęcaniu drugiej osoby do wyświadczenia nam drobnej przysługi lub zakupu jakiejś drobnostki tylko po to, by później poprosić o większą przysługę lub kosztowniejszy zakup peryferyjna droga perswazji (ang. peripheral route ) sytuacja, gdy jedna osoba przekonuje drugą do czegoś, wykorzystując skojarzenia lub sygnały pośrednie (np. fakt, że celebryta coś poleca, wywołuje pozytywne emocje) perswazja (ang. persuasion ) proces zmiany czyjegoś nastawienia w oparciu o komunikaty namawiające do czegoś lub odradzające coś", "section": "Postawy i ich zmiana", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Konformizm, zgodność, posłuszeństwo Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić efekt Ascha Zdefiniować konformizm i rodzaje wpływu społecznego Opisać eksperyment Stanleya Milgrama i jego implikacje Zdefiniować myślenie grupowe, facylitację społeczną i próżniactwo społeczne Ten podrozdział poświęcony jest innym sposobom wywierania wpływu na ludzi. Na przykładzie zagadnień takich jak dopasowanie, wpływ społeczny, posłuszeństwo i procesy grupowe omówione zostanie znaczenie oddziaływania sytuacji społecznej na zmianę naszego myślenia, uczuć i zachowań. W pierwszej części omówiono słynny eksperyment psychologiczny, w którym zbadano podatność człowieka na zewnętrzną presję społeczną. Dostosowywanie się W latach 50. XX wieku Solomon Asch (1907-1996), amerykański psycholog polskiego pochodzenia, przeprowadził szereg eksperymentów w celu określenia wpływu sposobu myślenia i zachowania jednych ludzi na innych. W jednym z badań grupie uczestników pokazano kartki, na których narysowano odcinki o różnej długości: a, b, c ( ). Następnie pokazano uczestnikom czwarty odcinek: x i poproszono o wskazanie, który z odcinków z pierwszego zbioru (a, b czy c) jest najbardziej zbliżony długością do odcinka x. Odcinki te ilustrują zadanie z badania Solomona Ascha dotyczącego dostosowania się. Która z linii po prawej – a, b czy c – jest takiej samej długości, jak linia x po lewej? Więcej przykładów ilustrujących efekt zaobserwowany przez Ascha w formie wideo znajdziesz tutaj i tutaj . W każdej grupie uczestników była tylko jedna autentyczna osoba badana, nieświadoma tego, że pozostali członkowie byli pomocnikami eksperymentatora, badaczami uczestniczącymi (ang. research participant ). W badaniu Ascha pomocnicy eksperymentatora wskazali odcinek, który był wyraźnie krótszy niż właściwy, tj. podawali błędną odpowiedź. Nieświadomy uczestnik miał następnie sam powiedzieć na głos, który odcinek jest tej samej długości co odcinek x. Jak często nieświadomi uczestnicy potwierdzali odpowiedź badaczy uczestniczących? Jak często grupa wywarła wpływ na uczestnika, przez co podawał on błędną odpowiedź? Asch (1955) dowiódł, że 76% uczestników dostosowało się do presji grupy i wskazało niewłaściwy odcinek. Konformizm (ang. conformity ) to sytuacja, gdy jednostka zmienia swoje zachowanie, by zachować pozycję w grupie, nawet jeśli nie zgadza się z jej działaniami. Dlaczego ludzie podawali błędną odpowiedź? Jakie czynniki mogą wpływać na wzrost lub spadek prawdopodobieństwa dostosowania się człowieka do presji grupowej? Efekt Ascha (ang. Asch effect ) to wpływ grupy na osąd jednostki, nawet jeśli ta wie, że zdanie grupy jest błędne. Jakie czynniki powodują, że człowiek jest bardziej skłonny poddać się presji grupowej? Badania pokazały, że są to: liczba osób stanowiących większość, obecność drugiej osoby myślącej podobnie do uczestnika oraz jawność lub niejawność udzielania odpowiedzi. Liczba osób stanowiących większość: im więcej osób w grupie, tym bardziej prawdopodobne jest, że jednostka dostosuje się do większości. Istnieje jednak górny limit, tj. punkt, powyżej którego dodawanie kolejnych osób do grupy większościowej przestaje oddziaływać na jednostkę. W badaniu Ascha poziom konformizmu malał wraz ze spadkiem liczby osób w grupie większości do siedmiu osób. Przy 7–11 osobach poziom konformizmu był równy i tylko nieznacznie się obniżał (Asch, 1955). Obecność drugiej osoby myślącej podobnie do uczestnika: jeżeli w grupie znajduje się co najmniej jedna osoba poza uczestnikiem, która nie zgadza się z większością, poziom dostosowania się spada niemal do zera (Asch, 1955). Jawność lub niejawność udzielania odpowiedzi: kiedy odpowiedzi są udzielane jawnie (w obecności innych) ludzie są bardziej skłonni dostosować się do większości, natomiast gdy odpowiedzi udziela się w sposób niejawny (np. przez zapisanie swojej odpowiedzi), prawdopodobieństwo dostosowania się jest mniejsze (Deutsch i Gerard, 1955). Lepiej poznasz zachowania konformistyczne, gdy obejrzysz to wideo . Obserwacja, że ludzie są bardziej skłonni do konformizmu, kiedy muszą odpowiedzi udzielać jawnie, niż gdy mogą to zrobić niejawnie, jest przyczyną, dla której w wyborach głosujemy niejawnie. Takie zasady służą temu, abyśmy nie ulegali wpływom innych osób ( ). Efekt Ascha można zaobserwować na przykładzie dzieci, które mają zagłosować za czymś publicznie. Przykładowo, jeżeli nauczyciel zapyta, czy dzieci wolałyby dodatkową przerwę, brak pracy domowej, czy też słodycze, to po wypowiedzeniu swojego zdania przez kilkoro dzieci reszta się do nich dostosuje. W innej klasie większość mogłaby zagłosować inaczej i wtedy także pozostałe dzieci podążyłyby za grupą w swojej decyzji. Zjawisko, w którym osoba zmienia zdanie w jawnym głosowaniu, zwane jest podporządkowaniem się. Podporządkowywanie niekiedy jest formą konformizmu. Polega ono na tym, że człowiek podporządkowuje się prośbie lub żądaniu, nawet jeżeli nie zgadza się z nimi. W badaniach prowadzonych przez Ascha uczestnicy podporządkowali się przez udzielanie błędnych odpowiedzi, choć wewnętrznie nie zgadzali się z tą decyzją, bo wiedzieli, że prawidłowa odpowiedź jest inna. Tajność wyborów ma zredukować presję do dostosowywania się. (Źródło: Nicole Klauss). Skoro już omówiliśmy eksperymenty z odcinkami Ascha, możemy się zastanowić, dlaczego uczestnicy podporządkowali się decyzjom innych. Aby odpowiedzieć na to pytanie, naukowcy podzielili motywację do podporządkowywania się innym na dwa typy: normatywny wpływ społeczny i społeczny dowód słuszności (Deutsch i Gerard, 1955). W przypadku normatywnego wpływu społecznego (ang. normative social influence ) ludzie dostosowują się do norm obowiązujących w grupie, by pasować do niej, dobrze się w niej czuć i być akceptowanym. Natomiast wpływ informacyjny (ang. informational influence ) to sytuacja, w której dostosowanie się do norm obowiązujących w grupie wywołane jest przekonaniem, że grupa jest kompetentna i posiada właściwe informacje, zwłaszcza jeżeli zadanie lub okoliczności są niejasne. Jaki rodzaj wpływu społecznego zadziałał w badaniu Ascha? Skoro zadanie było proste i jednoznaczne, uczestnicy nie musieli polegać na grupie, by uzyskać wskazówki. Mimo to podporządkowali się, by nie odstawać od grupy i uniknąć ośmieszenia. Mamy zatem do czynienia z przykładem normatywnego działania wpływu społecznego. Jedną z podkategorii wpływu informacyjnego jest społeczny dowód słuszności (ang. social proof ), najczęściej występujący w sytuacji nagłej, nieznanej lub niejasnej. Wyobraźmy sobie, że jesteśmy w kinie i oglądamy film, a spod drzwi wyjściowych zaczyna wydostawać się coś, co wygląda na dym. Nie mamy pewności, czy to faktycznie dym, czy jeden z efektów specjalnych zastosowanych w celu uatrakcyjnienia filmu, np. sztuczna mgła. Jeżeli nie mamy co do tego pewności, rozglądamy się wokół i obserwujemy zachowania pozostałych widzów w kinie. Jeżeli inni zaniepokoją się tą sytuacją i zaczną wstawać z miejsc w celu ucieczki, to prawdopodobnie zrobimy to samo. Natomiast jeżeli nikogo taki dym nie zdziwi, to będziemy bardziej skłonni, by zostać w sali i dalej oglądać film ( ). Ludzie w tłumie zwykle szukają wskazówek u innych i zachowują się tak jak oni. (a) Widownia słucha wykładu; ludzie są stosunkowo cicho i uważnie patrzą na mówcę. (b) Widownia na koncercie rockowym, podczas którego ludzie mogą angażować się w czynności takie jak rzucanie się na innych, aby ci ponieśli ich na rękach. (Źródło (a): modyfikacja pracy Matta Browna; źródło (b): modyfikacja pracy Christiana Holméra). Niełatwo przewidzieć, jak byśmy się zachowali na miejscu badanych w eksperymencie Ascha. Wiele osób przyznaje, że nie dostosowałoby się wcale, że badanie jest przestarzałe i że ludzie są dzisiaj bardziej niezależni. Może to być prawdą do pewnego stopnia. Badacze potwierdzają, że ogólny wskaźnik konformizmu mógł się zmniejszyć od czasu eksperymentów Ascha. Ponadto nowe badania mające na celu powtórzenie eksperymentu Ascha pokazały wyraźnie, że wpływ na to, czy dana osoba dostosuje się do grupy, ma szereg czynników. Niektóre z nich to wiek i płeć uczestnika oraz jego pochodzenie społeczno-kulturowe (Bond i Smith, 1996; Larsen, 1990; Walker i Andrade, 1996). Eksperyment Stanleya Milgrama Konformizm to skutek wpływu innych na nasze myśli, emocje i zachowania. Inną formą wpływu jest posłuszeństwo wobec autorytetów. Posłuszeństwo (ang. obedience ) to zmiana zachowania po to, by zadowolić autorytet lub uniknąć nieprzyjemnych konsekwencji. Aby zrozumieć to zjawisko, omówimy inny klasyczny eksperyment psychologii społecznej. Stanley Milgram (1933-1984) to profesor psychologii społecznej Uniwersytetu Yale, który był zafascynowany procesem sądowym Adolfa Eichmanna (1906-1962), zbrodniarza nazistowskiego. Linią obrony Eichmanna przeciwko zarzutom zbrodni wojennych było to, że, jak twierdził, „tylko wykonywał rozkazy”. Milgram (1963) postanowił sprawdzić zasadność tej linii obrony, więc opracował eksperyment, w którym zamierzał sprawdzić, czy „przeciętny Amerykanin” będzie skłonny pod wpływem autorytetu wykonywać nieakceptowalne społecznie polecenia. W badaniu udział wzięło 40 mężczyzn, ochotników, którzy odpowiedzieli na ogłoszenie w gazecie. Badanych informowano, że biorą udział w badaniu dotyczącym wpływu kar na zapamiętywanie. Na początku losowano role „nauczyciela” i „ucznia”. Losowanie było fikcyjne, rolę „nauczyciela” zawsze otrzymywał badany, a „ucznia” pomocnik eksperymentatora. Następnie prezentowano im laboratorium i sprzęt, którego będą używać. Stanowiska nauczyciela i ucznia były oddzielone ścianą, tak że nie widzieli się oni nawzajem i komunikowali za pomocą specjalnego urządzenia. Uczeń był podłączany do urządzenia generującego wstrząsy elektryczne, a sterowanie wstrząsami było zadaniem nauczyciela. Nauczyciel czytał uczniowi serię par słów, a następnie sprawdzał, czy uczeń zapamiętał je i prawidłowo podaje drugie słowo z pary, przez wybranie odpowiedniego przycisku na urządzeniu. Wybór dokonany przez ucznia był wyświetlany w pomieszczeniu nauczyciela. W przypadku nieprawidłowej odpowiedzi ucznia nauczyciel miał za zadnie „ukarać go” wstrząsem elektrycznym. Oczywiście w rzeczywistości uczeń nie otrzymywał żadnego wstrząsu, a jego reakcje były z góry zaplanowane. Generator wstrząsów miał 30 przycisków, odpowiadających coraz silniejszym wstrząsom, które zostały opisane zarówno liczbowo (od 15 do 450 V), jak i słownie, kategoriami (od „słaby wstrząs” do „bardzo silny wstrząs”). Nauczycielom powiedziano, że przy każdej kolejnej niepoprawnej odpowiedzi powinni udzielać coraz silniejszych wstrząsów. Uczeń przy pierwszych, słabych wstrząsach nie przejawiał żadnych reakcji, aż do wstrząsu o napięciu 300 V. Przy tym wstrząsie uderzał mocno w ścianę, co słyszał nauczyciel, a po następnym wstrząsie, 315 V jego odpowiedzi przestawały się wyświetlać. Nauczyciel był instruowany, aby brak odpowiedzi traktować jako odpowiedź błędną i generować kolejne wstrząsy. Gdy badacz mówił uczestnikom, aby kontynuowali badanie, 65% z nich posłusznie dalej aplikowało wstrząsy o maksymalnej mocy nawet wtedy, gdy uczący się przestawał reagować na pytania ( ). Co powoduje, że człowiek staje się posłuszny wobec autorytetu do tego stopnia, że może poważnie skrzywdzić drugą osobę? Eksperyment Milgrama pokazał zaskakująco duży odsetek osób posłusznych wobec autorytetów. Dwoje na troje (65%) badanych kontynuowało aplikowanie wstrząsów nawet po tym, jak obiekt przestał reagować. Przeprowadzono szereg wariantów oryginalnego eksperymentu Milgrama w celu zbadania granic posłuszeństwa. Gdy zmieniano pewne okoliczności sytuacji, uczestnicy byli mniej skłonni do aplikowania wstrząsów (Milgram, 1965). Przykładowo, gdy eksperyment przeniesiono do budynku biurowego, procent uczestników, którzy zaaplikowali wstrząs o najwyższym napięciu, spadł do 48%. Gdy uczący się przebywał podczas badania w tym samym pomieszczeniu co uczestnik, odsetek osób aplikujących najsilniejsze wstrząsy spadł do 40%. Gdy ręce nauczycieli i uczniów dotykały się, odsetek ten spadł do 30%, a gdy badacz udzielał instrukcji przez telefon, tylko 23% nauczycieli zadało najsilniejszy wstrząs. Wyniki uzyskane w wariantach eksperymentu pokazują, że gdy człowieczeństwo osoby, której aplikowano wstrząs, było bardziej wyeksponowane, poziom posłuszeństwa malał. Podobnie, gdy autorytet badacza obniżał się, posłuszeństwo również. Polska replika eksperymentu Milgrama W 2015 roku polscy badacze powtórzyli eksperyment Milgrama i mimo że badanie zostało wykonane stosunkowo niedawno, jego rezultaty były podobne do badania Milgrama. Kliknij, żeby przejść do artykułu. Na podstawie przeprowadzonych badań w 2017 ukazała się książka: Posłuszni do bólu . O uległości wobec autorytetu w 50 lat po eksperymencie Milgrama , której autorami są Dariusz Doliński i Tomasz Grzyb (Wydawnictwo Smak Słowa). Często widzimy zastosowanie zasady posłuszeństwa w dzisiejszych czasach. Co robi człowiek, któremu autorytet każe coś zrobić? Co się stanie, jeżeli człowiek ten uważa, że zadanie, jakie ma wykonać, jest niewłaściwe lub, co gorsza, nieetyczne? W badaniu przeprowadzonym przez Martina i Bulla (2008) położne wypełniały indywidualnie kwestionariusze dotyczące dobrych praktyk i oczekiwań podczas porodu. Następnie starsza rangą położna poprosiła młodsze pracownice, aby wykonały coś, czemu wcześniej się sprzeciwiły. Większość młodszych położnych wykazała się posłuszeństwem wobec autorytetu, działając niezgodnie z własnym osądem. Syndrom grupowego myślenia Będąc w grupie, często ulegamy wpływowi sposobu myślenia, emocji i zachowań pozostałych członków grupy. Niezależnie od tego, czy dzieje się to na zasadzie normatywnego wpływu społecznego, czy też wpływu informacyjnego, grupy mają moc wpływania na innych. Innym zjawiskiem będącym przejawem procesu grupowego jest syndrom grupowego myślenia. Syndrom grupowego myślenia (ang. groupthink ) to stan, w którym członkowie grupy zmieniają poglądy, by dopasować się do tego, co – jak im się wydaje – stanowi pogląd grupy (Janis, 1972). Janis uważał, że syndrom ten pojawia się w grupach, które spełniają pewne warunki członkostwa i problemu, przed którym stają. Twierdził on, że na zjawisko to mogą wpływać następujące czynniki sprzyjające: waga decyzji, prestiż grupy i poszczególnych członków, wysokie kwalifikacje członków grupy, dostęp do szczególnych informacji, presja czasu i oczekiwań, przekonanie o wyższości i moralności własnej grupy czy izolacja grupy. Według Janisa syndrom grupowego myślenia objawia się poczuciem nieomylności, wyższej moralności grupy przy jednoczesnej autocenzurze oraz ignorowaniem niepomyślnych informacji czy opinii osób spoza grupy. Symptomy grupowego myślenia mogą prowadzić do podejmowania błędnych decyzji, gdyż grupa nie tylko nie uznaje jakichkolwiek odmiennych, ale także trwa w przekonaniu o słuszności własnych opinii. Do przemyślenia W marcu 2003 r. Stany Zjednoczone przewodniczyły koalicji państw, która dokonała inwazji na Irak. Doszło do niej, ponieważ zespół doradców wraz z ówczesnym prezydentem Georgem W. Bushem na podstawie informacji wywiadowczych CIA byli przekonani, że Irak stanowi poważne zagrożenie terrorystyczne i dysponuje dużymi zapasami broni masowego rażenia. Mimo że niektóre z tych osób miały wątpliwości co do wiarygodności dostępnych informacji, ostatecznie grupa oparła się na dowodach dostarczonych przez CIA i uznała, że Irak faktycznie jest w posiadaniu pokaźnych zasobów broni masowego rażenia, co stanowiłoby poważne zagrożenie dla bezpieczeństwa narodowego. Dopiero w trakcie inwazji wyszło na jaw, że Irak wcale nie miał broni masowego rażenia. W rezultacie tego konfliktu zbrojnego zginęło 4 tys. amerykańskich żołnierzy i o wiele więcej cywilów. Jak rząd kierowany przez Busha podjął decyzję o ataku? Colin Powell wspomina tę sytuację 8 lat po swoim słynnym wystąpieniu w ONZ w tym wideo (od ok. 7 minuty) . Zastanów się, czy w tej sytuacji mamy do czynienia z syndromem grupowego myślenia. Dlaczego syndrom grupowego myślenia w ogóle występuje? Istnieje kilka jego przyczyn, którym można zapobiec. Gdy grupa jest bardzo spójna albo jej członków łączą silne więzi, potrzeba utrzymania harmonii w grupie może być silniejsza od potrzeby podejmowania słusznych decyzji. Jeżeli lider grupy ma władczy charakter i głośno komunikuje swoje decyzje, może to zniechęcać pozostałych członków do sprzeciwu. Jeżeli natomiast grupa jest odizolowana od możliwości poznania alternatywnych lub nowych poglądów, wystąpienie syndromu grupowego myślenia staje się bardziej prawdopodobne. Skąd wiadomo, że mamy do czynienia z przypadkiem syndromu grupowego myślenia? Wyróżniamy kilka symptomów syndromu grupowego myślenia, w tym: postrzeganie grupy jako niezniszczalnej lub nie do pokonania, przekonanie, że grupa nie może zrobić nic złego, przekonanie, że grupa zachowuje się moralnie, autocenzura członków grupy, np. wstrzymywanie się z ujawnieniem informacji, aby nie zaburzyć konsensusu grupowego, obalanie opinii członków grupy mających inne zdanie, chronienie lidera grupy przed odmiennymi osądami, ulegnięcie iluzji jednomyślności grupy, stereotypowe myślenie lub niechętny stosunek do osób spoza grupy lub ludzi wyrażających odmienne poglądy (Janis, 1972). Znamy przyczyny i objawy syndromu grupowego myślenia, ale jak możemy zapobiegać jego wystąpieniu? Istnieje szereg strategii usprawniających proces podejmowania decyzji przez grupę, takich jak zasięganie opinii z zewnątrz, głosowanie niejawne, powstrzymanie się lidera przed wygłoszeniem swojego zdania, dopóki wszyscy członkowie grupy się nie wypowiedzą, zbadanie każdego poglądu, oszacowanie kosztów i korzyści każdej z opcji oraz opracowanie planu awaryjnego (Janis, 1972; Mitchell i Eckstein, 2009). Polaryzacja w grupie Kolejnym zjawiskiem występującym w kontekście grupowym jest polaryzacja. Polaryzacja w grupie (ang. group polarization ) (Teger i Pruitt, 1967) to wzmacnianie (uskrajnienie) pierwotnych poglądów grupy po przedyskutowaniu ich przez jej członków. Oznacza to, że jeżeli grupa początkowo opowiada się za pewnym poglądem, to po przeprowadzeniu dyskusji konsensus grupy zazwyczaj ulega wzmocnieniu. I odwrotnie, jeżeli grupa początkowo sprzeciwia się danemu stanowisku, to po jego przedyskutowaniu jej nastawienie może być jeszcze bardziej negatywne. Zjawisko polaryzacji w grupie wyjaśnia, dlaczego wiele działań podejmowanych przed grupę nigdy nie zostałoby podjętych przez jednostkę. Polaryzację w grupie możemy zaobserwować na konwencjach politycznych, gdzie dana partia otrzymuje wsparcie od osób, które nie udzieliłyby jej (czy reprezentującemu ją politykowi) wsparcia, gdyby nie były częścią tej grupy. Bliższym przykładem jest dyskusja w grupie o tym, czy dana osoba jest atrakcyjna. Kiedy uważamy, że osoba, o której mowa, jest atrakcyjna, ale znajomi z grupy mają na ten temat odmienne zdanie, to czy nasze stanowisko ulega zmianie? A gdy znajomi uznają jednogłośnie, że dana osoba jest atrakcyjna, to czy nie wyda nam się jeszcze bardziej atrakcyjna? Wpływ mniejszości Niektóre opisane wyżej przykłady oddziaływania grupy wskazują, że większość może w sposób znaczący zmieniać indywidualne opinie, decyzje i zachowania. Jednakże, jak wynika z wcześniej opisanego eksperymentu Ascha, wpływ ten niekoniecznie jest trwały. Serge Moscovici (1925-2004), francuski psycholog społeczny pochodzenia rumuńskiego, zauważył, że wiele rewolucyjnych ruchów zaczyna się od jednostki lub właśnie mniejszości (np. chrześcijaństwo). Moscovici postulował, że różnego rodzaju zmiany w przekonaniach mogą się odbywać dzięki wpływowi mniejszości (Moscovici, 1976). Zasugerował on, że wpływ mniejszości różni się znacząco od wpływu większości. Podobnie jak inni badacze twierdził, że wpływ większości na mniejszość odbywa się dzięki konformizmowi, wynikającemu z różnych powodów opisanych wyżej. Wpływ mniejszości na większość oparty jest na innym mechanizmie – na indywidualnych konfliktach poznawczych i poznawczej restrukturalizacji. W wielu badaniach wykazano, że mniejszość może wpływać na większość w sposób nieuświadamiany, wywołując wewnętrzne zmiany w strukturach poznawczych (Moscovici i Personnaz, 1980). Czynniki te mogą wyjaśniać fakt, że wpływ mniejszości ma trwalszy charakter niż wpływ większości, lecz by zaistniał, konieczny jest czas i spełnienie pewnych warunków, takich jak wewnętrzna spójność mniejszości i jej opinii. Facylitacja społeczna Nie wszystkie interakcje grupowe mają negatywne skutki. Niekiedy bycie członkiem grupy może usprawnić nasze działanie. Facylitacja społeczna (ang. social facilitation ) to zjawisko powodujące, że jednostka bardziej się stara i osiąga lepsze wyniki, gdy inni obserwują jej działanie, niż kiedy działa w samotności. Dotyczy to jednak sytuacji, w której zadanie jest jej dobrze znane, a czynności są dobrze wyuczone (Zajonc, 2001). Zastanów się nad przykładem, w którym fakt posiadania widowni lub obserwatorów przekłada się na poprawę wyników. Tak dzieje się np. w sporcie. Koszykarze o dużych umiejętnościach są bardziej skłonni do wykonania rzutu wolnego do kosza, gdy kibicuje im widownia, niż gdy trenują sami na sali gimnastycznej ( ). Zdarzają się jednak sytuacje, w których nawet doświadczeni sportowcy osiągają niższe wyniki, działając pod presją. Przykładowo, jeżeli gracz nie ma dużych umiejętności lub denerwuje się podczas wykonywania rzutu wolnego, to obecność obserwatorów może utrudnić jego sytuację, a nie wspomóc. Podsumowując, facylitacja społeczna występuje częściej w przypadku prostych lub wyuczonych czynności, ale nasze wyniki mogą też pogorszyć się, gdy występujemy przed innymi ludźmi, choć wiele zależy od rodzaju zadania do wykonania. Uwaga widowni może motywować doświadczonego gracza do lepszej gry. (Źródło: Tommy Gilligan/USMA). Facylitacja społeczna u zwierząt Facylitacja społeczna nie dotyczy wyłącznie ludzi. Robert Zajonc (1969) zaobserwował ją również u karaluchów. Więcej informacji tutaj . Próżniactwo społeczne Kolejne zjawisko, które może mieć wpływ na wyniki członka grupy, to próżniactwo społeczne. Próżniactwo społeczne (ang. social loafing ) to sytuacja, w której jednostka, pracując w grupie, wkłada w pracę mniej wysiłku, bo efektów jej działania nie można ocenić w oderwaniu od efektu działania grupy; w takich sytuacjach łatwe zadania są wykonywane gorzej i wydajność grupy spada (Karau i Williams, 1993). W istocie chodzi o to, że poszczególni członkowie grupy próżnują i pozwalają innym wykonywać większość pracy. Gdy nie ma możliwości dokonania oceny wysiłku włożonego w pracę przez jednostkę, stajemy się mniej zmotywowani do skutecznego działania. Przykładowo, wyobraźmy sobie grupę ludzi oddelegowaną do zbierania śmieci wzdłuż drogi. Niektóre osoby włożą duży wysiłek w pracę, podczas gdy inne nie wysilą się wcale. Mimo to zadanie zostaje wykonane w pełni, ale niekoniecznie będzie oczywiste, kto ciężko pracował, a kto nie. Studenci często mogą zetknąć się z próżniactwem społecznym podczas grupowej pracy nad projektem. Z pewnością niejedna osoba zmuszona była kiedyś wykonać więcej pracy niż jej przypisano, ponieważ inni członkowie grupy zrobili zbyt mało. Z taką sytuacją możemy mieć do czynienia, gdy wykładowca wystawia jedną ocenę za projekt całej grupie, a nie ocenia poszczególnych osób. Jeżeli profesor nie ma świadomości, ile pracy w zadanie włożyły konkretne osoby, wówczas niektórzy studenci mogą zrzucić swoje obowiązki na bardziej odpowiedzialnych członków zespołu. Prawdopodobieństwo wystąpienia próżniactwa społecznego rośnie wraz ze wzrostem liczebności grupy (Shepperd i Taylor, 1999). Co ciekawe, przeciwieństwo próżniactwa społecznego występuje, gdy zadanie jest złożone i trudne (Bond i Titus, 1983; Geen, 1989). Wróćmy na chwilę pamięcią do omówienia trudności przeżywanych pod presją. Właśnie to dzieje się, gdy musimy wykonać trudne zadanie, a nasza indywidualna praca będzie podlegać ocenie. W kontekście grupowym, takim jak studencki zespół projektowy, jeżeli praca poszczególnych członków nie podlega ocenie, presja na dobry wynik jest niższa, co przekłada się na niższy poziom lęku i pobudzenia fizjologicznego (Latané et al., 1979). Dzięki temu relaksujemy się i możemy wykonać zadanie na miarę naszych możliwości, jeżeli nam na tym zależy (Zajonc, 1965). Jeżeli zadanie jest trudne, wiele osób czuje się tym zmotywowanych i nabiera przekonania, że grupa potrzebuje ich wkładu, aby zrealizować wymagający projekt (Jackson i Williams, 1985). Mając już pewną wiedzę na temat próżniactwa społecznego, zastanów się, co można by doradzić nowemu wykładowcy zadającemu studentom zadania grupowe. Jeżeli porada wskazywałaby, żeby praca poszczególnych członków zespołu nie podlegała indywidualnej ocenie (aby zapobiec lękowi spowodowanemu presją), a zadanie powinno być odpowiednio trudne, oznacza to, że dobrze już rozumiesz kwestie omówione w tym podrozdziale. Inną radą mogłaby być sugestia, aby praca poszczególnych osób była poddana ocenie, ale wówczas zadanie musi być proste, aby ułatwić pracę studentów. Rodzaje wpływów społecznych. Wpływ społeczny Opis konformizm zmiana zachowania, aby podążyć za grupą, nawet jeżeli się z nią nie zgadzasz podporządkowywanie się wykonywanie czyjegoś polecenia lub żądania normatywny wpływ społeczny dostosowanie się do grupy w celu wzmocnienia poczucia przynależności, dobrego samopoczucia i zyskania akceptacji grupy społeczny dowód słuszności dostosowanie się do normy społecznej z przekonaniem, że grupa jest kompetentna i posiada prawidłowe dane posłuszeństwo zmiana zachowania w celu zadowolenia autorytetu lub uniknięcia przykrych konsekwencji syndrom grupowego myślenia członkowie grupy modyfikują swoje opinie, by nie odstawać od tego, co uznają za konsensus grupowy polaryzacja grupowa wzmacnianie początkowego stanowiska grupy po wspólnym przedyskutowaniu go facylitacja społeczna poprawa wyników w obecności widowni w porównaniu z wykonywaniem tego samego zadania samotnie próżniactwo społeczne gdy jednostka, pracując w grupie, wkłada w pracę mniej wysiłku, bo efektów jej działania nie można ocenić w oderwaniu od efektu działania grupy Summary Czynniki sytuacyjne mogą spowodować, że ludzie będą się dostosowywać do grupy, nawet jeżeli nie zgadzają się z nią w pewnych sprawach. Dostosowanie się do norm grupowych motywowane jest dwojako: pragnieniem dopasowania się do grupy, bycia lubianym oraz chęcią działania zgodnie z prawdą i pozyskiwania informacji od grupy. Autorytety również mogą mieć wpływ na nasze zachowania, a wielu ludzi zachowuje się posłusznie i wypełnia polecenia, nawet jeżeli są one sprzeczne z ich własnymi wartościami. Podporządkowanie się presji wywieranej przez grupę może przyjąć formę syndromu grupowego myślenia, czyli sytuacji, w której występuje błędny proces decyzyjny spowodowany spójnością grupy i chęcią zachowania harmonii w grupie. Kontekst grupowy może także ulepszać zachowania człowieka dzięki zjawisku facylitacji grupowej, która ma zastosowanie do prostych zadań, ale nie działa w przypadku zadań trudnych. Obecność innych ludzi wokół nas może także doprowadzić do próżniactwa społecznego, jeżeli indywidualny wkład pracy w zadanie nie podlega ocenie. Review Questions W eksperymencie Ascha uczestnicy dostosowali się z powodu wpływu________. społecznego normatywnego inspiracyjnego perswazyjnego B W jakich warunkach prawdopodobieństwo wystąpienia zjawiska społecznego dowodu słuszności rośnie? gdy ludzie chcą się dopasować gdy odpowiedź jest niejasna gdy grupa posiada wiedzę i doświadczenie zarówno b i c D Próżniactwo społeczne występuje, gdy ________. nie można ocenić pracy poszczególnych osób zadanie jest proste zarówno a i b żadne z powyższych C Jeżeli członkowie grupy zmieniają swoje osądy w celu dostosowania się do konsensusu grupy, mówimy o wystąpieniu zjawiska________. grupowej spójności facylitacji społecznej syndromu grupowego myślenia próżniactwa społecznego C Critical Thinking Questions Opisz, jak zasięganie opinii na zewnątrz grupy może zapobiec syndromowi grupowego myślenia. Osoby spoza grupy mogą odgrywać rolę kontrolerów jakości, prezentując różnorodne poglądy i stanowiska odmienne od głoszonych przez lidera grupy. Osoba z zewnątrz może też pomóc znieść iluzję niezwyciężoności przez poddanie kontroli zewnętrznej działań grupy. Ponadto taka osoba może być źródłem dodatkowych informacji i ujawnić takie, które członkowie grupy pominęli. Porównaj zjawiska próżniactwa społecznego i facylitacji społecznej oraz znajdź między nimi różnicę. W próżniactwie społecznym nie można ocenić pracy poszczególnych osób. Zarówno próżniactwo społeczne, jak i facylitacja społeczna mogą wystąpić, gdy przydzielone zadanie jest proste lub znane i gdy ludzie są zrelaksowani. Personal Application Questions Przeprowadź badanie na temat konformizmu następnym razem, gdy znajdziesz się w windzie. Po wejściu do windy stań tyłem do jej drzwi. Zobacz, czy inni dostosują się do twojego zachowania. Obejrzyj ten materiał z ukrytej kamery, by zobaczyć przykład tego zjawiska. Czy w twoim przypadku było podobnie? Większość studentów kategorycznie twierdzi, że nigdy nie zwiększyłaby mocy wstrząsów w eksperymencie Milgrama. A jak byłoby z tobą? Przeanalizuj swoje poprzednie zachowania. Czy znajdziesz wśród nich takie, które mogłyby jednak wskazywać na wykonanie polecenia o zwiększenie mocy wstrząsu? efekt Ascha (ang. Asch effect ) wpływ grupy na zachowanie jednostki, nawet jeśli ta wie, że zdanie grupy jest błędne badacz uczestniczący (ang. research participant ) osoba pracująca dla naukowca i świadoma faktu, że uczestniczy w eksperymencie, ale mająca status uczestnika tegoż eksperymentu; wykorzystywana do manipulowania zachowaniami badanych i do zmiany stosunków w grupie; jej działania są częścią eksperymentu konformizm (ang. conformity ) sytuacja, gdy jednostka zmienia swoje zachowanie, by utrzymać pozycję w grupie, nawet jeśli nie zgadza się z działaniami grupyr polaryzacja w grupie (ang. group polarization ) wzmacnianie pierwotnych poglądów grupy po przedyskutowaniu ich między jej członkami syndrom myślenia grupowego (ang. groupthink ) stan, w którym członkowie grupy zmieniają poglądy, by dopasować się do tego, co – jak im się wydaje – stanowi pogląd grupy społeczny dowód słuszności (ang. social proof ) dostosowanie się do norm obowiązujących w grupie wywołane przekonaniem, że grupa jest kompetentna i posiada właściwe informacje normatywny wpływ społeczny (ang. normative social influence ) dostosowanie się do norm obowiązujących w grupie, by pasować do niej, czuć się w niej dobrze i być akceptowanym posłuszeństwo (ang. obedience ) zmiana zachowania po to, by zadowolić autorytet lub uniknąć nieprzyjemnych konsekwencji facylitacja społeczna (ang. social facilitation ) fakt, że jednostka bardziej się stara i ma lepsze wyniki, gdy inni obserwują jej działanie, niż gdy działa w samotności (dotyczy głównie czynności prostych, wyuczonych) próżniactwo społeczne (ang. social loafing ) gdy jednostka, pracując w grupie, wkłada w pracę mniej wysiłku, bo efektów jej działania nie można ocenić w oderwaniu od efektu działania grupy; w takich sytuacjach łatwe zadania są wykonywane gorzej", "section": "Konformizm, zgodność, posłuszeństwo", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Uprzedzenia i dyskryminacja Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować i rozróżnij uprzedzenia, stereotypy i dyskryminację Podać przykłady uprzedzeń, stereotypów i dyskryminacji Wyjaśnić, dlaczego istnieją uprzedzenia i dyskryminacja Konflikty międzyludzkie mogą skutkować przemocą, wojną i masowymi mordami, czyli ludobójstwem. Uprzedzenia i dyskryminacja (ang. discrimination ) to często podstawowe przyczyny konfliktów między ludźmi. Uprzedzenia i dyskryminacja mają wpływ na wszystkich. W tym podrozdziale przedstawimy definicje uprzedzenia i dyskryminacji oraz omówimy przykłady tych zjawisk i ich przyczyny. Uprzedzenia i dyskryminacja występują na całym świecie. (a) Szyld z 1939 roku z okupowanej Polski, napis brzmi „Zakaz wstępu Polakom!”. (b) Afroamerykanin pije wodę z kranu oznaczonego napisem „dla kolorowych” w Oklahomie w 1939 roku, w czasach segregacji rasowej (przykład dyskryminacji). (c) Członkowie Westboro Baptist Church, grupy utożsamianej z szerzeniem mowy nienawiści, biorą udział w akcji dyskryminacyjnej na tle religijnym i orientacji seksualnej. (Źródło (b): modyfikacja pracy United States Farm Security Administration; źródło (c): modyfikacja pracy „JCWilmore”/Wikimedia Commons). Zrozumieć uprzedzenie i dyskryminację Jak już zostało powiedziane na przykładzie Trayvona Martina na początku rozdziału, choć ludzi łączy szereg podobieństw, to także występuje między nami wiele różnic. Te różnice mogą być dla niektórych trudne do zaakceptowania, co prowadzi do uprzedzeń. Uprzedzenie (ang. prejudice ) to negatywne podejście do jednostki oparte wyłącznie na jej przynależności do określonej grupy społecznej (Allport, 1954; Brown, 2010). Uprzedzenia często dotykają osób będących członkami mniejszości kulturowych, których np. zwyczaje nie są powszechnie znane. Z tego względu prowadzenie działań edukacyjnych, utrzymywanie kontaktów i budowanie relacji z członkami różnych grup kulturowych może zmniejszyć tendencje do uprzedzeń. Co ciekawe, samo wyobrażanie sobie interakcji z osobami z innych grup kulturowych może wpłynąć na zmniejszenie uprzedzenia. W jednym z badań uczestników poproszono o wyobrażenie sobie wchodzenia w pozytywne interakcje z kimś będącym członkiem innej grupy kulturowej; działanie to przełożyło się na silniejsze pozytywne podejście do tej nieznanej grupy kulturowej i zwiększenie liczby pozytywnych cech kojarzonych z nią. Ponadto wyobrażone interakcje społeczne mogą się przyczynić do zmniejszenia lęku związanego z interakcją międzygrupową (Crisp i Turner, 2009). Zastanów się nad przykładami grup społecznych, do których należysz, mających wpływ na twoją tożsamość. Grupy społeczne to grupy, do których należą osoby o wspólnych cechach, takich jak płeć, rasa, pochodzenie etniczne, narodowość, klasa społeczna, religia, orientacja seksualna, zawód i wiele innych. Przykładem uprzedzenia jest okazywanie negatywnego stosunku wobec ludzi, którzy nie urodzili się w Polsce. Ktoś może żywić te uprzedzenia, chociaż przecież nie zna wszystkich ludzi, którzy nie urodzili się w Polsce. Status obcokrajowca wystarczy, żeby źle myśleć albo źle mówić o ludziach należących do tej grupy. Tymczasem podobnie jak w przypadku ról społecznych, można należeć do wielu grup społecznych. Czy przypominasz sobie jakieś uprzedzenie, które zdarzyło ci się żywić wobec jakiejś grupy? Jak doszło do powstania takiego uprzedzenia? Źródłem uprzedzeń często są stereotypy (ang. stereotypes ) – tj. konkretne przekonania lub założenia na temat innych ludzi oparte wyłącznie na ich przynależności do danej grupy społecznej, niezależnie od ich osobistych cech charakteru. Stereotypy to generalizacje, które stosuje się do wszystkich członków danej grupy społecznej. Przykładowo, ktoś, kto żywi uprzedzenie wobec starszych osób, może uważać, że starsi ludzie są powolni i niekompetentni (Cuddy et al., 2005; Nelson, 2004). Nikt nie jest w stanie poznać każdej osoby w podeszłym wieku, by móc faktycznie stwierdzić, że wszystkie osoby starsze są powolne i niekompetentne. W związku z tym taki negatywny pogląd stanowi generalizację – rozszerza się na całą grupę, mimo że wiele starszych to ludzie żwawi i kompetentni. Kolejny przykład powszechnego stereotypu dotyczy przekonań na temat różnic rasowych między sportowcami. Jak dowiedli Hodge, Burden, Robinson i Bennett (2008), czarnoskórzy sportowcy uważani są często za silniejszych i wytrzymalszych, choć mniej inteligentnych niż ich biali koledzy. Takie poglądy wciąż funkcjonują mimo istnienia wielu przykładów świadczących o czymś zupełnie przeciwnym. Niestety, takie przekonania wpływają na traktowanie sportowców przez innych ludzi oraz na to, jak oni sami postrzegają siebie i swoje możliwości. Kiedy myślimy stereotypowo na temat innej osoby, oczekujemy, że ta osoba potwierdzi ten stereotyp. Samospełniająca się przepowiednia (ang. self-fulfilling prophecy ) to traktowanie innych członków grupy w sposób zgodny z uprzedzeniami; nasze traktowanie sprawia, że zaczynają się oni zachowywać w sposób zgodny z tymi stereotypowymi oczekiwaniami, co z kolei utwierdza nas w naszych poglądach na ich temat. Badanie przeprowadzone przez Rosenthala i Jacobsona (1968) wykazało, że uczniowie o mniejszych możliwościach, od których nauczyciele oczekiwali dobrych wyników, uzyskiwali lepsze oceny niż uczniowie o mniejszych możliwościach, po których nauczyciele spodziewali się słabych wyników. Zastanówmy się nad takim przykładem związku przyczynowo-skutkowego w samospełniającej się przepowiedni: jeżeli pracodawca zakłada, że kandydat do pracy, który nie kryje się ze swoim homoseksualizmem, będzie niekompetentny, to może on traktować tego kandydata w sposób negatywny podczas rozmowy kwalifikacyjnej, np. przez mniejsze zaangażowanie w rozmowę, unikanie kontaktu wzrokowego i zachowanie z dużą rezerwą (Hebl et al., 2002). Kandydat odniesie wówczas wrażenie, że potencjalny pracodawca go nie lubi, i będzie odpowiadał na pytania w sposób oszczędny, będzie również unikał kontaktu wzrokowego i ogólnie mniej zaangażuje się w rozmowę. Po rozmowie pracodawca zapamięta zachowanie kandydata jako wycofane i pozbawione emocji, a na podstawie średniego wrażenia, jakie kandydat sprawiał podczas rozmowy, stwierdzi, że kandydat rzeczywiście był niekompetentny. Dlatego stereotyp żywiony przez pracodawcę: „Homoseksualni mężczyźni są niekompetentni i nie są dobrymi pracownikami” ulegnie wzmocnieniu. Czy sądzisz, że ten kandydat do pracy ma szansę na zatrudnienie u tego pracodawcy? Traktowanie ludzi w sposób stereotypowy może prowadzić do uprzedzeń i dyskryminacji. Inną siłą sprawczą, która może wzmacniać stereotypy, jest błąd konfirmacji. Podczas interakcji z obiektem naszych uprzedzeń przejawiamy tendencję do zwracania uwagi na informacje, które są zgodne z naszymi stereotypowymi oczekiwaniami, i ignorujemy te, które im przeczą. Proces ten, zwany błędem konfirmacji (ang. confirmation bias ), polega na poszukiwaniu informacji potwierdzających żywione przez nas stereotypy przy jednoczesnym ignorowaniu informacji niezgodnych z nimi (Wason i Johnson-Laird, 1972). Podczas rozmowy kwalifikacyjnej pracodawca mógł nie zauważyć, że kandydat do pracy był przyjaźnie nastawiony i zaangażowany oraz że na początku udzielał kompetentnych odpowiedzi. Zamiast tego pracodawca skupił się na zachowaniu kandydata w dalszej części rozmowy, po tym jak zmienił on swój sposób bycia w reakcji na negatywny stosunek rozmówcy. Czy przypominasz sobie sytuację, w której potraktowano cię niechętnie z powodu wystąpienia błędu konfirmacji lub działania zjawiska samospełniającej się przepowiedni? Jak możemy przerwać błędne koło samospełniającej się przepowiedni? Stereotypy dotyczące klasy społecznej mogą się pojawić w przypadku, gdy informacje na temat danej osoby nie są jasne. Jeżeli informacje są jasne, zazwyczaj nie dochodzi do tworzenia się stereotypów (Baron et al., 1995). Grupy własne i grupy obce Każdy z nas należy do jakiejś grupy płciowej, rasowej, wiekowej i społeczno-ekonomicznej. Grupy są istotnym źródłem naszej tożsamości i poczucia własnej wartości (Tajfel i Turner, 1979). Grupy, do których należymy, to nasze grupy własne. Grupa własna (ang. in-group ) to grupa, z którą się identyfikujemy lub do której – według nas – należymy. Z kolei grupa, do której nie należymy i uznajemy ją za inną od naszej, to grupa obca (ang. out-group ). Przykładowo, jeżeli jesteś kobietą, twoja grupa własna obejmuje wszystkie kobiety, a grupa obca składa się ze wszystkich mężczyzn ( ). W związku z tym, że ludzie mają silną potrzebę przynależności i emocjonalnych związków ze swoją grupą stosują tzw. faworyzację grupy własnej (ang. in-group favoritism ), czyli uważają, że grupa własna jest lepsza od innych. Taki pogląd może prowadzić do uprzedzeń i dyskryminacji. Warto pamiętać, że przynależność grupowa nie zawsze musi wynikać z cech, które posiadamy. Podział na grupy może się dokonywać w sposób losowy czy na podstawie tak nieistotnych kryteriów, jak np. kolor oczu. Ilustruje to nagranie eksperymentu zwanego „Niebieskie oczy – brązowe oczy” przeprowadzonego przez Jane Elliott. 15-minutowa relacja jest dostępna pod tym linkiem . Zdjęcie przedstawia dzieci wspinające się na drabinki na placu zabaw. Te małe dzieci mają już świadomość istnienia grup własnych i grup obcych. (Źródło: modyfikacja pracy Simone'a Ramelli). Oprócz sił, które zdają się pchać grupy w kierunku konfliktów, istnieją również siły, które mogą wspierać porozumienie między nimi. Są to: wyrażanie empatii, uznanie wcześniejszych krzywd obu stron oraz zaprzestanie zachowań destrukcyjnych. Jedną z funkcji uprzedzeń jest wspomaganie ludzi w utrzymaniu dobrego samopoczucia i pozytywnego wizerunku siebie. Potrzeba pozytywnego myślenia na własny temat rozszerza się na grupy własne: chcemy czuć się dobrze i chronić nasze grupy. Dlatego też czasem obwiniamy grupę obcą za dany problem. To zjawisko nazywamy znajdywaniem kozła ofiarnego (ang. finding a scapegoat ) i jest to akt obarczania winą kogoś z grupy obcej w sytuacji, gdy grupa własna doświadcza frustracji lub nie może osiągnąć swoich celów (Allport, 1954). Dyskryminacja Gdy ludzie dają wyraz swoim uprzedzeniom wobec określonej grupy, dochodzi do dyskryminacji. Dyskryminacja (ang. discrimination) to negatywne działania względem jednostek będące reakcją na ich przynależność do określonej grupy (Allport, 1954; Dovidio i Gaertner, 2004). W wyniku posiadania negatywnych przekonań (stereotypów) i negatywnych postaw (uprzedzeń) na temat danej grupy ludzie często traktują obiekt uprzedzenia w nieprzyjemny sposób, np. przez wykluczenie starszych osób z kręgu przyjaciół. Przykładem psychologa borykającego się z dyskryminacją na tle płci jest Mary Whiton Calkins (1863-1930). Calkins uzyskała specjalną zgodę na uczestniczenie w seminariach pomagisterskich na Uniwersytecie Harvarda (w tamtych czasach, tj. pod koniec lat 80. XIX wieku, Uniwersytet Harvarda nie przyjmował kobiet na studia) i w pewnym momencie była jedyną studentką słynnego psychologa Williama Jamesa (1842-1910). Calkins spełniła wszystkie wymagania uprawniające do uzyskania stopnia doktora, a psycholog Hugo Münsterberg nazwał ją „jedną z najlepszych profesorów psychologii w kraju”. Mimo to Uniwersytet Harvarda odmówił nadania Calkins stopnia doktora, ponieważ była kobietą (Harvard University, 2019). W przedstawiono cechy stereotypów, uprzedzeń i dyskryminacji. Czy kiedykolwiek spotkała cię dyskryminacja? Jeżeli tak było, przypomnij sobie, jakie myśli i emocje towarzyszyły tej sytuacji. Zestawienie cech stereotypów, uprzedzeń i dyskryminacji. Pozycja Funkcja Powiązanie Przykład stereotyp kognitywna; myśli na temat innych nadmiernie generalizowane poglądy na temat ludzi mogą prowadzić do uprzedzenia „Kibice drużyny Yankees są aroganccy i ohydni” uprzedzenie afektywna: emocje na temat innych, pozytywne i negatywne emocje mogą wpłynąć na traktowanie innych; prowadzi do dyskryminacji „Nienawidzę kibiców Yankees; wywołują we mnie złość” dyskryminacja zachowanie; pozytywne lub negatywne traktowanie innych żywienie stereotypów i uprzedzenia mogą prowadzić do wykluczenia, unikania i nierównego traktowania członków grupy „Nigdy nie zatrudniłbym ani nie zaprzyjaźnił się z kimś, kto jest kibicem Yankees” Omówiliśmy już stereotypy, uprzedzenia i dyskryminację, czyli negatywne myśli, uczucia i zachowania, ponieważ to one są zazwyczaj najbardziej problematyczne. Należy jednak wspomnieć o tym, że ludzie mogą też żywić pozytywne przekonania, uczucia i przejawiać pozytywne zachowania wobec jednostek w związku z ich przynależnością do jakiejś grupy. Przykładowo, ludzie mogą traktować ludzi podobnych sobie w sposób preferencyjny, czyli np. osoby tej samej płci, rasy lub będące kibicami tej samej drużyny. Ten materiał ilustruje zjawiska uprzedzeń, stereotypów i dyskryminacji. Film pokazuje eksperyment społeczny przeprowadzony w parku; troje ludzi otwarcie kradnie w nim rower. Są to osoby różnych płci i ras: biały nastolatek, czarnoskóry nastolatek i biała kobieta. Czy ktoś próbuje ich powstrzymać przed kradzieżą? Sposób, w jaki potraktowano nastolatków, ilustruje zjawisko rasizmu. Rodzaje uprzedzeń i dyskryminacji Kiedy poznajemy nowe osoby, automatycznie przetwarzamy trzy ich cechy: rasę, płeć i wiek (Ito i Urland, 2003). Dlaczego akurat te aspekty są dla nas tak istotne? Dlaczego zamiast tego nie zauważymy, że mają przyjazne spojrzenie czy się uśmiechają, nie zwrócimy uwagi na ich wzrost czy strój? Mimo że te drugorzędne cechy są ważne w tworzeniu się pierwszego wrażenia, to społeczne kategorie rasy, płci i wieku dostarczają nam wielu informacji na temat obcej osoby. Informacje te są jednak często oparte na stereotypach. Nasze oczekiwania wobec nieznajomych mogą być różne w zależności od ich rasy, płci i wieku. Jakie stereotypy i uprzedzenia masz w głowie, gdy spotykasz ludzi innej rasy, innej płci i w innym wieku niż ty? Rasizm Rasizm (ang. racism ) to uprzedzenia i dyskryminowanie osób wyłącznie w oparciu o ich przynależność rasową. Jakie znasz stereotypy dotyczące grup rasowych czy etnicznych? Według badań osoby pochodzące z Azji Południowo-Wschodniej zamieszkujące w Polsce są stereotypowo opisywane jako pracowite, inteligentne, ale niechętnie integrujące się z polską społecznością; podobnie oceniane są osoby przybyłe w ostatnich latach z Indii, choć ich inteligencja oceniana jest niżej. W Polsce, w przeciwieństwie do Stanów Zjednoczonych, Latynosi są uważani za osoby ciepłe, o dużym temperamencie. Natomiast osoby ciemnoskóre oceniane są jako mało inteligentne i niedostosowane do nowoczesnego świata. Choć z tych opisów wydawać by się mogło, że w Polsce dyskryminacja ze względu na kolor skóry nie jest tak dużym problemem jak w Stanach Zjednoczonych, to oczywiście zjawisko to występuje również w naszym kraju. Powodem, dla którego nie rejestruje się go na wielką skalę, jest duża jednolitość społeczeństwa polskiego pod względem rasy. Inaczej sytuacja przedstawia się jednak, kiedy przyjrzymy się uprzedzeniom narodowościowym i religijnym. Raporty z badań na ten temat uprzedzeń narodowościowych i religijnych w Polsce dostępne są tutaj . Rasizm dotyczy wielu grup rasowych i etnicznych. Przykładowo w Stanach Zjednoczonych czarnoskórym kierowcom policja częściej przeszukuje pojazd w trakcie kontroli ulicznych niż białym, szczególnie gdy czarnoskóry kierowca znajdzie się w okolicy zamieszkałej w większości przez białych Amerykanów (to zjawisko zyskało nazwę „DWB” ( driving while black ) (Rojek et al., 2012). Amerykanie pochodzenia meksykańskiego i inne grupy osób pochodzenia latynoskiego są często ofiarami rasizmu ze strony policji i członków innych społeczności. Przykładowo, podczas zakupów z płatnością czekiem, latynoscy klienci są proszeni o okazanie dowodu tożsamości częściej niż biali klienci (Dovidio et al., 2010). W jednym z przypadków nadużyć, do jakich miało dojść ze strony policji, kilkoro funkcjonariuszy z East Haven w stanie Connecticut zostało aresztowanych z powodu ciągłego nękania i brutalnego traktowania Latynosów. Gdy te zarzuty ujrzały światło dzienne, burmistrza East Haven zapytano, co tego dnia zrobi na rzecz latynoskiej społeczności miasta. Burmistrz odpowiedział: „Może zjem na kolację tacos, jeszcze nie wiem” („East Haven Mayor”, 2012). Taka odpowiedź podważa powagę problemu profilowania na tle rasowym i przemocy stosowanych przez policję wobec Latynosów, a ponadto umniejsza znaczenie kultury latynoskiej, sprowadzając ją do rodzaju posiłku, który stereotypowo jest kojarzony z tą społecznością. Rasizm dotyka również wielu innych grup żyjących w Stanach Zjednoczonych, w tym rdzennych mieszkańców, Amerykanów pochodzenia arabskiego, amerykańskich żydów i Amerykanów pochodzenia azjatyckiego. Ksenofobia w Polsce W ostatnich latach w Polsce narasta zjawisko ksenofobii (obawy przed osobami obcymi), które coraz częściej przybiera formę przemocy. Szokujące dla opinii publicznej było pobicie w 2016 r. profesora Uniwersytetu Warszawskiego w tramwaju z powodu rozmowy z kolegą prowadzonej w języku niemieckim. Skończyło się to dla profesora wizytą w szpitalu. Profesor został silnie uderzony przez obcego mężczyznę głową w twarz, zaczął krwawić, ale żaden z pasażerów w tramwaju nie zareagował (z wyjątkiem jednej kobiety, która podała zaatakowanemu chusteczki do nosa, by mógł zatamować krew). Więcej informacji w artykule prasowym pod tym linkiem . Negatywne traktowanie osób o innym pochodzeniu miało również miejsce na początku pandemii wirusa SARS-CoV-2, która rozpoczęła się w prowincji Wuhan w Chinach. W wielu miastach Polski dochodziło wówczas do ataków na Azjatów. Więcej na temat tych wydarzeń tutaj . Współczesne formy rasizmu i uprzedzeń bywają trudne do zauważenia. Jedna z przyczyn tego zjawiska wiąże się z modelem dwojakich postaw (Wilson et al., 2000). Ludzie prezentują postawy jawne (świadome i sterowalne) oraz postawy ukryte (nieuświadomione i niesterowalne) (Devine, 1989; Olson i Fazio, 2003). W związku z tym, że posiadanie egalitarystycznych poglądów jest społecznie pożądane (Plant i Devine, 1998), większość ludzi nie wykazuje ekstremalnych uprzedzeń na tle rasowym ani innych związanych ze swoimi jawnymi postawami. Jednakże ukryte uprzedzenia na tle rasowym lub innym są manifestowane w sposób pośredni (Greenwald et al., 1998, Olson i Fazio, 2003). Seksizm Seksizm (ang. sexism ) to uprzedzenie i dyskryminacja jednostek wyłącznie ze względu na ich płeć. Zazwyczaj seksizm przyjmuje formę uprzedzeń mężczyzn wobec kobiet, choć każda z płci może przejawiać seksistowskie zachowania wobec osób tej samej lub innej płci. Podobnie do rasizmu, seksizm może mieć subtelne przejawy i być trudny do zauważenia. Formy seksizmu we współczesnym społeczeństwie często obejmują oczekiwania wobec przedstawicieli danej płci (powiązane z tzw. rolami płciowymi), takie jak to, że kobiety powinny zajmować się domem lub powinny być przyjazne, pasywne i troskliwe. Kiedy kobiety zachowują się w sposób nieprzyjazny, agresywny lub zaniedbują innych, są nielubiane za wyłamywanie się z ram przypisanej im społecznie roli płciowej (Rudman, 1998). Laurie Rudnam w swoim badaniu (1998) odkryła, że kiedy kandydatki do pracy promują się podczas rozmowy rekrutacyjnej, uznaje się je za kompetentne, ale mogą nie zostać polubione i prawdopodobieństwo ich zatrudnienia jest mniejsze z powodu niespełnienia oczekiwania skromności, jakie społeczeństwo ma wobec kobiet. Seksizm może ujawniać się w różnych obszarach, np. w zatrudnieniu, możliwościach zawodowych i w edukacji. Kobiety mają mniejsze szanse na zatrudnienie lub awans w zawodach zdominowanych przez mężczyzn, takich jak inżynieria, lotnictwo czy budownictwo ( ) (Blau et al., 2010; Ceci i Williams, 2011). W Polsce wielkie oburzenie wywołało wystąpienie prezydenta Legionowa w 2018 roku, kiedy opisywał kandydatki do rady miasta w sposób obraźliwy, jednoznacznie uprzedmiotawiający je. Mężczyzna ten powiedział: „Jest z tobą kłopot, bo jesteś trochę za ładna (...) masz wiele innych walorów i kompetencji, ale jak zacznę za bardzo, to wiesz... moja żona w ogóle nie jest zazdrosna, typowa kobieta” (cyt. za tok.fm ). Jest to przykład tzw. życzliwego seksizmu (ang. benevolent ), gdy osoba dyskryminująca zwykle nie ma złych intencji i jest nawet skłonna do różnych gestów dobrej woli lub pozytywnych deklaracji wobec osoby dyskryminowanej, pod warunkiem, że „zna ona swoje miejsce w szeregu”. Komunikat tego typu może też brzmieć: „lubimy kobiety, ale niech siedzą cicho i się nie rządzą”. Osoba dyskryminująca może nie mieć negatywnych intencji, ale wyraźnie przyznaje, że ludzie nie mają równych praw, co jest istotą dyskryminacji. Czy kiedykolwiek spotkało cię seksistowskie zachowanie? Zastanów się nad sytuacją zawodową członków swojej rodziny. Dlaczego twoim zdaniem istnieją różnice w proporcjach liczby kobiet i mężczyzn w niektórych zawodach, tj. dlaczego jest więcej pielęgniarek kobiet, a więcej chirurgów płci męskiej (Betz, 2008)? Kobiety mogą dzisiaj pracować w wielu zawodach kiedyś dla nich niedostępnych, ale nadal doświadczają trudności w zawodach zdominowanych przez mężczyzn. (Źródło: „Alex”/Flickr). Ageizm Ludzie często oceniają innych i mają wobec nich oczekiwania, kierując się ich wiekiem. Takie osądy i oczekiwania mogą prowadzić do ageizmu (ang. ageism ), czyli uprzedzeń wobec jednostek i ich dyskryminacji wyłącznie ze względu na wiek. Najczęściej ageizm dotyka starszych ludzi, ale może również dotyczyć młodszych. Zastanów się, jakie mamy oczekiwania wobec osób starszych? Jak mogą one wpływać na uczucia, które żywimy wobec osób z tej grupy wiekowej? Ageizm jest powszechny w kulturze amerykańskiej (Nosek, 2005) i europejskiej, a częstą postawą dyskryminującą starsze osoby ze względu na wiek jest pogląd, że są niekompetentne, słabe fizycznie i powolne (Greenberg et al., 2002), niektórzy uważają je także za mniej atrakcyjne. W niektórych kulturach, w tym kulturach latynoskich, azjatyckich i afroamerykańskich, zarówno w Stanach Zjednoczonych, jak i poza nimi, starsi ludzie cieszą się szacunkiem i uznaniem. Ageizm może również występować w stosunku do młodszych ludzi. Jakie oczekiwania mamy wobec młodzieży? Czy społeczeństwo uważa młodych za nieodpowiedzialnych i niedojrzałych? Jak te dwie formy ageizmu mogą wpływać na losy młodszej i starszej osoby ubiegających się o stanowisko asystenta sprzedaży? Homofobia Innym rodzajem uprzedzenia jest homofobia (ang. homophobia ): uprzedzenia i dyskryminacja oparte tylko i wyłącznie na podstawie orientacji seksualnej. Podobnie jak ageizm, homofobia jest w społeczeństwie amerykańskim zjawiskiem powszechnym (Herek i McLemore, 2013; Nosek, 2005). Negatywne emocje często przeradzają się w działania o charakterze dyskryminacyjnym, takie jak wykluczenie lesbijek, homoseksualistów, biseksualistów i osób transpłciowych (LGBT) z grup społecznych czy niechęć do sąsiadów lub współpracowników o innej orientacji seksualnej. Taka forma dyskryminacji bywa stosowana również przez pracodawców, którzy świadomie odrzucają kandydatury osób LGBT mimo ich wysokich kwalifikacji. Przekaz promowany przez ludzi o poglądach homofobicznych może powodować dehumanizację osób o innej orientacji seksualnej. Za tym idzie nasilanie się mowy nienawiści i narastanie dalszych podziałów w społeczeństwie. W Polsce w ostatnich latach nasilać zaczęły się uprzedzenia wobec osób nieheteronormatywnych, szczególnie w mniejszych miastach. W ostatnich miesiącach 2019 roku ponad 60 miast, powiatów, gmin i samorządów wojewódzkich w Polsce przyjęło wyjątkowo kontrowersyjne uchwały, których przejawem było zawieszenie tablic: „Strefa wolna od LGBT”. Działalność ta wzbudziła ostry sprzeciw władz Unii Europejskiej i doprowadziła do zablokowania dotacji unijnych dla wspomnianych gmin. Czy zdarzyło ci się być świadkiem zachowań homofobicznych? Jeżeli tak, to jakie uprzedzenia i zachowania dyskryminujące dało się zauważyć? Badania na temat homofobii Studenci płci męskiej dostali do wypełnienia test mierzący ich poziom homofobii. Do udziału w badaniu zaproszono mężczyzn, którzy uzyskali wysoki lub niski wynik. Ostatecznie 64 mężczyzn wyraziło zgodę, na podstawie uzyskanego wyniku zostali oni przydzieleni do jednej z dwóch grup: mężczyzn o poglądach homofobicznych i mężczyzn bez takich poglądów. Badanym z obu grup zamontowano pletyzmograf prąciowy, urządzenie, które mierzy zmiany w przepływie krwi do penisa, i stanowi obiektywną metodę pomiaru podniecenia seksualnego. Wszystkim uczestnikom pokazano fragmenty filmów pornograficznych. W jednym z nich dochodziło do stosunku seksualnego między mężczyzną a kobietą (film heteroseksualny). Drugi przedstawiał dwie kobiety w seksualnej relacji (film homoseksualny kobiecy), a trzeci – dwóch mężczyzn uprawiających seks (film homoseksualny męski). Odnotowywano zmiany w obrzmieniu penisa podczas wszystkich trzech filmów, a następnie proszono uczestników o subiektywną ocenę podniecenia seksualnego. O ile obie grupy mężczyzn podnieciły się podczas oglądania filmów heteroseksualnego i homoseksualnego kobiecego, to tylko u mężczyzn zidentyfikowanych jako homofobiczni odnotowano podniecenie seksualne podczas oglądania filmu homoseksualnego męskiego. Wszyscy mężczyźni przyznali, że wystąpiła u nich erekcja w reakcji na filmy heteroseksualny i homoseksualny kobiecy, ale mężczyźni o poglądach homofobicznych wskazali, że nie byli podnieceni podczas filmu homoseksualnego męskiego (mimo odnotowanej u nich erekcji). Adams i współpracownicy (1996) uznali, że wyniki te mogą wskazywać na pewne powiązania homofobii z odczuwaniem podniecenia seksualnego, które osoby homofobiczne negują lub którego nie są świadome. Aby zobaczyć skalę homofobii w Polsce, kliknij tutaj . Skąd się biorą dyskryminacja i uprzedzenia? Uprzedzenia i dyskryminacja funkcjonują w społeczeństwie z powodu zjawiska społecznego uczenia się i dostosowywania do norm społecznych. Dzieci uczą się uprzedzonych postaw i poglądów od społeczeństwa: swoich rodziców, nauczycieli, przyjaciół, z mediów i innych źródeł socjalizacji, takich jak Facebook (O’Keeffe i Clarke-Pearson, 2011). Jeżeli określone rodzaje uprzedzeń i dyskryminacji są akceptowane w społeczeństwie, to mogą w nim również funkcjonować przez normatywny wpływ społeczny, co prowadzi do konformizmu i rozpowszechniania uprzedzeń, negatywnych poglądów, postaw i zachowań. Na przykład w USA szkoły publiczne i prywatne nadal podlegają segregacji ze względu na klasę społeczną. W przeszłości jedynie dzieci z bogatych rodzin uczęszczały do szkół prywatnych, a dzieci ze środowisk średniozamożnych lub biednych zazwyczaj chodziły do szkół publicznych. Jeżeli dziecko z biedniejszej rodziny otrzymałoby stypendium za osiągnięcia naukowe i zaczęło uczęszczać do szkoły prywatnej, to jak byłoby traktowane przez innych uczniów? Czy przypominasz sobie jakąś sytuację, w której pojawiły się u ciebie uprzedzenia lub zachowania dyskryminujące i to tylko dlatego, że oczekiwała ich twoja grupa społeczna? Summary Różnice i podobieństwa między ludźmi automatycznie prowadzą do formowania się grup. Jak pokazują badania, o przynależności do danej grupy decydują nie tylko atrybuty fizyczne osoby, jej orientacja seksualna, przynależność kulturowa, czy religijna. Przynależność do grupy i sympatia do niej może być wynikiem przyporządkowania losowego. Powstanie grupy wyzwala liczne mechanizmy, jak preferencje grupy własnej i negatywne ustosunkowania do grupy obcej. Mechanizmy, o których mowa, mogą prowadzić do uprzedzeń i dyskryminacji grup obcych. Dodatkowo, ważnym źródłem uprzedzeń i dyskryminacji są stereotypy, czyli generalizacje dokonywane na temat danej grupy i jej członków. Stereotypy są uproszczoną wiedzą na temat danej grupy i ułatwiają proces przetwarzania informacji, często wynikają one z braku wiedzy na temat stereotypizowanej grupy. Review Questions Uprzedzenie dotyczy ________, a dyskryminacja dotyczy ________. uczuć; zachowań myśli; uczuć uczuć; myśli zachowań; uczuć A Które z poniższych nie jest rodzajem uprzedzenia? homofobia rasizm seksizm indywidualizm D ________ to sytuacja, gdy grupa obca jest obarczana winą za frustrację grupy własnej. Stereotypizacja Błąd postrzegania grupy własnej Znajdowanie kozła ofiarnego Ageizm C Poszukiwanie informacji, które potwierdzą nasze stereotypy, nazywamy ________. znajdywaniem kozła ofiarnego błędem konfirmacji samospełniającą się przepowiednią błędem postrzegania grupy własnej B Critical Thinking Questions Niektórzy ludzie są bardziej skłonni do żywienia uprzedzeń na tle orientacji seksualnej niż na tle rasowym czy płciowym. Zastanów się, dlaczego tak jest. Rozważmy przykład Stanów Zjednoczonych wiele osób uważa, że orientacja seksualna to kwestia wyboru, sprzyja temu wciąż trwająca debata na temat tego, w jakim zakresie orientacja seksualna jest efektem działania czynników biologicznych czy społecznych Aby wyjaśnić tę kwestię, prowadzi się badania. Wielu Amerykanówsądzi, że niesprawiedliwe jest ocenianie ludzi ze względu na cechy uwarunkowane genetycznie jak rasa czy płeć biologiczna. Ponadto wiele osób w Stanach Zjednoczonych jest wyznawcami religii uznających homoseksualizm za coś złego. Kiedy ludzie znajdują kozła ofiarnego, to w jaki sposób uzasadniają swoją decyzję o obarczeniu winą innej osoby? Jednym ze sposobów jest selektywne dobieranie informacji, które mogą wzmocnić ich argumentację. Ponadto mogą aktywnie szukać informacji na potwierdzenie swoich twierdzeń. Personal Application Questions Podaj przykład sytuacji, w której ktoś był do ciebie uprzedzony. Co twoim zdaniem spowodowało taką postawę tej osoby? Czy ta osoba dopuściła się wobec ciebie jakichś zachowań o charakterze dyskryminacyjnym? Podaj przykład sytuacji, w której zdarzyło ci się żywić uprzedzenia wobec innej osoby. Czy twoje zachowanie było dyskryminujące? Jak sądzisz, dlaczego do tego doszło? ageizm (ang. ageism ) uprzedzenia w stosunku do jednostek i dyskryminacja ze względu na ich wiek błąd konfirmacji (ang. confirmation bias ) poszukiwanie informacji potwierdzających tkwiące w nas stereotypy przy jednoczesnym ignorowaniu tych, które są z nimi niezgodne błąd konfirmacji nie jest specyficzny dla stereotypizacji, pojawia się także przy atrybucjach, rozwiązywaniu problemów itp. Generalnie polega na zwracaniu większej uwagi na informacje zgodne ze wstępnym nastawieniem, rozwiązaniem, przy pomijaniu informacji niezgodnych, w tym także na aktywnym poszukiwaniu potwierdzeń, a nie zaprzeczeń. dyskryminacja (ang. discrimination) negatywne działania względem jednostek, będące reakcją na ich przynależność do określonej grupy homofobia (ang. homophobia ) uprzedzenia i dyskryminacja innych oparte wyłącznie na ich orientacji seksualnej grupa własna (ang. in-group ) grupa, z którą się identyfikujemy lub do której – według nas – należymy błąd postrzegania grupy własnej (ang. in-group favoritism ) pogląd, że grupa własna jest lepsza od innych działania mające na celu przyniesienie korzyści członkom grupy własnej, także kosztem członków grup obcych grupa obca (ang. out-group ) grupa, do której nie należymy uprzedzenie (ang. prejudice ) negatywne podejście do jednostki oparte na jej przynależności do określonej grupy rasizm (ang. racism ) uprzedzenia i dyskryminowanie ze względu na przynależność rasową znajdowanie kozła ofiarnego (ang. finding a scapegoat ) akt obarczania winą kogoś z grupy obcej w sytuacji, gdy grupa własna doświadcza frustracji lub nie może osiągnąć swoich celów samospełniająca się przepowiednia (ang. self-fulfilling prophecy ) traktowanie innych osób w sposób zgodny ze stereotypem sprawia, że zaczynają się oni zachowywać w sposób zgodny z tymi stereotypowymi oczekiwaniami, co z kolei utwierdza nas w naszych poglądach na ich temat seksizm (ang. sexism ) uprzedzenia i dyskryminacja ze względu na płeć stereotyp (ang. stereotype) przekonania lub założenia na temat jednostki oparte na jej przynależności do określonej grupy, niezależne od indywidualnych cech nadmierne uogólnienie, generalizacja dotycząca członków konkretnej grupy społecznej; odporne na zmiany i kontrargumenty przekonanie o powszechności w stereotypizowanej grupie stałego zestawu cech, zachowań, preferencji czy podglądów", "section": "Uprzedzenia i dyskryminacja", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Agresja Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować agresję Zdefiniować cyberprzemoc Opisać efekt obserwatora W tym rozdziale omówiliśmy już, jak ludzie prowadzą interakcje między sobą i wywierają wpływ na myśli, uczucia i zachowania, zarówno w sposób pozytywny, jak i negatywny. Ludzie potrafią współpracować, by osiągać wielkie cele, np. pomagają sobie nawzajem w sytuacji zagrożenia. Człowiek może też wyrządzić drugiemu człowiekowi wiele zła, przykładowo dostosowując się do norm grupowych, które są niemoralne, albo zachowując posłuszeństwo wobec autorytetów aż do takiego stopnia, że będzie zabijał – przypomnij sobie masowy konformizm nazistów podczas II wojny światowej. Ten podrozdział jest poświęcony ciemnej stronie ludzkiego zachowania, czyli agresji. Agresja Agresja (ang. aggression ) to dążenie do wyrządzenia innym krzywdy, cierpienia lub zadania im bólu. Agresja może przyjąć jedną z dwóch postaci, zależnie od motywów osoby, która się jej dopuszcza: wrogą lub instrumentalną. Agresja wroga (ang. hostile aggression ) to agresja wywołana gniewem, jej celem jest zadanie innym bólu: bójka z nieznajomym w barze to przykład agresji wrogiej. Natomiast agresja instrumentalna (ang. instrumental aggression ) to agresja, której motywem jest osiągnięcie jakiegoś celu – nie musi nim być zadawanie bólu (Berkowitz, 1993); płatny zabójca, który zabija ludzi na zlecenie, przejawia agresję instrumentalną. Sformułowano wiele teorii na temat przyczyn agresji, koncentrując się na jej różnych źródłach. Główne teorie zakładają, że agresja ma swoje znaczenie adaptacyjne, inne wskazują, że może być wynikiem frustracji. Jeszcze inne wskazują, że agresja jest efektem uczenia się. W teoriach zakładających ewolucyjną funkcję agresji (Buss, 2004), w ich wczesnej formie, przyjmowano iż agresja jest instynktem, czyli wrodzonym wzorcem zachowania ułatwiającym przetrwanie (Lorenz, 1996). Choć teoria ta ma wsparcie w licznych obserwacjach różnych gatunków zwierząt, to jednak niewiele danych pochodzi z obserwacji naczelnych czy też ludzi. Dlatego też obecne stanowisko ewolucyjne podchodzi ostrożniej do mówienia o źródłach agresji i raczej skłania się ku określeniu jej jako zachowania wykształconego na drodze ewolucji, zwiększającego szanse przetrwania i sukcesu reprodukcyjnego (Wojciszke, 2019). Ponieważ to kobiety zawsze ponosiły większe nakłady reprodukcyjne w porównaniu z mężczyznami, uważnie podchodziły one do wyboru partnera, mając na uwadze dobro i szanse przetrwania potomstwa. W przeszłości naszego gatunku cechami zapewniającymi dobrostan potomstwa i jego przetrwanie była siła mężczyzny. Być może dlatego również obecnie mężczyźni są bardziej skłonni do przejawiania agresji (Wilson i Daly, 1985). Z punktu widzenia psychologii ewolucyjnej męska agresja, taka jak ta obserwowana u samców ssaków naczelnych, służy demonstracji dominacji nad innymi samcami, co ma na celu zarówno ochronę partnerki, jak i zabezpieczenie przetrwania genów tego samca ( ). Zazdrość na tle seksualnym to jedno ze źródeł męskiej agresji: samce w ten sposób chcą się upewnić, że ich samice nie spółkują z innymi samcami, dzięki czemu mają pewność co do ojcostwa potomstwa samicy. Chociaż ewolucja dobrze wyjaśnia występowanie agresji u mężczyzn, jak wyjaśnić agresję występującą u kobiet? Kobiety zazwyczaj przejawiają instrumentalne formy agresji i wykorzystują ją jako środek osiągnięcia celu (Dodge i Schwartz, 1997). Przykładowo, kobiety potrafią okazywać agresję w sposób zawoalowany, za pośrednictwem komunikatów, które podważają pozycję społeczną innej osoby. Kolejną teorią wyjaśniającą agresję jest teoria frustracji-agresji (ang. frustration–aggression theory ) (Dollardet al., 1939), gdzie frustrację i agresję wywołują niemożność osiągnięcia ważnego celu. Zgodnie z tą teorią pobudzenie wywołane frustracją prowadzi do pojawienia się agresji, choć nie zawsze jest ona jawna lub ukierunkowana na obiekt wywołujący frustrację. Różne czynniki psychologiczne, jak np. strach, mogą sprawić, że agresja zostanie przeniesiona na inny obiekt lub jej forma może zostać zmieniona. Klasycznym przykładem obrazującym oba te zjawiska jest sytuacja, w której mąż po nieporozumieniu z szefem przenosi swoje niezadowolenie na żonę lub dzieci, np. formułując kąśliwe uwagi wobec nich. W tym przypadku kara za zachowanie agresywne wydaje się mniejsza niż za faktyczną konfrontację z szefem. Innym podejściem do przyczyn agresji jest rozumienie jej jako skutku uczenia się. W ramach tego podejścia brane są pod uwagę głównie dwa mechanizmy: warunkowanie sprawcze (ang. operant conditioning ) oraz modelowanie (por. podrozdziały Warunkowanie sprawcze oraz Uczenie się przez obserwację (modelowanie)). Jak zostało powiedziane wcześniej, warunkowanie sprawcze jest jednym z podstawowych procesów uczenia się, kreującym zachowanie za pomocą wzmocnień i kar. W tym przypadku, jeśli osoba skojarzy, że jej zachowanie agresywne przynosi więcej wzmocnień niż negatywnych konsekwencji, będzie takie zachowanie kontynuować. Przykładowo, jeśli udział w bójce przyniesie komuś prestiż i akceptację we własnej grupie, a odniesione rany i konsekwencje prawne nie będą dotkliwe, wówczas istnieje większa szansa, że osoba ta będzie częściej brać udział w bójkach. Innym sposobem niż bazowanie na doświadczeniach własnych jest nabywanie zachowań agresywnych od innych osób na podstawie ich obserwacji. Ten typ uczenia się nazywany jest modelowaniem (por. Bandura, 1973). Obserwując inne osoby przejawiające zachowania agresywne, możemy nie tylko nauczyć się nowych sposobów przejawiania agresji. Możemy także osłabić swoje zahamowania oraz poczuć emocje i motywacje podobne do tych, jakie odczuwała osoba prezentująca zachowanie. Teorią, która stara się zebrać rozważania teoretyczne i dane empiryczne na temat agresji, jest Ogólny Model Agresji (ang. General Aggression Model ) zaproponowany przez Criga Andersona i Brada Bushmana (2002). Koncepcja ta zakłada dwa wyznaczniki agresji: osobiste i sytuacyjne. Czynniki te mają wpływ na to, czy zachowanie będzie czy nie będzie agresywne i decydują o aktualnym stanie wewnętrznym jednostki w trakcie interakcji społecznej. W koncepcji tej zakłada się, że ów stan wewnętrzny wywodzi się z wzajemnego oddziaływania procesów poznawczych afektywnych i pobudzenia fizjologicznego. W procesach poznawczych kluczowe dla powstania agresji mogą być wrogie myśli (ang. hostile thoughts ). W przypadku afektu takim „wyzwalaczem” może być emocja złości (ang. anger ). Trzeci czynnik to pobudzenie fizjologiczne (ang. physiological arousal ). Jego wzrost na ogół sprzyja nasileniu dominujących reakcji. Warto pamiętać, że wszystkie te czynniki decydują o ostatecznym efekcie interakcji społecznej. Mężczyźni i samce naczelnych mają potrzebę okazania dominacji nad innymi samcami, co widać na przykładzie zachowania tych małp. (Źródło: „Arcadiuš”/Flickr). Zastraszanie ( bullying ) Współczesną formą agresji jest zastraszanie. Jak dowiedzieliśmy się z rozdziału poświęconego rozwojowi dzieci (por. Co to jest psychologia rozwojowa?), socjalizacja i zabawa z innymi dziećmi jest korzystna dla ich dojrzewania psychicznego. Jak jednak wiemy z dzieciństwa, nie każda zabawa dobrze się kończy. Niektóre dzieci są agresywne i chcą bawić się w bardziej szorstki sposób, inne zaś są samolubne i nie chcą dzielić się zabawkami. Jednym z przykładów negatywnych zachowań wśród dzieci jest zastraszanie (ang. bullying). W polskiej literaturze używa się również angielskiego odpowiednika, dlatego będziemy oba słowa stosować zamiennie. Zastraszanie stało się obecnie istotnym problemem społecznym. To sytuacja, w której dana osoba jest w powtarzający się sposób negatywnie traktowana (Olweus, 1993). Jednokrotny incydent, w którym jedno dziecko uderzyłoby inne na podwórku, nie zostałby uznany za przypadek zastraszania. Zastraszanie to powtarzające się próby wyrządzenia krzywdy, zranienia czy poniżenia, przybierające formę ataków fizycznych lub werbalnych. Może ono zatem przyjmować formę fizyczną lub występować w postaci przemocy psychicznej. Badania wykazały różnice między formami zastraszania stosowanymi przez dziewczęta i przez chłopców („American Psychological Association”, 2010; Olweus, 1993). Chłopcy zazwyczaj przejawiają bezpośrednią fizyczną agresję, np. bicie. Natomiast dziewczęta często uciekają się do pośrednich, społecznych form agresji, takich jak rozpuszczanie plotek, ignorowanie lub izolowanie społeczne innych. Biorąc pod uwagę to, co już wiesz na temat rozwoju dzieci i ról społecznych, dlaczego twoim zdaniem dziewczęta i chłopcy przejawiają inne zachowania mające na celu zastraszenie innych? Agresja w szkole Poznaj badania agresji i przemocy szkolnej w Polsce. Raport o stanie badań dostępny jest tutaj . Zastraszanie dotyczy trzech stron: osoby zastraszającej, ofiary i świadków lub obserwatorów. Czynność zastraszania wiąże się z brakiem równowagi, przy czym to osoba zastraszająca ma większą siłę (fizyczną, emocjonalną lub społeczną) niż ofiara. Bullying może mieć pozytywny wydźwięk jedynie dla zastraszającego, jeżeli w ten sposób podnosi jego samoocenę. Z kolei zarówno ofiara, jak i świadkowie doświadczają szeregu negatywnych konsekwencji. Jaki konkretnie wpływ ma zastraszanie na młodzież? Bycie ofiarą zastraszania często skutkuje obniżonym nastrojem, doświadczaniem lęków i depresji (APA, 2010). Ofiary zastraszania mogą także osiągać gorsze wyniki w nauce (Bowen, 2011). Zastraszanie może być również przyczyną samobójstw osób go doświadczających (APA, 2010). Mimo że nie istnieje jeden określony profil osoby, która może stać się w przyszłości zastraszającym albo ofiarą zastraszania (APA, 2010), to badacze zaobserwowali pewne wzorce u dzieci, które predysponują je do bycia ofiarami zastraszania (Olweus, 1993): Dzieci emocjonalnie reaktywne są obarczone większym ryzykiem zastraszania. Zastraszających mogą przyciągać dzieci, które często się denerwują, ponieważ można je szybko doprowadzić do emocjonalnej reakcji na zastraszenie. Ofiarami zastraszania mogą także stać się dzieci, które różnią się od innych, np. dzieci z nadwagą, o obniżonych zdolnościach poznawczych lub odmiennej rasy albo pochodzące z innej grupy etnicznej niż grupa rówieśnicza. Wysokie ryzyko bycia ofiarami zastraszania dotyczy także nastolatków o orientacji homoseksualnej, lesbijek, osób biseksualnych i transpłciowych. Zastraszanie w sieci (cyberprzemoc) Powszechna dostępność technologii mobilnych oraz mediów społecznościowych przyczyniły się do powstania nowej formy zastraszania – zastraszania w sieci (Hoff i Mitchell, 2009). Zastraszanie w sieci (ang. cyberbullying ) to powtarzające się zachowanie w internecie, którego celem jest wyrządzenie innej osobie psychicznej lub emocjonalnej szkody. To, co odróżnia zastraszanie w sieci od innych form tego zachowania, to fakt, że zazwyczaj odbywa się ono w sposób niejawny prywatnymi kanałami komunikacji, a osobie zastraszającej często udaje się zachować anonimowość. Daje ona zastraszającemu przewagę, a ofiara może czuć się bezradna, bez szans na ucieczkę przed nękaniem i pozbawiona możliwości odwetu (Spears et al., 2009). Zastraszanie w sieci, czyli cyberprzemoc, może przyjąć różne formy, w tym nękanie ofiary przez rozgłaszanie plotek, stworzenie strony internetowej zniesławiającej ofiarę, ignorowanie, obrażanie, wyśmiewanie ofiary lub żartowanie z niej (Spears et al., 2009). W przypadku zastraszania w sieci częściej dziewczęta bywają zastraszającymi i zastraszanymi, bo ta forma agresji ma postać niefizyczną i jest mniej bezpośrednia ( ) (Hoff i Mitchell, 2009). Co ciekawe, dziewczęta, które zastraszają innych w sieci, często same były kiedyś ofiarami cyberprzemocy (Vandebosch i Van Cleemput, 2009). Skutki zastraszania w internecie są dla ofiary tak samo dotkliwe jak w tradycyjnej formie tej przemocy i obejmują m.in.: poczucie frustracji, gniew, smutek, bezradność, bezsilność i strach. Ofiary zazwyczaj doświadczają także obniżonej samooceny (Hoff i Mitchell, 2009; Spears et al., 2009). Ponadto w najnowszych badaniach wykazano, że zarówno ofiary, jak i sprawcy cyberprzemocy miewają myśli samobójcze i prawdopodobieństwo popełnienia samobójstwa przez te jednostki jest większe niż u osób, które nigdy nie doświadczyły zastraszania w sieci (Hinduja i Patchin, 2010). Polskie badania na ten temat pokazują ciekawe zależności (Barlińska i Szuster, 2014). Jakie cechy technologii powodują, że cyberprzemoc jest bardziej dostępna dla młodzieży? Co mogą zrobić rodzice, nauczyciele i właściciele portali społecznościowych, by zapobiegać zastraszaniu w sieci? W związku z tym, że zastraszanie w sieci nie ma postaci fizycznej, sprawcy cyberprzemocy i ich ofiary to częściej kobiety; jednakże istnieje wiele dowodów na to, że homoseksualiści także są częstymi ofiarami zastraszania w internecie (Hinduja i Patchin, 2011). (Źródło: Steven Depolo). Summary Agresja to dążenie do wyrządzenia innej osobie krzywdy lub bólu. Agresja wroga motywowana jest uczuciem gniewu i ma na celu wywołanie bólu, a agresja instrumentalna wynika z chęci osiągnięcia celu, którym nie musi być zadanie bólu. Zastraszanie (bullying) to poważny problem zagrażający zdrowiu psychicznemu. Zjawisko to definiuje się jako powtarzające się zachowania mające na celu wyrządzenie krzywdy ofierze, mogące przyjmować postać przemocy fizycznej, emocjonalnej lub społecznej. Zastraszanie wywołuje negatywne skutki zdrowotne u młodzieży i niekiedy prowadzi do samobójstwa. Zastraszanie w sieci (cyberprzemoc) to nowsza forma zastraszania, która odbywa się w środowisku internetowym, gdzie zastraszający mogą pozostać anonimowi, a ofiary są bezradne i nie mogą zareagować na nękanie. Mimo że obowiązuje norma społeczna, zgodnie z którą należy pomagać innym, w sytuacji, gdy jest wielu świadków zdarzenia, dochodzi do rozproszenia odpowiedzialności, co może prowadzić do spadku prawdopodobieństwa, że ktokolwiek pomoże ofierze. Review Questions Zazwyczaj zastraszanie ze strony chłopców przyjmuje postać ________, a zastraszanie ze strony dziewcząt ________. przemocy emocjonalnej; przemocy fizycznej przemocy fizycznej; przemocy emocjonalnej przemocy psychologicznej; przemocy fizycznej wykluczenia społecznego; nękania słownego B Która z następujących osób jest najmniej narażona na bycie celem zastraszania? dziecko z niepełnosprawnością fizyczną transpłciowy nastolatek wrażliwy emocjonalnie chłopiec kapitan drużyny futbolowej D Critical Thinking Questions Dokonaj analizy porównawczej agresji wrogiej i instrumentalnej. Agresja wroga to celowe działanie ukierunkowane na zadawanie bólu. Agresja wroga jest często umotywowana gniewem. Natomiast agresja instrumentalna nie jest motywowana gniewem ani zamiarem zadawania bólu. Ten rodzaj agresji pełni funkcję środka do osiągnięcia celu. W pewnym sensie jest bardziej pragmatyczną i funkcjonalną formą agresji, podczas gdy agresja wroga jest bardziej uwarunkowana emocjonalnie oraz mniej funkcjonalna i racjonalna. Jakie dowody omówione w poprzedniej części podrozdziału mogą świadczyć o tym, że zastraszanie w sieci jest trudne do wykrycia i że trudno mu zapobiec? Cyberprzemocy trudno zapobiec, ponieważ młodzież korzysta z wielu dostępnych mediów społecznościowych. Rodzice często nie monitorują wszystkich interakcji dziecka w internecie, dlatego mogą nie być świadomi, że może ono być narażone na zastraszanie w sieci. Cyberprzemoc jest trudna do wykrycia, ponieważ sprawca zazwyczaj pozostaje anonimowy. Osoby zastraszające innych w sieci ukrywają się pod pseudonimami i atakują ofiary w sposób trudny do śledzenia, np. przez włamywanie się na konta swoich ofiar na Facebooku lub Twitterze. Personal Application Questions Czy w przeszłości spotkała cię cyberprzemoc? A może ktoś inny na twoich oczach doświadczył zastraszenia? Jakie emocje ci wtedy towarzyszyły? Jak wspominasz swoje zachowanie i jak je oceniasz po przeczytaniu tego podrozdziału? agresja (ang. aggression ) dążenie do wyrządzenia innym krzywdy lub zadania im bólu zastraszanie (ang. bullying) sytuacja, w której osoba, zwykle nastoletnia, jest prześladowana przez rówieśników zastraszanie w sieci (ang. cyberbullying ) powtarzające się zachowanie w sieci, którego celem jest wyrządzenie innej osobie psychicznej lub emocjonalnej szkody agresja wroga (ang. hostile aggression ) agresja wywołana gniewem, jej celem jest wywołanie u innych bólu agresja instrumentalna (ang. instrumental aggression ) agresja, której motywem jest osiągnięcie jakiegoś celu, jej motywem nie musi być zadawanie bólu", "section": "Agresja", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zachowania pomocne Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać altruizm Opisać warunki wpływające na powstawanie relacji Określić, co przyciąga ludzi do siebie Omówić trójkątną teorię miłości Wyjaśnić teorię wymiany społecznej w związkach Psychologia społeczna zajmuje się nie tylko zachowaniami negatywnymi, które do tej pory omawialiśmy w tym rozdziale. Dziedzina ta bada także pozytywne zachowania i interakcje społeczne. Odpowiada m.in. na pytania, dlaczego ludzie pomagają innym. Czy jedyną przyczyną jest osobista korzyść, taka jak dobre samopoczucie wywołane pomaganiem? Badania wskazują, że oprócz motywów egoistycznych istnieje też wiele innych pobudek. W niniejszym podrozdziale omówimy czynniki, które wpływają na to, że ludzie pomagają sobie nawzajem. Przedstawimy też podstawowe podejścia teoretyczne opisujące zjawisko pomagania. Zachowania pomocne, prospołeczne i altruizm Kiedy myślimy o zachowaniach, które służą innym, często mamy na myśli zachowania prospołeczne czy altruizm. Oba te pojęcia oczywiście kojarzą się nam z niesieniem pomocy innym. Jednakże na wstępie warto dokładnie określić ich znaczenie. Najbardziej ogólnym pojęciem mówiącym o działaniach na korzyść innych osób jest pojęcie zachowania pomocne (ang. helping behaviours ). Działania te mogą mieć różny charakter, jak przeznaczenie 1% podatku na wybraną przez nas organizację ( wsparcie materialne ), dopisanie się do bazy dawców szpiku ( wsparcie biologiczne ), czy poświęcenie czasu przyjacielowi przechodzącemu trudny okres w swoim życiu ( wsparcie psychiczne ). Węższym pojęciem używanym przez psychologów jest termin zachowania prospołeczne (ang. prosocial behaviours ). Pojęcie to często w literaturze używane jest na określenie zachowań pomocnych skierowanych na dobro innych osób, większych grup społecznych (danych społeczności czy ogółu) przy uwzględnieniu motywów pozaosobistych. Pojęciem często błędnie używanym wymiennie do opisu zachowań pomocnych czy prospołecznych jest altruizm. Altruizm (ang. altruism ) to dążenie do pomagania innym ludziom, nawet jeśli dla jednostki koszty pomagania są wyższe niż korzyści. Pojęcie altruizmu jest węższe niż zachowania prospołeczne i odnosi się do sytuacji, w której osoba pomagająca nie doświadcza widocznych korzyści za swoje zachowanie. Ludzie działający w sposób altruistyczny mogą w ogóle nie zwracać uwagi na koszty osobiste związane z niesieniem pomocy ( ). Na przykład zgodnie z doniesieniami mediów podczas zamachów terrorystycznych 11 września 2001 r. na World Trade Center w Nowym Jorku pewien pracownik pierwszej wieży pomagał swoim współpracownikom dotrzeć do ewakuacyjnej klatki schodowej. Po tym, jak pomógł wydostać się jednej osobie, wrócił do płonącego budynku, by pomóc kolejnym. W tym przypadku koszt pomocy był ogromny, bohater stracił życie (Stewart, 2002). Dramatyczne wydarzenia z 11 września 2001 w Nowym Jorku wzbudziły postawy altruistyczne i heroizm w osobach będących na służbie – strażakach, policjantach – oraz w zwykłych obywatelach ludziach. (Źródło: Don Halasy). Jedną z teorii wyjaśniających proces podejmowania decyzji o pomaganiu jest decyzyjny model interwencji w sytuacji kryzysowej (ang. decision model of crisis intervention ) zaproponowany przez Bibba Latanégo i Johna Darley'a (1970). Model, który omówimy w dalszej części podrozdziału ( ), został zainspirowany próbą wyjaśnienia głośnej w latach 60. XX wieku napaści w dzielnicy Queens w Nowym Jorku. Człowiek z nożem zaatakował 19-letnią Kitty Genovese niedaleko tylnego wejścia do kamienicy, w której mieszkała, i jeszcze raz w holu. Gdy doszło do ataku, dziewczyna wołała kilkakrotnie o pomoc. Niestety nikt pomocy jej nie udzielił i ostatecznie zmarła od ran kłutych. Ta historia stała się słynna, gdy okazało się, że kilkoro mieszkańców kamienicy słyszało krzyki o pomoc, ale nie zrobili nic – ani nie pomogli kobiecie, ani nie zadzwonili na policję. Próbując wytłumaczyć to zjawisko, Latané i Darley (1968) przeprowadzili serię badań, w których wykazali, że im większa jest liczba świadków obserwujących zdarzenie, tym mniejsza szansa udzielenia pomocy ofierze. Zjawisko to jest nazywane zjawiskiem obojętnego przechodnia lub efektem widza (ang. bystander effect ). Jest to sytuacja, w której świadek zdarzenia lub osoba postronna nie decyduje się pomóc osobie będącej w potrzebie, tylko obserwuje przebieg wydarzeń. Jak wykazano w badaniach, różne czynniki mogą nasilać lub hamować wystąpienie tego efektu. Jednym z czynników go osłabiających jest jednoznaczność sytuacji. Im sytuacja jest bardziej jednoznaczna, np. starsza osoba osuwająca się na ziemię w tramwaju, tym większa szansa na udzielenie pomocy. Podobnie jest z jednoznacznym wołaniem o pomoc. Jeśli ofiara wyraźnie prosi o pomoc, to szansa udzielenia tej pomocy rośnie (por. Yakimovitch i Saltz, 1971). Niestety jednak, jednoznaczna sytuacja nie zawsze prowadzi do udzielenia pomocy. W kolejnych badaniach Latané i Darley (1968) okazało się, że liczba obserwatorów zdarzenia ma znaczenie dla udzielenia pomocy ofierze. Okazało się, że im więcej osób jest świadkami sytuacji, tym mniejsze prawdopodobieństwo, że któryś z nich pomoże. Zjawisko to nazwano rozproszeniem odpowiedzialności (ang. diffusion of responsibility ). Dotyczy ono sytuacji, gdy nikt w grupie nie decyduje się pomóc ofierze zdarzenia, gdyż odpowiedzialność za udzielenie pomocy się rozmywa (Bandura, 1999). Jako że było wielu świadków ataku na Genovese, o czym świadczy liczba mieszkań, w których paliło się wtedy światło, ludzie zapewne założyli, że ktoś inny już zadzwonił na policję. Odpowiedzialność za wezwanie pomocy rozproszyła się między wszystkich świadków zbrodni. Czy przypominasz sobie bycie świadkiem wypadku i przyjęte przez siebie założenie, że ktoś już wezwał pomoc i ty nie musisz tego robić? Kolejnym elementem procesu decyzyjnego jest ustalenie, czy jako świadek sytuacji mamy odpowiednie kompetencje umożliwiające udzielenie pomocy. Poczucie braku kompetencji zmniejsza szansę na podjęcie się udzielenia pomocy. Ludzie często obawiają się pomagać w sytuacji kryzysowej, gdyż uważają, że nie mają odpowiednich kompetencji i ich zachowanie może pogorszyć sytuację ofiary. Ostatnim elementem procesu decyzyjnego przy pomocy w sytuacji kryzysowej jest faktyczne działanie - udzielenie pomocy. Warto pamiętać, że zgodnie z modelem, decyzje podejmowane na każdym etapie mogą zwiększyć lub zmniejszyć prawdopodobieństwo udzielenia pomocy. Mimo iż model zawiera kilka kroków decyzyjnych, na ogół podejmowanie decyzji o pomaganiu w sytuacji kryzysowej dokonuje się niezwykle szybko - automatycznie. Decyzyjny model interwencji w sytuacji kryzysowej. Innym podejściem wyjaśniającym motywy udzielania pomocy jest model pobudzenia–bilansu zaproponowany przez Jane Piliavin i współpracowników w 1981 roku. Model ten zakłada, że głównym motywem pobudzającym nas do działania w sytuacji nagłej jest chęć redukcji naszych negatywnych emocji będących wynikiem obserwacji cierpienia innej osoby. Zgodnie z tym podejściem kiedy zauważamy, że ktoś znajduje się w trudnej sytuacji, wywołuje to u nas poczucie dyskomfortu wynikające ze wzrostu pobudzenia emocjonalnego. Wraz ze wzrostem negatywnych uczuć mamy coraz silniejszą potrzebę ich redukcji. Aby pozbyć się nieprzyjemnego stanu emocjonalnego, wybierzemy najszybszy i najmniej obarczony kosztami sposób jego redukcji. Jeśli pomoc ofierze wiąże się z większymi kosztami niż zyskami, istnieje spore prawdopodobieństwo wycofania się z pomocy. Oczywiście istnieje wiele różnych czynników wpływających na szacowanie relacji między zyskiem i kosztem. Niektóre z nich wynikają z powodów dyspozycyjnych osoby pomagającej (np. wyznawanych przez nią wartości), inne mogą zależeć od samej sytuacji (np. czasu, jaki osoba musi zainwestować w niesienie pomocy), a jeszcze inne mogą wynikać z właściwości ofiary, np. jej wyglądu zewnętrznego. Jedną ze słabości tego modelu jest założenie o egoistycznych motywach udzielania pomocy. Empatia Inni badacze zachowań prospołecznych sugerują, że pobudzenie pojawiające się przy obserwacji osoby potrzebującej pomocy może wynikać z odczuwania empatii. Empatia (ang. empathy ) to zdolność rozumienia punktu widzenia innej osoby; umiejętność odczuwania tego, co ona. Empatyczna osoba tworzy emocjonalną więź z innymi i czuje potrzebę pomagania (Batson, 1991). Wczucie się w sytuację osoby potrzebującej pomocy nie musi mieć przesłanek egoistycznych. Zgodnie z założeniami poczynionymi przez Jerzego Karyłowskiego (1982) i rozwiniętych przez Annę Szuster (ur. 1955) motywacja do niesienia pomocy oczywiście może mieć egoistyczny charakter i służyć różnym celom osobistym. Jednakże, jak się okazuje, możliwe jest posiadanie umiejętności wejścia w perspektywę innej osoby, zrozumienie jej potrzeb, które nie zawsze są tożsame z potrzebami, jakie są dla nas ważne. Prostym przykładem umiejętności odczytywania potrzeb innych niepośredniczonych przez nasze własne potrzeby czy pragnienia jest dawanie prezentów. Czy kiedyś zdarzyło ci się dostać niechciany prezent na święta lub urodziny? Na przykład sprezentowany przez babcię zestaw kosmetyków, którego zapach ci nie odpowiada, za to zapach ten uwielbia twoja babcia? Taki podarunek pokierowany jest bardziej perspektywą osoby obdarowującej niż twoimi upodobaniami. Osoby kierujące się motywami pozaosobistymi skłonne są do zrozumienia sytuacji, preferencji innej osoby niezależnie od własnych preferencji, potrzeb czy oczekiwań. Innym, dość drastycznym przykładem, może być chęć udzielenia pomocy osobie doświadczającej przemocy domowej, ale ona zwraca się do nas z prośbą o nieinformowanie służb. Co zrobisz? (Problem ten został bardziej rozwinięty w sekcji sprawdzającej wiedzę, w ). Zrozumienie sytuacji danej osoby i wczucie się w jej potrzeby niezależnie od naszych przekonań dotyczących najlepszych efektów rozwiązania tej sytuacji jest przejawem umiejętności wykroczenia poza własną perspektywę widzenia świata. Warto również wspomnieć o dwóch innych podejściach do zachowań pomocnych. Jedno z nich upatruje genezy tego rodzaju zachowań w założeniach teorii ewolucji, drugie odwołuje się do norm wypracowanych w społeczeństwie. W pierwszym przypadku pomocność, prospołeczność czy altruizm są mechanizmami pośrednio pozwalającymi na przetrwanie naszych genów (por. Hamilton, 1964). W drugim przypadku, zachowania te regulowane są przez normy społeczne jak np. norma wzajemności. Norma ta zobowiązuje nas do pomocy osobom, które uprzednio nam pomogły. Streszczenie Istnieje wiele czynników, które sprawiają, że pomagamy innym. Niektóre teorie wskazują, że u podłoża zachowań pomocnych leżą czynniki sytuacyjne, jak jednoznaczność sytuacji, liczba świadków, czy też właściwości fizyczne osoby potrzebującej pomocy. Inne koncepcje wspominają o naszych wewnętrznych predyspozycjach, jak odczuwanie empatii. Review Questions Efekt widza występuje z powodu ________ desensytyzacji przemocy niezauważania zagrożenia przez ludzi rozmycia odpowiedzialności braku wrażliwości społecznej C Personal Application Questions Gdy następnym razem zobaczysz kogoś potrzebującego pomocy, rozejrzyj się wokół siebie. Zaobserwuj, czy nie wystąpił efekt świadka, i podejmij działania w celu udzielenia pomocy. Jeżeli nie jesteś w stanie pomóc, zwróć się o pomoc do kogo innego, albo zadzwoń na policję. Osoba doświadczająca przemocy domowej zwraca się do nas z prośbą o nieinformowanie służb o jej sytuacji. Co zrobisz w taki przypadku? Czy powiadomisz odpowiednie służby? Jeśli tak, czy twoja motywacja jest egoistyczna, czy skierowana na potrzeby osoby kierującej do ciebie prośbę? rozproszenie odpowiedzialności (ang. diffusion of responsibility ) sytuacja, gdy nikt w grupie nie decyduje się pomóc ofierze zdarzenia, gdyż odpowiedzialność za udzielenie pomocy rozmywa się altruizm (ang. altruism ) dążenie do pomagania innym ludziom, nawet jeśli dla jednostki koszty są wyższe niż korzyści z pomagania miłość przyjacielska (ang. companionate love) rodzaj miłości, w którym jest miejsce na intymność i zaangażowanie, ale nie ma w niej pożądania; występuje w relacjach z bliskimi przyjaciółmi i rodziną empatia (ang. empathy ) zdolność rozumienia punktu widzenia innej osoby; umiejętność odczuwania tego, co ona zachowania prospołeczne (ang. prosocial behaviours) niewymuszone działania, których intencją jest pomoc innym ludziom", "section": "Zachowania pomocne", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Tworzenie relacji Co powoduje, że ludzie się lubią? Z kim się przyjaźnią? Z kim chodzą na randki? Naukowcy udokumentowali szereg cech sytuacyjnych, które mają wpływ na to, czy stworzymy z kimś relację. Istnieją także uniwersalne cechy, które powodują, że ktoś może się nam podobać. Ten podrozdział poświęcony został warunkom sprzyjającym tworzeniu się relacji międzyludzkich. Zastanowimy się również, czego szukamy w przyjaźni i związkach, jakie są różne rodzaje miłości, oraz omówimy teorię opisującą sposób, w jaki wchodzimy w relacje, jak je utrzymujemy i jak kończymy. Jak sądzisz, jaki czynnik ma największy wpływ na to, z kim się zaprzyjaźnisz, a z kim stworzysz związek? Być może odpowiedź cię zaskoczy, bo jest bardzo prosta: ten najważniejszy czynnik to bliskość. Istnieje większe prawdopodobieństwo, że zaprzyjaźnisz się z osobami, z którymi regularnie się kontaktujesz. Przeprowadzono wiele badań na poparcie tezy, że studenci najprawdopodobniej zaprzyjaźnią się z osobami, które mieszkają w tym samym akademiku, w tym samym bloku lub w bliskim sąsiedztwie niż z osobami mieszkającymi daleko (Festinger et al., 1950). Łatwiej jest po prostu wchodzić w relacje z ludźmi, których często widujemy, bo dzięki temu mamy okazję ich lepiej poznać. Kolejnym czynnikiem wpływającym na to, z kim tworzymy relację, jest podobieństwo. Istnieje większe prawdopodobieństwo, że zaprzyjaźnimy się z kimś (lub zakochamy w kimś), kto jest do nas podobny pod względem pochodzenia, poglądów i stylu życia. W istocie, nie ma dowodów na to, że przeciwieństwa się przyciągają. Przeciwnie, ludziom zazwyczaj podobają się osoby do nich podobne ( ) (McPherson et al., 2001). Dlaczego podobają nam się ludzie podobni do nas samych? Jeżeli ty i inna osoba macie wspólne gusta muzyczne, to samo hobby, lubicie takie samo jedzenie itp., to decyzja o tym, co wspólnie robić, nie będzie trudna. Osoby podobne do nas ponadto wzmacniają naszą samoocenę, przez potwierdzenie pozytywnego obrazu własnej osoby. Jednakże należy pamiętać, że zbyt bliskie podobieństwo nie zawsze odbierane jest pozytywnie. Homofilia (ang. homophily ) to tendencja do tworzenia sieci społecznościowych, w tym przyjaźni, małżeństw, związków biznesowych i innych rodzajów interakcji, z osobami podobnymi do nas samych (McPherson et al., 2001). Ludzi zazwyczaj przyciągają ludzie do nich podobni. Wiele par wywodzi się z tego samego kręgu kulturowego. Ma to znaczenie nie tylko w przełomowych sytuacjach, ale także na co dzień. (Źródło: modyfikacja pracy Shiraz Chanawala). Homofilia ogranicza naszą ekspozycję na różnorodność (McPherson et al., 2001). Gdy nawiązujemy relacje z ludźmi podobnymi do nas, należymy do homogenicznych grup społecznych i nie mamy do czynienia z różnymi punktami widzenia. Innymi słowy, w związku z większym prawdopodobieństwem, że będziemy spędzać czas z osobami takimi jak my, nie będziemy mieli wiele do czynienia z osobami, które się od nas różnią, w tym osobami innych ras, innego pochodzenia etnicznego, o innym statusie społeczno-ekonomicznym i znajdujących się w innych sytuacjach życiowych niż my. Po tym jak już stworzymy relacje z ludźmi, oczekujemy wzajemności. Zasada wzajemności (ang. reciprocity ) w relacjach z innymi oznacza dawanie i przyjmowanie. Dajemy coś drugiej osobie w przyjaźni lub w związku i spodziewamy się także czerpać korzyści z tej relacji. Oznacza to, że nasze relacje z innymi to niejako ulica dwukierunkowa. Będziemy bardziej lubili osoby, które także będą nas lubiły. Jednym z elementów zasady wzajemności jest tzw. odsłanianie się. Odsłanianie się (ang. self-disclosure ) to ujawnienie osobistych informacji w relacjach z innymi (Laurenceau et al., 1998). Wchodzimy w intymne relacje z osobami, którym ujawniamy ważne informacje na nasz temat. W istocie, odsłanianie się jest cechą zdrowych intymnych relacji pod warunkiem, że informacje, którymi druga osoba się z nami dzieli, jest zgodna z naszymi poglądami (Cozby, 1973). Przyciąganie Omówiliśmy już to, jak bliskość i podobieństwo przyczyniają się do tworzenia relacji, oraz jak ważną rolę odgrywają zasada wzajemności i odsłanianie się w utrzymaniu związku czy przyjaźni. Ale jakie cechy danej osoby powodują, że nam się ona podoba? Nie tworzymy bliższych relacji ze wszystkimi, którzy mieszkają lub pracują w naszej okolicy, zatem jak to się dzieje, że określone osoby wybieramy z tłumu, by to z nimi nawiązać przyjaźń lub stworzyć związek? Naukowcy wykazali istnienie szeregu cech u mężczyzn i kobiet, jakie ludzie uznają za atrakcyjne. Przede wszystkim szukamy przyjaciół i kochanków wśród osób, które są atrakcyjne fizycznie. Ludzie mają różne preferencje i ich ocena atrakcyjności drugiej osoby może się różnić, ponadto wpływ na to, kto nam się podoba, mają czynniki kulturowe. W badaniach dowiedziono jednak, że istnieją pewne uniwersalne cechy u kobiet świadczące o ich atrakcyjności, np. duże oczy, wysokie kości policzkowe, wąska szczęka i szczupła sylwetka (Buss, 1989), jak również proporcja między szerokością talii i bioder (Singh, 1993). Z kolei cechy powszechnie uważane za atrakcyjne u mężczyzn to: wysoki wzrost, szerokie ramiona i szczupła talia (Buss, 1989). Zarówno kobiety, jak i mężczyzn o wysokim stopniu symetryczności twarzy i ciała uznaje się za osoby bardziej atrakcyjne niż osoby asymetryczne (Fink et al., 2006; Penton-Voak et al., 2001; Rikowski i Grammer, 1999). Cechy społeczne, które są uważane za atrakcyjne u potencjalnych partnerek, to: ciepło, czułość i umiejętności społeczne, a u partnerów: osiągnięcia, cechy przywódcze i umiejętności zawodowe (Regan i Berscheid, 1997). Koncepcje mówiące o określonych cechach atrakcyjnych dla osób heteroseksualnych bazują na teorii ewolucji i doboru naturalnego. Z tego punktu widzenia inne cechy będą atrakcyjne dla kobiet i mężczyzn. Mimo że ludzie przy wyborze partnera lub partnerki kierują się m.in. atrakcyjnością, nie oznacza to, że szukamy najatrakcyjniejszej osoby, jaką tylko możemy znaleźć. Na podstawie obserwacji niektórzy badacze uważają, że istnieje tzw. hipoteza dopasowania, zgodnie z którą ludzie przejawiają tendencję do wybierania na partnera lub partnerkę osoby, jaką uznają za podobnie atrakcyjną i społecznie pożądaną jak oni sami (Taylor et al., 2011). Na przykład Janek może uważać, że pewna atrakcyjna gwiazda filmowa jest zbyt piękna, by miał u niej szanse. Nawet gdyby mieszkał blisko niej, to raczej nie zaprosiłby jej na randkę z obawy przed odrzuceniem. Ludzie ważą atrakcyjność potencjalnego partnera względem prawdopodobieństwa, czy zostaną przez niego zaakceptowani. Jeżeli dana osoba uważa się za szczególnie nieatrakcyjną (nawet jeżeli nie jest to prawdą), to prawdopodobnie będzie ona szukać partnerów, którzy są stosunkowo mało atrakcyjni (pod względem wyglądu fizycznego lub zachowania). Oczywiście wygląd nie jest jedynym czynnikiem sprawiającym, że ktoś jest dla nas atrakcyjny. Innymi decydującymi czynnikami są cechy osobowości. Teoria miłosnego trójkąta Sternberga Zazwyczaj kochamy osoby, z którymi tworzymy relacje, ale rodzaje miłości, jakie żywimy do rodziny, przyjaciół i kochanków, różnią się. Robert Sternberg (1986) opracował model miłości oparty na trzech składowych: intymności, pożądaniu i zaangażowaniu; w zależności od obecności lub braku którejś z tych składowych można wyróżnić siedem rodzajów miłości. Ta teoria nazywa się teorią miłosnego trójkąta (ang. triangular love theory ) ( ). Intymność polega na dzieleniu się szczegółami i intymnymi przemyśleniami oraz emocjami z drugą osobą. Pożądanie wiąże się z przyciąganiem fizycznym – to płomień, który podsyca ogień. Zaangażowanie to trwanie przy drugiej osobie, to właśnie to „na dobre i na złe”, które małżonkowie przysięgają sobie podczas ślubu. Zgodnie z teorią miłosnego trójkąta Sternberga istnieje siedem rodzajów miłości tworzonych przez różne kombinacje części składowych miłości, tj. intymności, pożądania i zaangażowania. (Źródło: modyfikacja pracy „Lnesa”/Wikimedia Commons). Sternberg (1986) twierdził, że w zdrowym związku splatają się harmonijnie wszystkie trzy części składowe miłości: intymność, pożądanie i zaangażowanie; taki rodzaj miłości nazywamy miłością doskonałą (ang. consummate love ). Jednakże poszczególne aspekty miłości mogą przeważać na różnych etapach związku. Innymi rodzajami miłości są lubienie, czyli relacja, w której pielęgnuje się tylko intymność, ale nie ma w niej pożądania ani zaangażowania. Zauroczenie to relacja, w której prym wiedzie pożądanie, a brak w niej intymności i zaangażowania. Z kolei w miłości pustej funkcjonuje jedynie zaangażowanie, bez intymności i pożądania. Miłość przyjacielska (ang. companionate love ) to rodzaj miłości, w którym jest miejsce na intymność i zaangażowanie, ale nie ma w niej pożądania; występuje w relacjach z bliskimi przyjaciółmi i rodziną. Miłość romantyczna (ang. romantic love ) to rodzaj miłości, w którym jest intymność i pożądanie, ale nie ma zaangażowania. Wreszcie miłość fatalna to relacja, w której mamy pożądanie i zaangażowanie, ale brak w niej intymności, czyli na przykład wieloletni romans. Czy przychodzą ci do głowy jakieś przykłady relacji, które wpisują się w te różne rodzaje miłości? Teoria wymiany społecznej Omówiliśmy już przyczyny, dla których nawiązujemy relacje, powiedzieliśmy, co nas przyciąga do innych oraz poznaliśmy różne rodzaje miłości. Jakie czynniki mają wpływ na to, czy czujemy się usatysfakcjonowani relacją i w niej trwamy? Jedną z teorii, która tłumaczy to zjawisko, jest teoria wymiany społecznej (ang. social exchange theory ), zgodnie z którą ludzie postępują jak ekonomiści, rejestrując stosunek zysków i strat dla każdej nawiązanej relacji i jej utrzymywania; ich celem jest maksymalizacja korzyści i minimalizacja kosztów ( ) (Blau, 1963; Rusbult i Van Lange, 2003). Ludzie rejestrują stosunek zysków i strat dla każdej nawiązanej relacji i jej utrzymywania. Zazwyczaj utrzymują się tylko te relacje, w których korzyści jest więcej niż kosztów. Ludzie mają motywację do maksymalizacji korzyści z wymian społecznych, czyli relacji, i minimalizacji kosztów z nimi związanych. Zazwyczaj wolą czerpać korzyści niż ponosić koszty albo starają się, aby wystąpiła równowaga między kosztami a korzyściami; większość ludzi zaś nie jest usatysfakcjonowana relacjami społecznymi, których koszty przewyższają korzyści. Omówmy to zagadnienie na przykładzie. Jeżeli kiedykolwiek zdarzyło ci się stać w obliczu decyzji, czy związać się z drugą osobą, zapewne pierwszym krokiem była analiza plusów i minusów tej decyzji. Jakie są korzyści z bycia w romantycznej relacji? Jedną z nich jest z pewnością towarzystwo drugiej osoby, intymność i namiętność, ale także poczucie swobody w relacji z osobą, którą dobrze znasz. A z jakimi kosztami wiąże się bycie w związku? Być może pojawia się obawa, że z czasem w relację może wkraść się nuda. Jednakże korzyści płynące ze spotykania się z ukochaną osobą przeważają nad kosztami, ponieważ gdyby było inaczej, niewiele osób wiązałoby się w pary. Summary Tworzenie relacji z innymi jest niezbędnym elementem życia istot społecznych. Zazwyczaj wchodzimy w relacje z osobami, które są blisko nas, oraz takimi, które są podobne do nas samych. W relacjach oczekujemy wzajemności i odsłaniania się. Chcemy również tworzyć przyjaźnie i związki z osobami, które są fizycznie atrakcyjne, choć standardy atrakcyjności mogą się różnić w zależności od kultury, w jakiej żyjemy, i w zależności od płci. Wyróżniamy wiele rodzajów miłości, w których występują w różnych kombinacjach i nasileniach trzy składowe miłości: intymność, pożądanie i zaangażowanie. Rodzaj miłości, w którym harmonijnie splatają się ze sobą te trzy składniki, nazywamy miłością doskonałą. Przy określaniu poziomu satysfakcji ze związku i przy podejmowaniu decyzji, czy trwać w danej relacji, ludzie zazwyczaj zachowują się zgodnie z przewidywaniami teorii wymiany społecznej i ważą koszty oraz korzyści związane z byciem w związku. Review Questions Altruizm to forma zachowania prospołecznego motywowanego ________. dobrym samopoczuciem bezinteresowną pomocą innym zdobyciem nagrody okazaniem odwagi wobec świadków B Gdyby Samuel po przeprowadzce do nowego bloku zadziałał zgodnie z tym, co pokazały badania naukowe, najprawdopodobniej zaprzyjaźniłby się z ________. sąsiadem zza ściany osobą, która mieszka trzy piętra nad nim w tym samym bloku osobą, która mieszka po drugiej stronie ulicy swoim nowym listonoszem A Jakiej cechy poszukują u potencjalnego partnera zarówno kobiety, jak i mężczyźni? poczucia humoru umiejętności społecznych zdolności przywódczych atrakcyjności fizycznej D Zgodnie z teorią miłosnego trójkąta, jaki rodzaj miłości cechuje się występowaniem pożądania i intymności, ale brakiem zaangażowania? miłość doskonała miłość pusta miłość romantyczna lubienie C Zgodnie z teorią wymiany społecznej ludzie chcą maksymalizować ________ i minimalizować ________ w związkach. intymność; zaangażowanie korzyści; koszty koszty; korzyści pożądanie; intymność B Critical Thinking Questions Opisz czynniki, które wpływają na powstawanie relacji. Ważnym czynnikiem w nawiązywaniu relacji jest bliskość. Ludzie, którzy często się widują bądź spotykają, częściej mogą wchodzić ze sobą w relacje. To, czy ludzie nawiązują relacje z innymi, zależy od czynników niesytuacyjnych, takich jak: podobieństwo, wzajemność, odsłanianie się i atrakcyjność fizyczna. W związkach ludzie oczekują wzajemności (dawania i przyjmowania, równowagi w plusach i minusach relacji), ujawniania intymnych szczegółów i atrakcyjności fizycznej. Zgodnie z teorią ewolucji ludzie kierują się chęcią rozpowszechniania swoich genów. Biorąc pod uwagę perspektywę ewolucyjną, wymień cechy, jakie mężczyźni i kobiety postrzegają jako atrakcyjne u siebie nawzajem. U kobiet są to cechy, które wspierają prokreację, czyli ciepło, czułość i umiejętności społeczne. Zakłada się, że kobiety o takich cechach lepiej wychowają dzieci. Cechy pożądane u mężczyzn to: osiągnięcia, zdolności przywódcze i umiejętności zawodowe. Mężczyzn posiadających takie cechy uważa się za bardziej zdolnych do zapewnienia bezpieczeństwa swoim rodzinom. Personal Application Questions Przypomnij sobie swoje niedawne przyjaźnie i związki. Jakie czynniki miały wpływ na nawiązanie tych relacji? Co skłoniło cię do zaprzyjaźnienia się lub zakochania w danej osobie? Czy przypominasz sobie jakąś sytuację, w której teoria wymiany społecznej wydała ci się przydatna do oceny poziomu satysfakcji z przyjaźni czy związku? Czy kiedykolwiek koszty przeważały nad korzyściami w którejś z twoich relacji? Jeżeli tak, jak to zostało rozwiązane? miłość doskonała (ang. consummate love) rodzaj miłości, w którym harmonijnie splatają się ze sobą intymność, pożądanie i zaangażowanie homofilia (ang. homophily) tendencja do tworzenia sieci społecznościowych, w tym przyjaźni, małżeństw, związków biznesowych i innych rodzajów interakcji z osobami podobnymi do nas samych zasada wzajemności (ang. reciprocity ) w relacjach z innymi oznacza dawanie i przyjmowanie miłość romantyczna (ang. romantic love ) rodzaj miłości, w którym jest intymność i pożądanie, ale nie ma zaangażowania odsłonięcie się (ang. self-disclosure ) ujawnienie osobistych informacji w relacjach z innymi teoria wymiany społecznej (ang. social exchange theory) ludzie postępują jak ekonomiści, rejestrując stosunek zysków i strat dla każdej nawiązanej relacji i jej utrzymywania; ich celem jest maksymalizacja korzyści i minimalizacja kosztów teoria miłosnego trójkąta (ang. triangular love theory ) model miłości oparty na trzech składowych: intymności, pożądaniu i zaangażowaniu; w zależności od obecności lub braku którejś z tych składowych można wyróżnić siedem rodzajów miłości", "section": "Tworzenie relacji", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Psychologia pracy i organizacji zajmuje się m.in, poprawą jakości relacji między pracodawcą a pracownikiem i badaniem zadowolenia i satysfakcji z pracy. (Źródło: Fauxeles z Pexeles). Psychologia pracy i organizacji jest jedną z dziedzin psychologii stosowanej. Jej nazwa to dosłowne tłumaczenie terminu angielskiego Work & Organizational Psychology , powszechnie używanego na całym świecie. Można spotkać się też z innymi, w dużej mierze równoznacznymi terminami, np. „ psychologia biznesu ”, „ psychologia przemysłowa ” lub „ psychologia zarządzania ”. W tym rozdziale używać będziemy jednak tradycyjnego określenia „psychologia pracy i organizacji”. Historia tej dziedziny jest równie długa jak historia całej psychologii naukowej. Już pod koniec wieku XIX podejmowano pierwsze próby zastosowania wiedzy psychologicznej np. w badaniach kandydatów do pracy. Sprawdzano predyspozycje do wykonywania różnego rodzaju zadań lub związki między sposobem i warunkami wykonywania pracy a zadowoleniem. Rozwijały się badania nad dopasowaniem stanowiska pracy do człowieka, które obecnie stanowią odrębną dziedzinę, ergonomię . W pierwszej połowie XX wieku powstał nurt Human Relations , który kładł szczególny nacisk na relacje międzyludzkie w pracy, funkcjonowanie grup wewnątrz organizacji i społeczne potrzeby pracowników. Wraz z rozwojem psychologii społecznej coraz większą wagę zaczęto przywiązywać do wyjaśniania przyczyn pojawiania się w pracy różnych zachowań i postaw. Współcześnie psychologowie pracy i organizacji zajmują się szerokim spektrum problemów, zarówno proponując nowe koncepcje teoretyczne, jak i praktyczne rozwiązania. Cały czas prowadzone są badania nad dopasowaniem człowiek–organizacja (ang. personal-organization fit ), których praktyczny charakter przejawia się w udoskonalaniu metod doboru do pracy, doradztwa zawodowego oraz dostosowywania zadań i warunków pracy do oczekiwań pracowników. Bardzo rozległym obszarem badań i zastosowań są zagadnienia związane z postawami wobec organizacji (ang. attitudes towards organizations ), relacjami ze współpracownikami i przełożonymi, zachowaniami pomocnymi i przeszkadzającymi w funkcjonowaniu firmy. Ważne miejsce zajmują badania nad stresem w pracy (ang. stress at work ), przeciwdziałaniem czynnikom, które go wywołują, oraz sposobami radzenia sobie z nim. Nie można też pominąć zagadnień motywacji do pracy (ang. work motivation ), jej rodzajów, źródeł i konsekwencji. W tym rozdziale zajmiemy się tymi czterema grupami zagadnień psychologii pracy i organizacji. References Allen, N.J., Meyer, J.P. (1990). The measurement and antecedents of affective, continuance and normative commitment to the organization. Journal of Occupational Psychology , 63, 1-18. Chirkowska-Smolak, T. (2012). Psychologiczny model zaangażowania w pracę . Poznań: Wydawnictwo Naukowe UAM. Colquitt, J. A. (2001). On the dimensionality of organizational justice: A construct validation of a measure. Journal of Applied Psychology , 86(3), 386–400. Csikszentmihalyi, M. (1990). Flow . New York, NY: Harper Collins. Czarnota-Bojarska, J., (2010). Dopasowanie człowiek – organizacja i tożsamość organizacyjna . Warszawa: Wydawnictwo Naukowe Scholar. Czarnota-Bojarska, J., (2020). Proces doboru personelu: procedury i metody . W: Rożnowski, B., Fortuna, P. (red.), Psychologia biznesu, (rozdz. 12). Warszawa: Wydawnictwo Naukowe PWN. Deci, E. L., Ryan, R. M. (2000). The “what” and “why” of goal pursuits: Human needs and the self-determination of behavior. Psychological Inquiry , 11, 227–268. Durniat, K. (2016). Ponad wskaźniki behawioralne - prezentacja polskiego kwestionariusza SDM do badania mobbingu . XIII Zjazd Polskiego Stowarzyszenia Psychologii Społecznej, Wrocław, 16-18 września 2016 r. Endler, N. S., Parker, J. D. A. (1994). Assessment of multidimensional coping: Task, emotion, and avoidance strategies. Psychological Assessment , 6(1), 50–60. Demerouti, E., Bakker, A. B., Nachreiner, F., Schaufeli, W. B. (2001). The job demands: resources model of burnout. Journal of Applied Psychology , 86, 499–512. Gonzalez-Mulé, E., Mount, M. K., Oh, I.-S. (2014). A meta-analysis of the relationship between general mental ability and nontask performance. Journal of Applied Psychology , 99(6), 1222–1243. Herzberg, F., Mausner, B., Snyderman, B.B. (1959). The Motivation to Work . New York: John Wiley & Sons, Inc., London: Chapman & Hall Limited. Hoppock, R. (1935). Job satisfaction . Oxford, England: Harper. Judge, T. A., Weiss, H. M., Kammeyer-Mueller, J. D., Hulin, C. L. (2017). Job attitudes, job satisfaction, and job affect: A century of continuity and of change. Journal of Applied Psychology , 102(3), 356–374. Kristof, A.L. (1996) Person-Organization Fit: An Integrative Review Of Its Conceptualizations, Measurement And Implications. Personnel Psychology , 49(1), 1-49. Kunin, T. (1955). The construction of a new type of attitude measure. Personnel Psychology , 8, 65–77. Lazarus, R. S., Folkman, S. (1984). Stress, appraisal, and coping . New York: Springer. Locke, E. A., Schattke, K. (2019). Intrinsic and extrinsic motivation: Time for expansion and clarification. Motivation Science , 5(4), 277–290. Maslach, C. (1998). A multidimensional theory of burnout. W: Cooper, C. (red.) Theories of Organizational Stress , (68–85). Oxford, UK: Oxford Univ. Press. Maslow, A. H. (1943). A theory of human motivation. Psychological Review , 50(4), 370-396. McClelland, D. C. (1987). Human motivation . New York, NY: Cambridge University Press. Meyer, J.P. Herscovitch, L. (2001). Commitment in the workplace: toward a general model, Human Resource Management Review , 11(3), 299-326, Organ, D.W., Podsakoff, P.M. MacKenzie, S.B. (2005). Organizational Citizenship Behavior: Its Nature, Antecedents, and Consequences . SAGE. Schaufeli, W. B., Bakker, A. B. (2001). Werk en welbevinden: naar een positieve benadering in de Arbeids- en Gezondheidspsychologie [Work and well-being: towards a positive approach in Occupational Health Psychology]. Gedrag & Organisatie , 14, 229–253. Spector, P. E. Fox, S. (2005). A model of counterproductive work behavior. W: S. Fox, & P. E. Spector (red.), Counterproductive workplace behavior: Investigations of actors and targets , s:151−174. Washington, DC: APA. Warr, P. (1994). A conceptual framework for the study of work and mental health, Work & Stress , 8(2), 84-97.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Dopasowanie człowiek–organizacja Zastanawiając się nad tym, co w języku codziennym oznacza słowo „dopasowanie”, łatwo zauważyć, że można wskazać dwie sytuacje, które tym słowem określamy, chociaż dotyczą czego innego. Po pierwsze, o dopasowaniu powiemy, gdy dwa przedmioty mogą być połączone ze sobą i utworzą jakąś całość, np. wtyczka i kontakt elektryczny. Oba te obiekty są różne od siebie, ale „pasują” jeden do drugiego. Po drugie, o dopasowaniu powiemy też, gdy obiekty stanowią egzemplarze tej samej grupy, kategorii, gatunku. W tym sensie jabłka „pasują” do jabłek, a gruszki – do gruszek. Ta dwojakość rozumienia samego terminu „dopasowanie” została zauważona przez badaczy organizacji. W obszarze tym, gdy mówi się o dopasowaniu człowiek – organizacja, wskazuje się na następujące rodzaje dopasowania: Dopasowanie komplementarne (ang. complementary fit ): gdy możliwości, które stwarza pracownikom organizacja, są zgodne z ich oczekiwaniami i vice-versa, umiejętności wnoszone przez pracowników odpowiadają zapotrzebowaniu organizacji (czyli dopasowanie typu wtyczka-kontakt). Dopasowanie suplementarne (ang. supplementary fit ): gdy cele, wartości i kultura organizacji są podobne do celów, wartości i osobowości jej członków (czyli dopasowanie typu jabłka-jabłka) Dopasowanie pracownika do organizacji jest istotnym obszarem badań prowadzonych przez psychologów pracy i organizacji. Dopasowanie suplementarne i dopasowanie komplementarne. Możliwości oraz oczekiwania pracowników i organizacji (dopasowanie komplementarne) wypływają z przyjmowanych przez nich wartości i realizowanych celów (dopasowanie suplementarne). Mogą być realizowane przeróżnymi metodami, a od tego, która z nich zostanie przyjęta, zależeć będą konkretne oczekiwania organizacji wobec pracowników. Popatrzmy na działalność organizacji charytatywnych: mają one podobne, a często identyczne cele, ale ich sposób działania bywa bardzo zróżnicowany. W niektórych z nich podstawową siłą napędową i głównym oczekiwaniem od pracowników są samodzielność, partnerstwo we wzajemnych kontaktach i otwartość na nowe pomysły. Inne z kolei przypominają bardziej urzędy; duży nacisk kładziony jest na podporządkowanie się procedurom, zgodność z dotychczasowymi zwyczajami i rozwiązaniami oraz posłuszeństwo. Oba rodzaje organizacji charytatywnych mogą odnosić sukcesy w swojej działalności. Ale chociaż ich cele są podobne, pracownicy jednej nie będą umieli sobie wyobrazić możliwości przeniesienia do drugiej i na odwrót. Podstawową metodą zwiększania dopasowania człowiek–organizacja jest uwzględnianie go w procesie rekrutacji pracowników. Należy określić, jakie są ważne cechy firmy, wartości i cele, co do których pracownicy muszą być zgodni, oraz jakie oczekiwania i możliwości daje przyszłym pracownikom firma. Trzeba też zdecydować, jakie cechy kandydatów będą świadczyć o ich dopasowaniu i uwzględnić ich pomiar w trakcie procedury selekcyjnej. Spojrzenie na selekcję kandydatów do pracy jako na proces, którego podstawowym celem jest uzyskanie dopasowania człowiek–organizacja, pozwala wyjść poza poszukiwanie osób o wystarczających kwalifikacjach (dopasowanie do stanowiska/zawodu) i uwzględnienie kwestii związanych z kulturą organizacji, wartościami związanymi z pracą czy chęciami i możliwościami rozwoju zawodowego. Metody badania kandydatów do pracy Psychologowie używają różnych metod do badania kandydatów do pracy, chociaż najpowszechniej badanie psychologiczne jest kojarzone z testami i kwestionariuszami. Tego typu metody powinny być używane przez osoby z wykształceniem psychologicznym, potrafiące odpowiednio dobrać je do potrzeb badania, przeprowadzić samo badanie oraz obliczyć i prawidłowo zinterpretować wyniki. Nie każdy bowiem zbiór pytań jest testem lub kwestionariuszem. Przede wszystkim metoda badawcza musi być opisana szczegółowo w podręczniku do testu, w którym podane są informacje o podstawach naukowych i historii prac nad nim; opisane są procedura i wymagane warunki badania testem oraz podane podstawowe dane o jego trafności i rzetelności, a także tabele norm. Te informacje są podstawą decyzji, czy warto użyć konkretnego testu lub kwestionariusza w badaniu, które planujemy. Wydawcy i dystrybutorzy metod testowych mają obowiązek udzielać ich użytkownikom testów. Podstawowe parametry testu psychologicznego Rzetelność. Test rzetelny (ang. test reliability ) to taki, którego wynik jest dokładny, obarczony małym błędem i stały: im bardziej rzetelna metoda, tym bardziej można zaufać otrzymanemu wynikowi. Pojęcie rzetelności można zilustrować na przykładzie pomiaru innego rodzaju niż pomiar testowy, np. długości. Można mierzyć długość danego przedmiotu „na oko”. Do niektórych celów taki pomiar wystarcza, ale wszyscy wiemy, że jest on mało dokładny. Można też używać różnego rodzaju linijek lub miarek. Zależnie od tego, jak dokładna jest skala na danej miarce i jak dobrze odpowiada ona wzorcowi metra, otrzymany pomiar będzie mniej lub bardziej dokładny i bezbłędny. Trafność. Test trafny (ang. test validity ) to taki, którego wynik rzeczywiście odpowiednio odzwierciedla poziom badanej cechy: im bardziej trafna metoda, tym większa pewność, że zmierzona została ta cecha, która miała być zmierzona. Pojęcie trafności można zilustrować na przykładzie pomiaru innego rodzaju niż pomiar testowy, np. przewidywania pogody. Można opierać przewidywania na wyglądzie nieba o zachodzie Słońca lub na „łamaniu w kościach”. Meteorologowie posługują się złożonymi systemami opartymi na wielu danych, pochodzących z różnych miejsc, i ich przewidywania są zazwyczaj bardziej trafne. Normalizacja. Normalizacja testu (ang. test normalisation ) to badanie dużej grupy osób, najlepiej reprezentatywnej dla całej populacji pod względem płci i wieku, które pozwala stworzyć normy do testu stanowiące układ odniesienia dla wyniku konkretnej badanej osoby. Normy do testu mają zazwyczaj formę tabel, w których można sprawdzić, w jakim punkcie rozkładu wyników dla populacji znajduje się wynik osoby badanej. Pojęcie normalizacji można zilustrować na przykładzie pomiaru innego rodzaju niż pomiar testowy – np. oceny słodkości jedzonego owocu. Jeżeli owocem tym jest jabłko, czyli owoc, który jemy od wielu lat i dobrze wiemy, jak bardzo może być słodkie lub kwaśne, możemy z dużą pewnością powiedzieć, że konkretne, jedzone właśnie jabłko jest wyjątkowo słodkie. Jeżeli spróbujemy po raz pierwszy w życiu owocu opuncji, to nie jesteśmy w stanie określić, czy trafiliśmy na słodki egzemplarz czy nie, gdyż nie wiemy, jaki jest zakres jego możliwej słodkości. Testy wykorzystywane przez psychologów podczas procesu rekrutacji powinny mieć dopracowaną metodologię. (Źródło: ThisIsEngineering from Pexels). Psychologowie pracy i organizacji stosują testy oraz kwestionariusze psychologiczne do diagnozy bardzo różnych cech, zależnie od wymagań pracy, do której szukamy kandydatów. Badania pokazują, że mało jest cech, które zawsze zwiększają dopasowanie, niezależnie od rodzaju pracy i zatrudniającej firmy. Właściwie mówić można tylko o dwóch tego typu, uniwersalnych cechach. Jedną z nich jest inteligencja ogólna, a drugą stabilność emocjonalna. Chociaż z różnych powodów – często niemających nic wspólnego z rozwojem nauki – związki inteligencji ogólnej z funkcjonowaniem w pracy są kwestionowane, to wyniki ponad 100 lat badań pokazują, że są one nie tylko obiektywnie silne, ale też silniejsze niż innych cech. Łatwo też je logicznie wytłumaczyć: przecież sama definicja inteligencji ogólnej mówi, że jest to zdolność radzenia sobie w nowych sytuacjach. Należy więc oczekiwać, że pracownik o wyższym poziomie inteligencji ogólnej szybciej, lepiej i skuteczniej poradzi sobie z nowym wyzwaniem w pracy niż pracownik o niższym poziomie inteligencji ogólnej. Nie oznacza to oczywiście, że osoby mniej inteligentne nie poradzą sobie w żadnej pracy! Wyniki badań pokazują, że inteligencja ogólna ma szczególne znaczenie dla zadań złożonych, nowych i wymagających twórczych rozwiązań. Osoby o niższym poziomie inteligencji mogą z powodzeniem odnaleźć się w pracach lepiej ustrukturalizowanych, gdzie są stałe zasady wykonywania zadań i w których rzadziej spotykają się z trudnymi problemami, wymagającymi szybkiego rozwiązania. Stabilność emocjonalna to cecha, która odpowiada za odporność na stres i adekwatną do sytuacji reakcję emocjonalną. Osoby stabilne emocjonalnie mniej się denerwują, a już nigdy bez powodu. Lepiej radzą sobie z własnymi emocjami, co oznacza, że nawet w sytuacji trudnej potrafią zachować „chłodną głowę”. Badania pokazują, że stabilność emocjonalna silnie wiąże się z funkcjonowaniem w każdej pracy, chociaż w niektórych zawodach jest szczególnie istotna. Są to przede wszystkim zawody łączące się z wieloma czynnikami mogącymi wzbudzać emocje, np. z dużą odpowiedzialnością, koniecznością dotrzymywania terminów, częstymi i złożonymi kontaktami z innymi ludźmi. Osoby o niskim poziomie stabilności emocjonalnej mogą odnaleźć się w zawodach, w których praca jest spokojniejsza, gdzie mogą samodzielnie decydować o tempie i czasie pracy i gdy nie wymaga się od nich nadmiernego wysiłku fizycznego ani psychicznego. Poza inteligencją ogólną i stabilnością emocjonalną istnieje cały szereg cech, które mogą być badane testami i kwestionariuszami. Mogą to być zarówno różne specyficzne zdolności (np. werbalne, matematyczne), cechy osobowości (np. ekstrawersja, psychotyczność, samoocena), a także zainteresowania zawodowe. Badania nad tymi ostatnimi prowadzone są w psychologii organizacji i pracy od wielu lat, a ich rezultaty znajdują zastosowanie zarówno w badaniu dopasowania, jak i w doradztwie rozwoju zawodowego. Summary Dopasowanie człowiek–organizacja jest istotnym dla firm i pracowników parametrem, o którym należy pamiętać już przy planowaniu rekrutacji. Bierze się tu pod uwagę dopasowanie suplementarne, wynikające ze zgodności systemu wartości obu podmiotów, oraz dopasowanie komplementarne, oparte na wzajemnych możliwościach i oczekiwaniach. Jednym z aspektów wyboru kandydata często jest wykonanie testu, który powinien być prowadzony i interpretowany przez psychologa. Trzy główne wymogi, które musi spełniać test, to: trafność, rzetelność i normalizacja. Review Questions Zgodność pomiędzy charakterystyką kandydata (jego osobowością, systemem wartości itp.) oraz charakterystyką organizacji (jej klimatem i kulturą, systemem wartości itp.) nazywana jest: dopasowaniem komplementarnym dopasowaniem suplementarnym dopasowaniem unitarnym dopasowaniem moralnym B Trafność testu psychologicznego to: rzetelność pomiaru testem zgodność wyników testu z prawdziwym natężeniem badanej cechy ogólna jakość pomiaru testem możliwość zastosowania testu w danej sytuacji B Aby możliwe było stwierdzenie, że badana osoba uzyskała obiektywnie wysoki wynik w teście, konieczne jest: aby jej wynik był w górnych 10% odniesienie jej wyniku do tabeli norm do testu porównanie jej wyniku z innymi osobami badanymi w tym samym czasie zbadanie jej innym testem B Cechą, która pozwala uniwersalnie przewidywać lepsze wykonanie pracy, jest: ekstrawersja ambicja dokładność inteligencja D Osoby o niskiej stabilności emocjonalnej: w każdej pracy będą pracowały gorzej w każdej pracy będą pracowały lepiej będą pracowały dobrze, jeżeli warunki i zadania w pracy będą dopasowane do ich możliwości będą pracowały źle, nawet jeżeli warunki i zadania w pracy będą dopasowane do ich możliwości C Critical Thinking Questions Dlaczego użycie testu o nieznanych parametrach trafności i rzetelności nie pozwala na diagnozę badanych cech? Ponieważ nie wiemy, co naprawdę bada użyty test (trafność) ani jak dobra jest jakość pomiaru cechy (rzetelność). Dlaczego inteligencja ogólna pozwala w sposób uniwersalny przewidywać jakość wykonania pracy? Ponieważ inteligencja ogólna pokazuje możliwości osoby do radzenia sobie w nowych sytuacjach i radzenia sobie z problemami, a to są zachowania konieczne do dobrego wykonywania pracy. Personal Application Questions Zastanów się, jakie masz oczekiwania wobec firmy, w której chcesz pracować w przyszłości. Spróbuj wskazać, które z tych oczekiwań odnoszą się do dopasowania suplementarnego, a które do dopasowania komplementarnego. dopasowanie suplementarne (ang. supplementary fit ) dopasowanie to występuje, gdy cele, wartości i kultura organizacji są podobne do celów, wartości i osobowości jej członków dopasowanie komplementarne (ang. complementary fit ) ten rodzaj dopasowania istnieje, gdy możliwości, które stwarza pracownikom organizacja, są zgodne z ich oczekiwaniami i vice versa: umiejętności wnoszone przez pracowników odpowiadają zapotrzebowaniu organizacji test rzetelny (ang. test reliability ) test, którego wynik jest dokładny, obarczony małym błędem i stały normalizacja testu (ang. test normalisation ) badanie dużej grupy osób, najlepiej reprezentatywnej dla całej populacji pod względem płci i wieku, które pozwala stworzyć normy do testu, stanowiące układ odniesienia dla wyniku konkretnej badanej osoby test trafny (ang. test validity ) test, którego wynik pokazuje natężenie tej cechy, do której pomiaru jest przeznaczony", "section": "Dopasowanie człowiek–organizacja", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Postawy wobec organizacji i relacje w pracy Stosunkiem ludzi do wykonywanej przez siebie pracy psycholodzy zajmują się od ponad stu lat. Pierwsza przeglądowa książka dotycząca satysfakcji z pracy (ang. job satisfaction ) powstała w latach 30. XX wieku (Hoppock, 1935). Do dzisiaj satysfakcja z pracy jest zmienną najczęściej pojawiającą się w badaniach w obszarze psychologii organizacji i pracy. Badacze zajmują się zarówno tym, jakie są źródła zadowolenia z pracy, jak i tym, jakie ma ono konsekwencje dla funkcjonowania pracowników i organizacji. Satysfakcja z pracy Badania nad satysfakcją z pracy i jej wpływem na wydajność pracownika prowadzone są od ponad wieku. Satysfakcja z pracy jest różnie definiowana i mierzona. Można ją rozumieć jako uogólniony stosunek emocjonalny, czyli uczucia, które budzi w nas nasza praca. Takim uogólnionym sposobem pomiaru będzie też pytanie wprost, czy jesteśmy zadowoleni z pracy. Można też bardziej szczegółowo pytać o zadowolenie lub uczucia związane z różnymi wymiarami, aspektami pracy, czyli np. wykonywanymi zadaniami, relacjami z innymi ludźmi, warunkami, w jakich praca jest wykonywana itp. Innym jeszcze sposobem rozumienia satysfakcji jest powiązanie jej z zaspokojeniem potrzeb i oczekiwań wobec pracy. W takim podejściu badania skupiają się na sprawdzeniu, w jakim stopniu różne potrzeby, np. potrzeba rozwoju, szacunku czy stabilności zatrudnienia, są w pracy spełnione. Te i inne sposoby rozumienia satysfakcji oraz badania z nią związane zmieniały się w ciągu ostatnich prawie stu lat. Timothy A. Judge i wsp. zaproponowali w bardzo ciekawym przeglądzie z roku 2017 sześć kolejnych „epok” w badaniach nad satysfakcją z pracy. Pomiar satysfakcji z pracy Badanie poziomu zadowolenia z pracy jako uogólnionego odczucia za pomocą skali obrazkowej zaproponował w 1955 roku Theodore Kunin. Skale wzorowane na jego idei są wykorzystywane do dzisiaj. Badanemu prezentuje się schematyczne obrazki przedstawiające ludzkie twarze wyrażające różne stopnie zadowolenia. W badaniach Kunina było ich 11. Twarze na skrajnych obrazkach wyrażają najsilniejsze uczucia: zadowolenia (twarz uśmiechnięta) i niezadowolenia (twarz smutna); obrazek środkowy wyraża uczucia neutralne, a pozostałe są uporządkowane zgodnie z nasileniem wyrażanych emocji. Badany ma za zadanie zaznaczyć ten obrazek, który najlepiej pasuje do jego uczuć pojawiających się, gdy myśli o swojej pracy. Tak wyglądał test ze skalą satysfakcji z pracy wykorzystany przez Kunina w 1955 r. Wciąż toczy się spór o to, czy zadowolenie z pracy i pozytywne uczucia wobec niej przekładają się na wyższą wydajność pracownika. Obecnie badacze są właściwie zgodni, że tak sformułowanego oczekiwania nie można jednoznacznie potwierdzić. Satysfakcja wiąże się z innymi przekonaniami dotyczącymi pracy, w tym także z motywacją, ale na wydajność pracownika wpływa zbyt wiele innych czynników zewnętrznych i wewnętrznych, aby można było szukać jej źródeł wyłącznie w zadowoleniu. Badania w tym obszarze przyczyniły się jednak do szerszego spojrzenia zarówno na postawy wobec pracy, jak i na funkcjonowanie pracowników. Wyodrębniono różne, bardziej szczegółowe zespoły przekonań odnoszące się do bardziej specyficznych zakresów relacji pomiędzy pracownikiem a jego pracą. Zwrócono także uwagę, że funkcjonowanie w pracy to nie tylko prosta wydajność, czyli sprawne wykonywanie zadań, ale także inne zachowania, które mogą sprzyjać lub szkodzić współpracownikom i całej firmie. Zajmiemy się teraz najczęściej badanymi i opisywanymi zjawiskami w obu tych obszarach. Poczucie sprawiedliwości organizacyjnej Przekonanie wśród pracowników, że organizacja postępuje wobec nich uczciwie, nosi nazwę poczucia sprawiedliwości organizacyjnej (ang. organisational justice ). Tak najprościej zdefiniował to pojęcie Jason A. Colquitt w artykule z roku 2001, w którym podsumował różne wcześniejsze badania nad sprawiedliwością organizacyjną i zaproponował cztery jej składowe. Rozumienie poczucia sprawiedliwości organizacyjnej według Colquitta jest obecnie szeroko przyjęte i stosowane w wielu badaniach. Składowe, które wyróżnił, to: poczucie sprawiedliwości proceduralnej (ang. procedural justice ), mówiące o tym, czy pracownik ma przekonanie o możliwości wpływu na sposób podejmowania decyzji ważnych dla niego, może w nich współuczestniczyć, zakwestionować je, jeżeli jego zdaniem są niewłaściwe poczucie sprawiedliwości dystrybucyjnej (ang. distributive justice ), odnoszące się do oceny adekwatności relacji między wkładem pracownika a otrzymywanymi przez niego ocenami i wynagrodzeniem; jest to przekonanie, że wszystkie istotne z punktu widzenia pracownika aspekty jego pracy są brane pod uwagę i odpowiednio doceniane poczucie sprawiedliwości interpersonalnej (ang. interpersonal justice ) to ocena sposobu traktowania przez bezpośredniego kierownika i innych przełożonych, przekonanie, że jest się traktowanym z szacunkiem, bez naruszania godności lub niestosownych wypowiedzi i zachowań, bez dyskryminacji z jakiegokolwiek powodu poczucie sprawiedliwości informacyjnej (ang. informational justice ) odnosi się do przekonania o właściwym, wyczerpującym informowaniu pracowników o sprawach organizacyjnych, zwłaszcza decyzjach i planach, które mogą ich dotyczyć. Poczucie sprawiedliwości organizacyjnej – niezależność czynników składowych Przykład 1. W firmie A zarząd bardzo dbał o ustalenie jasnych reguł oceny i wynagradzania pracowników: zespoły projektowe, składające się z osób wykonujących dane zadania, wypracowały zasady, według których ma być prowadzona ocena okresowa, sposób ustalenia wysokości premii w oparciu o wynik oceny i procedurę prowadzenia oceny. Efekty pracy zespołów zostały upowszechnione w firmie i każdy mógł zgłosić swoje uwagi lub zastrzeżenia. Gdy nadszedł moment zastosowania stworzonego systemu, większość kierowników właściwie zlekceważyła zaproponowane sposoby oceny, mówiła swoim podwładnym, że sami lepiej wiedzą, jak traktować „tych głupków i leni, z którymi muszą się użerać” , czyli swoich podwładnych . Pracownicy firmy A mogą mieć poczucie wysokiej sprawiedliwości organizacyjnej w wymiarze proceduralnym i informacyjnym, ale niskie w wymiarze interpersonalnym i dystrybucyjnym. Przykład 2. W firmie B wynagrodzenia, awanse i oceny przydzielane są uznaniowo. Pracownicy, którzy mają prywatne kontakty towarzyskie z przełożonymi wyższego szczebla , mogą zawsze liczyć na bardziej dogodne godziny pracy, korzystniejsze oceny i dodatkowe premie, nawet za dość błahe zasługi. Wszyscy o tym wiedzą i czują, że nie mają żadnej praktycznej możliwości zmiany tych zwyczajów. Kierownicy starają się tłumaczyć swoim podwładnym, że niestety ich wpływ na to, co się dzieje , też jest ograniczony, że oni też nie są z tego zadowoleni, ale „płyną w tej samej łódce”, co ich podwładni . Pracownicy firmy B mogą mieć poczucie wysokiej sprawiedliwości organizacyjnej w wymiarze interpersonalnym, ale niskie w pozostałych wymiarach. Różne badania pokazały, że poczucie sprawiedliwości organizacyjnej wiąże się z zadowoleniem z pracy, a także z zachowaniami, np. skłonnością do pomagania współpracownikom. Jest też istotne dla przekonań pracowników odnoszących się do nich samych i oceny własnych działań, np. podwyższa poziom samooceny, zwiększa osobiste poczucie skuteczności w pracy, przekonanie, że możliwe jest osiągnięcie zamierzonych celów. Z drugiej strony, poczucie braku sprawiedliwości organizacyjnej może być jedną z ważnych przesłanek przy podejmowaniu decyzji o odejściu z pracy. Przywiązanie do organizacji Przywiązanie do organizacji to polskie tłumaczenie angielskiego terminu organisational commitment . Warto to zapamiętać, bo ze względu na niejednoznaczność odniesienia znaczeń języka angielskiego i polskiego psychologowie polscy umówili się, jakich określeń będą używać, aby uniknąć pomyłek w interpretacji i zrozumieniu koncepcji, do których się odnosimy. Przywiązanie do organizacji bada się od lat 50. XX wieku, ale początkowo w innym niż obecnie rozumieniu. Uważano, że jest to postawa konserwatywna, sprzyjająca brakowi motywacji do pracy, a oparta głównie na chęci utrzymania swojego status quo. W latach 90. XX wieku różne wnioski z badań zostały uporządkowane przez Natalie J. Allen i Johna P. Meyera, a zaproponowane przez nich podejście jest obecnie dominujące. Autorzy ci definiują przywiązanie organizacyjne jako poczucie związku z organizacją, który powoduje, że pracownik jest mniej skłonny z własnej woli opuścić organizację. Pokazali też, że nie jest ono jednowymiarowe, a może przejawiać się na trzy sposoby: przywiązanie afektywne jest to identyfikacja z firmą, poczucie emocjonalnego i psychicznego z nią związku przywiązanie normatywne to poczucie zobowiązania wobec organizacji i współpracowników, poczucie, że praca w firmie jest moralną koniecznością przywiązanie kontynuacyjne to przekonanie o wysokich kosztach związanych z odejściem z firmy, poczucie, że za dużo się już w nią zainwestowało (czasu, wysiłku) i zbyt trudno byłoby znaleźć równie dobre miejsce pracy. Trójczynnikowy model przywiązania – zastosowanie do innych sytuacji Meyer i Herscovitch (2001) zauważyli, że trzy czynniki przywiązania można stosować do opisu i analizy poczucia związku nie tylko z organizacją, ale także np. przywiązania do zawodu, ścieżki kariery, obranego celu czy sposobu działania. Przyczyny lub motywy angażowania się w różne sytuacje można bowiem także opisać za pomocą trzech czynników: potrzeba, czyli emocjonalne odczucie, że dana sytuacja czy działanie jest dla osoby ważne zobowiązanie, czyli przekonanie, że powinno się w danej sytuacji wytrwać lub dalej działać koszt, czyli świadomość zainwestowanych w sytuację lub działania środków, energii, które zostaną utracone, jeżeli się zrezygnuje. Tak rozumiane przywiązanie do organizacji sprzyja pozytywnemu stosunkowi do pracy i współpracowników, chociaż badania pokazują, że efekt ten jest najsłabszy w przypadku przywiązania kontynuacyjnego. W niektórych przypadkach pokazano nawet, że przywiązanie kontynuacyjne obniża zadowolenie z pracy i chęć do działania – ten wymiar jest najbliższy wcześniejszemu rozumieniu przywiązania, jako czynnika „wiążącego” pracownika z jego firmą niejako z przymusu. Zachowania w pracy Bycie w pracy to nie tylko wykonywanie zadań związanych z zajmowanym stanowiskiem. Każdy pracownik ma możliwość przejawiania różnego rodzaju zachowań, które mogą pomagać lub przeszkadzać innym w pracy, poprawiać lub pogarszać atmosferę, sprzyjać działalności firmy lub ją utrudniać. Psychologowie pracy i organizacji zajmowali się tego rodzaju zachowaniami i podzielili je ze względu na ich efekty. Zachowania przynoszące pozytywne skutki nazywane są obywatelskimi zachowaniami organizacyjnymi, (ang. organisational citizenship behaviours (OCB) ), a zachowania przynoszące efekty niekorzystne – zachowaniami kontrproduktywnymi, (ang. counterproductive work behaviour (CWB) ). Zajmiemy się nimi kolejno. Obywatelskie zachowania organizacyjne Termin „zachowania obywatelskie” został zaproponowany w latach 80. XX wieku przez Thomasa Batemana (1938-2014), współpracownika Dennisa Organa (ur. 1944), czołowego badacza tego zjawiska. Warto poznać historię badań nad tego typu zachowaniami. Otóż Organ uczestniczył w szerokiej dyskusji nad związkiem satysfakcji z pracy z efektywnością, w jej trakcie zwrócił uwagę, że nie powinno się ograniczać rozumienia efektywności pracowników wyłącznie do wykonywania zadań w pracy. Ważne są bowiem także inne działania, takie jak gotowość do pomocy innym, przestrzeganie zasad, utrzymywanie „ducha zespołowego”, nienarzekanie itp. Przyczyniają się one bowiem do całościowego lepszego funkcjonowania firmy, nawet jeżeli nie przekładają się wprost na podwyższenie wyników pracy pojedynczych pracowników. Postawił więc hipotezę, że istnieje silny związek pomiędzy satysfakcją a zachowaniami obywatelskimi. Zwrócił też uwagę, że efektywność pracownika może zależeć od wielu innych czynników niż tylko jego chęci wynikającej z zadowolenia z pracy. Omawiane tutaj zachowania obywatelskie są w pełni dobrowolne i zależne od decyzji tego, kto się ich podejmuje. Rezultaty licznych badań pokazały, że hipoteza badawcza Organa była zasadna. Satysfakcja z pracy wiąże się znacząco z podejmowaniem zachowań obywatelskich. Pracownicy w większym stopniu zadowoleni ze swojej pracy są bardziej skłonni zachowywać się w sposób przynoszący korzyści współpracownikom i całej firmie. Obecnie powszechnie przyjmuje się definicję obywatelskich zachowań organizacyjnych sformułowaną przez Organa, mówiącą, że OCB to indywidualne zachowania podejmowane dobrowolnie, które wspierają efektywne funkcjonowanie organizacji. Nie są one jednoznacznie lub bezpośrednio uwzględnione w formalnym systemie nagród, a ich pominięcie nie jest powszechnie uważane za karalne. Do grupy obywatelskich zachowań organizacyjnych zalicza się przede wszystkim pomaganie współpracownikom i zapobieganie popełnianiu przez nich błędów, a także przestrzeganie reguł i zasad organizacyjnych, znoszenie nieuniknionych niedogodności bez narzekania, podejmowanie się dodatkowej odpowiedzialności oraz zachęcanie do tego innych, promowanie organizacji na zewnątrz i ochrona jej przed niebezpieczeństwem, a także zwracanie uwagi na zewnętrzne i wewnętrzne sygnały zagrożeń i szans dla firmy. Czy skłonność do zachowań obywatelskich jest stała? Badania pokazują, że nie. Nie znaleziono istotnych i stałych związków skłonności do tego typu zachowań z jakimiś cechami osobowości lub innymi predyspozycjami. Podstawowym źródłem zachowań obywatelskich jest pozytywny stosunek do organizacji, a więc zadowolenie z pracy, ale także poczucie sprawiedliwości organizacyjnej i przywiązanie. Pracodawca, który chciałby, aby jego pracownicy zachowywali się jak prawdziwi obywatele organizacji, powinien starać się stworzyć i utrzymać takie relacje i atmosferę, aby mieli oni powody do wdzięczności. Zachowania kontrproduktywne Tym terminem określane są wszelkie zachowania, które szkodzą lub mają intencję szkodzić organizacji i/lub jej pracownikom. Są to zarówno działania, które przynoszą szkody wymierne (np. kradzież, wandalizm), jak i szkody społeczne (nieuprzejmość, plotkowanie). Ich wspólną cechą jest negatywny wpływ na efektywność organizacji oraz na samopoczucie pracowników. Zachowania kontrproduktywne (CWB) mogą być skierowane przeciw organizacji albo przeciw innym pracownikom. Przeciw organizacji skierowane są zachowania obniżające poziom wykonania pracy, np.: przedłużanie przerw, wychodzenie przed czasem, powolna praca lub marnowanie zasobów, a także dużo poważniejsze, takie jak: niszczenie sprzętu, przyjmowanie łapówek, kradzież mienia organizacji lub oszukiwanie przełożonych. Zachowania skierowane przeciw innym to np. łamanie zasad, plotkowanie, nieuczciwa rywalizacja lub zrzucanie winy na innych, ale też zachowania skutkujące złamaniem prawa, np. agresja fizyczna lub grożenie nią, molestowanie, okradanie współpracowników. Nie należy rozumieć zachowań kontrproduktywnych (CWB) jako prostego przeciwieństwa zachowań obywatelskich. Pracownik, który nie szkodzi swojej firmie, to niekoniecznie taki, który podejmuje dodatkowy wysiłek, aby jej pomóc. Podjęcie zachowania kontrproduktywnego wiąże się ze świadomym złamaniem normy prawnej lub społecznej, a brak zadowolenia z pracy może nie być do tego wystarczającym powodem. Paul Spector (ur. 1949) i Suzy Fox na podstawie analizy rodzajów zachowań kontrproduktywnych uznali, że ich źródła zależą od rodzaju zachowania. Te, które zostały przez nich nazwane aktywnymi CWB (ang. active CWB ), czyli agresja wobec innych osób, sabotaże i kradzieże, mają źródła we frustracji pracowników i odczuwanych przez nich negatywnych emocjach. Można powiedzieć, że kontrproduktywność staje się rodzajem odwetu, jaki pracownik bierze na firmie, która o niego nie dba, nie zaspokaja jego potrzeb i źle na niego wpływa. Druga grupa zachowań kontrproduktywnych została nazwana pasywnymi CWB (ang. passive CWB ) i są to np. „obijanie się”, powolna praca, spóźnienia, wydłużanie przerw, symulowanie choroby itp. Ich źródeł należy szukać w przepracowaniu i braku sił fizycznych i psychicznych. Pracownik przeciążony obowiązkami szuka sposobu, aby zmniejszyć ilość i czas pracy, więc pracuje mniej wydajnie i kiedy tylko może, wycofuje się z aktywności. Badania pokazują negatywny związek między inteligencją ogólną a obiektywnie mierzonymi zachowaniami kontrproduktywnymi. Oznacza to, że osoby o wyższym poziomie inteligencji rzadziej decydują się na szkodzenie swojej firmie, zwłaszcza w sposób, który może być widoczny i obiektywnie odnotowany. Są one nie tyle mniej skłonne do zachowań szkodliwych, co raczej skuteczniej potrafią ukryć lub zamaskować swoje działania, tak że nie zostają one odnotowane, gdyż związek między inteligencją a kontrproduktywnością znika przy wzięciu pod uwagę także badań, w których CWB mierzono za pomocą samoopisu (Gonzalez-Mulé et al., 2014). Przeciwdziałanie zachowaniom kontrproduktywnym nie jest proste. Dobra atmosfera w pracy i dbałość o pracowników pozwala z całą pewnością je ograniczyć, ale trudno wykluczyć te, które wynikają z przeciążenia. Dodatkowo niektóre zachowania, jakie należałoby zaliczyć do kontrproduktywnych, podejmowane są bez intencji szkodzenia komukolwiek, a z powodu bezmyślności lub nieznajomości norm organizacyjnych. Są one szczególnie częste u pracowników nieczujących związku z firmą i niezastanawiających się nad szerszymi konsekwencjami swoich zachowań. Zanim więc zacznie się karać pracowników za nieprzestrzeganie zasad, warto sprawdzić, czy w ogóle oni te zasady znają. Summary Najważniejszą i najczęściej badaną postawą wobec pracy jest satysfakcja z niej. Istnieją różne definicje oraz metody pomiaru satysfakcji z pracy: od uogólnionego uczucia, które budzi w nas nasza praca, po szczegółowe badanie stopnia zaspokojenia konkretnych potrzeb i oczekiwań wobec pracy. Z satysfakcją z pracy wiążą się m.in. poczucie sprawiedliwości organizacyjnej i przywiązanie do organizacji (ang. organisational commitment), które także są wyrazem specyficznych postaw wobec organizacji. Istotną składową każdej postawy jest pobudzanie do konkretnych zachowań względem obiektu postawy. Postawy wobec pracy przekładają się przede wszystkim na zachowania dobrowolne, czyli takie, za które pracownicy nie są wprost ani wynagradzani, ani karani. Zachowania te dzielimy na korzystne dla firmy i współpracowników, zwane zachowaniami obywatelskimi (OCB), oraz na zachowania niekorzystne, zwane kontrproduktywnymi (CWB). Review Questions Przywiązanie do organizacji jest w modelu Meyera i Allen dzielone na: wewnętrzne i zewnętrzne emocjonalne, poznawcze i behawioralne pierwszo- i drugorzędne afektywne, normatywne i kontynuacyjne D Poczucie sprawiedliwości interpersonalnej to: wpływ na sposób podejmowania decyzji przekonanie, że istotne aspekty pracy są odpowiednio doceniane poczucie bycia traktowanym z szacunkiem poczucie poinformowania o sprawach organizacyjnych C Związek satysfakcji z pracy i efektywności wykonywania pracy jest: zawsze silny i pozytywny nieznany zawsze silny i negatywny zależny od różnych czynników D Organizacyjne zachowania obywatelskie są: wymagane przez pracodawcę podejmowane z własnej woli utrudniające pracę innych niepotrzebne dla firmy B Thinking Questions Jak myślisz, w jakich zawodach możemy oczekiwać podwyższonego poziomu przywiązania normatywnego? Przywiązanie normatywne opiera się na poczuciu moralnego zobowiązania do pozostania w organizacji i wykonywania swojej pracy, powinno więc być podwyższone w zawodach związanych z rodzajem misji społecznej, takich jak lekarz, pielęgniarz, nauczyciel, terapeuta, opiekun osób starszych itp. Podaj przykłady zachowań, które mogłyby być uznane za kontrproduktywne, ale są podejmowane bez świadomej intencji zaszkodzenia współpracownikom lub organizacji. Takie zachowania zazwyczaj są powodowane brakiem refleksji nad konsekwencjami swoich działań, zwłaszcza w szerszej skali. Może to być np. używanie służbowego sprzętu do celów prywatnych, spóźnianie się, plotkowanie, opowiadanie o sprawach służbowych osobom spoza firmy. Personal Application Questions Przypomnij sobie różne wykonywane zadania i prace. Czy zdarzyło się, że wykonywana praca w pełni Cię zadowalała, ale wcale przez to nie pracowało ci się lepiej? Czym mogło to być spowodowane? poczucie sprawiedliwości organizacyjnej (ang. organisational justice ) przekonanie pracowników, że organizacja postępuje wobec nich uczciwie przywiązanie do organizacji (ang. organisational commitment) poczucie związku z organizacją, który powoduje, że pracownik jest mniej skłonny z własnej woli opuścić organizację obywatelskie zachowania organizacyjne, OCB (ang. organisational citizenship behaviours (OCB)) zachowania w organizacji, które nie są wpisane w obowiązki zawodowe pracowników, ale przynoszą pozytywne efekty zachowania kontrproduktywne, (ang. counterproductive work behaviour (CWB)) zachowania przynoszące niekorzystne efekty: działające na szkodę organizacji, innych pracowników lub klientów", "section": "Postawy wobec organizacji i relacje w pracy", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Stres w pracy Badania nad stresem, jego przyczynami i konsekwencjami mają bogatą historię i opisujemy je w osobnym rozdziale tego podręcznika. Tutaj zajmiemy się koncepcjami w szczególności dotyczącymi stresu w pracy. Rodzaje stresu u pracownika Obecnie stres rozumiany jest jako taka relacja między osobą a otoczeniem, która oceniana jest przez osobę jako obciążająca lub przekraczająca jej zasoby i zagrażająca jej dobrostanowi. Otoczeniem mogą być: zakres lub rodzaj zadań zlecanych pracownikowi, wymagany czas pracy, warunki fizyczne, czyli np. miejsce pracy, wyposażenie, rodzaj używanych narzędzi, a także warunki społeczne, czyli np. relacje ze współpracownikami i przełożonymi. Zasoby to zarówno względnie stałe dyspozycje pracownika, czyli np. odporność psychiczna, umiejętności, możliwości intelektualne, jak i sytuacyjne możliwości sprostania oczekiwaniom, czyli np. inne zobowiązania, takie jak opieka nad dziećmi lub specyficzne, przejściowe stany, zmniejszające wydolność, np. złe samopoczucie lub choroba. Zróżnicowanie czynników, które mogą być źródłem stresu, pokazuje, że może on być odczuwany zarówno przejściowo (np. muszę zaprezentować raport z pracy zespołu na zebraniu, ale strasznie boli mnie gardło), jak i chronicznie (np. muszę współpracować w zespole z osobami, które są nadmiernie wymagające i niegrzeczne). Ponieważ poradzenie sobie ze stresem zawsze wymaga mobilizacji dodatkowych sił, to inne będą konsekwencje stresu sytuacyjnego, a inne stresu chronicznego, długotrwałego. Stres sytuacyjny nie powoduje długotrwałych skutków somatycznych lub psychicznych, a pokonanie go i poradzenie sobie z trudną sytuacją może być nawet źródłem satysfakcji. Stres chroniczny natomiast, zwłaszcza o stałym, wysokim nasileniu, może nieść ze sobą poważne konsekwencje somatyczne oraz psychiczne. Co istotne, jeżeli w pracy mamy do czynienia z ciągle nowymi stresami sytuacyjnymi, to taką pracę również można traktować jako wywołującą stres chroniczny. Odczuwanie stresu przez pracownika zależy od jego stałych cech, jak odporność psychiczna, umiejętności czy możliwości intelektualne, oraz od występowania przejściowych sytuacji zmniejszających możliwości pracownika, jak choroba czy złe samopoczucie. (Źródło: Andrea Piacquadio z Pexels). Konsekwencje chronicznego stresu w pracy emocjonalne: w odczuciach pracownika zaczynają dominować emocje negatywne, takie jak smutek, rozczarowanie, zniechęcenie, przygnębienie, lęk poznawcze: obniża się samoocena pracownika, a także pojawiają się negatywne oceny własnego działania oraz otoczenia zdrowotne: pracownik odczuwa ogólne zmęczenie, które nie mija mimo wypoczynku, pojawiają się różne objawy psychosomatyczne, np. bóle głowy, bezsenność, problemy trawienne behawioralne: pogarsza się funkcjonowanie w pracy, pojawiają się błędy, pomyłki, zwłaszcza takie jakie wcześniej się pracownikowi nie zdarzały motywacyjne: spada motywacja do pracy, pojawia się niechęć do podejmowania nowych zadań, pracownik zaczyna wycofywać się z wcześniejszych zobowiązań i relacji. Witaminowy model stresu Nie wszystkie cechy pracy, które są potencjalnymi stresorami, w ten sam sposób będą faktycznie wywoływać u pracownika poczucie stresu. Po pierwsze, zależy to od potencjału i preferencji samego pracownika, ponieważ stres pojawia się, gdy osoba spostrzega wymagania sytuacji jako przekraczające jej możliwości. Po drugie, zależy to od natężenia czynnika stresującego i jego charakteru. Peter Warr (1994) zaproponował podział czynników stresogennych na dwie grupy: takie, których brak w pracy jest powodem stresu i negatywnych konsekwencji dla dobrostanu, i takie, których natężenie musi osiągnąć określony poziom, aby pracownik czuł się dobrze, gdyż zarówno ich za niskie, jak i za wysokie natężenie jest niekorzystne. W przypadku czynników z drugiej grupy poziom optymalny jest zależny od preferencji pracownika. Warr nazwał zaproponowany model witaminowym modelem stresu (ang. vitamin model of stress ), pokazując w ten sposób podobieństwo tych różnych właściwości pracy do witamin, z których niektóre wywołują negatywne skutki zarówno przy za niskim, jak i za wysokim poziomie (np. witaminy A i D), a inne są nam potrzebne do prawidłowego funkcjonowania, ale trudno je przedawkować (jak witamina C). Pierwsza grupa właściwości pracy została nazwana „szkodliwym nadmiarem”, a druga „stałym skutkiem”. W witaminowym modelu stresu do czynników typu „szkodliwy nadmiar” należą: możliwość sprawowania kontroli nad swoimi działaniami stopień wykorzystania i rozwijania umiejętności posiadanych przez pracownika natężenie i charakter kontaktów z innymi ludźmi wielość celów, które muszą być jednocześnie realizowane w pracy przewidywalność i przejrzystość środowiska pracy różnorodność i nowość zadań, które są wykonywane. Czynniki typu „stały skutek” to: dostępność zasobów finansowych bezpieczeństwo fizyczne pozycja społeczna, która sprzyja szacunkowi i uznaniu przez innych. Witaminowy model stresu pokazuje, że praca, w której brakuje właściwości pobudzających, staje się stresująca właśnie przez sam ten fakt. Jest kwestią indywidualną, w którym momencie przyjemne pobudzenie przekształci się w nieprzyjemny nadmiar, o czym każdy powinien pamiętać i szukać pracy odpowiadającej osobistym preferencjom. Mobbing w pracy Wśród właściwości pracy, które mogą wywoływać stres, znajdują się relacje z innymi ludźmi w pracy. W tym obszarze coraz częściej badane są zjawiska zastraszania ( bullying ) (por. podrozdział Agresja ) i nękania ( mobbing ). Są to zachowania, które wytwarzają tzw. wrogie środowisko pracy. Istotnym parametrem jest to, że osoby będące obiektem tego typu zachowań mają ograniczone możliwości obrony, przez co sytuacja nie może być nazwana konfliktem między stronami o równych pozycjach. Nierówność pozycji osoby nękanej i nękającej może być pochodną np. stanowiska (przełożony nękający swojego podwładnego), pozycji społecznej (np. pracownik o długim stażu nękający osobę nowozatrudnioną) lub przewagi liczebnej (np. zespół nękający jednego z członków). Przejawów zastraszania i nękania jest bardzo wiele. Przed niektórymi trudno nawet się bronić lub jednoznacznie je wskazać, np. niechętne spojrzenia, nieprzyjazne gesty, nieodpowiadanie na pozdrowienia lub rozsiewanie plotek. Bardziej jednoznaczne polegają na uniemożliwianiu pracy osobie nękanej lub stawianiu przed nią dodatkowych trudności, np. odmowa współpracy, ograniczanie dostępu do sprzętów niezbędnych do wykonywania pracy, nieprzekazywanie ważnych informacji. Najbardziej bezpośrednie formy nękania to agresja słowna lub fizyczna wobec osoby nękanej lub jej rzeczy, np. niszczenie efektów pracy, kradzieże albo pobicia. Nękanie ze strony przełożonego może polegać na stawianiu przed pracownikiem niewykonalnych zadań i/lub terminów. Radzenie sobie z przejawami mobbingu ze strony przełożonego lub współpracowników jest do pewnego stopnia zależne od odporności i cech osoby. Przykładowo, dla kogoś, kto nie przykłada dużej wagi do pozytywnych relacji społecznych, fakt, że koledzy nie odpowiadają na pozdrowienia czy nawet czynią niewybredne uwagi, nie będzie szczególnie dotkliwy. Czasami nawet niereagowanie na takie „subtelne” przejawy nękania może być sposobem na zniechęcenie osób nękających do dalszych kroków. Niemniej jednak nie powinno się lekceważyć przejawów mobbingu, zachowania takie są niezgodne z prawem (art. 94 § 2 Kodeksu Pracy), a wroga atmosfera pracy jest stresująca i niekorzystna nawet dla osób niezaangażowanych. Skala Doświadczania Mobbingu Katarzyna Durniat (2016) stworzyła Skalę Doświadczania Mobbingu, na którą składają się dwa rodzaje wskaźników: wskaźniki behawioralne: doświadczanie mobbingu psychologicznego i doświadczanie mobbingu związanego z realizacją zadań zawodowych oraz blokowanie kariery zawodowej wskaźniki emocjonalne: symptomy nerwicowe, depresyjne i psychosomatyczne oraz lęki dotyczące sytuacji w pracy. Jej badania, przeprowadzone z udziałem ponad 1,3 tys. polskich pracowników, pokazały, że około 14% z nich doświadcza mobbingu, tzn. ma wysoki poziom obu rodzajów wskaźników. Radzenie sobie ze stresem Najbardziej popularny i znany obecnie model strategii radzenia sobie ze stresem zaproponowali Norman Endler (1931-2003) i James Parker w latach 80. XX w., odwołując się w nim do transakcyjnej teorii stresu (ang. transactional model of stress ) Richarda S. Lazarusa (1922-2002) i Susan Folkman (ur. 1938). Model ten opisuje trzy rodzaje strategii zależnych od tego, jakie działania są podejmowane przez osobę: skoncentrowanie na zadaniu, na emocjach lub na unikaniu. Pierwsza strategia, skoncentrowanie na zadaniu (ang. focusing on the task ), polega na podejmowaniu wysiłków zmierzających do rozwiązania problemu będącego źródłem stresu poprzez zmianę sytuacji lub sposobu jej interpretacji. Strategia ta jest skuteczna w radzeniu sobie ze stresorami takimi jak wysokie wymagania w pracy, nowe zadania, do wykonania których brak nam wiedzy – lub trudności interpersonalne wymagające wyjaśnienia ich powodów. Wszystkie one mogą powodować stres chroniczny, jeżeli nie podejmiemy próby zmiany sytuacji np. przez zdobycie nowej wiedzy lub umiejętności czy odbycie trudnej rozmowy z inną osobą. Stosując strategię skoncentrowaną na zadaniu, traktujemy stresory jako wyzwania, którym trzeba sprostać, a nie jako przeszkody, których nie można pokonać. Druga strategia, skoncentrowanie na emocjach (ang. focusing on the emotions ), służy przede wszystkim zmniejszeniu napięcia emocjonalnego związanego z sytuacją stresową. Jest to tendencja do koncentracji na sobie, na własnych przeżyciach emocjonalnych, a także skłonność do myślenia życzeniowego i fantazjowania. Wybuch płaczu lub gniewu pozwala zmniejszyć napięcie emocjonalne, a wyobrażanie sobie, jak moglibyśmy się zachować i poradzić sobie w stresowej sytuacji, pomaga także poprawić samopoczucie. Stosowanie tej strategii przynosi korzyść, gdy napięcie jest tak silne, że osoba nie ma możliwości zastosowania strategii zadaniowej. Czasem nawet rozładowanie emocji wystarcza, aby skutecznie poradzić sobie ze stresem sytuacyjnym i sporadycznym, np. gdy jest konsekwencją rozmowy z bardzo nieuprzejmym klientem. Stosowanie jednak strategii skoncentrowania na emocjach jako jedynego sposobu radzenia sobie ze stresem, zwłaszcza w odniesieniu do stresorów chronicznych, jest niekorzystne. Trzecia strategia to skoncentrowanie na unikaniu (ang. focusing on the avoidance ), czyli tendencja do wystrzegania się myślenia, przeżywania i doświadczania sytuacji stresowej. Najważniejszą konsekwencją jest zmniejszenie napięcia poprzez odwrócenie uwagi od stresora. Strategia ta może przyjmować dwie formy: angażowanie się w czynności zastępcze albo poszukiwanie kontaktów towarzyskich. Jest ona korzystna w odniesieniu do przeszłych lub przyszłych stresorów, których nie możemy zmienić lub uniknąć, np. gdy byliśmy świadkami groźnego wypadku drogowego albo czeka nas poważny zabieg medyczny. Skupienie się wtedy na ulubionych czynnościach, które są angażujące i wciągające, albo na spotkaniu z przyjaciółmi pozwoli na oderwanie myśli od źródła stresu. Nie jest jednak korzystne nadmierne poszerzanie kategorii stresorów „nie do uniknięcia”: przed ważnym egzaminem lepiej jednak przyłożyć się do nauki niż pójść do kina ze znajomymi. Opisane strategie powinny być wykorzystywane adekwatnie do charakteru sytuacji stresowej. Można jednak zauważyć, że ludzie mogą mieć stałą skłonność do stosowania konkretnej strategii, niezależnie od sytuacji. Zbyt sztywne trzymanie się jednego rodzaju strategii w sytuacjach, w których nie jest ona adekwatna, może prowadzić nawet do zwiększenia odczuwanego stresu i jego negatywnych konsekwencji. Wypalenie zawodowe Wypalenie zawodowe (ang. job burnout ) jest konsekwencją przedłużającego się, chronicznego stresu i braku możliwości poradzenia sobie z nim, zwłaszcza z powodu braku wsparcia ze strony współpracowników i przełożonych. Wypalenie zawodowe jest uwzględnione w 11. wersji międzynarodowej klasyfikacji chorób ICD-11 (ang. International Classification of Diseases (ICD) ) jako zjawisko zawodowe. Nie jest klasyfikowane jako stan medyczny (choroba). Zostało opisane w rozdziale: „Czynniki wpływające na stan zdrowia lub kontakt ze służbą zdrowia”, zawierającym przyczyny, z których ludzie potrzebują usług zdrowotnych, ale które nie są klasyfikowane jako choroby lub schorzenia. Christina Maslach (ur. 1946), która zajmuje się badaniem wypalenia zawodowego od lat 70. XX wieku, zaproponowała, aby określać go przez trzy objawy, które powinny występować w podobnie wysokim natężeniu: wyczerpanie emocjonalne: poczucie nadmiernego zmęczenia oraz wyczerpania zasobów wewnętrznych, brak energii fizycznej, trudność, a nawet niemożność regeneracji sił depersonalizacja: podejmowanie działań dystansujących poznawczo i emocjonalnie od pracy, postawa apersonalna, cynizm obniżone poczucie osiągnięć: negatywne ocenianie własnej pracy i kompetencji zawodowych, poczucie braku osiągnięć i niskiej wydajności, także dotyczące przeszłych dokonań. Zdaniem Maslach i wielu innych badaczy rozwijających przez lata teorię wypalenia zawodowego pojawia się ono, gdy pracownik nie jest w stanie osiągnąć zbyt ambitnie określonych celów zawodowych, a otoczenie nie pomaga mu poradzić sobie z negatywnymi skutkami porażek. Pomoc ta powinna mieć charakter zarówno wsparcia emocjonalnego, jak i dostarczenia dodatkowej wiedzy lub umiejętności. Doznanie niepowodzenia i braku możliwości sprostania oczekiwaniom przeradza się w chroniczny stres, a ciągłe próby osiągnięcia zamierzonych celów prowadzą do wyczerpania sił. Psychiczne odcięcie się od pracy i związanych z nią osób, a także od własnych ambicji jest sposobem na poradzenie sobie z tą trudną i wyczerpującą sytuacją, ponieważ zmniejsza subiektywnie odczuwane znaczenie pracy i osiągnięć zawodowych, a dzięki temu – zmniejsza wysiłek. Można powiedzieć, że jest to desperacka próba zaoszczędzenia resztek pozostałej energii. Pracownik wypalony zawodowo uważa, że jego praca nie ma specjalnego znaczenia, ludzie, z którymi się styka jako współpracownikami lub odbiorcami jego pracy, są niewarci zachodu, a jego kompetencje zawodowe są zbyt niskie, aby mógł cokolwiek zmienić. Trudno więc dziwić się, że wypalenie zawodowe wiąże się ze spadkiem efektywności pracy, innowacyjności i motywacji do pracy. Na początku XXI wieku dwóch niderlandzkich badaczy: Wilmar Schaufeli (ur. 1953) i Arnold Bakker (ur. 1964) zaproponowali model zaangażowania w pracę (ang. work engagement ), które ich zdaniem jest przeciwieństwem wypalenia zawodowego. Na poczucie zaangażowania także składają się trzy elementy: wigor – widoczny w wysokim poziomie energii, chęci wkładania wysiłku w pracę, wytrwałości w obliczu trudności, elastyczności w działaniu oddanie pracy – objawiające się jako entuzjazm i duma z pracy, poczucie znaczenia pracy, inspiracja zadaniami, traktowanie ich jako wyzwań zaabsorbowanie pracą – widoczne w koncentracji na pracy, poczuciu pochłonięcia nią, a nawet trudności w oderwaniu się od niej i niezauważaniu upływu czasu w trakcie wykonywania zadań. Oczekiwano, że trzy składowe wypalenia zawodowego będą przeciwieństwami trzech składowych zaangażowania w pracę, ale badania nie potwierdziły jednoznacznie tego oczekiwania. Evangelia Demerouti (ur. 1970), we współpracy z Schaufelim i Bakkerem, zaproponowała połączenie obu opisywanych wyżej modeli. Uwzględnia on dwa czynniki: wyczerpanie (ang. exhaustion ) i wycofanie (ang. disengagement ). Wyczerpanie jest uznawane za konsekwencję intensywnego wysiłku fizycznego, afektywnego i poznawczego; jest to skutek długotrwałego narażenia na duże wymagania dotyczące wykonywania pracy. Wymagania te to różnego rodzaju stresory, zwłaszcza o charakterze chronicznym, takie jak złe warunki pracy, presja czasu, nadmierny wysiłek fizyczny, wrogie środowisko pracy itp. Wycofanie oznacza dystansowanie się od pracy w ogóle, przedmiotu pracy i treści pracy oraz relacji między pracownikiem a pracą: identyfikacji z pracą i gotowości do kontynuowania pracy w zawodzie. Jest konsekwencją małych zasobów pracy, które rozumiane są jako różnego rodzaju sposoby działania i możliwości, jakie można wykorzystywać w pracy, aby dostosować ją do swoich preferencji. Zasoby pracy to m.in. możliwość decydowania, zróżnicowanie zadań, dostępność nowoczesnych narzędzi pracy, wyzwania intelektualne, wsparcie społeczne itp. W zaproponowanym modelu, nazwanym od podstawowych pojęć modelem wymagania–zasoby (ang. job demands-resources model ), właśnie te dwa obszary pracy uważa się za kluczowe dla pojawiania się zaangażowania lub wypalenia. Duże wymagania pracy prowadzą do drenażu sił fizycznych i psychicznych, a przez to do obniżenia dobrostanu i funkcjonowania. Duże zasoby pracy natomiast mają wpływ motywujący, zwiększając zaangażowanie i motywację do pracy. Model wymagania–zasoby mówi, że praca o dużych wymaganiach i małych zasobach prowadzić będzie do wypalenia zawodowego (wysoki poziom wyczerpania + wysoki poziom wycofania), a przy małych wymaganiach i dużych zasobach konsekwencją będzie zaangażowanie w pracę (niski poziom wyczerpania + niski poziom wycofania). Teresa Chirkowska-Smolak (2012) zwróciła uwagę, że możliwe jest pojawienie się wysokiego wyczerpania bez wycofania oraz wysokiego wycofania bez wyczerpania, i zaproponowała, aby określić te stany odpowiednio jako pracoholizm i rutynę. Pracoholizm (ang. workaholism ) to obsesyjne wykonywanie pracy, związanie z nią emocjonalne i poznawcze, pomimo ewidentnego braku sił i możliwości jej wykonywania. Z kolei rutyna (ang. routine ) to niechętny, apersonalny stosunek do wykonywanej pracy, niepoświęcanie jej wystarczającej uwagi i zainteresowania pomimo wystarczającego poziomu sił i braku zmęczenia. Pracoholizm będzie więc kombinacją wysokiego wyczerpania i niskiego wycofania, a rutyna – niskiego wyczerpania i wysokiego wycofania. Model zależności między wycofaniem a wyczerpaniem i poziomem zaangażowania pracownika zaproponowany przez Teresę Chirkowską-Smolak. Nie można traktować wymagań i zasobów pracy jako czynników niezależnie skutkujących wypaleniem lub zaangażowaniem. Badania pokazują, że wysoki poziom zasobów pracy może wpływać buforująco na konsekwencje wysokich wymagań w postaci wypalenia zawodowego. Zasoby bowiem umożliwiają pracownikowi lepsze radzenie sobie z wymaganiami pracy, np. przez znalezienie wsparcia emocjonalnego lub zwiększenie samodzielności w planowaniu czasu pracy, a przez to zmniejszenie ryzyka wypalenia, będącego konsekwencją wysokich wymagań. Jest to bardzo istotne zjawisko, gdyż często ani pracownik, ani pracodawca nie mają możliwości zmniejszenia wymagań pracy, kiedy jest ona obiektywnie ciężka i trudna, ale poziom zasobów może być zwiększony przez zapewnienie pracownikom większej samodzielności, dbanie o relacje społeczne i wyposażenie stanowisk pracy, a także przez odpowiednią organizację pracy, pozwalającą na podejmowanie nowych zadań i utrzymanie zainteresowania. Summary Stres w pracy pojawia się, gdy relacja między pracownikiem a jego otoczeniem jest oceniana przez pracownika jako przekraczająca jego możliwości radzenia sobie. Otoczenie jest tutaj rozumiane szeroko, jako m.in.: zakres lub rodzaj zadań zlecanych pracownikowi, czas pracy, miejsce pracy czy relacje ze współpracownikami i przełożonymi. Możliwości to stałe dyspozycje pracownika, czyli np. odporność psychiczna, umiejętności zawodowe, możliwości intelektualne. Witaminowy model stresu pokazuje, że zarówno zbyt niskie, jak i zbyt wysokie natężenie różnych cech otoczenia w pracy będzie skutkowało pojawieniem się stresu. Model ten oddziela cechy pracy, które są stresogenne tylko przy niskim poziomie, od tych, których zarówno zbyt niski, jak i zbyt wysoki poziom jest źródłem stresu. W radzeniu sobie ze stresem wykorzystywane są trzy strategie: skoncentrowanie na zadaniu, na emocjach lub na unikaniu. Żadna ze strategii nie jest uniwersalna ani najbardziej skuteczna. Wybór konkretnej strategii powinien być dostosowany do charakteru źródła stresu, sytuacji i możliwości osoby. Konsekwencją przedłużającego się chronicznego stresu i braku możliwości lub braku skuteczności w radzeniu sobie z nim jest wypalenie zawodowe. Ryzyko wypalenia zwiększane jest przez brak wsparcia ze strony współpracowników i przełożonych. Review Questions Kasia otrzymała zadanie przetłumaczenia z obcego języka, którego uczy się dopiero drugi rok, krótkiego tekstu z gazety. Odczuwany przez nią stres będzie miał charakter: sytuacyjny chroniczny obezwładniający żaden, nie będzie odczuwała stresu A Kiedy zdenerwujemy się, gdyż nieznana nam osoba bardzo niegrzecznie zachowała się wobec nas publicznie, najlepszą strategią poradzenia sobie ze stresem będzie: dokładne przeanalizowanie, co takiego zrobiliśmy, co mogło wywołać nieprzyjemną reakcję zgłoszenie na policję, że zostaliśmy obrażeni i źle potraktowani szczegółowe opowiadanie kolejnym osobom z bliższego i dalszego otoczenia, co nas spotkało zajęcie się atrakcyjną i absorbującą czynnością, aby „wyrzucić z głowy” to wspomnienie D W witaminowym modelu stresu do czynników typu „stały skutek” zalicza się m.in.: bezpieczeństwo fizyczne natężenie i charakter kontaktów z innymi ludźmi wielość celów, które muszą być jednocześnie realizowane w pracy przewidywalność i przejrzystość środowiska pracy A Wypalenie zawodowe składa się z poczucia wyczerpania emocjonalnego, depersonalizacji oraz: oddania pracy cynizmu pracoholizmu obniżonego poczucia osiągnięć D W modelu wymagania-zasoby uważa się, że: wysokie wymagania pracy prowadzą do wyczerpania niskie wymagania pracy prowadzą do wyczerpania wysokie zasoby pracy prowadzą do wyczerpania niskie zasoby pracy prowadzą do wyczerpania A Critical Thinking Questions Badacze oczekiwali, że składowe wypalenia zawodowego i zaangażowania w pracę będą stanowiły swoje przeciwieństwa. Przeanalizuj definicje poszczególnych składowych i wskaż opozycje, które miały one stanowić. wyczerpanie – wigor, depersonalizacja – oddanie pracy, obniżone poczucie osiągnięć – zaabsorbowanie pracą W jaki sposób wysokie zasoby pracy mogą obniżać ryzyko wypalenia zawodowego mimo wysokich wymagań pracy? Wysokie zasoby pozwalają pracownikowi dostosować sposób i okoliczności wykonywania pracy do swoich możliwości, a także uzyskać wsparcie społeczne, co obniża wyczerpanie, będące konsekwencją wysokich wymagań. Personal Application Questions Przypomnij sobie sytuację odczuwania stresu w pracy lub szkole. Przeanalizuj czynniki pracy opisane przez Warra w modelu witaminowym i spróbuj określić, jakie było natężenie w tej sytuacji każdego z nich. Czy twoje odczucie stresu było spowodowane zbyt wysokim czy zbyt niskim natężeniem konkretnego czynnika lub czynników? stres (ang. stress ) relacja między osobą a otoczeniem, która oceniana jest przez osobę jako obciążająca lub przekraczająca jej zasoby i zagrażająca dobrostanowi wypalenie zawodowe (ang. job burnout ) grupa trzech objawów pojawiających się w konsekwencji chronicznego stresu zawodowego, z którym osoba nie potrafi sobie poradzić; składają się na nie: wyczerpanie emocjonalne, depersonalizacja i obniżone poczucie osiągnięć wyczerpanie emocjonalne (ang. emotional exhaustion ) poczucie nadmiernego zmęczenia oraz wyczerpania zasobów wewnętrznych, brak energii fizycznej, trudność, a nawet niemożność regeneracji sił depersonalizacja (ang.depersonalization) podejmowanie działań dystansujących poznawczo i emocjonalnie od pracy, postawa apersonalna, cynizm obniżone poczucie osiągnięć (ang. reduced professional efficacy ) negatywne ocenianie własnej pracy i kompetencji zawodowych, poczucie braku osiągnięć i niskiej wydajności, także dotyczące przeszłych dokonań zaangażowanie w pracę (ang. work engagement ) zaangażowanie w pracę jest rozumiane jako względnie stały i pogłębiający się afektywno-poznawczy stosunek do obowiązków, ludzi i obiektów związanych z pracą", "section": "Stres w pracy", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Motywacja do pracy Badania i koncepcje dotyczące motywacji człowieka stanowią obszerny dział psychologii naukowej. W psychologii pracy i organizacji także powstały koncepcje odnoszące się specyficznie do motywacji do pracy (ang. work motivation ). Teoria dwuczynnikowa i jej zastosowania Jedną z pierwszych, a jednocześnie do dziś przywoływaną i omawianą, jest teoria Fredericka Herzberga (1923-2000), Bernarda Mausnera (ur. 1920) i Barbary (Bloch) Snyderman (1932-2002) z roku 1959. Określana jest ona nazwą teoria dwuczynnikowa (ang. two-factor theory ), gdyż autorzy opisali w niej dwa rodzaje czynników pracy, które wiążą się z różnymi odczuciami wobec pracy, a przez to pozwalają w różnym stopniu wpływać na motywację pracowników. Pierwsze z nich to tzw. czynniki higieny pracy (ang. occupational hygiene ), związane z zewnętrznymi cechami pracy, takimi jak: wynagrodzenie, polityka firmy, jakość nadzoru, fizyczne warunki pracy, bezpieczeństwo, pewność pracy, stosunki międzyludzkie, status społeczny. Jeżeli ich poziom jest nieodpowiedni dla pracownika, wówczas pojawia się niezadowolenie z pracy, a zapewnienie ich odpowiedniego poziomu co prawda redukuje niezadowolenie, ale nie zwiększa motywacji do pracy. Druga grupa czynników to motywatory (ang. motivators ), które związane są z wewnętrznymi cechami pracy, takimi jak: zawartość wykonywanych zadań, odpowiedzialność, osiągnięcia, doświadczanie uznania ze strony innych, możliwość awansu, możliwość rozwoju osobistego. Ich odpowiedni dla pracownika poziom pozwala mu odczuwać satysfakcję z pracy i zwiększa motywację do niej. Jeżeli motywatorów brakuje, satysfakcja i motywacja są obniżone. Badania, które doprowadziły do sformułowania teorii dwuczynnikowej, miały charakter jakościowy. Przeprowadzono serię wywiadów, w których proszono o opisanie sytuacji, gdy osoba czuła się wyjątkowo zadowolona oraz wyjątkowo niezadowolona w swojej pracy. Po analizie wypowiedzi pokazano, że sytuacje zadowolenia były wiązane przede wszystkim z osobistymi osiągnięciami, poczuciem odpowiedzialności, docenienia ze strony innych, wykonywaniem ciekawych lub nowych zadań itp. Sytuacje niezadowolenia natomiast częściej odnosiły się do złych relacji społecznych, problemów z przełożonym, niesprawiedliwej oceny, warunków pracy, ogólnej polityki zarządzania w firmie itp. Teoria dwuczynnikowa pokazała – co zostało potem potwierdzone kolejnymi badaniami – że jeżeli pracodawca chce, aby pracownicy wykazywali motywację do pracy, powinien zadbać nie tylko o warunki jej wykonywania, ale także o sam zakres wykonywanych zadań, które powinny dawać możliwość odczucia osobistego znaczenia. Na podstawie tych wniosków zaproponowano różne sposoby organizacji pracy, takiego jej podziału, aby każdy mógł odczuć i zrozumieć, że jego praca ma znaczenie, oraz utrzymać zainteresowanie wykonanymi zadaniami. Podstawowe metody takiego kształtowania zakresów obowiązków w pracy to: Wzbogacanie pracy – polega ono na ustaleniu obowiązków pracowników tak, aby zapewnić im wykonywanie w całości zadań składających się na efekt końcowy, w tym przede wszystkim planowania i oceny swojej pracy. Pozwala ono na poczucie przez pracownika osobistej odpowiedzialności za całościowy efekt zadania oraz zwiększenie swobody decydowania o sposobie wykonywania pracy, np. umożliwienie pracy z domu i w dowolnych godzinach. Rotacja pracy – to planowa zmiana stanowisk pracy przez wybranych pracowników na określony czas. Dzięki rotacji pracy zwiększają się kwalifikacje pracowników, przez co stają się oni bardziej elastyczni, poznają także naturę pracy w różnych działach organizacji, jej różnorodne problemy, co pozwala na wzrost identyfikacji z organizacją i ujednolicenie kultury organizacyjnej. I – co w tym kontekście najważniejsze – poznają inne realia pracy, co jest pobudzające i zmniejsza znużenie dotychczas wykonywanymi zadaniami. Rozszerzanie pracy – jeżeli różne operacje dotyczące wykonania konkretnego zadania wykonywane są na różnych stanowiskach pracy, to można scalić je w całość. Oznacza to dodawanie do czynności podstawowych dla zadania czynności przygotowawczych, konserwacyjnych, związanych z obsługą miejsca pracy itp. Pozwala to na urozmaicenie pracy przez zróżnicowanie rodzaju wykonywanych czynności i zwiększenie swobody sposobu wykonywania pracy oraz poszerzenie wiedzy na temat wykonywanego zadania. Rozszerzanie może zostać też dostosowane do preferencji pracownika przez dodanie do jego zakresu obowiązków tych zadań, które on sam spostrzega jako ważne dla całości. Rozszerzanie pracy odróżnia od wzbogacania przede wszystkim to, że kładzie ono nacisk na zróżnicowanie wykonywanych zadań, a nie - jak wzbogacanie - na zwiększenie odpowiedzialności za całość pracy. Sposoby zmiany organizacji pracy pozwalające na zwiększenie motywacji. Autonomiczna grupa zadaniowa Specyficznym sposobem wzbogacania pracy jest tworzenie autonomicznych grup zadaniowych. W przeciwieństwie do klasycznego sposobu pracy zespołu roboczego, w którym kierownik kieruje każdym podwładnym, wyznaczając zasady i rodzaj kontaktów pomiędzy nimi, zespół autonomiczny pracuje jako całość, a kierownik odbiera końcowy efekt pracy. Autonomiczna grupa zadaniowa ma uprawnienia do kontroli procesu wykonywania pracy i oceny jakości wykonania, podejmuje decyzje dotyczące składu grupy i ewentualnych jego zmian, zasad pracy i jej zakresu, metody i sposobu realizacji pracy, podziału na zadania cząstkowe, przydziału czynności członkom w konkretnym zadaniu lub momencie, określania czasu pracy, tempa, przerw oraz nieobecności, a także ma prawo ustalenia zasad podziału nagród między członków. Koncepcje motywacji Motywacja jako zaspokojenie potrzeb Najbardziej znanym modelem potrzeb jest tzw. piramida Maslowa. Została ona opisana przez Abrahama Maslowa (1908-1970) w latach 40. XX w. Uważał on, że potrzeby człowieka mogą być ujęte w pięć grup, które są uporządkowane hierarchicznie. Najbardziej podstawowe są potrzeby fizjologiczne, następne są potrzeby związane z poczuciem bezpieczeństwa, następnie potrzeby przynależności, potrzeby szacunku i na samym szczycie piramidy: potrzeby samorealizacji. Sztywna hierarchiczność modelu Maslowa i teza o niewykształcaniu się potrzeb wyższego poziomu przy braku zaspokojenia potrzeb niższego poziomu były szeroko krytykowane. Model ten, ponieważ miał za zadanie opisać jednocześnie bardzo zróżnicowane rodzaje motywów i dążeń, trudno jest wprost zastosować w obszarze motywowania do pracy. Ciekawszy z tego punktu widzenia jest trochę późniejszy model trzech potrzeb, sformułowany przez Davida McClellanda (1917-1998). Trzy podstawowe w tym modelu potrzeby człowieka to: potrzeba afiliacji (ang. needs for affiliation ): utrzymywanie bezkonfliktowych, serdecznych i bliskich stosunków oraz gotowość do tworzenia nowych; relacje z innymi, które zaspokajają potrzebę afiliacji, nie są powierzchowne ani oparte na błahych uprzejmościach potrzeba władzy (ang. needs for power ): forsowanie swoich przekonań oraz decyzji, angażowanie się w rozstrzyganie sporów, instruowanie, kierowanie i nadzorowanie działań innych, dążenie do bycia formalnym lub faktycznym liderem grupy i osobą wpływową potrzeba osiągnięć (ang. needs for achievements ): dążenie do bycia najlepszym, do osiągania sukcesów, preferowanie zadań, w których o sukcesie decydują przede wszystkim włożony wysiłek i kompetencje, gotowość do rozwiązywania sytuacji trudnych, perfekcjonizm w codziennych działaniach. Potrzeba osiągnięć jest jedną z motywacji sformułowanych przez Davida McClellanda. Opisane trzy podstawowe potrzeby występują, zdaniem autora, u wszystkich ludzi, ale zróżnicowane są indywidualnie pod względem siły każdej z nich. Ta specyficzna dla konkretnej osoby konfiguracja natężenia potrzeb kieruje preferencjami działań. Model ten bezpośrednio można odnieść do praktyki motywowania do pracy, gdyż pokazuje on, jak ważne jest dostosowanie treści zadań i sposobu ich wykonywania do indywidualnej konfiguracji potrzeb konkretnej osoby. Dla pracownika o dużym natężeniu potrzeby afiliacji ważne będzie, aby pracę wykonywać wraz z innymi ludźmi i mieć przez to możliwość nawiązywania z nimi trwałych relacji. Dla pracownika o dużym natężeniu potrzeby władzy ważne będzie, aby być dla innych autorytetem, mieć wpływ na ich sposób wykonywania pracy lub podejmowane decyzje. Dla pracownika o dużym natężeniu potrzeby osiągnięć ważne będzie, aby wykonywane zadania dawały poczucie spełnienia osobistego, rozwoju kompetencji, osiągania celów. Przełożony, który potrafi rozpoznać potrzeby swoich podwładnych, będzie w stanie przydzielać im takie zadania, jakie pozwolą na zaspokojenie potrzeb, a w związku z tym pracownicy będą mieli osobistą motywację do ich realizacji. Motywacja jako poszukiwanie wzmocnień Przesunięcie punktu ciężkości w rozważaniach nad motywacją z uniwersalnych modeli, opisujących całość funkcjonowania człowieka, na zrozumienie indywidualnych, specyficznych motywów kierujących preferencjami konkretnych działań zaowocowało m.in. teorią samostanowienia (ang. Self-Determination Theory ). Koncepcja ta, sformułowana przez Richarda Ryana (ur. 1953) i Edwarda Deciego (ur. 1942) w latach 80. XX wieku, zajmuje się motywacją do działań dobrowolnych. Jest efektem integracji wielu badań nad zachowaniem, kontrolą, sposobem definiowania celów itp. Za podstawowe dla funkcjonowania uznaje motywy rozwojowe i realizację potrzeb psychologicznych. Opisane w niej zostały dwa podstawowe pojęcia: motywacja wewnętrzna (ang. intrinsic motivation ) i motywacja zewnętrzna (ang. external motivation ). Istotą motywacji zewnętrznej jest to, że cel, do którego dąży osoba, leży poza wykonywanym zadaniem. Może to być nagroda lub uniknięcie kary przydzielanej przez przełożonego, co powszechnie rozumiane jest właśnie jako motywy zewnętrzne. Autorzy zauważają jednak, że także wtedy, gdy osoba dąży do poczucia dumy z osiągniętego wyniku pracy albo gdy praca pozwala jej na realizację ważnych osobiście wartości, to cel także jest poza wykonywanym zadaniem. Tak więc tego typu motywy należy również zaliczyć do obszaru motywacji zewnętrznej. Motywacja wewnętrzna pojawia się wtedy, gdy działania podejmowane są ze względu na zadowolenie czerpane z samego działania, którego realizacja odczuwana jest jako spójna ze stanami wewnętrznymi, podnosząca dobrostan, dająca poczucie samorealizacji i rozwoju. Praca, która jest wykonywana z motywacji wewnętrznej, wymaga autonomii i swobody decyzji, braku zewnętrznych ograniczeń. Większości z nas tego typu działania kojarzą się głównie z czasem wolnym, poza pracą, gdy oddajemy się realizacji własnych zainteresowań. Przeanalizujmy więc różnicę między motywacją zewnętrzną a wewnętrzną na przykładzie czytania książki: jeżeli czytamy lekturę zadaną nam na jutrzejsze zajęcia albo książkę poleconą nam przez obytych w literaturze znajomych, którym chcemy dorównać, wówczas będziemy kierować się motywacją zewnętrzną. W obu tych przypadkach zadowolenie osiągniemy, gdy wreszcie dobrniemy do ostatniej strony. Jeżeli zaś czytamy dlatego, że lubimy czytać, książka wciąga nas i odczuwamy żal, gdy skończymy – kierujemy się motywacją wewnętrzną, bowiem to samo czytanie jest motywem do czytania. Jeden z twórców nurtu psychologii pozytywnej (ang. positive psychology ), Mihaly Csikszentmihalyi (ur. 1934), wprowadził pojęcie flow . Jest to szczególny rodzaj doświadczenia związanego z działaniem, które jest tak wciągające i przyjemne, że staje się celem samo w sobie ( autoteliczne , ang. autotelic ) i jest warte kontynuowania tylko dla dalszego działania, bez żadnych efektów poza samym działaniem. Doznanie stanu flow wymaga umiejętności, koncentracji i wytrwałości. Zdaniem psychologów pozytywnych częstość odczuwania flow zwiększa jakość życia. Wielu osobom może wydawać się dziwne, że mianem motywacji zewnętrznej określono sytuacje, gdy działanie podejmowane jest ze względu na spełnienie wewnętrznych standardów osoby, takich jak osiągnięcie sukcesu lub duma. Niewątpliwie, są to wzmocnienia, które nie należą do samego wykonywanego działania, często są uwewnętrznionymi oczekiwaniami otoczenia, które zostały uznane za własne. Deci i Ryan także zauważają różnicę między motywami stricte zewnętrznymi a uwewnętrznionymi, wskazując na to, że inne jest źródło decyzji o podjęciu działania, czyli poziom regulacji: w przypadku dążenia do uzyskania zewnętrznej nagrody lub uniknięcia kary regulacja ta jest zewnętrzna, a w przypadku dążenia do osiągnięcia sukcesu lub braku poczucia winy mamy do czynienia z regulacją wewnętrzną. W obu tych sytuacjach jednak motyw do działania nie leży w samym wykonywaniu działania, mamy więc do czynienia z motywacją zewnętrzną. Edwin A. Locke i Kaspar Schattke (2018) zaproponowali rozdzielenie dwóch rodzajów motywacji zewnętrznej. Ich zdaniem motywacja zewnętrzna powinna być odnoszona tylko do sytuacji, gdy cel nie tylko leży poza wykonywanym zadaniem, ale jest też zewnętrzny wobec osoby, czyli jest właśnie zewnętrzną nagrodą lub karą. Sytuacja zaś, gdy działanie podejmowane jest ze względu na cel wewnętrzny, powinna ich zdaniem być określona terminem „motywacji osiągnięć”. Ich zdaniem także dla realizacji jednego działania mogą mieć znaczenie wszystkie trzy rodzaje motywacji jednocześnie, chociaż ludzie mogą różnić się stopniem nasilenia każdej z nich. Trzy rodzaje motywacji na podstawie Locke’a i Schattkego (2018). Wyjaśnienie Motywacja zewnętrzna Motywacja osiągnięć Motywacja wewnętrzna definicja działanie w celu uzyskania czegoś cenionego ciągła dbałość o standard doskonałości pragnienie działalności dla samej siebie podstawa wyniki osiągnięcie przyjemność cel otrzymanie cenionego wyniku osiągnięcie standardu, poprawa, rozwój umiejętności zadowolenie z działania bodziec poza działaniem i zadaniem, konsekwencje działania wyzwanie, poprawa wewnątrz aktywności, w kontynuowaniu działania emocje zadowolenie z wyniku duma z osiągnięcia, sukcesu lub poprawy poziomu zadowolenie w trakcie wykonywania działania Wszystkie trzy rodzaje motywacji mogą ujawnić się w jednym zadaniu. Rozważmy przykład uczenia się języka obcego. Motywy tego działania mogą być jednocześnie zewnętrzne (np. chęć zdobycia lepszej pracy), osiągnięć (np. chęć uzyskania biegłości w tym języku) i wewnętrzne (np. upodobanie do mówienia w obcym języku). Dla niektórych osób uczących się języka obcego wszystkie trzy motywy mogą być równie ważne, dla innych niektóre z nich będą dominujące. Widać jednak, że to samo zadanie można tak sformułować i przedstawić, aby rozbudzić różnego rodzaju motywacje. To bardzo ważny wniosek dla przełożonych, którzy powinni mieć świadomość zróżnicowania motywacji swoich podwładnych. Aby praca pozwalała pracownikowi na realizację motywacji zewnętrznej, należy zadbać o powiązanie celów osobistych z celami organizacji, czyli nagradzać za dobrze wykonaną pracę takimi nagrodami, które są przez pracownika cenione. Nagrody powinny być oparte na obiektywnych wskaźnikach wykonania, a pracownik musi dysponować zasobami (narzędziami, wiedzą) umożliwiającymi osiągnięcie celów, w związku z tym konieczne jest zapewnienie odpowiedniego wyposażenia stanowiska pracy i szkoleń. Warto też pamiętać o nagrodach pozafinansowych, takich jak zwiększanie autonomii i odpowiedzialności, które powinny pojawiać się wraz ze wzrostem poziomu wykonania i zaufania do pracownika. Do zaspokojenia motywacji osiągnięć potrzebna jest dobra informacja zwrotna udzielana pracownikowi, aby dowiedział się on, jakie są oczekiwane standardy wykonania pracy i sposób ich oceny. Aby dać pracownikowi możliwość odczuwania postępów i rozwoju, warto wraz z nim przeprowadzić podział celów odległych w czasie na szereg bliższych, których realizacja jest możliwa szybciej. Należy także wspierać go w rozwoju, zapewniać możliwość uczenia się i wypróbowywania nowych umiejętności. Rozwijaniu motywacji wewnętrznej sprzyja przybliżanie natury pracy przez próby, ćwiczenia lub symulacje. Warto analizować wraz z pracownikiem doświadczenia płynące z wykonywanych zadań oraz emocje z nimi związane. Aby pracownik mógł odnaleźć działania, których wykonanie będzie dawało mu zaspokojenie motywacji wewnętrznej, dobrze jest zapewnić mu różnorodność aktywności w ramach stanowiska. Summary Pierwszą ogólną koncepcją motywacji do pracy była teoria dwuczynnikowa Herzberga i współpracowników, którzy pokazali, że dla zwiększenia motywacji ważne są czynniki pracy pozwalające pracownikowi na poczucie jej sensu, zwiększenie odpowiedzialności i możliwości rozwoju osobistego. Zostały one nazwane motywatorami. Druga grupa - czynniki higieny - to m.in. warunki pracy i relacje społeczne. Nie zwiększają one motywacji, chociaż ich niezadowalający poziom obniża satysfakcję z pracy. Na podstawie teorii dwuczynnikowej zaproponowano różne sposoby grupowania obowiązków pracowników, które pozwalają podwyższać poziom motywatorów, a przez to zwiększać motywację. Ważne wnioski dotyczące motywacji do pracy można także wyprowadzić z ogólnych koncepcji motywacji, takich jak koncepcje zaspokojenia potrzeb oraz koncepcje motywacji zewnętrznej i wewnętrznej. Wskazują one na specyficzny, indywidualny charakter motywacji każdej osoby i konieczność takiego kształtowania systemów motywacyjnych w organizacjach, aby uwzględniały one różne elementy. Review Questions Teoria dwuczynnikowa opisuje: czynniki pracy i czynniki poza pracą motywatory i demotywatory czynniki higieny i czynniki satysfakcji czynniki higieny i motywatory D Wzbogacanie pracy polega przede wszystkim na włączeniu do zadań pracownika: zamiany obowiązków z innymi pracownikami samodzielnego serwisowania używanych narzędzi planowania i oceny wykonywanych zadań innych obowiązków, niezwiązanych z wykonywanymi zadaniami C Zawodowy kierowca, który lubi swoją pracę, bo daje mu ona możliwość prowadzenia pojazdu, przemieszczania się, wykonuje ją głównie ze względu na motywację: zewnętrzną wewnętrzną osiągnięć osobistą B Osoba o wysokim natężeniu potrzeby osiągnięć będzie skłonna odejść z pracy, w której: jest konieczność zdobywania nowej wiedzy musi wykonywać trudne zadania praca jest poniżej jej kwalifikacji wymaga się ciągłego doskonalenia w wykonywanych czynnościach C Przełożony, który chętnie nawiązuje bliskie relacje ze swoimi podwładnymi, lubi pracować razem z nimi i wspólnie rozważać różne problemy, a przy tym ma trudności w wydawaniu stanowczych poleceń oraz nie lubi podejmowania decyzji, prawdopodobnie charakteryzuje się: słabą potrzebą władzy i silną potrzebą afiliacji silną potrzebą władzy i silną potrzebą afiliacji słabą potrzebą władzy i słabą potrzebą afiliacji silną potrzebą władzy i słabą potrzebą afiliacji A Critical Thinking Questions Dlaczego niektórzy ludzie lepiej pracują w zespole niż samodzielnie? Rozważ odpowiedź w terminach teorii potrzeb McClellanda. Osoby o silnej potrzebie afiliacji, a słabej potrzebie osiągnięć będą preferowały pracę zespołową i lepiej sobie w niej radziły. Jakiego rodzaju motywację rozbudza w dziecku nagradzanie go finansowo za dobre oceny w szkole? Motywację zewnętrzną Personal Application Questions Czy zdarzyło ci się kiedyś wykonywać jakąś czynność lub zadanie wyłącznie z powodu motywacji wewnętrznej? Co to była za sytuacja? Czy myślisz, że podobne okoliczności mogłyby ci się zdarzyć w pracy zarobkowej? teoria dwuczynnikowa (ang. two-factor theory) opisuje dwa rodzaje czynników, które wiążą się z różnymi odczuciami wobec pracy, a przez to pozwalają w różnym stopniu wpływać na motywację pracowników (czynniki higieny pracy oraz motywatory); odpowiedni dla pracownika poziom obu rodzajów czynników pozwala mu odczuwać satysfakcję z pracy i zwiększa motywację do niej potrzeba afiliacji (ang. needs for affiliation) utrzymywanie bezkonfliktowych, serdecznych i bliskich stosunków oraz gotowość do tworzenia nowych; relacje z innymi, które zaspokajają potrzebę afiliacji, nie są powierzchowne ani oparte na błahych uprzejmościach potrzeba władzy (ang. needs for power) forsowanie swoich przekonań oraz decyzji, angażowanie się w rozstrzyganie sporów, instruowanie, kierowanie i nadzorowanie działań innych, dążenie do bycia formalnym lub faktycznym liderem grupy i osobą wpływową potrzeba osiągnięć (ang. needs for achievements) dążenie do bycia najlepszym, do osiągania sukcesów, preferencja zadań, w których o sukcesie decydują przede wszystkim włożony wysiłek i kompetencje, gotowość do rozwiązywania sytuacji trudnych, perfekcjonizm w codziennych działaniach psychologia pozytywna (ang. positive psychology) dziedzina psychologii zajmująca się podłożem dobrego samopoczucia i szczęścia", "section": "Motywacja do pracy", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Egzaminy to stresujący, ale nieodzowny element edukacji. (Źródło zdjęcia po lewej: modyfikacja pracy Travisa K. Mendozy; źródło zdjęcia w środku: modyfikacja pracy „albertogp123”/Flickr; źródło zdjęcia po prawej: modyfikacja pracy Jeffrey’a Pioquinto, SJ). Prawie każdy przyzna, że studenci znajdują się pod dużą presją. Narażeni są na wiele typowych stresów i napięć związanych z kształceniem uniwersyteckim (egzaminy, prace na zaliczenie, stresujące zwłaszcza na pierwszym roku jako nowe i jeszcze nieznane), dodatkowo borykają się z opłatami za studia, mieszkanie oraz kredytami i trudnościami ze znalezieniem zatrudnienia po opuszczeniu murów uczelni. Znaczna część studentów, którzy próbują łączyć zdobywanie wykształcenia z wychowywaniem dzieci lub utrzymaniem pełnoetatowej pracy, jest narażona na dodatkowy stres. Poza studiami i pracą życie stawia szereg różnych wyzwań. Możemy obawiać się o nasze bezpieczeństwo finansowe, problemy w relacjach ze znajomymi lub sąsiadami, borykać z obowiązkami rodzinnymi i brakiem czasu na realizację naszych planów. Nawet niewielkie kłopoty – zgubienie czegoś, korki na drodze czy brak dostępu do Internetu – wiążą się z presją i wymaganiami, które sprawiają, że życie przypomina walkę i zaburzają nasze dobre samopoczucie. W psychologii od dawna obserwuje się zainteresowanie badaczy zagadnieniem stresu, w tym sposobami przystosowywania się i radzenia sobie z nim. Po blisko stu latach badań nad tematem dużo już wiadomo i dokonano wielu odkryć. W niniejszym rozdziale omówimy pojęcie stresu i zwrócimy uwagę na aktualne rozumienie tego zjawiska, w tym jego psychologiczną i fizjologiczną naturę, przyczyny i konsekwencje, a także omówimy kroki, jakie możemy podjąć, by opanować stres, a nie stać się jego ofiarą. References Aboa-Éboulé, C., Brisson, C., Maunsell, E., Mâsse, B., Bourbonnais, R., Vézina, M., et al. Dagenais, G. R. 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Zacharie, R. (2009). Psychoneuroimmunology: A bio-psycho-social approach to health and disease. Scandinavian Journal of Psychology, 50 , 645–651.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Czym jest stres? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozróżnić definicje stresu oparte na bodźcach i reakcjach Zdefiniować stres jako proces Rozróżnić dobry stres i zły stres Opisać wczesny wkład Waltera Cannona i Hansa Selye w dziedzinę badań nad stresem Zrozumieć fizjologiczne podłoże stresu i opisać ogólny zespół adaptacyjny Po raz pierwszy termin „ stres ” (ang. stress ) odnoszący się do ludzkiego stanu pojawił się w literaturze naukowej w latach 30. XX wieku, ale do powszechnego użycia wszedł w latach 70. (Lyon, 2012). Obecnie często używamy go do opisania różnych nieprzyjemnych uczuć. Na przykład zdarza się nam mówić, że się stresujemy , gdy czujemy się sfrustrowani, źli, rozdarci, przytłoczeni lub przemęczeni. Mimo że termin ten jest powszechnie używany, „stres” jest dość niejasnym i trudnym do precyzyjnego zdefiniowania pojęciem. Badaczom trudno było uzgodnić jego powszechnie akceptowaną definicję. Niektórzy przyjęli koncepcję stresu jako wymagającego lub groźnego wydarzenia bądź sytuacji (np. mocno stresująca praca, zatłoczona komunikacja miejska i długie dojazdy do pracy). Koncepcje te określa się mianem „definicji opartych na bodźcach”, gdyż uznają one stres za bodziec wywołujący określone reakcje. Definicje stresu oparte na bodźcach są jednak problematyczne, ponieważ nie uwzględniają faktu, że ludzie różnie postrzegają wymagające życiowe wydarzenia oraz sytuacje i różnie na nie reagują. Przykładowo, sumienny student, który przez cały semestr pilnie się uczył, prawdopodobnie doświadczy słabszego stresu podczas sesji niż student mniej odpowiedzialny, nieprzygotowany. Inni badacze przyjęli koncepcję stresu w ujęciu podkreślającym fizjologiczne reakcje pojawiające się w obliczu wymagających lub groźnych sytuacji (np. większe pobudzenie). Koncepcje te określa się mianem „definicji opartych na reakcji”, gdyż opisują one stres jako reakcję na warunki środowiskowe. Przykładowo, endokrynolog Hans Selye (1907–1982), znany badacz tego zagadnienia, zdefiniował stres jako „reakcję organizmu na wymagania, niezależnie od tego, czy zostały one spowodowane lub skutkują przyjemnymi, czy też nieprzyjemnymi wydarzeniami” (Selye, 1976, str. 74). Definicja stresu Sely'ego opiera się na reakcji, gdyż definiuje stres głównie w kategoriach fizjologicznej reakcji organizmu na dowolne nałożone na niego wymaganie. Ani definicje oparte na bodźcach, ani te oparte na reakcji nie są pełne. Wiele reakcji fizjologicznych (np. przyspieszone tętno) może występować również w odpowiedzi na czynniki, których większość ludzi nie uzna za naprawdę stresujące, np. otrzymanie niespodziewanej dobrej wiadomości o nieoczekiwanym awansie lub podwyżce. Przydatnym sposobem pojmowania stresu jest postrzeganie go jako procesu, w którym osoba dostrzega wydarzenia, które ocenia jako przytłaczające lub zagrażające jej dobremu samopoczuciu, i odpowiada na nie (Lazarus i Folkman, 1984). Krytyczny aspekt tej definicji dotyczy faktu, że podkreśla ona istotę tego, jak oceniamy (innymi słowy: postrzegamy) wymagające lub groźne wydarzenia (często zwane stresorami (ang. stressors )). Ocena ta wpływa z kolei na nasze reakcje na dane wydarzenia. W tym kontekście szczególnie ważne są dwa rodzaje oceny: pierwotna i wtórna. Ocena pierwotna (ang. primary appraisal ) obejmuje oszacowanie stopnia potencjalnej krzywdy, jaką może spowodować stresor, lub zagrożenia dla dobrostanu, jakie może on stwarzać. Dany stresor zostanie najprawdopodobniej oceniony jako zagrożenie, jeśli przewidujemy, że może on wywołać krzywdę, stratę lub inne negatywne konsekwencje. Z kolei stresor zostanie oceniony jako wyzwanie, gdy dana osoba uważa, że wiąże się z nim potencjalny zysk lub rozwój osobisty. Przykładowo, pracownica, która dostaje awans na stanowisko kierownicze, prawdopodobnie będzie postrzegać go jako znacznie większe zagrożenie, jeśli uzna, że doprowadzi on do obarczenia jej nadmiernymi wymaganiami zawodowymi, niż w przypadku, gdy potraktuje go jako możliwość zdobycia nowych umiejętności i rozwoju kariery zawodowej. Podobnie student, który niedługo kończy studia, może uznać nadchodzącą zmianę za zagrożenie lub wyzwanie ( ). Ukończenie studiów i wejście na rynek pracy może być postrzegane jako zagrożenie (utrata wsparcia finansowego) lub jako wyzwanie (możliwość rozwoju i zyskania niezależności). (Źródło: Timothy Zanker). Postrzeganie zagrożenia prowadzi do oceny wtórnej (ang. secondary appraisal ): dotyczy ona określenia możliwości poradzenia sobie ze stresorem oraz stwierdzenia, na ile każda z tych możliwości będzie skuteczna (Lyon, 2012) ( ). Jak być może pamiętasz z rozważań o wierze we własne możliwości, ważna jest tutaj wiara jednostki w zdolność realizacji danego zadania (Bandura, 1994). Zagrożenie postrzega się jako mniej dramatyczne, jeśli ktoś wierzy, że można mu zaradzić (Lazarus i Folkman, 1984). Wyobraź sobie, że pewnego ranka dwie kobiety w średnim wieku, Robin i Maria, wykonują samobadanie piersi i każda z nich zauważa guzek w dolnej części lewej piersi. Mimo że obie postrzegają guzek w piersi jako zagrożenie (ocena pierwotna), ich oceny wtórne bardzo się różnią. Myśli przebiegające przez głowę Robin w kontekście wykrytego guzka są następujące:, „O Boże, to może być rak piersi! A co jeśli będę miała przerzuty na inne organy i nie wyzdrowieję? A co jeśli będę musiała się poddać chemioterapii? Słyszałam, że to okropne doświadczenie! A jeśli będę musiała zrezygnować z pracy? Będzie nam brakować pieniędzy na spłatę kredytu. Och, to straszne… Nie mogę się z tym pogodzić!”. Z kolei Maria myśli tak: „Hmm, to może być zły znak. Mimo że zazwyczaj takie guzki są niegroźne, to muszę się zbadać. Jeśli się okaże, że to rak piersi, są lekarze, którzy się tym zajmą, bo dzisiejsza technologia medyczna jest dość zaawansowana. Będę miała sporo opcji do wyboru, będzie dobrze”. Robin i Maria mają zdecydowanie różne nastawienia do tego, jak może rozwinąć się poważna sytuacja. Robin sprawia wrażenie, że nic się nie da zrobić, natomiast Maria wierzy, że – w najgorszym razie – dostępnych będzie wiele skutecznych opcji leczenia raka. W związku z tym Robin doświadczy zdecydowanie większego stresu niż Maria. Gdy pojawia się stresor, najpierw poddajemy ocenie związane z nim zagrożenie (ocena pierwotna), a następnie stwierdzamy, czy dostępne są skuteczne opcje poradzenia sobie z daną sytuacją. Większe prawdopodobieństwo wystąpienia stresu jest wówczas, gdy stresor postrzegany jest jako mocno zagrażający albo wydaje się, że opcji skutecznego poradzenia sobie z nim jest niewiele bądź w ogóle ich nie ma. Nie ulega wątpliwości, że niektóre stresory są z natury bardziej obciążające niż inne, ponieważ stanowią większe zagrożenie i dają mniejsze szanse na zróżnicowane interpretacje (np. obiektywne zagrożenia dla czyjegoś zdrowia lub bezpieczeństwa). Mimo to ocena nadal odgrywa pewną rolę we wzmacnianiu lub łagodzeniu naszych reakcji na takie wydarzenia (Everly i Lating, 2002). Jeśli jednostka ocenia określoną sytuację jako szkodliwą i uważa, że dostępne jej zasoby do poradzenia sobie z problemem lub dostosowania się do sytuacji są niewystarczające, doświadczy stanu stresu. Ktoś inny może tego samego wydarzenia nie oceniać jako szkodliwe lub groźne i wówczas prawdopodobnie stresu nie odczuje. Zgodnie z tą definicją to interpretacja wydarzenia środowiskowego i przypisanie mu określonego znaczenia wywołują reakcje stresowe. Krótko mówiąc, stres to w dużej mierze pojęcie względne – nie chodzi o to, co się dzieje, ale jak się je postrzega i na nie reaguje (Selye, 1976). Stres pozytywny? Mimo że stres budzi negatywne skojarzenia, to czasem miewa korzystny wpływ. Może nas motywować do podejmowania działań we własnym interesie, np. do uczenia się do egzaminów, chodzenia na regularne kontrole do lekarza, ćwiczeń lub do wykonywania pracy najlepiej, jak potrafimy. Selye (1974) słusznie zauważył, że nie każdy stres jest szkodliwy. Jego zdaniem czasem może być pozytywną, motywującą siłą, która poprawia jakość naszego życia. Ten rodzaj stresu, nazwany przez Selyego „ eustresem ” (ang. eustress ) (od greckiego eu – ‘dobry'), jest stresem pozytywnym, związanym z pozytywnymi uczuciami, optymalnym zdrowiem i optymalną wydajnością. Umiarkowana ilość stresu bywa korzystna w wymagających sytuacjach. Na przykład stres przed meczem może motywować sportowców i dodawać im energii, a studenci mogą doświadczać podobnego korzystnego stresu przed ważnym egzaminem. Badania potwierdzają, że umiarkowany stres zwiększa zarówno natychmiastowe, jak i opóźnione przypominanie sobie wyuczonych informacji. W jednym z badań mężczyźni, którzy mieli zapamiętać fragment tekstu naukowego, lepiej to zrobili bezpośrednio po ekspozycji na łagodny stresor oraz następnego dnia (Hupbach i Fieman, 2012). Wzrost poziomu stresu u danej osoby w przewidywalny sposób wpłynie na zmianę wydajności. Jak pokazano na , wraz ze wzrostem stresu rośnie również wydajność i ogólne dobre samopoczucie (eustres). Gdy osiągnięty zostanie optymalny poziom stresu (najwyższy punkt krzywej), wydajność jest szczytowa. Kolokwialnie mówiąc, osoba z takim poziomem stresu jest w najlepszej formie, co oznacza, że czuje się pełna energii, skoncentrowana i może pracować przy minimalnym wysiłku z maksymalną wydajnością. Jednak gdy stres przekracza optymalny poziom, przestaje być pozytywną siłą napędową – staje się nadmierny i wyniszczający; Selye określił go mianem „ dystresu ” (ang. distress ) (od łacińskiego dis – ‘zły'). Ludzie osiągający zbyt wysoki poziom stresu czują się wypaleni, są zmęczeni, wyczerpani, a ich wydajność zaczyna spadać. Przy utrzymującym się nadmiernym stresie możemy też zacząć podupadać na zdrowiu (Everly i Lating, 2002). Dobrym przykładem dystresu jest silny lęk przed testem egzaminacyjnym. Kiedy studenci odczuwają duży stres związany z testem, negatywne emocje w połączeniu z objawami fizycznymi mogą utrudniać koncentrację, a tym samym negatywnie wpływać na wyniki egzaminu. Wraz ze wzrostem poziomu stresu z niskiego do umiarkowanego wzrasta wydajność (eustres). Na optymalnym poziomie (środek krzywej) wydajność osiąga swój szczyt. Gdy stres przekroczy optymalny poziom, przejdzie w dystres, czyli nadmierny i wyniszczający stres, a wydajność spadnie (Everly i Lating, 2002). Występowanie stresu Stres jest obecny wszędzie, a jego poziom w populacji od kilku lat rośnie, jak pokazano na . Każdy z nas wie, co to jest stres – niektórzy znają go lepiej niż inni. Pod wieloma względami wydaje się on obciążeniem nie do udźwignięcia – to uczucie, którego doświadczasz, gdy, na przykład, musisz pojechać gdzieś podczas straszliwej zamieci, za późno się budzisz w dniu ważnej rozmowy o pracę, kończą ci się pieniądze przed następną wypłatą albo zbliża się ważny egzamin, do którego nie udało ci się w pełni przygotować. Prawie połowa dorosłych Amerykanów przyznała, że ich poziom stresu wzrósł w ciągu ostatnich pięciu lat (Neelakantan, 2013). Stres to doświadczenie wywołujące szereg różnych reakcji, wśród których można wyodrębnić reakcje fizjologiczne (np. przyspieszone tętno, bóle głowy lub problemy żołądkowo-jelitowe), poznawcze (np. problemy z koncentracją lub podejmowaniem decyzji) oraz behawioralne (np. picie alkoholu, palenie papierosów lub podejmowanie działań mających wyeliminować przyczynę stresu). Jak zostało już wspomniane wyżej, nadmierny stres może przyczyniać się do powstawanie chorób. Badania naukowe nad wpływem stresu i innych czynników psychologicznych na zdrowie zalicza się do psychologii zdrowia (ang. health psychology ), dziedziny zajmującej się zrozumieniem istoty psychologicznych czynników wpływających na zdrowie, choroby i reakcje na dolegliwości (Taylor, 1999). Psychologia zdrowia jako dyscyplina pojawiła się w latach 70. XX wieku, w okresie wzrostu świadomości roli, jaką odgrywają zachowania i styl życia w rozwoju chorób i dolegliwości (Straub, 2007). Oprócz badania związku między stresem a chorobami psychologowie zdrowia analizują, np. przyczyny, dla których ludzie dokonują wyboru określonego stylu życia (jak palenie papierosów lub niezdrowe odżywianie się, mimo że znają szkodliwe konsekwencje takich zachowań dla zdrowia). Ponadto badają skuteczność działań mających na celu zmianę niezdrowych przyzwyczajeń. Jednym z najbardziej podstawowych zadań psychologów zdrowia jest ustalenie, które grupy ludzi są szczególnie narażone na negatywne następstwa zdrowotne, oraz określenie charakterystyki psychologicznej i behawioralnej tych grup. Na przykład analiza różnic w poziomach stresu między różnymi grupami demograficznymi oraz ich zmian w czasie może pomóc zidentyfikować populacje o podwyższonym ryzyku zachorowania. przedstawia wyniki trzech przeprowadzonych w Stanach Zjednoczonych badań, w których kilka tysięcy osób z różnych grup demograficznych wypełniło krótką ankietę na temat stresu. Badania przeprowadzono w latach 1983, 2006 i 2009 (Cohen i Janicki-Deverts, 2012). Wszystkie wykazały wyższy poziom stresu u kobiet niż u mężczyzn. We wszystkich trzech wysoki poziom stresu stwierdzono u osób bezrobotnych, a także u ankietowanych deklarujących niższe wykształcenie i dochody. Najniższy poziom stresu odnotowano wśród emerytów. Między rokiem 2006 a 2009 największy wzrost poziomu stresu wystąpił wśród mężczyzn, przedstawicieli rasy kaukaskiej, osób w wieku 45–64 lata, absolwentów szkół wyższych, a także osób zatrudnionych na pełny etat. Jedna z interpretacji tych wyników zakłada, że obawy związane z kryzysem finansowym w latach 2008–2009 (m.in. ryzyko utraty pracy lub otrzymanie wypowiedzenia oraz znaczna utrata oszczędności emerytalnych) mogły być szczególnie stresujące dla osób rasy kaukaskiej, wykształconych, zatrudnionych, mężczyzn, którym pozostało niewiele lat aktywności zawodowej. Powyższe wykresy, zaczerpnięte z pracy Cohen i Janicki-Deverts (2012), przedstawiają średnią ocenę poziomu stresu w różnych grupach demograficznych w USA w latach 1983, 2006 i 2009. Na przestrzeni 25 lat poziom stresu znacznie wzrósł we wszystkich analizowanych kategoriach: płci, wieku, rasy, poziomu wykształcenia, statusu zatrudnienia i osiąganych dochodów. Wczesny wkład w badania nad stresem Jak już wcześniej wspomnieliśmy, naukowcy zainteresowali się zagadnieniem stresu prawie sto lat temu. Jednym z pionierów badań nad stresem był Walter Cannon (1871-1945), wybitny amerykański fizjolog z Harvard Medical School ( ). Na początku XX wieku Cannon jako pierwszy zidentyfikował fizjologiczne reakcje organizmu na stres. Fizjolog z Harvardu – Walter Cannon – jako pierwszy opisał i nazwał reakcję „walcz lub uciekaj”, tj. reakcję współczulnego układu nerwowego na istotny stresor. Cannon i reakcja „walcz lub uciekaj” Wyobraź sobie, że jesteś na wycieczce w górach w ciepły i słoneczny wiosenny dzień. W pewnym momencie zza drzew wychodzi wielki, groźnie wyglądający niedźwiedź i siada jakieś 50 metrów od ciebie. Zauważa cię, wstaje i zaczyna iść w twoją stronę. Oprócz tego, że myślisz wtedy „Oj, nie jest dobrze”, w twoim organizmie dochodzi do szeregu reakcji fizjologicznych. Źrenice rozszerzają się pod wpływem adrenaliny (epinefryny) i noradrenaliny (norepinefryny) wydzielanych przez nadnercza. Serce zaczyna ci łomotać, ciężko oddychasz i pocisz się, czujesz „motyle” w brzuchu, a mięśnie się napinają, przygotowując cię do podjęcia wysiłku. Cannon stwierdził, że ta reakcja, którą nazwał reakcją „walcz lub uciekaj” (ang. fight or flight response ), występuje, gdy dana osoba doświadcza bardzo silnych emocji – szczególnie tych wywołanych dostrzeżonym zagrożeniem (Cannon, 1932). Podczas niej organizm zostaje szybko pobudzony w efekcie aktywacji współczulnego układu nerwowego i układu hormonalnego ( ). Pobudzenie to pomaga przygotować daną osobę albo do walki z dostrzeżonym zagrożeniem, albo do ucieczki przed nim. „Walcz lub uciekaj” to fizjologiczna reakcja na silny stresor. Zdaniem Cannona reakcja „walcz lub uciekaj” jest wrodzonym mechanizmem pomagającym w utrzymaniu homeostazy, czyli względnie stałego stanu naszych parametrów fizjologicznych, takich jak ciśnienie krwi, oddychanie, trawienie i temperatura, na poziomie optymalnym do przeżycia. Cannon uważał zatem, że jest to reakcja przystosowawcza, gdyż umożliwia ludziom wewnętrzne i zewnętrzne dostosowanie się do zagrożeń pojawiających się w ich środowisku oraz unikanie niebezpieczeństwa. Selye i ogólny zespół adaptacyjny Kolejną ważną osobą, która miała wkład we wczesny rozwój formowania się koncepcji stresu, był wcześniej wspomniany Hans Selye. Ostatecznie stał się on jednym z największych światowych ekspertów zajmujących się badaniami nad stresem ( ). Jako młody asystent na Wydziale Biochemii na Uniwersytecie McGilla w latach 30. XX wieku Selye prowadził eksperymenty dotyczące hormonów płciowych u szczurów. W ich trakcie przez przypadek odkrył, że przy ekspozycji na długotrwałą negatywną stymulację (stresory) – np. ekstremalnie niskie temperatury, ranę pooperacyjną, przetrenowanie mięśni i wstrząs – u badanych zwierząt pojawiały się symptomy powiększenia nadnerczy, zmniejszenia grasicy i węzłów chłonnych oraz owrzodzenia żołądka. Selye uświadomił sobie, że zmiany te są wywołane przez złożone reakcje fizjologiczne, które rozwijają się podczas ekspozycji na stresor. Te fizjologiczne reakcje były niespecyficzne, co oznacza, że pojawiały się niezależnie od rodzaju stresora. Selye odkrył ogólny zespół adaptacyjny (ang. general adaptation syndrome ), niespecyficzną fizjologiczną reakcję organizmu na stres. Hans Selye specjalizował się w badaniach nad stresem. W 2009 roku jego rodzime Węgry uhonorowały jego pracę tym znaczkiem wyemitowanym z okazji drugiej corocznej światowej konferencji na temat stresu. Ogólny zespół adaptacyjny, który przedstawiono na , dzieli się na trzy fazy: reakcja alarmowa, stadium odporności, stadium wyczerpania (Selye, 1936; 1976). Reakcja alarmowa (ang. alarm reaction ) to natychmiastowa reakcja organizmu na zetknięcie się z sytuacją zagrożenia lub niebezpieczeństwa, podobna do reakcji „walcz lub uciekaj” opisanej przez Cannona. Podczas reakcji alarmowej odbierasz informacje o stresorze, a twoje ciało alarmuje cię za pośrednictwem wielu reakcji fizjologicznych, dostarczających ci energii do poradzenia sobie z daną sytuacją. Reakcji alarmowej doświadcza np. ktoś, kto budzi się w środku nocy i zauważa w domu pożar. Wykres pokazuje trzy fazy ogólnego zespołu adaptacyjnego Selyego. Długotrwały stres ostatecznie prowadzi do wyczerpania. W przypadku długotrwałej ekspozycji na stresor organizm wchodzi w stadium odporności (ang. stage of resistance ). Na tym etapie początkowy szok wywołany reakcją alarmową ustępuje, a ciało dostosowuje się do stresora. Organizm cały czas pozostaje w stanie gotowości do działania, podobnie jak miało to miejsce podczas reakcji alarmowej, ale z mniejszą intensywnością. Załóżmy na przykład, że zaginione dziecko nie odnalazło się po 72 godzinach. Mimo że rodzice są nadal bardzo zaniepokojeni, to w ciągu tych minionych 72 godzin skala reakcji fizjologicznych prawdopodobnie zmniejszyła się dzięki pewnego rodzaju przystosowaniu do tej sytuacji. Jeśli ekspozycja na stresor utrzymuje się przez dłuższy czas, dochodzi do stadium wyczerpania (ang. stage of exhaustion ). Na tym etapie dana osoba nie jest w stanie dłużej dostosowywać się do stresora: zdolność organizmu do stawiania oporu wyczerpuje się, a tkankom i organom daje się we znaki fizyczne zmęczenie. W rezultacie mogą pojawić się: choroba, trwałe uszkodzenie ciała, a nawet śmierć. Jeśli zaginione dziecko nie odnalazło się przez trzy miesiące, to długotrwały stres związany z tą sytuacją może sprawić, że w pewnym momencie rodzic dosłownie zasłabnie z wyczerpania lub rozwinie się u niego poważna i nieodwracalna choroba. Krótko mówiąc, ogólny zespół adaptacyjny Selyego sugeruje, że stresory poddają organizm próbie w trójfazowym procesie – najpierw następuje wstrząs, po nim dostosowanie, później osłabienie wszystkich fizycznych zasobów, co ostatecznie może doprowadzić do poważnych problemów zdrowotnych, a nawet śmierci. Należy jednak podkreślić, że ten model uznaje koncepcję stresu opartą na reakcji, skupiającą się wyłącznie na fizycznych odpowiedziach organizmu, w znacznym stopniu pomija zaś czynniki psychologiczne, takie jak ocena i interpretacja zagrożeń. Mimo to model Selyego miał olbrzymi wpływ na formowanie koncepcji stresu, gdyż stanowi ogólnie wyjaśnienie sposobu, w jaki prowadzi on do fizycznych uszkodzeń i, tym samym, chorób. Jak dowiesz się z dalszej części rozdziału, długotrwały lub powracający stres ma związek z powstaniem wielu zaburzeń, takich jak nadciśnienie tętnicze i choroby serca. Fizjologiczne podłoże stresu Co dzieje się wewnątrz naszego organizmu, gdy doświadczamy stresu? Fizjologiczne mechanizmy stresu są bardzo złożone, ale zasadniczo angażują pracę dwóch układów – współczulnego układu nerwowego (ang. sympathetic nervous system ) oraz osi podwzgórze–przysadka–nadnercza (ang. hypothalamic-pituitary-adrenal (HPA) axis ). Gdy ktoś po raz pierwszy uznaje daną sytuację za stresującą (reakcja alarmowa wg Selyego), wówczas współczulny układ nerwowy wywołuje pobudzenie przez wydzielanie adrenaliny z rdzenia nadnerczy. Wydzielenie tych hormonów aktywuje reakcję „walcz lub uciekaj”, czyli m.in przyspieszone tętno i oddech. Jednocześnie oś podwzgórze–przysadka–nadnercza staje się szczególnie aktywna, mimo że pracuje znacznie wolniej niż współczulny układ nerwowy (ma charakter głównie hormonalny). W odpowiedzi na stres podwzgórze (jedna ze struktur limbicznych mózgu) wydziela hormon uwalniający kortykotropinę, który pobudza przysadkę mózgową do wydzielania hormonu adrenokortykotropowego (ACTH) ( ). Następnie ACTH pobudza nadnercza do uwalniania licznych hormonów do krwiobiegu. Wśród nich ważną rolę odgrywa kortyzol, który wpływa praktycznie na każdy organ naszego ciała. Kortyzol (ang. cortisol ) jest powszechnie nazywany hormonem stresu i zapewnia zastrzyk energii przy pierwszym zetknięciu ze stresorem, przygotowując nas do ucieczki lub podjęcia walki. Wykres przedstawia funkcjonowanie osi podwzgórze–przysadka–nadnercza. Podwzgórze aktywuje przysadkę mózgową, która z kolei pobudza nadnercza do zwiększonego wydzielania kortyzolu. Na krótką metę proces ten może mieć korzystne skutki, na przykład zapewnia dodatkową energię, poprawia tymczasowe funkcjonowanie układu odpornościowego (ang. immune system ), a także zmniejsza wrażliwość na ból. Jednak przedłużające się wydzielanie kortyzolu – występujące przy długotrwałym lub chronicznym stresie – często wiele nas kosztuje. Stwierdzono, że wysokie stężenie kortyzolu wywołuje szereg szkodliwych konsekwencji. Może ono w istotny sposób osłabić nasz układ odpornościowy (Glaser i Kiecolt-Glaser, 2005). Wysokie stężenia kortyzolu często obserwuje się u osób cierpiących na depresję (Geoffroy et al., 2013). Bardzo silny lub chroniczny stres może mieć jednak poważne negatywne konsekwencje. Na przykład często przyczynia się do rozwoju zaburzeń psychicznych, takich jak zespół stresu pourazowego lub ciężki epizod depresyjny. Ponadto, jak wspomnieliśmy wcześniej, stres jest powiązany z rozwojem różnych dolegliwości fizycznych i chorób. Przykładowo w jednym z badań autorzy stwierdzili znacznie wyższy wskaźnik występowania chorób serca u ofiar ataku na World Trade Center 11 września 2001 roku oraz u osób z późniejszymi objawami zespołu stresu pourazowego (Jordan et al., 2011). Na podstawie innego badania stwierdzono, że subiektywne objawy stresu u starzejących się i emerytowanych pracowników fińskiego przemysłu spożywczego były powiązane ze stanami chorobowymi stwierdzanymi 11 lat później. W badaniu tym przewidziano również rozwój zaburzeń układu mięśniowo-szkieletowego, układu nerwowego, zaburzeń hormonalnych i metabolicznych (Salonen et al., 2008). Jeszcze inne badanie pokazało, że mężczyźni z Korei Południowej zatrudnieni w przemyśle wytwórczym, deklarujący wysoki poziom stresu w miejscu pracy, częściej przeziębiali się w ciągu kolejnych kilku miesięcy niż pracownicy deklarujący niższy poziom stresu (Park et al., 2011). W dalszej części rozdziału poznasz mechanizmy rozwoju dolegliwości fizycznych i chorób w wyniku oddziaływania stresu. Summary Stres to proces reakcji na wydarzenie, które jednostka postrzega jako przytłaczające lub zagrażające jej dobrostanowi. Naukę, w obszarze której prowadzi się badania nad wpływem stresu i czynników emocjonalnych na zdrowie oraz dobrostan, nazywamy „psychologią zdrowia”. Dziedzina ta zajmuje się badaniem ogólnego wpływu czynników psychologicznych na zdrowie. Pierwotna fizjologiczna reakcja organizmu na stres, reakcja „walcz lub uciekaj”, została po raz pierwszy opisana na początku XX wieku przez Waltera Cannona. Reakcja „walcz lub uciekaj” obejmuje skoordynowane działanie współczulnego układu nerwowego oraz osi podwzgórze–przysadka–nadnercza. Hans Selye, wybitny endokrynolog, potraktował te fizjologiczne reakcje na stres jako część ogólnego zespołu adaptacyjnego występującego w trzech fazach: reakcji alarmowej (pojawia się reakcja „walcz lub uciekaj”), stadium odporności (organizm zaczyna dostosowywać się do utrzymującego się stresu) oraz stadium wyczerpania (energia adaptacyjna się wyczerpuje, a stres zaczyna oddziaływać). Stresujące wydarzenie wywołuje różnorodne reakcje fizjologiczne, które aktywują nadnercza, a te z kolei wydzielają adrenalinę, noradrenalinę i kortyzol. Hormony te wpływają na liczne procesy zachodzące w organizmie, aby przygotować organizm do działania. Ekspozycja na silny lub chroniczny stres może mieć negatywne skutki dla zdrowia jednostki. Review Questions Doświadczenie negatywnych skutków stresu jest najbardziej prawdopodobne, gdy wydarzenie jest postrzegane jako________. negatywne, ale mające raczej wpływ na inne osoby niż na samego zainteresowanego stanowiące wyzwanie wprawiające w zakłopotanie zagrażające i bez wyraźnych możliwości poradzenia sobie z nim D W której fazie ogólnego zespołu adaptacyjnego Selyego dana osoba jest szczególnie podatna na chorobę? wyczerpania reakcji alarmowej „walcz lub uciekaj” odporności A Podczas stresującego spotkania kortyzol jest wydzielany przez________. współczulny układ nerwowy podwzgórze przysadkę mózgową nadnercza D Critical Thinking Questions Podaj przykład (inny niż opisany powyżej) sytuacji lub wydarzenia, które mogą zostać ocenione jako zagrażające lub stanowiące wyzwanie. Odpowiedzi mogą być różne. Jednym z przykładów jest rozwód. Ludzie mogą postrzegać rozwód jako zagrożenie, jeśli uznają, że doprowadzi on do samotności, zmiany stylu życia (z uwagi na brak dodatkowego dochodu) lub upokorzenia w oczach członków rodziny. Rozwód można jednak postrzegać jako wyzwanie, jeśli potraktuje się go jako możliwość znalezienia bardziej dobranego partnera, uznawszy sam proces poszukiwania nowej miłości za przyjemny, być może nieco tajemniczy i ekscytujący. Podaj przykład stresującej sytuacji, która może doprowadzić do poważnej choroby. Jak wystąpienie tej choroby tłumaczy teoria ogólnego zespołu adaptacyjnego Selyego? Odpowiedzi mogą być różne. Jednym z przykładów jest śmierć współmałżonka lub niespodziewane zdiagnozowanie u niego śmiertelnej choroby. W obu przypadkach stres doświadczany przez partnera bądź partnerkę będzie intensywny, ciągły i – zgodnie z ogólnym zespołem adaptacyjnym – ostatecznie doprowadzi do zwiększonej podatności na rozwój jakiejś choroby lub dolegliwości (stadium wyczerpania). Personal Application Question Przypomnij sobie czas, gdy ty i znane ci osoby (członkowie rodziny, znajomi lub koledzy i koleżanki z grupy) doświadczyliście wydarzenia, które część z was uznała za zagrażające, a inni za stanowiące wyzwanie. Jakie były różnice w reakcjach osób traktujących to wydarzenie jako zagrażające i tych postrzegających je jako wyzwanie? Dlaczego – twoim zdaniem – pojawiły się różnice w ocenie tego samego wydarzenia przez różne osoby? reakcja alarmowa (ang. alarm reaction ) pierwsza faza zespołu adaptacyjnego; natychmiastowa, fizjologiczna reakcja na sytuację zagrożenia lub inny, niespodziewany bodziec; odpowiednik reakcji „walcz lub uciekaj” kortyzol (ang. cortisol ) hormon stresu uwalniany przez nadnercza w reakcji na bodziec stresowy (stresor); zapewnia dodatkową energię, przygotowując tym samym na podjęcie szybkich działań dystres ( stres negatywny ) (ang. distress ) zwykle o dużej intensywności; często prowadzi do wyczerpania, przemęczenia, uczucia wypalenia; związany z pogorszeniem zdrowia i wydajności pracy eustres ( stres pozytywny ) (ang. eustress ) zwykle o średniej lub niskiej intensywności; związany z pozytywnymi odczuciami; wspomaga wydajność pracy i jest dobry dla zdrowia reakcja „walcz lub uciekaj” (ang. fight or flight response) zespół fizjologicznych reakcji (wzrost ciśnienia krwi, tętna, częstości oddechu, nasilenie pocenia się) na zagrożenie (realne lub tylko wyobrażone); ich źródłem jest pobudzenie układu sympatycznego (współczulnego) i dokrewnego (endokrynnego) ogólny zespół adaptacyjny (ang. general adaptation syndrome ) trójfazowy model fizjologicznych reakcji organizmu na stres oraz procesu adaptacji do tegoż, zaproponowany przez Hansa Selyego; obejmuje: reakcję alarmową, stadium odporności i stan wyczerpania psychologia zdrowia (ang. health psychology ) dziedzina psychologii poświęcona badaniom wpływu czynników psychicznych na zdrowie, choroby i na to, jak ludzie reagują w sytuacji choroby oś podwzgórze–przysadka–nadnercza (HPA) (ang. hypothalamic-pituitary-adrenal (HPA) axis ) zespół struktur znajdujących się zarówno w układzie limbicznym mózgu (podwzgórze), jak i w układzie dokrewnym (przysadka i nadnercza), kontrolujących poprzez wydzielanie hormonów wiele fizjologicznych reakcji organizmu na stres ocena pierwotna (ang. primary appraisal ) ocena, w jaki sposób dany stresor może zaszkodzić albo stanowić zagrożenie dla dobrostanu jednostki ocena wtórna (ang. secondary appraisal ) ocena dostępnych opcji działania pozwalających poradzić sobie z czynnikiem stresowym i ich potencjalnej skuteczności stadium wyczerpania (ang. stage of exhaustion ) trzecie stadium zespołu adaptacyjnego; możliwości przystosowawcze organizmu zostają wyczerpane i nie potrafi on już dalej radzić sobie ze stresem; może prowadzić do choroby, a nawet śmierci stadium odporności (ang. stage of resistance ) drugie stadium zespołu adaptacyjnego; organizm na pewien czas przystosowuje się do stresującego bodźca stres (ang. stress) proces, w którym jednostka reaguje na zdarzenia postrzegane przez nią jako przytłaczające lub zagrażające jej dobrostanowi stresory (ang. stressors) zdarzenia zewnętrzne, które można uznać za zagrażające lub zbyt wymagające; bodźce, które inicjują stres", "section": "Czym jest stres?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Stresory Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać różne typy możliwych stresorów Wyjaśnić znaczenie zmian życiowych jako potencjalnych czynników stresogennych Opisać Skalę Oceny Dostosowania Społecznego Zrozumieć pojęcia: obciążenie pracą i wypalenie zawodowe Doświadczenie stresu zawsze jest wywołane wystąpieniem stresora (ang. stressor ). Zasadniczo stresory można przypisać do jednej z dwóch szerokich kategorii: przewlekłych i ostrych. Stresory przewlekłe obejmują wydarzenia, które utrzymują się przez długi czas, takie jak opieka nad rodzicem cierpiącym na demencję, długotrwałe bezrobocie lub pobyt w więzieniu. Stresory ostre to pojedyncze zdarzenia, których konsekwencje czasem odczuwa się jako przytłaczające długo po zakończeniu danego wydarzenia, np. upadek na oblodzonym chodniku i złamanie nogi (Cohen et al., 2007). Potencjalne stresory, zarówno przewlekłe, jak i ostre, są bardzo zróżnicowane. Mogą to być poważne, traumatyczne wydarzenia, istotne zmiany w życiu, codzienne problemy, a także inne sytuacje, w których dana osoba jest stale narażona na zagrożenie, wyzwanie lub niebezpieczeństwo. Traumatyczne wydarzenia Niektóre stresory są związane z traumatycznymi wydarzeniami lub sytuacjami, jak: udział w działaniach wojennych, napaść fizyczna lub zagrożenie nią (np. ataki fizyczne, napaść seksualna, kradzież, przemoc), ataki terrorystyczne, klęski żywiołowe (np. trzęsienia ziemi, powodzie, huragany) i wypadki samochodowe. Wykazano, że płeć, rasa i status ekonomiczny korelują z liczbą doświadczanych wydarzeń traumatycznych. Mężczyźni, osoby rasy innej niż kaukaska oraz osoby o niższym statusie ekonomicznym są bardziej narażeni na traumatyczne wydarzenia (Hatch i Dohrenwend, 2007). U niektórych osób poddanych bardzo silnym stresorom rozwija się zespół stresu pourazowego – reakcja na traumatyczne doświadczenie charakteryzująca się nawracającymi gwałtownymi, mimowolnymi i bolesnymi wspomnieniami stresującego wydarzenia, flashbackami, napięciem lękowym, nerwowością, utrzymującymi się negatywnymi stanami emocjonalnymi, często izolacją od innych, wybuchami złości i unikaniem wspomnień i bodźców kojarzących się z traumą (APA, 2013). Zmiany życiowe Większość stresorów, z którymi się stykamy, nie jest aż tak dramatyczna jak opisane powyżej. Wiele potencjalnych stresorów, z jakimi mamy do czynienia, wiąże się z wydarzeniami lub sytuacjami wymagającymi od nas wprowadzenia zmian w dotychczasowym życiu oraz czasu, abyśmy się do tych zmian dostosowali. Wśród przykładów można wymienić śmierć bliskiego członka rodziny, ślub, rozwód lub przeprowadzkę ( ). Niektóre dość typowe życiowe wydarzenia, takie jak przeprowadzka, mogą stanowić istotny stresor. Nawet jeśli przeprowadzka jest zaplanowana i zakończona sukcesem, zakres wynikających z niej zmian w życiu może wywołać stres. (Źródło: „Jellaluna”/Flickr). W latach 60. XX wieku psychiatrzy Thomas Holmes (1918-1988) i Richard Rahe (ur. 1936) chcieli zbadać zależność między życiowymi stresorami a dolegliwościami fizycznymi, bazując na hipotezie, że wydarzenia wymagające istotnych zmian w typowej rutynie życia danej osoby są stresujące niezależnie od tego, czy są to wydarzenia pożądane, czy nie. Opracowali oni kwestionariusz Social Readjustment Rating Scale (SRRS) obejmujący 43 wydarzenia życiowe, które wymagają od człowieka różnego stopnia dostosowania się (Holmes i Rahe, 1967). Na skali stresu SRRS znajduje się wiele wydarzeń życiowych, które większość ludzi uznaje za przyjemne (np. urlop, emerytura, małżeństwo) i są to przykłady eustresu. Holmes i Rahe zasugerowali, że te życiowe wydarzenia mogą się z czasem kumulować, powiększając ekspozycję na stres. Większa liczba stresujących sytuacji zwiększa zaś ryzyko rozwoju dolegliwości fizycznych u danej osoby. Na potrzeby opracowania swojej skali Holmes i Rahe poprosili 394 uczestników o przypisanie szacunkowej wartości liczbowej do każdego z 43 wydarzeń. Ocena odpowiadała stopniowi, w jakim – zdaniem uczestników – musieliby się oni dostosować do danego wydarzenia. Na podstawie tych szacunków badacze otrzymali średnią wartość dla każdego wydarzenia – często nazywaną jednostką zmian życiowych (ang. life changing unit (LCU) ) (Rahe et al., 1967). Wartości liczbowe mieściły się w przedziale od 11 do 100 i oddają postrzegany zakres życiowych zmian, które pociąga za sobą dane wydarzenie. Najwyżej na skali znalazła się śmierć współmałżonka (100 LCU), a na drugim miejscu uplasował się rozwód (73 LCU). Wysoko oceniano także obrażenia ciała lub chorobę, małżeństwo i utratę pracy (odpowiednio 53, 50 i 47 LCU). Na samym dole skali znalazły się: zmiana miejsca zamieszkania (20 LCU), zmiana nawyków żywieniowych (15 LCU) i urlop (13 LCU) ( ). Przypadki nieznacznego naruszenia prawa otrzymały najniższą ocenę (11 LCU). Na zakończenie badań uczestnicy zaznaczali, których wydarzeń doświadczyli w ciągu ostatnich 12 miesięcy. Punkty LCU dla każdego zaznaczonego wydarzenia sumuje się, by uzyskać wynik oznaczający poziom zmian życiowych. Nawet w odmiennych kulturach odnotowano spójność w poziomie adaptacji (mierzonej na SRRS) do konkretnych życiowych wydarzeń (Holmes i Masuda, 1974). Niektóre stresory uwzględnione w skali stresu Holmesa (Holmes i Rahe, 1967). Życiowe wydarzenie Jednostki stresowe Śmierć współmałżonka 100 Rozwód 73 Separacja 65 Śmierć bliskiego członka rodziny 63 Obrażenia ciała lub choroba 53 Utrata pracy 47 Zmiana kondycji finansowej 38 Zmiana pracy 36 Wybitne osobiste osiągnięcie 28 Rozpoczęcie lub zakończenie nauki w szkole 26 Zmiana warunków życia 25 Zmiana godzin lub warunków pracy 20 Zmiana miejsca zamieszkania 20 Zmiana szkoły 20 Zmiana w nawykach życia towarzyskiego 18 Zmiana nawyków snu 16 Zmiana nawyków żywieniowych 15 Nieznaczne naruszenie prawa 11 Szeroko zakrojone badania wykazały, że uzyskanie dużej liczby jednostek stresowych w krótkim okresie (rok lub dwa lata) wiąże się z szeroką gamą dolegliwości fizycznych (również wypadków i kontuzji) oraz problemów ze zdrowiem psychicznym (Monat i Lazarus, 1991; Scully et al., 2000). Na wczesnym etapie badacze uzyskali wyniki LCU na podstawie deklaracji pracowników amerykańskiej i norweskiej marynarki, którzy mieli niedługo wyruszyć w półroczny rejs. Późniejsza analiza dokumentacji medycznej wykazała pozytywną (choć niewielką) zależność między wynikiem LCU przed wyjazdem a objawami chorób podczas półrocznego rejsu (Rahe, 1974). Co więcej, ludzie częściej odczuwają dolegliwości fizyczne, takie jak ból pleców, rozstrój żołądka, biegunka i trądzik w określone dni, kiedy deklarowane wartości LCU są znacznie wyższe niż zazwyczaj, np. w dniu ślubu członka rodziny (Holmes i Holmes, 1970). Social Readjustment Rating Scale (SRRS) jest prostym, łatwym do zastosowania narzędziem badawczym do oceny stresorów w ludzkim życiu. Użyto go w setkach badań (Thoits, 2010). Mimo powszechnego wykorzystywania skali, jest ona współcześnie mocno krytykowana. Po pierwsze, zawiera wiele niejasnych pozycji. Przykładowo śmierć bliskiego przyjaciela może dotyczyć przyjaciela z dzieciństwa, który od dawna nie jest obecny w naszym życiu. Z tego powodu SRRS wymaga dostosowania społecznego (Dohrenwend, 2006) i krytycznej refleksji nad wynikami, jakie w tej skali można uzyskać. Ponadto niektórzy badacze podali w wątpliwość założenie, jakoby niepożądane wydarzenia życiowe nie były bardziej stresujące niż pożądane (Derogatis i Coons, 1993). Większość dostępnych dowodów sugeruje, że – przynajmniej w kwestii zdrowia psychicznego – niepożądane lub negatywne wydarzenia są silniej związane ze złym stanem zdrowia (np. depresją) niż wydarzenia pożądane, pozytywne (Hatch i Dohrenwend, 2007). Jeden z poważniejszych zarzutów formułowanych wobec omawianej skali dotyczy faktu, że nie uwzględnia ona oceny respondentów dotyczącej zawartych w niej wydarzeń życiowych. Jak zapewne sobie przypominasz, ocena stresora jest kluczowym elementem koncepcji i ogólnego doświadczenia stresu. Zwolnienie z pracy dla jednych może być druzgocącym doświadczeniem, a dla innych dobrą okazją do zdobycia lepszego zajęcia. Wejdź na stronę . Skorzystaj z SRRS i określ liczbę LCU doświadczonych w ciągu ostatniego roku. Badanie korelacyjne Do wykrycia zależności między poziomem stresu a stanem zdrowia Social Readjustment Rating Scale (SRRS) Holmesa i Rahe'a wykorzystuje metodę badania korelacyjnego (ang. correlational research ). Oznacza to, że uzyskana przez badanych liczba LCU jest zestawiana z liczbą lub częstotliwością deklarowanych symptomów wskazujących na problemy zdrowotne. Zależności te są zazwyczaj pozytywne – wraz ze wzrostem LCU rośnie liczba objawów. Wziąwszy pod uwagę tysiące badań wykorzystujących tę skalę do określania związków stresu z nasileniem symptomów choroby, jak silny, zgodnie z twoimi przypuszczeniami, byłby średni współczynnik korelacji z tych badań? Dlaczego SRRS nie pokazuje związku przyczynowego między stresem a chorobą? Gdyby udało się wykazać przyczynowość, czy – twoim zdaniem – to stres byłby powodem choroby, czy choroba przyczyną stresu? Problemy Potencjalne stresory nie zawsze dotyczą poważnych wydarzeń życiowych. Codzienne problemy (ang. daily hassles ) – sytuacje niewielkiej irytacji i zdenerwowania, będące częścią naszego codziennego życia (np. korek w godzinach szczytu, zgubione klucze, nieprzyjemni współpracownicy, paskudna pogoda, kłótnia z przyjacielem lub rodziną) – mogą się wzajemnie przenikać i doprowadzić do tego, że będziemy równie zestresowani jak w przypadku wydarzeń powodujących zmiany życiowe ( ) (Kanner et al., 1981). Codzienne dojazdy do pracy: (a) samochodem lub (b) środkami komunikacji, mogą być problemem, który przyczynia się do odczuwania codziennego stresu. (Źródło zdjęcia a: modyfikacja pracy Jeffa Turnera; źródło zdjęcia b: modyfikacja pracy „epSos.de”/Flickr). W badaniach wykazano, że częstotliwość występowania codziennych problemów jest lepszym predyktorem zdrowia fizycznego i psychicznego niż jednostki zmian życiowych (LCU). W często przywoływanym badaniu mieszkańców San Francisco stwierdzono, że częstotliwość występowania codziennych problemów była silniej związana z zaburzeniami zdrowotnymi niż wydarzenia pociągające za sobą zmiany życiowe (DeLongis et al., 1982). Ponadto niewielkie codzienne problemy, szczególnie konflikty międzyludzkie, często prowadzą do stanów złego nastroju lub przygnębienia (Bolger et al., 1989). Współczesne i ciągle ewoluujące źródło stresu stanowią problemy pojawiające się w mediach społecznościowych. W pewnym badaniu studenci, którzy przez ponad 10 tygodni deklarowali większy stres wywołany za pośrednictwem Facebooka (np. poczucie winy lub dyskomfort związany z odrzuceniem zaproszenia do grona znajomych oraz złość lub smutek z powodu bycia usuniętym przez kogoś z grupy znajomych), mieli wyższy współczynnik infekcji górnych dróg oddechowych, zwłaszcza gdy ich grono znajomych było duże (Campisi et al., 2012). W innym badaniu stres związany z mediami społecznościowymi był powiązany z pogorszeniem snu u nastolatków, prawdopodobnie dlatego, że ruminacje na temat mediów społecznościowych spowodowały fizjologiczną reakcję na stres, zwiększającą pobudzenie (van der Schuur et al., 2018). Inne stresory Do stresorów zalicza się sytuacje, w których ktoś jest stale narażony na nieprzyjemne lub stanowiące wyzwanie wydarzenia, np. trudne, wymagające lub niebezpieczne warunki pracy. Większość zawodów i stanowisk bywa czasami wymagająca, ale niektóre profesje są zdecydowanie bardziej stresujące od innych ( ). Dla przykładu, większość ludzi prawdopodobnie zgodzi się, że praca strażaka jest z natury bardziej stresująca niż praca kwiaciarza. Większość z nas przyzna, że zawody, z którymi wiąże się różnego rodzaju dyskomfort, np. ekspozycja na duży hałas (operator ciężkiego sprzętu), stałe narażenie na agresję słowną i fizyczną (strażnik więzienny), duża frustracja (kierowca autobusu w dużym mieście) lub praca zmianowa (recepcjonista w hotelu), są znacznie bardziej wymagające – i tym samym, bardziej stresujące – niż zawody, którym nie towarzyszą te aspekty. W przedstawiono kilka zawodów i związanych z nimi charakterystycznych stresorów (Sulsky et al., 2005). (a) Policjanci i (b) strażacy mają bardzo stresującą pracę. (Źródło zdjęcia a: modyfikacja pracy Australian Civil-Military Centre; źródło zdjęcia b: modyfikacja pracy Andrew Magilla). Zawody i związane z nimi stresory (Sulsky i Smith, 2005). Zawód Charakterystyczne stresory Funkcjonariusz policji praca w trybie zmianowym, zagrożenia fizyczne, biurokracja, styczność z systemem sądownictwa, napięte interakcje międzyludzkie, konflikty ze współpracownikami i przełożonymi, odczuwalny brak poparcia opinii publicznej, w skrajnych sytuacjach konieczność decydowania o czyimś życiu lub śmierci Strażak poważne zagrożenie fizyczne, niepewność, czy alarm jest wynikiem poważnego pożaru, czy przypadku, praca w trybie zmianowym Pracownik opieki społecznej niewielki pozytywny odzew ze strony innych grup zawodowych i opinii publicznej, niebezpieczne środowisko pracy, biurokracja, poczucie osobistej odpowiedzialności za klientów, nadmierne obciążenie pracą Nauczyciel biurokracja, brak odpowiednich materiałów lub infrastruktury, brak wsparcia, nadmierne obciążenie pracą, brak zaangażowania uczniów, stała ekspozycja na ocenę dużej grupy osób, kontakt z roszczeniowymi rodzicami Pielęgniarka nadmierne obciążenie pracą, praca w trybie zmianowym, ciężka praca fizyczna, odpowiedzialność za zdrowie i życie pacjenta, mierzenie się z problemami pacjentów (styczność ze śmiercią i problemami zdrowotnymi), możliwe konflikty interpersonalne z innymi członkami zespołu medycznego (np. z lekarzami) Ratownik medyczny nadmierne obciążenie pracą, praca w trybie zmianowym, nieprzewidywalność sytuacji podczas akcji ratunkowej, odpowiedzialność za zdrowie i życie pacjenta, konieczność szybkiego podejmowania decyzji Kontroler ruchu lotniczego potencjalne sytuacje kryzysowe o dużej sile i niskim stopniu kontroli (katastrofy lotnicze), obciążenie pracą, obawa przed konsekwencjami podjęcia błędnej decyzji, praca w trybie zmianowym Pracownik biurowy/sekretarka niewielka możliwość awansu zawodowego, potencjalnie duża liczba osób wydających polecenia, nadmierne obciążenie pracą, brak postrzegania kontroli i wpływu Menadżer nadmierne obciążenie pracą, konieczność szybkiego podejmowania decyzji, odpowiedzialność za pracowników, ich wynagrodzenia i stanowiska pracy, odpowiedzialność za wykonanie projektów i zadań w wyznaczonym budżecie i czasie, odpowiedzialność finansowa Mimo różnych charakterystycznych dla tych zawodów stresorów mają one pewne wspólne mianowniki, w tym duże obciążenie pracą i niepewność związaną z brakiem kontroli nad pewnymi aspektami pracy. Czynniki te przyczyniają się do odczuwania stresu zawodowego (ang. job strain ) – sytuacji w pracy łączącej wysokie wymagania i obciążenie pracą z niewielką swobodą w zakresie podejmowania decyzji i kontroli (Karasek i Theorell, 1990). Bez wątpienia wielu zawodom niewymienionym w towarzyszy przynajmniej umiarkowany stres zawodowy, jako że często wiążą się one z dużym obciążeniem pracą i niewielką swobodą organizacji własnej pracy (np. brak możliwości samodzielnego decydowania o czasie na przerwę). Są to często zawody o niskim statusie, takie jak pracownik fabryki, urzędnik pocztowy, kasjer w supermarkecie, taksówkarz czy kucharz. Stres zawodowy może niekorzystnie wpłynąć na zdrowie zarówno fizyczne, jak i psychiczne. Wykazano, że wiąże się on ze zwiększonym ryzykiem wystąpienia nadciśnienia (Schnall i Landsbergis, 1994), zawału serca (Theorell et al., 1998), ponownego wystąpienia choroby serca po pierwszym zawale (Aboa-Éboulé et al., 2007), znaczącej utraty lub wzrostu masy ciała (Kivimäki et al., 2006) i dużego epizodu depresyjnego (Stansfeld et al., 2012). Badanie podłużne przeprowadzone na grupie ponad 10 000 brytyjskich urzędników państwowych wykazało, że pracownicy poniżej 50. roku życia, u których wcześniej stwierdzono wysokie nasilenie stresu zawodowego, byli o 68% bardziej podatni na wystąpienie choroby serca w późniejszym czasie niż pracownicy poniżej 50. roku życia, którym towarzyszył niewielki stres zawodowy (Chandola et al., 2008). Niektórzy ludzie narażeni na chronicznie stresujące warunki pracy mogą doświadczyć wypalenia zawodowego (ang. job burnout ), czyli ogólnego poczucia emocjonalnego wyczerpania wskutek wykonywania swojej pracy (Maslach i Jackson, 1981). Wypalenie zawodowe często pojawia się u osób pracujących z ludźmi (m.in. pracowników opieki społecznej, nauczycieli, terapeutów i funkcjonariuszy policji). Wypalenie zawodowe ma trzy wymiary. Pierwszy z nich to wyczerpanie – poczucie, że wyczerpały się zasoby emocjonalne lub że jest się u kresu sił i nie ma się nic więcej do zaoferowania na poziomie psychologicznym. Po drugie, wypalenie zawodowe charakteryzuje się depersonalizacją – poczuciem emocjonalnego dystansu między pracownikiem a odbiorcami jego usług, często prowadzącym do bezdusznego, cynicznego lub obojętnego nastawienia do tych osób. Po trzecie, wypalenie zawodowe wiąże się z mniejszym poczuciem samorealizacji, czyli z tendencją do negatywnej oceny własnych osiągnięć zawodowych, co wyraża się np. poprzez doświadczenie niezadowolenia z dokonań zawodowych lub poczucie braku jakiegokolwiek wpływu pracy na życie innych osób. Stres zawodowy jest jednym z najpoważniejszych czynników ryzyka wypalenia zawodowego, najczęściej obserwowanego u pracowników starszych (w wieku 55–64 lata), stanu wolnego, których stanowisko wymaga pracy fizycznej. Z wypaleniem zawodowym powiązane jest również nadmierne spożycie alkoholu, brak aktywności fizycznej, nadwaga oraz zaburzenia fizyczne lub psychiczne występujące przynajmniej raz w życiu (Ahola et al., 2006). Ponadto z wypaleniem zawodowym często współwystępuje depresja. Duże badanie przeprowadzone na grupie ponad 3 tysięcy pracowników w Finlandii ujawniło, że połowa uczestników z silnym wypaleniem zawodowym cierpiała na jakąś formę zaburzeń depresyjnych (Ahola et al., 2005). Proces wypalenia zawodowego zazwyczaj przyspiesza przekonanie, że włożyliśmy w swoją pracę dużo energii, wysiłku i czasu, nie otrzymując zbyt wiele w zamian (np. za mało szacunku lub wsparcia ze strony innych lub za niskie wynagrodzenie) (Tatris et al., 2001). Zilustrujemy to przypadkiem Charlie-Ann, pielęgniarki, która pracowała w domu opieki. Pracowała ona wiele godzin dziennie za niewielkie pieniądze. Jej przełożony był despotyczny, niesympatyczny i niewspierający. Lekceważył życie osobiste Charlie-Ann, często informując ją w ostatniej chwili, że musi zostać kilka godzin dłużej po zakończeniu swojej zmiany lub że musi stawić się w pracy w weekend. Charlie-Ann miała w pracy bardzo wąski zakres niezależności. Nie miała wiele do powiedzenia w kwestii codziennych obowiązków i sposobu ich wykonywania. Nie mogła też robić przerw, dopóki szef nie dał jej wyraźnego pozwolenia. Charlie-Ann nie czuła, by jej ciężka praca była doceniania, zarówno przez przełożonych, jak i przez mieszkańców domu. Była bardzo niezadowolona z niskiego wynagrodzenia, na dodatek spotykała się z brakiem szacunku ze strony wielu pacjentów. Po kilku latach Charlie-Ann zaczęła nienawidzić swojej pracy. Jadąc do niej codziennie rano, czuła lęk i z czasem przyjęła bezduszne, wrogie nastawienie wobec wielu swoich podopiecznych. W końcu zaczęła czuć, że nie może dłużej nieść pomocy mieszkańcom domu opieki. Coraz częściej była nieobecna w pracy, aż pewnego dnia stwierdziła, że ma dość i rezygnuje. Teraz pracuje w sprzedaży i zarzeka się, że nigdy nie wróci do pielęgniarstwa. Zabawny przykład braku wsparcia ze strony przełożonych można znaleźć w komedii Życie biurowe z 1999 roku. Pod tym linkiem znajdziesz krótki fragment, w którym nieznośny szef sympatycznego bohatera w ostatniej chwili informuje go, że „musi” on przyjść do pracy w sobotę i niedzielę. Potencjalnym źródłem stresu mogą być nasze bliskie relacje ze znajomymi i rodziną – zwłaszcza ich negatywne aspekty, obejmujące nieprzyjazne wymiany zdań i konflikty, brak wsparcia emocjonalnego lub możliwości zwierzenia się, a także brak wzajemności. Takie negatywne aspekty są przytłaczające i zagrażają relacjom, a przez to stanowią źródło stresu. Stresory te mogą odcisnąć na nas piętno, zarówno pod względem emocjonalnym, jak i fizycznym. Badanie podłużne przeprowadzone w grupie ponad 9 tys. brytyjskich urzędników pokazało, że u osób, które deklarowały najwyższy poziom negatywnych interakcji w relacjach z najbliższymi, występuje o 34% większe ryzyko rozwoju poważnych chorób serca w ciągu 13–15 lat niż u osób, które doświadczyły najniższego poziomu negatywnych interakcji (De Vogli et al., 2007). Summary Stresory mogą być przewlekłe (długoterminowe) lub ostre (krótkoterminowe). Zaliczamy do nich traumatyczne wydarzenia, istotne zmiany życiowe, codzienne problemy oraz sytuacje, w których ludzie mają częstą styczność z wymagającymi i nieprzyjemnymi wydarzeniami. Wiele potencjalnych stresorów dotyczy zdarzeń lub sytuacji wymagających od nas wprowadzenia zmian w życiu (np. rozwód lub przeprowadzka w nowe miejsce). Thomas Holmes i Richard Rahe opracowali skalę Social Readjustment Rating Scale (SRRS) do pomiaru poziomu stresu w oparciu o przypisanie liczby jednostek stresowych (LCU) wydarzeniom życiowym, również pozytywnym, które z reguły wymagają pewnej adaptacji. Chociaż SRRS jest pod wieloma względami krytykowana, to liczne badania wykazały, że nagromadzenie wielu LCU wiąże się ze zwiększonym ryzykiem wystąpienia chorób. Szereg potencjalnych stresorów ma związek również z codziennymi problemami, czyli drobnymi irytacjami i dokuczliwościami, które z czasem mogą się kumulować. Dodatkowo szczególnie wymagająca praca dająca małą kontrolę nad środowiskiem zawodowym lub wiążąca się z niekorzystnymi warunkami może prowadzić do rozwoju stresu zawodowego, który przygotowuje podłoże pod wypalenie zawodowe. Review Questions Żeby zapłacić za zakupy spożywcze w supermarkecie, Paweł musiał czekać około 20 minut w długiej kolejce do jedynej czynnej kasy. Gdy nadeszła jego kolej, terminal odrzucił transakcję kartą debetową, bo na koncie nie było wystarczających środków. W związku z tym, że Paweł nie miał przy sobie karty kredytowej, musiał odłożyć zakupy z powrotem do koszyka i pojechać po nią do domu. Po drodze natknął się na czterokilometrowy korek spowodowany wypadkiem. Wydarzenia, które przytrafiły się Pawłowi, określa się mianem________. stresorów przewlekłych stresorów ostrych codziennych problemów przypadków dostosowania się C Czego dotyczy jeden z najpoważniejszych zarzutów wobec Social Readjustment Rating Scale? Liczy za mało pozycji. Została opracowana przy udziale wyłącznie przedstawicieli regionu Nowa Anglia w Stanach Zjednoczonych. Nie uwzględnia tego, jak dana osoba ocenia poszczególne wydarzenia. Nie ma na niej wydarzeń pozytywnych. C Który z poniższych wymiarów nie dotyczy wypalenia zawodowego? depersonalizacja wrogość wyczerpanie mniejsze poczucie samorealizacji B Critical Thinking Questions Przejrzyj pozycje Social Readjustment Rating Scale. Wybierz jedno wydarzenie i uzasadnij, w jaki sposób może ono wywołać dystres i eustres. Odpowiedzi mogą być różne. Przykładowo wiele osób może z niecierpliwością czekać na święta Bożego Narodzenia, jednak mogą one być stresujące, gdyż wymagają w pewnym stopniu dostosowania się. Spotkanie z rodziną może wywołać eustres, podczas gdy planowanie i liczne podróże mogą spowodować dystres. Obdarowywanie innych prezentami i obserwowanie ich radości przyczynią się do eustresu, ale obciążenie finansowe związane z kupowaniem podarków może wywołać dystres. Każda z tych rzeczy wymaga pewnego niewielkiego dostosowania się i tym samym może być uznana w jakimś stopniu za stresującą. Poziom wypalenia zawodowego bywa wysoki u osób pracujących z ludźmi. Uwzględniając trzy wymiary wypalenia zawodowego, wyjaśnij, w jaki sposób różne aspekty pracy typowe dla funkcjonariusza policji mogą doprowadzić do wypalenia zawodowego w tej profesji. Odpowiedzi będą różne. Wiele rozmów telefonicznych przeprowadzanych przez policjantów bywa emocjonalnie męczących (dotyczą one m.in. tragicznych zgonów, samobójstw i dzieci żyjących w trudnych warunkach), co ostatecznie może prowadzić do uczucia wyczerpania i stwierdzenia przez daną osobę, że nie może już dłużej radzić sobie z takimi sprawami. Depersonalizacja może się pojawić, gdy policjantka pracuje w środowisku, w którym odczuwa brak szacunku i jest niedoceniana, co czasami skutkuje cynicznym i bezdusznym nastawieniem do ludzi. Ciągłe lekceważenie przez innych niekiedy ogranicza u policjantów poczucie samorealizacji. Personal Application Question Załóżmy, że chcesz opracować badanie mające sprawdzić zależność między stresem a tendencją do zachorowań, ale nie możesz skorzystać z Social Readjustment Rating Scale. Jak zmierzysz poziom stresu? Jak zmierzysz podatność na choroby? Co zrobisz, by stwierdzić, że między stresem a chorobą istnieje związek przyczynowo-skutkowy? codzienne problemy (ang. daily hassles ) drobne, lecz irytujące zdarzenia, które stanowią część naszego codziennego życia i mogą być przyczyną stresu wypalenie zawodowe (ang. job burnout ) poczucie emocjonalnego wyczerpania i cynizm w odniesieniu do wykonywanej pracy; na wypalenie składają się trzy elementy: wyczerpanie, depersonalizacja i poczucie braku osobistych osiągnięć napięcie w pracy (ang. job strain ) sytuacja, w której wysokość wymagań wobec pracownika nie idzie w parze z zakresem kontroli nad wykonywanym zadaniem skala stresu Holmesa i Rahe’go (SRRS) (ang. Social Readjustment Rating Scale (SRRS) ) popularne narzędzie pozwalające mierzyć poziom stresu; lista 43 potencjalnie stresujących zdarzeń, z których każde ma przypisaną pewną numeryczną wartość określającą, jak dużych przystosowań wymaga od narażonej na nie jednostki", "section": "Stresory", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Stres a choroby Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić naturę zaburzeń psychofizjologicznych Opisać układ odpornościowy i wpływ stresu na jego funkcjonowanie Opisać, w jaki sposób stres i czynniki emocjonalne mogą prowadzić do rozwoju i zaostrzenia chorób układu krążenia, astmy i napięciowych bólów głowy W niniejszym rozdziale omówimy zagadnienie związku stresu i chorób. Badacz stresu Robert Sapolsky (ur. 1957) twierdził, że: choroby związane ze stresem pojawiają się przede wszystkim dlatego, że często aktywujemy system fizjologiczny, który ewoluował, by odpowiadać na nagłe wypadki i zagrożenia, ale my utrzymujemy go w stanie aktywności miesiącami, martwiąc się o kredyty hipoteczne, relacje z innymi i brak awansu w pracy (str. 6). Jak już pisaliśmy wcześniej, na odpowiedź na stres składa się złożony system reakcji fizjologicznych. Reakcje te z puntu widzenia biologicznego są korzystne, gdyż przygotowują nas do radzenia sobie z potencjalnie niebezpiecznymi lub groźnymi sytuacjami. Negatywny wpływ na zdrowie występuje wtedy, gdy reakcje fizjologiczne się utrzymują – dzieje się tak w przypadku bardzo silnego albo chronicznego stresu. Zaburzenia psychosomatyczne Przewlekłe lub bardzo intensywne reakcje fizjologiczne będące odpowiedzią na stres mogą się kumulować. Przykładowo, wysokie ciśnienie tętnicze występujące u osoby odczuwającej duży stres zawodowy może w końcu odcisnąć piętno na kondycji jej serca i przyczynić się do wystąpienia zawału lub niewydolności krążeniowej. Osoba narażona na wysokie stężenie hormonu stresu – kortyzolu – może stać się podatna na infekcje lub choroby ze względu na osłabione działanie układu odpornościowego (McEwen, 1998). Neurobiolodzy Robert Sapolsky i Carol Shively od ponad 30 lat prowadzą szeroko zakrojone badania nad stresem u naczelnych innych niż ludzie. Wykazali oni, że pozycja w hierarchii społecznej jest predyktorem stresu, stanu zdrowia psychicznego i chorób. Ich badania rzucają światło na to, jak stres może prowadzić do negatywnych skutków zdrowotnych u osób napiętnowanych lub wykluczonych. Tutaj znajdziesz dwa filmy z udziałem Sapolsky'ego: jeden dotyczy zabójczego stresu , a drugi to wspaniały obszerny film dokumentalny wyprodukowany przez National Geographic . Zaburzenia fizyczne lub choroby, których objawy są spowodowane lub nasilone stresem i czynnikami emocjonalnymi, nazywamy zaburzeniami psychosomatycznymi (psychofizjologicznymi) (ang. psychophysiological disorders ). Symptomy fizyczne ( soma oznacza ciało) zaburzeń psychosomatycznych są realne i są wywoływane lub nasilane przez czynniki psychologiczne. zawiera zestawienie często spotykanych zaburzeń psychosomatycznych. Rodzaje zaburzeń psychofizjologicznych (na postawie Everly i Lating, 2002). Zaburzenie psychosomatyczne Przykłady Układu krążenia nadciśnienie tętnicze, choroba wieńcowa Żołądkowo-jelitowe zespół jelita drażliwego Oddechowe astma, alergie Mięśniowo-szkieletowe ból pleców, bóle głowy Skórne trądzik, egzema, łuszczyca Howard Steven Friedman (ur. 1972) i Stephanie Booth‐Kewley po przeanalizowaniu 101 badań dotyczących związków między cechami osobowości i chorobami zasugerowali (1987) istnienie cech osobowości podatnej na choroby, w tym depresyjność, złość/wrogość i niepokój. Badanie przeprowadzone w grupie ponad 61 000 Norwegów wykazało, że depresja (ang. depression ) jest głównym czynnikiem ryzyka zdecydowanej większości zgonów będących konsekwencją chorób (Mykletun et al., 2007). Neurotyzm (ang. neuroticism ) – cechę osobowości odzwierciedlającą skłonność do niepokoju, obniżonego nastroju i smutku – uznano zaś za czynnik zwiększonego ryzyka przewlekłych problemów zdrowotnych i zgonu (Ploubidis i Grundy, 2009). Poniżej omówimy dwa rodzaje zaburzeń psychosomatycznych, o których dość dużo wiadomo: choroby układu krążenia oraz astmę. Na początku należy jednak omówić zagadnienia dotyczące układu odpornościowego. Status społeczny, stres i opieka zdrowotna Psychologowie dawno już ustalili, że status społeczny (np. status ekonomiczny, przywileje) jest ściśle powiązany z poziomem stresu, zdrowiem i dobrym samopoczuciem. Wśród czynników, które przyczyniają się do wysokiego poziomu stresu i złego stanu zdrowia wśród osób o niższym statusie społecznym, można wymienić brak kontroli nad sytuacją i oraz brak przewidywalności (np. zagrożenie utratą pracy w związku z sytuacją gospodarczą) oraz nierówność zasobów (np. gorszy dostęp do opieki zdrowotnej i innych zasobów społecznych) (Marmot i Sapolsky, 2014). W Stanach Zjednoczonych częstą konsekwencją nierówności zasobów związanych ze statusem społecznym są warunkowane płcią lub pochodzeniem rasowym różnice w dostępie do opieki medycznej. Na przykład w Stanach Zjednoczonych młodzież homoseksualna, biseksualna i transpłciowa często doświadcza złej jakości opieki w wyniku stygmatyzacji, braku zrozumienia i niewrażliwości wśród pracowników opieki zdrowotnej (Hafeez et al., 2017). Zaburzenia funkcjonowania układu odpornościowego Układ odpornościowy (ang. immune system ) jest niczym system nadzoru i ochrony organizmu, którego zadaniem jest utrzymanie naszego ciała w zdrowiu i m.in. eliminowanie szkodliwych bakterii, wirusów, które przeniknęły do wnętrza organizmu (Everly i Lating, 2002). Czasami jednak układ odpornościowy funkcjonuje nieprawidłowo i np. omyłkowo uznaje zdrowe komórki ciała za intruzów i je atakuje. W takiej sytuacji mówimy o chorobie autoimmunologicznej. Może zostać nią zaatakowana praktycznie każda tkanka i organ. Na przykład reumatoidalne zapalenie stawów, choroba autoimmunologiczna obejmująca stawy, prowadzi do bólu stawów, ich sztywności i ograniczenia funkcjonalności. Toczeń rumieniowaty, choroba autoimmunologiczna skóry, może wywoływać wysypkę i obrzęk skóry. Choroba Gravesa–Basedowa, autoimmunologiczna choroba tarczycy, objawia się zmęczeniem, przybieraniem na wadze i bólami mięśni (National Institute of Arthritis and Musculoskeletal and Skin Diseases [NIAMS], 2012). Układ odpornościowy może także działać mniej sprawnie i nie być w stanie spełniać swoich funkcji. Taką sytuację określa się mianem immunosupresji (ang. immunosuppression ), czyli obniżonej aktywności układu odpornościowego. Ludzie doświadczający immunosupresji stają się podatni na liczne infekcje, choroby i dolegliwości. Przykładowo zespół nabytego niedoboru odporności (AIDS) to poważna, śmiertelna choroba wywołana ludzkim wirusem niedoboru odporności (HIV), który osłabia układ odpornościowy, atakując i niszcząc komórki wytwarzające przeciwciała, przez co jego nieleczony nosiciel staje się podatny na różnego rodzaju zakażenia oportunistyczne (Powell, 1996). Stresory a funkcjonowanie układu odpornościowego Badacze od ponad trzech dekad próbują się dowiedzieć, czy stres i negatywne stany emocjonalne mogą oddziaływać na funkcjonowanie układu odpornościowego. Odkrycia poczynione w tym okresie znacząco zmieniły oblicze psychologii zdrowia (Kiecolt-Glaser, 2009). Psychoneuroimmunologia (ang. psychoneuroimmunology ) to dział medycyny zajmujący się badaniem wpływu czynników psychologicznych, takich jak stres, na układ odpornościowy i jego funkcjonowanie. Termin „psychoneuroimmunologia” został po raz pierwszy użyty w 1981 roku jako tytuł książki zawierającej przegląd dowodów na powiązania między mózgiem, układem hormonalnym a układem odpornościowym (Zacharie, 2009). Dziedzina ta w znacznym stopniu rozwinęła się dzięki odkryciu, że istnieje związek między ośrodkowym układem nerwowym a układem odpornościowym. Najbardziej przekonujące dowody na powiązania między mózgiem a układem odpornościowym pochodzą z badań, w których wykazano, że reakcje odpornościowe zwierząt mogą być klasycznie uwarunkowane (Everly i Lating, 2002). Przykładowo Ader i Cohen (1975) zestawili wodę smakową ( bodziec warunkowy ) z lekiem immunosupresyjnym ( bodziec bezwarunkowy ) wywołującym chorobę ( reakcja bezwarunkowa ). Nie jest zaskoczeniem, że szczury mające styczność z tym połączeniem wytworzyły warunkową awersję do wody smakowej. Jednak sam smak wody wywoływał później immunosupresję (reakcja warunkowa), co sugeruje, że układ odpornościowy został uwarunkowany. Wiele późniejszych badań dowiodło, że reakcje ze strony układu odpornościowego można klasycznie uwarunkować zarówno u zwierząt, jak i u ludzi (Ader i Cohen, 2001). Zatem skoro klasyczne warunkowanie może wpłynąć na odporność, to inne czynniki psychologiczne prawdopodobnie także mogą to zrobić. W setkach badań, w których wzięły udział łącznie dziesiątki tysięcy uczestników, testowano wiele rodzajów krótko- i długotrwałych stresorów oraz badano ich wpływ na układ odpornościowy (m.in. uwzględniono takie stresory jak: przemówienia publiczne, egzaminy na studiach medycznych, bezrobocie, kłótnie małżeńskie, rozwód, śmierć współmałżonka, wypalenie i stres zawodowy, opieka nad członkiem rodziny z chorobą Alzheimera, ekspozycja na surowy klimat Antarktyki). Wielokrotnie wykazano, że liczne rodzaje stresorów wiążą się z nieprawidłowym lub osłabionym funkcjonowaniem układu odpornościowego (Glaser i Kiecolt-Glaser, 2005; Kiecolt-Glaser et al., 2002a; Segerstrom i Miller, 2004). Podczas oceny tych wyników należy pamiętać o wyraźnym fizjologicznym powiązaniu mózgu z układem odpornościowym. Na przykład współczulny układ nerwowy unerwia narządy układu odpornościowego, takie jak grasica, szpik kostny, śledziona, a nawet węzły chłonne (Maier et al., 1994). Ponadto, jak już wcześniej wspomniano, hormony stresu wydzielane podczas aktywacji osi podwzgórze–przysadka-nadnercza mogą negatywnie wpływać na funkcjonowanie układu odpornościowego. Dzieje się tak m.in. z powodu zahamowania produkcji limfocytów (ang. lymphocytes ), białych krwinek krążących w płynach ustrojowych, odgrywających ważną rolę w reakcji odpornościowej organizmu (Everly i Lating, 2002). Do najbardziej wyrazistych przykładów związku między stresem a upośledzonym funkcjonowaniem układu odpornościowego należą wyniki badań, w których ochotnicy zostali wystawieni na działanie wirusów. Badacze założyli, że skoro stres osłabia układ odpornościowy, to choroby powinny występować częściej u osób doświadczających silnego stresu niż u mniej zestresowanych ludzi. W jednym z bardziej znanych eksperymentów wykorzystujących tę metodę badacze przeprowadzili wywiad z 276 zdrowymi ochotnikami na temat niedawnych stresujących doświadczeń (Cohen et al., 1998). Po rozmowie badanym podano krople do nosa z wirusem przeziębienia (gdybyście zastanawiali się, dlaczego ktoś chciał uczestniczyć w badaniu, w którym jest się traktowanym w taki sposób, dodajmy, że uczestnikom zapłacono za fatygę 800 dolarów). W kolejnej fazie eksperymentu okazało się, że uczestnicy, którzy deklarowali doświadczanie przewlekłych stresorów przez ponad miesiąc – w szczególności doznawali trudności związanych z pracą lub relacjami z innymi – wykazywali znacznie mniejszą odporność na podanego wirusa niż uczestnicy, którzy nie doświadczyli przewlekłych stresorów ( ). Wykres przedstawia odsetek uczestników badania, u których rozwinęło się przeziębienie (po ekspozycji na wirusa) po tym, jak zadeklarowali występowanie przewlekłych stresorów przez co najmniej miesiąc, trzy miesiące i sześć miesięcy (na podstawie Cohen et al., 1998). W innym badaniu ochotnikom w starszym wieku podano szczepionkę przeciwko wirusowi grypy. Osoby zajmujące się współmałżonkiem chorującym na chorobę Alzheimera (będące tym samym pod wpływem przewlekłego stresu) wykazały słabszą reakcję przeciwciał po otrzymaniu szczepienia niż grupa kontrolna (Kiecolt-Glaser et al., 1996). Inne badania wykazały, że stres spowalnia gojenie się ran przez pogorszenie odpowiedzi immunologicznej mającej istotne znaczenie w tym procesie (Glaser i Kiecolt-Glaser, 2005). Badani deklarujący wyższy poziom stresu wytwarzali mniej białek immunologicznych niezbędnych do gojenia się ran (Glaser et al., 1999). Zatem stres jest nie tyle mieczem, który zabija rycerza, ile mieczem niszczącym tarczę rycerza, a taką tarczą jest właśnie układ odpornościowy. Stres a starzenie: opowieść o telomerach Czy zastanawialiście się kiedyś, dlaczego osoby zestresowane często mizernie wyglądają? Zgodnie z wynikami pionierskiego badania z 2004 roku jest to spowodowane faktem, że stres rzeczywiście przyspiesza procesy starzenia komórkowego. Wygląda na to, że pod wpływem stresu skróceniu ulegają telomery, czyli segmenty łańcucha DNA, które zabezpieczają zakończenia chromosomów. Skrócone telomery mogą hamować lub blokować podział komórkowy, w tym wzrost i proliferację nowych komórek, prowadząc tym samym do szybszego starzenia się organizmu (Sapolsky, 2004). W jednym z badań porównano długość telomerów (ang. telomere ) w białych krwinkach u matek przewlekle chorych dzieci z ich długością u matek zdrowych dzieci (Epel et al., 2004). Matki dzieci cierpiących na choroby przewlekłe doświadczają prawdopodobnie większego stresu niż te, których dzieci są zdrowe. Im dłużej matka opiekowała się chorym dzieckiem, tym krótsze były jej telomery (korelacja między liczbą lat opieki a długością telomeru wyniosła r = -0,40). Co więcej, wyższy poziom postrzeganego stresu był także negatywnie skorelowany z długością telomeru ( r = -0,31). Badacze odkryli również, że – w przeciwieństwie do matek najmniej zestresowanych – średnia długość telomeru u zestresowanych mam była zbliżona do obserwowanej u osób, których wiek przekracza o 9-17 lat średni wiek tych kobiet. Od tamtej pory przeprowadzono wiele innych badań, by odkryć powiązania między stresem a uszkodzeniami telomerów (Blackburn i Epel, 2012). Niektóre z nich wykazały nawet, że stres może zacząć skracać telomery w dzieciństwie, a być może jeszcze przed narodzinami. Przykładowo, w jednym z badań dowiedziono, że ekspozycja dzieci na przemoc (np. przemoc domowa ze strony matki, gnębienie i znęcanie się oraz maltretowanie fizyczne) przyspiesza erozję telomerów w wieku od 5 do 10 lat (Shalev et al., 2013). Inne badanie pokazało, że młode osoby dorosłe, których matki doświadczyły silnego stresu podczas ciąży, miały krótsze telomery niż ich rówieśnicy, których matki miały spokojny przebieg ciąży, bez stresu (Entringer et al., 2011). Ponadto destrukcyjny wpływ stresu z dzieciństwa na telomery może przeciągnąć się do okresu dorosłości. W badaniu przeprowadzonym w grupie ponad 4 tysięcy Brytyjek w wieku 41–80 lat stwierdzono zależność między negatywnymi doświadczeniami z dzieciństwa (np. przemoc fizyczna, wyrzucenie z domu, rozwód rodziców) a skróconą długością telomerów (Surtees et al., 2010), przy czym wielkość telomerów malała wraz ze wzrostem liczby negatywnych doświadczeń, co pokazano na ). Telomery są krótsze u dorosłych, którzy doświadczyli większej traumy w dzieciństwie (na podstawie Blackburn i Epel, 2012). Obecnie prowadzone są analizy szczegółowych mechanizmów komórkowych i fizjologicznych łączących krótkie telomery ze stresem i chorobami. Badania nad telomerami przypominają nam o jeszcze jednej rzeczy: mianowicie że stres, szczególnie we wczesnych latach życia, może być równie szkodliwy dla zdrowia, jak palenie papierosów lub niezdrowe jedzenie (Blackburn i Epel, 2012). Choroby układu krążenia Układ krążenia składa się z serca i krwiobiegu. Przez wiele lat choroby układu krążenia (ang. cardiovascular disorders ) były głównym przedmiotem badań zaburzeń psychofizjologicznych ze względu na centralną rolę tego układu w odpowiedzi na stres (Everly i Lating, 2002). Jedną z takich dolegliwości są choroby serca . Co roku przyczyniają się one do jednego na trzy zgony w Stanach Zjednoczonych i stanowią główną przyczynę śmierci w krajach rozwiniętych (Centers for Disease Control and Prevention [CDC], 2011; Shapiro, 2005). Objawy chorób serca różnią się w zależności od rodzaju, jednak na ogół towarzyszy im dusznica bolesna – ból lub dyskomfort w klatce piersiowej powstający, gdy do serca trafia za mało krwi (Office on Women’s Health, 2009). Ból często sprawia wrażenie ucisku w klatce piersiowej. Zazwyczaj pojawia się też uczucie palenia w klatce piersiowej i płytki oddech. Ten ból i dyskomfort mogą promieniować do ramion, karku, żuchwy, żołądka (powodując mdłości) oraz szyi (American Heart Association [AHA], 2012a) ( ). U mężczyzn i kobiet często występują odmienne objawy zawału serca. Głównym czynnikiem ryzyka chorób serca jest nadciśnienie tętnicze (ang. hypertension ), czyli wysokie ciśnienie krwi. Zmusza ono mięsień sercowy do wzmożonej pracy i w efekcie powoduje jego przeciążenie. Niekontrolowane nadciśnienie tętnicze może doprowadzić do zawału serca, udaru mózgu lub niewydolności serca. Może również wywołać niewydolność nerek i doprowadzić do utraty wzroku. Nadciśnienie tętnicze to poważna choroba układu krążenia, nazywana czasem cichym zabójcą, gdyż często nie daje żadnych objawów – osoba z wysokim ciśnieniem może nawet nie być tego świadoma (AHA, 2012b). Zidentyfikowano wiele czynników ryzyka rozwoju chorób układu krążenia. Należą do nich czynniki społeczne, takie jak starzenie się, poziom dochodów, wykształcenie, wykonywany zawód (oraz sam fakt, czy jest się zatrudnionym i czy jest to zatrudnienie stabilne), jak również czynniki behawioralne, do których zalicza się dietę, palenie papierosów, poziom aktywności fizycznej oraz ilość spożywanego alkoholu. Dodatkowymi czynnikami ryzyka są otyłość i cukrzyca (World Health Organization [WHO], 2013). W ciągu ostatnich kilkudziesięciu lat nastąpił znaczny wzrost świadomości znaczenia stresu oraz innych czynników psychologicznych dla kondycji układu krążenia (Nusair et al., 2012). Rzeczywiście, ekspozycja na różnego rodzaju stresory wiąże się z problemami sercowo-naczyniowymi. W przypadku nadciśnienia do takich stresorów zalicza się stres zawodowy (Trudel et al., 2010), klęski żywiołowe (Saito et al., 1997), konflikty małżeńskie (Nealey-Moore et al., 2007) oraz ekspozycję na wysoki poziom hałasu ulicznego w domu (de Kluizenaar et al., 2007). Ponadto wykazano, że ciśnienie krwi podnoszą stresujące zadania wykonywane przez ochotników podczas badań naukowych, np. liczenie w pamięci pod presją czasu, zanurzanie dłoni w lodowatej wodzie (tzw. cold pressor test ), rysowanie w odbiciu lustrzanym czy wystąpienia publiczne (Phillips, 2011). Jakim typem osobowości jesteś: A czy B? Zdarza się, że koncepcje i teorie badawcze rodzą się z pozornie banalnych obserwacji. W latach 50. XX wieku kardiolog Meyer Friedman (1910-2001) oglądał meble w poczekalni swojego gabinetu – były to tapicerowane fotele z podłokietnikami. Friedman postanowił wymienić ich obicia. Tapicer, który przyszedł do gabinetu, żeby wykonać zlecenie, skomentował, że na fotelach widać specyficzny sposób zużycia – przetarte były przednie brzegi siedzisk, a także przednie krawędzie podłokietników. Wyglądało to tak, jakby pacjenci kardiologiczni dotykali i ściskali przednią część podłokietników i siedzieli dosłownie na brzegu siedziska (Friedman i Rosenman, 1974). Czy różnili się oni w jakiś sposób od innych pacjentów? A jeśli tak, to na czym polegała ta różnica? Po zbadaniu tego zagadnienia Friedman i jego współpracownik, Ray Rosenman , doszli do wniosku, że ludzie ze skłonnościami do chorób serca na ogół myślą, czują i postępują inaczej niż osoby bez takich skłonności. Osoby te mają tendencję do popadania w silnie zmotywowany pracoholizm, przejmują się terminami i żyją w ciągłym pośpiechu. Według Friedmana i Rosenmana osoby te wykazują tzw. wzorzec zachowania typu A (ang. type A ), natomiast osoby bardziej zrelaksowane i wyluzowane scharakteryzowano jako typ B (ang. type B ) ( ). Friedman i Rosenman z zaskoczeniem odkryli, że wśród objętych obserwacją badanych choroby serca obserwowano siedem razy częściej u przedstawicieli osobowości typu A niż typu B (Friedman i Rosenman, 1959). (a) Osobowości typu A określa się mianem silnie zmotywowanych, (b) podczas gdy osobowości typu B charakteryzuje się jako wyluzowane. (Źródło zdjęcia a: modyfikacja pracy Grega Hernandeza; źródło zdjęcia b: modyfikacja pracy Elverta Barnesa). Do głównych komponentów wzorca zachowania typu A zalicza się agresywną, przewlekłą walkę, by osiągać coraz więcej w coraz krótszym czasie (Friedman i Rosenman, 1974). Szczególne cechy charakterystyczne osobowości typu A obejmują nadmierną chęć rywalizacji, poczucie ciągłego pośpiechu, niecierpliwość i wrogie nastawienie do innych (szczególnie tych, którzy wejdą danej osobie w drogę). Przykładem osoby wykazującej wzorzec zachowania typu A jest Jeffrey, który nawet jako dziecko był zaciekły i zmotywowany. Był najlepszy w szkole, był kapitanem drużyny pływackiej i ukończył z wyróżnieniem jeden z uniwersytetów Ligi Bluszczowej (ang. Ivy League ), czyli najlepszych uniwersytetów w USA. Jeffrey sprawia wrażenie, jakby nie potrafił się zrelaksować. Przez cały czas nad czymś pracuje, nawet w weekendy. Jednak zawsze odnosi wrażenie, że doba ma za mało godzin, by zrobił wszystko, co – w swoim odczuciu – powinien. Zgłasza się na ochotnika do realizacji dodatkowych zadań w pracy i często przynosi pracę do domu. Regularnie kładzie się spać bardzo późno, bo czuje, że jeszcze nie wszystko zrobił. W relacjach ze współpracownikami Jeffrey jest wybuchowy. Często wyraźnie się denerwuje na kolegów lub koleżanki z pracy, którzy – w jego odczuciu – pracują za wolno lub których praca nie spełnia jego standardów. Gdy ktoś mu przerywa, reaguje wrogością. W jego małżeństwie pojawiają się problemy ze względu na brak czasu dla rodziny. Gdy Jeffrey utknie w korku w drodze do pracy lub z powrotem, cały czas wciska klakson i głośno przeklina innych kierowców. W wieku 52 lat Jeffrey dostaje pierwszego zawału serca. Do lat 70. XX wieku większość praktykujących kardiologów uważała, że wzorzec zachowania typu A stanowi istotny czynnik ryzyka zachorowania na choroby serca (Friedman, 1977). Rzeczywiście wiele wczesnych badań podłużnych wykazało zależność między tym typem osobowości a wystąpieniem choroby wieńcowej w przyszłości (Rosenman et al., 1975; Haynes et al., 1980). Dalsze badania analizujące powiązania między typem A i chorobami układu krążenia nie potwierdziły jednak wcześniejszych wyników (Glassman, 2007; Myrtek, 2001). W związku z tym, że teoria osobowości typu A nie potwierdziła się, zawodząc nadzieje badaczy, przekierowali oni swoją uwagę na próbę określenia, czy jakieś konkretne komponenty osobowości typu A są predyktorami choroby serca. Szeroko zakrojone badania wyraźnie sugerują, że aspekt złości/wrogości we wzorcu zachowania typu A może być jednym z najważniejszych czynników rozwoju chorób serca. Zależność ta została pierwotnie opisana we wspomnianym powyżej badaniu przeprowadzonym przez Haynes i wsp. (1980). Badacze stwierdzili, że tłumiona wrogość znacznie podnosi ryzyko wystąpienia choroby wieńcowej zarówno u mężczyzn, jak i u kobiet. W jednym z badań przebadano ponad 1 055 mężczyzn w wieku 32–48 lat. Na początku badania wypełnili oni ankietę oceniającą ich reakcję na presję. Niektórzy przyznali, że reagują silną złością (ang. anger ), a inni zadeklarowali mniejsze nasilenie tej emocji. Kilkadziesiąt lat później badacze odkryli, że respondenci, którzy wcześniej wskazywali najwyższy poziom złości, byli ponad 6 razy bardziej podatni na wystąpienie zawału serca przed 55. rokiem życia niż ci, którzy nie deklarowali dużej złości. Dodatkowo, u silniej reagujących badanych stwierdzono 3,5-krotnie większe ryzyko zachorowania na choroby układu krążenia (Chang et al., 2002). Z punktu widzenia zdrowia zdecydowanie nie opłaca się więc być młodym gniewnym. Po przeprowadzeniu metaanalizy 35 badań z lat 1983–2006 Chida i Steptoe (2009) doszli do wniosku, że przeważająca część dowodów sugeruje, iż złość i wrogość stanowią poważne, długotrwałe czynniki ryzyka niepożądanych skutków dla układu krążenia zarówno u osób zdrowych, jak i u cierpiących na choroby serca. Jednym z powodów, dla których gniewny i wrogi nastrój może się przyczyniać do rozwoju chorób układu krążenia, jest fakt, że wywołuje on napięcie w relacjach społecznych, przede wszystkim w formie nieprzyjaznych kontaktów z innymi. U wrogo nastawionych osób napięcie to może przyczynić się do wywołania reakcji układu krążenia sprzyjającej chorobom (Vella et al., 2012). W tym transakcyjnym modelu wrogość i napięcie w relacjach tworzą pewien cykl ( ). Zgodnie z transakcyjnym modelem wrogości do przewidywania interakcji społecznych (Vella et al., 2012) myśli i uczucia osoby wrogo nastawionej sprzyjają nieprzyjaznemu zachowaniu względem innych, co z kolei nasila reakcje komplementarne innych osób, wzmacniając tym samym wrogie nastawienie i potęgując cykliczny charakter tej relacji. Załóżmy, dla przykładu, że Kasia jest osobą wrogo nastawioną. Ma cyniczne, nieufne podejście do innych i często uważa, że ludzie są dla niej zagrożeniem. W kontaktach z ludźmi przyjmuje bardzo defensywną postawę, nawet jeśli zna kogoś od lat. Zawsze szuka sygnałów świadczących o tym, że inne osoby jej nie szanują lub ją lekceważą. Codziennie rano pod prysznicem powtarza sobie w myślach, co powie komuś, kto powiedział lub zrobił coś, co ją rozgniewało, np. wygłosił pogląd polityczny sprzeczny z jej ideologią. Po zakończeniu tych mentalnych rozgrywek Kasia często uśmiecha się i myśli o zemście na wszystkich, którzy tego dnia ją rozdrażnią. W sytuacjach społecznych jest konfliktowa i na ogół używa ostrego tonu, co często prowadzi do bardzo nieprzyjemnych interakcji z innymi, a czasem kończy się kłótnią. Jak sobie zapewne wyobrażasz, Kasia nie jest szczególnie lubiana przez ludzi, w tym także przez swoich współpracowników, sąsiadów, a nawet członków rodziny. Albo za wszelką cenę jej unikają, albo odpowiadają jej opryskliwie, co sprawia, że Kasia staje się jeszcze bardziej cyniczna i nieufna względem innych, a jej nastawienie jest jeszcze bardziej wrogie. Wrogość Katarzyny – na skutek jej własnych działań – stworzyła nieprzyjazne środowisko, które cyklicznie powoduje, że staje się ona jeszcze bardziej wrogo nastawiona i rozzłoszczona, co przygotowuje grunt pod problemy z układem krążenia. Oprócz złości i wrogości, z chorobami układu krążenia powiązano szereg innych negatywnych stanów emocjonalnych, m.in. negatywny afekt i depresję (Suls i Bunde, 2005). Negatywna emocjonalność (ang. negative affectivity ) to tendencja do doświadczania stanów przygnębienia pociągających za sobą złość, pogardę, odrazę, poczucie winy, strach i nerwowość (Watson et al., 1988). Powiązano ją z rozwojem zarówno nadciśnienia, jak i chorób serca. Ponad 3 tys. początkowo zdrowych uczestników poddano badaniu podłużnemu trwającemu 22 lata. U osób z początkowo wyższym poziomem negatywnej emocjonalności w momencie rozpoczęcia badania znacznie częściej w późniejszych latach rozwijało się nadciśnienie tętnicze niż u uczestników z niższym poziomem negatywnego afektu (Jonas i Lando, 2000). Ponadto badanie ponad 10 tys. londyńskich urzędników w średnim wieku, trwające średnio przez 12,5 roku, ujawniło, że osoby, które wcześniej w kwestionariuszu badającym negatywną emocjonalność znalazły się w jednej trzeciej respondentów z najwyższymi wynikami miały 32% wyższą podatność na chorobę wieńcową, zawał serca lub dusznicę bolesną niż badani, których wynik plasował się wśród jednej trzeciej uczestników z najniższymi wynikami (Nabi et al., 2008). Wydaje się zatem, że negatywna emocjonalność jest potencjalnie istotnym czynnikiem ryzyka rozwoju chorób układu krążenia. Depresja a serce W sztuce i tradycji ludowej od wieków łączy się serce oraz uczucia (Glassman i Shapiro, 1998), a wyrażenie złamane serce , oznaczające zły stan emocjonalny spowodowany zawodem miłosnym, istnieje w wielu językach. Prawdopodobnie pierwszą osobą, która dostrzegła związek między depresją (ang. depression) a chorobami serca (ang. heart disease ), był Benjamin Malzberg (1893–1975). W pracy opublikowanej w 1937 r. zauważył on, że umieralność wśród pacjentów hospitalizowanych z powodu melancholii (takim terminem określano niegdyś depresję) była sześciokrotnie wyższa niż w populacji ogólnej. W pewnym badaniu przeprowadzonym w Danii pod koniec lat 70. XX wieku obserwacji poddano 8 tys. osób z chorobą afektywną dwubiegunową (charakteryzującą się występowaniem zarówno epizodów depresji, jak i manii). Jego wyniki pokazały wzrost o blisko 50% liczby zgonów z powodu chorób krążenia wśród tych pacjentów w stosunku do ogólnej populacji Duńczyków (Weeke, 1979). Do początku lat 90. ubiegłego stulecia zgromadzono dowody potwierdzające, że osoby cierpiące na depresję, obserwowane przez długie okresy, miały większe ryzyko wystąpienia choroby wieńcowej i śmierci z powodu zatrzymania akcji serca (Glassman, 2007). W badaniu przeprowadzonym w grupie ponad 700 mieszkańców Danii stwierdzono o 71% większe prawdopodobieństwo przebycia zawału serca przez badanych z najwyższym poziomem depresji niż u tych, których wyniki na skali depresji były niższe (Barefoot i Schroll, 1996). przedstawia gradację ryzyka wystąpienia zawału serca dla mężczyzn i kobiet. Wykres przedstawia częstość występowania zawału serca u mężczyzn i kobiet według kwartyla wyników na skali depresji (na postawie Barefoot i Schroll, 1996). Po ponad 40 latach badań można obecnie z pewnością stwierdzić, że istnieje następująca zależność: pacjenci z chorobą układu krążenia mają większy poziom depresji niż ogół populacji, a osoby cierpiące na depresję mają większe ryzyko zachorowania na choroby serca i wykazują wyższą umieralność niż osoby, które nie doświadczają tego zaburzenia (Hare, 2014). Im poważniejsza depresja, tym wyższe ryzyko (Glassman, 2007). Weźmy pod uwagę następujące przykłady: Umieralność z powodu chorób układu krążenia była istotnie wyższa u osób cierpiących na depresję. U mężczyzn z depresją stwierdzono o 50% większe ryzyko zgonu z powodu chorób układu krążenia, a u kobiet z depresją – o 70% większe (Ösby et al., 2001). Metaanaliza 10 badań podłużnych przeprowadzonych wśród początkowo zdrowych osób ujawniła, że u uczestników wykazujących nasilone objawy depresji występuje średnio o 64% wyższe ryzyko rozwoju chorób serca niż u badanych z mniejszym nasileniem objawów (Wulsin i Singal, 2003). Badanie przeprowadzone w grupie 63 000 dyplomowanych pielęgniarek pokazało, że te z nich, w których na początku badania rozpoznano więcej objawów depresji, miały o 49% większe prawdopodobieństwo doświadczenia śmiertelnej choroby serca w ciągu 12 lat (Whang et al., 2009). Amerykańskie Towarzystwo Kardiologiczne zaleca rutynowe badania przesiewowe w kierunku depresji wśród pacjentów z chorobami sercowo-naczyniowymi (Lichtman et al., 2008), a w 2014 r. wydało rekomendację, by uwzględnić depresję jako czynnik ryzyka wystąpienia zawału serca. Nie udało się jeszcze ustalić mechanizmu, w jaki depresja wpływa na problemy z mięśniem sercowym, lecz badania trwają. W badaniu nastolatków, u których zdiagnozowano depresję w wieku dziecięcym, wykazano, że mieli silniejszą tendencję do otyłości, palenia papierosów i braku aktywności fizycznej niż osoby bez takiej diagnozy (Rottenberg et al., 2014). Jeden z wniosków tego badania sugeruje, że depresja – szczególnie gdy pojawia się we wczesnych latach życia – może zwiększać prawdopodobieństwo prowadzenia niezdrowego stylu życia, czyniąc osoby nią dotknięte podatnymi na wystąpienie chorób układu krążenia. Należy podkreślić, że depresja może być tylko jednym z elementów emocjonalnej układanki zwiększającej ryzyko choroby wieńcowej oraz że szczególne znaczenie ma przewlekłe doświadczanie kilku negatywnych stanów emocjonalnych. Badanie podłużne przeprowadzone w grupie weteranów wojny w Wietnamie pokazało, że depresja, niepokój, wrogość i złość jako cecha niezależnie prognozowały początek choroby serca (Boyle et al., 2006). Gdy zaś wszystkie te negatywne cechy psychologiczne zostały połączone w jedną, ta nowa zmienna (którą badacze nazwali „psychologicznym czynnikiem ryzyka”) prognozowała chorobę serca silniej niż poszczególne pojedyncze zmienne. Zatem zamiast analizować siłę predykcyjną odrębnych psychologicznych czynników ryzyka, przyszli badacze powinni badać wpływ połączonych i bardziej ogólnych negatywnych emocjonalnych i psychologicznych cech na rozwój chorób układu krążenia. Astma oskrzelowa Astma oskrzelowa (ang. asthma ) to przewlekła i poważna choroba charakteryzująca się zwężeniem dróg oddechowych, co prowadzi do dużych trudności w wydychaniu powietrza z płuc. Niedrożność dróg oddechowych spowodowana jest stanem zapalnym (objawiającym się zgrubieniem ścian dróg oddechowych) i napięciem otaczających ich mięśni, co prowadzi do zwężenia dróg oddechowych ( ) (American Lung Association, 2010). Ze względu na niedrożność dróg oddechowych astmatyk miewa duże trudności z oddychaniem i doświadcza nawracających epizodów świstów, ucisku w klatce piersiowej, duszności i kaszlu, który występuje głównie rano i w nocy (CDC, 2006). Przy astmie następuje zapalenie i zwężenie dróg oddechowych. Według danych Centrów Kontroli i Prewencji Chorób (CDC – Centers for Disease Control and Prevention) co roku z powodu astmy umiera 4 tys. osób, a u 7 tys. choroba ta przyczynia się do zgonu (CDC, 2013a). Według danych Światowej Organizacji Zdrowia (WHO – World Health Organization) na świecie na astmę choruje ponad 235 mln osób, w Polsce – ok. 4 mln. Ze wszystkich chorób alergicznych jest ona najczęstszą przyczyną absencji chorobowej, hospitalizacji, inwalidztwa i zgonów. Ataki astmy to ostre epizody, podczas których chorzy doświadczają szeregu różnych objawów. Nasilenie astmy często powodują czynniki środowiskowe, takie jak zanieczyszczenie powietrza, alergeny (np. pyłki, grzyby, sierść), dym papierosowy, zimne powietrze lub nagła zmiana temperatury oraz infekcje dróg oddechowych i ćwiczenia fizyczne (CDC, 2013b). Istotną rolę w rozwoju astmy wydają się odgrywać czynniki psychologiczne (Wright et al., 1998). Niektórzy twierdzą jednak, że są one potencjalnymi wyzwalaczami wyłącznie w podgrupie pacjentów cierpiących na astmę (Ritz et al., 2006). Wiele badań na przestrzeni lat wykazało, że niektórzy astmatycy doświadczą objawów przypominających astmę, jeśli tego oczekują, np. gdy wdychają obojętną substancję, która w ich (błędnym) przekonaniu wywoła zwężenie dróg oddechowych (Sodergren i Hyland, 1999). Ponieważ stres i emocje bezpośrednio wpływają na działanie układu odpornościowego i oddechowego, czynniki psychologiczne stanowią jeden z najbardziej powszechnych bodźców nasilających astmę (Trueba i Ritz, 2013). Osoby cierpiące na astmę na ogół deklarują i wykazują wysoki poziom negatywnych emocji, takich jak niepokój; tymczasem ataki astmy powiązano z okresami wysokiej emocjonalności (Lehrer et al., 1993). Co więcej, stwierdzono, że duży stres emocjonalny zarówno podczas zadań laboratoryjnych, jak i w życiu codziennym ma negatywny wpływ na funkcjonowanie dróg oddechowych i może powodować u astmatyków objawy zbliżone do astmy (von Leupoldt et al., 2006). W pewnym badaniu 20 dorosłych pacjentów z astmą nosiło zaprogramowane zegarki, które dawały im sygnał zapraszający do dmuchania w przenośne urządzenie mierzące pracę dróg oddechowych. Wyniki pokazały, że wysoki poziom negatywnych emocji i stres wiązały się z większym zwężeniem dróg oddechowych i deklarowanymi przez badanych silniejszymi objawami astmy (Smyth et al., 1999). Jako ciekawostkę można przytoczyć artykuł D’Amato i wsp. (2010), którzy opisali studium przypadku chorującego na astmę 18-latka, którego rzuciła dziewczyna, co doprowadziło go do stanu załamania. Dziewczyna usunęła go również z grona znajomych na Facebooku, za to dodała do znajomych innych młodych mężczyzn. Ostatecznie chłopak mógł jeszcze raz dodać ją do znajomych i śledzić jej aktywność na Facebooku. Następnie doświadczał objawów astmy za każdym razem, kiedy logował się i wchodził na profil dziewczyny. Gdy później zrezygnował z korzystania z Facebooka, ataki astmy ustały. Przypadek ten sugeruje, że używanie mediów społecznościowych może być nowym źródłem stresu i – podobnie jak inne stresory – może być czynnikiem wyzwalającym ataki astmy, szczególnie u astmatyków z depresją. Ekspozycję na stresujące doświadczenia, w szczególności te związane z konfliktami z rodzicami lub innymi ludźmi, powiązano z rozwojem astmy na przestrzeni życia. Badanie podłużne obejmujące 145 dzieci ujawniło, że trudności rodzicielskie w pierwszym roku życia dziecka zwiększały u niego ryzyko wystąpienia astmy o 107% (Klinnert et al., 2001). Dodatkowo, przekrojowe badanie w grupie ponad 10 tys. studentów w Finlandii pokazało, że wysoki wskaźnik konfliktów z rodzicami lub innymi osobami (np. rozwód rodziców, rozstanie z małżonkiem lub poważne konflikty w innych długotrwałych relacjach) zwiększał ryzyko zachorowania na astmę (Kilpeläinen et al., 2002). Co więcej, badanie obejmujące ponad 4 tys. mężczyzn w średnim wieku, z którymi przeprowadzono wywiad na początku lat 90. XX wieku, a następnie dziesięć lat później, ujawniło, że zakończenie ważnej życiowej relacji (np. rozwód lub zerwanie stosunków z rodzicami) zwiększyło ryzyko rozwoju astmy w czasie badania o 124% (Loerbroks et al., 2009). Napięciowe bóle głowy Przyczyn bólu głowy może być wiele, tutaj omówimy te najbardziej powszechne. Zapalenie zatok wywołane infekcją lub reakcją alergiczną może powodować zatokowe bóle głowy, które objawiają się bólem w okolicy szczęk, policzków i czoła. Migreny cechuje ostry ból po jednej lub obu stronach głowy, wymioty i zaburzenia widzenia. Częściej doświadczają ich kobiety niż mężczyźni (American Academy of Neurology, 2014). Napięciowe bóle głowy wywołuje napięcie mięśni twarzy i szyi. Są one najczęściej doświadczanym rodzajem bólu głowy i stanowią około 42% wszystkich tego typu dolegliwości na świecie (Stovner et al., 2007). Na przykład w Stanach Zjednoczonych więcej niż jedna trzecia populacji co roku doświadcza napięciowych bólów głowy, a 2–3% cierpi na przewlekłe bóle tego rodzaju (Schwartz et al., 1998). Do napięciowych bólów głowy przyczynia się szereg czynników, w tym brak snu, pomijanie posiłków, zmęczenie oczu, nadmierny wysiłek, napięcie mięśni spowodowane złą postawą oraz stres (MedicineNet, 2013). Mimo pewnych niejasności dotyczących dokładnych mechanizmów oddziaływania stresu na napięciowe bóle głowy udowodniono, że zwiększa on wrażliwość na ból (Caceres i Burns, 1997; Logan et al., 2001). Na ogół osoby cierpiące na napięciowy ból głowy, w porównaniu z ludźmi, których ten problem nie dotyka, mają niższy próg bólu i większą wrażliwość na ból (Ukestad i Wittrock, 1996), a także deklarują wyższy poziom subiektywnego stresu przy styczności ze stresorem (Myers et al., 1998). Stres może zatem przyczyniać się do napięciowych bólów głowy u osób cierpiących na tę dolegliwość poprzez zwiększenie wrażliwości na ból we wrażliwych już połączeniach odpowiedzialnych za przewodzenie bodźców bólowych (Cathcart et al., 2008). Summary Zaburzenia psychosomatyczne (psychofizjologiczne) to dolegliwości fizyczne powodowane lub nasilane przez stres i inne czynniki emocjonalne. Jednym z mechanizmów wpływu stresu i czynników emocjonalnych na rozwój tych chorób jest negatywne oddziaływanie na układ odpornościowy. Wiele badań wykazało, że stres osłabia jego funkcjonowanie. Choroby układu krążenia to poważne schorzenia, na które wpływają stres i negatywne emocje, takie jak złość, negatywny afekt i depresja. Do innych zaburzeń psychosomatycznych, w przypadku których stwierdzono oddziaływanie stresu i czynników emocjonalnych, zalicza się astmę i napięciowe bóle głowy. Review Questions Białe krwinki atakujące ciała obce w organizmie nazywamy ________. przeciwciałami telomerami limfocytami komórkami immunologicznymi C Ryzyko wystąpienia choroby serca jest szczególnie wysokie u osób z ________. depresją astmą telomerami limfocytami A Najbardziej śmiercionośnym aspektem wzorca zachowania typu A jest ________. wrogość niecierpliwość ciągły pośpiech chęć rywalizacji A Które z poniższych twierdzeń dotyczących astmy jest nieprawdziwe ? Na rozwój astmy wpływają konflikty z rodzicami i innymi ludźmi. Astmatycy mogą doświadczać objawów przypominających astmę, sądząc, że obojętna substancja, którą wdychają, doprowadzi do zwężenia dróg oddechowych. Wykazano związek między astmą a epizodami depresji. Od 2000 roku zachorowalność na astmę znacznie spadła. D Critical Thinking Questions Omów koncepcję wzorca zachowania typu A, jego historię i wyjaśnij, co wiadomo na temat jego roli w rozwoju chorób układu krążenia. Pojęcie osobowości typu A zostało stworzone do określenia stylu zachowań charakteryzującego się chęcią rywalizacji, ciągłym pośpiechem, niecierpliwością i złością/wrogością. W późniejszych latach odkryto jednak, że złość/wrogość stanowi czynnik, który w najbardziej zauważalny sposób prognozuje wystąpienie chorób serca. Przypomnij sobie badanie, w którym ochotnikom podano krople do nosa z wirusem wywołującym przeziębienie, by zbadać związek między stresem a funkcjonowaniem układu odpornościowego (Cohen et al., 1998). Jak te wyniki wyjaśniają zapadalność ludzi na choroby w stresujących okresach życia (np. podczas sesji egzaminacyjnej)? Wyniki tego badania ujawniły, że u ludzi narażonych na działanie wirusa przeziębienie występowało z większym prawdopodobieństwem, gdy uzyskali oni wysokie wyniki na skali stresu. Dane te sugerują, że w stresujących okresach, na przykład podczas sesji egzaminacyjnej, układ odpornościowy ulega osłabieniu. Dużo łatwiej można się wówczas rozchorować, gdyż układ odpornościowy nie pracuje na pełnych obrotach. Personal Application Question Jeśli ktoś z twojej rodziny lub grona znajomych cierpi na astmę, porozmawiaj z nim (jeśli się zgodzi) o bodźcach wywołujących objawy. Czy osoba ta wspomina o stresie lub stanach emocjonalnych? Jeśli tak, to czy są jakieś wspólne cechy tych bodźców powodujących astmę? astma (ang. asthma ) zaburzenie psychofizjologiczne, w którym dochodzi do zwężenia dróg oddechowych, co prowadzi do dużych trudności w oddychaniu choroby sercowo-naczyniowe, choroby układu krążenia (ang. cardiovascular diseases ) choroby obejmujące serce i układ krwionośny choroby serca (ang. heart disease ) szereg schorzeń obejmujących zaburzenia przepływu krwi w naczyniach wieńcowych, zastawkach serca lub osłabienie zdolności mięśnia do pompowania krwi; skutkiem tych zaburzeń mogą być m.in. zawały serca i udary mózgu nadciśnienie tętnicze (ang. hypertension ) zbyt wysokie ciśnienie krwi w tętnicach układ odpornościowy (ang. immune system ) naturalny mechanizm składający się z wyspecjalizowanych komórek i narządów, którego zadaniem jest ochrona organizmu przed chorobami immunosupresja (ang. immunosuppression ) osłabienie skuteczności układu odpornościowego limfocyty (ang. lymphocytes ) białe krwinki krążące w płynach ustrojowych, niezwykle istotne dla reakcji obronnych organizmu negatywna emocjonalność (ang. negative affectivity ) cecha osobowości wskazująca na skłonność doświadczania negatywnych emocji (gniewu, pogardy, obrzydzenia, winy, lęku czy niepokoju) psychoneuroimmunologia (ang. psychoneuroimmunology ) dziedzina badająca wpływ czynników psychologicznych (takich jak stres) na funkcjonowanie układu odpornościowego zaburzenia psychosomatyczne (ang. psychophysiological disorders ) zaburzenia lub choroby, których objawy są wywoływane lub zaostrzane przez stres lub inne czynniki emocjonalne typ A (ang. type A ) wzorzec psychologiczny i behawioralny charakterystyczny dla jednostek, które mają tendencję do współzawodnictwa, są niecierpliwe, popędliwe i wrogie wobec innych typ B (ang. type B ) wzorzec psychologiczny i behawioralny charakterystyczny dla jednostek zrelaksowanych i zrelaksowani", "section": "Stres a choroby", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Kontrolowanie stresu Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować radzenie sobie i rozróżnij radzenie sobie skoncentrowane na problemie i na emocjach Opisać znaczenie postrzeganej kontroli w naszych reakcjach na stres Wyjaśnić, jak wsparcie społeczne jest niezbędne dla zdrowia i długowieczności Z poprzedniego podrozdziału dowiedzieliśmy się, że stres (ang. stress ) – zwłaszcza przewlekły – odciska piętno na naszym organizmie i może mieć bardzo poważne negatywne skutki dla zdrowia. Gdy doświadczamy w naszym życiu wydarzeń, które oceniamy jako stresujące, ważne jest, abyśmy stosowali skuteczne strategie radzenia sobie ze stresem. Radzenie sobie (ang. coping ) odnosi się do psychicznych i behawioralnych wysiłków nakierowanych na rozwiązanie problemów związanych ze stresem, w tym wyeliminowania jego przypuszczalnej przyczyny oraz poradzenia sobie z nieprzyjemnymi uczuciami i emocjami. Style radzenia sobie ze stresem Lazarus i Folkman (1984) wyróżnili dwa podstawowe sposoby radzenia sobie ze stresem: zorientowane na zadanie i zorientowane na emocje. W strategii radzenia sobie ze stresem zorientowanej na zadanie jednostka próbuje poradzić sobie lub zmodyfikować problem będący źródłem stresu (tj. stresor). Strategie te są podobne do stosowanych przy codziennym rozwiązywaniu problemów: zazwyczaj obejmują identyfikację problemu, uwzględnienie możliwych rozwiązań, oszacowanie kosztów i korzyści płynących z ich wprowadzenia, a następnie wybór konkretnego rozwiązania (Lazarus i Folkman, 1984). Załóżmy, że Stefan otrzymuje informację, że nie zaliczy statystyki. Jeśli do uporania się ze swoim stresującym problemem przyjmie on strategię radzenia sobie ze stresem zorientowaną na zadanie (ang. problem-focused coping ), to wybierze proaktywne podejście, próbując zmniejszyć źródło stresu. Może skontaktować się ze swoim profesorem, aby omówić, co ma zrobić, by podnieść ocenę, może również postanowić, że przeznaczy dwie godziny dziennie na rozwiązywanie zadań ze statystyki albo poszuka korepetytora. Strategia radzenia sobie ze stresem zorientowana na zadanie oznacza, że aktywnie próbujemy ten problem rozwiązać. Natomiast strategia radzenia sobie ze stresem zorientowana na emocje obejmuje starania, by zmienić lub złagodzić negatywne emocje związane ze stresem. Starania te mogą obejmować unikanie, minimalizowanie lub dystansowanie się od problemu, pozytywne porównanie się z innymi („Nie jest ze mną aż tak źle jak z nią”) lub szukanie pozytywnych aspektów negatywnego wydarzenia („Teraz, gdy mnie wyrzucili z pracy, mogę sobie pospać przez kilka dni”). W niektórych przypadkach strategie radzenia sobie ze stresem zorientowane na emocje (ang. emotion-focused coping ) wiążą się z ponowną oceną, w której stresor interpretujemy w inny sposób (w pewnym stopniu oszukując samych siebie), nie zmieniając jego obiektywnego poziomu zagrożenia (Lazarus i Folkman, 1984). Taką właśnie ponowną ocenę stosuje osoba skazana na karę więzienia, która myśli: „To będzie dla mnie świetna okazja do nawiązania kontaktów z innymi”. Gdyby wspomniany wcześniej Stefan przyjął podejście zorientowane na emocje do poradzenia sobie ze stresem związanym niezaliczeniem statystyki, mógłby oglądać seriale komediowe, grać w gry wideo lub godzinami siedzieć w mediach społecznościowych, żeby oderwać myśli od swojej sytuacji. W pewnym sensie radzenie sobie ze stresem zorientowane na emocje można porównać z leczeniem objawów zamiast właściwej przyczyny. Oba rodzaje strategii radzenia sobie ze stresem są wykorzystywane przy wystąpieniu różnych rodzajów stresorów, zauważono jednak, że podejście zorientowane na zadanie częściej występuje przy zetknięciu ze stresorami dającymi się opanować, natomiast radzenie sobie ze stresem zorientowane na emocje dominuje raczej w kontakcie ze stresorami, których nie jesteśmy w stanie zmienić (Folkman i Lazarus, 1980). Niewątpliwie podejście zorientowane na emocje jest bardziej skuteczne przy radzeniu sobie ze stresorami, których nie da się opanować. Na przykład jeśli o północy stresujesz się, że rano masz oddać 40-stronicową pracę, a jeszcze nie masz napisanego ani słowa, prawdopodobnie łatwiej będzie ci uznać tę sytuację za beznadziejną i zrobić coś, by oderwać od niej myśli. Przyjęcie podejścia zorientowanego na zadanie i próba napisania pracy doprowadzi tylko do frustracji, niepokoju i jeszcze większego stresu. W innym przykładzie stres, którego można doświadczyć, gdy umiera ukochana osoba, może być przytłaczający. Odczuwasz wtedy całkowitą bezsilność, ponieważ nie możesz nic zrobić, aby przywrócić tę osobę do życia. Najbardziej pomocną metodą radzenia sobie jest wówczas skoncentrowanie się na emocjach, mające na celu zminimalizowanie bólu w okresie żałoby. Na szczęście większość stresorów, z którymi się stykamy, można modyfikować i są one, w różnym stopniu, do opanowania. Ktoś, kto nie znosi swojej pracy, może z niej zrezygnować i poszukać zatrudnienia w innym miejscu. Rozwodnik albo rozwódka w średnim wieku może znaleźć innego partnera. Student pierwszego roku, który obleje egzamin, może następnym razem bardziej przyłożyć się do nauki, a guzek wykryty w piersi nie oznacza wyroku śmierci z powodu raka sutka. Kontrola a stres Chęć i zdolność do przewidywania zdarzeń, podejmowania decyzji i wpływania na wyniki – czyli przejmowanie kontroli nad własnym życiem – to podstawowa zasada ludzkiego zachowania (Everly i Lating, 2002). Albert Bandura (1997) stwierdził, że „intensywność i przewlekłość ludzkiego stresu jest w znacznym stopniu regulowana spostrzeganą kontrolą nad wymogami naszego życia”. Jak przekonująco opisuje to powyższe stwierdzenie, nasza reakcja na potencjalne stresory w znacznym stopniu zależy od tego, jak dużą kontrolę nad nimi odczuwamy. Poczucie kontroli (ang. perceived control ) to własne przekonanie o zdolnościach kształtowania wyników i wywierania na nie wpływu, ma ono zasadnicze znaczenie dla naszego zdrowia i szczęścia (Infurna i Gerstorf, 2014). Szeroko zakrojone badania wykazały, że poczucie osobistej kontroli wiąże się z różnorodnymi korzystnymi skutkami, takimi jak lepsze zdrowie fizyczne i umysłowe, a także lepsze samopoczucie (Diehl i Hay, 2010). Większa osobista kontrola jest również związana z niższą reaktywnością na stresory w codziennym życiu. Przykładowo autorzy jednego z badań zaobserwowali, że wyższy poziom spostrzeganej kontroli w danym momencie wiązał się z późniejszą niższą reaktywnością emocjonalną i fizyczną na stresory interpersonalne (Neupert et al., 2007). Co więcej, badanie dzienniczkowe przeprowadzone w grupie 34 wdów w starszym wieku ujawniło, że ich poziom stresu i niepokoju był znacznie niższy w dni, kiedy miały one większe poczucie kontroli (Ong et al., 2005). Wyuczona bezradność Gdy brakuje nam poczucia kontroli nad zdarzeniami w naszym życiu, szczególnie gdy wydarzenia te są groźne, krzywdzące lub szkodliwe, konsekwencje psychologiczne mogą być bardzo poważne. Jedną z lepszych ilustracji tej koncepcji jest seria klasycznych eksperymentów na psach przeprowadzonych przez psychologa Martina Seligmana (ur. 1942) w latach 60. XX wieku (Seligman i Maier, 1967). Podczas tych badań psy umieszczono w specjalnej klatce, w której nie mogły uniknąć impulsów bólowych wywoływanych prądem elektrycznym. Gdy następnie dano im możliwość przeskoczenia barierki na miejsce wolne od nieprzyjemnych impulsów elektrycznych, większość zwierząt nie próbowała tego zrobić. Sprawiały wrażenie, jakby się poddały i biernie akceptowały ból przewidziany w ramach eksperymentu. Dla porównania, psy, którym wcześniej pozwolono uniknąć porażenia prądem, przeskakiwały przez barierkę, by nie doznawać cierpienia ( ). W eksperymentach wyuczonej bezradności Seligmana na psach wykorzystano aparat mierzący, kiedy zwierzęta przeskoczą z podłogi wysyłającej impulsy elektryczne na podłogę, na której nie otrzymywały impulsu. Seligman twierdził, że psy, które nie próbowały uniknąć późniejszych wstrząsów, wykazywały wyuczoną bezradność (ang. learned helplessness ). Tak jakby uznały, że nie są w stanie nic zrobić w związku z bodźcami, jakie otrzymywały. Seligman uważał również, że bierność i brak inicjatywy wykazywane przez te psy były podobne do zachowań obserwowanych u ludzi podczas depresji. Dlatego też badacz wysnuł przypuszczenie, że wyuczona bezradność może być istotną przyczyną depresji. Osoby, które doświadczyły negatywnych życiowych zdarzeń, jakich – ich zdaniem – nie były w stanie kontrolować, mogą stać się bezradne. W rezultacie rezygnują z podjęcia próby kontrolowania lub zmiany danej sytuacji, a część z nich może popaść w depresję i wykazywać brak inicjatywy w przyszłych sytuacjach, w których mogłyby kontrolować przebieg wydarzeń (Seligman et al., 1968). Niestety, wyuczona bezradność została później wykorzystana do usprawiedliwienia torturowania więźniów przez personel wojskowy USA po atakach na World Trade Center w 2001 roku. Hipoteza była taka, że zatrzymani, którzy byli narażeni na niekontrolowane doświadczenia, w końcu staną się bierni i ulegli, co zwiększy prawdopodobieństwo ujawnienia informacji przesłuchującym. Istnieje niewiele dowodów na to, że program ten przyniósł jakiekolwiek wartościowe wyniki. Obecnie jest powszechnie uważany za nieetyczny i nieuzasadniony. Ten przykład podkreśla potrzebę konsekwentnego uwzględniania etyki prowadzenia badań naukowych i etyki praktycznego zastosowania ich wyników (Konnikova, 2015). W późniejszym czasie Seligman i jego współpracownicy przeformułowali pierwotny model depresji oparty na wyuczonej bezradności (Abramson et al., 1978). Podkreślili wtedy, że istotną rolę w rozwoju poczucia wyuczonej bezradności odgrywają atrybucje (tj. psychiczne wyjaśnienia, dlaczego coś nastąpiło) prowadzące do spostrzeżenia, że dana osoba nie ma kontroli nad negatywnymi skutkami. Załóżmy dla przykładu, że twój współpracownik spóźnia się do pracy. Atrybucją będzie twoje przekonanie dotyczące tego, co spowodowało jego spóźnienie (np. utknął w korku, zaspał lub po prostu nie dba o to, by być na czas). Przeformułowana wersja badania Seligmana zakłada, że atrybucje względem niekorzystnych zdarzeń życiowych przyczyniają się do rozwoju depresji. Weźmy jako przykład studenta, który uzyskał słabą ocenę z egzaminu na zaliczenie semestru. Model ten sugeruje, że student dokona wyboru trzech rodzajów atrybucji dla tego rezultatu. Pierwszy rodzaj atrybucji: wewnętrzna vs zewnętrzna, czyli student może uważać, że wynik spowodowały jego własne niedociągnięcia lub czynniki środowiskowe. Drugi rodzaj atrybucji to: stabilna vs niestabilna – student może uznać, że przyczynę niepowodzenia da się zmienić albo że jest ona stała. Trzeci rodzaj atrybucji to: ogólna vs szczegółowa – kiedy student przyjmuje, że dany wynik jest oznaką jego niedociągnięć praktycznie w każdej dziedzinie albo tylko w tej jednej. Załóżmy, że student przyjmuje dla swojej kiepskiej oceny następujące atrybucje: wewnętrzną („Zwyczajnie nie jestem mądry”), stabilną („Nic się nie da zrobić, by zmienić to, że nie jestem mądry”) i ogólną („To kolejny przykład na to, że we wszystkim jestem słaby”). Zmodyfikowana teoria przewiduje, że student ten spostrzeże brak kontroli nad tym stresującym zdarzeniem i przez to stanie się szczególnie podatny na rozwój depresji. Badania potwierdziły, że ludzie mający tendencję do dokonywania wewnętrznych, ogólnych i stabilnych atrybucji względem niepożądanych rezultatów swojego działania na ogół wykazują objawy depresji w zetknięciu z negatywnymi życiowymi doświadczeniami (Peterson i Seligman, 1984). Na przestrzeni lat model wyuczonej bezradności Seligmana stał się wiodącym teoretycznym wyjaśnieniem początków dużego epizodu depresyjnego. Gdy będziesz uczyć się o zaburzeniach psychicznych, dowiesz się więcej o najnowszym przeformułowaniu tego modelu, zwanego obecnie „teorią poczucia beznadziejności”. Osoby deklarujące wyższy poziom poczucia kontroli odczuwają kontrolę nad swoim zdrowiem, przez co rośnie szansa, że będą podejmować zachowania mające korzystny wpływ na zdrowie (Bandura, 2004). Nie powinno zatem dziwić, że większe poczucie kontroli wiąże się z niższym ryzykiem wystąpienia problemów ze zdrowiem fizycznym, w tym: gorszego funkcjonowania fizycznego (Infurna et al., 2011), zawałów serca (Rosengren et al., 2004), zapadalności na choroby układu krążenia (Stürmer et al., 2006) oraz umieralności z powodu chorób serca (Surtees et al., 2010). Badania podłużne prowadzone wśród brytyjskich urzędników wykazały, że osoby na niższych stanowiskach (np. pracownicy biurowi i asystenci), na których stopień kontroli własnej pracy jest minimalny, wykazują znacznie silniejsze tendencje do zapadania na choroby serca niż pracownicy zatrudnieni na wyższych stanowiskach lub mający znaczną kontrolę nad swoją pracą (Marmot et al., 1997). Związek między spostrzeganą kontrolą a zdrowiem może stanowić wyjaśnienie często obserwowanej zależności między klasą społeczną a stanem zdrowia (Kraus et al., 2012). Zasadniczo badania wykazują, że osoby bardziej zamożne cieszą się lepszym zdrowiem, częściowo ze względu na to, że na ogół wierzą, że są w stanie same kontrolować reakcje na życiowe stresory i radzić sobie z nimi (Johnson i Krueger, 2006). Być może osoby z wyższych klas społecznych, napędzane poczuciem własnej kontroli, mają skłonność do przeszacowywania stopnia wpływu, jaki mają na konkretne rezultaty. Dla przykładu, przedstawiciele wyższych klas uważają, że ich głosy mają większy wpływ na wyniki wyborów, natomiast osoby reprezentujące niższą klasę społeczną żywią przekonanie, że ich głosy są mniej ważne. Wyjaśnia to wyższe wskaźniki udziału w wyborach w bogatszych społecznościach (Krosnick, 1990). W innym badaniu zaobserwowano, że poczucie kontroli jest w stanie ochronić mniej zamożnych przed podupadnięciem na zdrowiu, depresją i mniejszym zadowoleniem z życia, czyli przed czynnikami towarzyszącymi na ogół niższej pozycji społecznej (Lachman i Weaver, 1998). Łącznie wyniki tych i wielu innych badań wyraźnie wskazują na to, że postrzeganie kontroli i możliwości radzenia sobie ze stresem odgrywają ważną rolę w zarządzaniu stresorami, z którymi stykamy się przez całe życie, i stawianiu im czoła. Wsparcie społeczne Potrzeba tworzenia i utrzymywania silnych, stabilnych relacji z innymi ludźmi stanowi potężny, wszechobecny i podstawowy motyw ludzkich działań (Baumeister i Leary, 1995). Budowanie silnych relacji interpersonalnych pomaga nam stworzyć sieć bliskich, troskliwych osób zapewniających wsparcie społeczne w okresach odczuwania stresu, smutku i strachu. Wsparcie społeczne (ang. social support ) można uznać za kojący wpływ przyjaciół, rodziny i znajomych (Baron i Kerr, 2003). Wsparcie to może przyjmować różne formy, np. porady, wskazówek, zachęty, akceptacji, pocieszenia i pomocy materialnej (w formie np. wsparcia finansowego). Zatem inni ludzie mogą być dla nas dużym pocieszeniem, gdy natykamy się w życiu na szereg różnorodnych stresorów. Mogą stanowić ogromną pomoc w naszych wysiłkach radzenia sobie z tymi wyzwaniami. Nawet w świecie zwierząt przedstawiciele tego samego gatunku oferują sobie nawzajem wsparcie społeczne w stresujących okresach. Przykładowo słonie wykazują zdolność odczuwania, kiedy inne słonie są zestresowane, i często pocieszają je przez kontakt fizyczny – np. dotknięcie trąbą – lub wydawanie empatycznego odgłosu (Krumboltz, 2014). Zainteresowanie naukowców znaczeniem wsparcia społecznego sięga lat 70. XX wieku, gdy badacze zdrowia poddali analizie kwestie konsekwencji zdrowotnych wynikających z integracji społecznej (Stroebe i Stroebe, 1996). Zainteresowanie to zostało dodatkowo podsycone badaniami podłużnymi, które dowiodły, że więzi społeczne zmniejszają umieralność. W jednym z nich wzięło udział prawie 7 000 mieszkańców hrabstwa Alameda w stanie Kalifornia, których obserwowano przez ponad 9 lat. W przypadku osób, które wcześniej przyznały, że brakowało im relacji społecznych i wspólnotowych, stwierdzono większe ryzyko zgonu w okresie obserwacji niż w przypadku osób z szerokim gronem znajomych. Prawdopodobieństwo śmierci osamotnionych mężczyzn i kobiet było odpowiednio 2,3 i 2,8 razy wyższe niż u osób z największą liczbą kontaktów społecznych. Tendencja ta utrzymywała się nawet po weryfikacji pod względem różnorodnych zmiennych związanych ze zdrowiem, takich jak palenie papierosów, spożywanie alkoholu, deklarowane zdrowie na początku badania oraz aktywność fizyczna (Berkman i Syme, 1979). Od czasu tego badania wsparcie społeczne stało się jednym z lepiej udokumentowanych czynników psychospołecznych wpływających na stan zdrowia (Uchino, 2009). Wyniki metaanalizy 148 badań dotyczących ryzyka zgonu, przeprowadzonych w latach 1982-2007 i obejmujących ponad 300 tys. osób ujawniły, że ludzie mający silniejsze relacje społeczne mają o 50% większe szanse na przeżycie niż osoby o słabych lub niedostatecznych relacjach z innymi (Holt-Lunstad et al., 2010). Zdaniem badaczy, znaczenie efektu wsparcia społecznego zaobserwowane w tym badaniu można porównać do rzucenia palenia i jest ono większe niż wiele dobrze znanych czynników ryzyka śmierci, jak otyłość czy brak aktywności fizycznej ( ). Bliskie relacje z innymi ludźmi: (a) w grupie przyjaciół lub (b) w kręgu rodziny, dają więcej niż szczęście i spełnienie – mogą pomóc w utrzymaniu zdrowia w dobrej kondycji. (Źródło zdjęcia a: modyfikacja pracy Nattachai Noogure; źródło zdjęcia b: modyfikacja pracy Christiana Haugena). Szereg zakrojonych na szeroką skalę badań ujawnił, że osoby z niskim wsparciem społecznym mają większe ryzyko zgonu, zwłaszcza z powodu zaburzeń układu krążenia (Brummett et al., 2001). Co więcej, wyższy poziom wsparcia społecznego powiązano z lepszym wskaźnikiem przeżywalności po wykryciu nowotworu sutka (Falagas et al., 2007) oraz chorób zakaźnych, szczególnie zakażenia HIV (Lee i Rotheram-Borus, 2001). Osoby otrzymujące większe wsparcie społeczne są także mniej podatne na przeziębienia. W pewnym badaniu 334 uczestników wypełniło ankiety oceniające ich życie towarzyskie. Następnie osoby te wystawiono na działanie wirusa wywołującego przeziębienie i monitorowano przez kilka tygodni ich stan zdrowia, by sprawdzić, kto się rozchoruje. Wyniki pokazały liniową zależność między bogatszym życiem towarzyskim a mniejszym prawdopodobieństwem rozwoju przeziębienia (Cohen et al., 2003). Dla wielu z nas przyjaciele stanowią istotne wsparcie społeczne. Co by było, gdyby zabrakło ci możliwości spotykania się ze znajomymi? Sytuacja taka wydarzyła się podczas lockdownu spowodowanego epidemią Covid-19 w 2020 r. Dostęp do grupy wsparcia społecznego zostaje ograniczony także wówczas, gdy młodzi ludzie opuszczają dom rodzinny, aby rozpocząć studia i mieszkać blisko uczelni. Takie sytuacje czynią nas podatnymi na lęk, depresję i samotność. Media społecznościowe mogą czasami być przydatne w radzeniu sobie z tymi zmianami (Raney i Troop-Gordon, 2012), ale mogą również powodować wzrost poczucia samotności (Hunt, Marx, Lipson i Young, 2018). Z tego powodu wiele amerykańskich uczelni opracowało programy mentoringu rówieśniczego dla studentów pierwszego roku (Raymond i Shepard, 2018), które mogą pomóc uczniom w budowaniu nowych sieci społecznych. Przeprowadzka do innego miasta by studiować może być wyjątkowo trudna dla tych osób, których rodziny – zwłaszcza rodzice – są głównym źródłem wsparcia społecznego. Wsparcie społeczne wpływa na wzmocnienie układu odpornościowego, szczególnie u osób doświadczających stresu (Uchino et al., 2012). W pewnym pionierskim badaniu partnerzy pacjentów onkologicznych, którzy deklarowali otrzymywanie dużego wsparcia społecznego, podczas dwóch z trzech pomiarów układu odpornościowego wykazywali oznaki jego lepszego funkcjonowania niż partnerzy deklarujący wsparcie społeczne poniżej średniej (Baron et al., 1990). Podobne zależności ujawniły badania innych populacji, w tym małżonków zajmujących się pacjentami z demencją, studentów medycyny, osób w podeszłym wieku i pacjentów onkologicznych (Cohen i Herbert, 1996; Kiecolt-Glaser, McGuire, Robles i Glaser, 2002). Ponadto wykazano, że wsparcie społeczne powoduje obniżenie ciśnienia krwi u osób wykonujących stresujące zadania, np. wygłaszających przemówienia lub dokonujących obliczeń w pamięci (Lepore, 1998). W badaniach tego typu zazwyczaj prosi się uczestników o wykonanie stresującego zadania w odosobnieniu, w obecności (wspierającego lub niewspierającego) nieznajomego albo w obecności przyjaciela. Osoby wykonujące test w towarzystwie przyjaciela na ogół mają niższe ciśnienie krwi niż te przebywające same lub z osobą nieznajomą (Fontana et al., 1999). W pewnym badaniu w grupie 112 kobiet dokonujących stresujących obliczeń w pamięci okazało się, że uczestniczki, które otrzymywały wsparcie od przyjaciela (ale tylko płci męskiej), miały niższe ciśnienie krwi niż te przebywające z nieznajomym (Phillips et al., 2009). Mimo że wyniki te są dość trudne do interpretacji, to autorzy badania przypuszczają, że kobiety czują się mniej wspierane, a bardziej oceniane przez inne kobiety, szczególnie te, których opinię sobie cenią. Powyższe wyniki sugerują, że jednym z powodów, dla których wsparcie społeczne wiąże się z korzystnym wpływem na zdrowie, jest fakt, że ma ono wiele pozytywnych skutków fizjologicznych w stresujących sytuacjach. Należy również uwzględnić ewentualność, że wsparcie społeczne może prowadzić do bardziej prozdrowotnych zachowań, takich jak zdrowa dieta, ćwiczenia, rzucenie palenia i współpraca w zakresie stosowania się do zaleceń lekarskich (Uchino, 2009). Stres i dyskryminacja Bycie ofiarą uprzedzeń i dyskryminacji wiąże się z szeregiem negatywnych skutków. Wiele badań wykazało, że poczucie bycia dyskryminowanym jest znaczącym stresorem dla grup marginalizowanych (Pascoe i Smart Richman, 2009). Dyskryminacja ma negatywny wpływ zarówno na zdrowie fizyczne, jak i psychiczne osób z grup stygmatyzowanych. Studiując psychologię społeczną, możesz dowiedzieć się, że różne wymiary społeczne (takie jak płeć, wiek, religia, seksualność, pochodzenie etniczne) często wiążą się z równoczesnym narażeniem na wiele form dyskryminacji, która może mieć wzmożony negatywny wpływ na zdrowie psychiczne i fizyczne (Vines, Ward, Cordoba i Black, 2017). Na przykład transpłciowe kobiety mogą doświadczać nasilonej dyskryminacji z uwagi na dwie cechy: płeć i orientację seksualną. Postrzegana kontrola i procesy adaptacyjne pomagają wyjaśnić proces wpływania dyskryminacji na zdrowie psychiczne i fizyczne. Dyskryminację można postrzegać jako niekontrolowany, trwały i nieprzewidywalny stresor. Kiedy pojawia się zdarzenie dyskryminujące, osoba będąca jego obiektem doświadcza ostrej reakcji stresowej ( faza alarmowa ). Reakcja ta sama zazwyczaj nie ma dużego wpływu na zdrowie. Jeśli dyskryminacja staje się stresorem chronicznym, gdy osoby z grup marginalizowanych doświadczają powtarzającej się dyskryminacji, rozwija się u nich zwiększona reaktywność. Ich ciała przygotowują się do szybkiego działania ( faza oporu ). Ta długotrwała kumulacja reakcji stresowych może ostatecznie doprowadzić do wzrostu negatywnych emocji i pogorszenia się zdrowia fizycznego ( stan wyczerpania ). To wyjaśnia, dlaczego dyskryminacja wiąże się z wieloma problemami ze zdrowiem psychicznym i fizycznym, w tym z depresją, chorobami układu krążenia i nowotworami (Pascoe i Smart Richman, 2009). Ochrona stygmatyzowanych grup przed negatywnym wpływem stresu wywołanego dyskryminacją może się wiązać z ograniczeniem częstości występowania zachowań dyskryminacyjnych w połączeniu ze strategiami, które mają na celu zmniejszenie negatywnych konsekwencji zaistniałej dyskryminacji. Ustawodawstwo dotyczące praw obywatelskich chroni niektóre stygmatyzowane grupy, uznając dyskryminację za przestępstwo. Jednak niektórym grupom (np. osobom transpłciowym) często brakuje dostępu do ochrony prawnej w przypadku wystąpienia dyskryminacji. Co więcej, większość współczesnej dyskryminacji przybiera subtelne formy, które nie są łatwe do udowodnienia w postępowaniu prawnym. Na przykład dyskryminacja może przybierać formy selektywnej niegościnności dla określonych grup (np. migrantów), ale jednocześnie łatwo przypisać takie niegościnne zachowanie innym przyczynom. Podobnie jak w przypadku innych czynników stresogennych, bufory takie jak wsparcie społeczne i zdrowe strategie radzenia sobie wydają się skutecznie łagodzić wpływ dyskryminacji. Techniki zmniejszające poziom stresu Wspomniane wyżej poczucie kontroli i tworzenie sieci wsparcia społecznego nie wyczerpują dostępnych technik radzenia sobie ze stresem ( ). Popularną techniką stosowaną przez ludzi do walki ze stresem są ćwiczenia fizyczne (ang. exercise ) (Salmon, 2001). Dobrze wiadomo, że ćwiczenia fizyczne, zarówno aerobowe, jak i anaerobowe, mają korzystny wpływ na zdrowie fizyczne i umysłowe (Everly i Lating, 2002). Istnieje dużo dowodów potwierdzających, że osoby sprawne fizycznie są bardziej odporne na negatywne skutki stresu i szybciej dochodzą do siebie po stresujących zdarzeniach niż osoby mniej wysportowane (Cotton, 1990). W badaniu przeprowadzonym w grupie ponad 500 policjantów i ratowników medycznych w Szwajcarii lepsza sprawność fizyczna wiązała się z mniejszym stresem. Stwierdzono również, że regularne ćwiczenia chronią przed problemami zdrowotnymi o podłożu stresowym (Gerber et al., 2010). Do technik zmniejszających poziom stresu można zaliczyć: (a) ćwiczenia, (b) medytację i relaksację lub (c) biofeedback. (Źródło zdjęcia a: modyfikacja pracy „UNE Photos”/Flickr; źródło zdjęcia b: modyfikacja pracy Caleba Roenigka; źródło zdjęcia c: modyfikacja pracy Dr Carmen Russoniello). Jednym z powodów, dla których ćwiczenia są korzystne, jest to, że mogą one buforować szkodliwe fizjologiczne mechanizmy stresu. Szczury, które ćwiczyły przez sześć tygodni, wykazały słabszą reakcję osi podwzgórze–przysadka–nadnercza na łagodne stresory (Campeau et al., 2010). Istnieją badania, w których dostrzega się związek między zwiększoną aktywnością fizyczną a wolniejszym skracaniem się telomerów (Puterman et al., 2010). Co więcej, ćwiczenia w dojrzałym wieku minimalizują szkodliwy wpływ stresu na hipokamp i pamięć (Head et al., 2012). U pacjentów chorujących na raka ćwiczenia zmniejszają niepokój (Speck et al., 2010) i objawy depresji (Craft et al., 2012). Mnogość tego typu badań wskazuje, że ćwiczenia są bardzo skutecznym narzędziem redukującym poziom stresu. W latach 70. XX wieku kardiolog Herbert Benson zaproponował metodę zmniejszającą poziom stresu nazywaną techniką relaksacyjną (ang. relaxation response technique ) (Greenberg, 2006). Technika relaksacyjna łączy w sobie relaksację z medytacją (ang. meditation ) transcendentalną i składa się z czterech komponentów (Stein, 2001): siedzenie prosto na wygodnym krześle ze stopami ustawionymi na podłożu i ciałem ułożonym w zrelaksowanej pozycji, przebywanie w cichym otoczeniu z zamkniętymi oczami, powtarzanie słowa lub frazy – mantry – np. „przytomny umysł, spokojne ciało”, bierne umożliwienie umysłowi skoncentrowanie się na przyjemnych myślach, np. dotyczących natury lub ciepła krwi odżywiającej ciało. Technika relaksacyjna jest traktowana jako ogólny sposób redukcji stresu na poziomie fizjologicznym, tj. obniżenia pobudzenia współczulnego, i była z powodzeniem stosowana w leczeniu wysokiego ciśnienia tętniczego (Benson i Proctor, 1994). Biofeedback Kolejną technikę walki ze stresem, zwaną biofeedbackiem (ang. biofeedback ), opracował Gary Schwartz (ur. 1944) z Uniwersytetu Harvarda na początku lat 70. XX wieku. W biofeedbacku wykorzystuje się aparaturę pokazującą dokładne pomiary aktywności (w zależności od potrzeb): nerwowo-mięśniowej (elektromiografia), aktywności fal mózgowych (EEG), pomiar temperatury danej osoby. Wynik pomiaru wyświetlany jest w formie sygnałów wizualnych lub dźwiękowych. Podejście to zakłada, że dostarczenie informacji o stanie fizjologicznym umożliwi danej osobie rozwinięcie strategii, które pomogą uzyskać pewien poziom kontroli nad procesami zachodzącymi w organizmie (Schwartz i Schwartz, 1995). Technika ta była z powodzeniem wykorzystywana u osób doświadczających napięciowych bólów głowy, nadciśnienia, astmy oraz fobii (Stein, 2001). Więcej informacji o tej technice oraz o jej skuteczności w leczeniu m.in. lęków (wysoka skuteczność), autyzmu (niska skuteczność) czy zaburzeń odżywiania (nieskuteczna) znajdziesz tutaj . Summary Zasadniczo istnieją dwie podstawowe formy radzenia sobie ze stresem: zorientowana na zadanie i zorientowana na emocje. Osoby stosujące strategie radzenia sobie ze stresem zorientowane na zadanie na ogół skuteczniej opanowują trudności możliwe do kontrolowania, gdyż strategie te są skierowane na źródło stresu, a nie na wynikające z niego objawy. Poczucie kontroli w znacznym stopniu wpływa na reakcję na stresory i wiąże się z lepszym fizycznym i psychicznym samopoczuciem. Wykazano, że wsparcie społeczne jest bardzo skutecznym buforem zabezpieczającym przed negatywnymi skutkami stresu. Szeroko zakrojone badania wykazały, że wywołuje ono korzystne skutki fizjologiczne i wpływa na funkcjonowanie układu odpornościowego. Review Questions W przypadku którego z poniższych stresorów lepiej sprawdzi się strategia radzenia sobie ze stresem zorientowana na emocje niż zorientowana na problem? śmiertelna choroba słabe stopnie w szkole bezrobocie rozwód A Badania na grupie brytyjskich urzędników pokazały, że pracownicy na niższych stanowiskach są znacznie bardziej podatni na rozwój choroby serca niż ci wykonujący pracę na wysokich stanowiskach. Wyniki te potwierdzają rolę ________ w radzeniu sobie ze stresem. techniki biofeedback wsparcia społecznego spostrzeganej kontroli radzenia sobie ze stresem zorientowanego na emocje C W porównaniu z osobami mającymi niewielkie wsparcie społeczne ludzie z dużym wsparciem społecznym ________. są bardziej podatni na zachorowanie na astmę wykazują na ogół mniejsze poczucie kontroli są bardziej podatni na zaburzenia układu krążenia na ogół lepiej tolerują stres D Koncepcja wyuczonej bezradności została sformułowana przez Seligmana jako wyjaśnienie ________. niepodejmowanie przez psy próby ucieczki po otrzymaniu wstrząsów, których można uniknąć niewyciągania przez psy wniosków z popełnionych błędów umiejętności psów do uczenia się pomagania innym psom w ucieczce z sytuacji, w których otrzymują niekontrolowany wstrząs niemożności uczenia się przez psy pomagania innym psom w ucieczce z sytuacji, w której otrzymują niekontrolowany wstrząs A Critical Thinking Questions Mimo że strategia radzenia sobie ze stresem zorientowana na zadanie wydaje się bardziej skuteczna w stawianiu czoła stresorom kontrolowalnym, to czy uważasz, że istnieją jakieś stresujące sytuacje, w których strategia zorientowana na emocje byłaby lepszym rozwiązaniem? Radzenie sobie ze stresem zorientowane na emocje byłoby prawdopodobnie lepszą strategią w sytuacjach, w których stresora nie da się kontrolować lub w których nic innego nie można zrobić, np. w przypadku śmiertelnej choroby. Opisz, w jaki sposób wsparcie społeczne wpływa bezpośrednio i pośrednio na zdrowie. Wsparcie społeczne ma bezpośredni wpływ na funkcjonowanie układu odpornościowego. Wsparcie społeczne może wpływać pośrednio na zdrowie poprzez promowanie zachowań prozdrowotnych, takich jak ćwiczenia i odpowiednie odżywanie się. Personal Application Question Pomyślcie o sytuacji, w której radziliście sobie z konkretnym stresorem, stosując strategię zorientowaną na zadanie. Co było tym stresorem? Co obejmowały działania zorientowane na problem? Czy były skuteczne? biofeedback (ang. biofeedback ) technika redukcji stresu z wykorzystaniem urządzeń elektronicznych mierzących aktywność układów niezależnych od woli (odruchów nerwowo-mięśniowych i autonomicznych) i zapewniających informacje zwrotne (feedback); pomaga ćwiczącej tak osobie zyskać przynajmniej pewien rodzaj kontroli nad tymi reakcjami radzenie sobie (ang. coping ) wysiłki (w myśli lub działaniu), których celem jest opanowanie problemów związanych ze stresem, w tym walka z jego przyczynami oraz z nieprzyjemnymi uczuciami i emocjami, jakie wywołuje poczucie kontroli (ang. perceived control ) wiara jednostki w to, że ma wpływ na swoje życie i może je sama kształtować technika relaksacyjna (ang. relaxation response technique ) technika redukcji stresu łącząca w sobie elementy relaksacji i medytacji wsparcie społeczne (ang. social support ) kojące wsparcie ze strony innych osób; może przybierać różne formy: porady, wskazówki, zachęty do działania, akceptacji, emocjonalnego pocieszenia albo realnej pomocy", "section": "Kontrolowanie stresu", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Dążenie do szczęścia Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zdefiniować i omówić szczęście, w tym jego wyznaczniki Opisać dziedzinę psychologii pozytywnej i określ rodzaje problemów, którymi się zajmuje Wyjaśnić znaczenie pozytywnego afektu i omów jego znaczenie dla wyników zdrowotnych Opisać pojęcie przepływu i jego związek ze szczęściem i spełnieniem Mimo że badania dotyczące stresu (ang. stress ) i tego, w jaki sposób wpływa on na nas fizycznie i psychicznie, są fascynujące, to niezaprzeczalnie jest to smutny temat. Psychologia interesuje się jednak również badaniem bardziej optymistycznego i zachęcającego podejścia do ludzkich spraw – dążenia do szczęścia. Szczęście Czym jest szczęście? Ludzie proszeni o jego zdefiniowanie podkreślają różne aspekty tego ulotnego stanu. Szczęście jest czymś wieloznacznym i można je definiować z różnych perspektyw (Martin, 2012). Niektórzy ludzie, zwłaszcza głęboko wierzący, postrzegają szczęście w sposób podkreślający cnotliwość i duchowość. Inni widzą szczęście przede wszystkim jako zadowolenie – wewnętrzny spokój i radość pochodzące z głębokiej satysfakcji z otoczenia, relacji z innymi ludźmi, osiągnięć i samego siebie. Jeszcze inni dostrzegają w szczęściu głównie przyjemne zaangażowanie w swoje otoczenie – karierę i zainteresowania, które są ciekawe, pełne sensu, satysfakcjonujące i ekscytujące. Różnice między tymi rozumieniami polegają przede wszystkim na sferze, na jaką kładziony jest największy nacisk. Większość ludzi prawdopodobnie zgodzi się, że każdy z tych poglądów w jakimś zakresie ujmuje istotę szczęścia. Komponenty szczęścia Niektórzy psychologowie sugerują, że szczęście składa się z trzech odrębnych sfer: życia przyjemnego, życia zaangażowanego i życia pełnego sensu, co przedstawiono na (Seligman, 2002; Seligman et al., 2005). Życie przyjemne realizuje się przez osiąganie codziennych przyjemności zapewniających rozrywkę, radość i ekscytację. Przykładowo wieczorne spacery na plaży i satysfakcjonujące życie seksualne mogą przyczynić się do przyjemnego życia. Życie zaangażowane osiąga się dzięki odkryciu własnych wyjątkowych umiejętności i zdolności oraz zaangażowaniu ich we wzbogacenie swojego życia. Osoby, które prowadzą życie zaangażowane, są często pochłonięte pracą lub hobby. Życie pełne sensu obejmuje głębokie poczucie spełnienia wynikające z wykorzystywania naszych talentów w służbie wyższemu dobru, w sposób dający korzyści innym lub poprawiający świat. Zasadniczo ludzie najszczęśliwsi to tacy, którzy żyją pełnią życia – ukierunkowują swoje dążenia na wszystkie trzy sfery szczęścia (Seligman et al., 2005). Szczęście to długotrwały stan dobrego samopoczucia mający trzy wymiary: odczuwanie przyjemności, wzbogacanie swoich umiejętności i działania służące wyższemu dobru. W praktyce dokładna definicja szczęścia (ang. happiness ) może obejmować każdy z tych elementów: trwały stan umysłu składający się z radości, zadowolenia i innych pozytywnych emocji, uzupełniony o poczucie, że życie ma znaczenie i wartość (Lyubomirsky, 2001). Definicja taka stwierdza, że szczęście jest długotrwałym stanem – co często określa się jako subiektywny dobrostan – a nie tylko przelotnym pozytywnym nastrojem, którego każdy od czasu do czasu doświadcza. Właśnie to trwałe szczęście skupia uwagę psychologów i innych badaczy społecznych. W ciągu ostatnich kilkudziesięciu latach badania nad szczęściem znacznie się rozwinęły (Diener, 2013). Jedno z podstawowych pytań stale rozważanych przez badaczy zajmujących się szczęściem to: „Jak bardzo szczęśliwi są ludzie?”. Przeciętny człowiek na świecie jest względnie szczęśliwy i doświadcza większej liczby uczuć pozytywnych niż negatywnych (Diener et al., 2010). W latach 2010-2012 poproszono ludzi z ponad 150 państw o ocenę ich aktualnego życia na skali od 0 do 10 (gdzie 0 oznacza „najgorsze możliwe życie”, a 10 „najlepsze możliwe życie”). Średni uzyskany wynik wyniósł 5,2. Osoby żyjące w Ameryce Północnej, Australii i Nowej Zelandii uzyskały najwyższą średnią, wynoszącą 7,1, a mieszkańcy Afryki Subsaharyjskiej zanotowali najniższy średni wynik, tj. 4,6 (Helliwell et al., 2013). Pięć „najszczęśliwszych” krajów na świecie to: Dania, Norwegia, Szwajcaria, Holandia i Szwecja. Stany Zjednoczone znalazły się na 17. miejscu ( ) (Helliwell et al., 2013). (a) Badania przeprowadzone wśród mieszkańców ponad 150 państw wskazują, że Dania ma najszczęśliwszych obywateli na świecie. (b) Amerykanie umieścili Stany Zjednoczone na 17. miejscu najszczęśliwszych krajów do osiedlenia się na stałe. (Źródło zdjęcia a: modyfikacja pracy „JamesZ_Flickr”/Flickr; źródło zdjęcia b: modyfikacja pracy Ryana Swindella). Kilka lat temu w badaniu przeprowadzonym przez Instytut Gallupa na grupie ponad 1 tys. dorosłych Amerykanów 52% respondentów zadeklarowało, że są „bardzo szczęśliwi”. Co więcej, ponad 8 na 10 ankietowanych przyznało, że jest „bardzo zadowolonych” ze swojego życia (Carroll, 2007). Jednak niedawne badanie wykazało, że tylko 42% dorosłych Amerykanów jest „bardzo zadowolonych”. Grupy, w których odnotowano największe spadki poziomu szczęścia, to osoby innej rasy niż kaukaska, osoby o niższym wykształceniu oraz osoby, które politycznie identyfikowały się jako Demokraci lub osoby niezależne (McCarthy, 2020). Wyniki te sugerują, że trudne warunki ekonomiczne mogą mieć związek ze spadkiem poziomu szczęścia. Oczywiście ta interpretacja sugeruje, że szczęście jest ściśle powiązane z finansami. Ale czy tak jest? Jakie czynniki wpływają na szczęście? Czynniki powiązane ze szczęściem Co tak naprawdę sprawia, że ludzie są szczęśliwi? Jakie czynniki mają wpływ na osiąganie trwałej radości i zadowolenia? Czy są to pieniądze, atrakcyjność, dobra materialne, dochodowa praca, czy może satysfakcjonujący związek? To zagadnienie przez lata analizowano w szeroko zakrojonych badaniach. Jeden z wniosków sugeruje, że szczęście związane jest z wiekiem. Zadowolenie z życia zazwyczaj rośnie wraz ze starzeniem się ludzi, natomiast nie zauważono różnic w postrzeganiu szczęścia przez przedstawicieli różnych płci (Diener et al., 1999). Większość tych prac ma charakter korelacyjny, mimo to poniżej przedstawiono wiele kluczowych wniosków (niejednokrotnie zaskakujących). Okazuje się, że najważniejszymi czynnikami związanymi ze szczęściem są rodzina i inne relacje społeczne. Badania pokazują, że osoby zamężne są szczęśliwsze niż osoby samotne, rozwiedzione lub owdowiałe (Diener et al., 1999). Ludzie szczęśliwi deklarują również, że ich małżeństwa dają im poczucie spełnienia (Lyubomirsky et al., 2005). Niektóre badania ujawniły, że zadowolenie z życia małżeńskiego i rodzinnego jest najsilniejszym wskaźnikiem szczęścia (Myers, 2000). Osoby szczęśliwe mają na ogół więcej przyjaciół, więcej wartościowych relacji z ludźmi i trwalsze sieci wsparcia społecznego niż ludzie mniej szczęśliwi (Lyubomirsky et al., 2005). Ponadto szczęśliwi z dużą częstotliwością kontaktują się ze znajomymi (Pinquart i Sörensen, 2000). Z kolei behawiorysta Paul Dolan (ur. 1968) przekonuje w swojej książce Happy Ever After: Escaping the Myth of the Perfect Life , że małżeństwo służy, ale głównie mężczyznom. Żonaci mężczyźni deklarują wyższy poziom zadowolenia z życia niż nieżonaci. W przypadku kobiet najzdrowszą i najszczęśliwszą podgrupą są te, które nigdy nie wyszły za mąż ani nie miały dzieci. Doyle tłumaczy to tym, że kobiety ponoszą więcej kosztów związanych z zawarciem małżeństwa i wychowaniem dzieci niż mężczyźni. To na kobietach wciąż spoczywa przeważająca część obowiązków domowych i rodzinnych. Reasumując, nie tyle związek małżeński czy relacje same w sobie są gwarantem szczęścia, ile czerpane z nich satysfakcja i wsparcie. Sam fakt zawarcia małżeństwa czy przyjaźni nie uczyni nas szczęśliwymi. Ale dobre małżeństwo i wspierająca przyjaźń – już tak. Czy pieniądze dają szczęście? Szerokie badania sugerują, że odpowiedź brzmi „tak”, ale z kilkoma zastrzeżeniami. Mimo że produkt krajowy brutto (PKB) na głowę w danym państwie wiąże się z poziomem szczęścia (Helliwell et al., 2013), to zmiany w wysokości PKB (który jest mniej pewnym wskaźnikiem dochodu gospodarstwa domowego) mają niewielki związek ze zmianami w poziomie szczęścia (Diener et al. 2013b). Ogólnie rzecz biorąc, mieszkańcy zamożnych krajów są szczęśliwsi niż ci, którzy mieszkają w biedniejszych państwach. W poszczególnych krajach zamożne osoby są szczęśliwsze niż ludzie biedni, jednak zależność ta jest znacznie słabsza (Diener i Biswas-Diener, 2002). Wzrost dochodów jest powiązany z większym szczęściem (Diener et al., 2013b). Wydaje się jednak, że dochód w poszczególnych społeczeństwach jest tylko do pewnego stopnia skorelowany ze szczęściem. W oparciu o badanie w grupie 450 tys. mieszkańców Stanów Zjednoczonych ankietowanych przez Instytut Gallupa Kahneman i Deaton (2010) stwierdzili, że dobre samopoczucie rośnie wraz z rocznymi dochodami, ale tylko do poziomu 75 tys. dolarów. Średni wzrost deklarowanego dobrego samopoczucia wśród osób z dochodami przekraczającymi 75 000 dolarów jest zerowy. Jeśli chodzi o polskie badania w tym zakresie, Tomasz Szubert (2019) stwierdził po przebadaniu ponad 1100 uczestników, że wartość posiadanego majątku ma wpływ na odczuwane szczęście. Ale od bezwzględnej wartości majątku ważniejsze są dwa czynniki: porównania z innymi oraz porównania w czasie. Znaczenie ma tu nie absolutna, lecz względna wysokość dochodu. Dla poczucia szczęścia ważne jest, abyśmy byli bogatsi niż inni oraz bogatsi obecnie niż w przeszłości. Wyniki te wydają się nieprawdopodobne. Jednak oprócz tego, że wyższe dochody umożliwiają ludziom dogadzanie sobie na wakacjach na Hawajach, zajmowanie najlepszych miejsc podczas wydarzeń sportowych, jeżdżenie luksusowymi samochodami i kupowanie nowych, drogich domów, to mogą też zakłócać ludzką zdolność do czerpania radości z małych życiowych przyjemności (Kahneman, 2011). Autorzy pewnego badania odkryli, że uczestnicy, którym podprogowo przypomniano o bogactwie, poświęcili mniej czasu na delektowanie się czekoladowym batonikiem i czerpali mniejszą rozkosz z tego doświadczenia niż uczestnicy, którym nie przypomniano o bogactwie (Quoidbach, Dunn, Petrides i Mikolajczak, 2010). A co z wykształceniem i zatrudnieniem? Ludzie szczęśliwi w porównaniu z mniej szczęśliwymi mają większe szanse na ukończenie uczelni i zdobycie bardziej znaczącej i angażującej pracy. Gdy już znajdą zatrudnienie, to z większym prawdopodobieństwem mogą odnieść sukces (Lyubomirsky et al., 2005). Podczas gdy wykształcenie wykazuje pozytywną (choć słabą) korelację z poczuciem szczęścia, to inteligencja nie jest w znaczący sposób z nim związana (Diener et al., 1999). Czy religijność koreluje ze szczęściem? Zasadniczo odpowiedź brzmi „tak” (Hackney i Sanders, 2003). Jednak związek między religijnością a szczęściem zależy od otoczenia społecznego. Regiony i kraje, w których panują trudne warunki życia (np. powszechny głód i niska średnia długość życia), są na ogół bardziej religijne niż społeczeństwa żyjące w bardziej sprzyjającym środowisku. U mieszkańców kraju, w którym panują trudne warunki życia, religijność i dobrostan idą w parze, natomiast tam, gdzie ludzie cieszą się dogodnymi warunkami do życia, osoby religijne i niereligijne deklarują zbliżone poziomy dobrego samopoczucia (Diener et al., 2011). Warunki życia danego społeczeństwa mogą zdecydowanie wpłynąć na czynniki związane ze szczęściem. A jak wygląda kwestia wpływu kultury? Ludzie posiadający cechy mocno doceniane w ich kulturze są na ogół szczęśliwsi (Diener, 2012). Przykładowo, poczucie własnej wartości jest silniejszym wskaźnikiem zadowolenia z życia w kulturach indywidualistycznych niż w kolektywistycznych (Diener et al., 1995), a ekstrawertycy są szczęśliwsi w kulturach ekstrawertycznych niż w introwertycznych (Fulmer et al., 2010). Zidentyfikowaliśmy wiele czynników wykazujących korelację ze szczęściem. A jakie czynniki nie są z nim związane? Jako potencjalne czynniki wpływające na szczęście badacze rozważali zarówno rodzicielstwo, jak i atrakcyjność fizyczną, jednak nie stwierdzili żadnego ich związku ze szczęściem. Mimo częstego przekonania, że rodzicielstwo jest kluczowe dla satysfakcjonującego, pełnego sensu życia, zbiorcze wyniki z wielu krajów wskazują, że ludzie bezdzietni są na ogół szczęśliwsi od tych, którzy mają dzieci (Hansen, 2012). Mimo że na pozór poziom postrzeganej własnej atrakcyjności wróży szczęście, to obiektywna atrakcyjność fizyczna danej osoby jest słabo z nim skorelowana (Diener et al., 1995). Przeżycia a szczęście W odniesieniu do szczęścia należy uwzględnić pewną ważną kwestię. Ludzie często słabo radzą sobie z prognozowaniem afektywnym, czyli przewidywaniem intensywności i czasu trwania ich przyszłych emocji (Wilson i Gilbert, 2003). W pewnym badaniu prawie wszystkie świeżo upieczone żony przewidywały, że ich zadowolenie z życia małżeńskiego przez najbliższe cztery lata będzie takie samo lub się poprawi. Mimo tak wysokiego początkowego optymizmu okazało się, że zadowolenie z małżeństwa uległo w tym okresie pogorszeniu (Lavner et al., 2013). Ponadto często mylimy się, szacując, jak nasze długotrwałe szczęście zmieni się na lepsze lub gorsze w reakcji na określone przeżycia. Na przykład wiele osób z łatwością wyobrazi sobie, jaką euforię poczułyby, gdyby wygrały na loterii, zostały zaproszone na randkę przez znaną osobistość lub otrzymały wymarzoną pracę. Łatwo również zrozumieć, jak wytrwali fani drużyny baseballowej Chicago Cubs, która od 1908 roku nie zdobyła mistrzostwa cyklu World Series, czuli się wniebowzięci, gdy ich drużyna w końcu w 2016 roku wygrała finały. Podobnie łatwo przewidzieć, że czulibyśmy się nieszczęśliwi, gdybyśmy doznali paraliżu po wypadku lub rozstali się z ukochaną osobą. Jednak gdy ludzie doświadczają emocjonalnych reakcji na życiowe wydarzenia, często pojawia się stan zbliżony do adaptacji zmysłowej. Podobnie jak nasze zmysły przystosowują się do zmian stymulacji (np. wzrok adaptuje się do jaskrawego światła, gdy w słoneczne popołudnie wyjdziemy na zewnątrz z ciemnej sali kinowej), my również w końcu dostosujemy się do zmieniających się okoliczności w naszym życiu (Brickman i Campbell, 1971; Helson, 1964). Gdy następuje wydarzenie wywołujące pozytywne lub negatywne emocje, z reguły początkowo z pełną intensywnością doświadczamy jego wpływu emocjonalnego. Czujemy wybuch przyjemności po takich wydarzeniach jak oświadczyny, narodziny dziecka, przyjęcie na studia, otrzymanie spadku itp. Jak sobie zapewne wyobrażasz, osoby wygrywające na loterii doświadczają przypływu szczęścia po otrzymaniu wygranej (Lutter, 2007). Na podobnej zasadzie doświadczamy fali smutku po stracie współmałżonka, rozwodzie lub zwolnieniu z pracy. Jednak w dłuższej perspektywie dostosowujemy się w końcu do nowej rzeczywistości. Wpływ emocjonalny danego wydarzenia stopniowo się zmniejsza, a my ostatecznie wracamy do naszego wyjściowego, podstawowego poczucia szczęścia. Zatem to, co początkowo było ekscytującym przypływem gotówki ze szczęśliwego losu lub mistrzostwem w cyklu World Series, w końcu traci swój blask i staje się obecnym stanem rzeczy ( ). W rzeczywistości dramatyczne wydarzenia życiowe mają znacznie mniej długotrwały wpływ na szczęście niż można byłoby przypuszczać (Brickman et al., 1978). (a) Wytrwali fani drużyny Chicago Cubs z pewnością byli wniebowzięci, gdy ich zespół zdobył mistrzostwo w cyklu World Series w 2016 roku, po ponad 100 latach. (b) W podobny sposób osoby grające na loterii uważają, że wybór właściwych liczb i wygranie milionów doprowadzi do przypływu szczęścia. Jednak początkowa euforia po tych ulotnych wydarzeniach prawdopodobnie z czasem osłabnie (Źródło zdjęcia a: modyfikacja pracy Phila Roedera; źródło zdjęcia b: modyfikacja pracy Roberta S. Donovana). Niedawno zaczęły pojawiać się pytania dotyczące zakresu, w jakim ważne życiowe wydarzenia mogą na stałe zmienić punkty graniczne ludzkiego szczęścia (Diener et al., 2006). Wyniki licznych badań sugerują, że w pewnych okolicznościach poziom szczęścia nie wraca do pozycji wyjściowej. Przykładowo, mimo że ludzie na ogół dostosowują się do małżeństwa w takim stopniu, że nie sprawia ono, że są bardziej lub mniej szczęśliwi niż wcześniej, to często nie są w stanie w pełni dostosować się do bezrobocia lub ciężkiej niepełnosprawności (Diener, 2012). , bazujący na danych podłużnych z próby złożonej z ponad 3 tys. niemieckich respondentów, pokazuje poziom zadowolenia z życia kilka lat przed istotnymi życiowymi wydarzeniami, w ich trakcie i kilka lat po nich. Obrazuje on, w jaki sposób ludzie dostosowują się do określonych wydarzeń (lub nie udaje im się tego zrobić). Respondenci z Niemiec nie deklarowali długotrwałego pozytywnego pobudzenia wynikającego z małżeństwa. Zamiast tego występowała krótka poprawa poziomu szczęścia, po której następowała szybka adaptacja. Natomiast wdowy i osoby zwolnione z pracy doświadczały znacznego spadku szczęścia, który prowadził do długotrwałych zmian w zadowoleniu z życia (Diener et al., 2006). Ponadto dane podłużne z tej samej próby ujawniły, że poziom szczęścia mocno się zmienił na przestrzeni lat w przypadku prawie jednej czwartej respondentów, a 9% odczuwało poważne zmiany (Fujita i Diener, 2005). Zatem w przypadku niektórych osób poziom szczęścia w dłuższej perspektywie rzeczywiście się zmienia. Wykres pokazuje poziom zadowolenia z życia kilka lat przed trzema istotnymi wydarzeniami życiowymi, w ich trakcie i po kilku latach (0 wskazuje rok wystąpienia zdarzenia) (Diener et al., 2006). Podnoszenie poziomu szczęścia Najnowsze wyniki badań na temat szczęścia kreślą optymistyczny obraz sugerujący, że możliwe są prawdziwe zmiany poziomu szczęścia. Działania nastawione na poprawę dobrostanu mogą się przyczynić do trwałego podniesienia bazowego poziomu szczęścia. Te zmiany mogą być ukierunkowane na wymiar indywidualny, organizacyjny i społeczny (Diener et al., 2006). Autorzy jednego z badań odkryli, że szereg działań na rzecz szczęścia, obejmujących takie aktywności jak zapisywanie codziennie trzech pozytywnych rzeczy, które wydarzyły się danego dnia, prowadziło do podniesienia jego poziomu. Zwiększony poziom szczęścia utrzymywał się przez kolejne 6 miesięcy (Seligman et al., 2005). Mierzenie poziomu szczęścia i dobrostanu w obszarze społecznym może pomóc decydentom politycznym ustalić, czy i kiedy ludzie są szczęśliwi. Badania pokazują, że średni poziom szczęścia narodowego jest mocno związany z sześcioma kluczowymi zmiennymi: produktem krajowym brutto per capita (PKB na mieszkańca, który odzwierciedla gospodarczy standard życia danego kraju), wsparciem społecznym, swobodą podejmowania ważnych życiowych wyborów, średnią długością życia w dobrym zdrowiu, brakiem dostrzeganej korupcji w rządzie i biznesie oraz szczodrością (Helliwell et al., 2013). Badanie tego, dlaczego ludzie są szczęśliwi lub nie, może pomóc decydentom politycznym w rozwijaniu programów podnoszących poziom szczęścia i dobrostanu w społeczeństwie (Diener et al., 2006). Uchwały dotyczące często dyskutowanych bieżących kwestii politycznych i społecznych – takich jak bieda, podatki, dostęp do opieki medycznej, polityka mieszkaniowa, czyste powietrze i woda, a także nierówności płacowe – najlepiej byłoby podejmować z uwzględnieniem wiedzy na temat ludzkiego szczęścia. Psychologia pozytywna W 1998 roku Martin Seligman (ur. 1942) (ten sam, który przeprowadził wcześniej wspomniane eksperymenty dotyczące wyuczonej bezradności), ówczesny przewodniczący Amerykańskiego Towarzystwa Psychologicznego, zalecił, by psychologowie bardziej koncentrowali się na zrozumieniu tego, jak budować ludzką siłę i dobrostan psychiczny. Świadomie wyznaczając nowy kierunek dla psychologii, Seligman przyczynił się do stworzenia rozwijającego się ruchu i dziedziny badań nazywanych „psychologią pozytywną” (Compton, 2005). W bardzo ogólnym znaczeniu psychologia pozytywna (ang. positive psychology ) to nauka o szczęściu – obszar badań, których celem jest określenie i promowanie jakości prowadzących do większego poczucia spełnienia w życiu. Dziedzina ta analizuje ludzkie mocne strony oraz czynniki, które pomagają jednostkom wieść szczęśliwe, satysfakcjonujące życie; nie koncentruje się na patologiach, wadach i problemach. Według Seligmana i Csikszentmihalyi'ego (2000), psychologia pozytywna: na poziomie subiektywnym dotyczy wartościowych indywidualnych doświadczeń: pogody ducha, zadowolenia i satysfakcji (w odniesieniu do przeszłości); nadziei i optymizmu (w odniesieniu do przyszłości); oraz… szczęścia (w kontekście teraźniejszości). Na poziomie jednostki dotyczy pozytywnych cech indywidualnych, takich jak zdolność do miłości, powołanie, odwaga, umiejętności interpersonalne, wrażliwość estetyczna, wytrwałość, zdolność do wybaczania, oryginalność, otwartość na przyszłość, duchowość, talent oraz mądrość (str. 5). Do obszarów zainteresowań psychologów pozytywnych zaliczają się: altruizm i empatia, kreatywność, umiejętność wybaczania i współczucia, istota pozytywnych emocji, wzmacnianie funkcjonowania układu odpornościowego, smakowanie ulotnych chwil w życiu, a także wzmacnianie cnót jako sposób na poprawę poziomu prawdziwego szczęścia (Compton, 2005). Najnowsze dokonania w dziedzinie psychologii pozytywnej koncentrują się na rozszerzeniu jej zasad w kierunku pokoju i dobrostanu na poziomie społeczności globalnej. W świecie rozdartym wojnami, w którym powszechne są konflikty, nienawiść i brak zaufania, taka rozszerzona „pozytywna psychologia pokoju” może mieć istotne znaczenie dla zrozumienia, w jaki sposób pokonać prześladowania i wypracować pokój na świecie (Cohrs et al., 2013). Center for Investigating Healthy Minds Center for Investigating Healthy Minds działające przy Waisman Center na kampusie Uniwersytetu Wisconsin w Madison prowadzi wnikliwe badania naukowe nad służącymi zdrowiu aspektami umysłu, takimi jak życzliwość, zdolność wybaczania, współczucie oraz rozwaga. Centrum, założone w 2008 roku i kierowane przez znanego neurobiologa dr. Richarda J. Davidsona, analizuje szereg koncepcji, w tym takie aspekty jak program nauczania życzliwości w szkołach, neuronalne korelaty zachowań prospołecznych, efekty psychologiczne treningu tai-chi, gry cyfrowe wspierające zachowania prospołeczne u dzieci, a także skuteczność jogi i ćwiczeń oddechowych w zmniejszaniu objawów zespołu stresu pourazowego. Według informacji dostępnych na stronie internetowej Centrum zostało ono założone po tym, jak Jego Świątobliwość XIV Dalajlama postawił przed doktorem Davidsonem zadanie „zastosowania wymogów nauki do zbadania pozytywnych właściwości umysłu” (Center for Investigating Health Minds, 2013). Centrum nadal prowadzi badania naukowe mające na celu rozwój programów szkolenia zdrowego umysłu, aby ludzie prowadzili szczęśliwsze i zdrowsze życie. Afekt pozytywny i optymizm W ramach szeroko zakrojonych badań z zakresu psychologii pozytywnej analizowano rolę cech psychicznych w zachowaniu dobrostanu fizycznego. Właściwości, które sprzyjają dobrostanowi psychicznemu (np. znajdowanie w życiu sensu i celu, poczucie niezależności, pozytywne emocje i zadowolenie z życia), wiążą się z wieloma korzystnymi skutkami zdrowotnymi (w szczególności lepszym zdrowiem układu krążenia) głównie poprzez związek z funkcjami biologicznymi i zachowaniami prozdrowotnymi (takimi jak właściwa dieta, aktywność fizyczna i dobry sen) (Boehm i Kubzansky, 2012). Cecha, która przykuła dużą uwagę, to afekt pozytywny (ang. positive affect ), odnoszący się do zaangażowania w otoczenie, czemu towarzyszą przyjemne stany, takie jak szczęście, radość, entuzjazm, pobudzenie i ekscytacja (Watson et al, 1988). Afekt pozytywny, podobnie jak (omawiany wcześniej) afekt negatywny, może być krótkotrwały, długotrwały lub o charakterze cechy (Pressman i Cohen, 2005). Afekt pozytywny, niezależnie od wieku, płci i poziomu dochodów, jest skorelowany z silniejszym poczuciem więzi społecznych, wsparciem emocjonalnym i praktycznym, próbami adaptacyjnego radzenia sobie ze stresem i niższym nasileniem depresji. Jest on również związany z długością życia i prawidłowym funkcjonowaniem fizjologicznym (Steptoe et al., 2008). Afekt pozytywny stanowi również czynnik chroniący przed chorobami serca. W trwającym 10 lat badaniu mieszkańców prowincji Nowa Szkocja współczynnik chorób serca malał o 22% wraz z każdym jednopunktowym wzrostem na 5-stopniowej skali afektu pozytywnego (od 1 – brak wykazywanego afektu pozytywnego, do 5 – ekstremalny afekt pozytywny) (Davidson et al., 2010). Zatem w kontekście zdrowia przydatna jest rada zawarta w tytule piosenki Don't Worry, be Happy . Wiele badań sugeruje, że optymizm (ang . optimism ) – ogólna tendencja do patrzenia na pozytywne strony życia – jest również istotnym czynnikiem przekładającym się na dobre wyniki zdrowotne. Afekt pozytywny i optymizm to nie to samo, mimo że zjawiska te są w pewien sposób powiązane (Pressman i Cohen, 2005). Afekt pozytywny dotyczy głównie stanu pozytywnych uczuć, natomiast optymizm postrzega się jako ogólną tendencję do oczekiwania, że przydarzą się pozytywne rzeczy (Chang, 2001). Optymizm traktuje się również jako skłonność do postrzegania życiowych stresorów i trudności jako przejściowych i niezależnych od jednostki (Peterson i Steen, 2002). Liczne badania na przestrzeni wielu lat regularnie pokazują, że optymizm wiąże się z dłuższym życiem, zdrowszymi zachowaniami, mniejszą liczbą komplikacji pooperacyjnych, lepszym funkcjonowaniem układu odpornościowego u mężczyzn z rakiem prostaty oraz lepszym przestrzeganiem zaleceń lekarskich (Rasmussen i Wallio, 2008). Co więcej, optymiści deklarują mniej objawów fizycznych, mniejszy ból, lepsze funkcjonowanie pod względem fizycznym i rzadziej są ponownie hospitalizowani po operacjach serca (Rasmussen et al., 2009). Przepływ ( flow ) Kolejnym czynnikiem odgrywającym ważną rolę w rozwoju głębokiego poczucia dobrostanu jest umiejętność doznania uczucia przepływu dzięki rzeczom, którymi zajmujemy się w życiu. Przepływ (ang. flow) opisuje się jako szczególne doświadczenie, na tyle angażujące i wciągające, że staje się ono warte wykonania dla czystej przyjemności z samej tej aktywności (Csikszentmihalyi, 1997). Zazwyczaj odnosi się do przedsięwzięć kreatywnych i zajęć rekreacyjnych, ale mogą go doświadczyć również pracownicy, którzy lubią swoją pracę, albo studenci, którzy uwielbiają się uczyć (Csikszentmihalyi, 1999). Wiele osób błyskawicznie rozpozna uczucie przepływu. Angielski odpowiednik tego terminu – flow – był właściwie spontanicznie używany przez badanych, którzy mieli opisać, co czuli, gdy dobrze szło im wykonywanie jakiejś czynności. Kiedy ludzie doświadczają przepływu, angażują się w daną aktywność do tego stopnia, że się w niej zatracają. Bez trudu utrzymują koncentrację i skupienie, czują, że mają pełną kontrolę nad swoimi działaniami, a czas biegnie szybciej niż zazwyczaj (Csikszentmihalyi, 1997). Przepływ uznaje się za przyjemne doświadczenie. Najczęściej pojawia się, gdy ludzie angażują się w wymagające działania, do których niezbędne są umiejętności i wiedza, jakie – w swoim odczuciu – posiadają. Przykładowo ludzie z większym prawdopodobieństwem zadeklarują doświadczenie przepływu w odniesieniu do pracy czy zainteresowań niż w stosunku do jedzenia. Na pytanie „Czy kiedykolwiek tak mocno się w coś zaangażowałeś/zaangażowałaś, że nic innego nie miało znaczenia i straciłeś/straciłaś rachubę czasu?”, ok. 20% Amerykanów i Europejczyków odpowiedziało, że regularnie miewa takie doświadczenia (Csikszentmihalyi, 1997). Chociaż miło jest być zamożnym i posiadać dobra materialne, to pojęcie przepływu sugeruje, że żaden z tych elementów nie jest warunkiem koniecznym szczęśliwego i spełnionego życia. Kluczem jest być może znalezienie czynności, która wprawia nas w prawdziwy entuzjazm, czegoś tak absorbującego, że ta aktywność sama w sobie daje satysfakcję (niezależnie od tego, czy jest to gra w tenisa, nauka arabskiego, pisanie opowiadań dla dzieci czy gotowanie wytwornych dań). Zdaniem Csikszentmihalyi'ego (1999) stworzenie warunków umożliwiających doświadczanie przepływu powinno być naczelnym społecznym i politycznym priorytetem. Jak można to osiągnąć? Jak promować koncepcję przepływu w systemach szkolnictwa lub w miejscach pracy? Jakie potencjalne korzyści mogą przynieść takie starania? W idealnym świecie przedsięwzięcia podejmowane w ramach badań naukowych powinny nam mówić, jak uczynić świat lepszym dla wszystkich ludzi. Psychologia pozytywna daje przesłanki do zrozumienia, co naprawdę kształtuje nadzieję, optymizm, szczęście, zdrowe relacje, przepływ i prawdziwe poczucie osobistego spełnienia. Summary Mianem szczęścia określa się trwający stan umysłu, na który składają się zdolność do doświadczania przyjemności w codziennym życiu, jak również wykorzystywania swoich umiejętności i talentów do wzbogacenia życia własnego i innych. Mimo że ludzie na całym świecie zasadniczo deklarują, że są szczęśliwi, to w zależności od kraju obserwuje się różnice w średnim poziomie szczęścia. Ludzie mają tendencję do przeszacowywania stopnia, w jakim ich graniczne punkty szczęścia zmienią się na lepsze lub gorsze w następstwie określonych przeżyć. Badacze zidentyfikowali szereg czynników związanych ze szczęściem. W ostatnich latach obserwuje się rozwój psychologii pozytywnej, dziedziny badań zmierzającej do określenia i promowania wartości prowadzących do większego szczęścia i spełnienia w życiu. Review Questions Która z poniższych czynności nie jest jednym z domniemanych komponentów szczęścia? wykorzystywanie naszych talentów do poprawy życia innych uczenie się nowych umiejętności regularne przyjemne doświadczenia identyfikowanie i wykorzystywanie naszych talentów do wzbogacania własnego życia B Badacze określili szereg czynników związanych ze szczęściem. Który z niżej wymienionych się do nich nie zalicza ? wiek roczny dochód do 75 000 dolarów atrakcyjność fizyczna małżeństwo C Jaka jest różnica między afektem pozytywnym a optymizmem? Optymizm jest bardziej naukowy niż afekt pozytywny. Afekt pozytywny jest bardziej naukowy niż optymizm. Afekt pozytywny dotyczy stanu uczuć, a optymizm dotyczy oczekiwań. Optymizm dotyczy stanu uczuć, a afekt pozytywny dotyczy oczekiwań. C Krzysztof uwielbia pisać kryminały, kilka z nich udało mu się nawet opublikować. Podczas pisania niesamowicie skupia się na swojej pracy. W zasadzie jest nią tak pochłonięty, że często traci poczucie czasu i chodzi spać o 3 w nocy. Zachowanie Krzysztofa doskonale ilustruje koncepcję ________. punktu granicznego szczęścia adaptacji afektu pozytywnego przepływu D Critical Thinking Questions Uwzględniając trzy wymiary szczęścia omówione w niniejszym podrozdziale (życie przyjemne, życie zaangażowane i życie pełne sensu), powiedz, jakie kroki można podjąć, by podnieść poziom własnego szczęścia. Odpowiedzi będą różne, ale mogą np. odwoływać się do aspektów zwiększających pozytywne emocje (życie przyjemne), rozwijania oraz stosowania umiejętności i talentów (życie zaangażowane), a także wykorzystywania własnych talentów do pomocy innym (życie pełne sensu). W dniu poprzedzającym losowanie Lotto z kumulacją 30 mln złotych zauważasz przed pobliskim sklepem długą kolejkę po kupony. W oparciu o zdobytą wiedzę przedstaw swój punkt widzenia: dlaczego ci ludzie w niej stoją oraz co prawdopodobnie się stanie, jeśli jednej z tych osób uda się wytypować szczęśliwe liczby? Zgodnie z prognozowaniem afektywnym tych osób wierzą one, że jeśli wygrają, ich życie będzie niezmiernie szczęśliwe. Mimo że w ujęciu krótkoterminowym wygrana z pewnością wywoła u nich przypływ euforii, to w dalszej perspektywie zapewne dostosują się do sytuacji, a ich poziom szczęścia wróci do normy. Większość ludzi zapomina o tym fakcie, szczególnie gdy uwzględnia intensywność i czas trwania swoich emocji po ważnym życiowym wydarzeniu. Personal Application Question Zastanów się nad czynnością, która jest dla ciebie angażująca i absorbująca. Może to być na przykład granie w gry wideo, czytanie lub jakieś inne hobby. Jakie są twoje typowe zachowania podczas wykonywania tej czynności? Czy są one zgodne z koncepcją przepływu? Jeśli tak, to w jaki sposób? Czy myślisz, że doświadczenia te wzbogaciły twoje życie? Dlaczego? przepływ (ang. flow) stan obejmujący intensywne zaangażowanie w jakieś zajęcie; zwykle doświadcza się go, uczestnicząc w kreatywnej, angażującej aktywności, która sprawia nam przyjemność szczęście (ang. happiness) stan umysłu, na który składa się radość, zadowolenie i inne pozytywne uczucia; poczucie, że nasze życie ma sens i wartość optymizm (ang. optimism) cecha osobowości obejmująca pozytywne nastawienie do świata i oczekiwanie pozytywnych efektów afekt pozytywny (ang. positive affect ) cecha osobowości sprawiająca, że nasze interakcje z otoczeniem są pozytywne, a emocje, jakie wzbudzają, to m.in. szczęście, radość, entuzjazm, pobudzenie i podniecenie psychologia pozytywna (ang. positive psychology) dziedzina badań naukowych zajmująca się identyfikowaniem i promowaniem cech i zachowań prowadzących do zwiększenia odczucia szczęścia, spełnienia i satysfakcji z życia", "section": "Dążenie do szczęścia", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Składanie wieńca w hołdzie ofiarom strzelaniny w Washington Navy Yard. (Źródło: modyfikacja pracy D. Myles Cullen z Departamentu Obrony USA). W poniedziałek 16 września 2013 roku, gdy w waszyngtońskiej stoczni marynarki wojennej właśnie zaczynał się dzień pracy, 12 osób zginęło od kul 34-letniego Aarona Alexisa. Zabójca już wcześniej miał problemy psychiczne; uważał, że jest kontrolowany falami radiowymi. Zadzwonił na policję, by poskarżyć się na głosy w głowie i na to, że jest szpiegowany przez „ciemne siły” (Thomas et al., 2013). Choć nic nie może usprawiedliwić jego czynu, to wyraźnie widać, że cierpiał na zaburzenie psychiczne. Zaburzenie psychiczne nie musi jednak prowadzić do agresji. O wiele częściej to chorzy są jej ofiarami (Stuart, 2003). Gdyby jednak Aaron otrzymał pomoc, jakiej wymagał, to tej tragedii można by było zapobiec. Bibliografia Abela, J. R., Hankin, B. L. (2011). 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{"text": "Czym są zaburzenia psychiczne? Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Zrozumieć problemy związanych z definiowaniem pojęcia zaburzenia psychicznego Wyjaśnij, co oznacza pojęcie szkodliwej dysfunkcji Zidentyfikować formalne kryteria, jakie muszą spełniać myśli, uczucia i zachowania, aby można je było uznać za nieprawidłowe, a tym samym symptomatyczne dla zaburzenia psychicznego Zaburzenie psychiczne (ang. mental disorders ) to wszelkie odstępstwa od stanu zdrowia psychicznego. Badaniem zaburzeń psychicznych – ich objawów, etiologii (przyczyn) – i leczeniem zajmuje się psychopatologia (ang. psychopathology ). Termin „psychopatologia” może się też odnosić do widocznych przejawów zaburzeń psychicznych. I choć czasem trudno osiągnąć konsensus, to niezwykle ważne jest, by specjaliści w zakresie zdrowia psychicznego uzgodnili, jakie odstępstwa od stanu zdrowia psychicznego naprawdę są dysfunkcyjne, tj. jasno wskazujące na obecność pewnego rodzaju psychopatologii. Odstępstwem od zdrowia psychicznego jest mycie rąk 100 razy dziennie albo twierdzenie, że słyszy się demony. Czy jest nim także zdenerwowanie podczas rozmowy z atrakcyjną osobą albo tęsknota za domem, jaką odczuwa świeżo upieczony student w pierwszym semestrze nauki w dalekim, nieznanym mieście? Nie jest. Choć uczucia te nie występują na co dzień, mieszczą się w granicach tego, co uznajemy za normę. Co zatem świadczy o rzeczywistym zaburzeniu psychicznym? Psychologowie starają się rozróżniać zaburzenia psychiczne i zachowania, które występują tylko w określonych sytuacjach, są indywidualne lub nietypowe. Definicja zaburzenia psychicznego Być może najprostszym sposobem zdefiniowania zaburzeń psychicznych jest określenie zachowań, myśli i wewnętrznych doświadczeń, które są nietypowe, stresujące, dysfunkcyjne, a niekiedy nawet niebezpieczne. Jeśli np. zaprosisz koleżankę lub kolegę na randkę, a ta osoba ci odmówi, pewnie będziesz odczuwać przygnębienie i zniechęcenie. Takie uczucia uznamy za normalne. Gdyby jednak takie doświadczenie wpędziło kogoś w depresję na tyle głęboką, że straciłby zainteresowanie otoczeniem, nie mógł spać, przestał jeść, czuł się totalnie bezwartościowy, a nawet pojawiłyby się myśli o samobójstwie, wtedy taka reakcja zostałaby powszechnie uznana za atypową (ang. atypical ), odbiegającą od normy i mogącą świadczyć o istnieniu zaburzenia psychicznego. Warto pamiętać, że sam fakt, że coś jest atypowe, nie świadczy jeszcze o tym, że jest zaburzeniem. By wyraźnie pokazać brak korelacji częstości występowania jakiejś cechy i przyjętej normy, odwołamy się do prostego przykładu spoza obszaru psychologii, związanego ze statystyką pojawiania się jednej z cech fizycznych człowieka: koloru włosów. Tylko około 4% mieszkańców Stanów Zjednoczonych ma rude włosy, można zatem powiedzieć, że rude włosy są cechą atypową ( ), lecz nie nieprawidłową. Są też mniej nietypowe, np. w Szkocji, gdzie osoby z rudymi włosami stanowią nawet 13% populacji (DNA Project Aims, 2012). Krótko mówiąc: norma nie jest ustalana na podstawie częstości występowania danej cechy. Zasadę tę stosuje się również w określaniu, które zachowania atypowe świadczą o zaburzeniu psychicznym. Rude włosy są uznawane za cechę nietypową, ale nie nieprawidłową. (a) Isla Fischer, (b) książę Harry, (c) Marcia Cross to trzy znane osoby o rudych włosach. (Źródło: a: modyfikacja pracy Richarda Goldschmidta; b: modyfikacja pracy Glyn Lowe; c: modyfikacja pracy Kirka Weavera). Co więcej, niektóre zaburzenia, choć nie do końca typowe, dalekie są od nieprawidłowości, a częstość ich występowania w populacji jest zadziwiająco wysoka. Jeśli zgodzimy się, że nietypowość nie jest wystarczającym kryterium do zdefiniowania zaburzenia psychicznego, można próbować rozważać, czy wskazaniem na zaburzenie jest przejawianie zachowań wyraźnie odbiegających od tych akceptowanych społecznie. Należałoby tu wziąć pod uwagę dodatkowe kryterium, tj. zagrażanie swojemu lub cudzemu dobrostanowi. Idąc dalej tym tokiem rozumowania, moglibyśmy uznać, że ktoś, kto w czasie ostrych mrozów chodzi po ulicy w letnim ubraniu i klnie na przechodniów, może mieć zaburzenia psychiczne, bo zachowanie tej osoby jest atypowe i potencjalnie dla niej niebezpieczne. Oczekiwania społeczne Łamanie oczekiwań społecznych nie jest powodem do stwierdzenia zaburzenia psychicznego. Norma zachowania różni się bowiem w zależności od kontekstu kulturowego (ang. cultural context ). To, co w jednej społeczności jest zachowaniem oczekiwanym i odpowiednim, w innej może być odbierane jako łamanie zasad. Na przykład odwzajemnienie uśmiechu nieznajomemu w Polsce, we Francji czy w Stanach Zjednoczonych jest czymś oczekiwanym, gdyż powszechna norma społeczna wymaga, byśmy odwzajemniali przyjazne gesty. Ktoś, kto tego nie robi, może być uznany za nieprzystosowanego społecznie. Jednakże oczekiwania w innych kulturach mogą być odmienne. W Japonii za odpowiednie uznaje się bycie wobec nieznajomych powściągliwym i zachowywanie w kontaktach z nimi daleko posuniętej rezerwy, w związku z czym Japończycy na ogół nie odwzajemniają uśmiechów od nieznajomych (Patterson et al., 2007). Innym przykładem normy kulturowej jest kontakt wzrokowy. W Europie i Stanach Zjednoczonych podtrzymywanie kontaktu wzrokowego uznawane jest za przejaw szczerości i uwagi. Jednakże większość kultur Ameryki Południowej, Azji i Afryki interpretuje bezpośredni kontakt wzrokowy jako niestosowny, konfrontacyjny, a nawet agresywny (Pazain, 2010). Stąd, w zależności od kultury, ktoś, kto nawiązuje z tobą kontakt wzrokowy, może być uznany za postępującego właściwie i z szacunkiem albo wręcz przeciwnie, za bezwstydnego i agresywnego ( ). Kontakt wzrokowy to jedno z wielu zachowań społecznych, których ocena różni się w zależności od kultury. (Źródło: Joi Ito). W społeczeństwach Zachodu halucynacje (czyli widzenie lub słyszenie czegoś, co nie ma fizycznej podstawy) są naruszeniem oczekiwań kulturowych, a osoba, która zgłasza tego rodzaju doświadczenia, łatwo bywa oceniana jako zaburzona psychicznie. Tymczasem w innych kulturach wizje, np. dotyczące przyszłych zdarzeń, mogą być uznawane za normalne doświadczenia i oceniane pozytywnie (Bourguignon, 1970). Na koniec wreszcie, ważne jest, by zdać sobie sprawę, że normy kulturowe zmieniają się w czasie, i to, co w jednej epoce było uznawane za typowe, później już za takie nie uchodzi; podobnie jak strój będący niegdyś szczytem mody za kilka dekad mógłby co najwyżej wzbudzać zaciekawienie. Mit choroby psychicznej W latach 50. i 60. XX wieku szeroko krytykowano samą koncepcję choroby psychicznej. Skupiano się m.in. na tym, że choroba psychiczna (ang. mental illness ) „to mit, którego zadaniem jest uzasadniać interwencję psychiatryczną w przypadkach zachowań społecznie nieakceptowanych” (Wakefield, 1992). Najbardziej chyba znanym orędownikiem tego poglądu był psychiatra Thomas Szasz (1920-2012). Argumentował, że pojęcie choroby psychicznej zostało wymyślone przez społeczeństwo i środowisko psychiatryczne, by stygmatyzować i podporządkowywać sobie ludzi, którzy swoim zachowaniem łamali ustalone normy społeczne i prawne. Szasz sugerował nawet, że to, co uznawano za przejawy choroby, lepiej można określić jako „problemy życiowe” (Szasz, 1960). W swojej wydanej w 1961 roku książce The Myth of Mental Illness: Foundations of a Theory of Personal Conduct („Mit choroby psychicznej”) Szasz wyraził sprzeciw wobec koncepcji choroby psychicznej i samej psychiatrii jako dziedziny medycyny (Oliver, 2006). Szasz opierał swoją krytykę na stwierdzeniu, że kryteriami określającymi rzeczywistą chorobę są możliwe do wykrycia nieprawidłowości w budowie i funkcjonowaniu organizmu (np. zakażenia i uszkodzenia lub zaburzenia funkcji narządów). Objawom sugerowanej choroby psychicznej nie towarzyszą wykrywalne nieprawidłowości, więc tak zwane zaburzenia psychiczne nie są w ogóle zaburzeniami. Szasz (1961/2010) twierdził, że „choroba może atakować wyłącznie ciało, zatem nie może istnieć coś takiego, jak choroba umysłu” (Szasz, 2010). Po latach Szasz nie zmienił poglądów i w 2011 roku w pracy „Mit choroby psychicznej: 50 lat później\" opublikowanej w „ The Psychiatrist ” (2011) pisze ( za podyplomie.pl ): Wszystko, co czytam, obserwuję i czego się uczę, potwierdza moje młodzieńcze wrażenie, że zachowania, które nazywamy chorobami psychicznymi i którym przyporządkowaliśmy mnóstwo uwłaczających etykiet w naszym leksykonie rodzajów szaleństwa, w istocie nie są chorobami w znaczeniu medycznym. Są to produkty medykalizacji zaburzonych zachowań – to znaczy konstrukty myślowe utworzone przez obserwatora postrzegającego osoby, które obserwuje, jako jednostki medycznie upośledzone i wymagające medycznego leczenia. Motorem tej transformacji kulturowej jest głównie współczesna ideologia terapeutyczna, która zastąpiła dawny pogląd teologiczny. Ogólnie rzecz biorąc, praktyka medyczna opierała się zawsze na zgodzie pacjenta, choć od tej reguły zdarzały się wyjątki. Z zasady tej wynika, że obecność choroby somatycznej nie usprawiedliwia pozbawienia pacjenta wolności, może to sprawić jedynie brak kompetencji prawnej (lub możliwe do udowodnienia zagrożenie występujące np. w przypadku chorób zakaźnych). Uważam więc, że nie tylko większość osób uznanych za chore psychicznie nie jest wcale chora, ale ponadto pozbawianie tych osób wolności i orzekanie o ich niepoczytalności na podstawie choroby – czy to w sensie dosłownym czy metaforycznym – jest poważnym pogwałceniem ich podstawowych ludzkich praw. Podczas nauki w szkole medycznej zacząłem rozumieć, że moja interpretacja jest właściwa – choroba psychiczna jest mitem, a poszukiwanie jej przyczyn i sposobów jej leczenia to głupota. Zrozumienie tego faktu zwiększyło mój opór moralny wobec władzy, którą psychiatrzy mają nad swoimi pacjentami. Dziś zdajemy sobie sprawę, jak ogromny ból może być udziałem osób z zaburzeniami psychicznymi; jakiego cierpienia mogą im przysparzać myśli i emocje, dysfunkcyjne zachowania, wysoki poziom stresu i trudności w codziennym funkcjonowaniu. Tym samym bardzo trudno podważyć fakt rzeczywistego istnienia zaburzeń psychicznych. Choć poglądy Szasza i jego zwolenników mogą się wydawać kontrowersyjne, to wywarły duży wpływ na społeczność pracowników ochrony zdrowia psychicznego. Po pierwsze, współcześnie zarówno ogół społeczeństwa, jak i politycy, psychologowie oraz psychiatrzy często opisują zaburzenia psychiczne jako „problemy psychiczne”, przez co pośrednio uznają, że są to „problemy życiowe”, jak je opisywał Szasz (Buchanan-Barker i Barker, 2009). Podobnie znaczący okazał się pogląd Szasza na homoseksualizm. Był to prawdopodobnie pierwszy psychiatra, który otwarcie zakwestionował pogląd, że homoseksualizm jest zaburzeniem psychicznym (Szasz, 1965). W ten sposób pomógł otworzyć drogę do praw i wolności obywatelskich, jakimi dziś mogą się cieszyć geje i lesbijki (Barker, 2010). Jego prace wpłynęły też na zmiany przepisów chroniących prawa osób przebywających w zakładach psychiatrycznych i pozwalających takim osobom na większą kontrolę nad własnym życiem (Buchanan-Barker i Barker, 2009). Szkodliwa dysfunkcja W jaki sposób można zdefiniować zaburzenie, jeśli żadne z omawianych wyżej kryteriów nie jest wystarczające do postawienia diagnozy? Podjęto wiele wysiłków, by tę kwestię uregulować i określić swoiste cechy zaburzeń psychicznych, ale żadna definicja nie okazała się w pełni satysfakcjonująca. Nie istnieje uniwersalna definicja zaburzenia psychicznego (ang. mental disorder), która byłaby prawdziwa w każdej sytuacji, gdy to zaburzenie się przejawia (Zachar i Kendler, 2007). Jedną z bardziej wpływowych koncepcji zaproponował Wakefield (1992). Określił on zaburzenie psychiczne mianem szkodliwej dysfunkcji (ang. harmful dysfunction ). Wakefield twierdził, że naturalne, rozwinięte na drodze ewolucji procesy psychiczne (tj. poznanie, rozumienie i uczenie się) pełnią ważne funkcje, np. pozwalają nam realistycznie odbierać wrażenia ze świata, myśleć racjonalnie, rozwiązywać problemy i komunikować się. Zdolność uczenia się pozwala nam np. kojarzyć strach z zagrożeniem w sposób, w którym nasilenie strachu jest proporcjonalne do skali rzeczywistego zagrożenia. O dysfunkcji mówimy, kiedy wewnętrzny mechanizm zawodzi i nie może już prawidłowo odgrywać swojej roli. Jednakże sama dysfunkcja nie stanowi o zaburzeniu. Żeby tak było, musi być szkodliwa, czyli wywoływać negatywne skutki dla jednostki lub innych osób, zgodnie ze standardami danej kultury. Szkodliwość może obejmować wewnętrzne cierpienie (np. wysoki poziom lęku lub depresji) albo problemy w codziennym funkcjonowaniu (np. w pracy czy w kontaktach społecznych). Przykład? Janina potwornie boi się pająków. Jej lęk może być uznany za dysfunkcję, gdyż świadczy o tym, że jej mechanizm uczenia się nie działa prawidłowo (zaburzony proces nie pozwala dziewczynie właściwie ocenić rzeczywistego zagrożenia, jakie stwarzają pająki, i dopasować do niego odpowiedniego poziomu strachu). Arachnofobia Janiny ma znaczący, negatywny wpływ na jej codzienne życie: dziewczyna unika wszelkich sytuacji, w których mogłaby napotkać pająka (np. piwnic, ale i domów przyjaciół). W zeszłym miesiącu rzuciła też pracę, bo w toalecie zauważyła pająka. Teraz jest bezrobotna. Zgodnie z modelem szkodliwej dysfunkcji to, co przeżywa Janina, można uznać za zaburzenie, ponieważ: (a) istnieje dysfunkcja wewnętrznego mechanizmu i (b) ta dysfunkcja prowadzi do negatywnych skutków. Podobnie jak objawy choroby somatycznej odzwierciedlają dysfunkcje procesów biologicznych, tak objawy zaburzenia psychicznego prawdopodobnie odzwierciedlają dysfunkcje procesów umysłowych. Obecny w tym modelu czynnik „wewnętrznego mechanizmu” wydaje się szczególnie interesujący, gdyż zakłada, że zaburzenia mogą być efektem rozpadu biologicznych funkcji odpowiedzialnych za rozmaite procesy psychiczne, a co za tym idzie, wpisuje się we współczesne, neurobiologiczne modele zaburzeń psychicznych (Fabrega, 2007). Definicja Amerykańskiego Towarzystwa Psychiatrycznego Wiele cech modelu szkodliwej dysfunkcji włączono do oficjalnej definicji opracowanej przez American Psychiatric Association (APA) z 2013 roku. Zgodnie z nią zaburzenie psychiczne to stan, w którym: W ystępują znaczące zaburzenia myśli, uczuć i zachowań. Dotknięta zaburzeniem osoba musi doświadczać wewnętrznych stanów (myśli i/lub emocji) oraz prezentować zachowania, które wyraźnie odbiegają od normy, a do tego są negatywne i bezcelowe. Takie zaburzenia często niepokoją otoczenie. Np. ktoś, kto przez cały czas myśli o mikrobach, codziennie spędza długie godziny na kąpieli, ma natrętne myśli i zachowuje się w sposób, który większość uznałaby za nietypowy i negatywny, a także dezorganizujący życie danej osoby lub jej rodziny. Zaburzenia są odzwierciedleniem pewnego rodzaju dysfunkcji: biologicznych, psychologicznych lub rozwojowych . Nieprawidłowe wzorce wewnętrznych przeżyć i zachowań powinny odzwierciedlać pewną skazę (dysfunkcję) w mechanizmach (biologicznych, psychologicznych i rozwojowych) odpowiedzialnych za prawidłowe, zdrowe funkcjonowanie psychiczne. Halucynacje obserwowane w schizofrenii mogą np. być objawem nieprawidłowości w budowie lub czynności mózgu. Zaburzenia są powodem silnego stresu lub pogorszenia w codziennym funkcjonowaniu . Uważa się, że czyjeś zachowania i wewnętrzne przeżycia są przejawem zaburzenia psychicznego tylko, jeżeli są one dla tej osoby przyczyną znaczącego stresu albo wyraźnie pogarszają jej normalne funkcjonowanie (co określa się też mianem zaburzeń czynnościowych lub zawodowych i społecznych). Fobia społeczna może być tak stresująca, że prowadzi do unikania wszelkich interakcji z innymi ludźmi, co może np. być przyczyną opuszczania zajęć w szkole czy niemożności znalezienia pracy. Zaburzenia nie są przejawem oczekiwanych ani społecznie akceptowanych reakcji na konkretne wydarzenia. Żeby zostały uznane za zaburzenia, myśli, uczucia i zachowania muszą być społecznie nieakceptowanymi reakcjami na zdarzenia, jakie zdarzają się w życiu każdego z nas. I tak, całkowicie naturalną (i oczekiwaną) reakcją na śmierć kogoś z bliskiej rodziny będzie bezgraniczny smutek i chęć bycia zostawionym w spokoju i samotności. Taka reakcja jest w pewnym sensie oczekiwana kulturowo, ktoś, kto ją przejawia, nie będzie więc w takiej sytuacji uznany za zaburzonego psychicznie. Niektórzy uważają, że nie istnieje jedno niepodważalne kryterium (czy też zestaw kryteriów), na podstawie którego można byłoby jednoznacznie oddzielić przypadki wszystkich zaburzeń od przejawów normy (Lilienfeld i Marino, 1999). W rzeczywistości żadne pojedyncze kryterium zaburzenia psychicznego nie jest kompletne, podobnie jak nie istnieje ogólnoświatowa zgoda co do tego, gdzie leży granica między normą a zaburzeniem. Od czasu do czasu każdy z nas doświadcza lęku, miewa natrętne myśli i chwile smutku. Nasze zachowanie może niekiedy wydawać się innym, albo i nam samym, kompletnie pozbawione sensu. Wewnętrzne przeżycia i czyny mogą mieć różne nasilenie, ale za nieprawidłowe uznaje się je tylko wtedy, gdy bardzo przeszkadzają nam lub naszemu otoczeniu, sugerują zaburzenie prawidłowego funkcjonowania umysłu i wiążą się ze znaczącym stresem lub niemożnością funkcjonowania w rolach zawodowych i społecznych. Podsumowanie Zaburzenia psychiczne to stany charakteryzujące się nieprawidłowymi myślami, uczuciami i zachowaniami. Dla psychologów i specjalistów zdrowia psychicznego kluczowym, choć trudnym wyzwaniem, jest uzgodnienie, jakie rodzaje zachowań i wewnętrznych przeżyć powinno się uznać za przejaw zaburzenia psychicznego. Można byłoby za takowe uznać przeżycia lub zachowania nietypowe albo odbiegające od społecznych norm. Jednak każde z tych kryteriów z osobna jest niewystarczające. Szkodliwa dysfunkcja opisuje pogląd, zgodnie z którym zaburzenia psychiczne wynikają z niezdolności wewnętrznych mechanizmów do pełnienia ich funkcji. Wiele cech opisujących szkodliwe dysfunkcje włączono do oficjalnej definicji zaburzeń psychicznych wg APA. Zgodnie z tą definicją przejawem zaburzenia psychicznego są wyraźne zaburzenia myśli, uczuć i zachowań, które stanowią efekt jakiejś dysfunkcji (biologicznej, psychologicznej lub rozwojowej), powodują znaczące pogorszenie funkcjonowania jednostki i są w sprzeczności z oczekiwanymi kulturowo reakcjami na określone zdarzenia życiowe. Pytania sprawdzające Zgodnie z definicją szkodliwej dysfunkcji dysfunkcja ta obejmuje ________. niezdolność mechanizmów psychologicznych do pełnienia swoich funkcji rozpad porządku społecznego w społeczności osoby zaburzonej problemy komunikacyjne w obrębie najbliższej rodziny wszystkie powyższe A Uważa się, że wzorce wewnętrznych przeżyć i zachowań świadczą o istnieniu zaburzenia psychicznego, jeśli ________. są wysoce nietypowe wywołują silny stres i pogorszenie normalnego funkcjonowania wywołują zakłopotanie rodziny i/lub przyjaciół naruszają normy kulturowe charakterystyczne dla danej społeczności B Critical Thinking Question Omów, dlaczego myśli, uczucia lub zachowania nietypowe albo niezwykłe nie muszą oznaczać istnienia zaburzenia psychicznego. Podaj przykład. Sam fakt, że coś jest nietypowe lub niezwykłe nie oznacza, że jest zaburzeniem. Ktoś może mieć nietypowe przeżycia wewnętrzne albo zachowywać się niestandardowo, a mimo to nie uznamy go za zaburzonego, jeśli te zachowania nie są przyczyną stresu, niepokoju ani objawem dysfunkcji. Jeśli np. ktoś przez całą noc nie śpi, bo uczy się do egzaminów, to takie zachowanie, choć nietypowe, najpewniej nie ma żadnych innych, opisanych wcześniej znamion charakterystycznych dla zaburzenia psychicznego. Personal Application Question Podaj przykład zachowania, które w twojej kulturze jest uznawane za niezwykłe lub nieprawidłowe, ale w innej mogłoby być normalne, a nawet oczekiwane. atypowy (ang. atypical ) określa zachowania lub uczucia, które nie mieszczą się w przyjętych normach etiologia (ang. etiology ) przyczyna (lub przyczyny) zaburzenia psychicznego szkodliwa dysfunkcja (ang. harmful dysfunction ) model zaburzeń psychicznych jako wynikających z niezdolności naturalnych mechanizmów do pełnienia swoich przyrodzonych funkcji zaburzenie psychiczne (ang. psychological disorder ) stan charakteryzujący się nietypowymi myślami, uczuciami i zachowaniami psychopatologia (ang. psychopathology ) dziedzina zajmująca się badaniem zaburzeń psychicznych, ich objawów, przyczyn i leczenia; przejaw zaburzeń psychicznych", "section": "Czym są zaburzenia psychiczne?", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Diagnostyka i klasyfikacja zaburzeń psychicznych Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, dlaczego systemy klasyfikacyjne są niezbędne w badaniu psychopatologii Opisać podstawowe cechy Podręcznika diagnostycznego i statystycznego zaburzeń psychicznych, wydanie piąte (DSM-5) Omówić zmiany w DSM na przestrzeni czasu, łącznie z krytyką bieżącego wydania Określić, które zaburzenia występują najczęściej Pierwszym krokiem w analizie zaburzeń psychicznych jest uważne i systematyczne rozróżnianie ich istotnych objawów. W jaki sposób specjaliści upewniają się, że wewnętrzne przeżycia i zachowania konkretnej osoby rzeczywiście są przejawami zaburzenia? Absolutnie kluczowe jest postawienie właściwej diagnozy (ang. diagnosis ), czyli odpowiednie określenie i zaklasyfikowanie zestawu zdefiniowanych objawów. Ten proces pozwala fachowcom znaleźć wspólny język i pomaga w komunikacji na temat zaburzenia zarówno z pacjentem, z innymi specjalistami, jak i z ogółem osób. Właściwe rozpoznanie to niezbędny element odpowiednio prowadzonego leczenia. Dlatego potrzebne są systemy klasyfikacji systematyzujące zaburzenia psychiczne. Diagnostyczny i statystyczny podręcznik zaburzeń psychicznych (DSM) Choć na przestrzeni lat wypracowano szereg klasyfikacji, większość specjalistów w Stanach Zjednoczonych używa „Diagnostycznego i statystycznego podręcznika zaburzeń psychicznych ” (DSM-5) (ang. Diagnostic and Statistical Manual of Mental Disorders (DSM-5) ), opublikowanego przez American Psychiatric Association (2013). (Uwaga: American Psychiatric Association to nie to samo, co American Psychological Association ; choć obie mają skrót APA). Pierwsze wydanie DSM, opublikowane w 1952 r., klasyfikowało zaburzenia psychiczne na podstawie formatu opracowanego przez amerykańską armię w czasie II wojny światowej (Clegg, 2012). Od tego czasu DSM przeszła liczne modyfikacje i poprawki. Ostatnie wydanie z 2013 roku, czyli DSM-5 (APA, 2013), obejmuje wiele kategorii zaburzeń (w tym lękowe, depresyjne i dysocjacyjne). Każde jest szczegółowo opisane, z podaniem ogólnej charakterystyki (cech diagnostycznych), swoistych objawów, częstości występowania (jaki procent populacji najpewniej jest dotknięty schorzeniem) oraz czynników ryzyka. pokazuje współczynnik zachorowalności (odsetek osób w populacji, które w ciągu życia zachorują) dorosłych Amerykanów dla różnych zaburzeń psychicznych, z podziałem na płeć. Dane te pochodzą z reprezentatywnej próby 9282 mieszkańców USA (National Comorbidity Survey, 2007). Wykres pokazuje podział zaburzeń psychicznych i porównuje częstość ich występowania w zależności od płci. Dane pochodzą z 2007 roku, więc pokazane tu kategorie pochodzą z DSM-4, który został zastąpiony przez DSM-5. Większość kategorii pozostała bez zmian, jednak nadużywanie alkoholu zawiera się obecnie w szerszej kategorii „zaburzenia spowodowane używaniem substancji”. DSM-5 dostarcza też informacji o chorobach współistniejących (ang. comorbidity ). Wskazuje np., że 41% osób cierpiących na zaburzenia obsesyjno-kompulsywne (OCD) spełnia również kryteria diagnostyczne dla epizodu depresyjnego ( ). Narkomania współistnieje z wieloma innymi zaburzeniami psychicznymi; 6 na 10 osób nadużywających substancji psychoaktywnych cierpi też na inne zaburzenia psychiczne (National Institute on Drug Abuse [NIDA], 2007). Zaburzenia obsesyjno-kompulsywne często współwystępują z zaburzeniem depresyjnym. Zaburzenia współistniejące Jednostka może cierpieć na więcej niż jedno zaburzenie, wówczas mówimy o zaburzeniach współistniejących (współwystępujących), których objawy się na siebie nakładają. Jest to sytuacja dość powszechna w przypadku zaburzeń psychicznych, zwłaszcza przy zaburzeniach związanych z używaniem substancji. Szacuje się, że około jednej czwartej osób cierpiących na najcięższe przypadki chorób psychicznych wykazuje także zaburzenia związane z używaniem substancji psychoaktywnych. Z drugiej strony około 10% osób szukających leczenia z powodu zaburzeń związanych z używaniem substancji ma poważne choroby psychiczne. Tego typu obserwacje mają ważne konsekwencje dla wyboru spośród dostępnych metod leczenia. Kiedy osoby z chorobą psychiczną jednocześnie zażywają nałogowo narkotyki, ich objawy mogą być zaostrzone i oporne na leczenie. Ponadto nie zawsze jest jasne, czy objawy są spowodowane zażywaniem narkotyków, zaburzeniem psychicznym, czy też połączeniem tych dwóch problemów. Dlatego w celu postawienia jak najdokładniejszej diagnozy zaleca się obserwację zachowania w sytuacjach, w których dana osoba zaprzestała używania narkotyków i nie doświadcza już zespołu odstawiennego (NIDA, 2018). Inne powszechnie współwystępujące trudności psychiczne to zaburzenia depresyjne i lękowe. Ponad połowa osób z pierwotną diagnozą zaburzenia depresyjnego wykazuje jakiś rodzaj zaburzeń lękowych. Konsekwentnie depresję diagnozuje się równie często u osób z pierwotnie występującym zaburzeniem lękowym (Al-Asadi et al., 2015). W ostatnim półwieczu DSM ulegał znaczącym zmianom. Pierwsze dwa wydania zaliczały np. homoseksualizm do zaburzeń; dopiero w 1973 r. APA zagłosowała za usunięciem go z podręcznika (Silverstein, 2009). Oprócz tego, począwszy od DSM-3 z 1980 roku, zaburzenia psychiczne zaczęto opisywać bardziej szczegółowo, a liczba rozpoznawalnych przypadłości stale rosła, podobnie jak rozmiary samego podręcznika. DSM-1 obejmował 106 rozpoznań opisanych na 130 stronach. DSM-3 zawierał ich już ponad dwukrotnie więcej (265) i był niemal siedmiokrotnie grubszy (miał 886 stron) (Mayes i Horowitz, 2005). DSM-5 jest obszerniejszy niż DSM-4, ale zawiera tylko 237 zaburzeń, podczas gdy w poprzedniej wersji było ich 297. Najnowsze wydanie zawiera też zmiany w nazewnictwie i klasyfikacji poszczególnych kategorii oraz w kryteriach diagnostycznych dla poszczególnych zaburzeń (Regier et al., 2012). Autorzy podkreślają zarazem konieczność szczegółowego rozważenia różnic płciowych i kulturowych w ujawnianiu się różnych objawów zaburzeń (Fisher, 2010). Część krytyków zwraca uwagę, że tworzenie nowych kryteriów diagnostycznych może patologizować rzeczywistość, traktując powszechne ludzkie problemy jako zaburzenia psychiczne (The Associated Press, 2013). DSM-5 bywa też krytykowany za poluzowanie kryteriów diagnostycznych, a to grozi „zmianą obecnej sytuacji inflacji diagnostycznej w hiperinflację” (Frances, 2012). Np. DSM-4 zaznaczał, że epizodu depresyjnego nie można rozpoznawać na podstawie objawów, które można przypisać zwyczajnej żałobie (utracie bliskiej osoby). W DSM-5 to zastrzeżenie usunięto, a tym samym przyjęto, że smutek i żałoba po śmierci kogoś bliskiego mogą zostać zdiagnozowane jako epizod depresyjny. Międzynarodowa klasyfikacja chorób (ICD) Drugim szeroko stosowanym systemem klasyfikacji chorób jest Międzynarodowa Statystyczna Klasyfikacja Chorób i Problemów Zdrowotnych (ICD), (ang. International Classification of Diseases (ICD) ). Publikowana przez Światową Organizację Zdrowia (WHO) ICD powstała w Europie niedługo po II wojnie światowej i, podobnie jak DSM, była wielokrotnie nowelizowana. Kategorie zaburzeń psychicznych są w obu klasyfikacjach podobne, tak samo zresztą jak kryteria rozpoznawania poszczególnych schorzeń. Istnieją jednak także różnice. Choć ICD jest wykorzystywana w praktyce klinicznej, to wykorzystywana jest także w badaniach zdrowia populacji i monitorowaniu częstości występowania chorób oraz innych problemów zdrowotnych na całym świecie (WHO, 2013). Obecnie posługujemy się 10. wydaniem ICD (ICD-10), ale od 2022 roku ma obowiązywać wersja 11. (ICD-11), która w połączeniu ze znowelizowanym DSM-5 pomoże, na ile to możliwe, dopasować oba systemy klasyfikacji (APA, 2013). W badaniu porównującym wykorzystanie obu systemów klasyfikacji wykazano, że ICD częściej stosuje się w diagnostyce klinicznej, podczas gdy DSM jest bardziej ceniony w badaniach naukowych (Mezzich, 2002). Większość badań dotyczących etiologii i leczenia zaburzeń psychicznych opiera się na kryteriach określonych w DSM (Oltmanns i Castonguay, 2013). DSM zawiera też bardziej jednoznaczne kryteria zaburzeń wraz ze szczegółowymi i pomocnymi objaśnieniami (Regier et al., 2012). DSM jest systemem pierwszego wyboru wśród psychiatrów i innych specjalistów ds. zdrowia psychicznego działających w Stanach Zjednoczonych. Treści przedstawione w tym rozdziale będą się opierały właśnie na tej klasyfikacji. Empatyczne podejście do zaburzeń psychicznych W miarę jak będziemy przedstawiać kolejne zaburzenia, warto zapamiętać dwie rzeczy: po pierwsze, że objawy te reprezentują skrajne kontinuum wewnętrznych przeżyć i zachowań. Jeśli czytając o nich, będziesz mieć wrażenie, że opisy zaczynają do ciebie pasować, nie przejmuj się. Ten moment „oświecenia” najpewniej oznacza, że mieścisz się w normie. Każdy z nas doświadcza okresów smutku, niepokoju czy nadmiernego zaabsorbowania jakimiś myślami – okresów, w których nie czuje się do końca sobą. Takie epizody nie stanowią problemu, o ile towarzyszące im myśli i zachowania nie stają się ekstremalne i nie wywierają niszczącego wpływu na życie danej osoby. Po drugie, trzeba zdać sobie sprawę, że jednostki mające zaburzenia psychiczne są kimś więcej niż tylko ucieleśnieniem tych objawów. Nie używamy w związku z tym określeń jak „schizofrenik” czy „fobik”, bo są to etykiety, które uprzedmiotawiają osobę z danym zaburzeniem, prowadząc do tworzenia uprzedzeń i lekceważących osądów. Zamiast tego mówimy „osoba cierpiąca na schizofrenię”, „osoba mająca fobię” itp. Ważne, by pamiętać, że zaburzenie psychiczne nie mówi o tym, jaka jest jednostka, a jedynie – z czym musi się mierzyć często w sposób niezawiniony. Podobnie jak nowotwór czy cukrzyca zaburzenie psychiczne to coś, co sprawia ból i niszczy. Zwróćmy uwagę, że nikt nie wybrałby takiego losu dobrowolnie. Osoby z chorobami psychicznymi zasługują na to, by traktować je z empatią, zrozumieniem i szacunkiem. Podsumowanie Rozpoznanie i właściwa klasyfikacja zaburzeń psychicznych to element niezbędny w badaniach i leczeniu. Systemem klasyfikacyjnym używanym przez większość psychiatrów w USA jest DSM-5. Pierwsze wydanie DSM opublikowano w 1952 roku i od tamtej pory podręcznik przeszedł wiele aktualizacji. Piąte, najnowsze wydanie (DSM-5) pochodzi z 2013 roku i obejmuje 237 swoistych schorzeń, z których każde posiada szczegółowy opis uwzględniający objawy, częstość występowania, czynniki ryzyka i schorzenia współistniejące. Z biegiem lat liczba zaburzeń uwzględnianych w DSM stale rosła, co wzbudzało krytykę. Mimo to kryteria diagnostyczne podane w DSM są bardziej jednoznaczne niż w jakimkolwiek innym systemie, co sprawia, że jest to podręcznik o wysokiej pozycji, wykorzystywany zarówno w diagnostyce klinicznej, jak i w badaniach naukowych. Review Questions W badaniu z udziałem ponad 9000 obywateli USA wykazano, że najpowszechniejszą chorobą psychiczną jest (są) ________. zaburzenia depresyjne fobia społeczna zaburzenia obsesyjno-kompulsywne fobie specyficzne A Critical Thinking Questions Opisz DSM-5. Czym jest, jakie rodzaje informacji zawiera i dlaczego jest ważny w badaniach i leczeniu zaburzeń psychicznych? DSM-5 to system klasyfikacji zaburzeń psychicznych wykorzystywany przez większość pracowników z dziedziny ochrony zdrowia psychicznego w USA. Jest publikowany przez (APA). Zawiera szerokie kategorie i konkretne przypisane do nich zaburzenia. Każde zaburzenie ma szeroki opis objawów oraz informacje dotyczące częstości występowania, czynników ryzyka i chorób współwystępujących. DSM-5 zapewnia wspólny język, dzięki któremu specjaliści mogą skutecznie omawiać określone zespoły objawów. Międzynarodowa klasyfikacja chorób (ICD) pod wieloma względami różni się od DSM. Jakie są różnice między tymi dwoma systemami klasyfikacji? ICD jest wykorzystywana głównie w diagnostyce klinicznej, a szerzej – do badania zdrowia populacji i monitorowania światowych statystyk w zakresie częstości występowania chorób i innych problemów zdrowotnych. DSM również jest wykorzystywany w celach diagnostycznych, ale także bardzo ceniony jako narzędzie badawcze. Np. wiele danych z zakresu etiologii i leczenia zaburzeń psychicznych jest opartych na kryteriach diagnostycznych przedstawionych w DSM. choroby współistniejące (ang. comorbidity ) występowanie dwóch (lub więcej) schorzeń u jednej osoby diagnoza ( rozpoznanie ) (ang. diagnosis ) ustalenie, jakie schorzenie wywołało obserwowany zestaw objawów Diagnostyczny i statystyczny podręcznik zaburzeń psychicznych, wyd. piąte (DSM-5) (ang. Diagnostic and Statistical Manual of Mental Disorders (DSM-5) ) miarodajny spis zaburzeń psychicznych oraz kryteriów diagnostycznych; opublikowany przez American Psychiatric Association (APA) Międzynarodowa Klasyfikacja Chorób (ICD) (ang. International Classification of Diseases (ICD)) miarodajny spis schorzeń psychicznych i somatycznych, w tym zakaźnych, oraz kryteria ich rozpoznawania; publikowana przez Światową Organizację Zdrowia (WHO)", "section": "Diagnostyka i klasyfikacja zaburzeń psychicznych", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Poglądy na przyczyny zaburzeń psychicznych Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Omówić nadprzyrodzone perspektywy na temat pochodzenia zaburzeń psychicznych w ich kontekście historycznym Opisać współczesne biologiczne i psychologiczne spojrzenie na pochodzenie zaburzeń psychicznych Zidentyfikować, które zaburzenia zazwyczaj wykazują najwyższy stopień odziedziczalności Opisać model skazy-stresu i jego znaczenie w badaniach psychopatologii Naukowcy i eksperci ds. zdrowia psychicznego poszukują wyjaśnień mechanizmów prowadzących do rozwoju zaburzeń psychicznych, stosując podejścia z różnych perspektyw. Takie szerokie spojrzenie pozwala określić założenia dotyczące badania, etiologii oraz leczenia danego zaburzenia. Nadprzyrodzony charakter zaburzeń psychicznych Przez stulecia zaburzenia psychiczne postrzegano jako coś nadprzyrodzonego i przypisywano działaniu sił nie dających się wyjaśnić naukowo. Osoby z takimi zaburzeniami uznawano albo za adeptów czarnej magii, albo za opętanych przez duchy ( ) (Maher i Maher, 1985). W wiekach XVI i XVII w klasztorach całej Europy notowano przypadki zakonnic, które popadły w szaleństwo: toczyły pianę z ust, przeraźliwie krzyczały i rzucały się w konwulsjach, składały księżom nieprzyzwoite propozycje, a podczas spowiedzi przyznawały się do cielesnego obcowania z diabłami lub Chrystusem. Dziś takie przypadki uznano by za zaburzenie psychiczne, jednak w tamtych czasach rutynowo uznawano je za opętanie (Waller, 2009a). Uważa się, że na podobnej zasadzie pod koniec XVII wieku występowanie uogólnionych drgawek u młodych dziewcząt doprowadziło w Nowej Anglii do rozprzestrzenienia się polowań na czarownice (Demos, 1983). Współcześnie wiara w nadnaturalne przyczyny chorób psychicznych jest powiązana z niskim poziomem wykształcenia (Mental Health Literacy and the Belief in the Supernatural, 2010). Piętnastowieczny obraz Hieronima Boscha pt. „Leczenie głupoty” (ang. Cutting the Stone ) przedstawia praktykę znachorską polegającą na trepanacji czaszki u chorych psychicznie. Jednak, jak to u Hieronima Boscha, obraz pełen jest niejednoznacznych treści. Między innymi pseudomedyk wyjmuje z głowy pacjenta „kamień szaleństwa” w kształcie... tulipana (symbolizującego rozwiązłość seksualną). Mania taneczna (daw. taniec św. Wita) Między XI a XVII wiekiem przez zachodnią Europę przetoczyła się dziwna epidemia. Grupy ludzi nagle puszczały się w dziki, niepohamowany taniec. Bywało, że przymus tańczenia – określany jako taniec św. Wita – dopadał tysiące osób naraz ( ). Historyczne źródła wskazują, że dotknięci tą chorobą czasem tańczyli przez kilka dni, a nawet tygodni bez przerwy, mimo poranionych, posiniaczonych stóp, wykrzykując swoje straszne wizje i błagając księży oraz zakonników o modlitwę za zbawienie ich dusz (Waller, 2009b). Nie wiadomo, co było przyczyną manii tanecznej (choreomanii). Wśród możliwości wymienia się jad pająków i zatrucie sporyszem (Dancing Mania, 2011). Nie znamy do końca medycznego podłoża tańca św. Wita pokazanego na tym obrazie. Dawniej takie zaburzenie przypisywano działaniu sił nadprzyrodzonych. Historyk John Waller (2009a, 2009b) przedstawił spójne i przekonujące wyjaśnienie. Jego zdaniem zjawisko to należy przypisać kombinacji trzech przyczyn: stresu, przenoszenia się „zarazy” w społeczności oraz wiary w siły nadprzyrodzone. Zdaniem Wallera liczne klęski i katastrofy tamtych czasów, takie jak głód, zaraza czy powodzie, wywoływały silny stres, który mógł zwiększać prawdopodobieństwo poddania się tanecznemu transowi. Zdaniem naukowca badania antropologiczne oraz świadectwa rytuałów oczyszczania „opętanych” wskazywały, że ludzie łatwiej wpadają w trans, jeśli oczekują, że to nastąpi, a także, że osoby w transie działają w pewien zrytualizowany sposób, a ich myśli i zachowania są kształtowane przez wierzenia powszechne w ich kulturze. Z tego względu w okresach zwiększonego stresu, zarówno fizycznego, jak i psychicznego, wystarczyło, żeby kilka osób zaczęło się dziwnie zachowywać, wierząc, że zostało dotkniętych przekleństwem tańca św. Wita, by inni samorzutnie wpadli w trans i zaczęli odgrywać rolę dotkniętych klątwą, tańcząc przez wiele dni bez przerwy. Biologiczne przyczyny zaburzeń psychicznych Podejście biologiczne postrzega zaburzenia psychiczne w kontekście procesów biologicznych, takich jak uwarunkowania genetyczne, nierównowaga chemiczna lub nieprawidłowości w budowie mózgu. W ostatnich dziesięcioleciach zyskało ono uznanie i akceptację badaczy (Wyatt i Midkiff, 2006). Dowody z wielu źródeł wskazują, że część zaburzeń psychicznych ma komponent genetyczny, tj. jest efektem nieprawidłowości genetycznych. Wykres pokazany na przedstawia szacunkowy wpływ czynników dziedzicznych (ang. heredity factors ) w schizofrenii. Ryzyko rozwoju schizofrenii rośnie, jeśli chorował na nią ktoś z rodziny. Im bliższe pokrewieństwo, tym wyższe ryzyko. Tego rodzaju wyniki sprawiają, że wielu współczesnych badaczy poszukuje swoistych genów i ich mutacji przyczyniających się do powstawania zaburzeń psychicznych. Ponadto coraz doskonalsze w ostatnich dekadach techniki neuroobrazowania ujawniły, w jaki sposób nieprawidłowości w budowie mózgu mogą się bezpośrednio przekładać na wiele zaburzeń. Postępy w poznawaniu mechanizmu działania neuroprzekaźników i hormonów pozwoliły na analizę ich powiązania z zaburzeniami. Biologiczne podejście do zaburzeń psychicznych jest obecnie coraz popularniejsze. Model zaburzeń psychicznych podatność–stres Mimo że coraz lepiej rozumiemy biologiczne podłoże zaburzeń psychicznych, to model psychospołeczny wciąż pozostaje istotny. Podkreśla on wagę uczenia się, stresu, nieprawidłowych wzorców myślowych oraz czynników środowiskowych. Być może zatem optymalnie jest postrzegać zaburzenia psychiczne jako efekt splotu procesów biologicznych i psychologicznych? Wiele z nich rozwija się nie wskutek jednej przyczyny, lecz raczej subtelnego wzajemnego oddziaływania obu rodzajów czynników. Model podatność–stres (ang. diathesis-stress model ) (Zuckerman, 1999) próbuje przewidzieć prawdopodobieństwo wystąpienia zaburzenia psychicznego, łącząc czynniki biologiczne i psychospołeczne. W modelu tym sugeruje się, że osoby z predyspozycjami do określonego zaburzenia (czyli „podatne na zaburzenie”) łatwiej na nie zapadną, jeśli zetkną się z niekorzystnymi czynnikami środowiskowymi lub psychologicznymi (stresem), takimi jak maltretowanie w dzieciństwie, przykre zdarzenia losowe, urazy (fizyczne i psychiczne) itd. Podatność może mieć podłoże biologiczne lub psychologiczne (np. poznawcza tendencja do negatywizmu/pesymizmu czy brak nadawania sensu życiowym zdarzeniom). W modelu podatność–stres kluczowym założeniem jest, że do rozwoju choroby niezbędne jest wystąpienie obu elementów: podatności i stresora. Różne modele rozpracowują zależności między nimi: wydaje się, że poziom stresu konieczny do aktywizacji zaburzenia jest odwrotnie proporcjonalny do stopnia podatności. Podsumowanie Psychopatologia to bardzo złożona dziedzina, obejmująca wiele podejść teoretycznych. Przez wieki zaburzenia psychiczne były powszechnie uznawane za przejaw działania sił nadprzyrodzonych. Wierzenia te są obecne również współcześnie i ich występowanie jest zbieżne z niskim poziomem wykształcenia. Dziś wielu badaczy psychopatologii postrzega zaburzenia psychiczne z perspektywy biologii, uznając, że powstają one głównie w efekcie zakłóceń rozmaitych procesów biologicznych. Postęp nauki w ostatnich dziesięcioleciach sprawił, że lepiej rozumiemy genetyczne, neurologiczne, hormonalne i biochemiczne podstawy psychopatologii. Pogląd psychologiczny z kolei kładzie nacisk na znaczenie w rozwoju zaburzeń psychicznych czynników psychologicznych i środowiskowych (np. natrętnych myśli lub czynników stresowych). Współczesne podejścia akcentują rozwój zaburzeń jako efekt połączenia wpływu czynników biologicznych i psychospołecznych. Model podatność–stres sugeruje, że w wyniku ekspozycji na stres u osób z wewnętrzną podatnością na zachorowanie łatwiej rozwijają się zaburzenia psychiczne niż u tych, u których takiej podatności nie wykazano. Pytania sprawdzające wiedzę Model podatność–stres zakłada, że psychopatologia jest skutkiem ________. podatności i stresujących doświadczeń czynników biochemicznych zaburzeń chemicznej równowagi i nieprawidłowości w budowie mózgu traumatycznych wydarzeń z dzieciństwa A Doktor Nowak uważa, że depresja jest skutkiem nadprodukcji kortyzolu. Jego pogląd na przyczyny depresji jest podejściem ________. psychologicznym nadnaturalnym biologicznym modelu podatność–stres C Critical Thinking Question Dlaczego ważne jest, jakie podejście reprezentuje osoba wyjaśniająca zaburzenie psychiczne? Podejście reprezentowane przez badacza/lekarza przy wyjaśnianiu zaburzenia psychicznego przekłada się na to, jak będzie badać i poznawać naturę choroby, w tym jej przyczyny, i jak będzie ją leczyć. Personal Application Question Nawet dziś część ludzi wierzy w nadprzyrodzone przyczyny niektórych zdarzeń. Podaj przykład zdarzenia, współczesnego lub historycznego, dla którego wymyślano takie nadprzyrodzone wyjaśnienia. model podatność–stres (ang. diathesis-stress model ) sugeruje, że osoby z predyspozycją do określonego zaburzenia łatwiej na nie zapadają pod wpływem stresu; model psychopatologii", "section": "Poglądy na przyczyny zaburzeń psychicznych", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zaburzenia lękowe Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Odróżnić lęk normalny od lęku patologicznego Wymienić i opisać główne zaburzenia lękowe, podając ich główne cechy i częstość występowania Scharakteryzować podstawowe czynniki psychologiczne i biologiczne, które mogą mieć znaczenie w etiologii zaburzeń lękowych Każdy z nas czasem odczuwa lęk. Choć jest to uczucie blisko związane ze strachem, to te dwa stany dzielą istotne różnice. Strach skutkuje natychmiastową reakcją na bezpośrednie zagrożenie, tymczasem na lęk składają się: zaangażowanie uwagowe, unikanie i nadmierna czujność w związku z potencjalnym zagrożeniem, niebezpieczeństwem lub innym negatywnym zdarzeniem (Craske, 1999). Dla większości ludzi lęk jest uczuciem nieprzyjemnym, ale odgrywa ważną rolę dla naszego zdrowia, bezpieczeństwa i dobrostanu. Lęk motywuje nas do działania, np. do przygotowywania się do egzaminu, pilnowania prawidłowej masy ciała, przychodzenia do pracy na czas. Wszystko to robimy, by uniknąć potencjalnych problemów w przyszłości. Lęk sprawia też, że pewnych rzeczy unikamy, by nie wpaść w kłopoty, np. nie zaciągamy nadmiernych długów ani nie działamy poza prawem. U większości z nas poziom lęku i czas, w którym go odczuwamy, są mniej więcej proporcjonalne do rozmiarów potencjalnego zagrożenia. Wyobraźmy sobie np. kobietę przed czterdziestką, która chciałaby wyjść za mąż, ale boi się, że nie znajdzie partnera, który byłby wystarczająco atrakcyjny i wykształcony, by spełnić jej oczekiwania. U tej kobiety poziom lęku będzie zapewne o wiele wyższy, a czas jego odczuwania dłuższy niż u 21-letniej studentki, która nie może znaleźć sobie chłopaka na doroczny bal. Niektórzy jednak doświadczają nadmiernego lęku stale i jest on nieproporcjonalny do rzeczywistego zagrożenia; jeśli lęk ma destrukcyjny wpływ na życie, z dużym prawdopodobieństwem można rozpoznać u danej osoby zaburzenia lękowe. Zaburzenia lękowe (ang. anxiety disorders ) charakteryzują się nadmiernym lękiem i niepokojem, występującymi stale i współistniejącymi z określonymi, niesłużącymi zachowaniami (APA, 2013). Lęk jest doświadczeniem powszechnym, ale zaburzenia lękowe są czymś więcej niż zwykły lęk i prowadzą do dezorganizacji codziennego życia. Z badań prowadzonych w Europie (UE 27, Szwajcaria, Islandia i Norwegia) wynika, że 14% populacji Europejczyków cierpi na zaburzenia lękowe (Wojtyniak i Goryński, 2018). W Polsce zaburzenia lękowe są na drugim miejscu, jeśli chodzi o najczęściej diagnozowane zaburzenia psychiczne (blisko 10% populacji, tj. 2,5 mln osób) i ustępują miejsca jedynie uzależnieniom (EZOP, 2012). Szacuje się, że w ciągu życia kryteria co najmniej jednego z zaburzeń lękowych spełnia 25–30% amerykańskiej populacji (Kessler et al., 2005). Występują one częściej u kobiet niż u mężczyzn. Często zaburzenia lękowe współistnieją ze sobą oraz z innymi zaburzeniami psychicznymi (Kessler et al., 2009). Fobie specyficzne (proste) Fobia to pochodzące z greckiego słowo oznaczające strach . Osoba, u której rozpoznano fobię specyficzną (ang. specific phobia ) (wcześniej nazywaną po prostu fobią), doświadcza nadmiernego, dręczącego i utrwalonego uczucia lęku lub strachu w związku z określonym obiektem, rzeczą lub sytuacją czy zdarzeniem (może to być jakiś gatunek zwierzęcia, zamknięta przestrzeń, winda, latanie czy wiele innych) (APA, 2013). Nawet jeśli doświadczające lęku osoby zdają sobie sprawę z jego irracjonalności, to wiele z nich nadal będzie postępować tak, by za wszelką cenę uniknąć wyzwalającego lęk bodźca (obiektu lub sytuacji). Na ogół strach i niepokój, jakie wywołuje bodziec, mają destrukcyjny wpływ na życie dotkniętej chorobą osoby. I tak człowiek z lękiem przed lataniem może odrzucić ofertę pracy, jeśli wymaga ona częstych lotów, a przez to zrezygnować z dynamicznego rozwoju swojej kariery. Specjaliści pracujący z osobami cierpiącymi na fobie spotykają się z najrozmaitszymi bodźcami wyzwalającymi. Kilka z nich przedstawiono w . Fobie specyficzne. Rodzaj fobii Obiekt lub sytuacja będąca powodem lęku lęk wysokości miejsca położone na znacznej wysokości aerofobia latanie arachnofobia pająki klaustrofobia ciasne, zamknięte przestrzenie kynofobia psy hematofobia krew ofidiofobia węże tafefobia pogrzebanie żywcem trypanofobia zastrzyki ksenofobia ludzie obcy, odmienni kulturowo Fobie specyficzne to częste zaburzenie; w Polsce na jakimś etapie życia kryteria takiej fobii spełnia ok. 30,6% dorosłej populacji (badania przeprowadzone w grupie osób w wieku 18–65 lat) (EZOP, 2012). Jedna z fobii, agorafobia, została wymieniona w DSM-5 jako odrębne zaburzenie lękowe. Agorafobia, w dosłownym tłumaczeniu „lęk przed przestrzenią”, odznacza się nasilonym lękiem, niepokojem i unikaniem sytuacji, w których osobie dotkniętej tą przypadłością trudno byłoby uciec albo uzyskać pomoc w przypadku pojawienia się napadu paniki (stanu ekstremalnie nasilonego niepokoju, który będziemy omawiać w dalszej części rozdziału). Wśród miejsc budzących lęk są m.in. środki komunikacji publicznej, otwarte przestrzenie (np. duże parkingi), zamknięte przestrzenie (sklepy), miejsca licznych zgromadzeń, a nawet samotne przebywanie poza domem (APA, 2013). Agorafobii doświadcza w ciągu życia ok. 3% Polaków (EZOP, 2012). Wyuczony mechanizm fobii Wiele teorii zakłada, że fobie są wyuczone. Zdaniem Rachmana (1977) można je nabyć w jednym z trzech głównych mechanizmów uczenia się. Po pierwsze – poprzez tzw. warunkowanie klasyczne. Jak być może pamiętasz (patrz: podrozdział Warunkowanie klasyczne), klasyczne warunkowanie to system uczenia się, w którym pierwotnie neutralny bodziec jest łączony z bodźcem bezwarunkowym, który na zasadzie odruchu wywołuje bezwarunkową reakcję. Po połączeniu bodziec neutralny wywołuje taką samą reakcję jak bezwarunkowy. Nazywamy to reakcją warunkową. Dziecko, które kiedyś ugryzł pies, może zacząć bać się wszystkich psów, gdyż kontakt z nimi kojarzy mu się z przeżytym bólem. W tym przypadku ugryzienie jest bodźcem bezwarunkowym, a towarzyszący mu strach to reakcja bezwarunkowa. Ponieważ fakt ugryzienia wiąże się z psem, każdy pies może działać jak bodziec warunkowy, a co za tym idzie – wywołać strach. Strach, jaki dziecko odczuwa w obecności dowolnego psa, staje się wtedy wyuczoną reakcją warunkową. Drugą drogą nabycia fobii jest uczenie się przez obserwację (modelowanie), czyli pośrednie. Np. dziecko obserwujące, jak kuzynka reaguje strachem na widok pająka, może później reagować tak samo, chociaż samo nigdy nie zaznało od żadnego pająka niczego złego. To zjawisko obserwuje się nie tylko u ludzi, lecz także u innych naczelnych (Olsson i Phelps, 2007). W badaniu na wychowanych w laboratorium małpach wykazano, że bardzo łatwo uczyły się one strachu przed wężami, obserwując dzikie małpy reagujące strachem na widok tych gadów (Mineka i Cook, 1993). Trzecim sposobem nabycia fobii jest przekaz słowny lub innego typu informacja. Tą drogą dziecko może np. wyuczyć się lęku przed wężami, jeśli rodzice, rodzeństwo, przyjaciele czy koledzy z klasy ciągle opowiadają mu, jakie to węże są ohydne i niebezpieczne. Co ciekawe, ludzie częściej odczuwają lęk przed czymś, co w rzeczywistości nie stanowi dla nich większego zagrożenia, jak pająki, gryzonie czy duża wysokość, a o wiele rzadziej przed tym, co we współczesnym świecie rzeczywiście jest niebezpieczne, jak samochody czy broń palna (Öhman i Mineka, 2001). Dlaczego tak się dzieje? Według jednej z teorii ludzki mózg został ewolucyjnie przystosowany do tego, by pewne obiekty lub sytuacje łatwiej wywoływały strach (Seligman, 1971). W toku ewolucji nasi przodkowie wiązali pewne bodźce (takie jak węże, pająki, dużą wysokość czy grzmoty) z zagrożeniem. W miarę upływu czasu ludzki umysł przystosował się, by pewnych rzeczy bać się łatwiej niż innych. Dowody naukowe jednoznacznie wskazują, że lęk warunkowy o wiele łatwiej powstaje w odpowiedzi na bodźce znaczące (np. obrazy węży czy pająków) niż nieznaczące (obrazy kwiatów czy owoców) (Öhman i Mineka, 2001). Takie warunkowane uczenie się udowodniono także u małp. W jednym z badań (Cook i Mineka, 1989) małpy oglądały filmy, na których inne małpy (tzw. modele) reagowały strachem na bodźce znaczące (węże-zabawki albo krokodyle-zabawki) lub nieznaczące (kwiat albo królik-zabawka). Małpy przez obserwację uczyły się reakcji lękowej na bodźce znaczące, lecz nie rozwijały jej w odniesieniu do bodźców nieznaczących. Zaburzenie lęku społecznego Zaburzenie lęku społecznego (ang. social anxiety disorder ) (zwane dawniej „fobią społeczną”) charakteryzuje się niezwykle silnym i trwałym poziomem lęku i niepokoju oraz unikaniem sytuacji, w których dotknięta nim osoba mogłaby zostać źle odebrana i oceniona przez innych (APA, 2013). Podobnie jak w przypadku fobii specyficznych zaburzenie lęku społecznego jest dość powszechne; w Polsce blisko 15% osób doświadcza go w trakcie życia (EZOP, 2012). W tym zaburzeniu głównym elementem jest stała obawa, że możemy zachować się w sposób kompromitujący lub upokarzający, np. że będziemy wyglądać głupio, będzie widać nasze zakłopotanie (zaczniemy się rumienić) albo powiemy lub zrobimy coś, co spowoduje odrzucenie przez innych (np. kogoś obrazimy). Sytuacjami najczęściej wywołującymi problemy u osób z fobią społeczną są: publiczne wystąpienia, rozmowa z innymi, kontakt z nieznajomymi, wyjście do restauracji, a w niektórych przypadkach zakupy w sklepie czy nawet podpisanie się w obecności innej osoby. Wielu z nas odczuwa niepokój w takich sytuacjach jak występ przed grupą osób, jednak lęk i zachowania unikowe u osób z fobią społeczną znacząco utrudniają im codzienne funkcjonowanie. Dzieci z tą przypadłością rzadziej odnoszą sukcesy w szkole, a jako dorosłe osoby mają niższe zarobki (Katzelnick et al., 2001), gorzej radzą sobie w pracy i mają wyższe ryzyko zostania bezrobotnymi (Moitra et al., 2011), a także odczuwają mniejsze zadowolenie z życia rodzinnego, grona przyjaciół, dochodu i sposobów spędzania wolnego czasu (Stein i Kean, 2000). Gdy osoba z fobią społeczną nie może uniknąć sytuacji wywołującej lęk, zwykle ucieka się do zachowań zabezpieczających (ang. safety behavior ), czyli zachowań mających na celu zmniejszenie ryzyka negatywnych skutków społecznych. Działania zabezpieczające obejmują np. unikanie kontaktu wzrokowego, ćwiczenie w myślach wypowiedzi przed odezwaniem się, mówienie krótkimi zdaniami, niemówienie o sobie (Alden i Bieling, 1998). Inne przykłady działań zabezpieczających obejmują (Marker, 2013): w sytuacjach społecznych przyjmowanie ról, które minimalizują konieczność kontaktów z innymi (np. robienie zdjęć, przygotowywanie i rozstawianie sprzętu albo pomoc w przygotowywaniu jedzenia), zadawanie rozmówcom wielu pytań, by odwrócić uwagę od swojej osoby, wybór miejsca, które pozwala uniknąć oceny lub kontaktu z innymi (np. siadanie z tyłu sali), noszenie nijakich, niewyróżniających się ubrań, by nie przyciągały uwagi, unikanie aktywności (zakładania ciepłego ubrania, wysiłku fizycznego) oraz substancji (np. kofeiny), które mogłyby wywołać objawy podobne do lękowych (np. pobudzenie, zaczerwienienie, uczucie gorąca etc.). Choć tego typu zachowania w teorii mają sprawić, że osoba z fobią społeczną nie zrobi czegoś niezręcznego, co mogłoby wywołać krytykę, to w praktyce zwykle tylko zaostrzają problem. Podtrzymują negatywne przekonania o sobie samym, a często doprowadzają do samospełniającej się przepowiedni, prowokując odrzucenie i inne negatywne reakcje ze strony innych ludzi (Alden i Bieling, 1998). Przykładowo, unikanie kontaktu wzrokowego z rozmówcą albo nieodpowiadanie na osobiste pytania może faktycznie zostać negatywnie ocenione przez drugą osobę. Osoby z fobią społeczną, by złagodzić objawy niepokoju, jakich doświadczają w sytuacjach społecznych, mogą też uciekać w używki, np. piją alkohol (Battista i Kocovski, 2010). Korzystanie z alkoholu może się stać koniecznością: osoba z fobią zaczyna sięgać po niego w każdej sytuacji, w której doświadcza objawów lęku. Wykorzystywanie alkoholu jako mechanizmu radzenia sobie z sytuacją ma jednak wysoką cenę: wiele badań wykazało wysoki odsetek współwystępowania fobii społecznej i niekontrolowanego spożywania alkoholu (Morris et al., 2005). Podobnie jak w przypadku fobii specyficznych bardzo prawdopodobne jest, że lęki występujące w fobii społecznej mogą się pojawić w wyniku warunkowania. Np. dziecko, które za młodych lat zbiera przykre doświadczenia (np. jest dręczone w szkole), może zbudować negatywny obraz siebie w społeczeństwie i ten obraz może się potem uaktywniać w sytuacjach społecznych (Hackmann et al., 2000). W jednym z badań wykazano, że 92% dorosłych uczestników z zaburzeniem lęku społecznego było w dzieciństwie dręczonych, podczas gdy wśród uczestników z zespołem lęku napadowego ten odsetek wynosił jedynie 35% (McCabe et al., 2003). Jednym z najlepiej udowodnionych czynników ryzyka rozwoju fobii społecznej jest introwertyzm i nieśmiałość w zachowaniu (Clauss i Blackford, 2012). Taką nieśmiałość uznaje się za cechę wrodzoną; objawia się ona utrwaloną predyspozycją do okazywania strachu i skrępowania w obecności nieznajomych ludzi lub nieznanych sytuacji (Kagan et al., 1988). Nieśmiałość objawia się od najwcześniejszych etapów życia. Nieśmiałe niemowlęta i dzieci w nieznanych sobie sytuacjach zachowują się ostrożnie i powściągliwie. Często w obecności obcych są ciche, nieśmiałe i bojaźliwe (Fox et al., 2005). Metaanaliza wykazała, że introwertyzm wiąże się z niemal siedmiokrotnie większym ryzykiem pojawienia się fobii społecznej i że ta cecha osobowości jest głównym czynnikiem ryzyka tej choroby (Clauss i Blackford, 2012). Lęk napadowy Wyobraź sobie, że jesteś z przyjaciółmi w galerii handlowej i nagle bez żadnej przyczyny zaczynasz się pocić i trząść, serce zaczyna ci mocniej bić, nie możesz oddychać, masz zawroty głowy i nudności. Napad trwa jakieś 10 minut i przeraża cię tak, że myślisz, że zaraz umrzesz. Następnego ranka idziesz do lekarza i opisujesz, co ci się przytrafiło, a on odpowiada, że najpewniej był to atak paniki ( ). Jeśli dwa tygodnie później doświadczasz podobnego napadu, a później przez miesiąc zamartwiasz się, że grożą ci kolejne, najpewniej rozwinął się u ciebie zespół lęku napadowego. Niektóre fizyczne objawy napadu paniki. Dotknięte nim osoby mogą też pocić się, drżeć, czuć się, jakby miały za chwilę zemdleć albo stracić kontrolę. Osoby z lękiem napadowym (ang. panic disorder ) doświadczają powtarzających się (wielokrotnych) i nieoczekiwanych napadów paniki przez co najmniej miesiąc oraz stale martwią się możliwością pojawienia się kolejnych napadów i ich ewentualnymi skutkami. Mogą też wykazywać zachowania powiązane z atakami (np. unikać wysiłku fizycznego albo nieznanych sytuacji) (APA, 2013). Podobnie jak przy innych zaburzeniach lękowych rozpoznane napady paniki nie mogą być efektem fizjologicznego działania leków, innych substancji, innej choroby lub innego zaburzenia psychicznego. Napadem paniki (ang. panic attack ) określa się epizod niezwykle silnego lęku, rozpoczynający się nagle i osiągający maksimum po nie więcej niż 10 minutach. Do jego objawów zaliczamy: przyspieszone bicie serca, pocenie się, drżenie, uczucie duszności, uderzenia gorąca lub dreszcze, zawroty głowy, strach przed utratą kontroli i/lub przed śmiercią (APA, 2013). Dotknięta tym zaburzeniem osoba może przeczuwać nadchodzący napad paniki albo takie napady zdarzają się w przewidywalnych sytuacjach, np. w reakcji na określone czynniki środowiskowe (takie jak przejazd przez tunel). W innych przypadkach napady są nieoczekiwane i pojawiają się bez żadnych czynników wyzwalających (np. gdy się relaksujemy). Według DSM-5 do rozpoznania zespołu lęku napadowego konieczne jest doświadczanie nieoczekiwanych napadów paniki. Napad paniki to często przerażające doświadczenie. Osoby z tym zaburzeniem lękowym zamiast uznać jego objawy po prostu za oznakę silnego niepokoju, często interpretują je jako oznakę nadchodzącego zagrożenia (myślą np., że palpitacje serca zwiastują zbliżający się zawał). Napady paniki mogą niekiedy kończyć się na SOR-ze, gdyż wiele towarzyszących im objawów przypomina te, które występują przy problemach z sercem (np. palpitacje, tachykardia czy uczucie, jakby serce wyrywało się z piersi) (Root, 2000). Nic dziwnego, że osoby z lękiem napadowym boją się kolejnych ataków i podejmują wysiłki w celu ich uniknięcia. Z tego względu integralną częścią zespołu lęku napadowego jest lęk antycypacyjny (ang. anticipatory anxiety ), tj. lęk przed doświadczeniem kolejnych napadów (lęk przed lękiem) (Goldstein i Chambless, 1978). Ataki paniki same w sobie nie są zaburzeniem psychicznym. Można powiedzieć, że to stosunkowo powszechna przypadłość i mniej więcej 17,3% dorosłych Polaków doświadcza w ciągu życia pojedynczych napadów paniki, które nie spełniają kryteriów zespołu lęku napadowego (EZOP, 2012). Zespół lęku napadowego występuje rzadziej i dotyka w ciągu życia ok. 6,2% Polaków (Kiejna, 2015). U cierpiących na lęk napadowy często rozwija się też agorafobia, czyli lęk przed okolicznościami, w których osoba doświadczająca lęku miałaby trudności z ucieczką lub nie miałaby możliwości uzyskania pomocy w razie napadu paniki. Jednocześnie rozwija się unikanie takich sytuacji. Osoby z zespołem lęku napadowego często cierpią też na zaburzenia współistniejące, np. inne zaburzenie lękowe lub depresję (APA, 2013). Badacze nie umieją do końca wyjaśnić przyczyn lęku napadowego. Wiadomo, że jeśli rodzice cierpią na tę przypadłość, to u dzieci ryzyko jej wystąpienia wzrasta (Biederman et al., 2001). Badania prowadzone na bliźniętach i rodzinach wskazują, że dziedziczność w tym schorzeniu sięga 43% (Hettema et al., 2001), lecz konkretnych genów ani zespołów genów zaangażowanych w rozwój tego zaburzenia do tej pory nie zidentyfikowano (APA, 2013). Neurobiologiczne teorie lęku napadowego sugerują, że bierze w nim udział obszar mózgu znany jako miejsce sinawe (łac. locus coeruleus ). Położone w pniu mózgu miejsce sinawe jest dla mózgu głównym źródłem noradrenaliny – neuroprzekaźnika uruchamiającego reakcję walki lub ucieczki. Pobudzenie tego obszaru jest powiązane z lękiem i niepokojem; badania na małpach naczelnych wykazały, że wywołuje ono objawy przypominające napady paniki, niezależnie od tego, czy źródłem są leki, czy też prąd elektryczny (Charney et al., 1990). Te i podobne wyniki dały początek teorii, że zespół lęku napadowego może być wywoływany nieprawidłową aktywnością noradrenaliny w miejscu sinawym (Bremner et al., 1996). Według teorii warunkowania napady paniki to uwarunkowane klasycznie reakcje w odpowiedzi na subtelne wrażenia zmysłowe przypominające te, do których normalnie dochodzi w przypadkach, gdy jesteśmy zaniepokojeni lub przestraszeni (Bouton et al., 2001). Weźmy na przykład dziecko z astmą. Ostry napad astmy ma takie objawy jak duszność, kaszel czy uczucie zaciskania klatki piersiowej; te zaś z kolei wywołują strach i niepokój. Jeśli później, przy innej okazji (np. wchodząc szybko po schodach) dziecko doświadczy nawet łagodnych objawów, ale przypominających te, które zna z przebytego napadu (zasapie się, czyli zacznie odczuwać trudności w oddychaniu), może się zdenerwować, przestraszyć i doświadczyć napadu paniki. W takiej sytuacji niepozorne objawy staną się bodźcem warunkowym, napad paniki zaś wyuczoną reakcją warunkową. Fakt, że napady paniki są niemal trzykrotnie częstsze wśród astmatyków niż wśród osób bez astmy (Weiser, 2007), potwierdza tezę, że lęk napadowy może się rozwinąć (przynajmniej u części populacji) poprzez klasyczne warunkowanie. Ważną rolę w powstawaniu lęku napadowego mogą odgrywać również czynniki poznawcze. Większość teorii poznawczych (Clark, 1996) zakłada, że osoby z tym zaburzeniem łatwiej interpretują zwyczajne reakcje organizmu jako coś zagrażającego i te katastroficzne interpretacje stają się źródłem napadów paniki. Osoba z lękiem napadowym uznaje np., że zupełnie prawidłowe reakcje na zwyczajne bodźce (jak lekki zawrót głowy po nagłej zmianie pozycji z leżącej na stojącą), wysiłek fizyczny (przyspieszone tętno czy fakt, że trudniej złapać oddech) albo... na mocną kawę (drżenie i szybsze bicie serca) są czymś niepokojącym i świadczą o poważnej dysfunkcji fizycznej lub psychicznej („O Jezu! Mam zawał!”). Takie podejście wywołuje niepokój, a ten z kolei staje się źródłem kolejnych fizycznych objawów. W efekcie dochodzi do napadu paniki. Potwierdzeniem są wyniki badań, w których wykazano, że osoby bardziej katastroficznie interpretujące swoje objawy częściej doświadczają napadów paniki i są one bardziej nasilone. Z drugiej strony umiejętne łagodzenie takich katastroficznych myśli i odczuć na temat własnego ciała okazało się równie skuteczne jak leki w zmniejszaniu liczby napadów paniki (Good Hinton, 2009). Zespół lęku uogólnionego (GAD) Aleksander zawsze martwił się o wszystko. Na wakacjach martwił się, że jego dzieci utopią się, gdy będą się bawić na plaży. Codziennie gdy wychodził do pracy, martwił się, że w domu dojdzie do spięcia instalacji elektrycznej, które niechybnie wywoła pożar. Martwił się, że żona straci pracę w prestiżowej kancelarii prawnej, że łagodne zapalenie gardła u córki przerodzi się w sepsę. Jednym słowem – martwił się o coś ciągle i te zmartwienia tak mocno leżały mu na sercu, że nie potrafił podjąć żadnej decyzji, często czuł się spięty, poirytowany i przemęczony. Któregoś wieczoru żona miała przywieźć syna z meczu piłki nożnej, ale zagadała się z innymi rodzicami i w efekcie była w domu trzy kwadranse później. W tym czasie Aleksander kilkukrotnie próbował się do niej dodzwonić, ale bez skutku, bo w okolicach boiska nie było zasięgu. Przerażony zadzwonił na policję, będąc przekonany, że spóźnienie jest efektem jakiegoś strasznego wypadku drogowego, w którym brali udział jego bliscy. Aleksander cierpi na zespół lęku uogólnionego (ang. generalized anxiety disorder (GAD) ), czyli stan ciągłego, nadmiernego, niekontrolowanego i bezprzedmiotowego lęku i niepokoju. On i podobne mu osoby często martwią się o codzienne, rutynowe działania i aktywności, choć ich obawy są nieuzasadnione. Osoba z tym zaburzeniem może np. martwić się o swoje zdrowie, finanse, zdrowie członków rodziny, bezpieczeństwo dzieci, a nawet tak nieznaczące rzeczy jak spóźnienie się na spotkanie ze znajomymi, choć nie ma ku temu racjonalnych powodów (APA, 2013). Rozpoznanie zespołu lęku uogólnionego wymaga, by tego typu zamartwianie się – określane czasami jako lęk wolno płynący – występowało przez większą część dnia przez okres co najmniej sześciu miesięcy. Towarzyszą mu minimum trzy objawy fizjologiczne: nerwowość, trudności w koncentracji, łatwe męczenie się, wzmożone napięcie mięśni, rozdrażnienie i kłopoty ze snem. Zamartwianie się nie może być też wynikiem innego zaburzenia. Główną i najważniejszą cechą zespołu lęku uogólnionego jest stały niepokój i zamartwianie się. (Źródło: Freddie Peña). Objawy lęku uogólnionego dotykają 23,9% populacji polskiej w ciągu całego życia (EZOP, 2012). U kobiet ryzyko jest dwukrotnie wyższe niż u mężczyzn (APA, 2013). Zespół lęku uogólnionego najczęściej przyjmuje postać przewlekłą i często współwystępuje z innymi zaburzeniami lękowymi lub zaburzeniami nastroju (Noyes, 2001). Wydaje się też, że podnosi ryzyko zawałów serca i udarów mózgu, szczególnie u osób z wcześniej zdiagnozowanymi chorobami serca (Martens et al., 2010). Choć niewielu badaczy zajmowało się ustalaniem dziedziczności lęku uogólnionego, to zebranie wyników pozwala wyciągnąć wniosek, że czynniki genetyczne odgrywają w tym schorzeniu niewielką rolę (Hettema et al., 2001). Teorie poznawcze zespołu lęku uogólnionego sugerują, że czynnikiem podtrzymującym lęk są ukryte korzyści czerpane z zamartwiania się, np. poczucie kontroli czy możliwości przygotowania się na niepomyślne wydarzenia. Podsumowanie W zaburzeniach lękowych cierpiąca na nie osoba doświadcza nadmiernego, utrzymującego się uczucia niepokoju i lęku, które utrudnia codzienne funkcjonowanie. Do zaburzeń lękowych należą: fobie specyficzne: irracjonalny lęk przed konkretną rzeczą lub sytuacją, zaburzenie lęku społecznego: niezwykle silny lęk i unikanie sytuacji społecznych, zespół lęku napadowego: nagłe napady paniki bez widocznego powodu i towarzyszący lęk antycypacyjny, agorafobia: silny lęk przed sytuacjami, w których trudno byłoby uciec z danego miejsca, i unikanie ich, zespół lęku uogólnionego: stan ciągłego, nadmiernego, niekontrolowanego i bezprzedmiotowego lęku i niepokoju dotyczącego wielu obszarów życiowych. Review Questions W którym z wymienionych zaburzeń lękowych osoba doświadcza ciągłego, nadmiernego i bezprzedmiotowego lęku i zamartwiania się? zespół lęku napadowego zespół lęku uogólnionego agorafobia fobia społeczna B Które z poniższych zachowań można uznać za zachowanie zabezpieczające? znajdowanie towarzystwa, jeśli planujemy ekspozycję na bodziec wywołujący fobię unikanie miejsca, w którym prawdopodobnie mogą znajdować się węże unikanie kontaktu wzrokowego martwienie się czymś, by nie myśleć o przykrych wspomnieniach A Critical Thinking Question Opisz, czym w opisie etiologii zaburzeń lękowych różnią się teorie poznawcze od teorii warunkowania. Teorie warunkowania zakładają, że część zaburzeń lękowych, szczególnie fobie specyficzne, powstaje wskutek różnorodnych mechanizmów uczenia się, takich jak klasyczne i instrumentalne warunkowanie oraz modelowanie. W przeciwieństwie do nich teorie poznawcze zakładają, że zaburzenia lękowe rozwijają się w wyniku niewłaściwej interpretacji fizjologicznych objawów lęku. Np. w lęku napadowym fizjologiczne objawy niepokoju traktowane są jako zwiastujące nagłą katastrofę zdrowotną. agorafobia (ang. agoraphobia ) zaburzenie lękowe charakteryzujące się nasilonym strachem, niepokojem i unikaniem sytuacji, w których w przypadku pojawienia się objawów paniki, ucieczka mogłaby być utrudniona zaburzenia lękowe (ang. anxiety disorder ) grupa zaburzeń charakteryzująca się nadmiernym i długotrwałym lękiem i niepokojem oraz związanymi z tym zaburzeniami zachowania zespół lęku uogólnionego (ang. generalized anxiety disorder (GAD)) charakterystyczną cechą jest permanentny stan nadmiernego, niekontrolowanego i bezcelowego zamartwiania się i lęku miejsce sinawe (łac. locus coeruleus ) obszar pnia mózgu, w którym powstaje noradrenalina, neuroprzekaźnik aktywujący reakcję walki lub ucieczki; narząd ten odgrywa rolę w zespole lęku napadowego napad paniki (ang. panic attack ) moment niezwykle nasilonego lęku lub niepokoju; występuje nagle; objawy paniki mogą być zarówno psychiczne, jak i fizjologiczne zespół lęku napadowego (ang. panic disorder ) zaburzenie lękowe, w którym dochodzi do nieoczekiwanych napadów paniki w połączeniu z tzw. lękiem antycypacyjnym, tj. lękiem przed możliwością wystąpienia napadu paniki i/lub jego skutków zachowania zabezpieczające (ang. safety behavior ) myśli i zachowania ukierunkowane na obniżenie niepokoju w sytuacjach społecznych, mają na celu zminimalizowanie ryzyka negatywnych skutków społecznych; częste w fobii społecznej i lęku uogólnionym fobia społeczna (ang. social anxiety disorder ) charakteryzuje się niezwykle silnym i trwałym lękiem lub niepokojem w sytuacjach społecznych oraz ich unikaniem. Osoba boi się, że mogłaby zostać negatywnie oceniona przez innych fobia specyficzna (ang. specific phobia ) zaburzenie lękowe charakteryzujące się nadmiernym, niepokojącym i trwałym lękiem lub niepokojem wywoływanym przez określony, konkretny przedmiot lub sytuację (i ograniczonym tylko do nich)", "section": "Zaburzenia lękowe", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zaburzenia obsesyjno-kompulsywne i pokrewne Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać główne cechy i częstość występowania zaburzeń obsesyjno-kompulsywnych, zaburzeń dysmorficznych i zaburzeń zbieractwa Zrozumieć niektóre czynniki rozwoju zaburzeń obsesyjno-kompulsywnych Zaburzenia obsesyjno-kompulsywne i pokrewne (ang. obsessive-compulsive and related disorders ) stanowią grupę schorzeń charakteryzujących się obecnością natrętnych, nieprzyjemnych myśli i/lub stereotypowych zachowań. Wielu z nas od czasu do czasu doświadcza niechcianych myśli (np. w trakcie diety nie możemy opędzić się od wizji podwójnego cheeseburgera). Wielu wykonuje też czasem stereotypowe działania (np. chodzimy z kąta w kąt, gdy się denerwujemy). W zaburzeniach obsesyjno-kompulsywnych te okazjonalne, przykre doświadczenia urastają jednak do tak niewiarygodnych rozmiarów, że utrudniają normalne życie. W tej kategorii wyróżniamy zaburzenie obsesyjno-kompulsywne (OCD), zaburzenie dysmorficzne (dysmorfofobię) oraz patologiczne zbieractwo (syllogomanię). Zaburzenie obsesyjno-kompulsywne Osoby z zaburzeniem obsesyjno-kompulsywnym (ang. obsessive-compulsive disorder (OCD) ) doświadczają myśli (obsesji), które są przez nie same postrzegane jako natarczywe i niechciane i/lub mają nieodpartą potrzebę wykonywania kompulsji, tj. czynności fizycznych lub mentalnych (mających miejsce w umyśle, np. przymus liczenia w myślach, wewnętrznego powtarzania określonych słów etc.). Osoba z tym zaburzeniem może np. przez wiele godzin dziennie myć ręce albo wielokrotnie sprawdzać, czy na pewno wyłączyła światło, żelazko albo zamknęła drzwi. Obsesje to coś więcej niż niechciane myśli, które od czasu do czasu po prostu pojawiają się w umyśle, jak rozbrzmiewająca w kółko w głowie piosenka. To coś więcej niż wspominanie niedawno usłyszanej, grubiańskiej uwagi współpracownika. To coś bardziej znaczącego niż codzienne problemy, którymi zaprzątamy sobie głowę, jak uzasadniony lęk przed utratą pracy. Obsesjami nazywamy natrętne, pojawiające się bez udziału woli i niechciane myśli dalece ingerujące w świadomość, nieprzyjemne i stresujące (APA, 2013). Do powszechnych obsesji należy lęk przed brudem i zarazkami, wątpliwości („Czy na pewno kran został zakręcony?”), zaabsorbowanie porządkiem i symetrią (wszystkie łyżki muszą leżeć brzuszkami do góry i trzonkami w lewo) oraz impulsy obejmujące agresję lub erotykę. Dotknięta obsesją osoba zazwyczaj wie, że takie myśli lub popędy są irracjonalne, dlatego próbuje je stłumić lub ignorować, ale jest to dla niej niezwykle trudne. Treść myśli intruzyjnych może być różna i nie ogranicza się do jednego tematu (przykładowo, można mieć myśli o zagrożeniu brudem i jednoczesne intruzje religijne) (Abramowitz i Siqueland, 2013). Kompulsje to powtarzające się rytualne zachowania w OCD. Mogą być one powiązane logicznie z myślami intruzyjnymi (np. natrętne myśli o zarazkach powodują kompulsywne odkażanie klamek) albo też zupełnie niepowiązane (np. natrętne myśli religijne powodują przymus liczenia w myślach określoną liczbę razy). Bez względu na powiązanie wszystkie kompulsje mają jeden podstawowy cel: ich wykonywanie zmniejsza napięcie wywołane przez intruzje (APA, 2013). Najczęściej kompulsje obejmują takie czynności, jak mycie rąk powtarzane aż do zdarcia skóry, nieustanne sprzątanie, wielokrotne sprawdzanie (np. czy zamknęliśmy drzwi albo wyłączyliśmy żelazko), porządkowanie (np. układanie ołówków na biurku równo pod jakimś kątem). Do kompulsji należą też rytuały mentalne, np. liczenie w myślach, przymus modlitwy konkretną liczbę razy albo recytowanie w myślach określonych fraz ( ). Kompulsje charakterystyczne dla OCD są dla wykonującej je osoby przykre, często prowokują negatywne myśli na swój własny temat („Jestem głupi, nienormalny”). Objawy OCD występują u około 2–3% populacji (badania amerykańskie Ruscio et al., 2010). Nieleczona choroba ma zwykle postać przewlekłą i powoduje równie przewlekłe problemy psychologiczne i w stosunkach międzyludzkich (Norberg et al., 2008). (a) Powtarzające się mycie rąk i (b) ciągłe sprawdzanie (np. czy zamknęliśmy drzwi) to powszechne kompulsje wśród osób cierpiących na OCD. (Źródło a: modyfikacja pracy USDA; b: modyfikacja pracy Bradleya Gordona). Dysmorfofobia Osoba z zaburzeniem dysmorficznym (ang. body dysmorphic disorder ) stale zamartwia się rzekomymi niedoskonałościami w swoim wyglądzie. W rzeczywistości te fizyczne wady albo w ogóle nie istnieją, albo są niemal niezauważalne dla otoczenia (APA, 2013). Postrzegane defekty sprawiają, że człowiek czuje się nieatrakcyjny, brzydki, odrażający, zdeformowany. Problem może dotyczyć dowolnego obszaru ciała, ale najczęściej odnosi się do skóry, twarzy lub włosów. Efektem jest angażowanie się w stereotypowe, rytualne zachowania (również mentalne), jak ciągłe patrzenie w lustro, usiłowanie zakrycia/ukrycia części ciała, z której dana osoba nie jest zadowolona, a w ekstremalnych przypadkach wymuszanie zabiegów chirurgii plastycznej (Phillips, 2005). Według badań amerykańskich około 2,4% dorosłych spełnia kryteria rozpoznania dysmorfofobii, przy czym częstość występowania tego zaburzenia jest nieco wyższa u kobiet niż u mężczyzn (APA, 2013). Dla populacji polskiej brak danych. Patologiczne zbieractwo Choć przez długie lata zbieractwo tradycyjnie uznawano za objaw OCD, to obecnie wiele dowodów wskazuje, że to zupełnie inna jednostka chorobowa (Mataix-Cols et al., 2010). Osoby dotknięte patologicznym zbieractwem (ang. compulsive hoarding ) ( syllogomanią ) nie potrafią rozstać się z posiadanymi rzeczami niezależnie od tego, jak są bezwartościowe czy bezużyteczne. W efekcie gromadzą ogromne ilości (zwykle niepotrzebnych) przedmiotów, zagracając swoją życiową przestrzeń ( ). Często dotknięta zbieractwem osoba nie może korzystać z kuchni albo spać we własnym łóżku. Trudności w rozstaniu się z przedmiotami wynikają z tego, że osoba z patologicznym zbieractwem wierzy, że te rzeczy mogą się jeszcze przydać albo uważa, że mają wielką wartość sentymentalną (APA, 2013). Co ważne: rozpoznanie zbieractwa można ustalić tylko w sytuacji, gdy nie wynika ono z innej medycznej przyczyny ani nie jest przejawem innej choroby psychicznej (np. schizofrenii) (APA, 2013). Osoby dotknięte zbieractwem nie potrafią rozstać się z posiadanymi rzeczami, co zwykle prowadzi do nagromadzenia bezwartościowych przedmiotów, które zagracają wszelką przestrzeń w domu. (Źródło: puuikibeach/Flickr). Przyczyny zaburzeń obsesyjno-kompulsywnych Wyniki badań przeprowadzonych w grupie bliźniąt mono- i dizygotycznych (czyli jedno- i dwujajowych) sugerują, że w zaburzeniach tego typu czynnik genetyczny odgrywa znaczącą rolę. Ryzyko OCD jest pięciokrotnie wyższe u osób, u których choroba występowała w najbliższej rodzinie (Nestadt et al., 2000). Jeśli u jednego z bliźniąt występuje choroba, to prawdopodobieństwo wystąpienia dolegliwości u drugiego wynosi około 57% w przypadku bliźniąt jednojajowych i 22% w przypadku bliźniąt dwujajowych (Bolton et al., 2007). W badaniach wykryto kilkadziesiąt genów, które mogą mieć wpływ na rozwój OCD. Geny te regulują działanie trzech neuroprzekaźników: serotoniny, dopaminy i kwasu glutaminowego (Pauls, 2010). Najnowsza metaanaliza przyczyn OCD z 2020 roku również sugeruje, że główną rolę w rozwoju objawów OCD odgrywają zaburzenia w układach serotoninergicznym i dopaminergicznym (Burton et al., 2020). Obszar mózgu, który uznaje się za kluczowy w zaburzeniach obsesyjno-kompulsywnych, to kora oczodołowo-czołowa (ang. orbitofrontal cortex ) (Kopell i Greenberg, 2008), część płata czołowego zaangażowana w uczenie się i podejmowanie decyzji (Rushworth et al., 2011) ( ). U osób z OCD obszar ten staje się nadaktywny, gdy pokazuje się im np. zdjęcia brudnej toalety albo ściany z krzywo powieszonymi obrazami (Simon et al., 2010). Kora oczodołowo-czołowa wraz z innymi regionami mózgu tworzy tzw. obwód OCD: połączonych ze sobą części wpływających na emocje w odpowiedzi na bodziec oraz wybór odpowiednich reakcji (behawioralnych i poznawczych) (Graybiel i Rauch, 2000). Pozostałe regiony mózgu w obwodzie OCD również wykazują podwyższoną aktywność przy prowokacji objawów (Rotge et al., 2008), co sugeruje, że nieprawidłowości w tych obszarach mogą być powiązane z zaburzeniami obsesyjno-kompulsywnymi (Saxena et al., 2001). Teorię tę potwierdza fakt, że osoby z OCD wykazują znacząco wyższy wskaźnik połączeń między korą oczodołowo-czołową a innymi obszarami tworzącymi obwód OCD niż ludzie bez takich zaburzeń (Beucke et al., 2013). Różne zaburzenia psychiczne są powiązane z różnymi obszarami mózgu. Omówione powyżej wnioski wysnuto w oparciu o wyniki badań obrazowych. Podkreślają one potencjalne znaczenie nieprawidłowości mózgu w rozwoju OCD. Mają jednak jedno istotne ograniczenie: nie potrafią wyjaśnić różnic w obsesjach i kompulsjach. Kolejnym ograniczeniem jest fakt, że istnienie korelacji między nieprawidłowościami neurologicznymi a objawami OCD nie musi oznaczać związku przyczynowo-skutkowego (Abramowitz i Siqueland, 2013). OCD a warunkowanie Według jednej z teorii objawy OCD to wyuczone reakcje, nabyte i podtrzymywane w wyniku połączenia dwóch form uczenia się: warunkowania klasycznego i warunkowania sprawczego (Mowrer, 1960; Steinmetz, Tracy i Green, 2001). Konkretnie nabycie OCD może pojawić się najpierw w wyniku warunkowania klasycznego, gdzie neutralny bodziec zostaje skojarzony z bodźcem bezwarunkowym wywołującym stres lub niepokój. Gdy takie skojarzenie utrwali się u danej osoby, to kolejne ekspozycje na neutralny bodziec będą wywoływać niepokój i obsesyjne myśli (które stają się odruchem warunkowym). Objawy mogą się utrzymywać, dopóki osoba nie znajdzie jakiegoś sposobu na ich złagodzenie. Rozładowanie napięcia następuje poprzez rytualne zachowania, które – wykonywane w sposób powtarzalny – zmniejszają niepokój. Tego rodzaju wysiłki zmierzające do zmniejszenia napięcia są przykładem negatywnego wzmocnienia (rodzaju warunkowania sprawczego). Przypomnij sobie z podrozdziału Warunkowanie sprawcze , że negatywne wzmocnienie obejmuje wzmocnienie zachowania dlatego, że pozwala ono znieść nieprzyjemne, przykre konsekwencje. Zachowania kompulsywne obserwowane w OCD są podtrzymywane, gdyż stanowią negatywne wzmocnienie w tym sensie, że zmniejszają niepokój wywołany bodźcem warunkowym. Wyobraźmy sobie, że osoba z OCD ma obsesyjne myśli o bakteriach, zanieczyszczeniach i chorobach, gdy tylko dotknie klamki. Co mogło być realnym bodźcem bezwarunkowym? Co mogło stać się bodźcem warunkowym, odruchem bezwarunkowym i warunkowym? Jakich rodzajów zachowań kompulsywnych możemy się spodziewać i w jaki sposób są one wzmacniane? Co się zmniejsza? Dodatkowo, z punktu widzenia teorii uczenia się, jak można by skutecznie leczyć objawy OCD? Podsumowanie Zaburzenia obsesyjno-kompulsywne i pokrewne to grupa schorzeń ujętych w DSM-5, które częściowo pokrywają się ze sobą w tym sensie, że w każdym występują natrętne myśli i/lub powtarzalne, rytualne zachowania. Najpowszechniejszym zaburzeniem z tej grupy jest zaburzenie obsesyjno-kompulsywne (OCD). Dotknięta nim osoba cierpi z powodu natrętnych, niechcianych, przykrych myśli i/lub wykonuje powtarzalne, rutynowe czynności (także mentalne), których celem jest usunięcie lub złagodzenie doświadczanych przez nią obsesji. W dysmorfofobii osoba jest stale zaabsorbowana jakąś fizyczną niedoskonałością swojego wyglądu, która albo obiektywnie nie istnieje, albo jest praktycznie niezauważalna dla otoczenia. Przejmowanie się takimi rzekomymi defektami w wyglądzie jest dla cierpiącego na dysmorfofobię źródłem znacznego niepokoju, jak jest postrzegany przez innych. Patologiczne zbieractwo oznacza trwałą niezdolność do pozbywania się rzeczy, niezależnie od ich rzeczywistej wartości czy użyteczności, co często prowadzi do zagracenia przestrzeni życiowej. Review Questions Który z poniższych przykładów dotyczy kompulsji? liczenie w myślach do 1000 strach przed mikrobami natrętne myśli o tym, jak skrzywdzić sąsiada fałszywe przekonanie, że małżonek nas zdradza A Badania wskazują, że objawy OCD ________. są podobne do objawów zespołu lęku napadowego są wywoływane przez zmniejszone stężenie hormonów stresu są powiązane z nadaktywnością kory oczodołowo-czołowej są słabsze, gdy osobom pokazuje się zdjęcia bodźców wywołujących te objawy C Critical Thinking Questions Omów wspólne składowe każdego z trzech zaburzeń opisanych w tym podrozdziale: zaburzeń obsesyjno-kompulsywnych, zaburzenia dysmorficznego i patologicznego zbieractwa. Każde z tych trzech zaburzeń charakteryzuje się natrętnymi myślami i impulsami, jak również przymusem wykonywania powtarzalnych, rytualnych czynności (także mentalnych). Natrętne myśli mogą dotyczyć strachu przed brudem (OCD), rzekomych niedoskonałości w wyglądzie (dysmorfofobia) albo nieumiejętności wyrzucania przedmiotów (syllogomania). Przymus wykonywania czynności obejmuje np. nadmierne mycie rąk (OCD), kompulsywne przeglądanie się w lustrze (dysmorfofobia) albo działanie w celu gromadzenia jeszcze większej liczby przedmiotów (zbieractwo). zaburzenie dysmorficzne (ang. body dysmorphic disorder ) zaburzenie polegające na nadmiernym przejmowaniu się defektem fizycznym (wyobrażonym lub realnym, ale o znikomej widoczności, np. osoba uważa, że ma odstające uszy, niesymetryczne brwi albo inny defekt wyglądu) patologiczne zbieractwo ( syllogomania ) (ang. compulsive hoarding ) trwała i nasilona niemożność rozstania się z przedmiotami, niezależnie od ich rzeczywistej wartości czy użyteczności zaburzenia obsesyjno-kompulsywne i pokrewne (ang. obsessive-compulsive and related disorders ) grupa nakładających się zaburzeń wymienionych w DSM-5, obejmujących natrętne, przykre myśli i/lub zachowania kompulsywne (natrętne rytuały) zaburzenie obsesyjno-kompulsywne (ang. obsessive-compulsive disorder (OCD)) schorzenie, które charakteryzuje się doświadczaniem natrętnych i niechcianych myśli (obsesji) i/lub potrzebą wykonywania powtarzalnych czynności albo aktów myślowych (kompulsji) w odpowiedzi na niechciane myśli lub popędy kora oczodołowo-czołowa (ang. orbitofrontal cortex ) część płata czołowego zaangażowana w uczenie się i podejmowanie decyzji", "section": "Zaburzenia obsesyjno-kompulsywne i pokrewne", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zespół stresu pourazowego Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisz charakter i zespół stresu pourazowego Zidentyfikować czynniki ryzyka związane z tym zaburzeniem Rozumie rolę uczenia się i czynników poznawczych w jego rozwoju Udział w walkach, bycie dotkniętym katastrofą naturalną jak powódź lub huragan czy bycie świadkiem ataku terrorystycznego są dla doświadczających ich osób tak niezwykle stresujące lub traumatyczne, że zwiększają ryzyko rozwoju takich zaburzeń psychicznych, jak zespół stresu pourazowego (ang. post-traumatic stress disorder (PTSD) ). Przez większą część ubiegłego wieku zaburzenie to nazywano shell shock (nerwicą wojenną), ponieważ objawy obserwowano u żołnierzy walczących na froncie. Pod koniec lat 70. XX wieku stało się jasne, że ten sam zespół objawów występuje u kobiet, które doświadczały przemocy (gwałtu, bicia, aktów kazirodczych) (Herman, 1997). Wtedy ukuto termin post-traumatic stress disorder (PTSD) – zespół stresu pourazowego, uznając, że takie objawy mogą się pojawić u każdego, kto doświadczył urazu psychicznego. Szersza definicja PTSD We wcześniejszych wersjach DSM PTSD zaliczano do zaburzeń lękowych. W obecnej – DSM-5 – figuruje ono w grupie zaburzeń określanych jako zaburzenia związane z traumą i stresem (ang. trauma and stressor-related disorders ). PTSD diagnozuje się, gdy jednostka podlegała ekspozycji na zagrożenie życia, czyjąś śmierć, poważne zranienie lub przemoc seksualną, przejawiające się w jeden lub więcej poniżej wymienionych sposobów (APA, 2013): bezpośrednie doświadczenie zdarzenia traumatycznego, bycie świadkiem zdarzenia traumatycznego, które przytrafiło się innym, uzyskanie informacji o tym, że ktoś z bliskich uczestniczył w zdarzeniu traumatycznym. Te doświadczenia mogą obejmować udział w walkach, rzeczywistą lub realnie zagrażającą przemoc fizyczną lub seksualną, katastrofy naturalne, ataki terrorystyczne oraz wypadki drogowe. To kryterium czyni z PTSD jedyną chorobę opisaną w DSM, dla której wyraźnie określona jest przyczyna (ciężki wstrząs lub uraz). Do objawów PTSD zalicza się: natrętne, nieprzyjemne wspomnienia traumatycznego zdarzenia, tzw. flashback (trwające od kilku sekund do nawet kilku dni stany przeżywania zdarzenia na nowo, gdy osoba zachowuje się tak, jakby ono właśnie miało miejsce [APA, 2013]), unikanie bodźców powiązanych w jakiś sposób z przeżytą traumą, trwale negatywne stany emocjonalne (poczucie winy, strach, gniew, wstyd) i uczucie wyobcowania, rozdrażnienie, skłonność do wybuchów gniewu, nadmierną czujność i reakcje lękowe. Te objawy muszą utrzymywać się co najmniej przez miesiąc, żeby można było ustalić rozpoznanie PTSD. W Polsce rozpowszechnienie PTSD w populacji ogólnej wynosi około 1,1% (EZOP, 2012). U osób z grupy ryzyka (z doświadczeniem traumy) to zaburzenie występuje oczywiście częściej. PTSD stwierdzono u 71% byłych więźniów politycznych okresu stalinowskiego. U 83–85% byłych więźniów obozów zagłady występowały objawy syndromu obozowego (KZ-syndrom) (Lis-Turlejska et al., 2006). PTSD występuje u około 30% osób, które przeżyły II wojnę światową w Polsce (Lis-Turlejska wsp., 2006; Rybakowski, 2010). Ryzyko jest wyższe wśród ofiar wypadków masowych oraz osób, które z racji wykonywanego zawodu często stykają się z traumą (np. policjantów, strażaków i ratowników medycznych) (APA, 2013). Po roku od zdarzenia na PTSD cierpiało blisko 21% mieszkańców rejonów dotkniętych huraganem Katrina (Kessler et al., 2008), a po 2–3 latach od ataków terrorystycznych z 11 września – 12,6% Nowojorczyków z Manhattanu (DiGrande et al., 2008). Czynniki ryzyka PTSD Rzecz jasna, nie każdy, kto doświadcza traumatycznego wydarzenia, będzie cierpieć z powodu PTSD; są jednak czynniki z dużym prawdopodobieństwem pozwalające przewidywać, kto go doświadczy. Należą do nich: doświadczenie zdarzenia o charakterze traumy, doświadczenie silnych, intensywnych emocji w odpowiedzi na traumę, brak natychmiastowego wsparcia ze strony społeczności, przeżywanie kolejnych ciężkich doświadczeń po przebytym urazie (Brewin et al., 2000), np. wtórna wiktymizacja u ofiar gwałtu, spowodowana stygmatyzacją w otoczeniu. Zdarzenia związane z fizyczną krzywdą doznaną od innych (urazy w walce, pobicie, gwałt lub molestowanie seksualne) niosą ze sobą wyższe ryzyko PTSD niż np. katastrofy naturalne (Kessler et al., 1995). Kobiety są bardziej narażone na traumę z powodu nadużyć i przemocy na tle seksualnym oraz zaniedbań i przemocy fizycznej doświadczanych w dzieciństwie. Mężczyźni są bardziej narażeni na traumę w wyniku klęsk żywiołowych, wypadków zagrażających życiu i przemocy fizycznej, jako ich świadkowie albo jako ofiary. Dorastający chłopcy są bardziej narażeni na wypadki, napaść fizyczną i bycie świadkiem czyjejś śmierci lub odniesienia obrażeń; nastoletnie dziewczęta są z kolei bardziej narażone na gwałt lub napaść na tle seksualnym, przemoc ze strony partnera lub niespodziewaną śmierć albo odniesienie obrażeń przez ukochaną osobę. Doświadczenie przemocy i bycie świadkiem traumy u innych ludzi są bardziej rozpowszechnione wśród osób innej rasy niż kaukaska. Afroamerykanie są bardziej narażeni na przemoc niż mężczyźni innych ras (Kilpatrick et al., 2017). Badanie z 2012 roku wykazało, że 27% funkcjonariuszy więziennych zgłosiło wystąpienie objawów PTSD w ciągu ostatnich 30 dni. Wskaźniki były wyższe w przypadku mężczyzn (31%) niż kobiet (22%) (Spinaris et al., 2012). Badanie przeprowadzone przez Jaegers i wsp. (2019) wykazało, że 53,4% funkcjonariuszy więziennych uzyskało w testach przesiewowych wyniki wskazujące na obecność objawów PTSD. Zespół stresu pourazowego występuje częściej u więźniów niż w innych populacjach, szacuje się, że odsetek ten wynosi 6% wśród więźniów płci męskiej i 21% wśród osadzonych kobiet (Facer-Irwin et al., 2019). Innymi czynnikami podwyższającymi ryzyko są: niski status socjoekonomiczny, niski iloraz inteligencji, przebyte zaburzenia psychiczne, traumatyczne doświadczenia z dzieciństwa (bicie, wykorzystywanie i inne), jak również występowanie zaburzeń psychicznych w rodzinie (Brewin et al., 2000). Wśród indywidualnych cech ryzyka PTSD wymienia się: neurotyzm i skłonność do somatyzacji (przeżywanie stresu jako fizycznych objawów chorobowych) (Bramsen et al., 2000). Nieszczęśliwe dzieciństwo lub traumatyczne doświadczenia w dorosłym życiu znacząco podnoszą ryzyko PTSD u osób, które mają jedną lub dwie krótkie wersje genu regulującego wytwarzanie serotoniny – neuroprzekaźnika zwanego też hormonem szczęścia (Xie et al., 2009). Sugeruje to, że zaburzenie rozwija się z większym prawdopodobieństwem u osób podatnych (model podatność–stres) w wyniku interakcji czynników biologicznych (genów) i psychospołecznych (stresu). Wsparcie dla osób z PTSD Z badań wynika, że społeczne wsparcie po traumatycznym zdarzeniu, definiowane jako pocieszenie, dodanie otuchy i pomoc od najbliższych, przyjaciół i sąsiadów, może zmniejszyć prawdopodobieństwo rozwoju PTSD (Ozer et al., 2003). Takie społeczne wsparcie pomaga jednostkom radzić sobie w trudnych chwilach, ponieważ mogą się wyżalić, powiedzieć, co czują, z kolei otoczenie zapewnia im poczucie miłości i akceptacji. Prowadzone przez 14 lat badanie w grupie 1377 amerykańskich weteranów wojny wietnamskiej wykazało, że ci, którzy po powrocie do domu w mniejszym stopniu odczuwali wsparcie otoczenia, byli bardziej narażeni na rozwój PTSD ( ). Niższe ryzyko mieli ci, którzy angażowali się w życie lokalnej społeczności. W ich przypadku łatwiej dochodziło też do remisji PTSD w porównaniu z weteranami o większym stopniu izolacji społecznej (Koenen et al., 2003). Mężczyzna przy pomniku Weteranów Wojny w Wietnamie w skupieniu oddaje cześć zmarłym. PTSD rozpoznawano najpierw u żołnierzy uczestniczących w konfliktach zbrojnych. Z badań wynika, że silne wsparcie społeczne zmniejsza ryzyko rozwoju tego zaburzenia. (Źródło: Kevin Stanchfield). Uczenie się a rozwój PTSD Modele wyuczania PTSD sugerują, że część objawów pojawia się i jest podtrzymywana w mechanizmie klasycznego warunkowania. Traumatyczne wydarzenie może działać jak bodziec bezwarunkowy wywołujący bezgraniczny strach i niepokój (reakcja bezwarunkowa). Bodźcami warunkowymi stają się czynniki poznawcze, emocjonalne, fizjologiczne i środowiskowe towarzyszące traumatyzującemu wydarzeniu lub w jakiś sposób z nim powiązane. Coś, co przypomina przebytą traumę, wywołuje odruch warunkowy (nasilony strach i niepokój), zbliżony do reakcji na pierwotne zdarzenie (Nader, 2001). Ktoś, kto był w pobliżu dwóch wież podczas ataku terrorystycznego z 11 września i u kogo rozwinął się później PTSD, może zachowywać się niezwykle nerwowo i niespokojnie za każdym razem, kiedy nad jego głową przelatuje samolot. Taka reakcja to odruch warunkowy na doświadczenie traumy (bodziec warunkowy w postaci dźwięku i widoku przelatującego samolotu). To, u kogo rozwinie się PTSD i jak długo się utrzyma, można wyjaśnić różnicami w podatności na warunkowanie (Pittman, 1988). Badania nad warunkowaniem pokazują, że u osób z tym zaburzeniem utrwalanie odruchów warunkowych jest ułatwione, zaś ich wygaszanie – utrudnione (Orr et al., 2000). W rozwoju i podtrzymywaniu PTSD ważne są też czynniki poznawcze. W jednym z modeli sugeruje się kluczową rolę dwóch procesów: zaburzeń wspomnień o traumatycznym wydarzeniu oraz negatywnego postrzegania zarówno siebie w kontekście danego zdarzenia, jak i skutków zdarzenia (Ehlers i Clark, 2000). Według tej teorii niektóre osoby doświadczające traumy nie tworzą spójnych wspomnień o niej; wspomnienia te są słabo zakodowane, można powiedzieć „pokawałkowane”, niezorganizowane i pozbawione szczegółów. Takie osoby nie potrafią więc wspominać zdarzenia w sposób zintegrowany, tj. nadający mu znaczenie i kontekst. Ofiara gwałtu, która nie potrafi przywołać spójnych wspomnień traumy, może pamiętać jedynie oderwane od siebie fragmenty (np. to, że napastnik ciągle powtarzał jej, że jest głupia), które wybijają się we wspomnieniach. Mogą one mieć charakter intruzji, wyzwalanych dodatkowo w obecności bodźców przypominających pierwotne wydarzenie (np. spotkanie osoby podobnej do napastnika może przywołać wspomnienie tego, co do niej mówił). Taka interpretacja pasuje do wcześniej omawianego materiału na temat warunkowania PTSD. Sugeruje też, że negatywne postrzeganie siebie w kontekście wydarzenia („Sama jestem sobie winna, że mnie zgwałcono”) może prowadzić do dysfunkcyjnych strategii behawioralnych (np. unikania sytuacji, w których można spotkać mężczyzn) utrwalających objawy PTSD oraz przywoływanie zniekształconych wspomnień. W konsekwencji utrwalona zostaje też negatywna ocena samego siebie w kontekście całego zdarzenia. Podsumowanie Zespół stresu pourazowego opisywano początkowo jako nerwicę wojenną, uważano bowiem, że objawy pojawiają się w wyniku stresu wywołanego walką. Dziś jako PTSD określa się zaburzenie będące efektem traumatycznych lub niezwykle stresujących zdarzeń (walka, napaść seksualna, katastrofa naturalna) wywołujących zespół objawów takich jak: natrętne, nieprzyjemne wspomnienia zdarzenia, flashbacki, unikanie bodźców lub sytuacji powiązanych z oryginalnym zdarzeniem, trwale negatywne emocje, poczucie wyobcowania, rozdrażnienie, skłonność do wybuchów agresji oraz nasilone reakcje lękowe. Objawy muszą występować przez co najmniej miesiąc. Nie każda ofiara traumy doświadczy PTSD; rozpoznano szereg czynników predysponujących do rozwoju tego zaburzenia. Review Questions Objawy PTSD obejmują wszystkie poniższe, z wyjątkiem ________. natrętnych myśli lub wspomnień traumatycznego zdarzenia unikania rzeczy lub sytuacji, które przypominają ofierze o przebytej traumie reakcji lękowych objawów fizycznych, których nie można wyjaśnić obiektywnymi badaniami medycznymi D Który z poniższych czynników zwiększa ryzyko rozwoju PTSD? wysokie nasilenie traumy niska częstość doświadczania traumy wysoki poziom inteligencji dobry stan zdrowia fizycznego A Critical Thinking Question Wymień przynajmniej część czynników ryzyka związanych z rozwojem PTSD po traumatycznym zdarzeniu. Czynniki ryzyka PTSD obejmują: niski status socjoekonomiczny, niski poziom inteligencji, indywidualną i rodzinną historię zaburzeń psychicznych, doświadczenie traumy lub wykorzystywania w dzieciństwie. Można do nich zaliczyć także indywidualne cechy temperamentu, takie jak neurotyzm i skłonność do somatyzacji, oraz czynniki genetyczne: pewne odmiany genu zaangażowanego w kontrolę stężenia serotoniny w organizmie. flashback (ang. flashback ) stan psychiczny, w którym osoba ponownie przeżywa traumatyczne wydarzenie i zachowuje się tak, jakby działo się ono w czasie teraźniejszym zespół stresu pourazowego (PTSD) (ang. post-traumatic stress disorder (PTSD)) doświadczenie niezwykle traumatycznego zdarzenia prowadzi do zespołu objawów obejmujących natrętne, niepokojące wspomnienia zdarzenia, unikanie bodźców związanych ze zdarzeniem, negatywne stany emocjonalne, uczucie osamotnienia, rozdrażnienie, wybuchowość, nadmierną czujność i skłonność do reakcji przestrachu; objawy muszą występować przez co najmniej miesiąc", "section": "Zespół stresu pourazowego", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zaburzenia nastroju Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Odróżnić normalne stany smutku i euforii od stanów depresji i manii Opisać objawy dużej depresji i choroby afektywnej dwubiegunowej Zrozumieć różnice między ciężkim zaburzeniem depresyjnym a uporczywym zaburzeniem depresyjnym oraz zidentyfikować dwa podtypy depresji Określić kryteria epizodu maniakalnego Zrozumieć genetyczne, biologiczne i psychologiczne wyjaśnienia dużego zaburzenia depresyjnego Omówić związek zaburzeń nastroju z myślami samobójczymi oraz czynniki towarzyszące samobójstwu Błażej całymi dniami płacze, czując, że jest bezwartościowy, a jego życie pozbawione jest sensu; rano ma ogromne trudności ze wstaniem z łóżka. Kinga nie może zasnąć w nocy, mówi bardzo szybko, na zakupach wydała 3000 złotych na meble, chociaż jej nie stać. Maria niedawno została matką; praktycznie od dnia narodzin dziecka czuje się przytłoczona, niespokojna i spanikowana, ciągle płacze, ma przekonanie, że jest okropną matką. Wszystkie te osoby wykazują objawy potencjalnych zaburzeń nastroju. Zaburzenia nastroju (ang. mood disorder ) ( ) charakteryzują się poważnymi zakłóceniami uczuć i nastroju. Najczęściej mamy do czynienia z obniżeniem nastroju (depresją). Ale zaburzeniem nastroju będzie też patologicznie wzmożony nastrój (mania i euforia) (Rothschild, 1999). Każdy z nas doświadcza zmiennych nastrojów i emocji. Często zmiany te są spowodowane konkretnymi zdarzeniami w naszym życiu. Jesteśmy w euforii, gdy nasza ulubiona drużyna zdobędzie mistrzostwo świata, a zrozpaczeni, gdy rozpadnie się nam związek albo gdy stracimy pracę. Czasami czujemy się świetnie albo okropnie zupełnie bez powodu. Osoby z zaburzeniami nastroju też doświadczają zmiennych emocji, ale u nich te zmiany są ekstremalne, zniekształcają widzenie świata i utrudniają funkcjonowanie. Zaburzenia nastroju charakteryzują się nasilonymi wahaniami samopoczucia; od bezgranicznego smutku i beznadziei w depresji po euforię i niezwykłe rozdrażnienie w manii. (Źródło: Kiran Foster). DSM-5 wyróżnia dwie główne grupy zaburzeń nastroju: zaburzenia depresyjne (ang. depressive disorder ), których głównym komponentem jest depresja, oraz zaburzenia afektywne dwubiegunowe i pokrewne (ang. bipolar and related disorders ), w których występuje mania (ang. mania ). Depresja to mało konkretne określenie, które w potocznym języku oznacza głęboki, długotrwały smutek. Jest ona stanem zróżnicowanym — ma szeroki wachlarz objawów o różnym nasileniu. Osoby z depresją są smutne, zniechęcone, w rozpaczy. Tracą zainteresowanie aktywnościami, które wcześniej sprawiały im przyjemność, nie mają ochoty na jedzenie czy seks i często czują się bezwartościowe. Zaburzenia depresyjne różnią się nasileniem, lecz w tym podrozdziale omówimy tylko tzw. depresję kliniczną, czyli zaburzenie depresyjne o co najmniej umiarkowanym nasileniu. Mania jest stanem niezwykłego podniecenia i euforii. Doświadczające jej osoby są bardzo gadatliwe, zachowują się lekkomyślnie i często zabierają się za wiele rzeczy na raz. Najlepiej znanym schorzeniem, w którym występuje mania, jest choroba afektywna dwubiegunowa. Depresja kliniczna Kryteria depresji klinicznej (ang. clinical depression ), a zgodnie z terminologią DSM-5 - dużej depresji (ang. major depressive disorder ), to „depresyjny nastrój przez większość dnia niemal codziennie” (smutek, pustka, beznadzieja, płaczliwość) oraz utrata zainteresowań (APA, 2013). Oprócz codziennego, wszechogarniającego smutku osoby z depresją doświadczają anhedonii, tj. przestają czerpać radość z aktywności, które wcześniej sprawiały im przyjemność (hobby, uprawianie sportu, seks, uczestnictwo w różnych wydarzeniach, czas spędzany z rodziną itp.). Rodzina i przyjaciele zauważają, że osoby te zupełnie przestały się angażować, np. zapalony tenisista w depresji przestaje grać (Rothschild, 1999). Żeby można było postawić rozpoznanie depresji klinicznej, osoba musi mieć co najmniej pięć objawów przez minimum dwa tygodnie; objawy muszą wywoływać duży stres lub pogarszać normalne funkcjonowanie i nie mogą wynikać z innej choroby albo nadużywania leków czy innych substancji. Wymagana jest obecność co najmniej jednego z dwóch opisanych powyżej objawów (stale obniżony nastrój lub anhedonia) oraz dowolna kombinacja wymienionych poniżej (APA, 2013): znaczna, niezamierzona utrata masy ciała lub tycie, również wyraźny spadek lub wzrost apetytu, trudności w zasypianiu albo zbyt duże zapotrzebowanie na sen, pobudzenie psychomotoryczne (pacjent jest wyraźnie niespokojny i roztrzęsiony, nie potrafi usiedzieć na miejscu, chodzi z kąta w kąt, porusza nerwowo dłońmi, pociera lub miętosi skórę, ubranie lub inne przedmioty) lub spowolnienie psychomotoryczne (osoba porusza się bardzo powoli, mówi cicho, mało albo monotonnym głosem), zmęczenie, utrata energii, poczucie winy lub bycia bezwartościowym, trudności w koncentracji, nieumiejętność podjęcia decyzji, myśli samobójcze (ang. suicidal thoughts ): myśli o śmierci (nie strach przed nią), planowanie samobójstwa, podjęcie próby samobójczej. Depresja kliniczna uznawana jest za chorobę przebiegającą epizodami; jej objawy występują w pełnym nasileniu przez jakiś czas, a potem stopniowo zanikają. 50–60% osób, które przebyły epizod depresji klinicznej, doświadcza kolejnego epizodu; ci, u których potwierdzono dwa epizody, mają 70% prawdopodobieństwa zapadnięcia na trzeci, a jeśli przebyli trzy – na 90% będą mieli czwarty (Rothschild, 1999). Choć pojedynczy epizod może się ciągnąć miesiącami, to większość (około 70%) pacjentów z rozpoznaniem depresji wraca do zdrowia w ciągu roku. U pozostałych choroba się utrzymuje; po pięciu latach około 12% wykazuje oznaki poważnego pogorszenia funkcjonowania w związku z depresją (Boland i Keller, 2009). W dalekiej perspektywie u wielu osób, u których zaobserwowano poprawę, występują jeszcze niewielkie objawy mogące w pewnym stopniu nasilać się lub słabnąć (Judd, 2012). Skutki depresji klinicznej Depresja kliniczna to poważna, obezwładniająca choroba, która może mieć niszczący wpływ na życie jednostki. Dotknięta nią osoba wiedzie nieszczęśliwe życie, często nie może się uczyć ani pracować; porzuca obiecującą karierę, traci zarobki. Bywa, że trafia do szpitala. Większość dotkniętych depresją podaje, że doświadczyła jakiegoś rodzaju dyskryminacji, a wielu po takich doświadczeniach nie chciało wchodzić w bliskie związki, starać się o pracę odpowiadającą ich poziomowi kwalifikacji, zapisać na szkolenie albo podjąć dalszej nauki (Lasalvia et al., 2013). Depresja źle wpływa także na zdrowie; jest czynnikiem ryzyka rozwoju choroby wieńcowej u zdrowych osób, a u tych, które już wcześniej chorowały na serce, pogarsza prognozy (Whooley, 2006). Czynniki ryzyka depresji klinicznej Często mówi się, że depresja w psychiatrii jest tym, czym w internie przeziębienie. W Polsce występowanie depresji w ciągu życia w populacji dorosłej wynosi ok. 3% (EZOP, 2012). Do niedawna uważano, że depresja częściej występuje u kobiet (4%), niż u mężczyzn (2%) (EZOP, 2012). Wyższa częstość występowania depresji u kobiet nie dawała się jednak wyjaśnić ich większą skłonnością do zgłaszania objawów czy szukania pomocy, a to sugerowało, że istnieją jakieś międzypłciowe różnice biologiczne i środowiskowe (Kessler, 2003). Nowsze dane sugerują jednak, że depresja występuje z równą częstością u kobiet i u mężczyzn. U mężczyzn przejawia się ona objawami niekojarzonymi stereotypowo z depresją. Jak mówi Sławomir Murawiec (ur. 1966), specjalista psychiatra i przewodniczący Polskiego Towarzystwa Psychiatrycznego: „Męska depresja to często nie płakanie w kącie pokoju, ale ryzykowne zachowania, złość, agresja, zachowania, których wcześniej u tego człowieka nie było”. Potwierdzeniem tego są badania Lisy A. Martin (ur. 1960), opublikowane w 2013 roku w prestiżowym czasopiśmie „ Journal of the American Medical Association Psychiatry ”. Ich wyniki ujawniły, że depresja występowała wręcz częściej u mężczyzn niż u kobiet (26,3% mężczyzn vs 21,9% kobiet). Rozwinięciem tej tezy jest stworzenie przez Wolfganga Rutza narzędzia do badania atypowych objawów depresji u mężczyzn, tj. Gotlandzkiej Skali Męskiej Depresji ( Gotland Male Depression Scale (GDMS) ), która doczekała się także polskiej adaptacji (por. Chodkiewicz, 2017). Częstość występowania depresji jest najwyższa w obu Amerykach, Europie i Australii; znacząco niższa jest w krajach azjatyckich (Hasin et al., 2011). Nie ma jednoznacznej korelacji między wiekiem a podatnością na depresję. Czynniki ryzyka depresji klinicznej są liczne. Należą do nich między innymi: bezrobocie, mieszkanie w mieście, rozwód, separacja lub śmierć małżonka (Hasin et al., 2011). Choroby współwystępujące to m.in. zaburzenia lękowe oraz nadużywanie substancji psychoaktywnych (Kessler i Wang, 2009). Podtypy depresji W DSM-5 wyróżnia się kilka podtypów depresji. Nie są to odrębne schorzenia, a raczej etykiety używane, by wskazać charakterystyczne zespoły objawów albo okresy ich pojawiania się. Np. depresja sezonowa (ang. seasonal pattern ) odnosi się do sytuacji, gdy objawy depresji klinicznej pojawiają się tylko w określonej porze roku (zwykle jesienią lub zimą). Inny podtyp, depresja w okresie połogu (ang. postpartum depression ) (powszechnie określany mianem „ depresji poporodowej ”) odnosi się do kobiet, które doświadczają klinicznej depresji w ciąży lub w ciągu 4 tygodni po urodzeniu dziecka (APA, 2013). Takie kobiety często są niespokojne, mogą nawet doświadczać napadów paniki. Często mają poczucie winy, są rozdrażnione i płaczliwe. Nie chcą opiekować się noworodkiem ani brać go na ręce, nawet jeśli ciąża była chciana i oczekiwana. W najcięższej postaci choroby mogą chcieć skrzywdzić dziecko lub siebie. Częstość występowania objawów depresji poporodowej jest wysoka. W badaniu obejmującym 10 tys. kobiet w połogu aż u 14% stwierdzono oznaki depresji poporodowej, a niemal 20% deklarowało myśli o zrobieniu sobie krzywdy (Wisner et al., 2013). Oprócz depresji występuje tzw. zaburzenie dystymiczne (ang. dysthymia ), charakteryzujące się doświadczaniem obniżonego nastroju codziennie przez większość dnia, przynajmniej przez dwa lata. Występują przy tym co najmniej dwa dodatkowe objawy depresji klinicznej. W przeciwieństwie do depresji klinicznej nieobecne są okresy remisji choroby (APA, 2013). Dystymia występuje rzadziej niż depresja, w Polsce jej rozpowszechnienie w ciągu życia wynosi około 0,6% (EZOP, 2012). Choroba afektywna dwubiegunowa Osoba z chorobą afektywną dwubiegunową (ChAD) (ang. bipolar disorder ) (kiedyś używano nazwy „depresja maniakalna”, ale obecnie unika się stosowania tego terminu, ponieważ jest stygmatyzujący) doświadcza częstych i nasilonych wahań nastroju od depresji po manię (w przeciwieństwie do zaburzeń depresyjnych, które cechuje permanentnie obniżony nastrój). Rozpoznanie ChAD musi się opierać na wystąpieniu w trakcie życia przynajmniej jednego epizodu manii. Choć w tej chorobie epizody depresji są częste, to nie są wymagane do postawienia diagnozy (APA, 2013). Według DSM-5 epizod maniakalny (ang. manic episode ) to „wyraźnie wyodrębniony, trwający co najmniej tydzień okres nieadekwatnie podwyższonego, ekspansywnego nastroju lub rozdrażnienia oraz równie nieadekwatnego przypływu energii i aktywności widocznego przez większość dnia codziennie” (APA, 2013, s. 124). W trakcie epizodu maniakalnego niektórzy doświadczają podwyższenia nastroju na granicy euforii, stają się bardzo gadatliwi, niekiedy sami zagadują do obcych. Inni stają się rozdrażnieni, na wszystko się skarżą albo czynią przykre uwagi. Osoba w manii może mówić bardzo szybko i głośno, ma tzw. gonitwę myśli (ang. flight of ideas ), przeskakując z jednego tematu na drugi. Łatwo się rozprasza, co sprawia, że rozmowa z nią jest bardzo trudna. Ma bardzo wysokie mniemanie o sobie i jest bardzo pewna siebie, choć te uczucia mogą być zupełnie nieuzasadnione. W takim stanie może np. rzucić pracę, by zacząć inwestować na giełdzie, mimo że nie ma o tym zielonego pojęcia, doświadczenia ani kapitału. Często jednocześnie rozpoczyna wiele przedsięwzięć (np. kilka czasochłonnych projektów w pracy), nie wykazując przy tym potrzeby snu; niektórzy mogą nie spać przez kilka dni z rzędu. Lekkomyślnie angażuje się też w aktywności, które dają przyjemność, ale mogą mieć przykre lub niebezpieczne konsekwencje, np. wydaje fortunę na niepotrzebne rzeczy, prowadzi auto jak rajdowiec, impulsywnie inwestuje pieniądze, uprawia hazard albo ryzykowny seks z nieznajomymi (APA, 2013). Pacjenci w manii zwykle nie przyjmują do wiadomości, że są chorzy i twierdzą, że nie potrzebują leczenia. Mogą jednak trafić do szpitala w efekcie ryzykownych zachowań (aspołecznych, nielegalnych albo fizycznie zagrażających innym), jakie towarzyszą epizodowi (APA, 2013). U niektórych osób z chorobą afektywną dwubiegunową (w tzw. podtypie szybkiej zmiany cykli [ang. rapid-cycling ]) zmiany nastrojów następują szybko po sobie i co najmniej cztery razy w roku pojawiają się epizody manii (lub kombinacje przynajmniej czterech epizodów manii i depresji klinicznej). W nakręconym w 1997 roku niezależnym filmie Sweetheart aktorka Janeane Garofalo grała rolę Jasmine, młodej kobiety z chorobą afektywną dwubiegunową. Obejrzyj relację z pierwszej ręki ; świadectwo osoby z ChAD. Czynniki ryzyka choroby dwubiegunowej Choroba afektywna dwubiegunowa występuje rzadziej niż depresja. Polski przegląd piśmiennictwa wskazuje, że ryzyko wystąpienia w ciągu życia zaburzenia o cechach dwubiegunowości zawiera się w przedziale 3–6% (Rybakowski, 2008). Zaburzenie jest częstsze u mężczyzn niż u kobiet, a w blisko połowie przypadków jego początek przypada przed 25. rokiem życia (Merikangas et al., 2011). Nawet 90% chorych na ChAD ma inne współwystępujące zaburzenia, najczęściej zaburzenia lękowe albo problem z nadużywaniem substancji psychoaktywnych. Niestety, blisko połowa nie otrzymuje odpowiedniego leczenia (Merikangas i Tohen, 2011). W szeroko zakrojonych polskich badaniach nad rozpowszechnieniem ChAD, prowadzonych w wielu ośrodkach, które obejmowały analizą 880 chorych z rozpoznaniem depresji leczonych ambulatoryjnie, stwierdzono, że w rzeczywistości nawet 60% z nich chorowało na ChAD, u kolejnych 12% zaburzenia miały cechy spektrum ChAD, a tylko u 38% faktycznie występowała depresja (Kiejna et al., 2006; Rybakowski et al., 2005). Wśród pacjentów z tą chorobą notuje się wysoki odsetek samobójstw: próby samobójcze podejmuje przynajmniej raz w życiu 36% z nich (Novick et al., 2010), w tym u 15–19% są to próby skuteczne (Newman, 2004). Biologiczne podstawy zaburzeń nastroju Wykazano, że zaburzenia nastroju mają silny komponent genetyczny i fizjologiczny. U krewnych chorych z kliniczną depresją istnieje dwukrotnie wyższe ryzyko zachorowania, zaś jeśli w rodzinie ktoś cierpiał na chorobę afektywną dwubiegunową, to ryzyko u najbliższych rośnie ponad dziewięciokrotnie (Merikangas et al., 2011). W przypadku obu tych chorób odsetek zgodności u bliźniąt jednojajowych jest wyższy niż u dwujajowych i wynosi odpowiednio 50% vs 38% dla depresji i 67% vs 16% dla choroby dwubiegunowej. Świadczy to o tym, że czynniki genetyczne odgrywają większą rolę w ChAD niż w zaburzeniach depresyjnych (Merikangas et al., 2011). U osób z zaburzeniami nastroju często dochodzi do zaburzenia równowagi stężenia neuroprzekaźników w mózgu, zwłaszcza noradrenaliny i serotoniny (Thase, 2009), ważnych regulatorów czynności fizjologicznych takich jak apetyt, popęd seksualny, sen, czuwanie i nastrój. Leki stosowane w depresji na ogół podnoszą stężenie serotoniny i noradrenaliny, podczas gdy lit – wykorzystywany w chorobie afektywnej dwubiegunowej – blokuje aktywność noradrenaliny w synapsach ( ). Wiele leków opracowanych do leczenia zaburzeń nastroju działa poprzez wpływ na aktywność neuroprzekaźników w synapsie. Depresja wiąże się z nieprawidłową aktywnością neuronalną licznych obszarów mózgu (Fitzgerald et al., 2008), zaangażowanych w ocenę emocjonalnego znaczenia bodźców i doświadczania emocji (ciało migdałowate) oraz regulujących i kontrolujących emocje (kora przedczołowa – prefrontal cortex ) (LeMoult et al., 2013). U osób z depresją aktywność ciała migdałowatego zwiększa się (Drevets et al., 2002), szczególnie przy ekspozycji na emocjonalnie negatywne bodźce, np. zdjęcia przedstawiające smutne twarze (Surguladze et al., 2005). Co ciekawe, u osób z depresją podwyższona aktywność ciała migdałowatego w reakcji na emocjonalnie negatywne bodźce pojawia się nawet wtedy, gdy bodźce te są prezentowane poza świadomością badanego (Victor et al., 2010) i utrzymuje nawet po ustaniu działania bodźca (Siegle et al., 2007). Ponadto u osób z depresją obniża się aktywność kory przedczołowej, szczególnie po lewej stronie (Davidson et al., 2009). Kora przedczołowa może hamować aktywację ciała migdałowatego, a tym samym tłumić negatywne emocje (Phan et al., 2005). Wyjaśniałoby to osłabioną zdolność panowania nad trudnymi emocjami i obniżenie nastroju w depresji z jednej strony, a z drugiej – zwiększoną wrażliwość emocjonalną na negatywne bodźce (Davidson et al., 2009). Już w latach 50. XX wieku naukowcy zaobserwowali, że u osób z depresją występują zaburzenia w stężeniu kortyzolu, hormonu stresu uwalnianego z układu dokrewnego do krwiobiegu w chwilach stresu (Mackin i Young, 2004). Uwolnienie kortyzolu zapoczątkowuje reakcję walki lub ucieczki. Wiele osób w depresji ma podwyższone stężenie kortyzolu (Holsboer i Ising, 2010); dotyczy to szczególnie tych, którzy doznali silnej traumy we wczesnym dzieciństwie, np. śmierci rodzica albo bycia ofiarą molestowania (Baes et al., 2012). Rodzi się więc pytanie, czy podwyższone stężenie kortyzolu jest przyczyną czy też raczej skutkiem depresji. Część badań wskazuje, że wzrost stężenia kortyzolu stanowi czynnik ryzyka rozwoju zaburzeń depresyjnych w przyszłości (Halligan et al., 2007). Kortyzol aktywuje ciało migdałowate, tłumiąc zarazem aktywność kory przedczołowej (McEwen, 2005) i w ten sposób podwójnie przyczynia się do rozwoju depresji, co może świadczyć, że jest zarówno jej powodem, jak i przyczynia się do nieprawidłowości w funkcjonowaniu mózgu (van Praag, 2005). Model podatność–stres w depresji klinicznej Od dawna uważa się, że traumatyczne wydarzenia życiowe, takie jak śmierć bliskich, rozwód lub separacja oraz problemy zdrowotne i finansowe, mogą wywołać depresję, a badania potwierdzały tę teorię (Mazure, 1998). Takie zdarzenia często poprzedzały pojawienie się choroby (Brown i Harris, 1989). Szczególnie chodzi o doświadczenie straty – sytuacje, w których bliska osoba odchodzi (z powodu śmierci, rozwodu, separacji albo wyprowadzki) (Paykel, 2003). Sytuacje straty mogą skutkować większym ryzykiem depresji, zwłaszcza jeśli towarzyszy im spadek poczucia własnej wartości danej osoby. Przykład? Gdy partner z nami zrywa, ryzyko depresji jest dwukrotnie wyższe niż gdy umiera (Kendler et al., 2003). Podobnie wyższe ryzyko depresji występuje u osób narażonych w dzieciństwie na traumę i chroniczny stres (np. rozdzielenie z rodzicem, problemy w rodzinie, zaniedbywanie lub molestowanie fizyczne lub seksualne [Kessler, 1997]). Przegląd 16 badań obejmujących ponad 23 tysiące uczestników wykazał, że osoby maltretowane w dzieciństwie są ponad dwukrotnie bardziej narażone na rozwój i utrzymywanie się depresji (Nanni et al., 2012). Rzecz jasna nie każdy, kto przeżył ciężkie chwile albo był w dzieciństwie źle traktowany, będzie miał depresję. Odwrotnie - zdarza się to niewielu osobom. Logicznym wytłumaczeniem wydawałby się zatem model podatność–stres (ang. diathesis-stress model ), w którym pewne predyspozycje czy też podatność genetyczna modyfikują reakcję jednostki na stres. Jakie mogłyby to być predyspozycje? Badanie Caspiego i współpracowników (2003) sugeruje, że jednym z winowajców może być mutacja w genie regulującym stężenie serotoniny (ang. serotonin ), 5-HTTLPR. Autorzy wykazali, że osoby, które doświadczyły w życiu wielu stresujących zdarzeń, znacząco częściej zapadały na depresję kliniczną, jeśli były nosicielami jednej lub dwóch kopii krótkiego (SS) wariantu tego genu. U posiadaczy dwóch długich (LS) wariantów ryzyko było niższe. Sytuacja zmieniała się jednak, jeśli nosiciele jednego lub dwóch krótkich wariantów genu 5-HTTLPR wiedli w miarę szczęśliwe życie, a stresujących wydarzeń było w nim niewiele; wtedy ryzyko depresyjnego epizodu było bardzo niskie. Wnioski te potwierdzono w kolejnych, licznych badaniach, w tym z udziałem osób maltretowanych w dzieciństwie (Goodman i Brand, 2009). W brytyjskim badaniu (Brown et al., 2013) naukowcy wykazali, że jeśli do maltretowania dochodzi, gdy dziecko nie ukończy jeszcze 9 lat, zwiększa to ryzyko przewlekłej (czyli rozumianej jako epizod trwający ponad 12 miesięcy) depresji w dorosłym życiu u jednostek z jednym (LS) lub dwoma (SS) krótkimi wariantami genu 5-HTTLPR ( ). Nie wpływa to jednak na ryzyko u posiadaczy dwóch długich (LL) wariantów tego genu. Wynika z tego, że jednym z czynników, przy których stres może prowadzić do depresji, jest genetyczna podatność. Badania interakcji genów i środowiska u dorosłych z przewlekłą depresją sugerują, że u jednostek z krótkim wariantem genu 5-HTTLPR maltretowanie przed 9. rokiem życia znacząco zwiększa ryzyko choroby (Brown et al., 2013). Poznawcze teorie depresji Według teorii poznawczych objawy depresyjne są wywoływane przez negatywne myśli, interpretacje i przewidywania (Joormann, 2009). Modele podatność–stres sugerują, że depresję powoduje „poznawcza podatność” (negatywne i nieadekwatne myślenie) oraz czynnik wyzwalający w postaci stresowych wydarzeń (Gotlib i Joormann, 2010). Pionierem poznawczej teorii depresji był psychiatra Aaron Beck. W latach 60. XX wieku (Beck, 2008) na podstawie badań i obserwacji swoich pacjentów wysnuł teorię, że podatni na depresję prezentują depresjogenne schematy, innymi słowy wewnętrzne przekonania prowokujące negatywne myślenie (Beck, 1976). Depresjogenne schematy obejmują przekonania o stracie, porażce, odrzuceniu, bezwartościowości i niedoskonałości. Schematy rozwijają się we wczesnym dzieciństwie i adolescencji w odpowiedzi na negatywne doświadczenia i pozostają w uśpieniu, dopóki nie aktywuje ich jakieś stresujące, negatywne zdarzenie. Przekładają się na dysfunkcyjne myślenie o sobie, świecie i przyszłości. Beck wierzył, że taki dysfunkcyjny styl myślenia utrwalają zniekształcenia poznawcze, czyli nieprawidłowości w przetwarzaniu informacji, co prowadzi do skupiania się na negatywnych aspektach doświadczeń życiowych, jednostronnie negatywnego interpretowania rzeczywistości i pomijania jej pozytywnych aspektów (Beck, 2008). Osoba, u której dysfunkcyjny schemat obraca się wokół odrzucenia, przywiązuje nadmierną wagę do wszelkich oznak społecznego odrzucenia (np. pierwsza dostrzega czyjeś nieprzychylne zmarszczenie brwi), odbiera taki sygnał jako odrzucenie i co więcej, automatycznie przypomina sobie wszystkie poprzednio doznane odrzucenia. Teorię Becka potwierdziły badania długookresowe, w których wykazano, że tendencja do negatywnego, niesłużącego myślenia w połączeniu ze stresującymi bodźcami pozwala w długim okresie przewidzieć ryzyko depresji (Dozois i Beck, 2008). Jako rozwinięcie tej teorii powstały terapie poznawcze ukierunkowane na zmianę negatywnego sposobu myślenia pacjentów z depresją (Beck, 1976). Druga co do ważności poznawcza teoria depresji, nazywana modelem bezradności (lub obecnie modelem braku nadziei albo modelem braku nadziei ) (ang. hopelessness theory ) sugeruje, że określony styl atrybucji (czyli wyjaśniania przyczyn zdarzeń) prowadzi do poczucia beznadziei, a to z kolei – do depresji (Abramson et al., 1989). Zgodnie z tą teorią poczucie beznadziei wynika z przekonania, że zdarzy się wszystko, co złe, nie wydarzy się nic dobrego i że jednostka nie może nic zrobić, by temu przeciwdziałać. Kluczowym założeniem teorii jest, że brak nadziei wynika z indywidualnej tendencji do postrzegania negatywnych zdarzeń życiowych jako mających przyczyny trwałe („To się nigdy nie zmieni”), ogólne („To wpłynie na całe moje życie”) i niemożliwe do zmiany („Tego nie można naprawić”). Negatywny styl atrybucji odgrywa szczególnie ważną rolę, jeśli dotyczy ważnych sfer życia (np. relacji, osiągnięć). Przypuśćmy, że kandydat na studia prawnicze źle wypadł na egzaminie wstępnym. Jeśli uważa, że negatywne zdarzenia w życiu mają stabilne i ogólne przyczyny, to będzie wierzyć, że tak samo jest z wynikiem egzaminu – przyczyny porażki są stabilne i ogólne („Jestem głupi i dlatego nigdy nie znajdę naprawdę dobrej pracy”). Tymczasem drugi student pomyśli: „Nie miałem szczęścia, byłem niedouczony, trafiłem na pytania, na które nie znałem odpowiedzi. Następnym razem postaram się lepiej przygotować albo będę miał więcej szczęścia” (przyczyna jest jednostkowa i dotyczy konkretnego zdarzenia). Model bezradności przewiduje, że osoby, które w reakcji na niepożądane zdarzenia będą postrzegać je jako niosące negatywne konsekwencje dla ich samooceny i przyszłości, mają większe szanse doświadczyć poczucia braku nadziei (Abramson et al., 1989). W jednym z badań nad modelem bezradności analizowano styl atrybucji w odpowiedzi na niekontrolowane czynniki stresujące. Wykazano, że w kolejnych sześciu miesiącach badani o stwierdzonej wysokiej podatności poznawczej (najwyższe wyniki w testach negatywnego stylu atrybucji) byli siedmiokrotnie bardziej narażeni na depresję niż uczestnicy o niższych wynikach (Kleim et al., 2011). Trzecia z poznawczych teorii depresji, teoria ruminacyjnego stylu reagowania (ang. ruminative response style theory ), skupia się na tym, jak ludzkie myśli o własnym złym samopoczuciu (w szczególności o objawach depresji) mogą zwiększać ryzyko jej pojawienia się i wydłużać czas trwania. Jej kluczowy element to rola rozpamiętywania w podtrzymywaniu depresji. Po raz pierwszy teoria ta została opisana pod koniec lat 80. XX wieku, by wyjaśnić, dlaczego u kobiet choroba występuje częściej niż u mężczyzn (Nolen-Hoeksema, 1987). Ludzie różnią się reakcją na zły nastrój, a u osób podatnych na depresję występuje nasilone rozpamiętywanie, zwane też ruminacjami depresyjnymi. Rozpamiętywanie (ang. dwelling on negative thoughts lub ang. rumination ) to powtarzane, bierne skupianie się na objawach i konsekwencjach aktualnej depresji, z jednoczesnym zaniechaniem prób oderwania myśli od choroby albo radzenia sobie z nią w aktywny, ukierunkowany na rozwiązanie problemu sposób (Nolen-Hoeksema, 1991). Rozpamiętując, ludzie myślą np. „Dlaczego jestem taki zdemotywowany? Po prostu nie mogę już tak dłużej. Jeśli dalej będę się tak czuć, nigdy nie skończę pracy” (Nolen-Hoeksema i Hilt, 2009). Kobiety częściej niż mężczyźni wpadają w stan rozpamiętywania, zwłaszcza w momentach obniżonego nastroju (Butler i Nolen-Hoeksema, 1994). Jednocześnie tendencja do ruminacji wiąże się z nasileniem objawów depresji (Nolen-Hoeksema et al., 1999), wzrostem ryzyka nawrotów (Abela i Hankin, 2011) oraz przewlekłością samych epizodów (Robinson i Alloy, 2003) Samobójstwo Dla niektórych osób z zaburzeniami nastroju niewyobrażalny ból emocjonalny, jakiego doświadczają, staje się czasem nie do zniesienia. Przytłoczone rozpaczą, rozbite obezwładniającym poczuciem bezwartościowości i przygniecione niezdolnością poradzenia sobie uznają, że najlepszym wyjściem z sytuacji będzie samobójstwo (ang. suicide ). Samobójstwo to celowe odebranie sobie życia. W pewnym sensie jest to efekt skumulowania się negatywnych skutków wielu zdarzeń (Crosby et al., 2011). Osoba nie tylko musi wykazywać biologiczną i psychiczną podatność oraz posiadać możliwości dokonania aktu samobójstwa, a zarazem być pozbawiona niezbędnych czynników chroniących przed jego realizacją, np. wsparcia ze strony przyjaciół i rodziny, oparcia w religii, odpowiednich umiejętności radzenia sobie z trudnościami i rozwiązywania problemów; takie czynniki ochronne zapewniają otuchę i pozwalają jednostce radzić sobie w okresach kryzysowych, gdy ból egzystencjalny staje się nieznośny (Berman, 2009). Zagrożenie samobójstwem (ang. suicide risk ) nie figuruje jako oddzielna jednostka diagnostyczna w DSM-5; jednak zaburzenie psychiczne, szczególnie zaburzenie nastroju, stanowi dla niego najważniejszy czynnik ryzyka. Około 90% spośród tych, którzy skutecznie odbierają sobie życie, miało rozpoznane przynajmniej jedno zaburzenie psychiczne, najczęściej afektywne (Fleischman et al., 2005). Częstość samobójstw trudno z całą pewnością zidentyfikować, ponieważ część zgonów w wyniku wypadków (np. samochodowych) mogła w rzeczywistości stanowić akty samobójcze. Statystyki zgonów, opierające się na kartach zgonów, obejmują tylko zamachy samobójcze zakończone śmiercią. Według danych policyjnych około trzech czwartych wszystkich zamachów samobójczych stanowią samobójstwa zakończone śmiercią, podczas gdy badania światowe mówią, że tylko co dziesiąta próba samobójcza kończy się zgonem (EZOP, 2012). Badania diagnostyczne EZOP (2012) szacują, że 0,7% mieszkańców Polski w wieku produkcyjnym ma za sobą zdarzenie, które możemy zakwalifikować jako próbę samobójczą. Dane policyjne wskazują, że w 2019 roku w Polsce 5 255 osób popełniło samobójstwo skutecznie (statystyki policyjne, 2020). Inne wnioski płynące z powyższych danych policyjnych są następujące: Blisko 86% samobójstw popełniają mężczyźni (4497 mężczyzn vs 756 kobiet). Najczęściej wybieranym sposobem jest powieszenie się. Większość samobójstw (blisko 60%) miała nieustaloną przyczynę. W 18% jako powód zaklasyfikowano trudności i zaburzenia psychiczne. Wskazuje to na konieczność doskonalenia standardów diagnozy i leczenia osób z zaburzeniami psychicznymi. Częstość samobójstw była najwyższa w grupie wiekowej 60.–65. rok życia, po czym stopniowo spadała wraz z wiekiem. Ale wysoki odsetek zanotowano także w grupie 30.–40. rok życia. Pod względem wykształcenia i sytuacji zawodowej najwięcej samobójstw odnotowano w grupie z wykształceniem zawodowym oraz wśród osób bezrobotnych. Wbrew powszechnej opinii liczba samobójstw rośnie na wiosnę (kwiecień–maj), a nie jesienią czy zimą. Tak naprawdę zimą odsetek samobójstw na ogół jest najniższy w roku (Postolache et al., 2010). Czynniki ryzyka samobójstwa Ryzyko samobójstwa jest szczególnie wysokie wśród osób nadużywających substancji psychoaktywnych. Dane europejskie pokazują, że 8,6% uzależnionych od alkoholu oraz 23,4% pijących ryzykownie ma za sobą próbę samobójczą (WHO, 2019). Ryzyko zachowań samobójczych wzrasta wraz z liczbą podjętych prób samobójczych. 16% niedoszłych samobójców podejmuje kolejną próbę w ciągu roku, a ponad 21% w ciągu kolejnych czterech lat (Owens et al., 2002). Szczególnie zagrożone samobójstwem są osoby, które mają skuteczne i dostępne środki do jego popełnienia (np. broń palną w domu, dostęp do leków etc.) (Brent i Bridge, 2003). Wstępem do próby samobójczej może być odsunięcie się od innych, zerwanie więzi społecznych, poczucie, że jest się dla innych ciężarem albo lekkomyślne angażowanie się w ryzykowne zachowania (Berman, 2009). Czynnikami ryzyka mogą być: poczucie bycia w pułapce, niemożności uniknięcia zewnętrznych, niekorzystnych okoliczności (np. pozostawanie w przemocowym związku) albo własnych, depresyjnych emocji (O’Connor et al., 2013). W ostatnich latach w grupie nastolatków rośnie liczba samobójstw wywołanych cyberprzemocą (ang. cyberbullying ). W szeroko opisywanym kilka lat temu przypadku Phoebe Prince, 15-latka z liceum w Massachusetts, popełniła samobójstwo, gdyż była stale nękana w sieci przez koleżanki i kolegów z klasy, którzy prześladowali ją SMS-ami i wpisami na Facebooku (McCabe, 2010). W Polsce zjawisko internetowego hejtu i jego skutków, z samobójstwami włącznie, również narasta. Nawet jednorazowe doświadczenie cyberprzemocy (w tym hejtu) może niekorzystnie wpłynąć na nastrój, samoocenę i psychiczny dobrostan danej osoby. Siła negatywnego oddziaływania zależy od kilku czynników: intensywności i okoliczności zdarzenia oraz wrażliwości atakowanego. Powtarzające się akty przemocy to ryzyko przewlekłych i poważniejszych skutków. Jak w przypadku każdego chronicznego stresu pogarsza się funkcjonowanie danej osoby (także w szkole), narastają izolacja, przygnębienie, frustracja, drażliwość i poczucie osaczenia. Samobójstwa mogą być „zaraźliwe”. Ich ryzyko rośnie, jeśli zabił się ktoś z otoczenia, szczególnie z rodziny (Agerbo et al., 2002). Także samobójstwa medialne, szeroko komentowane, mogą skłaniać niektóre jednostki do odebrania sobie życia w taki sam sposób. Badanie statystyk samobójstw w USA z lat 1947–1967 wykazało, że ich liczba gwałtownie wzrastała w pierwszym miesiącu po opublikowaniu na pierwszej stronie New York Timesa (Phillips, 1974) historii o samobójstwie. Austriaccy naukowcy stwierdzili znaczący wzrost samobójstw z użyciem broni palnej w ciągu trzech tygodni od opublikowania w największej austriackiej gazecie szeregu artykułów na temat zastrzelenia się pewnego celebryty (Etzersdorfer et al., 2004). Z przeglądu 42 prac naukowych wynika, że medialny szum towarzyszący samobójstwom celebrytów 14-krotnie częściej wywołuje falę naśladowczych prób samobójczych niż opisy samobójstw zwykłych ludzi (Stack, 2000). Ten sam przegląd wykazał, jak ważny jest kanał rozpowszechniania wiadomości; materiały telewizyjne mają o wiele słabszy wpływ na wzrost liczby samobójstw niż prasowe. Z badań wynika też, że pojawia się nowy trend: ludzie zaczynają zostawiać listy samobójcze w mediach społecznościowych; nie wiadomo jednak, do jakiego stopnia takie wiadomości w sieci mogą wywoływać falę samobójstw naśladowczych (Ruder et al., 2011). Słuszne wydają się jednak domysły, że notki samobójców w mediach społecznościowych mogą skłaniać podatne jednostki do podejmowania prób odebrania sobie życia (Luxton et al., 2012). Jednym z możliwych czynników ryzyka samobójstwa są zaburzenia neurochemiczne w mózgu. Współczesne prace z zakresu neurologii dowodzą, że zachowania samobójcze wiążą się z zaburzeniami stężenia serotoniny (Pompili et al., 2010). Obniżone stężenie serotoniny jest predyktorem podejmowania prób samobójczych w przyszłości, zarówno udanych, jak i nieudanych. Podczas sekcji zwłok samobójców obserwuje się właśnie niskie stężenie serotoniny (Mann, 2003). Jak już wcześniej wspomniano, nieprawidłowości w poziomie serotoniny odgrywają też istotną rolę w depresji, są powiązane z agresją i impulsywnością (Stanley et al., 2000). Połączenie tych trzech charakterystyk (tj. występowanie depresji, obniżenie stężenia serotoniny i impulsywność) to potencjalnie recepta na samobójstwo, szczególnie impulsywne. Klasyczne badanie prowadzone w latach 70. wykazało, że pacjenci z kliniczną depresją i bardzo niskim stężeniem serotoniny próbowali zabić się częściej i w sposób bardziej gwałtowny niż ci, u których poziom tego neuroprzekaźnika był wyższy (Asberg et al., 1976; Mann, 2003). Myśli i plany samobójcze, a nawet wzmianki mimochodem („Dziś po południu się zabiję”) powinny zawsze być traktowane poważnie. Ludzie, którzy rozważają odebranie sobie życia, potrzebują natychmiastowej pomocy. Poniżej podajemy adresy świetnych stron internetowych z informacjami (w tym numerami telefonów na gorącą linię) dla osób, które zmagają się z myślami samobójczymi, mają bliskich, którzy mogą chcieć odebrać sobie życie albo utracili kogoś bliskiego, kto popełnił samobójstwo: samobojstwo.pl , a po angielsku afsp.org i suicidology.org . Podsumowanie Zaburzenia nastroju oznaczają nasilone wahania emocji i nastroju. Obejmują spektrum depresji oraz chorobę afektywną dwubiegunową i podobne. W spektrum depresji mieszczą się depresja kliniczna, charakteryzująca się głównie okresami głębokiego smutku, utraty zainteresowania wcześniej lubianymi aktywnościami i nieumiejętnością czerpania z nich przyjemności, a także depresja przewlekła (zaburzenie dystymiczne), czyli stały stan smutku. Choroba afektywna dwubiegunowa to huśtawka między smutkiem a euforią; diagnozę można postawić, jeśli pacjent doświadczył przynajmniej jednego epizodu manii, definiowanej jako okres ekstremalnej euforii, rozdrażnienia i nadmiernej aktywności. Zaburzenia nastroju wydają się mieć komponent genetyczny, przy czym odgrywa ona większą rolę w chorobie dwubiegunowej niż w depresji. W rozwoju tej ostatniej udział mają zarówno czynniki biologiczne, jak i psychiczne. Osoby cierpiące na zaburzenia psychiczne, w szczególności zaburzenia nastroju, są w grupie podwyższonego ryzyka samobójstw. Pytania przeglądowe Częste objawy depresji klinicznej obejmują wszystkie poniższe oprócz ________. okresów niezwykłego podniecenia i euforii trudności z koncentracją i podejmowaniem decyzji utraty zainteresowań albo niemożności uzyskania przyjemności z wcześniej lubianych aktywności pobudzenia lub spowolnienia psychomotorycznego A Odsetek samobójstw jest ________ u mężczyzn niż u kobiet, a także ________ w okresie świąt Bożego Narodzenia niż wiosną. wyższy; wyższy niższy; niższy wyższy; niższy niższy; wyższy C Critical Thinking Question Opisz kilka czynników związanych z ryzykiem samobójstwa. Ryzyko samobójstwa jest wysokie u osób z problemami psychicznymi, w tym zaburzeniami nastroju i nadużywających substancji. Jest wysokie również u tych, którzy już mają za sobą próbę samobójczą albo posiadają skuteczne i dostępne środki do odebrania sobie życia. Wyższy odsetek samobójstw notuje się wśród mężczyzn i wiosną. Z badań wynika też, że samobójstwa mogą być „zaraźliwe” (jeśli są nagłośnione i/lub dotyczą znanych osób) i że wiążą się z zaburzeniami stężenia serotoniny. Personal Application Question Pomyśl o jakiejś znajomej osobie, która ma tendencję do negatywnych interpretacji zdarzeń, z samooskarżaniem się. Jak taki sposób myślenia może prowadzić do problemów w przyszłości? Jak można pomóc jej zmienić nastawienie i sposób myślenia? zaburzenia afektywne dwubiegunowe i pochodne (ang. bipolar and related disorders ) grupa zaburzeń nastroju, w której charakterystycznym objawem są występowanie manii i depresji zaburzenie afektywne dwubiegunowe ChAD (ang. bipolar disorder ) zaburzenie nastroju, w którym nastrój chorego oscyluje między depresją i manią zaburzenia depresyjne (ang. depressive disorder ) jedno z zaburzeń nastroju, w którym charakterystycznym objawem jest depresja gonitwa myśli (ang. flight of ideas ) objaw charakterystyczny głównie dla manii, obejmujący raptowną zmianę tematu rozmowy i słowotok model braku nadziei ( model bezradności ) (ang. hopelessness theory ) poznawcza teoria depresji, według której wzorzec myślenia, w którym jednostka postrzega negatywne zdarzenia z życia jako posiadające stałe, globalne i zewnętrzne przyczyny, co prowadzi do poczucia beznadziei, a w następstwie do depresji depresja kliniczna (ang. clinical depression ) zaburzenie charakteryzujące się przemożnym uczuciem smutku i/lub utratą zadowolenia z aktywności, które wcześniej cieszyły oraz innymi objawami mania (ang. mania ) stan niezwykłego podniecenia i euforii epizod maniakalny (ang. manic episode ) okres, w którym jednostka doświadcza manii; charakteryzuje się radosnym, wręcz euforycznym nastrojem, nadmierną gadatliwością, rozdrażnieniem, zwiększonym poziomem aktywności i innymi objawami zaburzenia nastroju (ang. mood disorder ) zaburzenie psychiczne charakteryzujące się poważnymi zaburzeniami nastroju i emocji; kategorie zaburzeń nastroju wymienione w DSM-5 to zaburzenia dwubiegunowe i pochodne oraz zaburzenia depresyjne depresja w okresie połogu ( depresja poporodowa ) (ang. peripartum onset ) podtyp depresji występujący u kobiet; polega na wystąpieniu epizodu klinicznej depresji w okresie ciąży i do czterech tygodni po porodzie rozpamiętywanie ( ruminacje ) (ang. rumination ) obecne w depresji; tendencja do drążenia i ciągłego myślenia o objawach własnej depresji, ich znaczeniu i konsekwencjach depresja sezonowa (ang. seasonal pattern ) wzorzec występowania depresji, w którym jednostka doświadcza objawów klinicznej depresji jedynie w pewnych okresach roku myśli samobójcze (ang. suicidal ideation ) myśli o śmierci samobójczej, myślenie lub planowanie samobójstwa albo próba samobójcza samobójstwo (ang. suicide ) śmierć będąca konsekwencją zamierzonych, szkodliwych działań przeciw własnej osobie dystymia (ang. dysthymia ) zaburzenie depresyjne charakteryzujące się przewlekle złym, melancholijnym nastrojem, bez okresów remisji", "section": "Zaburzenia nastroju", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Schizofrenia Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozpoznać istotę schizofrenii i unikaj błędnego przekonania, że ​​wiąże się ona z rozdwojoną osobowością Sklasyfikować i opisać główne objawy schizofrenii Zrozumieć wzajemne oddziaływanie czynników genetycznych, biologicznych i środowiskowych, które są związane z rozwojem schizofrenii Omówić znaczenie badań dotyczących objawów prodromalnych schizofrenii Schizofrenia (ang. schizophrenia ) jest chorobą psychiczną charakteryzującą się ciężkimi zaburzeniami procesów myślowych, percepcji, emocji i zachowania. W ciągu życia na schizofrenię zapada ok. 0,4–0,6% populacji, przy czym rozpoznanie najczęściej jest ustalane w młodości (między 20. a 35. rokiem życia) (Bhugra, 2005). Większość chorych na schizofrenię ma duże trudności w codziennym funkcjonowaniu: nie potrafi utrzymać pracy, terminowo opłacać rachunków, dbać o siebie pod względem higieny czy utrzymywać relacji z innymi. Częste hospitalizacje są w tej grupie raczej normą niż wyjątkiem. Nawet przy najlepszym możliwym leczeniu wiele osób ze schizofrenią przez całe życie boryka się z poważnymi problemami w pracy i nie odnajduje się w społeczeństwie. Czym jest schizofrenia? Może najpierw – czym NIE jest. To nie jest rozdwojenie jaźni; to także nie to samo, co dysocjacyjne zaburzenie tożsamości (znane lepiej jako osobowość mnoga). Czasem myli się te dwa schorzenia ze względu na nazwę „schizofrenia” ukutą przez szwajcarskiego psychiatrę Eugena Bleulera (1857-1939) w 1911 roku z dwóch starogreckich słów, których znaczenie to „rozszczepienie” (stgr. schizein ) funkcji psychicznych (stgr. phren -) (Green, 2001). Schizofrenię uznaje się za zaburzenie psychotyczne (psychozę), czyli takie, w którym zaburzenia myśli, postrzegania i zachowania powodują trudności w ocenie rzeczywistości i kontakcie z nią, a w konsekwencji niemożność adekwatnego funkcjonowania. Prościej rzecz ujmując, osoba cierpiąca z powodu psychozy jest oderwana od świata, w którym żyje większość z nas. Objawy schizofrenii Do głównych objawów schizofrenii zaliczamy objawy wytwórcze (zwane także pozytywnymi), tj. objawy nadmiarowe, niewystępujące normalnie, takie jak urojenia, halucynacje oraz objawy negatywne (ubytkowe), takie jak rozpad myślenia, pogorszenie lub dezorganizacja aktywności ruchowej, stopniowe wycofanie z dotychczasowych aktywności i relacji, utrata zainteresowań, izolacja, pogorszenie funkcjonowania emocjonalnego (APA, 2013). Halucynacje (ang. hallucinations ) to stan, w którym postrzegamy coś bez udziału rzeczywistego, zewnętrznego bodźca. Najczęstsze są halucynacje słuchowe (słyszenie głosów), które zdarzają się mniej więcej u 2/3 pacjentów ze schizofrenią (Andreasen, 1987). Głosy mogą być znajome lub obce, mogą prowadzić rozmowę lub się kłócić, mogą też na bieżąco komentować to, co robi chory (Tsuang et al., 1999). Rzadsze są halucynacje (omamy) wzrokowe, czyli widzenie rzeczy, których nie ma oraz węchowe, czyli wyczuwanie nieistniejących zapachów. Urojenia (ang. delusions ) to przekonania niezgodne z rzeczywistością, ale podtrzymywane nawet w obliczu przekonujących dowodów na ich fałszywość. Wielu z nas wierzy w rzeczy, które inni uznaliby za dziwaczne, ale urojenia można od takich przekonań odróżnić, gdyż są po prostu absurdalne. Np. Anna cierpiąca na schizofrenię może wierzyć, że jej matka spiskuje z wywiadem i usiłuje niepostrzeżenie wsypać córce do kawy truciznę albo że ich sąsiad jest obcym szpiegiem i próbuje Annę zabić. Takie barwne, rozbudowane, dziwaczne i mało prawdopodobne urojenia nazywamy paranoidalnym (ang. paranoid delusions ). Urojenia mogą też dotyczyć wiary, że ktoś usuwa nam z głowy nasze myśli albo na odwrót – wkłada tam obce myśli. Osoby ze schizofrenią mogą też mieć urojenia wielkościowe (ang. expansive delusion ), czyli wyobrażenia, że posiadają specjalne moce, unikalną wiedzę albo wielką władzę. Urojeniom wielkościowym ulega np. osoba chora, która podaje się za Chrystusa, twierdzi, że ma wiedzę sięgającą 5000 lat wstecz albo że jest wielkim filozofem. Odrębną kategorią są urojenia somatyczne (ang. somatic delusions ), czyli przekonanie, że coś niezwykle dziwnego i nienormalnego dzieje się z ciałem chorego (np. że jego nerki są zjadane przez karaluchy). Zaburzenia struktury i funkcji myślenia (ang. abnormal content of thinking and abnormal process of thinking ) oznaczają niespójność i rozkojarzenie procesów myślowych, możliwe do stwierdzenia na podstawie wypowiedzi chorego. Może to być niespójność wypowiedzi, luźne skojarzenia i skakanie z tematu na temat albo nawet schizofazja (ang. schizophasia ), czyli tzw. „sałatka słowna” – mówienie w sposób tak zdezorganizowany, że wypowiedź wygląda jak przypadkowe połączenie niezwiązanych ze sobą słów. Zaburzenia myślenia mogą się także przejawiać w zupełnie nielogicznych komentarzach (np.: „Pałac Kultury jest w Warszawie; mieszkam w Warszawie, więc mieszkam w Pałacu Kultury”) oraz w gonitwie myśli (znacznym ich przyspieszeniu) i w bezrefleksyjnym podążaniu za tzw. strumieniem świadomości: chory odpowiada na nasze pytania bądź stwierdzenia zdaniami, które prawie albo w ogóle się z naszą wypowiedzią nie łączą. Osoba ze zdiagnozowaną schizofrenią na pytanie, czy byłaby zainteresowana jakimś kursem dokształcającym, może odpowiedzieć np., że kiedyś jechała pociągiem. Dla osoby cierpiącej na schizofrenię wystarczającym łącznikiem między pytaniem a odpowiedzią jest bowiem fakt, że pociągi kursują. Termin pogorszenie lub dezorganizacja aktywności ruchowej (ang. disorganized motor behavior ) odnosi się do nietypowych zachowań lub ruchów: nadzwyczajnej ruchliwości, nieadekwatnych zachowań (chichotania albo śmiania się do samego siebie), powtarzanych, bezcelowych ruchów i gestów albo strojenia dziwnych min. W niektórych przypadkach przejawem dezorganizacji ruchowej mogą być zachowania katatoniczne (ang. catatonic behavior ): osłabione reakcje na otoczenie, sztywność ruchowa lub postawa katatoniczna (zastyganie w dziwacznych pozach na długi czas) albo osłupienie katatoniczne, czyli całkowity brak ruchów i mutyzm (milczenie). Wymienione objawy zmniejszają zdolności do normalnego zachowania, oznaczają osłabienie lub brak pewnych emocji bądź popędów (Green, 2001). W schizofrenii pogorszenie dotyczy poza procesami poznawczymi także procesów afektywnych, wolicjonalnych i behawioralnych (zachowania). Zmiany mogą obejmować emocje – np. brak ekspresji emocjonalnej w sytuacjach, gdy takie wyrażanie emocji jest normalne lub wręcz oczekiwane. Pojawia się także anhedonia (ang. anhedonia ), czyli niezdolność do odczuwania przyjemności. Osoba ujawniająca ten objaw nie interesuje się tym, co większość z nas uznaje za przyjemne – nie ma hobby, nie lubi wypoczywać ani uprawiać seksu. Z kolei awolicja (ang. avolition ) to brak aktywności i motywacji, niechęć do podejmowania jakichkolwiek celowych działań, nawet najbardziej podstawowych, takich jak kąpiel czy czesanie włosów. Alogią (ang. alogia ) określa się zaś znaczne zubożenie mowy. Chorzy mogą odpowiadać na pytania, jednak następuje tak znaczne zubożenie zasobu słów czy treści, że nie dostarcza to żadnych istotnych informacji. Innymi słowy: z wypowiedzi nic nie wynika. Zmiany w zachowaniu obejmują m.in. wycofanie z kontaktów społecznych (ang. asociality ) i brak zainteresowania podtrzymywaniem relacji z innymi ludźmi. Obejrzyj to wideo i spróbuj zidentyfikować pokazane tu klasyczne objawy schizofrenii. Przyczyny schizofrenii Istnieją mocne dowody na genetyczne podłoże schizofrenii. Im bliższy stopień pokrewieństwa z chorym, tym większe ryzyko zachorowania na schizofrenię (Gottesman, 2001). Ryzyko jest niemal 6 razy wyższe, jeśli chorowało jedno z rodziców (Goldstein et al., 2010). Geny W rozważaniach nad znaczeniem genów w schizofrenii wnioski z badań prowadzonych na bliźniętach i członkach rodzin są – podobnie jak w przypadku innych chorób – poddawane krytyce. A to dlatego, że bliscy krewni (np. rodzeństwo) częściej dzielą nie tylko geny, ale również to samo środowisko (w porównaniu z dalszymi kuzynami). Ponadto bliźnięta jednojajowe częściej są identycznie traktowane przez otoczenie niż dwujajowe. Dlatego też w badaniach bliźniąt i rodzin nie da się całkowicie wyeliminować efektów wspólnego środowiska i życiowych doświadczeń. Problem ten mogą ograniczyć badania dzieci adoptowanych, czyli takich, które bardzo wcześnie rozłączono z biologicznymi rodzicami. Jedno z pierwszych tego typu badań było prowadzone przez Leonarda Hestona (1996) przez 36 lat od 1966 roku na próbie 97 adoptowanych dzieci. Biologiczne matki 47 uczestników badania cierpiały na schizofrenię. Pięcioro spośród tej grupy (czyli 11%) także zapadło na schizofrenię. W grupie kontrolnej (matki bez schizofrenii) nie odnotowano ani jednego takiego przypadku. Wnioski z innych badań nad dziećmi adoptowanymi były podobne: biologiczni krewni tych badanych, u których w późniejszym okresie życia rozpoznano schizofrenię, mieli wyższe ryzyko choroby niż ich adopcyjni krewni (Shih et al., 2004). Choć badania nad rodzeństwem adopcyjnym potwierdziły hipotezę o znaczeniu czynników genetycznych w schizofrenii, to wykazały też, że schorzenie najpewniej jest efektem łącznym oddziaływania uwarunkowań genetycznych i czynników środowiskowych. Np. w jednym z badań oceniano odsetek schizofrenii wśród 303 adoptowanych dzieci (Tienari et al., 2004). Wśród nich 145 miało biologiczne matki ze schizofrenią i stanowiło grupę wysokiego ryzyka. Matki pozostałych 158 nie miały historii psychiatrycznej; była to grupa kontrolna niskiego ryzyka. Badaczom udało się też ustalić, czy rodziny adopcyjne były zdrowe, czy też zaburzone. Uznawano, że środowisko adopcyjne jest zaburzone, jeśli w rodzinie było dużo krytycyzmu, konfliktów i brakowało umiejętności rozwiązywania problemów. Okazało się, że adoptowane dzieci biologicznych matek chorujących na schizofrenię (grupa wysokiego ryzyka) wychowywane w zaburzonym środowisku rodziny adopcyjnej o wiele częściej (36,8%) zapadały na schizofrenię i inne psychozy niż dzieci obciążone równie wysokim ryzykiem genetycznym, ale wychowywane w zdrowym środowisku adopcyjnym (5,8%) oraz te z grupy niskiego ryzyka genetycznego, zarówno wychowywane w zaburzonym (5,3%), jak i zdrowym (4,8%) środowisku adopcyjnym. Obserwacja, że ryzyko rozwoju schizofrenii było wysokie tylko u adoptowanych z grupy wysokiego ryzyka, którzy byli wychowywani w zaburzonej rodzinie adopcyjnej, wspiera hipotezę podatność–stres: zarówno genetyczna podatność, jak i stres środowiskowy są niezbędne, by choroba się rozwinęła. Same geny nie determinują całkowicie zapadalności na chorobę. Neuroprzekaźniki Jeśli zaakceptujemy fakt, że schizofrenia przynajmniej częściowo ma podłoże genetyczne, logiczny wydaje się kolejny krok, jakim jest znalezienie częstych u chorych nieprawidłowości biologicznych. Wykryto szereg czynników neurobiologicznych powiązanych ze schizofrenią. Jednym z tych czynników, który na lata skupił uwagę naukowców, jest dopamina (ang. dopamine ). Zainteresowanie jej rolą w schizofrenii nasilały dwa odkrycia: po pierwsze, że leki zwiększające stężenie dopaminy mogą wywoływać objawy podobne do schizofrenii, a po drugie, że leki blokujące aktywność dopaminy łagodzą objawy choroby (Howes i Kapur, 2009). Hipoteza dopaminowa (ang. dopamine hypothesis ) zakłada, że za pojawienie się schizofrenii i jej trwanie odpowiada nadmiar tego neuroprzekaźnika lub nadmiar jego receptorów (Snyder, 1976). Nowsze prace sugerują, że aktywność dopaminy może być różna w różnych rejonach mózgu, a co za tym idzie, w różny sposób wpływać na objawy. Badania te sugerują na ogół, że za takie objawy jak halucynacje i urojenia odpowiada nadmiar dopaminy w układzie limbicznym, a za objawy negatywne – niskie stężenie tego neuroprzekaźnika w korze przedczołowej (ang. prefrontal cortex ) (Davis et al., 1991). Ostatnimi czasy więcej uwagi poświęca się także serotoninie (ang. serotonin ), a nowe leki przeciwpsychotyczne działają właśnie poprzez blokowanie receptorów dla tego neuroprzekaźnika (Baumeister i Hawkins, 2004). Anatomia mózgu Badania obrazowe mózgu wskazują, że osoby ze schizofrenią mają poszerzone komory mózgowe (ang. cerebral ventricles ) – wewnątrzmózgowe przestrzenie wypełnione płynem mózgowo-rdzeniowym (Green, 2001). To ważne odkrycie, bo nieprawidłowo poszerzone komory są powiązane z redukcją innych obszarów w mózgu. Poszerzony układ komorowy w schizofrenii nie odzwierciedla w prosty sposób rozsianego zaniku tkanki mózgowej. To raczej zmienione chorobowo przylegające regiony wywierają taki wpływ na komory (Dziwota et al., 2015) Badania mózgu dotyczące osób z grupy wysokiego ryzyka rozwoju psychozy dowiodły, że osoby te miały zmniejszone struktury hipokampa po prawej stronie. Hipokamp bierze udział w procesach pamięciowych i związanych z uwagą. Jest to spójne z deficytami poznawczymi występującymi u osób ze schizofrenią, tj. zaburzeniami pamięci sensorycznej (semantycznej i epizodycznej) oraz operacyjnej, deficytami uwagi oraz zmniejszeniem szybkości przetwarzania informacji (Dziwota et al., 2015). Zmiany neuroanatomiczne obejmują także zmniejszenie objętości zakrętów skroniowych, z których środkowy i dolny odpowiadają za niektóre funkcje poznawcze, np. język, pamięć semantyczną, percepcję wzrokową, multimodalną integrację sensoryczną. Z kolei zakręt skroniowy górny mieści pierwszo- i drugorzędową korę słuchową. Zaburzenia w tym obszarze, a także w zakręcie skroniowym środkowym mogą wywoływać halucynacje słuchowe (Dziwota et al., 2015). Wykazano także zmniejszenie gęstości kory w obszarze czołowo-skroniowym, w częściach kory wzrokowej oraz w połączeniu ciemieniowo-potylicznym. Ponadto odnotowano niższą aktywność płatów czołowych podczas procesów poznawczych (Buchsbaum et al., 1990). Płaty czołowe odgrywają ważną rolę w szeregu złożonych funkcji poznawczych, takich jak planowanie i wykonanie zadań, uwaga, mowa, ruchy celowe i rozwiązywanie problemów. Nieprawidłowości w tym obszarze pozwalają wyjaśnić, dlaczego osoby ze schizofrenią mają trudności z tego typu złożonymi zadaniami. Zmniejszenie obszarów skroniowych mózgu może z kolei wyjaśniać m.in. zaburzenia percepcji słuchowej, zaburzenia wybiórczej uwagi na bodźce słuchowe i wzrokowe, upośledzenie porządkowania i kategoryzacji informacji werbalnych (Walocha et al., 2003). Redukcja objętości kory wzrokowej oraz połączenia ciemieniowo-potylicznego może być z kolei powiązana z halucynacjami wzrokowymi, tj. nieprawidłowym odbiorem bodźców wzrokowych oraz nieprawidłowościami na drodze ich odbioru i interpretacji (Bochenek i Reicher, 2014). U osób chorych na schizofrenię odnotowuje się także zmniejszenie ogólnej objętości móżdżku, biorącego udział w procesach poznawczych i regulacji emocjonalnej (Dziwota et al., 2015). Powikłania w okresie ciąży Dlaczego u osób ze schizofrenią pojawiają się nieprawidłowości w budowie i czynności mózgu? Winne mogą być czynniki środowiskowe wpływające na rozwój tego narządu. U znacznego odsetka dzieci, u których w późniejszym okresie życia rozpoznawano chorobę, stwierdzano powikłania okołoporodowe (Cannon et al., 2002). Dodatkowym czynnikiem podwyższającym ryzyko było narażenie matki na wirus grypy w pierwszym trymestrze (Brown et al., 2004). Z badań wynika również, że na to ryzyko ma wpływ wysoki poziom stresu u matki podczas ciąży. W jednej z prac opisano np. znaczące podwyższenie ryzyka u dzieci, których matki w pierwszym trymestrze straciły kogoś bliskiego (Khashan et al., 2008). Silnie stresujące przeżycia ciężarnej wpływają na rozwój mózgu płodu, powodując szereg niekorzystnych zmian (hamowanie neurogenezy, atrofię neuronów hipokampu i kory przedczołowej, przerost jąder migdałowatych, zaburzenia w synapsach, zaburzenia plastyczności mózgu i inne). Czy to oznacza, że każdy stres w okresie ciąży grozi rozwojem schizofrenii u dziecka? Absolutnie nie. Schizofrenia jest rzadkim zaburzeniem psychicznym (częstość występowania w populacji ogólnej wynosi 0,4–0,6%) (Bhugra, 2005). Stres matek w ciąży podwyższa ryzyko u osób z podatnością biologiczną (nieprawidłowości anatomiczne i funkcjonalne mózgu), ale nie warunkuje samej choroby. Marihuana Inną zmienną powiązaną ze schizofrenią jest palenie marihuany a konkretniej wpływ THC (tetrahydrokannabinoli). Istnieje szereg doniesień, według których osoby ze schizofrenią częściej używają tego narkotyku niż zdrowi (Thornicroft, 1990), jednak badania te nie pozwalają określić, czy to palenie marihuany prowadzi do choroby, czy też raczej jest na odwrót. Istnieją długookresowe badania sugerujące, że jednak to używanie marihuany stanowi czynnik ryzyka rozwoju schizofrenii, a nie odwrotnie. Klasyczna praca obejmująca ponad 45 tys. szwedzkich poborowych ponownie przebadanych po 15 latach wykazała, że ci, którzy podczas poboru przyznali się, że przynajmniej raz zapalili jointa, ponad dwukrotnie częściej zapadali na schizofrenię w tym okresie niż ci, którzy twierdzili, że nigdy nie palili. Co więcej, u tych, którzy używali marihuany ponad 50 razy, ryzyko było sześciokrotnie wyższe niż u „ziołowych abstynentów” (Andréasson et al., 1987). Nowsza metaanaliza 35 badań podłużnych wykazała, że ryzyko schizofrenii i innych psychoz jest znacząco wyższe u osób używających marihuanę i jest to zależność wprost proporcjonalna do ilości zażytego narkotyku (Moore et al., 2007). W innym badaniu używanie marihuany powiązano z wcześniejszym pojawianiem się zaburzeń psychotycznych (Large et al., 2011). Podsumowując, dostępne dowody wydają się wskazywać, że używanie marihuany jest czynnikiem sprawczym w rozwoju schizofrenii, choć trzeba podkreślić, że nie jest to ani czynnik niezbędny, ani wystarczający do rozwoju choroby, gdyż nie wszyscy chorzy na schizofrenię używają THC, a większość amatorów marihuany nie ma schizofrenii (Casadio et al., 2011). Ciekawym wyjaśnieniem powyższych danych wydaje się teoria, że używanie tego narkotyku w młodym wieku może zaburzać prawidłowy rozwój mózgu na wczesnych, istotnych etapach jego dojrzewania (u nastolatków) (Trezza et al., 2008). Takie zaburzenia mogą zaś ułatwiać rozwój schizofrenii i innych psychoz, szczególnie u osób z udowodnioną podatnością biologiczną (Casadio et al., 2011). Schizofrenia: objawy prodromalne Wczesne wykrywanie i leczenie takich schorzeń jak choroba wieńcowa czy nowotwory znacząco poprawiło statystyki przeżywalności i jakość życia. Podobne podejście pojawia się również w chorobach psychicznych. Chodzi o rozpoznawanie i monitorowanie stanu psychicznego osób, u których występują nieznaczne objawy psychotyczne, określane mianem prodromalnych, takie jak niezwykły tok myślenia, paranoja, dziwaczne komunikowanie się, urojenia, kłopoty w szkole i narastające problemy w życiu społecznym. Celem jest określenie, u których z tych osób rozwiną się zaburzenia psychotyczne i jakie czynniki najlepiej pozwalają to przewidzieć. Zidentyfikowano szereg takich predyktorów: podatność genetyczna (historia psychoz w rodzinie), gwałtowne narastanie problemów z codziennym funkcjonowaniem, często pojawiający się niezwykły tok myślenia, wysoki poziom podejrzliwości trącący paranoją, kiepskie relacje społeczne i nadużywanie w przeszłości różnych substancji (Fusar-Poli et al., 2013). Żeby ustalić, kto jest w grupie najwyższego ryzyka rozwoju schizofrenii, a zatem kogo powinny przede wszystkim obejmować wczesne działania prewencyjne, niezbędne są dalsze badania. Podsumowanie Schizofrenia to ciężka choroba, charakteryzująca się zupełnym rozpadem zdolności jednostki do funkcjonowania w życiu i wymagająca częstych hospitalizacji. Osoby ze schizofrenią doświadczają urojeń i halucynacji, mają też ogromne trudności w panowaniu nad emocjami i własnym zachowaniem. Myślą niespójnie i w sposób zdezorganizowany, zachowują się dziwacznie, ich emocje są spłycone i nie mają motywacji do zaangażowania nawet w najbardziej podstawowe aktywności. Jest wiele dowodów na to, że decydującą rolę w schizofrenii odgrywają czynniki genetyczne; badania rodzin adopcyjnych wykazały jednak, że istotne jest również szeroko rozumiane środowisko, w tym nieprawidłowości w budowie mózgu i stężeniu neuroprzekaźników, będące być może skutkiem powikłań okołoporodowych lub narażenia ciężarnej w pierwszym trymestrze na wirus grypy (środowisko prenatalne). Obiecującym obszarem badawczym jest identyfikacja osób, u których występują tzw. objawy prodromalne i ich monitorowanie, by odkryć, jakie objawy pozwalają najlepiej przewidzieć wystąpienie choroby. Dalsze prace pozwolą być może wychwycić osoby należące do grup najwyższego ryzyka rozwoju schizofrenii i zaproponowanie im leczenia na jak najwcześniejszym etapie. Pytania sprawdzające Clifford wierzy (choć nie było na to żadnych dowodów), że policja zainstalowała w jego mieszkaniu ukryte kamery, żeby kontrolować każdy jego ruch. Przekonanie Clifforda jest przykładem ________. urojenia halucynacji gonitwy myśli objawów negatywnych A Badanie adoptowanych dzieci, których biologiczne matki miały schizofrenię, wykazało, że takie dzieci były najbardziej narażone na rozwój choroby, ________. jeśli ich przyjaciele z dzieciństwa zapadli na schizofrenię jeśli w młodości nadużywały narkotyków jeśli były wychowane w nieprawidłowym środowisku adopcyjnym niezależnie od tego, czy ich środowisko rodzinne było prawidłowe, czy też zaburzone C Critical Thinking Question Dlaczego tak ważne są badania z udziałem osób, które wykazują prodromalne objawy schizofrenii? Takie badania pozwalają naukowcom zidentyfikować potencjalne objawy, które poprzedzają pojawienie się choroby. Gdy to się uda, można będzie opracować odpowiednie techniki leczenia na jak najwcześniejszym etapie. objawy katatoniczne (ang. catatonic behavior ) zmniejszona reaktywność na otoczenie; obejmuje postawę katatoniczną i osłupienie katatoniczne (stupor) urojenie (ang. delusion ) mocno ugruntowane przekonanie sprzeczne z rzeczywistością i podtrzymywane mimo dowodów na jego nieprawdziwość dezorganizacja aktywności ruchowej (ang. disorganized motor behavior) niezwykłe zachowania i wzorce ruchowe (np. imitujące zachowania małego dziecka); obejmują ruchy repetytywne i bezcelowe, dziwaczną mimikę i gestykulację zaburzenia myślenia (ang. disorganized thinking ) sytuacja, w której procesy myślowe stają się niespójne i niekonsekwentne; zwykle rozpoznaje się ją po dezorganizacji wypowiedzi hipoteza dopaminowa (ang. dopamine hypothesis ) teoria schizofrenii, w myśl której za pojawienie się i podtrzymywanie objawów schizofrenii odpowiada nadmiar dopaminy lub jej receptorów urojenia wielkościowe (ang. grandiose delusion ) wiara jednostki w to, że posiada specjalną władzę, unikalną wiedzę albo że jest niezmiernie ważna halucynacje (ang. hallucination) doświadczenia zmysłowe pod nieobecność zewnętrznego bodźca; np. halucynacje słuchowe (słyszenie głosów) są częste w schizofrenii objaw negatywny (ang. negative symptom ) osłabienie lub nieobecność pewnych prawidłowych zachowań, emocji lub popędów; objawem negatywnym może być np. twarz bez wyrazu, brak motywacji do działania, małomówność, wycofanie socjalne czy niezdolność do odczuwania przyjemności urojenia paranoidalne (ang. paranoid delusions) wiara w to, że inni ludzie próbują nas skrzywdzić objaw prodromalny (ang. prodromal symptom ) w schizofrenii jeden z wczesnych, pomniejszych objawów psychozy schizofrenia (ang. schizophrenia ) ciężka choroba, w której występują ciężkie zaburzenia procesów myślowych, postrzegania świata, emocji i zachowań; wśród objawów są halucynacje, urojenia, dezorganizacja myślenia i zachowań oraz objawy negatywne urojenia somatyczne (ang. somatic delusion) wiara w to, że z ciałem lub narządami wewnętrznymi jednostki dzieje się coś niezwykłego komora mózgowa (ang. ventricle ) zbiór czterech przestrzeni wewnątrz mózgu, w których wytwarzany jest płyn mózgowo-rdzeniowy i z których następnie wydostaje się on do przestrzeni podpajęczynówkowej, gdzie krąży, otaczając cały ośrodkowy układ nerwowy", "section": "Schizofrenia", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zaburzenia dysocjacyjne Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać istotę zaburzeń dysocjacyjnych Zidentyfikować i rozróżnić objawy amnezji dysocjacyjnej, zaburzenia depersonalizacji/derealizacji i dysocjacyjnego zaburzenia tożsamości Omówić potencjalną rolę czynników społecznych i psychologicznych w dysocjacyjnym zaburzeniu tożsamości Zaburzenia dysocjacyjne (ang. dissociative disorders ) to takie, w których chory traci swoje rdzenne poczucie tożsamości. Zaburzeniu ulega pamięć i identyfikacja samego siebie w kontekście historii swojego życia, choć podłoże jest bardziej psychogenne niż fizjologiczne. W DSM-5 w grupie tych zaburzeń uwzględniono amnezję dysocjacyjną, zespół depersonalizacji (derealizacji) oraz zaburzenie dysocjacyjne tożsamości (zwane dawniej „osobowością mnogą” lub „wieloraką”). Amnezja dysocjacyjna Amnezja, czyli niepamięć, oznacza częściowe lub całkowite zapomnienie pewnych zdarzeń albo doświadczeń. Osoba z amnezją dysocjacyjną ( psychogenna ) (ang. dissociative amnesia ) nie może przypomnieć sobie ważnych informacji osobistych, zwykle w konsekwencji niezwykle stresujących lub traumatycznych doświadczeń (walki, katastrofy, ciężkiego pobicia itp.). Kłopoty z pamięcią nie polegają jednak na prostym zapominaniu. W badaniu obejmującym mieszkańców jednej ze społeczności stanu Nowy Jork stwierdzono, że ok. 1,8% z nich doświadczyło w poprzednim roku amnezji dysocjacyjnej (Johnson et al., 2006). Niektórzy chorzy doświadczają też tzw. fugi dysocjacyjnej (ang. dissociative fugue ) (po łacinie fuga to m.in. ucieczka), co oznacza, że z dnia na dzień opuszczają swój dom, rodzinę, pracę, bliskich i wyjeżdżają, przy czym w trakcie fugi nie pamiętają swojego poprzedniego życia, a czasem nawet przybierają nową tożsamość (Cardeña i Gleaves, 2006). Większość epizodów fugi trwa zaledwie kilka godzin lub dni, ale bywają i dłuższe. Niektórzy (Pope et al., 1998) kwestionują istnienie amnezji dysocjacyjnej, nazywając ją „częścią psychiatrycznego folkloru, pozbawioną przekonującego, naukowego wsparcia” (McNally, 2003, s. 275). Warto zauważyć, że fala publikacji dotyczących tego tematu gwałtownie rosła w latach 80. XX wieku, by osiągnąć szczyt w połowie lat 90., a następnie równie spektakularnie opadła; w 2003 roku w literaturze opisano zaledwie 13 osób z tym zaburzeniem (Pope et al., 2006). Co więcej, brak jakichkolwiek wzmianek o tej chorobie przed rokiem 1800 (Pope et al., 2006). Jednakże w badaniu 82 osób, które zgłosiły się na leczenie ambulatoryjne do kliniki psychiatrycznej, stwierdzono, że niemal 10% spełnia kryteria rozpoznania amnezji dysocjacyjnej, co może świadczyć o tym, że choroba ta jest niedodiagnozowana, szczególnie w populacjach osób z innymi zaburzeniami psychicznymi (Foote et al., 2006). Zespół depersonalizacji i derealizacji Zespół depersonalizacji i derealizacji (ang. depersonalization/derealization disorder ) charakteryzuje się nawracającymi epizodami depersonalizacji lub derealizacji (epizody te mogą występować łącznie). Pierwsze z zaburzeń określamy jako poczucie „nierealności, oderwania lub obcości pewnych aspektów własnej osoby” (APA, 2013). Osoby doświadczające depersonalizacji (ang. depersonalization ) wierzą np., że pewne myśli lub uczucia nie są tak naprawdę ich myślami i uczuciami; mogą czuć się jak roboty, tak jakby utraciły kontrolę nad ruchami własnego ciała czy mową; mogą też mieć zaburzone poczucie czasu, a w szczególnie ciężkich przypadkach doświadczać uczucia bycia poza ciałem i oglądania go z perspektywy innej osoby. Derealizacja (ang. derealisation ) jest z kolei utożsamiana z poczuciem „nierealności świata, jego obcości lub oderwania osoby od niego, niezależnie, czy chodzi o innych ludzi, przedmioty czy też całe otoczenie” (APA, 2013). Osoba doświadczająca derealizacji czuje się jak we mgle albo we śnie; może postrzegać otoczenie jako w pewien sposób sztuczne i nierzeczywiste. Osoby cierpiące na zespół depersonalizacji i derealizacji często mają trudności z opisaniem doświadczanych objawów i czują, jakby odchodziły od zmysłów, wariowały (APA, 2013). Dysocjacyjne zaburzenie tożsamości Spośród zaburzeń dysocjacyjnych z pewnością najlepiej znanym jest dysocjacyjne zaburzenie tożsamości (ang. (dissociative identity disorder (DID) ) (nazywane wcześniej „osobowością mnogą” lub „osobowością wieloraką”). Ludzie z tym zaburzeniem mają przynajmniej dwie odrębne i różniące się od siebie osobowości. Doświadczają też luk w pamięci, obejmujących okresy, w których do głosu dochodziła inna osobowość (mogą np. znajdować w torbie z zakupami przedmioty, których wcześniej nie widzieli i nie pamiętają, żeby je kupowali), a w niektórych przypadkach słyszą głosy (np. wołanie dziecka albo czyjś płacz) (APA, 2013). Wspomniane wyżej badanie mieszkańców stanu Nowy Jork (Johnson et al., 2006) wykazało, że 1,5% badanej próby doświadczyło w poprzednim roku objawów wskazujących na istnienie dysocjacyjnego zaburzenia tożsamości. Samo schorzenie budzi wiele kontrowersji. Niektórzy uważają, że ludzie symulują jego objawy, by uniknąć konsekwencji swoich nielegalnych zachowań (np. „Nie odpowiadam za kradzież w sklepie; to zrobiła moja druga osobowość”). Wykazano zresztą, że ludzie na ogół potrafią dobrze udawać kogoś o innej osobowości, jeśli uważają, że przyniesie im to jakąś korzyść. Przykładem może być osławiony seryjny zabójca, Kenneth Bianchi, który pod koniec lat 70. razem ze swoim kuzynem zamordował w okolicach Los Angeles kilkanaście kobiet. Gdy w końcu ich złapano, na procesie Bianchi utrzymywał, że jest niewinny i nie może odpowiadać za swoje czyny z powodu niepoczytalności. Twierdził, że cierpi na osobowość wieloraką i że morderstw dokonała jego druga osobowość („Steve Walker”). Dowody przeanalizowano i w końcu zabójca przyznał się do symulacji. Został uznany winnym i skazany (Schwartz, 1981). Drugim powodem, dla którego dysocjacyjne zaburzenie tożsamości wzbudza kontrowersje, jest fakt, że liczba rozpoznanych przypadków zaczęła nagle dynamicznie wzrastać w latach 80. Od 1981 do 1986 roku zidentyfikowano więcej przypadków osobowości mnogiej niż w poprzednich dwóch stuleciach (Putnam et al., 1986). Wzrost mógł być efektem bardziej zaawansowanych technik diagnostycznych. Ale możliwe jest również, że klinicyści przeszacowywali rozpoznawanie tego schorzenia z powodu jego popularyzacji dzięki książce (a później serialowi) z lat 70. o kobiecie z 16 różnymi osobowościami, pt. Sybil (Piper i Merskey, 2004). Istnienie osobowości mnogiej podważa też niedawna sugestia, że sama historia Sybil była w większości zmyślona, a pomysł na książkę w dużym stopniu nadinterpretował i koloryzował to zaburzenie (Nathan, 2011). Mimo kontrowersji, dysocjacyjne zaburzenie tożsamości pozostaje z pewnością rzeczywistym i poważnym zaburzeniem, a choć niektórzy mogą udawać objawy, to są osoby cierpiące na tę chorobę naprawdę i rujnuje im ona życie. Osoby z tym rozpoznaniem najczęściej wspominają, że w dzieciństwie przeżyły jakąś traumę, co w części przypadków potwierdzają akta prawne lub medyczne (Cardeña i Gleaves, 2006). W jednym z badań (Ross et al. 1990) sugeruje się nawet, że ok. 95% cierpiących na dysocjacyjne zaburzenie tożsamości było w dzieciństwie molestowanych fizycznie lub seksualnie. Oczywiście nie wszystkie opowieści o wykorzystywaniu w dzieciństwie można uznać za potwierdzone i precyzyjne, istnieją jednak niezbite dowody, że traumatyczne doświadczenia mogą wywołać u ludzi stany psychologicznej dysocjacji (w tym przyjmowania różnych osobowości), które są mechanizmem radzenia sobie z zagrożeniem i niebezpieczeństwem (Dalenberg et al., 2012). Podsumowanie Podstawową cechą zaburzeń dysocjacyjnych jest fakt oderwania człowieka od jego rdzennego poczucia tożsamości, co skutkuje zaburzeniami pamięci i poczucia własnego ja . W DSM-5 w grupie tych zaburzeń uwzględniono amnezję dysocjacyjną, zespół depersonalizacji/derealizacji oraz zaburzenie dysocjacyjne tożsamości (zwane dawniej osobowością mnogą lub wieloraką). Osoba z amnezją dysocjacyjną nie potrafi przypomnieć sobie istotnych informacji o sobie, często w następstwie stresującego lub traumatycznego doświadczenia. Zespół depersonalizacji/derealizacji charakteryzuje się nawracającymi epizodami depersonalizacji (czyli oderwania lub poczucia obcości własnego ja ) i/lub derealizacji (czyli poczucia obcości lub oderwania osoby od rzeczywistości). Osoba z dysocjacyjnym zaburzeniem tożsamości przejawia naprzemiennie dwie lub więcej różniących się od siebie i dobrze określonych osobowości (tożsamości) oraz luki pamięciowe obejmujące okresy, w których do głosu dochodzi inna osobowość. Dysocjacyjne zaburzenie tożsamości budzi wiele kontrowersji, gdyż wielu uważa, że objawy tej choroby można z powodzeniem symulować, jeśli pomaga to uniknąć negatywnych konsekwencji własnych zachowań albo odpowiedzialności za popełnione czyny. Liczba zdiagnozowanych przypadków drastycznie wzrosła po spopularyzowaniu schorzenia w kulturze masowej. Wiele osób jednak naprawdę przez całe życie cierpi z powodu tej choroby. Pytania sprawdzające Amnezja dysocjacyjna obejmuje ________. utratę pamięci po urazie głowy utratę pamięci własnej tożsamości z powodu silnego stresu poczucie utraty kontaktu z własnym Ja poczucie utraty kontaktu ze światem B Zaburzenie dysocjacyjne tożsamości obejmuje głównie ________. depersonalizację derealizację schizofrenię osobowości mnogie D Critical Thinking Question Częstość występowania większości schorzeń psychiatrycznych wzrasta od lat 80. Jednakże, co omawialiśmy w tym podrozdziale, najwięcej publikacji naukowych nt. amnezji dysocjacyjnej odnotowano w połowie lat 90., a następnie ich liczba bardzo szybko spadała aż do 2003 roku. Co więcej, brak jakichkolwiek wzmianek o tej chorobie i jej związku z traumą przed rokiem 1800. Jak można wyjaśnić to zjawisko? Możliwych jest kilka wyjaśnień. Pierwsze mówi, że zainteresowanie badaczy tym tematem jest niewielkie, ponieważ wciąż czeka on na uznanie w środowisku naukowym. Drugie mówi, że być może amnezja dysocjacyjna była modna w okresie, gdy liczba prac na jej temat bardzo wzrosła (lata 90.), a później zainteresowanie spadło, a wraz z nim liczba badań. Trzeci powód to tzw. „Publication bias”, czyli dopuszczanie do publikacji jedynie bardzo dobrze udokumentowanych tekstów naukowych. Personal Application Question Znajdź przykład (możesz użyć wyszukiwarki) jakiegoś przestępstwa, którego sprawca po schwytaniu twierdził, że ma osobowość mnogą. Jaki był wynik procesu? Czy udowodniono, że sprawca symulował? Jeśli tak, to w jaki sposób? zespół depersonalizacji i derealizacji (ang. depersonalization/derealization disorder ) zaburzenie dysocjacyjne, w którym chory ma poczucie oddzielenia od własnej osoby (depersonalizacja), a świat wokół wydaje się sztuczny, nierealny (derealizacja). Charakteryzuje się występowaniem uporczywego i nawracającego poczucia oddzielenia i obcości wobec siebie, własnego ciała i/lub otaczającego świata. Towarzyszy mu poczucie jakościowej zmiany przeżywania, nierealności, odległości lub zautomatyzowania amnezja dysocjacyjna (amnezja psychogenna) (ang. dissociative amnesia ) zaburzenie dysocjacyjne charakteryzujące się niemożnością przypomnienia sobie istotnych informacji z życia osobistego; zwykle pojawia się w następstwie niezwykle stresujących, traumatycznych wydarzeń zaburzenia dysocjacyjne (ang. dissociative disorders ) grupa zaburzeń wymienionych w DSM-5, w których główną cechą jest oderwanie osoby od jej własnego ja ; konsekwencją są zaburzenia tożsamości i pamięci fuga dysocjacyjna (ang. dissociative fugue ) objaw amnezji dysocjacyjnej; osoba nagle porzuca dotychczasowe życie, dom, rodzinę oraz traci własną tożsamość (nie wie, kim jest) zaburzenie dysocjacyjne tożsamości (ang. dissociative identity disorder) zaburzenie dysocjacyjne znane wcześniej pod nazwą „osobowości mnogiej”; charakterystyczną cechą jest występowanie u jednej osoby dwóch lub więcej dobrze określonych osobowości, a chory (a raczej każda z jego osobowości) doświadcza luk w pamięci obejmujących czas, gdy świadomość przejmuje inna z nich", "section": "Zaburzenia dysocjacyjne", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zaburzenia występujące u dzieci Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać naturę i objawy zespołu deficytu uwagi/nadpobudliwości oraz zaburzeń ze spektrum autyzmu Omówić częstość występowania i czynniki przyczyniające się do rozwoju tych zaburzeń Większość chorób, które omawialiśmy do tej pory, na ogół rozpoznaje się w dorosłym życiu, choć czasem pojawiają się także u dzieci. Istnieje jednak grupa chorób, które diagnozowane są głównie we wczesnym dzieciństwie, często zanim jeszcze dziecko pójdzie do szkoły. Takie zaburzenia wymienione są w DSM-5 w dziale zaburzenia neurorozwojowe (ang. neurodevelopmental disorders ). Obejmują problemy rozwojowe związane z życiem osobistym, społecznym i intelektualnym oraz edukacją (APA, 2013). W tym podrozdziale omówimy dwa z nich: ADHD (zespół nadpobudliwości psychoruchowej z deficytem uwagi) i autyzm. Zespół nadpobudliwości psychoruchowej z deficytem uwagi Daniel jest zawsze w ruchu, od chwili, gdy otwiera oczy, po moment, gdy wieczorem zasypia. Jego matka opowiada, że już przy porodzie wydzierał się i kopał; i do tej pory mu nie przeszło. Ma miłe usposobienie, ale wciąż wchodzi w konflikty z nauczycielami, rodzicami i wychowawcami w świetlicy. Ciągle coś niechcący tłucze albo rozbija; ostatniej zimy trzy razy zgubił kurtkę, i wydaje się, że nawet przez chwilę nie potrafi usiedzieć spokojnie. Jego nauczyciele sądzą, że jest bystry, ale nigdy nie kończy tego, co zaczął, i jest tak impulsywny, że w szkole raczej niczego nie potrafi się nauczyć. Daniel prawdopodobnie cierpi na zespół nadpobudliwości psychoruchowej z deficytem uwagi (ang. attention deficit hyperactivity disorder (ADHD) ). Objawy tego schorzenia jako pierwszy opisał Hans Hoffman jeszcze w latach 20. XX wieku. Opiekując się starszym synem podczas pobytu swojej żony w szpitalu, Hoffman zauważył, że chłopiec ma trudności w skupieniu się na pracy domowej, krótki czas koncentracji i musi wielokrotnie powtarzać łatwe ćwiczenia, żeby opanować materiał (Jellinek i Herzog, 1999). Później odkryto, że wiele nadpobudliwych dzieci (tych, które ciągle biegają i nie mogą usiedzieć w miejscu, źle funkcjonują wśród kolegów i koleżanek i nie potrafią kontrolować swoich impulsów) nie potrafi koncentrować się na dłużej i łatwo się rozprasza. W latach 70. stało się jasne, że wiele dzieci mających problemy ze skupieniem uwagi jest też nadaktywnych. Te dane wzięto pod uwagę w opublikowanym w 1980 roku DSM-3, gdzie uwzględniono nowe zaburzenie i nazwano je „zespołem zaburzeń uwagi z nadpobudliwością lub bez niej”; dziś znamy je jako zespół nadpobudliwości psychoruchowej z deficytem uwagi. Dziecko z ADHD nie potrafi się skupić, a przy tym może wykazywać nadaktywność i zachowania impulsywne, które utrudniają codzienne funkcjonowanie (APA, 2013). Przejawami braku możliwości skupienia uwagi mogą być: ogromne trudności w wykonywaniu zadań wymagających długotrwałej koncentracji (jak rozmowa czy czytanie) i unikanie ich; niestosowanie się do poleceń (co często sprawia, że takie dziecko nie odrabia prac domowych i nie pomaga w domu), zdezorganizowanie aktywności (niezdolność do utrzymania porządku, kiepskie zarządzanie czasem, niechlujnie i nieporządnie wykonywane zadania), nieumiejętność skupienia się na szczegółach, łatwe rozpraszanie się i zapominalstwo. Nadaktywność to bycie w ciągłym ruchu, kręcenie się i wiercenie, niemożność usiedzenia w miejscu, gdy jest to wymagane (np. w trakcie lekcji albo w restauracji), bieganie dookoła i wspinanie się na różne rzeczy, wyrywanie się z odpowiedzią, zanim jeszcze druga osoba zdąży skończyć pytanie lub zdanie, trudności w poczekaniu na swoją kolej, przerywanie i przeszkadzanie innym. Nadaktywne dziecko często jest postrzegane jako hałaśliwe i rozbiegane. Jego zachowanie cechuje ciągły pośpiech, impulsywność, brak namysłu i zdolności przewidywania. Te cechy mogą wyjaśniać, dlaczego młodzież i młodzi dorośli z rozpoznaniem ADHD dostają więcej mandatów i mają więcej wypadków niż ich rówieśnicy (Thompson et al., 2007). ADHD dotyka ok. 5% dzieci (APA, 2013). Diagnozuje się je blisko trzykrotnie częściej u chłopców niż u dziewcząt, ale może to wynikać z faktu, że chłopcy w większym stopniu wykazują zachowania agresywne i antyspołeczne, częściej trafiają więc do poradni psychologicznych (Barkley, 2006). Dzieci z ADHD muszą się mierzyć z wielkimi wyzwaniami edukacyjnymi. W porównaniu ze zdrowymi rówieśnikami mają gorsze oceny na egzaminach i częściej są wyrzucane ze szkół, powtarzają klasę albo odpadają na studiach (Loe i Feldman, 2007). Są też na ogół mniej lubiane i częściej odrzucane przez kolegów (Hoza et al., 2005). Kiedyś sądzono, że ADHD zanika w miarę dorastania. Długookresowe badania wykazały jednak, że to problem przewlekły, który może utrzymywać się także u młodzieży i dorosłych (Barkley et al., 2002). W jednym z badań stwierdzono, że objawy utrzymywały się u 29,3% dorosłych, u których w dzieciństwie rozpoznano ADHD (Barbaresi et al., 2013). Co niepokojące, w badaniu dowiedziono, że u niemal 81% osób z utrzymującym się ADHD w wieku dorosłym zdiagnozowano przynajmniej jedno współistniejące zaburzenie psychiczne w dorosłości, podczas gdy u tych, u których objawy ADHD zanikły wraz z wiekiem, inną chorobę stwierdzono u 47%. Życiowe problemy wynikające z ADHD Przyszłość dzieci z ADHD wygląda znacząco trudniej niż u dzieci bez takiej diagnozy. W jednym z badań odszukano po latach 135 dorosłych, u których w latach 70. stwierdzono objawy ADHD. Przeprowadzono z nimi wywiady (Klein et al., 2012) i porównano z kontrolną grupą 136 dorosłych bez ADHD. Ci z rozpoznanym w dzieciństwie zaburzeniem: mieli gorsze wyniki w nauce (częściej nie kończyli szkoły średniej i rzadziej uzyskiwali licencjat), mieli gorszy status społeczno-ekonomiczny, zajmowali niższe stanowiska, częściej bywali bezrobotni, mieli znacząco niższe dochody, gorzej wypadali w testach funkcjonowania zawodowego (wskazując np. na mniejszą satysfakcję z pracy, gorsze relacje ze współpracownikami i częstszą utratę zajęcia), gorzej wypadali w testach funkcjonowania społecznego (np. mieli mniej przyjaciół i mniej angażowali się w działania na rzecz społeczności), częściej byli rozwiedzeni, częściej mieli problemy z nadużywaniem substancji innych niż alkohol (Klein et al., 2012). Inne długookresowe badania także wskazują, że dzieci z ADHD są w przyszłości bardziej narażone na problemy związane z używkami. W jednym z nich stwierdzono np., że dziecięce ADHD stanowi predyktor późniejszych problemów z piciem, nałogowego palenia tytoniu i marihuany oraz używania innych substancji psychoaktywnych (Molina i Pelham, 2003). Ryzyko to rośnie, jeśli ADHD towarzyszą zachowania antyspołeczne (Marshal i Molina, 2006). Przyczyny ADHD Badania prowadzone w rodzinach i na bliźniętach wskazują, że czynniki genetyczne odgrywają dużą rolę w rozwoju choroby. W metaanalizie 26 badań Burt (2009) odnotował, że średnia zgodność dla bliźniąt jednojajowych wynosiła 66% (w jednym z badań odnotowano nawet 90%), podczas gdy u dwujajowych – tylko 20%. W tej analizie wykazano też, że dla niespokrewnionego (adoptowanego) rodzeństwa ten odsetek sięgał zaledwie 9%. Choć to niewielka liczba, jest jednak większa od zera, co wskazuje, że środowisko też ma tu pewien wpływ. W innym przeglądzie stwierdzono, że dziedziczność deficytu uwagi i nadaktywności wynosi odpowiednio 71% i 73% (Nikolas i Burt, 2010). Wśród genów zaangażowanych w rozwój ADHD znajdują się przynajmniej dwa związane z regulacją stężenia dopaminy (Gizer et al., 2009), co sugeruje, że ten neuroprzekaźnik może być istotny w chorobie. I rzeczywiście, wykorzystywane w leczeniu ADHD leki, takie jak metylofenidat i sole amfetaminy, zwiększają aktywność dopaminy. U osób z ADHD aktywność tego neuroprzekaźnika w kluczowych rejonach mózgu związanych z motywacją i układem nagrody jest obniżona (Volkow et al., 2009), co potwierdza teorię, że niedobory dopaminy mogą stanowić kluczowy czynnik w rozwoju choroby (Swanson et al., 2007). Badania obrazowe mózgu wykazały, że u dzieci z ADHD występują nieprawidłowości w płatach czołowych (korze czołowej). U zdrowych osób stężenie dopaminy w strukturach czołowych mózgu jest stosunkowo wysokie. U osób z ADHD płaty te mają mniejszą objętość oraz wykazują mniejszą aktywność podczas wykonywania zadań umysłowych. Przypomnij sobie, że jedną z funkcji płatów czołowych jest wygaszanie naszych zachowań. Impulsywność związana jest ze zmniejszeniem stężenia dopaminy w korze czołowej, wskutek czego nie potrafi ona zahamować konkretnych aktywności. Nieprawidłowości w tym obszarze mogą więc wiele wyjaśniać w kwestii nadaktywności i braku kontroli u osób z ADHD. Już w latach 70. XX w. zdawano sobie sprawę ze związku między odżywianiem a zachowaniem dzieci. W tamtych latach wierzono, że zespół nadpobudliwości z deficytami uwagi wywołuje nadmiar cukru i konserwantów, takich jak sztuczne barwniki i aromaty. Metaanaliza 23 badań na przestrzeni 12 lat wykazała, że spożycie cukru nie ma wpływu na zachowanie ani na zdolności poznawcze dzieci. Autorzy zaznaczyli, że cukier „może mieć niewielki wpływ na niewielką liczbę dzieci”, ale w ich badaniach nie uzyskano istotności statystycznej w odniesieniu do tego efektu (Wolraich et al., 1995). Ponadto, chociaż dodatki do żywności rzeczywiście mogą nasilać zachowania nadaktywne u dzieci bez ADHD, to efekt ten jest raczej marginalny (McCann et al., 2007). Jones Timothy i współpracownicy (2016) istotę problemu widzą nie w samym cukrze jako takim, ale w przebiegu reakcji metabolicznych u dzieci. Wraz ze spadkiem stężenia glukozy we krwi w organizmie dochodzi do kompensacyjnego uwalniania adrenaliny w celu zachowania funkcji życiowych i energii. Gdy stężenie glukozy we krwi spada poniżej poziomu krytycznego (normy), możemy mówić o hipoglikemii. Objawy hipoglikemii (przy jednoczesnym wyrzucie adrenaliny!) obejmują drżenie, pocenie się oraz zmiany w procesach myślowych i zachowaniu (zaburzenia koncentracji, pobudzenie, agresja, zaburzenia koordynacji ruchowej). Timothy i współpracownicy wykazali, że u dzieci uwalnianie adrenaliny występuje przy wyższym stężeniu glukozy niż u dorosłych, a jego szczyt następuje około 4 godzin po jedzeniu. (Timothy et al., 2016). W takim ujęciu wysoko rafinowane cukry i węglowodany, które szybko dostają się do krwiobiegu i powodują szybsze wahania stężenia glukozy we krwi (a więc i szybsze uwalnianie adrenaliny), mogą wpływać na większą skłonność do zachowań impulsywnych. Podkreślmy zatem wyraźnie: cukier sam w sobie nie powoduje ADHD. Może jedynie nasilać występowanie zachowań pobudliwych z powodu opisanego wyżej mechanizmu metabolicznego u dzieci. Wiele badań wskazuje na istotny związek między ADHD a narażeniem w okresie prenatalnym na nikotynę zawartą w dymie tytoniowym (Linnet et al., 2003). Gdy matka pali w ciąży, objawy choroby u dziecka są bardziej nasilone (Thakur et al., 2013). Czy ADHD można przypisać niedostatecznym umiejętnościom rodzicielskim? Raczej nie. Pamiętajmy, że omawiane wyżej badania nad wpływem czynników genetycznych sugerują, że otoczenie rodzinne nie ma znacznego wpływu na rozwój tego schorzenia. W przeciwnym razie oczekiwalibyśmy wyższej niż wykazana zgodności dla bliźniąt dwujajowych i przybranego rodzeństwa. Wszystkie te dane sugerują, że ADHD wynika raczej z przyczyn genetycznych i neurologicznych niż społecznych i środowiskowych. Dlaczego częstość występowania ADHD wzrasta? Wiele osób sądzi, że w ostatnich latach częstość występowania ADHD wzrasta. Analizy ankiet rozesłanych do rodziców pokazały, że opiekunowie częściej kwalifikują zachowania swoich dzieci jako objaw nadpobudliwości. Częstość ta wzrosła wśród dzieci w wieku 4–17 lat o 22% w cztery lata: z 7,8% w 2003 roku do 9,5% w roku 2007 (CDC, 2010). Zjawisko to obserwowano we wszystkich grupach socjodemograficznych w 12 stanach USA. Inne badanie ankietowe również wykazało, że na przestrzeni lat (od 1998–2000 do 2007–2009) rodzice mieli większą tendencję do obserwowania objawów ADHD u swoich dzieci. Na podstawie obserwacji rodziców odsetek ADHD u amerykańskich dzieci w wieku 5–17 lat wzrósł z 6,9% do 9,0% (Akinbami et al., 2011). Podstawową słabością obu badań jest fakt, że dzieci te nie miały formalnie postawionego rozpoznania. Rodziców pytano po prostu, czy kiedykolwiek lekarz lub inny specjalista z branży medycznej powiedział im, że ich dziecko ma ADHD. Zgłaszana częstość występowania mogła być zatem zależna od dokładności rodzicielskiej pamięci. Mimo tego wyniki tych badań skłaniają do refleksji co do rzeczywistych powodów pozornego wzrostu częstości choroby. Choć są one słabo poznane i dyskusyjne, istnieje kilka możliwych wyjaśnień: ADHD może być nadrozpoznawane przez lekarzy, którzy za szybko przepisują dzieciom leki, by zmienić ich zachowanie. Świadomość istnienia ADHD jest dziś większa niż w przeszłości. Niemal każdy słyszał o tej chorobie, a jej kluczowe objawy zna większość rodziców i nauczycieli. Rodzice mogą więc szybciej trafiać z dzieckiem do lekarza, jeśli sądzą, że ma właśnie takie symptomy. Podobnie nauczyciele, mogą łatwiej niż kiedyś zauważać takie objawy i kierować dziecko do oceny przez specjalistę. Od początku naszego stulecia dzieci spędzają mnóstwo czasu z komputerem, smartfonem, grami wideo i innymi urządzeniami elektronicznymi, które przynajmniej potencjalnie mogą skracać czas skupienia uwagi. To, co niektórzy rodzice i nauczyciele biorą za nieuwagę, może być więc po prostu reakcją na zbyt intensywne zanurzenie w nowych technologiach. Zmieniły się kryteria rozpoznawania ADHD (nastąpiło ich poszerzenie, także co do możliwego wieku rozpoznania). Zaburzenia ze spektrum autyzmu W nowatorskiej pracy opublikowanej w 1943 roku psychiatra Leo Kanner (1894-1981) opisał nietypowe zaburzenie rozwojowe, które zaobserwował u grupy dzieci. Nazwał je „autyzmem wczesnodziecięcym” i określił jako niezdolność do tworzenia bliskich więzi emocjonalnych z innymi, nieprawidłowości w rozwoju mowy i języka, zachowania stereotypowe oraz nietolerancję dla najmniejszych zmian w otoczeniu i codziennych rytuałach (Bregman, 2005). To, co dziś w DSM-5 określane jest jako zaburzenia ze spektrum autyzmu (ang. autism spectrum disorder ), stanowi bezpośrednie rozszerzenie definicji z prac Kannera. Zaburzenia ze spektrum autyzmu stanowią być może najbardziej niezrozumiane i najbardziej tajemnicze spośród zaburzeń rozwojowych. Dzieci z tym zaburzeniem mają wyraźne deficyty w trzech głównych obszarach: (a) w interakcjach społecznych, (b) w komunikacji z innymi i (c) aktywnościach, wykazują bowiem stereotypowe, powtarzalne zainteresowania lub zachowania. Zaburzenia pojawiają się na wczesnym etapie życia i znacząco utrudniają funkcjonowanie (APA, 2013). Dziecko cierpiące na zaburzenia ze spektrum autyzmu nie nawiązuje interakcji z innymi dziećmi, a jeśli ktoś zwraca się do niego – często odwraca głowę. Takie dzieci nie nawiązują kontaktu wzrokowego i najchętniej bawią się same. W pewnym sensie wygląda to tak, jakby żyły we własnym, wyizolowanym świecie, do którego inni nie mają wstępu. Deficyty w komunikacji mogą być ciężkie, jak zupełny brak mowy, ograniczające się np. do jednosylabowych odpowiedzi na wszelkie pytania („Tak”, „Nie”), może występować echolalia, czyli powtarzanie czyichś wypowiedzi natychmiast lub z opóźnieniem (nawet kilkugodzinnym czy kilkudniowym) albo trudności w podtrzymaniu rozmowy ze względu na niezdolność do odpowiadania na słowa innych. Te deficyty mogą też obejmować problemy ze zrozumieniem wskazówek niewerbalnych, takich jak wyraz twarzy, gesty czy postawa, które u osób bez zaburzeń bardzo ułatwiają komunikację. Stereotypowe zachowania mogą się przejawiać w różny sposób. Dziecko może się kiwać, uderzać głową o ścianę lub inne twarde powierzchnie, wielokrotnie upuszczać jakąś rzecz tylko po to, by ją podnieść. Może też reagować dużym stresem na najmniejsze nawet zmiany w codziennej rutynie albo w otoczeniu. Np. wpada we wściekłość, jeśli dana rzecz nie znajduje się tam, gdzie zawsze była, albo jeśli zmieni się godzina ulubionych zajęć. W niektórych przypadkach osoba z autyzmem może wykazywać bardzo ograniczone zainteresowania i nadmiernie fiksować się na wybranych aktywnościach. Może np. zapamiętywać najdrobniejsze szczegóły jakiejś sceny, mimo że niczemu to na pozór nie służy. Ważne, by uświadomić sobie, że zaburzenia ze spektrum autyzmu nie są tożsame z niepełnosprawnością intelektualną, choć te dwie jednostki chorobowe często ze sobą współwystępują. DSM-5 precyzuje, że objawy autyzmu nie mogą być wywołane ani wyjaśnione niepełnosprawnością intelektualną. Życiowe problemy wynikające ze spektrum autyzmu W codziennym życiu zaburzenia ze spektrum autyzmu określa się po prostu jako „autyzm”; „zaburzeniem autystycznym” nazywano je w poprzednich wersjach DSM, ale wtedy kryteria diagnostyczne dla zaburzeń ze spektrum autyzmu były o wiele węższe niż obecnie. Określenie „spektrum” oznacza, że osoby z tym zaburzeniem mogą wykazywać cały wachlarz objawów różniących się nasileniem: niektóre mogą być ciężkie, inne zaś łagodne. W poprzedniej wersji DSM występowało rozpoznanie zespołu Aspergera, uznawanego za łagodniejszą odmianę autyzmu. Osoby z tym zespołem opisywano jako przeciętnie lub ponadprzeciętnie inteligentne, o bogatym słownictwie, lecz mające trudności w komunikowaniu się i interakcjach z innymi; np. rozmawiające tylko o swoich zainteresowaniach (Wing et al., 2011). Jednakże badania nie potwierdziły, by zespół Aspergera (ang. Asperger's syndrome ) różnił się jakościowo od zaburzeń autystycznych, w DSM-5 zatem nie został on uwzględniony. Niektóre osoby z autyzmem, zwłaszcza te o większych umiejętnościach językowych i intelektualnych, mogą w dorosłym życiu mieszkać samodzielnie i pracować. Większość jednak tego nie potrafi, bo objawy pozostają na tyle nasilone, by znacząco pogarszać funkcjonowanie w różnych dziedzinach życia (APA, 2013). Obejrzyj to wideo o wczesnych oznakach autyzmu, aby dowiedzieć się więcej. W Stanach Zjednoczonych na autyzm cierpi niemal jedno na 59 dzieci (w Europie około 1 na 150). Zaburzenie to jest czterokrotnie częstsze u chłopców (w USA 1 na 38) niż u dziewcząt (1 na 152) (Baio et al, 2018). Częstość rozpoznawania zaburzeń ze spektrum autyzmu istotnie wzrosła od lat 80. Choć trudno jednoznacznie interpretować przyczyny tego wzrostu, to prawdopodobnie wynika on z poszerzenia kryteriów diagnostycznych, większych wysiłków na rzecz rozpoznawania kolejnych przypadków oraz większej świadomości i akceptacji diagnozy. Także psychiatrzy są dziś lepiej przygotowani do rozpoznawania nawet dyskretnych objawów choroby (Novella, 2008). Przyczyny zaburzeń ze spektrum autyzmu Wczesne teorie autyzmu składały całą winę za jego powstanie na rodziców, szczególnie matki. Bruno Bettelheim (1903-1990) (urodzony w Austrii amerykański psycholog dziecięcy, zafascynowany ideami Zygmunta Freuda ) sugerował, że główne czynniki rozwoju autyzmu dziecięcego to ambiwalentny stosunek matki do dziecka oraz jej zamrożone, sztywne emocje. W pracy, która z pewnością uważana jest za jedną z najbardziej kontrowersyjnych w historii psychologii ostatniego półwiecza, napisał: „wierzę, że czynnikiem wyzwalającym autyzm dziecięcy jest życzenie rodzica, by to dziecko nigdy nie istniało” (Bettelheim, 1967). Jak możecie sobie wyobrazić, Bettelheim nie zjednał sobie wielu takimi poglądami; zresztą brak jakichkolwiek naukowych dowodów na poparcie jego tezy. Przyczyny zaburzeń ze spektrum autyzmu pozostają nieznane mimo szeroko zakrojonych w ostatnim dwudziestoleciu badań (Meek et al., 2013). Autyzm wydaje się mieć silne podłoże genetyczne, gdyż u bliźniąt jednojajowych zgodność występowania wynosi 60–90%, podczas gdy u dwujajowych i rodzeństwa w różnym wieku – tylko 5–10% (Autism Genome Project Consortium, 2007). Odpowiedzialnych może być wiele różnych mutacji genów (Meek et al., 2013), m.in. zaangażowanych w tworzenie obwodów synaptycznych ułatwiających komunikację między różnymi obszarami mózgu (Gauthier et al., 2011). Ze zwiększonym ryzykiem zachorowania wiąże się też (przynajmniej po części, gdyż mogą one być przyczyną nowych mutacji) czynniki środowiskowe, takie jak narażenie na zanieczyszczenia przemysłowe i rtęć, zamieszkanie w mieście w porównaniu do wsi oraz niedobory witaminy D (Kinney et al., 2009). Związek szczepień z autyzmem Pod koniec lat 90. w prestiżowym czasopiśmie medycznym ukazał się artykuł utrzymujący, że autyzm jest wywoływany przez szczepionkę MMR (przeciwko odrze, śwince i różyczce). Teza była kontrowersyjna, przyciągnęła więc uwagę i wywołała międzynarodową dyskusję na temat szczepienia dzieci. Kilka lat później artykuł został wycofany przez wydawcę po tym, jak głównemu autorowi udowodniono oszustwo. Mimo tego media podgrzewały atmosferę, donosząc o możliwym rzekomym związku między szczepieniami a autyzmem (więcej o tym przeczytasz w Analiza wyników ). W jednej z ankiet przeprowadzonych wśród rodziców stwierdzono np., że mniej więcej 1/3 respondentów wyrażała obawę o możliwość zapadnięcia dziecka na autyzm w wyniku szczepienia (Kennedy et al., 2011); być może właśnie z tego powodu ponad 10% rodziców małych dzieci odmawia ich szczepienia lub je opóźnia (Dempsey et al., 2011). Część rodziców dzieci z autyzmem rozpoczęło kampanię przeciwko naukowcom, którzy zdementowali ten związek. Z kolei najnowsze badania pokazują tu raczej trend spadkowy. Dane zebrane w latach 2016–2019 wśród 16525 rodziców dzieci z autyzmem (tj. poniżej 18. roku życia) pokazały, że 16,5% opiekunów uważało szczepienia za przyczynę autyzmu. Dowody na istnienie związku między szczepionkami a autyzmem nie istnieją (Hughes, 2007). W niedawnym badaniu porównano nawet historię szczepień 256 dzieci z zaburzeniami ze spektrum autyzmu oraz 752 dzieci z grupy kontrolnej. Badano trzy okresy w pierwszych dwóch latach życia: (1) od urodzenia do 3. miesiąca, (2) od urodzenia do 7. miesiąca i (3) od urodzenia do drugiego roku życia (DeStefano et al., 2013). Uczestniczące w badaniu dzieci miały od 6 do 13 lat. Szczepionki zawierają antygeny pobudzające komórki układu odpornościowego do produkcji swoistych przeciwciał, naukowcy przebadali więc historie medyczne dzieci, by sprawdzić, jak wiele antygenów otrzymało każde z nich, i ocenić, czy te, które otrzymały ich więcej, były bardziej narażone na autyzm. Z wyników badania (część możemy zobaczyć na ) wyraźnie widać, że liczba antygenów otrzymanych przez dziecko w pierwszych dwóch latach życia nie ma żadnego związku z rozwojem autyzmu. Nie istnieje zatem związek między szczepieniami a tą chorobą. Między dziećmi z autyzmem a ich zdrowymi rówieśnikami nie ma znaczących różnic w całkowitej liczbie antygenów otrzymanych w szczepionkach (DeStefano et al., 2013). Dlaczego zatem wciąż istnieją obawy co do związku szczepień z autyzmem? Od czasu rozpowszechnienia internetu w latach 90. XX wieku rodzice są stale bombardowani fałszywymi informacjami w sieci. Często takie informacje są przekazywane, powielane i zaczynają żyć własnym życiem. Ogromna ilość informacji na temat autyzmu dostępnych w sieci oraz trudność przeciętnego ich odbiorcy w adekwatnym odbiorze złożonych pojęć naukowych sprawiają, że oddzielenie prawdziwej nauki od pseudonauki może stanowić duże wyzwanie (Downs, 2008). Na przykład w badaniu, które wywołało całą szczepionkową aferę, autorzy twierdzili, że – według rodziców – u 8 spośród 12 dzieci wkrótce po szczepieniu rozwinęły się objawy takie jak w zaburzeniach ze spektrum autyzmu. Jednak wysnucie z tego wniosku (co wielu zrobiło), że szczepionki wywołują autyzm, jest z wielu względów nieuprawnione. Choćby dlatego, że związek korelacyjny nie musi, jak już wiesz, oznaczać związku przyczynowo-skutkowego. Ponadto, jak w przypadku dowodzenia w latach 70. powiązania ADHD z dietą, stwierdzenie, że autyzm to efekt szczepień, trafia do wielu, bo zapewnia proste wyjaśnienie skomplikowanego problemu. Tymczasem, podobnie jak w wielu innych przypadkach, nie istnieje proste wyjaśnienie zaburzeń ze spektrum autyzmu. Choć omówione powyżej badania rzuciły na ADHD trochę światła, nauka wciąż jest daleka od jego pełnego zrozumienia. Podsumowanie Zaburzenia rozwojowe to grupa schorzeń, które na ogół rozpoznaje się w dzieciństwie. Ich cechy charakterystyczne to deficyty rozwojowe w różnych obszarach: osobistym, społecznym, edukacyjnym i intelektualnym. Wśród tych zaburzeń wyróżniamy zespół nadpobudliwości psychoruchowej z deficytem uwagi (ADHD) oraz zaburzenia ze spektrum autyzmu. ADHD charakteryzuje się utrzymującymi się zaburzeniami koncentracji uwagi i/lub nadaktywnością oraz zachowaniami impulsywnymi, utrudniającymi funkcjonowanie. W rozwoju ADHD rolę odgrywają zarówno czynniki genetyczne, jak i neurobiologiczne. Choroba może utrzymywać się także w dorosłym życiu, a jej długofalowe konsekwencje często pogarszają jakość życia jednostki. W zaburzeniach ze spektrum autyzmu główne objawy to deficyty w interakcjach społecznych i komunikacji z innymi oraz stereotypowe zachowania i zainteresowania. Podobnie jak w przypadku ADHD decydującą rolę odgrywają czynniki genetyczne. Pewien wpływ ma też narażenie na czynniki środowiskowe, np. zanieczyszczenie środowiska rtęcią. Choć niektórzy wierzą, że autyzm wywoływany jest przez szczepionki, nie ma na to naukowych dowodów. Pytania sprawdzające Które z poniższych NIE jest główną cechą ADHD? krótki czas skupienia uwagi trudności w koncentracji, łatwe rozpraszanie się ograniczone zainteresowania, obsesje ciągłe wiercenie się i kręcenie C Jednym z głównych objawów zaburzeń ze spektrum autyzmu jest/są ________. nocne moczenie się trudności w tworzeniu związków z innymi krótki czas skupienia uwagi głębokie i niewłaściwe zainteresowanie innymi B Critical Thinking Questions Porównaj czynniki istotne w rozwoju ADHD z tymi, które mają znaczenie dla zaburzeń ze spektrum autyzmu. Zarówno w rozwoju ADHD, jak i autyzmu główną rolę odgrywają czynniki genetyczne. Badania pokazują, że w obu schorzeniach występuje wyższa zgodność u bliźniąt jednojajowych niż u dwujajowych. W ADHD akcentuje się rolę genów regulujących stężenie dopaminy; w autyzmie – powstające mutacje genetyczne. Badania obrazowe sugerują, że w rozwoju ADHD ważną rolę odgrywają nieprawidłowości anatomiczne i funkcjonalne w płatach czołowych. Zachowania rodzicielskie nie mają związku z występowaniem żadnego z opisywanych zaburzeń. Toksyny środowiskowe generalnie nie mają znaczenia dla występowania ADHD, choć zaburzenie to wiąże się z narażeniem na dym tytoniowy w życiu płodowym. Z kolei w przypadku autyzmu sugeruje się znaczenie pewnych czynników środowiskowych: narażenia na trucizny, mieszkania w mieście w porównaniu z mieszkaniem na wsi oraz niedoborów witaminy D. Choć niektórzy wierzą (z powodu wycofanego później artykułu w poważnym czasopiśmie naukowym), że autyzm wywołują szczepionki, to nie ma na to dowodów naukowych. Personal Application Question Omów charakterystyczne cechy autyzmu z kilkoma znajomymi lub członkami rodziny (wybierz takich, którzy niewiele wiedzą o tej chorobie) i spytaj ich, czy sądzą, że chorobę tę mogą wywoływać szczepienia albo złe wychowanie w domu. Jeśli powiedzą, że w to wierzą, zastanów się dlaczego. Jak trzeba poprowadzić z nimi rozmowę na ten temat? zespół nadpobudliwości psychoruchowej z deficytem uwagi (ADHD) (ang. attention deficit hyperactivity disorder (ADHD) ) występujące u dzieci zaburzenie charakteryzujące się trudnościami w skupieniu uwagi i/lub zachowaniami impulsywnymi i nadaktywnością ruchową zaburzenia ze spektrum autyzmu (ang. autism spectrum disorder ) zaburzenie występujące u dzieci, charakteryzujące się deficytem interakcji społecznych i komunikacji oraz stereotypowymi wzorcami zachowań lub zainteresowań zaburzenia neurorozwojowe (ang. neurodevelopmental disorders) jedno ze schorzeń diagnozowanych w dzieciństwie, obejmujące problemy rozwojowe w zakresie nauki, intelektu i funkcjonowania w społeczeństwie", "section": "Zaburzenia występujące u dzieci", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Zaburzenia osobowości Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Opisać naturę zaburzeń osobowości i czym różnią się one od innych zaburzeń Wymień i rozróżnij trzy grupy zaburzeń osobowości Zidentyfikować podstawowe cechy osobowości typu borderline i antyspołecznego zaburzenia osobowości oraz czynników istotnych w etiologii obu zaburzeń Termin „osobowość” określa stabilny, spójny i odrębny (indywidualny) sposób myślenia o świecie, odczuwania go, odnoszenia się do niego i działania. Osoba z zaburzeniami osobowości (ang. personality disorders ) permanentnie zachowuje się zaś w sposób sztywny, dalece odbiegający od oczekiwań społecznych charakterystycznych dla jej kultury. Zmiany w zachowaniu zaczynają się zwykle w młodości, wywołują silny niepokój lub zaburzają codzienne funkcjonowanie i relacje z innymi (APA, 2013). Osoby z takimi zaburzeniami na ogół wykazują trwały typ osobowości, który bywa źródłem stresu i często stwarza problemy dla nich samych i dla tych, którzy z nimi przebywają. Ich nieprzystosowany styl bycia często generuje konflikty, upośledza zdolność tworzenia i utrzymywania więzi społecznych oraz uniemożliwia osiąganie realistycznych celów życiowych. DSM-5 uwzględnia 10 zaburzeń osobowości zgrupowanych w 3 wiązki. Wiązka A obejmuje osobowość paranoiczną (ang. paranoid personality disorder ), osobowość schizoidalną (ang. schizoid personality disorder ) i osobowość schizotypową (ang. schizotypal personality disorder ). Osoby z takimi zaburzeniami zachowują się w sposób dziwaczny i ekscentryczny. W wiązce B mieszczą się: antyspołeczne zaburzenie osobowości (ang. antisocial personality disorder ), osobowość histrioniczna (ang. histrionic personality disorder ), osobowość narcystyczna (ang. narcissistic personality disorders ) i osobowość typu borderline ( osobowość z pogranicza ) (ang. borderline personality disorder ). Zachowanie takich osób jest na ogół impulsywne, wysoce emocjonalne, wręcz dramatyczne i niezwykle zmienne. Wiązka C mieści: osobowość unikową (ang. avoidant personality disorder ), osobowość zależną (ang. dependent personality disorder ) i obsesyjno-kompulsywne , inaczej anankastyczne zaburzenie osobowości (ang. obsessive-compulsive personality disorder (OCPD) ) (które nie jest tym samym, co zaburzenia obsesyjno-kompulsywne). Osoby z tym spektrum zaburzeń najczęściej są postrzegane jako nerwowe i lękliwe. Opisy wszystkich zaburzeń osobowości opisanych w DSM-5 znajdziemy w . Zaburzenia osobowości według DSM-5. Zaburzenie osobowości Opis Wiązka Paranoidalne przejawia utrwaloną i nieuzasadnioną podejrzliwość wobec innych i nikomu nie ufa; niechętnie się zwierza i wchodzi w bliskie relacje; przypisuje niewinnym uwagom i wydarzeniom ukryte, zagrażające znaczenia; łatwo się obraża i długo chowa urazę; zachowanie nie może być objawem schizofrenii ani innych zaburzeń psychotycznych A Schizoidalne nie przejawia zainteresowania ani chęci, by wchodzić w relacje z innymi; zdystansowany, emocjonalnie chłodny; obojętny jest mu stosunek ze strony innych (aprobata vs krytycyzm); nie ma bliskich przyjaciół, którym by się zwierzał; zachowanie nie może być objawem schizofrenii, innych zaburzeń psychotycznych ani zaburzeń ze spektrum autyzmu A Schizotypowe jego myśli, postrzeganie, emocje, mowa i zachowanie są ekscentryczne; jest podejrzliwy, aż do myślenia paranoicznego; ma niezwykłe doświadczenia postrzegania; mowa jest często dziwaczna; wykazuje nieadekwatne do sytuacji emocje; nie ma przyjaciół, którym mógłby się zwierzyć; zachowanie nie może być objawem schizofrenii, innych zaburzeń psychotycznych ani zaburzeń ze spektrum autyzmu A Antyspołeczne w sposób ciągły narusza prawa innych; zachowuje się w sposób aspołeczny jeszcze przed ukończeniem 15. r.ż.; często kłamie, wdaje się w bójki i ma kłopoty z prawem; impulsywny, nie potrafi przewidywać konsekwencji swoich działań; może być podstępny i manipulować innymi dla osiągnięcia swoich celów lub dla przyjemności; nieodpowiedzialny, często nie potrafi utrzymać pracy ani spłacać swoich długów; ma ograniczoną zdolność empatii: nie współczuje innym ani nie żałuje swoich złych postępków B Histrioniczne zachowuje się nadmiernie emocjonalnie, teatralnie, wręcz dramatyzuje; czuje się niekomfortowo, gdy nie jest w centrum uwagi; zachowanie często otwarcie prowokacyjne lub uwodzicielskie; mowa bardzo emocjonalna, ale często niekonkretna i rozproszona; emocje płytkie, często gwałtownie się zmieniają; może zrażać do siebie przyjaciół, gdyż żąda ciągłej uwagi B Narcystyczne przerośnięte, choć niczym nieuzasadnione poczucie własnej wartości; pochłonięty fantazjami o sukcesach; wierzy, że należy mu się specjalne traktowanie; zachowuje się arogancko; wykorzystuje innych; nie wykazuje empatii B Borderline (z pogranicza) niepewny obraz samego siebie, niestabilne zachowania, zmienne nastroje; nie toleruje samotności, stale ma poczucie pustki; angażuje się w intensywne, lecz niestabilne relacje; w zachowaniu impulsywny, nieprzewidywalny, czasem aż do zachowań autodestrukcyjnych; impulsy samobójcze; intensywny, nieadekwatny do sytuacji gniew B Unikowe zahamowany społecznie, nadmiernie wrażliwy na negatywne oceny; unika zawodów wymagających kontaktów z innymi, gdyż boi się krytyki i odrzucenia; unika relacji z innymi, o ile nie dają mu gwarancji bezwarunkowej akceptacji; czuje się nic niewart i postrzega siebie jako społecznie nieprzystosowanego i odpychającego; niechętnie podejmuje ryzyko i nie angażuje się w nowe działania, jeśli mogą okazać się zawstydzające C Zależne pozwala innym kierować swoim życiem; poddańczy, niesamodzielny, obawia się rozłąki; nie potrafi podejmować decyzji bez cudzej rady i otuchy; brakuje mu pewności siebie; nie potrafi działać samodzielnie; w samotności czuje się niekomfortowo i jest bezradny C Obsesyjno-kompulsywne ma wszechogarniającą potrzebę perfekcji, która nie pozwala mu kończyć zadań; zaprzątnięty szczegółami, zasadami, porządkiem i schematami; nadmiernie poświęca się pracy kosztem przyjaciół i czasu wolnego; sztywny, niewzruszony, uparty; zawsze nalega, żeby rzeczy były robione tak, jak on chce; skąpy C Na zaburzenia osobowości cierpi nieco ponad 9% amerykańskiej populacji, przy czym najczęstszymi są osobowość unikowa i schizoidalna (Lezenweger et al., 2007). Wielu sądzi, że najbardziej problematyczne z tego spektrum są osobowość typu borderline i osobowość antyspołeczna. W Polsce niestety brakuje badań epidemiologicznych określających rozpowszechnienie konkretnych zaburzeń osobowości. Osobowość typu borderline (z pogranicza) Osobowość typu borderline to termin ukuty pod koniec lat 30. XX wieku do opisania pacjentów, którzy na pozór wydawali się lękowi, lecz łatwo wchodzili w krótkie epizody psychotyczne, czyli byli dosłownie na pograniczu nerwicy i psychozy (Freeman et al., 2005). Dziś zaburzenie osobowości typu borderline (BPD) oznacza coś zupełnie innego. Charakteryzuje się głównie niestabilnością relacji, obrazu samego siebie i nastroju oraz znaczną impulsywnością (APA, 2013). Osoby z tym zaburzeniem nie są w stanie znieść myśli, że zostaną same i będą robić wszystko (w tym podejmować próby samobójcze i okaleczać się), byle tylko nie dopuścić do rozłąki lub porzucenia (nawet jeśli taka możliwość istnieje tylko w ich głowach). Ich relacje są bardzo intensywne, lecz niestabilne. Często idealizują wybraną osobę, by później dewaluować ją (także przed innymi), jeśli zaczyna podejrzewać, że nie uważa ona osoby z zaburzeniem za najważniejszą. Osoby z BPD mają bardzo niestabilny obraz siebie i dlatego mogą nagle zmieniać podejście, zainteresowania, plany zawodowe czy grono przyjaciół. Na przykład student prawa może nagle rzucić uczelnię i zająć się zupełnie inną dziedziną, choć zainwestował w studia mnóstwo pieniędzy i dobrze mu szła nauka. Osoby z zaburzeniem osobowości typu borderline są bardzo impulsywne i mogą angażować się w ryzykowne, destrukcyjne zachowania, np. hazard, nierozsądne wydawanie pieniędzy, narkotyki, alkohol, przygodny seks czy ryzykowną jazdę samochodem. Czasem zupełnie bez przyczyny wybuchają gniewem, a wręcz wściekłością, którą trudno im kontrolować; bywają humorzaste, sarkastyczne, zgorzkniałe i obrażają innych. Częstość występowania zaburzeń osobowości typu borderline w populacji amerykańskiej szacuje się na około 1,4% (Lezenweger et al., 2007), ale odsetek ten jest wyższy w populacjach, które z innych powodów korzystają z pomocy psychiatrycznej. Kryteria diagnostyczne spełnia ok. 10% ambulatoryjnych i 20% leczonych szpitalnie pacjentów psychiatrycznych (APA, 2013). Osobowość borderline współistnieje z lękiem, zaburzeniami nastroju i nadużywaniem substancji (Lezenweger et al., 2007). Biologiczne podstawy zaburzenia osobowości typu borderline W rozwoju tego typu zaburzeń istotną rolę odgrywają czynniki genetyczne. Charakterystyczne cechy osobowości, takie jak impulsywność i emocjonalne rozchwianie, są w dużym stopniu dziedziczne (Livesley, 2008). Wiadomo też, że wśród krewnych osób z tym zaburzeniem częstość jego występowania sięga nawet 24,9% (White et al., 2003). Jednostki z zaburzeniem osobowości typu borderline o wiele częściej niż przedstawiciele ogólnej populacji zgłaszają, że w dzieciństwie były maltretowane fizycznie lub emocjonalnie albo wykorzystywane seksualnie (Afifi et al., 2010), co wskazuje, że dużą rolę w rozwoju choroby odgrywają też warunki otoczenia. Oznacza to, że najpewniej zaburzenie osobowości typu borderline powstaje w wyniku interakcji czynników genetycznych i niekorzystnych uwarunkowań środowiskowych. Hipotezę tę potwierdza badanie, w którym najwyższy odsetek zaburzeń BPD odnotowano u osób o temperamencie impulsywnym, czyli poszukujących nowości, ale jednocześnie unikających szkód, oraz u tych, które w dzieciństwie były molestowane i/lub zaniedbywane (Joyce et al., 2003). Antyspołeczne zaburzenie osobowości Większość ludzi kieruje się w życiu moralnym kompasem: poczuciem dobra i zła. Już od najmłodszych lat uczymy się, że pewnych rzeczy po prostu „się nie robi”; że nie wolno kłamać ani krzywdzić innych. Mówią nam, że złem jest branie rzeczy, które nie należą do nas, i że nie należy wykorzystywać innych dla osobistej korzyści. Dowiadujemy się również, że zawsze powinniśmy dotrzymywać słowa i wywiązywać się z obowiązków. Osoby z antyspołecznym zaburzeniem osobowości wydają się takiego kompasu nie posiadać. Zachowują się tak, jakby nie wiedziały, co to dobro i zło, albo wiedziały, ale nic ich to nie obchodziło. Nic dziwnego, że takie osoby są dla innych i dla całego społeczeństwa poważnym problemem. Zgodnie z DSM-5 osoba z antyspołecznym zaburzeniem osobowości (APD) (określanym dawniej mianem „psychopatycznego zaburzenia osobowości”) nie liczy się z prawami ani uczuciami innych. Ten brak poszanowania ujawnia się na różne sposoby: osoba z APD może w sposób powtarzalny łamać prawo, kłamać i oszukiwać, zachowywać się impulsywnie, lekkomyślnie i nieodpowiedzialnie (np. nie spłacać długów), wykazywać w stosunku do innych rozdrażnienie lub agresję (APA, 2013). Najgorsze w tym zaburzeniu jest jednak to, że dotknięte nim osoby nigdy nie mają wyrzutów sumienia; krzywdzą, manipulują, wykorzystują i znęcają się nad innymi bez żadnego poczucia winy. Oznaki APD mogą pojawiać się bardzo wcześnie, ale do postawienia rozpoznania trzeba, by podejrzewana o nie osoba ukończyła 18 lat. Ludzie z antyspołecznym zaburzeniem osobowości wydają się nie lubić świata, ale zarazem postrzegają go jako swój prywatny folwark. Myślą, że powinni zrobić wszystko, co możliwe, by jakoś poradzić sobie w życiu. Innych postrzegają nie jako żyjące, myślące i czujące istoty, lecz raczej jak pionki, które można wykorzystywać do własnych celów. Często mają wygórowane poczucie własnej wartości i są postrzegani przez otoczenie jako skrajnie aroganccy, choć bywają też czarujący (w bardzo powierzchowny sposób). Mogą np. mówić dokładnie to, co, jak sądzą, druga osoba chciałaby usłyszeć, choć zupełnie tak nie myślą. Brak im empatii i nie są w stanie zrozumieć, co inni czują. Osoby z tym zaburzeniem niekiedy angażują się w nielegalne interesy, są okrutne względem innych, rzucają pracę, nie mając widoków na kolejną, uprawiają seks z licznymi partnerami, ciągle wdają się w bójki i zupełnie nie liczą się z bezpieczeństwem swoim ani otoczenia (bywają np. zatrzymywane podczas prowadzenia pod wpływem alkoholu albo innych psychoaktywnych substancji) (APA, 2013). DSM-5 przywołuje alternatywny model konceptualizacji zaburzeń osobowości w oparciu o cechy zidentyfikowane w pięcioczynnikowym modelu osobowości. W przypadku osobowości antyspołecznej DSM-5 identyfikuje dominujące cechy, są nimi antagonizm (lekceważenie potrzeb innych, manipulacyjne lub oszukańcze zachowanie) i odhamowanie (charakteryzujące się impulsywnością, nieodpowiedzialnością i podejmowaniem ryzyka) (Harwood et al., 2012). Uwzględniono tutaj także takie cechy jak poszukiwanie uwagi i niski niepokój (brak obawy o negatywne konsekwencje dla ryzykownych lub szkodliwych zachowań) (Crego i Widiger, 2014). Czynniki ryzyka antyspołecznego zaburzenia osobowości Antyspołeczne zaburzenie osobowości rozpoznaje się u ok. 3,6% populacji, o wiele częściej u mężczyzn niż u kobiet (stosunek 3:1), u młodszych, owdowiałych, rozwiedzionych lub będących w separacji; pochodzących z nizin społecznych, mieszkających w miastach, a w USA – na terenie zachodnich stanów (Compton et al., 2005). Kobiety z tym zaburzeniem częściej niż mężczyźni doświadczyły w dzieciństwie emocjonalnego zaniedbania i seksualnego wykorzystywania, zaś ich rodzice częściej nadużywali substancji i sami byli aspołeczni (Alegria et al., 2013). przedstawia różnice między mężczyznami a kobietami z antyspołecznym zaburzeniem osobowości pod względem charakterystycznych aspołecznych zachowań (Alegria et al., 2013). Różnice w zachowaniach antyspołecznych między płciami. Mężczyźni z antyspołecznym zaburzeniem osobowości częściej niż kobiety z tym zaburzeniem Kobiety z antyspołecznym zaburzeniem osobowości częściej niż mężczyźni z tym zaburzeniem robią rzeczy niebezpieczne tak dla siebie, jak i dla innych dostają (nawet trzykrotnie) więcej mandatów za niebezpieczną jazdę w porównaniu z innymi osobami tracą prawo jazdy niszczą cudze mienie dokonują celowych podpaleń nielegalnie zdobywają pieniądze robią wszystko, co może doprowadzić do aresztowania biją tak mocno, żeby wywołać uszkodzenie ciała celowo krzywdzą zwierzęta na całe noce uciekają z domu mają liczne nieobecności w szkole lub w pracy nałogowo kłamią podrabiają cudze podpisy kłótnie z partnerem często kończą bójką gnębią, grożą lub szantażują innych Badania rodzin, bliźniąt i rodzin adopcyjnych sugerują, że rozwój antyspołecznego zaburzenia osobowości, podobnie jak zachowań aspołecznych w ogólności (przestępczości, przemocy, agresji), zależy zarówno od czynników genetycznych, jak i środowiskowych (Baker et al., 2006). Cechy osobowości i temperamentu powiązane z tym zaburzeniem (brak lęku, impulsywność, aspołeczność i bezduszność) są w dużej mierze uwarunkowane genetycznie (Livesley i Jang, 2008). Badania rodzin adopcyjnych wyraźnie wskazują, że zachowania aspołeczne rozwijają się w wyniku interakcji między genami a niesprzyjającym środowiskiem (Rhee i Waldman, 2002). W jednym z badań wykazano, że adoptowane dzieci, których biologiczni rodzice wykazywali antyspołeczne zaburzenie osobowości, też częściej zachowywały się aspołecznie, jeśli ich środowisko adopcyjne było zaburzone (np. rodzice adopcyjni mieli problemy małżeńskie, byli rozwiedzeni, brali narkotyki albo mieli problemy z prawem) niż jeśli dorastały w wystarczająco dobrze funkcjonujących rodzinach (Cadoretm et al., 1995). Badacze zainteresowani znaczeniem środowiska w rozwoju antyspołecznego zaburzenia osobowości zwrócili uwagę na takie czynniki, jak społeczność, struktura i funkcjonowanie rodziny oraz grup rówieśniczych. Każdy z tych elementów ma wpływ na prawdopodobieństwo pojawienia się zachowań aspołecznych. W jednym podłużnym badaniu obejmującym ponad 800 młodych uczestników z obszaru Seattle mierzono czynniki ryzyka przemocy w wieku 10, 14, 16 i 18 lat (Herrenkohl et al., 2000). Czynniki te obejmowały rodzinę, rówieśników i środowisko społeczne. Część wniosków przedstawiono na . Czynniki ryzyka w okresie dorastania predysponujące do stosowania przemocy w dorosłym życiu. Osoby z tendencjami antyspołecznymi wydają się nie odczuwać emocji w taki sposób jak większość z nas. Nie odczuwają strachu w konfrontacji z bodźcami sygnalizującymi możliwość kary, bólu lub szkody. Np. w oczekiwaniu na wstrząs elektryczny ich skóra wykazuje gorszą przewodność (ręce mniej się pocą) niż u osób bez antyspołecznych skłonności (Hare, 1965). Przewodnictwo skóry jest regulowane przez współczulny układ nerwowy i jest ono wykorzystywane w testach oceniających aktywność tego układu. Gdy układ jest pobudzony, ludzie stają się nerwowi i pobudzeni, a aktywność ich gruczołów potowych wzrasta. Dlatego też zwiększenie przewodności skóry (pośrednia oznaka aktywności gruczołów potowych) świadczy o pobudzeniu lub niepokoju. U osób z antyspołecznym zaburzeniem osobowości słabe przewodnictwo może oznaczać deficyty emocjonalne i impulsywność, które leżą u podstaw skłonności do zachowań aspołecznych i negatywnych relacji z innymi (Fung et al., 2005). Poza deficytami emocji na kształtowanie się osobowości antyspołecznej może mieć wpływ niezdolność do utożsamiania się z cudzym bólem. W jednym z badań 80 więźniom pokazywano zdjęcia, na których ktoś umyślnie zadawał ból innym (np. przytrzaskiwał komuś rękę drzwiami), a w tym samym czasie mózgi więźniów były poddano badaniom obrazowania (Decety et al., 2013). Więźniowie, którzy mieli najwyższe wyniki w testach na aspołeczność, w porównaniu z więźniami z niską aspołecznością wykazywali znacząco mniejsze pobudzenie m.in. w brzuszno-przedniej korze przedczołowej oraz w bocznej korze oczodołowo-czołowej. Te rejony mózgu zaangażowane są w odczuwanie empatii i troski o innych. U więźniów z najwyższą oceną w testach aspołeczności aktywizowały się z kolei część kory przedniej, zakręt obręczy kory limbicznej i część przyśrodkowa kory przedczołowej, zatem obszary mózgu kojarzone z samoświadomością, funkcjami poznawczymi i doświadczeniami interpersonalnymi. Badacze sugerują, że ich zwiększona aktywacja podczas obserwacji, jak jedne osoby krzywdzą inne, może odzwierciedlać skłonność lub chęć do realizacji podobnych zachowań. A na pewno reagowanie na nie z poziomu poznawczego, intelektualnego, a nie emocjonalnego – na zasadzie chłodnej analizy, a nie współczucia. Podsumowanie U osób z zaburzeniami osobowości utrwalone wzorce postępowania wynikające z cech osobowości powodują cierpienie, utrudniają danej osobie prawidłowe funkcjonowanie społeczne, rodzinne i zawodowe oraz uniemożliwiają lub hamują rozwój w tych obszarach. DSM-5 wyróżnia 10 zaburzeń osobowości, zgrupowanych w trzech wiązkach. W wiązce A styl osobowości jest dziwaczny i ekscentryczny. Zaburzenia należące do wiązki B prezentują osobowość dramatyczną, wysoce emocjonalną oraz zmienną. Wiązka C obejmuje zaburzenia charakteryzujące się nerwowością i lękliwością. Szczególnych problemów przysparzają dwa zaburzenia należące do kategorii B: osobowość typu borderline i osobowość antyspołeczna. Osoby z zaburzeniem osobowości typu borderline wykazują znaczącą zmienność nastroju, zachowania i postrzegania siebie oraz dużą impulsywność. Nie są w stanie znieść porzucenia, są nieprzewidywalne, mają za sobą burzliwe związki i często wybuchają nieuzasadnionym gniewem. W powstawaniu tego zaburzenia dużą rolę odgrywają czynniki genetyczne i traumatyczne doświadczenia z dzieciństwa (np. wykorzystywanie seksualne). Ludzie z osobowością antyspołeczną nie przejmują się prawami innych, są impulsywni, nieodpowiedzialni, oszukują i nigdy nie męczy ich poczucie winy. Także w przypadku tego typu osobowości rolę odgrywają geny i sposób socjalizacji. Z badań wynika też, że osoby dotknięte tym zaburzeniem nie doświadczają emocji w taki sam sposób jak większość ludzi, np. mają zmniejszoną albo całkowicie zniesioną zdolność doświadczania lęku. Pytania sprawdzające Osoby z zaburzeniami osobowości typu borderline często ________. starają się być w centrum uwagi są nieśmiałe i wycofane są impulsywne i nieprzewidywalne często osiągają cele okrutnymi metodami C Antyspołeczne zaburzenie osobowości wiąże się z ________. deficytami emocjonalnymi deficytami pamięci nadopiekuńczością rodziców zwiększoną empatią A Critical Thinking Question Wyobraź sobie dziecko z genetyczną predyspozycją do antyspołecznych zaburzeń osobowości. W jaki sposób środowisko, w którym się ono wychowuje, może wpływać na prawdopodobieństwo zaistnienia takich zaburzeń? Środowisko najpewniej odgrywa w tym przypadku zasadniczą rolę. Z badań wynika bowiem, że nieprawidłowe środowisko rodzinne (obejmujące takie czynniki jak np. rozwód rodziców albo problemy w ich małżeństwie, kłopoty z prawem albo nadużywanie nielegalnych substancji) wyraźnie wpływa na rozwój zaburzeń antyspołecznych, szczególnie u jednostek podatnych genetycznie. Ryzyko przemocy i zachowań agresywnych wzrasta też, jeśli jednostka dorasta w przestępczej grupie rówieśniczej, a w jej otoczeniu występują takie niekorzystne czynniki jak: niski status socjoekonomiczny, brak zorganizowanych struktur społecznych, dostępność narkotyków czy obecność dorosłych będących antywzorcami. zaburzenie osobowości antyspołecznej (ang. antisocial personality disorder) zaburzenie osobowości charakteryzujące się lekceważeniem praw innych ludzi, impulsywnością, nieszczerością, nieodpowiedzialnością i brakiem wyrzutów sumienia zaburzenie osobowości chwiejnej emocjonalnie z pogranicza ( zaburzenie osobowości borderline ) (ang. borderline personality disorder) zaburzenie osobowości charakteryzujące się niestabilnością relacji międzyludzkich, postrzegania siebie i nastroju; charakteryzuje je też impulsywność; kluczowe cechy to: nietolerancja samotności i lęk przed porzuceniem, niestabilne związki, nieprzewidywalne zachowanie i nastroje oraz nasilony, nieadekwatny do sytuacji gniew zaburzenia osobowości (ang. personality disorder) grupa zaburzeń wpisanych do DSM-5, charakteryzująca się sztywnym, dominującym stylem osobowości, znacząco różniącym się od wymagań stawianych przez lokalną kulturę i wywołującym stres i szkody; osobowość jednostek z takimi zaburzeniami często wpędza je w konflikty i ogranicza możliwości nawiązania i utrzymania relacji społecznych", "section": "Zaburzenia osobowości", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wprowadzenie Opracowano wiele form terapii w celu leczenia szerokiego spektrum problemów. Ci marines, którzy służyli w Iraku i Afganistanie, są częścią programu Ocean Therapy w Camp Pendleton, wraz z wolontariuszami pracującymi w tej społeczności troszczącej się o zdrowie psychiczne. Tu nauka surfowania została połączona z dyskusjami grupowymi. Program pomaga odzyskać zdrowie weteranom wojennym, zwłaszcza cierpiącym na zespół stresu pourazowego (PTSD). Co przychodzi ci do głowy, kiedy myślisz o terapii problemów psychicznych? Może wyobrażasz sobie kogoś leżącego na kozetce i opowiadającego o swoim dzieciństwie, podczas gdy terapeuta siedzi i robi notatki, jak Zygmunt Freud. Ale czy możesz sobie wyobrazić sesję terapeutyczną, podczas której osoba poddawana terapii ma na głowie okulary wirtualnej rzeczywistości (okulary VR), aby pokonać strach przed wężami? 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Podwójna diagnoza wśród ludzi chronicznie bezdomnych korzystających z warszawskich placówek dla bezdomnych . Raport z badania agregacyjnego . Warszawa: Fundacja Ius Medicinae, Pobrane z: http://www.czynajpierwmieszkanie.pl/content/uploads/2016/03/raport-z-badania-agregacyjnego-FINAL.pdf.", "section": "Wprowadzenie", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Terapia zaburzeń psychicznych teraz i kiedyś Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, w jaki sposób na przestrzeni wieków leczono osoby cierpiące na zaburzenia psychiczne Omówić deinstytucjonalizację Omówić sposoby świadczenia usług w zakresie zdrowia psychicznego dzisiaj Rozróżnić leczenie dobrowolne i przymusowe Zanim zapoznamy się z różnymi podejściami terapeutycznymi, zacznijmy przyglądanie się terapii od sprawdzenia, ilu ludzi cierpi na choroby psychiczne i ilu jest leczonych. Według Ministerstwa Zdrowia i Pomocy Społecznej Stanów Zjednoczonych (ang. U.S. Department of Health and Human Services ) w roku 2017 w USA zaburzenie psychiczne zdiagnozowano u 18,9% dorosłych. W przypadku nastolatków (w wieku 13–18 lat) odsetek ten był podobny jak u dorosłych, a dane szacunkowe dla dzieci (w wieku 8–15 lat) sugerują, że w tym samym roku zaburzenie psychiczne zdiagnozowano u blisko 13% (Narodowy Instytut Zdrowia Psychicznego, NIMH, 2017). Najnowsze polskie dane pochodzą z szeroko zakrojonego projektu badawczego „Epidemiologia zaburzeń psychiatrycznych i dostępność psychiatrycznej opieki zdrowotnej” realizowanego przez Instytut Psychiatrii i Neurologii w latach 2009–2012. Wynika z niego, że 23,4% osób (tj. blisko 6 mln) w populacji dorosłej (18.–64. rok życia) przejawia min. jedno zaburzenie psychiczne w ciągu życia (EZOP, 2012). Dane dotyczące odsetka dzieci i młodzieży wykazujących zaburzenia psychiczne w stopniu wymagającym pomocy profesjonalnej są dość podobne w wielu krajach i oscylują w granicach 10% populacji ogólnej dzieci i młodzieży. W Polsce odsetek ten wynosi co najmniej 9%, co oznacza, że pomocy systemu lecznictwa psychiatrycznego i psychologicznego wymaga około 630 tys. dzieci i młodzieży poniżej 18. roku życia (Janas-Kozik, 2017). W roku 2015 z takiej pomocy korzystało ponad 143 tys. osób do 18. roku życia, z których ponad 61% stanowili chłopcy. Najczęstszym rozpoznaniem są zaburzenia rozwojowe – dotyczą 62% dzieci i młodzieży (Raport Fundacji „Dajemy Dzieciom Siłę”, 2017). Ile osób dorosłych rocznie korzysta z dostępnych metod terapeutycznych? Według szacunków Urzędu ds. Nadużywania Substancji Psychoaktywnych i Zdrowia Psychicznego (ang. Substance Abuse and Mental Health Services Administration (SAMHSA) ) w roku 2017 z powodu problemów psychicznych leczonych było 14,8% dorosłych (NIMH, 2017). Odsetki przedstawione na odzwierciedlają liczbę dorosłych, którzy byli hospitalizowani lub leczeni ambulatoryjnie i/ lub stosowali leki przepisane przez lekarza z powodu swoich zaburzeń psychicznych. W Polsce ok. 1,6 mln osób leczy się w placówkach psychiatrycznych. Na tej podstawie możemy ocenić, że z pomocy psychiatrycznej w naszym kraju korzysta około 25% osób potrzebujących. Jest to wskaźnik niski, a sytuację opieki zdrowia psychicznego w Polsce określa się jako trudną. W przypadku dzieci i młodzieży mówi się wręcz o sytuacji dramatycznej (Raport Rzecznika Praw Obywatelskich, 2014). Odsetek dorosłych pacjentów, którzy zostali poddani leczeniu psychiatrycznemu w latach 2004–2008; jak widać, w tych latach procent osób dorosłych korzystających z leczenia nieznacznie wzrósł (Źródło: NIMH, b.d., B). Narodowe Badanie Zdrowia i Żywienia ( National Health and Nutrition Examination Survey (NHANES) ) przeprowadzone w 2017 roku przez Centra Kontroli i Prewencji Chorób (ang. Centers for Disease Control and Prevention ) ujawniło, że blisko połowa dzieci z zaburzeniami psychicznymi (50,6%) była poddana leczeniu (NIMH, b.d, C). Występowały jednak różnice między wskaźnikami leczenia a rodzajem zaburzeń ( ). Na przykład w roku 2016 dzieci z zaburzeniami lękowymi były poddawane leczeniu rzadziej niż dzieci z ADHD lub z zaburzeniami zachowania. Czy potrafisz znaleźć prawdopodobne przyczyny tych różnic w częstości terapii? W Stanach Zjednoczonych od około jednej trzeciej do połowy leczonych osób małoletnich (w wieku 8–15 lat) to pacjenci z zaburzeniami psychicznymi; najczęściej leczone są zaburzenia zachowania (Źródło: NIMH, b.d., C). Obecnie dostępnych jest wiele metod leczenia zaburzeń psychicznych. Przyjrzyjmy się historii leczenia zdrowia psychicznego: od przeszłości po czasy współczesne. Leczenie w przeszłości Przez wiele wieków chorzy psychicznie byli traktowani bardzo źle. Uważano, że choroba psychiczna została spowodowana opętaniem przez demony, czarami lub gniewem bożym (Szasz, 1960). Na przykład w średniowieczu odbiegające od normy zachowania były postrzegane jako znak opętania danej osoby przez demony. Jeśli ktoś był uważany za opętanego, istniało kilka form terapii wypędzającej złe duchy. Najczęstszym sposobem leczenia były egzorcyzmy, często przeprowadzane przez kapłanów lub inne osoby duchowne: nad daną osobą odmawiano zaklęcia i modlitwy, a czasami podawano jej napoje lecznicze. Inną formą terapii ciężkich przypadków chorób psychicznych była trepanacja: w czaszce osoby chorej wykonywano mały otwór, aby uwolnić duchy z ciała. Większość osób leczonych w ten sposób umierała. Inne praktyki obejmowały egzekucję lub uwięzienie, zaś pozostali „pacjenci” kończyli jako bezdomni żebracy. Ogólnie rzecz biorąc, większość ludzi wykazujących odbiegające od normy zachowania była nierozumiana i traktowana okrutnie. Dominującą teorią psychopatologii we wczesnych wiekach była idea, że choroba psychiczna jest wynikiem opętania przez złego ducha lub złego boga, ponieważ wczesne wierzenia błędnie przypisywały wszystkie niewyjaśnione zjawiska złym lub dobrym bóstwom. Od końca XV wieku do końca wieku XVII panowało powszechne przekonanie (utrwalone przez niektóre organizacje religijne), że istnieją ludzie zawierający pakty z diabłem i popełniający okropne czyny, takie jak jedzenie dzieci (Blumberg, 2007). Ludzie ci byli uznawani za czarowników lub czarownice, a następnie poddawani procesom i sądzeni — często palono ich na stosie. Szacuje się, że dziesiątki tysięcy osób z zaburzeniami psychicznymi na całym świecie zginęło z powodu oskarżenia o czary lub bycie pod wpływem czarów (Hemphill, 1966). W XVIII wieku osoby, których zachowanie odbiegało od normy (było nietypowe), umieszczano w azylach ( ). Azyle były pierwszymi instytucjami stworzonymi z myślą o zapewnieniu dachu nad głową osobom z zaburzeniami psychicznymi, ale skupiano się w nich nie na leczeniu zaburzeń, lecz na wykluczeniu chorych ze społeczeństwa. Często osoby te były trzymane w lochach bez okien, bite, przykuwane łańcuchami do łóżek i miały niewielki kontakt ze swymi opiekunami lub nie miały go wcale. Ten obraz Francisca Goi, zatytułowany Dom wariatów , przedstawia dom dla obłąkanych i jego mieszkańców na początku XIX wieku. Ukazuje osoby z zaburzeniami psychicznymi jako ofiary. Pod koniec XVIII wieku francuski lekarz Philippe Pinel (1745-1826) przekonywał do bardziej humanitarnego traktowania osób chorych psychicznie. Chciał, aby nie były one unieruchamiane fizycznie oraz aby z nimi rozmawiać. To właśnie zrobił dla swoich pacjentów w La Salpêtrière w Paryżu w 1795 roku ( ). Dzięki humanitarnemu traktowaniu wielu jego pacjentów mogło opuścić szpital. Ten obraz Tony’ego Roberta-Fleury’ego przedstawia dr. Philippe’a Pinela nakazującego usunięcie łańcuchów pacjentom w szpitalu Salpêtrière w Paryżu. Dorothea Dix (1802-1887) zreformowała opiekę psychiatryczną w Stanach Zjednoczonych w XIX wieku ( ). Przyglądała się opiece nad osobami biednymi oraz z trudnościami psychicznymi. Odkryła, że ta populacja wciąż cierpiała z powodu nieuregulowanego i niedofinansowanego systemu (Tiffany, 1891). Przerażona tym, co zaobserwowała, Dix zaczęła lobbować w różnych stanowych organizacjach ustawodawczych i w Kongresie za zmianami (Tiffany, 1891). Jej wysiłki zaowocowały stworzeniem pierwszych zakładów dla osób z zaburzeniami psychicznymi w Stanach Zjednoczonych. Dorothea Dix była reformatorką społeczną i orędowniczką ubogich obłąkanych; przyczyniła się do stworzenia pierwszego amerykańskiego zakładu dla osób z zaburzeniami psychicznymi. Dokonała tego, lobbując nieustępliwie w stanowych organach ustawodawczych i w Kongresie w celu utworzenia i finansowania takich instytucji. Pomimo wysiłków reformatorów typowy amerykański szpital psychiatryczny był brudny, oferował bardzo niewiele możliwości leczenia i często przetrzymywano w nim ludzi przez dziesiątki lat. Na przykład w Centrum Psychiatrycznym w Willard, w północnej części stanu Nowy Jork, jednym z zabiegów było zanurzanie pacjentów w zimnych kąpielach na długi czas. Wiele oddziałów i pokoi było tak zimnych, że do rana mogła tam zamarznąć szklanka wody (Willard Psychiatric Center, 2009). Centrum Psychiatryczne w Willard zamknięto dopiero w 1995 roku. Tego typu warunki powszechnie panowały aż do wieku XX. Od roku 1954 do terapii zaczęto wprowadzać leki antypsychotyczne, które zyskały popularność w latach 60. XX wieku. Okazały się one ogromną pomocą w kontrolowaniu objawów niektórych zaburzeń psychicznych, na przykład psychozy. Psychoza była powszechną diagnozą wśród osób przebywających w szpitalach psychiatrycznych i zwykle objawiała się takimi symptomami jak halucynacje i urojenia, które wskazywały na utratę kontaktu z rzeczywistością. W 1963 roku Kongres uchwalił, a John F. Kennedy podpisał Ustawę o obiektach dla osób z zaburzeniami psychicznymi oraz o budowaniu lokalnych ośrodków zdrowia psychicznego; zapewniła ona federalne wsparcie i finansowanie wspólnotowym ośrodkom zdrowia psychicznego (National Institutes of Health, 2013). Ta ustawa zmieniła sposób świadczenia usług w zakresie zdrowia psychicznego w Stanach Zjednoczonych. W ten sposób rozpoczęła się deinstytucjonalizacja (ang. deinstitutionalization ), proces zamykania dużych szpitali psychiatrycznych, umożliwiający ludziom pozostanie we własnych społecznościach i leczenie na miejscu. Ośrodki zdrowia psychicznego dzisiaj Obecnie w Stanach Zjednoczonych istnieją lokalne ośrodki zdrowia psychicznego, które znajdują się w pobliżu domów pacjentów; zapewniają one różnego rodzaju usługi z zakresu zdrowia psychicznego oraz rozwiązywania rozmaitych problemów. Deinstytucjonalizacja po części polegała na tym, że pacjenci zwolnieni ze szpitali mieli iść do nowo utworzonych ośrodków, ale niestety system nie został wprowadzony skutecznie. Ośrodki były niedofinansowane, personel nie został przeszkolony do radzenia sobie z poważnymi zaburzeniami, takimi jak schizofrenia, doszło do wypalenia zawodowego pracowników, a także nie zapewniono chorym pozostałych potrzebnych usług, takich jak mieszkanie, wyżywienie i szkolenie zawodowe. Bez tego wsparcia osoby, które wyszły ze szpitali w ramach deinstytucjonalizacji, często kończyły jako bezdomne. Nawet dzisiaj duża część bezdomnych to osoby z zaburzeniami psychicznymi ( ). Statystyki pokazują, że 26% dorosłych bezdomnych mieszkających w schroniskach ma trudności psychiczne (HUD, 2011). Dane polskie również pokazują silne skorelowanie bezdomności i zaburzeń psychicznych, tj. z jednej strony osoby z trudnościami psychicznymi są w większym stopniu zagrożone bezdomnością – chodzi tu głównie o ciężkie zaburzenia, jak zaburzenia psychotyczne. Z drugiej, bezdomność sprzyja rozwojowi i pogłębianiu się trudności psychicznych, np. alkoholizmu. Statystyki są podobne jak w badaniach amerykańskich i szacują częstość zaburzeń psychicznych (w tym niezdiagnozowanych) u osób bezdomnych na blisko 30 % (Raport Fundacja Ius Medicinae, 2016). (a) Blisko jedna czwarta bezdomnych w schroniskach w USA to osoby z poważnymi zaburzeniami psychicznymi (HUD, 2011). (b) Również zakłady karne zgłaszają dużą liczbę osób z trudnościami psychicznymi. (Źródło: (a) fotografia autorstwa C.G.P. Greya; (b) zdjęcie autorstwa Barta Eversona). Inna grupa populacji chorych psychicznie znajduje się w amerykańskich zakładach poprawczych. Według badań „osoby z trudnościami psychicznymi dwa do czterech razy (w porównaniu z populacją ogólną) częściej mają na koncie wyrok w zawieszeniu lub zwolnienie warunkowe” (Prins i Draper, 2009, s. 23). Również w Polsce istnieje problem osób z niepełnosprawnością intelektualną i psychiczną przebywających w więzieniach. Wg Adama Bodnara, rzecznika praw obywatelskich w latach 2015-2021, brak systemowych rozwiązań dla tych osób, będących uczestnikami postępowania karnego, jest jednym z największych zagrożeń z punktu widzenia przestrzegania praw człowieka i obywatela. Osobnym problemem są zaburzenia psychiczne, które rozwijają się lub ujawniają (np. zaburzenia psychotyczne) w trakcie odbywania kary. Skala tego zjawiska jest trudna do oszacowania. W Polsce osoba przebywająca w więzieniu praktycznie nie ma szans na odpowiednią opiekę psychiatryczną. Brakuje przywięziennych oddziałów szpitalnych prowadzących całodobową opiekę psychiatryczną – są w pięciu jednostkach penitencjarnych i dysponują łącznie zaledwie 66 miejscami. W tych, które istnieją, nie ma zwykle odpowiednich warunków do rehabilitacji i leczenia, bo przeznaczone są przede wszystkim do obserwacji i stwierdzania poczytalności. „Chorzy często nie mają tam dostępu do żadnej formy leczenia poza przyjmowaniem leków” (Raport Rzecznika Praw Obywatelskich, 2017). Dziś zamiast azylów istnieją szpitale psychiatryczne, które w Stanach Zjednoczonych skupiają się głównie na opiece krótkoterminowej. Średni czas pobytu wynosi mniej niż dwa tygodnie, a często ogranicza się do kilku dni. Wynika to częściowo z bardzo wysokich kosztów hospitalizacji psychiatrycznej (Stensland et al., 2012), dlatego zakłady ubezpieczeń pokrywające koszt hospitalizacji często ograniczają ten czas do minimum. Zazwyczaj ludzie są umieszczani w szpitalach psychiatrycznych tylko wtedy, gdy stanowią bezpośrednie zagrożenie dla siebie lub innych. W Polsce brakuje dobrze zorganizowanej opieki środowiskowej dla osób z trudnościami psychicznymi, tj. dostępnej lokalnie w ich miejscu zamieszkania. Niepotrzebnie wydłuża to pobyty w szpitalach psychiatrycznych, które i tak często są przepełnione. Polska ze wskaźnikiem hospitalizacji psychiatrycznej 145 na 100 tys. mieszkańców jest tylko nieco powyżej średniej europejskiej, ale czas hospitalizacji wynosi u nas ponad dwa miesiące i należy do najdłuższych w Europie (Raport Rzecznika Praw Obywatelskich, 2014). Osoba szukająca pomocy może udać się do lekarza pierwszego kontaktu lub bezpośrednio do lekarza psychiatry (nie jest potrzebne skierowanie). Skierowanie od lekarza POZ lub psychiatry jest natomiast wymagane w przypadku chęci odbycia konsultacji lub psychoterapii. Większość osób z zaburzeniami psychicznymi nie przebywa w szpitalach psychiatrycznych. Część osób trafia na terapię nie tyle z własnej woli, ile pod wpływem różnych instytucji. Niektórzy rodzice mogą mieć trudności z pełnieniem obowiązków wychowawczych (np. zaniedbywać czy wręcz stosować przemoc względem dzieci). W takich przypadkach na terapię mogą skierować ich organy powołane do ochronny praw dziecka (np. sąd rodzinny). Zdarza się, że rodzice są kierowani do ośrodków psychiatrycznych lub leczenia uzależnień, a dzieci mogą otrzymać pomoc w radzeniu sobie z przeżytą traumą. Wskazana byłaby też pomoc terapeutyczna dla dzieci w procesie przysposobienia do życia w rodzinie zastępczej lub adopcyjnej ( ). Terapia dzieci na ogół wiąże się z zabawą. (Źródło: „LizMarie_AK”/Flick4). Dla niektórych ludzi uczestniczenie w cotygodniowych sesjach terapeutycznych może być ustanowionym przez sąd warunkiem zwolnienia warunkowego. Jeśli dany człowiek bierze udział w terapii nie z własnej woli, to korzysta z tych usług przymusowo (tzw. leczenie przymusowe (ang. involuntary treatment ). Leczenie dobrowolne (ang. voluntary treatment ) oznacza, że dana osoba wybiera się na terapię z własnej nieprzymuszonej woli. Dobra wiadomość jest taka, że część osób, które rozpoczęły terapię przymusowo, z czasem zauważa jej sens i kontynuuje ją z własnej woli. Leczenie psychoterapeutyczne może odbywać się w różnych miejscach. W Polsce osoba zainteresowana skorzystaniem z terapii w ramach ubezpieczenia zdrowotnego może udać się do lokalnej poradni zdrowia psychicznego. Na terapię można też dostać się w ramach dziennych oddziałów psychiatrycznych, przy czym terapia tam najczęściej ma charakter grupowy. Część ośrodków prywatnych dysponuje też pulą miejsc na terapię (indywidualną i grupową) w ramach kontraktów podpisanych z Narodowym Funduszem Zdrowia. Podstawowym problemem w przypadku terapii refundowanej jest długi czas oczekiwania, dochodzący nierzadko do kilkunastu miesięcy. Alternatywę stanowi skorzystanie z terapii prowadzonej odpłatnie. W tym przypadku oczywistą konsekwencją są dodatkowe koszta. Znalezienie pomocy nie zawsze jest łatwe: możliwości mogą być ograniczone, szczególnie na terenach wiejskich i w mniejszych miastach. Obecnie nawet w dużych miastach i w placówkach prywatnych istnieją listy oczekujących na terapię. Wielu osób najzwyczajniej nie stać na pokrycie kosztów pomocy psychologicznej lub psychiatrycznej (w 2020 r. koszt jednej wizyty terapeutycznej wynosił ok. 150 złotych). W przypadku terapii refundowanej przez NFZ podstawowym problemem jest długi czas oczekiwania na wizytę. Ponadto pomoc psychologiczna w ramach NFZ najczęściej oferowana jest w godzinach porannych bądź w środku dnia, co dla części osób oznacza konieczność zwalniania się z pracy, a dla pozostałych czyni taką terapię niedostępną. Podsumowanie Kiedyś wierzono, że osoby z zaburzeniami psychicznymi lub osoby wykazujące odbiegające od normy zachowania są opętane przez demony. Ludzie ci byli zmuszani do udziału w egzorcyzmach, więzieni lub zabijani. Później zbudowano azyle dla osób z zaburzeniami psychicznymi, ale wciąż ich pacjenci nie byli leczeni wcale lub tylko w bardzo małym stopniu, a wiele ze stosowanych metod było okrutnych. Philippe Pinel i Dorothea Dix opowiadali się za bardziej humanitarnym traktowaniem osób z zaburzeniami psychicznymi. W połowie lat sześćdziesiątych ubiegłego wieku zyskał poparcie ruch deinstytucjonalizacyjny, który sprawił, że szpitale dla psychicznie chorych zostały zamknięte, co umożliwiło pacjentom powrót do domów i leczenie we własnych społecznościach. Niektóre osoby wróciły do domów rodzinnych, ale wiele straciło dach nad głową z powodu braku funduszy i systemów wsparcia. Większość osób z trudnościami psychicznymi nie jest hospitalizowana. Pacjent zmagający się z objawami może porozmawiać z lekarzem pierwszego kontaktu lub z lekarzem psychiatrą, który najprawdopodobniej skieruje go do osoby specjalizującej się w terapii. Osoba cierpiąca może korzystać z ambulatoryjnych usług leczenia zdrowia psychicznego na różne sposoby, np. w formie konsultacji u psychologów, psychiatrów, terapeutów małżeńskich i rodzinnych, pedagogów szkolnych. Problemem w Polsce pozostaje niska dostępność terapii w ramach NFZ. Review Questions Która z poniższych osób nie popierała humanitarnego traktowania i lepszego leczenia osób chorych psychicznie? Philippe Pinel średniowieczni kapłani Dorothea Dix wszystkie osoby wymienione powyżej B Proces zamykania dużych szpitali psychiatrycznych oraz zapewniania ludziom możliwości przebywania w swoich społecznościach i leczenia lokalnego jest znany jako ________. deinstytucjonalizacja egzorcyzm dezaktywacja decentralizacja A Joey został skazany za przemoc domową. Wyrokiem sądowym sędzia nakazał mu udział w terapii panowania nad gniewem. Nazywamy to leczeniem ________. przymusowym dobrowolnym wymuszonym obowiązkowym A Obecnie większość osób z problemami psychicznymi nie jest hospitalizowana. Zazwyczaj są umieszczane w szpitalach tylko wtedy, gdy ________. mają schizofrenię są ubezpieczone są bezpośrednim zagrożeniem dla siebie lub innych wymagają terapii C Critical Thinking Questions Ludzie z zaburzeniami psychicznymi byli źle traktowani przez całe wieki. Opisz niektóre wysiłki mające na celu poprawę leczenia psychiatrycznego. Wyjaśnij, dlaczego odniosły one pozytywny skutek lub skończyły się niepowodzeniem. Od średniowiecza aż do połowy XX wieku chorzy psychicznie byli nierozumiani i traktowani okrutnie. W XVIII wieku Philippe Pinel postulował uwolnienie pacjentów z łańcuchów i wprowadził to w prowadzonym przez siebie paryskim szpitalu. W wieku XIX Dorothea Dix nawoływała rząd do zapewnienia lepiej finansowanej i regulowanej opieki, co doprowadziło do utworzenia szpitali psychiatrycznych, ale mimo to leczenie nadal było raczej nieefektywne. W latach 60. ubiegłego wieku deinstytucjonalizacja nakazana przez rząd federalny zapoczątkowała likwidację szpitali psychiatrycznych, ale często nie udało się zapewnić w to miejsce wystarczającej infrastruktury do leczenia zastępczego. Zazwyczaj umieszcza się daną osobę w szpitalu tylko wtedy, gdy stanowi bezpośrednie zagrożenie dla siebie lub innych. Opisz sytuację, która spełniałaby te kryteria. Frank jest poważnie przygnębiony. Rok temu stracił pracę i nie potrafił znaleźć innej. Kilka miesięcy po utracie pracy jego dom został przejęty za niespłacone raty, a żona Franka opuściła go. Ostatnio pomyślał, że lepiej będzie zakończyć życie. Zaczął rozdawać swoje rzeczy i kupił pistolet. Planuje się zabić w dwudziestą rocznicę swojego ślubu, która nadejdzie za kilka tygodni. Personal Application Questions Czy uważasz, że obecnie osoby z zaburzeniami psychicznymi są stygmatyzowane? Dlaczego tak lub dlaczego nie? Czy w twojej miejscowości są placówki, które oferują usługi w zakresie poprawy zdrowia psychicznego? Czy byłoby dla ciebie komfortowe poszukać pomocy w jednym z tych obiektów? Uzasadnij odpowiedź. szpital psychiatryczny (ang. psychiatric hospital ) instytucja powołana w celu hospitalizacji pacjentów z zaburzeniami psychicznymi deinstytucjonalizacja (ang. deinstitutionalization ) proces zamykania dużych szpitali psychiatrycznych i włączania osób z trudnościami psychicznymi w życie lokalnych społeczności, z jednoczesnym zapewnieniem im leczenia leczenie przymusowe (ang. involuntary treatment ) leczenie wdrożone na podstawie wyroku sądu lub innych upoważnionych instytucji leczenie dobrowolne (ang. voluntary treatment ) terapia, w której pacjent z własnej woli decyduje się uczestniczyć, by poradzić sobie ze swoimi problemami/objawami trudności psychicznych", "section": "Terapia zaburzeń psychicznych teraz i kiedyś", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Techniki terapeutyczne Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozróżnić psychoterapię i terapię biomedyczną Rozpoznać różne orientacje psychoterapii Omówić leki psychotropowe i rozpoznaj, które leki są stosowane w leczeniu określonych zaburzeń psychicznych Jednym z celów terapii jest pomoc człowiekowi w zaprzestaniu powtarzania i odtwarzania destrukcyjnych wzorców oraz wsparcie go w poszukiwaniu rozwiązań trudnych sytuacji. Cel ten znajduje odzwierciedlenie w następującym wierszu Portii Nelson (1993): Autobiografia w pięciu krótkich rozdziałach. Rozdział pierwszy Idę ulicą. W chodniku jest głęboka dziura. Wpadam w nią. Jestem zagubiona... i bezradna. Lecz to nie jest moja wina. Wydostanie się z tej dziury zabiera całą wieczność. Rozdział drugi W chodniku jest głęboka dziura. Udaję, że jej nie widzę. I znowu w nią wpadam. Nie mogę uwierzyć, że jestem w tym samym miejscu. Ale przecież to nie moja wina. Wydostanie się z dziury ciągle zabiera bardzo dużo czasu. Rozdział trzeci Idę tą samą ulicą. W chodniku jest głęboka dziura. Widzę ją. Jednak znowu w nią wpadam... to przyzwyczajenie... ale wiem już o wiele więcej. Wiem, gdzie jestem. Tym razem to moja wina. Wydostaję się natychmiast. Rozdział czwarty Idę tą samą ulicą. W chodniku jest głęboka dziura. Obchodzę ją dookoła. Rozdział piąty: Idę inną ulicą. Są dwa rodzaje terapii: psychoterapia i terapia medyczna. Oba te rodzaje leczenia pomagają osobom z zaburzeniami psychicznymi, takimi jak depresja, lęk czy schizofrenia. Psychoterapia (ang. psychotherapy ) to leczenie psychiatryczne, które wykorzystuje różne metody, aby pomóc człowiekowi przezwyciężyć problemy osobiste i/ lub osiągnąć osobisty rozwój. Terapia medyczna (ang. biomedical therapy ) obejmuje leki i/lub procedury medyczne w leczeniu zaburzeń psychicznych. Najpierw przeanalizujemy różne nurty psychoterapeutyczne przedstawione w (wiele z nich omówiono w pierwszym rozdziale Wstęp do psychologii). Wybrane szkoły psychoterapeutyczne. Rodzaj Opis Przykład Psychoterapia psychodynamiczna terapia przez rozmowę, oparta na przekonaniu, że doświadczenia z dzieciństwa (nierozwiązane, nieświadome konflikty psychiki) wpływają na zachowanie pacjent opowiada o swojej przeszłości Terapia zabawą terapia, w której zamiast rozmowy stosuje się interakcję z dzieckiem przy pomocy zabawek; stosowana w terapii dzieci pacjent (dziecko) odtwarza sceny rodzinne za pomocą lalek Terapia behawioralna zasady uczenia się stosowane do zmiany niepożądanych zachowań pacjent uczy się przezwyciężać lęk przed windami poprzez kilka etapów technik relaksacyjnych i ekspozycyjnych Psychoterapia kognitywna (poznawcza) świadomość procesu poznawczego pomaga pacjentom eliminować wzorce myślowe prowadzące do cierpienia pacjent uczy się, by nie uogólniać przekonania o porażce na podstawie pojedynczego zdarzenia Terapia poznawczo-behawioralna praca nad zmianą niesłużących wzorców myślenia i zachowania, przynoszących cierpienie i inne niepożądane konsekwencje pacjent z zaburzeniami odżywiania uczy się rozpoznawać i zmieniać niesłużące wzorce zachowań związanych z posiłkami Terapia humanistyczna zwiększenie samoświadomości i akceptacji poprzez skupienie się na myślach świadomych pacjent uczy się wyrażać myśli, które uniemożliwiają osiągnięcie danych celów Techniki psychoterapeutyczne: psychoanaliza Psychoanalizę (ang. psychoanalysis ) opracował Zygmunt Freud (1856–1939) i była ona pierwszą formą psychoterapii. Na początku XX wieku była to dominująca technika terapeutyczna, ale od tego czasu znacznie straciła na popularności. Freud wierzył, że większość naszych problemów psychicznych jest wynikiem tłumionych impulsów i traum doświadczanych w dzieciństwie, sądził też, że psychoanaliza pomoże odkryć te głęboko ukryte uczucia. W gabinecie psychoanalitycznym można zobaczyć pacjentów leżących na kozetce, opowiadających swoje sny lub wspomnienia z dzieciństwa, podczas gdy terapeuta stosuje różne metody freudowskie, np. swobodne (wolne) skojarzenia i analizę snów ( ). Wolne skojarzenia (ang. free association ) to metoda, w której pacjent rozluźnia się, a następnie mówi, co w danej chwili przychodzi na myśl. Freud czuł jednak, że ego może czasami próbować blokować lub tłumić nieakceptowane pragnienia lub bolesne konflikty nawet podczas swobodnego kojarzenia. W rezultacie tego blokowania pacjent może wykazywać opór przed przywołaniem tych myśli lub sytuacji. Analiza snów (ang. dream analysis ) to metoda interpretowania przez terapeutę ukrytego znaczenia snów. Psychoanaliza to podejście terapeutyczne, które zwykle zajmuje lata. Z biegiem czasu pacjent ujawnia terapeucie wiele informacji o sobie. Freud zasugerował, że pacjent podczas tej relacji rozwija silne uczucia do terapeuty — mogą być one pozytywne, ale mogą też być negatywne. Tak działa przeniesienie (ang. transference ), nazwane tak przez Freuda: pacjent przenosi wszystkie pozytywne lub negatywne emocje związane z innymi, ważnymi dla niego relacjami na psychoanalityka. Przykładowo Crystal chodzi do psychoanalityka. Przez lata terapii postrzega terapeutę jako postać ojca. Crystal przenosi uczucia dotyczące swojego ojca na terapeutę, być może w celu zdobycia miłości i uwagi, których nie otrzymała od własnego ojca. To słynna kozetka w gabinecie Freuda. Pacjentów pouczono, aby kładli się wygodnie na niej, tyłem do Freuda, aby czuli się mniej skrępowani i aby mogli się skupić. Dzisiaj pacjenci psychoterapii raczej nie leżą na kozetce; zamiast tego najczęściej siadają naprzeciwko terapeuty (Prochaska i Norcross, 2010). (Źródło: Robert Huffstutter). Dziś perspektywa psychoanalityczna Freuda została poszerzona o kolejne teorie i metody, a taką jest m.in. perspektywa psychodynamiczna (ang. psychodynamic ). To podejście terapeutyczne nadal skoncentrowane jest na roli wewnętrznych popędów i sił ludzi, ale leczenie jest mniej intensywne niż w oryginalnej metodzie Freuda. Psychoterapia: terapia zabawą Terapia zabawą (ang. play therapy ) jest często stosowana u dzieci, ponieważ raczej nie usiedzą one na kozetce i nie przypomną sobie swoich snów ani nie zaangażują się w tradycyjną terapię mówioną. Ta technika wykorzystuje terapeutyczny proces zabawy, aby „pomóc pacjentom w zapobieganiu problemom psychospołecznym i ich rozwiązywaniu oraz w osiąganiu optymalnego rozwoju” (O’Connor, 2000). Polega ona na tym, że dzieci, bawiąc się lalkami, pluszakami i zabawkami w piaskownicy, „odgrywają” swoje nadzieje, fantazje i traumy ( ). Terapię zabawą może również zastosować terapeuta do postawienia diagnozy – obserwuje, jak dziecko wchodzi w interakcje z zabawkami (np. lalkami, zwierzętami i domkiem) i stara się zrozumieć przyczyny zaburzeń w jego zachowaniu. Terapia zabawą może być niedyrektywna lub dyrektywna. W niedyrektywnej terapii zachęca się dzieci do rozwiązywania problemów poprzez swobodną zabawę, a terapeuta występuje w roli obserwatora (LeBlanc i Ritchie, 2001). W dyrektywnej terapii podczas sesji zabawowej terapeuta dba o strukturę spotkania, dając wskazówki, sugerując tematy, stawiając pytania, a nawet bawiąc się razem z dzieckiem (Harter, 1977). Ten rodzaj terapii zabawą jest znany jako terapia w piaskownicy. Dzieci mogą stworzyć trójwymiarowy świat, używając różnych przedmiotów odpowiadających ich wewnętrznemu stanowi (Kalff, 1991). (Źródło: Kristina Walter). Psychoterapia: terapia behawioralna Psychoanaliza (ang. psychoanalysis) to proces, w którym terapeuci pomagają swoim pacjentom spojrzeć w przeszłość, aby odkryć ich stłumione uczucia. Terapia behawioralna (ang. behavior therapy ) zaś to proces, w którym terapeuta stosuje zasady uczenia się, aby pomóc pacjentom zmienić niepożądane zachowania — zamiast zagłębiać się w ich podświadomość. Terapeuci z tej szkoły uważają, że zachowania dysfunkcyjne, np. fobie i moczenie nocne, można zmienić, ucząc pacjentów nowych, bardziej konstruktywnych zachowań. W tym celu terapia behawioralna korzysta zarówno z warunkowania klasycznego (ang. classical conditioning ), jak i warunkowania sprawczego (ang. operant conditioning ). Pewien rodzaj terapii behawioralnej używa klasycznych technik warunkowania. Terapeuci stosujący te techniki uważają, że zachowania dysfunkcyjne są odruchami warunkowymi (ang. conditioned response ). Stosując zasady warunkowania odkryte przez Iwana Pawłowa (1849-1936), terapeuci starają się „przewarunkować” swoich klientów, czyli zmienić ich zachowanie. Emmie ma osiem lat i często moczy łóżko w nocy. Została zaproszona na kilka noclegów u koleżanek, ale nie chciała pójść z powodu swojego problemu. Stosując pewien rodzaj terapii warunkowej, zaproponowano Emmie sypianie na podkładce wrażliwej na działanie płynów, która jest podpięta do alarmu. Kiedy wilgoć dociera do podkładki, uruchamia alarm, budząc Emmie. Kiedy proces ten powtarza się wystarczająco wiele razy, Emmie odkrywa skojarzenie między oddawaniem moczu a budzeniem się, co powstrzymuje jej moczenie nocne. Minęły już trzy tygodnie, odkąd Emmie nie zmoczyła łóżka, i nie może się doczekać pierwszego noclegu u koleżanki w ten weekend. Jedną z powszechnie stosowanych technik terapeutycznych klasycznie warunkujących jest przeciwwarunkowanie (ang. counterconditioning ) (albo: przewarunkowanie ) – pacjent poznaje nową reakcję na bodziec, który w przeszłości wywoływał zachowania niepożądane. Dwa rodzaje technik przeciwwarunkowania to: warunkowanie awersyjne i ekspozycja. Warunkowanie awersyjne (ang. aversive conditioning ) stosuje nieprzyjemny bodziec, aby powstrzymać zachowanie niepożądane. Terapeuci używają tej techniki w celu wyeliminowania zachowań uzależniających, np. palenia, obgryzania paznokci i nadmiernego picia alkoholu. W terapii awersyjnej, kiedy klienci wykazują określone zachowanie (na przykład obgryzanie paznokci), są narażeni na coś nieprzyjemnego, np. strzelenie gumką recepturką w rękę lub niesmak w ustach. Dzięki utrwalającemu się skojarzeniu nieprzyjemnego bodźca z zachowaniem pacjent może nauczyć się powstrzymywać niechciane zachowanie. Terapia awersyjna jest od wielu lat stosowana w leczeniu alkoholizmu (Davidson, 1974; Elkins, 1991; Streeton i Whelan, 2001). Jedną z metod było użycie disulfiramu. Połączenie tej substancji ze spożywaniem alkoholu miało wywoływać nieprzyjemne skutki uboczne: nudności, wymioty, przyspieszenie akcji serca, kołatanie serca, silny ból głowy i duszności. Obecnie jednak stosowanie tej terapii nie jest zalecane ze względu na możliwość wystąpienia silnych powikłań a nawet zgonu. Leczenia tym preparatem nie zaleca się również dlatego, że podawanie go utrudnia a czasem uniemożliwia psychoterapię oraz uprzedmiotawia pacjenta. Terapia ekspozycyjna (ang. exposure therapy ) polega na tym, że terapeuta stara się leczyć lęki lub obawy pacjentów, stawiając ich w obliczu zagrażającego przedmiotu lub sytuacji w celu stopniowego oswajania. Można tego dokonać w rzeczywistości, w wyobraźni lub poprzez rzeczywistość wirtualną. O terapii ekspozycji po raz pierwszy usłyszano w 1924 roku od Mary Cover Jones (1897-1987), pracującej z chłopcem o imieniu Peter, który bał się królików. Jej celem było zastąpienie lęku Petera przed królikami warunkową reakcją relaksacji będącą reakcją sprzeczną ze strachem ( ). Jak to zrobiła? Jones zaczęła od umieszczenia królika w klatce po drugiej stronie pokoju, w którym chłopiec jadł podwieczorek. W ciągu kilku dni Jones przesuwała królika coraz bliżej miejsca, gdzie Peter siedział ze swoją przekąską. Po dwóch miesiącach kontaktu z królikiem podczas relaksu przy podwieczorku Peter potrafił już nawet trzymać i głaskać królika podczas jedzenia (Jones, 1924). Terapia ekspozycyjna ma na celu zmianę reakcji na bodziec warunkowy. Bodziec bezwarunkowy jest prezentowany nieustająco bezpośrednio po ukazaniu bodźca warunkowego. To równanie pokazuje uwarunkowania przeprowadzone w badaniu Mary Cover Jones z 1924 roku. Trzydzieści lat później Joseph Wolpe (1958) udoskonalił techniki Jones, rozwijając metodę terapii behawioralnej — ekspozycję. Popularną formą terapii ekspozycyjnej jest systematyczna desensytyzacja / systematyczne odwrażliwianie (ang. systematic desensitization ), w którym łączy się bodźce wywołujące lęk z reakcją relaksacji. Chodzi o to, że nie możesz jednocześnie denerwować się i relaksować. Dlatego kiedy nauczysz się relaksować, napotykając bodźce środowiskowe, które cię denerwują lub przerażają, możesz w końcu wyeliminować niechcianą reakcję strachu (Wolpe, 1958) ( ). Ta osoba cierpi na arachnofobię (strach przed pająkami). Poprzez terapię ekspozycyjną uczy się, jak stawić czoła lękowi w kontrolowanym otoczeniu terapeutycznym. (Źródło: „GollyGforce – Living My Worst Nightmare”/Flickr). Jak działa terapia ekspozycyjna? Jayden boi się jeździć windą. W windzie nigdy nie spotkało go nic złego, ale tak bardzo się boi, że zawsze chodzi schodami. Nie stanowiło to problemu, gdy mężczyzna ten pracował na drugim piętrze biurowca, ale teraz ma nową pracę — na 29. piętrze wieżowca w centrum Los Angeles. Jayden zdaje sobie sprawę z tego, że w drodze do pracy nie może wspinać się po 29 piętrach każdego dnia, dlatego postanowił poprosić o pomoc terapeutkę behawioralną. Terapeutka najpierw poprosiła Jaydena, aby stworzył hierarchię sytuacji związanych z windą, które wywołują strach i niepokój. Uporządkowali je wspólnie od sytuacji łagodnego niepokoju, takich jak nerwowość przy innych osobach w windzie, przez lęk przed utknięciem ręki w drzwiach, po sytuacje wywołujące panikę, np. uwięzienie lub pęknięcie sznura mocującego windę. Następnie terapeutka zastosowała relaksację progresywną. Nauczyła Jaydena, jak rozluźnić każdą grupę mięśni, aby zdołał osiągnąć senny, zrelaksowany i komfortowy stan umysłu. Gdy jej klient osiągnął już ten stan, został poproszony, aby wyobraził sobie sytuację łagodnie niepokojącą: np. Jayden stojący przed windą i myślący o naciśnięciu przycisku przywołującego. Kiedy ta scenka wywoływała jego niepokój, Jayden miał to zgłaszać poprzez podniesienie palca. Wtedy terapeutka nakazywała pacjentowi, aby zapomniał o tej scenie, i wprowadzała go w stan relaksu. Powtarzali oboje ten scenariusz w kółko, aż Jayden mógł bez obaw wyobrazić sobie, że naciska guzik. Używając progresywnego relaksu i wyobraźni, terapeutka i pacjent stopniowo przeszli przez wszystkie sytuacje w jego hierarchii, dopóki Jayden nie odwrażliwił się na każdą z nich. W końcu pacjent z terapeutką zaczęli ćwiczyć to, nad czym wcześniej Jayden pracował wyobrażeniowo, stopniowo przechodząc od naciśnięcia prawdziwego przycisku do rzeczywistej jazdy windą. Wkrótce osiągnęli cel: Jayden mógł wjeżdżać windą aż na 29. piętro swojego biura, nie odczuwając przy tym żadnego niepokoju. Czasami odtwarzanie sytuacji wywołującej lęk jest mało praktyczne, kosztowne lub krępujące, więc terapeutę może wspomóc terapia ekspozycji w wirtualnej rzeczywistości (ang. virtual reality exposure therapy ), która pomoże pokonać lęki za pomocą symulacji. Ekspozycja w wirtualnej rzeczywistości jest skutecznie stosowana w leczeniu licznych zaburzeń lękowych, takich jak lęk przed wystąpieniami publicznymi, klaustrofobia (lęk przed zamkniętymi przestrzeniami), awiofobia (lęk przed lataniem), zespół stresu pourazowego (PTSD), w przypadku traumy oraz zaburzeń związanych ze stresem (Gerardi et al., 2010). Nowa terapia ekspozycji w rzeczywistości wirtualnej jest stosowana w leczeniu PTSD u żołnierzy. „Wirtualny Irak” to symulacja naśladująca miasta i drogi pustynne na Bliskim Wschodzie w sytuacjach podobnych do tych doświadczanych przez żołnierzy podczas ich służby w Iraku. Metoda ekspozycji w wirtualnej rzeczywistości jest skuteczną terapią w leczeniu zespołu stresu pourazowego u weteranów wojennych. Około 80% uczestników, którzy ukończyli leczenie, wykazywało klinicznie istotne zmniejszenie objawów PTSD, lęku i depresji (Rizzo et al., 2010). Zobacz ten film przedstawiający żołnierzy leczonych za pomocą symulacji. Niektóre terapie behawioralne wykorzystują warunkowanie sprawcze. Przypomnij sobie dotychczas przyswojoną wiedzę o warunkowaniu sprawczym. Człowiek ma tendencję do powtarzania wzmocnionych zachowań. Co dzieje się z zachowaniami, które nie są wzmacniane? Wygasają. Zasadę tę, zdefiniowaną przez Skinnera jako warunkowanie sprawcze, można zastosować, aby pomóc osobom o wielu różnych problemach psychicznych. Na przykład techniki warunkowania sprawczego zaprojektowane w celu wzmocnienia pozytywnych zachowań i karania zachowań niepożądanych były skutecznym behawioralnym narzędziem pomagającym dzieciom z autyzmem (Lovaas, 1987, 2003; Sallows i Graupner, 2005; Wolf i Risley, 1967). Ta metoda nazywana jest stosowaną analizą zachowania (ang. applied behavior analysis ). W tym modelu leczenia wzmocnienia charakterystyczne dla dzieci (np. naklejki, pochwały, cukierki, gumy do żucia i dodatkowy czas zabawy) są wykorzystywane do nagradzania i motywowania dzieci autystycznych, gdy wykazują pożądane zachowania, np. siadanie na krześle na żądanie, pozdrowienie werbalne lub nawiązanie kontaktu wzrokowego. W celu zniechęcenia do niepożądanych zachowań, takich jak szczypanie, drapanie i ciągnięcie za włosy, może zostać wykorzystane karanie, np. metodą wyciszenia (koniec czasu na zabawę/ karny jeżyk/ izolacja) czy krótkiego „nie!” ze strony terapeuty lub rodzica. Jedną z popularnych interwencji warunkowania sprawczego jest metoda żetonowa (ang. token economy ). Wykorzystuje się ją do kontrolowania otoczenia tak, by pożądane zachowania były wzmacniane za pomocą przyznawania żetonów (podobnych do żetonów pokerowych), które można wymieniać na przedmioty lub przywileje. Metodę żetonową często stosuje się w szpitalach psychiatrycznych w celu zwiększenia współpracy pacjentów i ich aktywności. Pacjenci są nagradzani żetonami, gdy angażują się w pozytywne zachowania (np. słanie łóżek, mycie zębów, przychodzenie na czas do stołówki i utrzymywanie kontaktów towarzyskich z innymi pacjentami). Mogą następnie wymienić żetony na dodatkowy czas telewizyjny, prywatne pokoje, wizyty na stołówce i temu podobne przywileje (Dickerson et al., 2005). Psychoterapia: terapia poznawcza (kognitywna) Terapia poznawcza (ang. cognitive therapy ) analizuje, w jaki sposób myśli człowieka prowadzą go do cierpienia. Główne założenie terapii poznawczej polega na tym, że to, jak myślisz, determinuje twoje samopoczucie i zachowanie. Terapeuci kognitywni pomagają swoim klientom zmieniać dysfunkcyjne myśli w celu złagodzenia cierpienia. Wspierają swoich podopiecznych w procesie uświadamiania sobie negatywnych interpretacji i zniekształceń poznawczych. Przykładem może być nadmierne uogólnianie: skoro Ray nie zaliczył jednego egzaminu na studiach psychologicznych, uważa się za głupiego i bezwartościowego. Te myśli powodują, że jego nastrój się pogarsza. Terapeuci uczą klientów rozpoznawać wyolbrzymianie przez nich pewnych spraw. Ponieważ Ray nie zdał egzaminu z psychologii, doszedł do wniosku, że nie zdoła zaliczyć całego kursu i prawdopodobnie wyleci ze studiów. Ten błąd w rozumowaniu przyczynił się do odczuwania przez niego cierpienia. Jego terapeuta pomaga mu zakwestionować te irracjonalne przekonania, skoncentrować się na ich nielogicznych podstawach, po czym zastąpić je myślami i przekonaniami logicznymi i zgodnymi z rzeczywistością . Terapię poznawczą opracował psychiatra Aaron Beck (ur. 1921) w latach 60. ubiegłego wieku. Początkowo koncentrował się na depresji i na tym, jak postawa klientki dopatrującej się problemów w życiu wpływała na utrzymywanie się depresji pomimo pozytywnych aspektów jej położenia (Beck et al., 1979) ( ). Poprzez zadawanie pytań terapeuta poznawczy może pomóc pacjentowi rozpoznać dysfunkcyjne założenia, rzucić wyzwanie jego katastroficznym myślom o sobie i swojej sytuacji oraz znaleźć właściwy sposób patrzenia na sprawy (Beck, 2011). Twoje reakcje emocjonalne są raczej wynikiem twoich myśli na temat danej sytuacji niż samej sytuacji. Na przykład jeśli konsekwentnie interpretujesz wydarzenia i emocje jako utraty i porażki, prawdopodobnie popadniesz w depresję. Dzięki terapii możesz nauczyć się właściwego sposobu interpretowania sytuacji. Obejrzyj krótki film , w którym Judith Beck opowiada o terapii poznawczo-behawioralnej i prowadzi sesję z pacjentem. Psychoterapia: terapia poznawczo-behawioralna Terapeuci poznawczo-behawioralni bardziej niż terapeuci pracujący według innych metod psychoterapii koncentrują się na bieżących zmaganiach pacjenta, a nie na jego dzieciństwie lub przeszłości. Jedną z pierwszych form terapii poznawczo-behawioralnej była terapia racjonalno-emotywna (ang. rational-emotive therapy (RET) ), zapoczątkowana przez Alberta Ellisa, wywołana niechęcią do psychoanalizy freudowskiej (Daniel, b.d.). Na podejście terapeutyczne Ellisa mieli wpływ również niektórzy behawioryści, np. Joseph Wolpe (1915-1997) (Amerykańskie Krajowe Stowarzyszenie Terapeutów Poznawczo-Behawioralnych, 2009). Terapia poznawczo-behawioralna (ang. cognitive-behavioral therapy (CBT) ) pomaga pacjentom zbadać, w jaki sposób myśli wpływają na ich zachowanie. Celem tej terapii jest zmiana niepomocnego sposobu myślenia i zachowań oraz zastąpienie ich myśleniem realistycznym/pomocnymi w danej sytuacji zachowaniami. Zasadniczo celem tego podejścia jest zmiana sposobu myślenia i działania ludzi. CBT przypomina terapię poznawczą w tym, że próbuje uświadomić ludziom ich irracjonalne i negatywne myśli, a także pomaga im zastąpić je nowymi, realistycznymi sposobami myślenia. CBT jest jednocześnie podobna do terapii behawioralnych, ponieważ również uczy ludzi, jak ćwiczyć i angażować się w zdrowsze podejście do codziennych sytuacji. Setki badań wykazały skuteczność terapii poznawczo-behawioralnej w leczeniu licznych zaburzeń psychicznych, takich jak depresja, PTSD, zaburzenia lękowe, zaburzenia odżywiania, zaburzenie afektywne dwubiegunowe i nadużywanie środków odurzających (Beck Institute for Cognitive Behavior Therapy, b. d.). Na przykład stwierdzono, że CBT skutecznie zmniejsza poczucie beznadziejności i częstość myśli samobójczych u nastolatków, którzy wcześniej borykali się z tymi problemami (Alavi et al., 2013). Terapia poznawczo-behawioralna była również skuteczna w zmniejszaniu zespołu stresu pourazowego u określonych osób, np. pracowników transportu miejskiego (Lowinger i Rombom, 2012). Celem terapii poznawczo-behawioralnej jest zmiana szkodliwych myśli i zachowań za pomocą technik takich jak model A-B-C. W tym modelu A oznacza akcję (ang. Action ), czasami nazywaną „zdarzeniem aktywującym”, B oznacza przekonania (ang. Belief ) dotyczące tego wydarzenia, a C – konsekwencje (ang. Consequences ) tych przekonań. Powiedzmy, że Jon i Joe idą na imprezę, gdzie poznają dwie młode kobiety: przez większość imprezy Jon rozmawia z Megan, a Joe rozmawia z Amandą. Pod koniec imprezy Jon prosi Megan o jej numer telefonu, a Joe prosi o to samo Amandę. Megan odpowiada, że wolałaby nie dawać mu swojego numeru, podobnie jak Amanda. Zarówno Jon, jak i Joe są zaskoczeni, ponieważ myśleli, że wszystko idzie dobrze. Jak Jon i Joe mogą wytłumaczyć sobie, dlaczego te kobiety nie były nimi zainteresowane? Powiedzmy, że Jon myśli o sobie, że jest nieudacznikiem, jest nieatrakcyjny etc. Jon popada w smutek i postanawia nie iść na kolejną imprezę, tym samym czuje się coraz bardziej przygnębiony. Tymczasem Joe mówi sobie, że być może ta dziewczyna nie była po prostu nim zainteresowana, ale to się zdarza, miała do tego prawo, a to w żaden sposób nie określa jego wartości. Wychodzi na kolejne imprezy i poznaje nowe osoby. Przekonania Jona na temat tego, co się wydarzyło, skutkują pojawiającą się depresją, podczas gdy przekonania Joego nie powodują jej. Jon zinternalizował domniemaną lub rzeczywistą przyczynę odmowy, co wywołało u niego depresję. Zaś Joe eksternalizował tę przyczynę, więc jego myśli nie przyczyniły się do przygnębienia. Terapia poznawczo-behawioralna bada określone negatywne, nierealistyczne myśli oraz zniekształcenia poznawcze. Niektóre przykłady zniekształceń poznawczych (ang. cognitive distortions ) to: myślenie „wszystko albo nic”, nadmierne uogólnianie oraz przeskakiwanie do konkluzji. W nadmiernej generalizacji dany człowiek rozdmuchuje małą sytuację do ogromnych rozmiarów — na przykład zamiast stwierdzić: „Ta konkretna kobieta nie była mną zainteresowana”, podsumowuje: „Jestem nieudacznikiem i nikt nigdy się mną nie zainteresuje”. Myślenie „wszystko albo nic” (ang. all or nothing thinking ), które jest powszechnym rodzajem zniekształceń poznawczych, bazuje na skrajnościach. Innymi słowy: wszystko jest czarne lub białe. Po wieczorze, kiedy tamta kobieta odmówiła mu umówienia się na randkę, Jon zaczął myśleć: „Żadna kobieta nigdy nie umówi się ze mną na randkę. Będę sam na zawsze”. Rozmyślając o swojej przyszłości, zaczął odczuwać niepokój i smutek. Trzeci rodzaj zniekształceń, pochopne wyciąganie wniosków (ang. jumping to conclusions ), polega na przedwczesnym wyciągnięciu wniosków — to np. założenie, że ludzie myślą o tobie negatywnie lub reagują na ciebie negatywnie, nawet jeśli nie ma na to dowodów. Rozważ przykład Savanny i Hillaire, które niedawno spotkały się na imprezie. Łączy je wiele, więc Savannah sądzi, że mogą zostać przyjaciółkami. Dzwoni do Hillaire, aby zaprosić ją na kawę, a ponieważ Hillaire nie odbiera, Savannah zostawia jej wiadomość. Minęło kilka dni, a nowa potencjalna przyjaciółka Savanny nie odezwała się. Być może Hillaire zgubiła swój telefon, więc nagrana wiadomość nigdy do niej nie dotarła; a może Hillaire jest zbyt zajęta, aby oddzwonić. Jeśli jednak Savannah sądzi, że Hillaire jej nie polubiła, bo coś z nią jest nie tak, prezentuje zniekształcenie poznawcze polegające na wyciąganiu pochopnych wniosków. Psychoterapia: terapia humanistyczna Psychologia humanistyczna koncentruje się na pomaganiu ludziom w wykorzystaniu ich wewnętrznego i zewnętrznego potencjału. Jest zatem logiczne, że terapia humanistyczna (ang. humanistic therapy ) stawia sobie za cel pomaganie ludziom w zwiększeniu samoświadomości i akceptacji samych siebie. W przeciwieństwie do zwolenników psychoanalizy terapeuci humanistyczni skupiają się na świadomych, a nie nieświadomych myślach. Podkreślają także teraźniejszość i przyszłość pacjenta, bez koncentrowania się na przeszłości. Psycholog Carl Rogers (1902–1987) opracował orientację terapeutyczną znaną jako terapia rogeriańska (ang. Rogerian therapy ) lub terapia skoncentrowana na kliencie (ang. client-centered therapy ). Zwróć uwagę na zmianę słownictwa z „pacjentów” na „klientów”. Rogers (1951) uważał bowiem, że termin „pacjent” sugeruje, że osoba szukająca pomocy jest chora i potrzebuje lekarstwa. Terapia humanistyczna jest terapią niedyrektywną (ang. nondirective therapy ) — terapeuta nie udziela porad ani nie interpretuje, ale pomaga człowiekowi rozpoznać konflikty i zrozumieć swoje uczucia. Tym samym Rogers (1951) podkreślił znaczenie osoby, która przejmuje kontrolę nad własnym życiem, by przezwyciężyć wyzwania losu. Terapia rogeriańska (skoncentrowana na kliencie) Terapeuta aktywnie słucha klienta, potwierdza i wyjaśnia jego wypowiedzi. Terapeuci praktykują również bezwarunkowy pozytywny szacunek (ang. unconditional positive regard ), jak nazwał go Rogers; polega on na nieosądzaniu klientów oraz na akceptowaniu ich po prostu za to, kim są. Rogers (1951) uważał również, że terapeuci powinni wykazywać się autentycznością, empatią i akceptacją wobec swoich klientów, ponieważ pomaga to tym ostatnim bardziej akceptować siebie samych, co prowadzi ich do rozwoju osobistego. Ocena różnych form psychoterapii Jak możemy ocenić skuteczność psychoterapii? Czy jedna metoda jest skuteczniejsza od drugiej? Dla każdego, kto rozważa terapię, są to ważne pytania. Według Amerykańskiego Towarzystwa Psychologicznego (ang. American Psychological Association (APA) ) trzy elementy muszą współgrać ze sobą, aby zapewnić skuteczne leczenie. Pierwszym z nich jest zastosowanie leczenia opartego na dowodach, które uznaje się za odpowiednie dla konkretnego problemu. Drugim ważnym czynnikiem jest wiedza kliniczna terapeuty. Trzecim czynnikiem są cechy charakteru, wartości, preferencje i kultura. Wiele osób zaczyna psychoterapię, czując, że ich problem nigdy nie zostanie rozwiązany; jednak psychoterapia pomaga ludziom zobaczyć, że mogą odważyć się na dużo działań, aby poprawić swoją sytuację. Psychoterapia może pomóc zmniejszyć lęk, depresję i zachowania nieprzystosowawcze. Poprzez psychoterapię ludzie mogą nauczyć się angażować w zdrowe zachowania, dzięki którym lepiej wyrażają emocje, poprawiają relacje, myślą bardziej pozytywnie i skuteczniej działają w pracy lub szkole. W wielu badaniach oceniano skuteczność psychoterapii. Na przykład w pewnej dużej metaanalizie 16 badań z zakresu terapii poznawczo-behawioralnej stwierdzono, że była ona równie skuteczna lub skuteczniejsza niż inne terapie w leczeniu: PTSD, zaburzeń lękowych uogólnionych, depresji i fobii społecznej (Butler et al., 2006). Inne badanie udowodniło, że CBT była tak samo efektywna w leczeniu depresji (43% skuteczności) jak leki na receptę (50% skuteczności) i skuteczniejsza niż placebo (25% skuteczności) (DeRubeis et al., 2005). Inna metaanaliza wykazała z kolei, że terapia psychodynamiczna równie dobrze sprawdziła się w leczeniu tego rodzaju problemów psychologicznych jak CBT (Shedler, 2010). Żadne badania nie dowiodły jednak, aby jedno podejście psychoterapeutyczne było skuteczniejsze niż inne (Abbass et al., 2006; Chorpita et al., 2011); nie wykazano też żadnego związku między wynikiem leczenia klienta a poziomem wyszkolenia lub doświadczenia lekarza praktyka (Wampold, 2007). Niezależnie od tego, jaki rodzaj psychoterapii wybiera dana osoba, jednym z kluczowych czynników decydujących o powodzeniu leczenia jest jej związek z terapeutą (relacja terapeutyczna). Terapie medyczne Praktykowane jest również leczenie oparte na podstawach biologicznych, np. leki psychotropowe stosowane w farmakoterapii zaburzeń psychicznych. Najczęściej są one stosowane w połączeniu z psychoterapią, lecz przyjmują je również osoby, które z niej nie korzystają. Taki rodzaj leczenia jest znany jako terapia medyczna (ang. biomedical therapy). Leki stosowane w zaburzeniach psychicznych nazywane są „lekami psychotropowymi” i są przepisywane przez lekarzy, w tym psychiatrów. W Luizjanie i Nowym Meksyku niektóre rodzaje tych leków mogą przepisywać również psycholodzy (American Psychological Association, 2014). Na różne zaburzenia stosuje się różne rodzaje i grupy leków. Osoba z depresją może zażywać lek antydepresyjny, osoba z chorobą afektywną dwubiegunową może przyjmować stabilizator nastroju, a osoba ze schizofrenią może dostawać lek antypsychotyczny. Leki te łagodzą objawy zaburzeń psychicznych, zmieniając stężenia lub działanie neuroprzekaźników. Różne rodzaje leków przeciwdepresyjnych wpływają na różne neuroprzekaźniki, np. leki przeciwdepresyjne z grupy SSRI (selektywne inhibitory wychwytu zwrotnego serotoniny) zwiększają stężenie serotoniny, a SNRI (inhibitory wychwytu zwrotnego serotoniny i noradrenaliny) podwyższają stężenie zarówno serotoniny, jak i noradrenaliny. Leki mogą pomóc ludziom poczuć się lepiej, aby mogli funkcjonować na co dzień, ale nie leczą samego zaburzenia. Niektórzy mogą potrzebować leków psychotropowych jedynie przez krótki czas. Inne osoby, z poważnymi zaburzeniami, takimi jak zaburzenie afektywne dwubiegunowe lub schizofrenia, mogą wymagać długotrwałego przyjmowania leków psychotropowych. Leki psychotropowe są popularną opcją leczenia wielu typów zaburzeń, a badania sugerują, że są one najbardziej skuteczne w połączeniu z psychoterapią. Dotyczy to zwłaszcza najczęstszych zaburzeń psychicznych, takich jak zaburzenia depresyjne i lękowe (Cuijpers et al., 2014). Rozważając dodanie leków jako opcji leczenia, pacjenci powinni być szczegółowo poinformowani o ich skutkach ubocznych. przedstawia powszechnie przepisywane rodzaje leków, sposób ich stosowania i niektóre z potencjalnych skutków ubocznych, które mogą wystąpić. Zestawienie najczęściej stosowanych leków psychotropowych. Rodzaj leku Choroby, do leczenia których jest używany Nazwy leków przepisywanych najczęściej Jak działają Przykładowe działania niepożądane Neuroleptyki I generacji schizofrenia, zaburzenia afektywne haloperydol, perazyna głównie poprzez blokowanie dopaminy, leczą m.in. pozytywne (wytwórcze) objawy psychotyczne, np. halucynacje słuchowe i wzrokowe, urojenia i myślenie paranoiczne długotrwałe stosowanie może prowadzić do późnych dyskinez, mimowolnych ruchów ramion, nóg, języka i mięśni twarzy, powodując drżenie podobne do choroby Parkinsona Neuroleptyki II generacji schizofrenia, zaburzenia afektywne aripiprazol, olanzapina, rysperydon przez działanie skierowane zarówno na receptory dopaminy, jak i serotoniny; są używane do leczenia psychoz mogą zwiększać ryzyko otyłości i cukrzycy, a także podnieść poziom cholesterolu; zaparcia, suchość w ustach, niewyraźne widzenie, senność i zawroty głowy Antydepresanty depresja, narastający lęk fluoksetyna, sertralina (selektywne inhibitory wychwytu zwrotnego serotoniny, SSRI); klomipramina i amitryptylina (trójpierścieniowe) zmieniają stężenie neuroprzekaźników, takich jak serotonina i noradrenalina SSRI: bóle głowy, nudności, senność, zmniejszenie popędu płciowego; trójpierścieniowe: suchość w ustach, zaparcia, niewyraźne widzenie, senność, zmniejszenie popędu seksualnego Stabilizatory nastroju zaburzenie afektywne dwubiegunowe lit (węglan litu), walproinian sodu + kwas walproinowy, lamotrygina, karbamazepina leczą epizody manii, a także objawy depresji nadmierne pragnienie, nieregularne bicie serca, swędzenie/ wysypka, obrzęk (twarzy, ust i kończyn), nudności, utrata apetytu Środki stymulujące ADHD metylofenidat (chlorowodorek metylofenidatu) poprawiają zdolność koncentracji na zadaniu i utrzymywania uwagi zmniejszony apetyt, trudności ze snem, bóle brzucha, bóle głowy Innym leczeniem biologicznym/terapią medyczną , która (choć rzadko) nadal jest stosowana, jest terapia elektrowstrząsowa (ang. electroconvulsive therapy (ECT)). Polega ona na użyciu prądu elektrycznego w celu wywołania drgawek, aby złagodzić skutki ciężkiej, lekoopornej depresji (także lekoopornej schizofrenii). Dokładny mechanizm działania nie jest znany, chociaż terapia ta pomaga złagodzić objawy u osób z ciężką depresją, które nie zareagowały na tradycyjne leczenie farmakologiczne (Pagnin et al., 2004). Stan zdrowia poprawia się u ok. 85% osób leczonych za pomocą ECT (Reti, b.d.). Utrata pamięci powiązana z wielokrotnym stosowaniem ECT spowodowała, że wdraża się tę metodę jedynie w ostateczności (Donahue, 2000; Prudic et al., 2000). Nowszą metodą alternatywną jest przezczaszkowa stymulacja magnetyczna (TMS), procedura zatwierdzona przez Agencję do Spraw Żywności i Leków (ang. Food and Drug Administration ) w 2008 roku. TMS wykorzystuje pola magnetyczne do stymulacji mózgowych komórek nerwowych w celu złagodzenia objawów depresji; jest stosowana, gdy inne zabiegi nie zadziałają (Mayo Clinic, 2012). Praktyka oparta na dowodach naukowych Modne hasło w dzisiejszej psychoterapii to praktyka oparta na dowodach naukowych (ang. Evidence-Based Practice in Psychology (EBPP) ). Nie jest to jednak koncepcja nowatorska, bo istnieje w medycynie od co najmniej dwóch dekad. Praktykę opartą na dowodach naukowych stosuje się w celu zmniejszenia liczby błędów w wyborze leczenia poprzez podejmowanie decyzji klinicznych na podstawie badań (Sackett i Rosenberg, 1995). Leczenie oparte na dowodach naukowych jest prężnie rozwijającą się metodą psychiatryczną. Dlaczego to ma takie znaczenie? W celu ustalenia, które metody leczenia są oparte na dowodach, organizacje zawodowe, np. Amerykańskie Towarzystwo Psychologiczne (APA), zaleciły stosowanie określonych terapii psychologicznych w leczeniu niektórych zaburzeń psychicznych (Chambless i Ollendick, 2001). Według APA (2005) „Oparta na dowodach naukowych praktyka psychologiczna (EBPP) polega na integracji dostępnych wyników rzetelnych badań naukowych z wiedzą kliniczną terapeuty w kontekście charakterystyki, kultury i preferencji pacjenta” (s. 1). Podstawową ideą leczenia opartego na dowodach naukowych jest to, że na podstawie badań porównujących różne formy leczenia określa się najskuteczniejsze praktyki psychiatryczne (Charman i Barkham, 2005). Te metody są następnie wdrażane i opisywane w podręcznikach do psychoterapii, a przeszkoleni terapeuci postępują zgodnie z tymi zaleceniami. Korzyści polegają na tym, że leczenie oparte na dowodach naukowych może zmniejszyć zróżnicowanie pracy poszczególnych terapeutów, tym samym zapewniając, że konkretne podejście jest realizowane w rzetelny sposób (Charman i Barkham, 2005). W ten sposób klienci mają większą szansę na uzyskanie interwencji terapeutycznych skutecznych w leczeniu ich konkretnego zaburzenia. Podsumowanie Psychoanalizę opracował Zygmunt Freud. Teoria Freuda głosi, że problemy psychiczne człowieka są wynikiem tłumionych impulsów lub traumy z dzieciństwa. Celem terapeuty jest pomóc pacjentowi odkryć jego stłumione uczucia za pomocą technik takich jak wolne skojarzenia i analiza snów. Terapia zabawą to technika często stosowana u dzieci. Polega na tym, że dzieci, bawiąc się lalkami, pluszakami czy zabawkami w piaskownicy, dają wyraz swoim nadziejom, fantazjom i traumom. W terapii behawioralnej terapeuta stosuje zasady uczenia się: zarówno warunkowania klasycznego, jak i sprawczego, aby pomagać klientom w zmianie niepożądanych zachowań. Przeciwwarunkowanie jest powszechnie stosowaną techniką terapeutyczną, w której klient uczy się nowej reakcji na bodziec wcześniej wywołujący niepożądane zachowanie (na skutek warunkowania klasycznego). Podstawowe zasady warunkowania sprawczego mogą być stosowane w celu pomocy ludziom w radzeniu sobie z wieloma problemami psychologicznymi. Metoda żetonowa jest przykładem popularnej techniki warunkowania sprawczego. Terapia poznawcza jest metodą, która zajmuje się tym, jak myśli prowadzą do cierpienia. Główne założenie terapii poznawczej polega na tym, że to, jak myślisz, determinuje twoje samopoczucie i zachowanie. Terapeuci kognitywni pomagają swoim klientom zmieniać dysfunkcyjne myśli w celu złagodzenia cierpienia. Terapia poznawczo-behawioralna bada, w jaki sposób myśli wpływają na nasze emocje i zachowanie. Celem tej terapii jest zmiana szkodliwych wzorców myślenia i zachowań oraz zastąpienie ich właściwymi. Terapia humanistyczna koncentruje się na pomaganiu ludziom w wykorzystaniu ich potencjału. Jeden z rodzajów terapii humanistycznej opracowany przez Carla Rogersa jest znany jako „terapia skoncentrowana na kliencie” lub „terapia rogeriańska”. Terapeuci skoncentrowani na kliencie używają technik aktywnego słuchania, bezwarunkowego pozytywnego szacunku, autentyczności i empatii, aby pomóc klientom w zaakceptowaniu siebie. Często w połączeniu z psychoterapią ludzie mogą być leczeni medycznie, np. zażywać leki psychotropowe i/ lub korzystać z innych procedur medycznych, np. terapii elektrowstrząsowej. Review Questions Koncepcja leżąca u podstaw ________ jest taka, że to, jak myślisz, determinuje twoje samopoczucie i zachowanie. terapii poznawczej terapii psychoanalitycznej terapii behawioralnej terapii skoncentrowanej na kliencie A Stabilizatory nastroju, takie jak lit, stosuje się do leczenia ________. zaburzeń lękowych depresji choroby dwubiegunowej ADHD C Clay jest na sesji terapeutycznej. Terapeuta prosi go, aby się zrelaksował i powiedział, co w tej chwili przychodzi mu do głowy. Ten terapeuta stosuje________, co jest metodą________. aktywne słuchanie; terapii skoncentrowanej na kliencie desensytyzację systematyczną; terapii behawioralnej przeniesienie; psychoanalityczną wolne skojarzenia; psychoanalityczną D Critical Thinking Question Wyobraź sobie, że jesteś psychiatrą. Twoja pacjentka, Pat, przychodzi do ciebie z następującymi objawami: lękiem i uczuciem smutku. Jakie podejście terapeutyczne zalecasz i dlaczego? Zalecam terapię psychodynamiczną lub terapię poznawczą, aby pomóc Pat spostrzec, jak bardzo negatywny wpływ mają na nią jej myśli i zachowania. Personal Application Question Jeśli przed tobą stoi wybór terapeuty uprawiającego jedną z metod przedstawionych w tym rozdziale. Jakiego rodzaju terapeutę wybierzesz i dlaczego? warunkowanie awersyjne (ang. aversive conditioning ) typ warunkowania, w którym stan nieprzyjemny ma kojarzyć się z niepożądanym zachowaniem; w warunkowaniu awersyjnym próbuje się zastąpić pozytywną reakcję na bodziec szkodliwy reakcją negatywną terapia behawioralna (ang. behavior therapy ) rodzaj terapii bazującej na zasadach behawioryzmu (uczenie się dzięki warunkowaniu) - skupia się na zmianie niepożądanych zachowań (np. wybuchów agresji u dzieci) i zastąpieniu ich/wzmocnieniu pożądanych zachowań (np. odrabianie lekcji) terapia medyczna (ang. biomedical therapy) terapia, która skupia się na wykorzystaniu leków i/lub procedur medycznych w leczeniu zaburzeń psychicznych (np. psychiatria) terapia poznawczo-behawioralna (ang. cognitive-behavioral therapy (CBT) ) jedna z pięciu podstawowych szkół psychoterapii, skupiająca się na zmianie negatywnych, nierealistycznych wzorców myślenia (przekonań) oraz niesłużącego zachowania terapia poznawcza (ang. cognitive therapy ) rodzaj terapii skupiający się na łagodzeniu objawów trudności psychicznych poprzez zmianę wzorców myślenia przeciwwarunkowanie (ang. counterconditioning ) technika stosowana w terapii, mająca na celu zastąpienie za pomocą procedur warunkowania, reakcji niewłaściwej nową reakcją, np. dziecko bojące się kotów może być nagradzane przysmakiem w obecności kota, dzięki czemu wytwarza się pozytywne skojarzenie w połączeniu z nieprzyjemnym bodźcem analiza snów (ang. dream analysis ) technika w terapii psychoanalitycznej, w której na podstawie analizy treści snu i skojarzeń pacjenta terapeuta i pacjent wspólnie wnioskują o bieżących potrzebach i konfliktach wewnętrznych tego ostatniego terapia elektrowstrząsowa (ang. electroconvulsive therapy (ECT) ) procedura lecznicza stosowana w przypadkach niektórych zaburzeń psychicznych, m.in. w ciężkiej depresji, zwłaszcza lekoopornej, epizodach maniakalnych, epizodach psychotycznych, zwłaszcza z objawami katatonicznymi terapia ekspozycyjna (ang. exposure therapy ) technika terapii behawioralnej stosowana głównie w leczeniu zaburzeń lękowych; zakłada eksponowanie się pacjenta na sytuacje lub przedmioty, które, choć bezpieczne, wzbudzają lęk; dzięki tym planowanym ekspozycjom dochodzi do habituacji (przyzwyczajenia) wolne skojarzenia (ang. free associations ) technika psychoanalityczna, w której pacjent mówi to, co w danej chwili przychodzi mu na myśl w związku z zadanym tematem rozmowy terapia humanistyczna (ang. humanistic therapy ) jedna z pięciu podstawowych szkół psychoterapii, skupiająca się na zwiększeniu u korzystających z niej osób poziomu samoświadomości i samoakceptacji oraz pełnej realizacji swojego wewnętrznego potencjału terapia niedyrektywna (ang. nondirective therapy ) forma terapii bez określonej struktury, bazująca bardziej na procesie terapeutycznym (tym, co aktualnie dzieje się w relacji pacjent-terapeuta) niż na konkretnych technikach zmiany terapia zabawą (ang. play therapy ) proces terapeutyczny często wykorzystywany w przypadku dzieci, w którym pomocą w diagnozie i rozwiązywaniu problemów psychicznych są zabawki psychoanaliza (ang. psychoanalysis) rodzaj terapii zapoczątkowany przez Zygmunta Freuda, wykorzystujący do ujawnienia nieuświadomionych uczuć wolne skojarzenia, analizę snów i przeniesienie psychoterapia (ang. psychotherapy ) stosowanie metod psychologicznych opartych na regularnym kontakcie międzyludzkim w celu pomocy osobom zmagającym się z różnorodnymi problemami natury psychicznej; psychoterapia może pomóc w poprawie relacji, rozwoju umiejętności społecznych, wzmocnieniu dobrostanu i zdrowia psychicznego, radzenia sobie z trudnymi zachowaniami, przekonaniami lub emocjami terapia racjonalno-emotywna (ang. rational-emotive therapy (RET)) rodzaj terapii stworzony przez Alberta Ellisa, zaliczany do terapii poznawczo-behawioralnych; skupia się na odkrywaniu i modyfikacji niesłużących przekonań, prowadzących do przeżywania określonych emocji psychoterapia rogeriańska, zorientowana na klienta (ang. Rogerian psychotherapy, client-centered therapy ) niedyrektywna forma psychoterapii humanistycznej stworzona przez Carla Rogersa; jej główną cechą jest bezwarunkowe wsparcie dla osoby leczonej i pomoc w samoakceptacji systematyczna desensytyzacja, systematyczne odwrażliwianie (ang. systematic desensitization ) technika terapii behawioralnej polegająca na eksponowaniu na bodziec lękotwórczy, ze stopniowym zwiększaniem jego intensywności; stopniowo dochodzi do habituacji (przyzwyczajenia się) i wygaszenia reakcji lękowej metoda żetonowa (ang. token economy ) technika terapii behawioralnej w kontrolowanym otoczeniu, polegająca na wzmacnianiu pożądanych zachowań poprzez przyznawanie żetonów, które potem można wymienić na określone nagrody lub przywileje przeniesienie (ang. transference ) proces wykorzystywany w psychoanalizie, polegający na tym, że pacjent przenosi na terapeutę pozytywne lub negatywne emocje powiązane z innymi, znaczącymi dla niego relacjami z życia bezwarunkowy pozytywny szacunek (ang. unconditional positive respect ) podejście wykorzystywane zwłaszcza w terapii humanistycznej; akceptacja i wsparcie wobec klienta, niezależnie od tego, co mówi lub robi ekspozycja w wirtualnej rzeczywistości (ang. exposure in virtual reality ) metoda wykorzystująca symulację wirtualną zamiast rzeczywistego obiektu lub sytuacji wywołującej lęk; pomaga leczonym zapanować nad lękiem", "section": "Techniki terapeutyczne", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Sposoby leczenia Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozróżnić różne sposoby leczenia Omówić korzyści terapii grupowej Konsultacją (ang. consultation ) terapeuci nazywają pierwszą wizytę klienta, rozpoczynającą terapię. Podczas niej terapeuta zbiera szczegółowe informacje, żeby móc zająć się najpilniejszymi potrzebami klienta: zapoznaje się z jego problemem, omawia system wsparcia. Terapeuta informuje klienta o poufności, opłatach i o tym, czego może się spodziewać w trakcie leczenia. Poufność (ang. confidentiality ) oznacza, że terapeuta nie może ujawniać treści rozmowy z klientem osobom trzecim, chyba że będzie do tego upoważniony lub prawo mu na to zezwoli. Podczas konsultacji terapeuta i klient wspólnie ustalają cele leczenia. Następnie zostaje opracowany plan terapii, zwykle z konkretnymi, jasno sprecyzowanymi celami. Ponadto terapeuta i klient omawiają, co będzie wyznacznikiem sukcesu leczenia i ile wyniesie szacunkowy czas terapii. Istnieje kilka różnych sposobów (modalności) leczenia ( ). Najpopularniejsze są: terapia indywidualna, terapia rodzin, terapia par oraz terapia grupowa. Terapia może się odbywać (a) pomiędzy dwiema osobami: terapeutą i klientem, lub (b) w grupie osób. (Źródło (a): Connor Ashleigh, AusAID/Department of Foreign Affairs and Trade). Terapia indywidualna Terapia indywidualna (ang. individual therapy ) jest znana także jako psychoterapia indywidualna lub doradztwo indywidualne, czyli spotkanie terapeuty z klientem (które zazwyczaj trwa od 45 minut do 1 godziny). Spotkania te przeważnie odbywają się co tydzień lub co dwa tygodnie, a sesje są prowadzone w dyskretnym i bezpiecznym otoczeniu ( ). Terapeuta pracuje z klientami, aby pomóc im: odkryć ich uczucia, przejść przez wyzwania życiowe, wybrać te aspekty siebie i swojego życia, które chcą zmienić, oraz wyznaczyć kroki, które pomogą im zmierzać w kierunku tych zmian. Klient może spotykać się z terapeutą tylko na kilku sesjach lub może uczestniczyć w indywidualnych spotkaniach terapeutycznych przez rok lub dłużej. Czas spędzony na terapii zależy od potrzeb klienta, a także od jego osobistych celów. Podczas sesji terapii indywidualnej klientka i wyszkolona terapeutka pracują jako zespół. (Źródło: Alan Cleaver). Terapia grupowa Terapia grupowa (ang. group therapy ) to przestrzeń, w której terapeuta spotyka się z kilkoma klientami mającymi podobne problemy ( ). Kiedy na terapię grupową uczęszczają dzieci, szczególnie ważne jest dopasowanie ich do siebie według wieku i problemów. Jedną z korzyści terapii grupowej jest to, że może ona zmniejszyć wstyd i izolację klienta z powodu jego problemu, oferując jednocześnie potrzebne wsparcie ze strony terapeuty i innych członków grupy (APA, 2014). Na przykład dziewięcioletnie dziecko po doświadczeniu wykorzystywania seksualnego może czuć się bardzo zażenowane i zawstydzone. Jeśli jednak zostanie umieszczone w grupie z innymi dziećmi wykorzystywanymi seksualnie, zrozumie, że nie jest w tym osamotnione. Dziecko zmagające się ze słabymi umiejętnościami społecznymi prawdopodobnie bardzo skorzystałoby z terapii w grupie posiadającej opracowany program nauczania wspierający konkretne umiejętności. Kobieta cierpiąca na depresję poporodową może czuć się mniej winna i bardziej wspierana, kiedy jest w grupie z kobietami zmagającymi się z podobnym problemem. Terapia grupowa ma również określone ograniczenia. Członkowie grupy mogą bać się mówić do obcych ludzi, ponieważ dzielenie się tajemnicami i problemami z całkowicie nieznajomymi osobami może być stresujące i przytłaczające. Między członkami grupy mogą wystąpić konflikty charakterologiczne i kłótnie. Mogą pojawić się również obawy dotyczące poufności: członek grupy może podzielić się z kimś spoza grupy tym, co inny uczestnik powiedział na sesji terapeutycznej. W terapii grupowej zazwyczaj 5–10 osób spotyka się z wyszkolonym terapeutą, aby omówić ich wspólny problem, np. rozwód, żałobę, zaburzenia odżywiania, nadużywanie substancji odurzających lub nieumiejętność radzenia sobie z gniewem. (Źródło: Cory Zanker). Kolejną zaletą terapii grupowej jest to, że członkowie mogą skonfrontować swoje wzorce postępowania. Osobom z niektórymi rodzajami problemów, np. sprawcom przemocy seksualnej, zalecana jest terapia grupowa. Uważa się, że w przypadku tych osób leczenie grupowe ma kilka zalet: Leczenie grupowe jest tańsze niż leczenie indywidualne, terapia par czy rodzinna. Sprawcy przemocy seksualnej często czują się swobodniej, wyznając i omawiając swoje przestępstwa w grupie terapeutycznej, gdzie inni prezentują otwartość. Klienci często akceptują opinie o swoim zachowaniu chętniej od innych członków grupy niż od terapeutów. I w końcu klienci mogą ćwiczyć umiejętności społeczne w warunkach terapii grupowej (McGrath et al., 2009) Grupy o silnym elemencie edukacyjnym nazywane są „grupami psychoedukacyjnymi”. Na przykład grupa dzieci, których rodzice chorują na raka, może wyczerpująco omawiać, czym jest nowotwór, analizować rodzaje jego leczenia oraz skutki uboczne terapii, na przykład wypadanie włosów. Często sesje terapii grupowej z dziećmi odbywają się w szkole. Kieruje nimi pedagog szkolny, psycholog szkolny lub specjalista z zewnątrz. Grupy te mogą koncentrować się na lęku przed klasówką, izolacji społecznej, poczuciu własnej wartości, problemie znęcania się nad słabszymi lub niepowodzenia szkolnego (Shechtman, 2002). Niezależnie od tego, czy grupa spotyka się w szkole, czy w gabinecie terapeutycznym, terapia grupowa okazuje się skuteczna w przypadku dzieci, które zmagają się z wieloma wyzwaniami (Shechtman, 2002). Podczas sesji grupowej wszyscy jej uczestnicy mogą zastanowić się nad problemem lub trudnościami danej osoby, a niektórzy z grupy mogą podzielić się tym, co oni zrobili w takiej samej sytuacji. Kiedy prowadzący terapię czuwa nad przebiegiem sesji, zawsze upewnia się, że wszyscy korzystają i uczestniczą w spotkaniu oraz że żadna osoba nie podporządkowuje sobie całej sesji. Grupy mogą być organizowane na różne sposoby: niektóre mają nadrzędny temat lub cel, niektóre mają ograniczony czas, inne są otwarte na nowych członków i pozwalają ludziom przychodzić i odchodzić, a niektóre są zamknięte. Niektóre grupy mają zaplanowane działania i cele, podczas gdy inne są nieustrukturyzowane, tzn. nie mają konkretnego planu, a ich członkowie sami decydują, w jaki sposób grupa spędzi czas i na jakich celach się skoncentruje. Może to stać się złożonym i emocjonalnie zabarwionym procesem, ale jest również okazją do rozwoju osobistego (Page i Berkow, 1994). Terapia par (terapia małżeńska) Terapia par (ang. couples therapy ) wymaga zaangażowania obu będących w związku osób, które mają w nim trudności i próbują je rozwiązać ( ). Para ta może chodzić ze sobą, być w związku partnerskim, być narzeczeństwem lub małżeństwem. Para spotyka się z terapeutą, aby omówić te konflikty i/lub aspekty swojego związku, które chce zmienić. Terapeuta pomaga im zobaczyć, jak ich rodziny, pochodzenie, osobiste przekonania i działania wpływają na ten związek. Często terapeuta próbuje pomóc danej parze rozwiązać jej problemy, a także wdrożyć strategie, które doprowadzą do zdrowszego i szczęśliwszego związku, np. nauczyć, jak słuchać siebie wzajemnie, jak się kłócić i jak wyrażać uczucia. Czasami jednak po pracy z prowadzącym terapię para zdaje sobie sprawę, że jest zbyt niedopasowana i decyduje się na separację. Niektóre pary szukają terapii, aby rozwiązać swoje problemy, podczas gdy inne biorą udział w terapii, aby ustalić, czy bycie razem jest najlepszym rozwiązaniem. Terapie związków niestabilnych i będących w mocnym konflikcie mogą okazać się trudne. I rzeczywiście, psychologowie Peter Pearson i Ellyn Bader , którzy założyli Instytut dla Par (ang. Couples Institute ) w Palo Alto w Kalifornii, porównali doświadczenia prowadzenia sesji z parami do „pilotowania helikoptera podczas huraganu” (Weil, 2012). W poradni dla par terapeuta pomaga ludziom przepracować ich relację. (Źródło: Cory Zanker). Terapia rodzin Terapia rodzin (ang. family therapy ) jest specjalną formą terapii grupowej, ponieważ uczestnikami są członkowie jednej lub więcej rodzin. Chociaż istnieje wiele kierunków akademickich w terapii rodzinnej, jednym z najbardziej dominujących jest podejście systemowe. Rodzina jest tu postrzegana jako zorganizowany system, czyli każda osoba w nim wnosi swój wkład, tworzy i podtrzymuje procesy, które kształtują zachowania (Minuchin, 1985). Każdy członek rodziny ma wpływ na pozostałych, a także jest pod ich wpływem. Celem tego podejścia jest pobudzenie rozwoju każdego członka rodziny, a przez to całej rodziny. Często do konfliktu mogą prowadzić dysfunkcyjne wzorce komunikacji, które rozwijają się między osobami w rodzinie. Rodzina z taką właśnie dynamiką może woleć wspólne uczestnictwo w terapii od sesji indywidualnych. W wielu przypadkach jeden członek rodziny zmaga się z problemami, które mają szkodliwy wpływ na wszystkich; na przykład depresja matki, zaburzenia odżywiania nastoletniej córki lub uzależnienie ojca od alkoholu mogą wpływać na każdą osobę w rodzinie. Terapeuta powinien współpracować więc z nimi wszystkimi, aby pomóc im poradzić sobie z danym problemem, a w przypadku osoby z danym problemem wspierać ją w jego rozwiązaniu i inspirować ją do rozwoju osobistego. W przypadku terapii rodzin na leczenie przychodzi rodzina nuklearna (tj. rodzice i dzieci) lub rodzina nuklearna powiększona o mieszkające z nią osoby (np. dziadek). Terapeuci rodzinni współpracują z każdą z tych osób w celu uzdrowienia całej rodziny. Istnieje kilka różnych rodzajów terapii rodzinnej. Strukturalna terapia rodzinna (ang. structural family therapy ) to proces, w którym terapeuta bada i omawia granice i strukturę rodziny: kto w niej ustanawia reguły, kto z kim śpi w łóżku, w jaki sposób podejmowane są decyzje i gdzie znajdują się granice wewnątrz rodziny. W niektórych rodzinach rodzice nie współpracują przy ustanawianiu zasad albo jedno z rodziców może podważać autorytet drugiego, co doprowadza dzieci do wyładowywania się. Terapeuta pomaga im rozwiązać te problemy i nauczyć się skuteczniejszej komunikacji. Obejrzyj ten film przedstawiający sesję strukturalnej terapii rodzinnej. Strategiczna terapia rodzinna (ang. strategic family therapy ) to leczenie, którego celem jest zajęcie się konkretnymi problemami w rodzinie, które można rozwiązać w stosunkowo krótkim czasie. Terapeuta prowadzi sesje terapeutyczne i zazwyczaj opracowuje szczegółowe podejście do rozwiązania problemu dla każdego z członków rodziny (Madanes, 1991). Podsumowanie Istnieje kilka sposobów leczenia: najpopularniejsze z nich to terapia indywidualna, terapia grupowa, terapia par i terapia rodzinna. Podczas sesji terapii indywidualnej klient i wykształcony terapeuta pracują w parze. W terapii grupowej zazwyczaj 5–10 osób spotyka się z wyszkolonym terapeutą, aby omówić ich wspólny problem (np. rozwód, żałobę, zaburzenia odżywiania, nadużywanie substancji odurzających lub nieumiejętność radzenia sobie z gniewem). Terapia par oznacza pomoc dwóm osobom będącym w bliskim związku, mającym trudności i próbującym je rozwiązać. Para oznacza dwie osoby, które ze sobą chodzą lub są w związku partnerskim, są narzeczeństwem albo małżeństwem. Terapeuta pomaga im w rozwiązywaniu ich problemów oraz wdrażaniu strategii, które doprowadzą je do zdrowszego i szczęśliwszego związku. Terapia rodzinna jest specjalną formą terapii grupowej. Taka grupa terapeutyczna składa się z co najmniej jednej rodziny. Celem tego podejścia jest zwiększenie rozwoju każdego członka rodziny oraz rodziny jako całości. Review Questions Taki sposób leczenia, w którym 5–10 ludzi z tym samym problemem lub lękiem zbiera się razem z wyszkolonym prowadzącym, znany jest jako ________. terapia rodzin terapia par terapia grupowa grupa samopomocowa C Co dzieje się podczas konsultacji (pierwszej sesji terapeutycznej)? Terapeuta zbiera szczegółowe informacje, żeby móc zająć się najpilniejszymi potrzebami klienta: zapoznaje się z jego problemem, omawiają wspólnie system wsparcia klienta. Terapeuta informuje klienta o poufności, opłatach i o tym, czego może się spodziewać w trakcie leczenia. Terapeuta kieruje tym, co dzieje się podczas sesji terapeutycznej, i opracowuje szczegółowe podejście do rozwiązania problemu przedstawionego przez każdego uczestnika. Terapeuta spotyka się z parą, aby pomóc jej zobaczyć, jak rodzina, pochodzenie oraz osobiste przekonania i działania wpływają na związek. Terapeuta bada i omawia z rodziną jej granice i strukturę: na przykład, kto ustanawia reguły funkcjonowania, kto z kim śpi w łóżku, jak podejmowane są decyzje. A Critical Thinking Question Przedstaw podobieństwa i różnice między terapiami indywidualną i grupową. Podczas indywidualnej sesji terapeutycznej klient pracuje w parze z wykształconym terapeutą. W terapii grupowej zaś zazwyczaj 5–10 osób spotyka się z wyszkolonym terapeutą grupowym, aby omówić wspólny problem grupy, np. rozwód, żałobę, zaburzenia odżywiania, nadużywanie substancji odurzających lub nieumiejętność radzenia sobie z gniewem. Personal Application Twoja bliska przyjaciółka zwierza ci się, że martwi się o swoją kuzynkę. Kuzynka nastolatka ostatnio ciągle wraca do domu po ustalonej godzinie, w dodatku chyba pod wpływem alkoholu. Jaki rodzaj terapii twoim zdaniem byłby najlepszy dla dziewczyny? Dlaczego tę właśnie metodę podpowiesz swojej przyjaciółce? poufność (ang. confidentiality) zasada poufności w terapii zakłada, że terapeuta ma obowiązek dbać o tajemnicę procesu psychoterapeutycznego, co oznacza zachowanie niejawności wszystkich informacji przekazywanych przez klienta oraz faktu jego udziału w procesie psychoterapii; zasada ta może zostać uchylona na wniosek samego pacjenta lub na wniosek sądu (w przypadku niebezpieczeństwa związanego z zagrożeniem jego życia lub życia czy zdrowia innych osób) terapia par (ang. couples therapy ) terapia par (małżeńska) jest formą psychoterapii, w której uczestniczy małżeństwo lub osoby pozostające w związku partnerskim; terapie par prowadzone są według różnych metod psychoterapii, w zależności od praktyki psychoterapeuty; terapia pozwala parze poradzić sobie z aktualnym kryzysem, nieporozumieniami, poprawić wzajemną komunikację, zrozumienie, wyrażanie potrzeb i uczuć, a tym samym przekłada się na polepszenie wzajemnych relacji terapia rodzin (ang. family therapy ) terapia rodzin jest formą psychoterapii, w której uczestniczą członkowie rodziny; opiera się na podejściu systemowym, tj. założeniu, że za trudności odpowiada geneza i aktualna dynamika całego systemu rodzinnego, wzajemnie na siebie wpływającego terapia grupowa (ang. group therapy ) forma psychoterapii w grupie (zazwyczaj 5-10 osób); prowadzona jest według różnych metod psychoterapii, w zależności od praktyki psychoterapeuty; polecana jest zwłaszcza w przypadku problemów w relacjach; dzięki dynamice i interakcjom zachodzącym między uczestnikami grupy osoba może na żywo zaobserwować swoje funkcjonowanie wśród innych osób terapia indywidualna (ang. individual therapy ) forma psychoterapii w parze terapeuta-klient konsultacja (ang. consultation ) początkowe spotkania terapeuty i klienta, mające na celu wzajemne poznanie się, omówienie trudności klienta, jego oczekiwania oraz możliwości pomocy w jego problemie. Zazwyczaj obejmuje 2-5 spotkań strategiczna terapia rodzinna (ang. strategic family therapy ) jedna z odmian terapii systemowej, skoncentrowana na rozwiązaniu problemu; przyjmuje wszystkie podstawowe założenia ogólnej teorii systemowej oraz podstawowe tezy teorii komunikacji; rodzina ujmowana jest jako system interpersonalny; problemy indywidualne traktowane są jako manifestacja zaburzenia systemu rodzinnego strukturalna terapia rodzinna (ang. structural family therapy ) jedna z odmian terapii systemowej, koncentrująca się na strukturze rodziny, tj. wzajemnych interakcjach między członkami rodziny, oczekiwaniach i panujących zasadach", "section": "Sposoby leczenia", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Uzależnienia i zaburzenia związane z zażywaniem środków odurzających Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Rozpoznać cel leczenia zaburzeń związanych z substancjami psychoaktywnymi i uzależnień Omówić, co wpływa na skuteczność leczenia Opisać sposób leczenia chorób współistniejących Uzależnienie jest często postrzegane jako choroba przewlekła ( ). Początkowo zażycie danego środka odurzającego jest wolnym wyborem człowieka, jednak długotrwałe stosowanie danej używki może nieodwracalnie zmienić strukturę neuronalną w korze przedczołowej (ang. prefrontal cortex ), obszarze mózgu związanym z podejmowaniem decyzji i osądem. Tym samym osoba nadużywająca substancji z czasem staje się uzależniona do narkotyków i/ lub alkoholu (Muñoz-Cuevas et al., 2013). To pomaga nam zrozumieć, dlaczego częstość nawrotów w uzależnieniach bywa tak wysoka: nawrót (ang. relapse ) następuje u ok. 40–60% przypadków, co oznacza, że ludzie ci po okresie poprawy wracają do nadużywania narkotyków i/lub alkoholu (NIDA, 2008). Amerykańskie badanie dotyczące zdrowia i używania narkotyków pokazuje częstość zażywania poszczególnych grup narkotyków przez osoby w wieku 12–17 lat, 18–25 lat i starsze. W Polsce używanie narkotyków jest o wiele mniej rozpowszechnione niż picie napojów alkoholowych. Według danych z badań populacyjnych używanie alkoholu w 2013 roku wynosiło 89,7% (dane z 2014 roku), co plasuje nas na jednym z czołowych miejsc w Europie. W przypadku narkotyków odsetek ten wyniósł 4,7% (dane dla osób w wieku 15–64 lata) (Raport Krajowego Biura ds. Przeciwdziałania Narkomanii, 2018). Jednocześnie uzależnienie od alkoholu dotyczy 12% populacji polskiej (3 mln osób) i znajduje się na pierwszym miejscu wśród najczęściej występujących zaburzeń psychicznych, wyprzedzając depresję i zaburzenia lękowe (EZOP, 2012). Celem leczenia zaburzeń związanych z zażywaniem substancji odurzających jest pomoc osobie uzależnionej w powstrzymaniu kompulsywnych zachowań związanych z poszukiwaniem narkotyków (NIDA, 2012). Oznacza to, że osoba uzależniona wymaga długotrwałego leczenia, podobnie jak osoba walcząca z przewlekłą chorobą fizyczną, np. nadciśnieniem lub cukrzycą. Leczenie zwykle obejmuje terapię behawioralną i/lub leki, w zależności od potrzeb danej osoby (NIDA, 2012). Opracowano także specjalistyczne terapie w przypadku pewnych rodzajów zaburzeń związanych z zażywaniem określonych substancji odurzających (alkoholu, kokainy i opioidów) (McGovern i Carroll, 2003). Leczenie osób nadużywających tych substancji uważa się za znacznie bardziej opłacalne niż ich nieleczenie lub karanie więzieniem (NIDA, 2012) ( ). Osoba na zdjęciu jest uzależniona od heroiny. (Źródło: „jellymc - urbansnaps”/Flickr). Co sprawia, że leczenie jest skuteczne? Leczenie osób nadużywających narkotyków jest znacznie skuteczniejsze dzięki konkretnym czynnikom. Jednym z nich jest czas trwania terapii. Zasadniczo osoba uzależniona musi być leczona przez co najmniej trzy miesiące, aby osiągnąć pozytywny wynik (Simpson, 1981; Simpson et al., 1982; NIDA, 2012). Wynika to z psychologicznych, fizjologicznych, behawioralnych i społecznych aspektów uzależnienia (Simpson, 1981; Simpson et al., 1982; NIDA, 2012). Terapia behawioralna, której poddaje się osoba uzależniona, może jej pomóc zmotywować się do udziału w programie leczenia i nauczyć ją strategii radzenia sobie z głodem narkotykowym i zapobiegania nawrotom. Ponadto leczenie musi być całościowe i uwzględniać różnorodne potrzeby, nie tylko uzależnienie od narkotyków. Oznacza to, że w ramach terapii pracuje się też nad komunikacją, zarządzaniem stresem, problemami w relacjach, rodzicielstwem, problemami zawodowymi i prawnymi (McGovern i Carroll, 2003; NIDA, 2012). Chociaż do leczenia uzależnień jest stosowana terapia indywidualna, to właśnie terapia grupowa stanowi najbardziej rozpowszechnioną metodę ich leczenia (Weiss et al., 2004). Uzasadnieniem do stosowania terapii grupowej w leczeniu uzależnień jest to, że osoby uzależnione znacznie częściej zachowują wszelkiego rodzaju abstynencje, gdy leczenie ma charakter grupowy. Uważa się, że wynika to z korzyści terapeutycznych, jakie daje bycie częścią grupy, tj.: wsparcia, przynależności, identyfikacji, a nawet konfrontacji (Center for Substance Abuse Treatment, 2005). W przypadku nastolatków często w terapii musi brać udział cała rodzina, aby zająć się takimi problemami jak dynamika rodziny, komunikacja i zapobieganie nawrotom. Zaangażowanie rodziny w terapię uzależnień nastolatków od narkotyków ma kluczowe znaczenie. Badania sugerują, że większe zaangażowanie rodziców sprzyja skuteczniejszej terapii nastolatków uzależnionych od narkotyków. Ponadto matki, które uczestniczyły w terapii, wykazywały lepszą równowagę psychiczną i miały cieplejsze podejście do swoich dzieci (Bertrand et al., 2013). Jednak ani terapia indywidualna, ani grupowa nie okazała się zdecydowanie skuteczniejsza (Weiss et al., 2004). Niezależnie od rodzaju terapii głównym celem jest abstynencja od narkotyków lub przynajmniej znaczące ograniczenie ich używania (McGovern i Carroll, 2003). Leczenie zwykle obejmuje również podawanie leków w celu bezpiecznego odtrucia osoby uzależnionej po przedawkowaniu, aby zapobiec napadom drgawek i pobudzeniu, które często występują podczas detoksykacji jako objawy odstawienne. Odstawianie narkotyków często wiąże się z zażywaniem innych leków, a niektóre z nich mogą być tak samo uzależniające. Tym samym detoksykacja może być trudna i niebezpieczna. Zaburzenia współistniejące Osoba uzależniona od narkotyków i/lub alkoholu często cierpi na dodatkowe zaburzenia psychiczne. Rozpoznanie zaburzenia współistniejącego (ang. comorbid disorder ) oznacza, że dana osoba otrzymała co najmniej dwie diagnozy. Oprócz uzależnienia od używek nierzadko może być rozpoznane inne zaburzenie psychiczne: depresja, choroba dwubiegunowa lub schizofrenia. Osoby te należą do kategorii osób chorych psychicznie i uzależnionych chemicznie (ang. mentally ill and chemically addicted , MICA) — ich problemy są często przewlekłe i drogie w leczeniu, a sukces terapeutyczny ograniczony. W porównaniu z ogólną populacją osoby nadużywające substancji odurzających są dwa razy bardziej narażone na zaburzenia nastroju lub zaburzenia lękowe. Nadużywanie narkotyków może powodować objawy zaburzeń nastroju i lęku, ale sytuacja odwrotna także jest możliwa — bywa, że osoby z wyniszczającymi objawami zaburzeń psychicznych samodzielnie się leczą i popadają w uzależnienie od leków. Gdy występuje choroba współistniejąca (ang. comorbidity ), uważa się, że najlepszym wyjściem jest leczenie obu (lub więcej) tych zaburzeń jednocześnie (NIDA, 2012). W leczeniu zaburzeń współistniejących stosuje się terapie behawioralne, a w wielu przypadkach równolegle z psychoterapią przepisuje się leki psychotropowe. Badania sugerują, że bupropion (nazwa handlowa to Wellbutrin oraz Zyban), zatwierdzony do leczenia depresji i uzależnienia od nikotyny, może również pomóc zmniejszyć głód metamfetaminy, a przez to pomóc ograniczyć jej zażywanie (NIDA, 2011). Potrzebne są jednak dalsze badania, aby lepiej zrozumieć, jak działają te leki — szczególnie przyjmowane w połączeniu, co zachodzi w przypadku pacjentów z chorobami współistniejącymi. Podsumowanie Uzależnienie jest często postrzegane jako choroba przewlekła, która wpływa na cały układ nerwowy. To pomaga nam zrozumieć, dlaczego częstość nawrotów bywa tak wysoka: następuje u około 40–60% osób (McLellan et al., 2000). Celem terapii jest pomoc uzależnionemu w powstrzymaniu kompulsywnych zachowań związanych z poszukiwaniem substancji odurzającej. Leczenie zwykle oznacza terapię behawioralną, która może odbywać się indywidualnie lub grupowo. Terapia może również obejmować przyjmowanie leków. Czasami osoba uzależniona cierpi na współistniejące zaburzenie psychiczne, czyli rozpoznano u niej uzależnienie od używek oraz inne zaburzenie, np. depresję, chorobę dwubiegunową lub schizofrenię. Wtedy optymalnym rozwiązaniem jest leczenie obu tych zaburzeń jednocześnie. Review Questions Jaki jest minimalny czas, przez który osoby uzależnione powinny być leczone, aby osiągnąć pożądany rezultat? 3 miesiące 6 miesięcy 9 miesięcy 12 miesięcy A Gdy danej osobie postawiono co najmniej dwie diagnozy: dotyczącą nadużywania substancji oraz inną diagnozę psychiatryczną, nazywa się to ________. zaburzeniem afektywnym dwubiegunowym zaburzeniem współistniejącym współuzależnieniem dwuzaburzeniem wpółistniejącym B John nie zażywał narkotyków przez prawie sześć miesięcy. Potem zaczął spotykać się ze swoimi uzależnionymi przyjaciółmi, a teraz znów sięgnął po narkotyki. Jest on przykładem ________. odwrotu powrotu ponownego nałogu nawrotu D Critical Thinking Question Przeprowadzasz właśnie pierwsze, wstępne spotkanie terapeutyczne z klientem, którym jest 45-letni mężczyzna, pracujący singiel uzależniony od kokainy. Pracodawca wystawia mu naganę do akt pracowniczych i zaleca leczenie. Twój klient przyznaje, że potrzebuje pomocy. Dlaczego polecasz mu udział w terapii grupowej? Uzasadnieniem stosowania terapii grupowej w leczeniu uzależnień jest to, że osoby uzależnione znacznie częściej zachowują wówczas wszelkiego rodzaju abstynencję. Uważa się, że wynika to z terapeutycznych korzyści bycia częścią grupy, jakimi są : wsparcie, przynależność, identyfikacja, a nawet konfrontacja. Ponieważ opisany klient jest samotny, może nie mieć wsparcia rodziny, więc tym bardziej wsparcie ze strony grupy może być decydujące dla jego zdolności do porzucenia narkotyków i zachowania wolności od nałogu. Personal Application Question Jakie są ośrodki leczenia uzależnień i nałogów w twojej okolicy i jakie rodzaje usług zapewniają? Czy któryś z nich uważasz za wart polecenia znajomemu lub członkowi rodziny, który ma problem z nadużywaniem środków odurzających? Uzasadnij dlaczego. zaburzenie współistniejące (ang. comorbid disorder) jednoczesne występowanie u danej osoby dwóch lub więcej zaburzeń, np. zaburzeń depresyjnych i lękowych, zespołu stresu pourazowego i uzależnienia etc. nawrót (ang. relapse ) nawrót objawów zaburzenia lub trudności psychicznych; nawroty w procesie leczenia (oraz po jego zakończeniu) są naturalne, a profesjonalnie prowadzona psychoterapia uczy radzenia sobie z nimi", "section": "Uzależnienia i zaburzenia związane z zażywaniem środków odurzających", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}
{"text": "Wykorzystanie paradygmatu społeczno-kulturowego w terapii Cel dydaktyczny: Po przeczytaniu tego podrozdziału będziesz w stanie: Wyjaśnić, w jaki sposób model społeczno-kulturowy jest wykorzystywany w terapii OmówIć bariery w dostępie do usług w zakresie zdrowia psychicznego wśród mniejszości etnicznych Perspektywa społeczno-kulturowa dotyczy człowieka, jego zachowań oraz objawów powstających w kontekście określonej kultury i otoczenia. Na przykład José jest 18-letnim Latynosem z tradycyjnej rodziny. Pojawił się na terapii z powodu depresji. Już podczas konsultacji wyjawił, że jest gejem i stresuje się, jak powiadomić o tym rodzinę. Wyjawił również, że martwi się, ponieważ według religii, w której się wychował, homoseksualizm jest złem. Jak na José wpływa jego pochodzenie religijne i kulturowe? Jak jego pochodzenie kulturowe może wpłynąć na reakcję jego rodziny, jeśli José powie, że jest gejem? Ponieważ współczesne społeczeństwa często stają się coraz bardziej wieloetniczne i wielorasowe, specjaliści ds. zdrowia psychicznego muszą rozwijać w sobie kompetencje kulturowe (ang. cultural competence ) ( ). Oznacza to, że muszą zrozumieć i potrafić zająć się kwestiami związanymi z rasą, kulturą i pochodzeniem etnicznym swoich klientów. Muszą także opracować strategie skutecznego zaspokajania potrzeb różnych populacji, dla których popularne terapie adresowane do osób z kręgu kultury europejskiej mają ograniczone zastosowanie (Sue, 2004). Na przykład doradca, który prowadzi terapię skoncentrowaną na podejmowaniu indywidualnych decyzji, może być nieskuteczny w pomaganiu klientowi chińskiemu z kolektywistycznym podejściem do rozwiązywania problemów, charakterystycznym dla jego kultury pochodzenia (Sue, 2004). Doradztwo i terapia wielokulturowe oferują zarówno doraźną pomoc, jak i terapię, których metody i cele określane są zgodnie z wartościami i doświadczeniami danego kręgu kulturowego. Dzięki temu można rozpoznać utożsamianie się klienta z jego wartościami indywidualnymi, grupowymi oraz uniwersalnymi dla danej kultury. Tym samym w terapii mogą być użyte strategie zarówno uniwersalne, jak i specyficzne dla danej kultury, co zapewnia równowagę pomiędzy indywidualizmem a kolektywizmem w całym procesie diagnozy i leczenia klienta (Sue, 2001). Ta perspektywa terapeutyczna już na samym początku leczenia uwzględnia wpływ norm społecznych i kulturowych. Terapeuci korzystający z tej perspektywy współpracują z klientami w celu stworzenia unikatowego podejścia do leczenia, integrującego zarówno wzorce kulturowe klienta, jak i jego konkretną sytuację problemową (Stewart et al., 2012). Perspektywa społeczno-kulturowa może dotyczyć metod pracy w terapii indywidualnej, grupowej, rodzinnej i terapii par. Jak twoje przekonania kulturowe i religijne wpływają na twoje podejście do leczenia psychicznego? (Źródło: Staffan Scherz; Alejandra Quintero Sinisterra; Pedro Ribeiro Simões; Agustin Ruiz; Czech Provincial Reconstruction Team; Arian Zwegers; „Wonderlane”/Flickr; Shiraz Chanawala). Obejrzyj ten krótki film , aby dowiedzieć się więcej o kompetencjach kulturowych i terapii z uwzględnieniem aspektów społeczno-kulturowych. Przeszkody w leczeniu Według statystyk mniejszości etniczne rzadziej korzystają z usług leczenia psychicznego niż Amerykanie rasy białej z klasy średniej (Alegría et al., 2008; Richman et al., 2007). Dlaczego tak jest? Być może powodem jest dostępność usług zdrowia psychicznego. Mniejszości etniczne i osoby o niskim statusie społeczno-ekonomicznym twierdzą, że takimi barierami są dla nich brak ubezpieczenia, brak możliwości transportu i brak czasu (Thomas i Snowden, 2002). Jednak naukowcy odkryli, że nawet wziąwszy pod uwagę poziom dochodów i czynnik ubezpieczenia, mniejszości etniczne znacznie rzadziej szukają i korzystają z usług w zakresie leczenia psychicznego. Te różnice pozostają istotne nawet wtedy, gdy dostęp do psychoterapii jest porównywalny we wszystkich grupach etnicznych i rasowych (Richman et al., 2007). W badaniu z udziałem tysięcy kobiet stwierdzono, że częstość występowania anoreksji była podobna u różnych ras, ale już bulimia nervosa wśród latynoskich i afroamerykańskich kobiet była bardziej rozpowszechniona niż u kobiet rasy białej (Marques et al., 2011). Chociaż więc te ostatnie mają podobne lub wyższe wskaźniki zaburzeń odżywiania, to kobiety latynoskie i afroamerykańskie cierpiące na te choroby wykazują znacznie mniejszą tendencję do poszukiwania leczenia i angażowania się w nie niż kobiety rasy białej. Odkrycia te sugerują ograniczenia w dostępie do opieki zdrowotnej (leczenia klinicznego i konsultacji) w przypadku kobiet latynoskich i afroamerykańskich. Może to być również kwestia niechęci do mówienia o prywatnych sprawach rodziny, braku terapii dwujęzycznych, postrzegania leczenia psychicznego jako stygmatyzującego, a także lęku przed niezrozumieniem i braku edukacji na temat zaburzeń odżywiania. Do zróżnicowania w dostępie do terapii może także przyczyniać się postrzeganie i podejście do usług związanych ze zdrowiem psychicznym. Niedawne badania Kolegium Królewskiego w Londynie (ang. King's College London ) wykazały wiele złożonych powodów, dla których ludzie nie szukają leczenia: samowystarczalność i brak potrzeby szukania pomocy, nieuznawanie terapii za skuteczną, obawy o poufność oraz wiele skutków potencjalnej stygmatyzacji i wstydu (Clement et al., 2014). Dodatkowo osoby należące do grup etnicznych, które już zgłaszają obawy dotyczące uprzedzeń i dyskryminacji, rzadziej szukają pomocy w przypadku choroby psychicznej, ponieważ uważają ją za dodatkowe obciążenie (Gary, 2005; Townes et al., 2009; Scott et al., 2011). W jednym z badań, w którym wzięło udział 462 starszych Amerykanów pochodzenia koreańskiego (w wieku powyżej 60 lat), wielu uczestników mówiło o swoich objawach depresji. 71% z nich wyznało jednak, że uważają depresję za oznakę osobistej słabości, a 14% stwierdziło, że posiadanie chorego krewnego przyniosłoby wstyd ich rodzinie (Jang et al., 2009). Różnice językowe stanowią kolejną barierę w leczeniu. W poprzednim badaniu nad nastawieniem Amerykanów koreańskiego pochodzenia wobec podjęcia terapii stwierdzono, że w miejscu, w którym przeprowadzono cytowane badania (Orlando i Tampa na Florydzie), nie było profesjonalistów w zakresie psychoterapii mówiących po koreańsku (Jang et al., 2009). Ze względu na rosnącą liczbę ludzi z różnych środowisk etnicznych terapeuci i psychologowie powinni nabyć wiedzę i umiejętności, aby stać się kompetentnymi także kulturowo (Ahmed et al., 2011). Osoby prowadzące terapię muszą podchodzić do tego procesu w kontekście kultury właściwej dla każdego klienta (Sue i Sue, 2007). Postrzeganie psychoterapii Do czasu ukończenia przez dziecko szkoły średniej 20% jego kolegów i koleżanek z klasy — czyli jeden nastolatek na pięcioro — będzie miało problemy ze zdrowiem psychicznym ((U.S. Department of Health and Human Services, 1999), a 8% — czyli około jedno dziecko na dwanaścioro — będzie próbowało popełnić samobójstwo (Centers for Disease Control and Prevention, 2014). Spośród wszystkich osób z klasy doświadczających zaburzeń psychicznych jedynie 20% otrzyma profesjonalną pomoc (U.S. Public Health Service, 2000). Dlaczego tak się dzieje? Wydaje się, że społeczeństwo negatywnie postrzega dzieci i nastolatków z zaburzeniami zdrowia psychicznego. Wyniki ankiet przeprowadzonych przez naukowców z Uniwersytetu Indiany, Uniwersytetu Wirginii i Uniwersytetu Colombia wśród ponad 1300 dorosłych osób w USA wskazują, że ludzie uważają, iż dzieci z depresją są skłonne do przemocy i że jeśli dziecko jest leczone z powodu zaburzenia psychicznego, to jest bardziej prawdopodobne, iż zostanie ono odrzucone przez rówieśników ze szkoły. Innym powszechnym powodem, mocno podkreślanym zwłaszcza w polskich realiach, jest brak dostępu do specjalistycznej opieki zdrowotnej, szczególnie w przypadku dzieci i młodzieży. W Polsce liczba psychiatrów dziecięcych jest dramatycznie mała — wg danych Naczelnej Izby Lekarskiej to jedynie 419 czynnych zawodowo lekarzy (dane za I kwartał 2019 roku). Dla porównania psychiatrów z prawem wykonywania zawodu dla osób dorosłych jest w Polsce dziesięciokrotnie więcej — 4165. Według danych NFZ w całej Polsce jest 37 oddziałów dziennych psychiatrii dzieci i młodzieży. Część województw nie ma podpisanych umów na prowadzenie dziennych oddziałów psychiatrycznych. W kolejce do przyjęcia na oddział całodobowy między marcem a kwietniem 2019 roku czekały 634 osoby. Czas oczekiwania na przyjęcie na oddział psychiatryczny w przypadkach braku bezpośredniego zagrożenia życia to zwykle około miesiąca (mediana to 36 dni), a niechlubny rekord wyniósł 720 dni. W przypadku stanu zagrażającego życiu czas oczekiwania wynosi średnio 12 –13 dni (uśrednione dane ze wszystkich województw w Polsce). Średni czas oczekiwania na wizytę u psychiatry dziecięcego to rok w przypadku refundacji NFZ (Raport Watchdog, 2019). W placówkach prywatnych minimalny czas oczekiwania wynosi obecnie 2,5 miesiąca. Podsumowanie Perspektywa społeczno-kulturowa dotyczy ciebie, twoich zachowań oraz objawów w kontekście twojej kultury i kraju pochodzenia. Klinicyści stosujący to podejście włączają przekonania kulturowe i religijne do procesu terapeutycznego. Badania wykazały, że w Stanach Zjednoczonych mniejszości etniczne rzadziej korzystają z usług leczenia psychicznego niż ich biali amerykanie z klasy średniej. Przeszkodami w podejmowaniu leczenia są: brak ubezpieczenia zdrowotnego, brak możliwości przemieszczania się i brak czasu, obawy przed leczeniem oraz bariery językowe, a także kulturowy pogląd związany ze stygmatyzowaniem zaburzenia psychicznego. Review Questions Perspektywa społeczno-kulturowa dotyczy człowieka, jego zachowań oraz objawów w kontekście ________. wykształcenia statusu społeczno-ekonomicznego kultury i pochodzenia wieku C Który z poniższych czynników NIE jest przeszkodą w podjęciu leczenia psychicznego? obawa przed leczeniem język środek transportu bycie członkiem większości etnicznej D Critical Thinking Question Lashawn to 24-letnia Afroamerykanka od lat zmagająca się z bulimią. Wie, że ma problem, ale nie chce pójść na psychoterapię. Z jakich możliwych powodów Lashawn waha się szukać fachowej pomocy? Jednym z powodów może być to, że jej kultura uważa chorobę psychiczną za piętno. Poza tym Lashawn być może nie ma ubezpieczenia i martwi się kosztami terapii. Może się też obawiać, że biały doradca nie zrozumie problemów związanych z jej pochodzeniem kulturowym, więc nie będzie mogła się przed nim otworzyć. Być może wierzy, że jest samowystarczalna, i wmawia sobie sobie, że jest silną kobietą, która może samodzielnie rozwiązać swój problem bez uciekania się do pomocy terapeuty. Personal Application Question A jakie jest twoje podejście do podjęcia terapii? Czy impulsem do szukania leczenia byłyby dla ciebie uciążliwe objawy lub problemy z funkcjonowaniem w życiu? Uzasadnij dlaczego. W jaki sposób według ciebie twoje przekonania kulturowe i/lub religijne wpływają na twoje zdanie o interwencji psychologicznej? kompetencje kulturowe (ang. cultural competence) ujmowanie przez terapeutę w procesie terapii specyfiki osoby wynikającej z jej przynależności etnicznej i kultury kraju pochodzenia", "section": "Wykorzystanie paradygmatu społeczno-kulturowego w terapii", "book": "Psychologia", "subject": "Social Sciences", "source": "https://openstax.org/details/books/psychologia-polska"}